SQF Edition 10 Checklist: Every Document You Need for a Perfect Audit

Having helped approaching 1,000 organizations achieve SQF (Safe Quality Food) Certification, we know that it is a monumental milestone for any food business. However, the transition to Edition 10 brought significant changes, specifically regarding measurement of your site’s Food Safety Culture, prescribed Record Requirements, Change Management, Risk Assessments and a revised scoring model for Core Clauses which are:

2.1.1 Management Responsibility
2.1.2 Management Review
2.1.3 Complaint Management
2.3.4 Approved Supplier Program
2.4.3 Food Safety Plan
2.4.8 Environmental Monitoring
2.5.3 Corrections, and Corrective and Preventative Action
2.6.1 Product Identification
2.8.1 Allergen Management
11.2.5 Cleaning and Sanitation
11.7.3 Control of Foreign Matter Contamination

To achieve an “Excellent” rating (96–100), your documentation must do more than just exist—it must be appropriate, operational, verifiable, and validated. Use this comprehensive checklist to ensure your site is ready for the SQF auditor.

SQF Code Edition 10 Implementation Package for Food Manufacturers
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Part 1: Module 2 – System Elements (The "Brain")

Module 2 is the management core of your SQF food safety management system. These documents prove that your leadership is committed and your food safety system is structured to meet the requirements of the SQF Food Safety Code.

SQF Edition 10 Checklist Part 1: Module 2 – System Elements 

  1. Management Commitment & Culture
  • [ ] Food Safety Policy Statement: Signed by the senior site manager and displayed prominently. It must include a commitment to supply safe food, comply with customer and legislation requirements, and establish a food safety culture.
  • [ ] Organizational Chart: Clearly defining the reporting structure and identifying backups for all key food safety roles.
  • [ ] Job Descriptions: Documented for all personnel with food safety responsibilities.
  • [ ] New Requirement in SQF Edition 10 – A Food Safety Culture Plan to drive continuous improvement must be documented, implemented, and maintained. This plan needs to include comprehensive training programs.
  • [ ] Documentation showing site measurement and improvement of the food safety culture (e.g., surveys, incentive programs).
  • [ ] Food Safety Objectives: Agreed by the senior site management and cascade throughout the organization. Objectives need to be SMART: Specific, Measurable, Achievable, Relevant, and Time-bound. Evidence of communication of objectives and performance measures is required.
  1. The SQF Practitioner Requirements
  • [ ] Practitioner Designation: Evidence that a primary and substitute practitioner are employed full-time.
  • [ ] Practitioner Qualification/Knowledge: Evidence that the primary and substitute practitioner have knowledge and/or experience of the SQF Food Safety Code Edition 10.
  • [ ] HACCP Training Certificates: Verifiable proof of formal HACCP training for both practitioners.
  • [ ] Annual Review and Monthly Management Updates: Records of the practitioner updating senior management on the SQF system’s performance and an annual management review.
  1. Document Control & Records
  • [ ] Document Register: A master list of all current SOPs, forms, and policies.
  • [ ] Record Retention Policy: Documented periods for record-keeping (minimum of the product’s shelf-life).
  1. Specifications, Product Development, Supplier Approval and Change Management
  • [ ] Product Development: The methods and responsibility for designing, developing and implementing new products into production through commercialization
  • [ ] Raw Material, Packaging & Finished Product Specifications: Current, approved specifications for every item entering the facility. Evidence that raw materials suppliers notify the site of changes in product composition that could have an impact on product formulation
  • [ ] Approved Suppliers: A register of validated suppliers, the risk-based methods used to approve them.
  • [ ] Contract Manufacturer Agreements: (If applicable) Signed agreements and audit records for third-party processors. Confirmation products and processes of co-manufacturers and third-party storage and distribution facilities, are confirmed to be in compliance with the relevant SQF Food Safety Code.
  • [ ] Change Management : Evaluations of any changes, that could impact food safety or the food safety system to ensure that controls are still effective.
  1. Food Safety Plan (HACCP)
  • [ ] Legislation: 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
  • [ ] Product Descriptions: Including intended use and vulnerable populations.
  • [ ] Flow Diagrams: Verified by the HACCP team within the last 12 months.
  • [ ] Hazard Analysis: Based on CODEX HACCP Principles and Identifying biological, chemical, and physical risks.
  • [ ] CCP Monitoring Records: Daily logs showing critical limits are met.
  1. Complaint Management (Mandatory)
  • [ ] Documented Procedure, Records of Complaints, Complaint Investigation, Root Cause Analysis, Corrective Action Records and Trend Analysis.
  1. Product Sampling, Inspection, and Analysis
  • [ ] Documented Procedures, Recognized Standard Methods, Sampling Plans, Records of Analysis/Inspection and Proficiency Testing
  1. Non-Conforming Materials and Product
  • [ ] Documented Procedure including Quarantine of Suspect Materials/Product and Records of Disposal or Alternate Use.
  1. Product Rework
  • [ ] Documented Procedure and Records including Identification and Trace of Materials/Product.
  1. Product Release (Mandatory)
  • [ ] Documented Procedure and Records including Release by Authorized Personnel.
  1. Corrective and Preventative Action (Mandatory)
  • [ ] Documented Procedure and Records including Root Cause Analysis for the resolution of non-compliances/potential non-compliances.
  1. Internal Audits and Inspections (Mandatory)
  • [ ] Documented Schedule and Procedure covering all aspects of the SQF Food Safety Code.
  • [ ] Internal Audit Reports: Showing a full audit of the SQF system conducted annually.
  • [ ] Documented Schedule, Procedure and Records for Inspections of Site, Fabric and Hygiene to verify Good Manufacturing Practices are compliant, and the facility & equipment maintained in a satisfactory condition.
  1. Product Identification (Mandatory)
  • [ ] Documented Procedure and Records to identify raw materials, ingredients, packaging, work-in-progress, process inputs, and finished products during all stages of the operation.
  • [ ] Documented Product Start-Up, Product Changeover, and Packaging Changeover Procedure and Records.
  1. Product Trace (Mandatory)
  • [ ] Documented Procedure and Records to Track all Stages from Material Receipt to Delivery to Customer and vice versa.
  1. Product Withdrawal and Recall (Mandatory)
  • [ ] Documented Procedure and Records for Initiating, Managing, and Investigating a Product Withdrawal or Recall.
  • [ ] Annual Mock Recall: Documentation of a trace-back and trace-forward (target: 4 hours or less).
  1. Crisis Management Planning
  • [ ] Documented Procedure and Records for dealing with Events that could impact on the site’s ability to deliver safe food such as flood, drought, fire, computer outage, or loss of electricity or refrigeration.
  1. Food Defense Plan (Mandatory)
  • [ ] Documented Food Defense Threat Assessment.
  • [ ] Documented Food Defense Plan, and corresponding Procedures and Records.
  1. Food Fraud (Mandatory)
  • [ ] Documented Food Fraud Vulnerability Assessment.
  • [ ] Documented Food Fraud Mitigation Plan, and corresponding Procedures and Records.
  1. Allergen Management (Mandatory)
  • [ ] Documented Risk Analysis of Raw Materials
  • [ ] Documented Assessment of Workplace-Related Food Allergens
  • [ ] Documented List of Allergens on Site
  • [ ] Documented Allergen Control Procedures and Records
  • [ ] Documented Validation and Verification of Cleaning & Sanitation Procedures and Records when required to prevent Cross-Contact.
  • [ ] Documented Finished Product Label Checks to ensure that labels are correct with regard to allergens.
  1. Training Program (Mandatory)
  • [ ] Documented Training Program and Records which include instructions and competencies for specific duties and the training methods for tasks critical for ensuring compliance with the SQF Food Safety Code.
  1. Annual Record Requirements – Records are required to support the completion of all annual requirements, including:
  • [ ] 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)
  • [ ] Food safety plan review, including process flow (refer to 2.4.3)
  1. FSMS Record Requirements – Records to demonstrate the implementation of the food safety management system including:
  • [ ] Monthly management updates (refer to 2.1.2)
  • [ ] Product development approvals (refer to 2.3.1)
  • [ ] Supplier approvals and audits when applicable (refer to 2.3.4)
  • [ ] Supplier monitoring and review (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 (refer to 2.3.5)
  • [ ] Complaints, investigations, and resolutions (refer to 2.1.3)
  • [ ] Contractual agreements (refer to 2.3.3).
  1. Food Safety Program Record Requirements – Records are required to support the food safety programs including:
  • [ ] Product rework (refer 2.4.6)
  • [ ] Inspection and analysis (refer to 2.4.4)
  • [ ] Product release (refer to 2.4.7)
  • [ ] Good Manufacturing Practices (GMP) 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 corrective action, and verification (refer to 2.4.3.17)
  • [ ] Cold Storage, Freezing and Chilling of Foods: Temperature monitoring
  • [ ] Non-conforming materials and products (refer to 2.4.5)
  • [ ] Environmental monitoring risk assessment, monitoring program including swabbing schedules, methods and results for Indicator Organisms and Listeria or Salmonella. (refer to 2.4.8)
  • [ ] Product traceability and recall (refer to 2.6.2 and 2.6.3)

Part 2: Module 11 – Good Manufacturing Practices (The "Body")

Module 11 focuses on the physical environment and operational habits. The auditor will look for these procedures and records during the facility walkthrough.

SQF Certification Implementation Package

SQF Edition 10 Checklist Part 2: Module 11 – Good Manufacturing Practices Checklist

  1. Risk Assessments – Risk assessments that identify potential adverse impacts on product safety and controls to mitigate those risks including:
  • [ ] Local activities and the site environment;
  • [ ] Clothing, hair, and prescribed medical alert or religious or cultural jewelry requirements;
  • [ ] Temporary or overflow storage areas; and
  • [ ] Ducting, conduit, and overhead pipes.
  1. Personnel & Hygiene
  • [ ] Personnel Hygiene Policy: Covering jewelry, handwashing, and smock procedures.
  • [ ] Visitor/Contractor Records: Documented sign-ins and hygiene briefing for all guests.
  • [ ] Training Matrix: A master record showing who was trained, when, and by whom for every GMP.
  1. Facility & Equipment
  • [ ] Equipment: Procedure for purchasing equipment. Specifications for equipment and utensils.
  • [ ] Preventive Maintenance (PM) Schedule: A calendar of planned maintenance for all food-contact equipment.
  • [ ] Calibration Log: Records for critical equipment including thermometers, scales, and metal detectors.
  • [ ] Glass & Brittle Plastic Register: Monthly inspection records of all overhead lights and windows.
  • [ ] Documented Procedure and Records for managing and monitoring Utilities including Water and Air.
  1. Pest Prevention
  • [ ] Documented Pest Prevention Program, Contract, Methods, Records and Site Map of Pest Prevention & Monitoring Devices
  • [ ] Pest Control Service Reports: Including trend analysis
  1. Cleaning & Sanitation
  • [ ] Master Sanitation Schedule (MSS): Detailing what is cleaned, how often, and who is responsible.
  • [ ] SSOPs (Sanitation Standard Operating Procedures): Step-by-step cleaning instructions.
  • [ ] Records of pre-operational hygiene inspections, and cleaning and sanitation activities
  1. Control of Operations
  • [ ] Documented Procedure and Records for Receipt, Storage (including storage plans), Loading, Unloading and Transport including temperature monitoring (if applicable)
  • [ ] Documented Procedure and Records for High-Risk Processes including Hygiene Policy
  • [ ] Documented Procedure and Records for the Prevention and Removal of Foreign Objects.
  • [ ] Documented Procedure and Records for Waste Disposal

Last Steps to ensuring your SQF System is Audit Ready

You need to demonstrate that your SQF food safety management system is effective. This is achieved by Validation and Verification that your SQF System meets the requirements of the SQF Food Safety Code. A final subsequent Senior Management Review helps tick the boxes to ensure that you truly are ready for that SQF Certification Audit.

SQF Edition 10 Checklist – Last Steps to ensuring your SQF System is Audit Ready

  1. SQF System Validation and Effectiveness (Mandatory) – Documented Procedure and Records that Validate:
  • [ ] Good Manufacturing Practices are in place and effective
  • [ ] Critical food safety limits are reviewed annually and when changes occur; and
  • [ ] Changes to the processes or procedures are assessed
  1. Verification Activities (Mandatory)
  • [ ] Documented Schedule, Methods and Records for Verification of Food Safety Controls including GMP and Food Safety Plans
  1. Management Review (Mandatory) – Documented Records of a SQF System Review by Senior Site Management including:
  • [ ] Food Safety Management System trends review including changes in documentation
  • [ ] Results of annual system tests including food defense, crisis management, recall, and product trace
  • [ ] Food safety culture plan performance review and actions
  • [ ] Food safety objectives and performance measures
  • [ ] Trends in findings from internal and external audits, customer complaints, verification and validation activities, and corrections, corrective actions and preventative actions.
  • [ ] Review of Hazard and Risk Management System performance/updates.
  • [ ] Review of previous minutes and actions.

How to Guarantee an "Excellent" Audit Result

The most common reason for a failed or “C-rating” audit isn’t a lack of effort—it’s fragmented documentation. If your SOPs don’t match your logs, or your Risk Assessments are missing technical logic, the auditor will issue a “Major” non-conformity.

Our SQF Edition 10 Template Toolkit doesn’t just give you the files; it gives you the technical support to ensure they are implemented correctly.

Why our users pass with 95+ scores:

  • Pre-Linked Framework: Our Module 2 and Module 11 documents are cross-referenced to ensure no gaps.
  • Audit-Response Support: If an auditor asks for a revision, we help you write it.
  • Practitioner-Approved: Developed by former auditors to speak the language of the SQF Code.
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[Download Your Audit-Ready SQF Toolkit & Get Technical Support Until You’re Certified]

About the Author - Tony Connor Bio

After gaining an Honors Degree in Molecular Biology and Biochemistry at the highly-rated Durham University, Tony Connor embarked on a highly successful career in the food industry.

Tony was appointed Laboratory Manager in 1989, Technical Manager of the UK’s largest multi-product dairy facility in 1993 and qualified as a Lead Assessor in 1994.

Over the years, Tony has gained experience in a variety of roles in the Food Industry including leading roles in Processing, Production, Operations, Quality, New Product Development and Technical departments.

During his career, he has commissioned both new sites and brought old sites up to SQF certification standard, helping many SQF Practitioners achieve SQF food safety certification for their organization.

With over 35 years’ experience in the food industry, Tony is a highly-regarded food safety expert and provides food operators both food certification services and hygiene, HACCP and Auditor training.