https://schema.org Certification Food Safety Code: Aquaculture, Edition 10 Our Aquaculture Code can be applied to food sector categories for the intensive farming of seafood. https://www.sqfi.com/images/sqfilibraries/edition-10-images/code-10-module-covers/sqf-code-covers-for-website-1900x1900-aquaculture.png?sfvrsn=d24d1be6_9 Organization SQFI (Safe Quality Food Institute) https://www.sqfi.com FSC 6 - Intensive Farming of Seafood DefinedTermSet Part A: Implementing and Maintaining the SQF Food Safety Code DefinedTerm A1 The Safe Quality Food Institute (SQFI) publishes a suite of globally recognized food safety and quality Codes that cover all aspects of the food supply chain from primary production through to retail and foodservice. All standards are available free of charge at www.sqfi.com. Before embarking on the SQF journey, sites are encouraged to download and review the SQF Code that best fits their needs. DefinedTerm A2 Achieving and Maintaining SQF Certification DefinedTerm A2 Part A (this part) of the SQF Code sets out the process a site needs to take to implement and maintain certification to the SQF Food Safety Code relevant to its business.Part B of the SQF Code is the auditable standard. It details the SQF System elements (Module 2) that must be met, and the Good Manufacturing Practices (GMP), Good Agricultural Practices (GAP), or other Good Industry Practices (GIP) module relevant to its industry scope.To determine which Code and GIP module(s) apply to the site, refer to the table in the Food Sector Category Directory, which describes the food sector categories (FSC).Personnel at a site in a site management or technical role are responsible for implementing the requirements of the relevant SQF Food Safety Code and can learn how to get started and implement their SQF system in several ways.SQFI has a library of online training courses for practitioners, which can be accessed from www.sqfi.com. This web-based education tool allows the individual to enroll and complete training on fundamental food safety topics in their own time and at their own pace.An “Implementing SQF Systems” training course is available through the SQFI network of licensed Training Centers. Details about the Training Centers and the countries in which they operate are available at www.sqfi.com.Individuals can become familiar with the SQF Code by downloading the relevant SQF Code from www.sqfi.com free of charge.Although optional, it is recommended to utilize the services of a registered SQF consultant when first implementing an SQF System. All SQF consultants are registered by SQFI to work in specific food sector categories (FSCs) and are listed in the SQF directory, indicating the FSCs in which they are registered.Guidance documents are available for some SQF Code topics from www.sqfi.com. These documents can help the site interpret the requirements of the SQF Codes and assist with documenting and implementing an SQF System. The documents are developed with the assistance of food sector Technical Experts. The guidance documents are available to assist, but are not auditable documents. Where there is a divergence between the guidance document and the relevant Code, the SQF Code prevails. DefinedTerm A2:1 SQFI Assessment DatabaseSites are required to register in the SQFI Assessment Database at www.sqfi.com prior to their audit date and before any audit is initiated. At the time of registration, a fee must be paid (see the fee scale posted at www.sqfi.com). If the site does not maintain annual registration, the site certificate will be invalid until the site is registered on the SQFI Assessment Database. DefinedTerm A2:2 The SQF PractitionerThe SQF Food Safety Code requires that every certified site has a suitably qualified primary SQF Practitioner and substitute SQF Practitioner to oversee the development, implementation, review, and maintenance of the SQF System, including the System Elements, relevant Good Industry Practices (GIPs), and food safety plans.The requirements for an SQF Practitioner and substitute Practitioner are described in the System Elements, Part B: 2.1 Management Commitment. The site may also choose to have additional practitioners to meet shift and operational requirements.SQF Practitioners may voluntarily choose to earn the Certified SQF Practitioner credential. This credential evaluates practitioner competencies and further demonstrates the ability to implement, maintain, and continuously improve an SQF Food Safety System. DefinedTerm A2:3 TrainingSQF Practitioners are required to demonstrate knowledge of the SQF Code, including implementing and maintaining the requirements. Training required for the SQF Practitioners and other relevant personnel is defined in the SQF Code, Part B.Training courses and exams are available online and through the SQFI network of licensed Training Centers. Training in food industry disciplines, such as HACCP, regulatory requirements, applicable GIP, and internal auditing, is encouraged and will help prepare the site for implementing its SQF Food Safety System. Licensed SQF Training Centers can provide details about the other training courses they offer. Details of the training courses are available at www.sqfi.com. DefinedTerm A2:4 Scope of CertificationBefore implementing the SQF Code, the site must determine the scope of certification that includes: the site premises, food sector categories, and products and processes included in the SQF System. The scope determines which elements of the SQF Code are to be documented and implemented and will be audited. The scope must be agreed upon between the site and the Certification Body before the initial certification audit and cannot be changed during or immediately following a certification or re-certification audit for requirements on changing the scope of certification.Site: SQF certification is site-specific. The entire site, including all premises, support buildings, silos, tanks, loading and unloading bays, and external grounds are included in the scope of certification. If activities are carried out in different premises but are overseen by the same senior, operational, and technical management and are covered by a single SQF System, the site can be expanded to include those premises.Food Sector Categories (FSC): SQF certification is industry-specific. The table in the SQF Food Sector Category describes all FSCs that classify product groups, such as Seafood Processing, Confectionery Manufacturing, and Manufacture of Food Packaging. Selecting the proper FSC(s) applicable to the site will ensure the auditor has the requisite knowledge and skills and that the Code elements meet the industry expectations.Products and Process: SQF certification is product specific. Within each applicable FSC, the site will need to identify the products and processes that are included in the SQF System. The manufacture of all listed products will be audited for compliance to SQF and will be listed on the audit certificate, unless there is a request for a scope exclusion (refer to Part A2:5).Changes to the Scope of CertificationIf new food sector categories or new products are added to the scope of certification, a change in the scope of certification may be requested, in writing, to the Certification Body.If the scope change is a new process or a major change to an existing process, a new product line, or a significant change in personnel, equipment, raw materials, packaging materials or ingredients, the Certification Body is required to be advised in writing. The Certification Body is required to review the additional process or product(s) and determine if a new certificate can be issued. If not, the Certification Body is required to advise the site in writing.An audit for an expansion in scope does not change the re-certification date or certificate expiry date. When a new certificate is issued, the re-certification audit date and certificate expiry date remain the same as on the original certificate.When the scope of certification has been changed, the Certification Body makes the appropriate scope changes to the site record in the SQFI Assessment Database.If the request is received within thirty (30) days prior to the re-certification audit window, the Certification Body may defer the scope extension to the upcoming re-certification audit and advise the site accordingly. No new certificate is issued until after a successful re-certification audit. DefinedTerm A2:5 Scope ExclusionsIf the site wishes to exclude specific products, processes, or a portion of the premises from the scope of certification, the request for exclusion must be submitted to the Certification Body in writing prior to the certification audit, detailing the reason for exclusion. The site must be able to demonstrate that these exclusions do not cause a food safety risk with certified products. Exclusions may not be granted for the entire premises or for processes involved with the production, processing, and storage of applicable products.If approved by the Certification Body, exclusions are listed in the site description on the SQFI Assessment Database, in audit reports, and on the audit certificate. Excluded products and portions of the site cannot be promoted as being covered by the SQF certification. Instances where the promotion of excluded items is identified and substantiated will result in the immediate withdrawal of the SQF certification.Sites that have been granted an exclusion shall have "Exclusions" indicated on the certificate, with the complete list of the products or processes that were excluded listed on the audit report. DefinedTerm A2:6 Document The SQF SystemThe SQF system elements (Module 2) and relevant GIP module(s) of the SQF Food Safety Code must be documented. This requires preparing policies, procedures, work instructions, and specifications that meet the Code elements in these modules. In other words, “Say what you do.” DefinedTerm A2:7 Implement the SQF SystemOnce the SQF System is documented in policies, procedures, work instructions, specifications and other related documents and records, they must be implemented. This includes ensuring that all documented procedures are followed, and records are kept demonstrating compliance with the relevant modules of the SQF Food Safety Code. In other words, “Do what you say.” For initial audits and when a recertification audit occurs during an edition change, SQFI recommends that a minimum of ninety (90) days of records, including all activities that are to be conducted at least annually, are available before a site audit is conducted. However, the Certification Body may require additional record requirements relevant to the site's scope. DefinedTerm A2:8 Auditable ClausesAll elements of the Code will be audited. Mandatory clauses and elements designated as such within the SQF System Elements (Module 2) may not be reported as not applicable (NA) during audits. These clauses must be documented, implemented, and audited for a site to achieve SQF certification. Failure to comply with a mandatory element results in a non-conformance. Clauses and requirements that are not designated as mandatory can be reported as not applicable (NA) or involve alternative controls, only when a justification and/or risk assessment is available during the audit.Identified within Part B are Core Clauses. These clauses are foundational to the development, implementation, and maintenance of a robust food safety management system. Non-conformances against Core Clauses are weighted more heavily in the scoring system due to their critical role in preventing food safety failures (refer A2:19). DefinedTerm A2:9 SQF Certification BodiesSQF Certification Bodies are licensed by SQFI to conduct SQF audits and issue SQF certificates. A list of licensed Certification Bodies that operate in the site's region or country is available at www.sqfi.com and in the SQFI Assessment Database. SQFI-licensed Certification Bodies are accredited to the international standard ISO/IEC 17065:2012 (or subsequent versions as applicable) and are subject to annual assessments of their certification activities by SQFI-licensed accreditation bodies. The site must always have an agreement with a Certification Body in place, outlining the SQF certification services to be provided and shall include:The scope of certification (refer to A2:4), including any approved exclusions (refer to A2:5).The expected audit duration and the reporting requirements.The Certification Body’s fee structure includes audit costs, travel time and expenses, report writing costs, ancillary costs, and costs for closing out non-conformances.The conditions under which the SQF certificate is issued, withdrawn, or suspended.The Certification Body’s appeals and complaints process, andThe availability of auditor(s) for the site’s FSC(s). Note that if the site is seeking to implement an SQF multi-site program, this must be indicated in the application to the Certification Body. The agreed multi-site program, including the identification of the central site and number and names of the sub-sites, is to be included in the agreement with the Certification Body. Refer to the SQF Requirements for Multi-Site Certification. Changing the Certification BodyThe SQF certified site can change to another SQF-licensed Certification Body:After the certificate has been issued.After closure of all outstanding non-conformances.Prior to the start of the site's next audit window.The certification is not suspended or under threat of suspension or withdrawal, or pending a surveillance audit. A site can change Certification Bodies only after the surveillance audit is conducted or by written approval from SQF Compliance (compliance@sqfi.com). When a site changes Certification Bodies, the certificate issued by the previous Certification Body remains valid until the expected expiration date. The certification number and re-certification date are transferred with the site to the new Certification Body. The new Certification Body is required to undertake a review of the site’s certification before the transfer is complete to:Confirm the certificate is current, valid, and relates to the SQF System as certified.Confirm the site’s food sector category falls within the new Certification Body’s scope of accreditation.Confirm that any complaints received are actioned.Confirm the last date of the site's unannounced audit.Review of the site’s audit history, including past audit reports and unresolved non-conformances, to satisfy the new Certification Body. Sites are required to make the last recertification audit report and surveillance audit report (if applicable) available to the new Certification Body. DefinedTerm A2:10 The SQF Audit TeamThe SQF food safety auditor is selected by the Certification Body. The Certification Body must advise the site of the auditor’s name and, except for the unannounced audit, the date and time the SQF audit is scheduled.The auditor is required to be employed or contracted by the Certification Body and registered with SQFI for the same food sector category(ies) as the site’s scope of certification (refer to A2:4). The registration and food sector category(ies) of the SQF food safety auditor are available at www.sqfi.com.Technical Experts may be used to assist SQF food safety auditors in audits where the auditor is SQF registered but does not possess some or any of the site’s food sector category(ies) or for products/processes where the audit would benefit from expert technical advice. If a Technical Expert is chosen, the Certification Body must inform the site prior to the audit and obtain approval for the expert's involvement. The Technical Expert is required to sign a confidentiality agreement with the Certification Body.The Certification Body is required to ensure that no SQF food safety auditor conducts audits of the same site for more than three (3) consecutive certification cycles. An SQF food safety auditor cannot audit a site where they have participated in a consulting role or have a conflict of interest with anyone at the site within the last two (2) years. The site can refuse the service of an SQF food safety auditor if the site can demonstrate the auditor has a conflict of interest, or for other valid reasons. In such circumstances, the site shall outline the reasons in writing to the Certification Body. DefinedTerm A2:11 The Certification AuditAn SQF audit of the SQF Food Safety Code is an assessment by a qualified and registered SQF food safety auditor (or audit team) to ensure that the documentation (refer to A2:6) complies with the SQF Code and that the food safety and related management practices (refer to A2:7) are carried out according to that documentation. The scope of certification (refer to A2:4) cannot be changed after the audit has started.The auditor will conduct a process-based audit using a vertical audit approach to traceback targeted product(s) through the manufacturing process and form the basis for reviewing all policies, procedures, Standard Operating Procedures (SOPs)/Work Instructions (WI), records and other documentation related to the Hazard Analysis and Critical Control Point (HACCP) plan(s) and pre-requisite programs.To achieve and maintain certification, the site is required to attain a Certified, Certified with Surveillance, or Certified with Unannounced Surveillance audit rating for the initial certification and recertification audits, ensure that surveillance and re-certification audits occur within the required timeframe, ensure that no critical non-conformances are raised at surveillance or re-certification audits, and correct all major and minor non-conformances within the time frame specified.Recertification audits are conducted within thirty (30) calendar days on either side of the anniversary of the last day of the initial certification audit. These audits are conducted to verify the continued effectiveness of the site’s SQF System.A portion of each audit, with the exception of unannounced audits (refer to A2:14), may be conducted remotely using information and communication technology (ICT). At least half of the allocated audit duration must be conducted on-site by the auditor. Remote activities can only be conducted by agreement between the site and the Certification Body and are dependent on the ICT capability and information security requirements. The off-site and on-site portions are conducted at a time agreed between the site and the Certification Body, with the on-site portion only when the main processes are operating. DefinedTerm A2:12 Audit DurationThe audit duration is the expected total time that is required for the SQF auditor to complete the assessment of the SQF System. The audit duration must be sufficient for auditors to:Observe processes and employee behaviors throughout the inspection.Audit all processes and food categories covered under the certification.Conduct interviews with employees across various shifts and positions.Follow up on deviations as they occur, ensuring proper management and corrective actions.Review and analyze records thoroughly to make informed assessments.The audit duration times listed below are based on industry requirements and do not include time for report writing. The site should confirm with the Certification Body the fees for the audit, including report writing time.The minimum duration for a certification or re-certification audit depends on the scope of the certification and includes both remote and on-site activities (refer to step A2:4). At a minimum, the audit duration should be no less than the following for each of the Food Safety Codes:Primary Plant Production, Primary Animal Production and Aquaculture: One-half (1/2) day*Food Manufacturing, Dietary Supplements, Animal Products, Animal Feed, and Pet Food: Two (2) days*Storage and Distribution and Manufacture of Food Packaging: One (1) day**A typical day is equivalent to eight (8) hours.The audit duration is calculated by the Certification Body. The Certification Body will discuss and agree on the audit duration with the site to ensure complete coverage of the SQF System and the entire scope of certification. This audit duration and justification must be documented in the Certification Body’s agreement.Factors that can impact on the audit duration include:The size of the site and if different premises are included in the scope (i.e., acreage, number of buildings, distance between premises, number and size of tanks/ponds, size of herd/mob/flock).The number and complexity of product lines and processes (i.e., number of machines, variety of ingredients/species/materials, sub processes, support equipment).The design of product and process flow and movement of personnel.The number of employees, level of mechanization, and labor intensiveness.The ease of communication with company personnel (e.g., different languages spoken within the site).The complexity of the SQF System design and documentation.The involvement of the site in a significant food safety event.The initial certification audit may add an extra half (1/2) day to the duration. DefinedTerm A2:13 Seasonal OperationsIf the site is involved in seasonal production for any of its products, in which the major production activities are conducted over a duration that does not exceed more than five (5) consecutive months in any calendar year, the scheduling of the audits may be affected as follows:The initial certification audit must be conducted during the peak operational part of the season (i.e., when processes are operating and managing the largest commodity).If the site seeks to include products from more than one season within the scope of certification, the Certification Body will conduct the initial certification audit during the highest-risk and/or highest-volume production operation.Recertification audits in subsequent years should be scheduled during other times so that all commodities within the scope of certification have been audited within at least three (3) years.When there is a significant change in seasonal operations during the re-certification audit’s sixty (60) day window, the site should communicate this to the Certification Body. The site and Certification Body may agree on a temporary reset of the re-certification audit date, so it falls during the peak operational part of the season. If there is a permanent change to the re-certification audit date due to seasonal conditions, the request must be made in writing by the Certification Body to SQFI. DefinedTerm A2:14 Unannounced AuditsThe Certification Body is required to conduct an unannounced audit of the site once every three (3) years. The first three-year cycle commences with the site's first recertification audit date. The protocol for SQF unannounced recertification audits is as follows:The unannounced food safety audit shall occur within the first three years of the site's first recertification and then within three years after. It can occur in year one (1), two (2) or three (3) of the site's recertification audit cycle.The unannounced food safety audit occurs within the sixty- (60) day re-certification window (i.e., the anniversary date of the last day of the initial certification audit +/- thirty (30) days).If the site changes Certification Bodies, the site’s unannounced re-certification audit schedule does not change.The Certification Body determines the date of the unannounced audit within the sixty (60) day re-certification audit window.Negotiation between the site and the Certification Body may establish a ninety- (90) day blackout period to prevent the unannounced re-certification audit from occurring out of season or when the site is not operating for legitimate business reasons.Unannounced audits are on-site audits. Remote activities using ICT do not apply to unannounced audits.If the site refuses entry to an SQF food safety auditor for an unannounced audit, the Certification Body is required to immediately suspend the certificate.Certificates issued following unannounced re-certification audits indicate that the audit was unannounced (refer to A2:23).Select Site ProgramThe site may forgo the three-year unannounced audit requirement and voluntarily elect to have annual unannounced recertification audits. If annual unannounced re-certification audits are conducted at the site, then the protocol outlined for the unannounced audit requirement is to be followed for each audit. Sites with annual unannounced recertification audits are recognized on the SQF public directory and on the SQF certificate as an “SQFI Select Site.” DefinedTerm A2:15 Corporate AuditsIf the site is part of a larger corporation and some food safety functions are conducted at a separate corporate office (e.g., an office that does not process or handle products), an optional corporate audit of the Code elements managed by that office can be conducted. The decision on whether a separate corporate audit should be conducted is made by agreement between the Certification Body and the corporation. The corporate office should communicate this to the SQF-certified sites they support. Corporate audits do not apply to designated central sites within an SQF multi-site program (refer to the SQF Requirements for Multi-Site Certification).The corporate audit portion may be conducted remotely using ICT. All identified corporate Non-conformances must be closed out before the associated site audits are conducted. Any open Non-conformances that are not closed out are attributed to the site(s). During the site audits, the SQF food safety auditor audits the application of the implementation of the applicable corporate-managed policies and procedures at the site level, according to the scope of certification. All mandatory and applicable elements of the relevant SQF Food Safety Code are audited at each site regardless of the findings of the corporate audit. DefinedTerm A2:16 Language Used During the AuditThe Certification Body ensures the SQF food safety auditor competently communicates in the spoken and written language of the site. A translator is provided by the Certification Body with the knowledge of the technical terms used in the audit, is independent of the site, and has no conflict of interest. The site is to be notified of any increase in the audit duration and cost associated with the use of a translator. If there is a conflict, the English version of the SQF Food Safety Code prevails. DefinedTerm A2:17 Conducting the AuditThe SQF food safety auditor(s) will use a vertical audit exercise to review the documentation and the effectiveness of the implemented SQF System. The auditor(s) collects evidence of compliance or non-compliance for all applicable elements of the SQF Code by reviewing documentation, including policies, procedures, specifications, and records; interviewing key personnel; and observing the condition of the site, operational activities, and cleaning activities.The implementation review depends on the SQF Food Safety Code included in the scope of certification. The auditor will review the entire site, including the interior and exterior of the buildings and representative commodities, regardless of the scope of certification and agreed upon exclusions. The site audit includes a review of all operational and cleaning shifts and pre-operational inspections, where applicable.When remote ICT audit methods are used, SQFI expects that the auditor will spend eighty percent (80%) of the on-site audit time making observations and conducting interviews. DefinedTerm A2:18 Non-conformancesDuring each audit, the SQF food safety auditor(s) will advise the site of the number of non-conformances, including both the associated Code element and the description for each.Non-conformances against the SQF Food Safety Code are graded as follows:Minor: These non-conformances are evidence of a random or infrequent failure to maintain compliance with a requirement. It does not indicate a breakdown in the food safety management system or that food safety is compromised. It is evidence of an incomplete or inappropriate implementation of SQF requirements, which, if not corrected, could lead to system element breakdown.Core Clause Minor: A minor non-conformance issued to a requirement identified within an identified core clause.Major: These non-conformances are a failure of a system element, a systemic breakdown in the food safety management system which could be multiple minor non-conformities creating a pattern against related elements, a serious deviation from the requirements, and/or absence of evidence demonstrating compliance to an applicable system element. It does not indicate the likelihood to cause a significant public health risk. It is evidence of a food safety risk to products included in the scope of certification.Core Clause Major: A major non-conformance issued to a requirement identified within an identified core clause.Critical: These non-conformances are a breakdown of control(s) at a critical control point, a prerequisite program, or other critical process steps; or Determination by the Certification Body that there is systemic falsification of records relating to food safety controls and the SQF System. It is evidence that the failure is likely to cause a significant public health risk and/or product contamination.If the SQF food safety auditor considers that a critical non-conformance exists during a certification audit, the auditor is required to immediately advise the site and notify the Certification Body, and the audit is to continue as scheduled. A critical non-conformance raised during an initial certification audit results in an automatic failure of the audit, and the site is required to reapply for certification. A critical non-conformance issued during a re-certification audit results in an immediate suspension of the site's certificate. DefinedTerm A2:19 Audit RatingThe audit rating is based on the type and number of non-conformances issued during the audit period and reflects the condition of the site at the time of the audit. Based on the evidence collected by the SQF food safety auditor, each applicable clause of the SQF certification food safety audit is automatically scored in the audit report. A baseline score is calculated using the following scale:Compliant: 0-point deductionMinor: 1-point deducted for each aspectCore Clause Minor*: 2-point deducted for each aspectMajor: 5-point deducted for each aspectCore Clause Major*: 7-point deducted for each aspectCritical: 50-point deduction for any aspect*Non-conformances against Core Clauses are weighted more heavily in the scoring system due to their critical role in preventing food safety failures (refer A2:8).A score is calculated using the formula (100 – N), where N represents the sum of the point deductions. A rating, certificate status, and re-certification audit frequency is determined from the score as follows:80-100: Certified; Certificate issued; twelve-(12) month audit.70-79: Certified with Surveillance; Certificate issued; six-(6) month surveillance audit.0-69: F- Fails to Comply; No certificate issued; Considered to have failed the initial SQF audit0-69; Certified with Unannounced Surveillance; Site is immediately suspended. Certificate issued upon successful site visit; six month unannounced surveillance audit required. (refer A2:28-4). DefinedTerm A2:20 Audit Report Review ProcessAt the end of the site audit, the audit report is in draft form. The audit evidence is deemed the auditor’s recommendation until it is reviewed and approved by the authorized person of the Certification Body for technical content and application of the SQF Code. SQFI requires:The SQF food safety auditor must report on all mandatory elements (refer to A2:8) as compliant or non-compliant before the SQF food safety audit report may be submitted.The SQF food safety auditor must report all non-conformances to the site before the closing of the site audit in a written format.Non-conformances (refer to A2:18) identified during the site audit must be accurately described in the SQF food safety audit report, including the element of the SQF Food Safety Code and the evidence of non-conformance.The draft audit report is completed by the SQF food safety auditor and provided to the Certification Body for technical review.The Certification Body reviews and approves the audit evidence and makes the report available to the site within ten (10) calendar days from the last day of the audit. DefinedTerm A2:21 Corrective ActionsAll minor and major non-conformances must be addressed through corrective actions that eliminate the root cause and prevent recurrence. Documented evidence of both the corrective actions and root cause analysis must be submitted to the Certification Body. The SQF food safety auditor will verify that the response adequately addresses the non-conformance in a timely manner.All corrective actions must be approved by the auditor and closed in the SQFI Assessment Database within forty (40) calendar days of the site audit’s completion. Failure to submit corrective actions, provide root cause analysis, or obtain auditor verification within this timeframe will result in the site being ineligible for certification (see A2:28).Extensions may be granted by the Certification Body upon request:For minor non-conformances, when there is no immediate threat to product safety and temporary controls are in place.For major non-conformances, when corrective actions involve structural changes, are affected by seasonal constraints, or require long lead-time installations—provided interim controls mitigate product safety risks.In all cases, the non-conformance must still be marked as closed in the database within the forty (40) day window. The auditor will document the justification for the extension, the risk control measures, and the agreed completion date.When there is a repeat non-conformance from the previous audit, the auditor, at their discretion, may assign additional non-conformances under the corrective and preventative action clause. DefinedTerm A2:22 Granting CertificationThe Certification Body makes the certification decision based on the evidence of compliance and non-compliance requirements and the effectiveness of the closeout of corrective actions and the recommendation of the SQF food safety auditor. Although SQFI provides guidance on certification, the Certification Body is responsible for deciding if certification is justified and granted, based on the objective evidence provided by the SQF food safety auditor.Any certification decisions that are made outside the scope of this clause require the Certification Body to provide written justification to SQFI.The final audit report with completed and approved corrective actions is made available to the site. The SQF food safety audit report is the property of the site and cannot be distributed to other parties without the site’s permission.Certification of the SQF System is awarded to sites that achieve a certified audit rating at any level, with no outstanding non-conformances. The Certification Body makes the certification decision no more than fifty (50) calendar days from the last day of the site audit. Once SQF certification is granted, SQFI issues a unique SQFI Identification Number (SIN), which is specific to that site. The SIN remains with that site as long as they hold their SQF certification. DefinedTerm A2:23 Certificate IssueWithin five (5) calendar days of granting certification, the Certification Body will provide the site with an electronic and/or hard copy of the certificate. The certificate is valid for seventy-five (75) days beyond the anniversary of the initial certification audit date. Certified site information is posted on www.sqfi.com. The certificate remains the property of the Certification Body and in a form approved by SQFI. It must include the following information:The name and address of the site as listed on the SQFI Assessment Database.The name, address, and logo of the Certification Body.The logo of the accreditation body and the Certification Body’s accreditation number.The heading “certificate.”The phrase (site name) is registered as meeting the requirements of the relevant SQF Food Safety Code.The scope of registration – food sector category(ies) and products.Dates of on-site audit, date of next re-certification audit, date of certification decision, and date of certificate expiry.Indication of unannounced re-certification audit (where applicable).Signatures of the authorized officer and/or issuing officer of the Certification Body.The SQF logo.Certificate number.Certificates are published in English. However, certified sites in non-English-speaking countries may require a certificate in a local language. SQFI allows the Certification Body to issue local language certificates on request as long as:The certificate information listed above is included.The Certification Body has a protocol in place for translation and can verify the translation.An English and a translated copy of the certificate are uploaded to the SQFI Assessment Database and the accreditation body register. DefinedTerm A2:24 Fails to ComplyIf a site receives an “F – Fails to Comply” rating during an initial certification, or a Certified with Unannounced Surveillance during a re-certification SQF food safety audit, or fails to correct identified non-conformances within the required timeframe (see A2:22), it is considered to have failed the audit.For initial certification audits, the site must reapply for a new certification audit.For recertification audits, the site will be immediately suspended (refer to A2:29). Certification will only be reinstated following a successful site visit and is subject to a mandatory unannounced surveillance audit within six (6) months (refer to A2:33). DefinedTerm A2:25 Appeals and ComplaintsEach Certification Body has its own documented procedure for handling and resolving appeals and complaints made by the site or by another party about the site.Appeals: The Certification Body's appeals procedure is to be publicly available. Appeals to a decision made by the SQF food safety auditor in regard to the audit or an action taken by the Certification Body in regard to the certification must first be lodged directly with the Certification Body. Appeals regarding suspension and/or withdrawal of the SQF certification by a Certification Body do not delay the decision to suspend or withdraw the certification. The Certification Body is required to investigate and resolve appeals without delay and must keep a record of all appeals and their resolution.Appeals to the audit must be made to the Certification Body within fifteen (15) days from when the technically reviewed evidence is issued to the site. Certification Bodies are required to respond within fifteen (15) calendar days. If the appeal has first been referred to the Certification Body and cannot be satisfactorily resolved by them, the matter may then be referred to SQFI following the process listed on the Integrity Program page on www.sqfi.com. In the event that the appeal cannot be satisfactorily resolved, the site has fifty-five (55) days from the last day of the audit to refer the matter to SQFI.Complaints: Complaints about the conduct or behavior of an SQF-registered auditor or other Certification Body personnel, an SQF-certified site, SQFI, the SQF Codes, the SQF Assessment Database, SQF Training Centers, or SQF professionals from other parties are to be referred to the posted SQFI Complaint Management Policy via the Integrity Program page on www.sqfi.com.  Any complaint that pertains to an audit is to be filed with the Certification Body or SQFI within eighty-five (85) days from the last day of the audit. If, upon investigating a complaint, it is determined that there has been a substantiated breakdown of the site’s SQF System or any other condition not in compliance with the relevant SQF Food Safety Code, the Certification Body is required to suspend certification. DefinedTerm A2:26 Surveillance AuditsA surveillance audit will be conducted if the site attains a Certified with Surveillance or Certified with Unannounced Surveillance at a re-certification audit. The surveillance audit is conducted within thirty (30) calendar days on either side of the six - (6) month anniversary of the last day of the last certification or re-certification audit. If the surveillance audit is a result of a Certified with Unannounced Surveillance rating, the audit will be unannounced within that time frame.A new score and rating are issued at the surveillance audit, but the site’s recertification audit date is not affected.The surveillance audit is a full SQF System audit. In particular, the surveillance audit is intended to:Confirm continued compliance with the requirements of the SQF Food Safety Code.Verify that the SQF System continues to be implemented as documented.Verify appropriate action has been taken where changes to the site’s operations have been made that impact the site’s SQF System.Verify the continued efficacy of corrective actions from the previous audits. Major or minor non-conformities raised at the surveillance audit are required to be closed out (refer to A2:21). DefinedTerm A2:27 Surveillance Audit – Seasonal OperationsSites involved in seasonal production are those in which the major production activities are conducted over a duration that does not exceed more than five (5) consecutive months in any calendar year, and the date of the surveillance audit falls within the peak operational part of the season. In these cases, this audit must be within thirty (30) days on either side of the six (6) month anniversary of the last day of the previous certification or re-certification audit. If the date of the surveillance audit falls outside of the peak operational part of the season, the certification audit is required to conduct a pre-operational audit no less than thirty (30) days prior to the next season. The pre-operational audit comprises a full review of corrective actions from the last audit and preparedness for the next re-certification audit. DefinedTerm A2:28 SuspensionThe Certification Body is required to suspend the SQF certificate if the site:Fails to permit the audit during the sixty- (60) day audit window or approved extension.Fails to take corrective action within the time frame specified.Fails to permit an unannounced audit or refuses entry of an SQF food safety auditor for an unannounced audit.Refuses entry to an auditor or SQFI during a non-audit event, such as an SQFI validation audit or verification of corrective action.Receives a Certified with Unannounced rating at a surveillance or re-certification audit.Fails to maintain the requirements of the SQF Food Safety Code, such as in the event of an enforcement action issued by a regulatory authority, failure to correct non-conformances identified in a food safety regulatory inspection report, or a confirmed foodborne illness outbreak linked to the site.Fails to meet the agreements set forth by the Certification Body.If the site’s certificate is suspended, the Certification Body immediately amends the site details on the SQFI Assessment Database to “suspended” status, indicating the reason for the suspension and the effective date. The Certification Body must inform the site in writing of the reasons for the suspension and the effective date. The site must acknowledge receipt of the suspension notification. Sites with a suspended SQF certificate may not represent themselves as holding an SQF certificate for the duration of the suspension.Appeals regarding decisions on the suspension of the SQF certification by a Certification Body shall not delay the decision to suspend or withdraw the certification (refer to A2:25). DefinedTerm A2:28-1 Reporting suspension in the event the site does not permit the audit to occur.IF: The site fails to permit the audit during the sixty (60) day audit window or approved extension:THEN: The Certification Body requests that within forty-eight (48) hours of receiving notice of the suspension, the site provide a plan detailing the justification for the delay and the timetable for the rescheduled audit (must be no more than thirty (30) days from the audit window).The Certification Body conducts an announced on-site recertification or surveillance audit (as applicable) within thirty (30) calendar days of receiving the corrective action plan.If the site successfully completes the SQF audit with a certified rating (at any level), the Certification Body reinstates the site status on the SQFI Assessment Database and provides the site with written notice that the certificate is no longer suspended.Regardless of the rating and because the site failed to permit the re-certification audit in the designated time frame, the Certification Body conducts an additional unannounced surveillance audit no more than six (6) months after the suspension to verify continued compliance with the SQF Code. DefinedTerm A2:28-2 Reporting suspension in the event the site fails to take corrective action.IF: The site does not take corrective action within the time frame specified:THEN: The Certification Body requests that within forty-eight (48) hours of receiving notice of the suspension, the site provide a detailed plan outlining the corrective actions to be taken to resolve the outstanding non-conformances.The Certification Body verifies that the corrective action plan has been implemented through an on-site visit within thirty (30) calendar days of receiving the corrective action plan.When the corrective action plan has been successfully implemented, the Certification Body reinstates the site status on the SQFI Assessment Database and provides the site with written notice that the certificate is no longer suspended. DefinedTerm A2:28-3 Reporting suspension in the event the site does not allow for the unannounced audit.IF: The site does not permit an unannounced audit or refuses entry of an SQFI food safety auditor for an unannounced audit:THEN: The Certification Body requests that within forty-eight (48) hours of receiving notice of the suspension, the site provide a plan detailing the justification for the refusal to permit an unannounced audit and an agreement to proceed with an unannounced audit within the next thirty (30) days.The Certification Body conducts an on-site recertification audit within thirty (30) calendar days of receipt of the site confirmation. If the site successfully completes the unannounced audit with a certified rating (at any level), the Certification Body reinstates the site status on the SQFI Assessment Database and provides written notice to the site that the certificate is no longer suspended.Additionally, an unannounced surveillance audit is conducted no more than six (6) months after the above unannounced re-certification audit to verify continued compliance with the SQF System. DefinedTerm A2:28-4 Reporting suspension in the event the site receives a Certified with Unannounced Surveillance rating.IF: The site receives a Certified with Unannounced Surveillance at a surveillance or recertification audit:THEN: The Certification Body requests that within forty-eight (48) hours of receiving notice of the suspension, the site provide a detailed plan including the root cause and outlining the corrective actions to be taken to resolve the outstanding non-conformances.The Certification Body verifies that the corrective actions have been implemented by means of an on-site visit within sixty (60) calendar days of receiving the corrective action plan.When the corrective action plan has been successfully implemented, the Certification Body reinstates the site status on the SQFI Assessment Database and provides the site with written notice that the certificate is no longer suspended.If the suspension is the result of a recertification audit, the Certification Body conducts an unannounced surveillance audit no more than six (6) months after the suspension to verify the effective implementation of the corrective action plan. DefinedTerm A2:28-5 Reporting suspension in the event the site fails to maintain the requirements of the SQF Food Safety CodeIF: The site does not maintain the requirements of the SQF Food Safety Code, such as in the event of an enforcement action issued by a regulatory authority, failure to correct non-conformances identified in a food safety regulatory inspection report, or a confirmed foodborne illness outbreak linked to the site:THEN: The Certification Body requests that within forty-eight (48) hours of receiving notice of the suspension, the site provide a detailed plan outlining the corrective actions to be taken regarding the failure to maintain the SQF Food Safety Code regarding the specific incident.The Certification Body verifies the corrective actions have been implemented by means of an on-site visit within thirty (30) calendar days of receiving the corrective action plan. When the corrective action plan has been successfully implemented, the Certification Body reinstates the site status on the SQFI Assessment Database and provides the site with written notice that the certificate is no longer suspended. DefinedTerm A2:28-6 Reporting Suspension in the event the site fails to meet the agreements set forth by the Certification BodyIF: The site fails to meet the agreements set forth by the Certification Body:THEN: The Certification Body requests that within forty-eight (48) hours of receiving notice of the suspension, the site provide a plan detailing the actions to be taken to meet the agreements set forth by the Certification Body.When the agreement between the Certification Body and the site has been successfully met, the Certification Body reinstates the site status on the SQFI Assessment Database and provides the site with written notice that the certificate is no longer suspended. DefinedTerm A2:29 Withdrawing CertificationThe Certification Body withdraws the certificate if the site:Has been placed under suspension and fails to follow the suspension protocol, as defined by the Certification Body in the notice of suspension;Fails to take approved corrective action within the time frames specified, as determined by the Certification Body (refer to step A2:28);Has intentionally and systemically falsified its records; orFails to maintain the integrity of the SQF certificate.If the site’s certificate is withdrawn, the Certification Body immediately amends the site details on the SQFI Assessment Database to “withdrawn” status, indicating the reason for the withdrawal and the effective date. The Certification Body must inform the site in writing of the reasons for withdrawal and the effective date.The site must acknowledge receipt of the withdrawal notification and return the certificate within thirty (30) days of notification. If the certificate is withdrawn, the site is not permitted to reapply for certification for twelve (12) months from the date the certificate was withdrawn by the Certification Body. DefinedTerm A2:30 Changes to Site SQF RequirementsThe SQF Food Safety Code enables sites to change the audit requirements based on changing business arrangements. These include changes and additions in product scope, changing the Certification Body, site relocation, and changes in business ownership. If assistance with any of these changes is needed, the site may contact the SQFI customer service team at info@sqfi.com. DefinedTerm A2:31 Changes to Audit DatesAll requests regarding temporary or permanent certification date changes for legitimate business reasons (such as changes to seasonal operation timeframe, temporary site closures, acts of nature, or extreme weather) must be sent to the site's current SQF Certification Body. Valid requests must then be submitted to SQFI by the site's Certification Body. Written approval by SQFI Compliance is required to issue a date extension to the site’s certificate or a temporary or permanent change to the site’s re-certification audit time frame. DefinedTerm A2:32 Relocation of PremisesSQF certification is site-specific (refer to step A2:4); if the site relocates its business premises, the site’s certification does not transfer to the new site location. A successful certification of the new site location is required. An initial certification audit must be completed for the new site. DefinedTerm A2:33 Change of Business OwnershipIf the ownership of a certified site changes (e.g., the site’s business has been sold), within thirty (30) calendar days of the change of ownership, the new owner is required to notify the Certification Body and apply to retain the SQF certification with the existing certification number.The Certification Body shall retain the existing audit frequency status and existing certification number if the site personnel with major responsibility for the management and oversight of the SQF Food Safety System has been retained.The Certification Body is required to complete an initial certification audit, issue a new certificate and certification number, and apply audit frequency applicable to a new certification if the site has significant changes in site management and personnel. DefinedTerm A2:34 Notification of Recalls and Regulatory InfringementsIf the site initiates a food safety event that requires public notification, such as a Class l or Class ll recall or has been issued an enforcement action issued by a regulatory authority, the site must notify its Certification Body and SQFI in writing at www.sqfi.com/recalls within twenty-four (24) hours of the event.The Certification Body and SQFI are required to be listed in the site's essential contacts lists as defined in system element 2.6.3 of the SQF Food Safety Code.The site's Certification Body is required to notify SQFI within a further forty-eight (48) hours of any action it intends to take to ensure the integrity of the certification. All sites are required to respond to the recall and complete the recall form provided to them by SQF and/ or the Certification Body. DefinedTerm A2:35 The SQFI Compliance and Integrity ProgramTo meet the requirements of SQFI’s Compliance and Integrity Program, SQFI may randomly monitor the activities of the Certification Bodies and their auditors through techniques that include but are not limited to validation and/or witness audits.While conducting these additional monitoring activities, the site is required to allow SQFI-authorized representatives into the site during or after the audit has taken place. The attendance of an SQFI representative does not interfere with the site’s operations or result in additional audit time or non-conformances, and it will not increase the cost charged by the Certification Body for the audit. DefinedTermSet Module 2: System Elements DefinedTerm 2.4.8.1 (M) A risk-based environmental assessment to determine the level of monitoring program needed shall be in place for all pet food manufacturing processes and immediate surrounding areas that impact manufacturing processes. The environmental monitoring program shall be evaluated annually or when trends or other changes affecting product safety occur. DefinedTerm 2.4.7.1 The responsibility and methods for releasing products shall be documented and implemented. The methods applied shall ensure the product is released by authorized personnel. DefinedTerm 2.6.1 Product Identification (Mandatory) DefinedTerm 2.4.1 Feed and Food Legislation (Mandatory) DefinedTerm 2.9.1 Training Program (Mandatory) DefinedTerm 2.5.2.1 The methods, responsibility, and criteria for verifying food safety controls, including prerequisite programs and critical control points, are operating as intended shall be documented and implemented.The methods applied shall:Ensure that responsible personnel authorize each verified record to demonstrate proper completion of the monitoring activities;Require verification of certificates of conformance, certificates of analysis, letter of guarantee, and/or inspection and testing for all inputs, including food contact packaging; andInclude, in the absence of the above controls, confirmation of the absence of potential chemical migration from packaging to food contents. DefinedTerm 2.6.4.1 A crisis management plan shall document the known potential dangers that can impact the site's ability to deliver safe pet food and outline the methods and the site shall implement to cope with such a crisis. The crisis management plan shall include at a minimum:A senior manager responsible for decision making, oversight, and initiating actions arising from a crisis management incident;The selection of a crisis management team;The controls implemented to ensure any responses do 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 pet food prior to release;The preparation and maintenance of a current crisis alert contact list, including supply chain customers;Sources of legal and expert advice; andThe responsibility for internal communications and communicating with authorities, external organizations, and media. DefinedTerm 2.7.1.1 A food defense threat assessment shall be conducted to identify potential threats that can be caused by a deliberate act of sabotage or terrorist-like incident. The assessment shall consider internal and external threats. DefinedTerm 2.4.6.1 The responsibility and methods outlining how packaging or products are recouped, or similar activities (i.e. reconditioning, rework), to ensure that the safety or integrity of the product is not affected shall be documented and implemented. The methods applied shall ensure recoup is:Overseen by qualified personnel;Clearly identified and traceable;Processed in accordance with the site’s food safety plan; andReleased as required in 2.4.7.Recouping of product containing food allergens shall be conducted under conditions that ensure product safety and integrity are maintained. DefinedTerm 2.3.3.1 Specifications and/or descriptions for aquacultural materials and packaging, including, but not limited to, inputs, additives, hazardous chemicals, processing aids, and packaging that impact finished product safety shall be documented and kept current. DefinedTerm 2.2.1.1 The site shall ensure that all documentation used to meet the requirements of the SQF Food Safety Code relevant to the scope of certification are established, implemented, maintained, kept current, and made available to the relevant personnel. Documentation shall include production and and process control procedures and specifications supporting or impacting regulatory limits/claims and food safety. Documentation may be in electronic and/or hard copy form. DefinedTerm 2.6.1.1 The methods and responsibility for identifying raw and packaging materials, work-in-progress, process inputs, recycled materials, and food sector packaging shall be documented and implemented to ensure:Clear identification during all stages of receipt, production, storage, and dispatch; andPrinting or labeling is completed according to the customer specification and/or regulatory requirements.This shall include identification and labeling in accordance with the regulatory requirements of those products produced on production lines and equipment on which food sector packaging containing allergens are manufactured. DefinedTerm 2.9.1.1 A training program shall be documented and implemented that at a minimum:Establishes the training needs of personnel to ensure they have the required competencies to carry out those functions essential to the effective implementation of the SQF System;Identifies the training methods to be applied;Provides the appropriate training and training materials, in language(s) understood by personnel, to ensure products meet legal, customer, company and SQF Code requirements;Determines the frequency that training is to be conducted;Includes verification that the trainee is competent to complete the required tasks; andIncludes provisions for identifying and implementing the refresher training needs of personnel. DefinedTerm 2.8.2.1 This element does not apply to the selected FSC. DefinedTerm 2.7.1 Food Defense (Mandatory) DefinedTerm 2.6.2.1 The methods and responsibility used to trace product shall be documented and implemented to ensure:Compliance with all regulatory requirements in the country of production and intended sale;Finished product is traceable at least one step forward to the customer;Raw materials, ingredients, feed contact packaging, and other inputs including processing aids are traceable at least one step back from the process to the manufacturing supplier and includes documentation of all receipt dates;Traceability is maintained where product is reworked (refer to 2.4.6); andThe effectiveness of the product trace system is tested at least annually and shall be carried out on products from different shifts and for materials (including bulk materials) that are used across a range of products and/or products that are shipped to a wide range of customers. DefinedTerm 2.5.1 Validation and Effectiveness (Mandatory) DefinedTerm 2.3.2.1 The methods and responsibility for developing, managing, and approving raw and packaging material, and food sector packaging specifications shall be documented. DefinedTerm 2.7.2.1 The methods, responsibility, and criteria for identifying the site's vulnerability to food fraud, including susceptibility to inputs substitution, finished product mislabeling, dilution, or counterfeiting, shall be documented, implemented, and maintained. DefinedTerm 2.4.1.1 The site shall ensure that at the time of delivery to customers finished products shall comply with:Food safety laws and regulations applicable in the locality, country of production, and intended sale, if known; andCustomer and company requirements. This includes compliance with legislative requirements applicable to maintaining sanitary conditions during production, maximum residue limits, food safety, packaging, product description, net weights, nutritional, allergens (when applicable), and additive labeling, labeling of identity preserved foods, any other criteria listed under food legislation, and to relevant established industry codes of practice. DefinedTerm 2.8.1 Allergen Risk Assessment (Mandatory) (Core Clause) DefinedTerm 2.2.2.1 The methods and responsibility for maintaining document control and ensuring personnel have access to current requirements and instructions shall be documented and implemented. Current food safety documents shall be maintained and changes communicated to relevant personnel when documents have been revised. DefinedTerm 2.3.4.1 The methods and responsibility for selecting, evaluating, approving, and monitoring suppliers, including emergency suppliers and suppliers under the same corporate ownership, shall be documented, implemented, and include, at a minimum:Past performance of a supplier;Risk level of the supplied product (e.g., allergen containing, ready-to-eat, foreign supplier);Agreed specifications;Summary of the food safety controls implemented by the supplier;Methods for granting approval and reviewing supplier status;Methods and frequency of monitoring supplier performance;Methods and frequency of verification of supplied product including packaging; Supplier contact details; andAnimals, fish and seafood suppliers controls of prohibited substances (e.g. pharmaceuticals, veterinary medicines, heavy metals and pesticides). DefinedTerm 2.1 Management Commitment DefinedTerm 2.5.1.1 The methods, responsibility, and criteria for ensuring the effectiveness of all applicable elements of the SQF Program shall be documented and implemented.The methods applied shall validate that food safety plans, including critical food safety limits (refer to 2.4.3.12), are effective at implementation and re-validated or justified by regulatory standards when changes occur. DefinedTerm 2.1.2.1 The SQF System shall be reviewed by site management at least annually and include:Changes to food safety management system documentation (e.g., policies, procedures, specifications, food safety plan, food safety policy);Results of annual system tests (e.g., food defense, crisis management, recall, and product trace);Trends related to the food safety management system (e.g., audit and inspection findings, complaints, pest prevention program);Performance towards food safety culture assessment plan;Performance to food safety objectives and measures;Review of recalls and regulatory issues;Updates to all hazard analyses and risk assessments; andFollow-up action items from previous management reviews. DefinedTerm 2.5.3.1 The responsibility and methods outlining how issues and non-conformances are investigated and resolved shall be documented and implemented. These shall include, but not be limited to, deviations of critical food safety limits, complaints, findings at internal and external audits and inspections, non-conforming product and equipment, deficiencies found during annual tests and reviews, verification and validation activities, withdrawals and recalls, and regulatory infractions, and negative trends of the food safety system.This procedure shall include, at a minimum, the:Use of corrections, as applicable, to address the identified issue;Method(s) of analysis used to investigate and identify the root cause;Process for determining and implementing the corrective and preventative actions needed to address the root cause;Verification of effectiveness of the implemented actions to prevent reoccurrence; andCommunication of results to relevant site management and personnel. DefinedTerm 2.4.5.1 The responsibility and methods outlining how to handle non-conforming product, agricultural inputs, and packaging, which is detected during receipt, storage, production, packing, repacking/resorting, handling, or delivery, shall be documented and implemented. The procedures applied shall ensure:i. Non-conforming product is identified, quarantined, assessed/evaluated, and/or dispositioned in a manner that minimizes the risk of inadvertent, improper use, or risk to the integrity of finished product;ii. All relevant personnel are aware of the site’s quarantine and release requirements applicable to product placed under quarantine status; andiii. All products of unknown status are included in this process. DefinedTerm 2.5.4.1 The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the entire SQF System shall be documented and implemented. Internal audits must be conducted at least annually.The methods applied shall ensure:Personnel conducting internal audits are independent of the function audited, where practical;All applicable requirements of the SQF Food Safety Code are audited per the current SQF audit checklist or a similar tool that covers all applicable requirements of the SQF Code;Objective evidence is recorded to verify compliance and/or non-compliance;Root cause analysis, corrections, and corrective and preventative actions for deficiencies or trends indicating potential deficiencies, identified during the internal audits are undertaken according to 2.5.3; andAudit results are communicated to relevant site management and personnel responsible for implementing and verifying the effectiveness of actions taken according to 2.5.3. DefinedTerm 2.1.1.1 A food safety policy, signed by the senior site manager shall be established and maintained that outlines at a minimum the commitment of all site management to:Supply safe pet food in compliance with all customer and regulatory requirements;Establish and maintain a positive food safety culture within the site;Establish and continually improve the site's food safety management system; andEffectively communicate this policy to all personnel in a language(s) they understand. DefinedTerm 2.3.1.1 Product handling and storage requirements for all products received, stored, and intended for distribution, shall be documented, current, approved by the site and, when required, by its customer. Requirements shall include proper storage to prevent contamination risks. Product requirements shall be accessible to relevant personnel, and include, where applicable:Microbiological, chemical, and physical limits;Temperature requirements;Packaging requirements;Storage, distribution, and handling conditions; andShelf life of the product. Handling of new products shall be assessed to ensure requirements can be achieved. DefinedTerm 2.2.1 Food Safety Management System (Mandatory) DefinedTerm 2.4.2.1 The Good Industry Practices, as identified in Module 5 of the SQF Food Safety Code, applicable to the scope of certification outlining how food safety is controlled and assured shall be documented and implemented.The site shall provide a written risk assessment outlining the justification for non-applicability or evidence of the effectiveness of alternative control measures that ensure food safety is not compromised. DefinedTerm 2.2.3.1 The site shall maintain relevant and appropriate records, as necessary, to demonstrate the effective implementation, maintenance, and continuous improvement of the food safety management system. The methods and responsibility for maintaining and retaining records shall be documented and implemented. DefinedTerm 2.1.1 Management Responsibility (Mandatory) (Core Clause) DefinedTerm 2.6.3.1 The methods and responsibility used to withdraw or recall product shall be documented and implemented. The procedure shall:Identify personnel responsible for initiating, managing, and investigating a product withdrawal or recall;Describe the management procedures to be implemented;Document sources of legal, regulatory, and expert advice;Provide essential traceability information;Include the risk to programs outside of the site's purview; andOutline a communication plan to inform personnel, customers, consumers, regulatory authorities, and other essential bodies in a timely manner appropriate about the nature of the incident. DefinedTerm 2.1.3.1 The methods and responsibility for handling, investigating, and resolving food safety complaints from customers, consumers, and authorities, arising from products stored or handled on-site shall be documented and implemented. DefinedTerm 2.3.1 New Products and Commercialization DefinedTerm 2.8.1.1 A risk analysis shall be conducted to determine the allergen risk to humans. If the analysis identifies that allergens are a risk to humans, the site shall establish a mitigation plan that identifies the appropriate control measures. Sites that produce and or claim human-grade pet food shall follow the requirements of the SQF Food Safety Code: Food Manufacturing, Allergen Management Program. DefinedTerm 2.4.3.1 A food safety plan shall be prepared in accordance with the steps identified in the latest version of Codex Alimentarius Commission's General Principles of Food Hygiene. The food safety plan shall be effectively implemented and maintained and shall outline how the site controls and assures food safety of the products or product groups included in the scope of the SQF certification and their associated processes. More than one food safety plan may be required to cover all products included in the scope of certification. DefinedTerm 2.3.6.1 This element does not apply to the selected FSC. DefinedTerm 2.3.5.1 The site shall document and implement a procedure to evaluate any changes, including temporary, emergency, unplanned or those made as a result of the corrective action process, that could impact pet food safety or the food safety system to ensure that controls are still effective.This procedure, at a minimum, shall include changes in:Product formulations and manufacturing processes for products included in the scope of certification;Materials, ingredients, labels, other inputs, or equipment;Specifications for raw materials and packaging, chemicals, processing aids, contract services, and finished products; andThe food safety plan including critical control limits.  Changes shall be confirmed or validated, documented and communicated, as necessary, in a timeframe that ensures pet food safety is maintained. DefinedTerm 2.4.4.1 The methods, responsibility, and criteria for sampling, inspecting, and/or analyzing materials, product, and other food safety-related evaluations shall be documented and implemented. Sampling, inspection and analysis shall be conducted to nationally recognized methods. Alternative methods that are validated as equivalent to the nationally recognized methods can be used. DefinedTerm 2.3.3.2 For products and processes of contract producers and packers, and third-party storage and distribution facilities, the site shall ensure that they are confirmed to be in compliance with the relevant SQF Food Safety Code. Confirmation is determined relevant to the risk level, through an audit by the site, a third-party agency or other suitable means. The site shall determine and document the food safety risk level of contract manufactured and/or contract stored product. DefinedTerm 2.8.2 This clause does not apply to the selected FSC. DefinedTerm 2.4.1.2 The methods and responsibility for ensuring the site is kept informed of changes to relevant laws and regulations, scientific and technical developments, emerging food safety issues, and relevant industry codes of practice shall be documented and implemented. DefinedTerm 2.5.2.2 Regular inspections of the site and equipment shall be planned and carried out to verify the food safety plan, Good Manufacturing Practices and facilities and equipment maintenance is compliant with food safety requirements. DefinedTerm 2.2 Documentation and Records DefinedTerm 2.1.2 Management Review (Mandatory) (Core Clause) DefinedTerm 2.2.3.2 Records shall be legible, readily accessible, retrievable, and securely stored to prevent unauthorized access, loss, damage, and deterioration. Retention periods shall be in accordance with customer, legal, and regulatory requirements, at minimum the product shelf life, or if longer, the delivery medium (e.g., capsules, coatings, sachets) shelf life, or established by the site if no shelf life exists. DefinedTerm 2.4.6.2 This element does not apply to the selected FSC. DefinedTerm 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, including minimum and maximum nutrient and medicinal values (e.g. vitamin D, thiamine, life stages, species, animal size, and or breeds). Where necessary shelf life trials shall be conducted to establish and validate a new product’s:Preparation, handling, and storage requirements including the establishment of “best before dates”;Microbiological criteria;Food contact packaging adequacy;Customer requirements;Labeling requirements, including limited ingredients claims; andEnsuring ingredients are considered "food/pet food" or recognized as safe by regulatory bodies in the country of manufacture and the country of use or intended sale. DefinedTerm 2.6.3.2 The product withdrawal and recall system shall be reviewed for accuracy and completeness, tested, and verified as effective at least annually. The test shall include all components of the recall program. DefinedTerm 2.3.6.2 This element does not apply to the selected FSC. DefinedTerm 2.5.1.2 Good Agricultural Practices are confirmed to ensure they achieve the required results. (As per applicable modules 7, 8, 10, 18) DefinedTerm 2.4.5.2 This element does not apply to the selected FSC. DefinedTerm 2.7.1.2 A food defense plan shall be documented and implemented based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet regulatory requirements as applicable and shall include the methods, responsibility, and criteria for preventing food adulteration caused by an act of sabotage.The methods implemented shall mitigate public health threats and at a minimum, ensure:Only authorized personnel have access to production equipment and vehicles, production, and storage areas through designated access points;Protection of sensitive production points;The secure receipt and storage of inputs, packaging (including labels), work-in-progress, other production inputs, equipment, and hazardous chemicals;Finished products are held under secure storage and transportation conditions; andAccess to the premises by personnel, contractors, and visitors is recorded and controlled. DefinedTerm 2.1.2.2 Site management shall be updated at least monthly and include:Matters impacting the implementation or maintenance of the SQF System (e.g., deviations of CCPs, label changes, regulatory issues, adverse trends);Corrections, and corrective and preventative actions;Results from internal and external audits; andFood safety complaints. DefinedTerm 2.4.3.2 The food safety plan or plans shall be developed and maintained by a multidisciplinary team that includes those personnel with technical, storage and distribution, and engineering knowledge of the relevant materials, packaging, processing aids, products, and associated processes. Where the relevant expertise is not available on-site, advice may be obtained from other sources to assist the food safety team.The team leader shall be HACCP trained. DefinedTerm 2.4.2 Good Manufacturing Practices (Mandatory) DefinedTerm 2.4.4.2 Internal laboratories shall operate in accordance with the applicable requirements of ISO/IEC 17025, including proficiency testing. DefinedTerm 2.9.1.2 Training shall be provided for all personnel involved in:Developing and maintaining food defense, food fraud, and food safety plans;Monitoring critical control points;Implementing the corrective action process, including root cause analysis;Conducting internal audits; andAny other tasks identified as critical to meeting the effective implementation and maintenance of the SQF Code. A means to assess competency shall be included as part of the training. DefinedTerm 2.1.1.2 This element does not apply to the selected FSC. DefinedTerm 2.3.4.2 Supplier audits shall be based on risk and shall be conducted by personnel knowledgeable of applicable regulatory and food safety requirements. DefinedTerm 2.4.7.2 This element does not apply to the selected FSC. DefinedTerm 2.6.1.2 This element does not apply to the selected FSC. DefinedTerm 2.3.2 Specifications (Core Clause) DefinedTerm 2.6.4.2 The crisis management plan shall be reviewed, updated when a new vulnerability is identified, tested, and verified at least annually. The test shall include all components of the crisis management program that impact food safety. DefinedTerm 2.1.3.2 Trends of complaint data shall be investigated and analyzed. Root cause analysis and the corrective action process shall be completed for all adverse trends and serious incidents as outlined in 2.5.3. DefinedTerm 2.2.2 Document Control (Mandatory) DefinedTerm 2.3.2.2 Specifications and/or descriptions for aquacultural materials and packaging, including, but not limited to, inputs, additives, hazardous chemicals, processing aids, and packaging that impact finished product safety shall be documented and kept current. DefinedTerm 2.7.2.2 A food fraud mitigation plan shall be developed and implemented that specifies the methods by which the identified food fraud vulnerabilities shall be controlled, including identified food safety vulnerabilities of raw materials. DefinedTerm 2.4.8.2 The responsibility and methods for the environmental monitoring program shall be documented and implemented and include an environmental sampling and testing schedule. It shall at a minimum:Detail the applicable pathogens or indicator organisms to test based on the site's hazard analysis;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;Identify acceptance criteria; andDescribe the methods to handle elevated or undesirable results. DefinedTerm 2.7.2 Food Fraud (Mandatory) (Core Clause) DefinedTerm 2.8.1.2 Where allergenic material may be intentionally or unintentionally present, cleaning and sanitation of product contact surfaces between material and line changeovers shall be documented, implemented, effective, appropriate to the risk and legal requirements, and sufficient to remove all potential target allergens to prevent cross-contamination from product contact surfaces, including aerosols as appropriate, to prevent cross-contact.Separate handling and production equipment shall be provided, where satisfactory allergen cleaning and sanitizing or segregation are not possible. DefinedTerm 2.5.2 Verification Activities (Mandatory) DefinedTerm 2.6.2 Product Trace (Mandatory) DefinedTerm 2.5.2.3 A verification schedule outlining the verification activities, their frequency of completion, and the personnel responsible for each activity shall be prepared and implemented. DefinedTerm 2.3.3 Contractual Agreements DefinedTerm 2.2.3.3 Records to support the completion of all annual requirements, including relevant documents (e.g., root cause methodology, corrections, and corrective and preventative actions) shall be maintained and include at a minimum:Management review (refer to 2.1.2);Internal audits (refer to 2.5.4);Food defense threat assessment and prevention plan review (refer to 2.7.1);Food defense test (refer to 2.7.1);Food fraud vulnerability assessment and mitigation plan review (refer to 2.7.2);Traceability test (refer to 2.6.2);Crisis management test (refer to 2.6.4);Recall test (refer to 2.6.3); andFood safety plan review, including process flow (refer to 2.4.3). DefinedTerm 2.9.1.3 Instruction shall be provided, at a minimum, to all relevant personnel and contractors involved in the effective implementation and maintenance of the following programs or plans:Allergen management;Food fraud mitigation;Food defense;Environmental monitoring;Recall;Traceability;Crisis management;Supplier and co-manufacturer audits;Sampling and testing of all raw materials including packaging, work-in-progress, and finished products;Personal hygiene; Equipment and site cleaning, sanitizing, and maintenance; and Antemortem animal welfare and inspections. DefinedTerm 2.7.1.3 The food defense threat assessment and prevention plan shall be reviewed for effective implementation and tested at least annually or when the threat level, as defined in the threat assessment, changes. DefinedTerm 2.3.1.3 The process flows for all new and existing animal production/processes shall be designed to ensure that products meet specifications and to prevent cross-contamination. DefinedTerm 2.4.8.3 Environmental test results shall be monitored, tracked, and trended. Root cause analysis, corrections, corrective actions and preventative actions shall be implemented where acceptance criteria is not met or unsatisfactory results or trends are observed. DefinedTerm 2.8.1.3 The site shall document and implement methods to control the accuracy of product labels and/or printed food sector packaging and ensure work-in-progress and food sector packaging use the proper labels and materials as intended. Measures may include label approval and verification upon receipt, during use, at product changeovers, and during the destruction of obsolete labels, verification of labels on finished product as appropriate, and product change over procedures. DefinedTerm 2.3.2.3 Specifications/descriptions shall be reviewed and confirmed to ensure product safety is not compromised and is fit for its intended purpose. DefinedTerm 2.2.3 Records (Mandatory) DefinedTerm 2.4.7.3 This element does not apply to the selected FSC. DefinedTerm 2.4.3.3 The scope of each food safety plan shall be developed and documented including the start and endpoints of the processes under consideration and all relevant inputs and outputs. DefinedTerm 2.3 Specifications, Animal Product Development, and Supplier Approval DefinedTerm 2.4.4.3 On-site chemical and microbiological analyses that may pose a risk to product safety shall be conducted separate from any aquacultural product handling activity and designed to limit access only to authorized personnel.Signage shall be displayed identifying the area as a restricted area, accessible only by authorized personnel. DefinedTerm 2.4.3 Food Safety Plan (Mandatory) (Core Clause) DefinedTerm 2.6.3 Product Withdrawal and Recall (Mandatory) DefinedTerm 2.5.3 Corrections, and Corrective and Preventative Actions (Mandatory) DefinedTerm 2.1.1.3 A food safety culture assessment plan to drive continuous improvement shall be documented, implemented, and maintained.This plan shall address at a minimum:Effective communication strategies to ensure all personnel are informed and engaged in food safety practices;Comprehensive training programs for all personnel including site management;Mechanism to collect and address feedback from all personnel regarding food safety practices; andRegular measurement and evaluation of food safety-related activities. DefinedTerm 2.3.6.3 This element does not apply to the selected FSC. DefinedTerm 2.7.2.3 The food fraud vulnerability assessment and mitigation plan shall be reviewed and verified at least annually or when the vulnerability, as defined in the vulnerability assessment, changes. DefinedTerm 2.6.3.3 SQFI and the Certification Body shall be notified in writing within twenty-four (24) hours upon identification of a food safety event that has been initiated by the site in which use of or exposure to the product:Has a reasonable probability of causing serious adverse health consequences, or death; orMay cause temporary or medically reversible health consequences.SQFI shall be notified at sqfi.com/recalls. All required information from either SQFI or the Certification Body shall be submitted as requested. DefinedTerm 2.4.1.3 SQFI and the Certification Body shall be notified in writing within twenty-four (24) hours as a result of a regulatory warning letter or action, or named in an outbreak. Notification to SQFI shall be via sqfi.com/regulatory. DefinedTerm 2.1.3 Complaint Management (Mandatory) (Core Clause) DefinedTerm 2.8.1.4 This element does not apply to the selected FSC. DefinedTerm 2.2.3.4 Where applicable, records demonstrating the implementation of the food safety management system shall be maintained and include:Monthly management updates (refer to 2.1.2);Product design records including formulations, label compliance, shelf-life trials, and new product approvals (refer to 2.3.1);Supplier approvals (refer to 2.3.4);Root cause analysis and the corrective action process (refer to 2.5.3);Validation and verification records (refer to 2.5.1 and 2.5.2);Process changes (2.3.5);Complaints, investigations, and resolutions (refer to 2.1.3); andContractual agreements (refer to 2.3.3). DefinedTerm 2.5.4 Internal Audits (Mandatory) DefinedTerm 2.1.1.4 Site management shall establish, document, and communicate to all personnel food safety objectives and performance measures. They will ensure departments and operations are appropriately staffed and organizationally aligned with adequate resources to meet these food safety objectives.The reporting structure will:Document the job functions for key personnel whose activities affect food safety, regulation and quality control, and the performance measures and associated regulatory licensing;Identify a backup(s) for these key personnel; andEnsure the integrity and continued operation of the food safety system in the event of organizational or personnel changes. DefinedTerm 2.3.2.4 Site management shall require raw materials suppliers to notify the site of changes in product composition where it could have an impact on food sector packaging, design, processing, or food safety. DefinedTerm 2.6.4 Crisis Management Planning (Mandatory) DefinedTerm 2.4.4.4 Provisions shall be made to isolate and contain all hazardous laboratory waste held on the premises and manage it separately from food waste. Laboratory waste outlets shall not cause cross contamination. DefinedTerm 2.4.4 Sampling, Inspection, and Analysis DefinedTerm 2.3.6.4 This element does not apply to the selected FSC. DefinedTerm 2.3.1.4 A food safety plan shall be validated and verified by the site food safety team for each new product and its associated process through conversion to commercial production and distribution or where a change to raw materials, process, or packaging occurs that may impact food safety. DefinedTerm 2.3.4 Approved Supplier Program (Mandatory) DefinedTerm 2.9.1.4 Training records shall be maintained and include:Participant name;Description of necessary skills;Description of the training provided;Date training completed;Trainer or training provider; andVerification that the trainee is competent to complete the required tasks. DefinedTerm 2.4.3.4 Product descriptions shall be developed and documented for all products included in the scope of the food safety plans. The descriptions shall reference the product specifications (refer to 2.3.2) plus any additional information relevant to product safety, such as storage temperature, product packaging, allergens, raw or cooked. DefinedTerm 2.4 Food Safety System DefinedTerm 2.3.2.5 This element does not apply to the selected FSC. DefinedTerm 2.5 Validation and Verification DefinedTerm 2.4.3.5 The intended and potential alternative use of each product shall be determined and documented. DefinedTerm 2.1.1.5 A primary and substitute SQF Practitioner shall be designated with responsibility and authority to:Oversee the development, implementation, review, and maintenance of the SQF System through an understanding of the SQF Food Safety Code(s) relevant to the site's scope of certification;Take appropriate action to ensure the integrity of the SQF System and escalate to site management key food safety issues or events;Communicate to relevant personnel all information essential to ensure the effective implementation and maintenance of the SQF System, including participation in the annual management review and monthly management updates;Ensure the proper use of the SQF logo, according to the requirements in the SQF Logo Rules of Use; andEnsure relevant blackout dates are provided to the Certification Body a minimum of ninety (90) days prior to the start of the audit window that prevents an audit from occurring when the site is not operating for legitimate business reasons.The primary and substitute SQF Practitioners shall:Be employed at the site (while designated as the primary SQF Practitioner);Have successfully completed a Hazard Analysis and Critical Control Point (HACCP)-based training course; andBe competent to implement and maintain the site's food safety plans. DefinedTerm 2.4.5 Non-conforming Inputs and Aquacultural Products DefinedTerm 2.3.5 Change Management DefinedTerm 2.4.4.5 This element does not apply to the selected FSC. DefinedTerm 2.3.1.5 Where applicable, the site shall have a control procedure including the approval, revision and management of customer artwork. DefinedTerm 2.2.3.5 Where applicable, records to support the food safety programs shall be maintained and include:Product rework (refer 2.4.6);Inspection and analysis (refer to 2.4.4);Product release (refer to 2.4.7);GAP/GOP inspections (refer to 2.5.2.2);Product changeover (refer to 2.6.1);Label reconciliation (refer to 2.6.1) ;Critical control point monitoring (refer to 2.4.3.16);Shipping and receiving (refer to 11.6.5);Non-conforming materials and products (refer to 2.4.5);Environmental monitoring (refer to 2.4.8); andProduct traceability and recall (refer to 2.6.2 and 2.6.3). DefinedTerm 2.3.6 This clause does not apply to the selected FSC. DefinedTerm 2.4.4.6 This element does not apply to the selected FSC. DefinedTerm 2.3.2.6 This element does not apply to the selected FSC. DefinedTerm 2.4.3.6 The food safety team shall develop and document a flow diagram covering the scope of each food safety plan. The flow diagram shall include:Every step in the process;All raw and packaging materials and service inputs (e.g., water, steam, gasses);Scheduled process delays; and All process outputs including waste and rework.  Each flow diagram shall be verified by the food safety team to cover all stages and hours of operation. DefinedTerm 2.4.6 Product Recoup DefinedTerm 2.6 Product Traceability and Crisis Management DefinedTerm 2.4.3.7 The process flows shall be designed to ensure that product is stored to prevent contamination. DefinedTerm 2.3.2.7 This element does not apply to the selected FSC. DefinedTerm 2.4.7 Product Release (Mandatory) (Core Clause) DefinedTerm 2.7 Food Defense and Food Fraud DefinedTerm 2.8 Identity Preserved Pet Food DefinedTerm 2.4.8 This clause does not apply to the selected FSC. DefinedTerm 2.4.3.8 The food safety team shall identify and document all food safety hazards that can reasonably be expected to occur in inputs, packaging and each step of the production process. DefinedTerm 2.3.2.8 This element does not apply to the selected FSC. DefinedTerm 2.3.2.9 This element does not apply to the selected FSC. DefinedTerm 2.4.3.9 The food safety team shall conduct a hazard analysis for every identified hazard to determine which hazards are significant, i.e., their elimination or reduction to an acceptable level is necessary to control food safety. The methodology for determining hazard significance shall be documented and used consistently to assess all potential hazards in the absence of control. DefinedTerm 2.9 Training DefinedTerm 2.4.3.10 The food safety team shall determine and document the control measures that must be applied to all significant hazards. More than one control measure may be required to control an identified hazard, and more than one significant hazard may be controlled by a specific control measure. DefinedTerm 2.4.3.11 Based on the results of the hazard analysis (refer to 2.4.3.9), the food safety team shall identify the steps in the process where control must be applied to eliminate a significant hazard or reduce it to an acceptable level (i.e., a critical control point (CCP)). In instances where a significant hazard has been identified at a step in the process but no control measure exists, the food safety team shall modify the process to include an appropriate control measure. DefinedTerm 2.4.3.12 For each identified CCP, the food safety team shall identify and document the limits that separate safe from unsafe product (critical limits). The food safety team shall validate (refer to 2.5.1.1) all critical limits to ensure the level of control of the identified food safety hazard(s) and that all critical limits and control measures individually or in combination effectively provide the level of control required (refer to 2.5.2.1). Critical food safety limits are reviewed annually, at a minimum. DefinedTerm 2.4.3.13 For each identified CCP, the food safety team shall identify and document the limits that separate safe from unsafe product (critical limits). The food safety team shall validate (refer to 2.5.1.1) all critical limits to ensure the level of control of the identified food safety hazard(s) and that all critical limits and control measures individually or in combination effectively provide the level of control required (refer to 2.5.2.1). Critical food safety limits are reviewed annually, at a minimum. DefinedTerm 2.4.3.14 The food safety team shall develop and document deviation procedures that identify the disposition of affected product when monitoring indicates a loss of control at a CCP. The procedures shall include root cause analysis, corrections, and corrective and preventative actions to correct the process step to prevent recurrence of the safety failure. DefinedTerm 2.4.3.15 The documented and approved food safety plan(s) shall be implemented in full. The effective implementation shall be monitored by the food safety team, and a full review of the documented and implemented plans shall be conducted at least annually or when changes to the process, equipment, inputs, or other changes affecting product safety occur. DefinedTerm 2.4.3.16 Procedures shall be in place to verify that critical control points are effectively monitored and appropriate root cause analysis, corrections, and corrective and preventative actions are applied, as applicable. DefinedTerm 2.4.3.17 Critical control point monitoring, corrective action, and verification records shall be maintained and appropriately used. DefinedTerm 2.4.3.18 Where food safety regulations in the country of production and intended sale (if known) prescribe a food safety control methodology other than the current version of the Codex Alimentarius Commission's General Principles of Food Hygiene, the food safety team shall implement food safety plans that meet both Codex and food regulatory requirements. DefinedTermSet Module 6: Good Aquaculture Practices for Farming of Fish and Seafood DefinedTerm 6.4.5.1 Provision shall be made to store employee personal belongings away from living stock, feed, or operations and equipment. DefinedTerm 6.1.1 Property Location DefinedTerm 6.6.1 Water Systems DefinedTerm 6.8.1 Waste Handling and Disposal DefinedTerm 6.3.3.1 The operation shall have a written risk assessment on animal activity in and around the living stock production areas and feed storage that has been implemented and monitored. DefinedTerm 6.4.1 Personnel Practices DefinedTerm 6.4.2.1 Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination.Toilets shall cater for the maximum number of employees and be constructed so that they can be easily cleaned and maintained;Handwash basins with clean, potable water, hand soap, disposable towels or effective hand drying device, waste bins, and a tank that captures used handwash water for disposal (if not connected to drains) shall be provided inside or adjacent to toilet facilities;Signage in appropriate languages shall be provided adjacent to handwash basins instructing personnel to wash their hands after each toilet visit;Racks shall be provided for protective clothing used by personnel;Toilets shall be located to provide easy access for personnel; andToilet and wash stations shall be maintained in a clean and sanitary condition.Tools/equipment used for cleaning toilet rooms shall not be used to clean operational areas. DefinedTerm 6.3.1 Equipment Maintenance and Calibration DefinedTerm 6.3.2.1 The site, living stock growing facilities, storage facilities, machinery, and equipment shall be kept free of waste or accumulated debris so as not to attract pests and vermin. DefinedTerm 6.7.2.1 The methods and responsibilities outlining the use of a vaccine or medication for a target disease shall be documented and implemented (i.e., an aquaculture health plan). The plan shall include:All vaccines and medicines are used in accordance with label instructions, including withholding periods;Off-label use of medications are approved and documented by a registered veterinarian;Training and competency for personnel administering a vaccination medication (e.g., knowledge of maximum residue levels, methods of administering medication, and withholding periods);A quarantine systems and corrective measures for use when living stock is affected with infection of a notifiable disease;A disposal process for unused aquaculture medications, expired medications, empty containers, and disposable instruments as per 6.2.2.5; andA current medication register and records of all medication purchased and used.Where veterinary medication and vaccines are required to be dispensed in feed, medicated feed, water or medicated water, they shall be separately identified and stored in a manner to minimize risk of unintentional feeding of aquaculture. DefinedTerm 6.5.1.1 The methods and responsibility for conducting inspections to assess chemical hazards and their risks to aquaculture and feed products shall be documented and implemented. Inspections shall occur during all phases of aquaculture and through to the transport of the aquacultural products to their next destination (refer to 2.5.4.3). Records of inspections shall be maintained. DefinedTerm 6.4.1.1 A documented and implemented personal hygiene and personnel practices procedure shall ensure that personnel engaged in the handling of living stock and feedstuffs observe appropriate personal practices. The procedure shall include provisions for:Jewelry and other loose objects that pose a threat to the health and safety of the aquacultural product are not be worn or taken into any product handling or storage operations; andEating, drinking (potable water is available for employees), and clothing (refer to 6.4.3) requirements where health and safety of aquacultural products is at risk.Personnel and visitor practices listed in 6.4.1 shall be routinely monitored for compliance and any resulting corrective actions implemented and recorded for personnel who violate food safety practices. DefinedTerm 6.2.1.1 Pens in water bodies, ponds, and other open areas where living stock are farmed shall be designed, located, constructed, and maintained so as to minimize stress, injury, or disease and have minimal impact on the surrounding area and natural resources. The following shall be included: The site and/or pond entry points prevent the entry by unauthorized visitors either by a lock or other control entry devices; Entry and exit points to the site are equipped for cleaning and sanitizing of vehicle wheels; Netting, gates, and other surfaces in water bodies and ponds are free from paints, dips, sanitizers, and other materials that are likely to cause contamination through ingestion, inhalation, or contact; and Living stock, when held for extended periods in water bodies and ponds, have access to adequate supplies of food and quality water. DefinedTerm 6.2.1 Water Bodies/Ponds and Buildings DefinedTerm 6.1 Site Requirements DefinedTerm 6.8.1.1 Waste systems shall be designed and constructed and waste regularly removed from the farm so as not to pose a risk to living stock or aquacultural products and adjoining or adjacent waterways and fields. Suitable provisions shall be implemented to ensure the effective collection, secure storage, and timely removal of dead fish for appropriate disposal. Waste disposal shall be completed to meet regulatory requirements. DefinedTerm 6.3.1.1 The maintenance of equipment and buildings shall be planned, scheduled, and carried out in a manner that prevents any risk of contamination of aquacultural products or equipment. Maintenance and calibration (refer to 6.3.1.2) records shall be maintained. DefinedTerm 6.4.4.1 All visitors (including management and maintenance employees) shall follow all personnel practices as designated by the site for employees when entering or in close living stock handling, feed storage, or operations. These practices include, but are not limited to, the removal of jewelry and other loose objects and wearing suitable protective clothing. DefinedTerm 6.7.1 Purchasing Chemicals DefinedTerm 6.7.3.1 A chemical application program indicating the applications used for a target pest or disease and the threshold levels that initiate application shall be documented and implemented. Records of all chemical applications shall include: The chemical(s) used; Aquacultural product information; Date, method, concentration, and frequency of application; and Evidence that the timing between chemical applications and harvest or living stock removal complies with the approved interval for the chemical application. DefinedTerm 6.1.1.1 The farm and facilities shall have a risk assessment conducted to evaluate and document the risk to aquacultural production due to prior water body use, adjacent land use, and other environmental factors including structures and equipment. Consideration shall be given to the following:History of water body, land, and building use;Geography;Adjacent land use; andOther factors that may impact on the ability to supply safe aquacultural products.Where risks are identified, control measures shall be implemented to reduce the identified hazards to an acceptable level, and the risk analysis shall be re-evaluated in the event of any circumstance or changes that may impact on the production of safe aquacultural products. DefinedTerm 6.3.4.1 The cleaning of aquacultural product handling equipment, feed contact equipment, aquaculture health equipment, and sanitary facilities shall be documented and implemented. Cleaning procedures and schedules shall include: A list of equipment, aquaculture health and feed handling tools, sanitary facilities, aquacultural production areas, and storage areas that require periodic cleaning; Instructions on how cleaning is performed for the various areas and equipment; The frequency of when cleaning is to be completed; Personnel responsible for performing and verifying or evaluating the cleaning; and Records of cleaning activities. DefinedTerm 6.6.1.1 A water description plan shall be prepared that describes the water sources and the aquaculture production areas they serve, and shall include one or more of the following: maps, photographs, drawings, or other means to communicate the location of the water sources, permanent fixtures such as ponds and tanks, and the flow of the water system. The plan shall be kept current and revised when changes occur. DefinedTerm 6.2.3.1 The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, aquacultural product harvest containers, storage tanks, and other items or materials used in aquaculture operations do not pose a risk to aquacultural product safety shall be documented and implemented. Procedures shall ensure that these items are: Designed and constructed to be fit for purpose and allow for the efficient handling of aquacultural product and that those surfaces in direct contact with aquacultural products are constructed of materials that do not contribute to contamination; Identified and included in preventive maintenance, inspection, and cleaning schedules; Stored in such a way as to avoid contamination of inputs or aquacultural products; and Not used for non-harvest purposes unless clearly identified, and not then returned for harvest use. DefinedTerm 6.5.1 Aquaculture Handling Practices and Transport DefinedTerm 6.2.2.1 Aquaculture chemicals and other toxic substances shall be stored so as not to present a hazard to employees, living stock, handling equipment, or areas in which product is handled, stored, or transported. Specifically, they shall not be stored inside feed handling or storage areas and where veterinary medications are stored or handled. DefinedTerm 6.4.3.1 Protective clothing (e.g., uniforms, smocks, coats) shall be effectively maintained, stored, laundered, and worn to protect product from the risk of contamination. DefinedTerm 6.7.1.1 Vaccines, medications, vitamins, dietary supplements, and chemicals shall be approved for use in the country of production and intended sale for the specific aquacultural product. Purchased chemicals, where required by regulation, shall be labeled with the active ingredient(s), applicable dosage rates, and application instructions. Where no regulations or partial regulations govern the use of chemicals, the site shall have a documented risk assessment on the justification for use of nonregulated chemicals. DefinedTerm 6.6.2.1 Water for living stock or aquacultural product production shall be drawn from a known clean source or treated to make it suitable for use. The site shall conduct an analysis of the hazards in the water supply from source through to application, establish acceptance criteria for the monitoring of water, and validate and verify the integrity of the water used to ensure it is fit for the purpose (refer to 6.6.3.3 for records maintenance). DefinedTerm 6.6.3.1 The water system described in 6.6.1.1 shall have a documented hazard analysis conducted annually and whenever changes occur to its sources, methods of transportation, storage conditions, or the environmental conditions impacting it (refer to 2.4.3). Control methods applied to minimize the risk associated with the hazards shall be included in the water management plan (refer to 6.6.3.2). DefinedTerm 6.4.3.2 Where applicable, clothing, including footwear, shall be in good condition, cleaned, and sanitized, and worn to protect product from the risk of contamination. Entry annex points of the buildings shall be equipped with materials for cleaning and sanitizing footwear. DefinedTerm 6.4.4.2 Visitors who are exhibiting visible signs of illness or have been in recent direct contact with other sites, aquacultural, or agricultural commodities shall be prohibited from entering any living stock handling, feed storage, or aquaculture operations. DefinedTerm 6.5.1.2 The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: Employees are trained and competent in aquacultural handling and welfare so they are able to recognize the early signs of distress and disease and ensure stress to living stock is minimized; Living stock have an adequate source of clean feed and uncontaminated water at all times; Living stock are housed in such a way to avoid damage or stress to the living stock; Waste is contained in bins identified for this purpose and regularly removed; Measures to inspect for physical hazards and procedures to remove physical hazards; Diseased or medicated living stock are identified and segregated from healthy living stock; and Personnel dealing with or treating diseased living stock do not come into contact with healthy living stock. DefinedTerm 6.2 Water Bodies/Ponds, Buildings, Storage, and Equipment DefinedTerm 6.4.1.2 A screening procedure shall be established, implemented, and maintained to identify personnel, contractors, and visitors who are known to be carriers of infectious diseases that are transmittable via food. These individuals shall Immediately report health conditions that could impact food safety (e.g., vomiting, jaundice, diarrhea) to management, subject to legal restrictions in the country of operation; and Be prohibited from engaging in food operations, directly or indirectly, where there is the potential for contamination. Where applicable, legislation must be met. DefinedTerm 6.6.1.2 Water used for living stock and aquacultural product production shall be sourced from a location and in a manner that is compliant with applicable regulations. DefinedTerm 6.6.3.2 A water management plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include:Description of water sources and management (e.g., pond water addition, equipment cleaning, medicated water);Maintenance and cleaning of the water system (refer to 6.3.1 and 6.3.4);A hazard analysis determining water is fit for its purpose and resulting prevention controls applied to water during living stock and aquacultural production including monitoring, verification, and corrective action for each control measure; andDocumentation and records referenced.Control measures may include:Water treatment and/or testing;Water temperature;Re-circulation, aeration;Source alteration or change scheduling;Timing of use or application; and/orTemporary or permanent protection of water sources from possible contamination (e.g., sewage treatment, human habitation, heavy rains, flooding). DefinedTerm 6.7.2.2 The methods and responsibilities to maintain the safety and integrity of all aquaculture feed, veterinary and other inputs whether purchased, or produced on-site, shall be documented and implemented (i.e., feed management plan). The plan shall include: Inputs meets regulatory requirements and is managed to minimize the potential for microbiological or chemical contamination; A risk assessment, preventive controls, monitoring, verification, and corrective actions (refer to 2.4.3 food safety plan); A feed quality testing plan (refer to 2.4.4.1) to verify that it complies with the established microbiological and chemical standard or criteria; A hold system with corrective measure for use when inputs are found to be contaminated or otherwise unsuitable for use (refer to 2.4.5); and Records of production control, testing, and purchase are maintained. DefinedTerm 6.3.2 Pest Prevention DefinedTerm 6.4.5.2 Areas for meal breaks shall be designated and located away from aquaculture or feed contact/handling zones and equipment. DefinedTerm 6.7.2 Medicines and Feed DefinedTerm 6.1.1.2 Records shall be maintained for each farm site that indicates what aquacultural products have been produced and transported. DefinedTerm 6.6.2.2 In circumstances where water is treated to render it acceptable, the water shall thereafter conform to the microbiological and/or chemical standards as outlined in element 6.6.3. DefinedTerm 6.3.2.2 The pest prevention program shall:Describe the methods and responsibility for the development, implementation, and maintenance of the pest prevention program;Record pest sightings and trend the frequency of pest activity so as to target pesticide applications;Outline the methods used to prevent pest problems;Outline the methods used to eliminate pests when found;Outline the frequency with which pest status is to be checked;Include on a site map the identification, location, number, and type of pest control devices;List the chemicals used. Chemicals are required to be approved by the relevant authority and their Safety Data Sheets (SDS) made available;Outline the methods used to make staff aware of the bait control program and the measures to take when they come into contact with a bait station;Outline the requirements for personnel awareness and training in the use of pest and vermin control chemicals and baits; andMeasure the effectiveness of the program to verify the elimination of applicable pests and to identify trends.Records of pest inspections and pest applications shall be maintained. DefinedTerm 6.3.1.2 The calibration and re-calibration of equipment and devices (e.g., chemical application, measuring, testing, and inspection equipment used for feed application, chemical application, and veterinary medicines) shall be documented and implemented. A list of equipment requiring calibration shall be maintained. DefinedTerm 6.6.2 Water Treatment DefinedTerm 6.2.2.2 Chemical storage locations shall: Be compliant with national and local legislation; Be designed to ensure there is no cross-contamination between chemicals, that there is proper ventilation to the exterior, and spill control or containment (including tank capacity); Be equipped with details of purchase, appropriate and compliant labels, vendor approval, and an up-to-date inventory of all chemicals contained in and taken from the storage location; and Be equipped with employee health and safety requirements such as signage, safety data sheets, instruction, emergency wash facilities, and other labor law requirements. DefinedTerm 6.2.1.2 The design, location, and construction of pens in water bodies and ponds shall be fit for purpose and protect the living stock in expected extremes of climate or holding conditions. A risk assessment shall be conducted to ensure risks are mitigated. The design shall include the following: Meet regulatory and/or industry/national codes of practice; Provide sufficient space to enable the living stock densities to be appropriately maintained; Have minimal impact on the surrounding area and natural resources; Provide adequate oxygen and nutrient uptake for a satisfactory living environment; and Ensure signs are posted or other forms of controlled entry (refer to 6.2.1.1) that manage the entry of unauthorized persons. DefinedTerm 6.4.2.2 Personnel shall have clean hands, and hands shall be washed by all personnel: Before handling aquacultural product; Before putting on gloves; After each visit to a toilet; After using a handkerchief, handling dirty or contaminated material; After smoking, eating, or drinking; and When they become contaminated. DefinedTerm 6.8.1.2 Waste removal companies shall not pass through animal production or housing in order to removed waste streams identified in 5.8.1.1. DefinedTerm 6.2.2 Storage of Aquacultural Chemicals and Toxic Substances DefinedTerm 6.7.3.2 The persons making decisions on chemical applications, including applying chemicals, shall: Demonstrate knowledge of, and access to, information regarding chemical applications and the maximum residue limits allowable in destination markets; Use only chemicals approved for the specified aquacultural products and approved for use in the intended market; and Demonstrate competence and knowledge of chemical application. DefinedTerm 6.4.2 Sanitary Facilities and Handwashing DefinedTerm 6.3.3.2 Measures shall be in place to exclude domestic and wild animals from feed storage and aquacultural products, ponds, and/or pens. DefinedTerm 6.2.3.2 Vehicles used for the transport of feedstuff shall be adequate for this purpose and shall not be used to carry waste materials, chemicals, or other hazardous substances that could cause product contamination without thorough cleaning and inspection. DefinedTerm 6.7.1.2 Chemicals that are specifically banned for use in the country of production and intended sale shall not be purchased or stored. DefinedTerm 6.3.4.2 A schedule shall be prepared indicating the frequency of verifying the effectiveness of the cleaning of items and areas listed in 6.3.4.1 and indicating who is responsible for completing verification activities. DefinedTerm 6.3.3 Animal Control DefinedTerm 6.2.3 Farm Machinery, Living Stock Health/Feed Handling Equipment, and Utensils DefinedTerm 6.7.1.3 Suppliers of vaccines, medications, vitamins, dietary supplements, and chemicals shall be included in the approved supplier program (refer to 2.3.4) and a current inventory of all chemicals purchased and used shall be maintained (refer to 6.2.2). DefinedTerm 6.2.2.3 Product contact chemicals such as pesticides, herbicides, rodenticides, fumigants, insecticides, sanitizers, and detergents shall be stored separately and in their original containers. DefinedTerm 6.4.3 Protective Clothing DefinedTerm 6.2.1.3 All buildings used to store equipment, veterinary and nutritional chemicals, or aquacultural feed shall be designed and constructed to permit compliance to good hygiene practices and avoid product contamination. DefinedTerm 6.4.3.3 If rubber or disposable gloves are used, the operation shall have a glove-use policy, and personnel shall still adhere to the handwashing practices outlined above. DefinedTerm 6.5.1.3 The methods and responsibilities for loading, transport, and unloading of living stock and/or aquacultural products to ensure that product integrity is maintained, shall be documented and implemented. Training and supervised employee practices shall include: The inspection of vehicles or other modes of transport are clean and functional; Verification that appropriate aquacultural product handling conditions are maintained during transportation to the final destination; Prevention of cross-contamination with other hazards and spoilage; Appropriate aquacultural product rotation practices; and Records for vehicle inspection, transport conditions, and aquacultural product rotation are maintained. DefinedTerm 6.6.3.3 Water used for living stock production, mixing feeds, cleaning feed and veterinary equipment, mixing sanitizer solutions, and handwashing shall be monitored to ensure it complies with potable water microbiological and chemical standards or criteria established in the country of production and destination. The monitoring procedures shall include: A schedule indicating the location and frequency of monitoring (refer to 6.6.3.2), which shall be decided by the risk assessment, best practices within country of production, or applicable legislation; Reference to the potable water criteria or standards; List of microbiological and/or chemical testing being conducted; Reference to the approved laboratory that is accredited to ISO 17025 or equivalent; and Corrective actions that shall be undertaken if water does not meet established criteria or standards including further water treatment, other source possibilities, non-conforming aquacultural product that might be affected, or other alternative actions; and Maintaining of records for monitoring and/or corrective actions. DefinedTerm 6.3 Farm Maintenance, Cleaning, and Pest/Animal Control DefinedTerm 6.6.1.3 Water systems intended to convey aquacultural waste shall be separated from conveyances utilized to deliver water for living stock and aquacultural products. DefinedTerm 6.7.3 Chemicals DefinedTerm 6.2.3.3 Tractors and machinery driven in close proximity or directly over water bodies and ponds where living stock reside shall be fitted with drip trays to prevent contamination by grease, fuel, lubricants and oils. DefinedTerm 6.3.1.3 Equipment shall be calibrated against manufacturer, national or international reference standards, methods, and schedules. In cases where such standards are not available the site shall indicate this and provide evidence to support the calibration reference method used. DefinedTerm 6.6.3 Water Management Plan DefinedTerm 6.4.4.3 Unsupervised children shall not be permitted to enter any living stock handling, feed storage, or operations. DefinedTerm 6.4.1.3 Procedures shall be in place that specify the handling of living stock, feed, and feed contact surfaces that have been in contact with blood or other bodily fluids. DefinedTerm 6.2.1.4 Silos or other large holding containers used to store feed shall be constructed of approved materials and designed to remain dry, clean, and free from any dirt residues. They shall remain fit for purpose and in an acceptable condition to enable safe fumigation practices and prevent the invasion of pests. DefinedTerm 6.2.2.4 Bulk manure and other soil amendments shall be stored separately from animal yards, housing, crops, fields, or water sources such that contamination from run-off is avoided either by locating it a suitable distance from the yards, housing, or crops, or by utilization of other physical barriers. DefinedTerm 6.4 Personal Hygiene DefinedTerm 6.3.4 Cleaning DefinedTerm 6.4.4 Visitors DefinedTerm 6.6.3.4 Based on site risk the water shall be tested for possible contaminants (e.g., polycholorinated biphenyl, heavy metals). DefinedTerm 6.4.1.4 Personnel with exposed cuts, sores, lesions, or abrasions shall ensure that they are covered with a suitable waterproof and colored dressing. DefinedTerm 6.2.2.5 The site shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure that: Empty chemical containers are not re-used; Empty containers are labeled or rendered unusable, isolated, and securely stored while awaiting collection; and Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal by an approved vendor. DefinedTerm 6.4.5 Personnel Food, Drink, and Personal Storage DefinedTerm 6.5 Aquaculture Handling Practices and Transport DefinedTerm 6.2.1.5 Storage rooms shall be designed and constructed to allow for the separate hygienic storage of feedstuffs, veterinary chemicals, and containers and equipment used to dispense feed and veterinary chemicals. Items shall be kept separate from farm machinery, hazardous chemicals, and other toxic substances. Veterinary medicines and medical equipment shall be stored in a secure area and accessed only by authorized personnel. DefinedTerm 6.6 Water Management DefinedTerm 6.7 Medications, Aquaculture Feeds, and Chemicals DefinedTerm 6.8 Waste Disposal