Introduction to SQF 2000 Certification This presentation introduces the SQF Certification process, Benefits and Costs of Certification and an overview of the requirements.

The SQF Certification Scheme The SQF System is a Food Safety Management System (FSMS) Requirements for integrated processes that work together to control and minimize food safety hazards Management Commitment, Document Control and Records, Food Safety Fundamentals, Food Safety Plans, Verification and Validation, Product Identification and Traceability and Site Security More and more food businesses are moving away from an inspection based system (inspecting for food safety) to a management systems approach (building processes that ensure food safety and prevent food safety hazards from occurring) The management systems approach requires that you design and implement process to manage food safety in all aspects of your business.

The SQF Certification Scheme Safe Quality Food, SQF The certification program is managed by the Safe Quality Food Institute (SQFI) www.sqfi.com The SQFI website is a great resource, with information and document downloads.

The SQF Certification Scheme Safe Quality Food, SQF The SQF System was designed to provide suppliers with a recognized certification and to be able to provide proof of a rigorous food safety management system The current version is SQF version 6; version 7 is in draft form and will be used in audits after June 30, 2012 Many food processors and manufacturers are asking their suppliers to become certified to a Food Safety Management System. The certifications provide assurance that the organization has implemented a system to protect the safety of the product.

The SQF Certification Scheme Safe Quality Food, SQF (Version 6) SQF provides two different standards SQF 1000 for Primary Producers SQF 2000 for Manufacturers and Distributors Version 7 will have only one standard, and will have a choice of modules that apply based on the scope of certification This training covers SQF 2000, for Manufacturers and Distributors. When version 7 of the SQF Standard is released there will be only one standard with the management systems requirements, and then separate modules with requirements for food safety fundamentals. The modules are designed for specific industry segments, for example processing or food packaging manufacturing.

The SQF Certification Scheme Safe Quality Food, SQF The SQF 2000 is recognized by the Global Food Safety Initiative, GFSI Providing worldwide recognition and acceptance by food manufacturers and retailers It is important that SQF 2000 Certification is recognized by GFSI. This means that it is widely recognized and accepted worldwide.

The SQF Certification Scheme Safe Quality Food, SQF 2000 A supplier can choose from 3 Levels of certification Level 1- Food Safety Fundamentals Level 2- HACCP (GFSI Recognition) Level 3- Integrated Food Safety and Quality This training focuses on Level 2, which has requirements for the food safety fundamentals and Food Safety Plans (HACCP). Level 2 focuses on food safety. Level 3 incorporates quality in addition to food safety.

This is a chart showing the different requirements that apply to each level. An * indicates that there are requirements added to the section from the previous level.

The SQF Certification Scheme SQF 2000 Documents SQF 2000 Documents can be downloaded at the SQFI Website and include: SQF 2000 Code Guidance for Developing, Documenting and Implementing SQF 2000 Additional guidance documents The code and guidance documents are provided free of charge on the SQFI website.

The SQF Certification Scheme Initial Certification to SQF Choose an accredited certification body Document Review On-site Audit Correct Nonconformances Certification Surveillance Audits These are the steps to Certification.

The SQF Certification Scheme The SQF 2000 Certification Audit An SQF Auditor will examine your SQF 2000 System to determine: If the system has been implemented effectively If there is evidence of Management Commitment to the maintenance and improvement of the system If activities comply with regulatory, customer and SQF 2000 requirements The auditor is looking for evidence that your system is fully implemented, effective and complying with the requirements.

The SQF Certification Scheme The SQF 2000 Certification Audit Minor Nonconformity: Nonconformance to the documented system or to the SQF Code that does not cause an immediate food safety risk or indicate ineffective implementation of a system element. Must be corrected within 30 days of the finding and will be verified at the next audit. The auditor will write up any findings as nonconformances, and classify them as Minor, Major or Critical. It is not uncommon to have several nonconformances from your certification or surveillance audits. You will have a chance to take corrective action on the nonconformances found. For a minor nonconformance you will respond with your corrective action plan. The auditor will verify it at your next surveillance audit, no additional audit is needed.

The SQF Certification Scheme The SQF 2000 Certification Audit Major Nonconformity: Nonconformance to the documented system or to the SQF Code that could cause an immediate food safety risk or indicate ineffective implementation of a system element. Must be corrected and verified within 14 days of the finding If there is a major nonconformance, the correction must be verified.

The SQF Certification Scheme The SQF 2000 Certification Audit Critical Nonconformity: Loss of control at a critical control point, prerequisite program or other process step that could cause a significant risk and product safety is compromised Falsification of records Suspension of Certificate If there is a problem that shows significant risk to to product, you risk losing your certificate.

The SQF Certification Scheme The SQF 2000 Surveillance Audit Once certified, your certification body will audit to ensure that your organization continues to comply with requirements Frequency will be determined by your certification body Based on performance and SQF System rating at the certification audit

SQF Practitioner Responsibilities and Qualifications

Responsibilities and Qualifications SQF Practitioner The practitioner must be a company employee Have demonstrated knowledge and experience Understand the requirements of the SQF 2000 code Have completed HACCP Training Responsibilities and Qualifications

SQF Practitioner Roles and Responsibilities Lead the development and implementation of: Food Safety Fundamentals - GMPs or Prerequisite Programs Food Safety Plans - HACCP Plans

SQF Practitioner Roles and Responsibilities Lead the SQF 2000 System implementation Ensure the maintenance and integrity of the SQF 2000 System Communicate essential information to personnel

SQF Practitioner Roles and Responsibilities The SQF Practitioner is responsible for Validation and Verification activities Validate and verify Food Safety Fundamentals Validate and verify Food Safety Plans

Food Safety Management Systems Costs and Benefits

Benefits of Certification Greater opportunities and market access Reduces audit burdens from buyer audits Improves processes and efficiencies Savings from reduced recalls Recognized worldwide Promotes confidence Enhances image Manages risk Proof of due diligence

Certification Trends Global food trade is expanding and driving demand for third party certification With diverse food safety regulations worldwide, certification provides common ground for food safety regulations ISO 22000 had 34% growth in 2010 FSSC 22000 new in 2010 has over 900 certificates issued Coke, Danone, Cargill, Nestle, Heinz, Kraft, Mars, Pepsi

Benefits of GFSI GFSI is the result of collaboration between some of the worlds leading food safety experts from retailers, manufacturers and food service companies.

Costs to Consider Costs Internal Consultant/Tools Certification Audits and accreditations

Ongoing costs to consider Ongoing employee time for: Internal Audits Training Verification activities Food safety team meetings Change control Management review Document control Corrective Actions Supplier evaluations and corrections

SQF 2000 Implementation Steps and Techniques

Implementation Step 1 – Learn Learn about SQF 2000 Understanding SQF 2000 Food Safety Fundamentals (Pre-requisite Programs) Principles of HACCP

Implementation Step 2 - Plan Plan your project. Conduct your Gap Analysis Create your Project Plan

Implementation Step 3 Assign responsibilities for: Documenting and implementing SQF Procedures Developing and implementing programs Food Safety Fundamentals (Pre-requisite Programs) Documenting the Food Safety Plans (HACCP Plans) Creating a Food Safety Manual

Implementation Step 4 Train your employees

Implementation Step 5 Train your internal auditors

Implementation Step 6 Schedule your registration audit

Implementation Step 7 Celebrate

SQF 2000 Requirements

Requirements Understanding the requirements of SQF 2000 Level 1: Food Safety Fundamentals Level 2: HACCP Food Safety Plans Level 3: Food Safety and Quality Management

Requirements Level 2 (Version 6 structure): Section 4: SQF 2000 System Requirements Section 5: Building and Equipment Section 6: Prerequisite Programs

Requirements 4.1 Commitment 4.2 Document Control and Records 4.3 Specifications 4.4 Attaining Food Safety 4.5 Verification 4.6 Product Identification, Trace, Recall 4.7 Site Security

Requirements 4.1 Commitment: Provide evidence of commitment to the SQF System 4.1.1 Management Policy 4.1.2 Management Responsibility 4.1.3 Food Safety Management System 4.1.4 Management Review 4.1.5 Complaint Management 4.1.6 Business Continuity Planning

Requirements 4.1.1 Management Policy Outline the organization's commitment to supply safe food, for example: OUR COMPANY is committed to building customer trust and confidence by providing our customers with safe food products and ingredients. Our company has designed, implemented and maintains an SQF 2000 Food Safety Management System to effectively manage food safety throughout the organization including establishing and reviewing our food safety objectives. We strive to continually improve the SQF 2000 system. Full compliance to all customer, statutory, and regulatory requirements is achieved by strict adherence to the policies and procedures of our documented Food Safety Management System.

Requirements 4.1.2 Management Responsibility Define operational reporting structure Describe those who have responsibility for food safety Communicate within the organization

Requirements 4.1.2 Management Responsibility Provide adequate resources Assign an SQF Practitioner

Requirements 4.1.2 Management Responsibility Assign responsibility for making sure training needs are identified and training is provided.

Requirements 4.1.2 Management Responsibility Establish a process to inform all employees of the responsibility to report food safety problems

Requirements 4.1.2 Management Responsibility Document Job Descriptions for all those with food safety responsibilities Designate back up for the position

Requirements 4.1.3 Food Safety Management System Document a Food Safety Manual Policy Statement Organizational Chart Scope of Certification List of Products Reference to Procedures

Requirements 4.1.4 Management Review Review the SQF 2000 system Policy Statement Audit Findings Corrective Actions Customer Complaints

Requirements 4.1.5 Complaint Management Establish methods and responsibility for handling customer complaints Investigation Resolution Analysis Corrective Action Records

Requirements 4.1.6 Business Continuity Planning Prepare a business continuity plan Methods for handling crisis that may impact food safety Management responsibility Crisis management team Controls to protect product safety Isolating affected product Verifying acceptability of food Crisis alert contact list

Requirements 4.2.1 Document Control Define a document control process Provide access to current documents Keep a register of current SQF 2000 system documents Make documents readily accessible

Requirements 4.2.2 Records Document methods and responsibilities for: Keeping records of monitoring activities Verifying records Retaining records

Requirements 4.2.2 Records Records must be legible Inspection results must be signed and dated Verifications must be signed and dated Records must be readily accessible Protected from damage Retained in compliance with regulations

Requirements 4.3 Specifications Specifications are required for: 4.3.2 Raw Materials 4.3.3 Packaging 4.3.4 Contract Service Providers 4.3.6 Finished Product

Requirements 4.3.2 Raw Materials Document specifications for raw materials. Keep them current Maintain a register

Requirements 4.3.3 Packaging Obtain specifications for packaging materials. Keep them current Validate materials Maintain a register

Requirements 4.3.4 Contract Service Providers Document specifications for contract services Full description of the service Relevant training requirements Keep specifications current Maintain a register

Requirements 4.3.6 Finished Product Document specifications for finished product Keep them current Have authorized personnel approve the specifications Obtain customer approval Make the specifications accessible to staff Include microbiological and chemical limits Maintain a register Approve product labels

Requirements 4.4 Attaining Food Safety 4.4.1 Food Legislation 4.4.2 Food Safety Fundamentals 4.4.3 Food Safety Plan 4.4.5 Incoming Goods and Services 4.4.6 Corrective and Preventive Action 4.4.7 Non-conforming Product or Equipment 4.4.8 Product Rework 4.4.9 Product Release 4.4.10 Stock Rotation

Requirements 4.4.1 Food Legislation Make sure that food supplied to the customer complies with all legislation Applying to the food and its production Country of origin and destination Have methods for keeping informed of changes

Requirements 4.4.2 Food Safety Fundamentals Senior management is responsible for making sure that fundamental food safety practices are implemented

Requirements 4.4.2 Food Safety Fundamentals The building, grounds and equipment must be properly designed, constructed and maintained to allow for production of safe food. Detailed requirements are found in Section 5 of the code (Version 6)

Requirements 4.4.2 Food Safety Fundamentals The facility must be maintained and operated in a hygienic manner. Pre-requisite programs must be documented, implemented and validated and verified. Detailed requirements are found in Section 6.0 of the code (Version 7)

Requirements 4.4.3 Food Safety Plan Prepare food safety plans for each food or food group that describe how you will control and assure food safety. Outline results of hazard analysis Prescribe measures to apply controls Follow a HACCP method Include Process Controls Include planned corrections Implement the plans, validate, verify and maintain them

Requirements 4.4.5 Incoming Goods and Services Approve suppliers to provide your organization with raw materials. Details for approving suppliers are found in section 6.10 of the code Identify a process of inspecting or analyzing any materials that must be purchased from non-approved suppliers in an emergency

Requirements 4.4.6 Corrective and Preventive Action Document a process for corrective action including: Responsibilities and method Investigation Resolution Identification of root cause Elimination of the cause Records of actions

Requirements 4.4.7 Non-conforming Product or Equipment Document a process for controlling product or equipment that is non-conforming. Prevent improper use by making sure it is: Quarantined Identified Handled Disposed of

Requirements 4.4.7 Non-conforming Product or Equipment Inform staff on quarantine and release requirements for product, materials and equipment. Maintain records of quarantine, handling and disposal.

Requirements 4.4.8 Product Rework Document a process for rework of product or materials that ensures: Supervision by qualified personnel Identification and traceability Inspection and analysis before release Records of all rework operations

Requirements 4.4.9 Product Release Document a process for release of finished product that ensures Release by authorized personnel Verification that all analyses and inspections have been completed successfully and legislative and other controls have been met Records are maintained of all product release

Requirements 4.4.10 Stock Rotation Document and Implement a system of stock rotation.

Requirements 4.5 Verification 4.5.1 Responsibility, Frequency and Methods 4.5.2 Validation 4.5.3 Verification of Monitoring Activities 4.5.4 Product Sampling, Inspection and Analysis 4.5.5 Internal Audits 4.5.6 Verification Schedule

Requirements 4.5.1 Responsibility, Frequency and Methods The SQF Practitioner is responsible for validation and verification activities in Section 4.5 Establish methods Prepare a schedule

Requirements 4.5.2 Validation Establish a process for validation of Pre-requisite programs Critical control limits Critical control limits and control measures Maintain records of validation

Requirements 4.5.3 Verification of Monitoring Activities Document your process for verifying that your monitoring program is effective Monitoring critical control limits Monitoring of pre-requisite programs

Requirements 4.5.4 Product Sampling Inspection and Analysis Document a process for inspection and analysis of materials and product Proper intervals for sampling Inspections ensure that materials and product meet specifications, regulatory requirements and match labeling Nationally recognized methods or validated methods are used Records are maintained

Requirements 4.5.5 Internal Audits Establish your internal audit program to verify the effectiveness of your SQF 2000 System Facility Equipment Pre-requisite programs Food safety plans Legislative controls

Requirements 4.5.5 Internal Audits Document the internal audit process and include Internal audit scheduling Correction and corrective action for non-conformances Communication of audit findings Records of internal audits Training of internal auditors Independence of auditors from the function being audited

Requirements 4.5.6 Verification Schedule Prepare a verification schedule Frequency Person responsible

Requirements 4.6 Product Identification, Trace, Withdrawal and Recall 4.6.2 Product Trace 4.6.3 Product Withdrawal and Recall

Requirements 4.6.1 Product Identification Document your method of product identification Clear identification of product All stages of production and storage Labeling of final product to specifications and requirements Records of product identification

Requirements 4.6.2 Product Trace Document your method of product traceability Senior management responsibility Trace finished product to customer Trace finished product to raw materials and food contact packaging Maintain traceability where there is reworked product Test system annually or more Maintain records

Requirements 4.6.3 Product Withdrawal and Recall Document your method for withdrawal and recall of product Responsibility for initiating, managing and investigating Source for legal and expert advice Communication plan Annual review, test and verification Records of withdrawals and recalls

Requirements 4.7 Site Security, Food Defense Prepare a Food Defense Plan Senior management responsibility Access controls to limit manufacturing and storage to authorized personnel Protection of sensitive processing points Protection of raw materials, packaging, equipment and chemicals Secure storage and transport of finished product Controlled access to facility

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