SQF_ Edition 8.1 (Advanced) - Food Safety

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NAME: DATE:
2.1.1 Food Safety Policy (Mandatory)
Section Details Initial Response Evidence
Senior site management shall prepare and
implement a policy statement that outlines
as a minimum the:
i. The site's commitment to supply safe

food;
ii. Methods used to comply with its
customer and regulatory requirement and
continually improve its food safety
management system; and
2.1.1.1 Food iii. The site's commitment to establish and
Safety Policy review food safety objectives.
The policy statement shall be:
i. Signed by senior site management;

ii. Made available in language understood
by all staff;
2.1.1.2 Food iii. Displayed in a prominent position; and
Safety Policy iv. Effectively communicated to all staff.
2.1.1 Food Safety Policy Review
2.1.2.1 Management Responsibility (Mandatory)

The reporting structure describing those

2.1.2.1 who have responsibility for food safety
Management shall be identified and communicated
Responsibility within the site.
The senior site management shall make

provision to ensure fundamental food
2.1.2.2 safety practices and all applicable
Management requirements of the SQF System are
Responsibility adopted and maintained.
The senior site management shall ensure

adequate resources are available to
achieve food safety objectives and support
2.1.2.3 the development, implementation,
Management maintenance and ongoing improvement of
Responsibility the SQF System.
Senior site management shall designate

an SQF practitioner responsible for each
site with responsibility and authority to:
i. Oversee the development,

implementation, review and maintenance
of the SQF System, include Good
Agricultural/Aquacultural Practices outline
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
2.1.2.4 information essential to ensure the
Management effective implementation and maintenance
Responsibility of the SQF System.
The SQF practitioner shall:
i. Be employed by the site as a company

employee on a full-time basis;
ii. Have completed a HACCP-based
training course;
iii. Be competent to implement and
maintain Good Agricultural/Aqua cultural
Practices; and
iv. Have an understanding of the SQF
2.1.2.5 Code and the requirements to implement
Management and maintain SQF System relevant to the
Responsibility 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 2.9, and that site personnel
2.1.2.6 have met the required competencies to
Management carry out those functions affecting the
Responsibility legality and safety of food products.
The owner/senior site manager shall

inform all staff, including temporary or
seasonal workers, of their food safety and
regulatory responsibilities, of their role in
meeting the requirements of the SQF
2.1.2.7 Code, and of their responsibility to report
Management food safety problems to personnel with
Responsibility authority to initiate action.
Job tasks for those responsible for food

2.1.2.8 safety shall be listed and communicated to
Management personnel including provisions to cover for
Responsibility the absence of key personnel.
The senior site management shall

2.1.2.9 establish processes to improve the
Management effectiveness of the SQF System to
Responsibility demonstrate continuous improvement.
ensure the integrity and continued
operation of the food safety system in the
2.1.2.10 event of organizational or personnel
Management changes within the farm/company or
Responsibility associated locations.
designate defined blackout periods that
prevent unannounced re- certification
audits from occurring out of season or
when the facility is not operating for
legitimate business reasons. The list of
blackout dates and their justification shall
be submitted to the certification body a
2.1.2.11 minimum of one month before the sixty
Management (60) day re-certification window for the
Responsibility agreed unannounced audit.
2.1.2 Management Responsibility Review
2.1.3 Management Review (Mandatory)
The owner/senior site manager shall be

responsible for reviewing the SQF System
and documenting the review procedure.
Reviews shall include the policy manual,
internal and external audit findings,
2.1.3.1 corrective actions and their investigations
Management and resolution, customer complaints and
Review their resolution and investigation.
The SQF practitioner(s) shall update
senior site management on a (minimum)
monthly basis on matters impacting the
implementation and maintenance of the
SQF System. The updates and
management responses shall be
2.1.3.2 documented. The SQF System in its
Management entirety shall be reviewed at least
Review annually.
Food Safety Plans, Good
Agricultural/Aquaculture Practices and
other aspects of the SQF System shall be
reviewed and updated as needed when
2.1.3.3 any potential changes implemented have
Management an impact on the site's ability to deliver
Review safe food.
2.1.3.4
Management Records of all management reviews and
Review updates shall be maintained.
2.1.3 Management Review, Review
2.1.4 Complaint Management (Mandatory)

The methods and responsibility for

handling and investigating the cause and
2.1.4.1 resolution of complaints from customers
Complaint and authorities shall be documented and
Management implemented.
Trends of customer complaint data shall

2.1.4.2 be investigated and analyzed by
Complaint personnel knowledgeable about the
Management incidents.
2.1.4.3 Corrective action shall be implemented

Complaint commensurate with the seriousness of the
Management incident and as outlined in 2.5.5.
2.1.4.4
Complaint Records of customer complaints and their
Management investigations shall be maintained.
2.1.4 Complaint Management Review
2.1.5 Crisis Management Planning

the understanding of known potential
dangers (e.g. flood, drought, fire, tsunami,
or other severe weather or regional events
such as warfare or civil unrest) that can
impact the site's ability to deliver safe
food, shall be documented by the
owner/senior site management outlining
2.1.5.1 Crisis the methods and responsibility the site
Management shall implement to cope with such a
Planning business crisis.
The crisis management plan shall be

2.1.5.2 Crisis reviewed, tested and verified at least
Management annually. Records of reviews of the crisis
Planning management plan shall be maintained.
2.1.5 Crisis Management Planning Review
2.2.1 Food Safety Management System (Mandatory)
Section Details
electronic and/or hard copy form, and Initial Response Evidence
made available to relevant staff and
include:
i. The policy statement and organization

chart;
ii. The scope of the certification;
iii. A list of the products covered under the
scope of certification; and
iv. Include or reference the written
procedures (Good Agricultural Practices,
2.2.1.1 Food Good Aqua cultural Practices and/or Good
Safety Production Practices) and other
Management documentation necessary to support the
System development, implementation,
maintenance and control of the SQF
System.
2.2.1.2 Food
Safety
Management All changes made to Food Safety Plans,
System Good Agricultural/Aqua cultural Practices
and other aspects of the SQF System
shall be validated or justified.
2.2.1 Food Safety Management System Review
2.2.2 Document Control (Mandatory)


maintaining document control and
2.2.2.1 ensuring staff have access to current
Document documents shall be documented and
Control implemented.
2.2.2.2 A register of current SQF System

Document documents and amendments to
Control documents shall be maintained.
2.2.2.3
Document Documents shall be safely stored and
Control readily accessible.
2.2.2.3
2.2.2 Document Control Review
2.2.3 Records (Mandatory)


verifying, maintaining and retaining
2.2.3.1 records shall be documented and
Records implemented.
All records shall be legible and suitably

authorized by those undertaking
monitoring activities that demonstrate
2.2.3.2 inspections, analyses and other essential
Records activities have been completed.
Records shall be readily accessible,

retrievable, securely stored to prevent
damage and deterioration and shall be
2.2.3.3 retained in accordance with periods
Records specified by a customer or regulations.
2.2.3 Records Review
2.3.1 Product Development and Realization
2.3.1.1 The methods and responsibility for

Product designing, developing and converting
Development product concepts (e.g. new crops, animal
and species) to commercial realization shall be
Realization documented and implemented.
2.3.1.2
Product
Development New products shall be validated for shelf
and life, Maximum Residue Limits (MRLs) and
Realization customer requirements.
2.3.1.2
Product
2.3.1.3
Product
Development Records for new products validation, shelf
and life and final approvals shall be
Realization maintained.
2.3.1 Product Development and Realization Review
2.3.2 Raw and Packaging Materials

2.3.2.1 Raw
and Specifications for food contact packaging
Packaging and agricultural/aquaculture inputs shall
Materials be documented and kept current.
2.3.2.2 Raw
and All food contact packaging and
Packaging agricultural/aquaculture inputs shall
Materials comply with the relevant legislation.
2.3.2.3 Raw Food contact packaging and

and agricultural/aquaculture input specification
Packaging development and approval shall be
Materials documented.
agricultural/aquaculture inputs shall be
verified to ensure product safety is not
compromised and the material is fit for its
2.3.2.4 Raw intended purpose. Verification shall
and include certificates of conformance,
Packaging certificate of analysis, or sampling and
Materials testing.
i. Certification that all packaging that
comes into direct contact with food meets
either regulatory acceptance or approval
criteria. Documentation shall either be in
the form of a declaration of continued
2.3.2.5 Raw
and
Packaging
the form of a declaration of continued
guarantee of compliance, a certificate of
conformance, or a certificate from the
applicable regulatory agency; and
ii. In the absence of a certificate of
conformance, certificate of analysis, or
letter of guarantee, tests and analyses to
2.3.2.5 Raw confirm the absence of potential chemical
and migration from the packaging to the food
Packaging contents shall be conducted and records
Materials maintained.
2.3.2.6 Raw
and Finished product labels shall be accurate,
Packaging comply with the relevant legislation and be
Materials approved by qualified company personnel.
2.3.2.7 Raw
and A register of current packaging materials
Packaging and agricultural input specifications and
Materials labels shall be maintained.
2.3.2 Raw and Packaging Materials Review
2.3.3 Contract Service Providers

Section Details
services that have an impact on finished Initial Response Evidence
product safety shall be documented,
current, include a full description of the
2.3.3.1 service to be provided and detail relevant
Contract training requirements of contract
Service personnel (e.g. sprayers, portable toilets,
Providers temporary labor).
2.3.3.2
Contract A register of all contract service
Service specifications shall be maintained and
Providers kept current.
2.3.3 Contract Service Providers Review
2.3.4 Contract Farms/Producers

ensuring all agreements relating to food
2.3.4.1 safety, customers product requirements
Contract and its realization and delivery are
Farms/ specified and agreed shall be documented
Producers and implemented.
2.3.4.2
Farms/ specifications shall be maintained and
Producers kept current.
2.3.4 Contract Farms/Producers Review
2.3.5 Finished Product Specifications
Finished product specifications will be

documented, current, approved by the
farm/producer and their customer where
applicable, accessible to relevant staff and
may include:
2.3.5.1 i. Microbiological and chemical limits; and

Finished ii. Maximum Residue Limits (MRL’s) for
Product pesticides and/or veterinary drugs; and
Specifications iii. Labeling and packaging requirements.
2.3.5.2
Finished
Product A register of finished product
Specifications specifications shall be maintained.
2.3.5 Finished Product Specifications Review
2.4.1 Food Legislation (Mandatory)

ensure that, at the time of delivery to its
customer, the food supplied shall comply
with the legislation that applies to the food
2.4.1.1 Food and its production in the country of use or
Legislation sale, if known.
ensuring the organization is kept informed
of changes to relevant legislation,
2.4.1.2 Food scientific and technical developments,
Legislation emerging food safety issues, and relevant
industry codes of practice shall be
documented and implemented.
SQFI and the certification body shall be

notified in writing within twenty-four (24)
2.4.1.3 Food hours in the event of a regulatory warning.
Legislation Notification to SQFI shall be by email to
foodsafetycrisis@sqfi.com.
2.4.1 Food Legislation Review
2.4.2 Good Agricultural/Aquaculture Practices (Mandatory)

Agricultural Practices described in Module
7, or other relevant applicable module of
this Code, are applied, or exempted
according to a written risk analysis
2.4.2.1 Good outlining the justification for exemption or
Agricultural/ evidence of the effectiveness of alternative
Aquaculture control measures to ensure that food
Practices safety is not compromised.
2.4.2 Good Agricultural/Aquaculture Practices Review
2.4.3 Food Safety Plan (Mandatory)
Section Details
A HACCP-based reference Food Safety Initial Response Evidence
plan, developed by a responsible authority
shall be implemented by the organization
in the absence of a specifically developed
food safety plan for the organization. The
organization shall:
i. Maintain a current record indicating that

is has reviewed the food safety plan and
ensure its scope of risk assessment
covers all products sold by the
organization; and
ii. Document where changes in the food
2.4.3.1 Food safety plan have impacted their Good
Safety Plan Agricultural/Aquaculture Practices.
own food safety plan, either by choice or
due to product(s) not included within the
scope of a HACCP-Based model as per
2.4.3.1, it shall be implemented and
maintained and outline the means by
which the organization controls and
assures food safety of the products or
product groups included in the scope of
the SQF certification and their associated
processes. More than one HACCP food
safety plan may be required to cover all
2.4.3.2 Food products included in the scope of
certification.
Safety Plan The food safety plan or plans shall be
developed and maintained by a
multidisciplinary team that includes the
SQF Practitioner and those site personnel
with technical, production, and
engineering knowledge of the relevant
products and associated processes.
Where the relevant expertise is not
available on site, advice may be obtained
2.4.3.3 Food from other sources to assist the food
Safety Plan safety team.
The scope of each food safety plan shall

be developed and documented including
the start and end-point of the processes
2.4.3.4 Food under consideration and all relevant inputs
Safety Plan and outputs.
Product descriptions shall be developed

and documented for all products included
in the scope of the food safety plans. This
shall reference the finished product
specifications plus any additional
2.4.3.5 Food information relevant to product safety,
Safety Plan such as pH, Aw, composition.
specifications plus any additional
2.4.3.5 Food information relevant to product safety,
Safety Plan The
suchintended
as pH, Aw,
usecomposition.
of each product shall be
determined and documented by the food
safety team. This shall include target
consumer groups, the potential for
consumption by vulnerable groups of the
population, requirements for further
2.4.3.6 Food processing if applicable, and potential
Safety Plan alternative use of the product.
scope of each food safety plan. The flow
diagram shall include every step in the
process of primary production, all
agricultural inputs, packaging material,
service inputs (e.g. water, steam, gasses
as appropriate), process delays, and all
process outputs including feed, waste and
rework. Each flow diagram shall be
2.4.3.7 Food confirmed by the food safety team during
Safety Plan all stages and hours of operation.
The food safety team shall identify and

document all food safety hazards that can
reasonably be expected to occur at each
2.4.3.8 Food step in the processes, including
Safety Plan hazard
agricultural/aquaculture
analysis for everyinputs.
identified
hazard, to identify which hazards are
significant, i.e. their elimination or
reduction to an acceptable level is
necessary to ensure food safety. The
methodology for determining hazard
significance shall be documented and
2.4.3.9 Food used consistently to assess all potential
Safety Plan hazards.
The food safety team shall determine and

document the control measures that must
be applied to all significant hazards. More
than one control measure may be required
to control an identified hazard, and more
2.4.3.10 Food than one significant hazard may be
Safety Plan controlled by a specific control measure.
Based on the results of the hazard

analysis (refer to 2.4.3.9), the food safety
team shall identify the steps in the process
where control must be applied to eliminate
a significant hazard or reduce it to an
acceptable level (a critical control point or
CCP). In instances where a significant
hazard has been identified at a step in the
process, but no control measure exists,
the food safety team shall modify the
acceptable level (a critical control point or
CCP). In instances where a significant
hazard has been identified at a step in the
2.4.3.11 Food process to include an appropriate control
Safety Plan measure.
For each identified CCP, the food safety
team shall identify and document the limits
that separate safe from unsafe product.
The food safety team shall validate the
critical limits to ensure the designated
level of control of the identified food
safety hazard(s) and that all critical limits
and control measures individually or in
2.4.3.12 Food combination effectively provide the level of
Safety Plan control
The food required (refer shall
safety team to 2.5.2.1)
develop and
document procedures to monitor CCPs to
ensure they remain within the established
limits (2.4.3.12). Monitoring procedures
shall identify the personnel assigned to
2.4.3.13 Food conduct testing, the sampling and test
Safety Plan methods, and the test frequency.
The food safety team shall develop and

document deviation procedures that
identify the disposition of affected product
when monitoring indicates a loss of control
at a CCP. The procedures shall also
prescribe actions to correct the process
2.4.3.14 Food step to prevent recurrence of the safety
Safety Plan The
failure.
documented and approved food
safety plan(s) shall be implemented in full.
The effective implementation shall be
monitored by the food safety team, and a
full review of the documented and
implemented plans shall be conducted at
least annually, or when changes to the
2.4.3.15 Food process, equipment, inputs or other
Safety Plan changes affecting product safety occur.
Implemented food safety plans shall be

2.4.3.16 Food verified as part of SQF System verification
Safety Plan (refer to 2.5).
Where food safety regulations in the
country of production and destination (if
known) prescribe a food safety control
2.4.3.17 Food
Safety Plan
methodology other than the Codex
Alimentarius Commission HACCP
guidelines, the food safety team shall
implement food safety plans that meet
2.4.3.17 Food both Codex and food regulatory
Safety Plan requirements.
2.4.3 Food Safety Plan Review
2.4.4 Approved Supplier Program (Mandatory)

Agricultural/aquaculture inputs, harvested

product, pre-market ready livestock,
2.4.4.1 market ready product and packaging
Approved materials that impact on finished product
Supplier food safety shall be supplied by an
Program approved supplier.
The receipt of agricultural/aquaculture
inputs, harvested product, pre-market
ready livestock, market ready product and
2.4.4.2 packaging materials received from non-
Approved approved suppliers shall be acceptable in
Supplier an emergency situation provided they are
Program inspected or analyzed before use.
2.4.4.3 The responsibility and procedure for

Approved selecting, evaluating, approving and
Supplier monitoring an approved supplier shall be
Program documented and implemented.
The site's food defense plan (refer to

2.4.4.4 2.7.1.1) shall include measures to secure
Approved incoming materials and ingredients and
Supplier protect them from deliberate acts of
Program sabotage or terrorist-like incidents.
The site's food fraud vulnerability

assessment (refer to 2.7.2.1) shall include
2.4.4.5 the site's susceptibility to raw material or
Approved ingredient substitution, mislabeling,
Supplier dilution or counterfeiting which may
Program adversely impact food safety.
2.4.4.5 the site's susceptibility to raw material or
Approved ingredient substitution, mislabeling,
Supplier dilution or counterfeiting which may
Program adversely impact food safety.
The food fraud mitigation plan (refer to

2.4.4.6 2.7.2.2) shall include methods by which
Approved the identified vulnerabilities from
Supplier ingredients and materials shall be
Program controlled.
Agricultural/aquaculture inputs, harvested

product, pre-market ready livestock,
market ready product and packaging
materials received from other sites under
the same corporate ownership, shall be
2.4.4.7 subject to the same specification
Approved requirements (refer to 2.3.2) and approved
Supplier supplier requirements
The approved supplieras all other
program material
shall be
Program providers.
based on the prior performance of a
supplier and the risk level of received
goods and shall contain as a minimum:
i. Agreed specifications;
ii. Reference to the rating of the level of
risk applied to the approved supplier;
iii. A summary of the food safety controls
implemented by the approved supplier;
iv. Methods for granting approved supplier
status;
v. Methods and frequency of monitoring
approved suppliers;
vi. Details of the certificates of
conformance if required, and
2.4.4.8 vii. Methods and frequency of reviewing
Approved approved supplier performance and
Supplier status.
Program
Supplier audits shall be based on risk and

2.4.4.9 shall be conducted by individuals
Approved knowledgeable of applicable regulatory
Supplier and food safety requirements risk and
Program trained in auditing techniques.
2.4.4.10
Approved A register of approved supplier and
Supplier records of inspections and audits of
Program approved suppliers shall be maintained.
2.4.4.10
2.4.4 Approved Supplier Program Review
2.4.5 Non-conforming Product or Equipment

Section Details
Non-conforming product, Initial Response Evidence
agricultural/aquaculture inputs, packaging
or equipment shall be quarantined,
2.4.5.1 Non- handled, re-worked or disposed of in a
conforming manner that minimizes the risk of
Product or inadvertent use, improper use or risk to
Equipment the integrity of finished product.
Records of the handling and disposal of

2.4.5.2 Non- non-conforming product shall be
conforming maintained, minimally including
Product or grower/producer name, farm location,
Equipment quantity and final disposition.
2.4.5 Non-conforming Product or Equipment Review
2.5.1 Validation and Effectiveness (Mandatory)

ensuring the effectiveness of Good
production programs, and validating
critical food safety limits to ensure they
achieve their intended purpose shall be
documented and implemented. The
2.5.1.1
Validation
and
Effectiveness
methods applied shall ensure that:
i. Good Agricultural/Aquaculture Practices

are confirmed to ensure they achieve the
required result;
ii. Critical food safety limits are validated,
and re-validated annually; and
2.5.1.1 iii. Changes to the processes or
Validation procedures are assessed to ensure
and controls are still effective.
Effectiveness
2.5.1.2
Validation
and Records of all validation activities shall be
Effectiveness maintained.
2.5.1 Validation and Effectiveness Review
2.5.2 Verification Activities (Mandatory)

A verification schedule outlining the

verification activities, their frequency of
2.5.2.1 completion and the person responsible for
Verification each activity shall be prepared and
Activities implemented.
The methods, responsibility and criteria for

verifying monitoring of Good
Agricultural/Aquaculture Practices, critical
control points and other food safety
controls, and the legality of certified
products, shall be documented and
implemented. The methods applied shall
2.5.2.2 ensure that personnel with responsibility
Verification for verifying monitoring activities authorize
Activities each verified record.
2.5.2.3
Verification Records of the verification of monitoring
Activities activities shall be maintained.
2.5.2.3
2.5.1 Verification Activities
2.5.3 Corrective and Preventative Action (Mandatory)

The responsibility and methods outlining
how corrections and corrective actions are
determined, implemented and verified,
2.5.3.1 including the identification of the root
Corrective cause and resolution of non-compliance of
and critical food safety limits, and deviations
Preventative from food safety requirements, shall be
Action documented and implemented.
2.5.3.2
Corrective Records of all investigation and resolution
and of non-conformities including their
Preventative corrections and corrective action shall be
Action maintained.
2.5.3 Corrective and Preventative Action Review
2.5.4 Product Sampling, Inspection and Analysis

The sampling, inspecting and/or analyzing
and release of finished product shall be
procedures applied shall ensure:
i. Inspections and analyses are completed

at regular intervals as required and to
agreed specification (e.g. MRL’s as per
2.3.5) and regulatory and labeling
requirements;
ii. All analyses are conducted to nationally
2.5.4.1 recognized methods or alternative
Product methods which are validated as equivalent
Sampling, to the nationally recognized methods;
Inspection iii. Release of products to customers is
and Analysis approved by authorized personnel.
2.5.4.2
Product On-site personnel that conduct product
Sampling, testing shall participate in an applicable
Inspection proficiency testing program at least
and Analysis annually to ensure accuracy of results.
2.5.4.2
Product On-site personnel that conduct product
Sampling, testing shall participate in an applicable
Inspection proficiency testing program at least
and Analysis annually to ensure
Where external accuracy are
laboratories of results.
utilized to
conduct input or product analysis, the
2.5.4.3 laboratories shall be accredited to ISO
Product 17025 or an equivalent national standard,
Sampling, and shall be included on the site's contract
Inspection service specifications register (refer to
and Analysis 2.3.3.1)
2.5.4 Product Sampling, Inspection and Analysis Review
2.5.5 Internal Audits (Mandatory)
Section Details
scheduling and conducting internal audits Initial Response Evidence
to verify the effectiveness of the SQF
System will be documented and
implemented. Internal audits will be
conducted at least annually. The methods
applied will make sure:
i. All applicable requirements of the SQF

Food Safety Code are audited as per the
SQF Audit Checklist or equivalent tool;
ii. Correction and corrective action of
deficiencies identified during the internal
audits are undertaken;
iii. Audit results are communicated to
relevant management personnel and staff
responsible for implementing and verifying
corrective actions; and
iv. Records of internal audits and any
2.5.5.1 corrections and corrective action taken as
Internal a result of internal audits shall be
Audits maintained.
2.5.5.2 Staff conducting internal audits shall be

Internal trained and competent in internal audit
Audits procedures.
Regular inspections of the facility and
equipment shall be planned and carried
out to verify Good Agricultural Practices
and building/equipment maintenance is
compliant to the SQF Food Safety Code.
The supplier shall:
i. Take correction or corrective and

2.5.5.3 preventative action; and
Internal ii. Maintain records of inspections and any
Regular inspections of the facility and
out to verify Good Agricultural Practices
compliant to the SQF Food Safety Code.
The supplier shall:
i. Take correction or corrective and

Internal ii. Maintain records of inspections and any
Audits corrective action taken.
2.5.5.4 Where practical staff conducting internal

Internal audits shall be independent of the function
Audits being audited.
2.5.5 Internal Audits Review
2.6.1 Product Identification (Mandatory)
A product identification system will be

implemented to make sure:
i. Agricultural/Aquaculture inputs, work in

progress and finished product are clearly
identified during all stages of receipt,
operations, storage, shipping and
transportation and dispatch; and
ii. Finished product is labeled to the
2.6.1.1 customer specification and/or regulatory
Product requirements.
Identification
2.6.1.2
Product Product Identification records are
Identification maintained.
2.6.1 Product Identification Review
2.6.2 Product Trace (Mandatory)

The responsibility and methods used to
trace product shall be documented and
implemented to ensure:
i. Finished product is traceable to the

customer (one up) and provides
traceability through the process to the
agricultural input supplier and date of
receipt of raw materials, food contact
packaging and materials and other inputs
(one back);
ii. Traceability is maintained where product
is reworked; and
iii. The effectiveness of the product trace
2.6.2.1 system shall be reviewed at least annually
Product as part of the product recall and
Trace withdrawal review (refer to 2.6.3.3).
Records of agricultural/aquaculture inputs

2.6.2.1 and packaging material receipt and use,
Product and product shipping and transportation
Trace shall be maintained.
2.6.2 Product Trace Review
2.6.3 Product Withdrawal and Recall

iii. Outline a communication plan to inform
customers, consumers, authorities and
other essential bodies in a timely manner
appropriate to the nature of the incident;
2.6.3.1 and
Product iv. Ensure that SQFI and the certification
Withdrawal body are listed as an essential body for
and Recall notification of a recall or withdrawal.
Investigation shall be undertaken to

2.6.3.2 determine the cause of a withdrawal,
Product mock recall or recall and details of
Withdrawal investigations and any action taken shall
and Recall be documented.
2.6.3.2 determine the cause of a withdrawal,
2.6.3.3 The product withdrawal and recall system

Product shall be reviewed, tested and verified as
Withdrawal effective at least annually and include the
and Recall traceability requirement of 2.6.2.1.

2.6.3.4 hours upon identification of a food safety
Product event that requires public notification.
Withdrawal SQFI shall be notified at
and Recall foodsafetycrisis@sqfi.com.
2.6.3 Product Withdrawal and Recall Review
2.7.1 Food Defense Plan (Mandatory)


preventing food adulteration caused by a
deliberate act ofplan
A food defense sabotage or terrorist-like
shall include:
2.7.1.1 Food incident will be documented, implemented
Defense and
i. Themaintained.
name of the senior site
management person responsible for food
defense;
ii. The methods implemented to ensure
only authorized personnel have access to
equipment, vehicles, operations and
storage areas through designated access
points;
iii.The methods implemented to protect
sensitive operational points from
intentional adulteration;
iv. The measures taken to ensure the
secure receipt and storage of
Agricultural/aquaculture inputs, packaging,
equipment and hazardous chemicals;
v. The measures implemented to ensure
materials, work-in progress and finished
products are held under secure storage
and transportation conditions; and
vi. The methods implemented to record
2.7.1.2 Food and control access to the premises by
Defense employees, contractors, and visitors.
management person responsible for food
defense;
ii. The methods implemented to ensure
only authorized personnel have access to
equipment, vehicles, operations and
points;
iii.The methods implemented to protect
sensitive operational points from
iv. The measures taken to ensure the
secure receipt and storage of
Agricultural/aquaculture inputs, packaging,
v. The measures implemented to ensure
materials, work-in progress and finished
products are held under secure storage
and transportation conditions; and
vi. The methods implemented to record
2.7.1.2 Food and control access to the premises by
The food defense plan shall be reviewed

2.7.1.3 Food and challenged at least annually and
Defense appropriately documented.
2.7.1 Food Defense Plan Review
2.7.2 Food Fraud


identifying the site's vulnerability to food
fraud shall be documented, implemented
and maintained. The food fraud
vulnerability assessment shall include the
site's susceptibility to product substitution,
mislabeling, dilution and counterfeiting or
2.7.2.1 Food stolen goods which may adversely impact
Defense food safety.
A food fraud mitigation plan shall be

developed and implemented which
specifies the methods by which the
2.7.2.2 Food identified food fraud vulnerabilities shall be
Defense controlled.
The food fraud vulnerability assessment

2.7.2.3 Food and mitigation plan shall be reviewed and
Defense verified at least annually.
Records of reviews of the food fraud

2.7.2.4 Food vulnerability assessment and mitigation
Defense plan shall be maintained
2.7.2 Food Fraud Review
2.8.1 Allergen Management for Primary Production (Mandatory)

allergens from contaminating product will
be documented and implemented. The
allergen management program will
include:
i. A risk analysis of those raw materials,

ingredients and processing aids, including
food grade lubricants, that contain food
allergens;
ii. An assessment of workplace-related
food allergens from locker rooms, vending
2.8.1.1 machines, lunch rooms, visitors;
Allergen iii. A list of allergens which is accessible
Management by relevant staff; and
for Food iv. The hazards associated with allergens
Manufacturin and their control incorporated into the food
g safety plan; and
2.8.1.2
Allergen
Management Product labeling, in accordance with
for Food regulatory requirements, shall include
Manufacturin allergens where risks from cross-
g contamination have been documented.
2.8.1 Allergen Management for Primary Production Review
2.9.1 Training Requirements

Appropriate training will be provided for

2.9.1.1 personnel carrying out the tasks essential
Training to the effective implementation of the SQF
Requirement System and the maintenance of food
s safety and regulatory requirements.
Appropriate training will be provided for
2.9.1 Training Requirements Review
2.9.2 Training Program (Mandatory)

An employee training program will be
documented and implemented. It will
outline the necessary skills for specific
duties and the training methods to be
applied for those staff carrying out tasks
associated with:
2.9.2.1 i. Developing and applying Good

Training Manufacturing Practices; and
Program ii. Applying food regulatory requirements.
2.9.2 Training Program Review
2.9.3 Instructions
Instructions will be available in the
languages relevant to the staff, explaining
how all tasks critical to meeting regulatory
compliance, the maintenance of food
2.9.3.1 safety and process efficiency are to be
Instructions performed.
2.9.3 Instructions Review
2.9.4 HACCP Training Requirement

Where a HACCP-based model or

2.9.4.1 Group/Multi-site program is not used then
HACCP HACCP training shall be provided for staff
Training involved in developing and maintaining
Requirement food safety plans.
Where a HACCP-based model or
2.9.4.1 Group/Multi-site program is not used then
2.9.4 HACCP Training Requirement Review
2.9.5 Language
Training materials and the delivery of

2.9.5.1 training will be provided in language
Language understood by staff.
2.9.5 Language Review
2.9.6 Refresher Training

The training program will include provision

2.9.6.1 for identifying and implementing the
Refresher refresher training needs of the
Training organization.
2.9.6 Refresher Training Review
2.9.7 Training Skills Register

2.9.7.1
Training A training skills register describing who
Skills has been trained in relevant skills will be
Register maintained.
2.9.7 Training Skills Register Review
5.1.1 Property Location

The farm and facilities shall be such that

adjacent and adjoining buildings,
5.1.1.1 operations and land use do not interfere
Property with safe and hygienic operations on the
Location property.
Production and growing sites shall have a
risk assessment conducted to evaluate
and document the risk to crops due to
prior land use, adjacent land use, and
other environmental factors including
structures and equipment. Consideration
shall be given to the following:
i. History of land use;

ii. Topography;
5.1.1.2 iii. Adjacent land use; and
Property iv. Other factors that may impact on the
Location ability to supply safe products.
The risk assessment shall be re-evaluated

5.1.1.3 in the event of any circumstance or
Property changes that may impact on the
Location production of safe product.
Where risks are identified, control

5.1.1.4 measures shall be implemented to reduce
Property the identified hazards to an acceptable
Location level.
5.1.1 Property Location Review
5.2.1 Site Access and Security
Fields, yards, and other open areas where

livestock are housed shall be fenced. The
5.2.1.1 Site site or building(s) entry point shall prevent
Access and entry by unauthorized visitors either by a
Security lock or other control entry devices.
5.2.1.2 Site Where electric fences are employed, they

Access and shall be controlled to avoid stress or
Security discomfort to fenced livestock.
5.2.1 Site Access and Security Review
5.2.2 Pens and Yards
Pens and yards shall be designed,

located, constructed and maintained so as
to minimize stress, injury or disease and
5.2.2.1 Pens have minimal impact on the surrounding
and Yards area and natural resources.
Where animals are held for extended

periods in pens and yards, adequate
5.2.2.2 Pens supplies of water and food shall be
and Yards provided.
5.2.2.2 Pens supplies of water and food shall be
and Yards provided.
Fences, gates, and other surfaces in pens

and yards shall be free from paints, dips,
sanitizers and other materials that are
5.2.2.3 Pens likely to cause contamination through
and Yards ingestion, inhalation, or contact.
5.2.2 Pens and Yards Review
5.2.3 Intensive Housing System

The design, location and construction of
intensive housing system shall be fit for
purpose and protect the animals in
expected extremes of climate. The
housing and design shall also provide
sufficient space to enable the animals to
lie down, allow freedom of movement,
5.2.3.1 have minimal impact on the surrounding
Intensive area and natural resources and meet
Housing regulatory or industry/national codes of
System practice.
5.2.3.2 Buildings used to house animals shall

Intensive have signs posted or other forms of
Housing controlled entry (see also 5.2.1.1) that
System controls entry of unauthorized persons.
Buildings used to house animals shall be

5.2.3.3 adequately ventilated to promote a
Intensive satisfactory living environment and
Housing designed to enable effective drainage and
System a firm footing.
5.2.3 Intensive Housing System Review

5.2.4 Laneways, Races, Entrances, Exits and Loading/Unloading Ramps
5.2.4.1 Laneways, races, entrances, exits and
Laneways, loading/unloading ramps shall be designed
Races, to take advantage of the social behavior
Entrances, and movement of the species and
Exits and maintained to prevent any potential injury
Loading/Unlo points to animals. All flooring shall be non-
ading Ramps slip to prevent slips and falls.
5.2.4.2 Laneways, races, entrances, exits, and

Laneways, loading/unloading ramps shall be
Races, designed, constructed, and maintained of
Entrances, materials that do not contaminate animals
Exits and through ingestion, inhalation, or contact,
Loading/Unlo and shall be free from sharp objects that
ading Ramps may damage animals.
5.2.4 Laneways, Races, Entrances, Exits and Loading/Unloading Ramps Review
5.2.5 Buildings for Storage of Feed, Agricultural Chemicals, and Equipment

5.2.5.1
Buildings for
Storage of All buildings used to store equipment,
Feed, veterinary and agricultural chemicals, or
Agricultural animal feed shall be designed and
Chemicals, constructed so as to permit compliance to
and good hygiene practices and avoid product
Equipment contamination. They shall be kept clean.
Buildings for Silos used to store feed shall be
Storage of constructed of approved materials and
Feed, designed to remain dry, clean and free
Agricultural from any dirt residues, so they remain fit
Chemicals, for purpose in an acceptable condition,
and enable safe fumigation practices and
Equipment prevent the invasion of pests.
5.2.5.3 Storage rooms shall be designed and

Buildings for constructed to allow for the separate
Storage of hygienic storage of feedstuffs, veterinary
Feed, chemicals, and containers and equipment
Agricultural used to dispense feed and veterinary
Chemicals, chemicals. Items shall be kept separate
and from farm machinery, hazardous
Equipment chemicals and other toxic substances.
5.2.5.3 Storage rooms shall be designed and
Buildings for constructed to allow for the separate
Storage of hygienic storage of feedstuffs, veterinary
Feed, chemicals, and containers and equipment
Agricultural used to dispense feed and veterinary
Chemicals, chemicals. Items shall be kept separate
and from farm machinery, hazardous
Equipment chemicals and other toxic substances.
5.2.5.4
Buildings for
Storage of
Feed,
Agricultural Veterinary medicines and medical
Chemicals, equipment shall be stored in a secure area
and and accessed only by authorized
Equipment personnel.
5.2.5 Buildings for Storage of Feed, Agricultural Chemicals, and Equipment Review
5.2.6Construction and Storage of Farm/Harvesting Machinery and Conveyors

5.2.6.1
Construction
and Storage Product contact surfaces on conveyors
of and harvesting equipment shall be
Farm/Harvest designed and constructed to allow for the
ing efficient handling of products and those
Machinery surfaces in direct contact with products
and shall be constructed of materials that will
5.2.6.2
Conveyors not contribute a food or feed safety risk.
Construction
and Storage
of
Farm/Harvest
ing
Machinery Provisions shall be made for the cleaning
and and storage of equipment, conveyors,
5.2.6.3
Conveyors totes, trays containers and utensils.
Construction
and Storage
of
Farm/Harvest
ing
Machinery Provisions shall be made to store farm
and machinery separate from feed conveyors
Conveyors and harvesting equipment.
5.2.6 Construction and Storage of Farm/Harvesting Machinery and Conveyors Review
5.2.7 Vehicles, Equipment and Utensils
Equipment, tools and utensils used for

5.2.7.1 animal health shall be suitable for use,
Vehicles, non-toxic, kept clean and sanitized, and
Equipment stored in such a way as to avoid
and Utensils contamination.
Equipment, tools, utensils and other items

5.2.7.2 or materials that are used for feeding of
Vehicles, livestock or animal health shall be kept in
Equipment good repair, kept clean, and stored in such
and Utensils a way as to avoid contamination.
Veterinary equipment, including

5.2.7.3 disposable medical items, shall be fit for
Vehicles, purpose and maintained in a clean and
Equipment serviceable condition, and stored in a
and Utensils clean, safe, and secure location.
5.2.7.4
Vehicles, Water tanks and troughs shall be cleaned
Equipment at a sufficient frequency, as per 5.2.12, so
and Utensils as not be a source of contamination.
The methods and responsibility for the

5.2.7.5 inspection of forage harvest containers
Vehicles, and pallets shall be documented and
Equipment implemented. The type and construction of
and Utensils harvest containers shall be stated.
5.2.7.5 inspection of forage harvest containers
Vehicles, and pallets shall be documented and
Equipment implemented. The type and construction of
and Utensils harvest containers shall be stated.
5.2.7.6 The use of harvest containers for non-

Vehicles, harvest purposes shall be clearly identified
Equipment and not returned to use for harvest without
and Utensils thorough cleaning
Vehicles used andtransport
for the inspection.
of
feedstuffs shall be fit for purpose and shall
not be used to carry waste materials,
5.2.7.7 manure, chemicals or other hazardous
Vehicles, substances that could cause feed
Equipment contamination without thorough cleaning
and Utensils and inspection.
5.2.7.8 Entry and exit points to the site shall be

Vehicles, equipped for cleaning and sanitizing of
Equipment vehicle wheels to prevent cross-
and Utensils contamination and disease outbreak.
5.2.7 Vehicles, Equipment and Utensils Review
5.2.8 Maintenance

Maintenance maintenance of equipment and buildings
shall be documented and implemented in
a manner that prevents any risk of
contamination of products or equipment.
5.2.8 Maintenance Review
5.2.9 Calibration of Equipment

calibration of application, measuring, test
and inspection equipment used for feed
application, chemical application, and
veterinary medicines shall be documented
5.2.9.1 and implemented.
Equipment shall be calibrated against
national or international reference
standards, methods and schedules. In
cases where such standards are not
available, the producer shall indicate and
provide evidence to support the calibration
5.2.9.2 reference method applied.
5.2.9.3 Calibration records shall be maintained.

5.2.9 Calibration of Equipment Review
5.2.10 Pest Prevention

The methods and responsibility for pest
prevention on the site or facilities shall be
property, animal housing facilities, storage
facilities, machinery and equipment shall
be kept free of waste or accumulated
debris so as not to attract pests and
5.2.10.1 vermin.
The pest prevention program shall:
Describe the methods and responsibility

for the development, implementation and
maintenance of the pest prevention
program;
Identify the target pests for each pesticide
application;
Outline the methods used to prevent pest
problems;
Outline the methods used to eliminate
pests when found;
Outline the frequency with which pest
status is to be checked;
Include on a site map the identification,
location, number and type of traps and
bait stations set;
List the chemicals used (they are required
to be approved by the relevant authority
and their Safety Data Sheets (SDS) made
available);
program;
application;
problems;
pests when found;
bait stations set;
available);
Outline the methods to make employees
aware of the bait control program and the
measures to take when they come into
contact with a bait station and;
Outline the requirements for employee
awareness and training in the use of pest
5.2.10.2 and vermin control chemicals and baits.
Records of pest inspections and pest

5.2.10.3 applications shall be maintained.
5.2.10 Pest Prevention Review
5.2.11 Animal Control

The operation shall have a written risk

assessment on animal activity in and
around the production of feed or food
crops that has been implemented and
5.2.11.1 monitored.
Measures shall be in place to exclude

domestic and wild animals from feed
5.2.11.2 cultivation and from production animals.
Measures shall be in place to exclude
domestic and wild animals from feed
5.2.11.2 cultivation and from production animals.
Where working dogs are used to muster

production animals, the producer shall
maintain and monitor the health of the
5.2.11.3 working dogs.
5.2.11 Animal Control Review
5.2.12 Cleaning and Sanitation
Section Details
The methods and responsibility for the Initial Response Evidence
cleaning of animal housing, pens, yards,
lairages, feed contact equipment, animal
health equipment, and sanitary facilities
shall be documented and implemented.
Consideration shall be given to:
What is to be cleaned;
How it is to be cleaned;
When it is to be cleaned;
Who is responsible for the cleaning; and
Who is responsible for the evaluation of
5.2.12.1 cleaning.
A verification schedule shall be prepared

indicating the frequency of verifying the
effectiveness the cleaning of animal
housing, pens, yards, lairages, feed
contact equipment, animal health
equipment, and sanitary facilities, and
indicating who is responsible for
5.2.12.2 completing the verification activities.
The effectiveness of cleaning and

sanitation programs shall be regularly
reviewed and adapted as needed based
5.2.12.3 on environmental factors or disease risk.
A record of cleaning and sanitation

5.2.12.4 activities shall be maintained.
5.3.1 Personnel Practices
Personnel engaged in the handling of

livestock and feedstuffs shall observe
appropriate personal practices. Corrective
actions shall be implemented for
personnel who violate food safety
5.3.1.1 practices.
Personnel suffering from, or are carriers

of, an infectious zoonotic disease shall not
engage in handling of livestock or
5.3.1.2 feedstuffs.
A medical screening procedure shall be in

place for all employees, and will also be
5.3.1.3 applicable to all visitors and contractors.
A written policy shall be in place that

specifies the procedures for handling
livestock feed, and feed contact surfaces
that have been in contact with blood or
5.3.1.4 other bodily fluids.
5.3.1 Personnel Practices Review
5.3.2 Sanitary Facilities and Hand Washing

Section Details
for product contamination. Initial Response Evidence
Toilets shall cater for the maximum

number of employees and be constructed
so that they can be easily cleaned and
maintained;
Hand wash basins with clean/potable
water, hand soap, disposable towels or
5.3.2.1
effective hand drying device, waste bins
and a tank that captures used hand wash
water for disposal(if not connected to a
drain) shall be provided inside or adjacent
to toilet facilities;
Signage in appropriate languages shall be
provided adjacent to hand wash basins
instructing people to wash their hands
after each toilet visit;
Racks for protective clothing used by farm
employees shall be provided;
Toilets shall be located so as to provide
easy access for farm workers;
Toilet and wash stations shall be
maintained in a clean and sanitary
condition.
5.3.2.1
Personnel shall have clean hands and

hands shall be washed by all personnel:
After each visit to a toilet;

After handling dirty or contaminated
material; and
5.3.2.2 After smoking, eating or drinking.
5.3.2 Sanitary Facilities and Hand Washing Review
5.3.3 Protective Clothing

Protective clothing shall be effectively,

maintained, stored, laundered and worn
so as to protect products from risk of
5.3.3.1 contamination.
Where applicable, clothing, including

footwear, shall be effectively cleaned and
sanitized, and worn so as to protect
5.3.3.2 products from risk of contamination.
If rubber or disposable gloves are used,

the operation shall have a glove use policy
and personnel shall adhere to the hand
5.3.3.3 washing practices outlined above.
Entry annex points of the buildings shall

be equipped with materials for cleaning
5.3.3.4 and sanitizing footwear.
5.3.3 Protective Clothing Review
5.3.4 Jewelry and Personal Effects

Jewelry and other loose objects that pose

a threat to livestock safety shall not be
worn or taken onto any livestock handling
5.3.4.1 or feed storage operations.
5.3.4 Jewelry and Personal Effects Review
5.3.5 Visitors
All visitors and employees shall be

required to remove jewelry and other
loose objects and wear suitable protective
5.3.5.1 clothing.
Visitors exhibiting visible signs of illness

that can potentially be transmitted to
livestock shall be prevented from entering
any livestock handling, feed storage, or
that can potentially be transmitted to
livestock shall be prevented from entering
any livestock handling, feed storage, or
5.3.5.2 field operations.
Visitors must follow all personnel practices

as designated by company for employees
within fields, pens, yards, sheds, or
5.3.5.3 storage locations.
Children and other family members shall

follow all visitor requirements and shall be
5.3.5.4 supervised at all times.
5.3.5 Visitors Review
5.3.6 Amenities
Provisions shall be made to store

employee personal belongings away from
livestock, crops, harvesting, field
5.3.6.1 operations and equipment.
Areas for meal breaks shall be designated

and located away from animal or feed
5.3.6.2 contact/handling zones and equipment.
Potable drinking water shall be available

5.3.6.3 to all field employees.
5.3.6 Amenities Review
5.4.1 Field Handling Practices

Measures shall be implemented to prevent

cross-contamination of livestock or feed
product from chemicals, oils and
5.4.1.1 lubricants, and /or personnel.
5.4.1 Field Handling Practices Review
5.4.2 Animal Husbandry Practices

Section Details
The producer shall apply good animal Initial Response Evidence
husbandry practices for the type of animal
under their care and shall ensure that the
basic needs of animals, whether held
under an extensive grazing, close
confinement or intensive housing
5.4.2.1 conditions, are maintained.
Employees responsible for the care and
management of animals shall be trained
and competent in animal handling and
welfare. They shall be able to recognize
the early signs of distress and disease and
5.4.2.2 ensure stress to animals is minimized.
maintained. The procedure shall indicate
that employees handling livestock ensure
that:
Animals have an adequate source of clean

feed and uncontaminated water at all
5.4.2.3
feed and uncontaminated water at all
times;
Animals are herded and housed in such a
way as to avoid damage or stress to the
animals;
Animal manure and contaminated yard
water is regularly removed and stored;
Measures to inspect for physical hazards
and procedures to remove physical
hazards are in place;
Diseased or medicated animals are
segregated from healthy animals; and
Personnel dealing with or treating
diseased animals do not come into contact
5.4.2.3 with healthy animals.
Material and equipment that come in

contact with production animals shall be
5.4.2.4 clean and in good repair.
5.4.2 Animal Husbandry Practices Review
5.5.1 Water for Livestock Production

Water for livestock production shall be

drawn from a known clean source or
5.5.1.1 treated to make
The producer it suitable
shall conductfor
anuse.
analysis of
the hazards to the water supply from
source through to application, establish
acceptance criteria for the monitoring of
water and validate and verify the integrity
of the water used to ensure it is fit for the
5.5.1.2 purpose.
Where water for livestock production is

stored in tanks or troughs, the producer
shall ensure that the tanks or troughs are
5.5.1.3 not a source of contamination.
Where water for livestock production is
stored in tanks or troughs, the producer
shall ensure that the tanks or troughs are
5.5.1.3 not a source of contamination.
Waste system intended to convey human

or animal waste shall be separated from
conveyances utilized to deliver water for
5.5.1.4 livestock production.
5.5.1 Water for Livestock Production
5.5.2 Treatment of Water for Livestock Production

In circumstances where water for livestock

production is treated to render it
acceptable, the water shall thereafter
conform to the microbiological standards
5.5.2.1 as outlined in element 5.5.3.
5.5.2 Treatment of Water for Livestock Production Review
5.5.3 Water Management Plan

Section Details
equipment, and mixing sanitizer solutions Initial Response Evidence
shall comply with potable water
microbiological and chemical standards in
the country of production. Separate criteria
shall be established for irrigation and other
agricultural water, as applicable, based on
a risk assessment and any application
legislation, if applicable. The water
management plan shall include the
following:
Risk assessment (hazard analysis);

Preventive controls;
Monitoring and verification procedures;
Corrective actions; and
5.5.3.1 Documentation.
Where necessary, water testing shall be
part of the water management plan, as
directed by the water risk assessment and
current industry standards or regulations
for the commodity being produced. Water
analysis, if applicable, shall be undertaken
by an approved laboratory accredited to
5.5.3.2 ISO 17025 or equivalent.
Where necessary, water testing shall be
part of the water management plan, as
directed by the water risk assessment and
current industry standards or regulations
for the commodity being produced. Water
analysis, if applicable, shall be undertaken
5.5.3.2 ISO
Water17025 or shall
quality equivalent.
be monitored to verify it
complies with the established standard or
criteria. A verification schedule shall be
prepared indicating the location and
frequency of monitoring, which shall be
decided by the risk assessment, or
5.5.3.3 applicable legislation.
5.5.3 Water Management Plan Review
5.5.4 Corrective Actions Review

identified under element 5.5.3.1) does not
meet established criteria or standard, the
producer shall have a corrective action
plan developed which may include
additional treatment for water, additional
sources for water, livestock identification
and disposition or other alternative actions
to adequately control the identified
5.5.4.1 hazards.
5.6.1 Storage of Livestock, Animal Feed and Veterinary Medicines

Livestock shall be housed and transported

under conditions that minimize the risk of
microbiological or chemical contamination,
5.6.1.1 physical damage, or distress.
The producer shall implement measures

to prevent cross-contamination of
livestock, animal feed or feeding utensils
from agricultural chemicals, cleaning
5.6.1.2 agents, waste materials, or personnel.
Animal feed shall be stored securely in

clean, dry silos or sheds and handled
separately from waste materials, animal
5.6.1.3 medication, and hazardous chemicals.
Animal feed sourced from different
species, growers or manufacturers shall
5.6.1.4 be properly segregated and identified.
Animal feed shall be checked regularly for

cleanliness, temperature, suitability, and
freedom from molds and fungus. A record
5.6.1.5 shall be maintained of feed checks.
Veterinary vaccines and medications shall
be stored in secure, lockable storage, and
in accordance with regulatory
requirements or, in the absence of
regulatory requirements, manufacturer’s
5.6.1.6 instructions.
5.6.1 Storage of Livestock, Animal Feed and Veterinary Medicines Review
5.6.2 Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products
Hazardous chemicals, toxic substances,

and petroleum products shall be
specifically identified and stored so as not
to present a hazard to employees,
products, product handling equipment or
areas in which livestock or feed is
5.6.2.1 handled, stored or transported.
Product contact chemicals such as

pesticides and herbicides; rodenticides,
fumigants and insecticides; sanitizers and
detergents shall be stored separately and
5.6.2.2 in
notheir original
cross- containers.
contamination between
chemicals;
Be ventilated to the exterior;
Be provided with appropriate signage
indicating the area is a hazardous storage
area;
Be secure and lockable to restrict access
only to those personnel with formal
training in the handling and use of
chemicals;
Have instructions on the safe handling of
hazardous chemicals readily accessible to
employees;
Be equipped with a detailed and up-to-
date inventory of all chemicals contained
in the storage facility;
Have suitable first aid equipment and
protective clothing available in the storage
area;
Have emergency shower and/or wash
facilities available in the event of an
accidental spill; and
In the event of a hazardous spill, be
designed such that spillage and drainage
from the area is contained; and
Be equipped with spillage kits and
5.6.2.3 cleaning equipment.
Petroleum fuels, oils, grease and other

lubricants shall be stored separate from
5.6.2.4 other storage areas.
5.6.2 Storage of Hazardous Chemicals, Toxic Substances, and Petroleum Products Review
5.6.3 Transport

loading, transport and unloading of
livestock shall be documented,
implemented and designed to minimize
5.6.3.1 damage and distress.
Employees involved in loading, transport

and unloading livestock shall be
5.6.3.2 appropriately trained.
and unloading livestock shall be
5.6.3 Transport Review
5.7.1 Purchasing Vaccines, Medications and Vitamins

Vaccines, medications, vitamins and

dietary supplements shall be purchased
from an approved supplier in accordance
with applicable legislation, and be
5.7.1.1 correctly labeled
An inventory of allbyanimal
the manufacturer.
medications,
vitamins and dietary supplements
purchased and used shall be maintained,
including in-feed medications. The
producer shall provide proof of purchase
for all animal medications included in the
5.7.1.2 inventory and used within the facility.
5.7.1 Purchasing Vaccines, Medications and Vitamins Review
5.7.2 Application of Animal Medicines

Section Details
The methods and responsibilities outlining Initial Response Evidence
the use of a vaccine or medication for a
target disease shall be documented and
implemented (i.e. animal health plan). All
vaccines and medicines shall be used in
accordance to label instructions, including
5.7.2.1 withholding periods.
Off label use of medications shall be

approved and documented by a registered
5.7.2.2 veterinarian.
shall:
Demonstrate knowledge of, and access to,

information regarding medications and the
maximum residue levels allowable in
destination markets;
5.7.2.3
Demonstrate competence and knowledge
of the various methods of administering
medications and compliance with
withholding periods; and
Maintain a current medication register and
keep records of all medication purchased
5.7.2.3 and used.
Where veterinary medication is required to

be dispensed in feed, medicated feed
5.7.2.4 shall be separately identified and stored.

be dispensed in water, medicated water
5.7.2.5 shall be separately identified and stored.
The producer shall dispose of unused
animal medications, expired medications,
empty containers and disposable
instruments in accordance with regulatory
requirements and ensure that empty
containers, used needles and disposable
instruments are not re-used; and are
isolated and securely stored while
5.7.2.6 awaiting disposal.
Where some or all of the living stock are
found to be infected with a notifiable
disease, the producer shall have a system
in place to quarantine the affected stock
and take appropriate action to treat or
5.7.2.7 dispose of the affected stock.
5.7.2 Application of Animal Medicines Review
5.7.3 Feed Management Plan
Animal feed, when not sourced internally,

shall be purchased from an approved
supplier in accordance with applicable
legislation and an agreed specification. A
record of all animal feed purchased shall
5.7.3.1 be maintained.
Animal feed, when not sourced internally,
shall be purchased from an approved
supplier in accordance with applicable
legislation and an agreed specification. A
record of all animal feed purchased shall
5.7.3.1 be
Themaintained.
methods and responsibilities to
maintain the safety and integrity of all
animal feed, whether purchased, or
produced on site, shall be documented
and implemented (i.e. feed management
plan). Animal feed shall meet regulatory
requirements and be managed to
minimize the potential for microbiological
or chemical contamination.
The feed management plan shall include

the following:
Feed quality shall be tested to verify that it

complies with the established
microbiological and chemical standard or
criteria. Feed analysis shall be undertaken
Where animal feed is found to be

contaminated or otherwise unsuitable for
use, the producer shall have a process in
place to contain and remove the
contaminated feed so as not to pose a
food safety risk to livestock and other farm
products, and to clean and sanitize
5.7.3.4 contaminated silos and equipment.
5.7.3 Feed Management Plan Review
5.7.4 Agricultural Chemicals

Chemicals shall be purchased from an

approved supplier in accordance with
applicable legislation. An inventory of all
chemicals purchased and used shall be
5.7.4.1 maintained.
A feed crop protection action plan

indicating the applications used for a
target pest or disease and the threshold
levels that initiate application shall be
5.7.4.2 prepared and implemented.
If the product is intended for export,

agricultural chemical use shall consider
requirements in the intended country of
5.7.4.3 destination.

information regarding chemical
applications and the maximum residue
limits allowable in destination markets;
Use only chemicals approved for use in
the intended market;
of chemical application and crop
withholding periods;
Ensure crop applications and application
rates for target pests and diseases comply
with label recommendations;
Demonstrate the timing between chemical
application and harvest complies with the
The producer
approved shallinterval
harvest disposeforofthe
chemical
chemical
waste
applied;and empty containers in
and
accordance with regulatory
Maintain a current chemicalrequirements
register and
5.7.4.4 and
keepensure that:
records of all chemicals use.
Empty chemical containers are not re-

used;
Empty containers are labeled, isolated and
securely stored while awaiting collection;
and
Unused and obsolete chemicals are
stored under secure conditions while
waiting authorized disposal by an
5.7.4.5 approved vendor.
accordance with regulatory requirements
and ensure that:

used;
and
5.7.4 Agricultural Chemicals Review
5.8.1 Living Stock Records
All livestock shall be identified by an

individual or batch identification system,
and be traceable back to the farm of birth
as per Primary Production system
5.8.1.1 elements 2.6.1 and 2.6.2.
The producer shall maintain a living stock

record which includes current living stock
on farm, stock movement, stock
5.8.1.2 transactions, and stock losses.
Records shall be maintained of living stock

treated with approved veterinary
medications and shall include the
application date and the withholding
5.8.1.3 period for that medication.
5.8.1 Living Stock Records Review
5.8.2 Feed Identification and Traceability

All animal feed and feed additives shall be
identified by a batch identification system
and be traceable back to the source,
including name and address of the
supplier and the batch number or
manufacturer’s identification mark as per
Primary Production system elements 2.6.1
5.8.2.1 and 2.6.2.
All animal feed and feed additives shall be
identified by a batch identification system
manufacturer’s identification mark as per
5.8.2.1 and 2.6.2.
The producer shall maintain records of the

5.8.2.2 use of feed and feed additives.
5.8.2 Feed Identification and Traceability Review
5.9.1 Dry, Liquid Waste Disposal

Waste materials shall be regularly
removed from the farm, field, pens, yards,
livestock housing sheds and the
surrounding areas so as not to pose a
5.9.1.1 products.
effective and efficient disposal of all solid
waste including inedible material and
disused packaging, and liquid and
unsanitary waste shall be documented
Areas where solid farm waste materials

5.9.1.3 are stored shall be kept clean.
Animal carcasses for disposal shall be

stored outside production areas. Carcass
disposal companies shall not pass through
the production facilities to remove
5.9.1.4 carcasses.
5.9.1 Dry, Liquid Waste Disposal Review
5.9.2 Liquid Waste
Drainage and waste disposal areas shall

be designed and constructed so as to
avoid contamination of water sources and
5.9.2.1 neighboring properties.
Untreated waste water and slurry from

sewage handling operations shall be
contained so that it does not contaminate
animal holding areas, pasture, crop
5.9.2.2 cultivation, and water courses.
Liquid manure shall be stored in specially

designed and constructed watertight
containers/reservoir, so as not to pose a
5.9.2.3 products.
5.9.2 Liquid Waste Review
6.1.1 Aquaculture Sites
Aquaculture farms shall comply with local

and national regulations and demonstrate
legal authority for land use, water use and
6.1.1.1 effluent discharge.
Aquaculture farms shall be such that

operations and land use do not interfere
with the safe and hygienic operations on
6.1.1.2 the property.
A risk assessment shall be conducted to
evaluate and document the risk to
products associated with prior land use,
products associated with prior land use,
adjacent land use, and other
environmental factors including structures
and equipment. Consideration shall be
given to the following:
History of land use;

Topography;
Adjacent land use;
Soil permeability; and
Other factors that may impact on the
6.1.1.3 ability to supply safe products.
The risk assessment shall be re-evaluated

in the event of any circumstance or
change that may impact on the production
6.1.1.4 of safe products.

measures shall be implemented to reduce
the identified hazards to an acceptable
6.1.1.5 level.
6.1.1 Aquaculture Sites Review
6.1.2 Vessels and Structures

Vessels, catch landing areas and land

structures shall be designed and
constructed to ensure that adjacent
buildings or operations do not interfere
6.1.2.1 with their safe and hygienic operation.
Vessels, catch landing areas and land

structures shall be designed and
constructed so as to facilitate cleaning and
pest control, and be free of oil, grease or
6.1.2.2 other contaminants.
6.1.2 Vessels and Structures Review
6.2.1 Site Access and Security
Aquaculture farms shall be fenced and the
entry points controlled by a lock or other
control entry devices. Only authorized
persons may gain entry to aquaculture
farms and access to products, feedstock,
6.2.1.1 and water supply.
Wild catch harvest, both on vessel and

landed, are to be held in clean containers
and protected from unauthorized access
6.2.1.2 or contamination sources.
6.2.1 Site Access and Security Review
6.2.2 Storage of Feed, Chemicals, and Equipment

All buildings used to store equipment,
veterinary and aquaculture chemicals, or
feedstock shall be designed and
constructed so as to permit compliance to
good hygiene practices and avoid product
Buildings designated to store equipment,

veterinary and aquaculture chemicals, or
6.2.2.2 feedstock shall be kept clean.
Silos, bins or other storage containers
used to store feed shall be constructed of
approved materials and designed to
remain dry, clean and free from any dirt
residues. They shall remain fit for the
purpose, in an acceptable condition,
enabling safe fumigation practices and
6.2.2.3 prevention of pest and vermin infestation.
Storage rooms shall be designed and
constructed to allow for the separate,
hygienic storage of feedstuffs, veterinary
chemicals, containers and equipment.
Items used to dispense feed and
veterinary chemicals shall be kept away
from machinery, hazardous chemicals and
6.2.2.4 other toxic substances.
hygienic storage of feedstuffs, veterinary
chemicals, containers and equipment.
Items used to dispense feed and
veterinary chemicals shall be kept away
from machinery, hazardous chemicals and
6.2.2.4 other toxic substances.
6.2.2 Storage of Feed, Chemicals, and Equipment Review
6.2.3 Construction and Storage of Machinery, Conveyors, Harvesting and Processing Equipment
Section Details
Product contact surfaces on conveyors, Initial Response Evidence
harvesting and processing equipment on
vessels or on aquaculture farms shall be
designed and constructed to allow for the
efficient handling of products. Surfaces in
direct contact with products shall be
constructed of materials that will not
6.2.3.1 contribute a food or feed safety risk.
Provisions shall be made for the washing

and storage of harvesting and processing
equipment, conveyors, totes, trays
6.2.3.2 containers and utensils.

nonfood-contact equipment separately
from harvesting and processing
6.2.3.3 equipment.
6.23 Construction and Storage of Machinery, Conveyors, Harvesting and Processing Equipment Review

Section Details
Feed processing equipment including Initial Response Evidence
knives, totes, trays, conveyors, containers
and other equipment, including equipment
used for fish or shellfish health, shall be
suitable for use and constructed from
materials that are non-toxic, smooth,
impervious and easily cleaned and
6.2.4.1 sanitized.
Feed processing equipment including
knives, totes, trays, conveyors, containers
and other equipment, including equipment
used for fish or shellfish health, shall be
suitable for use and constructed from
impervious and easily cleaned and
6.2.4.1 sanitized.
Equipment, tools, utensils and other items

or materials that are used for feeding or
health of fish/shellfish shall be kept in
good repair, kept clean and sanitized, and
stored in such a way as to avoid
Veterinary equipment, including

disposable medical items, shall be fit for
purpose and maintained in a clean and
serviceable condition, and stored in a
6.2.4.3 clean, safe, and secure store.
Water tanks shall be cleaned at a

sufficient frequency so as not be a source
6.2.4.4 of contamination.
Vehicles used for the transport of

fish/shellfish, feedstuffs, and ice shall be fit
for purpose and shall not be used to carry
waste materials, chemicals or other
hazardous substances that could cause
contamination without thorough cleaning
6.2.4.5 and inspection.
6.2.5 Maintenance

maintenance of vessels, equipment and
buildings shall be planned, scheduled and
carried out in a manner that prevents any
risk of contamination of products or
6.2.5.1 equipment.

calibration and re-calibration of
application, measuring, test and inspection
equipment used for measuring and
monitoring feed application, chemical
application, and veterinary medicines shall
6.2.6.1 be documented
Equipment shall and implemented.
be calibrated against
available, the site shall indicate and


Section Details
The methods and responsibilities for pest Initial Response Evidence
prevention on the vessel, site or facilities
The property, storage facilities, machinery
and equipment shall be kept free of waste
or accumulated debris so as not to attract
6.2.7.1 pests andthe
Describe vermin.
methods and responsibility
program;
application;
problems;
pests when found;
bait stations set;
available);
contact with a bait station and;



around the production of feed, living stock,
or wild catch that has been implemented
6.2.8.1 and monitored.

cleaning of vessels, containers,
fish/shellfish contact equipment, animal
fish/shellfish contact equipment, animal
health equipment, and sanitary facilities
6.2.9.1 cleaning.
indicating the frequency of verifying the
effectiveness of the cleaning of vessels,
containers, fish/shellfish contact
equipment, animal health equipment, and
sanitary facilities, and indicating who is
responsible for completing verification
6.2.9.2 activities.


6.2.9 Cleaning and Sanitation Review

living stock, wild catch and feedstuffs shall
observe appropriate personal practices.
Corrective actions shall be implemented
for personnel who violate food safety
6.3.1.1 practices.

of, an infectious disease which can be
carried with food as a vehicle shall not
engage in handling of living stock, wild
6.3.1.2 catch and feedstuffs.

Personnel with exposed cuts, sores or
lesions shall not be engaged in handling
or processing of product. Minor cuts or
abrasions on exposed parts of the body
shall be covered with a suitable waterproof
6.3.1.4 dressing.
Smoking, chewing, eating, drinking

(except for water), and spitting is not
permitted in any product or feed handling
6.3.1.5 areas.

for product contamination.

maintained;
Racks for protective clothing used by
easy access for workers; and
6.3.2.1 condition.
Before handling living stock, wild catch or
feed;
After using a handkerchief;
material; and

Protective clothing shall be effectively

so as to protect product from risk of
Where applicable, clothing including

footwear shall be effectively maintained,
cleaned and sanitized, and worn so as to
6.3.3.2 protect product from risk of contamination.



a threat to the safety of living stock shall
not be worn or taken onto any product
6.3.4.1 handling or feed storage operations.
6.3.5 Visitors

6.3.5.1 clothing.

shall be prevented from entering any living
6.3.5.2 stock, wild catch or feed handling areas.

within aquaculture farms and or wild catch
6.3.5.3 landing, storage and or handling areas.
6.3.6 Amenities
Provision shall be made to store employee

personal belongings away from living
6.3.6.1 stock, wild catch or feed handling areas.
On-board accommodation for vessel

employees shall meet regulatory
requirements (where applicable) and shall
6.3.6.2 be clean and dry.

and located away from living stock, wild
6.3.6.3 catch or feed handling areas.
and located away from living stock, wild
6.3.6.3 catch or feed handling areas.

6.3.6.4 to all employees.
6.4.1 Product Handling Practices

Section Details
which include: Initial Response Evidence
Aprons and gloves shall be kept clean;

Aprons and gloves shall not be left on
product, work surfaces, equipment or
packaging material but hung on apron and
glove racks provided;
All product and packaging material shall
be kept off the ground and the floor of the
vessel , holding area or transport vehicle;
and
Waste shall be contained in the bins
identified for this purpose. Waste shall not
come in contact with product and be
removed on a regular basis and not left to
6.4.1.1 accumulate.
Measures shall be implemented to prevent

cross-contamination of living or harvested
product from feed, chemicals, oils and
6.4.1.2 lubricants, and /or personnel.
6.4.1 Product Handling Practices Review
6.4.2 Aquaculture Practices

The site shall apply good husbandry

practices for the living stock under its care
and shall ensure that the basic needs of
the species under its control are
6.4.2.1 maintained.
The site shall apply good husbandry
practices for the living stock under its care
and shall ensure that the basic needs of
the species under its control are
6.4.2.1 maintained.
management of living stock shall be
trained and competent in aquaculture
practices. They shall be able to recognize
the early signs of distress and disease and
6.4.2.2 ensure stress to living stock is minimized.
that employees handling living stock
ensure that:
Living stock has an adequate source of

clean feed and uncontaminated water at
all times;
hazards are in place;
Diseased or medicated stock is
segregated from healthy living stock; and
Personnel dealing with or treating
diseased stock do not come into contact
6.4.2.3 with healthy stock.
Materials and equipment that comes in

contact with living stock shall be clean and
6.4.2.4 in good repair.
6.4.2 Aquaculture Practices Review
6.5.1 Water for Aquaculture

Water for production of living stock shall

be drawn from a known clean source or
6.5.1.1 treated to make it suitable for use.
Water for aquaculture shall be sourced

from a location and in a manner that is
6.5.1.2 compliant withconduct
The site shall prevailing
an regulations.
analysis of the
hazards to the water supply from source
6.5.1.3
hazards to the water supply from source
through to application, establish
6.5.1.3 purpose.
Where water for production of living stock

is stored in tanks, the site shall ensure that
the tanks are not a source of
Waste system intended to convey human

or animal waste shall be separated from
conveyances utilized to deliver water for
the production of living stock, cleaning of
6.5.1.5 equipment, or ice production.
6.5.1 Water for Aquaculture
6.5.2 Water Treatment

In circumstances where water for

production of living stock is treated to
render it acceptable, the water thereafter
shall conform to the microbiological
6.5.2.1 standards as outlined in element 6.5.3.
6.5.2 Water Treatment Review

mixing feeds, cleaning feed and veterinary
equipment, and production of ice shall
comply with potable water microbiological
and chemical standards in the country of
production. Where necessary, water used
for aquaculture shall also be tested for
6.5.3.1
for aquaculture shall also be tested for
heavy metals and polychlorinated
biphenyls (PCBs).
The water management plan shall include
the following:

Water and ice testing shall be part of the
water management plan, as directed by
the water risk assessment and current
industry standards or regulations for the
commodity being produced. Water
analysis shall be undertaken by an
approved laboratory accredited to ISO
6.5.3.2 17025 or equivalent.
Water and ice quality shall be monitored to
verify it complies with the established
water microbiological and chemical
standard or criteria established. A
verification schedule shall be prepared
indicating the location and frequency of
monitoring, which shall be decided by the
risk assessment, best practices within
country of production, or applicable
6.5.3.3 legislation.
6.5.4 Corrective Actions

When monitoring shows that water for the
production of living stock (or other uses
identified under 6.5.3.1) does not meet
established criteria or standard, the site
shall have a corrective action plan
developed which may include additional
treatment for water, additional sources for
water, living stock identification and
disposition or other alternative actions to
6.5.4.1 adequately control the identified hazards.
6.5.5 Water/Ice used in Cleaning, Storage, and Transport
Standard Operating Procedures (SOPs)
shall be developed for all uses of water
during wild catch, cleaning, and ice
production. The SOPs shall address:
The microbial quality of water or ice that

directly contacts the product and is used
on product contact surfaces;
The treatment of re-circulated water, if
used;
The condition and maintenance of water-
delivery system; and
6.5.5.1 The control of wash water temperature.
A standard operating procedure that

includes water-change schedules shall be
developed for all uses of water during
6.5.5.2 harvesting.
6.5.5 Water/Ice used in Cleaning, Storage, and Transport Review
6.6.1 Storage of Harvested Stock, Feed and Veterinary Medicines

Harvested stock shall be housed and

transported under conditions that minimize
the risk of microbiological or chemical
6.6.1.1 contamination or physical damage.
The site shall implement measures to
prevent cross-contamination of living
stock, wild catch, or feedstock from
chemicals, cleaning agents, oils and
grease, other chemicals, waste materials,
6.6.1.2 or personnel.
Feed shall be stored securely in clean, dry

silos or containers and handled separately
from waste materials, animal medication,
6.6.1.3 and hazardous chemicals.
Feed sourced from different species,

growers or manufacturers shall be stored
separately by using separate silos or
6.6.1.4 storage areas.
Feed sourced from different species,
growers or manufacturers shall be stored
separately by using separate silos or
Aquaculture feed shall be checked

regularly for cleanliness, temperature,
suitability, and freedom from molds and
fungus. A record shall be maintained of
6.6.1.5 feed checks.
Veterinary vaccines and medications shall
be stored in secure, lockable storage, and
in accordance with regulatory
requirements or, in the absence of
regulatory requirements, manufacturer’s
6.6.1 Storage of Harvested Stock, Feed and Veterinary Medicines Review

Section Details
Hazardous chemicals, toxic substances, Initial Response Evidence
and petroleum products shall be
specifically identified and stored so as not
to present a hazard to employees,
products, product handling equipment or
areas in which harvest product is handled,
6.6.2.1 stored or transported.

6.6.2.2 in their original containers.
no cross- contamination between
chemicals;
area;
area;
chemicals;
employees;
area;
accidental spill;

6.6.3 Transport

loading, transport and unloading of
harvested stock shall be documented and
6.6.3.1 implemented.

and unloading of harvested stock shall be
6.6.3 Transport
6.7.1 Purchasing Medications
Vaccines and medications shall be

purchased from an approved supplier in
accordance with applicable legislation, and
6.7.1.1 be correctly labeled by the manufacturer.
No medications shall be purchased or

used with the purpose of promoting
6.7.1.2 growth.
An inventory of all aquaculture
medications purchased and used shall be
maintained, including in-feed medications.
The site shall provide proof of purchase
for all medications included in the
6.7.1.3 inventory and used within the facility.
6.7.1 Purchasing Medications
6.7.2 Application of Aquaculture Medicines

Section Details
The methods and responsibilities Initial Response Evidence
indicating the use of a medication for a
target disease shall be documented and
implemented (i.e. animal health plan). All
vaccines and medicines must be used in
accordance to label instructions, including
6.7.2.1 withholding periods.
Off label use of medications shall be

approved and documented by a registered
6.7.2.2 veterinarian.
administering a vaccination medication
shall:

information regarding medications and the
of the various methods of administering
medications and compliance with
withholding periods; and
Maintain a current medication register and
keep records of all medication purchased
6.7.2.3 and used.

be dispensed in feed, feed shall be
6.7.2.4 separately identified and stored.

be dispensed in water, medicated water
6.7.2.5 shall be separately
The site identified
shall dispose andanimal
of unused stored.
medications, expired medications, empty
containers and disposable instruments in
and ensure that they are not re-used; and
are isolated and securely stored while
Where some or all of the living stock are
found to be infected with a notifiable
disease, the site shall have a system in
place to quarantine the affected stock and
take appropriate action to treat or dispose
6.7.2.7 of the affected stock.
6.7.2 Application of Aquaculture Medicines Review
6.7.3 Feed Management Plan

Aquaculture feed shall be purchased from

an approved supplier in accordance with
applicable legislation and an agreed
specification. A record of all aquaculture
6.7.3.1 feed purchased shall be maintained.
The methods and responsibilities to

aquaculture feed, whether purchased, or
produced on site shall be documented and
implemented (i.e. feed management plan).
Aquaculture feed shall meet regulatory
The methods and responsibilities to
aquaculture feed, whether purchased, or
produced on site shall be documented and
implemented (i.e. feed management plan).
Aquaculture feed shall meet regulatory
or chemical contamination.
The feed management plan shall include
the following:

Feed quality shall be tested to verify that it
complies with the established
criteria. Feed analysis shall be undertaken
Where aquaculture feed is found to be
contaminated or otherwise unsuitable for
use, the site shall have a process in place
to contain and remove the contaminated
feed so as not to pose a food safety risk to
living or harvested stock, and to clean and
sanitize contaminated silos and
6.7.3.4 equipment.
6.7.3 Feed Management Plan Review
6.7.4 Purchase and Use of Chemicals


applicable legislation. An inventory of all
chemicals purchased and used shall be
6.7.4.1 maintained.
and
6.7.4 Purchase and Use of Chemicals Review
6.8.1 Living Stock Records

The site shall maintain a living stock
record which includes current living stock
on farm, stock movement, stock
transactions, and stock losses. as per
6.8.1.1 and 2.6.2.
The site shall maintain records of living

6.8.1.2 stock purchased.
Records shall be maintained of living stock

treated with approved veterinary
medications and shall include the
application date and the withholding
6.8.1.3 period for that medication.
6.8.1 Living Stock Records Review
6.8.2 Feed Identification and Traceability

Section Details
identified by a batch identification system Initial Response Evidence
manufacturer’s identification mark. as per
6.8.2.1 and 2.6.2.
The site shall maintain records of the use

6.8.2.2 of feed and feed additives.
6.8.2 Feed Identification and Traceability Review
6.8.3 Harvested Stock Records
Records shall be maintained of all

harvested fishery products, including the
delivery destination, vendor, species, lot or
6.8.3.1 batch number, and date of production.
6.8.3 Harvested Stock Records Review
6.9.1 Dry Waste Disposal

Waste materials shall be regularly
removed from the farm, vessel, catch
landing areas and surrounding fishery
storage areas so as not to pose a food
safety risk to living stock and other farm
6.9.1.1 products.
waste including inedible material and
disused packaging, and liquid and
unsanitary waste shall be documented
Areas where solid waste materials are

6.9.1.3 stored shall be kept clean.
Dead fish/seafood shall be stored outside

production areas. Disposal companies
shall not pass through the production
6.9.1.4 facilities as part of the removal process.
6.9.1 Dry Waste Disposal Review
6.9.2 Liquid Waste
Waste water and slurry from ponds shall

be disposed of legally to avoid
contamination of water sources and
6.9.2.1 neighboring properties.
Untreated waste water and slurry from

sewage handling operations shall be
contained so that it does not contaminate
6.9.2.2 farm ponds and water sources.
Liquid waste shall be stored in specially

designed and constructed watertight
containers or reservoirs, so as not to pose
a food safety risk to living stock and other
6.9.2.3 farm products.
6.9.2 Liquid Waste Review



Topography;
Adjacent land use; and
7.1.1.2 ability to supply safe product.
The analysis shall be re-evaluated in the
event of any circumstance or change that
may impact on the production of safe
7.1.1.3 product.

7.1.1.4 level.
7.2.1 Field and Storage Buildings

All buildings used to store equipment, field
chemicals, field packaging materials or
field product shall be designed and
constructed so as to permit compliance to
good hygiene practices and avoid product
Buildings designated to store field product
or field product packaging materials shall
be of durable construction. Internal
surfaces shall be smooth and impervious
with a light-colored finish and shall be kept
7.2.1.2 clean.
7.2.1 Field and Storage Buildings Review
7.2.2 Greenhouses, Hydroponics and Mushrooms

Sites that grow produce indoors shall be

designed so that there is no food safety
7.2.2.1 risk to the product.
A procedure for handling of glass or hard

plastic breakages in greenhouses shall be
documented and implemented (refer to
7.2.2.2 7.4.2).
A procedure for handling of glass or hard
plastic breakages in greenhouses shall be
documented and implemented (refer to
7.2.2.2 7.4.2).
7.2.2 Greenhouses, Hydroponics and Mushrooms Review
7.2.3 Controlled Temperature and Atmosphere Storage

The producer shall ensure any chilling,

cold storage and controlled atmosphere
facility is of suitable size, construction and
design and is capable of effective
7.2.3.1 operational performance.
Floors shall be constructed of smooth,
dense impact resistant material that is
impervious to liquid and easily cleaned.
Floors shall be effectively graded, to allow
the effective removal of all overflow or
7.2.3.2 waste water under normal conditions.
Wall, ceilings, doors, frames and hatches

shall be of a solid construction. Internal
7.2.3.3 with a light-colored finish.
Lighting shall be shatter-proof or provided

7.2.3.4 with protective covers.
Sufficient refrigeration and controlled

atmosphere capacity shall be available to
chill or store the maximum anticipated
throughput of product with allowance for
7.2.3.5 periodic cleaning of storage rooms.
Discharge from defrost and condensate

lines shall be controlled and discharged to
7.2.3.6 the drainagefacilities
atmosphere system. shall be fitted with
temperature monitoring equipment or
7.2.3.7
temperature monitoring equipment or
suitable temperature monitoring device
that is located so as to monitor the
warmest part of the room and is fitted with
a temperature gauge that is easily
7.2.3.7 readable and accessible.
Chill, cold storage and controlled

atmosphere loading dock areas shall be
7.2.3.8 appropriately sealed, drained and graded.
7.2.3 Controlled Temperature and Atmosphere Storage Review
7.2.4 Storage of Dry Ingredient, Packaging and Utensils

hygienic storage of harvesting and
packing utensils away from farm
machinery and hazardous chemicals and
7.2.4.1 toxic substances.
7.2.4 Storage of Dry Ingredient, Packaging and Utensils Review
7.2.5 Farm Machinery, Conveyors, Harvesting Rigs Construction and Storage

Section Details
Product contact surfaces on conveyors Initial Response Evidence
and harvesting rigs shall be designed and
constructed to allow for the efficient
handling of product and those surfaces in
direct contact with product shall be
7.2.5.1 contribute a food or feed safety risk.
Food handling equipment including knives,

totes, trays, conveyors, containers and
other equipment shall be constructed of
7.2.5.2 impervious and easily cleaned.
Provision shall be made for the washing

and storage of harvesting rigs, equipment,
conveyors, totes, trays containers and
7.2.5.3 utensils.
Provision shall be made for the washing
and storage of harvesting rigs, equipment,
conveyors, totes, trays containers and
7.2.5.3 utensils.
Provision shall be made to store farm

machinery separate from food conveyors,
7.2.5.4 harvesting and processing rigs.
7.2.5 Farm Machinery, Conveyors, Harvesting Rigs Construction and Storage Review

Equipment, vehicles, tools, utensils and
other items or materials used in farming
operations that may contact produce are
identified and are in good repair, kept
clean and sanitized, and stored in such a
7.2.6.1 way as to avoid contamination.

Food contact harvest containers and
pallets shall be inspected prior to and
during harvesting. A documented and
implemented procedure shall include the
type and construction of harvest and
7.2.6.3 packing containers.
The use of harvest containers for non-

harvest purposes will be clearly identified
7.2.6.4 and not returned
Vehicles used forto use
the for harvest.
transport of produce
shall be adequate for its purpose and shall
not be used to carry waste materials,
manure, chemicals or other hazardous
substances that could cause produce
contamination without thorough cleaning
7.2.6.5 and inspection.
Tractors, harvesters, field packing

equipment and machinery driven over
ground crops shall be fitted with drip trays
to prevent contamination of the crop by
7.2.6.6 lubricants and oils.
Tractors, harvesters, field packing
equipment and machinery driven over
ground crops shall be fitted with drip trays
to prevent contamination of the crop by
7.2.6.6 lubricants and oils.
7.2.7 Maintenance
The maintenance of equipment and

buildings shall be planned, scheduled and
carried out in a manner that prevents any
risk of contamination of product or
7.2.7.1 equipment.

The calibration and re-calibration of

chemical application, measuring, test and
inspection equipment used in the growing
and harvesting process shall be
7.2.8.1 documented andbe
Equipment shall implemented.
calibrated against
available, the producer shall indicate and

The property adjacent to buildings,

storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract
pests and vermin. Harvested products and
food contact packaging materials shall be
free of evidence of pest and vermin
7.2.9.1 infestation.
program;
Record pest sightings and trend the
frequency of pest activity to target
pesticide applications;
problems;
pests when found;
location, number and type of bait stations
set;
available);
Outline the methods used to make
employees aware of the bait control
program and the measures to take when
they come into contact with a bait station;
and


around the production of produce that has
7.2.10.1 been implemented and monitored.
Measures shall be in place that control
domestic and wild animals in the growing
fields and does not allow the presence of
domestic or wild animals in greenhouses
and all storage and product handling
7.2.10.2 areas.

The cleaning of product contact surfaces,
field harvesting equipment and sanitary
facilities shall be documented and
implemented. Consideration shall be given
to:
7.2.11.1 cleaning.
A schedule shall be prepared indicating
the frequency of verifying the
effectiveness of the cleaning of product
contact surfaces, field harvesting
equipment and sanitary facilities and
indicating who is responsible for
7.2.11.1 completing verification activities.


product shall observe appropriate
personal practices. Corrective actions
shall be implemented for personnel who
7.3.1.1 violate food safety practices.

of, an infectious disease, which can be
carried with food as a vehicle, shall not
engage in growing, product handling or
7.3.1.2 field harvesting operations.

place for all employees who handle
product or food contact materials, and will
also be applicable to all visitors and
7.3.1.3 contractors.
product or food contact materials. Minor
cuts or abrasions on exposed parts of the
body shall be covered with a suitable
7.3.1.4 waterproof dressing.

product or product contact surfaces that
have been in contact with blood or other
7.3.1.5 bodily fluids.

(except for water) or spitting is not
permitted in any growing areas including
on field harvesting rigs and during
7.3.1.6 harvesting and packing operations.

maintained;
easy access for farm workers;
condition.
7.3.2.1
Before handling product;
Before putting on gloves;
After using a handkerchief, handling dirty
or contaminated material; and


so as to protect products from risk of

7.3.3.2 products from risk of contamination.
the operation shall have a Glove Use
policy and personnel shall adhere to the
7.3.3.3 hand washing practices outlined above.


a threat to the safety of the product shall
not be worn or taken onto any growing,
7.3.4.1 product handling, or storage operations.
7.3.5 Visitors
All visitors (including management and
maintenance employees) shall be required
to remove jewelry and other loose objects
and wear suitable protective clothing
around product growing, harvesting, or

shall be prevented from entering any
growing or product handling or field
7.3.5.2 harvesting operation.

as designated by the site for employees
within various areas of fields, sheds,
7.3.5.3 packing facilities or storage locations.
Unsupervised children shall not be

permitted to enter any harvesting, packing,
7.3.5.4 or food storage areas.
7.3.6 Amenities

employee personal belongings away from
crops, harvesting, field and packing
7.3.6.1 operations and harvesting equipment.

and located away from a food
contact/handling zones and harvesting
7.3.6.2 equipment.

7.4.1Pre-Harvest Assessment
Section Details
A pre-harvest risk assessment procedure Initial Response Evidence
shall be documented and implemented
and describes when the assessment is
performed and identifies those conditions
that may be reasonably likely to result in
physical, chemical, or biological
Knives and cutting instruments used in

harvesting operations shall be controlled,
7.4.1.2 and kept clean and well maintained.
A written procedure shall be documented

and implemented that describes the use
7.4.1.3 and storage of harvesting containers.
and implemented that describes the use
7.4.1.3 and storage of harvesting containers.
7.4.1 Pre-Harvest Assessment Review
7.4.2 Foreign Matter and Glass Procedures


and implemented that describes the
prevention of foreign matter and glass
Containers, equipment and other utensils
made of glass, porcelain, ceramics, brittle
plastic or other like material shall not be
permitted where exposed product is
handled unless an effective foreign
material and glass protocol is documented
Regular inspections shall be conducted to
ensure food handling/contact zones areas
are free of glass and brittle plastic and
employees are to be made aware of their
responsibility to adhere to the
organization’s foreign matter and glass
7.4.2.3 protocol.
Glass covered instrument dial covers,

where required, shall be checked at the
end of each shift to ensure their covers
7.4.2.4 have not been damaged.
7.4.2 Foreign Matter and Glass Procedures Review
7.4.3 Field Packing Personal Practices

Fingernail polish, artificial nails, and long
nails, shall not be permitted where product
is handled with bare hands;
False eyelashes and eyelash extensions
shall not be permitted;
shall not be permitted;
Aprons and gloves shall be kept clean;
Aprons and gloves shall not be left on
product, work surfaces, equipment or
packaging material but hung on apron
and glove racks provided;
All product and packaging material shall
be kept off the ground and the floor of the
transport vehicle;
identified for this purpose. Waste shall not
come in contact with produce and be
removed on a regular basis and not left to
7.4.3.1 accumulate.
A written policy regarding the handling and

field packaging of produce, specific to the
commodity, shall be implemented and
maintained. The policy shall assure that:
Damaged or decayed produce is not

harvested or culled;
Product that contacts the ground shall not
be harvested (unless that product typically
contacts the ground);
hazards are in place; and
Cloths, towels, or other cleaning materials
that pose a risk of cross-contamination
7.4.3.2 shall not be used to wipe produce.
Packaging materials shall be appropriate
for their intended used and stored in a
manner that prevents contamination. A
written policy shall be in place that
identifies how packing materials are
7.4.3.3 permitted in direct contact with soil.
Materials that come in contact with the

7.4.3.4 produce shall be clean and in good repair.
7.4.3 Field Packing Personal Practices Review
7.5.1 Water Systems

that describes the water sources and the
production blocks they serve, and shall
include one or more of the following:
maps, photographs, drawings, or other
means to communicate the location of the
water sources, permanent fixtures and the
flow of the water system. The plan shall
be kept current and revised when changes
7.5.1.1 occur.
Agricultural water shall be sourced from a

location and in a manner that is compliant
7.5.1.2 with prevailing regulations.
Water system intended to convey

untreated human or animal waste shall be
separated from conveyances utilized to
7.5.1.3 deliver agricultural water.
7.5.1 Water Systems Review
7.5.2 Irrigation Water

Agricultural water shall be drawn from a
known clean source or treated to make it
suitable for use. The producer shall
conduct an analysis of the hazards to the
irrigation water supply from source
7.5.2.1 purpose.
7.5.2 Irrigation Water Review
7.5.3 Treatment of Irrigation Water

In circumstances where irrigation water is

treated to render it acceptable, the water,
after treatment shall conform to the
microbiological standards as outlined in
7.5.3.1 element 7.5.5.
7.5.3.1 element 7.5.5.
7.5.3 Treatment of Irrigation Water Review
7.5.4 Water System Risk Assessment

Section Details
An initial risk assessment shall be Initial Response Evidence
performed and documented that takes into
consideration the historical testing results
of the water source, water system control
and protection, the characteristics of the
crop, the stage of the crop, and the
7.5.4.1 method of application.
7.5.4 Water System Risk Assessment Review

hands shall comply with potable water
microbiological and chemical standards in
the country of production and destination.
Separate criteria will be established for
irrigation water, frost control, humidifying,
pesticide application, etc. as applicable,
based on the hazard analysis, best
practices within country of production and
any applicable legislation.
the following:
Documentation.
Water testing shall be part of the water

management plan, as directed by the
water risk assessment and current
7.5.5.1 commodity being grown.
Water quality shall be monitored to verify it

complies with the established water
criteria established. A verification schedule
shall be prepared indicating the location
and frequency of monitoring, which shall
be decided by the risk assessment, best
practices within country of production, or
applicable legislation. Water analysis shall
be undertaken by an approved laboratory
7.5.5.2 accredited to ISO 17025 or equivalent.
Water used for hydroponics culture shall
be frequently changed and procedures
shall be implemented that minimizes
microbial or chemical contamination.
Delivery systems shall be designed so
7.5.5.3 they can be maintained and cleaned.

A corrective action plan shall be

developed when monitoring shows that
water does not meet established criteria or
standards. The plan can include additional
water, product identification and
7.5.7 Ice
The producer shall verify that any ice used

is made from water that meets the
microbiological and quality standards as
7.5.7.1 specified in element 7.5.5.
7.5.7 Ice Review
7.5.8 Harvest Assessment Water/Ice

Section Details procedures shall be developed for Initial Response
Written Evidence
all uses of water during harvesting of food
or feed products. The procedures shall
address:
The microbial quality of water or ice that

directly contacts the harvested crop, is
used on food contact surfaces or used to
deliver agricultural chemicals;
The treatment of re-circulated water, if
used;
The condition and maintenance of water-
delivery system; and
7.5.8.1 The control of wash water temperature.
A written procedure that includes water-

change schedules shall be developed for
7.5.8.2 all uses of water during harvesting.
7.5.8 Harvest Assessment Water/Ice Review

and petroleum products shall be stored so
as not to present a hazard to employees,
product, product handling equipment or
areas in which product is handled, stored
7.6.1.1 or transported.

chemicals;
area;
chemicals;
employees;
area;
accidental spill;
Be designed such that spillage and
drainage from the area is contained in the
event of a hazardous spill; and

The storage of hazardous chemicals, toxic
substances and petroleum products in
areas (separate lockable or otherwise
contained) shall not occur inside food
handling areas, product and packaging
7.6.1.5 storage rooms.
7.6.2 Transport
The loading, transport and unloading of

crops shall ensure that product integrity is
maintained. Documented and
implemented practices include:
Verification of cleanliness and functionality

of shipping units;
Appropriate storage conditions during
transportation to final destination;
The loading, transport and unloading of
crops shall ensure that product integrity is
maintained. Documented and
implemented practices include:

of shipping units;
Prevention of cross-contamination with
other hazards and spoilage; and
7.6.2.1 Appropriate stock rotation practices.

and unloading events shall be
7.7.1Fertilizer Management
Inorganic (chemical) and organic (manure)

soil amendments shall be isolated and
stored separately so as not to pose a food
7.7.1.1 safety risk.
Provision shall be made for the storage of

concentrated and diluted liquid soil
amendments in tanks designed to retain at
least 110% of total volume or as per local
7.7.1.2 regulations.
Soil amendments shall be stored separate
from crop, field or irrigation water sources
such that contamination from run off is
avoided either by locating of the soil
amendment a suitable distance from the
crop or by the utilization of other physical
7.7.1.3 barriers.
A current inventory of all organic and

inorganic soil amendment storage and use
7.7.1.4 shall be maintained.
7.7.1 Fertilizer Management Review
7.7.2 Soil Amendments

to prevent contamination of product. The
policy shall outline the methods used to
treat manure and other untreated organic
fertilizers ensuring:
The treatment methods applied inactivate

pathogens in organic soil amendments;
No raw untreated manure is used;
A hazard analysis of organic soil
amendments treatment methods is
conducted before use;
Treatments and application methods are
validated and treatment of organic soil
amendments are verified as being in
compliance with the approved or
recommended methods applied; and
Records of the validation and approvals
and verification of organic soil amendment
7.7.2.1 treatments are maintained.
methods to ensure organic soil
amendment applications are timed to pose
minimum risk to product safety and human
health including:
All applications of soil amendments are in

accordance with national or local
guidelines best practices and codes of
Good Agricultural Practice;
Equipment used for soil amendment
application is maintained in good condition
and calibrated to ensure accurate
application;
Records of all equipment maintenance
and calibration are maintained;
Signage complies with national and local
codes of practice; and
Sufficient data is recorded to provide a
detailed record of soil amendment
7.7.2.2 applications.
7.7.2 Soil Amendments
7.7.3 Purchasing Chemicals
Only chemicals approved for use in the

country of production and the country of
destination shall be purchased. Purchased
chemicals shall be labeled with the active
ingredient(s), applicable dosage rates, and
application instructions. Where no
regulations or partial regulations govern
the use of chemicals, the supplier shall
have a documented risk assessment on
the justification for use of non-regulated
7.7.3.1 chemicals.
Chemicals that are specifically banned for

use in the country of production or the
country of destination shall not be
7.7.3.2 purchased or stored.
A current inventory of all chemicals

7.7.3.3 purchased and used shall be maintained.
7.7.3 Purchasing Chemicals Review

A spray or crop protection program

application shall:

7.7.4.2
Use only chemicals approved for
cultivation of the specified products, and
approved for use in the intended market;
and
7.7.4.2 withholding
be maintainedperiods.
and include:
A current chemical register of all chemical

use;
The chemical used;
The crop sprayed;
The concentration;
The date, method and frequency of
application; and
Evidence that the timing between
chemical application and harvest complies
with the approved harvest interval for the
7.7.4.3 chemical application.
Biological controls that are approved for

the cultivation of the specified products
shall be used, and in accordance with
instructions or as per expert
7.7.4.4 recommendations.
The site shall dispose of chemical waste
and empty containers in accordance with
regulatory requirements and ensure that:

used;
Empty containers are labeled or rendered
unusable, isolated and securely stored
while awaiting collection; and
7.8.1 Dry, Liquid and Unsanitary Waste Disposal

Waste shall be regularly removed from the

farm, field, packing facility and the
surrounds so as not to pose a food safety
risk to finished product or growing,
7.8.1.1 harvesting and packing
A written procedure shalloperations.
be documented
and implemented that describes the
waste, including inedible material,
unusable packaging, including
trademarked material, and liquid and
7.8.1.2 unsanitary waste.
Inedible waste designated for animal feed

shall be stored and handled so as to not
cause a risk to the animal or further
7.8.1.3 processing for human consumption.
7.8.1 Dry, Liquid and Unsanitary Waste Disposal Review



Topography;
Adjacent land use; and
8.1.1.2 ability to supply safe product.
The analysis shall be re-evaluated in the

event of any circumstance or change that
may impact on the production of safe
8.1.1.3 product.

8.1.1.4 level.
8.1.1.4 level.
8.2.1 Field and Storage Buildings

All buildings used to store equipment, field

chemicals or field product shall be
designed and constructed so as to permit
compliance to good hygiene practices and
8.2.1.1 avoid product contamination.
Buildings designated to store field product

shall be of durable construction. Internal
8.2.1.2 clean.
8.2.1 Field and Storage Buildings Review
8.2.2 Storage of dry ingredient, packaging and utensils

Section Details
crops shall be constructed of approved Initial Response Evidence
materials and designed to remain dry,
clean and free from any dirt residues, so
they remain fit for the purpose, in an
acceptable condition, enable safe
fumigation practices and prevent the
8.2.2.1 invasion of pests.
hygienic storage of harvesting and
packing utensils and packaging materials
(e.g. bulk bags) away from farm
machinery and hazardous chemicals and
8.2.2.2 toxic substances.
8.2.2 Storage of dry ingredient, packaging and utensils Review
8.2.3 Construction and Storage of Farm/Harvesting Machinery and Conveyors
Section Details
shall be designed and constructed to allow Initial Response Evidence
for the efficient handling of product.
Surfaces in direct contact with product
shall be constructed of materials that will
not contribute a food or feed safety risk
and are non-toxic, smooth, impervious and
8.2.3.1 easily cleaned.
Provisions shall be made for the washing

and storage of equipment, conveyors,
8.2.3.2 totes, trays containers and utensils.
Provisions shall be made to store farm

machinery separate from feed conveyors
8.2.3.3 and harvesting equipment.
8.2.3 Construction and Storage of Farm/Harvesting Machinery and Conveyors Review

Equipment, vehicles, tools, utensils and
other items or materials used in farming
operations that may contact produce are
identified and are in good repair, kept
clean and sanitized, and stored in such a
8.2.4.1 way as to avoid contamination.

The methods and responsibilities for the
inspection of food contact harvest
containers and pallets shall be
documented and implemented. The type
and construction of harvest containers and
8.2.4.3 packing materials shall be stated.

8.2.4.4 and not returned to use for harvest.
8.2.4.4 and not returned
Vehicles used forto use
the for harvest.
transport of seed,
food and feed shall be fit for purpose and
shall not be used to carry waste
materials, manure, chemicals or other
hazardous substances that could cause
feed or food contamination without
8.2.4.5 thorough cleaning and inspection.
Tractors, harvesters and machinery driven

over ground crops shall be fitted with drip
trays to prevent contamination of the crop
8.2.4.6 by lubricants and oils.
8.2.5 Maintenance

maintenance of equipment and buildings
shall be planned, scheduled and carried
out in a manner that prevents any risk of
8.2.5.1 contamination of product or equipment.

Section Details
calibration and re-calibration of chemical
application, measuring, test and inspection
equipment used for monitoring Good
Agricultural Practices and other
operational controls shall be documented
available, the site shall indicate and
8.2.6.2


Section Details
The methods and responsibilities for pest Initial Response Evidence
prevention on the site or facilities shall be
property, storage facilities, machinery and
equipment shall be kept free of waste or
8.2.7.1 pests and vermin.
program;
application;
problems;
pests when found;
bait stations set;
available);
contact with a bait station; and



around the production of food or feed
crops that has been implemented and
8.2.8.1 monitored.
Measures shall be in place that exclude

domestic and wild animals from crop fields
8.2.8.2 and all storage areas.

to:
8.2.9.1 cleaning.
A schedule shall be prepared indicating
the frequency of verifying the
effectiveness of the cleaning of product
contact surfaces, harvesting equipment
and sanitary facilities and indicating who is
responsible for completing verification
8.2.9.2 activities.



product shall observe appropriate
personal practices. Corrective actions
shall be implemented for personnel who
8.3.1.1 violate food safety practices.

of, an infectious disease which can be
transmitted by food shall not engage in
8.3.1.2 processing operation.

place for all employees and will also be
product or product contact materials.
Minor cuts or abrasions on exposed parts
of the body shall be covered with a
8.3.1.4 suitable waterproof dressing.

product or product contact surfaces that
have been in contact with blood or other
8.3.1.5 bodily fluids.

(except for water) or spitting is not
permitted in any growing areas including
on field harvesting rigs and during
Section Details
for product contamination. Initial Response Evidence

maintained;
Hand wash basins with potable water,
hand soap, disposable towels or effective
hand drying device, waste bins and a tank
that captures used hand wash water for
disposal (if not connected to a drain) shall
be provided inside or adjacent to toilet
facilities;
easy access for field workers; and
8.3.2.1 condition.
Before handling product;

material; and


so as to protect product from risk of
8.3.3.2 product from risk of contamination.

the operation shall have a Glove Use
policy and personnel shall adhere to the
8.3.3.3 hand washing practices outlined above.


8.3.4 .1 product handling or storage operations.
8.3.5 Visitors

8.3.5.1 clothing.

shall be prevented from entering any
8.3.5.2 harvesting operation.


8.3.6 Amenities
Provision shall be made to store employee

personal belongings away from crops,
harvesting, field and packing operations,
8.3.6.1 and harvesting equipment.

and located away from a food
contact/handling zones and harvesting
8.3.6.2 equipment.

8.4.1 Pre-Harvest Assessment

Section Details
harvest risk assessments shall be Initial Response Evidence
documented and implemented. It shall
describe when the assessments are
performed and identifies those conditions
that may be reasonably likely to result in
physical, chemical, or biological
handling and packaging of crops, where
applicable, shall be documented and
implemented. It shall ensure:
Inspection and removal of physical

Inspection and removal of physical
hazards;
Damaged or decayed product is not
harvested or culled; and
Materials that come in contact with
products are clean and in good repair;
Packaging materials are used and stored
during use in a manner that prevents
8.4.1.2 product contamination.
8.4.1 Pre-Harvest Assessment Review
8.5.1 Water Systems

A water description plan shall be prepared
that describes the water sources and the
production blocks they serve, and shall
include one or more of the following:
maps, photographs, drawings, or other
means to communicate the location of the
water sources, permanent fixtures and the
8.5.1.1 flow of the water system.
Agricultural water shall be sourced from a

location and in a manner that is compliant
8.5.1.2 with prevailing regulations.
Waste System intended to convey

untreated human or animal waste shall be
separated from conveyances utilized to
8.5.1.3 deliver agricultural water.
8.5.1 Water Systems Review
8.5.2 Irrigation Water

Agricultural water shall be drawn from a
known clean source or treated to make it
suitable for use. The producer shall
conduct an analysis of the hazards to the
irrigation water supply from source
8.5.2.1
8.5.2.1 purpose.
8.5.2 Irrigation Water Review
8.5.3 Treatment of Irrigation Water


8.5.3.1 element 8.5.5.
8.5.3 Treatment of Irrigation Water Review
8.5.4 Water System Risk Assessment

Section Details
An initial risk assessment shall be Initial Response Evidence
performed and documented that takes into
consideration the historical testing results
of the water source, water system control
and protection, the characteristics of the
crop, the stage of the crop, and the
8.5.4.1 method of application.
8.5.4 Water System Risk Assessment Review

with potable water microbiological and
chemical standards in the country of
production and destination. Separate
criteria will be established for irrigation
water, frost control, humidifying, pesticide
application, etc. as applicable, based on
application, etc. as applicable, based on
the risk assessment, best practices within
country of production and any applicable
legislation.
the following:
Documentation.
Water testing shall be part of the water
management plan, as directed by the
water risk assessment and current
8.5.5.1 commodity being grown.

and frequency of monitoring, which shall
be decided by the hazard analysis, best
practices within country of production, or
applicable legislation. Water analysis shall
be undertaken by an approved laboratory
8.5.5.2 accredited to ISO 17025 or equivalent.

A corrective action plan shall be
developed when monitoring shows that
water does not meet established criteria or
standards. The plan can include additional
water, product identification and
and petroleum products shall be stored so
as not to present a hazard to employees,
product, product handling equipment or

chemicals;
area;
chemicals;
employees;
area;
accidental spill; and

handling areas, product and ingredient
8.6.1.5 and packaging storage rooms.
handling areas, product and ingredient
8.6.1.5 and packaging storage rooms.
8.6.2 Transport
loading, transport and unloading of crops
Product integrity is maintained, and
practices include:

of shipping units;
Prevention of cross-contamination with
other hazards and spoilage; and
8.6.2.1 Appropriate stock rotation practices.

and unloading events shall be
8.7.1 Fertilizer Management

Inorganic (chemical) and organic (manure)

soil amendments shall be isolated and
stored separately so as not to pose a food
Provision shall be made for the storage of

concentrated and diluted liquid soil
amendments in tanks designed to retain at
least 110% of total volume or as per local
Soil amendments shall be stored separate
from crop, field or irrigation water sources
such that contamination from run off is
avoided either by locating of the soil
8.7.1.3
crop or by the utilization of other physical
8.7.1.3 barriers.
A current inventory of all organic and

inorganic soil amendment storage and use
8.7.1 Fertilizer Management Review
8.7.2 Soil Amendment

to prevent contamination of product. The
policy shall outline the methods used to
treat manure and other untreated organic
fertilizers ensuring:
The treatment methods applied inactivate

pathogens in organic soil amendments;
No raw untreated manure is used;
A risk assessment of organic soil
amendments treatment methods is
conducted before use;
Treatments and application methods are
validated, and treatment of organic soil
amendments are verified as being in
compliance with the approved or
recommended methods applied; and
Records of the validation, approvals and
verification of organic soil amendment
8.7.2.1 treatments are maintained.
health including:
All applications of soil amendments are in

accordance with national or local
guidelines, best practices and codes of
8.7.2.2
Equipment used for soil amendment
application is maintained in good condition
and calibrated to ensure accurate
application;
Records of all equipment maintenance
and calibration are maintained;
Signage complies with national and local
codes of practice; and
Sufficient data is recorded to provide a
detailed record of soil amendment
8.7.2.2 applications.
8.7.2 Soil Amendment Review
8.7.3 Purchasing Chemicals


applicable legislation. A current inventory
of all chemicals purchased and used shall
8.7.3 Purchasing Chemicals Review

A spray or crop protection action plan

application shall:

8.7.4.2
Use only chemicals approved for
cultivation of specific crops and approved
for use in the intended market or country
of destination; and
8.7.4.2 withholding
be maintainedperiods.
and include:
A current chemical register of all chemical

use;
The chemical used;
The crop sprayed;
The concentration;
The date, method and frequency of
application; and
Evidence that the timing between
chemical application and harvest complies
with the approved harvest interval for the
8.7.4.3 chemical application.
Biological controls that are approved for

the cultivation of the specific crops shall
be used, and in accordance with
instructions or as per expert
8.7.4.4 recommendations.
and ensure that:

used;
Empty containers are labeled or rendered
unusable, isolated and securely stored
8.8.1 Dry, Liquid and Unsanitary Waste Disposal


waste, including inedible material and
disused packaging, including trademarked
material, and liquid and unsanitary waste
8.8.1.2 shall be documented and implemented.
8.8.1 Dry, Liquid and Unsanitary Waste Disposal Review
The resources presented here were sourced from SQF Institute. For additional reading, tools and context please
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NAME: DATE:
2.1.1 Food Safety Policy (Mandatory) Initial
Section Details Response Evidence

as a minimum the:
The site's commitment to supply safe

food;
Methods used to comply with its customer
and regulatory requirement and
2.1.1.1 Food The site's commitment to establish and
Signed by senior site management;

Made available in language understood by
all staff;
2.1.1.2 Food Displayed in a prominent position; and
Safety Policy Effectively communicated to all staff.
2.1.2 Management Responsibility (Mandatory) Initial



Oversee the development,

in 2.4.3;
Take appropriate action to ensure the
Communicate to relevant personnel all
The SQF practitioner shall:
Be employed by the site as a company

employee on a full-time basis;
Have completed a HACCP-based training
course;
Be competent to implement and maintain
Good Agricultural/Aqua cultural Practices;
and
Have an understanding of the SQF Code
2.1.2.5 and the requirements to implement and
Management maintain SQF System relevant to the site’s
Responsibility scope of certification.
Have completed a HACCP-based training
course;
Good Agricultural/Aqua cultural Practices;
and
Have an understanding of the SQF Code
2.1.2.5 and the requirements to implement and
Management maintain SQF System relevant to the site’s
Responsibility scope of certification.





2.1.3 Management Review (Mandatory) Initial

The owner/senior site manager shall be

Reviews shall include the policy manual,
internal and external audit findings,
2.1.3.1 corrective actions and their investigations
Management and resolution, customer complaints and
Review their resolution and investigation.
Review annually.
Food Safety Plans, Good
other aspects of the SQF System shall be
2.1.3.3 any potential changes implemented have
Management an impact on the site's ability to deliver
Review safe food.
2.1.3.4
2.1.4 Complaint Management (Mandatory) Initial

2.1.4.1 resolution of complaints from customers
Complaint and authorities shall be documented and


2.1.4.4
2.1.5 Crisis Management Planning Initial

A crisis management plan that is based on

The crisis management plan shall be

2.1.5.2 Crisis reviewed, tested and verified at least
Management annually. Records of reviews of the crisis
2.2.1 Food Safety Management System (Mandatory) Initial

A food safety management system shall

be documented, maintained in either
electronic and/or hard copy form, and
made available to relevant staff and
include:
The policy statement and organization

chart;
The scope of the certification;
A list of the products covered under the
scope of certification; and
Include or reference the written
procedures (Good Agricultural Practices,
2.2.1.1 Food Good Aqua cultural Practices and/or Good
Safety Production Practices) and other
Management documentation necessary to support the
System development, implementation,
System.
2.2.1.2 Food
Safety
Management All changes made to Food Safety Plans,
System Good Agricultural/Aqua cultural Practices
and other aspects of the SQF System
shall be validated or justified.
2.2.2 Document Control (Mandatory) Initial


2.2.2.3
2.2.3 Records (Mandatory) Initial




2.2.3.3 retained in accordance with periods
Records specified by a customer or regulations.
2.3.1 Product Development and Realization Initial

Development product concepts (e.g. new crops, animal
and species) to commercial realization shall be
Realization documented and implemented.
2.3.1.2
Product
2.3.1.3
Product
Development Records for new products validation, shelf
and life and final approvals shall be
2.3.2 Raw and Packaging Materials Initial

2.3.2.1 Raw
and Specifications for food contact packaging
Packaging and agricultural/aquaculture inputs shall
2.3.2.2 Raw
and All food contact packaging and
Packaging agricultural/aquaculture inputs shall
Materials comply with the relevant legislation.

agricultural/aquaculture inputs shall be
verified to ensure product safety is not
compromised and the material is fit for its
2.3.2.4 Raw intended purpose. Verification shall
and include certificates of conformance,
Packaging certificate of analysis, or sampling and
Materials testing.
Certification that all packaging that comes
into direct contact with food meets either
regulatory acceptance or approval criteria.
Documentation shall either be in the form
of a declaration of continued guarantee of
compliance, a certificate of conformance,
or a certificate from the applicable
regulatory agency; and
In the absence of a certificate of
conformance, certificate of analysis, or
letter of guarantee, tests and analyses to
2.3.2.5 Raw confirm the absence of potential chemical
and migration from the packaging to the food
Packaging contents shall be conducted and records
2.3.2.6 Raw
and Finished product labels shall be accurate,
Packaging comply with the relevant legislation and be
Materials approved by qualified company personnel.
2.3.2.7 Raw
and A register of current packaging materials
Packaging and agricultural input specifications and
Materials labels shall be maintained.
2.3.3 Contract Service Providers Initial

Section Details
services that have an impact on finished Response Evidence
product safety shall be documented,
current, include a full description of the
2.3.3.1 service to be provided and detail relevant
Contract training requirements of contract
Service personnel (e.g. sprayers, portable toilets,
Providers temporary labor).
2.3.3.2
Service specifications shall be maintained and
Providers kept current.
2.3.4 Contract Manufacturers

Section Details Initial Respons Evidence
safety and customer product requirements
and their realization and delivery are
specified and agreed shall be documented
Verify compliance with the SQF Food

Safety Code for Manufacturing and that all
customer requirements are being met at
all times. Products and/or processes of co-
manufacturers that are considered high
risk shall be required to undergo an audit
by the site or other third-party agency to
confirm compliance to the SQF Food
Safety Code for Manufacturing and agreed
arrangements; and
Ensure changes to contractual
agreements are approved by both parties
2.3.4.2 and communicated to relevant personnel.
Records of all contract reviews and

changes to contractual agreements and
2.3.4.3 their approvals shall be maintained.
2.3.4 Contract Manufacturers Review

Finished product specifications shall be

documented, current, approved by the site
and their customer, accessible to relevant
staff and shall include:
Microbiological and chemical limits; and

staff and shall include:
Microbiological and chemical limits; and

2.3.5.1 Labelling and packaging requirements.
A register of finished product

2.3.5.2 specifications shall be maintained.

The site shall ensure that, at the time of
delivery to its customer, the food supplied
shall comply with the legislation that
applies to the food and its production in
the country of use or sale. This includes
compliance with legislative requirements
applicable to maximum residue limits, food
safety, packaging, product description, net
weights, nutritional, allergen and additive
labeling, labeling of identity preserved
foods, any other criteria listed under food
legislation, and to relevant established
2.4.1.1 industry codesand
The methods of practice.
responsibility for
ensuring the site is kept informed of
changes to relevant legislation, scientific
and technical developments, emerging
food safety issues, and relevant industry
codes of practice shall be documented

hours in the event of a regulatory warning.
Notification to SQFI shall be by email to
2.4.1.3 foodsafetycrisis@sqfi.com.
2.4.2 Good Manufacturing Practices (Mandatory)
The site shall ensure the Good
Manufacturing Practices described in
modules 3, 4, 9, 10 or 11 (as applicable)
of this Food Safety Code are applied, or
exempted according to a written risk
analysis outlining the justification for
exemption or evidence of the
effectiveness of alternative control
measures to ensure that food safety is not
2.4.2.1 compromised.
The Good Manufacturing Practices

applicable to the scope of certification that
outline how food safety is controlled and
assured shall be documented and
2.4.2 Good Manufacturing Practices Review

A food safety plan shall be prepared in

accordance with the twelve steps
identified in the Codex Alimentarius
Commission HACCP guidelines. Feed
manufacturers may utilize a HACCP-
based reference food safety plan
2.4.3.1 developed by a responsible authority.
The food safety plan shall be effectively

implemented, maintained and outline the
means by which the site controls and
products included in the scope of
2.4.3.2 certification.
The food safety plan or plans shall be

SQF practitioner and those site personnel
from other sources to assist the food
2.4.3.3 safety team.

under consideration and all relevant inputs
2.4.3.4 and outputs.

specifications (refer to 2.3.5.1) plus any
additional information relevant to product
safety, such as pH, water activity, and/or
2.4.3.5 composition.
The intended use of each product shall be

processing if applicable, and potential
2.4.3.6 alternative use of the product.

document a flow diagram covering the
process, all raw material, packaging
material, service inputs (e.g. water, steam,
gasses as appropriate), scheduled
process delays, and all process outputs
including waste and rework. Each flow
diagram shall be confirmed by the food
safety team during all stages and hours of
2.4.3.7 operation.

step in the processes, including raw
2.4.3.8 materials and other inputs.
The food safety team shall conduct a

hazard analysis for every identified hazard
to identify which hazards are significant,
i.e. their elimination or reduction to an
acceptable level is necessary to ensure
food safety. The methodology for
determining hazard significance shall be
documented and used consistently to
2.4.3.9 assess all potential hazards.

than one significant hazard may be
2.4.3.10 controlled by a specific control measure.

acceptable level (i.e. a critical control
point, or CCP). In instances where a
significant hazard has been identified at a
step in the process, but no control
measure exists, the food safety team shall
modify the process to include an
2.4.3.11 appropriate control measure.

level of control of the identified food safety
hazard (s); and that all critical limits and
control measures individually or in
combination effectively provide the level of
2.4.3.12 control required (refer to 2.5.2.1).

limits (refer to 2.4.3.12). Monitoring
procedures shall identify the personnel
assigned to conduct testing, the sampling
2.4.3.13 and test methods, and the test frequency.

step to prevent recurrence of the safety
2.4.3.14 failure.
2.4.3.14 failure.
The documented and approved food

safety plan (s) shall be implemented in full.
process, equipment, inputs or other
2.4.3.15 changes affecting product safety occur.

verified as part of SQF System verification
2.4.3.16 (refer to 2.5).
Where food safety regulations in the

both Codex and food regulatory
2.4.3.17 requirements.

Raw materials, ingredients, packaging

materials, and services that impact on
finished product safety shall meet the
agreed specification (refer to 2.3.2) and be
2.4.4.1 supplied by an approved supplier.
materials, and services that impact on
finished product safety shall meet the
agreed specification (refer to 2.3.2) and be
2.4.4.1 supplied by an approved supplier.
The receipt of raw materials, ingredients,
and packaging materials received from
non-approved suppliers shall be
acceptable only in an emergency situation,
and provided they are inspected or
2.4.4.2 analyzed before use.
The responsibility and procedure for

selecting, evaluating, approving and
monitoring an approved supplier shall be
2.4.4.3 documented and implemented.

2.7.1.1) shall include measures to secure
incoming materials and ingredients and
protect them from deliberate act of
2.4.4.4 sabotage or terrorist-like incidents.
the site's susceptibility to raw material or
ingredient substitution, mislabeling,
dilution or counterfeiting which may
2.4.4.5 adversely impact food safety.

2.7.2.2) shall include methods by which
the identified food safety vulnerabilities
from ingredients and materials shall be
2.4.4.6 controlled.
Raw materials, ingredients, and packaging

materials received from other sites under
the same corporate ownership shall be
subject to the same specification
requirements (refer to 2.3.2) and approved
supplier requirements as all other material
2.4.4.7 providers.
based on the prior performance of a
supplier and the risk level of the raw
materials ingredients, packaging
materials, and services supplied, and shall
contain as a minimum:
Agreed specifications (refer to 2.3.2);
Reference to the rating of the level of risk
applied to a raw material, ingredients,
packaging materials and services and the
approved supplier;
A summary of the food safety controls
Methods for granting approved supplier
status;
Methods and frequency of monitoring
approved suppliers;
Details of the certificates of conformance if
required; and
Methods and frequency of reviewing
approved supplier performance and
2.4.4.8 status.

shall be conducted by individuals
knowledgeable of applicable regulatory
and food safety requirements and trained
2.4.4.9 in auditing techniques.
A register of approved supplier and

records of inspections and audits of
2.4.4.10 approved suppliers shall be maintained.


how non-conforming product, raw
material, ingredient, work-in- progress,
packaging or equipment detected during
receipt, storage, processing, handling or
delivery is handled shall be documented
and implemented. The methods applied
shall ensure:
Non-conforming product is quarantined,

identified, handled and disposed of in a
manner that minimizes the risk of
inadvertent use, improper use or risk to
the integrity of finished product;
Non-conforming equipment is effectively
repaired or disposed of in a manner that
shall ensure:

the integrity of finished product;
minimizes the risk of inadvertent use,
improper use or risk to the integrity of
finished product; and
All relevant staff are aware of the
organization’s quarantine and release
requirements applicable to equipment or
2.4.5.1 product placed under quarantine status.
Quarantine records, and records of the

handling, corrective action, or disposal of
non-conforming product or equipment
2.4.6 Product Rework


how ingredients, packaging materials, or
products are reworked shall be
methods applied shall ensure:
Reworking operations are supervised by

qualified personnel;
Reworked product is clearly identified and
traceable;
Each batch of reworked product is
inspected or analyzed as required before
release;
Inspections and analyses shall conform to
the requirements outlined in element
2.5.4.1; and
Release of reworked product shall
2.4.6.1 conform to element 2.4.7.
how ingredients, packaging materials, or
products are reworked shall be

traceable;
Each batch of reworked product is
inspected or analyzed as required before
release;
2.5.4.1; and
Release of reworked product shall
2.4.6.1 conform to element 2.4.7.
Records of all reworking operations shall

2.4.6 Product Rework Review
2.4.7 Product Release (Mandatory)

The responsibility and methods for

releasing products shall be documented
shall ensure the product is released:
By authorized personnel; and

Once all inspections and analyses are
successfully completed and documented
to verify legislative and other established
2.4.7.1 food safety controls have been met.
Records of all product release shall be

2.4.7.2 maintained.
2.4.7 Product Release Review
2.4.8 Environmental Monitoring
A risk-based environmental monitoring

program shall be in place for all food and
2.4.8.1 pet food manufacturing processes.
The responsibility and methods for the

environmental monitoring program shall
2.4.8.2 be documented and implemented.
An environmental sampling and testing
schedule shall be prepared, detailing the
applicable pathogens or indicator
organisms to test for that industry, the
number of samples to be taken and the
2.4.8.3 frequency of sampling.
Environmental testing results shall be

monitored and corrective actions (refer to
2.5.3.1) implemented where unsatisfactory
2.4.8.4 trends are observed.
2.4.8 Environmental Monitoring Review


ensuring the effectiveness of all applicable
elements of the SQF Program shall be
Good Manufacturing Practices are

confirmed to ensure they achieve the
required result;
Critical food safety limits are validated,
and re-validated annually;
Changes to the processes or procedures
are assessed to ensure controls are still
effective; and

required result;
effective; and
All applicable elements of the SQF
2.5.1.1 Program are implemented and effective.
Records of all validation activities shall be

2.5.1.2 maintained.


completion and the person responsible for
each activity shall be prepared and

Manufacturing Practices, critical control
points and other food safety controls, and
the legality of certified products, shall be
methods applied shall ensure that
personnel with responsibility for verifying
monitoring activities authorize each
2.5.2.2 verified record.
Records of the verification of monitoring



including the identification of the root
cause and resolution of non-compliance of
critical food safety limits and deviations
from food safety requirements, shall be
Records of all investigation and resolution

of non-conformities including their
corrections and corrective action shall be
2.5.3.2 maintained.

sampling, inspecting and/or analyzing raw
materials, finished product and work-in-
progress shall be documented and
ensure:
Inspections and analyses are completed

agreed specification and legal
requirements;
Inspections are conducted to ensure raw
materials, work in process and finished
products comply with the relevant
specification, regulatory requirements and
sampling, inspecting and/or analyzing raw
materials, finished product and work-in-
progress shall be documented and
ensure:

requirements;
materials, work in process and finished
products comply with the relevant
specification, regulatory requirements and
are true to label; and
All analyses are conducted to nationally
recognized methods or alternative
methods which are validated as equivalent
2.5.4.1 to the nationally recognized methods.
On-site personnel that conduct

environmental or product testing shall
participate in an applicable proficiency
testing program at least annually to ensure
2.5.4.2 accuracy of results.
Where external laboratories are utilized to

laboratories shall be accredited to ISO
17025 or an equivalent national standard
and shall be included on the site's contract
service specifications register (refer to
2.5.4.3 2.3.3.1).
Records of all inspections and analyses

2.5.5 Internal Audits and Inspections (Mandatory)

scheduling and conducting internal audits
System shall be documented and
implemented. Internal audits shall be
applied shall ensure:
All applicable requirements of the SQF

Food Safety Code for Manufacturing are
audited as per the SQF audit checklist or
similar tool;
Correction and corrective action of
audits are undertaken; and
Audit results are communicated to
2.5.5.1 corrective
trained andactions.
competent in internal audit
2.5.5.2 procedures.
Regular inspections of the site and
out to verify Good Manufacturing Practices
compliant to the SQF Food Safety Code
for Manufacturing. The site shall:
Take corrections or corrective and

preventative action; and
Maintain records of inspections and any
2.5.5.3 corrective action taken.
Where practical staff conducting internal

audits shall be independent of the function
2.5.5.4 being audited.
Records of internal audits and inspections

and any corrections and corrective action
taken as a result of internal audits shall be
2.5.5.5 maintained.
2.5.5 Internal Audits and Inspections Review


identifying raw materials, ingredients,
packaging materials, work-in - progress,
process inputs and finished products
during all stages of production and storage
The product identification system shall be
identifying raw materials, ingredients,
packaging materials, work-in - progress,
process inputs and finished products
during all stages of production and storage

materials, work-in progress, process
inputs and finished products are clearly
production, storage and dispatch; and
Finished product is labeled to the
customer specification and/or regulatory
Product identification records shall be

2.6.1.2 maintained.
Product start up and changeover
procedures during packing shall be
documented and implemented to ensure
that the correct product is in the correct
package and with the correct label, and
that the changeover is inspected and
2.6.1.3 approved by an authorized person.


Finished product is traceable to the

manufacturing supplier and date of receipt
of raw materials, food contact packaging
and materials and other inputs (one back);
Traceability is maintained where product is
reworked; and
The effectiveness of the product trace
system shall be reviewed at least annually
as part of the product recall and
2.6.2.1 withdrawal review (refer to 2.6.3.3).

reworked; and
Records of raw and packaging material

receipt and use, and finished product
dispatch and destination shall be
2.6.2.2 maintained.
2.6.3 Product Withdrawal and Recall (Mandatory)

withdraw or recall product shall be
procedure shall:
Identify those responsible for initiating,

managing and investigating a product
withdrawal or recall;
Describe the management procedures to
be implemented including sources of legal,
regulatory and expert advice and essential
traceability information; and
Outline a communication plan to inform
SQFI, the certification body, and the
appropriate regulatory authority shall be
listed as an essential body and notified in
instances of a food safety incident of a
public nature, or product recall for any
2.6.3.1 reason.

determine the root cause of a withdrawal,
mock recall or recall and details of
investigations and any action taken shall
2.6.3.2 be documented.
determine the root cause of a withdrawal,
mock recall or recall and details of
investigations and any action taken shall
2.6.3.2 be documented.
The product withdrawal and recall system

shall be reviewed, tested and verified as
effective at least annually. Testing shall
include incoming materials (one back) and
2.6.3.3 finished product (one up).
hours upon identification of a food safety
event that requires public notification.
SQFI shall be notified at
2.6.3.4 foodsafetycrisis@sqfi.com.
Records of all product withdrawals, recalls

2.6.3.5 and mock recalls shall be maintained.


deliberate act of sabotage or terrorist-like
incident shall be documented,
2.7.1.1 implemented and maintained.
A food defense plan shall include:
The name of the senior site management

person responsible for food defense;
The methods implemented to ensure only
authorized personnel have access to
production equipment and vehicles,
manufacturing and storage areas through
designated access points;
The methods implemented to protect
sensitive processing points from
The measures taken to ensure the secure
receipt and storage of raw materials,
packaging, equipment and hazardous
chemicals;
The measures implemented to ensure raw
materials, ingredients, packaging
A food defense plan shall include:
The name of the senior site management

chemicals;
materials, ingredients, packaging
inputs and finished products are held
under secure storage and transportation
conditions; and
The methods implemented to record and
control access to the premises by
2.7.1.2 employees, contractors, and visitors.

2.7.1.3 and challenged at least annually.
Records of reviews of the food defense

2.7.1.4 plan shall be maintained.
2.7.2 Food Fraud


mislabeling, dilution, counterfeiting or
stolen goods which may adversely impact
mislabeling, dilution, counterfeiting or
stolen goods which may adversely impact
2.7.2.1 food safety.

identified food fraud vulnerabilities shall be
2.7.2.2 controlled.

and mitigation plan shall be reviewed and
2.7.2.3 verified at least annually.

vulnerability assessment and mitigation
2.8.1 Allergen Management for Food Manufacturing (Mandatory)

allergens from contaminating product shall
allergen management program shall
include:
A risk analysis of those raw materials,

food grade lubricants, that contain food
allergens;
An assessment of workplace-related food
allergens from locker rooms, vending
machines, lunch-rooms, and visitors;
A register of allergens which is applicable
in the country of manufacture and the
country (ies) of destination if known;
A list of allergens which is accessible by
relevant staff.
The hazards associated with allergens
and their control incorporated into the food
safety plan.
A management plan for control of
identified allergens.
The allergen management program shall

include the identification, management,
and labelling of products containing
2.8.1.1 gluten, where
Instructions applicable.
shall be provided to all
relevant staff involved in the receipt or
handling of raw materials, work- in
progress, rework or finished product on
how to identify, handle, store and
segregate raw materials containing
2.8.1.2 allergens.
Provision shall be made to clearly identify

and segregate foods that contain
allergens. Segregation procedures shall
be implemented and continually
2.8.1.3 monitored.
Where allergenic material may be

intentionally or unintentionally present,
cleaning and sanitation of product contact
surfaces between line changeovers shall
be effective, appropriate to the risk and
legal requirements, and sufficient to
remove all potential target allergens from
product contact surfaces, including
aerosols as appropriate, to prevent cross-
contact. Separate handling and production
equipment shall be provided where
satisfactory line hygiene and clean-up or
2.8.1.4 segregation is not possible.
Based on risk assessment, procedures for
validation and verification of the
effectiveness of the cleaning and
sanitation of areas and equipment in
which allergens are used shall be
2.8.1.5 effectively implemented.
sanitation of areas and equipment in
which allergens are used shall be
2.8.1.5 effectively implemented.
Where allergenic material may be present,

product changeover procedures shall be
documented and implemented to eliminate
2.8.1.6 the risk of cross-contact.
The product identification system shall

make provision for clear identification and
labeling in accordance with regulatory
requirements of those products produced
on production lines and equipment on
which foods containing allergens were
2.8.1.7 manufactured.
The site shall document and implement
methods to control the accuracy of
finished product labels (or consumer
information where applicable) and assure
work-in-progress and finished product is
true to label with regard to allergens. Such
measures may include label approvals at
receipt, label reconciliations during
production, destruction of obsolete labels,
verification of labels on finished product as
appropriate, and product change over
2.8.1.8 procedures.
The product trace system shall take into
consideration the conditions under which
allergen containing foods are
manufactured and ensure full trace back
of all ingredients and processing aids
2.8.1.9 used.
Re-working of product containing food
allergens shall be conducted under
conditions that ensure product safety and
integrity is maintained. Re-worked product
containing allergens shall be clearly
2.8.1.10 identified and traceable.
Sites that do not handle allergenic

materials or produce allergenic products
shall document, implement and maintain
an allergen management program
addressing at a minimum the mitigation of
introducing unintended allergens through
supplier, contract manufacturer, employee
Sites that do not handle allergenic
materials or produce allergenic products
shall document, implement and maintain
an allergen management program
addressing at a minimum the mitigation of
introducing unintended allergens through
supplier, contract manufacturer, employee
2.8.1.11 and visitor activities.
2.8.1 Allergen Management for Food Manufacturing Review
2.8.2 Allergen Management for Pet Food Manufacturing (Mandatory)


control allergens and to prevent sources of
allergen management program shall
include:
A risk analysis of those inputs and

processing aids, including food grade
lubricants, that contain food allergens;
machines, lunch-rooms, and visitors;
relevant staff; and
2.8.2.1 safety plan.
Product labeling, in accordance with

regulatory requirements, shall include
allergens where risks from cross- contact
2.8.2.2 have been identified.
2.8.2 Allergen Management for Pet Food Manufacturing Review
2.8.3 Allergen Management for Manufacturers of Animal Feed

Sites that exclusively manufacture animal
feed and do not manufacture, handle or
store food or pet food products are not
required to implement an allergen
management plan unless required by
2.8.3.1 regulation or customer requirement.
Sites that exclusively manufacture animal
feed and do not manufacture, handle or
store food or pet food products are not
required to implement an allergen
management plan unless required by
2.8.3.1 regulation or customer requirement.
Where an allergen management plan is

required by regulation or customer
specification, the requirements of 2.8.2
2.8.3.2 shall apply.
2.8.3 Allergen Management for Manufacturers of Animal Feed Review

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
2.9.1.1 documented.
Appropriate training shall be provided for

personnel carrying out the tasks essential
to the effective implementation of the SQF
System and the maintenance of food
2.9.1.2 safety and regulatory requirements.

An employee training program shall be
outline the necessary competencies for
specific duties and the training methods to
be applied for those staff carrying out
tasks associated with:
Developing and applying Good

Manufacturing Practices;
Applying food regulatory requirements;
Steps identified by the hazard analysis
and/or other instructions as critical to
effective implementation of the food safety
plan and the maintenance of food safety;
and
Tasks identified as critical to meeting the
effective implementation and maintenance
2.9.2.1 of the SQF System.
2.9.3 Instructions
Instructions shall be available in the
safety, and process efficiency are to be
2.9.3.1 performed.

HACCP training shall be provided for staff

involved in developing and maintaining
2.9.4.1 food safety plans.
2.9.5 Language

training shall be provided in language
2.9.5.1 understood by staff.

The training program shall include

provision for identifying and implementing
the refresher training needs of the
2.9.6.1 organization.

A training skills register describing who

has been trained in relevant skills shall be
maintained. The register shall indicate the:
Participant name;
Skills description;
Description of the training provided;
Date training completed;
Trainer or training provider; and
Supervisor’s verification that the training
was completed, and that the trainee is
2.9.7.1 competent to complete the required tasks.
Participant name;
Skills description;
Supervisor’s verification that the training
was completed, and that the trainee is
3.1.1 Premises Location

The location of the premises shall be such

that adjacent and adjoining buildings,
3.1.1.1 with safe and hygienic operations.
Measures shall be established to maintain

a suitable external environment, and the
effectiveness of the established measures
shall be monitored and periodically
3.1.1.2 reviewed.
The construction and ongoing operation of

the premises on the site shall be approved
3.1.1.3 by the relevant authority.
3.1.1 Premises Location Review
3.2.1 Materials and Surfaces

Product contact surfaces and those
surfaces not in direct contact with feed in
feed handling areas, raw material storage,
and packaging material storage, shall be
3.2.1.1 contribute a feed safety risk.
surfaces not in direct contact with feed in
feed handling areas, raw material storage,
and packaging material storage, shall be
3.2.1.1 contribute a feed safety risk.
3.2.1 Materials and Surfaces Review
3.2.2 Floors, Drains and Waste Traps


dense impact resistant material that can
be effectively graded, drained, are
3.2.2.1 impervious to liquid and easily cleaned.
When water is used, floors shall be sloped

to floor drains at gradients suitable to
allow the effective removal of all overflow
or wastewater under normal working
3.2.2.2 conditions.
Drains shall be constructed and located so

they can be easily cleaned and not
3.2.2.3 present a hazard.
Waste trap systems shall be located away

from any feed handling area or the
3.2.2.4 entrance to the premises.
3.2.2 Floors, Drains and Waste Traps Review
3.2.3 Walls, Partitions, Doors and Ceilings

Walls, partitions, ceilings and doors shall

surfaces shall be impervious and shall be
3.2.3.1 kept clean (refer to 3.2.13.1).
Wall-to-wall and wall-to-floor junctions

shall be designed to be cleaned and
sealed to prevent the accumulation of
3.2.3.2 debris.
shall be designed to be cleaned and
sealed to prevent the accumulation of
3.2.3.2 debris.
Ducting, conduit and pipes that convey
services such as steam or water shall be
designed and constructed to prevent the
contamination of food, ingredients and
food contact surfaces and allow ease of
3.2.3.3 cleaning.
Pipes carrying sanitary waste or
wastewater that are located directly over
product lines or storage areas shall be
designed and constructed so as to prevent
the contamination of feed, materials,
ingredients and feed contact surfaces, and
3.2.3.4 shall allow ease of cleaning.
Doors, hatches and windows and their

frames in food processing, handing or
storage areas shall be of a material and
construction which meets the same
functional requirements as for internal
walls and partitions. Doors and hatches
shall be of solid construction and windows
shall be made of shatterproof glass or
3.2.3.5 similar material.
Product shall be processed and handled in

areas that are fitted with a ceiling or other
acceptable structure that is constructed
and maintained to prevent the
3.2.3.6 contamination of products.
Drop ceilings shall be constructed to

enable monitoring for pest activity,
facilitate cleaning and provide access to
3.2.3.7 utilities.
3.2.3 Walls, Partitions, Doors and Ceilings Review
3.2.4 Stairs, Catwalks and Platforms

Section Details
Stairs, catwalks and platforms in feed Initial Respons Evidence
processing and handling areas shall be
designed and constructed so as not to
present a product contamination risk, and
3.2.4.1
with no open grates directly above
exposed feed product surfaces. They shall
3.2.4.1 be kept clean (refer to 3.2.13.1).
3.2.4 Stairs, Catwalks and Platforms Review
3.2.5 Lighting and Light Fittings

Lighting in feed manufacturing and

handling areas and at inspection stations
shall be of appropriate intensity to enable
the staff to carry out their tasks efficiently
3.2.5.1 and
Lighteffectively.
fittings in processing areas,
inspection stations, ingredient and
packaging storage areas, and all areas
where the product is exposed shall be
shatterproof, manufactured with a
shatterproof covering or fitted with
3.2.5.2 protective covers.
Light fittings in warehouses and other

areas where the product is protected shall
be designed such as to prevent breakage
3.2.5.3 and product contamination.
3.2.5 Lighting and Light Fittings Review
3.2.6 Inspection/Quality Control Area

A suitable area with sufficient lighting and

access to hand washing facilities shall be
provided for the inspection of the product if
3.2.6.1 required.
3.2.6 Inspection/Quality Control Area Review
3.2.7 Dust, Insect, and Pest Proofing
Electric insect control devices, pheromone

or other traps and baits shall be located so
as not to present a contamination risk to
the product, packaging, containers or
processing equipment. Poison rodenticide
bait shall not be used inside ingredient or
3.2.7.1 feed storage or processing areas.
3.2.7 Dust, Insect, and Pest Proofing Review
3.2.8 Ventilation
Adequate ventilation shall be provided in

enclosed manufacturing and feed handling
3.2.8.1 areas.
Extractor fans and/or canopies shall be

provided in areas where cooking
operations are carried out or a large
3.2.8.2 amount of steam is generated.
3.2.8 Ventilation Review
3.2.9 Equipment, Utensils and Protective Clothing

Specifications for equipment, utensils and

protective clothing, and procedures for
purchasing equipment shall be
Equipment and utensils shall be designed,
constructed, installed, operated and
maintained as to be fit for purpose, meet
any applicable regulatory requirements
and not pose a contamination threat to
3.2.9.2 feed products.
maintained as to be fit for purpose, meet
any applicable regulatory requirements
and not pose a contamination threat to
3.2.9.2 feed products.
Waste and overflow water from tubs,

tanks and other equipment shall be
discharged direct to the floor drainage
3.2.9.3 system.
Protective clothing, where used, shall be

manufactured from material that will not
3.2.9.4 contaminate feed and is easily cleaned.
When protective clothing is used, racks
shall be provided for the temporary
storage of protective clothing when staff
leave the processing area and shall be
provided in close proximity or adjacent to
3.2.9.5 the hand washing facilities.
3.2.9 Equipment, Utensils and Protective Clothing Review
3.2.10 Premises and Equipment Maintenance


maintenance and repair of plant,
equipment and buildings shall be
documented, planned and carried out in a
manner that minimizes the risk of product,
3.2.10.1 packaging or equipment contamination.
Routine maintenance of plant and

equipment in any food processing,
handling or storage area shall be
performed according to a maintenance-
control schedule and recorded.
The maintenance schedule shall be
prepared to cover building, equipment and
other areas of the premises critical to the
3.2.10.2 maintenance of feed safety and quality.
3.2.10.2 maintenance of feed safety and quality.
Failures of plant and equipment in any

feed processing, handling or storage area
shall be documented, reviewed and their
repair incorporated into the maintenance
3.2.10.3 control schedule.
Maintenance staff and contractors shall

comply with the site’s personnel and
process hygiene
requirements (refer to 3.3.1, 3.3.2, 3.3.3,
3.2.10.4 3.3.4).
All maintenance and other engineering

contractors required to work on site shall
be trained in the site's food safety and
hygiene procedures or shall be escorted at
3.2.10.5 all times until their work is completed.
Site supervisors shall be notified when

maintenance or repairs are to be
3.2.10.6 undertaken in any feed handling area.
The maintenance supervisor and the site

supervisor shall be informed if any repairs
or maintenance pose a potential threat to
product safety (i.e. pieces of electrical
wire, damaged light fittings, and loose
overhead fittings). When possible,
maintenance is to be conducted outside
3.2.10.7 processing times.
Temporary repairs, where required shall

not pose a food safety risk and shall be
included in the cleaning program. There
shall be a plan in place to address final
completion of temporary repairs in order to
ensure they do not become permanent
3.2.10.8 solutions.

remove all tools and debris from any
maintenance activity once it has been
completed and inform the area supervisor
and maintenance supervisor so
appropriate hygiene and sanitation can be
completed and a pre-operational
inspection conducted prior to the
3.2.10.9 commencement of site operations.
Lubricants shall be fit for purpose, meet

regulatory requirements, and be food
grade where there is potential direct
3.2.10.10 contact with animal feed.
Paint used in a food handling or contact

zone shall be suitable for use, in good
condition and shall not be used on any
3.2.10.11 product contact surface.
3.2.10 Premises and Equipment Maintenance Review
3.2.11Calibration

calibration and re-calibration of measuring,
test and inspection equipment used for
monitoring activities outlined in pre-
requisite programs, and feed safety plans,
or to demonstrate compliance with
customer specifications shall be
documented and implemented. Software
used for such activities shall be validated
3.2.11.1 as appropriate.
requisite programs, and feed safety plans,
Procedures shall be documented and

implemented to address the disposition of
potentially affected products should
measuring, test and inspection equipment
3.2.11.2 be found to be out of calibration state.
Calibrated measuring, test and inspected

equipment shall be protected from
3.2.11.3 damage and unauthorized adjustment.

standards and methods or to accuracy
appropriate to its use. In cases where
standards are not available, the site shall
Calibration shall be performed according

to regulatory requirements and/or to the
equipment manufacturers recommended
3.2.11.5 schedule.

3.2.11Calibration Review
3.2.12Pest Prevention

prevention shall be documented and
effectively implemented. The premises, its
surrounding areas, storage facilities,
machinery and equipment shall be kept
free of waste or accumulated debris so as
3.2.12.1 not to attract pests and vermin.
Identified pest activity shall not present a

risk of contamination to food products, raw
3.2.12.2 materials or packaging.
Feed products, raw materials or packaging

that are found to be contaminated by pest
activity shall be effectively disposed of,
and the source of pest infestation
investigated and resolved. Records shall
be kept of the disposal, investigation, and
3.2.12.3 resolution.
program;
problems;
problems;
Outline the pest elimination methods;
set;
available);
Outline the methods used to make staff
contact with a bait station;
Outline the requirements for staff
and vermin control chemicals and baits;
and
Measure the effectiveness of the program
to verify the elimination of applicable
3.2.12.4 pests.
Inspections for pest activity shall be

undertaken on a regular basis by trained
personnel and the appropriate action
3.2.12.5 taken if pests are present.
Records of all pest control applications

Pesticides and other toxic chemicals shall

be clearly labeled and stored as described
in element 3.6.4 and handled and applied
by properly trained personnel. They shall
be used by or under the direct supervision
of trained personnel with a thorough
understanding of the hazards involved,
including the potential for the
contamination of feed and feed contact
3.2.12.7 surfaces.
Licensed and approved by the local

relevant authority;
relevant authority;
Use only trained and qualified operators
who comply with regulatory requirements;
Use only approved chemicals;
Provide a pest prevention plan (refer to
2.3.3) which will include and maintain a
site map indicating the location of bait
stations traps and other applicable pest
control/monitoring devices;
Report to a responsible authorized person
on entering the premises and after the
completion of inspections or treatments;
and
Provide a written report of their findings
and the inspections and treatments
3.2.12.8 applied.
The site shall dispose of unused pest

control chemicals and empty containers in
and ensure that:
Empty chemical containers are not

reused;
and
3.2.12Pest Prevention Review
3.2.13Cleaning and Sanitation


cleaning of the feed handling and
processing equipment and environment,
storage areas, staff amenities and toilet
to:
Who is responsible for the cleaning;
Methods used to confirm and record the
correct concentrations of detergents and
cleaning of the feed handling and
to:
Methods used to confirm and record the
correct concentrations of detergents and
sanitizers; and
verify the effectiveness of the cleaning and
3.2.13.1 sanitation program.
Provision shall be made for the effective

cleaning of processing equipment, utensils
3.2.13.2 and protective clothing.
Suitably equipped areas shall be

designated for cleaning product
containers, knives, cutting boards and
other utensils. These cleaning operations
shall be controlled so as not to interfere
with manufacturing operations, equipment
or product. Racks and containers for
storing cleaned utensils shall be provided
3.2.13.3 as required.
Pre-operational inspections shall be

conducted following cleaning and
sanitation operations to ensure feed
processing areas, product contact
surfaces, equipment, staff amenities and
sanitary facilities and other essential areas
are clean before the commencement of
production. Pre-operational inspections
3.2.13.4 shall be conducted by qualified personnel.
Staff amenities, sanitary facilities and

other essential areas shall be inspected by
qualified personnel to ensure the areas
3.2.13.5 are clean, at a defined frequency.

verify the effectiveness of the cleaning
procedures shall be documented and
implemented. A verification schedule shall
3.2.13.6 be prepared.
Detergents and sanitizers shall be suitable

for use in a feed manufacturing
environment, labeled according to
regulatory requirements, and purchased in
accordance with applicable legislation.
The organization shall ensure:
The site maintains a list of chemicals

approved for use;
An inventory of all chemicals purchased
and used shall be maintained;
Detergents and sanitizers are stored as
outlined in element 3.6.4;
Safety Data Sheets (SDS) are provided for
all detergents and sanitizers purchased;
and
Only trained staff handles sanitizers and
3.2.13.7 detergents.
The site shall dispose of unused

detergents and sanitizers and empty
containers in accordance with regulatory
requirements and ensure that:
Empty detergent and sanitizer containers

are appropriately cleaned, treated and
labeled before use;
are labeled, isolated and securely stored
Unused and obsolete detergents and
sanitizers are stored under secure
conditions while waiting authorized
3.2.13.8 disposal by an approved vendor.
Detergents and sanitizers that have been

mixed for use shall be correctly mixed
according to manufacturer’s instructions,
stored in containers that are suitable for
use, and clearly identified. Mix
concentrations shall be verified and
3.2.13.9 records maintained.
A record of pre-operational hygiene

inspections, cleaning and sanitation
activities, and verification activities shall
3.2.13Cleaning and Sanitation Review
3.3.1Personnel
Personnel suffering from infectious

diseases or who are carriers of any
infectious disease shall not engage in
3.3.1.1 product handling or processing operation.
The site shall have measures in place to

prevent contact of materials, ingredients,
feed packaging, feed, or feed contact
surfaces from any bodily fluids from open
wounds, coughing, sneezing, spitting, or
any other means.
In the event of an injury which causes

spillage of bodily fluid, properly trained
employee shall ensure that all affected
areas including handling and processing
areas have been adequately cleaned and
that all materials and products have been
3.3.1.2 quarantined and disposed of.

or processing products or handling
primary packaging materials or feed
contact surfaces. Minor cuts or abrasions
on exposed parts of the body shall be
covered with a bandage or an alternative
3.3.1.3 suitable waterproof dressing.
Smoking, chewing, eating, drinking or

spitting is not permitted in any feed
3.3.1.4 processing or feed handling areas.
3.3.1Personnel Review
3.3.2Hand Washing
Hand wash basins shall be constructed of

stainless steel or similar non-corrosive
material and as a minimum supplied with:
A potable water supply at an appropriate

temperature;
Liquid soap contained within a fixed
dispenser;
Paper towels in a hands-free cleanable
dispenser; and
3.3.2.1 A means of containing used paper towels.
A sign advising people to wash their

hands, and in appropriate languages, shall
3.3.2.2 be provided in a prominent position.
Hands shall be washed by all personnel,

including staff, contractors and visitors:
On entering feed handling or processing

areas;
After smoking, eating or drinking; and
Hands shall be washed by all personnel,
On entering feed handling or processing

areas;
3.3.2.3 After handling contaminated material.
When gloves are used, personnel shall

maintain the hand washing practices
3.3.2.4 outlined above.
3.3.2Hand Washing Review
3.3.3Clothing
The site shall undertake a risk analysis to

ensure that the clothing and hair policy
protects materials, feed and feed contact
surfaces from unintentional microbiological
3.3.3.1 or physical contamination.
Clothing worn by staff engaged in handling

feed shall be maintained, stored,
laundered and worn so as not to present a
3.3.3.2 contamination risk to products.
3.3.3Clothing Review
3.3.4Jewelry and Personal Effects

Jewelry and other loose objects shall not

be worn or taken into a feed handling or
processing operation or any area where
feed is exposed. The wearing of plain
bands with no stones and prescribed
medical alert bracelets can be permitted,
however the site will need to consider their
customer requirements and the applicable
be worn or taken into a feed handling or
feed is exposed. The wearing of plain
3.3.4.1 food legislation.
3.3.4Jewelry and Personal Effects Review
3.3.5Visitors
All visitors, including management and

maintenance staff, shall wear suitable
clothing and footwear when entering any
3.3.5.1 feed processing or handling area.
All visitors shall be required to remove

3.3.5.2 jewelry and other loose objects.

shall be prevented from entering areas in
3.3.5.3 which feed is handled or processed.
Visitors shall enter and exit feed handling

areas through the proper staff entrance
points and comply with all hand washing
3.3.5.4 and personnel practice requirements.
All visitors shall be trained in the site's
food safety and hygiene procedures
before entering into any feed processing
or handling areas or shall be escorted at
all times in feed processing, handling and
3.3.5Visitors Review
3.3.6Staff Amenities
Staff amenities supplied with appropriate

lighting and ventilation shall be made
available for the use of all persons
engaged in the handling and processing of
3.3.6.1 feed.
3.3.6Staff Amenities Review
3.3.7Change Rooms
Facilities shall be provided to enable staff

and visitors to change into and out of
3.3.7.1 protective clothing as required.
Change rooms shall be provided for staff

engaged in the processing of feeds or
processing operations in which clothing
3.3.7.2 can be soiled.
Provision shall be made for staff to store

their street clothing and personal items
separate from feed contact zones and
3.3.7.3 feed and packaging storage areas.
Where required, a sufficient number of

3.3.7.4 showers shall be provided for use by staff.
3.3.7Change Rooms Review
3.3.8Sanitary Facilities
Toilet rooms shall be:
Designed and constructed so that they are

accessible to staff and separate from any
feed processing and handling operations;
Sufficient in number for the maximum
number of staff;
Constructed so that they can be easily
cleaned and maintained;
Include an area inside or nearby, for
storing protective clothing, outer garments
and other items while using the facilities;
and
3.3.8.1 Kept clean and tidy.
Sanitary drainage shall not be connected

to any other drains within the premises
and shall be directed to a septic tank or a
sewerage system in accordance with
Hand wash basins shall be provided

immediately outside or inside the toilet
3.3.8.3 room and designed as outlined in 3.3.2.2.
3.3.8Sanitary Facilities Review
3.3.9Lunch-rooms
Separate lunch-room facilities shall be

provided away from a feed
3.3.9.1 contact/handling zone.
Lunch-room facilities shall be:
Ventilated and well lit;

Provided with adequate tables and
seating;

Provided with adequate tables and
seating;
Equipped with a sink serviced with hot and
cold potable water for washing utensils;
and
Kept clean and free from waste materials
3.3.9.2 and pests.
Where outside eating areas are provided,
they should be kept clean and free from
waste materials and maintained in a
manner that minimizes the potential for
introduction of contamination into site and
3.3.9.3 pest attraction.
Signage in appropriate languages

before entering the food processing areas
shall be provided in a prominent position
in lunch-rooms and at lunch-room exits,
3.3.9.4 and in outside eating areas, if applicable.
3.3.9Lunch-rooms Review
3.4.1Staff Engaged in Feed Handling and Processing Operations

handling, preparation or processing
operations shall ensure that products and
materials are handled and stored in such a
way as to prevent damage or product
contamination. They shall comply with the
following processing practices:
3.4.1.1
Personnel entry to processing areas shall

be through the personnel access doors
only;
Packaging material, product, and
ingredients shall be kept in appropriate
containers as required and off the floor;
identified for this purpose and removed
from the processing area on a regular
3.4.1.1 basis and not left to accumulate.
3.4.1Staff Engaged in Feed Handling and Processing Operations Review
3.4.2
Feed product formulations shall be

developed by authorized persons to
ensure that they meet the designated
need. The formulations should include all
manufacturing instructions with regard to
flushing, sequencing, special instructions
3.4.2.1 and cleanout procedures.

implemented to ensure that feed is
manufactured to approved product
formulations and uses only materials and
ingredients that are fit for purpose.
Attention shall be paid to assuring raw
materials prohibited from use in the
manufacture of animal feed are not
3.4.2.2 introduced into the product.
3.4.2Product Formulation Review
3.4.3Application of Medicines
Medication shall be purchased from an

applicable legislation and be correctly
3.4.3.1 labeled by the manufacturer.
Medication shall be purchased from an
applicable legislation and be correctly
3.4.3.1 labeled by the manufacturer.
All medicines included in animal feed must

be added in accordance with label
Access to medications shall be restricted

3.4.3.3 to trained and authorized personnel.
An inventory of all animal medications

purchased and used shall be maintained.
The site shall provide proof of purchase
for all animal medications included in the
inventory and used within the site. Animal
medications shall be subject to proper
rotation based on expiration date. Expired
3.4.3.4 medications shall not be used.
The site shall dispose of unused animal

medications, expired medications, and
empty containers in accordance with
regulatory requirements and ensure that
empty containers are not re-used; and are
3.4.3Application of Medicines Review
3.5.1 Water Supply

Adequate supplies of potable water drawn

from a known clean source shall be
provided for use during processing
operations, as an ingredient and for
3.5.1.1 cleaning the premises and equipment.
Supplies of hot and cold water shall be

provided as required to enable the
effective cleaning of the premises and
3.5.1.2 equipment.
Where water is stored on site, storage

facilities shall be adequately designed,
constructed and maintained to prevent
3.5.1 Water Supply Review
3.5.2Water Quality
Water shall comply with local, national or

internationally recognized potable water
required when used for:
washing and treating feed;

an ingredient or feed processing aid;
cleaning feed contact surfaces; or
the manufacture of steam that will come in
contact with feed or used to heat water
3.5.2.1 that will come in contact with feed.
3.5.2Water Quality Review
3.5.3Water Delivery
The delivery of water within the premises

shall ensure potable water is not
3.5.3.1 contaminated.
The use of non-potable water shall be
controlled such that:
There is no cross-contamination between

potable and non-potable water lines; and
Non-potable water piping and outlets are
3.5.3.2 clearly identified.
3.5.3Water Delivery Review
3.5.4Water Treatment
Where appropriate, water treatment

methods, equipment and materials, shall
be designed, installed and operated to
ensure water receives an effective
3.5.4.1 treatment.
Water treatment equipment shall be

monitored regularly to ensure it remains
3.5.4.2 serviceable.
Treated water shall be regularly monitored

3.5.4.3 to ensure it meets the indicators specified.
3.5.4Water Treatment Review
3.5.5Analysis
Microbiological analysis of water used in

manufacturing shall be conducted to verify
the cleanliness of the supply, the
monitoring activities and the effectiveness
3.5.5.1 of the treatment measures implemented.
Microbiological analysis of water used in
manufacturing shall be conducted to verify
the cleanliness of the supply, the
Water shall be analyzed using reference

3.5.5.2 standards and methods.
3.5.5Analysis Review
3.5.6The Quality of Air and Other Gasses

Compressed air or other gases (e.g.,

nitrogen, carbon dioxide) that contacts
animal feed or feed contact surfaces shall
be clean and present no risk to food
3.5.6.1 safety.
Compressed air systems, and systems

used to store or dispense other gases
used in the manufacturing process that
come into contact with feed or feed
contact surfaces shall be maintained and
regularly monitored for quality and
3.5.6.2 applicable feed safety hazards.
3.5.6The Quality of Air and Other Gasses Review
3.6.1Storage and Handling of Goods

The site shall document and implement an

effective storage plan that allows for the
safe, hygienic storage of raw materials,
ingredients, packaging materials,
3.6.1.1 equipment, and chemicals.

ensuring effective stock rotation principles
are applied shall be documented and
Procedures shall be in place to ensure

that all ingredients, materials, work-in-
progress, rework, and finished product are
3.6.1.3 utilized within their designated shelf-life.
3.6.1Storage and Handling of Goods Review
3.6.2Cold Storage, Freezing and Chilling

The site shall provide confirmation of the

effective operational performance of
freezing, chilling and cold storage
facilities. Chillers, blast freezers and cold
storage rooms shall be designed and
constructed to allow for the hygienic and
efficient refrigeration of feed and easily
3.6.2.1 accessible for inspection and cleaning.
Sufficient refrigeration capacity shall be

available to chill, freeze, store chilled or
store frozen the maximum anticipated
3.6.2.2 periodic cleaning of refrigerated areas.

3.6.2.3 the drainage system.
Freezing, chilling and cold storage rooms
shall be fitted with temperature monitoring
equipment and located to monitor the
warmest part of the room and be fitted
with a temperature measurement device
3.6.2.4 that is easily readable and accessible.
3.6.2Cold Storage, Freezing and Chilling Review
3.6.3Storage of Dry Ingredients, Packaging, and Finished Product
Rooms used for the storage of product

ingredients, packaging, and other dry
goods shall be designed and constructed
to protect the product from contamination
3.6.3.1 and deterioration.
Racks provided for the storage of

packaging shall be constructed of
impervious materials and designed to
enable cleaning of the floors and the
storage room. Storage areas shall be
constructed to prevent packaging from
3.6.3.2 becoming a harborage for pests or vermin.
Vehicles used in feed contact, handling or

processing zones or in cold storage rooms
shall be designed and operated so as not
3.6.3.3 to present a feed safety hazard.
Medications for use in feed manufacture

shall be stored in securable, dedicated
storage, or an area dedicated for such
purpose, and in accordance with
regulatory requirements or in the absence
of regulatory requirements, manufacturers’
3.6.3Storage of Dry Ingredients, Packaging, and Finished Product Review
3.6.4Storage of Equipment and Containers


efficient storage of equipment and
3.6.4.1 containers.
3.6.4Storage of Equipment and Containers Review
3.6.5Storage of Hazardous Chemicals and Toxic Substances
Hazardous chemicals and toxic

substances with the potential for feed
contamination shall be stored so as not to
present a hazard to staff, product,
packaging, product handling equipment or
areas in which the product is handled,
Processing utensils and packaging shall

not be stored in areas used to store
hazardous chemicals and toxic
3.6.5.2 substances.
Daily supplies of chemicals used for
continuous sanitizing of water or as a
processing aid, or for emergency cleaning
of feed processing equipment or surfaces
in feed contact zones, may be stored
within or in close proximity to a processing
area provided access to the chemical
storage area is restricted to authorized
3.6.5.3 personnel.
Pesticides, rodenticides, fumigants and

insecticides shall be stored separate from
sanitizers and detergents. All chemicals
shall be stored in their original containers,
or in clearly labelled and suitable
secondary containers if allowed by
Be compliant with national and local
legislation and designed such that there is
no cross-contamination between
chemicals;
Be adequately ventilated;
area;
Be designated and restrict access only to
those personnel with formal training in the
handling and use of hazardous chemicals
and toxic substances;
substances readily accessible to staff;
protective clothing available close to the
storage area;
3.6.5Storage of Hazardous Chemicals and Toxic Substances Review
3.6.6Alternative Storage and Handling of Goods

Where goods described in 3.6.1 to 3.6.4
are held under temporary or overflow
conditions that are not designed for the
safe storage of goods, a risk analysis shall
be undertaken to ensure there is no risk to
the integrity of those goods or
contamination or adverse effect on feed
3.6.6.1 safety.
3.6.6Alternative Storage and Handling of Goods Review
3.6.7Loading, Transport and Unloading Practices

The practices applied during loading,

transport and unloading of feed shall be
documented, implemented and designed
to maintain appropriate storage conditions
and product integrity. Feed shall be
loaded, transported and unloaded under
conditions suitable to prevent cross-
transport and unloading of feed shall be
and product integrity. Feed shall be
3.6.7Loading, Transport and Unloading Practices Review
3.6.8Loading
Section Details
Vehicles (e.g. trucks/vans/containers) Initial Respons Evidence
used for transporting feed shall be
inspected prior to loading to ensure they
are clean, in good repair, suitable for the
purpose and free from conditions that may
impact negatively on the safety of the
3.6.8.1 product.
Loading practices shall be designed to

minimize unnecessary exposure of the
product to conditions detrimental to
maintaining the product and package
3.6.8.2 integrity during loading and transport.
Vehicles (e.g. trucks/vans/containers)

shall be secured from tampering using a
seal or other agreed upon, acceptable
3.6.8.3 device or system.
3.6.8Loading Review
3.6.9Unloading
Unloading practices shall be designed to

3.6.9.1 integrity.
3.6.9Unloading Review
3.7.1 Process Flow
The process flow shall be designed to
prevent cross-contamination and
organized so there is a continuous flow of
product through the process. The flow of
personnel shall be managed such that the
3.7.1.1 potential for contamination is minimized.
3.7.1 Process Flow Review
3.7.2Receipt of Raw and Packaging Materials and Ingredients

Dry ingredients and packaging shall be

received and stored separately from
frozen and chilled raw materials to ensure
there is no cross-contamination.
Unprocessed raw materials shall be
received and segregated to ensure there
3.7.2.1 is no cross-contamination.
3.7.2Receipt of Raw and Packaging Materials and Ingredients Review
3.7.3Thawing of Food
Thawing of materials and ingredients shall

be undertaken in equipment and rooms
3.7.3.1 appropriate for the purpose.
Equipment for water thawing shall be

continuous flow to ensure the water
exchange rate and temperature does not
contribute to product deterioration or
contamination. Water overflow shall be
directed into the floor drainage system and
3.7.3.2 not onto the floor.
Air thawing facilities shall be designed to
thaw the product under controlled
conditions at a rate and temperature that
does not contribute to product
3.7.3.3 deterioration or contamination.
Provision is to be made for the

containment and regular disposal of used
cartons and packaging from thawed
product so that there is no risk to the
3.7.3.4 product.
3.7.3Thawing of Food Review
3.7.4Control of Foreign Matter Contamination


prevent foreign matter contamination of
the feed shall be documented,
implemented and communicated to all
3.7.4.1 staff.
Inspections shall be performed to ensure

plant and equipment remain in good
condition and are effective in preventing
3.7.4.2 foreign matter contamination.
The use of temporary fasteners such as

string, wire or tape to fix or hold equipment
3.7.4.3 shall not be permitted.
Preventative measures shall be

implemented to prevent glass
Wooden pallets and other wooden utensils

used in feed handling/contact zones shall
be dedicated for that purpose, clean, and
maintained in good order. Their condition
3.7.4.5 shall be subject to regular inspection.
used in feed handling/contact zones shall
3.7.4.5 shall be subject to regular inspection.
Loose metal objects on equipment,

equipment covers and overhead
structures shall be removed or tightly fixed
3.7.4.6 so as not to present a hazard.

processing and packaging operations shall
be controlled and kept clean and well
3.7.4.7 maintained.
3.7.4Control of Foreign Matter Contamination Review
3.7.5Detection of Foreign Objects

The responsibility, methods and frequency
for monitoring, maintaining, calibrating and
using screens, sieves, filters or other
technologies to remove or detect foreign
matter shall be documented and
Metal detectors or other physical
contaminant detection technologies shall
be routinely monitored, validated and
verified for operational effectiveness. The
equipment shall be designed to isolate
defective product and indicate when it is
3.7.5.2 rejected.
Records shall be maintained of the
inspection of foreign object detection
devices and of any products rejected or
removed by them. Records shall include
any corrective actions resulting from the
3.7.5.3 inspections.
3.7.5Detection of Foreign Objects Review
3.7.6Managing Foreign Matter Contamination Incidents

In cases of foreign matter contamination

the affected batch or item shall be
evaluated, inspected, and appropriately
3.7.6.1 disposed of.
In cases of foreign matter contamination
the affected batch or item shall be
evaluated, inspected, and appropriately
In circumstances where glass or similar

material breakage occurs, the affected
area shall be isolated, cleaned, thoroughly
inspected (including cleaning equipment
and footwear) and cleared by a suitably
responsible person prior to the
3.7.6.2 commencement of operations.
3.7.6Managing Foreign Matter Contamination Incidents Review
3.8.1Location
On site laboratories conducting chemical
and microbiological analysis that may
pose a risk to product safety, shall be
located separate from any feed processing
or handling activity and designed to limit
3.8.1.1 access only to authorized personnel.
Provisions shall be made to isolate and

contain all laboratory waste held on the
premises and manage it separately from
feed waste. Laboratory wastewater outlet
shall as a minimum be down stream of
drains that service feed processing and
3.8.1.2 handling areas.
Signage shall be displayed identifying the

laboratory area as a restricted area
3.8.1.3 accessible only by authorized personnel.
3.8.1Location Review
3.9.1Dry and Liquid Waste Disposal

collect and handle dry, wet and liquid
waste and store prior to removal from the
premises shall be documented and
Waste shall be removed on a regular
basis and not build up in feed handling or
processing areas. Designated waste
accumulation areas shall be maintained in
a clean and tidy condition until such time
3.9.1.2 as external waste collection is undertaken.
Trolleys, vehicles waste disposal
equipment, collection bins and storage
areas shall be maintained in a serviceable
condition and cleaned and sanitized
regularly so as not to attract pests and
3.9.1.3 other vermin.
Adequate provision shall be made for the

disposal of all solid processing waste
3.9.1.4 including trimmingsaand
Where applicable, used packaging.
documented
procedure shall be in place for the
controlled disposal of trademarked
materials. Where a contracted disposal
service is used, the disposal process shall
be reviewed regularly to confirm
3.9.1.5 compliance.
Waste held on site prior to disposal shall

be stored in a separate storage area and
suitably pest proofed and contained so as
3.9.1.6 not to present a hazard.

disposal of all liquid waste from
processing and food handling areas.
Liquid waste shall be either removed from
the processing environment continuously
or held in a designated storage area in
lidded containers prior to disposal so as
Reviews of the effectiveness of waste

management will form part of routine
hygiene inspections and the results of
these inspections shall be included in the
3.9.1.8 relevant hygiene reports.
3.9.1Dry and Liquid Waste Disposal Review
3.10.1Grounds and Roadways


3.10.1.1 reviewed.
The grounds and area surrounding the

premises shall be maintained and kept
Paths, roadways and loading and

unloading areas shall be maintained so as
not to present a hazard to the feed safety
3.10.1.3 operation of the premises.
Paths, roadways, loading and unloading

areas shall be adequately drained to
prevent ponding of water. Drains shall be
separate from the site drainage system
3.10.1.4 and regularly cleared of debris.
3.10.1Grounds and Roadways Review
4.1.1 Premises Location and Approval

4.1.1 Premises Location and Approval Review
4.1.2Construction and Operational Approval


4.1.2Construction and Operational Approval Review


surfaces not in direct contact with pet food
in pet food handling areas, raw material
storage, packaging material storage, and
cold storage areas shall be constructed of
materials that will not contribute a food
4.2.2Floors, Drains and Waste Traps

be effectively graded, drained, impervious
4.2.2.1 to liquid and easily cleaned.
Floors shall be sloped to floor drains at

gradients suitable to allow the effective
removal of all overflow or wastewater
4.2.2.2 under normal working conditions.


from any pet food handling area or
4.2.2Floors, Drains and Waste Traps Review
4.2.3Walls, Partitions, Floors and Ceilings


4.2.3.1 clean (refer to 4.2.13.1).

shall be designed to be easily cleaned and
sealed to prevent the accumulation of pet
4.2.3.2 food debris.

designed and constructed to allow ease of
4.2.3.3 cleaning.
4.2.3.3 cleaning.

contamination of pet food, materials,
ingredients and pet food contact surfaces,
4.2.3.4 and shall allow ease of cleaning.

frames shall be of a material and
walls and partitions.
Doors and hatches shall be of solid

construction; and
Windows in product zones shall be made
4.2.3.5 of shatterproof glass or similar material.
Pet food shall be processed and handled

in areas that are fitted with a ceiling or
other acceptable structure that is
constructed and maintained to prevent the
Drop ceilings, where present, shall be

constructed to enable monitoring for pest
activity, facilitate cleaning and provide
4.2.3.7 access to utilities.
4.2.3Walls, Partitions, Floors and Ceilings Review
4.2.4 Stairs, Catwalks and Platforms

Stairs, catwalks and platforms in pet food
present a product contamination risk and
4.2.4.1 shall be kept clean (refer to 4.2.13.1).
4.2.4 Stairs, Catwalks and Platforms Review

Lighting in pet food processing and

handling areas and at inspection stations
shall be of appropriate intensity to enable
the staff to carry out their tasks efficiently
4.2.5.1 and effectively.
Light fittings in processing areas,
protective covers and recessed into or
fitted flush with the ceiling. Where fittings
cannot be recessed, structures
must be protected from accidental

breakage, manufactured from cleanable
materials and addressed in the cleaning
4.2.5.2 and sanitation program.


A suitable area shall be provided for the

4.2.6.1 inspection of the product if required.
The inspection/quality control area shall

be provided with facilities that are suitable
for examination and testing of the type of
product being handled/processed. The
inspection area shall:
Have easy access to hand washing

facilities;
Have appropriate waste handling and
removal;
Be kept clean to prevent product
4.2.7Dust, Insect, and Pest Proofing

All external windows, ventilation openings,

doors and other openings shall be
effectively sealed when closed and
proofed against dust, vermin and other
4.2.7.1 pests.
External personnel access doors shall be

provided. They shall be effectively insect-
proofed and fitted with a self-closing
device and proper seals to protect against
4.2.7.2 ingress of dust, vermin and other pests.
External doors, including overhead dock

doors in food handling areas used for
product, pedestrian or truck access shall
be insect-proofed by at least one or a
combination of the following methods:
A self-closing device;
An effective air curtain;
An insect-proof screen;
An insect-proof annex;
Adequate sealing around trucks in docking
4.2.7.3 areas.
4.2.7.3 areas.

product storage areas or processing
4.2.7.4 areas.
4.2.7Dust, Insect, and Pest Proofing Review
4.2.8Ventilation

enclosed processing and pet food
handling areas. Extractor fans and/or
canopies shall be provided in areas where
cooking operations are carried out or a
4.2.8.1 large amount of steam is generated.
All ventilation equipment and devices in

product storage and handling areas shall
be adequately cleaned as per 4.2.13, to
4.2.8.2 prevent unsanitary conditions.
Extractor fans and canopies shall be

amount of steam is generated and shall
have the following features:
Capture velocities shall be sufficient to

prevent condensation build up and to

evacuate all heat, fumes and other
aerosols to the exterior via an exhaust
hood positioned over cooker;
Fans and exhaust vents shall be insect-
proofed and located so as not to pose a
contamination risk; and
Where appropriate, positive air-pressure
system shall be installed to prevent
4.2.8.3 airborne contamination.
4.2.9Equipment, Utensils, and Protective Clothing



maintained so as not to pose a
4.2.9.2 contamination threat to products.
Benches, tables, conveyors, mixers,

minces, graders and other mechanical
processing equipment shall be hygienically
designed and located for appropriate
4.2.9.3 cleaning.
Product containers, tubs, bins for edible
and inedible material shall be constructed
of materials that are non-toxic, smooth,
impervious and readily cleaned. Bins used
for inedible material shall be clearly
4.2.9.4 identified.

4.2.9.5 system.
4.2.9.5 system.
Protective clothing shall be manufactured

from material that is not liable to
contaminate pet food and is easily
4.2.9.6 cleaned.
Racks shall be provided for the temporary
the personnel access doorways and hand
4.2.9.7 washing facilities.
4.2.9Equipment, Utensils, and Protective Clothing Review
4.2.10Premises and Equipment Maintenance

Section Details
The methods and responsibility for the Initial Respons Evidence
documented, planned and implemented in
a manner that minimizes the risk of
product, packaging or equipment

equipment in any pet food processing,

maintenance of product safety.
4.2.10.2
Failures of equipment in any pet food
processing, handling or storage areas
shall be repaired, documented, and
reviewed. Such equipment shall be
incorporated into the maintenance control
4.2.10.3 schedule.
comply with the site's personnel and
process hygiene requirements (refer to
4.2.10.4 4.3.1, 4.3.2, 4.3.3, 4.3.4).

hygiene procedures, or shall be escorted
4.2.10.5 at all times, until their work is completed.

undertaken in any processing, handling or
4.2.10.6 storage area.


not pose a pet food safety risk. They shall
exclude the use of fasteners such are wire
or tape, are clearly identified and dated
and included on cleaning programs. There
shall be a plan in place to address
completion of temporary repairs to ensure
temporary repairs do not become
4.2.10.8 permanent solutions.

completed prior to the commencement of
4.2.10.9 site operations.
Lubricants shall be fit for purpose, meet

regulatory requirements, and be food
grade where there is potential of direct
4.2.10.10 contact with pet food.
Paint used in a pet food handling or

contact zone shall be in good condition
and shall not be used on any product
4.2.10.11 contact surface.
4.2.11Calibration

requisite programs and pet food safety
plans, or to demonstrate compliance with




4.2.11.5 schedule.


effectively implemented. The site, its
Any identified pest activity shall not

present a risk of contamination to pet food
4.2.12.2 products, raw materials or packaging.
Pet food products, raw materials or

packaging that are found to be
contaminated by pest activity shall be
effectively disposed of, and the source of
4.2.12.3 pest infestation investigated and resolved.
Pet food products, raw materials or
packaging that are found to be
4.2.12.3 pest infestation
Describe investigated
the methods and resolved.
and responsibility
program;
problems;
set;
available);
and
4.2.12.4 pests.



contamination of pet food and pet food
4.2.12.7 contact surfaces.
Pest contractors shall be:

relevant authority;
Provide a pest control management plan
(refer to 2.3.3) which will include a site
map indicating the location of bait stations
and traps;
and
4.2.12.8 applied.
and ensure that:

reused;
and

cleaning of the pet food handling and
to:
Methods used to confirm the correct
concentrations of detergents and
sanitizers; and


other utensils and for cleaning of
protective clothing used by staff. These
cleaning operations shall be controlled so
as not to interfere with manufacturing
operations, equipment or product. Racks
and containers for storing cleaned utensils
and protective clothing shall be provided
4.2.13.3 as required.
Cleaning in place (CIP) systems where

used shall not pose a chemical
contamination risk to raw materials,
ingredients or product. CIP parameters
critical to assuring effective cleaning shall
be defined, monitored and recorded (e.g.
chemical and concentration used, contact
time and temperature). CIP equipment
including spray balls shall be maintained
and modifications to CIP equipment shall
be validated. Personnel engaged in CIP
4.2.13.4 activities shall be effectively trained.

sanitation operations to ensure food



for use in a food handling environment,
labeled according to regulatory
requirements, and purchased in

approved for use;
and
4.2.13.9


labeled before use;

4.3.1Personnel
Personnel who are known to have been

known to be carriers, or are carriers, of
infectious diseases that present a health
risk to others through the packing or
storage processes shall not engage in the
processing or packing of pet food, or enter
4.3.1.1 storage areas where pet food is exposed.
food packaging, food, or food contact
any other means.

spillage of bodily fluid, a properly trained
any other means.


primary packaging materials or food
covered with a colored bandage
containing a metal strip or an alternative
4.3.1.3 suitable waterproof and colored dressing.
Smoking, chewing, eating, or spitting is

not permitted in areas where product is
produced, stored, or otherwise exposed.
Drinking of water is permissible only under
conditions that prevent contamination or
other food safety risks from occurring.
Drinking water containers in production
and storage areas shall be stored in clear,
covered containers, and in designated
areas away from raw materials, packaging
4.3.1.4 or equipment.
4.3.2Hand Washing

adjacent to all personnel access points
and in accessible locations throughout pet
food handling and processing areas as
4.3.2.1 required.

temperature;
dispenser;
dispenser;
A means of containing used paper towels;
and
4.3.2.2 Hand sanitizers.

Hands shall be cleaned by all personnel,

On entering pet food handling or

processing areas;
After handling wash down hoses, dropped
4.3.2.4 product or contaminated material.

4.3.3Clothing

protects materials, food and food contact

pet food shall be maintained, stored,
Disposable gloves and aprons shall be

changed after each break, upon re-entry
into the processing area and when
damaged. Non-disposable aprons and
gloves shall be cleaned and sanitized as
required and when not in use stored on
racks provided in the processing area and
not on packaging, ingredients, product or
4.3.3.3 equipment.


be worn or taken into a pet food handling
or processing operation or any area where
food is exposed. The wearing of plain
bands with no stones and medical alert
bracelets that cannot be removed can be
permitted, however the site will need to
consider their customer requirements and
4.3.4.1 the applicable food legislation.
4.3.5Visitors

4.3.5.1 pet food processing or handling area.


4.3.5.3 which pet food is handled or processed.
Visitors shall enter and exit pet food

handling areas through the proper staff
entrance points and comply with all hand
washing and personnel practice
before entering any pet food processing or
handling areas or shall be escorted at all
times in pet food processing, handling and

4.3.6.1 product.
4.3.7Change Rooms

4.3.7.1 protective clothing as appropriate.

engaged in the processing of high risk pet
foods or processing operations in which
4.3.7.2 clothing can be soiled.

separate from pet food contact zones and
4.3.7.3 pet food and packaging storage areas.

4.3.8Laundry
Provision shall be made for the laundering

and storage of clothing working by staff
engaged in high risk processes in which
4.3.8.1 clothing can be heavily soiled.
4.3.8Laundry Review

processing and pet food handling
operations;
Accessed from the processing area via an
airlock vented to the exterior or through an
adjoining room;
Sufficient for the maximum number of
staff;
cleaned and maintained; and


4.3.10 Lunch-rooms

provided away from a pet food
4.3.10.1 contact/handling zone. tables and
Provided with adequate
seating;
4.3.10.2
seating;
and
4.3.10.2 and pests.
introduction of contamination into site and
4.3.10.3 pest attraction.
before entering the pet food processing
areas shall be provided in a prominent
position in lunch-rooms and at lunch-
4.3.10.4 rooms and at lunch-room exits.
4.3.10 Lunch-rooms Review
4.4.1Staff Engaged in Pet Food Handling and Processing Operations


4.4.1.1
only;
All doors are to be kept closed. Doors
shall not be left open for extended periods
when access for waste removal or
receiving of product/ingredient/packaging
is required;
The wearing of false fingernails or
fingernail polish is not permitted when
handling pet food;
Writing instruments and other lose items
are not permitted in outer garments where
they could contaminate product;
basis and not left to accumulate; and
Staff shall not eat or taste any product
being processed in the pet food
handling/contact zone, except as noted in
4.4.1.1 element 4.4.1.2.
In circumstances where it is necessary to

undertake sensory evaluations in a pet
food handling/contact zone the site shall
implement proper controls and procedures
to ensure:
Pet food safety is not compromised;

Sensory evaluations are conducted by
authorized personnel;
A high standard of personal hygiene is
practiced by personnel conducting
sensory evaluations;
Sensory evaluations are conducted in
areas equipped for the purpose; and
Equipment used for sensory evaluations is
sanitized, maintained and stored separate
4.4.1.2 from processing equipment.
All hoses shall be stored on hose racks

4.4.1.3 after use and not left on the floor.
4.4.1Staff Engaged in Pet Food Handling and Processing Operations Review
4.4.2 Product Formulation

Pet food product formulations shall be

developed by authorized persons to
4.4.2.1 ensure that they meet the intended use.

implemented to ensure that pet food is
manufactured to approved product
formulations and uses only materials and
4.4.2.2 ingredients that are fit for purpose.
Raw and finished product grain and
mineral specifications shall meet the
appropriate state and federal requirements
and regulatory limits for mycotoxins,
pesticides or industrial contaminants such
4.4.2.3 as heavy metals.
Approved raw materials suppliers shall

notify changes in product composition
where it could have an impact on product
formulation (e.g. protein content, moisture,
amino acid profiles, contaminant levels
and/or other parameters that may be
4.4.2.4 variable by crop or by season).
4.4.2 Product Formulation Review
4.5.1 Water Supply


4.5.1.2 equipment.



potable and non-potable water lines;
clearly identified; and
Hoses, taps, and other similar sources of
possible contamination are designed to
4.5.1.4 prevent back flow or back siphonage.

Water treatment methods, equipment and

materials shall be designed, installed and
operated to ensure water receives an
4.5.2.1 effective treatment.


Water used in as an ingredient in

processing or in cleaning and sanitizing
equipment shall be tested and, if required,
treated to maintain potability (refer to
4.5.2.4 4.5.2.1).
4.5.3Ice Supply
Ice provided for use during processing

operations or as a processing aid or an
4.5.3.1 ingredient shall comply with 4.5.5.1.
Ice rooms and receptacles shall be

constructed of materials as outlined in
elements 4.2.1, 4.2.2 and 4.2.3 and
designed to minimize contamination of the
4.5.3.2 ice during storage and distribution.
4.5.3Ice Supply Review
4.5.4Water Quality

washing, thawing and treating pet food;

handwashing;
to convey pet food;
as an ingredient or pet food processing
aid;
washing, thawing and treating pet food;

handwashing;
to convey pet food;
as an ingredient or pet food processing
aid;
cleaning pet food contact surfaces and
equipment;
the manufacture of ice; or
the manufacture of steam that will come
into contact with pet food or used to heat
water that will come in contact with pet
4.5.4.1 food.
Microbiological analysis of the water and

ice supply shall be conducted to verify the
cleanliness of the supply, the monitoring
activities and the effectiveness of the
treatment measures implemented.
Samples for analysis shall be taken from
within the site. The frequency of analysis
shall be risk-based, and at a minimum
4.5.4.2 annually.
Water and ice shall be analyzed using

4.5.4.3 reference standards and methods.
4.5.5The Quality of Air and Other Gases

Compressed air or other gasses (e.g.

nitrogen, carbon dioxide) that contacts pet
food or pet food contact surfaces shall be
clean and present no risk to pet food
4.5.5.1 safety.

come into contact with pet food or pet food
4.5.5.2 applicable food safety hazards.
come into contact with pet food or pet food
4.5.5The Quality of Air and Other Gases Review

safe, hygienic storage of raw materials
(i.e. frozen, chilled, and ambient),


Equipment storage rooms shall be

hygienic and efficient storage of
4.6.1.4 equipment and containers.

contamination or adverse effect on pet
4.6.1.5 food safety.
Records shall be available to validate
alternate or temporary control measures
for the storage of raw materials,
equipment, chemicals, or finished
4.6.1.6 products.
4.6.1.6 products.
4.6.2Cold Storage, Freezing and Chilling of Pet Foods and Pet Food Ingredients

efficient refrigeration of food and easily


Loading and unloading docks shall be

designed to protect the product during
4.6.2.5 loading and unloading.
4.6.2Cold Storage, Freezing and Chilling of Pet Foods and Pet Food Ingredients Review
4.6.3Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods
goods shall be located away from wet
areas and constructed to protect the
product from contamination and
4.6.3.1 deterioration.
Vehicles used in pet food contact,

handling or processing zones or in storage
rooms shall be designed and operated so
4.6.3.3 as not to present a pet food safety hazard.
4.6.3Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods Review

Section Details
Hazardous chemicals and toxic Initial Respons Evidence
substances with the potential for pet food

4.6.4.2 substances.
Daily supplies of chemical used for

of pet food processing equipment or
surfaces in pet food contact zones, may
of pet food processing equipment or
surfaces in pet food contact zones, may
be stored within or in close proximity to a
processing area provided that access to
the chemical storage facility is restricted to
4.6.4.3 authorized personnel.

4.6.4.4 shall be stored in their original containers.

chemicals;
area;
substances;
protective clothing available in close
proximity to the storage area;
4.6.5 Loading, Transport and Unloading Practices

Section Details
transport and unloading of pet food shall Initial Respons Evidence
be documented, implemented and
designed to maintain appropriate storage
conditions and product integrity. Pet food
shall be loaded, transported and unloaded
under conditions suitable to prevent cross-
Raw materials and ingredient suppliers

shall provide documentation on
transportation equipment controls utilized
4.6.5.2 to prevent cross-contamination.
4.6.5 Loading, Transport and Unloading Practices Review
4.6.6Loading
Section Details
used for transporting pet food shall be
purpose and free from odors or other
conditions that may impact negatively on
4.6.6.1 the product.

4.6.6.2 integrity.

seal or other agreed upon and acceptable
4.6.6Loading Review
4.6.7Transport
Refrigerated units shall maintain the pet
food at the required temperatures. The
unit’s temperature settings shall be set,
checked and recorded before loading and
the core product temperature should be
recorded at regular intervals during
4.6.7.1 loading as appropriate.
Refrigerated units shall maintain the pet
food at the required temperatures. The
the core product temperature should be
recorded at regular intervals during
4.6.7.1 loading as appropriate.
The refrigeration unit shall be operational

at all times and checks of the unit’s
operation, the door seals and the storage
temperature at regular intervals during
4.6.7.2 transit.
4.6.7Transport Review
4.6.8Unloading
Prior to opening the doors, the

refrigeration unit’s storage temperature
settings and operating temperature
shall be checked and recorded.
4.6.8.1
Unloading shall be completed efficiently,

and product temperatures shall be
recorded at the commencement of
unloading and at regular intervals during
4.6.8.2 unloading.

4.6.8.3 integrity.
4.7.1 Process Flow and Performance

Mixing and blending equipment, where
appropriate, shall be operated in a manner
as to produce a homogenous product that
prevents, eliminates, or reduces identified
food safety hazards related to process
4.7.1.2 variation.
4.7.1 Process Flow and Performance Review


4.7.3Thawing of Ingredients and Product

Thawing of ingredients and product shall

be undertaken in equipment and rooms
4.7.3.1 appropriate for the purpose.

exchange rate and temperature do not

thaw the product and ingredients under
controlled conditions at a rate and
temperature that does not contribute to
4.7.3.3 product deterioration or contamination.

product and ingredients so that there is no
4.7.3.4 risk to the product.
4.7.3Thawing of Ingredients and Product Review
4.7.4High risk Processes

The processing of high risk pet food shall

be conducted under controlled conditions
such that sensitive areas in which high risk
pet food has undergone a “kill” step, a “pet
food safety intervention” or is subject to
post process handling, are
protected/segregated from other
processes, raw materials or staff who
handle raw materials to ensure cross-
4.7.4.1 contamination is minimized.
Areas in which high risk processes are

conducted shall only be serviced by staff
4.7.4.2 dedicated to that function.
4.7.4High risk Processes Review

the product shall be documented,
4.7.5.1 staff.

plant and equipment remains in good
condition, equipment has not become
detached or deteriorated and is free from
4.7.5.2 potential contaminants.
All glass objects or similar material in pet

food handling/contact zones shall be listed
in a glass register including details of their
4.7.5.3 location.

made of glass, porcelain, ceramics,
laboratory glassware or other like material
(except where the product is contained in
packaging made from these materials, or
measurement instruments with glass dial
covers or MIG thermometers required
under regulation) shall not be permitted in
4.7.5.4 pet food processing /contact zones.
Regular inspections of pet food
handling/contact zones shall be conducted
to ensure they are free of glass or other
like material and to establish changes to
the condition of the objects listed in the
4.7.5.5 glass register.
Glass instrument dial covers on

processing equipment and MIG
thermometers shall be inspected at the
start of each shift to confirm they have not
4.7.5.6 been damaged.
used in pet food handling/contact zones
shall be dedicated for that purpose, clean,
and maintained in good order. Their
condition shall be subject to regular
4.7.5.7 inspection.
used in pet food handling/contact zones
shall be dedicated for that purpose, clean,
and maintained in good order. Their
condition shall be subject to regular
4.7.5.7 inspection.


maintained. Snap-off blades shall not be
4.7.5.9 used in manufacturing or storage areas.

4.7.6.2 rejected.
inspections.
4.7.6.3

In suspect cases of foreign matter

contamination the affected batch or item
shall be evaluated, inspected, reworked or
4.7.7.1 appropriately disposed.
In suspect cases of foreign matter
shall be evaluated, inspected, reworked or
4.7.7.1 appropriately disposed.
area is to be isolated, cleaned and
thoroughly inspected (including cleaning
equipment and footwear) and cleared by a
suitably responsible person prior to the
4.8.1Location
Section Details
On site laboratories conducting chemical Initial Respons Evidence
located separate from any pet food
processing or handling activity and
designed to limit access only to authorized
4.8.1.1 personnel.
pet food waste. Laboratory wastewater
outlet shall as a minimum be down stream
of drains that service pet food processing
4.8.1.2 and handling areas.



basis and not build up in pet food handling
or processing areas. Designated waste
a clean and tidy condition until external
4.9.1.2 waste collection is undertaken.
condition, and cleaned and sanitized
including trimmings, inedible material and
used packaging. Waste held on site prior
to disposal shall be stored in a separate
storage area and contained so as not to
4.9.1.4 present a hazard. a documented
Where applicable,
4.9.1.5 compliance.

processing and pet food handling areas.

management will form part of daily

4.10.1.1 reviewed.

premises shall be maintained to minimize
dust and be kept free of waste or

not to present a hazard to the pet food
4.10.1.3 safety operation of the premises.
unloading areas shall be adequately
drained to prevent ponding of water.
Drains shall be separate from the site
drainage system and regularly cleared of
4.10.1.4 debris.
Surroundings shall be kept neat and tidy

and not present a hazard to the hygienic
4.10.1.5 and sanitary operation of the premises.
9.1.1Premises Location

9.1.1Premises Location Review
9.1.2Construction and Operational Approval
The construction and on-going operation

of the premises on the site shall be
9.1.2.1 approved by the relevant authority.
9.1.2Construction and Operational Approval Review
9.2.1Housing of Livestock
Pens, yards and lairage shall be designed,

located, constructed and maintained to
minimize stress, injury or disease and
have minimal impact on the surrounding
9.2.1.1 area and natural resources.
Fences, gates, and other surfaces in pens

and yards shall be free from paints, dips,
sanitizers and other materials that are
likely to cause contamination through
9.2.1.2 ingestion, inhalation, or contact.
Animal housing shall be maintained in a

9.2.1.3 clean and sanitary condition.
Laneways, races, entrances, exits and
loading/unloading ramps shall be designed
to take advantage of the social behavior
and movement of the species and be
designed and maintained to prevent any
9.2.1.4 potential injury points to animals.
Laneways, races, entrances, exits, and
loading/unloading ramps shall be free from
sharp objects that may damage animals,
and shall be free from chemicals other
than those approved by the relevant
9.2.1.5 authority for use on livestock.
Laneways, races, entrances, exits, and
loading/unloading ramps shall be free from
sharp objects that may damage animals,
and shall be free from chemicals other
than those approved by the relevant
9.2.1.5 authority for use on livestock.
9.2.1Housing of Livestock Review
9.2.2Site Materials and Surfaces

Section Details
Product contact surfaces and those Initial Respons Evidence
surfaces not in direct contact with product
in product handling areas, raw material
9.2.2Site Materials and Surfaces Review




Waste trap system shall be located away

from any food handling area or entrance to
9.2.3.4 the premises.
9.2.4Walls, Partitions, Doors and Ceilings


9.2.4.1 clean (refer to 9.2.14.1).

sealed to prevent the accumulation of food
9.2.4.2 debris.

9.2.4.3 cleaning.

contamination of food, materials,
ingredients and food contact surfaces, and

Products shall be handled and stored in

Products shall be handled and stored in
Drop ceilings, where present, shall be

9.2.4Walls, Partitions, Doors and Ceilings Review
9.2.5Stairs, Catwalks and Platforms

Stairs, catwalks and platforms in produce

storage and handling areas shall be
9.2.5.1 shall be kept clean (refer to 9.2.14.1).
9.2.5Stairs, Catwalks and Platforms Review
9.2.6Lighting and Light Fittings

Section Details
Lighting in product processing and Initial Respons Evidence
packing, storage and handling areas and
at inspection stations shall be of
appropriate intensity to enable the staff to
carry out their tasks efficiently and
effectively.
9.2.6.1
inspection stations, and all areas where
product is exposed shall be shatterproof,
manufactured with a shatterproof covering
or fitted with protective covers and
recessed into or fitted flush with the
9.2.6.2
ceiling. Where fittings cannot be recessed,
structures must be protected from
accidental breakage, manufactured from
cleanable materials and addressed in the
9.2.6.2 cleaning and sanitation program.

areas where product is protected shall be
designed such as to prevent breakage and
9.2.6Lighting and Light Fittings Review

A suitable area within the processing and

packing area shall be provided for the
9.2.7.1 inspection of products if required.

facilities;
removal;
9.2.8Dust, Insect, and Pest Proofing


9.2.8.1 pests.
9.2.8.1 pests.

device to protect against ingress of dust,
9.2.8.2 vermin and other pests.

An insect-proof annex; and
9.2.8.3 areas.

9.2.8.4 areas.
9.2.8Dust, Insect, and Pest Proofing Review
9.2.9Ventilation

enclosed processing and product storage
9.2.9.1 and handling areas.

Product and product contact equipment

shall be protected to avoid contamination
9.2.9.3 from condensation.
9.2.9Ventilation Review
9.2.10Equipment, Utensils, and Protective Clothing



maintained to meet any applicable
regulatory requirements and not to pose a
Stunning, killing equipment, benches,

tables, conveyors, and other mechanical
equipment shall be easily dismantled for
cleaning where appropriate or per
manufacturer’s recommendations, and
located so as not pose a hindrance to the
cleaning of the premises. Equipment
surfaces shall be smooth, impervious and
9.2.10.3 free from cracks or crevices.
Product containers, knives, tubs, bins for
edible and inedible material shall be
constructed of materials that are non-
toxic, smooth, impervious and readily
cleaned. Bins used for inedible material
9.2.10.4 shall be clearly identified.

9.2.10.5 system.
9.2.10.5 system.

from material that is not liable to
9.2.10.6 contaminate product and is easily cleaned.
All equipment, utensils and protective
clothing shall be cleaned after use or at a
frequency to control contamination and
stored in a clean and serviceable condition
to prevent microbiological or cross-contact
9.2.10.8 allergen contamination.
9.2.10 Equipment, Utensils, and Protective Clothing Review


documented, planned and carried out in a
9.2.11.1 packaging or equipment contamination.

equipment in any product slaughtering,
processing, handling or storage area shall
be performed according to a maintenance-

9.2.11.2 maintenance of product safety and quality.
equipment in any product slaughtering,
processing, handling or storage area shall


food processing, handling or storage area

9.2.11.4 9.3.1, 9.3.2, 9.3.3, 9.3.4).


9.2.11.6 storage area.

9.2.11.8 they do not become permanent solutions.

Equipment located over product or product

conveyors shall be lubricated with food
grade lubricants and their use controlled to
9.2.11.10 minimize the contamination of product.

9.2.11Premises and Equipment Maintenance Review
9.2.12 Calibration

requisite programs, and food safety plans,


9.2.12.3 damage
Equipmentand unauthorized
shall adjustment.

9.2.12.5 schedule.

9.2.12 Calibration Review



present a risk of contamination to food
Food products, raw materials or packaging

9.2.13.3 investigated and resolved.
program;
problems;
set;
available);
and
9.2.13.4 pests.



contamination of food and food contact
9.2.13.7 surfaces.

relevant authority;
and traps;
Report to a responsible senior
management person on entering the
premises and after the completion of
inspections or treatments; and
9.2.13.8 applied.
and ensure that:

reused;
and

effective cleaning of the product handling
equipment and environment, storage
areas, staff amenities and toilet facilities
effective cleaning of the product handling
sanitizers; and

other utensils and for protective clothing
used by cleaning staff. These cleaning
operations shall be controlled so as not to
interfere with manufacturing operations,
equipment or product. Racks and
containers for storing cleaned utensils and
protective clothing shall be provided as
9.2.14.3 required.
Pre-operational hygiene and sanitation

inspections shall be conducted by
qualified personnel to ensure processing
areas, product contact surfaces,
equipment, staff amenities and sanitary
facilities and other essential areas are
clean before the commencement of



approved for use;
and



labeled before use;

labeled before use;

9.3.1 Personnel

processing or packing of food, or enter
9.3.1.1 storage areas where food is exposed.

any other means. In the event of an injury
which causes spillage of bodily fluid, a
properly trained employee shall ensure
that all affected areas including handling
and processing areas have been
adequately cleaned and that all materials
and products have been quarantined and
which causes spillage of bodily fluid, a
properly trained employee shall ensure
and processing areas have been
adequately cleaned and that all materials
and products have been quarantined and

primary packaging materials or food
areas away from raw materials,
9.3.1.4 processing, packaging or equipment.
9.3.1 Personnel Review
9.3.2 Hand Washing


and in accessible locations throughout
product handling, processing and
9.3.2.1 packaging areas as required.

temperature;
dispenser;

temperature;
dispenser;
dispenser;
The following additional facilities shall be

provided in high risk areas:
Hands free operated taps; and



hands shall be washed by all personnel,
On entering food handling or processing

areas;

9.3.2 Hand Washing Review
9.3.3 Clothing


products shall be maintained, stored,
Staff engaged in high risk areas shall

change into clean clothing when entering
9.3.3.3 high risk areas.
Clothing shall be clean at the

commencement of each shift and
9.3.3.4 maintained in a serviceable condition.
Excessively soiled uniforms shall be

changed where they present a product
9.3.3.5 contamination risk.

racks provided in the processing area and
not on packaging, ingredients, product or
9.3.3.6 equipment.
9.3.3 Clothing Review


be worn or taken into a product handling
permitted, however the site will need to
consider their customer requirements and
9.3.4.1 the applicable food legislation.
9.3.5 Visitors

9.3.5.1 food processing or handling area.


9.3.5.3 which food is handled or processed.
Visitors shall enter and exit food handling

before entering any food processing or
times in food processing, handling and
9.3.6 Staff Amenities

9.3.6.1 product.
9.3.6 Staff Amenities Review
9.3.7 Change Rooms


9.3.7.1 protective clothing as appropriate.

engaged in the processing or packaging
9.3.7.2 operations

separate from productcontact zones and
9.3.7.3 product and packaging storage areas.

9.3.7 Change Rooms Review
9.3.8 Laundry

and storage of clothing worn by staff
engaged in high risk processes and for
staff engaged in processing operations in
9.3.8.1 which clothing can be heavily soiled.
9.3.8 Laundry Review

processing and handling operations;
adjoining room;
Sufficient for the maximum number of
staff;
Include an area for loose outer garments
while using the facilities; and


9.3.9 Sanitary Facilities Review
9.3.10 Lunch-rooms

provided away from food contact/handling
9.3.10.1 zone.

Provided with adequate tables and seating
to cater for the maximum number of staff
at one sitting;
Equipped with refrigeration and heating
facilities enabling them to store or heat
food and to prepare non-alcoholic
beverages if required; and
9.3.10.2 and pests.
introduction of contamination including
9.3.10.3 pest into site.

9.3.10.4 in lunch-rooms and at lunch-room exits.
9.3.10 Lunch-rooms Review
9.4.1 Animal Husbandry

Ante mortem inspections by a qualified

person shall be carried out to ensure
animals are free from disease and fit for
9.4.1.1 human consumption.
Ante mortem inspections by a qualified
person shall be carried out to ensure
animals are free from disease and fit for
Animals that are subject to the control of

prohibited substances such as veterinary
medicine, heavy metals or pesticides shall
be identified and procedures implemented
9.4.1.2 for their segregation and processing.
Animals for slaughter shall have

uncontaminated water at all times, and
clean feed if held in lairage for extended
9.4.1.3 periods.
management of animals ante-mortem
shall be trained and competent in animal
handling and welfare. They shall be able
to recognize the early signs of distress
and disease and ensure pain and stress to
9.4.1.4 animals is minimized.
Animals deemed to be diseased or

otherwise unfit for human consumption
must be segregated from healthy animals
and condemned or otherwise excluded
9.4.1.5 from processing.
The site shall implement measures to
prevent cross-contamination of animals for
slaughter from agricultural or cleaning
chemicals, waste materials, or other
materials that could contaminate the
9.4.1.6 animals.
9.4.1 Animal Husbandry Review
9.4.2 Slaughtering and Butchering

Only slaughtering methods that are

humane and approved for use for a given
species by national or international
9.4.2.1 regulations shall be used.
Where a two-stage process is used, the

time interval between stunning and killing
shall not exceed regulatory requirements.
The use of direct air injection is not
9.4.2.2 permitted.
Where a two-stage process is used, the
time interval between stunning and killing
shall not exceed regulatory requirements.
The use of direct air injection is not
9.4.2.2 permitted.
The site shall have a pathogen control

program that addresses known biological
hazards and demonstrates compliance to
9.4.2.3 regulations or customer standards.
Knives and tools used for skinning shall be

cleaned and sterilized between each
carcass. Knives and tools that become
contaminated shall be cleaned and
9.4.2.4 sterilized prior to use on edible tissue.
implemented to maintain the hygienic
condition of the carcass and avoid
contamination. Fecal matter shall be
removed at the slaughter floor and the
carcass shall be inspected by an
authorized person postmortem for signs of
9.4.2.5 disease or contamination.
Where applicable, procedures shall be in

9.4.2.6 place for the grading of carcasses.
Cooling processes shall have defined time

and temperature requirements and be
9.4.2.7 regularly monitored and recorded.
Procedures shall be in place for the safe

and hygienic evisceration and primal
cutting of the carcass and the identification
9.4.2.8 of edible and non-edible parts.
Edible parts of the carcass shall be

processed, and stored using clean,
sanitized tools and containers and
protected from contamination. They shall
9.4.2.9 be covered when not in process.
All edible parts of the carcass shall be

identified through the postmortem
inspection process and traceable back to
9.4.2.10 the animal and date and time of slaughter.
All edible parts of the carcass shall be
identified through the postmortem
inspection process and traceable back to
9.4.2.10 the animal and date and time of slaughter.
Slaughter and butchering hygiene shall be

regularly monitored for, at minimum, fecal
pathogens. Testing shall include swabbing
of tables, benches, and tools, and product
microbiological analysis. Risk-based
species- specific microbiological analysis
9.4.2.11 shall also be in place
All wash down hoses shall be stored on

hose racks after use and not left on the
9.4.2.12 floor.
9.4.2 Slaughtering and Butchering Review
9.4.3 Staff Engaged in Food Handling and Processing Operations

All personnel engaged in any product
handling, processing or packaging
operations shall ensure that products and
processing practices:

only;
9.4.3.2
is required;
9.4.3.2 basis and not left to accumulate.
9.4.3 Staff Engaged in Food Handling and Processing OperationsReview
9.5.1 Water Supply


operations, and for cleaning the premises
9.5.1.1 and equipment.

9.5.1.2 equipment.

9.5.2 Water Delivery




9.5.2 Water Delivery Review

materials shall be designed, installed and


9.5.4Ice Supply
Where ice is required, adequate supplies

of ice derived from water that complies
with element 9.5.2.1 shall be provided for
use during processing operations or as a
9.5.4.1 processing aid or an ingredient.

elements 9.2.2, 9.2.3, and 9.2.4 and
9.5.5Analysis of Water Quality


washing, thawing and treating food;

handwashing;
to convey food;
as an ingredient or food processing aid;
cleaning food contact surfaces and
equipment;
into contact with food or used to heat
9.5.5.1 water that will come in contact with food.

9.5.5.2 treatment measures implemented.

9.5.5Analysis of Water Quality Review
9.5.6Air Quality
Compressed air that contacts food or food

contact surfaces shall be clean and
9.5.6.1 present no risk
Compressed airtosystems,
food safety.
and systems
come into contact with food or food
9.5.6 Air Quality Review
9.6.1Animal Transport
Vehicles used for transport of animals for

slaughter shall be fit for purpose and
clean. Vehicles shall be inspected, and a
9.6.1.1 record kept of the inspection.
Transport times for animals for slaughter

shall be kept to a minimum and times
9.6.1.2 recorded.
9.6.1Animal Transport Review
9.6.2Pens and Yards

supplies of water and fodder shall be
9.6.2.1 provided.
9.6.2Pens and Yards Review

effective storage plan in place that allows
for the safe, hygienic storage of raw
materials (i.e. frozen, chilled, and
ambient), ingredients, packaging
9.6.3.1 materials, equipment, and chemicals.



Where goods described in elements 9.6.4

to 9.6.6 are held under temporary or
overflow conditions that are not designed
for the safe storage of goods, a risk
analysis shall be undertaken to ensure
there is no risk to the integrity of those
goods or contamination or adverse effect
9.6.3.5 on food safety.
9.6.4Chilling of Product, Cool Storage, and Cold Storage



available to chill, freeze, store chilled, or
store frozen product at the maximum
anticipated throughput with allowance for

Freezing, chilling, and cold storage rooms
with measurement devices that are easily
9.6.4.4 readable and accessible.

designed to protect product during loading
9.6.4.5 and unloading.
9.6.4Chilling of Product, Cool Storage, and Cold Storage Review
9.6.5Storage of Dry Ingredient, Packaging, and Shelf Stable Packaged Goods

Vehicles used in food contact, handling or

processing zones or in cool storage rooms
9.6.5.3 to present a food safety hazard.
9.6.5Storage of Dry Ingredient, Packaging, and Shelf Stable Packaged Goods Review

Section Details
substances with the potential for food
Utensils and packaging shall not be stored

in areas used to store hazardous
9.6.6.2 chemicals and toxic substances.

of equipment or surfaces in product
contact zones, may be stored within or in
close proximity to a processing or
of equipment or surfaces in product
contact zones, may be stored within or in
close proximity to a processing or
packaging area provided that access to

9.6.6.4 shall be stored in their original containers.
storage facilities shall:

chemicals;
area;
substances;
storage area;
9.6.6Storage of Hazardous Chemicals and Toxic SubstancesReview
Section Details
transport and unloading of food shall be Initial Respons Evidence
and product integrity. Product shall be
9.6.8Loading
Section Details
used for transporting products shall be
9.6.8.1 the products.

minimize unnecessary exposure of
9.6.8.2 maintaining product and package integrity.
Vehicles/containers shall be secured from

tampering using a seal or other agreed
9.6.8.3 upon and acceptable device or system.
9.6.8Loading Review
9.6.9Transport
Section Details
Refrigerated units shall maintain the Initial Respons Evidence
product at required temperatures and the
core product temperatures recorded at
regular intervals during loading as
9.6.9.1 appropriate.
at all times and checks completed of the
unit’s operation, the door seals and the
storage temperature at regular intervals
9.6.9.2 during transit.
9.6.10Unloading
Prior to opening the doors the refrigeration

unit’s storage temperature settings and
operating temperature shall be checked
and recorded. Unloading shall be
completed efficiently and product
temperatures shall be recorded at the
commencement of unloading and at
9.6.10.1 regular intervals during unloading.

9.7.1Process Flow and Performance

9.7.1Process Flow and Performance

chilled raw materials to ensure there is no
9.7.2.1 cross-contamination.
9.7.3High risk Areas

Section Details
conducted under controlled conditions Initial Respons Evidence
such that areas that are subject to post
process handling are

dedicated to that function.
Staff access points are located, designed

and equipped to enable staff to don
distinctive protective clothing and to
practice a high standard of personal
hygiene to prevent product contamination;
Product transfer points are located and
designed so as not to compromise high
risk segregation and to minimize the risk
9.7.3.2 of cross-contamination.
Staff access points shall be located,

designed and equipped to enable staff to
don distinctive protective clothing and to
9.7.3.3 hygiene to prevent product contamination.
change into clean clothing or temporary
protective outerwear when entering high
9.7.3.4 risk areas.
Product transfer points shall be located

and designed so as not to compromise
high risk segregation and to minimize the
9.7.3.5 risk of cross-contamination.
9.7.3High risk Areas Review


9.7.4.1 staff.

condition and potential contaminants have
not detached or become damaged or
9.7.4.2 deteriorated.
All glass objects or similar material in food

handling/contact zones shall be listed in a
glass register including details of their
9.7.4.3 location.

9.7.4.4 food processing /contact zones.
Regular inspections of food


used in food handling/contact zones shall
9.7.4.7 is subject to regular inspection.



defective products and indicate when it is
9.7.5.2 rejected.

In all cases of foreign matter

contamination, the affected batch or item
shall be isolated, inspected, reworked or
9.7.6.1 disposed.

9.8.1Location
On site laboratories shall be located

separate from any food processing or
handling activity and designed to limit
On site laboratories shall be located
separate from any food processing or
handling activity and designed to limit
9.8.1.1 access onlyshall
Provisions to authorized
be made topersonnel.
isolate and
food waste. Laboratory wastewater outlet
drains that service food processing and



implemented for the collection and
removal of animal waste materials via
9.9.1.1 authorized waste disposal contractors.

waste (other than animal waste) and store
prior to removal from the premises shall
9.9.1.2 be documented and implemented.
basis and not build up in food handling
areas. Designated waste accumulation
areas shall be maintained in a clean and
tidy condition until external waste
9.9.1.3 collection is undertaken.
Waste disposal equipment, collection bins

and storage areas shall be maintained in a
serviceable condition, cleaned and
sanitized regularly so as not to attract
9.9.1.4 pests and other vermin.


management shall form part of daily
9.10.1 Grounds and Roadways


9.10.1.1 reviewed.


not to present a hazard to the food safety

Paths from amenities leading to site
entrances are required to be effectively
9.10.1.5 sealed.
9.10.1 Grounds and Roadways Review
10.1.1Premises Location and Approval


The construction and on-going operation

of the premises on the site shall be
10.1.1.2 approved by the relevant authority.
10.1.1Premises Location and Approval Review

Section Details
Product-contact surfaces and those Initial Respons Evidence
surfaces not in direct contact with product
in food handling areas, raw material






10.2.3.1 clean (refer to 10.2.13.1).

10.2.3.2 debris.
10.2.3.3 cleaning.
10.2.3.3 cleaning.

walls and partitions; doors and hatches
shall be of solid construction, windows
Product shall be handled and stored in

10.2.3.6 contamination of product.

10.2.3.7 utilities.
10.2.3Walls, Partitions, Doors and Ceilings Review

Section Details
Stairs, catwalks and platforms in product Initial Respons Evidence
storage and handling areas shall be
exposed food product surfaces. They shall
10.2.4.1 be kept clean as per 10.2.13.1.
10.2.5Lighting and Light Fittings
Lighting in food processing and handling

areas and at inspection stations shall be of
10.2.5.1 effectively.
Light fittings in product handling areas,

inspection stations, and all areas where
product is exposed, shall be shatterproof,

areas where product is protected shall be
10.2.5Lighting and Light Fittings Review
10.2.6Inspection/ Quality Control Area



facilities;
removal, and

facilities;
removal, and
10.2.6Inspection/ Quality Control Area Review
10.2.7Dust, Insect, and Vermin Proofing


proofed against dust, insects and other
10.2.7.1 pests.


An insect-proof annex and
10.2.7.3 areas.
product, packaging, containers or product
handling equipment. Poison rodenticide
bait shall not be used inside product
handling, or food/food packaging storage
10.2.7.4 areas.
10.2.7Dust, Insect, and Vermin Proofing Review
10.2.8Ventilation

enclosed product handling and storage
areas. All ventilation equipment and
devices shall be adequately cleaned as
10.2.8.1 per 10.2.13.
10.2.9Equipment, Utensils and Protective Clothing



maintained so as meet any applicable
10.2.9.2 contamination threat
Benches, tables, to products.
conveyors, shellers,
graders, packers and other mechanical
equipment shall be hygienically designed
and located for appropriate cleaning.
Equipment surfaces shall be smooth,
impervious and free from cracks or
10.2.9.3 crevices.
impervious and readily cleaned as per
10.2.13. Bins used for inedible material
10.2.9.4 shall be clearly identified.

system and handled as per the local
10.2.9.5 regulatory authority.
system and handled as per the local

from material that will not contaminate
10.2.9.6 food
Racksand is easily
shall cleaned.
be provided for the temporary
leave the product handling or packing
areas and shall be provided in close
proximity or adjacent to the personnel
access doorways and hand washing
10.2.9.7 facilities.
10.2.9Equipment, Utensils and Protective Clothing Review

maintenance and repair of equipment and
buildings shall be documented, planned
and implemented in a manner that
minimizes the risk of product, packaging
10.2.10.1 or equipment contamination.
Routine maintenance of buildings and

equipment shall be performed according
to a maintenance-control schedule and
recorded. The maintenance schedule shall
be prepared to cover building, equipment
and other areas of the premises critical to
10.2.10.2 the maintenance of product safety.
Failures of building and equipment shall

be documented, reviewed and their repair
10.2.10.3 schedule.
Failures of building and equipment shall
be documented, reviewed and their repair
10.2.10.3 schedule.

comply with the personnel and process
hygiene requirements (refer to 10.3.1,
10.2.10.4 10.3.2, 10.3.3, 10.3.4).


10.2.10.6 undertaken in any product handling area.



maintenance for product safety and
10.2.10.10 quality.

10.2.10.11 minimize the contamination of product.
Paint used in a product handling or

contact zone shall be suitable for use and
in good condition and shall not be used on
10.2.10.12 any product contact surface.
10.2.11Calibration

requisite programs food safety plans, or to
demonstrate compliance with customer
specifications shall be documented and
implemented. Software used for such
10.2.11.1 activities shall be validated as appropriate.

potentially affected product should
potentially affected product should

10.2.11.3 damage
shall adjustment.

10.2.11.5 schedule.

Section Details
integrated pest prevention shall be Initial Respons Evidence
documented and effectively implemented.
The premises, surroundings, storage
facilities, machinery and equipment shall
be kept free of waste or accumulated
debris so as not to attract pests and
10.2.12.1 vermin.

10.2.12.2 products, raw materials
Food products, or packaging.
raw materials or packaging
10.2.12.3
program;
problems;
set;
available);
and
10.2.12.4 pests.



in 10.6.4 and handled and applied by
properly trained personnel. They shall be
used by or under the direct supervision of
trained personnel with a thorough
in 10.6.4 and handled and applied by
properly trained personnel. They shall be
used by or under the direct supervision of
trained personnel with a thorough
10.2.12.7 surfaces.

relevant authority;
and
10.2.12.8 applied.
and ensure that:

reused;
and


cleaning of the product handling
cleaning of the product handling
Consideration shall be given to how it is to
be cleaned, when it is to be cleaned, who
is responsible for the cleaning, methods
used to confirm and record the correct
sanitizers, responsibility and methods
used to verify the effectiveness of the

cleaning of product handling equipment,
10.2.13.2 utensils and protective clothing.

other utensils and for protective clothing
used by cleaning staff. These cleaning
interfere with operations, equipment or
products. Racks and containers for storing
cleaned utensils and protective clothing
10.2.13.3 shall be provided as required.




approved for use;
and
10.2.13.8 records
The site maintained.
shall dispose of unused

labeled before use;

10.3.1Personnel

processing or packing of food or enter
10.3.1.1 storage areas where food is exposed.

which causes bodily fluid spillage, a
properly trained employees shall ensure
that all materials or products have been
10.3.1.2 adequately quarantined and dispositioned.

lesions shall not engage in handling
products or handling primary packaging
materials or food contact surfaces. Minor
cuts or abrasions on exposed parts of the
body shall be covered with colored
bandage containing a metal strip or an
alternative suitable waterproof and colored
10.3.1.3 dressing.

not permitted in areas where produce is
not permitted in areas where produce is
10.3.2Hand Washing

product handling and packaging areas as
10.3.2.1 required.

material and as a minimum supplied with
potable water supply at an appropriate
temperature, liquid soap contained within
a fixed dispenser, paper towels in a
hands-free cleanable dispenser, and a
10.3.2.2 means of containing used paper towels.
A sign instructing people to wash their

On entering food handling areas;
10.3.2.4 products or contaminated material.

10.3.3Clothing


products shall be maintained, stored,
Clothing shall be clean at the


changed or replaced where they present a
10.3.3.4 product contamination risk.
In areas where materials, ingredients or

food products are exposed, clothing is
10.3.3.5 designed so not to pose a risk.

into food handling areas and when
into food handling areas and when
racks provided in the food handling area
or designated sealed containers in
personnel lockers and not on packaging,
10.3.3.6 ingredients, products or equipment.


or any area where food is exposed. The
wearing of plain bands with no stones and
prescribed medical alert bracelets that
cannot be removed can be permitted,
10.3.5Visitors

10.3.5.1 food handling areas.
10.3.5.1 food handling areas.


10.3.5.3 which food is handled or stored.
and personal practice requirements or
shall be escorted at all times whilst in food
10.3.5.4 processing, handling and storage areas.

10.3.6.1 engaged in the handling of product.
10.3.7Change Rooms


separate from product contact zones and
10.3.7.2 product and packaging storage areas.


processing and food handling operations;
adjoining room;
number of staff;
and
sewage system as per design
requirements in 10.2.9.5 and in
10.3.8.2 accordance with regulations.

10.3.9Lunch-rooms

provided away from a product
at one sitting;
beverages if required, and
10.3.9.2 and pests.
10.3.9.3 pests into the site.
before entering the food handling areas
in lunch-rooms, at lunch-room exits and in
10.3.9.4 outside eating areas if applicable.
10.3.9Lunch-roomsReview
10.4.1 Staff Engaged in Product Handling, Processing and Packaging Operations

Personnel entry to food handling areas

shall be through the personnel access
doors only;
is required;
The wearing of false fingernails, false
eyelashes, eyelash extension, long nails
or fingernail polish is not permitted when
handling food;
Hair restraints are used where product is
exposed;
Packaging material, products, and
from the food handling area on a regular
basis and not left to accumulate; and
Staff shall not eat or taste any products in
the food handling/contact zone, except as
10.4.1.1 noted in element 10.4.1.2.
In circumstances where it is necessary to

undertake sensory evaluations in a
product handling/contact zone, the site
shall implement proper controls and
procedures to ensure:
Food safety is not compromised;

authorized personnel only;
10.4.1.2 sanitized, maintained and stored separate
from processing equipment.

10.4.1.3 floor.
10.4.1.3 floor.
10.4.1 Staff Engaged in Product Handling, Processing and Packaging Operations Review
10.5.1Water Supply

provided for use during food handling
operations and for cleaning the premises

10.5.1.2 equipment.



Where required, hoses, taps, and other
similar sources of possible contamination
are designed to prevent back flow or back
10.5.1.4 siphonage.
When water is stored on site, storage

10.5.1Water Supply Review

materials, if required, for maintaining
potability shall be designed, installed and


Water used in the site as an ingredient or

in cleaning and sanitizing equipment shall
be tested, and if required, treated to
10.5.2.4 maintain potability.
10.5.3Ice Supply
Ice provided for use during product

handling operations or as a processing aid
or an ingredient shall comply with
10.5.3.1 10.5.2.1.

elements 10.2.1. 10.2.2, and 10.2.3, and
elements 10.2.1. 10.2.2, and 10.2.3, and
10.5.4Water Quality
Water shall comply with local, national, or

microbiological and quality standards
when used for:
Washing and treating food;

Hand washing;
Food processing aids such as conveying
product;
Cleaning product contact surfaces and
equipment;
The manufacture of ice; or
10.5.4.1 The manufacture of steam.

Samples for analysis shall be taken at
sources supplying water for the process or
cleaning from within the site. The
frequency of analysis shall be risk-based,
10.5.4.2 and at a minimum annually.

10.5.5Air Quality

10.5.5.1 present no risk to food safety.
Compressed air systems used in product

handling shall be maintained and regularly
monitored for quality and applicable food
10.5.5.2 safety hazards.
10.5.5Air QualityReview
10.6.1Storage and Handling of Product

effective storage plan in place that allows
for the safe, hygienic storage of raw
materials (i.e. frozen, chilled, and
ambient), ingredients, packaging



10.6.1.4 equipment and temporary
are held under containers.or overflow
10.6.1.5
contamination or adverse effect on food
10.6.1.5 safety.
10.6.1.6 products.
10.6.1Storage and Handling of Product Review
10.6.2Cold Storage, Controlled Atmosphere Storage and Chilling of Foods


coolers, controlled atmosphere facilities,
and cool rooms. They shall be designed
and constructed to allow for the hygienic
and efficient refrigeration and storage of
food, easily accessible for inspection and
10.6.2.1 cleaning.
Sufficient refrigeration and controlled

atmosphere capacity shall be available to
chill or store the maximum anticipated
throughput of products with allowance for

10.6.2.3 the
Cooldrainage system.atmosphere rooms
and controlled
shall be fitted with temperature and
atmosphere monitoring equipment and
located to monitor the warmest part of the
room and be fitted with measurement
devices that are easily readable and
10.6.2.4 accessible.

designed to protect products during
designed to protect products during
10.6.2Cold Storage, Controlled Atmosphere Storage and Chilling of Foods Review
10.6.3Storage of Dry Ingredient, Packaging and Shelf Stable Packaged Goods

products from contamination and

processing zones or in cool storage rooms
10.6.3Storage of Dry Ingredient, Packaging and Shelf Stable Packaged Goods Review

Section Details


continuous sanitizing of water, as an
operational aid, for emergency cleaning of
equipment or surfaces in product contact
zones, may be stored within or in close
proximity to a product handling or
packaging area provided that access to
10.6.4.3 authorized
Pesticides, personnel.
rodenticides, fumigants and
temporary containers if allowed by
chemicals;
area;
substances;
storage area;

transport and unloading of food shall be
and product integrity. Products shall be
10.6.5.1 contamination or product damage.
10.6.6Loading
Section Details
used for transporting products shall be

maintaining product and package integrity
10.6.6.2 during loading and transport.

10.6.6Loading Review
10.6.7Transport
Section Details
Refrigerated units shall maintain the Initial Respons Evidence
product at required temperatures and the
core product temperatures recorded at
regular intervals during loading as

at all times and the unit's operation, the
door seals and the storage temperature
10.6.7.2 checked at regular intervals during transit.
10.6.8Unloading

refrigeration unit's storage temperature
settings and operating temperature shall
be checked and recorded. Unloading shall
be completed efficiently and product

products to conditions detrimental to
10.6.8.2 integrity.
10.7.1 Process Flow
Section Details
The process flow shall be designed to Initial Respons Evidence
product through the product handling and
packaging area. The flow of personnel
shall be managed such that the potential
10.7.1.1 for contamination is minimized.

Section Details
Dry ingredients and packaging shall be Initial Respons Evidence
received and stored separately from field
product or chilled materials to ensure
Unprocessed field product shall be
10.7.2Receipt of Raw and Packaging Materials and IngredientsReview


products shall be documented,
10.7.3.1 staff.


10.7.3.3 location.
10.7.3.4 food handling/contact zones.

Wooden pallets, wooden field bins, and
other wooden utensils used in food
handling/contact zones shall be dedicated
for that purpose. Their condition is subject
to regular inspection and shall be clean
10.7.3.7 and maintained in good order.
product handling and packaging
operations shall be controlled, kept clean
and well maintained. Snap-off blades shall
not be used in manufacturing or storage
10.7.3.8 areas.

defective products and indicate when it is
10.7.4.2 rejected.
removed by them and include any
corrective actions resulting from these


contamination, the affected batch or item
10.7.5.1 disposed.


basis and not build up in product handling
basis and not build up in product handling
condition, cleaned and sanitized regularly
so as not to attract pests and other
10.8.1.3 vermin.

disposal of all solid operational waste
10.8.1.4 used
Where packaging.
applicable, a documented
10.8.1.5 compliance.

cause a risk to the animals or further
10.8.1.6 processing.

be stored in a separate storage facility and
suitably insect proofed and contained so
10.8.1.7 as not to of
disposal present a hazard.
all liquid waste from food
handling areas. Liquid waste shall be
either removed from the food handling
environment continuously or held in a
designated storage area in lidded
containers prior to disposal so as not to

management shall form part of daily

10.9.1.1 reviewed.




10.9.1.5 sealed.



11.1.1Premises Location and Approval Review
11.2.1Materials and Surfaces

Section Details
Product contact surfaces and those Initial Respons Evidence
surfaces not in direct contact with food in
food handling areas, raw material storage,
packaging material storage, and cold
storage areas shall be constructed of
11.2.1Materials and Surfaces Review







11.2.3.1 clean (refer to 11.2.13.1).

11.2.3.2 debris.
11.2.3.3 cleaning.



11.2.3.7 utilities.
11.2.3Walls, Partitions, Doors and CeilingsReview

Section Details
Stairs, catwalks and platforms in food Initial Respons Evidence
exposed food product surfaces. They shall
11.2.4.1 be kept clean (refer to 11.2.13.1).
11.2.4Stairs, Catwalks and Platforms Review
11.2.5Lightings and Light Fittings


areas and at inspection stations shall be of
11.2.5.2
fitted flush with the ceiling. Where fittings
cannot be recessed, structures must be
protected from accidental breakage,
manufactured from cleanable materials
and addressed in the cleaning and

11.2.5Lightings and Light Fittings Review


11.2.6.1 inspection of the product
The inspection/quality if required.
control area shall

facilities;
removal; and
11.2.7Dust, Insect and Pest Proofing


11.2.7.1 pests.
11.2.7.1 pests.

11.2.7.3 areas.

11.2.7.4 areas.
11.2.7Dust, Insect and Pest Proofing Review
11.2.8Ventilation

enclosed processing and food handling
11.2.8.1 areas.


hood positioned over the cooker(s);
Fans and exhaust vents shall be insect-
11.2.9Equipment, Utensils and Protective Clothing



maintained to meet any applicable
11.2.9.2 contamination threat
Benches, tables, to products.
conveyors, mixers,
mincers, graders and other mechanical
processing equipment shall be hygienically
designed and located for appropriate
cleaning. Equipment surfaces shall be
smooth, impervious and free from cracks
11.2.9.3 or crevices.
Product containers, tubs, and bins used
for edible and inedible material shall be
cleaned as per 11.2.13. Bins used for
11.2.9.4 inedible material shall be clearly identified.
Product containers, tubs, and bins used
for edible and inedible material shall be
cleaned as per 11.2.13. Bins used for
11.2.9.4 inedible material shall be clearly identified.

system, and to meet local regulatory

from material that will not contaminate
11.2.9.6 food and is easily cleaned.
11.2.9Equipment, Utensils and Protective Clothing Review

Section Details
The methods and responsibility for the Initial Respons Evidence




food processing, handling or storage area

11.2.10.4 11.3.1, 11.3.2, 11.3.3, 11.3.4).

11.2.10.5 at allsupervisors
Site times, until shall
their work is completed.
be notified when
storage area.ite supervisors shall be
notified when maintenance or repairs are
to be undertaken in any processing,
11.2.10.6 handling or storage area.



11.2.10.10 minimize the contamination of the product.

11.2.11Calibration

requisite programs and food safety plans,
requisite programs and food safety plans,


11.2.11.3 damage
shall adjustment.

11.2.11.5 schedule.

Section Details
The methods and responsibility for pest Initial Respons Evidence
Identified pest activity shall not present a

risk of contamination to food products, raw
11.2.12.2 materials or packaging.
Food products, raw materials or packaging
program;
problems;
set;
available);
and
11.2.12.4 pests.


11.2.12.7 surfaces.
relevant authority;
and
11.2.12.8 applied.
and ensure that:

reused;
11.2.12.9
reused;
and

cleaning of the food handling and
to:
sanitizers, and


other utensils and for cleaning of
protective clothing used by staff. These
cleaning operations shall be controlled so
as not to interfere with manufacturing
operations, equipment or product. Racks
and containers for storing cleaned utensils
11.2.13.3 shall be provided
Cleaning in place as required.
(CIP) systems where
contamination risk to raw materials,
ingredients or product. CIP parameters
critical to assuring effective cleaning shall
be defined, monitored and recorded (e.g.,
chemical and concentration used, contact
time and temperature). CIP equipment
including spray balls shall be maintained
and modifications to CIP equipment shall
be validated. Personnel engaged in CIP
11.2.13.4 activities shall be effectively trained.




for use in a food manufacturing

approved for use;
and
for use in a food manufacturing

approved for use;
and
according to manufacturers’ instructions,

labeled before use;

11.2.13Cleaning and SanitationReview
11.3.1 Personnel
Section Details
Personnel who are carriers or are known Initial Respons Evidence
to have been carriers of infectious
diseases that present a health risk to
others through the packing or storage
11.3.1.1
others through the packing or storage
processes shall not engage in the
processing or packing of food or enter
11.3.1.1 storage areas
In the event of where food
an injury is exposed.
which causes

lesions shall not engage in handling or
processing products or handling primary
packaging materials or food contact
surfaces. Minor cuts or abrasions on
exposed parts of the body shall be


11.3.2 Hand Washing


11.3.2.1 required.


temperature;

temperature;
dispenser;
dispenser; and
The following additional facilities shall be

provided in high risk areas:
Hands free operated taps; and



areas;

11.3.3Clothing


food shall be maintained, stored,
Clothing, including shoes, shall be clean at

the commencement of each shift and

changed or replaced where they present a
11.3.3.4 product contamination risk.
damaged.
Non-disposable aprons and gloves shall

be cleaned and sanitized as required and
when not in use stored on racks provided
in the processing area or designated
sealed containers in personnel lockers
and not on packaging, ingredients, product
or equipment.
11.3.3.5


be worn or taken into a food handling or
be worn or taken into a food handling or
11.3.5Visitors




before entering any food processing or
times in food processing, handling and

11.3.6.1 product.
11.3.6Staff AmenitiesReview
11.3.7Change Rooms


engaged in the processing of high risk
foods or processing operations in which
11.3.7.2 clothing can be soiled.

separate from food contact zones and
11.3.7.3 food and packaging storage areas.

11.3.8Laundry

and storage of clothing worn by staff
engaged in high risk processes and for
staff engaged in processing operations in
11.3.8.1 which clothing can be heavily soiled.
11.3.8Laundry Review

adjoining room;
number of staff;
and

sewerage system in accordance in

11.3.10Lunch-rooms

provided away from a food

at one sitting;
beverages if required; and
11.3.10.2 and pests.
11.3.10.3 pests to the site.
in lunch-rooms, at lunch-room exits and in
11.3.10.4 outside eating areas if applicable.
11.3.10Lunch-rooms Review
11.4.1 Staff Engaged in Food Handling and Processing Operations

Section Details
following processing practices: Initial Respons Evidence

only;
is required;
basis and not left to accumulate;
being processed in the food
handling/contact zone, except as noted in
element 11.4.1.2;
The wearing of false fingernails, false
eyelashes, eyelash extensions, long nails
or fingernail polish is not permitted when
handling exposed food; and
Hair restraints are used where product is
11.4.1.1 exposed.
handling/contact zone the site shall
implement proper controls and procedures
to ensure:
Food safety is not compromised;

authorized personnel only;
sanitized, maintained and stored separate
11.4.1.2 from processing equipment.

11.4.1.3 floor.
11.4.1 Staff Engaged in Food Handling and Processing Operations Review
11.5.1Water Supply


11.5.1.2 equipment.




11.5.1Water Supply Review

materials, if required, shall be designed,
installed and operated to ensure water
11.5.2.1 receives an effective treatment.
materials, if required, shall be designed,
installed and operated to ensure water
11.5.2.1 receives an effective treatment.


Water used in as an ingredient in

processing, or in cleaning and sanitizing
equipment, shall be tested, and if required,
treated to maintain potability (refer to
11.5.2.4 11.5.2.1).
11.5.3Ice Supply
Ice provided for use during processing

operations or as a processing aid or an
11.5.3.1 ingredient shall comply with 11.5.4.1.
elements 11.2.1, 11.2.2 and
11.2.3 and designed to minimize
contamination of the ice during storage
11.5.3.2 and distribution.
11.5.4Water Quality

washing, thawing and treating food;

handwashing
to convey food;
as an ingredient or food processing aid;
cleaning food contact surfaces and
equipment;
into contact with food or used to heat
11.5.4.1 water that will come in contact with food.

cleaning, or from within the site. The

11.5.4 Water Quality Review
11.5.5The Quality of Air and Other Gases

Compressed air or other gases (e.g.

food or food contact surfaces shall be
11.5.5.1 clean and present
Compressed no risk to
air systems, andfood safety.
systems
11.5.5.2
11.5.5The Quality of Air and Other Gases Review
11.6.1 Storage and Handling of Goods

safe, hygienic storage of raw materials
(i.e. frozen, chilled, and ambient),




11.6.1.5 safety.
11.6.1.6 products.
11.6.1.6 products.
11.6.1 Storage and Handling of Goods Review
11.6.2Cold Storage, Freezing and Chilling of Foods





designed to protect the product during
11.6.2Cold Storage, Freezing and Chilling of Foods Review
11.6.3Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods

11.6.3Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods Review

Section Details

11.6.4.2 substances.
of food processing equipment or surfaces
in food contact zones, may be stored
area provided that access to the chemical
storage facility is restricted to authorized
11.6.4.3 personnel.
of food processing equipment or surfaces
in food contact zones, may be stored
area provided that access to the chemical
storage facility is restricted to authorized
11.6.4.3 personnel.
secondary containers if allowed by

chemicals;
area;
substances;
storage area;

Section Details
transport and unloading of food shall be Initial Respons Evidence
and product integrity. Foods shall be
11.6.5.1
11.6.6Loading

used for transporting food shall be

11.6.6.2 integrity during loading and transport.

11.6.6Loading Review
11.6.7Transport
Refrigerated units shall maintain the food
at required temperatures and the unit’s
temperature settings shall be set, checked
and recorded before loading and product
temperatures recorded at regular intervals
11.6.7.1 during loading as appropriate.
unit’s operation, the
door seals and the storage temperature at
11.6.7.2 regular intervals during transit.
11.6.8Unloading

refrigeration unit’s storage temperature
settings and operating temperature shall
be checked and recorded. Unloading shall
be completed efficiently and product

11.6.8.2 integrity.
11.7.1Process Flow
11.7.1Process Flow Review
11.7.2 Receipt of Raw and Packaging Materials and Ingredients
Section Details
Dry ingredients and packaging shall be Initial Respons Evidence
11.7.2 Receipt of Raw and Packaging Materials and Ingredients Review
11.7.3Thawing of Food
Thawing of food shall be undertaken in

equipment and rooms appropriate for the
11.7.3.1 purpose.

thaw food under controlled conditions at a
rate and temperature that does not

product so that there is no risk to the
11.7.3.4 product.
11.7.3Thawing of Food Review
11.7.4High risk Processes
The processing of high risk food shall be

conducted under controlled conditions
such that sensitive areas in which high risk
food has undergone a “kill” step, a “food
safety intervention” or is subject to post
process handling, are

11.7.4.2 dedicated to that function.
Staff access points shall be located,

designed and equipped to enable staff to
don distinctive protective clothing and to
11.7.4.3 hygiene to prevent product contamination.

change into clean clothing or temporary
protective outerwear when entering high
11.7.4.4 risk areas.
Product transfer points shall be located

and designed so as not to compromise
high risk segregation and to minimize the
11.7.4.5 risk of cross-contamination.
11.7.4High risk Processes Review


11.7.5.1 staff.
11.7.5.1 staff.


11.7.5.3 location.



be dedicated for that purpose, clean,
shall be subject to regular
inspection.11.7.5.8 Loose metal objects
on equipment, equipment covers and
overhead structures shall be removed or
11.7.5.7 tightly fixed so as not to present a hazard.
shall be subject to regular
inspection.11.7.5.8 Loose metal objects
on equipment, equipment covers and
overhead structures shall be removed or
11.7.5.7 tightly fixed so as not to present a hazard.


11.7.6.2 rejected.


11.7.7.1 disposed.
11.7.7.1 disposed.

11.8.1 Location
On site laboratories conducting chemical
located separate from any food processing
or handling activity and designed to limit
food waste. Laboratory wastewater outlet
drains that service food processing and

11.8.1 Location Review
11.9.1 Dry and Liquid Waste Disposal


basis and not build up in food handling or
processing areas. Designated waste
a clean and tidy condition until external
11.9.1.2 waste collection is undertaken.
condition, cleaned and sanitized regularly
11.9.1.3 vermin.

11.9.1.4 used
Where packaging.
applicable, a documented
11.9.1.5 compliance.

cause a risk to the animal or to further
11.9.1.6 processing.

be stored in a separate storage facility and
suitably insect proofed and contained so
11.9.1.7 as not to present a hazard.

11.9.1.8 not to present a hazard

11.9.1 Dry and Liquid Waste Disposal Review


11.10.1.1 reviewed.

dust and kept free of waste, accumulated
debris or standing water so as not to
11.10.1.2 attract pests and vermin.

Paths, roadways, loading and unloading

areas shall be adequately drained to
prevent ponding of water. Drains shall be
separate from the site drainage system
11.10.1.4 and regularly cleared of debris.

11.10.1.6 sealed.
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NAME: DATE:
Senior site management will prepare and

implement a policy statement that outlines:

food
customer and regulatory requirements
Safety Policy review food safety objectives

by all staff; and
2.1.1.2 Food iii. Displayed in a prominent position and
Safety Policy effectively communicated to all staff
2.1.2 Management Responsibility (Mandatory)




i. Oversee the development,

in 2.4.3;
ii. Take appropriate action to ensure the
iii. Communicate to relevant personnel all
Responsibility The
of theSQF
SQF practitioner
System. shall:
i. Be employed by the distribution or
storage site as a company employee on a
full-time basis;
ii. Hold a position of responsibility in
relation to the management of the
distribution or storage site 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 for Storage and
2.1.2.5 Distribution and the requirements to
Management implement and maintain SQF System
Responsibility relevant to the site’s scope of certification.




the integrity and continued operation of
the food safety system in the event of
2.1.2.10 organizational or personnel changes
Management within the farm/company or associated
Responsibility locations.

prevent unannounced re-certification
2.1.3 Management Review

The senior site management shall be

Reviews shall include:
i. The policy manual;

ii. Internal and external audit findings;
iii. Corrective actions and their
investigations and resolution;
iv. Customer complaints and their
resolution and investigation;
v. Hazard and risk management system;
2.1.3.1 and
Management vi. Follow-up action items from previous
Review management review.

Review annually.
Food Safety Plans, Good Storage and

Distribution Practices and other aspects of
the SQF system shall be reviewed and
2.1.3.3 updated as needed when any potential
Management changes implemented have an impact on
Review the site's ability to deliver safe food.
2.1.3.4
2.1.3.4

resolution of complaints from customers
2.1.4.1 and authorities, arising from products
Complaint handled on site, shall be documented and


2.1.4.4


the understanding of known food safety
potential threats (e.g. flood, drought, fire,
tsunami, or other severe weather events)
that can impact the site’s ability to deliver
safe food, shall be documented by senior
2.1.5.1 Crisis management outlining the methods and
Management responsibility that the site shall implement
the understanding of known food safety
potential threats (e.g. flood, drought, fire,
tsunami, or other severe weather events)
that can impact the site’s ability to deliver
safe food, shall be documented by senior
2.1.5.1 Crisis management outlining the methods and
Management The responsibility that the site
crisis management shall
plan implement
shall include
Planning to cope
as with such a business crisis.
a minimum:
i. A senior manager responsible for

decision making, oversight and initiating
actions arising from a crisis management
incident;
ii. The nomination and training of a crisis
management team;
iii. The controls implemented to ensure a
response does not compromise product
safety;
iv. The measures to isolate and identify
product affected by a response to a crisis;
v. The measures taken to verify the
acceptability of food prior to release;
vi. The preparation and maintenance of a
current crisis alert contact list, including
supply chain customers;
vii. Sources of legal and expert advice;
and
viii. The responsibility for internal
2.1.5.2 Crisis communications and communicating with
Management authorities, external organizations and
Planning media.
2.1.5.3 Crisis The crisis management plan shall be

Management reviewed, tested and verified at least
Planning annually.


be documented and maintained in either
electronic and/or hard copy form. It shall
outline the methods the organization will
use to meet the requirements of the SQF
Food Safety Code, be made available to
relevant staff and include:
i. A summary of the organization’s food

be documented and maintained in either
outline the methods the organization will
use to meet the requirements of the SQF
Food Safety Code, be made available to
relevant staff and include:
i. A summary of the organization’s food

safety policies and the methods it will
apply to meet the requirements of this
standard;
ii. The food safety policy statement and
organization chart;
iii. The scope of the certification;
iv. A list of the products covered under the
scope of certification;
2.2.1.1 Food v. Food safety procedures, pre-requisite
Safety programs, food safety plans; and
Management vi. Other documentation necessary to
System support the development and the
implementation, maintenance and control
of the SQF System.





2.3.1 Product Handling and Storage Requirements

Product handling and storage

requirements for all products received,
stored and intended for distribution, shall
be documented, current, approved by the
2.3.1.1 distributor and their customer (if
Product applicable), accessible to relevant staff
Development and include temperature requirements,
and storage conditions, and handling and
Realization transportation conditions.
2.3.1 Product Handling and Storage Requirements Review
2.3.2 Incoming Supplies

Product descriptions for all incoming

supplies used by the site but not intended
for distribution, including, but not limited to
hazardous chemicals, ice, food packaging
2.3.2.1 materials or janitorial supplies that are
Incoming used on site and impact on product safety
Supplies shall be documented and kept current.
2.3.2.2
Incoming All incoming materials and ingredients
Supplies shall comply with the relevant legislation.

Incoming developing and approving product
Supplies descriptions shall be documented.
2.3.2 Incoming Supplies Review

Specifications for contract services that

have an impact on product safety shall be
2.3.3.1 documented, current, include a full
Contract description of the service to be provided
Service and detail relevant training requirements
Providers of contract personnel.

2.3.4.1 safety, customers product requirements
Contract and its realization and delivery are
Manufacturer specified and agreed shall be documented
s and implemented.
The site shall:
i. Ensure changes to contractual

2.3.4.2 and communicated to relevant personnel;
Contract ii. Verify compliance with the SQF Code
Manufacturer and that all customer requirements are
s being met at all times.
The site shall:
i. Ensure changes to contractual

2.3.4.2 and communicated to relevant personnel;
Contract ii. Verify compliance with the SQF Code
Manufacturer and that all customer requirements are
s being met at all times.
2.3.4 Contract Manufactuers Review

The site ensures that the food delivered to

the customer is handled in a manner that
2.4.1.1 Food complies with the relevant legislation in
Legislation the country of its origin and destination.
scientific and technical developments and
2.4.1.2 Food relevant industry codes of practice shall be
Legislation documented and implemented.
The SQFI and the certification body shall

be notified in writing within twenty-four
(24) hours upon identification of a food
safety event that requires public
notification (e.g. receipt of a regulatory
2.4.1.3 Food warning letter). Notification to SQFI shall
Legislation be by email to foodsafetycrisis@sqfi.com.
2.4.2 Good Storage and Distribution Practices (Mandatory)

The site shall ensure the Good Distribution

Practices described in Module 12 of this
Code are applied, or exempted according
to a risk analysis outlining the justification
2.4.2.1 Good for exclusion or evidence of the
Storage and effectiveness of alternative control
Distribution measures to ensure that food safety is not
Practices compromised.
The site shall ensure the Good Distribution
Practices described in Module 12 of this
Code are applied, or exempted according
to a risk analysis outlining the justification
2.4.2.1 Good for exclusion or evidence of the
Storage and effectiveness of alternative control
Distribution measures to ensure that food safety is not
Practices compromised.
Those Good Distribution Practices

2.4.2.2 Good applicable to the scope of certification that
Storage and outline how food safety is
Distribution controlled and assured shall be
Practices documented and implemented.
2.4.2 Good Storage and Distribution Practices Review

A food safety plan or HACCP based plan

shall be prepared in accordance with the
twelve steps identified in the Codex
2.4.3.1 guidelines.
implemented and maintained and outline
the means by which the site controls and
SQF Practitioner and those site personnel
with technical, storage and distribution,
and engineering knowledge of the relevant
from other sources to assist the food
2.4.3.3 safety team.

under consideration and all relevant inputs
2.4.3.4 and outputs.
Product requirements shall be developed
and documented for all products (or
groups of products) included in the scope
groups of products) included in the scope
of the food safety plans. This shall
reference the product descriptions (refer
to 2.3.2.1) plus any additional information
relevant to product safety, such as
temperature for storage, how the product
is packaged, allergen requirements, raw or
2.4.3.5 cooked, etc.

process, all raw material, packaging
material, and service inputs (e.g. water,
steam, gasses as appropriate), scheduled
process delays, and all process outputs
including waste and rework and
rework/recoup. Each flow diagram shall be
confirmed by the food safety team during
2.4.3.7 all stages and hours of operation.

step in the processes, including food
2.4.3.8 products
The food received andshall
safety team stored.
conduct a
hazard analysis for every identified
significant. The methodology for
determining hazard significance shall be
documented and used consistently to
2.4.3.9 assess all potential hazards.

acceptable level (CCP). In instances
where a significant hazard has been
identified at a step in the process, but no
control measure exists, the food safety
team shall modify the process to include
2.4.3.11 an appropriate control measure.
level of control of the identified food safety
hazard(s); and that all critical limits and
combination effectively provide the level of
2.4.3.12 control
safety team to 2.5.2.1).
develop and
assigned to conduct testing, the sampling
2.4.3.13 and test methods,
document deviationand the test frequency.
procedures that
2.4.3.14 failure.
The documented and approved food
safety plan(s) shall be implemented in full.
process, equipment, inputs or other
2.4.3.15 changes affecting product safety occur.

verified as part of SQF system verification
2.4.3.16 (refer
Wheretofood
2.5).safety regulations in the
2.4.3.17
both Codex and food regulatory
2.4.4 Approved Suppliers (Mandatory)

Incoming goods (identified in 2.3.1 and

2.3.2) that may have an impact on product
safety shall be supplied by an approved
2.4.4.1 supplier.
Incoming goods received from non-

approved supplier shall be acceptable in
an emergency situation provided they are
2.4.4.2 inspected or analyzed before use.
The responsibility for selecting, evaluating,

approving and monitoring an approved
supplier shall be documented and
The site's food defense plan (refer 2.7.1.1)

shall include measures to secure incoming
materials and ingredients and protect
them from deliberate acts of sabotage or
2.4.4.4 terrorist-like incidents.
Incoming goods and packaging materials
received from other sites under the same
corporate ownership, shall be subject to
the same product requirements and
approved supplier requirements as all
2.4.4.5 other material providers.
2.4.4 Approved Suppliers Review

Section Details
The responsibility and methods outlining Initial Response Evidence
shall ensure:

inadvertent use, improper use or delivery,
or risk to the integrity of finished product;
improper use or risk to the integrity of
finished product; and
All relevant staff is aware of the
organization’s quarantine and release
requirements applicable to equipment or
2.4.5.1 product placed under quarantine status.
Quarantine records, and records of the

handling, corrective action, or disposal of
non-conforming product or equipment
2.4.6 Product Recoup


how the product is recouped shall be
Recouping operations are conducted by

2.4.6.1 Recouped product is traceable.
2.4.6 Product Recoup Review

releasing products shall be documented
shall ensure the product is released by
Records of all product release shall be

2.4.7.2 maintained.

Not Applicable for Storage and Distribution

Good Distribution Practices are confirmed

to ensure they achieve the required result;
effective; and
2.5.1.1 Program are implemented and effective
Good Distribution Practices are confirmed

to ensure they achieve the required result;
effective; and
2.5.1.1 Program are implemented and effective
Records of all validation activities shall be

2.5.1.2 maintained.


completion and the person responsible for
each activity shall be prepared and
verifying monitoring of Good Distribution
Practices, critical control points and other
food safety controls, and the legality of
certified products, shall be documented
shall ensure that personnel with
responsibility for verifying monitoring
2.5.2.2 activities authorize each verified record.

including the identification of the root
cause and resolution of non-compliance of
critical food safety limits, and deviations
from food safety requirements, shall be

of non-conformities including their
corrections and corrective action shall be
2.5.3.2 maintained.

Not applicable for Storage and Distribution



Distribution are audited as per the SQF
audit checklist or similar tool;

Distribution are audited as per the SQF
audit checklist or similar tool;
2.5.5.1 corrective
trained andactions; and in internal audit
competent
2.5.5.2 procedures.
out to verify Good Distribution Practices
for Storage and Distribution. The site shall:

preventative action; and
Maintain records of inspections and any
2.5.5.3 corrective action taken.
Where practical staff conducting internal

audits shall be independent of the function

and any corrections and corrective action
taken as a result of internal audits shall be
2.5.5.5 maintained.


identifying products during all stages of
storage shall be documented and
implemented. The product identification
system shall be implemented to ensure:
proper stock rotation;

2.6.1.1 accurate location of product.
identifying products during all stages of
storage shall be documented and
implemented. The product identification
system shall be implemented to ensure:
proper stock rotation;

2.6.1.1 accurate location of product.

Section Details
trace product shall be documented and Initial Response Evidence

recouped; and
Records of product receipt and use, and

product dispatch and destination shall be
2.6.2.2 maintained.

procedure shall:

Describe the procedures to be
implemented by site management,
including sources of legal, regulatory and
expert advice;
SQFI, the certification body, and the
public nature, or product recall for any
2.6.3.1 reason.

determine the root cause of a withdrawal
or recall and details of investigations and
2.6.3.2 any action taken shall be documented.

2.6.3.3 effective at least annually.

notified in writing within 24 hours upon
identification of a food safety event that
requires public notification. SQFI shall be
2.6.3.4 notified at foodsafetycrisis@sqfi.com.
Records of all product withdrawals, recalls

2.6.3.5 and mock recalls shall be maintained.


operational equipment, vehicles, and
points;
chemicals;
The measures implemented to ensure
products and materials are held under
secure storage and transportation
conditions; and
control access to the premises by
2.7.1.2 employees, contractors, and visitors.

2.7.1.3 and challenged at least annually.
Records of reviews of the food defense

2.7.2 Food Fraud


mislabeling, dilution and counterfeiting
2.7.2.1 which may adversely impact food safety.
mislabeling, dilution and counterfeiting
2.7.2.1 which may adversely impact food safety.

identified food fraud vulnerabilities shall be
2.7.2.2 controlled.

vulnerability assessment and mitigation
2.8.1 Allergen Management (Mandatory)


control allergens and to prevent sources of
allergen management controls shall
include the identification and handling of
compromised product to prevent
2.8.1.1 inadvertent cross contact.
2.8.1 Allergen Management Review

Section Details
The responsibility for establishing and Initial Response Evidence
organization’s personnel to ensure they
legality, and safety shall be defined and
2.9.1.1 documented.


Developing and applying Good Distribution

Practices (GDPs);
and
2.9.3 Instructions
Instructions shall be available explaining

safety and process efficiency are to be
2.9.3.1 performed.
HACCP training shall be provided for staff

involved in developing and maintaining
2.9.4.1 food safety plans.
2.9.5 Language

training shall be provided in language
2.9.5.1 understood by staff.


provision for identifying and implementing
the refresher training needs of the
2.9.6.1 organization.


Participant name;
Skills description;
Participant name;
Skills description;
Supervisor’s verification the training was
completed and that the trainee is
12.1.1 Premises Location and Approval




In warehouses where food products are

recouped or exposed, product contact
surfaces shall be constructed of materials
12.2.1.1 that will not contribute a food safety risk.


present a hazard. Drains if located in
storage and handling areas, shall be
12.2.2.2 maintained in a clean manner.

from any food handling or storage area or
12.2.3 Walls, Partitions, Doors and Ceilings


surfaces shall be smooth and impervious,
and shall be kept clean (refer to
12.2.3.1 12.2.11.1).
Wall to wall and wall to floor junctions shall

be designed to be easily cleaned and
12.2.3.2 debris.
Doors shall be of solid construction; and

windows shall be made of shatterproof
12.2.3.3 glass or similar material.
Drop ceilings shall be additionally
12.2.3 Walls, Partitions, Doors and Ceilings Review

Lighting in warehouses where food

product is recouped or exposed shall be of
Light fittings in areas where food product
is recouped or exposed shall be
12.2.4.2 fitted flush with the ceiling.
Light fittings in other areas where product

is protected shall be designed such as to
prevent breakage and product
12.2.5 Dust, Insect and Pest Proofing


12.2.5.1 pests.
Personnel access doors shall be provided.

They shall be effectively insect-proofed
and fitted with a self- closing device and
proper seals to protect against entry of
12.2.5.2 dust, vermin and other pests.
They shall be effectively insect-proofed
and fitted with a self- closing device and
proper seals to protect against entry of
12.2.5.2 dust, vermin and other pests.

product, packaging, containers or
equipment. Poison rodenticide bait shall
12.2.5.4 not be used inside food storage areas.
12.2.5 Dust, Insect and Pest Proofing Review
12.2.6 Ventilation

12.2.6.1 enclosed storage and food handling areas.

12.2.6.2 be adequately cleaned as per 12.2.11.


Protective clothing in areas where food

product is recouped or exposed shall be
manufactured from material that is not
liable to contaminate food and easily
12.2.7.2 cleaned.
In areas where food product is recouped

or exposed, racks shall be provided for the
temporary storage of protective clothing
when staff leaves the processing area and
shall be provided in close proximity or
adjacent to the personnel access
12.2.7.3 doorways and hand washing facilities.

Section Details
Routine maintenance of site and
equipment in any food storage area shall

12.2.8.2 maintenance of product safety.
Failures of site and equipment in any

storage area shall be documented,
reviewed and their repair incorporated into
12.2.8.3 the maintenance control schedule.

12.2.8.4 12.3.1, 12.3.2, 12.3.3, 12.3.4).
12.2.8.4 12.3.1, 12.3.2, 12.3.3, 12.3.4).
hygiene procedures and shall be
assessed in their understanding before
12.2.8.5 entering into any food storage areas.
Facility supervisors shall be notified when

undertaken in any food processing,
12.2.8.6 handling or storage area.
The maintenance supervisor and the

facility supervisor shall be informed if any
repairs or maintenance pose a potential
threat to product safety (i.e. pieces of
electrical wire, damaged light fittings, and
loose overhead fittings). When possible,
12.2.8.7 operating times.
not pose a food safety risk. They shall
exclude the use of fasteners such are wire
or tape, are clearly identified and dated
and included on cleaning programs. There
ensure temporary repairs do not become
12.2.8.8 permanent solutions.


zone shall be suitable for use and in good
12.2.8.10 product contact surface
12.2.9 Calibration

requisite program, food safety plans and
other process controls, or to demonstrate
compliance with customer specifications
Software used for such activities shall be
12.2.9.1 validated as appropriate.


12.2.9.3 damage
shall adjustment.
standards are not available, the supplier
shall provide evidence to support the
12.2.9.4 calibration reference method applied.

12.2.9.5 schedule.


Section Details
The methods and responsibility for pest Initial Response Evidence

12.2.10.2 products or packaging.
Food products or packaging that is found

to be contaminated by pest activity shall
be effectively disposed of, and the source
of pest infestation investigated and
12.2.10.3 resolved.
problems;
12.2.10.4
set;
available);
and
12.2.10.4 pests.


12.2.10.7 surfaces.
Pest control contractors shall be:

relevant authority;
(refer to 2.3.3) which will include and
maintain a site map indicating the location
of bait stations and traps and other
applicable pest control/monitoring devices;
and
12.2.10.8 applied.
and ensure that:

reused;
and

Section Details
cleaning of the food handling and storage

12.2.11.3 be prepared.and sanitizers that are used to
Detergents
clean, sanitize and maintain the facility
shall be purchased in accordance with
applicable legislation. The organization
shall ensure:

approved for use within the site;
and used for cleaning and sanitation
purposes shall be maintained;
Detergents and chemicals are stored as
outlined in 12.6.5;
12.2.11.4 detergents;
according to manufacturers’ instructions,

labeled before use;
A record of hygiene inspections, cleaning

and sanitation activities, and verification
12.3.1 Personnel
Section Details
diseases or are carriers of, any infectious Initial Response Evidence
disease are not permitted to work in the
distribution center or in the transportation
of food, and shall not engage in food
handling operations, or be permitted
access to storage areas where the product
12.3.1.1 is exposed.
any other means.

spillage of bodily fluid, properly trained
12.3.1.2 quarantined andexposed
Personnel with disposed of. sores or
cuts,
exposed product or food contact surfaces.
of the body shall be covered with
protective bandage, or an alternative
12.3.1.3 suitable dressing.
not permitted in any food handling or
storage areas where the product is
exposed. Drinking is permissible under
12.3.1.4 other food safety risks from occurring.
12.3.2 Hand Washing

Hand wash basins shall be available and

12.3.2.1 accessible as required.
Hand wash basins shall be available and
12.3.2.1 accessible as required.
material and as a minimum supplied with a
potable water supply at an appropriate
temperature, supplied with liquid soap
contained within a fixed dispenser, with
paper towels with a means of containing
used paper towels. An effective hand
dryer may be used in instances where
there is no direct hand contact of food or
12.3.2.2 food contact surfaces.


12.3.3 Clothing
Clothing worn by staff shall be maintained,

stored, laundered and worn so as not to
12.3.3.1 present a contamination risk to product.

food shall be maintained, stored,
Section Details
Jewelry and other loose objects shall not Initial Response Evidence
be worn or taken into any area where
exposed food is recouped. The wearing of
wedding rings and medical alert bracelets
(plain bands with no stones) that cannot
be removed can be permitted, however
the site will need to consider their
12.3.5 Visitors

12.3.5.1 food handling area.
All visitors shall be required to follow the

12.3.5.2 GDPs outlined by the site.

12.3.5.3 which food is handled or exposed.

12.3.5.4 and personal practice requirements.
Facility shall have a policy for how drivers

are managed and designated driver areas
are maintained to prevent contamination
12.3.5.5 or other food safety risks.


12.3.6.1 engaged in the handling of product.
12.3.7 Changing Rooms


Provisions shall be made for staff to store

their personal items separate from food
contact zones and food and packaging
12.3.7 Changing Rooms Review
12.3.8 Sanitary Facilities


food handling operations;
Accessed from the warehouse or product
handling area via an airlock vented to the
12.3.8.1
handling area via an airlock vented to the
exterior or through an adjoining room;
number of staff;
12.3.8.1 Kept clean
Sanitary and tidy.
drainage shall not be connected
sewerage system. Procedure shall be
documented and implemented to properly
manage sewage back-ups in order to
12.3.8.2 minimize the potential for contamination.

12.3.9 Lunch Rooms

Separate lunch room facilities shall be

provided away from a food handling or
storage areas. Lunch rooms shall be kept
clean and tidy and free from waste
12.3.9.1 materials and pests.
Signage in appropriate languages advising

people to wash their hands before
entering the food storage areas shall be
provided in a prominent position in lunch
12.3.9.2 rooms and at lunch room exits.
12.3.9 Lunch Rooms Review
12.4.1 Staff Engaged in Food Handling and Repack/Recoup Operations

Personnel entry to food handling areas
shall be through the personnel access
doors only;
when access for waste removal or stock
transfer;
The wearing of false fingernails or
handling food;
Materials and products shall be kept in
appropriate containers as required and off
the floor;
from the operational area on a regular
Staff shall not eat or taste any product in
12.4.1.1 the food storage or handling area.
All personnel engaged in storage,
transport and handling of packaged
products and materials shall ensure that
products and materials are handled and
stored in such a way as to prevent
12.4.1.2 damage or product contamination.
12.4.1 Staff Engaged in Food Handling and Repack/Recoup Operations Review
12.5.1 Water Supply

Adequate supplies of water drawn from a

known clean source shall be provided for
use during holding or storage and for
Supply of hot and cold water shall be

12.5.1.2 equipment.
12.5.2 Water Quality

ice supply that is in contact with food or
food contact surfaces shall be conducted
to verify the cleanliness of the supply, the
Water and ice, that contacts food or food

contact surfaces, shall be analyzed using
12.5.3 Water Delivery



There is no cross contamination between

12.5.3 Water Delivery Review
12.5.4 Ice Supply


elements 12.2.1, 12.2.2 and 12.2.3 and
elements 12.2.1, 12.2.2 and 12.2.3 and
12.5.4 Ice Supply Review
12.5.5 Analysis
ice supply that is in contact with food or
food contact surfaces shall be conducted
to verify the cleanliness of the supply, the
Water and ice, that is contact with food or

food contact surfaces, shall be analyzed
12.5.5.2 using reference standards and methods.
12.5.5 Analysis Review
12.5.6 The Quality of Air and Other Gases


food or food contact surfaces shall be
12.5.6.1 clean and present no risk to food safety.
used to store or dispense other gasses
used in the storage and distribution
process shall be maintained and regularly
monitored for quality and microbiological
12.5.6.2 purity.
12.5.6 The Quality of Air and Other Gases Review
12.6.1 Storage and Handling of Goods

The site shall implement an effective

storage plan that allows for the safe,
hygienic storage of ice, food products
(frozen, chilled, and ambient), packaging

Procedures are in place to ensure that all

food products, and recouped product, are
12.6.1 Storage and Handling of Goods Review
12.6.2 Cold Storage, Freezing and Chilling of Foods


efficient cold/frozen storage of food, easily

available to store chilled or frozen food at
the maximum anticipated throughput of
product with allowance for periodic
12.6.2.2 cleaning of refrigerated areas.

Cold and chilled storage rooms shall be
fitted with temperature monitoring
equipment and located so as to monitor
the warmest part of the room and be fitted

designed to protect product during loading
12.6.2.5 and unloading.
12.6.2 Cold Storage, Freezing and Chilling of Foods Review
12.6.3 Storage of Shelf Stable Packaged Goods

Rooms used for the storage of dry goods

shall be located away from wet areas and
constructed to protect the product from
12.6.3.1 contamination andconstructed
products shall be deterioration.
of
constructed in a way to prevent food
products from becoming a harborage for
12.6.3.2 pests or vermin.
Vehicles used in storage rooms shall be

designed and operated so as not to
12.6.3.3 present a food safety hazard.
12.6.3 Storage of Shelf Stable Packaged Goods Review
12.6.4 Storage of Equipment and Containers


12.6.4.1 containers.
12.6.4 Storage of Equipment and Containers Review
12.6.5 Storage of Hazardous Chemicals and Toxic Substances


substances that are for use in the site with
the potential for food contamination shall
be stored separate from the distribution
storage area so as not to present a hazard
to staff, product, packaging, product
handling equipment. Hazardous chemicals
or in clearly labeled secondary containers
12.6.5.1 if allowed by applicable legislation.
12.6.5 Storage of Hazardous Chemicals and Toxic Substances Review
12.6.6 Alternative Storage and Handling of Goods

Section Details
are held under temporary or overflow Initial Response Evidence
12.6.6.1 safety and quality.
12.6.6 Alternative Storage and Handling of Goods Review
12.6.7 Loading, Transport and Receiving Practices


12.6.7.1 and product integrity.
12.6.7.1 and product integrity.
Trailers shall be washed in a segregated

area away from the distribution site in a
manner so as to not pose a risk to the
12.6.7.2 products.
Practices shall be in place for loading,

transport and unloading receiving to
protect against the contamination from
12.6.7.3 biological, chemical and physical risks.
Records of compliance activities shall be

12.6.7.4 accessible.
Sites shall have a procedure in place that
is documented and implemented to ensure
trailers are inspected prior to receiving
shipments or loading to ensure that the
trailer is in good repair, clean, secured and
at required environmental conditions and
12.6.7.5 temperatures.
12.6.7 Loading, Transport and Receiving Practices Review
12.6.8 Staging and Loading

Section Details
Vehicles (e.g. trucks/vans/containers) Initial Response Evidence
used for transporting food shall be
Staging and loading practices shall be

designed to minimize unnecessary
exposure of the product to conditions
detrimental to maintaining product
12.6.8.2 integrity.
Food transport vehicle’s refrigeration unit
shall maintain the food at required
temperatures and the unit's temperature
settings shall be set, checked and
12.6.8.3
settings shall be set, checked and
recorded before loading and product
temperatures monitored at regular
12.6.8.3 intervals during loading as appropriate.
12.6.8 Staging and Loading Review
12.6.9 Transport

unit's operation, the door seals and the
storage temperature checked at regular
12.6.9.1 intervals during transit.
12.7.1 Process Flow

prevent cross contamination and
12.7.2 Receiving
Prior to opening the doors the food
transport vehicle’s refrigeration unit
storage temperature settings and
operating temperature shall be checked
and recorded. Receiving shall be
completed efficiently and product
Receiving practices shall be designed to

Receiving practices shall be designed to
12.7.2 Receiving Review
12.7.3 Control of Foreign Matter


food product shall be documented,
12.7.3.1 staff.

be implemented where applicable to
prevent glass contamination:
All glass objects or similar material used

by the site in storage and handling areas
shall be listed in a glass register including
details of their location.
(except where product is contained in
food processing/contact zones.
Product that is in glass or similar material
that is for distribution purposes shall be
stored in a manner that prevents
contamination.
Conduct regular inspections of storage
and handling areas to ensure they are free
of glass or other like material and to
establish no changes to the condition of
the objects listed in the glass register.
Glass instrument dial covers on equipment
and MIG thermometers shall be inspected
12.7.3.3 at regular intervals.
Wooden pallets used in food storage shall

maintained in good order and their
12.7.3.4 condition subject to regular inspection.
Wooden pallets used in food storage shall
maintained in good order and their
12.7.3.4 condition subject to regular inspection.

structures shall be removed or tightly
12.7.3.5 affixed so as not to present a hazard.
12.7.3 Control of Foreign Matter Review
12.7.4 Managing Foreign Matter Contamination Incidents


contamination the affected food product
12.7.4.2 suitably responsible person.
12.7.4 Managing Foreign Matter Contamination Incidents Review


basis and not build up in food handling or
storage areas. Designated waste
12.8.1.2 as external waste collection is undertaken.
Trolleys, vehicles, waste disposal
condition and cleaned and sanitized

management will form part of regular

cause a risk to the animal or risk to other
food designated for further processing for




and sanitary operation of the premises, or
12.9.1.3 harborage for pests.
The resources presented here were sourced from SQF Institute. For additional reading, tools and context please
here.
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Instructions
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NAME: DATE:

as a minimum the:

food;
customer and regulatory requirement and

by all staff;
2.1.1.2 Food iii. Displayed in a prominent position; and
Safety Policy iv. Effectively communicated to all staff.
2.1.2.1 Management Responsibility (Mandatory)


2.1.2.1 who have responsibility for food safety of
Management the packaging product shall be identified
Responsibility and communicated within the site.



of the SQF System, including Good
Manufacturing Practices outlined in 2.4.2,
and the packaging food safety plan
outlined in 2.4.3.
Hold a position of responsibility in relation
to the management of the site's SQF
System;
Have completed a HACCP training course
that meets the definition found in the SQF
Code;
2.1.2.5
Management
Responsibility
Code;
HACCP based risk management plans;
and
Have an understanding of the SQF Food
Safety Code for Manufacture of Food
2.1.2.5 Packaging and the requirements to
Management implement and maintain SQF System
Responsibility relevant to food
Senior site sector category
management 27. the
shall ensure



2.1.3 Management Review (Mandatory)

The senior site management shall be
The policy manual;

Internal and external audit findings;
Corrective actions and their investigations
and resolution;
Customer complaints and their resolution
and investigation;
2.1.3.1 Hazard and risk management system;
Management Follow-up action items from previous
Review management review.
The SQF practitioner (s) shall update

Review annually.
The Packaging Food Safety Plans, Good
Manufacturing Practices and other
aspects of the SQF System shall be
2.1.3.3 any changes implemented have an impact
Management on the site's ability to manufacture safe
Review food packaging.
Records of all reviews, reasons for

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

resolution of complaints from customers
2.1.4.1 and authorities, arising from products
Complaint manufactured or handled on site, shall be
Management documented and implemented.


Complaint based on the seriousness of the incident
Management and as outlined in 2.5.5.
2.1.4.4

impact the site's ability to manufacturer
2.1.5.1 Crisis
Management
Planning
impact the site's ability to manufacturer
and deliver safe food packaging, shall be
documented by senior site management
2.1.5.1 Crisis outlining the methods and responsibility
Management the site shall implement to cope with such
Planning a business crisis.
A senior site manager responsible for
decision making, oversight and initiating
actions arising from a crisis management
incident;
The nomination and training of a crisis
management team;
The controls implemented to ensure a
safety;
The measures to isolate and identify
The measures taken to verify the
acceptability of packaging prior to release;
The preparation and maintenance of a
current crisis alert contact list, including
supply chain customers;
Sources of legal and expert advice; and
The responsibility for internal
2.1.5.2 Crisis communications and communicating with
Management authorities, external organizations and
Planning media.
2.1.5.3 Crisis The crisis management plan shall be

Management reviewed, tested and verified at least
Planning annually.
2.1.5.4 Crisis
Management Records of reviews of the crisis

outline the methods the site will use to
meet the requirements of the SQF Food
Packaging, be made available to relevant
staff and include:
The site’s food safety policies and the

methods it will apply to meet the
requirements of this standard;
The food safety policy statement and
organization chart;
The scope of the certification;
A list of the products covered under the
scope of certification;
Food safety procedures, pre-requisite
2.2.1.1 Food programs, HACCP-based food safety
Safety plans; and
Management Other documentation necessary to support
System the development and the implementation,
System.
2.2.1.2 Food
Safety
Management All changes made to the food safety plans,
System Good Manufacturing Practices and other
aspects of the SQF System shall be
validated or justified.



2.2.2.3
2.2.2.3



retained in accordance with periods
2.2.3.3 specified by customer, insurance,
Records regulations, or by the organization.
2.3.1 Product Development and Realization


Development product concepts to commercial
and realization shall be documented and
Realization implemented.
2.3.1.2 Product designs, manufacturing processes

Product and the fulfillment of product requirements
Development shall be validated by site trials and product
and testing as required to ensure product
Realization safety.
2.3.1.3 Packaging used to provide a functional

Product effect on food (i.e., shelf life extension)
Development shall, where known, have specified
and criteria and be referenced in the food
Realization safety plan (2.4.3).
2.3.1.3 Packaging used to provide a functional
Product effect on food (i.e., shelf life extension)
Development shall, where known, have specified
and criteria and be referenced in the food
Realization safety plan (2.4.3).
Trials where necessary shall be conducted
2.3.1.4 to establish and validate a product's:
Product
Development Handling and storage requirements; and
and Customer specification including the
Realization intended use of
A food safety theshall
plan product.
be validated and
verified for each new product and its
2.3.1.5 associated process through conversion to
Product commercial production and distribution, or
Development where a change to materials, process, or
and unitizing occurs that may impact the safety
Realization of the product.
2.3.1.6
Product Records of all product design, process
Development development, approvals and records of
and validated storage conditions shall be
Where applicable, the site shall have a
procedure for certification and approval of
artwork for primary or secondary
2.3.1.7 packaging used in print processes. The
Product controls shall also describe how print run
Development samples are approved by customers, color
and standards are developed and changes to
Realization artwork is managed.
2.3.2 Raw and Packaging Materials

Specifications for all raw materials,

2.3.2.1 Raw including, but not limited to additives,
and hazardous chemicals and processing aids
Packaging that impact food safety of the product shall
Finished product labels shall be accurate,

comply with the relevant legislation and be
approved by qualified company personnel.
When applying print on or producing
2.3.2.2 Raw finished product with product ingredient
and lists(s), allergens, identification codes,
Packaging etc., shall be managed in a manner that
Materials prevents misprinting.
Finished product labels shall be accurate,
comply with the relevant legislation and be
approved by qualified company personnel.
When applying print on or producing
2.3.2.2 Raw finished product with product ingredient
and lists(s), allergens, identification codes,
Packaging etc., shall be managed in a manner that
Materials prevents misprinting.
2.3.2.3 Raw All raw materials shall comply with the

and relevant legislation in the country of
Packaging manufacture and country of destination, if
Materials known.
2.3.2.4 Raw The methods and responsibility for

and developing and approving detailed raw
Packaging material and packaging specifications
Materials shall be documented.
Raw materials shall be verified to ensure
food safety is not compromised and the
material is fit for its intended purpose.
2.3.2.5 Raw Verification of raw materials shall include
and certificates of conformance; certificate of
Packaging analysis; letter of guarantee; or sampling
Materials and testing.
2.3.2.6 Raw
and A register of current raw materials and
Packaging packaging materials specifications shall be

Section Details
Specifications for contract services that Initial Response Evidence
have an impact on the safety of the food
packaging product shall be documented,
2.3.3.1 current, include a full description of the
Contract service to be provided and detail relevant
Service training requirements of all contract
Providers personnel.
2.3.3.2
Contract
Service A register of all contract service
Providers specifications shall be maintained.
2.3.3.2
Contract
Service A register of all contract service
Providers specifications shall be maintained.

2.3.4.1 safety and customer packaging
Contract requirements and its realization and
Manufacturer delivery are specified and agreed shall be
s documented and implemented.
Verify compliance with the SQF Food
Packaging and that all customer
2.3.4.2 requirements are being met at all times.
Contract Ensure changes to contractual
Manufacturer agreements are approved by both parties
s and communicated to relevant personnel.
2.3.4.3
Contract Records of all contract reviews and
Manufacturer changes to contractual agreements and
s their approvals shall be maintained.
2.3.4 Contract Manufacturers Review

staff and may include:
Physical and chemical characteristics;
2.3.5.1
Finished
Product
Specifications
Physical and chemical characteristics;
Microbiological, where appropriate;
Artwork and unitizing requirements; and
Confirmation that the packaging product is
2.3.5.1 suitable for the intended use of the
Finished customer.
Product Product ingredient lists(s), allergens,
Specifications identification codes, etc.,
2.3.5.2
Finished
Product A register of finished product
Specifications specifications shall be maintained.

Section Details
The site shall ensure that, at the time of Initial Response Evidence
delivery to its customer, the product
supplied shall comply with the legislation
that applies to the packaging and its
manufacture in the country of use or sale.
This includes compliance with legislative
requirements applicable to food safety,
packaging, product description, any other
criteria listed under food safety legislation,
2.4.1.1 Food and to relevant established industry codes
Legislation of
Thepractice.
methods and responsibility for
2.4.1.2 Food scientific and technical developments,
Legislation emerging food safety issues, and relevant
industry codes of practice shall be

2.4.1.3 Food hours in the event of a regulatory warning.
Legislation Notification to SQFI shall be by email to
foodsafetycrisis@sqfi.com.
2.4.2 Good Manufacturing Practices (Mandatory)
The site shall ensure the Good
Manufacturing Practices described in
module 13 of the Food Safety Code for
Manufacture of Food Packaging are
applied, or exempted according to a
written risk analysis outlining the
justification for exemption or evidence of
2.4.2.1 Good the effectiveness of alternative control
Manufacturin measures to ensure that food safety is not
g Practices compromised.
The Good Manufacturing Practices

applicable to the scope of certification that
2.4.2.2 Good outline the means by which food safety is
Manufacturin controlled and assured shall be
g Practices documented and implemented.
2.4.2 Good Manufacturing Practices Review

A food safety plan shall be prepared in

accordance with the twelve steps
2.4.3.1 Food identified in the Codex Alimentarius
Safety Plan Commission HACCP guidelines.
assures the manufacture of safe
packaging product and included in the
scope of the SQF certification and their
associated manufacturing processes.
More than one HACCP food safety plan
2.4.3.2 Food may be required to cover all packaging
Safety Plan included in the scope of certification.

the start and end-point of the
2.4.3.4 Food manufacturing under consideration and all
Safety Plan relevant inputs and
and documented foroutputs.
all packaging
included in the scope of the food safety
plans. This shall reference the finished
product specifications (refer to 2.3.5.1)
plus any additional information relevant to
2.4.3.5 Food product safety, such as WVTR, gas
Safety Plan permeability.
safety team. This shall include
requirements for further processing if
2.4.3.6 Food applicable, and potential alternative use of
Safety Plan the product.

process, all raw material and service
inputs (water, steam, gasses as
appropriate), scheduled process delays,
and all process outputs including waste
and rework. Each flow diagram shall be
2.4.3.7 Food confirmed by the food safety team during
Safety Plan all stages and hours of operation.

document all packaging safety hazards
that can reasonably be expected to occur
2.4.3.8 Food at each step in the processes, including
Safety Plan raw materials and other inputs.

than one control measure may be
required to control an identified hazard,
and more than one significant hazard may
2.4.3.10 Food be controlled by a specific control
team shall identify the steps in the
manufacturing process where control must
be applied to eliminate a significant hazard
or reduce it to an acceptable level (CCP).
In instances where a significant hazard
has been identified at a step in the
2.4.3.11 Food process to include an appropriate control
level of control of the identified safety
hazard(s); and that all critical limits and
2.4.3.12 Food combination effectively provide the level of
Safety Plan control
safety team to 2.5.2.1).
develop and
2.4.3.13 Food assigned to conduct testing, the sampling
Safety Plan and test methods, and the test frequency.
identify the disposition of affected
packaging material when monitoring
indicates a loss of control at a CCP. The
procedures shall also prescribe actions to
2.4.3.14 Food correct the process step to prevent
Safety Plan recurrence of the and
The documented safety failure. food
approved
safety plan (s) shall be implemented in full.
2.4.3.15 Food
Safety Plan
2.4.3.15 Food process, equipment, inputs or other occur
Safety Plan which impact the safety of the product.

2.4.3.16 Food verified as part of SQF System verification
Safety Plan (refer to 2.5)
Where applicable regulations in the

known) prescribe a food food safety
control methodology other than the Codex
2.4.3.17 Food both Codex and applicable regulatory
Safety Plan requirements.

2.4.4.1 Raw materials and services that impact

Approved finished product safety shall meet the
Supplier agreed specification (2.3.2) and be
Program supplied by an approved supplier.
The receipt of raw materials received from

2.4.4.2 non-approved suppliers shall be
Approved acceptable only in an emergency situation
Supplier and provided they are inspected or
Program analyzed before use.
2.4.4.3 The responsibility and procedure for

Approved selecting, evaluating, approving and
Supplier monitoring an approved supplier shall be
Program documented and implemented.

Approved incoming materials and protect them from
Supplier deliberate act of sabotage or terrorist-like
Program incidents.
Approved incoming materials and protect them from
Supplier deliberate act of sabotage or terrorist-like
Program incidents.
2.4.4.5 the site's susceptibility to raw material
Approved substitution, mislabeling, or counterfeiting
Supplier which may adversely impact food
Program packaging safety.

2.4.4.6 2.7.2.2) shall include methods by which
Approved the identified food packaging safety
Supplier vulnerabilities from materials shall be
Program controlled.
Raw materials received from other sites
under the same corporate ownership, shall
2.4.4.7 be subject to the same specification
Approved requirements (refer to 2.3.2) and approved
Supplier supplier requirements as all other material
Program providers.
supplier and the risk level of the raw
materials, services supplied, and shall
contain as a minimum:
Agreed specifications (refer to 2.3.2);

applied to the raw material ingredients or
services and the approved supplier;
status;
Methods and frequency of monitoring
approved suppliers;
Details of the certificates of conformance if
2.4.4.8 required; and
Approved Methods and frequency of reviewing
Supplier approved supplier performance and
Program status.

2.4.4.9 shall be conducted by individuals
Approved knowledgeable of applicable regulatory
Supplier and food safety requirements risk and
Program trained in auditing techniques.
2.4.4.10
2.4.4.10

how non-conforming raw material, work-in-
progress, finished product or equipment
detected during receipt, storage,
manufacturing, or delivery is handled shall

the integrity of finished product; and
improper use or risk to the integrity of the
finished product ; and
2.4.5.1 Non- All relevant staff is aware of the
conforming organization’s quarantine and release
Product or requirements applicable to equipment or
Equipment product placed under quarantine status.
2.4.5.2 Non- Food packaging product returned from a

conforming customer shall be quarantined until
Product or authorized for release for use or re-
Equipment shipment.
2.4.5.3 Non- Quarantine records, and records of the

conforming handling, corrective action, or disposal of
Product or non-conforming product or equipment
Equipment shall be maintained.
2.4.6 Product Rework
product are reworked shall be
documented and implemented and
processed in a manner that does not
contaminate raw materials or food
packaging. The methods applied shall
ensure:

traceable;
Each lot of reworked product is inspected
or analyzed as required before release;
2.4.6.1 2.5.4.1; and
Product Release of reworked product shall
Rework conform to element 2.4.7.
Food packaging manufactured with post-

2.4.6.2 consumer recycled materials shall
Product conform to the applicable regulatory
Rework requirements.
Food packaging that contains printed

2.4.6.3 information shall be handled in a manner
Product that prevents mixed up or intermingled
Rework product.
2.4.6.4
Product Records of all reworking operations shall
Rework be maintained.
2.4.6 Product Rework Review

releasing finished packaging product shall
methods applied shall ensure the food
packaging is released:
2.4.7.1
Product
packaging is released:
By authorized personnel; and

Once all inspections and analyses are
successfully completed and documented
2.4.7.1 to verify legislative and other established
Product food packaging safety controls have been
Release met.
2.4.7.2
Product Records of release of finished food
Release packaging shall be maintained.

A risk-based environmental monitoring

2.4.8.1 program, for known or expected concerns,
Environmenta shall be in place for all processes in the
l Monitoring manufacture of food packaging.
2.4.8.2 The responsibility and methods for the

Environmenta environmental monitoring program shall
l Monitoring be
An documented
environmental and implemented.
sampling and testing
schedule, appropriate to the nature of the
product, shall be prepared, detailing any
applicable pathogen (s), (i.e., Bacillus spp.
2.4.8.3 in paper or paper products), the number of
Environmenta samples to be taken, and the frequency of
l Monitoring sampling.
Environmental testing results shall be

2.4.8.4 monitored and corrective actions (refer to
Environmenta 2.5.3.1) implemented where unsatisfactory
l Monitoring trends are observed.
documented, implemented and effective.
The methods applied shall ensure that:

required result;
Critical packaging food safety limits are
2.5.1.1 validated, and re-validated annually; and
Validation Changes to the manufacturing processes
and or procedures are assessed to ensure
Effectiveness controls are still effective.
2.5.1.2
Validation
and Records of all validation activities shall be
Effectiveness maintained.


2.5.2.1 completion and the person responsible for
Verification each activity shall be prepared and
Activities implemented.
Manufacturing Practices, critical control
points and other food safety controls, and
the legality of SQF certified products, shall
2.5.2.2 personnel with responsibility for verifying
Verification monitoring activities authorize each
Activities verified record.
2.5.2.3
2.5.2.3


2.5.3.1 including the identification of the root
Corrective cause and resolution of non-compliance of
and critical food safety limits, and deviations
Preventative from food safety requirements, shall be
Action documented and implemented.
2.5.3.2
Corrective Records of all investigation and resolution
and of non-conformities including their
Preventative corrections and corrective action shall be
Action maintained.

work-in-progress shall be documented and
ensure:

2.5.4.1
Product
Sampling,
Inspection
and Analysis
requirements, if any;
materials, work in progress and finished
product comply with the relevant
specification, regulatory requirement, if
2.5.4.1 any; and
Product All analyses are conducted to industry
Sampling, recognized methods or alternative
Inspection methods which are validated as equivalent
and Analysis to the industry recognized methods.
2.5.4.2 On-site personnel that conduct testing of

Product finished product shall participate in an
Sampling, applicable proficiency testing program at
Inspection least annually to ensure accuracy of
and Analysis results.
Where external laboratories are utilized to
2.5.4.3 laboratories shall be accredited to ISO
Product 17025 or an equivalent national standard,
Sampling, and shall be included on the site's contract
Inspection service specifications register (refer to
and Analysis 2.3.3.1).
2.5.4.4
Product Where applicable, procedures shall also
Sampling, be in place for managing and verifying
Inspection correct printing plates, anilox rollers,
and Analysis cylinders are used during printing.
2.5.4.5 Where required, procedures shall be in

Product place for effective storage of printing
Sampling, plates, cylinders and print blankets.
Inspection Procedures for identifying print errors shall
and Analysis be documented
Where and
applicable, implemented.
a documented
2.5.4.6 controlled disposal of trademarked or
Product other printed food packaging product.
Sampling, Where a contracted disposal service is
Inspection used, the disposal process shall be
and Analysis reviewed regularly to confirm compliance.
2.5.4.7
Product Product obtained for sampling and/or
Sampling, inspection shall be properly destroyed to
Inspection prevent re-entry into the production
and Analysis process or sale to the customer.
2.5.4.8
Product
Sampling,
Inspection Records of all inspections and analyses
and Analysis shall be maintained.
2.5.4.8
Product
Sampling,
Inspection Records of all inspections and analyses
and Analysis shall be maintained.



Food Safety Code for Manufacture of
Food Packaging are assessed as per the
SQF audit checklist or similar tool;
audits are undertaken; and
2.5.5.1 relevant management personnel and staff
Internal responsible for implementing and verifying
Audits
Internal corrective
trained andactions.
competent in internal audit
Audits procedures.

out to verify Good Manufacturing Practices
for Manufacture of Food Packaging. The
site shall:

Internal Maintain records of inspections and any
Audits corrective action taken.
2.5.5.4 Where practical staff conducting internal
Internal audits shall be independent of the function
Audits being audited.

2.5.5.5 and any corrections and corrective action
Internal taken as a result of internal audits shall be
Audits maintained.

identifying raw materials, work-in
progress, recycled material, plant based
material, functional additives, or process
inputs and finished product during all
stages of production and storage shall be
identification system shall be implemented
to ensure:
Raw materials, work-in progress, process

inputs, recycled materials, and finished
product are clearly identified during all
stages of receipt, production, storage and
2.6.1.1 dispatch; and
Product Finished product is labeled to the
Identification customer specification, where applicable.
2.6.1.2
Product Product identification records shall be
Identification maintained.
Start up and changeover procedures
during manufacture of food packaging
shall be documented and implemented to
ensure that the correct product information
2.6.1.3 is on the label, and that the changeover is
Product inspected and approved by an authorized
Identification person.
2.6.2 Product Traceability (Mandatory)
Section Details
trace packaging shall be documented and Initial Response Evidence

manufacturing site and date of receipt of
raw materials (one back);
Traceability is maintained where
packaging is reworked; and
2.6.2.1 system shall be reviewed at least annually
Product as part of the product recall and
Trace withdrawal review (refer to 2.6.3.3).
2.6.2.1 Records of raw material receipt and use,

Product and finished product dispatch and
Trace destination shall be maintained.
2.6.2 Product Traceability Review

The responsibility and methods used for
assisting customers in case of product
recalls where the packaging is implicated
as the source of contamination shall be
procedure shall:
2.6.3.1
Product
Withdrawal
and Recall
procedure shall:
Identify those responsible for coordinating,

withdrawal or recall with customers;
implemented by site management,
including sources of legal, regulatory, and
expert advice;
and SQFI, the certification body, and the
2.6.3.1 listed as an essential body and notified in
Product instances of a food safety incident of a
Withdrawal public nature, or product recall for any
and Recall reason.

2.6.3.2 determine the root cause of a withdrawal,
The withdrawal and recall system shall be

2.6.3.3 reviewed, tested and verified as effective
Product at least annually. Testing shall include
Withdrawal incoming materials (one back) and
and Recall finished product (one up).
2.6.3.4 hours upon identification of a food
Product packaging safety event that requires
Withdrawal public notification. SQFI shall be notified at
and Recall foodsafetycrisis@sqfi.com.
2.6.3.5
Product
Withdrawal Records of all withdrawals recalls and
and Recall mock recalls shall be maintained.


preventing adulteration of product caused
by a deliberate act of sabotage or
2.7.1.1 Food terrorist-like incident shall be documented,
Defense implemented and maintained.
chemicals;
inputs and finished product are held under
secure storage and transportation
conditions; and
2.7.1.2 Food control access to the premises by
2.7.1.3 Food The food defense plan shall be reviewed

Defense and challenged at least annually.
2.7.1.4 Food Records of reviews of the food defense

Defense plan shall be maintained.
2.7.2 Food Fraud


mislabeling and counterfeiting which may
mislabeling and counterfeiting which may
2.7.2.1 Food adversely impact the food safety of
Defense packaging product.

2.7.2.2 Food identified food fraud vulnerabilities shall be
Defense controlled.


2.7.2.4 Food vulnerability assessment and mitigation
Defense plan shall be maintained.
2.8.1 Allergen Management (Mandatory)

The allergen management program shall
include:

printed packaging, or processing aids,
printed packaging, or processing aids,
including food grade lubricants, that may
contain food allergens or food allergen
statements;
machines, lunchrooms, visitors;
in the country of manufacture and the
country(ies) of destination if known;
relevant staff;
safety plan;
A management plan for control of
identified allergens;
Cleaning and sanitation of product contact
surfaces between line changeovers shall
be effective, appropriate to the risk and
legal requirements, and sufficient to
remove all potential target allergens from
product contact surfaces; and
2.8.1.1 sanitation of areas and equipment in
Allergen which allergens are used shall be
Management effectively
Instructionsimplemented.
shall be provided to all
relevant staff involved in the receipt or
handling of raw materials, work-in
progress, and rework or finished
2.8.1.2 production how to identify, handle, store
Allergen and segregate raw materials containing
Management allergens.
materials shall document, implement and
maintain an allergen management
program addressing at a minimum the
mitigation of introducing unintended
2.8.1.3 allergens through supplier, contract
Allergen manufacturer, employee, and visitor
Management activities.
2.8.1 Allergen Management Review


site's personnel to ensure they have the
required competencies to carry out
2.9.1.1 functions affecting manufacture of food
Training safe packaging, regulatory compliance,
Requirement and food safety shall be defined and
site's personnel to ensure they have the
required competencies to carry out
2.9.1.1 functions affecting manufacture of food
Training safe packaging, regulatory compliance,
Requirement and food safety shall be defined and
s documented.


Section Details
documented and implemented. It shall Initial Response Evidence
Developing and applying Good

Manufacturing Practices;
and
2.9.2.1 Tasks identified as critical to meeting the
Training effective implementation and maintenance
Program of the SQF System.
2.9.3 Instructions
2.9.3.1 safety, and process efficiency are to be
2.9.3.1 safety, and process efficiency are to be

2.9.4.1
2.9.5 Language

2.9.5.1 training shall be provided in language
Language understood by staff.


2.9.6.1 provision for identifying and implementing
Refresher the refresher training needs of the
Training organization.

Participant name;
Skills description;
2.9.7.1 Trainer or training provider; and
Training Supervisor’s verification the training was
Skills completed and that the trainee is
Register competent to complete the required tasks.




In sites where food contact packaging is

manufactured, product contact surfaces
not contribute to a food safety risk to the
13.2.1.1 manufacture of packaging material.
In sites where food contact packaging is
manufactured, product contact surfaces
not contribute to a food safety risk to the
13.2.1.1 manufacture of packaging material.


to liquid and easily cleaned and fit for
13.2.2.1 purpose.

Waste trap system shall be located

sufficiently far away from any food
packaging handling area or entrance to
the premises so as to prevent
13.2.3 Walls, Windows, Doors and Ceilings

Walls, windows, doors and ceilings shall

be of durable construction and fit for
13.2.3.1 purpose.
In packaging manufacturing and storage

areas wall-to-wall and wall-to-floor
junctions shall be designed to be easily
cleaned and sealed to prevent the
13.2.3.2 accumulation of debris.
In packaging manufacturing and storage
areas doors shall be of solid construction
and windows shall be of shatterproof glass
13.2.3.3 or similar material.
13.2.3 Walls, Windows, Doors and Ceilings Review

Lighting in premises where food contact

packaging is manufactured shall be of
Light fittings in such areas shall be

13.2.4.2 fitted flush with the ceiling.
Light fittings in other areas where the

product is stored shall be designed such
13.2.4.3 as to prevent product contamination.
13.2.5 Dust, Insect and Vermin Proofing


13.2.5.1 pests.
Methods shall be in place to adequately

control dust produced by the
13.2.5.2 manufacturing process.
Methods shall be in place to adequately
control dust produced by the
13.2.5.2 manufacturing process.

They shall be effectively designed and
maintained and fitted with a self-closing
device to protect against ingress of dust,
13.2.5.3 vermin and other pests.
provided. They shall be effectively
designed, maintained, and fitted with a
self-closing device and proper seals to
protect against entry of dust, vermin and
13.2.5.4 other pests.
packaging, or manufacturing equipment.
Poison rodenticide bait shall not be used
inside storage areas or manufacturing
13.2.5.5 areas.
13.2.5 Dust, Insect and Vermin Proofing Review
13.2.6 Ventilation

enclosed packaging manufacture and

Specifications for new equipment and

Specifications for new equipment and

contamination threat to the product, and to
13.2.7.2 allow for cleaning beneath and behind it.
Where required, protective clothing shall

be manufactured from material that will not
contaminate food packaging and easily
13.2.7.3 cleaned.
When protective clothing is used, hooks

racks or other forms of off the floor
storage shall be provided for the
temporary storage of protective clothing
when staff leaves the manufacturing area
and shall be provided in close proximity or
adjacent to the personnel access
13.2.7.4 doorways and hand washing facilities.

Section Details
contamination of packaging material or
13.2.8.1 equipment.
equipment in any packaging material
manufacturing, handling or storage area
shall be performed according to a
maintenance-control schedule and
recorded. The maintenance schedule shall
be prepared to cover building, equipment
and other areas of the premises critical to
the maintenance of product safety and
13.2.8.2 quality.
Failures of plant and equipment shall be

documented, reviewed and their repair
13.2.8.3 schedule.
Failures of plant and equipment shall be
13.2.8.3 schedule.

comply with the personnel and process
hygiene requirements (refer to 13.3.1,
13.2.8.4 13.3.2, 13.3.3, 13.3.4).

undertaken in any packaging
13.2.8.5 manufacturing area.

packaging material safety (i.e. pieces of
electrical wire, damaged light fittings, and
loose overhead fittings). When possible,
13.2.8.6 manufacturing times.

remove all tools, spare parts, and debris
from any maintenance activity once it has
been completed and inform the area
supervisor and maintenance supervisor so
13.2.8.7 manufacturing operations.
13.2.8.8 solutions.
Equipment located over raw materials,

finished food packaging or product
grade lubricants and their use controlled
so as to minimize the contamination of the
product. Machinery lubricant controls shall
be in place to prevent contamination of
food packaging from gear box oils, bearing
13.2.8.9 lubricants, hydraulics or any other source.
Paint used in a manufacturing area shall
be suitable for use, in good condition, and
shall not be used on any product contact
13.2.8.10 surface.
13.2.9 Calibration

requisite program, packaging safety plans,
quality plans and other process controls,
packaging product specifications shall be
documented and implemented. Electronic
equipment being used on a daily basis
13.2.9.1 shall be verified daily by the users.

potentially affected food packaging should

13.2.9.3 damage
shall adjustment.

13.2.9.5 schedule.

Section Details
The methods and responsibility for pest Initial Response Evidence

present a risk of contamination to raw
materials, work-in process, or finished
13.2.10.2 food packaging.
Raw materials, work-in-progress or food

packaging that is found to be
13.2.10.3 pest infestation investigated and resolved.
problems;
set;
available);
and
13.2.10.4 pests.



13.2.10.7 contamination of food contact packaging.
relevant authority;
and traps;
Report to a responsible senior
management person on entering the
premises and after the completion of
inspections or treatments;
applied and;
Where applicable, unused and obsolete
chemicals are stored under secure


effective cleaning of manufacturing and
Cleaning equipment, tools, racks, and
other items used in support of the cleaning
and sanitizing program shall be clearly
identified, stored and maintained in a
manner that prevents contamination of
processing and product handling
13.2.11.2 equipment and storage areas.
Adjacent production equipment shall be

covered or shut down and raw materials
and finished goods shall be moved from
the vicinity if using compressed air hoses
13.2.11.3 to clean.
sanitation operations to ensure packaging
manufacturing areas, product contact
13.2.11.5 are cleaned at a defined frequency.

Appropriate cleaning agents shall be
purchased in accordance to applicable
legislation. The site shall ensure:
An inventory of all cleaning agents

purchased and used shall be maintained;
Cleaning agents are stored as outlined in
element 13.6.3;
and
13.2.11.7 Only trained staff handles cleaning agents.
agents and empty containers in
accordance with regulatory requirements,
where applicable, and ensure that:
Empty cleaning agent containers are

appropriately cleaned, treated and labeled
before use;
Empty cleaning agent containers are
labeled, isolated and securely stored while
awaiting collection; and
Unused and obsolete cleaning agents are
13.3.1 Personnel
Section Details
Personnel who are known to be carriers of Initial Response Evidence
risk to others through the manufacturing or
manufacture of food contact packaging, or
13.3.1.1
manufacture of food contact packaging, or
enter storage areas where food contact
13.3.1.1 packaging is exposed.
packaging or food packaging contact
any other means.

areas including handling and
manufacturing areas have been
adequately cleaned and that all affected
materials have been quarantined and
raw materials or finished food packaging.

of the body shall be covered with a
colored bandage containing a metal strip
or an alternative suitable waterproof and
13.3.1.3 colored
Smoking, dressing.
chewing, eating, or spitting is

areas away from raw materials, food
13.3.1.4 packaging or equipment.
13.3.2 Hand Washing

Hand wash basins shall be provided in

13.3.2.1 appropriate areas.


temperature;

temperature;
dispenser;
Paper towels or effective hand dryer; and


On entering production areas;

13.3.2.4 After handling waste or chemicals.

13.3.3 Clothing

protects food contact packaging from
13.3.3.1 unintentional contamination.

food contact packaging shall be
so as not to present a contamination risk
13.3.3.2 to products.
Clothing and shoes shall be clean at the
maintained in a serviceable condition, and
changed where they present a product
13.3.3.3 contamination risk.
Gloves used when contacting finished

packaging material shall be clean and
13.3.3.4 maintained and replaced when needed.


13.3.4.1 product handling, or storage operations.
The wearing of plain bands with no stones
and medical alert bracelets that cannot be
removed can be permitted, however the
site will need to consider their customer
requirements and the applicable food
13.3.4.2 legislation.
13.3.5 Visitors

13.3.5.1 manufacturing or storage areas.
Visitors shall enter and exit manufacturing

or storage areas through the proper staff
entrance points and comply with all
13.3.5.2 personnel practice requirements.
Visitors shall enter and exit manufacturing
or storage areas through the proper staff
entrance points and comply with all
13.3.5.2 personnel practice requirements.
All visitors shall be trained in the
appropriate site food packaging safety and
hygiene procedures before entering into
any manufacturing or handling areas or
shall be escorted at all times in
13.3.5.3 manufacturing and storage areas.

If provided, staff amenities shall be
supplied with appropriate lighting and
ventilation and shall be made available for
the use of all persons engaged in the
handling and storage of food contact
13.3.6.1 packaging.
13.3.7 Changing Rooms

Where applicable, facilities shall be

provided to enable staff to change into and
13.3.7.1 out of protective clothing as required.
Where applicable, provision shall be made

for staff to store their street clothing and
personal items separate from packaging
13.3.7.2 handling or storage areas.
13.3.7 Changing Rooms Review

designed and constructed so that they are

designed and constructed so that they are

food packaging handling or storage
operations;
accessed from the manufacturing area via
an airlock vented to the exterior or through
an adjoining room;
sufficient in number for the maximum
number of staff;
constructed so that they can be easily

regulations. Procedure shall be
documented and implemented to properly
manage sewage back-ups in order to
13.3.8.2 minimize the potential for contamination.

13.3.9 Lunch Rooms

Separate lunch room facilities shall be

provided away from packaging
manufacturing, handling or storage areas.
Lunch rooms shall be kept clean and tidy
13.3.9.1 and free from waste materials and pests.
before returning to packaging
manufacturing and storage areas shall be
provided in a prominent position at lunch
13.3.9.2 room exits.
before returning to packaging
provided in a prominent position at lunch
13.3.9.2 room exits.
13.3.9 Lunch Rooms Review
13.4.1 Staff Engaged in Manufacture, Handling and Storage of Food Contact Packaging
manufacture and storage operations shall
comply with the following practices:
Personnel entry to production areas shall

be through designated access doors only;
receiving of materials is required;
Raw materials, packaging and finished
product shall be maintained appropriately
and kept off the floor
from the manufacturing area on a regular
13.4.1.1 basis and not
controlled suchleft to the
that accumulate.
finished product
produced is food safe and free from
contamination. Procedures shall be in
place to prevent cross-contamination of
food contact packaging from raw
materials, recycled materials, cleaning
13.4.1.2 agents, or chemicals.
All personnel engaged in the manufacture,
storage, transport and handling of finished
product shall ensure that products and
way as to prevent damage or
13.5.1 Water Supply

Adequate supplies of clean water shall be

provided for use during manufacturing
operations, and for cleaning the premises
13.5.1.2 equipment.


possible contamination shall comply with
local, national or international regulatory
requirements to prevent back flow or back
13.5.1.4 siphonage.
13.5.2 Water Quality

required when used for
The manufacture of food contact

packaging;
Cleaning product contact surfaces;
Hand washing; and
The manufacture of steam that is in
13.5.2.1 contact with food packaging material.
Microbiological analysis of the water
supply shall be conducted to verify the
13.5.2.2
cleaning, or from within the site. The
Water shall be analyzed using reference

13.5.2.3 standards and methods.
13.5.3 Air Quality


food packaging or food packaging contact
surfaces shall be clean and present no
13.5.3.1 risk to food safety.
come into contact with food packaging or
food packaging contact surfaces shall be
maintained and regularly monitored for
13.5.3.2 quality and applicable food safety hazards.
13.5.3 Air Quality Review
13.6.1 Storage and Handling of Materials, Food Packaging, and Equipment


safe, hygienic storage of raw materials,
food packaging, rework, equipment, and
13.6.1.1 chemicals.
implemented. Procedures are in place to
ensure that all raw materials, work-in-
progress, rework, and finished food
packaging are utilized within their
13.6.1.2 designated shelf-life, where applicable.
implemented. Procedures are in place to
ensure that all raw materials, work-in-
progress, rework, and finished food
packaging are utilized within their
13.6.1.2 designated shelf-life, where applicable.
13.6.1.3 Equipment storage rooms shall be designed a
Where goods described in 13.6.2 and

13.6.3 are held under temporary or
overflow conditions that are not designed
for the safe storage of goods, a risk
analysis shall be undertaken to ensure
there is no risk to the integrity of those
goods or contamination or adverse effect
13.6.1.4 on food packaging safety and quality.
13.6.1 Storage and Handling of Materials, Food Packaging, and Equipment Review
13.6.2Storage of Food Packaging and Materials

Rooms used for the storage of raw

materials, finished food packaging and
other dry goods shall be constructed to
protect the product from contamination
13.6.2.1 and deterioration.
Equipment used for the storage of food
impervious materials and designed and
located to prevent accumulation of debris
and enable cleaning beneath and behind
13.6.2.2 the equipment.
Vehicles that transport product shall be

maintained so as not to present a food
13.6.2.3 safety hazard.
13.6.2 Storage of Food Packaging and Materials Review
13.6.3 Use, Storage of Hazardous Chemicals and Toxic Substances
Section Details
substances, including solvents and Initial Response Evidence
agents, with the potential for
contamination of food packaging shall be
stored and used so as not to present a
hazard to staff, packaging, or areas in
which the product is handled, stored or
13.6.3.1 transported.
The use of hazardous chemicals and toxic

substances, including solvents and
agents, shall be used according to
manufacture recommendations and Safety
13.6.3.2 Data Sheets (SDS).
13.6.3 Use, Storage of Hazardous Chemicals and Toxic Substances Review
13.6.4 Loading, Transport and Unloading Practices


transport and unloading of raw materials,
packaging and finished product shall be
and product integrity. Food packaging
shall be loaded, transported and unloaded
under conditions suitable to prevent cross-
13.6.4 Loading, Transport and Unloading Practices Review
13.6.5 Loading/Unloading
Section Details
Vehicles (e.g. trucks/vans/containers) Initial Response Evidence
used for transporting food packaging
material shall be inspected prior to loading
to ensure they are clean, in good repair,
suitable for the purpose and free from
odors or other conditions that may impact
13.6.5.1
odors or other conditions that may impact
13.6.5.1 negatively on the food packaging.

food packaging to conditions detrimental
13.6.5.2 to maintaining its integrity.
13.6.5 Loading/Unloading Review
13.7.1 Process Flow


13.7.1.1 product through the process.
The flow of personnel shall be managed

such that the potential for contamination is
13.7.1.2 minimized.
13.7.2 Control of Foreign Matter Contamination


food packaging shall be documented,
13.7.2.1 staff.

All glass objects or other brittle materials

in food packaging handling/contact zones
13.7.2.3 details of their location.
All glass objects or other brittle materials
in food packaging handling/contact zones
13.7.2.3 details of their location.
laboratory glassware or other brittle
material (except where the product is
contained in packaging made from these
materials, or measurement instruments
with glass dial covers or MIG
thermometers required under regulation)
shall not be permitted in packaging
13.7.2.4 material manufacturing and storage areas.
Regular inspections of packaging material

conducted to ensure they are free of glass
or similar materials and to update the

manufacturing equipment and MIG
13.7.2.6 been
Woodendamaged.
pallets and other wooden objects
and other wooden objects used in
packaging material manufacturing and
storage areas shall be dedicated for that
purpose, clean, maintained in good order.
Their condition is subject to regular
13.7.2.7 inspection.
Loose metal or plastic objects on
equipment, equipment covers, and
overhead structures shall be controlled or
tightly fixed so as not to present a hazard
to raw materials, work-in-progress or
13.7.2.8 finished food packaging.
Sharps of any type (e.g. knives, cutting

blades, etc.) shall be monitored and
controlled so as to not present a hazard to
raw materials, work-in-progress or finished
13.7.2.9 food packaging.
13.7.2 Control of Foreign Matter Contamination Review
13.7.3 Managing Foreign Matter Contamination Incidents

contamination the affected item shall be
isolated, inspected, reworked or disposed
13.7.3.1 of.
brittle material breakage occurs, the
affected area shall be isolated, cleaned
and thoroughly inspected (including
cleaning equipment and footwear) and
cleared by a suitably responsible person
13.7.3.2 prior to the commencement of operations.
13.7.3 Managing Foreign Matter Contamination Incidents Review


basis and not build up in packaging
material manufacturing, handling or
storage areas. Designated waste
13.8.1.2 as external
Trolleys, waste collection
vehicles, is undertaken.
waste disposal
condition, cleaned, and sanitized regularly
vermin. Exterior collection and storage
13.8.1.3 bins must be covered.



not to present a hazard to the food
packaging safety operation of the
13.9.1.2 premises.

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NAME: DATE:
as a minimum the:
Organization’s commitment to supply safe

food;
Resources and methods used to comply
with its customer and regulatory
requirements and continually improve its
food safety management system; and
Organization’s commitment to establish
2.1.1.1 and review food safety objectives.
Signed by senior management;

Made available in language understood by
all staff;
Displayed in a prominent position and
effectively communicated to all staff; and
Reviewed annually for accuracy or when
changes occur to operations or
2.1.2 Management Review

The food safety manual;

Food safety objectives
Internal and external and regulatory audit
findings;
Corrective actions and their investigations
and resolution;
Customer and/or consumer complaints
and their investigations and resolution;
and
2.1.2.1 Supplier performance.
Senior management shall be updated at

least monthly on matters impacting the
SQF System and shall review the SQF
2.1.2.2 System in its entirety at least annually.

establish processes to improve the
effectiveness of the SQF System to
2.1.2.3 demonstrate continuous improvement.
Records of all reviews and reasons for

amending documents, validations and
changes to the SQF System shall be
2.1.2.4 maintained.
2.1.3 Resource Management

the development, implementation,
maintenance and ongoing improvement of
2.1.3.1 the SQF System.
designate an SQF practitioner with
responsibility and authority to:

of the SQF System, including food safety
fundamentals and the food safety plan
outlined in 2.4.1 and the Good Retail
Practices (GRPs).
information essential to ensure the
2.1.3 Resource Management

resolution of complaints from customers,
consumers and authorities related to food
safety shall be documented and
A method for transfer of complaint data to

suppliers, agents, brokers and vendors
2.1.4.2 shall be documented and implemented.
Trends of customer and consumer

complaint data shall be investigated and
analyzed by personnel knowledgeable
2.1.4.3 about the incidents.
Corrective action shall be implemented

commensurate with the seriousness of the
2.1.4.4 incident and as outlined under 2.5.2.
Records of customer and consumer

complaints and their investigations shall
Records of customer and consumer
complaints and their investigations shall
2.2.1 Food Safety Manual

electronic and/or hard copy form and
readily available and communicated to
staff. It shall outline or reference the
methods, procedures and policies the
organization will use to meet the
requirements of this code and be
appropriate for the scope and/or range of
business activities being undertaken by
2.2.1.1 the site.
2.2.1 Food Safety Manual Review

ensuring staff have access to current
documents shall be documented and
implemented. The methods shall ensure
that:
A list of current SQF system documents

and amendments is maintained: and
Documents are securely stored and
2.2.2.1 readily accessible.


undertaking monitoring activities, verifying,
maintaining and retaining records shall be
undertaking monitoring activities, verifying,
maintaining and retaining records shall be
All records shall be:
Legible;
Suitably authorized by those undertaking
monitoring activities;
Readily accessible and retrievable;
Securely stored to prevent damage and
deterioration; and
Retained in accordance with time periods
specified by the organizations own
2.2.3.2 polices, customers or regulations.

Specifications for contract services that
have an impact on food safety shall be
documented, current, include a full
description of the service to be provided
and detail relevant training requirements
of contract personnel examples include,
but not limited to: in-store demo company,
pest control, maintenance, sanitation,
2.3.1.1 water purification, external auditing, etc.).
A list of all contract service specifications

2.3.2 Third Party Operators

ensuring all contact/agreements for third
party operators having an impact on food
party operators having an impact on food
safety are specified, approved, current
and shall be documented and
implemented. Methods shall include
Relevant training and /or credentialing

requirements for contract personnel;
Vendor compliance verification monitoring
to appropriate regulations;
Vendor compliance verification monitoring
to relevant SQF Code requirements; and
Protocol that ensures both parties approve
and communicate changes to
contracts/agreements.
Records of all contract reviews and

changes to contractual agreements and
2.3.2.1 their approvals shall be maintained.
2.3.2 Third Party Operators Review
2.3.3 Supplier Approval & Performance


selecting, evaluating, approving and
monitoring an approved supplier shall be
documented and implemented. Pre-
packaged foods, ingredients, packaging
materials, single service items, equipment
and services (see also 2.3.1 & 2.3.2) that
impact product safety shall be included
(this includes agent, broker, distributor and
2.3.3.1 vendor).
The receipt of ingredients, pre-packaged
foods, packaging materials and single-
service disposal items from non-approved
suppliers shall be acceptable in an
emergency situation provided they are
2.3.3.2 inspected and/or analyzed before use.
services supplied, and shall contain as a
minimum:
A list of approved suppliers and their

reviewed and approved specifications;
applied to products, ingredients,
packaging, single service items and
services and historical performance of an
approved supplier;
status;
Details of the certificate of conformance if
required;
Methods and frequency of reviewing
approved supplier performance and
status; and
Records required to document approvals,
2.3.3.3 rating and monitoring activities.
2.3.3 Supplier Approval & Performance Review

consumer, the food sold shall comply with
the legislation that applies to the food and
its production in the country of its origin
and destination. This includes compliance
with legislative requirements applicable to
maximum residue limits, food safety,
packaging, product description, nutritional,
allergen and additive labeling, and to
relevant established industry codes of
2.4.1.1 practice.
scientific and technical developments and
relevant industry codes of practice shall be
in a Food Safety Plan. The plan shall be
prepared using a HACCP based system or
another Hazard and Risk Management
System that covers the Codex
Alimentarius HACCP Principles and be
effectively implemented and maintained.
effectively implemented and maintained.
The Food Safety Plan shall include:
A hazard and risk management system

that includes Good Retail Practices
(GOP's see 2.4.1.4);
The product or product groups and their
associated preparation steps or
processes. Process HACCP methods may
be used;
The methodology and results of a hazard
analysis conducted to identify food safety
hazards associated with all inputs and
preparation/process steps including
rework, food recovery and food donation.
The risk assessment that identifies
hazards that are significant/critical in
assuring, monitoring and maintaining food
2.4.1.3 safety (see 2.4.1.5).
module 15 of this Code are applied,
applicable to the scope of certification,
documented, implemented and verified as
per 2.4.3.3. Where a practice or program
is being exempted it is supported by a risk
analysis outlining the justification for
exclusion or evidence of the effectiveness
of alternative control measures to ensure
2.4.1.4 that food safety is not compromised.
monitoring control points and/or critical
control points (see 2.4.1.3) to assigned
critical limits shall be documented and
facilities monitor and verify the following
applicable food safety parameters:
pH;
Hot holding temperatures;
Cold holding temperature
Cooling temperatures:
Cooking temperatures; and/or
Re-heating
On-site grinding of raw meats, poultry
and/or Seafood
Records of monitoring and verification of

monitoring activities shall be maintained.
If the hazard or risk analysis indicates that

control points or critical control points are
different that those listed, then they shall
also be included and monitored
2.4.1.5 accordingly.
2.4.2 Control of Non-Conformity

packaging, or equipment is handled shall
methods applied shall ensure non-
conforming product or equipment is
segregated, held, re-worked, recycled,
improper use and is clearly controlled to
prevent unintended offering for sale, use
or delivery. Non-conforming product or
equipment is repaired or disposed of in a
inadvertent use, improper use and is
clearly controlled to prevent unintended
offering for sale, use or delivery.
Records of holds and resulting

2.4.2.1 dispositions shall be maintained.
2.4.2 Control of Non-Conformity Review
2.4.3 Verification and Validation

Section Details
food safety programs, controls and critical Initial Response Evidence
food safety limits shall be documented and
that programs, controls and CCP's
achieve their intended purpose and that:
2.4.3.1
GOP's are achieving the required result;
Critical limits are selected to achieve the
designated level of control of the identified
food safety hazard(s);
All critical limits and control measures
individually or in combination effectively
provide the level of control required;
effective.; and
Critical food safety limits are re-validated
at least annually where science,
regulation, process or procedural changes
2.4.3.1 have occurred.

verification activities and their frequency of
completion for each activity shall be

verifying the effectiveness of monitoring
GOP's, critical control points and other
food safety controls identified shall be
personnel with responsibility for verifying
monitoring activities and authorizing
2.4.3.3 records is defined.
Product analysis, when critical to the
verification of food safety, shall be
completed by a competent laboratory.
Competency shall be measured through
accreditation to ISO 17025 or an
equivalent national standard and shall be
included on the site's contract service
2.4.3.4 specifications register (refer to 2.3.1.1).
Records of the verification and validation

2.4.3 Verification and Validation Review
2.5.1 Internal Audit (Mandatory)
plans and legislative controls and
includes:
An internal audit schedule is prepared

detailing the scope and frequency of
internal audits;
In-store vendors of food production
services;
Corrections and corrective actions of
corrective actions; and
Records of internal audits and any
corrections and corrective actions taken
as a result of internal audits shall be
2.5.1.1 maintained.
Personnel or 3rd parties conducting
internal audits shall have knowledge of
auditing principles and internal audit
procedures and where possible, be
independent of the function or location
2.5.1 Internal Audit Review
2.5.2 Corrective Action (Mandatory)

Section Details how corrections and corrective
outlining Initial Response Evidence
actions are determined, implemented and
verified in the event of any significant non-
conformity relating to food safety shall be
methods shall include:
The identification of a root cause and

resolution of non-compliance of critical
food safety limits;
Deviations from food safety requirements;
and
2.5.2.1 of corrections and corrective actions.
2.5.2 Corrective Action Review
2.5.3 Control of Measuring and Monitoring Devices (Mandatory)
test and inspection of monitoring devices
used for monitoring activities outlined in
GOP's, food safety plans and other
process controls, shall be documented
and implemented. The methods shall
address the disposition of potentially
affected product and protection of
calibrated devices from damage and
2.5.3.1 unauthorized adjustment.
standards and methods, equipment/device
manufacturing recommendations or
regulatory requirements. In cases where
standards are not available, the
organization shall provide evidence to
support the calibration reference method
2.5.3.2 applied.
2.5.3 Control of Measuring and Monitoring Devices Review
2.6.1 Product Identification

Section Details
identifying products during all stages of Initial Response Evidence
production, storage and offering for sale
Raw materials, work in progress and

finished product (in-store produced and
pre-packaged products) are clearly
production, storage, offering for sale and
delivery; and
Product is labeled to regulatory
requirements.
Product identification records shall be
2.6.1.1 maintained.
2.6.2 Product Trace
Section Details
The responsibility and methods used to Initial Response Evidence
Finished in-store prepared product and

pre-packaged product is traceable to the
customer and consumer when known (one
stage forward) and provides traceability
through the process to the supplier, agent,
broker and vendor and date of receipt of
products, raw materials, food contact
packaging and materials and other inputs
(one stage back);
reworked; and
2.6.2.1 system shall be tested at least annually.
Records of raw and packaging material

receipt and use, and product sold to
customer and/or consumer shall be
2.6.2.2 maintained.
2.6.3 Crisis Management

outlining the methods and responsibility
the organization will implement to cope
with a business crisis that may have an
impact on the ability of the organization to
provide safe food. The plan shall include
as a minimum:
as a minimum:
A senior manager responsible for decision

making, oversight and initiating actions
arising from a crisis management incident;
The selection and training from a crisis
management incident;
The controls implemented to ensure a
safety;
The measures to isolate and identify
The measures taken to verify the
acceptability of food prior to release for
sale;
The preparation and maintenance of a
current crisis alert contact list;
Sources of legal and expert advice;
A communication plan to those affected
(i.e. authorities, external organizations,
customer, consumer and media) in a
timely manner appropriate to the nature of
the incident; and
Notification to SQFI and the certification
body within 24 hours upon identification of
a food safety event that requires public
2.6.3.1 notification.
The crisis communication plan shall be

reviewed, tested and verified at least
2.6.3.2 annually.
Records of reviews and verification of the

crisis communication plan shall be
2.6.3.3 maintained.
2.6.3 Crisis Management Review
2.6.4 Product Withdrawal and Recall

withdraw or recall product shall be
procedure shall:

Describe the management procedures to
be implemented including sources of legal
and expert advice; and
appropriate to the nature of the incident.
public nature, or product recall for any on-
2.6.4.1 site produced products.
An Investigation shall be undertaken to

determine the root cause of an on-site
produced product withdrawal or recall, and
details of investigations and any action
2.6.4.2 taken shall be documented.

2.6.4.3 effective at least annually.
Records of all product withdrawals,

recalls, and mock recalls shall be
2.6.4.4 maintained.
notified in writing within 24 hours upon
identification of a food safety event that
requires public notification of on-site
produced food products (e.g. receipt of a
2.6.4.5 regulatory warning letter)
2.7.1 Food Defense

A food defense risk assessment shall be
documented to identify potential threats
and prioritize food defense measures. The
resulting food defense plan shall be
supported and resourced through senior
2.7.1.1 management commitment.
A food defense risk assessment shall be
documented to identify potential threats
and prioritize food defense measures. The
resulting food defense plan shall be
supported and resourced through senior
2.7.1.1 management commitment.
food defense plan shall be documented
include:
A senior management person responsible

for food defense;
Measures taken to ensure the secure
storage of ingredients, packaging,
Measures to help prevent access to
sensitive points of the site by employees,
contractors and customers; and
A review process, including a challenge or
test of the plan on an annual basis.
Records of food defense risk assessment,

plan reviews, challenges, tests and any
resulting corrective actions shall be
2.7.1.2 maintained.
2.7.1 Food Defense Review
2.7.2 Food Fraud

A food fraud vulnerability assessment

shall be documented to include the site’s
susceptibility to ingredient or product
substitution, mislabeling, dilution and
counterfeiting that could adversely impact
food safety. The initial and on-going
assessments and a resulting mitigation
plan shall be supported and resourced
2.7.2.1 through management commitment.
The methods and responsibility for a food
fraud mitigation plan shall be documented
specify how the identified food fraud
vulnerabilities are monitored and
controlled.
Records of food fraud vulnerability

assessment, monitoring and corrective
2.7.2.2 actions shall be maintained.
2.8.1 Allergen Management Program
Section Details
The methods shall include: Initial Response Evidence

food grade lubricants, that contain
allergens;
in the country of processing and the
country(ies) of known destination;
relevant staff;
safety plan
A system to verify accurate information is
provided to the consumer via the product
labels or other methods;
Training for management and retail food
employees on the essentials of allergy
2.8.1.1 awareness.
specific types of food being offered, the
cleaning of product contact surfaces
between product or changeovers shall be
effective, appropriate to the risk and legal
requirements, and sufficient to remove all
potential target food allergens from
product contact surfaces. The
effectiveness of the cleaning of areas and
equipment in which food allergens are
2.8.1.2 used shall be effectively implemented.
The product identification system shall
include the labeling of all packaged
product intentionally or potentially
containing allergenic materials according
to the allergen labeling regulations in the
2.8.1.3 country of intended use.
2.8.1 Allergen Management Program Review

establishing and implementing the training
needs of the organization’s personnel
The methods shall ensure that personnel
2.9.1.1 legality, and safety.
specific duties, training methods, language
of materials/delivery and frequency for
refresher training to be applied for those
staff carrying out tasks associated with:
Developing and applying Good Operating

Practices (as appropriate) including the
reporting of food safety incidences;
Steps identified by the hazard or risk
analysis and/or other instructions critical to
of the food safety plan; and
of the SQF and food safety management
2.9.1.2 system.
Job descriptions for those responsible for

oversight of food safety program shall be
documented and include provision to
2.9.1.3 cover for the absence of key personnel.
15.1.1 Site External Grounds and Environment

The location of the organization’s store(s)

shall be such that adjacent and adjoining
buildings, operations and land use do not
interfere with safe and hygienic operations
and shall adhere to all regulatory
The location of the organization’s store(s)
shall be such that adjacent and adjoining
buildings, operations and land use do not
interfere with safe and hygienic operations
and shall adhere to all regulatory


Measures, including inspections, shall be
established to maintain a suitable external
environment, and the effectiveness of the
established measures shall be monitored
and periodically reviewed. Records of
15.1.1.4 inspections shall be maintained.
15.1.1 Site External Grounds and Environment Review
15.1.2 Site Design, Construction, Layout and Product Flow

Section Details
flow and ongoing operation of the Initial Response Evidence
premises of organization’s store(s) shall
be maintained both externally and
internally to:
Minimize the risk of product

contamination;
Minimize the risk of cross-contact;
Implement proper security and protection,
and
Comply with the relevant legislation and
15.1.2 Site Design, Construction, Layout and Product Flow Review

Section Details
Product contact surfaces and those Initial Response Evidence
surfaces not in direct contact with food in
food handling areas, raw material storage,
packaging material storage, cold and hot
holding storage and sales areas shall be
15.2.1.1 contribute a food safety risk.



removal of all overflow or waste water

Waste trap system shall be contained to

prevent cross-contamination or located
away from any food handling area or
15.2.3 Walls, Partitions, Ceilings and Doors


15.2.3.1 and shall be kept clean.
15.2.3.1 and shall be kept clean.
Wall to wall and wall to floor junctions shall

be designed and maintained to be easily
cleaned and sealed to prevent the
15.2.3.2 accumulation of food debris.

designed and constructed so as to allow
15.2.3.3 ease of cleaning.
frames shall be of a material and
functional requirements for internal walls
and partitions.
Doors and hatches shall be of solid

construction; and
Windows shall be made of shatterproof
15.2.3.4 glass or similar material.
Food shall be processed and handled in

Drop ceilings shall be additionally

Stairs, catwalks and platforms in food

15.2.3.7 shall be kept clean.
15.2.3 Walls, Partitions, Ceilings and Doors Review
15.2.4 Lightings and Light Fittings

areas shall be of appropriate intensity to
enable the staff to carry out their tasks
15.2.4.1 efficiently and effectively.
ingredient and packaging storage areas,
and all areas where the product is
exposed shall be shatterproof,
Light fittings in storage and other areas

where the product is protected shall be
15.2.4 Lightings and Light Fittings Review
15.2.5 Dust, Vermin, and Pest Proofing


effectively sealed when closed, pest and
insect proofed and provide adequate dust
15.2.5.1 control.
doors in food handling areas, used for
be pest-proofed by at least one or a
15.2.5.2
A pest-proof screen;
A pest-proof annex;
areas; or
Other means to help prevent or minimize
15.2.5.2 insect
Electricentry.
insect control devices, pheromone
processing equipment. Poison bait shall
not be used inside ingredient or food
15.2.4.3 storage areas or processing areas.
15.2.5 Dust, Vermin, and Pest Proofing Review
15.2.6 Ventilation

enclosed processing and food handling
15.2.6.1 areas.


hood positioned over cooker;
Fans and exhaust vents shall be pest
15.3.1 Equipment and Utensils

All food processing equipment shall be

hygienically designed and located for
appropriate cleaning. Equipment surfaces
shall be smooth, impervious and free from
15.3.1.2 cracks or crevices.
impervious and readily cleaned. Bins used
for inedible material shall be clearly
15.3.1.3 identified.

tanks, sinks, condenser units and other
equipment shall be discharged to the floor
15.3.1.4 drainage system.

15.3.1.5 floor.
All display equipment shall be maintained

15.3.1.6 to protect product offered for sale.
15.3.1 Equipment and Utensils Review
15.3.2 Maintenance
that maintenance staff and contractors
perform the following practices in a
packaging or equipment contamination:
Routine maintenance of building and

equipment shall be performed according
to a maintenance-control schedule and
recorded;
Failures of facility and equipment shall be
schedule;
Comply with the personnel and process
hygiene requirements by maintenance
staff and contractors;
Inform the site supervisor if any repairs or
maintenance pose a potential threat to
maintenance and active store renovations
shall be conducted outside food
processing or handling times;
Remove all tools and debris from any
so appropriate hygiene and sanitation can
be completed prior to the commencement
of food processing or handling occurs; and
Records of preventive maintenance and/or
15.3.2.1 repairs are maintained.

grade lubricants and their use controlled
so as to minimize the contamination of the
15.3.2.2 product.
Temporary repairs, where required, shall

15.4.1 Pest Prevention Program

maintenance of the pest management
program;
application;
The methods used to prevent pest
problems;
Pest elimination methods;
The frequency with which pest control
devices are to be inspected;
A map identifying the location, number
and type of bait stations, traps and other
pest/vermin control devices;
available);
Methods used to make staff aware of the
pest prevention program and the
measures to take when they come in
contact with pest control devices or
chemicals;
Measurement or trending tools for use in
determining the effectiveness of the
program in the elimination of applicable
pests; and
Reporting, corrections and corrective
15.4.1.1 action requirements.
Be licensed and approved by the local

relevant authority;
Comply with or provide a pest prevention
program; and
15.4.1.2 applied.
15.4.1 Pest Prevention Program Review
15.4.2 Pest Chemicals
be clearly labeled and stored and handled
and applied by properly trained personnel.
They shall be used by or under the direct
supervision of trained personnel with a
thorough understanding of the hazards
involved, including the potential for the
surfaces. A list of the chemicals used
(they are required to be approved by the
relevant authority) and their Safety Data
Sheets (SDS) are made available to
15.4.2.1 relevant personnel.
containers shall be disposed in
and ensure that:

reused;
and
15.4.2 Pest Chemicals Review
15.5.1 Cleaning Program

food handling and processing equipment
and environment, storage areas and
storage equipment, staff amenities and
toilet facilities, and sales displays shall be
15.5.1.1
sanitizers; and

cleaning of; processing, storage and sales
equipment, utensils, cleaning tools and
15.5.1.2 protective clothing.
other utensils, cleaning tools and for
cleaning of protective clothing used by
staff when applicable. These cleaning
interfere with processing operations,
equipment or product. Racks and
containers for storing cleaned utensils and
protective clothing, if applicable, shall be
15.5.1.3 provided as shall
inspections required.
be conducted by
qualified personnel to ensure food
15.5.1.4 production.
The methods and responsibilities used to
implemented and include:
Verification schedules;
Inspections; and
Swabbing and testing (e.g. ATP,
15.5.1.5 bioluminescence, allergens).
15.5.1 Cleaning Program Review
15.5.2 Cleaning Chemicals

for use in a food processing environment
and purchased in accordance with
applicable legislation.
The facility shall ensure:

outlined in element 15.8.4.1;
and
regulatory requirements and ensure that:
Empty chemical containers are

appropriately cleaned, treated and labeled
before use;
Empty chemical containers are labeled,
awaiting collection; and
15.5.2 Cleaning Chemicals Review


accessible to staff, customers and
consumers and separate from any
number of staff, customers and
consumers;

15.6.1.2 sewerage system.


product.
Be supplied with appropriate lighting and

ventilation;
Be kept clean, supplied with appropriately
sized waste containers and free of pests;
Be separate from food handling, storage
and service areas;
Provide sufficient space and appropriate
storage for street clothing and personal
items; and
Provide signage in appropriate languages
15.6.2.1 prior to entering the food handling areas.

separate from food contact zones, food
15.6.2.2 and packaging storage, and sales areas.
15.6.3 Personal Hygiene, Protective Clothing and Health Standards

of a disease that is communicable through
food or water, (complies with applicable
regulations) shall be documented and
that:
Identified employees are engaged in
activities that do not prepare food or
handle unwrapped disposable items, clean
linens or food contact surfaces;
Personnel with infected, open or draining
cuts, sores or lesions on the hands, wrists
or exposed areas of the arms, do not
prepare food or handle unwrapped
disposable items, clean linens or food
contact surfaces.
of the body are covered with a waterproof
bandage and specifically if on the hands
or arms the bandage is covered with a
waterproof (or impermeable) protective
sleeve, disposable gloves, etc.;
Bodily fluid cleanup is performed by
properly trained employees and proper
materials are provided to safely clean up
15.6.3.1 bodily
Smoking,fluidchewing,
spillage events.
eating, drinking or
spitting is not permitted in any food
processing or food handling areas. Where
drinking or beverage consumption is
allowed there shall be a policy and/or
procedure that employees follow to
15.6.3.2 minimize the risk of food contamination.
15.6.3 Personal Hygiene, Protective Clothing and Health Standards Review
15.6.4 Handwashing
Hand sinks shall be conveniently located

15.6.4.1 required.
Hand sinks shall be constructed of


temperature;
Liquid soap contained within a dispenser;
Single use towels; and
Hand sinks shall be constructed of

temperature;
Liquid soap contained within a dispenser;
Single use towels; and

areas;
After coughing, sneezing, using a
handkerchief or disposable tissue,
smoking, eating, or drinking;
During food preparation, as often as
necessary to remove soil and
contamination and to prevent cross
contamination when changing tasks;
When switching between working with raw
food and working with ready-to-eat food;
Before donning gloves to initiate a task
that involves working with food;
After handling soiled equipment or
utensils; and
After engaging in other activities that may
15.6.4.4 contaminate the hands.
15.6.4 Handwashing Review
15.6.5 Clothing
Section Details
Clothing worn by staff engaged in handling Initial Response Evidence
food shall be cleaned, stored, laundered
and worn so as not to present a
contamination risk to products. Shoes
shall be kept clean, in good repair.
Storage of clothing and shoes shall be
15.6.5.1 designated to areas as per 15.6.2.1.
following practices:

changed as needed to prevent cross
contamination;
Non-disposable aprons and gloves shall
be cleaned as required;
outlined above; and
All gloves and aprons are to be removed
15.6.5.2 prior to using the restroom.
Staff engaged in high risk areas shall don

clean protective outerwear when entering
15.6.5.3 high risk areas.
15.6.6 Visitors



15.6.7 Personnel Food Handling and Processing Practices
Section Details
contamination. They shall comply with the Initial Response Evidence

be through the personnel access only;
Jewelry and other loose objects worn on
hands and arms are not to be worn. Plain
permitted as per applicable food
regulation.
When handling food, personnel shall keep
their fingernails trimmed, filed, and
maintained so the edges and surfaces are
cleanable and not rough;
Unless wearing intact gloves in good
repair, the wearing of false fingernails or
handling food;
Effective hair restrains are worn;
Load limit and maximum capacity lines
shall be adhered to in open temperature
controlled display units;
being processed in the food
handling/contact zone, except as for
designated personnel as part of tasting
15.6.7.1 and as per written
implemented. The procedures.
methods applied shall
ensure that:
Equipment and designated areas are

appropriate for thawing;
Water used for thawing ensures a
continuous flow and water exchange rate
15.6.7.2
continuous flow and water exchange rate
and temperature does not contribute to
product deterioration or contamination;
Water overflow is directed to floor
The methods
drainage; andand responsibility to prevent
foreign
Cartons and/orcontamination
matter of thawed
packaging from the
product shall be documented and
product is contained and disposed of at
15.6.7.2 implemented. The methods applied shall
regular frequencies.
ensure that:
Inspections are performed to ensure

facility and equipment remains in good
condition;
food preparation areas are controlled, kept
clean when not in use and maintained;
made of glass, porcelain, ceramics or
other like material, where required for
storage, use etc., are not cracked,
chipped or broken (Glass breakage
procedure required);
Wood pallets and other wooden utensils
are kept clean when not in use and
maintained;
Staples, paperclips, tacks and other metal
objects used to post or handle
communication are not present in food
handling/preparation areas; and
Ingredients and products are monitored/
inspected prior to and during use.
Records of inspections, clean-ups and

15.6.7.3 repairs are maintained.
15.6.7 Personnel Food Handling and Processing Practices Review
15.7.1 Receiving
ensure that:
Materials and products are from approved

suppliers (see 2.3.3) and that lot codes
match shipping documents;
match shipping documents;
Transport vehicle is clean, free from
odors, temperature controls have been
maintained and that material and product
temperature meet specifications;
Additional testing or inspection is
completed as per receiving procedures;
and
Materials and products are not exposed to
conditions or risks to cross contamination
that will affect product and package
integrity.
Records are maintained for receipt (e.g.

shell stock tags, certificate of analysis, B
of L) inspections and temperature
15.7.1.1 monitoring.
15.7.1 Receiving Review
15.7.2 Delivery and Transportation

Section Details transport and unloading of
loading, Initial Response Evidence
products and materials shall be
Equipment (e.g. trucks/vans/contract

delivery/containers) for transport shall be
inspected for sanitary conditions, good
repair, suitability, and absence of food
safety risk indicators (e.g. odors, pest
evidence); and
Before loading, mechanized temperature
control unit settings shall be set, checked,
15.7.2.1 and
unitsrecorded.
shall maintain food at required
temperatures during transport. Product or
surrounding air temperatures shall be
checked and recorded at intervals
according to the food safety plan,
regulatory or customer requirements as
Loading, transporting and unloading dock

areas shall be designed to protect the
product during loading transporting and
15.7.2.3 unloading.
15.7.2 Delivery and Transportation Review
15.8.1 Temperature Control Storage, Cold, Refrigerated, Frozen, Chilling and Hot Holding
Freezing, chilling, cold and hot holding
storage equipment shall:
Be designed and constructed to allow for

the hygienic and efficient temperature
control for safety of food;
Ensure Load limits and maximum capacity
clearly marked and adhered to;
Ensure condensate discharge does not
present a risk to food; and
Be easily accessible for inspection and
15.8.1.1 cleaning.
Freezing, chilling, cold and hot holding

equipment shall be fitted with temperature
monitoring equipment using devices that
that are calibrated and accessible, either
15.8.1.2 physically or through electronic controls.
15.8.1 Temperature Control Storage, Cold, Refrigerated, Frozen, Chilling and Hot Holding Review
15.8.2 Ambient Temperature Storage- Dry ingredients, packaging, shelf stable products
Areas used for the storage of products,
goods shall be separate from food
handling/preparation areas and equipment
storage and constructed to protect the
15.8.2.1 product from contamination.
Racks and shelving provided for the

storage of daily use ingredients and
impervious materials, designed to enable
15.8.2.2 cleaning and located to minimize risk.
Racks and shelving provided for the
storage of daily use ingredients and
impervious materials, designed to enable
15.8.2.2 cleaning and located to minimize risk.


15.8.2 Ambient Temperature Storage- Dry ingredients, packaging, shelf stable products Review
15.8.3 Inventory Management


effective stock rotation (FIFO) including
ingredients, materials, work-in- progress,
rework and products shall be documented
15.8.3 Inventory Management Review
15.8.4 Hazardous Chemicals and Toxic Substances Storage

Section Details
Hazardous chemicals and toxic Initial Response Evidence
15.8.4.1 stored, sold
sanitizing of or transported.
food handling equipment or
food contact surfaces on a daily or
continual basis shall be stored in a
manner that will minimize the risk to
product contamination. Access or use of
15.8.4.2
product contamination. Access or use of
daily use chemicals are restricted to
15.8.4.2 trained personnel.
storage facilities shall:

chemicals;
area;
Be secure and restrict access only to
authorized personnel;
Have appropriate safety data sheets
(SDS) available;
protective clothing available in close
proximity to the storage area;

substances offered for sale shall be
handled, stored, displayed and delivered
to prevent risk of cross-contamination and
15.8.4.4 cross-contact of food products.
15.8.4 Hazardous Chemicals and Toxic Substances Storage Review
15.9.1 Water/Ice Supply and Delivery

Section Details
Adequate supplies of potable water, drawn Initial Response Evidence
from a known clean source and
maintained as potable, shall be provided
for use during food handling/preparation
cleaning (hot and cold as needed) the
15.9.1.1 premises, equipment and handwashing.



handling/preparation operations, as a
service aid or as an ingredient shall
comply with 15.9.2. Ice rooms/areas and
receptacles shall be constructed of
materials as outlined in elements 15.3.1.1
and designed to minimize contamination
of the ice during storage, distribution and
15.9.1.3 use.
15.9.1 Water/Ice Supply and Delivery Review
15.9.2 Water Quality and Analysis

Washing, thawing and treating food;

Handwashing;
Ingredient or food preparation/service aid;
Cleaning food contact surfaces;
Ice making; and
Steam that will come in contact with food
or used to heat water that will come in
15.9.2.1 contact with food.
shall be designed, installed and operated
to ensure water receives an effective
treatment. The following shall be included
in a water treatment program:
Equipment shall be monitored regularly to
15.9.2.2
Equipment shall be monitored regularly to
ensure it remains serviceable;
to ensure it meets the indicators specified;
and
Microbiological analysis of the water (ice if
applicable) is included in treatment
monitoring and uses nationally recognized
methods and as per regulatory
requirements. Where external laboratories
are utilized to complete the analysis, the
laboratories shall be accredited to ISO
15.9.2.2 17025 or an equivalent national standard.
15.9.2.3 Records of analysis shall be maintained.

15.9.2 Water Quality and Analysis Review
15.9.3 Air Supply


15.9.3.1 present no risk to food safety.
Compressed air systems used in the

processing process shall be maintained
15.9.3.2 and regularly monitored for purity.
15.9.3 Air Supply Review
15.10.1 Waste Management

facility shall be documented and
ensure that:
Waste is removed on a regular basis and

does not build up in food handling or
preparation areas;
Designated waste accumulation areas are
maintained in a clean and tidy condition;
Trolleys, vehicles, equipment, collection
bins and storage areas used in the
handling and disposal of waste are
maintained and kept clean when not in
use;
be stored in a area separate from food
preparation and storage and suitably
insect proofed; and
Waste designated for animal feed follows
regulatory requirements for proper
15.10.1.1 handling, disposal, transport and pick-up.
15.10.1 Waste Management Review
15.10.2 Salvage Operations/Reclamation

restocked or reused shall be documented
shall ensure:
operations are supervised by qualified

personnel;
product is clearly identified and labeled;
and
processes follow regulatory requirements
to ensure safety and integrity of food is
15.10.2.1 maintained.
and disposition damaged and/or returned
product from customers or consumers
The methods applied shall ensure that
damaged and/or returned product is
stored and maintained in a manner that
ensure there is no cross contamination
with stored on in use ingredients and
products. Records of assessments and
15.10.2.2 resulting dispositions shall be maintained.
15.10.2 Salvage Operations/Reclamation Review
The resources presented here were sourced from SQF Institute. For additional reading, tools and context please v
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SQF_ Edition 8.1 (Advanced) - Food Safety

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SQF_ Edition 8.1 (Advanced) - Food Safety

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Instructions

1) Make sure for youUsing With into

i. The site's commitment to supply safe

The policy statement shall be:

i. Signed by senior site management;

2.1.2.1 Management Responsibility (Mandatory)

The reporting structure describing those

The senior site management shall make

The senior site management shall ensure

Senior site management shall designate

i. Oversee the development,

The SQF practitioner shall:

i. Be employed by the site as a company

The owner/senior site manager shall

Job tasks for those responsible for food

The senior site management shall

The owner/senior site manager shall be

2.1.4 Complaint Management (Mandatory)

The methods and responsibility for

Trends of customer complaint data shall

2.1.4.3 Corrective action shall be implemented

2.1.5 Crisis Management Planning

The crisis management plan shall be

i. The policy statement and organization

2.2.2 Document Control (Mandatory)

The methods and responsibility for

2.2.2.2 A register of current SQF System

2.2.3 Records (Mandatory)

The methods and responsibility for

All records shall be legible and suitably

Records shall be readily accessible,

2.3.1 Product Development and Realization

Section Details Initial Response Evidence

2.3.1.1 The methods and responsibility for

2.3.2 Raw and Packaging Materials

2.3.2.3 Raw Food contact packaging and

2.3.3 Contract Service Providers

The methods and responsibility for

2.3.5 Finished Product Specifications

Section Details Initial Response Evidence

Finished product specifications will be

2.3.5.1 i. Microbiological and chemical limits; and

2.4.1 Food Legislation (Mandatory)

Section Details Initial Response Evidence

The owner/senior site manager shall

SQFI and the certification body shall be

2.4.2 Good Agricultural/Aquaculture Practices (Mandatory)

i. Maintain a current record indicating that

The scope of each food safety plan shall

Product descriptions shall be developed

The food safety team shall identify and

The food safety team shall determine and

Based on the results of the hazard

The food safety team shall develop and

Implemented food safety plans shall be

2.4.4 Approved Supplier Program (Mandatory)

Agricultural/aquaculture inputs, harvested

2.4.4.3 The responsibility and procedure for

The site's food defense plan (refer to

The site's food fraud vulnerability

The food fraud mitigation plan (refer to

Agricultural/aquaculture inputs, harvested

Supplier audits shall be based on risk and

2.4.4 Approved Supplier Program Review