Audit Checklist 2000 Level 3

SQFI 2000 Self-Assessment

Document and Facility Audit Checklist SQF 2000 Level 3

2nd Edition J U L Y 2 0 1 0

© Safe Quality Food Institute 2345 Crystal Drive, Suite 800 Arlington, VA 22202 USA 202-220-0635 www.sqfi.com

SQF Institute is a division of the Food Marketing Institute (FMI).

Audit Checklist ReportSQF2000 Document Audit Level 3 v2.0

0 General

Question Ref Category Response Notes

0.1 People Present at the Opening Meeting (Please list names and roles in the following format Name: Role separated by comas)


0.2 People Present at the Closing Meeting (Please list names and roles in the following format Name: Role separated by comas)


0.3 Date Audit Started


0.4 Date Audit Finished


0.5 Audit Duration (hrs)

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0.6 Auditor Description of Facility (Please provide facility description include # of employees, size, production schedule, general layout, and any additional pertinent details


0.7 Auditor Recommendation

(0) Delay facility audit until non-conformances are corrected and verified

(0) Proceed with facility audit

(0) Suspend Certification

(0) Withdraw Certification

4.1.1 Management Policy


4.1.1.1 Has Senior Management prepared a policy statement that outlines the organization's commitment to safe, quality food, details compliance with customer and regulatory requirements and details the commitment for food safety and quality objectives.

(2) Commitment to continual improvement of food safety management system not defined

(2) Commitment to continual improvement of quality management system not defined

(2) Commitment to establish and review food safety objectives not addressed

(2) Commitment to establish and review quality objectives not addressed

(2) Commitment to supply quality food not defined

(2) Commitment to supply safe food not defined

(2) Methods for provision of safe food not defined



(3) No Policy Statement


4.1.1.2 Is the policy statement signed by senior management, made available in appropriate languages and displayed and communicated appropriately

(2) Policy Statement not communicated to all staff

(2) Policy Statement not displayed in a prominent position

(2) Policy Statement not made available in language understood by all staff

(2) Policy statement not signed by senior manager

4.1.2 Management Responsibility


4.1.2.1 Does the reporting structure describe who has responsibilities for food safety and quality

(2) Interrelationship for food safety and quality not defined

(2) Not communicated within the organization

(2) Those responsible for food safety not identified

(2) Those responsible for quality not identified

(3) No organizational reporting structure


4.1.2.2 Has Senior Management allotted appropriate resources to the implementation of SQF 2000 by designating an SQF Practitioner with appropriate responsibility over the program

(2) Adequate resources are not available to achieve the producers food safety and quality objectives



(2) Adequate resources are not available to support the development of the SQF 2000 System

(2) Adequate resources are not available to support the implementation of the SQF 2000 System

(2) Adequate resources are not available to support the maintenance of the SQF 2000 System

(2) Adequate resources are not available to support the ongoing improvement of the SQF 2000 System


4.1.2.2.i Has the SQF Practitioner led the development and implementation of Food Safety Fundamentals (4.4.2), Food Safety Plan (4.4.3), and the Food Quality Plan (4.4.4)

(2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Quality Plan outlined in 4.4.4

(2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Fundamentals outlined in 4.4.2

(2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Plan outlined in 4.4.3

(2) SQF Practitioner does not have responsibility and authority to oversee the development implementation, review and maintenance of the SQF 2000 System

(2) SQF Practitioner does not have the responsibility or authority to take appropriate action to ensure the integrity of the SQF 2000 System

(2) SQF Practitioner has not communicated essential information to all staff

(2) SQF Practitioner has not effectively communicated all essential information to relevant staff

(3) No SQF Practitioner designated by the producer




4.1.2.3 Has the training needs of the organization's personnel been defined and documented to carry out those functions affecting product legality, safety, and quality

(2) Responsibility for establishing the training needs of the organization has not been defined and documented

(2) Responsibility for implementing the training needs of the organization has not been defined and documented


4.1.2.5 Have job descriptions for those responsible for food safety and quality been documented and include a provision to cover for the absence of key personnel

(2) Job descriptions do not include provision to cover for the absence of key personnel

(2) Job descriptions for those responsible for food safety are not documented

(2) Job descriptions for those responsible for quality are not documented

4.1.3 FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM


4.1.3.1 Has a policy manual been documented that outlines the methods of the organization to meet the SQF 2000 standard

(2) Food Safety and Quality Manual is not available to relevant staff

(2) Food Safety and Quality Manual is not maintained

(3) No documented Food Safety and Quality Manual




4.1.3.1.i Does the policy manual include a summary of the organization's food safety and quality policies and methods it will apply to meet SQF 2000 standard, policy statement and organization chart, and scope of the certification of SQF 2000

(2) A list of products under the scope of certification is not defined

(2) A list of the products covered under the Scope of Certification is not included

(2) Organization Chart is not included

(2) Other procedures and documentation necessary to support the development, implementation, maintenance and control of the SQF 1000 System is not included

(2) Policy Statement is not included

(2) Scope of the Certification is not included

(2) The list of products under the scope of certification is not complete

(2) The list of products under the scope of certification is not current

(3) The FS&QM does not include Food Quality Plans

(3) The FS&QM does not include Food Safety Fundamentals

(3) The FS&QM does not include Food Safety Plans


4.1.3.2 Is there a food safety manual that is documented, maintained, and available to staff that includes all relevant food safety program information required by SQF 2000

(2) The food safety manual is not complete, several key programs are not included

(2) The food safety manual is not current, some documented programs are not up to date

(3) No food safety manual has been created




4.1.3.3 Is there a food quality manual that is documented, maintained, and available to staff that includes all relevant product quality program information required by SQF 2000

(2) The food quality manual is not complete, several key programs are not included

(2) The food quality manual is not current, some documented programs are not up to date

(3) No food quality manual has been created

4.1.4 Management Review


4.1.4.1 Does the reviews of the SQF 2000 system by senior management include policies, internal and external audit findings, corrective actions, and customer complaints

(3) The Producer is not responsible for reviewing the SQF 2000 system in its entirety


4.1.4.2 Is the SQF 2000 system in its entirety reviewed at least annually

(3) Review of SQF 2000 system is not reviewed at least annually


4.1.4.3 Are the food safety fundamentals (4.4.2), food safety plan (4.4.3) and food quality plan (4.4.4) reviewed when any changes are implemented that could have an impact on the facility's ability to deliver safe, quality food

(2) Changes implemented which have major impact on the ability to deliver quality food do not trigger a review of Food Quality Plans

(2) Changes implemented which have major impact on the ability to deliver safe food do not trigger a review of Food Quality Plans



(2) Changes which have major impact on the ability to deliver quality food do not trigger a review of the Food Safety Fundamentals

(2) Changes which have major impact on the ability to deliver quality food do not trigger a review of the Food Safety Plan

(3) Changes which have major impact on the ability to deliver safe food do not trigger a review of the Food Safety Fundamentals

(3) Changes which have major impact on the ability to deliver safe food do not trigger a review of the Food Safety Plan


4.1.4.4 Is the SQF Practitioner responsible for validating changes to the food safety fundamentals (4.4.2), food safety plan (4.4.3), and food quality plan (4.4.4) that have an impact on the facility's ability to deliver safe, quality food

(2) Major changes to Food Safety Fundamentals are not validated by an SQF Practitioner

(2) Major changes to the Food Quality Plan are not validated by an SQF Practitioner

(2) Major changes to the Food Safety Plan are not validated by an SQF Practitioner

4.1.5 Complaint Management


4.1.5.1 Are the methods and responsibility for handling and investigating the cause and resolution of complaints from customers and authorities documented and implemented

(2) Methods for handling customer complaints are not documented

(2) Methods for handling customer complaints are not implemented

(2) Methods for investigating customer complaints are not documented

(2) Methods for investigating customer complaints are not implemented



(2) Responsibilities for handling customer complaints are not documented

(2) Responsibilities for investigating customer complaints are not documented


4.1.5.2 Are complaints analyzed by personnel knowledgeable about the incident

(2) Records of the customer complaints not maintained

(2) Records of the investigation are not maintained

4.1.6 Business Continuity Planning


4.1.6.1 Is there a business continuity plan that is based on the known threats to the business that outlines the methods and responsibility of the organization to cope with a business crisis that may impact on the facility's ability to deliver safe quality food

(2) Business continuity plan not complete, some methods and responsibility not defined

(2) Senior Management has not supported the business continuity plan

(3) Business continuity plan not developed


4.1.6.2.i Does the business continuity plan include a provision that describes senior management responsibility in the event of a crisis management incident, name a crisis management team, set adequate controls to assure food safety and quality, measures to identif

(2) Controls for business continuity plan has not considered food quality

(2) Controls for business continuity plan has not considered food safety



(2) Crisis contact list is not current

(2) Crisis management team has not been trained

(2) No crisis contact list exists

(2) No crisis management team exists

(2) No measures are defined for the identification of product affected exist within business continuity plan

(2) No measures are defined for the isolation of product affected exist within business continuity plan

(2) No measures are defined to verify acceptability of food prior to release

(2) No responsibility for communication with authorities defined

(2) No responsibility for communication with external organizations defined

(2) No responsibility for communication with Internal sources defined

(2) Senior management does not have responsibility for business continuity plan

(2) Sources of expert or legal advice are not defined for crisis contact team


4.1.6.3 Is the business continuity plan reviewed, tested, and verified at least annually

(2) The business continuity plan is not reviewed annually

(2) The business continuity plan is not tested annually

(2) The business continuity plan is not verified annually



4.2.1 Document Control


4.2.1.1 Are the methods and responsibilities for ensuring personnel have access to current documents documented and implemented

(2) No methods are defined for document control

(2) No methods are defined to ensure that personnel have access to documents

(2) No responsibility assigned for document control

(2) The methods for document control are not implemented


4.2.1.2 Is a register of current SQF 2000 documents and amendments to documents maintained

(2) No register of SQF 2000 system documents is available

(2) Register of SQF 2000 system documents is not easily accessible

(2) SQF 2000 documents are not safely stored

4.2.2 Records


4.2.2.1 Are the methods and responsibilities for undertaking monitoring activities verifying, maintaining, and retaining records documented and implemented

(2) No methods defined for monitoring activities

(2) No methods defined for the maintenance of records

(2) No methods defined for the retaining of records



(2) No responsibility assigned for retaining of records

4.3.1 Product Development and Realization


4.3.1.1 Are the methods and responsibilities for designing, developing and converting product concepts to commercial realization documented and implemented

(2) Methods do not contain converting concepts to commercial realization

(2) No methods have been defined for product development and realization

(2) No responsibility has been assigned for produce development and realization


4.3.1.2 Are product formulations, manufacturing processes and the fulfillment of product requirements validated by product trials, shelf life trials and product testing

(2) No product testing is conducted

(2) Process for product development does not contain facility trials


4.3.1.3 When utilized, do shelf life trials include handling, storage requirements to establish the "best by" or "use by" date, include microbiological criteria, and consumer preparation, storage and handling requirements

(2) No consumer requirements are included in shelf life trials

(2) No microbiological criteria used in product testing for shelf life determination

(2) No shelf life testing is completed for product development



(2) No shelf like testing was conducted to establish the "best by" date


4.3.1.4 Is the food safety plan and food quality plan validated and verified for each new product and its associated process through conversion to commercial production

(2) No validation of food quality plan completed for new products developed

(2) Validation of food safety and food quality plan does not consider commercial production and distribution

(3) No validation of food safety plan completed for new products developed

4.3.2 Raw Materials


4.3.2.1 Are specifications for raw materials and ingredients that impact on finished product safety and quality documented and kept current

(2) No product specifications for raw materials are available

(2) No specifications for ingredients are available

(2) Specifications are not current


4.3.2.2 Is a register of raw material specifications maintained

(2) No register of raw material specifications is maintained



4.3.3 Packaging


4.3.3.1 Are specifications for packaging materials that impact on finished product safety and quality provided and do they comply with the relevant legislation

(2) No specifications for packaging are available


4.3.3.2 Are the methods and responsibility for developing and approving detailed specifications and labels for all packaging documented

(2) No labels are available for packaging materials

(2) No methods available for approving of specifications

(2) No responsibilities defined for approving packaging


4.3.3.3 Has the functionality of packaging materials been validated to ensure product safety and quality and include a certificate of conformance, with tests and analyses used to confirm absence of chemical migration in high risk packaging, for all packaging in d

(2) No certificates of conformance are available for packaging in contact with food

(2) No testing or analysis is conducted to confirm absence of potential chemical migration

(2) Packaging materials are not validated for food quality

(3) Packaging materials are not validated for food safety


4.3.3.4 Is there a register of packaging specifications and label approvals maintained and current

(2) No register of packaging specifications is maintained



(2) Specifications for packaging are not current

4.3.4 Contract Service Providers


4.3.4.1 Are specifications for contract services that impact on finished product safety and quality documented, current, and include a full description of the service to be provided and detail relevant training requirements for contract personnel

(2) Relevant training requirements for contract services personnel is not documented

(2) Specifications for contract services are not current

(2) Specifications for contract services are not documented

(2) Specifications for contract services do not contain a description of service to be provided


4.3.4.2 Has a register of all contract service specifications been maintained

(2) No register of contract services is maintained

4.3.5 Contract Manufacturers


4.3.5.1 Have the methods and responsibilities for ensuring all agreements relating to customers product requirements and its realization and delivery are specified and agreed been documented

(2) No methods defined for ensuring agreements for customer specification are specified



(2) No responsibilities defined for ensuring agreements for customer specification are specified


4.3.5.2 Has the supplier verified that all customer requirements are being met at all times and ensure changes to contractual agreements are approved by both parties and communicated to relevant personnel

(2) Changes to agreements are not approved by both sides

(2) No communication to relevant personnel on agreement changes

(2) No verification that customer specifications are being met

4.3.6 Finished product


4.3.6.1 Have finished product specifications been developed, current, approved by the supplier and customer, are accessible and also contain microbiological and chemical limits, labeling and packaging requirements, and product quality attributes

(2) Finished product specification do not contain quality attributes

(2) Finished product specifications are not accessible to relevant staff

(2) Finished product specifications are not approved by customer

(2) Finished product specifications are not current

(2) Finished product specifications do not contain labeling and packaging requirements

(2) Finished product specifications do not contain microbiological and chemical limits

(3) No finished product specifications available




4.3.6.2 Have product labels been established for new and existing products and are they accurate, comply with relevant legislation and are approved by qualified company personnel

(2) Product labels are inaccurate

(2) Product labels are not approved by qualified company personnel

(2) Product labels are not available for existing products

(2) Product labels are not available for new products

(3) Product labels do not comply with local regulation


4.3.6.3 Has a register of finished product specifications been maintained

(2) A register for finished product specifications is not maintained

4.4.1 Food Legislation


4.4.1.1 Has the organization ensured that, at time of delivery to its customer, the food supplied complies with the legislation that applies to the food and its production in the country of origin and destination

(2) Organization does not ensure that product complies with local regulation

(2) Organization does not verify that product meets country of origin labeling

(3) Product delivered to customers does not meet local regulations




4.4.1.2 Have the methods and responsibilities for ensuring the organization is kept informed of changes to relevant legislation, scientific and technical developments and relevant industry codes of practice been implemented and documented

(2) No methods are defined for ensuring that organization is kept informed of relevant updates

(2) No responsibilities are defined for ensuring that organization is kept informed of relevant updates

4.4.2 Food Safety Fundamentals


4.4.2.1 Has senior management made provision to ensure fundamental food safety practices are adopted and maintained

(2) Senior management does not support food safety practices

(3) Food safety practices are not maintained


4.4.2.4 Are the pre-requisite programs that are applicable to the scope of the certification documented and implemented as described in 4.5

(2) Pre-requisite programs do not cover the scope of certification

(3) No Pre-requisite programs documented


4.4.2.5 Have the Pre-requisite programs been validated and verified as described in 4.5

(2) Pre-requisite programs are not validated

(2) Pre-requisite programs are not verified



4.4.3 Food Safety Plan


4.4.3.1 Does the food safety plan outline the means by which the organization will control and assure food safety, include the hazard analysis conducted to identify hazards and prescribe those controls implemented to assure and maintain food safety and describe a

(2) Food safety plan does not include a hazard analysis

(2) Food safety plan does not outline controls for food safety

(2) Measures to control food safety are not documented

(3) Food safety plan does not cover the food group under the scope of certification

(3) Food safety plan does not cover the process under the scope of certification

(3) Food safety plan is not documented

(3) No HACCP plan is in place


4.4.3.2 Are the food safety plans effectively developed, implemented, maintained, validated and verified as described in 4.5

(2) Food safety plan is not validated

(2) Food safety plan is not verified

(3) Food safety plan has not been maintained

(3) Food safety plan is not current



4.4.4 Food Quality Plan


4.4.4.1 Does the food quality plan outline the means by which the organization will control and assure food quality, include the hazard analysis conducted to identify threats to quality and prescribe those controls implemented to assure and maintain food quality

(2) Food quality plan does not include a hazard analysis

(2) Food quality plan does not outline controls for food quality

(2) Food quality plan is not documented

(2) Measures to control food quality are not documented


4.4.4.1.i Is the food quality plan prepared in accordance with the HACCP method

(2) Food quality plan does not follow the HACCP model


4.4.4.1.ii Does the food quality plan include process controls at control points in production to monitor product quality and identify when a process is deviating from set parameters and make corrections to keep a process in control

(2) Control points do not have set parameters

(2) No control points in the process have been identified

(2) No corrections identified to keep the process under control


4.4.4.1.iii Does the food quality plan cover a food or food group and the associated process

(2) Food quality plan does not cover the food group under the scope of certification



(2) Food quality plan does not cover the process under the scope of certification


4.4.4.1.iv Does the food quality plan include standard operating procedures (SOPs) and/or work instructions (WIs) applicable to the organizations scope of certification

(2) Food quality plan does not include Standard Operating Procedures or Work Instructions


4.4.4.2 Are the food quality plans effectively developed, implemented, maintained, validated and verified as described in 4.5

(2) Food quality plan has not been maintained

(2) Food quality plan is not current

(2) Food quality plan is not validated

(2) Food quality plan is not verified

4.4.6 Corrective and Preventive Action


4.4.6.1 Are the responsibility and methods outlining how corrections and corrective actions are investigated, resolved, managed and controlled, including critical food safety and quality non-conformances, documented and implemented

(2) Corrective action does not include identification of the cause of the non-conformance

(2) Corrective actions are not fully documented

(2) Corrective actions do not contain resolution of non-conformance

(2) No methods of management of corrections or corrective actions have been developed



(2) No responsibility of management of corrections or corrective actions has been assigned

4.4.7 Non-conforming Product or Equipment


4.4.7.1 Are the methods or responsibilities outlining how non-conforming product or equipment detected during receipt, storage, processing, handling or delivery is handled documented and implemented

(2) Methods are not documented

(2) No methods for the identification of non-conforming product have been developed

(2) No responsibility for the identification of non-conforming product has been assigned

4.4.8 Product Rework


4.4.8.1 Are the responsibility and methods outlining how product is reworked documented

(2) No methods for the reworking of product have been developed

(2) No records of reworking operations are maintained

(2) No responsibility for the reworking of product has been assigned



4.4.9 Product Release


4.4.9.1 Are the methods and responsibilities for releasing product documented and include ensuring that product is released only by authorized personnel once all inspections and analyses are completed, documented and verified that all requirements are met.

(2) No methods for the release of product have been developed

(2) No responsibility for the release of product has been assigned

(2) No verification that customer specifications are met was conducted

(2) Product was released by non-authorized personnel

(2) Product was released without being inspected or analyzed

4.4.10 Stock Rotation


4.4.10.1 Are the responsibility and methods for ensuring effective stock rotation principles are applied documented and implemented

(2) No methods for management of stock rotation have been developed

(2) No responsibility for stock rotation have been assigned



4.5.1 Responsibility, Frequency and Methods


4.5.1.2 Are the frequency and methods used to validate and verify the critical limits established for those hazards associated with the source, storage and use of production inputs, and the application of the pre-requisite programs documented and implemented

(2) No frequency of validation of critical limits have been defined

(2) No method for the validation of critical limits have been developed


4.5.1.3 Are the frequency and methods used to verify that each critical control point identified in the food safety and food quality plan achieve their intended purpose, are controlled as designated, and documented and implemented

(2) No frequency of the validation of quality controls have been defined

(2) No frequency of validation of critical control points have been defined

(2) No method for the validation of critical control points have been developed

(2) No method for the validation of quality controls have been developed



4.5.2 Validation


4.5.2.1 Are the methods, responsibility and criteria for validating Pre-requisite Programs and critical food safety and quality limits to ensure the achieve their intended purpose documented and implemented

(2) No methods for validation of food safety and quality limits have been developed

(2) No methods for validation of pre-requisite programs have been developed

(2) No responsibility for validation of food safety and quality limits have been assigned

(2) No responsibility for validation of pre-requisite programs have been assigned


4.5.2.1.i Do the methods ensure that critical limits are selected to achieve the designated level of control of the identified food safety hazard or threat to achievement of food quality

(2) Critical limits are not sufficient to control identified food quality hazards

(3) Critical limits are not sufficient to control identified food safety hazard



4.5.3 Verification of Monitoring Activities


4.5.3.1 Are the methods, responsibility and criteria for verifying the effectiveness of monitoring Pre-requisite Programs, critical control points, critical quality points documented, implemented and ensure that monitoring records are signed and dated

(2) Methods do not ensure that monitoring records are appropriately signed and dated

(3) No methods have been developed for the monitoring of critical food safety points

(3) No methods have been developed for the monitoring of pre-requisites programs

4.5.4 Product Sampling, Inspection and Analysis


4.5.4.1 Are the methods, responsibility and criteria for sampling, inspecting and /or analyzing raw materials, finished product and work in progress documented and implemented

(2) Criteria for product inspection have not been followed

(2) No criteria for analysis of product have been developed

(2) No methods for product analysis have been developed

(2) No responsibility for product analysis has been assigned


4.5.4.3 Are the methods, responsibility and criteria for analyzing and assessing product quality and sensory attributes documented and implemented

(2) No responsibility for assessing product quality has been assigned



(3) No methods for the assessing of product quality have been developed

(3) The methods for assessing product quality have not been implemented

4.5.5 Internal Audits


4.5.5.1 Are the methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF 2000 system include factory inspections, pre-requisite program, food safety plan and food quality plan documented and implemented

(2) Internal audits do not address the food quality plan

(2) Internal audits do not address the food safety plan

(2) No methods for the conducting of internal audits have been developed

(2) No responsibility for internal audits has been assigned

(3) Internal audits are not completed

4.5.6 Verification Schedule


4.5.6.1 Is a verification schedule describing the verification activities, their frequency of completion and the person responsible for each activity prepared and implemented

(2) Verification schedule is incomplete

(3) No verification schedule exists



4.6.1 Product Identification


4.6.1.1 Are the methods and responsibility for identifying product during all stages of production and storage documented and implemented. Is product clearly identifiable through all stages of process and is finished product clearly labeled to customer

(2) No responsibility for the identifying of product has been assigned

(2) Product is not identifiable throughout all stages of process

(3) Finished product is not properly labeled

(3) No methods for the identifying of product have been developed

4.6.2 Product Trace


4.6.2.1 Is the senior management responsibility and methods used to trace product documented and implemented

(2) Senior management responsibilities for product trace are not defined

(3) Methods used to trace product are not developed


4.6.2.1.i Is finished product traceable to the customer (one up) and provide traceability through the process to raw materials, food contact packaging and materials and other inputs (one back)

(2) Processing aids are not traced to the finished product

(3) Finished product is not traceable to the first customer

(3) Raw materials, work in process, and packaging are not traced to finished product




4.6.2.1.iii Is the effectiveness of the product trace system tested at least annually

(2) The product trace system has never been tested

(2) The product trace system is not tested at least annually

4.6.3 Product Withdrawal and Recall


4.6.3.1 Is the senior management responsibility and methods used to withdrawal or recall product documented and implemented

(2) Senior management responsibilities for product withdrawal are not defined

(3) Methods used to recall product are not developed


4.6.3.1.i Are those responsible for initiating, managing and investigating a product withdrawal or recall identified

(2) Personnel responsible for conducting of product withdrawal are not identified


4.6.3.1.ii Are the management procedures to be implemented including sources of legal and expert advice described

(2) Contacts for legal and expert advice are not included in product withdrawal program




4.6.3.1.iii Is a communication plan to inform customers, consumers, authorities, and other essential bodies in a timely manner appropriate to the nature of the incident outlined

(2) Communication plan is incomplete

(2) No communication plan is included in product withdrawal


4.6.3.2 Is the investigation undertaken to determine the cause of a withdrawal or recall and details of investigations and any action taken documented

(2) Investigated is not documented

(2) Investigation is incomplete

(2) No investigation is conducted as to the cause of the product withdrawal


4.6.3.3 Is the product withdrawal and recall systems reviewed, tested and verified at least annually

(2) Product withdrawal system has not been reviewed within the last year

(2) Product withdrawal system has not been tested within the last year

(3) Product withdrawal system has never been tested

4.7.1 Food Defense


4.7.1.1 Are the methods, responsibility and criteria for preventing food adulteration caused by a deliberate act of sabotage or terrorist like incident documented, implemented and maintained

(2) Food defense plan has not been implemented



(2) No responsibility for food defense have been assigned

(3) No methods for food defense have been developed


4.7.1.2.i Is there a member of senior management who has responsibility for food defense

(2) Senior management responsibility has not been assigned to food defense


4.7.1.2.ii Are the methods to record and control access to the premise by employees, contractors, and visitors defined

(2) Authorized personnel have not been identified

(2) No secured areas of the facility have been identified


4.7.1.2.iii Are the methods to ensure only authorized personnel have access to production and storage areas through designated access points defined

(2) No methods to protect sensitive areas have been developed

(2) Sensitive processing points have not been identified


4.7.1.2.iv Are the methods implemented to protect sensitive processing points from intentional contamination

(2) Measures taken to secure storage areas are not complete

(2) No measures taken to secure the storage areas




4.7.1.2.v Are there measures taken to ensure secure storage for raw materials, packaging, equipment and hazardous chemicals

(2) No measures taken to secure product during transportation

(2) No measures taken to secure the finished product storage areas


4.7.1.2.vi Are there measures to ensure finished product is held under secure storage and transportation conditions

(2) No methods in place to record access of employees to the premises

(2) No methods in place to record visitors or contractors to the facility

4.8.1 General Requirements


4.8.1.1 Are the methods and responsibility for the identification and processing of products requiring the preservation of their identity preserved status documented and implemented

(2) Methods are not implemented for foods requiring preservation of their identity

(2) No responsibility assigned for program of foods requiring preservation of their identity

(3) No methods developed for foods requiring preservation of their identity




4.8.1.2 Does identification include a statement of the products identity preserved status of all ingredients, including additives, preservatives, processing aids and flavorings

(2) Method of identification do not include ingredients or processing aids


4.8.1.3 Do raw material and ingredient specifications to identify preserved foods include requirements for their handling, transport, storage and delivery prior to use

(2) Preserved food specifications do not address requirements for storage

(2) Preserved food specifications do not address requirements for transportation


4.8.1.4 Are assurances concerning the raw material or ingredients preserved status in agreement with the supplier as described under 4.3.5

(2) Assurances are not in place regarding raw material or ingredients as described in 4.3.5


4.8.1.5 Does the process description allow for a product's identity preserved status to be maintained with manufacturing carried out in line with controls in 5.5.5

(2) Process description does not describe preserving products preserved status




4.8.1.6 Is the identity preserved status declared in accordance with current legal requirements

(2) Identify preserved status declaration is not in accordance with legal requirements


4.8.1.7 Are customer requirements concerning identity preserved foods included in the finished product specification described in 4.3.6 and implemented by the supplier

(2) Finished product specification does not contain identity preserved foods

5.1 Site Requirements and Approval


5.1.1.2 Where necessary, have measures have been established to maintain a suitable external environment. Has the efficiency of the established measures been validated, monitored and periodically reviewed.

(2) Methods to manage exterior environmental risks have not been monitored

(2) Methods to manage exterior environmental risks have not been reviewed



5.4 Storage Facilities


5.4.1.1 Can the Supplier shall provide confirmation of the effective operational performance of freezing, chilling and cold storage facilities and verify facilities are appropriated designed and constructed and easily accessible for inspection and cleaning.

(2) Cold storage areas are not easily accessible for inspection

(2) Cold storage rooms are not properly constructed for easy cleaning

(2) Supplier has not confirmed effective operation of cold storage areas


5.4.6.1 Has a risk analysis been undertaken for when goods described in 5.4.1 to 5.4.5 are held under alternative storage conditions to ensure there is no risk to the integrity of those goods or contamination or adverse affect on food safety and quality

(2) No risk analysis conducted for alternative storage and handling of goods

6.3 Training of Personnel


6.3.2.1 Is an employee training program documented and implemented

(2) Employee training program does not completely document training requirements

(3) Employee training program is not documented




6.3.2.1.i Does the employee training program discuss Good Manufacturing Practices and Pre-requisite programs

(2) Employee training program does not include good manufacturing practices

(2) Employee training program does not include pre-requisite programs


6.3.2.1.ii Does the employee training program discuss food regulatory requirements

(2) Employee training program does not include food regulatory requirements


6.3.2.1.iii Does the employee training program address instructions of critical steps of the food safety plan and maintenance of the food safety plan

(2) Employee training program does not include hazard analysis

(2) Employee training program does not include maintenance of food safety plan


6.3.2.1.iv Does the employee training program address tasks identified as critical to meeting customer specifications and process efficiency and implementation and maintenance of the SQF 2000 system

(2) Employee training program does not include customer specifications


6.3.3.1 Are Instructions available setting out how all tasks critical to meeting customer specifications, the maintenance of food safety, quality and process efficiency is to be performed.

(2) Adequate training in the SQF system was not provided to staff



(2) Employees with assigned tasks in SQF have no training on SQF systems

(2) There are no specific work instructions for adherence to customer specifications

(2) There are no specific work instructions for maintenance of food safety plan

(2) There are not specific work instructions for maintenance of quality or process


6.3.4.1 Is HACCP training provided for staff involved in developing and maintaining Food Safety Plans and Food Quality Plans.

(2) HACCP training for staff maintaining food safety and quality plans was not sufficient

(2) There is no HACCP training for staff maintaining food quality plan

(2) There is no HACCP training for staff maintaining food safety plan


6.3.5.1 Are Training materials and the delivery of training provided in language understood by staff.

(2) Training was not provided in necessary languages to be understood by staff


6.3.6.1 Does the training program include provision for identifying and implementing the refresher training needs of the organization.

(2) Training program does not define refresher training requirement

(2) Training program does not identify means for achieving refresher training requirement




6.3.7.1 Is a training register that describes the participant name, skills description, description of training provided, date training was completed, trainer or training provider, and supervisor verification that the training was completed maintained

(2) Training skills register does not include date of the training

(2) Training skills register does not include description of training provided

(2) Training skills register does not include participant name

(2) Training skills register does not include skills description

(2) Training skills register does not include supervisor verification that training was effective

(2) Training skills register does not include trainer or training provider

(3) Training skills register is not maintained

6.4 Calibration of Equipment


6.4.1.1 Are the methods and responsibility for the calibration and re-calibration of measuring, test and inspection equipment used for monitoring activities outlined in Pre-requisite Program, Food Safety Plans and Food Quality Plans documented and implemented.

(2) Methods for calibration of equipment do not include all necessary equipment

(2) Methods for calibration of equipment do not include responsibility

(3) Calibration methods for monitoring equipment are not documented




6.4.3.1 Is calibration undertaken in line with regulatory requirements or to the equipment manufacturers recommended schedule.

(2) Calibration schedule doe not follow recommended frequency

(2) Calibration schedule does not meet regulatory requirements

(2) Calibration schedule has not been developed

6.5 Management of Pests and Vermin


6.5.1.1 Are the methods and responsibility for controlling pest infestation on the site documented and implemented and is the premises, its surrounds and storage facilities kept free of waste or accumulated debris so as not to attract pests and vermin.

(2) Exterior of facility has pest harborage areas observed

(2) Facility has pest harborage areas observed

(2) Pest management program does not include exterior or surrounding areas of facility

(2) Responsibility of integrated pest management not included in program

(3) No methods for integrated pest management documented


6.5.2.1.i Does the pest and vermin control program describe the methods and responsibility for the development, implementation and maintenance of the pest and vermin control program

(3) Methods for the program are developed




6.5.2.1.ii Does the pest and vermin control program identify the target pests for each pesticide application

(2) Target pests are not included in program


6.5.2.1.iii Does the pest and vermin control program outline the methods used to prevent pest problems

(2) Methods used to prevent pest problems are not defined


6.5.2.1.iv Does the pest and vermin control program outline the methods used to eliminate pests when found

(2) No methods to eliminate pest when found are developed


6.5.2.1.v Does the pest and vermin control program outline the frequency with which pest status is to be checked

(2) Frequency not followed by responsible personnel in the checking of pest control devices

(2) No frequency for the checking of pest status is developed


6.5.2.1.vi Does the pest and vermin control program include on a site map the identification, location, number and type of bait stations set

(2) Site map of pest control devices is not complete

(3) Site map of pest control devices is not available




6.5.2.1.vii Does the pest and vermin control program describe the chemicals used (they are required to be approved by the relevant authority) and are the Material Safety Data Sheets (MSDS) for each chemical available

(2) List of chemical used for pest control is not complete

(2) No MSDS sheet available for one chemical used in facility

(2) Unapproved chemicals for pest control used in the facility

(3) List of chemicals used for pest control is not available

(3) No MSDS sheets available for any chemical used in facility


6.5.2.1.viii Does the pest and vermin control program 0utline the methods used to make staff aware of the bait control program and the measures to take when they come in contact with a bait station

(2) No methods available for staff awareness of pest control devices


6.5.2.1.ix Does the pest and vermin control program outline the requirements for staff awareness and training in the use of pest and vermin control chemicals and baits.

(2) No methods available for staff awareness of pest control chemicals and baits


6.5.4.1.i Are Pest control contractors Licensed and approved by the local relevant authority

(2) Pest control operator is not approved by local relevant authority

(3) Pest control operator is not licensed




6.5.4.1.ii Do they use only trained and qualified operators who are licensed and approved by the local relevant authority

(2) Pest control operator is not properly trained


6.5.4.1.iv Do they provide a pest control management plan (see Contract services 4.3.2) which will include a site map indicating the location of bait stations and traps;

(2) Pest control operator does not have a pest control management plan


6.5.4.1.vi Do they Provide a written report on the findings of inspections and the treatments applied.

(2) Final report left by Pest control operator does not include chemicals applied

(2) Pest control operator does not leave written findings of inspection

6.6 Premises and Equipment Maintenance


6.6.1.1 Are the methods and responsibility for the maintenance and repair of plant, equipment and buildings documented planned and carried out in a manner that minimizes the risk of product, packaging or equipment contamination.

(2) All areas of facility and equipment are not included in maintenance plan

(2) Maintenance of the facility does not follow the defined methods

(2) No responsibility for maintenance of the facility is defined



(3) No methods defined for the maintenance of the facility


6.6.3.1 Is a maintenance schedule prepared to cover building, equipment and other areas of the premises critical to the maintenance if product safety and quality.

(2) Maintenance schedule does not include critical areas of equipment

(2) Maintenance schedule does not include critical areas of facility

(3) No maintenance schedule is available

6.7 Cleaning and Sanitation


6.7.1.1 Are the methods and responsibility for the cleaning of the facility documented and implemented, with consideration for what is to be cleaned, how, when and by whom and the responsibility and methods used to verify the effectiveness of sanitation

(2) Cleaning methods do not include frequency of cleaning

(2) Cleaning methods do not include how items are to be cleaned

(2) Cleaning methods do not include responsibility for cleaning

(2) Cleaning methods do not include what is to be cleaned

(2) Cleaning program does not include method for verification of effectiveness of sanitation

(2) Critical areas of the facility are not covered in cleaning program,

(4) Facility does not have a cleaning program developed




6.7.2.2 Are Pre-operational hygiene and sanitation inspections conducted, per a verification scheduled, to ensure food processing areas, product contact equipment and staff amenities and sanitary facilities are clean before the commencement of production.

(2) No methods established for verification of sanitation

(2) No responsibility is established for verification of sanitation

(2) No sanitation verification schedule is available

6.8 Monitoring Water Microbiology and Quality


6.8.1.1 Does water that is used for washing, thawing, or treating food, as an ingredient or processing aid, cleaning of food contact surfaces, in the manufacture of ice, steam or hot water that will contact food comply with all recognized potable water standards

(2) Ice is made from water that does not meet quality requirements

(2) Non-potable water used to create steam that will come in contact with food

(2) Water used as an ingredient does not meet quality requirements

(3) Non-potable water used to clean food contact surfaces

(3) Non-potable water used to make ice

(4) Non potable water used to treat or rinse product


6.8.3.1 Is Microbiological analysis of the water and ice supply conducted to verify the cleanliness of the supply, the monitoring activities and the effectiveness of the treatment measures implemented.

(2) Water and ice are not regularly tested to verify cleanliness of the supply



(3) Water and ice are not microbiologically tested to verify cleanliness of the supply


6.8.3.2 Is water and ice analyzed using reference standards and methods.

(2) Appropriate standards are not used to analyze water or ice

6.9 Control of Physical Contaminants


6.9.1.1 Is the responsibility and method(s) used to prevent foreign matter contamination of product documented, implemented and communicated to all staff.

(2) Foreign material prevention controls are not communicated to staff

(2) No responsibility for the prevention of foreign material have been defined

(3) Foreign material prevention controls are not implemented

(3) Foreign material prevention methods are not developed


6.9.1.3.i Are all glass objects or similar material in food handling/contact zones listed in a glass register including details of their location

(2) Glass register is not complete, glass objects missing in register

(3) No glass register is developed




6.9.2.1 Is the responsibility, methods and frequency for monitoring, maintaining, calibrating and using screens, sieves, filters or other devices to remove or detect foreign matter documented and implemented.

(2) Methods developed for foreign material detection do not adequately detect all foreign material

(2) No responsibility for the detection of foreign materials assigned

(3) No methods developed for the detection of foreign materials

6.10 Supplier Approval


6.10.1.1 Is the responsibility and method(s) for selecting, evaluating, approving and monitoring an Approved Suppliers documented and implemented and is a register of Approved Suppliers and records of inspections and audits of Approved Suppliers maintained..

(2) Methods of approving suppliers do not include monitoring of suppliers

(2) No audits are received of approved suppliers

(2) Register of approved suppliers is not current or up to date

(3) No methods developed for the selection and approval of suppliers


6.10.2.1.i Does the Approved Supplier program contain agreed specifications

(2) Approved supplier program has not product specifications

(2) Not all approved suppliers have product specifications




6.10.2.1.ii Does the Approved Supplier program contain a reference to the rating of the level of risk applied to a raw material and the Approved Supplier

(2) Approved supplier program has no risk assignment to products

(2) Approved supplier program has no risk assignment to supplier


6.10.2.1.iii Does the Approved Supplier program contain a summary of the Food Safety plan and food safety controls implemented by the Approved Supplier

(2) No summary of food quality controls applied by supplier available

(2) No summary of food safety controls applied by supplier available


6.10.2.1.iv Does the Approved Supplier program contain methods for granting Approved Supplier status

(2) No methods of approving suppliers defined


6.10.2.1.v Does the Approved Supplier program contain methods and frequency of monitoring Approved Suppliers

(2) No frequency of monitoring of suppliers is defined

(2) No methods for monitoring suppliers defined


6.10.2.1.vi Does the Approved Supplier program contain details of the certificates of analysis if required

(2) No description available of which products require certification of analysis from suppliers




6.10.2.1.vii Does the Approved Supplier program contain a contingency plan for dealing with emergency/unforeseen situations when a raw material cannot be sourced from an Approved Supplier

(2) Approved supplier programs does not have emergency sourcing methods defined

(2) No frequency defined for the reviewing of supplier performance

(2) No methods defined for the reviewing of supplier performance


6.10.2.1.8 Does the Approved Supplier program contain methods and frequency of reviewing Approved Supplier performance and status


6.10.3.1 Is the monitoring of Approved Suppliers based on the prior good performance of a supplier and the risk level of the raw materials supplied.

(2) Approved supplier monitoring is not based on risk level of materials supplied

(2) Approved supplier performance is not monitored based on prior performance


6.10.4.1 Is a register of Approved Suppliers maintained.

(3) No register of approved supplier is maintained


6.10.5.1 Are records of inspections and audits of Approved Suppliers maintained.

(2) No records of monitoring of suppliers are maintained



(2) No records of reviewing of suppliers performance are maintained

6.11 Transport and Delivery


6.11.1.1 Are the practices applied during loading, transport and unloading of product documented, implemented, designed to maintain optimum storage conditions, product integrity and are foods transported under conditions suitable to prevent cross contamination.

(2) Methods for loading of products are not documented

(2) Methods for the transportation of products are not documented

(3) Cross contamination to product potentially exists during transport and loading

(3) Methods developed for product loading and transport do not adequately protect product

(4) Product contamination observed during transportation and/or loading

6.12 Waste Management and Disposal


6.12.1.1 Is the responsibility and method(s) used to collect and handle dry, wet and liquid waste and store prior to removal from the premises documented and implemented.

(2) Methods do not include proper storage of waste prior to disposal

(2) No methods for handling waste documented



(2) The methods for handling waste within premises are not adequate to control all waste


6.12.4.1 Do reviews of the effectiveness of waste management form part of the daily hygiene inspections and the results of these inspections included on the relevant hygiene reports.

(2) Results of the effectiveness of waste removal reviews are not included on relevant hygienic reports

(2) Reviews of the effectiveness of waste removal are not included on hygienic inspections

6.13 Allergen Control


6.13.1.1 Are the responsibilities and methods used to control allergens and to prevent sources of allergens from contaminating product documented and implemented.

(4) Methods developed to control allergens are not sufficient

(4) No methods to control allergens developed


6.13.2.1 Has a risk analysis identifying those raw materials that contain allergen causing agents and a list which is accessible by relevant staff been completed.

(2) No list of ingredients with allergens has been developed

(2) Not all ingredients with allergens included in risk assessment

(3) No risk assessment for raw materials containing allergens have been conducted




6.13.2.2 Have the hazards associated with allergens and their control been incorporated into the Food Safety Plan.

(3) Controls for the allergens identified in risk assessment not included in food safety plan


6.13.3.1 Are instructions to staff receiving raw materials containing allergen causing agents provided on how to identify, handle store and segregate target raw materials.

(2) Specific procedures for the storage of allergen containing ingredients has not been developed

(3) Conditions exist within storage area of potential cross contact between allergen and non-allergen ingredients

7.1.2 Establishing the Scheduled Processes


7.1.2.1 Was the scheduled process determined by a competent person having expert knowledge of pasteurization and based upon the temperature history in the container, the composition of the food, the micro organisms and the condition of product during delivery

(2) Scheduled process does not consider the storage conditions of finished product

(2) Scheduled process does not consider the types of micro organisms found in the product

(2) Scheduled process is not based on slowest heating point of chamber

(2) Scheduled process is not based on the composition of the food

(3) Scheduled processes not determined by a competent person




7.1.2.3 Does the scheduled process take into account the following critical factors; the product code, the size of the container, ingoing weight of the product, minimum initial temperature, type of heating system, process temperature and time and cooling method

(2) Scheduled process does not consider characteristics of the sterilizing system

(2) Scheduled process does not consider dehydration of components

(2) Scheduled process does not consider matting tendency

(2) Scheduled process does not consider method of cooling of containers

(2) Scheduled process does not consider minimum initial temperature

(2) Scheduled process does not consider pH of product

(2) Scheduled process does not consider process time and temperature

(2) Scheduled process does not include container characteristics

(2) Scheduled process does not include product information

(2) Scheduled process does not include product weight and volume of water as appropriate

7.1.3 Thermal Processing


7.1.3.3.i Do retorting procedures include that retorting be commenced as soon as possible after can closure

(2) Retorting is not completed in a timely manner




7.1.3.3.ii Do retorting procedures include that a container on the top of baskets or crates of un-retorted product be clearly marked with a heat sensitive indicator

(2) No heat sensitive indicator used to identify which products have been processed

(2) No system in place to mark containers which have not been processed


7.1.3.3.iii Do retorting procedures include that vents be fully opened to permit the rapid and total removal of air from steam processing equipment before the pressure vessels are brought to operating temperatures


7.1.3.3.iv Do retorting procedures include that retorts be operated according to the maker's specifications

(2) Vents are not fully open


7.1.3.3.v Do the retorting procedures include that all scheduled process times be taken from the clock in the processing area

(2) Processing times are not properly recorded


7.1.3.3.vi Do the retorting procedures include that after the completion of the scheduled process container be rapidly cooled through the range of 60°C to 40°C

(2) Containers are not rapidly cooled after scheduled process is completed




7.1.3.3.vii Do the retort procedures include that cooling water be introduced in a manner that minimizes the risk of deformation, breakage and leakage of containers

(2) Cooler water is not controlled to minimize risk of contamination


7.1.3.4 Is the cooling water of suitable microbiological quality, chlorinated, maintained at a measurable level of residual chlorine, re-circulated cooling water filtered, tested for chlorine after each cycle, and are records kept showing suitability

(2) Controls for non-chlorine treated cooling water do not meeting section 5.3.4 and section 6.8

(2) Cooling water is not monitored for chlorine

(2) Cooling water is not of suitable microbiological quality

(2) Cooling water which is recirculated is not filtered

(2) No records of cooling water suitability are maintained

(3) Cooling water is not properly chlorinated

7.1.5 Quality Assurance


7.1.5.1 Has the SQF Practitioner established procedures to ensure thermal processes are properly established, correctly applied and sufficiently supervised and documented to provide assurance that they scheduled processes have been met

(3) Adequate controls are not established to ensure thermal process are properly applied

(3) Controls to ensure that thermal process are properly applied are not documented

(3) No methods are established for the ensuring thermal processes are properly managed




7.1.5.3.i Are processing and production records reviewed by appropriately trained and qualified personnel no later than the next working day


7.1.5.3.ii Is the product segregated and retained when there is a process that is less than the scheduled process


7.1.5.3.iii When an established safe thermal process has not been applied to a product, is that product fully processed to render it commercially sterile or destroyed under supervision



Audit Checklist ReportSQF2000 Facility Audit Level 3 v2.0

0 General


0.1 People Present at the Opening Meeting (Please list names and roles in the following format Name: Role separated by comas)


0.2 People Present at the Closing Meeting (Please list names and roles in the following format Name: Role separated by comas)


0.3 Date Audit Started


0.4 Date Audit Finished


0.5 Audit Duration (hrs)




0.6 Auditor Description of Facility (Please provide facility description include # of employees, size, production schedule, general layout, and any additional pertinent details

Other


0.7 Auditor Recommendation

(0) Grant New Certification

(0) Issue of Certification of Registration recommended once deficiencies rectified

(0) Maintain Certification

(0) Suspend Certification

(0) Withdraw Certification

4.1.1 Management Policy


4.1.1.2 Is the policy statement displayed and communicated appropriately

Major

(2) Policy Statement not communicated to all staff

(2) Policy Statement not displayed in a prominent position

(2) Policy Statement not made available in language understood by all staff

(2) Policy statement not signed by senior manager



4.1.2 Management Responsibility


4.1.2.1 Has the organization structure been communicated within the organization

Major

(2) Interrelationship for food safety and quality not defined

(2) Not communicated within the organization

(2) Those responsible for food safety not identified

(2) Those responsible for quality not identified

(3) No organizational reporting structure


4.1.2.2.iv Has the SQF Practitioner communicated to relevant personnel information essential to the implementation and maintenance of the SQF 2000 system

Other

(2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Quality Plan outlined in 4.4.4

(2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Fundamentals outlined in 4.4.2

(2) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Plan outlined in 4.4.3

(2) SQF Practitioner does not have responsibility and authority to oversee the development implementation, review and maintenance of the SQF 1000 System

(2) SQF Practitioner does not have the responsibility or authority to take appropriate action to ensure the integrity of the SQF 1000 System

(3) No SQF Practitioner designated by the producer




4.1.2.3 Is evidence observed that training needs of the organization have been achieved

Major

(2) Issues observed that demonstrate that training needs of the organization have not been met

(2) Responsibility for establishing the training needs of the organization has not been defined and documented

(2) Responsibility for implementing the training needs of the organization has not been defined and documented


4.1.2.4 Are all staff informed of their responsibility to report food safety and quality problems to personnel with authority to initiate action

Other

(2) Interviews with staff demonstrate that employees are not aware of their food safety responsibilities

(2) Staff do not have the responsibility to report food safety problems to personnel with the authority to initiate action

4.1.3 FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM


4.1.3.2 Is there evidence that the food safety manual has been maintained

Major

(2) Minor issues observed with implementation of the food safety manual

(3) Employees not aware of the food safety manual

(3) Major issues observed with implementation of the food safety manual

(4) No evidence observed that food safety manual has been implemented




4.1.3.3 Is there evidence that the food quality manual has been maintained

Other

(2) Minor issues observed with implementation of the food quality manual

(2) Other procedures and documentation necessary to support the development, implementation, maintenance and control of the SQF 2000 System is not included

(3) Employees not aware of the food quality manual

(3) Major issues observed with implementation of the food quality manual

(3) No evidence observed that food quality manual has been implemented

4.1.4 Management Review


4.1.4.4 Is the SQF Practitioner responsible for the validation and verification to the food safety fundamental plans, food safety plans and food quality plans.

Major

(2) The SQF practitioner is not aware of all responsibilities of practitioner as required by SQF code

(3) The SQF practitioner is not aware of practitioner responsibilities


4.1.4.5 Are records of all reviews and reasons for amending documents, validations and changes to the SQF system maintained

Other

(2) Records of all changes to the SQF System are not maintained

(2) Records of all reviews of the SQF System are not maintained



4.1.5 Complaint Management


4.1.5.3 Is corrective action implemented commensurate with the seriousness of the incident as outline in 4.4.6

Other

(2) Corrective action not implemented

(2) Records of the corrective action are not maintained


4.1.5.4 Are records of customer complaints and their investigations maintained

Other

(2) Records of complaints are not maintained

(2) Records of investigation are not maintained

4.1.6 Business Continuity Planning


4.1.6.4 Are records of the review and verification of the business continuity plan maintained

Other

(2) Records of the review of the business continuity plan are not maintained

(2) Records of the verification of the business continuity plan are not maintained


4.1.6.5 Are product withdrawals and recall handled under section 4.6.3 of the SQF 2000 standard

Other

(2) Product recalls are not handled appropriately within the SQF system



4.2.1 Document Control


4.2.1.2 Is there evidence the register of current SQF 2000 documents and amendments to documents is current

Other

(2) No register of SQF 2000 system documents is available

(2) Register of SQF 2000 system documents is not easily accessible

(2) SQF 2000 documents are not safely stored

4.2.2 Records


4.2.2.2 Are records legible, signed and dated by those undertaking monitoring responsibility that demonstrate that inspections, analyses and other essential activities have been completed

Other

(2) Records are not legible

(2) Records are not signed and dated

(2) Records do not show that monitoring activities have been completed


4.2.2.3 Are records easily accessible, securely stored and retained in accordance with periods specified by customer or legislation

Other

(2) Records are not readily accessible

(2) Records are not retained per customer specification

(2) Records are not retained per regulatory requirement

(2) Records are not securely stored



4.3.1 Product Development and Realization


4.3.1.4 Has the food safety and food quality plan been validated and verified for each new product and associated process through conversion to commercial production and distribution

(3) There is no evidence that the food quality plan has been validated after the pilot process to full production

(3) There is no evidence that the food safety plan has been validated after the pilot process to full production


4.3.1.5 Are records of all product design, process development, shelf life trials and approvals maintained

Other

(2) No records of product development process are maintained

(2) No records of shelf life trials are maintained

4.3.2 Raw Materials


4.3.2.2 Is there evidence the register of raw material specifications is current

Other

(2) No register of raw material specifications is maintained

(2) Raw material specifications are not current

(2) Register of raw material specifications is not current



4.3.3 Packaging


4.3.3.4 Is there evidence the register of packaging specifications and label approvals is current

Other

(2) No register of packaging specifications is maintained

(2) Register for packaging specifications is not current

(2) Specifications for packaging are not current

4.3.4 Contract Service Providers


4.3.4.2 Is there evidence the register of all contract service specifications is current

Other

(2) No register of contract services is maintained

(2) Register for contract services is not current

4.3.5 Contract Manufacturers


4.3.5.3 Are records of all contract services and changes to contractual agreements and their approvals maintained

Other

(2) No records maintained

(2) Records of approvals not maintained



4.3.6 Finished product


4.3.6.3 Is there evidence the register of finished product specifications is current

Other

(2) A register for finished product specifications is not current

(2) A register for finished product specifications is not maintained

(2) Finished product specifications are found to be not current

(2) Product found with no product specifications

4.4.1 Food Legislation


4.4.1.1 Is there any evidence that the food delivered to customer did not meet applicable regulation

Other

(4) Evidence is found that product does not meet applicable regulations

4.4.2 Food Safety Fundamentals


4.4.2.2 Are the premises, buildings, and equipment located, constructed, and designed to facilitate the proper manufacture, handling, storage and delivery of safe, quality food

Other

(2) Equipment is not designed to manufacture quality food

(2) Facility is not designed to manufacture quality food

(3) Equipment is not designed to manufacture safe food



(3) Facility is not designed to manufacture safe food


4.4.2.3 Has the supplier ensured the premises are maintained structurally sound and operated in a hygienic manner

Other

(2) Premises are not hygienic in design

(2) Premises are not structurally sound

4.4.3 Food Safety Plan


4.4.3.2 Is there evidence that the food safety plan has been implemented and maintained within the facility

Other

(2) Food safety plan is not validated

(2) Food safety plan is not verified

(3) Food safety plan has not been maintained

(3) Food safety plan is not current

4.4.4 Food Quality Plan


4.4.4.2 Is there evidence that the food quality plan has been implemented and maintained within the facility

Other

(2) Food quality plan has not been maintained

(2) Food quality plan is not current

(2) Food quality plan is not validated



(2) Food quality plan is not verified

4.4.5 Incoming Goods and Services


4.4.5.1 Are raw materials and services that impact on finished product safety and quality supplied by an approved supplier

Other

(2) Services rendered do not come from an approved supplier

(3) Raw materials are not from an approved supplier


4.4.5.2 Are the receipt of raw materials received from non approved suppliers inspected or analyzed before use

Other

(3) Raw materials from non approved suppliers do not undergo inspection prior to us


4.4.5.3 Do inspections and analyses conform to the requirements outlined in 4.5.4

Other

(2) Inspections and analyses do not conform to section 4.5.4


4.4.5.4 Does the selection, approval, and monitoring of approved suppliers conform to the requirements outline in 6.10

Other

(2) No monitoring of approved suppliers exists

(2) Supplier program is not documented

(3) No approved supplier program exists



4.4.6 Corrective and Preventive Action


4.4.6.2 Are the records of all investigation and resolution of corrections and corrective actions maintained

Other

(2) No records of corrective actions are maintained

(2) Records of corrective actions do not include investigations

4.4.7 Non-conforming Product or Equipment


4.4.7.1.i Is there evidence that the methods include how non-conforming product or equipment is identified, quarantined, handled and disposed of in manner that minimizes the risk of inadvertent use, improper use or risk to the integrity of finished product

Other

(2) Identification of product does not minimize risk of inadvertent use

(2) Identification of product does not minimize risk of integrity of finished product


4.4.7.1.ii Are all relevant staff aware of the organization's quarantine and release requirements applicable to equipment or product placed under quarantine status

Other

(2) Staff is not aware of product isolation and release policy


4.4.7.2 Are quarantine records and records of the handling and disposal of non-conforming product or equipment maintained

Other

(2) Quarantine records are not maintained



(2) Records of non-conforming product are not maintained

4.4.8 Product Rework


4.4.8.1 Are reworking operations supervised by qualified personnel, is reworked product clearly identified and traceable and is each batch of reworked product inspected or analyzed before release

Other

(2) Inspections do not conform to section 4.5.4

(2) Release of reworked product does not conform to section 4.4.9

(2) Rework product is not inspected or analyzed prior to release

(2) Reworked product is not identified

(2) Reworked product is not traceable

(2) Reworking operations are not supervised by qualified personnel


4.4.8.2 Are the records of all reworking operations maintained Other

(2) No records of reworking operations are maintained

4.4.9 Product Release


4.4.9.1 Is there evidence that the sensory and product evaluation are satisfactorily completed prior to product being released

Other

(2) No methods for the release of product have been developed

(2) No responsibility for the release of product has been assigned



(2) No verification that customer specifications are met was conducted

(2) Product was released by non-authorized personnel

(2) Product was released without being inspected or analyzed


4.4.9.2 Are records of all product releases maintained Other

(2) No records of the release of product are maintained

4.5.1 Responsibility, Frequency and Methods


4.5.1.1 Are the validation and verification activities outlined in 4.5 the responsibility of the SQF Practitioner

Other

(2) Validation activities conducted by someone other than SQF Practitioner

(2) Verification activities conducted by someone other than SQF Practitioner


4.5.1.4 Does verification include those activates as outlined under 4.5.2 to 4.5.6

Other

(2) Verification does not include activities under sections 4.5.2 - 4.5.6



4.5.2 Validation


4.5.2.1.ii Do the methods ensure that critical limits and control measures individually or in combination effectively provide the level of control required

Other

(3) Critical limits do not provide level of control necessary to control the hazards


4.5.2.2 Are records of all validation activities maintained Other

(2) Isolated instances of validation records missing

(3) No records of validation activities are maintained

4.5.3 Verification of Monitoring Activites


4.5.3.1 Do the records of monitoring the pre-requisite programs have the signature or initials and date of the monitor

Other


4.5.3.2 Are records of all verification of monitoring activities maintained

Other



4.5.4 Product Sampling, Inspection and Analysis


4.5.4.1 Are inspections and analyses completed at regular intervals of raw materials, work in progress, and finished products as required to agreed specification and legal requirements against nationally recognized standards or alternative methods which are valid

Other

(2) Inspections are conducted against a standard that was not validated

(2) Inspections are not conducted against a recognized standard

(2) Inspections do not include finished product

(2) Inspections do not include raw materials

(2) Inspections do not include work in progress

(2) Inspections do not meet established intervals

(2) Inspections do not verify product weights and measures

(2) Inspections do not verify regulatory requirements are being met

(2) Inspections do not verify specifications

(2) Internal inspections do not address regulatory requirements

(2) No intervals for inspections have been established


4.5.4.2 Are records of all inspections and analyses maintained Other

(2) Records of inspection are incomplete

(3) Records of inspections are not maintained




4.5.4.3 Are sensory analysis and evaluations completed after shelf life trials are completed, as appropriate and with relevant attributes specified by the customer, and at intervals designed to demonstrate the products sensory characteristics are consistently ach

Other

(2) Intervals of sensory evaluation is not sufficient to ensure quality being achieved

(2) No sensory analysis conducted after shelf life trials

(2) Sensory analysis does not match those required by the customer

(2) Sensory analysis is not completed by trained personnel

(2) Sensory analysis is not conducted by established methods


4.5.4.4 Are records of all sensory evaluations and actions arising as a result of sensory evaluation maintained

Other

(2) Records of actions arising from sensory analysis is not maintained

(2) Records of sensory analysis is not maintained

4.5.5 Internal Audits


4.5.5.1.i Is an internal audit schedule prepared detailing the scope and frequency of internal audits

Other

(2) Frequency of internal audits is not included in the schedule

(2) No internal audit schedule is available




4.5.5.1.ii Is action taken to correct any deficiencies found Other

(2) No corrections are completed after non-conformance from internal audit

(2) No corrective actions are completed after non-conformance from internal audit


4.5.5.1.iii Are audit results communicated to relevant management personnel and staff responsible for implementing and verifying corrective actions

Other

(2) Communication is incomplete

(2) No communication to relevant personnel on internal audit results


4.5.5.1.iv Are records of internal audits and any corrections and corrective actions taken as a result of internal audits maintained

Other

(2) No records of corrections from internal audits are maintained

(2) No records of corrective actions from internal audits are maintained

(2) Records of internal audits, corrections, or corrective actions from internal audits are incomplete

(3) No records of internal audits are maintained


4.5.5.2 Are staff conducting internal audits trained in internal audit procedures

Other

(2) Staff conducting internal audits was not adequately trained




4.5.5.3 Are staff conducting internal audits independent of the function being audited

Other

(2) Staff is not independent of the area that they are auditing

4.6.1 Product Identification


4.6.1.1 Is there evidence that product is clearly identified during all stages of receipt, production, storage, and transportation and is product properly labeled per customer specification and/or regulatory requirements

Other

(2) No responsibility for the identifying of product has been assigned

(2) Product is not identifiable throughout all stages of process

(3) Finished product is not properly labeled

(3) No methods for the identifying of product have been developed


4.6.1.2 Are product identification records maintained Other

(2) No records of product identification are maintained


4.6.2.1 Is finished product traceable to the customer (one up) and provide traceability through the process to raw materials, food contact packaging and materials and other inputs (one back) and where product is reworked

Other

(2) Processing aids are not traced to the finished product

(2) Senior management responsibilities for product trace are not defined

(3) Finished product is not traceable to the first customer

(3) Methods used to trace product are not developed



(3) Raw materials, work in process, and packaging are not traced to finished product

(3) Reworked product is not able to be traced to the finished product

4.6.2 Product Trace


4.6.2.2 Are records of product dispatch and destination maintained Other

(3) No records of the product dispatch and destination program are maintained

4.6.3 Product Withdrawal and Recall


4.6.3.2 Is there evidence of an investigation occurring to determine the cause of a withdrawal or recall and was action taken documented

(2) No action taken is identified as a result of the investigation after a withdrawal or recall occurred

(3) No evidence that an investigation has occurred after a withdrawal or recall occurred


4.6.3.3 Is there evidence that the annual review and test of the product withdrawal and recall system was conducted and effective

Other

(2) Product withdrawal system has not been reviewed within the last year

(2) Product withdrawal system has not been tested within the last year



(3) Product withdrawal system has never been tested


4.6.3.4 Are records of all product withdrawals and recall maintained Other

(2) Records of the product withdrawals and recalls are not maintained

4.7.1 Food Defense


4.7.1.1 Is there evidence that the food defense protocol has been implemented, maintained and is effective within the facility

Other

(2) Food defense plan has not been implemented

(2) No responsibility for food defense have been assigned

(3) No methods for food defense have been developed

4.8.1 General Requirements


4.8.1.1 Is there evidence that the product identity preserved status program has been implemented, maintained and is effective within the facility

Other

(2) Methods are not implemented for foods requiring preservation of their identity

(2) No responsibility assigned for program of foods requiring preservation of their identity



(3) No methods developed for foods requiring preservation of their identity

5.1 Site Requirements and Approval


5.1.1.1 Does the location of the premises ensure that adjacent and adjoining buildings, operations and land use do not interfere with the safe and hygienic operations of the premises.

Other

(2) Location of premises poses a food safety risk

(2) Location of premises poses a hygienic risk


5.1.1.2 Are the measures taken to establish a suitable external environment effective

Other

(2) Methods to manage exterior environmental risks have not been monitored

(2) Methods to manage exterior environmental risks have not been reviewed


5.1.2 Has the construction and ongoing operation of the premises on the site been approved by the relevant authority.

Other

(2) Site has not been approved by local authorities



5.2.1 Materials and Surfaces


5.2.1 Are product contact surfaces and those surfaces not in direct contact with food constructed of materials that will not contribute a food safety risk.

Other

(2) Non-food contact surfaces are constructed of materials that pose a food safety risk

(3) Product contact surfaces are constructed of materials that pose a food safety risk

5.2.2 Floors, Drains, and Waste Traps


5.2.2.1 Are floors constructed of smooth, dense impact resistant material that can be effectively graded, drained, impervious to liquid, easily cleaned and sloped at gradients suitable to allow the effective removal of all overflow or waste water.

Other

(2) Floors are made of an inappropriate material

(2) Floors are non smooth and easily cleanable

(2) Floors do not graded properly


5.2.2.2 Are drains constructed and located so they can be easily cleaned and not present a hazard.

Other

(2) Areas of floors have excessive water buildup

(2) Floors do not drain properly




5.2.2.3 Are waste trap systems located away from any food handling area or entrance to the premises.

Other

(2) Drain construction poses a food safety risk

(2) Drain location poses a food safety risk


5.2.2.4 Are waste systems located away from food handling areas or entrances

Other

(2) Waste traps are located in product contact zones

(2) Waste traps are located near the entrance to the premises

5.2.3 Walls, Partitions, Doors and Ceilings


5.2.3.1 Are walls, partitions, ceilings and doors of durable construction and are internal surfaces shall be smooth and impervious with a light colored finish.

Other

(2) Ceilings are not of sound construction

(2) Doors are not of sound construction

(2) Walls are not of sound construction


5.2.3.2 Are wall to wall and wall to floor junctions designed to be easily cleaned, sealed and rounded to prevent the accumulation of food debris.

Other

(2) Floor to wall junctions are not constructed properly

(2) Wall to wall junctions are not constructed properly




5.2.3.3 Are ducting, conduit and pipes that convey services such as steam or water recessed into walls or ceilings; suspended from ceilings to service processing operations or mounted a sufficient distance from walls or ceilings to allow ease of cleaning.

Other

(2) Conduits are constructed to pose difficultly in cleaning

(2) Ducting is constructed to pose difficulty in cleaning

(2) Pipes are constructed to pose a difficultly in cleaning


5.2.3.4 Are doors, hatches and windows and their frames of a material and construction which meets the same functional requirements for internal walls and partitions, are doors and hatches of solid construction and windows shatterproof glass or similar material.

Other

(2) Door are not of solid construction

(2) Windows are not made of shatterproof glass in non-product contact areas

(2) Windows are not of solid construction

(3) Windows are not made of shatterproof glass in product contact areas


5.2.3.5 Is food processed and handled in areas that are fitted with a ceiling or other acceptable structure that is constructed and maintained to prevent the contamination of product.

Other

(2) Ceilings are not of sound construction

(3) Ceiling construction poses a food safety hazard to the product



5.2.4 Stairs, Catwalks and Platforms


5.2.4.1 Are Stairs, catwalks and platforms in food processing and handling areas designed and constructed so as not to present a product contamination risk.

Other

(2) Stair and/or catwalk is not of sound construction in non-product contact zones

(3) Catwalk construction poses a food safety hazard to the product

(3) Stairs construction poses a food safety hazard to the product

5.2.5 Lighting and Light Fittings


5.2.5.1 Is sufficient lighting be provided in food processing and handling areas.

Other

(2) Lighting is not sufficient in food processing areas


5.2.5.2 Is lighting in processing areas and at inspection stations of appropriate intensity to enable the staff to carry out their tasks efficiently and effectively.

Other

(2) Lighting intensity is not sufficient in food processing areas


5.2.5.3 Are light fittings shall be shatterproof, manufactured with a shatterproof covering or fitted with protective covers and/or recessed into or fitted flush with the ceiling.

Other

(2) A light fitting was found unprotected



(3) Majority of light fixtures are not shatterproof

5.2.6 Inspection Area


5.2.6.1 Has a suitable area within the processing area been provided for the inspection of product if required.

Other

(2) Area designated as product inspection is not suitable

(2) No area is designated as product inspection area


5.2.6.2 Has the inspection area been provided with facilities that are suitable for examination of the style product being processed and does the are have easy access to hand washing facilities and sufficient lighting to enable the thorough product inspection.

Other

(2) Product inspection area does not have easy access to hand washing facilities

(2) Product inspection area does not have sufficient lighting

5.2.7 Dust, Fly and Vermin Proofing


5.2.7.1 Are all external windows, ventilation openings, doors and other openings effectively sealed when closed and proofed against dust, vermin and flies.

Other

(2) Doors are not adequately protected against pests

(2) Windows are not protected and sealed against pests




5.2.7.2 Are personnel access doors provided. Are they effectively fly proofed and fitted with a self closing device.

Other

(2) Personnel doors are not self closing


5.2.7.3 Are external doors used for product access fly-proofed by at least one or a combination of the following methods: self-closing device, effective air-curtain, fly-proof screen, fly-proof annex

Other

(2) External door (s) are not adequately fly-proofed


5.2.7.4 Are electric insect control devices, pheromone or other traps and baits located so as not to present a contamination risk to product, packaging, containers or processing equipment.

Other

(2) Insect devices are located so as to pose a threat to equipment

(2) Insect devices are located so as to pose a threat to product

5.2.8 Ventiliation


5.2.8.1 Has adequate ventilation been provided in enclosed processing and food handling areas.

Other

(2) Food processing areas do not have adequate ventilation


5.2.8.2 Are exhaust systems provided in areas where cooking or heating operations are carried that have the following features: prevent condensation via exterior exhaust, fans and vents fly proofed, and have positive pressure to prevent a contamination risk.

Other

(2) Condensation is present in cooker areas



(2) Cooking areas are not adequately exhausted

(2) Exhaust system are not adequately fly proofed

(2) Positive air pressure was not available in high risk processing areas

5.2.9 Equipment, Utensils and Protective Clothing


5.2.9.1 Is equipment and utensils designed, constructed, installed, operated and maintained so as not to pose a contamination threat to product.

Other

Food contact equipment's design, construction, or maintenance poses a food safety risk

Food contact utensil's design, construction, or maintenance poses a food safety risk

Non food contact equipment or utensil is not maintained

Non food contact equipment or utensil is not properly designed


5.2.9.2 Are benches, tables, conveyors, mixers, minces, graders and other mechanical processing equipment easily dismantled for cleaning, located so as not pose a hindrance to the cleaning of the premises and have smooth, impervious surfaces free from cracks.

Other

Food processing equipment is not properly designed

Food processing equipment is not properly maintained


5.2.9.3 Are product containers, tubs, bins for edible and inedible material constructed of materials that are non toxic, smooth, impervious and readily cleaned and are bins used for inedible material clearly identified.

Other

(3) Inedible containers were not properly labeled



Food contact utensil is not properly designed

Food contact utensil is not properly maintained


5.2.9.4 Is waste and overflow water from tubs, tanks and other equipment discharged direct to the floor drainage system.

Other

(2) Waste water discharged on floor

(2) Waste water not properly draining


5.2.9.5 Is protective clothing manufactured from material that is non toxic and easily cleaned.

Other

(2) Protective clothing is not easily cleanable

5.2.10 Cleaning of Processing Equipment, Utensil and Protective Clothing


5.2.10.1 Has provision been made for the effective cleaning of processing equipment, utensils and protective clothing.

Other

(2) No protocols in place for the cleaning of equipment

(2) No protocols in place for the cleaning of protective clothing

No protocols in place for the cleaning of utensils


5.2.10.2 Have suitably equipped areas been designated, are such cleaning operations controlled and are racks and containers for storing cleaned utensils and protective clothing provided as required.

Other

(2) Cleaning operations have a risk to impact processing operations

(2) No container available for storage of protective clothing



(2) No designated area has been designated for utensil cleaning

(2) No racks are available for cleaned utensils

5.2.11 Hand washing facilities


5.2.11.1 Have hand wash basins been provided adjacent to all personnel access points and in accessible locations throughout food handling and processing areas as required

Other

(2) Hand wash basins not located in processing areas

(3) No hand wash basins available for personnel


5.2.11.2 Are hand wash basins constructed of stainless steel or similar non-corrodible material and as a minimum supplied with: water at appropriate temperature, liquid soap, paper towels, and a means of container used paper towels.

Other

(2) Hand was basin not constructed of appropriate material

(2) Hand wash basin does not have water at appropriate temperature

(2) No liquid soap available at hand wash station

(2) No means to contain used paper towels available at hand wash station

(2) No paper towels available at hand wash station


5.2.11.3 Do facilities with exposed or processed foods or which are considered High Risk also have available hands free operated taps and hand sanitizers

Other

(2) No hand sanitizer used at hand wash stations in high risk areas



(2) No hands free taps used at hand wash stations in high risk areas


5.2.11.4 Have signs advising people to wash their hands, in appropriate languages, been provided in a prominent position adjacent to hand wash stations.

Other

(2) No signage available for personnel to wash their hands

(2) Signage for hand washing is not located in prominent position

5.2.12 Protective Clothing Racks


5.2.12.1 Are racks provided for the temporary storage of protective clothing when staff leave the processing area.

Other

(2) No racks are available for temporary storage of protective clothing

(2) Racks for protective clothing are not located properly


5.2.12.2 Has protective clothing racks been provided in close proximity or adjacent to the personnel access doorways and hand washing facilities.

Other

(2) No racks are available for protective clothing near hand wash stations

(2) No racks are available for protective clothing near personnel access doorways



5.2.13 Vehicles


5.2.13.1 Are vehicles used in food contact, handling or processing zones or in cold storage rooms designed so as not to release any hydrocarbon emissions.

Other

(2) Vehicle used in food processing area

(3) Vehicles used present a hazard to the food product

5.3 Water and Ice Supply


5.3.1.1 Are adequate supplies of potable water (drawn from a known clean source) provided for use during processing operations, as an ingredient and for cleaning the premises and equipment.

Other

(2) Water used in processing does not have adequate amounts available

(3) Water used in processing not from a potable source


5.3.1.2 Are Supplies of hot and cold water provided as required to enable the effective cleaning of the premises and equipment.

Other

(2) Water supply to clean facility was not adequate to properly clean

(3) No hot water available to clean equipment

(3) No water available to clean equipment




5.3.2.1 Does the delivery of water within the premises ensure potable water is not contaminated.

Other

(2) A cross connection exists that could result in a back flow of water

(3) Water supply is not adequately protected


5.3.2.2 Are there controls in place to control non-potable water and do those controls include; no cross-contamination between potable and non-potable water, non-potable water piping and outlets clearly identified, and back flow prevention devices installed

Other

(2) No non-return devices are installed on non-potable water lines

(2) Non-potable water pipes and outlets are not labeled

(2) There is a possible cross contamination between potable and non-potable water lines

(3) Potable water has been contaminated by non-potable water


5.3.3.1 Are adequate supplies of ice derived from potable water shall be provided for use during processing operations or as a processing aid or an ingredient.

Other

(2) Adequate supplies of ice not available

(2) Ice not properly protected during use

(3) Ice made from non-potable water


5.3.3.2 Are ice rooms and receptacles constructed of materials as outlined in 5.4.1.

Other

(2) Ice storage areas constructed from inappropriate materials

(2) Ice storage areas not properly designed



(2) Ice storage areas potentially could contaminate ice


5.3.4.1 Are the water treatment methods, equipment and materials designed, installed and operated properly to ensure water receives an effective treatment

Other

(2) Water treatment equipment not made of appropriate materials

(2) Water treatment methods are not adequate for treating water

(2) Water treatment methods are not operated properly

5.4 Storage Facilities


5.4.1.1 Are the chillers, freezers and cold storage rooms designed and constructed to allow for efficient refrigeration and are they easily accessible for inspection and cleaning

Other

(2) Cold storage areas are not easily accessible for inspection

(2) Cold storage rooms are not properly constructed for easy cleaning

(2) Supplier has not confirmed effective operation of cold storage areas


5.4.1.2 Is sufficient refrigeration capacity available to chill, freeze, store chilled or store frozen the maximum anticipated throughput of product with allowance for periodic cleaning of refrigerated areas.

Other

(2) Facility does not have the adequate freezer capacity

(3) Facility does not have adequate refrigeration capacity




5.4.1.3 Are floors constructed of smooth, dense impact resistant material that is impervious to liquid and easily cleaned. Floors shall be effectively graded, to allow the effective removal of water under normal conditions.

Other

(2) Floors of cold storage areas are not made of easily cleanable materials

(2) Floors of cold storage areas are not maintained

(2) Floors of cold storage areas are not properly graded to allow drainage


5.4.1.4 Do wall, ceilings, doors, frames and hatches comply with the requirements outlined in 5.2.3.

Other

(2) Ceilings of cold storage areas do not comply with section 5.2.3

(2) Doors of cold storage areas do not comply with section 5.2.3

(2) Walls of cold storage areas do not comply with section 5.2.3


5.4.1.5 Do light fittings shall comply with the requirements outlined in 5.2.5.2.

Other

(2) Light fittings of cold storage area do not comply with section 5.2.3


5.4.1.6 Is discharge from defrost lines connected to the drainage system.

Other

(2) Excessive condensation found in cold storage area

(2) Excessive frost in freezer on ceiling and walls

(2) Water discharge in cold storage area poses a risk to contaminate product

(3) Excessive frost in freezer on stored product



(3) Water discharge in cold storage area is directly on stored product


5.4.1.7 Are freezing, chilling and cold storage rooms fitted with temperature monitoring equipment that is easily readable and accessible and located so as to monitor the warmest part of the room.

Other

(2) Temperature monitoring devices are not easily accessible

(2) Temperature monitoring devices is not located near the warmest part of cold storage area

(3) Cold storage areas do not have temperature monitoring equipment


5.4.1.8 Are loading and unloading docks designed to protect product during loading and unloading.

Other

(2) Docks are not designed to adequately protect product

(2) Docks areas are not adequately maintained


5.4.2.1 Are rooms used for the storage of product ingredients and other dry goods located away from wet areas and are they constructed to protect the product from contamination and deterioration.

Other

(2) Product storage rooms are located near wet processing to allow for potential water contamination

(2) Storage rooms are not adequately designed to protect product




5.4.2.2 Do light fittings comply with the requirements outlined in 5.2.5.2.

Other

(2) Light fittings in product or ingredient storage areas do not comply with 5.2.5.2


5.4.3.1 Is storage of food packaging materials separate and located away from wet areas and is the storage location constructed to protect packaging from contamination and deterioration.

Other

(2) Packaging storage rooms are located near wet processing to allow for potential water contamination

(2) Storage rooms are not adequately designed to protect product


5.4.3.2 Do light fittings comply with the requirements outlined in 5.2.5.2.

Other

(2) Light fittings in packaging storage areas do not comply with 5.2.5.2


5.4.3.3 Are racks provided for the storage of packaging constructed of impervious materials, are they constructed to protect the product from contamination and deterioration and are they constructed to prevent packaging from becoming a harborage area.

Other

(2) Packaging racks are made of material that is not easily cleanable

(2) Packaging racks do not allow access to floor / wall junction for cleaning

(3) Packaging storage areas is found to be a pest harborage area




5.4.4.1 Are storage rooms designed and constructed to allow for the hygienic and efficient storage of equipment and receptacles.

Other

(2) Equipment storage area does not allow access for cleaning

(2) Equipment storage area does not protect equipment during storage


5.4.4.2 Are processing utensils and packaging stored in areas separate to those used to store hazardous chemicals and toxic substances.

Other

(2) Chemicals stored directly next or over the top of packaging

(2) Chemicals stored directly next or over the top of utensils


5.4.5.1 Are Hazardous Chemicals and Toxic Substances stored so as not to present a hazard to staff, product, packaging, product handling equipment or areas in which product is handled, stored or transported.

Other

(2) Chemicals present a hazard to staff due to improper storage

(3) Chemicals are stored next to or directly over product


5.4.5.2 Are pesticides, rodenticides, fumigants and insecticides stored separate from sanitizers and detergents. All chemicals shall be stored in their original containers.

Other

(2) Chemicals are not stored in original container

(2) Sanitizers and detergents are stored with pesticides or other toxic chemicals




5.4.5.3.i Hazardous chemical storage facilities shall be: complaint with local regulations, be adequate ventilated and appropriately signed and be secure.

Other

(2) Chemical storage room is not properly signed

(2) Chemical storage room is not secured

(2) Chemical storage rooms are not properly ventilated

(2) Chemical storage rooms do not meet local regulations

(3) Cross contamination observed between chemicals


5.4.5.3.ii Hazardous chemical storage facilities must also have easily accessible written instructions and inventory of chemicals, have suitable first aid equipment and emergency shower, be designed to contain spills and have spillage kits.

Other

(2) No emergency shower or wash facilities are available

(2) No first aid equipment available

(2) No instructions are available for handling chemicals in storage area

(2) No inventory of chemicals stored in storage area

(2) No personal protection equipment or clothing is available in storage area

(2) No spillage kit or cleanup equipment is available


5.4.6.1 Is there evidence that the alternative storage conditions ensure that there is no risk to the integrity, food safety and quality

Other

(2) No risk analysis conducted for alternative storage and handling of goods



5.5 Separation of Functions


5.5.1.1 Is the process flow designed to prevent cross contamination and organized so there is a continuous flow of product through the process.

Other

(2) Design of process flow may allow for cross contamination

(3) Process flow enables direct opportunity for cross contamination


5.5.2.1 Are dry, ingredients and packaging received and stored separately from frozen and chilled raw materials and are unprocessed raw materials received and segregated to ensure there is no cross contamination

Other

(2) Dry materials received in area where potential for contamination exists

(2) Packaging receiving is not separated from raw materials

(3) Raw material and finished product received and handled at same location with no prevention steps taken


5.5.3.1 Is thawing of product undertaken in equipment and rooms appropriate for the purpose.

Other

(2) Product is thawed in a way that poses a food quality risk

(3) Product is thawed in ways that pose a food safety risk


5.5.3.2 Is equipment for water thawing continuous flow to ensure the water exchange rate and temperature does not contribute to product deterioration or contamination. Is water overflow directed into floor drainage system.

Other

(2) Product is not monitored during thawing process



(2) Water used in thawing is not properly cooled

(2) Water used in water thawing of product is not properly disposed of

(3) Water thawing of product is not controlled and poses risk to product


5.5.3.3 Are air thawing facilities designed to thaw product under controlled conditions at a rate and temperature that does not contribute to product deterioration or contamination.

Other

(2) Product is not monitored during thawing process

(3) Air thawing of product is not controlled and poses a risk to product


5.5.3.4 Is provision made for the containment and regular disposal of used cartons and packaging so that there is no risk to product.

Other

(2) Staff observed not following company policy

(2) Used containers and packaging are not regularly disposed of in facility

(2) Used containers are not properly contained in facility

(2) Used packaging is not properly contained in facility

(3) Used containers and packaging poses a risk to product within facility


5.5.4.1.i Are sensitive areas in which High Risk Food have undergone a “kill” step, a “food safety intervention” or is subject to post process handling separated from other processes or raw materials to ensure cross contamination is minimized;

Other

(2) High risk areas of facility are not adequately segregated from raw material handling areas

(2) Staff observed not following company policy



(3) High risk, finished product is at risk due to potential contact with raw materials

(4) High risk areas of facility are in direct contact with raw material handling areas


5.5.4.1.ii Are areas in which High Risk Processes are conducted are only serviced by staff dedicated to that function;

Other

(2) Staff in high risk areas are not dedicated and adequate controls are not in place

(3) Staff pass between high risk and raw handling areas with no hygiene step


5.5.4.1.iii Are staff access points are located, designed and equipped to enable staff to don distinctive protective clothing and to practice a high level of personal hygiene

Other

(2) No personal protective clothing is required in high risk areas

(3) High risk areas have no controlled access to ensure adequate staff hygiene

(3) Staff observed not following company policy on entering high risk areas


5.5.4.1.iv Are product transfer points located and designed so as not to compromise high risk segregation and minimize risk of cross contamination

Other

(3) Product transfer between high risk areas and other areas poses risk to product

(3) Staff observed not following company policy on product transfer policies




5.5.5.1.i Are ingredients physically separated from ingredients identified as incompatible with the specialty food

Other

(2) No physical separation exists for incompatible ingredients and other ingredients

(3) Incompatible ingredients are comingled with other ingredients


5.5.5.1.ii Is processing completed in separate rooms or scheduled as a first production run, or carried out after the completion of a thorough sanitation activity

Other

(2) Specialty foods are not processed with adequate controls to ensure protection

(3) Observation of processing of specialty foods shows potential contamination with non-like product


5.5.5.1.iii Is the finished product stored and transported in separate units or isolated by a physical barrier

Other

(2) Finished specialty product is not adequately protected during storage

(2) Finished specialty product is not adequately protected during transport

(2) Finished specialty product is not separated from non-like product

5.6 On-Site Laboratories


5.6.1.1 Are on site laboratories located separate from any food processing or handling activity and designed to limit access only to authorized personnel.

Other

(2) Laboratory access is not restricted to only authorized personnel



(2) On-site laboratory is not separated from food processing area


5.6.1.2 Is provision made to isolate and contain all laboratory waste held on the premises and are laboratory waste water outlets at a minimum down stream of drains that service food processing and handling areas.

Other

(2) laboratory waste is not adequately contained and separated from facility waste

(2) Laboratory waste is not properly treated prior to disposal


5.6.1.3 Is signage identifying the laboratory area as a restricted area accessible only by authorized personnel.

Other

(2) Adequate signage is not available for the laboratory

(2) Signage does not state that only authorized personnel allowed in laboratory

5.7 Staff Amenities


5.7.1.1 Are staff amenities supplied with appropriate lighting and ventilation for the use of all persons engaged in the handling and processing of product.

Other

(2) Staff amenities are not available to all staff who handle product

(2) Staff amenities do not have adequate lighting

(2) Staff amenities do not have adequate ventilation




5.7.2.1 Are facilities provided to enable staff and visitors to change into and out of protective clothing as required.

Other

(2) Amenities are not available to change into protective clothing

(2) No adequate amenities for visitors and staff


5.7.2.2 Are change rooms provided for staff engaged in the processing of High Risk Foods or processing operations in which clothing can be soiled.

Other

(2) No change rooms provided for high risk personnel

(2) No change rooms provided for personnel engaged in highly soiled processing


5.7.2.3 Is provision made for staff to store their street clothing and personal items.

Other

(2) No amenities available for the storage of staff personal items

(2) Storage of personal items is not separated from processing areas


5.7.3.1 Where required are there a sufficient number of showers provided for use by staff.

Other

(2) No showers are available where they are required

(2) There are not enough showers where they are required


5.7.4.1 Is provision made for the laundering of clothing worn by staff engaged in High Risk Processes and for staff engaged in processing operations in which clothing can be heavily soiled.

Other

(2) No provisions are available for laundering of high risk protective clothing



(2) No provisions are made for laundering of protective clothing worn by staff


5.7.5.1 Are sanitary facilities designed, constructed and located so that they are easily accessible to staff and are they separate from any processing and food handling operations.

Other

(2) Sanitary facilities are not easily accessible to staff

(2) Sanitary facilities are not properly designed

(2) Sanitary facilities are not separated from processing areas


5.7.5.2 Are toilet rooms designed so that they: are not directly accessible from any food handling area, cater for the maximum staff, and can be easily cleaned and maintained.

Other

(2) No adequate controls are in place to protect processing areas from toilet rooms

(2) Toilet rooms are not constructed so that they can be easily maintained

(2) Toilet rooms are not of adequate number for the maximum number of staff

(2) Toilet rooms can not be easily cleaned

(2) Toilet rooms open directly into processing areas with no other controls in place


5.7.5.3 Is sanitary drainage connected to any other drains on the premise and not directed into a septic or sewer system

Other

(2) Sanitary drainage is connected to drains within processing facility




5.7.5.4 Are hand wash basins provided immediately outside or inside toilet room and designed as outline in 5.2.11.1

Other

(2) Hand wash basin near the toilet room does not meet section 5.2.11.1

(3) No hand was basins are available near the toilet room


5.7.5.5 Is signage in appropriate languages advising people to wash their hands provided in a prominent position at the exit of toilet room and over each hand wash basin.

Other

(2) Hand washing sign is not available in all necessary languages

(2) No hand washing sign is available over each hand wash basin

(2) No hand washing signs are available near toilet room


5.7.6.1 Are lunch room facilities separate from food contact/handling areas

Other

(2) Lunch facilities are not separated from processing areas

(2) Lunch facilities are not separated from product storage or handling area


5.7.6.2 Are lunch room facilities ventilated and well lit, provided with adequate tables for staff, equipped with a sink serviced with hot and cold potable water, and equipped with refrigeration and heating facilities

Other

(2) Lunch room facility are not properly ventilated

(2) Lunch room facility are not well lit

(2) Lunch room facility does not adequately fit staff

(2) No sink with hot and cold water is available in lunch facility



(2) Properly heating or cooling facilities are not provided in lunch facility


5.7.6.3 Is signage in appropriate languages advising people to wash their hands before entering the food processing areas posted in prominent locations at the lunch room exits

Other

(2) No hand wash sign available at the exit of the lunch facility

(2) Signage at the exit of the lunch facility is not in proper language

5.8 First Aid Facilities


5.8.1.1 Are first aid facilities provided and are suitable arrangements available when more specialized care is required

Other

(2) No arrangements have been made to provide for more specialized care as required

(2) No first aid facilities are available

5.9 Waste Disposal


5.9.1.1 Is waste effectively, efficiently and regularly removed from the premises and the surrounds so as not to pose a threat to the hygienic operation of the premises

Other

(2) Waste is not properly contained on the exterior of the facility

(2) Waste is not properly contained within facility




5.9.1.2 Has adequate provision been made for the disposal of all solid processing waste. Is waste that is held on-site prior to disposal adequately separated, contained and fly proofed so as not to present a hazard

Other

(2) Solid processing waste is not adequately contained

(2) Solid processing waste is not properly held in a separate facility


5.9.1.3 Has adequate provision been made for the disposal of all liquid processing waste. Is waste that is held on-site prior to disposal adequately separated, contained and fly proofed so as not to present a hazard

Other

(2) Liquid waste is not adequately contained

(2) Liquid waste is not properly held in a separate facility

5.10 Exterior


5.10.1 Are the grounds and area surrounding the premises maintained to minimize dust and kept free of waste or accumulated debris

Other

(2) Exterior grounds are not kept free of waste

(2) Exterior grounds are not maintained and provide pest harborage areas

(2) Exterior grounds are not managed to minimize dust or other hazards

(2) Exterior loading and unloading areas are not maintained to minimize hazards

(2) Exterior paths and roadways are not managed to minimize dust or other hazards




5.10.2 Are paths, roadways, and loading and unloading areas maintained so as not to present a hazard to efficient and effective operations of the premises

Other

6.1 Personnel Practices


6.1.1.1 Are Personnel suffering from infectious diseases or are carriers of, any infectious disease engaged in product handling or processing operation.

Other

(4) Personnel who are engaged in product handling exhibit signs of illness

(4) Personnel who have been ill with an infectious illness are involved in food processing


6.1.1.2 Are Personnel with exposed cuts, sores or lesions engaged in handling or processing product. Are Minor cuts or abrasions on exposed parts of the body covered with a suitable waterproof colored plaster dressing containing a metal strip where appropriate

Other

(3) Controls for personnel injuries to hands do not include appropriate alert controls

(4) Personnel observed handling food products with sores or cuts on hands with no controls


6.1.1.3 Is Smoking, chewing, eating, drinking or spitting prohibited in any food processing or food handling areas.

Other

(2) Evidence of smoking, eating, drinking observed in food handling areas

(3) Employees observed smoking, eating or drinking in food processing or handling areas



(3) Evidence of smoking, eating, drinking observed in food processing areas


6.1.1.4 Are personnel washing hands when entering food processing / handling areas, after each visit to a toilet, after using a handkerchief, after handling hoses or contaminated material or after smoking, eating, or drinking

Other

(2) Personnel observed not washing hands after eating, drinking, or smoking

(3) Personnel observed in food handling area with dirty hands

(3) Personnel observed not washing hands after handling hoses or trash

(3) Personnel observed not washing hands upon entering processing area

(3) Personnel observed not washing hands upon leaving restroom


6.1.1.5 If gloves are used, personnel are the requirements of 6.1.1.4 observed

Other

(3) Facility policy on gloves does not require proper hand washing protocols

(3) Personnel seen using gloves instead of following hand washing requirements


6.1.2.1 Is clothing worn by staff engaged in handling food maintained, stored, laundered and worn so as not to present a contamination risk to product.

Other

(2) Clothing worn by staff is not properly maintained

(2) Staff clothing in processing area is not clean

(2) Staff clothing used in high risk processing areas is worn off site



(3) Staff clothing presents a hazard to product


6.1.2.2 Is clothing clean at the commencement of each shift and maintained in a serviceable condition. Is excessively soiled uniforms shall be changed where they present a product contamination risk.

Other

(2) Excessive dirty uniforms not changed as necessary

(2) Staff clothing not clean at the start of each shift


6.1.2.3 Are disposable gloves and aprons changed after each break, upon re-entry into the processing area and when damaged. Are non-disposable aprons and gloves cleaned and sanitized as required and stored appropriately when not in use

Other

(2) Disposable gloves and aprons not changed upon re-entry into processing area

(2) Disposable gloves reused by staff

(2) Non-disposable gloves and/or aprons not properly cleaned between usage


6.1.3.1 Is jewelry and other loose objects prohibited from being worn or taken into a food handling or processing operation or any area where food is exposed.

Other

(2) No control process in place for addressing jewelry for employees and visitors

(2) Staff in processing area observed wearing jewelry

(2) Staff in processing areas observed wearing loose objects




6.1.4.1 Do visitors, including management and maintenance staff, wear suitable clothing and footwear when entering any food processing or handling area.

Other

(2) Management observed not following company protocol on clothing or footwear

(2) Visitors observed wearing unsuitable footwear or clothing in processing areas


6.1.4.2 Are visitors required to remove jewelry and other loose objects.

Other

(2) Visitors observed wearing jewelry in processing or handling areas

(2) Visitors observed wearing unsuitable loose items in processing or handling areas


6.1.4.3 Are visitors exhibiting visible signs of illness prevented from entering areas in which food is handled or processed.

Other

(2) Visitors observed with illness are allowed in processing areas


6.1.4.4 Do visitors shall enter and exit food handling areas through the proper staff entrance points and are visitors required to comply with all hand washing and personal requirements.

Other

(2) Visitors observed not following facility protocols on access to processing and handling areas

(2) Visitors observed not following facility protocols on hygiene



6.2 Personnel Processing Practices


6.2.1.1.i Do personnel engaged in food handling follow the policy to enter into processing areas through personnel access doors

Other

(2) Personnel observed not following facility protocols on access to processing and handling areas


6.2.1.1.ii Are doors kept closed, and only opened when access for waste removal or product/ingredient/packaging receivables is required

Other

(2) Exterior doors open with no protective controls in place

(3) Exterior doors directly into processing areas or handling areas left open with no controls in place


6.2.1.1.iii Do all personnel wash their hands on entering the processing area

Other

(2) Employees observed not following hand washing protocols upon entering processing areas

(3) Employees observed not washing hands upon entering processing area


6.2.1.1.iv Do personnel engaged in food handling wear false fingernails or fingernail polish

Other

(2) Employees observed wearing false fingernails in food handling areas

(2) Employees observed wearing fingernail polish in food handling areas




6.2.1.1.v Are packaging material, product, and ingredients kept in appropriate containers and off the floor

Other

(2) Food product or ingredients found on floor

(2) Food product or ingredients stored in non-appropriate containers

(2) Packaging material that will directly contact food is stored on floor


6.2.1.1.vi Is waste contained in bins identified as waste and removed from processing areas on a regular basis and not allowed to accumulate

Other

(2) Waste containers not properly identified

(2) Waster containers in processing or handling areas found overflowing


6.2.1.1.vii Do employees taste product in food handling areas that are not engaged in sensory evaluation that follow food safety protocols and do not follow good hygienic practices

Other

(2) Employees seen eating in processing or handling areas

(2) Sensory evaluation equipment is not cleaned and sanitized after use

(2) Sensory evaluations not conducted per company protocols

(3) Sensory evaluations of product potentially compromise food safety of product


6.2.1.2 Are wash down hoses stored on hose racks and not left on the floor

Other

(2) Wash down hose found stored on floor



6.3 Training of Personnel


6.3.1.1 Is there evidence that SQF training that was conducted was effective

Other

(2) Adequate training in the SQF system was not provided to staff

(2) Employees with assigned tasks in SQF have no training on SQF systems


6.3.2.1.i Is there evidence the training on Good Manufacturing Practices and Pre-requisites programs is effective

Other

(2) Employee training program does not include good manufacturing practices

(2) Employee training program does not include pre-requisite programs


6.3.2.1.ii Is there evidence that the training on regulatory requirements is effective

Other

(2) Employee training program does not include food regulatory requirements


6.3.2.1.iii Is there evidence that the training on critical steps within the food safety plan was effective

Other

(2) Employee training program does not include hazard analysis

(2) Employee training program does not include maintenance of food safety plan




6.3.2.1.iv Is there evidence that training on meeting customer specification and process efficiency is effective

Other

(2) Employee training program does not include customer specifications


6.3.3.1 Is there evidence that instructions on how all tasks critical to meeting customer specifications, maintenance of food safety, quality and process efficiency is readily available.

Other

(2) There are no specific work instructions for adherence to customer specifications

(2) There are no specific work instructions for maintenance of food safety plan

(2) There are not specific work instructions for maintenance of quality or process


6.3.4.1 Is there evidence that HACCP training provided for staff involved in developing and maintaining Food Safety Plans and Food Quality Plans has been effective.

Other

(2) HACCP training for staff maintaining food safety and quality plans was not sufficient

(2) There is no HACCP training for staff maintaining food quality plan

(2) There is no HACCP training for staff maintaining food safety plan


6.3.7.1 Is there evidence that the training register is current. Other

(2) Training skills register does not include date of the training

(2) Training skills register does not include description of training provided

(2) Training skills register does not include participant name

(2) Training skills register does not include skills description



(2) Training skills register does not include supervisor verification that training was effective

(2) Training skills register does not include trainer or training provider

(3) Training skills register is not maintained

6.4 Calibration of Equipment


6.4.3.1 Is there evidence that calibration is undertaken per recommended schedule

Other

(2) Calibration schedule does not meet customer requirements

(2) Calibration schedule does not meet regulatory requirements

(3) No calibration schedule is available


6.4.4.1 Are calibration records maintained. Other

(2) Calibrations records are not complete

(3) No calibration records are maintained

6.5 Management of Pests and Vermin


6.5.1.1 Is there evidence that the pest and vermin control program is implemented and effective within the interior and exterior of the facility

Other

(2) Exterior of facility has pest harborage areas observed

(2) Facility has pest harborage areas observed



(2) Pest management program does not include exterior or surrounding areas of facility

(2) Responsibility of integrated pest management not included in program

(3) No methods for integrated pest management documented


6.5.2.2 Outline the requirements for staff awareness and training in the use of pest and vermin control chemicals and baits.

Other

(2) Inspections of pest control devices are done by untrained personnel

(2) No appropriate action taken when issues noted on pest control inspection

(3) No inspections are taken of pest control devices


6.5.2.3 Are Records of all pest control applications maintained. Other

(2) Pest control records are not complete

(3) Pest control records are not maintained


6.5.3.1 Are Pesticides and other toxic chemicals clearly labeled and stored as described in 5.4.5 and handled only by properly trained personnel or are they used by or under the direct supervision of trained personnel

Other

(2) Pesticides are applied by non-trained personnel

(2) Pesticides are not properly labeled

(2) Pesticides are not properly stored




6.5.4.1.iii Is there evidence that only approved chemicals are used within the pest control program

Other

(3) Unapproved pesticides applied at the facility


6.5.4.1.v Does the pest control operator report to a responsible Senior Management person on entering the premises and after the completion of inspections or treatments

Other

(2) Pest control operator does not report to facility management upon entry into facility


6.5.4.1.vi Does the pest control operation provide a written report to Senior management of their findings and treatments applied

Other

(2) Final report left by Pest control operator does not include chemicals applied

(2) Pest control operator does not leave written findings of inspection


6.5.5.1 Does supplier dispose of unused pest control chemicals and empty containers in accordance with regulatory requirements, ensure that empty containers are not reused, labeled, isolated and securely stored awaiting collection

Other

(2) Empty containers are not properly contained

(2) Empty containers are not properly labeled

(2) Empty pest control chemical containers not properly disposed of

(2) Unused and obsolete chemicals are not stored secured

(2) Unused pest control chemicals are not properly disposed of



6.6 Premises and Equipment Maintenance


6.6.2.1.i Is routine maintenance of plant and equipment performed according to a maintenance control schedule and documented

Other

(2) Activities described within preventative maintenance schedule are not completed

(2) Activities from preventative maintenance schedule are not documented

(3) No preventative maintenance schedule is developed


6.6.2.1.ii Are failures of plant and equipment documented, reviewed and their repair incorporated into the maintenance control schedule

Other

(2) Equipment failures are not documented

(2) Failures are not incorporated into maintenance control schedule

(2) Plant failures are not documented


6.6.2.1.iii Do maintenance staff and contractors comply with the personnel and process hygiene requirements

Other

(2) Maintenance personnel are observed not following personal hygiene practices

(2) There are no personal hygiene practices developed for maintenance personnel


6.6.2.1.iv Are factory supervisors notified when maintenance or repairs are to be undertaken in any food handling area

Other

(2) Supervisors are not notified when repairs made in food handling area




6.6.2.1.v Are tools and debris removed from any maintenance activity once it has been completed and is the area supervisor informed so appropriate hygiene and sanitation can be completed

Other

(2) All tools, parts and debris not removed from repair areas

(3) No sanitation activity occurs after maintenance repair in food processing area


6.6.2.1.vi Are the maintenance supervisor and the factory supervisor informed if any repairs or maintenance pose a potential threat to food safety

Other

(3) No notification occurs when potential risk to product is evident


6.6.2.1.vii Are the maintenance supervisor and the factory supervisor notified in the event of any breakage or damage that could cause a food safety risk

Other

(3) No notification occurs when there is breakage or damage that could cause risk to product


6.6.2.1.viii Is the maintenance supervisor notified when work has been complete to enable appropriate and effective clean up measures prior to the commencement of factory operations

Other

(2) No notification of appropriate personnel to allow the appropriate sanitation activities to occur


6.6.3.1 Is there evidence that the maintenance schedule is being followed within the facility

Other

(2) Maintenance schedule does not include critical areas of equipment

(2) Maintenance schedule does not include critical areas of facility



(3) No maintenance schedule is available


6.6.4.1 Is equipment located over product or product conveyors lubricated with food grade lubricants.

Other

(2) Non-food grade lubricant used on food handling conveyors

(3) Non-food grade lubricant used in food contact zones


6.6.4.2 Is non toxic paint used in a food handling or contact zone and only on non-product contact surfaces.

Other

(2) Paint used in food handling zones potentially toxic (non-food grade)

(3) Paint used in food contact surfaces potentially toxic (non-food grade)

6.7 Cleaning and Sanitation


6.7.1.1 Is there evidence that the cleaning and sanitation program has been properly implemented within the facility and is effective

Other

(2) Cleaning methods do not include frequency of cleaning

(2) Cleaning methods do not include how items are to be cleaned

(2) Cleaning methods do not include responsibility for cleaning

(2) Cleaning methods do not include what is to be cleaned

(2) Cleaning program does not include method for verification of effectiveness of sanitation

(2) Critical areas of the facility are not covered in cleaning program,



(4) Facility does not have a cleaning program developed


6.7.2.1 Are Pre-operational hygiene and sanitation inspections conducted to ensure food processing areas, product contact surfaces and equipment and staff amenities and sanitary facilities are clean before the commencement of production.

Other

(2) Not all critical areas of the facility are include in pre-operational inspections

(2) Personnel conducting pre-operational inspections are not qualified

(3) No pre-operational inspections are completed to ensure cleanliness


6.7.3.1 Are Detergents and sanitizers purchased in accordance with applicable legislation

Other

(2) Detergents or sanitizers do not meet local regulatory requirements


6.7.3.1.i Does the organization ensure that there is an inventory of all chemicals purchased and used maintained

Other

(2) Inventory of chemicals purchased is not current and up to date

(2) No inventory of chemicals purchased is available


6.7.3.1.ii Does the organization ensure that all detergents and chemicals are stored as outline in 5.4.5

Other

(2) Detergents and/or sanitizers are not stored per section 5.4.5




6.7.3.1.iii Does the organization ensure that all material safety data sheets are provided for all detergents and sanitizers purchased

Other

(2) One detergent or sanitizer does not have MSDS sheet

(3) MSDS sheets are not available for detergents or sanitizers purchases


6.7.3.1.iv Does the organization ensure that only trained staff handle sanitizers and detergents

Other

(2) Personnel handling cleaning chemicals are not properly trained


6.7.4.1 Does the supplier dispose of unused detergents and sanitizers and empty containers in accordance with regulatory requirements and ensure that containers are appropriately labeled, cleaned, treated, and securely stored while awaiting collection

Other

(2) Empty cleaning chemical containers are not labeled or properly treated

(2) Empty cleaning chemical containers are not properly isolated or secured

(2) Obsolete cleaning chemicals are not properly secured awaiting disposal

(3) Cleaning chemicals are not disposed of per regulatory requirements

6.8 Monitoring Water Microbiology and Quality


6.8.1.1 Is there evidence that water used within the facility complies with national and internationally recognized standards

Other

(2) Ice is made from water that does not meet quality requirements



(2) Non-potable water used to create steam that will come in contact with food

(2) Water used as an ingredient does not meet quality requirements

(3) Non-potable water used to clean food contact surfaces

(3) Non-potable water used to make ice

(4) Non potable water used to treat or rinse product


6.8.2.1 Is Water treatment equipment monitored regularly to ensure it remains serviceable.

Other

(2) Water treatment equipment is not regularly monitored

(3) Water treatment equipment is not monitored


6.8.2.2 is treated water regularly monitored to ensure it meets the indicators specified.

Other

(2) Treated water is not regularly monitored

(3) Treated water is not monitored

6.9 Control of Physical Contaminants


6.9.1.1 Has the foreign matter prevention program been adequately implemented and communicated to all staff

Other

(2) Foreign material prevention controls are not communicated to staff

(2) No responsibility for the prevention of foreign material have been defined

(3) Foreign material prevention controls are not implemented



(3) Foreign material prevention methods are not developed


6.9.1.2 Are frequent inspections conducted to ensure plant and equipment remains in good condition and potential contaminants have not developed and is the use of temporary fasteners such as string, wire, tape to fix or hold equipment not permitted.

Other

(2) No inspections conducted to prevent foreign material contamination of product

(2) Temporary repairs are used in the facility


6.9.1.3.i Is there evidence that the glass register is current and complete

Other

(2) Glass register is not complete, glass objects missing in register

(3) No glass register is developed


6.9.1.3.ii Are doors and offices within or adjacent to food handling and contact zones fitted with shatterproof glass or have glass panels covered with a protective film to prevent shatter if broken

Other

(2) Doors and offices in processing zones do not have shatterproof glass or controls in places


6.9.1.3.iii Are containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or other like material not permitted in food processing/contact zones

Other

(2) Unapproved glass and brittle materials found in processing area




6.9.1.3.iv Are regular inspections of food handling/contact zones conducted to ensure they are free of glass or other like material and to ensure no changes have been made to items listed in the glass register

Other

(2) Glass object inspections are not conducted regularly

(2) No glass objective inspections of processing areas conducted


6.9.1.3.v Are glass instrument dial covers on processing equipment and MIG thermometers inspected at the start and finish of each shift to confirm that they have not been damaged

Other

(2) No inspection of glass instrument dial covers or thermometers conducted at start of each shift


6.9.1.4 Are Wood pallets used in food handling/contact zones clean, maintained in good order and their condition subject to regular inspection.

Other

(2) Wood used in processing / handling area is dirty

(2) Wood used in processing / handling area is not maintained

(2) Wood used in processing areas is not designed for the current use


6.9.1.5 Are Loose metal objects on equipment, equipment covers and overhead structures removed or tightly fixed so as not to present a hazard.

Other

(2) Loose materials found on processing equipment

(3) Loose materials observed in food contact zones that present a hazard to product




6.9.2.2 Is Metal or other physical contaminant detectors routinely monitored for operational efficiency and fitted with devices to indicate when a foreign object is detected and rejection devices to isolated affected product.

Other

(2) Physical contaminant detection technology does not indicate when defective product identified

(2) Physical contaminant detection technology is not validated

(3) Physical contaminant detection technology does not isolate defective product

(3) Physical contaminant detection technology is not routinely monitored


6.9.3.1 In all cases of foreign matter contamination is the affected batch or item shall be isolated, inspected, reworked or disposed of.

Other

(3) Item or batch of product affected by foreign material contamination is not properly destroyed

(3) Item or batch of product affected by foreign material contamination is not properly reworked


6.9.3.2 In circumstances where glass or similar material breakage occurs are the affected area isolated, cleaned and thoroughly inspected and cleared by a suitably responsible person prior to the commencement of operations.

Other

(2) Area of glass breakage was not properly inspected prior to start up of operations

(3) Area of glass breakage was not properly isolated and cleaned prior to start up of operations



6.10 Supplier Approval


6.10.1.1 Is there evidence that the approved supplier program has been implemented and is effective within the facility

Other

(2) Methods of approving suppliers do not include monitoring of suppliers

(2) No audits are received of approved suppliers

(2) Register of approved suppliers is not current or up to date

(3) No methods developed for the selection and approval of suppliers



6.10.4.1 Is there evidence that the register of Approved Suppliers is current.

Other



6.10.5.1 Are records of inspections and audits of approved suppliers maintained

Other

(2) No records of monitoring of suppliers are maintained

(2) No records of reviewing of suppliers performance are maintained



6.11 Transport and Delivery


6.11.1.1 Is there evidence that the loading, transport and unloading of food practices are implemented and effective within the facility

Other

(2) Methods for loading of products are not documented

(2) Methods for the transportation of products are not documented

(3) Cross contamination to product potentially exists during transport and loading

(3) Methods developed for product loading and transport do not adequately protect product

(4) Product contamination observed during transportation and/or loading


6.11.2.1 Are Vehicles (trucks/vans/containers) used for transporting food in good repair, suitable for the purpose, free from odors or other conditions that may impact negatively on the product and clean and inspected prior to loading.

Other

(2) No pre-shipment review is conducted on transportation vehicles

(2) Vehicles used to transport product are not clean

(2) Vehicles used to transport product are not properly maintained


6.11.2.2 Are loading practices designed to minimize unnecessary exposure of product while maintaining product integrity

Other

(2) Loading and/or staging practices are potentially detrimental to product

(3) Loading and staging of product exposed product to potentially abuse




6.11.3.1 Do the refrigeration units maintained the food at required temperatures and is the unit's temperature settings set, checked and recorded before loading and are core product temperatures recorded at regular intervals during the loading as appropriate

Other

(2) Loading and staging of refrigerated product does not include monitoring product temperatures

(2) Pre-ship review of refrigerated transport vehicle does not include temperature check

(3) Refrigerated vehicles are not capable of maintained product at proper temperatures


6.11.3.2 Is the refrigeration unit operational at all times and checks completed of the unit's operation, the door seals and the storage temperature at regular intervals during transit

Other

(2) Refrigerated vehicles are not inspected during transient

(2) Refrigerated vehicles are not regularly inspected during transient

(3) Refrigerated vehicles refrigeration unit is not operated at all times when product is loaded


6.11.4.1 Prior to opening the doors is the refrigeration unit’s storage temperature settings and operating temperature checked and recorded and is unloading completed efficiently and core product temperatures recorded at regular intervals during unloading.

Other

(2) Temperatures of perishable product are not monitored or controlled during unloading

(2) Temperatures of unit are not checked prior to unloading of perishable product

(3) Temperatures of perishable product are not checked prior to unloading of product



6.12 Waste Management and Disposal


6.12.2.1 Is waste removed on a regular basis to ensure no build up in food handling or processing areas and are designated waste accumulation areas maintained in a clean and tidy condition until such time as external waste collection is undertaken. .

Other

(2) Waste collection areas are not maintained and not cleaned

(2) Waste is not regularly removed from processing areas


6.12.3.1 Trolleys, vehicles waste disposal equipment, collection bins and storage areas shall be maintained in a serviceable condition and cleaned and sanitized regularly so as not to attract flies and other vermin.

Other

(2) Containers for waste are not properly cleaned

(2) Containers for waste are not properly maintained


6.12.4.1 Do reviews of the effectiveness of waste management form part of the daily hygiene inspections and the results of these inspections included on the relevant hygiene reports.

Other

(2) Daily inspection to review waste handling are not documented

(2) Daily inspections are not conducted to monitoring handling of waste



6.13 Allergen Control


6.13.1.1 Is there evidence that the allergen control program is implemented and effective within the facility

Other

(4) Methods developed to control allergens are not sufficient

(4) No methods to control allergens developed


6.13.2.1 Is the list of raw materials that contain allergen causing agents accessible by relevant staff

Other

(2) No list of ingredients with allergens has been developed

(2) Not all ingredients with allergens included in risk assessment

(3) No risk assessment for raw materials containing allergens have been conducted


6.13.2.2 Was the allergen risk assessment incorporated into food safety plan

Other

(3) Controls for the allergens identified in risk assessment not included in food safety plan


6.13.3.1 Are instructions to staff receiving raw materials containing allergen causing agents provided on how to identify, handle store and segregate target raw materials.

Other

(2) Specific procedures for the storage of allergen containing ingredients has not been developed

(3) Conditions exist within storage area of potential cross contact between allergen and non-allergen ingredients




6.13.4.1 Is Provision made to clearly identify and segregate those products that contain allergen causing agents.

Other

(3) Controls are not developed to segregated products with allergen causing agents

(4) Conditions are observed in which products are comingled with products containing allergens


6.13.5.1 Is cleaning and sanitation of product contact surfaces between line changeovers effective and sufficient to remove all potential allergens from product contact surfaces, including aerosols, to prevent cross contamination.

Other

(3) Cleaning and sanitation of equipment is not completed prior to changeover of allergen products


6.13.5.2 Is verification of the effectiveness of the cleaning and sanitation of areas and equipment in which allergen causing agents are used part of the requirements outlined in 6.7.2.2

Other

(2) Verification of sanitation does not follow section 6.7.2.2

(3) Cleaning of equipment containing allergens is not verified prior to product changeover


6.13.5.3 Is separate handling and production equipment utilized where satisfactory line hygiene and cleanup or segregation is not possible.

Other

(3) Equipment segregation for allergen control does not minimize potentially for cross-contact

(4) Equipment segregation for allergen control is not conducted with no other controls in place




6.13.6.1 Does the product identification system (see 4.6.1) make provision for clear identification and labeling of those products produced on production lines and equipment on which foods containing allergen causing agents were manufactured.

Other

(3) Product identification system does not address allergens

(3) Products containing allergens are not properly labeled to identify them as allergens


6.13.6.2 Does the product trace system (see 4.6.2) take into consideration the conditions under which allergen containing foods are manufactured and ensure full trace back of all ingredients used.

Other

(3) Product trace system does not address products and ingredients with allergens

(3) Product traces system does not capture all ingredients with allergens


6.13.7.1 Is reworking of product containing allergen causing agents conducted under conditions that ensure product safety and integrity is maintained. Reworked product containing allergen causing agents shall be clearly identified and traceable.

Other

(3) Product reworked is not adequately from product which contains allergens

(3) Product reworked is not properly labeled

(3) Product trace does not include reworked product with allergens



7.1.1 Canning Equipment


7.1.1.1 Are closing and seaming equipment for rigid, semi-rigid or flexible containers designed, installed, maintained, and operated to ensure that each unit is sealed per specification and overhauls and rebuilds are performed to manufacturer's specifications

Other

(2) Closing and seaming equipment is not properly maintained

(2) Each unit sealed does not meet specifications

(2) Equipment has been maintenance outside of recommended specifications


7.1.1.2 Is sterilizing and pasteurizing equipment designed, built, installed, maintained and operated appropriately

Other


7.1.1.2.i Does each product and each unit in the batch receive the same sterilizing treatment

Other

(3) Equipment is not properly designed to ensure that each unit receives sterilizing treatment

(3) Equipment is not properly maintained to ensure each unit receives sterilizing treatment


7.1.1.2.ii Is the heating medium delivered uniformly to all units in the batch and are its compositions and temperature known

Other

(3) Each unit does not receive a uniform heating treatment

(3) The heating medium temperature is not monitored




7.1.1.2.iii Is individual equipment equipped with appropriate pressure gauges and temperature recording equipment

Other

(3) Sterilizing equipment does not have pressure gauge

(3) Sterilizing equipment does not have recording thermometer


7.1.1.2.iv Is the sterilizing equipment equipped with an indicating Mercury-in-Glass or Digital-Thermometer with gradients in 0.5°C (1.0°F), an accurate timing device easily observed by the operator, and a continuous recording device to record the process

Other

(2) Temperature indicating device is not easily observed by the operator

(3) A continuous recording device to record the scheduled process is not available

(3) Sterilizing equipment does to have appropriate temperature-indicating device

7.1.2 Establishing the Scheduled Processes


7.1.2.2 Are records of the scheduled processes maintained Other

(3) Records of the establishment of the scheduled process are not maintained



7.1.3 Thermal Processing


7.1.3.1 Are only properly determined scheduled processes used to complete thermal processing foods and are the scheduled processes and venting displayed in a prominent position and only performed and supervised by suitably trained personnel

Other

(2) Schedule process is not supervised by adequately trained supervisor

(2) Scheduled process is not properly displayed for operator

(3) Scheduled process is not performed by adequately trained operator


7.1.3.2 Are critical factors such as the product initial temperature, maximum net or drained weight, minimum headspace, consistency and style of the product and minimum closing vacuum also taken into account to influence the slowest heating point in the container

Other

(2) Adequate process checks of schedule process are not completed

(2) Frequency of process checks does not take into account consistency of product

(2) Frequency of process checks does not take into account minimum closing vacuum

(2) Frequency of process checks does not take into account minimum headspace

(2) Frequency of process checks does not take into account product initial temperature

(2) Frequency of process checks does not take into account product style

(2) Frequency of process checks does not take into account weight




7.1.3.4 Is there evidence that the cooling water is chlorinated, maintained at a measureable level of residual chlorine, re-circulated cooling water filtered, tested for chlorine after each cycle, and are records kept showing suitability

Other

(2) Controls for non-chlorine treated cooling water do not meeting section 5.3.4 and section 6.8

(2) Cooling water is not monitored for chlorine

(2) Cooling water is not of suitable microbiological quality

(2) Cooling water which is recirculated is not filtered

(2) No records of cooling water suitability are maintained

(3) Cooling water is not properly chlorinated


7.1.3.5 Does the facility have procedures for the cooling and drying of the containers and do those procedures include not handling while seams and seals are wet, no manual handling of containers, clean, dry, or disinfected conveyors and heat sensitive indicators

Other

(2) Conveyors to transport product are not clean and/or not maintained

(2) Heat sensitive indicators are removed prior to product units being removed from container

(2) Product is not properly handled while still wet

(2) Transportation of containers may lead to contamination

(3) Cooling method for containers may potentially lead to contamination



7.1.4 Seam and Seal Integrity


7.1.4.1 Are seams and seals examined at regular intervals during can closing operations by a competent person and are records kept of the evaluations

Other

(2) Personnel who are performing seal and seam inspection are not properly trained

(2) Records of the seal and seam inspections are not maintained

(2) Seams and seals are not examined at regular intervals

7.1.5 Quality Assurance


7.1.5.2 Is there evidence that the review of all relevant production and processing records are verified no later than the next working day after processing

Other

(2) Scheduled process is not verified by the next working day

(2) Verification of schedule process does not ensure that all product units received adequate treatment

(2) Verification of schedule process does not include a review of processing records


7.1.5.3 Is there evidence that the product segregated and retained when there is a process that is less than the scheduled process

Other

(3) Detailed records are not maintained when an incomplete scheduled process was observed

(3) Incomplete schedule process was addressed by personnel who are not properly trained

(4) Product that did not achieve a safe scheduled process heat treatment were released



(4) Records indicate that an incomplete scheduled process was not adequately addressed by facility

(4) Suspect product is not properly segregated and assessed prior to release


7.1.5.3.i Is there evidence that product suspected of being under processed is segregated and retained for further evaluation

Other


7.1.5.3.ii When an established safe thermal process has not been applied to a product, is that product fully processed to render it commercially sterile or destroyed under supervision

Other


7.1.5.4 Is a record of all production and processing tests, inspections, analyses and records of the scheduled processes applied to each batch kept

Other

(2) Records of corrective action do not contain product disposition

(2) Records of product inspection or analysis are not maintained

(2) Records of production activities associated with a scheduled process are not maintained

(2) Records showing corrective action to inadequately processed product are not maintained



8.2 SQF Practitioner


8.2.1 Is the SQF Practitioner an employee of the supplier, has the Practitioner completed a HACCP course, and does the Practitioner demonstrate knowledge and experience with the SQF 2000 code and SQF systems.

Other

(2) SQF Practitioner's knowledge of SQF 2000 is not complete of sections of the code

(3) SQF Practitioner does not work for the supplier

(3) SQF Practitioner has not taken a HACCP course

(3) SQF Practitioner is not able to demonstrate a thorough knowledge of the SQF code

12.1 SQF Trade Mark Rules for Use


12.1.1 Is the supplier using the SQF Trade Mark on products and marketing materials consistently with SQFI rules for use of the SQF Trade Mark

Other

(3) Supplier is improperly using SQF Trade Mark on marketing materials

(3) Supplier is using the SQF Trade Mark incorrectly or incompletely on products

(4) Supplier is using SQF Trade Mark on product that is not included within scope of certification



Documents

Audit Checklist 2000 Level 3