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General Food Processing - Level 1

Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing

Foreword and Acknowledgements

The preparation of this guide provides guidance for Suppliers when implementing their SQF 2000 System. It compliments the SQF Systems training course that has been developed to ensure those implementing, auditing and maintaining an SQF System have a full understanding of the SQF Program. The SQF 2000 Code is unique in that it has three levels of certification. It is recognized that some Suppliers have made considerable investment in developing extensive food safety and quality management systems and have the capacity to achieve full SQF 2000 Certification at Level 3. It is also recognized that others have in place minimum food safety controls with little management system oversight and practically no available records to substantiate actions taken. Achieving SQF 2000 Certification does not equal complacency. The SQF 2000 Code requires a Supplier review their SQF system at least annually and make changes where appropriate. Moving through the three levels of certification also encourages continuous improvement of a Suppliers management of food safety and quality. The SQF Institute will release guidance for various industry sectors as required. This document outlines guidance for those implementing or reviewing SQF 2000 systems for general food processing operations and can be used where no specific industry sector guidance is available. The SQF Institute is grateful for the assistance provided by the SQF Institute Technical Committee and other associated working groups for their assistance in finalizing this document.

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Foreword and Acknowledgements Contents List 1. Introduction 1.1 The purpose of this Guide 1.2 What is the SQF 2000 Code? 1.3 What is the SQF Management System? 1.4 Implementing the SQF 2000 System 1.5 What is in the SQF 2000 Code? 2. The Basics of Developing and Documenting the SQF System 2.1 Obtain the Commitment of Senior Management 2.2 Determining the Scope of the SQF 2000 System 2.3 Conduct the Gap Analysis 2.4 Preparing to Develop and Document the SQF 2000 System 2.5 Documenting the Policy Manual 2.6 Documenting the Food Safety Plan 2.7 Documenting the Food Quality Plan 2.8 Preparing the Procedures Manual 2.9 Records 3. Definitions 4. Guidance for Developing, Documenting and Implementing an SQF 2000 System - Level 1 Annex 1: Guidance: Premises and Equipment Construction and Design Annex 2: Guidance: Food Safety Fundamentals; Pre-requisite Programs Annex 3: Documenting a Pre-requisite Program or other Standard Operating Procedure

Copyright FMI 2006 All rights and title including copyright to this publication are owned by the Food Marketing Institute. Other than for the purposes of and subject to the conditions prescribed under the Copyright Act, no part of it may in any form or by any means (electronic, mechanical, photocopying, recording or otherwise) be reproduced, stored in a retrieval system or transmitted without prior written permission. If you wish to reproduce or otherwise deal with any part of this publication, please contact: the SQF Institute.

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1. Introduction

1.1 The purpose of this Guide

The purpose of this guide is to provide guidance on how to design, develop, document, implement, and maintain an SQF 2000 System for a general food processing operation. This guide references the HACCP (Hazard Analysis and Critical Control Point) technique but does not explain HACCP in detail. It assumes that those implementing an SQF 2000 System have completed recognized HACCP training and have extensive knowledge of the HACCP guidelines, its principles and experience in the implementation of HACCP.

1.2

What is the SQF Program?

The SQF Program consists of the SQF 1000 Code (for use by primary producers) and the SQF 2000 Code (used mainly by food manufacturers). These Codes are not audit checklists nor are they product or sector codes of practice. Specific procedures, practices, methods and records a Supplier must implement to achieve certification are not described. Unlike a code of practice the SQF Codes are general requirements. The Codes require that a Supplier implement a management system, utilizing the HACCP method, encompassing pre-requisite programs and good practices applicable to their industry sector in order to grow or manufacture a product that meets food safety legislation and their customer's specified requirements. Applicable to all links in the food supply chain (from primary production, manufacturing, transport and storage), the SQF Program provides a solution for the management of supply chain food safety and quality assurance. Its certification and audit procedures, including auditor qualifications, are governed by the one set of rules which are overseen by established international accreditation standards. The SQF 2000 Code (Level 3) is recognized by the European based Global Food Safety Initiative. Major regional and global retailers now accept product grown or manufactured by SQF certified Suppliers. The SQF Program is suitable for both large and small Suppliers. It reduces the need for multiple Supplier audits, it enables flexibility in its implementation and when implemented fully the SQF 2000 Code provides an effective management tool to demonstrate that customer requirements are being met while setting the framework for continuous improvement within the business.

1.3

What is the SQF 2000 Code?

The SQF 2000 Code is a HACCP food safety and quality management program designed primarily for the processing and manufacturing sector. More recently Suppliers to food industries such as food packaging manufacturers, pest control contractors, crop harvest and crop spray contractors have also implemented SQF 2000 Systems. The Code utilizes the CODEX HACCP method to address both food safety and quality. The methods used to manage food safety are documented in a Food Safety Plan and the methods used to manage quality are documented in a Food Quality Plan. The SQF 2000 Code is divided into three certification levels. Each level indicates the stage of development of a Supplier's food safety and quality management system. A Supplier can choose a level that is acceptable to a customer and the attainment of a level indicates the stage of development of the Supplier's food safety and quality management system. The three levels of certification for the SQF 2000 Code are: Level 1 Level 2 Level 3 Food Safety Fundamentals Certified HACCP Food Safety Plans Comprehensive Food Safety and Quality Management System

1.4

Implementing the SQF 2000 System

The SQF 2000 Code requires that Pre-requisite Programs, Food Safety Plans and Food Quality Plans be implemented and maintained by an SQF Expert. An SQF Expert is either an SQF Practitioner or an SQF Consultant. If a Supplier elects to "do it themselves" they can designate a suitably qualified staff member as their SQF Practitioner or they can utilize the services of an SQF Consultant.

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All SQF Consultants are registered by the SQFI. They are issued with a certificate and an identity card to indicate the food industry category(s) in which they are qualified to work. The criteria outlining the requirements necessary to qualify as an SQF Consultant and application forms are available on the SQFI web site. A "SQF Consultant Code of Practice" has been prepared outlining the practices expected of SQF Consultants and to assist SQF Consultants in the delivery of their services. A copy of the Code of Practice is available on www.sqfi.com where a list of currently registered SQF Consultants is also provided. The SQF Institute emphasizes that it is a Supplier's responsibility to exercise appropriate due diligence when selecting and engaging an SQF Consultant. Information on selecting an SQF Consultant is outlined in the "SQF Program Guidebook" also available on this web site.

1.5

What is in the SQF 2000 Code?

The Code is made up of sections which are called system elements. Each element outlines where procedures need to be documented, where record keeping is required or where actions must be taken. Table 1 below outlines the elements and sub-elements of the Code.

Table 1. Element No.

4.1

Elements and sub-elements of the SQF 2000 Code Element Subelement No.

4.1.1 4.1.2 4.1.3 4.1.4

Sub-element

Commitment

Management Policy Quality Manual Organizational Structure Training Supplier Specifications Incoming Goods and Services Finished Product Specifications Process Control Corrective and Preventive Action Non-Conforming Product Food Legislation (Regulations) Calibration Internal Audits System Review Customer Complaints Product Sampling, Inspection and Analysis Finished Product Release Document Control Records Product Identification Product Trace Product Recall

4.2

Specifications

4.2.1 4.2.2 4.2.3

4.3

Control of Production

4.3.1 4.3.2 4.3.3 4.3.4

4.4

Verification

4.4.1 4.4.2 4.4.3 4.4.4 4.4.5 4.4.6

4.5

Document Control and Records

4.5.1 4.5.2

4.6

Product Identification, Trace and Recall

4.6.1 4.6.2 4.6.3

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2. The Basics of Developing and Documenting an SQF System

2.1 Obtain the Commitment of Senior Management

Implementing SQF systems requires planning to clearly outline the task and the resource requirements. First you need to ensure management is fully aware of the requirements and they have a strong commitment to support the development and implementation of the SQF System and to continued ongoing maintenance of that system once implemented. This is essential. Management, once committed, will support those involved in designing and documenting the system. Without this commitment, suitable resources may not be available to enable personnel to complete the task in a systematic and thorough manner.

2.2

Determining the Scope of an SQF 2000 System

The first thing to consider before developing and documenting an SQF 2000 System is to determine the "scope" of the system to be implemented. For a food manufacturer this will normally cover "from receipt of raw materials to dispatch of finished product". This means that the system will cover all those food safety and/or quality management activities (depending on the level of certification) that are under the control of the Supplier at that site.

2.3

Conduct a Gap Analysis

This is an assessment of the status of the systems, procedures and protocols that are already in place to determine what needs to be done to fill in the gaps in order to achieve the level of certification required. This assessment is an essential first step and can be conducted by a consultant, a certification body or by the Suppliers own qualified staff.

2.4

Preparing to Develop and Document an SQF 2000 System

Each business has its own unique culture and infrastructure and will require an implementation program designed to fit the business. The process of implementing an SQF system should be treated as a project. The implementation should be planned, structured and have a target date for completion. Management must be kept informed of progress and this is best achieved through regular progress reports. No one knows a business or a process better than the people who do the work and for best long term results you should involve staff in the development of your SQF System. History shows that systems developed without the involvement of line operators have mixed success. The advantage of staff involvement in the development and implementation of the SQF system facilitates the integration of every day work activities - provided they are consistent with or exceed generally accepted good practice. It also encourages the use of non-technical language and the system will be tailored to a Suppliers own business operations and needs. While there is no right way to document a quality system a major consideration is to keep it as simple and uncomplicated as possible. A system that is easy to follow will be easy to implement and maintain. It will also be easy to audit and this will prevent frustrations, save time and most importantly ­ save money.

2.5

Documenting a Policy Manual

The policy manual provides an overview of the SQF System. It briefly describes how the SQF System has been implemented and makes reference to all the policies and procedures the Supplier has implemented to meet each element of the Code. It serves as an effective marketing tool describing the Supplier's commitment to the principles that support the delivery of safe, quality food. While parts of the policy manual will need to be prepared at an early stage in the development of the SQF System, (such as the management policy or the organization chart), the preparation of the Policy Manual is best left to last.

2.6

Documenting the Food Safety Plan

This part contains the information necessary to support all food safety controls documented in the Level 1 Food Safety Plan and the and Level 2 Food Safety Plan.

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i.

Level 1 ­ Food Safety Plan Level 1 requires that a Supplier demonstrate how their operations comply with the food safety legislation that applies to their business operations. In addition it also requires that a plan of the site be provided indicating the location of the premises in relation to the surrounding activities. The Supplier is also required to provide plans and specifications of the premises and demonstrate that its design and construction will facilitate hygienic and sanitary operations. Finally the establishment of Pre-requisite Programs, those fundamental food safety controls that are essential to provide a sound foundation for the manufacture of safe food, are required at this level.

ii. Level 2 ­ Food Safety Plan Level 2 incorporates all Level 1 system requirements. At this level a Supplier is required to complete and document a food safety risk analysis of the product and its process, using the HACCP Method to identify hazards that can impact on the manufacture of safe food. Included in this risk analysis is an outline of the action taken by the Supplier to eliminate, reduce or prevent these hazards from occurring. To qualify for Level 2 SQF Certification the Supplier is required to attain Level 1 Certification and/or incorporate all Level 1 requirements under its Level 2 Certification.

2.7

Documenting the Food Quality Plan

This part contains the information necessary to support all food quality controls documented in the Level 3 Food Quality Plan. i. Level 3 ­ Food Quality Plan Level 3 incorporates all Level 1 and Level 2 system requirements. At this level a Supplier is required to complete and document a food quality risk assessment of the product and its associated process to identify the threats to producing quality and to outline the action taken to eliminate, reduce or prevent their occurrence. Level 1 and Level 2 Certification are a pre-requisite to gaining a Level 3 SQF 2000 Certificate.

2.8

Preparing the Procedures Manual

The procedures manual contains all those procedures that are required by the SQF 2000 Code. It may also include examples of forms that are used in production and/or elsewhere to record the results of observations, inspection, tests and other monitoring information.

2.9

Records

This part contains the completed records, the information that has been collected as a result of inspections, product analysis, monitoring, validation, and verification and surveillance activities. Records provide proof that activities have been completed and are the documents that will be reviewed as part of any investigation, or for planning and basing decisions for improvement.

3. Definitions

The definitions contained in the SQF Program Vocabulary document apply.

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Guidance for Developing, Documenting and Implementing an SQF System LEVEL 1

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4. Guidance for Developing, Documenting and Implementing a Level 1 SQF 2000 System ­ General Food Processing

The following section explains the elements and sub-elements of the SQF 2000 Code at Level 1 and provides guidance on what you need to do to develop, document and implement an SQF 2000 System at this level.

SQF 2000 System Requirements 4.1 Commitment 4.1.1 Management Policy The owner or most senior person shall define the Supplier's commitment to food safety, quality and continuous improvement and make resources available to achieve these objectives in a Policy Statement, which is relevant to the Supplier's goals and customer requirements. It shall be signed by the owner or most senior person, documented in the Policy Manual and communicated to all staff.

Guidance

What does it mean? "How are you going to meet your customer expectations?" Providing a Policy Statement that is relevant to the business' goals and customer needs is the necessary starting point for any system. By preparing a statement in writing the owner or most-senior person in the business `leads the way' in a commitment to food safety and outlines their undertaking to provide resources to accomplish this. This also needs to be understood by all staff members. There is no point in senior management having great intentions if staff is not aware of them. It is essential that staff has access to the policy and that they understand it. Note: Remember to keep it brief (one -half to one page is a guide). The senior person must sign and date the Policy Statement, display the document in a prominent position and ensure that staff is made aware of the policy by either discussing it during staff induction training or some other means of communicating the message. Place the Policy Statement in the front of the Policy Manual. SQF 2000 Requirement Level 1 i. The owner or most senior responsible person shall prepare and sign a Policy Statement outlining their commitment to supply safe food and to make resources available to achieve this. It shall be: a. Signed by the owner or the senior responsible person; b. Reviewed by senior management at least annually; c. Displayed in a prominent position; and d. Available in language understood by staff and communicated to all staff. Implementation What do I need to do? At this level the senior responsible person is required to document and sign a Policy Statement that demonstrates their understanding of their food safety responsibility and outlines how the organization will achieve and maintain food safety. They must also demonstrate this by providing the necessary staff, training, support programs, etc. which will ensure the success of the SQF System. In order to keep pace with changes in company policy the Policy Statement must be reviewed annually by senior management. This is normally done when annual reviews of the SQF Systems are undertaken. The Policy Statement must be displayed in a prominent position so the staff and visitors are aware of the policy. In circumstances where there is a different language used it will be necessary to display the document in these different languages to ensure that every staff member understands the food safety goals of the Supplier and the role they play in achieving these goals.

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4.1.2 Policy Manual

A Policy Manual which outlines the methods the Supplier will use to meet the requirements of this Code shall be documented.

Guidance

What does it mean? The Policy Manual is a document that provides information about the business and how its SQF system will meet the requirements of the SQF 2000 Code. Some Suppliers use this document as a marketing tool, outlining to potential customers how their food safety system has been set up. Note: Remember to keep the Policy Manual brief and to the point. It is not a document that contains detailed instructions or procedures as these are contained in the various work instructions, Standard Sanitary Operating Practices (SSOP's) and other procedural documents. SQF 2000 Requirement Level 1 i. A Policy Manual shall be prepared and it shall; a. Outline the methods the Supplier will use to meet the requirements of Level 1 and reference where those methods are documented; b. Include the Policy Statement; and c. Be readily available to key staff. Implementation What do I need to do? The Policy Manual is a brief document that provides an overall description of the Suppliers system and how it meets the requirements of the SQF 2000 Code. Aligned to each element of the SQF 2000 Code the Supplier is required to prepare a Policy Manual outlining the methods used to meet the requirements of the SQF 2000 Code in regard to its food safety obligations outlined at Level 1. The document is also required to contain the Policy Statement and the Supplier must indicate how the Policy Manual will be made available to key staff. This document can be distributed to potential customers describing how the Supplier has set up and maintained a food safety management system.

4.1.3

The organizational reporting structure shall be documented in the Policy Manual. It shall describe those who have functional responsibility for continuous improvement, food safety and quality and their interrelationship. Job descriptions for these positions shall be documented.

Organizational Structure

Guidance

What does it mean? Who reports to whom, who supervises who, and who is responsible for each activity? These responsibilities and reporting functions need to be described. This is an important aspect of any management system and helps ensure that everyone in the organisation is clear about their roles and responsibilities. SQF 2000 Requirement Level 1 i. The organizational structure shall be documented in the Policy Manual to outline those who have overall functional responsibility for food safety and regulation. Implementation What do I need to do? Prepare an organization chart showing the individuals who have responsibilities associated with food safety and regulation. This organization chart must be included in the Policy Manual.

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4.1.4 Training

Appropriate training shall be provided for personnel carrying out the tasks at the critical steps identified in the Food Safety and Food Quality Plans and other instructions critical to effective implementation of the SQF 2000 System. Instructions shall be available setting out how these tasks are to be performed. A training register describing who has been trained in relevant areas shall be maintained.

Guidance

What does it mean? By ensuring staff are trained properly they will be better placed to do their work efficiently and responsibly. This importance of training cannot be underestimated and to meet the requirements of this clause you take the following into consideration: 1. Where you have identified a critical step in your Level 1 Food Safety Plans appropriate training must be provided so that competent staff carries out the activity. This applies to ensuring staff are trained to undertake work and instructions outlined in Pre-requisite Programs. Appropriate training can take the form of on-property training by the owner or supervisor, or external courses; 2. The names of staff that have been trained must be recorded in a register. SQF 2000 Requirement Level 1 i. Appropriate training shall be provided for personnel carrying out the tasks associated with Good Manufacturing Practice-related food safety controls and food legislative requirements. ii. A training skills register shall be maintained. Implementation What do I need to do? A basic requirement is to train line operators and other staff who undertake routine inspection, process control or laboratory tests associated with GMP-related food safety hazards and regulatory requirements. The training needs to be commensurate to the level of control and monitoring required. A training skills register must be prepared and all training must be recorded in this register.

4.2

4.2.1

Specifications

Supplier Specifications

The Supplier shall have documented specifications for raw materials and services that impact on finished product safety and quality.

Guidance

What does it mean? If any of your raw materials such as ingredients (spices, water and major components), cleaning and pest control chemicals, packaging, etc. can impact on the quality or safety of your product, you must have written specifications for that raw material. The definition of raw materials also includes services such as transport, pest control and sanitation contractors that may be used. A brief description of how you will develop and manage Supplier specifications must be described in your Policy Manual. SQF 2000 Requirement Implementation

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Level 1 i. Specification for raw materials and services that impact on finished product safety shall be documented.

What do I need to do? You are required to maintain specification for raw materials that impact on finished product safety. For example, this can relate to cleaning compounds, sensitive ingredients and other major recipe components. You are required to keep Material Safety Data Sheets (MSDS) and labels for dangerous chemicals that may be used on the site. You are also required to provide specifications for services such as e.g. cleaning and sanitation of the site, pest control contractor details that are provided by external contractors, a service contract outlining the service to be provided, the qualification requirements for operators and a list of approved chemicals that will be used are some the details that would be included.

Raw materials and services that impact on finished product safety and quality shall be inspected before use or supplied by an Approved Supplier. The Supplier shall document responsibilities for monitoring Approved Suppliers and maintain records of Approved Supplier assessments and follow up action. Methods for analysing raw materials and ingredients critical to product safety and quality shall conform to recognized standards.

4.2.2

Incoming Goods and Services

Guidance

What does it mean? In many businesses, the use of good Suppliers and/or the inspection of the raw materials, including any analysis as required, at receipt and before they are used is the only means of preventing problems in finished products. SQF 2000 Requirement Level 1 i. The Supplier shall inspect, before use, raw material to ensure it does not contain harmful levels of pathogens or chemicals, is true to label and not damaged or contaminated. ii. Records of inspections and analyses shall be maintained. Implementation What do I need to do? You are required to demonstrate documented evidence that raw material ingredients have been inspected before use. Where it is necessary to confirm raw materials do not contain harmful levels of pathogens or chemicals, raw material Suppliers need to verify the results of analyses (microbiological, chemical, etc.) of the products they supply to you. These analyses must conform to recognized laboratory methods. You are also required to maintain records of all inspections and analysis of raw materials.

4.2.3

Finished Product Specifications

Finished product specifications shall be documented, approved by the customer as required, and accessible to relevant staff.

Guidance

What does it mean? The finished product specification describes what the customer wants. It is important that a Supplier does not undertake to supply goods where the specification is not consistently achievable under all conditions. A brief description of how you address this element must be described in your Policy Manual. SQF 2000 Requirement Implementation

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Level 1 i. Finished product specifications, consistent with the relevant food safety legislation shall be provided. ii. Finished product specifications shall be updated and maintained. iii. A register of finished product specifications shall be maintained.

What do I need to do? A written finished product specification must be developed for each product (or group of similar products) covered under the SQF certification. The specification must as a minimum comply with the appropriate food safety legislation (including labeling requirements) and must be kept up to date. You are required to keep a copy of all finished product specifications and keep a register of all the latest version of these documents.

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4.3.1

Control of Production

Process Control

The Supplier shall document the means by which it will control food safety in a Food Safety Plan and quality in a Food Quality Plan.

Guidance

What does it mean? This element requires the Supplier to document a Food Safety Plan that is validated, verified (signed off) and maintained by an SQF Expert. Note: What is a Food Safety Plan? A Level 1 Food Safety Plan is a document that outlines all the fundamental measures a Supplier has taken to assure the manufacture of safe food. It will cover a description of the location of the premises and evidence that the design and construction of the premises and the equipment used has been approved by the relevant authority. It also requires the documentation and implementation of those Pre-requisite Programs that apply to your operations. SQF 2000 Requirement Level 1 i. The Supplier shall provide: a. A site plan showing the location of the premises in relation to its surrounds; b. Evidence of the approval of the premises construction by the relevant authority; ii. The Supplier shall ensure the premises are maintained in a structurally sound and hygienic manner. iii. The Supplier shall document Pre-requisite Programs applicable to its Scope of Certification in a Food Safety Plan. iv. The Supplier shall ensure Pre-requisite Programs are implemented, validated, verified and maintained by an SQF Expert. Implementation What do I need to do? You must prepare a Level 1 Food Safety Plan that includes the following: i. A site plan showing the location of the premises (the site) which describes the surrounding land use and evidence from the local authority indicating that the premises is approved for the purpose. ii. You are required to demonstrate that the premises has been hygienically designed, constructed and maintained. Guidelines outlining minimum Construction and Equipment standards expected of a food premises under SQF 2000 Certification are outlined in Annex 1. iii. Documented Pre-requisite Programs and demonstrate that they are being implemented. These prerequisite programs are necessary to demonstrate the Supplier has implemented the basic procedures and controls to maintain as a minimum the standards for maintaining personal hygiene, sanitation and food safety. Prerequisites will include but may not be limited to the following: · Personnel Practices · Foreign Matter and Glass Protocol · Personnel Processing Practices · Allergen Control Protocol · Calibration of Equipment · Food Defence Protocol · Cleaning and Sanitation Programs · Emergency Preparedness · Premises and Equipment Maintenance · Transport and Delivery Protocol · Waste Management and Disposal Protocol · Product Identification and Recall Protocol · Water Quality · Training Program · Stock Rotation · Approved Supplier Program · Pest and Vermin Control Protocol Each Pre-requisite Programs in the Level 1 Food Safety Plan must be validated and verified by the SQF Expert. The SQF Expert is required to sign off each pre-requisite Program indicating that the verification and validation has been completed.

iv.

Guidelines outlining minimum Pre-requisite Programs expected of a food premises under SQF 2000 Certification are outlined in Annex 2.

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4.3.2 Corrective and Preventive Action

The Supplier shall document a procedure that describes how it will undertake corrective and preventive action. The procedure shall outline the responsibility and the methods used to investigate and identify the cause and the resolution of non-compliance of critical limits that impact on food safety and quality. Records of corrective and preventive action shall be maintained.

Guidance

What does it mean? When significant problems occur with product safety you must have a procedure that you follow to fix the problem, decide what to do with affected product, and prevent it from happening again. The procedure must also include actions you would take in response to customer complaints and the need to recall product(s). Note: Corrective Action is an important part of any management system. The important aspect of this element is to decide what problems are significant. Minor problems arise and are continually addressed all the time in any business. As a guide, significant problems must be those that compromise the products' safety or those that cannot be readily addressed and fixed immediately. This element requires a procedure that details who, what, when, where and how you address a significant problem. Addressing a significant problem requires you to look at immediate and preventative corrective actions. SQF 2000 Requirement Level 1 i. The Supplier shall document a procedure that describes how it will undertake and manage food safety corrective and preventive action. ii. Records of corrective and preventive action shall be maintained. Implementation What do I need to do? When problems or issues that involve food safety arise you are required to take corrective action and preventative action in a timely manner. You must document a procedure describing the methods you will used to achieve this and what action is taken to prevent their recurrence. You are also required to maintain records of Corrective and Preventive action taken.

4.3.3

A procedure outlining how non-conforming product identified during receipt, storage, processing, packing, handling or delivery is isolated and identified shall be provided. Non-conforming product or materials shall be handled and disposed of in such a manner that minimizes the risk of inadvertent use, improper use or risk to the integrity of finished product. Records of the disposal of non-conforming product shall be maintained.

Non-Conforming Product

Guidance

What does it mean? Proper isolation and identification of reject product helps to reduce the incidence of expensive product recalls and a tarnished business reputation. SQF 2000 Requirement Level 1 i. The Supplier shall document a procedure outlining how non-conforming product identified during receipt, storage, processing, packing, handling or delivery is isolated and identified. ii. Records of the disposal or reworking of non-conforming product shall be maintained. Implementation What do I need to do? You are required to document a procedure to outline how you will label and identify product that is rejected or quarantined pending the results of analysis. Non-conforming product includes raw materials that may be rejected or quarantined because it does not meet the specification. Product being assembled, treated or in production must be considered. In circumstances where product is condemned you are required to detail how the condemned product is disposed of. You are required to keep all records of the disposition of non-conforming product including product that is reworked, condemned and/or disposed of.

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4.3.4 Food Legislation (Regulation)

The Supplier shall ensure that, at the time of delivery to the customer, the food supplied will comply with the legislation that applies to the food, its production or its manufacture in the country of its origin and destination.

Guidance

What does it mean? This element of the SQF 2000 Code states that the business must ensure that when the product is delivered to the customer, it complies with food legislation in the country where it was manufactured and where it will be consumed or used. Food regulatory requirements will specify if there are any additives, labeling, chemical, physical or microbiological criteria that apply to your product. You must make sure that your product complies with these requirements. SQF 2000 Requirement Level 1 All clause 4.3.4 applies Implementation What do I need to do? You are required to demonstrate that you are aware of the food regulation that applies to the product and the process. This clause also requires that the Supplier understand the food legislative requirements that apply in the markets they supply, as well as the laws governing the country of production. For example, you must ensure that the ingredients, including food preservatives, processing aids and food additives are derived from reliable sources which meet the legislative requirements in the country of production and destination. Include a statement in the Policy Manual and/or specifications stating that the product you supply will meet all food regulatory requirements of the customer(s) to whom you sell the product(s). You must indicate how you will get the information necessary to meet this requirement (normally from the customer or agents in overseas countries). Local or national legislation may require that you maintain specific licenses for your facility. You must obtain the appropriate licenses if required and have them accessible for review if necessary.

4.4

4.4.1

Verification

Calibration

All measuring, test and inspection equipment used for monitoring activities outlined in SQF 2000 Plans, or to demonstrate compliance with customer requirements shall be routinely calibrated to recognized standards or to accuracy appropriate to its use. The Supplier shall document a procedure that identifies who is responsible for all equipment calibration and re-calibration. Records of all equipment calibration shall be maintained.

Guidance

What does it mean? The accuracy of equipment used to measure, test or inspect product is very important as it provides data to determine if a process is in control. SQF 2000 Requirement Level 1 i. All measuring, test and inspection equipment used for food safety monitoring activities shall be routinely calibrated to recognized standards or to accuracy appropriate to its use. ii. Records of all equipment calibration shall be maintained. Implementation What do I need to do? You must routinely calibrate equipment that is used to monitor activities at critical food safety steps described in Pre-requisite Programs. Calibration must be done in accordance with industry recognized standard methods or to accuracy appropriate to its use. You will need to identify all the equipment you use to measure, test or inspect product or equipment (thermometers, scales, refractometers, pH meters etc.) that requires calibration. You are also required to maintain a record of all calibrations including the labelling of equipment and record when faulty equipment is taken out of service and replaced.

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4.4.2 Internal Audits

The Supplier shall document its internal audit procedure and identify who is responsible for scheduling and conducting internal audits. The procedure shall include an audit schedule and audit scope. It shall detail the audit frequency and how audits are conducted to verify the effectiveness of the SQF 2000 System and SQF 2000 Plans. Persons conducting internal audits shall be trained in internal auditing procedures. Where possible auditors shall be independent of the area or function being audited. Records of internal audits, and any corrective action taken as a result of internal audits, shall be maintained.

Guidance

What does it mean? Internal audits are an in-house check to make sure you are doing what you say you are doing, to highlight weakness in the system and provide a sound basis for deciding on measures for improvement. Internal audits help you to identify faults in your system so the SQF System can be improved. SQF 2000 Requirement Level 1 i. The Supplier shall conduct internal audits at least annually across each element to demonstrate the effectiveness of the legislative and Pre-requisite Program related food safety controls implemented. ii. Records of internal audits, and any corrective action taken as a result of internal audits, shall be maintained. Implementation What do I need to do? You are required to complete internal audits of your food safety controls. As a minimum, the audits must confirm that GMP and legislative requirements are indeed controlling food safety and that inspections and tests are conducted as required. Finally the outcomes of all internal audits, including any corrective actions taken must be recorded.

4.4.3

The Supplier shall implement a procedure for ensuring the SQF 2000 System, management policy and the organizations food safety and quality objectives are reviewed at least annually. Reviews shall be the responsibility of senior management. An SQF 2000 Plan shall be reviewed when a major change to a product formulation, its process, process controls or any other factor that impacts on food safety and quality arise. Changes to an SQF 2000 Plan shall be developed, validated and verified by an SQF Expert. All reviews and changes to the SQF 2000 System and each SQF 2000 Plan shall be documented.

System Review

Guidance

What does it mean? A senior member of management is responsible for ensuring the reviews of the SQF 2000 System are undertaken. Any major changes that are made to the Food Safety Plan must be validated and verified (checked and signed off) by an SQF Expert. Note: Make a list of all of the records it requires you to keep. Then include support programs, work instructions and/or standard operating procedures in this list. Changes to Pre-requisite programs must be signed off by an SQF Expert. SQF 2000 Requirement Level 1 i. The Supplier shall document a procedure outlining the responsibility for completing annual reviews of the effectiveness of the Pre-requisite Programs and other controls implemented to assure food safety. ii. All reviews and major changes to the SQF 2000 System shall be documented. Implementation What do I need to do? This element requires a procedure that details who, what, when, where and how reviews of your SQF system are completed. At this level a review of the pre-requisite programs and other food safety controls is needed to ensure these remain valid and effective. The review must be conducted annually. When completing a review of the SQF System those documents - such as customer complaint records, corrective action and internal audit reports and deviations from process control reports - that might highlight deficiencies in the system need to be considered. All reviews and changes to the SQF 2000 System are to be documented and you need to ensure that the review process and responsibilities are included in the procedure.

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4.4.4 Customer Complaints

The Supplier shall document a procedure for handling customer complaints and identify who is responsible for investigating the cause and resolution of customer complaints. Customer complaints shall be handled efficiently and records of customer complaints and their investigations shall be maintained.

Guidance

What does it mean? Customer complaints provide an important measure as to how well the management system is working. By recording customer complaint types we can show improvements in a process. Customer complaints can also show trends that have not been picked up during production and normal process control checks. Note: Retailers are very sensitive to customer complaints and receive numerous customer complaints for products sold through their stores in any given year. SQF 2000 Requirement Level 1 i. The Supplier shall document its customer complaint handling procedure. ii. The Supplier shall ensure that measures are taken to handle customer complaints efficiently and shall maintain records of all customer complaints and their investigations. Implementation What do I need to do? The Supplier needs to outline a brief procedure showing how they will receive, investigate and respond to a customer complaint and describe the methods used to retain records of customer complaints and their investigation.

4.4.5

Finished Product Sampling, Inspection and Analysis

The Supplier shall document a procedure outlining the responsibility and method for sampling and analyzing finished product to ensure it complies with customer and regulatory requirements and that any such sampling and analyses conforms to recognized standards.

Guidance

What does it mean? During the normal course of food processing, product is sampled and analyzed, either during or after production, to ensure that it meets the customer specification and to verify aspects of food safety. SQF 2000 Requirement Level 1 i. The Supplier shall document the methods it will use for sampling and inspecting finished product and work in progress when applicable to ensure it conforms to specification. ii. Records of all inspections shall be maintained. Implementation What do I need to do? You need to outline the methods established to inspect finished product to ensure it meets the product specs before it is dispatched to the customer. You are required to establish a finished product sampling and inspection program and keep records of all inspections made.

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4.4.6 Product Release

The Supplier shall document a procedure outlining the responsibility and protocols for the release of finished product to ensure customer and regulatory requirements have been met.

Guidance

What does it mean? You are required to document the method you will use to release product. SQF 2000 Requirement Level 1 i. Product shall only be released by duly authorized personnel after all inspections are successfully completed and documented to validate that customer specifications have been met. Implementation What do I need to do? Identify those products that require inspection before release and implement a schedule and identify those responsible for collecting samples and ensuring inspections are carried out. Documentation must outline the procedure for releasing product and indicate the action to be taken when results are outside specification, including reference to other practices for holding, reworking or disposing of product.

4.5

4.5.1

Document Control and Records

Document Control

A list of documents and amendments to documents shall be maintained to identify the current document in use. Documents shall be securely stored, effectively controlled and readily accessible.

Guidance

What does it mean? It is important that documents are controlled so that when changes to documents are made staff refer to the most up to date document e.g. changes to Prerequisite Programs, recipes, procedures and work instructions, raw material and finished product specifications etc. SQF 2000 Requirement Level 1 i. The Supplier shall demonstrate that it has access to the food regulations applicable to its operations. ii. The Supplier shall maintain a list of all documents and amendments to documents. Implementation What do I need to do? You must demonstrate that you have access to the food regulations that apply to your operations. This could be access via the internet or an electronic copy of the relevant parts of the legislation. You are required to keep a record of all documents used, when they were issued, updated and who holds a copy of each document.

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4.5.2

The Supplier shall maintain legible records demonstrating compliance with each clause in this Code. All records shall be retained in accordance with periods specified by a customer or legislation (regulation) or for a minimum period of two years whichever is greater. Records shall be securely stored to prevent damage and deterioration.

Records

Guidance

What does it mean? Records are the information that is written on forms and therefore they must be clear, concise and legible. Records provide the proof to auditors and clients that what you say you are doing, has in fact been done. Records must also be stored so they will not be damaged and can be retrieved for investigation purposes. The SQF 2000 Code states that records must be legible and must be maintained for at least 2 years, however some regulations and customers may require records be kept for up to 10 years. SQF 2000 Requirement Level 1 i. The Supplier shall document a procedure outlining the methods and responsibilities for completing, verifying, maintaining and retaining records. ii. The Supplier shall maintain legible food safety records demonstrating that essential product or process inspections, tests, analyses and observations have been completed. iii. All records shall be retained in good condition and held under secure storage to prevent their damage and deterioration or loss for a minimum period of two years or for periods specified by a customer or legislation (regulation). Implementation What do I need to do? You are required to document a procedure showing responsibilities for completing records (monitoring records, inspection and test records, etc.) You are also required to identify those responsible for verifying records (monitoring, inspection and test records) and for maintaining and retaining records under secure conditions for a minimum of at least two years. You should check with your customer or consult the legislation to determine whether records need to be kept for a longer period and include this in you procedure. You must ensure staff that complete records of inspections, analyses and observations, do so, such that the records are legible. In this regard instructions related to monitoring and recording activities will emphasize the need for clear and legible recording of information.

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Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing 4.6

4.6.1

Product Identification, Trace and Recall

Product Identification

The product identification

Finished product and work in progress shall be clearly identified to the customer specification and/or regulatory requirements. system shall be documented. Product identification records shall be maintained.

Guidance

What does it mean? Labeling product means that a package or container contains the correct product description, the name of the business and processing date (or date code) and date dispatched. The ability to effectively identify and trace its product is an important aspect of any food business. Food regulators, retailers, insurance companies and food manufacturers now insist that product be clearly identified. Note: The customer requirements, regulatory (including food labelling regulations) must be met and the SQF certification number must be included on the package (either in logo format or as a written statement). A general guide is to include the following on the label: · the processor's name and address · name, type and variety of product in the package (include method of preservation) · count, size or weight · date of packing, (or alternatively a code that represents the date of packing) and the use by date · ingredients list · cooking/handling instructions · country of origin SQF 2000 Requirement Level 1 i. Finished product and work in progress shall be clearly identified and labeled to the customer specification and/or regulatory requirements. ii. The Supplier shall record product identification information on all dispatch dockets. What do I need to do? You must be able to clearly identify product when it is in production and when it is finished product. The product label needs to contain information that accurately describes the product in accordance to customer specification and/or regulatory requirements. When shipping finished product you need to ensure the product is clearly identified in the dispatch document. Implementation

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4.6.2 Product Trace

Finished product shall be traceable to the customer. A product trace procedure shall be documented with responsibilities defined. It shall provide for the identification of raw materials and other inputs that may have an impact on finished product quality and safety. Raw materials and other inputs shall be traceable through the process to the finished product. Records of product dispatch and destination shall be maintained.

Guidance

What does it mean? The food business must make every attempt to reduce the chance of faulty or defective product reaching the customer. The swift removal of product from circulation can only be completed if product is clearly identified and traceable. Being able to trace the composition of finished product used (including the ingredients, food additives, and processing aids etc,) back through the process can also assist in pinpointing problems. Note: The ability to effectively identify and trace its product is an important aspect of any food business. Food regulators, retailers, insurance companies and food manufacturers now insist that product be traceable. Document the method to be used to trace product ensuring that the method will provide a link to all ingredients and raw inputs used. The documentation must assign a responsibility for product dispatch and include the product name, when it was dispatched (sold), who was the customer (not including direct sales to consumers), the quantity and the production batch dates and details. SQF 2000 Requirement Level 1 i. The Supplier shall document a procedure outlining the method used to trace finished product to a customer. ii. Records of product dispatch and destination shall be retained. Implementation What do I need to do? Your system must outline how you can trace product to your customer. In order to accomplish this you must develop a written procedure showing how this will be accomplished. You are required to retain records of all product dispatched. The details of the product and where it was sent must be recorded.

4.6.3

A product recall system shall be documented in a procedure in which the responsibilities, management and procedures to be implemented are clearly described. The product recall system shall be tested and verified at least annually. Records of recall system tests, verifications and all product recalls shall be maintained.

Product Recall

Guidance

What does it mean? All manufacturers are aware of the length and the complexity of the food supply chain. From the producer to the consumer raw materials can undergo a number of processes, be transported over long distances before it ends up as a finished product ready for consumption. At some stage within this long and complex supply chain, food can become unsafe and cause severe public health and financial consequences. SQF 2000 Requirement Level 1 i. The Supplier shall identify those responsible for a product recall and outline the methods it will use to recall product. ii. Records of all product recalls shall be documented. Implementation What do I need to do? You need to identify those who are responsible for implementing a product recall and documenting the methods you will use to conduct a product recall. You are required to keep records of all product recalls and to document all action taken during a recall.

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Annex 1: Guidance - Premises and Equipment Construction and Design

All food intended for human consumption must be handled and processed in an efficient and hygienic manner. In order to accomplish this, a food premises must be designed to facilitate the proper handling, storage and manufacture of foods. This part outlines the general requirements for the construction of premises and equipment in which food is processed, handled, stored or transported and guidance on each aspect is provided to assist with the understanding of various requirements.

1. Site requirements

1.1 Premises Location

Guidance The local government authority, in approving the premises as a food manufacturing unit will take this into consideration however the Supplier must be satisfied the premises and its surrounds can be kept reasonably free of objectionable odors, dirt or other contaminants. Requirement The location of the premises must be such that adjacent and adjoining buildings, operations and land use do not interfere with the safe and hygienic operations of the premises.

2. Plans and Specifications

2.1 Approval

Guidance Plans and specifications submitted to a local authority for approval would normally include: · Locality map showing the site in relation to the area · Site plan showing all salient features of the site and a description of adjoining sites including location of the premises north compass points, roads, storm water, wastewater and water supply · Floor plans showing the layout of the premises, processing areas, permanent fixtures and layout of equipment · Details of major items of equipment used in the processing area · A diagram of product/process flows. Specifications generally include details of construction materials, surface finishes (walls, floors, ceilings etc.,), product contact surfaces, essential services and the number of personnel. Refrigeration equipment, operating temperatures of, cold storage rooms freezing rates, storage capacity and means of loading into and out of freezers and cold stores is also included. Requirement Approval of the premises and the site by the relevant authority must be provided.

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Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing 3. Food Handling Areas

Food handling areas must be designed and constructed to allow for the efficient handling of food, protect the food from contamination and to prevent the deterioration of food by e.g. temperature increase or contamination. In addition all parts of the premises must be easily accessible for inspection and cleaning. 3.1 Materials and surfaces

Guidance The main feature of an acceptable product contact surface is that it be impervious, non-corrodible, smooth, easy to clean, light colored, non toxic and impact resistant. Stainless steel, aluminium, hotdipped galvanized steel, fibreglass, polyvinyl chloride and nylon are examples of approved product contact surfaces. All other surfaces must be capable of being kept clean and preferably light colored. Wood is no longer considered acceptable as a product contact surface in any food handling area. Guidance The Supplier must ensure that the water supplied to the site will not only cater for the maximum anticipated production capacity but that the volume and flow capacity is such that it enables the process to be conducted in a clean and hygienic manner. In particular potable hot water of suitable volume must be made available at hand basins in toilets and for hygiene and sanitary cleaning of the premises. Requirement Product contact surfaces, including that not in direct contact with food, must be constructed of materials that will not contribute a food safety risk.

3.2

Water supply

Requirement Adequate supplies of potable hot and cold water must be provided throughout the premises.

3.3

Water quality

Guidance The demonstration of an unsatisfactory water supply is sufficient grounds for the suspension of processing operations and the SQF certification. All product processed under conditions of an unsatisfactory water supply must be isolated, analyzed and if necessary destroyed. Water Quality must conform to recommended biological standards under local food legislation or to the World Health Organization standards for water quality.

Requirement Water at the point of use must be of acceptable physical, chemical and biological quality.

3.4

Ice must be made from potable water and must conform to the same microbiological standards as outlined under (3.3).

Ice Quality

3.5

Water reticulation

Guidance Water is one processing ingredient that if not properly managed and controlled can lead to significant food safety incident. Efficient water reticulation is essential to maintaining the integrity of a process and it should include the following design features: · No cross contamination between potable and non-potable water · Identification of water piping (potable, non-potable) · Marking of all non-potable water outlets · Non-return devices where back-siphonage could be a problem As a general rule non-potable water must not be used in any food processing or handling area. The length of hoses used to wash down floors and equipment length is generally limited to 15m (45 feet) and each hose is contained on a hose rack when not in use.

Requirement The water reticulation system within the premises must sufficient to ensure potable water is not contaminated with nonpotable water.

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3.6 Water treatment

Guidance In-plant chlorination of water supplies is recommended to give a free residual chlorine level of 0.25ppm after 20 minutes contact time (or equivalent) at the point of use. In-line chlorination to provide higher levels of free residual chlorine at specific points is also acceptable. Regular sampling and testing of residual chlorine is implemented to ensure a safe water supply. Other methods of bactericidal treatment such as UV lighting may be used. In all cases a program of regular microbiological testing of water is required to verify that in-plant water treatment is effective. The chilling of water that comes into contact with food is recommended.

Requirement In circumstances where water treatment is required the water, after treatment, must conform to the same microbiological standards as outlined under (3.3).

3.7

Floors

Guidance Dense waterproof concrete is the material generally used.

Requirement Floors must be constructed of smooth, dense impact resistant material that can be effectively graded, drained, impervious to liquid and easily cleaned.

3.8

Floor drainage

Guidance For efficiency and ease of cleaning floor, drains of smooth interior construction with rounded corners, removable and flush fitting grating, are generally constructed. Floor drains should be easily accessible for cleaning, fitted with effective deep seal traps that are easily removed and vented to the exterior of the premises.

Requirement Floors must be constructed and sloped to floor drains at gradients suitable to allow the effective removal of all overflow or waste water under normal working conditions. Drains must be constructed and located so they can be easily cleaned as not present a hazard. Waste trap systems must be located away from any food handling area or entrance to the premises.

3.9

Sanitary drainage

Guidance No additional guidance.

Requirement Sanitary drainage must not be connected to any other drains within the premises and must be directed to a septic tank or a sewerage system.

3.10

Walls and partitions

Guidance For efficiency and ease of cleaning, walls with a cement render and smooth finish, glazed tiles, prefabricated insulated panels or similar material are examples of acceptable surfaces. Corners and the intersection of walls and floors are rounded to enable easy cleaning and prevent the build up of waste.

Requirement Walls and partitions must be of a solid construction. Internal surfaces must be smooth and impervious with a light colored finish.

3.11

Ducting, conduits and pipes

Guidance Where this is not possible ducting, pipes and conduits must be recessed into the wall or mounted at least 25mm away from the wall to allow ease of cleaning.

Requirement Long runs of horizontal pipes must be avoided.

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3.12 Doors, hatches and windows

Guidance In more modern food processing premises windows are generally now generally not included in food processing areas. Where windows are present they should be laminated to prevent shattering. Windows should be constructed so that: · Window sills sloped downwards at an angle of 45o · Be at least 1.2 m above floor level · Be pest and fly proofed Doors should meet the following requirements: · Doors constructed of solid, impact resistant, non-corrosive materials with a smooth light coloured surface. · Door frames finished flush with the walls · Vertical corners protected where they are likely to be damaged by crates, trolleys, fork lift or similar traffic External doors should be fitted with self closing devises and be pest and fly proofed.

Requirement Doors, hatches and windows and their frames must be of a material and construction which meets the same functional requirements for internal wall and partitions. Doors must be of solid construction.

3.13

Dust, fly and vermin proofing

Guidance All external windows, ventilation openings and doors used solely for personnel access should be self closing or fly-screened or both. Other external doors (i.e. for product access) are generally fly-proofed by at least one or a combination of the following methods: · A self-closing device · An air curtain · A fly-proof screen · A fly-proof annex.

Requirement The premises must be effectively proofed against dust, vermin and flies.

3.14

Ceilings

Guidance Ceilings, preferably to a height of at least 3m, can be suspended and constructed of materials that are light colored and easy cleaned.

Requirement A ceiling must be provided in all processing areas.

3.15

Lighting and light fittings

Guidance Processing and food handling areas are generally illuminated to a minimum intensity of 200 lux. Inspection areas require higher illumination and 500 lux is generally recommended. Light fittings in food processing areas must be fitted with a protective cover. The accepted practice is to recess the light into the ceiling or have it fitted flush against the ceiling where possible. Light fittings suspended from cables can be accepted provided the top of the fitting is sloped to an angle of approximately 45o to enable easy cleaning.

Requirement Lighting of appropriate intensity and with protective covers must be provided to enable the staff to carry out their tasks efficiently and effectively.

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3.16 Ventilation

Guidance Enclosed processing and food handling areas are generally provided with a recommended minimum of six air changes per minute. In areas where cooking operations are carried out or a large amount of steam is generated, condensation is avoided by the installation of extractor fans and canopies. Capture velocities must be sufficient to evacuate all heat, fumes and other aerosols to the exterior via the exhaust canopy opening. Fans and exhaust vents must be fly proofed and not be located in areas where they could contaminate the product or ingredients.

Requirement Adequate ventilation must be provided.

3.17

Stairs, catwalks and platforms

Guidance Stairs, catwalks and platforms in food processing and handling areas are generally constructed of material that is rust proofed, impervious, non-corrodible, easy to clean and impact resistant. They must have solid side kerbs at least 150mm high. Stairs must have a slip resistant tread.

Requirement Stairs, catwalks and platforms in food processing and handling areas must be designed and constructed so as not to present a threat to product.

3.18

Equipment and utensils

Guidance Metal frames, supports and bracket supporting sinks, wash basins, benches, tables and shelves are generally constructed of solid materials such as hot dipped galvanized iron, stainless steel or aluminum and securely fixed to the walls or on metal frames. Materials should be smooth finished, free from angles, ledges, crevices and easy to clean. The open ends of tubular legs or rails must be sealed to prevent the accumulation of process waste and residues. Timber is not used in a food processing or handling environment. Where equipment is dismantled for cleaning it should be designed such that it is free of loose bolts or nuts or other objects that could inadvertently find their way into a food product. Waste water from tubs, tanks and other equipment is directed by direct discharge to the floor drainage system. Product containers, tubs, bins for edible and inedible material are generally constructed of materials that are approved food containers that are smooth, impervious and readily cleaned. Bins used for inedible material are clearly identified (e.g. red color and labeled).

Requirement Processing equipment must be designed, constructed, installed, operated and maintained so as to be easily dismantled for cleaning, not a hindrance to the cleaning of the premises and not a risk to contamination of product. Surfaces of work tables must be smooth, impervious and free from cracks or crevices. Containers, equipment and other utensils made of glass, porcelain, ceramics or other like material must not be permitted in any processing or food handling area.

3.19

Equipment and utensil washing

Guidance Generally a separate room is used for washing equipment and utensils used in processing where hot and cold water, a suitable detergent and sanitizer and suitable racks and containers for cleaned utensils are provided.

Requirement Provision must be made for the washing of moveable equipment, utensils, product containers, aprons, knives and similar items.

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3.20 Protective clothing racks

Guidance Protective clothing racks provide temporary storage for gloves, aprons and other items when staff needs to leave the processing area for meal breaks or other short breaks. For convenience the racks are provided in close proximity to or adjacent to the processing area personnel access doorways and hand wash basins.

Requirement Racks for gloves and aprons (protective clothing that is used by staff) must be provided.

3.21

Hand wash basins in the processing and food handling areas

Guidance It is a general requirement that hand wash basins must be provided at each entry point to the processing area to enable all staff to wash their hands immediately on entering the processing area. Hand wash basins are constructed of stainless steel or similar non-corrodible material being supplied with: 1. Hot and cold potable water or a controlled warm potable water supply 2. Taps that are operated by foot, knee or electronic sensor 3. Soap contained within a dispenser 4. Paper towels held in a cleanable dispenser 5. A means of containing used paper towels; or 6. Other means of single use hand drying (e.g. hot air dryers) in lieu of 4. & 5.

Requirement A sign, advising people to wash their hands must be provided in a prominent position in the processing area. Hand wash basins must be provided: · Adjacent to all personnel access points; · Accessible locations throughout food handling and processing areas, preferably adjacent to personnel access; and · Available in appropriate languages as required.

3.22

Vehicles

Guidance Toxic carbon monoxide emissions from diesel or petrol powered vehicles (fork lifts) are a health and safety risk to personnel and emissions also can taint certain foods. The general rule is to use vehicles that are powered by gas or electricity.

Requirement Diesel or petrol powered vehicles must not have access to food processing areas.

4.

Waste Disposal

Waste must be effectively, efficiently and regularly removed from the premises and the surrounds and not pose a threat to the hygienic operation of the premises.

4.1 Dry waste Requirement Adequate provision must be made for the disposal of all solid processing waste including trimmings, inedible material and disused packaging. Guidance The efficient disposal of solid waste from processing and food handling areas is essential to the maintenance of a clean and safe working environment. A separate storage facility, suitably fly proofed and contained so as not to present a hazard is generally provided where waste is held prior to disposal. On-site incinerators need to be designed, sited, constructed and operated so as not to create a hazard to product or the surrounding environment.

4.2 Liquid/Wet Waste Requirement Adequate provision must be made for the disposal of all liquid waste from processing and food handling areas. Guidance As with solid waste disposal the efficient disposal of liquid waste from processing and food handling areas is essential to the maintenance of a clean and safe working environment. Prior to its disposal liquid waste is generally held in a designated storage area in lidded containers so as not to present a hazard.

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Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing 5. Store rooms

Storage rooms must be designed and constructed to allow for the hygienic and efficient handling and separation of food, ingredients and packaging. Storage must be easily accessible for inspection and cleaning. 5.1 Storage of dry ingredients, hazardous chemicals, product receptacles and packaging

Guidance 5.1.1 Dry ingredients and other shelf stable packaged goods Rooms used for the storage of product ingredients and other dry goods must be located away from wet areas and constructed to protect the product from contamination and deterioration. Light fittings in these areas need to be fitted with protective coverings in case of breakage and the resultant potential threat to contaminating product. Racks provided for the storage of goods are generally constructed of impervious materials and designed to be easily cleaned. Stands and the lowest shelf should be at least 300 mm above floor level to enable ease of cleaning. 5.1.2 Hazardous chemicals Cleaning equipment (foam cleaners, scouring pads, brooms, etc) and chemicals such as sanitizers and detergents used to clean the premises and processing equipment are stored in a lockable area that is located separate from other storage areas so as not to pose a hazard to personnel or product. Of suitable construction the room is designed to contain spillages and have signage indicating it is a hazardous storage area. 5.1.3 Product receptacles Rooms used for the storage of product receptacle must be constructed as outlined in 3.10. Racks, with a lowest shelf at least 300 mm above floor level, must be provided for the storage of product receptacles and may be fixed or free standing. Racks must be constructed of impervious materials and designed to be easily dissembled for cleaning. 5.1.4 Food packaging Rooms used for the storage of food packaging materials must be located away from wet areas and constructed to protect packaging from contamination and deterioration. Light fittings in these areas need to be fitted with protective coverings in case of breakage and the resultant potential threat to contaminating product. Racks provided for the storage of packaging are generally constructed of impervious materials and designed to be easily cleaned. Stands and the lowest shelf should be at least 300 mm above floor level to enable ease of cleaning. Requirement Storage of; 5.1.1 dry ingredients and other shelf stable packaged goods; 5.1.2 hazardous chemicals; 5.1.3 product receptacles; 5.1.4 and food packaging must be effectively separated.

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5.2 Storage of refrigerated foods

Requirement 5.2.1 Refrigeration capacity Sufficient refrigeration capacity must be available to chill, freeze, store chilled or store frozen the maximum anticipated throughput of product with allowance for periodic cleaning of refrigerated areas. 5.2.2 Construction of refrigeration facilities Blast Freezers and cold storage rooms must be designed and constructed to allow for the hygienic and efficient refrigeration of food. Refrigerated rooms must be easily accessible for inspection and cleaning. Guidance 5.2.1 Refrigeration capacity Freezing facilities must be capable of reducing the temperature of product at rates suitable to maintain food safety and quality.

5.2.2 Construction of refrigeration facilities i. Freezer, cold rooms and chilled storage Freezers, cold rooms and chillers are generally constructed of prefabricated wall and ceiling sections with internal lining finishes constructed of anticorrosive materials with a smooth light colored surface. Joints at the wall to wall junctions and corners are generally rounded and all joins and edges must be sealed, tight fitting and water proof with no cracks or crevices that may provide access for vermin or be difficult to clean. Floors must be constructed of smooth, dense waterproof concrete of appropriate thickness with rounded wall to floor junction. Floors are graded to the doorway for effective drainage. · · ii. Blast Freezers and cold storage rooms must be separate chambers Air curtains or other methods of cold air retention are recommended when doors are open.

Ice rooms The design and construction of ice rooms and ice storage facilities must be such that ice can be stored and retrieved efficiently and hygienically. iii. Drainage Floor drains in any refrigerated storage room must not be connected to sewage drains. iv. Vermin proofing The top of cool rooms, cold rooms and freezers must be covered with a rodent-proof material and inaccessible cavities must be sealed to prevent the access of rodents, vermin and other pests. v. Hanging bars, storage racks and shelving Hanging bars, storage racks and shelving must constructed of a non corrosive material. They may be fixed or free standing, easily cleaned and constructed so that product is held at least 25 mm from walls and 300 mm off the floor. Shelving must have a smooth, non-absorbent finish and be free from cracks or crevices. vi. Refrigeration and freezing equipment Refrigeration and freezing equipment must be installed in a room separate from food handling, processing and storage areas. The room and equipment must be kept in a clean and tidy condition and not pose a threat to the hygienic upkeep of the premises. vii. Condensate water Condensate water must be discharged outside the room and must be connected to a drainage system. viii. Thermometers are to be provided for each cool room, cold room or freezer. The use of continuous recording thermometers is recommended. Probes must be located strategically in the warmest part of the room.

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Inspection area

Guidance The area must be provided with facilities necessary for the examination of product including hand washing facilities. Lighting intensity must be of sufficient intensity at the inspection point. A measurable 500 lux is generally recommended.

Requirement A suitable area within the processing area must be provided for the inspection of product.

7.

Sanitary facilities

Sanitary facilities must be designed, constructed and located so that they are easily accessible to staff and separate from any processing and food handling operations. 7.1 Toilet rooms

Guidance A basic requirement is that entrance to toilet rooms from processing areas must be through either an intervening change room or air lock which is ventilated to external air. The number of toilet bowls to be provided depends on the number of staff however, the following is a guide: Persons of the same sex No. of bowls 1-15 1 16-35 2 36-55 3 56-80 4 For each additional 30 persons 1 in excess of 80 In male toilets, urinals can substitute for up to one-third of the total number of bowls. In circumstances where it is not practical to position hand wash basins in the toilet room the basin can be located outside or in close proximity to the toilet room provided users are directed past the hand wash basin. Hand was basins are supplied with the following facilities: · Hot and cold running water; · A soap and paper towel dispenser; and · A receptacle for used towels. Requirement Toilet rooms must not be directly accessible from any processing or food handling area. Separate adjacent cater for that they toilet rooms must be provided for each gender and be to and separate from the change room. They must the maximum number of staff and be constructed so can be easily cleaned and maintained.

Hand wash basins must be; · provided in the toilet room; · provided with foot pedal or other suitable means of operation; · constructed of a solid impervious material; and · fitted with suitable hand wash facilities; A sign (in appropriate languages) advising people to wash their hands must be provided in a prominent position in each toilet

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8.1

Staff amenities

Showers and change rooms

Guidance Showers and change rooms must be designed to cope with the number of staff likely to use the facilities at any one time. Lockers must be provided installed and designed so the materials cannot be stored on top of lockers and the area around and under lockers can be easily cleaned.

Staff amenities must be provided for the use of all persons engaged in the handling and processing of product. Lighting and ventilation must be adequate.

Requirement Change rooms and a sufficient number of showers must be provided for each gender.

8.2

Lunch rooms

Guidance A well ventilated and lit lunch room with adequate tables and seating must be provided for all staff likely to use the facility at any one time. The amenity must be equipped with refrigeration and heating facilities to enable staff to store or heat food and to prepare non-alcoholic beverages. A sink with hot and cold water must be provided.

Requirement Lunch rooms must be provided.

9.

Exterior

Guidance Unkept surrounds (accumulation of unused equipment, pallets, bins, drums or waste) can provide harborage for vermin and in turn pose a serious hazard to the hygienic operation of a food premises. Surrounds must be kept clean and tidy and unsealed areas treated so as not to present a dust hazard. The provision of lawn and landscaping is effective for sealing large non-traffic areas. High vehicle traffic areas must be effectively sealed. Product loading and unloading areas must also be sealed and protected by an awning or other suitable means and connected to the entrance to the site by a sealed roadway.

9.1 Grounds, roadways and loading and unloading areas

Requirement The area surrounding the premises must be kept free of waste or accumulated debris. The area must be sealed or otherwise surfaced, drained and graded.

10.

Toxic Substances

Guidance A secure and lockable room must be provided to store toxic chemicals. The facility must be located separate from other storage areas. A separate lockable area inside a food handling, ingredient or packaging store is not acceptable. The facility must be fitted with appropriate signage, instruction on handling hazardous chemicals and suitable first aid equipment and protective clothing must be available. Drainage from this area must be contained in the event of a hazardous spill.

Requirement All rodenticides, fumigants, insecticides, cleaning chemicals or other toxic substances must be stored in separate locked rooms or cabinets

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11.1

Separation of Functions

Process flow

Guidance The cooking and preparation of product must take place in separate rooms, serviced by staff dedicated to that function only and who have access to separate amenities, toilet, lunch and change room facilities. Process flow of product must be designed so that there is no chance of processed product coming into contact with raw material or staff who handles raw materials.

Requirement Where cooking or further processing of foods is undertaken the building design and process flow layout must be organized so that there is no possibility of cross contamination.

11.2

Receipt of raw materials

Guidance Raw unprocessed fresh meats, fish or vegetables and other unprocessed fresh foods must be handled and stored so as not to pose a contamination risk. Separate storage areas with suitable environmental controls (e.g. chilled storage) must be provided and precautions taken to prevent seepage or spillage from faulty packaging (such as damaged cartons).

Requirement Raw unprocessed and fresh raw materials must be received separately and provided with a separate area for their storage and pre process preparation.

11.3

Thawing of product

Guidance Water thawing must be of continuous flow and ensure that the water exchange rate and temperature does not contribute to product deterioration or contamination. Water overflow must drain directly into the floor drainage system. Air thawing must be designed to thaw product at a rate and temperature that does not contribute to product deterioration or contamination. It should be undertaken in rooms designed for the purpose. Provision must be made for the containment and regular disposal of used cartons so that there is no risk to product.

Requirement Thawing of product must be undertaken in equipment and rooms designed for the purpose.

12.

First Aid Facilities

Guidance First aid facilities to treat injuries involving burns, cuts or wounds must be provided. These facilities must be equipped to handle and treat minor injuries prior to handing over to more specialized care.

Requirement First aid facilities must be provided.

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Annex 2: Guidance - Pre-requisite Programs Introduction

HACCP is not a stand-alone program. It is a 12 Step process that involves identifying food safety risks, determining control points that are critical for control and implementing control measures, managing and monitoring them to achieve the desired outcome. The Codex document "Recommended International Code of Practice ­ General Principles of Food Hygiene CAC/RCP 1-1969, Rev. 3 (1997) is internationally recognized as outlining requirements, better known as Pre-requisite Programs, for assuring food hygiene. These requirements, if implemented correctly, will ensure a food Supplier has established a firm foundation for developing a HACCP food safety plan and delivering safe food to consumers. In order to deal with identified hazards and safely produce, process, or handle food Pre-requisite Programs are the fundamental procedures that food business must have in place before attempting to implement HACCP. Practices to measure their effectiveness must also be in place and monitoring records must be maintained. Pre requisite requirements are generally incorporated in health regulations, various industry Codes of Practice, Good Manufacturing Practice (GMP), or Standard Sanitation Operating Procedures (SSOPs). In many instances relevant programs are adopted by the business to manage an identified risk. Pre-requisite Programs for food manufacturers and processors exist for the purpose of: · Establishing specific guidelines for food establishments, governing personnel requirements, hygiene, sanitation, and food-handling practices · Ensuring that persons working in food businesses understand with the importance of personal cleanliness, sanitation, product controls and hygienic practices, and · Ensuring that products are free from contamination and meet agreed customer requirements. The Pre-requisite Programs outlined in this section are generally common to the food processing sector. It is acknowledged that the list of pre-requisite programs can be amended depending on type of business and the product under HACCP study. Recently, with the emergence of other hazards in the food industry the methods used to control these hazards have been documented in pre-requisite programs, e.g., methods to control allergens. For the implementation of a successful Food Safety Plan the HACCP team must ensure that these pre-requisite programs are reviewed annually and updated to reflect activities taking place and to ensure they are consistent with current food industry practice.

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1.1

Personnel Practices

Personnel

Guidance Medical screening of staff is undertaken to detect carriers of infectious diseases where necessary. Staff identified as carriers of infectious diseases are not be permitted to handle food. Staff with exposed cuts are not permitted to handle food unless suitable protective coverings are applied and these coverings monitored regularly by responsible personnel to ensure they remain effective. Band aids must be of a distinctive colour (e.g. blue) and be detectable in metal detection equipment. Dressings on hands and fingers must be covered with a suitable rubber glove. No additional guidance No additional guidance.

Requirement Personnel who are suffering from, or are carriers of, any infectious disease shall not engage in product handling or processing operations. Personnel with exposed cuts, sore or lesions must not be engaged in handling or processing product. Minor cuts or abrasions on exposed parts of the body must be suitably treated with a suitable waterproof dressing. Smoking, eating, drinking or spitting is not permitted in any food handling or processing area. Personnel must have clean hands and hands must be washed by all personnel: i. On entering food handling or processing areas ii. After a visit to a toilet iii. After using a handkerchief iv. After handling dirty or contaminated material; and v. After smoking, eating or drinking The use of disposable gloves must be required for personnel coming into contact with ready-to-eat products and care must be taken to maintain the hand washing practices above.

Disposable gloves must be single-use and of exam quality and disposed of appropriately. Gloves must be changed after each break, upon re-entry into processing area, when soiled or when damaged.

1.2

Protective clothing

Guidance Protective clothing includes uniforms, overalls, hats, head coverings, hair nets, boots, coats, aprons and gloves. It must be maintained in a clean condition and in good repair and stored in lockers or other suitable places and not on equipment or in processing areas. Non-disposable rubber gloves must be properly used and maintained to prevent contamination of the product. Color coding of uniforms can be a useful method to monitor personnel flows and reduce cross contamination. If you use color coding, be sure that you provide a key for personnel and that staff in charge of distributing clean uniforms is aware of this. Staff involved in the handling or processing of food must not wear protective clothing off the premises. Protective clothing must be laundered either on the premises or by a contract laundry service. Clean uniforms and overalls must be worn each day and soiled clothing must be changed where it presents a contamination threat to product.

Requirement Protective clothing must be effectively, maintained, stored, laundered and worn so as to protect product from risk of contamination.

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1.3

Jewellery

Guidance All personnel must remove all jewellery before entering any food processing operation or any area where food product is exposed. Securely fixed sleeper earrings and wedding rings that cannot be removed may be permitted.

Requirement Jewellery and other loose objects must not be worn in any food processing operation.

1.4

Visitors

Guidance All visitors must wear clean, light colour protective clothing including foot wear and head coverings. The protective clothing must completely cover the visitors clothing. Head coverings must cover all exposed hair. Visitors must remove jewellery and other loose objects that may contaminate product. Visitors must enter and exit food handling areas through the proper staff entrance points and they must comply with all hand washing and personal requirements. Visitors must not be permitted to handle any product or equipment.

Requirement All visitors (including management and maintenance staff) must wear suitable protective clothing when entering any food processing or handling area. Visitors exhibiting symptoms of cold or flu or visible signs of illness must be prevented from entering any food processing or handling area.

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Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing 2 Personnel Processing Practices

Appropriate personnel processing practices employed by line operators, supervisory and other staff engaged in handling food are essential part of any food processing operation. Requirement Guidance All personnel engaged in any food handling or preparation must Proper food handling practices produce sanitary conditions which result in: · extended storage life of products; be subject to medical screening before employment and periodically as required thereafter to ensure they are not · reduced risk of process or product suspension on sanitary grounds; infected with infectious or communicable disease. In addition · reduced risk of product being involved in food borne illness outbreak; they must comply with the following personnel processing · less need to reprocess product; practices: · products capable of meeting government and commercial microbiological specifications; and · Personnel entry to processing areas must be through · fewer product rejections, returns or complaints. the appropriate entry doors only; · All doors are to be kept closed. Doors must not be left While management has overall responsibility for ensuring that sanitary processing practices are open for extended periods when access for waste adopted line operators and food handlers are also responsible for ensuring these procedures are removal, or product/ingredient/packaging receival is carried out properly and effectively. required; · All personnel must wash their hands on entering the processing area; · Clean gloves must be worn when handling foodstuffs; · Where it is necessary to handle food with bare hands, the wearing of fingernail polish is not permitted; · Aprons and gloves must be washed before each break or as required during processing and stored in the processing area on racks provided and not in locker rooms; · Aprons and gloves must not be left on product, work surfaces, equipment, ingredients or packaging material but hung on apron and glove racks provided in the processing area; · All product, packaging material and ingredients must be kept in appropriate containers and off the floor on the stands provided; · Wood pallets must only be used for holding cartons of raw material or finished product, they must not be used in "wet processing" areas; · Waste must be contained in the bins identified for this p Waste must be removed from the processing area on a basis and not left to build up in the area; · Staff must not "eat" or "taste" any product being processed; · All hoses are to be stored on hose racks after use and not left on the floor.

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3

Calibration of Equipment

Calibration is the process of ensuring that all inspection, testing, or measuring equipment is reading accurately and that the equipment has an appropriate level of accuracy. A description of some HACCP pre-requisite calibration programs follows.

3.1

Use of reference methods

Guidance Some equipment can be calibrated against a national or international standard, such as weighing scales. In cases where a national or international standard does not exist or is not warranted, a reference standard can be purchased or created and/or a standard method used. · · · pH meters are calibrated against reference buffer solution according to the manufacturer instructions. Oxygen analyzers can be calibrated against air that contains 20% oxygen. Thermometers can be calibrated against boiling water or ice-water if these approximate the temperatures the thermometer is required to measure when in use.

Requirement Equipment must be calibrated against national or international reference standards and methods. In cases where such standards are not available the Supplier must indicate and provide evidence to support the calibration reference method applied.

3.2

Calibration Protocol

Guidance The requirements for equipment calibration are outlined in element 4.4.1 of the SQF 2000 Code. To ensure that measuring equipment gives reliable results you need to: · Identify all the equipment that requires calibration (thermometers, scales, metal detectors, refractometers, pH meters etc.,) that requires calibration. · Ensure that the equipment, once calibrated, is protected so that the measurements remain relevant (the equipment manufacturer will provide instructions for the proper use, storage and maintenance of the equipment). · Determine how accurate the measurements need to be. Do you need to comply with industry or national standards (e.g. the accuracy of a MIG retort thermometer)? If the calibration is designed to check measurements implemented to improve a process you may determine the level of measurement required and apply calibration parameters to ensure consistent measurement. · Calibrate it regularly. The calibration frequency will vary depending upon the type of equipment and its usage. Calibration frequency must be adjusted in light of experience or manufacturer's instructions. · Procedures dealing with products produced since the discovery of out of calibration equipment must be established. · Clearly identify who is responsible for undertaking calibration, recording the results of all calibrations and labeling equipment to indicate when it was last calibrated and when recalibration is due.

Requirement All measuring, test and inspection equipment used for food safety monitoring activities must be routinely calibrated and the methods for undertaking calibration must be documented.

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Cleaning and Sanitation Program

An effective documented cleaning and sanitation program is vital to reduce or eliminate harmful food safety/product quality microorganisms to acceptable levels and to minimize the chance of contamination from the processing environment and product contact surfaces.

4.1

Cleaning and Sanitation Protocol

Guidance The protocol will include the following detail: · · · List all the areas and equipment to be cleaned Cleaning schedule (the cleaning frequency for cleaning and sanitizing different areas of the premises and all associated equipment including pre-operative cleaning and cleaning between breaks) Provide a full description of the cleaning procedures: i. Dry clean ­ physically remove solid particles by sweeping or wiping ii. Rinse with cold water surfaces or equipment that has been in contact with blood or other high protein residues (Note, using hot water will only cause the proteins to be baked onto a surface and make their removal more difficult. iii. Wash equipment and surfaces with a hot water detergent mix to remove grease and other food residues. iv. Rinse with hot water to remove detergent and food residues and leave to dry. (Equipment may need to be sloped so that water can be drained effectively, floors may need to be dried with a squeegee). v. Sanitize work surfaces and equipment by using an approved chemical sanitizer or hot water (82oC/180oF) Chemicals must be approved for use by the appropriate authority (maintain on file Material Safety Data Sheets (MSDS) for each chemical used). Describe the chemicals used, their dilution rate, and method of application (e.g., high pressure water, foaming, manual with a scrubbing brush, etc.). Chemical cleaners and sanitizers must be used and stored in an approved manner (see Annex 1, 5.1.2). Only trained operators are used. Evaluation of cleaning. Monitor the effectiveness of cleaning and keep records of all inspections and test results (surface swabs) implemented to verify the effectiveness of the cleaning program.

Requirement A Cleaning and Sanitation Protocol describing how the food handling and processing environment and equipment is cleaned must be documented. The protocol must consider what is to be cleaned, how it is to be cleaned, when it is to be cleaned and who is responsible for the cleaning and the evaluation of the cleaning.

·

· ·

4.2

Verifying the effectiveness of cleaning

Guidance Verification of cleaning effectiveness must be included in the Cleaning Sanitation Protocol using microbiological testing programs of product contact surfaces appropriate to the food safety risk, for micro sensitive products. Testing for specific microbiological organisms such as Listeria spp. will depend on the product (deli meats, fresh-cut produce, etc.) and processing activities (vacuum packaging, etc.) occurring in the facility and may also be required by a customer. This may also involve finished product testing. Any corrective actions taken when inspection reveals a problem must be recorded.

Requirement The effectiveness of the cleaning procedures must be monitored on a regular basis. A description of the verification procedures must be included in the Cleaning and Sanitation Protocol.

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5.1

Premises and Equipment Maintenance

Premises and equipment maintenance protocol

Guidance The protocol will outline that maintenance staff must observe the personnel and process hygiene requirements and contractors engaged to complete work in food production areas must also be made aware of these requirements by the Maintenance Supervisor. Contractors must be provided with protective clothing as required. The policy will describe the practices under which repairs are completed in any food handling or storage area including the following requirements that maintenance staff and factory must observe: i. Maintenance of equipment or factory structures must be completed so there is no risk to the product; ii. The maintenance supervisor must ensure they are notified by all contractors engaged to complete work in any food handling area. They must ensure that all contractors are aware of the Supplier's personnel hygiene requirements and that they are provided with appropriate protective clothing; iii. Maintenance staff and contractors are to ensure that they remove all tools and debris from any maintenance activity once it has been completed in any food handling area and inform the area Supervisor so appropriate hygiene can be completed; iv. Contractors are to inform the maintenance supervisor if any required work poses a potential threat to product safety i.e. pieces of electrical wire, damaged light fittings, loose fittings overhead. If necessary, maintenance must be conducted outside processing times; v. Contractors should notify the maintenance supervisor and the factory supervisor in the event of any breakage or damage that could expose products to contamination; vi. Contractors must notify the maintenance supervisor when work has been completed; and vii. Factory supervisors must be informed of outside maintenance or contractor activity prior to commencement and at its completion to ensure appropriate clean up measures can be taken

Requirement Maintenance of equipment and buildings must be carried out in a manner that prevents any risk of contamination of product or equipment and a Supplier must document its Premises and Equipment Maintenance Protocol.

5.2

Maintenance of premises

Guidance The manufacture of food product must be undertaken in premises that are well maintained at all times. Maintenance schedules must cover all areas of the premises including: i. Exterior (building surrounds, waste management areas) ii. Building and building interior (the construction) iii. Freezer and Chillers iv. Dry storage areas v. Loading/unloading bays vi. Sanitary facilities & staff amenities including: · Changing rooms · Toilets · Wash basins · Foot baths and etc. · Lunch rooms

Requirement Premises are to be are kept well maintained so as to minimize all sources of pathogen or foreign body contamination of product, or the build up of rodent/pest populations.

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5.3 Instructions to staff, maintenance personnel and contractors

Guidance It is essential staff, maintenance personnel and contractors adhere to the correct procedures when completing maintenance in a food premises. Equipment must be checked before use including reporting of missing parts (e.g. nuts & springs). Those responsible for reporting and completing repairs and cleaning the equipment after repairs must be specified. Staff must also be instructed to not perform temporary repairs with unauthorized materials (wood, strings. cardboard, and tape) that could compromise the safety of the product, impede routine cleaning procedures or provide harborage for vermin.

Requirement Maintenance personnel and contractors must be instructed in the correct procedures so that their work practices do not lead to the potential contamination of product.

5.4

Equipment Lubrication

Guidance Material Safety Data Sheets (MSDS) for food grade lubricants must be kept on file. If non-food grade lubricants are used in the facility, they must be physically separated from food grade lubricants.

Requirement Equipment positioned over product must only be lubricated with food grade lubricants and maintenance staff must be made aware of this requirement.

6

Water: · · · ·

Monitoring Water Quality

Requirement Guidance Even though the water supply may come from the town or regional water supply in which the water is treated and safety tested and maintained by the local authority, it is advisable that a food manufacturer implement its own monitoring of the safety of the potable water quality used. The monitoring may involve one or a number of the following: · Regular testing of water (pH, turbidity) · Checking filtration apparatus and changing it as required (refer to Supplier specifications) · Regular cleaning and maintenance of the ion-exchange column (refer to methods indicated by the Supplier) · Regular cleaning of water holding tanks and reservoirs · Regular monitoring of sanitizer levels in water (level normally tested at various site in the food handling and processing areas) It is good practice to undertake regular (at least quarterly) microbiological analysis of the water to verify the cleanliness of the supply and the effectiveness of the monitoring and treatment measures implemented.

used for washing, thawing and treating food; or used as an ingredient or food processing aid; or for cleaning food contact surfaces; or for the manufacture of steam or ice that will come in contact with food must be regularly monitored to verify it meets potable water microbiological and quality standards.

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Stock Rotation

Guidance An efficient stock identification system that enables the efficient utilization of raw materials and finished product is essential to the efficient running of a business and minimizes mix ups, recalls and food safety incidents.

Requirement The methods used to rotate stock must be documented so that it enables effective stock rotation based on a first-in first-out principle.

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Pest and Vermin Control Protocol

Guidance A fully maintained pest and vermin control program is essential to the smooth function of any food processing or handling operation. The pest and vermin control program must: · Identify the target pests for each pesticide application · Outline the frequency with which pest status is to be checked. · Identify the location of bait stations / chemical sites for ease of checking. · Outline the methods used to prevent pest problems (proactive). · Outline the methods used when pests are found to be a problem (reactive). · List the details of subcontractors used (if any). · List the chemicals used (they must be approved by the relevant authority and their MSDS accessible); and · Outline the requirements for staff awareness and training in the use of chemicals. Inspections for pest activity must take place on a regular basis, the results recorded, and the actions taken if pests are present. Pesticides must be clearly labeled and stored in locked rooms or cabinets used only for that purpose and handled only by properly trained personnel. They must be used only by or under the direct supervision of personnel with a thorough understanding of the hazards involved, including the possibility of contamination of the product. Dogs, cats, birds and other animals are classified as pests and vermin and must not be permitted in any food processing or handling area or on the premises or surrounds

Requirement The Pest and Vermin Control Protocol outlining the methods implemented for controlling or eliminating the risk of pest infestation on the site or facilities must be documented.

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Foreign Matter and Glass Protocol

Guidance Consumers can see and feel a foreign matter contaminant and therefore foreign matter contamination must be given a very high priority in the Supplier's food safety and quality management system. The Foreign Matter and Glass Protocol will outline the sources of foreign matter, the methods of control and the responsibility for taking action when foreign matter or glass is detected in a product or in the manufacturing environment Foreign Matter can originate from: · external sources such as pests, raw material packaging (plastic and/or cardboard embedded in product by the Supplier ­ fish block, blocks/cuts of frozen meat), stones in crops (potatoes, corn), slivers of wood in herb or spice ingredients or imbedded in raw materials from poorly maintained wooden bins or pallets (fruits); and · internal sources of foreign matter include, the building (rust, insects, insulation), surface coatings (flaking paint, damaged render), equipment (nuts, pins, screws, washers, etc.,), maintenance (tools, wire cuttings, spare parts etc.,), utensils (knives), personnel/contractors/visitors (hair, jewellery, pens, etc.,) quick fix-it solutions (the use of cardboard, string or tape to reduce vibration or retain hoses) and foreign matter recovered from reworked product. Plant and equipment must be inspected regularly to ensure it remains in good condition so that nothing has detached, damaged or deteriorated. Personnel must be encouraged to report all potential sources of potential contaminants. The use of nuts, bolts etc is generally used to fix equipment covers should be discouraged and where possible equipment covers must be fabricated to prevent the use of these potential contaminants. The availability of plastic pallets has reduced the need to use wood pallets in food handling areas and there is no valid reason why a "no wood policy" cannot be implemented by a Supplier. The Glass Protocol must outline the responsibilities and procedures implemented for the effective management of glass in a production or food handling environment. Containers, equipment and other utensils made of glass, porcelain, ceramics or other like material (except where product is packed in glass) should not permitted in any processing or food handling area. Regular inspections must be made to ensure that these areas are free of glass and staff must be made aware of their responsibility to adhere to the company Foreign Matter and Glass Protocol. Glass covered instrument dial covers must be checked before commencing a shift and at the end of a shift to ensure these instrument covers have not been damaged. In all cases, if glass breakage or the loss of a piece of equipment or any other incident that could result in foreign matter contamination of a product is detected the affected batch must be isolated, inspected and reworked or disposed of. In circumstances where glass breakage occurs the affected area must be isolated, cleaned and thoroughly inspected and cleared by a suitably responsible person prior to the commencement of operations.

Requirement A Foreign Matter and Glass Protocol outlining the methods used to prevent foreign matter contamination of product must be prepared and implemented.

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Allergen Control Protocol

Guidance The majority of allergic reactions in consumers are caused by milk, eggs, fish, crustacean shellfish, tree nuts, wheat, peanuts and soybeans. The Allergen Control Protocol will outline the sources of allergens applicable to the products being manufactured, the methods of control and prevention of cross contamination and the responsibility for taking action when an allergen is detected in a product. While the most common advice to those at risk of suffering an attack after exposure to an allergen is to avoid consumption, the Supplier must take all precautions to prevent cross contamination of product with allergens. The Supplier must ensure that product containing ingredients derived from known allergens is correctly labelled and the ingredients declared in the ingredient list of the product label. If the product is manufactured in a facility that houses or uses these common allergens in other products, the product label must be amended to state that the product was manufactured in a facility which contains said allergen. The hazards associated with allergens and their control is incorporated into the Food Safety Plan. Raw materials and cross contamination of product during processing, rework and storage must be considered as potential vehicles for the introduction of allergens into products. Cleaning of product contact surfaces between line changeover must be sufficient to remove all potential allergens from all product contact surfaces (and aerosols if necessary) to prevent cross contamination of a different product being manufactured on the same production line. Segregation of allergen-containing products during storage and production is recommended. Separate handling and production equipment must be used if satisfactory line hygiene and cleanup or segregation is not possible.

Requirement An Allergen Control Protocol outlining the methods used to prevent sources of allergens from contaminating product must be prepared and implemented.

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Food Defence Protocol

Guidance The Food Defence Protocol may also be required by a regulatory agency. The protocol must integrate with the Product Identification, Trace and Recall procedures detailed in the SQF 2000 Code (4.6 Product Identification, Trace and Recall) and must contain details outlining the methods used by a Supplier to minimize the occurrence of food adulteration caused by a deliberate act of sabotage or terrorist like incident. The first step in developing the plan requires that a risk assessment be performed at each step in the process to identify those "hazards" that failure in security can introduce into the product. Once the "hazards" have been identified control measures must be implemented and monitoring of these controls established, recorded and verified. Detailed emergency contact phone numbers for management, law enforcement and appropriate regulatory agencies must be maintained. When developing the Plan, consider the security measures enacted to protect the facility and its surrounds as well as methods of identifying and restricting access to personnel and visitors. Access to the facility must be restricted to authorized personnel only. Access within the facility (processing, storage and receiving areas) must also be reviewed and restrictions enacted so that only authorized personnel can enter. It is recommended that personnel and visitors (including contractors, salespersons and regulators) use identification tags to facilitate monitoring activities. The activities of off-duty personnel and visitors must be monitored through escort at all times and entrance points they are allowed to use must be clearly marked and monitored. Separate and secure storage for raw materials, ingredients, chemicals and laboratory materials (chemicals, microbiological cultures, positive toxin controls) and restricted access to these areas is recommended. Documented procedures to restrict unauthorized access to and use of raw materials, ingredients, and processing chemicals are required. A personnel security screening process, in line with legislative guidelines for employee screening, for new and/or potential employees (including temporary employees) prior to employment must be implemented. An internal and external communication system must be developed to effectively manage and review and test (at least annually) the Food Defence Protocol. Tamper evident indicators and/or standard operating procedures (SOPs) must be in place to detect abnormal events such as product tampering for raw materials, ingredients, chemicals and finished product.

Requirement A Food Defence Protocol and the methods used to prevent the occurrence of food adulteration caused by a deliberate act of sabotage or terrorist like incident must be documented, implemented and maintained.

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Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing 12 Emergency Preparedness Protocol

Guidance Emergency situations include for example unforeseen events such as power outages, sewage backups or fire and flood. The protocol will outline the controls the Supplier will take to ensure these events do not compromise the safety and quality of the product. It is advisable that the Protocol outline overall and individual responsibilities for taking action to isolate and identify product during emergency situations. The protocol will outline the procedure to be taken in circumstances where product integrity may be compromised and to verify the acceptability of foods that can be released for distribution.

Requirement An Emergency Preparedness Protocol must be prepared outlining the methods the Supplier will implement to cope with emergency situations.

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Transport and Delivery Protocol

Guidance Proper care for the food safety and quality of your product does not end when the finished product is placed into storage awaiting delivery. Contamination and temperature abuse during delivery and transport can increase the proliferation of spoilage and/or pathogenic bacteria and the safety and quality of the finished product can be compromised. The Transport and Delivery Protocol will cover those aspects necessary to ensure product is protected during loading, transport and unloading. Loading: Refrigerated units (trucks/vans/containers) used for transporting food must be in good repair, clean and inspected prior to loading. Storage bins (if used) must be suitable for the purpose and cleaned and sanitized before use. Prior to loading vehicles should be pre-chilled. Refrigerated units must be able to maintain the food at the appropriate temperature. For chilled food between 32°F - 40°F / 0°c - 4°C and frozen foods 0°F / -18°C). The unit's temperature settings must be set, checked and recorded before loading and product temperatures recorded at regular intervals during loading. Transport: On long haul journeys the driver must ensure that the refrigeration unit is operational at all times and complete checks of the unit's operation, the door seals and the storage temperature at each driver comfort stop. Unloading: At unloading the storage temperature must be checked and recorded. Prior to unloading the load must be checked for signs of temperature abuse (thawing and refreezing), damage or shifting during transport. Unloading must be completed efficiently and product temperatures must be recorded at regular intervals during unloading.

Requirement A Transport and Delivery Protocol must be prepared outlining the methods the Supplier will implement to transport and deliver product.

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14

14.1

Product Identification, Trace and Recall Protocol

Product identification and trace

Guidance In addition to tracing product to a customer a Suppliers must be able to identify the raw material ingredients that make up a finished product. The greater the degree of traceability, the smaller the quantity of product that would have to be recalled and the smaller the number of customers contacted in the case of serious product problems. A manufacturer must be able to trace 100% of finished product "one up - one back". Product Identification Identification means being able to identify a product so it can be traced in the supply chain so that the possibility of the wrong or incorrect product being used or dispatched is minimized. Product identification may include: · Product description · Grade · Size / Weight / Volume · Packed-on, best-by or use-by date · Batch number · Producer / Plant name or number Rework Product that can be reworked or reprocessed must be identified and must be managed in a protocol. Re-work must be appropriately labeled until passed as suitable for distribution and records of reworked/reprocessed product outlining the disposition of all the product undergoing reworking including rejections, retained to ensure traceability Product Trace Product trace is composed of two distinct elements: · Being able to identify the inputs (e.g., insecticides, herbicides, fertilizers, ingredients, packaging) used during production and where those inputs have come from. · Being able to identify the destination of the finished product to the next stage in the supply chain.

Requirement A Product Identification and/or Recall Protocol must be prepared outlining the methods the Supplier will implement to identify and recall product.

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14.2

Product recall

Guidance Product Recall As indicated, the requirement for `traceability' is partly so that product can be recalled if a customer or final consumer discovers a problem. An appropriate and documented product recall procedure must be in place so that all employees and customers are aware of appropriate actions to be taken if problems arise. A recall procedure must identify the responsibilities within the company for handling recall and their contact details, the type of recall and how and when authorities, customers and consumers are notified. The recall procedure must be tested and verified at least annually to demonstrate its effectiveness and ensure that everyone understands their role. Most major processors, retailers, and food service organizations have fully documented recall procedures in place, and include their supply chain within those procedures. Note: A product recall procedure must be documented outlining all actions that will be taken in the event of a recall. The procedure must identify the type of recall, how and when authorities, customers and consumers are notified and finally the procedure must be tested and verified at least annually to demonstrate its effectiveness and ensure that everyone understands their role. As recalls generally occur when least expected the procedure must be tested and verified. When documenting your recall procedure you need to consider the specific requirements of your customers and those requirements included in legislation. Recalls are generally classified as follows: Class 1 Recall: An emergency situation that could lead to a serious health concern or death Class 2 Recall: A priority situation that could lead to a temporary or medically reversible health consequence but the probability of a serious health concern is remote Class 3 Recall: A situation where exposure is not likely to cause adverse health consequences.

Requirement A Product Identification, Trace Recall Protocol must be prepared outlining the methods the Supplier will implement to identify and recall product.

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Guidance for Developing, Documenting and Implementing an SQF 2000 System ­ General Food Processing 15 Training Program

Requirement

A Training Program must be documented.

Guidance

Training is especially important in the food industry, where so many of the monitoring methods used involve the senses - sight, taste, and smell. Instructions must also be written on how to carry out those particular tasks. Training may be completed on the job by qualified technical staff or, externally by recognized institutions. Records of who has been trained and the type of training they have received must be documented. Once the training requirements are identified ensure staff is trained to competently carry out their duties and responsibilities. Properly trained staff can carry out these activities and they are given clear and concise instructions regarding how, when and where to do the task and how, when and where to record the information. Instruction can be provided in a number of ways such as: · Written work instructions may be useful when a particular task is complicated (requiring skilled operators) or repetitious (mundane work that generally results in a high turnover of staff and requires a constant training effort). These instructions can serve as a valuable training document: they promote consistent training for all employees and provide valuable reference when staff needs to check the correct way of doing a task. Written instructions can be in the form of Pre-requisite programs (see element 4.3.1(i.)) and must be available (if practical) where the task is performed. Photos and diagrams can be particularly useful to overcome language barriers or when a task involves a number of different steps.

·

A Supplier must develop and document a Staff Training Register to identify who is trained and when they were trained to do a particular task. This can be accomplished in several ways as shown in the following examples: Examples A) A formal training register which is a permanent record of training undertaken by employees is signed or initialled by the employee. Formal training registers are best suited for small or permanent staffing situations. Employee: David Smith

Description of Training Plant sanitation Safe use of Chemicals Date completed 15/12/01 05/12/01 Trainer Bill Davis Phil Smith Signed W Davis P Smith

B)

A training matrix may also be used to keep track of large or rotating labor forces. In a training matrix, the critical jobs are listed along the top with the trainee's names down the side, with dates and trainer's initials in the corresponding boxes. Example training matrix

Name Mary Davis Jill Powell John Mills 24/03/05 / PS Fork Lift Op. Ingredient prep. 13/09/04 / BS Packing Cooker operation 02/04/05 / BS

26/01/05 / BS

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16 Approved Supplier Program Requirement

Guidance

It is essential that a raw material Supplier is capable of supplying product or services as specified. The quality of the raw materials purchased and/or identity of the Suppliers who are capable of meeting specified requirements need to be verified. Simply placing a Supplier's name on an approved Supplier list will not automatically mean that raw materials will be delivered trouble free. If the Supplier does not have a food safety and quality management system in place, a manufacturer must decide whether to retain the Supplier. Ensuring raw materials do not adversely impact on the quality or safety of a Supplier's final product requires that the manufacturer put into place a system of checking that what is being supplied has been delivered according to specification. This can be carried out in two ways or a combination of both. 1. Checking the product when it is delivered and prior to use. If a raw material Supplier is not on the approved Suppliers list, a record that the product has been checked against specification at receipt and/or prior to use must be kept. The easiest way to do this is after inspecting the raw material, sign and date delivery dockets, alternatively a business can create an incoming goods inspection and receipt record. This record may include what was delivered, quantity, quality, when (date and time), who delivered it, who inspected it and did it pass an inspection against the raw material specification. Only using Suppliers who are approved by the manufacturer, i.e. they consistently supply a product or service to specification consistently "on time every time" i.e., they have a demonstrated good supply history.

An Approved Supplier Program must be documented.

2.

The raw material Suppliers that meet these conditions will become known as an Approved Suppliers and details of approved Suppliers are listed on an "Approved Supplier List". Approved Suppliers must be documented in an approved Supplier register detailing their company name, contact details, and the product or service they supply. An Approved Supplier Program contains as a minimum: · · · · · agreed specifications risk analysis of raw materials requirement for GMPs and SSOPs at the Supplier's premises receipt of raw materials only from approved Suppliers methods for granting Approved Supplier status

The raw materials and services a manufacturer purchases can affect the safety and quality of its own finished products. If raw material requirements are not clearly communicated with Suppliers then it is not realistic to expect that goods or services will be provided consistently and as expected.

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17

Waste Management and Disposal Protocol Requirement Guidance

Protocol must be Waste must not allowed to accumulate on a food manufacturing site. Waste must be removed on a regular basis and not be allowed to build up in food handling or processing areas. Designated waste accumulation areas must be maintained in a clean and tidy condition until such time as external waste collection is undertaken. It is essential that a manufacture document its protocol for handling and disposing of liquid and solid waste so that it does not build up, attract flies and other vermin and become a hygiene risk. The procedure will include responsibilities for the management of waste collection and disposal and the sanitary maintenance and disinfection of waste disposal equipment and collection areas. Reviews of the effectiveness of waste management will form part of the daily hygiene inspections and details included on the relevant hygiene reports. and Disposal

A Waste Management documented.

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Annex 3: Guidance: Documenting a Pre-requisite Program or other Standard Operating Procedure

Introduction Pre-requisite programs, Standard Operating Procedures, Work Instructions and general procedures are documents that provide instruction on how to complete an activity. These written instructions must represent a true account of an activity. When documenting any activity the act of writing it down can highlight anomalies and duplication in a process. Once documented, activities can be reviewed by others who may have an involvement in the activity and any changes to an activity can be easily documented. Documented changes will highlight to all concerned that the changes have been made. The documented activity provides an important source of information for audits. The main problem experienced by many when documenting an activity is the inclusion of too much detail. The secret to any well documented system is that it is concise and easily understood. When it comes to documenting activities the KISS principle (keep it simple stupid) is most important. Line operators and other busy staff do not have the time or the inclination to read through long and involved documentation. You should strive to prepare a "one page quality system", a system where all activities can be written on one page. The system will be more user friendly, used as required and most importantly easily audited. A properly written instruction serves a number of purposes. It provides written details of how an activity is to be completed, it allows easy review of an activity, it can serve as a written instruction to line operators and it can serve as a useful training document providing instruction to new staff on the various activities that they are required to perform. Format To be effective, all written instructions and activities should be consistent in their presentation and. Outlined in Figure 1 is an example of how to document an activity, whether it is a Pre-requisite program, Work Instruction or a Standard Operating Procedure. This format has been tried and tested. It is accepted that not all activities can be contained to one page but with perseverance a "one page quality system" can be achieved.

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Figure 1

Business Name

Title Insert the name of the Procedure Procedure No.: Version: Page No.: 1 of #

Inset a picture of the company Logo

Purpose In this section you describe the detail about what the procedure is intended to achieve.

Background:

In this section you describe the general background as to why the procedure is necessary

Who

Who is responsible for the activity

Where

Where the activity takes place

When

The frequency and/or specific time

Action ·

Describe in bullet or number form the activity/action that needs to be taken.

Reference

List any reference used to support the action taken

Records

List the records on which results of activities or observations are to be recorded

Approved By: Insert the name of the person approving the document

Signature: Signature of the person approving the document

Date: Date of approval

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