Clause

Opening Meeting

Closing Meeting

Facility Description

Auditor
Recommendation

2.1
2.1.1
2.1.1.1
2.1.1.2

2.1.1.3

2.1.1.4
2.1.1.5

2.1.1.6

2.1.1.7

2.1.1.8

2.1.2
2.1.2.1
2.1.2.2

2.1.3
2.1.3.1
2.1.3.2
2.1.3.3
2.2
2.2.1
2.2.1.1
2.2.1.2
2.2.2
2.2.2.1
2.2.3
2.2.3.1
2.2.3.2
2.2.3.3
2.3
2.3.1
2.3.1.1
2.3.1.2
2.3.1.3
2.3.1.4
2.3.1.5
2.3.1.6
2.3.2
2.3.2.1
2.3.2.2
2.3.2.3
2.3.2.4
2.3.2.5
2.3.2.6
2.3.2.7
2.3.2.8
2.3.2.9
2.3.2.10
2.3.3
2.3.3.1
2.3.3.2
2.3.3.3
2.3.3.4
2.3.4
2.3.4.1
2.3.4.2
2.3.4.3
2.3.4.4
2.3.4.5
2.3.4.6
2.4
2.4.1
2.4.1.1
2.4.1.2
2.4.1.3
2.4.2
2.4.2.1
2.4.2.2
2.4.3
2.4.3.1
2.4.3.2
2.4.3.3
2.4.3.4
2.4.3.5
2.4.3.6
2.4.3.7
2.4.3.8
2.4.3.9
2.4.3.10
2.4.3.11
2.4.3.12
2.4.3.13
2.4.4
2.4.4.1
2.4.4.2
2.4.4.3
2.4.4.4
2.4.4.5
2.4.4.6
2.4.5
2.4.5.1
2.4.5.2
2.4.6
2.4.6.1
2.4.7
2.4.7.1
2.4.7.2
2.4.7.3
2.4.8
2.4.8.1
2.4.8.2
2.4.8.3
2.5
2.5.1
2.5.1.1
2.5.2
2.5.2.1
2.5.2.2
2.5.3
2.5.3.1
2.5.3.2
2.5.4
2.5.4.1
2.5.4.2
2.5.4.3
2.5.4.4
2.6
2.6.1
2.6.1.1
2.6.1.2
2.6.2
2.6.2.1
2.6.3
2.6.3.1
2.6.3.2
2.6.3.3
2.6.3.4
2.6.4
2.6.4.1
2.6.4.2
2.7
2.7.1
2.7.1.1
2.7.1.2
2.7.1.3
2.7.1.4
2.7.2
2.7.2.1
2.7.2.2
2.7.2.3
2.7.2.4
2.8
2.8.1
2.8.1.1
2.8.1.2
2.9
2.9.1
2.9.1.1
2.9.1.2
2.9.2
2.9.2.1
2.9.2.2
2.9.2.3
Animal Feed Manufacturin
Item
People Present at the Opening Meeting (Please list names and roles in the following
format Name: Role separated by comas)
People Present at the Closing Meeting (Please list names and roles in the following format
Name: Role separated by comas)
Auditor Description of Facility (Please provide facility description include # of employees,
size, production schedule, general layout, and any additional pertinent details

Auditor Recommendation

SQF System Elements for Anmial Feed Manufacturing

Management Commitment
Management Responsibility (Mandatory)
Senior site management shall prepare and implement a policy statement that
outlines at a minimum the commitment of all site management to:
i. Supply safe animal feed;
ii. Establish and maintain a food safety culture within the site;
iii. Establish and continually improve the site’s food safety management system; and
iv. Comply with customer and regulatory requirements to supply safe animal feed.
The policy statement shall be:
v. Signed by the senior site manager and displayed in prominent positions; and
vi. Effectively communicated to all site personnel in language(s) understood by all site
personnel.
Senior site management shall lead and support a food safety culture within the site
that ensures at a minimum:
i. The establishment, documentation, and communication to all relevant staff of food
safety
objectives and performance measures;
ii. Adequate resources are available to meet food safety objectives;
iii. Food safety practices and all applicable requirements of the SQF System are adopted
and
maintained;
iv. Staff are informed and held accountable for their food safety and regulatory
responsibilities;
v. Staff are positively encouraged and required to notify management of actual or
potential food
safety issues; and
vi. Staff are empowered to act to resolve food safety issues within their scope of work.

The reporting structure shall identify and describe site personnel with specific
responsibilities for tasks within the food safety management system and identify
backup for absence of key personnel. Job descriptions for the key personnel shall be
documented.
Site management shall ensure departments and operations are appropriately staffed
and organizationally aligned to meet food safety objectives.

Senior site management shall designate a primary and substitute SQF practitioner for
each site with responsibility and authority to:
i. Oversee the development, implementation, review, and maintenance of the SQF
System;
ii. Take appropriate action to ensure the integrity of the SQF System; and
iii. Communicate to relevant personnel all information essential to ensure the effective
implementation and maintenance of the SQF System.
The primary and substitute SQF practitioner shall:
i. Be employed by the site;
ii. Hold a position of responsibility in relation to the management of the site’s SQF System;
iii. Be competent to implement and maintain hazard and risk-based food safety plans; and
iv. Have an understanding of the SQF Food Safety Code for Animal Feed Manufacturing
and
the requirements to implement and maintain an SQF System relevant to the site’s scope
of
certification.

Senior site management shall ensure the training needs of the site are resourced,
implemented, and meet the requirements outlined in system elements 2.9 and that
site personnel meet the required competencies to carry out those functions affecting
the legality and safety of the finished product.

Senior site management shall ensure the integrity and continued operation of the
food safety system in the event of organizational or personnel changes within the
company or associated facilities.
Senior site management shall designate defined blackout periods that prevent
unannounced re-certification audits from occurring out of season or when the site
is not operating for legitimate business reasons. The list of blackout dates and their
justification shall be submitted to the certification body a minimum of one (1) month
before the sixty (60) day re-certification window for the agreed-upon unannounced
audit.

Management Review (Mandatory)

The SQF System shall be reviewed by senior site management at least annually and
include:
i. Changes to food safety management system documentation (policies, procedures,
specifications, food safety plan);
ii. Food safety culture performance;
iii. Food safety objectives and performance measures;
iv. Corrective and preventative actions, and trends in findings, from internal and external
audits,
customer complaints, and verification and validation activities;
v. Hazard and risk management system; and
vi. Follow-up action items from previous management review.
Records of all management reviews and updates shall be maintained.
The SQF practitioner(s) shall update senior site management on at least a monthly
basis on matters impacting the implementation and maintenance of the SQF System.
The updates and management responses shall be documented.
Complaint Management (Mandatory)
The methods and responsibility for handling, investigating, and resolving food
Adverse trends of customer complaint data shall be investigated and analyzed and the
root cause and
Corrective established
preventativeby personnel
action shall knowledgeable
be implemented aboutbased
the incidents.
on the seriousness
Document Control and Records
Food Safety Management System (Mandatory)
The methods and procedures the site uses to meet the requirements of the SQF Food
Food safety plans, Good Manufacturing Practices, and all relevant aspects of the
Document Control (Mandatory)
The methods and responsibility for maintaining document control and ensuring staff
Records (Mandatory)
The methods, frequency, and responsibility for verifying, maintaining, and retaining
records
All shall
records be be
shall documented
legible andand implemented.
confirmed by those undertaking monitoring activities that
demonstrate
Records shall inspections, analyses, and
be readily accessible, other essential
retrievable, activities
and securely storedthattohave been
prevent
completed.
unauthorized
Specification, access, loss, damage,
Formulations, and deterioration.
Realization, and SupplierRetention periods shall be in
Approval
accordance with customer,
Product Formulation and Realization legal, and regulatory requirements, at minimum the product
shelf-life
The methodsor established by the site
and responsibility for ifdesigning
no shelf-life andexists.
developing new product formulations
and converting product concepts to commercial
New product formulations, manufacturing processes, and the realization shall be documented
fulfillment of productand
implemented.
requirements
A food safety planshallshall
be established,
be validated validated,
and verified and byverified by food
the site site trials
safetyandteamproduct
for each
testing
new as required
and itsto ensure
associated product
process safety.
Product formulations and manufacturing processes for products included in the scope and
product through conversion to commercial production of
distribution
certification or where
shall be a change
reviewed to
when ingredients,
there are process,
changes or
in packaging
materials,
The process flows for all new and existing manufacturing processes shall be designed to occurs that
ingredients, may
or
impact
ensure food
equipment.
Recordsthat safety. design,
product
of product is manufactured
formulations, according to approvedprocess
label compliance, productflows,
formulations
shelf lifeand to
trials,
prevent
and cross-contamination.
approvals
Specifications for all new
(Raw and existing
Material, Packaging,productsFinished
shall be maintained.
Product and Services)
The methods and responsibility for developing, managing, and approving raw material,
finished product,
Specifications for and packaging
all raw materials specifications
and packaging, shallincluding,
be documented.
but not limited to,
ingredients,
All additives,
raw materials, hazardous
packaging, and chemicals,
ingredients,processing aids, and
including those packaging
received that impact
from other
finished product safety shall be documented and kept current.
Raw materials, packaging, and ingredients shall be validated to ensure product safety is
not compromised
Site management and shallthe material
require is fit for
approved itsmaterials
raw intended suppliers
purpose. to notify the site of
changes in product
Verification of packaging composition that could
shall include have an impact
a certification on productthat
of all packaging formulation
comes into (e.g.,
protein
Finished content,
direct contact
product withmoisture,
food shall
labels amino
meets acid
beeither
accurate, profiles,
regulatory contaminant
complyacceptance levels, allergens,
or approval
with the relevant and/or
criteria.
legislation, and be other
parameters
Documentation
approved
Description that
byof mayeither
shall
qualified
services vary by
companybecrop
for contract or
inpersonnel.
the by season).
form
service of a declaration
providers of continued
that have an impact guarantee
on product of
compliance,
safety
Finishedshall a certificate
be
product documented, of conformance,
specifications current,
shall be include or aacertificate
documented, from approved
full description
current, thethe
of applicable
services
by theregulatory
tosite
be and its
provided,
customer, and
Specifications detail
for rawrelevant
accessible to training
relevant
materials staff,
and requirements of all where
and shall chemicals,
packaging, include, contract personnel.
applicable:
processing aids, contract
services, and finished
Contract Manufacturers products shall be reviewed as changes occur that impact product
safety. Records
The methods and of responsibility
reviews shall for be maintained.
ensuring all agreements with contract manufacturers
relating to food safety, customer
The site shall establish a method to determine product requirements, their realization,
the food safety risk level ofand delivery
contract
shall be documented
Contractual agreements andwith
implemented.
third-party storage and distribution businesses shall
Records of audits, contracts, and changes to contractual agreements and their approvals
shall be maintained.
Approved Supplier Program (Mandatory)
The responsibility and procedure for selecting, evaluating, approving, and monitoring
The approved supplier program shall be based on the prior performance of a supplier
Verification of raw materials shall include certificates of conformance, certificate of
The receipt of raw materials, ingredients, processing aids, and packaging from
nonapproved
Raw materials, ingredients, and packaging received from other sites under the same
Supplier audits shall be based on risk (as determined in 2.3.4.2) and shall be
Food Safety System
Feed and Food Legislation (Mandatory)
The site shall ensure that, at the time of delivery to customers, finished products shall
The methods and responsibility for ensuring the site is kept informed of changes
SQFI and the certification body shall be notified in writing within twenty-four (24) hours
Good Manufacturing Practices (Mandatory)
The site shall ensure the applicable Good Manufacturing Practices described in
The Good Manufacturing Practices applicable to the scope of certification that outline
Food Safety Plan (Mandatory)
A hazard and risk management system shall be developed and take into
The food safety plan or plans shall be developed and maintained by a
The scope of each food safety plan shall be developed and documented including the
Product requirements shall be developed and documented for all products (or groups
The food safety team shall develop and document a flow diagram covering the scope
The food safety team shall identify and document all food safety hazards that can
The food safety team shall conduct a hazard analysis for every identified hazard
The food safety team shall determine and document the control measures that
Based on the results of the hazard analysis (refer to 2.4.3.7), the food safety team
For each identified step requiring control (e.g. PC or CCP) the food safety team
The food safety team shall develop and document procedures to monitor identified
The food safety team shall develop and document deviation procedures that identify
The documented and approved food safety plan(s) shall be implemented in full. The
Product Sampling, Inspection and Analysis
The methods, responsibility, and criteria for sampling, inspecting, and/or analyzing raw
materials,
Product work-in-progress,
analyses and finished
shall be conducted product shall
to nationally be documented
recognized methods orand implemented.
company
requirements,
On-site or alternative
laboratories conducting methods
chemicalthatand
aremicrobiological
validated as equivalent
analyses to themay
that nationally
pose a
recognized
risk to methods.
product safety shall be located separate from any food processing or handling
Provisions shall be made to isolate and contain all hazardous laboratory waste held on the
activity
premises
Retentionand
anddesigned
manage
samples, to
it limit
if required access
separately only food
from
by customers to authorized
orwaste. personnel.
Laboratory
regulations, shall waste outlets
be stored shall attoa
according
minimum
the
Records ofbe
typical alldownstream
storage conditions
inspections of drains
and for that
the
analyses service
product
shall and
be food processing
maintained
maintained. forand
the handling areas. of the
stated shelflife
product.
Non-conforming Materials and Product
The responsibility and methods outlining how non-conforming product, raw material,
Quarantine records and records of the handling, corrective action, or disposal of
nonconforming
Product Rework materials or product shall be maintained.
The responsibility and methods outlining how ingredients, packaging, or products are
Product Release (Mandatory)
The responsibility and methods for releasing products shall be documented and
Product release shall include a procedure to confirm that product labels comply with
In the event that the site uses positive release based on product pathogen or
Environmental Monitoring
A risk-based environmental monitoring program shall be in place for all feed
An environmental sampling and testing schedule shall be prepared. It shall at a
Environmental testing results shall be monitored, tracked, and trended, and preventative
actions
SQF System(refer to 2.5.3.1) shall be implemented where unsatisfactory results or trends are
Verification
observed.
Validation and Effectiveness (Mandatory)
The methods, responsibility, and criteria for ensuring the effectiveness of all applicable
Verification Activities (Mandatory)
The methods, responsibility, and criteria for verifying monitoring of Good Manufacturing
Practices,
A verificationcritical control
schedule points, and
outlining other food safety
the verification controls,
activities, and the legality
their frequency of
of completion,
certified
and products
the person
Corrective shall
andresponsible be
Preventative documented
for each and
activity
Action implemented.
shall be prepared and implemented.shall
(Mandatory) The methods applied
ensure that personnel
The responsibility with responsibility
and methods outlining how for verifying
corrective monitoring
and preventative actions are
determined,
Records of allimplemented,
investigation,and rootverified, includingand
cause analysis, theresolution
identification of the root causetheir
of non-conformities, and
resolution
corrections,
Internal Auditsof non-compliance
and theandimplementationof critical food safety limits and deviations
of preventative actions shall be maintained.
Inspections (Mandatory) from food safety
requirements, shall be documented
The methods and responsibility for scheduling and implemented.
and conducting internal audits to verify
Staff conducting internal audits shall be trained and competent in internal audit
procedures.
Regular Where practical,
inspections of the sitestaff
andconducting
equipment internal
shall beaudits
planned shall
andbecarried
independent
out to of the
function being audited.
Records of internal audits and inspections and any corrective and preventative
Product Traceability and Crisis Management
Product Identification (Mandatory)
The methods and responsibility for identifying raw materials, ingredients, packaging,
work-in-progress, processchangeover,
Product start up, product inputs, and finished
and packagingproducts during all stages
changeover of production
(including label
and storage shall be
Product Trace (Mandatory) documented and implemented to ensure:
The responsibility and methods used to trace product shall be documented and
Product Withdrawal and Recall (Mandatory)
The responsibility and methods used to withdraw or recall product shall be
The product withdrawal and recall system shall be reviewed, tested, and verified as
Records shall be maintained of withdrawal and recall tests, root cause investigations into
actualand
SQFI withdrawals and recalls,
the certification and corrective
body shall be notifiedand preventative
in writing within actions applied.
twenty-four (24) hours
upon
Crisisidentification
Management of aPlanning
food safety event that requires public notification. SQFI shall be
notified at [email protected].
A crisis management plan based on the understanding of known potential dangers
The crisis management plan shall be reviewed, tested, and verified at least annually with
gaps
Foodand appropriate
Defense and Foodcorrective
Fraudactions documented. Records of reviews of the crisis
management
Food Defense plan
Planshall be maintained.
(Mandatory)
A food defense threat assessment shall be conducted to identify potential threats that can
be caused
A food by a plan
defense deliberate
shall beactdocumented,
of sabotage implemented,
or terrorist-likeandincident.
maintained based on
Instruction shall be provided to all relevant staff on the effective implementation of the
food defense
The food planthreat
defense (refer assessment
to 2.9.2.1). and prevention plan shall be reviewed and tested at
least
Foodannually or when the threat level, as defined in the threat assessment, changes.
Fraud (Mandatory)
Records
The of reviews
methods, and tests and
responsibility, of the food defense
criteria plan shall
for identifying be maintained.
the site's vulnerability to food
fraud,
A food including susceptibility
fraud mitigation to raw
plan shall be material
developed or and
ingredient substitution,
implemented finishedthe
that specifies product
mislabeling,
methods byshall
Instruction dilution,
which bethe or counterfeiting,
identified
provided food
to all shall
fraud staff
relevant be documented,
vulnerabilities implemented,
shall be
on the effective and
controlled, including
implementation of the
maintained.
identified
foodfood
The food
fraudfraud safety
mitigation vulnerabilities
plan (refer
vulnerability of ingredients
to 2.9.2.1).
assessment and materials.
and mitigation plan shall be reviewed and
verified at least annually with gaps and corrective actions documented. Records of
reviews shall be maintained.
Allergen Management
Allergen Management
Sites that exclusively manufacture animal feed and do not manufacture, handle,
Where an allergen management plan is required by regulation or customer
Training
Training Requirements
The responsibility for establishing and implementing the training needs of the
organization’s personnel
Appropriate training shallto
beensure they
provided forhave the required
personnel competencies
carrying out the taskstoessential
carry outto the
those functions
effective
Training affecting
implementation
Program products,
of the SQFlegality,
(Mandatory) Systemandandsafety shall be defined
the maintenance and
of food documented
safety and
(refer
A to
regulatory2.1.1.6).
requirements.
training program shall be documented and implemented that at a minimum outlines the
necessary
Training competencies
materials, for specific
the delivery duties and procedures
of training, the training on
methods tocritical
all tasks be applied to
to meeting
personnel
regulatory
Training carrying
records out
compliance tasks
and
shall be associated
the maintenance
maintained with:of food safety shall be provided in
and include:
language(s) understood by staff.
uring Edition 9 Checklist
Costco Specific Requirement Primary Response
● Requirements for raw material (excluding
food contact packaging) suppliers to be
operating
under a food safety management system. The
system shall meet all applicable regulatory
requirements.
● Requirements for food contact packaging
suppliers to be operating under a quality
management system and a risk based control
plan. The system shall meet all applicable
regulatory and customer requirements.
● A requirement for raw materials suppliers,
including primary packaging, to be audited by a
third party to a standard that verifies
implementation of GMP/GDP/GAP,
HACCP/Preventive Controls/HARA, a traceability
system, and a recall management plan. The
requirements shall have pass/fail criteria
defined for the supplier’s audits to maintain
approved status.
● Annual verification of the supplier’s audit
● Where there are label claims such as
“organic”, “Gluten Free”, “non-GMO”, ”no
antibiotics”, “raised without antibiotics”, ”no
hormones added”, or ”no hormones
administered” the operation must validate these
through any combination of testing,
certifications, or audits.
The required registration for the bio-terrorism
regulation is current and verified. (This applies
to vendors that manufacture and import to the
US). Supplier must show registration
If pathogen testing is done on food contact
surfaces, all product lots processed over the
swabbed surface(s) since the last validated
sanitation cycle shall remain within the
supplier's control until satisfactory test results
are obtained.

All operations must conduct an annual mock

recall to verify current contact information and
that the quantities received and distributed
through the next step in the item’s supply chain
match what was produced/distributed. The
exercise may count towards one of the
traceability exercises; however, there needs to
be evidence that the next step up was
contacted to verify current contact information
and the quantities received/distributed match
Costco
what was requires that suppliers show
produced/distributed. The that
current
traceability exercises
contact information were
for any conducted
next step uptwice
that
during the year in two of the following three
was not part of the exercise shall be verified on
areas: finished
an annual basisgood item, ingredient, and
cklist
Evidence
Supplier Onsite Correction/ Corrective Action
Need to identify a back-up practioner.
 Clause
Opening Meeting

Closing Meeting

Facility Description

Auditor
Recommendation

2.1
2.1.1
2.1.1.1
2.1.1.2

2.1.1.3

2.1.1.4
2.1.1.5

2.1.1.6

2.1.1.7

2.1.1.8

2.1.2
2.1.2.1
2.1.2.2

2.1.3
2.1.3.1
2.1.3.2
2.1.3.3
2.2
2.2.1
2.2.1.1
2.2.1.2
2.2.2
2.2.2.1
2.2.3
2.2.3.1
2.2.3.2
2.3
2.3.1
2.3.1.1
2.3.1.2
2.3.1.3
2.3.1.4
2.3.2
2.3.2.1
2.3.2.2
2.3.2.3
2.3.2.4
2.3.2.5
2.3.3
2.3.3.1
2.3.3.2
2.3.3.3
2.4
2.4.1
2.4.1.1
2.4.1.2
2.4.1.3
2.4.2
2.4.2.1
2.4.3
2.4.3.1
2.4.3.2
2.4.3.3
2.4.3.4
2.4.3.5
2.4.3.6
2.4.3.7
2.4.3.8
2.4.3.9
2.4.3.10
2.4.3.11
2.4.3.12
2.4.3.13
2.4.3.14
2.4.3.15
2.4.3.16
2.4.3.17
2.4.4
2.4.4.1
2.4.4.2
2.4.5
2.4.5.1

2.4.6
2.4.6.1
2.4.7
2.4.7.1
2.5
2.5.1
2.5.1.1
2.5.2
2.5.2.1
2.5.2.2
2.5.3
2.5.3.1
2.5.4
2.5.4.1
2.5.4.2
2.5.4.3
2.6
2.6.1
2.6.1.1
2.6.1.2
2.6.2
2.6.2.1
2.6.2.2
2.6.2.3
2.6.3
2.6.3.1
2.6.3.2
2.7
2.7.1
2.7.1.1
2.7.1.2
2.7.1.3
2.7.1.4
2.7.2
2.7.2.1
2.7.2.2
2.7.2.3
2.8
2.8.1
2.8.1.1
2.8.1.2
2.9
2.9.1
2.9.1.1
2.9.1.2
2.9.2
2.9.2.1
2.9.2.2
2.9.2.3
Aquaculture Edition 9 Che
Item
People Present at the Opening Meeting (Please list names and roles in the following
format Name: Role separated by comas)
People Present at the Closing Meeting (Please list names and roles in the following format
Name: Role separated by comas)
Auditor Description of Facility (Please provide facility description include # of employees,
size, production schedule, general layout, and any additional pertinent details

Auditor Recommendation

SQF System Elements for Aquaculture

Management Commitment
Management Responsibility (Mandatory)
Senior site management shall prepare and implement a policy statement that outlines at
a minimum the commitment of all site management to:
i. Supply safe food;
ii. Establish and maintain a food safety culture within the site;
iii. Establish and continually improve the site’s food safety management system; and
iv. Comply with customer and regulatory requirements to supply safe food. The policy
statement shall be:
v. Signed by the senior site manager and displayed in prominent positions; and
vi. Effectively communicated to site personnel in language(s) understood by all staff.
Senior site management shall lead and support a food safety culture within the site that
ensures at a minimum:

i. The establishment and documentation of clear and concise food safety objectives and
performance measures and their communication to all relevant staff;
ii. Adequate resources are available to meet food safety objectives and performance
measures;
iii. Food safety practices and all applicable requirements of the SQF System are adopted
and maintained;
iv. Staff are informed and are aware of their food safety and regulatory responsibilities;
v. Staff are aware of their role in meeting the requirements of the SQF Food Safety Code:
Aquaculture and are held accountable for meeting these requirements;
vi. Staff are positively encouraged and required to notify management of actual or
pending food safety issues; and
vii. Staff are empowered to act to resolve food safety issues within their scope of work.

The reporting structure shall identify and describe the site personnel with specific
responsibilities for tasks within the food safety management system. Job descriptions for
those personnel shall be documented and include a provision to cover for the absence of
key personnel.

Senior site management shall designate a primary and substitute SQF practitioner for
each site with responsibility and authority to:

i. Oversee the development, implementation, review, and maintenance of the SQF

System, including Good Aquaculture Practices outlined in 2.4.2 and the food safety plan
outlined in 2.4.3.
ii. Take appropriate action to ensure the integrity of the SQF System; and
iii. Communicate to relevant personnel all information essential to ensure the effective
implementation and maintenance of the SQF System.
The SQF practitioner shall:

i. Be employed by the site;

ii. Hold a position of responsibility in relation to the management of the site’s SQF
System;
iii. Be competent to implement and maintain HACCP-based food safety plans; and
iv. Have an understanding of the SQF Food Safety Code: Aquaculture and the
requirements to implement and maintain an SQF System relevant to the site’s scope of
certification. The substitute Practitioner shall have the same competencies as the
assigned SQF practitioner.

Senior site management shall ensure the training needs of the site are resourced,
implemented, and meet the requirements outlined in system elements 2.9 and that site
personnel have met the required competencies to carry out those functions affecting the
legality and safety of food products.

Senior site management shall ensure the integrity and continued operation of the food
safety system in the event of organizational or personnel changes within the company or
associated facilities.
Senior site management shall designate defined blackout periods that prevent
unannounced re-certification audits from occurring out of season or when the site is not
operating for legitimate business reasons. The list of blackout dates and their justification
shall be submitted to the certification body a minimum of one (1) month before the sixty
(60) day re-certification window for the agreed-upon unannounced audit.

Management Review (Mandatory)

The SQF System shall be reviewed by senior site management at least annually and
include:

i. Changes to food safety management system documentation (policies, procedures,

specifications, food safety plan);
ii. Food safety culture performance;
iii. Food safety objectives and performance measures;
iv. Corrective and preventative actions and trends in findings from internal and external
audits, customer complaints, and verification and validation activities;
v. The hazard and risk management system; and
vi. Follow-up action items from previous management reviews.

Records of all management reviews and updates shall be maintained.

The SQF practitioner(s) shall update senior site management on at least a monthly basis
on matters impacting the implementation and maintenance of the SQF System. The
updates and management responses shall be documented.
Complaint Management (Mandatory)
The methods and responsibility for handling and investigating the cause and resolution of
complaints
Adverse trends fromofcommercial
customer complaintcustomers, consumers,
data and authorities
shall be investigated andthat may result
analyzed in a
and root
food
cause safety issue
established
Corrective and arising fromaction
by personnel
preventative products shallgrown
knowledgeable orabout
handled
be implemented on-site
the based
incidents.shall
on thebe documented
seriousness and
of the
implemented.
incident
Document Records
andControl
the root and of
cause customer complaints,
analysis as outlined in 2.5.3.
Records their investigation, and resolution shall be
Food Safety Management System (Mandatory)
Electronic and/or hard copy documentation shall be maintained and kept current. It will be
madesafety
Food available to relevant
plans, staff and include:
Good Manufacturing Practices, and all relevant aspects of the SQF
System
Document shallControl
be reviewed, updated, and communicated as needed when any changes
(Mandatory)
implemented have an
The methods and responsibility impact onfor the site's ability
maintaining to delivercontrol,
document safe food.
including records, shall
be documented
Records (Mandatory)and implemented. They shall ensure that documents and records are
All manual or electronic/digital records shall be legible, suitably authorized, and/or signed
by those shall
Records undertaking
be retained activities to demonstrate
in accordance that inspections,
with periods specified bysupervisory
a customerreviews,
or
testing,
regulationsand
Specifications, other essential
or at Species
a minimum activities
no less than the
Development, have been
and completed.
product
Supplier shelf life.
Approval
Species Development
The methods and responsibility for designing, developing, and converting product
concepts (e.g., new
The food safety planaquaculture
shall be reviewed species, andgenetics)
revised to commercial
accordingly forrealization shall be
each new aquacultural
documented
product and its
New products and implemented
associated
shall be tested process
andand comply with
through
inspected regulatory
conversion
to ensure and
meetcustomer
to commercial
they stated requirements.
production
shelf life, and
Records
maximum
The process of
distribution, newor
drug
flowsaquacultural
where
residue a change
for all limits,
new andproduct
to
and testing,
inputs shelf
orprocesses
processes
other Aquacultural
existing regulatory life
and (if applicable),
occurs
shallcustomer and final
that requirements.
be designed may impact approvals
food
Specifications (Aquacultural Inputs, Products, andto ensure
Contract that
safety.
product
Services) meets specifications and to prevent cross-contamination.
Specifications and/or descriptions for aquacultural inputs (e.g., medications, feed) and
contract
Aquaculturalservices
inputs that impact
shall finished
be verified toaquacultural product safety
ensure aquacultural productshall be is
safety documented,
not
approved,
compromised
Finished comply
aquacultural withproduct
and the relevant
material islegislation, and
fit for its intended
specifications shallkept current through
bepurpose.
documented, a review
Verification
approved byprocess.
shall include
the site
certificates
and
The methods ofand
their customersconformance,
responsibilities certificates
where applicable, of analysis,
accessible
for managing to or
contract sampling
relevant and
staff,
operation testing
and
and kept (refer
servicescurrent to
(e.g.,
2.4.4.1).
through
A a
veterinarian) review
register or listing process
shall be that
of documented may
all specifications include:
and and/or
implemented to ensure
descriptions the following
for agricultural are being
inputs and
met:
finished
Approved aquacultural
Supplier/Input products and contract
Purchasing services(Mandatory)
Program shall be maintained and kept
current.
Aquacultural inputs that impact aquacultural product food safety shall be supplied by an
approved
The receipt supplier. The methods
of aquacultural inputsand from responsibility
non-approved for suppliers
selecting,shallevaluating, approving,
be acceptable in an
and monitoring
emergency provided
Aquacultural an approved
they arefrom
inputs received supplier
inspected shall be documented
or analyzed
other sites under the beforesame and
use. implemented. The
corporate ownership shall
approved
be
Food subject supplier
Safetyto the program shall contain:
same specification requirements (refer to 2.3.2) and approved supplier
System
requirements
Food Legislation other
as all input providers.
(Mandatory)
The owner/senior site manager shall ensure that, at the time of delivery to its customer,
the
The aquacultural
methods andproducts responsibility supplied shall comply
for ensuring with the legislation
the organization is keptthat applies
informed of to the
changes
product
to
SQFI andand
relevant the its production
legislation,
certification in the
scientific
body country
and
shall of use
technical
be notified or writing
sale, if within
developments,
in known. Any specific
emerging
twenty-fourfood (24)licensing
safety hours as
requirements
issues,
a result and
of a or product/species-specific
relevant
regulatory industry
warning
Good Aquaculture Practices (Mandatory) codesor of
event. regulations
practice shall
Notification shall
beto be
SQFI maintained
documented
shall be and
by and kept
implemented.
email to
[email protected].
The site shall ensure the applicable Good Aquaculture Practices described in Module 6 of
this
Food Food Safety
Safety Code
Plan are documented and implemented (refer to 2.2.1.1) or exempted
(Mandatory)
according
An to a written
HACCP-based risk analysis
referenced food safety outlining
plan,the justification
developed by afor exemptionauthority,
responsible or evidence of
shall
the
Where effectiveness
be implemented
a site has in of alternative
the absence
developed control
its ownof a food measures
specifically
safety plan, to ensure
developed
eitherfoodthat food safety
safetyor
by choice plan is
duefor not
to the site.
product(s)
The
The site shall:
not included
food safety within
planthe or scope of a HACCP-based
plans shall be developed model as per 2.4.3.1,
and maintained it shallthat
by a team be includes
implemented and maintained and outline the means
the SQF practitioner and those site personnel with aquacultural, technical, and/or by which the site controls and
assures food
machinery safety of relevant
knowledge the products to the or commodities
product groups andincluded
products. in Where
the scope theof the SQF
relevant
expertise is not available on-site, advice may be obtained from other sources to assist the
The scope of each food safety plan shall be developed and documented including the
start anddescriptions
Product endpoint ofshall the processes
be developed under and consideration
documentedand for all relevant
productsinputsincludedandin the
outputs.
scope of the food safety plans. This shall reference and/or
The food safety team shall develop and document a flow diagram covering the scope of include:
each foodsafety
The food safetyteamplan.shall
The flow diagram
identify shall include
and document every
all food step in
safety the aquaculture
hazards that can
process,
reasonably all inputs,
be packaging
expected to material,
occur at each service
step ininputs
the (e.g.,
processes,
The food safety team shall conduct a hazard analysis for every identified hazard, water, air
including or other gasses
inputs. to as
appropriate),
identify
The foodwhich process
safetyhazards delays,
team shall and
are significant,all
determine and process outputs
i.e., document including
their elimination feed,
or reduction
the control waste,
measures and
to that rework.
an acceptable
must be
level
appliedis necessary to ensure food safety. The methodology
Based on the results of the hazard analysis (refer to 2.4.3.9), the food safety team to
to all significant hazards. More than one control for
measure determining
may be hazard
required shall
significance
control
identify the shall
steps be
in documented
the process and
where used
controlconsistently
one significant
must be to assess
For each identified CCP, the food safety team shall identify and document the critical by a
an identified hazard, and more than hazard
applied to all
may potential
eliminatebe hazards.
controlled
a significant
specific
hazard
limits.
The foodor
Thecontrol
food measure.
reduce
safety it to shall
safety
team an
teamacceptable level
shall validate
develop and (a
thecritical
document criticalcontrol
limits to
procedures point or CCP).
ensure
to monitor the CCPs
designated level
to ensure
of control
they
The remain
food of the
safety identified
within
team theshall food
established safety
develop hazard(s)
limits
and (refer to
document and that all critical
2.4.3.11).
deviation Monitoringlimits
procedures andidentify
control
procedures
that shall
the
measures
identify
disposition
The theindividually
documented personnel
of affected or in
assignedcombination
product when
and approved to conduct effectively
monitoring
food safety testing, provide
the
indicates
plan(s) the
sampling level
shall bea implementedand of
test control required
methods,
loss of controlinatfull. a CCP. and
The The
the test
procedures frequency.
shall
effective implementation
Verification also prescribe
procedures shall shall actions
bebein monitoredto correct
place to ensure the
by thethat process
foodcritical step
safetycontrol to prevent
team, and points recurrence
a full
arereview of
of
thethe safety
documented
effectively
Critical failure.
monitored
control and implemented
and appropriate
point monitoring, plans shall
corrective
corrective be
action, conducted
actions at least
are applied.
and verification annually
Implemented
records or be
shall when
food
changes
safety
maintained
Where to
plans the
food and process,
shall be equipment,
verified
appropriately
safety as
regulations used. part inputs,
of SQF or other
System changes
verification affecting
(refer
in the country of production and destination (if known) toproduct
2.5). safety
prescribe
Input anda Product
food safety control methodology
Sampling, Inspection,other and than the Codex Alimentarius
Analysis
Commission
The sampling, inspecting, and/or analyzing of aquaculturalimplement
HACCP guidelines, the food safety team shall inputs and food safety
finished plans
product
that
shallmeet
On-site both Codex
belaboratories
documented andimplemented.
and
conductingfood regulatory
chemicalThe requirements.
and procedures
microbiological applied shall ensure:
analyses that may pose a
risk to product safety shall ensure
Non-conforming Inputs and Aquacultural Products the following:
The methods and responsibility for how to control non-conforming aquaculture inputs
and/or products shall be documented and implemented. The procedures shall ensure:

i. Items are identified, quarantined (held), handled, re-worked, or disposed of in a

manner that minimizes the risk of inadvertent use, improper use, or risk to the integrity of
aquacultural products;
ii. All relevant personnel are aware of the sites hold-and-release instructions and
approvals, and
iii. Records of non-conforming product holds, release, and dispositions are maintained.

Product Rework
The responsibility and methods outlining how aquacultural products are reworked shall be
documented
Product Releaseand implemented.
(Mandatory)The methods applied shall ensure:
The methods and responsibility for releasing finished aquacultural product shall be
documented
SQF Systemand implemented. The methods applied shall ensure
Verification
Validation and Effectiveness (Mandatory)
The methods, responsibility, and criteria for ensuring the effectiveness of all applicable
elements of the
Verification SQF Program
Activities shall be documented, implemented, and effective. The
(Mandatory)
methods applied
The methods, shall ensureand
responsibility, that:
criteria for verifying monitoring of Good Aquaculture
Practices,
A critical
verification control
schedule points, other
outlining food safety
the verification controls,their
activities, and frequency
the legalityofofcompletion,
certified
products
and shall
the person
Corrective be documented
andresponsible
Preventative and
for each implemented.
activity
Action The methods applied shall
shall be prepared and implemented.
(Mandatory) ensure that
personnel
The methods with
andresponsibility
responsibilityforfor
verifying
outliningmonitoring activities
how corrective andauthorize eachactions
preventative verifiedare
determined, implemented,
Internal Audits and verified
and Inspections shall be documented and implemented. The
(Mandatory)
procedures shall include:
The methods and responsibility for scheduling and conducting internal audits to verify the
effectiveness
Personnel of the SQF
conducting System
internal shallshall
audits be documented andcompetent
be trained and implemented. Internal
in internal audits
audit
shall be conducted in full and at least annually. The methods applied shall
procedures. Where practical, staff conducting internal audits shall be independent of theensure:
function being audited.
Regular inspections during aquacultural production shall be planned and carried out to
verify
Product Good Aquacultureand
Traceability Practices
Crisis and building/equipment maintenance are compliant
Management
with the SQF Food Safety Code: Aquaculture.
Product Identification and Traceability (Mandatory) The site shall:
The methods and responsibilities for the product identification system shall be
documented
The responsibilityand implemented
and methodsto ensure:
used to trace product shall be documented and
implemented to ensure:
Product Withdrawal and Recall (Mandatory)
The responsibility
Investigation shall and methods used
be undertaken to withdraw
to determine theorcause
recallofproduct shall beordocumented
a withdrawal recall, and
and implemented. The procedure shall:
details of investigations and any action taken shall be documented and recorded.
SQFI and the certification body shall be notified in writing within twenty-four (24) hours
upon
Crisisidentification
Management of aPlanning
food safety event that requires public notification. SQFI shall be
notified at [email protected].
The methods and responsibility for execution of a crisis management plan shall be
documented
The and implemented.
crisis management plan shall Thebeplan shall include:
reviewed, tested, and verified at least annually with
gaps
Foodand appropriate
Defense and Food corrective
Fraudactions documented.
Food Defense Plan (Mandatory)
A food/product defense threat assessment shall be conducted to identify potential threats
asfood
A a result of a deliberate
defense plan shall be actdocumented,
of sabotage or terrorist-likeand
implemented, incident.
maintained based on the
threat assessment
Instruction shall be (refer
provided to 2.7.1.1). The food
to all relevant defense
staff on theplan shall implementation
effective meet legislative of the
requirements
food defense as
plan applicable
(refer to and shall
2.9.2.1). include at a minimum:
The food defense threat assessment and prevention plan shall be reviewed and tested at
least
Foodannually or when the threat level, as defined in the threat assessment, changes.
Fraud (Mandatory)
The methods, responsibility, and criteria for identifying the site’s vulnerability to food
fraud
A foodshall
fraud bemitigation
documented, plan implemented,
shall be developed and maintained. The food
and implemented thatfraud vulnerability
specifies the
assessment
methods shall include the site’s susceptibility to product substitution,
The food fraud vulnerability assessment and mitigation plan shall be reviewed andhow the
by which the identified food fraud vulnerabilities shall be mislabeling,
controlled and
dilution,
plan
verified
Allergen and
at counterfeiting
is communicated
least annually
Management or gaps
to relevant
with stolen goods
staff
and to that may
ensure
corrective adversely
effective
actions impact food safety.
implementation.
documented.
Allergen Management (Mandatory)
The methods and responsibility for the control of allergens and to prevent sources of
allergenslabeling,
Product from contaminating
in accordance product shall be documented
with regulatory requirements, and implemented.
shall The
include allergens
allergen
where
Training management program shall include:
risks from cross-contamination have been documented.
Training Requirements
The responsibility for establishing and implementing the training needs of the site’s
personnel totraining
Appropriate ensure they shall have the required
be provided competencies
for personnel carryingto out
carrytheout those
tasks functions
essential to the
affecting
effective products,
Trainingimplementation legality,
Program (Mandatory) and safety shall be defined and documented
of the SQF System and the maintenance of food safety and (refer to 2.1.1.6).
regulatory requirements.
A training program shall be documented and implemented. It shall outline the necessary
competencies
Training materials, for specific dutiesofand
the delivery the training
training, and workmethods to be applied
instructions on tasks tocritical
relevantto
personnel
meeting upon
regulatoryinitial hire
complianceand for
and
Training records shall be maintained and include: ongoing
the refresher
maintenance training.
of food The
safety training
shall beprogram
providedshall
in
include at a minimum:
language understood by personnel.
Checklist
Primary Response Evidence
Supplier Onsite Correction/ Corrective Action
Need to identify a back-up practioner.
 Clause
Opening Meeting

Closing Meeting

Facility Description

Auditor
Recommendation

2.1
2.1.1
2.1.1.1
2.1.1.2

2.1.1.3

2.1.1.4

2.1.1.5
2.1.1.6

2.1.1.7

2.1.1.8

2.1.2
2.1.2.1

2.1.2.2

2.1.3
2.1.3.1
2.1.3.2
2.1.3.3
2.2
2.2.1
2.2.1.1
2.2.1.2
2.2.2
2.2.2.1
2.2.3
2.2.3.1
2.2.3.2
2.2.3.3
2.3
2.3.1
2.3.1.1
2.3.2
2.3.2.1
2.3.2.2
2.3.2.3
2.3.2.4
2.3.2.5
2.3.2.6
2.3.2.7
2.3.3
2.3.3.1
2.3.3.2
2.3.3.3
2.3.4
2.3.4.1
2.3.4.2
2.3.4.3
2.4
2.4.1
2.4.1.1
2.4.1.2
2.4.1.3
2.4.2
2.4.2.1
2.4.2.2
2.4.3
2.4.3.1
2.4.3.2
2.4.3.3
2.4.3.4
2.4.3.5
2.4.3.6
2.4.3.7
2.4.3.8
2.4.3.9
2.4.3.10
2.4.3.11
2.4.3.12
2.4.3.13
2.4.4
2.4.4.1
2.4.4.2
2.4.5
2.4.5.1
2.4.6
2.4.6.1
2.4.6.2
2.5
2.5.1
2.5.1.1
2.5.2
2.5.2.1
2.5.2.2
2.5.3
2.5.3.1
2.5.3.2
2.5.4
2.5.4.1
2.5.4.2
2.5.4.3
2.5.4.4
2.6
2.6.1
2.6.1.1
2.6.1.2
2.6.2
2.6.2.1
2.6.3
2.6.3.1
2.6.3.2
2.6.3.3
2.6.3.4
2.6.4
2.6.4.1
2.6.4.2
2.7
2.7.1
2.7.1.1
2.7.1.2
2.7.1.3
2.7.1.4
2.7.2
2.7.2.1
2.7.2.2
2.7.2.3
2.7.2.4
2.8
2.8.1
2.8.1.1
2.8.1.2
2.8.1.3
2.9
2.9.1
2.9.1.1
2.9.1.2
2.9.2
2.9.2.1
2.9.2.2
2.9.2.3
Storage and Distribution E
Item
People Present at the Opening Meeting (Please list names and roles in the following
format Name: Role separated by comas)
People Present at the Closing Meeting (Please list names and roles in the following format
Name: Role separated by comas)
Auditor Description of Facility (Please provide facility description include # of employees,
size, production schedule, general layout, and any additional pertinent details

Auditor Recommendation

SQF System Elements for Food Manufacturing

Management Commitment
Management Responsibility (Mandatory)
Senior site management shall prepare and implement a policy statement that outlines at
a minimum the commitment of all site management to:
i. Supply safe food;
ii. Establish and maintain a food safety culture within the site;
iii. Establish and continually improve the site’s food safety management system; and
iv. Comply with customer and regulatory requirements to supply safe food.

The policy statement shall be:

v. Signed by the senior site manager and displayed in prominent positions; and
vi. Effectively communicated to all site personnel in language(s) understood by all site
personnel.
Senior site management shall lead and support a food safety culture within the site that
ensures at a minimum:
i. The establishment, documentation, and communication to all relevant staff of food
safety objectives and performance measures;
ii. Adequate resources are available to meet food safety objectives;
iii. Food safety practices and all applicable requirements of the SQF System are adopted
and maintained;
iv. Staff are informed and held accountable for their food safety and regulatory
responsibilities;
v. Staff are positively encouraged and required to notify management of actual or
potential food safety issues; and
vi. Staff are empowered to act to resolve food safety issues within their scope of work.

The reporting structure shall identify and describe site personnel with specific
responsibilities for tasks within the food safety management system and identify backup
for absence of key personnel.

Job descriptions for the key personnel shall be documented.

Site management shall ensure departments and operations are appropriately staffed and
organizationally aligned to meet food safety objectives.

Senior site management shall designate a primary and substitute SQF practitioner for
each site with responsibility and authority to:
i. Oversee the development, implementation, review, and maintenance of the SQF
System;
ii. Take appropriate action to ensure the integrity of the SQF System; and
iii. Communicate to relevant personnel all information essential to ensure the effective
implementation and maintenance of the SQF System.

The primary and substitute SQF practitioner shall:

i. Be employed by the site;
ii. Hold a position of responsibility in relation to the management of the site’s SQF
System;
iii. Have completed a HACCP training course;
iv. Be competent to implement and maintain HACCP-based food safety plans; and
v. Have an understanding of the SQF Food Safety Code: Storage and Distribution and the
requirements to implement and maintain an SQF System relevant to the site’s scope of
certification.
Senior site management shall ensure the training needs of the site are resourced,
implemented, and meet the requirements outlined in system elements 2.9 and that site
personnel meet the required competencies to carry out those functions affecting the
legality and safety of food products.

Senior site management shall ensure the integrity and continued operation of the food
safety system in the event of organizational or personnel changes within the company or
associated facilities.
Senior site management shall designate defined blackout periods that prevent
unannounced re-certification audits from occurring out of season or when the site is not
operating for legitimate business reasons. The list of blackout dates and their justification
shall be submitted to the certification body a minimum of one (1) month before the sixty
(60) day re-certification window for the agreed upon unannounced audit.

Management Review (Mandatory)

The SQF system shall be reviewed by senior site management at least annually and
include:
i. Changes to food safety management system documentation (policies, procedures,
specifications, food safety plan);
ii. Food safety culture performance;
iii. Food safety objectives and performance measures;
iv. Corrective and preventative actions, and trends in findings from internal and external
audits, customer complaints, and verification and validation activities;
v. Hazard and risk management system; and
vi. Follow-up action items from previous management review.

Records of all management reviews and updates shall be maintained.

The SQF practitioner(s) shall update senior site management on at least a monthly basis
on matters impacting the implementation and maintenance of the SQF System. The
updates and management responses shall be documented.
Complaint Management (Mandatory)
The methods and responsibility for handling, investigating, and resolving food safety
complaints fromofcommercial
Adverse trends customers,
customer complaint consumers,
data and authorities,
shall be investigated and arising from
analyzed and the
products
root stored
cause or
establishedhandled
by on-site
personnel shall be documented
knowledgeable aboutand implemented.
the incidents.
Corrective and preventative action shall be implemented based on the seriousness of the
incident
Document andControl
the root and cause analysis as outlined in 2.5.3. Records of customer complaints,
Records
their
Foodinvestigation, and resolution
Safety Management shall(Mandatory)
System be maintained.
The methods and procedures the site uses to meet the requirements of the SQF Food
Safety Code:plans,
Food safety Storage GoodandStorage
Distribution shall be maintained
and Distribution Practicesin electronic
and and/or
all relevant hard copy
aspects of the
documentation.
SQF shallIt be
SystemControl
Document willreviewed,
be made updated,
(Mandatory)available and
to relevant staff andasinclude:
communicated needed when any changes
implemented
The haveresponsibility
methods and an impact onfor the site’s ability
maintaining to delivercontrol
document safe food.
and ensuring staff have
access
Records to (Mandatory)
current requirements and instructions shall be documented and implemented.
The methods, frequency, and responsibility for verifying, maintaining, and retaining
records
All records shall be be
shall documented
legible andand implemented.
confirmed by those undertaking monitoring activities that
demonstrate inspections, analyses,
Records shall be readily accessible, retrievable, and other essential
and securely activitiesstored have to been
prevent completed.
unauthorized
Specifications access, loss, damage,
and Supplier Approval and deterioration. Retention periods shall be in
accordance
Product forwith customer,
Storage and legal, and regulatory requirements, at minimum the product
Distribution
shelf life, or established
Product handling and storage requirements by the site if no shelf forlife
allexists.
products received, stored, and intended
for distribution, shall be
Supplier Approval and Incoming Supplies documented, current, approved by the site and their customer (if
applicable),
The methodsaccessible to relevant
and responsibility forstaff,
developingand include temperature
and approving requirements,
product descriptions storage
shall
conditions,
be documented.
All incoming packagingProduct
supplies requirements,
shall descriptions
comply with and
forthehandling
allrelevant and transportation
incominglegislation. conditions.
supplies used by the site but not
intended for
Incoming distribution,
supplies shall beincluding,
verified to but not limited
ensure product to safety
hazardous is not chemicals,
compromised ice, foodand the
packaging
material isgoods
Incoming materials,
fit forthat or
its intended janitorial
may have supplies
purpose.
an impact that
Verification are
on product used on-site
of incoming
safety shall and impact
materials
be supplied on
shallby product
include
an a
review
Incoming of
approved goods the product
supplier. received description
The responsibility
in emergency to determine
forsituations conformance.
selecting,shall evaluating, approving,
be acceptable and monitoring
provided they are
an approved
inspected goods
Incoming supplier
or analyzed shall
and packaging be
before use documented
and thefrom
received and
supplier implemented.
otherhas been
sites underevaluated.
the same corporate
ownership shallproduct
Specifications, be subject to the same
requirements, andproduct
incoming requirements
supplies shall and be approved
reviewed supplier
annually or
requirements
as changesService
Contract as all other
occur. Providers material providers.
Description of services for contract service providers that have an impact on product
safety shall services
Contracted be documented, that have current,
an impact include a full description
on product safety shall of bethereviewed
service to be
against the
provided,
description. and The the relevant
methods food
and safety training
responsibilities forrequirements
contracted
A record of all contract service descriptions that have an impact on product safety shall of all
services contract
review personnel
shall be
prior
be to conducting
documented
maintained.
Contract Third-Party work.
and validated Storageas needed or at a minimum of annually.
or Distributor
The methods and responsibility for ensuring all agreements relating to food safety and
customer
The site shall: product requirements and its realization and delivery are specified and agreed
shall
Recordsbe documented
of all contractand implemented.
reviews and changes to contractual agreements and their
approvals shall
Food Safety System be maintained.
Food Legislation (Mandatory)
The site shall ensure that food stored and delivered to customers is handled in a manner
that methods
The complies and withresponsibility
the relevant legislationfor ensuring in the
the sitecountry
is kept of its production
informed and destination.
of changes to
relevant
SQFI andlegislation,
the certification scientific body and technical
shall be notified developments,
in writing within emerging food safety
twenty-four (24) issues,
hours as
and
a relevant
result
Good industry
of a regulatory
Storage codes of practice
warning or event.
and Distribution Practicesshall be
Notificationdocumented
(Mandatory) and implemented.
to SQFI shall be by email to
[email protected].
The site shall ensure the Good Storage and Distribution Practices described in Module 12
of this
The GoodFood Safetyand
Storage Code are applied
Distribution or exempted
Practices according
applicable to thetoscopea written risk analysis
of certification that
outlining
outline
Food Safety the
how food justification
Plan safety for exemption or evidence of the effectiveness
is controlled and assured shall be documented and implemented.
(Mandatory) of alternative
control measures
A hazard and risk management to ensure thatsystem
food safety shallis benot compromised.
developed and take into consideration
relevant legislation in all countries of
The food safety plan or plans shall be developed and maintained operation. The system shall by be arisk based,
multidisciplinary
systematic
team
The scope ofand
that includes
each comprehensive,
the SQF
food safety planandshall
practitioner based be on
and HACCP
those
developed siteor preventive
personnel
and documented with controls.
technical, Thestorage
including food
the
safety
Product requirements shall be developed and documented for all products (or groupswhich
and
start andplan
distribution,shall
endpoint be
and of effectively
facility
the processes implemented,
/maintenance under maintained,
knowledge
consideration of and
the
and outline
relevant
all relevant the
productsmeans
inputs andby
and of
associated
outputs.
products) processes.
included in Where
the scope the ofrelevant
the food expertise
safety
The food safety team shall develop and document a flow diagram covering the scope of is
plans. not available
This shall on-site,
reference advice
the may
product
descriptions
each
The foodfoodsafety (refer
safety team to 2.3.2.1)
plan. The flow
shall plus
identify any
andadditional
diagram shall include
document information
every
all food relevant
step
safety in theto
hazards product
process,
that can safety,
all raw
such as
material,
reasonably temperature
The food safetypackaging,
be expected for
teamserviceshallstorage,
inputs
to conduct
occur how
at (e.g.,
aeachthe
hazard product
water,
step is
in steam, packaged,
forgases
the processes,
analysis everyas allergen requirements,
appropriate),
including
identified scheduled
food products
hazard, to
process
received
identify
The delays,
and
foodwhich
safety and
stored.
hazards all
team shall process outputs
are significant.
determine and including
The document
methodology waste, rework,
the for and
determining
control measuresrecoup.
hazard Each
that must flow
be
significance
applied
Based ontotheallshall be documented
significant
results of the hazards.
hazardMore and used
analysis consistently
than(refer
one control to assess
measure
to 2.4.3.7), all potential
may
the food be required
safety hazards.
team to
shall
control
identify
For an
eachthe identified
steps instep
identified hazard,
the requiring and
process where more
control than
control one
(e.g. PC significant
must be applied
or CCP) hazard
the food may
to eliminate be
safety team controlled
shall by a
a significant
specific
hazard
document
The food control
or reduce
safety measure.
the limits it tothat
team an separate
shall acceptable
developsafe level
and from(e.g.,
documentunsafea preventive
product. The
procedures controlfood
to monitor{PC}safetyor critical
team shall
identified steps
control
validate
requiring
The point
the {CCP}).
critical
controlteam
food safety limits
(e.g. shall to ensure
PC ordevelop
CCP) to and the
ensuredesignated
they remain
document level
deviation of control
within of the
the established
procedures identified food
limits the
that identify
safety
disposition of affected product when monitoring indicates a loss of control at anin
(refer hazard(s)
to 2.4.3.12). and that
Monitoring all critical
procedureslimits and
shall control
identify measures
the personnelindividually
assigned or to conduct
identified
testing,
step the sampling
requiring control and (e.g.test
PC or methods,
CCP). The andprocedures
the testingshall frequency.
also prescribe actions to
correct the process step to prevent recurrence of the safety failure.
The documented and approved food safety plan(s) shall be implemented in full. The
effective implementation
Non-conforming Product shall
and beEquipment
monitored by the food safety team, and a full review of
the documented and implemented
The responsibility and methods outlining plans shall be conducted atproduct,
how non-conforming least annually, or when
raw materials,
changes to
ingredients, the process,
work-in-progress,
Quarantine records equipment,
and records inputs,
packaging, or other
or equipment
of the handling, changes affecting
detected
corrective action,during product ofsafety
receipt,
or disposal storage,
handling, or delivery
nonconforming
Product Recoup productandorincluding
equipment food found
shall to be damaged and/or returned from
be maintained.
customers is handled shall be documented
The responsibility and methods outlining how product and implemented. The shall
is recouped methods applied shall
be documented
and implemented.
Product Release The methods applied shall ensure:
(Mandatory)
The responsibility and methods for releasing products shall be documented and
implemented. The methods
Records of all product releaseapplied
shall be shall ensure the product is released by authorized
maintained.
personnel.
SQF System Verification
Validation and Effectiveness (Mandatory)
The methods, responsibility, and criteria for ensuring the effectiveness of all applicable
elements
Verificationof the SQF Program
Activities shall be documented, implemented, and effective. The
(Mandatory)
methods applied shall ensure
The methods, responsibility, and that:criteria for verifying monitoring of Good Storage and
Distribution
A verificationPractices,
schedulecritical control
outlining points, andactivities,
the verification other foodtheir
safety controlsofshall
frequency be
completion,
documented
and the person
Corrective and implemented.
andresponsible
Preventative The
for each
Actionmethods
activity shall be prepared and implemented. with
applied
(Mandatory) shall ensure that personnel
responsibility
The responsibilityfor verifying
and methodsmonitoring
outliningactivities authorizeand
how corrective each verified record.
preventative actions are
determined, implemented, and verified, including
Records of all investigation, root cause analyses and resolution identification of the root cause andtheir
non-conformities,
resolution
corrections, ofand
Internal Audits non-compliance
implementation
and Inspections of critical food safety
of preventative
(Mandatory) limits shall
actions and deviations
be maintained.from food safety
requirements, shall be documented and implemented.
The methods and responsibility for scheduling and conducting internal audits to verify the
effectiveness
Staff conducting of the SQF System
internal shallbe
audits shall betrained
documented and implemented.
and competent in internalInternal
audit audits
shall be inspections
Regular conducted
procedures. Where in offull
theand
practical, at least
sitestaff
and annually.
conducting
equipment The be
internal
shall methods
audits
planned applied
shall
and shall
becarried ensure:
independent of the
out to verify
function
Good
Records being
Storage
of audited.
and
internal Distribution Practices and
audits and inspections andfacilities and equipment
any corrective maintenance
and preventative are
actions
compliant
taken
Product with the
as aTraceability
result ofSQF Foodaudits
internal
Recall Safety
andshallCode: Storage
beManagement
Crisis recorded and
as Distribution.
per 2.5.3. The site shall:
Product Identification (Mandatory)
The methods and responsibility for identifying products during all stages of storage shall
be documented
Records of productandreceipt
implemented.
and use The
and product
product identification
dispatch and system shallshall
destination be be
implemented
maintained. to ensure:
Product Trace (Mandatory)
The responsibility and methods used to trace product shall be documented and
implemented to ensure:and Recall (Mandatory)
Product Withdrawal
The responsibility and methods used to withdraw or recall products shall be documented
and implemented.
The product The procedure
withdrawal and recallshall:
system shall be reviewed, tested, and verified as
effective at least annually. Testing
Records shall be maintained of withdrawal shall include incoming
and recall tests,materials (one
root cause back), inhouse
investigations into
identification
actual and
withdrawals isolation/quarantine,
and recalls, and and
applied where the
corrective product
and is shipped
preventative to (one
actions.
SQFI and the certification body shall be notified in writing within twenty-four (24) hours forward).
upon
Crisisidentification
Management of aPlanning
food safety event that has been initiated by the site requires
public
A crisisnotification.
management SQFIplanshall be notified
based at [email protected].
on the understanding of known potential dangers (e.g.,
flood, drought, fire, tsunami, or other severe weather
The crisis management plan shall be reviewed, tested, and verifiedevent, warfareatorleast
civil annually
unrest, with
computer
gaps
Foodand outage,
appropriate
Defense and pandemic, lossactions
corrective
Food Fraud of electricity or refrigeration,
documented. Records of ammonia
reviews leak,
of thelabor
crisis
strike) that
management
Food Defense can impact
plan
Planshall the site’s ability
be maintained.
(Mandatory) to deliver safe food, shall be documented by
A food defense threat assessment shall be conducted to identify potential threats that can
befood
A caused by a plan
defense deliberate actdocumented,
shall be of sabotage implemented,
or terrorist-likeand
incident.
maintained based on the
threat assessment
Instruction shall be (refer to 2.7.1.1).
provided The food
to all relevant defense
staff on theplan shall implementation
effective meet legislative of the
requirements
foodfood
The defense as applicable
planthreat
defense and shall
(refer assessment include at a minimum:
to 2.9.2.1). and prevention plan shall be reviewed and tested at
least annually or when the threat level, as defined in the threat assessment, changes.
Records of reviews and tests of the food defense plan shall be maintained.
Food Fraud (Mandatory)
The methods, responsibility, and criteria for identifying the site’s vulnerability to food
fraud
A foodincluding susceptibility
fraud mitigation to product
plan shall substitution,
be developed mislabeling, dilution,
and implemented or
that specifies the
counterfeiting
methods by shall
which be
the documented,
identified food implemented,
fraud and
vulnerabilitiesmaintained.
shall
The food fraud vulnerability assessment and mitigation plan shall be reviewed andbe controlled.
verified
Records atof least
reviewsannually
of the with
foodgaps
fraudand correctiveassessment
vulnerability actions documented. Records
and mitigation planofshall be
reviews shall
maintained.
Allergen be maintained.
Management
Allergen Management (Mandatory)
The responsibility and methods used to control allergens and to prevent sources of
allergens from
Recouped productcontaminating product
containing food shall be
allergens documented
(refer to 2.4.5) and
shallimplemented.
be repackaged Theunder
allergen
Sites thatmanagement
conditions that
do notensure
handle controls
product shallmaterials
safety
allergenic beandbased oron
integritya risk assessment
is allergenic
store maintained. and include
Recouped
products the
shallproduct
document,
identification,
containing labeling,
allergens and
shall behandling
clearly of allergen-containing
identified and traceable.
implement, and maintain an allergen management program that addresses, at a
Training product, including product
minimum, the mitigation of introduced or unintended allergens from suppliers, contract
Training Requirements
manufacturers,
The responsibility site
forpersonnel, and/or
establishing and visitor activities.
implementing the training needs of the
organization’s
Appropriate personnel
training shalltobeensure
providedthey forhave the required
personnel competencies
carrying out the taskstoessential
carry outto the
those functions
effective affecting
Trainingimplementation
Program (Mandatory) product legality and safety shall be defined and
of the SQF System and the maintenance of food safety and documented
(refer to
regulatory2.1.1.6).
requirements.
A training program shall be documented and implemented that, at a minimum, outlines
the necessary
Training competencies
materials, the deliveryforof
specific
training, duties
and and the training
procedures on allmethods to be to
tasks critical applied for
meeting
personnel
regulatory carrying
compliance out tasks
and associated
the maintenance
Training records shall be maintained and include: with: of food safety shall be provided in languages
understood by staff.
on Edition 9 Checklist
Costco Specific Requirement Primary Response
The required registration for the bio-terrorism
regulation is current and verified. (This
applies to vendors that manufacture and
import to the US). Supplier must show
Costco requires that suppliers show that
traceability exercises were conducted twice
during the year in two of the following three
areas: finishedmust
All operations goodconduct
item, ingredient,
an annualand
mock
recall to verify current contact information
and that the quantities received and
distributed through the next step in the item’s
list
Evidence
Supplier Onsite Correction/ Corrective Action
Need to identify a back-up practioner.