BRC Global Standard for Retail

GLOBAL ST STAN AND DARD

RETAIL

ISSUE 1 British Retail Consortium

GLOBAL STANDARD

RETAIL

BRITISH RETAIL CONSORTIUM

SEPTEMBER 2016

ISSUE 1

LIABILITY BRC Trading Limited publishes information and expresses opinions in good faith, but accepts no liability for any error or omission in any such information or opinion, including any information or opinion contained in this publication. Whilst BRC Trading Limited has endeavored to ensure that the information in this publication is accurate, it shall not be liable liab le for any damages (including without limitation damages for pure economic loss or loss of business or loss of profits or depletion of goodwill or otherwise in each case, whether direct, indirect, or consequential) or any claims for consequential compensation whatsoever (howsoever caused) arising in contract, tor t (including negligence or breach of statutor y duty), misrepresentation, restitution, or otherwise, in connection with this publication or any information contained in it, or from any action or decision taken as a result of reading this publication publ ication or any such information. All warranties, conditions, and other terms implied by statute or common law are, to the fullest extent permied by law, excluded. Nothing excludes or limits the liability of BRC Trading Limited for death or personal injury caused by its negligence, for fraud or fraudulent misrepresentation, or for any a ny maer which it would be illegal for it to exclude or aempt to exclude liability liabilit y for. The Global Standard for Retail Issue 1 and the terms of the disclaimer set out above shall be construed in accordance with English law and shall be subject to the nonexclusive jurisdiction of the English Courts.

COPYRIGHT © BRC Trading Limited 2016 All rights reserved. No part of this publication may be transmied or reproduced in any form (including photocopying or storage in any medium by electronic means) without the wrien wri en permission of the copyright owner. Application for per mission should be addressed to the Operations Oper ations Director of Global Standards at BRC Trading Limited (contact (contact details below) bel ow).. Full acknowledgement of the author and source must be given. The contents of this publication cannot be reproduced for the purposes of training or any other commercial activity. No part of this publication may be translated without the wrien permission of the copyright owner. Warning: Any unauthorized act in relation to a copyright work may result in both a civil claim for damages and criminal Warning: Any prosecution. For more information about BRC, contact: BRC Trading Limited 2 London Bridge SE1 9RA Tel: +44 (0) 20 7854 8900 Fax: +44 (0 (0)) 20 7854 8901 Email: [email protected] Website: www.brcglobalstandards.com

2

WWW.BRCGLOBALSTANDARDS.COM

CONTENTS

PART I INTRODUCTION The scope of the Standard Food and product safety legislation Principles of the Standard The certification process Benefits of the Standard

6 7 7 7 7

PART II REQUIREMENTS How the requirements are set out The format of the Standard Nonapplicable clauses Voluntary clauses 1 Senior management commitment 2 The food safety plan 3 Food safety and quality management system 4 Facility standards 5 Product controls 6 Process controls 7 Personnel

11 11 11 11 12 14 17 22 29 30 33

PART III AUDIT PROTOCOL Introduction 1 Self-assessment of compliance with the Standard 2 Selection of a certification body 3 Company/certification body contractual arrangements 4 Scope of audit and certification 5 Audit planning 6 The audit 7 Nonconformities and corrective action 8 Audit reporting 9 Certification 10 BRC logos 11 The BRC Global Standards Directory 12 Surveillance of certificated companies 13 Ongoing audit frequency and certification 14 Communication with certification bodies 15 Appeals

37 39 39 39 39 41 42 43 44 45 45 45 46 46 47 48


3

PART IV MANAGEMENT AND GOVERNANCE Requirements for certification bodies Technical governance of the Standard Achieving consistency—compliance

50 50 53

APPENDICES Appendix 1 Other BRC Global Standards Appendix 2 Qualifications, training, and experience requirements for auditors Appendix 3 Certificate template Appendix 4 Glossary Appendix 5 Acknowledgments

4


56 57 59 60 65

PART I INTRODUCTION THE SCOPE OF THE STANDARD Food retailing and consumer product retailing

6

The scope of the requirements

6

The scope of applicable products

6

FOOD AND PRODUCT SAFETY LEGISLATION PRINCIPLES OF THE STANDARD Senior management commitment

7

A hazard-and-risk-analysis-based system

7

Supplier and subcontracted service management

7

THE CERTIFICATION PROCESS BENEFITS OF THE STANDARD Acknowledgments: a “thank you” from the BRC 8


5

PART I INTRODUCTION

Welcome to the first issue of the Global Standard for Retail (“the Standard”). The Standard has been developed to provide a framework to manage product safety, quality, and legality for businesses in the food retail industry which buy and sell products. These companies play an essential role in the delivery and trade of products, providing a critical link in their chain of custody. They can influence product safety and quality standards at their suppliers and are responsible for maintaining an effective chain of traceability, as well as managing the safety and integrity of products in their care. Where activities include importation there are in many cases specific legal obligations with regard to the products which they import and requirements to maintain records which may later be requested by authorities. There have been many requests for a global standard to be produced to cover this sector, from both retailers and manufacturers providing to them. Certification against the BRC Global Standards is recognized by many retailers, food service companies, and manufacturers around the world when assessing the capabilities of their suppliers. This Global Standard has been developed to specify the safety, quality, and operational criteria required to fulfill obligations with regard to legal compliance and protection of the consumer. The format and content of the Standard is designed to allow an assessment of a company’s product safety management systems and procedures by a competent third party—the certification body—against the requirements of the Standard.

THE SCOPE OF THE STANDARD The Global Standard for Retail sets out the requirements for companies in the food retail supply chain that provide services for the sourcing, purchase, importation, distribution, preparation, and retailing of products. The companies may also own their own processing, storage, or distribution facilities but these facilities are certificated to relevant production or storage and distribution standards. The scope of certification shall cover all applicable operations at the head office and retail stores certificated. FOOD RETAILING AND CONSUMER PRODUCT RETAILING

The Global Standard for Retail is primarily intended and designed to assess and manage activities pertaining to food products. The intention of this first issue is neither to exclude, nor mandatorily to include consumer p roducts. If an organization wishes to expand its utilization of the Standard to cover consumer products, the same requirements may be used (replacing “food” with “product” in the expectations—for example, section 2 in Part II Requirements becomes “the product safety plan”). This utilization of the Standard is entirely voluntary by the organization pursuing certification. THE SCOPE OF THE REQUIREMENTS

The Standard has a scope primarily focused on the safety, quality, integrity, and legality of the food-related products it offers for sale. Additional requirements have been added to assess good retail practices, some of which are voluntary. THE SCOPE OF APPLICABLE PRODUCTS

This Standard covers certification for the following categories of products: ○

○ ○ ○

food products for the consumer market, including raw materials processed onsite, finished products, and other formats offered in a retail store food-packaging materials—including disposable utensils pet foods for domestic animals consumer products.

The Standard shall not apply to livestock. 6


P A R T 1

FOOD AND PRODUCT SAFETY LEGI SLATION The Standard is intended to assist companies and their customers in meeting the legislative requirements for food and product safety. Legislation covering food and product safety differs in detail worldwide but generally requires businesses to: ○

○

○

I N T R O D U C T I O N

ensure they satisfy themselves that their suppliers are competent to deliver and produce the specified product, comply with legal requirements, and operate appropriate systems of management control verify the competence of their suppliers or receive the result of any other audit of the supplier’s system at a frequency based on risk monitor and act upon customer complaints.

PRINCIPLES OF THE STANDARD The company must have a full understanding of the products being handled or covered by the organization and have systems in place to identify and control hazards significant to the safety, legality, or quality of the products. SENIOR MANAGEMENT COMMITMENT

The effective and consistent achievement of product safet y requires this to be recognized as a responsibility shared by all personnel within the business. Product safety management extends beyond technical departments and must involve commitment from the full management team, including procurement, logistics, and store personnel. The starting point for an effective product safety plan is the commitment of senior management to the development of an all-encompassing policy as a means to guide the activities that collectively assure product safety. The Global Standard for Retail places a high priority on clear evidence of senior management commitment. A HAZARDANDRISKANALYSISBASED SYSTEM

The Standard requires the development of a product safety plan covering the services/operations which the company manages and based on the principles of hazard and risk analysis. The development of the plan requires the input of all relevant departments and must be supported by senior management. SUPPLIER AND SUBCONTRACTED SERVICE MANAGEMENT

The Standard is intended to provide assurance to the organization that product and process safety risks are managed as products pass through the supply chain. As such, the organization is expected to assess suppliers of goods and services within their analysis.

THE CERTIFICATION PROCESS The Standard is a product and service certification scheme. In this scheme, businesses are certificated upon completion of a satisfactory audit by an auditor deployed by an independent third party—the certification body. The certification body in turn will have been assessed and accredited by a national accreditation body to ISO/IEC 17065. In order for a business to receive a valid certificate on completion of a satisfactory audit, the organization must select a certification body approved by the BRC. The BRC lays down detailed requirements that a certification body must satisfy in order to gain approval. Approved certification bodies are listed in the BRC Directory (at www.brcdirectory.com).

BENE FITS OF THE STANDARD There are a number of benefits to companies arising from adoption of the BRC Global Standards. The BRC Global Standards: ○

○

○ ○ ○

are internationally recognized and provide a report and certification that can be used by organizations in place of their own audits, reducing time and cost provide a single standard and protocol that govern an accredited audit by third-party certification bodies, allowing a credible independent assessment of a company’s product safety and quality management systems allow certificated companies to use the BRC public directory, providing analysis of performance data across the organization are comprehensive in scope, covering areas of product safety, legal compliance, and quality are designed to support compliance with regulatory requirements being proposed in the US Food Safety Modernization Act and EU legislative requirements


7

○

require ongoing surveillance and confirmation of the follow-up of corrective actions on nonconformity to the Standard, thus ensuring that a self-improving quality and product safety system is established.

ACKNOWLEDGMENTS: A “THANK YOU” FROM THE BRC

The BRC wishes to acknowledge all those food industry experts who have contributed to the preparation of Issue 1 of the Global Standard for Retail. A list of those who have contributed to the development of the Standard can be found in Appendix 5.

8


PART II REQUIREMENTS HOW THE REQUIREMENTS ARE SET OUT Head-office versus store-level requirements and assessments

11

The format of the Standard

11

Nonapplicable clauses

11

Voluntary clauses

11

1

SENIOR MANAGEMENT COMMITMENT

1.1

Senior management commitment

12

1.2

Organizational structure

13

2

THE FOOD SAFETY PLAN

2.1

Food safety program management

14

2.2

Prerequisite programs

14

2.3

Describe the products and processes

14

2.4

Identify intended use

14

2.5

Construct a process flow diagram

15

2.6

Hazard analysis

15

2.7

Controls

15

2.8

Control limits

15

2.9

Monitoring of control points

15

2.10 Establish a corrective action plan

16

2.11

16

Establish a verification procedure

2.12 Documentation

16

2.13 Review of safety plan

16

3

FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM

3.1

Food safety and quality manual

17

3.2

Documentation control

17

3.3

Record completion and maintenance

17

3.4

Internal audits

18

3.5

Supplier approval and performance monitoring

18


9

3.6

Specifications

19

4.10 Housekeeping and hygiene

25

3.7

Corrective actions

19

4.11

26

3.8

Control of nonconforming product

20

4.12 Management of diversion practices

26

3.9

Traceability

20

4.13 Pest control

26

20

4.14 Storage facilities

28

4.15 Shipping, delivery, and transportation

28

3.10 Complaint handling 3.11

4

Incident management

21

FACILITY STANDARDS

Waste and waste disposal

5

PRODUCT CONTROLS

5.1

Product design and development for store-branded and store-produced products

29

5.2

Product labeling

29

5.3

Allergen management

29

4.1

External standards

22

4.2

Site security

22

4.3

Layout and segregation

22

4.4

Internal standards

23

4.5

Utilities

23

4.6

Equipment

23

4.7

Maintenance

23

6

PROCESS CONTROLS

4.8

Staff facilities

24

6.1

Control of in-store processing

30

4.9

Chemical and physical contamination control

6.2

Label and packaging control

30

6.3

Weight and quantity control for in-store packing and weighing

30

6.4

Calibration

30

6.5

Stock rotation

31

6.6

Store sampling

31

6.7

Age-restricted sales

31

6.8

Pricing accuracy

32

6.9

Controls over food waste

32

24

6.10 Inspection management

10


32

7

PERSONNEL

7.1

Training

33

7.2

Personal hygiene

33

7.3

Medical awareness

33

7.4

Uniforms and protective clothing

33

7.5

Occupational health and safety

34

7.6

Visitor policy

34

P A R T I I

PART II REQUIREMENTS

R E Q U I R E M E N T S

HOW THE REQUIREMENTS ARE SET OUT HEADOFFICE VERSUS STORELEVEL REQUIREMENTS AND ASSESSMENTS

Requirements are generally split into three main assessment categories and are color-coded as noted: Requirements specific to head-office-type activities, with no direct assessment at store level Requirements specific to store-level activities, with no direct assessment at head-office level Requirements that are verified at store level, but require head office involvement or guidance—these requirements are covered both in head-office and store-level assessments THE FORMAT OF THE S TANDARD

Each major clause of the Standard begins with a statement of intent. This sets out the expected outcome of compliance with the particular clause. This forms part of the audit and all companies must comply with the statement of intent. Below this statement of intent are specific requirements which, if applied appropriately, will help to achieve the stated objective of the clause. The requirements shall form part of the audit and must be complied with, where applicable, in order for a certificate to be issued. NONAPPLICABLE CLAUSES

The requirements section of the Standard is based on good industry practice so that certificated companies: ○ ○ ○

are able to demonstrate their commitment have a structured approach to managing product safety have a controlling influence over the safety, legality, and quality of the products covered by their services.

It is recognized, however, that the activities of and services provided by retailers may vary considerably and that some of the items included within this Standard may not be offered by all companies applying for certification. Such items will be considered to be nonapplicable, although certification can still be provided on the basis of compliance with the remainder of the applicable requirements. VOLUNTARY CL AUSES

There are a number of requirements that relate specifically to retail practice, and during the development of the Standard were le as “voluntary” options. These requirements may be omied from the audit of the retail store (defined in the head office contract with the certification body) or during the audit of the head office. They may not be omied at the time that store locations are audited if they are required by the head office. Those requirements identified as voluntary options are color-coded as illustrated. Requirements which are voluntary and may be omied (unless required by head office)


11

1 SENIOR MANAGEMENT COMMITMENT 1.1

SENIOR MANAGEME NT COMMITMENT

The company’s head office senior management shall demonstrate that they are fully commied to the implementation of the requirements of the Global Standard for Retail and to the operation of processes which facilitate continual improvement of their product safety and quality management services.

CLAUSE

1.1.1

REQUIREMENTS

The company shall have a documented policy which states the company’s intention to meet its obligation to supply safe and legal products of the specified quality, and its responsibility to its customers. This shall be: ○ ○

1.1. 2

The company’s senior management shall ensure that clear objectives are defined to maintain and improve the retail offering, both of products and service. These objectives shall be: ○ ○ ○

1.1. 3

signed by the person with overall responsibility for the company communicated to all staff.

documented and include targets or clear measures of success clearly communicated to the relevant staff monitored, and the results reported at least six-monthly to company senior management.

Management review meetings aended by the company’s senior management shall be undertaken at appropriate, planned intervals, at least annually, to review performance against the Standard and the objectives set out in clause 1.1.2. The review process shall include the evaluation of: ○ ○ ○ ○ ○ ○

previous management-review action plans and timeframes results of internal, second-party, regulatory, and/or third-party audits relevant customer complaints and their trends significant incidents, corrective actions, and out-of-specification results review of supplier performance resource requirements.

Records of the meeting shall be documented and used to revise the objectives, encouraging continual improvement. The decisions and actions agreed within the review process shall be effectively communicated to appropriate staff, and actions implemented within agreed timescales.

1.1. 4

The company shall have a demonstrable system which ensures that significant product safety, legality, and quality issues are brought to the aention of senior management.

1.1. 5

The company’s senior management shall provide the resources required to ensure that the product safety, legality, and specified quality of the products supplied comply with the requirements of this Standard and its mandate to customers.

1.1.6

The company’s senior management shall have a system in place to ensure that the company is kept informed of any emerging product safety, quality, or legality issues, including industry codes of practice and all relevant legislation.

1.1.7

The company shall have a genuine, original, hard-copy or electronic version of the current Standard available.

1.1. 8

Where the company is certificated to the Standard, senior management shall ensure that recertification audits occur on or before the audit-due date indicated on the certificate.

1.1.9

The opening and closing meetings of the audit for this Standard shall be aended by a senior manager of the company.

12


CLAUSE

1.1.10

1.1.11

1.2

REQUIREMENTS

The company’s senior management shall ensure that the nonconformities against the Standard identified at the previous audit have been effectively addressed to prevent recurrence. This shall include head office and related store audits (for stores where certification has been granted). If any store in the annual sample fails certification, a documented root-cause analysis for the failure must be completed, and will be reviewed during the subsequent head office audit.

ORGANIZATIONAL STRUCTURE

The company shall have a clear organizational structure and lines of communication to enable effective management of services ensuring product safety, legality, and quality.

CLAUSE

REQUIREMENTS

1. 2.1

The company shall have an organization chart demonstrating the management structure of the company. The responsibilities for the management of activi ties which ensure product safety, legality, and quality shall be clearly allocated and understood by the managers responsible. Personnel providing backup to critical functions shall be documented.

1. 2. 2

The company shall have an organization chart demonstrating the reporting and responsibility channels between head office and store locations.

1. 2.3

The company’s senior management shall ensure that all employees are aware of their responsibilities. Where documented work instructions exist for activities undertaken, the relevant employees shall have access to these and be able to demonstrate that work is carried out in accordance with the instructions.


13

P A R T I I


2 THE FOOD SAFETY PLAN The company shall have a fully implemented and effective food safety plan based on risk assessment, covering the processes for which it is responsible.

2.1

FOOD SAFETY PROGRAM MANAGEME NT

CLAUSE

REQUIREMENTS

2.1.1

The food safety team shall have demonstrable knowledge of hazard analysis for the products and processes being managed. External expertise may be sought, but management of the system must be the responsibility of the organization.

2.1.2

The scope of the analysis shall cover sourcing and store operation, including implementation and limitations (of local offerings) at store level.

2.2

PREREQUISITE PROGRAMS

CLAUSE

REQUIREMENTS

2.2.1

The company and stores shall establish and maintain environmental and operational programs necessary to create an environment suitable for the retail of safe and legal food products (prerequisite programs). As a guide these may include the following, alt hough this is not an exhaustive list: ○ ○ ○ ○ ○ ○ ○ ○ ○

cleaning and sanitizing pest control maintenance programs for equipment and buildings personal hygiene requirements staff training purchasing transportation arrangements processes to prevent cross-contamination allergen controls.

The control measures and monitoring procedures for the prerequisite programs must be clearly documented and shall be included within the development and reviews of the food safety plan.

2.3

DESCRIBE THE PRODUCTS AND PROCESSES

CLAUSE

REQUIREMENTS

2.3.1

The company shall define the products and processes covered by the program. This shall include: ○ ○ ○

2.4

a description of the nature of the products (e.g., frozen, refrigerated, open produce) a description of the offering (e.g., bulk self-serve, sealed package, employee service) a description of the in-store process (e.g., cook, chill, thaw, grind, wash, assemble, cut, mix).

IDENTIFY INTENDED USE

CLAUSE

REQUIREMENTS

2.4.1

The intended use and any known alternative uses shall be described. If the customer target is specifically a high-risk group, this shall be noted.

14


2.5

CLAUSE

REQUIREMENTS

2.5.1

Flow diagrams or process descriptions for in-store processing shall be part of the analysis, identifying key process steps or requirements.

2.6

P A R T I I

CONSTRUCT A PROCESS FLOW DIAGRAM


HAZARD ANALYSIS

CLAUSE

REQUIREMENTS

2.6.1

Potential hazards that are reasonably likely to occur shall be identified. These shall include hazards in sourcing, possibly including: ○ ○ ○ ○

processing verification hazard control verification food fraud food defense.

Additionally, it shall include hazards at store level, possibly including: ○ ○ ○ ○

chemical, physical, biological risks food fraud food defense regulated risks.

2.6.2

A risk analysis shall be used to identify those risks which must be controlled. The analysis shall be up to date.

2.6.3

A risk management or mitigation strategy shall be defined for those risks which must be controlled.

2.7

CONTROLS

CLAUSE

REQUIREMENTS

2.7.1

Controls, including critical control points, shall be identified. A formal approach to identifying critical control points shall be utilized (e.g., a decision tree).

2.8

CONTROL LIMITS

CLAUSE

REQUIREMENTS

2.8.1

For each control step, appropriate limits shall be defined which must be: ○ ○

2.8.2

2.9

measurable wherever possible supported by clear guidance where direct measures are not possible.

Where empirical data, or regulatory or accepted industry practices are not in place, validation of limits shall be incorporated in the justification.

MONITORING OF CONTROL POINTS

CLAUSE

REQUIREMENTS

2.9.1

Monitoring for each control point shall be established in order to verify that limits have been maintained, or loss of control has been identified. Critical control monitoring shall be recorded.


15

2.10 ESTABLISH A CORRECTIVE ACTION PLAN CLAUSE

REQUIREMENTS

2.10.1

Corrective actions in the event of loss of control shall be established. These may include deferring decisions to a competent authority (e.g., head office expertise).

2.11 ESTABLISH A VERIFICATION PROCEDURE CLAUSE

REQUIREMENTS

2.11.1

Verification steps (including exception monitoring) shall be in place to confir m that the food safety plan is in force and functioning. This may be part of the internal audit program.

2.12 DOCUMENTATION CLAUSE

REQUIREMENTS

2.12.1

Sufficient documentation shall be in place to verify operation of the plan, and/or of specific actions, where regulated.

2.13 REVIEW OF SAFETY PLAN CLAUSE

REQUIREMENTS

2.13.1

The food safety plan shall be reviewed in the event of a significant food safet y event indicating failure, an uncontrolled situation, a significant new risk, or at least annually.

16


P A R T I I

3 FOOD SAFETY AND QUALITY MANAGEMENT SYSTEM 3.1

FOOD SAFETY AND QUALITY MANUAL

The company’s processes and procedures to meet the requirements of this Standard shall be documented to allow consistent application, facilitate training, and support due diligence and supply of a safe product.

CLAUSE

REQUIREMENTS

3.1.1

The company’s documented procedures, working methods, and pr actices shall be organized to provide logical access.

3.1. 2

The food safety and quality manual shall be fully implemented and the manual or relevant components shall be readily available to key staff and locations.

3.1. 3

All procedures and work instructions shall be clearly legible, unambiguous, in relevant languages or covering relevant methods, and sufficiently detailed to enable their correct application by relevant staff.

3.2

DOCUMENTATION CONTROL

The company shall operate an effective document control system to ensure that only the correct versions of documents are available and in use.

CLAUSE

3. 2.1

REQUIREMENTS

The company shall have a procedure to manage documents which form part of the quality system. This shall include: ○ ○ ○ ○

3.3

identification to enable version control controlled document authorization a record of the reason for any changes or amendments to documents a system for the replacement of existing documents when these are updated.

RECORD COMPLETION AND MAINTENANCE

The company shall maintain records to demonstrate the effective control of product safety, legality, and quality.

CLAUSE

REQUIREMENTS

3.3.1

Records shall be legible, retained in good condition, and retrievable. Any alterations to records shall be authorized and justification for alteration shall be recorded.

3.3.2

Electronic record controls shall take into account: ○ ○ ○ ○

duplicate safe storage security of the information regulatory requirements data integrity.

3.3.3

Records shall be retained for a defined period with consideration given to any legal or regulatory requirements. Shelf life of products shall be taken into account when determining record retention programs.

3.3.4

Where records are held by third parties the company shall be able to obtain copies of the records, typically within one working day.

3.3.5

Customer information security shall be evaluated by a competent source, and the results provided to senior management.


17


3.4

INTERNAL AUDITS

The company shall be able to demonstrate it verifies the effective application of the food safety plan and the implementation of the requirements of the Global Standard for Food Safety.

CLAUSE

REQUIREMENTS

3.4.1

There shall be a planned program of internal audits with a scope covering the implementation of the product safety and quality management system and procedures implemented to achieve this Standard at the core office location.

3.4. 2

Internal audits shall be undertaken by appropriately trained, independent, and competent auditors.

3.4.3

Results of internal audits shall be documented. Corrective actions and their timescales shall be included in the documentation.

3.4.4

A program of store inspection shall be included in the internal audit program, which looks at those expectations that are critical to maintaining product safety, quality, and regulatory compliance. The minimum frequency is annually, for 100% of the stores.

3.5

SUPPLIER APPROVAL AND PE RFORMANCE MONITORING

The company shall have an effective system for approving and monitoring suppliers to ensure that potential risks to the safety, authenticity, legality, and quality of the products are understood and managed. This shall include both corporate and store level supply decisions. 3.5.1

MANAGEMENT OF PRODUCT AND MATERIAL SUPPLIERS

CLAUSE

3.5.1.1

REQUIREMENTS

The company shall have a risk-based supplier approval process based on one or more of the following options: ○

○

○ ○ ○ ○

certification to the relevant BRC Global Standard or other scheme benchmarked by the Global Food Safety Initiative (GFSI) supplier audit, performed by qualified auditors, covering: product safety, traceability, hazard analysis, and good manufacturing practices supplier contract covering regulation, recall, and agreement to specification supplier questionnaire historical relationships and performance and brand reputation regulatory compliance.

3.5.1. 2

Branded, finished products shall be sourced from suppliers meeting legal compliance requirements.

3.5.1. 3

Store-brand (and unbranded) food products shall be sourced from suppliers who have been certified to a GFSI scheme, audited or alternatively approved as appropriate to risk.

3.5.1. 4

Nonfood, store-brand products shall base supplier approval programs on product risk.

3.5.1. 5

Ingredient suppliers shall be certified to a GFSI scheme, or have an alternate, effective approval program.

3.5.1.6

Packaging component suppliers shall be certified to a GFSI scheme, or demonstrate that packaging materials are approved for intended use.

3.5.1.7

Where agents or brokers are used to source supply, the agent or broker shall be certified to a GFSI scheme, or have risk-based supplier approval programs in place.

18


CLAUSE

3.5.1. 8 3.5.1.9

3.5.2

Where exceptions to the supplier approval program are necessary, risk-based alternative strategies (i.e., inspection, testing, documented guarantees) shall be in place.


Stores shall have a documented policy outlining the scope and limitations of local and independent sourcing, including the methodology to be used to approve such suppliers.

MANAGEMENT OF SERVICE SUPPLIERS

CLAUSE

3.5. 2.1

3.5.3

REQUIREMENTS

REQUIREMENTS

Service suppliers which have the potential to impact product integrity or safety shall be approved, managed, or controlled to mitigate potential risks.

MANAGEMENT OF INSTORE VENDORS AND CONTRACTED ARRANGEMENT S

CLAUSE

REQUIREMENTS

3.5.3.1

All in-store vending operations shall be considered when developing and reviewing risk analyses and management for the organization or site.

3.5.3.2

Clear responsibilities and reporting expectations and channels, as they pertain to product safety and customer safety and satisfaction, shall be documented.

3.5.3.3

In-store vending operations shall be covered by an internal audit program, either part of the organization being certified, or via a vendor-managed program. Effectiveness of vendor-managed programs shall be assessed by the organization.

3.6

SPECI FICATIONS

Specifications or product descriptions shall exist for products purchased and produced in-store.

CLAUSE

3.6.1

REQUIREMENTS

Specifications and product descriptions shall: ○ ○ ○

3.7

be available include storage instructions, handling, and pack size ensure regulatory requirements are met.

CORRECTIVE ACTIONS

The company shall be able to demonstrate that they use the information from identified failures in the product safety and quality management system to make necessary corrections and prevent recurrence.

CLAUSE

3.7.1

REQUIREMENTS

The organization shall have a documented procedure for handling and correcting failures identified in the food safety and quality system.


P A R T I I

19

CLAUSE

REQUIREMENTS

Where nonconformity places the safety, legality, or quality of products at risk this shall be investigated and recorded, including:

3.7.2

○ ○ ○ ○ ○ ○

3.8

clear documentation of the nonconformity assessment of consequences by a suitably competent and authorized person the action taken to address the immediate issue an appropriate timescale for correction verification that the correction has been implemented identification of the root cause of the nonconformity and implementation of any necessary actions to prevent recurrence.

CONTROL OF NONCONFORMI NG PRODUCT

The organization shall ensure that out-of-specification materials are effectively managed.

CLAUSE

REQUIREMENTS

There shall be a procedure for the control of nonconforming product. This shall cover supplier-mandated, organization-directed, and store-specific issues. The procedure shall include:

3.8.1

○ ○ ○

3.9

reporting to and from stores management of inventory at various points within the organization disposition instructions.

TRACEABILITY

Traceability systems shall be in place that allow the identification of materials potentially involved in recall or withdrawal.

CLAUSE

REQUIREMENTS

3.9.1

Products, including in-store production, shall have appropriate coding to allow traceability.

3.9.2

Product recall actions shall take into account any limits of traceability.

3.10 COMPLAI NT HANDLI NG Complaints shall be managed effectively and data used to measure performance.

CLAUSE

REQUIREMENTS

3.10.1

All complaints relating to product failure shall be recorded. Relevant data shall be compiled from stores and corporate sources. A system shall be in place to identify, elevate, and react to critical issues. This shall include issues identified by staff and customers.

3.10. 2

Complaint data for the organization shall be analyzed for trends. These trends shall be evaluated and assessed for appropriate action.

3.10.3

A system shall be in place to transfer relevant complaint data for branded products to the brand owner.

20


P A R T I I

3.11 INCIDENT MANAGEME NT The company shall have procedures in place to manage adverse situations so as to protect product s and minimize negative customer impact. The procedures shall include assessment and contingency plans for products at risk.

CLAUSE

REQUIREMENTS

3.11.1

Where the retailer engages in emergency community support, specific guidelines shall be in place to protect product and consumers.

3.11. 2

Documented recall and withdrawal procedures shall be in place, and include: ○ ○ ○ ○ ○

3.11. 3


identification of key personnel clearly defined responsibilities for personnel record-keeping requirements up-to-date contacts of the organization, both internal and external a plan to handle recovered product logistics.

In the event of a product recall aributed to retailer activity, the retailer must report the situation to their certifying body within three working days.


21

4 FACILITY STANDARDS 4.1

EXTE RNAL STANDARDS

Retail store locations shall be maintained to reduce external risks to product safety.

CLAUSE

REQUIREMENTS

4.1.1

Local conditions, activities, and environment shall be considered and, where necessary, appropriate actions put in place to minimize negative product impact.

4.1. 2

Company standards shall be defined for external areas, and shall be adhered to. Long-term storage and product-receiving areas shall be managed to prevent negative product impact.

4.1. 3

The building shall be maintained to minimize pest activity and protect internal conditions.

4. 2

SITE SECURITY

Security measures shall be in place to ensure that products and premises are protected from the and malicious contamination while under the control of the site.

CLAUSE

REQUIREMENTS

4. 2.1

The company shall undertake a documented assessment of the security arrangements and potential risks to the product and premises to protect from deliberate aempt to inflict contamination and damage. Areas shall be assessed according to risk; sensitive or restricted areas shall be defined, clearly marked, monitored, and controlled. Staff shall be aware of security arrangements and their management, including reporting of suspicious activity and situations. Security assessments shall be reviewed at least annually.

4. 2. 2

Measures shall be in place to ensure only authorized persons have access to non-public areas, and access by employees, contractors, and visitors shall be controlled. A visitor management system shall be in place.

4. 2. 3

The sites shall abide by jurisdictional requirements for security and defense.

4. 3

LAYOUT AND SEGREGATION

The layout, flow of process, and movement of personnel shall be sufficient to minimize the risk of product contamination and comply with relevant legislation.

CLAUSE

REQUIREMENTS

4.3.1

Preparation areas shall be assessed based on product risk, taking into account the need for segregation of raw and ready-to-consume products, allergens, and incompatible products. Effective layout, segregation, and practices shall be in place to minimize cross-contact risks; including the management of people, equipment, interventions, and product flow.

4.3. 2

Staff shall be aware of practices to prevent cross-contact and product contamination.

4.3.3

Where the site includes facilities designed for customers to consume food products in-store, these areas must be controlled, including: ○ ○

22

appropriate sanitation and waste controls facilities for cleaning hands prior to returning to the open product area.


P A R T I I

4.4 INTERNAL STANDARDS The retail site shall be suitable in layout and maintained to protect product integrity.

CLAUSE

REQUIREMENTS

4.4.1

The site shall be constructed and maintained to protect product integrity.

4.4. 2

Doors and separation equipment shall be maintained, clean, and in good repair.

4.4.3

Display units shall be maintained to protect product integrity.

4.4.4

Open refrigerated-display units shall have maximum load indicators, and maxima shall be adhered to.

4.5


UTILITIES

Utilities used in the production and offering of products shall support product integrity.

CLAUSE

REQUIREMENTS

4. 5.1

Water used for product contact and sanitation shall be potable. Nonmunicipal water sources shall be effectively managed.

4. 5.2

In-store bulk water or in-store water boling systems shall have a documented sanitary management and maintenance program, and meet regulatory testing requirements.

4. 5.3

Ice for sale and in-store use must be produced from potable water. Ice production and storage systems shall have a sanitation and maintenance program.

4.6

EQUIPMENT

All food-related equipment shall be suitable for the intended purpose and used in a manner that minimizes the risk of product contamination.

CLAUSE

4.6.1

4.7

REQUIREMENTS

Food handling and processing equipment shall be constructed of the appropriate materials, designed for effective sanitation. Equipment in direct contact with food shall not pose a contamination risk.

MAINTENANCE

An effective maintenance program shall be in place to prevent contamination and support operations and product safety and integrity.

CLAUSE

REQUIREMENTS

4.7.1

The site shall ensure safety, legality, and integrity of product is maintained during maintenance and subsequent cleaning operations.

4.7.2

Materials used for maintenance shall not pose a risk of contamination, and where product contact or contamination is at risk, be suitable and approved for their intended use.

4.7.3

Active store renovations or remodeling shall have practices a nd procedures in place to protect product and customers.


23

4. 8

STAFF FACILITIE S

Staff facilities, where available, shall minimize the risk of product contamination, and be maintained in good condition.

CLAUSE

REQUIREMENTS

4. 8.1

Policies for safe storage of personal items shall be in place for staff. Where company-provided facilities are in place, they must be maintained in sanitary condition.

4. 8. 2

Where staff are preparing or processing food products, suitable protective clothing shall be designated and utilized.

4. 8.3

Suitable hand-washing facilities shall be available to staff at designated work areas, prior to beginning work, and in staff and public washrooms. These areas shall include: ○ ○ ○ ○

signage water of suitable temperature soap sanitary drying systems.

4. 8.4

Where smoking is permied by law, and allowed by the company, designated smoking areas shall be defined. Sanitation arrangements shall be made to control smoking waste.

4. 8.5

All food brought onto the site by staff shall be appropriately stored. No staff food shall be taken into storage or preparation areas. Where outdoor breaks are allowed, appropriate control of waste shall be in place.

4.9

CHEMICAL AND PHYSICAL CONTAMINATION CONTROL

Appropriate procedures and systems shall be in place to minimize the risk of product contamination. 4.9.1

CHEMICAL CONTROL

CLAUSE

4.9.1.1

REQUIREMENTS

Site cleaning products shall be: ○ ○ ○

stored in a designated, controlled area be designed or approved for their intended use have appropriate documentation available (i.e., safety data sheet).

4.9.1.2

Repurposing or reuse of packaging materials shall not occur, for product or product contact equipment, or utensils.

4.9.1.3

Retail nonfood products shall be handled, stored, and displayed to prevent risk of cross-contact with food.

4.9.2

METAL CONTROL

CLAUSE

REQUIREMENTS

4.9.2 .1

There shall be a documented policy for the use of sharp metal implements including knives, cuing blades, needles, and wires.

4.9.2 .2

Staples, paper clips, and tacks shall not be used in open product areas. Where hard (metal and other materials) closures or other packaging materials are opened, preca utions shall be taken to minimize product contamination.

24


4.9.3

CLAUSE

REQUIREMENTS

4.9.3.1

The use of glass and brile materials for in-store packaging or display purposes shall be minimized where risk of breakage is present (this does not include products purchased in glass packaging).

4.9.3.2

Documented procedures shall be in place to manage glass or brile material breakage, including: ○ ○ ○

4.9.4

P A R T I I

GLASS CONTROL


identifying and quarantining potentially contaminated product cleaning and inspection minimizing risk to product and customers.

WOOD CONTROL

CLAUSE

4.9.4 .1

REQUIREMENTS

Wooden utensils and boards shall be designed for commercial food use, maintained, clean, and intact. Wood used for food contact shall be appropriate for use, and obtained from an appropriate source.

4.10 HOUSE KEE PING AND HYGIENE Housekeeping and cleaning procedures shall be in pla ce to ensure appropriate standards are maintained to prevent risk to product and customers.

CLAUSE

REQUIREMENTS

4.10.1

The premises and equipment shall be maintained in a clean and hygienic condition.

4.10. 2

Cleaning procedures shall be in place and maintained for the building and equipment. Cleaning procedures for food contact surfaces, and environmental cleaning in high-risk areas shall include: ○ ○ ○

description of cleaning intent, and defined final condition frequency method, materials, and concentrations.

Where appropriate or indicated (by expertise or result), cleaning procedures shall be validated.

4.10. 3

Cleanliness of food contact surfaces shall be checked prior to use, and results recorded.

4.10. 4

Cleaning equipment shall be: ○ ○ ○ ○

dedicated for cleaning designed and fit for purpose identified for intended use (for example, drain cleaning) kept clean, and stored in a hygienic manner.


25

4.11 WASTE AND WASTE DISPOSAL Waste disposal shall be managed in accordance with legal requirements and to prevent accumulation, risk of contamination, and araction of pests.

CLAUSE

4.11.1

REQUIREMENTS

External waste collection containers and rooms housing waste facilities shall be managed and shall be: ○ ○ ○ ○ ○

clearly identified designed for ease of cleaning well maintained emptied at an appropriate frequency covered, with access restricted where necessary.

4.11.2

Procedures must be in place for the disposal of unsafe products, in a manner that prevents reintroduction of product to the supply chain.

4.11.3

Procedures must be in place for the disposal of substandard trademarked materials, to protect the brand owner.

4.11.4

All waste streams and their disposal shall meet regulatory requirements.

4.11.5

Waste destined for animal feed must be managed according to regulatory requirements. The feed should be collected in designated containers. Product shall be provided to customers under contract.

4.12 MANAGEMENT OF DIVERSION PRACTICES Where products are diverted out of normal retail processes, product integrity and brand protection shall be managed effectively.

CLAUSE

4.12 .1

REQUIREMENTS

Procedures shall be in place for salvages, reclaim, or alternate use of any products, which: ○ ○ ○

ensure the products are suitable for use protect product and brand integrity have brand owner’s approval.

4.12 .2

Procedures shall be in place to manage product that is damaged, returned from consumers, or where integrity is compromised.

4.12 .3

Surplus product not destined for planned sale shall be tracked and managed within legal, brand owner, and company policy. The company shall have a policy on disposal of surplus product.

4.13 PEST CONTROL The site shall have an effective preventive pest control program in place to minimize the risk of infestation or undue pest activity.

CLAUSE

REQUIREMENTS

4.13.1

If pest activity is identified it shall not present a risk of contamination to products.

4.13.2

The site shall either contract the services of a competent pest control organization, or have appropriately trained staff, for the regular inspection and treatment of the site to deter and eradicate infestation. The frequency of inspections shall be determined by risk assessment and shall be documented.

26


CLAUSE

4.13.3

REQUIREMENTS

Where a site undertakes its own pest control, it shall be able to effectively demonstrate that pest control operations are undertaken by trained and competent staff with sufficient knowledge of products and practices used. Staff undertaking pest control activities must meet any legal requirements for training or registration and ensure that: ○ ○ ○

4.13.4

expert resources are available if needed legislation governing the use of pest control product s is understood dedicated, locked facilities are used for the storage of pesticides.

Pest control documentation and records shall be maintained. This shall include as a minimum: ○ ○ ○ ○

○ ○

an up-to-date plan of the full site, identifying numbered locations for pest control devices identification of the baits and/or monitoring devices on site clearly defined responsibilities for site and for the contractor details of pest control products used, including instructions for their effective use and action to be taken in case of emergencies any observed pest activity details of pest control treatments undertaken.

4.13.5

Traps or other rodent control devices shall be appropriately located and maintained to prevent contamination risk to product, interference from or impact on consumers. Toxic rodent baits shall not be used within production or storage areas. Where toxic baits are used these shall be secured.

4.13.6

Fly-killing devices and/or pheromone traps shall be correctly placed and operational.

4.13.7

In the event of infestation, or evidence of pest activity, immediate action shall be taken to identify at-risk product and to minimize the risk of product contamination. Any potentially affected products should be subject to the nonconforming product procedure.

4.13.8

Records shall be maintained of pest control inspections, and pest proofing and hygiene recommendations and actions taken. It shall be the responsibility of the site to ensure that all of the relevant recommendations made by its contractor or inhouse expert are carried out in a timely manner.

4.13.9

Results of pest control inspections shall be assessed and analyzed for trends on a regular basis, but, as a minimum: ○ ○

4.13.10

in the event of an infestation annually.

Employees shall understand the signs of pest activity and be aware of the need to report any evidence of pest activity to a designated manager.


27

P A R T I I


4.14 STORAGE FACILITIES All areas and facilities used for the storage of products, ingredients, and other materials for the operation shall be suitable for purpose.

CLAUSE

4.14.1

REQUIREMENTS

Procedures to maintain product safety and integrity during storage shall be developed on the basis of risk assessment, understood by relevant staff, and implemented accordingly. These may include, as appropriate: ○ ○

○ ○

managing chilled and frozen product transfer between temperature-controlled areas segregation of products where necessary to avoid cross-contamination or cross-contact (physical, microbiological, or allergens) or taint uptake storing materials off the floor and away from walls specific handling or stacking requirements to prevent product damage.

4.14.2

Where temperature control is required, the system shall be capable of maintaining product temperature within specification and operated to ensure specified temperatures are maintained. Temperature or system alarms, or manual evaluation (at a suitable frequency), shall be in place.

4.14.3

Where storage outside is necessary, items shall be protected from contamination and deterioration. Items shall be checked for suitability before being brought into the site.

4.14.4

The site shall facilitate correct stock rotation to ensure that products and materials are used in the correct order in relation to their manufacturing date and within the prescribed shelf life. Where alternate use methods are used (i.e., promotional material) alternate rotation programs shall be communicated and utilized.

4.15 SHI PPING , DELIVERY, AND TRANSPORTATION Practices shall be in place to ensure that transport out of the facility to a customer or consumer does not present a risk to product safety, quality, or security.

CLAUSE

4.15.1

REQUIREMENTS

Products shall be adequately protected during loading, transport, and delivery. This shall include consideration of: ○ ○ ○

4.15.2

28

contamination temperature abuse security.

Vehicles used for delivery shall be suitable for the intended use. Delivery personnel shall understand product risks, and have a reporting mechanism for incidents or risks.


P A R T I I

5 PRODUCT CONTROLS 5.1 PRODUCT DESIGN AND DEVELOPMENT FOR STORE -BRANDED AND STORE- PRODUCE D PRODUCTS


Product design for own-brand products shall be in place to ensure products meet safety and regulatory expectations.

CLAUSE

REQUIREMENTS

5.1.1

The company shall have clear guidelines on restrictions and control of product design and development, aimed at managing risk.

5.1. 2

The company shall have valid support for all shelf life claims.

5.2

PRODUCT LABELING

Product labeling, where managed by the organization, shall comply with regulatory requirements and facilitate safe usage by the customer.

CLAUSE

REQUIREMENTS

5. 2.1

Processes shall be in place to ensure purchased products meet regulatory labeling requirements. Where store-branded products make label claims, evidence substantiating claims shall be part of the supplier approval and monitoring process.

5. 2. 2

Store-labeled products shall meet regulatory labeling requirements. There shall be a process to verify that all allergen labeling is correct according to the product recipe.

5. 2. 3

The company shall have a system to ensure all product information conveyed to customers is correc t and meets regulatory requirements. This includes: ○ ○ ○ ○

5.3

information on electronic media published information and advertisements in-store information supplier-provided information (recipes, promotions, adverti sing).

ALLERGEN MANAGE MENT

The organization shall have a system to manage allergenic materials, and mitigate the risk of cross-contact.

CLAUSE

REQUIREMENTS

5.3.1

The site shall have a list of allergens that pertain to the organization, and where they are controlled.

5.3. 2

Strategies to mitigate allergen cross-contact shall be in place where necessary. Strategies could include: segregation, sequencing, labeling, signage, and other effective means.

5.3.3

Where claims are made, on store-labeled products, regarding the suitability of a product for allergy or sensitivity sufferers, validation is required to ensure the product(s) meet the claim.


29

6 PROCESS CONTROLS 6.1

CONTROL OF IN-STORE PROCESSING

The company shall operate procedures to ensure production within specification of consistently safe and legal products.

CLAUSE

REQUIREMENTS

6.1.1

Where appropriate, instructions, training, and guidance for staff shall be provided, which may include: ○ ○ ○

Process monitoring shall be implemented, controlled, and where necessary recorded to ensure product is produced within specifications. Process monitoring may be manual, automatic, or by exception, alarm.

6.1.2

6.2

recipes and instructions equipment seings, cooking, cooling, or mixing times, and temperatures for use and/or storage labeling instructions.

LABEL AND PACKAGING CONTROL

Labels and packaging shall be managed to ensure products meet specification and regulatory needs.

CLAUSE

REQUIREMENTS

6.2.1

Where in-store packaging or labeling takes place, staff guidance shall be sufficient to mitigate risks of mislabeling. Verification steps shall be introduced where risk or historical evidence indicates need.

6.3 WEIGHT AND QUANTITY CONTROL FOR IN-STORE PACKING AND WEIGHING The company shall operate systems to ensure weights and measures meet regulatory and specification expectations.

CLAUSE

REQUIREMENTS

6.3.1

There shall be a system that ensures regulatory requirements for weight control are met. In the absence of regulatory requirements, the company shall define standards for control at store level.

6.3.2

There shall be a risk-based verification program for weight, volume, and quality controls. The basis for verification may include: ○ ○ ○

6.4

complaints regulatory actions or audit findings yield measurements.

CALIBRATION

The site shall be able to demonstrate that critical measuring equipment is operating within allowable tolerances.

CLAUSE

REQUIREMENTS

6.4.1

The site shall identify any equipment which requires periodic accuracy verification or calibration.

6.4.2

Each identified piece shall have a defined: ○ ○ ○ ○

30

frequency for evaluation acceptable range action to be taken where the item is found to be out of specification record of activities.


6.5

STOCK ROTATION

The company shall control and direct rotation of stock to ensure adherence to expiry coding and effective stock management.

CLAUSE

REQUIREMENTS

6.5.1

The company shall have in place procedures to manage stock rotation, including minimum acceptable shelf life for purchases and shelf stock. The procedure shall also define culling requirements.

6.5.2

The company shall have a defined program to code product life for own-brand and store-packaged products (i.e., use by, consume by, expiry, packaged on) that is consistent and underst andable to consumers.

6.5.3

Where exceptions to the rotation policies are made, t here must be a documented procedure to be followed.

6.6

STORE SAMPLING

Where store sampling takes place, it shall support customer safety.

CLAUSE

REQUIREMENTS

6.6.1

The company shall have a policy regarding in-store sampling programs. The policy will cover regulatory requirements for the stores, and in addition may include: ○ ○ ○ ○ ○ ○

6.7

any restrictions on the type of products sampled requirements for sampling being aended or unaended allergen controls and notifications age restrictions training for personnel engaged in sampling sanitation and cold or heat chain requirements.

AGE-RESTRICTED SALES

Where a site retails products available to restricted age groups, procedures shall be in place to ensure regulatory compliance.

CLAUSE

REQUIREMENTS

6.7.1

Where the company sells products restricted to specific age groups, a policy shall be in place regarding display, age verification practices, customer notification, a nd training for staff.


31

P A R T I I


6.8

PRICING ACCURACY

The organization shall have systems in place to support accuracy of pricing, and respond to errors.

CLAUSE

REQUIREMENTS

6.8.1

The organization should have a policy regarding the accuracy of stated and charged prices for products and services. This may include: ○ ○ ○

a public display of the code of practice actions to take in the event of a discrepancy a public display of errors and corrections to advertised prices.

Relevant staff shall be aware of these expectations to ensure that the policy is followed.

6.9

CONTROLS OVER FOOD WASTE

The site should have a policy intended to minimize wastage of food products.

CLAUSE

REQUIREMENTS

6.9.1

The company should have a policy to reduce or minimize food and nonfood waste.

6.9.2

Where arrangements for recycling of waste or return of containers to suppliers are available, they shall be utilized wherever possible.

6.10 INSPECTION MANAGEMENT The organization shall manage and respond to regulatory and other outside inspections.

CLAUSE

6.10.1

32

REQUIREMENTS

The company shall have a policy for sites to follow when government, regulatory, or other institutions visit for the purpose of audit or inspection. This policy shall cover sampling protocol, reporting to head office, and guidance for the site during the audit or inspection activity.


P A R T I I

7 PERSONNEL 7.1

TRAINING


The company shall ensure that all personnel are adequately trained in the operations they are carrying out, and understand basic food safety protection as relevant to their position.

CLAUSE

REQUIREMENTS

7.1.1

Prior to beginning work, all staff shall undergo induction training sufficient to support job duties, and covering food handling and hygiene.

7.2

PERSONAL HYGIENE

The sites’ personal hygiene practices shall support the minimization of product contamination risk.

CLAUSE

REQUIREMENTS

7.2.1

The company shall have a policy on the wearing of jewelr y, and the use of personal items during work periods.

7.2.2

All cuts on the hands or arms shall be covered. Bandages on hands shall be covered with a glove.

7.2.3

The company shall have a policy on personal medicines, which meets legal guidelines.

7.2.4

The company shall have a procedure for bodily fluid clean-up.

7.3

MEDICAL AWARENE SS

The company shall provide staff with information regarding relevant diseases and conditions. Staff shall be instructed on any policy for sickness absence.

7.4

UNIFORMS AND PROTECTIVE CLOTHING

The site shall manage staff protective clothing to prevent risk of product contamination, and protect the organization’s brand.

CLAUSE

REQUIREMENTS

7.4.1

The company shall identify, based on risk, where protective clothing shall be worn to protect the products from contamination. Procedures on protective clothing shall include: ○ ○ ○ ○

7.4.2

effective laundering programs wearing of the protective clothing away from the work area when gloves are to be worn for food handling where hair restraints are required.

The company shall have a policy regarding uniforms, where they exist. The policy shall include: ○ ○

care and modification instructions expectations around return aer employment, or use outside working duties.


33

7.5

OCCUPATIONAL HEALTH AND SAFETY

The site should not present a hazard to customers.

CLAUSE

REQUIREMENTS

7.5.1

There shall be no imminently unsafe conditions facing either staff or customers.

7.6

VISITOR POLICY

The organization shall have a policy to manage interactions with noncustomer visitors.

CLAUSE

REQUIREMENTS

7.6.1

The site shall have a policy regarding documentation of official visitors to the store. Where necessar y, sign-in protocols shall be in place. Visitors must be escorted, or given information on product protection and site security, prior to being allowed outside of publicly accessible areas.

34


PART III

AUDIT PROTOCOL INTRODUCTION 1

SELF-ASSESSMENT OF COMPLIANCE WITH THE STANDARD

2 SELECTION OF A CERTIFICATION BODY 3 COMPANY/ CERTIFICATION BODY CONTRACTUAL ARRANGEMENTS 3.1

Registration fee

39

4 SCOPE OF AUDIT AND CERTIFICATION 4.1

Defining the audit scope

39

4.2

Exclusions from scope

40

4.3

Certification groupings, head office, and multisite operations 40

4.4

Retail store sampling

4.5

Audit scope and cycles, and store audits impacting head office certifications

41

4.6

Unannounced audits

41

4.7

Scope extensions

41

4.8

Auditor selection

41

40

5 AUDIT PLANNING 5.1

Preparation by the company

41

5.2

Duration of the audit

41

5.3

Information to be provided to the certification body for audit preparation

42


35

6 THE AUDIT 6.1

Head office audit

42

6.2

Store audits

43

7

NONCONFORMITIES AND CORRECTIVE ACTION

7.1

Nonconformities

7.2

Procedures for handling nonconformities and corrective action 43

7.3

Audit scoring

43

44

8 AUDIT REPORTING 9 CERTIFICATION 10 BRC LOGOS 11 THE BRC GLOBAL STANDARDS DIRECTORY 11.1

Directory functionality

46

12 SURVEILLANCE OF CERTIFICATED COMPANIES 13 ONGOING AUDIT FREQUENCY AND CERTIFICATION 13.1

Scheduling reaudit dates

13.2 Delayed audits—justifiable circumstances

47

13.3 Audits undertaken prior to due date

47

14 COMMUNICATION WITH CERTIFICATION BODIES 15 APPEALS

36


46

P A R T I I I

PART III

AUDIT PROTOCOL INTRODUCTION The audit protocol describes how the audit process operates for the Standard and the rules around the audit and certification to the Standard. This is an essential element of the Standard and should be read and fully understood. Every effort has been made to ensure that the content of this audit protocol is accurate at the time of printing. However, it may be subject to minor change, and reference should be made to the BRC Global Standards website, www.brcglobalstandards.com , where any changes will be published. Conformance by the company with the requirements of the Global Standard for Retail and its suitability for the awarding and continuing retention of certification will be assessed by an independent audit company—the certification body. Certification will be awarded on completion of a successful audit and closure of any nonconformities identified to the satisfaction of the certification body within a defined time period. See Figure 1 for a flowchart outlining the steps of the audit protocol that lead to certification.


37

A U D I T P R O T O C O L

Obtain copy of Standard www.brcglobalstandards.com

Self-assessment of compliance with Standard

Select certification body www.brcdirectory.com

Onsite audit

Closing meeting—confirmation of any nonconformities

Critical or high number of major/ minor nonconformities

INITIAL AUDIT Corrective action submitted or revisit within 90 calendar days

Corrective action submitted or revisit within 28 calendar days

No nonconformities identified

Evidence assessed: inadequate

Evidence assessed: clarification required

Evidence assessed: compliant

Additional clarification required

Corrective action status documented

Certification documentation collated

No certificate issued. Report issued specifying status. Process/certification suspended

Evidence assessed: inadequate

Certification decision made by certification decision manager

Certificate details and audit report issued to company and sent to BRC

Ongoing compliance Certificate and audit details listed on BRC Global Standards Directory www.brcdirectory.com

Audit in accordance with required frequency

FIGURE 1 AUDIT PROTOCOL—HOW TO GAIN CERTIFICATION

38


1

SELF-ASSESSMENT OF COMPLIANCE WITH THE STANDARD

The Standard should be read and understood and a preliminary self-assessment should be conducted by the company against the Standard to prepare for the audit. Any areas which need to be improved to meet the requirements should be addressed by the company to prevent a nonconformity being raised at the audit. Further information and guidance to ensure compliance with the Standard, including training courses and guideline booklets, are available from the BRC Global Standards website. An optional onsite pre-assessment may be carried out by the selected certification body in preparation for the audit, to provide guidance to the company on the process of certification. It should be noted, however, that—under the rules for accreditation— consultancy cannot be provided during any pre-assessment offered by the same certification body which will later undertake the certification audit.

2

SELECTION OF A CERTIFICATION BODY

Once a self-assessment has been completed and nonconformities addressed, the company must select a certification body. The BRC cannot advise on the selection of a specific certification body, but the Directory section of the BRC Global Standards website lists BRC-approved certification bodies (see www.brcdirectory.com). Certification bodies shall be BRC-approved and a condition of approval is that they shall either be accredited or have an application for accreditation accepted by their accreditation body with a scope which includes the BRC Global Standard for Retail. Please note that, as this Standard was introduced in August 2016, during the first year of its application certification bodies are likely to offer nonaccredited certification while going through the accreditation process. In selecting a certification body, the company should consider the scope of the accreditation of the certification body, as some may not be able to provide an accredited certificate for all traded products. Clarification of the standards and categories of products against which the certification body can audit can be obtained either by confirmation from the certification body concerned or from accreditation schedules published by the appropriate national accreditation body.

3

COMPANY/CERTIFICATION BODY CONTRACTUAL ARRANGEMENTS

A contract shall exist between the company and the certification body, detailing the scope of the audit and the reporting requirements. This Standard sets out the requirements for companies that want to apply to be audited against the Standard and for companies issued with a certificate. Contracts between the certification body and the company shall include a clause acknowledging these obligations. This contract will be formulated by the certification body. The contract shall clearly state that a copy of the audit report and any subsequent certificate or audit result shall be supplied to the BRC in the agreed format. The contract shall also dictate that all documents in relation to the audit shall be made available to the BRC upon request. Documents provided to the BRC will be treated as confidential. 3.1 REGISTR ATION FEE The BRC will require a registration fee to be collected by the certification body from the company for every audit undertaken. The certificate and audit report shall not be valid until the registration fee and the certification body’s audit fees have been received, irrespective of the outcome of the certification process.

4

SCOPE OF AUDIT AND CERTIFICATION

4.1 DEFINING THE AUDIT SCOPE The scope of the audit—products sourced by head office, prepared and/or retailed by individual stores—shall be agreed between the organization and the certification body in advance of the audit program to ensure appropriate planning takes place for an effective assessment.

The audit scope and any permied exclusions shall be clearly defined both on the audit report and on the certificates issued. The wording of the scope shall be verified by the auditors during the audit. The scope wording shall enable the recipients of the information to clearly identify what is covered and excluded. The scope shall include a description of relevant processes and activities that have been assessed.


39

P A R T I I I


4.2 EXCLUSIONS FROM SCOPE The fulfillment of certification criteria relies on clear commitment from the organization’s management to adopt industry best practice outlined within the Standard and the development of a food safety culture within the organization. It follows that the exclusion of products or practices shall only be permied by exception.

Accepted exclusions: ○ ○

nonfood product categories multistore commissary operations, centralized storage or delivery if covered by an alternate certification (i.e., the Global Standards for Food Safety, Agents and Brokers, or Storage and Distribution).

Exclusions not permied: ○ ○ ○ ○

individual food categories activities within the scope of the GFSI protocol in-store preparation or processing activities dedicated to the individual store individual stores based on performance (see information in section 4.3 for certification groupings of multisite operations).

4.3 CERTIFICATION GROUPING S, HEAD OFFICE, AND MULTISITE OPERATIONS Head office operations will be audited annually. Certification will be granted and maintained assuming: ○ ○ ○

the audit is complete for all head office activities nonconformities identified at the head office have been closed (within the alloed time) all sampled stores achieve certification.

Retail operations may be a single store operation in which case the entire assessment would take place at that location, covering all relevant activities. Retail operations may include a head office (or several offices) and multiple retail locations. The organization may segregate and group stores for the certification program along logical or natural divisions (geographical location, store banner, store complexity or function, ownership type (i.e., brand owned vs franchised), or other measures). A retail organization may have multiple groupings within the organization. The head office(s) will receive certification once completing the audit and closing any nonconformities. Maintaining certification of the head office(s) is dependent on the successful ongoing certification of the associated retail locations within the assigned group, either in total, or within the designed sampling plan. 4.4 RETAIL STORE SAMPLING Once the head office has been audited, and relevant nonconformities closed (a nonconformity must be closed if it will interfere or impact the subsequent store assessment, or be identified as a nonconformity on the store audit; nonconformities that are specific to the head office only would not prevent subsequent store evaluations), a sampling of store locations will assess both application of head office requirements (policies and procedures) and the operation of the store itself.

Retail locations may be audited in their entirety, or via a sampling plan. Only those stores receiving an audit will be considered certificated. The sampling plan must meet the requirements for sampling as defined within the current version of the GFSI guidance document as a minimum. Sampling plans shall be defined so that all stores are sampled within a defined period (three years, five years, etc.), but as a minimum, must include 10% of the store locations being selected for store level audits. Stores to be audited may be selected based on random sample, or targeted random sampling (for example, to ensure an even geographical spread, or to include a specific store due to documented issues).

40


4.5 AUDIT SCOPE AND CYCLES, AND STORE AUDITS IMPACTING HEAD OFFICE CERTIFIC ATIONS It is generally expected that additional activities outside of the head office operations or retail store locations would fall under certification of the relevant BRC Global Standard (e.g., Storage and Distribution, Food Safety) or other relevant GFSI certification program. It is not mandatory for these support activities to be certificated; however, their impact would be assessed as part of the overall certification.

Where activities in one store are used to support other stores (for example, one in-store bakery supplies other stores with baker products) this activity will be included in the audit, including the activities around transport and delivery. Where such activities constitute a significant volume of production designed to supply a large number of stores (for example, a central commissary with a small retail offering) the commissary activities would likely fall under the Global Standard for Food Safety. In such cases, the certification body shall decide the most effective certification strategy. 4.6 UNANNOUNCED AUDITS Head offices are not required to undergo unannounced audits. As a minimum, one-third of the store-level audits must be unannounced on an annual basis. The organization may decide to have a higher proportion of unannounced auditing at the store level. 4.6.1 Unannounced audit program The program for unannounced audits shall consider the following expectations: ○ ○ ○

stores to receive unannounced audits shall be selected by the certification body no notification shall be provided of the locations of stores to be audited unannounced the organization may nominate nonaudit days in the unannounced program. They may nominate up to 20 excluded days, per location, per year (the general expectation is that the excluded days will primarily be holidays and excessively busy periods).

4.7 SCOPE EXTENSIONS Once an organization is certificated to the Standard, should there be significant changes to its organization, or its store risk portfolio, the organization shall inform the certification body of such changes. If the certification body feels the changes constitute a significant change in the operation’s risk profile, a scope extension audit may be required. This may affect the organization as a whole, or individual stores.

Where a scope extension audit takes place, it shall focus primarily on those areas of change, and not seek to reaudit areas that have had no change. 4.8 AUDITOR SELECTIO N The certification body, auditors, and site must be aware of the need to avoid conflict of interest when arranging for an audit. The site may decline specific auditors offered by the certification body. The same auditor may not undertake more than three consecutive audits of the same site.

5

AUDIT PLANNING

5.1 PREPARATION BY THE COMPANY For the initial audits the company shall agree a mutually convenient date, with due consideration given to the amount of work needed to meet the requirements of the Standard.

There is a requirement on the company to be prepared for the audit, to have appropriate documentation for the auditor to assess and to make appropriate staff available at all times during the audit. 5.2 DURATION OF THE AUDIT Before the audit takes place, the certification body shall indicate the approximate duration of the audit. The minimum duration of an audit is one day at the company’s head office facility.

Store audits will typically be one day in duration, but this may vary based on the complexity of the operation.


41

P A R T I I I


It is recognized that other factors may also influence the actual time taken to complete the audit and may result in a longer-thanscheduled audit. These factors include: ○ ○ ○ ○

communication difficulties, e.g., language differences, failed links to other offices the number of nonconformities recorded in the previous audit difficulties experienced during the audit, requiring further investigation the quality of company preparation, e.g., documentation, hazard and risk analysis, quality management systems.

If additional office locations are included within the audit process, then additional time will need to be allocated for this. The calculation for the audit duration shall determine the expected amount of time to undertake the head office audit. Additional time will be required for the review of any documentary evidence provided in response to nonconformities identified and the completion of the final audit report. 5.3 INFORM ATION TO BE PROVIDED TO THE CERTIFICATION BODY FOR AUDIT PREPARATION Prior to the audit day the company shall supply the certification body with background information to ensure the auditor is fully prepared and to provide the best opportunity for the audit to be completed efficiently. The information will be requested by the certification body and may include but is not limited to: ○ ○ ○ ○ ○ ○ ○

an overview of the company’s operation, including office and store locations management organizational chart and key contacts list of products or product groups included within the audit scope list of services to be included within the audit scope international range of company’s activities summary of hazard and risk analysis recent quality issues.

The company shall make the previous year’s audit report and certificate available to the certification body where this is a contract with a new certification body. The time required by the auditor and certification body to assess all documentation is supplementary to the duration of the audit.

6

THE AUDIT

6.1 HEAD OFFICE AUDIT The head office audit consists of the following stages: ○ ○ ○ ○ ○ ○

the opening meeting—to confirm the scope and process of the audit document review—a review of the documented hazard and risk analysis and quality management systems traceability challenge review of records final review of findings by the auditor—preparation for the closing meeting closing meeting—to review audit findings with the company. Note that nonconformities will require subsequent, independent verification by the certification body management.

The company will fully assist the auditor at all times. It is expected that at the opening and closing meetings those aending on behalf of the company will be senior managers who have the appropriate authority to ensure that corrective action can be progressed if nonconformities are found. The most senior manager on site or their nominated deputy shall be available at the audit and aend the opening and closing meetings. During the audit, detailed notes shall be made regarding the company’s conformities and nonconformities against the Standard and these will be used as the basis for the audit report. The auditor will assess the nature and severity of any nonconformity.

42


At the closing meeting, the auditor shall present his/her findings, and discuss all nonconformities that have been identified during the audit, but shall not make comment on the likely outcome of the certification process. Information must be given on the process and timescales for the company to provide to the auditor evidence of the corrective action to close nonconformities. A wrien summary of the nonconformities discussed at the closing meeting will be documented by the auditor either at the closing meeting or within one working day aer completion of the audit. The decision to award certification will be determined independently by the certification body management, following a technical review of the audit report and the closing of nonconformities in the appropriate timeframe. The company will be informed of the certification decision following this review. 6.2 STORE AUDITS Once the head office audit is completed, the certification body will work with the organization to design the individual store audit program. This will include identification of sampling level.

The certification body may require auditors designated for stores to receive training on, or information about specific policies or procedures, to allow verification of specifics to take place during the store audit.

7

NONCONFORMITIES AND CORRECTIVE ACTION

The level of nonconformity assigned by an auditor against a requirement of the Standard is an objective judgment with respect to severity and risk and is based on evidence collected and observations made during the audit. This is verified by the certification body management. 7.1 NONCONFORMITIES There are three levels of nonconformity: ○ ○

○

Critical Where there is a complete failure to comply with a product safety or legal issue. Major Where there is a substantial failure to meet the requirements of a “statement of intent” or any clause of the Standard or a situation is identified which, on the basis of available objective evidence, would raise significant doubt as to the conformity of the product or service being supplied. Minor Where a clause has not been fully met but, on the basis of objective evidence, the conformity of the product or service is not in doubt.

The objective of the audit is to provide a true reflection of the standard of the operation and level of conformity against the Global Standard for Retail. Consideration should therefore be given to awarding a single major nonconformity where minor nonconformities are repeatedly raised against a particular clause of the Standard. Clustering of a significant number of minor nonconformities against a clause and recording this as a single minor nonconformity is not permied. 7.2 PROCEDURES FOR HANDLING NONCONFORMITIES AND CORRECTIVE ACTION Following identification of any nonconformity during the audit, the company must undertake corrective action both to remedy the immediate issue and to undertake an analysis of the underlying cause of the nonconformity (root cause).

Where certification is possible (see Table 1) nonconformities must be closed out (to the satisfaction of the certification body) within 28 days (within 90 days in the first year of cer tification). 7.2.1 Critical nonconformities or a combination of nonconformities resulting in noncertification In some circumstances the number or severity of the nonconformities raised at the audit prevents the site from being certificated following that audit. This will be the case where there is a: ○ ○

critical nonconformity and/or the number or type of the nonconformities exceeds the limits for certification as per Table 1.


43

P A R T I I I


TABLE 1 NONCONFORMITIES AND CERTIFICATION CRITICAL

MAJOR

MINOR

ACTION

1 or more

CERTIFICATION Reaudit required

4 or fewer

NCs to be closed

5 or more

Certification Reaudit required

29 or fewer

NCs to be closed

30 or more

Certification Reaudit required

The grading of nonconformities will be reviewed by the independent certification process of the certification body as soon as possible aer the audit. Where the review confirms that a certificate cannot be awarded, the company will be required to undertake another full audit before assessment for certification. Where this occurs at a certificated company or site, certification must be immediately withdrawn. 7.2.2 Major and minor nonconformities No certificate shall be issued until it has been demonstrated that major and minor nonconformities have been corrected, either permanently or by a temporary solution (where acceptable to the certification body).

Close-out of nonconformities can be achieved either by objective evidence being submied to the certification body, such as updated procedures, records, or invoices for work undertaken, etc., or by the certification body undertaking a further office visit. If satisfactory evidence is not provided within the time allocated (during the first year, 90 days following the audit; or 28 days for existing certificated companies, and all store audits aer the first-year cycle), certification will not be granted. The company will then require a further full audit in order to be considered for certification. Nonconformities from the audit shall also be checked during the next audit to verify effective close-out of the nonconformities and their root cause. Where the correction has been ineffective, nonconformity shall be raised against Part II clause 1.1.10. The alloed period for closure of nonconformities is based on a calculation from the last day of the site audit. Should a single store location fail to achieve certification owing to the number or nature of nonconformities, that store must be reaudited within the next 12-month period for the head office to maintain certification. Root cause analysis and corrective actions for any store failures must be assessed during the subsequent head office audit. 7.3 AUDIT SCORING A scoring system is not utilized with this Standard. As most retail organizations will utilize certification for internal purposes initially, and given the robust reporting available to the organizations via the BRC Directory, a scoring system has not been included. Finite outcome measures, for example the exact number of nonconformities of any type, may be utilized for comparative purposes.

8

AUDIT REPORTING

Following each audit, a full wrien report shall be prepared in the agreed format. The report shall be produced in English or in another language dependent upon user needs. Where the report is produced in a language other than English, the audit summary sections shall always be reported in English in addition. The audit report shall provide the company and particularly customers or prospective customers with a profile of the company and an accurate summary of the performance of the company against the requirements of the Standard. The audit report must inform the reader of: ○ ○

the product safety controls in place and improvements since the last audit nonconformities and the corrective action taken.

44


The report shall accurately reflect the findings of the auditor during the audit. Reports shall be prepared and dispatched to the company within 42 calendar days of the date the full audit is completed (up to 104 days will be permied for initial audits where the additional time is required to close nonconformities). Audit reports shall remain the property of the company commissioning the audit and shall not be released, in whole or in part, to a third party unless the company has given prior consent (unless otherwise required by law). The audit report shall be uploaded to the BRC Directory in a timely manner irrespective of whether a certificate is issued. The owner of the audit report may allocate access to the audit report to customers or other parties via the BRC Directory. The audit report and associated documentation, including the auditor’s notes, shall be stored safely and securely for a period of five years from their creation by the certification body.

9

CERTIFICATION

Aer a review of the audit report and documentary evidence provided in relation to the nonconformities identified, a certification decision shall be made by the designated independent certification manager. Where a certificate is granted, this shall be issued by the certification body within 42 calendar days of the audit. (Up to 104 days will be permied for initial audits where the additional time is required to close nonconformities.) The certificate shall conform to the format shown in Appendix 3. Logos used on certificates, e.g., BRC and accreditation body logos, shall comply with those bodies’ respective usage rules. In addition: ○

○ ○

the certificate will detail the scope of the audit; it shall be issued to the company and include the location of the office applicable the certificate will include the six-digit auditor registration number of the lead auditor the date(s) of audit specified on the certificate shall be the date of the audit relating to the granting of that certificate, irrespective of whether later visits were made to verify corrective action arising from that audit.

Whilst the certificate is issued to the company, it remains the property of the certification body, which controls its ownership, use, and display.

10

BRC LOGOS

Achieving BRC certification is something of which to be proud. Companies that achieve certification are qualified to use the BRC logo on company stationery and other marketing materials. Information and conditions relating to the use of the BRC logo are available (at www.brcglobalstandards.com ). If a company is no longer certificated because the certificate has expired, been withdrawn, or been suspended, it shall no longer use the logo or display any certificate claiming certification. The BRC logo is not a product certification mark and shall not be used on products or product packaging. Any certificated company found to be misusing the mark will be subject to the BRC complaints/referral process and may risk suspension or removal of its certification.

11

THE BRC GLOBAL STANDARDS DIRECTORY

The BRC Global Standards Directory (www.brcdirectory.com) is a searchable online directory of companies certificated to the BRC Global Standards for food retailers, agents and brokers, food safety, packaging, consumer products, and storage and distribution. Each entry includes relevant company details, contact information, and certification information. The Directory also includes details of certification bodies approved by the BRC. The Global Standards Directory was developed to publicize the list of certificated companies, provide key information to retailers and other specifiers, and improve the management of the BRC Global Standards scheme. It provides a data storage system for audit information, both live and archived. Data is centrally managed and controlled to maintain accuracy and integrity.


45

P A R T I I I


11.1 DIRECTORY FUNCTIONALITY Information about certificated companies is provided to the BRC by certification bodies. The Directory provides the following, publicly available facilities: ○

○

a searchable list of certificated companies, including contact details, the standards against which they are certificated, their audit scope, and links to their websites a searchable list of approved certification bodies, including local offices and contact details.

Note that, whilst all reports and certificate details shall be uploaded to the Directory, companies may choose not to appear on the public directory site if they so wish. This will not, however, exempt companies from the registration fee. The Global Standards Directory provides additional functionality to key user groups, including companies, retailers, and certification bodies. This includes user-specific access to certification information, audit reports, and management reporting, further enhancing the value of obtaining BRC certification.

12

SURVEILLANCE OF CERTIFICATED COMPANIES

Where deemed appropriate, the certification body or the BRC may carry out further audits of certificated companies, or question activities to validate continued certification, at any time. These visits may take the form of announced or unannounced visits to undertake either a full or part audit. Any nonconformity identified at a visit must be corrected and closed out within the normal protocol—i.e., within 28 days of the visit—reviewed and accepted by the certification body. If the company does not intend to take appropriate corrective actions or the corrective actions are deemed inappropriate, certification shall be withdrawn. The ultimate decision to suspend or withdraw certification remains with the certification body. Any change in certification status shall be notified to the BRC by the certification body and the status on the BRC Directory amended accordingly. In the event that certification is withdrawn or suspended by the certification body, the company shall immediately inform its customers and make them fully aware of the circumstances relating to the withdrawal or suspension. The company shall also provide to customers information on the corrective actions to be taken in order to reinstate certification status.

13

ONGOING AUDIT FREQUENCY AND CERTIFICATION

13.1 SCHEDULI NG REAUDIT DATES The ongoing audit schedule will be agreed between the company and the certification body. The frequency of audits will be 12 months.

The due date of the subsequent audit shall be calculated from the date of the initial audit, and not from the certificate issue date, irrespective of whether further site visits were made to verify corrective action arising from the initial audit. The subsequent audit shall be scheduled to occur within the 28 days up to the next audit-due date. This allows sufficient time for corrective action to be taken in the event of any nonconformities being raised, without jeopardizing continued certification. It is the responsibility of the company to maintain certification. Except in justifiable circumstances (see Part III clause 13.2), where an audit is delayed beyond the due date this shall result in a major nonconformity being awarded at the subsequent audit. Justifiable circumstances shall be documented in the audit report. The head office must remain certificated, and be audited annually. Individual stores will be audited based on the sampling plan agreed to. Store certifications shall remain valid for a period of one year.

46


13.2 DELAYED AUDITS—JUSTIFIABLE CIRCUMSTANCES There will be some circumstances in which the certificate cannot be renewed on the 12-month basis because the certification body is unable to conduct an audit. These justifiable circumstances, which would not result in the assigning of a major nonconformity (refer to Part II clause 1.1.10), can be included when the company is situated: ○

○

in a specific country or an area within a specific country where there is government advice not to visit and there is no suitable local auditor in an area that has suffered a natural or unnatural disaster, rendering the auditor unable to visit.

If renewal of the certificate is prevented in these exceptional circumstances, the customer may still decide to take products from that company for an agreed time, as it may still demonstrate legal compliance by other means, such as risk assessment and complaints records, until another audit can be arranged. Moving the audit date to a more “acceptable” later date so audits can be combined or for lack of personnel are not justifiable circumstances for missing the due date. 13.3 AUDITS UNDERTAKEN PRIOR TO DUE DATE The due date of the renewal audit occurs within a 28-day window prior to the 12-month anniversary of the initial audit.

In some circumstances it is possible to undertake the audit earlier than this—for example, to reset the audit date to allow combined audits with another scheme. Where an audit date is brought forward, the following rules shall apply: ○ ○ ○

the audit report will detail the reasons why an audit has been brought forward the audit-due date will be “reset” to 12 months forward from this “new” audit date the certificate shall be issued with an expiry date of 12 months + 42 days from the “new” audit date.

14

COMMUNICATION WITH CERTIFICATION BODIES

In the event of any change in circumstances within the company that may affect the validity of continuing certification, the company must immediately notify the certification body. This may include: ○ ○ ○

legal proceedings relating to product safety or legality product recall change of ownership.

The certification body in turn shall take appropriate steps to assess the situation and any implications for the certification, and shall take any appropriate action. Information shall be provided to the certification body by the company on request, so that an assessment can be made as to the effect on the validity of the current certificate. As appropriate the certification body may: ○ ○ ○ ○ ○ ○

confirm that the validity of the certificate is not affected suspend the certificate pending further investigation require further details of corrective action taken by the company undertake a visit to verify the control of processes and confirm continued certification withdraw the certificate issue a new certificate with the new owner’s details.

Changes to the certificate or certification status of a company shall be recorded in the BRC Directory.


47

P A R T I I I


15

APPEALS

The company has the right to appeal against the certification decision made by the certification body. Any appeal should be made in writing to the certification body within seven calendar days of receipt of the certification decision. The certification body shall have a documented procedure for the consideration and resolution of appeals against the certification decision. These investigative procedures shall be independent of the individual auditor and certification manager. Individual certification bodies’ documented appeals procedures will be made available to the company on request. Appeals will be finalized within 30 calendar days of receipt. A full wrien response will be given by the body responsible for hearing the appeal aer the completion of a full and thorough investigation. In the event of an unsuccessful appeal, the certification body has the right to charge costs for conducting the appeal.

48


PART IV

MANAGEMENT AND GOVERNANCE REQUIREMENTS FOR CERTIFICATION BODIES TECHNICAL GOVERNANCE OF THE STANDARD International advisory board

52

Technical advisory committee

52

Certification body cooperation groups

52

ACHIEVING CONSISTENCY— COMPLIANCE Calibrating auditors

53

Feedback

53

Complaints and referrals

53


49

PART IV

MANAGEMENT AND GOVERNANCE REQUIREMENTS FOR CERTIFICATION BODIES The Global Standard for Retail is a product and services certification scheme. In this scheme, businesses are certificated upon completion of a satisfactory audit by an auditor employed by an independent third party—the certification body. The certification body in turn shall have been assessed and judged as competent by a national accreditation body. The process of certification and accreditation is outlined in Figure 2. In order for a business to receive a valid certificate on completion of a satisfactory audit, the organization must select a certification body approved by the BRC. The BRC lays down detailed requirements that a certification body must satisfy in order to gain approval. As a minimum, the certification body must be accredited to ISO/IEC 17065 by a national accreditation body affiliated to the International Accreditation Forum and recognized by the BRC. Further details are available in the document Requirements for Organisations Offering Certification against the Criteria of the BRC Global Standards, available from the BRC on request. Companies looking to become certificated to the Standard should assure themselves that they are using a genuine certification body approved by the BRC. A list of all certification bodies approved by the BRC is available in the BRC Global Standards Directory (at www.brcdirectory.com). The BRC recognizes that in certain circumstances—for example, when new standards such as the Global Standard for Retail are introduced, or new certification bodies wish to commence auditing against the Standard—accreditation may not yet have been achieved. This is because the accreditation process itself requires some audits to have been completed, which will then be reviewed as part of the accreditation audit of the certification body. The certification body must be able to conduct audits as part of the accreditation process and so some unaccredited audits will be performed. These will be permied where the organization can demonstrate that: ○ ○

○

it has an active application for accreditation against ISO/IEC 17065 from an approved national accreditation body accreditation will be achieved within 12 months of the date of application and the experience and qualifications of the auditors in the relevant product category are consistent with those specified by the BRC a contract is in place with the BRC and all other contracted requirements have been met.

The acceptance of audit reports and certificates generated by certification bodies awaiting accreditation but meeting the above criteria is at the discretion of individual specifiers.

TECHNICAL GOVERNANCE OF THE STANDARD The Standard and associated scheme is managed by the BRC and is governed through a number of commiees, each of which works to defined terms of reference. Figure 3 shows the technical governance structure for the management of the BRC’s Global Standards.

50


P A R T I V International Accreditation Forum and regional accreditation forums

M A N A G E M E N T A N D G O V E R N A N C E

ISO/ IEC 17011 General requirements for accreditation bodies

IAF Guideline on the application of ISO/IEC 17065

National accreditation body

ACCREDITATION

ISO/IEC 17065

Requirements for certification bodies offering certification against the criteria of the BRC Global Standards

Certification body

CERTIFICATION

BRC Global Standards website www.brcglobalstandards.com

Company

Company

Company

BRC Directory www.brcdirectory.com

FIGURE 2 PROCESS OF ACCREDITATION AND CERTIFICATION FOR CERTIFICATION BODIES


51

INTERNATIONAL ADVISORY BOARD The technical management and operation of the Standard are governed by the BRC International Advisory Board, consisting of senior technical representatives of international retail and food manufacturing businesses.

The functions of the international advisory board are: ○ ○

to advise on the development and management of the Global Standards to ensure measures are in place to monitor compliance by companies, certification bodies, and accreditation bodies.

TECHNICAL ADVISORY COMMITTEE Each BRC Global Standard is supported by at least one Technical Advisory Commiee (TAC), which meets regularly to discuss technical, operational, and interpretational issues related to the Standard. The BRC provides the technical secretariat for these groups.

The TAC is made up of senior technical managers representing the users of the Standard and includes representatives of retailers, food manufacturers, trade associations, certification bodies, and independent technical experts. The Standard is reviewed every three years to assess the need for updating or production of a new issue. This work is undertaken by the TAC, which is expanded for the purpose to include other available expertise. The TAC also reviews auditor competence requirements, proposed training materials, and supplementary technical documents supporting the Standards. CERTIFICATION BODY COOPERATION GROUPS The BRC encourages and facilitates meetings of the certification bodies participating in the scheme (cooperation groups) to discuss maers arising from the implementation of the Standard and issues of interpretation. These groups report regularly to the BRC on operational issues, implementation, and suggested improvements. Representatives from the cooperation groups aend the TAC meetings.

International advisory board Advises on policy, developments, and scheme governance

BRC executive Scheme management

Technical advisory committee Multistakeholder group providing technical advice on the scheme

Certification body cooperation groups Issues of interpretation and consistency of the Standard

FIGURE 3 TECHNICAL GOVERNANCE STRUCTURE FOR THE MANAGEMENT OF THE STANDARDS

52


ACHIEVIN ACHIE VING G CONSISTE CONS ISTENCY—COM NCY—COMPLIAN PLIANCE CE The maintenance of a high and consistent standard of audit and certification and the ability of the certificated companies to maintain the standards achieved at the audit are essential to ensure confidence in the scheme and to the value of certification. The BRC therefore has an active compliance programmer to supplement the work of accreditation bodies and ensure high standards are maintained. The BRC scheme may only be provided by certification bodies registered and approved by the BRC and accredited by a BRC-recognized accreditation body. All auditors undertaking audits against the Standard must meet the BRC auditor competence requirements and shall be registered with the BRC. All audits undertaken against the Standard shall be uploaded to the BRC Directory, which provides the BRC with an oversight of the activity of the certification bodies and the opportunity to review the quality of the reports produced. To support the Standard, the BRC operates a compliance program, which reviews the performance of the certification bodies, samples the quality of audit reports and levels of understanding of the scheme requirements, and investigates any issues or complaints. As part of this program the BRC provides feedback on the performance of each certification body through a key performance indicator (KPI) program. On occasions, the BRC may audit the offi ces of certification certificat ion bodies and accompany auditors on audits audi ts at sites to observe their performance. The BRC may also undertake independent visits to certificated companies to ensure standards of food safety and quality are being maintained in line with their certification status and to ensure that the audit and reporting process is to the expected standard. CALIBRATING AUDITORS A key component of the scheme is the calibration of auditors to ensure a consistent understanding and application of the requirements. All certification bodies are required to have processes to calibrate their own auditors. An essential element of the training and calibration of auditors is the witnessed audit program. Auditors are observed during an audit and provided with feedback on the performance of the audit. In order to ensure consistency between certification bodies and for the purposes of accreditation, an audit may be witnessed by a BRC representative or accreditation body auditor. Guidelines apply to these activities to ensure that companies are not disadvantaged by the presence of two auditors. This process forms an essential part of the scheme and companies are obliged to permit witnessed audits as part of the conditions for certification. FEEDBACK Companies audited against the Standard may wish to provide feedback to the certification body or the BRC on the performance of the auditor. Such feedback sent to the BRC will be considered in confidence. Feedback provides a valuable input to the BRC monitoring program for certification-body performance. COMPLAINTS AND REFERRALS The BRC has implemented a formal complaint and referral process, which is available to organizations involved with the Global Standards. A document detailing the Global Standards referral process can be found on the website (at www.brcglobalstandards.com ).

From time to time, failure to apply the principles and criteria of the BRC Global Standards at certificated companies may be reported to the BRC by, for example, retailers and companies conducting their own audits. In this event, the BRC will request a documented report of the reasons for the complaint and refer this report, in confidence, to the certification body conducting the audit. The BRC will require a full investigation of the issues raised and a report from the certification body to be submied to the BRC within 28 calendar days (or such shorter time as specified by the BRC in urgent u rgent cases).


53

P A R T I V

M A N A G E M E N T A N D G O V E R N A N C E

54


APPENDICES APPENDIX 1 Other BRC Global Standards

56

APPENDIX 2 Qualifications, training, and experience Qualifications, requirements requirement s for auditors

57

APPENDIX 3 Certificate template

59

APPENDIX 4 Glossary


60

55

APPENDIX 1

OTHER BRC GLOBAL STANDARDS The BRC has developed a range of Global Standards which set out the requirements for the manufacture of food and consumer products, the packaging used to protect the products, and the storage and distribution of these products. The other BRC Standards complement the Global Standard for Retail and provide a standard for the auditing and certification of suppliers. The BRC Global Standard for Food Safety is a certification standard for the manufacture and packing of food and drink products. It sets out requirements based on the HACCP (Hazard Analysis and Critical Control Point) system, good manufacturing practice, and supporting quality management systems. The Standard is Global Food Safety Initiative (GFSI)-benchmarked. The BRC Global Standard for Packaging and Packaging Materials is a GFSI-benchmarked certification standard that lays down the requirements for the manufacturing of packaging materials used for food and consumer products. Food and nonfood businesses may request this from their suppliers of packaging. The BRC Global Standard for Storage and Distribution is a certification standard that sets out the requirements for storage, distribution, wholesaling, and contracted services for packaged food products, packaging materials, and consumer goods. The Standard is not applicable to storage facilities under the direct control of the production facility management, which are covered by the relevant manufacturing standard, e.g., the Global Standard for Food Safety. The BRC Global Standard for Agents and Brokers sets out the requirements for companies in the food and/or food packaging supply chain which provide services for the purchase, importation, or distribution of products. The companies may also own their own processing, storage, or distribution facilities but these facilities are certificated to relevant production or storage and distribution standards. The BRC Global Standard for Consumer Products is a certification standard applicable to the manufacture and assembly of consumer products. This specifically excludes food-associated products such as vitamins, minerals, and herbal supplements, which fall within the scope of the BRC Global Standard for Food Safety.

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APPENDIX 2

QUALIFICATIONS, TRAINING, AND EXPERIENCE REQUIREMENTS FOR AUDITORS The following are the minimum requirements for auditors to conduct audits against the BRC Global Standard for Retail.

EDUCATION The auditor shall have a degree in or shall have successfully completed a higher education course in a food-related, packaging or bioscience discipline, or other relevant subject.

WORK EXPERIENCE The auditor shall have a minimum of five years’ postqualification experience related to the food packaging or logistics industry. This shall involve work in quality assurance functions within manufacturing, logistics, retailing, inspection, or enforcement. The verification of the auditor’s ability to carry out work within specific product categories is the responsibility of the certification body.

QUALIFICATIONS The auditor must have: ○

○

passed a registered management-system lead assessor course (e.g., International Register of Certificated Auditors—IRCA) or the BRC third-party auditor course delivered by a BRC-approved trainer completed a training course in HACCP (Hazard Analysis and Critical Control Point) (as evidenced by examination), based on the principles of Codex Alimentarius and of at least two days’ duration, and be able to demonstrate competence in the understanding and application of HACCP principles. It is essential that the HACCP course is recognized by the industry (and its stakeholders) as being appropriate and relevant.

AUDIT TRAINING Auditors must have successfully completed a period of supervised training, including witnessed audits, in practical assessment through 10 audits or 15 audit days involving food or packaging safety audits against Global Food Safety Initiative (GFSI)-approved Standards, ISO 22000 or ISO 9000 series (at a food business), of which at least two audits must be against one or more of the BRC Global Standards. Certification bodies must establish training programs for each auditor, which will incorporate: ○

○

○ ○ ○

successful completion of the BRC auditor training course for the Global Standard for Retail, delivered by a BRC-approved trainer a period of initial training covering product safety, HACCP and prerequisite programs, and access to relevant laws and regulations a period of supervised training to cover quality management systems, audit techniques, and specific category knowledge assessment of knowledge and skills for each category documented signoff aer the satisfactory completion of the training program.

Each auditor’s training program shall be managed and approved by a person within the certification body who can demonstrate technical competence in the categories in which training is given. Full detailed training records of the individual shall be maintained by the certification body throughout the term of employment, and retained for a minimum period of five years aer (s)he leaves the employment of the certification body. WWW.BRCGLOBALSTANDARDS.COM

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EXCEPTIONS Where a certification body employs an auditor who does not fully meet the specific criteria for education but has been assessed as competent, there shall be a fully documented justification in place to support the employment of the auditor.

RESPONSIBILITY OF THE CERTIFICATION BODY It is the responsibility of the certification body to ensure processes are in place to monitor and maintain the competence of the auditor to the level required by the Standard.

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A P P E N D I C E S

APPENDIX 3

CERTIFICATE TEMPLATE

CERTIFICATION BODY NAME OR LOGO

Auditor number

[Certification body name, certification body number] certifies that, having conducted an audit

For the scope of activities: Including voluntary modules of: Exclusions from scope: Product categories: At COMPANY NAME SITE CODE AUDIT SITE ADDRESS Has achieved Grade: Meets the requirements set out in the

BRC GLOBAL STANDARD for RETAIL ISSUE 1: AUGUST 2016

Audit program: [announced, unannounced option 1 or option 2, reissued after extension to scope]

Date(s) of audit:

[include two date ranges for unannounced option 2. If an extension to scope, include

original audit date and visit date] Certificate issue date: Re-audit due date: from

to

Certificate expiry date:

Accreditatio n body logo

BRC logo

Authorized by

Name and full address of certification body Certificate traceability reference This cer tificate remai ns the proper ty of [name of ce rtificati on body] If you would like to feedback comments on the BRC Global Standard or the audit process directly to BRC, please contact [email protected] or call the Tell BRC Hot line +44 (0)20 7717 5959.


59

APPENDIX 4

GLOSSARY Accreditation

The procedure by which an authoritative body gives formal recognition of the competence of a certification body to provide certification services against a specified Standard.

Age-restricted sales

Products where the local or other governing body requires the purchaser of the product to have reached a minimum age.

Agent

A company that facilitates trade between a site or company and their raw material or packaging suppliers or their customers through the provision of services, but does not at any point own or take title to the goods.

Allergen

A known component of food which causes physiological reactions through an immunological response (e.g., nuts and other items identified in legislation relevant to the country of production or sale).

Announced audit

An audit where the company agrees the scheduled audit day in advance with the certification body.

Audit

A systematic examination to measure compliance of practices with a predetermined system, and whether the system is implemented effectively and is suitable to achieve objectives, carried out by certified bodies.

Auditor

A person possessing the appropriate competence and skills to carr y out an audit.

Authenticity

Food authenticity is ensuring that food or raw materials purchased and offered for sale are of the nature, substance, and quality expected.

Brand owner

The owner of a brand logo or name who places the said logo or name onto retail products.

Branded product

Products bearing the logo, copyright, or address of a company that is not a retailer.

BRC Global Markets program

A recognition and audit scheme designed for sites which are either very small and for whom the full Standard may not be appropriate, or developing their food safety management systems.

Broker

A company which purchases or “takes title to” products for resale to businesses (e.g., manufacturers, retailers, or food service companies) but not to the ultimate consumer.

Calibration

A set of operations that establishes, under specified conditions, the relationship between values of quantities indicated by a measuring instrument or measuring system, or values represented by a material measure or reference material, and the corresponding values realized by standards.

Certificate suspension

Revocation of certification for a given period, pending remedial action on the part of the company.

Certificate withdrawal

Where certification is revoked. Certification may only be regained following successful completion of the full audit process.

Certification

The procedure by which an accredited certification body, based on an audit and assessment of a company’s competence, provides wrien assurance that a company conforms to a standard’s requirements.

Certification body

A provider of certification services, accredited to do so by an authoritative body and registered with the BRC.

Clause

A specific requirement or statement of intent that a site must comply with in order to achieve certification.

Codex Alimentarius Commission

A body responsible for establishing internationally recognized standards, codes of practice, and guidelines, of which HACCP (Hazard Analysis and Critical Control Point) is one standard.

Company

The entity with legal ownership of the site which is being audited against a BRC Global Standard.

Competence

Demonstrable ability to apply skill, knowledge, and understanding of a task or subject to achieve intended results.

Compliance

Meeting the regulatory or customer requirements concerning product safety, legality, and quality.

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Consumer

The end consumer of the finished product, commodity, or ser vice.

Contamination

Introduction or occurrence of an unwanted organism, taint, or substance to packaging, food, or the food environment. Contamination includes physical, chemical, biological, and allergenic contamination.

Contractor or supplier

A person or organization providing services or materials.

Control

To manage the conditions of an operation to maintain compliance with established criteria, and/or the state in which correct procedures are being followed and criteria are being met.

Control measure

Any action or activity which can be used to prevent or eliminate a product safety hazard or reduce it to an acceptable level.

Controlled document

A document which is identifiable and for which revisions and removal from use can be tracked. The document is issued to identified individuals and their receipt of the document is recorded.

Cook

A thermal process designed to heat a food item to a minimum of 70°C for 2 minutes or equivalent. Alternative cooking processes may be accepted or required where these meet recognized national guidelines and are validated by scientific data.

Correction

Action to eliminate the cause of a detected nonconformity.

Critical control point (CCP)

A step at which control can be applied and which is essential to prevent or eliminate a food or product safety hazard or reduce it to an acceptable level.

Customer

A business or person to whom a service or product has been provided, either as a finished product or as a component part of the finished product.

Customer focus

A structured approach to determining and addressing the needs of an organization to which the company supplies products and which may be measured by the use of performance indicators.

End consumer

The ultimate consumer of a foodstuff, who will not use the food as part of any food business operation or activity.

Flow diagram

A systematic representation of the sequence of steps or operations used in the production or manufacture of a particular food item.

Food defense

Procedures adopted to assure the safety of raw materials and products from malicious contamination or the.

Food fraud

Fraudulent and intentional substitution of, dilution of, or addition to a product or raw material, or misrepresentation of the product or material, for the purpose of financial gain, by increasing the apparent value of the product or reducing the cost of its production.

Food handler

Anyone who handles or prepares food, whether open (unwrapped) or packaged.

Food raw materials

Food ingredients, additives, and processing aids used in the manufacture of a product.

Food safety

Assurance that food will not cause harm to the consumer when it is prepared and/or eaten in the intended way.

Food security

Procedures adopted to assure the continued availability of raw materials and products.

Fundamental requirement

A requirement of the Standard that relates to a system which must be well established, continuously maintained, and monitored by the company as absence or poor adherence to the system will have serious repercussions on the integrity or safety of the product supplied.

Global Food Safety Initiative (GFSI)

Managed by the Consumer Goods Forum, a project to harmonize and benchmark international food safety standards (www.mygfsi.com).

Good hygiene practice

The combination of process, personnel, and/or service control procedures intended to ensure that products and/or services consistently achieve appropriate levels of hygiene.

Good manufacturing practice

Implemented procedures and practices undertaken using best practice principles.

Hazard

An agent of any type with the potential to cause harm (usually biological, chemical, physical, or radiological).

Hazard Analysis and Critical Control Point (HACCP)

A system that identifies, evaluates, and controls hazards which are significant for food safety.


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High-risk area

A physically segregated area, designed to a high standard of hygiene, where practices relating to personnel, ingredients, equipment, packaging, and environment aim to prevent product contamination by pathogenic micro-organisms.

In-store sampling

The practice of offering products free of charge for customers to consume on the premises.

Incident

An event which has occurred that may result in the production or supply of unsafe, illegal, or nonconforming products.

Initial audit

The BRC audit at a company/site which is not in possession of a valid BRC certificate. This may be the first audit at a site or a subsequent audit of a site whose certification has lapsed.

Internal audit

General process of audit, for all the activity of the company. Conducted by or on behalf of the company for internal purposes.

Job description

A list of the responsibilities for a given position at a company.

Key staff

Those staff whose activities affect the safety, legality, and quality of the finished product.

Legality

In compliance with the law in the place of production and in the countries where the product(s) is/are intended to be sold.

Manufacturer

A company which produces product from raw materials and/or components and packs the product into retail units or supplies product in bulk to a packing company that packs the product into retail units. A packer that packs product into retail units from bulk-supplied material can also be classed as a “manufacturer”.

May

Indicates a requirement or text which provides guidance but is not mandatory for compliance to the Standard.

Monitoring

A planned sequence of observations or measurements of defined control parameters to assess whether predefined limits are being met.

Nonconformity

The nonfulfillment of a specified product safety, legal, or quality requirement or a specified system requirement.

Open product area

An area in which product is open to the environment (i.e., not fully enclosed in packaging or within equipment/pipes).

Outer packaging

Packaging which is visible when the product is released from the site. For example, a cardboard box could be considered outer packaging even if wrapped in clear film.

Performance indicators

Summaries of quantified data that provide information on the level of compliance against agreed targets (e.g., customer complaints, product incidents, laboratory data).

Potable water

Water being safe to drink, free from pollutants and harmful organisms, and conforming to local legal requirements.

Premises

A physical building or place owned by the company and audited as part of a site.

Prerequisite

The basic environmental and operational conditions in a food business which are necessary for the production of safe food. These control generic hazards covering good manufacturing practice and good hygienic practice and shall be considered within the HACCP study.

Preventive action

Action to eliminate the fundamental, underlying cause (root cause) of a detected nonconformity and prevent recurrence.

Procedure

Agreed method of carrying out an activity or process which is implemented and documented in the form of detailed instructions or process description (e.g., a flowchart).

Processed food

A food product which has undergone any of the following processes: aseptic filling, baking, baering, blending, boling, breading, brewing, canning, coating, cooking, curing, cuing, dicing, distillation, drying, extrusion, fermentation, freeze drying, freezing, frying, hot filling, irradiation, microfiltration, microwaving, milling, mixing, being packed in modified atmosphere, being pa cked in vacuum packing, packing, pasteurization, pickling, roasting, slicing, smoking, steaming, or sterilization.

Processing aid

Any substance not consumed as a food by itself, intentionally used in the processing of raw materials, foods, or their ingredients to fulfill a certain technological purpose during treatment or processing, and which may result in the unintentional but technically unavoidable presence of the residues of the substance or its derivatives in the final product—provided that these residues do not present any health risk and do not have any technological effect on the finished product.

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Product recall

Any measures aimed at achieving the return of an unfit product from customers and end consumers.

Product withdrawal

Any measures aimed at achieving the return of out-of-specification or unfit products from customers, but not from end consumers.

Protective clothing

Clothing designed to protect the product from potential contamination by the wearer.

Quality

Meeting the customer’s specification and expectation.

Quantity control

Check on amount of product in the pack. May be related to weight, volume, number of pieces, size, etc.

Raw material

Any base material or semifinished material used by the organization for the manufacture of a product. Raw material includes packaging material.

Ready-to-cook food

Food designed by the manufacturer as requiring cooking or other processing effective to eliminate or reduce to an acceptable level micro-organisms of concern.

Ready-to-eat food

Food intended by the manufacturer for direct human consumption without the need for a full cook.

Ready-to-heat food

Food designed by the manufacturer as suitable for direct human consumption without the need for cooking. The heating of the product is intended to make the product more palatable.

Requirement

Those statements comprising a clause with which compliance will allow sites to be certificated.

Retail brand

A trademark, logo, copyright, or address of a retailer.

Retailer

A business selling products to the public by retail.

Retailer-branded products

Products bearing a retailer’s logo, copyright, address, or ingredients used to manufacture within a retailer’s premises. These are products that are legally regarded as the responsibility of the retailer.

Risk

The likelihood of occurrence of harm from a hazard.

Risk analysis

A process consisting of three components: risk assessment, risk management, and risk communication.

Risk assessment

The identification, evaluation, and estimation of the levels of risk involved in a process to determine an appropriate control process.

Root cause

The underlying cause of a problem, which, if adequately addressed, will prevent a recurrence of that problem.

Schedule

A tabulated statement giving details of actions and/or timings.

Senior management

Those with strategic/high-level operational responsibility for the company and the capability to authorize the financial or human resources necessary for the implementation of the Standard.

Shall

Signifies a requirement to comply with the contents of the clause.

Should

Signifies that compliance with the contents of the clause or requirement is expected or desired.

Site

A unit of a company; the entity which is audited and which is the subject of the audit repor t and certificate.

Specification

An explicit or detailed description of a material, product, or service.

Specifier

A company or person requesting the product or service.

Standard, the

The Global Standard for Retail Issue 1.

Supplier

The person, firm, company, or other entity to which a site’s purchase order to supply is addressed.

Suspension

Where certification is revoked for a given period, pending remedial action on the part of the company.

Traceability

Ability to trace and follow raw materials, components, and products through all stages of receipt, production, processing, and distribution, both forward and backward.

Trend

An identified paern of results.

Unannounced audit

An audit undertaken on a date unknown to the company in advance.

User

The person or organization who requests information from the company regarding certification.

Utilities

Commodities or services, such as electricity or water, which are provided by a public body.

Validation

Obtaining evidence through the provision of objective evidence that a control or measure, if properly implemented, is capable of delivering the specified outcome.

Vehicle

Any device used for the conveyance of product which is capable of being moved upon highways, waterways, or airways. Vehicles can be motorized (e.g., a truck) or nonmotorized (e.g., container or railcar). WWW.BRCGLOBALSTANDARDS.COM

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Verification

The application of methods, procedures, tests, and other evaluations, in addition to monitoring, to determine whether a control or measure is or has been operating as intended.

Where appropriate

In relation to a requirement of the Standard, the company will assess the need for the requirement and, where applicable, put in place systems, processes, procedures, or equipment to meet the requirement. The company shall be mindful of legal requirements, best practice standards, good manufacturing practice and industry guidance, and any other information relating to the manufacture of safe and legal product.

Workwear

Company-issued or authorized clothing designed to protect the product from potential contamination by the wearer.

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A P P E N D I C E S

APPENDIX 5

ACKNOWLEDGMENTS The BRC is grateful to all of those who had input in one form or another to the development of this Standard. In particular, we wish to thank the members of the technical working groups who supported the development. Their names are listed alphabetically below. Aaron Campbell

SAI Global

Sherry Casey

Loblaws

Neil Checkes

Sobeys

Alison Cousins

BRC Global Standards

Paul Damaren

SAI Global

Martin Fowell

Silliker

Tyler Hove

Sobeys

Paul Marra

Wegmans

Christine Mulcahy

Loblaws

Laura Nelson

Alchemy

Vilas Samineni

Metro

Hillary Thesmar

FMI

David Wilkes

Retail Council of Canada


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BRC Global Standard for Retail

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