Risk-Based Food Inspection Manual
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ISSN 0254-4725 89 FAO Risk-based food FOOD AND NUTRITION inspection manual PAPER 89 Food inspection, based on risk analysis, is a vital component of a modern food control system. Food inspection is essential to protect consumers by implementing adequate food controls to ensure domestically produced or imported food is properly handled, stored, manufactured, processed, transported, prepared, served and sold in accordance with the requirements of national laws and regulations. In addition, inspection and verification of food exports promotes confidence in the safety and quality of exports, which is essential for international trade. This manual introduces a risk-based inspection approach and procedures for primary production operations and food processing establishments, and is composed of six parts. The first part, Concepts and approaches of modern food inspection, describes the concepts, approaches and frameworks of the modern food inspection process. The second part, General inspection procedures, introduces the overall concept of risk-based inspection and describes basic inspection manual Risk-based food principles and components of food inspection, including organization of an inspection, authorization, rights and responsibilities of an inspector, prerequisite plan, regulatory action plan, traceability and recall plan and the closing, reporting and documentation of an inspection. The third part, General inspection approach for primary production facilities, explains the generic inspection procedures covering primary production. The fourth part, General inspection approach for food processing facilities, covers the generic inspection procedures for food processing operations. The fifth part, Enforcement and compliance, covers general aspects of food inspection, such as the regulatory basis of food safety and quality, the knowledge and skills needed by food inspectors and the compliance, enforcement, appeal and recall processes. Finally, the sixth part comprises the Annexes, which include a sample primary production facility inspection checklist, a sample food processing facility inspection checklist and references/further reading. ISBNISBN 978-92-5-105976-0 978-92-5-105976-0 ISSN 0254-47250254-4725 97978899225511 0 5 9 7 6 00 TC/M/ITC/M/I0096E/1/04.08/1150 FAO (QTHWTVJGTKPHQTOCVKQPRNGCUGEQPVCEV (QQF3WCNKV[CPF5VCPFCTFU5GTXKEG 0WVTKVKQPCPF%QPUWOGT2TQVGEVKQP&KXKUKQP (QQFCPF#ITKEWNVWTG1TICPK\CVKQPQHVJG7PKVGF0CVKQPU 8KCNGFGNNG6GTOGFK%CTCECNNC 4QOG+VCN[ (CZ 'OCKNHQQFSWCNKV["HCQQTI 9GDUKVGYYYHCQQTICICIPCIPU FAO Risk-based food FOOD AND NUTRITION inspection manual PAPER 89 FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS Rome, 2008 The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specific companies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed or recommended by FAO in preference to others of a similar nature that are not mentioned. ISBN 978-92-5-105976-0 All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of the copyright holders. Applications for such permission should be addressed to: Chief Electronic Publishing Policy and Support Branch Communication Division FAO Viale delle Terme di Caracalla, 00153 Rome, Italy or by e-mail to: [email protected] © FAO 2008 Contents Contents.....................................................................................................................................iii Table of figures ......................................................................................................................... vi Acronyms .................................................................................................................................. vi Acknowledgements ..................................................................................................................vii Foreword ...................................................................................................................................ix Introduction to the manual...................................................................................................... 1 1. Scope of the manual ................................................................................................... 2 2. Objectives................................................................................................................... 2 3. Descriptive terms........................................................................................................ 2 4. Target audience .......................................................................................................... 3 5. Contents and use of the manual.................................................................................. 3 1. Concepts and approaches of modern food inspection .......................................... 5 1.1. Role and responsibilities of stakeholders in the food chain ....................................... 5 1) Government................................................................................................................ 5 2) Consumers.................................................................................................................. 5 3) The food industry ....................................................................................................... 5 1.2. General inspection philosophy and approach............................................................. 5 1.3. Social and economic impact of food control.............................................................. 6 1) Food-borne disease and food control ......................................................................... 6 2) Economic impact........................................................................................................ 7 3) Social impact.............................................................................................................. 7 1.4. Quality and safety management systems ................................................................... 7 1.5. The role of inspection in food control........................................................................ 8 1.6. Food chain approach to food control.......................................................................... 8 1.7. Risk-based food inspection ........................................................................................ 9 1.8. Shifting from product-based inspection to risk-based inspection ............................ 12 1.9. Establishment registration and identification........................................................... 12 1.10. Establishment categorization.................................................................................... 13 1.11. Prioritization for inspection based on establishment and product profiles .............. 14 2. General inspection procedures ............................................................................. 16 2.1. Introduction .............................................................................................................. 17 2.2. Objectives................................................................................................................. 18 2.3. Inspection of food business system components...................................................... 18 2.4. Organization of the inspection ................................................................................. 19 2.5. Authorization, rights and responsibilities................................................................. 19 2.6. Prerequisite plan....................................................................................................... 20 2.7. Regulatory action plan ............................................................................................. 22 1) Product and process standards.................................................................................. 22 2) Ingredients and packaging materials ........................................................................ 22 3) Labelling................................................................................................................... 22 2.8. HACCP plan, traceability and recall plan ................................................................ 23 1) HACCP plan............................................................................................................. 23 2) Traceability and recall programme .......................................................................... 23 2.9. Inspection closing, reporting and documentation .................................................... 23 3. General inspection approach for primary production facilities........................ 25 3.1. Introduction .............................................................................................................. 26 3.2. Objectives................................................................................................................