Safe

Quality Food Institute (SQF)

A HACCP-Based Supplier Assurance

Code for Preserved Foods Manufacturing

Suppliers, SQF Food Sector Category 18

SQF Code Edition 7.1: SQF System Elements (Module

2), Food Safety Plan (Level 2)

Edition 7.1 May 2013

Organization Name:
Version: v1
Date:
Document Owner:

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v1, October, 2013

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SQF Code 7.1

2012 Safe Quality Food Institute
Published May, 2013
Food Quality Food Institute

SQF Code 7.1, System Elements (Module 2), Food Safety Plan (Level 2)
2.1.0.0.0
Management Commitment ..........................................................................................................................................6
2.1.1.0.0
Management Policy (M) .................................................................................................................................................. 6
2.1.1.1.0
Preparation and Implementation ................................................................................................................................ 6
2.1.1.2.0
Policy Statement Document ........................................................................................................................................ 6
2.1.2.0.0
Management Responsibility (M) ..................................................................................................................................... 6
2.1.2.1.0
Reporting Structure ..................................................................................................................................................... 6
2.1.2.2.0
Ensurance of Practices ................................................................................................................................................ 6
2.1.2.3.0
Adequate Resources.................................................................................................................................................... 6
2.1.2.4.0
Management Designated SQF Practitioner ................................................................................................................. 7
2.1.2.5.0
SQF Practitioner Requirements ................................................................................................................................... 7
2.1.2.6.0
Personnel Training....................................................................................................................................................... 7
2.1.2.7.0
Staff Responsibility ...................................................................................................................................................... 7
2.1.2.8.0
Job Descriptions .......................................................................................................................................................... 7
2.1.2.9.0
Continuous Improvement Process .............................................................................................................................. 7
2.1.3.0.0
Food Safety Management System (M) ............................................................................................................................ 8
2.1.3.1.0
Food Safety Manual .................................................................................................................................................... 8
2.1.3.2.0
Availability and Documentation .................................................................................................................................. 8
2.1.4.0.0
Management Review (M) ................................................................................................................................................ 8
2.1.4.1.0
Reviews ....................................................................................................................................................................... 8
2.1.4.2.0
Annual Review ............................................................................................................................................................. 8
2.1.4.3.0
Change Reviews........................................................................................................................................................... 8
2.1.4.4.0
Validating Changes ...................................................................................................................................................... 9
2.1.4.5.0
Records ........................................................................................................................................................................ 9
2.1.5.0.0
Complaint Management .................................................................................................................................................. 9
2.1.5.1.0
Compliant Handling Process ........................................................................................................................................ 9
2.1.5.2.0
Customer Complaint Trends........................................................................................................................................ 9
2.1.5.3.0
Implementation of Corrective Action(s) ...................................................................................................................... 9
2.1.5.4.0
Maintaining Customer Complaint Records ................................................................................................................. 9
2.1.6.0.0
Business Continuity Planning ........................................................................................................................................... 9
2.1.6.1.0
Business Continuity Plan ............................................................................................................................................. 9
2.1.6.2.0
Business Continuity Plan Content ............................................................................................................................. 10
2.1.6.3.0
Annual Review ........................................................................................................................................................... 10
2.1.6.4.0
Records of Reviews and Verifications ....................................................................................................................... 10
2.2.0.0.0
Document Control and Records (M) ........................................................................................................................... 11
2.2.1.0.0
Document Control (M) ................................................................................................................................................. 11
2.2.1.1.0
Document Control and Record Access ...................................................................................................................... 11
2.2.1.2.0
Register of Documents and Amendments ................................................................................................................ 11
2.2.1.3.0
Document Storage and Access .................................................................................................................................. 11
2.2.2.0.0
Records (M) ................................................................................................................................................................... 11
2.2.2.1.0
Documented and Implemented Records Plan .......................................................................................................... 11
2.2.2.2.0
Record Quality ........................................................................................................................................................... 11
2.2.2.3.0
Record Access ............................................................................................................................................................ 11
2.3.0.0.0
Specification and Product Development ..................................................................................................................... 12
2.3.1.0.0
Product Development and Realization .......................................................................................................................... 12
2.3.1.1.0
Documented and Implemented Product Concept to Commercialization Plan ......................................................... 12

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2.3.1.2.0
2.3.1.3.0
2.3.1.4.0
2.3.1.5.0
2.3.2.0.0
2.3.2.1.0
2.3.2.2.0
2.3.2.3.0
2.3.2.4.0
2.3.2.5.0
2.3.2.6.0
2.3.2.7.0
2.3.3.0.0
2.3.3.1.0
2.3.3.2.0
2.3.4.0.0
2.3.4.1.0
2.3.4.2.0
2.3.4.3.0
2.3.5.0.0
2.3.5.1.0
2.3.5.2.0

Validation of Product Formulation, Manufacturing, and Fulfillment ........................................................................ 12

Shelf-Life Trials .......................................................................................................................................................... 12
A Food Safety Plan..................................................................................................................................................... 12
Record Maintenance ................................................................................................................................................. 12
Raw and Packaging Materials ........................................................................................................................................ 12
Specification Record Maintenance............................................................................................................................ 12
Compliance to Legislation ......................................................................................................................................... 12
Methods and Responsibility Documented ................................................................................................................ 13
Raw and Packaging Material Safety .......................................................................................................................... 13
Validation of Packaging Material............................................................................................................................... 13
Product Labels ........................................................................................................................................................... 13
Register of Raw and Packaging Material ................................................................................................................... 13
Contract Service Providers............................................................................................................................................. 13
Specifications of Contract Services............................................................................................................................ 13
Register of Contracted Services ................................................................................................................................ 13
Contract Manufacturers ................................................................................................................................................ 13
Documentation and Implementation of Customer Product Realization and Delivery ............................................. 13
Supplier Requirements .............................................................................................................................................. 14
Record Maintenance ................................................................................................................................................. 14
Finished Product ............................................................................................................................................................ 14
Finished Product Specifications................................................................................................................................. 14
Register of Finished Product Specifications .............................................................................................................. 14

2.4.0.0.0
Attaining Food Safety ................................................................................................................................................. 15
2.4.1.0.0
Food Legislation (Regulation) (M).................................................................................................................................. 15
2.4.1.1.0
Compliance to Food Regulations ............................................................................................................................... 15
2.4.1.2.0
Documentation and Implementation of Plan to Maintain Currency in Relative Areas ............................................. 15
2.4.2.0.0
Food Safety Fundamentals (M)...................................................................................................................................... 16
2.4.2.1.0
Property, Buildings, and Equipment.......................................................................................................................... 16
2.4.2.2.0
Detailed Risk Analysis ................................................................................................................................................ 16
2.4.2.3.0
Pre-requisite Programs.............................................................................................................................................. 16
2.4.3.0.0
Food Safety Plan (M) ..................................................................................................................................................... 17
2.4.3.1.0
The Food Safety Plan ................................................................................................................................................. 17
2.4.4.0.0
Food Quality Plan........................................................................................................................................................... 17
2.4.4.1.0
Clause Applicability ................................................................................................................................................... 17
2.4.5.0.0
Incoming Goods and Services ........................................................................................................................................ 17
2.4.5.1.0
Supply by Approved Supplier .................................................................................................................................... 17
2.4.5.2.0
Non-approved Supplier Exception ............................................................................................................................ 17
2.4.5.3.0
Documentation and Implementation of Supplier Approval Process ......................................................................... 17
2.4.5.4.0
Supplier Approval Program ....................................................................................................................................... 18
2.4.5.5.0
Maintenance of Approved Supplier Records ............................................................................................................ 18
2.4.6.0.0
Non-conforming Product or Equipment ........................................................................................................................ 19
2.4.6.1.0
Responsibilities and Methods ................................................................................................................................... 19
2.4.6.2.0
Record Maintenance ................................................................................................................................................. 19
2.4.7.0.0
Product Rework ............................................................................................................................................................. 19
2.4.7.1.0
Documentation and Implementation of a Product Rework Plan .............................................................................. 19
2.4.7.2.0
Record Maintenance ................................................................................................................................................. 19
2.4.8.0.0
Product Release (M) ...................................................................................................................................................... 20
2.4.8.1.0
Documentation and Implementation of Product Release Plan................................................................................. 20
2.4.8.2.0
Record Maintenance ................................................................................................................................................. 20
2.4.9.0.0
Stock Rotation................................................................................................................................................................ 20

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2.4.9.1.0

Documentation and Implementation of Stock Rotation Plan ................................................................................... 20

2.5.0.0.0
SQF System Validation ................................................................................................................................................ 21
2.5.1.0.0
Responsibility, Frequency and Methods........................................................................................................................ 21
2.5.1.1.0
Validation and Verification Responsibility................................................................................................................. 21
2.5.1.2.0
Documentation and Implementation of SQF Verification Plan ................................................................................. 21
2.5.1.3.0
Record Maintenance ................................................................................................................................................. 21
2.5.2.0.0
Validation and Effectiveness (M) ................................................................................................................................... 21
2.5.2.1.0
Documentation and Implementation of Verification and Effectiveness Plan ........................................................... 21
2.5.2.2.0
Record Maintenance ................................................................................................................................................. 21
2.5.3.0.0
Verification Schedule ..................................................................................................................................................... 21
2.5.3.1.0
Verification Schedule................................................................................................................................................. 21
2.5.4.0.0
Verification of Monitoring Activities (M) ....................................................................................................................... 22
2.5.4.1.0
Documentation and Implementation of Verification Methods ................................................................................ 22
2.5.4.2.0
Record Maintenance ................................................................................................................................................. 22
2.5.5.0.0
Corrective and Preventative Action (M) ........................................................................................................................ 22
2.5.5.1.0
Documentation and Implementation of Corrective and Preventative Action Plan .................................................. 22
2.5.5.2.0
Record Maintenance ................................................................................................................................................. 22
2.5.6.0.0
Product Sampling, Inspection and Analysis ................................................................................................................... 22
2.5.6.1.0
Documentation and Implementation of Product Sampling, Inspection, and Analysis Plan ...................................... 22
2.5.6.2.0
Record Maintenance ................................................................................................................................................. 23
2.5.7.0.0
Internal Audits (M)......................................................................................................................................................... 23
2.5.7.1.0
Documentation and Implementation of an Internal Audit Plan ............................................................................... 23
2.5.7.2.0
Staff Training ............................................................................................................................................................. 23
2.5.7.3.0
Independent Auditing Staff ....................................................................................................................................... 23
2.6.0.0.0
Product Identification, Trace, Withdrawal, and Recall ................................................................................................ 24
2.6.1.0.0
Product Identification (M) ............................................................................................................................................. 24
2.6.1.1.0
Documentation and Implementation of a Product Identification Plan ..................................................................... 24
2.6.1.2.0
Record Maintenance ................................................................................................................................................. 24
2.6.2.0.0
Product Trace (M) .......................................................................................................................................................... 24
2.6.2.1.0
Documentation and Implementation of a Product Trace Plan ................................................................................. 24
2.6.2.2.0
Record Maintenance ................................................................................................................................................. 24
2.6.3.0.0
Product Withdrawal and Recall (M) .............................................................................................................................. 25
2.6.3.1.0
Documentation and Implementation of a Product Withdrawal and Recall Plan ...................................................... 25
2.6.3.2.0
Investigation and Documentation ............................................................................................................................. 25
2.6.3.3.0
Annual Plan Review ................................................................................................................................................... 25
2.6.3.4.0
Record Maintenance ................................................................................................................................................. 25
2.7.0.0.0
Site Security................................................................................................................................................................ 26
2.7.1.0.0
Food Defense (M) .......................................................................................................................................................... 26
2.7.1.1.0
Documentation and Implementation of a Food Defense Plan .................................................................................. 26
2.7.1.2.0
Food Defense Protocol .............................................................................................................................................. 26
2.8.0.0.0
Identity Preserved Foods ............................................................................................................................................ 27
2.8.1.0.0
General Requirements for Identity Preserved Foods .................................................................................................... 27
2.8.1.1.0
Applicability ............................................................................................................................................................... 27
2.8.2.0.0
Allergen Management ................................................................................................................................................... 27
2.8.2.1.0
Documentation and Implementation of an Allergen Management Plan .................................................................. 27
2.8.2.2.0
Product Identification System ................................................................................................................................... 28
2.8.2.3.0
Allergen Manufacturing Conditions and Trace Back ................................................................................................. 28
2.8.2.4.0
Re-working Products Containing Allergens ............................................................................................................... 28

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Food Quality Food Institute

2.9.0.0.0
Training ...................................................................................................................................................................... 29
2.9.1.0.0
Training Requirements .................................................................................................................................................. 29
2.9.1.1.0
Appropriate Training ................................................................................................................................................. 29
2.9.2.0.0
Training Program (M)..................................................................................................................................................... 29
2.9.2.1.0
Documentation and Implementation of a Training Program Plan ............................................................................ 29
2.9.3.0.0
Instructions .................................................................................................................................................................... 29
2.9.3.1.0
Availability of Instructions ......................................................................................................................................... 29
2.9.4.0.0
HACCP Training Requirement ........................................................................................................................................ 29
2.9.4.1.0
Staff Training in HACCP ............................................................................................................................................. 29
2.9.5.0.0
Understandable Language ............................................................................................................................................. 30
2.9.5.1.0
Staff Understanding of Language .............................................................................................................................. 30
2.9.6.0.0
Refresher Training ......................................................................................................................................................... 30
2.9.6.1.0
Refresher Training ..................................................................................................................................................... 30
2.9.7.0.0
Training Skills Register ................................................................................................................................................... 30
2.9.7.1.0
Training Register Maintenance ................................................................................................................................. 30

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SQF Code 7.1, SQF System Elements (Module 2), Food Safety Plan (Level 2)
2.1.0.0.0

Management Commitment

2 .1 .1 .0 .0

Management Policy (M)

2.1.1.1.0

Preparation and Implementation

2.1.1.1.1
Senior management shall prepare and implement a policy statement that
outlines as a minimum the organization's commitment to supply safe food.
2.1.1.1.2
Senior management shall prepare and implement a policy statement that
outlines as a minimum the methods used to comply with its customer and regulatory
requirements and continually improve its food safety management system.
2.1.1.1.3
Senior management shall prepare and implement a policy statement that
outlines as a minimum the organization's commitment to establish and review food safety
objectives.
2.1.1.2.0

Policy Statement Document

2.1.1.2.1

The policy statement shall be signed by senior management.

2.1.1.2.2

The policy statement shall be made available in language understood by all staff.

2.1.1.2.3
The policy statement shall be displayed in a prominent position and effectively
communicated to all staff.

2 .1 .2 .0 .0

Management Responsibility (M)

2.1.2.1.0

Reporting Structure

2.1.2.1.1
The organizational reporting structure describing those who have responsibility
for food safety shall be defined and communicated within the organization.
2.1.2.2.0

Ensurance of Practices

2.1.2.2.1
The senior management shall make provision to ensure fundamental food safety
practices are adopted and maintained.
2.1.2.3.0

Adequate Resources

2.1.2.3.1
The senior management shall ensure adequate resources are available to
achieve food safety objectives and support the development, implementation, maintenance
and ongoing improvement of the SQF System.

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2.1.2.4.0

Management Designated SQF Practitioner

2.1.2.4.1
The senior management shall designate an SQF practitioner for each site with
responsibility and authority to oversee the development, implementation, review and
maintenance of the SQF System, including food safety fundamentals outlined in 2.4.2, and the
food safety plan outlined in 2.4.3.
2.1.2.4.2
The senior management shall designate an SQF practitioner for each site with
responsibility and authority to take appropriate action to ensure the integrity of the SQF
System
2.1.2.4.3
The senior management shall designate an SQF practitioner for each site with
responsibility and authority to communicate to relevant personnel all information essential to
ensure the effective implementation and maintenance of the SQF System.
2.1.2.5.0

SQF Practitioner Requirements

2.1.2.5.1
The SQF practitioner shall be employed by the supplier as a company employee
on a full-time basis.
2.1.2.5.2
The SQF practitioner shall hold a position of responsibility in relation to the
management of the supplier's SQF System.
2.1.2.5.3

The SQF practitioner shall have completed a HACCP-based training course.

2.1.2.5.4
The SQF practitioner shall be competent to implement and maintain HACCPbased food safety plans.
2.1.2.5.5
The SQF practitioner shall have an understanding of the SQF Code level 2 and the
requirements to implement and maintain SQF Systems relevant to the supplier scope of
certification.
2.1.2.6.0

Personnel Training

2.1.2.6.1
The responsibility for establishing and implementing the training needs of the
organization's personnel to ensure they have the required competencies to carry out those
functions affecting products, legality, and safety shall be defined and documented.
2.1.2.7.0

Staff Responsibility

2.1.2.7.1
All staff shall be informed of their responsibility to report food safety problems
to personnel with authority to initiate action.
2.1.2.8.0

Job Descriptions

2.1.2.8.1
Job descriptions for those responsible for food safety shall be documented and
include provision to cover for the absence of key personnel.
2.1.2.9.0

Continuous Improvement Process

2.1.2.9.1
The senior management shall establish processes to improve the effectiveness of
the SQF System to demonstrate continuous improvement.

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2 .1 .3 .0 .0

Food Safety Management System (M)

2.1.3.1.0

Food Safety Manual

2.1.3.1.1
A food safety manual shall be documented and maintained in either electronic
and/or hard copy form.
2.1.3.1.2
A food safety manual shall outline the methods the organization will use to meet
the requirements of this Standard.
2.1.3.1.3

A food safety manual shall be made available to staff.

2.1.3.1.4
A food safety manual shall include a summary of the organization's food safety
policies and the methods it will apply to meet the requirements of this standard.
2.1.3.1.5

A food safety manual shall include the policy statement and organization chart.

2.1.3.1.6

A food safety manual shall include the scope of the certification.

2.1.3.1.7
A food safety manual shall include a list of the products covered under the scope
of certification.
2.1.3.2.0

Availability and Documentation

2.1.3.2.1
A food safety manual shall be documented, maintained, and made available to
relevant staff.
2.1.3.2.2
A food safety manual includes or shall references the written procedures, prerequisite programs, food safety plans and other documentation necessary to support the
development and the implementation, maintenance and control of the SQF System.

2 .1 .4 .0 .0

Management Review (M)

2.1.4.1.0

Reviews

2.1.4.1.1
The senior management shall be responsible for reviewing the SQF System and
documenting the review procedure.
2.1.4.1.2

Reviews shall include the policy manual.

2.1.4.1.3

Reviews shall include internal and external audit findings.

2.1.4.1.4

Reviews shall include corrective actions and their investigations and resolution.

2.1.4.1.5
Reviews shall include customer complaints and their resolution and
investigation.
2.1.4.2.0

Annual Review

2.1.4.2.1

The SQF System in its entirety shall be reviewed at least annually.

2.1.4.3.0

Change Reviews

2.1.4.3.1
Food safety fundamentals and food safety plans shall be reviewed when any
changes implemented have an impact on the suppliers ability to deliver safe food.

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2.1.4.4.0

Validating Changes

2.1.4.4.1
The SQF practitioner shall be responsible for validating changes to food safety
fundamentals and food safety plans that have an impact on the suppliers ability to deliver safe
f ood .
2.1.4.5.0

Records

2.1.4.5.1
Records of all reviews and reasons for amending documents, validations and
changes to the SQF System shall be maintained.

2 .1 .5 .0 .0

Complaint Management

2.1.5.1.0

Compliant Handling Process

2.1.5.1.1
The methods and responsibility for handling and investigating the cause and
resolution of complaints from customers and authorities shall be documented and
implemented.
2.1.5.2.0

Customer Complaint Trends

2.1.5.2.1
Trends of customer complaint data shall be investigated and analyzed by
personnel knowledgeable about the incidents.
2.1.5.3.0

Implementation of Corrective Action(s)

2.1.5.3.1
Corrective action shall be implemented commensurate with the seriousness of
the incident and as outlined under 2.5.5.
2.1.5.4.0

Maintaining Customer Complaint Records

2.1.5.4.1

Records of customer complaints and their investigations shall be maintained.

2 .1 .6 .0 .0

Business Continuity Planning

2.1.6.1.0

Business Continuity Plan

2.1.6.1.1
A business continuity plan based on the understanding of known food safety
threats to a business shall be prepared by senior management outlining the methods and
responsibility the organization will implement to cope with a business crisis that may impact on
the ability of the supplier to deliver safe food.

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