CII National Award. Award Brochure. Award Brochure. for Food Safety Version 1.5

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1 Award Brochure Award Brochure CII National Award for Food Safety 2011 Version 1.5 Small, Medium and Large Food Businesses Manufacturing & Food Service Organisations

2 Copyright 2011 The Confederation of Indian Industry (CII) intends to encourage the widespread use of this material within companies and other organizations. However, no part of this publication may be reproduced, stored in retrieval system, or communicated in any form or by any means (be this electronically, mechanically, through photocopy or recording or otherwise), without prior written permission from CII.

3 Small, Medium and Large Food Business Key Dates 30 May 2011 Final date for receipt of 'Letter of Intent' from Applicant companies by CII Award Secretariat 15 June 2011 Final date for receipt of the Application Document by CII Award Secretariat 1 July 17 August 2011 Site visits, where applicable November 2011 Announcement of results (Two senior officials from all applicant organizations are eligible to attend the Award Ceremony, as Special Invitees) 3

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5 Foreword K N Shenoy Chairman CII Institute of Quality Bangalore Small, Medium and Large Food Business The Confederation of Indian Industry (CII) has been promoting the cause of Quality, through several initiatives, since the mid eighties. In the year 1994, CII and the EXIM Bank of India jointly established the CIIEXIM Bank Award for Business Excellence, based on the internationally recognised EFQM Model of Excellence, with the objective of enhancing the competitiveness of Indian Industry to world class levels. In 1995, which was the centenary year of CII, it was decided to set up 4 centres of excellence for providing training, advisory and consultancy services to industry and other sectors of economy. The first of these centres, named as CII Institute of Quality (CII IQ), was established in 1999, in Bangalore. Beginning with our services in the area of manufacturing, we have extended our activities to other sectors namely Education, Healthcare, Public Services and Food Safety & Quality. In the area of Food Safety and Quality (FSQ), CII IQ commenced its Training and Advisory services in 2003 under the guidance of CII Expert Group & the National Task Force on Food Safety and Quality, In order to attain and sustain competitiveness in the highly competitive local and global markets, the food industry needs to develop the capability in important areas like Quality, Manufacturing Excellence & Food Safety Systems. As part of these initiatives, CII IQ has developed a practical and holistic management framework, the CII Food Safety Assessment Model. The CII National Award for Food Safety was launched in 2010, based on this model, to promote internationally benchmarked best practices on Food Safety. The latest Revision 2011 includes assessment of Social compliance & Organisational Improvement initiatives to provide a forum for national recognition among micro, small, medium and large organisations in the Food Manufacturing & Service Industry. The Award process involves an assessment of the Food Safety related processes and practices of the participating organisations by experts and professionals, a feedback to the organisation and recognition for significant food safety system approaches and implementation. I strongly urge the Food Processing organisations in Micro, Small, Medium and Large scale businesses to participate and derive the benefits from participation in the Award programme. 5

6 CII National Award for Food Safety 2011 Coveted Aspired for 6

7 Contents Small, Medium and Large Food Business About the CII National Award for Food Safety Need for a Food Safety Assessment Model 9 How did we arrive at the Award Criteria? 10 CII Food Safety Assessment Model 11 Table 1: Award Assessment Criteria 12 Assessment Guidelines 13 Model Criteria and Scoring 13 Model Criteria 1 15 Model Criteria 2 19 Model Criteria 3 25 FAQs 31 Eligibility Criteria 35 How to apply for the Award 36 Award Assessment Process 40 Levels of Recognition 41 Acknowledgement 42 Further Support 43 Award Assessment Criteria & Fees 44 Complaints Redressal Procedure 45 Non Disclosure & Confidentiality 45 Winners Form 1: 'Letter of Intent' CII National Award for Food Safety: Year

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9 Small, Medium and Large Food Business About the CII National Award for Food Safety 2011 Need for a Food Safety Award CII National Award for Food Safety With the aim of raising awareness levels, promoting Food Safety Practices and recognising role models & with a view to upgrading Indian food companies in the Micro, Small, Medium and Large scale sectors to world class levels, Confederation of Indian Industry (CII Institute of Quality) in partnership with its stakeholders & knowledge partners had launched the CII National Award for Food Safety in The assessment criteria for small, micro, medium and large scale companies, involved in production and service of food business are based on national and international standards of Food Safety Systems and have been customised keeping the nature of business, size, sector, structure and maturity levels in mind. The process involves an assessment and feedback to the participating companies by harnessing the expertise of highly experienced, trained, technical food professionals and setting examples of best in class. CII National Award for Food Safety was formed to honour organizations for pre eminence in the field of food safety systems, raise awareness on sustainable success and competitiveness through robust food safety systems and provide guidance to those seeking to achieve it. Based on a process of feedback and review from the stakeholders and in line with the changing market scenario, the Assessment model has been duly upgraded to 2011 Revisions. The annual awards 2011 would be presented to organizations for establishing significant food safety systems & in recognition their methodical and holistic approaches and implementation effectiveness. Need for a Food Safety Assessment Model Food processing sector in India is set to grow at an enormous pace. The micro, small and medium scale food businesses particularly have several advantages due to their size and simplicity which makes them competitive. However they also face several challenges to meet the ever growing demands of the competitive and global demands. Regardless of the nature of food business, size, structure or maturity, in order to be successful Food business, an organization needs to establish appropriate food safety systems, in phases, with a clear 9

10 CII National Award for Food Safety 2011 purpose of delivering safe products &/or services to its consumers. The Food Safety Model hence needs to be practical and holistic tool that can be used in a number of ways: As a tool for Self Assessment by measuring where they are on the path to establish food safety system, helping them understand the gaps; and then stimulating solutions As a framework for positioning existing food safety initiatives in the organization, identify gaps and helping upgrade food safety systems of complete food chain in phases As a model for preparing organizations to achieve attributes required for delivery of safe food and transform into a Global Supplier. How did we arrive at the Award Criteria? A survey of global compliance and benchmark standards like ISO 22000, BRC, HACCP, IFS, NBE Dutch Standard, GFSI approved FS 22000, PAS 220, Guidelines of Food Safety and Standards Authority of India(FSSAI), Indian standards related to Food Safety and Quality feedback from industry, government and other stakeholders and an analysis of the same indicated a need for an assessment model for food safety, customised to various food sectors and categories in the Indian context towards building capability of the Global Suppliers. In view of the above need, CII Expert Group of Food Safety and Quality designed a comprehensive model customised for Micro and Small and Medium & Large scale units of Manufacturing and Food Service organisations. The proposed model is aimed at applying sector specific Good Manufacturing practices, good hygiene practices, graduating to international Food Safety benchmark standards and practices by focussing on the criteria required for Risk assessment through HACCP in a management system framework. The model also contains criteria on Social compliance and Organisational level improvement initiatives, at par with any global supplier. 10

11 Small, Medium and Large Food Business CII Food Safety Assessment Model Overview The overview of the model, criteria & categories are illustrated in Figure 1 & Table 1 below. Figure 1 11

12 CII National Award for Food Safety 2011 Table 1: Award Assessment Criteria Nature of Business Large (Above 100 Crore) Medium (Between Rs. 5 Cr Rs 100 Cr.) Small & Micro (Rs 1Lakh 5 Crore) Criteria Number Basis of Criteria Manufacturing (Food Processing Companies) Criteria 3 Criteria 3 for SMB Criteria 3 for SMB 3 Based on FS Improvement Initiatives + Social Compliance Food Service : Eateries (Involved in Preparation, Serving, Take Aways with Permanent Establishment and Address) e.g: Restaurants, Catering, Institutional Canteens, Food Courts) Criteria 2A Criteria 2A for SMB Criteria 2A for SMB 2A Based on ISO and PRP for Food Service establishments Having permanent addresses + Improvement Initiatives + Social Compliance Food Service : Hotels Involved in services like Preparation, Serving, Room occupancy, room service, Banquets etc, with Permanent Establishment and Address Criteria 2 B Criteria 2 B for SMB Criteria 2 B for SMB 2B Based on ISO and PRP for Hotels having banquets and restaurants+ Improvement + Social Compliance Food Service : (Shops and Vendors) e.g. Meat Shops, Sweet Meat Shops, Food Retail, Confectioneries, Vending and Dispensing, Street Vendors etc. Criteria 1 Criteria 1 Criteria 1 1 Based on FSSA 2006 Sch 4 Part 1+ CII 14 Point Check for Food Vendors + Social Compliance+ Improvement Initiatives 12

13 Assessment Guidelines Small, Medium and Large Food Business The Award criteria used for assessing the applications has been drawn and developed based on FSSA Schedule 4, CII 14 Point Check on Food Safety for Street Vended Food, BIS Draft Standard FAD 15 (1951) C, Codex Sector specific GMP, GFSI approved & benchmarked schemes on Food Safety Management Systems, select Social compliance and organisational initiatives based criteria for as customised to the Indian context. (illustrated in Table 1). It hence provides a mechanism to benchmark against best in class organisations, which are using national and international standards of sustainable food safety systems and practices. Disclaimer The assessment would be limited to the companies implementation practices, systems and records only through offsite assessment and on site visit, as applicable. A simple scoring system has been incorporated to enable evaluation by assessors. There would be no laboratory tests associated with this assessment. The assessors will complete their assessment based on the company s practice of monitoring & verification systems, processes and records only. Model Criteria and Scoring The application document will be assessed and scored on scale of points using category specific assessment criteria as indicated in the Assessment Model and Criteria specific Checklists provided in Sections 6, 7, Scoring & its implication The assessment utilizes a numerical scoring system to provide comparative values for evaluation on levels of implementation and maturity of systems. Each broad check point covered in the criterion has been assigned a specified weightage. Not Applicable: NA The check point which is not applicable for assessment for the given criteria For assessing the Improvement initiatives, the percentage maturity values obtained by the applicant broadly implies the following as per the maturity bands provided below: 1. There is comprehensive evidence of implementation in all relevant areas: : World class 2. There is clear evidence of implementation and covers about ¾ of the relevant areas: 65 85: Advanced 13

14 CII National Award for Food Safety There is evidence of implementation and covers about ½ the relevant areas : 40 60: Competitive 4. There is some evidence of implementation and covers about ¼ the relevant areas: 15 35: Basic 5. No evidence or anecdotal : 0 10 : Anecdotal Scoring Formula: The following simple equation is to used to derive evaluated score for each check point (% score or maturity value) x (Weightage) = Evaluated Score for each broad check point Scoring for Maturity Value: Weightage: The least count of the scale may be taken as 5 (e.g. Scoring of Maturity Value in the Maturity Band 'Competitive' should be either 40 / 45 / 50 / 55 / 60) The weightage for each check points is indicated in the criteria checklist format Example of determining Evaluated Score: During assessment, assessors assess the maturity of food safety practices & systems against a checkpoint. Say it is 50%. The evaluated score for assessed check point can be derived by multiplying the maturity value 50 with weightage 0.1 that is 50 X0.1 = 5 Total Highest Possible score in each criterion:

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17 Small, Medium and Large Food Business CII National Award for Food Safety: Assessment Criteria 1 The Check points for criteria 1 have been drawn and developed based on FSSA 2006 Schedule 4 Part 1, CII 14 Point Check on Food Safety for Street Vended Food and BIS Draft Standard FAD 15 (1951) C + Social Compliance + Improvement initiatives. These check points have been customised to provide a simplified format to assess the level of implementation and maturity of Food Safety system for the criteria 1 applicants of CII National Award for Food Safety. Scope: This assessment criteria check point applies to food enterprises as illustrated below and specified in Table 1: Food Service (Shops and Vendors) e.g.: Meat Shops, Sweet Shops, Food Retail, Street Vendors, Confectioneries, Vending and Dispensing etc. Section A: Self Declaration 1. Statutory and Regulatory requirements 2. Social Compliance Section B : Food Safety Practices Highest Possible Marks 900 No. Checkpoints % of Quality of Inputs and Ingredients 5 2 Transport, Reception and Storage of Inputs 5 3 Facility Location 5 4 Facility infrastructure 5 5 Utensils and Cutting Tools : Material of construction, cleaning 5 and storage 6 Cleaning, Sanitizing & Maintenance 5 7 Personnel Hygiene and habits Food preparation, cooking and handling 10 9 Transport of Prepared Food Sale outlet Protection and Serving of Food Handling and disposal of waste Pest Control Training 5 17

18 CII National Award for Food Safety 2011 Section C : Sector Specific Good Manufacturing Practices (GMP) Highest Possible Marks= 50 No Checkpoint % of 1000 C 1 Sector Specific GMP based on FSSAI Schedule 4 and relevant Codes of Practice 5 Section D : Improvement Initiatives Highest Possible Marks 50 No Checkpoint % of 1000 D 1 Improvement Parameters based on CII EXIM Bank Award Model for Business Excellence 5 18

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21 CII National Award for Food Safety: Assessment Criteria 2 Small, Medium and Large Food Business The check points for criteria 2 has been drawn and developed based on ISO and PRPs for Food Service permanent establishments + Improvement initiatives + Social Compliance These check points have been customised to provide a simplified format to assess the level of implementation and maturity of Food Safety Management system for the criteria 2 applicants of CII National Award for Food Safety. Scope: This assessment criterion check point applies to criteria 2A and 2B as per Table 1 & the following : Food Service Criteria 2A: Eateries (Involved in Preparation, Serving, Take Always with permanent Establishment and Address e.g.: Restaurants, Catering, Institutional Canteens, Food Courts) Food Service Criteria 2B: Hotels Involved in services like Preparation, Serving in Restaurants, Room occupancy, Room service, Banquets etc, with permanent Establishment and Address CII National Award for Food Safety: Assessment Criteria 2 (Applicable to Criteria 2A and 2B as relevant : Ref. Table 1) Section A : Self Declaration A 1 A 2 Statutory and Regulatory Requirements Social Compliance Section B : Food Safety Practices Highest Possible Marks 700 B 1 Pre Requisite Programs 245 B 2 HACCP 245 B 3 Food Safety Management System Structure 210 Section C : Sector Specific Good Manufacturing Practices (GMP) Highest Possible Marks 150 C Sector Specific GMP based on FSSAI Schedule 4 and relevant Codes of Practice 150 Section D : Improvement Initiatives Highest Possible Marks 150 D Improvement Parameters based on CII EXIM Bank Award Model for Business Excellence

22 CII National Award for Food Safety 2011 Section A : Self Declaration A 1 A 2 Statutory and Regulatory Requirements Social Compliance Section B1 : Prerequisite Programs Highest Possible Marks 245 No. Checkpoints % of 245 marks 1 Establishment : Location, Design and Facilities (External) 4 2 Premises & Rooms Layout & Design 4 3 Utilities 4 4 Drainage & Waste Disposal 4 5 Equipments, Cleaning & Maintenance 5 6 Management of Purchased material 8 7 Measures to prevent cross contaminations 8 8 Establishment maintenance, cleaning & sanitizing 8 9 Pest control system 8 10 Personal, hygiene & employee facilities 8 11 Control of operation Management & supervision 4 13 Product withdrawals & traceability 5 14 Storage 5 15 Transportation 5 16 Product information and consumer awareness 5 17 Training 5 22

23 Small, Medium and Large Food Business Section B2 : No. Hazard Analysis and Critical Control Point Checkpoints Highest Possible Marks 245 % of 245 marks 1 Preliminary Steps 3 2 Food Safety Team 5 3 Product Characteristics 5 4 Intended user 3 5 Flow Diagram 5 6 Description of Process Steps 3 7 Hazard Analysis 10 8 Selection and Assessment of Control Measure 3 9 Establishing Operational PRP s 5 10 Establishing HACCP Plan Updating of Preliminary information and documents 3 12 Verification Planning 5 13 Effectiveness of PRP s, OPRP s, HACCP Plan 10 Section B3 : Food Safety Management System Structure Highest Possible Marks 210 No. Checkpoints % of 210 marks 1 Management Commitment 8 2 Communication 8 3 Management Review 8 4 Resource Management 5 5 Control of Documents & Food Safety Manual 8 6 Internal Audit 10 7 Validation of Production Process 5 8 Identification and Traceability 5 9 Calibration, Control of monitoring and measuring Customer satisfaction 5 11 Control of Non Conforming product 8 12 Corrective Action 5 13 Record Control 15 23

24 CII National Award for Food Safety 2011 Section C : Sector Specific Good Manufacturing Practices (GMP) Highest Possible Marks 150 No. Checkpoints % of 1000 C Sector Specific GMP based on FSSAI Schedule 4 and relevant 15 Codes of Practice Section D : Improvement Initiative Highest Possible Marks 150 No. Checkpoints % of 150 marks 1. Enablers for Improvement Initiatives Outcome of system standards, tools, techniques and 30 operating philosophies 3. Recognition and reward of people Involvement of the unit in championing and disseminating the message of Food Safety 15 24

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27 CII National Award for Food Safety: Assessment Criteria 3 Small, Medium and Large Food Business The check points for criteria 3 have been drawn and developed based on The Global Food Safety Initiative approved scheme on FS22000 along with Improvement Initiatives + Social Compliance coupled with some examples of best practices from the food industry. These check points have been customised to provide a simplified format to assess the level of implementation and maturity of Food Safety Management system for the criteria 3 applicants of CII National Award for Food Safety. Scope: This assessment criteria check point applies to category 3 Medium & Large scale Food Processing industry as illustrated in Table 1. Criteria 3 Section A : Self Declaration A 1 A 2 Statutory and Regulatory Requirements Social Compliance Section B : Food Safety Practices Highest Possible Marks 700 B 1 Pre Requisite Programs based on PAS B 2 HACCP based on ISO B3 Food Safety Management System Structure based on ISO Section C : Sector Specific Good Manufacturing Practices (GMP) Highest Possible Marks 150 C Sector Specific GMP based on FSSAI Schedule 4 and relevant Codes of Practice 150 Section D : Improvement Initiatives Highest Possible Marks 150 D Improvement Parameters based on CII EXIM Bank Award Model for Business Excellence

28 CII National Award for Food Safety 2011 Section A : Self Declaration A 1 A 2 Statutory and Regulatory Requirements Social Compliance Section B1 : Pre Requisite Programs based on PAS 220 Highest Possible Marks 245 No. Checkpoints % of 245 marks 1 Construction and layout of Buildings 5 2 Layout of Premises and workplaces 5 3 Utilities Air, Water & Energy 5 4 Waste Disposal 5 5 Equipment suitability, cleaning and maintenance 10 6 Management of Purchased material 5 7 Measures for prevention cross contamination 5 8 Cleaning and sanitizing 10 9 Pest control Personal Hygiene and employee facilities Rework 5 12 Product Recall Procedures 5 13 Warehousing Product Information and consumer awareness 5 15 Food Defense, Bio vigilance and Bio terrorism 5 Section B2 : Hazard Analysis and Critical Control Point Highest Possible Marks 245 No. Checkpoints % of 245 marks 1 Preliminary Steps 3 2 Food Safety Team 4 3 Product Characteristics 4 4 Intended Use 3 5 Flow Diagram 5 6 Description of Process Steps 3 7 Hazard Analysis 4 8 Selection & Assessment of Control Measures 3 9 Establishing Operational PRPs 4 10 Establishing HACCP Plan Updating of Preliminary 3 12 Verification Planning 4 13 Effectiveness of PRPs, OPRPs & HACCP Plan 10 28

29 Section B3 : Food Safety Management System Small, Medium and Large Food Business Highest Possible Marks 210 No. Checkpoints % of 210 marks 1 General Requirements 5 2 Documentation Requirements 5 3 Management Commitment 8 4 Communication 8 5 Emergency Preparedness 5 6 Management Reviews 8 7 Human Resources 10 8 Infrastructure 3 9 Work Environment 2 10 Traceability 5 11 Correction 4 12 Corrective Action 5 13 Handling of potentially unsafe Products 5 14 Withdrawals 5 15 Validation, verification and improvement of the food safety management system 5 16 Control of Monitoring & measuring 5 17 Food Safety Management System Verification 5 18 Improvement 7 Section C : Sector Specific Good Manufacturing Practices (GMP) Highest Possible Marks 150 No. Checkpoints % of 1000 C Sector Specific GMP based on FSSAI Schedule 4 and 15 relevant Codes of Practice Section D : Improvement Initiative Highest Possible Marks 150 No. Checkpoints % of 150 marks 1. Enablers for Improvement Initiatives Outcome of system standards, tools, techniques and operating philosophies Recognition and reward of people Involvement of the unit in championing and disseminating the message of Food Safety 15 29

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33 Small, Medium and Large Food Business 9.0 FAQ Why was the Award established? The Award was established to promote globally accepted Food Safety practices & systems as an increasingly critical and basic component for competitiveness. Besides recognition, it facilitates understanding and sustainable implementation of elements vital for food safety like GHP, GMP, Risk Analysis & Food Safety Management Systems, Social compliance and Organisational Improvement. Who can participate? Units of all Indian organisations and also their overseas units, shown in Table 1, are eligible to apply for the Award. The applicant unit must be actively in the food business for at least the past three years. These include Micro, Small, Medium and Large scale Manufacturing and Food service industries including Food Establishments like Hotels, Restaurants/ Eateries/ Canteens/ Food served in Retail/ Sweet shops and others. Why should Micro, Small, Medium Business organisations participate? Micro, Small and Medium Business organisations are confronted with new set of challenges and concerns. Food borne illness is widely prevalent globally, especially in tropical & developing countries. Customers are now more aware of Food Safety. With more people now eating out of home, there is a need to establish appropriate food safety practices & systems with a clear purpose of delivering safe food and adopting the global acceptable approaches to effectively manage food safety as an integral part of quality. It is hence important to understand where a company currently stands on these practices and identify improvement opportunities and benchmarks. What do you gain by participating? Apart from getting an opportunity for peer recognition and an opportunity to receive national recognition in line with Award norms, each participating unit gets an external perspective on their practices and performance as per the Award assessment criteria. A team of trained assessors with diverse and extensive experience assess each applicant company. The assessors spend significant time to identify strengths and opportunities for improvement. A detailed feedback report in the form of a checklist is sent to all the applicant companies. The report gives an objective and comprehensive assessment of the current status of the organisation and forms a sound basis for developing organisation wide consensus on a roadmap for reaching higher levels of food safety. The organisation will achieve a basic competitive edge in business through the national recognition process of CII. Why Food Safety Model? The Model enables organizations of all sizes and specific sectors to put in place holistic and sustainable Food Safety practices and systems and establish a common basis and thinking across all the functions based on national & international standards and practices. It allows 33

34 CII National Award for Food Safety 2011 an easy and effective positioning and integration of existing initiatives and focus on further improvement. How to apply? The first step is to convey the intent to apply by completing and submitting the letter of Intent in soft and hard copy, to CII Institute of Quality, Award Secretariat. Thereafter, 5 hard copies of Application document should be submitted in the CII prescribed and easy to adopt format. For details please see Section 11 of the brochure. What support is provided? CII Institute of Quality offers training, consultancy, assessment and advisory services on the Food Safety Assessment Model, Sector specific GHP, GMP based on Codex, FSSA 2006, ISO & FS besides Quality Tools and Techniques like TPM, Lean, Six Sigma & also similar services on the EFQM Model for Business Excellence. What are the Food Safety related services? Besides Awareness Campaigns, in depth training for competence building of the Food industry, Best Practices and Information sharing platforms and publications, CII Institute of Quality offers to counsel and work with Micro, Small, Medium and Large Business organisations in GHP, GMP, HACCP, FSSAI Guidelines, BIS Standards for Food Safety of Street vended Food, ISO Clusters for helping them implement and action plan for improvement. CII IQ works closely with the Government and Institutes of international repute on priority initiatives and standards formulation. Services on Lean, TPM, other Quality tools and techniques and Business Excellence framework for undertaking Self Assessment to attain higher levels of performance are also offered from CII Institute of Quality. What are the Micro, Small, Medium and Large Business specific services? CII Institute of Quality facilitates the formation of Food Safety and Quality clusters of Small and Medium Business organisations and assists those keen on pursuing a journey on Food Safety, as a SMB specific initiative. Sector specific training and consultancy (e.g. tea, bakery, hotels and restaurants, fruits and vegetables, dairy etc) on relevant criteria covering FSSAI Guidelines, International standards are provided to companies on request. The CII IQ counsellors have a wide experience in working with clusters on these aspects. 34

35 Small, Medium and Large Food Business 10.0 Eligibility Criteria 10.1 Units of all Indian organisations and also their overseas units are eligible to apply for the Award. The Applicant must be actively engaged in food manufacturing and food service businesses for at least three years with no serious* food safety incidents For purposes of applying for the Award, the criteria and turnover mentioned in Table 1 for the specified categories for Micro, Small, Medium & Large Business organisations applies. Categories of organisations are grouped as follows: CII National Award for Food Safety is proposed to be categorised to encourage three different food business sectors in various scales of business, involved in processing & service of food products. Criteria 1 Food Service (Shops and Vendors) e.g : Meat Shops, Sweet Meat Shops, Food Retail, Confectioneries, Vending and Dispensing, Street Vendors etc Criteria 2A Food Service : Eateries(Involved in Preparation, Serving, Take Always with Permanent Establishment and Address) e.g: Restaurants, Catering, Institutional Canteens, Food Courts) Criteria 2B Food Service : Hotels Involved in services like Preparation, Serving, Room occupancy, room service, Banquets etc, with Permanent Establishment and Address Criteria 3 Manufacturing (Food Processing Companies) 10.2 The Application needs to be made operating unit wise * Impacting masses, communities, any reportable fatal incidences. 35

36 CII National Award for Food Safety How to Apply for the Award 11.1 Instructions Step 1 Each Applicant unit is required to submit a letter of intent with details about its organisation in a CII prescribed format (Letter of Intent Form) in soft and hard copy along with the Application fees and send to Award Secretariat. The Award Secretariat will provide an acknowledgement on receipt. Step 2 The Award Secretariat shall send the prescribed format for the Application Document to the company/unit on receipt of the Letter of Intent form and Application fees. 5 copies of the Application document are required to be submitted in a prescribed format. Each copy of the application document should be in the prescribed format provided by CII IQ in soft copy. The information must not exceed: a. 65 pages: Criteria 3 b. 50 pages: Criteria 2 c. 35 pages: Criteria 1 The prescribed format contains 5 Sections: Introduction An organisation profile, describing the key facts about the organisation and its business & Organisation Performance ( Results ) relating to its Business Performance Section A 1. Regulations 2. Social Compliance Section B: Food Safety Section C Section D B1. Pre Requisite Programs B2. HACCP B3. Food Safety Management System Structure Sector Specific GMP based on FSSAI Schedule 4 and relevant Codes of Practice Improvement initiatives based on CII EXIM Award Model on Business Excellence 36

37 Small, Medium and Large Food Business Introduction: A. Organisation Profile Please provide a summary of up to (maximum) pages as mentioned in Step 2, of information about the organisation and your business. The summary may cover the following, as applicable: Location name Products/Services Types, Food Sector, Numbers Customers Main Customers/Customer segments, Share of Business Suppliers Main Suppliers, material Annual Sales of last 3 years in a graph Domestic, Exports Distributors/ Franchisees, if any Numbers, Locations Competitors Main Competitors People Numbers, Managerial, Supervisory and Workers, Casuals Organisation Structure include or attach chart Statutory, Regulatory requirements applicable List details Collaborations, if any List details Certifications, awards, accolades received List details Technologies List main technologies Key Business Challenges List details IT Facilities List details Any challenging or adverse business situations overcome successfully B. Key Information related to Food Safety over the last 3 years Any Food Safety Incidents Customer Complaints (types and numbers) Implemented Statutory and Regulatory requirements Last date of inspection by Regulatory body (specify Regulatory body/bodies) Summary of findings of last inspection ( extent of compliance) 37

38 CII National Award for Food Safety 2011 C. Organisation Performance (Results) Applicants are required to present results achieved with respect to Business Performance Results may be presented in the form of line graphs, bar charts, tables, numbers, figures, data as appropriate for past 3 years Total Revenue/ Turnover/ Export if any Budgetary performance Volume of business Investment and Asset related information Inventory levels New Products (Number and types) Any other as relevant Section B: Food Safety Checkpoints Separate Checklists of Food Safety Checkpoints for Criteria 1, 2 and 3 will be provided. It will consist of defined Checkpoints and Columns for Applicant company to indicate whether the practice exists, is absent or not applicable; a Remarks column may be used for the Applicant to briefly describe what the company is doing on each of the applicable checkpoints and to what extent. Justifications for Check points which are Not Applicable also needs to be provided in the Remarks column. Section C: Any other Sector specific GMP followed which are not covered in the Food Safety section Section D: Improvement initiatives 1.0 Enablers for Improvement 1.1 Which system standards / tools / techniques / Operating philosophies or a combination of these is the unit practising? ISO 22000/ BRC/ IFS/SQF ISO 9001/14000/ SA 8000 etc TPM Problem Solving Tools and Techniques Lean Six Sigma Quality Circles Business Excellence Others (Please specify) 1.2 To how many relevant processes/areas have these been deployed? 38

39 Small, Medium and Large Food Business 1.3 Implemented since when? 1.4 Is there evidence of Assessment and Refinement in the approaches? 2.0 Outcome of system standards, tools, techniques, operating philosophies 2.1 Whether there is evidence of improvements in levels of benefits over time? 2.2 What is rate of Employee Participation level in these activities (% total) over time? 3.0 Reward &Recognition 3.1 How are people rewarded and recognised for their contribution to Food Safety and other initiatives? 4.0 Involvement of unit in championing & disseminating the message of food safety 4.1 To what extent is the unit involved in championing and disseminating the message of Food Safety and its importance to the Society? Any nominated members in Industry Association Food Safety Committees/ Task Forces Supporting Awareness Campaigns, Best Practices and Information Sharing on Food Safety Any others 11.2 General guidelines i. Please read carefully the instructions before completing the application document. ii. iii. iv. Five (5) Copies of the filled in application document are required to be submitted to the CII IQ Award Secretariat. Each copy of the application document should be in the prescribed format provided by CII IQ. The information must not exceed as per page limits mentioned in 11.1 Each page of the application document should be of A4 size only. v. Please include a cover page, glossary of terms and abbreviations for providing clarity, if required. vi. All the sheets including the accompanying documents, placed in an orderly manner with references, should be loosely bound. 39

40 CII National Award for Food Safety 2011 vii. viii. Separate Checklists of Food Safety Checkpoints for Criteria 1, 2 and 3 will be provided. It will consist of defined Checkpoints and Columns for Applicant company to indicate whether the practice exists, is absent or not applicable; a Remarks column may be used for the Applicant to briefly describe what the company is doing on each of the applicable checkpoints and to what extent. Justifications for Check points which are Not Applicable also needs to be provided in the Remarks column. Please describe the details in English, typescript, text in Arial point 11 and figures in 9 point Arial narrow. The pages may be numbered Award Assessment Process Step 1 Eligible Micro, Small, Medium and Large Business organisations submit Application document Step 2 Selection of Assessors Step 3 Screening of the application Document and Qualification as per eligibility criteria * Step 4 Application Document Review, On site Assessment and Scoring Step 5 Review of Feedback Report and Scores by Jury Step 6 Jury decides Award and Certificates to be Awarded Step 7 Award Ceremony Step 8 Feedback Report is sent to participating organisations Step9 Follow up visit to participating organisations on request *Screening of Application Document (Step 3) The Application document will be reviewed with respect to its completeness by the CII Award Secretariat and sent to a team of assessors for individual assessment and scoring. The applicants qualified for the Site Visits will be informed. 40

41 Small, Medium and Large Food Business Assessors for the Award A pool of Senior Assessors and Assessors would be identified from the senior most ranks of Food Industry professionals and practicing managers from the Indian organisations with relevant technical expertise, competence, experience and exposure to global food safety standards. Training on the Assessment criteria and process would be ensured by CII IQ to achieve a high level of consistency in assessment and scoring for evaluating the application document Levels of Recognition Levels of recognition, starting from the commendation certificate for strong commitment and going up to the Award for each business group (category) would be decided by the Award Jury. These levels signify the various milestones, which the organisations can aim for as they progress on their journey towards food safety. Therefore, organisations at different levels of food safety can benefit from participating in the Award process. CII National Award for Food Safety is presented to organisations judged to be Role Models in the particular category corresponding to the stipulated levels. Award Commendation for Significant Achievement Commendation for Strong Commitment to Excel 41

42 CII National Award for Food Safety 2011 Levels of Recognition: There are three levels of recognition based on performance for each business group: Food Safety Strong Commitment Certificate Food Safety Significant Achievement Certificate Food Safety Outstanding Performance Award These levels signify the various milestones, which the organisations can aim for as they progress on their journey towards implementation & compliance of Food Safety Systems. Therefore, organizations at different levels of implementation can benefit from participating in the award process. Organisations are commended when they have made good progress on their journey towards Food Safety, but fall short of the level set for Award Winners. There are two levels of commendations: Significant Achievement on the journey towards Food Safety. Strong Commitment to Excel on the journey towards Food safety. (This level is lower than the significant achievement level). Apart from getting an opportunity for peer recognition, each company gets an external perspective on their practices and performance for developing a competitive edge for the business. A team of trained assessors with diverse and extensive experience assess each applicant company. The assessors spend significant time to identify strengths and opportunities for improvement. A detailed feedback report in the form of a checklist is sent to all the applicant companies that gives an objective and comprehensive assessment of the current status of the organisation and forms a sound basis for developing organisation wide consensus on strategy for reaching higher levels of food safety Acknowledgement Confederation of Indian Industry (CII) acknowledges the technical and administrative support and co operation extended by the CII National Task Force, the CII Expert Group on Food Safety and Quality, CII National Task Force on Food Safety and Quality and the CII Awards Committee to administer the Award. CII also acknowledges the technical inputs utilised from Standards and Guidelines of Codex, GFSI approved schemes like FS 22000, ISO 22000, PAS 220, FSSA s Draft Regulations 2010, CII 14 Point Check on Food Safety for Street Vended Food, BIS Draft Standard FAD 15 (1951) C, Tools.com and the encouragement from Ministry of Food Processing, Government of India, for helping institutionalize the CII National Award for Food Safety The Award Secretariat thankfully acknowledges the support extended by the Jurors, Senior Assessors, Assessors and Organisations supporting the Award administration and their contribution in propagating Food Safety in India Inc. 42

43 Small, Medium and Large Food Business 15.0 Further Support The following support services are available from the CII Institute of Quality for understanding the requirements of the Model, and to utilise the model for Self Assessment and develop and implement improvement action plan. a) Workshop on the CII Food Safety Model (1 Day to 3 Days Modules) b) Food Safety: Train the Trainer Workshop c) Workshop on Development & Auditing HACCP Plans the FS Way d) Other Training and Development Programmes: Several training programmes are available on Food Safety & Quality Management systems, Good Hygiene Practices, Lean, TPM, Six Sigma & Business Excellence tools and techniques for performance improvement. e) Counselling Services: CII IQ Counsellors work with Small and Medium Business organisations through clusters for Internal Audits, Self Assessment based on and action planning for improvement. f) Cluster Services: CII IQ also facilitates the formation of clusters of Small and Medium Business organizations and assists those organisations keen on developing the capability of their Suppliers pursuing a journey for Food Safety & Quality. Pillar 1: Assessment Services Criteria for Resource persons: Senior most professionals from the Food Chain industry / field, exposed to global food safety standards, selected from across the country and trained with support from CII IQ. Pillar 2: Training and Counselling Services for facilitating industry progress on Food Safety Criteria for Resource persons: Highly experienced, qualified & trained Counsellors of CII IQ in the area of Food Safety, Quality, Manufacturing Excellence, Business Excellence, with wide Industry background and exposed to global food safety standards Food Safety and Quality Champions / Consultants, who are trained and exposed to global food safety standards and with relevant competence and work experience, in various locations across the country operating with the support of select CII Regional/State and Zonal Offices, located across the country 43

44 CII National Award for Food Safety Award Assessment Criteria & Fees The applicant organisations are required to pay the award assessment fees in three stages. First, a nominal Application Fee is payable at the time of submission of the 'Letter of Intent', demonstrating the intent to participate. In the second stage, an additional Site Visit Fee is payable, after the Application is screened and the applicant qualifies for the Site Visit. Third stage of payment involves the reimbursement of travel and accommodation expenses of the assessors at actuals, before they depart the site. The units have been classified under four groups based on the nature of their business & their unit's annual sales turnover of the previous year for the purpose of defining the assessment criteria (Table 1). Further the Award Assessment fee details for the applicant unit are provided in Table 2. Table 2: CII National Award on Food Safety 2011: Application and Site Visit Fees Applicant Unit s Annual Sales Turnover (previous year) Application Fee for Domestic Applicants * Site Visit fees for Domestic Applicants Fee** Estimated mandays of onsite assessment (Approx) Rs.1Lac 25 Lacs Rs 3500 Rs Between Rs 25 Lac Rs 5 Cr. Rs 5000 Rs Between Rs. 5 Cr Rs 100 Cr. Rs 30,000 Rs Above Rs. 100 Cr. Rs 50,000 Rs *Service Tax as applicable **Service Tax as applicable + Actuals (Actuals include Travel, accommodation, Local Transport & local hospitality) 44

45 Small, Medium and Large Food Business 17.0 Complaints Redressal Procedure In case of any complaints, the applicant company is responsible for raising complaints. The CII Awards Committee is responsible for resolving them. While the decision of the Jury on the Recognition of applicant companies will be final, the company can send their complaints to the CII Awards Committee for any of the following reasons: Integrity and ethical conduct of personnel involved as assessors Non responsiveness of administration and/or assessors to reasonable requests Delays in receipts of documents/confirmation, information/ acknowledgment of receipt of payment Others Within a maximum of 3 working days there would be an immediate response on receipt of complaints by a call or letter. If the problem can be resolved immediately, it will be done so, otherwise complainant will be informed of actions taken. 18. Non Disclosure and Confidentiality Names of Applicants, comments & scoring information developed during the review of applications are regarded as proprietary by CII and are kept confidential. Such information is available to only those individuals directly involved in the assessment & administrative process. CII will not release information on successful strategies of Award recipients and other applicants without the written approval of the applicant. All assessors are bound by a code of conduct. Assessors are required to keep the information gained through the assessment process as confidential and not share it with others except the assessor team members of the applicant unit and the Award Secretariat, without written permission from the applicant. CII will take all reasonable action to ensure that the applications and information therein are treated in strict confidence. However, in no way can CII be held responsible for any loss of confidentiality to a third party. CII cannot be held liable for any damage (to goods, or persons, financial or consequential losses) incurred through the breach of confidentiality or otherwise. 45

46 CII National Award for Food Safety 2011 Congratulations Winners : 2010 CII National Award for Food Safety Award for Outstanding Performance Category 3 Perfetti VanMelle India Pvt. Ltd, Manesar Unit Commendation Certificate for Significant Achievement Category 3 McDonalds Family Restaurant, Ghaziabad Connaught Plaza Restaurants Pvt. Ltd Commendation Certificate for Significant Achievement Category 1 Heritage Foods and Beverages, Bangalore Commendation Certificate for Strong Commitment Category 3 Tata Tetley Division, Cochin 46

47 Small, Medium and Large Food Business Letter of Intent: Form 1 (Rev 1.1) CII National Award for Food Safety: Year 2011 Name of Applicant Organisation: Name & Address of Applicant Unit: Pin Code:... Name of the Contact Person:... Designation: Mobile:... Telephone:... Fax:... Contact Address (If different from above) pin Code:.... Name of the Highest Ranking Official of the Organisation:... Designation: Mobile:... Telephone:... Fax:... Product and Services Offered by the Applicant Unit: Total Number of Employees:... Number of Locations / Sites applied for... Annual Sales turnover of the company for the previous year (Rs) :... Annual Sales turnover of the applicant unit for the previous year (Rs) :... Assessment Criteria (as per Table 1) Are you a member of CII: Yes [ ] No [ ] 47

48 CII National Award for Food Safety 2011 Payment details: Please find enclosed Cheque / Demand Draft No for Rs drawn in favour of CII Institute of Quality payable at Bangalore as Application Fee (non refundable). I agree, on behalf of my organization, to abide by the rules of the CII Food Safety Award competition and accept that the decision of CII is final. I confirm that my organization is eligible to take a part in this competition and that all information in this application and accompanying application documents are correct. I accept the timetable, the non disclosure and confidentiality clause and fees and cost structure. Company Seal Name & Signature of the Highest Ranking Official of the Unit Date Address for correspondence Anju Bist CII Food Safety Award Secretariat anju.bist@cii.in Confederation of Indian Industry CII Institute of Quality Plot No, 249 F, Sector 18, Udyog Vihar, Phase IV, Gurgaon , Haryana Tel: Fax: / 80 Mobile: Web: iq.in 48