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Constructing the Safety Management

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Studies in System Science (SSS) Volume 4, 2016 www.as-se.org/sss

Constructing the Safety Management Systems

for Food Cold Chain Logistics Based on ISO
28000 Standard
Huishu Piao*1, Jing Wang2
1Transportation Management College, Dalian Maritime University, Dalian, 116026, China
2Logistics Engineering Technology Center, China Waterborne Transport Research Institute, Beijing, 100088, China
hspiao1231@hotmail.com; 2wangjing@wti.ac.cn
*1

Abstract

To improve the safety of food cold chain logistics, the approach of constructing the safety management systems was studied.
Based on defining the range of food cold chain logistics systems and analyzing the current operating models of food cold chain
logistics, it was clear which organization is responsible for overall safety management under different operation modes.
According to ISO 28000 standard requirements, it was studied that the approach and procedure of assessing and planning the
safety risks for food cold chain logistics with QFD methodology, and it was proposed that the logic analytical framework
between the safety management objectives, indexes and programs which is a visible analytical tool of constructing the safety
management systems for food cold chain logistics. Finally, as verifying necessity of constructing the safety management
systems for food cold chain logistics and the approach’ feasibility with investigation, the reference suggestions were proposed
to assure the food cold chain logistics safety in China.

Keywords

ISO28000 Standard; Food Cold Chain Logistics; Safety Management Systems; QFD Method; Safety Risk Planning

I nt roduc t ion

Food safety has become a hot issue all over the world, which not only comes from the procurement and production
field of raw materials, but also affects the flow field, especially in the cold chain logistics. The insecurity of food
cold chain logistics system not only leads to food poisoning, but also makes the large waste, especially in China,
the loss rate reaches 25% ~ 30%[1]. It has become a problem to be solved in current in the food and logistics field to
make sure the safety of food cold chain logistics system for the food circulation in a safe and nondestructive way.
As to the food cold chain logistics safety problems, the existing research literature has been divided into four
categories: Using quantitative method and basing on the growth mechanism model of cold chain food
microorganism and pathogens, study the influence of the cold chain environment temperature, humidity and time
and other factors to the food cold chain safety[2-4]; using RFID technology, study how to monitor safety factors of
food cold chain logistics system, and identify the cold chain food hazard factors by the establishment of traceability
system[5-7]; Using the comprehensive evaluation methods, study the cold chain logistics system safety assessment
model from the safety evaluation perspective[8-10]; from the system point of view, study how to ensure the safety of
food cold chain logistics by establishing a safety management system[11-13].
Among them, system building not only ensures safety foundation, but also is the most effective means to bring
comprehensive effect when integrate various research results effectively. However, because the logistics business
covers a wide range, and involved a lot of the institutions, so system construction has become the greatest
difficulties in food safety management. Although it instructs the system construction in a degree that the standards
of ISO9000 quality management system and ISO22000 food safety management system related in above references,
but the logistics system is still inadequate. Therefore, in 2007, the international organization for Standardization
(ISO) issued a standard "ISO 28000 Specification for Security Management Systems for the Supply Chain
"(Hereinafter referred to as ISO 28000)[14]. In this paper, we will study the method of constructing food cold chain
logistics safety management system by combining ISO 28000 standard and the logistics operating models under the

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supply chain environment.

I nt roduc t ion t o I SO 2 8 0 0 0 St a nda rd

The objective of ISO 28000 standard is to improve the security of the supply chain, that is the safety of the network
made up with processes and resources from raw material procurement to bring products or services to the end
customers by transportation. It may include vendors, manufacturers, logistics providers, export, distribution
center, wholesalers and other entity to the end user. Although in the ISO28000 standard, meaning of the "security
threats" concept is wide (including objective failure threats and risks, working threats and risks, and threats of the
safety precaution and equipment failure caused by natural disasters etc), but there are great differences on the
security threat concerns in different product supply chain. For the food cold chain logistics, the biggest concern is
the corruption and food poisoning caused by microbial contamination, which is also the research focus.
Elements and focuses of the ISO28000 standard are shown in Table 1.
Obviously, the ISO 28000 standard elements set with a typical management mode that is made up with P (Plan: the
first three elements), D (Do: fourth elements), C (Check: fifth elements), A (Action: Sixth elements) management
mode.
TABLE 1 ELEMENTS AND FOCUSES OF THE ISO28000 STANDARD

Elements Focuses
1）requirement of system documentation
2） requirement of system continuous improvement
1 General requirements
3）define the range of security management system
4）identification and control of outsourcing process
1）provide a general framework for establishing and reviewing management objectives, targets and
2 Security management programme*
policy 2）ensure security management objectives
3） maintain the policy effectiveness
1）Security risk assessment
2）Legal, statutory and other security regulatory requirements
3 Security risk assessment
3）Security management objectives
and planning
4）Security management targets
5）Security management programs
1）Structure, authority and responsibilities for security management
2）Competence, training and awareness
3）Communication
4 Implementation and
4）Documentation
operation
5）Document and data control
6）Operational control
7）Emergency preparedness, response and security recovery
1）Security performance measurement and monitoring
2）System evaluation
5 Checking and corrective
3）Security-related failures, incidents, non-conformances and corrective and preventive action
action
4）Control of records
5）Audit

6 Management review and 1） periodic review of the security management system

continual improvement 2）review context

Because it needs many organizations to work together to guarantee the safety of the food cold chain logistics,
therefore, only clear the main operating body, can make the PDCA management model to be effective circulation.
Therefore, it is necessary to understand the current logistics operation mode.

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De finit ion a nd Ope ra t ion M ode of Food Cold Cha in Logist ic s Syst e m

It is the basic requirement of ISO 28000 standard to define the range of the system.

Define the Range of Food Cold Chain Logistics System

At present, there is not a concept that is completely uniform for the food cold chain logistics yet. In the China
national standard "GB/T 28577-2012 Classification and basic specification for cold chain logistics"[15], the definition
of cold chain logistics is: to the freezing process as the basis, refrigeration technology as the methods, it is the
logistics action to make the cold chain items be always under the required temperature environment from the
production, circulating and sales to customers, in order to ensure the quality of the cold chain goods, reduce the
cold chain logistics goods loss. Obviously, it covers the areas of production; and in the China national standard
"GB/T 28843-2012 Food Cold Chain Logistics Traceability Management Requirements[16]", the definition of food
cold chain logistics is: it is the logistics action to make pre-packaged foods under the required temperature ranging
from the storage to the sales, including transportation, warehousing, loading and unloading process. Obviously, its
range does not include production field. This paper applies the concept of "national standard GB/T 28843-2012",
defines the food cold chain logistics system: from the storage of products manufacturing enterprises to the sales (as
shown in Fig. 1).

FIG. 1 RANGE OF THE FOOD COLD CHAIN LOGISITICS SYSTEM

The Operation Mode of the Food Cold Chain Logistics

For the operation mode of food cold chain logistics in China, we roughly divided it into four types: one is logistics
self-supporting pattern operated by production enterprises. In this mode, the main body of constructing logistics
safety management system should be production enterprises. Centralized management that makes production
enterprises be the main body, not only conducive to the implementation of ISO 28000 standard elements, but also
guarantee the safety of logistics system because it is easier to produce cohesion, to reduce inventory and shorten
the logistics cycle. The second is the logistics outsourcing mode that third party logistics enterprises is the main
body. In this mode, the main body of constructing logistics safety management system is the third party logistics
enterprise. It is easy to ensure food safety by using professional technology. The third is the logistics mode that
large retailers run distribution alone. In this mode, the main body of constructing the logistics safety management
system is retailer. The retailer ensures the cold chain food safety by the distribution of small quantity, multi batch
and multiple type of products. The fourth is the cold chain logistics enterprises operation mode of integrating the
agricultural products market with the production, acquisition, processing, storage, distribution and provide
market information services by relying on the wholesale market. In this mode, because it is difficult to define the
authority that is responsible for the safety, so it is difficult to implement the ISO 28000 standard effectively.
Although the premise is that the node enterprises of supply chain implements the ISO28000 standard and state that
they has to build a supply chain safety management system, its effectiveness is difficult to achieve the desired
effect. Because the system plan that failed to co-ordinate not only performs weakness, but also is difficult to find

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out the true reason and corrected when it is wrong. This is the essence of ensuring “supply chain security” of ISO
28000 standard that is different from other management standards.
In conclusion, basing on the logistics operation mode, determining the main body of constructing logistics safety
management system is the basic premise of implementing the ISO28000 standards to ensure logistics safety.

St e p a nd M e t hods of Const ruc t ing Food Cold Cha in Logist ic s Sa fe t y M a na ge m e nt Syst e m

Whether self or outsourcing, the market’s safety requirement for food cold chain logistics system is same. As long
as defining the main body, the step and method of constructing food cold chain safety management system are
basically same.

The Plan Stage

The plan is the first function of management, and it is also the key function. According to the standard clauses, the
task of this stage includes: 1) make sure the departments and responsible person; 2) identify logistics processes and
logistics functions; 3) determine the safety management policy; 4) safety risk assessment and planning.
Among them, the safety risk assessment and planning is not only the key point of this stage, but also the difficult
point of constructing the whole logistics safety management system. In particular, it is the biggest confusion point
that to form the overall framework of safety management by combining the safety risk evaluation and safety
management targets with safety management programmes in the standard clauses. In this paper, with the help of
QFD (Quality Function Deployment) method[17], method and step of safety risk assessment and planning for food
cold chain logistics were put forward.
1) Introduction to QFD Method
QFD is a structured method of quality analysis. It will put the customer voice for quality into the whole process
of product or service planning, to ensure that we take customer requirements for quality into account in the
entire process aspect. The process of QFD implementation is accomplished by a series of graphs and matrices
(as shown in Fig. 2). First of all, based on identifying customers requirements and the competitive evaluation of
the requirements, define the correlation between customer requirements and product technical requirements,
and reflect the correlation and importance between them in the main matrix. Then, according to the importance
degree of product technical requirements to customer requirements, evaluate products technical requirements,
and define objective values of the product technical requirements.
2) The Step of Safety Risk Assessment and Planning Based on QFD
The identification of customer requirements is the starting point of QFD method. Therefore, as planning the
safety management programmes for food cold chain, it is needed to identify the customer’s safety requirements
for cold chain food.

FIG. 2 THE STRUCTURE DIAGRAM OF QFD PROCEDURE

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ⅰ) The development of correlation between customer requirements and cold chain food safety requirements: As
consumers known, there are three kinds of safety risk for the cold chain food, they are: microbiological hazards,
physical and chemical hazards[9]. Among them, physical and chemical hazards depend mainly on the safety
threats in the production and processing, and the safety threats of logistics actions have a little influence on
them, therefore, this paper is limited to the safety requirements of microbiological hazards.

The common sources of microbiological hazards including: Salmonella, Staphylococcus aureus, Escherichia coli,
Bacillus cereus, Lester bacteria, Fungi and Viruses. In Fig. 3 (1), the customer requirements can reflect the
standards relating to food safety issued by the local government, the correlated food safety requirements can
reflect the limit requirements of different kinds of bacteria in the standards. By analysing the correlation and
importance between the corresponding elements, make sure the limiting value of different kinds of bacteria,
namely define cold chain food safety management objectives.
ⅱ ) The development of correlation between the cold chain food safety requirements and the safety
requirements of the cold chain logistics: In order to achieve the above cold chain food safety management
objectives, we should analyze the corresponding cold chain logistics safety requirements(see Fig. 3 (2)).
Research shows that [4], the main factors affecting the main pathogenic bacteria and spoilage microorganisms’
growth, death and residual in food is the time, temperature and humidity in the cold chain logistics. And there
have been many research results that reflect the dynamic changes between the colony and the time,
temperature[9], the cold chain logistics safety factors correspond with the cold chain food safety management
objectives are the management objectives of time, temperature, humidity and damage rate etc, namely define
the cold chain logistics safety management targets.
ⅲ) The development of collaborative requirements between the cold chain logistics safety requirements and the
logistics units: Because the whole logistics process is made up with multiple logistic units and cold chain
logistics is not reversible (i.e. if cold chain food exceeds the safety limit requirements, the measures taken in the
subsequent logistics units will not remedy). Therefore, the corresponding factors of cold chain logistics safety
management targets should be relative standards that ensure the effective coordination among the logistics
units. Including the use of unified intelligent technology for controlling time, temperature and humidity, and
the coordinated work standards and management standards (see Fig. 3 (3)), namely define cold chain logistics
safety management programme.

FIG. 3 THE FORMING PROCESS OF THE SAFETY MANAGEMENT PROGRAMME FOR FOOD COLD CHAIN LOGISTICS

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ⅳ) The development of each logistics unit corresponding to collaborative requirements: Because the logistics
units bear the different logistics function in the whole process of cold chain logistic, so each logistics technology
and standards that logistic unit relate to will be different. Therefore, the logistics unit requirements
corresponding to the collaborative requirements should be the identification and definition of the logistics
technologies and standards required by the different logistics units(see Fig. 3 (4)), namely the development of
the logistics unit requirements.
ⅴ) The working and safety control programme for logistics units: According to the safety management
programme of cold chain logistics, define the logistics working and relative standards that the logistics unit
needs. Identify the main control targets and objectives for each working, and determine the control and
monitoring methods (see Fig. 3 (5)), form food cold chain logistics safety management program that is made up
of all the logistic unit safety control programmes finally. The forming process is shown in Fig. 3.

The Do Stage
The task of the do stage is to ensure that the safety management program that is made in the plan stages to be
implemented effectively. Therefore, it is needed to establish the effective organization system for safety
management, define the respective duties and authority for the managers and operational staffs of the safety
management programme. And based on training, implement their respective functions and good control of
documents.

The Check Stage

Examination and evaluation are the indispensable work of any management. From the primary, middle to high
level, inspection, audit and evaluation are the most basic functions of management. It is the main task of this stage
that according to checking frequency and methods required in the program, fulfilling their duties, putting forward
corrective measures to the problems and doing the records well. Among them, it is the key point of the stage to
determine the suitable safety performance targets and select the scientific and reasonable method to monitor and
measure.

The Action Stage

It is the main task of this stage that according to the inspection and assessment results, improve the logistics safety
management system constantly.

FIG. 4 THE PROCEDURE OF ESTABLISHING THE SAFETY MANAGEMENT SYSTEMS OF FOOD COLD CHAIN LOGISTICS

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In a word, the procedure of establishing the safety management systems of food cold chain logistics and work
points of stages is shown in Fig. 4. The clauses corresponding to symbol “●” refer to the stage points.

T he Surve y a nd t he M a in Proble m s

We do the survey in a small scale to the supervisor and related enterprises using the four modes of operation
above to verify the feasibility and necessity of the research method of this thesis (26 companies). The survey found
that, there was not supply chain establishing a safety management system from the perspective of the supply chain
planning. At the same time, it reflects the following problems: 1) safety management objective is not clear; 2) safety
management standard is not unified; 3) safety target records cannot be traced; 4) safety performance target are not
clear; 5) safety performance monitoring and measurement method is not clear. In a word, it is the main problems
existing in present China's food cold chain logistics safety management that there was not guiding method of
overall safety management system planning, of course, this can also be a way to solve China's food cold chain
logistics safety problem. Using Fig. 3, it will become the basic means to guarantee China's food cold chain logistics
safety that establishing and improving the food cold chain logistics nodes and functional criteria, and ensuring the
effective implementation and promotion of various standards in the food cold chain logistics safety management
program forming process. In addition, the beneficial results produced by implementing ISO28000 will contribute to
promoting the research method of this paper that inspection reduced by 48%, asset visibility improved 50%,
problem solving time shorted 31%, theft and loss reduced by 38%[18].

Conc lusions a nd Prospe c t

The ISO 28000 standard proposes the basic requirements for guaranteeing the safety of food cold chain logistics.
Different operation mode of food cold chain logistics will bring different pattern of safety management
organization. Determining the main body and program of food cold chain logistics safety management is the basic
premise to ensure the safety of food cold chain logistics. QFD method provides a visual analysis process for
planning the safety management program for the food cold chain logistics. The ultimate managing points of food
cold chain logistics safety management programme are the safety control program of each logistics unit, and the
logistics unit safety control programs focus on the relevant standards. It will be the main task of Chinese food cold
chain logistics safety management to establish and improve the standards related to the food cold chain logistics
from the macroscopic structure, and to constructing the safety management system for food cold chain logistics
from the microscopic structure.

ACK N OWLEDGM EN T

This work was supported by the National Natural Science Foundation of China (71271035).

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