explaining the gfsi auditor competence · pdf filecontents 1. background page 4 2. objectives...

Explaining the

GFSI

Auditor Competence Scheme

GFSI Auditor Competence Scheme

Edition 1, July 2014

Summary – Key Points

• The GFSI Auditor Competence Scheme comprises four inter-related components:

– Competencies: validated knowledge and skill requirements of all GFSI auditors. Technical

competencies based on the key elements in the GFSI Guidance Document.

– Knowledge Examination: a rigorous on-line auditor examination process based on GFSI

competencies.

– Skills Assessment: In-situ assessment of auditor skills by qualified skills assessors.

– GFSA Foundation: Independent entity responsible for registering GFSI auditors based on the

outcome of examinations and assessments.

• The GFSI Auditor Competence Scheme does not mandate specific training – only examination and

assessment of knowledge and skills however acquired.

• The GFSI Auditor Competence Scheme will apply to all new and existing auditors of GFSI benchmarked

schemes with the introduction of edition 7 of the GFSI Guidance Document in February 2016.

• The cost of application, knowledge examination, and auditor registration is expected to be US$500 every

four years.

Contents

1. Background Page 4

2. Objectives of the GFSI Auditor Competence Scheme Page 5

3. Components of the GFSI Auditor Competence Scheme Page 6

4. Competencies Page 7

4.1 Auditing Skills & Knowledge Page 8

4.2 Technical Skills & Knowledge Page 9

4.3 Behaviour & Systems Thinking Page 12

5. Knowledge Examination Page 13

6. Skills Assessment Page 14

7. GFSA Foundation Page 15

7.1 GFSA Foundation process Page 16

7.2 GFSI Auditor Registration Process Page 17

8. Implementation Timetable Page 18

9. Additional Information Page 19

Appendix 1: GFSI Auditor Competence Scheme Committee (ACSC) Page 20

1. BackgroundAs GFSI benchmarked schemes have increased in number and international coverage, the

consistency and rigor of the audit process has become increasingly important. Recognising this,

in 2010 the GFSI Board established a multi‐disciplinary Technical Working Group (TWG) to define

generic food safety auditor competencies underpinning all GFSI benchmarked schemes, and the

mechanisms by which they could be assessed and verified.

Over the succeeding two years, the Auditor Competence TWG developed a competency model

and list of agreed knowledge and skill components that can be applied across all GFSI

benchmarked schemes.

In 2012, the GFSI Board re-structured the TWG into the Auditor Competence Scheme Committee

(ACSC), charged with developing a business case for a workable, cost effective and independent

process of competence assessment and credentialing of GFSI scheme auditors. The ACSC

comprises representatives from GFSI benchmarked schemes, plus four representatives from each

of the major stakeholder groups – retailers, manufacturers, primary producers, certification

bodies, and government and intergovernmental agencies.

2. Objectives of the GFSI Auditor Competence Scheme

• Develop a business case for an independent process of competence assessment and

credentialing of GFSI scheme auditors, based on established and validated GFSI food safety

auditor competencies.

• Define the scheme rules, policies and procedures for developing, implementing and

maintaining a GFSI food safety auditor credentialing scheme.

• Continue to develop, update, revalidate and publish competencies against GFSI industry

sectors and key elements.

3. Components of the GFSI Auditor Competence Scheme

Co

mp

ete

nci

es

Food safety Auditor Competencies developed, reviewed, validated, and published, and maintained by the Auditor Competence Scheme Committee (ACSC)

Kn

ow

led

ge E

xam

inat

ion

Rigorous on-line examination of knowledge conducted by Professional Testing/Pearson Vue

Question bank developed and approved by ACSC.

Examination results maintained by GFSA Foundation

Skill

s A

sse

ssm

en

t

GFS

A F

ou

nd

atio

n

Skills Assessors trained, registered, and supervised by GFSA Foundation.Skills assessments conducted by approved Skills Assessors.Assessment results maintained by GFSA Foundation

Global Food Safety Auditor Foundation (GFSA) registers food safety auditors based on knowledge exam and skills assessment; registers skills assessors, and manages an integrity program

The GFSI Competence Model

The GFSI competency model lists the knowledge and skills required to complete the

common, generic tasks conducted by all food safety auditors auditing GFSI

benchmarked standards. It is based on the key elements identified in Part lll of the

GFSI Guidance Document, edition 6 (and subsequent editions).

GFSI recognises that these are only foundation competencies and scheme-specific

knowledge and skills are also required, and that additional higher-level technical

skills can be developed once industry scopes are harmonised across all GFSI

benchmarked schemes.

4. C

om

pet

en

cie

s 1. Auditing Skills &

Knowledge

3. Behaviour & Systems Thinking

2. Technical Skills &

Knowledge

1. Auditing Skills & Knowledge

Auditing competencies common across all management system audits.

1.1 Plan and organise work effectively

1.2 Conduct the audit within the agreed timeframe

1.3 Communicate with auditee personnel at all levels

1.4 Collect evidence by conducting interviews

1.5 Collect evidence by observation and inquiry

1.6 Collect evidence by review of documentation and records

1.7 Analyse, verify and consolidate audit evidence and generate audit findings

1.8 Prepare written audit reports

4.1

Co

mp

ete

nci

es 1. Auditing Skills

& Knowledge



Knowledge

2. Technical Skills & Knowledge

Knowledge and skills required to audit the key elements identified in the GFSI

Guidance Document, Part lll: Scheme scopes and key elements

2.1 Food Safety Management (FSM) Requirements for all Industry Scopes

2.2 Good Agricultural/Aquaculture Practice (GAP) Requirements for Industry

Scopes Al, All, Bl, and Bll

2.3 Good Manufacturing / Distribution / Retail Practice (GMP / GDP / GRP)

Requirements for Industry Scopes D, El, Ell, Elll, ElV, H, J and L

2.4 HACCP Requirements for all GFSI Industry Sectors

4.2

Co

mp

ete

nci

es 1. Auditing

Skills & Knowledge



Knowledge

2. Technical Skills & Knowledge (contd)

The references to GFSI scheme scopes in Section 2. Technical Skills and Knowledge

relate to the scopes in the GFSI Guidance Document that are illustrated below.

Co

mp

ete

nci

es

(4)

4.2

Co

mp

ete

nci

es

2. Technical Skills & Knowledge (contd)

Status of technical competency development @ July 2014C

om

pet

en

cie

s (5

)

C Animal Conversion Validated and published *

D Pre-processing plant products Validated and published *

El - ElV All processing sectors Validated and published *

L Biochemical production Validated and published *

Al Farming of animals Drafted. To be validated

All Farming of fish Drafted. To be validated

Bl Farming of plants Drafted. To be validated

Bll Farming of grains and pulses Drafted. To be validated

J Transport & Distribution Drafted. To be validated

H Retail and wholesale Drafted. To be validated

N Food brokers and agents Drafted. To be validated

All published competencies can be found in GFSI Food Safety Auditor Competencies, edition 1, November 2013, available from the GFSI web site:

http://www.mygfsi.com/technical-resources/gfsi-auditor-competency-framework.html

4.2

Co

mp

ete

nci

es

3. Behaviour and Systems Thinking

3.1 Auditor Conduct and Behavior (personal behavior, audit leadership)

3.2 Systems Thinking (critical thinking, problem solving, root cause analysis)

3.3 Organizational Behaviour and Practices

Co

mp

ete

nci

es

(6)

1. Auditing Skills & Knowledge



Knowlege

4.3

Co

mp

ete

nci

es

• Following a rigorous selection process, Professional Testing Inc has been selected to

partner with GFSI on the development and delivery of an on-line examination

process.

• Initially only applied to auditing of processing industry scopes [EI-EIV] , and in

English, the examination process will be expanded to all GFSI industry sectors and

other languages (Spanish, French, German, Mandarin, Japanese) by 2016.

• Examination delivery shall be sub-contracted to Pearson Vue, one of the world’s

largest test centre networks, with 5,100 computer-based test centres in 175

countries. This provides the best global reach for GFSI’s auditor examination.

• Professional Testing Inc will work with a team of 10 – 15 subject matter experts

(SMEs) provided by GFSI to develop an item bank of 450 – 500 items (questions)

which will form the basis of each exam of approximately 150 questions. SMEs will

be GFSI stakeholders with requisite audit or technical knowledge.

• All auditors of GFSI benchmarked schemes will be required to undertake the

knowledge examination every four years.

5. K

no

wle

dge

Ex

amin

atio

n

• The Skills Assessment is a witness audit assessment protocol and tool designed

to assess GFSI auditors against GFSI auditor skills. The skills assessment will be

administered by GFSI registered Skills Assessors.

• Skills Assessors may be from within Certification Bodies (ie witnessing their own

CB auditors) and may also be independent of Certification Bodies.

• Skills Assessors will be required to pass the knowledge examination, undertake

training in the GFSI skills assessment model, and be registered auditors with one

or more of the GFSI benchmarked schemes.

• The skills assessment protocol has been developed by the Certification Bodies

that are members of the ACSC, and has been tested by CBs and manufacturing

ACSC members.

• The skills assessment protocol has been validated to ensure it covers all the

skills within the GFSI auditor competencies.

• All auditors of GFSI benchmarked schemes will be required to undertake the

skills assessment every four years.

6. S

kills

Ass

ess

me

nt

• The Global Food Safety Auditor Foundation (GFSA Foundation) will be a not-for-

profit business entity, independent of GFSI, responsible for administering the

GFSI Auditor Competence Scheme globally, registering Skills Assessors, and

credentialing auditors of GFSI benchmarked schemes based on the outcomes of

the knowledge examination and skills assessment.

• The GFSA Foundation will also develop and administer an integrity program to

monitor the implementation of the GFSI Auditor Competence Scheme.7. G

FSA

Fo

un

dat

ion

GFSI Board

ACSC

GFSA Foundation

• Appointed by GFSI as per ToR• Develops and maintains competencies• Sets rules and oversights exam development

• Administers GFSI Auditor Competence Scheme• Registers auditors and skills assessors• Manages integrity program

• Includes competencies in Guidance Document• Sets the terms of reference (ToR) for the ACSC.

7.1 GFSA Foundation Process Foundation Process

Skills Assessment

(Registered Assessors)

Knowledge Examination

(Professional Testing)

Auditors of GFSI Benchmarked Schemes

ACSCDevelops and maintains

competencies and scheme rules

GFSA FoundationManages Auditor Competence Scheme and registers auditors

Registers

Following successful registration, Auditors may require additional training in the specific requirements of individual GFSI benchmarked schemes

7.2 Food Safety Auditor Registration Process

Auditor completes

on-line exam (PTI)

Auditor completes

skills assessment

GFSA re-registers auditor

Auditor re-registers with

GFSA

Year 1…

Years 2, 3

Year 4 ….

Schemes report on auditor

performance

Auditor maintains scheme

requirements

Auditor applies to

GFSI scheme(s)

Auditor completes

on-line exam (PTI)

Auditor completes

skills assessment

Auditor registers

with GFSA

GFSA registers auditor

GFSA conducts integrity program

8. Implementation Timetable

The implementation timetable is designed to coincide with the launch of the Guidance Document

edition 7 in February 2016. Key steps:

• Knowledge Examination protocol and skills assessment will be developed second half of 2014,

and trialled (processing sector, English only) first half of 2015.

• Competencies for remaining industry sectors will be validated and published by mid 2015.

• The GFSA Foundation business structure, systems and procedures will be in place by the end

of 2015.

• The full GFSA Auditor Competence Scheme (all sectors, all selected languages) will be

launched with edition 7 of the Guidance Document in February 2016.

• Existing auditors of GFSI standards will be granted three years to transition to the GFSI Auditor

Competence Scheme

Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Validate and publish remaining competencies

Confirm and revalidate all competencies for edition 7

Develop knowledge examinations (post farm gate -

English only)

Trial (500 auditors) using 'manufacturing' competencies

Develop knowledge examination for remaining

competencies

Full launch - all competencies, all languages

Skills Assessment

Finalise and pilot skills assessment template

Develop criteria and train CB skills assessors

Pilot skills assessment template with 'test' auditors

Training of skills assessors in other regions and languages

Full launch of skills assessment

Establish business entity, structure, location,

procedures, and start-up

Full launch of management process for Auditor

Competence Scheme

Establish and launch integrity program

GFSA Foundation

2014 2015 2016 2017

Competencies

Knowledge Examination

9. Additional Information

The following publications are available from the GFSI web site mygfsi.com

• GFSI Food Safety Auditor Competencies, edition 1, November 2013

• GFSI Guidance Document, Sixth Edition Issue 3 Version 6.3

Also available on request:

• GFSI Terms of Reference Auditor Competence Scheme Committee.pdf

Appendix 1: GFSI Auditor Competence Scheme Committee (ACSC)

Chair:

Bill McBride FOODLINK MANAGEMENT SERVICES Service Provider Managing Director AUSTRALIA

Vice Chair:

Mark Overland CARGILL INC. Manufacturer Director, Global Certification USA

Members

Faycal Bellatif EUROFINS CERTIFICATION Certification Body General Manager FRANCE

David Brackston BRC Scheme Owner Technical Director - Food Schemes UK

Leann Chuboff SQF INSTITUTE Scheme Owner Senior Technical Director USA

Natalie Dyenson WALMART Retailer Senior Director Supplier Food Safety USA

Andras Fekete GLOBALGAP Scheme Owner Manager Operations and Integrity GERMANY

Cécile Gillard CARREFOUR MARKETING &

MARCHANDISE

Retailer Grocery and Beverage Quality Group Manager FRANCE

Gys Greeff COCA-COLA Manufacturer Supplier Quality Manager, Global Quality &

Product Integrity

USA

Skip Greenaway EAGLE REGISTRATIONS INC. Certification Body President/CEO USA

Gillian Kelleher WEGMANS FOOD MARKETS INC. Retailer Vice President of Food Safety & Quality

Assurance

USA

Susan Linn SYSCO CORPORATION Distributor Director, Quality Assurance USA

Sean MacCurtain ISO Association Head of Conformity Assessment SWITZERLAND

Bizhan Pourkomailian MCDONALDS RESTAURANTS INC Food Service Director Food Safety & Supplier Workplace

Accountability

UK

Robert Prevendar NSF INTERNATIONAL Certification Body Director of Food Safety Certification Systems USA

Kim Onett SILLIKER GROUP CORP. Certification Body Auditing Operations Manager USA

David Wankowski KRAFT FOODS Manufacturer Director - Global Auditing USA

Petro Zapata YUM! BRANDS Food Service Manager Quality Assurance USA

Fabian Hernandez Colotla EMA (representing IAF) Accreditation Vice Chair PAC MLA Management Committee MEXICO

Eva Lauve STEMILT GROWER LLC Producer Scheduling & Food Safety Manager USA

Betsy Klein FRONTERA PRODUCE LTD Producer Senior Compliance Manager USA

Maria Lopez de

Montenegro

DIA GROUP Retailer Quality Dia Group Director SPAIN

Albert Chambers CANADAGAP Food Service Consultant (Monachus Consulting) CANADA

GFSI Board Liasons

John Carter METRO CASH & CARRY Retailer Vice President Metro Group: Global Director

Quality Assurance

GERMANY

Peter Begg MONDELEZ INTERNATIONAL Manufacturer Sr. Director, Global Quality Programs USA

explaining the gfsi auditor competence · pdf filecontents 1. background page 4 2. objectives...

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