Version 6 - CGCSA · Develop competencies and capacity building in food safety to create consistent and effective global food systems, Provide a unique international stakeholder platform

Version 6.4

Contact address:Global Food Safety Initiative Foundationc/o The Consumer Goods Forum22/24 rue du Gouverneur Général Eboué92130 Issy-les-MoulineauxFRANCESecretariat email: [email protected]

This document has been written with input from our stakeholders, including retailers, food manufacturers, food service providers, accreditation bodies, certification bodies and other service providers. GFSI would like to thank all those who have helped with the continuous improvement of this document.

GFSI GUIDANCE DOCUMENT CONTENTS

OverviewForeword .................................................................................................................. 11Introduction - The Global Food Safety Initiative (GFSI) ............................................................ 11Scope ...................................................................................................................... 12Section Overview ........................................................................................................ 12Normative References .................................................................................................. 13

Part I: The Benchmarking ProcessIntroduction ............................................................................................................... 191. The Benchmarking Process ......................................................................................... 192. The Benchmark Committee ......................................................................................... 33Annex 1 – Scheme Application Guidelines .......................................................................... 35Annex 2 – GFSI Benchmark Committee Terms of Reference ...................................................... 39Annex 3 – The GFSI Appeals Procedure .............................................................................. 51

Part II: Requirements for the Management of SchemesIntroduction ............................................................................................................... 591. Requirements for a GFSI Benchmarking Application ........................................................... 592. Requirements for Food Safety Schemes - Ownership and Management..................................... 623. Requirements for Food Safety Schemes - System ............................................................... 66Annex 1: GFSI Scope of Recognition ................................................................................. 73Annex 2: GFSI Requirements for the Application of ISO /IEC 17011:2004 ...................................... 77Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodiesAnnex 3: Auditor Competence - Qualifications, Training and Experience ...................................... 91

Part III: The Technical Equivalence Process for Government Owned Certification SchemesThe Technical Equivalence Process for Government Owned Certification Schemes .......................... 99

Part IV: Scheme Scope and Key ElementsIntroduction ............................................................................................................. 105

Section 1 - Food and Feed Safety Management Requirements ................................................. 107

Table I – Food Safety Management Requirements ............................................................... 107Scopes of Recognition AI, AII, BI, BII, C, D, EI, EII EIII, EIIV and LTable II – Food Safety Management Requirements ............................................................... 110Additional Specific Requirements AITable III – Food Safety Management Requirements .............................................................. 111

Additional Specific Requirements AIITable IV – Food Safety Management Requirements ............................................................. 112Additional Specific Requirements BI and BIITable V – Food Safety Management Requirements ............................................................... 112Additional Specific Requirements CTable VI – Food Safety Management Requirements .............................................................. 113Additional Specific Requirements D, EI, EII, EIII, EIV and LTable VII – Feed Safety Management Requirements ............................................................. 113Scope of Recognition FTable VIII – Food and Feed Safety Management Requirements ............................................... 117Scope of Recognition JTable IX – Food Safety Management Requirements .............................................................. 120Scope of Recognition MSection 2 - Good Industry Sector Practice Requirements ....................................................... 123

Table I – Good Agricultural Practice ................................................................................ 123Requirements AITable II – Good Aquacultural Practice .............................................................................. 128Requirements AIITable III – Good Agricultural Practice ............................................................................... 132Requirements BITable IV – Good Agricultural Practice ............................................................................... 136Requirements BIITable V – Good Manufacturing Practice ............................................................................ 140Requirements CTable VI – Good Manufacturing Practice ........................................................................... 138Requirements DTable VII – Good Manufacturing Practice .......................................................................... 144Requirements EI, EII EIII, EIIV and LTable VIII – Good Manufacturing Practice ......................................................................... 147Requirements FTable IX – Good Distribution Practice .............................................................................. 149Requirements JTable X – Good Manufacturing Practice ............................................................................ 151Requirements MSection 3 - HACCP or Hazard Based Requirements .............................................................. 154

Table I – HACCP ........................................................................................................ 154Requirements AI, AII, BI and BIITable II – HACCP ....................................................................................................... 154Requirements C and DTable III – HACCP ...................................................................................................... 155Requirements EI, EII, EIII, EIV and LTable IV – HACCP ...................................................................................................... 155Requirements FTable V – HACCP ....................................................................................................... 156Requirements JTable VI – HACCP ...................................................................................................... 156Requirements MSection 4 - Certification of Multi-Site Organisations based on Sampling .................................... 157

Part IV: Glossary of TermsTerms and Definitions ................................................................................................. 165

Version 6.4

OVERVIEWCONTENTSForeword .......................................................................................................11

Introduction - The Global Food Safety Initiative (GFSI) .................................................11

Scope ..........................................................................................................12

Section Overview .............................................................................................12

Normative References .......................................................................................13

Sixth Edition / Version 6.4 / November 20159GFSI Guidance Document - Overview


ForewordGlobal Food Safety InitiativeThe Global Food Safety Initiative (GFSI) is a non-profit making foundation, created under and governed by Belgian law. The daily management of GFSI is undertaken by The Consumer Goods Forum. The Consumer Goods Forum has endeavoured to ensure that the information in this publication is accurate and The Consumer Goods Forum shall not be held liable for any damages (including, without limitation, damages for loss of business or loss of profits) arising in contract or otherwise from this publication or any information contained in it, or from any action or decision taken as a result of reading this publication or any such information. The fundamental principles underpinning this Guidance Document have resulted from the continuous review of the requirements of food retailers, food suppliers and food service providers. However, this document does not replace the requirement for food businesses to understand and meet the requirements of local and market food safety legislation. This document will be reviewed on a regular basis and revised where considered appropriate.

Introduction - The Global Food Safety Initiative (GFSI)The Global Food Safety Initiative (GFSI) is managed by The Consumer Goods Forum and was launched in May 2000. The GFSI Foundation Board of Directors is drawn from major global retailers, manufacturers and food service operators and, together, this group provides the strategic direction for and oversees the daily management of GFSI. Membership of the Board is by invitation only. The GFSI Vision is “driving continuous improvement in food safety to strengthen consumer confidence worldwide”.

The GFSI Mission is to provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide.

The GFSI Objectives are to:

► Reduce food safety risks by delivering equivalence and convergence between effective food safety management systems, as outlined in this Guidance Document,

► Manage cost in the global food system by eliminating redundancy and improving operational efficiency,► Develop competencies and capacity building in food safety to create consistent and effective global food

systems,► Provide a unique international stakeholder platform for collaboration, knowledge exchange and networking.The GFSI Foundation Board also provides governance to the Technical Working Groups, an international multi-stakeholder group of over 90 food safety experts. The Technical Working Groups are mandated with specific tasks, approved by the GFSI Foundation Board, in order to fulfil the GFSI Mission. The Technical Working Groups are open to all stakeholders by invitation only, subject to approval by the GFSI Board.The Guidance Document is a tool which fulfils one of the main objectives of GFSI, that of determining equivalency between food safety management systems. GFSI is responsible for the production and maintenance of the Document, which is readily available on the GFSI website (www.mygfsi.com). The Guidance Document has undergone consultation with stakeholders and has been approved by the GFSI Board. After publication the GFSI Guidance Document remains subject to review and revision by the GFSI Technical Working Groups and there are sections of the document which shall be further developed by specific Technical Working Groups on an ongoing basis. Stakeholders are invited to submit comments and proposals for changes, which will in turn be presented to the Technical Working Groups, who will recommend revisions accordingly. A full review of the GFSI Guidance Document will be undertaken at least every 4 years, although addenda may be added at any time with the approval of the GFSI Board.


Through this process of continuous improvement, GFSI provides a recognition process, which can be used by food industry stakeholders. However, it is at the discretion of individual food businesses as to which GFSI benchmarked scheme(s) they choose to apply; the decision shall be dependent on company policy, customer requirements, general regulatory requirements, due diligence obligations and product liability.

Scope The GFSI Guidance Document specifies the process by which food safety schemes may gain recognition (GFSI Guidance Document, Part I – The Benchmarking Process) and gives guidance to schemes seeking compliance. It also specifies the requirements to be put in place for a food safety scheme seeking recognition by GFSI (GFSI Guidance Document, Part II – Requirements for the Management of Schemes) and the key elements for production of safe food or feed, or for service provision in relation to food safety (GFSI Guidance Document, Part IV – Scheme Scope and Key Elements). Part III is dedicated to government-owned schemes, developed to allow for the asessment of a government-owned scheme’s equivalence against the relevant technical requirements of the GFSI Guidance Document.The key elements have been developed by members of the GFSI Technical Working Groups and other experts, who have advised upon sector specific requirements. These key elements can be directly related to the food safety principles laid down by Codex Alimentarius Standards and Guidance, as well as Codes of Practice, where appropriate.The GFSI Guidance Document, therefore, is not in itself a food safety standard and GFSI is not involved in certification or accreditation activities.Food safety schemes can apply for recognition against scope(s), which are clearly defined sectors of the food supply chain and are specified in Part II, Annex 1 – GFSI Scope of Recognition. The key elements for these sectors are specified in Part IV – Scheme Scope and Key Elements of the GFSI Guidance Document.A scheme’s standard, auditor competence requirements, certificate audit programme and management system shall be assessed against these requirements by the GFSI Benchmark Committee to verify compliance and, if successful, the scheme shall achieve formal recognition by GFSI. The requirements within this document shall be reviewed, maintained and updated by GFSI to ensure currency, consistency and integrity.

Section OverviewPart I – The Benchmarking ProcessThis section has been developed and published by GFSI to specify the requirements for the benchmarking of food safety schemes.The objectives of Part l are to define:► the requirements for the key steps in the GFSI benchmarking process,► the requirements for selection of GFSI Benchmark Committee members,► the systems and procedures relating to the GFSI benchmarking process.GFSI shall ensure that the process of benchmarking and associated procedures is transparent and open to stakeholder scrutiny. The systems and procedures associated with the GFSI benchmarking process will be reviewed, maintained and updated to ensure consistency and integrity.

Part II – Requirements for the Management of SchemesThis section has been developed and published by GFSI to specify the requirements for the management and control of food safety schemes.


The objectives of this section are to define:► the requirements for eligibility of a food safety scheme to be considered for benchmarking by GFSI,► the requirements for food safety scheme ownership and management,► the requirements for food safety scheme support systems,► the requirements for continuing recognition by GFSI, if recognition status is granted,► the requirements for the competence of auditors working for Certification Bodies that have achieved, or

are seeking, accreditation for a food safety scheme in relation to one or more GFSI scopes of recognition.

Part III – The Technical Equivalence Process for Government Owned Certification SchemesThis section, dedicated to government-owned schemes, has been developed and published by GFSI to allow for the acknowledgement of a scheme’s equivalence against the relevant technical requirements of the GFSI Guidance Document. It is distinguished from GFSI recognition of private schemes, which also assesses the scheme’s governance and operational management components. The purpose of this section is to take into account the differing structure of government owned schemes.

Part IV – Scheme Scope and Key Elements This section has been developed and published by GFSI to specify the scope requirements for the recognition of food safety schemes.The objectives of this section are to define:► the requirements for the food safety system to be present in the scheme’s standard for each GFSI scope

of recognition,► the requirements for the Good Practice requirements to be present in the scheme’s standard for each GFSI

scope of recognition,► the requirements for HACCP or HACCP-based requirements to be present in the scheme’s standard for

each GFSI scope of recognition.GFSI has worked closely with food industry experts to clearly define the requirements that shall be put in place to provide food safety assurance in specific sectors of the food industry and food businesses providing products and services to the food industry. These requirements will differ from sector to sector of the food supply chain.

Normative ReferencesThe following are referenced documents used in determining the application of the GFSI Guidance Document:► ISO/IEC Guide 65:1996 General requirements for bodies operating product certification systems► ISO/IEC 17021:2006 Conformity assessment - Requirements for bodies providing audit and certification

of management systems ► ISO/IEC 17000:2004 Conformity assessment - Vocabulary and general principles► ISO 9001:2008 Quality management systems - Requirements► ISO/IEC 17011:2004 Conformity assessment - General requirements for accreditation bodies accrediting

conformity assessment bodies ► ISO 22000:2005 Food safety management systems - Requirements for any organization in the food chain► ISO /TS 22003:2007 Food safety management systems - Requirements for bodies providing audit and

certification of food safety management systems► ISO 9000:2005 Quality management systems - Fundamentals and vocabulary► Codex Alimentarius Commission Recommended International Code of Practice - General Principles of

Food Hygiene CAC/RCP1-1969, Rev. 4 -2003► National Advisory Committee on Microbiological Criteria for Foods Hazard Analysis and Critical

Control Point Principles and Application Guidelines, August 1997.

PART I

Version 6.4

THE BENCHMARKING PROCESSCONTENTSIntroduction ................................................................................................... 191. The Benchmarking Process ............................................................................. 19

1.1 Introduction ............................................................................................ 191.2 The Key Procedural Steps .......................................................................... 191.2.1 Preliminary Screening and Benchmarking Application ......................................................................20

1.2.1.1 Methodology – Preliminary Screening and Benchmarking Application (New Scheme) ..........201.2.1.2 Methodology – Benchmarking Application (Extensions to scope of recognition) ....................211.2.1.3 Methodology – Benchmarking Application (Re-benchmarking) ..............................................21

1.2.2 Desk Review ....................................................................................................................................221.2.2.1 Methodology – Desk Review ..................................................................................................22

1.2.3 Benchmark Committee Review .................................................................................................231.2.3.1 Methodology – Benchmark Committee Assessment .......................................................23

1.2.4 GFSI Board Review ..........................................................................................................................241.2.4.1 Methodology – GFSI Board Review .......................................................................................24

1.2.5 Annual Assessment ...........................................................................................................................251.2.5.1 Methodology – Annual Assessment ........................................................................................25

1.2.6 Continued Recognition ......................................................................................................................261.2.6.1 Methodology – Continued Recognition ...................................................................................26

1.2.7 Documentation ..................................................................................................................................261.2.8 Dismissal of GFSI Benchmark Committee Leaders and Benchmark Committee Members .............261.2.9 The Benchmarking Programmes ......................................................................................................26

Table 1: Process Steps and Timescales for New Scheme Applications ............................. 27Table 2: Process Steps and Timescales for a Scheme Seeking Re-benchmarking or Extensions to Scope of Recognition ....................................................................................... 29

1.2.10 Conformity with the GFSI Guidance Document ............................................................................311.2.10.1 The GFSI Suspension of Recognition Procedure ................................................................311.2.10.2 The GFSI Withdrawal of Recognition Procedure .................................................................31

1.2.11 The GFSI Appeals Procedure- GFSI Recognition ..........................................................................322. The Benchmark Committee ............................................................................. 33

2.1 Introduction ........................................................................................... 332.2 Membership ........................................................................................... 332.2.1 Benchmark Committee Membership – New Applicant Schemes .....................................................332.2.2 Benchmark Committee Membership – Schemes Seeking Re-benchmarking or Extensions to Scopeof Recognition ............................................................................................................................................342.3 Member Selection ................................................................................... 34

Annex 1 – Scheme Application Guidelines .............................................................. 35Annex 2 – GFSI Benchmark Committee Terms of Reference .......................................... 39Annex 3 – The GFSI Appeals Procedure .................................................................. 51

Sixth Edition / Version 6.4 / November 201517GFSI Guidance Document - Part I

PART I


PART IPART I

IntroductionThis section is the first part of the Guidance Document, which has been developed and published by the Global Food Safety Initiative (GFSI) to specify the requirements for the recognition of food safety schemes.The objectives of Part I are to define:► the requirements for the key steps in the GFSI benchmarking process,► the requirements for selection for the GFSI Benchmark Committee members,► the systems and procedures relating to the GFSI benchmarking process.GFSI shall ensure that the process of GFSI benchmarking and associated procedures is transparent and open to stakeholder scrutiny. The systems and procedures associated with the GFSI benchmarking process will be reviewed, maintained and updated to ensure consistency and integrity.

1. The Benchmarking Process1.1 IntroductionThe benchmarking process carried out by GFSI is the method by which a food safety scheme is objectively compared to defined requirements as laid down in the GFSI Guidance Document to determine equivalence.The comparison is carried out by a Committee of food safety experts appointed by the GFSI Board in order to ascertain whether a scheme can demonstrate conformity with the requirements of the GFSI Guidance Document. This committee will, following the review, make recommendations to the GFSI Board for recognition or non-recognition of the food safety scheme. The review is carried out in a systematic manner, in accordance with the process defined within this document.The detailed steps, systems and procedures developed by GFSI serve to demonstrate that the GFSI benchmarking process is carried out in an independent, impartial and transparent manner by technically competent food safety experts.The review is undertaken by directly comparing the applicant scheme requirements (the scheme standard and its supporting systems) with the requirements specified within GFSI Guidance Document Part II Requirements for the Management of Schemes and the relevant section(s) of GFSI Guidance Document Part IV Scheme Scope and Key Elements.

1.2 The Key Procedural Steps The benchmarking process shall be carried out in accordance with the following key procedural steps:1. Preliminary Screening and Benchmarking Application 2. Preliminary Desk Review3. Benchmark Committee Review4. GFSI Board Review5. Annual Assessment6. Continued Recognition

The scheme owner may withdraw the application at any stage during the benchmarking process, but this must be confirmed in writing to the GFSI Executive Director. Throughout the benchmarking process the confidentiality of information shall be respected by both GFSI (and representatives appointed by GFSI) and the scheme owner.


PART IPART I

1.2.1 Preliminary Screening and Benchmarking ApplicationThe objective of the preliminary screening is to ensure the criteria specified in the GFSI Guidance Document are reviewed and checked for completeness before progressing with the application for benchmarking.The benchmarking application ensures that the scheme owner has provided all relevant information to GFSI to allow an effective assessment to be undertaken.The applicant scheme shall provide a dossier of information to confirm compliance with the criteria specified in the GFSI Benchmarking Application (available from the secretariat upon request). The dossier shall be detailed and complete. The scheme owner will clearly define, in their application, the scope of recognition sought and may include one or more scopes within one application, as long as all the necessary information is provided to assess against each scope.The dossier submitted by the scheme owner shall include a series of documents allowing GFSI to carry out an assessment against the requirements of GFSI Guidance Document Part II Requirements for the Management of Schemes and the relevant section(s) of GFSI Guidance Document Part IV Scheme Scope and Key Elements (Reference Annex 1 - Scheme Application Guidelines). In the case of an application for an extension to scope, it will be necessary to submit only the documentation relating to GFSI Guidance Document Part IV Scheme Scope and Key Elements.The scheme owner shall ensure that the provision of information is not in breach of express confidentiality obligations owed to third parties and is not otherwise restricted by applicable laws.

The application documentation shall be submitted in the GFSI specified format and will include:

(a) A summary of the food safety scheme, its objectives, details of its development and the operating procedures required for the certification system,

(b) A clause by clause cross-reference of the scheme’s standard, which is seeking compliance with the GFSI Guidance Document Part IV Scheme Scope and Key Elements. This clause by clause comparison shall also detail the compliance criteria and provide the evidence necessary to justify compliance,

(c) The requirements of the food safety scheme’s management system must be cross-referenced with GFSI Guidance Document Part II Requirements for the Management of Schemes.

In the case of an application for an extension to scope it will be necessary to submit only the documentation relating to GFSI Guidance Document Part IV Scheme Scope and Key Elements.The GFSI shall provide proforma / template documentation to the scheme owner to assist with the preparation of the application dossier upon request.If, during the course of drafting the application documentation, the scheme owner identifies obvious areas of non-compliance with the Guidance Document, these must be addressed prior to submission of the scheme for benchmarking. The application shall be forwarded to the GFSI Executive Director, who will ensure the application is fully reviewed to assess its acceptability to progress to the benchmarking process. The GFSI Executive Director may request any further information from the scheme owner in support of the application.

1.2.1.1 Methodology – Preliminary Screening and Benchmarking Application (New Scheme)The requirements specified within this clause shall apply to schemes, which have:► not previously undergone benchmarking by the GFSI, ► been previously recognised by the GFSI, but have had their recognition withdrawn.The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for the scheme application and confirm a benchmark programme in accordance with the procedures specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.The GFSI Executive Director shall then transfer all appropriate paperwork to the GFSI Benchmark Committee Leader.


PART IPART I

Once the GFSI Executive Director accepts the scheme for benchmarking, the benchmarking process will only progress when an Agreement or Memorandum of Understanding has been signed between the applicant scheme owner and GFSI (available from the GFSI secretariat upon request). Confirmation of this acceptance shall be published on the GFSI website and the benchmarking process will begin.In the event the scheme does not meet the requirements and is, therefore, not accepted for the benchmarking process, the scheme owner shall inform the GFSI Executive Director of their intention to resubmit the application dossier within a given timescale, or not to continue with the application.An applicant scheme owner shall be permitted to lodge one application with the GFSI per year, but shall only be permitted to submit one re-submission within a twelve month period, if the initial application is unsuccessful.

1.2.1.2 Methodology – Benchmarking Application (Extensions to scope of recognition)The requirements specified within this clause shall apply to schemes, which:► are applying for a new scope of recognition,► are seeking a change in extension within an existing recognised scope, which does not represent a significant change to the scheme governance or ownership, the management system or key elements.The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for the scheme application and confirm a benchmark programme in accordance with the procedures specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.The GFSI Executive Director shall check the information provided in the application dossier (available from the GFSI secretariat upon request) to establish if the requirements specified in the GFSI Guidance Document are complete. The GFSI Executive Director shall then transfer all appropriate paperwork to the GFSI Benchmark Committee Leader. The GFSI Executive Director shall confirm the acceptance of the application for an extension to scope of recognition to the scheme owner and issue a new Agreement or Memorandum of Understanding. Upon signature, the GFSI Executive Director shall ensure that confirmation of this acceptance is published on the GFSI website.A scheme shall only be permitted to lodge an application for scope extension if there is existing recognition by GFSI for a specified scope of recognition. An applicant scheme owner shall be permitted to lodge one application for a specific scope of recognition with GFSI per year (the Initial Application) with an opportunity for one re-submission for that scope of recognition within a twelve month period from the date of the initial application, if the initial application is unsuccessful.

1.2.1.3 Methodology – Benchmarking Application (Re-benchmarking)The requirements specified within this section of the GFSI Guidance Document shall apply to schemes, which have previously undergone benchmarking by GFSI and have been successful in their application, but:► have had significant change to the scheme governance or ownership, the management system or key elements, or...► a scheme will anyway be benchmarked on the 4 year anniversary of its original recognition, or...► there has been a change in the Guidance Document within the four year revision cycle, or...► there has been a suspension of recognition by GFSIThe GFSI Executive Director shall check the information provided in the application dossier (available from the GFSI secretariat upon request) to establish if the requirements specified in the GFSI Guidance Document are complete. The GFSI Executive Director shall appoint the Benchmark Leader and then transfer all appropriate paperwork to the GFSI Benchmark Committee Leader.


PART IPART I

The GFSI Executive Director shall confirm the acceptance of the application for an extension to scope of recognition to the scheme owner and issue a new Agreement or Memorandum of Understanding. Upon signature, the GFSI Executive Director shall ensure that confirmation of this acceptance is published on the GFSI website.

1.2.2 Desk Review The objective of the desk review is to assess the submissions made by the scheme owner in relation to the requirements specified within GFSI Guidance Document Part II Requirements for the Management of Schemes and the appropriate sections of GFSI Guidance Document Part IV Scheme Scope and Key Elements. The GFSI Executive Director will appoint a GFSI Benchmark Committee Leader to manage this process in accordance with the procedures specified in Annex 2 of this document.The GFSI Executive Director will also nominate, with the agreement of the GFSI Board of Directors, a Board member who will be assigned to the scheme application. This Board member shall be kept informed of all activities by the GFSI Benchmark Committee Leader. The GFSI Benchmark Committee Leader shall be provided with all the scheme application documentation and any supporting documentation, allowing a detailed desk review to be undertaken. During the Desk Review, the GFSI Benchmark Committee Leader will be looking for demonstrable evidence of compliance with the GFSI requirements from the information submitted by the scheme owner. The GFSI Benchmark Committee Leader shall use his / her expertise, experience and knowledge to ascertain compliance or non-compliance.If there is any doubt about compliance, or if insufficient or inappropriate information is provided, the GFSI Benchmark Committee Leader will liaise with the scheme owner to establish if further evidence of compliance can be submitted. Throughout this process full documentation shall be in place to record all communication and any documentation submitted to the GFSI Benchmark Committee Leader.

1.2.2.1 Methodology – Desk Review The appointed GFSI Benchmark Committee Leader will review the information provided by the scheme owner to establish if the requirements specified in GFSI Guidance Document Parts II and IV are in place. The GFSI Benchmark Committee Leader will look for demonstrable evidence of compliance with the GFSI requirements from the information submitted by the scheme owner. The GFSI Benchmark Committee Leader shall use his / her expertise, experience and knowledge to ascertain compliance or non-compliance with each requirement. During the desk review the GFSI Benchmark Committee Leader will document all information in an Assessment Matrix and will record and retain all supporting documentation.During this review the GFSI Benchmark Committee Leader may request any further information that may be required to carry out effective benchmarking of the scheme. The scheme owner shall cooperate fully with the GFSI Benchmark Committee Leader and make documentation or other evidence requested available in a timely manner.The GFSI Benchmark Committee Leader shall decide upon the completeness of the Assessment Matrix and any supporting documentation before issuing this documentation to the Benchmark Committee. The GFSI Benchmark Committee Leader shall provide the scheme owner and all members of the Benchmark Committee with the completed Assessment Matrix and all supporting documentation or other evidence for detailed review. If, for any reason, the Assessment Matrix cannot be completed to the satisfaction of the GFSI Benchmark Committee Leader within agreed programme timescales, the GFSI Benchmark Committee Leader shall make the GFSI Executive Director aware of the situation and the GFSI Executive Director shall decide upon any necessary action.


PART IPART I

1.2.3 Benchmark Committee ReviewThe Benchmark Committee review will objectively compare the applicant scheme requirements against the defined requirements laid down in the GFSI Guidance Document and prepare recommendations for recognition or non-recognition.The membership of the Benchmark Committee, including the GFSI Benchmark Committee Leader, shall be drawn from a cohort of technically competent personnel or external experts. This cohort shall have undergone selection and appointment by GFSI in accordance with the procedures specified in Section 2 and Annex 2 of this document.In the event that a suitable Benchmark Committee cannot be formed, the GFSI Executive Director shall inform the GFSI Board who shall, in turn, decide on any further action.The benchmarking process will be carried out in accordance with the Terms of Reference of the GFSI Benchmark Committee (Annex 2 - GFSI Benchmark Committee Terms of Reference).

1.2.3.1 Methodology – Benchmark Committee Assessment The GFSI Benchmark Committee Leader shall co-ordinate the activities of the Benchmark Committee.The members of the GFSI Benchmark Committee shall review the completed Assessment Matrix and supporting documentation provided by the GFSI Benchmark Committee Leader and will use their expertise to individually critically assess this information and make a judgement on compliance or non-compliance against each requirement. The members shall, wherever it is felt necessary, challenge or question the judgement of the GFSI Benchmark Committee Leader and may request more evidence of compliance. All comments and observations of Benchmark Committee members shall be made to the GFSI Benchmark Committee Leader, who will, in turn, record these comments and inform other Benchmark Committee members and the scheme owner. During this process the GFSI Benchmark Committee Leader shall take any actions necessary to facilitate close cooperation and understanding between the Benchmark Committee members and the scheme owner. The GFSI Benchmark Committee Leader shall convene a meeting of the Benchmark Committee and the scheme owner representatives whenever direct discussion is deemed necessary to clarify comments and information. Observations from the members of the Benchmark Committee and the scheme owner’s representatives shall be collated and made available for meetings between the Benchmark Committee and the scheme owner. Following the direct or electronic exchange of information and comments, a report shall be drafted by the GFSI Benchmark Committee Leader to be used for stakeholder consultation. The decision to proceed to stakeholder consultation is taken by the GFSI Benchmark Committee Leader. However, before releasing the report to the GFSI Executive Director, the scheme owner shall be provided with a copy of the report and consulted to ensure that they are in agreement that the report is accurate and a true reflection of the process undertaken. The report shall not be provided to the GFSI Executive Director until agreement to release has been confirmed by the scheme owner.If, for any reason, the report cannot be completed to the satisfaction of the GFSI Benchmark Committee Leader within agreed programme timescales, the GFSI Benchmark Committee Leader shall make the GFSI Executive Director aware of the situation and the GFSI Executive Director shall decide upon any necessary action.The GFSI Executive Director shall publish the report for stakeholder consultation on the GFSI website for the agreed period. The timescales for the benchmarking process can be found within Tables 1 and 2 of Part 1 of this document.The GFSI Benchmark Committee Leader shall fully brief the nominated Board member of the content of the report and provide the Board member with all relevant documentation.Any comments, observations or objections made by stakeholders about the report will be collated by the GFSI Benchmark Committee Leader and put forward for consideration to the Benchmark Committee


PART IPART I

members, either electronically or directly in a meeting. The GFSI Benchmark Committee Leader shall ensure that those stakeholders who submit comments during the stakeholder consultation receive feedback from the Benchmark Committee.Following stakeholder consultation the Benchmark Committee shall review comments received and the GFSI Benchmark Committee Leader shall draft a final report, which will include a recommendation of recognition or non-recognition. The decision of the GFSI Benchmark Committee to recommend the recognition or non-recognition of a scheme shall be based on consensus. If consensus cannot be reached, then a vote shall be held to determine the recommendation for the recognition or non-recognition of the applicant scheme. In the event that a vote is necessary a two thirds majority shall be required in support of a recommendation for recognition. The GFSI Benchmark Committee Leader shall ensure that all members of the Benchmark Committee receive a copy of the report prior to sending the report to the GFSI Executive Director. In the event that any member of the Benchmark Committee deems it necessary to recommend non-recognition and cannot agree with the majority vote, the reasons for the Benchmark Committee member’s rejection shall be included in the final report to the GFSI Board.The GFSI Benchmark Committee Leader shall fully brief the nominated Board member about the content of the final report and provide the Board member with all relevant documentation prior to the Board meeting.

1.2.4 GFSI Board Review The objective of the GFSI Board review is to decide upon the recognition or non-recognition of applicant schemes, based on the recommendations of the Benchmark Committee.The decision of the GFSI Board to recognise a scheme shall be based on consensus. If a vote is necessary, the votes of the majority of a quorum of the GFSI Board shall determine the decision.

1.2.4.1 Methodology – GFSI Board Review The final report and recommendation for recognition or non-recognition of the scheme shall be presented to the GFSI Board by the GFSI Executive Director.The GFSI Board shall make the decision concerning the recognition or non-recognition of a scheme at a meeting convened for that purpose, or at a GFSI Board meeting. The GFSI Benchmark Committee Leader shall be available at this meeting, at the request of the GFSI Board.The meeting, in this case, may take the form of a conference call and if voting is required to make a decision during the conference call, this shall be carried out via e-mail, immediately after the closure of the meeting.The GFSI Board shall consider the recommendation made by the Benchmark Committee and raise any issues that they may have. It is expected that the GFSI Board shall make a decision at the meeting. However, if further information is required, the GFSI Benchmark Committee Leader shall be instructed to ensure that clarifications are provided.The decision of the GFSI Board to recognise or not recognise a scheme shall be based on consensus. If consensus cannot be reached, then a vote may be held to determine the decision for recognition or non-recognition of the applicant scheme. In the event that a vote is required to reach a decision, a two thirds majority of a quorum of the GFSI Board shall be required in support of recognition. The vote shall be carried out in accordance with the GFSI Foundation Articles of Association.The GFSI Board decision shall be communicated in writing to the scheme owner by the GFSI Executive Director, as soon as practicable after the GFSI Board decision. In the event of recognition by the GFSI Board, the GFSI Executive Director shall prepare press notices confirming this decision with the co-operation of the scheme owner. The scheme owner shall also be expected to issue a comparable press release and the time of issue of these press releases shall be agreed by the GFSI Executive Director and the scheme owner. The GFSI Executive Director shall publish confirmation of the recognition of the scheme on the GFSI website (Conformance Statement). The GFSI website will include a current schedule of all recognised


PART IPART I

schemes, clearly defining their scope of recognition and expected date for re-benchmarking.In the event that the decision of the GFSI Board is non-recognition, the reasons for the Board decision shall be clearly documented and the GFSI Executive Director shall make the scheme owner aware of the reasons for the decision. The scheme owner shall have the right of appeal against the GFSI Board decision and the appeal shall be undertaken in accordance with the procedures specified in section 1.2.11 of this document.Upon the decision of the GFSI Board, the Benchmark Committee for the applicant scheme shall be disbanded.

1.2.5 Annual AssessmentThe objective of the GFSI annual assessment of GFSI recognised schemes is to assess the continued compliance of the schemes with the GFSI Guidance Document and to maintain the confidence and integrity of GFSI and the GFSI recognised schemes.

1.2.5.1 Methodology – Annual AssessmentA GFSI Assessor shall be appointed by the GFSI Executive Director. The GFSI Assessor has the responsibility for carrying out an assessment of the GFSI recognised scheme’s compliance with the GFSI Guidance Document. The appointment shall be made with due consideration to the competence of the assessor, any potential conflict of interest and the activities of the scheme in question.The review shall be undertaken to assess compliance against the requirements of GFSI Guidance Document Part II Requirements for the Management of Schemes and the appropriate sections of GFSI Guidance Document Part IV Scheme Scope and Key Elements and the GFSI Agreement or Memorandum of Understanding (available from the secretariat upon request). The review shall be conducted on an annual basis on the anniversary of the date of initial GFSI recognition. The review shall take the form of:► an annual self-assessment against defined criteria, or...► an office assessment of a scheme’s management system and operation to be carried out once within a four year period based on the anniversary of the date of initial GFSI recognition. The date of this review will be at the discretion of the GFSI Board, but the scheme owner will be notified of the date of the review.With respect to the annual self-assessment, the GFSI Assessor will review the self-assessment documentation and notify the GFSI Executive Director of any issues identified by the review.With respect to the office assessment the GFSI Assessor shall visit the registered office of the scheme owner and assess objective evidence of compliance of the scheme’s management system with the GFSI Guidance Document and the GFSI Agreement or Memorandum of Understanding. The GFSI Assessor shall formally report the findings of the review to the GFSI Executive Director. In the event that the annual assessment establishes that there are significant concerns with the compliance of the scheme with the GFSI Guidance Document or the GFSI Agreement or Memorandum of Understanding, the nominated GFSI Assessor will make the GFSI Executive Director aware of his / her concerns, so that the agreement of the GFSI Board may be sought as to any appropriate actions. Action may involve further verification of compliance, assurances of compliance and reassessment and the withdrawal or suspension of recognition. The scheme owner shall have the right of appeal against the GFSI Board decision and the appeal shall be undertaken in accordance with the procedures specified in Annex 3 of this document. In addition to the annual assessment, the scheme owner shall provide an annual report of their activities at the request of GFSI (circulated on an annual basis to all GFSI recognised scheme owners).


PART IPART I

1.2.6 Continued RecognitionThe objective of monitoring a scheme is to assess the continued compliance by the scheme with the GFSI Guidance Document.

1.2.6.1 Methodology – Continued RecognitionUnlike an annual assessment, GFSI may, at its discretion, undertake an assessment of the activities of a recognised scheme at any time. This assessment will normally be requested in the event that there is evidence of, or substantive suspicion of, non-compliance of the scheme with the requirements of the GFSI Guidance Document or the GFSI Agreement or Memorandum of Understanding.If it is deemed necessary by the GFSI Executive Director that an assessment of the scheme’s activities should be conducted, the scheme owner shall be informed of the intention to carry out additional assessments and a programme of review shall be agreed upon. The GFSI Executive Director shall make the scheme owner aware of the reasons for the assessment. The assessment may take the form of the requirement to provide GFSI with evidence of compliance or that of an office assessment carried out by an appointed GFSI Assessor.The GFSI Assessor shall be appointed by the GFSI Executive Director. The appointment shall be made with due consideration to the competence of the assessor, any potential conflict of interest and the activity of the scheme in question.In the event that the assessment establishes that there are significant concerns about the compliance of the scheme with the GFSI Guidance Document or the GFSI Agreement or Memorandum of Understanding, the nominated GFSI Assessor will make the GFSI Executive Director aware of his / her concerns. The GFSI Executive Director and Board of Directors shall take appropriate action, which may involve further verification of compliance, assurances of continued compliance and the withdrawal or suspension of recognition. The scheme owner shall have the right of appeal against the GFSI Board decision and the appeal shall be undertaken in accordance with the procedures specified in Annex 3 of this document.

1.2.7 DocumentationThe GFSI Benchmark Committee Leader shall systematically record all information appertaining to the assessment of a scheme during the benchmarking process or annual assessment and this information shall be retained by the GFSI Executive Director for a period of ten years.

1.2.8 Dismissal of GFSI Benchmark Committee Leaders and Benchmark Committee Members The GFSI Executive Director shall have the discretion to remove and replace any member, including the GFSI Benchmark Committee Leader of a Benchmark Committee, at any time if it is deemed necessary to do so. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.

1.2.9 The Benchmarking Programmes The key activities, responsibility for these activities and timescales for completion are specified in the following tables in relation to new applicant schemes and schemes, which require re-benchmarking or an extension to scope of recognition.


PART IPART I

Tabl

e 1:

Pro

cess

Ste

ps an

d Ti

mes

cale

s for

New

Sch

eme

Appl

icat

ions

Proc

ess S

tep

Desc

riptio

nRe

spon

sibili

tyTy

pica

l Tim

esca

le

for A

ctivi

tyTo

tal T

imes

cale

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Comp

letion

and s

ubmi

ssion

of an

appli

catio

n dos

sier a

nd sc

heme

re

view

docu

menta

tion

Sche

me O

wner

5 w

eeks

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Appo

intme

nt of

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

GFSI

Exe

cutiv

e Dire

ctor

1 wee

k

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Revie

w of

appli

catio

n dos

sier a

nd co

nfirm

ation

of de

cision

to

acce

pt the

appli

catio

nGF

SI E

xecu

tive D

irecto

r2 w

eeks

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Issue

of G

FSI A

gree

ment

or M

emor

andu

m of

Unde

rstan

ding

GFSI

Exe

cutiv

e Dire

ctor

Upon

confi

rmati

on of

acce

ptanc

e of

appli

catio

n dos

sier

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Comp

letion

of A

gree

ment

or M

emor

andu

m of

Unde

rstan

ding

agre

emen

tGF

SI E

xecu

tive D

irecto

r and

Sch

eme

Owne

r2 w

eeks

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Publi

catio

n of c

onfirm

ation

of be

nchm

arkin

g of s

chem

e on G

FSI

webs

iteGF

SI E

xecu

tive D

irecto

rOn

ce A

gree

ment

or

Memo

rand

um of

Und

ersta

nding

sig

ned.

Des

k R

evie

wAp

point

ment

of no

mina

ted B

oard

mem

ber

GFSI

Exe

cutiv

e Dire

ctor a

nd G

FSI

Boar

d1 w

eek

5 w

eeks

Des

k R

evie

wCo

mplet

ion of

Des

k Rev

iew an

d Ass

essm

ent M

atrix

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

and S

chem

e Own

er4 w

eeks

Des

k R

evie

wAp

point

ment

of Be

nchm

ark C

ommi

ttee m

embe

rsGF

SI B

ench

mark

Comm

ittee L

eade

r an

d GFS

I Exe

cutiv

e Dire

ctor

With

in the

4 we

ek pe

riod o

f des

k re

view

Des

k R

evie

wPr

ovisi

on of

Ass

essm

ent M

atrix

and s

uppo

rting d

ocum

entat

ion to

Be

nchm

ark C

ommi

ttee m

embe

rs an

d sch

eme o

wner

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

At th

e end

of th

e pre

limina

ry de

sk

revie

w pe

riod


PART IPART I

Proc

ess S

tep

Desc

riptio

nRe

spon

sibili

tyTy

pica

l Tim

esca

le

for A

ctivi

tyTo

tal T

imes

cale

Ben

chm

ark

Com

mitt

ee

Rev

iew

As

sess

ment

by th

e Ben

chma

rk Co

mmitte

eGF

SI B

ench

mark

Comm

ittee L

eade

r4 w

eeks

12 w

eeks

Ben

chm

ark

Com

mitt

ee

Rev

iew

Meeti

ng be

twee

n the

Ben

chma

rk Co

mmitte

e and

the S

chem

e Ow

ner t

o rev

iew as

sess

ment

findin

gsGF

SI B

ench

mark

Comm

ittee L

eade

r an

d Sch

eme O

wner

2 day

s

Ben

chm

ark

Com

mitt

ee

Rev

iew

Dr

afting

and i

ssuin

g of r

epor

tGF

SI B

ench

mark

Comm

ittee L

eade

r1 w

eek

Ben

chm

ark

Com

mitt

ee

Rev

iew

St

akeh

older

cons

ultati

onGF

SI E

xecu

tive D

irecto

r4 w

eeks

Ben

chm

ark

Com

mitt

ee

Rev

iew

Revie

w of

cons

ultati

on fe

edba

ckGF

SI B

ench

mark

Comm

ittee L

eade

r1 w

eek

Ben

chm

ark

Com

mitt

ee

Rev

iew

Draft

ing an

d iss

uing o

f fina

l repo

rt to

includ

e acti

ons r

esult

ing fr

om

Stak

ehold

er C

onsu

ltatio

n.Fina

l repo

rt an

d rec

omme

ndati

on se

nt to

GFSI

Boa

rdGF

SI B

ench

mark

Comm

ittee L

eade

r2 w

eeks

GFS

I Boa

rd R

evie

w

GFSI

Boa

rd m

eetin

g and

decis

ionSc

hedu

le Bo

ard c

onfer

ence

call i

f nec

essa

ry (a

confe

renc

e call

will

be sc

hedu

led if

no B

oard

Mee

ting w

ill tak

e plac

e befo

re ap

plica

tion

close

date)

GFSI

Boa

rd an

d GFS

I Exe

cutiv

e Di

recto

r1 d

ay

1 w

eek

GFS

I Boa

rd R

evie

wCo

mmun

icatio

n of th

e GFS

I Boa

rd de

cision

GFSI

Exe

cutiv

e Dire

ctor

1 day


PART IPART I

Proc

ess S

tep

Desc

riptio

nRe

spon

sibili

tyTy

pica

l Tim

esca

le

for A

ctivi

tyTo

tal T

imes

cale

Ben

chm

ark

Com

mitt

ee

Rev

iew

As

sess

ment

by th

e Ben

chma

rk Co

mmitte

eGF

SI B

ench

mark

Comm

ittee L

eade

r4 w

eeks

12 w

eeks

Ben

chm

ark

Com

mitt

ee

Rev

iew

Meeti

ng be

twee

n the

Ben

chma

rk Co

mmitte

e and

the S

chem

e Ow

ner t

o rev

iew as

sess

ment

findin

gsGF

SI B

ench

mark

Comm

ittee L

eade

r an

d Sch

eme O

wner

2 day

s

Ben

chm

ark

Com

mitt

ee

Rev

iew

Dr

afting

and i

ssuin

g of r

epor

tGF

SI B

ench

mark

Comm

ittee L

eade

r1 w

eek

Ben

chm

ark

Com

mitt

ee

Rev

iew

St

akeh

older

cons

ultati

onGF

SI E

xecu

tive D

irecto

r4 w

eeks

Ben

chm

ark

Com

mitt

ee

Rev

iew

Revie

w of

cons

ultati

on fe

edba

ckGF

SI B

ench

mark

Comm

ittee L

eade

r1 w

eek

Ben

chm

ark

Com

mitt

ee

Rev

iew

Draft

ing an

d iss

uing o

f fina

l repo

rt to

includ

e acti

ons r

esult

ing fr

om

Stak

ehold

er C

onsu

ltatio

n.Fina

l repo

rt an

d rec

omme

ndati

on se

nt to

GFSI

Boa

rdGF

SI B

ench

mark

Comm

ittee L

eade

r2 w

eeks

GFS

I Boa

rd R

evie

w

GFSI

Boa

rd m

eetin

g and

decis

ionSc

hedu

le Bo

ard c

onfer

ence

call i

f nec

essa

ry (a

confe

renc

e call

will

be sc

hedu

led if

no B

oard

Mee

ting w

ill tak

e plac

e befo

re ap

plica

tion

close

date)

GFSI

Boa

rd an

d GFS

I Exe

cutiv

e Di

recto

r1 d

ay

1 w

eek

GFS

I Boa

rd R

evie

wCo

mmun

icatio

n of th

e GFS

I Boa

rd de

cision

GFSI

Exe

cutiv

e Dire

ctor

1 day

Tabl

e 2:

Pro

cess

Ste

ps an

d Ti

mes

cale

s for

a S

chem

e Se

ekin

g Re

-ben

chm

arkin

g or

Exte

nsio

ns to

Sco

pe o

f Rec

ogni

tion

Proc

ess S

tep

Desc

riptio

nRe

spon

sibili

tyTy

pica

l Tim

esca

le

for A

ctivi

tyTo

tal T

imes

cale

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Comp

letion

and s

ubmi

ssion

of sc

heme

revie

w do

cume

ntatio

nSc

heme

Own

er

5 w

eeks

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Appo

intme

nt of

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

GFSI

Exe

cutiv

e Dire

ctor

1 wee

k

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Revie

w of

appli

catio

n dos

sier a

nd co

nfirm

ation

of de

cision

to

acce

pt the

appli

catio

n.GF

SI E

xecu

tive D

irecto

r2 w

eeks

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Issue

of G

FSI A

gree

ment

or M

emor

andu

m of

Unde

rstan

ding

GFSI

Exe

cutiv

e Dire

ctor

Upon

confi

rmati

on of

acce

ptanc

e of

appli

catio

n

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Comp

letion

of A

gree

ment

or M

emor

andu

m of

Unde

rstan

ding

agre

emen

tGF

SI E

xecu

tive D

irecto

r and

Sch

eme

Owne

r2 w

eeks

Prel

imin

ary

Scre

enin

g &

Ben

chm

arki

ng

App

licat

ion

Publi

catio

n of c

onfirm

ation

of st

atus o

n GFS

I web

site

GFSI

Exe

cutiv

e Dire

ctor

Once

Agr

eeme

nt or

Me

mora

ndum

of U

nder

stand

ing

signe

d

Des

k R

evie

wCo

mplet

ion of

Des

k Rev

iew an

d Ass

essm

ent M

atrix

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

and S

chem

e Own

er2 w

eeks

2 w

eeks

Des

k R

evie

wAp

point

ment

of Be

nchm

ark C

ommi

ttee m

embe

rsGF

SI B

ench

mark

Comm

ittee L

eade

r an

d GFS

I Exe

cutiv

e Dire

ctor

With

in the

preli

mina

ry de

sk

revie

w pe

riod

Des

k R

evie

wPr

ovisi

on of

Ass

essm

ent M

atrix

and s

uppo

rting d

ocum

entat

ion to

Be

nchm

ark C

ommi

ttee m

embe

rsGF

SI B

ench

mark

Comm

ittee L

eade

rAt

the e

nd of

the p

relim

inary

desk

re

view

perio

d


PART IPART I

Proc

ess S

tep

Desc

riptio

nRe

spon

sibili

tyTy

pica

l Tim

esca

le

for A

ctivi

tyTo

tal T

imes

cale

Ben

chm

ark

Com

mitt

ee

Rev

iew

Asse

ssme

nt by

the B

ench

mark

Comm

ittee

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

3 wee

ks

10 w

eeks

Ben

chm

ark

Com

mitt

ee

Rev

iew

Meeti

ng be

twee

n the

Ben

chma

rk Co

mmitte

e and

the S

chem

e Ow

ner t

o rev

iew as

sess

ment

findin

gsGF

SI B

ench

mark

Comm

ittee L

eade

r an

d Sch

eme O

wner

2 day

s

Ben

chm

ark

Com

mitt

ee

Rev

iew

Draft

ing an

d iss

uing o

f rep

ort

GFSI

Ben

chma

rk Co

mmitte

e Lea

der

1 wee

k

Ben

chm

ark

Com

mitt

ee

Rev

iew

Stak

ehold

er co

nsult

ation

GFSI

Exe

cutiv

e Dire

ctor

4 wee

ks

Ben

chm

ark

Com

mitt

ee

Rev

iew

Revie

w of

cons

ultati

on fe

edba

ckGF

SI B

ench

mark

Comm

ittee L

eade

r1 w

eek

Ben

chm

ark

Com

mitt

ee

Rev

iew

Draft

ing an

d iss

uing o

f fina

l repo

rt to

includ

e acti

ons r

esult

ing fr

om

Stak

ehold

er C

onsu

ltatio

n Fina

l repo

rt an

d rec

omme

ndati

on se

nt to

GFSI

Boa

rdGF

SI B

ench

mark

Comm

ittee L

eade

r1 w

eek

GFS

I Boa

rd R

evie

wGF

SI B

oard

mee

ting a

nd de

cision

GFSI

Boa

rd an

d GFS

I Exe

cutiv

e Di

recto

r1 d

ay

1 w

eek

GFS

I Boa

rd R

evie

wCo

mmun

icatio

n of th

e GFS

I Boa

rd de

cision

GFSI

Exe

cutiv

e Dire

ctor

1 day


PART IPART I

1.2.10 Conformity with the GFSI Guidance Document The GFSI Executive Director is responsible for the investigation of any complaints or suspected non conformity in relation to the compliance of a GFSI recognised scheme with the requirements specified within the GFSI Guidance Document.In the event that a complaint or report is received by the GFSI Executive Director regarding the non conformity of a scheme with the GFSI Guidance Document, the Executive Director will promptly acknowledge, in writing, the receipt of the complaint or report to the party concerned.When a complaint is received, the GFSI Executive Director shall initiate investigative procedures to verify the accuracy and correctness of the complaint (section 1.2.6).The Executive Director shall ensure that the details of the complaint are clearly understood and documented and that any claims or comments made by the complainant are properly authenticated and appropriately documented. This authentication shall be verified as being accurate and correct by independent sources, in addition to the complaint. It is the responsibility of the complainant to provide information that can be appropriately authenticated. It is at the discretion of the GFSI Executive Director to appoint an independent GFSI Assessor at any stage during the investigation process, but the GFSI Executive Director must ensure impartiality and preserve confidentiality. If a GFSI Assessor is appointed, he / she shall carry out a thorough investigation of the complaint and, where possible, provide a resolution for the issues, fully document the complaint process and provide a detailed report to the GFSI Executive Director.In the event that evidence of non conformity against the requirements specified in the GFSI Guidance Document is found by a GFSI Assessor during the annual assessment, the GFSI Executive Director shall promptly contact the scheme owner concerned for comment (sections 1.2.5 or 1.2.6).The GFSI Executive Director shall fully document the process of investigation and decision making.The GFSI Executive Director shall make a decision after review of the submitted evidence and will either:1. take no action against the scheme owner, or...2. convene a meeting of GFSI Board members to gain agreement on one of three possible outcomes - continued recognition, suspension of recognition, or the withdrawal of recognition. Irrespective of the decision taken by the GFSI Executive Director, all parties involved shall be informed in writing of the decision and the justification for the actions taken.

1.2.10.1 The GFSI Suspension of Recognition Procedure If, following review of the evidence gathered and submitted by the GFSI Executive Director and consultation with the scheme owner, the GFSI Board considers that a period of suspension of recognition shall be imposed, the scheme owner shall be informed of this decision and any conditions imposed by the GFSI Board to regain recognition status. The period of suspension of recognition and expected outcomes shall be made known to the scheme owner.The scheme owner shall confirm to the GFSI Board that these conditions can be achieved within the timescales set out by the GFSI Board, when evidence of corrective action can be expected and continued conformity to the requirements of the GFSI Guidance Document can be established.If the GFSI Board is not satisfied with the commitment of the scheme under suspension to take the appropriate corrective action, they shall withdraw recognition (section 1.2.10.2).In the event that a period of suspension is imposed, the GFSI website shall clearly specify the details and conditions of the suspension.

1.2.10.2 The GFSI Withdrawal of Recognition Procedure If, following review of the evidence gathered and submitted by the GFSI Executive Director and consultation with the scheme owner, the GFSI Board considers that a withdrawal of recognition is required, the scheme owner shall be informed of this decision. In the event that GFSI recognition is withdrawn, GFSI shall issue a press release and the GFSI website shall clearly specify the details and conditions of the withdrawal.


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1.2.11 The GFSI Appeals Procedure – GFSI Recognition The scheme owner has a right of appeal against any decision made by the GFSI Board, the GFSI Executive Director or any person contracted to the GFSI in relation to the benchmarking process and associated systems and procedures. The appeal shall be conducted in accordance with the GFSI Appeals Procedure (Annex 3 –The GFSI Appeals Procedure). Only the scheme owner to which the decision relates has the right of appeal to the GFSI Board. The scheme owner shall submit an appeal to the GFSI Executive Director within 30 days of the matter in dispute occurring. The appeal shall be submitted in writing to the GFSI Executive Director and shall clearly describe the reason and the justification for the appeal, together with substantive evidence for the investigation of the appeal. When the appeal procedure is initiated, the status of the scheme shall be amended on the GFSI website to reflect that the scheme is subject to appeal.Any appeal shall be heard by a Committee (the Appeals Committee), which is a body specifically assembled by the GFSI Board for the purposes of hearing an individual appeal. The GFSI Board shall ensure that such an Appeals Committee should not include any person or GFSI member of staff involved with the decision, which is being appealed. The Appeals Committee shall be assembled from members of the Advisory Council and shall consist of a minimum of three members of the Council. The GFSI shall ensure that the investigation is conducted in an impartial and professional manner and without any actual or perceived conflict of interest. The final outcome of the investigation by the Appeals Committee shall be heard by the GFSI Board and the decision made by the Appeals Committee shall be upheld by the GFSI Board.The decision submitted to the GFSI Board by the Appeals Committee shall be conveyed to the scheme owner raising the appeal. The decision of the Appeals Committee shall be final and the appeal closed.


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2. The Benchmark Committee2.1 Introduction A Benchmark Committee is a committee, which is formed to carry out a benchmarking process for a scheme that has applied to the GFSI for formal recognition. A Benchmark Committee will be formed for each accepted application following the decision by the GFSI Executive Director to proceed with the application. The Committee membership will be determined by the GFSI Executive Director having taken advice from an appointed GFSI Benchmark Committee Leader.The Benchmark Committee shall be made up of suitably qualified persons or organisations that are independent, impartial and technically competent from organisations such as retailers and manufacturers and other appropriate experts.The Benchmark Committee shall undertake its duties in accordance with the Terms of Reference (Annex 2 - GFSI Benchmark Committee Terms of Reference).

2.2 MembershipUpon agreement by GFSI to benchmark an applicant scheme, the GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader from a cohort of independent technical experts, who have undergone a selection process and who meet the criteria specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for each scheme application. The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for the management of the desk review and the benchmark committee review process. The name of the GFSI Benchmark Committee Leader shall be made known to the scheme owner upon confirmation of the appointment.

2.2.1 Benchmark Committee Membership- New Applicant Schemes The GFSI Executive Director shall invite technical experts to become members of the Benchmark Committee. The selection of the Committee members shall ensure that the following structure is achieved prior to any work being undertaken on the Assessment Matrix and any supporting documentation:► GFSI Benchmark Committee Leader,► GFSI representative – Executive Director, ► 5 representatives of retailers, suppliers or food service companies, who have knowledge and expertise in

the application of GFSI recognised schemes (there shall be at least one retailer and one supplier within this group),

► 1 GFSI Board member, ► 1 GFSI Advisory Council member (observer).The retailer, supplier and food service company representatives shall not be committed users of the scheme being considered for recognition.


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2.2.2 Benchmark Committee Membership – Schemes Seeking Re-benchmarking or Extensions to Scope of RecognitionThe GFSI Executive Director and the appointed GFSI Benchmark Committee Leader shall invite technical experts to become members of the Benchmark Committee. The selection of Committee members shall ensure that the following structure is achieved prior to any work being undertaken on the Assessment Matrix and any supporting documentation:► GFSI Benchmark Committee Leader,► GFSI representative – Executive Director, ► 1 retailer/food service company representative with knowledge and expertise in the application of GFSI

recognised schemes,► 1 supplier representative, who has knowledge and expertise in the application of GFSI recognised schemes.The retailer, supplier and food service company representatives shall not be committed users of the scheme being considered for recognition.

2.3 Member Selection The selection of a Benchmark Committee shall be in accordance with the procedures specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.GFSI shall hold a Register of Benchmark Committee Members, who may be invited to become a member of a GFSI Benchmark Committee. The Register of Benchmark Committee Members shall be publicly available on the GFSI website. Each member of the Committee shall meet the credentials defined by the GFSI and act in a professional manner at all times (Annex 2 - GFSI Benchmark Committee Terms of Reference).The GFSI Executive Director shall have the discretion to remove and replace a member of a Benchmark Committee at any time if deemed necessary. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.The GFSI Executive Director has the responsibility to investigate any malpractice or alleged malpractice, which may arise during the benchmarking process and take appropriate action.


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ANNEX 1Scheme Application Guidelines


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Scheme Application GuidelinesA scheme owner shall make an application to GFSI using the documentation downloaded from the GFSI website (www.mygfsi.com). The application documentation will differ in relation to the status of the scheme; i.e. a scheme seeking recognition for the first time or a scheme seeking re-benchmarking or an extension to scope of recognition. The application documentation format will also differ to reflect the sector specific requirements within the GFSI Guidance Document Part IV Scheme Scope and Key Elements.In the case of a new applicant scheme the application documentation will include a dossier, which, upon completion, will provide demonstrable evidence of the requirements specified in the GFSI Guidance Document.In all cases the scheme shall, irrespective of its status, complete the application, which will include: (a) A summary of the scheme, its objective, details of its development and the operating procedures required for certification,

(b) A clause by clause cross-reference of the scheme’s standard seeking compliance with the GFSI Guidance Document Part IV Scheme Scope and Key Elements. This comparison shall also detail the compliance criteria and provide justification of compliance,

(c) The requirements of the scheme’s management system must be cross-referenced with GFSI Guidance Document Part II Requirements for Management of Schemes.

All documents shall be completed in full, in English and, where references are made, these shall be submitted as text with numerical cross references. The application documentation shall be submitted to the GFSI Executive Director, who shall at that stage provide the scheme owner with an Agreement or Memorandum of Understanding (available from the secretariat upon request). The application shall be supported by evidence of compliance with the GFSI Guidance Document requirements and the GFSI Benchmark Committee may request further information or data at any stage during the benchmarking process.


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ANNEX 2GFSI Benchmark Committee Terms of Reference


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GFSI Benchmark Committee Terms of ReferenceIntroductionThe Global Food Safety Initiative (GFSI) is a non-profit making foundation, created under Belgian law. The daily management is undertaken by The Consumer Goods Forum, the only independent global network for consumer goods retailers and manufacturers worldwide. GFSI is a collaboration between some of the world’s leading food safety experts, working to promote the convergence of food safety management schemes through a benchmarking process, thereby improving cost efficiency throughout the food supply chain via the common acceptance of GFSI recognised standards by global retailers.The GFSI Mission is to provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide.The GFSI Objectives are to:► Reduce food safety risks by delivering equivalence and convergence between effective food safety

management systems, as outlined in this Guidance Document,► Manage cost in the global food system by eliminating redundancy and improving operational efficiency,► Develop competencies and capacity building in food safety to create consistent and effective global food

systems,► Provide a unique international stakeholder platform for collaboration, knowledge exchange and networking.

GFSI GovernanceThe GFSI Board is a body that provides the strategic direction and oversees the daily management of GFSI. It is made up of experienced representatives from major retailer, manufacturer and food service members. Membership of the Board is by invitation only. The GFSI Board also provides governance to the GFSI Technical Working Groups. The membership of the Technical Working Groups is by invitation of the GFSI Board. The Technical Working Groups work on specific selected projects as designated. The Terms of Reference are approved by the GFSI Board in order to fulfil the GFSI Mission.The Advisory Council was established for the purposes of providing guidance and further expertise to the GFSI Board in their decision making.

The Governance of the GFSI Technical Working GroupsThe GFSI Technical Working Groups are in place to execute the mandates specified by the GFSI Board within the timeframes provided.The GFSI Board shall assign two Board members to act as a liaison to each of the Technical Working Groups to ensure that there is effective communication between the Board, the Advisory Council and stakeholders. Benchmark Committees are individual ad-hoc Working Groups, which are formed upon the acceptance of an application of a scheme by the GFSI Executive Director and are disbanded at the request of the GFSI Board after the benchmarking process has been completed. There may be a number of Benchmark Committees in place at any one time.


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PurposeThe purpose of a GFSI Benchmark Committee is to:► ensure an applicant scheme’s food safety system, standards and supporting procedures are objectively

compared to the requirements laid down in the GFSI Guidance Document in accordance with the procedure defined in the GFSI Guidance Document,

► ensure the benchmarking process is carried out within an agreed timeframe,► ensure the findings of the benchmarking process are clearly and concisely documented,► submit recommendations to the GFSI Board for recognition or non-recognition of a scheme by GFSI in a

report format.The role of a GFSI Benchmark Committee Leader and a Benchmark Committee is to provide assessment and not to provide consultative advice to scheme owners.

Composition of a Benchmark CommitteeThere are two types of GFSI Benchmark Committee and the roles and responsibilities are dependent upon the status of the applicant scheme (Section 1.2)

Mandates and Duties of a Benchmark CommitteeThe duty of a Benchmark Committee is to carry out benchmarking procedures in accordance with those defined in the GFSI Guidance Document. These duties will be carried out on a voluntary and non-remunerated basis.

The Appointment of a GFSI Benchmark Committee LeaderThe GFSI Benchmark Committee Leader will be selected by the GFSI Executive Director, with approval from the GFSI Board. The Executive Director shall confirm the qualifications and competence of an individual and their suitability to carry out the duties and responsibilities of a GFSI Benchmark Committee Leader through a process of interviews, the review of objective evidence of relevant information and references. The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for each scheme application.

The Appointment of a Benchmark Committee MemberThe GFSI Executive Director and the appointed GFSI Benchmark Committee Leader shall invite technical experts from the Register of Benchmark Committee Members to become members of a Benchmark Committee. The selection of the members of a Benchmark Committee shall be dependent upon the role of that particular Committee; i.e. the assessment of a new scheme or the re-benchmarking or extension of scopes of recognition and with particular reference to their technical knowledge of product sectors.The selection process for an expert to be considered for the Register of Benchmark Committee Members shall be carried out by interviews, the review of objective evidence of relevant information and references.The GFSI shall hold and maintain a Register of individuals (Benchmark Committee Members), who may be invited to become a member of a GFSI Benchmark Committee. This information shall be publicly available on the GFSI website. In the event that a suitable Benchmark Committee cannot be formed, the GFSI Executive Director shall inform the GFSI Board which shall, in turn, decide on any action to be taken.


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De-registration of a GFSI Benchmark Committee Leader or a Benchmark Committee Member The GFSI Executive Director shall have the discretion to remove and replace a member of a Benchmark Committee at any time, if it is deemed necessary to do so. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.The GFSI Executive Director has the responsibility to investigate any malpractice or alleged malpractice, which may have arisen during the benchmarking process and take appropriate action.The GFSI Board has the authority to dismiss or withdraw registration of any GFSI Benchmark Committee Leader or Benchmark Committee Member at any time.

Benchmark Committee Structure - New Scheme Application► GFSI Benchmark Committee Leader (voting member),► GFSI representative – Executive Director (non-voting member),► 5 representatives of retailers, suppliers or food service companies, who have knowledge and expertise in

the application of GFSI recognised schemes. There should be at least one retailer and one supplier within this group (voting members),

► 1 GFSI Board member (voting member),► 1 GFSI Advisory Council member (observer).

Benchmark Committee Structure – Extension to Scope of Recognition and Re-benchmarking► GFSI Benchmark Committee Leader (voting member), ► GFSI representative – secretariat (non-voting member), ► 1 retailer or food service company representative (voting member),► 1 supplier representatives (voting member).

Responsibilities of Benchmark Committee MembersThe appointed GFSI Benchmark Committee Leader shall have the following responsibilities:► to manage the benchmarking process for a scheme application,► to fully document all proceedings of the benchmarking process,► to use their experience, expertise and knowledge to provide input into the assessment of a scheme application,► to manage communication between the scheme owner, benchmark committee members, the GFSI Executive Director, the appointed GFSI Board member for the scheme application and the GFSI Board,► to ensure that the benchmarking programme timescales are achieved,► to suspend the benchmarking process in the event that it is deemed that issue resolution will not result in recognition or timescales to achieve recognition are compromised,► to manage the annual assessment process,► to undertake, at the instruction of the GFSI Board or GFSI Executive Director, any ad hoc review of a recognised scheme’s management system,


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► to act in a professional, ethical and impartial manner at all times.In the event that the Benchmark Committee Leader decides to suspend the benchmarking process for any reason, he / she shall immediately notify the GFSI Executive Director of this decision, who, in turn, will notify the GFSI Board. The registered Benchmark Committee Members shall have the following responsibilities:► to use their experience, expertise and knowledge to provide input into the assessment of a scheme application,► to effectively communicate with the GFSI Benchmark Committee Leader or any other party, if requested to do so by the GFSI Benchmark Committee Leader,► to ensure assigned activities are undertaken within the agreed timescales,► to act in a professional, ethical and impartial manner at all times.The GFSI Executive Director shall have the following responsibilities with regards to the benchmarking process:► to provide administrative support to the GFSI Benchmark Committee Leader,► to ensure all events and activities are fully and accurately documented and records retained,► to investigate and act upon any issue arising from the performance or possible conflict of interests of Benchmark Committee Members.

Rules of Procedure for a Benchmark Committee The GFSI Benchmark Committee Leader and Benchmark Committee members shall carry out their duties in accordance with procedures specified in this document. The GFSI Benchmark Committee Leader shall publish a programme of activities on the date of the establishment of a Benchmark Committee and this programme will be made known to all members of the Benchmark Committee and the scheme owner. In the event that there are changes to this programme the members of the Benchmark Committee and the scheme owner will be informed of these changes.The GFSI Benchmark Committee Leader shall ensure correct procedures are undertaken during the benchmarking process and work with the GFSI Executive Director to record and document proceedings and decisions.The GFSI Benchmark Committee Leader shall ensure, through the GFSI Executive Director, that all information regarding the benchmarking process is clearly and concisely documented and provided to all parties involved in a timely manner. The GFSI Benchmark Committee Leader, with the assistance of the GFSI Executive Director, shall be responsible for the recording, maintenance and retention of this information.Members of a Benchmark Committee shall commit to participate in or attend meetings convened by the GFSI Benchmark Committee Leader in their entirety and shall also be committed in terms of time and effort to achieve objectives set by the GFSI Board. In the event that a meeting is convened and there is non-attendance of members, the meeting shall only take place if there is a quorum of members present. Note: for the purposes of a GFSI Benchmark Committee meeting benchmarking a new scheme, a quorum is regarded as being 3 members of the Committee. This shall be the GFSI Benchmark Committee Leader and two industry representatives (retailer, manufacturer or food service provider).Note: for the purposes of a GFSI Benchmark Committee meeting re- benchmarking or reviewing for an extension to scope of recognition, a quorum is regarded as being 3 members. This shall be the GFSI Benchmark Committee Leader and two industry representatives (retailer, manufacturer or food service provider). Members of a Benchmark Committee shall act in a professional, ethical and impartial manner at all times and


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shall not use any information obtained to commercially promote their own or their organisation’s interests. The selection of members of a Benchmark Committee shall ensure that there is no conflict of interest in relation to an individual, organisation or association. However, in the event that there could be a change in the status of this non conflict of interest, the Benchmark Committee member must make the GFSI Executive Director aware of the circumstances and the GFSI Executive Director will take any action necessary to resolve issues that may arise.If a vote is necessary to decide upon the recommendation to the GFSI Board, only voting members of the Committee will be allowed to vote. The GFSI Benchmark Committee Leader will ensure all members vote on the recommendation to the GFSI Board. For the purposes of re-benchmarking or extension to scope, the GFSI Benchmark Committee Leader shall have the casting vote if an equal number of recognition and non-recognition votes are given by Committee members. All information provided by a scheme owner shall be regarded as being confidential and the GFSI Benchmark Committee Leader and members of a Benchmark Committee will honour this agreement. At the time of their registration and acceptance of an invitation to become a member of a Benchmark Committee any GFSI Benchmark Committee Leader or Reviewer shall sign a declaration of confidentiality and impartiality. All information in relation to the benchmarking process shall be regarded as confidential and shall be securely retained by the GFSI Executive Director. In the event that members are asked to leave a Benchmark Committee during the benchmarking programme, the GFSI Executive Director and GFSI Benchmark Committee Leader shall invite a new member onto the Committee and the GFSI Benchmark Committee Leader shall ensure that the new member is made fully aware of information appertaining to the benchmarking process.If the GFSI Benchmark Committee Leader leaves or is asked to leave a Benchmark Committee during the benchmarking programme, the GFSI Executive Director will take immediate steps to appoint a new GFSI Benchmark Committee Leader.The GFSI Executive Director shall have the discretion to remove and replace a member of a Benchmark Committee at any time, if it is deemed necessary to do so. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.The GFSI Executive Director has the responsibility to investigate any malpractice or alleged malpractice, which may have arisen during the benchmarking process and take appropriate action.The GFSI Board has the authority to dismiss or withdraw registration of any GFSI Benchmark Committee Leader or Reviewer at any time.


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Benchmark Committee Leader Qualifications, Experience, Knowledge, Skills and Personal AttributesQualifications A GFSI Benchmark Committee Leader shall have attained, as a minimum, a degree in a food related or bioscience discipline.A GFSI Benchmark Committee Leader shall have successfully completed a qualification in relation to Lead Auditor status for Quality Management Systems.

Experience A GFSI Benchmark Committee Leader shall have a minimum of 10 years full time experience in the food industry in areas such as quality assurance or in a food safety function in food production or manufacturing, retailing, inspection, auditing or enforcement.A GFSI Benchmark Committee Leader shall have significant food safety auditing experience.

KnowledgeA GFSI Benchmark Committee Leader shall have:► a detailed knowledge of the GFSI Guidance Document,► a detailed knowledge of the mission and objectives of GFSI,► a detailed knowledge of the GFSI benchmarking process,► a detailed knowledge of food safety management systems, applicable procedures or other management

systems and documents used as audit criteria,► a detailed knowledge of audit principles, procedures and techniques in relation to food safety auditing,► a detailed knowledge of general business processes and understand the workings of organisations in

relation to size, structure, function and relationships with specific reference to quality management and food safety management,

► a detailed knowledge of accreditation and certification processes and procedures,► a detailed technical knowledge of specific food product sectors,► a knowledge of key food legislative requirements.

Skills A GFSI Benchmark Committee Leader shall have:► good organisational and time management skills,► the ability to make correct decisions based on objective and verifiable evidence,► the ability to understand and interpret written material with particular reference to system development and

operational, food safety and legislative requirements,► good, appropriate written communication skills so that communications can be understood by the intended

audience,► the ability to produce clear and accurate reports of assessment findings and clearly articulate these in

relation to GFSI Guidance Document requirements,► the ability to understand and interpret verbal material,► good, appropriate oral communication skills so that communications can be understood by the intended

audience,


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► the ability to effectively control and manage meetings during the assessment process,► the ability to effectively and systematically assess situations and information to make informed decisions

on objective and verifiable evidence,► skills to ensure effective communication between themselves and other people,► good people management skills,► the ability to provide direction and guidance to the Benchmark Committee members,► the ability to prevent and resolve conflicts,► the ability to lead the Benchmark Committee members to reach conclusions.

Personal Attributes A GFSI Benchmark Committee Leader shall be:► fair, truthful, unbiased, sincere, discreet, trustworthy and honest,► able to demonstrate a high level of personal integrity,► open-minded, reasonable and willing to consider alternative ideas or points of view,► tactful in dealings with people, as appropriate to achieve the benchmarking objectives,► instinctively aware of and able to understand situations,► able to adjust readily to different situations and to effectively resolve conflict and arrive at consensus

agreement where possible,► persistent and focussed in their approach to achieve objectives,► able to reach timely conclusions based on logical reasoning and analysis and, in the case of possible

conflict, be confident to manage and control discussions. The individual will assume the leadership role during problematical discussions and situations in order to resolve issues,

► able to act effectively and function independently,► able to be professional and ethical and make decisions even though these actions and decisions may

result in disagreement, confrontation or appeal proceedings,► courteous, conscientious, discreet and business like in their approach,► empathetic, respectful to others and able to engender trust,► able to keep relevant information confidential in accordance with non-disclosure or confidentiality

agreements,► able to communicate confidently and with authority to secure agreement with scheme owner management,► able to maintain strict independence from self-interest or personal bias,► able to effectively plan, prioritise and adjust the activities of the benchmarking process, as far as possible

without adversely affecting the outcome of assessment.Prior to entry into the Register of Benchmark Committee Members, a GFSI Benchmark Committee Leader shall sign a statement of confidentiality, impartiality and non conflict of interest and provide this to the GFSI Executive Director. In the event that personal circumstances mean that this statement is compromised, the GFSI Benchmark Committee Leader will inform the GFSI Executive Director, who will, in turn, take appropriate steps to ensure that the integrity of GFSI is not compromised. The Register of GFSI Benchmark Committee Leaders shall be published on the GFSI website within the Register of Benchmark Committee Members.


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Benchmark Committee Member Qualifications, Experience, Knowledge, Skills and Personal AttributesQualifications A GFSI Benchmark Committee Member shall have attained, as a minimum, a degree in a food related or bioscience discipline.

Experience A GFSI Benchmark Committee Member shall have a minimum of 5 years full time experience in the food industry in the sector relevant to the scope of the scheme application, including areas such as quality assurance or in a food safety function in food production or manufacturing, retailing, inspection, auditing or enforcement or the equivalent.A GFSI Benchmark Committee Member shall have significant food safety auditing experience.

KnowledgeThe GFSI Benchmark Committee member shall have:► a detailed knowledge of the GFSI Guidance Document,► a detailed knowledge of the mission and objectives of GFSI,► a knowledge of the GFSI benchmarking process,► a detailed knowledge of food safety management systems, applicable procedures or other management

systems and documents used as audit criteria,► a detailed knowledge of audit principles, procedures and techniques in relation to food safety auditing,► a detailed knowledge of general business processes and an understanding of the workings of organisations

in relation to size, structure, function and relationships with specific reference to quality management and food safety management,

► a knowledge of accreditation and certification processes and procedures,► a detailed technical knowledge of specific product sectors,► a knowledge of key food legislative requirements.An applicant for the Register of Benchmark Committee Members shall be trained by GFSI on the GFSI Benchmarking processes and procedures. This training shall be undertaken upon selection and prior to entry into the Register of Benchmark Committee Members.

Skills The GFSI Benchmark Committee Member shall have:► good organisational and time management skills,► the ability to make correct decisions based on objective and verifiable evidence,► the ability to understand and interpret written material with particular reference to system development and

operational, food safety and legislative requirements,► good, appropriate written communication skills so that communications can be understood by the intended

audience,► the ability to understand and interpret verbal material,► good, appropriate oral communication skills so that communications can be understood by the intended

audience,


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► the ability to effectively and systematically assess situations and information to make informed decisions using objective and verifiable evidence,

► skills to ensure effective communication between themselves and other people.

Personal Attributes A GFSI Benchmark Committee Member shall be:► fair, truthful, unbiased, sincere, discreet, trustworthy and honest,► able to demonstrate a high level of personal integrity,► open-minded, reasonable and willing to consider alternative ideas or points of view,► tactful in dealings with people, as appropriate, to achieve the benchmarking objectives,► instinctively aware of and be able to understand situations,► able to adjust readily to different situations and to effectively resolve conflict and arrive at consensus

agreement, where possible,► persistent and focussed in their approach to achieve objectives,► able to reach timely conclusions based on logical reasoning and analysis and, in the case of possible

conflict, be confident to manage and control discussions,► able to act effectively and function independently,► professional and ethical and make decisions even though these actions and decisions may result in

disagreement, confrontation or appeal proceedings,► courteous, conscientious, discreet and business like in their approach,► empathetic, respectful to others and able to engender trust,► able to keep relevant information confidential in accordance with non-disclosure or confidentiality

agreements,► able to maintain strict independence from self-interest or personal bias.Prior to entry into the Register of Benchmark Committee Members, a GFSI Benchmark Committee Member shall sign a statement of confidentiality, impartiality and non-conflict of interest and provide this to the GFSI Executive Director. In the event that personal circumstances mean that this statement is compromised, the GFSI Benchmark Committee Member will inform the GFSI Executive Director, who will, in turn, take appropriate steps to ensure that the integrity of GFSI is not compromised.


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ANNEX 3The GFSI Appeals Procedure - GFSI Benchmarking


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The GFSI Appeals Procedure - GFSI BenchmarkingIntroductionThe following procedure defines the process steps to be taken in the event that a scheme owner wishes to appeal against a decision taken by the GFSI Board, the GFSI Executive Director or any person contracted to the GFSI in relation to the benchmarking process and the associated systems and procedures. Only the scheme owner to whom the decision relates has the right of appeal to the GFSI Board regarding the status of GFSI recognition and the Appeal Notice shall be submitted by an authoritative person from the scheme management or governing board.

ProcedureThe scheme owner shall submit an Appeal Notice to the GFSI Executive Director within 30 days of the matter in dispute occurring. The Appeal Notice shall be submitted in writing to the GFSI Executive Director and shall clearly describe the reason and the justification for the appeal, together with substantive evidence to assist with the investigation of the appeal.The Appeal Notice shall clearly state the reason and rationale for the objection, contain documented objective evidence to support the appeal and details of the person responsible within the objecting scheme owner’s organisation. The Appeal Notice shall be signed by an authoritative person from the objecting scheme owner and shall include the name, position, signature and date of signature. The GFSI Executive Director shall formally acknowledge receipt of the Appeal Notice to the objecting scheme owner. This acknowledgement shall take place within 24 hours of receipt of the Appeal Notice. The GFSI Executive Director shall also notify the GFSI Board members within 24 hours of receipt of the Appeal Notice.The GFSI Executive Director shall review the Appeals Notice with the Chairman of the GFSI Board. If it is deemed that the information provided in the Appeal Notice is insufficient or subjective in nature, he / she shall contact the signatory of the Appeal Notice and make his / her observations known. The scheme owner has the right to resubmit the Appeals Notice with additional information, but should they choose not to do so, the Chairman of the GFSI Board has the authority to reject the appeal at that stage. In the event that an appeal is deemed not justified, then the scheme owner and the GFSI Board will be informed. The decision concerning the validity of the appeal shall be made within 2 days of the receipt of the Appeal Notice.The GFSI Executive Director will make the decision known to the scheme owner and GFSI Board members whether or not to take forward or reject the appeal within 2 days of the receipt of the Appeal Notice. In the event that the appeal is not taken forward the reason for the decision will be made known to the scheme owner and GFSI Board members.When the appeal procedure is initiated, the status of the scheme shall be amended on the GFSI website to reflect that the scheme is subject to appeal.The appeal shall be considered by an Appeals Committee, which is a committee specifically assembled by the GFSI Board. The GFSI Executive Director shall ask the Chairman of the GFSI Board to invite three members of the Advisory Council to sit on the Committee. The GFSI Executive Director shall ensure that none of the invited members of the Advisory Council has any possible conflict of interest in relation to the scheme owner appealing against the decision of the GFSI. The Appeals Committee shall be appointed within two weeks of confirmation of acceptance by the GFSI Executive Director of taking forward the appeal.The Chairman of the GFSI Board shall appoint an Appeals Committee Chairman, who will have responsibility to co-ordinate the activities of the Committee, document all actions, comments and decisions appertaining to the appeal and report back to the GFSI Board on their decision to uphold or reject the appeal. The Chairman of the Appeals Committee shall ensure throughout all stages of the appeals process that all proceedings shall be conducted in an impartial and professional manner.


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The GFSI Executive Director shall ensure all members of the Appeals Committee have a complete copy of the Appeal Notice, signed by the scheme owner and any other information related to the appeal. This may include recognition application data, investigative documentation from complaint reviews or documentation relating to continuous assessment.The Chairman of the Appeals Committee shall decide upon the duration of the review of information submitted by the GFSI Executive Director and make this known to other members of the Committee, the Chairman of the GFSI Board and the GFSI Executive Director. The duration of the investigative phase of the appeal will, however, be no longer than four weeks from receipt of the confirmation of the GFSI Executive Director to take the appeal forward.During this investigative phase the chairman of the Appeals Committee will liaise with other committee members and the scheme owner to establish the validity of the objection and to collate information and opinions allowing a decision to be made. The liaison with the scheme owner will always be with the signatory of the Appeal Notice.The Chairman of the Appeals Committee shall ensure a meeting takes place between the Appeals Committee and the scheme owner (signatory of the Appeal Notice and any other parties nominated by the signatory) within six weeks of the acceptance of the appeal by the GFSI Executive Director. The meeting will be fully minuted.Following the meeting with the objecting scheme owner’s representative(s), the Chairman of the Appeals Committee shall convene a meeting of all Appeals Committee members and review the appeal information and any other evidence to decide upon the acceptance or rejection of the appeal. This meeting will take place with two days of the meeting with the objecting scheme owner’s representative(s). The meeting will be minuted and these minutes provided to the GFSI Board.The decision to accept or reject the appeal by the members of the Appeals Committee will be made by consensus and, if a vote is required, the majority vote will decide the outcome of the appeal. Members of the Appeals Committee cannot abstain. The Chairman of the Appeals Committee will inform the Chairman of the GFSI Board and the GFSI Executive Director of the Committee’s decision within one day of the closure of the Appeals Committee meeting. The Chairman of the Appeals Committee shall also provide the GFSI Board with the minutes of the Appeals Committee meeting and any other evidence felt necessary to clarify or support their decision. The decision made by the Appeals Committee is final and cannot be overturned by the GFSI Board.If the Appeals Committee feels that an issue is identified that may require further investigation, they shall appoint an ad hoc committee, with clear terms of reference to carry out further work, to provide advice and guidance.The Chairman of the GFSI Board shall ensure all other Board members are made aware of the decision of the Appeals Committee and he / she will write to the scheme owner making them aware of the status of recognition.The GFSI Executive Director shall ensure that the status of the scheme is made known on the GFSI website as soon as the scheme owner is informed of the decision of the Appeals Committee by the Chairman of the GFSI Board.

PART II

Version 6.4

REQUIREMENTS FOR THE MANAGEMENT OF SCHEMESCONTENTSIntroduction ................................................................................................... 591. Requirements for a GFSI Benchmarking Application ................................................ 59

1.1 Introduction ........................................................................................... 591.2 Requirements for Scheme Application ............................................................ 60

2. Requirements for Food Safety Schemes - Ownership and Management......................... 622.1 Introduction ............................................................................................ 622.2 Scheme Scope ......................................................................................... 622.3 Scheme Development and Maintenance .......................................................... 622.4 Scheme Governance ................................................................................. 632.5 Scheme Management ................................................................................ 642.6 GFSI Relationship .................................................................................... 65

3. Requirements for Food Safety Schemes - System ................................................... 663.1 Introduction ........................................................................................... 663.2 Relationship with Accreditation Bodies ........................................................... 663.3 Relationship with Certification Bodies ............................................................ 663.4 Certification Body Personnel Competence ........................................................ 693.5 Audit Frequency and Duration ...................................................................... 713.6 Audit Reporting ....................................................................................... 713.7 The Management of Certification ................................................................. 723.8 Data Management ................................................................................... 72

ANNEX 1: GFSI Scope of Recognition .................................................................... 73ANNEX 2: GFSI Requirements for the Application of ISO /IEC 17011:2004 ......................... 77

Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies

ANNEX 3: Auditor Competence - Qualifications, Training and Experience ........................ 91

Sixth Edition / Version 6.4 / November 201557GFSI Guidance Document - Part II

PART II


PART II

IntroductionThis section is the second part of the Guidance Document, which has been developed and published by the Global Food Safety Initiative (GFSI) to specify the requirements for the recognition of food safety schemes.The objectives of Part II are to define:► the requirements for eligibility of a food safety scheme to be considered for benchmarking by GFSI,► the requirements for food safety scheme ownership and management,► the requirements for food safety scheme supporting systems,► the requirements for continuing recognition by GFSI, if recognition status is granted.

1. Requirements for a GFSI Benchmarking Application1.1 Introduction The purpose of the application for GFSI benchmarking by scheme owners is to initiate the benchmarking process and to ensure that the criteria are in place to meet the GFSI requirements for recognition.The types of scheme that can be recognised by GFSI are schemes owned by non-governmental bodies or government bodies. Irrespective of ownership, schemes must meet the requirements for application specified in Part II Section 2.Applicant scheme owners shall submit an application for recognition in accordance with the requirements specified in Part I, Section 1.2. There are three types of scheme application;► New Schemes► Extension of Scope of Recognition► Re-benchmarking

1.1.1 New schemesA new scheme is defined as a scheme which has:► not previously undergone benchmarking by GFSI,► been previously recognised by GFSI, but has had recognition withdrawn.

1.1.2 Extension of Scope of RecognitionA scheme seeking an extension of scope is defined as a scheme which is: ► seeking to apply for a new scope of recognition► seeking an extension of an existing recognised scope, which does not represent a significant change to the

scheme governance or ownership, the management system or key elements.

1.1.3 Re-benchmarking A scheme seeking re-benchmarking is defined as a scheme which:► has had significant change to the scheme governance or ownership, the management system or key

elements, or...► is required to be benchmarked on the 4 year anniversary of the original recognition, or...► requires benchmarking after a change in the Guidance Document within the four year revision cycle, or...► has been subject to suspension by GFSI.1 The scheme shall retain GFSI recognition for a period of one year after the publication of a new version of the GFSI Guidance Document.


PART IIPART II

1.2 Requirements for Scheme Application 1.2.1 Requirements for Scheme Application – New SchemeThe GFSI will require the applicant scheme owner to:a) have in place a written Agreement or Memorandum of Understanding with GFSI1 , and...b) submit an application for recognition for a defined scope(s)2, and...c) submit an application for recognition to GFSI together with supporting evidence proving that;

► there is commitment from a minimum of three user organisations representing the retail / food service or producing / manufacturing sectors that use, or are going to use the scheme, and...

► there is agreement with one or more Accreditation Bodies for Certification Bodies to operate to ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003) for the scope of their scheme. The decision as to the most appropriate generic standard to be used to accredit Certification Bodies for the scope of a scheme shall be made in consultation with Accreditation Bodies, but the final decision shall rest with the Accreditation Bodies.

Where the scheme owner has agreements with two or more Accreditation Bodies, the use of the accreditation standard must be the same irrespective of the Accreditation Body and it is incumbent on the scheme owner to ensure that consistency of decision making exists between Accreditation Bodies. The Accreditation Bodies granting accreditation to the scope of the scheme shall be members of the International Accreditation Forum (IAF) and shall be signatories to the Multilateral Recognition Arrangement (MLA), and...

► there are contractual relationships3 with at least two Certification Bodies that have accreditation for the scope of the scheme with an Accreditation Body, and...

► the scheme has in place ten accredited certificates for single site audits (for the relevant scope of the application) issued by Certification Bodies, including at least one certificate issued by each Certification Body during a twelve month period prior to the date of the application, and...

► the scheme has been operational for a period of twelve months prior to the date of application. During this period, certificates shall be issued to a variety of organisations. A scheme is deemed to become operational on the date on which the first accredited certificate is issued by a Certification Body.

1 The type of written agreement is subject to GFSI Board discretion (available from the secretariat upon request). 2 A new application from a scheme owner may be submitted with a number of scopes of recognition. In this event the benchmarking process shall be carried out in accordance with Part I Section 1.2.1.1, Methodology- Preliminary Screening and Benchmarking Application (New Scheme) for one scope of recognition and the other scopes of recognition will be addressed in accordance with Part I Section 1.2.1.2 Methodology - Benchmarking Application (Extensions to scope of recognition). The GFSI Benchmarking Committee Leader will assign Benchmark Committee members to ensure the expertise is in place within specific Committees in relation to scope of recognition.3 Where it is not possible to establish formal contractual arrangements, there shall be a clearly defined relationship between the scheme owner and Certification Bodies.

1.2.2 Requirements for Scheme Application – Extension of Scope of RecognitionGFSI will require the applicant scheme owner to:a) submit an application for recognition for a defined scope(s)1, and...

b) submit an application for recognition to GFSI together with supporting evidence proving that;

► there is agreement with one or more Accreditation Bodies for Certification Bodies to operate to ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003) for the scope of their scheme. The decision as to the most appropriate generic standard to be used to accredit Certification Bodies for the scope of a scheme shall be made in consultation with Accreditation Bodies but the final decision shall rest with Accreditation Bodies.


PART II

Where the scheme owner has agreements with two or more Accreditation Bodies, the use of the accreditation standard must be the same irrespective of the Accreditation Body and it is incumbent on the scheme owner to ensure that consistency of decision making exists between Accreditation Bodies. The Accreditation Bodies granting accreditation to the scope of the scheme shall be members of the International Accreditation Forum (IAF) and shall be signatories to the Multilateral Recognition Arrangement (MLA), and...

► there are contractual relationships with at least two Certification Bodies, that have accreditation for the scope of the scheme with an Accreditation Body, and...

► the scheme has in place ten accredited certificates (for the relevant scope of the application) issued by Certification Bodies to demonstrate market demand, including at least one certificate issued by each Certification Body during a twelve month period prior to the date of the application, and...

► the scheme has been operational within a period of twelve months prior to the date of application. A scheme is deemed to become operational on the date on which the first accredited certificate is issued by a Certification Body.

1 An application for an extension to scope of recognition from a scheme owner may be submitted with a number of scopes of recognition. In this event the benchmarking process shall be carried out in accordance with Part I Section 1.2.1.2 Methodology - Benchmarking Application (Extensions to scope of recognition). The GFSI Benchmarking Committee Leader will assign Benchmark Committee members to ensure the expertise is in place within specific Committees in relation to scope of recognition.

1.2.3 Requirements for Scheme Application – Re-benchmarkingGFSI will require the applicant scheme owner to:a) submit an application for recognition for a defined scope(s)1, and...

b) submit an application for recognition to GFSI together with supporting evidence proving that:

► there is continued commitment from a minimum of three user organisations representing the retail / food service or producing / manufacturing sectors that use, or are going to use the scheme, and...► there is agreement with one or more Accreditation Bodies for Certification Bodies to operate to ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003) for the scope of their scheme. The decision as to the most appropriate generic standard to be used to accredit Certification Bodies for the scope of a scheme shall be made in consultation with Accreditation Bodies but the final decision shall rest with the Accreditation Bodies.Where the scheme owner has agreements with two or more Accreditation Bodies, the use of the accreditation standard must be the same irrespective of the Accreditation Body and it is incumbent on the scheme owner to ensure that consistency of decision making exists between Accreditation Bodies. The Accreditation Bodies granting accreditation to the scope of the scheme shall be members of the International Accreditation Forum (IAF) and shall be signatories to the Multilateral Recognition Arrangement (MLA), and...► there are contractual2 relationships with at least two Certification Bodies, that have accreditation for the scope of the scheme with an Accreditation Body, and...► the scheme has in place ten accredited certificates (for the relevant scope of the application) issued by Certification Bodies, including at least one certificate issued by each Certification Body during a twelve month period prior to the date of the application. 1 A scheme owner seeking re-benchmarking may submit an application with a number of scopes of recognition. In this event the benchmarking process shall be carried out in accordance with Part I Section 1.2.1.3 Methodology - Benchmarking Application (Re-Benchmarking) for equivalent scopes of recognition. Additional scopes of recognition will be addressed in accordance with Part I Section 1.2.1.2 Methodology - Benchmarking Application (Extensions to scope of recognition). The GFSI Benchmarking Committee Leader will assign Benchmark Committee members to ensure the expertise is in place within specific Committees in relation to scope of recognition.2 Where it is not possible to establish formal contractual arrangements, there shall be a clearly defined relationship between the scheme owner and Certification Bodies.


PART IIPART II

2. Requirements for Food Safety Schemes – Ownership and Management2.1 IntroductionThe requirements contained in this section are intended to provide confidence in the compliance of a food safety scheme; i.e. the specific scheme standard and its related management system.

2.2 Scheme Scope2.2.1 The scheme shall have a defined scope in relation to food safety or services directly associated with food safety, which shall be subject to certification by accredited Certification Bodies.GFSI has clearly defined scopes in relation to products or services for which schemes can seek recognition by GFSI. The scheme shall clearly specify the scope of activity within its application to GFSI (Part I Section 1).

2.2.2 GFSI has categorised the food supply chain into sectors and sub-sectors for which there has been defined a series of requirements of good practice, dependent upon that sector. These requirements are regarded as food safety criteria associated with Good Agricultural Practice (GAP), Good Manufacturing Practice (GMP), Good Distribution Practice (GDP), Good Catering Practice (GCP) and Good Retail Practice (GRP). These requirements shall be clearly defined in the standard of the applicant’s scheme and these shall be assessed against the requirements of the relevant section of the GFSI Guidance Document (Reference Part IV Scheme Scope and Key Elements).

2.2.3 GFSI has clearly defined specific requirements in relation to the operation of food safety schemes and the scheme owner shall also, within its normative references, define requirements of the scheme based on best practice of schemes within the sector for which the scheme has applied for recognition. For example, Certification Body operational standards, the competence of Certification Body staff and the accreditation standard. GFSI shall assess these requirements against the relevant section of the GFSI Guidance Document.

2.2.4 A scheme’s standard may incorporate requirements other than those related to food safety, but only those requirements relating to food safety shall be assessed by GFSI for the purpose of recognition and the scheme’s standard shall have a significant proportion of its overall requirements as food safety related requirements. For the application process the scheme owner will clearly identify and cross-reference those requirements to be put forward for the scope of GFSI recognition (Reference Part I Annex 1 - Scheme Application Guidelines).In the event that a scheme is recognised by GFSI and the scheme’s standard incorporates requirements other than food safety criteria, the scheme owner shall clearly define within any communication the scope of GFSI recognition with respect to food safety.

2.3 Scheme Development and Maintenance2.3.1 The scheme owner shall be an organisation that is a legal entity, or an organisation which is a partnership of legal entities or a government agency. The scheme cannot be developed, managed or owned by a Certification Body or group of Certification Bodies.

2.3.2 The scheme shall have been developed and maintained with the participation of technically competent representatives of direct stakeholders, or have been subjected to formal review by such parties and subsequently determined as appropriate. For each scope of recognition, the number and interests of the stakeholder representatives involved with the scheme development shall be reflective of the sector of the food supply chain for which the scope of the scheme is intended.


PART II

2.3.3 The scheme, during its development, shall have been subjected to extensive stakeholder consultation and due consideration shall have been given to comments received from stakeholders during the consultation.

2.3.4 The scheme shall consist of a standard (which is recognised by an Accreditation Body as the scope of certification) and a system based on the principles of ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003). The scheme shall have a clearly defined scope of activity, commensurate to the GFSI scope(s) of recognition and the standard and system shall specify the requirements and supporting systems and procedures to ensure that users are fully aware of compliance obligations. The standard shall be a normative document. The standard and other defined normative documents shall be established by consensus and issued using a formalised and documented approval process.

2.3.5 All of the scheme’s normative documents shall be appropriately controlled and publicly available. The normative documents shall be provided in English and their translation appropriately controlled.

2.3.6 There shall be in place a system to ensure that stakeholders and other interested parties can make effective contact with the scheme owner, or authorised authority, to clarify any interpretation.

2.3.7 The scheme shall be subject to formal internal review annually and, where appropriate, revised. The scheme’s normative documents shall be reissued at least every four years, or as appropriate, in accordance with the revision of or significant changes to the GFSI Guidance Document requirements. Where the scheme owner makes any changes to the standard or other defined normative documents, these changes shall be brought to the attention of the GFSI Executive Director.

2.3.8 The formal review of the scheme shall be carried out with the involvement of direct stakeholders. The review shall assess the management of the scheme, the currency of the scheme’s standard and address any issues of concern raised by stakeholders. The review and any arising actions shall be fully documented.

2.4 Scheme Governance 2.4.1 In relation to a scheme that is owned by a non-government organisation, the scheme shall be developed, maintained and administered by a legal entity or an organisation consisting of legal entities, that has a constitution, which clearly defines its activities and responsibilities and has good governance in place. There shall be in place a clearly defined organisational structure, which specifies activities and responsibilities.The scheme shall have in place a Board or Governance Body, which operates to a defined governance policy specifying the Board or Governance Body election process, Board or Governance Body representation, member categories, income generation or funding processes, an organisational structure, the decision making process, personnel roles (responsibility and authority), standard setting procedures and a conformity assessment programme. The scheme’s organisational structure shall name individuals on Boards, committees and in management roles and this shall be publicly available. The scheme’s governance shall be such as to ensure that there is no conflict of interest, which could call into question its impartiality and integrity.

2.4.2 In relation to a scheme owned by a government organisation, the scheme shall be developed, maintained and administered by a specified government agency. There shall be in place a named Board, Governance Body or Committee. There shall be in place a defined organisational structure, which specifies activities and responsibilities in relation to other government bodies and other organisations such as Accreditation Bodies.The scheme shall have in place a clearly defined governance policy, which specifies the representation of organisations and individuals on the Board, Governance Body or Committee, the decision making process, personnel roles (responsibility and authority), standard setting procedures and a conformity assessment programme. The scheme organisational structure shall name individuals on Boards, committees and in management roles and this should be publicly available. The scheme’s governance shall be such as to ensure there is no conflict of interest, which could call into question its impartiality and integrity.

2.4.3 The scheme shall have in place a procedure which vets and approves personnel employed by the organisation to ensure their professional integrity, competence and impartiality.


PART IIPART II

2.4.4 The scheme owner shall have adequate and appropriate arrangements in place to cover any liabilities, which may arise from its activity.

2.4.5 The scheme shall be open and transparent in its governance and operations.

2.4.6 The scheme shall be open, without restriction, to application by any Certification Body and, for the purposes of certification, must be operated in a non-discriminatory manner.

2.4.7 The certification process must not be ‘self-promoting’ or ‘self-expanding’ by mandating that a product or service to be certified must contain components, which are certified under a standard owned by the scheme.

2.4.8 The levying of a reasonable fee for the purchase of the scheme, a license fee for its implementation, examination of auditors or a training requirement for the application of the scheme, will not be regarded as a restriction or a limitation.

2.4.9 The scheme owner shall not be directly involved with any activity that could be seen as being a conflict of interest or could bring itself, associated Accreditation Bodies, associated Certification Bodies or the GFSI, into disrepute.

2.4.10 The scheme owner shall ensure that no employees and committee members have a conflict of interest that might influence decisions in relation to the granting of certification to the scheme.

2.4.11 Where the scheme owner has copyright on any normative documents, this shall be held by the legal entity and have systems in place to minimise any risk of breach of the copyright.

2.5 Scheme Management2.5.1 The scheme shall be effectively managed by the scheme owner or management delegated to a competent authority. In the event of the operational management of the scheme being delegated by the scheme owner, the scheme owner shall ensure that the requirements of GFSI are not compromised.

2.5.2 The scheme shall have in place an appropriate number of staff with adequate resources to effectively manage the scheme’s day to day operations and there shall be in place a defined organisational and reporting structure, key job descriptions and documented operating procedures.

2.5.3 The scheme owner shall carry out regular reviews of the operation of the scheme and take any necessary action to ensure compliance with GFSI requirements; these reviews shall be part of an internal audit programme.

2.5.4 The management of the scheme shall ensure that all contractual or formal arrangements between the scheme and GFSI are in place at all times.

2.5.5 The scheme owner shall ensure that individual Certification Bodies operating to the scope of their scheme comply with the requirements of the GFSI Guidance Document and are accredited to the scope of an appropriate accreditation standard; i.e. ISO/IEC Guide 65 or ISO/IEC 17021:2006 (supplemented by ISO/TS 22003), which has been granted by an Accreditation Body that is a member of the International Accreditation Forum (IAF) and is a signatory to the IAF Multilateral Recognition Arrangement (MLA).

2.5.6 The scheme owner shall have in place a system of key performance indicators for Certification Bodies, which are monitored by a series of measures including complaints procedures and report screening procedures. There shall also be in place a risk based programme of office audits and announced, but unscheduled, audits of certified organisations. The measurement of key performance indicators shall be carried out according to a risk based programme, which is based on the number, size and complexity of assessments carried out by a Certification Body.2.5.7 The scheme owner shall have in place adequate controls for the translation and publication of normative documents.


PART II

2.5.8 The scheme owner shall have a documented system in place for sanctions against non compliant Certification Bodies. 2.5.9 The scheme owner shall have in place a procedure for dealing with complaints, which shall include requirements for investigation, complaint management documentation and successful resolution of the complaint.

2.6 GFSI Relationship2.6.1 The scheme owner shall sign and be in compliance with a four year Agreement or Memorandum of Understanding between the organisation and the GFSI. There may be circumstances under which a formal agreement may not be possible; e.g. with a governmental body. Under these circumstances the GFSI Board will make the decision to accept the application for recognition.2.6.2 The scheme owner shall actively participate in GFSI activities relating to certification and accreditation and shall be co-operative in their dealings. The scheme owner will be expected to actively promote the principles supporting GFSI. 2.6.3 In the event of any significant changes to ownership, management personnel, management structure or constitution, the scheme owner shall inform GFSI in a timely manner. Where the scheme owner is aware of any possible conflict or problems, which could result in bringing their scheme or GFSI into disrepute, GFSI shall be informed and appropriate action shall be taken.2.6.4 The scheme owner shall provide GFSI with information relating to the GFSI requirements upon request and shall complete an annual report on activities. The annual report will relate to the satisfactory operation of a scheme in accordance to the GFSI requirements (circulated on an annual basis to all GFSI recognised scheme owners).2.6.5 GFSI shall undertake an annual audit of the scheme owner’s system by the process of self-assessment incorporating a review of the results and actions arising from the scheme owner’s internal audit (Reference Part I Section 1.2.5).In addition to the self-assessment review an office assessment of the scheme’s management system and operation shall be conducted by GFSI within a four year period (Reference Part I Section 1.2.5.1)

2.6.6 The scheme owner shall only make claims regarding the conformity in respect of the scope for which recognition to the GFSI Guidance Document has been granted.2.6.7 The scheme owner shall not allow products produced under the conforming scheme to be labelled, marked or described in a manner, which implies that it meets specific food safety criteria. 2.6.8 The scheme owner shall ensure that it does not use its recognition by GFSI in such a manner as to bring GFSI into disrepute and will not make any statements regarding its conforming status that GFSI may consider misleading or unauthorised.2.6.9 In the event of suspension of recognition of a scheme all (restricted) advertising or promotional matterthat contains any reference to GFSI e.g. logo, name and scheme rules, attendance at meetings and annualreport, shall be discontinued and, where required, recalled.


PART IIPART II

3. Requirements for Food Safety Schemes - System3.1 Introduction The requirements contained in this section describe the requirements that a scheme owner shall have in place in relation to their food safety scheme’s system, in order to ensure compliance with the GFSI Guidance Document.

3.2 Relationship with Accreditation Bodies3.2.1 The scheme owner shall have enforceable arrangements with their respective Accreditation Bodies to ensure compliance with the GFSI Requirements for the Application of ISO /IEC 17011:2004 – Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies (reference Part II Annex 2) or have in place an Agreement with Accreditation Bodies endorsed by the International Accreditation Forum (IAF), which provides equivalence to the GFSI Requirements for the Application of ISO /IEC 17011:2004 – Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies.The scheme owner shall formally appoint a representative in charge of contact with the Accreditation Body.3.2.2 The scheme owner shall ensure that, in the event that a Certification Body has had its accreditation withdrawn or suspended by an Accreditation Body, the scheme owner is informed of this action and of the circumstances surrounding the withdrawal or suspension of accreditation.

3.3 Relationship with Certification Bodies3.3.1 The scheme owner shall ensure that it has contractual and enforceable arrangements with all Certification Bodies that are approved to operate their scheme.3.3.2 Scheme owners shall ensure that all Certification Bodies with which they have contractual arrangements are accredited. The scheme owner will act to ensure that the accreditation standard used by all national Accreditation Bodies for the scope of their scheme is consistent and, where appropriate, will facilitate a harmonised agreement on behalf of the contracted Certification Bodies.The scheme owner, as part of their contractual arrangements with certification bodies, shall ensure that direct dialogue between the Scheme Owner and the Accreditation Body takes place in the event that a Certification Body has had its accreditation withdrawn or suspended.3.3.3 The scheme owner shall ensure that all activities resulting in the issuing of certificates are delivered by Certification Bodies, which are accredited by Accreditation Bodies that are members of the International Accreditation Forum (IAF) in compliance with ISO/IEC Guide 65 or ISO/IEC 17021:2006 (supplemented by ISO/TC 22003) and are signatories to the Multilateral Recognition Arrangement (MLA).3.3.4 The scheme owner shall ensure that the scope of accreditation of a Certification Body shall be precisely defined in terms of the category of application reference (e.g. product categories or services) of the conforming food safety scheme, including revision numbers and / or dates and is publicly available. Certification Bodies undertaking audits against food safety schemes, which have been found to be in compliance with this document, must have the named scheme included in their scope of accreditation. 3.3.5 Under certain circumstances, the Certification Body may have an application for extension of their scope pending with an Accreditation Body. They must, however, have a current accreditation to ISO/IEC Guide 65 or ISO/IEC 17021 (supplemented by ISO/TC 22003). Written notification of such a circumstance from the Certification Body must be held and acknowledged by the scheme owner.


PART II

3.3.6 The range of certification services offered by a Certification Body may be wider than those accredited. In this case the scheme owner shall ensure that the limits and scope of the accreditation shall be made clear by the Certification Body and publicly available. Any ambiguity in relation to the scope of services offered by the Certification Body for a scheme shall be resolved by the scheme owner in consultation with the Certification Body concerned. Services that are outside the scope of the accreditation shall be distinguished from those that are accredited.

3.3.7 Certification Bodies that are seeking accreditation for the scope of a scheme shall be accredited within one year from the date of application to an Accreditation Body. In the event that accreditation is not granted within this period the scheme owner shall ensure that the Certification Body contract shall be terminated and potential actions reviewed.

3.3.8 The scheme owner shall have in place an auditor registration system for every scheme specific auditor employed by a Certification Body. The details of the auditor’s qualifications, training, experience and scope of activity in relation to the scheme’s product categorisation shall be held and maintained within this register. The scheme owner will register approved auditors and shall ensure that the Certification Body has a system to update the auditors’ details, where appropriate.

3.3.9 The scheme owner shall have in place a risk based system of auditor competence assessment, which may consist of examinations, review of performance by documentation review or witnessed audits.

3.3.10 The scheme owner will have a system in place to ensure that Certification Bodies notify the scheme owner of changes to ownership, management personnel and management structure or constitution in a timely manner. Where the scheme owner is aware of any possible conflict or problems, which could result in bringing their scheme or GFSI into disrepute, the scheme owner and the Certification Body shall agree on appropriate action.

3.3.11 The scheme owner shall have in place procedures to ensure a Certification Body notifies them of any withdrawal or suspension of certification of a supplier.

3.3.12 The scheme owner shall ensure that Certification Bodies shall have in place an agreement with certified organisations to ensure that they are informed of any food safety prosecution, significant regulatory food safety non-conformity or any product recall relating to food safety and that the Certification Bodies have procedures in place to ensure the integrity of certification after notification.

3.3.13 The scheme owners shall ensure that the following criteria are in place:3.3.13.1 The Certification Body shall take all steps required to evaluate conformance with the scheme’s standard and fully comply with other associated requirements of the certification scheme.3.3.13.2 The Certification Body shall operate an effective and fully implemented quality system. The quality system shall be fully documented and used by all relevant Certification Body staff. Within the Certification Body there shall be a designated member of staff responsible for the quality system’s development, implementation and maintenance. This designated member of staff will have a reporting role to the organisation’s executive and shall also have the responsibility for reporting on the performance of the quality system for the purposes of management review and subsequent system improvement.3.3.13.3 The required quality system shall be fully documented in a quality manual, which, in turn, will contain all necessary procedures for compliance. As a minimum, the quality manual shall contain:I. A quality policy statement,II. A description of the legal status of the organisation, including ownership and an organisational structure including named individuals, their job titles and the description of their responsibilities. The organisational structure shall include a chart listing each job title and how these functions interrelate through a management structure,


PART IIPART II

III. A list of named individuals employed by the organisation, which includes their qualifications and full details of their experience,IV. A description of the management of the certification process including its committee structure, terms of reference and procedures.V. Details of management review policy and procedures,VI. Procedures in relation to documentation control,VII. Details of operational and functional responsibilities pertaining to quality and defining individual limits of responsibility and accountability,VIII. Recruitment procedures; i.e. selection, initial training, ongoing training and performance assessment for all relevant Certification Body personnel,IX. A list of all subcontractors and a detailed procedure for their appointment, assessment and their ongoing management,X. Procedures for actions in response to non conformities and the effectiveness of agreed corrective and preventative actions taken,XI. Procedures in relation to the use of the certificate and, in the event of a requirement to withdraw or suspend certification, the actions taken by the Certification Body,XII. Policies and procedures relating to appeals, complaints and disputes,XIII. Procedures for conducting internal audits and for corrective actions arising from internal audits.3.3.13.4 In the event of significant changes, which could affect the safety of product, changes to the requirement of the certification scheme standard, changes of ownership or management of the supplier or if the Certification Body has reason to believe there could be compliance issues in relation to certification, the Certification Body shall re‐evaluate the supplier(s) to assess compliance with the certification scheme standard.3.3.13.5 The Certification Body shall at all times make available the following information:I. Authority under which the organisation operates,II. A statement in relation to its certification system, including information on rules and procedures for granting, maintaining, extending, suspending and withdrawing certification of its clients,III. Evaluation procedures and certification processes in relation to the certification scheme,IV. Details of the means of obtaining financial support and fees charged to clients,V. Details of the rights and requirements of applicants and clients such as the use of logos and marks and the way in which a client can use information in relation to certification,VI. Details of complaints, appeals and disputes procedures,VII. A comprehensive list of all clients certificated against the scope of the certification scheme’s standard.3.3.13.6 The Certification Body shall require all staff involved with the certification process to sign a contract or agreement, which clearly commits them to:I. Complying with the rules of the organisation with particular reference to confidentiality and independence from commercial or personal interests,II. Declaring any issues in relation to personal conflicts of interest.The Certification Body shall clearly document and make known to its employees all requirements of ISO/IEC Guide 65 or ISO/IEC17021 relating to personnel.3.3.13.7 The Certification Body shall hold and maintain records regarding the qualifications, training and


PART II

experience of all staff involved in the certification process. All records shall be dated. The information shall include, as a minimum:I. Name and address,II. Organisational affiliation and position held,III. Educational qualification and professional status,IV. Experience and training in the relevant fields of competence in relation to the certification scheme’s requirements,V. Details of performance appraisal(s).

3.4 Certification Body Personnel Competence3.4.1 Certification Body Personnel Competence - General

3.4.1.1 The Certification Body shall employ personnel who have the competence requirements to meet all management, administrative, technical and auditing functions within the organisation. 3.4.1.2 The Certification Body shall maintain up to date personnel records, including relevant qualifications, training, experience, affiliations, professional status, competence and any relevant consultancy services that may have been provided. This includes management and administrative personnel, in addition to those performing technical and auditing activities. The Certification Body shall be mindful of and act upon any issues relating to conflict of interest that may affect personnel performance or impartiality.

3.4.2 Auditor Competence - Qualifications, Training, Experience and Personal Attributes3.4.2.1 Independently of the scope of accreditation, the Certification Body shall have systems and procedures in place to ensure that auditors conducting assessments meet the capabilities described in ISO 19011, ISO 17021, ISO/IEC Guide 65 and ISO 22003 with specific regard to requirements specified by GFSI recognised schemes and all requirements listed in Part II Sections 3.4.2 to 3.4.10.3.4.2.2 The scheme owner shall have in place a clearly defined category of application reference (e.g. product or service) for which Certification Bodies can apply for a scope of accreditation. The auditors employed by the Certification Body shall be able to demonstrate competence in these categories of application. Where a Certification Body applies for a new or an extension to the scope of activity in relation to a category of reference, the scheme owner shall ensure that there is a procedure in place to verify the competence of the auditors of the Certification Body (reference Part II Section 3.4.7).

3.4.3 Qualification/Education3.4.3.1 The scheme owner shall clearly define the qualifications and education of auditors as being in accordance with the requirements specified in Part II Annex 3.

3.4.4 Total Work Experience3.4.4.1 5 years full time experience in the food or associated industry including at least 2 years work in quality assurance or food safety functions in food production or manufacturing, retailing, inspection or enforcement or the equivalent (Reference Part II Annex 3).This period may be reduced to a total of 2 years experience if the competence of the auditor is assessed by an examination designed and delivered by the scheme owner.The examination content shall, as a minimum, cover:► General knowledge of the scheme,► Knowledge of relevant legislative requirements,► Knowledge and understanding of specific food processes,► Understanding of quality assurance, quality / food safety management and HACCP principles.


PART IIPART II

3.4.5 Formal Auditor Training3.4.5.1 A formal auditor training programme shall be in place:► Auditors shall have successfully completed recognised training in auditing techniques based on QMS or FSMS – duration 1 week / 40hours or equivalent,► Auditors shall have successfully completed a training course in HACCP based on the principles of Codex Alimentarius and demonstrate competence in the understanding and application of HACCP principles – minimum duration 2 days or equivalent.► Auditors shall have successfully completed training in the scheme being delivered, to the satisfaction of the scheme owners.

3.4.6 Initial Training3.4.6.1 The training programme for each auditor will incorporate:► an assessment of knowledge and skills for each product category in which the auditor will be expected to be working,► an assessment of knowledge of food safety, HACCP, Pre-Requisite Programmes and the ability to access and be able to apply relevant laws and regulations,► a period of supervised training to cover the assessment of quality / food safety management systems and HACCP, specific audit techniques and specific category knowledge,► a documented sign off of the satisfactory completion of the training programme by the appointed competent supervisor.

3.4.7 Audit Experience3.4.7.1 Auditing Skills AssessmentAuditors will be assessed on their performance in a combination of 10 audit days and 5 audits in accordance with the Certification Body’s written programme and as a pre-requisite to meeting applicable requirements of the GFSI recognised scheme.3.4.7.2 Maintain Audit ExperienceThe Certification Body shall have in place an annual programme, which shall include at least 5 on site audits at different organisations against the relevant GFSI approved standard to maintain category and scheme knowledge.

3.4.8 Extension of Scope3.4.8.1 In order to extend scope, an auditor must undergo a programme of training in the new category, conduct supervised audits and must be assessed and signed off as competent by the Certification Body to conduct audits in the new category.

3.4.9 Continuous Professional DevelopmentThe auditor shall keep up to date with category best practice, food safety and technological developments and have access to and be able to apply relevant laws and regulations and shall maintain written records of all relevant training undertaken.

3.4.10 Personal Attributes and Desired BehaviourThe Certification Body shall have a system in place to ensure auditors conduct themselves in a professional manner. The following includes examples of required personal attributes and behaviour:► Ethical; i.e. fair, truthful, sincere, honest and discreet,► Open minded; i.e. willing to consider alternative ideas or points of view,► Diplomatic; i.e. tactful in dealing with people,► Observant; i.e. actually aware of physical surroundings and activities,


PART II

► Perceptive; i.e. instinctive, aware of and able to understand situations,► Versatile; i.e. adjusts readily to different situations,► Tenacious; i.e. persistent, focussed on achieving objectives,► Decisive; i.e. timely conclusions based on logical reasoning,► Self-reliant; i.e. acts independently whilst interacting effectively with others,► Integrity; i.e. aware of need for confidentiality and observes professional code of conduct.

3.5 Audit Frequency and Duration3.5.1 The scheme owner shall have a clearly defined and documented audit frequency programme, which shall ensure a minimum audit frequency of one audit per year of an organisation’s facility and has the scope to assess all elements of the scheme’s standard.The audit frequency programme shall define the frequency of audit for each product category covered by the scope of the scheme. The frequency of audits may be influenced by a number of factors such as previous audit history, concerns about compliance with a scheme’s standard, seasonality of product, significant capacity increases, structural changes, changes in product technology or changes in product type. The scheme owner must clearly define the rationale for the determination of frequency within the scheme.

3.5.2 Irrespective of the defined minimum audit frequency, the Certification Body shall undertake additional surveillance audits in the event that there is evidence or suspicion of non conformity within an organisation.

3.5.3 Some schemes may have a scope, which includes the growing or production of seasonal products and, therefore, will require some limited flexibility of audit frequency to allow effective auditing of seasonal products. These variations to audit frequency shall be clearly defined.

3.5.4 The scheme owner shall clearly define the expected duration of audits and the rationale for the determination of the duration of the audit; it is expected that the duration of an on-site audit to be typically 2 days for the manufacture of processed products and 1 day for primary production, in order to effectively assess an organisation’s systems and premises in accordance to the scheme’s standard and provide confidence in the certification process. There shall be in place clear criteria, which specify the justification for deviation from these typical durations.The rationale shall include criteria that will ensure effectiveness of the audit such as the level and depth of assessment of management systems and GAP/GMP/GDP requirements and premises / systems assessment (e.g. product lines, products and product categories).

3.5.5 The scheme owner shall have in place monitoring procedures to ensure that contracted Certification Bodies comply with the defined audit duration criteria and that appropriate actions are taken in the event that a Certification Body does not meet the defined requirements.

3.6 Audit Reporting3.6.1 The scheme owner shall have in place a clearly defined system for the generation and issue of audit reports.

3.6.2 Where scoring, ranking and grading systems are applied these shall be clearly explained by the scheme owner and publicly available.

3.6.3 The audit report shall, in all cases, incorporate details of the duration of the audit and this information shall be monitored by the scheme owner.

3.6.4 The audit report shall include sufficient detail to ensure that it clearly expresses where the site is in compliance, or not in compliance, with the scheme’s standard requirements. In the case where non conformity is identified by the auditor, clear and concise details of the non conformity shall be provided in the audit report.


PART IIPART II

3.6.5 The scheme owner shall ensure appropriate confidentiality is in place and that the audit report is only released at the discretion of the contracted client. Ownership of the audit report, determination of details made available and authorisation for access shall remain with the contracted client.

3.7 The Management of Certification 3.7.1 The scheme owner shall have in place a clearly defined system for the granting, suspension and withdrawal of certification services by Certification Bodies for the scope of their scheme.

3.7.2 Irrespective of the system of the granting of certification, all non conforming organisations shall have corrective action plans and evidence of implementation submitted for the Certification Body to verify that the organisation fully meets the requirement of the scheme’s standard. Verification of the corrective action plan by a Certification Body shall take the form of further on-site assessment or the scrutiny of submitted documentation including updated procedures, records and photographs assessed by a technically competent member or group within the Certification Body. All evidence of corrective action shall be returned, completed and verified by the Certification Body, within a timescale defined with the scheme owner, before certification can be awarded.

3.7.3 The scheme owner’s system for granting the approval of certification services by Certification Bodies for the scope of their scheme shall include the requirement that each assessment report is given a thorough technical review prior to granting, suspending, withdrawing or renewing certification. For the review process to be effective it shall ensure that:► reviewers are impartial and technically capable of understanding the content of reports and that the reports

are accurately assessed to demonstrate satisfactory evidence of compliance with the scheme,► all requirements of the standard have been fully covered, using any supporting notes made during the

assessment by a suitably qualified auditor,► the scope of the report covers the scope applied for by the organisation and that the report provides

satisfactory evidence that all areas of the scope have been fully investigated,► all areas of non conformity have been identified and effective corrective action has been taken to resolve

these non conformities.

3.7.4 The Certification Body shall have in place a clearly defined and publicly available appeals procedure.

3.7.5 The scheme owner shall have in place a certificate template, which specifies the information required to be included on a certificate.

3.8 Data Management 3.8.1 The scheme owner shall have in place a clearly defined data management system, which will hold and maintain data for the effective management and operation of the scheme.

3.8.2 The data management system shall incorporate data in relation to the requirements of the GFSI Guidance Document.


PART II

ANNEX 1GFSI Scope of Recognition


PART IIPART II

GFSI

Sco

pe o

f Rec

ogni

tion

Th

e GFS

I sec

tor an

d sub

-secto

r sco

pes f

or re

cogn

ition a

re as

follo

ws;

GFSI

Sco

pe o

f Rec

ogni

tion

(B

ench

mar

king

Cat

egor

y Cod

e)Be

nchm

arki

ng C

atego

ry N

ame

Exam

ples

of P

rodu

cts

/ Ser

vice

s an

d m

etho

d of

pro

duct

ion

AIFa

rming

of A

nimals

for M

eat/ M

ilk/ E

ggs/

Hone

yAn

imals

(othe

r tha

n fish

and s

eafoo

d) us

ed fo

r mea

t pro

ducti

on, e

gg pr

oduc

tion,

milk

prod

uctio

n or h

oney

pr

oduc

tion

Grow

ing, k

eepin

g, tra

pping

and h

untin

g (sla

ughte

ring a

t poin

t of h

untin

g)

AII

Farm

ing of

Fish

and S

eafoo

dFis

h and

seafo

od us

ed fo

r mea

t pro

ducti

onGr

owing

, trap

ping a

nd fis

hing (

slaug

hterin

g at p

oint o

f cap

ture)

BIFa

rming

of P

lants

(othe

r tha

n gra

ins an

d puls

es)

Grow

ing or

harve

sting

of pl

ants

(othe

r tha

n gra

ins an

d puls

es) f

or fo

od

BII

Farm

ing of

Gra

ins an

d Puls

esGr

owing

or ha

rvesti

ng of

grain

s and

pulse

s for

food

CAn

imal

Conv

ersio

nLa

irage

, slau

ghter

, evis

cera

tion,

bulk

chilli

ng, b

ulk fr

eezin

g of a

nimals

Guttin

g, bu

lk fre

ezing

of fis

hSt

orag

e of g

ame

DPr

e-pr

oces

s han

dling

of pl

ant p

rodu

cts, n

uts an

d gr

ain

De-sh

elling

of nu

tsDr

ying o

f gra

inGr

ading

of fr

uit an

d veg

etable

sSt

orag

eCl

eanin

g, wa

shing

, rins

ing, fl

uming

, sor

ting,

grad

ing, tr

immi

ng, b

undli

ng, c

oolin

g, hy

dro-

cooli

ng, w

axing

, dr

ench

ing, p

ackin

g, re

-pac

king,

stagin

g, sto

ring,

loadin

g and

/ or a

ny ot

her h

andli

ng ac

tivity

that

does

not

signifi

cantl

y tra

nsfor

m the

prod

uct fr

om its

origi

nal h

arve

sted f

orm.

EIPr

oces

sing o

f per

ishab

le an

imal

prod

ucts

Prod

uctio

n of a

nimal

prod

ucts

includ

ing fis

h and

seafo

odMe

at, eg

gs, d

airy a

nd fis

h pro

ducts

Debo

ning,

cuttin

g, wa

shing

, trim

ming

, gra

ding,

paste

urisa

tion,

cook

ing, c

uring

, ferm

entat

ion, s

mokin

g, ch

illing

, fre

ezing

, pac

ked i

n mod

ified a

tmos

pher

e, pa

cked

in va

cuum

pack

ing


PART II

GFSI

Sco

pe o

f Rec

ogni

tion

Th

e GFS

I sec

tor an

d sub

-secto

r sco

pes f

or re

cogn

ition a

re as

follo

ws;

GFSI

Sco

pe o

f Rec

ogni

tion

(B

ench

mar

king

Cate

gory

Cod

e)Be

nchm

arki

ng C

atego

ry N

ame

Exam

ples

of P

rodu

cts

/ Ser

vice

s an

d m

etho

d of

pro

duct

ion

AIFa

rming

of A

nimals

for M

eat/ M

ilk/ E

ggs/

Hone

yAn

imals

(othe

r tha

n fish

and s

eafoo

d) us

ed fo

r mea

t pro

ducti

on, e

gg pr

oduc

tion,

milk

prod

uctio

n or h

oney

pr

oduc

tion

Grow

ing, k

eepin

g, tra

pping

and h

untin

g (sla

ughte

ring a

t poin

t of h

untin

g)

AII

Farm

ing of

Fish

and S

eafoo

dFis

h and

seafo

od us

ed fo

r mea

t pro

ducti

onGr

owing

, trap

ping a

nd fis

hing (

slaug

hterin

g at p

oint o

f cap

ture)

BIFa

rming

of P

lants

(othe

r tha

n gra

ins an

d puls

es)

Grow

ing or

harve

sting

of pl

ants

(othe

r tha

n gra

ins an

d puls

es) f

or fo

od

BII

Farm

ing of

Gra

ins an

d Puls

esGr

owing

or ha

rvesti

ng of

grain

s and

pulse

s for

food

CAn

imal

Conv

ersio

nLa

irage

, slau

ghter

, evis

cera

tion,

bulk

chilli

ng, b

ulk fr

eezin

g of a

nimals

Guttin

g, bu

lk fre

ezing

of fis

hSt

orag

e of g

ame

DPr

e-pr

oces

s han

dling

of pl

ant p

rodu

cts, n

uts an

d gr

ain

De-sh

elling

of nu

tsDr

ying o

f gra

inGr

ading

of fr

uit an

d veg

etable

sSt

orag

eCl

eanin

g, wa

shing

, rins

ing, fl

uming

, sor

ting,

grad

ing, tr

immi

ng, b

undli

ng, c

oolin

g, hy

dro-

cooli

ng, w

axing

, dr

ench

ing, p

ackin

g, re

-pac

king,

stagin

g, sto

ring,

loadin

g and

/ or a

ny ot

her h

andli

ng ac

tivity

that

does

not

signifi

cantl

y tra

nsfor

m the

prod

uct fr

om its

origi

nal h

arve

sted f

orm.

EIPr

oces

sing o

f per

ishab

le an

imal

prod

ucts

Prod

uctio

n of a

nimal

prod

ucts

includ

ing fis

h and

seafo

odMe

at, eg

gs, d

airy a

nd fis

h pro

ducts

Debo

ning,

cuttin

g, wa

shing

, trim

ming

, gra

ding,

paste

urisa

tion,

cook

ing, c

uring

, ferm

entat

ion, s

mokin

g, ch

illing

, fre

ezing

, pac

ked i

n mod

ified a

tmos

pher

e, pa

cked

in va

cuum

pack

ing

EII

Proc

essin

g of p

erish

able

plant

prod

ucts

Prod

uctio

n of p

lant p

rodu

cts (

includ

ing gr

ains,

nuts,

and p

ulses

)W

ashin

g, sli

cing,

dicing

, cutt

ing, s

hred

ding,

peeli

ng, g

radin

g, pa

steur

isatio

n, co

oking

, chil

ling,

juicin

g, pr

essin

g, fre

ezing

, pac

ked i

n mod

ified a

tmos

pher

e, pa

cked

in va

cuum

pack

ing or

any o

ther a

ctivit

y tha

t sign

ifican

tly

trans

forms

the p

rodu

ct fro

m its

origi

nal w

hole

state

EIII

Proc

essin

g of p

erish

able

anim

al an

d plan

t pr

oduc

ts(mi

xed p

rodu

cts)

Prod

uctio

n of a

nimal

and p

lant p

rodu

ctsMi

xing,

cook

ing, c

hillin

g, fre

ezing

, pac

ked i

n mod

ified a

tmos

pher

e, pa

cked

in va

cuum

pack

ing

EIV

Proc

essin

g of a

mbien

t stab

le pr

oduc

ts

Prod

uctio

n of fo

od pr

oduc

ts fro

m an

y sou

rce th

at ar

e stor

ed an

d sold

at am

bient

tempe

ratur

eAs

eptic

fillin

g, ba

king,

bottli

ng, b

rewi

ng, c

annin

g, co

oking

, dist

illing

, dryi

ng, e

xtrus

ion, fe

rmen

tation

, free

ze

dryin

g, pr

essin

g, fry

ing, h

ot fill

ing, ir

radia

ting,

millin

g, mi

xing a

nd bl

endin

g, pa

cked

in m

odifie

d atm

osph

ere,

pack

ed in

vacu

um pa

cking

, pas

teuris

ing, p

icklin

g, ro

astin

g, sa

lting a

nd re

fining

FPr

oduc

tion o

f feed

Prod

uctio

n of fe

ed fr

om a

single

or m

ixed f

ood s

ource

Dryin

g, co

oking

, milli

ng, m

ixing

, blen

ding a

nd ex

trusio

n

GCa

tering

Prod

uctio

n of fo

od pr

oduc

ts fro

m an

y sou

rce fo

r con

sump

tion o

utside

the h

ome

Cook

ing, m

ixing

and b

lendin

g, pr

epar

ation

of co

mpon

ent p

rodu

cts

HRe

tail /

Who

lesale

Prov

ision

of fin

ished

food

and f

eed p

rodu

cts to

a cu

stome

rRe

tailin

g and

who

lesali

ng of

food

and f

eed

IPr

ovisi

on of

Foo

d Safe

ty Se

rvice

s

Supp

ly of

servi

ces r

elated

to th

e safe

prod

uctio

n of fo

od an

d fee

dW

ater S

upply

Pest

Contr

olCl

eanin

g Ser

vices

Test

Labo

rator

ies

JPr

ovisi

on of

Stor

age a

nd D

istrib

ution

Ser

vices

Stor

age f

acilit

ies fo

r foo

d and

feed

Distr

ibutio

n veh

icles

for f

ood a

nd fe

ed

GFSI

Sco

pe o

f Rec

ogni

tion

(B

ench

mar

king

Cate

gory

Cod

e)Be

nchm

arki

ng C

ateg

ory N

ame

Exam

ples

of P

rodu

cts

/ Ser

vice

s an

d m

etho

d of

pro

duct

ion


PART IIPART II

GFSI

Sco

pe o

f Rec

ogni

tion

(B

ench

mar

king

Cate

gory

Cod

e)Be

nchm

arki

ng C

ateg

ory N

ame

Exam

ples

of P

rodu

cts

/ Ser

vice

s an

d m

etho

d of

pro

duct

ion

KMa

nufac

ture o

f Foo

d Pro

cess

ing E

quipm

ent

Prod

uctio

n of fo

od an

d fee

d pro

cess

ing eq

uipme

nt

LPr

oduc

tion o

f (Bi

o) C

hemi

cals

(Add

itives

, Vi

tamins

, Mine

rals,

Bio-

cultu

res,

Flavo

uring

s ,

Enzy

mes a

nd P

roce

ssing

aids

)

Prod

uctio

n of fo

od an

d fee

d add

itives

, vita

mins

, mine

rals,

bio-

cultu

res,

flavo

uring

s, en

zyme

s and

pr

oces

sing a

ids

MPr

oduc

tion o

f Foo

d Pac

kagin

gPr

oduc

tion o

f food

and f

eed p

acka

ging,

pack

aging

mate

rials,

pack

aging

comp

onen

ts in

the fo

rm of

raw

mater

ials,

part

proc

esse

d, se

mi co

nver

ted, c

onve

rted o

r full

y finis

hed p

acka

ging m

ateria

ls an

d pro

ducts

for u

se

in the

supp

ly ch

ain.

NFo

od B

roke

r / A

gent

The s

upply

of fin

ished

food

and f

eed p

rodu

cts


PART II

ANNEX 2GFSI Requirements for the

Application of ISO/IEC 17011:2004

Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies


PART II

IntroductionThe Consumer Goods Forum (CGF) is a global, parity-based industry network, driven by its members. It brings together the CEOs and senior management of over 650 retailers, manufacturers, service providers and other stakeholders across 70 countries and reflects the diversity of the industry in geography, size, product category and format. Forum member companies have combined sales of EUR 2.1 trillion.The Forum provides a unique global platform for knowledge exchange and initiatives around five strategic priorities – Emerging Trends, Sustainability, Safety & Health, Operational Excellence and Knowledge Sharing & People Development – which are central to the advancement of today’s consumer goods industry.The Global Food Safety Initiative (GFSI), co-ordinated by the Consumer Goods Forum, was launched in May 2000. The GFSI Board is made up of members drawn from major retailer, manufacturer and food service operators. They provide the strategic direction and oversee the daily management of the Global Food Safety Initiative. The GFSI Mission is to provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide.The GFSI Objectives are to:► Reduce food safety risks by delivering equivalence and convergence between effective food safety

management systems► Manage cost in the global food system by eliminating redundancy and improving operational efficiency► Develop competencies and capacity building in food safety to create consistent and effective global food

systems► Provide a unique international stakeholder platform for collaboration, knowledge exchange and networkingThe GFSI Foundation Board also provides governance to the GFSI Technical Working Groups, an international multi-stakeholder group of over 90 food safety experts. The GFSI Technical Working Groups work on specific selected projects throughout the year, approved by the GFSI Foundation Board, in order to fulfil the GFSI Mission; these have included projects such as auditor competence, food defence and technical issues relating to emerging and developing markets.In 2008 the GFSI Foundation Board formed the GFSI Accreditation Task Force whose purpose is to:► agree on common areas of concern in relation to the accreditation process, by undertaking a review of

current documents from GFSI benchmarked schemes regarding the relationship between Certification Bodies and Accreditation Bodies, in order to identify and define common requirements and individual requirements,

► gather and collate information from GFSI benchmarked scheme owners on any operational issues regarding the accreditation process and seek their agreement to act on their behalf regarding the development of common requirements,

► review the agreed common requirements identified against ISO/IEC17011 and put forward areas where ISO/IEC 17011 can be more specific in relation to the requirements of GFSI recognised schemes,

► develop and agree on a Requirements document defining common requirements for Accreditation Bodies in relation to ISO/IEC 17011 and GFSI recognised schemes,

► use the agreed Requirements document as the basis for discussion with the International Accreditation Forum and European Accreditation, with a view to gaining recognition of the document by these organisations,

► agree on implementation criteria for the proposed Requirements documents allowing GFSI to act on behalf of the Accreditation Task Force and GFSI recognised standard owners,

► undertake the review of the progress of the development and implementation of the Requirements documents and advise the GFSI Foundation Board accordingly.


PART IIPART II

The Purpose of the GFSI Requirements for the Application of ISO /IEC 17011ISO/IEC 17011:2004 is an International Standard, which sets out criteria for conformity assessment for Accreditation Bodies accrediting conformity assessment bodies. There are no specific requirements in relation to those Accreditation Bodies carrying out assessment of conformity assessment bodies working with food safety schemes.Since 2000 GFSI has worked closely with a number of major stakeholders in the food industry in an attempt to harmonise processes related to food safety schemes and has benchmarked and recognised four post-farm gate schemes. Over a period of time each of these schemes has developed their own set of criteria in relation to the accreditation process, which has lead to a diversity of requirements; this, in turn, has lead to complexity of process, increased cost and a lack of clarity. It is believed that with the implementation of this document as part of the GFSI Guidance Document there will be significant benefits for GFSI recognised scheme owners, Accreditation Bodies and Certification Bodies.The GFSI Accreditation Task Force was formed in February 2008 with the objective of facilitating dialogue between GFSI recognised scheme owners and other interested parties in order to harmonise their approach and minimise the effects that the diversification of requirements has caused.This document is the culmination of work undertaken by GFSI and the four GFSI recognised scheme owners in 2008 and 2009 to specify harmonised requirements in relation to the accreditation of conformity assessment bodies carrying out product certification to the GFSI recognised schemes.The document has been entitled ‘Requirements’ to reflect the fact that this document is not regarded as being notes for guidance and will be the subject of further work with GFSI and the GFSI recognised scheme owners to ensure compliance with the specified requirements by those Accreditation Bodies working with GFSI recognised schemes. The document has been developed to enhance the robustness of the accreditation process in relation to GFSI recognised schemes and it must be stressed that its use relates only to the requirements of GFSI recognised schemes. The document has not been developed to revise or amend confidentiality arrangements, which may exist between scheme owners, Certification Bodies and Accreditation Bodies; however, it is meant to promote communication and co-operation between these parties, when consumer health or the integrity of certification has been compromised.The term ‘shall’ is used in the document to indicate those provisions, which are regarded as being mandatory. There are requirements within the document, which are specific with respect to parameters of assessment; these shall be regarded as minimum requirements and do not preclude Accreditation Bodies carrying out additional activities in the event that they would wish to, or deem it appropriate to do so. GFSI wishes to continue to work closely with IAF and its members in a spirit of co-operation to ensure the implementation of these requirements, which will provide enhanced confidence regarding the accreditation of conformity assessment bodies working within the food industry.


PART II

Content of ISO/IEC 17011

1 Scope2 Normative references3 Terms and definitions4 Accreditation body4.1 Legal responsibility4.2 Structure

GFSI Requirements to clause 4.2.4GFSI Requirements to clause 4.2.6

4.3 Impartiality4.4 Confidentiality

GFSI Requirements to clause 4.4

4.5 Liability and financing4.6 Accreditation activity


5 Management 5.1 General 5.2 Management system

GFSI Requirements to clause 5.2.1

5.3 Document control5.4 Records


5.5 Non conformities and corrective actions 5.6 Preventive actions5.7 Internal audits


5.8 Management reviews5.9 Complaints

GFSI Requirements to clause 5.9

6 Human resources 6.1 Personnel associated with the accreditation body6.2 Personnel involved in the accreditation process


6.3 Monitoring6.4 Personnel records


PART IIPART II

7 Accreditation process7.1 Accreditation criteria and information7.2 Application for accreditation


7.3 Resource review7.4 Subcontracting the assessment


7.5 Preparation for assessment GFSI Requirements to clause 7.5.6GFSI Requirements to clause 7.5.8GFSI Requirements to clause 7.5.10

7.6 Document and record reviewGFSI Requirements to clause 7.6.1

7.7 On-site assessmentGFSI Requirements to clause 7.7.2GFSI Requirements to clause 7.7.3

7.8 Analysis of findings and assessment report7.9 Decision making and granting accreditation


7.10 Appeals 7.11 Reassessment and surveillance

GFSI Requirements to clause 7.11.3GFSI Requirements to clause 7.11.5GFSI Requirements to clause 7.11.6GFSI Requirements to clause 7.11.7

7.12 Extending accreditationGFSI Requirements to clause 7.12

7.13 Suspending, withdrawing or reducing accreditationGFSI Requirements to clause 7.13.2GFSI Requirements to clause 7.13.3

7.14 Records on CAB’s7.15 Proficiency testing and other comparisons for laboratories8 Responsibilities of the accreditation body and the CAB8.1 Obligations of the CAB


8.2 Obligations of the accreditation bodyGFSI Requirements to clause 8.2.3GFSI Requirements to clause 8.2.4

8.3 Reference to accreditation and use of symbolsGFSI Requirements to clause 8.3.2GFSI Requirements to clause 8.3.3

Additional Requirements to ISO 17011


PART II

Requirements for the Application of ISO/IEC 17011:2004Conformity assessment - General requirements for the accreditation bodies accrediting conformity assessment bodies

1 ScopeNo additional requirements

2 Normative ReferencesNo additional requirements

3 Terms and definitionsNo additional requirements

4 Accreditation bodyNo additional requirements

4.1 Legal responsibility No additional requirements

4.2 StructureGFSI Requirements to clause 4.2.4The Accreditation Body shall appoint a responsible person within their organisation with authority for GFSI food schemes.GFSI Requirements to clause 4.2.6Where there are issues or queries arising during the accreditation process, the Accreditation Body shall consult directly with the GFSI recognised scheme owner’s representatives.

4.3 ImpartialityNo additional requirements

4.4 Confidentiality GFSI Requirements to clause 4.4The Accreditation Body shall share information regarding scheme specific issues with the appropriate representative of each GFSI recognised scheme owner. This information shall be shared as soon as practicable and the accreditation body shall be responsible for follow up of the corrective actions in the case of complaints and major non conformities.The list of information to be shared, which is not exhaustive, shall include:► accreditation status,(suspension, withdrawal, scope reduction or expiry of accreditation),► complaints that could jeopardise the accreditation status,► major non conformities (a major non conformity is defined as a non conformity, which has the potential to impact on the validity of a certificate or of certificates issued,► annual activity summary, which shall be made available to the GFSI recognised scheme owners indicating, as a minimum: ► General assessment details, ► Head office assessment: date, location, critical location assessments, numbers of site and auditor files reviewed, Accreditation Body’s assessors names, duration, general conclusions, ► Witness assessment: location, date, field, Accreditation Body assessor, duration, general conclusions, ► CAB name and conclusion of reports - Accreditation Status.


PART IIPART II

The annual activity summary shall be in a standardised format as agreed by GFSI (see appendix). There shall be an agreement regarding confidentiality between the AB and the GFSI recognised standards owners. This agreement shall specify that the information shared shall be made known to all GFSI recognised scheme owners, but shall remain confidential from any other party. There shall also be an agreement between the individual CAB’s and the GFSI recognised scheme owners.

4.5 Liability and financingNo additional requirements

4.6 Accreditation activityGFSI Requirements to clause 4.6.1Normative documents shall include all documentation relevant to a GFSI recognised scheme and shall be issued by a GFSI recognised scheme owner.GFSI Requirements to clause 4.6.2These GFSI requirements shall be included as part of this process.

5 ManagementNo additional requirements

5.1 GeneralNo additional requirements

5.2 Management systemGFSI Requirements to clause 5.2.1With respect to effective communication, communication channels with interested parties shall be in place and include GFSI and GFSI recognised scheme owners.

5.3 Document controlNo additional requirements

5.4 RecordsGFSI Requirements to clause 5.4.2Records shall be maintained and accessible for a minimum period of 5 years.

5.5 Non conformities and corrective actionsNo additional requirements

5.6 Preventative actionsNo additional requirements

5.7 Internal auditsGFSI Requirements to clause 5.7.2The internal audit shall include accreditation activities in relation to GFSI recognised schemes.

5.8 Management reviewsNo additional requirements

5.9 ComplaintsGFSI Requirements to clause 5.9All complaints associated with any GFSI Scheme shall be investigated and dealt with, as far as possible, within 30 days of receipt. If any complaint puts GFSI recognised scheme certificates / approvals at risk, then the GFSI scheme owner shall be informed immediately and appropriate action taken by the Accreditation Body.


PART II

6 Human ResourcesNo additional requirements

6.1 Personnel associated with the accreditation bodyNo additional requirements

6.2 Personnel involved in the accreditation processGFSI Requirements to clause 6.2.1All AB personnel engaged in GFSI recognised scheme accreditation activity shall have sufficient knowledge of each relevant GFSI recognised scheme, the related normative documents and the food industry. The AB shall ensure that the assessment team undertaking witness activities includes personnel who have completed training in the relevant GFSI scheme, successfully completed a HACCP training course and includes an individual with a minimum of two years experience in the food industry sector.The assessment team carrying out office assessments shall include personnel who have specific knowledge of the relevant GFSI schemes being assessed and of the related normative documents. Training in the GFSI recognised scheme shall be recognised by the respective scheme owners. GFSI Requirements to clause 6.2.3The Accreditation Body shall document information regarding assessors and experts in accordance with the GFSI requirements in section 6.2.1.

6.3 MonitoringNo additional requirements

6.4 Personnel recordsNo additional requirements

7 Accreditation processNo additional requirements

7.1 Accreditation criteria and informationNo additional requirements

7.2 Application for accreditationGFSI Requirements to clause 7.2.1The Certification Body shall demonstrate that it has made appropriate contact with the scheme owner during the application procedure.GFSI Requirements to clause 7.2.3The AB shall inform a GFSI scheme owner when an application is made to accredit against a GFSI recognised scheme.

7.3 Resource reviewNo additional requirements

7.4 Subcontracting the assessmentGFSI Requirements to clause 7.4.1 If the AB subcontracts an assessment, the assessment shall be carried out in accordance with this document and the individual GFSI scheme owner’s requirements. The subcontracted AB shall be a signatory to the IAF MLA for Product Certification and the assessor shall fulfil the competence requirements outlined in this document. Where additional formal agreements exist (e.g. IAF GD 3 Cross Frontier Policy) there shall be compliance with these agreements. The AB using subcontractors shall review compliance with these requirements.


PART IIPART II

7.5 Preparing for assessmentGFSI Requirements to clause 7.5.8 During surveillance and reassessments the following documentation shall be sampled and assessed, as a minimum:1. Sample of at least 10 % or 2 auditor files, whichever is greater, for each GFSI scheme,2. Sample of at least 2 site files, for each GFSI scheme or 2 % of delivered audits, whichever is greater, for each GFSI scheme,3. Sampling of site files shall be risk based and should be done across country (region), product category and assessor.4. The site file assessments shall include a review of:► Contracts between the CAB and the client,► Confirmation of audit scope and duration,► Auditor’s original notes from audit and evidence of compliance,► Documentary evidence supplied by the client for the non conformities identified,► Final audit report,► Certification Decision and Certificate Conformity.Sampling levels shall be increased where evidence of issues is identified during the assessment in order to establish whether the certification body is meeting accreditation requirements. Where objective evidence or complaints are identified between planned surveillance and reassessments, accreditation bodies shall carry out additional assessments.GFSI Requirements to clause 7.5.10The AB shall ensure that the GFSI recognised standard owner’s documentation is included. The AB shall request, through direct communication with the GFSI recognised standard owner, any feedback or relevant information concerning the CAB in advance of the assessment.The AB shall take into account during the assessment any feedback or relevant information concerning the CAB sent by a GFSI recognised scheme owner. The AB must verify during the assessment that these complaints have been dealt with effectively and any corrective actions put in place.**‘Appropriate criteria documents’ referred to in ISO/IEC 17011 shall include the certification body criteria established by the GFSI recognised scheme owner.

7.6 Document and record reviewGFSI Requirements to clause 7.6.1The GFSI requirements specified in relation to clauses 7.7.2 shall apply in addition to those required under clauses 7.2.1 and 7.2.2.

7.7 On-site assessmentGFSI Requirements for clause 7.7.2During the initial assessment against the scope of any GFSI recognised scheme (i.e. an extension to scope, see 7.12), the following documentation shall be sampled and assessed:1. Sample of at least 1 auditor file for the GFSI scheme,2. Sample of at least 1 site file for the GFSI scheme,3. Sampling of site files should be done across country (region), product category and assessor. 4. The site file assessment shall include a review of: ► Contracts between CAB and client,


PART II

► Confirmation of audit scope and duration, ► Auditor’s original notes from audit and evidence of compliance,► Documentary evidence supplied by the client for the non-conformities identified, ► Final audit report, ► Certification Decision and Certificate Conformity.5. Evaluation and verification of the effectiveness of the CAB’s processes for assessment of auditor competence.GFSI Requirements to clause 7.7.3At least one assessment of the CAB shall be witnessed for initial accreditation for each GFSI recognised scheme. In the event that the CAB wishes to increase its scope with respect to product category this level of sampling shall be increased.If CAB’s have more than 20 auditors, then witness assessments shall be carried out at a rate of at least 1 witness assessment per 20 auditors per year, auditing against any of the GFSI recognised schemes. Where international CAB’s have geographical spread then the % of witness audits will be proportional to the geographic spread (e.g. 30% overseas means that 1 in 3 witnessed audits will be performed overseas). The witness assessment programme shall be designed to ensure that different auditors and different product categories are assessed at subsequent witnessed assessments.

7.8 Analysis of findings and assessment report No additional requirements

7.9 Decision making and granting accreditationGFSI Requirements to clause 7.9.3If the AB subcontracts an assessment, the assessment shall be carried out in accordance with this document and the individual GFSI scheme owner’s requirements. The subcontracted AB shall be a signatory to the IAF MLA for Product Certification and the assessor shall fulfil the competence requirements outlined in this document. Where additional formal agreements exist (e.g. IAF GD 3 Cross Frontier Policy) there shall be compliance with these agreements. The AB using subcontractors shall review compliance with these requirements.GFSI Requirements to clause 7.9.5The accreditation certificate or schedule shall include the full name and version of the GFSI recognised scheme and the GFSI recognised scheme’s designated product categories for which it is approved.

7.10 AppealsNo additional requirements

7.11 Reassessment and surveillanceGFSI Requirements to clause 7.11.3► Head office shall have an assessment on an annual basis,► At least 1 witness assessment per year shall be conducted by the AB for each CAB. All GFSI recognised schemes will be witnessed in a 5 year cycle.► If CAB’s have more than 20 auditors then witness assessments shall be carried out at a rate of at least 1 witness assessment per 20 auditors per year, auditing against any of the GFSI recognised schemes. Where international CAB’s have geographical spread then the % of witness audits will be proportional to the geographic spread (e.g. 30 % overseas means that 1 in 3 witnessed audits will be performed overseas). The witness assessment programme shall be designed to ensure that different auditors and different product categories are assessed at subsequent witnessed assessments.► Reassessment shall be undertaken at least every four years.


PART IIPART II

GFSI Requirements to clause 7.11.5The AB shall inform the GFSI scheme owner about any major non conformities. (Ref. clause 4.4; a major non conformity is defined as a non conformity that has the potential to impact on the validity of a certificate or of certificates issue).GFSI Requirements to clause 7.11.6The AB shall inform the GFSI scheme owner if accreditation is suspended, withdrawn or expired or if scope is reduced.GFSI Requirements to clause 7.11.7When informed of the identification of issues in a particular market, which could bring the credibility of the certification process into disrepute, the AB shall take any appropriate action including conducting an extraordinary assessment if necessary.

7.12 Extending accreditationGFSI Requirement to clause 7.12Upon an application to extend a scope to include a new GFSI recognised scheme under an accreditation standard the CAB is already accredited for, a full (i.e. on-site and witness assessments) extension assessment shall be undertaken for every GFSI recognised scheme. Upon an application to extend a scope to include a new GFSI recognised scheme under an accreditation standard the CAB is not already accredited for, a full (i.e. on-site and witness assessments) initial assessment shall be undertaken for every GFSI recognised scheme. In the event that the CAB wishes to increase its scope of activity with respect to product category as defined by GFSI recognised scheme owners, the accreditation body shall, as a minimum, undertake an adequate check of documentary evidence to ensure that the requirements of the GFSI recognised standards are in place.

7.13 Suspending, withdrawing or reducing accreditationGFSI Requirements to clause 7.13.2If the GFSI recognised scheme owner’s requirements are not met the GFSI scheme owner will inform the AB. The AB shall undertake an investigation of the issues raised by the GFSI recognised scheme owner and shall take appropriate action (e.g. to suspend or withdraw accreditation).GFSI Requirements to clause 7.13.3If the GFSI recognised scheme owner’s requirements are not met, the GFSI scheme owner will inform the AB. The AB shall undertake an investigation of the issues raised by the GFSI recognised scheme owner, who shall take appropriate action (i.e. the decision to reduce the scope of accreditation).

7.14 Records of CAB’sNo additional requirements

7.15 Proficiency testing and other comparisons for laboratoriesNo additional requirements

8 Responsibilities of the accreditation body and the CABNo additional requirements

8.1 Obligations of the CABGFSI Requirements to clause 8.1.2 (f)In the event that a GFSI recognised scheme owner suspends or withdraws recognition for a CAB or reduces scope, the scheme owner shall also inform the AB in addition to the notification by the CAB.

8.2 Obligations of the accreditation bodyGFSI Requirements to clause 8.2.3The AB shall provide this information, where applicable, to GFSI recognised scheme owners.


PART II

GFSI Requirements to clause 8.2.4In the event of changes or revisions to a GFSI recognised standard, the AB shall collaborate and communicate with the scheme owner to identify the appropriate review process of the CAB and to ensure that the CAB is aware of and meets the additional / changed requirements in relation to accreditation.

8.3 Reference to accreditation and use of symbols GFSI Requirements to clause 8.3.2The AB shall verify that 8.3.2, points (a-f), are applied in connection with the usage of the GFSI recognised schemes.GFSI Requirements to clause 8.3.3The AB shall verify that 8.3.2, points (a-f), are applied in connection with the usage of the GFSI recognised schemes and appropriate action taken in the event of incorrect or misleading claims in relation to the use of such information and accreditation status .Additional Requirements to ISO 170111. Activity SummaryAn annual activity summary shall be made available to GFSI for all recognised schemes, indicating as a minimum: ► General assessment details, ► Head office assessment: date, location, critical location assessments, numbers of site and auditor files reviewed, Accreditation Body’s assessors names, duration, general conclusions, ► Witness assessment: location, date, field, Accreditation Body’s assessor, duration, general conclusions, ► CAB name and conclusion of reports - Accreditation Status.2. Signatories to MLAAB’s wishing to work with the GFSI requirements to ISO 17011 shall be required to be signatories to the IAF MLA with Management system certification and / or Product certification in scope.


PART II

ANNEX 3Auditor Competence - Qualifications, Training and Experience


PART II

Audi

tor C

ompe

tence

- Qu

alifi

catio

ns, T

rain

ing

and

Expe

rienc

e Th

e GFS

I sec

tor an

d sub

-secto

r sco

pes f

or re

cogn

ition a

nd th

e ass

ociat

ed co

mpete

nce o

f aud

itors

are a

s foll

ows:

GFSI

Sco

pe o

f Rec

ogni

tion

(Ben

chm

arki

ng C

ateg

ory C

ode)

Benc

hmar

king

Cate

gory

Nam

eSe

ctor S

pecifi

c Aud

itor Q

ualifi

catio

n an

d Ed

ucati

onEx

ampl

es o

f Sec

tor S

peci

fic W

ork

Expe

rienc

e in

rela

tion

to

prod

uct c

ateg

orie

s

AIFa

rming

of A

nimals

for M

eat/ M

ilk /

Eggs

/ Hon

ey

A de

gree

in a

food r

elated

or bi

o-sc

ience

disc

ipline

or, a

s a m

inimu

m,

has s

ucce

ssful

ly co

mplet

ed a

food r

elated

or bi

o-sc

ience

high

er

educ

ation

cour

se or

equiv

alent.

Expe

rienc

e is r

equir

ed of

farm

ing in

the f

ollow

ing se

ctors;

·►

Catt

le ►

She

ep, g

oats

► P

igs

► P

oultry

►

Bee

s ►

Gam

e ►

Hun

ting

AII

Farm

ing of

Fish

and S

eafoo

d

A de

gree

in a

food r

elated

or bi

o-sc

ience

disc

ipline

or, a

s a m

inimu

m,

has s

ucce

ssful

ly co

mplet

ed a

food r

elated

or bi

o-sc

ience

high

er

educ

ation

cour

se or

equiv

alent.

Expe

rienc

e is r

equir

ed of

farm

ing in

the f

ollow

ing se

ctors;

·►

Fish

Aqu

acult

ure

► S

eafoo

d Aqu

acult

ure·

►

Fish

ing

BIFa

rming

of P

lants

(othe

r tha

n gra

ins

and p

ulses

)

Educ

ation

in an

agric

ultur

al / c

rop

base

d disc

ipline

or, a

s a m

inimu

m,

has s

ucce

ssful

ly co

mplet

ed a

food r

elated

or bi

o-sc

ience

high

er

educ

ation

cour

se or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

resh

fruit

and v

egeta

ble fa

rming

secto

rs;►

Fru

it ►

Veg

etable

s ►

Her

bs an

d Spic

es

► G

rass

es (S

ugar

)

BII

Farm

ing of

Gra

ins an

d Puls

es

Educ

ation

in an

agric

ultur

al / c

rop

base

d disc

ipline

or, a

s a m

inimu

m,

has s

ucce

ssful

ly co

mplet

ed a

food r

elated

or bi

o-sc

ience

high

er

educ

ation

cour

se or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

resh

plan

t farm

ing se

ctors;

► G

rains

and c

erea

ls ►

Nuts

►

Puls

es an

d leg

umes

► B

ever

age p

lants


PART IIPART II

GFSI

Sco

pe o

f Rec

ogni

tion

(Ben

chm

arki

ng C

ateg

ory C

ode)

Benc

hmar

king

Cat

egor

y Nam

eSe

ctor S

pecifi

c Aud

itor Q

ualifi

catio

n an

d Ed

ucati

onEx

ampl

es o

f Sec

tor S

peci

fic W

ork

Expe

rienc

e in

rela

tion

to

prod

uct c

ateg

orie

s

CAn

imal

Conv

ersio

n

A de

gree

in a

food r

elated

or bi

o-sc

ience

dis

ciplin

e or, a

s a m

inimu

m, ha

s suc

cess

fully

comp

leted

a foo

d rela

ted or

bio-

scien

ce

highe

r edu

catio

n cou

rse or

equiv

alent.

Expe

rienc

e is r

equir

ed of

farm

ing in

the f

ollow

ing se

ctors;

► C

attle

► S

heep

, goa

ts

► P

igs►

Pou

ltry►

Fish

► B

ees

► G

ame

DPr

e-pr

oces

s han

dling

of pl

ant

prod

ucts,

nuts

and g

rains

Educ

ation

in an

agric

ultur

al /cr

op ba

sed

discip

line o

r, as a

mini

mum,

has s

ucce

ssful

ly co

mplet

ed a

food r

elated

or bi

o-sc

ience

hig

her e

duca

tion c

ourse

or eq

uivale

nt.

Crop

base

d exp

erien

ce su

ch as

the f

armi

ng an

d han

dling

of;

► G

rains

and c

erea

ls ►

Nuts

►

Puls

es an

d leg

umes

►

Bev

erag

e plan

ts

EIPr

oces

sing o

f per

ishab

le an

imal

prod

ucts

A de

gree

in a

food r

elated

or bi

o-sc

ience

dis

ciplin

e or, a

s a m

inimu

m, ha

s suc

cess

fully

comp

leted

a foo

d rela

ted or

bio-

scien

ce

highe

r edu

catio

n cou

rse or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing fo

od in

dustr

y sec

tors;

► R

ed M

eat P

roce

ssing

►

Pou

ltry P

roce

ssing

►

Fish

Pro

cess

ing

► S

eafoo

d Pro

cess

ing

► M

eat P

rodu

ct Pr

oces

sing

► F

ish P

rodu

ct Pr

oces

sing

► D

airy T

echn

ology

►

Egg

Pro

cess

ing

EII

Proc

essin

g of p

erish

able

plant

pr

oduc

ts

A de

gree

in a

food r

elated

or bi

o-sc

ience

dis

ciplin

e or, a

s a m

inimu

m, ha

s suc

cess

fully

comp

leted

a foo

d rela

ted or

bio-

scien

ce

highe

r edu

catio

n cou

rse or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing fo

od in

dustr

y sec

tors;

► F

ruit a

nd ve

getab

le pr

oces

sing

EIII

Proc

essin

g of p

erish

able

anim

al an

d pla

nt pr

oduc

ts(mi

xed p

rodu

cts)

A de

gree

in a

food r

elated

or bi

o-sc

ience

dis

ciplin

e or, a

s a m

inimu

m, ha

s suc

cess

fully

comp

leted

a foo

d rela

ted or

bio-

scien

ce

highe

r edu

catio

n cou

rse or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing fo

od in

dustr

y sec

tors;

► M

eat P

rodu

ct Pr

oces

sing

► F

ish P

rodu

ct Pr

oces

sing

► D

airy T

echn

ology

►

Rea

dy to

Eat

Food

Pro

cess

ing


PART II

GFSI

Sco

pe o

f Rec

ogni

tion

(Ben

chm

arkin

g Ca

tegor

y Co

de)

Benc

hmar

king

Cat

egor

y Nam

eSe

ctor S

pecifi

c Aud

itor Q

ualifi

catio

n an

d Ed

ucati

onEx

ampl

es o

f Sec

tor S

peci

fic W

ork

Expe

rienc

e in

rela

tion

to p

rodu

ct

cate

gorie

s

EIV

Proc

essin

g of a

mbien

t stab

le pr

oduc

ts

A de

gree

in a

food r

elated

or bi

o-sc

ience

dis

ciplin

e or, a

s a m

inimu

m, ha

s suc

cess

fully

comp

leted

a foo

d rela

ted or

bio-

scien

ce

highe

r edu

catio

n cou

rse or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing fo

od in

dustr

y sec

tors;

► T

herm

al Pr

oces

sing

► B

aking

Tech

nolog

y ►

Dair

y Tec

hnolo

gy

► B

rewi

ng Te

chno

logy

► E

xtrus

ion Te

chno

logy

► V

egeta

ble an

d Anim

al Fa

ts an

d Oils

►

Sug

ar re

fining

►

Bev

erag

e pro

ducti

on

► A

lcoho

lic dr

ink pr

oduc

tion

► D

rink p

rodu

ction

FPr

oduc

tion o

f feed

► P

ost-s

econ

dary

educ

ation

in re

lated

field

or eq

uivale

nt by

expe

rienc

e.►

Com

pleted

indu

stry r

ecog

nised

HAC

CP

traini

ng.

► T

raine

d on t

he se

ctor s

pecifi

c risk

as

sess

ments

.►

Wor

k exp

erien

ce or

train

ing in

the f

eed

and/

or fo

od se

ctor, a

nd ex

perie

nce i

n qua

lity

mana

geme

nt en

viron

ment

in the

feed

/food

se

ctor.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing fe

ed in

dustr

y sec

tors:

► C

ompo

und F

eed P

rodu

ction

► P

lant P

rotei

n Pro

cess

ing►

Ren

derin

g Tec

hnolo

gy►

Fer

menta

tion T

echn

ology

► D

ry mi

lling T

echn

ology

► W

et Mi

lling T

echn

ology

► E

xtrus

ion Te

chno

logy

► D

airy P

roce

ssing

Tech

nolog

y►

Veg

etable

and A

nimal

Fats

and O

ils P

roce

ssing

GCa

tering

HRe

tail /

Who

lesale

IPr

ovisi

on of

Foo

d Safe

ty Se

rvice

s


PART IIPART II

GFSI

Sco

pe o

f Rec

ogni

tion

(Ben

chm

arki

ng C

ateg

ory C

ode)

Benc

hmar

king

Cat

egor

y Nam

eSe

ctor S

pecifi

c Aud

itor Q

ualifi

catio

n an

d Ed

ucati

onEx

ampl

es o

f Sec

tor S

peci

fic W

ork

Expe

rienc

e in

rela

tion

to

prod

uct c

ateg

orie

s

JPr

ovisi

on of

Stor

age

and D

istrib

ution

Se

rvice

s

A de

gree

in a

food r

elated

or bi

o-sc

ience

dis

ciplin

e or, a

s a m

inimu

m, ha

s suc

cess

fully

comp

leted

a foo

d rela

ted or

bio-

scien

ce

highe

r edu

catio

n cou

rse or

equiv

alent.

Co

mplet

ed in

dustr

y rec

ognis

ed H

ACCP

tra

ining

.Tr

ained

on th

e sec

tor sp

ecific

risk

asse

ssme

nts.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing in

dustr

y sec

tors:

► P

erish

able

food a

nd fe

ed st

orag

e and

distr

ibutio

n ►

Non

-per

ishab

le foo

d and

feed

stor

age a

nd di

stribu

tion

KMa

nufac

ture o

f Foo

d Pro

cess

ing

Equip

ment

L

Prod

uctio

n of (

Bio)

Che

mica

ls (A

dditiv

es, V

itami

ns, M

inera

ls, B

io-cu

lture

s, Fla

vour

ings,

Enzy

mes a

nd

Proc

essin

g aids

)

A de

gree

in a

food r

elated

, bio-

scien

ce or

ch

emica

l eng

ineer

ing di

scipl

ine or

, as a

mi

nimum

, has

succ

essfu

lly co

mplet

ed a

food r

elated

or bi

o-sc

ience

high

er ed

ucati

on

cour

se or

equiv

alent.

Expe

rienc

e is r

equir

ed in

the f

ollow

ing in

dustr

y sec

tors;

► F

erme

ntatio

n Tec

hnolo

gy

► C

hemi

cal E

ngine

ering

►

Bioc

hemi

cal E

ngine

ering

MPr

oduc

tion o

f Foo

d Pac

kagin

g

A pr

imar

y qua

lifica

tion,

a deg

ree o

r high

er

certifi

cate

in pa

ckag

ing te

chno

logy a

nd a

relev

ant c

ertifi

cate

reco

gnise

d by t

he sc

heme

ow

ner in

food

tech

nolog

y, foo

d hyg

iene

or re

lated

scien

ce su

bject

OR a

prim

ary

quali

ficati

on in

food

tech

nolog

y, foo

d safe

ty/hy

giene

or re

lated

scien

ce su

bject

and a

ce

rtifica

te in

pack

aging

tech

nolog

y tha

t is

reco

gnise

d by t

he sc

heme

owne

r.

Expe

rienc

e is

requ

ired i

n the

spec

ific se

ctors

of pa

ckag

ing m

anufa

cture

► P

lastic

s►

Pap

er an

d boa

rd►

Meta

l►

Glas

s

NFo

od B

roke

r / A

gent

The Technical Equivalence Process for Governm

ent Owned Certification Schem

es

Version 6.4

The Technical Equivalence Process for Government Owned

Certification Schemes

PART III

The Technical Equivalence Process for Government Owned Certification SchemesThe Technical Equivalence of government owned certification schemes is an acknowledgment of the equivalence of the content of the certification scheme to the relevant scope of GFSI Key Elements (Part IV). It is different from GFSI recognition for non-governmental certification schemes, which also includes assessment of the scheme’s governance and operational management. Technical Equivalence objectively assesses a government owned certification scheme against the requirements of the Key Elements. Technical Equivalence is limited to government owned food safety schemes. The assessment is undertaken by an Expert Team appointed by the GFSI Board. The Expert Team conducts a documented gap analysis of the government’s scheme and supporting documents against the Key Elements to submit a recommendation to the GFSI Board for review and decision.


PART IIIThe Technical Equivalence

Process for Government Owned

Certification Schemes

PART IV

Version 6.4

SCHEME SCOPE AND KEY ELEMENTS

CONTENTSIntroduction ................................................................................................. 101Section 1 - Food and Feed Safety Management Requirements ..................................... 103Table I – Food Safety Management Requirements ................................................... 103Scopes of Recognition AI, AII, BI, BII, C, D, EI, EII EIII, EIIV and LTable II – Food Safety Management Requirements ................................................... 106Additional Specific Requirements AITable III – Food Safety Management Requirements .................................................. 107Additional Specific Requirements AIITable IV – Food Safety Management Requirements ................................................. 108Additional Specific Requirements BI and BIITable V – Food Safety Management Requirements ................................................... 108Additional Specific Requirements CTable VI – Food Safety Management Requirements .................................................. 109Additional Specific Requirements D, EI, EII, EIII, EIV and LTable VII – Feed Safety Management Requirements ................................................. 109Scope of Recognition FTable VIII – Food and Feed Safety Management Requirements ................................... 113Scope of Recognition JTable IX – Food Safety Management Requirements .................................................. 116Scope of Recognition MSection 2 - Good Industry Sector Practice Requirements ........................................... 119Table I – Good Agricultural Practice .................................................................... 119Requirements AITable II – Good Aquacultural Practice .................................................................. 124Requirements AIITable III – Good Agricultural Practice ................................................................... 128Requirements BITable IV – Good Agricultural Practice ................................................................... 132Requirements BIITable V – Good Manufacturing Practice ................................................................ 136Requirements CTable VI – Good Manufacturing Practice ............................................................... 138Requirements D

Sixth Edition / Version 6.4 / November 2015103GFSI Guidance Document - Part IV

PART IV


PART IV

Table VII – Good Manufacturing Practice .............................................................. 140Requirements EI, EII EIII, EIIV and LTable VIII – Good Manufacturing Practice ............................................................. 143Requirements FTable IX – Good Distribution Practice .................................................................. 145Requirements JTable X – Good Manufacturing Practice ................................................................ 147Requirements MSection 3 - HACCP or Hazard Based Requirements .................................................. 150Table I – HACCP ............................................................................................ 150Requirements AI, AII, BI and BIITable II – HACCP ........................................................................................... 150Requirements C and DTable III – HACCP .......................................................................................... 151Requirements EI, EII, EIII, EIV and LTable IV – HACCP .......................................................................................... 151Requirements FTable V – HACCP ........................................................................................... 152Requirements JTable VI – HACCP .......................................................................................... 152Requirements MSection 4 - Certification of Multi-Site Organisations based on Sampling ........................ 153


PART IV

IntroductionThis section is the fourth part of the Guidance Document, which has been developed and published by the Global Food Safety Initiative (GFSI) to specify the requirements for the recognition of food safety schemes.The objective of Part lV is to define:► the requirements for the food safety management systems to be in place in the scheme’s standard for each

GFSI scope of recognition,► the requirements for the Good Practice requirements to be in place in the scheme’s standard for each GFSI

scope of recognition,► the requirements for HACCP or HACCP based requirements to be in place in the scheme’s standard for

each GFSI scope of recognition► the requirements for the acceptance of certification of multi-site based on samplingGFSI has worked closely with food industry experts to clearly define the requirements that shall be in place to provide food safety assurance in specific sectors of the food industry and for organisations providing services to the food industry. Although the principles are the same, these requirements differ from sector to sector of the food supply chain.

AIFarming of

Animals

AIIFarming of

Fish

BIFarming of

Plants

BIIFarming of Grains & Pulses

C Animal

Conversion

D Pre Processing

handling of Plant Products

L Production of (Bio) Chemicals

EI Processing of

Animal Perishable Products

EII Processing of

Plant Perishable Products

EIII Processing of

Animal and Plant Perishable Products

(Mixed Products)

EIV Processing of

Ambient Stable Products

G Catering

H Retail

Wholesale

J The Provision of Storage and Distribution Services

I The Provision of Food Safety Services

K Processing Equipment Manufacture

M Production of Food Packaging

N Food Broker / Agent

F

Production of Feed

Pet Food


PART IV

A scheme’s standard and other guidance shall provide sufficient detail to ensure that the GFSI requirements in the following tables are met and that, within the benchmarking process, objective evidence of compliance can be found. The requirements for individual scheme standards must be independently developed, based on industry practice and shall not be a direct copy of the GFSI requirements.The following sections and tables identify the GFSI requirements for specific scopes. Scheme applicants must ensure that all requirements are considered for all scopes included in the application. This will include requirements from more than one table.Section 1: Food and Feed Safety Management Requirements

Table I: Food Safety Management Requirements – Scopes of Recognition AI, AII, BI, BII, C, D, EI, EII EIII, EIIV and LTable II: Food Safety Management Requirements – Additional Specific Requirements AITable III: Food Safety Management Requirements – Additional Specific Requirements AIITable IV: Food Safety Management Requirements – Additional Specific Requirements BI and BIITable V: Food Safety Management Requirements – Additional Specific Requirements CTable VI: Food Safety Management Requirements – Additional Specific Requirements D, EI, EII, EIII, EIV and LTable VII: Feed Safety Management Requirements – Scope of Recognition F Table VIII: Food and Feed Safety Management Requirements – Scope of Recognition JTable IX: Food and Feed Safety Management Requirements – Scope of Recognition MSection 2: Good Industry Sector Practice Requirements

Table I: Good Agricultural Practice Requirements AITable II: Good Aquacultural Practice Requirements AIITable III: Good Agricultural Practice Requirements BITable IV: Good Agricultural Practice Requirements BIITable V: Good Manufacturing Practice Requirements CTable VI: Good Manufacturing Practice Requirements DTable VII: Good Manufacturing Practice Requirements EI, EII EIII, EIIV and LTable VIII: Good Manufacturing Practice Requirements FTable IX: Good Distribution Practice Requirements J Table X: Good Manufacturing Practice Requirements MSection 3: HACCP or Hazard Based Requirements

Table I: HACCP Requirements AI, AII, BI and BIITable II: HACCP Requirements C and DTable III: HACCP Requirements EI, EII, EIII, EIV and LTable IV: HACCP Requirements F Table V: HACCP Requirements JTable VI: HACCP Requirements MSection 4: Certification of Multi-site Organisations Based on Sampling

4.1 General 4.2 Scope of Recognition BI and BII4.3 Scope of Recognition J


PART IV

Tabl

e I –

Foo

d Sa

fety M

anag

emen

t Req

uire

men

ts

Scop

es o

f Rec

ogni

tion

AI, A

II, B

I, BI

I, C,

D, E

I, EI

I EIII

, EIIV

and

L

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

1Fo

od sa

fety m

anag

emen

t gen

eral

requ

ireme

nts

The s

tanda

rd sh

all re

quire

that

the el

emen

ts of

the or

ganis

ation

’s Fo

od S

afety

Mana

geme

nt Sy

stem

be do

cume

nted,

imple

mente

d, ma

intain

ed an

d con

tinua

lly im

prov

ed. T

he fo

od sa

fety m

anag

emen

t sys

tem sh

all:

a) id

entify

the p

roce

sses

need

ed fo

r the

food

safet

y man

agem

ent s

ystem

,b)

deter

mine

the s

eque

nce a

nd in

terac

tion o

f thes

e pro

cess

es,

c) de

termi

ne th

e crite

ria an

d meth

ods r

equir

ed to

ensu

re th

e effe

ctive

oper

ation

and c

ontro

l of th

ese p

roce

sses

,d)

ensu

re th

e ava

ilabil

ity of

infor

matio

n nec

essa

ry to

supp

ort th

e ope

ratio

n and

mon

itorin

g of th

ese p

roce

sses

,e)

mea

sure

, mon

itor a

nd an

alyse

thes

e pro

cess

es an

d imp

lemen

t acti

ons n

eces

sary

to ac

hieve

plan

ned r

esult

s and

conti

nuou

s im

prov

emen

t.

FSM

2Fo

od sa

fety p

olicy

The s

tanda

rd sh

all re

quire

the o

rgan

isatio

n has

a cle

ar, co

ncise

and d

ocum

ented

food

safet

y poli

cy st

ateme

nt an

d obje

ctive

s spe

cifyin

g the

ex

tent o

f the o

rgan

isatio

n’s co

mmitm

ent to

mee

t the s

afety

need

s of it

s pro

ducts

.

FSM

3Fo

od sa

fety m

anua

lTh

e stan

dard

shall

requ

ire th

e org

anisa

tion

has a

Foo

d Safe

ty Ma

nual

or do

cume

nted s

ystem

havin

g a sc

ope a

ppro

priat

e to t

he ra

nge

of bu

sines

s acti

vities

to be

cove

red,

includ

ing do

cume

nted p

roce

dure

s or s

pecifi

c refe

renc

e to t

hem

and d

escri

bing t

he in

terac

tion o

f the

relat

ed pr

oces

s step

s.

FSM

4Ma

nage

ment

resp

onsib

ility

The s

tanda

rd sh

all re

quire

that

the su

pplie

r es

tablis

h a cl

ear o

rgan

isatio

nal s

tructu

re, w

hich u

namb

iguou

sly de

fines

and d

ocum

ents

the jo

b fun

ction

s, re

spon

sibilit

ies an

d rep

ortin

g rela

tions

hips o

f at le

ast th

ose s

taff w

hose

activ

ities a

ffect

food s

afety.

FSM

5Ma

nage

ment

comm

itmen

tTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on’s

senio

r man

agem

ent p

rovid

e evid

ence

of th

eir co

mmitm

ent to

estab

lish,

imple

ment,

ma

intain

and i

mpro

ve th

e foo

d safe

ty sy

stem.

FSM

6Ma

nage

ment

revie

w

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t rev

iew th

e ver

ificati

on of

the f

ood s

afety

syste

m, H

ACCP

Plan

or

HACC

P ba

sed p

lans,

at pla

nned

inter

vals,

to en

sure

their

conti

nuing

suita

bility

, ade

quac

y and

effec

tiven

ess.

The H

ACCP

Plan

shall

also

be

revie

wed i

n the

even

t of a

ny ch

ange

that

impa

cts fo

od sa

fety.

Suc

h a re

view

shall

evalu

ate th

e nee

d for

chan

ges t

o the

food

safet

y sys

tem,

includ

ing th

e foo

d safe

ty po

licy a

nd fo

od sa

fety o

bjecti

ves.

SECT

ION

1FO

OD A

ND F

EED

SAFE

TY M

ANAG

EMEN

T RE

QUIR

EMEN

TS


PART IV

FSM

7Re

sour

ce m

anag

emen

tTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on’s

senio

r man

agem

ent d

eterm

ine an

d pro

vide,

in a t

imely

man

ner, a

ll the

reso

urce

s nee

ded

to im

pleme

nt, m

aintai

n and

impr

ove t

he fo

od sa

fety s

ystem

.

FSM

8Ge

nera

l doc

umen

tation

requ

ireme

ntsTh

e stan

dard

shall

requ

ire th

at do

cume

ntatio

n pro

cedu

res a

re in

plac

e to d

emon

strate

comp

lianc

e with

the s

tanda

rd an

d ens

ure t

hat a

ll re

cord

s req

uired

to de

mons

trate

the ef

fectiv

e ope

ratio

n and

contr

ol of

its pr

oces

ses a

nd its

man

agem

ent o

f food

safet

y are

secu

rely

store

d for

a tim

e per

iod re

quire

d to m

eet c

ustom

er or

lega

l requ

ireme

nts, e

ffecti

vely

contr

olled

and r

eadil

y acc

essib

le wh

en ne

eded

.

FSM

9Sp

ecifie

d req

uirem

ents

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

ensu

re th

at, fo

r all i

nputs

to th

e pro

cess

, item

s and

servi

ces (

includ

ing ut

ilities

, tran

spor

t and

ma

inten

ance

) tha

t are

purch

ased

or pr

ovide

d and

have

an ef

fect o

n pro

duct

safet

y, do

cume

nted s

pecifi

catio

ns ar

e pre

pare

d, ma

intain

ed,

secu

rely

store

d and

read

ily ac

cess

ible w

hen n

eede

d. Th

e stan

dard

shall

requ

ire th

at a s

pecifi

catio

n rev

iew pr

oces

s is i

n plac

e.

FSM

10

Proc

edur

esTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain d

etaile

d pro

cedu

res a

nd in

struc

tions

for a

ll pro

cess

es

and o

pera

tions

havin

g an e

ffect

on fo

od sa

fety.

FSM

11

Inter

nal a

udit

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

n inte

rnal

audit

syste

m in

place

to co

ver t

he sc

ope o

f the f

ood s

afety

syste

m, in

cludin

g the

HAC

CP P

lan or

the H

ACCP

base

d plan

.

FSM

12

Corre

ctive

actio

nTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

s pro

cedu

res f

or th

e dete

rmina

tion a

nd im

pleme

ntatio

n of c

orre

ctive

actio

n in t

he ev

ent o

f an

y sign

ifican

t non

confo

rmity

relat

ing to

food

safet

y.

FSM

13

Contr

ol of

non c

onfor

mity

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has e

ffecti

ve pr

oces

ses i

n plac

e to e

nsur

e tha

t any

prod

uct, w

hich d

oes n

ot co

nform

to

food s

afety

requ

ireme

nts, is

clea

rly id

entifi

ed an

d con

trolle

d to p

reve

nt un

inten

ded u

se or

deliv

ery.

Thes

e acti

vities

shall

be de

fined

in a

docu

mente

d pro

cedu

re th

at is

secu

rely

store

d and

read

ily ac

cess

ible w

hen n

eede

d.

FSM

14

Prod

uct r

eleas

eTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on pr

epar

e and

imple

ment

appr

opria

te pr

oduc

t rele

ase p

roce

dure

s.

FSM

15

Purch

asing

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

contr

ol pu

rchas

ing pr

oces

ses t

o ens

ure t

hat a

ll exte

rnall

y sou

rced m

ateria

ls an

d ser

vices

, wh

ich ha

ve an

effec

t on f

ood s

afety,

confo

rm to

requ

ireme

nts. W

here

an or

ganis

ation

choo

ses t

o outs

ource

any p

roce

ss th

at ma

y hav

e an

effec

t on f

ood s

afety,

the o

rgan

isatio

n sha

ll ens

ure c

ontro

l ove

r suc

h pro

cess

es. C

ontro

l of s

uch o

utsou

rced p

roce

sses

shall

be id

entifi

ed

and d

ocum

ented

with

in the

food

safet

y sys

tem.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

16

Supp

lier p

erfor

manc

eTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain p

roce

dure

s for

the e

valua

tion,

appr

oval

and c

ontin

ued

monit

oring

of su

pplie

rs, w

hich h

ave a

n effe

ct on

food

safet

y. Th

e res

ults o

f eva

luatio

ns, in

vesti

gatio

ns an

d foll

ow up

actio

ns sh

all be

re

cord

ed.

FSM

17

Outso

urcin

gTh

e stan

dard

shall

requ

ire th

at, w

here

an or

ganis

ation

choo

ses t

o outs

ource

any p

roce

ss th

at ma

y affe

ct foo

d safe

ty, th

e org

anisa

tion s

hall

ensu

re co

ntrol

over

such

proc

esse

s. Co

ntrol

of su

ch ou

tsour

ced p

roce

sses

shall

be id

entifi

ed, d

ocum

ented

and m

onito

red w

ithin

the fo

od

safet

y man

agem

ent s

ystem

.

FSM

18

Comp

laint

hand

ling

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n an e

ffecti

ve sy

stem

for th

e man

agem

ent o

f com

plaint

s an

d com

plaint

data

to co

ntrol

and c

orre

ct sh

ortco

ming

s in f

ood s

afety.

FSM

19

Serio

us in

ciden

t man

agem

ent

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n an e

ffecti

ve in

ciden

t man

agem

ent p

roce

dure

, whic

h is

regu

larly

tested

for a

ll pro

ducts

it su

pplie

s and

cove

rs pla

nning

for p

rodu

ct wi

thdra

wal a

nd pr

oduc

t rec

all as

requ

ired.

FSM

20

Contr

ol of

meas

uring

and m

onito

ring

devic

es

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

iden

tify th

e mea

sure

ment

of pa

rame

ters c

ritica

l to en

sure

food

safet

y, the

mea

surin

g an

d mon

itorin

g dev

ices r

equir

ed an

d meth

ods t

o ass

ure t

hat th

e cali

brati

on of

thes

e mea

surin

g and

mon

itorin

g dev

ices i

s tra

ceab

le to

a re

cogn

ised s

tanda

rd.

FSM

21

Food

defen

ceTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

s a do

cume

nted r

isk as

sess

ment

proc

edur

e in p

lace t

o add

ress

food

defen

ce ris

ks an

d es

tablis

h, im

pleme

nt an

d main

tain a

syste

m to

redu

ce or

elim

inate

the id

entifi

ed ris

ks. T

he sy

stem

shall

cove

r Goo

d Agr

icultu

ral P

racti

ces o

r Go

od M

anufa

cturin

g Pra

ctice

s and

shall

be su

ppor

ted by

the f

ood s

afety

syste

m.

FSM

22

Prod

uct la

bellin

gTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on en

sure

that

all pr

oduc

t bea

rs inf

orma

tion t

o ena

ble th

e safe

hand

ling,

displa

y, sto

rage

and

prep

arati

on an

d use

of th

e pro

duct

withi

n the

food

supp

ly ch

ain or

by th

e con

sume

r.


PART IV

Tabl

e II

– Fo

od S

afety

Man

agem

ent R

equi

rem

ents

Addi

tiona

l Spe

cific

Requ

irem

ents

AI

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

AI 8

.1Ge

nera

l doc

umen

tation

requ

ireme

ntsTh

e stan

dard

shall

ensu

re th

at the

orga

nisati

on ke

ep co

mpre

hens

ive liv

ing st

ock r

ecor

ds. T

he re

cord

will

detai

l cur

rent

living

stoc

k on t

he

farm,

an ov

ervie

w of

rece

nt liv

ing st

ock t

rans

actio

ns an

d the

rece

nt los

s situ

ation

with

in a p

opula

tion o

r livin

g stoc

k pro

ducti

on un

it.

FSM

AI 9

.1Sp

ecifie

d req

uirem

ents

The s

tanda

rd sh

all en

sure

that

the or

ganis

ation

be ab

le to

clear

ly ide

ntify

living

stoc

k (an

d the

reco

rds a

ssoc

iated

with

that

living

stoc

k) tha

t ha

s bee

n tre

ated w

ith ve

terina

ry me

dicine

s and

are w

ithin

the m

anufa

cture

r’s re

comm

ende

d wait

ing pe

riod f

or th

at co

urse

of tr

eatm

ent.

FSM

AI 1

5.1

Purch

asing

The s

tanda

rd sh

all en

sure

that

the or

ganis

ation

has i

n plac

e spe

cific p

olicie

s for

the p

rocu

reme

nt of

feed f

rom

appr

oved

, cer

tified

sour

ces.

FSM

AI 1

5.2

Purch

asing

The s

tanda

rd sh

all en

sure

that

the or

ganis

ation

has i

n plac

e spe

cific p

olicie

s for

the p

rocu

reme

nt of

appr

oved

veter

inary

medic

ines.

FSM

AI 1

9.1

Serio

us in

ciden

t man

agem

ent

The s

tanda

rd sh

all en

sure

that

the or

ganis

ation

has t

he ab

ility t

o tak

e mea

sure

s for

the c

ontai

nmen

t and

quar

antin

e of a

ny liv

ing st

ock f

ound

to

be in

fected

with

a no

tifiab

le dis

ease

.

FSM

AI 1

9.2

Serio

us in

ciden

t man

agem

ent

The s

tanda

rd sh

all en

sure

that

the or

ganis

ation

has t

he ab

ility t

o tak

e mea

sure

s for

the w

ithdr

awal

and c

ontai

nmen

t of c

ontam

inated

fee

dstuf

fs.

FSM

AI 2

3Tr

acea

bility

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropr

iate p

roce

dure

s and

syste

ms to

ensu

re:

► I

denti

ficati

on of

any o

utsou

rced p

rodu

ction

, inpu

ts or

servi

ces r

elated

to fo

od sa

fety,·

A co

mplet

e rec

ord o

f in-p

roce

ss m

ateria

l or

final

prod

uct a

nd pa

ckag

ing th

roug

hout

the pr

oduc

tion p

roce

ss,

► A

reco

rd of

purch

aser

and d

elive

ry de

stina

tion f

or al

l anim

als an

d anim

alpr

oduc

ts su

pplie

d,►

Pro

duct

identi

ficati

on th

at inc

ludes

, as a

mini

mum,

the o

rigin

(pro

duce

r and

coun

try) a

nd th

e date

of pr

oduc

tion o

rpa

cking

,►

Inp

ut pr

oduc

t iden

tifica

tion i

nclud

ing fe

ed an

d fee

d add

itives

that

includ

es, a

s a m

inimu

m, th

e nam

e and

addr

ess o

f the p

rodu

cer, L

ot or

batch

numb

er,►

Ide

ntific

ation

of an

y vete

rinar

y med

icatio

n pur

chas

es an

d tre

atmen

ts,►

A re

cord

of al

l livin

g stoc

k inp

uts an

d outp

uts, m

ovem

ents

on an

d off-

site,

to eit

her a

nimal

or ba

tch, a

s app

ropr

iate t

o the

indu

stry

norm

for t

he sp

ecies

.

FSM

AI 2

4An

alysis

of In

puts

(e.g.

wate

r, fee

dstuf

fs)Th

e stan

dard

shall

requ

ire th

at the

orga

nisati

on pr

epar

e and

imple

ment

a sys

tem to

ensu

re th

at an

alysis

of in

puts

critic

al to

the co

nfirm

ation

of

food s

afety

is un

derta

ken a

nd th

at su

ch an

alyse

s are

perfo

rmed

to st

anda

rds e

quiva

lent to

ISO

1702

5.


PART IV

Tabl

e III

– F

ood

Safet

y Man

agem

ent R

equi

rem

ents

Addi

tiona

l Spe

cific

Requ

irem

ents

AII

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

AII

8.1

Gene

ral d

ocum

entat

ion re

quire

ments

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

keep

comp

rehe

nsive

living

stoc

k rec

ords

. The

reco

rd w

ill de

tail c

urre

nt sto

ck on

the f

arm,

an

over

view

of re

cent

live s

tock t

rans

actio

ns, in

cludin

g fry

purch

ases

and t

he re

cent

loss s

ituati

on w

ithin

a pop

ulatio

n or s

tock p

rodu

ction

unit.

FSM

AII

9.1

Spec

ified r

equir

emen

tsTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on be

able

to cle

arly

identi

fy liv

ing fis

h stoc

ks (a

nd th

e rec

ords

asso

ciated

with

that

stock

) tha

t ha

ve be

en tr

eated

with

veter

inary

medic

ines a

nd ar

e with

in the

man

ufactu

rer’s

reco

mmen

ded w

aiting

perio

d for

that

cour

se of

trea

tmen

t.

FSM

AII

15.1

Purch

asing

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has i

n plac

e spe

cific p

olicie

s for

the p

rocu

reme

nt of

feed f

rom

appr

oved

certifi

ed so

urce

s.

FSM

AII

15.2

Purch

asing

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has i

n plac

e spe

cific p

olicie

s for

the p

rocu

reme

nt of

appr

oved

veter

inary

medic

ines.

FSM

AII

19.1

Serio

us in

ciden

t man

agem

ent

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has t

he ab

ility t

o tak

e mea

sure

s for

the c

ontai

nmen

t and

quar

antin

e of a

ny liv

ing st

ock f

ound

to

be in

fected

with

a no

tifiab

le dis

ease

, par

asite

or co

nditio

n tha

t wou

ld co

mpro

mise

food

safet

y.

FSM

AII

19.2

Se

rious

incid

ent m

anag

emen

t Th

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

s the

abilit

y to t

ake m

easu

res f

or th

e with

draw

al an

d con

tainm

ent o

f con

tamina

ted

feeds

tuffs

FSM

AII

23Tr

acea

bility

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropr

iate p

roce

dure

s and

syste

ms to

ensu

re:

► I

denti

ficati

on of

any o

utsou

rced p

rodu

ction

, inpu

ts or

servi

ces r

elated

to fo

od sa

fety,

► A

comp

lete r

ecor

d of in

-pro

cess

mate

rial o

r fina

l pro

duct

and p

acka

ging t

hrou

ghou

t the p

rodu

ction

proc

ess,

► A

reco

rd of

purch

aser

and d

elive

ry de

stina

tion f

or al

l fish

or se

afood

prod

ucts,

► P

rodu

ct ide

ntific

ation

that

includ

es, a

s a m

inimu

m, th

e orig

in (p

rodu

cer a

nd co

untry

) and

the d

ate of

prod

uctio

n or p

ackin

g,►

Inp

ut pr

oduc

t iden

tifica

tion i

nclud

ing fe

ed an

d fee

d add

itives

that

includ

es, a

s a m

inimu

m, th

e nam

e and

addr

ess o

f the p

rodu

cer, l

ot or

batch

numb

er,►

iden

tifica

tion o

f any

veter

inary

medic

ation

purch

ases

and t

reatm

ents,

► A

reco

rd of

all li

ving s

tock i

nputs

and o

utputs

, mov

emen

ts on

and o

ff-sit

e, to

eithe

r anim

al or

batch

as ap

prop

riate

to the

indu

stry

norm

for t

he sp

ecies

.

FSM

AII

24An

alysis

of In

puts

(e.g.

wate

r, fee

dstuf

fs)Th

e stan

dard

shall

requ

ire th

at the

orga

nisati

on pr

epar

e and

imple

ment

a sys

tem to

ensu

re th

at an

alysis

of in

puts

critic

al to

the co

nfirm

ation

of

food s

afety

is un

derta

ken a

nd th

at su

ch an

alyse

s are

perfo

rmed

to st

anda

rds e

quiva

lent to

ISO

1702

5.

FSM

AII

24.1

Analy

sis of

Inpu

ts (e

.g. w

ater, f

eed

stuffs

)Th

e stan

dard

shall

requ

ire th

at the

prod

uctio

n and

stor

age o

f ice,

wher

e use

d to s

tore o

r tra

nspo

rt at

the po

int of

slau

ghter

, sha

ll not

comp

romi

se fo

od sa

fety.


PART IV

Tabl

e IV

– F

ood

Safet

y Man

agem

ent R

equi

rem

ents

Ad

ditio

nal S

pecifi

c Re

quire

men

ts B

I and

BII

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

B 2

3Tr

acea

bility

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropr

iate p

roce

dure

s and

syste

ms to

ensu

re:

► I

denti

ficati

on of

any o

utsou

rced p

rodu

ction

, inpu

ts or

servi

ces r

elated

to fo

od sa

fety,

► P

rodu

ct ide

ntific

ation

that

includ

es, a

s a m

inimu

m, th

e nam

e and

addr

ess o

f the p

rodu

cer,

► A

reco

rd of

purch

aser

and d

elive

ry de

stina

tion f

or al

l pro

ducts

supp

lied.

FSM

B 2

4An

alysis

of In

puts

(e.g.

wate

r, fee

dstuf

fs)Th

e stan

dard

shall

requ

ire th

at the

orga

nisati

on pr

epar

e and

imple

ment

a sys

tem to

ensu

re th

at an

alysis

of in

puts

critic

al to

the co

nfirm

ation

of

food s

afety

is un

derta

ken a

nd th

at su

ch an

alyse

s are

perfo

rmed

to st

anda

rds e

quiva

lent to

ISO

1702

5.

Tabl

e V

– Fo

od S

afety

Man

agem

ent R

equi

rem

ents

Addi

tiona

l Spe

cific

Requ

irem

ents

C

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

C 1

5.1

Purch

asing

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has i

n plac

e spe

cific p

olicie

s for

the p

rocu

reme

nt of

anim

als, fi

sh an

d sea

food w

hich a

re

subje

ct to

contr

ol of

proh

ibited

subs

tance

s (e.g

phar

mace

utica

ls, ve

terina

ry me

dicine

s, he

avy m

etals

and p

estic

ides).

FSM

C 2

3Tr

acea

bility

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropr

iate p

roce

dure

s and

syste

ms to

ensu

re:

► I

denti

ficati

on of

any o

utsou

rced p

rodu

ction

, inpu

ts or

servi

ces r

elated

to fo

od sa

fety,

► A

comp

lete r

ecor

d of in

-pro

cess

mate

rial o

r fina

l pro

duct

and p

acka

ging t

hrou

ghou

t the p

rodu

ction

proc

ess,

► A

reco

rd of

purch

aser

and d

elive

ry de

stina

tion f

or al

l anim

al, fis

h or s

eafoo

d pro

ducts

,►

Pro

duct

identi

ficati

on th

at inc

ludes

, as a

mini

mum,

the o

rigin

(pro

duce

r and

coun

try) a

nd th

e date

of pr

oduc

tion o

r pac

king,


PART IV

Tabl

e VI

– F

eed

Safet

y M

anag

emen

t Req

uire

men

tsAd

ditio

nal S

pecifi

c Re

quire

men

ts D

, EI,

EII,

EIII,

EIV

and

L

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

DEL

23

Trac

eabil

ity

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropr

iate p

roce

dure

s and

syste

ms to

ensu

re:

► I

denti

ficati

on of

any o

utsou

rced p

rodu

ction

, inpu

ts or

servi

ces r

elated

to fo

od sa

fety,

► P

rodu

ct ide

ntific

ation

that

includ

es, a

s a m

inimu

m, th

e nam

e and

addr

ess o

f the p

rodu

cer,

► A

reco

rd of

purch

aser

and d

elive

ry de

stina

tion f

or al

l pro

ducts

supp

lied.

FSM

DEL

24

Analy

sis of

Inpu

ts (e

.g. w

ater, i

ce)

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

prep

are a

nd im

pleme

nt a s

ystem

to en

sure

that

analy

sis of

inpu

ts cri

tical

to the

confi

rmati

on

of pr

oduc

t safe

ty is

unde

rtake

n and

that

such

analy

ses a

re pe

rform

ed to

stan

dard

s equ

ivalen

t to IS

O 17

025.

Tabl

e VI

I – F

eed

Safet

y Man

agem

ent R

equi

rem

ents

Scop

e of

Rec

ogni

tion

F

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FDSM

1Fe

ed sa

fety m

anag

emen

t- ge

nera

l re

quire

ments

The s

tanda

rd sh

all re

quire

that

the el

emen

ts of

the or

ganis

ation

’s fee

d safe

ty ma

nage

ment

syste

m be

docu

mente

d, im

pleme

nted,

maint

ained

and c

ontin

ually

impr

oved

. The

feed

safet

y man

agem

ent s

ystem

shall

:a)

comp

ly wi

th ap

plica

ble fe

ed sa

fety r

egula

tory r

equir

emen

ts,b)

iden

tify th

e pro

cess

es ne

eded

for t

he fe

ed sa

fety m

anag

emen

t sys

tem,

c) d

eterm

ine th

e seq

uenc

e and

inter

actio

n of th

ese p

roce

sses

,d)

deter

mine

the c

riteria

and m

ethod

s req

uired

to en

sure

the e

ffecti

ve op

erati

on an

d con

trol o

f thes

e pro

cess

es,

e) en

sure

the a

vaila

bility

of in

forma

tion n

eces

sary

to su

ppor

t the o

pera

tion a

nd m

onito

ring o

f thes

e pro

cess

es,

f) m

easu

re, m

onito

r and

analy

se th

ese p

roce

sses

and i

mplem

ent a

ction

s nec

essa

ry to

achie

ve pl

anne

d res

ults a

nd co

ntinu

ous

impr

ovem

ent,

g) in

clude

pre-

requ

isite

prog

ramm

es an

d HAC

CP ba

sed p

lans.


PART IV

FDSM

2Fe

ed sa

fety p

olicy

The s

tanda

rd sh

all re

quire

the o

rgan

isatio

n has

a cle

ar, co

ncise

and d

ocum

ented

polic

y stat

emen

t and

objec

tives

spec

ifying

the e

xtent

of the

orga

nisati

on’s

comm

itmen

t to m

eet th

e fee

d safe

ty ne

eds o

f its p

rodu

cts.

FDSM

3Fe

ed sa

fety m

anua

lTh

e stan

dard

shall

requ

ire th

e org

anisa

tion h

as a

feed s

afety

manu

al or

docu

mente

d sys

tem ha

ving a

scop

e app

ropr

iate t

o the

rang

e of

busin

ess a

ctivit

ies to

be co

vere

d, inc

luding

docu

mente

d pro

cedu

res o

r spe

cific r

efere

nce t

o the

m an

d des

cribin

g the

inter

actio

n of th

e re

lated

proc

ess s

teps.

FDSM

4Ma

nage

ment

resp

onsib

ility

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish a

clea

r stru

cture

, whic

h una

mbigu

ously

defin

es an

d doc

umen

ts the

job f

uncti

ons,

resp

onsib

ilities

and r

epor

ting r

elatio

nship

s of a

t leas

t thos

e staf

f who

se ac

tivitie

s affe

ct fee

d safe

ty.

FDSM

5Ma

nage

ment

comm

itmen

tTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on’s

senio

r man

agem

ent p

rovid

e evid

ence

of th

eir co

mmitm

ent to

estab

lish,

imple

ment,

ma

intain

and i

mpro

ve th

e fee

d safe

ty sy

stem.

FDSM

6Ma

nage

ment

revie

w an

d obje

ctive

s

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t rev

iew th

e ver

ificati

on of

the f

eed s

afety

syste

m at

plann

ed in

terva

ls to

ensu

re th

eir co

ntinu

ing su

itabil

ity, a

dequ

acy a

nd ef

fectiv

enes

s. Th

e fee

d safe

ty sy

stem

shall

also

be re

viewe

d in t

he ev

ent o

f any

chan

ge

that im

pacts

feed

safet

y. S

uch a

revie

w sh

all ev

aluate

the n

eed f

or ch

ange

s to t

he fe

ed sa

fety s

ystem

, inclu

ding t

he fe

ed sa

fety p

olicy

and

feed s

afety

objec

tives

.

FDSM

7Re

sour

ce m

anag

emen

tTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on’s

senio

r man

agem

ent d

eterm

ine an

d pro

vide,

in a t

imely

man

ner, t

he re

sour

ces n

eede

d to

imple

ment,

main

tain a

nd im

prov

e the

feed

safet

y sys

tem.

FDSM

8Ge

nera

l doc

umen

tation

The s

tanda

rd sh

all re

quire

that

docu

menta

tion p

roce

dure

s are

in pl

ace t

o dem

onstr

ate co

mplia

nce w

ith th

e stan

dard

and e

nsur

e tha

t all

reco

rds r

equir

ed to

demo

nstra

te the

effec

tive o

pera

tion a

nd co

ntrol

of its

proc

esse

s and

its m

anag

emen

t of fe

ed sa

fety a

re s

tored

for a

time

perio

d req

uired

to m

eet c

ustom

er an

d/or le

gal re

quire

ments

, effe

ctive

ly co

ntroll

ed an

d rea

dily a

cces

sible

when

need

ed.

FDSM

9Sp

ecifie

d req

uirem

ents

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

ensu

re th

at, fo

r all i

nputs

to th

e pro

cess

, item

s and

servi

ces t

hat a

re pu

rchas

ed or

prov

ided

and h

ave a

n effe

ct on

feed

safet

y, do

cume

nted s

pecifi

catio

ns ar

e rea

dily a

cces

sible

when

need

ed. T

he st

anda

rd sh

all re

quire

that

a sp

ecific

ation

revie

w pr

oced

ure i

s imp

lemen

ted.

FDSM

10

Proc

edur

esTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain d

etaile

d pro

cedu

res a

nd in

struc

tions

for a

ll pro

cess

es

and o

pera

tions

havin

g an e

ffect

on fe

ed sa

fety.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

FDSM

11

Inter

nal a

udit

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

n inte

rnal

audit

syste

m in

place

to co

ver t

he sc

ope o

f the f

eed s

afety

syste

m.

FDSM

12

Corre

ctive

actio

nTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

s pro

cedu

res f

or th

e dete

rmina

tion a

nd im

pleme

ntatio

n of c

orre

ctive

actio

n in t

he ev

ent o

f no

n con

formi

ty re

lating

to fe

ed sa

fety m

anag

emen

t.

FDSM

13

Contr

ol of

non c

onfor

mity

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has e

ffecti

ve pr

oced

ures

in pl

ace t

o ens

ure t

hat fe

ed, w

hich d

oes n

ot co

nform

to fe

ed sa

fety

requ

ireme

nts, is

clea

rly id

entifi

ed an

d con

trolle

d to p

reve

nt un

inten

ded u

se or

deliv

ery.

Ther

e sha

ll be a

docu

mente

d pro

cedu

re re

gard

ing

the co

ntrol

of no

n con

formi

ty an

d any

activ

ity in

relat

ion to

the c

ontro

l of n

on co

nform

ing fe

ed sh

all be

reco

rded

.

FDSM

14

Feed

relea

seTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on pr

epar

e and

imple

ment

appr

opria

te fee

d rele

ase p

roce

dure

s.

FDSM

15

Purch

asing

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has p

urch

asing

proc

edur

es to

ensu

re th

at all

raw

mater

ials,

ingre

dients

and s

ervic

es, w

hich

have

an ef

fect o

n fee

d safe

ty, co

nform

to sp

ecifie

d req

uirem

ents.

FDSM

16

Supp

lier p

erfor

manc

eTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain p

roce

dure

s for

the e

valua

tion,

appr

oval

and r

egula

r mo

nitor

ing of

supp

liers,

whic

h hav

e an e

ffect

on fe

ed sa

fety.

The r

esult

s of e

valua

tions

, inve

stiga

tions

and f

ollow

up ac

tions

shall

be

reco

rded

.

FDSM

17

Outso

urcin

gTh

e stan

dard

shall

requ

ire th

at, w

here

an or

ganis

ation

choo

ses t

o outs

ource

proc

esse

s tha

t may

affec

t feed

safet

y, the

orga

nisati

on sh

all

ensu

re co

ntrol

over

such

proc

esse

s. Co

ntrol

of su

ch ou

tsour

ced p

roce

sses

shall

be id

entifi

ed, d

ocum

ented

and m

onito

red w

ithin

the fe

ed

safet

y man

agem

ent s

ystem

.

FDSM

18

Comp

laint

hand

ling

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n an e

ffecti

ve sy

stem

for th

e man

agem

ent o

f com

plaint

s an

d com

plaint

data.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FDSM

19

Incide

nt ma

nage

ment

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n an e

ffecti

ve in

ciden

t man

agem

ent p

roce

dure

, whic

h is

regu

larly

tested

and

cove

rs pla

nning

for p

rodu

ct wi

thdra

wal a

nd r

ecall

.

FDSM

20

Contr

ol of

meas

uring

devic

esTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on en

sure

s tha

t feed

safet

y mea

surin

g dev

ices a

re ca

libra

ted to

a re

cogn

ised s

tanda

rd.

FDSM

21

Food

defen

ceTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

s a do

cume

nted r

isk as

sess

ment

proc

edur

e in p

lace t

o add

ress

food

defen

ce ris

ks an

d es

tablis

h, im

pleme

nt an

d main

tain a

syste

m to

redu

ce or

elim

inate

the id

entifi

ed ris

ks.

FDSM

22

Feed

labe

lling

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

ensu

re th

at all

feed

prov

ides i

nform

ation

to co

mply

with

appli

cable

regu

lator

y req

uirem

ents

and a

ssur

e any

nece

ssar

y info

rmati

on is

prov

ided t

o fac

ilitate

safe

use o

f the f

eed.

FDSM

23

Trac

eabil

ityTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain a

ppro

priat

e pro

cedu

res a

nd sy

stems

to id

entify

the

sour

ce of

raw

mater

ials a

nd in

gred

ients,

the d

elive

ry of

feed a

nd th

eir lin

kage

s.


PART IV

Tabl

e VI

II –

Food

and

Feed

Safe

ty M

anag

emen

t Req

uire

men

ts

Scop

e of

Rec

ogni

tion

J

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

J 1

Food

safet

y man

agem

ent g

ener

al re

quire

ments

The s

tanda

rd sh

all re

quire

that

the el

emen

ts of

the or

ganis

ation

’s Fo

od S

afety

Mana

geme

nt Sy

stem

be do

cume

nted,

imple

mente

d, ma

intain

ed an

d con

tinou

sly im

prov

ed. T

he fo

od sa

fety m

anag

emen

t sys

tem sh

all:

a) id

entify

the p

roce

sses

need

ed fo

r the

food

safet

y man

agem

ent s

ystem

,b)

deter

mine

the s

eque

nce a

nd in

terac

tion o

f thes

e pro

cess

es,

c) de

termi

ne th

e crite

ria an

d meth

ods r

equir

ed to

ensu

re th

e effe

ctive

oper

ation

and c

ontro

l of th

ese p

roce

sses

,d)

ensu

re th

e ava

ilabil

ity of

infor

matio

n nec

essa

ry to

supp

ort th

e ope

ratio

n and

mon

itorin

g of th

ese p

roce

sses

,e)

mea

sure

, mon

itor a

nd an

alyse

thes

e pro

cess

es an

d imp

lemen

t acti

ons n

eces

sary

to ac

hieve

plan

ned r

esult

s and

conti

nuou

s im

prov

emen

t.

FSM

J 2

Food

safet

y poli

cy

The s

tanda

rd sh

all re

quire

the o

rgan

isatio

n has

a cle

ar an

d doc

umen

ted fo

od sa

fety p

olicy

state

ment

and o

bjecti

ves s

pecif

ying t

he

orga

nisati

on’s

comm

itmen

t to th

e sup

ply of

safe

food,

safe

food p

rodu

cts an

d rela

ted m

ateria

ls co

vere

d und

er th

e GFS

I sup

ply ch

ain sc

ope.

The s

tanda

rd re

quire

s tha

t the o

rgan

isatio

n has

a do

cume

nted f

ood s

afety

polic

y stat

emen

t for s

torag

e, dis

tributi

on, tr

ansp

ort a

nd ha

ndlin

g of

prod

uct.

FSM

J3

Food

safet

y man

ual

The s

tanda

rd sh

all re

quire

the o

rgan

isatio

n has

a Fo

od S

afety

Manu

al or

docu

mente

d sys

tem ha

ving a

scop

e cov

ering

the r

ange

of

busin

ess a

ctivit

ies, in

cludin

g doc

umen

ted pr

oced

ures

or sp

ecific

refer

ence

to th

em an

d des

cribin

g the

inter

actio

n of th

e rela

ted pr

oces

s ste

ps.

FSM

J 4

Mana

geme

nt re

spon

sibilit

y

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish a

clea

r org

anisa

tiona

l stru

cture

, whic

h defi

nes a

nd do

cume

nts th

e job

func

tions

, re

spon

sibilit

ies an

d rep

ortin

g rela

tions

hips o

f thos

e staf

f who

se ac

tivitie

s affe

ct foo

d safe

ty. T

here

shall

be a

syste

m in

place

to en

sure

ac

cepta

nce a

nd co

mplia

nce w

ith cu

stome

r or o

pera

tor’s

spec

ificati

ons a

nd/or

requ

ireme

nts in

relat

ion to

prod

uct c

ondit

ion an

d the

safe

supp

ly of

food.

FSM

J 5

Mana

geme

nt co

mmitm

ent

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t pro

vide e

viden

ce of

their

comm

itmen

t to es

tablis

h, im

pleme

nt,

supp

ort, m

aintai

n and

impr

ove t

he fo

od sa

fety s

ystem

.

FSM

J 6

Mana

geme

nt re

view

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t rev

iew th

e foo

d safe

ty sy

stem

at pla

nned

inter

vals,

to en

sure

their

co

ntinu

ing su

itabil

ity, a

dequ

acy a

nd ef

fectiv

enes

s. Th

e foo

d safe

ty sy

stem

shall

also

be re

viewe

d with

in a d

efine

d tim

e fra

me in

the e

vent

of an

y cha

nge.

Suc

h a re

view

shall

evalu

ate th

e ne

ed fo

r cha

nges

in or

der t

o main

tain t

he fo

od sa

fety s

ystem

,


PART IV

FSM

J 7

Reso

urce

man

agem

ent

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t dete

rmine

and p

rovid

e, in

a tim

ely m

anne

r, the

reso

urce

s nee

ded t

o im

pleme

nt, m

aintai

n and

impr

ove t

he fo

od sa

fety s

ystem

.

FSM

J 8

Gene

ral d

ocum

entat

ion re

quire

ments

Reco

rds a

re re

quire

d to d

emon

strate

the e

ffecti

ve op

erati

on an

d con

trol o

f pro

cess

es an

d man

agem

ent o

f food

safet

y. R

ecor

ds ar

e se

cure

ly sto

red f

or a

time p

eriod

requ

ired t

o mee

t cus

tomer

or le

gal re

quire

ments

, effe

ctive

ly co

ntroll

ed an

d rea

dily a

cces

sible

as re

ques

ted.

FSM

J9

Spec

ified r

equir

emen

ts

The s

tanda

rd sh

all re

quire

the o

rgan

isatio

n to s

pecif

y tha

t all s

ervic

es to

the p

roce

ss an

d/or s

ervic

es (in

cludin

g utili

ties,

trans

port

and

maint

enan

ce),

which

are p

urch

ased

or pr

ovide

d, en

able

the st

orag

e and

distr

ibutio

n of s

afe fo

od. T

hese

requ

ireme

nts m

ust b

e doc

umen

ted

or in

clude

d in s

ervic

e con

tracts

, ena

cted ,

effec

tively

contr

olled

, main

taine

d, se

cure

ly sto

red a

nd re

adily

acce

ssibl

e whe

n req

ueste

d. Th

e sta

ndar

d sha

ll req

uire t

hat a

contr

act r

eview

proc

ess i

s in p

lace.

FSM

J 1

0Pr

oced

ures

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n deta

iled p

roce

dure

s and

instr

uctio

ns fo

r all p

roce

sses

an

d ope

ratio

ns ha

ving a

n effe

ct on

food

safet

y.

FSM

J11

Inter

nal a

udit

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

n inte

rnal

audit

syste

m in

place

to co

ver t

he sc

ope o

f the f

ood s

afety

syste

m.

FSM

J12

Corre

ctive

actio

nTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

s pro

cedu

res f

or th

e imp

lemen

tation

, and

verifi

catio

n of c

orre

ctive

actio

ns in

the e

vent

of an

y non

confo

rmity

relat

ing to

food

safet

y.

FSM

J 1

3Co

ntrol

of no

n con

formi

ty

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has d

ocum

ented

proc

esse

s in p

lace t

o ens

ure t

hat a

ny pr

oduc

t, whic

h doe

s not

confo

rm

to foo

d safe

ty re

quire

ments

(e.g.

; held

, retu

rned

, with

draw

n, or

reca

lled)

, is cl

early

iden

tified

and c

ontro

lled t

o pre

vent

cross

-conta

mina

tion,

unint

ende

d use

or de

liver

y, an

d has

a sy

stem

to co

ntrol

the di

spos

al of

non-

confo

rming

mate

rials.

The

se re

quire

ments

shall

be de

fined

in a

docu

mente

d pro

cedu

re th

at is

read

ily ac

cess

ible w

hen r

eque

sted.

FSM

J14

Prod

uct r

eleas

eTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on pr

epar

e and

imple

ment

prod

uct r

eleas

e pro

cedu

res.


PART IV

FSM

J 1

5Pu

rchas

ingTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on co

ntrol

purch

asing

proc

esse

s to e

nsur

e tha

t all e

xtern

ally s

ource

d mate

rials

and s

ervic

es,

which

can h

ave a

n imp

act o

n foo

d safe

ty co

nform

to re

quire

ments

.

FSM

J 1

6Su

pplie

r per

forma

nce

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n pro

cedu

res f

or th

e eva

luatio

n, ap

prov

al an

d mon

itorin

g of

prod

ucts

and s

ervic

es, w

hich c

an ha

ve an

impa

ct on

food

safet

y. Th

e res

ults o

f eva

luatio

ns, in

vesti

gatio

ns an

d foll

ow up

actio

ns sh

all be

re

cord

ed.

FSM

J17

Outso

urcin

gTh

e stan

dard

shall

requ

ire th

at, w

here

an or

ganis

ation

choo

ses t

o outs

ource

any p

roce

ss th

at ma

y imp

act fo

od sa

fety,

the or

ganis

ation

shall

en

sure

contr

ol ov

er su

ch se

rvice

s. Co

ntrol

of su

ch ou

tsour

ced p

roce

sses

shall

be id

entifi

ed, d

ocum

ented

and m

onito

red w

ithin

the fo

od

safet

y Fo

od S

afety

syste

m.

FSM

J18

Comp

laint

hand

ling

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n a sy

stem

for th

e man

agem

ent o

f com

plaint

s and

co

mplai

nt da

ta.

FSM

J 1

9Se

rious

incid

ent a

nd C

risis

Mana

geme

ntTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain a

n effe

ctive

incid

ent m

anag

emen

t pro

cedu

re, w

hich i

s re

gular

ly tes

ted an

d cov

ers p

lannin

g for

prod

uct w

ithdr

awal

and p

rodu

ct re

call a

s req

uired

.

FSM

J 2

0Co

ntrol

of me

asur

ing an

d mon

itorin

g de

vices

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

iden

tify th

e mea

sure

ment

of pa

rame

ters c

ritica

l to en

sure

food

safet

y, the

mea

surin

g an

d mon

itorin

g dev

ices r

equir

ed an

d meth

ods t

o ass

ure t

hat th

e cali

brati

on of

thes

e mea

surin

g and

mon

itorin

g dev

ices i

s tra

ceab

le to

re

cogn

ised m

ethod

s and

/or st

anda

rd.

FSM

J 2

1Fo

od de

fence

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

docu

mente

d risk

asse

ssme

nt pr

oced

ure i

n plac

e to a

ddre

ss fo

od de

fence

risks

and

estab

lish,

imple

ment

and m

aintai

n a sy

stem

to re

duce

or el

imina

te the

iden

tified

risks

. The

syste

m sh

all co

ver g

ood d

istrib

ution

prac

tices

, foo

d defe

nce r

espo

nse p

lans a

nd sh

all be

supp

orted

by th

e foo

d safe

ty sy

stem.


PART IV

Tabl

e IX

– F

ood

Safet

y Man

agem

ent R

equi

rem

ents

Sc

ope

of R

ecog

nitio

n M

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

M1

Food

safet

y man

agem

ent fo

r pa

ckag

ing m

ateria

ls ge

nera

l re

quire

ments

The s

tanda

rd sh

all re

quire

that

the el

emen

ts of

the or

ganis

ation

’s Fo

od S

afety

Mana

geme

nt Sy

stem

for pa

ckag

ing m

ateria

ls be

do

cume

nted,

imple

mente

d, ma

intain

ed an

d con

tinua

lly im

prov

ed. T

he m

anag

emen

t sys

tem s

hall:

a)

iden

tify th

e pro

cess

es ne

eded

for t

he ef

fects

of pa

ckag

ing of

Foo

d Safe

ty Ma

nage

ment

syste

mb)

deter

mine

the s

eque

nce a

nd in

terac

tion o

f thes

e pro

cess

es an

d pro

cedu

res

c) de

termi

ne cr

iteria

and m

ethod

s req

uired

to en

sure

the e

ffecti

ve op

erati

on an

d con

trol o

f thes

e pro

cess

esd)

ensu

re th

e ava

ilabil

ity of

infor

matio

n nec

essa

ry to

supp

ort th

e ope

ratio

n and

mon

itorin

g of th

ese p

roce

sses

e) m

easu

re, m

onito

r and

analy

se th

ese p

roce

sses

and i

mplem

ent a

ction

s nec

essa

ry to

achie

ve pl

anne

d res

ults a

nd co

ntinu

al im

prov

emen

t.f)

ensu

re th

at pa

ckag

ing us

ed to

impa

rt or

prov

ide a

functi

onal

effec

t on f

ood s

uch a

s she

lf life

exten

sion s

hall b

e effe

ctive

with

in its

ow

n spe

cified

crite

ria , w

here

know

n. g)

valid

ate pa

ckag

ing de

sign a

nd de

velop

ment

to en

sure

food

safe

and l

egal

manu

factur

e.

FSM

M2

Polic

y stat

emen

tTh

e stan

dard

shall

requ

ire th

e org

anisa

tion t

o hav

e a cl

ear, c

oncis

e and

docu

mente

d poli

cy st

ateme

nt an

d obje

ctive

s tha

t spe

cify t

he ex

tent

of the

orga

nisati

on’s

comm

itmen

t to m

eet th

e foo

d safe

ty an

d hyg

iene n

eeds

of pa

ckag

ing m

ateria

ls.

FSM

M3

Docu

mente

d sys

temTh

e stan

dard

shall

requ

ire th

e org

anisa

tion t

o hav

e a do

cume

nted s

ystem

, hav

ing a

scop

e app

ropr

iate t

o the

rang

e of b

usine

ss ac

tivitie

s to

be co

vere

d, inc

luding

docu

mente

d pro

cedu

res o

r spe

cific r

efere

nce t

o the

m an

d des

cribin

g the

inter

actio

n of th

e rela

ted pr

oces

s step

s.

FSM

M4

Mana

geme

nt re

spon

sibilit

yTh

e stan

dard

shall

requ

ire th

e sup

plier

to es

tablis

h a cl

ear o

rgan

isatio

nal s

tructu

re, w

hich u

namb

iguou

sly de

fines

and d

ocum

ents

job

functi

ons,

resp

onsib

ilities

and r

epor

ting r

elatio

nship

s of a

t leas

t thos

e staf

f, who

se ac

tivitie

s affe

ct foo

d safe

ty. T

he st

ructu

re ef

fectiv

enes

s sh

all be

perio

dicall

y rev

iewed

by m

anag

emen

t.

FSM

M5

Mana

geme

nt co

mmitm

ent

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t pro

vide e

viden

ce of

their

comm

itmen

t to es

tablis

h, im

pleme

nt,

maint

ain an

d con

tinua

lly im

prov

e the

food

safet

y sys

tem.

FSM

M6

Mana

geme

nt re

view

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t rev

iew th

e ver

ificati

on of

the f

ood s

afety

syste

m, H

ACCP

Plan

or

HACC

P ba

sed p

lans,

at pla

nned

inter

vals,

to en

sure

their

conti

nuing

suita

bility

, ade

quac

y and

effec

tiven

ess.

The H

ACCP

Plan

shall

also

be

revie

wed i

n the

even

t of a

ny ch

ange

that

impa

cts fo

od sa

fety.

Suc

h a re

view

shall

evalu

ate th

e nee

d for

chan

ges t

o the

food

safet

y sys

tem,

includ

ing th

e foo

d safe

ty po

licy a

nd fo

od sa

fety o

bjecti

ves.


PART IV

FSM

M7

Reso

urce

man

agem

ent

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s se

nior m

anag

emen

t dete

rmine

and p

rovid

e, in

a tim

ely m

anne

r, all t

he re

sour

ces n

eede

d to

imple

ment,

main

tain a

nd im

prov

e the

food

safet

y sys

tem fo

r pac

kagin

g mate

rials.

FSM

M8

Gene

ral d

ocum

entat

ion re

quire

ments

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

’s do

cume

ntatio

n pro

cedu

res a

re in

plac

e to d

emon

strate

comp

lianc

e with

the s

tanda

rd an

d en

sure

that

all re

cord

s req

uired

to de

mons

trate

the ef

fectiv

e ope

ratio

n and

contr

ol of

its pr

oces

ses a

nd its

man

agem

ent o

f food

safet

y for

pa

ckag

ing m

ateria

ls, ar

e sec

urely

stor

ed fo

r a tim

e per

iod re

quire

d to m

eet c

ustom

er or

lega

l requ

ireme

nts, e

ffecti

vely

contr

olled

and r

eadil

y ac

cess

ible w

hen n

eede

d..

FSM

M9

Spec

ified r

equir

emen

ts

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

ensu

res t

hat fo

r all i

nputs

to th

e pro

cess

, item

s and

servi

ces (

includ

ing ut

ilities

, tran

spor

t an

d main

tenan

ce) p

urch

ased

/prov

ided a

nd ha

ving a

n effe

ct on

food

safet

y fro

m pa

ckag

ing m

ateria

ls, do

cume

nted s

pecifi

catio

ns ar

e pr

epar

ed, e

ffecti

vely

contr

olled

, main

taine

d, se

cure

ly sto

red a

nd re

adily

acce

ssibl

e whe

n nee

ded.

The s

tanda

rd sh

all re

quire

that

a sp

ecific

ation

revie

w pr

oces

s is i

n plac

e. Th

e stan

dard

shall

requ

ire th

at the

suita

bility

of al

l pac

kagin

g mate

rials

shall

be su

ppor

ted w

ith ev

idenc

e of c

ompli

ance

for t

he in

tende

d pu

rpos

e and

have

lega

l com

plian

ce fo

r the

coun

try of

use,

wher

e kno

wn.

FSM

M10

Proc

edur

esTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on es

tablis

h, im

pleme

nt an

d main

tain d

etaile

d pro

cedu

res,

docu

ments

and c

ontro

ls for

all

proc

esse

s and

oper

ation

s hav

ing an

effec

t on f

ood s

afety.

This

may

inclu

de m

utuall

y agr

eed c

ustom

er re

quire

ments

and c

ontra

cts.

FSM

M11

Inter

nal a

udit

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

n effe

ctive

inter

nal a

udit s

ystem

in pl

ace t

o ens

ure c

ompli

ance

to pr

oces

s and

op

erati

ons p

roce

dure

s as w

ell as

to co

ver t

he sc

ope o

f the e

ffect

of pa

ckag

ing on

food

safet

y sys

tems i

nclud

ing th

e Haz

ard a

nd R

isk

Mana

geme

nt sy

stem.

FSM

. M

12Co

rrecti

ve ac

tion a

nd pr

even

tive a

ction

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has p

roce

dure

s for

the t

imely

deter

mina

tion a

nd ef

fectiv

e imp

lemen

tation

of co

rrecti

ve

actio

n in t

he ev

ent o

f any

sign

ifican

t non

-confo

rmity

relat

ing to

food

safet

y.

FSM

M13

Contr

ol of

non c

onfor

mity

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

ensu

res t

hat a

ny pa

ckag

ing m

ateria

ls, w

hich d

o not

confo

rm to

food

safet

y req

uirem

ents,

ar

e clea

rly id

entifi

ed, s

epar

ated a

nd co

ntroll

ed to

prev

ent u

ninten

ded u

se or

deliv

ery.

Thes

e acti

vities

shall

be de

fined

in a

docu

mente

d pr

oced

ure.

FSM

M14

Prod

uct r

eleas

eTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on sh

all pr

epar

e, do

cume

nt, co

ntrol,

appr

ove a

nd im

pleme

nt ap

prop

riate

relea

se pr

oced

ures

.

FSM

. M

15Su

pply

mana

geme

ntTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on co

ntrols

the s

upply

man

agem

ent p

roce

sses

to en

sure

that

all ex

terna

lly so

urce

d mate

rials

and s

ervic

es, w

hich h

ave a

n effe

ct on

food

safe

pack

aging

mate

rials,

confo

rm to

spec

ifier a

nd re

gulat

ory r

equir

emen

ts.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

FSM

M16

Supp

lier p

erfor

manc

e and

appr

oval

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n doc

umen

ted pr

oced

ures f

or the

evalu

ation

, app

roval

and

conti

nued

mon

itorin

g of it

s sup

pliers

, whic

h may

have

an ef

fect o

n foo

d safe

ty thr

ough

the p

acka

ging m

anufa

ctured

, stor

ed, tr

ansp

orted

and

poten

tial u

se. T

he re

sults

of ev

aluati

ons,

inves

tigati

ons a

nd fo

llow-

up ac

tions

shall

be re

corde

d.

FSM

M17

Outso

urcin

g/ su

b- co

ntrac

ting

The s

tanda

rd sh

all re

quire

that

where

an or

ganis

ation

choo

ses t

o outs

ource

/sub-c

ontra

ct an

y proc

ess t

hat m

ay af

fect fo

od sa

fety,

the or

ganis

ation

sh

all en

sure

contr

ol ov

er su

ch pr

oces

ses.

Contr

ol of

such

outso

urced

/ sub

-contr

acted

proc

esse

s sha

ll be i

denti

fied,

docu

mente

d, an

d mon

itored

wi

thin t

he ef

fects

of pa

ckag

ing on

food

safet

y man

agem

ent s

ystem

.

FSM

M18

Comp

laint

hand

ling

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n an e

ffecti

ve sy

stem

for th

e man

agem

ent o

f com

plaint

s and

co

mplai

nt da

ta to

contr

ol an

d corr

ect n

on co

nform

ity.

FSM

M19

Incide

nt ma

nage

ment

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish, im

pleme

nt an

d main

tain a

n effe

ctive

incid

ent m

anag

emen

t proc

edure

for a

ll pac

kagin

g ma

terial

s it s

uppli

es. T

his sh

all co

ver p

lannin

g for

produ

ct wi

thdraw

al an

d prod

uct re

call w

hich s

hall b

e tes

ted on

an ad

equa

te an

d spe

cified

frequ

ency

.

FSM

M 2

0Co

ntrol

of me

asur

ing an

d mon

itorin

g de

vices

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

iden

tify th

e mea

surem

ent o

f para

meter

s criti

cal to

ensu

re foo

d safe

ty fro

m pa

ckag

ing m

ateria

ls.

The m

easu

ring a

nd m

onito

ring e

quipm

ent re

quire

d sha

ll hav

e an a

dequ

ate de

gree o

f acc

uracy

and m

ethod

s rec

ognis

ed an

d vali

dated

. Rou

tine

calib

ration

of th

ese m

easu

ring a

nd m

onito

ring e

quipm

ent s

hall b

e trac

eable

to a

recog

nised

stan

dard.

FSM

M21

Malic

ious i

nterve

ntion

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

docu

mente

d risk

asse

ssme

nt pro

cedu

re in

place

to ad

dress

food

defen

ce ris

ks fro

m pa

ckag

ing an

d esta

blish

, imple

ment

and m

aintai

n a sy

stem

to red

uce o

r elim

inate

the id

entifi

ed ris

ks. T

he sy

stem

shall

cove

r Goo

d Man

ufactu

ring

Prac

tices

and s

hall b

e sup

porte

d thro

ugh t

he ef

fects

of pa

ckag

ing on

food

safet

y sys

tems.

This

may i

nclud

e trad

emark

ed m

ateria

ls, si

te se

curity

, pe

rsonn

el se

lectio

n, ma

nufac

turing

proc

esse

s and

trans

port.

FSM

M 2

2Pr

oduc

t labe

lling

The s

tanda

rd sh

all re

quire

the o

rganis

ation

to en

sure

that a

ll foo

d pac

kagin

g mate

rials

are su

itably

labe

lled/

identi

fied.

FSM

M23

Trac

eabil

ity

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropria

te pro

cedu

res an

d sys

tems t

o ens

ure:

► T

he ab

ility to

trace

or fo

llow

a mate

rial o

r artic

le thr

ough

all s

tages

of m

anufa

cture,

proc

essin

g and

distr

ibutio

n ►

Iden

tifica

tion o

f any

out-s

ource

d prod

uct, i

nputs

or se

rvice

relat

ed to

food

safet

y;►

Prod

uct id

entifi

catio

n tha

t inclu

des a

s a m

inimu

m a u

nique

prod

uct c

ode a

nd m

anufa

cturer

’s ide

ntific

ation

logo

or m

ark to

iden

tify th

e batc

h or

indivi

dual

item

as re

quire

d by t

he cu

stome

r.►

Rec

ord of

purch

aser

and d

elive

ry de

stina

tion f

or all

prod

ucts

supp

lied.

►

Iden

tifica

tion o

f recy

cled m

ateria

ls an

d any

othe

r mate

rials,

from

whate

ver s

ource

, tha

t may

give

rise t

o foo

d safe

ty iss

ues

► Im

pleme

ntatio

n sha

ll be t

imely

and i

nform

ation

prod

uced

shall

be ac

curat

eTr

acea

bility

shall

inclu

de th

e mate

rial s

ource

(one

stag

e bac

k), th

rough

out a

ll prod

uctio

n proc

esse

s, on

to in

terna

l and

exter

nal w

areho

using

and t

he

custo

mer (

one s

tage f

orward

).

FSM

M24

Pack

aging

mate

rial te

sting

Whe

re ex

terna

l prod

uct te

sting

is re

quire

d it s

hall b

e carr

ied ou

t by a

n acc

redite

d tes

t facil

ity or

one t

hat fo

llows

inter

natio

nal te

st fac

ility gu

idelin

es.

Whe

re in-

hous

e tes

ting i

s carr

ied ou

t cali

bratio

n of e

quipm

ent s

hall b

e carr

ied ou

t aga

inst n

ation

al sta

ndard

s or o

ther a

ccura

te me

ans.


PART IV

FSM

M16

Supp

lier p

erfor

manc

e and

appr

oval

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n doc

umen

ted pr

oced

ures f

or the

evalu

ation

, app

roval

and

conti

nued

mon

itorin

g of it

s sup

pliers

, whic

h may

have

an ef

fect o

n foo

d safe

ty thr

ough

the p

acka

ging m

anufa

ctured

, stor

ed, tr

ansp

orted

and

poten

tial u

se. T

he re

sults

of ev

aluati

ons,

inves

tigati

ons a

nd fo

llow-

up ac

tions

shall

be re

corde

d.

FSM

M17

Outso

urcin

g/ su

b- co

ntrac

ting

The s

tanda

rd sh

all re

quire

that

where

an or

ganis

ation

choo

ses t

o outs

ource

/sub-c

ontra

ct an

y proc

ess t

hat m

ay af

fect fo

od sa

fety,

the or

ganis

ation

sh

all en

sure

contr

ol ov

er su

ch pr

oces

ses.

Contr

ol of

such

outso

urced

/ sub

-contr

acted

proc

esse

s sha

ll be i

denti

fied,

docu

mente

d, an

d mon

itored

wi

thin t

he ef

fects

of pa

ckag

ing on

food

safet

y man

agem

ent s

ystem

.

FSM

M18

Comp

laint

hand

ling

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n an e

ffecti

ve sy

stem

for th

e man

agem

ent o

f com

plaint

s and

co

mplai

nt da

ta to

contr

ol an

d corr

ect n

on co

nform

ity.

FSM

M19

Incide

nt ma

nage

ment

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish, im

pleme

nt an

d main

tain a

n effe

ctive

incid

ent m

anag

emen

t proc

edure

for a

ll pac

kagin

g ma

terial

s it s

uppli

es. T

his sh

all co

ver p

lannin

g for

produ

ct wi

thdraw

al an

d prod

uct re

call w

hich s

hall b

e tes

ted on

an ad

equa

te an

d spe

cified

frequ

ency

.

FSM

M 2

0Co

ntrol

of me

asur

ing an

d mon

itorin

g de

vices

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

iden

tify th

e mea

surem

ent o

f para

meter

s criti

cal to

ensu

re foo

d safe

ty fro

m pa

ckag

ing m

ateria

ls.

The m

easu

ring a

nd m

onito

ring e

quipm

ent re

quire

d sha

ll hav

e an a

dequ

ate de

gree o

f acc

uracy

and m

ethod

s rec

ognis

ed an

d vali

dated

. Rou

tine

calib

ration

of th

ese m

easu

ring a

nd m

onito

ring e

quipm

ent s

hall b

e trac

eable

to a

recog

nised

stan

dard.

FSM

M21

Malic

ious i

nterve

ntion

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has a

docu

mente

d risk

asse

ssme

nt pro

cedu

re in

place

to ad

dress

food

defen

ce ris

ks fro

m pa

ckag

ing an

d esta

blish

, imple

ment

and m

aintai

n a sy

stem

to red

uce o

r elim

inate

the id

entifi

ed ris

ks. T

he sy

stem

shall

cove

r Goo

d Man

ufactu

ring

Prac

tices

and s

hall b

e sup

porte

d thro

ugh t

he ef

fects

of pa

ckag

ing on

food

safet

y sys

tems.

This

may i

nclud

e trad

emark

ed m

ateria

ls, si

te se

curity

, pe

rsonn

el se

lectio

n, ma

nufac

turing

proc

esse

s and

trans

port.

FSM

M 2

2Pr

oduc

t labe

lling

The s

tanda

rd sh

all re

quire

the o

rganis

ation

to en

sure

that a

ll foo

d pac

kagin

g mate

rials

are su

itably

labe

lled/

identi

fied.

FSM

M23

Trac

eabil

ity

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropria

te pro

cedu

res an

d sys

tems t

o ens

ure:

► T

he ab

ility to

trace

or fo

llow

a mate

rial o

r artic

le thr

ough

all s

tages

of m

anufa

cture,

proc

essin

g and

distr

ibutio

n ►

Iden

tifica

tion o

f any

out-s

ource

d prod

uct, i

nputs

or se

rvice

relat

ed to

food

safet

y;►

Prod

uct id

entifi

catio

n tha

t inclu

des a

s a m

inimu

m a u

nique

prod

uct c

ode a

nd m

anufa

cturer

’s ide

ntific

ation

logo

or m

ark to

iden

tify th

e batc

h or

indivi

dual

item

as re

quire

d by t

he cu

stome

r.►

Rec

ord of

purch

aser

and d

elive

ry de

stina

tion f

or all

prod

ucts

supp

lied.

►

Iden

tifica

tion o

f recy

cled m

ateria

ls an

d any

othe

r mate

rials,

from

whate

ver s

ource

, tha

t may

give

rise t

o foo

d safe

ty iss

ues

► Im

pleme

ntatio

n sha

ll be t

imely

and i

nform

ation

prod

uced

shall

be ac

curat

eTr

acea

bility

shall

inclu

de th

e mate

rial s

ource

(one

stag

e bac

k), th

rough

out a

ll prod

uctio

n proc

esse

s, on

to in

terna

l and

exter

nal w

areho

using

and t

he

custo

mer (

one s

tage f

orward

).

FSM

M24

Pack

aging

mate

rial te

sting

Whe

re ex

terna

l prod

uct te

sting

is re

quire

d it s

hall b

e carr

ied ou

t by a

n acc

redite

d tes

t facil

ity or

one t

hat fo

llows

inter

natio

nal te

st fac

ility gu

idelin

es.

Whe

re in-

hous

e tes

ting i

s carr

ied ou

t cali

bratio

n of e

quipm

ent s

hall b

e carr

ied ou

t aga

inst n

ation

al sta

ndard

s or o

ther a

ccura

te me

ans.

Tabl

e I –

Goo

d Ag

ricul

tura

l Pra

ctice

Requ

irem

ents

AI

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GAP

AI 1

Agric

ultur

al inp

ut re

quire

ments

The s

tanda

rd sh

all re

quire

that

proc

edur

es ar

e in p

lace t

o ens

ure t

hat a

gricu

ltura

l and

veter

inary

inputs

are o

f ade

quate

quali

ty for

the

inten

ded u

se, th

at the

appli

catio

n of a

gricu

ltura

l and

veter

inary

inputs

is m

anag

ed pr

oper

ly to

minim

ise th

e pote

ntial

for m

icrob

ial or

chem

ical

conta

mina

tion [

as de

fined

unde

r the

Cod

ex A

limen

tarius

Rec

omme

nded

Inter

natio

nal C

ode o

f Pra

ctice

– Ge

nera

l Prin

ciples

of F

ood

Hygie

ne C

AC/R

CP1-

1969

, Rev

4 -2

003 a

nd sp

ecific

ally C

ode o

f Hyg

ienic

Prac

tice f

or M

eat C

AC/R

CP 58

-200

5] at

levels

that

may a

dver

sely

affec

t the s

afety

of Me

at / M

ilk / E

ggs /

Hon

ey an

d tha

t the p

rodu

cer is

requ

ired t

o tak

e into

cons

idera

tion t

he W

HO gu

idelin

es on

the s

afe

use o

f was

te wa

ter an

d live

stock

excre

ta in

agric

ultur

e, as

appr

opria

te.

GAP

AI 2

Wate

r for

prim

ary l

ivesto

ck pr

oduc

tion

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ide

ntify

the so

urce

s of w

ater u

sed o

n the

farm

(mun

icipa

lity, r

e-us

ed irr

igatio

n wa

ter, w

ell, o

pen c

anal,

rese

rvoir,

river

s, lak

es, fa

rm po

nds e

tc.) a

nd to

asse

ss its

micr

obial

and c

hemi

cal q

uality

and i

ts su

itabil

ity fo

r the

int

ende

d use

and i

denti

fy co

rrecti

ve ac

tions

to pr

even

t or m

inimi

se co

ntami

natio

n (e.g

. from

lives

tock,

sewa

ge tr

eatm

ent, h

uman

habit

ation

). W

here

nece

ssar

y, wa

ter sh

all be

teste

d for

micr

obial

and c

hemi

cal c

ontam

inants

. The

freq

uenc

y of te

sting

will

depe

nd on

the w

ater s

ource

an

d the

risks

of en

viron

menta

l con

tamina

tion i

nclud

ing in

termi

ttent

or te

mpor

ary c

ontam

inatio

n (e.g

. hea

vy ra

in, flo

oding

etc.)

.

GAP

AI 2

.1

Wate

r for

prim

ary l

ivesto

ck pr

oduc

tion

The s

tanda

rd sh

all re

quire

that

meas

ures

are i

n plac

e to p

rotec

t agr

icultu

ral w

ater s

ource

s to m

inimi

se th

e risk

of co

ntami

natio

n. If

agric

ultur

al wa

ter is

stor

ed, ta

nks,

conta

iners

or ci

stern

s mus

t not

be a

sour

ce of

conta

mina

tion f

or w

ater o

r pro

duct.

GAP

AI 2

.2W

ater f

or pr

imar

y live

stock

prod

uctio

nTh

e stan

dard

shall

requ

ire th

at wa

ter co

ntaini

ng ve

terina

ry me

dicine

s sho

uld be

clea

rly id

entifi

ed, s

uitab

ly iso

lated

and m

aintai

ned.

GAP

AI 3

Was

te wa

ter an

d slur

ryTh

e stan

dard

shall

requ

ire th

at un

treate

d was

te wa

ter an

d slur

ry fro

m se

wage

plan

ts mu

st no

t be s

prea

d in a

reas

that

can b

e acc

esse

d by

lives

tock,

or us

ed fo

r the

fertil

isatio

n of p

astur

e lan

d on w

hich a

nimal

feed i

s gro

wing

.

GAP

AI 4

Soils

used

for g

razin

g and

prod

uctio

n of

forag

e for

feed

stuffs

The s

tanda

rd sh

all re

quire

that

soils

be ev

aluate

d for

haza

rds a

nd co

ntami

natio

n. Co

ntrol

meas

ures

shall

be im

pleme

nted t

o red

uce h

azar

ds

to ac

cepta

ble le

vels.

GAP

AI 5

Use o

f med

icine

s and

vacc

ines

The s

tanda

rd sh

all re

quire

that

the m

edici

nes p

rocu

red b

y the

farm

er m

ust b

e pro

perly

mar

ked b

y the

man

ufactu

rer. T

he fa

rmer

mus

t be

able

to de

mons

trate

proo

f of p

urch

ase o

f anim

al me

dicine

s at a

ll tim

es th

roug

h the

use o

f vete

rinar

y med

icine

docu

menta

tion,

rece

ipts

from

the ve

terina

ry ph

arma

cy an

d cop

ies of

veter

inary

pres

cripti

ons o

r pro

ducti

on or

ders

for in

-feed

med

icine

s.It m

ust b

e ens

ured

that

all

docu

menta

tion i

s com

pleted

or ve

rified

by th

e vete

rinar

ian or

reco

gnise

d com

peten

t adv

iser

GAP

AI 6

Loca

tion,

desig

n and

layo

utTh

e stan

dard

shall

requ

ire th

at str

uctur

es be

loca

ted, d

esign

ed an

d con

struc

ted to

ensu

re th

at all

adjoi

ning r

ooms

, equ

ipmen

t, fac

ilities

and

feedin

g sys

tems a

re se

t out

in su

ch a

way a

s to f

acilit

ate pr

oper

clea

ning a

nd pe

st co

ntrol.

SECT

ION

2GO

OD IN

DUST

RY S

ECTO

R PR

ACTI

CE R

EQUI

REME

NTS


PART IV

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GAP

AI 6

.1Lo

catio

n, de

sign a

nd la

yout

The s

tanda

rd sh

all re

quire

that

all bu

ilding

s be m

arke

d to i

ndica

te tha

t they

conta

in liv

estoc

k and

that

are t

here

is no

entry

to un

autho

rised

pe

rsons

GAP

AI 6

.2Lo

catio

n, de

sign a

nd la

yout

The s

tanda

rd sh

all re

quire

that

the si

te fac

ility b

e fen

ced a

nd th

e entr

y poin

ts co

ntroll

ed by

lock

able

gates

.

GAP

AI 6

.3Lo

catio

n, de

sign a

nd la

yout

The s

tanda

rd sh

all re

quire

that

entry

and e

xit po

ints t

o the

site

be eq

uippe

d for

clea

ning a

nd di

sinfec

ting o

f veh

icle w

heels

.

GAP

AI 6

.4Lo

catio

n, de

sign a

nd la

yout

The s

tanda

rd sh

all re

quire

that

entry

anne

x poin

ts of

the bu

ilding

s be e

quipp

ed w

ith cl

eanin

g mate

rials

and d

isinfe

cting

footw

ear.

GAP

AI 7

Perso

nnel

hygie

ne an

d san

itary

facilit

iesTh

e stan

dard

shall

requ

ire th

at hy

gienic

and s

anita

ry fac

ilities

be av

ailab

le an

d main

taine

d.

GAP

AI 7

.1Pe

rsonn

el hy

giene

and s

anita

ry fac

ilities

The s

tanda

rd sh

all re

quire

that

the fa

cilitie

s be l

ocate

d in c

lose p

roxim

ity to

the fi

elds a

nd in

door

prem

ises a

nd in

suffic

ient n

umbe

rs to

acco

mmod

ate pe

rsonn

el.

GAP

AI 8

Wate

r sup

plyTh

e stan

dard

shall

requ

ire th

at an

adeq

uate

supp

ly of

potab

le or

clea

n wate

r with

appr

opria

te fac

ilities

for it

s stor

age a

nd di

stribu

tion b

e av

ailab

le in

indoo

r, prim

ary p

rodu

ction

facil

ities.

GAP

AI 9

Drain

age a

nd w

aste

dispo

sal

The s

tanda

rd sh

all re

quire

that

adeq

uate

drain

age a

nd w

aste

dispo

sal s

ystem

s and

facil

ities b

e pro

vided

. Sys

tems s

hall b

e des

igned

and

cons

tructe

d to a

void

poten

tial fo

r con

tamina

tion o

f wate

r cou

rses,

highw

ays a

nd ne

ighbo

uring

fields

with

anim

al wa

ste an

d silo

seep

age.

GAP

AI 1

0Pe

rsonn

el tra

ining

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace t

o ens

ure t

hat a

ll emp

loyee

s are

adeq

uatel

y tra

ined,

instru

cted a

nd su

pervi

sed i

n foo

d sa

fety p

rincip

les an

d pra

ctice

s, co

mmen

sura

te wi

th the

ir acti

vity.

GAP

AI 1

1Pe

rsonn

el he

alth a

nd hy

giene

The s

tanda

rd sh

all re

quire

that

there

be hy

giene

and h

ealth

requ

ireme

nts in

plac

e to e

nsur

e tha

t per

sonn

el wh

o com

e dire

ctly i

nto co

ntact

with

lives

tock a

nd fe

edstu

ffs ar

e not

likely

to cr

oss-c

ontam

inate

them.

Visi

tors s

hall a

dher

e to t

he ot

her p

erso

nal h

ygien

e pro

vision

s in t

his

secti

on.


PART IV

GAP

AI 1

2Pe

rsona

l clea

nline

ssTh

e stan

dard

shall

requ

ire th

at ha

nd w

ashin

g pro

cedu

res b

e in p

lace t

o req

uire h

and w

ashin

g and

the w

earin

g of p

rotec

tive e

quipm

ent,

which

inclu

des t

raini

ng an

d fre

quen

cy of

hand

was

hing a

nd di

sinfec

ting o

f pro

tectiv

e clot

hing a

nd fo

otwea

r.

GAP

AI 1

3Eq

uipme

nt as

socia

ted w

ith pr

oduc

tion

and f

eedin

g and

anim

al he

alth

The s

tanda

rd sh

all re

quire

that

equip

ment

and c

ontai

ners

comi

ng in

to co

ntact

with

lives

tock a

nd fe

edstu

ffs be

mad

e of m

ateria

ls tha

t are

no

n-tox

ic an

d des

igned

and c

onstr

ucted

to en

sure

that

they c

an be

clea

ned,

disinf

ected

and m

aintai

ned t

o avo

id co

ntami

natio

n.

GAP

AI 1

3.1

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at an

effec

tive c

alibr

ation

prog

ramm

e be

follo

wed f

or al

l equ

ipmen

t req

uiring

calib

ratio

n and

posin

g a fo

od

safet

y risk

.

GAP

AI 1

3.2

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt an

d fee

dstuf

fs be

stor

ed in

desig

nated

area

(s) so

that

they d

o not

contr

ibute

to the

conta

mina

tion

of pr

oduc

ts.

GAP

AI 1

3.3

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at ve

terina

ry eq

uipme

nt, in

cludin

g disp

osab

le me

dical

items

used

and u

nuse

d, be

stor

ed se

cure

ly an

d safe

ly ac

cord

ing to

the m

anufa

cture

r's in

struc

tions

.

GAP

AI 1

3.4

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at the

clea

nline

ss an

d suit

abilit

y of m

edica

l instr

umen

ts be

ensu

red.

GAP

AI 1

4Tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

all ve

hicles

, inclu

ding c

ontra

cted o

ut ve

hicles

, use

d for

the t

rans

porta

tion o

f raw

mate

rials

(inclu

ding

feeds

tuffs)

be su

itable

for t

he pu

rpos

e and

do no

t con

tribute

to th

e risk

of cr

oss-c

ontam

inatio

n.

GAP

AI 1

5Pr

even

tion o

f cro

ss-co

ntami

natio

nTh

e stan

dard

shall

requ

ire th

at, du

ring p

rodu

ction

, effe

ctive

mea

sure

s be t

aken

to pr

even

t cro

ss-co

ntami

natio

n fro

m ag

ricult

ural

inputs

, cle

aning

agen

ts, ve

terina

ry me

dicine

s or p

erso

nnel

who c

ome d

irectl

y or in

direc

tly in

to co

ntact

with

other

sites

, anim

als or

agric

ultur

al pr

oduc

ts.

GAP

AI 1

6St

orag

e and

tran

spor

t Th

e stan

dard

shall

requ

ire th

at liv

estoc

k and

prod

ucts

be st

ored

, temp

orar

ily ho

used

and t

rans

porte

d und

er co

nditio

ns, w

hich m

inimi

se th

e po

tentia

l for m

icrob

ial, c

hemi

cal o

r phy

sical

conta

mina

tion.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

AI 1

6.1

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

anim

al fee

d be s

tored

secu

rely

and h

andle

d sep

arate

ly fro

m wa

ste liq

uids,

solid

man

ure,

haza

rdou

s su

bstan

ces,

seed

s, an

imal

medic

ation

and c

leanin

g che

mica

ls. It

must

not b

e con

tamina

ted by

pack

aging

or ot

her f

oreig

n mate

rials.

GAP

AI 1

6.2

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

stora

ge si

tes fo

r anim

al fee

d and

anim

al fee

d com

pone

nts be

chec

ked a

t reg

ular in

terva

ls for

clea

nline

ss,

fungu

s, mo

ulds a

nd te

mper

ature

and t

he se

nsor

y pro

pertie

s of th

e fee

d.

GAP

AI 1

6.3

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

the m

ixing

of fe

eds f

rom

differ

ent s

pecie

s, gr

ower

s or m

anufa

cture

rs be

avoid

ed by

using

sepa

rate

silos

and

other

mea

ns of

stor

age.

Suita

ble st

orag

e sho

uld al

low th

e inte

grity

of ba

tch nu

mber

s, lot

numb

ers o

r the

origi

nator

’s ide

ntific

ation

mar

ks to

be

retai

ned.

GAP

AI 1

6.4

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

anim

al me

dicine

be st

ored

in ac

cord

ance

with

the i

nform

ation

on th

e lab

el.

GAP

AI 1

6.5

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

in-fee

d med

icine

s be s

tored

in su

ch a

way t

hat th

e risk

of un

inten

tiona

l feed

ing to

anim

als is

mini

mise

d.

GAP

AI 1

6.6

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

equip

ment

for th

e stor

age o

f liqu

id ma

nure

, con

tamina

ted ya

rd w

ater a

nd si

lo se

epag

e liqu

ids be

stab

le an

d pe

rman

ently

wate

rtight.

GAP

AI 1

7Cl

eanin

g, ma

inten

ance

and s

anita

tion

The s

tanda

rd sh

all re

quire

that

prem

ises b

e kep

t in an

appr

opria

te sta

te of

repa

ir and

cond

ition t

o fac

ilitate

clea

ning a

nd di

sinfec

tion.

Clea

ning m

ateria

ls, ve

terina

ry me

dicine

s and

haza

rdou

s sub

stanc

es su

ch as

agric

ultur

al ch

emica

ls sh

all be

spec

ificall

y ide

ntifia

ble an

d kep

t or

stor

ed se

para

tely i

n sec

ure s

torag

e fac

ilities

. Clea

ning m

ateria

ls, ve

terina

ry me

dicine

s and

agric

ultur

al ch

emica

ls sh

all be

used

acco

rding

to

the m

anufa

cture

r’s in

struc

tions

for t

heir i

ntend

ed pu

rpos

e.

GAP

AI 1

8Cl

eanin

g pro

gram

mes

The s

tanda

rd sh

all re

quire

that

clean

ing an

d disi

nfecti

on pr

ogra

mmes

be in

plac

e. Cl

eanin

g and

disin

fectio

n sys

tems s

hall b

e mon

itore

d, me

asur

ed fo

r effe

ctive

ness

and s

hall b

e reg

ularly

revie

wed a

nd ad

apted

to re

flect

chan

ging c

ircum

stanc

es an

d dise

ase r

isk.

GAP

AI 1

9Cl

eanin

g pro

cedu

res a

nd m

ethod

sTh

e stan

dard

shall

requ

ire th

at the

appr

opria

te cle

aning

meth

ods a

nd m

ateria

ls be

emplo

yed.

Clea

ning p

roce

dure

s will

be re

flecti

ve of

the

type o

f pro

ducti

on sy

stem,

its in

tensit

y and

the a

nimal

spec

ies.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

AI 2

0 P

est c

ontro

l sys

tems

The s

tanda

rd sh

all re

quire

that,

whe

n prim

ary p

rodu

ction

is ca

rried

out in

indo

or es

tablis

hmen

ts, th

e rec

omme

ndati

ons o

f the C

odex

Al

imen

tarius

Rec

omme

nded

Inter

natio

nal C

ode o

f Pra

ctice

– Ge

nera

l Prin

ciples

of F

ood H

ygien

e CAC

/RCP

1-19

69, R

ev 4

-200

3, an

d sp

ecific

ally C

ode o

f Hyg

ienic

Prac

tice f

or M

eat C

AC/R

CP 58

-200

5] sh

all be

follo

wed w

ith re

spec

t to pe

st co

ntrol.

GAP

AI 2

1 W

aste

mana

geme

ntTh

e stan

dard

shall

requ

ire th

at su

itable

prov

ision

s be m

ade f

or th

e stor

age a

nd re

mova

l of g

ener

al wa

ste. S

torag

e are

as fo

r was

te sh

all be

ke

pt cle

an.

GAP

AI 2

1.1

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

suita

ble pr

ovisi

ons b

e mad

e for

the s

torag

e and

remo

val o

f vete

rinar

y clin

ical w

aste.

GAP

AI 2

1.2

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

anim

al ca

rcass

es fo

r disp

osal

be st

ored

outsi

de pr

oduc

tion a

reas

. Car

cass

disp

osal

comp

anies

shou

ld no

t pa

ss th

roug

h the

prod

uctio

n fac

ilities

to re

move

carca

sses

.

GAP

AI 2

1.3

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

farmy

ard m

anur

e be c

ollec

ted in

a fix

ed lo

catio

n with

suita

ble se

rvice

s fitte

d with

a firm

and t

idewa

ter

impe

rmea

ble gr

ound

slab

. Pou

ltry m

anur

e is n

ot re

gard

ed as

solid

man

ure a

nd sh

ould

be tr

eated

acco

rding

ly.

GAP

AI 2

1.4

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

veter

inary

medic

ines t

hat h

ave r

each

ed th

eir ex

piry d

ate be

disp

osed

of ac

cord

ing to

the m

anufa

cture

r's

instru

ction

s and

in co

mplia

nce w

ith na

tiona

l legis

lation

.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e II

– Go

od A

quac

ultu

ral P

racti

ceRe

quire

men

ts AI

I

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GAP

AII

1Aq

uacu

lture

inpu

t req

uirem

ents

The s

tanda

rd sh

all re

quire

that

proc

edur

es ar

e in p

lace t

o ens

ure t

hat a

gricu

ltura

l and

veter

inary

inputs

are o

f ade

quate

quali

ty for

the

inten

ded u

se, th

at ap

plica

tion o

f agr

icultu

ral a

nd ve

terina

ry inp

uts is

man

aged

prop

erly

to mi

nimise

the p

otenti

al for

micr

obial

or ch

emica

l co

ntami

natio

n [as

defin

ed un

der t

he C

odex

Alim

enta

rius

Rec

omm

ende

d In

tern

atio

nal C

ode

of P

ract

ice

– G

ener

al P

rinc

iple

s of

Fo

od H

ygie

ne C

AC/R

CP1-

1969

, R

ev 4

-20

03 a

nd s

peci

fical

ly C

ode

of p

ract

ice

for

fish

and

fishe

ry p

rodu

cts

CAC/

RCP

52-

2003

] at

levels

that

may a

dver

sely

affec

t the s

afety

of fis

h and

fishe

ry pr

oduc

ts.

GAP

AII

2W

ater f

or aq

uacu

lture

prod

uctio

n

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ide

ntify

the so

urce

s of w

ater u

sed f

or aq

uacu

lture

prod

uctio

n acti

vities

and t

o as

sess

its m

icrob

ial an

d che

mica

l qua

lity an

d its

suita

bility

for t

he in

tende

d use

and i

denti

fy co

rrecti

ve ac

tions

to pr

even

t or m

inimi

se

conta

mina

tion (

e.g. fr

om liv

ing pr

oduc

tion s

tock,

huma

n hab

itatio

n and

chem

ical c

ontam

inants

). W

ater s

hall b

e tes

ted fo

r micr

obial

an

d che

mica

l con

tamina

nts. T

he fr

eque

ncy o

f testi

ng sh

all de

pend

on th

e wate

r sou

rce an

d the

risks

of en

viron

menta

l con

tamina

tion

includ

ing in

termi

ttent

or te

mpor

ary c

ontam

inatio

n (e.g

. hea

vy ra

in, flo

oding

, tida

l flow

s etc.

). W

atersh

ed w

ater s

hould

be te

sted f

or po

tentia

l co

ntami

nants

such

as P

CB’s

and h

eavy

meta

ls ba

sed o

n a si

te ris

k ass

essm

ent.

GAP

AII

2.1

W

ater f

or aq

uacu

lture

prod

uctio

nTh

e stan

dard

shall

requ

ire th

at wa

ter co

ntaini

ng ve

terina

ry me

dicine

s or f

eed a

dditiv

es be

clea

rly id

entifi

ed, s

uitab

ly iso

lated

and m

aintai

ned.

GAP

AII

3W

aste

water

and s

lurry

The s

tanda

rd sh

all re

quire

that

waste

wate

r and

slur

ry fro

m po

nds b

e disp

osed

of le

gally

and i

n a m

anne

r tha

t pre

vents

conta

mina

tion o

f lan

d and

wate

r cou

rses.

GAP

AII

4Us

e of m

edici

nes a

nd va

ccine

sTh

e stan

dard

shall

requ

ire th

at the

med

icine

s pro

cure

d be l

egall

y per

mitte

d with

in tha

t juris

dictio

n and

prop

erly

marke

d by t

he m

anufa

cture

r. Th

e far

mer m

ust b

e able

to de

mons

trate

proo

f of p

urch

ase o

f vete

rinar

y med

icine

s at a

ll tim

es th

roug

h the

use o

f vete

rinar

y med

icine

do

cume

ntatio

n, re

ceipt

s fro

m the

veter

inary

phar

macy

and c

opies

of ve

terina

ry pr

escri

ption

s or p

rodu

ction

orde

rs for

in-fe

ed m

edici

nes.

GAP

AII4

.1Us

e of m

edici

nes a

nd va

ccine

sTh

e stan

dard

shall

requ

ire th

at all

docu

menta

tion i

s com

pleted

or ve

rified

by th

e vete

rinar

ian or

reco

gnise

d com

peten

t adv

iser.


PART IV

GAP

AII

4.2

Use o

f med

icine

s and

vacc

ines

The s

tanda

rd sh

all re

quire

that

there

be no

use o

f natu

ral o

r syn

thetic

horm

ones

or an

tibiot

ic ag

ents

used

with

the p

urpo

se of

a gr

owth

prom

oting

effec

t.

GAP

AII

5Lo

catio

n, de

sign a

nd la

yout

of str

uctur

es an

d ves

sels

The s

tanda

rd sh

all re

quire

that

struc

tures

be lo

cated

, des

igned

and c

onstr

ucted

to en

sure

that

all ad

joinin

g roo

ms, e

quipm

ent, f

acilit

ies an

d fee

ding s

ystem

s are

set o

ut in

such

a wa

y as t

o fac

ilitate

prop

er cl

eanin

g and

pest

contr

ol.

GAP

AII

5.1

Loca

tion,

desig

n and

layo

ut of

struc

tures

and v

esse

lsTh

e stan

dard

shall

requ

ire th

at ve

ssels

be de

signe

d and

cons

tructe

d to e

nsur

e tha

t all c

atch l

andin

g are

as fa

cilita

te pr

oper

clea

ning a

nd ar

e fre

e fro

m po

tentia

l con

tamina

nts su

ch as

oils,

grea

se, fu

els an

d clea

ning c

hemi

cals.

GAP

AII

5.2

Loca

tion,

desig

n and

layo

ut of

struc

tures

and v

esse

lsTh

e stan

dard

shall

requ

ire th

at the

aqua

cultu

re si

te fac

ility b

e fen

ced a

nd th

e entr

y poin

t con

trolle

d by l

ocka

ble ga

tes.

GAP

AII

6Pe

rsonn

el hy

giene

and s

anita

ry fac

ilities

The s

tanda

rd sh

all re

quire

that

hygie

nic an

d san

itary

facilit

ies be

avail

able

and m

aintai

ned.

GAP

AII

6.1

Perso

nnel

hygie

ne an

d san

itary

facilit

iesTh

e stan

dard

shall

requ

ire th

at the

facil

ities b

e loc

ated i

n clos

e pro

ximity

to th

e wor

k stat

ion an

d of a

suffic

ient n

umbe

r to a

ccom

moda

te all

pe

rsonn

el.

GAP

AII

7W

ater s

upply

The s

tanda

rd sh

all re

quire

that

an ad

equa

te su

pply

of po

table

or cl

ean w

ater w

ith ap

prop

riate

facilit

ies fo

r its s

torag

e and

distr

ibutio

n be

avail

able.

Whe

re w

ater is

supp

lied a

nd us

ed th

at is

not o

f pota

ble qu

ality

it will

be cl

early

mar

ked.

GAP

AII

8Dr

ainag

e and

was

te dis

posa

lTh

e stan

dard

shall

requ

ire th

at ad

equa

te dr

ainag

e and

was

te dis

posa

l sys

tems a

nd fa

cilitie

s be p

rovid

ed. S

ystem

s sha

ll be d

esign

ed an

d co

nstru

cted t

o avo

id the

poten

tial fo

r con

tamina

tion.

GAP

AII

9Pe

rsonn

el tra

ining

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace t

o ens

ure t

hat a

ll emp

loyee

s are

adeq

uatel

y tra

ined,

instru

cted a

nd su

pervi

sed i

n foo

d sa

fety p

rincip

les an

d pra

ctice

s, co

mmen

sura

te wi

th the

ir acti

vity.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

AII

10Pe

rsonn

el he

alth a

nd hy

giene

The s

tanda

rd sh

all re

quire

that

there

be hy

giene

and h

ealth

requ

ireme

nts in

plac

e to e

nsur

e tha

t per

sonn

el ar

e not

likely

to cr

oss-

conta

mina

te pr

oduc

ts. V

isitor

s sha

ll adh

ere t

o the

othe

r per

sona

l hyg

iene p

rovis

ions i

n this

secti

on.

GAP

AII

11Pe

rsona

l clea

nline

ssTh

e stan

dard

shall

requ

ire th

at ha

nd w

ashin

g pro

cedu

res b

e in p

lace t

o req

uire h

and w

ashin

g and

the w

earin

g of p

rotec

tive e

quipm

ent,

which

inclu

des t

raini

ng an

d fre

quen

cy of

hand

was

hing a

nd di

sinfec

ting o

f pro

tectiv

e clot

hing a

nd fo

otwea

r.

GAP

AII

12Eq

uipme

nt as

socia

ted w

ith pr

oduc

tion

and f

eedin

g and

anim

al he

alth

The s

tanda

rd sh

all re

quire

that

equip

ment

and c

ontai

ners

comi

ng in

to co

ntact

with

living

stoc

k and

feed

stuffs

be m

ade o

f mate

rials

that a

re

non-

toxic

and d

esign

ed an

d con

struc

ted to

ensu

re th

at the

y can

be cl

eane

d, dis

infec

ted an

d main

taine

d to a

void

conta

mina

tion.

GAP

AII

12.1

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at an

effec

tive c

alibr

ation

prog

ramm

e be f

ollow

ed fo

r all e

quipm

ent r

equir

ing ca

libra

tion a

nd po

sing a

food

sa

fety r

isk.

GAP

AII

12.2

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt an

d fee

dstuf

fs be

stor

ed in

desig

nated

area

(s) so

that

they d

o not

contr

ibute

to the

conta

mina

tion

of pr

oduc

ts.

GAP

AII

12.3

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at ve

terina

ry eq

uipme

nt, in

cludin

g disp

osab

le me

dical

items

used

and u

nuse

d, be

stor

ed se

cure

ly an

d safe

ly ac

cord

ing to

the m

anufa

cture

r's in

struc

tions

.

GAP

AII

12.4

Equip

ment

asso

ciated

with

prod

uctio

n an

d fee

ding a

nd an

imal

healt

hTh

e stan

dard

shall

requ

ire th

at the

clea

nline

ss an

d suit

abilit

y of m

edica

l instr

umen

ts be

ensu

red.

GAP

AII

13Tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

all ve

hicles

, inclu

ding c

ontra

cted o

ut ve

hicles

, use

d for

the t

rans

porta

tion o

f raw

mate

rials

(inclu

ding i

ce,

feeds

tuffs

and f

ry) be

suita

ble fo

r the

purp

ose a

nd do

not c

ontrib

ute to

the r

isk of

cros

s-con

tamina

tion.

GAP

AII

14Pr

even

tion o

f cro

ss-co

ntami

natio

nTh

e stan

dard

shall

requ

ire th

at, du

ring p

rodu

ction

, effe

ctive

mea

sure

s be t

aken

to pr

even

t cro

ss-co

ntami

natio

n fro

m inp

uts, c

leanin

g age

nts,

veter

inary

medic

ines o

r per

sonn

el wh

o com

e dire

ctly o

r indir

ectly

into

conta

ct wi

th oth

er si

tes or

vess

els.

GAP

AII

15St

orag

e and

tran

spor

t Th

e stan

dard

shall

requ

ire th

at aq

uacu

lture

and fi

sher

y pro

ducts

be st

ored

, temp

orar

ily st

ored

and t

rans

porte

d und

er co

nditio

ns, w

hich

minim

ise th

e pote

ntial

for m

icrob

ial, c

hemi

cal o

r phy

sical

conta

mina

tion.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

AII

15.1

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

aqua

cultu

re fe

ed be

stor

ed se

cure

ly an

d han

dled s

epar

ately

from

waste

liquid

s, ha

zard

ous s

ubsta

nces

, ve

terina

ry me

dicati

on an

d clea

ning c

hemi

cals.

It mu

st no

t be c

ontam

inated

by pa

ckag

ing m

ateria

l or o

ther f

oreig

n mate

rials.

GAP

AII

15.2

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

stora

ge si

tes fo

r aqu

acult

ure f

eed a

nd aq

uacu

lture

feed

comp

onen

ts be

chec

ked a

t reg

ular in

terva

ls for

cle

anlin

ess,

fungu

s, mo

ulds,

tempe

ratur

e and

othe

r pote

ntial

conta

mina

tion.

GAP

AII

15.3

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

the m

ixing

of aq

uacu

lture

feed

s fro

m dif

feren

t man

ufactu

rers

be av

oided

by us

ing se

para

te sil

os an

d othe

r me

ans o

f stor

age.

Suita

ble st

orag

e sho

uld al

low th

e inte

grity

of ba

tch nu

mber

s, lot

numb

ers o

r the

origi

nator

’s ide

ntific

ation

mar

ks to

be

retai

ned.

GAP

AII

15.4

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

veter

inary

medic

ine be

stor

ed in

acco

rdan

ce w

ith th

e info

rmati

on on

the l

abel.

GAP

AII

15.5

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

in-fee

d med

icine

s be s

tored

in su

ch a

way t

hat th

e risk

of th

e unin

tentio

nal fe

eding

of fis

h is m

inimi

sed.

GAP

AII

15.6

Stor

age a

nd tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

equip

ment

for th

e stor

age o

f liqu

id wa

ste pr

oduc

ts be

stab

le an

d per

mane

ntly w

atertig

ht.

GAP

AII

16Cl

eanin

g, ma

inten

ance

and s

anita

tion

The s

tanda

rd sh

all re

quire

that

prem

ises a

nd ve

ssels

be ke

pt in

an ap

prop

riate

state

of re

pair a

nd co

nditio

n to f

acilit

ate cl

eanin

g and

dis

infec

tion.

Clea

ning m

ateria

ls, ve

terina

ry me

dicine

s and

haza

rdou

s sub

stanc

es su

ch as

chem

icals,

fuels

and l

ubric

ants

shall

be

spec

ificall

y ide

ntifia

ble an

d kep

t or s

tored

sepa

ratel

y in s

ecur

e stor

age f

acilit

ies. C

leanin

g mate

rials

and v

eterin

ary m

edici

nes s

hall b

e use

d ac

cord

ing to

the m

anufa

cture

r’s in

struc

tions

for t

heir i

ntend

ed pu

rpos

e.

GAP

AII

17Cl

eanin

g pro

gram

mes

The s

tanda

rd sh

all re

quire

that

clean

ing an

d disi

nfecti

on pr

ogra

mmes

be in

plac

e. Cl

eanin

g and

disin

fectio

n sys

tems s

hall b

e mon

itore

d, me

asur

ed fo

r effe

ctive

ness

and s

hall b

e reg

ularly

revie

wed a

nd ad

apted

to re

flect

chan

ging c

ircum

stanc

es an

d dise

ase r

isk.

GAP

AII

18Cl

eanin

g pro

cedu

res a

nd m

ethod

sTh

e stan

dard

shall

requ

ire th

at ap

prop

riate

clean

ing m

ethod

s and

mate

rials

be em

ploye

d. Cl

eanin

g pro

cedu

res s

hall b

e refl

ectiv

e of th

e typ

e of

captu

re an

d pro

ducti

on sy

stem,

the i

ntens

ity an

d the

anim

al sp

ecies

.

GAP

AII

19 P

est c

ontro

l sys

tems

The s

tanda

rd sh

all re

quire

that,

whe

n prim

ary p

rodu

ction

is ca

rried

out in

indo

or es

tablis

hmen

ts, th

e rec

omme

ndati

ons o

f the C

odex

Al

imen

tarius

Rec

omme

nded

Inter

natio

nal C

ode o

f Pra

ctice

– Ge

nera

l Prin

ciples

of F

ood H

ygien

e CAC

/RCP

1-19

69, R

ev 4

-200

3, an

d sp

ecific

ally C

ode o

f pra

ctice

for fi

sh an

d fish

ery p

rodu

cts C

AC/R

CP 52

-200

3] be

adhe

red t

o.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

AII

20 W

aste

mana

geme

ntTh

e stan

dard

shall

requ

ire th

at su

itable

prov

ision

be m

ade f

or th

e stor

age a

nd re

mova

l of g

ener

al wa

ste. S

torag

e are

as fo

r was

te sh

all be

ke

pt cle

an.

GAP

AII

20.1

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

suita

ble pr

ovisi

on be

mad

e for

the s

torag

e and

remo

val o

f vete

rinar

y clin

ical w

aste.

GAP

AII

20.2

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

dead

fish f

or di

spos

al be

stor

ed ou

tside

prod

uctio

n are

as. D

ispos

al co

mpan

ies sh

ould

not p

ass t

hrou

gh th

e pr

oduc

tion f

acilit

ies to

remo

ve w

aste.

GAP

AII

20.3

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

veter

inary

medic

ines t

hat h

ave r

each

ed th

eir ex

piry d

ate be

disp

osed

of ac

cord

ing to

the m

anufa

cture

r's

instru

ction

s and

in co

mplia

nce w

ith na

tiona

l legis

lation

.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

Tabl

e III

– G

ood

Agric

ultu

ral P

racti

ceRe

quire

men

ts BI

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GAP

BI 1

Agric

ultur

al inp

ut re

quire

ments

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ens

ure t

hat a

gricu

ltura

l inpu

ts ar

e of a

dequ

ate qu

ality

for th

e inte

nded

use,

that

appli

catio

n of a

gricu

ltura

l inpu

ts is

mana

ged p

rope

rly to

mini

mise

the p

otenti

al for

micr

obial

or ch

emica

l con

tamina

tion [

as de

fined

unde

r the

Co

dex A

limen

tarius

Rec

omme

nded

Inter

natio

nal C

ode o

f Pra

ctice

– Ge

nera

l Prin

ciples

of F

ood H

ygien

e CAC

/RCP

1-19

69, R

ev 4

-200

3 ]

at lev

els th

at ma

y adv

erse

ly aff

ect th

e safe

ty of

fresh

fruit

s and

vege

tables

and t

hat th

e pro

duce

r is re

quire

d to t

ake i

nto co

nside

ratio

n the

W

HO gu

idelin

es on

the s

afe us

e of w

aste

water

and e

xcre

ta in

agric

ultur

e as a

ppro

priat

e.

GAP

BI 2

Wate

r for

prim

ary p

rodu

ction

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ide

ntify

the so

urce

s of w

ater u

sed o

n the

farm

(mun

icipa

lity, r

e-us

ed irr

igatio

n wa

ter, w

ell, o

pen c

anal,

rese

rvoir,

river

s, lak

es, fa

rm po

nds e

tc.) a

nd to

asse

ss th

eir m

icrob

ial an

d che

mica

l qua

lity an

d suit

abilit

y for

int

ende

d use

and i

denti

fy co

rrecti

ve ac

tions

to pr

even

t or m

inimi

se co

ntami

natio

n (e.g

. from

lives

tock,

sewa

ge tr

eatm

ent, h

uman

habit

ation

). W

here

nece

ssar

y, wa

ter sh

all be

teste

d for

micr

obial

and c

hemi

cal c

ontam

inants

. The

freq

uenc

y of te

sting

will

depe

nd on

the w

ater s

ource

an

d the

risks

of en

viron

menta

l con

tamina

tion i

nclud

ing in

termi

ttent

or te

mpor

ary c

ontam

inatio

n (e.g

. hea

vy ra

in, flo

oding

etc.)

or pe

riods

of

drou

ght


PART IV

GAP

BI 2

.1

Wate

r for

prim

ary p

rodu

ction

The s

tanda

rd sh

all re

quire

that

meas

ures

be in

plac

e to p

rotec

t agr

icultu

ral w

ater s

ource

s to m

inimi

se th

e risk

of co

ntami

natio

n. If

agric

ultur

al wa

ter is

stor

ed, ta

nks,

conta

iners

or ci

stern

s mus

t not

be a

sour

ce of

conta

mina

tion f

or w

ater o

r pro

duct.

GAP

BI 3

Wate

r for

irriga

tion a

nd ha

rvesti

ngTh

e stan

dard

shall

requ

ire th

at wa

ter us

ed fo

r agr

icultu

ral p

urpo

ses b

e of s

uitab

le qu

ality

for its

inten

ded u

se.

GAP

BI 4

Wate

r for

fertil

isers,

pest

contr

ol an

d oth

er ag

ricult

ural

chem

icals

The s

tanda

rd sh

all re

quire

that

water

used

for t

he ap

plica

tion o

f wate

r-solu

ble fe

rtilise

rs an

d agr

icultu

ral c

hemi

cals

in the

field

and i

ndoo

rs do

es no

t con

tain m

icrob

ial or

chem

ical c

ontam

inants

at le

vels

that m

ay ad

verse

ly aff

ect th

e safe

ty of

fresh

fruit

s and

vege

tables

.

GAP

BI 5

Hydr

opon

ic wa

terTh

e stan

dard

shall

requ

ire th

at wa

ter us

ed in

hydr

opon

ic cu

lture

be ch

ange

d fre

quen

tly or

, if re

cycle

d, be

trea

ted to

mini

mise

micr

obial

and

chem

ical c

ontam

inatio

n. W

ater d

elive

ry sy

stems

shall

be m

aintai

ned a

nd cl

eane

d, as

appr

opria

te, to

prev

ent th

e micr

obial

conta

mina

tion o

f wa

ter.

GAP

BI 6

Manu

re, b

io so

lids a

nd ot

her n

atura

l fer

tilise

rs

The s

tanda

rd sh

all re

quire

that

there

be pr

oper

trea

tmen

t pro

cedu

res (

e.g. c

ompo

sting

, pas

teuris

ation

, hea

t dryi

ng, U

Virra

diatio

n, alk

ali

diges

tion,

sun d

rying

, man

agem

ent p

racti

ces i

nclud

ing ap

prop

riate

delay

s betw

een a

pplic

ation

of ag

ricult

ural

inputs

and h

arve

sting

of th

e cro

p or c

ombin

ation

s of th

ese)

that

are d

esign

ed to

redu

ce or

elim

inate

patho

gens

in m

anur

e, bio

solid

s and

othe

r natu

ral fe

rtilise

rs. A

s a

minim

um, th

e use

of un

treate

d bio

solid

s sha

ll be p

rohib

ited.

GAP

BI 7

Soil

The s

tanda

rd sh

all re

quire

that

soils

be ev

aluate

d for

haza

rds.

Contr

ol me

asur

es sh

all be

imple

mente

d to r

educ

e haz

ards

to ac

cepta

ble

levels

.

GAP

BI 8

Agric

ultur

al ch

emica

lsTh

e stan

dard

shall

requ

ire th

at on

ly ag

ricult

ural

chem

icals,

whic

h are

autho

rised

for t

he cu

ltivati

on of

the s

pecifi

c fru

it or v

egeta

ble be

used

an

d use

d acc

ordin

g to t

he m

anufa

cture

r’s in

struc

tions

, loca

l regu

lation

s and

for t

he in

tende

d pur

pose

. Res

idues

shall

not e

xcee

d lev

els as

es

tablis

hed b

y the

Cod

ex A

limen

tarius

Com

miss

ion or

loca

l regu

lator

y req

uirem

ents.

GAP

BI 8

.1Ag

ricult

ural

chem

icals

The s

tanda

rd sh

all re

quire

that

antim

icrob

ial ag

ents

not s

ignific

ant to

huma

n and

anim

al the

rapy

be us

ed on

ly wh

en un

avoid

able

and i

n ac

cord

ance

with

good

agric

ultur

al pr

actic

es an

d in a

man

ner t

hat a

chiev

es th

is ob

jectiv

e.

GAP

BI 8

.2Ag

ricult

ural

chem

icals

The s

tanda

rd sh

all re

quire

that

agric

ultur

al wo

rkers

who a

pply

agric

ultur

al ch

emica

ls be

train

ed in

the p

rope

r app

licati

on pr

oced

ures

.

GAP

BI 8

.3Ag

ricult

ural

chem

icals

The s

tanda

rd sh

all re

quire

that

docu

menta

tion o

f agr

icultu

ral c

hemi

cal a

pplic

ation

s be m

aintai

ned.

Reco

rds s

hall i

nclud

e info

rmati

on on

the

date

of ap

plica

tion,

the ch

emica

l use

d, the

crop

spra

yed,

the co

ncen

tratio

n, me

thod a

nd fr

eque

ncy o

f app

licati

on an

d rec

ords

on ha

rvesti

ng

to ve

rify th

at the

time b

etwee

n app

licati

on an

d har

vesti

ng is

appr

opria

te. A

gricu

ltura

l che

mica

ls sh

all be

lega

l with

in the

loca

l and

mar

ket

jurisd

iction

, cor

rectl

y lab

elled

, stor

ed in

a sa

fe, w

ell ve

ntilat

ed pl

ace a

way f

rom

prod

uctio

n are

as, li

ving a

reas

and h

arve

sted f

ruits

or

vege

tables

and d

ispos

ed of

in a

mann

er th

at do

es no

t pos

e a ris

k of c

ontam

inatin

g cro

ps

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

BI 9

Biolo

gical

contr

olTh

e stan

dard

shall

requ

ire th

at on

ly bio

logica

l con

trols,

whic

h are

autho

rised

for t

he cu

ltivati

on of

the s

pecifi

c fru

it or v

egeta

ble be

used

and

are u

sed a

ccor

ding t

o the

man

ufactu

rer’s

instr

uctio

ns fo

r the

inten

ded p

urpo

se.

GAP

BI 1

0Ind

oor f

acilit

ies as

socia

ted w

ith

grow

ing an

d har

vesti

ngTh

e stan

dard

shall

requ

ire th

at, fo

r ope

ratio

ns w

here

fres

h fru

its an

d veg

etable

s are

grow

n ind

oors

(gre

enho

uses

, hyd

ropo

nic cu

lture

, etc.

), fac

ilities

be su

itable

and d

o not

contr

ibute

to foo

d safe

ty ris

ks fo

r the

se pr

oduc

ts.

GAP

BI 1

1Lo

catio

n, de

sign a

nd la

yout

The s

tanda

rd sh

all re

quire

that

struc

tures

be lo

cated

, des

igned

and c

onstr

ucted

to av

oid th

e con

tamina

tion o

f fres

h fru

its an

d veg

etable

s an

d the

harb

ourin

g of p

ests

such

as in

sects

, rod

ents

and b

irds.

Whe

re ap

prop

riate,

the i

ntern

al de

sign a

nd la

yout

shall

perm

it com

plian

ce

with

good

hygie

ne pr

actic

es fo

r the

prim

ary p

rodu

ction

of fr

esh f

ruits

and v

egeta

bles i

ndoo

rs, in

cludin

g pro

tectio

n aga

inst c

ross

-co

ntami

natio

n betw

een a

nd du

ring o

pera

tions

.

GAP

BI 1

2Pe

rsonn

el hy

giene

and s

anita

ry fac

ilities

The s

tanda

rd sh

all re

quire

that

hygie

nic an

d san

itary

facilit

ies be

avail

able

and m

aintai

ned t

o avo

id co

ntami

natio

n of th

e gro

wing

sites

, of

fresh

fruit

s and

vege

tables

or of

agric

ultur

al inp

uts. T

hese

facil

ities s

hould

be lo

cated

in cl

ose p

roxim

ity to

the fi

elds a

nd in

door

prem

ises a

nd

in su

fficien

t num

bers

to ac

comm

odate

perso

nnel.

GAP

BI 1

3W

ater s

upply

The s

tanda

rd sh

all re

quire

that

an ad

equa

te su

pply

of po

table

or cl

ean w

ater w

ith ap

prop

riate

facilit

ies fo

r its s

torag

e and

distr

ibutio

n be

avail

able

in ind

oor p

rimar

y pro

ducti

on fa

cilitie

s.

GAP

BI 1

4Dr

ainag

e and

was

te dis

posa

lTh

e stan

dard

shall

requ

ire th

at ad

equa

te dr

ainag

e and

was

te dis

posa

l sys

tems a

nd fa

cilitie

s be p

rovid

ed. S

ystem

s sha

ll be d

esign

ed an

d co

nstru

cted t

o avo

id the

poten

tial fo

r con

tamina

tion o

f fres

h fru

its an

d veg

etable

s, ag

ricult

ural

inputs

or th

e pota

ble w

ater s

upply

.

GAP

BI 1

5Pe

rsonn

el tra

ining

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace t

o ens

ure t

hat a

ll emp

loyee

s are

adeq

uatel

y tra

ined,

instru

cted a

nd su

pervi

sed i

n foo

d sa

fety p

rincip

les an

d pra

ctice

s, co

mmen

sura

te wi

th the

ir acti

vity.

GAP

BI 1

6Pe

rsonn

el he

alth a

nd hy

giene

The s

tanda

rd sh

all re

quire

that

there

be hy

giene

and h

ealth

requ

ireme

nts in

plac

e to e

nsur

e tha

t per

sonn

el wh

o com

e dire

ctly i

nto co

ntact

with

fresh

fruit

s and

vege

tables

durin

g or a

fter h

arve

sting

are n

ot lik

ely to

conta

mina

te the

m. V

isitor

s sha

ll adh

ere t

o the

othe

r per

sona

l hy

giene

prov

ision

s in t

his se

ction

.

GAP

BI 1

7He

alth s

tatus

The s

tanda

rd sh

all re

quire

that

peop

le kn

own,

or su

spec

ted to

be su

fferin

g fro

m or

to be

a ca

rrier

of a

disea

se or

illne

ss lik

ely to

be

trans

mitte

d thr

ough

fres

h fru

its an

d veg

etable

s, no

t be a

llowe

d to e

nter a

ny fo

od ha

ndlin

g are

a.

GAP

BI 1

7.1

Healt

h stat

usTh

e stan

dard

shall

requ

ire th

at an

y per

son s

o affe

cted i

mmed

iately

repo

rt illn

ess o

r sym

ptoms

of ill

ness

to th

e man

agem

ent.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

BI 1

8Pe

rsona

l clea

nline

ssTh

e stan

dard

shall

requ

ire th

at ha

nd w

ashin

g pro

cedu

res b

e in p

lace t

o req

uire h

and w

ashin

g, inc

luding

train

ing an

d fre

quen

cy of

hand

wa

shing

.

GAP

BI 1

9Pe

rsona

l beh

aviou

r

The s

tanda

rd sh

all re

quire

that

agric

ultur

al wo

rkers

refra

in fro

m be

havio

ur th

at co

uld re

sult i

n the

conta

mina

tion o

f food

, for e

xamp

le:

smok

ing, s

pittin

g, ch

ewing

gum

or ea

ting o

r sne

ezing

or co

ughin

g ove

r unp

rotec

ted fr

esh f

ruits

and v

egeta

bles.

Per

sona

l effe

cts su

ch as

jew

eller

y, wa

tches

or ot

her it

ems s

hall n

ot be

wor

n or b

roug

ht int

o fre

sh fr

uit an

d veg

etable

prod

uctio

n are

as if

they p

ose a

thre

at to

the

safet

y and

suita

bility

of th

e foo

d.

GAP

BI 2

0Eq

uipme

nt as

socia

ted w

ith gr

owing

, ha

rvesti

ng an

d stor

age

The s

tanda

rd sh

all re

quire

that

grow

ing an

d har

vesti

ng eq

uipme

nt an

d con

taine

rs co

ming

into

conta

ct wi

th fre

sh fr

uit an

d veg

etable

s be

made

of m

ateria

ls tha

t are

non-

toxic

and d

esign

ed an

d con

struc

ted to

ensu

re th

at the

y can

be cl

eane

d, dis

infec

ted an

d main

taine

d to a

void

the co

ntami

natio

n of fr

esh f

ruits

and v

egeta

bles.

GAP

BI 2

0.1

Equip

ment

asso

ciated

with

grow

ing,

harve

sting

and s

torag

eTh

e stan

dard

shall

requ

ire th

at an

effec

tive c

alibr

ation

prog

ramm

e be f

ollow

ed fo

r all e

quipm

ent r

equir

ing ca

libra

tion a

nd po

sing a

food

sa

fety r

isk.

GAP

BI 2

0.2

Equip

ment

asso

ciated

with

grow

ing,

harve

sting

and s

torag

eTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt be

stor

ed in

desig

nated

area

(s) so

that

it will

not c

ontrib

ute to

the c

ontam

inatio

n of p

rodu

cts.

GAP

BI 2

1Gr

owing

and h

arve

sting

proc

edur

esTh

e stan

dard

shall

requ

ire th

at eff

ectiv

e and

appr

opria

te pr

oced

ures

spec

ific to

a giv

en cr

op be

in pl

ace t

o pre

vent

conta

mina

tion (

e.g. h

illing

po

tatoe

s dur

ing th

e gro

wing

perio

d to p

reve

nt gr

eenin

g, su

rveyin

g the

gree

nhou

se fo

r bro

ken g

lass p

anes

prior

to ha

rvesti

ng et

c.)

GAP

BI 2

2Tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

all bi

ns, c

ontai

ners

and v

ehicl

es, in

cludin

g con

tracte

d out

vehic

les, u

sed f

or th

e tra

nspo

rtatio

n of r

aw

mater

ials (

includ

ing pa

ckag

ing),

field

prod

uct a

nd pa

cked

pro

duct

be su

itable

for t

he pu

rpos

e and

do no

t con

tribute

to cr

oss-c

ontam

inatio

n.

GAP

BI 2

3Pr

even

tion o

f cro

ss-co

ntami

natio

nTh

e stan

dard

shall

requ

ire th

at, du

ring p

rimar

y pro

ducti

on, e

ffecti

ve m

easu

res b

e tak

en to

prev

ent c

ross

-conta

mina

tion o

f fres

h fru

its an

d ve

getab

les by

agric

ultur

al inp

uts or

perso

nnel

who c

ome d

irectl

y or in

direc

tly in

to co

ntact

with

fresh

fruit

and v

egeta

bles.

GAP

BI 2

4St

orag

e and

tran

spor

t from

the fi

eld to

sto

rage

facil

ities

The s

tanda

rd sh

all re

quire

that

fresh

fruit

s and

vege

tables

be st

ored

and t

rans

porte

d und

er co

nditio

ns, w

hich m

inimi

se th

e pote

ntial

for

micro

bial, c

hemi

cal o

r phy

sical

conta

mina

tion.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e IV

– G

ood

Agric

ultu

ral P

racti

ceRe

quire

men

ts BI

I

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GAP

BII

1Ag

ricult

ural

input

requ

ireme

nts

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ens

ure t

hat a

gricu

ltura

l inpu

ts ar

e of a

dequ

ate qu

ality

for th

e inte

nded

use,

that

appli

catio

n of a

gricu

ltura

l inpu

ts is

mana

ged p

rope

rly to

mini

mize

s the

poten

tial fo

r micr

obial

or ch

emica

l con

tamina

tion [

as de

fined

unde

r the

Cod

ex A

limen

tarius

Rec

omme

nded

Inter

natio

nal C

ode o

f Pra

ctice

– Ge

nera

l Prin

ciples

of F

ood H

ygien

e CAC

/RCP

1-19

69, R

ev 4

-200

3,] at

leve

ls tha

t may

adve

rsely

affec

t the s

afety

of gr

ains a

nd pu

lses a

nd th

at the

prod

ucer

is re

quire

d to t

ake i

nto co

nside

ratio

n the

W

HO gu

idelin

es on

the s

afe us

e of w

astew

ater a

nd ex

creta

in ag

ricult

ure a

s app

ropr

iate.

GAP

BII

2 W

ater f

or pr

imar

y pro

ducti

on

The s

tanda

rd sh

all re

quire

d tha

t pro

cedu

res b

e in p

lace t

o ide

ntify

the so

urce

s of w

ater u

sed o

n the

farm

(mun

icipa

lity, r

e-us

ed irr

igatio

n wa

ter, w

ell, o

pen c

anal,

rese

rvoir,

river

s, lak

es, fa

rm po

nds e

tc.) a

nd to

asse

ss its

micr

obial

and c

hemi

cal q

uality

and i

ts su

itabil

ity fo

r the

int

ende

d use

and i

denti

fy co

rrecti

ve ac

tions

to pr

even

t or m

inimi

se co

ntami

natio

n (e.g

. from

lives

tock,

sewa

ge tr

eatm

ent, h

uman

habit

ation

). W

here

nece

ssar

y, wa

ter sh

all be

teste

d for

micr

obial

and c

hemi

cal c

ontam

inants

. The

freq

uenc

y of te

sting

will

depe

nd on

the w

ater s

ource

an

d the

risks

of en

viron

menta

l con

tamina

tion i

nclud

ing in

termi

ttent

or te

mpor

ary c

ontam

inatio

n (e.g

. hea

vy ra

in, flo

oding

, etc.

).

GAP

BII

2.1

W

ater f

or pr

imar

y pro

ducti

onTh

e stan

dard

shall

requ

ire th

at me

asur

es be

in pl

ace t

o pro

tect a

gricu

ltura

l wate

r sou

rces t

o mini

mise

the r

isk of

conta

mina

tion.

If ag

ricult

ural

water

is st

ored

, tank

s, co

ntaine

rs or

ciste

rns m

ust n

ot be

a so

urce

of co

ntami

natio

n for

wate

r or p

rodu

ct.

GAP

BII

3W

ater f

or irr

igatio

n and

harve

sting

The s

tanda

rd sh

all re

quire

that

water

used

for a

gricu

ltura

l pur

pose

s be o

f suit

able

quali

ty for

its in

tende

d use

.

GAP

BII

4W

ater f

or fe

rtilise

rs, pe

st co

ntrol

and

other

agric

ultur

al ch

emica

lsTh

e stan

dard

shall

requ

ire th

at wa

ter us

ed fo

r the

appli

catio

n of w

ater-s

oluble

fertil

isers

and a

gricu

ltura

l che

mica

ls in

the fie

ld an

d ind

oors

does

not c

ontai

n micr

obial

or ch

emica

l con

tamina

nts at

leve

ls tha

t may

adve

rsely

affec

t the s

afety

of gr

ain an

d puls

e cro

ps.

GAP

BII

5Ma

nure

, bio

solid

s and

othe

r natu

ral

fertili

sers

The s

tanda

rd sh

all re

quire

that

there

be pr

oper

trea

tmen

t pro

cedu

res (

e.g. c

ompo

sting

, pas

teuris

ation

, hea

t dryi

ng, U

Virra

diatio

n, alk

ali

diges

tion,

sun d

rying

, man

agem

ent p

racti

ces i

nclud

ing ap

prop

riate

delay

s betw

een a

pplic

ation

of ag

ricult

ural

inputs

and h

arve

sting

of th

e cro

p or

comb

inatio

ns of

thes

e) th

at ar

e des

igned

to re

duce

or el

imina

te pa

thoge

ns in

man

ure,

bio so

lids a

nd ot

her n

atura

l fertil

isers.

As a

mi

nimum

, the u

se of

untre

ated b

io so

lids s

hall b

e pro

hibite

d.

GAP

BII

6So

ilTh

e stan

dard

shall

requ

ire th

at so

ils be

evalu

ated f

or ha

zard

s. Co

ntrol

meas

ures

shall

be im

pleme

nted t

o red

uce h

azar

ds to

acce

ptable

lev

els.


PART IV

GAP

BII

7Ag

ricult

ural

chem

icals

The s

tanda

rd sh

all re

quire

that

only

agric

ultur

al ch

emica

ls, w

hich a

re au

thoris

ed fo

r the

cultiv

ation

of th

e spe

cific g

rains

and p

ulses

be

used

and u

sed a

ccor

ding t

o the

man

ufactu

rer’s

instr

uctio

ns, lo

cal re

gulat

ory r

equir

emen

ts an

d for

the i

ntend

ed pu

rpos

e. Re

sidue

s sha

ll not

exce

ed le

vels

as es

tablis

hed b

y the

Cod

ex A

limen

tarius

Com

miss

ion or

loca

l regu

lation

s.

GAP

BII

7.1

Agric

ultur

al ch

emica

lsTh

e stan

dard

shall

requ

ire th

at an

timicr

obial

agen

ts no

t sign

ifican

t to hu

man a

nd an

imal

thera

py be

used

only

when

unav

oidab

le an

d in

acco

rdan

ce w

ith go

od ag

ricult

ural

prac

tices

and i

n a m

anne

r tha

t ach

ieves

this

objec

tive.

GAP

BII

7.2

Agric

ultur

al ch

emica

lsTh

e stan

dard

shall

requ

ire th

at ag

ricult

ural

worke

rs wh

o app

ly ag

ricult

ural

chem

icals

be tr

ained

in pr

oper

appli

catio

n pro

cedu

res.

GAP

BII

7.3

Agric

ultur

al ch

emica

ls

The s

tanda

rd sh

all re

quire

that

docu

menta

tion o

f agr

icultu

ral c

hemi

cal a

pplic

ation

s be m

aintai

ned.

Reco

rds s

hall i

nclud

e info

rmati

on on

the

date

of ap

plica

tion,

the ch

emica

l use

d, the

crop

spra

yed,

the co

ncen

tratio

n, me

thod a

nd fr

eque

ncy o

f app

licati

on an

d rec

ords

on ha

rvesti

ng

to ve

rify th

at the

time b

etwee

n app

licati

on an

d har

vesti

ng m

eets

the re

quire

d with

holdi

ng pe

riod.

Agr

icultu

ral c

hemi

cals

shall

be st

ored

in a

safe,

well

venti

lated

plac

e, aw

ay fr

om pr

oduc

tion a

reas

, livin

g are

as an

d har

veste

d cro

ps an

d disp

osed

of in

a ma

nner

that

does

not p

ose a

ris

k of c

ontam

inatin

g cro

ps.

GAP

BII

8Bi

ologic

al co

ntrol

The s

tanda

rd sh

all re

quire

that

only

biolog

ical c

ontro

ls, w

hich a

re au

thoris

ed fo

r the

cultiv

ation

of th

e spe

cific g

rains

and p

ulses

be us

ed an

d ar

e use

d acc

ordin

g to t

he m

anufa

cture

r’s in

struc

tions

for t

heir i

ntend

ed pu

rpos

e.

GAP

BII

9Lo

catio

n, de

sign a

nd la

yout

The s

tanda

rd sh

all re

quire

that

struc

tures

be lo

cated

, des

igned

and c

onstr

ucted

to av

oid co

ntami

natin

g gra

ins an

d puls

es du

ring h

andli

ng

and s

torag

e and

to av

oid th

e har

bour

ing pe

sts su

ch as

inse

cts, r

oden

ts an

d bird

s. W

here

appr

opria

te, th

e inte

rnal

desig

n and

layo

ut sh

all

perm

it com

plian

ce w

ith go

od hy

giene

prac

tices

for t

he pr

oduc

tion,

stora

ge an

d han

dling

of gr

ains a

nd pu

lses,

includ

ing pr

otecti

on ag

ainst

cross

-conta

mina

tion b

etwee

n and

durin

g ope

ratio

ns.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

BII

10Pe

rsonn

el hy

giene

and s

anita

ry fac

ilities

The s

tanda

rd sh

all re

quire

that

hygie

nic an

d san

itary

facilit

ies be

avail

able

and m

aintai

ned t

o avo

id co

ntami

natio

n of th

e gro

wing

sites

, sto

red p

rodu

cts or

agric

ultur

al inp

uts. T

hese

facil

ities s

hould

be lo

cated

in cl

ose p

roxim

ity to

the fi

elds a

nd in

door

prem

ises a

nd in

a su

fficien

t num

ber t

o acc

ommo

date

the pe

rsonn

el.

GAP

BII

11W

ater s

upply

The s

tanda

rd sh

all re

quire

that

an ad

equa

te su

pply

of po

table

or cl

ean w

ater w

ith ap

prop

riate

facilit

ies fo

r its s

torag

e and

distr

ibutio

n be

avail

able

in sa

nitar

y fac

ilities

.

GAP

BII

12Dr

ainag

e and

was

te dis

posa

lTh

e stan

dard

shall

requ

ire th

at ad

equa

te dr

ainag

e and

was

te dis

posa

l sys

tems a

nd fa

cilitie

s be p

rovid

ed. S

ystem

s sha

ll be d

esign

ed an

d co

nstru

cted t

o avo

id po

tentia

l for t

he co

ntami

natio

n of h

arve

sted c

rops

, agr

icultu

ral in

puts

or th

e pota

ble w

ater s

upply

.

GAP

BII

13Pe

rsonn

el tra

ining

The s

tanda

rd sh

all re

quire

that

a tra

ining

syste

m be

in pl

ace t

o ens

ure t

hat a

ll emp

loyee

s are

adeq

uatel

y tra

ined,

instru

cted a

nd su

pervi

sed

in foo

d safe

ty pr

incipl

es an

d pra

ctice

s, co

mmen

sura

te wi

th the

ir acti

vity.

GAP

BII

14Pe

rsonn

el he

alth a

nd hy

giene

The s

tanda

rd sh

all re

quire

that

there

be hy

giene

and h

ealth

requ

ireme

nts in

plac

e to e

nsur

e tha

t per

sonn

el wh

o com

e dire

ctly i

nto co

ntact

with

crops

durin

g or a

fter h

arve

sting

are n

ot lik

ely to

conta

mina

te the

m. V

isitor

s sha

ll adh

ere t

o the

othe

r per

sona

l hyg

iene p

rovis

ions i

n this

se

ction

.

GAP

BII

15He

alth s

tatus

The s

tanda

rd sh

all re

quire

that

peop

le kn

own,

or su

spec

ted to

be su

fferin

g fro

m, or

to be

a ca

rrier

of a

disea

se or

illne

ss lik

ely to

be

trans

mitte

d thr

ough

grain

s and

pulse

s, no

t be a

llowe

d to e

nter a

ny fo

od ha

ndlin

g are

a. A

ny pe

rson s

o affe

cted s

hall i

mmed

iately

repo

rt illn

ess o

r sym

ptoms

of ill

ness

to m

anag

emen

t.

GAP

BII

16Pe

rsona

l clea

nline

ssTh

e stan

dard

shall

requ

ire th

at ha

nd w

ashin

g pro

cedu

res b

e in p

lace t

o req

uire h

and w

ashin

g, inc

luding

train

ing an

d fre

quen

cy of

hand

wa

shing

.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GAP

BII

17Pe

rsona

l beh

aviou

r

The s

tanda

rd sh

all re

quire

that

agric

ultur

al wo

rkers

refra

in fro

m be

havio

ur th

at co

uld re

sult i

n the

conta

mina

tion o

f food

, for e

xamp

le:

smok

ing, s

pittin

g, ch

ewing

gum

or ea

ting o

r sne

ezing

or co

ughin

g ove

r unp

rotec

ted gr

ains a

nd pu

lses.

Per

sona

l effe

cts su

ch as

jewe

llery,

wa

tches

or ot

her it

ems s

hall n

ot be

wor

n or b

roug

ht int

o pro

ducti

on an

d stor

age a

reas

if the

y pos

e a th

reat

to the

safet

y and

suita

bility

of th

e foo

d.

GAP

BII

18Eq

uipme

nt as

socia

ted w

ith gr

owing

, ha

rvesti

ng an

d stor

age

The s

tanda

rd sh

all re

quire

that

grow

ing, h

arve

sting

, and

stor

age e

quipm

ent a

nd co

ntaine

rs co

ming

into

conta

ct wi

th gr

ain an

d puls

e cro

ps

be m

ade o

f mate

rials

that a

re no

n-tox

ic an

d des

igned

and c

onstr

ucted

to en

sure

that

they c

an be

clea

ned,

disinf

ected

and m

aintai

ned t

o av

oid co

ntami

natio

n.

GAP

BII

18.1

Equip

ment

asso

ciated

with

grow

ing,

harve

sting

and s

torag

eTh

e stan

dard

shall

requ

ire th

at an

effec

tive c

alibr

ation

prog

ramm

e be f

ollow

ed fo

r all e

quipm

ent r

equir

ing ca

libra

tion a

nd po

sing a

food

sa

fety r

isk.

GAP

BII

18.2

Equip

ment

asso

ciated

with

grow

ing,

harve

sting

and s

torag

eTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt be

stor

ed in

desig

nated

area

(s) so

that

it will

not c

ontrib

ute to

the c

ontam

inatio

n of p

rodu

ct.

GAP

BII

19Gr

owing

and h

arve

sting

proc

edur

esTh

e stan

dard

shall

requ

ire th

at eff

ectiv

e and

appr

opria

te pr

oced

ures

spec

ific to

a giv

en cr

op be

in pl

ace t

o pre

vent

conta

mina

tion.

GAP

BII

20Tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

all ve

hicles

, inclu

ding c

ontra

cted o

ut ve

hicles

, use

d for

the t

rans

porta

tion o

f raw

mate

rials

(inclu

ding

pack

aging

) and

prod

uct b

e suit

able

for th

e pur

pose

and n

ot co

ntribu

te to

cross

-conta

mina

tion.

GAP

BII

21Pr

even

tion o

f cro

ss-co

ntami

natio

nTh

e stan

dard

shall

requ

ire th

at, du

ring p

rimar

y pro

ducti

on, e

ffecti

ve m

easu

res b

e tak

en to

prev

ent c

ross

-conta

mina

tion f

rom

agric

ultur

al inp

uts or

perso

nnel

who c

ome d

irectl

y or in

direc

tly in

to co

ntact

with

harve

sted c

rops

.

GAP

BII

22St

orag

e and

tran

spor

t from

the fi

eld to

sto

rage

facil

ities

The s

tanda

rd sh

all re

quire

that

harve

sted g

rain

and p

ulse c

rops

be st

ored

and t

rans

porte

d und

er co

nditio

ns, w

hich m

inimi

se th

e pote

ntial

for

micro

bial, c

hemi

cal o

r phy

sical

conta

mina

tion.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e V

– Go

od M

anuf

actu

ring

Prac

tice

Requ

irem

ents

C

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GM

P C

1Fa

cility

envir

onme

ntTh

e stan

dard

shall

requ

ire th

at the

site

or fa

cility

be lo

cated

and m

aintai

ned s

o as t

o pre

vent

conta

mina

tion a

nd en

able

the pr

oduc

tion o

f sa

fe pr

oduc

ts.

GM

P C

2Lo

cal e

nviro

nmen

tTh

e stan

dard

shall

requ

ire th

at all

grou

nds w

ithin

the si

te or

facil

ity be

main

taine

d to a

n app

ropr

iate s

tanda

rd.

GM

P C

3Fa

cility

desig

n, co

nstru

ction

, layo

ut an

d pr

oduc

t flow

The s

tanda

rd sh

all re

quire

that

prem

ises,

site a

nd / o

r plan

t be d

esign

ed, c

onstr

ucted

and m

aintai

ned,

both

the ex

terior

and t

he in

terior

, to

contr

ol the

risk o

f pro

duct

conta

mina

tion.

GM

P C

4Fa

brica

tion (

input

and m

ateria

l ha

ndlin

g, pr

epar

ation

, pro

duct

hand

ling,

pack

ing an

d stor

age a

reas

)Th

e stan

dard

shall

requ

ire th

at the

fabr

icatio

n of th

e site

, buil

dings

and f

acilit

ies be

suita

ble fo

r the

inten

ded p

urpo

se.

GM

P C

5Eq

uipme

ntTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt be

suita

bly de

signe

d for

the i

ntend

ed pu

rpos

e and

shall

be us

ed an

d stor

ed so

as to

mini

mise

foo

d safe

ty ris

ks.

GM

P C

6Ma

inten

ance

The s

tanda

rd sh

all re

quire

that

a sys

tem of

plan

ned m

ainten

ance

be in

plac

e cov

ering

all it

ems o

f equ

ipmen

t, whic

h are

critic

al to

prod

uct

safet

y.

GM

P C

7St

aff fa

cilitie

sTh

e stan

dard

shall

requ

ire th

at sta

ff fac

ilities

be de

signe

d and

oper

ated s

o as t

o mini

mise

food

safet

y risk

s.

GM

P C

8Ins

pecti

onTh

e stan

dard

shall

requ

ire an

insp

ectio

n pro

cess

to be

in pl

ace a

t laira

ge an

d/or a

t evis

cera

tion t

o ens

ure a

nimals

are fi

t for h

uman

co

nsum

ption

GM

P C

9Ph

ysica

l and

chem

ical p

rodu

ct co

ntami

natio

n risk

The s

tanda

rd sh

all re

quire

that

appr

opria

te fac

ilities

and p

roce

dure

s be i

n plac

e to c

ontro

l the r

isk of

phys

ical,

chem

ical o

r biol

ogica

l con

tamina

tion o

f pro

ducts

inten

ded f

or hu

man c

onsu

mptio

n.


PART IV

GM

P C

10Se

greg

ation

and c

ross

-conta

mina

tion

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o pre

vent

conta

mina

tion a

nd cr

oss-c

ontam

inatio

n of c

arca

ss an

d par

ts.

GM

P C

11St

ock m

anag

emen

tTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to e

nsur

e tha

t mate

rials

and i

ngre

dients

are u

sed i

n the

corre

ct or

der a

nd w

ithin

the

alloc

ated s

helf l

ife.

GM

P C

12Ho

usek

eepin

g, cle

aning

and h

ygien

eTh

e stan

dard

shall

requ

ire th

at ap

prop

riate

stand

ards

of ho

usek

eepin

g, cle

aning

and h

ygien

e be m

aintai

ned a

t all t

imes

and t

hrou

ghou

t all

the st

ages

. Clea

ning m

ateria

ls sh

all be

suita

ble fo

r the

ir inte

nded

use a

nd st

ored

appr

opria

tely.

GM

P C

13W

ater q

uality

and u

tility

mana

geme

nt (in

cludin

g Ice

)

The s

tanda

rd sh

all re

quire

that

the qu

ality

of wa

ter (in

cludin

g stea

m an

d ice

) tha

t com

es in

to co

ntact

with

food,

be re

gular

ly mo

nitor

ed

and s

hall p

rese

nt no

risk t

o pro

duct

safet

y. W

ater f

or po

st-ha

rvest

wash

ing sh

all be

potab

le. P

otable

wate

r sha

ll be u

sed a

nd ch

ecke

d for

co

ntami

nants

at an

appr

opria

te fre

quen

cy. W

here

appli

cable

, stor

age o

f wate

r and

stor

age a

nd ha

ndlin

g of ic

e sha

ll occ

ur so

as to

prev

ent

conta

mina

tion.

GM

P C

14W

aste

mana

geme

ntTh

e stan

dard

shall

requ

ire th

at ad

equa

te sy

stems

be in

plac

e for

the c

ollati

on, c

ollec

tion a

nd di

spos

al of

waste

mate

rial.

GM

P C

15Pe

st co

ntrol

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace f

or co

ntroll

ing or

elim

inatin

g the

risk o

f pes

t infes

tation

on th

e site

or in

the f

acilit

ies.

GM

P C

16Po

st sla

ughte

r chil

ling a

nd fr

eezin

gTh

e stan

dard

shall

requ

ire de

fined

post

slaug

hter t

ime /

tempe

ratur

e req

uirem

ents

to be

in pl

ace i

n rela

tion t

o the

chilli

ng or

free

zing o

f pr

oduc

t.

GM

P C

17St

orag

eTh

e stan

dard

shall

requ

ire th

at pr

oduc

t be s

tored

, temp

orar

ily st

ored

and t

rans

porte

d und

er co

nditio

ns, w

hich m

inimi

se th

e pote

ntial

for

micro

bial, c

hemi

cal o

r phy

sical

conta

mina

tion.

GM

P C

18Tr

ansp

ort

The s

tanda

rd sh

all re

quire

that

all ve

hicles

, inclu

ding c

ontra

cted o

ut ve

hicles

, use

d for

the t

rans

porta

tion o

f finis

hed p

rodu

ct be

suita

ble fo

r the

purp

ose a

nd do

not c

ontrib

ute to

the r

isk of

cros

s-con

tamina

tion.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GM

P C

19Pe

rsona

l hyg

iene,

prote

ctive

cloth

ing

and m

edica

l scre

ening

The s

tanda

rd sh

all re

quire

that

docu

mente

d per

sona

l hyg

iene s

tanda

rds b

ased

on ris

k of p

rodu

ct co

ntami

natio

n be i

n plac

e and

perso

nnel

traine

d in t

hem.

Han

d was

hing a

nd to

ilet fa

cilitie

s sha

ll be p

rovid

ed. S

uitab

le an

d app

ropr

iate p

rotec

tive c

lothin

g sha

ll be p

rovid

ed. A

med

ical

scre

ening

proc

edur

e sha

ll be i

n plac

e. In

all ca

ses,

these

requ

ireme

nts sh

all al

so ap

ply to

contr

actor

s and

visit

ors.

GM

P C

20Tr

aining

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace t

o ens

ure t

hat a

ll emp

loyee

s are

adeq

uatel

y tra

ined,

instru

cted a

nd su

pervi

sed i

n foo

d sa

fety p

rincip

les an

d pra

ctice

s, co

mmen

sura

te wi

th the

ir acti

vity.

Tabl

e VI

– G

ood

Man

ufac

turin

g Pr

actic

eRe

quire

men

ts D

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GM

P D

1Fa

cility

envir

onme

ntTh

e stan

dard

shall

requ

ire th

at the

site

or fa

cility

be lo

cated

and m

aintai

ned s

o as t

o pre

vent

conta

mina

tion a

nd en

able

the pr

oduc

tion o

f sa

fe pr

oduc

ts.

GM

P D

2Lo

cal e

nviro

nmen

tTh

e stan

dard

shall

requ

ire th

at all

grou

nds w

ithin

the si

te or

facil

ity be

main

taine

d to a

n app

ropr

iate s

tanda

rd.

GM

P D

3Fa

cility

desig

n, co

nstru

ction

, layo

ut an

d pr

oduc

t flow

The s

tanda

rd sh

all re

quire

that

prem

ises,

site a

nd / o

r plan

t sha

ll be d

esign

ed, c

onstr

ucted

and m

aintai

ned,

both

the ex

terior

and t

he in

terior

, to

contr

ol the

risk o

f pro

duct

conta

mina

tion.

GM

P D

4Fa

brica

tion (

input

and m

ateria

l ha

ndlin

g, pr

epar

ation

, pro

duct

hand

ling,

pack

ing an

d stor

age a

reas

)Th

e stan

dard

shall

requ

ire th

at the

fabr

icatio

n of th

e site

, buil

dings

and f

acilit

ies be

suita

ble fo

r the

inten

ded p

urpo

se.

GM

P D

5Eq

uipme

ntTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt be

suita

bly de

signe

d for

the i

ntend

ed pu

rpos

e and

is us

ed an

d stor

ed so

as to

mini

mise

food

sa

fety r

isks.


PART IV

GM

P D

6Ma

inten

ance

The s

tanda

rd sh

all re

quire

that

a sys

tem of

plan

ned m

ainten

ance

be in

plac

e cov

ering

all it

ems o

f equ

ipmen

t, whic

h are

critic

al to

prod

uct

safet

y.

GM

P D

7

Staff

facil

ities

The s

tanda

rd sh

all re

quire

that

staff f

acilit

ies be

desig

ned a

nd op

erate

d so a

s to m

inimi

se fo

od sa

fety r

isks.

GM

P D

8Ph

ysica

l and

chem

ical p

rodu

ct co

ntami

natio

n risk

The s

tanda

rd sh

all re

quire

that

appr

opria

te fac

ilities

and p

roce

dure

s be i

n plac

e to c

ontro

l the r

isk of

phys

ical, c

hemi

cal o

r biol

ogica

l co

ntami

natio

n of p

rodu

ct.

GM

P D

9Se

greg

ation

and c

ross

-conta

mina

tion

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o pre

vent

conta

mina

tion a

nd cr

oss-c

ontam

inatio

n of r

aw m

ateria

ls, pa

ckag

ing an

d fin

ished

prod

uct, c

over

ing al

l asp

ects

of foo

d safe

ty inc

luding

micr

o-or

ganis

ms, c

hemi

cals

and a

llerg

ens.

GM

P D

10

Hous

ekee

ping,

clean

ing an

d hyg

iene

The s

tanda

rd sh

all re

quire

that

appr

opria

te sta

ndar

ds of

hous

ekee

ping,

clean

ing an

d hyg

iene b

e main

taine

d at a

ll tim

es an

d thr

ough

out a

ll the

stag

es. C

leanin

g mate

rials

shall

be su

itable

for t

he in

tende

d use

and s

tored

appr

opria

tely.

GM

P D

11

Wate

r qua

lity an

d utili

ty ma

nage

ment

(inclu

ding I

ce)

The s

tanda

rd sh

all re

quire

that

the qu

ality

of wa

ter (in

cludin

g stea

m an

d ice

) tha

t com

es in

to co

ntact

with

food,

be re

gular

ly mo

nitor

ed

and s

hall p

rese

nt no

risk t

o pro

duct

safet

y. W

ater f

or po

st ha

rvest

wash

ing sh

all be

potab

le. P

otable

wate

r sha

ll be u

sed a

nd ch

ecke

d for

co

ntami

nants

at an

appr

opria

te fre

quen

cy. W

here

appli

cable

, stor

age o

f wate

r and

stor

age a

nd ha

ndlin

g of ic

e sha

ll occ

ur so

as to

prev

ent

conta

mina

tion.

GM

P D

12

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

adeq

uate

syste

ms be

in pl

ace f

or th

e coll

ation

, coll

ectio

n and

disp

osal

of wa

ste m

ateria

l.

GM

P D

13

Pest

contr

olTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e for

contr

olling

or el

imina

ting t

he ris

k of p

est in

festat

ion io

n the

site

or in

the f

acilit

ies.

GM

P D

14

Tran

spor

tTh

e stan

dard

shall

requ

ire th

at all

conta

iners

and v

ehicl

es, in

cludin

g con

tracte

d out

vehic

les, u

sed f

or th

e stor

age a

nd tr

ansp

ortat

ion of

ra

w ma

terial

s (inc

luding

pack

aging

), int

erme

diate

/ sem

i-pro

cess

ed pr

oduc

t and

finish

ed pr

oduc

t (inc

luding

pack

ed, fr

esh p

rodu

ct in

final

pack

aging

) be s

uitab

le for

the p

urpo

se an

d main

taine

d in g

ood r

epair

and b

e clea

n.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GM

P D

15

Perso

nal h

ygien

e, pr

otecti

ve cl

othing

an

d med

ical s

creen

ing

The s

tanda

rd sh

all re

quire

that

docu

mente

d per

sona

l hyg

iene s

tanda

rds b

ased

on ris

k of p

rodu

ct co

ntami

natio

n be i

n plac

e and

perso

nnel

traine

d in t

hem.

Han

d was

hing a

nd to

ilet fa

cilitie

s sha

ll be p

rovid

ed. S

uitab

le an

d app

ropr

iate p

rotec

tive c

lothin

g sha

ll be p

rovid

ed. A

med

ical

scre

ening

proc

edur

e sha

ll be i

n plac

e. In

all ca

ses t

hese

requ

ireme

nts sh

all al

so ap

ply to

contr

actor

s and

visit

ors.

GM

P D

16

Train

ingTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to e

nsur

e tha

t all e

mploy

ees a

re ad

equa

tely t

raine

d, ins

tructe

d and

supe

rvise

d in f

ood

safet

y prin

ciples

and p

racti

ces,

comm

ensu

rate

with

their a

ctivit

y.

GM

P D

17

Pack

ing an

d stor

age o

f pro

duct

The s

tanda

rd sh

all re

quire

that

pack

aging

mate

rials

be ob

taine

d with

know

ledge

of or

igin,

be ap

prop

riate

for us

e and

are u

sed a

nd st

ored

so

as no

t to be

a so

urce

of co

ntami

natio

n to p

rodu

ct. P

rodu

ct sh

all be

hand

led, s

orted

, gra

ded a

nd pa

cked

in a

mann

er th

at mi

nimise

s sou

rces

of bio

logica

l, che

mica

l and

phys

ical c

ontam

inatio

n. Pr

oduc

t sha

ll be h

eld or

stor

ed in

desig

nated

area

s and

hand

led un

der t

he pr

oper

co

nditio

ns to

mini

mise

conta

mina

tion.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

Tabl

e VI

I – G

ood

Man

ufac

turin

g Pr

actic

eRe

quire

men

ts EI

, EII

EIII,

EIIV

and

L

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GM

P EL

1Fa

cility

envir

onme

ntTh

e stan

dard

shall

requ

ire th

at the

site

or fa

cility

be lo

cated

and m

aintai

ned s

o as t

o pre

vent

conta

mina

tion a

nd en

able

the pr

oduc

tion o

f sa

fe pr

oduc

ts.

GM

P EL

2Lo

cal e

nviro

nmen

tTh

e stan

dard

shall

requ

ire th

at all

grou

nds w

ithin

the si

te or

facil

ity be

main

taine

d to a

n app

ropr

iate s

tanda

rd.

GM

P EL

3Fa

cility

desig

n, co

nstru

ction

, layo

ut an

d pr

oduc

t flow

The s

tanda

rd sh

all re

quire

that

prem

ises,

site a

nd / o

r plan

t be d

esign

ed, c

onstr

ucted

and m

aintai

ned,

both

the ex

terior

and t

he in

terior

, to

contr

ol the

risk o

f pro

duct

conta

mina

tion.

GM

P EL

4Fa

brica

tion (

input

and m

ateria

l ha

ndlin

g, pr

epar

ation

, pro

duct

hand

ling,

pack

ing an

d stor

age a

reas

)Th

e stan

dard

shall

requ

ire th

at the

fabr

icatio

n of th

e site

, buil

dings

and f

acilit

ies be

suita

ble fo

r the

inten

ded p

urpo

se.


PART IV

GM

P EL

5Eq

uipme

ntTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt be

suita

bly de

signe

d for

the i

ntend

ed pu

rpos

e and

shall

be us

ed an

d stor

ed so

as to

mini

mise

foo

d safe

ty ris

ks.

GM

P EL

6Ma

inten

ance

The s

tanda

rd sh

all re

quire

that

a sys

tem of

plan

ned m

ainten

ance

be in

plac

e cov

ering

all it

ems o

f equ

ipmen

t, whic

h are

critic

al to

prod

uct

safet

y.

GM

P EL

7St

aff fa

cilitie

sTh

e stan

dard

shall

requ

ire th

at sta

ff fac

ilities

be de

signe

d and

oper

ated s

o as t

o mini

mise

food

safet

y risk

s.

GM

P EL

8Ph

ysica

l and

chem

ical p

rodu

ct co

ntami

natio

n risk

The s

tanda

rd sh

all re

quire

that

appr

opria

te fac

ilities

and p

roce

dure

s be i

n plac

e to c

ontro

l the r

isk of

phys

ical, c

hemi

cal o

r biol

ogica

l co

ntami

natio

n of p

rodu

ct.

GM

P EL

9Se

greg

ation

and c

ross

-conta

mina

tion

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o pre

vent

conta

mina

tion a

nd cr

oss-c

ontam

inatio

n of r

aw m

ateria

ls, pa

ckag

ing an

d fin

ished

prod

uct, c

over

ing al

l asp

ects

of foo

d safe

ty inc

luding

micr

o-or

ganis

ms, c

hemi

cals

and a

llerg

ens.

GM

P EL

10

Stoc

k man

agem

ent

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace t

o ens

ure t

hat m

ateria

ls an

d ing

redie

nts ar

e use

d in t

he co

rrect

orde

r and

with

in the

all

ocate

d she

lf life

.

GM

P EL

11

Hous

ekee

ping,

clean

ing an

d hyg

iene

The s

tanda

rd sh

all re

quire

that

appr

opria

te sta

ndar

ds of

hous

ekee

ping,

clean

ing an

d hyg

iene b

e main

taine

d at a

ll tim

es an

d thr

ough

out a

ll the

stag

es. C

leanin

g mate

rials

shall

be su

itable

for t

heir i

ntend

ed us

e and

stor

ed ap

prop

riatel

y.

GM

P EL

12

Wate

r qua

lity an

d utili

ty ma

nage

ment

(inclu

ding I

ce)

The s

tanda

rd sh

all re

quire

that

the qu

ality

of wa

ter (in

cludin

g stea

m an

d ice

) tha

t com

es in

to co

ntact

with

food,

be re

gular

ly mo

nitor

ed

and s

hall p

rese

nt no

risk t

o pro

duct

safet

y. W

ater f

or po

st-ha

rvest

wash

ing sh

all be

potab

le. P

otable

wate

r sha

ll be u

sed a

nd ch

ecke

d for

co

ntami

nants

at an

appr

opria

te fre

quen

cy. W

here

appli

cable

, stor

age o

f wate

r and

stor

age a

nd ha

ndlin

g of ic

e sha

ll occ

ur so

as to

prev

ent

conta

mina

tion.

GM

P EL

13

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

adeq

uate

syste

ms be

in pl

ace f

or th

e coll

ation

, coll

ectio

n and

disp

osal

of wa

ste m

ateria

l.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GM

P EL

14

Pest

contr

olTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e for

contr

olling

or el

imina

ting t

he ris

k of p

est in

festat

ion on

the s

ite or

in th

e fac

ilities

.

GM

P EL

15

Tran

spor

tTh

e stan

dard

shall

requ

ire th

at all

vehic

les, in

cludin

g con

tracte

d out

vehic

les, u

sed f

or th

e tra

nspo

rtatio

n of r

aw m

ateria

ls (in

cludin

g pa

ckag

ing),

inter

media

te / s

emi-p

roce

ssed

prod

uct a

nd fin

ished

prod

uct (

includ

ing pa

cked

, fres

h pro

duct

in fin

al pa

ckag

ing) s

hall b

e suit

able

for th

e pur

pose

, main

taine

d in g

ood r

epair

and b

e clea

n.

GM

P EL

16

Perso

nal h

ygien

e, pr

otecti

ve cl

othing

an

d med

ical s

creen

ing

The s

tanda

rd sh

all re

quire

that

docu

mente

d per

sona

l hyg

iene s

tanda

rds b

ased

on ris

k of p

rodu

ct co

ntami

natio

n be i

n plac

e and

perso

nnel

traine

d in t

hem.

Han

d was

hing a

nd to

ilet fa

cilitie

s sha

ll be p

rovid

ed. S

uitab

le an

d app

ropr

iate p

rotec

tive c

lothin

g sha

ll be p

rovid

ed. A

med

ical

scre

ening

proc

edur

e sha

ll be i

n plac

e. In

all ca

ses,

these

requ

ireme

nts sh

all al

so ap

ply to

contr

actor

s and

visit

ors.

GM

P EL

17

Train

ingTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to e

nsur

e tha

t all e

mploy

ees a

re ad

equa

tely t

raine

d, ins

tructe

d and

supe

rvise

d in f

ood

safet

y prin

ciples

and p

racti

ces,

comm

ensu

rate

with

their a

ctivit

y.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e VI

II –

Good

Man

ufac

turin

g Pr

actic

eRe

quire

men

ts F

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GM

P FD

1Fa

cility

envir

onme

ntTh

e stan

dard

shall

requ

ire th

at the

site

and/o

r fac

ility b

e loc

ated a

nd m

aintai

ned s

o as t

o pre

vent

conta

mina

tion a

nd en

able

the pr

oduc

tion

of sa

fe pr

oduc

ts.

GM

P FD

2Lo

cal e

nviro

nmen

tTh

e stan

dard

shall

requ

ire th

at all

grou

nds w

ithin

the si

te be

main

taine

d to e

nsur

e fee

d safe

ty is

not c

ompr

omise

d.

GM

P FD

3Fa

cility

desig

n and

cons

tructi

onTh

e stan

dard

shall

requ

ire th

at the

facil

ity be

desig

ned,

cons

tructe

d and

main

taine

d, bo

th the

exter

ior an

d the

inter

ior, to

contr

ol the

risk o

f fee

d con

tamina

tion a

nd be

suita

ble fo

r the

inten

ded p

urpo

se.

GM

P FD

4Eq

uipme

ntTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt be

suita

bly de

signe

d and

cons

tructe

d for

the i

ntend

ed pu

rpos

e and

shall

be us

ed an

d stor

ed so

as

to m

inimi

se fe

ed sa

fety r

isks.

GM

P FD

5Ma

inten

ance

The s

tanda

rd sh

all re

quire

that

a sys

tem of

plan

ned m

ainten

ance

be in

plac

e add

ress

ing fa

cility

and e

quipm

ent, w

hich a

re cr

itical

to fee

d sa

fety.

GM

P FD

6St

aff fa

cilitie

sTh

e stan

dard

shall

requ

ire th

at sta

ff fac

ilities

be de

signe

d and

oper

ated s

o as t

o mini

mise

feed

safet

y risk

s.

GM

P FD

7Co

ntami

natio

n and

cros

s co

ntami

natio

n con

trol

The s

tanda

rd sh

all re

quire

that

appr

opria

te fac

ilities

and p

roce

dure

s be i

n plac

e to c

ontro

l the r

isk of

phys

ical, c

hemi

cal o

r biol

ogica

l co

ntami

natio

n and

cros

s con

tamina

tion o

f raw

mate

rials,

ingr

edien

ts, pa

ckag

ing an

d fee

d.

GM

P FD

8Ma

nage

ment

of me

dicati

onW

here

appli

cable

, the s

tanda

rd sh

all re

quire

proc

edur

es an

d con

trol m

easu

res t

o be i

n plac

e to m

anag

e the

use o

f feed

med

icatio

n.

GM

P FD

9Inv

entor

y Man

agem

ent

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace t

o ens

ure r

aw m

ateria

ls, in

gred

ients

and f

eed a

re us

ed an

d/or s

hippe

d to m

inimi

ze fe

ed

safet

y risk

s.


PART IV

GM

P FD

10

Hous

ekee

ping,

clean

ing an

d hyg

iene

The s

tanda

rd sh

all re

quire

that

appr

opria

te sta

ndar

ds of

hous

ekee

ping,

clean

ing an

d hyg

iene b

e imp

lemen

ted an

d main

taine

d usin

g a

pred

eterm

ined a

nd do

cume

nted c

leanin

g sch

edule

. Clea

ning m

ateria

ls sh

all be

suita

ble fo

r the

ir inte

nded

use a

nd st

ored

appr

opria

tely.

GM

P FD

11

Utilit

iesTh

e stan

dard

shall

requ

ire a

syste

m be

in pl

ace t

o man

age f

eed s

afety

risk,

wher

e air,

comp

ress

ed ai

r and

wate

r (inc

luding

stea

m) m

ay

come

into

conta

ct wi

th ra

w ma

terial

s, ing

redie

nts, p

acka

ging a

nd fe

ed.

GM

P FD

12

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace f

or th

e coll

ectio

n, sto

rage

, and

disp

osal

of wa

ste m

ateria

l.

GM

P FD

13

Pest

contr

olTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e for

the c

ontro

l of p

ests.

GM

P FD

14

Tran

spor

tTh

e stan

dard

shall

requ

ire th

at all

vehic

les us

ed fo

r the

tran

spor

tation

of ra

w ma

terial

s, ing

redie

nts pa

ckag

ing, a

nd fe

ed be

suita

ble fo

r the

int

ende

d pur

pose

and m

aintai

ned t

o mini

mize

feed

safet

y risk

s.

GM

P FD

15

Perso

nal h

ygien

eTh

e stan

dard

shall

requ

ire th

at do

cume

nted p

erso

nal h

ygien

e stan

dard

s bas

ed on

risk o

f pro

duct

conta

mina

tion b

e in p

lace;

these

re

quire

ments

shall

also

apply

to co

ntrac

tors a

nd vi

sitor

s.

GM

P FD

16

Train

ingTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to e

nsur

e tha

t all e

mploy

ees a

re ad

equa

tely t

raine

d, ins

tructe

d and

supe

rvise

d in f

eed

safet

y prin

ciples

and p

racti

ces,

comm

ensu

rate

with

their a

ctivit

y.

GM

P FD

17

Form

ulatio

n of p

rodu

ctW

here

appli

cable

the s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ens

ure f

eed i

s for

mulat

ed/de

signe

d for

the i

ntend

ed us

e. Us

e of

ingre

dients

that

conta

in su

bstan

ces t

hat c

an be

delet

eriou

s to c

ertai

n clas

ses o

f anim

als sh

all be

appr

opria

tely m

anag

ed.

GM

P FD

18

Rewo

rk co

ntrol

The s

tanda

rd sh

all re

quire

that

proc

edur

es be

in pl

ace t

o ens

ure r

ewor

k is m

anag

ed as

not to

comp

romi

se fe

ed sa

fety,

trace

abilit

y and

re

gulat

ory c

ompli

ance

.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e IX

– G

ood

Distr

ibut

ion

Prac

tice

Requ

irem

ents

J

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GD

P J

1Fa

cility

and e

nviro

nmen

tTh

e stan

dard

shall

requ

ire th

at the

site

or fa

cility

be lo

cated

and m

aintai

ned t

o pre

vent

conta

mina

tion o

f the p

rodu

cts an

d ena

ble th

e safe

re

ceipt

, stor

age a

nd di

stribu

tion o

f pro

ducts

. The

stan

dard

shall

requ

ire th

at all

grou

nds w

ithin

and a

roun

d the

site

or fa

cility

be m

aintai

ned

in su

ch a

way t

o pre

vent

the in

trodu

ction

of po

tentia

l haz

ards

and m

aintai

n pro

duct

integ

rity.

GD

P J

2En

viron

menta

l con

dition

sTh

e stan

dard

shall

addr

ess t

ime,

tempe

ratur

e, hu

midit

y and

othe

r rele

vant

envir

onme

ntal c

ondit

ions t

hat a

ffect

Food

Safe

ty.

GD

P J

3Fa

cility

desig

n, co

nstru

ction

, layo

ut

The s

tanda

rd sh

all re

quire

that

both

exter

ior an

d inte

rior p

remi

ses o

f the s

ite an

d/or f

acilit

y sha

ll be d

esign

ed, la

id ou

t, con

struc

ted

and m

aintai

ned t

o pre

vent

the in

trodu

ction

of po

tentia

l food

safet

y haz

ards

, and

main

tain r

equir

ed en

viron

menta

l con

dition

s, inc

luding

tem

pera

ture a

nd hu

midit

y con

trols.

The

stan

dard

shall

requ

ire th

at the

mate

rials

of co

nstru

ction

for t

he si

te, bu

ilding

s and

facil

ities b

e su

itable

for t

he in

tende

d pur

pose

.

GD

P J

4Eq

uipme

ntTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt is

desig

ned f

or th

e inte

nded

purp

ose a

nd be

used

, main

taine

d and

stor

ed so

as to

mini

mise

food

sa

fety r

isks.

GD

P J

5Ma

inten

ance

The s

tanda

rd sh

all re

quire

that

a sys

tem of

plan

ned m

ainten

ance

be in

plac

e cov

ering

all it

ems o

f equ

ipmen

t, whic

h are

critic

al to

prod

uct

safet

y and

used

to re

ceive

, stor

e and

distr

ibute

prod

ucts.

GD

P J

6St

aff fa

cilitie

sTh

e stan

dard

shall

requ

ire th

at sta

ff fac

ilities

, suc

h as t

oilets

, lunc

h fac

ilities

, cha

nging

/lock

er ro

oms a

re de

signe

d and

oper

ated t

o mini

mise

foo

d safe

ty ris

ks.

GD

P J

7Pr

oduc

t con

tamina

tion r

iskTh

e stan

dard

shall

requ

ire fa

cilitie

s and

proc

edur

es be

in pl

ace t

o con

trol th

e risk

of pr

oduc

t con

tamina

tion (

for ex

ample

phys

ical, c

hemi

cal,

biolog

ical, a

llerg

en or

othe

r con

tamina

tion o

f pro

duct.

)

GD

P J

8St

ock r

otatio

nTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to e

nsur

e tha

t mate

rials

and i

ngre

dients

are u

sed a

nd de

liver

ed w

ithin

the al

locate

d sh

elf-lif

e.

GD

P J

9Ho

usek

eepin

g, cle

aning

and h

ygien

eTh

e stan

dard

shall

requ

ire th

at cri

teria

for ho

usek

eepin

g, cle

aning

and h

ygien

e to e

nsur

e safe

food

be de

fined

and m

aintai

ned t

hrou

ghou

t all

the st

ages

of th

e pro

cess

with

docu

menta

tion f

or th

e effe

ctive

ness

of th

e clea

ning.

Clea

ning m

ateria

ls sh

all be

suita

ble fo

r inten

ded u

se an

d sto

red a

ppro

priat

ely.


PART IV

GD

P J

10Ai

r, wate

r qua

lity an

d utili

ty ma

nage

ment

(inclu

ding i

ce)

The s

tanda

rd sh

all re

quire

that

the qu

ality

of air

, com

pres

sed a

ir and

wate

r in an

y for

m tha

t com

es in

to dir

ect c

ontac

t with

food

or fo

od

pack

aging

shall

pres

ent n

o risk

to pr

oduc

t safe

ty. W

ater s

uitab

le for

the o

pera

tion,

shall

be us

ed. W

here

appli

cable

, stor

age o

f wate

r and

sto

rage

and h

andli

ng of

ice s

hall o

ccur

so as

to pr

even

t con

tamina

tion.

Air fl

ow sh

all in

clude

cons

idera

tion f

or en

viron

menta

l con

tamina

nts.

GD

P J

11W

aste

mana

geme

ntTh

e stan

dard

shall

requ

ire th

at sy

stems

be in

plac

e for

the c

ollec

tion a

nd di

spos

al of

waste

mate

rial fo

r both

food

and n

on fo

od w

aste.

GD

P J

12Pe

st ma

nage

ment

The s

tanda

rd sh

all re

quire

that

a sys

tem be

in pl

ace f

or co

ntroll

ing th

e risk

of pe

st inf

estat

ion on

the s

ite or

in th

e fac

ilities

.

GD

P J

13Di

stribu

tion (

trans

port

and s

hippin

g)Th

e stan

dard

shall

requ

ire th

at all

tran

spor

t con

taine

rs be

main

taine

d in g

ood r

epair

, sec

ured

and a

t req

uired

env

ironm

ental

cond

itions

, an

d be c

lean t

o con

trol th

e risk

prod

uct c

ontam

inatio

n (for

exam

ple b

iolog

ical, p

hysic

al, ch

emica

l and

othe

r alle

rgen

conta

mina

tion o

f pr

oduc

t)

GD

P J1

4Pe

rsona

l hea

lth an

d hyg

iene

The s

tanda

rd sh

all re

quire

that

docu

mente

d per

sona

l hyg

iene a

nd he

alth s

tanda

rds b

ased

on ris

k of p

rodu

ct co

ntami

natio

n sha

ll be i

n plac

e an

d per

sonn

el tra

ined i

n the

m. H

and w

ashin

g and

toile

t facil

ities s

hall b

e pro

vided

. Pro

cedu

res s

hall b

e in p

lace f

or co

ntrac

tors a

nd vi

sitor

s.

GD

P J

15Tr

aining

The s

tanda

rd sh

all re

quire

that

a sys

tem is

in pl

ace t

o ens

ure t

hat a

ll emp

loyee

s are

adeq

uatel

y tra

ined,

instru

cted a

nd su

pervi

sed

in hy

giene

, pro

duct

cond

ition f

ood s

afety

princ

iples

and p

racti

ces a

nd al

lerge

n man

agem

ent, c

omme

nsur

ate w

ith th

eir ac

tivity

. The

eff

ectiv

enes

s of th

e tra

ining

is m

onito

red.

Pro

cedu

res s

hall b

e in p

lace f

or co

ntrac

tors a

nd vi

sitor

s.

GD

P J

16Pr

oduc

t iden

tifica

tion

The s

tanda

rd sh

all re

quire

that

all pr

oduc

ts ar

e ide

ntifie

d to e

nable

the s

afe ha

ndlin

g, re

ceivi

ng, s

torag

e and

distr

ibutio

n with

in the

food

su

pply

chain

.

GD

P J

17Tr

acea

bility

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

estab

lish,

imple

ment

and m

aintai

n app

ropr

iate t

race

abilit

y pro

cedu

res a

nd sy

stems

to

includ

e the

mate

rial s

ource

(one

stag

e bac

k) an

d the

custo

mer (

one s

tage f

orwa

rd) a

nd to

ensu

re:

► P

rodu

ct ide

ntific

ation

inclu

des a

uniqu

e pro

duct

identi

fier

► R

ecor

d of p

urch

aser

and d

elive

ry de

stina

tion f

or al

l pro

ducts

supp

lied.

► T

he sy

stem

is tes

ted re

gular

ly.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e X

– Go

od M

anuf

actu

ring

Prac

tice

Requ

irem

ents

M

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

GM

P M

1Fa

cility

The s

tanda

rd sh

all re

quire

that

the si

te or

facil

ity sh

all be

loca

ted an

d main

taine

d to p

reve

nt co

ntami

natio

n of th

e pac

kagin

g mate

rials

and

enab

le the

prod

uctio

n of s

afe pr

oduc

ts. T

he st

anda

rd sh

all re

quire

that

the m

anufa

cturin

g pro

cess

is co

ntroll

ed th

roug

hout

in or

der t

o en

sure

that

the pa

ckag

ing m

ateria

l pro

duce

d is f

ood s

afe.

GM

P M

2Lo

cal e

nviro

nmen

tTh

e stan

dard

shall

requ

ire th

at all

grou

nds w

ithin

the si

te or

facil

ity sh

all be

main

taine

d to a

n app

ropr

iate s

tanda

rd.

GM

P M

3Fa

cility

desig

n, co

nstru

ction

, layo

ut an

d pr

oduc

t flow

The s

tanda

rd sh

all re

quire

that

prem

ises,

site a

nd/or

plan

t sha

ll be d

esign

ed, c

onstr

ucted

and m

aintai

ned,

both

exter

ior an

d inte

rior, t

o co

ntrol

the ris

k of p

acka

ging m

ateria

l con

tamina

tion.

GM

P M

4Fa

brica

tion i

nclud

ing ra

w ma

terial

s int

ake m

anufa

cturin

g pro

cess

, stor

age

and d

ispatc

h.Th

e stan

dard

shall

requ

ire th

at the

fabr

icatio

n of th

e site

, buil

dings

and f

acilit

ies be

suita

ble fo

r the

inten

ded p

urpo

se.

GM

P M

5Eq

uipme

ntTh

e stan

dard

shall

requ

ire th

at eq

uipme

nt is

suita

bly de

signe

d and

valid

ated f

or th

e inte

nded

purp

ose a

nd be

used

and s

tored

so as

to

minim

ise fo

od sa

fety r

isks f

rom

pack

aging

mate

rials.

GM

P M

6Ma

inten

ance

The s

tanda

rd sh

all re

quire

that

a sys

tem of

plan

ned m

ainten

ance

be in

plac

e cov

ering

all it

ems o

f equ

ipmen

t, whic

h is u

sed t

o pro

duce

food

sa

fe pa

ckag

ing.

GM

P M

7St

aff fa

cilitie

sTh

e stan

dard

shall

requ

ire th

at sta

ff fac

ilities

, suc

h as t

oilets

, lunc

h fac

ilities

, cha

nging

/lock

er ro

oms a

re de

signe

d and

oper

ated t

o mini

mise

foo

d safe

ty ris

ks. T

he st

anda

rd sh

all re

quire

staff

and v

isitor

acce

ss de

finitio

ns an

d inc

lude v

isitor

and c

ontra

ctor c

ontro

l.

GM

P M

8Pr

oduc

t con

tamina

tion r

iskTh

e stan

dard

shall

requ

ire th

at ap

prop

riate

facilit

ies an

d pro

cedu

res b

e in p

lace t

o con

trol th

e risk

of ph

ysica

l, che

mica

l, biol

ogica

l or

aller

gen c

ontam

inatio

n of p

rodu

ct.

GM

P M

9Se

greg

ation

and c

ross

-conta

mina

tion

The s

tanda

rd sh

all re

quire

that

proc

edur

es ar

e in p

lace t

o pre

vent

conta

mina

tion a

nd cr

oss-c

ontam

inatio

n of p

rodu

ct inc

luding

the p

ossib

ility

of co

ntami

natio

n fro

m re

cycle

d mate

rials

and m

ixing

of ra

w ma

terial

s if th

e effe

ct of

the m

ateria

l give

s rise

to fo

od sa

fety i

ssue

s.


PART IV

GM

P M

10

Hous

ekee

ping,

clean

ing an

d hyg

iene

The s

tanda

rd sh

all re

quire

that

appr

opria

te sta

ndar

ds of

hous

ekee

ping,

clean

ing an

d hyg

iene b

e main

taine

d at a

ll tim

es an

d thr

ough

out a

ll the

stag

es w

ith va

lidati

on an

d rec

ordin

g of th

e effe

ctive

ness

of th

e clea

ning.

Clea

ning m

ateria

ls sh

all be

suita

ble fo

r inten

ded u

se an

d stor

ed

appr

opria

tely.

GM

P M

11

Air a

nd w

ater q

uality

man

agem

ent

The s

tanda

rd sh

all re

quire

that

the qu

ality

of air

, com

pres

sed a

ir and

wate

r (inc

luding

stea

m) th

at co

mes i

nto co

ntact

with

pack

aging

mate

rial

shall

pres

ent n

o risk

to pr

oduc

t safe

ty. C

lean w

ater, s

uitab

le for

the p

roce

ss, s

hall b

e use

d. W

here

appli

cable

, stor

age o

f wate

r sha

ll occ

ur so

as

to pr

even

t con

tamina

tion.

GM

P M

12

Was

te ma

nage

ment

The s

tanda

rd sh

all re

quire

that

adeq

uate

syste

ms be

in pl

ace f

or th

e coll

ation

, coll

ectio

n and

disp

osal

of wa

ste m

ateria

l.

GM

P M

13

Pest

contr

olTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e for

contr

olling

or el

imina

ting t

he ris

k of p

est in

festat

ion on

the s

ite or

in th

e fac

ilities

.

GM

P M

14

Tran

spor

tTh

e stan

dard

shall

requ

ire th

at all

vehic

les, in

cludin

g con

tracte

d out

vehic

les, u

sed f

or th

e tra

nspo

rtatio

n of r

aw m

ateria

ls or

pack

aging

ma

terial

s, int

erme

diate/

semi

proc

esse

d pro

duct

and fi

nishe

d pro

duct

shall

be su

itable

for t

he pu

rpos

e, ma

intain

ed in

good

repa

ir and

be

clean

. The

re sh

all be

no po

tentia

l for c

ontam

inatio

n fro

m oth

er m

ateria

ls ca

rried

on th

e sam

e veh

icle.

Haza

rds a

nd ris

k sha

ll be c

onsid

ered

.

GM

P M

15

Perso

nal h

ygien

e, pr

otecti

ve cl

othing

/wo

rkwea

r and

med

ical s

creen

ing

The s

tanda

rd sh

all re

quire

that

docu

mente

d per

sona

l hyg

iene s

tanda

rds b

ased

on ris

k of p

rodu

ct co

ntami

natio

n sha

ll be i

n plac

e. Ha

nd

wash

ing an

d toil

et fac

ilities

shall

be pr

ovide

d. Su

itable

and a

ppro

priat

e pro

tectiv

e clot

hing s

hall b

e pro

vided

. A m

edica

l scre

ening

proc

edur

e ma

y be i

n plac

e. In

all ca

ses t

hese

requ

ireme

nts sh

all al

so ap

ply to

contr

actor

s and

visit

ors.

GM

P M

16

Train

ingTh

e stan

dard

shall

requ

ire th

at an

effec

tive s

ystem

is in

plac

e to e

nsur

e tha

t all e

mploy

ees a

re ad

equa

tely t

raine

d and

instr

ucted

and t

he

effec

tiven

ess o

f the t

raini

ng is

mon

itore

d in p

acka

ging h

ygien

e, qu

ality

and f

ood s

afety

princ

iples

and p

racti

ces,

comm

ensu

rate

with

their

activ

ity.

GM

P M

17

Pack

aging

and s

torag

e of p

rodu

ctTh

e stan

dard

shall

requ

ire th

at pa

ckag

ing m

ateria

l sha

ll be p

acka

ged,

hand

led, s

egre

gated

in a

mann

er th

at mi

nimize

s sou

rces o

f ph

ysica

l, che

mica

l, biol

ogica

l and

aller

gen c

ontam

inatio

n. Pr

oduc

t sha

ll be h

eld or

stor

ed in

desig

nated

area

s and

hand

led un

der t

he pr

oper

co

nditio

ns to

mini

mize

conta

mina

tion.

GM

P M

18

Trad

emar

ked m

ateria

lTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to c

ontro

l the d

ispos

al of

trade

marke

d mate

rial.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

GM

P M

19

Prod

uct r

ecall

/with

draw

alTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to m

anag

e pro

duct

reca

ll and

with

draw

al. T

he sy

stem

shall

be re

cord

ed an

d tes

ted at

an

appr

opria

te fre

quen

cy.

GM

P M

20

Inven

tory m

anag

emen

tTh

e stan

dard

shall

requ

ire th

at a s

ystem

be in

plac

e to e

nsur

e mate

rials

and i

ngre

dients

are u

sed i

n the

corre

ct or

der a

nd w

ithin

the

alloc

ated s

helf l

ife.

GM

P M

21

Aller

gens

The s

tanda

rd sh

all re

quire

that

the us

e of a

ny kn

own a

llerg

ens u

sed i

n pac

kagin

g man

ufactu

re ar

e ide

ntifie

d, re

cord

ed an

d lab

elled

ac

cord

ingly.

GM

P M

22

Mater

ial cl

aims

The s

tanda

rd sh

all re

quire

that

wher

e rec

ycled

mate

rial, p

lant b

ased

mate

rial o

r fun

ction

al ad

ditive

s are

used

ther

e sha

ll be s

ufficie

nt da

ta to

ensu

re sa

fe foo

d con

tact a

nd do

cume

ntatio

n of c

laims

.

GM

P M

23

Print

ed m

ateria

ls ma

nage

ment

The s

tanda

rd sh

all re

quire

that

wher

e pac

kagin

g mate

rials

are p

rinted

with

prod

uct in

gred

ient li

st(s),

aller

gens

, iden

tifica

tion c

ode a

nd

other

critic

al inf

orma

tion,

they s

hall b

e man

aged

in a

mann

er th

at pr

even

ts mi

sprin

ting.

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

has

contr

ols in

plac

e to e

nsur

e prin

ted m

ateria

ls ar

e not

mixe

d or in

termi

ngled

inclu

ding i

n-pr

oces

s and

re-w

orke

d mate

rials.

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts


PART IV

Tabl

e I –

HAC

CPRe

quire

men

ts AI

, AII,

BI a

nd B

II

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

HAC

CP A

B 1

Haza

rd A

nalys

is an

d Criti

cal C

ontro

l Po

int (H

ACCP

)

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

have

in pl

ace a

HAC

CP or

HAC

CP ba

sed s

ystem

inclu

ding p

re-re

quisi

te pr

ogra

mmes

. It

shall

pres

cribe

the m

easu

res t

aken

to ap

ply th

ose c

ritica

l con

trols

to as

sure

, mon

itor a

nd m

aintai

n foo

d safe

ty. T

he H

ACCP

-bas

ed sy

stem

shall

:i. B

e pre

pare

d in a

ccor

danc

e with

Cod

ex or

NAC

MCF

HACC

P de

velop

ment

metho

dolog

y and

ii. Co

ver a

prod

uct o

r a pr

oduc

t gro

uping

and i

ts pr

oduc

tion a

ndiii.

Inclu

de do

cume

nted S

tanda

rd O

pera

ting P

racti

ces (

SOP’

s) an

d Wor

k Ins

tructi

ons (

WI’s

) as r

equir

ed an

d app

licab

le to

the or

ganis

ation

’s Sc

ope o

f Cer

tifica

tion.

The r

esult

s of th

e haz

ard a

nalys

is sh

all de

mons

trate

food s

afety

mana

geme

nt.Th

e sco

pe of

the H

ACCP

or H

ACCP

base

d sys

tem sh

all be

requ

ired t

o be d

efine

d per

prod

uct o

r pro

duct

grou

ping a

nd pe

r pro

ducti

on ty

pe.

Tabl

e II

– HA

CCP

Requ

irem

ents

C an

d D

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

HAC

CP C

D 1

Haza

rd A

nalys

is an

d Criti

cal C

ontro

l Po

int (H

ACCP

)

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

have

in pl

ace a

HAC

CP or

HAC

CP ba

sed s

ystem

inclu

ding p

rere

quisi

te pr

ogra

mmes

, to

demo

nstra

te foo

d safe

ty ma

nage

ment.

The H

ACCP

base

d sys

tem sh

all be

syste

matic

, com

preh

ensiv

e and

thor

ough

and s

hall b

e bas

ed on

the

Cod

ex A

limen

tarius

HAC

CP pr

incipl

es or

thos

e prin

ciples

spec

ified b

y the

Nati

onal

Advis

ory C

ommi

ttee o

n Micr

obiol

ogica

l Crite

ria fo

r Fo

ods (

NACM

CF). T

he H

ACCP

base

d sys

tem sh

all be

capa

ble of

acco

mmod

ating

chan

ge, s

uch a

s adv

ance

s in e

quipm

ent d

esign

, pro

cess

ing

proc

edur

es or

tech

nolog

ical d

evelo

pmen

ts. Th

e haz

ard a

nalys

is, w

here

appr

opria

te, sh

all in

clude

aller

gens

. Th

e 7 C

odex

Alim

entar

ius H

ACCP

princ

iples

and a

ll 12 H

ACCP

imple

menta

tion s

teps m

ust b

e imp

lemen

ted an

d doc

umen

ted an

d sha

ll app

ly for

all p

roce

sses

exce

pt for

some

case

s of h

andli

ng w

here

the h

azar

d ana

lysis

outco

me m

ay sh

ow th

at no

t all o

f the H

ACCP

princ

iples

are

nece

ssar

y.Th

e sco

pe of

the H

ACCP

base

d sys

tem sh

all be

requ

ired t

o be d

efine

d per

prod

uct /

prod

uct c

atego

ry an

d per

prod

uctio

n line

/ pro

ducti

on-

locati

on.

SECT

ION

3HA

CCP

OR H

AZAR

D BA

SED

REQU

IREM

ENTS


PART IV

Tabl

e III

– H

ACCP

Requ

irem

ents

EI, E

II, E

III, E

IV a

nd L

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

HAC

CP E

L 1

Haza

rd A

nalys

is an

d Criti

cal C

ontro

l Po

int (H

ACCP

)

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

have

in pl

ace a

Haz

ard A

nalys

is an

d Criti

cal C

ontro

l Poin

t sys

tem (H

ACCP

) to d

emon

strate

foo

d safe

ty ma

nage

ment.

The

HAC

CP sy

stem

shall

be sy

stema

tic, c

ompr

ehen

sive a

nd th

orou

gh an

d sha

ll be b

ased

on th

e Cod

ex

Alim

entar

ius H

ACCP

princ

iples

or th

ose p

rincip

les sp

ecifie

d by t

he N

ation

al Ad

visor

y Com

mitte

e on M

icrob

iolog

ical C

riteria

for F

oods

(N

ACMC

F). T

he H

ACCP

syste

m sh

all be

capa

ble of

acco

mmod

ating

chan

ge, s

uch a

s adv

ance

s in e

quipm

ent d

esign

, pro

cess

ing

proc

edur

es or

tech

nolog

ical d

evelo

pmen

ts. T

he ha

zard

analy

sis, w

here

appr

opria

te, sh

all in

clude

aller

gens

. In

all ca

ses,

the 7

Code

x Alim

entar

ius H

ACCP

princ

iples

and t

he 12

step

logic

sequ

ence

for a

pplic

ation

of H

ACCP

spec

ified i

n the

do

cume

nt, R

ecom

mend

ed In

terna

tiona

l Cod

e of P

racti

ce –

Gene

ral P

rincip

les of

Foo

d Hyg

iene C

AC/ R

CP 1-

1969

, Rev

. 4 -2

003,

shall

ap

ply.

The s

cope

of th

e HAC

CP sy

stem

shall

be re

quire

d to b

e defi

ned p

er pr

oduc

t / pr

oduc

t cate

gory

and p

er pr

oces

s line

/ pro

cess

-loca

tion.

Tabl

e IV

– H

ACCP

Requ

irem

ents

F

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

HAC

CP F

D 1

HACC

P Ba

sed S

ystem

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

have

in pl

ace a

HAC

CP ba

sed s

ystem

inclu

ding p

rere

quisi

te pr

ogra

mmes

, to de

mons

trate

feed s

afety

mana

geme

nt. T

he H

ACCP

base

d sys

tem sh

all be

base

d on t

he C

odex

Alim

entar

ius H

ACCP

princ

iples

. The

HAC

CP ba

sed

syste

m sh

all be

capa

ble of

acco

mmod

ating

chan

ge, s

uch a

s adv

ance

s in e

quipm

ent d

esign

, pro

cess

ing pr

oced

ures

or te

chno

logica

l de

velop

ments

. Th

e sco

pe of

the H

ACCP

base

d sys

tem sh

all be

requ

ired t

o be d

efine

d per

prod

uct /

prod

uct c

atego

ry an

d per

prod

uctio

n line

/ pro

ducti

on-

locati

on.


PART IV

Tabl

e VI

– H

ACCP

Requ

irem

ents

M

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

HAC

CP M

1Ha

zard

and R

isk M

anag

emen

t Sys

tem

The s

tanda

rd sh

all re

quire

that

the or

ganis

ation

have

in pl

ace a

Haz

ard a

nd R

isk M

anag

emen

t sys

tem in

cludin

g pre

-requ

isite

prog

ramm

es.

This

mayb

e a H

ACCP

base

d sys

tem or

anoth

er H

azar

d and

Risk

Man

agem

ent s

ystem

that

cove

rs the

Cod

ex A

limen

tarius

HAC

CP

princ

iples

.Th

e sco

pe of

the H

azar

d and

Risk

Man

agem

ent s

ystem

shall

cove

r all p

roce

sses

of th

e mate

rials

enco

mpas

sed w

ithin

the st

anda

rd to

en

sure

that

none

of th

eir co

mpon

ents

parts

or th

e who

le ma

terial

could

comp

romi

se fo

od sa

fety.

Tabl

e V

– HA

CCP

Requ

irem

ents

J

Clau

se N

umbe

rCl

ause

Nam

eRe

quire

men

ts

HAC

CP J

1Ha

zard

and R

isk M

anag

emen

t Sys

temTh

e stan

dard

shall

requ

ire th

at the

orga

nisati

on ha

ve in

plac

e a H

azar

d and

Risk

Man

agem

ent s

ystem

inclu

ding p

re-re

quisi

te pr

ogra

mmes

. Th

is ma

y be a

HAC

CP ba

sed s

ystem

or an

other

Haz

ard a

nd R

isk M

anag

emen

t sys

tem th

at co

vers

the C

odex

Alim

entar

ius H

ACCP

pr

incipl

es.


PART IV

SECTION 4CERTIFICATION OF MULTI-SITE ORGANISATIONS BASED ON SAMPLING

4.1 General The GFSI Guidance Working Group undertook a review of the scopes of recognition, and it has been agreed that only the following scopes of recognition shall be considered for certification of multi-site organizations , based on a sampling of the sites.These scopes are listed in the following table.

GFSI Scope Category Name Comments

AI Farming of Animals for Meat/ Milk/ Eggs/ Honey To be agreed

AII Farming of Fish and Seafood To be agreed

BI Farming of Plants (other than grains and pulses) Agreed

BII Farming of Grains and Pulses Agreed

D Pre-process handling of plant products, nuts and grain Dependent upon process risk

G Catering To be agreed

H Retail / Wholesale To be agreed

I Provision of Food Safety Services To be agreed

J Provision of Storage and Distribution Services Agreed

It must be stressed that certification of multi-site organizations based on sampling is not compulsory for a scheme owner within these scopes of recognition and a scheme owner may opt for single site certification only. However where a scheme owner permits the use of certification of multi-site organizations based on sampling, then the requirements defined in the sector specific sections below shall be in place.Each sector-specific Working Group shall develop the requirements for certification of multi-site organizations based on sampling as part of their mandate from the GFSI Board, and these shall be incorporated in future versions of the GFSI Guidance Document.

4.2 Scope of Recognition BI (Farming of Grains and Pulses) and BII (Farming of Plants [other than grains and pulses])The scheme owner shall clearly specify the conditions for single or multi-site sampling within their normative documents and may accept both forms of certification. However, where certification of multi-site organisations is accepted, the requirements shall be clearly defined and the following criteria shall be in place in relation to the certification of a multi-site organisation under one certificate (more than one site is named on one certificate):


PART IV

1. The organisation shall request multi-site sampling in their application to the certification body.2. The organisation’s central controlling organisation or central function shall be contracted to the certification body and not individual sites. The organisation’s central controlling organisation or central function shall be part of the organisation’s certification programme.3. All sites shall be located within one country. 4. All sites must be operated under the same food safety management system and under the control of a central controlling organisation or central function, which has a legal or contractual link to the sites. 5. The central controlling organisation or central function shall have in place sufficient management and technical capacity to implement and maintain the internal audit programme.6. The central controlling organisation or central function shall have authoritative control of the food safety management system of all sites and shall issue, maintain and retain all relevant documents relating to the sites within the sampling programme.7. The central controlling organisation or central function shall be subject to management review in accordance with scheme requirements and shall be itself be subject to internal audit in accordance with scheme requirements. 8. The central controlling organisation or central function shall be audited by the certification body at least annually and before the certification body undertakes the auditing of sample sites. 9. All sites within a multi-site sampling programme shall have the same risk profile (e.g. product, size of site, shift patterns, management structure and staff numbers). Therefore, it is recognised that an organization could have several multi-site sampling programmes based on different risk profile, but these programmes shall be clearly defined and documented.10. There must be an internal audit programme for all sites undertaken by the central controlling organisation or central function, which is based on risk profile. Within the internal audit sampling programme all sites shall be audited at least annually. The internal audit programme shall have documented procedures and be both practical and feasible in operative terms.11. The certification body audit sampling programme shall be reviewed and undertaken annually against defined sample size. 12. The sampling size of the certification body audit sampling programme shall be the square root of the number of sites (rounded to the upper whole number) in accordance with principles defined in IAF MD1:2007 and the sample size shall meet the requirements defined in the table below:

No of Sites Sample Size No of Sites Sample Size

20-25 5 251-500 23

26-50 8 501-1000 32

51-100 10 Over 1000 Calculated

101-250 16

The programme shall be partly selective and partly non-selective, but at least 25% of the sample shall be randomly selected from the total number of sites. In relation to the selected sites, these shall be identified by reference to the organisation’s internal audit programme findings and the individual site risk profiles (e.g. product,size of site, shift patterns, management structure, complaints, site modification, management changes and staff numbers).


PART IV

In the event that non conformities are found when auditing sites, which may not jeopardise certification but may raise concerns on conformity of the multi-site organisation, the certification body shall increase the sampling size to ensure adequate confidence in the conformity of the supplier. 13. Non conformities shall be assessed by the certification body to ascertain if these indicate an overall food safety system deficiency and therefore may be applicable to all or other sites. If non conformities relate to all or other sites, corrective action shall be undertaken and verified both by the central controlling organisation or central function and by the certification body.14. If the central controlling organisation, central function or any site fails to meet the certification scheme requirements, then the whole multi-site organisation will fail to gain certification. Where certification has previously been in place, this shall initiate the certification body’s process to suspend or withdraw its certification.

4.3 Scope of Recognition J (Provision of Storage and Distribution Services)Characteristics of the tiers/areas in the Storage and Distribution sector where multi-site certification is applicable

The GFSI Working Group for the Key elements for Storage and Distribution recognised that in the Storage and Distribution sector there is often a hierarchical operational structure within individual organisations, leading to the development of a system or network of satellite sites, which differ in relation to size and function. The Working Group also recognized that given the variability in number, size and complexity of the operations in these satellite sites, a multi-site certification based approach would not only be practical but desirable. For simplification purposes, a typical Storage and Distribution organisational structure has been divided into ‘tiers’ that represent the size and function of the sites.

Tier 1 Site

Tier 2 Site Tier 2 Site Tier 2 Site Tier 2 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

Tier 3 Site

SINGLE SITE CERTIFICATION

MULTI-SITE CERTIFICATION

MULTI-SITE CERTIFICATION

These are typically:Tier 1 (T1): Main/ National/ Regional Distribution Centres or Central Warehouses [No multi-site sampling option available]

Tier 2 (T2) and Tier (T3): Satellite Warehouse, Distribution Hub, Cross Docking site multi-site sampling option available]


PART IV

A scheme shall certify each Tier 1 facility site of company’s distribution and/or warehouse operations with each T-1 site having its own single certificate. However, a multi-site approach may be used to include all T2 or below (e.g. T3) satellite sites linked to the T-1 organizations’ certification. NOTE: All sites within the same multi-site sampling programme shall be operating under the same storage conditions (e.g. ambient stable, refrigerated, frozen or combinations of these) and have the same risk profile. Therefore, it is recognised that an organization could have several multi-site sampling programmes based on different process and risk profile, but these programmes shall be clearly defined and documented (reference point 9 below).

The scheme owner shall clearly specify the conditions for single or multi-site sampling within their normative documents and may accept both forms of certification, below Tier 1 sites. However, where certification of multi- site organisations is accepted, the requirements shall be clearly defined and the following criteria shall be in place in relation to the certification of a multi-site organisation under one certificate (more than one site is named on one certificate):1. The organisation shall request multi-site sampling in their application to the certification body.2. The organisation’s central controlling organisation or central function shall be contracted to the certification body and not individual sites. The organisation’s central controlling organisation or central function shall be part of the organisation’s certification programme.3. All sites shall be located within one country. 4. All sites must be operated under the same food safety management system and under the control of a central controlling organisation or central function, which has a legal or contractual link to the sites. 5. The central controlling organisation or central function shall have in place sufficient management and technical capacity to implement and maintain the internal audit programme.6. The central controlling organisation or central function shall have authoritative control of the food safety management system of all sites and shall issue, maintain and retain all relevant documents relating to the sites within the sampling programme.7. The central controlling organisation or central function shall be subject to management review in accordance with scheme requirements and shall be itself be subject to internal audit in accordance with scheme requirements. 8. The central controlling organisation or central function shall be audited by the certification body at least annually and before the certification body undertakes the auditing of sample sites. 9. All sites within a multi-site sampling programme shall be operating under the same storage conditions (e.g. ambient stable, refrigerated, frozen or combinations of these) and have the same risk profile (e.g. size of site, shift patterns, management structure and staff numbers). Therefore, it is recognised that an organization could have several multi-site sampling programmes based on different process and risk profile, but these programmes shall be clearly defined and documented.10. There must be an internal audit programme for all sites undertaken by the central controlling organisation or central function, which is based on storage condition and risk profile. Within the internal audit sampling programme all sites shall be audited at least annually. The internal audit programme shall have documented procedures and be both practical and feasible in operative terms.11. The certification body audit sampling programme shall be reviewed and undertaken annually against defined sample size. Within a multi-site sampling programme there shall be a minimum of 20 sites.12. The sampling size of the certification body audit sampling programme shall be the square root of the number of sites (rounded to the upper whole number) in accordance with principles defined in IAF MD1:2007 and the sample size shall meet the requirements defined in the table below:


PART IV

No of Sites Sample Size No of Sites Sample Size

20-25 5 251-500 23

26-50 8 501-1000 32

51-100 10 Over 1000 Calculated

101-250 16

The programme shall be partly selective and partly non-selective, but at least 25% of the sample shall be randomly selected from the total number of sites. In relation to the selected sites, these shall be identified by reference to the organisation’s internal audit programme findings and the individual site risk profiles (e.g. size of site, shift patterns, management structure, complaints, site modification, management changes and staff numbers). In the event that non conformities are found when auditing sites, which may not jeopardise certification but may raise concerns on conformity of the multi-site organisation, the certification body shall increase the sampling size to ensure adequate confidence in the conformity of the supplier. 13. Non conformities shall be assessed by the certification body to ascertain if these indicate an overall food safety system deficiency and therefore may be applicable to all or other sites. If non conformities relate to all or other sites, corrective action shall be undertaken and verified both by the central controlling organisation or central function and by the certification body.

14. If the central controlling organisation, central function or any site fails to meet the certification scheme requirements, then the whole multi-site organisation will fail to gain certification. Where certification has previously been in place, this shall initiate the certification body’s process to suspend or withdraw its certification.

The differing tiers within the Storage and Distribution sector are defined as follows;Tier 1 (T1) facility: Main/ National/ Regional Distribution Centres or Central Warehouses: Food or Feed Distribution or Storage facilities at a single site or location and operating under one food safety management system. T1 facilities can have T 2 facilities and/or sites (T3) managed by the organization seeking the certification [each site must have a certificate, no multi-site sampling option available].Tier 2 (T2) or Tier 3 (T3) Site: Satellite Warehouse or Distribution Hub, Cross Docking site [muti-site sampling option available]: Food or Feed Distribution or Storage facilities at a single site or location and operating under one food safety management system. These sites are always linked to a larger T1 Distribution Centre, Storage Warehouse or organization with multiple T1 facilities or in the case of a T3 site via a T2 site. T2 sites and T3 sites are always managed and under the direct control of a T1 facility or an organization with multiple T1 facilities seeking certification [multi-site sampling option available].

PART V

Version 6.4

Sixth Edition / Version 6.4 / November 2015165GFSI Guidance Document - Part V

PART V

Terms and DefinitionsFor the purposes of this document, the following terms and definitions shall apply:

Term Definition

AccreditationA process by which an authoritative body gives formal recognition of the competence of a certification body to provide certification services against an international standard.

Accreditation BodyAn agency having jurisdiction to formally recognise the competence of a certification body to provide certification services.

AppealA request by a scheme owner for reconsideration of a decision made by the GFSI Board, GFSI employee or person contracted to GFSI.

ApplicationA document confirming a scheme owner’s intention to seek recognition by the GFSI for a scope of recognition.

Assessment MatrixA document issued by GFSI used by the GFSI Benchmark Committee Leader and the Benchmarking Committee to document information during the benchmarking process.

Audit

A 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 supplier’s manual and related procedures, together with an evaluation of the production facilities.

Auditor A person qualified to carry out audits for or on behalf of a certification body.

BenchmarkA process by which a food safety scheme and food safety related schemes are compared to the GFSI Guidance Document to determine equivalence.

Benchmark CommitteeA team of registered technical experts who have been appointed by GFSI to undertake the benchmarking process of a specific food safety scheme.

Benchmark Committee MemberA person who has the required qualifications and experience and has undergone selection for the membership of a Benchmark Committee.

CateringThe preparation and provision of food, which is consumed outside the home, within a defined premises.

Central Controlling OrganisationAn organisation which is employed by or is subsidiary of a larger organisation and has the responsibility to plan, control and manage the organisation’s food safety management system.

Central FunctionAn identified central department (but not necessarily the headquarters of the organisation) which has the responsibility to plan, control and manage the organisation’s food safety management system.

CertificationA process by which accredited certification bodies, based on an audit, provide written assurance that food safety requirements and management systems and their implementation conform to requirements.

Certification BodyA provider of certification services, accredited to do so by an Accreditation Body.

Certification DecisionThe granting, continuing , expanding the scope of, reducing thescope of, suspending, restoring , withdrawing or refusing ofcertification by a Certification Body.

Committed userA person or organisation from within the retail/food service or producing/manufacturing sectors that uses, or is going to use a scheme named in the application for GFSI recognition.

CompetenceThe demonstrated ability to apply knowledge and skills to achieve intended results.

ComplaintA legal document that is an expression of displeasure or dissatisfaction, but is not an appeal.

Complainant A person, organisation or its representative making a complaint.


PART V

Conformance Statement A document issued by GFSI to confirm recognition of a scheme.

Conformity Assessment BodyAn organisation that performs assessment services and that can be the object of accreditation.

Consensus

General agreement, characterised by the absence of sustained opposition to substantial issues by any important concerned party and by a process that involves seeking to take into account the views of all parties concerned and to reconcile any conflicting arguments. Consensus need not imply unanimity.

Conflict of Interest

Where either a Certification Body or an individual is in a position of trust requiring them to exercise judgement on behalf of others and also have interests or obligations (whether financial or otherwise) of the sort that might interfere with the exercise of that judgment.

Conforming schemeA food safety scheme that has successfully completed the GFSI Benchmark Process.

ConsumerA person who is a member of the public, takes possession of food, is not functioning in the capacity of an operator of a food establishment or food processing plant, and does not offer the food for resale.

Corrective ActionAn action to eliminate the cause of a detected non conformity or other undesirable matters.

DistributionThe movement of products or raw materials through a mode of transport from one location to another. The modes of transportation can include air, rail, road and/or water.

EquipmentAn article that is used in the operation of a food or feed establishment which is used to convey or process food or feed

Equivalence A condition of being similar or identical or essentially equal.

EvaluationAn examination of production facilities or services in order to verify that they conform to requirements.

Expert A person appointed by GFSI who has demonstrable specific knowledge and expertise with respect to food safety or management systems.

FabricationThe process and materials used in the construction and up keep of the site or facility

FacilityA building or structure that provides a particular service or is used by a supplier for the manufacturing, packaging, labelling or storage of raw materials, ingredients or food or feed

FeedAny substance or product, including additives, whether processed, partially processed or unprocessed, intended to be used for oral feeding to animals.

Feed safetyA concept that feed will not cause harm to animals or adversely affect human health when utilised according to its intended purpose

Food

Any substance or product, whether processed, partially processed or unprocessed, intended to be, or reasonably expected to be, ingested by humans. ‘Food’ includes drink, chewing gum and any substance, including water, intentionally incorporated into the food during its manufacture, preparation or treatment and live animals which are offered to the customer or consumer and intended for preparation and consumption by the consumer.

Food contact surfaces

Those surfaces that contact human food and those surfaces from which drainage onto the food or onto surfaces that contact the food ordinarily occurs during the normal course of operations and include utensils and food-contact surfaces of equipment.

Food defenceThe process to ensure the security of food and drink and their supply chains from all forms of intentional malicious attack including ideologically motivated attack leading to contamination or supply failure.

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

Term Definition


PART V

Food safety scheme

A systematic plan which has been developed, implemented and maintained for the scope of food safety.This shall consist of a standard and food safety system in relation to specified processes or a food safety service to which the same particular plan applies. The food safety scheme should contain at least the following items:

► a standard ► clearly defined scope ► a food safety system

Food Safety StandardA series of defined requirements developed to ensure the safety of food when effectively implemented.

Food Safety SystemA series of defined rules, policies and procedures which are intended to ensure the safe supply of food and protect public health.

Food Supply ChainA defined sequence of activities in relation to the provision of food and feed from primary production to consumption. In relation to GFSI this involves activities associated with the Food and Feed Industries.

GFSI AssessorA person, appointed by the GFSI, who is assigned to perform alone or as part of a team, the assessment of compliance of a scheme with the requirements of the GFSI Guidance Document in relation to a complaint or appeal.

GFSI Benchmark Committee Leader

A person, appointed by GFSI, who is assigned to manage the benchmarking process for a specific scheme application. The person shall have overall responsibility for the benchmarking activities for a specific scheme application.

HACCP

Hazard Analysis and Critical Control PointA system which identifies, evaluates, controls and monitors hazards relating to food safety and specified by Codex Alimentarius or the National Advisory Committee on Microbiological Criteria for Foods.

HACCP based systemA written document that delineates the procedures for following the Hazard Analysis Critical Control Point principles specified by Codex Alimentarius or The National Advisory Committee on Microbiological Criteria for Foods.

Impartiality The actual and perceived presence of objectivity.

Ingredient A component of a food, feed or packaging that has undergone processing

Incident Management

A process of identifying and managing any event where, based on the information available, there are concerns about threats to the food safety of product that could require intervention to protect consumers interests, such as Isolation and removal from the supply chain.

Legal Entity Any entity recognized by the law, including both juristic and natural persons.

MonitoringA planned sequence of observations or measurements to assess compliance with requirements.

Multi-site Certification

Certification covering multi-site organisations including several sites (when applying the square root rule) and where sampling of these sites may be used by a certification body in its conformity assessment work. The scope of certification covers the actual products and processes as defined in the normative documents describing the scheme in question. Every site covered by this certification is mentioned on the main certificate documentation and every site is entitled to get its own sub-certificate.

Multi-site Organisation

An organisation having an identified central function ( a central office, but not necessarily the headquarters of the organisation) at which certain activities are planned, controlled and managed and a network of local offices or branches or sites at which such activities are fully or partially carried out.

Non-conformity

A 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.

Term Definition


PART V

Normative DocumentsReferenced documents which are indispensable for the correct application of a scheme.

OrganisationA group of people or other legal entity (ies) that is responsible for ensuring that products meet and, if applicable, continue to meet the requirements on which the certification is based.

OutsourcingA firm, company or individual carrying out a process on products or service on the behalf of the site audited.

PerishableA food that requires a refrigeration temperature between 5° C (41° F) and 0° C (32° F) to retain its safety and wholesomeness.

Primary Production

Those steps in the food chain up to and including, for example, harvesting, slaughter, milking, fishing, production of agricultural plant/tree crops and agricultural animal livestock. The resulting food products are similar to their natural state, but may have been packed, washed, trimmed (not cut into pieces), or otherwise undergone any process not defined under the definition of ‘processed food’.

Process A set of interrelated or interacting activities which result in an outcome.

Processed food

Food product, which has undergone any of the following processes changing the nature of the food:

► Aseptic filling ► Hot Filling► Baking ► Irradiation► Bottling ► Microfiltration► Brewing ► Microwaving► Canning ► Milling► Coating/Breading/Battering ► Mixing/Blending► Cooking ► Packed in Modified Atmosphere► Curing ► Pack in Vacuum Packing► Cutting/Slicing/Dicing ► Pasteurisation► Dismembering ► Pickling► Distillation ► Purification► Drying ► Roasting► Extrusion ► Salting► Fermentation ► Slaughtering► Freeze Drying ► Smoking► Freezing ► Steaming Sterilisation► Frying ► Quick Freezing

Product A result of a process.

Product CategoriesA grouping of products which have a like origin or processing technology involved in the production of the product.

Product re-work (feed only) The process of re-utilisation of feed, ingredients, or raw materials.

Product re-work (packaging manufacture only)

The process of changing physical properties of, or to sort packaging materials to ensure the said item meets customer requirements.

Product RecallThe removal by a supplier of product from the supply chain that has been deemed to be unsafe and has been sold to the end consumer, or is with retailers or caterers and is available for sale.

Product WithdrawalThe removal by a supplier from the supply chain that has been deemed to be unsafe, which has not been placed on the market for purchase by the end consumer.

Raw material A component of a food, feed or packaging that has not undergone processing

Term Definition


PART V

Term Definition

Re-benchmarkingThe process of benchmarking a scheme that was previously recognised by the GFSI and that is seeking renewed recognition.

Recycled materials (packaging manufacture only)

Materials that have been used to manufacture an item and are being re-structured or re-made so that the material can be processed into a new product.

RetailThe sale of food to the consumer, which is not consumed within defined premises.

Register of Benchmark Committee Members

A document containing the names of experts selected by GFSI, who may carry out benchmarking activities on their behalf.

ReviewThe systematic, documented process undertaken by GFSI to assess the compliance of a scheme against the requirements of the GFSI Guidance Document.

Risk Based ProgrammeA documented programme developed by a competent person(s) based on risk assessment principles.

Risk ProfileThe result of the process of risk evaluation which has been undertaken by a competent authority, who has considered all appropriate criteria

Safe food Food which not injurious to health or unfit for human consumption’

Sampling programmeA programme of site audits defined by the scheme owner, but will be determined by the certification body based upon specified criteria

SchemeA documented food safety scheme, which has specified requirements, specific rules and procedures.

Scheme OwnerAn organisation, which is responsible for the development, management and maintenance of a scheme.

Scope extensionThe process undertaken by GFSI to assess an application for an additional scope of recognition by a scheme owner that has current recognition.

Scope of RecognitionA specific sector of the food or feed industry, or the provision of related food safety services, defined by GFSI, for which a scheme is seeking recognition.

ServiceA result of at least one activity performed at the interface between a supplier and a customer.

Senior managementA person or persons who have the authority and accountability to develop, implement or amend organisational policies and procedures

Site A permanent location where an organisation carries out work or activity’

Standard

A normative document and other defined normative documents, established by consensus and approved by a body that provide, for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context.

StorageThe holding of product or raw materials at a specific location under defined conditions.

SubcontractingA firm, company or individual carrying out a process on products on the behalf of the site audited.

Supplier An organisation supplying food, feed or a service.

Surveillance Follow‐up audit(s) to assess compliance with the specific requirements of a scheme’s standard and to verify the validity of an issued certificate.

Suspension The process by which a scheme is temporarily not recognised by GFSI.

Transport containersVessel in which the product or raw materials is being placed or held during storage and distribution.

Unfit for human consumptionFood which is unacceptable for human consumption, according to its intended use, for reasons of contamination, whether by extraneous matter or otherwise, or through putrefaction, deterioration or decay’

Unscheduled supplier auditAudits planned within a defined programme, but without the allocation of a specified programme date.


PART V

Validation An activity to obtain evidence that a requirement is controlled effectively.

VehicleAny device used for the conveyance of raw material, ingredients, food, feed or packaging that is capable of being moved upon roadways, railways, waterways or airways. Vehicles can be motorised or non- motorised

VerificationA confirmation, through the review of objective evidence that requirements have been fulfilled.

WholesaleThe sale of food to retailers, to industrial, commercial, institutional, or other professional business users, or to other wholesalers and related subordinated services.

Withdrawal The process by which a scheme has its recognition by GFSI removed.

Version 6.4GFSI Guidance Document Sixth Edition