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Version 6.4
Contact address:Global Food Safety Initiative Foundationc/o The Consumer Goods Forum22/24 rue du Gouverneur Général Eboué92130 Issy-les-MoulineauxFRANCESecretariat email: gfsinfo@theconsumergoodsforum.com
This document has been written with input from our stakeholders, including retailers, food manufacturers, food service providers, accreditation bodies, certification bodies and other service providers. GFSI would like to thank all those who have helped with the continuous improvement of this document.
GFSI GUIDANCE DOCUMENT CONTENTS
OverviewForeword .................................................................................................................. 11Introduction - The Global Food Safety Initiative (GFSI) ............................................................ 11Scope ...................................................................................................................... 12Section Overview ........................................................................................................ 12Normative References .................................................................................................. 13
Part I: The Benchmarking ProcessIntroduction ............................................................................................................... 191. The Benchmarking Process ......................................................................................... 192. The Benchmark Committee ......................................................................................... 33Annex 1 – Scheme Application Guidelines .......................................................................... 35Annex 2 – GFSI Benchmark Committee Terms of Reference ...................................................... 39Annex 3 – The GFSI Appeals Procedure .............................................................................. 51
Part II: Requirements for the Management of SchemesIntroduction ............................................................................................................... 591. Requirements for a GFSI Benchmarking Application ........................................................... 592. Requirements for Food Safety Schemes - Ownership and Management..................................... 623. Requirements for Food Safety Schemes - System ............................................................... 66Annex 1: GFSI Scope of Recognition ................................................................................. 73Annex 2: GFSI Requirements for the Application of ISO /IEC 17011:2004 ...................................... 77Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodiesAnnex 3: Auditor Competence - Qualifications, Training and Experience ...................................... 91
Part III: The Technical Equivalence Process for Government Owned Certification SchemesThe Technical Equivalence Process for Government Owned Certification Schemes .......................... 99
Part IV: Scheme Scope and Key ElementsIntroduction ............................................................................................................. 105
Section 1 - Food and Feed Safety Management Requirements ................................................. 107
Table I – Food Safety Management Requirements ............................................................... 107Scopes of Recognition AI, AII, BI, BII, C, D, EI, EII EIII, EIIV and LTable II – Food Safety Management Requirements ............................................................... 110Additional Specific Requirements AITable III – Food Safety Management Requirements .............................................................. 111
Additional Specific Requirements AIITable IV – Food Safety Management Requirements ............................................................. 112Additional Specific Requirements BI and BIITable V – Food Safety Management Requirements ............................................................... 112Additional Specific Requirements CTable VI – Food Safety Management Requirements .............................................................. 113Additional Specific Requirements D, EI, EII, EIII, EIV and LTable VII – Feed Safety Management Requirements ............................................................. 113Scope of Recognition FTable VIII – Food and Feed Safety Management Requirements ............................................... 117Scope of Recognition JTable IX – Food Safety Management Requirements .............................................................. 120Scope of Recognition MSection 2 - Good Industry Sector Practice Requirements ....................................................... 123
Table I – Good Agricultural Practice ................................................................................ 123Requirements AITable II – Good Aquacultural Practice .............................................................................. 128Requirements AIITable III – Good Agricultural Practice ............................................................................... 132Requirements BITable IV – Good Agricultural Practice ............................................................................... 136Requirements BIITable V – Good Manufacturing Practice ............................................................................ 140Requirements CTable VI – Good Manufacturing Practice ........................................................................... 138Requirements DTable VII – Good Manufacturing Practice .......................................................................... 144Requirements EI, EII EIII, EIIV and LTable VIII – Good Manufacturing Practice ......................................................................... 147Requirements FTable IX – Good Distribution Practice .............................................................................. 149Requirements JTable X – Good Manufacturing Practice ............................................................................ 151Requirements MSection 3 - HACCP or Hazard Based Requirements .............................................................. 154
Table I – HACCP ........................................................................................................ 154Requirements AI, AII, BI and BIITable II – HACCP ....................................................................................................... 154Requirements C and DTable III – HACCP ...................................................................................................... 155Requirements EI, EII, EIII, EIV and LTable IV – HACCP ...................................................................................................... 155Requirements FTable V – HACCP ....................................................................................................... 156Requirements JTable VI – HACCP ...................................................................................................... 156Requirements MSection 4 - Certification of Multi-Site Organisations based on Sampling .................................... 157
Part IV: Glossary of TermsTerms and Definitions ................................................................................................. 165
Version 6.4
OVERVIEWCONTENTSForeword .......................................................................................................11
Introduction - The Global Food Safety Initiative (GFSI) .................................................11
Scope ..........................................................................................................12
Section Overview .............................................................................................12
Normative References .......................................................................................13
Sixth Edition / Version 6.4 / November 20159GFSI Guidance Document - Overview
Sixth Edition / Version 6.4 / November 201511GFSI Guidance Document - Overview
ForewordGlobal Food Safety InitiativeThe Global Food Safety Initiative (GFSI) is a non-profit making foundation, created under and governed by Belgian law. The daily management of GFSI is undertaken by The Consumer Goods Forum. The Consumer Goods Forum has endeavoured to ensure that the information in this publication is accurate and The Consumer Goods Forum shall not be held liable for any damages (including, without limitation, damages for loss of business or loss of profits) arising in contract or otherwise from this publication or any information contained in it, or from any action or decision taken as a result of reading this publication or any such information. The fundamental principles underpinning this Guidance Document have resulted from the continuous review of the requirements of food retailers, food suppliers and food service providers. However, this document does not replace the requirement for food businesses to understand and meet the requirements of local and market food safety legislation. This document will be reviewed on a regular basis and revised where considered appropriate.
Introduction - The Global Food Safety Initiative (GFSI)The Global Food Safety Initiative (GFSI) is managed by The Consumer Goods Forum and was launched in May 2000. The GFSI Foundation Board of Directors is drawn from major global retailers, manufacturers and food service operators and, together, this group provides the strategic direction for and oversees the daily management of GFSI. Membership of the Board is by invitation only. The GFSI Vision is “driving continuous improvement in food safety to strengthen consumer confidence worldwide”.
The GFSI Mission is to provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide.
The GFSI Objectives are to:
► Reduce food safety risks by delivering equivalence and convergence between effective food safety management systems, as outlined in this Guidance Document,
► Manage cost in the global food system by eliminating redundancy and improving operational efficiency,► Develop competencies and capacity building in food safety to create consistent and effective global food
systems,► Provide a unique international stakeholder platform for collaboration, knowledge exchange and networking.The GFSI Foundation Board also provides governance to the Technical Working Groups, an international multi-stakeholder group of over 90 food safety experts. The Technical Working Groups are mandated with specific tasks, approved by the GFSI Foundation Board, in order to fulfil the GFSI Mission. The Technical Working Groups are open to all stakeholders by invitation only, subject to approval by the GFSI Board.The Guidance Document is a tool which fulfils one of the main objectives of GFSI, that of determining equivalency between food safety management systems. GFSI is responsible for the production and maintenance of the Document, which is readily available on the GFSI website (www.mygfsi.com). The Guidance Document has undergone consultation with stakeholders and has been approved by the GFSI Board. After publication the GFSI Guidance Document remains subject to review and revision by the GFSI Technical Working Groups and there are sections of the document which shall be further developed by specific Technical Working Groups on an ongoing basis. Stakeholders are invited to submit comments and proposals for changes, which will in turn be presented to the Technical Working Groups, who will recommend revisions accordingly. A full review of the GFSI Guidance Document will be undertaken at least every 4 years, although addenda may be added at any time with the approval of the GFSI Board.
Sixth Edition / Version 6.4 / November 201512GFSI Guidance Document - Overview
Through this process of continuous improvement, GFSI provides a recognition process, which can be used by food industry stakeholders. However, it is at the discretion of individual food businesses as to which GFSI benchmarked scheme(s) they choose to apply; the decision shall be dependent on company policy, customer requirements, general regulatory requirements, due diligence obligations and product liability.
Scope The GFSI Guidance Document specifies the process by which food safety schemes may gain recognition (GFSI Guidance Document, Part I – The Benchmarking Process) and gives guidance to schemes seeking compliance. It also specifies the requirements to be put in place for a food safety scheme seeking recognition by GFSI (GFSI Guidance Document, Part II – Requirements for the Management of Schemes) and the key elements for production of safe food or feed, or for service provision in relation to food safety (GFSI Guidance Document, Part IV – Scheme Scope and Key Elements). Part III is dedicated to government-owned schemes, developed to allow for the asessment of a government-owned scheme’s equivalence against the relevant technical requirements of the GFSI Guidance Document.The key elements have been developed by members of the GFSI Technical Working Groups and other experts, who have advised upon sector specific requirements. These key elements can be directly related to the food safety principles laid down by Codex Alimentarius Standards and Guidance, as well as Codes of Practice, where appropriate.The GFSI Guidance Document, therefore, is not in itself a food safety standard and GFSI is not involved in certification or accreditation activities.Food safety schemes can apply for recognition against scope(s), which are clearly defined sectors of the food supply chain and are specified in Part II, Annex 1 – GFSI Scope of Recognition. The key elements for these sectors are specified in Part IV – Scheme Scope and Key Elements of the GFSI Guidance Document.A scheme’s standard, auditor competence requirements, certificate audit programme and management system shall be assessed against these requirements by the GFSI Benchmark Committee to verify compliance and, if successful, the scheme shall achieve formal recognition by GFSI. The requirements within this document shall be reviewed, maintained and updated by GFSI to ensure currency, consistency and integrity.
Section OverviewPart I – The Benchmarking ProcessThis section has been developed and published by GFSI to specify the requirements for the benchmarking of food safety schemes.The objectives of Part l are to define:► the requirements for the key steps in the GFSI benchmarking process,► the requirements for selection of GFSI Benchmark Committee members,► the systems and procedures relating to the GFSI benchmarking process.GFSI shall ensure that the process of benchmarking and associated procedures is transparent and open to stakeholder scrutiny. The systems and procedures associated with the GFSI benchmarking process will be reviewed, maintained and updated to ensure consistency and integrity.
Part II – Requirements for the Management of SchemesThis section has been developed and published by GFSI to specify the requirements for the management and control of food safety schemes.
Sixth Edition / Version 6.4 / November 201513GFSI Guidance Document - Overview
The objectives of this section are to define:► the requirements for eligibility of a food safety scheme to be considered for benchmarking by GFSI,► the requirements for food safety scheme ownership and management,► the requirements for food safety scheme support systems,► the requirements for continuing recognition by GFSI, if recognition status is granted,► the requirements for the competence of auditors working for Certification Bodies that have achieved, or
are seeking, accreditation for a food safety scheme in relation to one or more GFSI scopes of recognition.
Part III – The Technical Equivalence Process for Government Owned Certification SchemesThis section, dedicated to government-owned schemes, has been developed and published by GFSI to allow for the acknowledgement of a scheme’s equivalence against the relevant technical requirements of the GFSI Guidance Document. It is distinguished from GFSI recognition of private schemes, which also assesses the scheme’s governance and operational management components. The purpose of this section is to take into account the differing structure of government owned schemes.
Part IV – Scheme Scope and Key Elements This section has been developed and published by GFSI to specify the scope requirements for the recognition of food safety schemes.The objectives of this section are to define:► the requirements for the food safety system to be present in the scheme’s standard for each GFSI scope
of recognition,► the requirements for the Good Practice requirements to be present in the scheme’s standard for each GFSI
scope of recognition,► the requirements for HACCP or HACCP-based requirements to be present in the scheme’s standard for
each GFSI scope of recognition.GFSI has worked closely with food industry experts to clearly define the requirements that shall be put in place to provide food safety assurance in specific sectors of the food industry and food businesses providing products and services to the food industry. These requirements will differ from sector to sector of the food supply chain.
Normative ReferencesThe following are referenced documents used in determining the application of the GFSI Guidance Document:► ISO/IEC Guide 65:1996 General requirements for bodies operating product certification systems► ISO/IEC 17021:2006 Conformity assessment - Requirements for bodies providing audit and certification
of management systems ► ISO/IEC 17000:2004 Conformity assessment - Vocabulary and general principles► ISO 9001:2008 Quality management systems - Requirements► ISO/IEC 17011:2004 Conformity assessment - General requirements for accreditation bodies accrediting
conformity assessment bodies ► ISO 22000:2005 Food safety management systems - Requirements for any organization in the food chain► ISO /TS 22003:2007 Food safety management systems - Requirements for bodies providing audit and
certification of food safety management systems► ISO 9000:2005 Quality management systems - Fundamentals and vocabulary► Codex Alimentarius Commission Recommended International Code of Practice - General Principles of
Food Hygiene CAC/RCP1-1969, Rev. 4 -2003► National Advisory Committee on Microbiological Criteria for Foods Hazard Analysis and Critical
Control Point Principles and Application Guidelines, August 1997.
PART I
Version 6.4
THE BENCHMARKING PROCESSCONTENTSIntroduction ................................................................................................... 191. The Benchmarking Process ............................................................................. 19
1.1 Introduction ............................................................................................ 191.2 The Key Procedural Steps .......................................................................... 191.2.1 Preliminary Screening and Benchmarking Application ......................................................................20
1.2.1.1 Methodology – Preliminary Screening and Benchmarking Application (New Scheme) ..........201.2.1.2 Methodology – Benchmarking Application (Extensions to scope of recognition) ....................211.2.1.3 Methodology – Benchmarking Application (Re-benchmarking) ..............................................21
1.2.2 Desk Review ....................................................................................................................................221.2.2.1 Methodology – Desk Review ..................................................................................................22
1.2.3 Benchmark Committee Review .................................................................................................231.2.3.1 Methodology – Benchmark Committee Assessment .......................................................23
1.2.4 GFSI Board Review ..........................................................................................................................241.2.4.1 Methodology – GFSI Board Review .......................................................................................24
1.2.5 Annual Assessment ...........................................................................................................................251.2.5.1 Methodology – Annual Assessment ........................................................................................25
1.2.6 Continued Recognition ......................................................................................................................261.2.6.1 Methodology – Continued Recognition ...................................................................................26
1.2.7 Documentation ..................................................................................................................................261.2.8 Dismissal of GFSI Benchmark Committee Leaders and Benchmark Committee Members .............261.2.9 The Benchmarking Programmes ......................................................................................................26
Table 1: Process Steps and Timescales for New Scheme Applications ............................. 27Table 2: Process Steps and Timescales for a Scheme Seeking Re-benchmarking or Extensions to Scope of Recognition ....................................................................................... 29
1.2.10 Conformity with the GFSI Guidance Document ............................................................................311.2.10.1 The GFSI Suspension of Recognition Procedure ................................................................311.2.10.2 The GFSI Withdrawal of Recognition Procedure .................................................................31
1.2.11 The GFSI Appeals Procedure- GFSI Recognition ..........................................................................322. The Benchmark Committee ............................................................................. 33
2.1 Introduction ........................................................................................... 332.2 Membership ........................................................................................... 332.2.1 Benchmark Committee Membership – New Applicant Schemes .....................................................332.2.2 Benchmark Committee Membership – Schemes Seeking Re-benchmarking or Extensions to Scopeof Recognition ............................................................................................................................................342.3 Member Selection ................................................................................... 34
Annex 1 – Scheme Application Guidelines .............................................................. 35Annex 2 – GFSI Benchmark Committee Terms of Reference .......................................... 39Annex 3 – The GFSI Appeals Procedure .................................................................. 51
Sixth Edition / Version 6.4 / November 201517GFSI Guidance Document - Part I
PART I
Sixth Edition / Version 6.4 / November 201519GFSI Guidance Document - Part I
PART IPART I
IntroductionThis section is the first part of the Guidance Document, which has been developed and published by the Global Food Safety Initiative (GFSI) to specify the requirements for the recognition of food safety schemes.The objectives of Part I are to define:► the requirements for the key steps in the GFSI benchmarking process,► the requirements for selection for the GFSI Benchmark Committee members,► the systems and procedures relating to the GFSI benchmarking process.GFSI shall ensure that the process of GFSI benchmarking and associated procedures is transparent and open to stakeholder scrutiny. The systems and procedures associated with the GFSI benchmarking process will be reviewed, maintained and updated to ensure consistency and integrity.
1. The Benchmarking Process1.1 IntroductionThe benchmarking process carried out by GFSI is the method by which a food safety scheme is objectively compared to defined requirements as laid down in the GFSI Guidance Document to determine equivalence.The comparison is carried out by a Committee of food safety experts appointed by the GFSI Board in order to ascertain whether a scheme can demonstrate conformity with the requirements of the GFSI Guidance Document. This committee will, following the review, make recommendations to the GFSI Board for recognition or non-recognition of the food safety scheme. The review is carried out in a systematic manner, in accordance with the process defined within this document.The detailed steps, systems and procedures developed by GFSI serve to demonstrate that the GFSI benchmarking process is carried out in an independent, impartial and transparent manner by technically competent food safety experts.The review is undertaken by directly comparing the applicant scheme requirements (the scheme standard and its supporting systems) with the requirements specified within GFSI Guidance Document Part II Requirements for the Management of Schemes and the relevant section(s) of GFSI Guidance Document Part IV Scheme Scope and Key Elements.
1.2 The Key Procedural Steps The benchmarking process shall be carried out in accordance with the following key procedural steps:1. Preliminary Screening and Benchmarking Application 2. Preliminary Desk Review3. Benchmark Committee Review4. GFSI Board Review5. Annual Assessment6. Continued Recognition
The scheme owner may withdraw the application at any stage during the benchmarking process, but this must be confirmed in writing to the GFSI Executive Director. Throughout the benchmarking process the confidentiality of information shall be respected by both GFSI (and representatives appointed by GFSI) and the scheme owner.
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PART IPART I
1.2.1 Preliminary Screening and Benchmarking ApplicationThe objective of the preliminary screening is to ensure the criteria specified in the GFSI Guidance Document are reviewed and checked for completeness before progressing with the application for benchmarking.The benchmarking application ensures that the scheme owner has provided all relevant information to GFSI to allow an effective assessment to be undertaken.The applicant scheme shall provide a dossier of information to confirm compliance with the criteria specified in the GFSI Benchmarking Application (available from the secretariat upon request). The dossier shall be detailed and complete. The scheme owner will clearly define, in their application, the scope of recognition sought and may include one or more scopes within one application, as long as all the necessary information is provided to assess against each scope.The dossier submitted by the scheme owner shall include a series of documents allowing GFSI to carry out an assessment against the requirements of GFSI Guidance Document Part II Requirements for the Management of Schemes and the relevant section(s) of GFSI Guidance Document Part IV Scheme Scope and Key Elements (Reference Annex 1 - Scheme Application Guidelines). In the case of an application for an extension to scope, it will be necessary to submit only the documentation relating to GFSI Guidance Document Part IV Scheme Scope and Key Elements.The scheme owner shall ensure that the provision of information is not in breach of express confidentiality obligations owed to third parties and is not otherwise restricted by applicable laws.
The application documentation shall be submitted in the GFSI specified format and will include:
(a) A summary of the food safety scheme, its objectives, details of its development and the operating procedures required for the certification system,
(b) A clause by clause cross-reference of the scheme’s standard, which is seeking compliance with the GFSI Guidance Document Part IV Scheme Scope and Key Elements. This clause by clause comparison shall also detail the compliance criteria and provide the evidence necessary to justify compliance,
(c) The requirements of the food safety scheme’s management system must be cross-referenced with GFSI Guidance Document Part II Requirements for the Management of Schemes.
In the case of an application for an extension to scope it will be necessary to submit only the documentation relating to GFSI Guidance Document Part IV Scheme Scope and Key Elements.The GFSI shall provide proforma / template documentation to the scheme owner to assist with the preparation of the application dossier upon request.If, during the course of drafting the application documentation, the scheme owner identifies obvious areas of non-compliance with the Guidance Document, these must be addressed prior to submission of the scheme for benchmarking. The application shall be forwarded to the GFSI Executive Director, who will ensure the application is fully reviewed to assess its acceptability to progress to the benchmarking process. The GFSI Executive Director may request any further information from the scheme owner in support of the application.
1.2.1.1 Methodology – Preliminary Screening and Benchmarking Application (New Scheme)The requirements specified within this clause shall apply to schemes, which have:► not previously undergone benchmarking by the GFSI, ► been previously recognised by the GFSI, but have had their recognition withdrawn.The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for the scheme application and confirm a benchmark programme in accordance with the procedures specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.The GFSI Executive Director shall then transfer all appropriate paperwork to the GFSI Benchmark Committee Leader.
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PART IPART I
Once the GFSI Executive Director accepts the scheme for benchmarking, the benchmarking process will only progress when an Agreement or Memorandum of Understanding has been signed between the applicant scheme owner and GFSI (available from the GFSI secretariat upon request). Confirmation of this acceptance shall be published on the GFSI website and the benchmarking process will begin.In the event the scheme does not meet the requirements and is, therefore, not accepted for the benchmarking process, the scheme owner shall inform the GFSI Executive Director of their intention to resubmit the application dossier within a given timescale, or not to continue with the application.An applicant scheme owner shall be permitted to lodge one application with the GFSI per year, but shall only be permitted to submit one re-submission within a twelve month period, if the initial application is unsuccessful.
1.2.1.2 Methodology – Benchmarking Application (Extensions to scope of recognition)The requirements specified within this clause shall apply to schemes, which:► are applying for a new scope of recognition,► are seeking a change in extension within an existing recognised scope, which does not represent a significant change to the scheme governance or ownership, the management system or key elements.The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for the scheme application and confirm a benchmark programme in accordance with the procedures specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.The GFSI Executive Director shall check the information provided in the application dossier (available from the GFSI secretariat upon request) to establish if the requirements specified in the GFSI Guidance Document are complete. The GFSI Executive Director shall then transfer all appropriate paperwork to the GFSI Benchmark Committee Leader. The GFSI Executive Director shall confirm the acceptance of the application for an extension to scope of recognition to the scheme owner and issue a new Agreement or Memorandum of Understanding. Upon signature, the GFSI Executive Director shall ensure that confirmation of this acceptance is published on the GFSI website.A scheme shall only be permitted to lodge an application for scope extension if there is existing recognition by GFSI for a specified scope of recognition. An applicant scheme owner shall be permitted to lodge one application for a specific scope of recognition with GFSI per year (the Initial Application) with an opportunity for one re-submission for that scope of recognition within a twelve month period from the date of the initial application, if the initial application is unsuccessful.
1.2.1.3 Methodology – Benchmarking Application (Re-benchmarking)The requirements specified within this section of the GFSI Guidance Document shall apply to schemes, which have previously undergone benchmarking by GFSI and have been successful in their application, but:► have had significant change to the scheme governance or ownership, the management system or key elements, or...► a scheme will anyway be benchmarked on the 4 year anniversary of its original recognition, or...► there has been a change in the Guidance Document within the four year revision cycle, or...► there has been a suspension of recognition by GFSIThe GFSI Executive Director shall check the information provided in the application dossier (available from the GFSI secretariat upon request) to establish if the requirements specified in the GFSI Guidance Document are complete. The GFSI Executive Director shall appoint the Benchmark Leader and then transfer all appropriate paperwork to the GFSI Benchmark Committee Leader.
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PART IPART I
The GFSI Executive Director shall confirm the acceptance of the application for an extension to scope of recognition to the scheme owner and issue a new Agreement or Memorandum of Understanding. Upon signature, the GFSI Executive Director shall ensure that confirmation of this acceptance is published on the GFSI website.
1.2.2 Desk Review The objective of the desk review is to assess the submissions made by the scheme owner in relation to the requirements specified within GFSI Guidance Document Part II Requirements for the Management of Schemes and the appropriate sections of GFSI Guidance Document Part IV Scheme Scope and Key Elements. The GFSI Executive Director will appoint a GFSI Benchmark Committee Leader to manage this process in accordance with the procedures specified in Annex 2 of this document.The GFSI Executive Director will also nominate, with the agreement of the GFSI Board of Directors, a Board member who will be assigned to the scheme application. This Board member shall be kept informed of all activities by the GFSI Benchmark Committee Leader. The GFSI Benchmark Committee Leader shall be provided with all the scheme application documentation and any supporting documentation, allowing a detailed desk review to be undertaken. During the Desk Review, the GFSI Benchmark Committee Leader will be looking for demonstrable evidence of compliance with the GFSI requirements from the information submitted by the scheme owner. The GFSI Benchmark Committee Leader shall use his / her expertise, experience and knowledge to ascertain compliance or non-compliance.If there is any doubt about compliance, or if insufficient or inappropriate information is provided, the GFSI Benchmark Committee Leader will liaise with the scheme owner to establish if further evidence of compliance can be submitted. Throughout this process full documentation shall be in place to record all communication and any documentation submitted to the GFSI Benchmark Committee Leader.
1.2.2.1 Methodology – Desk Review The appointed GFSI Benchmark Committee Leader will review the information provided by the scheme owner to establish if the requirements specified in GFSI Guidance Document Parts II and IV are in place. The GFSI Benchmark Committee Leader will look for demonstrable evidence of compliance with the GFSI requirements from the information submitted by the scheme owner. The GFSI Benchmark Committee Leader shall use his / her expertise, experience and knowledge to ascertain compliance or non-compliance with each requirement. During the desk review the GFSI Benchmark Committee Leader will document all information in an Assessment Matrix and will record and retain all supporting documentation.During this review the GFSI Benchmark Committee Leader may request any further information that may be required to carry out effective benchmarking of the scheme. The scheme owner shall cooperate fully with the GFSI Benchmark Committee Leader and make documentation or other evidence requested available in a timely manner.The GFSI Benchmark Committee Leader shall decide upon the completeness of the Assessment Matrix and any supporting documentation before issuing this documentation to the Benchmark Committee. The GFSI Benchmark Committee Leader shall provide the scheme owner and all members of the Benchmark Committee with the completed Assessment Matrix and all supporting documentation or other evidence for detailed review. If, for any reason, the Assessment Matrix cannot be completed to the satisfaction of the GFSI Benchmark Committee Leader within agreed programme timescales, the GFSI Benchmark Committee Leader shall make the GFSI Executive Director aware of the situation and the GFSI Executive Director shall decide upon any necessary action.
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PART IPART I
1.2.3 Benchmark Committee ReviewThe Benchmark Committee review will objectively compare the applicant scheme requirements against the defined requirements laid down in the GFSI Guidance Document and prepare recommendations for recognition or non-recognition.The membership of the Benchmark Committee, including the GFSI Benchmark Committee Leader, shall be drawn from a cohort of technically competent personnel or external experts. This cohort shall have undergone selection and appointment by GFSI in accordance with the procedures specified in Section 2 and Annex 2 of this document.In the event that a suitable Benchmark Committee cannot be formed, the GFSI Executive Director shall inform the GFSI Board who shall, in turn, decide on any further action.The benchmarking process will be carried out in accordance with the Terms of Reference of the GFSI Benchmark Committee (Annex 2 - GFSI Benchmark Committee Terms of Reference).
1.2.3.1 Methodology – Benchmark Committee Assessment The GFSI Benchmark Committee Leader shall co-ordinate the activities of the Benchmark Committee.The members of the GFSI Benchmark Committee shall review the completed Assessment Matrix and supporting documentation provided by the GFSI Benchmark Committee Leader and will use their expertise to individually critically assess this information and make a judgement on compliance or non-compliance against each requirement. The members shall, wherever it is felt necessary, challenge or question the judgement of the GFSI Benchmark Committee Leader and may request more evidence of compliance. All comments and observations of Benchmark Committee members shall be made to the GFSI Benchmark Committee Leader, who will, in turn, record these comments and inform other Benchmark Committee members and the scheme owner. During this process the GFSI Benchmark Committee Leader shall take any actions necessary to facilitate close cooperation and understanding between the Benchmark Committee members and the scheme owner. The GFSI Benchmark Committee Leader shall convene a meeting of the Benchmark Committee and the scheme owner representatives whenever direct discussion is deemed necessary to clarify comments and information. Observations from the members of the Benchmark Committee and the scheme owner’s representatives shall be collated and made available for meetings between the Benchmark Committee and the scheme owner. Following the direct or electronic exchange of information and comments, a report shall be drafted by the GFSI Benchmark Committee Leader to be used for stakeholder consultation. The decision to proceed to stakeholder consultation is taken by the GFSI Benchmark Committee Leader. However, before releasing the report to the GFSI Executive Director, the scheme owner shall be provided with a copy of the report and consulted to ensure that they are in agreement that the report is accurate and a true reflection of the process undertaken. The report shall not be provided to the GFSI Executive Director until agreement to release has been confirmed by the scheme owner.If, for any reason, the report cannot be completed to the satisfaction of the GFSI Benchmark Committee Leader within agreed programme timescales, the GFSI Benchmark Committee Leader shall make the GFSI Executive Director aware of the situation and the GFSI Executive Director shall decide upon any necessary action.The GFSI Executive Director shall publish the report for stakeholder consultation on the GFSI website for the agreed period. The timescales for the benchmarking process can be found within Tables 1 and 2 of Part 1 of this document.The GFSI Benchmark Committee Leader shall fully brief the nominated Board member of the content of the report and provide the Board member with all relevant documentation.Any comments, observations or objections made by stakeholders about the report will be collated by the GFSI Benchmark Committee Leader and put forward for consideration to the Benchmark Committee
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PART IPART I
members, either electronically or directly in a meeting. The GFSI Benchmark Committee Leader shall ensure that those stakeholders who submit comments during the stakeholder consultation receive feedback from the Benchmark Committee.Following stakeholder consultation the Benchmark Committee shall review comments received and the GFSI Benchmark Committee Leader shall draft a final report, which will include a recommendation of recognition or non-recognition. The decision of the GFSI Benchmark Committee to recommend the recognition or non-recognition of a scheme shall be based on consensus. If consensus cannot be reached, then a vote shall be held to determine the recommendation for the recognition or non-recognition of the applicant scheme. In the event that a vote is necessary a two thirds majority shall be required in support of a recommendation for recognition. The GFSI Benchmark Committee Leader shall ensure that all members of the Benchmark Committee receive a copy of the report prior to sending the report to the GFSI Executive Director. In the event that any member of the Benchmark Committee deems it necessary to recommend non-recognition and cannot agree with the majority vote, the reasons for the Benchmark Committee member’s rejection shall be included in the final report to the GFSI Board.The GFSI Benchmark Committee Leader shall fully brief the nominated Board member about the content of the final report and provide the Board member with all relevant documentation prior to the Board meeting.
1.2.4 GFSI Board Review The objective of the GFSI Board review is to decide upon the recognition or non-recognition of applicant schemes, based on the recommendations of the Benchmark Committee.The decision of the GFSI Board to recognise a scheme shall be based on consensus. If a vote is necessary, the votes of the majority of a quorum of the GFSI Board shall determine the decision.
1.2.4.1 Methodology – GFSI Board Review The final report and recommendation for recognition or non-recognition of the scheme shall be presented to the GFSI Board by the GFSI Executive Director.The GFSI Board shall make the decision concerning the recognition or non-recognition of a scheme at a meeting convened for that purpose, or at a GFSI Board meeting. The GFSI Benchmark Committee Leader shall be available at this meeting, at the request of the GFSI Board.The meeting, in this case, may take the form of a conference call and if voting is required to make a decision during the conference call, this shall be carried out via e-mail, immediately after the closure of the meeting.The GFSI Board shall consider the recommendation made by the Benchmark Committee and raise any issues that they may have. It is expected that the GFSI Board shall make a decision at the meeting. However, if further information is required, the GFSI Benchmark Committee Leader shall be instructed to ensure that clarifications are provided.The decision of the GFSI Board to recognise or not recognise a scheme shall be based on consensus. If consensus cannot be reached, then a vote may be held to determine the decision for recognition or non-recognition of the applicant scheme. In the event that a vote is required to reach a decision, a two thirds majority of a quorum of the GFSI Board shall be required in support of recognition. The vote shall be carried out in accordance with the GFSI Foundation Articles of Association.The GFSI Board decision shall be communicated in writing to the scheme owner by the GFSI Executive Director, as soon as practicable after the GFSI Board decision. In the event of recognition by the GFSI Board, the GFSI Executive Director shall prepare press notices confirming this decision with the co-operation of the scheme owner. The scheme owner shall also be expected to issue a comparable press release and the time of issue of these press releases shall be agreed by the GFSI Executive Director and the scheme owner. The GFSI Executive Director shall publish confirmation of the recognition of the scheme on the GFSI website (Conformance Statement). The GFSI website will include a current schedule of all recognised
Sixth Edition / Version 6.4 / November 201525GFSI Guidance Document - Part I
PART IPART I
schemes, clearly defining their scope of recognition and expected date for re-benchmarking.In the event that the decision of the GFSI Board is non-recognition, the reasons for the Board decision shall be clearly documented and the GFSI Executive Director shall make the scheme owner aware of the reasons for the decision. The scheme owner shall have the right of appeal against the GFSI Board decision and the appeal shall be undertaken in accordance with the procedures specified in section 1.2.11 of this document.Upon the decision of the GFSI Board, the Benchmark Committee for the applicant scheme shall be disbanded.
1.2.5 Annual AssessmentThe objective of the GFSI annual assessment of GFSI recognised schemes is to assess the continued compliance of the schemes with the GFSI Guidance Document and to maintain the confidence and integrity of GFSI and the GFSI recognised schemes.
1.2.5.1 Methodology – Annual AssessmentA GFSI Assessor shall be appointed by the GFSI Executive Director. The GFSI Assessor has the responsibility for carrying out an assessment of the GFSI recognised scheme’s compliance with the GFSI Guidance Document. The appointment shall be made with due consideration to the competence of the assessor, any potential conflict of interest and the activities of the scheme in question.The review shall be undertaken to assess compliance against the requirements of GFSI Guidance Document Part II Requirements for the Management of Schemes and the appropriate sections of GFSI Guidance Document Part IV Scheme Scope and Key Elements and the GFSI Agreement or Memorandum of Understanding (available from the secretariat upon request). The review shall be conducted on an annual basis on the anniversary of the date of initial GFSI recognition. The review shall take the form of:► an annual self-assessment against defined criteria, or...► an office assessment of a scheme’s management system and operation to be carried out once within a four year period based on the anniversary of the date of initial GFSI recognition. The date of this review will be at the discretion of the GFSI Board, but the scheme owner will be notified of the date of the review.With respect to the annual self-assessment, the GFSI Assessor will review the self-assessment documentation and notify the GFSI Executive Director of any issues identified by the review.With respect to the office assessment the GFSI Assessor shall visit the registered office of the scheme owner and assess objective evidence of compliance of the scheme’s management system with the GFSI Guidance Document and the GFSI Agreement or Memorandum of Understanding. The GFSI Assessor shall formally report the findings of the review to the GFSI Executive Director. In the event that the annual assessment establishes that there are significant concerns with the compliance of the scheme with the GFSI Guidance Document or the GFSI Agreement or Memorandum of Understanding, the nominated GFSI Assessor will make the GFSI Executive Director aware of his / her concerns, so that the agreement of the GFSI Board may be sought as to any appropriate actions. Action may involve further verification of compliance, assurances of compliance and reassessment and the withdrawal or suspension of recognition. The scheme owner shall have the right of appeal against the GFSI Board decision and the appeal shall be undertaken in accordance with the procedures specified in Annex 3 of this document. In addition to the annual assessment, the scheme owner shall provide an annual report of their activities at the request of GFSI (circulated on an annual basis to all GFSI recognised scheme owners).
Sixth Edition / Version 6.4 / November 201526GFSI Guidance Document - Part I
PART IPART I
1.2.6 Continued RecognitionThe objective of monitoring a scheme is to assess the continued compliance by the scheme with the GFSI Guidance Document.
1.2.6.1 Methodology – Continued RecognitionUnlike an annual assessment, GFSI may, at its discretion, undertake an assessment of the activities of a recognised scheme at any time. This assessment will normally be requested in the event that there is evidence of, or substantive suspicion of, non-compliance of the scheme with the requirements of the GFSI Guidance Document or the GFSI Agreement or Memorandum of Understanding.If it is deemed necessary by the GFSI Executive Director that an assessment of the scheme’s activities should be conducted, the scheme owner shall be informed of the intention to carry out additional assessments and a programme of review shall be agreed upon. The GFSI Executive Director shall make the scheme owner aware of the reasons for the assessment. The assessment may take the form of the requirement to provide GFSI with evidence of compliance or that of an office assessment carried out by an appointed GFSI Assessor.The GFSI Assessor shall be appointed by the GFSI Executive Director. The appointment shall be made with due consideration to the competence of the assessor, any potential conflict of interest and the activity of the scheme in question.In the event that the assessment establishes that there are significant concerns about the compliance of the scheme with the GFSI Guidance Document or the GFSI Agreement or Memorandum of Understanding, the nominated GFSI Assessor will make the GFSI Executive Director aware of his / her concerns. The GFSI Executive Director and Board of Directors shall take appropriate action, which may involve further verification of compliance, assurances of continued compliance and the withdrawal or suspension of recognition. The scheme owner shall have the right of appeal against the GFSI Board decision and the appeal shall be undertaken in accordance with the procedures specified in Annex 3 of this document.
1.2.7 DocumentationThe GFSI Benchmark Committee Leader shall systematically record all information appertaining to the assessment of a scheme during the benchmarking process or annual assessment and this information shall be retained by the GFSI Executive Director for a period of ten years.
1.2.8 Dismissal of GFSI Benchmark Committee Leaders and Benchmark Committee Members The GFSI Executive Director shall have the discretion to remove and replace any member, including the GFSI Benchmark Committee Leader of a Benchmark Committee, at any time if it is deemed necessary to do so. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.
1.2.9 The Benchmarking Programmes The key activities, responsibility for these activities and timescales for completion are specified in the following tables in relation to new applicant schemes and schemes, which require re-benchmarking or an extension to scope of recognition.
Sixth Edition / Version 6.4 / November 201527GFSI Guidance Document - Part I
PART IPART I
Tabl
e 1:
Pro
cess
Ste
ps an
d Ti
mes
cale
s for
New
Sch
eme
Appl
icat
ions
Proc
ess S
tep
Desc
riptio
nRe
spon
sibili
tyTy
pica
l Tim
esca
le
for A
ctivi
tyTo
tal T
imes
cale
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Comp
letion
and s
ubmi
ssion
of an
appli
catio
n dos
sier a
nd sc
heme
re
view
docu
menta
tion
Sche
me O
wner
5 w
eeks
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Appo
intme
nt of
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
GFSI
Exe
cutiv
e Dire
ctor
1 wee
k
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Revie
w of
appli
catio
n dos
sier a
nd co
nfirm
ation
of de
cision
to
acce
pt the
appli
catio
nGF
SI E
xecu
tive D
irecto
r2 w
eeks
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Issue
of G
FSI A
gree
ment
or M
emor
andu
m of
Unde
rstan
ding
GFSI
Exe
cutiv
e Dire
ctor
Upon
confi
rmati
on of
acce
ptanc
e of
appli
catio
n dos
sier
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Comp
letion
of A
gree
ment
or M
emor
andu
m of
Unde
rstan
ding
agre
emen
tGF
SI E
xecu
tive D
irecto
r and
Sch
eme
Owne
r2 w
eeks
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Publi
catio
n of c
onfirm
ation
of be
nchm
arkin
g of s
chem
e on G
FSI
webs
iteGF
SI E
xecu
tive D
irecto
rOn
ce A
gree
ment
or
Memo
rand
um of
Und
ersta
nding
sig
ned.
Des
k R
evie
wAp
point
ment
of no
mina
ted B
oard
mem
ber
GFSI
Exe
cutiv
e Dire
ctor a
nd G
FSI
Boar
d1 w
eek
5 w
eeks
Des
k R
evie
wCo
mplet
ion of
Des
k Rev
iew an
d Ass
essm
ent M
atrix
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
and S
chem
e Own
er4 w
eeks
Des
k R
evie
wAp
point
ment
of Be
nchm
ark C
ommi
ttee m
embe
rsGF
SI B
ench
mark
Comm
ittee L
eade
r an
d GFS
I Exe
cutiv
e Dire
ctor
With
in the
4 we
ek pe
riod o
f des
k re
view
Des
k R
evie
wPr
ovisi
on of
Ass
essm
ent M
atrix
and s
uppo
rting d
ocum
entat
ion to
Be
nchm
ark C
ommi
ttee m
embe
rs an
d sch
eme o
wner
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
At th
e end
of th
e pre
limina
ry de
sk
revie
w pe
riod
Sixth Edition / Version 6.4 / November 201528GFSI Guidance Document - Part I
PART IPART I
Proc
ess S
tep
Desc
riptio
nRe
spon
sibili
tyTy
pica
l Tim
esca
le
for A
ctivi
tyTo
tal T
imes
cale
Ben
chm
ark
Com
mitt
ee
Rev
iew
As
sess
ment
by th
e Ben
chma
rk Co
mmitte
eGF
SI B
ench
mark
Comm
ittee L
eade
r4 w
eeks
12 w
eeks
Ben
chm
ark
Com
mitt
ee
Rev
iew
Meeti
ng be
twee
n the
Ben
chma
rk Co
mmitte
e and
the S
chem
e Ow
ner t
o rev
iew as
sess
ment
findin
gsGF
SI B
ench
mark
Comm
ittee L
eade
r an
d Sch
eme O
wner
2 day
s
Ben
chm
ark
Com
mitt
ee
Rev
iew
Dr
afting
and i
ssuin
g of r
epor
tGF
SI B
ench
mark
Comm
ittee L
eade
r1 w
eek
Ben
chm
ark
Com
mitt
ee
Rev
iew
St
akeh
older
cons
ultati
onGF
SI E
xecu
tive D
irecto
r4 w
eeks
Ben
chm
ark
Com
mitt
ee
Rev
iew
Revie
w of
cons
ultati
on fe
edba
ckGF
SI B
ench
mark
Comm
ittee L
eade
r1 w
eek
Ben
chm
ark
Com
mitt
ee
Rev
iew
Draft
ing an
d iss
uing o
f fina
l repo
rt to
includ
e acti
ons r
esult
ing fr
om
Stak
ehold
er C
onsu
ltatio
n.Fina
l repo
rt an
d rec
omme
ndati
on se
nt to
GFSI
Boa
rdGF
SI B
ench
mark
Comm
ittee L
eade
r2 w
eeks
GFS
I Boa
rd R
evie
w
GFSI
Boa
rd m
eetin
g and
decis
ionSc
hedu
le Bo
ard c
onfer
ence
call i
f nec
essa
ry (a
confe
renc
e call
will
be sc
hedu
led if
no B
oard
Mee
ting w
ill tak
e plac
e befo
re ap
plica
tion
close
date)
GFSI
Boa
rd an
d GFS
I Exe
cutiv
e Di
recto
r1 d
ay
1 w
eek
GFS
I Boa
rd R
evie
wCo
mmun
icatio
n of th
e GFS
I Boa
rd de
cision
GFSI
Exe
cutiv
e Dire
ctor
1 day
Sixth Edition / Version 6.4 / November 201529GFSI Guidance Document - Part I
PART IPART I
Proc
ess S
tep
Desc
riptio
nRe
spon
sibili
tyTy
pica
l Tim
esca
le
for A
ctivi
tyTo
tal T
imes
cale
Ben
chm
ark
Com
mitt
ee
Rev
iew
As
sess
ment
by th
e Ben
chma
rk Co
mmitte
eGF
SI B
ench
mark
Comm
ittee L
eade
r4 w
eeks
12 w
eeks
Ben
chm
ark
Com
mitt
ee
Rev
iew
Meeti
ng be
twee
n the
Ben
chma
rk Co
mmitte
e and
the S
chem
e Ow
ner t
o rev
iew as
sess
ment
findin
gsGF
SI B
ench
mark
Comm
ittee L
eade
r an
d Sch
eme O
wner
2 day
s
Ben
chm
ark
Com
mitt
ee
Rev
iew
Dr
afting
and i
ssuin
g of r
epor
tGF
SI B
ench
mark
Comm
ittee L
eade
r1 w
eek
Ben
chm
ark
Com
mitt
ee
Rev
iew
St
akeh
older
cons
ultati
onGF
SI E
xecu
tive D
irecto
r4 w
eeks
Ben
chm
ark
Com
mitt
ee
Rev
iew
Revie
w of
cons
ultati
on fe
edba
ckGF
SI B
ench
mark
Comm
ittee L
eade
r1 w
eek
Ben
chm
ark
Com
mitt
ee
Rev
iew
Draft
ing an
d iss
uing o
f fina
l repo
rt to
includ
e acti
ons r
esult
ing fr
om
Stak
ehold
er C
onsu
ltatio
n.Fina
l repo
rt an
d rec
omme
ndati
on se
nt to
GFSI
Boa
rdGF
SI B
ench
mark
Comm
ittee L
eade
r2 w
eeks
GFS
I Boa
rd R
evie
w
GFSI
Boa
rd m
eetin
g and
decis
ionSc
hedu
le Bo
ard c
onfer
ence
call i
f nec
essa
ry (a
confe
renc
e call
will
be sc
hedu
led if
no B
oard
Mee
ting w
ill tak
e plac
e befo
re ap
plica
tion
close
date)
GFSI
Boa
rd an
d GFS
I Exe
cutiv
e Di
recto
r1 d
ay
1 w
eek
GFS
I Boa
rd R
evie
wCo
mmun
icatio
n of th
e GFS
I Boa
rd de
cision
GFSI
Exe
cutiv
e Dire
ctor
1 day
Tabl
e 2:
Pro
cess
Ste
ps an
d Ti
mes
cale
s for
a S
chem
e Se
ekin
g Re
-ben
chm
arkin
g or
Exte
nsio
ns to
Sco
pe o
f Rec
ogni
tion
Proc
ess S
tep
Desc
riptio
nRe
spon
sibili
tyTy
pica
l Tim
esca
le
for A
ctivi
tyTo
tal T
imes
cale
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Comp
letion
and s
ubmi
ssion
of sc
heme
revie
w do
cume
ntatio
nSc
heme
Own
er
5 w
eeks
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Appo
intme
nt of
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
GFSI
Exe
cutiv
e Dire
ctor
1 wee
k
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Revie
w of
appli
catio
n dos
sier a
nd co
nfirm
ation
of de
cision
to
acce
pt the
appli
catio
n.GF
SI E
xecu
tive D
irecto
r2 w
eeks
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Issue
of G
FSI A
gree
ment
or M
emor
andu
m of
Unde
rstan
ding
GFSI
Exe
cutiv
e Dire
ctor
Upon
confi
rmati
on of
acce
ptanc
e of
appli
catio
n
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Comp
letion
of A
gree
ment
or M
emor
andu
m of
Unde
rstan
ding
agre
emen
tGF
SI E
xecu
tive D
irecto
r and
Sch
eme
Owne
r2 w
eeks
Prel
imin
ary
Scre
enin
g &
Ben
chm
arki
ng
App
licat
ion
Publi
catio
n of c
onfirm
ation
of st
atus o
n GFS
I web
site
GFSI
Exe
cutiv
e Dire
ctor
Once
Agr
eeme
nt or
Me
mora
ndum
of U
nder
stand
ing
signe
d
Des
k R
evie
wCo
mplet
ion of
Des
k Rev
iew an
d Ass
essm
ent M
atrix
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
and S
chem
e Own
er2 w
eeks
2 w
eeks
Des
k R
evie
wAp
point
ment
of Be
nchm
ark C
ommi
ttee m
embe
rsGF
SI B
ench
mark
Comm
ittee L
eade
r an
d GFS
I Exe
cutiv
e Dire
ctor
With
in the
preli
mina
ry de
sk
revie
w pe
riod
Des
k R
evie
wPr
ovisi
on of
Ass
essm
ent M
atrix
and s
uppo
rting d
ocum
entat
ion to
Be
nchm
ark C
ommi
ttee m
embe
rsGF
SI B
ench
mark
Comm
ittee L
eade
rAt
the e
nd of
the p
relim
inary
desk
re
view
perio
d
Sixth Edition / Version 6.4 / November 201530GFSI Guidance Document - Part I
PART IPART I
Proc
ess S
tep
Desc
riptio
nRe
spon
sibili
tyTy
pica
l Tim
esca
le
for A
ctivi
tyTo
tal T
imes
cale
Ben
chm
ark
Com
mitt
ee
Rev
iew
Asse
ssme
nt by
the B
ench
mark
Comm
ittee
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
3 wee
ks
10 w
eeks
Ben
chm
ark
Com
mitt
ee
Rev
iew
Meeti
ng be
twee
n the
Ben
chma
rk Co
mmitte
e and
the S
chem
e Ow
ner t
o rev
iew as
sess
ment
findin
gsGF
SI B
ench
mark
Comm
ittee L
eade
r an
d Sch
eme O
wner
2 day
s
Ben
chm
ark
Com
mitt
ee
Rev
iew
Draft
ing an
d iss
uing o
f rep
ort
GFSI
Ben
chma
rk Co
mmitte
e Lea
der
1 wee
k
Ben
chm
ark
Com
mitt
ee
Rev
iew
Stak
ehold
er co
nsult
ation
GFSI
Exe
cutiv
e Dire
ctor
4 wee
ks
Ben
chm
ark
Com
mitt
ee
Rev
iew
Revie
w of
cons
ultati
on fe
edba
ckGF
SI B
ench
mark
Comm
ittee L
eade
r1 w
eek
Ben
chm
ark
Com
mitt
ee
Rev
iew
Draft
ing an
d iss
uing o
f fina
l repo
rt to
includ
e acti
ons r
esult
ing fr
om
Stak
ehold
er C
onsu
ltatio
n Fina
l repo
rt an
d rec
omme
ndati
on se
nt to
GFSI
Boa
rdGF
SI B
ench
mark
Comm
ittee L
eade
r1 w
eek
GFS
I Boa
rd R
evie
wGF
SI B
oard
mee
ting a
nd de
cision
GFSI
Boa
rd an
d GFS
I Exe
cutiv
e Di
recto
r1 d
ay
1 w
eek
GFS
I Boa
rd R
evie
wCo
mmun
icatio
n of th
e GFS
I Boa
rd de
cision
GFSI
Exe
cutiv
e Dire
ctor
1 day
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1.2.10 Conformity with the GFSI Guidance Document The GFSI Executive Director is responsible for the investigation of any complaints or suspected non conformity in relation to the compliance of a GFSI recognised scheme with the requirements specified within the GFSI Guidance Document.In the event that a complaint or report is received by the GFSI Executive Director regarding the non conformity of a scheme with the GFSI Guidance Document, the Executive Director will promptly acknowledge, in writing, the receipt of the complaint or report to the party concerned.When a complaint is received, the GFSI Executive Director shall initiate investigative procedures to verify the accuracy and correctness of the complaint (section 1.2.6).The Executive Director shall ensure that the details of the complaint are clearly understood and documented and that any claims or comments made by the complainant are properly authenticated and appropriately documented. This authentication shall be verified as being accurate and correct by independent sources, in addition to the complaint. It is the responsibility of the complainant to provide information that can be appropriately authenticated. It is at the discretion of the GFSI Executive Director to appoint an independent GFSI Assessor at any stage during the investigation process, but the GFSI Executive Director must ensure impartiality and preserve confidentiality. If a GFSI Assessor is appointed, he / she shall carry out a thorough investigation of the complaint and, where possible, provide a resolution for the issues, fully document the complaint process and provide a detailed report to the GFSI Executive Director.In the event that evidence of non conformity against the requirements specified in the GFSI Guidance Document is found by a GFSI Assessor during the annual assessment, the GFSI Executive Director shall promptly contact the scheme owner concerned for comment (sections 1.2.5 or 1.2.6).The GFSI Executive Director shall fully document the process of investigation and decision making.The GFSI Executive Director shall make a decision after review of the submitted evidence and will either:1. take no action against the scheme owner, or...2. convene a meeting of GFSI Board members to gain agreement on one of three possible outcomes - continued recognition, suspension of recognition, or the withdrawal of recognition. Irrespective of the decision taken by the GFSI Executive Director, all parties involved shall be informed in writing of the decision and the justification for the actions taken.
1.2.10.1 The GFSI Suspension of Recognition Procedure If, following review of the evidence gathered and submitted by the GFSI Executive Director and consultation with the scheme owner, the GFSI Board considers that a period of suspension of recognition shall be imposed, the scheme owner shall be informed of this decision and any conditions imposed by the GFSI Board to regain recognition status. The period of suspension of recognition and expected outcomes shall be made known to the scheme owner.The scheme owner shall confirm to the GFSI Board that these conditions can be achieved within the timescales set out by the GFSI Board, when evidence of corrective action can be expected and continued conformity to the requirements of the GFSI Guidance Document can be established.If the GFSI Board is not satisfied with the commitment of the scheme under suspension to take the appropriate corrective action, they shall withdraw recognition (section 1.2.10.2).In the event that a period of suspension is imposed, the GFSI website shall clearly specify the details and conditions of the suspension.
1.2.10.2 The GFSI Withdrawal of Recognition Procedure If, following review of the evidence gathered and submitted by the GFSI Executive Director and consultation with the scheme owner, the GFSI Board considers that a withdrawal of recognition is required, the scheme owner shall be informed of this decision. In the event that GFSI recognition is withdrawn, GFSI shall issue a press release and the GFSI website shall clearly specify the details and conditions of the withdrawal.
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1.2.11 The GFSI Appeals Procedure – GFSI Recognition The scheme owner has a right of appeal against any decision made by the GFSI Board, the GFSI Executive Director or any person contracted to the GFSI in relation to the benchmarking process and associated systems and procedures. The appeal shall be conducted in accordance with the GFSI Appeals Procedure (Annex 3 –The GFSI Appeals Procedure). Only the scheme owner to which the decision relates has the right of appeal to the GFSI Board. The scheme owner shall submit an appeal to the GFSI Executive Director within 30 days of the matter in dispute occurring. The appeal shall be submitted in writing to the GFSI Executive Director and shall clearly describe the reason and the justification for the appeal, together with substantive evidence for the investigation of the appeal. When the appeal procedure is initiated, the status of the scheme shall be amended on the GFSI website to reflect that the scheme is subject to appeal.Any appeal shall be heard by a Committee (the Appeals Committee), which is a body specifically assembled by the GFSI Board for the purposes of hearing an individual appeal. The GFSI Board shall ensure that such an Appeals Committee should not include any person or GFSI member of staff involved with the decision, which is being appealed. The Appeals Committee shall be assembled from members of the Advisory Council and shall consist of a minimum of three members of the Council. The GFSI shall ensure that the investigation is conducted in an impartial and professional manner and without any actual or perceived conflict of interest. The final outcome of the investigation by the Appeals Committee shall be heard by the GFSI Board and the decision made by the Appeals Committee shall be upheld by the GFSI Board.The decision submitted to the GFSI Board by the Appeals Committee shall be conveyed to the scheme owner raising the appeal. The decision of the Appeals Committee shall be final and the appeal closed.
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2. The Benchmark Committee2.1 Introduction A Benchmark Committee is a committee, which is formed to carry out a benchmarking process for a scheme that has applied to the GFSI for formal recognition. A Benchmark Committee will be formed for each accepted application following the decision by the GFSI Executive Director to proceed with the application. The Committee membership will be determined by the GFSI Executive Director having taken advice from an appointed GFSI Benchmark Committee Leader.The Benchmark Committee shall be made up of suitably qualified persons or organisations that are independent, impartial and technically competent from organisations such as retailers and manufacturers and other appropriate experts.The Benchmark Committee shall undertake its duties in accordance with the Terms of Reference (Annex 2 - GFSI Benchmark Committee Terms of Reference).
2.2 MembershipUpon agreement by GFSI to benchmark an applicant scheme, the GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader from a cohort of independent technical experts, who have undergone a selection process and who meet the criteria specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for each scheme application. The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for the management of the desk review and the benchmark committee review process. The name of the GFSI Benchmark Committee Leader shall be made known to the scheme owner upon confirmation of the appointment.
2.2.1 Benchmark Committee Membership- New Applicant Schemes The GFSI Executive Director shall invite technical experts to become members of the Benchmark Committee. The selection of the Committee members shall ensure that the following structure is achieved prior to any work being undertaken on the Assessment Matrix and any supporting documentation:► GFSI Benchmark Committee Leader,► GFSI representative – Executive Director, ► 5 representatives of retailers, suppliers or food service companies, who have knowledge and expertise in
the application of GFSI recognised schemes (there shall be at least one retailer and one supplier within this group),
► 1 GFSI Board member, ► 1 GFSI Advisory Council member (observer).The retailer, supplier and food service company representatives shall not be committed users of the scheme being considered for recognition.
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2.2.2 Benchmark Committee Membership – Schemes Seeking Re-benchmarking or Extensions to Scope of RecognitionThe GFSI Executive Director and the appointed GFSI Benchmark Committee Leader shall invite technical experts to become members of the Benchmark Committee. The selection of Committee members shall ensure that the following structure is achieved prior to any work being undertaken on the Assessment Matrix and any supporting documentation:► GFSI Benchmark Committee Leader,► GFSI representative – Executive Director, ► 1 retailer/food service company representative with knowledge and expertise in the application of GFSI
recognised schemes,► 1 supplier representative, who has knowledge and expertise in the application of GFSI recognised schemes.The retailer, supplier and food service company representatives shall not be committed users of the scheme being considered for recognition.
2.3 Member Selection The selection of a Benchmark Committee shall be in accordance with the procedures specified in Annex 2 - GFSI Benchmark Committee Terms of Reference.GFSI shall hold a Register of Benchmark Committee Members, who may be invited to become a member of a GFSI Benchmark Committee. The Register of Benchmark Committee Members shall be publicly available on the GFSI website. Each member of the Committee shall meet the credentials defined by the GFSI and act in a professional manner at all times (Annex 2 - GFSI Benchmark Committee Terms of Reference).The GFSI Executive Director shall have the discretion to remove and replace a member of a Benchmark Committee at any time if deemed necessary. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.The GFSI Executive Director has the responsibility to investigate any malpractice or alleged malpractice, which may arise during the benchmarking process and take appropriate action.
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ANNEX 1Scheme Application Guidelines
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Scheme Application GuidelinesA scheme owner shall make an application to GFSI using the documentation downloaded from the GFSI website (www.mygfsi.com). The application documentation will differ in relation to the status of the scheme; i.e. a scheme seeking recognition for the first time or a scheme seeking re-benchmarking or an extension to scope of recognition. The application documentation format will also differ to reflect the sector specific requirements within the GFSI Guidance Document Part IV Scheme Scope and Key Elements.In the case of a new applicant scheme the application documentation will include a dossier, which, upon completion, will provide demonstrable evidence of the requirements specified in the GFSI Guidance Document.In all cases the scheme shall, irrespective of its status, complete the application, which will include: (a) A summary of the scheme, its objective, details of its development and the operating procedures required for certification,
(b) A clause by clause cross-reference of the scheme’s standard seeking compliance with the GFSI Guidance Document Part IV Scheme Scope and Key Elements. This comparison shall also detail the compliance criteria and provide justification of compliance,
(c) The requirements of the scheme’s management system must be cross-referenced with GFSI Guidance Document Part II Requirements for Management of Schemes.
All documents shall be completed in full, in English and, where references are made, these shall be submitted as text with numerical cross references. The application documentation shall be submitted to the GFSI Executive Director, who shall at that stage provide the scheme owner with an Agreement or Memorandum of Understanding (available from the secretariat upon request). The application shall be supported by evidence of compliance with the GFSI Guidance Document requirements and the GFSI Benchmark Committee may request further information or data at any stage during the benchmarking process.
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ANNEX 2GFSI Benchmark Committee Terms of Reference
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GFSI Benchmark Committee Terms of ReferenceIntroductionThe Global Food Safety Initiative (GFSI) is a non-profit making foundation, created under Belgian law. The daily management is undertaken by The Consumer Goods Forum, the only independent global network for consumer goods retailers and manufacturers worldwide. GFSI is a collaboration between some of the world’s leading food safety experts, working to promote the convergence of food safety management schemes through a benchmarking process, thereby improving cost efficiency throughout the food supply chain via the common acceptance of GFSI recognised standards by global retailers.The GFSI Mission is to provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide.The GFSI Objectives are to:► Reduce food safety risks by delivering equivalence and convergence between effective food safety
management systems, as outlined in this Guidance Document,► Manage cost in the global food system by eliminating redundancy and improving operational efficiency,► Develop competencies and capacity building in food safety to create consistent and effective global food
systems,► Provide a unique international stakeholder platform for collaboration, knowledge exchange and networking.
GFSI GovernanceThe GFSI Board is a body that provides the strategic direction and oversees the daily management of GFSI. It is made up of experienced representatives from major retailer, manufacturer and food service members. Membership of the Board is by invitation only. The GFSI Board also provides governance to the GFSI Technical Working Groups. The membership of the Technical Working Groups is by invitation of the GFSI Board. The Technical Working Groups work on specific selected projects as designated. The Terms of Reference are approved by the GFSI Board in order to fulfil the GFSI Mission.The Advisory Council was established for the purposes of providing guidance and further expertise to the GFSI Board in their decision making.
The Governance of the GFSI Technical Working GroupsThe GFSI Technical Working Groups are in place to execute the mandates specified by the GFSI Board within the timeframes provided.The GFSI Board shall assign two Board members to act as a liaison to each of the Technical Working Groups to ensure that there is effective communication between the Board, the Advisory Council and stakeholders. Benchmark Committees are individual ad-hoc Working Groups, which are formed upon the acceptance of an application of a scheme by the GFSI Executive Director and are disbanded at the request of the GFSI Board after the benchmarking process has been completed. There may be a number of Benchmark Committees in place at any one time.
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PurposeThe purpose of a GFSI Benchmark Committee is to:► ensure an applicant scheme’s food safety system, standards and supporting procedures are objectively
compared to the requirements laid down in the GFSI Guidance Document in accordance with the procedure defined in the GFSI Guidance Document,
► ensure the benchmarking process is carried out within an agreed timeframe,► ensure the findings of the benchmarking process are clearly and concisely documented,► submit recommendations to the GFSI Board for recognition or non-recognition of a scheme by GFSI in a
report format.The role of a GFSI Benchmark Committee Leader and a Benchmark Committee is to provide assessment and not to provide consultative advice to scheme owners.
Composition of a Benchmark CommitteeThere are two types of GFSI Benchmark Committee and the roles and responsibilities are dependent upon the status of the applicant scheme (Section 1.2)
Mandates and Duties of a Benchmark CommitteeThe duty of a Benchmark Committee is to carry out benchmarking procedures in accordance with those defined in the GFSI Guidance Document. These duties will be carried out on a voluntary and non-remunerated basis.
The Appointment of a GFSI Benchmark Committee LeaderThe GFSI Benchmark Committee Leader will be selected by the GFSI Executive Director, with approval from the GFSI Board. The Executive Director shall confirm the qualifications and competence of an individual and their suitability to carry out the duties and responsibilities of a GFSI Benchmark Committee Leader through a process of interviews, the review of objective evidence of relevant information and references. The GFSI Executive Director shall appoint a GFSI Benchmark Committee Leader for each scheme application.
The Appointment of a Benchmark Committee MemberThe GFSI Executive Director and the appointed GFSI Benchmark Committee Leader shall invite technical experts from the Register of Benchmark Committee Members to become members of a Benchmark Committee. The selection of the members of a Benchmark Committee shall be dependent upon the role of that particular Committee; i.e. the assessment of a new scheme or the re-benchmarking or extension of scopes of recognition and with particular reference to their technical knowledge of product sectors.The selection process for an expert to be considered for the Register of Benchmark Committee Members shall be carried out by interviews, the review of objective evidence of relevant information and references.The GFSI shall hold and maintain a Register of individuals (Benchmark Committee Members), who may be invited to become a member of a GFSI Benchmark Committee. This information shall be publicly available on the GFSI website. In the event that a suitable Benchmark Committee cannot be formed, the GFSI Executive Director shall inform the GFSI Board which shall, in turn, decide on any action to be taken.
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De-registration of a GFSI Benchmark Committee Leader or a Benchmark Committee Member The GFSI Executive Director shall have the discretion to remove and replace a member of a Benchmark Committee at any time, if it is deemed necessary to do so. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.The GFSI Executive Director has the responsibility to investigate any malpractice or alleged malpractice, which may have arisen during the benchmarking process and take appropriate action.The GFSI Board has the authority to dismiss or withdraw registration of any GFSI Benchmark Committee Leader or Benchmark Committee Member at any time.
Benchmark Committee Structure - New Scheme Application► GFSI Benchmark Committee Leader (voting member),► GFSI representative – Executive Director (non-voting member),► 5 representatives of retailers, suppliers or food service companies, who have knowledge and expertise in
the application of GFSI recognised schemes. There should be at least one retailer and one supplier within this group (voting members),
► 1 GFSI Board member (voting member),► 1 GFSI Advisory Council member (observer).
Benchmark Committee Structure – Extension to Scope of Recognition and Re-benchmarking► GFSI Benchmark Committee Leader (voting member), ► GFSI representative – secretariat (non-voting member), ► 1 retailer or food service company representative (voting member),► 1 supplier representatives (voting member).
Responsibilities of Benchmark Committee MembersThe appointed GFSI Benchmark Committee Leader shall have the following responsibilities:► to manage the benchmarking process for a scheme application,► to fully document all proceedings of the benchmarking process,► to use their experience, expertise and knowledge to provide input into the assessment of a scheme application,► to manage communication between the scheme owner, benchmark committee members, the GFSI Executive Director, the appointed GFSI Board member for the scheme application and the GFSI Board,► to ensure that the benchmarking programme timescales are achieved,► to suspend the benchmarking process in the event that it is deemed that issue resolution will not result in recognition or timescales to achieve recognition are compromised,► to manage the annual assessment process,► to undertake, at the instruction of the GFSI Board or GFSI Executive Director, any ad hoc review of a recognised scheme’s management system,
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► to act in a professional, ethical and impartial manner at all times.In the event that the Benchmark Committee Leader decides to suspend the benchmarking process for any reason, he / she shall immediately notify the GFSI Executive Director of this decision, who, in turn, will notify the GFSI Board. The registered Benchmark Committee Members shall have the following responsibilities:► to use their experience, expertise and knowledge to provide input into the assessment of a scheme application,► to effectively communicate with the GFSI Benchmark Committee Leader or any other party, if requested to do so by the GFSI Benchmark Committee Leader,► to ensure assigned activities are undertaken within the agreed timescales,► to act in a professional, ethical and impartial manner at all times.The GFSI Executive Director shall have the following responsibilities with regards to the benchmarking process:► to provide administrative support to the GFSI Benchmark Committee Leader,► to ensure all events and activities are fully and accurately documented and records retained,► to investigate and act upon any issue arising from the performance or possible conflict of interests of Benchmark Committee Members.
Rules of Procedure for a Benchmark Committee The GFSI Benchmark Committee Leader and Benchmark Committee members shall carry out their duties in accordance with procedures specified in this document. The GFSI Benchmark Committee Leader shall publish a programme of activities on the date of the establishment of a Benchmark Committee and this programme will be made known to all members of the Benchmark Committee and the scheme owner. In the event that there are changes to this programme the members of the Benchmark Committee and the scheme owner will be informed of these changes.The GFSI Benchmark Committee Leader shall ensure correct procedures are undertaken during the benchmarking process and work with the GFSI Executive Director to record and document proceedings and decisions.The GFSI Benchmark Committee Leader shall ensure, through the GFSI Executive Director, that all information regarding the benchmarking process is clearly and concisely documented and provided to all parties involved in a timely manner. The GFSI Benchmark Committee Leader, with the assistance of the GFSI Executive Director, shall be responsible for the recording, maintenance and retention of this information.Members of a Benchmark Committee shall commit to participate in or attend meetings convened by the GFSI Benchmark Committee Leader in their entirety and shall also be committed in terms of time and effort to achieve objectives set by the GFSI Board. In the event that a meeting is convened and there is non-attendance of members, the meeting shall only take place if there is a quorum of members present. Note: for the purposes of a GFSI Benchmark Committee meeting benchmarking a new scheme, a quorum is regarded as being 3 members of the Committee. This shall be the GFSI Benchmark Committee Leader and two industry representatives (retailer, manufacturer or food service provider).Note: for the purposes of a GFSI Benchmark Committee meeting re- benchmarking or reviewing for an extension to scope of recognition, a quorum is regarded as being 3 members. This shall be the GFSI Benchmark Committee Leader and two industry representatives (retailer, manufacturer or food service provider). Members of a Benchmark Committee shall act in a professional, ethical and impartial manner at all times and
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shall not use any information obtained to commercially promote their own or their organisation’s interests. The selection of members of a Benchmark Committee shall ensure that there is no conflict of interest in relation to an individual, organisation or association. However, in the event that there could be a change in the status of this non conflict of interest, the Benchmark Committee member must make the GFSI Executive Director aware of the circumstances and the GFSI Executive Director will take any action necessary to resolve issues that may arise.If a vote is necessary to decide upon the recommendation to the GFSI Board, only voting members of the Committee will be allowed to vote. The GFSI Benchmark Committee Leader will ensure all members vote on the recommendation to the GFSI Board. For the purposes of re-benchmarking or extension to scope, the GFSI Benchmark Committee Leader shall have the casting vote if an equal number of recognition and non-recognition votes are given by Committee members. All information provided by a scheme owner shall be regarded as being confidential and the GFSI Benchmark Committee Leader and members of a Benchmark Committee will honour this agreement. At the time of their registration and acceptance of an invitation to become a member of a Benchmark Committee any GFSI Benchmark Committee Leader or Reviewer shall sign a declaration of confidentiality and impartiality. All information in relation to the benchmarking process shall be regarded as confidential and shall be securely retained by the GFSI Executive Director. In the event that members are asked to leave a Benchmark Committee during the benchmarking programme, the GFSI Executive Director and GFSI Benchmark Committee Leader shall invite a new member onto the Committee and the GFSI Benchmark Committee Leader shall ensure that the new member is made fully aware of information appertaining to the benchmarking process.If the GFSI Benchmark Committee Leader leaves or is asked to leave a Benchmark Committee during the benchmarking programme, the GFSI Executive Director will take immediate steps to appoint a new GFSI Benchmark Committee Leader.The GFSI Executive Director shall have the discretion to remove and replace a member of a Benchmark Committee at any time, if it is deemed necessary to do so. It is also at the discretion of the GFSI Executive Director to remove an individual from the Register of Benchmark Committee Members.The GFSI Executive Director has the responsibility to investigate any malpractice or alleged malpractice, which may have arisen during the benchmarking process and take appropriate action.The GFSI Board has the authority to dismiss or withdraw registration of any GFSI Benchmark Committee Leader or Reviewer at any time.
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Benchmark Committee Leader Qualifications, Experience, Knowledge, Skills and Personal AttributesQualifications A GFSI Benchmark Committee Leader shall have attained, as a minimum, a degree in a food related or bioscience discipline.A GFSI Benchmark Committee Leader shall have successfully completed a qualification in relation to Lead Auditor status for Quality Management Systems.
Experience A GFSI Benchmark Committee Leader shall have a minimum of 10 years full time experience in the food industry in areas such as quality assurance or in a food safety function in food production or manufacturing, retailing, inspection, auditing or enforcement.A GFSI Benchmark Committee Leader shall have significant food safety auditing experience.
KnowledgeA GFSI Benchmark Committee Leader shall have:► a detailed knowledge of the GFSI Guidance Document,► a detailed knowledge of the mission and objectives of GFSI,► a detailed knowledge of the GFSI benchmarking process,► a detailed knowledge of food safety management systems, applicable procedures or other management
systems and documents used as audit criteria,► a detailed knowledge of audit principles, procedures and techniques in relation to food safety auditing,► a detailed knowledge of general business processes and understand the workings of organisations in
relation to size, structure, function and relationships with specific reference to quality management and food safety management,
► a detailed knowledge of accreditation and certification processes and procedures,► a detailed technical knowledge of specific food product sectors,► a knowledge of key food legislative requirements.
Skills A GFSI Benchmark Committee Leader shall have:► good organisational and time management skills,► the ability to make correct decisions based on objective and verifiable evidence,► the ability to understand and interpret written material with particular reference to system development and
operational, food safety and legislative requirements,► good, appropriate written communication skills so that communications can be understood by the intended
audience,► the ability to produce clear and accurate reports of assessment findings and clearly articulate these in
relation to GFSI Guidance Document requirements,► the ability to understand and interpret verbal material,► good, appropriate oral communication skills so that communications can be understood by the intended
audience,
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► the ability to effectively control and manage meetings during the assessment process,► the ability to effectively and systematically assess situations and information to make informed decisions
on objective and verifiable evidence,► skills to ensure effective communication between themselves and other people,► good people management skills,► the ability to provide direction and guidance to the Benchmark Committee members,► the ability to prevent and resolve conflicts,► the ability to lead the Benchmark Committee members to reach conclusions.
Personal Attributes A GFSI Benchmark Committee Leader shall be:► fair, truthful, unbiased, sincere, discreet, trustworthy and honest,► able to demonstrate a high level of personal integrity,► open-minded, reasonable and willing to consider alternative ideas or points of view,► tactful in dealings with people, as appropriate to achieve the benchmarking objectives,► instinctively aware of and able to understand situations,► able to adjust readily to different situations and to effectively resolve conflict and arrive at consensus
agreement where possible,► persistent and focussed in their approach to achieve objectives,► able to reach timely conclusions based on logical reasoning and analysis and, in the case of possible
conflict, be confident to manage and control discussions. The individual will assume the leadership role during problematical discussions and situations in order to resolve issues,
► able to act effectively and function independently,► able to be professional and ethical and make decisions even though these actions and decisions may
result in disagreement, confrontation or appeal proceedings,► courteous, conscientious, discreet and business like in their approach,► empathetic, respectful to others and able to engender trust,► able to keep relevant information confidential in accordance with non-disclosure or confidentiality
agreements,► able to communicate confidently and with authority to secure agreement with scheme owner management,► able to maintain strict independence from self-interest or personal bias,► able to effectively plan, prioritise and adjust the activities of the benchmarking process, as far as possible
without adversely affecting the outcome of assessment.Prior to entry into the Register of Benchmark Committee Members, a GFSI Benchmark Committee Leader shall sign a statement of confidentiality, impartiality and non conflict of interest and provide this to the GFSI Executive Director. In the event that personal circumstances mean that this statement is compromised, the GFSI Benchmark Committee Leader will inform the GFSI Executive Director, who will, in turn, take appropriate steps to ensure that the integrity of GFSI is not compromised. The Register of GFSI Benchmark Committee Leaders shall be published on the GFSI website within the Register of Benchmark Committee Members.
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Benchmark Committee Member Qualifications, Experience, Knowledge, Skills and Personal AttributesQualifications A GFSI Benchmark Committee Member shall have attained, as a minimum, a degree in a food related or bioscience discipline.
Experience A GFSI Benchmark Committee Member shall have a minimum of 5 years full time experience in the food industry in the sector relevant to the scope of the scheme application, including areas such as quality assurance or in a food safety function in food production or manufacturing, retailing, inspection, auditing or enforcement or the equivalent.A GFSI Benchmark Committee Member shall have significant food safety auditing experience.
KnowledgeThe GFSI Benchmark Committee member shall have:► a detailed knowledge of the GFSI Guidance Document,► a detailed knowledge of the mission and objectives of GFSI,► a knowledge of the GFSI benchmarking process,► a detailed knowledge of food safety management systems, applicable procedures or other management
systems and documents used as audit criteria,► a detailed knowledge of audit principles, procedures and techniques in relation to food safety auditing,► a detailed knowledge of general business processes and an understanding of the workings of organisations
in relation to size, structure, function and relationships with specific reference to quality management and food safety management,
► a knowledge of accreditation and certification processes and procedures,► a detailed technical knowledge of specific product sectors,► a knowledge of key food legislative requirements.An applicant for the Register of Benchmark Committee Members shall be trained by GFSI on the GFSI Benchmarking processes and procedures. This training shall be undertaken upon selection and prior to entry into the Register of Benchmark Committee Members.
Skills The GFSI Benchmark Committee Member shall have:► good organisational and time management skills,► the ability to make correct decisions based on objective and verifiable evidence,► the ability to understand and interpret written material with particular reference to system development and
operational, food safety and legislative requirements,► good, appropriate written communication skills so that communications can be understood by the intended
audience,► the ability to understand and interpret verbal material,► good, appropriate oral communication skills so that communications can be understood by the intended
audience,
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► the ability to effectively and systematically assess situations and information to make informed decisions using objective and verifiable evidence,
► skills to ensure effective communication between themselves and other people.
Personal Attributes A GFSI Benchmark Committee Member shall be:► fair, truthful, unbiased, sincere, discreet, trustworthy and honest,► able to demonstrate a high level of personal integrity,► open-minded, reasonable and willing to consider alternative ideas or points of view,► tactful in dealings with people, as appropriate, to achieve the benchmarking objectives,► instinctively aware of and be able to understand situations,► able to adjust readily to different situations and to effectively resolve conflict and arrive at consensus
agreement, where possible,► persistent and focussed in their approach to achieve objectives,► able to reach timely conclusions based on logical reasoning and analysis and, in the case of possible
conflict, be confident to manage and control discussions,► able to act effectively and function independently,► professional and ethical and make decisions even though these actions and decisions may result in
disagreement, confrontation or appeal proceedings,► courteous, conscientious, discreet and business like in their approach,► empathetic, respectful to others and able to engender trust,► able to keep relevant information confidential in accordance with non-disclosure or confidentiality
agreements,► able to maintain strict independence from self-interest or personal bias.Prior to entry into the Register of Benchmark Committee Members, a GFSI Benchmark Committee Member shall sign a statement of confidentiality, impartiality and non-conflict of interest and provide this to the GFSI Executive Director. In the event that personal circumstances mean that this statement is compromised, the GFSI Benchmark Committee Member will inform the GFSI Executive Director, who will, in turn, take appropriate steps to ensure that the integrity of GFSI is not compromised.
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ANNEX 3The GFSI Appeals Procedure - GFSI Benchmarking
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The GFSI Appeals Procedure - GFSI BenchmarkingIntroductionThe following procedure defines the process steps to be taken in the event that a scheme owner wishes to appeal against a decision taken by the GFSI Board, the GFSI Executive Director or any person contracted to the GFSI in relation to the benchmarking process and the associated systems and procedures. Only the scheme owner to whom the decision relates has the right of appeal to the GFSI Board regarding the status of GFSI recognition and the Appeal Notice shall be submitted by an authoritative person from the scheme management or governing board.
ProcedureThe scheme owner shall submit an Appeal Notice to the GFSI Executive Director within 30 days of the matter in dispute occurring. The Appeal Notice shall be submitted in writing to the GFSI Executive Director and shall clearly describe the reason and the justification for the appeal, together with substantive evidence to assist with the investigation of the appeal.The Appeal Notice shall clearly state the reason and rationale for the objection, contain documented objective evidence to support the appeal and details of the person responsible within the objecting scheme owner’s organisation. The Appeal Notice shall be signed by an authoritative person from the objecting scheme owner and shall include the name, position, signature and date of signature. The GFSI Executive Director shall formally acknowledge receipt of the Appeal Notice to the objecting scheme owner. This acknowledgement shall take place within 24 hours of receipt of the Appeal Notice. The GFSI Executive Director shall also notify the GFSI Board members within 24 hours of receipt of the Appeal Notice.The GFSI Executive Director shall review the Appeals Notice with the Chairman of the GFSI Board. If it is deemed that the information provided in the Appeal Notice is insufficient or subjective in nature, he / she shall contact the signatory of the Appeal Notice and make his / her observations known. The scheme owner has the right to resubmit the Appeals Notice with additional information, but should they choose not to do so, the Chairman of the GFSI Board has the authority to reject the appeal at that stage. In the event that an appeal is deemed not justified, then the scheme owner and the GFSI Board will be informed. The decision concerning the validity of the appeal shall be made within 2 days of the receipt of the Appeal Notice.The GFSI Executive Director will make the decision known to the scheme owner and GFSI Board members whether or not to take forward or reject the appeal within 2 days of the receipt of the Appeal Notice. In the event that the appeal is not taken forward the reason for the decision will be made known to the scheme owner and GFSI Board members.When the appeal procedure is initiated, the status of the scheme shall be amended on the GFSI website to reflect that the scheme is subject to appeal.The appeal shall be considered by an Appeals Committee, which is a committee specifically assembled by the GFSI Board. The GFSI Executive Director shall ask the Chairman of the GFSI Board to invite three members of the Advisory Council to sit on the Committee. The GFSI Executive Director shall ensure that none of the invited members of the Advisory Council has any possible conflict of interest in relation to the scheme owner appealing against the decision of the GFSI. The Appeals Committee shall be appointed within two weeks of confirmation of acceptance by the GFSI Executive Director of taking forward the appeal.The Chairman of the GFSI Board shall appoint an Appeals Committee Chairman, who will have responsibility to co-ordinate the activities of the Committee, document all actions, comments and decisions appertaining to the appeal and report back to the GFSI Board on their decision to uphold or reject the appeal. The Chairman of the Appeals Committee shall ensure throughout all stages of the appeals process that all proceedings shall be conducted in an impartial and professional manner.
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The GFSI Executive Director shall ensure all members of the Appeals Committee have a complete copy of the Appeal Notice, signed by the scheme owner and any other information related to the appeal. This may include recognition application data, investigative documentation from complaint reviews or documentation relating to continuous assessment.The Chairman of the Appeals Committee shall decide upon the duration of the review of information submitted by the GFSI Executive Director and make this known to other members of the Committee, the Chairman of the GFSI Board and the GFSI Executive Director. The duration of the investigative phase of the appeal will, however, be no longer than four weeks from receipt of the confirmation of the GFSI Executive Director to take the appeal forward.During this investigative phase the chairman of the Appeals Committee will liaise with other committee members and the scheme owner to establish the validity of the objection and to collate information and opinions allowing a decision to be made. The liaison with the scheme owner will always be with the signatory of the Appeal Notice.The Chairman of the Appeals Committee shall ensure a meeting takes place between the Appeals Committee and the scheme owner (signatory of the Appeal Notice and any other parties nominated by the signatory) within six weeks of the acceptance of the appeal by the GFSI Executive Director. The meeting will be fully minuted.Following the meeting with the objecting scheme owner’s representative(s), the Chairman of the Appeals Committee shall convene a meeting of all Appeals Committee members and review the appeal information and any other evidence to decide upon the acceptance or rejection of the appeal. This meeting will take place with two days of the meeting with the objecting scheme owner’s representative(s). The meeting will be minuted and these minutes provided to the GFSI Board.The decision to accept or reject the appeal by the members of the Appeals Committee will be made by consensus and, if a vote is required, the majority vote will decide the outcome of the appeal. Members of the Appeals Committee cannot abstain. The Chairman of the Appeals Committee will inform the Chairman of the GFSI Board and the GFSI Executive Director of the Committee’s decision within one day of the closure of the Appeals Committee meeting. The Chairman of the Appeals Committee shall also provide the GFSI Board with the minutes of the Appeals Committee meeting and any other evidence felt necessary to clarify or support their decision. The decision made by the Appeals Committee is final and cannot be overturned by the GFSI Board.If the Appeals Committee feels that an issue is identified that may require further investigation, they shall appoint an ad hoc committee, with clear terms of reference to carry out further work, to provide advice and guidance.The Chairman of the GFSI Board shall ensure all other Board members are made aware of the decision of the Appeals Committee and he / she will write to the scheme owner making them aware of the status of recognition.The GFSI Executive Director shall ensure that the status of the scheme is made known on the GFSI website as soon as the scheme owner is informed of the decision of the Appeals Committee by the Chairman of the GFSI Board.
PART II
Version 6.4
REQUIREMENTS FOR THE MANAGEMENT OF SCHEMESCONTENTSIntroduction ................................................................................................... 591. Requirements for a GFSI Benchmarking Application ................................................ 59
1.1 Introduction ........................................................................................... 591.2 Requirements for Scheme Application ............................................................ 60
2. Requirements for Food Safety Schemes - Ownership and Management......................... 622.1 Introduction ............................................................................................ 622.2 Scheme Scope ......................................................................................... 622.3 Scheme Development and Maintenance .......................................................... 622.4 Scheme Governance ................................................................................. 632.5 Scheme Management ................................................................................ 642.6 GFSI Relationship .................................................................................... 65
3. Requirements for Food Safety Schemes - System ................................................... 663.1 Introduction ........................................................................................... 663.2 Relationship with Accreditation Bodies ........................................................... 663.3 Relationship with Certification Bodies ............................................................ 663.4 Certification Body Personnel Competence ........................................................ 693.5 Audit Frequency and Duration ...................................................................... 713.6 Audit Reporting ....................................................................................... 713.7 The Management of Certification ................................................................. 723.8 Data Management ................................................................................... 72
ANNEX 1: GFSI Scope of Recognition .................................................................... 73ANNEX 2: GFSI Requirements for the Application of ISO /IEC 17011:2004 ......................... 77
Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies
ANNEX 3: Auditor Competence - Qualifications, Training and Experience ........................ 91
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IntroductionThis section is the second part of the Guidance Document, which has been developed and published by the Global Food Safety Initiative (GFSI) to specify the requirements for the recognition of food safety schemes.The objectives of Part II are to define:► the requirements for eligibility of a food safety scheme to be considered for benchmarking by GFSI,► the requirements for food safety scheme ownership and management,► the requirements for food safety scheme supporting systems,► the requirements for continuing recognition by GFSI, if recognition status is granted.
1. Requirements for a GFSI Benchmarking Application1.1 Introduction The purpose of the application for GFSI benchmarking by scheme owners is to initiate the benchmarking process and to ensure that the criteria are in place to meet the GFSI requirements for recognition.The types of scheme that can be recognised by GFSI are schemes owned by non-governmental bodies or government bodies. Irrespective of ownership, schemes must meet the requirements for application specified in Part II Section 2.Applicant scheme owners shall submit an application for recognition in accordance with the requirements specified in Part I, Section 1.2. There are three types of scheme application;► New Schemes► Extension of Scope of Recognition► Re-benchmarking
1.1.1 New schemesA new scheme is defined as a scheme which has:► not previously undergone benchmarking by GFSI,► been previously recognised by GFSI, but has had recognition withdrawn.
1.1.2 Extension of Scope of RecognitionA scheme seeking an extension of scope is defined as a scheme which is: ► seeking to apply for a new scope of recognition► seeking an extension of an existing recognised scope, which does not represent a significant change to the
scheme governance or ownership, the management system or key elements.
1.1.3 Re-benchmarking A scheme seeking re-benchmarking is defined as a scheme which:► has had significant change to the scheme governance or ownership, the management system or key
elements, or...► is required to be benchmarked on the 4 year anniversary of the original recognition, or...► requires benchmarking after a change in the Guidance Document within the four year revision cycle, or...► has been subject to suspension by GFSI.1 The scheme shall retain GFSI recognition for a period of one year after the publication of a new version of the GFSI Guidance Document.
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1.2 Requirements for Scheme Application 1.2.1 Requirements for Scheme Application – New SchemeThe GFSI will require the applicant scheme owner to:a) have in place a written Agreement or Memorandum of Understanding with GFSI1 , and...b) submit an application for recognition for a defined scope(s)2, and...c) submit an application for recognition to GFSI together with supporting evidence proving that;
► there is commitment from a minimum of three user organisations representing the retail / food service or producing / manufacturing sectors that use, or are going to use the scheme, and...
► there is agreement with one or more Accreditation Bodies for Certification Bodies to operate to ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003) for the scope of their scheme. The decision as to the most appropriate generic standard to be used to accredit Certification Bodies for the scope of a scheme shall be made in consultation with Accreditation Bodies, but the final decision shall rest with the Accreditation Bodies.
Where the scheme owner has agreements with two or more Accreditation Bodies, the use of the accreditation standard must be the same irrespective of the Accreditation Body and it is incumbent on the scheme owner to ensure that consistency of decision making exists between Accreditation Bodies. The Accreditation Bodies granting accreditation to the scope of the scheme shall be members of the International Accreditation Forum (IAF) and shall be signatories to the Multilateral Recognition Arrangement (MLA), and...
► there are contractual relationships3 with at least two Certification Bodies that have accreditation for the scope of the scheme with an Accreditation Body, and...
► the scheme has in place ten accredited certificates for single site audits (for the relevant scope of the application) issued by Certification Bodies, including at least one certificate issued by each Certification Body during a twelve month period prior to the date of the application, and...
► the scheme has been operational for a period of twelve months prior to the date of application. During this period, certificates shall be issued to a variety of organisations. A scheme is deemed to become operational on the date on which the first accredited certificate is issued by a Certification Body.
1 The type of written agreement is subject to GFSI Board discretion (available from the secretariat upon request). 2 A new application from a scheme owner may be submitted with a number of scopes of recognition. In this event the benchmarking process shall be carried out in accordance with Part I Section 1.2.1.1, Methodology- Preliminary Screening and Benchmarking Application (New Scheme) for one scope of recognition and the other scopes of recognition will be addressed in accordance with Part I Section 1.2.1.2 Methodology - Benchmarking Application (Extensions to scope of recognition). The GFSI Benchmarking Committee Leader will assign Benchmark Committee members to ensure the expertise is in place within specific Committees in relation to scope of recognition.3 Where it is not possible to establish formal contractual arrangements, there shall be a clearly defined relationship between the scheme owner and Certification Bodies.
1.2.2 Requirements for Scheme Application – Extension of Scope of RecognitionGFSI will require the applicant scheme owner to:a) submit an application for recognition for a defined scope(s)1, and...
b) submit an application for recognition to GFSI together with supporting evidence proving that;
► there is agreement with one or more Accreditation Bodies for Certification Bodies to operate to ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003) for the scope of their scheme. The decision as to the most appropriate generic standard to be used to accredit Certification Bodies for the scope of a scheme shall be made in consultation with Accreditation Bodies but the final decision shall rest with Accreditation Bodies.
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Where the scheme owner has agreements with two or more Accreditation Bodies, the use of the accreditation standard must be the same irrespective of the Accreditation Body and it is incumbent on the scheme owner to ensure that consistency of decision making exists between Accreditation Bodies. The Accreditation Bodies granting accreditation to the scope of the scheme shall be members of the International Accreditation Forum (IAF) and shall be signatories to the Multilateral Recognition Arrangement (MLA), and...
► there are contractual relationships with at least two Certification Bodies, that have accreditation for the scope of the scheme with an Accreditation Body, and...
► the scheme has in place ten accredited certificates (for the relevant scope of the application) issued by Certification Bodies to demonstrate market demand, including at least one certificate issued by each Certification Body during a twelve month period prior to the date of the application, and...
► the scheme has been operational within a period of twelve months prior to the date of application. A scheme is deemed to become operational on the date on which the first accredited certificate is issued by a Certification Body.
1 An application for an extension to scope of recognition from a scheme owner may be submitted with a number of scopes of recognition. In this event the benchmarking process shall be carried out in accordance with Part I Section 1.2.1.2 Methodology - Benchmarking Application (Extensions to scope of recognition). The GFSI Benchmarking Committee Leader will assign Benchmark Committee members to ensure the expertise is in place within specific Committees in relation to scope of recognition.
1.2.3 Requirements for Scheme Application – Re-benchmarkingGFSI will require the applicant scheme owner to:a) submit an application for recognition for a defined scope(s)1, and...
b) submit an application for recognition to GFSI together with supporting evidence proving that:
► there is continued commitment from a minimum of three user organisations representing the retail / food service or producing / manufacturing sectors that use, or are going to use the scheme, and...► there is agreement with one or more Accreditation Bodies for Certification Bodies to operate to ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003) for the scope of their scheme. The decision as to the most appropriate generic standard to be used to accredit Certification Bodies for the scope of a scheme shall be made in consultation with Accreditation Bodies but the final decision shall rest with the Accreditation Bodies.Where the scheme owner has agreements with two or more Accreditation Bodies, the use of the accreditation standard must be the same irrespective of the Accreditation Body and it is incumbent on the scheme owner to ensure that consistency of decision making exists between Accreditation Bodies. The Accreditation Bodies granting accreditation to the scope of the scheme shall be members of the International Accreditation Forum (IAF) and shall be signatories to the Multilateral Recognition Arrangement (MLA), and...► there are contractual2 relationships with at least two Certification Bodies, that have accreditation for the scope of the scheme with an Accreditation Body, and...► the scheme has in place ten accredited certificates (for the relevant scope of the application) issued by Certification Bodies, including at least one certificate issued by each Certification Body during a twelve month period prior to the date of the application. 1 A scheme owner seeking re-benchmarking may submit an application with a number of scopes of recognition. In this event the benchmarking process shall be carried out in accordance with Part I Section 1.2.1.3 Methodology - Benchmarking Application (Re-Benchmarking) for equivalent scopes of recognition. Additional scopes of recognition will be addressed in accordance with Part I Section 1.2.1.2 Methodology - Benchmarking Application (Extensions to scope of recognition). The GFSI Benchmarking Committee Leader will assign Benchmark Committee members to ensure the expertise is in place within specific Committees in relation to scope of recognition.2 Where it is not possible to establish formal contractual arrangements, there shall be a clearly defined relationship between the scheme owner and Certification Bodies.
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2. Requirements for Food Safety Schemes – Ownership and Management2.1 IntroductionThe requirements contained in this section are intended to provide confidence in the compliance of a food safety scheme; i.e. the specific scheme standard and its related management system.
2.2 Scheme Scope2.2.1 The scheme shall have a defined scope in relation to food safety or services directly associated with food safety, which shall be subject to certification by accredited Certification Bodies.GFSI has clearly defined scopes in relation to products or services for which schemes can seek recognition by GFSI. The scheme shall clearly specify the scope of activity within its application to GFSI (Part I Section 1).
2.2.2 GFSI has categorised the food supply chain into sectors and sub-sectors for which there has been defined a series of requirements of good practice, dependent upon that sector. These requirements are regarded as food safety criteria associated with Good Agricultural Practice (GAP), Good Manufacturing Practice (GMP), Good Distribution Practice (GDP), Good Catering Practice (GCP) and Good Retail Practice (GRP). These requirements shall be clearly defined in the standard of the applicant’s scheme and these shall be assessed against the requirements of the relevant section of the GFSI Guidance Document (Reference Part IV Scheme Scope and Key Elements).
2.2.3 GFSI has clearly defined specific requirements in relation to the operation of food safety schemes and the scheme owner shall also, within its normative references, define requirements of the scheme based on best practice of schemes within the sector for which the scheme has applied for recognition. For example, Certification Body operational standards, the competence of Certification Body staff and the accreditation standard. GFSI shall assess these requirements against the relevant section of the GFSI Guidance Document.
2.2.4 A scheme’s standard may incorporate requirements other than those related to food safety, but only those requirements relating to food safety shall be assessed by GFSI for the purpose of recognition and the scheme’s standard shall have a significant proportion of its overall requirements as food safety related requirements. For the application process the scheme owner will clearly identify and cross-reference those requirements to be put forward for the scope of GFSI recognition (Reference Part I Annex 1 - Scheme Application Guidelines).In the event that a scheme is recognised by GFSI and the scheme’s standard incorporates requirements other than food safety criteria, the scheme owner shall clearly define within any communication the scope of GFSI recognition with respect to food safety.
2.3 Scheme Development and Maintenance2.3.1 The scheme owner shall be an organisation that is a legal entity, or an organisation which is a partnership of legal entities or a government agency. The scheme cannot be developed, managed or owned by a Certification Body or group of Certification Bodies.
2.3.2 The scheme shall have been developed and maintained with the participation of technically competent representatives of direct stakeholders, or have been subjected to formal review by such parties and subsequently determined as appropriate. For each scope of recognition, the number and interests of the stakeholder representatives involved with the scheme development shall be reflective of the sector of the food supply chain for which the scope of the scheme is intended.
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2.3.3 The scheme, during its development, shall have been subjected to extensive stakeholder consultation and due consideration shall have been given to comments received from stakeholders during the consultation.
2.3.4 The scheme shall consist of a standard (which is recognised by an Accreditation Body as the scope of certification) and a system based on the principles of ISO/IEC Guide 65 or ISO /IEC 17021:2006 (supplemented by ISO/TS 22003). The scheme shall have a clearly defined scope of activity, commensurate to the GFSI scope(s) of recognition and the standard and system shall specify the requirements and supporting systems and procedures to ensure that users are fully aware of compliance obligations. The standard shall be a normative document. The standard and other defined normative documents shall be established by consensus and issued using a formalised and documented approval process.
2.3.5 All of the scheme’s normative documents shall be appropriately controlled and publicly available. The normative documents shall be provided in English and their translation appropriately controlled.
2.3.6 There shall be in place a system to ensure that stakeholders and other interested parties can make effective contact with the scheme owner, or authorised authority, to clarify any interpretation.
2.3.7 The scheme shall be subject to formal internal review annually and, where appropriate, revised. The scheme’s normative documents shall be reissued at least every four years, or as appropriate, in accordance with the revision of or significant changes to the GFSI Guidance Document requirements. Where the scheme owner makes any changes to the standard or other defined normative documents, these changes shall be brought to the attention of the GFSI Executive Director.
2.3.8 The formal review of the scheme shall be carried out with the involvement of direct stakeholders. The review shall assess the management of the scheme, the currency of the scheme’s standard and address any issues of concern raised by stakeholders. The review and any arising actions shall be fully documented.
2.4 Scheme Governance 2.4.1 In relation to a scheme that is owned by a non-government organisation, the scheme shall be developed, maintained and administered by a legal entity or an organisation consisting of legal entities, that has a constitution, which clearly defines its activities and responsibilities and has good governance in place. There shall be in place a clearly defined organisational structure, which specifies activities and responsibilities.The scheme shall have in place a Board or Governance Body, which operates to a defined governance policy specifying the Board or Governance Body election process, Board or Governance Body representation, member categories, income generation or funding processes, an organisational structure, the decision making process, personnel roles (responsibility and authority), standard setting procedures and a conformity assessment programme. The scheme’s organisational structure shall name individuals on Boards, committees and in management roles and this shall be publicly available. The scheme’s governance shall be such as to ensure that there is no conflict of interest, which could call into question its impartiality and integrity.
2.4.2 In relation to a scheme owned by a government organisation, the scheme shall be developed, maintained and administered by a specified government agency. There shall be in place a named Board, Governance Body or Committee. There shall be in place a defined organisational structure, which specifies activities and responsibilities in relation to other government bodies and other organisations such as Accreditation Bodies.The scheme shall have in place a clearly defined governance policy, which specifies the representation of organisations and individuals on the Board, Governance Body or Committee, the decision making process, personnel roles (responsibility and authority), standard setting procedures and a conformity assessment programme. The scheme organisational structure shall name individuals on Boards, committees and in management roles and this should be publicly available. The scheme’s governance shall be such as to ensure there is no conflict of interest, which could call into question its impartiality and integrity.
2.4.3 The scheme shall have in place a procedure which vets and approves personnel employed by the organisation to ensure their professional integrity, competence and impartiality.
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2.4.4 The scheme owner shall have adequate and appropriate arrangements in place to cover any liabilities, which may arise from its activity.
2.4.5 The scheme shall be open and transparent in its governance and operations.
2.4.6 The scheme shall be open, without restriction, to application by any Certification Body and, for the purposes of certification, must be operated in a non-discriminatory manner.
2.4.7 The certification process must not be ‘self-promoting’ or ‘self-expanding’ by mandating that a product or service to be certified must contain components, which are certified under a standard owned by the scheme.
2.4.8 The levying of a reasonable fee for the purchase of the scheme, a license fee for its implementation, examination of auditors or a training requirement for the application of the scheme, will not be regarded as a restriction or a limitation.
2.4.9 The scheme owner shall not be directly involved with any activity that could be seen as being a conflict of interest or could bring itself, associated Accreditation Bodies, associated Certification Bodies or the GFSI, into disrepute.
2.4.10 The scheme owner shall ensure that no employees and committee members have a conflict of interest that might influence decisions in relation to the granting of certification to the scheme.
2.4.11 Where the scheme owner has copyright on any normative documents, this shall be held by the legal entity and have systems in place to minimise any risk of breach of the copyright.
2.5 Scheme Management2.5.1 The scheme shall be effectively managed by the scheme owner or management delegated to a competent authority. In the event of the operational management of the scheme being delegated by the scheme owner, the scheme owner shall ensure that the requirements of GFSI are not compromised.
2.5.2 The scheme shall have in place an appropriate number of staff with adequate resources to effectively manage the scheme’s day to day operations and there shall be in place a defined organisational and reporting structure, key job descriptions and documented operating procedures.
2.5.3 The scheme owner shall carry out regular reviews of the operation of the scheme and take any necessary action to ensure compliance with GFSI requirements; these reviews shall be part of an internal audit programme.
2.5.4 The management of the scheme shall ensure that all contractual or formal arrangements between the scheme and GFSI are in place at all times.
2.5.5 The scheme owner shall ensure that individual Certification Bodies operating to the scope of their scheme comply with the requirements of the GFSI Guidance Document and are accredited to the scope of an appropriate accreditation standard; i.e. ISO/IEC Guide 65 or ISO/IEC 17021:2006 (supplemented by ISO/TS 22003), which has been granted by an Accreditation Body that is a member of the International Accreditation Forum (IAF) and is a signatory to the IAF Multilateral Recognition Arrangement (MLA).
2.5.6 The scheme owner shall have in place a system of key performance indicators for Certification Bodies, which are monitored by a series of measures including complaints procedures and report screening procedures. There shall also be in place a risk based programme of office audits and announced, but unscheduled, audits of certified organisations. The measurement of key performance indicators shall be carried out according to a risk based programme, which is based on the number, size and complexity of assessments carried out by a Certification Body.2.5.7 The scheme owner shall have in place adequate controls for the translation and publication of normative documents.
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2.5.8 The scheme owner shall have a documented system in place for sanctions against non compliant Certification Bodies. 2.5.9 The scheme owner shall have in place a procedure for dealing with complaints, which shall include requirements for investigation, complaint management documentation and successful resolution of the complaint.
2.6 GFSI Relationship2.6.1 The scheme owner shall sign and be in compliance with a four year Agreement or Memorandum of Understanding between the organisation and the GFSI. There may be circumstances under which a formal agreement may not be possible; e.g. with a governmental body. Under these circumstances the GFSI Board will make the decision to accept the application for recognition.2.6.2 The scheme owner shall actively participate in GFSI activities relating to certification and accreditation and shall be co-operative in their dealings. The scheme owner will be expected to actively promote the principles supporting GFSI. 2.6.3 In the event of any significant changes to ownership, management personnel, management structure or constitution, the scheme owner shall inform GFSI in a timely manner. Where the scheme owner is aware of any possible conflict or problems, which could result in bringing their scheme or GFSI into disrepute, GFSI shall be informed and appropriate action shall be taken.2.6.4 The scheme owner shall provide GFSI with information relating to the GFSI requirements upon request and shall complete an annual report on activities. The annual report will relate to the satisfactory operation of a scheme in accordance to the GFSI requirements (circulated on an annual basis to all GFSI recognised scheme owners).2.6.5 GFSI shall undertake an annual audit of the scheme owner’s system by the process of self-assessment incorporating a review of the results and actions arising from the scheme owner’s internal audit (Reference Part I Section 1.2.5).In addition to the self-assessment review an office assessment of the scheme’s management system and operation shall be conducted by GFSI within a four year period (Reference Part I Section 1.2.5.1)
2.6.6 The scheme owner shall only make claims regarding the conformity in respect of the scope for which recognition to the GFSI Guidance Document has been granted.2.6.7 The scheme owner shall not allow products produced under the conforming scheme to be labelled, marked or described in a manner, which implies that it meets specific food safety criteria. 2.6.8 The scheme owner shall ensure that it does not use its recognition by GFSI in such a manner as to bring GFSI into disrepute and will not make any statements regarding its conforming status that GFSI may consider misleading or unauthorised.2.6.9 In the event of suspension of recognition of a scheme all (restricted) advertising or promotional matterthat contains any reference to GFSI e.g. logo, name and scheme rules, attendance at meetings and annualreport, shall be discontinued and, where required, recalled.
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3. Requirements for Food Safety Schemes - System3.1 Introduction The requirements contained in this section describe the requirements that a scheme owner shall have in place in relation to their food safety scheme’s system, in order to ensure compliance with the GFSI Guidance Document.
3.2 Relationship with Accreditation Bodies3.2.1 The scheme owner shall have enforceable arrangements with their respective Accreditation Bodies to ensure compliance with the GFSI Requirements for the Application of ISO /IEC 17011:2004 – Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies (reference Part II Annex 2) or have in place an Agreement with Accreditation Bodies endorsed by the International Accreditation Forum (IAF), which provides equivalence to the GFSI Requirements for the Application of ISO /IEC 17011:2004 – Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies.The scheme owner shall formally appoint a representative in charge of contact with the Accreditation Body.3.2.2 The scheme owner shall ensure that, in the event that a Certification Body has had its accreditation withdrawn or suspended by an Accreditation Body, the scheme owner is informed of this action and of the circumstances surrounding the withdrawal or suspension of accreditation.
3.3 Relationship with Certification Bodies3.3.1 The scheme owner shall ensure that it has contractual and enforceable arrangements with all Certification Bodies that are approved to operate their scheme.3.3.2 Scheme owners shall ensure that all Certification Bodies with which they have contractual arrangements are accredited. The scheme owner will act to ensure that the accreditation standard used by all national Accreditation Bodies for the scope of their scheme is consistent and, where appropriate, will facilitate a harmonised agreement on behalf of the contracted Certification Bodies.The scheme owner, as part of their contractual arrangements with certification bodies, shall ensure that direct dialogue between the Scheme Owner and the Accreditation Body takes place in the event that a Certification Body has had its accreditation withdrawn or suspended.3.3.3 The scheme owner shall ensure that all activities resulting in the issuing of certificates are delivered by Certification Bodies, which are accredited by Accreditation Bodies that are members of the International Accreditation Forum (IAF) in compliance with ISO/IEC Guide 65 or ISO/IEC 17021:2006 (supplemented by ISO/TC 22003) and are signatories to the Multilateral Recognition Arrangement (MLA).3.3.4 The scheme owner shall ensure that the scope of accreditation of a Certification Body shall be precisely defined in terms of the category of application reference (e.g. product categories or services) of the conforming food safety scheme, including revision numbers and / or dates and is publicly available. Certification Bodies undertaking audits against food safety schemes, which have been found to be in compliance with this document, must have the named scheme included in their scope of accreditation. 3.3.5 Under certain circumstances, the Certification Body may have an application for extension of their scope pending with an Accreditation Body. They must, however, have a current accreditation to ISO/IEC Guide 65 or ISO/IEC 17021 (supplemented by ISO/TC 22003). Written notification of such a circumstance from the Certification Body must be held and acknowledged by the scheme owner.
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3.3.6 The range of certification services offered by a Certification Body may be wider than those accredited. In this case the scheme owner shall ensure that the limits and scope of the accreditation shall be made clear by the Certification Body and publicly available. Any ambiguity in relation to the scope of services offered by the Certification Body for a scheme shall be resolved by the scheme owner in consultation with the Certification Body concerned. Services that are outside the scope of the accreditation shall be distinguished from those that are accredited.
3.3.7 Certification Bodies that are seeking accreditation for the scope of a scheme shall be accredited within one year from the date of application to an Accreditation Body. In the event that accreditation is not granted within this period the scheme owner shall ensure that the Certification Body contract shall be terminated and potential actions reviewed.
3.3.8 The scheme owner shall have in place an auditor registration system for every scheme specific auditor employed by a Certification Body. The details of the auditor’s qualifications, training, experience and scope of activity in relation to the scheme’s product categorisation shall be held and maintained within this register. The scheme owner will register approved auditors and shall ensure that the Certification Body has a system to update the auditors’ details, where appropriate.
3.3.9 The scheme owner shall have in place a risk based system of auditor competence assessment, which may consist of examinations, review of performance by documentation review or witnessed audits.
3.3.10 The scheme owner will have a system in place to ensure that Certification Bodies notify the scheme owner of changes to ownership, management personnel and management structure or constitution in a timely manner. Where the scheme owner is aware of any possible conflict or problems, which could result in bringing their scheme or GFSI into disrepute, the scheme owner and the Certification Body shall agree on appropriate action.
3.3.11 The scheme owner shall have in place procedures to ensure a Certification Body notifies them of any withdrawal or suspension of certification of a supplier.
3.3.12 The scheme owner shall ensure that Certification Bodies shall have in place an agreement with certified organisations to ensure that they are informed of any food safety prosecution, significant regulatory food safety non-conformity or any product recall relating to food safety and that the Certification Bodies have procedures in place to ensure the integrity of certification after notification.
3.3.13 The scheme owners shall ensure that the following criteria are in place:3.3.13.1 The Certification Body shall take all steps required to evaluate conformance with the scheme’s standard and fully comply with other associated requirements of the certification scheme.3.3.13.2 The Certification Body shall operate an effective and fully implemented quality system. The quality system shall be fully documented and used by all relevant Certification Body staff. Within the Certification Body there shall be a designated member of staff responsible for the quality system’s development, implementation and maintenance. This designated member of staff will have a reporting role to the organisation’s executive and shall also have the responsibility for reporting on the performance of the quality system for the purposes of management review and subsequent system improvement.3.3.13.3 The required quality system shall be fully documented in a quality manual, which, in turn, will contain all necessary procedures for compliance. As a minimum, the quality manual shall contain:I. A quality policy statement,II. A description of the legal status of the organisation, including ownership and an organisational structure including named individuals, their job titles and the description of their responsibilities. The organisational structure shall include a chart listing each job title and how these functions interrelate through a management structure,
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III. A list of named individuals employed by the organisation, which includes their qualifications and full details of their experience,IV. A description of the management of the certification process including its committee structure, terms of reference and procedures.V. Details of management review policy and procedures,VI. Procedures in relation to documentation control,VII. Details of operational and functional responsibilities pertaining to quality and defining individual limits of responsibility and accountability,VIII. Recruitment procedures; i.e. selection, initial training, ongoing training and performance assessment for all relevant Certification Body personnel,IX. A list of all subcontractors and a detailed procedure for their appointment, assessment and their ongoing management,X. Procedures for actions in response to non conformities and the effectiveness of agreed corrective and preventative actions taken,XI. Procedures in relation to the use of the certificate and, in the event of a requirement to withdraw or suspend certification, the actions taken by the Certification Body,XII. Policies and procedures relating to appeals, complaints and disputes,XIII. Procedures for conducting internal audits and for corrective actions arising from internal audits.3.3.13.4 In the event of significant changes, which could affect the safety of product, changes to the requirement of the certification scheme standard, changes of ownership or management of the supplier or if the Certification Body has reason to believe there could be compliance issues in relation to certification, the Certification Body shall re‐evaluate the supplier(s) to assess compliance with the certification scheme standard.3.3.13.5 The Certification Body shall at all times make available the following information:I. Authority under which the organisation operates,II. A statement in relation to its certification system, including information on rules and procedures for granting, maintaining, extending, suspending and withdrawing certification of its clients,III. Evaluation procedures and certification processes in relation to the certification scheme,IV. Details of the means of obtaining financial support and fees charged to clients,V. Details of the rights and requirements of applicants and clients such as the use of logos and marks and the way in which a client can use information in relation to certification,VI. Details of complaints, appeals and disputes procedures,VII. A comprehensive list of all clients certificated against the scope of the certification scheme’s standard.3.3.13.6 The Certification Body shall require all staff involved with the certification process to sign a contract or agreement, which clearly commits them to:I. Complying with the rules of the organisation with particular reference to confidentiality and independence from commercial or personal interests,II. Declaring any issues in relation to personal conflicts of interest.The Certification Body shall clearly document and make known to its employees all requirements of ISO/IEC Guide 65 or ISO/IEC17021 relating to personnel.3.3.13.7 The Certification Body shall hold and maintain records regarding the qualifications, training and
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experience of all staff involved in the certification process. All records shall be dated. The information shall include, as a minimum:I. Name and address,II. Organisational affiliation and position held,III. Educational qualification and professional status,IV. Experience and training in the relevant fields of competence in relation to the certification scheme’s requirements,V. Details of performance appraisal(s).
3.4 Certification Body Personnel Competence3.4.1 Certification Body Personnel Competence - General
3.4.1.1 The Certification Body shall employ personnel who have the competence requirements to meet all management, administrative, technical and auditing functions within the organisation. 3.4.1.2 The Certification Body shall maintain up to date personnel records, including relevant qualifications, training, experience, affiliations, professional status, competence and any relevant consultancy services that may have been provided. This includes management and administrative personnel, in addition to those performing technical and auditing activities. The Certification Body shall be mindful of and act upon any issues relating to conflict of interest that may affect personnel performance or impartiality.
3.4.2 Auditor Competence - Qualifications, Training, Experience and Personal Attributes3.4.2.1 Independently of the scope of accreditation, the Certification Body shall have systems and procedures in place to ensure that auditors conducting assessments meet the capabilities described in ISO 19011, ISO 17021, ISO/IEC Guide 65 and ISO 22003 with specific regard to requirements specified by GFSI recognised schemes and all requirements listed in Part II Sections 3.4.2 to 3.4.10.3.4.2.2 The scheme owner shall have in place a clearly defined category of application reference (e.g. product or service) for which Certification Bodies can apply for a scope of accreditation. The auditors employed by the Certification Body shall be able to demonstrate competence in these categories of application. Where a Certification Body applies for a new or an extension to the scope of activity in relation to a category of reference, the scheme owner shall ensure that there is a procedure in place to verify the competence of the auditors of the Certification Body (reference Part II Section 3.4.7).
3.4.3 Qualification/Education3.4.3.1 The scheme owner shall clearly define the qualifications and education of auditors as being in accordance with the requirements specified in Part II Annex 3.
3.4.4 Total Work Experience3.4.4.1 5 years full time experience in the food or associated industry including at least 2 years work in quality assurance or food safety functions in food production or manufacturing, retailing, inspection or enforcement or the equivalent (Reference Part II Annex 3).This period may be reduced to a total of 2 years experience if the competence of the auditor is assessed by an examination designed and delivered by the scheme owner.The examination content shall, as a minimum, cover:► General knowledge of the scheme,► Knowledge of relevant legislative requirements,► Knowledge and understanding of specific food processes,► Understanding of quality assurance, quality / food safety management and HACCP principles.
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3.4.5 Formal Auditor Training3.4.5.1 A formal auditor training programme shall be in place:► Auditors shall have successfully completed recognised training in auditing techniques based on QMS or FSMS – duration 1 week / 40hours or equivalent,► Auditors shall have successfully completed a training course in HACCP based on the principles of Codex Alimentarius and demonstrate competence in the understanding and application of HACCP principles – minimum duration 2 days or equivalent.► Auditors shall have successfully completed training in the scheme being delivered, to the satisfaction of the scheme owners.
3.4.6 Initial Training3.4.6.1 The training programme for each auditor will incorporate:► an assessment of knowledge and skills for each product category in which the auditor will be expected to be working,► an assessment of knowledge of food safety, HACCP, Pre-Requisite Programmes and the ability to access and be able to apply relevant laws and regulations,► a period of supervised training to cover the assessment of quality / food safety management systems and HACCP, specific audit techniques and specific category knowledge,► a documented sign off of the satisfactory completion of the training programme by the appointed competent supervisor.
3.4.7 Audit Experience3.4.7.1 Auditing Skills AssessmentAuditors will be assessed on their performance in a combination of 10 audit days and 5 audits in accordance with the Certification Body’s written programme and as a pre-requisite to meeting applicable requirements of the GFSI recognised scheme.3.4.7.2 Maintain Audit ExperienceThe Certification Body shall have in place an annual programme, which shall include at least 5 on site audits at different organisations against the relevant GFSI approved standard to maintain category and scheme knowledge.
3.4.8 Extension of Scope3.4.8.1 In order to extend scope, an auditor must undergo a programme of training in the new category, conduct supervised audits and must be assessed and signed off as competent by the Certification Body to conduct audits in the new category.
3.4.9 Continuous Professional DevelopmentThe auditor shall keep up to date with category best practice, food safety and technological developments and have access to and be able to apply relevant laws and regulations and shall maintain written records of all relevant training undertaken.
3.4.10 Personal Attributes and Desired BehaviourThe Certification Body shall have a system in place to ensure auditors conduct themselves in a professional manner. The following includes examples of required personal attributes and behaviour:► Ethical; i.e. fair, truthful, sincere, honest and discreet,► Open minded; i.e. willing to consider alternative ideas or points of view,► Diplomatic; i.e. tactful in dealing with people,► Observant; i.e. actually aware of physical surroundings and activities,
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► Perceptive; i.e. instinctive, aware of and able to understand situations,► Versatile; i.e. adjusts readily to different situations,► Tenacious; i.e. persistent, focussed on achieving objectives,► Decisive; i.e. timely conclusions based on logical reasoning,► Self-reliant; i.e. acts independently whilst interacting effectively with others,► Integrity; i.e. aware of need for confidentiality and observes professional code of conduct.
3.5 Audit Frequency and Duration3.5.1 The scheme owner shall have a clearly defined and documented audit frequency programme, which shall ensure a minimum audit frequency of one audit per year of an organisation’s facility and has the scope to assess all elements of the scheme’s standard.The audit frequency programme shall define the frequency of audit for each product category covered by the scope of the scheme. The frequency of audits may be influenced by a number of factors such as previous audit history, concerns about compliance with a scheme’s standard, seasonality of product, significant capacity increases, structural changes, changes in product technology or changes in product type. The scheme owner must clearly define the rationale for the determination of frequency within the scheme.
3.5.2 Irrespective of the defined minimum audit frequency, the Certification Body shall undertake additional surveillance audits in the event that there is evidence or suspicion of non conformity within an organisation.
3.5.3 Some schemes may have a scope, which includes the growing or production of seasonal products and, therefore, will require some limited flexibility of audit frequency to allow effective auditing of seasonal products. These variations to audit frequency shall be clearly defined.
3.5.4 The scheme owner shall clearly define the expected duration of audits and the rationale for the determination of the duration of the audit; it is expected that the duration of an on-site audit to be typically 2 days for the manufacture of processed products and 1 day for primary production, in order to effectively assess an organisation’s systems and premises in accordance to the scheme’s standard and provide confidence in the certification process. There shall be in place clear criteria, which specify the justification for deviation from these typical durations.The rationale shall include criteria that will ensure effectiveness of the audit such as the level and depth of assessment of management systems and GAP/GMP/GDP requirements and premises / systems assessment (e.g. product lines, products and product categories).
3.5.5 The scheme owner shall have in place monitoring procedures to ensure that contracted Certification Bodies comply with the defined audit duration criteria and that appropriate actions are taken in the event that a Certification Body does not meet the defined requirements.
3.6 Audit Reporting3.6.1 The scheme owner shall have in place a clearly defined system for the generation and issue of audit reports.
3.6.2 Where scoring, ranking and grading systems are applied these shall be clearly explained by the scheme owner and publicly available.
3.6.3 The audit report shall, in all cases, incorporate details of the duration of the audit and this information shall be monitored by the scheme owner.
3.6.4 The audit report shall include sufficient detail to ensure that it clearly expresses where the site is in compliance, or not in compliance, with the scheme’s standard requirements. In the case where non conformity is identified by the auditor, clear and concise details of the non conformity shall be provided in the audit report.
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PART IIPART II
3.6.5 The scheme owner shall ensure appropriate confidentiality is in place and that the audit report is only released at the discretion of the contracted client. Ownership of the audit report, determination of details made available and authorisation for access shall remain with the contracted client.
3.7 The Management of Certification 3.7.1 The scheme owner shall have in place a clearly defined system for the granting, suspension and withdrawal of certification services by Certification Bodies for the scope of their scheme.
3.7.2 Irrespective of the system of the granting of certification, all non conforming organisations shall have corrective action plans and evidence of implementation submitted for the Certification Body to verify that the organisation fully meets the requirement of the scheme’s standard. Verification of the corrective action plan by a Certification Body shall take the form of further on-site assessment or the scrutiny of submitted documentation including updated procedures, records and photographs assessed by a technically competent member or group within the Certification Body. All evidence of corrective action shall be returned, completed and verified by the Certification Body, within a timescale defined with the scheme owner, before certification can be awarded.
3.7.3 The scheme owner’s system for granting the approval of certification services by Certification Bodies for the scope of their scheme shall include the requirement that each assessment report is given a thorough technical review prior to granting, suspending, withdrawing or renewing certification. For the review process to be effective it shall ensure that:► reviewers are impartial and technically capable of understanding the content of reports and that the reports
are accurately assessed to demonstrate satisfactory evidence of compliance with the scheme,► all requirements of the standard have been fully covered, using any supporting notes made during the
assessment by a suitably qualified auditor,► the scope of the report covers the scope applied for by the organisation and that the report provides
satisfactory evidence that all areas of the scope have been fully investigated,► all areas of non conformity have been identified and effective corrective action has been taken to resolve
these non conformities.
3.7.4 The Certification Body shall have in place a clearly defined and publicly available appeals procedure.
3.7.5 The scheme owner shall have in place a certificate template, which specifies the information required to be included on a certificate.
3.8 Data Management 3.8.1 The scheme owner shall have in place a clearly defined data management system, which will hold and maintain data for the effective management and operation of the scheme.
3.8.2 The data management system shall incorporate data in relation to the requirements of the GFSI Guidance Document.
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PART II
ANNEX 1GFSI Scope of Recognition
Sixth Edition / Version 6.4 / November 201574GFSI Guidance Document - Part II
PART IIPART II
GFSI
Sco
pe o
f Rec
ogni
tion
Th
e GFS
I sec
tor an
d sub
-secto
r sco
pes f
or re
cogn
ition a
re as
follo
ws;
GFSI
Sco
pe o
f Rec
ogni
tion
(B
ench
mar
king
Cat
egor
y Cod
e)Be
nchm
arki
ng C
atego
ry N
ame
Exam
ples
of P
rodu
cts
/ Ser
vice
s an
d m
etho
d of
pro
duct
ion
AIFa
rming
of A
nimals
for M
eat/ M
ilk/ E
ggs/
Hone
yAn
imals
(othe
r tha
n fish
and s
eafoo
d) us
ed fo
r mea
t pro
ducti
on, e
gg pr
oduc
tion,
milk
prod
uctio
n or h
oney
pr
oduc
tion
Grow
ing, k
eepin
g, tra
pping
and h
untin
g (sla
ughte
ring a
t poin
t of h
untin
g)
AII
Farm
ing of
Fish
and S
eafoo
dFis
h and
seafo
od us
ed fo
r mea
t pro
ducti
onGr
owing
, trap
ping a
nd fis
hing (
slaug
hterin
g at p
oint o
f cap
ture)
BIFa
rming
of P
lants
(othe
r tha
n gra
ins an
d puls
es)
Grow
ing or
harve
sting
of pl
ants
(othe
r tha
n gra
ins an
d puls
es) f
or fo
od
BII
Farm
ing of
Gra
ins an
d Puls
esGr
owing
or ha
rvesti
ng of
grain
s and
pulse
s for
food
CAn
imal
Conv
ersio
nLa
irage
, slau
ghter
, evis
cera
tion,
bulk
chilli
ng, b
ulk fr
eezin
g of a
nimals
Guttin
g, bu
lk fre
ezing
of fis
hSt
orag
e of g
ame
DPr
e-pr
oces
s han
dling
of pl
ant p
rodu
cts, n
uts an
d gr
ain
De-sh
elling
of nu
tsDr
ying o
f gra
inGr
ading
of fr
uit an
d veg
etable
sSt
orag
eCl
eanin
g, wa
shing
, rins
ing, fl
uming
, sor
ting,
grad
ing, tr
immi
ng, b
undli
ng, c
oolin
g, hy
dro-
cooli
ng, w
axing
, dr
ench
ing, p
ackin
g, re
-pac
king,
stagin
g, sto
ring,
loadin
g and
/ or a
ny ot
her h
andli
ng ac
tivity
that
does
not
signifi
cantl
y tra
nsfor
m the
prod
uct fr
om its
origi
nal h
arve
sted f
orm.
EIPr
oces
sing o
f per
ishab
le an
imal
prod
ucts
Prod
uctio
n of a
nimal
prod
ucts
includ
ing fis
h and
seafo
odMe
at, eg
gs, d
airy a
nd fis
h pro
ducts
Debo
ning,
cuttin
g, wa
shing
, trim
ming
, gra
ding,
paste
urisa
tion,
cook
ing, c
uring
, ferm
entat
ion, s
mokin
g, ch
illing
, fre
ezing
, pac
ked i
n mod
ified a
tmos
pher
e, pa
cked
in va
cuum
pack
ing
Sixth Edition / Version 6.4 / November 201575GFSI Guidance Document - Part II
PART II
GFSI
Sco
pe o
f Rec
ogni
tion
Th
e GFS
I sec
tor an
d sub
-secto
r sco
pes f
or re
cogn
ition a
re as
follo
ws;
GFSI
Sco
pe o
f Rec
ogni
tion
(B
ench
mar
king
Cate
gory
Cod
e)Be
nchm
arki
ng C
atego
ry N
ame
Exam
ples
of P
rodu
cts
/ Ser
vice
s an
d m
etho
d of
pro
duct
ion
AIFa
rming
of A
nimals
for M
eat/ M
ilk/ E
ggs/
Hone
yAn
imals
(othe
r tha
n fish
and s
eafoo
d) us
ed fo
r mea
t pro
ducti
on, e
gg pr
oduc
tion,
milk
prod
uctio
n or h
oney
pr
oduc
tion
Grow
ing, k
eepin
g, tra
pping
and h
untin
g (sla
ughte
ring a
t poin
t of h
untin
g)
AII
Farm
ing of
Fish
and S
eafoo
dFis
h and
seafo
od us
ed fo
r mea
t pro
ducti
onGr
owing
, trap
ping a
nd fis
hing (
slaug
hterin
g at p
oint o
f cap
ture)
BIFa
rming
of P
lants
(othe
r tha
n gra
ins an
d puls
es)
Grow
ing or
harve
sting
of pl
ants
(othe
r tha
n gra
ins an
d puls
es) f
or fo
od
BII
Farm
ing of
Gra
ins an
d Puls
esGr
owing
or ha
rvesti
ng of
grain
s and
pulse
s for
food
CAn
imal
Conv
ersio
nLa
irage
, slau
ghter
, evis
cera
tion,
bulk
chilli
ng, b
ulk fr
eezin
g of a
nimals
Guttin
g, bu
lk fre
ezing
of fis
hSt
orag
e of g
ame
DPr
e-pr
oces
s han
dling
of pl
ant p
rodu
cts, n
uts an
d gr
ain
De-sh
elling
of nu
tsDr
ying o
f gra
inGr
ading
of fr
uit an
d veg
etable
sSt
orag
eCl
eanin
g, wa
shing
, rins
ing, fl
uming
, sor
ting,
grad
ing, tr
immi
ng, b
undli
ng, c
oolin
g, hy
dro-
cooli
ng, w
axing
, dr
ench
ing, p
ackin
g, re
-pac
king,
stagin
g, sto
ring,
loadin
g and
/ or a
ny ot
her h
andli
ng ac
tivity
that
does
not
signifi
cantl
y tra
nsfor
m the
prod
uct fr
om its
origi
nal h
arve
sted f
orm.
EIPr
oces
sing o
f per
ishab
le an
imal
prod
ucts
Prod
uctio
n of a
nimal
prod
ucts
includ
ing fis
h and
seafo
odMe
at, eg
gs, d
airy a
nd fis
h pro
ducts
Debo
ning,
cuttin
g, wa
shing
, trim
ming
, gra
ding,
paste
urisa
tion,
cook
ing, c
uring
, ferm
entat
ion, s
mokin
g, ch
illing
, fre
ezing
, pac
ked i
n mod
ified a
tmos
pher
e, pa
cked
in va
cuum
pack
ing
EII
Proc
essin
g of p
erish
able
plant
prod
ucts
Prod
uctio
n of p
lant p
rodu
cts (
includ
ing gr
ains,
nuts,
and p
ulses
)W
ashin
g, sli
cing,
dicing
, cutt
ing, s
hred
ding,
peeli
ng, g
radin
g, pa
steur
isatio
n, co
oking
, chil
ling,
juicin
g, pr
essin
g, fre
ezing
, pac
ked i
n mod
ified a
tmos
pher
e, pa
cked
in va
cuum
pack
ing or
any o
ther a
ctivit
y tha
t sign
ifican
tly
trans
forms
the p
rodu
ct fro
m its
origi
nal w
hole
state
EIII
Proc
essin
g of p
erish
able
anim
al an
d plan
t pr
oduc
ts(mi
xed p
rodu
cts)
Prod
uctio
n of a
nimal
and p
lant p
rodu
ctsMi
xing,
cook
ing, c
hillin
g, fre
ezing
, pac
ked i
n mod
ified a
tmos
pher
e, pa
cked
in va
cuum
pack
ing
EIV
Proc
essin
g of a
mbien
t stab
le pr
oduc
ts
Prod
uctio
n of fo
od pr
oduc
ts fro
m an
y sou
rce th
at ar
e stor
ed an
d sold
at am
bient
tempe
ratur
eAs
eptic
fillin
g, ba
king,
bottli
ng, b
rewi
ng, c
annin
g, co
oking
, dist
illing
, dryi
ng, e
xtrus
ion, fe
rmen
tation
, free
ze
dryin
g, pr
essin
g, fry
ing, h
ot fill
ing, ir
radia
ting,
millin
g, mi
xing a
nd bl
endin
g, pa
cked
in m
odifie
d atm
osph
ere,
pack
ed in
vacu
um pa
cking
, pas
teuris
ing, p
icklin
g, ro
astin
g, sa
lting a
nd re
fining
FPr
oduc
tion o
f feed
Prod
uctio
n of fe
ed fr
om a
single
or m
ixed f
ood s
ource
Dryin
g, co
oking
, milli
ng, m
ixing
, blen
ding a
nd ex
trusio
n
GCa
tering
Prod
uctio
n of fo
od pr
oduc
ts fro
m an
y sou
rce fo
r con
sump
tion o
utside
the h
ome
Cook
ing, m
ixing
and b
lendin
g, pr
epar
ation
of co
mpon
ent p
rodu
cts
HRe
tail /
Who
lesale
Prov
ision
of fin
ished
food
and f
eed p
rodu
cts to
a cu
stome
rRe
tailin
g and
who
lesali
ng of
food
and f
eed
IPr
ovisi
on of
Foo
d Safe
ty Se
rvice
s
Supp
ly of
servi
ces r
elated
to th
e safe
prod
uctio
n of fo
od an
d fee
dW
ater S
upply
Pest
Contr
olCl
eanin
g Ser
vices
Test
Labo
rator
ies
JPr
ovisi
on of
Stor
age a
nd D
istrib
ution
Ser
vices
Stor
age f
acilit
ies fo
r foo
d and
feed
Distr
ibutio
n veh
icles
for f
ood a
nd fe
ed
GFSI
Sco
pe o
f Rec
ogni
tion
(B
ench
mar
king
Cate
gory
Cod
e)Be
nchm
arki
ng C
ateg
ory N
ame
Exam
ples
of P
rodu
cts
/ Ser
vice
s an
d m
etho
d of
pro
duct
ion
Sixth Edition / Version 6.4 / November 201576GFSI Guidance Document - Part II
PART IIPART II
GFSI
Sco
pe o
f Rec
ogni
tion
(B
ench
mar
king
Cate
gory
Cod
e)Be
nchm
arki
ng C
ateg
ory N
ame
Exam
ples
of P
rodu
cts
/ Ser
vice
s an
d m
etho
d of
pro
duct
ion
KMa
nufac
ture o
f Foo
d Pro
cess
ing E
quipm
ent
Prod
uctio
n of fo
od an
d fee
d pro
cess
ing eq
uipme
nt
LPr
oduc
tion o
f (Bi
o) C
hemi
cals
(Add
itives
, Vi
tamins
, Mine
rals,
Bio-
cultu
res,
Flavo
uring
s ,
Enzy
mes a
nd P
roce
ssing
aids
)
Prod
uctio
n of fo
od an
d fee
d add
itives
, vita
mins
, mine
rals,
bio-
cultu
res,
flavo
uring
s, en
zyme
s and
pr
oces
sing a
ids
MPr
oduc
tion o
f Foo
d Pac
kagin
gPr
oduc
tion o
f food
and f
eed p
acka
ging,
pack
aging
mate
rials,
pack
aging
comp
onen
ts in
the fo
rm of
raw
mater
ials,
part
proc
esse
d, se
mi co
nver
ted, c
onve
rted o
r full
y finis
hed p
acka
ging m
ateria
ls an
d pro
ducts
for u
se
in the
supp
ly ch
ain.
NFo
od B
roke
r / A
gent
The s
upply
of fin
ished
food
and f
eed p
rodu
cts
Sixth Edition / Version 6.4 / November 201577GFSI Guidance Document - Part II
PART II
ANNEX 2GFSI Requirements for the
Application of ISO/IEC 17011:2004
Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies
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PART II
IntroductionThe Consumer Goods Forum (CGF) is a global, parity-based industry network, driven by its members. It brings together the CEOs and senior management of over 650 retailers, manufacturers, service providers and other stakeholders across 70 countries and reflects the diversity of the industry in geography, size, product category and format. Forum member companies have combined sales of EUR 2.1 trillion.The Forum provides a unique global platform for knowledge exchange and initiatives around five strategic priorities – Emerging Trends, Sustainability, Safety & Health, Operational Excellence and Knowledge Sharing & People Development – which are central to the advancement of today’s consumer goods industry.The Global Food Safety Initiative (GFSI), co-ordinated by the Consumer Goods Forum, was launched in May 2000. The GFSI Board is made up of members drawn from major retailer, manufacturer and food service operators. They provide the strategic direction and oversee the daily management of the Global Food Safety Initiative. The GFSI Mission is to provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide.The GFSI Objectives are to:► Reduce food safety risks by delivering equivalence and convergence between effective food safety
management systems► Manage cost in the global food system by eliminating redundancy and improving operational efficiency► Develop competencies and capacity building in food safety to create consistent and effective global food
systems► Provide a unique international stakeholder platform for collaboration, knowledge exchange and networkingThe GFSI Foundation Board also provides governance to the GFSI Technical Working Groups, an international multi-stakeholder group of over 90 food safety experts. The GFSI Technical Working Groups work on specific selected projects throughout the year, approved by the GFSI Foundation Board, in order to fulfil the GFSI Mission; these have included projects such as auditor competence, food defence and technical issues relating to emerging and developing markets.In 2008 the GFSI Foundation Board formed the GFSI Accreditation Task Force whose purpose is to:► agree on common areas of concern in relation to the accreditation process, by undertaking a review of
current documents from GFSI benchmarked schemes regarding the relationship between Certification Bodies and Accreditation Bodies, in order to identify and define common requirements and individual requirements,
► gather and collate information from GFSI benchmarked scheme owners on any operational issues regarding the accreditation process and seek their agreement to act on their behalf regarding the development of common requirements,
► review the agreed common requirements identified against ISO/IEC17011 and put forward areas where ISO/IEC 17011 can be more specific in relation to the requirements of GFSI recognised schemes,
► develop and agree on a Requirements document defining common requirements for Accreditation Bodies in relation to ISO/IEC 17011 and GFSI recognised schemes,
► use the agreed Requirements document as the basis for discussion with the International Accreditation Forum and European Accreditation, with a view to gaining recognition of the document by these organisations,
► agree on implementation criteria for the proposed Requirements documents allowing GFSI to act on behalf of the Accreditation Task Force and GFSI recognised standard owners,
► undertake the review of the progress of the development and implementation of the Requirements documents and advise the GFSI Foundation Board accordingly.
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PART IIPART II
The Purpose of the GFSI Requirements for the Application of ISO /IEC 17011ISO/IEC 17011:2004 is an International Standard, which sets out criteria for conformity assessment for Accreditation Bodies accrediting conformity assessment bodies. There are no specific requirements in relation to those Accreditation Bodies carrying out assessment of conformity assessment bodies working with food safety schemes.Since 2000 GFSI has worked closely with a number of major stakeholders in the food industry in an attempt to harmonise processes related to food safety schemes and has benchmarked and recognised four post-farm gate schemes. Over a period of time each of these schemes has developed their own set of criteria in relation to the accreditation process, which has lead to a diversity of requirements; this, in turn, has lead to complexity of process, increased cost and a lack of clarity. It is believed that with the implementation of this document as part of the GFSI Guidance Document there will be significant benefits for GFSI recognised scheme owners, Accreditation Bodies and Certification Bodies.The GFSI Accreditation Task Force was formed in February 2008 with the objective of facilitating dialogue between GFSI recognised scheme owners and other interested parties in order to harmonise their approach and minimise the effects that the diversification of requirements has caused.This document is the culmination of work undertaken by GFSI and the four GFSI recognised scheme owners in 2008 and 2009 to specify harmonised requirements in relation to the accreditation of conformity assessment bodies carrying out product certification to the GFSI recognised schemes.The document has been entitled ‘Requirements’ to reflect the fact that this document is not regarded as being notes for guidance and will be the subject of further work with GFSI and the GFSI recognised scheme owners to ensure compliance with the specified requirements by those Accreditation Bodies working with GFSI recognised schemes. The document has been developed to enhance the robustness of the accreditation process in relation to GFSI recognised schemes and it must be stressed that its use relates only to the requirements of GFSI recognised schemes. The document has not been developed to revise or amend confidentiality arrangements, which may exist between scheme owners, Certification Bodies and Accreditation Bodies; however, it is meant to promote communication and co-operation between these parties, when consumer health or the integrity of certification has been compromised.The term ‘shall’ is used in the document to indicate those provisions, which are regarded as being mandatory. There are requirements within the document, which are specific with respect to parameters of assessment; these shall be regarded as minimum requirements and do not preclude Accreditation Bodies carrying out additional activities in the event that they would wish to, or deem it appropriate to do so. GFSI wishes to continue to work closely with IAF and its members in a spirit of co-operation to ensure the implementation of these requirements, which will provide enhanced confidence regarding the accreditation of conformity assessment bodies working within the food industry.
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PART II
Content of ISO/IEC 17011
1 Scope2 Normative references3 Terms and definitions4 Accreditation body4.1 Legal responsibility4.2 Structure
GFSI Requirements to clause 4.2.4GFSI Requirements to clause 4.2.6
4.3 Impartiality4.4 Confidentiality
GFSI Requirements to clause 4.4
4.5 Liability and financing4.6 Accreditation activity
GFSI Requirements to clause 4.6.1GFSI Requirements to clause 4.6.2
5 Management 5.1 General 5.2 Management system
GFSI Requirements to clause 5.2.1
5.3 Document control5.4 Records
GFSI Requirements to clause 5.4.2
5.5 Non conformities and corrective actions 5.6 Preventive actions5.7 Internal audits
GFSI Requirements to clause 5.7.2
5.8 Management reviews5.9 Complaints
GFSI Requirements to clause 5.9
6 Human resources 6.1 Personnel associated with the accreditation body6.2 Personnel involved in the accreditation process
GFSI Requirements to clause 6.2.1GFSI Requirements to clause 6.2.3
6.3 Monitoring6.4 Personnel records
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PART IIPART II
7 Accreditation process7.1 Accreditation criteria and information7.2 Application for accreditation
GFSI Requirements to clause 7.2.1GFSI Requirements to clause 7.2.3
7.3 Resource review7.4 Subcontracting the assessment
GFSI Requirements to clause 7.4.1
7.5 Preparation for assessment GFSI Requirements to clause 7.5.6GFSI Requirements to clause 7.5.8GFSI Requirements to clause 7.5.10
7.6 Document and record reviewGFSI Requirements to clause 7.6.1
7.7 On-site assessmentGFSI Requirements to clause 7.7.2GFSI Requirements to clause 7.7.3
7.8 Analysis of findings and assessment report7.9 Decision making and granting accreditation
GFSI Requirements to clause 7.9.3GFSI Requirements to clause 7.9.5
7.10 Appeals 7.11 Reassessment and surveillance
GFSI Requirements to clause 7.11.3GFSI Requirements to clause 7.11.5GFSI Requirements to clause 7.11.6GFSI Requirements to clause 7.11.7
7.12 Extending accreditationGFSI Requirements to clause 7.12
7.13 Suspending, withdrawing or reducing accreditationGFSI Requirements to clause 7.13.2GFSI Requirements to clause 7.13.3
7.14 Records on CAB’s7.15 Proficiency testing and other comparisons for laboratories8 Responsibilities of the accreditation body and the CAB8.1 Obligations of the CAB
GFSI Requirements to clause 8.1.2
8.2 Obligations of the accreditation bodyGFSI Requirements to clause 8.2.3GFSI Requirements to clause 8.2.4
8.3 Reference to accreditation and use of symbolsGFSI Requirements to clause 8.3.2GFSI Requirements to clause 8.3.3
Additional Requirements to ISO 17011
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PART II
Requirements for the Application of ISO/IEC 17011:2004Conformity assessment - General requirements for the accreditation bodies accrediting conformity assessment bodies
1 ScopeNo additional requirements
2 Normative ReferencesNo additional requirements
3 Terms and definitionsNo additional requirements
4 Accreditation bodyNo additional requirements
4.1 Legal responsibility No additional requirements
4.2 StructureGFSI Requirements to clause 4.2.4The Accreditation Body shall appoint a responsible person within their organisation with authority for GFSI food schemes.GFSI Requirements to clause 4.2.6Where there are issues or queries arising during the accreditation process, the Accreditation Body shall consult directly with the GFSI recognised scheme owner’s representatives.
4.3 ImpartialityNo additional requirements
4.4 Confidentiality GFSI Requirements to clause 4.4The Accreditation Body shall share information regarding scheme specific issues with the appropriate representative of each GFSI recognised scheme owner. This information shall be shared as soon as practicable and the accreditation body shall be responsible for follow up of the corrective actions in the case of complaints and major non conformities.The list of information to be shared, which is not exhaustive, shall include:► accreditation status,(suspension, withdrawal, scope reduction or expiry of accreditation),► complaints that could jeopardise the accreditation status,► major non conformities (a major non conformity is defined as a non conformity, which has the potential to impact on the validity of a certificate or of certificates issued,► annual activity summary, which shall be made available to the GFSI recognised scheme owners indicating, as a minimum: ► General assessment details, ► Head office assessment: date, location, critical location assessments, numbers of site and auditor files reviewed, Accreditation Body’s assessors names, duration, general conclusions, ► Witness assessment: location, date, field, Accreditation Body assessor, duration, general conclusions, ► CAB name and conclusion of reports - Accreditation Status.
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PART IIPART II
The annual activity summary shall be in a standardised format as agreed by GFSI (see appendix). There shall be an agreement regarding confidentiality between the AB and the GFSI recognised standards owners. This agreement shall specify that the information shared shall be made known to all GFSI recognised scheme owners, but shall remain confidential from any other party. There shall also be an agreement between the individual CAB’s and the GFSI recognised scheme owners.
4.5 Liability and financingNo additional requirements
4.6 Accreditation activityGFSI Requirements to clause 4.6.1Normative documents shall include all documentation relevant to a GFSI recognised scheme and shall be issued by a GFSI recognised scheme owner.GFSI Requirements to clause 4.6.2These GFSI requirements shall be included as part of this process.
5 ManagementNo additional requirements
5.1 GeneralNo additional requirements
5.2 Management systemGFSI Requirements to clause 5.2.1With respect to effective communication, communication channels with interested parties shall be in place and include GFSI and GFSI recognised scheme owners.
5.3 Document controlNo additional requirements
5.4 RecordsGFSI Requirements to clause 5.4.2Records shall be maintained and accessible for a minimum period of 5 years.
5.5 Non conformities and corrective actionsNo additional requirements
5.6 Preventative actionsNo additional requirements
5.7 Internal auditsGFSI Requirements to clause 5.7.2The internal audit shall include accreditation activities in relation to GFSI recognised schemes.
5.8 Management reviewsNo additional requirements
5.9 ComplaintsGFSI Requirements to clause 5.9All complaints associated with any GFSI Scheme shall be investigated and dealt with, as far as possible, within 30 days of receipt. If any complaint puts GFSI recognised scheme certificates / approvals at risk, then the GFSI scheme owner shall be informed immediately and appropriate action taken by the Accreditation Body.
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PART II
6 Human ResourcesNo additional requirements
6.1 Personnel associated with the accreditation bodyNo additional requirements
6.2 Personnel involved in the accreditation processGFSI Requirements to clause 6.2.1All AB personnel engaged in GFSI recognised scheme accreditation activity shall have sufficient knowledge of each relevant GFSI recognised scheme, the related normative documents and the food industry. The AB shall ensure that the assessment team undertaking witness activities includes personnel who have completed training in the relevant GFSI scheme, successfully completed a HACCP training course and includes an individual with a minimum of two years experience in the food industry sector.The assessment team carrying out office assessments shall include personnel who have specific knowledge of the relevant GFSI schemes being assessed and of the related normative documents. Training in the GFSI recognised scheme shall be recognised by the respective scheme owners. GFSI Requirements to clause 6.2.3The Accreditation Body shall document information regarding assessors and experts in accordance with the GFSI requirements in section 6.2.1.
6.3 MonitoringNo additional requirements
6.4 Personnel recordsNo additional requirements
7 Accreditation processNo additional requirements
7.1 Accreditation criteria and informationNo additional requirements
7.2 Application for accreditationGFSI Requirements to clause 7.2.1The Certification Body shall demonstrate that it has made appropriate contact with the scheme owner during the application procedure.GFSI Requirements to clause 7.2.3The AB shall inform a GFSI scheme owner when an application is made to accredit against a GFSI recognised scheme.
7.3 Resource reviewNo additional requirements
7.4 Subcontracting the assessmentGFSI Requirements to clause 7.4.1 If the AB subcontracts an assessment, the assessment shall be carried out in accordance with this document and the individual GFSI scheme owner’s requirements. The subcontracted AB shall be a signatory to the IAF MLA for Product Certification and the assessor shall fulfil the competence requirements outlined in this document. Where additional formal agreements exist (e.g. IAF GD 3 Cross Frontier Policy) there shall be compliance with these agreements. The AB using subcontractors shall review compliance with these requirements.
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PART IIPART II
7.5 Preparing for assessmentGFSI Requirements to clause 7.5.8 During surveillance and reassessments the following documentation shall be sampled and assessed, as a minimum:1. Sample of at least 10 % or 2 auditor files, whichever is greater, for each GFSI scheme,2. Sample of at least 2 site files, for each GFSI scheme or 2 % of delivered audits, whichever is greater, for each GFSI scheme,3. Sampling of site files shall be risk based and should be done across country (region), product category and assessor.4. The site file assessments shall include a review of:► Contracts between the CAB and the client,► Confirmation of audit scope and duration,► Auditor’s original notes from audit and evidence of compliance,► Documentary evidence supplied by the client for the non conformities identified,► Final audit report,► Certification Decision and Certificate Conformity.Sampling levels shall be increased where evidence of issues is identified during the assessment in order to establish whether the certification body is meeting accreditation requirements. Where objective evidence or complaints are identified between planned surveillance and reassessments, accreditation bodies shall carry out additional assessments.GFSI Requirements to clause 7.5.10The AB shall ensure that the GFSI recognised standard owner’s documentation is included. The AB shall request, through direct communication with the GFSI recognised standard owner, any feedback or relevant information concerning the CAB in advance of the assessment.The AB shall take into account during the assessment any feedback or relevant information concerning the CAB sent by a GFSI recognised scheme owner. The AB must verify during the assessment that these complaints have been dealt with effectively and any corrective actions put in place.**‘Appropriate criteria documents’ referred to in ISO/IEC 17011 shall include the certification body criteria established by the GFSI recognised scheme owner.
7.6 Document and record reviewGFSI Requirements to clause 7.6.1The GFSI requirements specified in relation to clauses 7.7.2 shall apply in addition to those required under clauses 7.2.1 and 7.2.2.
7.7 On-site assessmentGFSI Requirements for clause 7.7.2During the initial assessment against the scope of any GFSI recognised scheme (i.e. an extension to scope, see 7.12), the following documentation shall be sampled and assessed:1. Sample of at least 1 auditor file for the GFSI scheme,2. Sample of at least 1 site file for the GFSI scheme,3. Sampling of site files should be done across country (region), product category and assessor. 4. The site file assessment shall include a review of: ► Contracts between CAB and client,
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PART II
► Confirmation of audit scope and duration, ► Auditor’s original notes from audit and evidence of compliance,► Documentary evidence supplied by the client for the non-conformities identified, ► Final audit report, ► Certification Decision and Certificate Conformity.5. Evaluation and verification of the effectiveness of the CAB’s processes for assessment of auditor competence.GFSI Requirements to clause 7.7.3At least one assessment of the CAB shall be witnessed for initial accreditation for each GFSI recognised scheme. In the event that the CAB wishes to increase its scope with respect to product category this level of sampling shall be increased.If CAB’s have more than 20 auditors, then witness assessments shall be carried out at a rate of at least 1 witness assessment per 20 auditors per year, auditing against any of the GFSI recognised schemes. Where international CAB’s have geographical spread then the % of witness audits will be proportional to the geographic spread (e.g. 30% overseas means that 1 in 3 witnessed audits will be performed overseas). The witness assessment programme shall be designed to ensure that different auditors and different product categories are assessed at subsequent witnessed assessments.
7.8 Analysis of findings and assessment report No additional requirements
7.9 Decision making and granting accreditationGFSI Requirements to clause 7.9.3If the AB subcontracts an assessment, the assessment shall be carried out in accordance with this document and the individual GFSI scheme owner’s requirements. The subcontracted AB shall be a signatory to the IAF MLA for Product Certification and the assessor shall fulfil the competence requirements outlined in this document. Where additional formal agreements exist (e.g. IAF GD 3 Cross Frontier Policy) there shall be compliance with these agreements. The AB using subcontractors shall review compliance with these requirements.GFSI Requirements to clause 7.9.5The accreditation certificate or schedule shall include the full name and version of the GFSI recognised scheme and the GFSI recognised scheme’s designated product categories for which it is approved.
7.10 AppealsNo additional requirements
7.11 Reassessment and surveillanceGFSI Requirements to clause 7.11.3► Head office shall have an assessment on an annual basis,► At least 1 witness assessment per year shall be conducted by the AB for each CAB. All GFSI recognised schemes will be witnessed in a 5 year cycle.► If CAB’s have more than 20 auditors then witness assessments shall be carried out at a rate of at least 1 witness assessment per 20 auditors per year, auditing against any of the GFSI recognised schemes. Where international CAB’s have geographical spread then the % of witness audits will be proportional to the geographic spread (e.g. 30 % overseas means that 1 in 3 witnessed audits will be performed overseas). The witness assessment programme shall be designed to ensure that different auditors and different product categories are assessed at subsequent witnessed assessments.► Reassessment shall be undertaken at least every four years.
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PART IIPART II
GFSI Requirements to clause 7.11.5The AB shall inform the GFSI scheme owner about any major non conformities. (Ref. clause 4.4; a major non conformity is defined as a non conformity that has the potential to impact on the validity of a certificate or of certificates issue).GFSI Requirements to clause 7.11.6The AB shall inform the GFSI scheme owner if accreditation is suspended, withdrawn or expired or if scope is reduced.GFSI Requirements to clause 7.11.7When informed of the identification of issues in a particular market, which could bring the credibility of the certification process into disrepute, the AB shall take any appropriate action including conducting an extraordinary assessment if necessary.
7.12 Extending accreditationGFSI Requirement to clause 7.12Upon an application to extend a scope to include a new GFSI recognised scheme under an accreditation standard the CAB is already accredited for, a full (i.e. on-site and witness assessments) extension assessment shall be undertaken for every GFSI recognised scheme. Upon an application to extend a scope to include a new GFSI recognised scheme under an accreditation standard the CAB is not already accredited for, a full (i.e. on-site and witness assessments) initial assessment shall be undertaken for every GFSI recognised scheme. In the event that the CAB wishes to increase its scope of activity with respect to product category as defined by GFSI recognised scheme owners, the accreditation body shall, as a minimum, undertake an adequate check of documentary evidence to ensure that the requirements of the GFSI recognised standards are in place.
7.13 Suspending, withdrawing or reducing accreditationGFSI Requirements to clause 7.13.2If the GFSI recognised scheme owner’s requirements are not met the GFSI scheme owner will inform the AB. The AB shall undertake an investigation of the issues raised by the GFSI recognised scheme owner and shall take appropriate action (e.g. to suspend or withdraw accreditation).GFSI Requirements to clause 7.13.3If the GFSI recognised scheme owner’s requirements are not met, the GFSI scheme owner will inform the AB. The AB shall undertake an investigation of the issues raised by the GFSI recognised scheme owner, who shall take appropriate action (i.e. the decision to reduce the scope of accreditation).
7.14 Records of CAB’sNo additional requirements
7.15 Proficiency testing and other comparisons for laboratoriesNo additional requirements
8 Responsibilities of the accreditation body and the CABNo additional requirements
8.1 Obligations of the CABGFSI Requirements to clause 8.1.2 (f)In the event that a GFSI recognised scheme owner suspends or withdraws recognition for a CAB or reduces scope, the scheme owner shall also inform the AB in addition to the notification by the CAB.
8.2 Obligations of the accreditation bodyGFSI Requirements to clause 8.2.3The AB shall provide this information, where applicable, to GFSI recognised scheme owners.
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PART II
GFSI Requirements to clause 8.2.4In the event of changes or revisions to a GFSI recognised standard, the AB shall collaborate and communicate with the scheme owner to identify the appropriate review process of the CAB and to ensure that the CAB is aware of and meets the additional / changed requirements in relation to accreditation.
8.3 Reference to accreditation and use of symbols GFSI Requirements to clause 8.3.2The AB shall verify that 8.3.2, points (a-f), are applied in connection with the usage of the GFSI recognised schemes.GFSI Requirements to clause 8.3.3The AB shall verify that 8.3.2, points (a-f), are applied in connection with the usage of the GFSI recognised schemes and appropriate action taken in the event of incorrect or misleading claims in relation to the use of such information and accreditation status .Additional Requirements to ISO 170111. Activity SummaryAn annual activity summary shall be made available to GFSI for all recognised schemes, indicating as a minimum: ► General assessment details, ► Head office assessment: date, location, critical location assessments, numbers of site and auditor files reviewed, Accreditation Body’s assessors names, duration, general conclusions, ► Witness assessment: location, date, field, Accreditation Body’s assessor, duration, general conclusions, ► CAB name and conclusion of reports - Accreditation Status.2. Signatories to MLAAB’s wishing to work with the GFSI requirements to ISO 17011 shall be required to be signatories to the IAF MLA with Management system certification and / or Product certification in scope.
Sixth Edition / Version 6.4 / November 201591GFSI Guidance Document - Part II
PART II
ANNEX 3Auditor Competence - Qualifications, Training and Experience
Sixth Edition / Version 6.4 / November 201593GFSI Guidance Document - Part II
PART II
Audi
tor C
ompe
tence
- Qu
alifi
catio
ns, T
rain
ing
and
Expe
rienc
e Th
e GFS
I sec
tor an
d sub
-secto
r sco
pes f
or re
cogn
ition a
nd th
e ass
ociat
ed co
mpete
nce o
f aud
itors
are a
s foll
ows:
GFSI
Sco
pe o
f Rec
ogni
tion
(Ben
chm
arki
ng C
ateg
ory C
ode)
Benc
hmar
king
Cate
gory
Nam
eSe
ctor S
pecifi
c Aud
itor Q
ualifi
catio
n an
d Ed
ucati
onEx
ampl
es o
f Sec
tor S
peci
fic W
ork
Expe
rienc
e in
rela
tion
to
prod
uct c
ateg
orie
s
AIFa
rming
of A
nimals
for M
eat/ M
ilk /
Eggs
/ Hon
ey
A de
gree
in a
food r
elated
or bi
o-sc
ience
disc
ipline
or, a
s a m
inimu
m,
has s
ucce
ssful
ly co
mplet
ed a
food r
elated
or bi
o-sc
ience
high
er
educ
ation
cour
se or
equiv
alent.
Expe
rienc
e is r
equir
ed of
farm
ing in
the f
ollow
ing se
ctors;
·►
Catt
le ►
She
ep, g
oats
► P
igs
► P
oultry
►
Bee
s ►
Gam
e ►
Hun
ting
AII
Farm
ing of
Fish
and S
eafoo
d
A de
gree
in a
food r
elated
or bi
o-sc
ience
disc
ipline
or, a
s a m
inimu
m,
has s
ucce
ssful
ly co
mplet
ed a
food r
elated
or bi
o-sc
ience
high
er
educ
ation
cour
se or
equiv
alent.
Expe
rienc
e is r
equir
ed of
farm
ing in
the f
ollow
ing se
ctors;
·►
Fish
Aqu
acult
ure
► S
eafoo
d Aqu
acult
ure·
►
Fish
ing
BIFa
rming
of P
lants
(othe
r tha
n gra
ins
and p
ulses
)
Educ
ation
in an
agric
ultur
al / c
rop
base
d disc
ipline
or, a
s a m
inimu
m,
has s
ucce
ssful
ly co
mplet
ed a
food r
elated
or bi
o-sc
ience
high
er
educ
ation
cour
se or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
resh
fruit
and v
egeta
ble fa
rming
secto
rs;►
Fru
it ►
Veg
etable
s ►
Her
bs an
d Spic
es
► G
rass
es (S
ugar
)
BII
Farm
ing of
Gra
ins an
d Puls
es
Educ
ation
in an
agric
ultur
al / c
rop
base
d disc
ipline
or, a
s a m
inimu
m,
has s
ucce
ssful
ly co
mplet
ed a
food r
elated
or bi
o-sc
ience
high
er
educ
ation
cour
se or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
resh
plan
t farm
ing se
ctors;
► G
rains
and c
erea
ls ►
Nuts
►
Puls
es an
d leg
umes
► B
ever
age p
lants
Sixth Edition / Version 6.4 / November 201594GFSI Guidance Document - Part II
PART IIPART II
GFSI
Sco
pe o
f Rec
ogni
tion
(Ben
chm
arki
ng C
ateg
ory C
ode)
Benc
hmar
king
Cat
egor
y Nam
eSe
ctor S
pecifi
c Aud
itor Q
ualifi
catio
n an
d Ed
ucati
onEx
ampl
es o
f Sec
tor S
peci
fic W
ork
Expe
rienc
e in
rela
tion
to
prod
uct c
ateg
orie
s
CAn
imal
Conv
ersio
n
A de
gree
in a
food r
elated
or bi
o-sc
ience
dis
ciplin
e or, a
s a m
inimu
m, ha
s suc
cess
fully
comp
leted
a foo
d rela
ted or
bio-
scien
ce
highe
r edu
catio
n cou
rse or
equiv
alent.
Expe
rienc
e is r
equir
ed of
farm
ing in
the f
ollow
ing se
ctors;
► C
attle
► S
heep
, goa
ts
► P
igs►
Pou
ltry►
Fish
► B
ees
► G
ame
DPr
e-pr
oces
s han
dling
of pl
ant
prod
ucts,
nuts
and g
rains
Educ
ation
in an
agric
ultur
al /cr
op ba
sed
discip
line o
r, as a
mini
mum,
has s
ucce
ssful
ly co
mplet
ed a
food r
elated
or bi
o-sc
ience
hig
her e
duca
tion c
ourse
or eq
uivale
nt.
Crop
base
d exp
erien
ce su
ch as
the f
armi
ng an
d han
dling
of;
► G
rains
and c
erea
ls ►
Nuts
►
Puls
es an
d leg
umes
►
Bev
erag
e plan
ts
EIPr
oces
sing o
f per
ishab
le an
imal
prod
ucts
A de
gree
in a
food r
elated
or bi
o-sc
ience
dis
ciplin
e or, a
s a m
inimu
m, ha
s suc
cess
fully
comp
leted
a foo
d rela
ted or
bio-
scien
ce
highe
r edu
catio
n cou
rse or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing fo
od in
dustr
y sec
tors;
► R
ed M
eat P
roce
ssing
►
Pou
ltry P
roce
ssing
►
Fish
Pro
cess
ing
► S
eafoo
d Pro
cess
ing
► M
eat P
rodu
ct Pr
oces
sing
► F
ish P
rodu
ct Pr
oces
sing
► D
airy T
echn
ology
►
Egg
Pro
cess
ing
EII
Proc
essin
g of p
erish
able
plant
pr
oduc
ts
A de
gree
in a
food r
elated
or bi
o-sc
ience
dis
ciplin
e or, a
s a m
inimu
m, ha
s suc
cess
fully
comp
leted
a foo
d rela
ted or
bio-
scien
ce
highe
r edu
catio
n cou
rse or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing fo
od in
dustr
y sec
tors;
► F
ruit a
nd ve
getab
le pr
oces
sing
EIII
Proc
essin
g of p
erish
able
anim
al an
d pla
nt pr
oduc
ts(mi
xed p
rodu
cts)
A de
gree
in a
food r
elated
or bi
o-sc
ience
dis
ciplin
e or, a
s a m
inimu
m, ha
s suc
cess
fully
comp
leted
a foo
d rela
ted or
bio-
scien
ce
highe
r edu
catio
n cou
rse or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing fo
od in
dustr
y sec
tors;
► M
eat P
rodu
ct Pr
oces
sing
► F
ish P
rodu
ct Pr
oces
sing
► D
airy T
echn
ology
►
Rea
dy to
Eat
Food
Pro
cess
ing
Sixth Edition / Version 6.4 / November 201595GFSI Guidance Document - Part II
PART II
GFSI
Sco
pe o
f Rec
ogni
tion
(Ben
chm
arkin
g Ca
tegor
y Co
de)
Benc
hmar
king
Cat
egor
y Nam
eSe
ctor S
pecifi
c Aud
itor Q
ualifi
catio
n an
d Ed
ucati
onEx
ampl
es o
f Sec
tor S
peci
fic W
ork
Expe
rienc
e in
rela
tion
to p
rodu
ct
cate
gorie
s
EIV
Proc
essin
g of a
mbien
t stab
le pr
oduc
ts
A de
gree
in a
food r
elated
or bi
o-sc
ience
dis
ciplin
e or, a
s a m
inimu
m, ha
s suc
cess
fully
comp
leted
a foo
d rela
ted or
bio-
scien
ce
highe
r edu
catio
n cou
rse or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing fo
od in
dustr
y sec
tors;
► T
herm
al Pr
oces
sing
► B
aking
Tech
nolog
y ►
Dair
y Tec
hnolo
gy
► B
rewi
ng Te
chno
logy
► E
xtrus
ion Te
chno
logy
► V
egeta
ble an
d Anim
al Fa
ts an
d Oils
►
Sug
ar re
fining
►
Bev
erag
e pro
ducti
on
► A
lcoho
lic dr
ink pr
oduc
tion
► D
rink p
rodu
ction
FPr
oduc
tion o
f feed
► P
ost-s
econ
dary
educ
ation
in re
lated
field
or eq
uivale
nt by
expe
rienc
e.►
Com
pleted
indu
stry r
ecog
nised
HAC
CP
traini
ng.
► T
raine
d on t
he se
ctor s
pecifi
c risk
as
sess
ments
.►
Wor
k exp
erien
ce or
train
ing in
the f
eed
and/
or fo
od se
ctor, a
nd ex
perie
nce i
n qua
lity
mana
geme
nt en
viron
ment
in the
feed
/food
se
ctor.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing fe
ed in
dustr
y sec
tors:
► C
ompo
und F
eed P
rodu
ction
► P
lant P
rotei
n Pro
cess
ing►
Ren
derin
g Tec
hnolo
gy►
Fer
menta
tion T
echn
ology
► D
ry mi
lling T
echn
ology
► W
et Mi
lling T
echn
ology
► E
xtrus
ion Te
chno
logy
► D
airy P
roce
ssing
Tech
nolog
y►
Veg
etable
and A
nimal
Fats
and O
ils P
roce
ssing
GCa
tering
HRe
tail /
Who
lesale
IPr
ovisi
on of
Foo
d Safe
ty Se
rvice
s
Sixth Edition / Version 6.4 / November 201596GFSI Guidance Document - Part II
PART IIPART II
GFSI
Sco
pe o
f Rec
ogni
tion
(Ben
chm
arki
ng C
ateg
ory C
ode)
Benc
hmar
king
Cat
egor
y Nam
eSe
ctor S
pecifi
c Aud
itor Q
ualifi
catio
n an
d Ed
ucati
onEx
ampl
es o
f Sec
tor S
peci
fic W
ork
Expe
rienc
e in
rela
tion
to
prod
uct c
ateg
orie
s
JPr
ovisi
on of
Stor
age
and D
istrib
ution
Se
rvice
s
A de
gree
in a
food r
elated
or bi
o-sc
ience
dis
ciplin
e or, a
s a m
inimu
m, ha
s suc
cess
fully
comp
leted
a foo
d rela
ted or
bio-
scien
ce
highe
r edu
catio
n cou
rse or
equiv
alent.
Co
mplet
ed in
dustr
y rec
ognis
ed H
ACCP
tra
ining
.Tr
ained
on th
e sec
tor sp
ecific
risk
asse
ssme
nts.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing in
dustr
y sec
tors:
► P
erish
able
food a
nd fe
ed st
orag
e and
distr
ibutio
n ►
Non
-per
ishab
le foo
d and
feed
stor
age a
nd di
stribu
tion
KMa
nufac
ture o
f Foo
d Pro
cess
ing
Equip
ment
L
Prod
uctio
n of (
Bio)
Che
mica
ls (A
dditiv
es, V
itami
ns, M
inera
ls, B
io-cu
lture
s, Fla
vour
ings,
Enzy
mes a
nd
Proc
essin
g aids
)
A de
gree
in a
food r
elated
, bio-
scien
ce or
ch
emica
l eng
ineer
ing di
scipl
ine or
, as a
mi
nimum
, has
succ
essfu
lly co
mplet
ed a
food r
elated
or bi
o-sc
ience
high
er ed
ucati
on
cour
se or
equiv
alent.
Expe
rienc
e is r
equir
ed in
the f
ollow
ing in
dustr
y sec
tors;
► F
erme
ntatio
n Tec
hnolo
gy
► C
hemi
cal E
ngine
ering
►
Bioc
hemi
cal E
ngine
ering
MPr
oduc
tion o
f Foo
d Pac
kagin
g
A pr
imar
y qua
lifica
tion,
a deg
ree o
r high
er
certifi
cate
in pa
ckag
ing te
chno
logy a
nd a
relev
ant c
ertifi
cate
reco
gnise
d by t
he sc
heme
ow
ner in
food
tech
nolog
y, foo
d hyg
iene
or re
lated
scien
ce su
bject
OR a
prim
ary
quali
ficati
on in
food
tech
nolog
y, foo
d safe
ty/hy
giene
or re
lated
scien
ce su
bject
and a
ce
rtifica
te in
pack
aging
tech
nolog
y tha
t is
reco
gnise
d by t
he sc
heme
owne
r.
Expe
rienc
e is
requ
ired i
n the
spec
ific se
ctors
of pa
ckag
ing m
anufa
cture
► P
lastic
s►
Pap
er an
d boa
rd►
Meta
l►
Glas
s
NFo
od B
roke
r / A
gent
The Technical Equivalence Process for Governm
ent Owned Certification Schem
es
Version 6.4
The Technical Equivalence Process for Government Owned
Certification Schemes
PART III
The Technical Equivalence Process for Government Owned Certification SchemesThe Technical Equivalence of government owned certification schemes is an acknowledgment of the equivalence of the content of the certification scheme to the relevant scope of GFSI Key Elements (Part IV). It is different from GFSI recognition for non-governmental certification schemes, which also includes assessment of the scheme’s governance and operational management. Technical Equivalence objectively assesses a government owned certification scheme against the requirements of the Key Elements. Technical Equivalence is limited to government owned food safety schemes. The assessment is undertaken by an Expert Team appointed by the GFSI Board. The Expert Team conducts a documented gap analysis of the government’s scheme and supporting documents against the Key Elements to submit a recommendation to the GFSI Board for review and decision.
Sixth Edition / Version 6.4 / November 201599GFSI Guidance Document - Overview
PART IIIThe Technical Equivalence
Process for Government Owned
Certification Schemes
PART IV
Version 6.4
SCHEME SCOPE AND KEY ELEMENTS
CONTENTSIntroduction ................................................................................................. 101Section 1 - Food and Feed Safety Management Requirements ..................................... 103Table I – Food Safety Management Requirements ................................................... 103Scopes of Recognition AI, AII, BI, BII, C, D, EI, EII EIII, EIIV and LTable II – Food Safety Management Requirements ................................................... 106Additional Specific Requirements AITable III – Food Safety Management Requirements .................................................. 107Additional Specific Requirements AIITable IV – Food Safety Management Requirements ................................................. 108Additional Specific Requirements BI and BIITable V – Food Safety Management Requirements ................................................... 108Additional Specific Requirements CTable VI – Food Safety Management Requirements .................................................. 109Additional Specific Requirements D, EI, EII, EIII, EIV and LTable VII – Feed Safety Management Requirements ................................................. 109Scope of Recognition FTable VIII – Food and Feed Safety Management Requirements ................................... 113Scope of Recognition JTable IX – Food Safety Management Requirements .................................................. 116Scope of Recognition MSection 2 - Good Industry Sector Practice Requirements ........................................... 119Table I – Good Agricultural Practice .................................................................... 119Requirements AITable II – Good Aquacultural Practice .................................................................. 124Requirements AIITable III – Good Agricultural Practice ................................................................... 128Requirements BITable IV – Good Agricultural Practice ................................................................... 132Requirements BIITable V – Good Manufacturing Practice ................................................................ 136Requirements CTable VI – Good Manufacturing Practice ............................................................... 138Requirements D
Sixth Edition / Version 6.4 / November 2015103GFSI Guidance Document - Part IV
PART IV
Sixth Edition / Version 6.4 / November 2015104GFSI Guidance Document - Part IV
PART IV
Table VII – Good Manufacturing Practice .............................................................. 140Requirements EI, EII EIII, EIIV and LTable VIII – Good Manufacturing Practice ............................................................. 143Requirements FTable IX – Good Distribution Practice .................................................................. 145Requirements JTable X – Good Manufacturing Practice ................................................................ 147Requirements MSection 3 - HACCP or Hazard Based Requirements .................................................. 150Table I – HACCP ............................................................................................ 150Requirements AI, AII, BI and BIITable II – HACCP ........................................................................................... 150Requirements C and DTable III – HACCP .......................................................................................... 151Requirements EI, EII, EIII, EIV and LTable IV – HACCP .......................................................................................... 151Requirements FTable V – HACCP ........................................................................................... 152Requirements JTable VI – HACCP .......................................................................................... 152Requirements MSection 4 - Certification of Multi-Site Organisations based on Sampling ........................ 153
Sixth Edition / Version 6.4 / November 2015105GFSI Guidance Document - Part IV
PART IV
IntroductionThis section is the fourth part of the Guidance Document, which has been developed and published by the Global Food Safety Initiative (GFSI) to specify the requirements for the recognition of food safety schemes.The objective of Part lV is to define:► the requirements for the food safety management systems to be in place in the scheme’s standard for each
GFSI scope of recognition,► the requirements for the Good Practice requirements to be in place in the scheme’s standard for each GFSI
scope of recognition,► the requirements for HACCP or HACCP based requirements to be in place in the scheme’s standard for
each GFSI scope of recognition► the requirements for the acceptance of certification of multi-site based on samplingGFSI has worked closely with food industry experts to clearly define the requirements that shall be in place to provide food safety assurance in specific sectors of the food industry and for organisations providing services to the food industry. Although the principles are the same, these requirements differ from sector to sector of the food supply chain.
AIFarming of
Animals
AIIFarming of
Fish
BIFarming of
Plants
BIIFarming of Grains & Pulses
C Animal
Conversion
D Pre Processing
handling of Plant Products
L Production of (Bio) Chemicals
EI Processing of
Animal Perishable Products
EII Processing of
Plant Perishable Products
EIII Processing of
Animal and Plant Perishable Products
(Mixed Products)
EIV Processing of
Ambient Stable Products
G Catering
H Retail
Wholesale
J The Provision of Storage and Distribution Services
I The Provision of Food Safety Services
K Processing Equipment Manufacture
M Production of Food Packaging
N Food Broker / Agent
F
Production of Feed
Pet Food
Sixth Edition / Version 6.4 / November 2015106GFSI Guidance Document - Part IV
PART IV
A scheme’s standard and other guidance shall provide sufficient detail to ensure that the GFSI requirements in the following tables are met and that, within the benchmarking process, objective evidence of compliance can be found. The requirements for individual scheme standards must be independently developed, based on industry practice and shall not be a direct copy of the GFSI requirements.The following sections and tables identify the GFSI requirements for specific scopes. Scheme applicants must ensure that all requirements are considered for all scopes included in the application. This will include requirements from more than one table.Section 1: Food and Feed Safety Management Requirements
Table I: Food Safety Management Requirements – Scopes of Recognition AI, AII, BI, BII, C, D, EI, EII EIII, EIIV and LTable II: Food Safety Management Requirements – Additional Specific Requirements AITable III: Food Safety Management Requirements – Additional Specific Requirements AIITable IV: Food Safety Management Requirements – Additional Specific Requirements BI and BIITable V: Food Safety Management Requirements – Additional Specific Requirements CTable VI: Food Safety Management Requirements – Additional Specific Requirements D, EI, EII, EIII, EIV and LTable VII: Feed Safety Management Requirements – Scope of Recognition F Table VIII: Food and Feed Safety Management Requirements – Scope of Recognition JTable IX: Food and Feed Safety Management Requirements – Scope of Recognition MSection 2: Good Industry Sector Practice Requirements
Table I: Good Agricultural Practice Requirements AITable II: Good Aquacultural Practice Requirements AIITable III: Good Agricultural Practice Requirements BITable IV: Good Agricultural Practice Requirements BIITable V: Good Manufacturing Practice Requirements CTable VI: Good Manufacturing Practice Requirements DTable VII: Good Manufacturing Practice Requirements EI, EII EIII, EIIV and LTable VIII: Good Manufacturing Practice Requirements FTable IX: Good Distribution Practice Requirements J Table X: Good Manufacturing Practice Requirements MSection 3: HACCP or Hazard Based Requirements
Table I: HACCP Requirements AI, AII, BI and BIITable II: HACCP Requirements C and DTable III: HACCP Requirements EI, EII, EIII, EIV and LTable IV: HACCP Requirements F Table V: HACCP Requirements JTable VI: HACCP Requirements MSection 4: Certification of Multi-site Organisations Based on Sampling
4.1 General 4.2 Scope of Recognition BI and BII4.3 Scope of Recognition J
Sixth Edition / Version 6.4 / November 2015107GFSI Guidance Document - Part IV
PART IV
Tabl
e I –
Foo
d Sa
fety M
anag
emen
t Req
uire
men
ts
Scop
es o
f Rec
ogni
tion
AI, A
II, B
I, BI
I, C,
D, E
I, EI
I EIII
, EIIV
and
L
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
1Fo
od sa
fety m
anag
emen
t gen
eral
requ
ireme
nts
The s
tanda
rd sh
all re
quire
that
the el
emen
ts of
the or
ganis
ation
’s Fo
od S
afety
Mana
geme
nt Sy
stem
be do
cume
nted,
imple
mente
d, ma
intain
ed an
d con
tinua
lly im
prov
ed. T
he fo
od sa
fety m
anag
emen
t sys
tem sh
all:
a) id
entify
the p
roce
sses
need
ed fo
r the
food
safet
y man
agem
ent s
ystem
,b)
deter
mine
the s
eque
nce a
nd in
terac
tion o
f thes
e pro
cess
es,
c) de
termi
ne th
e crite
ria an
d meth
ods r
equir
ed to
ensu
re th
e effe
ctive
oper
ation
and c
ontro
l of th
ese p
roce
sses
,d)
ensu
re th
e ava
ilabil
ity of
infor
matio
n nec
essa
ry to
supp
ort th
e ope
ratio
n and
mon
itorin
g of th
ese p
roce
sses
,e)
mea
sure
, mon
itor a
nd an
alyse
thes
e pro
cess
es an
d imp
lemen
t acti
ons n
eces
sary
to ac
hieve
plan
ned r
esult
s and
conti
nuou
s im
prov
emen
t.
FSM
2Fo
od sa
fety p
olicy
The s
tanda
rd sh
all re
quire
the o
rgan
isatio
n has
a cle
ar, co
ncise
and d
ocum
ented
food
safet
y poli
cy st
ateme
nt an
d obje
ctive
s spe
cifyin
g the
ex
tent o
f the o
rgan
isatio
n’s co
mmitm
ent to
mee
t the s
afety
need
s of it
s pro
ducts
.
FSM
3Fo
od sa
fety m
anua
lTh
e stan
dard
shall
requ
ire th
e org
anisa
tion
has a
Foo
d Safe
ty Ma
nual
or do
cume
nted s
ystem
havin
g a sc
ope a
ppro
priat
e to t
he ra
nge
of bu
sines
s acti
vities
to be
cove
red,
includ
ing do
cume
nted p
roce
dure
s or s
pecifi
c refe
renc
e to t
hem
and d
escri
bing t
he in
terac
tion o
f the
relat
ed pr
oces
s step
s.
FSM
4Ma
nage
ment
resp
onsib
ility
The s
tanda
rd sh
all re
quire
that
the su
pplie
r es
tablis
h a cl
ear o
rgan
isatio
nal s
tructu
re, w
hich u
namb
iguou
sly de
fines
and d
ocum
ents
the jo
b fun
ction
s, re
spon
sibilit
ies an
d rep
ortin
g rela
tions
hips o
f at le
ast th
ose s
taff w
hose
activ
ities a
ffect
food s
afety.
FSM
5Ma
nage
ment
comm
itmen
tTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on’s
senio
r man
agem
ent p
rovid
e evid
ence
of th
eir co
mmitm
ent to
estab
lish,
imple
ment,
ma
intain
and i
mpro
ve th
e foo
d safe
ty sy
stem.
FSM
6Ma
nage
ment
revie
w
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t rev
iew th
e ver
ificati
on of
the f
ood s
afety
syste
m, H
ACCP
Plan
or
HACC
P ba
sed p
lans,
at pla
nned
inter
vals,
to en
sure
their
conti
nuing
suita
bility
, ade
quac
y and
effec
tiven
ess.
The H
ACCP
Plan
shall
also
be
revie
wed i
n the
even
t of a
ny ch
ange
that
impa
cts fo
od sa
fety.
Suc
h a re
view
shall
evalu
ate th
e nee
d for
chan
ges t
o the
food
safet
y sys
tem,
includ
ing th
e foo
d safe
ty po
licy a
nd fo
od sa
fety o
bjecti
ves.
SECT
ION
1FO
OD A
ND F
EED
SAFE
TY M
ANAG
EMEN
T RE
QUIR
EMEN
TS
Sixth Edition / Version 6.4 / November 2015108GFSI Guidance Document - Part IV
PART IV
FSM
7Re
sour
ce m
anag
emen
tTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on’s
senio
r man
agem
ent d
eterm
ine an
d pro
vide,
in a t
imely
man
ner, a
ll the
reso
urce
s nee
ded
to im
pleme
nt, m
aintai
n and
impr
ove t
he fo
od sa
fety s
ystem
.
FSM
8Ge
nera
l doc
umen
tation
requ
ireme
ntsTh
e stan
dard
shall
requ
ire th
at do
cume
ntatio
n pro
cedu
res a
re in
plac
e to d
emon
strate
comp
lianc
e with
the s
tanda
rd an
d ens
ure t
hat a
ll re
cord
s req
uired
to de
mons
trate
the ef
fectiv
e ope
ratio
n and
contr
ol of
its pr
oces
ses a
nd its
man
agem
ent o
f food
safet
y are
secu
rely
store
d for
a tim
e per
iod re
quire
d to m
eet c
ustom
er or
lega
l requ
ireme
nts, e
ffecti
vely
contr
olled
and r
eadil
y acc
essib
le wh
en ne
eded
.
FSM
9Sp
ecifie
d req
uirem
ents
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
ensu
re th
at, fo
r all i
nputs
to th
e pro
cess
, item
s and
servi
ces (
includ
ing ut
ilities
, tran
spor
t and
ma
inten
ance
) tha
t are
purch
ased
or pr
ovide
d and
have
an ef
fect o
n pro
duct
safet
y, do
cume
nted s
pecifi
catio
ns ar
e pre
pare
d, ma
intain
ed,
secu
rely
store
d and
read
ily ac
cess
ible w
hen n
eede
d. Th
e stan
dard
shall
requ
ire th
at a s
pecifi
catio
n rev
iew pr
oces
s is i
n plac
e.
FSM
10
Proc
edur
esTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain d
etaile
d pro
cedu
res a
nd in
struc
tions
for a
ll pro
cess
es
and o
pera
tions
havin
g an e
ffect
on fo
od sa
fety.
FSM
11
Inter
nal a
udit
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
n inte
rnal
audit
syste
m in
place
to co
ver t
he sc
ope o
f the f
ood s
afety
syste
m, in
cludin
g the
HAC
CP P
lan or
the H
ACCP
base
d plan
.
FSM
12
Corre
ctive
actio
nTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
s pro
cedu
res f
or th
e dete
rmina
tion a
nd im
pleme
ntatio
n of c
orre
ctive
actio
n in t
he ev
ent o
f an
y sign
ifican
t non
confo
rmity
relat
ing to
food
safet
y.
FSM
13
Contr
ol of
non c
onfor
mity
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has e
ffecti
ve pr
oces
ses i
n plac
e to e
nsur
e tha
t any
prod
uct, w
hich d
oes n
ot co
nform
to
food s
afety
requ
ireme
nts, is
clea
rly id
entifi
ed an
d con
trolle
d to p
reve
nt un
inten
ded u
se or
deliv
ery.
Thes
e acti
vities
shall
be de
fined
in a
docu
mente
d pro
cedu
re th
at is
secu
rely
store
d and
read
ily ac
cess
ible w
hen n
eede
d.
FSM
14
Prod
uct r
eleas
eTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on pr
epar
e and
imple
ment
appr
opria
te pr
oduc
t rele
ase p
roce
dure
s.
FSM
15
Purch
asing
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
contr
ol pu
rchas
ing pr
oces
ses t
o ens
ure t
hat a
ll exte
rnall
y sou
rced m
ateria
ls an
d ser
vices
, wh
ich ha
ve an
effec
t on f
ood s
afety,
confo
rm to
requ
ireme
nts. W
here
an or
ganis
ation
choo
ses t
o outs
ource
any p
roce
ss th
at ma
y hav
e an
effec
t on f
ood s
afety,
the o
rgan
isatio
n sha
ll ens
ure c
ontro
l ove
r suc
h pro
cess
es. C
ontro
l of s
uch o
utsou
rced p
roce
sses
shall
be id
entifi
ed
and d
ocum
ented
with
in the
food
safet
y sys
tem.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015109GFSI Guidance Document - Part IV
PART IV
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
16
Supp
lier p
erfor
manc
eTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain p
roce
dure
s for
the e
valua
tion,
appr
oval
and c
ontin
ued
monit
oring
of su
pplie
rs, w
hich h
ave a
n effe
ct on
food
safet
y. Th
e res
ults o
f eva
luatio
ns, in
vesti
gatio
ns an
d foll
ow up
actio
ns sh
all be
re
cord
ed.
FSM
17
Outso
urcin
gTh
e stan
dard
shall
requ
ire th
at, w
here
an or
ganis
ation
choo
ses t
o outs
ource
any p
roce
ss th
at ma
y affe
ct foo
d safe
ty, th
e org
anisa
tion s
hall
ensu
re co
ntrol
over
such
proc
esse
s. Co
ntrol
of su
ch ou
tsour
ced p
roce
sses
shall
be id
entifi
ed, d
ocum
ented
and m
onito
red w
ithin
the fo
od
safet
y man
agem
ent s
ystem
.
FSM
18
Comp
laint
hand
ling
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n an e
ffecti
ve sy
stem
for th
e man
agem
ent o
f com
plaint
s an
d com
plaint
data
to co
ntrol
and c
orre
ct sh
ortco
ming
s in f
ood s
afety.
FSM
19
Serio
us in
ciden
t man
agem
ent
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n an e
ffecti
ve in
ciden
t man
agem
ent p
roce
dure
, whic
h is
regu
larly
tested
for a
ll pro
ducts
it su
pplie
s and
cove
rs pla
nning
for p
rodu
ct wi
thdra
wal a
nd pr
oduc
t rec
all as
requ
ired.
FSM
20
Contr
ol of
meas
uring
and m
onito
ring
devic
es
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
iden
tify th
e mea
sure
ment
of pa
rame
ters c
ritica
l to en
sure
food
safet
y, the
mea
surin
g an
d mon
itorin
g dev
ices r
equir
ed an
d meth
ods t
o ass
ure t
hat th
e cali
brati
on of
thes
e mea
surin
g and
mon
itorin
g dev
ices i
s tra
ceab
le to
a re
cogn
ised s
tanda
rd.
FSM
21
Food
defen
ceTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
s a do
cume
nted r
isk as
sess
ment
proc
edur
e in p
lace t
o add
ress
food
defen
ce ris
ks an
d es
tablis
h, im
pleme
nt an
d main
tain a
syste
m to
redu
ce or
elim
inate
the id
entifi
ed ris
ks. T
he sy
stem
shall
cove
r Goo
d Agr
icultu
ral P
racti
ces o
r Go
od M
anufa
cturin
g Pra
ctice
s and
shall
be su
ppor
ted by
the f
ood s
afety
syste
m.
FSM
22
Prod
uct la
bellin
gTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on en
sure
that
all pr
oduc
t bea
rs inf
orma
tion t
o ena
ble th
e safe
hand
ling,
displa
y, sto
rage
and
prep
arati
on an
d use
of th
e pro
duct
withi
n the
food
supp
ly ch
ain or
by th
e con
sume
r.
Sixth Edition / Version 6.4 / November 2015110GFSI Guidance Document - Part IV
PART IV
Tabl
e II
– Fo
od S
afety
Man
agem
ent R
equi
rem
ents
Addi
tiona
l Spe
cific
Requ
irem
ents
AI
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
AI 8
.1Ge
nera
l doc
umen
tation
requ
ireme
ntsTh
e stan
dard
shall
ensu
re th
at the
orga
nisati
on ke
ep co
mpre
hens
ive liv
ing st
ock r
ecor
ds. T
he re
cord
will
detai
l cur
rent
living
stoc
k on t
he
farm,
an ov
ervie
w of
rece
nt liv
ing st
ock t
rans
actio
ns an
d the
rece
nt los
s situ
ation
with
in a p
opula
tion o
r livin
g stoc
k pro
ducti
on un
it.
FSM
AI 9
.1Sp
ecifie
d req
uirem
ents
The s
tanda
rd sh
all en
sure
that
the or
ganis
ation
be ab
le to
clear
ly ide
ntify
living
stoc
k (an
d the
reco
rds a
ssoc
iated
with
that
living
stoc
k) tha
t ha
s bee
n tre
ated w
ith ve
terina
ry me
dicine
s and
are w
ithin
the m
anufa
cture
r’s re
comm
ende
d wait
ing pe
riod f
or th
at co
urse
of tr
eatm
ent.
FSM
AI 1
5.1
Purch
asing
The s
tanda
rd sh
all en
sure
that
the or
ganis
ation
has i
n plac
e spe
cific p
olicie
s for
the p
rocu
reme
nt of
feed f
rom
appr
oved
, cer
tified
sour
ces.
FSM
AI 1
5.2
Purch
asing
The s
tanda
rd sh
all en
sure
that
the or
ganis
ation
has i
n plac
e spe
cific p
olicie
s for
the p
rocu
reme
nt of
appr
oved
veter
inary
medic
ines.
FSM
AI 1
9.1
Serio
us in
ciden
t man
agem
ent
The s
tanda
rd sh
all en
sure
that
the or
ganis
ation
has t
he ab
ility t
o tak
e mea
sure
s for
the c
ontai
nmen
t and
quar
antin
e of a
ny liv
ing st
ock f
ound
to
be in
fected
with
a no
tifiab
le dis
ease
.
FSM
AI 1
9.2
Serio
us in
ciden
t man
agem
ent
The s
tanda
rd sh
all en
sure
that
the or
ganis
ation
has t
he ab
ility t
o tak
e mea
sure
s for
the w
ithdr
awal
and c
ontai
nmen
t of c
ontam
inated
fee
dstuf
fs.
FSM
AI 2
3Tr
acea
bility
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropr
iate p
roce
dure
s and
syste
ms to
ensu
re:
► I
denti
ficati
on of
any o
utsou
rced p
rodu
ction
, inpu
ts or
servi
ces r
elated
to fo
od sa
fety,·
A co
mplet
e rec
ord o
f in-p
roce
ss m
ateria
l or
final
prod
uct a
nd pa
ckag
ing th
roug
hout
the pr
oduc
tion p
roce
ss,
► A
reco
rd of
purch
aser
and d
elive
ry de
stina
tion f
or al
l anim
als an
d anim
alpr
oduc
ts su
pplie
d,►
Pro
duct
identi
ficati
on th
at inc
ludes
, as a
mini
mum,
the o
rigin
(pro
duce
r and
coun
try) a
nd th
e date
of pr
oduc
tion o
rpa
cking
,►
Inp
ut pr
oduc
t iden
tifica
tion i
nclud
ing fe
ed an
d fee
d add
itives
that
includ
es, a
s a m
inimu
m, th
e nam
e and
addr
ess o
f the p
rodu
cer, L
ot or
batch
numb
er,►
Ide
ntific
ation
of an
y vete
rinar
y med
icatio
n pur
chas
es an
d tre
atmen
ts,►
A re
cord
of al
l livin
g stoc
k inp
uts an
d outp
uts, m
ovem
ents
on an
d off-
site,
to eit
her a
nimal
or ba
tch, a
s app
ropr
iate t
o the
indu
stry
norm
for t
he sp
ecies
.
FSM
AI 2
4An
alysis
of In
puts
(e.g.
wate
r, fee
dstuf
fs)Th
e stan
dard
shall
requ
ire th
at the
orga
nisati
on pr
epar
e and
imple
ment
a sys
tem to
ensu
re th
at an
alysis
of in
puts
critic
al to
the co
nfirm
ation
of
food s
afety
is un
derta
ken a
nd th
at su
ch an
alyse
s are
perfo
rmed
to st
anda
rds e
quiva
lent to
ISO
1702
5.
Sixth Edition / Version 6.4 / November 2015111GFSI Guidance Document - Part IV
PART IV
Tabl
e III
– F
ood
Safet
y Man
agem
ent R
equi
rem
ents
Addi
tiona
l Spe
cific
Requ
irem
ents
AII
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
AII
8.1
Gene
ral d
ocum
entat
ion re
quire
ments
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
keep
comp
rehe
nsive
living
stoc
k rec
ords
. The
reco
rd w
ill de
tail c
urre
nt sto
ck on
the f
arm,
an
over
view
of re
cent
live s
tock t
rans
actio
ns, in
cludin
g fry
purch
ases
and t
he re
cent
loss s
ituati
on w
ithin
a pop
ulatio
n or s
tock p
rodu
ction
unit.
FSM
AII
9.1
Spec
ified r
equir
emen
tsTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on be
able
to cle
arly
identi
fy liv
ing fis
h stoc
ks (a
nd th
e rec
ords
asso
ciated
with
that
stock
) tha
t ha
ve be
en tr
eated
with
veter
inary
medic
ines a
nd ar
e with
in the
man
ufactu
rer’s
reco
mmen
ded w
aiting
perio
d for
that
cour
se of
trea
tmen
t.
FSM
AII
15.1
Purch
asing
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has i
n plac
e spe
cific p
olicie
s for
the p
rocu
reme
nt of
feed f
rom
appr
oved
certifi
ed so
urce
s.
FSM
AII
15.2
Purch
asing
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has i
n plac
e spe
cific p
olicie
s for
the p
rocu
reme
nt of
appr
oved
veter
inary
medic
ines.
FSM
AII
19.1
Serio
us in
ciden
t man
agem
ent
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has t
he ab
ility t
o tak
e mea
sure
s for
the c
ontai
nmen
t and
quar
antin
e of a
ny liv
ing st
ock f
ound
to
be in
fected
with
a no
tifiab
le dis
ease
, par
asite
or co
nditio
n tha
t wou
ld co
mpro
mise
food
safet
y.
FSM
AII
19.2
Se
rious
incid
ent m
anag
emen
t Th
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
s the
abilit
y to t
ake m
easu
res f
or th
e with
draw
al an
d con
tainm
ent o
f con
tamina
ted
feeds
tuffs
FSM
AII
23Tr
acea
bility
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropr
iate p
roce
dure
s and
syste
ms to
ensu
re:
► I
denti
ficati
on of
any o
utsou
rced p
rodu
ction
, inpu
ts or
servi
ces r
elated
to fo
od sa
fety,
► A
comp
lete r
ecor
d of in
-pro
cess
mate
rial o
r fina
l pro
duct
and p
acka
ging t
hrou
ghou
t the p
rodu
ction
proc
ess,
► A
reco
rd of
purch
aser
and d
elive
ry de
stina
tion f
or al
l fish
or se
afood
prod
ucts,
► P
rodu
ct ide
ntific
ation
that
includ
es, a
s a m
inimu
m, th
e orig
in (p
rodu
cer a
nd co
untry
) and
the d
ate of
prod
uctio
n or p
ackin
g,►
Inp
ut pr
oduc
t iden
tifica
tion i
nclud
ing fe
ed an
d fee
d add
itives
that
includ
es, a
s a m
inimu
m, th
e nam
e and
addr
ess o
f the p
rodu
cer, l
ot or
batch
numb
er,►
iden
tifica
tion o
f any
veter
inary
medic
ation
purch
ases
and t
reatm
ents,
► A
reco
rd of
all li
ving s
tock i
nputs
and o
utputs
, mov
emen
ts on
and o
ff-sit
e, to
eithe
r anim
al or
batch
as ap
prop
riate
to the
indu
stry
norm
for t
he sp
ecies
.
FSM
AII
24An
alysis
of In
puts
(e.g.
wate
r, fee
dstuf
fs)Th
e stan
dard
shall
requ
ire th
at the
orga
nisati
on pr
epar
e and
imple
ment
a sys
tem to
ensu
re th
at an
alysis
of in
puts
critic
al to
the co
nfirm
ation
of
food s
afety
is un
derta
ken a
nd th
at su
ch an
alyse
s are
perfo
rmed
to st
anda
rds e
quiva
lent to
ISO
1702
5.
FSM
AII
24.1
Analy
sis of
Inpu
ts (e
.g. w
ater, f
eed
stuffs
)Th
e stan
dard
shall
requ
ire th
at the
prod
uctio
n and
stor
age o
f ice,
wher
e use
d to s
tore o
r tra
nspo
rt at
the po
int of
slau
ghter
, sha
ll not
comp
romi
se fo
od sa
fety.
Sixth Edition / Version 6.4 / November 2015112GFSI Guidance Document - Part IV
PART IV
Tabl
e IV
– F
ood
Safet
y Man
agem
ent R
equi
rem
ents
Ad
ditio
nal S
pecifi
c Re
quire
men
ts B
I and
BII
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
B 2
3Tr
acea
bility
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropr
iate p
roce
dure
s and
syste
ms to
ensu
re:
► I
denti
ficati
on of
any o
utsou
rced p
rodu
ction
, inpu
ts or
servi
ces r
elated
to fo
od sa
fety,
► P
rodu
ct ide
ntific
ation
that
includ
es, a
s a m
inimu
m, th
e nam
e and
addr
ess o
f the p
rodu
cer,
► A
reco
rd of
purch
aser
and d
elive
ry de
stina
tion f
or al
l pro
ducts
supp
lied.
FSM
B 2
4An
alysis
of In
puts
(e.g.
wate
r, fee
dstuf
fs)Th
e stan
dard
shall
requ
ire th
at the
orga
nisati
on pr
epar
e and
imple
ment
a sys
tem to
ensu
re th
at an
alysis
of in
puts
critic
al to
the co
nfirm
ation
of
food s
afety
is un
derta
ken a
nd th
at su
ch an
alyse
s are
perfo
rmed
to st
anda
rds e
quiva
lent to
ISO
1702
5.
Tabl
e V
– Fo
od S
afety
Man
agem
ent R
equi
rem
ents
Addi
tiona
l Spe
cific
Requ
irem
ents
C
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
C 1
5.1
Purch
asing
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has i
n plac
e spe
cific p
olicie
s for
the p
rocu
reme
nt of
anim
als, fi
sh an
d sea
food w
hich a
re
subje
ct to
contr
ol of
proh
ibited
subs
tance
s (e.g
phar
mace
utica
ls, ve
terina
ry me
dicine
s, he
avy m
etals
and p
estic
ides).
FSM
C 2
3Tr
acea
bility
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropr
iate p
roce
dure
s and
syste
ms to
ensu
re:
► I
denti
ficati
on of
any o
utsou
rced p
rodu
ction
, inpu
ts or
servi
ces r
elated
to fo
od sa
fety,
► A
comp
lete r
ecor
d of in
-pro
cess
mate
rial o
r fina
l pro
duct
and p
acka
ging t
hrou
ghou
t the p
rodu
ction
proc
ess,
► A
reco
rd of
purch
aser
and d
elive
ry de
stina
tion f
or al
l anim
al, fis
h or s
eafoo
d pro
ducts
,►
Pro
duct
identi
ficati
on th
at inc
ludes
, as a
mini
mum,
the o
rigin
(pro
duce
r and
coun
try) a
nd th
e date
of pr
oduc
tion o
r pac
king,
Sixth Edition / Version 6.4 / November 2015113GFSI Guidance Document - Part IV
PART IV
Tabl
e VI
– F
eed
Safet
y M
anag
emen
t Req
uire
men
tsAd
ditio
nal S
pecifi
c Re
quire
men
ts D
, EI,
EII,
EIII,
EIV
and
L
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
DEL
23
Trac
eabil
ity
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropr
iate p
roce
dure
s and
syste
ms to
ensu
re:
► I
denti
ficati
on of
any o
utsou
rced p
rodu
ction
, inpu
ts or
servi
ces r
elated
to fo
od sa
fety,
► P
rodu
ct ide
ntific
ation
that
includ
es, a
s a m
inimu
m, th
e nam
e and
addr
ess o
f the p
rodu
cer,
► A
reco
rd of
purch
aser
and d
elive
ry de
stina
tion f
or al
l pro
ducts
supp
lied.
FSM
DEL
24
Analy
sis of
Inpu
ts (e
.g. w
ater, i
ce)
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
prep
are a
nd im
pleme
nt a s
ystem
to en
sure
that
analy
sis of
inpu
ts cri
tical
to the
confi
rmati
on
of pr
oduc
t safe
ty is
unde
rtake
n and
that
such
analy
ses a
re pe
rform
ed to
stan
dard
s equ
ivalen
t to IS
O 17
025.
Tabl
e VI
I – F
eed
Safet
y Man
agem
ent R
equi
rem
ents
Scop
e of
Rec
ogni
tion
F
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FDSM
1Fe
ed sa
fety m
anag
emen
t- ge
nera
l re
quire
ments
The s
tanda
rd sh
all re
quire
that
the el
emen
ts of
the or
ganis
ation
’s fee
d safe
ty ma
nage
ment
syste
m be
docu
mente
d, im
pleme
nted,
maint
ained
and c
ontin
ually
impr
oved
. The
feed
safet
y man
agem
ent s
ystem
shall
:a)
comp
ly wi
th ap
plica
ble fe
ed sa
fety r
egula
tory r
equir
emen
ts,b)
iden
tify th
e pro
cess
es ne
eded
for t
he fe
ed sa
fety m
anag
emen
t sys
tem,
c) d
eterm
ine th
e seq
uenc
e and
inter
actio
n of th
ese p
roce
sses
,d)
deter
mine
the c
riteria
and m
ethod
s req
uired
to en
sure
the e
ffecti
ve op
erati
on an
d con
trol o
f thes
e pro
cess
es,
e) en
sure
the a
vaila
bility
of in
forma
tion n
eces
sary
to su
ppor
t the o
pera
tion a
nd m
onito
ring o
f thes
e pro
cess
es,
f) m
easu
re, m
onito
r and
analy
se th
ese p
roce
sses
and i
mplem
ent a
ction
s nec
essa
ry to
achie
ve pl
anne
d res
ults a
nd co
ntinu
ous
impr
ovem
ent,
g) in
clude
pre-
requ
isite
prog
ramm
es an
d HAC
CP ba
sed p
lans.
Sixth Edition / Version 6.4 / November 2015114GFSI Guidance Document - Part IV
PART IV
FDSM
2Fe
ed sa
fety p
olicy
The s
tanda
rd sh
all re
quire
the o
rgan
isatio
n has
a cle
ar, co
ncise
and d
ocum
ented
polic
y stat
emen
t and
objec
tives
spec
ifying
the e
xtent
of the
orga
nisati
on’s
comm
itmen
t to m
eet th
e fee
d safe
ty ne
eds o
f its p
rodu
cts.
FDSM
3Fe
ed sa
fety m
anua
lTh
e stan
dard
shall
requ
ire th
e org
anisa
tion h
as a
feed s
afety
manu
al or
docu
mente
d sys
tem ha
ving a
scop
e app
ropr
iate t
o the
rang
e of
busin
ess a
ctivit
ies to
be co
vere
d, inc
luding
docu
mente
d pro
cedu
res o
r spe
cific r
efere
nce t
o the
m an
d des
cribin
g the
inter
actio
n of th
e re
lated
proc
ess s
teps.
FDSM
4Ma
nage
ment
resp
onsib
ility
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish a
clea
r stru
cture
, whic
h una
mbigu
ously
defin
es an
d doc
umen
ts the
job f
uncti
ons,
resp
onsib
ilities
and r
epor
ting r
elatio
nship
s of a
t leas
t thos
e staf
f who
se ac
tivitie
s affe
ct fee
d safe
ty.
FDSM
5Ma
nage
ment
comm
itmen
tTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on’s
senio
r man
agem
ent p
rovid
e evid
ence
of th
eir co
mmitm
ent to
estab
lish,
imple
ment,
ma
intain
and i
mpro
ve th
e fee
d safe
ty sy
stem.
FDSM
6Ma
nage
ment
revie
w an
d obje
ctive
s
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t rev
iew th
e ver
ificati
on of
the f
eed s
afety
syste
m at
plann
ed in
terva
ls to
ensu
re th
eir co
ntinu
ing su
itabil
ity, a
dequ
acy a
nd ef
fectiv
enes
s. Th
e fee
d safe
ty sy
stem
shall
also
be re
viewe
d in t
he ev
ent o
f any
chan
ge
that im
pacts
feed
safet
y. S
uch a
revie
w sh
all ev
aluate
the n
eed f
or ch
ange
s to t
he fe
ed sa
fety s
ystem
, inclu
ding t
he fe
ed sa
fety p
olicy
and
feed s
afety
objec
tives
.
FDSM
7Re
sour
ce m
anag
emen
tTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on’s
senio
r man
agem
ent d
eterm
ine an
d pro
vide,
in a t
imely
man
ner, t
he re
sour
ces n
eede
d to
imple
ment,
main
tain a
nd im
prov
e the
feed
safet
y sys
tem.
FDSM
8Ge
nera
l doc
umen
tation
The s
tanda
rd sh
all re
quire
that
docu
menta
tion p
roce
dure
s are
in pl
ace t
o dem
onstr
ate co
mplia
nce w
ith th
e stan
dard
and e
nsur
e tha
t all
reco
rds r
equir
ed to
demo
nstra
te the
effec
tive o
pera
tion a
nd co
ntrol
of its
proc
esse
s and
its m
anag
emen
t of fe
ed sa
fety a
re s
tored
for a
time
perio
d req
uired
to m
eet c
ustom
er an
d/or le
gal re
quire
ments
, effe
ctive
ly co
ntroll
ed an
d rea
dily a
cces
sible
when
need
ed.
FDSM
9Sp
ecifie
d req
uirem
ents
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
ensu
re th
at, fo
r all i
nputs
to th
e pro
cess
, item
s and
servi
ces t
hat a
re pu
rchas
ed or
prov
ided
and h
ave a
n effe
ct on
feed
safet
y, do
cume
nted s
pecifi
catio
ns ar
e rea
dily a
cces
sible
when
need
ed. T
he st
anda
rd sh
all re
quire
that
a sp
ecific
ation
revie
w pr
oced
ure i
s imp
lemen
ted.
FDSM
10
Proc
edur
esTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain d
etaile
d pro
cedu
res a
nd in
struc
tions
for a
ll pro
cess
es
and o
pera
tions
havin
g an e
ffect
on fe
ed sa
fety.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015115GFSI Guidance Document - Part IV
PART IV
FDSM
11
Inter
nal a
udit
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
n inte
rnal
audit
syste
m in
place
to co
ver t
he sc
ope o
f the f
eed s
afety
syste
m.
FDSM
12
Corre
ctive
actio
nTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
s pro
cedu
res f
or th
e dete
rmina
tion a
nd im
pleme
ntatio
n of c
orre
ctive
actio
n in t
he ev
ent o
f no
n con
formi
ty re
lating
to fe
ed sa
fety m
anag
emen
t.
FDSM
13
Contr
ol of
non c
onfor
mity
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has e
ffecti
ve pr
oced
ures
in pl
ace t
o ens
ure t
hat fe
ed, w
hich d
oes n
ot co
nform
to fe
ed sa
fety
requ
ireme
nts, is
clea
rly id
entifi
ed an
d con
trolle
d to p
reve
nt un
inten
ded u
se or
deliv
ery.
Ther
e sha
ll be a
docu
mente
d pro
cedu
re re
gard
ing
the co
ntrol
of no
n con
formi
ty an
d any
activ
ity in
relat
ion to
the c
ontro
l of n
on co
nform
ing fe
ed sh
all be
reco
rded
.
FDSM
14
Feed
relea
seTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on pr
epar
e and
imple
ment
appr
opria
te fee
d rele
ase p
roce
dure
s.
FDSM
15
Purch
asing
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has p
urch
asing
proc
edur
es to
ensu
re th
at all
raw
mater
ials,
ingre
dients
and s
ervic
es, w
hich
have
an ef
fect o
n fee
d safe
ty, co
nform
to sp
ecifie
d req
uirem
ents.
FDSM
16
Supp
lier p
erfor
manc
eTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain p
roce
dure
s for
the e
valua
tion,
appr
oval
and r
egula
r mo
nitor
ing of
supp
liers,
whic
h hav
e an e
ffect
on fe
ed sa
fety.
The r
esult
s of e
valua
tions
, inve
stiga
tions
and f
ollow
up ac
tions
shall
be
reco
rded
.
FDSM
17
Outso
urcin
gTh
e stan
dard
shall
requ
ire th
at, w
here
an or
ganis
ation
choo
ses t
o outs
ource
proc
esse
s tha
t may
affec
t feed
safet
y, the
orga
nisati
on sh
all
ensu
re co
ntrol
over
such
proc
esse
s. Co
ntrol
of su
ch ou
tsour
ced p
roce
sses
shall
be id
entifi
ed, d
ocum
ented
and m
onito
red w
ithin
the fe
ed
safet
y man
agem
ent s
ystem
.
FDSM
18
Comp
laint
hand
ling
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n an e
ffecti
ve sy
stem
for th
e man
agem
ent o
f com
plaint
s an
d com
plaint
data.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015116GFSI Guidance Document - Part IV
PART IV
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FDSM
19
Incide
nt ma
nage
ment
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n an e
ffecti
ve in
ciden
t man
agem
ent p
roce
dure
, whic
h is
regu
larly
tested
and
cove
rs pla
nning
for p
rodu
ct wi
thdra
wal a
nd r
ecall
.
FDSM
20
Contr
ol of
meas
uring
devic
esTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on en
sure
s tha
t feed
safet
y mea
surin
g dev
ices a
re ca
libra
ted to
a re
cogn
ised s
tanda
rd.
FDSM
21
Food
defen
ceTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
s a do
cume
nted r
isk as
sess
ment
proc
edur
e in p
lace t
o add
ress
food
defen
ce ris
ks an
d es
tablis
h, im
pleme
nt an
d main
tain a
syste
m to
redu
ce or
elim
inate
the id
entifi
ed ris
ks.
FDSM
22
Feed
labe
lling
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
ensu
re th
at all
feed
prov
ides i
nform
ation
to co
mply
with
appli
cable
regu
lator
y req
uirem
ents
and a
ssur
e any
nece
ssar
y info
rmati
on is
prov
ided t
o fac
ilitate
safe
use o
f the f
eed.
FDSM
23
Trac
eabil
ityTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain a
ppro
priat
e pro
cedu
res a
nd sy
stems
to id
entify
the
sour
ce of
raw
mater
ials a
nd in
gred
ients,
the d
elive
ry of
feed a
nd th
eir lin
kage
s.
Sixth Edition / Version 6.4 / November 2015117GFSI Guidance Document - Part IV
PART IV
Tabl
e VI
II –
Food
and
Feed
Safe
ty M
anag
emen
t Req
uire
men
ts
Scop
e of
Rec
ogni
tion
J
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
J 1
Food
safet
y man
agem
ent g
ener
al re
quire
ments
The s
tanda
rd sh
all re
quire
that
the el
emen
ts of
the or
ganis
ation
’s Fo
od S
afety
Mana
geme
nt Sy
stem
be do
cume
nted,
imple
mente
d, ma
intain
ed an
d con
tinou
sly im
prov
ed. T
he fo
od sa
fety m
anag
emen
t sys
tem sh
all:
a) id
entify
the p
roce
sses
need
ed fo
r the
food
safet
y man
agem
ent s
ystem
,b)
deter
mine
the s
eque
nce a
nd in
terac
tion o
f thes
e pro
cess
es,
c) de
termi
ne th
e crite
ria an
d meth
ods r
equir
ed to
ensu
re th
e effe
ctive
oper
ation
and c
ontro
l of th
ese p
roce
sses
,d)
ensu
re th
e ava
ilabil
ity of
infor
matio
n nec
essa
ry to
supp
ort th
e ope
ratio
n and
mon
itorin
g of th
ese p
roce
sses
,e)
mea
sure
, mon
itor a
nd an
alyse
thes
e pro
cess
es an
d imp
lemen
t acti
ons n
eces
sary
to ac
hieve
plan
ned r
esult
s and
conti
nuou
s im
prov
emen
t.
FSM
J 2
Food
safet
y poli
cy
The s
tanda
rd sh
all re
quire
the o
rgan
isatio
n has
a cle
ar an
d doc
umen
ted fo
od sa
fety p
olicy
state
ment
and o
bjecti
ves s
pecif
ying t
he
orga
nisati
on’s
comm
itmen
t to th
e sup
ply of
safe
food,
safe
food p
rodu
cts an
d rela
ted m
ateria
ls co
vere
d und
er th
e GFS
I sup
ply ch
ain sc
ope.
The s
tanda
rd re
quire
s tha
t the o
rgan
isatio
n has
a do
cume
nted f
ood s
afety
polic
y stat
emen
t for s
torag
e, dis
tributi
on, tr
ansp
ort a
nd ha
ndlin
g of
prod
uct.
FSM
J3
Food
safet
y man
ual
The s
tanda
rd sh
all re
quire
the o
rgan
isatio
n has
a Fo
od S
afety
Manu
al or
docu
mente
d sys
tem ha
ving a
scop
e cov
ering
the r
ange
of
busin
ess a
ctivit
ies, in
cludin
g doc
umen
ted pr
oced
ures
or sp
ecific
refer
ence
to th
em an
d des
cribin
g the
inter
actio
n of th
e rela
ted pr
oces
s ste
ps.
FSM
J 4
Mana
geme
nt re
spon
sibilit
y
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish a
clea
r org
anisa
tiona
l stru
cture
, whic
h defi
nes a
nd do
cume
nts th
e job
func
tions
, re
spon
sibilit
ies an
d rep
ortin
g rela
tions
hips o
f thos
e staf
f who
se ac
tivitie
s affe
ct foo
d safe
ty. T
here
shall
be a
syste
m in
place
to en
sure
ac
cepta
nce a
nd co
mplia
nce w
ith cu
stome
r or o
pera
tor’s
spec
ificati
ons a
nd/or
requ
ireme
nts in
relat
ion to
prod
uct c
ondit
ion an
d the
safe
supp
ly of
food.
FSM
J 5
Mana
geme
nt co
mmitm
ent
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t pro
vide e
viden
ce of
their
comm
itmen
t to es
tablis
h, im
pleme
nt,
supp
ort, m
aintai
n and
impr
ove t
he fo
od sa
fety s
ystem
.
FSM
J 6
Mana
geme
nt re
view
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t rev
iew th
e foo
d safe
ty sy
stem
at pla
nned
inter
vals,
to en
sure
their
co
ntinu
ing su
itabil
ity, a
dequ
acy a
nd ef
fectiv
enes
s. Th
e foo
d safe
ty sy
stem
shall
also
be re
viewe
d with
in a d
efine
d tim
e fra
me in
the e
vent
of an
y cha
nge.
Suc
h a re
view
shall
evalu
ate th
e ne
ed fo
r cha
nges
in or
der t
o main
tain t
he fo
od sa
fety s
ystem
,
Sixth Edition / Version 6.4 / November 2015118GFSI Guidance Document - Part IV
PART IV
FSM
J 7
Reso
urce
man
agem
ent
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t dete
rmine
and p
rovid
e, in
a tim
ely m
anne
r, the
reso
urce
s nee
ded t
o im
pleme
nt, m
aintai
n and
impr
ove t
he fo
od sa
fety s
ystem
.
FSM
J 8
Gene
ral d
ocum
entat
ion re
quire
ments
Reco
rds a
re re
quire
d to d
emon
strate
the e
ffecti
ve op
erati
on an
d con
trol o
f pro
cess
es an
d man
agem
ent o
f food
safet
y. R
ecor
ds ar
e se
cure
ly sto
red f
or a
time p
eriod
requ
ired t
o mee
t cus
tomer
or le
gal re
quire
ments
, effe
ctive
ly co
ntroll
ed an
d rea
dily a
cces
sible
as re
ques
ted.
FSM
J9
Spec
ified r
equir
emen
ts
The s
tanda
rd sh
all re
quire
the o
rgan
isatio
n to s
pecif
y tha
t all s
ervic
es to
the p
roce
ss an
d/or s
ervic
es (in
cludin
g utili
ties,
trans
port
and
maint
enan
ce),
which
are p
urch
ased
or pr
ovide
d, en
able
the st
orag
e and
distr
ibutio
n of s
afe fo
od. T
hese
requ
ireme
nts m
ust b
e doc
umen
ted
or in
clude
d in s
ervic
e con
tracts
, ena
cted ,
effec
tively
contr
olled
, main
taine
d, se
cure
ly sto
red a
nd re
adily
acce
ssibl
e whe
n req
ueste
d. Th
e sta
ndar
d sha
ll req
uire t
hat a
contr
act r
eview
proc
ess i
s in p
lace.
FSM
J 1
0Pr
oced
ures
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n deta
iled p
roce
dure
s and
instr
uctio
ns fo
r all p
roce
sses
an
d ope
ratio
ns ha
ving a
n effe
ct on
food
safet
y.
FSM
J11
Inter
nal a
udit
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
n inte
rnal
audit
syste
m in
place
to co
ver t
he sc
ope o
f the f
ood s
afety
syste
m.
FSM
J12
Corre
ctive
actio
nTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
s pro
cedu
res f
or th
e imp
lemen
tation
, and
verifi
catio
n of c
orre
ctive
actio
ns in
the e
vent
of an
y non
confo
rmity
relat
ing to
food
safet
y.
FSM
J 1
3Co
ntrol
of no
n con
formi
ty
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has d
ocum
ented
proc
esse
s in p
lace t
o ens
ure t
hat a
ny pr
oduc
t, whic
h doe
s not
confo
rm
to foo
d safe
ty re
quire
ments
(e.g.
; held
, retu
rned
, with
draw
n, or
reca
lled)
, is cl
early
iden
tified
and c
ontro
lled t
o pre
vent
cross
-conta
mina
tion,
unint
ende
d use
or de
liver
y, an
d has
a sy
stem
to co
ntrol
the di
spos
al of
non-
confo
rming
mate
rials.
The
se re
quire
ments
shall
be de
fined
in a
docu
mente
d pro
cedu
re th
at is
read
ily ac
cess
ible w
hen r
eque
sted.
FSM
J14
Prod
uct r
eleas
eTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on pr
epar
e and
imple
ment
prod
uct r
eleas
e pro
cedu
res.
Sixth Edition / Version 6.4 / November 2015119GFSI Guidance Document - Part IV
PART IV
FSM
J 1
5Pu
rchas
ingTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on co
ntrol
purch
asing
proc
esse
s to e
nsur
e tha
t all e
xtern
ally s
ource
d mate
rials
and s
ervic
es,
which
can h
ave a
n imp
act o
n foo
d safe
ty co
nform
to re
quire
ments
.
FSM
J 1
6Su
pplie
r per
forma
nce
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n pro
cedu
res f
or th
e eva
luatio
n, ap
prov
al an
d mon
itorin
g of
prod
ucts
and s
ervic
es, w
hich c
an ha
ve an
impa
ct on
food
safet
y. Th
e res
ults o
f eva
luatio
ns, in
vesti
gatio
ns an
d foll
ow up
actio
ns sh
all be
re
cord
ed.
FSM
J17
Outso
urcin
gTh
e stan
dard
shall
requ
ire th
at, w
here
an or
ganis
ation
choo
ses t
o outs
ource
any p
roce
ss th
at ma
y imp
act fo
od sa
fety,
the or
ganis
ation
shall
en
sure
contr
ol ov
er su
ch se
rvice
s. Co
ntrol
of su
ch ou
tsour
ced p
roce
sses
shall
be id
entifi
ed, d
ocum
ented
and m
onito
red w
ithin
the fo
od
safet
y Fo
od S
afety
syste
m.
FSM
J18
Comp
laint
hand
ling
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n a sy
stem
for th
e man
agem
ent o
f com
plaint
s and
co
mplai
nt da
ta.
FSM
J 1
9Se
rious
incid
ent a
nd C
risis
Mana
geme
ntTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain a
n effe
ctive
incid
ent m
anag
emen
t pro
cedu
re, w
hich i
s re
gular
ly tes
ted an
d cov
ers p
lannin
g for
prod
uct w
ithdr
awal
and p
rodu
ct re
call a
s req
uired
.
FSM
J 2
0Co
ntrol
of me
asur
ing an
d mon
itorin
g de
vices
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
iden
tify th
e mea
sure
ment
of pa
rame
ters c
ritica
l to en
sure
food
safet
y, the
mea
surin
g an
d mon
itorin
g dev
ices r
equir
ed an
d meth
ods t
o ass
ure t
hat th
e cali
brati
on of
thes
e mea
surin
g and
mon
itorin
g dev
ices i
s tra
ceab
le to
re
cogn
ised m
ethod
s and
/or st
anda
rd.
FSM
J 2
1Fo
od de
fence
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
docu
mente
d risk
asse
ssme
nt pr
oced
ure i
n plac
e to a
ddre
ss fo
od de
fence
risks
and
estab
lish,
imple
ment
and m
aintai
n a sy
stem
to re
duce
or el
imina
te the
iden
tified
risks
. The
syste
m sh
all co
ver g
ood d
istrib
ution
prac
tices
, foo
d defe
nce r
espo
nse p
lans a
nd sh
all be
supp
orted
by th
e foo
d safe
ty sy
stem.
Sixth Edition / Version 6.4 / November 2015120GFSI Guidance Document - Part IV
PART IV
Tabl
e IX
– F
ood
Safet
y Man
agem
ent R
equi
rem
ents
Sc
ope
of R
ecog
nitio
n M
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
M1
Food
safet
y man
agem
ent fo
r pa
ckag
ing m
ateria
ls ge
nera
l re
quire
ments
The s
tanda
rd sh
all re
quire
that
the el
emen
ts of
the or
ganis
ation
’s Fo
od S
afety
Mana
geme
nt Sy
stem
for pa
ckag
ing m
ateria
ls be
do
cume
nted,
imple
mente
d, ma
intain
ed an
d con
tinua
lly im
prov
ed. T
he m
anag
emen
t sys
tem s
hall:
a)
iden
tify th
e pro
cess
es ne
eded
for t
he ef
fects
of pa
ckag
ing of
Foo
d Safe
ty Ma
nage
ment
syste
mb)
deter
mine
the s
eque
nce a
nd in
terac
tion o
f thes
e pro
cess
es an
d pro
cedu
res
c) de
termi
ne cr
iteria
and m
ethod
s req
uired
to en
sure
the e
ffecti
ve op
erati
on an
d con
trol o
f thes
e pro
cess
esd)
ensu
re th
e ava
ilabil
ity of
infor
matio
n nec
essa
ry to
supp
ort th
e ope
ratio
n and
mon
itorin
g of th
ese p
roce
sses
e) m
easu
re, m
onito
r and
analy
se th
ese p
roce
sses
and i
mplem
ent a
ction
s nec
essa
ry to
achie
ve pl
anne
d res
ults a
nd co
ntinu
al im
prov
emen
t.f)
ensu
re th
at pa
ckag
ing us
ed to
impa
rt or
prov
ide a
functi
onal
effec
t on f
ood s
uch a
s she
lf life
exten
sion s
hall b
e effe
ctive
with
in its
ow
n spe
cified
crite
ria , w
here
know
n. g)
valid
ate pa
ckag
ing de
sign a
nd de
velop
ment
to en
sure
food
safe
and l
egal
manu
factur
e.
FSM
M2
Polic
y stat
emen
tTh
e stan
dard
shall
requ
ire th
e org
anisa
tion t
o hav
e a cl
ear, c
oncis
e and
docu
mente
d poli
cy st
ateme
nt an
d obje
ctive
s tha
t spe
cify t
he ex
tent
of the
orga
nisati
on’s
comm
itmen
t to m
eet th
e foo
d safe
ty an
d hyg
iene n
eeds
of pa
ckag
ing m
ateria
ls.
FSM
M3
Docu
mente
d sys
temTh
e stan
dard
shall
requ
ire th
e org
anisa
tion t
o hav
e a do
cume
nted s
ystem
, hav
ing a
scop
e app
ropr
iate t
o the
rang
e of b
usine
ss ac
tivitie
s to
be co
vere
d, inc
luding
docu
mente
d pro
cedu
res o
r spe
cific r
efere
nce t
o the
m an
d des
cribin
g the
inter
actio
n of th
e rela
ted pr
oces
s step
s.
FSM
M4
Mana
geme
nt re
spon
sibilit
yTh
e stan
dard
shall
requ
ire th
e sup
plier
to es
tablis
h a cl
ear o
rgan
isatio
nal s
tructu
re, w
hich u
namb
iguou
sly de
fines
and d
ocum
ents
job
functi
ons,
resp
onsib
ilities
and r
epor
ting r
elatio
nship
s of a
t leas
t thos
e staf
f, who
se ac
tivitie
s affe
ct foo
d safe
ty. T
he st
ructu
re ef
fectiv
enes
s sh
all be
perio
dicall
y rev
iewed
by m
anag
emen
t.
FSM
M5
Mana
geme
nt co
mmitm
ent
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t pro
vide e
viden
ce of
their
comm
itmen
t to es
tablis
h, im
pleme
nt,
maint
ain an
d con
tinua
lly im
prov
e the
food
safet
y sys
tem.
FSM
M6
Mana
geme
nt re
view
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t rev
iew th
e ver
ificati
on of
the f
ood s
afety
syste
m, H
ACCP
Plan
or
HACC
P ba
sed p
lans,
at pla
nned
inter
vals,
to en
sure
their
conti
nuing
suita
bility
, ade
quac
y and
effec
tiven
ess.
The H
ACCP
Plan
shall
also
be
revie
wed i
n the
even
t of a
ny ch
ange
that
impa
cts fo
od sa
fety.
Suc
h a re
view
shall
evalu
ate th
e nee
d for
chan
ges t
o the
food
safet
y sys
tem,
includ
ing th
e foo
d safe
ty po
licy a
nd fo
od sa
fety o
bjecti
ves.
Sixth Edition / Version 6.4 / November 2015121GFSI Guidance Document - Part IV
PART IV
FSM
M7
Reso
urce
man
agem
ent
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s se
nior m
anag
emen
t dete
rmine
and p
rovid
e, in
a tim
ely m
anne
r, all t
he re
sour
ces n
eede
d to
imple
ment,
main
tain a
nd im
prov
e the
food
safet
y sys
tem fo
r pac
kagin
g mate
rials.
FSM
M8
Gene
ral d
ocum
entat
ion re
quire
ments
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
’s do
cume
ntatio
n pro
cedu
res a
re in
plac
e to d
emon
strate
comp
lianc
e with
the s
tanda
rd an
d en
sure
that
all re
cord
s req
uired
to de
mons
trate
the ef
fectiv
e ope
ratio
n and
contr
ol of
its pr
oces
ses a
nd its
man
agem
ent o
f food
safet
y for
pa
ckag
ing m
ateria
ls, ar
e sec
urely
stor
ed fo
r a tim
e per
iod re
quire
d to m
eet c
ustom
er or
lega
l requ
ireme
nts, e
ffecti
vely
contr
olled
and r
eadil
y ac
cess
ible w
hen n
eede
d..
FSM
M9
Spec
ified r
equir
emen
ts
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
ensu
res t
hat fo
r all i
nputs
to th
e pro
cess
, item
s and
servi
ces (
includ
ing ut
ilities
, tran
spor
t an
d main
tenan
ce) p
urch
ased
/prov
ided a
nd ha
ving a
n effe
ct on
food
safet
y fro
m pa
ckag
ing m
ateria
ls, do
cume
nted s
pecifi
catio
ns ar
e pr
epar
ed, e
ffecti
vely
contr
olled
, main
taine
d, se
cure
ly sto
red a
nd re
adily
acce
ssibl
e whe
n nee
ded.
The s
tanda
rd sh
all re
quire
that
a sp
ecific
ation
revie
w pr
oces
s is i
n plac
e. Th
e stan
dard
shall
requ
ire th
at the
suita
bility
of al
l pac
kagin
g mate
rials
shall
be su
ppor
ted w
ith ev
idenc
e of c
ompli
ance
for t
he in
tende
d pu
rpos
e and
have
lega
l com
plian
ce fo
r the
coun
try of
use,
wher
e kno
wn.
FSM
M10
Proc
edur
esTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on es
tablis
h, im
pleme
nt an
d main
tain d
etaile
d pro
cedu
res,
docu
ments
and c
ontro
ls for
all
proc
esse
s and
oper
ation
s hav
ing an
effec
t on f
ood s
afety.
This
may
inclu
de m
utuall
y agr
eed c
ustom
er re
quire
ments
and c
ontra
cts.
FSM
M11
Inter
nal a
udit
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
n effe
ctive
inter
nal a
udit s
ystem
in pl
ace t
o ens
ure c
ompli
ance
to pr
oces
s and
op
erati
ons p
roce
dure
s as w
ell as
to co
ver t
he sc
ope o
f the e
ffect
of pa
ckag
ing on
food
safet
y sys
tems i
nclud
ing th
e Haz
ard a
nd R
isk
Mana
geme
nt sy
stem.
FSM
. M
12Co
rrecti
ve ac
tion a
nd pr
even
tive a
ction
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has p
roce
dure
s for
the t
imely
deter
mina
tion a
nd ef
fectiv
e imp
lemen
tation
of co
rrecti
ve
actio
n in t
he ev
ent o
f any
sign
ifican
t non
-confo
rmity
relat
ing to
food
safet
y.
FSM
M13
Contr
ol of
non c
onfor
mity
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
ensu
res t
hat a
ny pa
ckag
ing m
ateria
ls, w
hich d
o not
confo
rm to
food
safet
y req
uirem
ents,
ar
e clea
rly id
entifi
ed, s
epar
ated a
nd co
ntroll
ed to
prev
ent u
ninten
ded u
se or
deliv
ery.
Thes
e acti
vities
shall
be de
fined
in a
docu
mente
d pr
oced
ure.
FSM
M14
Prod
uct r
eleas
eTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on sh
all pr
epar
e, do
cume
nt, co
ntrol,
appr
ove a
nd im
pleme
nt ap
prop
riate
relea
se pr
oced
ures
.
FSM
. M
15Su
pply
mana
geme
ntTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on co
ntrols
the s
upply
man
agem
ent p
roce
sses
to en
sure
that
all ex
terna
lly so
urce
d mate
rials
and s
ervic
es, w
hich h
ave a
n effe
ct on
food
safe
pack
aging
mate
rials,
confo
rm to
spec
ifier a
nd re
gulat
ory r
equir
emen
ts.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015122GFSI Guidance Document - Part IV
PART IV
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
FSM
M16
Supp
lier p
erfor
manc
e and
appr
oval
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n doc
umen
ted pr
oced
ures f
or the
evalu
ation
, app
roval
and
conti
nued
mon
itorin
g of it
s sup
pliers
, whic
h may
have
an ef
fect o
n foo
d safe
ty thr
ough
the p
acka
ging m
anufa
ctured
, stor
ed, tr
ansp
orted
and
poten
tial u
se. T
he re
sults
of ev
aluati
ons,
inves
tigati
ons a
nd fo
llow-
up ac
tions
shall
be re
corde
d.
FSM
M17
Outso
urcin
g/ su
b- co
ntrac
ting
The s
tanda
rd sh
all re
quire
that
where
an or
ganis
ation
choo
ses t
o outs
ource
/sub-c
ontra
ct an
y proc
ess t
hat m
ay af
fect fo
od sa
fety,
the or
ganis
ation
sh
all en
sure
contr
ol ov
er su
ch pr
oces
ses.
Contr
ol of
such
outso
urced
/ sub
-contr
acted
proc
esse
s sha
ll be i
denti
fied,
docu
mente
d, an
d mon
itored
wi
thin t
he ef
fects
of pa
ckag
ing on
food
safet
y man
agem
ent s
ystem
.
FSM
M18
Comp
laint
hand
ling
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n an e
ffecti
ve sy
stem
for th
e man
agem
ent o
f com
plaint
s and
co
mplai
nt da
ta to
contr
ol an
d corr
ect n
on co
nform
ity.
FSM
M19
Incide
nt ma
nage
ment
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish, im
pleme
nt an
d main
tain a
n effe
ctive
incid
ent m
anag
emen
t proc
edure
for a
ll pac
kagin
g ma
terial
s it s
uppli
es. T
his sh
all co
ver p
lannin
g for
produ
ct wi
thdraw
al an
d prod
uct re
call w
hich s
hall b
e tes
ted on
an ad
equa
te an
d spe
cified
frequ
ency
.
FSM
M 2
0Co
ntrol
of me
asur
ing an
d mon
itorin
g de
vices
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
iden
tify th
e mea
surem
ent o
f para
meter
s criti
cal to
ensu
re foo
d safe
ty fro
m pa
ckag
ing m
ateria
ls.
The m
easu
ring a
nd m
onito
ring e
quipm
ent re
quire
d sha
ll hav
e an a
dequ
ate de
gree o
f acc
uracy
and m
ethod
s rec
ognis
ed an
d vali
dated
. Rou
tine
calib
ration
of th
ese m
easu
ring a
nd m
onito
ring e
quipm
ent s
hall b
e trac
eable
to a
recog
nised
stan
dard.
FSM
M21
Malic
ious i
nterve
ntion
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
docu
mente
d risk
asse
ssme
nt pro
cedu
re in
place
to ad
dress
food
defen
ce ris
ks fro
m pa
ckag
ing an
d esta
blish
, imple
ment
and m
aintai
n a sy
stem
to red
uce o
r elim
inate
the id
entifi
ed ris
ks. T
he sy
stem
shall
cove
r Goo
d Man
ufactu
ring
Prac
tices
and s
hall b
e sup
porte
d thro
ugh t
he ef
fects
of pa
ckag
ing on
food
safet
y sys
tems.
This
may i
nclud
e trad
emark
ed m
ateria
ls, si
te se
curity
, pe
rsonn
el se
lectio
n, ma
nufac
turing
proc
esse
s and
trans
port.
FSM
M 2
2Pr
oduc
t labe
lling
The s
tanda
rd sh
all re
quire
the o
rganis
ation
to en
sure
that a
ll foo
d pac
kagin
g mate
rials
are su
itably
labe
lled/
identi
fied.
FSM
M23
Trac
eabil
ity
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropria
te pro
cedu
res an
d sys
tems t
o ens
ure:
► T
he ab
ility to
trace
or fo
llow
a mate
rial o
r artic
le thr
ough
all s
tages
of m
anufa
cture,
proc
essin
g and
distr
ibutio
n ►
Iden
tifica
tion o
f any
out-s
ource
d prod
uct, i
nputs
or se
rvice
relat
ed to
food
safet
y;►
Prod
uct id
entifi
catio
n tha
t inclu
des a
s a m
inimu
m a u
nique
prod
uct c
ode a
nd m
anufa
cturer
’s ide
ntific
ation
logo
or m
ark to
iden
tify th
e batc
h or
indivi
dual
item
as re
quire
d by t
he cu
stome
r.►
Rec
ord of
purch
aser
and d
elive
ry de
stina
tion f
or all
prod
ucts
supp
lied.
►
Iden
tifica
tion o
f recy
cled m
ateria
ls an
d any
othe
r mate
rials,
from
whate
ver s
ource
, tha
t may
give
rise t
o foo
d safe
ty iss
ues
► Im
pleme
ntatio
n sha
ll be t
imely
and i
nform
ation
prod
uced
shall
be ac
curat
eTr
acea
bility
shall
inclu
de th
e mate
rial s
ource
(one
stag
e bac
k), th
rough
out a
ll prod
uctio
n proc
esse
s, on
to in
terna
l and
exter
nal w
areho
using
and t
he
custo
mer (
one s
tage f
orward
).
FSM
M24
Pack
aging
mate
rial te
sting
Whe
re ex
terna
l prod
uct te
sting
is re
quire
d it s
hall b
e carr
ied ou
t by a
n acc
redite
d tes
t facil
ity or
one t
hat fo
llows
inter
natio
nal te
st fac
ility gu
idelin
es.
Whe
re in-
hous
e tes
ting i
s carr
ied ou
t cali
bratio
n of e
quipm
ent s
hall b
e carr
ied ou
t aga
inst n
ation
al sta
ndard
s or o
ther a
ccura
te me
ans.
Sixth Edition / Version 6.4 / November 2015123GFSI Guidance Document - Part IV
PART IV
FSM
M16
Supp
lier p
erfor
manc
e and
appr
oval
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n doc
umen
ted pr
oced
ures f
or the
evalu
ation
, app
roval
and
conti
nued
mon
itorin
g of it
s sup
pliers
, whic
h may
have
an ef
fect o
n foo
d safe
ty thr
ough
the p
acka
ging m
anufa
ctured
, stor
ed, tr
ansp
orted
and
poten
tial u
se. T
he re
sults
of ev
aluati
ons,
inves
tigati
ons a
nd fo
llow-
up ac
tions
shall
be re
corde
d.
FSM
M17
Outso
urcin
g/ su
b- co
ntrac
ting
The s
tanda
rd sh
all re
quire
that
where
an or
ganis
ation
choo
ses t
o outs
ource
/sub-c
ontra
ct an
y proc
ess t
hat m
ay af
fect fo
od sa
fety,
the or
ganis
ation
sh
all en
sure
contr
ol ov
er su
ch pr
oces
ses.
Contr
ol of
such
outso
urced
/ sub
-contr
acted
proc
esse
s sha
ll be i
denti
fied,
docu
mente
d, an
d mon
itored
wi
thin t
he ef
fects
of pa
ckag
ing on
food
safet
y man
agem
ent s
ystem
.
FSM
M18
Comp
laint
hand
ling
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n an e
ffecti
ve sy
stem
for th
e man
agem
ent o
f com
plaint
s and
co
mplai
nt da
ta to
contr
ol an
d corr
ect n
on co
nform
ity.
FSM
M19
Incide
nt ma
nage
ment
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish, im
pleme
nt an
d main
tain a
n effe
ctive
incid
ent m
anag
emen
t proc
edure
for a
ll pac
kagin
g ma
terial
s it s
uppli
es. T
his sh
all co
ver p
lannin
g for
produ
ct wi
thdraw
al an
d prod
uct re
call w
hich s
hall b
e tes
ted on
an ad
equa
te an
d spe
cified
frequ
ency
.
FSM
M 2
0Co
ntrol
of me
asur
ing an
d mon
itorin
g de
vices
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
iden
tify th
e mea
surem
ent o
f para
meter
s criti
cal to
ensu
re foo
d safe
ty fro
m pa
ckag
ing m
ateria
ls.
The m
easu
ring a
nd m
onito
ring e
quipm
ent re
quire
d sha
ll hav
e an a
dequ
ate de
gree o
f acc
uracy
and m
ethod
s rec
ognis
ed an
d vali
dated
. Rou
tine
calib
ration
of th
ese m
easu
ring a
nd m
onito
ring e
quipm
ent s
hall b
e trac
eable
to a
recog
nised
stan
dard.
FSM
M21
Malic
ious i
nterve
ntion
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has a
docu
mente
d risk
asse
ssme
nt pro
cedu
re in
place
to ad
dress
food
defen
ce ris
ks fro
m pa
ckag
ing an
d esta
blish
, imple
ment
and m
aintai
n a sy
stem
to red
uce o
r elim
inate
the id
entifi
ed ris
ks. T
he sy
stem
shall
cove
r Goo
d Man
ufactu
ring
Prac
tices
and s
hall b
e sup
porte
d thro
ugh t
he ef
fects
of pa
ckag
ing on
food
safet
y sys
tems.
This
may i
nclud
e trad
emark
ed m
ateria
ls, si
te se
curity
, pe
rsonn
el se
lectio
n, ma
nufac
turing
proc
esse
s and
trans
port.
FSM
M 2
2Pr
oduc
t labe
lling
The s
tanda
rd sh
all re
quire
the o
rganis
ation
to en
sure
that a
ll foo
d pac
kagin
g mate
rials
are su
itably
labe
lled/
identi
fied.
FSM
M23
Trac
eabil
ity
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropria
te pro
cedu
res an
d sys
tems t
o ens
ure:
► T
he ab
ility to
trace
or fo
llow
a mate
rial o
r artic
le thr
ough
all s
tages
of m
anufa
cture,
proc
essin
g and
distr
ibutio
n ►
Iden
tifica
tion o
f any
out-s
ource
d prod
uct, i
nputs
or se
rvice
relat
ed to
food
safet
y;►
Prod
uct id
entifi
catio
n tha
t inclu
des a
s a m
inimu
m a u
nique
prod
uct c
ode a
nd m
anufa
cturer
’s ide
ntific
ation
logo
or m
ark to
iden
tify th
e batc
h or
indivi
dual
item
as re
quire
d by t
he cu
stome
r.►
Rec
ord of
purch
aser
and d
elive
ry de
stina
tion f
or all
prod
ucts
supp
lied.
►
Iden
tifica
tion o
f recy
cled m
ateria
ls an
d any
othe
r mate
rials,
from
whate
ver s
ource
, tha
t may
give
rise t
o foo
d safe
ty iss
ues
► Im
pleme
ntatio
n sha
ll be t
imely
and i
nform
ation
prod
uced
shall
be ac
curat
eTr
acea
bility
shall
inclu
de th
e mate
rial s
ource
(one
stag
e bac
k), th
rough
out a
ll prod
uctio
n proc
esse
s, on
to in
terna
l and
exter
nal w
areho
using
and t
he
custo
mer (
one s
tage f
orward
).
FSM
M24
Pack
aging
mate
rial te
sting
Whe
re ex
terna
l prod
uct te
sting
is re
quire
d it s
hall b
e carr
ied ou
t by a
n acc
redite
d tes
t facil
ity or
one t
hat fo
llows
inter
natio
nal te
st fac
ility gu
idelin
es.
Whe
re in-
hous
e tes
ting i
s carr
ied ou
t cali
bratio
n of e
quipm
ent s
hall b
e carr
ied ou
t aga
inst n
ation
al sta
ndard
s or o
ther a
ccura
te me
ans.
Tabl
e I –
Goo
d Ag
ricul
tura
l Pra
ctice
Requ
irem
ents
AI
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GAP
AI 1
Agric
ultur
al inp
ut re
quire
ments
The s
tanda
rd sh
all re
quire
that
proc
edur
es ar
e in p
lace t
o ens
ure t
hat a
gricu
ltura
l and
veter
inary
inputs
are o
f ade
quate
quali
ty for
the
inten
ded u
se, th
at the
appli
catio
n of a
gricu
ltura
l and
veter
inary
inputs
is m
anag
ed pr
oper
ly to
minim
ise th
e pote
ntial
for m
icrob
ial or
chem
ical
conta
mina
tion [
as de
fined
unde
r the
Cod
ex A
limen
tarius
Rec
omme
nded
Inter
natio
nal C
ode o
f Pra
ctice
– Ge
nera
l Prin
ciples
of F
ood
Hygie
ne C
AC/R
CP1-
1969
, Rev
4 -2
003 a
nd sp
ecific
ally C
ode o
f Hyg
ienic
Prac
tice f
or M
eat C
AC/R
CP 58
-200
5] at
levels
that
may a
dver
sely
affec
t the s
afety
of Me
at / M
ilk / E
ggs /
Hon
ey an
d tha
t the p
rodu
cer is
requ
ired t
o tak
e into
cons
idera
tion t
he W
HO gu
idelin
es on
the s
afe
use o
f was
te wa
ter an
d live
stock
excre
ta in
agric
ultur
e, as
appr
opria
te.
GAP
AI 2
Wate
r for
prim
ary l
ivesto
ck pr
oduc
tion
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ide
ntify
the so
urce
s of w
ater u
sed o
n the
farm
(mun
icipa
lity, r
e-us
ed irr
igatio
n wa
ter, w
ell, o
pen c
anal,
rese
rvoir,
river
s, lak
es, fa
rm po
nds e
tc.) a
nd to
asse
ss its
micr
obial
and c
hemi
cal q
uality
and i
ts su
itabil
ity fo
r the
int
ende
d use
and i
denti
fy co
rrecti
ve ac
tions
to pr
even
t or m
inimi
se co
ntami
natio
n (e.g
. from
lives
tock,
sewa
ge tr
eatm
ent, h
uman
habit
ation
). W
here
nece
ssar
y, wa
ter sh
all be
teste
d for
micr
obial
and c
hemi
cal c
ontam
inants
. The
freq
uenc
y of te
sting
will
depe
nd on
the w
ater s
ource
an
d the
risks
of en
viron
menta
l con
tamina
tion i
nclud
ing in
termi
ttent
or te
mpor
ary c
ontam
inatio
n (e.g
. hea
vy ra
in, flo
oding
etc.)
.
GAP
AI 2
.1
Wate
r for
prim
ary l
ivesto
ck pr
oduc
tion
The s
tanda
rd sh
all re
quire
that
meas
ures
are i
n plac
e to p
rotec
t agr
icultu
ral w
ater s
ource
s to m
inimi
se th
e risk
of co
ntami
natio
n. If
agric
ultur
al wa
ter is
stor
ed, ta
nks,
conta
iners
or ci
stern
s mus
t not
be a
sour
ce of
conta
mina
tion f
or w
ater o
r pro
duct.
GAP
AI 2
.2W
ater f
or pr
imar
y live
stock
prod
uctio
nTh
e stan
dard
shall
requ
ire th
at wa
ter co
ntaini
ng ve
terina
ry me
dicine
s sho
uld be
clea
rly id
entifi
ed, s
uitab
ly iso
lated
and m
aintai
ned.
GAP
AI 3
Was
te wa
ter an
d slur
ryTh
e stan
dard
shall
requ
ire th
at un
treate
d was
te wa
ter an
d slur
ry fro
m se
wage
plan
ts mu
st no
t be s
prea
d in a
reas
that
can b
e acc
esse
d by
lives
tock,
or us
ed fo
r the
fertil
isatio
n of p
astur
e lan
d on w
hich a
nimal
feed i
s gro
wing
.
GAP
AI 4
Soils
used
for g
razin
g and
prod
uctio
n of
forag
e for
feed
stuffs
The s
tanda
rd sh
all re
quire
that
soils
be ev
aluate
d for
haza
rds a
nd co
ntami
natio
n. Co
ntrol
meas
ures
shall
be im
pleme
nted t
o red
uce h
azar
ds
to ac
cepta
ble le
vels.
GAP
AI 5
Use o
f med
icine
s and
vacc
ines
The s
tanda
rd sh
all re
quire
that
the m
edici
nes p
rocu
red b
y the
farm
er m
ust b
e pro
perly
mar
ked b
y the
man
ufactu
rer. T
he fa
rmer
mus
t be
able
to de
mons
trate
proo
f of p
urch
ase o
f anim
al me
dicine
s at a
ll tim
es th
roug
h the
use o
f vete
rinar
y med
icine
docu
menta
tion,
rece
ipts
from
the ve
terina
ry ph
arma
cy an
d cop
ies of
veter
inary
pres
cripti
ons o
r pro
ducti
on or
ders
for in
-feed
med
icine
s.It m
ust b
e ens
ured
that
all
docu
menta
tion i
s com
pleted
or ve
rified
by th
e vete
rinar
ian or
reco
gnise
d com
peten
t adv
iser
GAP
AI 6
Loca
tion,
desig
n and
layo
utTh
e stan
dard
shall
requ
ire th
at str
uctur
es be
loca
ted, d
esign
ed an
d con
struc
ted to
ensu
re th
at all
adjoi
ning r
ooms
, equ
ipmen
t, fac
ilities
and
feedin
g sys
tems a
re se
t out
in su
ch a
way a
s to f
acilit
ate pr
oper
clea
ning a
nd pe
st co
ntrol.
SECT
ION
2GO
OD IN
DUST
RY S
ECTO
R PR
ACTI
CE R
EQUI
REME
NTS
Sixth Edition / Version 6.4 / November 2015124GFSI Guidance Document - Part IV
PART IV
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GAP
AI 6
.1Lo
catio
n, de
sign a
nd la
yout
The s
tanda
rd sh
all re
quire
that
all bu
ilding
s be m
arke
d to i
ndica
te tha
t they
conta
in liv
estoc
k and
that
are t
here
is no
entry
to un
autho
rised
pe
rsons
GAP
AI 6
.2Lo
catio
n, de
sign a
nd la
yout
The s
tanda
rd sh
all re
quire
that
the si
te fac
ility b
e fen
ced a
nd th
e entr
y poin
ts co
ntroll
ed by
lock
able
gates
.
GAP
AI 6
.3Lo
catio
n, de
sign a
nd la
yout
The s
tanda
rd sh
all re
quire
that
entry
and e
xit po
ints t
o the
site
be eq
uippe
d for
clea
ning a
nd di
sinfec
ting o
f veh
icle w
heels
.
GAP
AI 6
.4Lo
catio
n, de
sign a
nd la
yout
The s
tanda
rd sh
all re
quire
that
entry
anne
x poin
ts of
the bu
ilding
s be e
quipp
ed w
ith cl
eanin
g mate
rials
and d
isinfe
cting
footw
ear.
GAP
AI 7
Perso
nnel
hygie
ne an
d san
itary
facilit
iesTh
e stan
dard
shall
requ
ire th
at hy
gienic
and s
anita
ry fac
ilities
be av
ailab
le an
d main
taine
d.
GAP
AI 7
.1Pe
rsonn
el hy
giene
and s
anita
ry fac
ilities
The s
tanda
rd sh
all re
quire
that
the fa
cilitie
s be l
ocate
d in c
lose p
roxim
ity to
the fi
elds a
nd in
door
prem
ises a
nd in
suffic
ient n
umbe
rs to
acco
mmod
ate pe
rsonn
el.
GAP
AI 8
Wate
r sup
plyTh
e stan
dard
shall
requ
ire th
at an
adeq
uate
supp
ly of
potab
le or
clea
n wate
r with
appr
opria
te fac
ilities
for it
s stor
age a
nd di
stribu
tion b
e av
ailab
le in
indoo
r, prim
ary p
rodu
ction
facil
ities.
GAP
AI 9
Drain
age a
nd w
aste
dispo
sal
The s
tanda
rd sh
all re
quire
that
adeq
uate
drain
age a
nd w
aste
dispo
sal s
ystem
s and
facil
ities b
e pro
vided
. Sys
tems s
hall b
e des
igned
and
cons
tructe
d to a
void
poten
tial fo
r con
tamina
tion o
f wate
r cou
rses,
highw
ays a
nd ne
ighbo
uring
fields
with
anim
al wa
ste an
d silo
seep
age.
GAP
AI 1
0Pe
rsonn
el tra
ining
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace t
o ens
ure t
hat a
ll emp
loyee
s are
adeq
uatel
y tra
ined,
instru
cted a
nd su
pervi
sed i
n foo
d sa
fety p
rincip
les an
d pra
ctice
s, co
mmen
sura
te wi
th the
ir acti
vity.
GAP
AI 1
1Pe
rsonn
el he
alth a
nd hy
giene
The s
tanda
rd sh
all re
quire
that
there
be hy
giene
and h
ealth
requ
ireme
nts in
plac
e to e
nsur
e tha
t per
sonn
el wh
o com
e dire
ctly i
nto co
ntact
with
lives
tock a
nd fe
edstu
ffs ar
e not
likely
to cr
oss-c
ontam
inate
them.
Visi
tors s
hall a
dher
e to t
he ot
her p
erso
nal h
ygien
e pro
vision
s in t
his
secti
on.
Sixth Edition / Version 6.4 / November 2015125GFSI Guidance Document - Part IV
PART IV
GAP
AI 1
2Pe
rsona
l clea
nline
ssTh
e stan
dard
shall
requ
ire th
at ha
nd w
ashin
g pro
cedu
res b
e in p
lace t
o req
uire h
and w
ashin
g and
the w
earin
g of p
rotec
tive e
quipm
ent,
which
inclu
des t
raini
ng an
d fre
quen
cy of
hand
was
hing a
nd di
sinfec
ting o
f pro
tectiv
e clot
hing a
nd fo
otwea
r.
GAP
AI 1
3Eq
uipme
nt as
socia
ted w
ith pr
oduc
tion
and f
eedin
g and
anim
al he
alth
The s
tanda
rd sh
all re
quire
that
equip
ment
and c
ontai
ners
comi
ng in
to co
ntact
with
lives
tock a
nd fe
edstu
ffs be
mad
e of m
ateria
ls tha
t are
no
n-tox
ic an
d des
igned
and c
onstr
ucted
to en
sure
that
they c
an be
clea
ned,
disinf
ected
and m
aintai
ned t
o avo
id co
ntami
natio
n.
GAP
AI 1
3.1
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at an
effec
tive c
alibr
ation
prog
ramm
e be
follo
wed f
or al
l equ
ipmen
t req
uiring
calib
ratio
n and
posin
g a fo
od
safet
y risk
.
GAP
AI 1
3.2
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt an
d fee
dstuf
fs be
stor
ed in
desig
nated
area
(s) so
that
they d
o not
contr
ibute
to the
conta
mina
tion
of pr
oduc
ts.
GAP
AI 1
3.3
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at ve
terina
ry eq
uipme
nt, in
cludin
g disp
osab
le me
dical
items
used
and u
nuse
d, be
stor
ed se
cure
ly an
d safe
ly ac
cord
ing to
the m
anufa
cture
r's in
struc
tions
.
GAP
AI 1
3.4
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at the
clea
nline
ss an
d suit
abilit
y of m
edica
l instr
umen
ts be
ensu
red.
GAP
AI 1
4Tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
all ve
hicles
, inclu
ding c
ontra
cted o
ut ve
hicles
, use
d for
the t
rans
porta
tion o
f raw
mate
rials
(inclu
ding
feeds
tuffs)
be su
itable
for t
he pu
rpos
e and
do no
t con
tribute
to th
e risk
of cr
oss-c
ontam
inatio
n.
GAP
AI 1
5Pr
even
tion o
f cro
ss-co
ntami
natio
nTh
e stan
dard
shall
requ
ire th
at, du
ring p
rodu
ction
, effe
ctive
mea
sure
s be t
aken
to pr
even
t cro
ss-co
ntami
natio
n fro
m ag
ricult
ural
inputs
, cle
aning
agen
ts, ve
terina
ry me
dicine
s or p
erso
nnel
who c
ome d
irectl
y or in
direc
tly in
to co
ntact
with
other
sites
, anim
als or
agric
ultur
al pr
oduc
ts.
GAP
AI 1
6St
orag
e and
tran
spor
t Th
e stan
dard
shall
requ
ire th
at liv
estoc
k and
prod
ucts
be st
ored
, temp
orar
ily ho
used
and t
rans
porte
d und
er co
nditio
ns, w
hich m
inimi
se th
e po
tentia
l for m
icrob
ial, c
hemi
cal o
r phy
sical
conta
mina
tion.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015126GFSI Guidance Document - Part IV
PART IV
GAP
AI 1
6.1
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
anim
al fee
d be s
tored
secu
rely
and h
andle
d sep
arate
ly fro
m wa
ste liq
uids,
solid
man
ure,
haza
rdou
s su
bstan
ces,
seed
s, an
imal
medic
ation
and c
leanin
g che
mica
ls. It
must
not b
e con
tamina
ted by
pack
aging
or ot
her f
oreig
n mate
rials.
GAP
AI 1
6.2
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
stora
ge si
tes fo
r anim
al fee
d and
anim
al fee
d com
pone
nts be
chec
ked a
t reg
ular in
terva
ls for
clea
nline
ss,
fungu
s, mo
ulds a
nd te
mper
ature
and t
he se
nsor
y pro
pertie
s of th
e fee
d.
GAP
AI 1
6.3
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
the m
ixing
of fe
eds f
rom
differ
ent s
pecie
s, gr
ower
s or m
anufa
cture
rs be
avoid
ed by
using
sepa
rate
silos
and
other
mea
ns of
stor
age.
Suita
ble st
orag
e sho
uld al
low th
e inte
grity
of ba
tch nu
mber
s, lot
numb
ers o
r the
origi
nator
’s ide
ntific
ation
mar
ks to
be
retai
ned.
GAP
AI 1
6.4
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
anim
al me
dicine
be st
ored
in ac
cord
ance
with
the i
nform
ation
on th
e lab
el.
GAP
AI 1
6.5
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
in-fee
d med
icine
s be s
tored
in su
ch a
way t
hat th
e risk
of un
inten
tiona
l feed
ing to
anim
als is
mini
mise
d.
GAP
AI 1
6.6
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
equip
ment
for th
e stor
age o
f liqu
id ma
nure
, con
tamina
ted ya
rd w
ater a
nd si
lo se
epag
e liqu
ids be
stab
le an
d pe
rman
ently
wate
rtight.
GAP
AI 1
7Cl
eanin
g, ma
inten
ance
and s
anita
tion
The s
tanda
rd sh
all re
quire
that
prem
ises b
e kep
t in an
appr
opria
te sta
te of
repa
ir and
cond
ition t
o fac
ilitate
clea
ning a
nd di
sinfec
tion.
Clea
ning m
ateria
ls, ve
terina
ry me
dicine
s and
haza
rdou
s sub
stanc
es su
ch as
agric
ultur
al ch
emica
ls sh
all be
spec
ificall
y ide
ntifia
ble an
d kep
t or
stor
ed se
para
tely i
n sec
ure s
torag
e fac
ilities
. Clea
ning m
ateria
ls, ve
terina
ry me
dicine
s and
agric
ultur
al ch
emica
ls sh
all be
used
acco
rding
to
the m
anufa
cture
r’s in
struc
tions
for t
heir i
ntend
ed pu
rpos
e.
GAP
AI 1
8Cl
eanin
g pro
gram
mes
The s
tanda
rd sh
all re
quire
that
clean
ing an
d disi
nfecti
on pr
ogra
mmes
be in
plac
e. Cl
eanin
g and
disin
fectio
n sys
tems s
hall b
e mon
itore
d, me
asur
ed fo
r effe
ctive
ness
and s
hall b
e reg
ularly
revie
wed a
nd ad
apted
to re
flect
chan
ging c
ircum
stanc
es an
d dise
ase r
isk.
GAP
AI 1
9Cl
eanin
g pro
cedu
res a
nd m
ethod
sTh
e stan
dard
shall
requ
ire th
at the
appr
opria
te cle
aning
meth
ods a
nd m
ateria
ls be
emplo
yed.
Clea
ning p
roce
dure
s will
be re
flecti
ve of
the
type o
f pro
ducti
on sy
stem,
its in
tensit
y and
the a
nimal
spec
ies.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015127GFSI Guidance Document - Part IV
PART IV
GAP
AI 2
0 P
est c
ontro
l sys
tems
The s
tanda
rd sh
all re
quire
that,
whe
n prim
ary p
rodu
ction
is ca
rried
out in
indo
or es
tablis
hmen
ts, th
e rec
omme
ndati
ons o
f the C
odex
Al
imen
tarius
Rec
omme
nded
Inter
natio
nal C
ode o
f Pra
ctice
– Ge
nera
l Prin
ciples
of F
ood H
ygien
e CAC
/RCP
1-19
69, R
ev 4
-200
3, an
d sp
ecific
ally C
ode o
f Hyg
ienic
Prac
tice f
or M
eat C
AC/R
CP 58
-200
5] sh
all be
follo
wed w
ith re
spec
t to pe
st co
ntrol.
GAP
AI 2
1 W
aste
mana
geme
ntTh
e stan
dard
shall
requ
ire th
at su
itable
prov
ision
s be m
ade f
or th
e stor
age a
nd re
mova
l of g
ener
al wa
ste. S
torag
e are
as fo
r was
te sh
all be
ke
pt cle
an.
GAP
AI 2
1.1
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
suita
ble pr
ovisi
ons b
e mad
e for
the s
torag
e and
remo
val o
f vete
rinar
y clin
ical w
aste.
GAP
AI 2
1.2
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
anim
al ca
rcass
es fo
r disp
osal
be st
ored
outsi
de pr
oduc
tion a
reas
. Car
cass
disp
osal
comp
anies
shou
ld no
t pa
ss th
roug
h the
prod
uctio
n fac
ilities
to re
move
carca
sses
.
GAP
AI 2
1.3
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
farmy
ard m
anur
e be c
ollec
ted in
a fix
ed lo
catio
n with
suita
ble se
rvice
s fitte
d with
a firm
and t
idewa
ter
impe
rmea
ble gr
ound
slab
. Pou
ltry m
anur
e is n
ot re
gard
ed as
solid
man
ure a
nd sh
ould
be tr
eated
acco
rding
ly.
GAP
AI 2
1.4
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
veter
inary
medic
ines t
hat h
ave r
each
ed th
eir ex
piry d
ate be
disp
osed
of ac
cord
ing to
the m
anufa
cture
r's
instru
ction
s and
in co
mplia
nce w
ith na
tiona
l legis
lation
.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015128GFSI Guidance Document - Part IV
PART IV
Tabl
e II
– Go
od A
quac
ultu
ral P
racti
ceRe
quire
men
ts AI
I
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GAP
AII
1Aq
uacu
lture
inpu
t req
uirem
ents
The s
tanda
rd sh
all re
quire
that
proc
edur
es ar
e in p
lace t
o ens
ure t
hat a
gricu
ltura
l and
veter
inary
inputs
are o
f ade
quate
quali
ty for
the
inten
ded u
se, th
at ap
plica
tion o
f agr
icultu
ral a
nd ve
terina
ry inp
uts is
man
aged
prop
erly
to mi
nimise
the p
otenti
al for
micr
obial
or ch
emica
l co
ntami
natio
n [as
defin
ed un
der t
he C
odex
Alim
enta
rius
Rec
omm
ende
d In
tern
atio
nal C
ode
of P
ract
ice
– G
ener
al P
rinc
iple
s of
Fo
od H
ygie
ne C
AC/R
CP1-
1969
, R
ev 4
-20
03 a
nd s
peci
fical
ly C
ode
of p
ract
ice
for
fish
and
fishe
ry p
rodu
cts
CAC/
RCP
52-
2003
] at
levels
that
may a
dver
sely
affec
t the s
afety
of fis
h and
fishe
ry pr
oduc
ts.
GAP
AII
2W
ater f
or aq
uacu
lture
prod
uctio
n
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ide
ntify
the so
urce
s of w
ater u
sed f
or aq
uacu
lture
prod
uctio
n acti
vities
and t
o as
sess
its m
icrob
ial an
d che
mica
l qua
lity an
d its
suita
bility
for t
he in
tende
d use
and i
denti
fy co
rrecti
ve ac
tions
to pr
even
t or m
inimi
se
conta
mina
tion (
e.g. fr
om liv
ing pr
oduc
tion s
tock,
huma
n hab
itatio
n and
chem
ical c
ontam
inants
). W
ater s
hall b
e tes
ted fo
r micr
obial
an
d che
mica
l con
tamina
nts. T
he fr
eque
ncy o
f testi
ng sh
all de
pend
on th
e wate
r sou
rce an
d the
risks
of en
viron
menta
l con
tamina
tion
includ
ing in
termi
ttent
or te
mpor
ary c
ontam
inatio
n (e.g
. hea
vy ra
in, flo
oding
, tida
l flow
s etc.
). W
atersh
ed w
ater s
hould
be te
sted f
or po
tentia
l co
ntami
nants
such
as P
CB’s
and h
eavy
meta
ls ba
sed o
n a si
te ris
k ass
essm
ent.
GAP
AII
2.1
W
ater f
or aq
uacu
lture
prod
uctio
nTh
e stan
dard
shall
requ
ire th
at wa
ter co
ntaini
ng ve
terina
ry me
dicine
s or f
eed a
dditiv
es be
clea
rly id
entifi
ed, s
uitab
ly iso
lated
and m
aintai
ned.
GAP
AII
3W
aste
water
and s
lurry
The s
tanda
rd sh
all re
quire
that
waste
wate
r and
slur
ry fro
m po
nds b
e disp
osed
of le
gally
and i
n a m
anne
r tha
t pre
vents
conta
mina
tion o
f lan
d and
wate
r cou
rses.
GAP
AII
4Us
e of m
edici
nes a
nd va
ccine
sTh
e stan
dard
shall
requ
ire th
at the
med
icine
s pro
cure
d be l
egall
y per
mitte
d with
in tha
t juris
dictio
n and
prop
erly
marke
d by t
he m
anufa
cture
r. Th
e far
mer m
ust b
e able
to de
mons
trate
proo
f of p
urch
ase o
f vete
rinar
y med
icine
s at a
ll tim
es th
roug
h the
use o
f vete
rinar
y med
icine
do
cume
ntatio
n, re
ceipt
s fro
m the
veter
inary
phar
macy
and c
opies
of ve
terina
ry pr
escri
ption
s or p
rodu
ction
orde
rs for
in-fe
ed m
edici
nes.
GAP
AII4
.1Us
e of m
edici
nes a
nd va
ccine
sTh
e stan
dard
shall
requ
ire th
at all
docu
menta
tion i
s com
pleted
or ve
rified
by th
e vete
rinar
ian or
reco
gnise
d com
peten
t adv
iser.
Sixth Edition / Version 6.4 / November 2015129GFSI Guidance Document - Part IV
PART IV
GAP
AII
4.2
Use o
f med
icine
s and
vacc
ines
The s
tanda
rd sh
all re
quire
that
there
be no
use o
f natu
ral o
r syn
thetic
horm
ones
or an
tibiot
ic ag
ents
used
with
the p
urpo
se of
a gr
owth
prom
oting
effec
t.
GAP
AII
5Lo
catio
n, de
sign a
nd la
yout
of str
uctur
es an
d ves
sels
The s
tanda
rd sh
all re
quire
that
struc
tures
be lo
cated
, des
igned
and c
onstr
ucted
to en
sure
that
all ad
joinin
g roo
ms, e
quipm
ent, f
acilit
ies an
d fee
ding s
ystem
s are
set o
ut in
such
a wa
y as t
o fac
ilitate
prop
er cl
eanin
g and
pest
contr
ol.
GAP
AII
5.1
Loca
tion,
desig
n and
layo
ut of
struc
tures
and v
esse
lsTh
e stan
dard
shall
requ
ire th
at ve
ssels
be de
signe
d and
cons
tructe
d to e
nsur
e tha
t all c
atch l
andin
g are
as fa
cilita
te pr
oper
clea
ning a
nd ar
e fre
e fro
m po
tentia
l con
tamina
nts su
ch as
oils,
grea
se, fu
els an
d clea
ning c
hemi
cals.
GAP
AII
5.2
Loca
tion,
desig
n and
layo
ut of
struc
tures
and v
esse
lsTh
e stan
dard
shall
requ
ire th
at the
aqua
cultu
re si
te fac
ility b
e fen
ced a
nd th
e entr
y poin
t con
trolle
d by l
ocka
ble ga
tes.
GAP
AII
6Pe
rsonn
el hy
giene
and s
anita
ry fac
ilities
The s
tanda
rd sh
all re
quire
that
hygie
nic an
d san
itary
facilit
ies be
avail
able
and m
aintai
ned.
GAP
AII
6.1
Perso
nnel
hygie
ne an
d san
itary
facilit
iesTh
e stan
dard
shall
requ
ire th
at the
facil
ities b
e loc
ated i
n clos
e pro
ximity
to th
e wor
k stat
ion an
d of a
suffic
ient n
umbe
r to a
ccom
moda
te all
pe
rsonn
el.
GAP
AII
7W
ater s
upply
The s
tanda
rd sh
all re
quire
that
an ad
equa
te su
pply
of po
table
or cl
ean w
ater w
ith ap
prop
riate
facilit
ies fo
r its s
torag
e and
distr
ibutio
n be
avail
able.
Whe
re w
ater is
supp
lied a
nd us
ed th
at is
not o
f pota
ble qu
ality
it will
be cl
early
mar
ked.
GAP
AII
8Dr
ainag
e and
was
te dis
posa
lTh
e stan
dard
shall
requ
ire th
at ad
equa
te dr
ainag
e and
was
te dis
posa
l sys
tems a
nd fa
cilitie
s be p
rovid
ed. S
ystem
s sha
ll be d
esign
ed an
d co
nstru
cted t
o avo
id the
poten
tial fo
r con
tamina
tion.
GAP
AII
9Pe
rsonn
el tra
ining
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace t
o ens
ure t
hat a
ll emp
loyee
s are
adeq
uatel
y tra
ined,
instru
cted a
nd su
pervi
sed i
n foo
d sa
fety p
rincip
les an
d pra
ctice
s, co
mmen
sura
te wi
th the
ir acti
vity.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015130GFSI Guidance Document - Part IV
PART IV
GAP
AII
10Pe
rsonn
el he
alth a
nd hy
giene
The s
tanda
rd sh
all re
quire
that
there
be hy
giene
and h
ealth
requ
ireme
nts in
plac
e to e
nsur
e tha
t per
sonn
el ar
e not
likely
to cr
oss-
conta
mina
te pr
oduc
ts. V
isitor
s sha
ll adh
ere t
o the
othe
r per
sona
l hyg
iene p
rovis
ions i
n this
secti
on.
GAP
AII
11Pe
rsona
l clea
nline
ssTh
e stan
dard
shall
requ
ire th
at ha
nd w
ashin
g pro
cedu
res b
e in p
lace t
o req
uire h
and w
ashin
g and
the w
earin
g of p
rotec
tive e
quipm
ent,
which
inclu
des t
raini
ng an
d fre
quen
cy of
hand
was
hing a
nd di
sinfec
ting o
f pro
tectiv
e clot
hing a
nd fo
otwea
r.
GAP
AII
12Eq
uipme
nt as
socia
ted w
ith pr
oduc
tion
and f
eedin
g and
anim
al he
alth
The s
tanda
rd sh
all re
quire
that
equip
ment
and c
ontai
ners
comi
ng in
to co
ntact
with
living
stoc
k and
feed
stuffs
be m
ade o
f mate
rials
that a
re
non-
toxic
and d
esign
ed an
d con
struc
ted to
ensu
re th
at the
y can
be cl
eane
d, dis
infec
ted an
d main
taine
d to a
void
conta
mina
tion.
GAP
AII
12.1
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at an
effec
tive c
alibr
ation
prog
ramm
e be f
ollow
ed fo
r all e
quipm
ent r
equir
ing ca
libra
tion a
nd po
sing a
food
sa
fety r
isk.
GAP
AII
12.2
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt an
d fee
dstuf
fs be
stor
ed in
desig
nated
area
(s) so
that
they d
o not
contr
ibute
to the
conta
mina
tion
of pr
oduc
ts.
GAP
AII
12.3
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at ve
terina
ry eq
uipme
nt, in
cludin
g disp
osab
le me
dical
items
used
and u
nuse
d, be
stor
ed se
cure
ly an
d safe
ly ac
cord
ing to
the m
anufa
cture
r's in
struc
tions
.
GAP
AII
12.4
Equip
ment
asso
ciated
with
prod
uctio
n an
d fee
ding a
nd an
imal
healt
hTh
e stan
dard
shall
requ
ire th
at the
clea
nline
ss an
d suit
abilit
y of m
edica
l instr
umen
ts be
ensu
red.
GAP
AII
13Tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
all ve
hicles
, inclu
ding c
ontra
cted o
ut ve
hicles
, use
d for
the t
rans
porta
tion o
f raw
mate
rials
(inclu
ding i
ce,
feeds
tuffs
and f
ry) be
suita
ble fo
r the
purp
ose a
nd do
not c
ontrib
ute to
the r
isk of
cros
s-con
tamina
tion.
GAP
AII
14Pr
even
tion o
f cro
ss-co
ntami
natio
nTh
e stan
dard
shall
requ
ire th
at, du
ring p
rodu
ction
, effe
ctive
mea
sure
s be t
aken
to pr
even
t cro
ss-co
ntami
natio
n fro
m inp
uts, c
leanin
g age
nts,
veter
inary
medic
ines o
r per
sonn
el wh
o com
e dire
ctly o
r indir
ectly
into
conta
ct wi
th oth
er si
tes or
vess
els.
GAP
AII
15St
orag
e and
tran
spor
t Th
e stan
dard
shall
requ
ire th
at aq
uacu
lture
and fi
sher
y pro
ducts
be st
ored
, temp
orar
ily st
ored
and t
rans
porte
d und
er co
nditio
ns, w
hich
minim
ise th
e pote
ntial
for m
icrob
ial, c
hemi
cal o
r phy
sical
conta
mina
tion.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015131GFSI Guidance Document - Part IV
PART IV
GAP
AII
15.1
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
aqua
cultu
re fe
ed be
stor
ed se
cure
ly an
d han
dled s
epar
ately
from
waste
liquid
s, ha
zard
ous s
ubsta
nces
, ve
terina
ry me
dicati
on an
d clea
ning c
hemi
cals.
It mu
st no
t be c
ontam
inated
by pa
ckag
ing m
ateria
l or o
ther f
oreig
n mate
rials.
GAP
AII
15.2
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
stora
ge si
tes fo
r aqu
acult
ure f
eed a
nd aq
uacu
lture
feed
comp
onen
ts be
chec
ked a
t reg
ular in
terva
ls for
cle
anlin
ess,
fungu
s, mo
ulds,
tempe
ratur
e and
othe
r pote
ntial
conta
mina
tion.
GAP
AII
15.3
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
the m
ixing
of aq
uacu
lture
feed
s fro
m dif
feren
t man
ufactu
rers
be av
oided
by us
ing se
para
te sil
os an
d othe
r me
ans o
f stor
age.
Suita
ble st
orag
e sho
uld al
low th
e inte
grity
of ba
tch nu
mber
s, lot
numb
ers o
r the
origi
nator
’s ide
ntific
ation
mar
ks to
be
retai
ned.
GAP
AII
15.4
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
veter
inary
medic
ine be
stor
ed in
acco
rdan
ce w
ith th
e info
rmati
on on
the l
abel.
GAP
AII
15.5
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
in-fee
d med
icine
s be s
tored
in su
ch a
way t
hat th
e risk
of th
e unin
tentio
nal fe
eding
of fis
h is m
inimi
sed.
GAP
AII
15.6
Stor
age a
nd tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
equip
ment
for th
e stor
age o
f liqu
id wa
ste pr
oduc
ts be
stab
le an
d per
mane
ntly w
atertig
ht.
GAP
AII
16Cl
eanin
g, ma
inten
ance
and s
anita
tion
The s
tanda
rd sh
all re
quire
that
prem
ises a
nd ve
ssels
be ke
pt in
an ap
prop
riate
state
of re
pair a
nd co
nditio
n to f
acilit
ate cl
eanin
g and
dis
infec
tion.
Clea
ning m
ateria
ls, ve
terina
ry me
dicine
s and
haza
rdou
s sub
stanc
es su
ch as
chem
icals,
fuels
and l
ubric
ants
shall
be
spec
ificall
y ide
ntifia
ble an
d kep
t or s
tored
sepa
ratel
y in s
ecur
e stor
age f
acilit
ies. C
leanin
g mate
rials
and v
eterin
ary m
edici
nes s
hall b
e use
d ac
cord
ing to
the m
anufa
cture
r’s in
struc
tions
for t
heir i
ntend
ed pu
rpos
e.
GAP
AII
17Cl
eanin
g pro
gram
mes
The s
tanda
rd sh
all re
quire
that
clean
ing an
d disi
nfecti
on pr
ogra
mmes
be in
plac
e. Cl
eanin
g and
disin
fectio
n sys
tems s
hall b
e mon
itore
d, me
asur
ed fo
r effe
ctive
ness
and s
hall b
e reg
ularly
revie
wed a
nd ad
apted
to re
flect
chan
ging c
ircum
stanc
es an
d dise
ase r
isk.
GAP
AII
18Cl
eanin
g pro
cedu
res a
nd m
ethod
sTh
e stan
dard
shall
requ
ire th
at ap
prop
riate
clean
ing m
ethod
s and
mate
rials
be em
ploye
d. Cl
eanin
g pro
cedu
res s
hall b
e refl
ectiv
e of th
e typ
e of
captu
re an
d pro
ducti
on sy
stem,
the i
ntens
ity an
d the
anim
al sp
ecies
.
GAP
AII
19 P
est c
ontro
l sys
tems
The s
tanda
rd sh
all re
quire
that,
whe
n prim
ary p
rodu
ction
is ca
rried
out in
indo
or es
tablis
hmen
ts, th
e rec
omme
ndati
ons o
f the C
odex
Al
imen
tarius
Rec
omme
nded
Inter
natio
nal C
ode o
f Pra
ctice
– Ge
nera
l Prin
ciples
of F
ood H
ygien
e CAC
/RCP
1-19
69, R
ev 4
-200
3, an
d sp
ecific
ally C
ode o
f pra
ctice
for fi
sh an
d fish
ery p
rodu
cts C
AC/R
CP 52
-200
3] be
adhe
red t
o.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015132GFSI Guidance Document - Part IV
PART IV
GAP
AII
20 W
aste
mana
geme
ntTh
e stan
dard
shall
requ
ire th
at su
itable
prov
ision
be m
ade f
or th
e stor
age a
nd re
mova
l of g
ener
al wa
ste. S
torag
e are
as fo
r was
te sh
all be
ke
pt cle
an.
GAP
AII
20.1
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
suita
ble pr
ovisi
on be
mad
e for
the s
torag
e and
remo
val o
f vete
rinar
y clin
ical w
aste.
GAP
AII
20.2
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
dead
fish f
or di
spos
al be
stor
ed ou
tside
prod
uctio
n are
as. D
ispos
al co
mpan
ies sh
ould
not p
ass t
hrou
gh th
e pr
oduc
tion f
acilit
ies to
remo
ve w
aste.
GAP
AII
20.3
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
veter
inary
medic
ines t
hat h
ave r
each
ed th
eir ex
piry d
ate be
disp
osed
of ac
cord
ing to
the m
anufa
cture
r's
instru
ction
s and
in co
mplia
nce w
ith na
tiona
l legis
lation
.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Tabl
e III
– G
ood
Agric
ultu
ral P
racti
ceRe
quire
men
ts BI
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GAP
BI 1
Agric
ultur
al inp
ut re
quire
ments
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ens
ure t
hat a
gricu
ltura
l inpu
ts ar
e of a
dequ
ate qu
ality
for th
e inte
nded
use,
that
appli
catio
n of a
gricu
ltura
l inpu
ts is
mana
ged p
rope
rly to
mini
mise
the p
otenti
al for
micr
obial
or ch
emica
l con
tamina
tion [
as de
fined
unde
r the
Co
dex A
limen
tarius
Rec
omme
nded
Inter
natio
nal C
ode o
f Pra
ctice
– Ge
nera
l Prin
ciples
of F
ood H
ygien
e CAC
/RCP
1-19
69, R
ev 4
-200
3 ]
at lev
els th
at ma
y adv
erse
ly aff
ect th
e safe
ty of
fresh
fruit
s and
vege
tables
and t
hat th
e pro
duce
r is re
quire
d to t
ake i
nto co
nside
ratio
n the
W
HO gu
idelin
es on
the s
afe us
e of w
aste
water
and e
xcre
ta in
agric
ultur
e as a
ppro
priat
e.
GAP
BI 2
Wate
r for
prim
ary p
rodu
ction
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ide
ntify
the so
urce
s of w
ater u
sed o
n the
farm
(mun
icipa
lity, r
e-us
ed irr
igatio
n wa
ter, w
ell, o
pen c
anal,
rese
rvoir,
river
s, lak
es, fa
rm po
nds e
tc.) a
nd to
asse
ss th
eir m
icrob
ial an
d che
mica
l qua
lity an
d suit
abilit
y for
int
ende
d use
and i
denti
fy co
rrecti
ve ac
tions
to pr
even
t or m
inimi
se co
ntami
natio
n (e.g
. from
lives
tock,
sewa
ge tr
eatm
ent, h
uman
habit
ation
). W
here
nece
ssar
y, wa
ter sh
all be
teste
d for
micr
obial
and c
hemi
cal c
ontam
inants
. The
freq
uenc
y of te
sting
will
depe
nd on
the w
ater s
ource
an
d the
risks
of en
viron
menta
l con
tamina
tion i
nclud
ing in
termi
ttent
or te
mpor
ary c
ontam
inatio
n (e.g
. hea
vy ra
in, flo
oding
etc.)
or pe
riods
of
drou
ght
Sixth Edition / Version 6.4 / November 2015133GFSI Guidance Document - Part IV
PART IV
GAP
BI 2
.1
Wate
r for
prim
ary p
rodu
ction
The s
tanda
rd sh
all re
quire
that
meas
ures
be in
plac
e to p
rotec
t agr
icultu
ral w
ater s
ource
s to m
inimi
se th
e risk
of co
ntami
natio
n. If
agric
ultur
al wa
ter is
stor
ed, ta
nks,
conta
iners
or ci
stern
s mus
t not
be a
sour
ce of
conta
mina
tion f
or w
ater o
r pro
duct.
GAP
BI 3
Wate
r for
irriga
tion a
nd ha
rvesti
ngTh
e stan
dard
shall
requ
ire th
at wa
ter us
ed fo
r agr
icultu
ral p
urpo
ses b
e of s
uitab
le qu
ality
for its
inten
ded u
se.
GAP
BI 4
Wate
r for
fertil
isers,
pest
contr
ol an
d oth
er ag
ricult
ural
chem
icals
The s
tanda
rd sh
all re
quire
that
water
used
for t
he ap
plica
tion o
f wate
r-solu
ble fe
rtilise
rs an
d agr
icultu
ral c
hemi
cals
in the
field
and i
ndoo
rs do
es no
t con
tain m
icrob
ial or
chem
ical c
ontam
inants
at le
vels
that m
ay ad
verse
ly aff
ect th
e safe
ty of
fresh
fruit
s and
vege
tables
.
GAP
BI 5
Hydr
opon
ic wa
terTh
e stan
dard
shall
requ
ire th
at wa
ter us
ed in
hydr
opon
ic cu
lture
be ch
ange
d fre
quen
tly or
, if re
cycle
d, be
trea
ted to
mini
mise
micr
obial
and
chem
ical c
ontam
inatio
n. W
ater d
elive
ry sy
stems
shall
be m
aintai
ned a
nd cl
eane
d, as
appr
opria
te, to
prev
ent th
e micr
obial
conta
mina
tion o
f wa
ter.
GAP
BI 6
Manu
re, b
io so
lids a
nd ot
her n
atura
l fer
tilise
rs
The s
tanda
rd sh
all re
quire
that
there
be pr
oper
trea
tmen
t pro
cedu
res (
e.g. c
ompo
sting
, pas
teuris
ation
, hea
t dryi
ng, U
Virra
diatio
n, alk
ali
diges
tion,
sun d
rying
, man
agem
ent p
racti
ces i
nclud
ing ap
prop
riate
delay
s betw
een a
pplic
ation
of ag
ricult
ural
inputs
and h
arve
sting
of th
e cro
p or c
ombin
ation
s of th
ese)
that
are d
esign
ed to
redu
ce or
elim
inate
patho
gens
in m
anur
e, bio
solid
s and
othe
r natu
ral fe
rtilise
rs. A
s a
minim
um, th
e use
of un
treate
d bio
solid
s sha
ll be p
rohib
ited.
GAP
BI 7
Soil
The s
tanda
rd sh
all re
quire
that
soils
be ev
aluate
d for
haza
rds.
Contr
ol me
asur
es sh
all be
imple
mente
d to r
educ
e haz
ards
to ac
cepta
ble
levels
.
GAP
BI 8
Agric
ultur
al ch
emica
lsTh
e stan
dard
shall
requ
ire th
at on
ly ag
ricult
ural
chem
icals,
whic
h are
autho
rised
for t
he cu
ltivati
on of
the s
pecifi
c fru
it or v
egeta
ble be
used
an
d use
d acc
ordin
g to t
he m
anufa
cture
r’s in
struc
tions
, loca
l regu
lation
s and
for t
he in
tende
d pur
pose
. Res
idues
shall
not e
xcee
d lev
els as
es
tablis
hed b
y the
Cod
ex A
limen
tarius
Com
miss
ion or
loca
l regu
lator
y req
uirem
ents.
GAP
BI 8
.1Ag
ricult
ural
chem
icals
The s
tanda
rd sh
all re
quire
that
antim
icrob
ial ag
ents
not s
ignific
ant to
huma
n and
anim
al the
rapy
be us
ed on
ly wh
en un
avoid
able
and i
n ac
cord
ance
with
good
agric
ultur
al pr
actic
es an
d in a
man
ner t
hat a
chiev
es th
is ob
jectiv
e.
GAP
BI 8
.2Ag
ricult
ural
chem
icals
The s
tanda
rd sh
all re
quire
that
agric
ultur
al wo
rkers
who a
pply
agric
ultur
al ch
emica
ls be
train
ed in
the p
rope
r app
licati
on pr
oced
ures
.
GAP
BI 8
.3Ag
ricult
ural
chem
icals
The s
tanda
rd sh
all re
quire
that
docu
menta
tion o
f agr
icultu
ral c
hemi
cal a
pplic
ation
s be m
aintai
ned.
Reco
rds s
hall i
nclud
e info
rmati
on on
the
date
of ap
plica
tion,
the ch
emica
l use
d, the
crop
spra
yed,
the co
ncen
tratio
n, me
thod a
nd fr
eque
ncy o
f app
licati
on an
d rec
ords
on ha
rvesti
ng
to ve
rify th
at the
time b
etwee
n app
licati
on an
d har
vesti
ng is
appr
opria
te. A
gricu
ltura
l che
mica
ls sh
all be
lega
l with
in the
loca
l and
mar
ket
jurisd
iction
, cor
rectl
y lab
elled
, stor
ed in
a sa
fe, w
ell ve
ntilat
ed pl
ace a
way f
rom
prod
uctio
n are
as, li
ving a
reas
and h
arve
sted f
ruits
or
vege
tables
and d
ispos
ed of
in a
mann
er th
at do
es no
t pos
e a ris
k of c
ontam
inatin
g cro
ps
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015134GFSI Guidance Document - Part IV
PART IV
GAP
BI 9
Biolo
gical
contr
olTh
e stan
dard
shall
requ
ire th
at on
ly bio
logica
l con
trols,
whic
h are
autho
rised
for t
he cu
ltivati
on of
the s
pecifi
c fru
it or v
egeta
ble be
used
and
are u
sed a
ccor
ding t
o the
man
ufactu
rer’s
instr
uctio
ns fo
r the
inten
ded p
urpo
se.
GAP
BI 1
0Ind
oor f
acilit
ies as
socia
ted w
ith
grow
ing an
d har
vesti
ngTh
e stan
dard
shall
requ
ire th
at, fo
r ope
ratio
ns w
here
fres
h fru
its an
d veg
etable
s are
grow
n ind
oors
(gre
enho
uses
, hyd
ropo
nic cu
lture
, etc.
), fac
ilities
be su
itable
and d
o not
contr
ibute
to foo
d safe
ty ris
ks fo
r the
se pr
oduc
ts.
GAP
BI 1
1Lo
catio
n, de
sign a
nd la
yout
The s
tanda
rd sh
all re
quire
that
struc
tures
be lo
cated
, des
igned
and c
onstr
ucted
to av
oid th
e con
tamina
tion o
f fres
h fru
its an
d veg
etable
s an
d the
harb
ourin
g of p
ests
such
as in
sects
, rod
ents
and b
irds.
Whe
re ap
prop
riate,
the i
ntern
al de
sign a
nd la
yout
shall
perm
it com
plian
ce
with
good
hygie
ne pr
actic
es fo
r the
prim
ary p
rodu
ction
of fr
esh f
ruits
and v
egeta
bles i
ndoo
rs, in
cludin
g pro
tectio
n aga
inst c
ross
-co
ntami
natio
n betw
een a
nd du
ring o
pera
tions
.
GAP
BI 1
2Pe
rsonn
el hy
giene
and s
anita
ry fac
ilities
The s
tanda
rd sh
all re
quire
that
hygie
nic an
d san
itary
facilit
ies be
avail
able
and m
aintai
ned t
o avo
id co
ntami
natio
n of th
e gro
wing
sites
, of
fresh
fruit
s and
vege
tables
or of
agric
ultur
al inp
uts. T
hese
facil
ities s
hould
be lo
cated
in cl
ose p
roxim
ity to
the fi
elds a
nd in
door
prem
ises a
nd
in su
fficien
t num
bers
to ac
comm
odate
perso
nnel.
GAP
BI 1
3W
ater s
upply
The s
tanda
rd sh
all re
quire
that
an ad
equa
te su
pply
of po
table
or cl
ean w
ater w
ith ap
prop
riate
facilit
ies fo
r its s
torag
e and
distr
ibutio
n be
avail
able
in ind
oor p
rimar
y pro
ducti
on fa
cilitie
s.
GAP
BI 1
4Dr
ainag
e and
was
te dis
posa
lTh
e stan
dard
shall
requ
ire th
at ad
equa
te dr
ainag
e and
was
te dis
posa
l sys
tems a
nd fa
cilitie
s be p
rovid
ed. S
ystem
s sha
ll be d
esign
ed an
d co
nstru
cted t
o avo
id the
poten
tial fo
r con
tamina
tion o
f fres
h fru
its an
d veg
etable
s, ag
ricult
ural
inputs
or th
e pota
ble w
ater s
upply
.
GAP
BI 1
5Pe
rsonn
el tra
ining
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace t
o ens
ure t
hat a
ll emp
loyee
s are
adeq
uatel
y tra
ined,
instru
cted a
nd su
pervi
sed i
n foo
d sa
fety p
rincip
les an
d pra
ctice
s, co
mmen
sura
te wi
th the
ir acti
vity.
GAP
BI 1
6Pe
rsonn
el he
alth a
nd hy
giene
The s
tanda
rd sh
all re
quire
that
there
be hy
giene
and h
ealth
requ
ireme
nts in
plac
e to e
nsur
e tha
t per
sonn
el wh
o com
e dire
ctly i
nto co
ntact
with
fresh
fruit
s and
vege
tables
durin
g or a
fter h
arve
sting
are n
ot lik
ely to
conta
mina
te the
m. V
isitor
s sha
ll adh
ere t
o the
othe
r per
sona
l hy
giene
prov
ision
s in t
his se
ction
.
GAP
BI 1
7He
alth s
tatus
The s
tanda
rd sh
all re
quire
that
peop
le kn
own,
or su
spec
ted to
be su
fferin
g fro
m or
to be
a ca
rrier
of a
disea
se or
illne
ss lik
ely to
be
trans
mitte
d thr
ough
fres
h fru
its an
d veg
etable
s, no
t be a
llowe
d to e
nter a
ny fo
od ha
ndlin
g are
a.
GAP
BI 1
7.1
Healt
h stat
usTh
e stan
dard
shall
requ
ire th
at an
y per
son s
o affe
cted i
mmed
iately
repo
rt illn
ess o
r sym
ptoms
of ill
ness
to th
e man
agem
ent.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015135GFSI Guidance Document - Part IV
PART IV
GAP
BI 1
8Pe
rsona
l clea
nline
ssTh
e stan
dard
shall
requ
ire th
at ha
nd w
ashin
g pro
cedu
res b
e in p
lace t
o req
uire h
and w
ashin
g, inc
luding
train
ing an
d fre
quen
cy of
hand
wa
shing
.
GAP
BI 1
9Pe
rsona
l beh
aviou
r
The s
tanda
rd sh
all re
quire
that
agric
ultur
al wo
rkers
refra
in fro
m be
havio
ur th
at co
uld re
sult i
n the
conta
mina
tion o
f food
, for e
xamp
le:
smok
ing, s
pittin
g, ch
ewing
gum
or ea
ting o
r sne
ezing
or co
ughin
g ove
r unp
rotec
ted fr
esh f
ruits
and v
egeta
bles.
Per
sona
l effe
cts su
ch as
jew
eller
y, wa
tches
or ot
her it
ems s
hall n
ot be
wor
n or b
roug
ht int
o fre
sh fr
uit an
d veg
etable
prod
uctio
n are
as if
they p
ose a
thre
at to
the
safet
y and
suita
bility
of th
e foo
d.
GAP
BI 2
0Eq
uipme
nt as
socia
ted w
ith gr
owing
, ha
rvesti
ng an
d stor
age
The s
tanda
rd sh
all re
quire
that
grow
ing an
d har
vesti
ng eq
uipme
nt an
d con
taine
rs co
ming
into
conta
ct wi
th fre
sh fr
uit an
d veg
etable
s be
made
of m
ateria
ls tha
t are
non-
toxic
and d
esign
ed an
d con
struc
ted to
ensu
re th
at the
y can
be cl
eane
d, dis
infec
ted an
d main
taine
d to a
void
the co
ntami
natio
n of fr
esh f
ruits
and v
egeta
bles.
GAP
BI 2
0.1
Equip
ment
asso
ciated
with
grow
ing,
harve
sting
and s
torag
eTh
e stan
dard
shall
requ
ire th
at an
effec
tive c
alibr
ation
prog
ramm
e be f
ollow
ed fo
r all e
quipm
ent r
equir
ing ca
libra
tion a
nd po
sing a
food
sa
fety r
isk.
GAP
BI 2
0.2
Equip
ment
asso
ciated
with
grow
ing,
harve
sting
and s
torag
eTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt be
stor
ed in
desig
nated
area
(s) so
that
it will
not c
ontrib
ute to
the c
ontam
inatio
n of p
rodu
cts.
GAP
BI 2
1Gr
owing
and h
arve
sting
proc
edur
esTh
e stan
dard
shall
requ
ire th
at eff
ectiv
e and
appr
opria
te pr
oced
ures
spec
ific to
a giv
en cr
op be
in pl
ace t
o pre
vent
conta
mina
tion (
e.g. h
illing
po
tatoe
s dur
ing th
e gro
wing
perio
d to p
reve
nt gr
eenin
g, su
rveyin
g the
gree
nhou
se fo
r bro
ken g
lass p
anes
prior
to ha
rvesti
ng et
c.)
GAP
BI 2
2Tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
all bi
ns, c
ontai
ners
and v
ehicl
es, in
cludin
g con
tracte
d out
vehic
les, u
sed f
or th
e tra
nspo
rtatio
n of r
aw
mater
ials (
includ
ing pa
ckag
ing),
field
prod
uct a
nd pa
cked
pro
duct
be su
itable
for t
he pu
rpos
e and
do no
t con
tribute
to cr
oss-c
ontam
inatio
n.
GAP
BI 2
3Pr
even
tion o
f cro
ss-co
ntami
natio
nTh
e stan
dard
shall
requ
ire th
at, du
ring p
rimar
y pro
ducti
on, e
ffecti
ve m
easu
res b
e tak
en to
prev
ent c
ross
-conta
mina
tion o
f fres
h fru
its an
d ve
getab
les by
agric
ultur
al inp
uts or
perso
nnel
who c
ome d
irectl
y or in
direc
tly in
to co
ntact
with
fresh
fruit
and v
egeta
bles.
GAP
BI 2
4St
orag
e and
tran
spor
t from
the fi
eld to
sto
rage
facil
ities
The s
tanda
rd sh
all re
quire
that
fresh
fruit
s and
vege
tables
be st
ored
and t
rans
porte
d und
er co
nditio
ns, w
hich m
inimi
se th
e pote
ntial
for
micro
bial, c
hemi
cal o
r phy
sical
conta
mina
tion.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015136GFSI Guidance Document - Part IV
PART IV
Tabl
e IV
– G
ood
Agric
ultu
ral P
racti
ceRe
quire
men
ts BI
I
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GAP
BII
1Ag
ricult
ural
input
requ
ireme
nts
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ens
ure t
hat a
gricu
ltura
l inpu
ts ar
e of a
dequ
ate qu
ality
for th
e inte
nded
use,
that
appli
catio
n of a
gricu
ltura
l inpu
ts is
mana
ged p
rope
rly to
mini
mize
s the
poten
tial fo
r micr
obial
or ch
emica
l con
tamina
tion [
as de
fined
unde
r the
Cod
ex A
limen
tarius
Rec
omme
nded
Inter
natio
nal C
ode o
f Pra
ctice
– Ge
nera
l Prin
ciples
of F
ood H
ygien
e CAC
/RCP
1-19
69, R
ev 4
-200
3,] at
leve
ls tha
t may
adve
rsely
affec
t the s
afety
of gr
ains a
nd pu
lses a
nd th
at the
prod
ucer
is re
quire
d to t
ake i
nto co
nside
ratio
n the
W
HO gu
idelin
es on
the s
afe us
e of w
astew
ater a
nd ex
creta
in ag
ricult
ure a
s app
ropr
iate.
GAP
BII
2 W
ater f
or pr
imar
y pro
ducti
on
The s
tanda
rd sh
all re
quire
d tha
t pro
cedu
res b
e in p
lace t
o ide
ntify
the so
urce
s of w
ater u
sed o
n the
farm
(mun
icipa
lity, r
e-us
ed irr
igatio
n wa
ter, w
ell, o
pen c
anal,
rese
rvoir,
river
s, lak
es, fa
rm po
nds e
tc.) a
nd to
asse
ss its
micr
obial
and c
hemi
cal q
uality
and i
ts su
itabil
ity fo
r the
int
ende
d use
and i
denti
fy co
rrecti
ve ac
tions
to pr
even
t or m
inimi
se co
ntami
natio
n (e.g
. from
lives
tock,
sewa
ge tr
eatm
ent, h
uman
habit
ation
). W
here
nece
ssar
y, wa
ter sh
all be
teste
d for
micr
obial
and c
hemi
cal c
ontam
inants
. The
freq
uenc
y of te
sting
will
depe
nd on
the w
ater s
ource
an
d the
risks
of en
viron
menta
l con
tamina
tion i
nclud
ing in
termi
ttent
or te
mpor
ary c
ontam
inatio
n (e.g
. hea
vy ra
in, flo
oding
, etc.
).
GAP
BII
2.1
W
ater f
or pr
imar
y pro
ducti
onTh
e stan
dard
shall
requ
ire th
at me
asur
es be
in pl
ace t
o pro
tect a
gricu
ltura
l wate
r sou
rces t
o mini
mise
the r
isk of
conta
mina
tion.
If ag
ricult
ural
water
is st
ored
, tank
s, co
ntaine
rs or
ciste
rns m
ust n
ot be
a so
urce
of co
ntami
natio
n for
wate
r or p
rodu
ct.
GAP
BII
3W
ater f
or irr
igatio
n and
harve
sting
The s
tanda
rd sh
all re
quire
that
water
used
for a
gricu
ltura
l pur
pose
s be o
f suit
able
quali
ty for
its in
tende
d use
.
GAP
BII
4W
ater f
or fe
rtilise
rs, pe
st co
ntrol
and
other
agric
ultur
al ch
emica
lsTh
e stan
dard
shall
requ
ire th
at wa
ter us
ed fo
r the
appli
catio
n of w
ater-s
oluble
fertil
isers
and a
gricu
ltura
l che
mica
ls in
the fie
ld an
d ind
oors
does
not c
ontai
n micr
obial
or ch
emica
l con
tamina
nts at
leve
ls tha
t may
adve
rsely
affec
t the s
afety
of gr
ain an
d puls
e cro
ps.
GAP
BII
5Ma
nure
, bio
solid
s and
othe
r natu
ral
fertili
sers
The s
tanda
rd sh
all re
quire
that
there
be pr
oper
trea
tmen
t pro
cedu
res (
e.g. c
ompo
sting
, pas
teuris
ation
, hea
t dryi
ng, U
Virra
diatio
n, alk
ali
diges
tion,
sun d
rying
, man
agem
ent p
racti
ces i
nclud
ing ap
prop
riate
delay
s betw
een a
pplic
ation
of ag
ricult
ural
inputs
and h
arve
sting
of th
e cro
p or
comb
inatio
ns of
thes
e) th
at ar
e des
igned
to re
duce
or el
imina
te pa
thoge
ns in
man
ure,
bio so
lids a
nd ot
her n
atura
l fertil
isers.
As a
mi
nimum
, the u
se of
untre
ated b
io so
lids s
hall b
e pro
hibite
d.
GAP
BII
6So
ilTh
e stan
dard
shall
requ
ire th
at so
ils be
evalu
ated f
or ha
zard
s. Co
ntrol
meas
ures
shall
be im
pleme
nted t
o red
uce h
azar
ds to
acce
ptable
lev
els.
Sixth Edition / Version 6.4 / November 2015137GFSI Guidance Document - Part IV
PART IV
GAP
BII
7Ag
ricult
ural
chem
icals
The s
tanda
rd sh
all re
quire
that
only
agric
ultur
al ch
emica
ls, w
hich a
re au
thoris
ed fo
r the
cultiv
ation
of th
e spe
cific g
rains
and p
ulses
be
used
and u
sed a
ccor
ding t
o the
man
ufactu
rer’s
instr
uctio
ns, lo
cal re
gulat
ory r
equir
emen
ts an
d for
the i
ntend
ed pu
rpos
e. Re
sidue
s sha
ll not
exce
ed le
vels
as es
tablis
hed b
y the
Cod
ex A
limen
tarius
Com
miss
ion or
loca
l regu
lation
s.
GAP
BII
7.1
Agric
ultur
al ch
emica
lsTh
e stan
dard
shall
requ
ire th
at an
timicr
obial
agen
ts no
t sign
ifican
t to hu
man a
nd an
imal
thera
py be
used
only
when
unav
oidab
le an
d in
acco
rdan
ce w
ith go
od ag
ricult
ural
prac
tices
and i
n a m
anne
r tha
t ach
ieves
this
objec
tive.
GAP
BII
7.2
Agric
ultur
al ch
emica
lsTh
e stan
dard
shall
requ
ire th
at ag
ricult
ural
worke
rs wh
o app
ly ag
ricult
ural
chem
icals
be tr
ained
in pr
oper
appli
catio
n pro
cedu
res.
GAP
BII
7.3
Agric
ultur
al ch
emica
ls
The s
tanda
rd sh
all re
quire
that
docu
menta
tion o
f agr
icultu
ral c
hemi
cal a
pplic
ation
s be m
aintai
ned.
Reco
rds s
hall i
nclud
e info
rmati
on on
the
date
of ap
plica
tion,
the ch
emica
l use
d, the
crop
spra
yed,
the co
ncen
tratio
n, me
thod a
nd fr
eque
ncy o
f app
licati
on an
d rec
ords
on ha
rvesti
ng
to ve
rify th
at the
time b
etwee
n app
licati
on an
d har
vesti
ng m
eets
the re
quire
d with
holdi
ng pe
riod.
Agr
icultu
ral c
hemi
cals
shall
be st
ored
in a
safe,
well
venti
lated
plac
e, aw
ay fr
om pr
oduc
tion a
reas
, livin
g are
as an
d har
veste
d cro
ps an
d disp
osed
of in
a ma
nner
that
does
not p
ose a
ris
k of c
ontam
inatin
g cro
ps.
GAP
BII
8Bi
ologic
al co
ntrol
The s
tanda
rd sh
all re
quire
that
only
biolog
ical c
ontro
ls, w
hich a
re au
thoris
ed fo
r the
cultiv
ation
of th
e spe
cific g
rains
and p
ulses
be us
ed an
d ar
e use
d acc
ordin
g to t
he m
anufa
cture
r’s in
struc
tions
for t
heir i
ntend
ed pu
rpos
e.
GAP
BII
9Lo
catio
n, de
sign a
nd la
yout
The s
tanda
rd sh
all re
quire
that
struc
tures
be lo
cated
, des
igned
and c
onstr
ucted
to av
oid co
ntami
natin
g gra
ins an
d puls
es du
ring h
andli
ng
and s
torag
e and
to av
oid th
e har
bour
ing pe
sts su
ch as
inse
cts, r
oden
ts an
d bird
s. W
here
appr
opria
te, th
e inte
rnal
desig
n and
layo
ut sh
all
perm
it com
plian
ce w
ith go
od hy
giene
prac
tices
for t
he pr
oduc
tion,
stora
ge an
d han
dling
of gr
ains a
nd pu
lses,
includ
ing pr
otecti
on ag
ainst
cross
-conta
mina
tion b
etwee
n and
durin
g ope
ratio
ns.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015138GFSI Guidance Document - Part IV
PART IV
GAP
BII
10Pe
rsonn
el hy
giene
and s
anita
ry fac
ilities
The s
tanda
rd sh
all re
quire
that
hygie
nic an
d san
itary
facilit
ies be
avail
able
and m
aintai
ned t
o avo
id co
ntami
natio
n of th
e gro
wing
sites
, sto
red p
rodu
cts or
agric
ultur
al inp
uts. T
hese
facil
ities s
hould
be lo
cated
in cl
ose p
roxim
ity to
the fi
elds a
nd in
door
prem
ises a
nd in
a su
fficien
t num
ber t
o acc
ommo
date
the pe
rsonn
el.
GAP
BII
11W
ater s
upply
The s
tanda
rd sh
all re
quire
that
an ad
equa
te su
pply
of po
table
or cl
ean w
ater w
ith ap
prop
riate
facilit
ies fo
r its s
torag
e and
distr
ibutio
n be
avail
able
in sa
nitar
y fac
ilities
.
GAP
BII
12Dr
ainag
e and
was
te dis
posa
lTh
e stan
dard
shall
requ
ire th
at ad
equa
te dr
ainag
e and
was
te dis
posa
l sys
tems a
nd fa
cilitie
s be p
rovid
ed. S
ystem
s sha
ll be d
esign
ed an
d co
nstru
cted t
o avo
id po
tentia
l for t
he co
ntami
natio
n of h
arve
sted c
rops
, agr
icultu
ral in
puts
or th
e pota
ble w
ater s
upply
.
GAP
BII
13Pe
rsonn
el tra
ining
The s
tanda
rd sh
all re
quire
that
a tra
ining
syste
m be
in pl
ace t
o ens
ure t
hat a
ll emp
loyee
s are
adeq
uatel
y tra
ined,
instru
cted a
nd su
pervi
sed
in foo
d safe
ty pr
incipl
es an
d pra
ctice
s, co
mmen
sura
te wi
th the
ir acti
vity.
GAP
BII
14Pe
rsonn
el he
alth a
nd hy
giene
The s
tanda
rd sh
all re
quire
that
there
be hy
giene
and h
ealth
requ
ireme
nts in
plac
e to e
nsur
e tha
t per
sonn
el wh
o com
e dire
ctly i
nto co
ntact
with
crops
durin
g or a
fter h
arve
sting
are n
ot lik
ely to
conta
mina
te the
m. V
isitor
s sha
ll adh
ere t
o the
othe
r per
sona
l hyg
iene p
rovis
ions i
n this
se
ction
.
GAP
BII
15He
alth s
tatus
The s
tanda
rd sh
all re
quire
that
peop
le kn
own,
or su
spec
ted to
be su
fferin
g fro
m, or
to be
a ca
rrier
of a
disea
se or
illne
ss lik
ely to
be
trans
mitte
d thr
ough
grain
s and
pulse
s, no
t be a
llowe
d to e
nter a
ny fo
od ha
ndlin
g are
a. A
ny pe
rson s
o affe
cted s
hall i
mmed
iately
repo
rt illn
ess o
r sym
ptoms
of ill
ness
to m
anag
emen
t.
GAP
BII
16Pe
rsona
l clea
nline
ssTh
e stan
dard
shall
requ
ire th
at ha
nd w
ashin
g pro
cedu
res b
e in p
lace t
o req
uire h
and w
ashin
g, inc
luding
train
ing an
d fre
quen
cy of
hand
wa
shing
.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015139GFSI Guidance Document - Part IV
PART IV
GAP
BII
17Pe
rsona
l beh
aviou
r
The s
tanda
rd sh
all re
quire
that
agric
ultur
al wo
rkers
refra
in fro
m be
havio
ur th
at co
uld re
sult i
n the
conta
mina
tion o
f food
, for e
xamp
le:
smok
ing, s
pittin
g, ch
ewing
gum
or ea
ting o
r sne
ezing
or co
ughin
g ove
r unp
rotec
ted gr
ains a
nd pu
lses.
Per
sona
l effe
cts su
ch as
jewe
llery,
wa
tches
or ot
her it
ems s
hall n
ot be
wor
n or b
roug
ht int
o pro
ducti
on an
d stor
age a
reas
if the
y pos
e a th
reat
to the
safet
y and
suita
bility
of th
e foo
d.
GAP
BII
18Eq
uipme
nt as
socia
ted w
ith gr
owing
, ha
rvesti
ng an
d stor
age
The s
tanda
rd sh
all re
quire
that
grow
ing, h
arve
sting
, and
stor
age e
quipm
ent a
nd co
ntaine
rs co
ming
into
conta
ct wi
th gr
ain an
d puls
e cro
ps
be m
ade o
f mate
rials
that a
re no
n-tox
ic an
d des
igned
and c
onstr
ucted
to en
sure
that
they c
an be
clea
ned,
disinf
ected
and m
aintai
ned t
o av
oid co
ntami
natio
n.
GAP
BII
18.1
Equip
ment
asso
ciated
with
grow
ing,
harve
sting
and s
torag
eTh
e stan
dard
shall
requ
ire th
at an
effec
tive c
alibr
ation
prog
ramm
e be f
ollow
ed fo
r all e
quipm
ent r
equir
ing ca
libra
tion a
nd po
sing a
food
sa
fety r
isk.
GAP
BII
18.2
Equip
ment
asso
ciated
with
grow
ing,
harve
sting
and s
torag
eTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt be
stor
ed in
desig
nated
area
(s) so
that
it will
not c
ontrib
ute to
the c
ontam
inatio
n of p
rodu
ct.
GAP
BII
19Gr
owing
and h
arve
sting
proc
edur
esTh
e stan
dard
shall
requ
ire th
at eff
ectiv
e and
appr
opria
te pr
oced
ures
spec
ific to
a giv
en cr
op be
in pl
ace t
o pre
vent
conta
mina
tion.
GAP
BII
20Tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
all ve
hicles
, inclu
ding c
ontra
cted o
ut ve
hicles
, use
d for
the t
rans
porta
tion o
f raw
mate
rials
(inclu
ding
pack
aging
) and
prod
uct b
e suit
able
for th
e pur
pose
and n
ot co
ntribu
te to
cross
-conta
mina
tion.
GAP
BII
21Pr
even
tion o
f cro
ss-co
ntami
natio
nTh
e stan
dard
shall
requ
ire th
at, du
ring p
rimar
y pro
ducti
on, e
ffecti
ve m
easu
res b
e tak
en to
prev
ent c
ross
-conta
mina
tion f
rom
agric
ultur
al inp
uts or
perso
nnel
who c
ome d
irectl
y or in
direc
tly in
to co
ntact
with
harve
sted c
rops
.
GAP
BII
22St
orag
e and
tran
spor
t from
the fi
eld to
sto
rage
facil
ities
The s
tanda
rd sh
all re
quire
that
harve
sted g
rain
and p
ulse c
rops
be st
ored
and t
rans
porte
d und
er co
nditio
ns, w
hich m
inimi
se th
e pote
ntial
for
micro
bial, c
hemi
cal o
r phy
sical
conta
mina
tion.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015140GFSI Guidance Document - Part IV
PART IV
Tabl
e V
– Go
od M
anuf
actu
ring
Prac
tice
Requ
irem
ents
C
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GM
P C
1Fa
cility
envir
onme
ntTh
e stan
dard
shall
requ
ire th
at the
site
or fa
cility
be lo
cated
and m
aintai
ned s
o as t
o pre
vent
conta
mina
tion a
nd en
able
the pr
oduc
tion o
f sa
fe pr
oduc
ts.
GM
P C
2Lo
cal e
nviro
nmen
tTh
e stan
dard
shall
requ
ire th
at all
grou
nds w
ithin
the si
te or
facil
ity be
main
taine
d to a
n app
ropr
iate s
tanda
rd.
GM
P C
3Fa
cility
desig
n, co
nstru
ction
, layo
ut an
d pr
oduc
t flow
The s
tanda
rd sh
all re
quire
that
prem
ises,
site a
nd / o
r plan
t be d
esign
ed, c
onstr
ucted
and m
aintai
ned,
both
the ex
terior
and t
he in
terior
, to
contr
ol the
risk o
f pro
duct
conta
mina
tion.
GM
P C
4Fa
brica
tion (
input
and m
ateria
l ha
ndlin
g, pr
epar
ation
, pro
duct
hand
ling,
pack
ing an
d stor
age a
reas
)Th
e stan
dard
shall
requ
ire th
at the
fabr
icatio
n of th
e site
, buil
dings
and f
acilit
ies be
suita
ble fo
r the
inten
ded p
urpo
se.
GM
P C
5Eq
uipme
ntTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt be
suita
bly de
signe
d for
the i
ntend
ed pu
rpos
e and
shall
be us
ed an
d stor
ed so
as to
mini
mise
foo
d safe
ty ris
ks.
GM
P C
6Ma
inten
ance
The s
tanda
rd sh
all re
quire
that
a sys
tem of
plan
ned m
ainten
ance
be in
plac
e cov
ering
all it
ems o
f equ
ipmen
t, whic
h are
critic
al to
prod
uct
safet
y.
GM
P C
7St
aff fa
cilitie
sTh
e stan
dard
shall
requ
ire th
at sta
ff fac
ilities
be de
signe
d and
oper
ated s
o as t
o mini
mise
food
safet
y risk
s.
GM
P C
8Ins
pecti
onTh
e stan
dard
shall
requ
ire an
insp
ectio
n pro
cess
to be
in pl
ace a
t laira
ge an
d/or a
t evis
cera
tion t
o ens
ure a
nimals
are fi
t for h
uman
co
nsum
ption
GM
P C
9Ph
ysica
l and
chem
ical p
rodu
ct co
ntami
natio
n risk
The s
tanda
rd sh
all re
quire
that
appr
opria
te fac
ilities
and p
roce
dure
s be i
n plac
e to c
ontro
l the r
isk of
phys
ical,
chem
ical o
r biol
ogica
l con
tamina
tion o
f pro
ducts
inten
ded f
or hu
man c
onsu
mptio
n.
Sixth Edition / Version 6.4 / November 2015141GFSI Guidance Document - Part IV
PART IV
GM
P C
10Se
greg
ation
and c
ross
-conta
mina
tion
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o pre
vent
conta
mina
tion a
nd cr
oss-c
ontam
inatio
n of c
arca
ss an
d par
ts.
GM
P C
11St
ock m
anag
emen
tTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to e
nsur
e tha
t mate
rials
and i
ngre
dients
are u
sed i
n the
corre
ct or
der a
nd w
ithin
the
alloc
ated s
helf l
ife.
GM
P C
12Ho
usek
eepin
g, cle
aning
and h
ygien
eTh
e stan
dard
shall
requ
ire th
at ap
prop
riate
stand
ards
of ho
usek
eepin
g, cle
aning
and h
ygien
e be m
aintai
ned a
t all t
imes
and t
hrou
ghou
t all
the st
ages
. Clea
ning m
ateria
ls sh
all be
suita
ble fo
r the
ir inte
nded
use a
nd st
ored
appr
opria
tely.
GM
P C
13W
ater q
uality
and u
tility
mana
geme
nt (in
cludin
g Ice
)
The s
tanda
rd sh
all re
quire
that
the qu
ality
of wa
ter (in
cludin
g stea
m an
d ice
) tha
t com
es in
to co
ntact
with
food,
be re
gular
ly mo
nitor
ed
and s
hall p
rese
nt no
risk t
o pro
duct
safet
y. W
ater f
or po
st-ha
rvest
wash
ing sh
all be
potab
le. P
otable
wate
r sha
ll be u
sed a
nd ch
ecke
d for
co
ntami
nants
at an
appr
opria
te fre
quen
cy. W
here
appli
cable
, stor
age o
f wate
r and
stor
age a
nd ha
ndlin
g of ic
e sha
ll occ
ur so
as to
prev
ent
conta
mina
tion.
GM
P C
14W
aste
mana
geme
ntTh
e stan
dard
shall
requ
ire th
at ad
equa
te sy
stems
be in
plac
e for
the c
ollati
on, c
ollec
tion a
nd di
spos
al of
waste
mate
rial.
GM
P C
15Pe
st co
ntrol
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace f
or co
ntroll
ing or
elim
inatin
g the
risk o
f pes
t infes
tation
on th
e site
or in
the f
acilit
ies.
GM
P C
16Po
st sla
ughte
r chil
ling a
nd fr
eezin
gTh
e stan
dard
shall
requ
ire de
fined
post
slaug
hter t
ime /
tempe
ratur
e req
uirem
ents
to be
in pl
ace i
n rela
tion t
o the
chilli
ng or
free
zing o
f pr
oduc
t.
GM
P C
17St
orag
eTh
e stan
dard
shall
requ
ire th
at pr
oduc
t be s
tored
, temp
orar
ily st
ored
and t
rans
porte
d und
er co
nditio
ns, w
hich m
inimi
se th
e pote
ntial
for
micro
bial, c
hemi
cal o
r phy
sical
conta
mina
tion.
GM
P C
18Tr
ansp
ort
The s
tanda
rd sh
all re
quire
that
all ve
hicles
, inclu
ding c
ontra
cted o
ut ve
hicles
, use
d for
the t
rans
porta
tion o
f finis
hed p
rodu
ct be
suita
ble fo
r the
purp
ose a
nd do
not c
ontrib
ute to
the r
isk of
cros
s-con
tamina
tion.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015142GFSI Guidance Document - Part IV
PART IV
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GM
P C
19Pe
rsona
l hyg
iene,
prote
ctive
cloth
ing
and m
edica
l scre
ening
The s
tanda
rd sh
all re
quire
that
docu
mente
d per
sona
l hyg
iene s
tanda
rds b
ased
on ris
k of p
rodu
ct co
ntami
natio
n be i
n plac
e and
perso
nnel
traine
d in t
hem.
Han
d was
hing a
nd to
ilet fa
cilitie
s sha
ll be p
rovid
ed. S
uitab
le an
d app
ropr
iate p
rotec
tive c
lothin
g sha
ll be p
rovid
ed. A
med
ical
scre
ening
proc
edur
e sha
ll be i
n plac
e. In
all ca
ses,
these
requ
ireme
nts sh
all al
so ap
ply to
contr
actor
s and
visit
ors.
GM
P C
20Tr
aining
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace t
o ens
ure t
hat a
ll emp
loyee
s are
adeq
uatel
y tra
ined,
instru
cted a
nd su
pervi
sed i
n foo
d sa
fety p
rincip
les an
d pra
ctice
s, co
mmen
sura
te wi
th the
ir acti
vity.
Tabl
e VI
– G
ood
Man
ufac
turin
g Pr
actic
eRe
quire
men
ts D
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GM
P D
1Fa
cility
envir
onme
ntTh
e stan
dard
shall
requ
ire th
at the
site
or fa
cility
be lo
cated
and m
aintai
ned s
o as t
o pre
vent
conta
mina
tion a
nd en
able
the pr
oduc
tion o
f sa
fe pr
oduc
ts.
GM
P D
2Lo
cal e
nviro
nmen
tTh
e stan
dard
shall
requ
ire th
at all
grou
nds w
ithin
the si
te or
facil
ity be
main
taine
d to a
n app
ropr
iate s
tanda
rd.
GM
P D
3Fa
cility
desig
n, co
nstru
ction
, layo
ut an
d pr
oduc
t flow
The s
tanda
rd sh
all re
quire
that
prem
ises,
site a
nd / o
r plan
t sha
ll be d
esign
ed, c
onstr
ucted
and m
aintai
ned,
both
the ex
terior
and t
he in
terior
, to
contr
ol the
risk o
f pro
duct
conta
mina
tion.
GM
P D
4Fa
brica
tion (
input
and m
ateria
l ha
ndlin
g, pr
epar
ation
, pro
duct
hand
ling,
pack
ing an
d stor
age a
reas
)Th
e stan
dard
shall
requ
ire th
at the
fabr
icatio
n of th
e site
, buil
dings
and f
acilit
ies be
suita
ble fo
r the
inten
ded p
urpo
se.
GM
P D
5Eq
uipme
ntTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt be
suita
bly de
signe
d for
the i
ntend
ed pu
rpos
e and
is us
ed an
d stor
ed so
as to
mini
mise
food
sa
fety r
isks.
Sixth Edition / Version 6.4 / November 2015143GFSI Guidance Document - Part IV
PART IV
GM
P D
6Ma
inten
ance
The s
tanda
rd sh
all re
quire
that
a sys
tem of
plan
ned m
ainten
ance
be in
plac
e cov
ering
all it
ems o
f equ
ipmen
t, whic
h are
critic
al to
prod
uct
safet
y.
GM
P D
7
Staff
facil
ities
The s
tanda
rd sh
all re
quire
that
staff f
acilit
ies be
desig
ned a
nd op
erate
d so a
s to m
inimi
se fo
od sa
fety r
isks.
GM
P D
8Ph
ysica
l and
chem
ical p
rodu
ct co
ntami
natio
n risk
The s
tanda
rd sh
all re
quire
that
appr
opria
te fac
ilities
and p
roce
dure
s be i
n plac
e to c
ontro
l the r
isk of
phys
ical, c
hemi
cal o
r biol
ogica
l co
ntami
natio
n of p
rodu
ct.
GM
P D
9Se
greg
ation
and c
ross
-conta
mina
tion
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o pre
vent
conta
mina
tion a
nd cr
oss-c
ontam
inatio
n of r
aw m
ateria
ls, pa
ckag
ing an
d fin
ished
prod
uct, c
over
ing al
l asp
ects
of foo
d safe
ty inc
luding
micr
o-or
ganis
ms, c
hemi
cals
and a
llerg
ens.
GM
P D
10
Hous
ekee
ping,
clean
ing an
d hyg
iene
The s
tanda
rd sh
all re
quire
that
appr
opria
te sta
ndar
ds of
hous
ekee
ping,
clean
ing an
d hyg
iene b
e main
taine
d at a
ll tim
es an
d thr
ough
out a
ll the
stag
es. C
leanin
g mate
rials
shall
be su
itable
for t
he in
tende
d use
and s
tored
appr
opria
tely.
GM
P D
11
Wate
r qua
lity an
d utili
ty ma
nage
ment
(inclu
ding I
ce)
The s
tanda
rd sh
all re
quire
that
the qu
ality
of wa
ter (in
cludin
g stea
m an
d ice
) tha
t com
es in
to co
ntact
with
food,
be re
gular
ly mo
nitor
ed
and s
hall p
rese
nt no
risk t
o pro
duct
safet
y. W
ater f
or po
st ha
rvest
wash
ing sh
all be
potab
le. P
otable
wate
r sha
ll be u
sed a
nd ch
ecke
d for
co
ntami
nants
at an
appr
opria
te fre
quen
cy. W
here
appli
cable
, stor
age o
f wate
r and
stor
age a
nd ha
ndlin
g of ic
e sha
ll occ
ur so
as to
prev
ent
conta
mina
tion.
GM
P D
12
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
adeq
uate
syste
ms be
in pl
ace f
or th
e coll
ation
, coll
ectio
n and
disp
osal
of wa
ste m
ateria
l.
GM
P D
13
Pest
contr
olTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e for
contr
olling
or el
imina
ting t
he ris
k of p
est in
festat
ion io
n the
site
or in
the f
acilit
ies.
GM
P D
14
Tran
spor
tTh
e stan
dard
shall
requ
ire th
at all
conta
iners
and v
ehicl
es, in
cludin
g con
tracte
d out
vehic
les, u
sed f
or th
e stor
age a
nd tr
ansp
ortat
ion of
ra
w ma
terial
s (inc
luding
pack
aging
), int
erme
diate
/ sem
i-pro
cess
ed pr
oduc
t and
finish
ed pr
oduc
t (inc
luding
pack
ed, fr
esh p
rodu
ct in
final
pack
aging
) be s
uitab
le for
the p
urpo
se an
d main
taine
d in g
ood r
epair
and b
e clea
n.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015144GFSI Guidance Document - Part IV
PART IV
GM
P D
15
Perso
nal h
ygien
e, pr
otecti
ve cl
othing
an
d med
ical s
creen
ing
The s
tanda
rd sh
all re
quire
that
docu
mente
d per
sona
l hyg
iene s
tanda
rds b
ased
on ris
k of p
rodu
ct co
ntami
natio
n be i
n plac
e and
perso
nnel
traine
d in t
hem.
Han
d was
hing a
nd to
ilet fa
cilitie
s sha
ll be p
rovid
ed. S
uitab
le an
d app
ropr
iate p
rotec
tive c
lothin
g sha
ll be p
rovid
ed. A
med
ical
scre
ening
proc
edur
e sha
ll be i
n plac
e. In
all ca
ses t
hese
requ
ireme
nts sh
all al
so ap
ply to
contr
actor
s and
visit
ors.
GM
P D
16
Train
ingTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to e
nsur
e tha
t all e
mploy
ees a
re ad
equa
tely t
raine
d, ins
tructe
d and
supe
rvise
d in f
ood
safet
y prin
ciples
and p
racti
ces,
comm
ensu
rate
with
their a
ctivit
y.
GM
P D
17
Pack
ing an
d stor
age o
f pro
duct
The s
tanda
rd sh
all re
quire
that
pack
aging
mate
rials
be ob
taine
d with
know
ledge
of or
igin,
be ap
prop
riate
for us
e and
are u
sed a
nd st
ored
so
as no
t to be
a so
urce
of co
ntami
natio
n to p
rodu
ct. P
rodu
ct sh
all be
hand
led, s
orted
, gra
ded a
nd pa
cked
in a
mann
er th
at mi
nimise
s sou
rces
of bio
logica
l, che
mica
l and
phys
ical c
ontam
inatio
n. Pr
oduc
t sha
ll be h
eld or
stor
ed in
desig
nated
area
s and
hand
led un
der t
he pr
oper
co
nditio
ns to
mini
mise
conta
mina
tion.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Tabl
e VI
I – G
ood
Man
ufac
turin
g Pr
actic
eRe
quire
men
ts EI
, EII
EIII,
EIIV
and
L
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GM
P EL
1Fa
cility
envir
onme
ntTh
e stan
dard
shall
requ
ire th
at the
site
or fa
cility
be lo
cated
and m
aintai
ned s
o as t
o pre
vent
conta
mina
tion a
nd en
able
the pr
oduc
tion o
f sa
fe pr
oduc
ts.
GM
P EL
2Lo
cal e
nviro
nmen
tTh
e stan
dard
shall
requ
ire th
at all
grou
nds w
ithin
the si
te or
facil
ity be
main
taine
d to a
n app
ropr
iate s
tanda
rd.
GM
P EL
3Fa
cility
desig
n, co
nstru
ction
, layo
ut an
d pr
oduc
t flow
The s
tanda
rd sh
all re
quire
that
prem
ises,
site a
nd / o
r plan
t be d
esign
ed, c
onstr
ucted
and m
aintai
ned,
both
the ex
terior
and t
he in
terior
, to
contr
ol the
risk o
f pro
duct
conta
mina
tion.
GM
P EL
4Fa
brica
tion (
input
and m
ateria
l ha
ndlin
g, pr
epar
ation
, pro
duct
hand
ling,
pack
ing an
d stor
age a
reas
)Th
e stan
dard
shall
requ
ire th
at the
fabr
icatio
n of th
e site
, buil
dings
and f
acilit
ies be
suita
ble fo
r the
inten
ded p
urpo
se.
Sixth Edition / Version 6.4 / November 2015145GFSI Guidance Document - Part IV
PART IV
GM
P EL
5Eq
uipme
ntTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt be
suita
bly de
signe
d for
the i
ntend
ed pu
rpos
e and
shall
be us
ed an
d stor
ed so
as to
mini
mise
foo
d safe
ty ris
ks.
GM
P EL
6Ma
inten
ance
The s
tanda
rd sh
all re
quire
that
a sys
tem of
plan
ned m
ainten
ance
be in
plac
e cov
ering
all it
ems o
f equ
ipmen
t, whic
h are
critic
al to
prod
uct
safet
y.
GM
P EL
7St
aff fa
cilitie
sTh
e stan
dard
shall
requ
ire th
at sta
ff fac
ilities
be de
signe
d and
oper
ated s
o as t
o mini
mise
food
safet
y risk
s.
GM
P EL
8Ph
ysica
l and
chem
ical p
rodu
ct co
ntami
natio
n risk
The s
tanda
rd sh
all re
quire
that
appr
opria
te fac
ilities
and p
roce
dure
s be i
n plac
e to c
ontro
l the r
isk of
phys
ical, c
hemi
cal o
r biol
ogica
l co
ntami
natio
n of p
rodu
ct.
GM
P EL
9Se
greg
ation
and c
ross
-conta
mina
tion
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o pre
vent
conta
mina
tion a
nd cr
oss-c
ontam
inatio
n of r
aw m
ateria
ls, pa
ckag
ing an
d fin
ished
prod
uct, c
over
ing al
l asp
ects
of foo
d safe
ty inc
luding
micr
o-or
ganis
ms, c
hemi
cals
and a
llerg
ens.
GM
P EL
10
Stoc
k man
agem
ent
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace t
o ens
ure t
hat m
ateria
ls an
d ing
redie
nts ar
e use
d in t
he co
rrect
orde
r and
with
in the
all
ocate
d she
lf life
.
GM
P EL
11
Hous
ekee
ping,
clean
ing an
d hyg
iene
The s
tanda
rd sh
all re
quire
that
appr
opria
te sta
ndar
ds of
hous
ekee
ping,
clean
ing an
d hyg
iene b
e main
taine
d at a
ll tim
es an
d thr
ough
out a
ll the
stag
es. C
leanin
g mate
rials
shall
be su
itable
for t
heir i
ntend
ed us
e and
stor
ed ap
prop
riatel
y.
GM
P EL
12
Wate
r qua
lity an
d utili
ty ma
nage
ment
(inclu
ding I
ce)
The s
tanda
rd sh
all re
quire
that
the qu
ality
of wa
ter (in
cludin
g stea
m an
d ice
) tha
t com
es in
to co
ntact
with
food,
be re
gular
ly mo
nitor
ed
and s
hall p
rese
nt no
risk t
o pro
duct
safet
y. W
ater f
or po
st-ha
rvest
wash
ing sh
all be
potab
le. P
otable
wate
r sha
ll be u
sed a
nd ch
ecke
d for
co
ntami
nants
at an
appr
opria
te fre
quen
cy. W
here
appli
cable
, stor
age o
f wate
r and
stor
age a
nd ha
ndlin
g of ic
e sha
ll occ
ur so
as to
prev
ent
conta
mina
tion.
GM
P EL
13
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
adeq
uate
syste
ms be
in pl
ace f
or th
e coll
ation
, coll
ectio
n and
disp
osal
of wa
ste m
ateria
l.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015146GFSI Guidance Document - Part IV
PART IV
GM
P EL
14
Pest
contr
olTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e for
contr
olling
or el
imina
ting t
he ris
k of p
est in
festat
ion on
the s
ite or
in th
e fac
ilities
.
GM
P EL
15
Tran
spor
tTh
e stan
dard
shall
requ
ire th
at all
vehic
les, in
cludin
g con
tracte
d out
vehic
les, u
sed f
or th
e tra
nspo
rtatio
n of r
aw m
ateria
ls (in
cludin
g pa
ckag
ing),
inter
media
te / s
emi-p
roce
ssed
prod
uct a
nd fin
ished
prod
uct (
includ
ing pa
cked
, fres
h pro
duct
in fin
al pa
ckag
ing) s
hall b
e suit
able
for th
e pur
pose
, main
taine
d in g
ood r
epair
and b
e clea
n.
GM
P EL
16
Perso
nal h
ygien
e, pr
otecti
ve cl
othing
an
d med
ical s
creen
ing
The s
tanda
rd sh
all re
quire
that
docu
mente
d per
sona
l hyg
iene s
tanda
rds b
ased
on ris
k of p
rodu
ct co
ntami
natio
n be i
n plac
e and
perso
nnel
traine
d in t
hem.
Han
d was
hing a
nd to
ilet fa
cilitie
s sha
ll be p
rovid
ed. S
uitab
le an
d app
ropr
iate p
rotec
tive c
lothin
g sha
ll be p
rovid
ed. A
med
ical
scre
ening
proc
edur
e sha
ll be i
n plac
e. In
all ca
ses,
these
requ
ireme
nts sh
all al
so ap
ply to
contr
actor
s and
visit
ors.
GM
P EL
17
Train
ingTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to e
nsur
e tha
t all e
mploy
ees a
re ad
equa
tely t
raine
d, ins
tructe
d and
supe
rvise
d in f
ood
safet
y prin
ciples
and p
racti
ces,
comm
ensu
rate
with
their a
ctivit
y.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015147GFSI Guidance Document - Part IV
PART IV
Tabl
e VI
II –
Good
Man
ufac
turin
g Pr
actic
eRe
quire
men
ts F
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GM
P FD
1Fa
cility
envir
onme
ntTh
e stan
dard
shall
requ
ire th
at the
site
and/o
r fac
ility b
e loc
ated a
nd m
aintai
ned s
o as t
o pre
vent
conta
mina
tion a
nd en
able
the pr
oduc
tion
of sa
fe pr
oduc
ts.
GM
P FD
2Lo
cal e
nviro
nmen
tTh
e stan
dard
shall
requ
ire th
at all
grou
nds w
ithin
the si
te be
main
taine
d to e
nsur
e fee
d safe
ty is
not c
ompr
omise
d.
GM
P FD
3Fa
cility
desig
n and
cons
tructi
onTh
e stan
dard
shall
requ
ire th
at the
facil
ity be
desig
ned,
cons
tructe
d and
main
taine
d, bo
th the
exter
ior an
d the
inter
ior, to
contr
ol the
risk o
f fee
d con
tamina
tion a
nd be
suita
ble fo
r the
inten
ded p
urpo
se.
GM
P FD
4Eq
uipme
ntTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt be
suita
bly de
signe
d and
cons
tructe
d for
the i
ntend
ed pu
rpos
e and
shall
be us
ed an
d stor
ed so
as
to m
inimi
se fe
ed sa
fety r
isks.
GM
P FD
5Ma
inten
ance
The s
tanda
rd sh
all re
quire
that
a sys
tem of
plan
ned m
ainten
ance
be in
plac
e add
ress
ing fa
cility
and e
quipm
ent, w
hich a
re cr
itical
to fee
d sa
fety.
GM
P FD
6St
aff fa
cilitie
sTh
e stan
dard
shall
requ
ire th
at sta
ff fac
ilities
be de
signe
d and
oper
ated s
o as t
o mini
mise
feed
safet
y risk
s.
GM
P FD
7Co
ntami
natio
n and
cros
s co
ntami
natio
n con
trol
The s
tanda
rd sh
all re
quire
that
appr
opria
te fac
ilities
and p
roce
dure
s be i
n plac
e to c
ontro
l the r
isk of
phys
ical, c
hemi
cal o
r biol
ogica
l co
ntami
natio
n and
cros
s con
tamina
tion o
f raw
mate
rials,
ingr
edien
ts, pa
ckag
ing an
d fee
d.
GM
P FD
8Ma
nage
ment
of me
dicati
onW
here
appli
cable
, the s
tanda
rd sh
all re
quire
proc
edur
es an
d con
trol m
easu
res t
o be i
n plac
e to m
anag
e the
use o
f feed
med
icatio
n.
GM
P FD
9Inv
entor
y Man
agem
ent
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace t
o ens
ure r
aw m
ateria
ls, in
gred
ients
and f
eed a
re us
ed an
d/or s
hippe
d to m
inimi
ze fe
ed
safet
y risk
s.
Sixth Edition / Version 6.4 / November 2015148GFSI Guidance Document - Part IV
PART IV
GM
P FD
10
Hous
ekee
ping,
clean
ing an
d hyg
iene
The s
tanda
rd sh
all re
quire
that
appr
opria
te sta
ndar
ds of
hous
ekee
ping,
clean
ing an
d hyg
iene b
e imp
lemen
ted an
d main
taine
d usin
g a
pred
eterm
ined a
nd do
cume
nted c
leanin
g sch
edule
. Clea
ning m
ateria
ls sh
all be
suita
ble fo
r the
ir inte
nded
use a
nd st
ored
appr
opria
tely.
GM
P FD
11
Utilit
iesTh
e stan
dard
shall
requ
ire a
syste
m be
in pl
ace t
o man
age f
eed s
afety
risk,
wher
e air,
comp
ress
ed ai
r and
wate
r (inc
luding
stea
m) m
ay
come
into
conta
ct wi
th ra
w ma
terial
s, ing
redie
nts, p
acka
ging a
nd fe
ed.
GM
P FD
12
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace f
or th
e coll
ectio
n, sto
rage
, and
disp
osal
of wa
ste m
ateria
l.
GM
P FD
13
Pest
contr
olTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e for
the c
ontro
l of p
ests.
GM
P FD
14
Tran
spor
tTh
e stan
dard
shall
requ
ire th
at all
vehic
les us
ed fo
r the
tran
spor
tation
of ra
w ma
terial
s, ing
redie
nts pa
ckag
ing, a
nd fe
ed be
suita
ble fo
r the
int
ende
d pur
pose
and m
aintai
ned t
o mini
mize
feed
safet
y risk
s.
GM
P FD
15
Perso
nal h
ygien
eTh
e stan
dard
shall
requ
ire th
at do
cume
nted p
erso
nal h
ygien
e stan
dard
s bas
ed on
risk o
f pro
duct
conta
mina
tion b
e in p
lace;
these
re
quire
ments
shall
also
apply
to co
ntrac
tors a
nd vi
sitor
s.
GM
P FD
16
Train
ingTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to e
nsur
e tha
t all e
mploy
ees a
re ad
equa
tely t
raine
d, ins
tructe
d and
supe
rvise
d in f
eed
safet
y prin
ciples
and p
racti
ces,
comm
ensu
rate
with
their a
ctivit
y.
GM
P FD
17
Form
ulatio
n of p
rodu
ctW
here
appli
cable
the s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ens
ure f
eed i
s for
mulat
ed/de
signe
d for
the i
ntend
ed us
e. Us
e of
ingre
dients
that
conta
in su
bstan
ces t
hat c
an be
delet
eriou
s to c
ertai
n clas
ses o
f anim
als sh
all be
appr
opria
tely m
anag
ed.
GM
P FD
18
Rewo
rk co
ntrol
The s
tanda
rd sh
all re
quire
that
proc
edur
es be
in pl
ace t
o ens
ure r
ewor
k is m
anag
ed as
not to
comp
romi
se fe
ed sa
fety,
trace
abilit
y and
re
gulat
ory c
ompli
ance
.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015149GFSI Guidance Document - Part IV
PART IV
Tabl
e IX
– G
ood
Distr
ibut
ion
Prac
tice
Requ
irem
ents
J
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GD
P J
1Fa
cility
and e
nviro
nmen
tTh
e stan
dard
shall
requ
ire th
at the
site
or fa
cility
be lo
cated
and m
aintai
ned t
o pre
vent
conta
mina
tion o
f the p
rodu
cts an
d ena
ble th
e safe
re
ceipt
, stor
age a
nd di
stribu
tion o
f pro
ducts
. The
stan
dard
shall
requ
ire th
at all
grou
nds w
ithin
and a
roun
d the
site
or fa
cility
be m
aintai
ned
in su
ch a
way t
o pre
vent
the in
trodu
ction
of po
tentia
l haz
ards
and m
aintai
n pro
duct
integ
rity.
GD
P J
2En
viron
menta
l con
dition
sTh
e stan
dard
shall
addr
ess t
ime,
tempe
ratur
e, hu
midit
y and
othe
r rele
vant
envir
onme
ntal c
ondit
ions t
hat a
ffect
Food
Safe
ty.
GD
P J
3Fa
cility
desig
n, co
nstru
ction
, layo
ut
The s
tanda
rd sh
all re
quire
that
both
exter
ior an
d inte
rior p
remi
ses o
f the s
ite an
d/or f
acilit
y sha
ll be d
esign
ed, la
id ou
t, con
struc
ted
and m
aintai
ned t
o pre
vent
the in
trodu
ction
of po
tentia
l food
safet
y haz
ards
, and
main
tain r
equir
ed en
viron
menta
l con
dition
s, inc
luding
tem
pera
ture a
nd hu
midit
y con
trols.
The
stan
dard
shall
requ
ire th
at the
mate
rials
of co
nstru
ction
for t
he si
te, bu
ilding
s and
facil
ities b
e su
itable
for t
he in
tende
d pur
pose
.
GD
P J
4Eq
uipme
ntTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt is
desig
ned f
or th
e inte
nded
purp
ose a
nd be
used
, main
taine
d and
stor
ed so
as to
mini
mise
food
sa
fety r
isks.
GD
P J
5Ma
inten
ance
The s
tanda
rd sh
all re
quire
that
a sys
tem of
plan
ned m
ainten
ance
be in
plac
e cov
ering
all it
ems o
f equ
ipmen
t, whic
h are
critic
al to
prod
uct
safet
y and
used
to re
ceive
, stor
e and
distr
ibute
prod
ucts.
GD
P J
6St
aff fa
cilitie
sTh
e stan
dard
shall
requ
ire th
at sta
ff fac
ilities
, suc
h as t
oilets
, lunc
h fac
ilities
, cha
nging
/lock
er ro
oms a
re de
signe
d and
oper
ated t
o mini
mise
foo
d safe
ty ris
ks.
GD
P J
7Pr
oduc
t con
tamina
tion r
iskTh
e stan
dard
shall
requ
ire fa
cilitie
s and
proc
edur
es be
in pl
ace t
o con
trol th
e risk
of pr
oduc
t con
tamina
tion (
for ex
ample
phys
ical, c
hemi
cal,
biolog
ical, a
llerg
en or
othe
r con
tamina
tion o
f pro
duct.
)
GD
P J
8St
ock r
otatio
nTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to e
nsur
e tha
t mate
rials
and i
ngre
dients
are u
sed a
nd de
liver
ed w
ithin
the al
locate
d sh
elf-lif
e.
GD
P J
9Ho
usek
eepin
g, cle
aning
and h
ygien
eTh
e stan
dard
shall
requ
ire th
at cri
teria
for ho
usek
eepin
g, cle
aning
and h
ygien
e to e
nsur
e safe
food
be de
fined
and m
aintai
ned t
hrou
ghou
t all
the st
ages
of th
e pro
cess
with
docu
menta
tion f
or th
e effe
ctive
ness
of th
e clea
ning.
Clea
ning m
ateria
ls sh
all be
suita
ble fo
r inten
ded u
se an
d sto
red a
ppro
priat
ely.
Sixth Edition / Version 6.4 / November 2015150GFSI Guidance Document - Part IV
PART IV
GD
P J
10Ai
r, wate
r qua
lity an
d utili
ty ma
nage
ment
(inclu
ding i
ce)
The s
tanda
rd sh
all re
quire
that
the qu
ality
of air
, com
pres
sed a
ir and
wate
r in an
y for
m tha
t com
es in
to dir
ect c
ontac
t with
food
or fo
od
pack
aging
shall
pres
ent n
o risk
to pr
oduc
t safe
ty. W
ater s
uitab
le for
the o
pera
tion,
shall
be us
ed. W
here
appli
cable
, stor
age o
f wate
r and
sto
rage
and h
andli
ng of
ice s
hall o
ccur
so as
to pr
even
t con
tamina
tion.
Air fl
ow sh
all in
clude
cons
idera
tion f
or en
viron
menta
l con
tamina
nts.
GD
P J
11W
aste
mana
geme
ntTh
e stan
dard
shall
requ
ire th
at sy
stems
be in
plac
e for
the c
ollec
tion a
nd di
spos
al of
waste
mate
rial fo
r both
food
and n
on fo
od w
aste.
GD
P J
12Pe
st ma
nage
ment
The s
tanda
rd sh
all re
quire
that
a sys
tem be
in pl
ace f
or co
ntroll
ing th
e risk
of pe
st inf
estat
ion on
the s
ite or
in th
e fac
ilities
.
GD
P J
13Di
stribu
tion (
trans
port
and s
hippin
g)Th
e stan
dard
shall
requ
ire th
at all
tran
spor
t con
taine
rs be
main
taine
d in g
ood r
epair
, sec
ured
and a
t req
uired
env
ironm
ental
cond
itions
, an
d be c
lean t
o con
trol th
e risk
prod
uct c
ontam
inatio
n (for
exam
ple b
iolog
ical, p
hysic
al, ch
emica
l and
othe
r alle
rgen
conta
mina
tion o
f pr
oduc
t)
GD
P J1
4Pe
rsona
l hea
lth an
d hyg
iene
The s
tanda
rd sh
all re
quire
that
docu
mente
d per
sona
l hyg
iene a
nd he
alth s
tanda
rds b
ased
on ris
k of p
rodu
ct co
ntami
natio
n sha
ll be i
n plac
e an
d per
sonn
el tra
ined i
n the
m. H
and w
ashin
g and
toile
t facil
ities s
hall b
e pro
vided
. Pro
cedu
res s
hall b
e in p
lace f
or co
ntrac
tors a
nd vi
sitor
s.
GD
P J
15Tr
aining
The s
tanda
rd sh
all re
quire
that
a sys
tem is
in pl
ace t
o ens
ure t
hat a
ll emp
loyee
s are
adeq
uatel
y tra
ined,
instru
cted a
nd su
pervi
sed
in hy
giene
, pro
duct
cond
ition f
ood s
afety
princ
iples
and p
racti
ces a
nd al
lerge
n man
agem
ent, c
omme
nsur
ate w
ith th
eir ac
tivity
. The
eff
ectiv
enes
s of th
e tra
ining
is m
onito
red.
Pro
cedu
res s
hall b
e in p
lace f
or co
ntrac
tors a
nd vi
sitor
s.
GD
P J
16Pr
oduc
t iden
tifica
tion
The s
tanda
rd sh
all re
quire
that
all pr
oduc
ts ar
e ide
ntifie
d to e
nable
the s
afe ha
ndlin
g, re
ceivi
ng, s
torag
e and
distr
ibutio
n with
in the
food
su
pply
chain
.
GD
P J
17Tr
acea
bility
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
estab
lish,
imple
ment
and m
aintai
n app
ropr
iate t
race
abilit
y pro
cedu
res a
nd sy
stems
to
includ
e the
mate
rial s
ource
(one
stag
e bac
k) an
d the
custo
mer (
one s
tage f
orwa
rd) a
nd to
ensu
re:
► P
rodu
ct ide
ntific
ation
inclu
des a
uniqu
e pro
duct
identi
fier
► R
ecor
d of p
urch
aser
and d
elive
ry de
stina
tion f
or al
l pro
ducts
supp
lied.
► T
he sy
stem
is tes
ted re
gular
ly.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015151GFSI Guidance Document - Part IV
PART IV
Tabl
e X
– Go
od M
anuf
actu
ring
Prac
tice
Requ
irem
ents
M
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
GM
P M
1Fa
cility
The s
tanda
rd sh
all re
quire
that
the si
te or
facil
ity sh
all be
loca
ted an
d main
taine
d to p
reve
nt co
ntami
natio
n of th
e pac
kagin
g mate
rials
and
enab
le the
prod
uctio
n of s
afe pr
oduc
ts. T
he st
anda
rd sh
all re
quire
that
the m
anufa
cturin
g pro
cess
is co
ntroll
ed th
roug
hout
in or
der t
o en
sure
that
the pa
ckag
ing m
ateria
l pro
duce
d is f
ood s
afe.
GM
P M
2Lo
cal e
nviro
nmen
tTh
e stan
dard
shall
requ
ire th
at all
grou
nds w
ithin
the si
te or
facil
ity sh
all be
main
taine
d to a
n app
ropr
iate s
tanda
rd.
GM
P M
3Fa
cility
desig
n, co
nstru
ction
, layo
ut an
d pr
oduc
t flow
The s
tanda
rd sh
all re
quire
that
prem
ises,
site a
nd/or
plan
t sha
ll be d
esign
ed, c
onstr
ucted
and m
aintai
ned,
both
exter
ior an
d inte
rior, t
o co
ntrol
the ris
k of p
acka
ging m
ateria
l con
tamina
tion.
GM
P M
4Fa
brica
tion i
nclud
ing ra
w ma
terial
s int
ake m
anufa
cturin
g pro
cess
, stor
age
and d
ispatc
h.Th
e stan
dard
shall
requ
ire th
at the
fabr
icatio
n of th
e site
, buil
dings
and f
acilit
ies be
suita
ble fo
r the
inten
ded p
urpo
se.
GM
P M
5Eq
uipme
ntTh
e stan
dard
shall
requ
ire th
at eq
uipme
nt is
suita
bly de
signe
d and
valid
ated f
or th
e inte
nded
purp
ose a
nd be
used
and s
tored
so as
to
minim
ise fo
od sa
fety r
isks f
rom
pack
aging
mate
rials.
GM
P M
6Ma
inten
ance
The s
tanda
rd sh
all re
quire
that
a sys
tem of
plan
ned m
ainten
ance
be in
plac
e cov
ering
all it
ems o
f equ
ipmen
t, whic
h is u
sed t
o pro
duce
food
sa
fe pa
ckag
ing.
GM
P M
7St
aff fa
cilitie
sTh
e stan
dard
shall
requ
ire th
at sta
ff fac
ilities
, suc
h as t
oilets
, lunc
h fac
ilities
, cha
nging
/lock
er ro
oms a
re de
signe
d and
oper
ated t
o mini
mise
foo
d safe
ty ris
ks. T
he st
anda
rd sh
all re
quire
staff
and v
isitor
acce
ss de
finitio
ns an
d inc
lude v
isitor
and c
ontra
ctor c
ontro
l.
GM
P M
8Pr
oduc
t con
tamina
tion r
iskTh
e stan
dard
shall
requ
ire th
at ap
prop
riate
facilit
ies an
d pro
cedu
res b
e in p
lace t
o con
trol th
e risk
of ph
ysica
l, che
mica
l, biol
ogica
l or
aller
gen c
ontam
inatio
n of p
rodu
ct.
GM
P M
9Se
greg
ation
and c
ross
-conta
mina
tion
The s
tanda
rd sh
all re
quire
that
proc
edur
es ar
e in p
lace t
o pre
vent
conta
mina
tion a
nd cr
oss-c
ontam
inatio
n of p
rodu
ct inc
luding
the p
ossib
ility
of co
ntami
natio
n fro
m re
cycle
d mate
rials
and m
ixing
of ra
w ma
terial
s if th
e effe
ct of
the m
ateria
l give
s rise
to fo
od sa
fety i
ssue
s.
Sixth Edition / Version 6.4 / November 2015152GFSI Guidance Document - Part IV
PART IV
GM
P M
10
Hous
ekee
ping,
clean
ing an
d hyg
iene
The s
tanda
rd sh
all re
quire
that
appr
opria
te sta
ndar
ds of
hous
ekee
ping,
clean
ing an
d hyg
iene b
e main
taine
d at a
ll tim
es an
d thr
ough
out a
ll the
stag
es w
ith va
lidati
on an
d rec
ordin
g of th
e effe
ctive
ness
of th
e clea
ning.
Clea
ning m
ateria
ls sh
all be
suita
ble fo
r inten
ded u
se an
d stor
ed
appr
opria
tely.
GM
P M
11
Air a
nd w
ater q
uality
man
agem
ent
The s
tanda
rd sh
all re
quire
that
the qu
ality
of air
, com
pres
sed a
ir and
wate
r (inc
luding
stea
m) th
at co
mes i
nto co
ntact
with
pack
aging
mate
rial
shall
pres
ent n
o risk
to pr
oduc
t safe
ty. C
lean w
ater, s
uitab
le for
the p
roce
ss, s
hall b
e use
d. W
here
appli
cable
, stor
age o
f wate
r sha
ll occ
ur so
as
to pr
even
t con
tamina
tion.
GM
P M
12
Was
te ma
nage
ment
The s
tanda
rd sh
all re
quire
that
adeq
uate
syste
ms be
in pl
ace f
or th
e coll
ation
, coll
ectio
n and
disp
osal
of wa
ste m
ateria
l.
GM
P M
13
Pest
contr
olTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e for
contr
olling
or el
imina
ting t
he ris
k of p
est in
festat
ion on
the s
ite or
in th
e fac
ilities
.
GM
P M
14
Tran
spor
tTh
e stan
dard
shall
requ
ire th
at all
vehic
les, in
cludin
g con
tracte
d out
vehic
les, u
sed f
or th
e tra
nspo
rtatio
n of r
aw m
ateria
ls or
pack
aging
ma
terial
s, int
erme
diate/
semi
proc
esse
d pro
duct
and fi
nishe
d pro
duct
shall
be su
itable
for t
he pu
rpos
e, ma
intain
ed in
good
repa
ir and
be
clean
. The
re sh
all be
no po
tentia
l for c
ontam
inatio
n fro
m oth
er m
ateria
ls ca
rried
on th
e sam
e veh
icle.
Haza
rds a
nd ris
k sha
ll be c
onsid
ered
.
GM
P M
15
Perso
nal h
ygien
e, pr
otecti
ve cl
othing
/wo
rkwea
r and
med
ical s
creen
ing
The s
tanda
rd sh
all re
quire
that
docu
mente
d per
sona
l hyg
iene s
tanda
rds b
ased
on ris
k of p
rodu
ct co
ntami
natio
n sha
ll be i
n plac
e. Ha
nd
wash
ing an
d toil
et fac
ilities
shall
be pr
ovide
d. Su
itable
and a
ppro
priat
e pro
tectiv
e clot
hing s
hall b
e pro
vided
. A m
edica
l scre
ening
proc
edur
e ma
y be i
n plac
e. In
all ca
ses t
hese
requ
ireme
nts sh
all al
so ap
ply to
contr
actor
s and
visit
ors.
GM
P M
16
Train
ingTh
e stan
dard
shall
requ
ire th
at an
effec
tive s
ystem
is in
plac
e to e
nsur
e tha
t all e
mploy
ees a
re ad
equa
tely t
raine
d and
instr
ucted
and t
he
effec
tiven
ess o
f the t
raini
ng is
mon
itore
d in p
acka
ging h
ygien
e, qu
ality
and f
ood s
afety
princ
iples
and p
racti
ces,
comm
ensu
rate
with
their
activ
ity.
GM
P M
17
Pack
aging
and s
torag
e of p
rodu
ctTh
e stan
dard
shall
requ
ire th
at pa
ckag
ing m
ateria
l sha
ll be p
acka
ged,
hand
led, s
egre
gated
in a
mann
er th
at mi
nimize
s sou
rces o
f ph
ysica
l, che
mica
l, biol
ogica
l and
aller
gen c
ontam
inatio
n. Pr
oduc
t sha
ll be h
eld or
stor
ed in
desig
nated
area
s and
hand
led un
der t
he pr
oper
co
nditio
ns to
mini
mize
conta
mina
tion.
GM
P M
18
Trad
emar
ked m
ateria
lTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to c
ontro
l the d
ispos
al of
trade
marke
d mate
rial.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015153GFSI Guidance Document - Part IV
PART IV
GM
P M
19
Prod
uct r
ecall
/with
draw
alTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to m
anag
e pro
duct
reca
ll and
with
draw
al. T
he sy
stem
shall
be re
cord
ed an
d tes
ted at
an
appr
opria
te fre
quen
cy.
GM
P M
20
Inven
tory m
anag
emen
tTh
e stan
dard
shall
requ
ire th
at a s
ystem
be in
plac
e to e
nsur
e mate
rials
and i
ngre
dients
are u
sed i
n the
corre
ct or
der a
nd w
ithin
the
alloc
ated s
helf l
ife.
GM
P M
21
Aller
gens
The s
tanda
rd sh
all re
quire
that
the us
e of a
ny kn
own a
llerg
ens u
sed i
n pac
kagin
g man
ufactu
re ar
e ide
ntifie
d, re
cord
ed an
d lab
elled
ac
cord
ingly.
GM
P M
22
Mater
ial cl
aims
The s
tanda
rd sh
all re
quire
that
wher
e rec
ycled
mate
rial, p
lant b
ased
mate
rial o
r fun
ction
al ad
ditive
s are
used
ther
e sha
ll be s
ufficie
nt da
ta to
ensu
re sa
fe foo
d con
tact a
nd do
cume
ntatio
n of c
laims
.
GM
P M
23
ed m
ateria
ls ma
nage
ment
The s
tanda
rd sh
all re
quire
that
wher
e pac
kagin
g mate
rials
are p
rinted
with
prod
uct in
gred
ient li
st(s),
aller
gens
, iden
tifica
tion c
ode a
nd
other
critic
al inf
orma
tion,
they s
hall b
e man
aged
in a
mann
er th
at pr
even
ts mi
sprin
ting.
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
has
contr
ols in
plac
e to e
nsur
e prin
ted m
ateria
ls ar
e not
mixe
d or in
termi
ngled
inclu
ding i
n-pr
oces
s and
re-w
orke
d mate
rials.
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
Sixth Edition / Version 6.4 / November 2015154GFSI Guidance Document - Part IV
PART IV
Tabl
e I –
HAC
CPRe
quire
men
ts AI
, AII,
BI a
nd B
II
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
HAC
CP A
B 1
Haza
rd A
nalys
is an
d Criti
cal C
ontro
l Po
int (H
ACCP
)
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
have
in pl
ace a
HAC
CP or
HAC
CP ba
sed s
ystem
inclu
ding p
re-re
quisi
te pr
ogra
mmes
. It
shall
pres
cribe
the m
easu
res t
aken
to ap
ply th
ose c
ritica
l con
trols
to as
sure
, mon
itor a
nd m
aintai
n foo
d safe
ty. T
he H
ACCP
-bas
ed sy
stem
shall
:i. B
e pre
pare
d in a
ccor
danc
e with
Cod
ex or
NAC
MCF
HACC
P de
velop
ment
metho
dolog
y and
ii. Co
ver a
prod
uct o
r a pr
oduc
t gro
uping
and i
ts pr
oduc
tion a
ndiii.
Inclu
de do
cume
nted S
tanda
rd O
pera
ting P
racti
ces (
SOP’
s) an
d Wor
k Ins
tructi
ons (
WI’s
) as r
equir
ed an
d app
licab
le to
the or
ganis
ation
’s Sc
ope o
f Cer
tifica
tion.
The r
esult
s of th
e haz
ard a
nalys
is sh
all de
mons
trate
food s
afety
mana
geme
nt.Th
e sco
pe of
the H
ACCP
or H
ACCP
base
d sys
tem sh
all be
requ
ired t
o be d
efine
d per
prod
uct o
r pro
duct
grou
ping a
nd pe
r pro
ducti
on ty
pe.
Tabl
e II
– HA
CCP
Requ
irem
ents
C an
d D
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
HAC
CP C
D 1
Haza
rd A
nalys
is an
d Criti
cal C
ontro
l Po
int (H
ACCP
)
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
have
in pl
ace a
HAC
CP or
HAC
CP ba
sed s
ystem
inclu
ding p
rere
quisi
te pr
ogra
mmes
, to
demo
nstra
te foo
d safe
ty ma
nage
ment.
The H
ACCP
base
d sys
tem sh
all be
syste
matic
, com
preh
ensiv
e and
thor
ough
and s
hall b
e bas
ed on
the
Cod
ex A
limen
tarius
HAC
CP pr
incipl
es or
thos
e prin
ciples
spec
ified b
y the
Nati
onal
Advis
ory C
ommi
ttee o
n Micr
obiol
ogica
l Crite
ria fo
r Fo
ods (
NACM
CF). T
he H
ACCP
base
d sys
tem sh
all be
capa
ble of
acco
mmod
ating
chan
ge, s
uch a
s adv
ance
s in e
quipm
ent d
esign
, pro
cess
ing
proc
edur
es or
tech
nolog
ical d
evelo
pmen
ts. Th
e haz
ard a
nalys
is, w
here
appr
opria
te, sh
all in
clude
aller
gens
. Th
e 7 C
odex
Alim
entar
ius H
ACCP
princ
iples
and a
ll 12 H
ACCP
imple
menta
tion s
teps m
ust b
e imp
lemen
ted an
d doc
umen
ted an
d sha
ll app
ly for
all p
roce
sses
exce
pt for
some
case
s of h
andli
ng w
here
the h
azar
d ana
lysis
outco
me m
ay sh
ow th
at no
t all o
f the H
ACCP
princ
iples
are
nece
ssar
y.Th
e sco
pe of
the H
ACCP
base
d sys
tem sh
all be
requ
ired t
o be d
efine
d per
prod
uct /
prod
uct c
atego
ry an
d per
prod
uctio
n line
/ pro
ducti
on-
locati
on.
SECT
ION
3HA
CCP
OR H
AZAR
D BA
SED
REQU
IREM
ENTS
Sixth Edition / Version 6.4 / November 2015155GFSI Guidance Document - Part IV
PART IV
Tabl
e III
– H
ACCP
Requ
irem
ents
EI, E
II, E
III, E
IV a
nd L
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
HAC
CP E
L 1
Haza
rd A
nalys
is an
d Criti
cal C
ontro
l Po
int (H
ACCP
)
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
have
in pl
ace a
Haz
ard A
nalys
is an
d Criti
cal C
ontro
l Poin
t sys
tem (H
ACCP
) to d
emon
strate
foo
d safe
ty ma
nage
ment.
The
HAC
CP sy
stem
shall
be sy
stema
tic, c
ompr
ehen
sive a
nd th
orou
gh an
d sha
ll be b
ased
on th
e Cod
ex
Alim
entar
ius H
ACCP
princ
iples
or th
ose p
rincip
les sp
ecifie
d by t
he N
ation
al Ad
visor
y Com
mitte
e on M
icrob
iolog
ical C
riteria
for F
oods
(N
ACMC
F). T
he H
ACCP
syste
m sh
all be
capa
ble of
acco
mmod
ating
chan
ge, s
uch a
s adv
ance
s in e
quipm
ent d
esign
, pro
cess
ing
proc
edur
es or
tech
nolog
ical d
evelo
pmen
ts. T
he ha
zard
analy
sis, w
here
appr
opria
te, sh
all in
clude
aller
gens
. In
all ca
ses,
the 7
Code
x Alim
entar
ius H
ACCP
princ
iples
and t
he 12
step
logic
sequ
ence
for a
pplic
ation
of H
ACCP
spec
ified i
n the
do
cume
nt, R
ecom
mend
ed In
terna
tiona
l Cod
e of P
racti
ce –
Gene
ral P
rincip
les of
Foo
d Hyg
iene C
AC/ R
CP 1-
1969
, Rev
. 4 -2
003,
shall
ap
ply.
The s
cope
of th
e HAC
CP sy
stem
shall
be re
quire
d to b
e defi
ned p
er pr
oduc
t / pr
oduc
t cate
gory
and p
er pr
oces
s line
/ pro
cess
-loca
tion.
Tabl
e IV
– H
ACCP
Requ
irem
ents
F
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
HAC
CP F
D 1
HACC
P Ba
sed S
ystem
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
have
in pl
ace a
HAC
CP ba
sed s
ystem
inclu
ding p
rere
quisi
te pr
ogra
mmes
, to de
mons
trate
feed s
afety
mana
geme
nt. T
he H
ACCP
base
d sys
tem sh
all be
base
d on t
he C
odex
Alim
entar
ius H
ACCP
princ
iples
. The
HAC
CP ba
sed
syste
m sh
all be
capa
ble of
acco
mmod
ating
chan
ge, s
uch a
s adv
ance
s in e
quipm
ent d
esign
, pro
cess
ing pr
oced
ures
or te
chno
logica
l de
velop
ments
. Th
e sco
pe of
the H
ACCP
base
d sys
tem sh
all be
requ
ired t
o be d
efine
d per
prod
uct /
prod
uct c
atego
ry an
d per
prod
uctio
n line
/ pro
ducti
on-
locati
on.
Sixth Edition / Version 6.4 / November 2015156GFSI Guidance Document - Part IV
PART IV
Tabl
e VI
– H
ACCP
Requ
irem
ents
M
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
HAC
CP M
1Ha
zard
and R
isk M
anag
emen
t Sys
tem
The s
tanda
rd sh
all re
quire
that
the or
ganis
ation
have
in pl
ace a
Haz
ard a
nd R
isk M
anag
emen
t sys
tem in
cludin
g pre
-requ
isite
prog
ramm
es.
This
mayb
e a H
ACCP
base
d sys
tem or
anoth
er H
azar
d and
Risk
Man
agem
ent s
ystem
that
cove
rs the
Cod
ex A
limen
tarius
HAC
CP
princ
iples
.Th
e sco
pe of
the H
azar
d and
Risk
Man
agem
ent s
ystem
shall
cove
r all p
roce
sses
of th
e mate
rials
enco
mpas
sed w
ithin
the st
anda
rd to
en
sure
that
none
of th
eir co
mpon
ents
parts
or th
e who
le ma
terial
could
comp
romi
se fo
od sa
fety.
Tabl
e V
– HA
CCP
Requ
irem
ents
J
Clau
se N
umbe
rCl
ause
Nam
eRe
quire
men
ts
HAC
CP J
1Ha
zard
and R
isk M
anag
emen
t Sys
temTh
e stan
dard
shall
requ
ire th
at the
orga
nisati
on ha
ve in
plac
e a H
azar
d and
Risk
Man
agem
ent s
ystem
inclu
ding p
re-re
quisi
te pr
ogra
mmes
. Th
is ma
y be a
HAC
CP ba
sed s
ystem
or an
other
Haz
ard a
nd R
isk M
anag
emen
t sys
tem th
at co
vers
the C
odex
Alim
entar
ius H
ACCP
pr
incipl
es.
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PART IV
SECTION 4CERTIFICATION OF MULTI-SITE ORGANISATIONS BASED ON SAMPLING
4.1 General The GFSI Guidance Working Group undertook a review of the scopes of recognition, and it has been agreed that only the following scopes of recognition shall be considered for certification of multi-site organizations , based on a sampling of the sites.These scopes are listed in the following table.
GFSI Scope Category Name Comments
AI Farming of Animals for Meat/ Milk/ Eggs/ Honey To be agreed
AII Farming of Fish and Seafood To be agreed
BI Farming of Plants (other than grains and pulses) Agreed
BII Farming of Grains and Pulses Agreed
D Pre-process handling of plant products, nuts and grain Dependent upon process risk
G Catering To be agreed
H Retail / Wholesale To be agreed
I Provision of Food Safety Services To be agreed
J Provision of Storage and Distribution Services Agreed
It must be stressed that certification of multi-site organizations based on sampling is not compulsory for a scheme owner within these scopes of recognition and a scheme owner may opt for single site certification only. However where a scheme owner permits the use of certification of multi-site organizations based on sampling, then the requirements defined in the sector specific sections below shall be in place.Each sector-specific Working Group shall develop the requirements for certification of multi-site organizations based on sampling as part of their mandate from the GFSI Board, and these shall be incorporated in future versions of the GFSI Guidance Document.
4.2 Scope of Recognition BI (Farming of Grains and Pulses) and BII (Farming of Plants [other than grains and pulses])The scheme owner shall clearly specify the conditions for single or multi-site sampling within their normative documents and may accept both forms of certification. However, where certification of multi-site organisations is accepted, the requirements shall be clearly defined and the following criteria shall be in place in relation to the certification of a multi-site organisation under one certificate (more than one site is named on one certificate):
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1. The organisation shall request multi-site sampling in their application to the certification body.2. The organisation’s central controlling organisation or central function shall be contracted to the certification body and not individual sites. The organisation’s central controlling organisation or central function shall be part of the organisation’s certification programme.3. All sites shall be located within one country. 4. All sites must be operated under the same food safety management system and under the control of a central controlling organisation or central function, which has a legal or contractual link to the sites. 5. The central controlling organisation or central function shall have in place sufficient management and technical capacity to implement and maintain the internal audit programme.6. The central controlling organisation or central function shall have authoritative control of the food safety management system of all sites and shall issue, maintain and retain all relevant documents relating to the sites within the sampling programme.7. The central controlling organisation or central function shall be subject to management review in accordance with scheme requirements and shall be itself be subject to internal audit in accordance with scheme requirements. 8. The central controlling organisation or central function shall be audited by the certification body at least annually and before the certification body undertakes the auditing of sample sites. 9. All sites within a multi-site sampling programme shall have the same risk profile (e.g. product, size of site, shift patterns, management structure and staff numbers). Therefore, it is recognised that an organization could have several multi-site sampling programmes based on different risk profile, but these programmes shall be clearly defined and documented.10. There must be an internal audit programme for all sites undertaken by the central controlling organisation or central function, which is based on risk profile. Within the internal audit sampling programme all sites shall be audited at least annually. The internal audit programme shall have documented procedures and be both practical and feasible in operative terms.11. The certification body audit sampling programme shall be reviewed and undertaken annually against defined sample size. 12. The sampling size of the certification body audit sampling programme shall be the square root of the number of sites (rounded to the upper whole number) in accordance with principles defined in IAF MD1:2007 and the sample size shall meet the requirements defined in the table below:
No of Sites Sample Size No of Sites Sample Size
20-25 5 251-500 23
26-50 8 501-1000 32
51-100 10 Over 1000 Calculated
101-250 16
The programme shall be partly selective and partly non-selective, but at least 25% of the sample shall be randomly selected from the total number of sites. In relation to the selected sites, these shall be identified by reference to the organisation’s internal audit programme findings and the individual site risk profiles (e.g. product,size of site, shift patterns, management structure, complaints, site modification, management changes and staff numbers).
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In the event that non conformities are found when auditing sites, which may not jeopardise certification but may raise concerns on conformity of the multi-site organisation, the certification body shall increase the sampling size to ensure adequate confidence in the conformity of the supplier. 13. Non conformities shall be assessed by the certification body to ascertain if these indicate an overall food safety system deficiency and therefore may be applicable to all or other sites. If non conformities relate to all or other sites, corrective action shall be undertaken and verified both by the central controlling organisation or central function and by the certification body.14. If the central controlling organisation, central function or any site fails to meet the certification scheme requirements, then the whole multi-site organisation will fail to gain certification. Where certification has previously been in place, this shall initiate the certification body’s process to suspend or withdraw its certification.
4.3 Scope of Recognition J (Provision of Storage and Distribution Services)Characteristics of the tiers/areas in the Storage and Distribution sector where multi-site certification is applicable
The GFSI Working Group for the Key elements for Storage and Distribution recognised that in the Storage and Distribution sector there is often a hierarchical operational structure within individual organisations, leading to the development of a system or network of satellite sites, which differ in relation to size and function. The Working Group also recognized that given the variability in number, size and complexity of the operations in these satellite sites, a multi-site certification based approach would not only be practical but desirable. For simplification purposes, a typical Storage and Distribution organisational structure has been divided into ‘tiers’ that represent the size and function of the sites.
Tier 1 Site
Tier 2 Site Tier 2 Site Tier 2 Site Tier 2 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
Tier 3 Site
SINGLE SITE CERTIFICATION
MULTI-SITE CERTIFICATION
MULTI-SITE CERTIFICATION
These are typically:Tier 1 (T1): Main/ National/ Regional Distribution Centres or Central Warehouses [No multi-site sampling option available]
Tier 2 (T2) and Tier (T3): Satellite Warehouse, Distribution Hub, Cross Docking site multi-site sampling option available]
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A scheme shall certify each Tier 1 facility site of company’s distribution and/or warehouse operations with each T-1 site having its own single certificate. However, a multi-site approach may be used to include all T2 or below (e.g. T3) satellite sites linked to the T-1 organizations’ certification. NOTE: All sites within the same multi-site sampling programme shall be operating under the same storage conditions (e.g. ambient stable, refrigerated, frozen or combinations of these) and have the same risk profile. Therefore, it is recognised that an organization could have several multi-site sampling programmes based on different process and risk profile, but these programmes shall be clearly defined and documented (reference point 9 below).
The scheme owner shall clearly specify the conditions for single or multi-site sampling within their normative documents and may accept both forms of certification, below Tier 1 sites. However, where certification of multi- site organisations is accepted, the requirements shall be clearly defined and the following criteria shall be in place in relation to the certification of a multi-site organisation under one certificate (more than one site is named on one certificate):1. The organisation shall request multi-site sampling in their application to the certification body.2. The organisation’s central controlling organisation or central function shall be contracted to the certification body and not individual sites. The organisation’s central controlling organisation or central function shall be part of the organisation’s certification programme.3. All sites shall be located within one country. 4. All sites must be operated under the same food safety management system and under the control of a central controlling organisation or central function, which has a legal or contractual link to the sites. 5. The central controlling organisation or central function shall have in place sufficient management and technical capacity to implement and maintain the internal audit programme.6. The central controlling organisation or central function shall have authoritative control of the food safety management system of all sites and shall issue, maintain and retain all relevant documents relating to the sites within the sampling programme.7. The central controlling organisation or central function shall be subject to management review in accordance with scheme requirements and shall be itself be subject to internal audit in accordance with scheme requirements. 8. The central controlling organisation or central function shall be audited by the certification body at least annually and before the certification body undertakes the auditing of sample sites. 9. All sites within a multi-site sampling programme shall be operating under the same storage conditions (e.g. ambient stable, refrigerated, frozen or combinations of these) and have the same risk profile (e.g. size of site, shift patterns, management structure and staff numbers). Therefore, it is recognised that an organization could have several multi-site sampling programmes based on different process and risk profile, but these programmes shall be clearly defined and documented.10. There must be an internal audit programme for all sites undertaken by the central controlling organisation or central function, which is based on storage condition and risk profile. Within the internal audit sampling programme all sites shall be audited at least annually. The internal audit programme shall have documented procedures and be both practical and feasible in operative terms.11. The certification body audit sampling programme shall be reviewed and undertaken annually against defined sample size. Within a multi-site sampling programme there shall be a minimum of 20 sites.12. The sampling size of the certification body audit sampling programme shall be the square root of the number of sites (rounded to the upper whole number) in accordance with principles defined in IAF MD1:2007 and the sample size shall meet the requirements defined in the table below:
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No of Sites Sample Size No of Sites Sample Size
20-25 5 251-500 23
26-50 8 501-1000 32
51-100 10 Over 1000 Calculated
101-250 16
The programme shall be partly selective and partly non-selective, but at least 25% of the sample shall be randomly selected from the total number of sites. In relation to the selected sites, these shall be identified by reference to the organisation’s internal audit programme findings and the individual site risk profiles (e.g. size of site, shift patterns, management structure, complaints, site modification, management changes and staff numbers). In the event that non conformities are found when auditing sites, which may not jeopardise certification but may raise concerns on conformity of the multi-site organisation, the certification body shall increase the sampling size to ensure adequate confidence in the conformity of the supplier. 13. Non conformities shall be assessed by the certification body to ascertain if these indicate an overall food safety system deficiency and therefore may be applicable to all or other sites. If non conformities relate to all or other sites, corrective action shall be undertaken and verified both by the central controlling organisation or central function and by the certification body.
14. If the central controlling organisation, central function or any site fails to meet the certification scheme requirements, then the whole multi-site organisation will fail to gain certification. Where certification has previously been in place, this shall initiate the certification body’s process to suspend or withdraw its certification.
The differing tiers within the Storage and Distribution sector are defined as follows;Tier 1 (T1) facility: Main/ National/ Regional Distribution Centres or Central Warehouses: Food or Feed Distribution or Storage facilities at a single site or location and operating under one food safety management system. T1 facilities can have T 2 facilities and/or sites (T3) managed by the organization seeking the certification [each site must have a certificate, no multi-site sampling option available].Tier 2 (T2) or Tier 3 (T3) Site: Satellite Warehouse or Distribution Hub, Cross Docking site [muti-site sampling option available]: Food or Feed Distribution or Storage facilities at a single site or location and operating under one food safety management system. These sites are always linked to a larger T1 Distribution Centre, Storage Warehouse or organization with multiple T1 facilities or in the case of a T3 site via a T2 site. T2 sites and T3 sites are always managed and under the direct control of a T1 facility or an organization with multiple T1 facilities seeking certification [multi-site sampling option available].
PART V
Version 6.4
Sixth Edition / Version 6.4 / November 2015165GFSI Guidance Document - Part V
PART V
Terms and DefinitionsFor the purposes of this document, the following terms and definitions shall apply:
Term Definition
AccreditationA process by which an authoritative body gives formal recognition of the competence of a certification body to provide certification services against an international standard.
Accreditation BodyAn agency having jurisdiction to formally recognise the competence of a certification body to provide certification services.
AppealA request by a scheme owner for reconsideration of a decision made by the GFSI Board, GFSI employee or person contracted to GFSI.
ApplicationA document confirming a scheme owner’s intention to seek recognition by the GFSI for a scope of recognition.
Assessment MatrixA document issued by GFSI used by the GFSI Benchmark Committee Leader and the Benchmarking Committee to document information during the benchmarking process.
Audit
A systematic and functionally independent examination to determine whether activities and related results comply with a conforming scheme, whereby all the elements of this scheme should be covered by reviewing the supplier’s manual and related procedures, together with an evaluation of the production facilities.
Auditor A person qualified to carry out audits for or on behalf of a certification body.
BenchmarkA process by which a food safety scheme and food safety related schemes are compared to the GFSI Guidance Document to determine equivalence.
Benchmark CommitteeA team of registered technical experts who have been appointed by GFSI to undertake the benchmarking process of a specific food safety scheme.
Benchmark Committee MemberA person who has the required qualifications and experience and has undergone selection for the membership of a Benchmark Committee.
CateringThe preparation and provision of food, which is consumed outside the home, within a defined premises.
Central Controlling OrganisationAn organisation which is employed by or is subsidiary of a larger organisation and has the responsibility to plan, control and manage the organisation’s food safety management system.
Central FunctionAn identified central department (but not necessarily the headquarters of the organisation) which has the responsibility to plan, control and manage the organisation’s food safety management system.
CertificationA process by which accredited certification bodies, based on an audit, provide written assurance that food safety requirements and management systems and their implementation conform to requirements.
Certification BodyA provider of certification services, accredited to do so by an Accreditation Body.
Certification DecisionThe granting, continuing , expanding the scope of, reducing thescope of, suspending, restoring , withdrawing or refusing ofcertification by a Certification Body.
Committed userA person or organisation from within the retail/food service or producing/manufacturing sectors that uses, or is going to use a scheme named in the application for GFSI recognition.
CompetenceThe demonstrated ability to apply knowledge and skills to achieve intended results.
ComplaintA legal document that is an expression of displeasure or dissatisfaction, but is not an appeal.
Complainant A person, organisation or its representative making a complaint.
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Conformance Statement A document issued by GFSI to confirm recognition of a scheme.
Conformity Assessment BodyAn organisation that performs assessment services and that can be the object of accreditation.
Consensus
General agreement, characterised by the absence of sustained opposition to substantial issues by any important concerned party and by a process that involves seeking to take into account the views of all parties concerned and to reconcile any conflicting arguments. Consensus need not imply unanimity.
Conflict of Interest
Where either a Certification Body or an individual is in a position of trust requiring them to exercise judgement on behalf of others and also have interests or obligations (whether financial or otherwise) of the sort that might interfere with the exercise of that judgment.
Conforming schemeA food safety scheme that has successfully completed the GFSI Benchmark Process.
ConsumerA person who is a member of the public, takes possession of food, is not functioning in the capacity of an operator of a food establishment or food processing plant, and does not offer the food for resale.
Corrective ActionAn action to eliminate the cause of a detected non conformity or other undesirable matters.
DistributionThe movement of products or raw materials through a mode of transport from one location to another. The modes of transportation can include air, rail, road and/or water.
EquipmentAn article that is used in the operation of a food or feed establishment which is used to convey or process food or feed
Equivalence A condition of being similar or identical or essentially equal.
EvaluationAn examination of production facilities or services in order to verify that they conform to requirements.
Expert A person appointed by GFSI who has demonstrable specific knowledge and expertise with respect to food safety or management systems.
FabricationThe process and materials used in the construction and up keep of the site or facility
FacilityA building or structure that provides a particular service or is used by a supplier for the manufacturing, packaging, labelling or storage of raw materials, ingredients or food or feed
FeedAny substance or product, including additives, whether processed, partially processed or unprocessed, intended to be used for oral feeding to animals.
Feed safetyA concept that feed will not cause harm to animals or adversely affect human health when utilised according to its intended purpose
Food
Any substance or product, whether processed, partially processed or unprocessed, intended to be, or reasonably expected to be, ingested by humans. ‘Food’ includes drink, chewing gum and any substance, including water, intentionally incorporated into the food during its manufacture, preparation or treatment and live animals which are offered to the customer or consumer and intended for preparation and consumption by the consumer.
Food contact surfaces
Those surfaces that contact human food and those surfaces from which drainage onto the food or onto surfaces that contact the food ordinarily occurs during the normal course of operations and include utensils and food-contact surfaces of equipment.
Food defenceThe process to ensure the security of food and drink and their supply chains from all forms of intentional malicious attack including ideologically motivated attack leading to contamination or supply failure.
Food SafetyA concept that food will not cause harm to the consumer when it is prepared and / or eaten according to its intended use.
Term Definition
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PART V
Food safety scheme
A systematic plan which has been developed, implemented and maintained for the scope of food safety.This shall consist of a standard and food safety system in relation to specified processes or a food safety service to which the same particular plan applies. The food safety scheme should contain at least the following items:
► a standard ► clearly defined scope ► a food safety system
Food Safety StandardA series of defined requirements developed to ensure the safety of food when effectively implemented.
Food Safety SystemA series of defined rules, policies and procedures which are intended to ensure the safe supply of food and protect public health.
Food Supply ChainA defined sequence of activities in relation to the provision of food and feed from primary production to consumption. In relation to GFSI this involves activities associated with the Food and Feed Industries.
GFSI AssessorA person, appointed by the GFSI, who is assigned to perform alone or as part of a team, the assessment of compliance of a scheme with the requirements of the GFSI Guidance Document in relation to a complaint or appeal.
GFSI Benchmark Committee Leader
A person, appointed by GFSI, who is assigned to manage the benchmarking process for a specific scheme application. The person shall have overall responsibility for the benchmarking activities for a specific scheme application.
HACCP
Hazard Analysis and Critical Control PointA system which identifies, evaluates, controls and monitors hazards relating to food safety and specified by Codex Alimentarius or the National Advisory Committee on Microbiological Criteria for Foods.
HACCP based systemA written document that delineates the procedures for following the Hazard Analysis Critical Control Point principles specified by Codex Alimentarius or The National Advisory Committee on Microbiological Criteria for Foods.
Impartiality The actual and perceived presence of objectivity.
Ingredient A component of a food, feed or packaging that has undergone processing
Incident Management
A process of identifying and managing any event where, based on the information available, there are concerns about threats to the food safety of product that could require intervention to protect consumers interests, such as Isolation and removal from the supply chain.
Legal Entity Any entity recognized by the law, including both juristic and natural persons.
MonitoringA planned sequence of observations or measurements to assess compliance with requirements.
Multi-site Certification
Certification covering multi-site organisations including several sites (when applying the square root rule) and where sampling of these sites may be used by a certification body in its conformity assessment work. The scope of certification covers the actual products and processes as defined in the normative documents describing the scheme in question. Every site covered by this certification is mentioned on the main certificate documentation and every site is entitled to get its own sub-certificate.
Multi-site Organisation
An organisation having an identified central function ( a central office, but not necessarily the headquarters of the organisation) at which certain activities are planned, controlled and managed and a network of local offices or branches or sites at which such activities are fully or partially carried out.
Non-conformity
A deviation of product or process from specified requirements, or the absence of, or failure to implement and maintain, one or more required management system elements, or a situation which would, on the basis of available objective evidence, raise significant doubt as to the conformity of what the supplier is supplying.
Term Definition
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Normative DocumentsReferenced documents which are indispensable for the correct application of a scheme.
OrganisationA group of people or other legal entity (ies) that is responsible for ensuring that products meet and, if applicable, continue to meet the requirements on which the certification is based.
OutsourcingA firm, company or individual carrying out a process on products or service on the behalf of the site audited.
PerishableA food that requires a refrigeration temperature between 5° C (41° F) and 0° C (32° F) to retain its safety and wholesomeness.
Primary Production
Those steps in the food chain up to and including, for example, harvesting, slaughter, milking, fishing, production of agricultural plant/tree crops and agricultural animal livestock. The resulting food products are similar to their natural state, but may have been packed, washed, trimmed (not cut into pieces), or otherwise undergone any process not defined under the definition of ‘processed food’.
Process A set of interrelated or interacting activities which result in an outcome.
Processed food
Food product, which has undergone any of the following processes changing the nature of the food:
► Aseptic filling ► Hot Filling► Baking ► Irradiation► Bottling ► Microfiltration► Brewing ► Microwaving► Canning ► Milling► Coating/Breading/Battering ► Mixing/Blending► Cooking ► Packed in Modified Atmosphere► Curing ► Pack in Vacuum Packing► Cutting/Slicing/Dicing ► Pasteurisation► Dismembering ► Pickling► Distillation ► Purification► Drying ► Roasting► Extrusion ► Salting► Fermentation ► Slaughtering► Freeze Drying ► Smoking► Freezing ► Steaming Sterilisation► Frying ► Quick Freezing
Product A result of a process.
Product CategoriesA grouping of products which have a like origin or processing technology involved in the production of the product.
Product re-work (feed only) The process of re-utilisation of feed, ingredients, or raw materials.
Product re-work (packaging manufacture only)
The process of changing physical properties of, or to sort packaging materials to ensure the said item meets customer requirements.
Product RecallThe removal by a supplier of product from the supply chain that has been deemed to be unsafe and has been sold to the end consumer, or is with retailers or caterers and is available for sale.
Product WithdrawalThe removal by a supplier from the supply chain that has been deemed to be unsafe, which has not been placed on the market for purchase by the end consumer.
Raw material A component of a food, feed or packaging that has not undergone processing
Term Definition
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Term Definition
Re-benchmarkingThe process of benchmarking a scheme that was previously recognised by the GFSI and that is seeking renewed recognition.
Recycled materials (packaging manufacture only)
Materials that have been used to manufacture an item and are being re-structured or re-made so that the material can be processed into a new product.
RetailThe sale of food to the consumer, which is not consumed within defined premises.
Register of Benchmark Committee Members
A document containing the names of experts selected by GFSI, who may carry out benchmarking activities on their behalf.
ReviewThe systematic, documented process undertaken by GFSI to assess the compliance of a scheme against the requirements of the GFSI Guidance Document.
Risk Based ProgrammeA documented programme developed by a competent person(s) based on risk assessment principles.
Risk ProfileThe result of the process of risk evaluation which has been undertaken by a competent authority, who has considered all appropriate criteria
Safe food Food which not injurious to health or unfit for human consumption’
Sampling programmeA programme of site audits defined by the scheme owner, but will be determined by the certification body based upon specified criteria
SchemeA documented food safety scheme, which has specified requirements, specific rules and procedures.
Scheme OwnerAn organisation, which is responsible for the development, management and maintenance of a scheme.
Scope extensionThe process undertaken by GFSI to assess an application for an additional scope of recognition by a scheme owner that has current recognition.
Scope of RecognitionA specific sector of the food or feed industry, or the provision of related food safety services, defined by GFSI, for which a scheme is seeking recognition.
ServiceA result of at least one activity performed at the interface between a supplier and a customer.
Senior managementA person or persons who have the authority and accountability to develop, implement or amend organisational policies and procedures
Site A permanent location where an organisation carries out work or activity’
Standard
A normative document and other defined normative documents, established by consensus and approved by a body that provide, for common and repeated use, rules, guidelines or characteristics for activities or their results, aimed at the achievement of the optimum degree of order in a given context.
StorageThe holding of product or raw materials at a specific location under defined conditions.
SubcontractingA firm, company or individual carrying out a process on products on the behalf of the site audited.
Supplier An organisation supplying food, feed or a service.
Surveillance Follow‐up audit(s) to assess compliance with the specific requirements of a scheme’s standard and to verify the validity of an issued certificate.
Suspension The process by which a scheme is temporarily not recognised by GFSI.
Transport containersVessel in which the product or raw materials is being placed or held during storage and distribution.
Unfit for human consumptionFood which is unacceptable for human consumption, according to its intended use, for reasons of contamination, whether by extraneous matter or otherwise, or through putrefaction, deterioration or decay’
Unscheduled supplier auditAudits planned within a defined programme, but without the allocation of a specified programme date.
Sixth Edition / Version 6.4 / November 2015170GFSI Guidance Document - Part V
PART V
Validation An activity to obtain evidence that a requirement is controlled effectively.
VehicleAny device used for the conveyance of raw material, ingredients, food, feed or packaging that is capable of being moved upon roadways, railways, waterways or airways. Vehicles can be motorised or non- motorised
VerificationA confirmation, through the review of objective evidence that requirements have been fulfilled.
WholesaleThe sale of food to retailers, to industrial, commercial, institutional, or other professional business users, or to other wholesalers and related subordinated services.
Withdrawal The process by which a scheme has its recognition by GFSI removed.
Version 6.4GFSI Guidance Document Sixth Edition
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