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
Download Presentation The PPT/PDF document "Third Party Auditing: It’s not Just fo..." is the property of its rightful owner. Permission is granted to download and print the materials on this web site for personal, non-commercial use only, and to display it on your personal computer provided you do not modify the materials and that you retain all copyright notices contained in the materials. By downloading content from our website, you accept the terms of this agreement.
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/Slide47Slide48
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