HACCP Food Safety

Management Systems
Auditing.
 HACCP an Introduction
Hazard Analysis Critical
Control Point

It’s a food It’s a joint

safety 1969 NASA in collaboration
venture of
system. with Pillsbury develop this
FAO/WHO
system to prepare food for
astronauts.

Applications
 HACCP can be applied to all stages of a food supply chain

Production Preparation Processing Packaging Distribution

 HACCP has become a household name in the food safety industry, and is now being
referenced in many other industries including pharmaceuticals and cosmetics.
 Objectives

 Understand food industry auditing systems

 Understand and relate components of auditing systems

 Understand how audits support food safety

and food defense management objectives.

 Identify potential areas for improvement

 Why consider an audit?

 Food Code - 2009 Recommendations of the United States

Public Health Service, Food and Drug Administration

 Federal , State, Local Regulatory Authority Requirements

 Centers for Medicare and Medicaid Services

 The Joint Commission Standards

Formerly JACHO: Joint Commission on Accreditation of

Healthcare Organizations
 What is the value of an audit?
Establishment
Inspection

Evaluation of current conditions and whether they are in

compliance with desired standard conditions.
 Legal – regulatory requirements
 Self inspection – internal standards

Establishment Audit

 Evaluation of the management systems and operation

controls in place to ensure that desired or required
operating conditions are met and maintained.
 What is the structure of an audit?

 A contracted auditing company will evaluate operation

conditions, policy and procedure.
 Audit evaluation criteria will be organized criteria into
categories.
Examples include:
 Nutrition – Health and Safety Quality
 Food Safety Programs and Training
 Receiving, Storage and Transport
 Pest Control
 Employee Practices
 Building and Equipment Conditions
 Food Security
Audit System Terms and Acronyms

CAC/RCP Codex Alimentarius Commission/

Recommended International Code of Practice
ISO International Organization for Standardization
ANSI American National Standards Institute
GFSI Global Food Safety Initiative
IFC International Food Standard
GMP/GRP Good Manufacturing/Retail Practice
FSMS Food Safety Management System
BRC British Retail Consortium
SQFI Safe Quality Foods Institute
GMA-Safe Supplier Assessments For Food Excellence
Grocery Manufacturers Association (2001)
 Independent Auditing Firms:
 Paster Training, Inc. EcoSure
 Steritect Cook & Thurber
 QMI – Saiglobal Siliker
 NQA ABC
 ASI SGS
 SCS ETC… ETC…
 AIB – American Institute of Baking (1919)
 Commitment to audit standards that support and
incorporate GFSI standards, Codex (HACCP), FDA &
USDA GMP’s, GRP’s – Good Retail Practices.
 Auditing System Foundation

Prerequisite Programs
HACCP – Hazard Analysis and Critical
Control Point
 There are seven principles, developed by the National
Advisory Committee on Microbiological Criteria for
Foods, that serve as the foundation for a HACCP
system.
 What are they?
 Auditing System Foundation

Prerequisite Programs
1. Construction and layout of buildings and associated
utilities.
2. Layout of premises, including workspace and
3. employee facilities
4. Supplies of air, water, energy and other utilities
5. Suitability of equipment and its accessibility for
cleaning, maintenance and preventive maintenance
6. Management of purchased materials
7. Measures for the prevention of cross contamination
8. Cleaning and sanitizing
9. Pest control
10. Personal hygiene
 Auditing System Foundation
How Does HACCP Work in Food Production?
1. Conduct a hazard analysis to identify potential hazards that
could occur in the food production process.

2. Identify the critical control points (CCPs) -- those points in

the process where the potential hazards could occur and can be
prevented and/or controlled.

3. Establish critical limits for preventive measures associated

with each CCP. A critical limit is a criterion that must be met for
each CCP. Where appropriate, critical limits may reflect relevant
regulatory requirements.
 Auditing System Foundation

How Does HACCP Work in Food Production?

4. Establish CCP monitoring requirements to ensure each
CCP stays within its limit. Monitoring may require materials or
devices to measure or otherwise evaluate the process at CCPs.

5. Establish corrective actions if monitoring determines a

CCP is not within the established limits. In case a problem occurs,
corrective actions must be in place to ensure no public health
hazard occurs.
 Auditing System Foundation

How Does HACCP Work in Food Production?

6. Establish procedures for verifying that the HACCP system
is working properly. Verification procedures may include reviewing
the HACCP plan, CCP records, critical limits as well as conducting
microbial sampling. Both plant personnel and auditors will conduct
verification activities.

7. Establish effective recordkeeping procedures that

document the HACCP system is working properly. Records should
document CCP monitoring, verification activities and deviation
records.
 Quality Assurance Manager
(Responsibilities)
Maintenance of the
HACCP based Food
Safety Program
Implementation of HACCP.

Labeling compliance.

Auditing suppliers
Compliance with customers audits
To train staff with issues relating to food safety and
HACCP.
Initiating non-conformances (quality related) and following it
through with suppliers with corrective actions.
Managing designated warehouses, pack room and blending areas for
the continuous certification of HACCP.
 Assistant QA Manager (Responsibilities)
 Checking of incoming raw and packaging materials and
helping in all aspects of managing and improving quality
and food safety throughout the supply chain functions such
as procurement, receiving, inventory control, warehousing,
distribution, pack room and blending operations.
 Maintaining and improving standards in various warehouses by
coordinating and driving HACCP based Food Safety Program, Quality
and Food safety Monitoring Schemes, Quality Training, Corrective
and Preventative actions, and GMP standards in a Quality Facilitator
Capacity.
 Attending to customer complaints and non conformances and
following them through.
 Making decisions on Hold/Reject/Rework on Raw and Packaging
Materials, Outsourced Products
 Increasing the GMP Scores
 Reducing NCRs
 Coordinating training across staff
 Providing support to customers and customer services
 Keeping documentation updated and implemented
 Ensuring products comply with the labeling laws
 TRAING COURSE

Campden
BRI

Non–
Members
members
£725 £940
 GFSI – Global Food Safety Institute

 Approved auditing schemes:

 The International Food

Standard (IFS), based in Paris,
 Safe Quality Food (SQF) based
in Arlington, USA
 The British Retail Consortium
(BRC) based in London
 The Dutch Hazard Analysis
Critical Control Points food
safety system (Dutch HACCP)
based in Apeldoorn.

 Submitted: Food Safety System

Certification (FSSC) 22000
 The Global Food
Safety Initiative The GFSI Mission is to
(GFSI) is a non-profit work on continuous
making foundation, improvement in food
created under Belgian safety management
law. The daily systems to ensure
management is confidence in the delivery
undertaken by CIES – The of food to consumers.
Food Business Forum.
The GFSI Objectives are to:

Maintain a benchmarking process for food safety management

schemes to work towards convergence between food safety
standards, as outlines in this Guidance Document.

Improve cost efficiency throughout the food supply chain through

the common acceptance for GFSI recognized standards by
retailers around the world.

Provide a unique international stakeholder platform for

networking, knowledge exchange and sharing of best food safety
practice and information.
 • Systematic and functionally independent
examination to determine whether activities and
related results comply with a conforming scheme,
GFSI – Audit whereby all the elements of this scheme should
be covered by reviewing the suppliers’ manual
and related procedures, together with an
evaluation of the production facilities.

GFSI - Food
safety • Certification scheme aimed at enhancing food
management safety.

scheme
GFSI - Non-conformity
• Deviation of product or process from specified requirements, or the
absence of, or failure to implement and maintain, one or more
required management system elements, or a situation which would,
on the basis of available objective evidence, raise significant doubt
as to the conformity of what the supplier is supplying.
GSFI Auditing
System
Reviews

Primary production

Processed food
 GFSI - Key Element: food safety
management systems
General
Requirements
 Corrective Action
 Control of Non-conformity
 Product Release
 Purchasing
 Supplier Performance
 Traceability
 Complaint Handling
 Serious Incident Management
 Control of Measuring &
Monitoring Devices
 Product Analysis
 GFSI - Key Element: food safety
management systems
General Requirements
 Food Safety Policy
 Food Safety Manual
 Management Responsibility
 Management Commitment
 Management Review
 Resource Management
 General Documentation
Requirements
 Specifications
 Procedures
 Internal Audit
 GFSI - Key Elements for GAP, GMP,
GDP
 Stock Management (rotation)
 Housekeeping, Cleaning &
Hygiene
 Water Quality Management
 Waste Management
 Pest Control
 Veterinary Medicine
 Pesticide, Herbicide &
Fungicide Control
 Transport
 Personal Hygiene, Protective
Clothing & Medical Screening
Training
 GFSI
Section Key Elements for GAP, GMP, GDP (cont.)

 Facility Environment
 Local Environment
 Facility Layout and Product Flow
 Fabrication
 Equipment
 Maintenance
 Staff Facilities
 Physical & Chemical Product Contamination Risk
 Segregation & Cross-contamination
 GFSI – Global Food Safety Institute

 Approved auditing schemes:

 The International Food Standard (IFS), based in Paris,
 Safe Quality Food (SQF) based in Arlington, USA
 The British Retail Consortium (BRC) based in London
 The Dutch Hazard Analysis Critical Control Points food
safety system (Dutch HACCP) based in Apeldoorn.

 Submitted: Food Safety System Certification (FSSC)

22000
The Key
Foundation elements:Inte ISO 22000 –
for Food ractive Food Safety
Safety communicatio Management PAS 220 -
Certification n, Systems – Publicly
• Food Safety • System Requirements Available
System management for any Specification
Certification
22000 • Prerequisite organization 220:2008
programs in the food
• HACCP chain.
principles.
Food Safety System Certification 22000

Other ISO Related References

ISO 9001 – Requirements for a quality management system

that can be used for internal application by organizations.

ISO 19011:2002 Guidelines for quality and/or environmental

systems auditing.

ISO 9000:2005 Quality Management Standards – fundamentals

& vocabulary.
 BRC Global Standard for Food Safety

First audit scheme to be approved by GFSI in 2000.

Two key components:

Each clause of the standard begins with a “statement of
Senior management commitment and HACCP
intent” to which a company must comply to be certified.

Fundamental requirements that relate to systems that are crucial to the establishment and operation of an effective food
safety program.
International
• German and
Food Standard French food trade
Standard developed by: associations
(IFS) • Other international
retailers
 International Food Standard (IFS)

Five Chapters of subject requirements:

Senior Management responsibility

Quality management system

Resource management

Production process

Measurements, analysis and improvements

 The Food
Marketing
Institute
(FMI)
acquired the
rights to the HACCP-based
SQF program quality
Includes
Safety in 2003. Safe Quality management
First launched product
Quality Food Food 2000 system to
in 1994 •SQF Institute quality
(SQF) SQF Code reduce the
(SQFI) division requirements.
manages the incidence of
program. unsafe food .
SQF Levels of certification

Two different standards, or "codes“

• SQF 1000 for primary producers (farms) and
• SQF 2000 for manufacturers (processing plants).
The SQF 2000 Code is divided into three

certification levels:
• Level 1- Covers food safety fundamentals;
• Level 2- Certified HACCP food safety plans are recognized by
GFSI
• Level 3- Comprehensive food safety and quality management
system actions exceed the GFSI benchmark requirements.
 Auditing System
Criteria Review

Person-in-Charge (PIC )
Duties related to cold
food temperature
control

• Storage

• Preparation

• Display

• Monitoring Food
Temperature
Auditing System Criteria Review
Auditing System Criteria Review