1. finance
2. accounting and auditing

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GLOBAL STANDARD FOR FOOD SAFETY - NORTH AMERICAN VERSION
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ISSUE 5
Issue 5
9 780117 066588
www.tso.co.uk
FOR FOOD SAFETY - NORTH AMERICAN VERSION
ISBN 978-0-11-706658-8
Setting the standards
for best practice
Tick all the right boxes with the BRC’s
Global Standards and Guidelines
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The British Retail Consortium continues to
lead the market with new editions of its Global
Standards and Guidelines.
The British Retail Consortium continues to lead the market with its Best Practice
Guidelines. These ‘how to’ guides provide practical advice on implementing and
complying with the best practice requirements of the BRC Global Standards.
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BRC Global Standards:
œ Consumer Products Issue 2a
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Print: 9780117025967
PDF: 9780117038851
Used by suppliers in almost 90 countries across
the world, the BRC’s Global Standards help
manufacturers to meet their customers’ needs
and retailers to purchase with confidence.
BRC Best Practice Guidelines:
œ Traceability
œ Packaging Issue 3
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Print: 9780117037601
PDF: 9780117038110
Issue 2
Print: 9780117025769
PDF: 9780117025844
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œ Storage and Distribution Issue 1
œInternal Audit
Print: 9780117036741
PDF: 9780117036734
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Issue 2
Print: 9780117025752
PDF: 9780117025837
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œPest Control
Issue 2
Print: 9780117025776
PDF: 9780117025851
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BRC Guidelines:
œCategory 5 Fresh Produce
(Food Safety) Issue 5
Print: 9780117025790
PDF: 9780117025875
œForeign Body Detection
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Issue 2
Print: 9780117025783
PDF: 9780117025868
œCookware (Consumer Products)
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Print: 9780117025806
PDF: 9780117025882
œComplaint Handling
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œInterpretation Guideline
(Food Safety)
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Issue 2
Print: 9780117025745
PDF: 9780117025820
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Print: 9780117025813
PDF: 9780117025899
5726_US(1) 12.08
5726_US(2) 12.08
BRC Best Practice Guidelines are available in other language editions.
Please enquire for further details.
To order your copies of these new titles or to find out more visit
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January 2008
British Retail Consortium
London: TSO
Published by TSO (The Stationery Office) and available from:
Online
www.brcbookshop.com
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Mail, Telephone, Fax & E-mail
TSO
PO Box 29, Norwich NR3 1GN
Telephone orders/General enquiries: 0870 600 5522
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E-mail: [email protected]
Textphone 0870 240 3701
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TSO Shops
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TSO@Blackwell and other Accredited Agents
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Liability
BRC publish information and express opinions in good faith, but accept no liability for any error or omission in any such information
or opinion including any information or opinion contained in this document.
Whilst the BRC have endeavoured to ensure that the information in this publication is accurate, they shall not be liable for any
damages (including without limitation damages for pure economic loss or loss of business or loss of profits or depletion of goodwill
or otherwise in each case, whether direct, indirect or consequential, or any claims for consequential compensation whatsoever
1
(howsoever caused) arising in contract, tort (including negligence or breach of statutory duty), misrepresentation, restitution or
otherwise, in connection with this publication or any information contained in it, or from any action or decision taken as a result of
reading this publication or any such information.
All warranties, conditions and other terms implied by statute or common law are, to the fullest extent permitted by law, excluded.
Nothing excludes or limits the liability of BRC for death or personal injury caused by their negligence, for fraud or fraudulent
misrepresentation or for any matter which it would be illegal for them to exclude or attempt to exclude liability for.
The Global Standard for Food Safety and the terms of the disclaimer set out above shall be construed in accordance with English Law
and shall be subject to the non-exclusive jurisdiction of the English Courts.
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Copyright
© British Retail Consortium 2007
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No part of this publication may be translated without the written permission of the copyright owner.
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All rights reserved. No part of this publication may be transmitted or reproduced in any form (including photocopying or storage in
any medium by electronic means) without the written permission of the copyright owner. Application for permission should be
addressed to the Director of Global Standards at the British Retail Consortium, contact details below. Full acknowledgement of
author and source must be given.
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Warning: Any unauthorised act in relation to a copyright work may result in both a civil claim for damages and criminal prosecution.
British Retail Consortium
Second Floor
21 Dartmouth Street
London
SW1H 9BP
Tel: +44 (0) 20 7854 8900
Fax: +44 (0) 20 7854 8901
email: [email protected]
website: www.brcglobalstandards.com
1
An action in ‘tort’ is a claim for damages to compensate the claimant for the harm suffered. Such claims arise from cases of personal injury, breach of contract and damage to
personal reputation. As well as damages, remedies include an injunction to prevent harm occurring again.
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
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 III
Provides information on the selection of a certification body, and details of the process for gaining
a certificate.
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Section IV
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Describes the BRC Global Standards Directory, the information contained within it and the parties to whom
this is accessible.
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© BRC
iii
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Contents
Section I
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1
1 Introduction
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1.2 The Scope of the Global Standard for Food Safety
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1.1 Background
1.3 Food Safety Legislation
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1.4 Benefits of the Global Standard for Food Safety
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1.5 The Certification Process
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1.7 BRC Logos and Plaques
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1.6 Technical Governance of the Global Standard for Food Safety
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1.8 Effective Date of Issue 5
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1.9 Acknowledgments: ‘A Thank You’ from the BRC
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2 The Food Safety Management System
5
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2.1 Principles of the Global Standard for Food Safety
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2.2 The Format of the Global Standard for Food Safety
5
Requirements
How to Gain Certification
2 Self Assessment of Compliance with the Standard
Scope of Audit
4.2
Extension to Scope
4.3
Auditor Selection
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4.1
54
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4 Company/Certification Body Contractual Arrangements
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3 Selection of a Certification Body
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1 Introduction
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Section III
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Section II
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5 Audit Preparation by the Company
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6 Duration of the Audit
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7 The On-site Audit
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© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
8 Non-conformities and Corrective Action
58
8.1
Non-conformities
58
8.2
Procedures for Handling Non-conformities and Corrective Action
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9 Further Action
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10 Grading of the Audit
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10.1 Certification
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10.2 Appeals
61
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12 Ongoing Audit Frequency and Certification
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11 Audit Reporting
12.1 Certificate Expiration – Justifiable Circumstances
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12.2 Seasonal Products
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13 Optional Unannounced Audits
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15 Certification Body Performance Monitoring
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14 Communication with Certification Bodies
15.2 Complaints
Section IV
The Global Standard for Food Safety and its
Relationship with Other BRC Global Standards
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Appendix 2
Qualifications, Training and Experience Requirements for Auditors
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Appendix 3
Product Categories
71
Appendix 4
Summary of Grading Criteria, Action Required and Audit Frequency
Appendix 5
Certificate Template
Appendix 6
Certificate Validity, Audit Frequency and Planning
76
Appendix 7
Glossary
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Appendix 8
Acknowledgements
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© BRC
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Appendices
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3 Directory Functionality
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2 Benefits of the Directory to Companies
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1 Introduction
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The BRC Global Standards Directory
Appendix 1
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15.1 Feedback
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BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
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© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Section I
Introduction
1.1
Background
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Welcome to the fifth issue of the Global Standard for Food Safety. In response to demand the Global
Standard for Food Safety has been translated into many languages to facilitate implementation by food
businesses across the 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 organization to fulfill obligations
with regard to legal and regulatory compliance and protection of the consumer. The format and content of
the Standard is designed 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.
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The Scope of the Global Standard for Food Safety
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1.2
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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 service companies, 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.
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Companies whose primary operation is the processing of product or the preparation of primary products may
have products not manufactured or partly processed on site 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 products are included.
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Food Safety Legislation
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The Standard shall not apply to activities relating to wholesale, importation, distribution or storage outside
the direct control of the company. 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. Appendix 1 provides further detail of the scopes of, and relationship between, the
current Global Standards.
Legislation covering food safety differs in detail worldwide, but generally requires food businesses to:
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standards and good manufacturing practices
ensure that they are confident that their suppliers are competent to produce the specified product,
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ensure the presence of a detailed specification which is lawful and consistent with industry and safety
comply with legal and regulatory requirements, and operate appropriate systems of process control
verify the competence of their suppliers by self-audits or receive the result of any other audit of the
supplier’s system
establish and maintain a risk-assessed program for product examination, testing or analysis
monitor and act upon customer complaints.
© BRC
1
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
The Global Standard for Food Safety has been developed to assist businesses to meet these requirements,
and therefore assist companies to comply with relevant food safety legislation.
1.4
Benefits of the Global Standard for Food Safety
There are a number of benefits to food businesses arising from the adoption of the Standard. The Standard:
provides a single standard and protocol that allows an accredited audit by third party certification bodies
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provides a single audit commissioned by the company, in line with an agreed audit frequency, that will
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allow the company to report upon their status to customers and other organizations as agreed, and can
reduce time and costs
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provides a measure by which food manufacturers and suppliers can demonstrate to potential customers
a level of competence in food safety and quality systems
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is comprehensive in scope, covering areas of quality, hygiene and product safety
addresses part of the legislative requirements of the food manufacturer/supplier, packer/filler, retailer
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and other customers. Companies may also use this Standard to ensure their suppliers are following food
safety management practices
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requires ongoing surveillance and confirmation of the follow up of corrective actions on non-conformity
to the Standard thus ensuring that a self-improving quality and food safety system is established.
1.5
The Certification Process
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The Global Standard for Food Safety is a process and product certification program. In this program, 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.
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In order for a food business to receive a valid certificate on completion of a satisfactory audit, the
organization 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.
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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.
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2
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Figure 1
Process for Accreditation of Certification Bodies and Certification of Companies
Supporting
Documentation
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International
Accreditation
Forum & Regional
Accreditation
Forums
ISO/IEC 17011
General requirements
for accredition bodies
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IAF Guideline on the
Application of
ISO/IEC Guide 65:1996
EN 45011
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BRC Guidelines for
Accreditation Bodies
Assessing Certification
Bodies for BRC Global
Standards
National
Accreditation Body
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ISO/IEC Guide 65:1996
EN 45011
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ACCREDITATION
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Requirements for
Organisations Offering
Certification Against the
Criteria of the BRC Global
Standards
Certification Body
www.brcglobalstandards.com
Company
Company
Company
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BRC Global Standards
Website
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CERTIFICATION
BRC Directory
www.brcdirectory.com
© BRC
3
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
The BRC recognizes that in certain circumstances, such as certification bodies wishing to begin auditing
against the Global Standard for Food Safety, the certification body must be able to conduct audits as part of
achieving accreditation. This will be permitted where the organization can demonstrate:
an active application for accreditation against ISO Guide 65/EN45011 from an approved national
accreditation body
that accreditation will be achieved within 12 months of the date of application and the experience
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and qualifications of the auditors in the relevant product category are consistent with those specified
in this document.
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A list of certification bodies approved by the BRC is available on the BRC Global Standards Directory:
www.brcdirectory.com.
1.6
Technical Governance of the Global Standard for Food Safety
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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.
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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.
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The functions of the Governance and Strategy Committee are:
to advise on the development and management of the Standard
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accreditation bodies
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to ensure measures are in place to monitor compliance by companies, certification bodies and
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1.7
BRC Logos and Plaques
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to coordinate the review of the Standard at appropriate intervals.
1.8
Effective Date of Issue 5
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Achieving BRC certification is something of which to be proud. Companies that achieve
certification following audit are qualified to use the BRC logo on company stationery and other
marketing materials. The BRC has also introduced a high-quality plaque that companies
achieving certification can purchase to display in their offices to help celebrate their success.
Information relating to the BRC logo is available at www.brcglobalstandards.com.
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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
Issue 4 after 30 June 2008. All certificates issued against audits carried out prior to 1 July 2008 will be against
Issue 4 and be valid for the period specified on the certificate. In order to ensure that the infrastructure is in
place to support successful audits, audits against Issue 5 will not commence until 1 July 2008. Certificates
issued before this date against Issue 5 will not be recognized.
1.9
Acknowledgements: ‘A Thank You’ from the BRC
The BRC wishes to acknowledge all those food industry experts who have contributed to the preparation of the
Global Standard for Food Safety Issue 5. A list of those who have contributed in this review is detailed in Appendix 8.
4
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
2
The Food Safety Management System
2.1
Principles of the Global Standard for Food Safety
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A food business must have a full understanding of the products produced, manufactured and distributed and
have systems in place to identify and control hazards significant to the safety of food. The Global Standard for
Food Safety is based on two key components: senior management commitment and Hazard Analysis Critical
Control Point (HACCP).
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2.1.1 Senior Management Commitment
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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 organization.
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 as training.
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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 means to guide the activities that collectively assure food
safety. The Global Standard for Food Safety places a high priority on clear evidence of senior
management commitment.
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2.1.2 A HACCP-based System
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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.
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2.2
The Format of the Global Standard for Food Safety
The Global Standard for Food Safety requires the development of and compliance with:
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Senior Management commitment – the resources required for demonstration of commitment to
achieving the requirements of the Standard are detailed in Section II, Part 1
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a HACCP plan – this provides a focus on the significant product and process food safety hazards that require
specific control to assure the safety of individual food products or lines as detailed in Section II, Part 2
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a Quality Management System – details of the organizational and management policies and procedures
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that provide a framework by which the organization will achieve the requirements in this Standard as
given in Section II, Part 3
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Prerequisite Programs – the basic environmental and operational conditions in a food business that are
necessary for the production of safe food. These control generic hazards covering Good Manufacturing
and Good Hygienic Practice as detailed in Section II, Parts 4–7.
© BRC
5
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Each clause of the Global Standard for Food Safety begins with a highlighted paragraph
in bold text, the ‘statement of intent’, that all 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.
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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
. These ‘fundamental’
requirements relate to systems that are crucial to the establishment and operation of an effective food quality
and safety operation. The clauses deemed to be ‘fundamental’ are:
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Senior Management Commitment and Continual Improvement, Clause 1
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The Food Safety Plan – HACCP, Clause 2
Internal Audits, Clause 3.5
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Corrective and Preventive Action, Clause 3.8
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Traceability, Clause 3.9
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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 Preserved
Materials, Clause 5.2
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Training, Clause 7.1.
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Control of Operations, Clause 6.1
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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
demonstrated evidence of compliance.
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© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
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SECTION II
REQUIREMENTS
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© BRC
7
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Section II
Requirements
Contents
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10
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1 Senior Management Commitment and Continuous Improvement
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3 Food Safety and Quality Management System
18
Food Safety and Quality Policy
18
3.2
Food Safety and Quality Manual
18
3.3
Organizational 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
3.9
Traceability
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2 The Food Safety Plan – HACCP
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23
Complaint Handling
24
3.11
Management of Incidents, Product Withdrawal and Product Recall
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3.10
4 Site Standards
26
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External Standards
26
4.2
Security
4.3
Internal Site Standards
4.4
Utilities
4.5
Equipment
4.6
Maintenance
31
4.7
Staff Facilities
32
4.8
Chemical and Physical Product Contamination Control
33
4.9
Housekeeping and Hygiene
36
Waste/Waste Disposal
37
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27
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4.10
8
23
30
30
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
4.11
Pest Control
38
4.12
Storage and Transport
39
5 Product Control
40
Product Design/Development
40
5.2
Handling Requirements for Specific Materials – Materials Containing
Allergens and Identity Preserved Materials
41
Foreign Body Detection
42
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5.1
5.3
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5.4
Product Packaging
43
5.5
Product Inspection and Laboratory Testing
43
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Control of Non-conforming Product
45
5.7
Product Release
45
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5.6
46
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6 Process Control
Control of Operations
46
6.2
Quantity – Weight, Volume and Number Control
46
6.3
Calibration and Control of Measuring and Monitoring Devices
47
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7 Personnel
Personal Hygiene
7.4
Medical Screening
7.5
Protective Clothing
49
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7.3
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Access and Movement of Personnel
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7.2
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Training
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7.1
48
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© BRC
9
SENIOR MANAGEMENT COMMITMENT AND CONTINUOUS IMPROVEMENT
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FUNDAMENTAL
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The company’s senior management shall demonstrate they are fully committed to the implementation of the requirements of the Global
Standard for Food Safety. This shall include provision of adequate resources, effective communication, systems of review and actions taken
to effect continuous improvement. Opportunities for improvement shall be identified, implemented and fully documented.
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Requirements
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.
1.2
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.
1.3
The company’s senior management shall ensure that food safety and quality objectives are established, documented, monitored and reviewed.
1.4
The company’s senior management shall ensure that there is a process to identify and address any safety or any legal or regulatory issue at a strategic level.
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The company’s senior management shall take responsibility for the review process.
1.6
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.
1.7
The review process shall include the evaluation of:
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1.5
BRC Global Standard for Food Safety – North American version
10
1
internal, second party and third party audits
previous management review documents, action plans and time frames
customer performance indicators, complaints and feedback
incidents, corrective actions, out of specification results and non-conforming materials
process performance and deviation from defined parameters
reviews of the HACCP-based system
developments in scientific information associated with the products within the scope
resource requirements.
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The decisions and actions agreed within the review process shall be effectively communicated to appropriate staff, and actions implemented within agreed time frames.
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 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 resolved.
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Records of management reviews shall be comprehensively documented and retained.
Further information available at www.brcglobalstandards.com
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1.8
THE FOOD SAFETY PLAN – HACCP
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FUNDAMENTAL
The HACCP Food Safety Team – Codex Alimentarius Step 1
Requirements
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2.1
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The company’s Food Safety Plan shall be based on a HACCP system which shall be systematic, comprehensive, thorough, fully implemented and
maintained. Codex Alimentarius HACCP principles shall be used and reference shall be made to relevant legislation, codes of practice or guidelines.
The HACCP plan shall be developed and managed by a multi-disciplinary food safety team that includes those responsible for Quality/Technical, Production Operations,
Maintenance and other relevant functions. The team members shall have specific knowledge of HACCP and relevant knowledge of product, process and associated hazards.
2.1.2
The HACCP food safety team shall have a designated and qualified team leader who shall be able to demonstrate competence in HACCP.
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.
2.1.4
The company’s senior management shall demonstrate commitment and support of the HACCP food safety team.
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Describe the Product – Codex Alimentarius Step 2
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Requirements
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:
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the latest scientific literature
historical and known hazards associated with specific food products
relevant Codes of Practice
recognized guidelines
food safety legislation of products in destination countries
customer requirements.
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A full description of the product shall be developed, which includes all relevant information on food safety. As a guide, this may include the following, although this is not an
exhaustive list:
storage and distribution conditions (e.g. chilled, ambient)
target safe shelf life under prescribed storage and usage conditions
instructions for use (e.g. storage, preparation)
consideration of potential misuse (e.g. storage, preparation).
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packaging system (e.g. modified atmosphere, vacuum)
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treatment and processing (e.g. heating, freezing, salting)
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physical or chemical properties that impact food safety (e.g. pH, aw)
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2.2
Identify Intended Use – Codex Alimentarius Step 3
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Requirements
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 population, e.g. infants, elderly, allergy sufferers.
Construct a Process Flow Diagram – Codex Alimentarius Step 4
Requirements
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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:
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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 recycling
low/high risk and clean/dirty area segregation
finished products, intermediate/semi-processed products, by-products and waste.
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a map of the facility that includes the placement of production equipment.
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Verify Flow Diagram – Codex Alimentarius Step 5
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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.
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Requirements
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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
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Requirements
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 pre-requisite programs. 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:
likely occurrence of hazard
severity of the effects on consumer safety
vulnerability of those exposed
survival and growth of micro-organisms of concern
presence or production of toxins, chemicals or foreign bodies
contamination of raw materials, intermediate/semi-processed product, or finished product
potential for adulteration and/or deliberate contamination.
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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.
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2.5
Determine the Critical Control Points (CCP) – Codex Alimentarius Step 7, Principle 2
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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.
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2.8
Establish Critical Limits for each CCP – Codex Alimentarius Step 8, Principle 3
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For each CCP, 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 government regulations and guidelines and industry standards.
2.8.2
Any critical limits based on subjective data (such as visual inspection) shall be supported with written protocols and clear 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 critical limit.
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Establish a Monitoring System for each CCP – Codex Alimentarius Step 9, Principle 4
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Requirements
2.9.1
The HACCP food safety team shall establish a monitoring system for each CCP to ensure compliance with critical limits.
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 in time for
corrective action to be taken. As a guide, consideration may be given to the following, although this is not an exhaustive list:
online measurement
offline measurement
continuous measurement (e.g. temperature charts)
when batch sampling is used, the system shall ensure that the sample taken is representative of that batch of product.
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Records associated with monitoring CCPs must be signed by the person responsible for the monitoring and verified, as appropriate, by an authorized person. Recorded
details shall include the date and result of measurements carried out.
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2.7
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Establish a Corrective Action Plan – Codex Alimentarius Step 10, Principle 5
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Requirements
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 designated 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
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2.10.1
Establish Verification Procedures – Codex Alimentarius Step 11, Principle 6
2.11.1
internal audits
review of records where acceptable limits have been exceeded
review of complaints and/or non-conformances from customers and/or regulatory agencies.
review of incidents of product withdrawal or recall.
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HACCP Documentation and Record Keeping – Codex Alimentarius Step 12, Principle 7
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Documentation and record keeping shall be sufficient to assist the company to verify that the HACCP controls are in place and maintained.
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Verification results shall be recorded and communicated to the HACCP food safety team.
Requirements
2.12.1
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2.12
Procedures of verification shall be established to confirm that the HACCP plan is effective. Examples of verification activities are:
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Requirements
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2.10
Review the HACCP Plan
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Requirements
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:
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2.13.1
change in raw materials or supplier of raw materials
change in ingredients and/or 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.
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Appropriate changes resulting from the review shall be incorporated into the HACCP plan, fully documented and validated.
Irrespective of any of the above changes, the HACCP plan will be reviewed at least annually and records shall be maintained.
Further information available at www.brcglobalstandards.com
© BRC
2.13
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3.1
FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM
Food Safety and Quality Policy
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The company’s senior management shall develop and document a food safety and quality policy which is authorized, reviewed, signed and dated
by an appropriate senior manager.
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Requirements
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The policy shall state the company’s intention to meet its obligation to produce safe and legally compliant products to the specified quality, and its responsibility to its
customers. This shall include the commitment for review and continuous improvement. The company’s senior management shall ensure the policy is communicated to all
staff involved with activities relating to product safety, legality, regulatory compliance and quality.
Food Safety and Quality Manual
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3.2
The company shall have a food safety and quality manual which describes how the requirements of the Global Standard for Food Safety are met.
These requirements shall be fully implemented, reviewed at appropriate planned intervals and improved where necessary.
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Requirements
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3.2.2
The food safety and quality manual shall be readily available to key staff.
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The food safety and quality manual shall contain an outline of working methods and practices or references to where such an outline is documented.
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3.2.1
Organizational Structure, Responsibilities and Management Authority
Requirements
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The company shall have a clear organizational structure and define the responsibilities, reporting relationships and job functions of those personnel
whose activities affect product safety, legality, regulatory compliance and quality.
The company shall have an organization chart demonstrating the structure of the company.
3.3.2
Documented, clearly defined responsibilities shall exist and be communicated to key staff with responsibility for product safety, legality, regulatory compliance and
quality systems.
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 to all staff involved with activities
relating to product safety, legality, regulatory compliance and quality.
3.3.5
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 regulations and/or standards applicable in the country of raw material supply, production and, where known, the country where the product
will be sold.
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3.3.1
Contract Review and Customer Focus
Requirements
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The company’s senior management shall ensure that processes are in place to determine any customer requirements and expectations with regard
to product safety and quality, and ensure these are fulfilled.
The company shall clearly identify those individuals responsible for communication with customers and shall have an effective system 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 fulfillment (refer to clause 3.7.2.3).
3.4.3
Customer needs and requirements shall be reviewed on a suitable pre-determined frequency. Any changes to existing agreements or contracts shall be agreed,
documented and communicated to appropriate departments.
3.4.4
Performance indicators shall be established relating to customer satisfaction. These shall be communicated to appropriate staff and performance reviewed against these targets.
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3.4
Further information available at www.brcglobalstandards.com
© BRC
3.3
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Internal Audit
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FUNDAMENTAL
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The company shall audit those systems and procedures which cover the requirements of the Global Standard for Food Safety to ensure that
they are in place, appropriate and complied with.
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Requirements
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 timelines for their implementation shall be agreed to.
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.
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3.5.1
Purchasing – Supplier Approval and Performance Monitoring
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Requirements
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The company shall control all purchasing processes which are critical to product safety, legality, regulatory compliance and quality to ensure that
purchased products and services conform to defined requirements.
The company shall have a documented supplier approval procedure and continual assessment program in place, based on risk assessment.
3.6.2
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.
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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.
Further information available at www.brcglobalstandards.com
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3.5
3.7.1
Documentation Control
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General Documentation Requirements
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The company’s senior management shall ensure that all documents, records and data critical to the management of product safety, legality,
regulatory compliance and quality are in place and effectively controlled.
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Requirements
All documents in use shall be properly authorized 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, regulatory compliance or quality systems and procedures shall be recorded.
3.7.1.4
A procedure shall be in place to ensure obsolete documentation is removed, and when applicable replaced with a revised version.
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Specifications
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The company shall ensure that specifications exist for raw materials including packaging, work-in-progress and finished products (when
applicable), and any product or service which could affect the integrity of the finished product.
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Specifications shall be adequate and accurate and shall ensure compliance with applicable safety and legislative requirements.
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 applicable parties. Where specifications are not formally agreed to, then the company shall be able to
demonstrate that they have taken steps to ensure a 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 the applicable staff.
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3.7
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Record Completion and Maintenance
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The company shall maintain genuine records to demonstrate the effective control of product safety, legality, regulatory compliance and quality.
The records shall be legible, genuine, appropriately authorized and retained in good condition for an appropriate defined time period.
3.7.3.2
Any alterations to records shall be authorized and justification for the alteration shall be recorded.
3.7.3.3
The company’s senior management shall ensure that procedures are operated for the organization, review, maintenance, storage and retrieval of all records relating to
product safety, legality, regulatory compliance and quality.
3.7.3.4
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.
3.7.3.5
Any legal and customer specific requirements relevant to record retention shall be taken into account.
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3.7.3
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Corrective and Preventive Action
FUNDAMENTAL
Sa
Corrective actions shall be accurately documented, assigning responsibility and accountability.
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3.8.1
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Requirements
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The company’s senior management shall ensure that procedures exist to record, investigate, analyze and correct the cause of non-conformity
against standards, specifications and procedures which are critical to product safety, legality, regulatory compliance and quality.
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, regulatory compliance 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 in a timely manner.
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Traceability
FUNDAMENTAL
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The identification of raw materials, including primary and any other relevant packaging and processing aids, work-in-progress, partially used materials, finished products
and materials pending investigation shall be adequate to ensure traceability.
3.9.2
The company shall test the traceability system to ensure traceability can be determined from raw material to the first level of distribution of the finished product and from
the first level of distribution of the finished product back to the raw materials. The amount of incoming raw material shall be reconciled against the amount used in the
resulting finished products, also taking into account process waste and rework. This shall occur at a predetermined frequency and results shall be retained for inspection.
The test shall take place at least annually.
3.9.3
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 controls and testing procedures shall be in place.
3.9.4
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, regulatory or legal status of the finished product, e.g. ingredient declaration, allergy information or identity preservation, nutritional labeling as required by regulations.
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The company shall have a system to identify and trace product lots and follow this through all raw materials (including primary and any
other relevant packaging materials and processing aids), all stages of processing and the distribution of the finished product to the
customer in a timely manner.
Further information available at www.brcglobalstandards.com
© BRC
3.8
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Complaint Handling
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Requirements
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The company shall have a system for the effective capture, recording and management of product complaints.
All complaints shall be recorded, investigated and the results of the investigation recorded.
3.10.2
Actions appropriate to the severity and frequency of the problems identified shall be carried out promptly and effectively by appropriately trained staff.
3.10.3
Complaint data shall be analyzed and used to implement ongoing improvements to product safety, legality, regulatory compliance and quality, and to avoid recurrence. This
analysis shall be made available to relevant staff.
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Management of Incidents, Product Withdrawal and Product Recall
Requirements
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The company shall have procedures designed to effectively manage incidents and potential emergency situations that impact food safety, legality, regulatory compliance 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 following, although this is not an exhaustive list:
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The company shall have a plan and system in place to effectively manage incidents including product withdrawal and recall procedures.
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disruption to key services such as water, energy, transport, staff availability and communications
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 impacts food safety,
legality, regulatory compliance or quality and a documented reporting procedure shall be in place.
3.11.3
An incident management procedure shall be documented, implemented and maintained. This shall include as a minimum:
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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
corrective action and business recovery.
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The procedures relating to incident reporting, product withdrawal and product recall shall be appropriate, formalized 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 reviewed and, if necessary, revised.
3.11.5
The product recall and withdrawal procedures shall be regularly tested, at least annually, in a way that ensures their effective operation. Results of the test shall be retained
and shall include the 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 be informed in a timely manner.
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identification of key personnel constituting the incident management team with clearly identified responsibilities
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© BRC
3.11
External Standards
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4.1
SITE STANDARDS
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The site shall be of suitable size, location, construction and design to facilitate maintenance, prevent contamination and enable the production of
safe and legal finished products.
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Requirements
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
4.1.2
The external areas shall be maintained in good order. Where buildings are surrounded by grassed or planted areas, they shall be 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 of the product.
4.1.5
The building construction shall be maintained to minimize potential for product contamination, e.g. pipe work shall be appropriately sealed to prevent pest entry, ingress of
water and other contaminants.
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4.2
Security
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Access to the site by employees, contractors and visitors shall be controlled and a visitor reporting system shall be in place.
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 authorized staff have access to production and storage areas by 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 conditions, e.g. tamper evident packaging, security seals for
trucks/rail cars and by contractual handling agreements.
4.2.6
When required by government regulations, the site shall be registered with, or approved by, the appropriate governmental body, e.g. FDA, USDA, CFIA, Department of
Homeland Security.
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© BRC
Further information available at www.brcglobalstandards.com
Requirements
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Security shall be maintained to prevent access of unauthorized persons to production and storage areas.
4.3.1
Layout, Product Flow and Segregation
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Internal Site Standards
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FUNDAMENTAL
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Premises and plant shall be designed, constructed and maintained. Procedures shall be in place to control the risk of product contamination
and to comply with all governmental regulations.
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Requirements
4.3.1.2
Physical barriers and/or effective procedures shall be in place to minimize the risk of the contamination of raw materials, work-in-progress, packaging and 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.
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 lack of obstructions and where appropriate the provision of adequate space.
4.3.1.7
Temporary structures erected during building construction or repair projects shall be designed and located to avoid pest harborage and potential contamination of products.
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 minimize risk of product contamination, e.g.
sanitation activities.
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 constructed 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.
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4.3.1.10 In high-care areas (refer to glossary) where there is a significant risk of contamination of chilled ready to eat and/or heat products by pathogenic micro-organisms, the
processing or handling of food in these areas shall be appropriate to minimize product contamination by such micro-organisms.
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The process flow from receiving of materials to the shipping of finished product shall be arranged to minimize the risk of product contamination.
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4.3.1.1
Further information available at www.brcglobalstandards.com
© BRC
4.3
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Building Construction
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Raw Material Handling, Preparation, Processing, Packing and Storage Areas
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The construction of the site, buildings and facilities shall be suitable for the intended purpose.
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4.3.2.1 Walls
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4.3.2.1.1 Walls shall be designed, constructed, finished and maintained to prevent the accumulation of dirt, minimize condensation and mold growth, and facilitate sanitation.
Requirements
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4.3.2.2 Floors
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4.3.2
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4.3.2.2.1 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.
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4.3.2.2.2 Drainage, including drains from laboratories, where provided, shall be placed, designed and maintained to minimize risk of product contamination and not compromise
product safety. Machinery and piping shall be arranged so that, wherever feasible, process waste water goes directly to the drain.
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Requirements
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4.3.2.3.1 Ceilings and overheads shall be designed, constructed, finished and maintained to prevent the accumulation of dirt, minimize condensation and mold growth, and
facilitate cleaning.
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4.3.2.3.2 Where suspended ceilings are used, adequate access to the vacant spaces shall be provided to facilitate cleaning, maintenance of utilities and inspection for pest activity.
Further information available at www.brcglobalstandards.com
4.3.2.3 Ceilings/Overheads
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4.3.2.2.3 Where significant amounts of water are used, or direct piping to the drain is not feasible, floors shall have adequate slope to cope with the flow of any water or effluent towards
suitable drainage.
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Requirements
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4.3.2.4.1 Where there is a risk to product, windows and ceiling openings 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.
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4.3.2.5 Doors
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4.3.2.5.1 Where external doors to raw material handling, processing, packing and storage areas are opened, suitable precautions shall be taken to prevent pest ingress. Doors and
dock levelers in these areas shall be tight fitting or adequately sealed.
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4.3.2.5.2 Doors shall be in good condition and easy to clean, where required.
4.3.2.6 Lighting
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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.
4.3.2.7 Air Conditioning/Ventilation
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4.3.2.6.2 Where they constitute a risk to product, bulbs and fluorescent lights, including those on flying insect electronic light traps, 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 air flow shall be provided in product storage and processing environments to prevent condensation or excessive dust.
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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.
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4.3.2.7.3 Where appropriate, positive air-pressure systems shall be in place.
BRC Global Standard for Food Safety – North American version
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© BRC
4.3.2.4 Windows
Utilities
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Requirements
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All utilities to and within the production and storage areas shall be designed, constructed, maintained and monitored to effectively control the risk
of product contamination.
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 governmental regulations, either being drawn from a municipal supply or suitably treated according to
its source.
4.4.2
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 governmental regulations.
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4.4.1
Equipment
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4.5
Equipment shall be suitably designed for the intended purpose and shall be used to minimize the risk of contamination of product.
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4.5.2
Equipment shall be positioned to give access under, inside and around it for ease of cleaning, inspection and servicing, or where permanently installed shall be properly
secured and sealed to the floor.
4.5.3
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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© BRC
Further information available at www.brcglobalstandards.com
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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4.5.1
Maintenance
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A documented system of planned maintenance shall be in place, covering all items of equipment and plant which are critical to product
safety, legality, regulatory compliance and quality.
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Requirements
Equipment, including fixtures and fittings, shall be maintained to minimize the risk of product contamination.
4.6.2
When commissioning new equipment and/or plant, a maintenance program shall be established and put into place based on risk assessment.
4.6.3
The company shall ensure that the safety, regulatory compliance or legality of product is not jeopardized during maintenance and cleaning operations.
4.6.4
In addition to any planned maintenance program, where there is a risk of product contamination by foreign bodies arising from equipment failure, the equipment shall be
inspected at predetermined intervals, inspection results documented and appropriate action taken.
4.6.5
Where temporary repairs are made, these shall be controlled to ensure the safety, legality and regulatory compliance of product is not jeopardized. These temporary
measures shall be permanently repaired as soon as practicable and within a defined time limit.
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Maintenance work shall be followed by a documented sanitary 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.
4.6.8
Materials used for equipment and plant maintenance and that pose a risk by direct or indirect contact with raw materials, intermediate and finished products, such as
lubricating oil and paints shall be suitable for the intended use.
4.6.9
Maintenance workshops shall be controlled to prevent contamination risks to the product, e.g. provision of mats to retain engineering debris or foreign body hazards
where workshops open directly into production areas.
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Contractors involved in maintenance or repair activities shall be under the supervision of a designated person.
4.6.7
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4.6.6
Further information available at www.brcglobalstandards.com
© BRC
4.6
Staff Facilities
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Staff facilities shall be sufficient to accommodate the required number of personnel, and shall be designed and operated to minimize the risk of
product contamination. Such facilities shall be maintained in good and clean condition.
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Requirements
Designated changing facilities shall be provided for all personnel, whether staff, visitor or contractor. These shall be placed to allow direct access to the production, packaging or
storage areas without access 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.
4.7.2
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.
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4.7.1
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:
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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).
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4.7
Where high-risk products (refer to glossary) are handled, the following additional requirements shall be provided:
hand sanitizer.
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Rest rooms shall be adequately segregated and shall not open directly into production, packaging and storage areas. Rest rooms shall be provided with hand-washing
facilities consisting of:
basins with soap and water at a suitable temperature
adequate hand-drying facilities
advisory signs to prompt hand washing (including consideration of appropriate language).
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Where hand-washing facilities within rest rooms are the only facilities provided before re-entering production, 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,
sufficient ventilation 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 premises by staff shall be appropriately stored in a clean and sanitary state. No food shall be taken into storage, processing or
production areas.
4.7.8
Where lunch facilities are provided, they shall be suitably controlled to prevent contamination 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.
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4.7.6
4.7.10
Facilities for visitors and contractors shall be such as to enable compliance with the company’s Good Manufacturing Practices (GMP) policy.
4.7.11
Where an operation involving high-risk products (refer to glossary) exists, personnel shall enter by a specially designated changing facility, and shall follow specified
procedures for applying visually distinctive clean overalls, headwear and footwear.
Further information available at www.brcglobalstandards.com
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4.7.5
Chemical and Physical Product Contamination Control
Raw Material Handling, Preparation, Processing, Packing and Storage Areas
Sa
Based on risk assessment, the company shall identify, control and manage any potential risks from chemical, physical or biological contamination. This may include risks
associated with the following, although this is not an exhaustive list:
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4.8.1
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Requirements
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Appropriate facilities and procedures shall be in place to control the risk of chemical or physical contamination of product.
storage
production operation or processes or machinery
any maintenance or building work carried out
sanitation and cleaning operations.
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These shall be verified through regular site audits carried out at a frequency determined by risk assessment.
4.8.2
Chemical Control
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 authorized personnel
use by trained personnel only.
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availability of material safety data sheets and specifications
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approved purchase
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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:
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Requirements
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© BRC
4.8
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Metal Control
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Requirements
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 minimize the risk of product contamination.
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4.8.3.1
Glass, Brittle and Hard Plastic, Ceramics and Similar Materials
Requirements
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4.8.4
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 as a minimum:
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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 items to minimize potential for product contamination.
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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:
inspecting the production area and the authorization to continue production
changing of workwear and inspection of footwear
specifying those staff authorized to carry out the above points
recording the breakage incident.
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cleaning the production area
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quarantining the products and production area that were potentially affected
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4.8.3
Wood
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Requirements
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.
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4.8.5.1
Other
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4.8.6
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 minimize foreign body contamination of packaging during filling operations, e.g. covered conveyors,
container inversion and foreign body removal through rinsing or air jets.
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© BRC
4.8.5
Housekeeping and Hygiene
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FUNDAMENTAL
Requirements
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4.9.1
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Housekeeping and cleaning systems shall be in place which ensure appropriate standards of hygiene are maintained at all times and the
risk of contamination is minimized.
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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 as a 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.
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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 systems 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 procedures and records shall be maintained.
stored in a sanitary manner to prevent contamination.
The effectiveness of the cleaning and sanitation procedures shall be verified and recorded. Corrective actions shall be documented.
4.9.6
Cleaning and sanitation procedures shall be revalidated following building or maintenance work, new product introduction or changes to equipment.
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Further information available at www.brcglobalstandards.com
suitably identified for intended use, e.g. color coded or labeled
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suitable for purpose
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Cleaning chemicals and equipment shall be:
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4.9
Waste/Waste Disposal
Requirements
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There shall be adequate systems for the collection, separation and disposal of waste material.
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 categorized according to governmental regulations based on the intended means of disposal, segregated and collected in appropriately
designated waste containers.
4.10.3
Waste disposal shall meet governmental regulations. Where licensing is in operation for disposal of categorized waste, it shall be removed by licensed contractors and
records of disposal shall be maintained and available for audit.
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External waste collection containers and rooms housing waste facilities shall be managed to minimize risk. These shall be:
clearly identified
designed for ease of use and effective cleaning
maintained to allow cleaning and, where required, sanitation.
emptied at appropriate frequencies
covered or doors kept closed as appropriate.
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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.
Further information available at www.brcglobalstandards.com
© BRC
4.10
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Pest Control
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Requirements
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The company shall be responsible for minimizing the risk of pest infestation on the site.
A preventive pest control program shall be maintained covering all areas of the site to minimize pest infestation.
4.11.2
The company shall either contract the services of a competent pest control organization, 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.
4.11.3
Written procedures and inspection documentation shall be maintained. This shall include as a minimum:
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4.11.1
an up-to-date, signed and authorized site map identifying numbered pest control device locations
identification of the baits and/or monitoring devices on site
clearly defined responsibilities for facility management and the contractor
details of pest control products used and instructions for their effective use.
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Bait stations, glue boards and/or sticky traps shall be robust, of tamper resistant construction, secured in place and appropriately located to prevent contamination risk to product.
4.11.5
Insect light traps and/or pheromone traps shall be correctly placed and operational. If there is a danger of insects being expelled from any extermination device and
contaminating the product, alternative systems and equipment shall be used.
4.11.6
In the event of infestation, immediate action shall be taken to eliminate the hazard. Action shall be taken to identify, evaluate and authorize the release of any product
potentially affected.
4.11.7
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.
4.11.8
Results of pest control inspections shall be assessed and analyzed for trends on a regular basis, but as a minimum:
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4.11
annually.
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in the event of an infestation
This shall include a catch analysis from trapping devices to identify problem areas. Any such problems shall be suitably corrected.
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Storage and Transport
Requirements
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All facilities used for the storage and transportation of product, movement around the site, and dispatch of finished product shall be suitable for
the purpose, maintained in good repair and in a sanitary condition.
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Procedures to maintain product safety and quality during storage, loading and transportation shall be developed on the basis of risk assessment and implemented
accordingly. These may include as appropriate the following, although this is not an exhaustive list:
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 sanitary design and designated for food use; putting in place procedures to prevent cross contamination from previous loads
vehicle pre-loading and unloading inspection
vehicle loading or unloading in covered bays
maintaining product security and preventing damage.
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4.12.3
Where temperature control is required, documented procedures shall be in place to ensure product temperature requirements are met. This shall include temperature datalogging devices which can be used to confirm time/temperature conditions or a system to verify and record at predetermined frequencies the correct operation of
refrigeration equipment.
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Where storage outside is necessary, items shall be protected from contamination and deterioration.
4.12.5
Receipt documents and/or product identification shall facilitate correct stock rotation of goods in storage and ensure materials are used in the correct order and within the
specified shelf life.
4.12.6
Where the company employs third-party contractors, all the requirements specified in this section shall be clearly defined in the contract or the company shall be certified to
the Global Standard for Storage and Distribution.
4.12.7
Traceability shall be ensured during storage and transportation. There shall be a clear record of the shipping and receipt of goods and materials demonstrating that
sufficient checks have been completed during the transfer of goods.
4.12.8
Documented maintenance and sanitation procedures shall be maintained for all vehicles and equipment used for loading/unloading (e.g. hoses of silo installations). There
shall be records of the measures taken.
4.12.9
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 action documented.
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Where temperature control is required, the storage area or transport facility shall be capable of maintaining product temperature within specification, under minimum and
maximum load and under worst case ambient temperature. Storage areas shall be dry and well ventilated.
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Further information available at www.brcglobalstandards.com
© BRC
4.12
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5.1
PRODUCT CONTROL
Product Design/Development
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Product design and development procedures shall be in place to ensure manufacturing processes are capable of producing a safe and legal product,
fully compliant with regulatory requirements.
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Requirements
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 and manufacturing processes are capable of producing a safe, compliant
and legal product against the proposed shelf life.
5.1.3
Shelf-life trials shall be undertaken using documented protocols reflecting conditions during storage and handling throughout shelf-life. Results shall be recorded and
retained and shall confirm compliance with relevant microbiological, chemical and organoleptic criteria.
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 labeling of product or other forms of customer information meets legislation for
the designated country of use and in accordance with the appropriate product specification.
5.1.7
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.
5.1.8
The product design/development process shall be documented and effectively communicated throughout the organization, to ensure that changes in formulation are
adequately assessed for safety, legality and regulatory compliance.
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Handling Requirements for Specific Materials – Materials Containing Allergens and Identity
Preserved Materials
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FUNDAMENTAL
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Where raw materials and finished products require special procedures for handling specific materials (e.g. material containing allergens or
the requirement for Identity Preserved status such as Genetically Modified Organisms, assured organic status or special designated origin)
these shall be in place to ensure that product safety, legality, regulatory compliance and quality are maintained.
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5.2.1
Materials Containing Allergens
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Requirements
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, work-in-progress and finished products.
5.2.1.3
Risk assessment shall be carried out to identify routes of contamination and establish documented policies and procedures for handling raw materials, work-in-progress
and finished products to ensure cross contamination is avoided. This shall include as appropriate:
physical or time segregation while allergen-containing materials are being stored, processed or packed
use of identified, dedicated equipment for processing or cleaning
all food brought onto site including that by staff.
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Where rework is used, or reworking operations carried out, procedures shall be implemented to minimize cross contamination from allergen-containing materials and
ensure the safety, legality, regulatory compliance and quality of the finished product.
5.2.1.5
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.
5.2.1.6
Based on risk assessment, documented equipment or area cleaning procedures shall be undertaken to remove or reduce to acceptable levels any potential cross
contamination in compliance with finished product specifications. This shall include validation of cleaning methods and appropriate waste handling and spillage controls.
5.2.1.7
All relevant personnel, including temporary staff and contractors, shall be appropriately trained in handling procedures for allergen-containing materials prior to
commencing work and shall be adequately supervised while working.
5.2.1.8
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 labeling or product mixing errors. The review process shall also consider updates or changes in allergen legislation or
scientific information.
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5.2.1.1
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© BRC
5.2
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Identity Preserved Materials
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Where an identity preserved claim is made, e.g. that a product is organic, or where products brought into the facility 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, work-in-progess and
finished products to ensure cross contamination is avoided and that controls are in place to maintain identity preserved status.
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Foreign Body Detection
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The company shall have appropriate foreign body detection equipment in place and ensure its effective operation.
Requirements
BRC Global Standard for Food Safety – North American version
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5.2.2
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Foreign body detection equipment shall be in place unless it can be justified as not necessary. This justification shall be documented. Detection equipment shall be situated
to maximize foreign body detection within the finished product.
5.3.2
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.
5.3.3
The metal or foreign body detector shall incorporate the following based on best practice:
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5.3.1
an automatic rejection device which shall either divert contaminated product out of the product flow or to a secure unit accessible only to authorized personnel, or
in-line detectors which identify the location of the contaminant and effectively segregate the affected product.
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an alarm on a belt stop system, or
There shall be documented procedures specifying corrective and investigative action to be taken in the event of the detection of metal or a foreign body.
5.3.4
frequency and sensitivity of checks
authorization of trained personnel to carry out specified tasks
documentation of checks.
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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 body 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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5.3.5
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:
Further information available at www.brcglobalstandards.com
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Product Packaging
Requirements
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Product packaging shall be appropriate for the intended use and shall be stored under conditions to minimize contamination and deterioration.
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Letters of guarantee or other evidence shall be available for product packaging to confirm its suitability for use.
5.4.2
Where appropriate, packaging shall be stored away from raw materials and finished product.
5.4.3
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 material/work-in-progress contact liners) shall be appropriately colored and of sufficient gauge to prevent accidental contamination where
appropriate.
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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5.4.1
Product Inspection and Laboratory Testing
Requirements
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Product Inspection
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 results outside of
the specifications or where trends indicate results outside of the specifications.
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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The company shall undertake or subcontract inspection and analyses which are critical to confirm product safety, legality, regulatory compliance
and quality, using appropriate procedures, facilities and standards which prevent risk to product safety.
5.5.1
Further information available at www.brcglobalstandards.com
© BRC
5.4
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Laboratory Testing
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Requirements
Pathogen testing shall be subcontracted to an external laboratory or, where conducted internally, the laboratory facility shall be remote from the manufacturing site.
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:
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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.
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Where the company undertakes or subcontracts analyses which are critical to product safety, regulatory compliance or legality, the laboratory, or subcontractors shall have
gained recognized 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.
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Procedures shall be in place to ensure reliability of laboratory results, other than those specified in 5.5.2.3. These shall include:
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BRC Global Standard for Food Safety – North American version
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5.5.2
use of recognized 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. comparative or proficiency testing
use of appropriately calibrated and maintained equipment.
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Control of Non-conforming Product
Requirements
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The company shall ensure all out-of-specification product is clearly identified, labeled and quarantined.
Procedures for the control of non-conforming material, including rejection, acceptance by concession, or regrading for an alternative use, shall be in place and understood
by all relevant staff. Decisions shall be approved by authorized staff.
5.6.2
Corrective actions shall be implemented to avoid recurrence of non-conformance. Details of the non-conformance and action taken shall be documented.
5.6.3
All non-conforming material shall be clearly identified and quarantined as appropriate, and handled or disposed of according to the nature of the problem and/or the
specific requirements of the customer.
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Product Release
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5.7
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The company shall ensure that finished product is not released unless all agreed procedures have been followed.
Requirements
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A procedure shall be in place, based on risk assessment, to ensure that only products conforming to specification are dispatched, and this shall include release by
authorized staff.
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Further information available at www.brcglobalstandards.com
© BRC
5.6
PROCESS CONTROL
Control of Operations
FUNDAMENTAL
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The company shall be able to demonstrate effective control of all operations undertaken.
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Requirements
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The company shall operate procedures that verify that the processes and equipment employed are capable of producing consistently safe
and legal product with the desired quality characteristics, in full compliance with regulatory requirements and the HACCP food safety plan.
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, time, pressure and chemical properties shall be established and adequately controlled to ensure that product is produced within
the required process specification.
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.
6.1.7
Procedures shall be in place to ensure that products are packed into the correct packaging and correctly labeled with due consideration given to product changeover.
6.1.8
In the event of changes to product formulation, processing methods, equipment or packaging, monitoring of the specified process shall be re-established based on HACCP.
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Requirements
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The company shall operate a quantity control system which conforms to legal and regulatory requirements and additional industry standards or
specified customer requirement in the country where the product is sold.
The frequency and methodology of quantity checking shall meet the requirements of appropriate legislation governing quantity verification.
6.2.2
Where the quantity of the product is not governed by legislative requirements (e.g. bulk quantity), the product must conform to customer requirements.
© BRC
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Quantity – Weight, Volume and Number Control
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6
Calibration and Control of Measuring and Monitoring Devices
The company shall identify measuring equipment used to monitor CCPs and product safety, regulatory compliance and legality.
a documented list of equipment
equipment identified and marked in accordance with requirements (e.g. numbered, calibration due date).
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All identified measuring devices shall be checked and where necessary adjusted:
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This shall include as a minimum:
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Requirements
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Measuring equipment used to monitor Critical Control Points and product safety, regulatory compliance and legality shall be identified. The
identified measuring equipment shall be calibrated to a recognized national or international standard. Where a traceable calibration is not possible,
the company shall demonstrate the basis by which standardization is carried out.
at a predetermined frequency, based on risk assessment
by trained staff
to a defined method traceable to a recognized national or international standard where possible.
Results shall be documented.
protected from damage, deterioration or misuse.
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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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prevented from adjustment by unauthorized staff
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The prescribed measuring and monitoring devices shall be:
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© BRC
6.3
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7.1
PERSONNEL
Training
FUNDAMENTAL
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Raw Material Handling, Preparation, Processing, Packing and Storage Areas
Requirements
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The company shall ensure that personnel performing work that affects product safety, legality, regulatory compliance and quality are
demonstrably competent to carry out their activity, through training, work experience or qualification.
All relevant personnel, including temporary staff and contractors, shall be appropriately trained prior to beginning work and adequately supervised while working.
7.1.2
Where personnel are engaged in activities relating to Critical Control Points, relevant training and documented monitoring procedures shall be in place.
7.1.3
The company shall put in place documented programs 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 and effectiveness of training and competency of the trainer
consideration of the delivery of training in the appropriate language of trainees.
title or course contents as appropriate
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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Further information available at www.brcglobalstandards.com
date and duration of training
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name of trainee and confirmation of attendance
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Records of all training shall be available. This shall include as a minimum:
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7
Access and Movement of Personnel
Requirements
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The company shall ensure that access and movement of personnel, visitors and contractors shall not compromise product safety.
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.
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Personal Hygiene
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Raw Materials Handling, Preparation, Processing, Packing and Storage Areas
The company’s personal hygiene standards shall be documented and adopted by all personnel, including contractors and visitors to the production
facility. These standards shall be formulated with due regard to risk of product contamination.
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 jewelry policy.
7.3.3
Watches shall not be worn. Jewelry shall not be worn, with the exception of a plain wedding ring, wedding wrist band or continuous loop ear rings, unless identified as a
food safety hazard or Occupational Safety hazard to the individual. 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 unpolished. False fingernails shall not be permitted. Where visitors cannot comply, suitable control procedures shall be in place,
e.g. non-handling of product, use of gloves.
7.3.6
Excessive perfume or aftershave shall not be worn.
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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 scrapes on exposed skin shall be covered by an appropriately colored bandage different from the product color (preferably blue) and containing a metal
detectable strip where metal detection/X-ray equipment is in use. These shall be company issued and monitored. Where appropriate, in addition to the bandage, a finger
covering shall be worn.
7.3.9
A sample from each batch of bandages 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 minimize the risk of contamination.
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Further information available at www.brcglobalstandards.com
© BRC
7.2
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Medical Screening
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The company shall ensure that medical screening procedures are in place for all employees, contractors or visitors who will be working in or visiting
areas where product safety could be compromised.
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Requirements
The company shall have a procedure for the notification by employees, including temporary employees, of any relevant infections, disease or condition with which they may
have been in contact or be suffering from.
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 written and communicated procedures for 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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7.4
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Protective Clothing
Employees or Visitors to Production Areas
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Suitable company issued protective clothing shall be worn by employees, contractors or visitors working in or entering production areas.
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Requirements
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 rest rooms, use of break room/lunchroom and smoking areas.
7.5.2
Protective clothing shall be available that is:
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7.5.1
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).
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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, smoking and eating while wearing protective clothing shall not be permitted.
7.5.6
All scalp hair shall be fully contained to prevent product contamination.
7.5.7
Based on risk assessment, covers for beards and moustaches shall be worn to prevent product contamination.
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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 color (blue where possible)
be intact, and not shed loose fibers.
7.5.10
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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Clean and dirty clothing shall be segregated and controlled to prevent cross contamination.
7.5.4
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Further information available at www.brcglobalstandards.com
© BRC
7.5
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
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Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
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SECTION III
HOW TO GAIN CERTIFICATION
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© BRC
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BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Section III
How to Gain Certification
1
Introduction
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The process by which a company gains and maintains certification is summarized in Figure 2.
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Every effort 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 BRC Global Standards
website www.brcglobalstandards.com, where changes will be published.
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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 assessed by 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.
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Self Assessment of Compliance with the Standard
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2
It is essential that the company is assessed against the current issue of the Global Standard for Food Safety
and that this is available throughout the certification process. The current issue of the Standard in the
required language is available from www.brcglobalstandards.com.
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The Standard should be read and understood and a preliminary self assessment should be conducted by the
company against the Standard. Any areas of 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.
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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
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In selecting a certification body, the company should consider:
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Once a self assessment has been completed and non-conformities addressed, the company must select a
certification body. The BRC cannot advise on the selection of a specific certification body, but the BRC Global
Standards Directory lists BRC-approved certification bodies. Visit www.brcdirectory.com.
acceptability of the certification body to customers; certain customers carry lists of their preferred
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certification bodies
the scope of accreditation of the certification body. It is essential that the certification body is accredited
to assess companies 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 BRC and documented in Appendix 2.
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© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Figure 2
How to Gain Certification
Obtain Copy Of Standard
www.brcglobalstandards.com
Self Assessment Compliance
With Standard
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Selected Certification Body
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Pre-assessment (Optional)
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On Site Audit
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Critical or Major Non-conformity
against Fundamental
Requirement
No Certification
Closing Meeting
Confirmation of any
Non Conformities
Current Certificated sites
Certification Withdrawn
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No Corrective Action
Submitted Within
28 Days
Corrective Action
Submitted or Revisit with
28 Calendar Days
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Evidence Assessed
Calrification Required
No Non-conformities
Identified
Certificate Details and Audit
Report listed on BRC Global
Standard Directory
www.brcdirectory.com
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Certificate Details and
Audit Report Issued to
Company and sent to
BRC
No Certificate Issued
Number and type of
Non-conformities Identified
result in Grade D
No Certification
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Certification Decision
made by Certification
Decision Manager
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Report Issued Specifying Status
No Certification
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Certification
Documentation Collated
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Evidence Assessed
Compliant
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Evidence Assessed
Inadequate
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Additional
Clairification
Provided
On Going Compliance
Audit In
Accordance with
Required Frequency
© BRC
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4
Further information available at www.brcglobalstandards.com
Company/Certification Body Contractual Arrangements
A contract shall exist between the company and the certification body, detailing the scope of the audit and
the reporting requirements. This contract will be formulated by the certification body.
The BRC will 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.
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4.1
Scope of Audit
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The scope of the audit must be agreed between the company and the certification body.
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The audit, report and certificate shall be ‘product’ and ‘facility’ specific. Each facility shall be audited and the
certificate granted accordingly.
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The scope of the audit and subsequent certificate shall cover the agreed products or product categories
where certain products may be excluded – exclusions that 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 shipment.
For manufactured goods this must be clearly stated on the certificate.
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Certification relates to the audit of all processes within the manufacturing of a ‘product’ and this may in some
cases involve the audit at one or more premises by 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 shall clearly indicate this information.
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Extension to Scope
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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 aspects of the
required extension to scope. The current certificate will be superseded by any new certificate issued using the
same expiration date as detailed on the original certificate.
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Auditor Selection
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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 process technologies it uses to 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 as listed in Appendix 3.
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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 consecutive occasions to the same site.
Exceptions to this should be justified on the audit report – such as a requirement for audit in specialist areas
and remote regions.
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5
Audit Preparation by the Company
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.
56
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BRC Global Standard for Food Safety – North American version
There is a requirement on the company to plan carefully for the audit, to have appropriate documentation for
the auditor to assess and to have appropriate staff available at all times during the on-site audit.
The company shall ensure that the production schedule 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.
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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
assist the auditor in conducting an effective audit.
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The company will make the previous year’s audit report available to the auditor and the certification body.
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Duration of the Audit
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The company shall provide the certification body with appropriate information to allow them to assess the
duration and the cost of audit. This should include details of manufacturing schedules to allow audits to
cover relevant processes, for example night time manufacturing if necessary. Requested information may
also include, for example, a map of the facility, number of employees and number of production lines. The
time to assess all documentation is included in the duration of the audit.
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Before the audit takes place, the certification body shall indicate the approximate duration of the audit. The
typical duration of an audit shall be 11⁄2 days. Additionally up to one day is typically required for the
completion of a comprehensive audit report.
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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 be justified and specified on the audit report.
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Factors which may influence the duration of the audit are:
company staff numbers and functions
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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.
complexity of the manufacturing process
the number of non-conformities recorded in the previous audit
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communication difficulties, e.g. language
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labor-intensity of processes
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size and age of site and impact on material flow
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number of product lines
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numbers of locations, with separate offices, manufacturing or storage sites
difficulties experienced during the audit requiring further investigation
the quality of company preparation, e.g. documentation, HACCP, QMS.
For an audit of typically 11⁄2 days’ duration, 30–50% of time should be spent on examination of HACCP-based
systems and audit of its practical implementation by an inspection of the production facility. This will vary
according to the complexity of the operation. Time taken shall be detailed on the audit report.
© BRC
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BRC Global Standard for Food Safety – North American version
7
Further information available at www.brcglobalstandards.com
The On-site Audit
The on-site audit consists of the following six stages:
the opening meeting – to confirm the scope and process of the audit
document review – a review of the documented HACCP and Quality Management Systems
production facility inspection – to review practical implementation of the systems and interview personnel
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review of production facility inspection – to verify and conduct further documentation checks
final review of findings by the auditor – preparation for the closing meeting
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closing meeting – to review audit findings with the company. Note that non-conformities are subject to
subsequent independent verification by the certification body management.
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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 appropriate authority to
ensure that corrective action can be initiated if non-conformities are found. The most senior operations
manager on site or their designee shall be available at the audit and attend the opening and closing meetings.
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During the audit, detailed notes shall be made regarding the company’s conformities and non-conformities
against the Standard and these will be used as the basis for the audit report. The auditor will assess the nature
and severity of any non-conformity.
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At the closing meeting, the auditor shall present his or 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 process and due date for the company to provide evidence to 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.
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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 nonconformities. The company will be informed of the certification decision following this review.
Non-conformities and Corrective Action
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The level of non-conformity assigned by an auditor against a requirement of the Standard is an objective
judgment with respect to severity and risk and is based on evidence collected and observations made during
the audit. This is verified by the certification body management.
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Critical
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There are three levels of non-conformity:
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Non-conformities
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8.1
– where there is a critical failure to comply with a food safety, regulatory compliance or legal issue
Major
– where there is a substantial failure to meet the requirements of a ‘statement of intent’ or any clause of
the Standard
and/or
– a situation is identified which would, on the basis of available objective evidence, raise significant
doubt as to the conformity of the product being supplied
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BRC Global Standard for Food Safety – North American version
Minor
– 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.
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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
clause and recording this as a single minor non-conformity is not permitted.
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8.2
Procedures for Handling Non-conformities and Corrective Action
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The criteria for grading and means of confirming corrective action are summarized in Appendix 4. The
decision to award a certificate, and the grade of the certificate, A, B 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 D is
assigned and certification will not be granted (refer to Appendix 4).
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Following identification of any non-conformities during the audit, the company must develop a corrective
action plan to address the non-conformities identified. Evidence that corrective action has been completed
must be provided by the company to the certification body prior to a certification decision being made.
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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 non-conformities 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.
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Critical or Major Non-conformities Raised against ‘Fundamental’ Clauses
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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 non-conformity is
found at a subsequent audit, certification must be immediately suspended.
In either of the above cases, this results in the awarding of a grade D and there shall be a further full on-site audit
carried out to verify appropriate corrective action has taken place and there is verifiable evidence of compliance.
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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.
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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 corrected within 28 calendar days of 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 has taken place.
This can be achieved either by objective evidence being submitted to the certification body such as updated
procedures, records, photographs or invoices for work undertaken etc., or by the certification body
undertaking a further on-site visit.
© BRC
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BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
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 acceptable statement of
explanation is received by the certification body within 28 calendar days, the company may remain in the
certification program 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 non-conformity cannot be
closed out within the 90-day period, the process of certification will commence again i.e. a full audit.
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If there is no formal commitment to implement corrective action received by the certification body within the
28 calendar day post-audit period, or if there is a failure to meet the timescale proposed in the nonconformity summary sheet without justification, the company does not remain in the certification program.
The company will then require a further full audit in order to be considered for certification.
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Minor Non-conformities
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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 perform further site visits to verify
that action has been taken. Where documentary evidence is provided, absolute verification may be left until
the next audit.
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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.
Further Action
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For companies that have been previously certified, 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.
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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.
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If there is no intention on behalf of the company to take appropriate corrective actions or the corrective
actions are deemed inappropriate, certification shall be withdrawn.
Grading of the Audit
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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.
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The purpose of the certification grading system is to indicate to the user of the report the commitment of the
company to continual compliance and will dictate the future audit frequency (full details available in Appendix 4).
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The grade is dependent on the number and severity of the non-conformities identified at the audit and
verification by a technical review by the certification body management where the number and severity of nonconformities may change.
The certification body will review objective evidence of corrective action completed prior to awarding a
certificate, but this will not improve the grade awarded.
10.1
Certification
After a successful review of the audit report and documentary evidence provided in relation to the
non-conformities identified, a certification decision shall be made by the designated independent certification
manager and a certificate issued by the certification body typically within 42 calendar days of the audit. The
certificate shall conform to the format shown in Appendix 5, using BRC and accreditation body logo usage rules.
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© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
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 BRC who has been issued with
a BRC Third Party Auditor Certificate for this Standard, the BRC Trained 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
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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.
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The users of certificates are advised that they should verify that the scope of the certificate is clearly stated and
that this information is consistent with their own requirements. While the certificate is issued to the company, it
remains the property of the certification body that controls its ownership, use and display.
Appeals
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10.2
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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 days of receipt of the certification decision.
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The certification body shall have a documented procedure for the consideration and resolution of appeals
against the certification decision. These investigative procedures shall be 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 finalized within 30 calendar days of receipt. A full
written response will be given after the completion of a full and thorough investigation into the appeal.
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In the event of an unsuccessful appeal, the certification body has the right to charge costs for conducting
the appeal.
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Audit Reporting
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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 non-conformities
that have been identified.
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The detailed audit report section must assist the reader to:
gain greater understanding of individual clauses either for conformity or for non-conformity
be informed of ‘best practice’ systems, procedures, equipment or construction in place
be informed of any additional pertinent comments the auditor made.
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be informed of improvements made since the last audit
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be informed of corrective action taken
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The report shall accurately reflect the findings of the auditor during the audit. Reports shall be prepared and
dispatched to the company within a period typically no longer than 42 calendar days after 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 unless the company has given 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 the certification body. The certification body will retain a copy of the audit report. The
audit report and associated documentation shall be stored safely and securely for a period of five years by
the certification body.
A copy of the audit report shall be sent by the certification body in the required format to the BRC.
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12
Further information available at www.brcglobalstandards.com
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.
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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 non-conformities
being raised, without jeopardizing continued certification.
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Appendix 4 provides worked examples in accordance with the six month and twelve month audit
frequencies.
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Certificate Expiration – Justifiable Circumstances
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12.1
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It is the responsibility of the company to maintain certification. Where an audit is delayed beyond the due
date, except in justifiable circumstances, this shall result in a major non-conformity being awarded at the
next audit. Justifiable circumstances shall be documented in the audit report.
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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 certification body to conduct an audit. These justifiable circumstances
which would not result in the assigning of a major non-conformity (refer to Section II clause 1.11) can
include when the site is:
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situated in a specific country or an area within a specific country where there is government advice to
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not visit and there is no suitable local auditor
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within a legal exclusion zone that could compromise food safety or animal welfare
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in an area that has suffered a natural or unnatural disaster, rendering the site unable to produce.
12.2
Seasonal Products
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Refer to glossary for definition of seasonal products.
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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, and regulatory
compliance by other means such as risk assessment and complaints records, to show that the site is still
competent to continue production until another audit can be arranged.
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A site that is open for 12 months of the year may process products in different seasons, but would not be
classed as a seasonal products site as it would operate all the year round. If specific seasonal products are in
scope there may be a case to visit the site more than once a year.
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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 expiration 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.
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13
BRC Global Standard for Food Safety – North American version
Optional Unannounced Audits
In order to demonstrate confidence in their quality and food safety systems, companies may elect to
undertake optional unannounced audits. This option 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.
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The decision to participate in the optional unannounced audit rests with the company, and is open to those
companies who have been awarded certification grades A or B in their normal annual audit. The company must
indicate to the certification body their intention to participate in the scheme at the time of the annual audit.
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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 BRC shall monitor the operation of this
scheme to ensure consistent management by certification bodies.
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The audit will, as for the normal annual audit, examine all aspects of the company’s systems against the
requirements of the Global Standard for Food Safety. The grading criteria will be as for an announced audit
as detailed in Appendix 4.
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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.
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If the company wishes to remain in the optional unannounced audit scheme 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.
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Communication with Certification Bodies
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In the event that the company becomes aware of legal proceedings with respect to product safety, regulatory
compliance 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 assess
the situation and any implications for the certification, and shall take any appropriate action.
15.1
Feedback
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Certification Body Performance Monitoring
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15
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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 Technical Advisory Committee of the Global
Standard as part of performance management of the certification body.
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15.2
Complaints
The BRC has implemented a formal referral process which is available to organizations involved with the
Global Standards.
From time to time failure to apply the principles and criteria of the BRC Global Standards at certificated sites
may be reported to the BRC by, for example, retailers and companies conducting their own audits. In this
event, the BRC will request a documented report of the reasons for the complaint, and refer this report to the
certification body conducting the audit. The BRC will require a full investigation of the issues raised and a
report from the certification body submitted to the BRC within 28 calendar days.
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Further information available at www.brcglobalstandards.com
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Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
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SECTION IV
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THE BRC GLOBAL STANDARDS
DIRECTORY
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Further information available at www.brcglobalstandards.com
Section IV
The BRC Global Standards Directory
www.brcdirectory.com
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Introduction
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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.
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The Global Standards Directory was developed to provide key information to retailers and to improve the
management of the BRC Global Standards program. 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
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Inclusion on the BRC Directory provides:
increased awareness and visibility of the company’s products and services to customers
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use of the BRC Global Standards logo, which can be used on all of the company’s communications,
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including stationery, brochures and websites
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a quarterly electronic newsletter
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significant discounts on all BRC training courses
pre-release notification and special offers on BRC publications, conferences and events.
Directory Functionality
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Information about certified suppliers is provided to the BRC by certification bodies. The Directory provides the
following facilities:
certified, scope and web site links
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a searchable list of certified companies including contact details, the Standard against which they are
a searchable list of approved certification bodies, including local offices and contact details
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a searchable list of delegates who have successfully completed the BRC third 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
access to certification information and management reporting, further enhancing the value of obtaining
BRC certification.
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BRC Global Standard for Food Safety – North American version
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APPENDICES
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BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Appendix 1
The Global Standard for Food Safety and its
Relationship with Other BRC Global Standards
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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.
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The Global Standard for Food Safety is an auditing Standard that sets out the requirements for food businesses that
process food or is involved in the preparation of primary products for supply as retailer branded products, branded
products, and food or ingredients for use by food service companies, restaurants or manufacturers. It can only be used
where food is processed or when there is a contamination hazard during the primary packaging or handling of food
products. 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 is the processing of product or preparation of primary product may have goods
purchased from their suppliers 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.
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The BRC Global Standard for Storage and Distribution is an auditing Standard that sets out the requirements for
the storage, distribution and wholesaling and contracted services for packaged and un-packaged 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 begins when the food enters third party storage facilities, 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:
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storage facilities under the direct control of the production facility management
operations where product processing, handling or packing/repacking of open food occurs.
live animals
pre-farm-gate loose bulk agricultural products.
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The Global Standard for Storage and Distribution does not cover:
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In addition companies such as trade agencies, brokers and importers that do not have manufacturing, packaging and
storage or transport facilities cannot apply for certification under the Standard but such companies may request
certification from their suppliers involved in these activities.
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The BRC Global Standard for Packaging and Packaging Materials is an auditing Standard that lays down 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 BRC has also developed the Global Standard for Consumer Products, which is not applicable to food, and
specifically excludes food associated products such as vitamins, minerals and herbal supplements which fall within the
scope of the BRC Global Standard for Food Safety.
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BRC Global Standard for Food Safety – North American version
Appendix 2
Qualifications,Training and Experience
Requirements for Auditors
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The following identify the minimum requirements for auditors to conduct audits against the BRC Global Standard for
Food Safety.
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Education
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The auditor shall have a degree in a food-related or bioscience discipline, or as a minimum have successfully completed
a college curriculum in a food or bioscience-related discipline.
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Work Experience
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The auditor shall have a minimum of five years’ experience within, or 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.
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The auditor must have:
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Qualifications
passed a registered Management System Lead Assessor Course (e.g. IRCA) or the BRC Third Party Auditor Course
delivered by a BRC Approved Trainer or an ASQ-certified Quality Auditor with a demonstrable knowledge of
quality management systems
qualified as an ASQ-certified HACCP Auditor or 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
HACCP course is recognized by the industry (and its stakeholders) as being appropriate and relevant.
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Audit Training
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Auditors must have successfully completed a period of supervised training, including shadow audits, in practical
assessment through 10 audits or 15 audit days involving third party food safety audits against Global Food Safety
Initiative (GFSI) approved Standards, ISO 22000 or ISO 9000 series (at a food company) of which at least five must be
against the Global Standard for Food Safety.
om
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 programs for each auditor, which will incorporate:
a Global Standard for Food Safety Awareness Course delivered by a BRC Approved Trainer
a period of initial training covering product safety, HACCP and prerequisite programs, and access to relevant laws
and regulations
© BRC
69
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
a period of supervised training to cover quality management systems, audit techniques and specific category
knowledge
assessment of knowledge and skills for each category
documented sign off after the satisfactory completion of the training program.
Each auditor’s training program 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.
Sa
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 years after leaving the employment of the certification body.
pl
m
e
Exceptions
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Where a certification body employs an auditor who does not fully meet the specific criteria for education but has been
assessed as competent, there shall be a fully documented justification in place to support the employment of the auditor.
Note – such exceptions only apply to existing auditors.
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Responsibility of the Certification Body
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It is the responsibility of the certification body to ensure processes are in place to monitor and maintain the
competence of the auditor to the level required by the Standard.
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70
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Appendix 3
Product Categories
The following product examples are given as guidance only and this is not an exhaustive list.
Sa
Category
description
Product examples
Storage
conditions
Examples of knowledge of
technology required by
auditor
Raw products
of animal or
vegetable
origin that
require
cooking prior
to
consumption
Raw red
meat
Beef/veal, pork, lamb,
venison, offal, other meat
Chilled
Slaughter, primary cutting
and butchery
Frozen
Vacuum packing
pl
m
Field of audit Category
no.
e
1
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Modified Atmosphere
Packaging
Raw poultry
rv
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2
Chicken, turkey, duck,
goose, quail, farmed and
wild game
Chilled
Slaughter and primary
cutting
Frozen
Vacuum packing
Shell egg
is
Modified Atmosphere
Packaging
it
Curing, vacuum packing,
Modified Atmosphere
Packaging
Curing, vacuum packing,
Modified Atmosphere
Packaging
Wet fish, mollusks,
crustacea, further processed
fish products, cold smoked
fish, ready prepared fish
products (e.g. fish pie,
fish fingers)
Chilled
Stunning, harvesting
Frozen
Vacuum packing, Modified
Atmosphere Packaging
Fruits,
vegetables
and nuts
Fruit, vegetables, salads,
herbs, nuts (unroasted)
Chilled
Prepared
fruit,
vegetables
and nuts
Prepared/semi-processed
fruit, vegetables and salads
including prepared ready to
eat salads, coleslaws, fries,
frozen vegetables
Chilled
Blanching, freezing
Frozen
High-care principles
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High-care/low-risk principles
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© BRC
Frozen
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6
Retail meat cutting,
processing and packing
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5
Chilled
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Fruit,
vegetables
and nuts
Raw fish
products
and
preparations
Bacon, further processed
products, e.g. sausages,
meat puddings, ready to
cook meals, ready prepared
meat products, pizzas,
vegetable prepared meals,
steamed meals
w
4
Raw
prepared
products
(meat and
vegetarian)
w
3
Washing, grading
Ambient
71
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Sa
Category
description
Product examples
Storage
conditions
Examples of knowledge of
technology required by
auditor
Processed
7
foods and
liquids with
pasteurization
or UHT as heat
treatment or
similar
technology
Dairy, liquid
egg
Liquid egg, liquid
milks/drinks, cream, liquid
tea and coffee creamers,
yogurts, fermented milkbased products, fromage
frais/crème fraîche
Chilled
Pasteurization, separation,
fermentation
Ice cream
Frozen
Cheeses – hard, soft, mold
ripened, unpasteurized,
processed
Chilled
Long-life milks, non-dairy
products e.g. soy milk),
ambient yogurts, custards,
etc.
Ambient
Fruit juices (includes freshly
squeezed and pasteurized,
smoothies)
Chilled
Dried whey powder, dried
egg, dried milk/milk
formulation
Ambient
e
pl
m
Field of audit Category
no.
High-risk principles
Frozen
py
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o
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rv
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or
is
it
Cooked meats (e.g. ham,
meat pâté, hot eating pies,
cold eating pies), mollusks
(ready to eat), crustacea
(ready to eat), fish pâté
High/low-risk principles
Frozen
Vacuum packaging
Heat treatment
Ready meals, sandwiches,
soups, sauces, pasta,
quiche, flans, meal sides,
cream cakes, trifles,
assembled high risk sweet
desserts
Chilled
High/low-risk principles
om
Ready meals
and
sandwiches;
ready to eat
desserts
Curing, fermentation
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Parma ham, cold smoked
Chilled
salmon (e.g. gravalax), air
dried meats/salami, ready to
eat smoked fish, fermented
meats, dried fish
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Raw cured
and/or
fermented
meat and
fish
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9
Chilled
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Hot smoked fish, poached
salmon
10
72
Cooked
meat/fish
products
w
Ready to eat
or heat and
eat foods, i.e.
heat
treatment of
segregation
and processes
that control
product
safety
8
w
Processed
foods
High/low-risk principles
Frozen
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Field of audit Category
no.
Category
description
Ambient
stable
products with
pasteurization
or sterilization
as heat
treatment
Low/high acid Canned products (e.g.
in cans/glass beans, soups, meals,
fruit, tuna)
11
Storage
conditions
Examples of knowledge
of technology required by
auditor
Ambient
Canning
Thermal processing
UHT
Products packed in glass
(e.g. sauces, jams, pickled
vegetables)
Sa
pl
m
12
e
Pet food
Beverages
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Sodas including flavored
water, isotonics,
concentrates, cordials,
minerals, table waters, ice,
herbal drinks, milk and
cereal beverages; food
drinks
Ambient
Water treatment
Heat treatment
13
o
.T
Ambient
stable
products not
involving
sterilization as
heat
treatment
Product examples
15
Dried foods
and
ingredients
Distilling, fermentation,
fortification
Ambient
Baking
Alcopops
Bread, pastry, cookies,
cakes, tarts, breadcrumbs
it
Bakery
Ambient
Vinegars
is
14
Beer, wine, spirits
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de
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Alcoholic
drinks and
fermented/
brewed
products
Drying
Heat treatment
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Soups, sauces, gravies,
Ambient
spices, stocks, herbs,
seasonings, stuffings,
pulses, legumes, rices,
noodles, nut preparations,
fruit preparations, dried pet
food, vitamins, salt,
additives, gelatin, glace
fruit, home baking,
syrups, gases
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Tea, instant coffee and
coffee creamers
Confectionery
Sugar, chocolate, gums and Ambient
jellies, other candies
Heat treatment
17
Cereals and
snacks
Oats, muesli, breakfast
cereals, roasted nuts, chips,
poppadoms
Ambient
Extrusion, heat treatment
18
Oils and fats
Cooking oils, margarine,
shortening, spreads, butter,
suet, ghee
Ambient
Refining, hydrogenation
.c
16
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Salad dressings,
mayonnaise, vinaigrettes
© BRC
73
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Appendix 4
Summary of Grading Criteria,Action Required and
Audit Frequency
Sa
Grade
Critical
Major
Minor
Corrective action
Audit
frequency
0
10 or
fewer
Objective evidence in 28 calendar days
12 months
1
10 or
fewer
Objective evidence in 28 calendar days
12 months
0
11 to
20
Objective evidence in 28 calendar days
12 months
2
20 or
fewer
Re-visit required within 28 calendar days
6 months
Up to
30
Re-visit required within 28 calendar days
e
pl
m
Critical or
major nonconformity
against the
‘statement of
intent’ of a
‘fundamental’
requirement
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A
B
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B
C
6 months
it
D
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Fewer
than 2
is
C
1 or more
Certification not granted.
Re-audit required
D
Re-audit required
3 or
more
2
Re-audit required
Certification not granted.
31 or
more
Certification not granted.
Re-audit required
Re-audit required
om
21 or
more
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Fewer
than 2
Certification not granted.
op
D
Certification not granted.
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D
1 or
more
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D
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.
74
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Appendix 5
Certificate Template
Sa
Trained third
party auditor
logo
CERTIFICATION BODY NAME OR LOGO
pl
m
Auditor Number
e
This is to certify that
py
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COMPANY NAME
o
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AUDIT SITE ADDRESS
Has been evaluated by Certification Body name and registration number
rv
de
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and found to meet the requirements of
GLOBAL STANDARD for FOOD SAFETY
ISSUE 5: JANUARY 2008
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SCOPE
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Product Categories
Achieved Grade
Certificate issue date:
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Certificate expiry date:
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Re-Audit due date:
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Date of audit:
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___________________
Authorized by
Name and full address of Certification Body
Accreditation
Body Logo
© BRC
BRC logo
This certificate remains the property of (name of Certification Body)
75
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Appendix 6
Certificate Validity,Audit Frequency
and Planning
Sa
Example of a Typical 12 Month Certification Cycle
pl
m
e
1. Date of the
initial audit
(e.g. 05/17/2007)
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6
7 8
9 10
11
o
2 3 4 5
2. Audit time
window = 28 days
.T
1
+24 months due
date of the
renewal audit,
not later than
(e.g.: 05/17/2009)
+12 months due
date of the renewal
audit not later than
(e.g. 05/17/2008)
1 2 3
rv
de
or
1. Latest date of
award of the certificate.
(Date of audit +42
days e.g.: 06/28/07)
12
7 8
9
10
11
12
Duration in
Months
1
2. Recertification date
(date of audit +42
days e.g.: 06/20/08)
is
2. Actual audit
date
(e.g.: 05/08/08)
4 5 6
it
(initial audit date + 12 months + 42 days)
Year 2. Certificate validity = 12months
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Year 1. Certificate validity = 12 months
Example of a Typical 6 Month Certification Cycle
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+12 months due date
of the renewal audit,
not later than
(e.g. 02/12/2008)
+6 months due date
of the renewal audit,
not later than
(e.g. 08/11/2007)
Date of the initial audit
(e.g. 02/12/2007)
sh
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2. Audit time
window = 28 days
2 3
4
5
6
7
1. Latest date of award
of the certificate
(Date of audit + 42
days 03/26/07)
8
9
10 11 12 1
2
Duration in
Months
om
1
2. Recertification date
(date of audit +42
days e.g. 09/17/07)
2. Actual Audit date
(e.g. 08/6/07)
1. Certificate validity = 6 months
2. Certificate validity = 6 months
(initial audit date + 6 months + 42 days)
76
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Appendix 7
Glossary
Accreditation
Sa
Procedure by which an authoritative body gives formal recognition of the competence of a
certification body to provide certification services against a specified standard.
Allergen
pl
m
A known component of food which causes physiological reactions due to an immunological
response, e.g. nuts and others identified in legislation relevant to the country of production or sale.
Allergens defined by the Food Allergen Labeling and Consumer Product Act 2004 are:
e
Milk
py
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Egg
Fish (e.g. Bass, Flounder, or Cod)
.T
Crustacean Shellfish (e.g. Crab, Lobster or Shrimp)
o
Tree nuts (e.g. Almonds, Pecans, or Walnuts)
Wheat
Soy Beans
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Peanuts
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For Allergens legislation in Europe refer to: Directive 2003/89/EC of 10 November 2003 amending
Directive 2000/13/EC, and also www.brcglobalstandards.com for up-to-date information.
it
A systematic examination to substantiate whether activities and related results comply with
planned arrangements and whether these arrangements are implemented effectively and are
suitable to achieve objectives.
Branded food
products
Pre-packaged food products bearing the logo, copyright and address of a company which is not
a retailer.
Business continuity
A framework which enables an organization to plan and respond to incidents of business
interruption in order to continue business operations at an acceptable predetermined level.
Calibration
Set of operations that establish, under specified conditions, the relationship between values of
quantities indicated by a measuring instrument or measuring system, or values represented by a
material measure or reference material, and the corresponding values realized by standards.
Certificate
withdrawal
Where certification is revoked.
Certification
Procedure by which accredited certification body based on an audit and assessment of a company’s
competence provide written assurance that a company conforms to a standard’s requirement.
Certification body
Provider of certification services, accredited to do so by an authoritative body.
Codex Alimentarius
Body responsible for establishing internationally recognized standards, codes of practice and
guidelines of which HACCP is one such standard.
Company
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.
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© BRC
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Audit
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BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Sa
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.
Control measure
Any action or activity that can be used to prevent or eliminate a food safety hazard or reduce it to
an acceptable level.
Corrective action
Action to eliminate the cause of a detected non-conformity deviation.
Critical control
point (CCP)
A step at which control can be applied and is essential to prevent or eliminate a food safety
hazard or reduce it to an acceptable level.
Customer
A business or person to whom a product has been provided, either as a finished product or as a
component part of the finished product.
Customer focus
A structured approach to determining and addressing the needs of an organization to which the
company supplies products and which may be measured by the use of performance indicators.
e
pl
m
Contamination
py
co
The ultimate consumer of a food product who will not use the food as part of any food business
operation or activity.
Factored goods
Goods not manufactured or part processed on site but brought in and sold to the customer.
Flow diagram
.T
End consumer
o
A systematic representation of the sequence of steps or operations used in the production or
manufacture of a particular food item.
rv
de
or
Anyone who handles or prepares food, whether open (unwrapped) or packaged.
Food safety
Assurance that food will not cause harm to the consumer when it is prepared and/or eaten
according to its intended use.
Fundamental
requirement
A requirement of the Standard that relates to a system which must be well established,
continuously maintained and monitored by the company as absence or poor adherence to the
system will have serious repercussions on the integrity or safety of the product supplied.
is
Food handler
it
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Hazard
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Genetically Modified GMO is the abbreviation for genetically modified organism. A GMO is an organism
Organism (GMO)
whose genetic material has been altered by the techniques of genetic modification so that its DNA
contains genes not normally found there.
A biological, chemical or physical agent in, or condition of, food with the potential to cause an
adverse health effect.
High-care area
An area designed to a high standard where practices relating to personnel, ingredients,
equipment, packaging and environment aim to minimize product contamination by pathogenic
micro-organisms.
High-risk area
A physically segregated area, designed to a high standard of sanitation and 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 or food where there is a high risk of growth from pathogenic
micro organisms.
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.
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op
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Hazard Analysis and A system that identifies, evaluates and controls hazards which are significant for food safety.
Critical Control Point
System (HACCP)
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
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 a company.
Low-risk operation
An operation where the processing or handling of foods presents least or minimum risk of product
contamination or growth of micro-organisms, or where the subsequent processing or preparation
of the product by the consumer will ensure product safety.
Sa
Non-conformity
pl
m
An observation, or data, that does not meet the specified product safety, legal, regulatory or
quality requirement or a specified system requirement.
Performance
indicators
e
Food product which has undergone washing, or trimming, or size-grading or quality-grading
process and is pre-packed.
.T
Preparation of
primary product
Water being safe to drink and free of pollutants and harmful organisms and conforming to local,
state, provincial and federal legal and regulatory requirements.
py
co
Potable water
Summaries of quantified data that provide information on the level of compliance against agreed
targets, e.g. customer complaints, product incidents, laboratory data.
Packaging which is in direct contact with food.
Procedure
Agreed method of carrying out an activity or process which is implemented and documented in
the form of detailed instructions or process description (e.g. a flowchart).
Processed food
Food product which has undergone any of the following processes: aseptic filling, baking,
battering, blending, bottling, breading, brewing, canning, coating, cooking, curing, cutting,
dicing, distillation, drying, extrusion, fermentation, freeze drying, freezing, frying, hot filling,
irradiation, microfiltration, microwaving, milling, mixing, packed in modified atmosphere, packed
in vacuum packing, packing, pasteurization, pickling, roasting, slicing, smoking, steaming
or sterilization.
Processing aids
Any substance not consumed as a food by itself, intentionally used in the processing of raw
materials, foods or their ingredients to fulfill a certain technological purpose during treatment or
processing, and which may result in the unintentional but technically unavoidable presence of the
residues of the substance or its derivatives in the final product, provided that these residues do not
present any health risk and do not have any technological effect on the finished product.
Product recall
Any measures aimed at achieving the return of an unfit product from final consumers and
customers.
Product withdrawal
Any measures aimed at achieving the return of an unfit product from customers but not
final consumers.
o
Primary packaging
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de
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Quantity check/mass A reconciliation of the amount of incoming raw material against the amount used in the
balance
resulting finished products, also taking into account process waste and rework.
Laboratory accreditation programs that have gained national and international acceptance
awarded by a competent body and recognized by government bodies or users of the Standard,
e.g. ISO 17025 or equivalents.
Retail brand
A trademark, logo, copyright or address of a retailer.
Retailer
A business selling food to the public by retail.
Retailer-branded
food products
Food products bearing a retailer’s logo, copyright or address; ingredients used to manufacture
within retailer’s premises; or products that are legally regarded as the responsibility of the retailer.
Seasonal products
A product harvested and processed on a site that is opened specifically for the duration of the
short term of that harvest (typically 12 weeks or less) during a 12-month cycle.
om
© BRC
.c
Recognised
laboratory
accreditation
79
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
Is a requirement to comply with the contents of the clause.
Site
A unit of the company.
Standard, the
The BRC Global Standard for Food Safety, Issue 5, January 2008.
Stock reconciliation
The process by which the location and quantity of raw material, intermediate and finished product
is identified and matched to product schedules and quantities.
Supplier
The person, firm, company or other entity to whom a company’s purchase order to supply is
addressed.
Sa
Shall
Suspension
pl
m
Where certification is revoked for a given period pending remedial action on the part of the
company.
Traceability
e
Ability to trace and follow a food, feed, food-producing animal or raw material intended to be, or
expected to be, incorporated into a food, through all stages of receipt, production, processing and
distribution.
py
co
User
The person or organization who requests information from the company regarding certification.
Validation
.T
rv
de
or
Where appropriate
Confirmation through the provision of objective evidence that specified requirements have
been fulfilled.
o
Verification
Confirmation through the provision of objective evidence that the requirements for the specific
intended use or application have been fulfilled.
is
In relation to a requirement of the Standard, the company will risk assess the actual requirement of
the Standard and where applicable put in place systems, processes, procedures or equipment to
meet the requirement. The company shall be mindful of legal and regulatory requirements, best
practice standards, good manufacturing practice and industry guidance, and any other
information relating to the manufacture of safe and legal product.
it
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80
© BRC
Further information available at www.brcglobalstandards.com
BRC Global Standard for Food Safety – North American version
Appendix 8
Acknowledgements
Sa
e
Jim Bail
NSF-CMI
pl
m
The BRC Global Standards would like to acknowledge the following individuals who were consulted during
the preparation of this document:
Sara Mortimore
Land O’Lakes
Michael Hayes
Delmonte
Jim Perz
The Coca-Cola Company
o
John Kay
AIB
Rene Pierami
Silliker
Michele Buchanan
Unilever
Michelle Kilman
STR Registrar
Vel Pillay
LRQA
Lito Castelo
The Coca-Cola Company
John Kukoly
QMI-SAI Global
Michele Shewmaker
Wal-Mart
John Clemance
Kenny Lum
Seafood Products Association
Julia Ferrell
ConAgra Foods
Amy McLester
US Food Service
Suzanne Finstad
Tyson
Fred Meyer
RQA
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de
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Lauren Brink
Intertek
Scott Goltry
American Meat Institute
.T
Zeb Blanton
SGS
Jerry Mithen
RQA
py
co
Betsy Blair
AIB
Eric Gibson
Kraft
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Jay Shirodker
Loblaw
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Paul Valder
QMI-SAI Global
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Rhonda Wellik
Cert-ID
om
© BRC
81
BRC Global Standard for Food Safety – North American version
Further information available at www.brcglobalstandards.com
The British Retail Consortium is also pleased to acknowledge the helpful contributions provided by individuals and
organizations from across the globe:
Sa
DNV Finland
Perishable Products Export
Control Board
Altego Consulting
DNV Sweden
Prosanitas
Agriquality Limited
Eurofins
Provision Trade Federation
Arla Foods
Faccenda Group
QAI Pakistan
ARS PROBATA
Food and Drink Industry
Ireland
RBK Consultants
Asda Stores Ltd
Food Standard Solutions
Reading Scientific
Services Ltd
Hong Kong Inspection
Company Ltd
SAI Global Assurance
Services Ltd
e
pl
m
ACM Ltd
py
co
.T
AUS-QUAL Pty Ltd
o
HyGeNieus
Sainsbury’s
Supermarkets Ltd
Bill Cossins
Iceland Foods
Sativa
Bioagricert
Inspectorate
SGS
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Bakkavor Group
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Swiss Technical Services
Intertek
Tesco Stores Ltd
Bureau Veritas
JOA International
Burger King
LSQA Latu Sistemas
Campden and Chorleywood
Food Research Association
Mack Multiples
UKAS
Cadbury Schweppes
Magrabi Agriculture
Verification New Zealand
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Tuev Nord
TUV Italy
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Spar (UK) Ltd
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British Meat Processors
Association
International Quality
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Bodycote
Waitrose
Coles Australia
Out Source Solutions
Walmart
Control Union Certifications
PAI Group
Wine and Spirit Trade
Association UK
DNV Italy
PDCA Solutions
© BRC
Setting the standards
for best practice
Tick all the right boxes with the BRC’s
Global Standards and Guidelines
The British Retail Consortium continues to lead the market with its Best Practice
Guidelines. These ‘how to’ guides provide practical advice on implementing and
complying with the best practice requirements of the BRC Global Standards.
BRC Global Standards:
œ Consumer Products Issue 2a
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Print: 9780117025967
PDF: 9780117038851
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œ Packaging Issue 3
Print: 9780117037601
PDF: 9780117038110
BRC Best Practice Guidelines:
œ Traceability
Issue 2
Print: 9780117025769
PDF: 9780117025844
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Used by suppliers in almost 90 countries across
the world, the BRC’s Global Standards help
manufacturers to meet their customers’ needs
and retailers to purchase with confidence.
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The British Retail Consortium continues to
lead the market with new editions of its Global
Standards and Guidelines.
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œ Storage and Distribution Issue 1
Print: 9780117036741
PDF: 9780117036734
œInternal Audit
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Issue 2
Print: 9780117025752
PDF: 9780117025837
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BRC Guidelines:
œCategory 5 Fresh Produce
(Food Safety) Issue 5
Issue 2
Print: 9780117025776
PDF: 9780117025851
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œPest Control
Print: 9780117025790
PDF: 9780117025875
œForeign Body Detection
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Issue 2
Print: 9780117025783
PDF: 9780117025868
œCookware (Consumer Products)
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Print: 9780117025806
PDF: 9780117025882
œComplaint Handling
œInterpretation Guideline
(Food Safety)
p.
Issue 2
Print: 9780117025745
PDF: 9780117025820
m
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Print: 9780117025813
PDF: 9780117025899
5726_US(1) 12.08
5726_US(2) 12.08
BRC Best Practice Guidelines are available in other language editions.
Please enquire for further details.
To order your copies of these new titles or to find out more visit
www.brcbookshop.com or call 0870 243 0123 quoting code DPC.
The Stationery Office Limited is registered in England No. 3049649 at Clifton House, Worship Street, London, EC2A 2EJ.
DPC
To order your copies of these new titles or to find out more visit
www.brcbookshop.com or call 0870 243 0123 quoting code DPD.
The Stationery Office Limited is registered in England No. 3049649 at Clifton House, Worship Street, London, EC2A 2EJ.
DPD
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GLOBAL STANDARD FOR FOOD SAFETY - NORTH AMERICAN VERSION
e
pl
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ISSUE 5
Issue 5
9 780117 066588
www.tso.co.uk
FOR FOOD SAFETY - NORTH AMERICAN VERSION
ISBN 978-0-11-706658-8