SQF Checklist: Animal Feed Manufacturing - Edition 9

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

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

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

Auditor Recommendation Auditor Recommendation

2.1.1.1 Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to:

• Supply safe animal feed;

• Establish and maintain a food safety culture within the site;

• Establish and continually improve the site’s food safety management system; and

• Comply with customer and regulatory requirements to supply safe animal feed. The policy statement shall be:

• Signed by the senior site manager and displayed in prominent positions; and

• Effectively communicated to all site personnel in language(s) understood by all site personnel.

2.1.1.2 Senior site management shall lead and support a food safety culture within the site that ensures at a minimum:

• The establishment, documentation, and communication to all relevant staff of food safety objectives and performance measures;

• Adequate resources are available to meet food safety objectives;

• Food safety practices and all applicable requirements of the SQF System are adopted and maintained;

• Staff are informed and held accountable for their food safety and regulatory responsibilities;

• Staff are positively encouraged and required to notify management of actual or potential food safety issues; and

• Staff are empowered to act to resolve food safety issues within their scope of work.

2.1.2.1 The SQF System shall be reviewed by senior site management at least annually and include:

• Changes to food safety management system documentation (policies, procedures, specifications, food safety plan);

• Food safety culture performance;

• Food safety objectives and performance measures;

• Corrective and preventative actions, and trends in findings, from internal and external audits, customer complaints, and verification and validation activities;

• Hazard and risk management system; and

• Follow-up action items from previous management review. Records of all management reviews and updates shall be maintained.

2.2.1.1 The methods and procedures the site uses to meet the requirements of the SQF Food Safety Code for Animal Feed Manufacturing shall be maintained in electronic and/or hard copy documentation. They will be made available to relevant staff and include:

• A summary of the organization’s food safety policies and the methods it will apply to meet the requirements of this standard;

• The food safety policy statement and organization chart;

• The processes and products included in the scope of certification;

• Food safety regulations that apply to the manufacturing site and to the country of sale (if known);

• Raw material, ingredient, packaging, and finished product specifications;

• Food safety procedures, pre-requisite programs, food safety plans;

• Process controls that impact product safety; and

• Other documentation necessary to support the development and the implementation, maintenance, and control of the SQF System.

2.3.1.2 New product formulations, manufacturing processes, and the fulfillment of product requirements shall be established, validated, and verified by site trials and product testing as required to ensure product safety. Product formulations shall be developed by authorized persons to ensure that they meet the intended use. Where necessary, shelf life trials shall be conducted to validate and verify a new product’s:

• Pre-consumer handling and storage requirements, including the establishment of “use by,” “best before dates,” or equivalent terminology;

• Microbiological criteria, where applicable; and

• Consumer preparation, where applicable, and storage and handling requirements.

2.3.2.9 Finished product specifications shall be documented, current, approved by the site and its customer, accessible to relevant staff, and shall include, where applicable:

• Microbiological, chemical, and physical limits;

• Composition to meet label claims;

• Labeling and packaging requirements; and

• Storage conditions.

2.3.3.2 The site shall establish a method to determine the food safety risk level of contract manufactured product and shall document the risk. The site shall ensure that:

• Products and processes of co-manufacturers that are considered high risk have undergone an audit by the site or third-party agency to confirm compliance to the SQF Food Safety Code for Animal Feed Manufacturing and regulatory and customer requirements;

• Products and processes of co-manufacturers that are considered low risk meet the requirements of the SQF Food Safety Code for Animal Feed Manufacturing or other GFSIbenchmarked certification program and regulatory and customer requirements; and

• Changes to contractual agreements are approved by both parties and communicated to relevant personnel.

2.3.4.2 The approved supplier program shall be based on the prior performance of a supplier and the risk level of the raw materials ingredients, processing aids, packaging, and services supplied, and shall contain at a minimum:

• Agreed specifications (refer to 2.3.2);

• Reference to the level of risk applied to a raw material, ingredients, packaging, services, and the approved supplier;

• A summary of the food safety controls implemented by the approved supplier;

• Methods for granting approved supplier status;

• Methods and frequency of monitoring approved suppliers;

• Details of the certificates of conformance if required; and

• Methods and frequency of reviewing approved supplier performance and status.

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

• Non-conforming product is quarantined, identified, handled, and/or disposed of in a manner that minimizes the risk of inadvertent use, improper use, or risk to the integrity of finished product; and

• All relevant staff are aware of the organization’s quarantine and release requirements applicable to product placed under quarantine status.

2.4.8.2 An environmental sampling and testing schedule shall be prepared. It shall at a minimum:

• Detail the applicable pathogens or indicator organisms to test for in that industry;

• List the number of samples to be taken and the frequency of sampling;

• Outline the locations in which samples are to be taken and the rotation of locations as needed; and

• Describe the methods to handle elevated or undesirable results.

2.5.1.1 The methods, responsibility, and criteria for ensuring the effectiveness of all applicable elements of the SQF Program shall be documented, implemented, and effective. The methods applied shall ensure that:

• Good Manufacturing Practices are confirmed to ensure they achieve the required result;

• Critical food safety limits are reviewed annually and re-validated, or justified by regulatory standards, when changes occur; and

• iii. Changes to the processes or procedures are assessed to ensure controls are still effective. Records of all validation activities shall be maintained

2.5.4.1 The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF System shall be documented and implemented. Internal audits shall be conducted in full and at least annually. The methods applied shall ensure:

• All applicable requirements of the SQF Food Safety Code for Animal Feed Manufacturing are audited as per the SQF audit checklist or similar tool;

• Objective evidence is recorded to verify compliance and/or non-compliance;

• Corrective and preventative actions of deficiencies identified during the internal audits are undertaken; and

• Audit results are communicated to relevant management personnel and staff responsible for implementing and verifying corrective and preventative actions.

2.5.4.3 Regular inspections of the site and equipment shall be planned and carried out to verify Good Manufacturing Practices and facilities and equipment maintenance is compliant to the SQF Food Safety Code for Animal Feed Manufacturing. The site shall:

• Take corrections or corrective and preventative action; and

• Maintain records of inspections and any corrective action taken.

2.6.2.1 The responsibility and methods used to trace product shall be documented and implemented to ensure:

• Finished product is traceable at least one step forward to the customer and provides traceability at least one step back from the process to the manufacturing supplier;

• Includes date of receipt of raw materials, feed contact packaging and materials, and other inputs;

• Traceability is maintained where product is reworked (refer to 2.4.6); and

• The effectiveness of the product trace system is reviewed at least annually as part of the product recall and withdrawal review (refer to 2.6.3.2). Records of raw and packaging material receipt and use and finished product dispatch and destination shall be maintained.

2.6.3.1 The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall:

• Identify those responsible for initiating, managing, and investigating a product withdrawal or recall;

• Describe the management procedures to be implemented including sources of legal, regulatory, and expert advice and essential traceability information;

• Outline a communication plan to inform site personnel, customers, consumers, authorities, and other essential bodies in a timely manner appropriate to the nature of the incident;

• Ensure that SQFI, the certification body, and the appropriate regulatory authority are listed as essential organizations and notified in instances of a food safety incident of a public nature or product recall for any reason

that can impact the site’s ability to deliver safe feed shall be documented by senior management outlining the methods and responsibility the site shall implement to cope with such a business crisis. The crisis management plan shall include as a minimum:

• A senior manager responsible for decision making, oversight, and initiating actions arising from a crisis management incident;

• The nomination and training of a crisis management team;

• The controls implemented to ensure a response does not compromise product safety;

• The measures to isolate and identify product affected by a response to a crisis;

• The measures taken to verify the acceptability of feed prior to release;

• The preparation and maintenance of a current crisis alert contact list, including supply chain customers;

• Sources of legal and expert advice; and

• The responsibility for internal communications and communicating with authorities, external organizations, and media.

2.7.1.2 A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include as a minimum:

• The methods, responsibility, and criteria for preventing food adulteration caused by a deliberate act of sabotage or terrorist-like incident;

• The name of the senior site management person responsible for food defense;

• The methods implemented to ensure only authorized personnel have access to production equipment and vehicles, manufacturing and storage areas through designated access points

• The methods implemented to protect sensitive processing points from intentional adulteration;

• The measures taken to ensure the secure receipt and storage of raw materials, ingredients, packaging, equipment, and hazardous chemicals to protect them from deliberate acts of sabotage or terrorist-like incidents;

2.8.1.2 Where an allergen management plan is required by regulation or customer specification, the allergen management program shall include:

• A risk analysis of those inputs and processing aids, including food grade lubricants, that contain food allergens; and

• The hazards associated with allergens and their controls.

2.9.2.1 A training program shall be documented and implemented that at a minimum outlines the necessary competencies for specific duties and the training methods to be applied to personnel carrying out tasks associated with:

• Implementing HACCP for staff involved in developing and maintaining food safety plans;

• Monitoring and corrective action procedures for all staff engaged in monitoring critical control points (CCPs);

• Personal hygiene for all staff involved in the handling of food products and food contact surfaces;

• Good Manufacturing Practices and work instructions for all staff engaged in food handling, food processing, and equipment;

• Sampling and test methods for all staff involved in sampling and testing of raw materials, packaging, work-in-progress, and finished products;

• Environmental monitoring for relevant staff;

• Allergen management, food defense, and food fraud for all relevant staff; and

• Tasks identified as critical to meeting the effective implementation and maintenance of the SQF code. The training program shall include provisions for identifying and implementing the refresher training needs of the organization.

2.9.2.3 Training records shall be maintained and include:

• Participant name;

• Skills description;

• Description of the training provided;

• Date training completed;

• Trainer or training provider; and

• Verification that the trainee is competent to complete the required tasks.