Tea Board of India invites application for

Recognition/empanelment of certification bodies for CODEX

HACCP BASED FOOD SAFETY MANAGEMENT SYSTEM

STANDARDS CERTIFICATION (ISO 22000, RVA DUTCH HACCP,

BRC, FS 22000, SYNERGY 22000 AND OTHER ACCREDITED

CERTIFICATES).

Last date for sending the application ………………………………..……10.01.2013

[Along with fees (for both new empanelments

and annual evaluation)]

Power Point Presentation

Before the selection committee

At Tea Board, Kolkata ………………………………………………………..14.01.2013

(1.30 p.m onwards)

Secretary,

Tea Board

GUIDELINES AND PROCEDURES

OF

RECOGNITION AND EMPANELMENT OF

CERTIFICATION BODIES

FOR

CODEX HACCP BASED FOOD SAFETY MANAGEMENT

SYSTEM STANDARDS CERTIFICATION (ISO 22000, RVA

DUTCH HACCP, BRC, FS 22000, SYNERGY 22000 AND OTHER

ACCREDITED CERTIFICATES) UNDER

TEA BOARD OF INDIA

TEA BOARD

DIRECTORATE OF RESEARCH

14, B.T.M. SARANI

KOLKATA- 700 001

1.0 INTRODUCTION

The concept of certification of food items to ensure quality has undergone a phenomenal change in the recent years globally. To ensure lend safety, applications of Hazard Analysis and Critical Control Points (HACCP) at every step of food chain from primary production, harvest, grading, transportation, distribution to the retail outlets till finally the product reaches to the consumer is essential criteria adopted under tire WTD. Tea industry is no exception and required to adopt such safety criteria for the benefit of the consumer as per the recently enacted Food safety and Standards Regulations, 2011.

Tea Industry in India has started adopting Food Safety Management System (FSMS) with the help of the Tea Board for the last few years. The Board has also given adequate awareness at the grass root level management organizing various awareness programmes on FSMS. Additionally, the Board has also adopted a pilot scheme for extending financial assistance to the tea industry for adoption of Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates).

Since it is observed that a number of bodies are engaged in the area of FSMS consultancy and certification and also are mushrooming without having proper infrastructure and knowledge on the subject, it has become essential to undertake an exercise to identify and enlist bonafide certifying bodies well recognized globally. The credentials of such accrediting and certifying companies need to be evaluated critically so that Indian tea can ensure food safety to the consumers globally.

An attempt therefore has been made to enlist appropriate certifying bodies for tea

by the Tea Board for Codex HACCP based Food Safety Management System Standards

Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other

accredited Certificates). The intending certifying bodies need to submit applications based on the criteria

given in the manual of the scheme. It will help to identify appropriate certifying bodies.

2.0 SCOPE

The empanelled certifying bodies will undertake certification for Codex HACCP based Food Safety

Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS

22000, Synergy 22000 and other accredited Certificates) in tea as per manual and

guidelines. While doing so, the companies will enrich their knowledge and infrastructure suitably to implement

FSMS. The scope for certifying by empanelled firms for tea will be extended to the entire tea industry in

India for the produce domestically consumed and exported to various countries. Further,

It is mandatorily required to ensure all operations from the level of nursery to

factory within the scope of FSMS Certification for those having both nursery and

factory

It is mandatorily required to ensure strict control of all outsourced operations

(including those at the level of nursery) within the scope of FSMS certification, for

those having only factory

For those having only plantations, it is mandatorily required to ensure all operations

from the level of nursery to cultivation to be within the scope of FSMS

Certification

3.0 DEFINITIONS

Appeal : Shall be the process by which a certification agency can request reconsideration of

decision taken by Tea Board.

Applicant: Shall be the certification agency that has applied for recognition by Tea Board.

Audit: Shall include an independent assessment on-site to verify that the performance of

an operation is in accordance with the procedure or processing standards.

Auditor: Shall be the person appointed by Tea Board recognized agency to undertake the

audit of an operator.

Certification: Shall be the procedure by which a written assurance is given by Tea Board

recognized certification agency that a clearly identified production or processing system has

been methodically assessed and conforms to the specified requirements.

Code of Ethics: Shall mean required to be followed by all FSMS auditors, lead Auditors, internal quality auditors Land certification bodies.

Committee: Shall mean panel constituted by Tea Board for the purpose of evaluation and assessment of certification bodies.

Evaluation: Shall be the process of systematic examination of the performance of the certification agency by Tea Board to the extent it fulfills specific requirements of FSMS applications in all levels of production, processing. packaging, storing, transportation, shipment and export activities.

Operator: Shall mean an individual or a business enterprise practicing involved in tea production marketing and export.

Recognition: Recognition means approval of Tea Board, to certification bodies for FSMS applications at all levels of the plantation, marketing and export of tea.

4.0 RECOGNITION CRITERIA FOR CERTIFICATION BODIES

4.1 Criteria for recognition of certification bodies:

Recognition of certification bodies shall be governed by the followings:

Legal Status of the Agency (Pvt. Ltd./Prop./Pub. Ltd.) and organization diagram.

Organizational set up particularly for HACCP Certification.

Details of Specialized manpower with strength in the Agency.

Strength in Food Sector as Specialized Auditors and Lead Auditors.

Extent of updating knowledge of personnel of the Agency.

Area of Specialization of the Agency.

HACCP Certification credentials of the Agency. Specify recognition by different country specific

quality control authorities.

Operational Systems of the Agency for HACCP Certification.

Extent of EC/FAO/WHO/CODEX/ISO guidelines availability with the Agency.

Extent of applicability of PFA Act, Tea Act and other Food safety Acts/Rules of Govt. of India with

regard to applications of chemical, fertilizers, pesticides etc.

Strength in imparting training to the personnel of Consultants and Operators.

Fee/Charges of the Certification Agency in various steps from the stage of pre-certification audit to

final certification in Indian Rupees.

Undertaking for not making duel charges levied upon the certified bodies in foreign currency as well

as in Indian rupees for any cause.

Whether any part of the certification work/audit is done by sub- contract; if so details thereof.

4.2 Revision in recognition criteria

4.2.1 The recognition criteria may be reviewed by Tea Board from time to time as may be considered necessary.

4.2.2 Tea Board reserves the right to make changes in the recognition criteria for the development of the recognition programme, international al harmonization activities or other reason as may be deemed necessary.

4.2.3 All applicants and recognized certification bodies will be informed of any changes in the criteria through a trade notice. The changes will also be placed on the Tea Beard website (www.teaindia.org). The implementation of the revised criteria will come into force from the date of such notice.

5.0 PROCEDURE FOR RECOGNITION (New empanelment)

5.1 The scheme for recognition of certification bodies is introduced on a voluntary basis.

5.2 All applications shall be made in the Form I, together with agency’s tariff structure as per Annexure I & Annexure II to Form I, along with the application fee for Rs. 20,000/- to Tea Board, Kolkata.

5.3 All auditors, lead auditors, internal quality auditors and the chief executive of certification agency must sign and abide by the contents of the code of Ethics (Annexure III to Form I)

5.4 All applications will be scrutinized and evaluated by the selection committee of Tea Board. the company representative/technical personnel may be called for a PPT before the selection committee.

5.5 The selection committee shall inform the outcome of the evaluation and its recommendation to Chairman, Tea Board who will consider grant of Recognition Certificate (Annexure IV) to the certification agency for empanelment with Tea Board.

5.6 Before certificate is issued to the certification bodies certification agency has to give consent for agreeing to the terms and conditions of Tea Board.

5.7 Tea Board shall issue the Recognition Certificate to the Agency. Tea Board shall also publish the name of the recognized agency in official notification of Tea Board and host this information on the Tea Board website.

6.0 CONDITIONS OF RECOGNITION

6.1 OPERATIONAL REQUIREMENTS

Recognized certifying bodies shall operate based on the application of Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates) principles in addition to the following:

6.1.1 COMPETENCE

The certifying bodies shall have adequate resources, sound financial management and shall demonstrate professional competence based on adequate training and experience of its officers and personnel tea in particular and agriculture in general.

6.1.2 INDEPENDENCE

The certification bodies shall have structures and procedures to enable it to be free to operate without undue influence from vested interests or otherwise. The bodies shall no way be a part or linked to any consultancy firms.

6.1.3 ACCOUNTABILITY AND RESPONSIBILITY

The officers and personnel of certification agency shall be accountable by having clear lines of authority.

Tile agency shall take full responsibility for all activities operated by its own officers and personnel. Any subcontract within its system shall not be permitted.

6.1.4 OBJECTIVITY

The certification agency shall be impartial. Certification shall be based on an objective assessment of relevant factors. These factors shall be in conformity to objectives of assurance of the safety of tea and tea materials by tea business operators based on the principles that are applied in the development of the FSMS as referred to the Codex Alimentarius FAD/WHO (CCFH).

6.1.5 CREDIBILITY

The certification agency shall take all adequate measures to ensure that there is no misuse of its licenses, certificates and marks of conformity and logos, if any.

6.1.5.1 ACCESS TO INFORMATION

Production standards, organizational structures, financial sources, rules and procedures for granting of certification, training arrangements for personnel, procedural records, and similar information shall be published or made available, as deemed appropriate. A list of certified units shall also be published.

6.1.5.2 CONFIDENTIALITY

The certification agency shall have adequate arrangements to ensure confidentially of information regarding specific operators, (certified in the course of its certification activities) at all organization levels, including committees and contracted bodies.

6.1.5.3 PARTICIPATION

The certification agency shall provide adequate procedures for enabling input from affected parties, in addition to participating in HACCP updating forums.

6.1.5.4 NON-DISCRIMINATION

The policies and procedures under which the certification bodies operate and their administration shall be non-discriminatory and shall be administered without reference to race, national background, religious affiliation, gender, age of marital status.

6.2 PROCEDURAL REQUIREMENTS

6.2.1 BASED ON FSMS PRINCIPLES, THE PROCEDURES TO BE FOLLOWED BY THE RECOGNIZED BODIES FOR CERTIFICATION FOR HACCP.

6.2.1.1 RESPONSIBILITY OF MANAGEMENT IN RELATION TO PRODUCT SAFETY

POLICY OF THE COMPANY.

SCOPE OF THE HACCP SYSTEM TO BE ASSESSED.

TASKS RESPONSIBILITIES & AUDITORS.

HACCP TEAM COMPOSITION.

6.2.1.2 PRODUCT INFORMATION

PRODUCT CHARACTERISTICS.

DETAILS OF INTENDED USE OF THE END PRODUCT.

6.2.1.3 PROCESS INFORMATION

FLOW DIAGRAM

LAYOUT

CONTROL & VERIFICATION

PROCESS INFORMATION

6.2.1.4 HAZARDS AND CONTROL MEASURES

HAZARD IDENTIFICATION

RISK ANALYSIS

CONTROL MEASURES

6.2.1.5 DETERMINATION OF CCPS AND ITS SCIENTIFIC EVALUATION

6.2.1.6 ESTABLISHMENT OF CRITICAL LIMITS

6.2.1.7 MONITORING OF CCPS

6.2.1.8 CORRECTIVE ACTIONS

6.2.1.9 VALIDATION

6.2.1.10 VERIFICATION, COMPLIANCE AND CORRECTIVE ACTIONS

6.2.1.11 REVIEW PROCEDURES

6.2.1.12 DOCUMENTATION, DOCUMENT DATA CONTROL AND RECORDS

6.2.1.13 TRAINING

6.2.1.14 CERTIFICATION

6.2.1.15 SURVEILLANCE

6.2.2 The certification bodies shall have policies and procedures for dealing with complaints against its operation and against certified operators.

6.2.2.1 Complaints shall be dealt by the agency in a speedy and efficient manner as per the Quality Policy, Client Audit Record System and Discipline & Client Grievance Redressal System in the organization.

6.2.2.2 When a complaint is resolved, a documented resolution shall be made and forwarded to the complainant and the party concerned.

6.2.2.3 The certifying bodies shall keep a record of all complaints and remedial actions relating to consultancy and certification.

6.2.2.4 The recognized certification bodies’ application must submit quarterly reports/annual report to Tea Board for verification.

7.0 VALIDITY OF RECOGNITION

7.1 The recognition certificate would be valid for a period of three years unless cancelled or suspended with annual performance evaluation.

7.2 Annual evaluation of recognition

7.2.1 Each year in December, an evaluation of the empanelled certification bodies will be carried out and based on the recommendation of the selection committee, renewal/continuation for the next year will be done.

7.2.3 List of documents to be submitted for such case is on Annexure V.

7.2.4 RENEWAL OF RECOGNITION

7.2.4.1 After completion of three successful years of empanelment, the certification body, if wishes to continue with such empanelment may apply for renewal for another term.

7.2.4.1. Such request for renewal may be made through application only along with a fees of 10,000/-.

8.0 FEE

8.1 A fee of Rs. 20,000/· for new empanelment and Rs. 10,000/- for annual evaluation in the form of demand draft drawn in favour of Tea Board, Kolkata is to be sent along with application.

8.2 Any revision ill the fee structure will be communicated.

9.0 TERMINATION OF RECOGNITION

9.1 Tea Board may terminate the recognition status of a certification agency so at any time, if performance and conduct of the agency is not in accordance with the conditions of recognition laid down under Para 6.0 of this scheme.

9.2 The recognition status of certification bodies may be terminated at any time in case of violation of any of the conditions agreed upon by the certification bodies at the time before the issue of the Recognition Certificate.

9.3 In the event of cancellation/suspension of recognition, the certification agency, as the case may be, will be required to return the Recognition Certificate in original Tea Board within ten days of the receipt of communication to that effect.

9.4 Information about cancellation/suspension of recognition will be published in the official notification and also

hosted on Tea Board website.

10.0 APPEALS 10.1 Applicant or recognized certification agency may appeal against decisions on cancellation/suspension of recognition notification to Tea Board for review.

10.2 Appeals may be addressed to Chairman, Tea Board and should reach within 30 days from the date of such decisions on cancellation/suspension of recognition.

10.3 The Chairman, Tea Board, being the competent authority will take a decision in respect of the appeal within 60 days.

10.4 In case of cancellation of recognition, the appeal shall be accompanied by the original Recognition Certificate.

10.5 Tea Board may consider the application on merit and, in case, found necessary, order re-evaluation of the agency during which time the anomalies pointed out by the competent authority should be rectified.

10.6 If reconsidered, a fresh Recognition Certificate shall be issued on payment of fee of Rs. 10,000/-. The intervening period between the cancellation of the Recognition Certificate and issue of fresh Recognition Certificate shall be taken to imply that the agency is not recognized during this period and operation during the intervening period will be treated as illegal.

11.0 ISSUE OF DUPLICATE RECOGNITION CEIITIFICATE IN CASE OF LOSS OR MUTILATION

11.1 In case of loss or mutilation of any Recognition Certificate, a duplicate Recognition Certificate may be issued on payment of Rs. 5,000/·. The validity of the duplicate Recognition Certificate shall be the same as that of the original.

CHAIRMAN TEA BOARD

Place: Kolkata

Date:31.03.2012

Form 1 Application for recognition/empanelment regarding empanelment of Certification Bodies under Tea Board of India for Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates)

To, The Chairman, Tea Board, 14, B.T.M. Sarani, Kolkata - 700 001. Sir, I/We* apply for recognition/empanelment of our company under Tea Board of India for Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates). I/We* furnish the necessary particulars below: (1) Name of the Company (in block letters): ___________________________________________________________________

(2) Full address (to which correspondence should be sent) ___________________________________________________________________

_________________________________________________________________

(3) Legal status of the company---------------------------------------------------------------- (4) Amount of fees paid ......................................................................................... 2. I/We* have carefully read and understood the GUIDELINES AND PROCEDURES OFRECOGNITION AND EMPANELMENT OF CERTIFICATION BODIES and hereby agree to abide by the provisions of the said document.

Yours faithfully,

(Signature of the applicant(s) ) Place : ..................... Date : .................. (*Score out the word not applicable) Note : The application should be signed by an authorized signatory of the Company

Documents to be submitted for New Empanelment (along with Form- 1)

Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch

HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates) empanelment of Certification

Bodies under Tea Board of India

1 Name and address of the company

2 Year of Establishment

3. Application Fee

4. Facilities available for testing pesticides residues/microbial load

5. No. of certification done by the applicant in food sector

6. Operation system of FSMS certification

7. Scope of Certification that they offer for FSMS (Plantation/Processing/Both)

8. Guidelines followed by the applicant (EC/FAO/WHO/CODEX/ISO)

9. NABCB accreditated ISO 22000 certificate or any other GFSI/Internationally recognized FSMS standards offered for the Tea Sector

10. Experience in imparting training to the personnel of consultants & operators.

11. Fee charged by the certification Agency for various steps from pre-certification audit to final certification (In Indian Rupee)

12. Consent for not making dual charges upon the certified agencies in foreign currency and Indian rupees.

13. Checks and controls of Certification bodies for auditing tea manufacturing units that are purchasing tea leaves from outside.

14. Organizational set up for FSMS Certification

15. Number, names and qualification of Permanent and outsourced auditors

16. Concise manual for HACCP standards on Tea.

17. Whether agreeable to levy the fees only in India Currency.

18. Recognition by FSSAI

ANNEXURE - I TO FORM 1

DECLARATION

a) I/We, __________________________________________ declare that I/we have read and understood the certification procedures and

have complied with the same in respect of my/our agency.

b) I/we, __________________________________________ declare that I/we have read and understood application for Codex HACCP based

Food Safety Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other

accredited Certificates) for production, processing and export and have complied with the same in respect of my/our agency located at

________________________________________________________.

c) I/We confirm that I/we will observe the Code of Ethics, and comply with the terms & conditions of Tea Board.

UNDERTAKING

I/WE_______________________________________________________________ also agree to follow the conditions of recognition stated in

the

scheme and also agree to abide by any instructions that may be issued by Tea Board in this respect from time to time and get my above

agency inspected whenever called on to do so by the Authority of Tea Board. I also understand that on-compliance will entail cancellation of

Recognition Certificate issued to my/our agency.

VERIFICATION

I, ____________________________________________________ do hereby declare that to the best of my knowledge and belief, the information provided by me/ us are complete and correct and that I agree to abide by the conditions laid down in this behalf.

AUTHORISED SIGNATORY

NAME & DESIGNATION

WITH OFFICIAL SEAL.

DATE:

PLACE:

ANNEXURE- II TO FORM-1

TARIFF STRUCTURE OF CERTIFICATION AGENCY

Based on the principles of FSMS, the tasks as identified in the logic sequence for

application of FSMS, the certification bodies may propose their activity wise tariff of

certification charges in the following sequence in Indian Rupees. This information may

reflect the professional charges on man day basis.

Cost in Rs.

1. Registration:

2. Pre-certification audit/Surveillance:

3. Certification:

4. Cost of travel and hospitality (tentative):

Total:

In words:

AUTHORIZED SIGNATORY

NAME, DESIGNATION, SEAL

ANNEXURE- III TO FORM - 1

CODE OF ETHICS TO BE FOLLOWED AND SIGNED BY ALL THE Codex HACCP based Food Safety

Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy

22000 and other accredited Certificates)

AUDITORS/LEAD AUDITORS/INTERNAL QUALITY AUDITORS OF THE

CERTIFICATION AGENCY

All personnel of the certification bodies recognized by Tea Board have an obligation to improve

the standing of their profession by observing the Tea Board Code of Ethics in this regard. Compliance with

the code is a condition of grant/renewal of the Recognition Certificate. The format of the declaration

given below specifies the contents of the Code and is required to be signed by each auditor, lead auditor,

internal quality auditor and the chief executive of the applicant agency for implementation of prevention of

Food Adulteration Act, Tea Act and such other acts/Rules concerned to the purpose.

DECLARATION

I/We, confirm that I/We have complied with the Tea Board Code of Ethics as outlined below and that any

complaint regarding my/our performance has been formally dealt within the organization in a manner so as

to prevent recurrence. I/we further undertake to abide by these requirements:

1. To act professionally, accurately and in an unbiased manner.

2. To strive to increase the competence and prestige of the profession.

3. To undertake only these audits that I/we am/are competent to perform.

4. To assist those in my/our employ or under my/our supervision in developing their management, professional or

auditing skills.

5. To discuss with any client or employer any relationships that may be seen as a conflict of interest and that may influence

my/our judgment.

6. Not to discuss or disclose any information relating to an audit unless required by law or authorized in writing by the audits

and the auditing organization.

7. Not to accept any inducement, commission, gift or any other benefit (apart from fair payment) from audited

organizations, their employees or any interested party or knowingly allow colleagues to do so.

8. Not to intentionally communicate false or misleading information that may compromise the integrity of any audit.

9. Not to act in any way that would prejudice the reputation of Tea Board and interest, of Govt. of India or their recognition

process and to co-operate fully with an enquiry in the event of any alleged breach of this Code.

10. I/we (ill case of certification assignments) shall not undertake HACCP consultancy or training of the operators.

11. Not to make dual charges levied upon the certified Bodies in foreign currency as well as Indian Rupees and to make

charges approved by Tea Board in Indian Rupees only.

Signature by each auditor, lead auditor, internal

Quality auditor & chief executive of the agency

Place:

Date:

Names:

Designation:

Seal:

Annexure IV

Tea Board of India

Ministry of Commerce and Industry

Govt. of India 14, B. T. M Sarani, Kolkata -700 001

Certificate of Recognition

This is to certify that the certification body described below has been recognized and empanelled by Tea Board and considered to be competent to meet the required levels for Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates)

Name of the agency:

Recognition no.:

Valid up to:

Date: Chairman

Place: (For and on behalf of Tea Board of India)

Annexure V

Documents to be submitted for annual evaluation of Empanelment

Codex HACCP based Food Safety Management System Standards Certification (ISO 22000, RVA Dutch

HACCP, BRC, FS 22000, Synergy 22000 and other accredited Certificates) empanelment of Certification

Bodies under Tea Board of India

1 Name and address of the applicant

2 Year of Establishment

3. Renewal fee

4. No. of certification done by the applicant

(Plantation/Processing/Both) (last one year)

5. No. of certification refused by the applicant

(Plantation/Processing/Both) (last one year)

6. Number, names and qualification of Permanent and outsourced

auditors they operate