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Third Party Auditing: It’s not Just for Large Plants Anymore Third Party Auditing: It’s not Just for Large Plants Anymore

Third Party Auditing: It’s not Just for Large Plants Anymore - PowerPoint Presentation

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Third Party Auditing: It’s not Just for Large Plants Anymore - PPT Presentation

Jason Young jasonyoungokstateedu GFSI Specialist Quality Management Specialist Robert M Kerr Food amp Agricultural Products Center httpwwwfapcbiz Springfield Illinois June 18 20 2015 ID: 720828

safety food management module food safety module management products audit gfsi gmp www system amp farming gap global quality

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Slide1

Third Party Auditing:It’s not Just for Large Plants Anymore

Jason Young - jason.young@okstate.eduGFSI Specialist/ Quality Management SpecialistRobert M. Kerr Food & Agricultural Products Centerhttp://www.fapc.biz/

Springfield, IllinoisJune 18 – 20, 2015Slide2

Customers

Retail

Walk InSlide3

Local

Restaurant

and Grocery

Customers

Retail Walk InSlide4

Customers

Retail Walk InLocal Restaurant & Grocery

Big

Box Stores & Distribution CentersSlide5

What Are Your Customers Requirements?Laws and Regulations

Customer RequirementsSlide6

What is the Law?Meat Inspection Requirements

9 CFR Chapter III9 CFR 417 HACCP9 CFR 416 SSOP9 CFR 4309 CFR 317Slide7

Customer Requirements? Risks? CDC?Slide8

Customer Risks:

Recalls and Deaths

1992-19934 deathsE. coli O157:H7

1998-1999

6 deaths

Listeria monocytogenesSlide9

2010

33 deathsListeria monocytogenes

201132 deathsE. Coli O104:H4

Customer Risks:

Recalls and DeathsSlide10

Customer Risks:Recalls and Deaths

3

DeathsSlide11

Customer RequirementsContracts/Specifications

Third Party AuditCreating a food safety system and then having an audit to become “Certified” Slide12

Food Safety - concept that food will not cause harm to the consumer when it is prepared and/or eaten according to its intended use.

HACCP – Premier Food Safety ToolRecognized as the best available approach to ensuring the safety of food.Guideline not StandardFood Safety System“The organizational structure, processes, procedures, and resources needed to implement, maintain and continually improve food safety management”

Food Safety Management SystemsSlide13

Audits

Internal

First Party

Audit your own organization

Third-party

Independent audit organization

Customer

Supplier

Second-party

Customer audits, your organization

External

Second-party

You audit your supplierSlide14

Third Party Audit TypesRegulatory – USDA FSIS

Regulatory- FDA – cGMPSupplier AuditsGMP: Food Safety & SanitationGFSI Guidance and SchemesGlobal MarketsSlide15

Regulatory AuditsUSDA FSISFSIS Directive 5100.1 Rev 4, 5/29/15

EIAO FSA Methodologyhttp://www.fsis.usda.gov/wps/wcm/connect/31bb8000-fb33-4b51-964b-1db9dfb488dd/5100.1.pdf?MOD=AJPERESFDA – Unannounced InspectionForm 482 Notice of InspectionForm 483 Findingshttp://www.fda.gov/ICECI/Inspections/IOM/ucm127372.htmSlide16

Supplier AuditsCustomer visits your facilityMay or may not have a checklist or set of criteria

Looking at real time food safety in your facilityCreating RelationshipORYou visit your supplier Slide17

Customer Risks:

Mid 90’s Advanced Audit Schemes

Food Safety and Quality SystemsSlide18

GMP: Food Safety & Sanitation Audit

3rd Party Auditing CompanySpecific criteria created by Auditing CompanyAudit Criteria per customer’s requirement

Traditional Food Safety & Sanitation

More than 40 years of audits

CriteriaSlide19

GMP: Food Safety & Sanitation Audit Criteria

Audit Companies – Traditional CriteriaAIB, ASI, Silliker, NSF, Cert ID, SCS Global, etcFood Safety & Sanitation StandardsPrerequisite and Food Safety ProgramsOperational methods & personnel practicesMaintenance for food safetyCleaning Practices

Integrated pest managementAdequacy of Prerequisite and food safety programsSlide20

Food Safety & Quality Standards

Food Quality Magazine – by 2002More than 135 different suppliers standards for food safetySimilar but different criteria and auditing practicesEstablishments implement more than one Food Safety, Sanitation, &/or Quality program for CustomersSeveral customersIdeal: Single auditing system for all sectors in food and beverage industrySlide21

Traditional Food Safety Audit Systems

Pre-GFSISlide22

Global Food Safety Initiative Origins

May 2000 –International meeting of Food Retailer CEOs identified the major risks to their businesses.Food SafetyConsumer ProtectionConsumer ConfidenceFormed a Committee of International Technical Executives -GFSISlide23

GFSI AuditGFSI Recognized SchemesSQF, BRC, FSSC 22000, GRMS 12 Schemes total

http://www.mygfsi.com/schemes-certification/recognised-schemes.htmlGlobal MarketsBasic LevelIntermediate LevelSlide24

GFSI Mission

Continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers Objectives:

Convergence between food safety standards through maintaining a benchmarking process for food safety management schemes. Improve cost efficiency throughout the food supply chain through the common acceptance of GFSI recognized standards by retailers

around the world.

Provide a unique international stakeholder platform for

networking, knowledge exchange and sharing of best food safety practices and information. Slide25

GFSI Benchmarked Standards

Examples:http://www.mygfsi.com/about-gfsi/gfsi-recognised-schemes.html

Standard

Origin

Website

BRC Global Standard

UK

www.brcnorthamerica.com

Safe Quality Food(SQF)

Australia/U.S.

http://www.sqfi.com/

FSSC

22000

(ISO 22000 + PAS 220)

http://www.foodsafety.sgs.com/

Or

http://www.22000-tools.com/Slide26

GFSI Standards - Benchmarked

Consistency in evaluation of content and program requirements is assured by the benchmarking processAudit execution is overseen by independent accreditation bodies such as UKAS (UK) and ANSI (USA)Slide27

International Accreditation Forum

Peer Review by Sister Accreditation body

Accreditation Bodies

ISO/ IEC 17011

e.g., ANAB, ANSI

ISO/IEC Guide 65 or ISO 17021

Certification Bodies employ Auditors

Accredits the Certification Body (CB)

Including witness (shadow ) audits

Audit the Food or Ingredient Company

Supplier

Supplier

Supplier

GFSI Benchmarked Schemes

BRC, SQF, FSSC 22000

Accredited Certification - AuditSlide28

Traditional Food Safety & Sanitation AuditSlide29

2007 –Adoption of GFSI Standards by Retailers

Wal-Mart http://www.reuters.com/article/ousiv/idUSN0459973720080204Feb. 2008 - Suppliers of its private label and certain other food items, like produce, meat and fish, must comply with Global Food Safety Initiative standardsImplemented by July 2009TescoCarrefourMetro

MigrosAholdDelhaizeSlide30

Consumer Goods Forum Retail Members

30Slide31

Consumer Goods Forum Manufacturing Members

31Slide32

Benchmarking – What does this mean?

“Once certified, accepted everywhere”32Slide33

BRC - 7 Sections

Senior Management Commitment and Continual Improvement The Food Safety Plan–(HACCP)Food Safety and Quality Management System Site Standards – Prerequisite Programs

Product Control Process ControlPersonnelSlide34

BRC Audit Scheme

Focus is on 50% documentation and 50% physical inspection (on site)If a non-conformance is issued, a corrective action must be completed within 28 days of the auditMajor non-conformance – 14 daysAll non-conformances must be cleared before a certificate can be issuedCritical non-conformance – no certificateSlide35

Ref

FacilityRecord

Requirement / question

1.0 SENIOR MANAGEMENT COMMITMENT

1.1 SENIOR MANAGEMENT COMMITMENT AND CONTINUAL IMPROVEMENT

(FUNDAMENTAL) The company’s senior management shall demonstrate they are fully committed to the implementation of the requirements of the Global Standard for Food Safety and to processes which facilitate continual improvement of food safety and quality management.

1.1.1

 

x

The company shall have a documented policy which states the company's intention to meet its obligation to produce safe and legal products to the specified quality and its responsibility to its customers. This shall be:

- Signed by the person with overall responsibility for the site

- Communicated to all staff.

1.1.2

 

x

The company's senior management shall ensure that clear objectives are defined to maintain and improve the safety, legality, and quality of products manufactured, in accordance with the quality policy and this Standard. These objectives shall be:

- Documented and include targets or clear measures of success

- Clearly communicated to relevant staff

- Monitored and results reported at least quarterly to site senior management.Slide36

36

RefFacility

Record

Requirement / question

2.1 THE HACCP FOOD SAFETY TEAM - CODEX ALIMENTARIUS STEP 1

 

2.1.1

 

x

 

The HACCP plan shall be developed and managed by a multi-disciplinary food safety team that includes those responsible for Quality/Technical, Production Operations, Engineering, and other relevant functions.

The team leader shall have an in-depth knowledge of HACCP and be able to demonstrate competence and experience.

The team members shall have specific knowledge of HACCP and relevant knowledge of product, process, and associated hazards.

In the event of the company not having appropriate in-house knowledge, external expertise may be used, but day-to-day management of the food safety system shall remain the responsibility of the company.

 

 

Fundamental requirement –

There must be an implemented and effective Food Safety Plan based on Codex Alimentarius HACCP principles.Slide37

The SQF Code, Edition 7

Module 2 SQF System Elements (applies to all Suppliers) Module 3 GAP for Single Feed Production (TBD)Module 4 GAP for Compound Feed Production (TBD)

Module 5 GAP for Farming of Animal Products Module 6 GAP for Farming of FishModule 7 GAP for Farming of Plant Products

Module 8 GAP for Farming of Grains and Pulses

Module 9 GMP for Pre-processing of Animal Products

Module 10 GMP for Pre-processing of Plant Products

Module 11 GMP for Processing of Food Products

Module 12 GMP for Transport and Distribution of FoodModule 13 GMP for Production of Food Packaging

Module 14 GMP for Food Brokers (TBD)

Module 15 GMP for Food Retail, Food Service (TBD)

Module 16 SQF Multi-site Program

Supplier selects relevant module(s

)Slide38

SQF - 9 sections & GMP Module

2.1 Management Commitment 2.1.2 – Food Safety (HACCP2.2 Document Control and Records2.3 Specification and Product Development2.4 Attaining Food Safety – prerequisites

2.5 Verification2.6 Product Identification, Trace, Withdrawal and Recall2.7 Site Security

2.8 Identity Preserved

2.9 TrainingSlide39

SQF FSC

Category

(Suppliers Scope of Certification)

GFSI Industry Scopes

Applicable SQF Code Modules

1

 

Production, Capture and Harvesting of Livestock and Game Animals

Al: Farming of Animals

Module 2: System elements

Module 5: GAP for farming of animal products

2

Growing and Harvesting of Animal Feeds

Fl: Production of Single Ingredient Feed (available 2011)

Module 2: System elements

Module 3: GAP for single feed production

3

 

Growing and Production of Fresh Produce

Bl: Farming of Plant Products

Module 2: System elements

Module 7: GAP for farming of fruit and vegetable products

4

Fresh Produce Pack house Operations

D: Pre-processing of Plant Products

Module 2: System elements

Module 10: GMP for pre-processing of plant products

5

 

Extensive Broad Acre Agriculture Operations and Seed Production

Bll: Farming of Grains and Pulses

Module 2: System elements

Module 8: GAP for farming of grains and pulses

6

 

Harvest and Intensive Farming of Fish

All: Farming of Fish and Seafood

Module 2: System elements

Module 6: GAP for farming of fish

7

 

Slaughterhouse, Boning and Butchery Operations

C: pre-process handling of animal products

Module 2: System elements

Module 9: GMP for pre-processing of animal products

8

Processing of Manufactured Meats and Poultry

El: Processing of Perishable Animal Products

Module 2: System elements

Module 11: GMP for processing of food products

9

 

Seafood Processing:

 

El: Processing of Perishable Animal Products

Module 2: System elements

Module 11: GMP for processing of food productsSlide40

Global Markets Program http://www.mygfsi.com/market-access/global-markets-programme/overview.html

“A capacity building program for small and/or less developed businesses that will develop effective food safety management systems through a systematic continuous improvement process.”Slide41

Small and Less Developed businesses

their size, the lack of technical expertise,

the economic resources,

or the nature of their work

Less

developed

business -

refers to the status of the food safety management system and NOT to the number of staff or volume of production.

Global Markets ProgramSlide42

Basic Level – 30% GFSI Scheme CriteriaFood Safety Management Systems

Good Manufacturing PracticesControl of Food HazardsIntermediate Level – 70% GFSI Scheme CriteriaBasic Level plusCodex Standard - General Principles Of Food HygieneSSOP’s and SPS

HACCPGlobal Markets ProgramSlide43

Food Safety Management Systems

Specifications including Product ReleaseTraceability

Food Safety Incident Management

Control of Non-Conforming Product

Corrective Action

GMP

Personal Hygiene

Facility Environment

Cleaning and Disinfection

Product Contamination Control

Pest Control

Water Quality

Control of Food Hazards

Control of Food Hazards - General and Specific

Control of Allergens

Food Safety Management Systems

Management Responsibility

General Documentation Requirements

Procedures

Complaint Handling

Control of Measuring & Monitoring Devices

Product Analysis

Purchasing

Supplier Approval and Performance Monitoring

Training

GMP

Facility and Equipment Maintenance

Staff Facilities

Waste Management

Storage and Transport

HACCP and Additional Requirements

HACCP

Food Defense

BASIC – 30%

INTERMEDIATE- 70%

Global Markets ProgramSlide44

Global

Markets

Basic Level

Global

Markets

Basic Level

+

Intermediate Level

GFSI

Guidance

Document

Requirements

(6.1

th

Edition)

Part III

GFSI

Recognized

Schemes for Manufacturing

Matching Level

100%

70%

30%

12 Months

12 Months

The Requirements: Complete Overview (3/3)Slide45

How to PrepareIdentify Which Audit SchemePer customer requirement. Have never had an audit?

Start with the Global Markets ProgramMost all auditing companies can audit Obtain a copy of the standardObtain a copy of the guidanceSlide46

Audit GuidanceGlobal Markets Assessor Guidelinehttp://www.mygfsi.com/market-access/global-markets-programme/overview.html

SQF Guidancehttp://www.sqfi.com/documents/Primus Guidancehttp://www.primusgfs.com/Slide47
Slide48

GAP AssessmentDetermine what programs you already have and what programs you need.Your teamConsultant

Trained in SQF or BRCOthers – food safety team from local manufacturer or their QA.Online – food safety programs/SOPsPre- Audit (similar to GAP assessment)Slide49

Create a RoadmapSlide50

For More Information:

Jason Young - jason.young@okstate.edu

www.mygfsi.com

http://www.fapc.biz/gfsi.html

gfsinfo@theconsumergoodsforum.com