Federal Department of Economic Affairs DEA /Federal Department of Home Affairs DHA

Federal Food Chain Unit FFCU

How to cope with “risk based” audit programs

Thomas Lüthi, MSc ETH, MSc, MSc, NDS I&D

Federal Food Chain Unit

Meeting of national audit systems network – Grange/Eire – March 2011

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Auditing within a federal state...

3 Federal Offices

Cantons:

26 agriculture authorities

22 veterinary authorities

20 food safety authorities

4Meeting of national audit systems network – Grange/Eire – March 2011

Organigramm Bund Federal Council

Federal VeterinaryOfficeFVO

SwissmedicFederal Office ofPublic Health

FOPH

Federal Department ofFinance

FDF

Federal Department of Home Affairs

FDHA

Federal Department ofEconomic Affairs

FDEA

Federal Office ofAgriculture

FOA

Federal Customs Administration

AgroscopeALP

Institute of Virology and Immunoprophylaxis

IVI

Federal Food Chain Unit FFCU

Cantonal Veterinary Services

Cantonal Food Inspection Services

Official Veterinarians (Executive)

Official Veterinarians

(Abattoirs)

Food Inspector (Executive)

Food InspectorOfficial

Veterinarians(Animal Health)

Cantonal Agriculture Services

5Meeting of national audit systems network – Grange/Eire – March 2011

Federal Food Chain Unit - Tasks

To audit the implementation and enforcement of national legislation

- by cantonal authorities in the fields of food safety, animal health and animal welfare

- by federal authorities in the field of feed control, import of animals and products of animal origin from third countries

To prepare and coordinate implementation and evaluation- of the multi-annual national control plan (MANCP)- of contingency plans

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Organisational Chart FFCU

Feed farm animals

Animal Welfare (Farm animals)

Animal Health

Hygiene Primary production

Slaughter

Processing/ distribution meat

Processing/ distribution eggs, honey

Processing/ distribution milk

Processing/ distribution food of plant origin

Gastronomy, retailer

Finance/ Personnel: FVOFinance/ Personnel: FVO

Public Relations: FVOPublic Relations: FVO

Logistics: FVOLogistics: FVOCoordination platform (CP)

O ffice Q uality Assurance

Prim ary production Processing/ distribution

Audits M ultiannual National Control P lan

Head of FFCU

M eeting of the office directors(M O D)

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FFCU

8Meeting of national audit systems network – Grange/Eire – March 2011

FFCU – Certified (ISO 9001:2008)

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Auditing the implementation of the national food legislation

FFCU is presently working on 3 audit subjects:

Animal welfare (ongoing) cantonal offices

Import (in preparation) federal and cantonal offices

Border Inspection Posts (new program in preparation) federal offices

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General context for future audits: risk-based

Subjects considering the whole food chain Risk based selection of cantons and offices Taking into account the MANCP Currently relevant topicsAccording to decision 677/2006/EC

11Meeting of national audit systems network – Grange/Eire – March 2011

2006/667/EC (5.1) Interpretation FFCU Is it ok?

A systematic approach should be applied to the planning, conduct, follow-up and management of audits. To that end, the audit process should:

be the result of a transparent planning process…..

transparency in each step, updated information given to MOD, CP, involved people, public, etc.; reports are available to everybody

…form part of an audit program that ensures adequate coverage of all relevant areas of activity …

each area of activity is considered; risk-based audit in each area of activity

…all relevantcompetent authorities …

selection of competent authorities is risk-based, it depends on audit program

…appropriate risk-basedfrequency …

each area of activity is audited minimum once in 5 years, exceptions given by MOD or expert group

…over a period not exceeding five years …

the audit process covers all 4 areas in 5 years

FFCU concept

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Subject 2008 2009 2010 2011 2012

Food safety X X X X X

Animal welfare X X

Animal health X X

Feed X

Exemple Swiss audit programs according to 2006/667/EC

X = Audit „Milk and meat“X = Audit „Animal welfare“X = Audit „Import“

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7 principles of a risk-based audit program

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1. Scope of audit - A risk based audit program describes what control areas (food safety, animal welfare, animal health, feed) are covered and whether there are any interfaces with other control areas.

2. Risk identification - A risk based audit program describes what risks were considered when drawing up the program. It shows what risks are meant in detail and how these are differentiated from other risks. Risks are strictly distinguished from hazards. Risks are characterized by hazards, impacts and the likelihood of them coming to pass.

3. Input - A risk based audit program shows transparently what information has been used and how it was assessed. It is shown in a way that is open to scrutiny how the risks are assessed and prioritized.

4. Processes - A risk based audit program describes the processes involved. It shows the methods used and, in particular, explains the flow of information and documentation, the responsibilities and the authority of the departments involved.

7 principles of a risk-based audit program (a)

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5. Output - A risk based audit program describes what the output of these audits is, what the findings are used for and what measures may be initiated.

6. Evaluation - A risk based audit program shows how this was evaluated with regard to its impact on the risk identified and studied and what conclusions were drawn from this.

7. Corrective action - A risk based audit program explains what action was taken to control an identified and audited risk.

7 principles of a risk-based audit program (b)

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Food

Feed Animal welfare

Animal diseases

FFCU

Input OutputBases

EU/FVO

Federal Offices

Politics

Enforcement

Expert group

Federal Offices process

Audit process

5 years

risk based

882/20042006/667

Audit programs list

MOD

Order

Audit process FFCU

1 1

1 1

4

5

2

3

5

6

7

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Thank you !