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Dairy Products Safe and True
Part B Standards
| MRD Standard 1 | contents |
Standard for Inspection, Audit, Validation and Approval Services (Superceded)
- Standard
- 1. Purpose
- 2. Scope
- 3. Definitions
- 4. References
- 5. Recognition and the Recognition Panel
- 6. Requirements of Organisations
- 7. General Requirements of Assessors
- 8. Farm Dairy Inspection, Approval and Audit
- 9. Dairy Processing Inspection
- 10. Stores Inspection
- 11. Auditors
- 12. Validation of HACCP Programmes
- 13. Validation of Pasteurisation Control and Calibration Procedures
- 14. Validation of Environmental Pathogen Monitering Programmes
- 15. Validaiton of Pest Management Programmes
- 16. Checks of Assessors
- 17. Verification by MAF Reg
- 18. Attachments
- Appendix I - Application for Regognition of Assessment Services Operating uinder the Dairy Industry Regulations 1990
- Appendix II - Nomination for Recognition as an Assessor Operating under the Dairy Industry Regulations 1990
1.2 This is the standard organisations and individuals providing inspection, audit, validation or approval services (i.e. assessment services) must meet in order to qualify for recognition by MAF Regulatory Authority. Recognition and on-going monitoring are the means by which MAF Reg establishes confidence in the assessment services, and is able of minimise its own direct involvement.
1.2 This standard satisfies Regulation 6, Approvals generally, of the Dairy Industry Regulations 1990. Product safety programmes conforming to this standard will be approved in respect of assessment services.
2.1 This standard applies to organisations and individuals engaged by dairy companies or stores to provide any of the assessment services listed in Section 5 for product safety purposes in terms of the Dairy Industry Regulations.
2.2 It establishes the minimum qualifications and experience necessary for individuals to be recognised by MAF Reg as being competent to inspect, audit, approve or validate.
2.3 This standard, interpreted appropriately, also applies to one-person agencies that provide assessment services, including the requirement to avoid conflict of interest between consultancy services (such as design or systems advice) and assessment services.
Approval means assessing design, equipment and materials for compliance with standards acceptable to MAF Reg and advising of items that comply.
Assess means inspect, audit, validate or approve. Assessor and assessment have similar meanings.
Environmental pathogen monitoring programme means those activities undertaken to assess the risk of, sample for, test for and take corrective action as a consequence of finding pathogenic organisms.
MAF Reg means the Ministry of Agriculture Regulatory Authority -- Dairy.
Panel means the Recognition Panel of MAF Reg -- Dairy
Recognition means the acknowledgment by MAF Reg in writing that a service or individual meets the required standard and the results of their work may be used to contribute to MAF Reg monitoring.
Validation means the confirmation, by a competent, impartial agency, that a procedure is complete and will deliver the expected food safety outcomes and is being implemented as documented.
- Dairy Industry Regulations 1990.
- Dairy Products Safe and True. MAF Reg, 1993.
- NZCP 2: Assessment of Farm Dairies Code of Practice.
- ISO Guide 58 -- Calibration and Testing Laboratory Accreditation Systems -- General requirements for operation and recognition.
- ISO 10011 (NZS 10011) -- Guidelines for auditing quality systems.
- PrEN 45004 General Criteria for the Operation of Various Bodies Performing Inspection.
- EN 45011 (BS 7511) -- General Criteria for Certification Bodies Operating Product Certification.
- EN 45012 (BS 7512) -- General Criteria for Ccertification Bodies Operating Quality System Certification.
5. Recognition and the Recognition Panel
5.1 In its monitoring of product safety standards in the dairy industry, MAF Reg makes use of reports issued by assessment agencies and supplied by dairy companies. MAF Reg must satisfy itself of the competence of the agencies and individuals carrying out the services. The standards of competence are specified in this standard and in the references. Organisations and individuals who are considered by MAF Reg to satisfy these standards are recognised, and receive a letter of recognition signed by the Chief Dairy Officer, MAF Reg.
5.2 Decisions on recognition are made by the panel, which consists of senior MAF Reg officials. It considers applications from organisations and individuals for recognition and reports of audits and observations of organisations and individuals for continued recognition.
5.3 Categories of services
The categories of services for which recognition is available are:
Code Category
Fa Farm dairy siting, building and installation approval
Fi Farm dairy inspection
Fq Farm dairy audit
Pu Inspection of dairies producing raw milk for direct human consumption
Pa Signatory for approval of dairy factory site, plans, buildings, equipment, installation and alterations
Pi Dairy product processing inspection
Pq Dairy product processing audit
Ph Validation of HACCP programmes
Pv Validation of pasteurisation control and calibration procedures
Pr Re-checking pasteurisers between validations
Pe Validation of processing environmental pathogen surveillance programmes
Pp Validation of processing pest management programmes
Sa Signatory for approval of dairy store site, plans, buildings and alterations
Si Dairy product stores inspection
Sp Validation of stores pest management programmes
St Store tally clerk
Lm Laboratory audit -- microbiology
Lc Laboratory audit -- chemistry
Ll Laboratory audit (lead auditor)
Approval of detergents, sanitisers, equipment and other items for hygiene purposes.
5.4 Lists of currently recognised organisations and individuals are published in Dairy Products Safe and True. "Current" means having been recognised or confirmed by the panel during the current season or having been recognised or confirmed by the panel during the previous season and being available for observation during the current season.
5.5 Individuals and organisations must not misrepresent their recognition status.
6. Requirements of Organisations
6.1 When applying for recognition, organisations shall provide their name, street and postal addresses, telephone and fax numbers, and the name of a contact person responsible for the assessment activity. An application form is in Appendix I. The application lapses if MAF Reg receives no response to a query concerning the application within 2 months.
6.2 Organisations shall have a management system for their service which meets appropriate international standards, such as ISO Guide 58, PrEN 45004, EN 45011 or EN 45012. Auditing procedures shall be based on ISO 1011.
6.3 Each organisation shall make available to MAF Reg copies of any audits by accreditation agencies such as JAS-ANZ or by certification agencies such as International Accreditation New Zealand which certify inspection organisations.
Each organisation shall make available the results of internal audits.
6.4 Organisations shall nominate the individuals they wish to use as assessors and provide details described in Section 7. An application form is in Appendix II.
Each organisation shall keep MAF Reg informed of staff changes as they affect assessment in the dairy industry.
6.5 Each organisation shall have procedures to select and train its assessors, to monitor and where necessary correct their performance, and to update their skills. It shall also provide them with the resources to do their jobs. Each organisation shall have a formal qualification process by which it records that an individual has reached a satisfactory standard and may now carry out the service being offered.
6.6 Each organisation shall have procedures or methods for assessment, standards for assessment (i.e. pass/fail or rating criteria), and standard test methods, where used. The procedures, methods and standards shall be approved by MAF Reg.
Each organisation shall provide a controlled copy of its procedures to MAF Reg as a basis for approval and observation. The controlled copy shall be maintained up to date, and the organisation shall inform MAF Reg of any significant changes to the procedures.
6.7 Organisations' procedures shall make provision for them both to carry out the assessment, and to verify the completion of corrective action. The verification shall be on site, unless the corrective action relates only to documentation.
6.8 Each organisation shall inform MAF Reg, with as much notice as possible, of assessments to be carried out in the dairy industry and shall make arrangements with their client if MAF Reg wishes to observe any such activity.
6.9 Each organisation shall ensure that its assessors make available to MAF Reg all notes, correspondence and reports associated with an observed assessment.
7. General Requirements of Assessors
7.1 Food safety experience
Assessors are expected to have some work experience in a food industry in some role connected with food safety, preferably in the dairy industry, and at a supervisory or managerial level. Record the time spent in each position on the application form.
7.2 Qualifications
Relevant qualifications are:
- tertiary qualifications such as a degree, diploma or certificate;
- inspection or audit qualifications from bodies such as the New Zealand Organisation for Quality and the Institute of Quality Assurance;
- public health qualifications.
7.3 Assessment training
Training includes courses, both in-house and external, in the skills needed to carry out the job.
Assessors should also be trained in the standards and procedures relevant to the assessments they do, including the development of checklists based on the standards.
Documentation of the content of training courses shall be provided to MAF Reg on request.
7.4 Assessment experience
New assessors, before they work on their own, should carry out enough assessments in the company of a recognised assessor to have seen and identified about 30 non-compliances, and rated them where appropriate. This is to give them some experience and feedback before they start to work on their own. The amount of experience an assessor should have before being allowed to work on their own should be about 1 week in total.
The assessor should record the time, type of assessment and approximate number of assessments carried out for each service.
7.5 Impartiality
Assessors shall be unbiased in their view of the operations or activities they are assessing. In particular they:
- shall be external to the areas being assessed to avoid any real or perceived conflict of interest;
- shall have no direct responsibility or accountability for any work in the areas to be assessed; and
- shall not be affected or influenced by the outcome of the assessment.
7.6 Product safety
Assessors shall notify the owner or occupier of the premises if they form an opinion while carrying out an assessment that the safety of the dairy product is at risk.
8. Farm Dairy Inspection, Approval and Audit
8.1 Qualifications for recognition for "farm dairy inspection" are given in NZCP 2, Section 8.2.
8.2 To qualify for recognition for "farm dairy siting, building and installation approval" an inspector shall be recognised for farm dairy inspection and shall have knowledge and understanding of NZCP 3, and experience in its application.
8.3 To qualify for recognition for "farm dairy audit" an auditor shall be recognised for farm dairy inspection and shall have audit training and experience.
8.4 To qualify for recognition for "inspection of dairies producing raw milk for direct human consumption", an inspector shall be recognised for farm dairy inspection and shall have training and experience in the harvesting, storage, packing and standards relating to raw milk.
9. Dairy Processing Inspection
To qualify for recognition for "dairy product manufacturing inspection", an inspector shall have:
- Some formal qualification involving a combination of production, manufacture, testing, quality management for food hygiene of milk, e.g. a Dairy Diploma.
- Hands-on experience in the dairy industry at a level where an appreciation of the effects of manufacturing techniques on product quality would be gained, i.e. in a laboratory directly involved in product quality control, rather than solely in analysis, or in processing at a responsible level.
- Training in food hygiene and safety, HACCP techniques, quality management principles, knowledge of the relevant Dairy Industry Codes of Practice, and an understanding of the relevant legislation. Pathogen awareness, foreign matter awareness, pest control and the design of buildings and equipment are all important in the effective inspection of dairy plants. As the inspectors are likely to be asked for advice they should have good problem solving skills.
- Competency demonstrated by carrying out at least five inspections in the company of a recognised inspector or as many more as it takes for the recognised inspector to be satisfied of the standard of the new inspector's work.
The requirements for stores inspection are similar to those for dairy product manufacturing inspection (Section 9), but the qualifications, training and experience may relate more narrowly to stores.
11.1 To qualify for recognition for "dairy product manufacturing audit", an auditor shall:
- Have the appropriate background, qualifications, specific training, and experience in the role they are undertaking, i.e. they should have participated in audits under the supervision of a recognised auditor, and they should be technically competent in the areas which the audit covers (for example, milk production, dairy manufacture, etc.).
- Be able to form a comprehensive overview of safety.
- Be independent of the company being audited, and not directly providing inspection, testing or consultancy services to the company.
11.2 Laboratory auditors are required, in addition, to have technical training and experience at a senior level in the tests which they are auditing.
11.3 Laboratory lead auditors must have been involved in the running of a laboratory and must have a recognised auditor qualification.
12. Validation of HACCP Programmes
To qualify for recognition for "validation of HACCP programmes" an assessor shall have:
- training in HACCP and a knowledge of MRD-Stan 15;
- training in auditing;
- a qualification with a food safety content;
- a knowledge of the product and process and direct involvement with HACCP;
- competency demonstrated by at least five audits in the company of a recognised HACCP auditor. The audits shall be documented and an assessment of the auditor recorded. The nomination must be accompanied by a summary of the accompanied assessments carried out.
13. Validation of Pasteurisation Control and Calibration Procedures.
13.1 To qualify for recognition for "validation of pasteurisation control and calibration procedures" an assessor shall:
- Have the appropriate background, qualifications, specific training, and experience in the role they are undertaking, i.e. they should have participated in audits under the supervision of a recognised auditor, and they should have an appropriate engineering qualification and have had training in the design and use of pasteurisers, be technically competent in the areas which the validation covers.
- Be able to form a comprehensive overview of pasteurisation.
- Be independent of the company being serviced, and not directly providing testing or consultancy services relating to pasteurisation to the company.
13.2 To be recognised for "re-checking of pasteurisers between validations" requires similar qualifications, training and experience but the assessor may be employed by the company whose pasteurisers are being assessed provided they are in a functionally separate part of the organisation from that routinely servicing, using or checking the pasteurisers.
14. Validation of Environmental Pathogen Monitoring Programmes
To qualify for recognition for "validation of environmental pathogen monitoring progragmmes", an assessor shall have:
- A tertiary qualification, preferably with a microbiological component.
- Specific training in food microbiology, epidemiology and control of pathogens, environmental control, pathogen monitoring techniques, NZCP 5, traceback, and HACCP techniques.
- Specific training in validation techniques, including the use of a specific checklist. (Note: Refer to MRD-Stan 10, Validation of Environmental Pathogen Surveillance Programmes).
- Pathogen traceback experience.
- Competency demonstrated by carrying out a minimum of five assessments in the company of a recognised assessor. This is to give them some experience and feedback before they start to work on their own. These assessments shall be documented and an assessment of the assessor recorded. Individual applicants must state the type and number of relevant assessments carried out to date on the application form.
15. Validation of Pest Management Programmes
To qualify for recognition for "validation of pest management programmes", an assessor shall have:
- A technical qualification in pest management and/or registration as a Pest Control Technician.
- Specific training in food processing pest management.
- Specific training in validation techniques, including the use of a specific checklist. (Note: Refer to MRD-Stan 11, Validation of Pest Management Programmes.)
- Competency demonstrated by carrying out a minimum of five assessments in the company of a recognised assessor. This is to give them some experience and feedback before they start to work on their own. These assessments shall be documented and an assessment of the assessor recorded. Individual applicants must state the type and number of relevant assessments carried out to date on the application form.
16.1 The recognised organisation shall check the performance of each assessor at least annually, by observing them as they carry out assessments. The organisation shall also check assessment reports from each assessor. Checks shall be reported to MAF Reg.
16.2 The criteria used for the checks shall include:
16.2.1 Completeness: The assessment shall cover all the aspects specified in the standard for the item being assessed.
16.2.2 Accuracy: The assessment shall recognise all critical non-compliances.
16.2.3 Rating: The assessment shall assign the proper priority or importance to non-compliances.
16.2.4 Corrective action: The assessor shall be able to recognise the appropriate corrective action for each non-compliance.
16.2.5 Reporting: Reports shall be timely and shall clearly record all the non-compliances found together with their rating so the client knows what has been done and where and when action is needed.
17.1 MAF Reg will audit each recognised organisation for compliance with their procedures and will observe a proportion of the assessors annually, between 1 July and 30 June.
17.2 The frequency of observation of assessors may be reduced for organisations with more than five assessors carrying out the same service when the proportion of individuals may be reduced progressively from 75% to 50%, provided the organisation's overall performance is good and the assessors not observed have had satisfactory observations for 3 years. The decision as to who is observed and who is not will be made by the Panel.
17.3 The criteria for good performance are:
- the individuals concerned have had no serious non-conformances identified;
- the organisation has good monitoring and quality control systems for its service;
- the organisation has carried out internal audit of the technical aspects of its service;
- the organisation has carried out a management review of the technical aspects of its service;
- the monitoring, audit and review have shown no serious problems or effective corrective action has been taken promptly in the case of non-conformances;
- the organisation has provided information of observation opportunities in good time.
- Appendix I: Application for Recognition of Assessment Services Operating under the Dairy Industry Regulations 1990
- Appendix II: Nomination for Recognition as an Assessor Operating under the Dairy Industry Regulations 1990.
Revision status
Rev Date Status By Approved 4 18 February 1998 Issued for use Chief Dairy Officer
Amendment and Control Procedure Amendments to this standard are issued to holders of Dairy Products Safe and True, and to the MAF Reg address list for circulars and newsletters. Suggestions for improvements to this standard will be welcomed. They should be sent to:
The Chief Dairy Officer
MAF Regulatory Authority
P.O. Box 2526
Wellington
MRD-Stan 1, Appendix I
Application for Recognition of Assessment Services
Operating under the Dairy Industry Regulations 1990
Please see MRD-Stan 1, Section 6 for explanatory details
Name of organisation:
Street address:
Postal address:
Telephone number:
Fax number:
Service(s) for which recognition is sought:
Management procedures used: (Title and version no; enclose a copy)
Assessment procedures used: (Title and version no; enclose a copy)
Standards for assessment (i.e. pass/fail or rating criteria) and test methods: (Title and
version no; enclose a copy)
Contact person:
Signed:..................................................................................................................................(Manager)
Send this form, together with copies of the procedures noted above (unless they are already approved by MAF Reg), to:
Chief Dairy Officer
Ministry of Agriculture
P.O. Box 2526
Wellington
MRD-Stan 1, Appendix II
Nomination for Recognition as an Assessor
Operating under the Dairy Industry Regulations 1990
Section A (To be completed by the assessor)
| First name(s): | Last name: |
Contact address and phone and fax numbers (if different from the nominating agency):
Nominating agency:
Please attach a CV containing evidence of your:
- Work experience (this is practical experience, at a responsible level, in a relevant dairy or food related position)
- Qualifications relevant to the recognition sought
- Training specific to the recognition sought (see MRD-Stan 1)
- Assessment experience (see MRD-Stan 1 for detailed guidelines.)
Signed: .......................................................................................................(nominee assessor)
Section B
(To be completed by the nominating organisation)This assessor has passed the qualification requirements in our approved procedures.
Signed:........................................................................................... (Manager of organisation)
Notice is hereby given that under the terms of the Privacy Act 1993:
1. The personal information on this form is being collected for the purpose of recognition of assessors to operate under the Dairy Industry Regulations 1990, including publication of the names of recognised assessors, their contact details, and the categories of service for which they are recognised.
2. The provision of this information is voluntary. The information will be received and held by the Ministry of Agriculture, P O Box 2526, Wellington. You have the right of access to, and correction of, any personal information that has been provided.
Send this form, together with its enclosures to:
Chief Dairy Officer
Ministry of Agriculture
P.O. Box 2526
Wellington
New Zealand Food Safety Authority
68-86 Jervois Quay
PO Box 2835
Wellington
NEW ZEALAND
Phone: +64 4 894 2500
Fax: +64 4 894 2501
Contact
NZFSA about this page