BR C Standard Issue 5

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The Global Standard for Food Safety will be available from late
February 2008 in the above languages. The translated editions
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order:
will be available in print as well as PDFformat. Order your printed

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LO
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FOR FOOD SAFETY
January 2008
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and express opinions in good faith, but accept no liability for any error or omission in any such
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or opinion contained in this document.
Whilst the BRC have endeavoured to ensure that the information

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in this publication
is accurate, they shall not be liable for any
limitation damages for pure economic loss or loss of business or loss of profits or depletion of
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Copyright
2007
All rights reserved. No part of this publication
may be transmitted
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or reproduced in any form (including
should be addressed to the Director of Global Standards at the British Retail Consortium,
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website: www.brcglobalstandards.com
The Standard consists of the following sections:

Section I
Provides a background to, and details the format of, the Standard.
Section II
Details the requirements of the Standard with which a company must comply in order to gain
certification.
Section 1\1
Provides information on the selection of a certification body, and details of the process for gaining a
certificate.
Section IV
Describes the BRC Global Standards Directory, the information contained within it and the parties to
whom this is accessible.
1 Introduction
1.1
Background
1.2
The Scope of the Global Standard for Food Safety
1.3
Food Safety Legislation
1.4
Benefits of the Global Standard for Food Safety
1.5
The Certification
1.6
Technical Governance of the Global Standard for Food Safety
1.7
BRC Logos and Plaques
1.8
Effective Date of Issue 5
1.9
Acknowledgments:
Process
'A Thank You' from the BRC
2 The Food Safety Management
System
2.1
Principles of the Global Standard for Food Safety
2.2
The Format of the Global Standard for Food Safety
How to Gain Certification

Introduction
2
Self Assessment of Compliance with the Standard
Selection of a Certification Body
Company/Certification
Body Contractual Arrangements
4.1
Scope of Audit
4.2
Extension to Scope
4.3
Auditor Selection
Audit Preparation by the Company
Duration of the Audit
The On-site Audit
8.2
Procedures for Handling Non-conformities
and Corrective Action
Further Action
Grading of the Audit
10.1 Certification
10.2 Appeals
Audit Reporting
Ongoing Audit Frequency and Certification
12.1 Certificate Expiry - Justifiable Circumstances
12.2 Seasonal Products
Optional Unannounced Audits
Communication
Certification
with Certification
Bodies
Body Performance Monitoring
15.1 Feedback
15.2 Complaints
The BRC Global Standards Directory

Introduction
Benefits of the Directory to Companies
Directory Functionality
Appendices
Appendix
The Global Standard for Food Safety and its

Relationship with Other BRC Global Standards
Qualifications,
Training and Experience Requirements
for Auditors
Appendix 3
Appendix 4
Product Categories
Summary of Grading Criteria, Action Required and
Audit Frequency
Appendix 5
Certificate Template
Appendix 6
Certificate Validity, Audit Frequency and Planning
Appendix 7
Glossary
Appendix 8
Acknowledgements
Introduction
Welcome to the fifth issue of the Global Standard for Food Safety. Originally published by the British
Retail Consortium (BRC) in 1998 for food producers supplying Own Brand goods into the UK Retail
Market, the Standard has been updated at regular intervals to reflect the latest thinking in food safety,
and has now attained usage worldwide as a framework for any businessto assistthe production of safe
food. In response to demand the Global Standard for Food Safety has been translated into many
languages to facilitate implementation by food businessesacrossthe world. The fifth issue has been
developed with advice and input from international stakeholders.
The Global Standard for Food Safety has been developed to specify the safety, quality and operational
criteria required to be in place within a food manufacturing organisation to fulfil obligations with regard
to legal compliance and protection of the consumer. The format and content of the Standard isdesigned
to allow an assessment of a company's premises, operational systems and procedures by a competent
third party - the certification body - against the requirements of the Standard.
1.2
The Scope of the Global Standard for Food Safety

The Global Standard for Food Safety sets out the requirements for the manufacture of processed foods
and the preparation of primary products supplied as retailer branded products, branded food products
and food or ingredients for use by food servicecompanies, catering companies and food manufacturers.
Certification will apply to products that have been manufactured or prepared at the site where the audit
has taken place and will include storage facilities that are under the direct control of the production-site
management.
Companies whose primary operation isthe processingof product or the preparation of primary products
may have factored goods (refer to glossary) included in the scope of the certification, where they can
demonstrate that appropriate controls are in place and the scope specifically excludes the processing or
preparation of these products. Certificates shall clearly identify that these factored goods are included.
The Standard shall not apply to activities relating to wholesale, importation, distribution or storage outside
the direct control of the company. The BRChas developed a range of Global Standardswhich set out the
requirements for the wide range of activities undertaken in the production, packaging, storage and
distribution of food. Appendix 1 provides further detail of the scopes of, and relationship between, the
current Global Standards.
1.3
Food Safety Legislation

Legislation covering food safety differs in detail worldwide, but generally requires food businesses:
to ensure the presence of a detailed specification which is lawful and consistent with compositional
and safety standards and good manufacturing practice
to ensure they satisfy themselves that their suppliers are competent to produce the specified
product, comply with legal requirements and operate appropriate systems of processcontrol
from time to time to make visits, where practical, to verify the competence of their suppliers or
receive the result of any other audit of the supplier's sy~temfor that purpose
to establish and maintain a risk-assessedprogramme for product examination, testing or analysis
The Global Standard for Feod Safety has been. developed to assist businesses to meet these
requirements, and !herefore assistcompanies to comply with relevant food safety legislation.
There are a number of benefits to food businessesarising from the adoption of the Standard. The
Standard:
provides a single standard and protocol that allows an accredited audit by third party certification
bodies
provides a single audit commissioned by the company, in line with an agreed audit frequency, that
will allow the company to report upon their status to customers and other organisations as agreed,
and can reduce time and costs
provides a measure by which food manufacturers and suppliers can demonstrate to potential'
customers a level of competence in food safety and quality systems
is comprehensive in scope, covering areasof quality, hygiene and product safety
addresses part of the legislative requirements of the food manufacturer/supplier, packer/filler,

retailer and other customers. Companies may also usethis Standard to ensure their suppliers are
following good food safety management practices
requires ongoing surveillance and confirmation of the follow up of corrective actions on nonconformity to the Standard thus ensuring that aself-improving quality and product safety system is
established.
The Global Standard for Food Safety is a processand product certification scheme. In this scheme, food
businesses are certificated upon completion of a satisfactory audit by an auditor employed by an
independent third party - the certification body. The certification body in turn shall have been assessed
and judged as competent by a national accreditation body. The process of certification and accreditation
is outlined in Figure 1.
In order for a food business to receive a valid certificate on completion of a satisfactory audit, the
organisation must select a certification body approved by the BRC. The BRC lays down detailed
requirements that a certification body must satisfy in order to gain approval.
As a minimum, the certification body must be accredited to ISO Guide 65/EN45011 by a national
accreditation body affiliated to the International Accreditation Forum. Further details are available in
Requirements for Organisations Offering Certification Against the Criteria of the BRC Global Standards available from the BRC.
Figure 1
International
Accreditation
Forum & Regional
Accreditation
Forums
Supporting
Docu mentation
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ISO/lEG
General
f,l
17011
requirements
for accredition
bodies
IAF Guideline on the

Application of
ISO/lEG Guide 65:1966
EN 45011
BRG Guidelines
National
Accreditation Body
Accreditation
for
Bodies
Assessing Gertification
Bodies for BRG Global,.
Standards
ISO/lEG
Guide 65:1996
EN 45011
Requirements for
Organisations Offering
Certification Against the
Criteria of the 8RC Global
Standards
BRG Global Standards

Website
www.brcglobalstandards.com
BRG Directory
www.brcdirectortcom
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Tile BRC recognises that in certain circumstances, such as certification bodies wishing to commence
auditing against the Giobal Standard Tor Food Safety,the certification body must be able to conduct
audits as par: of achieving accreditation. Thiswill be permitted where the organisation can demonstrate:
II an active application for accreditation against ISOGuide 65/EN45011 from an approved national
accreditation body
that accreditation will be achieved within 12 months of the date of application and the experience
and qualifications of the auditors in the relevant product category are consistent with those
specified in this document.
A list of certification bodies approved by the BRCis available on the BRC Global Standards Directory:
www.brcdirectory.com .
1.6
Technical Governance of the Global Standard for Food Safety

The BRC is committed to reviewing the Global Standard for Food Safety at a minimum frequency of at
least every three years. Issue 5 of the Standard has been developed after extensive consultation with
technical experts. These have included representatives of the key stakeholders in the Standard including
producers, retailers, trade associations, certification bodies and accreditation bodies.
The technical content and operation of the Global Standard for Food Safety is governed by the BRC
Governance and Strategy Committee consisting of senior technical representatives of international food
businesses.
~
The functions of the Governance and Strategy Committee are:
to advise on the development and management of the Standard
to ensure measures are in place to monitor compliance by companies, certification bodies and
accreditation bodies
Achieving BRC certification is something of which to be proud. Companies that achieve

certification following audit are qualified to use the BRClogo on company stationery and
other marketing materials. The BRC has also introduced a high-quality plaque that
certificated companies can purchase to display in their offices to help celebrate their
success.Information relating to the BRClogo is available at www.brcglobalstandards.com.
As with all revisions of the Global Standards, there must be recognition that a transition period is in place
between publication and full implementation. Therefore, certification against Issue 5 will commence
from 1 July 2008. There will be no recognition of certificates that are issued as a result of audits
performed against Issue4 after 30 June 2008. All certificates issued against audits carried out prior to 1
July 200S will be against Issue4 and be valid for the period specified on the certificate. In order to ensure
that the infrastructure is in place to support successfulaudits, audits against Issue 5 will not commence
until 1 July 200S. Certificates issued before this date against Issue 5 will not be recognised.
1.9
Acknowledgements: 'A Thank You' from the BRC

The BRCwishes to acknowledge all those food industryexpert; who have contributed to the preparation of
the Global Standa~dfor Food Safety Issue5. A list of those who have contributed in this review is detailed in
AppendixS.
The Food Safety Management System
2.1
Principles of the Global Standard for Food Safety

A food business must have a full understanding of the products produced, manufactured and
distributed and have systemsin place to identify and control hazardssignificant to the safety of food. The
Global Standard for Food Safety is based on two key components: senior management commitment
and HACCP (Hazard Analysis Critical Control Point - a step-by-step approach to managing food safety
risks).
2.1.1
Senior Management
Commitment
Within a food business, food safety must be seen as a cross-functional responsibility, including activities
that draw on many departments using different skills and levels of management expertise in the
organisation. Effective food safety management extends beyond technical departments and must
involve commitment from production operations, engineering, distribution management, procurement
of raw materials, customer feedback and human resource activity such astraining.
The starting point for an effective food safety plan is the commitment of senior management to the
development of an all-encompassing policy as a meansto guide the activities that collectively assurefood
safety.The Global Standard for Food Safety placesa high priority on clearevidence of senior management
commitment.
2.1.2
A HACCP-based System
The Global Standard for Food Safety requires the development of a food safety plan based on HACCP.
The development of the plan requires the input of all relevant departments and must be supported by
senior management.
2.2
The Format of the Global Standard for Food Safety

The Global Standard for Food Safety requires the development of and compliance with:
Senior Management commitment - the resourcesrequired for demonstration of commitment to

achieving the requirements of the Standard are detailed in Section II, Part 1
a HACCP plan - this provides a focus on the significant product and processfood safety hazards
that require specific control to assurethe safety of individual food products or lines as detailed in
Section II, Part 2
a Quality Management System - details of the organisational and management policies and
procedures that provide a framework by which the organisation will achieve the requirements in
this Standard as given in Section II, Part 3
Prerequisite Programmes - the basic environmental and operational conditions in a food business
that are necessaryfor the production of safe food. These control generic hazards covering Good
Manufacturing and Good Hygienic Practiceas detailed in Section II, Parts4-7.
Eachdause ofthe Globat Standard for Food Safety begins with a highlighted paragraph
in bold text, the 'statement of intent', thataU companies must comply with in order to
gain certification.
Below this 'statement of intent' are requirements in a tabular format, which together specify the criteria
against which the audit will be carried out.
Product certification depends on continued compliance and within the Standard certain requirements
have been designated as 'fundamental' requirements, which are marked with the word
'FUNDAMENTAL' immediately after the section heading and denoted with the following symbol O.
These 'fundamental' requirements relate to systemsthat are crucial to the establishment and operation
of an effective food quality and safety operation. The clauses deemed to be 'fundamental' are:
Traceability, Clause 3.9
Layout, Product Flow and Segregation, Clause 4.3.1
Housekeeping and Hygiene, Clause 4.9
Handling Requirements for Specific Materials - Materials Containing Allergens and Identity
PreservedMaterials, Clause 5.2
Control of Operations, Clause 6.1
Training, Clause 7.1.
Failure to comply with the statement of intent of a 'fundamental' clause leads to non-certification at an
initial audit or withdrawal of certification at subsequent audits. This will require a further full audit to
establish demonstrable evidence of compliance.
SECTION \I
REQUIREMENTS
Section II
Requirements
1 Senior Management
Commitment
and Continual Improvement
2 The Food Safety Plan - HACCP

3 Food Safety and Quality Management
10
11
System
18
3.1
Food Safety and Quality Policy
18
3.2
Food Safety and Quality Manual
18
3.3
Organisational Structure, Responsibilities and Management Authority
19
3.4
Contract Review and Customer Focus
19
3.5
Internal Audit
20
3.6
Purchasing - Supplier Approval and Performance Monitoring
20
3.7
General Documentation Requirements
21
3.8
Corrective and Preventive Action
23
3.9 Traceability
23
3.10
Complaint Handling
24
3.11
Management of Incidents, Product Withdrawal and Product Recall
25
4 Site Standards
26
4.1
External Standards
26
4.2
Security
26
4.3
Internal Site Standards
27
4.4
Utilities
30
4.5
Equipment
30
4.6
Maintenance
31
4.7
Staff Facilities
32
4.8
Chemical and Physical Product Contamination Control
33
4.9
Housekeeping and Hygiene
36
4.10
Waste/INaste Disposal
37
4.11
Pest Control
38
4.12
Storage and Transport
39
5 Product Control
5.1
5.2
40
Product Design/Development
40
Handling Requirements for Specific Materials Materials Containing Allergens and Identity Preserved Materials
41
5.3
Foreign Body Detection
42
5.4
Product Packaging
43
5.5
Product Inspection and Laboratory Testing
43
5.6
Control of Non-conforming
45
5.7
Product Release
Product
45
6 Process Control
46
6.1
Control of Operations
46
6.2
Quantity - Weight. Volume and Number Control
46
6.3
Calibration and Control of Measuring and Monitoring
Devices
47
7 Personnel
48
7.1
Training
48
7.2
Access and Movement of Personnel
49
7.3
Personal Hygiene
49
7.4
Medical Screening
50
7.5
Protective Clothing
51
SENIOR MANAGEMENT
COMMITMENT
AND CONTINUAL IMPROVEMENT
FUNDAMENTAL
The company's sen ior.ma nagell1entsha Iideln!?hs~r.ate,theyar~. fully committ~c1t(j thehnpJernentationpfthereq
uirements of the GJobaISta nda rd fa r
Food Safety. ]"his~hiJUiHch,ldeprovi~ionoti:l.dequiJteresourcs, effective cOlllwul1icatiol1,sysferns of review and actions taken to effect tontin ual
improvement.O PP()rtulliti~s.for improvement shall.l:!eipentifiedii mple'1i~l'ltedpnd fpllydoculilented.
The company's senior management shall provide the human and financial resources required to implement and improve the processes of the quality management system and the food
safety plan.
There shall be clear communication and reporting channels to senior management for departments responsible for monitoring compliance with the Global Standard for Food Safety. The
departments shall report regularly on effective compliance.
The company's senior management shall ensure that food safety and quality objectives are established, documented, monitored and reviewed.
The company's senior management shall ensure that there is a process to identify and address any safety or legality issue at a strategic level.
The company's senior management shall take responsibility for the review process.
The review process shall be undertaken at appropriate planned intervals, as a minimum annually, to ensure critical evaluation of the food safety plan and the HACCP system's suitabilitY,
adequacy and effectiveness.
The review process shall include the evaluation of:
1.8
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internal, second party and third party audits
previous management review documents, action plans and time frames
customer performance indicators, complaints and feedback
inciuents. corrective actions, out-of-specification results and non-conforming materials
process performance anu deviation from defined parameters
reviews of the HACCP-based system
developments in scientific information associateu with the products in scope
resource requirements.
Records of management reviews shall be comprehensively documented and retained.
1.9
The decisions and actions agreed within the review process shall be effectively communicated to appropriate staff, and actions implemented within agreed time scales. The records shall
be updated to show when actions have been completed.
1.10
The company shall have the current issue of the Global Standard for Food Safety available.
1.11
The company shall maintain certification to the Global Standard for Food Safety by effective timescale planning to ensure that certification does not expire (refer to Section III,paragraph 12).
1.12
The most senior production or operations manager on site shall attend the opening and closing meetings of the audit for Global Standard for Food Safety certification.
1.13
The company's senior management shall ensure that non-conformities identified at the previous audit against the Standard are effectively actioned.
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FUNDAMENTAL
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The company's Foo(jSafety Plansl,la,ll. beba~edop(\ I;1AC<;~systemWhichsh(l11 b~sy?teIt1Cltic,., c9rnprghensive,th()r()ug h,Ju,lly implemented anp
maintained. Codex Alimentariu~.HACCPJ?fincipl~~sh~nb"H.ls~(fand
re.ferenceshaUbelllade
tq re,leYClntlegislation, codes of practice or guidelines.-
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The HACCP Food Safety Team - Codex Alimentarius Step 1
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The HACCP plan shall be developed and managed by a multi-disciplinary food safety team that includes those responsible for QualityfTechnical, Production Operations, Engineering and
other relevant functions. The team members shall have specific knowledge of HACCP and relevant knowledge of product, process and associated hazards.
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2.1.2
The HACCP food safety team shall have a designated and qualified team leader who shall be able to demonstrate competence and experience of HACCP.
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2.1.3
Records shall be maintained that demonstrate the HACCP food safety team has the required knowledge and understanding of HACCP. In the event of the company not having
appropriate in-house knowledge, external expertise may be sought, but day-to-day management of the food safety system shall remain the responsibility of the company.
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3
The company's senior management shall demonstrate commitment
and support to the HACCP food safety team.
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Describe the Product - Codex Alimentarius Step 2

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Require~ents:
2.2.1
The HACCP food safety team will define the specific products and/or processes that are the subject of the HACCP plan.
2.2.2
All relevant information needed to conduct the hazard analysis shall be collected, maintained, documented and updated. The company will ensure that the HACCP plan is based on
comprehensive information sources, which are referenced and available on request. This may include the following, although this is not an exhaustive list:
the latest scientific literature
historical and known hazards associated with specific food products
relevant Codes of Practice
recognised guidelines
food safety legislation of products in destination countries
customer requirements.
A full description of the product shall be developed, which includes all relevant information
composition (e.g. raw materials, ingredients, recipe)
origin of ingredients
physical or chemical properties that impact food safety (e.g. pH, aw)
treatment and processing (e.g. heating, freezing, salting)
packaging system (e.g. modified atmosphere, vacuum)
storage and distribution
target safe shelf life under prescribed storage and usage conditions
conditions (e.g. chilled, ambient)
instructions for use (e.g. storage, preparation)
consideration of potential misuse (e.g. storage, preparation).
on food safety. As a guide, this may include the following, although this is not an exhaustive list:
Identify Intended Use - Codex Alimentarius Step 3

Requirements}
2.3.1
The intended use of the product by the customer shall be described defining the consumer target groups, including the suitability of the product for vulnerable groups of the pclpulation, .
e.g. infants, elderly, allergy sufferers.
.
2.4
2.tl.l
Construct a ProcessFlow Diagram - Codex Alimentarius Step 4
A flow diagram shall be prepared to cover each product, product category or process. This shall set out all aspects of the food process operation within the HACCP scope, from raw
materials selection through processing, storage and distribution. As a guide, this may include the following, although this is not an exhaustive list:
plan of premises and equipment layout
raw materials including introduction of utilities and other contact materials (e.g. water, packaging)
sequence and interaction of all process steps
outsourced processes and subcontracted work
process parameters
potential for process delay
rework and recy<.ling
lowlhigh risk and clean/dirty area segregation
finished products, intermediate/semi-processed
products, by-products and waste.
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Verify Flow Diagram - Codex Alimentarius Step 5
The HACCP food safety team shall verify the accuracy of the flow diagrams by on-site audit and challenge. Daily and seasonal variations shall be considered and evaluated. Records of
verified flow diagrams shall be maintained.
list All Potential Hazards Associated with Each Process Step, Conduct a Hazard Analysis and Consider any
Measures to Control Identified Hazards - Codex Alimentarius Step 6, Principle 1
2.6.1
The HACCP food safety team shall confirm the scope of the HACCP plan and identify and record all the potential hazards that are reasonably expected to occur at each step in relation to
product, process and facilities which may not be controlled by existing prerequisites. This shall include hazards present in raw materials, those introduced during the process or surviving
the process steps, and allergen risks (refer to clause 5.2). It shall also take account of the preceding and following steps in the process chain.
2.6.2
The HACCP food safety team shall conduct a hazard analysis to identify hazards which need to be prevented, eliminated or reduced to acceptable levels. Consideration shall be given to
the following as a minimum:
2.6.3
likely occurrence of hazard
severity of the effects on consumer safety
vulnerability of those exposed
survival and multiplication
of micro-organisms of concern
presence or production of toxins. chemicals or foreign bodies
contamination
potential for adulteration/deliberate
of raw materials, intermediate/semi-processed
product. or finished product
contamination.
The HACCP food safety team shall consider the control measures necessary to prevent, eliminate or reduce the hazard to acceptable levels. Consideration may be given to using more
than one control measure. Justification for acceptable levels in the finished product for each hazard shall be determined and documented.
Determine the Critical Control Points (CCP)- Codex Alimentarius Step 7, Principle 2
Requirements.
For each hazard that requires control, control points shall be reviewed to' identify those that are critical. This requires a logical approach and may be facilitated by use of a decision tree.
CCPs shall be those control points which are required in order to prevent, eliminate or reduce a food safety hazard to acceptable levels. If a hazard is identified at a step where control is
necessary for safety but the control does not exist, the product or process shall be modified at that step, or at an earlier or later step, to provide a control measure.
Establish Critical limits for each CCP - Codex Alimentarius Step 8, Principle 3
For each CC p. the appropriate critical limits shall be defined in order to identify clearly if the process is in or out of control and if the identified acceptable level of the food safety hazard in
the finished product is likely to be exceeded. Critical limits shall be measurable wherever possible (e.g. time, temperature, pH) and the rationale for their establishment clearly
documented. The HACCP food safety team shall take into account relevant legislation or codes of practice when establishing critical limits.
2.8.2
Any critical limits based on subjective data (such as visual inspection) shall be supported by clear guidance or examples.
2.8.3
The HACCP food safety team shall validate each CCP. Documented evidence shall show that the control measures selected are capable of consistently controlling the hazard to the level
specified by the critica/limit.
2.9
Establish a Monitoring System for each CCP- Codex Alimentarius Step 9, Principle 4
2.9.1
The HACCP food safety team shall establish a monitoring
2.9.2
Each defined CCP shall be under control. The monitoring system shall be able to detect loss of control of CCPs and wherever possible provide information
be taken. As a guide, consideration may be given to the following, althoLigh this is not an exhaustive list:
online measurement
offline measurement
continuous measurement (e.g. thermographs)
where discontinuous
system for each CCP to ensure compliance with critical limits.

in time for corrective action to
measurement is used, the system shall ensure that the sample taken is representative of the batch of product.
RelUrds associated with monitoring CCPs must be signed by the person responsible for the monitoring
inchltJe the date and result of measurements carried out.
and verified, as appropriate,
by an authorised person. Recorded details shall
2.10
Establish a Corrective Action Plan - Codex Alimentarius Step 10, Principle 5
2.10.1
The HACCP food safety team shall specify and document the corrective action to be taken when monitored results indicate a failure to meet a control limit, or when monitored results
indicate a trend towards loss of control. This shall include the action to be taken by nominated personnel with regard to any products that have been manufactured during the period
when the process was out of control.
2.10.2
Documented procedures shall be established and maintained for the appropriate handling of potentially unsafe products to ensure that they are not released until confirmed as suitable
for release.
2.11
2.11 .1
Establish Verification Procedures - Codex Alimentarius Step 11, Principle 6
Procedures of verification shall be established t6 confirm that the HACC Pplan is effective. Examples of verification activities are:
2.11.2
2.12
internal audits
review of records where acceptable limits have been exceeded
review of complaints by enforcement authorities or customers
review of incidents of product withdrawal or recall.
Verification results shall be recorded and communicated to the HACCP food safety team.
HACCPDocumentation and Record Keeping - Codex Alimentarius Step 12, Principle 7
.~equirements
2.1.3.1
The HACCP food safety team shall ensure that procedures exist to review the HACCP plan prior to any changes which may affect product safety. As a guide, these may include the
following, although this is not an exhaustive list:
change in raw materials or supplier of raw materials
change in ingredients/recipe
change in processing conditions or equipment
change in packaging, storage or distribution conditions
change in staff or management responsibilities
change in consumer use
developments in scientific information associated with ingredients, process or product.
Appropriate changes resulting from the review shall be incorporated into the HACCP plan, fully documented and validated.
2.13.2
Irrespective of any of the above changes, the HACCP plan will be reviewed at least annually and records shall be maintained.
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3.1
FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM

Food Safety and Quality Policy
.'The company'sseniQr m~magementSh'alldevelopanddoc4mehlafood
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The policy shall state the company's intention to meet its obligation to produce safe and legal products to the specified quality, and its responsibility to its customers. This shall include the
commitment for review and continual improvement. The company's senior management shall ensure the policy is communicated to all staff involved with activities relating to product
safety, legality and quality.
3.2
Food Safety and Quality Manual
"The company shall IiaVE!' af6odsafet~ran~~quaHtymanua!
.' requirements 'shallb'efuilYirnplern:~~teCJ;f~vieVlf~g
Whi~hdes~ri/.)c~sh9WJhe"requirement$(>fthe'Giob"afStahdard for Food Safety are met. These

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3.2.1
The food safety and quality manual shall contain an outline of working methods and practices or references to where such an outline is documented.
3.2.2
The food safety and quality manual shall be readily available to key staff.
Organisational Structure, Responsibilities and Management Authority

The compt.myshaU have ~c:learorganisati()nal~trllctureanddefinethe
ac~ivities affect proguct safety, legalitYandqL!ality.
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responsibilities, reportingrelatipnshipsand
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3.3.1
The company shall have an organisation chart demonstrating
3.3.2
Documented, clearly defined responsibilities shall exist and be communicated to key staff with responsibility for product safety, legality and quality systems.
the structure of the company.
3.3.3
There shall be appropriate documented arrangements in place to cover for the absence of key staff.
3.3.4
The company's senior management shall ensure a description of general duties or work instructions are in place and communicated
safety, legality and quality.
to all staff involved with activities relating to product
The company's senior management shall have a system in place to ensure that the company is kept informed of all relevant legislative, scientific and technical developments, and industry
Codes of Practice applicable in the country of raw material supply, production and, where known, the country where the product will be sold.
3.4.1
The company shall clearly identify those individuals responsible for communication
3.4.2
Customer requirements relating to the development. specification, manufacture and distribution of product shall have been agreed with the customer and, where appropriate,
documented and agreed prior to order fulfilment (refer to clause 3.7.2.3).
with customers and shall have an effective system for communication.
Customer needs and requirements shall be reviewed on a suitable predetermined frequency. Any changes to existing agreements or contract shall be agreed, documented and
communicated to appropriate departments.
Performance indicators shall be established relating to customer satisfaction. These shall be communicated
to appropriate staff and performance reviewed against these targets.
FUNDAMENTAL
The COlT\pal,y shall~i.idit thoseWsteins aild ptocedurEfsWhlchcov~r the requir~!Tlents of the ~(ifobalSt~ndard for Food Safety to ensure that they are in
place;appra,priate 'arld'tomj:JliedWft:h./~"o;:j>.oo-
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Internal audits shall be planned and their scope and frequency shall be established in relation to the risks associated with the activity. Audits shall be scheduled so that all aspects of the
food safety and quality management system are audited at least annually.
3.5.2
Internal audits shall be carried out by appropriately trained competent auditors, who are independent from the audited department.
3.5.3
Internal audit reports shall identify and verify conformity as well as non-conformity.
3.5.4
Results of the internal audit shall be reported to the personnel responsible for the activity audited. Corrective actions and timescales for their implementation shall be agreed.
3.5.5
The completion of corrective action shall be verified.
3.5.6
A record of all programmed internal audits and associated corrective actions shall be maintained.
Purchasing - Supplier Approval and Performance Monitoring
.3.6.1
3.6.2
The company shall have a documented supplier approval procedure and continual assessment programme in place, based on risk assessment.
These procedures shall include clear criteria for ongoing assessment and standards of performance required. Ongoing assessment may take the form of monitoring performance through
the following, although this is not an exhaustive list:
in-house checks
certificates of analysis
supplier audit as appropriate.
Records of this monitoring shall be retained.

3.6.3
The procedures shall define how exceptions are handled, e.g. the use of products or services where audit or monitoring has not been undertaken.
3.6.4
The company shall review the performance of new suppliers against defined criteria within a specified 'trial' period and thereafter at a specified frequency to decide the level of ongoing
supplier performance monitoring.
The company's senior managements~allensul"ethatallgoc(JmeJ1ts,Jecords~m~cfat'.l~riticalto

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All documents in use shall be properly authorised and be the correct version.
3.7.1.2
Documents shall be clearly legible, unambiguous, in appropriate languages and sufficiently detailed to enable their correct application by appropriate staff. They shall be readily accessible
to relevant staff at all times.
3.7.1.3
The reason for any changes or amendments to documents critical to product safety, legality or quality systems and procedures shall be recorded.
3.7.1.4
A procedure shall be in place to ensure obsolete documentation is rescinded, and where necessary replaced with a revised version.
~The company sl1afieflSl!rethatspecificatiQns~xi~Uor r~w'mat~rii.lls lrii:h,ldillgpa~kagin91 intermedi~te/senil-pro~essed

. and any productor servicew/ilch could ~ffecfthe'irite'grtfybfthefinisl1~d prQduhi_
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3.7.2.1
Specifications shall be adequate and accurate and shall ensure compliance with relevant safety and legislative requirements.
3.7.2.2
Manufacturing instructions shall comply with recipes as detailed in agreed customer specifications and shall be implemented.
3.7.2.3
The company shall seek formal agreement of specifications with relevant parties. Where specifications are not formally agreed then the company shall be able to demonstrate that they
have taken steps to ensure formal agreement is in place.
3.7.2.4
There shall be a documented procedure for the amendment and approval of specifications for all parts of the process including regular reviews to ensure adequacy and status.
3.7.2.5
Specifications and/or their contents shall be accessible to relevant staff.
3.7.3.1
The records shall be legible, genuine, appropriately authorised and retained in good condition for an appropriate defined time period.
3.7.'3.2
Any alterations to records shall be authorised and justification for alteration shall be recorded.
3.7.3.3
The company's senior management shall ensure that procedures are operated for the collation, review, maintenance, storage and retrieval of all records relating to product safety, Il'gality
and quality.
The period of retention for records shall relate to shelf life of the product and take into account, where it is specified on the label. the possibility that shelf life may be extended by the
consumer, e.g. freezing.
Any legal and customer specific requirements relevant to record retention shall be taken into account.
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3.8.1
Corrective and Preventive Action

FUNDAMENTAL
THe company's seniQr management shaHen surethatpr()cedlJres,~xistt9rel:Or(l,
inves,tigat~,an~lyseandcorrec:t
standards,specificatjonsandproc~di.fres,cYVhi'hare.crjtical toprpdlJetsaf~ty, I~ga!ity and qlJ~lity,;,
theca use of non-conform ity a9 ai n st
Corrective actions shall be accurately documented, assigning responsibility and accountability.
3.8.2
Corrective actions shall be undertaken as soon as possible to prevent further occurrence of non-conformity.
3.8.3
Any corrective action plan relating to food safety, legality or quality shall only be agreed by personnel who have a defined responsibility and accountability for these areas of control.
3.8.4
The completion of corrective actions shall be monitored and recorded to ensure their effectiveness and completion within an appropriate timescale.
Traceability
FUNDAMENTAL
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Identification of raw materials including primary and any other relevant packaging and processing aids, intermediate/semi-processed
materials pending investigation, shall be adequate to ensure traceability.
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products, part-used materials, finished products and
The company shall test the traceability system to ensure traceability can be determined from raw material to finished product and vice versa and include quantity
(refer to glossary). This shall occur at a predetermined frequency and results shall be retained for inspection. The test shall take place at least annually.
check/mass
bal~nce.
Where there is a requirement to ensure identity preservation within the supply chain, e.g. to use a logo or to make a claim to a product characteristic or attribute, appropriate cOlltrols and
testing procedures shall be in place.
Where rework or any reworking operation is performed, traceability shall be maintained. In addition, the company must be able to demonstrate that this does not affect the safety or legal
status of the finished product, e.g. ingredient declaration, allergy information or identity preservation.
Complaint Handling
3.10.1
All complaints
3.10.2
Actions appropriate
3.10.3
Complaint data shall be analysed and used to implement ongoing improvements to product safety. legality and quality. and to avoid recurrence. This analysis shall be made available to relevant staff.
shall be recorded, investigated
and the results of the investigation
recorded.
to the seriousness and frequency of the problems identified shall be carried out promptly and effectively by appropriately
trained staff.
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syste!llil"\p!ase1~~ffedivelyrnana9E!
incicle.nts ind udingpI9d'ucfwithdravval"nd
recall proted u res.
The company shall have procedures designed to effectively manage incidents and potential emergency situations that impact food safety,legality or quality and have effective product
withdrawal and product recall procedures in place. This may include consideration and contingency planning for business continuity and product withdrawal or recall in the event of the
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events such as fire, flood or natural disaster
malicious contamination or sabotage.
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The company shall provide written guidance to relevant staff regarding the type of event that would constitute an incident or emergency situation that imracts food safety, legality or
quality and a documented reporting procedure shall be in r1ace.
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An incident management procedure shall be documented, implemented and maintained. This shall include as a minimum:
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identification of key personnel constituting the incident management team with clearly identified responsibilities
an up-to-date list of key contacts, e.g. incident management team, emergency services, suppliers, customers, certification body, regulatory authority
a communication plan including the provision of information to customers, consumers and regulatory authorities in a timely manner
details of external agencies providing advice and support as necessary, e.g. specialist laboratories, regulatory authority and legal expertise
product withdrawal and/or recall procedures
corredive action and business recovery.
The procedures relating to incident reporting, product withdrawal and rroduct recall shall be aprropriate, formalised and capable of being operated at any time, and will take into
account stock reconciliation, logistics, recovery, storage and disposal. The procedures shall be regularly re\liewed and, if necessary, revised.
The rroduct recall and withdrawal procedljres shall be regularly tested, at least annually, in a way that ensures their effective operation. Results of the test shall he retained and shall
include timings of key activities.
3.11.6
The company's senior management shall ensure that results of this test shall be used to implement improvements as necessary.
3.11.7
In the event of a product recall, the certification body issuing the current certificate for the site against the Global Standard for Food Safety and the appropriate authorities shall he
informed in a timely manner.
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Consideration shall be given to local activities and the site environment, which may have an adverse impact on finished product integrity, and measures shall be taken to prevent
contamination. Where measures have been put into place to protect the site from any potential contaminants, they shall be regularly reviewed to ensure they continue to be effective, e.g.
dust or odour control.
4.1.2
The external areas shall be maintained in good order. Where buildings are surrounded by grassed or planted areas, they shall be regularly tended and well maintained. The condition of
the site shall be included within the internal audit process.
4.1.3
Where natural drainage is inadequate, external drainage shall be installed.
4.1.4
External traffic routes, under site control, shall be suitably surfaced and maintained in good repair to avoid contamination
4.1.5
The building fabric shall be maintained to minimise potential for product contamination,
contaminants.
4.2.1
Access to the site by employees, contractors and visitors shall be controlled and a visitor reporting system shall be in place.
of the product.
e.g. pipe work shall be appropriately sealed to prevent pest entry, ingress of water and other
4.2.2
Staff shall be trained in site security procedures and encouraged to challenge unidentified or unknown visitors.
4.2.3
Measures shall be in place to maintain site security and to ensure only authorised staff have access to production and storage areas via designated access points. Areas shall be assessed
according to risk; sensitive or restricted areas shall be defined, clearly marked, monitored and controlled.
4.2.4
Based on risk assessment, procedures shall be in place to ensure the secure storage of all materials including ingredients, packaging, chemicals and equipment.
4.2.5
Procedures shall be in place to ensure that finished product is held under secure storage and transportation
4.2.6
Where required by legislation, the site shall be registered with, or approved by, the appropriate authority.
conditions, e.g. tamper evident packing, contractual handling agreements.
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4.3.1
Layout, Product Flow and Segregation
FUNDAMENTAL
Premi~es~nd plantshaflbedesigned;~on!itructecf j;'UidNai!1~aitWd~
Proc;edures !ih~lIbeinpl~~etoc;ontrol!he
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4.3.1.1
The process flow from intake to dispatch shall be arranged to minimise the risk of product contamination.
4.3.1.2
Physical barriers or demonstrably effective procedures shall be in place to minimise the risk of the contamination of raw materials, intermediate/semi-processed
finished products with particular consideration given to handling requirements for specific materials (refer to clause 5.2).
4.3.1.3
Segregation shall take into account the flow of product, nature of materials, equipment. personnel, waste, airflow, air quality and utilities provision.
and to
products, packaging and
4.3.1.4
Based on risk assessment, the cleaning of production utensils shall be carried out in segregated areas or at specific time periods separated from the production process.
4.3.1.5
Premises shall allow sufficient working space and storage capacity to enable all operations to be carried out properly under safe hygienic conditions.
4.3.1.6
Cleaning and inspection of areas and equipment shall be aided by the avoidance of obstructions and where appropriate the provision of adequate space.
4.3.1.7
Temporary structures constructed during building work or refurbishment
4.3.1.8
The location of all transfer points shall not compromise high-risk and low-risk segregation and practices shall be in place to minimise risk of product contamination,
4.3.1.9
Where high-risk products (refer to glossary) are manufactured, there shall be physical segregation between processing and finished product handling areas. This high risk area shall be
fabricated and designed to a high standard of hygiene, and practices shall be in place to control ingredients, equipment, packaging, environment and personnel to prevent product
contamination.
4.3.1.10
In high-care areas (refer to glossary) where there is a significant risk of contamination of chilled ready to eat/heat products by pathogenic micro-organisms, the processing or handling of
food in these areas shall be appropriate to mini mise product contamination by such micro-organisms.
etc., shall be designed and located to avoid pest harbourage and potential contamination
of products.
e.g. disinfection.
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Floors shall be designed to meet the demands of the process, and withstand cleaning materials and methods. They shall be impervious and maintained in good repair.
4.3.2.2.2
Drainage, including drains from laboratories, where provided, shall be sited, designed and maintained to minimise risk of product contamination
Machinery and piping shall be arranged so that, wherever feasible, process waste water goes directly to drain.
4.3.2.2.3
Where significant amounts of water are used, or direct piping to drain is not feasible, floors shall have adeq4ate falls to cope with the flow of any water or effluent towards suitahle drainage.
and not compromise product safety,
4.3.2.3.1
Ceilings and overheads shall be designed, constructed, finished and maintained to prevent the accumulation of dirt, minimise condensation and mould growth, and facilitate cleaning.
4.3.2.3.2
Where suspended ceilings are used, adequate access to the void shall be provided to facilitate cleaning, maintenance of utilities and inspection for pest activity.
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4.3.2.4.1
Where there is a risk to product, windows and roof glazing which are designed to be opened for ventilation purposes shall be adequately screened to prevent the ingress of pests.
4.3.2.4.2
Where they pose a risk to product, glass windows shall be protected against breakage.
4.3.2.5.1
Where external doors to raw material handling, preparation, processing, packing and storage areas are opened, suitable precautions shall be taken to prevent pest ingress. Doors and
dock levellers in these areas shall be close fitting or adequately proofed.
4.3.2.5.2
Doors shall be in good condition and easy to clean, where required.
4.3.2.6.1
Suitable and sufficient lighting shall be provided for a safe working environment, correct operation of processes, inspection of product, and effective cleaning.
4.3.2.6.2
Where they constitute a risk to product, bulbs and strip lights, including those on electric fly-killer devices, shall be adequately protected. Where full protection cannot be provided,
alternative management such as wire mesh screens or monitoring procedures shall be in place.
4.3.2.7.1
Adequate ventilation and extraction shall be provided in product storage and processing environments to prevent condensation or excessive dust.
4.3.2.7.2
Where the process requires screened or filtered air, the equipment used for this purpose shall be easily accessible and adequately maintained.
4.3.2,7.3
Where appropriate, positive air-pressure systems shall be in place.
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All water used as a raw material in the manufacture of processed food, the preparation of product, or for equipment or plant cleaning shall be supplied in sufficient quantity, be potable or
pose no risk of contamination according to applicable legislation, either being drawn from mains supply or suitably treated according to its source.
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Based on risk assessment, the microbiological and chemical quality of water, steam, ice, air, compressed air or other gases that does not constitute an ingredient but comes in direct
contact with food or packaging shall be regularly monitored. It shall present no risk to product safety or quality and comply with relevant legal regulations .
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All equipment shall be properly specified before purchase, constructed of appropriate materials, be of a suitable design to ensure it can be effectively cleaned, and shall be tested and
commissioned prior to use.
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Equipment shall be positioned to give acce~s under, inside and around it for ease of cleaning, inspection and servicing, or where permanently sited shall be properly secured and sealed to
the floor.
Certificates of conformity or other evidence shall be available for equipment in direct contact with food to confirm its suitability for use, e.g. conveyor belts.
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Equipment, including fixtures and fittings, shall be maintained to minimise the risk of product contamination.
"4.6.2
When commissioning new equipment and plant. a maintenance programme shall be established and put into place based on risk assessment.
4.6.3
The company shall ensure that the safety or legality of product is not jeopardised during maintenance and cleaning operations.
4.6.4
In addition to any planned maintenance programme, where there is a risk of product contamination
predetermined intervals, insrection results documented and appropriate action taken.
by foreign bodies arising from equipment failure, the equipment shall be insrected at
Where temporary repairs are made, these shall be controlled to ensure the safety or legality of product is not jeopardised. These temporary measures shall be permanently reraired as
soon as practicable and within a defined timescale.
4.6.6
Contractors involved in maintenance or repair activities shall be under the supervision of a nominated person.
4.6.7
Maintenance work shall be followed by a documented hygiene clearance procedure, which records that product contamination hazards have been removed from machinery and
equipment. On completion of any maintenance work, machinery and equipment shall be clean and free from contamination hazards.
Materials used for equipment and plant maintenance and that pose a risk by direct or indirect contact with raw materials, intermediate
paints, shall be suitable for the intended use.
Engineering workshops shall be controlled to prevent contamination
and finished products, such as lubricating oil and
risks to the product, e.g. provision of swarf mats where workshops open directly into production areas.
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Designated changing facilities shall be provided for all personnel, whether staff, visitor or contractor. These shall be sited to allow direct access to the production, packing or storage areas without
recourse to any external area. Where this is not possible, a risk assessment shall be carried out and procedures implemented accordingly, e.g. the provision of cleaning facilities for footwear.
Storage facilities of sufficient size to accommodate all reasonable personal items shall be provided for all personnel who work in raw material handling, processing, preparation, packing
and storage areas.
:l.7.3
Outdoor clothing and other personal items shall be stored separately from workwear within the changing facilities.
4.7.4'
Suitable and sufficient hand-washing
facilities shall be provided at access to, and at other appropriate points within, production areas. Such hand-wash facilities shall provide as a minimum:
sufficient quantity of water at an appropriate temperature
liquid soap
single use towels or suitably designed and located air driers
appropriate instructions for use (including consideration of appropriate language).
Where high-risk products (refer to glossary) are handled, the following additional requirements shall be provided:
water taps with hand-free operation
hand disinfection.
Toilets shall be adequately segregated and shall not open directly into storage, processing or production
areas. Toilets shall be provided with hand-washing facilities comprising:
basins with soap and water at a suitable temperature
adequate hand-drying facilities
advisory signs to prompt hand washing (including consideration
Where hand-washing
of appropriate language).
facilities within toilets are the only facilities provided before re-entering prodllCtion, then the requirements of 4.7.4 shall apply.
Designated controlled smoking areas shall be isolated from production areas to an extent that ensures smoke cannot reach the product. Where smoking is allowed under national law,
sufficient extraction to the exterior of the building shall be ensured. Adequate arrangements for dealing with smokers' waste shall be provided at smoking facilities, both inside and at
exterior locations. Facilities shall be available, with adequate reminders, for hand washing after smoking.
4.7.7
All food brought into manufacturing
4.7.8
Where catering facilities are provided, they shall be suitably controlled to prevent contamination
premises by staff shall be appropriately stored in a clean and hygienic state. No food shall be taken into storage, processing or production
areas.
of product.
4.7.9
Where eating of food is allowed outside during breaks, this shall be in suitable designated areas with appropriate control of waste ..
4.7.10
Facilities for visitors and contractors shall be such as to enable compliance with the company's hygiene policy.
4.7.11
Where an operation involving high-risk products (refer to glossary) exists, personnel shall enter via a specially designated changing facility, imd shall follow specifier! procedures for
applying visually distinctive clean overalls, headwear and footwear.
4.8
Chemical and Physical Product Contamination Control

Based on risk assessment, the company shall identify, control and manage any potential risks from chemical, physical or taint contamination.
storage
production operation or processes or machinery
any maintenance or building work carried out
hygiene and cleaning operations.
This may include risks associated wit h the
These shall be verified through regular site audits carried out at a frequency determined by risk assessment.
4.8.2.1
A chemical control procedure shall be in place which manages the use, storage and handling of non-food chemicals. This shall include as a minimum:
approved purchase
availability of material safety data sheets and specifications
where appropriate, confirmed suitability for food use
avoidance of strong scented products
identification of chemicals at all times
segregated and secure storage with restricted access to authorised personnel
use by trained personnel only.
There shall be a documented policy for the control of the use of sharp metal implements including' knives, cutting blades on equipment, needles and wires. This shall include suitable
controls both into and out of the factory, and safe disposal.
4.8.3.2
Snap-off blade knives shall not be used.
4.8.3.3
Non-production blades, equipment and tools shall not be left in a position that allows them to contaminate the product.
4.8.3.4
Where staples or other items are used which are likely to cause contamination in packaging, appropriate precautions shall be taken to mini mise the risk of product contamination.
4.8.4.1
In areas where a risk assessment has identified a potential for product contamination from glass, the presence of glass shall be excluded. Where this cannot be avoided, but the risk is
managed, glass shall be protected against breakage.
4.8.4.2
Documented procedures for handling glass, brittle or hard plastic, ceramic or other similar materials shall be in place and implemented to ensure that necessary precautions are taken.
Procedures shall include the following as a minimum:
4.8.4.3
list of items detailing location, number, type and condition
recorded checks of condition of items carried out at a specified frequency based on risk assessment
details on cleaning or replacing itemslo minimise potential for product contamination.
Based on risk assessment, documented procedures detailing the action to be taken in case of breakage of glass, brittle or hard plastic, which includes glass packaging and similar material,
shall be implemented and include the following:
quarantining the products and production area that were potentially affected
cleaning the production area
inspecting the production area and authorising to continue production
changing of workwear and inspection of footwear
specifying those staff authorised to carry out the above points
recording the breakage incident.
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In areas where a risk assessment has identified the potential for product contamination from wood, the use of wood shall be excluded. Where the use of wood cannot be avoided, and
the risk is managed, the condition of wood shall be regularly checked to ensure it is in good condition and clean.
4.8.6.1
Filters, sieves and magnets used for foreign body control shall be regularly inspected and properly maintained. Such activities shall be recorded and investigated.
4.8.6.2
Based on risk assessment, procedures shall be implemented to minimise foreign body contamination
and foreign body removal through rinsing or air jets.
of packaging during filling operations, e.g. covered conveyors, container inversion
to
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Housekeeping and Hygiene

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FUNDAMENTAL
Housekeeping andl:leanjn!{system~sllanbein
cQntamination i$ mihimi$~d.::~~/,<,;~"-
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Documented cleaning procedures shall be in place and maintained for the building, utilities, plant and all equipment. Cleaning procedures shall include the following information
minimum:
responsibility for cleaning
item/area to be cleaned
frequency of cleaning
method of cleaning
cleaning materials to be used
cleaning records and responsibility for verification.
as a
Cleaning-in-place (CIP) facilities shall be monitored and maintained to ensure effective operation. Consideration shall be given to frequency, cycle time, temperature, chemical
concentration and spray ball location and coverage. CIP shall have adequate separation from active product lines.
4.9.3
Cleaning and housekeeping shall be carried out by trained personnel in accordance with documented
4.9.4
Cleaning chemicals and equipment shall be:
fit for purpose
suitably identified for intended use, e.g. colour coded or labelled
stored in a hygienic manner to prevent contamination.
procedures and records shall be maintained.
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The effectiveness of the cleaning and disinfection procedures shall be verified and recorded. Corrective actions shall be documented.
4.9.6
Cleaning and disinfection procedures shall be revalidated following
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or changes to equipment.
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There shall be adequatesysfenisfor
thkcollection,cQllatiOo
ahd dis~()salc)fw~Sie rt1~te!~iaj,
.Requiremel1ts
4.10.1
Systems shall be in place to avoid the accumulation of waste in production areas, and shall prevent the use of unfit materials.
4.10.2
Where appropriate, waste shall be categorised according to legislative requirements based on the intended means of disposal, segregated and collected in appropriate designated waste
containers.
Waste disposal shall meet legislative requirements. Where licensing is in operation for disposal of categorised waste, it shall be removed by licensed contractors and records of disposal
shall be maintained and available for audit.
External waste collection containers and rooms housing waste facilities shall be managed to minimise risk. These shall be:
clearly identified
designed for ease of use and effective cleaning
well maintained to allow cleaning and, where required, disinfection
emptied at appropriate frequencies
covered or doors kept closed as appropriate.
If substandard trademarked materials are transferred to a third party for destruction or disposal, that third party shall be a specialist in secure product or waste disposal and shall provide
records of material destruction or disposal.
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4.11.1
A preventive pest control programme shall be maintained covering all areas of the site to minimise pest infestation.
4.11.2
The company shall either contract the services of a competent pest control organisation, or shall have appropriately trained staff, for the regular inspection and treatment of the site to
deter and eradicate infestation. The frequency of inspections shall be determined by risk assessment and shall be documented. Where the services of a pest control contractor are
employed, the service contract shall be clearly defined and reflect the activities of the site.
Written procedures and inspection documentation
shall be maintained. This shall include as a minimum:
an up-to-date, signed and authorised site plan identifying numbered pest control device locations
identification of the baits and/or monitoring devices on site
clearly defined responsibilities for site management and the contractor
details of pest control products used and instructions for their effective use.
4.11.4
Bait stations shall be robust, of tamper resistant construction,
secured in place and appropriately
located to prevent contamination
risk to product.
4.11.5
Fly-killing devices and/or pheromone traps shall be correctly sited and operational. If there is a danger of insects being expelled from any extermination
product, alternative systems and equipment shall be used.
device and contaminating
the
In the event of infestation, immediate action shall be taken to eliminate the hazard. Action shall be taken to identify, evaluate and authorise the release of any product potentially
affected.
Detailed records of pest control inspections, recommendations and actions taken shall be maintained. It shall be the responsibility of the company to ensure all of the relevant
recommendations made by their contractor or in-house expert are carried out and monitored. The completion of corrective action shall be demonstrated by documented evidence.
Results of pest control inspections shall be assessed and analysed for trends on a regular basis, but as a minimum:
event of
in the
annually.
an infestation
This shall include a catch analysis from trapping devices to identify problem areas. Any such problems shall be suitably rectified.
All.facilities used forthestorageahatransp~rt~tjonofprQdud,

maintained in goodrep~iqmdinC1 hygienictondition .. '
m(l\j~rrtgntarb4Jl<fJh!?"scinW'anddispati:hoffinished product shall be suitable for the purpose,

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Procedures to maintain product safety and quality during storage, loading and transportation
include as appropriate the following, although this is not an exhaustive list:
shall be developed on the basis of risk assessment and implemented accordingly. These may
.
controlling temperature
cleaning storage areas and vehicles
segregating to avoid cross contamination
storing materials off the floor and away from walls as appropriate
ensuring that vehicles such as bulk tankers are of hygienic design and designated for food use; putting in place procedures to prevent cross contamination
vehicle pre-loading and unloading inspection
vehicle loading or unloading in covered bays
maintaining product security and preventing damage.
or taint uptake
from previous loarls
Where temperature control is required, the storage area or transport facility shall be capable of maintaining product temperature within specification, under minimum and maxirmun load.
and under worst case ambient temperature. Storage areas shall be dry and well ventilated.
Where temperature control is required, documented procedures shall be in place to ensure produd temperature requirements are met. This shall include temperature data-logging devices
which can be interrogated to confirm time/temperature conditions or a system to verify and record at predetermined frequencies the correct operation of refrigeration erjllipment.
4.12.4
Where storage outside is necessary, items shall be protected from contamination
and deterioration.
4.12.5
Receipt documents and/or produd identification shall facilitate corred stock rotation of goods in storage and ensure materials are used in the correct order and within the prescribed shelf life.
4.12.6
Where the company employs third-party contradors, all the requirements specified in this sedion shall be clearly defined in the contract or the company shall be certificated to the Glohal
Standard for Storage and Distribution.
Traceability shall be ensured during storage and transportation.

been completed during the transfer of goods.
There shall be a clear record of dispatch and receipt of goods and materials demonstrating that sufficient checks have
Documented maintenance and hygiene procedures shall be maintained for all vehicles and equipment used for loading/unloading
the measures taken.
(e.g, hoses of silo installations). There shall be records of
Procedures shall, where appropriate, be in place in the case of vehicle or refrigeration equipment breakdown. All incidents of vehicle or refrigeration equipment breakdown shall be
recorded and corrective adion documented.
II
5.1 :1
A HACCP-based study shall be part of the product design and development process.
5.1.2
Production trials shall be carried out and thorough testing shall validate that product formulation
the proposed shelf life.
and manufacturing
processes are capable of producing a safe and legal product against
Shelf-life trials shall be undertaken using documented protocols reflecting conditions during storage and handling throughout
confirm compliance with relevant microbiological, chemical and organoleptic criteria.
shelf life. Results shall be recorded and retained and shall
5.1.4
Where new products are introduced, the company shall ensure control of handling requirements for specific materials (refer to clause 5.2).
5.1.5
Procedures shall be in place to confirm that product packaging conforms to relevant food safety legislation and specification and is suitable for its intended use.
5.1.6
The company's senior management shall ensure that a system is in place to confirm that labelling of the product or other forms of customer information meets legislation for the
designated country of use and in accordance with the appropriate product specification.
Where a product is designed to enable a claim to be made to satisfy a consumer group, e.g. a nutritional claim of reduced sugar, the company shall ensure that the product formulation
and production process is fully validated to meet the stated claim.
The product design/development
assessed for safety and legality.
process shall be documented and effectively communicated
throughout
the organisation, to ensure that changes in formulation are adequately
Handling Requirements for Specific Materials - Materials Containing Allergens and Identity Preserved
Materials
FUNDAMENTAL
Wherera~.l11ateriaIS~n(ffinishecl.prodlJ~Hrequirespedalptoc:~c111resforhandling
specifi'~/Ylaterials(e.g.materialcontainin9 allergens ,or the
requir~m~~~f()r.I.~~~titypre~~ry~gstCi~l.I~
suchasGen~ti~~IIXM!:)~ifiegQr~.il.nisms.g~sl)retf9r9~nicstCitlJs.()rspecial des.ignatedorigin) these sllall be in
>plat~t()~risgrethatproa!Jcl~~f~Wf'legCilitY!lrid q(ralitar~m~imCli~ecl{]y' ....
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The company shall carry out risk assessment of raw materials to establish the presence and likelihood of contamination by allergens (refer to glossary). This shall include approval of raw
material specifications. The company shall implement systems to specify the integrity of the raw material and compliance with specification throughout the purchasing and supply chain ..
5.2.1.2
The company shall identify and list allergen-containing
materials handled on site. This shall include raw materials, intermediate and finished products.
5.2.1.3
Risk assessment shall be carried out to identify routes of contamination and establish documented
to ensure cross contamination is avoided. This shall include as appropriate:
physical or time segregation whilst allergen-containing
use of identified, dedicated equipment for processing or cleaning
a policy for all food brought onto site including that by staff.
policies and procedures for handling raw materials, intermediate and finished products
materials are being stored, processed or packed
Where rework is used, or reworking operations carried out, procedures shall be implemented to minimise cross contamination
legality and quality of the finished product.
from allergen-containing
materials and ensure the safety,
Where a claim is made regarding the suitability of a food for allergy or food sensitivity sufferers, the company shall ensure that the production process is fully validated to meet the stated
claim. This shall be documented.
Based on risk assessment, documented equipment or area cleaning procedures shall be undertaken to remove or reduce to acceptable levels any potential cross contamination
compliance with finished product specifications. This shall include validation of cleaning methods and appropriate waste handling and spillage controls.
All relevant personnel, including temporary staff and contractors, shall be appropriately trained in handling procedures for allergen-containing
shall be adequately supervised throughout the working period.
in
materials prior to commencing work and
Any non-conformities relating to allergen control shall be included in the management review process (refer to clause 1.7) and may include, as appropriate, internal or external incidents
and customer complaints such as labelling or cross-packing errors. The review process shall also consider updates or changes in allergen legislation or scientific information.
5.2.2.1
Where an identity preseNed claim is made, e.g. that a product isorganic, or where products brought onto site may contain materials which require segregation, e.g. Genetically Modified Organisms,
the company shall carry out a risk assessment of raw materials to specify the integrity of the raw material and compliance with specification throughout the purchasing and supply chain.
5.2.2.2
Risk assessment shall be carried out to identify routes of contamination and establish documented policies and procedures for handling raw materials, intermediate and finished products
to ensure cross contamination is avoided and that controls are in place to maintain identity preseNed status.
5.3
Foreign Body Detection
'..The companysllaifllaye
appropriaief9H~igfll)qHV'Cl~tecti(jn.eqqipMe~'trri,pl~c~}ndehsureits
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Foreign body detection equipment shall be in place unless it can be justified as not necessary. This justification
foreign body detection within the finished product.
shall be documented.
Detection equipment shall be situated to maximise
The sensitivity of detection shall be specified and best practice applied with regard to the nature of the food, the location of the detector and any other factors influencing the sensitivity
of the detector.
The metal or foreign body detector shall incorporate the following
based on best practice:
an alarm on a belt stop system
an automatic rejection device which shall either divert contaminated
in-line detectors which identify the location of the contaminant
There shall be documented
product out of the product flow or to a secure unit accessible only to authorised personnel
and effectively segregate the affected product.
procedures specifying corrective and investigative action to be taken in the event of the detection of metal or a foreign body.
The company shall establish and implement procedures for the operation, routine monitoring, testing and calibration of the metal or other foreign body detectors. This shall include as a minimum:
frequency and sensitivity of checks
authorisation
documentation
of trained personnel to carry out specified tasks

of checks.
The company shall establish and implement corrective action and reporting procedures in the event of the monitoring and testing procedure identifying any failure of the metal or foreign hody
detector. Action shall include a combination of isolation, quarantining and re-inspection of all product produced since the last acceptance test of the metal or other foreign body detector.
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5.5.2.1
Pathogen testing shall be subcontracted
to an external laboratory or, where conducted internally, the laboratory facility shall be remote from the manufacturing
5.5.2.2
Where routine testing laboratories are present on a manufacturing site, they shall be located, designed and operated to eliminate potential risks to product safety. Controls shall be.
documented, implemented and shall include consideration of the following:
design and operation of drainage and ventilation systems
access and security of the facility
movement of laboratory personnel
protective clothing arrangements
processes for obtaining product samples
disposal of laboratory waste.
site.
Where the company undertakes or subcontracts analyses which are critical to product safety or legality, the laboratory, or subcontractors shall have gained recognised laboratory
accreditation or operate in accordance with the requirements and principles of ISO 17025. Documented justification shall be available where accredited methods are not undertaken.
Procedures shall be in place to ensure reliability of laboratory results, other than those specified in 5.5.2.3. These shall include:
use of recognised test methods, where available
documented testing procedures
ensuring staff are suitably qualified and/or trained and competent to carry out the analysis required
use of a system to verify the accuracy of test results, e.g. ring or proficiency testing
use of appropriately calibrated and maintained equipment.
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Certificates of conformity or other evidence shall be available for product packaging to confirm its suitability for use.
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Where appropriate, packaging shall be stored away from raw materials and finished product.
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Any part-used packaging materials suitable for use shall be effectively protected before being returned to an appropriate storage area.
5.4.4
Product contact liners (or raw materiallwork-in-progress
5.4.5
Where packaging materials pose a product safety risk, special handling procedures shall be in place to prevent product contamination.
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Product Inspection and laboratory Testing

The compatiyshaifu~dertaCk~or~ubcon-trattins'p~ti!Qnand anafys~$\ivliichir~-trrH,~'to cQ.,firm produ<;~safety,leg!'llityaridquality,
.proc:edLire$;facili~i~5
and standard~whicli'pt~'(~hlfi$~tojJrodu~safE~ty;~[?;:,,))~~~i\,;;>:":;'.:">,;_-/)~::-i>:-;;'
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Based on risk assessment, testing and inspection schedules shall be established to ensure specified product requirements are met. Inspection and testing methods and frequency shall be
documented.
5.5.1 .2
Test and inspection results shall be recorded and reviewed regularly to identify trends. Appropriate actions shall be implemented promptly to address any unsatisfactory results or where
trends indicate unsatisfactory results.
.
5.5.1.3
Where validation of finished product quality attributes is required, organoleptic tests shall be carried out regularly in accordance with specifications and shall be recorded.
5.5.1.4
The company shall ensure that a system of ongoing shelf life assessment is in place, This shall be based on risk and shall include microbiological and sensory analysis as well as relevant
chemical factors such as pH and aw' Records and results from shelf life tests shall validate the minimum shelf life period indicated on the product.
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tIleintel1d~d ~ls~anashallhe~stOreaui1derc9I1aitiOnst<)rilinimiseq:mtamination
i3ndd~terioration.
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Certificates of conformity or other evidence shall be available for product packaging to confirm its suitability for use.
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5~4.2
Where appropriate, packaging shall be stored away from raw materials and finished product.
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5.4.3
Any part-used packaging materials suitable for use shall be effectively protected before being returned to an appropriate storage area.
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Product contact liners (or raw materiallwork-in-progress
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Based on risk assessment, testing and inspection schedules shall be established to ensure specified product requirements are met. Inspection and testing methods and frequency shall be
documented.
5.5.1.2
Test and inspection results shall be recorded and reviewed regularly to identify trends. Appropriate actions shall be implemented promptly to address any unsatisfactory results or where
trends indicate unsatisfactory results.
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5.5.1.3
Where validation of finished product quality attributes is required, organoleptic tests shall be carried out regularly in accordance with specifications and shall be recorded.
5.5.1.4
The company shall ensure that a system of ongoing shelf life assessment is in place. This shall be based on risk and shall include microbiological and sensory analysis as well as relevant
chemical factors such as pH and aw Records and results from shelf life tests shall validate the minimum shelf life period indicated on the product.
to
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Control of Non-conforming Product
The com pan yshall enslI re all olit-of -~pecificMionproduct .isclearlY. Hf~ntified, labelled. ,u1dqlJa ranti lled,
.Req\Jir~rhents .
Procedures for the control of non-conforming material, including rejection, acceptance by concession, or regrading for an
staff. Decisions shall be approved by authorised staff.
5.6.2
Corrective actions shall be implemented
5.6.3
All non-conforming material shall be clearly identified and quarantined

requirements of the customer.
to avoid recurrence of non-conformance.
Details of the non-conformance
alternative
use, shall be in place and understood
by all relevant
and action taken shall be documented.
as appropriate, and handled or disposed of according to the nature of the problem and/or the specific
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The company shall be able to. demonstrat~effe(ti~etontrol
of aIl6per<~tion~~,"dertake,,;~~> :~
6.1.1
A process shall ensure that all Critical Control Points and specified limits identified through HACCP.are transferred into day-to-day production controls and are fully validated.
6.1.2
Process monitoring such as temperature,

process specification.
time, pressure and chemical properties shall be established and adequately controlled to ensure that product is produced within the reqllired
6.1.3
Process monitoring shall be carried out by trained staff and shall be documented.
6.1.4
In circumstances where process parameters are controlled by in-line monitoring
devices, these shall be linked to a suitable failure alert system that is routinely tested.
6.1.5
In the case of equipment failure or deviation of the process from specification, procedures shall be in place to establish the safety status of the product, prior to release.
6.1.6
Corrective action shall be taken in the event of deviation of process from specification. This shall be recorded.
Q.1.7 .
Procedures shall be in place to ensure that products are packed into the correct packaging and correctly lahelled with due consideration given to product changeover.
6.1.8'
In the event of changes to product formulation,
6.2
processing methods, equipment or packaging, monitori~g
of the specified process shall be re-established based on HAC CP.
Quantity - Weight, Volume and Number Control
The companyshi'llloperateaquantity
(ontrol system\",hkh ;confrirmsfoFegal Yl!quirt:mientsand additional indostry sector codes or specified customer
requirement in the<:Quntrywhere thepi"oductissoI9,';:~~
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The frequency and methodology
6.2.2
Where the quantity of the product is not governed hy legislative requirements (e.g. hulk quantity), the product must conform to customer requirements.
of quantity checking shall meet the requirements of appropriate legislation governing quantity verification.
6.3
Calibration and Control of Measuring and Monitoring Devices
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rIJ1easuringequiPrnent[J5~rJtomonit()rCriticaIControlpbjhts .~n~prpduqsafelyaHdre"g~ity.shall be identified.The identified measuring equipment shall be
calibrated tOClref:o~misedll~tional or iriternatiori~15ta!l~~rd, Where alrace!'lb!e calibratign is not possibl~,theccHTlPcmy shall demonstrate the basis by which
standardisationis~aitil;!dolJt{,
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The company shall identify measuring equipment used to monitor CCPs and product safety and legality.
This shall include as a minimum:
a documented list of equipment
equipment identified and marked in accordance with requirements (e.g. numbered. calibration due date).
All identified measuring devices shall be checked and where necessary adjusted:
at a predetermined frequency, based on risk assessment
by trained staff
to a defined method tra'ceable to a recognised national or international
standard where possible.
Results shall be documented.

6.3.3
6.3.4
The prescribed measuring and monitoring
devices shall be:
prevented from adjustment by unauthorised staff
protected from damage, deterioration
or misuse.
Procedures shall be in place to record actions taken when the prescribed measuring and monitoring
devices are found not to be operating within specified limits.
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Training
FUNDAMENTAL
The cQinpanysh~U ei'!surethaf per~(;klh~!perfprOiingWprJ(ttfat
affectsprpd~c;tsaf~ty,l~gali!yimcJ qyality are demonstrably competent to carry out
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All relevant personnel, including temporary staff and contractors, shall be appropriately trained prior to commencing work and adequately supervised throughout the working period.
7.1.2
Where personnel are engaged in activities relating to Critical Control Points, relevant training and documented
7.1.3
The company shall put in place documented
monitoring procedures shall be in place.
programmes covering the training needs of relevant personnel. These shall include as a minimum:
identifying the necessary competencies for specific roles
providing training or other action to ensure staff have the necessary competencies
reviewing and auditing the implementation
consideration of the delivery of training in the appropriate language of trainees.
and effectiveness of training and competency of the trainer
Records of all training shall be available. This shall include as a minimum:
name of trainee and confirmation
date and duration of training
of attendance
title or course contents as appropriat~
training provider.
The company shall routinely review the competencies of staff and provide relevant training as appropriate. This may be in the form of training, refresher training, coaching, mentoring or
on-the-job experience.
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company shall ensUrethatacce$sand
mOVmenf()f
pershhnel,visitor~C1ridc:(Ultractor$$h~llnotcO/TIpromise pr()duct
safety_
7.2.1
There shall be a plan of the site which defines access points for personnel, travel routes and staff facilities.
7.2.2
If it is necessary to allow access through production areas, designated walkways shall be provided that ensure there is adequate segregation from materials.
7.2.3
All facilities shall be designed and positioned, where possible, so that movement of personnel is by simple, logical routes.
7.2.4
Contractors and visitors, including drivers, shall be made aware of all procedures for access to premises and the requirements of the areas they are visiting, with special reference to
hazards and potential product contamination.
Personal Hygiene
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The requirements for personal hygiene shall be documented and communicated to all personnel. Compliance with the requirements shall be checked regularly.
7.3.2
Based on risk assessment, the company shall document its jewellery policy.
7.3.3
Watches shall not be worn. Jewellery shall not be worn, with the exception of a plain wedding ring, a wedding wristband and sleeper earrings (continuous loop). Rings and studs in
exposed parts of the body, such as noses, tongues and eyebrows, shall not be worn.
7.3.4
Hand cleaning shall be performed at a frequency that is appropriate, based on risk assessment.
7.3.5
Fingernails shall be kept short, clean and unvarnished. False fingernails shall not be permitted. Where visitors cannot comply, suitable control procedures shall be in place, e.g. nonhandling of product, use of gloves.
7.3.6
Excessive perfume or aftershave shall not be worn.
7.3.7
Smoking (where permitted under law), eating and drinking shall only be permitted in designated areas segregated from food-handling and storage areas.
7.3.8
All cuts and grazes on exposed skin shall be covered by an appropriately coloured plaster different from the product colour (preferably blue) and containing a metal detectable strip where
metal detectionIX-ray equipment is in use. These shall be company issued and monitored. Where appropriate, in addition to the plaster, a finger stall shall be worn.
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7.3.9
A sample from each batch of plasters shall be successfully tested through a metal detector and records shall be kept.
7.3.10
Procedures shall be in place to control the use of personal medicines to minimise the risk of contamination.
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7.4.1
The company shall have a procedure for the notification

contact or be suffering from.
by employees, including temporary employees, of any relevant infections, disease or condition with which they may have been in
7.4.2
Where there may be risk to product safety, visitors and contractors shall be required to complete a health questionnaire prior to entering the raw material, preparation, processing,
packing and storage areas. Where appropriate, these persons shall undergo medical screening before permission is granted.
7.4.3
There shall be documented procedures which are communicated to employees, including temporary employees, contractors and visitors, on action to be taken in the case of infectious disease from
which they may be suffering or have been in contact. Particular consideration should be given where product safety may be compromised. Expert medical advice shall be sought where required.
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Protective Clothing
Employees or Visitors to Production Areas
Suit~ble(ompany issued prQtee:tivedQtl1ing~haUbeVIJ()rriby
emplqyees/ (on tractors or visitoisworkiriginoielltering
production areas.
Based on risk assessment, the company shall document and communicate to all employees, contractors or visitors the rules regarding the wearing and changing of protective clothing in
specified work areas, e.g. high-risk and low-risk areas. This shall also include policies for wearing of protective clothing away from the production environment, e.g. removal before.
entering toilets, use of canteen and smoking areas.
Protective clothing shall be available that is:
provided in sufficient numbers for each employee
of suitable design to prevent contamination
of the product (as a minimum contain no external pockets or sewn on buttons).
7.5.3
Clean and dirty clothing shall be segregated and controlled to prevent cross contamination.
7.5.4
laundering of protective clothing shall take place in-house using defined and verified criteria to validate the effectiveness of the laundering process, or by an approved contracted and
audited laundry. The effectiveness of cleaning shall be monitored. Washing of workwear by the employee is exceptional but shall be deemed acceptable where, based on a detailed risk
assessment, it can be confirmed there is no risk to product safety. Detailed procedures shall be in place to ensure the effectiveness of the laundering process.
7.5.5
Where there is the risk of contamination,
7.5.6
All scalp hair shall be fully contained to prevent product contamination.
7..5.7
Based on risk assessment, snoods for beards and moustaches shall be worn to prevent product contamination.
smoking and eating while wearing protective clothing shall not be permitted.
7.5.8
Suitable footwear shall be worn within the production environment.
7.5.9
If gloves are used, they shall be replaced regularly. Where appropriate, gloves shall be suitable for food use;.of a disposable type; of a distinctive colour (blue where possible); be intact and
not shed loose fibres.
For operations involving high-risk products (refer to glossary) all visibly distinctive protective clothing (including footwear) shall be applied when entering, and removed when leaving,
the high risk area and stored in a designated changing area.
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VI
SECTION III
HOWTO GAIN CERTIFICATION
How to Gain Certification

The process by which a company gains and maintains certification is summarised in Figure 2.
Everyeffort has been made to ensure that the content of this audit protocol is accurate at the time of
printing. However, it may be subject to minor change, and reference should be made to the BRCGlobal
Standards website www.brcglobalstandards.com. where changes will be published.
Conformance by the company to the requirements of the Global Standard for Food Safety and its
suitability for the awarding of a certificate will be assessedby an independent audit company - the
certification body. Certification will be graded according to the number and type of non-conformities
which shall also influence the frequency of ongoing audits. This section describes the process to be
followed by a company seeking certification.
Self Assessment of Compliance with the Standard

It is essential that the company is assessedagainst the current issue of the Global Standard for Food
Safety and that this is available throughout the certification.process. The current issueof the Standard in
the required language is available from www.brcglobalstandards.com.
The Standard should be read and understood and a preliminary self assessmentshould be conducted by
the company against the Standard. Any areasof non-conformity should be addressed by the company.
Further information and guidance to ensure compliance with the Standard, including training courses
and guideline booklets, are available.
An optional on-site pre-assessment may be carried out by the selected certification body in preparation
for the audit to provide guidance to the company on the process of certification.
Selection of a Certification Body

Once a self assessment has been completed and non-conformities addressed, the company must select
a certification body. The BRCcannot adviseon the selection of a specific certification body, but the BRC
Global Standards Directory lists BRC-approved certification bodies. Visit www.brcdirectory.com.
In selecting a certification body, the company should consider:
acceptability of the certification body to customers; certain customers carry lists of their preferred
certification bodies
the scope of accreditation of the certification body. It is essential that the certification body is
accredited to assesscompanies for the categories of products produced. Clarification of the
categories of products against which the certification body can audit should be obtained either by
confirmation from the certification body concerned or from accreditation schedules published by
the appropriate national accreditation body. A list of product categories is provided in Appendix 3
confirmation that the auditor proposed by the certification body meets the qualifications, training
and experience requirements specified by the BRCand documented in Appendix 2.
l
INITIAL AUDIT
Corrective Action
Submitted or Revistt
Wilhin 90 Calendar Days
Corrective Action
SUbmitted or Revistt
Vvlthin 28 Ca Iendar
Days
No Corrective Action
Submitted Vvlthin 28 Days
EVidence Assessed
Inadequate
Additional
Clarification
Provided
No Certificate
Issued
Report Issued
Specifying Status
Process!
Certification
Suspended
Evidence
Assessed
Inadequate
Vidence Assessed
Compliant
No Certificate Issued
Report Issued
Specifying Status
Processl Certification
Suspended
Certification Decision
made by Certification
Decision Manager
Certificate Details and Audit Report

issued to company and sent to BRC
Critical or Major
(Fundamental)
Non-conformity
Identified
Certification
Suspended
Certificate Details and Audtt Report

listed on BRC Global Standards
Directory www.brcdirectory.com
Audit
In Accordance' With
Required Frequency
Company/Certification Body Contractual Arrangements

A contract shall exist between the company and the certification body, detailing the scOpeof the audit
and the reporting requirements. This contract will be form'ulated by the certification body.
The BRCwill require an administration fee to be collected by the certification body from the company for
every audit undertaken. The certification body shall not issue a certificate or report until the
administration fee has been received, irrespective of the outcome of the certification process.
4.1
Scopeof Audit
The scope of the audit must be agreed between the company and the certification body.
The audit, report and certificate shall be 'product' and 'site' specific. Eachsite shall be audited and the
certificate granted accordingly.
The scope of the audit and subsequent certificate shall cover the agreed products or product categories
where certain products may be excluded - exclusionsthat apply must be clearly stated on the certificate.
The certification of products must include audit of the entire process from raw material to end product
dispatch. Forfactored goods this must be clearly stated on the certificate.
Certification relates to the audit of all processeswithin the manufacture of a 'product' and this may in
some casesinvolve the audit at one or more premisesby the certification body for a specific product, e.g.
production and maturation of cheese. In the event that one or more premises are audited under one
product certification, the report and the certificate shallcl~arly indicate this information.
Once certification has been granted, any additional significant products manufactured or processes
undertaken by the site, which are required to be included in the scope of certification, must be
communicated to the certification body who will then conduct a site visit to examine the aspectsof the
required extension to scope. The current certificate will be superseded by any new certificate issued
using the same expiry date asdetailed on the original certificate.
It is the responsibility of the company to ensure that adequate and accurate information is given to the
certification body detailing the products it manufactures and the processtechnologies it usesto enable
the certification body to select an auditor with the required skills to undertake the audit. Auditors must
be skilled to audit in the relevant product category aslisted in Appendix 3.
The certification body, auditors and the company must be aware of the need to avoid conflict of interest
when arranging an auditor for the site visit. The company 'may request or decline the services of a
particular auditor offered by the certification body. However, as guidance, the certification body should
ensure that the same auditor does not undertake audits on more than three consecutiv'eoccasionsto the
same site. Exceptions to this should be justified on the audit report - such as a requirement for audit 'In
specialist areasand remote regions.
For the initial audit, the company shall agree a mutually convenient date, with due consideration given
to the amount of work required to meet the requirements of the Standard. For subsequent audits, the
mutually agreed date must allow sufficient time to ensure the company does not go outside of the
certification time frame as detailed in paragraph 12 'Ongoing Audit Frequency and Certification' and
referenced in Appendix 6.
There is a requirement on the company to plan carefully for the audit, to have appropriate
documentation for the au'ditor to assessand to have appropriate staff available at all times during the
on-site audit.
The company shall ensure that the production programme at the time of the audit covers products for
the intended scope of the certification. Where possible, the widest range of these products shall be in
production for the auditor to assess.Where the product range is large or diverse, the auditor has the
discretion to continue the audit until sufficiently satisfied that the intended scope of the certification has
been assessed.
The company shall provide the certification body with any information such as HACCP documentation,
recent quality issues, withdrawals or customer complaints and other relevant performance data that
would assistthe auditor in conducting an effective audit.
The company will make the previous year's audit report available to the auditor and the certification
body.
The company shall provide the certification body with appropriate information to allow them to assess
the duration and the cost of audit. Thisshould include details of manufacturing schedules to allow audits
to cover relevant processes,for example night time manufacture if necessary.Requested information
may also include, for example, a site plan, number of employees and number of product lines. The time
to assessall documentation is supplementary to the duration of the audit.
Before the audit takes place, the certification body shall indicate the approximate duration of the audit.
The typical duration of an audit shall be 1~ man days.Additionally upto one man day istypically required
for the completion of a comprehensive audit report.
However, certain factors can necessitate an increase or decrease in the duration of the audit. These
factors will require careful consideration both upon confirmation of the expected duration of the audit
and during the audit itself. Deviation from this time frame must bejustified and specified on the audit
report.
In the event that the company requires certification audits against other Standards, the total time taken
for these audits must be specified on the audit report and fully justified.
Factorswhich may influence the duration of the audit are:
company staff numbers and functions
numbers of locations, with separate offices, manufacturing or storage sites
complexity of the manufacturing process
number of product lines
size and age of site and impact on material flow
labour-intensity of processes
communication difficulties, e.g. language
the number of non-conformities recorded in the previous audit
difficulties experienced during the audit requiring further investigation
the quality of company preparation, e.g. documentation, HACCP,QMS.
For an audit of typically 1~ days' duration, 30-50% of time should be spent on examination of HACCPbased systems and audit of its practical implementation by an inspection of the production facility. This
will vary according to the complexity of th~ operation. Time taken shall be detailed on the.audit report.
the opening meeting - to confirm the scope and processof the audit
document review - a review of the documented HACCPand Quality Management Systems
production facility inspection - to review practical implementation of the systemsand interview

personnel
review of production facility inspection -to verify and conduct further documentation checks
final review of findings by the auditor - preparation for the closing meeting
closing meeting - to review audit findings with the company. Note that non-conformities are
subject to subsequent independent verification bythe certification body management.
The company will fully assist the auditor at all times. It is expected that at the opening and closing
meetings those attending on behalf of the company will be senior managers who have the appr~priate
authority to ensure that corrective action can be progressed if non-conformities are found. Th~ most
senior operations manager on site or their nominated deputy shall be available at the audit and attend
the opening and closing meetings.
During the audit, detailed notes shall be made regarding the company's conformities and nonconformities against the Standard and these will be usedasthe basisfor the audit report. The auditor will
assessthe nature and severity of any non-conformity .
At the closing meeting, the auditor shall present his/her findings, and discuss all non-conformities that
have been identified during the audit, but shall not make comment on the likely outcome of the
certification process. Information on the processand timescales for the company to provide evidenceto
the auditor of the corrective action to close non-conformities must be given. A written summary of the
non-conformities discussed at the closing meeting will be documented by the auditor either at the
closing meeting or within one working day after completion of the audit.
The decision to award certification and the grade of the certificate will be determined independently by
the certification body management, following a technical review of the audit report and the closing of
non-conformities. The company will be informed of the certification decision following this review.
The level of non-conformity assigned by an auditor against a requirement of the Standard isan objective
judgement with respect to severity and risk and is based on evidence collected and observations made
during the audit. This isverified by the certification body management.
Critical
- where there is a critical failure to comply with a food safety or legal issue
Major
- where there isa substantial failure to meet the requirements of a 'statement of intent' or anyclause
of the Standard
- a situation is identified which would, on the basisof aVailableobjective evidence, raisesignificant

doubt asto the conformity of the product being supplied
- where absolute compliance to the 'statement of intent' has not been met but on the basis of
objective evidence the conformity of the product is not in doubt
and/or
- a clause has not been fully met but, on the basis of objective evidence, the conformity of the
product is not in doubt.
The objective of the audit is to provide a true reflection of the standard of the operation and level of
conformity against the Global Standard for Food Safety. Consideration should therefore be given to
awarding a single major non-conformity where minor non-conformities are repeatedly raised against a
particular clause of the standard. Clustering of a significant number of minor non-conformities against a
clauseand recording this as a single minor non-conformity is not permitted.
8.2
Procedures for Handling Non-conformities and Corrective Action

The criteria for grading and means of confirming corrective action are summarised in Appendix 4. The
decision to award a certificate, and the grade of the certificate, A, 8 or C, will depend on the number and
severity of non-conformities raised, and the completion of effective corrective actions within the stated
time limit by the company. Where the number and type of non-conformities exceeds a certain level, a
grade 0 isassigned and certification will not be granted (refer to Appendix 4).
Following identification of any non-conformities during the audit; the company must develop a
corrective action plan to address the non-conformities identified. Evidencethat corrective action has
been completed must be provided by the company to the certification body prior to a certification
decision being made.
Non-conformities from the previous audit should be checked during the current audit to confirm
corrective action has been taken and is operating effectively. Any repetition of these same nonconformities in the current audit shall be highlighted by an asterisk(*) and consideration should be given
to raising the status of minor non-conformities to a major.
Critical or Major Non-conformities Raised against 'Fundamental' Clauses

Where a critical or major non-conformity against the statement of intent of a 'fundamental' clause has
been established at an initial audit, the company shall not gain certification. Where a critical nonconformity isfound at a subsequent audit, certification must be immediately suspended.
In either of the above cases,this results in the awarding of a grade 0 and there shall be a further full onsite audit carried out to verify appropriate corrective action has taken place and there is demonstrable
evidence of compliance.
In the event that a critical or major non-conformity against the statement of intent of a 'fundamental'
clause has been established by the certification body, the company shall immediately inform its
customers and make them fully aware of the circumstances.Information on the corrective actions to be
taken in order to achieve certification status will also be provided to customers.
Major Non-conformities
No certificate shall be issued until major non-conformities have been demonstrated as having been
corrected.
It is normally expected that major non-conformities will be correctedwithin 28 calendar daysof the audit
taking place, either permanently or temporarily (providing the solution is acceptable to the certification
body) and the certification body can verify that corrective action hastaken place.
This can be achieved either by objective evidence being submitted to the certification body such as
updated procedures, records, photographs or invoicesfor work undertaken etc., or by.the certification
body unde-rtaking a furttJer on-site visit.
For initial audits only, if there is no'temporary solution or if there is a justifiable delay to implementing a
permanent solution, e.g. lead time for capital expenditure, then provided that an acceptablestatement
. of explanation is received by the certification bodywithin'28 calendar days, the company may remain in
the certification programme for up to 90 calendar days,but will remain uncertificated and will only be
certificated following verification of the corrective action being implemented. If the major nonconformity cannot be closed out within the 90-day period, the process of certification will commence
again, i.e. a full audit.
If there isno formal commitment to implement corrective action received by the certification body within
the 28 calendar day post-audit period, or if there isafailure to meet the timescale proposed in the nonconformity summary sheet without justification, the company does not remain in the certification
programme. The company will then require a further full audit in order to be considered for certification.
Certification will only be awarded where minor non-conformities have been addressed, the corrective
action taken and evidence (e.g. photos, invoices) for work completed has been provided to the
certification body, within 28 calendar days following the audit. The certification body may undertake
further site visits to verify that action hasbeen taken. Where documentary evidence is provided, absolute
verification may be left until the next audit.
At the subsequent audit, if verification cannot be confirmed, then a non-conformity may be raised and
may be elevated to a major non-conformity.
For certificated companies, where deemed appropriate, the certification body may carry out further
audits or question activities to validate continued certification at any time. These visits may take the form
of announced or unannounced visits to undertake either a full or part audit.
Where justifiable, suspension or withdrawal of certification may be implemented pending the outcomes
of such further reviews by the certification body. The ultimate decision to suspend or withdraw
certification remains with the certification body.
If there is no intention on behalf of the company to take appropriate corrective actions or the corrective
actions are deemed inappropriate, certification shallbe withdrawn.
In the event that certification is withdrawn or suspended by the certification body, the company shall
immediately inform its customers and make them fully aware of the circumstances relating to the
withdrawal or suspension. Information on the corrective actions to be taken in order to reinstate
certification status will also be provided to customers.
10
Grading of the Audit

The purpose of the certification grading system isto indicate to the user of the report the commitment of
the company to continual compliance and will dictate the future audit frequency (full detailsavailable in
Appendix 4).
The grade is dependent on the number and severityof the non-conformities identified at the audit and
verification by a technical review by the certification body management where the number and severity
of non-conformities may change.
The certification body will review objective evidenceof corrective action completed prior to awarding a
certificate, but this will not improve the grade awarded.
After a successful re.'iiewof the audit report and documentary evidence provided in relation to t~e nonconformities identified, a certification decision shall be made by the designated independent
certification manager and a certificate issuedby the ceitifi~ation body typically within 42 calendar days
of the audit. The certificate shall conform to the format shown in Appendix S,using BRC and
accreditation body logo usage rules.
11 All dates specified on the certificate shall be the format of: day, month, year,e.g. 11 November 2007,
The certificate will detail the scope of the audit as agreed in paragraph 4.1.
Where the on-site audit has been undertaken by an auditor trained by the BRCwho has been issued
with a BRCThird Party Auditor Certificate for this Standard, the BRCTrained Auditor Logo may be
added to the certificate.
The date of audit specified on the initial certificate shall be the date of the audit relating to the
granting of that certificate (the date of the initial audit) irrespective of whether further audits were
made to verify corrective action arising from the initial audit.
The usersof certificates are advised that they should verify that the scopeof the certificate isclearlystated
and that this information is consistent with their own requirements. Whilst the certificate is issuedto the
company, it remainsthe property of the certification body who control its ownership, useand display.
The company has the right to appeal the certification decision made by the certification body and any
appeal should be made in writing within seven calendar daysof receipt of the certification decision.
The certification body shall have a documented procedure for the consideration and resolution of
appeals against the certification decision. These investigative procedures..shallbe independent of the
individual auditor and certification manager. Individual certification bodies' documented appeals
procedures will be made available to the company on request. Appeals will be finalised within 30
calendar days of receipt. A full written responsewill be given after the completion of a full and thorough
investigation into the appeal.
In the event of an unsuccessful appeal, the certification body hasthe rightto charge costsfor conducting
the appeal.
11
Audit Reporting
Following each audit, a full written report shall be prepared in the agreed format. The report shall be
produced in open text format in English or in another language dependent upon user needs.
The detailed audit report section shall include both comment where criteria have been met, particularly
where improvement or enhancement is evident, and objective evidence to support any nonconformities that have been identified.
The detailed audit report section must assistthe reader to:
gain greater understanding of individual clauseseither for conformity or for non-conformity
be informed of corrective action taken
be informed of improvements made sincethe last audit
be informed of 'best practice' systems, procedures, equipment or fabrication in place
be informed of any additional pertinent comments the auditor made.
The report shallaccurately reflect the findings of the auditor during the audit. Reportsshallbe prepared and
dispatched to the company within a period typically no longer than 42 calendar daysafter the audit date.
Audit reports shall remain the property of the company commissioning the audit and shall not be
released, in whole or part, to a third party unlessthe company hasgiven prior consent (unless otherwise
required by law). This may be by a consent form, or may be contained within a contract between the
company and'user or the company and th~ certification body. The certification body will retain a copy of
the audit report. The audit report and associated documentation shallbe stored safely a~d securelyfor a
period of five years by the' certification body.
A copy of the audit report shall be sent bythe certification body in the required format to the BRC.
12
Ongoing Audit Frequency and Certification

The ongoing audit schedule will be agreed between the company and the certification body. The
minimum frequency will be 12 months, but this could vary according to the performance of the
company at an audit as reflected by the grade, as stated in Appendix 4.
The due date of the subsequent audit shall be calculated from the date of the initial audit, irrespective of
whether further site visits were made to verify corrective action arising from the initial audit, and not
from the certificate issue date.
The subsequent audit shall be scheduled to occur within a 28 calendar day time period up to the next
audit due date. This allows sufficient time for corrective action to take place in the event of any nonconformities being raised, withoutjeopardising continued certification.
Appendix 4 provides worked examples in accordance with the six month and twelve month audit
frequencies.
It isthe responsibility ofthe company to maintain certification. Where an audit is delayed beyond the due
date, except in justifiable circumstances, this shall resultin a major non-conformity being awarded at the
next audit. Justifiable circumstances shall be documented in the audit report.
There will be some circumstances where the certificate cannot be renewed on the six month and twelve
month basis due to the inability of the certificatio'1 body to conduct an audit. These justifiable
circumstanceswhich would not result in the assigningof a major non-conformity (refer to Section IIclause
1.11) can include when the site is:
situated in a specific country or an area within aspecific country where there is government advice
to not visit and there is no suitable local auditor
within a statutory exclusion zone that could compromise food safety or animal welfare
in an area that has suffered a natural or unnatural disaster, rendering the site unable to produce.
If the renewal of the certificate is prevented due to these exceptional circumstances, the customer may
still decide to take products from that site for an agreed time, as they may still demonstrate legal
compliance by other means such as risk assessmentand complaints records, to show that the site is still
competent to continue production until another audit can be arranged.
Refer to glossary for definition of seasonal products.

A site that is open for 12 months of the year may processproducts in different seasons,but would not be
classed as a seasonal products site asit would operate all the year round. If specific seasonalproducts are
in scope there may be a caseto visit the site more than once a year.
For true seasonal products there may be circumstances where the frequency could be more than 12
months. The on-site audit date will be dictated by product harvest which may be affected by the
weather. The certificate expiry dates in these circumstances will be controlled by the actual audit date
rather than the anniversary of the initial audit date. Justification needs to be included on the audit report.
Certain seasonal products are manufactured for only six or fewer months in any annual cycle.The audit
must take place during the production of the product, irrespective of grade assigned from the previous
audit. Verification of corrective action in relation to critical and major non-conformities must take place
within the seasonal period that the product is manufactured.
13
Optional Unannounced Audits

In order to demonstrate confidence in their quality and safety systems, companies may elect to
undertake optional unannounced audits. This scheme provides a company's customers with an
independent unannounced review of systems and procedures, and therefore a further means of
reviewing their risk rating of suppliers. This may influence the frequency of customer audit, where
conducted, and other performance procedures applied by the customer.
The decision to participate in the scheme restswith the company, and is open to those companies who
have been awarded certification grades A or Bin their normal annual audit. The company must indicate
to the certification body their intention to participate in the schemeat the time of the annual audit.
The unannounced audit will occur at any stage within the twelve month duration of the existing
certificate, but will typically occur within the six-twelve month time frame. The BRCshall monitor the
operation of this scheme to ensure consistent management by certification bodies.
The audit will, asfor the normal annual audit, examine all aspectsof the company's systems against the
requirements of the Global Standard for Food Safety.The grading criteria will be as for an announced
audit asdetailed in Appendix 4.
Successful completion of the audit will result in the awarding of certification grade A, B or C. The
unannounced audit will be distinguished by an asterisk (*), so companies completing the audit will be
awarded Grade A*, B* or C* where * indicates an unannounced audit. This grade will appear on the
certificate, which will supersede the existing certificate. The existing certificate will be revoked.
If the company wishes to remain in the optional unannounced audit sc~me the next audit will occur at
any stage within the duration of the certificate. If the company wishes to withdraw from the optional
unannounced audit scheme, the next audit will be announced and will occur at the end of the period
covered by the certificate awarded at the unannounced audit, in compliance with Appendix 4.
In the event that the company becomes aware of legal proceedings with respect to product safety or
legality, or in the event of a product recall, the company shall immediately make the certification body
aware of the situation. The certification body in turn shall take appropriate steps to assessthe situation
and any implications for the certification, and shall take any appropriate action.
15
Certification Body Performance Monitoring
Companies audited against the Global Standard for Food Safety may wish to provide feedback to the
certification body on the performance of the auditor or the BRC.A standard format for this purpose is
provided by the BRC. Such feedback will be considered by the TechnicalAdvisory Committee of the
Global Standard as part of performance management of the certification body.
The BRChas implemented a formal referral processwhich isavailableto organisations involved with the
Global Standards.
From time to time failure to apply the principles and criteria of the BRCGlobal Standards at certificated
sites may be reported to the BRCby, for example, retailers and companies conducting their own audits.
In this event, the BRCwill request a documented report of the reasonsfor the complaint, and refer this
report to the ro:ertificationbody conducti~g the audit. The BRCwill require a full investigation of the
issuesraised and a report from the certification body submitted to the BRCwithin 28 calendar days.
SECTION IV
THE BRC GLOBAL STANDARDS
DIRECTORY
The BRe Global Standards Directory
The Global Standards Directory is an online searchable directory of certificated Food, Packaging,
Consumer Products and Storage and Distribution companies. Each entry includes relevant company
details, contact and certification 'Information. The Directory also includes details of certification bodies
approved by the BRC and delegates who have successfully completed the BRC third party auditor
training course.
The Global Standards Directory was developed to provide key information to retailers and to improve the
management of the BRC Global Standards scheme. It provides a system of data storage of audit
information, both live and archived. Data is centrally managed and controlled to maintain accuracy and
integrity,
Benefits of the Directory to Companies
use of the BRCGlobal Standards logo, which can be used on all of the company's communications,
including stationery, brochures and websites
significant discounts on all BRCtraining courses
a quarterly electronic newsletter
pre-release notification and special offers on BRCpublications, conferences and events.
Directory Functionality
Information about certificated suppliers is provided to the BRC by certification bodies. The Directory
provides the following facilities:
a searchable list of certificated companies including contact details, the Standard against which
they are certified, scope and web site links
a searchable list of approved certification bodies, including local offices and contact details
a searchable list of delegates who have successfullycompleted the BRCthird party auditor training
course.
The Global Standards Directory will continue to evolve providing additional functionality to key user
groups including companies, customers and certification bodies. These developments will allow user
specific accessto certification information and management reporting, further enhancing the value of
obtaining BRCcertification.
APPENDICES
Appendix 1
The Global Standard for Food S'afety and its

Relationship with Other BRCGlobal
Standards
The BRC has developed a range of Global Standards which set out the requirements for the wide range of
activities undertaken in the production, packaging, storage and distribution of food.
The Global Standard for Food Safety isan auditing Standardthat sets out the requirements for food businesses
that process food or are involved in the preparation of primary products for supply as retailer branded products,
branded products, and food or ingredients for use by food servicecompanies, caterers or manufacturers. It can
only be used where food is processed or when there is a contamination hazard during the primary packing or
handling of loose food. Certification will only apply to products that have been manufactured or prepared at the
site where the audit has taken place, and will include storage facilities that are under the direct control of
production site management. Companies whose primary occupation isthe processing of product or supply of prepacked product may have factored goods (refer to glossary)included in the scope of the certification, where they
can demonstrate that appropriate controls are in place and the scope specifically excludes the processing or
preparation of these products.
The BRCGlobal Standard for Storage and Distribution isan auditing Standard that setsout the requirements
for the storage, distribution and wholesaling and contracted servicesfor pre-packaged and loose food products,
packaging materials and consumer goods. There are specific modules for each activity undertaken and the
Standard specifies the requirements for storage, distribution, wholesaling and contracted services. Companies
that offer contracted chilling/freezing/thawing and defrosting operations will not be covered by this Standard as
these operations are deemed to be processing activities and are covered by the Global Standard for Food Safety.
Application of this Standard only commences when the food enters third party storage premises, third party
vehicle or premises owned by the manufacturer not covered by the scope of the Global Standards for Food Safety,
Packaging or Consumer Products. The Standard is not applicable to:
storage facilities under the direct control of the production site management
operations where product processing, handling or packing/repacking of open food occurs.
The Global Standard for Storage and Distribution does not cover:
In addition companies such as trade agencies, brokers and importers that do not have manufacturing, packing,
storage or transport facilities cannot apply for certification under the Standard but such companies may request
certification from their suppliers involved in these activities.
The BRCGlobal Standard for Packaging and Packaging Materials is an auditing Standard that laysdown the
requirements for the manufacturing of packaging materials used for food and consumer products. Food
businesses may request this from their suppliers of packaging.
The BRChas also developed the Global Standard for Consumer Products, which is not applicable to food, and
specifically excludes food associated products such asvitamins, minerals and herbal supplements which fall within
the scope of the BRCGlobal Standard for Food Safety.
Appendix 2
Qualifications
Training a'nd Experience

Requirements for Auditors
1
The following identify the minimum requirements for auditors to conduct audits against the BRCGlobal Standard
for Food Safety.
The auditor shall have a degree in a food-related or bioscience discipline, or as a minimum have successfully
completed a higher education course in a food or bioscience-related discipline,
The auditor shall have a minimum of five years post-qualification experience related to the food industry. This shall
involve work in quality assurance or food safety functions within manufacturing, retailing, inspection or
enforcement and the auditor shall be able to demonstrate an understanding and knowledge of specific product
categories for which they are approved, The verification of the auditor's ability to carry out work within specific
product categories is the responsibility of the certification body,
passed a registered Management System Lead Assessor Course (e,g, IRCA)or the BRCThird Party Auditor
course delivered by a BRCApproved Trainer.
completed a training course in HACCP (as evidenced by examination), based on the principles of Codex
Alimentarius, of at least two days' duration, and be able to demonstrate competence in the understanding
and application of HACCP principles, It is essential that the HACCPcourse is recognised by the industry (and
its stakeholders) as being appropriate and relevant
Audit Training
Auditors must have successfully completed a period of supervised training, including witnessed audits, in practical
assessmentthrough 10 audits or 15 audit days involving third party food safety audits against Global Food Safety
Initiative (GFSI)approved Standards, ISO22000 or ISO9000 series(at a food company) of which at least five must
be against the Global Standard for Food Safety.
Certification bodies must be able to demonstrate that every auditor has appropriate training and experience for
the particular categories for which they are considered competent Auditor competence shall be recorded at least
at the level of each category as indicated in Appendix 3,
Certification bodies must establish training programmes for each auditor, which will incorporate:
a Global Standard for Food Safety Awareness Course delivered by a BRCApproved Trainer
a period of initial training covering product safety, HACCP and prerequisite programmes, and accessto
relevant laws and regulations
a period of supervised training to ,cover quality managemen~ systems, audit techniques and specific
category knowledge
II
assessment of knowledge and skillsfor each categot"'j
II
documented sign off after the satisfactory completion of the training programme.
Eachauditor's training programme shall be managed and approved by a technically competent person within the
certification body who can demonstrate technical competence in the categories in which training is given.
Full detailed training records of the individual shall be maintained by the certification body throughout the term of
employment, and retained for a minimum period of five yearsafter leaving the employment of the certification
body.
Where a certification body employs an auditor who does not fully meet the specific criteria for education but has
been assessedas competent, there shall be a fully documented justification in place to support the employment
of the auditor.
Responsibility of the Certification Body

It is the responsibility of the certification body to ensure processesare in place to monitor and maintain the
competence of the auditor to the level required by the Standard.
Appendix 3
Product Categories
Category .category: .'..
~o.:
.> ~~~~d~~iO~~_
:-.-:<.:'.
:1'"
.:~-'-.(:,::'-.~-":'~;
.. ;",',:
Raw products
of animalor
vegetable
origin that
require
cooking prior
to
consumption
Fruit,
vegetables
and nuts
. Prepared/semi-processed'
fruit,vegetables ~nd salads
inciudingprep~redready
.
'to ~atsalads.colesl~ws,
chips, frozen vegetables
Field of
audit
no.
Ambient
stable
products with
pasteurisation
or sterilisation
as heat
treatment
11
Ambient
stable
products not
involving
sterilisation
as heat
treatment
12
Canned products (e.g.

beans, soups, meals)ruit,
tuna)
Products packed in glass
(e.g;sauces, jams, pickled
vegetables)
Salad dressings, "

mayonnaise, vinaigrettes
Appendix 4
Summary of Grading Criteria Action Reql.lired

and Audit Frequency
1
Certification will not be granted and therefore no grade shall be awarded if corrective action is not completed or
evidence of completion is not received by the certification body within the 28 calendar-day timescale.
The certification body shall justify a high number (more than 20) of minor non-conformities where there is either
one major non-conformity or none. This shall be detailed on the audit report.
Appendix 5
Certificate Template
Trained third
party auditor
logo
COMPANY NAME
AUDIT SITE ADDRESS
Has been evaluated by Certification Body name and registration number

and found to meet the requirements of
GLOBAL STANDARD for FOOD SAFETY

ISSUE 5: JANUARY 2008
Date of audit:
Certificate issue date:
Re-Audit due date:
Certificate expiry date:
Accreditation
Body Logo
EJ
Appendix 6
Certificate ValiditY1 Audit Frequency and

Planning
+24 months
due date ot1l1.

renew aIau cil no t
o'
rllr18Wa audit. not
Ia1er1llan
(e.g. 17105120(8)
1. Data otthe
lnillal aucllt
(8.g. 17105120(7)
2.
later than
}3 1
..
-_.-
_.
..
__
-..
..
"'' 1'
\~
,/I:W:R'r.Q1'f:i!
"'~":;:f!(\_
~-.--~'--
--
.-.- r
.........
-',"
..
..
'\
. \\
I,.
7 8 9 10 11 12 1 ,2 3 4 5 6 7 8 9 10 11 12 1 I Durati on In \
/
Month s
'~
1.l.aIaItdllll of
'_Idol",
CW1fIic*.
(CallI of:lUdlt+42
.dIIY'1 21110l!I07)
---=-~
0;'"
l
1
"!lIlJ'ZI;~1
2.:5ioh:."ilr.i!c.illm ilil':lf
l,~lI.:I'~!-...j;;
.-
Year 1. Certificate validity: 12 months

(initial audit date + 12 months + 42 days)
a udit, not later than
.4'12mcnlhs
dUe datrt of1ll.
ren ..laualt. not
later than
(e.g. 12/0812007)
(e.g. 12f02120081
+6mamhs
due date of the renewal
(e,g,l2J0212007)
"
:::'~ill:!Il'l'l!1l<
wtnltr =JaDj~
"""
-',
'",",
'---j
I
I
1 2 3 4 5 6 7 8 9 10 11 12 1 2 Durati on i~""''',
~
Month s
L
,//
1. ~alt" ""' Of
1WI,4.f1lM
_to
\Oalo.'audll">G
days 28/03107)
./
1.~~
lLA:f:1I:.',i.!;WJl
1liI"~
M!l.'~
_~_
1. Certificate validity:
/'
i'lbR"OI-itiCitt- ..1.i_
.:0
6 months
(Initial au<fit date + C months + 42 dayS)
. "'.~"._' ._. __ "_,._._."_~,,~
__ _____
,,.~,.__ .,_._~._~
h'_.'
.,.
//
Appendix 7
Glossary
Procedure by which an authoritative body gives formal recognition of the competence of a
certification body to provide certification services against a specified standard.
Procedure bywhich accredited certification body based on an audit and assessment of a

company's competence provide written assurance that a company ccnforms to a standard's
requiremen~.
.
Provider of certification services, accredited to do so by an authoritative body.
Body responsible for establishing internationallyrecognised
guidelines of which HACCP is one such standard.
standards, codes of practice and
The person, firm, company or other entity with whom a confirmed purchase order is placed, or
who owns premises where products in whatever form originate. or who is otherwise
responsible for employing or procuring the services of food handlers in the production and
preparation of food.
Introduction or occurrence of an unwanted contaminant in food or food environment.
Contamination includes: physical, chemical. biological contamination. Contamination can also
mean correlation of packages among themselves.
Any action or activity that can be usedto prevent or eliminate a food safety hazard or reduce it
to an acceptable level.
Action to eliminate the cause of a detected non,conformitydeviation.

step atwhichcontrol can be appliedand isessentialtopreventorelin1inate~foodsafety
hazard or reduce it to an acceptable level.
'
A business or person to whom a product has been provided,eitheras
component part of the finished product.
a finis'hedproduct
or asa
A structured approach to determining and addressing the needsof~norganisation

to whom
the company supplies products and which may be measured by the use of performance
indicators.
The ultimate consumer of a foodstuffwho
operation or activity.
Anyonewho
'iVillnot use the food as part of any food business
handles or prepares food, whetheropen(unwrapped}or
Assurance that food will not cause harm to the consurner"vhenitis

according to its intended use.
","
.,'
.... ',
'.
packaged.
prepared and/oreaten
,'.,
A requirement of the Standard that relates tpa systernwqich must bewellestablished.

. ..monitoredpythecof11panyasabsenceorpooradherence
serious repercussionsontheintegrityorrafetyqfthe
productsopplied.
A biological, chemical or physical agent in. orcandition

adverse health effect.
to the
of. food with the potentialto cause an
system that identifies. evaluates and controls hazards which are significantforfoodsafety.
An area designed to a high standard where practices. relating tOpersonnel,ingredients.

equipment. packaging and environment aim to minimiseproductcontamination
by pathogenic
micro-organisms.
A physically segregated area, designed to a high standard of hygiene, where practices relating
to personnel, ingredients, equipment, packaging and environment aim to prevent product
contamination by pathogenic micro-organisms.
High-risk product
Chilled ready to eat/heat product orfood where there isa high risk of growth from pathogenic
micro oroanisms.
Identity
Preserved
A product which has a defined origin or purity characteristic which needs to be retained
throughout the food chain, e.g. through traceability and protection from contamination.
Incident
An event that has occurred which results in the production or supply of unsafe, illegal or nonconforming product.
Initial audit
The first BRC audit at a company/site.
Internal audit
General process of audit, for all the activity of the COmpany.Conducted by or on behalf of the
company for internal purposes.
Job description,
A list of the responsibilities for a given position at acompany,
Low-risk operation
An operation where the processing or handling of foods presents leastorminimumrisk

of
product contamination or growth of micro-organisms; orwhE!rethesubsequentprocessing
preparation of the product by the consumer will ensure productsaf~ty.
The noncfulfilment of specified product safety, legal orqualityrequirementor
requirement.
or
a spE:cified~;ystem
Summaries of quantified datathat provideinformation~nth~le'let()fc6rnPlianceagaihst'

agreed targets, e.g. customer complaints, product incidents,JaboratorYdata;.,
'-,
.' ....
".
.'.',"':'-.-
..,,-:
.....
, "."1':"/.""':":"':'
"",,1;-."<'
Water being safe to drink and free of poliutantsafJd harmfulorgadi~msandcbAforn1ingtolocal

legal requirements.
' ,
Preparation of
prim~,ryprodu~t
Food product which has undergone washins, ortrimrning,or"size~gradingorquality-grading,

process and is pre-packed.
"
Primary packaging
Packaging which is in direct contact with food.

Agreed method of carryingoutan activity or process which is irnPlernentedand
the form of detailed instructions or process description (e.g:aflowchart).
dOCUmented in
..,
Food product which has undergone anyof thefoII00ingpr~cesses:aseptic

filling,baking,
",..
battering, blending, bottling, breading,brewing, canning, coating,c?okil1g,curi~g,cutting"
dicing, distillation, drying, extrusion, fermentation,freeze drying;'fre~~ing,frying,hotfilling,
irradiation, microfiltration, microwaving, milling, mixing,packedinrn?d,ifjed
atmosphere,"
packed in vacuum packing, packing, pasteurisation,pickling, roastirjg, slising, smoking;
steaming or sterilisation.
Any substance notconsumed as a foodbyitself, intentionallyJsedin~h~prdcessingofT~w
materials, foodsortheir ingredients to fulfil a cE!rtair/techno'ogicalpurposeduringtre~\rn~ntor
processing, and which mayresult inthe. unintentionalbuttechnisally~nayoid.~blepr~s,enc~of
the residues of the substance or itsderivativesinthefinalproduct,Pfovidedtpattresgresidues
do not present any health risk and do not have any tech nolggical. effeq on thefini?hecl prod.qct:
,
.'
.,.-",'
:,.','
.. ';.:
...
,:,';: . .','.. ,.'., ... ..;,,:-',:
...
:.-,-.:
.._ ... ,.,:"',,.::,;',:-,
:"
.... ,.:.",.:':, .. :.::
',",::'
Any measures aimed at achieving the return ofan,unfitpr6ddctfrornfin~Lcon~drri~rsand

customers.
Product withdra,..;j~(
Any measures aimed at achieving the return of an unfit productfromcust()mersbutnotfina',

consumers.
Quantity check/mass
balance
A reconciliation of the amountofincomingraw

materialagainsttheamountusedinthe
resulting finished produc'"LS,also taking into account process waste and rE!I,york.
Recognised
laboratory
accreditation
Laboratory accreditation schemes that have gained nationaFand iQternationalacceptance

.
awarded by a competent body and recognised by government bodies or users ofthe Standard,
e.g. ISO 17025 or equivalents.
A trademark, logo, copyright or address of a retailer.
Retailer
A business selling food to the public by retail.
R~tailer-branded
fQod products
Food products bearing a retailer's logo, copyright or addres~1ngredientsused tomanufilcture

within retailer's premises; or products that are legally regariiled as therespc:nsibility ofthe retailer.
specifically forthe duration of :he

a 12-month cycle.
Appendix 8
Acknowledgements
The British Retail Consortium is grateful to the members of the Working Group who prepared this
document:
Alan Botham
Northern Foods
Jo Head
British Meat ProcessorsAssociation
Linda Riley
Waitrose
David Brackston
Juliette Jahaj
Sainsbury's Supermarket Ltd
Valerie Rumbelow
Provision Trade Federation
Andy Brown
Food and Drink Federation
Ron Kill
Micron 2
Harriet Simmons
National Britannia
Paul Elstone
TescoStores Ltd
Phillip Knight
Knight International
Geoff Spriegel
Julie Evans
Booker
Clive Manvell
CMi
John Tugwell
Fresh~Produce Consortium
Mark Fincham
Lloyd's Register Quality Assurance
Amanda McCarthy
SGS
Chris Walker
Food and Drink Federation
Susan Fletcher
Sainsbury's Supermarket Ltd
Rob Nugent
Susan Wright
Asda Stores Ltd
Karen Hagan
Carole Payne
SAI Global Assurance Services Ltd
The British Retail Con'sortium

organisations
is also pleased to acknowledge
the helpful contributions
provided b'y individuals and
from across the globe:
1]1
...
ACM Ltd
Agriquality
Limited
Aria Foods
ARS PROBATA
=: ;
'*
Asda Stores Ltd
AUS-QUAL Pty Ltd
==
Control Board
Prosanitas
Eurofins
Faccenda Group
QAI Pakistan
Food and Drink Industry

Ireland
Food Standard Solutions
SAI Global Assurance
Company Ltd
Services Ltd
Sainsbury's Supermarkets
HyGeNieus
Bill Cossins
Iceland Foods
Sativa
Bioagricert
Inspectorate
SGS
British Meat Processors

Association
Systems
Intertek
Ltd
Hong Kong Inspection
International Quality
Ltd
Spar (UK) Ltd
II!
,.:]
==
D
Swiss Technical Services
~
BSI
Isacert
Tesco Stores Ltd
~
i
Bureau Veritas
JOA International
Reading Scientific Services
..
RBK Consultants
Bakkavor Group
Bodycote
III
DNV Sweden
Perishable Products Export
I
Altego Consulting
DNV Finland
Tuev Nord
Burger King
LSQA Latu Sistemas
TUV Italy
Cadbury Schweppes
Mack Multiples
UKAS
TakeAway a
Training Course
The quickest and easiest way to learn how to achieve and maintain BRC certification is to
engage your technical personnel in a BRC training course. All our courses are highly
interactive,
flexible, and innovative
with a fun approach that helps the individual
learn.
You can even 'pick and mix' content from any course materials or we
can design a new programme to suit the organisations' and individuals
truly exclusive bespoke solutions.
www.brctraini~g.com
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British Retail Consortium

the written permission of the copyright owner. Application

The Standard consists of the following sections:

The Scope of the Global Standard for Food Safety

Food Safety Legislation

Benefits of the Global Standard for Food Safety

Technical Governance of the Global Standard for Food Safety

BRC Logos and Plaques

Effective Date of Issue 5

'A Thank You' from the BRC

2 The Food Safety Management

Principles of the Global Standard for Food Safety

The Format of the Global Standard for Food Safety

How to Gain Certification

Self Assessment of Compliance with the Standard

Selection of a Certification Body

Body Contractual Arrangements

Audit Preparation by the Company

Duration of the Audit

The On-site Audit

Procedures for Handling Non-conformities

and Corrective Action

Body Performance Monitoring

The BRC Global Standards Directory

The Global Standard for Food Safety and its

Training and Experience Requirements

Certificate Validity, Audit Frequency and Planning

The Scope of the Global Standard for Food Safety

Food Safety Legislation

to establish and maintain a risk-assessedprogramme for product examination, testing or analysis

is comprehensive in scope, covering areasof quality, hygiene and product safety

addresses part of the legislative requirements of the food manufacturer/supplier, packer/filler,

IAF Guideline on the

BRG Global Standards

Technical Governance of the Global Standard for Food Safety

to advise on the development and management of the Standard

Achieving BRC certification is something of which to be proud. Companies that achieve

Acknowledgements: 'A Thank You' from the BRC

The Food Safety Management System

Principles of the Global Standard for Food Safety

The Format of the Global Standard for Food Safety

Senior Management commitment - the resourcesrequired for demonstration of commitment to