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Sgs white-paper-gfsi-en-11

  2. 2. ABSTRACT This document aims to provide an and the GLOBALG.A.P. For each of a customised single food audit. This overview of the Global Food Safety these, the requirements, benefits and could be of benefit because food safety Initiative (GFSI) and what it means for certification processes are reviewed. standards have an extensive cross-over an international food safety standard There are five further schemes that with environmental, health & safety to be GFSI approved. It then goes on are covered in brief. The most generic and quality standards. A further issue to discuss each of the GFSI approved of the schemes and those most is that there is not necessarily one schemes individually looking in detail commonly adopted by branded goods ‘optimal fit’ food safety standard for at the key schemes which are offered manufacturers (FSSC 22000, BRC, SQF any given organisation. This means by the Global Food Standard (BRC), 2000 and IFS) are then compared, by that a combination of schemes brought FSSC 22000, the International Features discussing the criteria, similarities and together in one audit procedure may be Standard Food (IFS Food), the Safe differences between the schemes. a more suitable solution. Quality Food SQF 2000 and 1000 The paper then looks at the merits of CONTENTS I. EXECUTIVE SUMMARY 2 II. THE GLOBAL FOOD SAFETY INITIATIVE 3 III. GFSI RECOGNISED FOOD SAFETY SCHEMES 5 IV. A COMPARISON ON THE GFSI RECOGNISED SCHEMES 16 V. COMBINING GFSI RECOGNISED SCHEMES WITH THOSE RELATED TO THE ENVIRONMENT, HEALTH & SAFETY AND QUALITY 24 VI. CONCLUSION 251
  3. 3. I. EXECUTIVE SUMMARYRetailers, manufacturers, foodservice they were purchasing and eating was as more and more organisations withinoperators, caterers, industry guaranteed as safe for consumption, the the industry are expecting entireassociations, technical experts and unneccesarily repetitive audits needed supply chains for a given product togovernments all have one thing in to be reduced. It was also important prove this capability. Organisationscommon when it comes to food safety. that, as food supply chains stretch audited and certified through a GFSIThey recognise that consumers’ across the globe, any industry solution approved scheme increase theirconfidence dropped to an all time low covers both the end-to-end supply chain chances of being a chosen supplier toafter a number of public food scares and is able to influence the industry on retailers and/or manufacturers whosent shock waves through the industry an international scale. As a result of all demand their suppliers hold a GFSIjust over ten years ago. As with many these combined issues, the Global Food approved certification. The vision ofindustries, this widespread concern Safety Initiative (GFSI) was developed. the GFSI benchmark of ‘once certified,for safety prompted action. Retailers/ All interested parties around the world accepted everywhere’, is moving inbranded manufacturers began to audit joined forces to support the creation of the direction of being realised, boththeir suppliers so that they could feel a benchmarking and approval scheme across the industry and across theconfident in their suppliers’ abilities to that would lay the foundations for an world. With a number of internationalmeet their food safety system demands. industry-wide expectation in terms GFSI approved food safety standardsThis meant that suppliers often found of food safety management system now available competitive suppliers arethemselves being repeatedly audited by deliverables. This then became the already certificated, seeking certificationindividual customers, creating a massive benchmark against which all food safety or developing their processes andduplication of audit procedures. standards can be tested, verifying identifying the best certification schemeThe industry soon came together to that the standard once gained by an for their organisation. The hope is thatlook at what could be done to improve organisation, proves they are producing as this becomes even more widespread,the situation and reduce the strain or handling food at the level of consumer confidence can be fullyon suppliers while maintaining the safety specified. restored and food scares can become arequired safety levels. While consumers Holding a GFSI approved certification thing of the past.needed a reassurance that the food is fast becoming an industry standard 2
  4. 4. II. THE GLOBAL FOOD SAFETY INITIATIVE (GFSI) The Global Food Safety Initiative (GFSI) As a result of this continued duplication CEOs and senior management from was originally set-up as a result of food of audits, the GFSI set out to develop 650 retailers, manufacturers, service safety scares in early 2000. Its primary a uniform structure for food safety providers and other stakeholders across purpose is to ensure the safety of food standards. It did this by detailing the food industry. Covering all areas in reaching all consumers internationally, food safety criteria that should be terms of both products and international but it also aims to develop efficiencies, incorporated and by putting common locations the Forum is considered to be promote transparency, guide cost procedures in place for accreditation truly representative of the needs of the savings and become a platform for and certification bodies verifying the industry as a whole. continous improvement in the area implementation of standards. Under the guidance of the Forum, of food safety. It does this by leading It is important to note that GFSI is the GFSI is then governed by: a the global food industry towards a the standard for benchmarking not Board; Technical Working Groups harmonised approach to food safety the standard for auditing, There are and; a Stakeholder Group. While the management systems. a number of food standards have Board sets the strategic direction and Before the GFSI was established, been submitted for benchmarking oversees the GFSI on a daily basis retailers and major buyers across the and that ensure it meets a minimum the Technical Working Groups provide food industry demanded specific food requirements of GFSI guideline. technical expertise and advice. The safety requirements for particular Through this approach the GFSI aims Technical Groups combine to form a products. To prove that these to deliver on its mission to: “Provide Technical Committee composed of requirements were met, food suppliers continuous improvement in food retailers, manufacturers, food service often had to have a number of different safety management systems to ensure operators, standard owners, certification audits of their premises and systems, a confidence in the delivery of safe food bodies, accreditation bodies, industry process that cost them time and money. to consumers worldwide”. In order to associations and other technical experts. From audit to audit there was also do this effectively, it operates with four The GFSI Stakeholder Group brings considerable duplication. major objectives in mind. These are to: retailers, manufacturers, certification This issue was dealt with, to some bodies, accreditation bodies, standards 1. Reduce food safety risks by owners, food safety experts and extent, by the industry developed delivering equivalence and national and regional schemes, such consultants together in a forum to convergence between effective food discuss issues related to the GFSI. as the BRC or the IFS Food standards. safety management systems While these did aggregate the needs All these interested parties have worked and demands of some buyers, there 2. Manage cost in the global food together to develop the GFSI Guidance were many circumstances where system by eliminating Document. This multi-stakeholder suppliers continued to be audited redundancy and improving document sets out the requirements through numerous processes. operational efficiency for food safety management schemes 3. Develop competencies and and provides a framework against which capacity building in food safety to these schemes can be benchmarked. It create consistent and effective global brings together three key elements of food systems food production: 4. Provide a unique international • Food Safety Management Systems stakeholder platform for • Good Practices and HACCP collaboration, knowledge exchange Requirements (GAP, GMP, GDP) and networking • Requirements for the delivery of food The GFSI is run by the Consumer safety management systems Goods Forum, which brings together3
  5. 5. ELEMENTS OF ALL GFSI RECOGNISED SCHEMES Best Practice GFSI Recognized Schemes ISO Standard: ISO22000 Legislation - Food Law Codex - HACCP Principles - GMPSource: GFSI: Enhancing Food Safety Through Third Party CertifcationIn June 2007 the GFSI achieved Carrefour, Tesco, Metro, Migros, Ahold, manufacturers have agreed to recognisea major breakthrough, which has Wal-Mart and Delhaize pathed the way the GFSI benchmarked schemes. Thesesince augmented its beneficial role in for the future growth in acceptance of include: Asda; ConAgra Foods, Coop;international food safety. At that time GFSI approved schemes and with that Campbells; Cargill; ICA, Kroger;seven major food retailers all agreed to started the GFSI off in the direction of Sodexo; and The Coca Cola Company,reduce duplication in the supply chain achieving its vision of ‘once certified, among others.through the common acceptance of any accepted everywhere’. Subsequently,of the GFSI benchmarked schemes. many further food retailers and 4
  6. 6. III. GFSI RECOGNISED FOOD SAFETY SCHEMES There is currently a range of The BRC Global Food Standard • Site Standards manufacturing schemes, primary was developed with the objective – External Standards production schemes and combined of specifying the safety, quality schemes that have been benchmarked and operational criteria required for – Security and approved by the GFSI. Each varies in food manufacturers to comply with – Internal Site Standards terms of the scope and criteria covered regulations and protect consumers. It – Utilities as well as in structure, the certification requires all companies involved in the process, validity and the reporting and end-to-end supply chain have a clear – Equipment management conducted. understanding of the products they – Maintenance Each standard has a different structure produce and distribute and have the – Staff Facilities and procedures for meeting each of systems in place to identify and control food safety hazards. – Chemical & Physical Product the three main areas of requirements: Contamination Control The food safety management system; Good manufacturing practices, good The Requirements – Housekeeping & Hygiene distribution practices and Standard are as follows: – Waste/Waste Disposal good agraicultural practices; and – Pest Control • Senior Management Commitment and Hazard analysis and the critical control Continuous Improvement – Storage & Transport point (HACCP). • Food Safety & Quality • Product Control Here we take a look at each of the Management System schemes individually: – Product Design/Development – Food Safety & Quality Policy – Handling Requirements for MANUFACTURING SCHEMES – Food Safety & Quality Manual Specific Materials – Materials – Organisational Structure, Containing Allergens and Identity Global Food Standard (BRC) Responsibilities and Preserved Materials The BRC (British Retail Consortium) Management Authority – Foreign Body Detection is the leading trade body for UK – Contract Review & Customer Focus – Product Packaging retailers. Whether a retailer is a large – Internal Audit – Product Inspection and Laboratory multiple or department store, or a small – Purchasing – Supplier Approval & Testing independent shop, the BRC protects their interests. The BRC has developed Performance Monitoring – Control of Non-conforming Product a set of Global Standards, which is an – General Documentation – Product Release international product safety and quality Requirements • Process Control certification programme and suppliers – Corrective & Preventative Action in more than 100 countries are currently – Control of Operations certified against it. Retailers and – Traceability – Quantity – Weight Volume & manufacturers around the world use the – Complaint Handling Number Control BRC standards as their chosen approved – Management of Incidents, Product – Calibration & Control of Measuring standards for suppliers. The BRC covers Withdrawal and Product Recall and Monitoring Devices the supply chain with four related standards: BRC Global Food Standard; • Personnel BRC Storage and Distribution; – Training BRC IOP for Food Packaging and; BRC – Access & Movement of Personnel Consumer Products. – Personal Hygiene – Medical Screening – Protective Clothing5
  7. 7. The Benefits The Certification Process on-site visit within 28 calendar days of the audit. Once non-conformitiesThere are a number of benefits for The BRC certification process consists have been addressed and the auditormanufacturers who are certified against of four steps: has accepted the evidence, anthe BRC Standard. A number of these • Step A – Manufacturers are provided independent technical review of thebenefits apply across other standards with a proposal based on the size audit is conducted by an authorisedwhile some are specific to the BRC and nature of their organisation. They Certification Manager who approvesGlobal Standard for Food Safety, can then proceed with the audit by the issuance of a certificate.these are: accepting the proposal from the • Step D – Full recertification audits• The BRC standard has descriptive certification body. are scheduled at defined intervals requirements for process and hygienic • Step B – There is then an optional depending on the outcome of the control which provide clear guidelines ‘pre-audit’ stage, which is often useful certification audit. For Grade A and as to how food safety should be in identifying any weaknesses in B audits this is 12 months later, for a addressed systems and in building confidence Grade C audit this is 6 months later.• It has a simple certification process before the formal audit. The audit is a full re-audit conducted which only requires an on-site audit, • Step C – The formal audit is an on-site in the same way as the initial audit, there is no requirement for a desk audit. All parts of the site and process but the implementation of the action study step covered in the scope are assessed plan is also reviewed, addressing past• It includes a voluntary recertification to determine compliance with every non-conformities and whether the audit, allowing an organisation clause of the standard. Manufacturers audit has taken place by the re-audit to demonstrate its high level of receive a Corrective Action Report at due date. commitment as the certification body the end of the formal audit, identifying can be asked to re-audit the facilities any observed non-conformities. at anytime Depending on their nature, these non-• The standard has a focus on quality, conformities should be closed with as well as food safety and legality documentary evidence or through anBRC CERTIFICATION PROCESS Year 1 STEP C STEP A Close out all non Issue Certificate STEP D Onsite conformances after successful Agree Certification audit Recertification Contract (if any) Audit STEP B Optional Pre-Audit 6
  8. 8. Food Safety System Certification reviewed against the PAS 220 and the • Applicable codes of practice related to FSSC 22000 additional requirements to ensure they food safety, customer requirements receive the GFSI approved certification. related to food safety, any other Owned by The Foundation for Food The FSSC 22000 can be applied to additional requirements on food safety Safety Certification, the FSSC 22000 a wide range of food manufacturing determined by the organisation (also known as FS 22000) combines the ISO 22000 Food Safety Management organisations, irrelevant of their – The food safety system shall ensure Standard with the Publicly Available size or the complexity of their food and demonstrate conformity with Specification (PAS) 220 (or ISO/ management processes. This includes these requirements TS 22002-1) along with some other public and private companies, and those – Specification of services requirements. Alone the ISO 22000 that manufacture perishable animal or vegetable products, products with a • The food manufacturing organisation was not sufficient to achieve GFSI long shelf life, food ingredients and/or shall ensure that all services approval due to the weaknesses in the food additives. (including utilities, transport and prerequisite program (PRP) content. As maintenance) which may have an a result a group of large multinational impact on food safety: companies came together to write the The Requirements PAS 220, which focuses on covering • Have specified requirements The FSSC 22000 requires that each of the necessary Prerequisite programs • Are described in documents to the the following are met: for food manufacturing. However, the extent needed to conduct hazard GFSI required that there was an overall • Food Safety Management System analysis industry owned scheme that brought the ISO 22000 • Are managed in conformance with two individual programs together, with • Prerequisite Programmes PAS 220 or the requirements of BSI-PAS 220, an emphasis on regulatory and customer ISO/TS 22002-1 clause 9 requirements. So with this in mind, • Additional Requirements the FSSC 22000 was developed. This • Supervision of food safety (3 additional requirements) combination in the form of the FSSC personnel in relation to applicable 22000 created a standard that is fully • Inventory of Applicable Regulations food safety principles recognised by the GFSI and serves as an • The food manufacturing organisation • The organisation shall ensure the international benchmark for food safety. must have an inventory of: effective supervision of the personnel Designed for food manufacturers • Applicable foreign, regulatory and in the correct application of the who supply their products to major statutory requirements on food safety, food safety principles and practices food retailers, or plan to do so, any including those applicable to: Raw commensurate with their activity manufacturer already certified against materials/services provided, and the ISO 22000 only needs to be products manufactured and delivered7
  9. 9. The Benefits Further to this, another major benefit of examination. A report then identifies the FSSC 22000 is its acceptance by the any concerns or observed non-Most of the major benefits of the FSSC European Cooperation for Accreditation compliances so that immediate action22000 relate to its comprehensiveness (EA). This accreditation, which was can be taken as a food safety management system awarded in October 2010, means that • Step D – This is ‘Stage 2’ of the initialstandard. This is because: most accreditation bodies will now audit process. The audit includes• It provides a good framework against accept FSSC 22000. interviews with employees and which an organisation can develop examination of records. Observation its food safety management system; The Certification Process of working practices determines it is not too descriptive and has the The FSSC 22000 certification processes how compliant actual processes flexibilty to allow the organisation to is identical to that for the ISO 22000 and are with the standard and with an choose the best way to control its consists of six steps: organisation’s own documentation own system and ensure food safety system. At the end of this stage, the policy and objectives are being met • Step A – A proposal from the findings of the audit are presented• It includes comprehensive certification body is provided based on along with other observations and requirements detailing how the the size and nature of an organisation. opportunities for improvement. Once organisation can conduct an effective Once this is accepted the audit the non-conformities have been HACCP studies and HACCP plan process can proceed. addressed, a technical review of the• The standard promotes continuous • Step B – There is then an optional audit will then be conducted by an improvement in food safety ‘pre-audit’ stage, which is often useful authorised Certification Manager to in identifying any weaknesses in confirm the issuance of a certificate.• It targets its focus on food safety and systems and in building confidence legal compliance • Step E – Surveillance visits are before the formal audit. scheduled at either six or twelve• It easily integrates with an • Step C – The first part of the formal month intervals. During the visits, the organisation’s existing management audit is ‘Stage 1 – Readiness implementation of the action plan is system or other systems in place, Review’. This onsite audit evaluates reviewed, addressing the past non- i.e. quality management systems, the compliance of an organisation’s conformities and examining certain environmental management documented system with the mandatory and other selected parts systems etc. requirements of the standard. As part of the system in line with a provided• It allows small, less structured of this the audit ensures correctness audit plan. organisations to implement an and completeness of hazard • Step F – Shortly before the third externally developed system identification, CCP determination and anniversary of the initial certification,• Many major brands have adopted this that prerequisite programs are in place a routine visit is extended to enable system and standard so it is beneficial and appropriate to the business. After a re-certification audit. Surveillance for ingredients suppliers to be aligned this stage the rest of the audit can be visits then continue, as before, on a with these customers effectively planned and key elements three-year cycle. of the system can undergo an initialFSSC 22000 & ISO 22000 CERTIFICATION PROCESSES Assessment Year 1 Year 2 Year 3 STEP C Issue STEP A Step D Certificate STEP E STEP F Stage 1 after Agree Stage 2 Visit Visit Visit Visit Visit Recertification Certification successful Contract Audit 2 3 4 5 6 Visit 1R Audit audit STEP B Optional Visit frequency notes: Pre-Audit Annual surveillance – 2 visits; Twice-yearly surveillance – 5 visits 8
  10. 10. The International Features • HACCP System – Internal Audits Standard (IFS) • Assemble HACCP Team – Site Factory Inspections Originally developed by an association • HACCP Analysis – Process Control of German retailers to serve as an – Documentation Requirements – Calibration & Checking of Qualified alternative to the BRC standard, French – Record Keeping Measuring & Monitoring Devices retailers and more recently Italian retailers both play an important role in • Resource Management – Quantity Checking (Quantity the specifics and operation of the IFS. Control/Filling Quantities) – Human Resource Management In parallel, all major retailers across – Product Analysis Germany, France, Italy and many other – Human Resources – Product Quarantine & EU countries require their suppliers to • Personal Hygiene Product Release comply with the IFS. • Protective Clothing for Personnel – Management of Complaints from The IFS aims to provide a uniform quality Contractors and Visitors Authorities & Customers assurance and food safety standard for • Procedures Applicable to Infectious – Management of Incidents, Product retailer branded food products. Through Diseases Withdrawal, Product Recall a consistent evaluation system and uniform audit procedures the standard – Training – Management of Non-conforming generates transparency throughout the – Sanitary Facilities, Equipment for Products supply chain, while ensuring regulatory Personal Hygiene and Staff Facilities – Corrective Actions requirements are met and that retailers • Production Process and wholesalers are protected against liabilities. – Contract Review The Benefits The IFS provides a range of integrated – Product Specifications There are a number of benefits to IFS checks on food safety and food quality certification, including: – Product Development in food processing companies. It • It has a simple certification process – Purchasing covers all product ranges, offering which only requires an on-site audit, certification across the whole range of – Product Packaging there is no requirement for a desk food processing with the exception of – Factory Environment Standards study step agricultural primary production. The IFS – Housekeeping & Hygiene • The standard has a focus on quality, covers the complete food supply chain as well as food safety and legality. with three related standards: IFS Food; – Waste & Waste Disposal Safety and Quality certification are IFS Broker and; IFS Logistics. – Risk of Foreign Bodies, Metal, both covered in one audit saving Broken Glass & Wood money by reducing the potential for The Requirements – Pest Monitoring/Pest Control further audits The audit assesses whether the – Receipt of Goods & Storage • Once certified, there is no need for elements of an organisation’s quality a re-audit and certification for 1 year, – Transport management system are documented, this applies to all levels awarded implemented, maintained and – Maintenance & Repair • The IFS has a global network of continuously approved. The elements – Equipment strategically placed offices covering that are examined are as follows: – Process Validation Europe, the Americas, and Asia • Senior Management Responsibility supporting retailers, suppliers and – Traceability (including GMOs and – Corporate Policy Certification Bodies with operational, allergens) /Corporate Principles training and business development – Genetically Modifidied Organisms – Corporate Structure & Processes • Suppliers are given a 12-month time (GMOs) period to make corrective actions – Customer Focus – Allergens, Specific Methods of (when not directly related to food – Management Review Production & Treatment safety or regulatory compliance) • Quality Management System • Measurements Analysis & allowing for budget planning and Improvements continuous improvements – HACCP9
  11. 11. • Audits can be conducted electronically steps and excludes a desk study stage or observed non-conformities. An with software support, which also in advance of the on-site audit: organisation is given two weeks to provides reporting with year-on-year • Step A – A proposal is provided respond to the non-conformities (4 results, certification audit importing/ based on the size and nature of an weeks from audit date). These non- analysis, and global category specific organisation. Once this is accepted conformities need to be closed with benchmarking the audit process can proceed. documentary evidence or through• All of the IFS criteria are risk-based an on-site visit. Once the non- • Step B – There is then an optional conformities have been addressed and there are no prescriptive elements ‘pre-audit’ stage, which is often useful and the auditor has accepted the• The IFS Audit Portal is both a in identifying any weaknesses in evidence, an independent technical database and a reporting and systems and in building confidence review of the audit is conducted by an notification tool before the formal audit. authorised Certification Manager who• The IFS offers an Integrity Program • Step C - The formal audit is an on-site approves the issuance of a certificate. providing Quality Assurance and audit. All parts of the site and process • Step D – The certificate is valid for a formal Complaint Management covered in the scope are assessed one year so a full recertification audit system for retailer confidence to determine compliance with every is scheduled for twelve-months later. clause of the standard. Organisations The audit is a full re-audit conductedThe Certification Process receive a Corrective Action Report at in the same way as the initial audit, the end of this audit, identifying any but the implementation of the actionThe IFS has two levels of certification: observed non-conformities. Within plan is also reviewed and pastFoundation and; Higher Level. The two weeks of this stage a pre-report non-conformities are addressed.certification process consists of four is issued identifying any concernsIFS CERTIFICATION PROCESS STEP C STEP A Close out all non Issue Certificate STEP D Onsite conformances after successful Agree Certification audit Recertification Contract (if any) Audit Visit frequency notes: STEP B Foundation Level – 12 Months Optional Higher Level – 12 Months Pre-Audit Follow up audit (if required) – No more than 6 months from For IFS Logistics Achieve higher level twice – 18 months. 10
  12. 12. Safe Quality Food (SQF) the Food Marketing Institute (FMI) in chain, suppliers can assure their 2000 Standard the USA, the scheme aims to meet customers that food has been produced, the needs of buyers and suppliers processed, prepared and handled to the The SQF 2000 standard is half of worldwide. The standard certifies that highest possible standards at every step a two-part scheme covering food a supplier’s food safety and quality of the way. manufacturing and distribution as well management system complies with Each SQF standard can be achieved at 3 as primary production, the latter under international and domestic food safety different levels( level 1 , level 2 and level the SQF 1000 standard. Developed in regulations. As the SQF standard 3.) level 2 being GFSI approved. Western Australia but now owned by incorporates the complete supply THE THREE SQF CERTIFICATE LEVELS • All requirements of the SQF2000 Code met Compliant with • SQF Certificate level 3 HACCP Quality management systems • SQF 2000 Plan ++ (HACCP Plan) Compliant • SQF Certificate Level 2 with HACCP food safety requirements • GMP/GHP ++ Compliant with • SQF Expert systems based • SQF Training on GMP • SQF Certificate Level 1 The Requirements – Site Requirements and Approval • Enhancement of the organisation’s – Food Handling Area food safety management system The SQF 2000 standard requires each of the following, where appropriate, to be – Water and Ice Supply • It demonstrates commitment to achieved at the level detailed: producing and trading safe food – Storage Facilities • SQF 2000 System Requirements • It increases consumer confidence in – Separation of Functions the products produced – Commitment – On-site Laboratories • Brand equity is enhanced – Document Control and Records – Staff Amenities • It prepares organisations for – Specification and Product – First Aid Facilities inspection by regulatory authorities Development – Waste disposal and other stakeholders – Attaining Food Safety – Exterior • It improves new market and – Verification customer prospects • Food Safety Fundamentals: – Product Identification, Trace, • If SQF level 3 is achieved Pre-requisite programs Withdrawal and Recall organisations can use the SQF quality – Site Security mark on their products The Benefits – Identity Preserved Foods Certifying an organisation’s food • Food Safety Fundamentals: management system against the SQF Building and Equipment Design programme requirements brings the and Construction following benefits:11
  13. 13. The Certification Process against the requirements of the and opportunities for improvement standard with the goal of achieving are presented to the organisation.The SQF certification process consists a better understanding of the nature Once non-conformities have beenof seven steps: of the organisation, planning the addressed a technical review of the• Step A – A proposal is provided rest of the audit as effectively as audit is conducted by an authorised based on the size and nature of an possible and examining key elements Certification Manager to confirm the organisation. Once this is accepted of the system at a basic level. After issuance of a certificate. the audit process can proceed. this, organisations receive a report • Step F – Surveillance visits, if required,• Step B – Once an organisation has identifying any concerns or observed are scheduled at six-month intervals accepted the proposal, it registers on non-compliances so that immediate depending on the outcome of the the SQFI website ( action can be taken as required. All certification audit and the grade This is a requirement of the SQFI. major non-conformities need to be received. During the visits, we review closed out prior to the Stage 2 audit. the implementation of the action plan• Step C – There is then an optional ‘gap-analysis’ stage assessing an • Step E – This is ‘Stage 2 – addressing the past non-conformities organisation’s readiness for the audit. Assessment Process: Certification and examining certain mandatory and This is often useful in identifying Audit’ of the initial audit process. other selected parts of the system in any weaknesses in systems and in The audit includes interviews line with an audit plan provided before building confidence before the with employees and examination each visit. formal audit. of records. Observation of an • Step G – Recertification audits are organisation’s working practices scheduled at twelve-month intervals.• Step D – The first part of the formal determines how compliant its actual The Recertification audit is undertaken audit is the ‘Stage 1 – Assessment processes are with the standard and to verify the continued effectiveness Process: Document Review’. Here with its documentation system. At the of an organisation’s SQF System in the compliance of an organisation’s end of this stage, the findings of the its entirety. documented system is evaluated audit along with other observationsSQF CERTIFICATION PROCESS Year 1 STEP D STEP E Issue STEP F STEP A STEP B Certificate STEP G Stage 1 Stage 2 after Surveillance Agree Supplier SQF Onsite Annual Document Onsite successful (depend on Contract registration Recertification review Certification audit grade) STEP C Optional Pre-AuditBest aquaculture practices Aquaculture Alliance is a non-profit NGO supply chain from hatchery and feed(BAP) standards working to advance environmentally mill to farm and processing plant. and socially responsible aquaculture Although individual BAP standardsThe BAP Standards have been and a safe supply of seafood. As part vary by facility type, each addressesdeveloped by the Global Aquaculture of this, BAP certification covers the community and employee relations,Alliance to address environmental most important elements of responsible conservation of biodiversity, soil andand social responsibility, animal aquaculture and provides quantitive water management, and drug andwelfare, food safety and traceability guidelines compliance can be measured chemical a voluntary certification program against. The standards spread acrossfor aquaculture facilities. The Global every type of organisation in the seafood 12
  14. 14. Global Red Meat Standard PRIMARY PRODUCTION SCHEMES seeds and all the farming activities up to the point the product leaves the site. It The Danish Agriculture & Food Council CanadaGAP has become a key point of reference for has, in co-operation with the Danish Good Agricultural Practices. Fresh fruit Co-operative of Slaughterhouses and The CanadaGAP Good Agricultural and vegetables, propagation material, the Danish Meat Institute, developed Practices standard is owned by the integrated farm assurance (livestock, the Global Red Meat Standard (GRMS). Candian Horticultural Council and is dairy, pigs, poultry, combinable crops The scheme is specifically for the meat essentially an on farm food safety and grains, tea, coffee, aquaculture), industry and aims to deliver EN45011 program. It combines national food flowers and ornamentals are all covered certified standards though an auditing safety standards with a certification by the standard. programme. The standard covers all system for the safe production, aspects of transport, lairage, stunning, storage and packing of fresh fruits Members of GLOBALG.A.P are made up slaughtering, deboning, cutting and and vegetables. of farmers, ranchers, product marketing handling of meat and meat products and organisations, grower’s co-operatives, The program is aimed at producers, food manufacturers and retailers. assesses: Buildings; External Areas; packers and storage intermediaries The standard and the certification are Process Layout and Equipment; Product of horticultural crops and has been approved by the Technical and Standards Handling; Process Management and designed to help them implement food Committees for each product sector: Production Monitoring; Dispatch and safety procedures into their operations. Crops; Livestock; and Aquaculture. External Storage; Cleaning Programmes; It is crop specific, laying out six differing These committees are supported by Traceability; Product Recall Procedures; sets of Good Agricultural Practices that FoodPLUS, which is the GLOBALG.A.P Non-conformance Procedures; Product have been developed by the horticultural secretariat based in Germany. Specifications; Measuring Equipment; industry and technically verified by Complaints Procedures; HACCP Canadian government officials. Each set System; Internal Audit; Purchasing; The Requirements of practices is based on the seven basic Sales; Quality Management Systems; principles of HACCP and is recognised The standards are separated into four Management Responsibilities; by the GFSI. different categories: Personnel, Visitors and External Labour; and Training. By achieving certification a primary • The GLOBALG.A.P Integrated Farm producer can prove to their customers Assurance Standard (IFA) Synergy 22000 that they have the systems and • The GLOBALG.A.P Compound Feed procedures in place to minimise the Manufacturer Standard (CFM) The Synergy 22000 certification risk of contamination to the product combines two complementary • The GLOBALG.A.P Plant Propagation produced. As part of this the auditor standards to provide a GFSI recognised Material Standard (PPM) gains evidence that an on-going, Food Safety Management System. maintained food safety system is • The GLOBALG.A.P Risk Assessment The initial standard is the ISO 22000, present within an organisation’s on Social Practice (GRASP) which is a requirement for any operations. Within each, the requirements are organisation within the food supply organised into six sections, each of chain, accompanied by either PRP GLOBALG.A.P which having its own set of required 22000 or ISO TS 22002-1. Both these GLOBALG.A.P promotes Good elements. Organisations being assessed options cover Prerequisite Programme Agricultural Practices (GAP) and as such against the standard combine the (PRP) requirements for organisations in is committed to supporting food safety applicable elements from each of the six the food supply chain in relation to food and sustainability in the agricultural, sections to make a package relevant to safety management systems. As part livestock and aquaculture supply their business. The six sections are of the Synergy 22000 scheme and in chains. Compliance with GLOBALG.A.P as follows: conjunction with these standards, the most appropriate PRPs need to be in standards ensures that food products • System rules referred to as place, as specfied. The Synergy 22000 are safe and farmed or raised in a General Regulations (GR), also sets out the operating procedures sustainable manner. This means the • GLOBALG.A.P requirements referred and protocol for the certification environmental impacts of farming to as Control points and Compliance scheme. The ISO 22000 and PRP 22000 operations are minimised, chemical Criteria (CpCC) combination is applicable to the entire inputs are reduced and that through every aspect of the production process • Inspection documents referred to as food chain and related activities, while worker health and safety and animal Checklists (CL) the combination of ISO 22000 & ISO TS 22002-1 is only applicable to the food welfare have been considered. • National GAP requirements referred processing or manufacturing step of the The GLOBALG.A.P standard brings to as Approved National food chain. together the needs of agricultural Interpretation Guidelines producers and retailers. It covers all • Guidelines and Supporting aspects of the production process up documents to the farm gate. This includes feed,13
  15. 15. • Harmonisation tools referred to as • Livestock housing and facilities The Certification Process Benchmarking Cross Reference • Livestock health The GLOBALG.A.P certification process Checklist (BMCL), where applicable • Medicines consists of five steps: • Fallen stock disposal • Step A – A proposal is providedAll farm base module based on the size and nature of an• Site history and site management • Livestock dispatch organisation. Once this is accepted• Record keeping and internal self- the audit process can proceed. Applies to: assessment/internal inspection • Step B – There is then an optional Ruminant base - Cattle and sheep• Workers health, safety and welfare ‘gap-analysis’ stage assessing an Dairy organisation’s readiness for the audit.• Subcontractors Calf/Young beef This is often useful in identifying• Waste and pollution management, any weaknesses in systems and in recycling and re-use Pig building confidence before the• Environment and conservation Poultry formal audit.• Complaints Turkey • Step C – The first part of the formal audit is the ‘Stage 1 – Assessment• Recall/withdrawal procedure Aquaculture Module Process: Document Review’ (Option• Food defence (not applicable for 2 only). Here the compliance of an flowers and ornamentals) • Site management organisation’s documented system is• GlobalG.A.P status • Reproduction evaluated against the requirements • Chemicals of the standard with the goal of• Logo use achieving a better understanding• Traceability and segregation • Occupational health and safety of the nature of the organisation, (obligatory when producer is • Fish welfare, management planning the rest of the audit as registered for parallel production/ and husbandry effectively as possible and examining parallel ownership) • Harvesting key elements of the system at a basic level. After this, organisations receive • Sampling and testingCrops Base Module a report identifying any concerns or • Feed management observed non-compliances so that• Traceability • Pest control immediate action can be taken as• Propagation material required. All major non-conformities • Environmental and• Site history and site management need to be closed out prior to the biodiversity management Stage 2 audit.• Soil management • Water usage and disposal • Step D –This is ‘Stage 2 – Assessment• Fertilizer application • Post harvest - Process: Certification Audit’ of the• Irrigation/fertigation mass balance and traceability initial audit process. The audit includes• Integrated pest management • Post harvest - operations interviews with employees and examination of records. Observation• Plant protection products • Social criteria of an organisation’s working practices• Equipment determines how compliant its actual The Benefits processes are with the standard andApplies to: Certifying on-farm management with its documentation system. At theFruit and Vegetables systems against the GLOBALG.A.P end of this stage, the findings of the requirements provides an organisation audit along with other observationsCombinable Crops with the following benefits: and opportunities for improvementGreen Coffee are presented to the organisation. • Enhanced on-farm food safetyTea Once non-conformities have been management systems addressed a technical review of the • Demonstrates commitment to audit is conducted by an authorisedLivestock base producing or trading safe food Certification Manager to confirm the• Site issuance of a certificate. • Leads to acceptance into the• Worker health, safety and welfare GLOBALG.A.P community• Livestock sourcing, identification and • Increases consumer and customer traceability confidence in product safety• Livestock feed and water and quality 14
  16. 16. • Step E– Unannounced surveillance • Step F – Full recertification audits are mandatory and other selected parts visits are scheduled between scheduled at twelve-month intervals. of the system are also examined to certifications. During the visits, At the same time, implementation of ensure they are in line with an audit the implementation of standard the action plan to address the past plan provided before each visit. maintenance is reviewed. non-conformities is reviewed. Certain GLOBALG.A.P CERTIFICATION PROCESS Year 1 STEP D STEP A STEP B Issue Certificate STEP E STEP F Stage 2 after successful Agree Stage 1 Unannounced Annual Onsite audit Contract Document review Audit Recertification Certification STEP C For Unannounced Audit: Optional Option 1 (Individual Grower Certification): Depending on Certification body, sampling Pre-Audit 10% of all certificates issued by Certification body. Option 2 (Group Certification): Mandatory Safe Quality Food (SQF) 1000 Level 2 – Specifications procedure. All non-compliance findings – Attaining Food Safety from the document review stage again The SQF 1000 is much the same as the need to be addressed before the on- SQF 2000, except that it is designed – Verification site audit can begin. The certification for primary producers such as growers – Product Identification Trace & Recall issued lasts one year with a six-month and farms rather than manufacturers. As – Site Security surveillance audit for any organisations with the SQF 2000, which is discussed only achieving a grade C award. For the under the section on Manufacturing • Food Safety Fundamentals: Site full details of the certification process Schemes, the SQF 1000 standard is Requirements, Facilities and see the SQF 2000 section. made up of three levels, of which level Production Inputs 2 is GFSI approved. The SQF 1000 • Food Safety Fundamentals: PRIMARY AND MANUFACTURING system consists of the SQF code and Pre-requisite Programs (Good SCHEMES its corresponding guidance documents. Agriculture Practice) It is a HACCP-based supplier assurance code designed to meet the food safety • GlobalG.A.P. PrimusGFS and quality system requirements applied – Genetically Modified Organisms The PrimusGFS standard focuses on by a primary producer. – Fertiliser the food safety of agricultural products The scope and related requirements of designated for human consumption in – Crop Protection the SQF 1000 are much the same as for their fresh or in a minorly processed the SQF 2000 described previously, with – Workers’ Health, Safety & Welfare way. PrimusGFS establishes a series the exception of one section. The SQF – Environmental of requirements for managing the 2000 has a section titled: Requirements production, handling, processing and • Implementing SQF 1000 Systems for Food Contained in Hermetically storing operations, which should be met Sealed Rigid, Flexible or Semi Rigid • Principles and Application of HACCP for consumer safety. Containers, which is not part of the SQF • Certifying SQF 1000 Systems The PrimusGFS scheme covers the 1000. Instead the SQF has a section • SQFI Audit & Certification full supply chain, from pre to post-farm covering GlobalG.A.P, specifically Management System and Supplier gate production, with an integrated laying out requirements in relation Database supply chain approach. It is a voluntary to: Genetically Modified Organisms; worldwide certification scheme Fertilisers; Crop Protection and; Workers • SQF 1000 Certification Trademark – certifying agricultural sector products. Health, Safety and Welfare. Below the Rules for Use It sets minimum acceptable levels in requirements are outlined: • Multi-site Certification relation to each of the requirements • SQF 1000 System Requirements As with the SQF 2000, the certification it includes. – Commitment process covers a combination of both desk research and an on-site audit – Document Control & Records15
  17. 17. IV. A COMPARISON OF THE GFSI RECOGNISED SCHEMESEach scheme has a number of similarities as to be GFSI approved the GFSI requirements have to be met. Although, the exactdetails can vary from scheme to scheme and there may also be a number of other elements built in to make a scheme specific to acertain purpose or industry sector. The most all-encompassing schemes are the FSSC 22000 standard, the BRC standard, theSQF 2000 standard and the IFS. These are compared in more detail below.STRUCTURAL OVERVIEW OF FSSC 22000, BRC, SQF 2000 AND IFS STANDARDSHow the GFSI requirements are covered in the key global food safety standards: GFSI REQUIREMENTS FSSC 22000 BRC SQF IFS Food Safety Management Food Safety and Quality Food Safety and Quality Quality Management System (FSMS) Management System Management System System Senior Management Senior Management Management Responsibility Commitment and Commitment Responsibility Continual Improvement FOOD SAFETY Management of Resources Personnel Training of Personnel Resource Management MANAGEMENT SYSTEM Food Safety and Quality Planning and Realisation Specification and Management System, Production Process of Safe Products Product Development Product Control Internal Audit, Corrective Verification, Corrective Validation, Verification and Measurement, Analysis and Preventive Action, and and Preventive Action, and Improvement of the FSMS and Improvement Calibration Calibration of Equipment GOOD MANUFACTURING Site Security, Identify Site Standard, Human Resources, PRACTICES, GOOD Planning and Realisation of Preserved Food, Product Product Control, Food Hygiene Requirements DISTRIBUTION PRACTICES, GOOD Safe Products and PAS220 ID, Trace and Withdraw, and Process Control, Personnel (clauses 4.6-4.18) AGRICULTURAL PRACTICES Food Safety Fundamentals Planning and Realisation HAzARD ANALYSIS Specification and Product of Safe Products, AND CRITICAL CONTROL Food Safety Plan – HACCP Development, Attaining HACCP Validation, Verification and POINT (HACCP) Food Safety Improvement of the FSMS 16
  18. 18. A SECTION-BY-SECTION COMPARISON Management Commitment/ Management review OF THE KEY SCHEMES Responsibility All schemes require senior management Most of schemes require an to review the verification of the food General Requirements organisational chart and job descriptions safety management system and HACCP to be in place. They all place great plan, at pre-arranged intervals, to ensure The general requirements for all emphasis on management commitment its continuing suitability, adequacy schemes are similar in that they require to implement and maintain an effective, and effectiveness. Review of the food a competently implemented, regularly continually upgraded food safety safety system is also required in the evaluated, continually improved, system demonstrated through regularly event of any change that could affect HACCP-based food safety scheduled management review food safety. More specifically, the IFS management system. meetings, business continuity planning, scheme requires that the management establishment of effective channels review includes: buildings; supply Food Safety Policy for internal/external communication systems; equipment and transport; staff All schemes require a food safety policy and the appointment of a food safety facilities, environmental conditions; that covers the scope of business team and leader. This team leader safety and security at work; hygienic activities. This policy should involve must be responsible for developing, condition and; workplace design the implementation of a HACCP-based implementing and communicating and external influences (e.g. noise, food safety system that complies with the elements of the food safety vibration). The IFS also requires that regulatory/customer requirements, is management system to company the result of the review is included internally audited, continually improved personnel and must have the authority in subsequent budgeting. The BRC and effectively communicated to to act on management’s behalf on food scheme requires that the review process company personnel. This policy must be safety issues. The SQF scheme calls includes: previous management review supported within the organisation and this team leader the ‘SQF Practitioner’, documents; action plans/time frames; measurable objectives need to be set specifically requiring that this individual customer performance indicators; and tracked. The IFS scheme specifically be a full time employee of the company, complaints and feedback; incidents; requires the inclusion of environmental be trained in HACCP principles and corrective actions; out-of-specification and social responsibility, while the BRC is able to demonstrate a working results and; non-conforming material scheme requires that an organisation’s knowledge of the applicable SQF code as well as; developments in scientific policy includes a provision to ensure requirements. The SQF scheme also information associated with the products that food safety system certification requires that the organisational structure in scope. The SQF scheme requires the does not expire and that the organisation within the company be communicated review to include: policies; internal and has purchased a copy of the current to all staff. The BRC scheme specifically external audit findings; corrective action; issue of the BRC Global Standard for requires that the most senior production and customer complaints. Records of Food Safety. or operations manager on site must amended documents, validation and attend the opening and closing changes to the SQF system also need to Food Safety Manual meetings of the audit for Global be maintained. Standard for Food Safety certification All schemes require a food safety and that senior management must manual or a documented system to ensure all non-conformities identified at be in place that covers or references the previous audit against the standard procedures that control significant food are effectively actioned. safety hazards. None of the schemes are specific about the title or format of such documentation, as long as it exists.17