The BRC Global Standard for Food Safety

This book will offer companies in the food industry a comprehensive guide to preparing for a British Retail Consortium Standard evaluation (Issue 6). It will enable them to ensure that the correct systems are in place to achieve the Standard, and also that they present themselves in the best possible light during the audit process. It will also recommend the correct steps to take following evaluation and how to correct non-conformities. The book will be of interest not only to suppliers who are seeking certification for the first time but also to those already in the scheme, and are seeking to improve their grades.

About the Online Training Resources xi Cast of Characters xiii Abbreviations xv Acknowledgements xvii Introduction to Second Edition xix Introduction to First Edition xxi Part One Before the Audit 1 Chapter 1 The Changes: Issue 5 to Issue 6 3 Reasons for Change 3 Two-Part Auditing: Increased Focus on GMP 4 Vertical Audits 4 Unannounced Audits 4 Enrolment Programme 4 High Care and High Risk 5 New Report Format 5 Other Protocol Changes 5 Changes to Requirements 6 Chapter 2 Keys to Success 7 Success 7 Failure 8 Embrace the Standard 8 Preparation 9 Documented Procedures and Records 9 Evidence 10 Track Record 10 Team Building 10 Internal Audit 11 See Yourselves as Others See You 11 Summary 12 Chapter 3 Some Background 13 What is a Certification Body? 13 Accreditation and Competency 13 A CB’s Contract with the BRC 15 Consistency 15 Summary 18 Chapter 4 Familiarity with the Standard: Part 1 – Structure and Concepts 19 Why Choose the Global Standard for Food Safety? 19 Global Food Safety Initiative 20 Issue 6 20 The Structure of the Standard 20 Section I 20 Section II: The Requirements 21 Recurring Themes 25 Section III: The Audit Protocol 29 Section IV: The Appendices and the Glossary 29 The BRC Guideline Series and Other Support Information 30 Summary 30 Chapter 5 Familiarity with the Standard: Part 2 – The Protocol 31 Paragraph 1: Introduction 31 Paragraph 2: Self-Assessment of Compliance with the Standard 32 Paragraph 3: Selection of an Audit Option 32 Paragraph 4: Selection of a CB 37 Paragraph 5: Company/CB Contractual Arrangements 37 Paragraph 6: Scope of Audit 38 What About ‘Factored Goods’? 38 Paragraph 7.1: Audit Planning 38 Paragraph 7.2: Information to be Provided to the CB for Audit Preparation 38 Paragraph 7.3: Duration of the Audit 39 Paragraph 8: The On-Site Audit 39 Paragraph 9: Nonconformities and Corrective Action 39 Summary 43 Chapter 6 Familiarity with the Standard: Part 3 – Section IV and the Appendices 45 Section IV: Management and Governance of the Scheme 45 The Appendices 45 Summary 50 Chapter 7 Final Steps to the Audit 51 Choosing a Certification Body 51 The Application Form and Contract 53 Agreeing the Scope 54 Registering with the BRC 57 Fixing a Date 57 Key Staff 58 Availability of Records and Other Evidence 58 Pre-Audits 59 Facilities for the Auditor 60 Summary 60 Chapter 8 The Global Standards Website and Directory 63 The BRC Global Standards Website 63 The Directory 66 Summary 68 Chapter 9 Training for the Standard 69 Official BRC Courses 69 Approved Training Providers 71 Other Training Requirements 71 Finding the Right Course for You 71 Summary 73 Part Two The Audit 75 Chapter 10 How to Survive the Audit 77 The Format of the Audit 77 Keeping the Auditor Safe 81 Preventing Interruptions 82 Letting the Auditor Lead the Audit 82 Listening to the Question 82 Knowing When to be Quiet 83 Being Positive and Co-operative 84 Consultants 84 Remembering the Obvious 84 Correcting Nonconformities During the Audit 85 May We Offer the Auditor a Gift? 85 Summary 85 Chapter 11 Clause 1: Senior Management Commitment 87 Clause 1.1: Senior Management Commitment and Continual Improvement (Fundamental) 87 Clause 1.2: Organisational Structure, Responsibilities and Management Authority 96 Summary 99 Chapter 12 Clause 2: Food Safety Plan – HACCP 101 Clause 2.0: Food Safety Plan – HACCP (Fundamental) 101 Codex Alimentarius 103 Other Aspects 103 Clause 2.1 103 Clause 2.2 106 Clause 2.3 107 Clause 2.4 109 Clause 2.5 110 Clause 2.6 111 Clause 2.7 112 Clause 2.8 116 Clause 2.9 118 Clause 2.10 121 Clause 2.11 123 Clause 2.12 124 Clause 2.13 125 Clause 2.14 126 Summary 127 Chapter 13 Clause 3: Food Safety and Quality Management System 129 Clause 3.1: Food Safety and Quality Manual 129 Clause 3.2: Documentation Control 132 Clause 3.3: Record Completion and Maintenance 135 Clause 3.4: Internal Audit (Fundamental) 137 Summary of Internal Audit 144 Clause 3.5: Supplier and Raw Material Approval and Performance Monitoring 145 Clause 3.6: Specifications 152 Clause 3.7: Corrective Action (Fundamental) 155 Clause 3.8: Control of Nonconforming Product 157 Clause 3.9: Traceability (Fundamental) 159 Clause 3.10: Complaint Handling 165 Clause 3.11: Management of Incidents, Product Withdrawal and Product Recall 167 Summary 172 Chapter 14 Clause 4: Site Standards 173 Production Risk Zones 173 Clause 4.1: External Standards 174 Clause 4.2: Security 177 Clause 4.3: Layout, Product Flow and Segregation (Fundamental) 179 Clause 4.4: Building Fabric – Raw Material Handling, Preparation, Processing, Packing and Storage Areas 185 Clause 4.5: Utilities – Water, Ice, Air and Other Gases 196 Clause 4.6: Equipment 198 Clause 4.7: Maintenance 200 Clause 4.8: Staff Facilities 206 Clause 4.9: Physical and Chemical Product Contamination Control – Raw Material Handling, Preparation, Processing, Packing and Storage Areas 215 Clause 4.10: Foreign Body Detection and Removal Equipment 225 Clause 4.11: Housekeeping and Hygiene (Fundamental) 235 Clause 4.12: Waste/Waste Disposal 241 Clause 4.13: Pest Control 244 Clause 4.14: Storage Facilities 253 Clause 4.15: Dispatch and Transport 257 Summary 262 Chapter 15 Clause 5: Product Control 263 Clause 5.2: Management of Allergens (Fundamental) 263 Clause 5.1: Product Design/Development 271 Clause 5.3: Provenance, Assured Status and Claims of Identity Preserved Materials 275 Clause 5.4: Product Packaging 276 Clause 5.5: Product Inspection and Laboratory Testing 278 Clause 5.6: Product Release 284 Summary 285 Chapter 16 Clause 6: Process Control 287 Clause 6.1: Control of Operations (Fundamental) 287 Clause 6.2: Quantity – Weight, Volume and Number Control 292 Clause 6.3: Calibration and Control of Measuring and Monitoring Devices 295 Summary 300 Chapter 17 Clause 7: Personnel 301 Clause 7.1: Training – Raw Material Handling, Preparation, Processing, Packing and Storage Areas (Fundamental) 301 Clause 7.2: Personal Hygiene – Raw Material Handling, Preparation, Processing, Packing and Storage Areas 306 Clause 7.3: Medical Screening 311 Clause 7.4: Protective Clothing – Employees or Visitors to Production Areas 313 Summary 319 Part Three After the Audit 321 Chapter 18 From Audit to Certification 323 Paragraph 9.2: Procedures for Handling Nonconformities and Corrective Action 323 Paragraph 10: Grading of the Audit 326 Paragraph 11: Audit Reporting 327 Paragraph 12: Certification 327 Summary 328 Chapter 19 Correcting Nonconformities 329 Documentary Evidence 329 Stating the Corrective Action 330 Conclusion 346 The Nature of the Evidence 346 Corrective Actions: Follow Up 347 Ways of Sending Evidence 348 Other Ways of Helping the CB 349 Returning to Your Site 349 Root Cause 350 Enrolment Programme 352 Summary 352 Chapter 20 Certification and What Happens Next 353 Success! 353 Paragraph 13: BRC Logos and Plaques 355 Paragraph 14: The BRC Global Standards Directory 355 Paragraph 15: Surveillance of Certificated Companies 355 Paragraph 16: Ongoing Audit Frequency and Certification 355 Paragraph 17: Communication with CBs 356 Paragraph 18: Appeals 357 Other Matters 357 Summary 358 References 359 Useful Websites 360 Appendices 361 Appendix 1 Answers to Quizzes and Exercise 363 Appendix 2 Where Did Issue 5 Go? 367 Appendix 3 New Clauses for Issue 6 375 Appendix 4 Changes to Product Categories from Issue 5 to Issue 6 377 Index 379