Global Food Safety Initiative (GFSI) Protocol

Global Markets Capacity Building Programme

GFSI Global Markets Capacity Building Programme

Protocol
Introduction

This protocol has been developed to guide companies through the programme. It provides guidance for assessment against the Basic
and Intermediate Level food safety requirements to attain the goal of reaching full certification to a GFSI recognised scheme. On a practical level,
it sets out an overview of how to register for the programme, which documents are to be used at which stage of the process, and the steps
which involve certification bodies or assessment service providers. The protocol should be used as an indicative user guide in relation to the
following four key phases of the Global Markets Capacity Building Programme:

(1) Self Assessment: A self-assessment by the business against Basic and/or Intermediate Level Checklist to allow the business to decide its
entry level to the programme. Subject to the outcome of the self-assessment, the business should pass to either phase 2 (Basic Level
Assessment), phase 3(Intermediate Level Assessment), or phase 4 (certification against a GFSI recognised scheme).

(2) Assessment with Assessment Provider: Basic Level: An unaccredited assessment of a business is carried out against the requirements specified
in the Basic Level Checklist. The technical requirements at this level are comprised of 30% of the key elements of the GFSI Guidance Document,
including Food Safety Systems, Good Manufacturing/Agricultural Practices and Control of Food Hazards

(3) Assessment with Assessment Provider: Intermediate Level: An unaccredited assessment of a business is carried out against Intermediate
Level Checklist, which include the Basic Level requirements, a further 40% of the GFSI Guidance Document elements, and the Codex Alimentarius
Standard CAC/RCP 1-1969 Rev 4-2003.

(4) Certification against a GFSI recognized scheme: The official accredited certification against one of the GFSI recognized schemes.

This protocol and the documents referred to in it are subject to the terms of the Disclaimer and the Logo Usage Guideline included in the
appendix to this document.

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Phase 1: Self Assessment

Process Step Description Responsibility Information to the Process Steps

Step
1 Download Information Pack
2 Self Assessment (Voluntary)
Business/GFSI 1. All the necessary information on the GFSI Global Markets
Capacity Building Programme is available and can be
downloaded free of charge from www.mygfsi.com following a
short registration process.
2. Mission statement: A tool for businesses to drive the
continuous improvement process in food safety management
systems, achieving food safety requirements in a phased
approach and ultimately gain certification against one of the
GFSI recognized schemes.
3. Scope: Manufacturing, distribution and storage of
processed foods and preparation of primary products
(excluding wholesale, distribution and storage outside of
direct responsibility and control of the business and
agriculture). Scope extensions will, where appropriate, be
made available on www.mygfsi.com.
4. It is up to the business at which entry point they will start:
• Basic Level Assessment
• Intermediate Level Assessment
• Certification against one of the GFSI recognized
schemes.
Business Conduct a self-assessment by using the Basic and
(Voluntary) Intermediate Checklist , this voluntary step is intended to
allow the business to carry out its own gap analysis process
and develop a remedial action plan.

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3 Entry Level Decision
Phase 2: Assessment with Assessment Provider: Basic Level
4 Schedule Assessment with
Assessment Provider
5 Assessment Basic Level
(Unaccredited)
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Protocol
Business 1. The scope of the assessment shall be the entire facility,
operations and products within the control of that business.
2. The business is free to determine for itself its point of entry:
• Basic Level Assessment (Phase 2);
• Intermediate Level Assessment (Phase 3); or
• Certification (Phase 4).
Business and 1. To ensure the integrity of this GFSI programme there are
Retail / Industry / Food two possible routes to selecting an Assessment Provider:
Service
A. In the case of a voluntary decision of the business to submit
to an assessment against the Basic level, ONLY accredited
Certification Bodies meeting the criteria below shall be used:
• The Certification Body shall be accredited against ISO
65 and/or ISO 17021.
• The Certification Body shall be accredited by an IAF
member Accreditation Body which are specified on
the IAF website: www.iaf.nu.
B. In cases where the business has received a written request
from a customer (for example, a retailer or other food
business) requesting an assessment from a specific, named
Assessment Provider, that Assessment Provider shall be used.
Assessment Provider 1. The Assessment Provider will carry out an unaccredited
assessment against Basic Level Checklist. The duration of
the assessment depends on the nature and complexity of
the business and typically takes half to 1 day (including
reporting).
2. The assessor will provide guidance on compliance with the
requirements of Basic Level. The business shall demonstrate
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6 Assessment
Result
7 Assessment Provider provides
report to business and business
implements actions
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full compliance to a requirement in order for the assessor to
mark the requirement as meeting requirement. All
requirements shall apply and be assessed. Where exclusions
are made, these need to be justified by a hazard assessment.
3. Typical assessor competencies should include:
• Ability to speak the local language.
• A basic knowledge of the scope of the assessed
business.
• Knowledge of the applicable laws and regulations for
the scope of the assessed business.
• Have understanding of the Codex HACCP principles
and basic knowledge of one of the GFSI recognized
schemes.
• Have at least 2 years of working experience in the
food industry.
Assessment Provider The assessor shall decide upon the final result of the
assessment and shall inform the business on the day of the
assessment, as follows:
• Pass- no major non-conformities and no more than 2
minor nonconformities of the Basic Level
requirements (in all sections A, B or C).
• Fail- 1 or more major non-conformities or more than 2
minor non-conformities of the Basic Level
requirements (in all sections A, B or C).
Assessment Provider/ 1. An assessment report (including an assessment summary)
Business should be provided at the end of the assessment to give the
business a better insight into the findings of the assessment.
2. The report shall be provided according to the GFSI Global
Market format, including:
• information in relation to overall performance;
• details of the facility and its operation;
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Phase 3: Assessment with Assessment Provider: Basic and Intermediate Level
8 Schedule Assessment with
Assessment Provider
9 Assessment
Basic Leven + Intermediate Level
(Unaccredited)
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Protocol
• a clear description of areas of non compliance; and
identifying where improvements can be made and
• recommendations for corrective action.
3. The business will receive a report and comprehensive
assessment summary. No certificate shall be issued.
4. The business should implement corrective action and make
provision to progress to meet Basic Level and/or Intermediate
Level Checklist, where possible, within 12 months.
Business and 1. To ensure the integrity of this GFSI programme there are
Retail / Industry / Food two possible routes to selecting an Assessment Provider:
Service
A. In the case of a voluntary decision of the business to submit
to an assessment against the Basic level, ONLY accredited
Certification Bodies, meeting the criteria below shall be used:
• The Certification Body shall be accredited against ISO
65 and/or ISO 17021.
• The Certification Body shall be accredited by an IAF
member Accreditation Body which are specified on
the IAF website: www.iaf.nu.
B. In cases where the business has received a written request
from a customer (for example, a retailer or other food
business), requesting an assessment from a specific, named
Assessment Provider, that Assessment Provider shall be used.
Assessment Provider 1. The Assessment Provider will carry out an unaccredited
assessment against the Intermediate Level Checklist. The
duration of the assessment depends on the nature and
complexity of the business and typically takes 1.5 days
(including reporting).
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2. The assessor will provide guidance on compliance with the

Intermediate Level Checklist.
3. The business shall demonstrate full compliance to a
requirement in order for the assessor to mark the
requirement as meeting requirement. All requirements shall
apply and be assessed.
4. Typical assessor competencies should include:
• Ability to speak the local language.
• A basic knowledge of the scope of the assessed
business.
• Knowledge of the applicable laws and regulations for
the scope of the assessed business.
• An understanding of the Codex HACCP principles and
basic knowledge of one of the GFSI recognized
schemes.
• At least 2 years of working experience in the food
industry, preferably in food safety.
10 Assessment Assessment Provider The assessor shall decide upon the final result of the
Result assessment and shall inform the business on the day of the
assessment, as follows:
• Pass- no major non-conformities and no more than 2
minor non-conformities of the Basic Level
requirements (in all sections A, B and C) and no more
than 2 non-conformities of the Intermediate Level
requirements (in all sections A, B and C).
• Fail- 1 or more major non-conformity or more than 2
minor non-conformities of the Basic Level
requirements or more than 2 non-conformities of the
Intermediate Level requirements (in all sections A, B
and C).
• A scoring list should be provided to give the business a

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better insight into the findings of the assessment. The

11 Assessment Provider provides
report to business and business
implements actions
scoring list may be used by the business as a means to
identify appropriate corrective action.
Assessment Provider/ 1. An assessment report (including an assessment summary)
Business should be provided at the end of the assessment to give the
business a better insight into the findings of the assessment.
2. The report shall be provided according to the GFSI Global
Market format, including:
• information in relation to overall performance;
• details of the facility and its operation;
• a clear description of areas of non compliance; and
identifying where improvements can be made and
• recommendations for corrective action.
3. The business will receive a report and comprehensive
assessment summary. No certificate shall be issued.
4. The business should implement corrective action and make
provision to progress to meet Intermediate Level and/or GFSI-
recognized scheme requirements, where possible, within 12
months.

Phase 4: Certification against a GFSI recognized scheme

12 Select one of the GFSI recognized Business 1. The business shall select one of the GFSI recognized
schemes schemes. The recognized schemes can be found on
www.mygfsi.com.
13 Optional Business This is a voluntary step where the business may wish to
Pre-assessment approach a Certification Body or service provider to undertake
a pre-assessment evaluation against one of the GFSI
recognized schemes.
14 Schedule Certification Audit with Business/ Certification 1. The business should select a Certification Body approved by

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Certification Body Body the selected GFSI recognized scheme owner.

2. The business shall have a formal agreement with the
Certification Body, which specifies operating terms and
conditions.
3. The business should agree the scope of certification.
15 Certification Audit against GFSI Certification Body The Certification Body shall undertake an audit against the
recognized scheme scope of certification and the selected GFSI recognized
(Accredited) scheme.

16 Closure of non conformance/ Business Closure of non conformities shall be in accordance with the
Corrective actions requirements of the selected GFSI recognized scheme.
17 Certification Certification Body The Certification Body shall make the certification decision in
Decision accordance with Internationally Recognized Accreditation
Schemes.

18 Certification Certification Body 1. In the event that the Certification Body grants certification
Gained/ the certificate and report shall be sent to the business.
Report and Certificate issued to 2. In the event that certification is not granted the report shall
business be sent to the business.
3. The Certification Body shall comply with the requirements
of the GFSI recognized scheme owner.
19 Certification Body Certification Body The Certification Body shall upload the report and certification
uploads report and status onto status of the business onto the GFSI recognized scheme
Scheme Owner database owner database in accordance with the scheme requirements.

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Appendix

Disclaimer

The Global Food Safety Initiative Foundation (the GFSI Foundation) and the Consumer Goods Forum publish information and express opinions in good faith,
but accept no liability for any error or omission in any such information or opinion including any information or opinion contained in the material available
to be downloaded or read on this website.

In particular, the information in this document and on the GFSI website in relation to the Global Markets Capacity Building Programme is
provided for general information purposes only, with the goal of seeking to increase the food safety skills of businesses throughout the food
value chain and while the GFSI Foundation endeavours to keep the information up to date and correct, it makes no representations or
warranties of any kind, expressed or implied, about the completeness, accuracy, reliability, suitability or availability with respect to the website
or the information, products, services, or related graphics contained on the website for any purpose.

The information provided in this document and on the GFSI website should not be used as a substitute for obtaining specific legal advice in
relation to compliance with the relevant legal Food Safety requirements in your jurisdiction. Any reliance you place on such information is
therefore strictly at your own risk. In no event will the GFSI Foundation be liable for any damages (including without limitation damages for pure
economic loss or loss of business or loss of profits or depletion of goodwill or otherwise in each case, whether direct, indirect or consequential, or any claims for
consequential compensation whatsoever (howsoever caused) arising in contract, tort (including negligence or breach of statutory duty), misrepresentation,
restitution or otherwise, in connection with this publication or any information contained in it, or from any action or decision taken as a result of reading this
publication or any such information.

Users of the information in this document and on the GFSI website in relation to the Global Markets Capacity Building Programme shall not imply or assert any
association with, or endorsement by, the GFSI Foundation or any members or partners of the GFSI Foundation without the express written consent of the
GFSI Foundation and its members or its partners. In particular, the GFSI Foundation has no control over the nature of assessments carried out in
the basis of these Documents, and any of the assessments against any of the requirements set out in these Documents does not imply a
recommendation or endorsement by the GFSI Foundation.

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Logo Usage Guideline

Any intellectual property used in the Global Markets Capacity Building Programme documents (including the GFSI logo) remains the exclusive
property of the GFSI Foundation.

The GFSI Foundation makes the Global Markets Capacity Building Programme documents available to be downloaded free of charge for your
own use, on condition that:

• you acknowledge the GFSI Foundation’s sole and exclusive ownership of the GFSI Logo and the Documents and you shall not take any
action inconsistent with such ownership, such as adopting, using, registering, or attempting to register any logo or trademark
confusingly similar to the Logo. All use of or goodwill associated with the Logo shall inure to the GFSI Foundation’s benefit. You may not
use the Logo in any manner not expressly authorized by this website or the Documents themselves;

• no branding of, or association with, the GFSI Foundation (including the GFSI Logo), or The Consumer Goods Forum, or links or references
to them are included in communications with third parties (except with the express prior written consent of the GFSI Foundation);

• you do not make any modifications to the Documents, UNLESS all references to the GFSI (including the GFSI Logo) are removed together
with any other identifying features or marks of the GFSI Foundation; and

except insofar as is expressly permitted by the Documents themselves, no part of the Documents may be transmitted to third parties without
the written permission of the GFSI Foundation including translations. Application for written permission should be addressed to:

GFSI c/o The Consumer Goods Forum

22/24 rue du Gouverneur Général Eboué
92130 Issy-les-Moulineaux
France
gfsinfo@theconsumergoodsforum.com

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