Clause

Opening Meeting

Closing Meeting

Facility Description

Auditor
Recommendation

2.1
2.1.1
2.1.1.1
2.1.1.2

2.1.1.3

2.1.1.4

2.1.1.5
2.1.1.6

2.1.1.7

2.1.1.8

2.1.2
2.1.2.1

2.1.2.2

2.1.3
2.1.3.1
2.1.3.2
2.1.3.3
2.2
2.2.1
2.2.1.1
2.2.1.2
2.2.2
2.2.2.1
2.2.3
2.2.3.1
2.2.3.2
2.2.3.3
2.3
2.3.1
2.3.1.1
2.3.1.2
2.3.1.3
2.3.1.4
2.3.1.5
2.3.1.6
2.3.2
2.3.2.1
2.3.2.2
2.3.2.3
2.3.2.4
2.3.2.5
2.3.2.6
2.3.2.7
2.3.2.8
2.3.2.9
2.3.2.10
2.3.3
2.3.3.1
2.3.3.2
2.3.3.3
2.3.3.4
2.3.4
2.3.4.1
2.3.4.2
2.3.4.3
2.3.4.4
2.3.4.5
2.3.4.6
2.4
2.4.1
2.4.1.1
2.4.1.2
2.4.1.3
2.4.2
2.4.2.1
2.4.2.2
2.4.3
2.4.3.1
2.4.3.2
2.4.3.3
2.4.3.4
2.4.3.5
2.4.3.6
2.4.3.7
2.4.3.8
2.4.3.9
2.4.3.10
2.4.3.11
2.4.3.12
2.4.3.13
2.4.3.14
2.4.3.15
2.4.3.16
2.4.3.17
2.4.4
2.4.4.1
2.4.4.2
2.4.4.3
2.4.4.4
2.4.4.5
2.4.4.6
2.4.5
2.4.5.1
2.4.5.2
2.4.6
2.4.6.1
2.4.7
2.4.7.1
2.4.7.2
2.4.7.3
2.4.8
2.4.8.1
2.4.8.2
2.4.8.3
2.5
2.5.1
2.5.1.1
2.5.2
2.5.2.1
2.5.2.2
2.5.3
2.5.3.1
2.5.3.2
2.5.4
2.5.4.1
2.5.4.2
2.5.4.3
2.5.4.4
2.6
2.6.1
2.6.1.1
2.6.1.2
2.6.2
2.6.2.1
2.6.3
2.6.3.1
2.6.3.2
2.6.3.3
2.6.3.4
2.6.4
2.6.4.1
2.6.4.2
2.7
2.7.1
2.7.1.1
2.7.1.2
2.7.1.3
2.7.1.4
2.7.2
2.7.2.1
2.7.2.2
2.7.2.3
2.7.2.4
2.8
2.8.1
2.8.1.1
2.8.1.2
2.8.2
2.8.2.1
2.9
2.9.1
2.9.1.1
2.9.1.2
2.9.2
2.9.2.1
2.9.2.2
2.9.2.3
Pet Food Manufacturing E
Item
People Present at the Opening Meeting (Please list names and roles in the following
format Name: Role separated by comas)
People Present at the Closing Meeting (Please list names and roles in the following format
Name: Role separated by comas)
Auditor Description of Facility (Please provide facility description include # of employees,
size, production schedule, general layout, and any additional pertinent details

Auditor Recommendation

SQF System Elements for Food Manufacturing

Management Commitment
Management Responsibility (Mandatory)
Senior site management shall prepare and implement a policy statement that outlines at
a minimum the commitment of all site management to:

i. Supply safe pet food;

ii. Establish and maintain a food safety culture within the site;
iii. Establish and continually improve the site’s food safety management system; and
iv. Comply with customer and regulatory requirements to supply safe pet food.

The policy statement shall be:

i. Signed by the senior site manager and displayed in prominent positions; and
ii. Effectively communicated to all site personnel in language(s) understood by all site
personnel.
Senior site management shall lead and support a food safety culture within the site that
ensures at a minimum:

i. The establishment, documentation, and communication to all relevant staff of food

safety objectives and performance measures;
ii. Adequate resources are available to meet food safety objectives;
iii. Food safety practices and all applicable requirements of the SQF System are adopted
and maintained;
iv. Staff are informed and held accountable for their food safety and regulatory
responsibilities;
v. Staff are positively encouraged and required to notify management of actual or
potential food safety issues; and
vi. Staff are empowered to act to resolve food safety issues within their scope of work.

The reporting structure shall identify and describe site personnel with specific
responsibilities for tasks within the food safety management system and identify backup
for absence of key personnel. Job descriptions for the key personnel shall be documented.

Site management shall ensure departments and operations are appropriately staffed and
organizationally aligned to meet food safety objectives.

Senior site management shall designate a primary and substitute SQF practitioner for
each site with responsibility and authority to:

i. Oversee the development, implementation, review, and maintenance of the SQF

System;
ii. Take appropriate action to ensure the integrity of the SQF System; and
iii. Communicate to relevant personnel all information essential to ensure the effective
implementation and maintenance of the SQF System.

The primary and substitute SQF practitioner shall:

i. Be employed by the site;

ii. Hold a position of responsibility in relation to the management of the site’s SQF System;
iii. Have completed a HACCP training course;
iv. Be competent to implement and maintain HACCP-based food safety plans; and
v. Have an understanding of the SQF Food Safety Code: Pet Food Manufacturing and the
requirements to implement and maintain an SQF System relevant to the site’s scope of
certification.
Senior site management shall ensure the training needs of the site are resourced,
implemented, and meet the requirements outlined in system element 2.9 and that site
personnel meet the required competencies to carry out those functions affecting the
legality and safety of pet food products.

Senior site management shall ensure the integrity and continued operation of the food
safety system in the event of organizational or personnel changes within the company or
associated facilities.
Senior site management shall designate defined blackout periods that prevent
unannounced re-certification audits from occurring out of season or when the site is not
operating for legitimate business reasons. The list of blackout dates and their justification
shall be submitted to the certification body a minimum of one (1) month before the sixty
(60) day re-certification window for the agreed-upon unannounced audit.

Management Review (Mandatory)

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

i. Changes to food safety management system documentation (policies, procedures,

specifications, food safety plan);
ii. Food safety culture performance;
iii. Food safety objectives and performance measures;
iv. Corrective and preventative actions, and trends in findings from internal and external
audits, customer complaints, and verification and validation activities;
v. Hazard and risk management system; and
vi. Follow-up action items from previous management review.

Records of all management reviews and updates shall be maintained.

The SQF practitioner(s) shall update senior site management on at least a monthly basis
on matters impacting the implementation and maintenance of the SQF System. The
updates and management responses shall be documented.
Complaint Management (Mandatory)
The methods and responsibility for handling, investigating, and resolving food safety
complaints
Adverse fromofcommercial
trends customers,
customer complaint consumers,
data and authorities,
shall be investigated and arising
analyzedfrom
andpet
thefood
manufactured
root cause and
Corrective or handled
established on-site or
by personnel
preventative co-manufactured,
knowledgeable
action shall be implemented shall be
aboutbased documented
the incidents. and
on the seriousness of the
implemented.
incident
Document andControl
the root and
cause analysis as outlined in 2.5.3. Records of customer complaints,
Records
their investigation, and resolution
Food Safety Management System shall(Mandatory)
be maintained.
The methods and procedures the site uses to meet the requirements of the SQF Food
Safety Code:plans,
Food safety Pet Food
Good Manufacturing
Manufacturing shall be maintained
Practices, in electronic
and all relevant and/or
aspects hard
of the copy
SQF
documentation.
System
Document be It
shallControlwill (Mandatory)
be made
reviewed, available
updated, to relevant staffasand
and communicated include:
needed when any changes
implemented
The methods and haveresponsibility
an impact onfor the site’s ability
maintaining to delivercontrol
document safe pet food.
and ensuring staff have
access to current requirements and instructions shall be documented and implemented.
Records (Mandatory)
The methods, frequency, and responsibility for verifying, maintaining, and retaining
records
All records shall be be
shall documented
legible andand implemented.
confirmed by those undertaking monitoring activities that
demonstrate inspections, analyses,
Records shall be readily accessible, retrievable, and other essential activities
and securely thattohave
stored been
prevent
completed.
unauthorized
Specification, access, loss, damage,
Formulations, and deterioration.
Realization, Retention
and Supplier periods shall be in
Approval
accordance with customer,
Product Formulation andlegal, and regulatory requirements, at minimum the product
Realization
shelf-life
The methods and responsibility for ifdesigning
or established by the site no shelf-lifeandexists.
developing new product formulations
and converting product concepts to commercial
New product formulations, manufacturing processes, and the realization shall be documented
fulfillment of product and
implemented.
requirements
A food safety plan shallshall
be established,
be validated validated,
and verified and byverified
the site by food
site trials
safetyand
team product
for each
testing
new
Product as
product required
and itsto
formulations ensure
associated
and product
process
manufacturing safety.
through
processes conversion
for productsto commercial
included inproduction
the scope and of
distribution,
certification
The or
process shall where
flowsbe a change
forreviewed
all new and to
when ingredients, process,
there manufacturing
existing or packaging
are changes in processes
materials, shall occurs
ingredients,that
be designed may
or to
impact
equipment.
ensure that
Records food safety.
productdesign,
of product is manufactured
formulations, to approved product formulations
label compliance, process flows, and to prevent
shelf life trials,
cross-contamination.
and approvals for
Specifications all new
(Raw and existing
Material, productsFinished
Packaging, shall be maintained.
Product and Services)
The methods and responsibility for developing, managing, and approving raw material,
finished product,
Specifications for and
all rawpackaging
materials specifications
and packaging, shallincluding,
be documented.but not limited to,
ingredients,
All raw materials,additives, hazardous
packaging, and chemicals,
ingredients,processing aids, and
including those packaging
received that impact
from other sites
finished
Raw product
undermaterials, safety
the samepackaging, shall
corporate ownership,be documented
and ingredients shall shalland
comply kept
be with current.
specifications
validated to ensureand with the
product safety is
relevant
not legislation
compromised andin the
the country
material of
ismanufacture
fit for its and
intended country
Site management shall require approved raw materials suppliers to notify the site of purpose. of destination, if known.
changes
Verification in product
of packaging composition that could have an impact on product formulation (e.g.
shall include:
protein
Finishedcontent,
productmoisture,
labels shall amino acid profiles,
be accurate, comply contaminant levels, tolerance
with the relevant legislation, levels,
and be
and/or
approved otherby parameters
qualified that
company may be variable
personnel. by crop or
Description of services for contract service providers that have an impact on product by season).
safety
Finished shall be documented,
product specifications current,
shall be include a full description
documented, of the service
current, approved by the to site
be and
provided,
their
Specifications and detail
customer, for rawrelevant
accessible training
to relevant
materials requirements ofinclude,
staff, and chemicals,
and packaging, shall all contract where
processing personnel.
applicable:
aids, contract
services,
Contractand finished products shall be reviewed as changes occur that impact product
Manufacturers
safety.
The Records
methods andof responsibility
reviews shall for be maintained. A list of all the
ensuring all agreements aboveto
relating specifications
pet food safety shall
be
The maintained
and site
customer and
shall establish kept current.
product requirements, their realization,
a method to determine the food and delivery
safety are specified
risk level of contract and
agreed
Contractualshall
manufactured be documented
product and
agreements with and
shall implemented.
document
third-party the risk.
storage andThe site shall businesses
distribution ensure that:shall include
requirements
Records relating
of audits, to customer
contracts, productto
and changes requirements and compliance
contractual agreements and with
theirthe SQF
approvals
Food
shall
Approved Safety Code:
be maintained. Pet Food Manufacturing.
Supplier Program (Mandatory) Contractual agreements shall be approved by
both parties and communicated
The responsibility and procedureto forrelevant
selecting, personnel.
evaluating,Theapproving,
site shall verify compliancean
and monitoring
approved
The approved supplier shallprogram
supplier be documented
shall be and based implemented.
on the prior performance of a supplier and
the risk
Verificationlevel of
of rawthe raw
materialsmaterials
shall ingredients,
include processing
certificates of aids, packaging,
conformance, and services
certificate of
Supplier
Raw audits
materials, shall be
ingredients, based and on risk (as
packaging determined
received in
from 2.3.4.1)
other and
sites shall
under betheconducted
same
supplied,
analysis,
The and
or shall
sampling contain
and at a
testing. minimum:
The verification frequency
receipt of raw materials, ingredients, processing aids, and packaging from non- shall be identified by the
by individuals
corporate ownership shall be subject to the same specification requirements (refer toa
site.
approved
knowledgeable suppliers
of shall be acceptable
applicable regulatory only
and in ansafety
food emergency situationand
requirements andtrained
provided in
2.3.2),
receival approved
inspection supplier
or analysisrequirements,
is conducted andand receival inspections
recorded before use.as all other material
auditing
providers. techniques.
Food Safety System
Food Legislation (Mandatory)
The site shall ensure that, at the time of delivery to its customer, the pet food supplied
shallmethods
The comply with and the legislationfor
responsibility that applies the
ensuring to the
sitepet food informed
is kept and its production
of changes in to
the
country
relevant
SQFI andof manufacturer
legislation,
the certification and
scientific
body the
and country
shalltechnical of developments,
be notifieduse inor writing
sale (if within
known).
emerging This includes
food
twenty-four safety
(24) issues,
hours as
compliance
The
and
a site shall
relevant
result
Good with legislative
ensure
industry the
of a regulatory warning
Manufacturing codes requirements
applicable
of
Practices Good
practice applicable
Manufacturing
shall
or (Mandatory) be to
documentedmaximum
Practices
and residue
describedlimits,
implemented.
event. Notification to SQFI shall be by email to in food
Module 4
of this Food Safety Code are applied or exempted according to a written risk analysis
[email protected].
outlining the justification for exemption or evidence of the effectiveness of alternative
The
controlGood Manufacturing
measures to ensure Practices
that food applicable
safety istonot thecompromised.
scope of certification that outline how
food safety is controlled and assured shall be documented and implemented.
Food Safety Plan (Mandatory)
A food safety plan shall be prepared in accordance with the twelve steps identified in the
Codex
The food Alimentarius
safety planCommissionor plans shall HACCP guidelines.
be developed andThe food safety
maintained by plan shall be
a multidisciplinary
effectively
team
The scope implemented
that includes
of each food the SQF andpractitioner
safety maintained
plan shalland and
be outline
those
developed the
site means
personnel
and by
documented which
with the site controls
technical,
including the
and
start assures
production,
and food
and
endpoint safety
engineering
of the of the products
knowledge
processes
Product descriptions shall be developed and documented for under or
of product
the groups
relevant
consideration included
products
and all and in
relevant the scope
associated
inputs
products included in of
and thethe
processes.
outputs.
scope of the Where
food the
safety relevant
plans. expertise
This shall is not
reference available
The intended use and reasonably foreseeable unintended use of each product shall be the on-site,
finished advice
product may be obtained
specifications
(refer
determined
The food to 2.3.2.9)
safetyand teamplus any
documentedshalladditional
by theand
develop information
food safety team.
document relevant
a flow Thistoshall
product
diagram safety,
include
covering such
target
the petas pH,
scope of
water
groups,
each activity,
foodlife stage,
safety and/orand
plan. composition.
level
The of
flow activity,
diagram requirements
shall include
The food safety team shall identify and document all food safety hazards that can for
everyfurther
step processing
in the if
process, applicable,
all raw
and
The potential
material,
reasonably
food bealternative
packaging
safety teammaterial,
expected use
to
shall of
occur
conduct the
service
at aproduct.
eachinputs
hazard step (e.g. water,
in the
analysis for steam,
processes, gasses ashazard
including
every identified appropriate),
raw materials
to
scheduled
and food
other
identify
The whichprocess
inputs.
safety hazards delays,
team shall and all
are significant, process
determine and outputs
i.e., document including
their elimination
the control waste
or reduction and
measures rework.
to that Each
must flow
an acceptable be
level
appliedon
Based is necessary
tothe to
all significant ensure
results of the food
hazards. safety.
hazardMore analysis The
than(refer methodology
one control for
measure
to 2.4.3.8), determining
may safety
the food hazard
be requiredteam to shall
significance
control
identify
For an
eachthe shall
identified be
steps inCCP,
identified documented
hazard,
the process and
the foodwhere and
more used
than
safetycontrol consistently
one
team shall significant
mustidentify to
be applied assess
hazard
and to all
may potential
eliminate
document be hazards.
controlled
thea significant
limits that by a
specific
hazard
separate
The food control
or reduce
safe
safety measure.
from it unsafe
team to shall
an acceptable
product.
develop and Thelevel food(i.e.,
document a critical
safety teamcontrol
procedures shall to point,
validate
monitor orthe
CCP). In
critical
CCPs limits
to ensure
instances
to ensure
theyfood
The remain where
the
safety within a
team significant
designated
theshall level hazard
established of
develop limits has
control been
of the identified
identified
(refer to 2.4.3.11).
and document at
fooda step
deviation Monitoring safetyin the process,
hazard(s)
proceduresprocedures and
that identify but no
that
shall
the
all critical
identify
disposition
The the
documentedlimits
of and
andcontrol
personnel
affected assigned
product
approved measures
to conduct
when
food individually
monitoring
safety testing,
plan(s) or
thein sampling
indicates
shall combination
bea implemented
loss of and effectively
test in
control methods,
atfull. provide
Theand
a CCP. The
the test
procedures frequency.
shall
effective implementation
Procedures also
shall be in place prescribe
shall actions
to be monitored
verify to correct
that critical by the the process
food safety
control step
points team, to prevent recurrence
and a fullmonitored
are effectively review of
of
the the safety
documented
and appropriate
Critical failure.
control point and implemented
corrective actions
monitoring, plans shall
are applied.
corrective be
action, conducted
Implemented
and verification at least
food safety annually,
records plans or
shallshallwhen
be be
changes
verified
maintained asto the
part
and process,
of SQF equipment,
System
appropriately inputs,
verification
used. or
(referother
to
Where food safety regulations in the country of production and destination (if known) changes
2.5). affecting product safety
prescribe a food safety
Product Sampling, control methodology
Inspection and Analysis other than the Codex Alimentarius
Commission
The methods,HACCP guidelines,
responsibility, andthe food safety
criteria team shall
for sampling, implement
inspecting, and/orfoodanalyzing
safety plans raw
that meet
materials, both
work Codex
in and
progress, food
and regulatory
finished requirements.
product
Product analyses shall be conducted to nationally recognized methods or company shall be documented and implemented.
requirements
On-site laboratories or alternative
conducting methods
chemical thatand are microbiological
validated as equivalent analysis to themay
that nationally
pose a
recognized
risk to product methods.
safety shall be located separate from
Provisions shall be made to isolate and contain all hazardous laboratory waste held any pet food processing or handling
on the
activity and
premises
Retention and designed
manage
samples, to
it limit
if required access
separately only pet
from
by customers to authorized
food
or waste.
regulations,personnel.
Laboratory
shall be storedwaste according
outlets shall to at
a
theminimum
typical
Records beinspections
of storage
all down stream
conditions and offor
drains that
the product
analyses shall service
and
be pet food processing
maintained
maintained. for the stated and handling
shelf life of
areas.
the product.
Non-conforming Materials and Product
The responsibility and methods outlining how non-conforming product, raw material,
ingredient, work-in-progress,
Quarantine records and records or packaging
of the handling, detected during action,
corrective receipt,orstorage,
disposalprocessing,
of
handling,
nonconforming
Product Rework or delivery is handled shall be
materials or product shall be maintained. documented and implemented. The methods
applied shall ensure:
The responsibility and methods outlining how ingredients, packaging, or products are
reworked
Product Release shall be documented
(Mandatory) and implemented. The methods applied shall ensure:
The responsibility and methods for releasing products shall be documented and
implemented.
Product release The methods
shall includeapplied
a procedureshall ensure
to confirm the product
that product is released by authorized
labels comply with the
personnel
food and
legislation only
that after
applies all inspections
in the country and of analyses
manufacture
In the event that the site uses positive release based on product pathogen or chemical are successfully
and the completed
country of use and
or sale,
documented
if knowna(refer
testing,
Environmental to
procedure verify
toMonitoringlegislative
2.4.1.1). and other established food
shall be in place to ensure that product is not released until safety controls have been
acceptable
A risk-basedresults have been
environmental received. program shall be in place for all food
monitoring
manufacturing
An environmental processes
sampling and andimmediate
testing schedulesurrounding shallareas,
be prepared.which impactIt shallmanufacturing
at a minimum:
processes.
Environmental testing results shall be monitored, tracked, and trended, and preventative
actions
SQF System (refer to 2.5.3.1) shall be implemented where unsatisfactory results or trends are
Verification
observed.
Validation and Effectiveness (Mandatory)
The methods, responsibility, and criteria for ensuring the effectiveness of all applicable
elements
Verification of the SQF Program
Activities shall be documented, implemented, and effective. The
(Mandatory)
methods applied shall
The methods, responsibility, and ensure that:criteria for verifying monitoring of Good Manufacturing
Practices, critical control points, and other food safety controls, and the legality of
certified products shall be documented and implemented. The methods applied shall
ensure that personnel with responsibility for verifying monitoring
A verification schedule outlining the verification activities, their frequency of completion,
and the person
Corrective andresponsible
Preventative for each
Actionactivity shall be prepared and implemented.
(Mandatory)
The responsibility and methods outlining how corrective and preventative actions are
determined,
Records of allimplemented,
investigation,and rootverified, includingand
cause analysis, theresolution
identification of the root causetheir
of non-conformities, and
resolution
corrections, ofand
Internal Audits non-compliance
the
andimplementation
Inspectionsof critical
of food safety limits
preventative
(Mandatory) andshall
actions deviations from food safety
be maintained.
requirements, shall be documented and implemented.
The methods and responsibility for scheduling and conducting internal audits to verify the
effectiveness
Staff conducting of the SQF System
internal shallbe
audits shall betrained
documented and implemented.
and competent in internalInternal
audit audits
shall
Regularbe inspections
procedures.conducted
Where in offull
theand
practical, at least
sitestaff
and annually.
conducting
equipment The be
methods
internal
shall audits applied
shall
planned and shall
becarried ensure:
independent of the
out to verify
function
Good
Records being
Manufacturing
of audited.
internal Practices
audits and and facility and
inspections and equipment
any correctivemaintenance are compliant
and preventative actionsto
the
takenSQF
Product asFood Safety
aTraceability
result Code:
andFood
of internal audits
CrisisManufacturing.
shall The site
be recorded
Management as pershall:
2.5.3.
Product Identification (Mandatory)
The methods and responsibility for identifying raw materials, ingredients, packaging,
work-in -progress,
Product processchangeover,
start up, product inputs, and and finished products
packaging during all (including
changeover stages of production
label
and storage
changes)
Product Trace shall
procedures be documented and implemented to ensure:
during packing shall be documented and implemented to ensure
(Mandatory)
that the correct product
The responsibility and methods is in theused
correct package
to trace and shall
product with the correct label and
be documented and that the
changeover
implemented isto
Product Withdrawal inspected
ensure:and andRecall
approved by an authorized person.
(Mandatory)
The responsibility and methods used to withdraw or recall product shall be documented
and implemented.
The product The procedure
withdrawal and recallshall:
system shall be reviewed, tested, and verified as
effective at least annually. Testing
Records shall be maintained of withdrawal shall include incoming
and recall tests,materials
root cause (minimum one step
investigations into
back)
actual and finished
withdrawals product
and (minimum
recalls, and one step
corrective forward).
and preventative actions
SQFI and the certification body shall be notified in writing within twenty-four (24) hours applied.
upon
Crisisidentification
Management of aPlanning
pet food safety event that requires public notification. SQFI shall
be notified
A crisis at [email protected].
management plan based on the understanding of known potential dangers (e.g.,
flood, drought, fire, tsunami,
The crisis management plan shall or other severe weather
be reviewed, tested,events, warfare
and verified at or civilannually
least unrest, with
computer
gaps
Foodand outage,
appropriate
Defense and pandemic,
corrective
Food lossactions
Fraud of electricity or refrigeration,
documented. Records of ammonia
reviews leak,
of thelabor
crisis
strike) that
management
Food Defense can impact
plan
Plan shall the site's ability
be maintained.
(Mandatory) to deliver safe food shall be documented by senior
A food defense threat assessment shall be conducted to identify potential threats that can
befood
A caused by a plan
defense deliberate actdocumented,
shall be of sabotage implemented,
or terrorist-likeand
incident.
maintained based on the
threat assessment
Instruction shall be (refer to 2.7.1.1).
provided The food
to all relevant defense
staff on theplan shall implementation
effective meet legislative of the
requirements
foodfood
The defense as applicable
planthreat
defense and
(refer assessment shall include at a minimum:
to 2.9.2.1). and prevention plan shall be reviewed and tested at
least
Foodannually or when the threat level, as defined in the threat assessment, changes.
Fraud (Mandatory)
Records of reviews and tests and
The methods, responsibility, of the food defense
criteria plan shall
for identifying be maintained.
the site's vulnerability to food
fraud, including susceptibility to raw material or ingredient substitution,
A food fraud mitigation plan shall be developed and implemented that specifies finishedthe
product
mislabeling,
methods
Instruction dilution,
byshall
which bethe oridentified
counterfeiting,
provided food
to all shall
fraud
relevant be documented,
vulnerabilities
staff shallimplemented,
on the effective be controlled,and
implementation including
of the
maintained.
identified
food fraud food safety
mitigation vulnerabilities
plan (refer to of ingredients
2.9.2.1). and materials.
The food fraud vulnerability assessment and mitigation plan shall be reviewed and
verified
IdentityatPreserved
least annuallyPet with
Food gaps and corrective actions documented. Records of
reviews
Allergen shall be maintained.
Management (Mandatory)
The responsibility and methods used to control human allergens (per country regulation)
and to prevent
Product labeling, sources of allergens
in accordance withfrom contaminating
regulatory product
requirements, shall
shall be documented
include allergens and
implemented.
where risks from
Label Claims Thecross-contact
allergen management
have beenprogram shall include:
identified.
For products that are marketed as having limited ingredients (e,g., grain free, poultry
free, etc.) the site shall ensure that:
Training
Training Requirements
The responsibility for establishing and implementing the training needs of the
organization’s personnel to ensure they have the required competencies to carry out
those functions affecting products, legality, and safety shall be defined and documented
(refer to 2.1.1.6).
Appropriate training shall be provided for personnel carrying out the tasks essential to the
effective
Trainingimplementation of the SQF System and the maintenance of food safety and
Program (Mandatory)
regulatory requirements.
A training program shall be documented and implemented that outlines, at a minimum,
the necessary
Training competencies
materials, forof
the delivery specific duties
training, and and the training
procedures on allmethods to be to
tasks critical applied for
meeting
personnel
regulatory carrying
Training records outbe
compliance
shall tasks
and associated
the andwith:
maintenance
maintained of food safety shall be provided in languages
include:
understood by staff.
g Edition 9 Checklist
Costco Specific Requirement Primary Response
With the exception of products that are
extruded, chopped, formed, and cooked to the
appropriate temperature under a verified
preventive measures plan, as well as any of

● Requirements for raw material (excluding

food contact packaging) suppliers to be
operating

The required registration for the bio-terrorism

regulation is current and verified. (This applies
to vendors that manufacture and import to
the US). Supplier must show registration
Costco will require vendors who produce high
risk items (please refer to Costco Food Safety
Audit Expectations for list of high risk item
category list), as well as all Kirkland Signature

If pathogen testing is done on food contact

surfaces, all product lots processed over the
swabbed surface(s) since the last validated
sanitation cycle shall remain within the
Costco requires that suppliers show that
traceability exercises were conducted twice
during the year in two of the following three
areas: finishedmust
All operations goodconduct
item, ingredient,
an annualand
mock
recall to verify current contact information
and that the quantities received and
distributed through the next step in the item’s
ist
Evidence
Supplier Onsite Correction/ Corrective Action
Need to identify a back-up practioner.