SQF Checklist: Storage and Distribution - 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 food;

• 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 food.

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

2.1.1.5 The primary and substitute SQF practitioner shall:

• Be employed by the site;

• Hold a position of responsibility in relation to the management of the site’s SQF System;

• Have completed a HACCP training course;

• Be competent to implement and maintain HACCP-based food safety plans; an

• Have an understanding of the SQF Food Safety Code: Storage and Distribution and the requirements to implement and maintain an SQF System relevant to the site’s scope of certification.

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: Storage and Distribution shall be maintained in electronic and/or hard copy documentation. It 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 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.

2.3.4.2 The site shall:

• Ensure changes to contractual agreements are approved by both parties and communicated to relevant personnel;

• Verify compliance with the SQF Code and that all customer requirements are being met at all times.

2.4.4.1 The responsibility and methods outlining how non-conforming product, raw materials, ingredients, work-in-progress, packaging, or equipment detected during receipt, storage, handling, or delivery and including food found to be damaged and/or returned from customers 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 delivery, or risk to the integrity of the product;

• Non-conforming equipment is effectively identified, repaired, 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 equipment or product placed under quarantine status.

2.4.5.1 The responsibility and methods outlining how product is recouped shall be documented and implemented. The methods applied shall ensure:

• Recouping operations are conducted by trained personnel; and

• Recouped product is traceable.

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 Storage and Distribution 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

• 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: Storage and Distribution 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.

2.6.1.1 The methods and responsibility for identifying products during all stages of storage shall be documented and implemented. The product identification system shall be implemented to ensure:

• Proper stock rotation; and

• Accurate location of product.

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

• Traceability of food products to the customer (one step forward);

• Traceability of product to the supplier or manufacturing supplier with date of receipt (one step back);

• Traceability is maintained where product is recouped; 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).

2.6.3.1 The responsibility and methods used to withdraw or recall products 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 employees, customers, consumers, authorities, and other essential bodies in a timely manner appropriate about 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.

2.6.4.1 A crisis management plan based on the understanding of known potential dangers (e.g., flood, drought, fire, tsunami, or other severe weather event, warfare or civil unrest, computer outage, pandemic, loss of electricity or refrigeration, ammonia leak, labor strike) that can impact the site’s ability to deliver safe food, 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 incl

• 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 food product 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 at 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 the food defense plan;

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

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

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

• The measures implemented to ensure products, packaging (including labels), work-in progress, and process inputs are held under secure storage and transportation conditions; and

• The methods implemented to record and control access to the premises by employees, contractors, and visitors.

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 for personnel carrying out tasks associated with:

• Developing and maintaining food safety plans to meet regulatory requirements and the SQF Code;

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

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

• Good Storage and Distribution Practices and work instructions for all staff engaged in food handling, food storage and transport, and associated equipment;

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

• Tasks identified as critical to meeting effective implementation and maintenance of the SQF Cod

• The training program shall include provision 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.