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Food Safety Management SystemsA Common Sense Approach to Sanitation Auditing

Dietary Managers Association

Regional Meeting – Harrisburg, PA

April 9, 2010

George Zameska

Vice President of Regulatory Affairs

Paster Training, Inc.


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Training course 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

Food Safety Management SystemsA Common Sense Approach to Sanitation Auditing


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Food Safety Management SystemsA Common Sense Approach to Sanitation Auditing

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


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Food Safety Management SystemsA Common Sense Approach to Sanitation Auditing

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.


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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

Food Safety Management SystemsA Common Sense Approach to Sanitation Auditing

What is the structure of an audit?


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Audit System Terms and Acronyms


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Audit System Terms and Acronyms


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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?


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Auditing System Foundation

Prerequisite Programs (PAS 220)

Construction and layout of buildings and associated utilities.

Layout of premises, including workspace and employee facilities

Supplies of air, water, energy and other utilities

Suitability of equipment and its accessibility for cleaning, maintenance and preventive maintenance

Management of purchased materials

Measures for the prevention of cross contamination

Cleaning and sanitizing

Pest control

Personal hygiene


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Auditing System Foundation

Prerequisite Programs

Class Exercise


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

  • 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


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

The Global Food Safety Initiative (GFSI)is a non-profit making foundation, created under Belgian law. The daily management is undertaken by CIES – The Food Business Forum.

c/o CIES – The Food Business Forum

Global Food Safety Initiative

7, rue de Madrid

75008 Paris

France

[email protected]


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

  • The GFSI Mission is to work on continuous improvement in food safety management systems to ensure confidence in the delivery of food to consumers.

    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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GFSI – Audit

Systematic and functionally independent examination to determine whether activities and related results comply with a conforming scheme, 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 management scheme

Certification scheme aimed at enhancing food safety.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.

How does this apply to you?

Safety, licensure, monetary reimbursement


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GSFI Auditing System Reviews

Primary production

Processed food


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GFSI - Section 6.1 Key Element: food safety management systems

6.1.1 General Requirements

6.1.12 Corrective Action

6.1.13 Control of Non-conformity

6.1.14 Product Release

6.1.15 Purchasing

6.1.16 Supplier Performance

6.1.17 Traceability

6.1.18 Complaint Handling

6.1.19 Serious Incident Management

6.1.20 Control of Measuring & Monitoring Devices

6.1.21 Product Analysis


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GFSI - Section 6.1 Key Element: food safety management systems

6.1.1 General Requirements

6.1.2 Food Safety Policy

6.1.3 Food Safety Manual

6.1.4 Management Responsibility

6.1.5 Management Commitment

6.1.6 Management Review

6.1.7 Resource Management

6.1.8 General Documentation Requirements

6.1.9 Specifications

6.1.10 Procedures

6.1.11 Internal Audit


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GFSI - Section 6.2: Key Elements for GAP, GMP, GDP

6.2.11 Stock Management (rotation)

6.2.12 Housekeeping, Cleaning & Hygiene

6.2.13 Water Quality Management

6.2.14 Waste Management

6.2.15 Pest Control

6.2.16 Veterinary Medicine

6.2.17 Pesticide, Herbicide & Fungicide Control

6.2.18 Transport

6.2.19 Personal Hygiene, Protective Clothing & Medical Screening

6.2.20 Training


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GFSI

Section 6.2: Key Elements for GAP, GMP, GDP (cont.)

6.2.2 Facility Environment

6.2.3 Local Environment

6.2.4 Facility Layout and Product Flow

6.2.5 Fabrication

6.2.6 Equipment

6.2.7 Maintenance

6.2.8 Staff Facilities

6.2.9 Physical & Chemical Product Contamination Risk

6.2.10 Segregation & Cross-contamination


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

GFSI - Key Elements

Class Exercise


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

  • 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


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

The Foundation for Food Safety Certification

Food Safety System Certification 22000

Key elements: Interactive communication,

System management

Prerequisite programs

HACCP principles.

ISO 22000 – Food Safety Management Systems – Requirements for any organization in the food chain.

PAS 220 -Publicly Available Specification 220:2008


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

BRC Global Standard for Food Safety

First audit scheme to be approved by GFSI in 2000.

Two key components:

Senior management commitment and HACCP

Each clause of the standard begins with a “statement of 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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

BRC Global Standard for Food Safety

Fundamental Clauses:

Clause 1 “Senior management commitment and continual improvement”

Clause 2 “The food safety plan--HACCP”

Clause 3.5 “Internal audits”

Clause 3.8 “Corrective and preventive action”

Clause 3.9 “Traceability”

Clause 4.3.1 “Layout, product flow and segregation”


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

BRC Global Standard for Food Safety

Clause 4.9 “Housekeeping and hygiene”

Clause 5.2 “Handling requirements for specific materials –

“Materials containing allergens and identity preserved materials”

Clause 6.1 “Control of operations”

Clause 7.1 “Training”


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

International Food Standard (IFS)

Standard developed by:

German and French food trade associations

Other international retailers


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

International Food Standard (IFS)

Five Chapters of subject requirements:

Senior Management responsibility

Quality management system

Resource management

Production process

Measurements, analysis and improvements


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Safety Quality Food (SQF) SQF

First launched in 1994

The Food Marketing Institute (FMI) acquired the rights to the SQF program in 2003.

SQF Institute (SQFI) division manages the program.

Safe Quality Food 2000 Code

HACCP-based quality management system to reduce the incidence of unsafe food .

Includes product quality requirements.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

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.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Benefits of a HACCP based Food Safety Management System (BSI Group, 389 Chiswick High Road, London, W4 4AL. Email: [email protected])

Process Based System: Business will benefit from a clear definition of processes and procedures. Effective communication and continual process improvement are the cornerstones of a functioning management system.

Customer and Consumer Confidence: A controlled food operating environment and effectively implemented and applied food safety system will improve customer and consumer confidence in the safety of food.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Benefits of a HACCP based Food Safety Management System (BSI Group, 389 Chiswick High Road, London, W4 4AL. Email: [email protected])

Risk Management: It uses a systematic approach covering all aspects of food production from raw materials, processing, distribution, point of sale to consumption and beyond. It moves a company from a solely retrospective end product testing and sampling approach towards a preventative approach that is designed to reduce product losses and liabilities.

Relationship Improvement: To enhance the relationships between organizations in the food chain, customers and enforcement agencies. 


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Benefits of a HACCP based Food Safety Management System(BSI Group, 389 Chiswick High Road, London, W4 4AL. Email: [email protected])

Management Responsibility: It enables management throughout a business to demonstrate their commitment to the production and supply of safe products and within facility environments that are favorable for the production or supply of safe food. 

Legal Protection: It has been widely accepted that HACCP based systems present the food industry with the most effective management tool to enable the production and supply of safe food. As such, the adoption of this approach can offer a legal defense in the event of an outbreak of food borne diseases.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Benefits of a HACCP based Food Safety Management System(BSI Group, 389 Chiswick High Road, London, W4 4AL. Email: [email protected])

Records:Record-keeping enables a more efficient and effective government and customer oversight, and allows investigators to see how well a firm is complying with food safety laws over a period of time rather than how well it is doing on any given day. The documentation within a food safety system facilitates the inspection activities of food inspectors.

Alignment with other management systems:HACCP based food safety management systems can be combined with other management systems such as ISO 9001:2000.


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

  • Auditing System Criteria Review

  • Person-in-Charge ( PIC ) Duties

  • related to cold food temperature

  • control

  • Storage

  • Preparation

  • Display

  • Monitoring Food Temperature


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Auditing System Criteria Review


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Food Safety Management Systems conditions, policy and procedure. A Common Sense Approach to Sanitation Auditing

Auditing System Criteria Review


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Food Safety conditions, policy and procedure. Management SystemsA Common Sense Approach to Sanitation Auditing

Thank You

George Zameska

Vice President of Regulatory Affairs

Paster Training, Inc.

610-970-1776

[email protected]


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