SQF-食品安全--质量-Eng-第9版.pdf

Quality CodeEdition 9SQF Quality Code,Edition 9 2About SQFISQFI is a division of FMI,established to administer the SQF Program,a leading,global food safety,and quality certification and management system.Our mission is to deliver consistent,globally-recognized food safety and quality certification programs based on sound scientific principles,applied across all industry sectors and valued by all About FMIAs the food industry association,FMI works with and on behalf of the entire industry to advance a safer,healthier and more efficient consumer food supply chain.FMI brings together a wide range of members across the value chain from retailers that sell to consumers,to producers that supply food and other products,as well as the wide variety of companies providing critical services to amplify the collective work of the industry.www.fmi.orgCopyright 2020 FMI All rights reserved.This publication may not be reproduced,stored in any information or retrieval system or transmitted in whole or part,in any form or by any meanselectronic,mechanical,photocopying,recording or otherwisewithout the express written permission of FMI.For permission contact FMI at www.fmi.org,or 2345 Crystal Drive,Suite 800,Arlington,VA,22202,USA.Care should be taken to ensure current edition of the Code is used and that material be updated whenever the Code is amended or revised.The date of the Code should be clearly identified in materials.First Printed May 1995.SQF Code,Edition 9 improvement suggestions are encouraged from all parties.Written comments should be sent to SQFI at 2345 Crystal Drive,Suite 800,Arlington,VA,22202,USA.SQF Quality Code,Edition 9 3SQFIOne World.One Standard.Globalization has revolutionized the food supply chain.This globalization has brought many companies a whole world of opportunities but also more risks.Consumers and retailers are demanding the highest levels of safety,quality,and responsibility from companies.They expect companies to follow all the stringent industry and regulatory standards.The SQF(Safe Quality Food)Institute is your trusted partner to achieve universal recognition of the safety and quality of your products,services,and processes.At SQFI,our goal is always food safety and quality and we are dedicated to writing a rigorous standard and developing comprehensive training,cohesive guidance materials,and free educational resources to help you along the way.Success does not happen in a vacuum,and neither does food safety.Together,we can help to build a safer supply chain,one food producer at a time.SQF Code Edition 9SQFI has updated the SQF Code from Edition 8.1 to Edition 9 to:1.Consolidate requirements to create a simpler,more streamlined experience without a negative impact on standard integrity.2.Meet updated GFSI requirements for implementation beyond 2020.SQF Edition 9 comes with several enhancements and improvements to the Code structure,methodology,and technical requirements.From dietary supplements to pet food,several primary and manufacturing industries now have dedicated Codes to provide a more specific set of requirements and risk assessment for each.All enhancements made to the SQF Codes are to build a better overall audit experience that adds even more value to SQF certification.The SQFI CommitmentSQF certification assesses and assures the implementation of a sites food safety and quality plan and confirms the site has the necessary tools and training to manage food safety and quality.A sites achievement of SQF food safety certification indicates a commitment to:1.Produce safe,quality food.2.Comply with the requirements of the SQF Code.3.Comply with applicable food legislation.By implementing an SQF Food Safety Management System,sites become equipped to address a buyers food safety and quality requirements.The SQF Code provides a solution for businesses supplying local and global food markets.Products produced and manufactured via the SQF Code certification process retain a high degree of acceptance in global markets,benefiting both certified sites and their customers.SQF Quality Code,Edition 9 4About the SQF ProgramThe SQF Program was first developed in Australia in 1995 and has been owned and managed by FMI,The Food Industry Association,since 2003.In 2004,GFSI first recognized our standard as one that meets its benchmark requirements.SQFI VisionTo be the single most trusted source for global food safety and quality certification.SQFI Mission Our mission is to deliver consistent,globally-recognized food safety and quality certification programs based on sound scientific principles,applied across all industry sectors and valued by all stakeholders.Contact SQFIAt SQFI,we incorporate retailer and stakeholder feedback to address the many global food safety,and quality issues society faces every day.We recognize pursuing a certification program for your business is a big commitment regardless of your food safety and quality experience levels.Visit for the SQF certified site directory,SQF guidance,tip sheets and checklists,training opportunities,tools to find a certification body and to register in the SQFI assessment database.The SQFI assessment database is an audit management and data capture solution developed to contain costs and improve the efficiency and effectiveness of food safety audits.This innovative technology represents significant progress in how audit data is captured,managed and made available,and sets the SQF program apart from other similar GFSI programs.Customer Service |202-220-0635|1-877-277-2635Database Assistance Compliance Disclaimers Certification of a sites SQF System by a Safe Quality Food Institute licensed certifying body does not guarantee a sites product safety or constant adherence to all food safety regulations.This reference document is published in English and is available in several other languages.If the translated content differs,the original English version is to be referenced for final interpretation.Feel free to use the Glossary included in the Appendix for further context and clarification of terminology used in this document.SQF Quality Code,Edition 9 5ContentsPART A:Implementing and Maintaining the SQF Quality Code.7A1:Which SQF Code Is Right for You?.8A2:Steps to Achieving SQF Quality Certification(steps 1 10).10Step 1:Register on the SQFI Assessment Database.12Step 2:Designate an SQF Quality Practitioner.122.1 Training(optional).12Step 3:Determine the Scope of Certification.133.1 Exemptions.13Step 4:Document Your SQF Quality System.144.1 Applicable Elements.14Step 5:Implement Your SQF Quality System.14Step 6:Pre-assessment Audit(optional).14Step 7:Select a Certification Body.157.1 Select the SQF Quality Auditor.15Step 8:The Initial Quality Certification Audit .168.1 Audit Duration.178.2 Corporate Audits.17Step 9:Audit Reporting and Close-out.179.1 Deviations .189.2 Audit Score.189.3 Reviewed Audit Report.189.4 Corrective Actions.19Step 10:Granting Quality Certification.1910.1 Quality Certificate Issue.2010.2 SQF Quality Shield.2010.3 Failure to Comply.2110.4 Appeals and Complaints.21A3:Maintaining Your SQF Certification(steps 11-15).22Step 11:Quality Re-certification.2211.1 Re-certification Audits.2211.2 Variations from the Initial Certification Process.2311.3 Unannounced Audits.23Step 12:Surveillance Audits.23Step 13:Suspending Quality Certification.2313.1 Reporting Suspension.2313.2 Corrective Action Following Suspension.24Step 14:Withdrawing Quality Certification.25Step 15:Changes to Site SQF Requirements.2515.1 Temporary or Permanent Change of Audit Dates.2615.2 Changing the Scope of Certification.26SQF Quality Code,Edition 9 615.3 Changing the Certification Body.2615.4 Relocation of Premises.2715.5 Change of Business Ownership.2815.6 Language Used During the Audit.2815.7 The SQFI Compliance and Integrity Program.28PART B:The SQF Quality Code.292.1 Management Commitment.302.2 Document Control and Records.322.3 Specifications,Formulations,Realization,and Supplier Approval.332.4 Food Quality System.352.5 Quality System Verification .392.6 Product Identification,Traceability,Withdrawal,Recall,and Crisis Management.392.7 Food Fraud.402.8 Identity Preserved Foods.402.9 Training.41APPENDIX 1:SQF Food Sector Categories.43APPENDIX 2:Glossary.52APPENDIX 3:SQF Logo Rules of Use.66APPENDIX 4:Quality Shield Rules of Use.68SQF Quality Code,Edition 9 7PartAImplementing and Maintaining the SQF Quality CodePART A:Implementing and Maintaining the SQF Quality CodeSQF Quality Code,Edition 9 8A1:Which SQF Code Is Right for You?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 .Before embarking on the SQF journey,sites are encouraged to download and review the SQF code that best fits their needs.Food Safety FundamentalsSQF Fundamentals for Primary Production-BasicAll Primary food sector categories(FSCs)SQF Fundamentals for Primary Production IntermediateAll Primary food sector categories(FSCs)SQF Fundamentals for Manufacturing-BasicAll Manufacturing and Storage and Distribution food sector categories(FSCs)SQF Fundamentals for Manufacturing IntermediateAll Manufacturing and Storage and Distribution food sector categories(FSCs)HACCP-based Food Safety Codes*Denotes SQF Food Safety Codes that are GFSI benchmarkedPrimary ProductionThe SQF Food Safety Code:Primary Animal Production*FSC 1:Production,Capture,and Harvesting of Livestock and Game Animals,and ApicultureThe SQF Food Safety Code:Primary Plant Production*FSC 2:Indoor Growing and Harvesting of Fresh Produce and Sprouted Seed Crops(NEW!)FSC 3:Growing and Production of Fresh Produce and NutsFSC 4:Fresh Produce,Grain,and Nut Packhouse OperationsFSC 5:Extensive Broad Acre Agricultural OperationsThe SQF Food Safety Code:Aquaculture FSC 6:Intensive Farming of SeafoodPART A:Implementing and Maintaining the SQF Quality CodeSQF Quality Code,Edition 9 9ManufacturingThe SQF Food Safety Code:Food Manufacturing*FSC 10:Dairy Food ProcessingFSC 11:Honey ProcessingFSC 12:Egg ProcessingFSC 13:Bakery and Snack Food ProcessingFSC 14:Fruit,Vegetable,and Nut Processing,and Fruit JuicesFSC 15:Canning,UHT,and Aseptic OperationsFSC 16:Ice,Drink,and Beverage Processing FSC 17:Confectionery ManufacturingFSC 18:Preserved Foods ManufacturingFSC 19:Food Ingredient ManufacturingFSC 20:Recipe Meals ManufacturingFSC 21:Oils,Fats,and the Manufacturing of Oil or Fat-based SpreadsFSC 22:Processing of Cereal GrainsFSC 25:Repackaging of Product Not Manufactured On-site FSC 33:Food Processing Aides ManufacturingThe SQF Food Safety Code:Animal Product Manufacturing*FSC 7:Slaughtering,Boning,and ButcheryFSC 8:Manufactured Meats and PoultryFSC 9:Seafood ProcessingThe SQF Food Safety Code:Dietary Supplements Manufacturing*FSC 31:Dietary Supplements ManufacturingThe SQF Food Safety Code:Pet Food Manufacturing*FSC 32:Pet Food ManufacturingThe SQF Food Safety Code:Animal Feed Manufacturing*FSC 34:Animal Feed ManufacturingFood PackagingThe SQF Food Safety Code:Manufacture of Food Packaging*FSC 27:Manufacture of Food PackagingStorage and DistributionThe SQF Food Safety Code:Storage and Distribution*FSC 26:Storage and DistributionRetailThe SQF Food Safety Code:Food RetailFSC 24:Food RetailingFoodserviceThe SQF Food Safety Code:FoodserviceFSC 23:Food Catering and Foodservice HACCP-based Food QualityQualityThe SQF Quality CodeApplies to all GFSI-recognized and equivalent standards and other Food Safety Management Standards including HACCP certification and ISO 22000PART A:Implementing and Maintaining the SQF Quality CodeSQF Quality Code,Edition 9 10A2:Steps to Achieving SQF Quality Certification(steps 1 10)The SQF Quality Code builds on the system elements defined in the various SQF Food Safety Codes.Sites seeking to attain certification to the SQF Quality Code must be certified to the applicable SQF Food Safety Code for their industry sector.The SQF Quality Code does not apply to sites certified to SQF Food Safety Code:Retail or SQF Food Safety Code:Foodservice.However,Edition 9 of the SQF Quality Code can also be applied as a food quality certification to any food or feed manufacturing or storage site certified to a GFSI-recognized certification program,any GFSI technically equivalent standard or other food safety management standard(FSMS)including HACCP certification or ISO 22000:2018.The SQF Quality Code sets out the implementation,maintenance,and technical requirements for sites seeking to apply quality management principles to their operations.Part A(this part)sets out the steps you need to take to implement and maintain certification to the SQF Quality Code,andPart B is the auditable standard.It details the SQF Quality elements that must be met to achieve certification.If you are in a site management or technical role and are responsible for implementing the requirements of the SQF Quality Code,you can learn how to get started and implement your SQF System in several ways.SQFI has an online“Implementing SQF Quality Systems”training course,which can be accessed from .It is a web-based education tool where you can enroll and complete SQF Quality Systems training in your own time and at your own pace.An“Implementing SQF Quality 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 .Although training is recommended,you can train yourself by downloading the SQF Quality Code from free of charge and applying it to your industry sector,site,and processes.Your management may choose to utilize the services of a registered SQF consultant.All SQF consultants are registered by SQFI to work in specific food sector categories(FSCs)and are issued with an identification card indicating the FSCs in which they are registered.The criteria outlining the requirements necessary to qualify as an SQF consultant and the application forms are available at .The SQF Consultant Code of Conduct outlines the practices expected of SQF consultants.A guidance document is available for the SQF Quality Code from .This document can help you interpret the requirements of the SQF Code and assist with documenting and implementing an SQF System.The guidance document is available to assist you but is not an auditable document.Where there is a divergence between the guidance document and the SQF Quality Code,the SQF Code prevails.PART A:Implementing and Maintaining the SQF Quality CodeSQF Quality Code,Edition 9 11The steps in achieving SQF certification are as follows:Step 1:Register on the SQFI Assessment DatabaseStep 2:Designate an SQF Quality Practitioner2.1 Training(optional)Step 3:Determine the Scope of Certification3.1 ExemptionsStep 4:Document your SQF System4.1 Applicable ElementsStep 5:Implement your SQF SystemStep 6:Pre-assessment Audit(optional)Step 7:Sel