IFS CC en

Cash&Carry/Wholesale
IFS Cash & Carry Wholesale

Standard for Auditing Cash & Carry markets and Wholesalers
Version 1 February 2010
The IFS publishes information, opinions and bulletins to its best knowledge, but cannot take any responsibility for any mistakes, omissions or possibly misleading information in its publications, especially in this document. HDE Handelsverband Deutschland Der Einzelhandel e.V. (Germany) FCD Fdration des entreprises du Commerce et de la Distribution (France) The standard owners thank the Italian retail federation Federdistribuzione as well as Associazione Nazionale Cooperative Consumatori (ANCC) and Associazione Nazionale Cooperative tra Dettaglianti (ANCD), who joined the IFS, for their involvement and their active cooperation for the development. All rights reserved. All publications are protected under international copyright laws. Without the expressed written consent of the IFS standard owners any kind of unauthorised use is prohibited and subject to legal punishment. This also applies to the reproduction with a photocopier, the inclusion into an electronic database, or the reproduction on CD-Rom. No translation may be made without official permission by the IFS standard owners. The IFS Cash & Carry/Wholesale can be ordered online via www.ifs-certification.com Or by Mail, Fax and E-Mail HDETrade Services GmbH Am Weidendamm 1A 10117 Berlin Germany Phone: Fax: E-mail:
+49-(0) 30-72 62 50-74 +49-(0) 30-72 62 50-79 info@ifs-certification.com
On behalf of the IFS standard owners, the HDE Trade Services GmbH is assigned to take over the commercial administration of the IFS, it cooperates with the IFS Working Group.
IFS
Cash & Carry/Wholesale
Standard for Auditing Cash & Carry markets and Wholesalers
Version 1 Februar 2010
IFS Cash & Carry/Wholesale
ACKNOWLEDGEMENTS
The IFS would like to thank to all participants who responded to the global questionnaire survey carried out in 2006, which was the basis for the development and improvement of the new version of the IFS Food Standard. Your input and opinions were a big support to the IFS. We appreciate the time you have taken to positively respond to the questionnaire. The IFS is grateful to the members of the IFS Working Group and the associated sub-working groups, as well as the review committee who prepared the existing document.
Members of the IFS Working Group

Andrea Artoni CONAD, on behalf of ANCD (Associazone Nazionale Cooperative tra Dettaglianti), Italy Rosanna Casciano CONAD, on behalf of ANCD (Associazone Nazionale Cooperative tra Dettaglianti), Italy Yvan Chamielec EMC Distribution Groupe Casino, France Roberta Denatale Auchan, on behalf of Federdistribuzione, Italy Gianni di Falco Federdistribuzione, Italien Antonella Donato COOP on behalf of ANCC (Associazione Nazionale Cooperative Consumatori), Italy , Gerald Erbach Metro Cash & Carry International GmbH, Germany Isabelle Formaux/ Luc Horemans Scamark Groupement Leclerc, France Ccile Gillard Kaplan Groupe Carrefour, France Annegret Karsch-Keller Kaufland Warenhandel GmbH & Co. KG, Germany Marguerite Knefel Systme U, France Jan Kranghand Metro AG, Germany Laurence Manuel Provera Alimentaire, France Dr. Angela Moritz REWE Group, REWE-Zentral-AG, Germany Horst Rser COOP Switzerland , Sergio Stagni COOP on behalf of ANCC (Associazione Nazionale Cooperative Consumatori), Italy , BatriceThiriet Auchan, France Karin Voss EDEKA Zentrale AG & Co KG, Germany
The IFS is also pleased to acknowledge the helpful contributions provided by the following persons:
Wolfgang Leiste Ralf Marggraf Charlotte Pilz Gerald Erbach Lutz Hhne EDEKA Handelsgesellschaft Sdwest mbH, Germany EDEKA Minden-Hannover Stiftung und Co. KG, Germany Metro Group GmbH, Germany Metro Cash & Carry International GmbH, Germany DAkkS GmbH, Germany
IFS Management
Steffi Becker Janina Glasner Stphanie Lemaitre Sabine Podewski Alexander Rogge MariaThalmann StephanTromp Serena Venturi IFS Project Manager, HDE IFS Quality Assurance Manager, HDE IFS Project Manager, FCD IFS Auditors compliance, HDE IFS Managing Director, FCD IFS StandardTechnical Advisor, HDE IFS Managing Director, HDE IFS Contact Person, IFS Office Italy
IFS, February 2010
Contents
Part 1: Audit Protocol
1 2 2.1 2.2 3 3.1 3.2 3.3 4 5 5.1 5.2 5.2.1 5.2.2 5.2.3 5.2.4 5.2.5 5.2.6 5.2.7 5.2.8 5.2.9 5.3 6 6.1 6.2 6.3 6.4 The History of the IFS Cash & Carry/Wholesale . . . . . . . . . . Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purpose and contents of the audit protocol . . . . . . . . . . . . . . General requirements for the quality management system Types of Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Initial audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Follow-up audit ........................................ Renewal audit (after expiry of the previous audit) . . . . . . . . Scope of the Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Rules for certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . single-certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 12 12 12 13 13 13 14 14 15 15
Multi-site-certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Rules for the initial audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Renewal audit/Sampling rule for IFS multi-site certification for wholesalers and cash & carry markets . . . . . . . . . . . . . . . 15 Scoring, conditions of issuing audit report and certificate for IFS Cash & Carry/Wholesale multi-site certification . . . 18 Scoring, conditions of awarding the IFS group certificate for IFS Cash & Carry/Wholesale (ANNEX 3) . . . . . . . . . . . . . . 19 Awarding the Certificate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Limitation of the certificate on selected sites . . . . . . . . . . . . . 19 Inclusion of new sites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 General rules for IFS multi-site certification for wholesalers and cash & carry markets . . . . . . . . . . . . . . . 20 Certification body selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Normative reference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Certification Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Preparation of an audit Duration of an audit ................................. . Certification body selection contractual arrangements 21 21 21 21 22 23
....................................
Drawing up an audit plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
IFS, February 2010
6.5 6.5.1 6.5.2 6.5.2.1 6.5.2.2 6.5.3 6.6 6.7 6.7.1 6.7.2 6.7.2.1 6.7.2.2 6.7.2.3 6.7.3 6.7.3.1 6.7.3.2 7 7.1 7.2 7.3 8 9 10 11 12 13 14
Evaluation of requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scoring a requirement as a deviation . . . . . . . . . . . . . . . . . . . Scoring a requirement as a non-conformity . . . . . . . . . . . . . Major . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . KO (Knock out) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scoring a requirement with N/A (not applicable) . . . . . . . . . Determination of the audit frequency ................... Audit report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Structure of the audit report . . . . . . . . . . . . . . . . . . . . . . . . . . . . The different steps for the audit report completion . . . . . . Drawing up the pre-report of the audit and the outline of the action plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Companys completion of the corrective action plan . . . . . Auditor validation of the action plan . . . . . . . . . . . . . . . . . . . . Further rules about the audit report . . . . . . . . . . . . . . . . . . . . . Link between two consecutive audit reports (initial and renewal audits) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Translation of the audit report . . . . . . . . . . . . . . . . . . . . . . . . . .
24 24 24 25 25 26 27 27 27 28 28 29 30 30 30 30
Awarding the Certificate(s) for IFS Cash & Carry/Wholesale multi-site certification (ANNEX 3) . . . . . . . . . . . . . . . . . . . . . . . 31 Deadlines for awarding certificate . . . . . . . . . . . . . . . . . . . . . . . The different steps of the certification process . . . . . . . . . . . The different steps of the certification process if a Major has been issued and a follow up audit has taken place . . . Distribution and Storage of the Audit Report ............. 31 32 32 33 33 33 34 34 35 35
Supplementary Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appeal Procedure Complaints ......................................
............................................ ..................
Ownership and Usage of the IFS Logo Review of the Standard
................................
Assessment of the Certification Bodies by the Companies
ANNEX 1: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ANNEX 2: Certification Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ANNEX 3: Conditions for awarding the certificates for multi-site certifications of IFS Cash & Carry/Wholesale . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
36 37
38
ANNEX 4: Demarcation IFS Food IFS HPC IFS Cash & Carry/Wholesale IFS Logistics IFS Brokers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
IFS, February 2010
Part 2: Requirements
1 1.1 1.2 1.3 1.4 2 2.1 2.1.1 2.1.2 2.1.3 2.2 2.3 3 3.1 3.2 3.2.1 3.2.2 3.2.3 3.3 3.4 Senior Management Responsibility . . . . . . . . . . . . . . . . . . . . . Corporate policy/Corporate principles . . . . . . . . . . . . . . . . . . . Corporate structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Customer focus ........................................ 43 43 44 44 44 45 45 45 46 46 48 48 49 49 49 49 50 50 51 52 53 53 53 54 54 55 56 56 56 56 57 57 57 57
Management review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quality Management System . . . . . . . . . . . . . . . . . . . . . . . . . . . HACCP (based on the Codex Alimentarius CA) . . . . . . . . . HACCP system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Assemble HACCP team (CA Step 1) . . . . . . . . . . . . . . . . . . . . . HACCP analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Documentation requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . Record keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Resource Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Human resources management . . . . . . . . . . . . . . . . . . . . . . . . . Human resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Personnel hygiene . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Protective clothing for personnel, contractors and visitors Procedures applicable to infectious diseases . . . . . . . . . . . . Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Sanitary facilities, equipment for personnel hygiene and staff facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Production Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Contract review ........................................ ..................................
4 4.1 4.2 4.3 4.4 4.5 4.6 4.6.1 4.6.2 4.6.3 4.6.4 4.6.4.1 4.6.4.2 4.6.4.3
Product specifications
Product development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purchasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Product packaging .....................................
Factory environment standards . . . . . . . . . . . . . . . . . . . . . . . . . Choice of location . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exteriors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Plant layout and process flows . . . . . . . . . . . . . . . . . . . . . . . . . . Buildings and facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Constructional requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . Walls and partition walls . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Floors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
IFS, February 2010
4.6.4.4 4.6.4.5 4.6.4.6 4.6.4.7 4.6.4.8 4.6.4.9 4.7 4.8 4.9 4.10 4.11 4.12 4.13 4.14 4.15 4.16 4.17 4.18 5 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10 5.11
Ceilings/Overheads . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Windows and other openings . . . . . . . . . . . . . . . . . . . . . . . . . . . Doors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Lighting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Air conditioning/Ventilation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . (Drinking) Water supply . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Housekeeping and hygiene . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Waste/Waste disposal .................................. ...
58 58 58 59 59 59 60 61 61 63 63 64 65 65 65 66 66 67 68 68 68 68 69 69 69 70 70 71 71 72
Risk of foreign bodies, metal, broken glass and wood
Pest monitoring/Pest control . . . . . . . . . . . . . . . . . . . . . . . . . . . . Receipt of goods and storage . . . . . . . . . . . . . . . . . . . . . . . . . . . Transport .............................................. ................................
Maintenance and repair
Equipments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Process validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Traceability (including GMOs and allergens) . . . . . . . . . . . . . Genetically modified organisms (GMOs) ................ .........
Allergens and specific conditions of production Measurements, Analysis, Improvements
................
Internal audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Site factory inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Process control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Calibration and checking of measuring and monitoring devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Quantity checking (quantity control/filling quantities) . . . . Product analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Product quarantine and product release . . . . . . . . . . . . . . . . . Management of complaints from authorities and customers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Management of incidents, product withdrawal, product recall . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Management of non-conforming products Corrective actions ..............
......................................
ANNEX: Glossary
.......................................................
73
IFS, February 2010
Part 3: Requirements for Accreditation Bodies, Certification Bodies and Auditors

IFS accreditation and certification process 0 1 1.1 1.2 1.3 1.4 1.5 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Requirements for the Accreditation Bodies . . . . . . . . . . . . . . General requirements .................................. 77 77 77 78 78 78 79 79 79 79 79 80 81 81
The training of the accreditation committee (or competent person) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Competences of the assessor of the accreditation body . . . . Frequency of the assessments of certification bodies . . . . . Accreditation of an internationally-active certification body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Requirements for the Certification Bodies . . . . . . . . . . . . . . . EN 45011/ISO IEC Guide 65 IFS accreditation process ....
2 2.1 2.2 2.3 2.4 2.5 2.6 3 3.1 3.2 3.3 3.4
Signing of contract with the proprietors of the IFS . . . . . . . Certification decision ...................................
Certification bodies responsibilities for IFS-Food-trainers and the IFS-Food-auditors (including freelancers) . . . . . . . Specific requirements for IFS-Food-trainers .............
Train theTrainer course . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Requirements for Auditors for IFS Cash & Carry/Wholesale . . . . . . . . . . . . . . . . . . . . . . . . . . Requirements before applying for the IFS examinations .
82 82 82 85 86
General requirements for auditors for IFS Cash & Carry/Wholesale . . . . . . . . . . . . . . . . . . . . . . . . . IFS examination process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scope extension for IFS-Food-approved auditors . . . . . . . .
ANNEX 1: Product Scopes for IFS Cash & Carry/Wholesale Auditors . . . . . . . .
87
IFS, February 2010
10
Part 4: Reporting, AuditXpress Software and the IFS Auditportal

0 1 1.1 1.2 1.3 1.4 2 3 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Audit overview (ANNEX 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Audit report (ANNEX 2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Action plan (ANNEX 3) ................................. 89 89 89 90 90 90 91
Minimum requirements for IFS certificate (ANNEX 4) . . . . AuditXpress Software ..................................
The IFS Auditportal and the IFS Database (www.ifs-certification.com) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
92
ANNEX 1: Cover page of the audit report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . First page of the audit report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Explanations regarding the audit report . . . . . . . . . . . . . . . . . . . . . . . . . . ANNEX 2: Audit Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 1: Senior management responsibility . . . . . . . . . . . . . . . . . . . Report of the N/A evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Detailed audit report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
94 95 96
98 99 99 99
ANNEX 3: Action plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 ANNEX 4: Certificate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
ANNEX: Checklist of the IFS Cash & Carry/Wholesale . . . . . . . . . . . . . . . . . . . . . 103
IFS, February 2010
11
Part 1: Audit Protocol

1 The History of the IFS Cash & Carry/ Wholesale
Supplier audits have been a permanent feature of retailers systems and procedures for many years. Until 2003 they were performed by the quality assurance departments of the individual retailers and wholesalers. The ever-rising demands of consumers, the increasing liabilities of retailers and wholesalers, the increasing of legal requirements and the globalisation of product supply, all made it essential to develop a uniform quality assurance and food safety Standard. Also, a solution had to be found to reduce the time associated with a multitude of audits, for both retailers and suppliers. The associated members of the German retail federation Handelsverband Deutschland HDE der Einzelhandel e.V. , its French counterpart Fdration des Entreprises du Commerce et de la Distribution (FCD) and its Italian counterparts Associazione nazionale cooperative consumatori (ANCC), Associazione nazionale cooperative tra dettaglianti (ANCD) and Federdistribuzione drew up a quality and food safety standard for retailer branded food products, named the IFS Food, which is intended to allow the assessment of suppliers food safety and quality systems, in accordance with a uniform approach. This Standard applies to all the post-farm gate stages of food processing. The IFS Cash & Carry/Wholesale was developped to optimise the audit procedures of cash & carry markets and Wholesalers. This current document and its audit protocol replace the clauses about cash & carry markets in the IFS doctrine, July 2008. Cash & carry markets and Wholesalers can be seen as important connectors between producers and converters as well as commercial clients. With the help of this function they can process small amounts of unpacked products next to their wide range of goods. Therefore this standard is based on the IFS Food. The IFS Cash & Carry/Wholesale contains the possibility of a Multi-sitecertification for similar sites/markets. The basic objectives of the IFS Cash & Carry/Wholesale are: to establish a common standard with a uniform evaluation system, to work with accredited certification bodies and qualified auditors, to ensure comparability and transparency throughout the entire supply chain, to reduce costs and time for both suppliers and retailers.
IFS, February 2010
12
2
2.1
Introduction
Purpose and contents of the audit protocol
This audit protocol describes the specific requirements made on the organisations involved in IFS Cash & Carry/Wholesale audits. The purpose of the protocol is to define the criteria to be followed by a certification body performing audits against the IFS requirements, and in accordance with the accreditation norm EN 45011/ISO IEC Guide 65. It also details the procedures to be observed by the companies being audited, and clarifies the interest of auditing them. Only those certification bodies that are accredited to EN 45011/ISO IEC Guide 65 for the scope of IFS, and which have signed the IFS framework agreement with the standard owners, may perform audits against the IFS Cash & Carry/Wholesale and may issue certificates.The IFS requirements relating to certification bodies are clearly described in Part 3 of this document.
2.2
General requirements for the quality management system
In general, when auditing in accordance with the IFS, the auditor assesses if the various elements of a companys quality system are documented, implemented, maintained, and continuously improved. The auditor shall examine the following elements: responsibility, authority, qualification and job description, documented procedures and the instructions concerning their implementation, inspection and testing: specified requirements and defined acceptance/tolerance criteria, the actions to be taken in case of non-conformities, investigation of the causes of non-conformities and the implementation of corrective actions, conformity analysis of the quality data and their implementation in practice, the handling, storage and retrieval of quality records, such as traceability data, document control. All processes and procedures shall be understandable, and the personnel responsible shall understand the principles of the quality management system.
IFS, February 2010
13
The quality management system is based on the following methodology: to identify the processes needed for the quality management system; to determine the sequence and interaction of these processes; to determine the criteria and methods required to ensure the effective operation and control of these processes; to ensure the availability of information necessary to support the operation and monitoring of these processes; to measure, monitor and analyse these processes, and implement the necessary action to achieve planned results and continuous improvement.
3
3.1
Types of Audit
Initial audit
An initial audit is a companys first audit to the IFS Cash & Carry/Wholesale. It is performed at a time and date agreed between the company and the selected certification body. During this audit the entire company is audited, both in relation to its documentation, and the processes themselves. During the audit, all criteria of the IFS Cash & Carry/Wholesale requirements shall be assessed by the auditor. In case of pre-audit, the auditor who performs this audit shall be different from the auditor who performs the initial audit. Furthermore, the auditor of the initial audit shall not know the conclusions of the pre-audit.
3.2
Follow-up audit
A follow-up audit is required in a specific situation, when the results of the audit (an initial audit or a renewal audit) have been insufficient to allow the award of the certificate (see Table N 3, 3.). During the followup audit, the auditor concentrates on the implementation of the actions taken to correct the non-conformities (e.g. Major) determined during the previous audit. The follow-up audit shall be performed within a six months period from the date of the previous audit. If the major non-conformity is related to production failure(s), the follow up audit shall be performed at least 6 weeks after the previous audit and no later than 6 months after the previous audit. For other kinds of failures (e.g. documentation), the certification body is responsible for the determination of the date of the follow-up audit.
IFS, February 2010
14
In case of a system major the follow up audit shall take place earliest after 6 weeks. If there is no follow-up audit performed after 6 months, then a complete new audit is necessary. In the event that the follow-up audit is failed, a complete new audit is automatically necessary.The elimination of major non-conformities shall always be established by an on-site visit by the auditor.
3.3
Renewal audit (after expiry of the previous audit)
Renewal audits are those which are performed after the initial audit prior to the next evaluation due date. The period in which a renewal audit shall be performed is shown on the certificate. Renewal audit involves the complete auditing of a company, resulting in the issue of an updated certification. During the audit, all criteria of the IFS requirements catalogue shall be assessed by the auditor. Particular attention is paid to the deviations and non-conformities detected during the previous audit, as well as to the effectiveness and implementation of corrective actions and preventive measures laid down in the companys corrective action plan. The date of the renewal audit shall be calculated from the date of the previous audit and not from the date of issue the certificate. Companies are themselves responsible for maintaining their certification. All IFS certified companies will receive a reminder from the IFS on-line audit portal three months before expiry of the certification. The certification bodies may also contact companies in advance in order to set a date for a new audit. Dates which have already been set can be announced through the IFS audit portal.
Scope of the Audit
The application of IFS Food Version 5 for auditing wholesalers and cash & carry markets is ensured by an independent and complete standard: IFS Cash & Carry/Wholesale. This standard is valid for all types of wholsaling activities and wholesalers: which handle unpacked products, e.g. weighing, measuring, filling, decanting, stamping, imprinting, packing, annealing, freezing, unfreezing, preserving, stocking, and/or which carry out processing activities; according to Ordinance (EG) No 852/2004: as processing activities are considered all actions that change the original product substantially, including heating, curing, hardening, maturing, drying, marinating, extraction, wextruding or a combination of these processes.
IFS, February 2010
15
Rules for certification
The IFS Cash & Carry/Wholesale certification can be covered by a single-certification or multi-site certification process. A company can choose between two possibilities of auditing: a) 5.1 single-certification of each site b) 5.2 multi-site-certification of all sites in one country.
5.1
single-certification
Every site shall be proofed separately. The company and the certification body shall agree upon the audit date.The certificate as well as possibly determined corrective actions are solely related to the audited site. The certificate validity is 12 months. The audit shall be repeated after this period.
5.2
5.2.1
Multi-site-certification
Rules for the initial audit
The first year, the headquarter of each country as well as all the markets shall be audited.The company and the certification body agree upon all audit dates in advance (announced audits). 5.2.2 Renewal audit/Sampling rule for IFS multi-site certification for wholesalers and cash & carry markets
In general: The headquarter shall be audited every 12 months against the IFS Cash & Carry. If the company is located in several countries with different stores, each headquarter in each country where the company is engaged in a business shall be audited every 12 months. Every new site/market which will be integrated in this process have to be checked in the first year of working. They shall be audited in the first year in every case, and then, depending on their kind of activity, they shall be audited each year or under the sampling plan frequency. Every site/market audits shall be performed unannounced by the certification body. In addition to the above requirement, the sampling must comply the following rules: The sampling must base on a risk analysis.
IFS, February 2010
16
In case of processing activities as defined in the Regulation (EC) N 852/2004, a sampling is possible only if no regulation or official recommendation in the country for small production amount exists there are less than 250 kg/week/site of processing activities for all animal origin food products in the market. The sampling is possible above 20 sites/markets, and shall be at the ratio of 1 site/market per 5 sites/markets with a minimum of 20. All sites/markets shall be randomly selected by the certification body. The certification body gets the right to expand the number of sites/markets to be audited in one year if necessary (e.g. too many deviations of the organisation). An announced single-certification is permitted for companies with less than 20 sites/markets. A single certificate or a group certificate can be awarded. Companies with more than 20 sites/markets can conduct a matrix certification with unannounced audits which shall be announced at least 48 hours in advance by the certification body. A multi-site certificate shall be awarded. The following rules are applicable for the matrix certification. Table No 1: Examples of the number of sites/markets to audit when multi-site sampling is used
Total number of sites/ markets Number of sites/markets above 20 Additional number of sites/markets to audit Number of sites to audit x between 1 and 20 0 0 x 21 22 23 24 25 26 27 28
1 1 21
2 1 21
3 1 21
4 1 21
5 1 21
6 2 22
7 2 22
8 2 22
Example: A company has 14 sites. All sites shall be audited every 12 months (14 = x). The number of sites is 26. Additionally to the 20 selected sites shall be audited two sites more. The number of audited sites is 22. The 22 sites change every year (Table 2). Furthermore a random sample of 5 % of marktes has to be audited. These 5 % are to be chosen from the sites/markets which were not audited in the same year.
IFS, February 2010
17
Table No 2: Cycle of multi-site certification for IFS Cash & Carry markets
Initial process Year 1 For each country Headquarter + all cash & carry markets First cycle Year 2 For each country Headquarter + all cash & carry markets Sampling rule (applying for each country, for cash & carry sites/markets if the number of markets is above 20) 1 site per 5 sites with a minimum of 20 First cycle Year 3 For each country Headquarter + all cash & carry markets Sampling rule (applying for each country, for cash & carry sites/markets if the number of markets is above 20) 1 site per 5 sites with a minimum of 20 (different from those audited during year 2) + newly opened cash & carry markets + 5 % random sample from all assigned cash & carry markets that are not part of the sample audited in this year. First cycle Year 4 For each country Headquarter + all cash & carry markets Sampling rule (applying for each country, for cash & carry sites/markets if the number of markets is above 20) 1 site per 5 sites with a minimum of 20 (different from those audited during year 1 and 2) + newly opened cash & carry markets + 5 % random sample from all assigned cash & carry markets that are not part of the sample audited in this year. Second cycle Year 5 For each country Headquarter + all cash & carry markets Sampling rule (applying for each country, for cash & carry sites/markets if the number of markets is above 20) 1 site per 5 sites with a minimum of 20
+ newly opened cash & carry markets + 5 % random sample from all assigned cash & carry markets that are not part of the sample audited in this year.
+ newly opened cash & carry markets + 5 % random sample from all assigned cash & carry markets that are not part of the sample audited in this year.
Chart No 1: Scheme of auditing cycle

Year 1 Year 2 Year 3 cycle 1
First year initial audit Year 2 until year 4 is one full cycle, which must be audited by the same certication body. The certication body is responsible that in one full cycle, at least each site/market is audited one time.
Year 4
Year 5
Year 6 cycle 2
Year 7
Year 8
etc. cycle 3
Year 5 until year 7 is one full cycle, which must be audited by the same certication body. The certication body is responsible that in one full cycle, at least each site/market is audited one time.
Each cycle must be done in the way like cycle 1 and 2.
The initial process in year 1 and the rst full cycle from year 2 until year 4 must be done by the same certication body. If the certication body should being changed during a cycle, the group certication must be started with the initial process like the year 1.
IFS, February 2010
18
5.2.3
Scoring, conditions of issuing audit report and certificate for IFS Cash & Carry / Wholesale multi-site certification
Each individual market is subject to the following conditions. Table No 3: Scoring and awarding of certificates
Audit Result 1. At least 1 KO Status Not approved Action company Actions and new initial audit to be agreed upon (the new audit shall be dated earliest 6 weeks after the KO) Actions and new initial audit to be agreed upon (the new audit shall be dated earliest 6 weeks after the Major) Send action plan within 2 weeks of receiving the preliminarily report. Follow-up audit max. 6 months after the audit date upon (the new audit shall be dated earliest 6 weeks after the failed audit if it was a process Major) Send action plan within 2 weeks of receiving the preliminarily report. Report form Report gives status Certificate No
2. > 1 Major and/or < 75 % of the requirements are fulfilled
Not approved
Report gives status
No
3. Max 1 Major and 75 % of the requirements are fulfilled
Not approved unless further actions taken
Report including action plan gives status
Certificate, Depending upon the results of the follow-up audit
4. Total score is 75 % and < 95 %
Approved at Foundation IFS Cash & Carry/ Wholesale level after receipt of the action plans Approved at higher IFS Cash & Carry/ Wholesale level after receipt of the action plan
Yes, Certificate at foundation level, 12 months validity
5. Total score is 95 %
Send action plan within 2 weeks of receiving the preliminarily report.
Yes, Certificate at higher level, 12 months validity
IFS, February 2010
19
5.2.4
Scoring, conditions of awarding the IFS group certificate for IFS Cash & Carry/Wholesale (ANNEX 3)
The multi-site certification is possible only if all the audited sites pass individually the audit. In case of failure of one site: a) If one site fails the audit because of a KO evaluated with a D, several Major non-conformities or one Major non-conformity and total score < 75 %, the multi-site certification shall not be issued. The site which fails at the audit shall be audited completely a new time within 6 months and shall pass the audit in order to allow the multi-site certification. b) If one site fails the audit because of one Major and total score 75 %, a follow up audit shall be performed within 6 months, in order to solve the non conformity and then allow the multi-site certification. c) If one site fails the audit because of a total score < 75 % (but no nonconformities in the sense of IFS): if the certification body considers that the identified deviations are only linked to the site but not linked to the general management system: a follow up audit shall be scheduled on the site, to check the implementation of corrective actions for most deviations. If most deviations are solved, and if the score of the site is up to 75 %, then the multi-site certification is possible. If the total score is still under 75 %, the multi-site certification is not possible. if the certification body considers that the identified deviations are linked to the site as well as to the general management system: a follow up audit shall be scheduled on the site and at the headquarter, to check the implementation of corrective actions for most deviations. If most deviations are solved, and if the score of the site is up to 75 %, then the multi-site certification is possible. If the total score is still under 75 %, the multi-site certification is not possible.
5.2.5
Awarding the Certificate
In case of a multi-site certification the certification body shall award a multi-site certificate. In the annex of the certificate all sites shall be listed which are in the scope of the audit. 5.2.6 Limitation of the certificate on selected sites
It is on discretion of the company to certificate only a part of all existing sites. Only the certified part of the sites shall be listed in the annex of the certificate.
IFS, February 2010
20
5.2.7
Inclusion of new sites
If the company opens a new site after the multi-site certificate was awarded and the new site should be included in the valid certificate, the new site shall be audited during the period. If the site passes the certification body can award a new certificate which includes the new site. 5.2.8 General rules for IFS multi-site certification for wholesalers and cash & carry markets
A multi-site certification process (and the issuing of one multi-site organisation certificate) under the EN 45011/ISO IEC Guide 65 accreditation norm is possible for wholesalers and cash & carry markets, only if: the cash & carry markets have very similar processes, the products processed or handled at all the sites/markets shall be identical and shall be processed or handled according to fundamentally the same methods and procedures, the sites/markets and the headquarter shall be located in the same country, the headquarter manages completely the food safety and quality management system and implement it on all the sites/markets (central office and sites/markets work under the same management system), the headquarter must identify the individual risk of each site and, if necessary, the site groups in different risk classes, the headquarter must carry out an initial inspection visit of each site/market and shall monitor annually, via internal audits, each site/market covered by the scope of the certificate, before and during the certification period. If there are no internal audits conducted at all sites, this will be seen as a breach of requirement 5.1.1. and will therefore be evaluated as an KO. A multi-site organisation need not to be a unique legal entity, but all sites/markets shall have a legal or contractual link with the headquarter. 5.2.9 Certification body selection
This programm is only applicable if one certification body conducts all audits of the headquarter and the associated sites/markets during a whole cycle (Chart No 1).
IFS, February 2010
21
5.3
Normative reference
IAF MD 1:2007 Mandatory Document for the Certification of Multiple Sites Based on Sampling EA-6 Draft Guidelines on the Accreditation of Certification according to ISO/IEC Guide 65 for Producers with Multiple Production Locations ISO TS 22003:2007 Food safety management systems Requirements for bodies providing audit and certification of food safety management systems
6
6.1
The Certification Procedure

Preparation of an audit
Before being audited, the company shall study all requirements of the IFS Cash & Carry/Wholesale in detail. The company is responsible for acquiring the current version of the Standard. In order to prepare for an initial audit, a company can complete a pre-audit, which is only intended to be used in-house, and does not include any recommendations. The expected date for the initial or renewal audit shall be communicated to the IFS owners via the IFS audit portal.This shall be the responsibility of the certification body.
6.2
Certification body selection contractual arrangements
In order to perform the IFS audit, the company shall appoint a certification body which is approved to perform such audits. Only those IFS approved certification bodies which shall be accredited EN 45011/ISO IEC Guide 65 for the scope of IFS Cash & Carry/Wholesale and shall have signed a contract with IFS (see Part 3) shall carry out IFS audits and issue certificates. The list of all IFS international approved certification bodies, by country, is available on the website www.certification.com. Certification bodies can have a multi-skilled pool of auditors and will be able to perform audits for any type of product categories/scopes and processes, or may have auditors who have skills limited to individual product categories/scopes. Confirmation of the product scopes for which the certification body can perform audits shall be obtained from the certification body. A contract shall exist between the company and the certification body, detailing the scope of the audit, the duration and reporting requirements. The audit shall preferably be carried out in the language of the company and the certification body shall make every attempt to appoint
IFS, February 2010
22
an auditor whose native language or main working language is the language of the company. It is the responsibility of the company to verify that the certification body is accredited for IFS Food certification.
6.3
Duration of an audit
The certification bodies have an appropriate system for estimating the minimum time needed for an audit. Experience shows that the time required for performing an audit shall typically be 1.0 days.The preparation of the relevant audit report requires an additional period of approximately 0.5 days. A number of factors, which are detailed in the contract between the certification body and the company, play a role in determining the time required for a comprehensive audit.They include: the size of the site/market the number of personnel employed at the site/market the number of non-conformities found in the previous audit. The audit duration might be extended or reduced, depending on the risk based factors. The on-site audit (excluding document checking) shall take up at least 1/3 of the total audit time.The certification body justifies deviations from these recommendations on the first page of the audit report in the audit profile field. The above-mentioned rules equally apply to renewal audits, which must be considered as completely new audits. Possible reasons for time reductions or extensions may be allowed, but shall be justified and documented. In companies where no processing activities take place, many IFS requirements are not as complex, in terms of their application and auditing, as in cases of real processing plants (e.g. requirements applicable to recipes, to process validation, to prevention of contamination).Therefore, in the frame of the above applicable IFS audit duration rules, reduced audit duration may be anticipated. In the case of companies with several premises or establishments and central headquarters, the audit begins in the headquarters with the verification of the centrally controlled processes. In such cases, each individual establishment must anyway be audited. In each establishment, checks are made to ensure that the centrally controlled processes are correctly implemented and applied on-site and whether the corresponding information is available. If the central control is effective (e.g. as regards hygiene, traceability, internal audits,
IFS, February 2010
23
handling of complaints), a reduction of the required audit time could be a result. Further factors of reduction of the audit time can be the use of the same auditor for the audit of the central headquarters and the audits of the premises, or the performance of the audit of the premises by an auditor who has some other comparable knowledge of the centrally controlled processes.
6.4
Drawing up an audit plan
The certification body draws up the audit plan. The audit plan includes adequate details concerning the scope covered and the complexity of the audit. It is also sufficiently flexible to respond to any eventualities which may arise during the on-site certification audit. The audit plan takes into consideration the audit report and action plan relating to the previous certification audit. It also specifies which of the companys products or product ranges are to be audited.The company can only be audited at a time when it is actually producing the products specified in the scope of the audit. The audit is made up of the following five elements: the opening meeting the evaluation of the status of existing quality and food safety systems; achieved by checking documentation (HACCP quality , management) the on-site inspection and interviewing of the personnel the final preparation of conclusions drawn from the audit the closing meeting. The company will assist the auditor during the audit. As part of the audit, personnel from different levels of management are interviewed. It is advisable that the companys senior managers are present at the opening and closing meetings, so that any deviations and non-conformities can be discussed, and corrective actions commenced. The auditor who conducts the audit will assess all the requirements of the IFS, which are relevant to the companys structure. During the closing meeting, the auditor presents all findings and discusses all deviations and non-conformities which have been identified. As specified by the norm EN 45011/ISO IEC Guide 65, the auditor may only issue a provisional assessment of companys status during the closing meeting. The certification body shall issue a provisional audit report and outline action plan to the company, which shall be used as a basis for drawing up corrective actions for the determined deviations and non-conformities. The senior management of the certification body can only make the certification decision and prepare the formal audit report after the receipt of the completed action plan.The issue of the certificate is dependent on the audit results.
IFS, February 2010
24
6.5
Evaluation of requirements
The audit assesses the nature and significance of any deviation or non-conformity. In order to determine whether compliance with a requirement of the IFS has been met, the auditor has to evaluate every requirement in the Standard. There are different ways to rank the findings. 6.5.1 Scoring a requirement as a deviation
In the IFS there are 4 scoring possibilities: Scoring with: A: Full compliance with the requirement mentioned in the Standard B: Almost full compliance with the requirement mentioned in the Standard, but a small deviation was found C: Only a small part of the requirement has been implemented D: The requirement in the Standard has not been implemented Points are awarded for each requirement according to the following chart: Table N 4: Scoring
Result A B (deviation) C (deviation) D (deviation) Explanation Full compliance Almost full compliance Small part of the requirement has been implemented Requirement has not been implemented Points 20 points 15 points 5 points 0 points
The auditor shall explain all scorings with B, C and D in the audit report. In addition to this scoring, the auditor can decide to give the company a KO or a Major non-conformity that will subtract points from the total amount. These possibilities are explained within the next chapters.
6.5.2
Scoring a requirement as a non-conformity (ANNEX 3)
In the IFS there are also 2 kinds of non-conformities which are Major and KO, both will lead to a subtraction of points from the total amount. If the company gets at least one of these non-conformities, the certificate cannot be awarded. The certificate shall be blocked in the IFS database by the certification body within 2 weeks after the audit.The reason for the blocking shall be inserted in English and the company shall be informed. The scheduling of the new audit depends on the audit result.
IFS, February 2010
25
6.5.2.1 Major A Major is defined as follows: When there is a substantial failure to meet the requirements of the Standard, which includes food safety and also the legal requirements of the production and destination countries. A major can also be given when the identified non-conformity can lead to a serious health hazard. A major non-conformity can be given to any requirement which is not defined as KO requirement. A Major will subtract 15 % of the possible total amount of points. The certificate is to be blocked by the certification body in the IFS database (ANNEX 3). Table N 5: Evaluation of a Major
Evaluation Major Scoring 15 % of possible total amount is subtracted Result No certificate awarding is possible
In case of a Major and 75 % the new audit must be scheduled at the latest 6 months after the audit where the Major was issued. In case of a system Major the audit must be scheduled earliest 6 weeks after the audit where the Major was issued. In case of more than one Major and < 75 % a new audit must be scheduled earliest 6 weeks after the audit where the Major was issued.
6.5.2.2 KO (Knock out) In the IFS Cash & Carry/Wholesale there are specific requirements which are designed as KO requirements (KO Knock out). If during the audit the auditor recognises that these requirements are not fulfilled by the company, this results in a non-certification, withdrawal of the certification or suspension. In each case the audit shall be completed and all requirements shall be evaluated in order to give the company a complete overview about its situation. In cases when a KO has been identified, this will lead to a complete new audit in which demonstrable evidence of compliance has to be shown. The new audit shall be scheduled not earlier than 6 weeks after the audit where a KO was issued. In the IFS the following 10 requirements are defined as KO requirements: 1.2.4 Responsibility of the senior management
2.1.3.8 Monitoring system of each CCP

IFS, February 2010
26
3.2.1.2 Personnel hygiene 4.2.2 4.2.3 4.9.1 4.16.1 5.1.1 5.9.2 5.11.2 Raw material specifications Finished product (recipe) specifications Foreign bodies management Traceability system Internal audits Procedure for withdrawal and recall Corrective actions
KO requirements shall be evaluated according to the following scoring rules: Table N 6: Scoring for KO requirement
Result A B (deviation) C (deviation) KO (= D) Explanation Full compliance Almost full compliance Small part of the requirement is implemented The requirement is not implemented Awarded scores 20 points 15 points No C scoring is possible 50 % of the possible total amount of points is subtracted => No certificate awarding is possible
Important! A C scoring is not possible for KO requirement. In relation to the respect of the requirement the auditor can only use A, B or D (= KO). A KO can not be scored as N/A (non applicable); except for the KOrequirement 2.1.3.8 about monitoring of CCP which might not be appli, cable according to the company and the products processed. If the company does not have identified any CCP the auditor shall score this , requirement as N/A, and shall give a detailed justification in the audit report why this requirement is not applicable. The company shall verify and document in detail the reasons for the non-applicability of this requirement. When a KO requirement has been scored as D 50 % of the possible , total amount of points is subtracted, automatically meaning that the company is not approved for IFS Cash & Carry/Wholesale certification. 6.5.3 Scoring a requirement with N/A (not applicable)
When the auditor decides that a requirement is not applicable the auditor has to use:
IFS, February 2010
27
N/A: Not applicable with a short explanation. In case one or several requirements are not applicable for a company, the auditor has the possibility to score them with N/A and shall explain this in the audit report. In the cash & carry markets, there can be areas in which unpacked goods are handled, as well as areas in which packed goods are handled logistically. For this reason, some requirements may not be applicable; therefore guidelines are provided in part 2, to give instructions on the implementation of IFS Cash & Carry/Wholesale. N/A requirements shall not be included in the outline action plan, but they shall be listed in a separate table in the audit report. As there may be some requirements which are not applicable, using a total points score for the audit may be misleading. The scoring system for the IFS Cash & Carry is instead based on a percentage of the total available score and it is this which is used to decide the status of the site/market i.e. foundation or higher level.
6.6
Determination of the audit frequency
In the IFS cash & Carry, for all kind of products and for all certification levels, the same audit frequency will apply. The audit frequency for IFS audits is 12 months, starting from the date of the audit and not the date of issue the certificate. Table N 7: Audit frequency
Level of certificate Foundation level Higher level All products 12 Months 12 Months
6.7
Audit report
Following each audit, a full written report shall be prepared in the agreed format (see Part 4). Each audited site/market shall have its own audit report for IFS Cash & Carry/Wholesale multi site certification. 6.7.1 Structure of the audit report
The audit report shall provide transparency and confidence to the reader and will be completed by the auditor. The audit report is subdivided in different sections. audit summary with detailed description of the scope and a
IFS, February 2010
28
general summary in a tabular format for all chapters.The result of the audit will specify the level and percentage observations on KO requirements and Majors a summary of all established deviations and non-conformities for each chapter (1 to 5), including a short chapter summary a separate list, (including explanations) of all requirements evaluated with N/A (not applicable) a detailed audit report. All deviations (B, C, D) and KO requirements scored with a B, nonconformities (Major, KO requirement scored with a D) identified during the audit are presented in a separate action plan. Therefore the company has to produce a corrective action plan. In this way, the reader of the report can see the non-conformities and also the corrective actions, that the company is initiating. If a Major has been identified and resolved and if the audit result is finally positive, the certification body shall mention on the audit report the requirement, where the Major was issued. 6.7.2 The different steps for the audit report completion
6.7.2.1 Drawing up the pre-report of the audit and the outline of the action plan The auditor shall explain all non-conformities (KO requirements scored with a D and Majors), all deviations (B, C, D) and KO requirements scored with a B, and all requirements that are found N/A. It is appreciated that sections of the report may be shortened or lengthened to meet specific reporting needs, but the overall format of the report shall remain unchanged and comply with this specific requirement. The action plan shall include all the requirements which are not evaluated with A or N/A. The outline action plan shall conform to the AuditXpress software (IFS audit report writer assistant) outline action plan. It shall include the elements of the following.The outline action plan drawn up by certification bodies, which do not use the AuditXpress software shall conform to AuditXpress layout.The auditor shall complete all of Field A in chart no. 5, explaining and justifying the deviations and non-conformities finding before sending the company the outline action plan and the pre-report of the audit. The certification body shall send the company both the pre-report of the audit and the outline action plan within two weeks of the audit date.
IFS, February 2010
29
Table N 8: Outline action plan

Number of the requirement 1.2.1 1.2.2 1.2.3 1.2.4 KO 1.2.5 2.1.3.8 KO IFS requirement Evaluation Explanation (by the auditor) Field A An organisation chart Competences and responsibilities Job descriptions shall exist The senior management shall ensure Employees with influences Specific monitoring procedures shall be B C D KO/D Major KO/B Corrective action (by the company) Field B Responsibility Date and status of implementation (by the company) Field C Release by the auditor
Field D
6.7.2.2 Companys completion of the corrective action plan The company shall enter proposed corrective actions (Field B of table no. 8) for all deviations (B, C, D) and KO requirements scored with a B and non-conformities (Major, KO requirements scored with a D) listed by the auditor. For all evaluated deviations with score C and D and non-conformities, Major or KO requirements scored with a B and/or a D, the company shall clearly state the responsibilities and implementation deadlines (table no. 8, Field C). The company shall forward the corrective action plan to the certification body within 2 weeks of having received the prereport of the audit and the action plan layout. If this deadline is not respected, the company has to undergo a complete initial or renewal audit. An IFS certificate shall not be awarded unless the corrective actions for requirements scored with a C or D, KO requirements scored with B specify responsibilities and implementation dates in the action plan. It is emphasised that the corrective action plan communicated by the company to the certification body cannot have an influence on scoring, but its relevance can have an influence on the final decision of awarding the IFS certificate. The company shall always submit a written corrective action plan before receiving the final report and the certificate. The intention of the corrective action plan is for the company to strive for continuous improvements.
IFS, February 2010
30
Remark: When a company is found to have at least one KO requirement scored with a D and as a result will not get the IFS certification, it is recommended to complete the action plan, for improvement purposes. 6.7.2.3 Auditor validation of the action plan The auditor or a representative of the certification body shall validate the relevance of the corrective actions in the last column of the action plan before preparing the final audit report (Field D of the table No 8). If the corrective actions are not valid and relevant, the certification body shall return the action plan to the company for completion in due time. 6.7.3 Further rules about the audit report
6.7.3.1 Link between two consecutive audit reports (initial and renewal audits) When the auditor scores a requirement with C or D, corrective actions shall be implemented before the renewal audit. If not, the auditor has the possibility to score the requirement with a Major. This requirement ensures that the certification body shall read the audit report and the action plan of the previous audit, even if he was not in charge of it. 6.7.3.2 Translation of the audit report As the IFS is used internationally, it is important that the customers understand the audit report language in particular deviations and nonconformities identified by the auditor. To make use of the IFS internationally and to make it widely understandable, the following explanations for deviations and non-conformities shall always be translated into English in the action plan (table No 8, Field A): Requirements evaluated with a C or D Major non-conformities KO requirements scored with a B or a D. It is an obligation and the responsibility of the certification bodies to translate these explanations. It is strongly recommended that the proposed corrective actions are translated as well in English. The translation shall be made under each sentence of the original version and included in the audit report, before uploading the final audit report to the audit portal.
IFS, February 2010
31
Awarding the Certificate(s) for IFS Cash & Carry/Wholesale multi-site certification (ANNEX 3)
Only one multi-site certificate is issued (headquarter + sites/markets) per country. The certificate is awarded to the headquarter and the duration is 12 months. All assigned cash & carry markets are listed in an annex of the certificate. The reference of the IFS Cash & Carry/Wholesale shall be clearly mentioned on the certificate.The head quarter and all assigned cash & carry markets has to be listed in the IFS audit portal.
7.1
Deadlines for awarding certificate
The certification body is responsible for the decision to award or not award the IFS Cash & Carry certificate.The decision is made by person(s) other than those who have carried out the audit. The certification shall be valid effectively from the date of issue stated on the certificate itself and shall end after 12 months. The date for the renewal audit shall be calculated from the date of the previous audit, not from the date of issue the certificate. If the audit is not performed in due time, the retailers will be informed via the audit portal. The time between the date of the audit and the awarding of certificate is determined as follows: 2 weeks to draw up the pre-report of the audit 2 weeks for the company to respond to the deviations and nonconformities (i.e. draw up the action plan) 2 weeks for the auditor to check the proposed corrective actions, for the certification procedure and upload of the audit report to the audit portal. In total: 6 weeks between the date of audit and uploading the audit report to the audit portal and awarding the certificate: Target time: 6 weeks, Maximum time: 8 weeks (Duration IA => C in the following chart N 2). Table No 9: Certificate frequency
Level of certificate Foundation level Higher level All Products 12 months 12 months
IFS, February 2010
32
7.2
The different steps of the certification process
Chart N 2: Certificate validity audit frequency: example of a classical certification cycle

IA Date of the initial audit (e.g. 12/02/2010) IA + 12 months Date of the renewal audit, not later than (e.g. 11/02/2011) Duration in months
9 10 11 12 1
C Date of award of the certificate Certificate validity = 12 months
C + 12 months
The renewal audit shall be scheduled not later than 12 months of the previous audit. As the maximum authorised period between an audit and the award of a certificate is 8 weeks, the previous audit report remains a further 8 weeks on the audit portal. If the renewal audit takes place later than 12 months after the previous audit, the report will be removed from the IFS audit portal. Important! If the auditor gives a KO or a Major non-conformity assessment in the renewal audit, the previous certificate becomes invalid immediately (see 6.5.2).
7.3
The different steps of the certification process if a Major has been issued and a follow up audit has taken place
When the auditor gives a major non-conformity assessment and equal or more than 75 % of the requirements have been met, a follow-up audit shall be scheduled within 6 months of the first audit. The certification process is as follows:
IFS, February 2010
33
Chart N 3: Certificate validity audit frequency: follow up audit situation

IA: Initial audit Date of the initial audit (e.g. 12/02/2010)
Result: a major non-conformity and > 75% of requirements met
IA + 12 months Date of the renewal audit, not later than (e.g. 11/02/2011)
FUA: Follow up audit (not later than 12/08/2010) 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 Duration in months C + 12 months
C Date of award of the certificate Certificate validity = 12 months
For the validity of the previous audit the same rules apply as described in section 7.2
Distribution and Storage of the Audit Report
Audit reports shall remain the property of the company and shall not be released, in whole or part, to a third party without the companys prior consent (except where required by law).This consent for distribution of the audit report must be in writing and can be granted by the company vis--vis the certification body and/or vis--vis the retailer. The certification body will keep a copy of the audit report. The audit report shall be stored safely and securely for a period of five years.
Supplementary Action
The decision on the level of supplementary actions required on the basis of the certificate shall be made at the discretion of the individual buying organisation.
10
Appeal Procedure
The certification body shall have documented procedures for the consideration and resolution of appeals against the results of an audit. These procedures shall be independent of the individual auditor and will be considered by senior management of the certification body. Appeals will be finalised within 20 working days of receiving information from the auditee.
IFS, February 2010
34
11
Complaints
The certification body shall have documented procedures for handling complaints received from the companies and/or other relevant parties. An initial response will be given within 10 working days of receiving the complaint. A letter confirming receipt of the complaint will be issued within a maximum of 5 working days. A full written response will be given after the completion of a full and thorough investigation into a complaint. The base for the complaint management is the IFS framework agreement beween certification body and HTS GmbH.
12
Ownership and Usage of the IFS Logo
The copyright of the IFS and the registered trademark is fully owned by the Hauptverband des Deutschen Einzelhandels (HDE), Berlin and the Fdration des Entreprises du Commerce et de la distribution (FCD), Paris. The IFS Logo can be downloaded via the secured part of the IFS Audit portal. Terms and conditions for IFS Cash & Carry/Wholesale certified companies Use of the IFS Cash & Carry logo and Communication about the IFS Cash & Carry certification Form, design and colour of the IFS Cash & Carry/Wholesale logo When used, the IFS Cash & Carry/Wholesale logo must comply with the form and colour of the scale drawing. An IFS Cash & Carry/Wholesale certified company may subject to the provisions mentioned below use the IFS logo in its documents. The IFS logo can be used in printed, physical and electronic form, and in films, providing the forms and formats are respected. The same conditions apply to the use of the logo as a stamp. Restriction of comment and interpretation When an IFS certified company publishes documents bearing the IFS logo, comment and interpretations referring to the IFS shall be clearly identifiable as such. Use of the IFS logo in promotional material An IFS Cash & Carry/Wholesale certified company may use the IFS logo for promotional reasons and publish information about its IFS certification provided that it is not visible by the end-consumer: the IFS logo and the information about the certification may be used in correspondence with suppliers and retailers, but not in correspondence with the endconsumer. The IFS logo may not be displayed on vehicles, the food products themselves, or any kind of advertising document likely to reach the end-consumer (e.g. public exhibitions for end consumers, brochures). As for the particular case of websites which are not exclu IFS, February 2010
35
sively dedicated to a professional use, the logo may appear only on web pages related to food quality and security. It must be ensured that all information concerning certifications refers clearly to the IFS.The IFS logo may not be used in presentations having no clear connection to the IFS. Further restriction on the use of the IFS logo The IFS logo shall not be used in a way that could make believe that the IFS owners are responsible for the respect of certification requirements. Furthermore the same applies for opinions and interpretations which could derivate from it. In case of suspension or withdrawal of the IFS certification, the certified company has to immediately stop the inclusion of the IFS logo on its documents and stop the communication about IFS. Furthermore the audited company has to demonstrate that they have stopped using the IFS logo in its documents. Communication about the IFS certification All the above mentioned rules apply to any communication about IFS. This also means that using the words IFS International Featured , Standard is not allowed. This, of course, includes the communication , on finished products, which are bought by the end consumer.
13
Review of the Standard
The review committee needs to demonstrate control of the quality and content of the standard and will review the standard and the protocol after one year to ensure that they are still in compliance with their requirements. The review committee shall be formed with all participants involved in the audit process: the representatives of the retailers, representatives of the industry and of certification bodies. The review will be carried out at least once a year.The objective of the review committee is to share experiences, discuss and decide about the changes to the Standard, the requirements of the audit report and the training.
14
Assessment of the Certification Bodies by the Companies
All audited companies have the opportunity to give their feedback about the auditor and the IFS.The evaluations forms can be completed online via the IFS audit portal at the secure part for audited companies. The results of the assessment will be given to the certification bodies once a year and will be part of the review committee discussions.
IFS, February 2010
36
ANNEX 1: Definitions
Cash & carry markets can have or not processing activities, as defined in the Regulation (EC) N 852/2004 Processing Any action that substantially alters the initial product, including heating, smoking, curing, maturing, drying, marinating, extraction, extrusion or a combination of those processes e.g., Slaughtering, Carcase dressing, Production of minced meat, marinating of food of animal origin, heat treating Non-Processing e.g. Meat and fish cuts for customer request similar to retail activities, Cutting cheese, Bakery shop activities, Freezing/unfreezing unprocessed products means foodstuffs that have not undergone processing, and includes products that have been divided, parted, severed, sliced, boned, minced, skinned, ground, cut, cleaned, trimmed, husked, milled, chilled, frozen, deep-frozen or thawed; processed products means foodstuffs resulting from the processing of unprocessed products. These products may contain ingredients that are necessary for their manufacture or to give them specific characteristics. Announced audit The audit date is agreed between the site/market and the certification body. Unannounced audit The certification body informs the company at least 48 hours in advance.
IFS, February 2010
37
ANNEX 2: Certification Procedure

1. Decision by the company to get certified against the IFS Cash & Carry/Wholesale 2. Ordering and reading of the respective copy of IFS Cash & Carry/Wholesale 3. Evaluation of the current status by the company 4. Selection by the company of the IFS certification body (accredited and approved). Quotation, decision and signature of contract 5. Realisation of the audit on-site at the determined date, by an auditor competent in the audit scope Determination of the audit date Determination of audit times Definition of the audit scope
Voluntary: Pre-Audit
Opening meeting Evaluation of the documentation Site assessment and interviews of employees Creation of the audit conclusions Determination of 1 Major and particular circumstances Not approved before further actions, temporary certificate blocking Action plan and preliminary audit report sent to audited company Corrective actions of the non-conformities which have led to the Major Validation of the corrective actions by the certification body within 6 months Determination of Majors, KO Audit not approved, temporary certificate blocking Action plan and preliminary audit report sent to audited company Voluntary completion of the action plan and return to the certification body Finalisation of the action plan and report upload into the IFS Auditportal No certificate
6. Closing meeting Information about the determined non-conformities
7. Preparation of a preliminary audit report and preparation of action plan (2 weeks)
8. Completion of the action plan and determination of corrective actions by the audited company (2 weeks) 9. Return of the fulfilled action plan to the certification body (2 weeks) 10. Proofreading and checking by the certification body 11. Certification decision, determination of the certificate validity
12. Awarding of certificate and sending of the final report to the audited company 13. Uploading of the audit datas into the IFS Auditportal (audit details, report and action plan) by the certification body 14. Three months before the audit expires, a reminder will be sent to the company by the IFS Auditportal for scheduling a new audit with the certification body.The audit shall be scheduled no later than the renewal audit date scheduled in the certificate.
38
ANNEX 3: Conditions for awarding the certificates for multi-site certifications of IFS Cash & Carry/Wholesale
conduction of audits according to IFS C & C/Wholesale in several sites/markets result per single site?
all sites/ marktes passed
1 site KO and/or > Major or 1 Major and < 75 %
1 site 1 Major and > 75 %
< 75 %, no Major
multi-site certification
no multi-site certification
tentative no multi-site certification Yes deviations only linked to the site/market
deviations linked to the site/ market No deviations linked to the general management system Follow up audit of the headquarter and on the site/market to check the successful implementation of corrective actions
completely new audit for the failed site (earliest 6 weeks after the KO or Major)
follow up audit within 6 months (earliest 6 weeks after a process Major)
Follow up audit on the site/market to check the successful implementation of corrective actions
result of the new audit positiv? Yes site/market passes No site/market doesnt pass Yes
successful implementation of corrective actions No site/market doesnt pass Yes
result of the follow up audit positiv? No still < 75 % Yes
result of the follow up audit positiv? No still < 75 %
site/market passes
most deviations are solved and > 75 %
most deviations are solved and > 75 %
IFS, February 2010
39
ANNEX 4: Demarcation IFS Food IFS HPC IFS Cash & Carry/Wholesale IFS Logistics IFS Brokers
IFS Food is a standard for auditing companies that process food or companies that pack loose food products. IFS Food can only be used when a product is processed or handled or when there is a hazard for prod, uct contamination during the primary packing. IFS Food concerns: a) processing and working and/or b) handling of loose products and/or c) activities undertaken during the primary packing. Examples: The IFS Food product categories from 1 to 17 relate to food processing; The IFS Food product category 18 (co-packers) only relates to activities undertaken during the primary packing or the handling of loose products when there is a hazard for product contamination (e.g. potato packing, packing of oranges and lemons, fish on ice); IFS Food is applicable to temperature-controlled processes (e.g. the transport of pig-halves, etc.), but it does not apply to prepacked/primary packaged goods; Handling of loose products, e.g. transport of loose bread in grid boxes; IFS Food is not applicable to companies that handle pre-packed products. IFS Cash & Carry/Wholesale is the standard which covers all handling activities of loose and packed products in Cash & Carry markets or wholesale companies. It also includes processing activities when small quantities of products are concerned (like minced meat). The requirements of IFS Cash & Carry/Wholesale are the same as IFS Food, but contain in addition guidelines on how to manage specific requirements in Cash & Carry markets or wholesale companies. Furthermore, a multi-site-certification approach is possible under very specific conditions (quantity of processing activities, number of stores, unannounced audits, etc.). IFS HPC is a standard for auditing companies that process household and personal care products, or companies that pack loose household and personal care products. IFS HPC can only be used when a product is processed or when there is a hazard for product contamination during the primary packing.
IFS, February 2010
40
IFS Logistics is applicable to both food and non-food products and covers all logistics activities, such as loading and unloading, transport, storage handling of packed products and further distribution.The standard can be applied to all types of activities; delivery by road, rail, ship, plane and every other type of transport (temperature controlled, without cooling, etc.). Examples: IFS Logistics covers logistics activities where the company has a physical contact with primary pre-packed products (transport, packaging of pre-packed goods, storage and/or distribution, transport and storage of pallets). IFS Logistics also concerns unpacked loose goods, bulk products and silo transport (e.g. oil, or grain) provided such goods are not subject to any further handling (e.g. controlled-temperature transport) during the transportation and/or to any other food-safety criteria, such as microbiological processes (EU-VO 2073/2005). These goods are loose goods, but they are subject neither to processing nor to primary-packing activities. If a food-processing company has its own logistics and/or transport section, this is covered by the IFS Food standard in the chapters onTransport and Storage. If logistics and transport activities are outsourced, IFS Logistics is then applicable. If the logistics platform is part of the food company and is located in the same building or on the same grounds, and if the company or a customer on this basis wishes certification of this platform in keeping with IFS Logistics, an IFS Logistics audit can be carried out. In this case the following requirements must be taken into account: The logistics platform is for pre-packed goods only, In the case of two audits and certificates (IFS Food and IFS Logistics) it must be clearly stated exactly where the relevant audit area begins and ends, The requirements of IFS Food as regards transportation and storage must be taken into account in the context of the IFS Food audit, An IFS Food audit must at any rate be carried out in the food company, while IFS Logistics is an additional audit. All relevant documentation must be available on the logistics platform. IFS Broker is intended to be applied to all companies primarily involved in trading activities and who select their own suppliers and purchase or broker goods from these themselves or on behalf.They can organise logistics themselves or with service providers. Brokers charge for the
IFS, February 2010
41
goods themselves without necessarily coming into contact with the product. Examples: Companies, such as commercial agencies, brokers or other enterprises that do not see the products, shall be audited according to IFS Brokers. If such a company has its own storage and transport activities, these would be audited within the framework of certification against IFS Logistic. A company which buys goods and has these processed or worked by a service company in its own name shall be certified against IFS Brokers. The service company that works or processes the goods shall be certified against IFS Food or IFS HPC (depending on the processed products). The service company that transports, stores or performs any other logistic activities with the goods, must be certified against IFS Logistics. Summary: IFS Food IFS HPC a factory that processes or handles loose food products. a factory that processes or handles loose household and personal care products.
IFS Cash & Carry/ Wholesale a Cash & Carry and/or wholesale business that trades its own loose and packed goods IFS Logistics IFS Broker a company or service provider that handles food and non-food goods logistically. a company that purchases goods, but does not necessarily itself come into contact with the goods and has these goods delivered directly to its customers.
Determining for the selection of the standard is the main business activity of the respective company. If the scope of the selected standard is not applicable for all activities, a completing standard must be used or it must be showed clearly in the certificate, which activities are in the audit scope and which are not. All activities that influence the product safety of the certified products must be within the scope of the selected standard.
IFS, February 2010
43
Part 2: Requirements
Senior Management Responsibility
These requirements apply to the entire company. In the case of companies with a branch structure and central headquarters, control of each branch is to be checked centrally and shall also be capable of verification in the branch itself.
1.1
1.1.1
Corporate policy/Corporate principles

The senior management shall draw up and implement corporate policy.This shall consider as a minimum: customer focus environmental responsibility ethics and personnel responsibility product requirements (includes: product safety, quality, legality, process and specification). The corporate policy shall be communicated to all employees.
1.1.2
The content of the corporate policy shall have been broken down into specific objectives for the related departments. The responsibility and the time scale for achievement shall be defined for each department of the company. From the corporate policy, the quality objectives shall be communicated to the employees in the respective departments and shall be effectively implemented. The senior management shall ensure that the achievement of all objectives is regularly reviewed, as a minimum at least once a year. The company shall ensure that all relevant information is communicated effectively and in a timely manner to the relevant personnel. The company shall assign the responsible for the external communication (crisis management, authorities and communication with media).
1.1.3
1.1.4
1.1.5
1.1.6
IFS, February 2010
44
1.2
1.2.1 1.2.2 1.2.3
Corporate structure
An organisation chart shall be available showing the structure of the company. Competences and responsibilities, including deputisation of responsibility shall be clearly laid down. Job descriptions with clearly defined responsibilities shall exist for employees, whose work has an effect on product requirements. KO:The senior management shall ensure that employees are aware of their responsibilities and that mechanisms are in place to monitor the effectiveness of their operation. Employees with influence on product requirements shall be aware of their responsibilities, and shall be able to demonstrate their understanding of their responsibilities. The senior management shall have nominated an IFS representative. The senior management shall provide sufficient and relevant resources to meet the product requirements. The department responsible for quality management shall have a direct reporting relationship to the senior management. The company shall ensure that all processes (documented and undocumented) are known by the relevant personnel and are applied consistently. The company shall have a system in place, to ensure that it is kept informed of all relevant legislation on food safety issues, scientific and technical developments and industry codes of practice.
1.2.4
1.2.5
1.2.6 1.2.7 1.2.8
1.2.9
1.2.10
1.3
1.3.1 1.3.2
Customer focus
A procedure shall be in place to identify fundamental needs and expectations of customers. The results of this procedure shall be evaluated and considered by the determination of quality objectives.
1.4
1.4.1
Management review
Senior management shall ensure that the quality management system is reviewed at fixed periods.
IFS, February 2010
45
1.4.2
This review shall include measures for the control of the quality management system and for the continuous improvement process. The company shall identify and review regularly (e.g. by internal audits or on-site inspection) the infrastructure needed to achieve conformity to product requirements. This shall include, as a minimum, the following: buildings supply systems machines and equipment transport. The results of the review shall be considered, with due consideration to risk, for investment planning.
1.4.3
1.4.4
The company shall identify and review regularly (e.g. by internal audits or on-site inspection) the work environment needed to achieve conformity to product requirements. This shall include, as a minimum the following: staff facilities environmental conditions safety and security at work hygienic conditions workplace design external influences (e.g. noise, vibration). The results of the review shall be considered, with due consideration to risk for investment planning.
Quality Management System

In its presentation, the HACCP concept shall distinguish between the handling of unpacked products and logistical activities applicable to packed goods.The scope of the documentation and of the incoming-audit system shall correspond to that of the (less extensive) processing level.
2.1
2.1.1 2.1.1.1
HACCP (based on the Codex Alimentarius CA)

HACCP system The basis of the companys food safety control system shall be a fully implemented, systematic and comprehensive HACCP system, based upon the Codex Alimentarius principles. It shall take into account any legal requirements of the production and destination countries which may go beyond such principles. The HACCP system shall be implemented at each market/site. The HACCP concept consider the circumstances of the market.
IFS, February 2010
46
2.1.1.2
The HACCP system shall cover all raw materials, products or product groups as well as every process from goods in to dispatch, including product development and product packaging. The company shall ensure that the HACCP system is based upon scientific literature, or technical verified specifications relating to the manufactured products and procedures. This shall be maintained in line with new technical process development. Assemble HACCP team (CA Step 1) The HACCP team shall have strong senior management support and shall be well known and established across the whole company. The HACCP team shall be multidisciplinary and include operational staff. Personnel appointed as HACCP team members shall have specific knowledge of HACCP product and proc, ess knowledge and the associated hazards. Where competent knowledge is not available, external expert advice shall be obtained. HACCP analysis Describe product (CA Step 2) A full description of the product including all relevant information on product safety exists such as: composition physical, organoleptic, chemical and microbiological parameters methods of treatment packaging durability (shelf life) conditions for storage and method of transport.
2.1.1.3
2.1.2 2.1.2.1
2.1.2.2
2.1.2.3
2.1.3 2.1.3.1
2.1.3.2
Identify intended use (CA Step 3) The intended use of the product shall be described as seen from the expected use of the product by the end consumer, taking into account vulnerable groups of consumers. Construct flow diagram (CA Step 4) A flow diagram shall exist for each product, or product group, and for all variations of the processes and sub-processes. The flow diagram shall be dated, updated and clearly identify each CCP with the number assigned to it.
IFS, February 2010
2.1.3.3
47
2.1.3.4
On-site confirmation of the flow diagram (CA Step 5) The HACCP team shall review the processes at all operation stages against the flow diagram. Amendments of the diagram will be made, where appropriate. Conduct a hazard analysis for each step (CA Step 6 Principle 1) A hazard analysis shall be available of all physical, chemical and biological hazards that may reasonably be expected. The hazard analysis shall consider the likelihood of harm to the consumer and the potential severity of damage (effect, potential consequences). For all steps, which are not defined as CCPs but as CPs, the company shall implement, maintain, monitor and document specific preventive measures.. Determine critical control points (CA Step 7 Principle 2) Relevant Critical Control Points (CCPs) shall be determined, to which control can be applied directly in order to prevent, eliminate or reduce a food safety hazard to acceptable level(s). Establish critical limits for each CCP (CA Step 8 Principle 3) For each CCP the appropriate critical limits shall be defined , and validated, in order to clearly identify when a process is out of control. KO: Establish a monitoring system for each CCP (CA Step 9 Principle 4) Specific monitoring procedures shall be established for each CCP to detect any loss of control at that CCP Records of . monitoring shall be maintained for a relevant period. Each defined CCPs shall be under control. Monitoring and control respectively of each CCP shall be demonstrated by records. The respective records shall specify the responsible person as well as the date and result. Establish corrective actions (CA Step 10 Principle 5) For each CCP corrective actions shall be established. In case , the monitoring indicates that a particular CCP is not under control, adequate corrective actions shall be taken and documented. Such corrective actions shall also take into account any non-conforming products.
2.1.3.5
2.1.3.5.1
2.1.3.5.2
2.1.3.6
2.1.3.7
2.1.3.8
2.1.3.9
IFS, February 2010
48
2.1.3.10
Establish verification procedures (CA Step 11 Principle 6) Procedures of verification shall be established to confirm that the HACCP system is efficient. Verification of the HACCP system shall be performed at least once a year. Examples of verification activities include: internal audits analysis sampling evaluations complaint by authorities and customers. The results of this verification shall be incorporated into the HACCP system.
2.1.3.11
Establish documentation and record keeping (CA Step 12 Principle 7) Documentation shall be available, covering all processes, procedures, measures and records. Documentation and record keeping shall be appropriate to the nature and size of the company.
2.2
2.2.1
Documentation requirements
The quality system for quality assurance and food safety shall be documented and implemented, and shall be retained in one location. A documented procedure shall exist for the control of documents and their amendments. All documents shall be clearly legible, unambiguous and comprehensive. They shall be available to relevant personnel at all times. All documents which are necessary for compliance with the product requirements shall be available in their latest version. The reason for any amendments to documents, critical for the product requirements shall be recorded.
2.2.2 2.2.3
2.2.4
2.2.5
2.3
2.3.1
Record keeping
All relevant records, necessary for the product requirements shall be complete, detailed and maintained and shall be available on request.
IFS, February 2010
49
2.3.2
Records shall be legible and genuine. They shall be maintained in a way that subsequent manipulation of records is prohibited. All records shall be kept in accordance with legal requirements. If those are not specified, records shall be kept for the duration of the shelf life, to make verification possible. For products which have a very short or no shelf life, record keeping shall be based on a hazard analysis. Any amendments to records shall only be carried out by authorised persons.
2.3.3
2.3.4
3
3.1
3.1.1
Resource Management
Human resources management
All personnel performing work that affects product safety, legality and quality shall have the required competence by education, work experience and/or training.
3.2
3.2.1
Human resources
Personnel hygiene On the basis of the hazard analysis, the hygiene concepts can be distinctly presented in terms of activity and area of work. There shall be documented requirements relating to personnel hygiene. These include, as a minimum the following fields: hand washing and disinfection eating and drinking smoking actions to be taken in case of cuts or skin abrasions fingernails and jewellery hair and beards. The requirements shall be based on a hazard analysis in relation to product and process.
3.2.1.1
3.2.1.2
KO:The requirements for personnel hygiene shall be in place and applied by all relevant personnel, contractors and visitors. Compliance with the requirements shall be checked regularly.
IFS, February 2010
50
3.2.1.3
Visible jewellery (incl. piercing) and watches shall not be worn. Any exceptions shall have been comprehensively evaluated by hazard analysis in relation to product and process. Cuts and skin abrasions shall be covered by a coloured plaster (different from the product colour) containing a metal strip, where appropriate and in case of hand injuries, in addition to a plaster, a single use glove shall be worn. Protective clothing for personnel, contractors and visitors Company procedures shall exist to ensure that all personnel, contractors and visitors are aware of the rules regarding the management of wearing and changing of protective clothing in specified work areas in accordance with product requirements. In work areas where wearing headgear and/or beard snood is required, the hair shall be covered completely so that product contamination is prevented. Clearly defined usage rules shall exist for work areas where it is required to wear gloves (coloured differently from the product colour). Compliance with these rules shall be checked on a regular basis. Suitable protective clothing shall be available in sufficient numbers for each employee. All protective clothing shall be thoroughly and regularly laundered. In accordance with a process and product hazard analysis, the clothing shall be washed by a contract laundry, on-site laundry or by the employee. Guidelines shall exist for laundering of protective clothing and a procedure shall be in place for checking its cleanliness. Procedures applicable to infectious diseases There shall be written and communicated procedures for personnel, contractors and visitors for actions to be taken in the case of an infectious disease or the suspicion thereof. Particular consideration shall be taken in these areas where product safety may be compromised.
3.2.1.4
3.2.2 3.2.2.1
3.2.2.2
3.2.2.3
3.2.2.4 3.2.2.5
3.2.2.6
3.2.3 3.2.3.1
IFS, February 2010
51
3.3
Training
In the training concept the differentiated consideration of the risks involved in the handling of unpacked goods and in logistical treatment (package goods) shall be demonstrated. The basic training obligation derives from Annex 2 of (EC) Regulation No 852/2004 on the hygiene of foodstuffs. Moreover the statutory training requirements for the handling of readily perishable products apply.
3.3.1
The company shall put in place documented training programs in respect of the product requirements and the training needs of the employees.These programs shall include: training contents training frequency list of participants languages qualified trainer/tutor.
3.3.2
Those responsible for the development and maintenance of HACCP system shall have received adequate training in the application of the HACCP principles. The documented training programs shall apply to all personnel, including seasonal and temporary workers, employed in the respective work area. Upon employment, and before commencing work, they shall be trained in accordance with the documented training programs. Records shall be available of all performed training events, stating: list of participants incl. signature date duration contents of training name of trainer/tutor.
3.3.3
3.3.4
3.3.5
The contents of training shall be reviewed and updated regularly and take into account companys specific issues (nonconformities, failures), food safety and food related legal requirements.
IFS, February 2010
52
3.4
3.4.1
Sanitary facilities, equipment for personnel hygiene and staff facilities

The company shall provide staff facilities, which shall be proportional in size and equipped for the number of personnel. Such facilities shall be kept in clean and good condition. The risk of product contamination by foreign bodies from staff facilities shall be evaluated and minimised. Consideration shall also be given to food brought to work by personnel and personal belongings. The company shall provide suitable changing rooms for personnel, contractors and visitors. Where necessary outdoor clothing and protective clothing shall be stored separately. Staff facilities shall be equipped with toilets, which shall not have direct access to an area where food products are handled. There shall be at least one dedicated washroom separating both areas. Adequate hand hygiene facilities shall be provided at access points to and within production areas, as well as at staff facilities. Based on a hazard analysis, further areas (e.g. packaging area) shall be similarly equipped. Such hand hygiene facilities shall provide as a minimum: running cold and hot water liquid soap single use towels.
3.4.2
3.4.3
3.4.4
3.4.5
3.4.6
3.4.7
Where highly perishable food products are handled, the following additional requirements regarding hand hygiene shall also be provided: hand contact-free fittings hand disinfection approved hygiene equipments signs/pictograms.
3.4.8
Changing rooms shall be arranged so that they allow direct access to the areas where food products are handled. Exceptions shall have been considered within the hazard analysis. Where appropriate, cleaning facilities for boots, shoes and further protective clothing shall be available.
IFS, February 2010
53
Production Process
The requirements 4.1, 4.2, 4.3 and 4.5 apply only for areas where naked goods are handled.
4.1
Contract review
For cash & carry markets, conclusion of contract usually takes place at the time at which the customer makes the purchase on-site, or at the time of delivery. Checking of the contract occurs at the same time. In such cases concrete instructions for contract review cannot be applied (shall be justified during the audit).
4.1.1
All customer requirements relating to the products, their realisation and delivery shall have been defined and understood before a written supply agreement is concluded. The company shall review whether all aspects of customers requirements have been satisfied. There shall be records showing how changes to the existing contractual agreements are agreed and communicated.
4.1.2
4.2
Product specifications
In the fresh-food areas of the cash & carry markets self-service, the personnel shall be able to provide information on the specifications. In the dry areas where only end products are handled, specifications for raw materials and semi-finished products are generally not required. As long as no processing of products takes place, and therefore no recipe is needed, these requirements do not apply (N/A, shall be justified).
4.2.1
Specifications shall be available for all final products and, if necessary (e.g. retail brand) be agreed upon in writing with customers.The specifications shall be up to date, unambiguous, available and always in conformance with legal requirements. KO: Specifications shall be available and in place for all raw materials (raw materials/ingredients, additives, packaging materials, rework). The specifications shall be up to date, unambiguous, available and always in conformance with legal requirements. KO: The recipe mentioned in the customer finished product specification shall be complied with. Specifications and/or their contents are provided in the relevant areas and accessible to all relevant personnel.
4.2.2
4.2.3 4.2.4
IFS, February 2010
54
4.2.5
There shall be a procedure for the amendment and approval of specifications for all parts of the process.
4.3
Product development
Product development does not normally apply to the handling of products (NA, shall be justified).
4.3.1
A procedure for product development shall be in place which incorporates the hazard analysis principles, in accordance with the HACCP system. Product formulation, manufacturing processes and the fulfilment of product requirements shall have been ensured by factory trials and product testing. Shelf life tests shall be carried out taking into account product formulation, packaging, manufacturing and storage conditions. Use by or Best before dates shall be established accordingly. The company shall conduct appropriate studies and tests in order to investigate compliance with microbiological criteria within the shelf life. Recommendations for preparation and/or use of the food products shall be established. If appropriate, customer requirements shall be included. The progress and results of product development shall be properly recorded. Product development shall consider the results of organoleptic assessments.
4.3.2
4.3.3
4.3.4
4.3.5
4.3.6 4.3.7
4.4
Purchasing
For cash & carry markets, purchasing takes place primarily via purchasing organizations of the company. Manufacturers who deliver goods to the purchasing organizations are considered as suppliers in the scope of IFS.The requirements of the IFS shall be seen in the context of the stepwise accountability of the market. The criteria for selection of suppliers depend on the quality policy of the given company (e.g. as regards the requirements specified for certification).
4.4.1 4.4.2
Purchased products and services shall conform to current specifications and contractual agreements. There shall be records to identify which product is sourced from which supplier.
IFS, February 2010
55
4.4.3
There shall be a procedure for approval and monitoring of suppliers (internal and external), outsourced production or part of it. The approval and monitoring procedure shall contain clear assessment criteria such as: audits, certificates of analysis, supplier reliability and complaints, as well as required performance standards based on a hazard analysis. The results of suppliers assessments shall be reviewed regularly.There shall be records of the reviews and of the actions taken as a consequence of assessment. The purchased products and services shall be checked in accordance with the existing specifications. The schedule of these checks shall take into account the product requirements, supplier status and the impact of raw materials on the finished product.
4.4.4
4.4.5
4.4.6
4.5
4.5.1 4.5.2 4.5.3
Product packaging
All packaging shall comply with the current relevant legislation. Detailed specifications shall exist for all packaging materials. Certificates of conformity or evidence shall exist for all packaging in direct contact with food to demonstrate that they are suitable for use. This applies for packaging in direct contact with raw materials, semi-processed and finished products. This includes containers, conveyor belts in production areas for semi-processed products. All packaging or packaging equipments shall be suitable for its intended use and shall have been tested for possible contamination and hazards (interactions) towards products and consumers. Adequate up-to-date test reports shall exist. Based on a hazard analysis, the company shall verify the capability of the packaging material for each relevant product (e.g. organoleptic tests, storage tests, chemical analysis). Where packaging materials (e.g. glass) pose a risk to the product, special procedures shall be in place to avoid product contamination. A system shall be in place to ensure storage and handling of packaging materials and packaging equipments both inside and outside of the production areas, in order to minimise the risk of contamination (interaction/correlation).
4.5.4
4.5.5
4.5.6
4.5.7
IFS, February 2010
56
4.5.8
The conformity of the product with its labelling shall be reviewed each time before a new label is issued for use. Such review shall take into account the product requirements and particular relevant legislation in the designated countries, where the product is to be marketed. The conformity of the product with its labelling shall be continuously ensured during the production process.
4.5.9
4.6
Factory environment standards

By application of the requirements it has to be taken into consideration if the safety and quality of the products can be affected.
4.6.1 4.6.1.1
Choice of location The company shall investigate to what extent the factory environment (e.g. ground, air) may have an adverse impact on product safety and product quality. In each case, appropriate measures shall be established. The efficiency of the established measures shall be periodically reviewed (examples: extremely dusty air, strong smells). Exteriors The factory exterior shall be sustainable maintained clean and tidy.The external condition of the premises shall be considered within the internal audit process. All grounds within the site/market shall be in good condition. Where natural drainage is inadequate, a suitable drainage system shall be installed. Outdoor storage shall be kept to a minimum. Where goods are stored outside, a hazard analysis shall be undertaken to ensure that there is no risk of contamination or adverse effect on safety or quality. The production and storage areas of the site/market shall be secured effectively by controlled access in order to prevent unauthorised entry. Plant layout and process flows The process flow, from receipt of goods to dispatch, shall be organised so that a contamination of raw materials, packaging, semi-processed and finished products is avoided. The risk of cross-contamination shall be minimised through effective measures.
IFS, February 2010
4.6.2 4.6.2.1
4.6.2.2
4.6.2.3
4.6.2.4
4.6.3 4.6.3.1
57
4.6.3.2
Segregation of processes shall take into account internal flows (of product, waste, materials, plant and equipment, personnel, water) and provided services. A plan shall be available which clearly defines these flows. Where production areas are identified as microbiologically sensitive (e.g. clean room technology), a positive pressure system shall be installed. Measurement of micro-organisms shall be performed at regular intervals. The system of working shall, where appropriate, be such to reduce any potential physical, chemical or microbiological contamination risk. Location of laboratories at the factory shall not affect product safety. The cleaning of production tools shall be carried out at specific locations or specific time periods separated from the production process. If this is not possible, these operations shall be controlled as to not affect the product. Buildings and facilities Constructional requirements Rooms where food products are prepared, treated, processed and stored shall be designed and constructed, so that food hygiene is ensured. Walls and partition walls Walls shall be designed and constructed to prevent the accumulation of dirt, to reduce condensation and mould growth, and to facilitate cleaning. The surfaces of walls shall be in a good condition and shall facilitate cleaning and if necessary disinfection.They shall be impervious, water-repellent and wear-resistant. The junctions between walls and floors and corners respectively shall be designed to facilitate cleaning. Floors Floors shall be designed to meet production requirements (e.g. mechanical loads, cleaning materials, temperatures). The floor covering shall be in good condition and shall facilitate cleaning and disinfection, where required. They shall be impervious, water-repellent and wear-resistant.
4.6.3.3
4.6.3.4
4.6.3.5 4.6.3.6
4.6.4 4.6.4.1 4.6.4.1.1
4.6.4.2 4.6.4.2.1
4.6.4.2.2
4.6.4.2.3
4.6.4.3 4.6.4.3.1 4.6.4.3.2
IFS, February 2010
58
4.6.4.3.3
The hygienic disposal of waste water shall be ensured. Drainage systems shall be designed to facilitate cleaning and to minimise the risk of product contamination (e.g. adverse impact, ingress of pests, etc.). Floors shall have adequate falls so that water or other liquids can reach the drainage without difficulty. Machinery and piping shall be arranged so that, where possible, process waste water goes directly into a drain. Ceilings/Overheads Ceilings (or, where no ceilings are fitted, the undersides of roofs) and overhead fixtures (incl. piping, cables, lamps) shall be designed and constructed to minimise the accumulation of dirt, the detachment of paints of material, condensation and mould growth. Ceilings and overheads shall be designed to facilitate cleaning and prevent product contamination. Where false ceilings are used, adequate access to the void shall be provided to facilitate cleaning, maintenance of services and inspection for pest control. Windows and other openings Windows and other openings shall be designed and constructed to avoid the accumulation of dirt. If windows may result in contamination, windows and roof glazing shall remain closed and fixed during production. Where windows and roof glazing are designed to be opened for ventilation purposes, they shall be sealed by easy removable pest fences or other measures in order to avoid any contamination. In areas where unpacked product is handled, windows shall be protected against breakage. Doors Doors shall be in good condition (e.g. no splintering parts or flaking paints, no corrosion) and easy to clean and disinfect, where appropriate. External doors which open to handling of raw material, processing, packaging and storage areas shall be self-closing and designed to prevent the ingress of pests.
IFS, February 2010
4.6.4.3.4 4.6.4.3.5
4.6.4.4 4.6.4.4.1
4.6.4.4.2
4.6.4.5 4.6.4.5.1 4.6.4.5.2 4.6.4.5.3
4.6.4.5.4
4.6.4.6 4.6.4.6.1
4.6.4.6.2
59
4.6.4.6.3
Doors and gates which are used to separate productions areas shall be kept closed. Lighting All working areas shall have adequate lighting. All lighting equipment and electric fly killer units shall be protected by shatterproof coating (splinter shields). The factory areas where this clause applies are, as a minimum: handling of unpackaged products, packaging and raw material storage, raw materials handling changing rooms. This does not preclude that other areas cannot have protected lighting equipment or electric fly killer units.
4.6.4.7 4.6.4.7.1 4.6.4.7.2
4.6.4.8 4.6.4.8.1 4.6.4.8.2
Air conditioning/Ventilation Adequate natural and/or artificial ventilation shall exist in all areas. Ventilation systems shall be installed so that filters and other components which require cleaning or replacement are easily accessible. The use of air in the production (e.g. compressed air supply) shall avoid contamination and be based on a process and product hazard analysis. Dust extraction equipment shall be installed in areas where considerable amounts of dust are generated. (Drinking) Water supply Water which is used as ingredient in the production process, or for cleaning, shall be potable water and supplied in sufficient quantity. Recycled water which is used in the process shall not pose a contamination risk. The water shall comply with applicable legal requirements for drinking water. Related records of testing shall be available. The quality of water, steam or ice that comes in contact with food shall be monitored at all dispensing stations on a risk assessed sampling plan.
4.6.4.8.3
4.6.4.8.4
4.6.4.9 4.6.4.9.1
4.6.4.9.2
4.6.4.9.3
IFS, February 2010
60
4.6.4.9.4
Non potable water, which is used e.g. for fire fighting, steam generation, cooling or similar purposes, shall be transported in separate, properly marked piping. Such piping shall neither be connected to the drinking water system, nor shall a possibility of reflux to that system exist.
4.7
4.7.1
Housekeeping and hygiene

Cleaning and disinfection schedules, based on a hazard analysis shall be available and implemented. These shall specify: responsibilities the products used and their instructions for use the areas to be cleaned and/or disinfected objectives cleaning frequency documentation requirements hazard symbols (if necessary). Where external service providers are employed for cleaning and disinfection, they shall fulfil all the above requirements.
4.7.2
Only qualified personnel shall be used for cleaning. The personnel shall be trained on a regular basis to carry out the cleaning schedules. The effectiveness of the cleaning and disinfection measures, based on a hazard analysis, shall be verified and documented according to a sampling schedule by using appropriate procedures. Resultant corrective actions shall be documented. The cleaning and disinfection measures shall be validated according to any changing circumstances (e.g. construction work, new products, new machines, changes of climate etc.). Where necessary, the cleaning and disinfection schedules shall be adapted. Current material safety data sheets (MSDS) and instructions for use shall be available for chemicals and cleaning agents. Personnel responsible for cleaning shall be able to demonstrate their knowledge of such instructions, which shall be always available on site/market. Cleaning utensils and chemicals shall be clearly marked and stored in a segregated area, to avoid contamination risk.
IFS, February 2010
4.7.3
4.7.4
4.7.5
4.7.6
61
4.7.7
Appropriate storage facilities shall be available for the control and storage of chemicals needed for the manufacture and treatment of food products. Chemicals shall only be handled by personnel trained in their use.
4.8
4.8.1 4.8.2
Waste/Waste disposal
All current legal requirements for waste disposal shall be met. Food waste and other waste shall be removed as quickly as possible from areas where food is handled. The accumulation of waste shall be avoided. Waste collection containers shall be clearly marked, suitably designed, in good state of repair, easy to clean, and where necessary disinfected. Waste collection rooms and containers (incl. compactors) shall be designed to be kept clean to minimise animal and pest attraction. Waste shall be collected in separate containers in accordance with the intended means of disposal. Such waste shall be disposed by authorised third parties only. Records of waste disposal shall be kept by the company.
4.8.3
4.8.4
4.8.5
4.9
Risk of foreign bodies, metal, broken glass and wood

In the dry areas (storage of package products), there are usually no risks linked to foreign bodies. In areas with unpacked goods, practices for minimising risks shall be implemented in accordance with the IFS requirements. Special attention shall be paid to risks linked to breakage of glass.
4.9.1
KO: Based on a hazard analysis, potential foreign body sources (e.g. raw material, packaging material, packaging aids, in-house tools, machine components etc.) shall be identified. Procedures shall be in place which shall avoid the contamination with foreign bodies. Contaminated products shall be treated as non-conforming products. In all areas, e.g. handling of raw material, processing, packing and storage, where a hazard analysis has identified the potential for product contamination, the use of wood shall be excluded.
4.9.2
IFS, February 2010
62
4.9.3
Where the use of wood cannot be avoided, but the risk is managed, the wood shall be in good order and clean. The condition of this wood shall be subject to regular verification. The need for metal and foreign body detection equipment shall be established by hazard analysis. Where metal and/or foreign body detectors are required, they shall be installed so that any subsequent product contamination is avoided, as far as possible. The detection shall not be affected by interferences. Contaminated products (including raw materials, semi-processed and finished products) shall be isolated and treated as non-conforming products. Access to these products and actions for further handling or checking shall be carried out only by authorised personnel. Only where an automatic rejection process is technically not possible (e.g. large trading units) will an automatic line stop be accepted. The accuracy of measurement of the detectors shall be specified. Qualified personnel shall regularly check the proper operation of detectors. In case of defect or failure of a metal and/or foreign body detector, corrective actions shall be implemented, documented and verified. Any filters and sieves used for metal and/or foreign body detection shall be regularly inspected and properly maintained. In all areas, e.g. handling of raw material, processing, packing and storage, where a hazard analysis has identified a potential product contamination, the presence of glass shall be excluded. Where the presence of glass cannot be avoided, but the risk is managed, it shall be protected against breakage. All objects of glass or similar material present in areas of handling of raw material, processing, packing and storage shall be listed in a glass register including details of their exact location. A comparison between the glass register and the condition of such objects shall be regularly performed and recorded. In areas with unpacked goods, all glass breakages shall be recorded. Exceptions shall be justified at the hazard analysis. Procedures shall be in place describing the measures to be taken in case of breakage of glass, including glass packaging and similar material. Such measures shall include identifying the scope of goods to be isolated, specifying authorised personnel, cleaning the production environment and releasing the production line for continued production.
IFS, February 2010
4.9.4 4.9.5
4.9.6
4.9.7
4.9.8
4.9.9
4.9.10 4.9.11
4.9.12 4.9.13
63
4.9.14
Based on a hazard analysis, preventive measures shall be in place for handling of glass packaging, glass containers or other kinds of containers in the production process (turn over, blow, rinse etc.). After this process step no further contamination shall be allowed.
4.10
4.10.1
Pest monitoring/Pest control

The company shall have pest control in place taking into account, as a minimum: the factory environment (potential pests) site plan with area for application (bait map) identification of the baits on-site responsibilities, in-house/external used products/agents and their instructions for use and safety the frequency of inspections.
4.10.2
The company shall have qualified and trained in-house staff, and/or employ the services of a qualified external provider. Where an external provider is used the activities required on-site shall be laid down in a written contract. Following pest control inspections, any actions and resulting recommendations shall be documented and storage, including the date. Sufficient numbers of operational electric fly killers shall be provided and positioned correctly. There shall be no risk of contamination to open production lines. Incoming deliveries shall be checked on arrival for the absence of pests. Any infestation shall be documented and control measures taken. Raw materials, packaging, semi-processed and finished products shall be stored so as to minimise the risk of pest infestation. Where stored product and/or machines may attract pests, appropriate measures shall be taken.
4.10.3
4.10.4
4.10.5
4.10.6
4.11
4.11.1
Receipt of goods and storage

Raw materials, semi-processed and finished products, as well as packaging, shall be checked against the specifications on receipt and in accordance with determined inspection plan. All results shall be documented.
IFS, February 2010
64
4.11.2
Goods in documents and/or product labels shall contain information on the appropriate storage (e.g. refrigeration temperature). The storage conditions of raw materials, semi-processed and finished products as well as packaging shall in each case correspond to product requirements (e.g. refrigeration, protective covers) and shall not be detrimental to other products. Each item in storage shall be clearly identified, and the First In/First Out and/or First Expired/First Out principles shall be applied. Where a company hires a third-party storage service provider, all the requirements specified in section 4.11 shall be clearly defined in the respective contract or the service provider shall subject to IFS Logistic requirements.
4.11.3
4.11.4
4.11.5
4.12
Transport
If the cash & carry markets are also responsible for the delivery of finished products, the transport requirements shall apply. If no transport service is undertaken, such requirements are not applicable (N/A, shall be justified).
4.12.1
Before loading transport vehicles, their condition (e.g. absence of strange smells, high dust load, adverse humidity, pests, mould) shall be checked and action taken, if necessary. Where goods must be transported at certain temperatures, before loading, the temperature inside the vehicle shall be checked and documented. Procedures to prevent contamination during transport shall be implemented (food/ non-food/ different categories of goods). Where goods must be transported at certain temperatures, maintaining the adequate range of temperatures during transport shall be ensured and documented. A cleaning and, where appropriate, disinfection schedule shall exist for all transport vehicles and equipment used for loading/unloading (e.g. hoses of silo installations). There shall be records of the measures taken. Loading and unloading ramps shall have in place protection devices to shelter the transported products from external influences (e.g. climate, pollen).
IFS, February 2010
4.12.2
4.12.3
4.12.4
4.12.5
4.12.6
65
4.12.7
Where a company hires a third-party transport service provider, all the requirements specified within section 4.12 shall be clearly defined in the respective contract or the service provider shall subject to IFS Logistic requirements.
4.13
4.13.1
Maintenance and repair

A system of maintenance shall be in place, documented, covering all critical equipment (incl. transport) for compliance with product requirements. This applies both for internal and external maintenance work. Product requirements and prevention of contamination shall be ensured during maintenance and repair work. Records shall be kept of maintenance and repair work and of corrective actions taken. All material used for maintenance and repair shall be fit for the intended use (e.g. food-grade oils, non-toxic paints). Failures of plant and equipment (incl. transport) covered by the maintenance system shall be documented and reviewed with a view to adapting the maintenance system. Temporary repairs shall be carried out so that product requirements are not affected. Such work shall be documented and a short-term deadline set for eliminating the fault.
4.13.2
4.13.3 4.13.4
4.13.5
4.14
4.14.1
Equipments
Equipments shall be suitably designed and specified for the intended use. Before commissioning, it shall be verified that the product requirements are complied with. Equipments shall be designed and arranged so that cleaning and maintenance operations on and located around the installations can be effectively performed. In the case of plant or equipment failures and/or process deviations, appropriate procedures shall be in place to ensure that, prior to release for production, product requirements are complied with.
4.14.2
4.14.3
4.15
Process validation
As long as no processing of raw materials takes place, and no rework in accordance with specific recipes, the requirements about process validation are not applicable (N/A, shall be justified).
IFS, February 2010
66
4.15.1
The company shall ensure that in the event of changes to product formulation, including rework, processing methods and equipment or packaging, that the process characteristics are reviewed in order to assure that product requirements are complied with. All rework operations shall be validated, monitored and documented. These operations shall not affect the product requirements.
4.15.2
4.16
Traceability (including GMOs and allergens)

For cash & carry markets, traceability to the customer shall be ensured. The traceability does not need to be specific down to the batch details. The company shall, however, explain reasonably the connection between the incoming goods and the goods delivered to the customer. This shall remain verifiable.
4.16.1
KO: A traceability system shall be in place which enables the identification of product lots and their relation to batches of raw materials, packaging in direct contact with food, packaging intended or expected to be in direct contact with food. The traceability system shall incorporate all relevant processing and distribution records. The traceability system shall be tested, documented and, where appropriate, adapted at defined intervals to verify traceability in both directions of flow (from delivered products to raw material, and vice versa), including quantity checking. Traceability shall be ensured at all stages, including work in progress, post treatment and rework. The lot labelling rather labelling of best-before-date of semifinished products or finished products, to ensure a clear traceability of goods, shall be made at the time when the goods are directly packed. Where goods are labelled at a later time, the temporarily stored goods shall have been provided with a specific lot labelling. The shelf life (e.g. best before date) of the labelled goods shall be calculated from the original production date.
4.16.2
4.16.3 4.16.4
4.17
4.17.1
Genetically modified organisms (GMOs)

The company shall have in place systems and procedures to allow the identification of products consisting of GMOs, containing GMOs or produced from GMOs, including food ingredients, additives and flavouring(s).
IFS, February 2010
67
4.17.2
Raw material specifications and delivery documents identifying products consisting of, being made from, or containing GMOs shall be available. The guarantees concerning the GMO status of the raw materials shall be agreed by contract with the supplier.The company shall maintain a continuously updated listing of all GMO raw materials used at its premises, which also identifies all blends and formulas to which such GMO raw materials are added. There shall be adequate procedures to ensure that products consisting of or containing GMOs are manufactured, so that contamination of non-GMO products is prevented. Adequate control measures shall be in place to prevent GMO cross contamination. The effectiveness of these procedures shall be monitored by random testing. Finished products containing GMOs shall be declared in accordance with current legal requirements. Delivery documents shall include the corresponding reference to GMOs. Customer requirements concerning the GMO status of products shall be clearly implemented by the company.
4.17.3
4.17.4
4.17.5
4.18
Allergens and specific conditions of production

In those fields where packed products are handled, no risks associated with carry-overs of allergens need be anticipated. For the handling of open goods, there can be a risk of cross contamination of allergens from an area to another (e.g. bread, cakes and pastries with sesame seeds).
4.18.1
Raw material specifications identifying allergens requiring declaration shall be available. The company shall maintain a continuously up to date listing of all raw materials containing allergens used at its premises, which also identifies all blends and formulas to which such raw materials containing allergens are added. The manufacturing of products which contain allergens requiring declaration shall be carried out so that cross contamination is minimised, as far as possible. Finished products containing allergens requiring declaration shall be declared in accordance with current legal requirements. For the adventitious presence, the labelling of legally declared allergens and traces shall be based on a hazard analysis. Where customers specifically require that products are free from certain substances or ingredients (e.g. pork), or that certain methods of treatment or production are excluded, verifiable procedures shall be in place.
4.18.2
4.18.3
4.18.4
IFS, February 2010
68
5
5.1
5.1.1
Measurements, Analysis, Improvements

Internal audits
KO: Internal audits shall be conducted according to an agreed plan. Scope (including outdoor areas) and frequency shall be determined by hazard analysis. Internal audits shall be carried out at least once a year in all departments. The auditors shall be competent and independent from the audited department. Audit results shall be communicated to responsible persons of concerned department. Necessary corrective actions and a schedule for implementation shall be determined and documented and communicated to every relevant person. It shall be documented, how and when the corrective actions resulting from the internal audits shall be verified. The audit results shall be communicated to the senior management.
5.1.2 5.1.3 5.1.4
5.1.5 5.1.6
5.2
5.2.1
Site factory inspections

Regular factory inspections shall be planned and carried out (e.g. product control, hygiene, foreign body hazards, personnel hygiene and housekeeping). Any deviation and the associated corrective actions shall be documented.
5.2.2
5.3
Process control
In view of respect of the cold chain, those requirements are particularly relevant
5.3.1
In circumstances where the control of process and working environment parameters (temperature, time, pressure, chemical properties etc.) is essential to ensure the product requirements, such parameters shall be monitored and recorded continuously and/or at appropriate intervals. There shall be appropriate procedures for notification, recording and monitoring of malfunction and deviations.
IFS, February 2010
5.3.2
69
5.4
Calibration and checking of measuring and monitoring devices

In view of respect of the cold chain, those requirements are particularly relevant
5.4.1
The company shall identify the measuring and monitoring devices required to ensure compliance with product requirements. These devices shall be recorded on a document and clearly identified. All measuring devices shall be checked under a monitoring system at specified intervals and in accordance with defined standards/methods. The results of the checks shall be documented and corrective actions carried out, where necessary. All measuring devices shall be used exclusively for their defined purpose. Where the results of measurements indicate a deviation or damage, the device in question shall be immediately repaired or replaced. The calibration status of the measuring devices shall be clearly identified (labelling at the machine or on a list of test devices).
5.4.2
5.4.3
5.4.4
5.5
5.5.1
Quantity checking (quantity control/filling quantities)

The frequency and methodology of quantity checking shall be determined so that the legal requirements for nominal quantity are met. For purchased, already pre-packed products from third parties, there shall be evidence about the compliance with the legal requirements for nominal quantity. All equipment used for quantity measurement shall be calibrated regularly. All equipment used for final checking shall be legally approved and regularly calibrated.
5.5.2
5.5.3
5.6
Product analysis
For handling of packed goods, products analysis are not necessary or are not applicable (N/A, shall be justified). The necessity of products analysis for unpacked goods shall be presented in a hazard analysis.
5.6.1
There shall be procedures ensuring that all specified product requirements are met, including legal requirements and specifications. Microbiological, physical and chemical analysis required for that purpose shall be performed internally and/or subcontracted.
IFS, February 2010
70
5.6.2
Analyses, which are relevant for the food safety, shall be performed by an accredited laboratory (ISO 17025). If the analyses are performed by a factory internal or non accredited laboratory, the results shall be verified on a regular basis by an accredited laboratory. Procedures shall exist which assure the reliability of the internal analysis results on the basis of official recognised analysis methods. This shall be demonstrated by ring tests or other proficiency tests. A test plan shall be drawn up for internal and external analysis, based upon a hazard analysis which covers raw materials, semi-processed and finished products as well as processing equipments and packaging materials, and where necessary environmental tests. The test results shall be documented. The analytical results shall be reviewed regularly. Appropriate measures shall be introduced promptly for any unsatisfactory results. For the performance of internal analysis, qualified and trained personnel shall be available, as well as appropriate equipment and premises. For validation of finished product quality, internal organoleptic tests shall be carried out regularly in accordance with specifications and shall be documented. When establishing and/or validating the shelf life of the product (including long shelf life product i.e. labelled with a best before date), the results of organoleptic tests shall be taken into account.
5.6.3
5.6.4
5.6.5
5.6.6
5.6.7
5.6.8
5.7
5.7.1
Product quarantine and product release

A procedure shall be in place, based on a hazard analysis, for the quarantine and release of all raw materials, semi-processed and finished products, processing equipment and packaging materials. The procedure shall ensure that only products and materials conforming to product requirements are processed and dispatched.
5.8
5.8.1
Management of complaints from authorities and customers

A system shall be in place for the management of product complaints.
IFS, February 2010
71
5.8.2
All complaints shall be assessed by competent staff. Where it is justified, appropriate actions shall be taken, if necessary, immediately. Complaints shall be analysed with a view to implementing preventive actions, which avoid the recurrence of the nonconformity. The results of complaint data analysis shall be made available to the relevant responsible persons and to the senior management.
5.8.3
5.8.4
5.9
5.9.1
Management of incidents, product withdrawal, product recall

A crisis management procedure shall be defined, implemented and maintained. This includes as a minimum the nomination and training of a crisis team, an alert contact list, sources of legal advice (if necessary), contacts reachability, customer information, product withdrawal and/or recall and a communication plan, including information to consumers. KO: There shall be an effective procedure for the withdrawal and recall of all products, which ensure that involved customers are informed, as soon as possible. This procedure shall include a clear assignment of responsibilities. The product withdrawal and recall procedure shall include updated emergency contact details (such as names and phone numbers of suppliers, customers and competent authorities). The feasibility, effectiveness and timeliness of implementation of the withdrawal procedure shall be subject to regular internal testing, based on a hazard analysis but carried out at least once a year. This shall be carried out in a manner to ensure the effective implementation and operation of the procedure.
5.9.2
5.9.3
5.9.4
5.10
5.10.1
Management of non-conforming products

A procedure shall exist for the management of all non-conforming raw materials, semi-finished and finished products, processing equipment and packaging materials. This shall include, as a minimum: isolation/quarantine procedures risk assessment identification (e.g. labelling) decision about the further use (e.g. release, rework/posttreatment, blocking, quarantine, rejection/disposal).
IFS, February 2010
72
5.10.2
The responsibilities shall be clearly identified. The rules of the procedure for the management of non-conforming products shall be understood by all relevant employees. In case of presence of non-conformities there shall be immediate action in order to assure the product requirements are in place.
5.10.3
5.11
5.11.1
Corrective actions
A procedure shall be in place for the recording and analysis of the non-conformities with the objective to avoid recurrences by preventive actions and/or corrective actions. KO: Corrective actions shall be clearly formulated, documented and undertaken, as soon as possible to prevent further occurrence of non-conformity. The responsibilities and the timescales for corrective action shall be clearly defined. The documentation shall be securely stored, and easily accessible. The performance of the implemented corrective actions shall be documented and the effectiveness shall be checked.
5.11.2
5.11.3
IFS, February 2010
73
ANNEX
Glossary
Definitions which are not mentioned within the glossary can be found in relevant regulations and directives. In relation to the terms used within this document, the following definitions apply and shall be respected.
Allergen Food causing an adverse reaction that is mediated by an immunological response. Defined allergens are: Cereals containing gluten (i.e. wheat, rye, barley, oats, spelt, kamut or their hybridised strains) and products thereof Crustaceans and products thereof Eggs and products thereof Fish and products thereof Peanuts and products thereof Soybeans and products thereof Milk and products thereof (including lactose) Nuts i.e. Almond (Amygdalus communis L.), Hazelnut (Corylus avellana), Walnut (Juglans regia), Cashew (Anacardium occidentale), Pecan nut (Carya illinoiesis (Wangenh.) K. Koch), Brazil nut (Bertholletia excelsa), Pistachio nut (Pistacia vera), Macadamia nut and Queensland nut (Macadamia ternifolia) and products thereof Celery and products thereof Lupin and products thereof Molluscs and products thereof Mustard and products thereof Sesame seeds and products thereof Sulphur dioxide and sulphites at concentrations of more than 10 mg/kg or 10 mg/litre expressed as SO2.
Directive 2006/142 EC of 22 December 2006 amending Directive 2000/13/EC as regards indication of ingredients present in foodstuffs (annex IIIa).
Assessor
Person assigned by an accreditation body to perform, alone or as part of an assessment team, an assessment of a Conformity Assessment Body. Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled. Set of operations that establish, under specified conditions, the relationship between values of quantities indicated by a measuring instrument or measuring system, or values represented by a material measure or a reference material, and the corresponding values realised by standards. Cash and carry wholesaler, also described as Cash and carry company or self-service wholesaling, is an organisational form of wholesaling.The buyer must pay in cash and assemble the goods (picking) and take care of their transport.The customers of Cash and carry wholesaling are usually limited to resellers, industrial, commercial or other professional users and institutions, which can be guaranteed by entering the customer in a customer database and issuing the necessary loyalty card that allows entry to the Cash and carry market.
Audit
Calibration
Cash & Carry
IFS, February 2010
74
CCP Critical Control Point Company Contamination
A step at which control can be applied and is essential to prevent or eliminate a food safety hazard or reduce it to an acceptable level. General organisation (whereas the site is a unit of the company) Introduction or occurrence of a contaminant in food or food environment. Contamination does include: physical, chemical, biological contamination. Contamination can also mean correlation of packages among themselves. Company Action to eliminate a detected non-conformity or deviation. Action to eliminate the cause of a detected non-conformity or other undesirable situation. Identified by the hazard analysis as essential in order to control the likelihood of introducing or proliferation of food safety hazard in the product and/or the environment. A customer is a business company or person to whom products are sold either as finished product or as a semi finished part of the finished product. Non-compliance with a requirement but there is no impact on food safety related to products and processes. In the IFS, deviations are requirements scored with a B, C or D and KO requirements scored with a B. The ultimate consumer of a foodstuff who will not use the food as part of any food business operation or activity. Factory inspection covers specific subjects and can be carried out by any appropriate person.That means regular visits in any areas, for any purposes, to check the conformity (hygiene, pest control, product control, fabrication, foreign body hazards, surrounding control etc.). Assurance that food will not cause harm to the consumer when it is prepared and/or eaten according to its intended use. General process of audit, for all the activity of the company. Conducted by or on behalf of the company for internal purposes. A systematic representation of the sequence of steps or operations used in the production or manufacture of a particular food item. An organism, with the exception of human beings, in which the genetic material has been modified otherwise than natural multiplication or natural recombination. A system which identifies, evaluates and controls hazards which are significant for food safety. A biological, chemical or physical agent in, or condition of, food with the potential to cause an adverse health effect. The process of collecting and evaluating information on hazards and conditions leading to their presence to decide which are significant for food safety and therefore should be addressed in the HACCP plan. Assessment of the Conformity Assessment Body Head Office.
Corporate Correction Corrective action CP Control point
Customer
Deviation
End consumer Factory inspection (versus Internal audits)
Food safety Internal audit
Flow diagram
GMO
HACCP Hazard Hazard analysis
Head office assessment
IFS, February 2010
75
MSDS (Material Safety Data Sheet)
The safety data sheet information is principally intended for use by professional users and must enable them to take the necessary measures as regards the protection of health, safety and the environment at the place of work.The safety data sheet may be supplied on paper or electronically, provided that the addressee has the necessary means of receiving it. Non-fulfilment of a specified requirement. Non-conformity can be given in non respect of legislation, law, food safety, internal dysfunctions and customer issues. In the IFS, defined non-conformities are Majors and KOs scored with a D. Shall be organised by the certification body, under the IFS trainer responsibility, before the auditor applies for the IFS examinations.The auditor is accompanied by someone from the certification body during the audit in order to evaluate his/her competence. Shall be an audit related to food companies, for an EN 45011 standard/ISO IEC Guide 65 norm. On the application file of the auditor (sent afterwards to the IFS offices), the certification body shall precise the name of the company, audit date and name of the person who evaluated the auditor. Specified way to carry out an activity or process. Procedures shall be implemented and the elaboration of procedures is done by documents or process description (e.g. flowchart). Result of a process or activities transforming inputs into outputs. Products include services. Any measure aimed at achieving the return of a dangerous product that has already been supplied or made available to consumers by the producer or distributor. Product requirement includes: product safety, product quality, product legality, process and specification. Any measure aimed at preventing the distribution, display and offer of a product dangerous to the consumer. Business which sells products directly to the final consumer. A function of the probability of an adverse health effect and the severity of that effect, consequential to a hazard(s) in food. Executive management See definition of product. A unit of the company. Set of interrelated or interacting elements. System is a planed, sustainable structured course of action. Depending on the complexity, documentation is recommended. System includes: documentation, procedure description, control/ monitoring, corrective action, site plan. Ability to trace and follow a food, feed, food-producing animal or substance intended to be, or expected to be incorporated into a food or feed, through all stages of production, processing and distribution. Confirmation through the provision of objective evidences that the requirements for the specific intended use or application have been fulfilled.
Non-conformity
On-site observation
Procedure
Product Product recall
Product requirement Product withdrawal Retailer Risk
Senior management Services Site System
Traceability
Validation
IFS, February 2010
76
Verification Wholesaling
Confirmation through the provision of objective evidences that specified requirements have been fulfilled. Wholesaling as a function exists if market operators procure goods that they do not normally process themselves from manufacturers or other suppliers and sell them to resellers, further processors or business users or to other institutions provided that private households are not involved. Assessment of the Conformity Assessment Body when it is carrying out conformity assessment services within its scope of accreditation.
Witness assessment
IFS, February 2010
77
Part 3: Requirements for Accreditation Bodies, Certification Bodies and Auditors

IFS accreditation and certification process 0 Introduction
IFS certification is a product and process certification scheme. All bodies involved shall comply with the international rules and IFS-specific requirements described in this document. Part 3 of the IFS Standard deals mainly with accreditation bodies, certification bodies and auditors. Chart No 4: The relationships between the parties involved in product and process certifications, and the relevant rules
International Accreditation Forum (IAF) European Accreditation (EA)
Accreditation bodies Accreditation (assessment) Certification bodies Certification (audit)
ISO/IEC 17011
EN 45011 (ISO/IEC Guide 65)
Supplier
Supplier
Supplier
Supplier
1
1.1
Requirements for the Accreditation Bodies

General requirements
The accreditation bodies shall fulfil the requirements of the ISO/IEC 17011 norm Conformity assessment General requirements Accreditation Bodies accrediting conformity assessment bodies and shall have , signed the MLA (Multilateral Agreement) of the EA or IAF .
IFS, February 2010
78
1.2
The training of the accreditation committee (or competent person)
Decisions on accreditation can only be made following a recommendation of a competent person or accreditation committee. The person in charge, or at least one member of the accreditation committee, shall have taken part in an IFS training session (Train the Trainer course) organised by the IFS or shall be able to demonstrate equivalent knowledge level as confirmed by IFS. In case of a committee, the trained person provides the other members of the accreditation committee with the necessary information.This information is based on the main points of the Train the Trainer course with the main emphasis on Part 1 (IFS audit protocol), Part 3 (requirements for accreditation bodies, certification bodies and auditors), Part 4 (audit report, certificate) and the auditors approval process for IFS.
1.3
Competences of the assessor of the accreditation body
The assessor of the accreditation bodies is responsible for the following: accompanying IFS auditors during registered IFS audits (witness assessment), assessing the head office of the certification body (head office assessment) according to the EN 45011/ISO IEC Guide 65 rules and IFS-specific requirements In general, the assessor shall meet EN 45011/ISO IEC Guide 65 and IFS requirements. Furthermore, assessors shall have experience in the food or feed processing industry. Specifically, assessors who accompany IFS auditors during IFS Cash & Carry/Wholesale registered audits shall, at a minimum, have taken part in the IFS Train theTrainer course, or shall be able to demonstrate an equivalent knowledge level as confirmed by IFS.
1.4
Frequency of the assessments of certification bodies
For initial and renewal assessments, a head office assessment and at least one witness assessment shall be performed. During the surveillance of the accreditation cycle: A minimum of one head office assessment a year, A minimum of one witness assessment every 2 years shall take place. Remark: a flexibility of 3 months at the maximum can be allowed for the interval between 2 assessments, according to the accreditation body rules.The accreditation body shall, wherever possible, select two different certification bodys IFS auditors with different scopes for consecutive witness assessments.
IFS, February 2010
79
1.5
Accreditation of an internationally-active certification body
The witness assessments shall cover the typical activities (including international activities and critical locations) of the certification body.
Requirements for the Certification Bodies
Certification bodies intending to perform IFS audits shall comply with the following rules. The prescribed tender procedure for certification bodies is supplied by the IFS.
2.1
EN 45011/ISO IEC Guide 65 IFS accreditation process
The certification body shall be accredited for IFS Food according to EN 45011/ISO IEC Guide 65 by an IAF or EA recognised accreditation body (see section 1.) Certification bodies in the process of IFS Food accreditation to EN 45011/ISO IEC Guide 65 may organise the witness assessment before having achieved accreditation status. They shall demonstrate that they are actively applying for EN 45011/ISO/IEC Guide 65 accreditation.
2.2
Signing of contract with the proprietors of the IFS
After having applied for IFS accreditation to EN 45011/ISO IEC Guide 65, the certification body shall sign the IFS framework agreement in which it commits to meet all the IFS requirements. After having gained IFS accreditation to EN 45011/ISO IEC Guide 65, the certification body shall, in order to be allowed to perform IFS audits and to issue IFS certificates, sign a final contract with the proprietors of the IFS. The certification body is not authorised to perform IFS audits (except the first witness assessment during the accreditation process) and to issue certificates before having signed this contract. The accreditation is to be verified at latest 6 months after the IFS framework agreement has been signed.
2.3
Certification decision
The decision concerning the certification can only be taken following the recommendation of a competent person or a certification committee.The person in charge, or at least one member of the committee who is responsible for assessing the audit reports, shall be an approved IFS Food auditor and/or an IFS Food trainer, and shall be independent of the person who performed the audit. According to EN 45011/ISO IEC Guide 65, the final certification decision shall be taken by the certification body
IFS, February 2010
80
and shall not be subcontracted. The certification decision cannot be taken by a freelancer working for the certification body. If a committee is in charge of the certification decision, at least one of its members shall be directly employed by the certification body, and be either an IFS Food auditor and/or an IFS Food trainer.
2.4
Certification bodies responsibilities for IFS Food trainers and the IFS Food auditors (including freelancers)
To ensure that at least one member of their staff is an IFS trainer who has taken part in an IFS Train the Trainer course; the trainer is responsible for the in-house training of all auditors intending to become IFS auditors or who already are IFS auditors. Persons intending to become IFS trainers shall meet the requirements mentioned in 2.5. To ensure that the auditor is competent for the scope of the audit and its execution. The certification body shall maintain these competences (continuous supervision by the certification body) and shall monitor audit execution by on-site observation. Every auditor shall be monitored by on-site observation at least once every 2 years. To maintain records of auditor competences. To ensure that no auditor has either acted against IFS rules, for example acting as a consultant, or has been active in and/or on behalf of the company being audited during the previous 2 years. That is to say, during the certification process, no other commercial and/or personal relationships are permitted between the auditee and the auditor. To ensure that no auditor shall perform more than 3 consecutive IFS audits of the same company. To ensure that an auditor is employed by only one IFS certification body for performing IFS audits and this for a period of not less than 12 months. In special cases, IFS offices shall be contacted and may allow exceptions. To sign an audit order for each audit, this includes a statement accepting all the above-mentioned requirements. To organise a training session for IFS auditors once a year for the purposes of sharing experience, calibration and updating knowledge of legal requirements, and so on. To perform an on-site observation of an auditor under EN 45011/ ISO IEC Guide 65- related standards to ensure the auditors competence (see glossary) before he/she has applied for the IFS examinations.The certification body shall state the date, the name of the audited company where the on-site observation
IFS, February 2010
Certification bodies have the following responsibilities:
81
took place, and the name of the observer in the IFS examination application file. The minutes of the on-site observation shall be provided on request to the IFS in English, French or German. The trainer is responsible for choosing the right observer for this audit. To include the name of the observer in the audit portal when uploading the audit data, when it has scheduled specific on-site IFS observation(s) according to chapter 4.7 of EN 45011/ISO IEC Guide 65 on internal audits. To be fully cognisant of the examination regulations provided by the IFS offices. The certification body is responsible for choosing an auditor with the corresponding scope(s), language, competence(s), etc. for each IFS audit.
2.5
Specific requirements for IFS Food trainers

audit experience to EN 45011/ISO IEC Guide 65 standards, including IFS Food audits, knowledge of the food sector, knowledge of food legislation, teaching skills, have taken part in a Train theTrainer course organised by the IFS, be fluent in writing and speaking the languages they will use during trainings; they shall inform the IFS offices about the languages they are able to use when teaching.
IFS Food trainers shall have the following profile:
In order to keep his/her knowledge of the IFS up to date, each IFS trainer shall take part in an IFS training seminar every 2 years.These seminars are organised by the IFS. It is recommended that the IFS trainer takes part in the IFS written and oral examinations. The certification body is responsible for selecting the relevant trainer.
2.6
Train the Trainer course
The Train the Trainer course for the IFS Food is provided by the IFS. When a new version of the standard is published, the certification bodys trainer shall take part in the new Train theTrainer course organised by the IFS and carry out in-house training of all the IFS auditors before the new IFS Food version comes into force. In case of publication of new doctrines, the trainer shall train all IFS auditors before the doctrine comes into force. The certification bodys trainer shall use this training material for in-house training. Following the Train theTrainer course, each trainer will receive a certificate confirming his/her attendance at the course.
IFS, February 2010
82
Requirements for auditors for IFS Cash & Carry/Wholesale
In general, the auditors shall meet the requirements of chapters 7.2 and 7.3.1 of ISO 19011.
3.1
Requirements before applying for the IFS examinations
Before applying for the IFS examinations, auditors shall have met the following requirements: They shall have signed a contract with the certification body (see topic 4.4 of EN 45011/ISO IEC Guide 65), They confirm to the certification body that, for a period of at least 12 months, they will perform IFS Food audits only for the respective certification body. They may, however, work for several certification bodies on other standards. In special cases, IFS should be contacted and may allow exceptions. They shall have submitted all the relevant information about their competence to the certification body. The certification body shall have observed and confirmed the professional qualification and competence of the auditors.
3.2
General requirements for auditors for IFS Cash & Carry/Wholesale
Candidates applying for qualification as IFS auditors shall meet the following requirements and provide evidence with the application documents. An outline CV is available from the IFS. a) Education in the food sector 1) A food-related university degree (bachelors and/or masters degree equivalents) and 2 years professional experience in the food industry close to food production areas (quality, production, R & D, ). or 2) If the candidate started directly as an auditor after completing his/ her food-related university degree then the candidate shall have 5 years professional experience in the food processing industry. or 3) If the candidate has an university degree but not a food-related one, (bachelors and/or masters degree equivalents) then the candidate shall have 5 years professional experience in the food
IFS, February 2010
83
industry close to food production areas (quality, production, R & D, ). or 4) Professional education in food processing (high degree) and 5 years professional experience in the food industry close to food production areas (quality, production, R & D, ). b) General audit experience A minimum of 10 complete audits shall be performed by the auditor in the food processing industry during the previous two years. The audits shall have been carried out in different companies. c) Food hygiene (including HACCP) training Qualified training on the basis of the Codex General Principles for Food Hygiene. d) Quality assurance and quality management knowledge Practical experience (during job experience) and/or theoretical skills (recognised training, part of the university degree, etc.). e) Specific and practical knowledge per product scopes auditors apply for (ANNEX 1) At least 10 audits under EN 45011/ISO IEC Guide 65 accreditation and/ or second party audits for retailers per scope, or at least 2 years professional experience in the food industry close to food production areas for each applied product scope.The audits shall have been carried out in different companies. To be approved as an auditor for IFS Cash & Carry/Wholesale, the auditor shall always have the professional competence and the approval for IFS Food auditor scope 1 (meat, poultry and meat products) or for IFS Food auditor scope 2 (fish and fish products; raw, cooled and frozen). Scope 1 or 2 are obligatory for audits in Cash & Carry markets. For wholesalers who handle either one kind or several kinds of unpacked goods the following is applicable: The (IFS Food-) scope that contains the products with the highest risk potential has to be applied. If solely one product is traded (e.g. fruits and vegetables), the respective (IFS Food-) scope must be chosen. For wholesalers who trade exclusively packed products approved IFS Food auditors with all scopes are usable. The applicable scope must be documented in the certificate. f) Language If an auditor intends to apply for a professional language (different from the auditors native language), the IFS offices may request that he/she take an oral examination in the language concerned.
IFS, February 2010
84
g) IFS in-house training The IFS in-house training materials shall be based on the materials provided by the IFS.The auditor shall have taken part in the in-house training (covering IFS, food-related legislation, food hygiene, ) undertaken by an authorised IFS trainer and organised by the certification body.The minimum duration shall be 2 days.The auditor shall be competent in the language used during the training (native language and/or languages declared by the auditor in the IFS examination application form). Chart No 12: Requirements for application as an IFS auditor
Requirements Pre-application requirements Contract Comply with EN 45011/ISO IEC Guide 65 section 4.4 have signed a contract with the certification body Perform IFS Food audits for only 1 certification body Supply the certification body with all relevant information relating to his/her competence. Pass a observation audit to confirm professional qualification and competence IFS auditor Explanations/remarks
Certification body Competence
Observation audit
Application requirements Education and minimum experience 1) A food-related university degree (bachelors and/or masters degree equivalents) and 2 years professional experience in the food industry close to food production areas (quality, production, R&D, ) or 2) Candidates who started directly as an auditor after completing their foodrelated university degree shall show that they have 5 years auditing experience in the food processing industry. or 3) If the candidate has an university degree but not a food-related one, (bachelors and/or masters degree equivalents) then the candidate shall have 5 years professional experience in the food industry close to food production areas (quality, production, R&D, ). or 4) Professional education in food processing (high degree) and 5 years professional experience in the food industry close to food production areas (quality, production, R&D, ).
IFS, February 2010
85
Requirements General audit experience
IFS auditor
Explanations/remarks A minimum of 10 complete audits shall be performed by the auditor in the food processing industry during the previous two years.The audits shall have been carried out in different companies Qualified training on the basis of the Codex General Principles for Food Hygiene. Practical experience (during job experience) and/or theoretical skills (recognised training, part of the university degree, etc.). At least 10 audits under EN 45011/ISO IEC Guide 65 accreditation and/or second party audits for retailers per scope or at least 2 years professional experience for each applied product scope.To be approved as an auditor for IFS Cash & Carry/Wholesale, the auditor shall always have the professional competence and the approval for IFS Food auditor scope 1 (meat, poultry and meat products) or for IFS Food auditor scope 2 (fish and fish products; raw, cooled and frozen). Native language and other language(s) (details of experience shall be provided, e.g. audits performed in the language, trainings, etc.). Participation at an IFS in-house training provided by the certification body.
Food hygiene (including HACCP) training Quality assurance and quality management knowledge Specific and practical knowledge for each applied product scope
Language
In-house training
Remark: For the auditors who intend to perform IFS Logistic audits see IFS Logistic standard, Part III, chapter I, sub chapters 2, 3, 4 and 5. The IFS is responsible for the technical validation of the auditors application files before they take part in the IFS examinations. If the auditors CV does not meet the above-mentioned requirements, the IFS may reject the auditors examination application. If the auditor does not show sufficient evidences for the product scopes he/she is applying for, the IFS may reject the applications for the product scopes concerned.
3.3
IFS examination process
Auditors who comply with the requirements mentioned in chapters 3.1 and 3.2 can take part in an IFS written examination and, if successful, in an oral examination. If successful, the auditor is officially authorised to perform IFS audits. The auditor is registered on the audit portal, and a personal IFS auditor certificate is issued, valid for 2 years (starting from the day of passing the oral examination) for the product scopes for which the auditor is competent.This certificate mentions the duration of validity, the name of the certification body, and the auditors languages and product scopes.
IFS, February 2010
86
The auditor cannot perform IFS audits when his IFS auditor certificate expires. The certification body is responsible to schedule the participations in the re-exams so that there are no gaps during the auditor approval. During the IFS certificates period of validity, auditors shall be continuously trained by the certification body on food-related legislation, standard requirements, audit practices, etc.This training shall be documented by the certification body. Auditors shall be re-examined after two years and thereafter at set intervals. For the re-examination, auditors shall have performed a minimum number of IFS audits (see current examination regulation). Further requirements for the re-examination process are laid down in the examination regulation. Detailed regulation for examinations and re-examinations and the international IFS examination schedules are provided by the IFS and are available online on the audit portal within the specific area which can be accessed by certification bodies.
3.4
Scope extension for IFS-Food-approved auditors
Auditors may, during the validity of their IFS auditor certificate, extend their product scopes by providing the same evidences as for the initial approval. Scope extension may not be requested in the first 12 months after the initial IFS Food auditor approval.The auditors can only perform IFS Food audits according to the scopes stated by IFS.
IFS, February 2010
87
ANNEX 1: Auditor scopes for IFS Cash & Carry/Wholesale

The following auditor scopes are applicable for audits according to IFS Cash & Carry/Wholesale by IFS Food-auditors.
Type of Wholesaler 1. Cash & Carry Example Cash & carry markets according definition (see glossary), which also handle unpacked fish or meat products Either one kind or several kinds of unpacked goods are handled. Auditor scope (according to IFS Food) Red and white meat, poultry and meat products (IFS Food, Scope 1) Fish and fish products (IFS Food, Scope 2) The (IFS Food-) scope that contains the products with the highest risk potential has to be applied. If solely one product is traded (e.g. fruits and vegetables), the respective (IFS Food-)scope must be chosen. IFS Food approval (auditors with all scopes usable)
2. Wholesale high risk
3. Wholesale low risk
Exclusively packed products are traded*.
* a combined audit according to IFS Broker/IFS Logistics is also possible
IFS, February 2010
89
Part 4: Reporting, AuditXpress Software and the IFS Auditportal
Introduction
After an IFS audit has been performed, a detailed and well-structured audit report shall be completed. In general, the language of the report shall be the native or working language of the company. In special cases, where the native language of the retailers or purchasers is different from the language of the company, an English language version of the report could also be prepared. (See also the rules described in Part 1). The IFS audit report shall be prepared according to the following format.
1
1.1
Reporting
Audit overview (ANNEX 1)
The first part of the audit report shall contain the following general information: Audit details The cover page of the audit report shall include name and address of the certification body the logo of the certification body the certification bodys accreditation details name of the audited company or site/market. This first page shall give a summary of the most important audit report items and shall include: name and address of the audited site/market name and address of the company (if headquarters) EAN. UCC Global Location Number, if available audit date time of the audit previous audit date the name of the certification body and the auditor who performed the previous audit details of the version of the standard audit scope (mandatory detailed descriptions of processes/ products)
IFS, February 2010
90
product category(ies) list of key personnel present at audit name and signature of the lead auditor result of the audit company profile (number of employees, size, structure etc.). Further explanations regarding scoring and frequency.
1.2
Audit report (ANNEX 2)

the result of the audit with level and percentage the date of the renewal audit/follow-up audit a summary of all chapters observations on KOs and Majors general summary table for all chapters a list of all established deviations and non-conformities for each chapter (1 to 5), including a short chapter summary a separate list, (including explanations) of all requirements evaluated with N/A (not applicable) a detailed audit report.
The audit report itself is structured as follows:
1.3
Action plan (ANNEX 3)
The certification body describes and explains all established deviations and non-conformities (KOs, Majors) in each chapter in the action plan, which has a specified format shown in the appendix.
1.4
Minimum requirements for IFS certificate (ANNEX 4)
Only one multi-site certificate is issued (headquarter + sites/markets) per country. The certificate is awarded to the headquarter and the duration is 12 months. All assigned cash & carry markets are listed in an annex of the certificate. The reference of the IFS Cash & Carry/Wholesale shall be clearly mentioned on the certificate.
IFS, February 2010
91
After successful completion of the IFS Cash & Carry/Wholesale, the certification body shall issue a certificate. For the purposes of international recognition, and so as to be understandable, IFS certificates awarded by the certification body shall include the following information at a minimum: the name and address of the certification body, including its logo the logo of the accreditation body or its name and registration number (requirement mentioned in the ISO/IEC Guide 65, G.12.7.) responsible for the IFS EN 45011/ISO IEC Guide 65 accreditation, the name and address of the audited company if the company is a subsidiary, the name of the companys headquarters and, where possible, the packing code and the veterinary agreement number audit scope, type of wholesaler, auditor scope(s) (part 3, ANNEX 1) level achieved date of audit (last day of audit) latest possible date for the next audit (renewal audit) certificate issue date certificate expiry date, i.e. 12 months after the date of issue the certificate place and date of signature name and signature of the director/the certification bodys person responsible IFS Cash & Carry/Wholesale logo. Please note: the AuditXpress software includes a certificate format with the minimum required content, but each IFS EN 45011/ISO IEC Guide 65 -accredited certification body may use its own layout, providing that it includes these minimum requirements.
AuditXpress Software
In order to increase the standardisation of IFS reporting, AuditXpress software has been developed; it offers the following advantages: easy collection of audit data through a user-friendly interface production of quick and error-free IFS audit reports automatic evaluation of the audit results by dynamic computation of all relevant items automatic generation of a standardised audit report
IFS, February 2010
92
temporary storage of interim audit data for later completion simple and secure export of completed audit reports to the IFS Auditportal simple exchange of audit files between the auditors and their competent certification body offline working, i.e. no permanent Internet connection required an update option provides constant access to the most recent version of the IFS.
The IFS Auditportal and the IFS Database (www.ifs-certification.com)
Every IFS audit shall be uploaded to the IFS auditportal by the certification body. There are 3 user groups which have access to the IFS database: Certification bodies Certified companies Retailers The different groups access rights are as follows: Certification bodies: manage their certified companies and upload audit reports and action plans may block certificates in specific situations can manage all IFS audit dates via the diary function, enabling retailers and companies to have a good overview of the scheduled audits manage their accounts download the IFS logo. Certified companies/suppliers: have access to their own audit data have the possibility to unlock retailers for their achieved percentage, detailed audit report and action plan have the possibility to complete their audit evaluation sheets to provide feedback on the auditors on-site performance
IFS, February 2010
93
download the IFS logo manage their certification bodies manage company personnel access (create sub-accounts) to the audit data search for other certified companies manage their suppliers using a favourites option. Access for the headquarters of certified companies A headquarter access for certified companies can be set up which allows a company headquarter to administer all of their certified sites/ markets through a single access point. Retailers: search for certified companies manage their certified companies via a favourites option. The user manuals for the IFS Auditportal are available on the respective secured for each user group. Security of the database The security system used for the database is based on international recognised and mostly used security systems. The retailer and certified companies access provide general information about all certified companies. If no further authorisation is granted by the certified companies both user groups will be able to see the following information only: the companys name and address the certification bodys name and address the auditors name the scope of the audit the date and duration of the audit the level achieved at the audit the IFS certificates date of issue and its validity By using their secure log-in access the certified companies themselves can give the authorisation for access to the following detailed information: scoring details audit report and action plan. The retailers/certified companies automatically receive access to the unlocked data by the certified company after the data has been unlocked. Communication to retailers is via a secure Web process which guarantees that only authorised retailers/certified companies can view specific data of the certified companies/suppliers.
IFS, February 2010
94
ANNEX 1
Cover page of the audit report
Logo of the certification body
IFS Cash & Carry/Wholesale, Version 1, February 2010
Final Audit Report
Supplier: Cash & Carry Date of audit: 01. 02. 02. 02. 2010
Address of certification body Accreditation number of certification body
IFS, February 2010
95
First page of the audit report IFS Cash & Carry/Wholesale, Version 1, February 2010 Audit overview
Audit details Lead auditor: Signature of Lead auditor: Date/time of current audit: Date/time of previous audit:
Max Mustermann
Max Mustermann
02. 02. 2010 (09:0018:00) 03. 02. 2010 (16:3020:00)
06. 02. 2009 (09:0018:00)

CB and auditor of previous audit:
Co-auditor:
Falk Lehmann
Name and address of the company (or headquarter)
TEST GmbH/FrankTest
Name and address of the audited site/market
Cash & Carry Heinrich-Heine Allee 12345 Lachen Germany
Cash & Carry Musterstrae 12345 Berlin Germany

EAN Code/ UCC Global Location Number
Phone:
Fax:
Phone:
Fax:
0 12 34 56
Scope of audit
01 23 45 67 89
0 12 34 56
01 23 45 67 89
Wholesale of bakery products, fruits and vegetables audit scope, type of wholesaler, auditor scope(s)
Audit participants Name: Position: Opening meeting Documentation review Site assessment (Audit): Closing meeting
Mr. Quality Mr. Manager Mr.Transport
QS General Manager Transport Department
X X X
X X
Final Result of Audit
As a result of the audit performed on 03. 02. 2010, xyz found that the methods applied by Cash & carry GmbH for the above-mentioned scope of production comply with the requirements set out in the IFS Cash & Carry/Wholesale, at Foundation Level.
Company profile
Next audit in 12 months
IFS, February 2010
96
Explanations regarding the audit report

Evaluation of requirements
Result A B (deviation) KO requirement scored with a B C (deviation) D (deviation) Major Explanation Full compliance Almost full compliance Almost full compliance Small part of the requirement has been implemented Requirement has not been implemented When there is a substantial failure to meet the requirements of the standard, which includes the legal requirements of the production and destination countries. A major can also be given when the identified non-conformity can lead to a serious health hazard. A major can be given to any requirement which is not defined as KO. Knock-Out The KO requirement has not been implemented Points 20 points 15 points 15 points 5 points 0 points 15 % of the possible total amount of points is subtracted
KO requirement scored with a D
50 % of the possible total amount of points is subtracted N/A requirements are excluded from the final scoring
N/A
Not applicable Requirement not applicable for a company
IFS, February 2010
97
Scoring and awarding of certificates

Audit Result At least 1 KO Status Not approved Action company Actions and new initial audit to be agreed upon Actions and new initial audit to be agreed upon Report form Report gives status Report gives status Certificate No
> 1 Major and/or < 75 % of the requirements are fulfilled Max 1 Major and 75 % of the requirements are fulfilled
Not approved
No
Not approved unless further actions taken
Send action plan within 2 weeks of receiving the preliminarily report. Follow-up audit max. 6 months after the audit date Send action plan within 2 weeks of receiving the preliminarily report.
Certificate, Depending upon the results of the follow-up audit
Total score is 75 % and < 95%
Approved at Foundation IFS Cash & Carry/ Wholesale level after receipt of the action plans Approved at higher IFS Food level after receipt of the action plan
Yes, Certificate at foundation level, 12 months validity
Total score is 95 %
Send action plan within 2 weeks of receiving the preliminarily report.
Yes, Certificate at higher level, 12 months validity
Audit frequency
Level of certificate Foundation level Higher level All products 12 Months 12 Months
IFS, February 2010
98
ANNEX 2
IFS Cash & Carry/Wholesale, Version 1, February 2010
Audit Report Result: The company Cash & Carry GmbH met the requirements. They passed at: Foundation (Higher) level % Date of renewal audit: 12 months Summary:
Chapter 1 Senior management responsibility KO Majors A B C D N/A 0 0 4 0 0 0 0 Chapter 2 Quality management system 0 0 0 0 0 0 0 Chapter 3 Resource management Chapter 4 Production process Chapter 5 Measurements, analyses, improvements 0 0 0 0 0 0 0
0 0 0 0 0 0 0
0 0 0 0 0 0 0
Observations regarding KOs and Majors: General summary table for all chapters:
General summary for all chapters
100% 80% 60% 40% 20% 0% Chapter 1
Chapter 2
Chapter 3
Chapter 4
Chapter 5
Total
IFS, February 2010
99
Chapter 1: Senior management responsibility

Summary of all Chapter 1 deviations and non-conformities found:
No. 1. 2. Reference 1.1.1 1.1.2 IFS requirements Evaluation Explanation
Chapter summary:
Report of the N/A evaluations

No. 1. Reference IFS requirements Evaluation Explanation
Detailed audit report

No. 1. 2. Reference IFS requirements Evaluation Explanation
IFS, February 2010
100
ANNEX 3
Action plan
Name and address of the audited company The Corrective Action Plan must be returned to the certification body before: ___________________________________________________________
Requirement number IFS requirement Evaluation Explanation (by the auditor) Corrective action (by the company) Responsibility/ Date/Status of implementation (by the company) Release by the auditor
IFS, February 2010
101
ANNEX 4
CERTIFICATE
Herewith the certification body
Name of the certification body

being an EN 45011/ISO IEC Guide 65-accredited certification body for IFS certification and having signed an agreement with the IFS owners, confirms that the Ptoducts and processes of:
Name of the audited company Address

(Packing code) (Veterinary agreement number) (Headquarter) for the scope
Audit scope, type of wholesaler, auditor scope(s)

meets the requirements set out in the
IFS Cash & Carry/Wolesale, Version 1, February 2010 at Foundation level/Higher Level
Certificate register number: ________________________________________________ Audit date: Date of issue of certificate: Certificate valid until: ________________________________________________ ________________________________________________ ________________________________________________
Next audit to be performed before: ____________________________________________
Date and place Name and signature of the responsible person at the certification body Address of the certification body
Logo of the accreditation body
IFS, February 2010
103
ANNEX
Checklist of the IFS Cash & Carry/Wholesale
This checklist is only for internal use in the audited company. It is not allowed to copy and to present it to other parties.
Number Requirement of IFS Cash & Carry/Wholesale KO/ Major/ NA A B C D Remarks/ Comments
1 1.1 1.1.1
Senior Management Responsibility Corporate policy/Corporate principles The senior management shall draw up and implement corporate policy.This shall consider as a minimum: customer focus environmental responsibility ethics and personnel responsibility product requirements (includes: product safety, quality, legality, process and specification). The corporate policy shall be communicated to all employees. The content of the corporate policy shall have been broken down into specific objectives for the related departments.The responsibility and the time scale for achievement shall be defined for each department of the company. From the corporate policy, the quality objectives shall be communicated to the employees in the respective departments and shall be effectively implemented. The senior management shall ensure that the achievement of all objectives is regularly reviewed, as a minimum at least once a year. The company shall ensure that all relevant information is communicated effectively and in a timely manner to the relevant personnel. The company shall assign the responsible for the external communication (crisis management, authorities and communication with media). Corporate structure An organisation chart shall be available showing the structure of the company. Competences and responsibilities, including deputisation of responsibility shall be clearly laid down. Job descriptions with clearly defined responsibilities shall exist for employees, whose work has an effect on product requirements.
1.1.2
1.1.3
1.1.4
1.1.5
1.1.6
1.2 1.2.1 1.2.2
1.2.3
IFS, February 2010
104
Number
Requirement of IFS Cash & Carry/Wholesale
KO/ Major/ NA
Remarks/ Comments
1.2.4 KO
The senior management shall ensure that employees are aware of their responsibilities and that mechanisms are in place to monitor the effectiveness of their operation. Employees with influence on product requirements shall be aware of their responsibilities, and shall be able to demonstrate their understanding of their responsibilities. The senior management shall have nominated an IFS representative. The senior management shall provide sufficient and relevant resources to meet the product requirements. The department responsible for quality management shall have a direct reporting relationship to the senior management. The company shall ensure that all processes (documented and undocumented) are known by the relevant personnel and are applied consistently. The company shall have a system in place, to ensure that it is kept informed of all relevant legislation on food safety issues, scientific and technical developments and industry codes of practice. Customer focus A procedure shall be in place to identify fundamental needs and expectations of customers. The results of this procedure shall be evaluated and considered by the determination of quality objectives. Management review Senior management shall ensure that the quality management system is reviewed at fixed periods. This review shall include measures for the control of the quality management system and for the continuous improvement process. The company shall identify and review regularly (e.g. by internal audits or on-site inspection) the infrastructure needed to achieve conformity to product requirements.This shall include, as a minimum, the following: buildings supply systems machines and equipment transport. The results of the review shall be considered, with due consideration to risk, for investment planning.
1.2.5
1.2.6 1.2.7
1.2.8
1.2.9
1.2.10
1.3 1.3.1
1.3.2
1.4 1.4.1 1.4.2
1.4.3
IFS, February 2010
105
Number
KO/ Major/ NA
Remarks/ Comments
1.4.4
The company shall identify and review regularly (e.g. by internal audits or on-site inspection) the work environment needed to achieve conformity to product requirements.This shall include, as a minimum the following: staff facilities environmental conditions safety and security at work hygienic conditions workplace design external influences (e.g. noise, vibration). The results of the review shall be considered, with due consideration to risk for investment planning. Quality Management System HACCP (based on the Codex Alimentarius CA) HACCP system The basis of the companys food safety control system shall be a fully implemented, systematic and comprehensive HACCP system, based upon the Codex Alimentarius principles. It shall take into account any legal requirements of the production and destination countries which may go beyond such principles. The HACCP system shall be implemented at each market/site.The HACCP concept consider the circumstances of the market. The HACCP system shall cover all raw materials, products or product groups as well as every process from goods in to dispatch, including product development and product packaging. The company shall ensure that the HACCP system is based upon scientific literature, or technical verified specifications relating to the manufactured products and procedures.This shall be maintained in line with new technical process development. Assemble HACCP team (CA Step 1) The HACCP team shall have strong senior management support and shall be well known and established across the whole company. The HACCP team shall be multidisciplinary and include operational staff. Personnel appointed as HACCP team members shall have specific knowledge of HACCP product and process , knowledge and the associated hazards. Where competent knowledge is not available, external expert advice shall be obtained. HACCP analysis
2 2.1 2.1.1 2.1.1.1
2.1.1.2
2.1.1.3
2.1.2 2.1.2.1
2.1.2.2
2.1.2.3 2.1.3
IFS, February 2010
106
Number
KO/ Major/ NA
Remarks/ Comments
2.1.3.1
Describe product (CA Step 2) A full description of the product including all relevant information on product safety exists such as: composition physical, organoleptic, chemical and microbiological parameters methods of treatment packaging durability (shelf life) conditions for storage and method of transport. Identify intended use (CA Step 3) The intended use of the product shall be described as seen from the expected use of the product by the end consumer, taking into account vulnerable groups of consumers. Construct flow diagram (CA Step 4) A flow diagram shall exist for each product, or product group, and for all variations of the processes and sub-processes.The flow diagram shall be dated, updated and clearly identify each CCP with the number assigned to it. On-site confirmation of the flow diagram (CA Step 5) The HACCP team shall review the processes at all operation stages against the flow diagram. Amendments of the diagram will be made, where appropriate. Conduct a hazard analysis for each step (CA Step 6 Principle 1) A hazard analysis shall be available of all physical, chemical and biological hazards that may reasonably be expected. The hazard analysis shall consider the likelihood of harm to the consumer and the potential severity of damage (effect, potential consequences). For all steps, which are not defined as CCPs but as CPs, the company shall implement, maintain, monitor and document specific preventive measures.. Determine critical control points (CA Step 7 Principle 2) Relevant Critical Control Points (CCPs) shall be determined, to which control can be applied directly in order to prevent, eliminate or reduce a food safety hazard to acceptable level(s). Establish critical limits for each CCP (CA Step 8 Principle 3) For each CCP the appropriate critical limits shall , be defined and validated, in order to clearly identify when a process is out of control.
2.1.3.2
2.1.3.3
2.1.3.4
2.1.3.5
2.1.3.5.1
2.1.3.5.2
2.1.3.6
2.1.3.7
IFS, February 2010
107
Number
KO/ Major/ NA
Remarks/ Comments
2.1.3.8 KO
Establish a monitoring system for each CCP (CA Step 9 Principle 4) Specific monitoring procedures shall be established for each CCP to detect any loss of control at that CCP Records of monitoring shall be maintai. ned for a relevant period. Each defined CCPs shall be under control. Monitoring and control respectively of each CCP shall be demonstrated by records.The respective records shall specify the responsible person as well as the date and result. Establish corrective actions (CA Step 10 Principle 5) For each CCP corrective actions shall be establis, hed. In case the monitoring indicates that a particular CCP is not under control, adequate corrective actions shall be taken and documented. Such corrective actions shall also take into account any non-conforming products. Establish verification procedures (CA Step 11 Principle 6) Procedures of verification shall be established to confirm that the HACCP system is efficient. Verification of the HACCP system shall be performed at least once a year. Examples of verification activities include: internal audits analysis sampling evaluations complaint by authorities and customers. The results of this verification shall be incorporated into the HACCP system. Establish documentation and record keeping (CA Step 12 Principle 7) Documentation shall be available, covering all processes, procedures, measures and records. Documentation and record keeping shall be appropriate to the nature and size of the company. Documentation requirements The quality system for quality assurance and food safety shall be documented and implemented, and shall be retained in one location. A documented procedure shall exist for the control of documents and their amendments. All documents shall be clearly legible, unambiguous and comprehensive.They shall be available to relevant personnel at all times. All documents which are necessary for compliance with the product requirements shall be available in their latest version. The reason for any amendments to documents, critical for the product requirements shall be recorded.
2.1.3.9
2.1.3.10
2.1.3.11
2.2 2.2.1
2.2.2 2.2.3
2.2.4
2.2.5
IFS, February 2010
108
Number
KO/ Major/ NA
Remarks/ Comments
2.3 2.3.1
Record keeping All relevant records, necessary for the product requirements shall be complete, detailed and maintained and shall be available on request. Records shall be legible and genuine.They shall be maintained in a way that subsequent manipulation of records is prohibited. All records shall be kept in accordance with legal requirements. If those are not specified, records shall be kept for the duration of the shelf life, to make verification possible. For products which have a very short or no shelf life, record keeping shall be based on a hazard analysis. Any amendments to records shall only be carried out by authorised persons. Resource Management Human resources management All personnel performing work that affects product safety, legality and quality shall have the required competence by education, work experience and/or training. Human resources Personnel hygiene There shall be documented requirements relating to personnel hygiene.These include, as a minimum the following fields: hand washing and disinfection eating and drinking smoking actions to be taken in case of cuts or skin abrasions fingernails and jewellery hair and beards. The requirements shall be based on a hazard analysis in relation to product and process. The requirements for personnel hygiene shall be in place and applied by all relevant personnel, contractors and visitors. Compliance with the requirements shall be checked regularly. Visible jewellery (incl. piercing) and watches shall not be worn. Any exceptions shall have been comprehensively evaluated by hazard analysis in relation to product and process. Cuts and skin abrasions shall be covered by a coloured plaster (different from the product colour) containing a metal strip, where appropriate and in case of hand injuries, in addition to a plaster, a single use glove shall be worn. Protective clothing for personnel, contractors and visitors
2.3.2
2.3.3
2.3.4 3 3.1 3.1.1
3.2 3.2.1 3.2.1.1
3.2.1.2 KO
3.2.1.3
3.2.1.4
3.2.2
IFS, February 2010
109
Number
KO/ Major/ NA
Remarks/ Comments
3.2.2.1
Company procedures shall exist to ensure that all personnel, contractors and visitors are aware of the rules regarding the management of wearing and changing of protective clothing in specified work areas in accordance with product requirements. In work areas where wearing headgear and/or beard snood is required, the hair shall be covered completely so that product contamination is prevented. Clearly defined usage rules shall exist for work areas where it is required to wear gloves (coloured differently from the product colour). Compliance with these rules shall be checked on a regular basis. Suitable protective clothing shall be available in sufficient numbers for each employee. All protective clothing shall be thoroughly and regularly laundered. In accordance with a process and product hazard analysis, the clothing shall be washed by a contract laundry, on-site laundry or by the employee. Guidelines shall exist for laundering of protective clothing and a procedure shall be in place for checking its cleanliness. Procedures applicable to infectious diseases There shall be written and communicated procedures for personnel, contractors and visitors for actions to be taken in the case of an infectious disease or the suspicion thereof. Particular consideration shall be taken in these areas where product safety may be compromised. Training The company shall put in place documented training programs in respect of the product requirements and the training needs of the employees.These programs shall include: training contents training frequency list of participants languages qualified trainer/tutor. Those responsible for the development and maintenance of HACCP system shall have received adequate training in the application of the HACCP principles. The documented training programs shall apply to all personnel, including seasonal and temporary workers, employed in the respective work area. Upon employment, and before commencing work, they shall be trained in accordance with the documented training programs.
3.2.2.2
3.2.2.3
3.2.2.4 3.2.2.5
3.2.2.6
3.2.3 3.2.3.1
3.3 3.3.1
3.3.2
3.3.3
IFS, February 2010
110
Number
KO/ Major/ NA
Remarks/ Comments
3.3.4
Records shall be available of all performed training events, stating: list of participants incl. signature date duration contents of training name of trainer/tutor. The contents of training shall be reviewed and updated regularly and take into account companys specific issues (nonconformities, failures), food safety and food related legal requirements. Sanitary facilities, equipment for personnel hygiene and staff facilities The company shall provide staff facilities, which shall be proportional in size and equipped for the number of personnel. Such facilities shall be kept in clean and good condition. The risk of product contamination by foreign bodies from staff facilities shall be evaluated and minimised. Consideration shall also be given to food brought to work by personnel and personal belongings. The company shall provide suitable changing rooms for personnel, contractors and visitors. Where necessary outdoor clothing and protective clothing shall be stored separately. Staff facilities shall be equipped with toilets, which shall not have direct access to an area where food products are handled.There shall be at least one dedicated washroom separating both areas. Adequate hand hygiene facilities shall be provided at access points to and within production areas, as well as at staff facilities. Based on a hazard analysis, further areas (e.g. packaging area) shall be similarly equipped. Such hand hygiene facilities shall provide as a minimum: running cold and hot water liquid soap single use towels. Where highly perishable food products are handled, the following additional requirements regarding hand hygiene shall also be provided: hand contact-free fittings hand disinfection approved hygiene equipments signs/pictograms. Changing rooms shall be arranged so that they allow direct access to the areas where food products are handled. Exceptions shall have been considered within the hazard analysis. Where appropriate, cleaning facilities for boots, shoes and further protective clothing shall be available.
3.3.5
3.4 3.4.1
3.4.2
3.4.3
3.4.4
3.4.5
3.4.6
3.4.7
3.4.8
IFS, February 2010
111
Number
KO/ Major/ NA
Remarks/ Comments
4 4.1 4.1.1
Production Process Contract review All customer requirements relating to the products, their realisation and delivery shall have been defined and understood before a written supply agreement is concluded.The company shall review whether all aspects of customers requirements have been satisfied. There shall be records showing how changes to the existing contractual agreements are agreed and communicated. Product specifications Specifications shall be available for all final products and, if necessary (e.g. retail brand) be agreed upon in writing with customers.The specifications shall be up to date, unambiguous, available and always in conformance with legal requirements. Specifications shall be available and in place for all raw materials (raw materials/ingredients, additives, packaging materials, rework).The specifications shall be up to date, unambiguous, available and always in conformance with legal requirements. The recipe mentioned in the customer finished product specification shall be complied with. Specifications and/or their contents are provided in the relevant areas and accessible to all relevant personnel. There shall be a procedure for the amendment and approval of specifications for all parts of the process. Product development A procedure for product development shall be in place which incorporates the hazard analysis principles, in accordance with the HACCP system. Product formulation, manufacturing processes and the fulfilment of product requirements shall have been ensured by factory trials and product testing. Shelf life tests shall be carried out taking into account product formulation, packaging, manufacturing and storage conditions. Use by or Best before dates shall be established accordingly. The company shall conduct appropriate studies and tests in order to investigate compliance with microbiological criteria within the shelf life. Recommendations for preparation and/or use of the food products shall be established. If appropriate, customer requirements shall be included.
4.1.2
4.2 4.2.1
4.2.2 KO
4.2.3 KO 4.2.4
4.2.5
4.3 4.3.1
4.3.2
4.3.3
4.3.4
4.3.5
IFS, February 2010
112
Number
KO/ Major/ NA
Remarks/ Comments
4.3.6 4.3.7 4.4 4.4.1
The progress and results of product development shall be properly recorded. Product development shall consider the results of organoleptic assessments. Purchasing Purchased products and services shall conform to current specifications and contractual agreements. There shall be records to identify which product is sourced from which supplier. There shall be a procedure for approval and monitoring of suppliers (internal and external), outsourced production or part of it. The approval and monitoring procedure shall contain clear assessment criteria such as: audits, certificates of analysis, supplier reliability and complaints, as well as required performance standards based on a hazard analysis. The results of suppliers assessments shall be reviewed regularly.There shall be records of the reviews and of the actions taken as a consequence of assessment. The purchased products and services shall be checked in accordance with the existing specifications.The schedule of these checks shall take into account the product requirements, supplier status and the impact of raw materials on the finished product. Product packaging All packaging shall comply with the current relevant legislation. Detailed specifications shall exist for all packaging materials. Certificates of conformity or evidence shall exist for all packaging in direct contact with food to demonstrate that they are suitable for use.This applies for packaging in direct contact with raw materials, semi-processed and finished products. This includes containers, conveyor belts in production areas for semi-processed products. All packaging or packaging equipments shall be suitable for its intended use and shall have been tested for possible contamination and hazards (interactions) towards products and consumers. Adequate up-to-date test reports shall exist. Based on a hazard analysis, the company shall verify the capability of the packaging material for each relevant product (e.g. organoleptic tests, storage tests, chemical analysis).
4.4.2 4.4.3
4.4.4
4.4.5
4.4.6
4.5 4.5.1 4.5.2 4.5.3
4.5.4
4.5.5
IFS, February 2010
113
Number
KO/ Major/ NA
Remarks/ Comments
4.5.6
Where packaging materials (e.g. glass) pose a risk to the product, special procedures shall be in place to avoid product contamination. A system shall be in place to ensure storage and handling of packaging materials and packaging equipments both inside and outside of the production areas, in order to minimise the risk of contamination (interaction/correlation). The conformity of the product with its labelling shall be reviewed each time before a new label is issued for use. Such review shall take into account the product requirements and particular relevant legislation in the designated countries, where the product is to be marketed. The conformity of the product with its labelling shall be continuously ensured during the production process. Factory environment standards Choice of location The company shall investigate to what extent the factory environment (e.g. ground, air) may have an adverse impact on product safety and product quality. In each case, appropriate measures shall be established.The efficiency of the established measures shall be periodically reviewed (examples: extremely dusty air, strong smells). Exteriors The factory exterior shall be sustainable maintained clean and tidy.The external condition of the premises shall be considered within the internal audit process. All grounds within the site/market shall be in good condition. Where natural drainage is inadequate, a suitable drainage system shall be installed. Outdoor storage shall be kept to a minimum. Where goods are stored outside, a hazard analysis shall be undertaken to ensure that there is no risk of contamination or adverse effect on safety or quality. The production and storage areas of the site/ market shall be secured effectively by controlled access in order to prevent unauthorised entry. Plant layout and process flows The process flow, from receipt of goods to dispatch, shall be organised so that a contamination of raw materials, packaging, semi-processed and finished products is avoided.The risk of cross-contamination shall be minimised through effective measures.
4.5.7
4.5.8
4.5.9
4.6 4.6.1 4.6.1.1
4.6.2 4.6.2.1
4.6.2.2
4.6.2.3
4.6.2.4
4.6.3 4.6.3.1
IFS, February 2010
114
Number
KO/ Major/ NA
Remarks/ Comments
4.6.3.2
Segregation of processes shall take into account internal flows (of product, waste, materials, plant and equipment, personnel, water) and provided services. A plan shall be available which clearly defines these flows. Where production areas are identified as microbiologically sensitive (e.g. clean room technology), a positive pressure system shall be installed. Measurement of micro-organisms shall be performed at regular intervals. The system of working shall, where appropriate, be such to reduce any potential physical, chemical or microbiological contamination risk. Location of laboratories at the factory shall not affect product safety. The cleaning of production tools shall be carried out at specific locations or specific time periods separated from the production process. If this is not possible, these operations shall be controlled as to not affect the product. Buildings and facilities Constructional requirements Rooms where food products are prepared, treated, processed and stored shall be designed and constructed, so that food hygiene is ensured. Walls and partition walls Walls shall be designed and constructed to prevent the accumulation of dirt, to reduce condensation and mould growth, and to facilitate cleaning. The surfaces of walls shall be in a good condition and shall facilitate cleaning and if necessary disinfection.They shall be impervious, waterrepellent and wear-resistant. The junctions between walls and floors and corners respectively shall be designed to facilitate cleaning. Floors Floors shall be designed to meet production requirements (e.g. mechanical loads, cleaning materials, temperatures). The floor covering shall be in good condition and shall facilitate cleaning and disinfection, where required.They shall be impervious, water-repellent and wear-resistant. The hygienic disposal of waste water shall be ensured. Drainage systems shall be designed to facilitate cleaning and to minimise the risk of product contamination (e.g. adverse impact, ingress of pests, etc.).
4.6.3.3
4.6.3.4
4.6.3.5 4.6.3.6
4.6.4 4.6.4.1 4.6.4.1.1
4.6.4.2 4.6.4.2.1
4.6.4.2.2
4.6.4.2.3
4.6.4.3 4.6.4.3.1
4.6.4.3.2
4.6.4.3.3
IFS, February 2010
115
Number
KO/ Major/ NA
Remarks/ Comments
4.6.4.3.4
Floors shall have adequate falls so that water or other liquids can reach the drainage without difficulty. Machinery and piping shall be arranged so that, where possible, process waste water goes directly into a drain. Ceilings/Overheads Ceilings (or, where no ceilings are fitted, the undersides of roofs) and overhead fixtures (incl. piping, cables, lamps) shall be designed and constructed to minimise the accumulation of dirt, the detachment of paints of material, condensation and mould growth. Ceilings and overheads shall be designed to facilitate cleaning and prevent product contamination. Where false ceilings are used, adequate access to the void shall be provided to facilitate cleaning, maintenance of services and inspection for pest control. Windows and other openings Windows and other openings shall be designed and constructed to avoid the accumulation of dirt. If windows may result in contamination, windows and roof glazing shall remain closed and fixed during production. Where windows and roof glazing are designed to be opened for ventilation purposes, they shall be sealed by easy removable pest fences or other measures in order to avoid any contamination. In areas where unpacked product is handled, windows shall be protected against breakage. Doors Doors shall be in good condition (e.g. no splintering parts or flaking paints, no corrosion) and easy to clean and disinfect, where appropriate. External doors which open to handling of raw material, processing, packaging and storage areas shall be self-closing and designed to prevent the ingress of pests. Doors and gates which are used to separate productions areas shall be kept closed. Lighting All working areas shall have adequate lighting.
4.6.4.3.5
4.6.4.4 4.6.4.4.1
4.6.4.4.2
4.6.4.5 4.6.4.5.1
4.6.4.5.2
4.6.4.5.3
4.6.4.5.4 4.6.4.6 4.6.4.6.1
4.6.4.6.2
4.6.4.6.3 4.6.4.7 4.6.4.7.1
IFS, February 2010
116
Number
KO/ Major/ NA
Remarks/ Comments
4.6.4.7.2
All lighting equipment and electric fly killer units shall be protected by shatterproof coating (splinter shields).The factory areas where this clause applies are, as a minimum: handling of unpackaged products, packaging and raw material storage, raw materials handling changing rooms. This does not preclude that other areas cannot have protected lighting equipment or electric fly killer units. Air conditioning/Ventilation Adequate natural and/or artificial ventilation shall exist in all areas. Ventilation systems shall be installed so that filters and other components which require cleaning or replacement are easily accessible. The use of air in the production (e.g. compressed air supply) shall avoid contamination and be based on a process and product hazard analysis. Dust extraction equipment shall be installed in areas where considerable amounts of dust are generated. (Drinking) Water supply Water which is used as ingredient in the production process, or for cleaning, shall be potable water and supplied in sufficient quantity. Recycled water which is used in the process shall not pose a contamination risk.The water shall comply with applicable legal requirements for drinking water. Related records of testing shall be available. The quality of water, steam or ice that comes in contact with food shall be monitored at all dispensing stations on a risk assessed sampling plan. Non potable water, which is used e.g. for fire fighting, steam generation, cooling or similar purposes, shall be transported in separate, properly marked piping. Such piping shall neither be connected to the drinking water system, nor shall a possibility of reflux to that system exist. Housekeeping and hygiene Cleaning and disinfection schedules, based on a hazard analysis shall be available and implemented.These shall specify: responsibilities the products used and their instructions for use the areas to be cleaned and/or disinfected objectives cleaning frequency documentation requirements hazard symbols (if necessary). Where external service providers are employed for cleaning and disinfection, they shall fulfil all the above requirements.
4.6.4.8 4.6.4.8.1 4.6.4.8.2
4.6.4.8.3
4.6.4.8.4 4.6.4.9 4.6.4.9.1
4.6.4.9.2
4.6.4.9.3
4.6.4.9.4
4.7 4.7.1
IFS, February 2010
117
Number
KO/ Major/ NA
Remarks/ Comments
4.7.2
Only qualified personnel shall be used for cleaning.The personnel shall be trained on a regular basis to carry out the cleaning schedules. The effectiveness of the cleaning and disinfection measures, based on a hazard analysis, shall be verified and documented according to a sampling schedule by using appropriate procedures. Resultant corrective actions shall be documented. The cleaning and disinfection measures shall be validated according to any changing circumstances (e.g. construction work, new products, new machines, changes of climate etc.). Where necessary, the cleaning and disinfection schedules shall be adapted. Current material safety data sheets (MSDS) and instructions for use shall be available for chemicals and cleaning agents. Personnel responsible for cleaning shall be able to demonstrate their knowledge of such instructions, which shall be always available on site/market. Cleaning utensils and chemicals shall be clearly marked and stored in a segregated area, to avoid contamination risk. Appropriate storage facilities shall be available for the control and storage of chemicals needed for the manufacture and treatment of food products. Chemicals shall only be handled by personnel trained in their use. Waste/Waste disposal All current legal requirements for waste disposal shall be met. Food waste and other waste shall be removed as quickly as possible from areas where food is handled.The accumulation of waste shall be avoided. Waste collection containers shall be clearly marked, suitably designed, in good state of repair, easy to clean, and where necessary disinfected. Waste collection rooms and containers (incl. compactors) shall be designed to be kept clean to minimise animal and pest attraction. Waste shall be collected in separate containers in accordance with the intended means of disposal. Such waste shall be disposed by authorised third parties only. Records of waste disposal shall be kept by the company. Risk of foreign bodies, metal, broken glass and wood
4.7.3
4.7.4
4.7.5
4.7.6
4.7.7
4.8 4.8.1 4.8.2
4.8.3
4.8.4
4.8.5
4.9
IFS, February 2010
118
Number
KO/ Major/ NA
Remarks/ Comments
4.9.1 KO
Based on a hazard analysis, potential foreign body sources (e.g. raw material, packaging material, packaging aids, in-house tools, machine components etc.) shall be identified. Procedures shall be in place which shall avoid the contamination with foreign bodies. Contaminated products shall be treated as non-conforming products. In all areas, e.g. handling of raw material, processing, packing and storage, where a hazard analysis has identified the potential for product contamination, the use of wood shall be excluded. Where the use of wood cannot be avoided, but the risk is managed, the wood shall be in good order and clean.The condition of this wood shall be subject to regular verification. The need for metal and foreign body detection equipment shall be established by hazard analysis. Where metal and/or foreign body detectors are required, they shall be installed so that any subsequent product contamination is avoided, as far as possible.The detection shall not be affected by interferences. Contaminated products (including raw materials, semi-processed and finished products) shall be isolated and treated as non-conforming products. Access to these products and actions for further handling or checking shall be carried out only by authorised personnel. Only where an automatic rejection process is technically not possible (e.g. large trading units) will an automatic line stop be accepted. The accuracy of measurement of the detectors shall be specified. Qualified personnel shall regularly check the proper operation of detectors. In case of defect or failure of a metal and/or foreign body detector, corrective actions shall be implemented, documented and verified. Any filters and sieves used for metal and/or foreign body detection shall be regularly inspected and properly maintained. In all areas, e.g. handling of raw material, processing, packing and storage, where a hazard analysis has identified a potential product contamination, the presence of glass shall be excluded. Where the presence of glass cannot be avoided, but the risk is managed, it shall be protected against breakage.
4.9.2
4.9.3
4.9.4
4.9.5
4.9.6
4.9.7
4.9.8
4.9.9
4.9.10
IFS, February 2010
119
Number
KO/ Major/ NA
Remarks/ Comments
4.9.11
All objects of glass or similar material present in areas of handling of raw material, processing, packing and storage shall be listed in a glass register including details of their exact location. A comparison between the glass register and the condition of such objects shall be regularly performed and recorded. In areas with unpacked goods, all glass breakages shall be recorded. Exceptions shall be justified at the hazard analysis. Procedures shall be in place describing the measures to be taken in case of breakage of glass, including glass packaging and similar material. Such measures shall include identifying the scope of goods to be isolated, specifying authorised personnel, cleaning the production environment and releasing the production line for continued production. Based on a hazard analysis, preventive measures shall be in place for handling of glass packaging, glass containers or other kinds of containers in the production process (turn over, blow, rinse etc.). After this process step no further contamination shall be allowed. Pest monitoring/Pest control The company shall have pest control in place taking into account, as a minimum: the factory environment (potential pests) site plan with area for application (bait map) identification of the baits on-site responsibilities, in-house/external used products/agents and their instructions for use and safety the frequency of inspections. The company shall have qualified and trained in-house staff, and/or employ the services of a qualified external provider. Where an external provider is used the activities required on-site shall be laid down in a written contract. Following pest control inspections, any actions and resulting recommendations shall be documented and storage, including the date. Sufficient numbers of operational electric fly killers shall be provided and positioned correctly. There shall be no risk of contamination to open production lines. Incoming deliveries shall be checked on arrival for the absence of pests. Any infestation shall be documented and control measures taken.
4.9.12
4.9.13
4.9.14
4.10 4.10.1
4.10.2
4.10.3
4.10.4
4.10.5
IFS, February 2010
120
Number
KO/ Major/ NA
Remarks/ Comments
4.10.6
Raw materials, packaging, semi-processed and finished products shall be stored so as to minimise the risk of pest infestation. Where stored product and/or machines may attract pests, appropriate measures shall be taken. Receipt of goods and storage Raw materials, semi-processed and finished products, as well as packaging, shall be checked against the specifications on receipt and in accordance with determined inspection plan. All results shall be documented. Goods in documents and/or product labels shall contain information on the appropriate storage (e.g. refrigeration temperature). The storage conditions of raw materials, semi-processed and finished products as well as packaging shall in each case correspond to product requirements (e.g. refrigeration, protective covers) and shall not be detrimental to other products. Each item in storage shall be clearly identified, and the First In/First Out and/or First Expired/First Out principles shall be applied. Where a company hires a third-party storage service provider, all the requirements specified in section 4.11 shall be clearly defined in the respective contract or the service provider shall subject to IFS Logistic requirements. Transport Before loading transport vehicles, their condition (e.g. absence of strange smells, high dust load, adverse humidity, pests, mould) shall be checked and action taken, if necessary. Where goods must be transported at certain temperatures, before loading, the temperature inside the vehicle shall be checked and documented. Procedures to prevent contamination during transport shall be implemented (food/ non-food/ different categories of goods). Where goods must be transported at certain temperatures, maintaining the adequate range of temperatures during transport shall be ensured and documented. A cleaning and, where appropriate, disinfection schedule shall exist for all transport vehicles and equipment used for loading/unloading (e.g. hoses of silo installations).There shall be records of the measures taken.
4.11 4.11.1
4.11.2
4.11.3
4.11.4
4.11.5
4.12 4.12.1
4.12.2
4.12.3
4.12.4
4.12.5
IFS, February 2010
121
Number
KO/ Major/ NA
Remarks/ Comments
4.12.6
Loading and unloading ramps shall have in place protection devices to shelter the transported products from external influences (e.g. climate, pollen). Where a company hires a third-party transport service provider, all the requirements specified within section 4.12 shall be clearly defined in the respective contract or the service provider shall subject to IFS Logistic requirements. Maintenance and repair A system of maintenance shall be in place, documented, covering all critical equipment (incl. transport) for compliance with product requirements.This applies both for internal and external maintenance work. Product requirements and prevention of contamination shall be ensured during maintenance and repair work. Records shall be kept of maintenance and repair work and of corrective actions taken. All material used for maintenance and repair shall be fit for the intended use (e.g. food-grade oils, non-toxic paints). Failures of plant and equipment (incl. transport) covered by the maintenance system shall be documented and reviewed with a view to adapting the maintenance system. Temporary repairs shall be carried out so that product requirements are not affected. Such work shall be documented and a short-term deadline set for eliminating the fault. Equipments Equipments shall be suitably designed and specified for the intended use. Before commissioning, it shall be verified that the product requirements are complied with. Equipments shall be designed and arranged so that cleaning and maintenance operations on and located around the installations can be effectively performed. In the case of plant or equipment failures and/or process deviations, appropriate procedures shall be in place to ensure that, prior to release for production, product requirements are complied with. Process validation The company shall ensure that in the event of changes to product formulation, including rework, processing methods and equipment or packaging, that the process characteristics are reviewed in order to assure that product requirements are complied with.
4.12.7
4.13 4.13.1
4.13.2
4.13.3
4.13.4
4.13.5
4.14 4.14.1
4.14.2
4.14.3
4.15 4.15.1
IFS, February 2010
122
Number
KO/ Major/ NA
Remarks/ Comments
4.15.2
All rework operations shall be validated, monitored and documented.These operations shall not affect the product requirements. Traceability (including GMOs and allergens) A traceability system shall be in place which enables the identification of product lots and their relation to batches of raw materials, packaging in direct contact with food, packaging intended or expected to be in direct contact with food.The traceability system shall incorporate all relevant processing and distribution records. The traceability system shall be tested, documented and, where appropriate, adapted at defined intervals to verify traceability in both directions of flow (from delivered products to raw material, and vice versa), including quantity checking. Traceability shall be ensured at all stages, including work in progress, post treatment and rework. The lot labelling rather labelling of best-beforedate of semi-finished products or finished products, to ensure a clear traceability of goods, shall be made at the time when the goods are directly packed. Where goods are labelled at a later time, the temporarily stored goods shall have been provided with a specific lot labelling.The shelf life (e.g. best before date) of the labelled goods shall be calculated from the original production date. Genetically modified organisms (GMOs) The company shall have in place systems and procedures to allow the identification of products consisting of GMOs, containing GMOs or produced from GMOs, including food ingredients, additives and flavouring(s). Raw material specifications and delivery documents identifying products consisting of, being made from, or containing GMOs shall be available.The guarantees concerning the GMO status of the raw materials shall be agreed by contract with the supplier.The company shall maintain a continuously updated listing of all GMO raw materials used at its premises, which also identifies all blends and formulas to which such GMO raw materials are added. There shall be adequate procedures to ensure that products consisting of or containing GMOs are manufactured, so that contamination of non-GMO products is prevented. Adequate control measures shall be in place to prevent GMO cross contamination.The effectiveness of these procedures shall be monitored by random testing.
4.16 4.16.1 KO
4.16.2
4.16.3
4.16.4
4.17 4.17.1
4.17.2
4.17.3
IFS, February 2010
123
Number
KO/ Major/ NA
Remarks/ Comments
4.17.4
Finished products containing GMOs shall be declared in accordance with current legal requirements. Delivery documents shall include the corresponding reference to GMOs. Customer requirements concerning the GMO status of products shall be clearly implemented by the company. Allergens and specific conditions of production Raw material specifications identifying allergens requiring declaration shall be available.The company shall maintain a continuously up to date listing of all raw materials containing allergens used at its premises, which also identifies all blends and formulas to which such raw materials containing allergens are added. The manufacturing of products which contain allergens requiring declaration shall be carried out so that cross contamination is minimised, as far as possible. Finished products containing allergens requiring declaration shall be declared in accordance with current legal requirements. For the adventitious presence, the labelling of legally declared allergens and traces shall be based on a hazard analysis. Where customers specifically require that products are free from certain substances or ingredients (e.g. pork), or that certain methods of treatment or production are excluded, verifiable procedures shall be in place. Measurements, Analysis, Improvements Internal audits Internal audits shall be conducted according to an agreed plan. Scope (including outdoor areas) and frequency shall be determined by hazard analysis. Internal audits shall be carried out at least once a year in all departments. The auditors shall be competent and independent from the audited department. Audit results shall be communicated to responsible persons of concerned department. Necessary corrective actions and a schedule for implementation shall be determined and documented and communicated to every relevant person. It shall be documented, how and when the corrective actions resulting from the internal audits shall be verified. The audit results shall be communicated to the senior management.
4.17.5
4.18 4.18.1
4.18.2
4.18.3
4.18.4
5 5.1 5.1.1 KO 5.1.2 5.1.3 5.1.4
5.1.5
5.1.6
IFS, February 2010
124
Number
KO/ Major/ NA
Remarks/ Comments
5.2 5.2.1
Site factory inspections Regular factory inspections shall be planned and carried out (e.g. product control, hygiene, foreign body hazards, personnel hygiene and housekeeping). Any deviation and the associated corrective actions shall be documented. Process control In circumstances where the control of process and working environment parameters (temperature, time, pressure, chemical properties etc.) is essential to ensure the product requirements, such parameters shall be monitored and recorded continuously and/or at appropriate intervals. There shall be appropriate procedures for notification, recording and monitoring of malfunction and deviations. Calibration and checking of measuring and monitoring devices The company shall identify the measuring and monitoring devices required to ensure compliance with product requirements.These devices shall be recorded on a document and clearly identified. All measuring devices shall be checked under a monitoring system at specified intervals and in accordance with defined standards/methods.The results of the checks shall be documented and corrective actions carried out, where necessary. All measuring devices shall be used exclusively for their defined purpose. Where the results of measurements indicate a deviation or damage, the device in question shall be immediately repaired or replaced. The calibration status of the measuring devices shall be clearly identified (labelling at the machine or on a list of test devices). Quantity checking (quantity control/filling quantities) The frequency and methodology of quantity checking shall be determined so that the legal requirements for nominal quantity are met. For purchased, already pre-packed products from third parties, there shall be evidence about the compliance with the legal requirements for nominal quantity. All equipment used for quantity measurement shall be calibrated regularly. All equipment used for final checking shall be legally approved and regularly calibrated. Product analysis
5.2.2 5.3 5.3.1
5.3.2
5.4 5.4.1
5.4.2
5.4.3
5.4.4
5.5 5.5.1
5.5.2
5.5.3
5.6
IFS, February 2010
125
Number
KO/ Major/ NA
Remarks/ Comments
5.6.1
There shall be procedures ensuring that all specified product requirements are met, including legal requirements and specifications. Microbiological, physical and chemical analysis required for that purpose shall be performed internally and/or subcontracted. Analyses, which are relevant for the food safety, shall be performed by an accredited laboratory (ISO 17025). If the analyses are performed by a factory internal or non accredited laboratory, the results shall be verified on a regular basis by an accredited laboratory. Procedures shall exist which assure the reliability of the internal analysis results on the basis of official recognised analysis methods.This shall be demonstrated by ring tests or other proficiency tests. A test plan shall be drawn up for internal and external analysis, based upon a hazard analysis which covers raw materials, semi-processed and finished products as well as processing equipments and packaging materials, and where necessary environmental tests.The test results shall be documented. The analytical results shall be reviewed regularly. Appropriate measures shall be introduced promptly for any unsatisfactory results. For the performance of internal analysis, qualified and trained personnel shall be available, as well as appropriate equipment and premises. For validation of finished product quality, internal organoleptic tests shall be carried out regularly in accordance with specifications and shall be documented. When establishing and/or validating the shelf life of the product (including long shelf life product i.e. labelled with a best before date), the results of organoleptic tests shall be taken into account. Product quarantine and product release A procedure shall be in place, based on a hazard analysis, for the quarantine and release of all raw materials, semi-processed and finished products, processing equipment and packaging materials. The procedure shall ensure that only products and materials conforming to product requirements are processed and dispatched. Management of complaints from authorities and customers A system shall be in place for the management of product complaints. All complaints shall be assessed by competent staff. Where it is justified, appropriate actions shall be taken, if necessary, immediately.
5.6.2
5.6.3
5.6.4
5.6.5
5.6.6
5.6.7
5.6.8
5.7 5.7.1
5.8 5.8.1 5.8.2
IFS, February 2010
126
Number
KO/ Major/ NA
Remarks/ Comments
5.8.3
Complaints shall be analysed with a view to implementing preventive actions, which avoid the recurrence of the nonconformity. The results of complaint data analysis shall be made available to the relevant responsible persons and to the senior management. Management of incidents, product withdrawal, product recall A crisis management procedure shall be defined, implemented and maintained.This includes as a minimum the nomination and training of a crisis team, an alert contact list, sources of legal advice (if necessary), contacts reachability, customer information, product withdrawal and/or recall and a communication plan, including information to consumers. There shall be an effective procedure for the withdrawal and recall of all products, which ensure that involved customers are informed, as soon as possible.This procedure shall include a clear assignment of responsibilities. The product withdrawal and recall procedure shall include updated emergency contact details (such as names and phone numbers of suppliers, customers and competent authorities). The feasibility, effectiveness and timeliness of implementation of the withdrawal procedure shall be subject to regular internal testing, based on a hazard analysis but carried out at least once a year.This shall be carried out in a manner to ensure the effective implementation and operation of the procedure. Management of non-conforming products A procedure shall exist for the management of all non-conforming raw materials, semi-finished and finished products, processing equipment and packaging materials.This shall include, as a minimum: isolation/quarantine procedures risk assessment identification (e.g. labelling) decision about the further use (e.g. release, rework/posttreatment, blocking, quarantine, rejection/disposal). The responsibilities shall be clearly identified. The rules of the procedure for the management of non-conforming products shall be understood by all relevant employees. In case of presence of non-conformities there shall be immediate action in order to assure the product requirements are in place.
5.8.4
5.9 5.9.1
5.9.2 KO
5.9.3
5.9.4
5.10 5.10.1
5.10.2
5.10.3
IFS, February 2010
127
Number
KO/ Major/ NA
Remarks/ Comments
5.11 5.11.1
Corrective actions A procedure shall be in place for the recording and analysis of the non-conformities with the objective to avoid recurrences by preventive actions and/or corrective actions. Corrective actions shall be clearly formulated, documented and undertaken, as soon as possible to prevent further occurrence of non-conformity. The responsibilities and the timescales for corrective action shall be clearly defined.The documentation shall be securely stored, and easily accessible. The performance of the implemented corrective actions shall be documented and the effectiveness shall be checked.
5.11.2 KO
5.11.3
IFS, February 2010
CONTACT DETAILS OF THE IFS OFFICES

IFS Office Berlin HDETrade Services GmbH Am Weidendamm 1A 10117 Berlin Germany Phone: +49-(0) 30-72 62 50-74 Fax: +49-(0) 30-72 62 50-79 E-mail: ifs-berlin@ifs-certification.com IFS Office Paris FCD 12, rue Euler 75008 Paris France Phone: +33-(0)1-44 43 99 16 Fax: +33-(0)1-47 20 53 53 E-mail: ifs-paris@ifs-certification.com IFS Office Milano Federdistribuzione Via Albricci 8 20122 Mailand Italy Phone: +39-(0)2-89 07 51 50 Fax: +39-(0)2-6 55 11 69 E-mail: ifs-milano@ifs-certification.com
IFS, February 2010

IFS CC en

Hochgeladen von

Dokumentinformationen

Originalbeschreibung:

Originaltitel

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

IFS CC en

Hochgeladen von

Copyright:

Verfügbare Formate

Cash&Carry/Wholesale

IFS Cash & Carry Wholesale

Version 1 February 2010

Version 1 Februar 2010

IFS Cash & Carry/Wholesale

Members of the IFS Working Group

IFS, February 2010

IFS Cash & Carry/Wholesale

Drawing up an audit plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

IFS, February 2010

IFS Cash & Carry/Wholesale

Supplementary Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appeal Procedure Complaints ......................................

Ownership and Usage of the IFS Logo Review of the Standard

Assessment of the Certification Bodies by the Companies

IFS Cash & Carry/Wholesale

Product development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Purchasing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Product packaging .....................................

IFS, February 2010

IFS Cash & Carry/Wholesale

Risk of foreign bodies, metal, broken glass and wood

Maintenance and repair

Allergens and specific conditions of production Measurements, Analysis, Improvements

IFS, February 2010

IFS Cash & Carry/Wholesale

Part 3: Requirements for Accreditation Bodies, Certification Bodies and Auditors

ANNEX 1: Product Scopes for IFS Cash & Carry/Wholesale Auditors . . . . . . . .

IFS, February 2010

IFS Cash & Carry/Wholesale

Part 4: Reporting, AuditXpress Software and the IFS Auditportal

Minimum requirements for IFS certificate (ANNEX 4) . . . . AuditXpress Software ..................................

The IFS Auditportal and the IFS Database (www.ifs-certification.com) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ANNEX 3: Action plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 ANNEX 4: Certificate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101

ANNEX: Checklist of the IFS Cash & Carry/Wholesale . . . . . . . . . . . . . . . . . . . . . 103

IFS, February 2010

IFS Cash & Carry/Wholesale

Part 1: Audit Protocol

IFS Cash & Carry/Wholesale

General requirements for the quality management system

IFS, February 2010

IFS Cash & Carry/Wholesale

IFS Cash & Carry/Wholesale

Renewal audit (after expiry of the previous audit)

Scope of the Audit

IFS Cash & Carry/Wholesale

Rules for certification

IFS Cash & Carry/Wholesale

IFS, February 2010

IFS Cash & Carry/Wholesale

Chart No 1: Scheme of auditing cycle

Each cycle must be done in the way like cycle 1 and 2.

IFS, February 2010

IFS Cash & Carry/Wholesale

2. > 1 Major and/or < 75 % of the requirements are fulfilled

Report gives status

3. Max 1 Major and 75 % of the requirements are fulfilled

Not approved unless further actions taken

Report including action plan gives status

Certificate, Depending upon the results of the follow-up audit

4. Total score is 75 % and < 95 %

Report including action plan gives status

Yes, Certificate at foundation level, 12 months validity

Send action plan within 2 weeks of receiving the preliminarily report.

Report including action plan gives status