1. U.S. Market: Private Company Standards
Leslie D. Bourquin
Department of Food Science and Human Nutrition
Michigan State University
Standards Alliance Workshop on Standards to Support Small- and Medium-Sized Enterprises
Lusaka, Zambia
August 21, 2019

2. Presentation Outline
Introduction to Private Standards and Third Party Certification
Global Food Safety Initiative
GFSI Benchmarking and Recognized Food Safety Certification Programs
Buying Company Requirements
GFSI Global Markets Program

3. Background The Challenge of Global Sourcing Buying Companies Want
Global supply chains continue to grow longer and more complex.
Competency of actors in all sectors of the global food system is highly variable.
Food contamination problems – both unintended and intentional adulteration – continue to arise globally.
Food safety concerns and buyer requirements continue to evolve.
Safe and high quality ingredients / food products.
Competent suppliers (farmers, processors) who can meet standards for food quality, safety and consistency of supply.
Consistency of food standards across different geographies.

4. Food Safety Standards Public Standards Private Standards
Government laws and regulations
International Trade: Codex Alimentarius Commission
Tend to focus primarily on risks due to food hazards
Regulatory capacity and enforcement of public sector food standards is highly variable across economies.
Driven by the food industry: retail buyers, buyer organizations, commodity groups, NGOs, etc.
Cover considerations regarding control of food hazards (perhaps not always risk-based) but may also consider other factors such as environmental issues and corporate social responsibility objectives.

5. Private Food Safety Standards
Existence in some form for many years, but major push began in late 1990s.
Driven by retailer demand for improved food risk management in light of several high-profile food scares in Europe during the mid- to late-1990s.
BSE (Mad Cow Disease)
Dioxin crisis
Etc.
Key Factors Driving Private Standards
Provide brand protection
Meet legislative requirements
Promote business improvement and efficiency
Assist in the response to consumer concerns

6. Types Food Safety Audits
First Party – a self audit conducted by the firm.
Second Party – an audit performed by the buyer.
Third Party – an audit performed by a party separate from the producer or buyer.
Not to be confused with inspections performed by government regulatory authorities.
Strict separation between standards ownership and the auditing/certification mechanism.
Third-Party Certification
Buyer (e.g. retailer, manufacturer) establishes requirements.
Supplier contracts with a third-party certification (TPC) body to conduct an audit against the requirements.
The supplier pays the cost of the audit and associated expenses
The Standard Owner establishes the food safety certification program requirements, seeks appropriate benchmarking of the standard (e.g. GFSI) and approves TPC bodies to conduct audits against the scheme.

7. The Consumer Goods Forum
Paris, HQ
Tokyo
Washington D.C.
An independent global parity- based Consumer Goods network
Over 650 Members
Representing 70 countries
Offices in 3 continents 7

8. Consumer Goods Forum Retail Members8

9. Consumer Goods Forum Manufacturing Members9

10. Global Food Safety Initiative Background
GFSI launched in 2000 following a directive from food business CEOs of The Consumer Goods Forum (known as CIES at the time) following concerns about:
Food safety crises
Profileration of individual retailer schemes
Burden to suppliers and producers due to frequent audits
Lack of efficiency and high costs in the food supply chain 10

11. GFSI Mission and Objectives
Provide continuous improvement in food safety management systems to ensure confidence in the delivery of safe food to consumers worldwide
Objectives
Reduce food safety risks
Manage cost in the supply chain
Develop competencies and capacity building
Knowledge exchange and networking
GFSI 11

12. How Does GFSI Work?
Benchmarks existing food safety certification programs, including pre-farm gate certification programs, against the GFSI Requirements Document.
Determines whether a certification program is equivalent to the GFSI Requirements Document guidance.
Helps and encourages food safety stakeholders to share knowledge and strategy for food safety and to develop best food safety practice in a common global framework. 12

13. GFSI Breakthrough - June 2007
The following companies came to an agreement on the common acceptance of GFSI benchmarked food safety certification programs. 13

14. GFSI Benchmarked Food Safety Certification Programs
GlobalGAP Integrated Farm Assurance Scheme, Version 5 Global Aquaculture Alliance BAP Seafood Processing Standard FSSC – 2011 Issue
BRC Global Standard for Food Safety Issue 7
IFS Food Standard Version 6
SQF Code 7th Edition Level 2 14

15. GFSI Benchmarked Food Safety Certification Programs
Primus GFS Standard Version 3 Global Red Meat Standard Version 6
CanadaGAP Standard Version 7.1
AsiaGAP
Japan Food Safety Standard Version 2.3
For more information: 15

16. Zambia: Status of Private Food Safety Standards Certifications
Primary Production
Food Manufacturing
10 GlobalGAP certificate holders (farms) in Zambia
Commodities under GlobalGAP certification: corn, wheat, soybeans, avocados, blueberries, grapes and vegetables
2 Processors certified against FSSC 22000
Poultry Processor
Sugar Producer
Certification Bodies active in Zambia: Control Union, DNV, MPS-ECAS, NSF UK, SAI Global
None have local offices
Number of certificate holders (numbers of producers) (Personal Communication from E. Coetzer 8/14/2019) Zambia                 10
Zimbabwe           49
Angola                  2
Mozambique      11 (24 producers)
Tanzania              17 (111 producers)
Kenya                    326 (28663 producers)
Ghana                   37 (76 producers)

17. Buying Company / Organization Requirements
Example – WalMart
Example – World Food Programme
Expects compliance with legal requirements in country of production and sale of food products.
Utilizes GFSI-recognized food safety certification programs as a requirement for many suppliers of fresh and processed food products.
Accepts GFSI Global Markets Intermediate Level compliance for some low risk products, within certain markets.
Standard requirements may vary between local markets and imported products.
Procurement of products used for emergency aid.
Expects compliance with legal requirements in country of production.
Has very robust requirements for its suppliers, which are enforced by audits conducted by WFP personnel.
Compliance with GFSI-recognized food safety standards will greatly improve the likelihood of a company meeting WFP requirements.

18. Food Safety Compliance for Less Developed Businesses
Food Safety Standards for Market Access
Global Food Safety Initiative
Small-scale producers / suppliers and those in less developed economies / sectors face considerable market access challenges.
Improved food safety and other standards compliance by these suppliers is a strategy to improve access to regional and more distant markets.
Establishes requirements for international private food safety standards and benchmarks private food safety certification programs for equivalence.
Compliance with GFSI-benchmarked food safety certification programs is challenging for suppliers in less developed markets (economies and sectors).

19. GFSI Global Markets Program
GFSI’s Global Markets Program sets out how companies who lack or have less sophisticated food safety systems can meet the challenge of food safety Multiple public:private partnerships to develop and implement the program (MSU, GFSI, international organizations, private sector).
Initial development started in 2008
Global Markets Program for food manufacturing launched in 2011
Current status
Global Markets Manufacturing, 2nd Edition (2015)
Global Markets Primary Production (Plant Products), 2nd Edition (2018)
All materials freely available online

20. GFSI Global Markets Program A voluntary step-by-step tool for continuous improvement
The GFSI Global Markets Program
How the levels match the key elements of the GFSI Guidance Document
Basic: 35%
Intermediate: 65%
Step Two:
Unaccredited assessment against Basic level
Step One:
Self-assessment to determine point of entry
when ready
Step Three:
Unaccredited assessment against Basic and Intermediate level
Step Four:
Accredited certification against a GFSI recognized certification program
if ready
when ready

21. Global Markets Program: The document plan
Protocol
Program structure with a description of progression through its phases.
It is applicable for both Primary and Manufacturing.
Training and competency framework
Provides guidance on training to companies, training providers and learners.
Includes a framework of competencies mapped against the checklists.
Checklist: Manufacturing
Basic and Intermediate levels for manufacturing
User guidance
Supplementary information:
What does it mean?
What do I need to do?
What will the Assessor check for?
Checklist: Primary production
Basic and Intermediate levels for primary production

22. Global Markets Program Requirements: Complete Overview
Matching Level
GFSI
Recognized
Certification Programs
Manufacturing Scope:
BRC
FSSC 22000
IFS
PrimusGFS
SQF
Etc.
100%
GFSI
Requirements
Document
Elements
70%
Global
Markets:
Basic Level +
Intermediate
Level
30%
Global
Markets:
Basic Level

23. } GFSI Global Markets Protocol – Basic Level for Food Manufacture (V1)
Group A: Food Safety Systems
Specifications
Traceability
Incident Management B A S I C L E V
Control of Non-conforming
Product
Corrective Actions
Group B: Good Manufacturing Practices
Personal Hygiene
Facility Environment
Pest Control
Product Contamination Control
Cleaning and Disinfection
Water Quality
Group C: Control of Food Hazards
Control of Food Hazards General
Control of Food Hazards Specific
Control of Food Allergens }

24. GFSI Global Markets Protocol – Intermediate Level for Food Manufacture (V1)
Group A: Food Safety Management Requirements
Management Responsibility
Document Control
Procedures
Complaint Handling
Control of Measuring and Monitoring Devices I N T E R M D A L V
Product Analysis
Supplier Qualification and Approval
Supplier Performance Monitoring
Training
Group B: Good Manufacturing Practices
Facility Layout, Product Flow and Equipment
Facility and Equipment Maintenance
Staff Facilities
Waste Management
Transport and Storage
Group C: Control of Food Hazards
HACCP (8 Modules)
Food Defense

25. Global Markets Program – Public-Private Partnerships
GFSI
Design, develop and manage all documentation
Review and improve the process
Suppliers
can be mandated by buying companies to progress through the program.
Buying companies
can mandate their suppliers and support them as they progress through the program.
Service providers
can partner with buying companies or suppliers to carry out assessments and training against the program checklists.
International organizations
can use the program as a basis for capacity building projects, using local experts to ensure relevance.

26. Brazil – October 2013

27. Global Markets Program in Action Thailand and Vietnam – MACBETH Project
MACBETH – Market Access via Competency Based Education and Training in Horticulture
Thailand and Viet Nam
Funding by WTO Standards and Trade Development Facility
Michigan State University led implementation with local universities (Kasetsart University and Can Tho University)
Strong, sustainable partnerships with industry, retailers and governments.
An external evaluation found the project had “significant and lasting impact on enhancing management of food safety risks within fruit and vegetable chains”, pointing to “improved market access, higher incomes and reduced rejections”.

28. Impacts – Market Access
“Being part of the STDF project was a game changer for my company. It was the springboard to get HACCP and ISO 22000:2005 certification. This enabled us to export fruit and vegetables to the EU, Japan and the US.”
Mr. Phan Quoc Manh Hung
Former Owner, Hung Phat Joint Stock Company, Vietnam

29. Impacts – Supply Chain Integrity
“This project gave SIAM-MAKRO the tools to launch a new comprehensive food safety management program. With this system in place, we’ve seen a downward trend in detection of contaminants and product rejections. And we’re more confident to buy from small-scale farmers and processors.”
Ms Jutarat Pattanatorn
Assistant Director, Quality Assurance,
SIAM-MAKRO

30. Impacts – Improved Food Safety Compliance
Participating companies corrected non-conformities identified during assessments using the Global Markets checklists.
Companies achieved full GFSI-benchmarked certification, or had improved compliance against other requirements (e.g. WFP requirements).
Significant reductions in prevalence or concentrations of specific food safety hazards assessed during the programs.
Microbial indicators
Mycotoxins
Aflatoxin quantification using lateral flow immunoassays.

31. Thank you for your kind attention
Leslie D. Bourquin Professor and Food Safety Specialist Department of Food Science and Human Nutrition Michigan State University 139A G. M. Trout Bldg. 469 Wilson Road East Lansing, MI USA Phone: