Certification Manual for SQF Code

Transcription

1 SCS Glbal Services Manual Certificatin Manual fr SQF Cde Fd and Agricultural Services (SCS-FAS) 2000 Pwell Street, Ste. 600, Emeryville, CA USA main fax

2 SQF Certificatin Thank yu fr yur interest in SCS Glbal Services (SCS) Safe Quality Fd (SQF) prgram. We are pleased that yu are cnsidering SCS as yur certifier. SCS ffers fast turnarund, cmpetitive rates, attentive service and value fr yur mney. We have a dedicated team f prfessinals and skilled auditrs ready t assist yu with all yur SQF certificatin needs. The first step in pursuing certificatin will be t cmplete an SCS Applicatin lcated at: and ur SQF Inf Request fr Audit Preparatin. Upn receipt f yur applicatin and Inf Request fr Audit Preparatin, we will scpe and surce the services requested by yur cmpany and shrtly thereafter prvide yu with ur prpsal. The SQF Cde is based n HACCP methds and principles, and prvides a risk management system with reduced paperwrk and audit burdens. We recmmend that yu review the relevant Cdes (SQF Fd Safety Fundamentals (frmerly Level 1), SQF Fd Safety Cde fr Primary Prductin(frmerly Level 2), SQF Fd Safety Cde fr Manufacturing (frmerly Level 2), SQF Fd Safety Cde fr Fd Retail (frmerly Level 2), SQF Fd Safety Cde fr Strage and Distributin (frmerly Level 2), SQF Fd Safety Cde fr Manufacture f Fd Packaging (frmerly Level 2), SQF Quality Cde (frmerly Level 3), and mdules which cntain the requirements fr certificatin based n the SQF Fd Sectr Categry (FS) yu select t cmply with in rder t btain certificatin. The Mdules are fund at in dcument SQF Prgram Fd Sectr Categries. Fr example: Fr SQF Prducer/Grwer Certificatin: FS-3, Grwing and Prductin f Fresh Prduce Mdules 2: System elements and Mdule 7; GAP fr farming f plant prducts (fruit and vegetables. FS-4, Fresh Prduce and Nut Packhuse Operatins Mdules 2: System elements and Mdule 10: GMP fr pre-prcessing f plant prducts FS-5, Extensive Brad Acre Agriculture Operatins Mdules 2: System elements and Mdule 8: GAP fr farming f grains and pulses Fr SQF Manufactures/Prcessrs: FS-13, Bakery and Snack Fd Prcessing Mdules 2: System elements and Mdule 11: GMP fr prcessing f fd prducts FS-14, Fruit and Vegetable Prcessing Mdules 2: System elements and Mdule 11: GMP fr prcessing f fd prducts FS-22, Prcessing f Cereal Grains Mdules 2: System elements and Mdule 11: GMP fr prcessing f fd prducts In additin, SCS recmmends that yu review the rules fr use f the SQF Quality Shield and Lg Rules which can be fund in the relevant SQF Cde at Appendix 3 and Quality Cde at Appendix 5. ( Versin 8-0 (December 2017) SCS Glbal Services Page 1 f 8

3 In pursuing certificatin, key determinants f timely prcessing include submitting the SCS Applicatin & Inf Request fr Audit Preparatin, btaining a wrking knwledge f the SQF Cde, submitting yur dcuments fr the Desk Audit and crdinating clsely with SCS t set an n-site audit date. Our fees fr SQF certificatin are based n ur cmmitment t making certificatin services cst-effective fr all prspective clients, bth large and small. Our charges are reflective f actual wrk perfrmed, within a limited sliding scale fee structure. T prevent any ptential cnflict f interest, SCS charges fr its certificatin reviews whether r nt a certificatin is ultimately granted. This plicy ensures that there is n incentive t issue certificatins that are nt earned. Key Terms SQFI has an extensive Prgram Vcabulary dcument that can be fund at Certificatin Certificatin by a Certificatin Bdy f a Supplier s (client) SQF Systems as cmplying with the SQF Cde, as apprpriate, fllwing a Certificatin Audit, r Recertificatin, and Certify, Certifies and Certified shall have a crrespnding meaning. Certificatin Audit an Audit f a Supplier s (Client) entire SQF System, including Desk Audit, where the Prducer/Supplier f SQF Systems: a) has nt been previusly certified; r b) has been previusly certified but requires certificatin as the earlier certificatin has been revked r vluntarily discntinued by the Supplier. Certificatin Cycle-The annual perid between certificatin audits. Cntract manufacturer-facilities that are cntracted by the SQF certified supplier t prduce, prcess, pack and /r stre part f all f ne r mre prducts included in the supplier s SQF prduct scpe. In sme cases, a prduct may be manufactured interchangeably at the supplier s site and at a cntracted facility. In ther cases, a cntract manufacturer may nly be used intermittently t fulfill r supplement the supplier s prductin. Cntract Manufacturers must fllw the requirements utlined in the SQF Cde. Crrective Actin Plan (CAP) Plan prepared by the client n hw t reslve nn-cnfrmities. Desk Audit - A review f a Supplier s (client) SQF System dcumentatin, part f and the initial stage f the Certificatin Audit. A desk audit ensures the system dcumentatin substantially meets the requirements f the SQF Cde, as apprpriate. Exempt-A term applied t elements f the SQF Cde that the supplier des nt wish t be included in the SQF System assessment, and has submitted a written request t the certificatin bdy t exclude, prir t cmmencement f any scheduled audit activity, Mandatry elements in Mdule 2 cannt be exempted. The certificatin bdy may cnfirm the reasns fr exemptin during the facility audit. Versin 8-0 (December 2017) SCS Glbal Services Page 2 f 8

4 HACCP Methd - Implementatin f the Pre-requisite Prgrams and the applicatin f HACCP Principles in the lgical sequence f the 12 steps as described in the current editin f the CODEX Alimentarius Cmmissin Guidelines, r the current editin f the HACCP guidelines develped and managed by the NACMCF. The SQF Cde and the SQF Cdes use the HACCP methd t cntrl fd safety and ther quality hazards in the segment f the fd chain under cnstructin. High-risk Prcess-A facility r segregated rm r area that requires specific cntrls and/r a higher level f hygienic practice t prevent fd cntaminatin. Nn-Cnfrmity - A failure t meet the requirements f the Standard. Nn-cnfrmities are divided int three types; minr, majr and critical. Re-Certificatin Audit - an audit f a Supplier s (client) SQF System within 30 days f the anniversary f the certificatin. Scpe f Certificatin Outlines the Fd Sectr Categries and thse Prducts t be cvered by the Certificate f Registratin. Surveillance Audit - means a six mnthly Audit (r mre frequently as determined by the Certificatin Bdy (SCS)) f part f a Supplier s SQF System where that system has previusly been Certified r Re- Certified and whse Certificatin is current. Multi-site Certificatin requires Surveillance Audits every six mnths at a minimum. SQF Practitiner-Whether r nt an SQF cnsultant is used, the SQF Cde requires that every supplier have a suitably qualified SQF Practitiner n site t versee the develpment, implementatin, review and maintenance f the SQF System, including the fd safety fundamentals, fd safety plans (at level 2) and fd quality plans (at level 3). Multi-Sites - Multi-site prgram. Multi-site certificatin invlves an entity certified t the SQF Cde (i.e. manufacturer, packer, warehuse), r eligible fr such certificatin, that has a netwrk f primary supplier sub-sites that are eligible fr certificatin t the SQF Cde and are all invlved in the same lw risk activity. The central site and all sub-sites are all lcated in the ne cuntry and perate under the same fd safety legislatin. N/A-Stands fr nt applicable and may be reprted during the audit by the auditr when an element des nt apply immediately but the facility is still respnsible fr the element. N/A may als be reprted t avid duble debiting, e.g. where a nn-cnfrmity has been raised against a similar, but mre apprpriate element. In this case, the element will be reprted as N/A. Unannunced Audit-A re-certificatin audit that is cnducted nce within every three certificatin cycles and thirty (30) days either side the recertificatin audit date withut prir ntice t the SQF certified facility. Versin 8-0 (December 2017) SCS Glbal Services Page 3 f 8

5 SQF Cde (Fd Safety) Certificatin Prgram Prcess Diagram Applicatin Stage New Applicant is prvided with a SQF applicatin. Applicant returns the cmpleted applicatin t SCS. SCS reviews the applicatin and sends a Wrk Order with an estimated fee. New Applicant signs Wrk Order and returns it t SCS. SCS sends New Applicant the fllwing: SCS Prfessinal Services Agreement SQF Certificatin Manual New Applicant returns the signed SCS Prfessinal Services Agreement t SCS. SCS issues and Invice fr 50% f the audit fee. All dcumented prcedures and plicies prvided fr review fr SQF desk audit. Evaluatin and Reprting Stage A Desk Audit is cnducted (see key terms fr definitin). Based n the audit SCS determines the feasibility f mving frward tward Certificatin. Certificatin Audit (see key terms fr definitin) - Audit f Client s whle SQF System, Desk Audit included. - SQF auditr cnducts n-site inspectin (annunced r unannunced), which includes; reviewing dcuments, evidence gathering, and interviews. - SQF auditr prvides the Client with a Nn-Cnfrmance Summary Sheet with critical, majr, and minr nn-cnfrmities identified, if applicable, during the clsing meeting. - Client cmmits t a timetable t crrect minr, majr, and critical Crrective Actin (CARS). - SQF accredited auditr prepares the reprt f findings. Versin 8-0 (December 2017) SCS Glbal Services Page 4 f 8

6 SQF Cde (Fd Safety) Certificatin Prgram Prcess Diagram (cnt.) Certificatin Decisin Stage SCS issues certificatin decisin and prvides Client with certificatin infrmatin and dcumentatin. Certificatin status is lgged n SQFI website. Re-Certificatin Audit Re-Certificatin audit (see key terms fr definitin) cnfirmed (via Wrk Order) and cnducted; Audit Reprt prepared by SQF accredited auditr. Surveillance Audit Multi-site rganizatin r a site receiving a C rating shall be subject t a 6 mnthly surveillance audit (see key terms fr definitin). In additin, Surveillance audit cnfirmed (via Wrk Order) and cnducted six mnths (r mre frequently based n findings) after certificatin decisin has been made by SQF accredited auditr. Certificatin Prcess Applicants enter int a 3-stage certificatin prcess, the Applicatin Stage, Evaluatin and Reprting Stage, and Certificatin Decisin Stage. Applicatin Stage: During the Applicatin Stage, the SCS Applicatin Frm is cmpleted and submitted. Cmpleted frm can be ed, mailed r faxed. Upn receipt f the SCS Applicatin Frm, SCS will prvide the Applicant with a Wrk Order and an estimated fee and the SCS Prfessinal Services Agreement. Applicant signs and returns bth dcuments. SCS issues an invice fr 50% f the audit fee. Client must remit payment befre evaluatin can prceed. The SQF Applicatin Frm must be cmpleted and returned t SCS prir t the audit. Evaluatin and Reprting Stage: Fr Clients entering the Evaluatin and Reprting Stage, a Certificatin Audit will be scheduled. The Certificatin Audit will include bth a Desk Audit (Off-Site) and an On-Site Inspectin, Internal Audit: The Client must cnduct an internal audit using the relevant SQF Self- Assessment Checklist. Desk Audit (r Dcument Review Audit): This audit is cnducted ffsite. The Client must submit pertinent fd safety dcuments t SCS. Please review the SQF Standard t learn mre abut the SQF desk audit and the certificatin prcess. See Part A sectin 2 f the Versin 8-0 (December 2017) SCS Glbal Services Page 5 f 8

7 relevant SQF Cde. SCS shall ntify Client f crrectins r crrective actins, necessary. The nsite certificatin audit cannt begin until all crrectins r crrective actin fr majr and minr nn-cnfrmities frm the dcument review part f the audit have been clsed ut and apprved by SCS. On-Site Inspectin: SCS will wrk with the client t schedule the n-site Certificatin Audit. An Audit Plan will be sent by SCS prir t the inspectin after all majr, and/r minr nncnfrmities are clsed. Unannunced Recertificatin Audit: Within three (3) certificatin cycles the certificatin bdy shall cnduct ne (1) unannunced re-certificatin audit f the supplier. The unannunced audit shall ccur in the supplier s facility within the sixty (60) day recertificatin windw (i.e., the anniversary date f the initial certificatin audit +/- thirty (30) days). Currently certified SQF suppliers shall be required t undertake ne (1) unannunced audit within the three (3) year certificatin cycle. i. The supplier s certificatin cycle begins with the initial certificatin audit date. Unannunced re-certificatin audits shall ccur nce in every three (3) certificatin cycles. ii. Unannunced audits shall nt be cnducted n the initial certificatin audit r n a surveillance audit. iii. If a supplier changes certificatin bdies, the supplier s unannunced recertificatin audit schedule shall nt change. iv. The unannunced re-certificatin audit shall fllw the prtcl under the SQF Cde, Part A, sectin 4.3 and 4.4. v. Multi-site suppliers are exempted frm unannunced audits. vi. The date f the unannunced audit shall be determined by the certificatin bdy within the 60 day re-certificatin audit windw. The unannunced audit year shall be determined between the supplier and certificatin bdy. vii. A defined blackut perid shall be established by negtiatin between the supplier and their certificatin bdy that prevents the unannunced recertificatin audit frm ccurring ut f seasn r when the facility is nt perating fr legitimate business reasns. viii. Immediate suspensin f the supplier certificate will ccur in facilities that refuse entry t the auditr fr an unannunced audit. Certificatin Decisin Stage: During the Certificatin Decisin Stage, the SCS auditr prepares a reprt f findings at the time f the inspectin, validating the criteria that have been met and identifying areas where additinal wrk is needed under a series f nn-cnfrmities. (Refer t the Evaluatin f Findings Addendum at the end f this dcument fr a prcess flw chart.) Versin 8-0 (December 2017) SCS Glbal Services Page 6 f 8

8 The SCS auditr cmpletes the audit checklist and nn-cnfrmance summary sheet where details f crrective actins and types f nncnfrmities are dcumented. Nncnfrmities may be minr, majr and critical, requiring a timeframe fr crrectin. The Client prepares the Crrective Actin Plan (CAP). The Final Decisin t issue new Certificatin, extend an existing Certificatin, r deny/suspend/revke an existing Certificatin is made by SCS. Fr Fd Safety Fundamentals, Fd Safety Cde, and Quality Cde: The SQFI Lg shall be issued. Fr Quality Cde: The SQFI Quality Shield shall be used. Suppliers cnsent t have their certificatin r registratin details displayed n the SQFI website. Maintaining Certificatin & Audit Frequency T maintain certificatin, a Client is required t attain a C (Cmply) Audit rating r greater, ensure the number and type f nncnfrmities detected during the Audit des nt exceed the threshld level and ensure all nncnfrmities are crrected within the timeframe specified. Audit Frequency is determined by the Client s SQF System rating and the type/number f nncnfrmities detected during a Certificatin r Re-Certificatin Audit. Refer t sectin 3.3 Audit Scre and Rating f the SQF Cde fund at: Generally, SQF Re-Certificatin Audits are cnducted annually. A 60 day perid (30 days either side f the initial date f certificatin) is prvided t allw SCS t cmplete the audit. Befre Re-Certificatin, the Client is required t crrect any nn-cnfrmances fund during the audit and SCS shall clse ut the nncnfrmances and pst the Client s certificatin details n the SQFI database. This audit verifies the cntinued effectiveness f the Client s SQF System in its entirety. The Re-Certificatin Audit shall prvide fr a review f past perfrmance f the SQF System and is cnducted annually n the anniversary date f the issue f the initial Certificatin. Ntificatin f Prduct Recalls and Regulatry Infringements: Upn identificatin that a certified supplier initiates a fd safety event that requires public ntificatin (such as Class l r Class ll recall), the supplier shall ntify the certificatin bdy and the SQFI in writing at fdsafetycrisis@sqfi.cm within twenty-fur (24) hurs f the event. The supplier s selected certificatin bdy and the SQFI shall be listed in the supplier s essential cntacts lists as defined in mdule 2, element f the SQF Cde. The certificatin bdy shall ntify the SQFI within a further frty-eight (48) hurs f any actin they intend t take t ensure the integrity f the certificatin. Versin 8-0 (December 2017) SCS Glbal Services Page 7 f 8

9 Change f Ownership: When a certified supplier s business has been sld and the business name is retained, the new wner shall, within thirty (30) calendar days f the change f wnership, ntify the certificatin bdy and apply t retain the SQF certificatin and the existing certificatin number. In such cases, the certificatin bdy is required t cmplete a full facility audit. In cases where the wnership f a certified supplier changes but the staff with majr respnsibility fr the management and versight f the SQF System has been retained, the certificatin bdy may retain the existing audit frequency status. In making this applicatin, the certificatin bdy shall determine that staff with majr respnsibility fr the management and versight f the SQF System has been retained thrugh cnfirmatin by site audit within sixty (60) days f change f wnership. If there are significant changes in site management and persnnel, the certificatin bdy shall cmplete a certificatin audit and issue a new certificate f registratin and a new certificatin number. The audit frequency applicable t a new certificatin shall apply. Relcatin f Premises: When a certified supplier relcates the business premises, the supplier s certificate f registratin is n lnger valid until a successful re-certificatin f the new premises is cnducted. Rights & Respnsibilities SCS Clients have a right t nn-discriminatry plicies and prcedures. Prcedures shall nt be used t impede r inhibit access t applicants. SCS shall make its services available t all applicants whse activities fall within ur declared field f peratin. Access shall nt be cnditinal upn the size f the Client s peratins, nr shall certificatin be cnditinal upn the number f certificates already issued. The criteria against which the prductin r handling practices f a Client are evaluated shall be thse utlined in the specified Standard. SCS shall cnfine requirements, evaluatin and decisin n certificatin t matters specifically related t the scpe f the certificatin scheme(s) being cnsidered. SCS reserves the right t suspend, withdraw r terminate certificates. Reasns fr suspensin, withdrawal and terminatin include, but are nt limited t: unwillingness r inability t crrect nncnfrmities, unwillingness r inability t meet financial r cntractual arrangements; misusing r damaging the integrity f the SCS r relevant trademarks; intentinal vilatin f requirements; r assciatin with fraud. Fr a cmplete descriptin f rights and respnsibilities please refer t the SCS Prfessinal Services Agreement. Fr additinal infrmatin cncerning SCS Client rights and respnsibilities, please visit: Versin 8-0 (December 2017) SCS Glbal Services Page 8 f 8