Vulnerability

Assessment for
Food Fraud
1-Day Course
Housekeeping
Active learning

…for which suggested

Completing exercises answers are given

Reviewing learning

Group discussions Summarising sections

Agenda

9.00 Introduction to course

9.30 Definitions
10.00 Global standard requirements
11.00 Break
11.15 Supplier Agents and Brokers
11.30 Vulnerability Assessment
12.30 Lunch
13.00 Vulnerability Assessment
Continued
15.00 Break
15.15 Case study
16.30 Course Assessment
17.00 Course close
Course Aims

• Understand vulnerability assessment

requirement for BRCGS.
• Understand what is meant by the term food
fraud.
• Understand the procedures and processes
By the end of required for the identification and mitigation of
the course the risk of substitution or adulteration to raw
you will: material in the supply chain.
• Know the difference between vulnerability
assessment, threat analysis critical control
point and food defence.
• Understand the raw materials most vulnerable
to food fraud.
Section 1
Introduction

8
What is Food Fraud?

Fraudulent and intentional substitution,

dilution or addition to a product or raw
material, or misrepresentation of the
product or material, for the purpose of
financial gain, by increasing the apparent
value of the product or reducing the cost of
its production.
What is Food Fraud?
The two main types of food fraud

The sale of food which is The deliberate

unfit and potentially misdescription of food,
harmful such as: such as:
• recycling of animal by- • products substituted with
products back into the a cheaper alternative, for
food chain example Basmati rice
• knowingly selling goods • making false statements
which are past their ‘use about the source of
by’ date. ingredients, i.e. their
geographic, plant or
animal origin.
 What is Food Fraud?

In your groups determine the potential food fraud issues associated

with the following raw material/products:

Canned Tuna Flakes Fresh Tuna Frozen Block Fish

Exercise PSM_VAFF1001
 What is Food Fraud?

Canned Tuna Flakes Fresh Tuna Frozen Block Fish

• Species Substitution
• Using general Thunnus • Fishing method • Species
instead of Thunnus e.g. Purse seiner substitution
albacares for yellow (netting) or pole • Mislabelled
Fin Tuna and line. • Fishing method
• Mislabeled
e.g. Purse seiner
• Dolphin Safe (US) (netting) or pole
• Dolphin Friendly (EU) and line.

Exercise PSM_VAFF1001
 What is Food Fraud?

Remember
Mislabelling of product also has
regulatory consequences covering:

- Fines
- Government investigation/
inspection

Exercise PSM_VAFF1001
Identify the food fraud issue

Mislabelled (Bromsgrove England)

Millions of cage eggs were
Eggs repacked and sold as free range or
organic. The perpetrators netted 3
million.

March 2010 Keith Owen was jailed

for 3 years for his part in a £100
million fraud involving Heart of
England Eggs near Bromsgrove.
Defra March 2010
Identify the food fraud issue

Adulteration of Fish – (Tuscany Italy)

Fish processing facility selling
previously frozen seafood as fresh.
The seafood had been sprayed
Frozen Seafood with citric acid, phosphate and
hydrogen peroxide to disguise the
fact that it was rotting.

More than 30 tonnes of seafood

Interpol Europe Feb 2015
were seized at the site in addition
to 1.6 tonnes of chemicals.
Identify the food fraud issue

Adulteration of Mozzarella (Salerno

Italy)
Large amount of curd originating from
Fresh mozzarella
Eastern Europe found at cheese
factory. The presence of chemicals
including citric acid and sodium
hypochlorite suggested the dairy
products were being treated to give it
the appearance of fresh mozzarella.
The mozzarella was then being smoked
Interpol Europe Feb 2015 in the back of a van, with rubbish being
burned as one of the heat sources.
Identify the food fraud issue

Substitution (Taiwan)
Blending inferior grade palm
and other low-cost oils into a
mixture that was then
Olive oil marketed as high-grade olive
oil.

Taiwanese Businessman Wei

Ying-chung was sentenced to
a four-year prison term and
Olive Oil Times March 2016
fined $15 million.
Identify the food fraud issue

Goats Milk Substitution (UK)

Which? consumer magazine
detailed high proportions of
sheep’s milk (sometimes over
half) 6 of 76 sampled goats’
cheese products

Which? consumer magazine

report 2014
Identify the food fraud issue

Oregano Substitution (UK)

Oregano Which? consumer magazine
report 2015
Reported from 78 samples of
Oregano tested, 19 contained
30% - 70% of substitute ingredients
such as olive or myrtle leaves.

Which? consumer magazine

report 2015
Identify the food fraud issue

The ACCC considered that

Basfoods had misrepresented that
its “Victoria Honey” was honey
produced by honey bees on
Honey product labelling and on its
website, when it was mainly
comprised of sugars from plants
including corn and sugar cane.

Australian Competition and Basfoods (Aust) Pty Ltd (Basfoods)

Consumer Commission (ACCC) were fined a total of $30,600
June 2016
following the issue of three
infringement notices
Examples of Food Fraud
Other known food adulterations and substitutions

Turmeric

• Metanil Yellow and

Kesari Dal (Added to
enhance the yellow
colour of a food
substance)
Examples of Food Fraud
Other known food adulterations and substitutions

Green chilies

•Malachite Green (To

accentuate the
bright, glowing
green colour of the
chilies)
Examples of Food Fraud
Other known food adulterations and substitutions

Mustard seed

•Argemone seeds
(used to add bulk
and weight)
Examples of Food Fraud
Other known food adulterations and substitutions

Black pepper

•Papaya seeds
(used to add bulk)
Top 10 Most At Risk From Food Fraud
Draft Report on the Food Crisis, Fraud in the Food Chain and the Control Thereof (2013/2091
(INI)) (European Parliament, 2013), the top 10 food products most at risk from food fraud

1 2 3 4
olive oil fish organic products milk

6 8
5 7
honey and spices (such as
grains coffee and tea
maple syrup saffron and chilli)

9 10
wine fruit juices
The Cost of Food Fraud

Centre for Counter Fraud Studies (CCFS) at the

University of Portsmouth estimates that food fraud
could be costing UK companies:

£11 Billion per year

 Act like a criminal?

In your groups you need to identify a raw material that you believe would be a good
material for substitution or adulteration and record the following details on a flip chart:
➢The material selected.

➢Product characteristics e.g. powder, liquid, particulate and the impact it would have on potential for
substitution or adulteration.

➢The reason why you believe it to be a good material for substitution or adulteration.

➢Where in the food chain would the substitution or adulteration occur.

➢How and what would the chances of detection be?

➢Who would need to be involved.

Each group to feed back their answers to the rest of the class.
Exercise PSM_VAFF1002
 Act like a criminal?
Sample answer

▪ The material selected.

− Plain salt sea crisps substituted with table salt.
▪ Product characteristics
– The homogenous texture of the material (eg, liquid) or ground
material (spices) make it easier to hide substitution/ addition
▪ The reason why you believe it to be a good material for
substitution or adulteration.
– No food safety issues associated with the substitution.
– Possibly high volume with small percentage of substitution.
– Small number of people involved in the substitution.
– Seasalt £1.50 per 1kg and Table salt 79p per 1kg
Exercise PSM_VAFF1002
 Act like a criminal?
Sample answer
▪ Where in the food chain would the substitution or
adulteration occur.
− Manufactures
▪ How and what would the chances of detection be?
– Testing by the customer
– Very low chance of detection
▪ Who would need to be involved.
– Purchasing department
– Goods inwards
– Manufacturing staff

Exercise PSM_VAFF1002
National Crime Units

The Scottish Food Crime

and Incidents Unit Danish Food Crime Unit

U.S. Food and Drug

Administration
UK National Food
Crime Unit
Dutch Food Crime Unit
GFSI Position on Food Fraud

GFSI definition of food fraud

A collective term encompassing the deliberate and

intentional substitution, addition, tampering or
misrepresentation of food, food ingredients or food
packaging, labelling, product information or false or
misleading statements made about a product for
economic gain that could impact consumer health.
Food Safety Management Systems

Risk management systems associated with Food

Fraud Prevention

Vulnerability
Hazard Analysis Threat Analysis
Analysis Critical
Critical Control Critical Control
Control Point
Point (HACCP) Point (TACCP)
(VACCP)
HACCP, TACCP, VACCP

What is your interpretation of

the different schemes?
HACCP

Food Safety

HACCP Hazards
Prevention of
unintentional/ Food borne
Science based
accidental illness
adulteration
TACCP

Food Defence

TACCP Hazards
Prevention of Behaviourally or
intentional ideologically
adulteration motivated
VACCP

Food Fraud

VACCP Hazards
Prevention of
Economically
intentional
motivated
adulteration
Section 2
Definitions

8
Definitions
Key definitions associated with food fraud:
Adulteration

Authenticity
Food fraud
Food defence
Substitution

Vulnerability Assessment
Food fraud definitions

Adulteration

The addition of an
undeclared material
into a food item for
economic gain.
Food fraud definitions

Authenticity
Food authenticity is
ensuring that food or raw
materials purchased and
offered for sale, are of the
nature, substance and
quality expected.
Food fraud definitions

Food Fraud
Fraudulent and intentional
substitution, dilution or addition
to a product or raw material,
or misrepresentation of the
product or material, for the
purpose of financial gain, by
increasing the apparent value
of the product or reducing the
cost of its production.
Food fraud definitions

Food Defence
Procedures adopted to assure
the safety of raw material and
products from malicious
contamination or theft
Food fraud definitions

Substitution
The action of replacing all
or part of a raw material,
packaging or process
chemical with another
substance (generally
lower grade) for financial
gain.
 The financial reality of substitution

In pairs, calculate the revenue the company will make if they

substitute 1%, 5%, 10%, 15% and 20% of their raw material using the
following information:

A company buys annually 714,285 units of raw material at 70p per

unit.

The company can buy a lower grade raw material at 40p per unit.

Exercise PSM_VAFF1003
 The financial reality of substitution

Annual Spend per/annum= £500,000.00

No units per/annum = 714,285
Product A = 70p Product B = 40p

1% 5% 10% 15% 20%

• £2,142.00 • £10,714.00 • £21,428.00 • £32,142.00 • £42,857.00

Exercise PSM_VAFF1003
Food fraud definitions

Vulnerability assessment
A vulnerability assessment is a
search for potential
weaknesses in the supply
chain in order to prevent food
fraud (i.e. to prevent the
adulteration or substitution of
raw materials before they
arrive at the site).
Section 3
Global Standards
Requirements for
Vulnerability
Assessment 8
Global Standards Requirements

Objective of BRCGS

•Sites have assessed their raw materials and supply

chain for vulnerability to food fraud activities such
as the dilution or substitution of ingredients prior to
delivery to the site

•All claims relating to raw materials used in products

can be substantiated
Global Standard Food Safety Requirements
Clause Title Summary of requirements

1.1.8 Senior management The company must have a system for identifying new risks to
commitment the authenticity of raw materials and packaging.

3.5.1.1 Supplier and raw material The risk assessment of each raw material or group of raw
Approval materials and packaging must consider the potential for
substitution or fraud.
5.4 Product authenticity, claims The company must have systems in place to minimise the risk of
and chain of custody purchasing fraudulent or adulterated raw materials and
packaging.
5.4.1 Product authenticity, claims The company must have access to information on historical and
and chain of custody developing threats relating to the risk of adulteration or
substitution of raw materials and packaging.

5.4.2 Product authenticity, claims The company must have documented vulnerability assessment
and chain of custody of all raw materials and packaging.

5.4.3 Product authenticity, claims Where a raw material is at risk of adulteration or substitution,
and chain of custody appropriate assurance systems and or testing must be in place
to reduce the risk
Global Standard Food Safety, Requisitos
Clausula 1.1.8

La empresa debe poder demostrar que mantiene Las empresas deben contar con sistemas para:
un conocimiento actualizado de la legislación • Acceder a la información
relevante, los avances científicos y técnicos, los • Revisar información
nuevos riesgos para la autenticidad de las
materias primas y los códigos de práctica de la • Actuar cuando corresponda.
industria.
Requisitos del Estpandar Global de
inocuidad alimentaria
Clausula 3.5.1.1 Evaluación de riesgos de materias primas de cada
materia prima o grupo, incluido el embalaje.

Substitución o fraude

La evaluación de riesgos formará la base para

la aceptación de la materia prima.

Revisión anual
Global Standard Food Safety Requirements

5.4 Autenticidad de Producto,

Declaraciones y Cadena de
Amenaza Custodia
Alimento
Debe existir un Sistema implementado
para minimizar el riesgo de compra de
materia prima alimentaria fraudulenta
o adulterada; y para asegurar que
todas las descripciones y
Vulnerabilidad declaraciones de los productos sean
Evaluación legales, precisas y verificables.
 ¿Qué productos pueden estar en riesgo de
fraude?¿De dónde podría una empresa obtener
información sobre estas amenazas?

5.4.1 Provisión de conocimiento e información.

 5.4.1de
Fuentes Provision of knowledge and
Información
information
Sector
Internet Clientes Trabajadores
Privado

¿Qué productos pueden estar en riesgo de

fraude?¿De dónde podría una empresa obtener
información sobre estas amenazas?

Noticieros Asociaciones Gobierno Proveedores

periódicos Profesionales
Gremiales
5.4.2 Evaluación de Vulnerabilidad

El sitio debe
Todas las
llevar a cabo
Materias
una
Primas y
evaluación de
Materiales de
vulnerabilidad
Empaque
documentada

Evaluar el
riesgo
potencial de
adulteración o
sustitución
 5.4.3 Aseguramiento y/o prueba

Cuando se identifique que las materias primas presentan un

riesgo particular de adulteración o sustitución, se deben
implementar los controles de seguridad apropiados para
garantizar que solo se compren materiales genuinos.

¿Qué incluyen estos?

Exercise PSM_VAFF1004
 5.4.3 Aseguramiento y/o prueba
Sus respuestas pueden incluir:

Certificados de análisis de
Pruebas de Materias Primas
proveedores de Mat. Primas
Uso de pruebas de
Auditorías a la Cadena de
manipulación o sellos en las
Suministro
materias primas entrantes
Ejercicios de balance de
Mejorar los controles de
masa en el proveedor de
aprobación de proveedores
materia prima
Cambios en la cadena de suministro, p.ejem
un cambio de proveedor o un cambio a una
cadena de suministro más corta
Exercise PSM_VAFF1004
Raw Material available tests

Rapid spectroscopic techniques

covering wines, spices etc.

Stable isotope and ratio analysis

covering origin, organic etc

DNA and ELISA testing covering

authentication, speciation and
verifying claims such as non-GMO.

Rapid testing for speciation,

allergens contamination etc.
Raw Material testing limitations
Identification tests are not available to
detect adulteration or substitution in all raw
materials.

Cost of routine testing of raw materials may

be prohibitive.

Are the limits of acceptable error for the test

being used capable of detecting
adulteration or substitution in the raw
material being tested.

Is the test sample selection undertaken in a

random and a fair representation of the
batch being tested.
Section 4
Suppliers, Agents
and Brokers
Suppliers, Agents and Brokers

Methods Approving suppliers

to be
used for: Approving agents and
brokers

Exception procedures

Traceability requirements for

low risk suppliers
 3.5 Supplier and raw material approval
and performance monitoring

• Divide into groups

• Each group should consider what the site would
need to do to demonstrate compliance to the
clause you have been given:
– 3.5.1.1
– 3.5.1.2
– 3.5.1.6

Exercise PSM_VAFF1005
 3.5.1.1
• Documented Risk assessment covering raw
material and packaging.
• Risk assessment to cover:
Risk • Allergen contamination
Assessment • Foreign-body risks
• Microbiological contamination
• Chemical contamination
• Substitution or fraud

• The risk assessment shall form the basis for the raw
material acceptance and testing procedure
Material • Risk assessment shall form basis for the supplier
acceptance approval procedure
• The risk assessments shall be reviewed at least
annually

Exercise PSM_VAFF1005
 3.5.1.2 Supplier Approval

• Supplier approval
Procedure
• Exceptions
covering
• Up to date list of approved suppliers to be held

• Suppler could be approved by:

• certification (e.g. to BRCGS or other GFSI-
recognised scheme)
High risk
supplier • supplier audits, with a scope to include product
approval safety, traceability, HACCP review and good
• manufacturing practices, undertaken by an
experienced and demonstrably competent
product safety auditor

Low risk • Supplier approved by supplier questionnaire

supplier • Supplier questionnaire to be reviewed every three
approval years
Exercise PSM_VAFF1005
 3.5.1.6 Supply chain traceability

•Traceability systems required where

Questionnaire suppliers have been approved by
questionnaire.

•Where raw material is a primary

Farm or agricultural product purchased directly
Fishery from a farm or fishery additional testing of
the traceability systems is not mandatory.

•Verifications of suppliers traceability

systems to be undertaken:
Approval
•On initial approval
Frequency
•On a frequency of 3 years from initial
approval
Exercise PSM_VAFF1005
3.5.1.5 Purchasing from agents and brokers

The site must obtain sufficient

information to enable the
approval of the last processor of
the raw material

Information to come from the

manufacturer, processor,
packer or through the
agent/broker

If the agent or broker is

certificated to BRGSC Standard
this will go towards
demonstrating compliance to
this clause
3.5.1.4 Exception procedure

Exceptions include bulk

commodity purchases,
emergency supplies or
customer-directed
purchases

Where not possible to

operate the approval
processes in 3.5.1.3

Procedure to detail how

exceptions are handled, to
include checks and tests
on products
Sección 5
Evaluación de
Vulnerabilidad
Evaluación de Vulnerabilidad

Herramientas de Evaluación de Vulnerabilidad:

• Proceso de Vulnerabilidad
• Escaneo de Horizonte (Amenazas historicas y en
desarrollo)
− Evaluación del Riesgo de la Vulnerabilidad, cubriendo:-
Modelo cuadrático
− Utilizando Números Prioritarios de Riesgo
• Mapas de Cadena de Suministros
Evaluación de la Vulnerabilidad

5.4 autenticidad de producto, Procesos de Evaluación de

declaraciones y cadena de custodia Vulnerabilidad

1. Formar un Equipo
5.4.1Provision de 2. Identificación de Materiales
conocimiento e información
3. Escaneo de Horizonte

5.4.2 Evaluación de 4. Mapas de Cadena de Suministros

Vulnerabilidad 5. Hacer una Evaluación de Riesgos

6. Mitigación de riesgos y
5.4.3 Resultados de la implementación de controles
evaluación de vulnerabilidad
7. Revisión
1. Formación del Equipo
Procesamiento Finca /
Manufactura Secundario Granja

Almacén Procesamiento
Primario

Posible composición del equipo

• Desarrollo de nuevos productos
• Compras
• Aprobación de proveedores
• Logistica / transporte
• Credores de especificaciones
• Laboratorios & Pruebas
• Recepción de MP y empaques
• Técnicos y aseguradores de calidad
• Manufactura / Producción
2. Identificación de Materiales

Requisitos de BRCGS de Seguridad Alimentaria v8

Cláusula Temas Materiales

1.1.8 • Autenticidad Materias Primas o grupos
3.5.1.1 • Substitución Materia Prima o grupos y empaques
• fraude

5.4.1 • Amenazas a Cadena de Materias Primas

Suminitros
• Adulteración
• substitución
5.4.2 • Adulteración Materias Primas o grupos
• substitución

5.4.3 • Adulteración Materias Primas

• substitución
2. Identificación de Materiales
Generación de lista de materias primas y empaques

Materiales y Empaques Cantidad Valor

P/Año P/Año

Materia Prima
1.
2.
3.
Empaques
1.
2
3. Escaneo de Horizonte

Escaneo del Horizonte a sido definido como:

‘el examen sistemático de amenazas potenciales,
oportunidades y posibles acontecimientos futuros'

viendo hacia atrás

Vista
Panorámica

viendo para adelante

Proceso de Escaneo de Horizonte

Recolección de Datos
(Amenazas historicas y actuales)
Revisión Hallazgos
• Minería de información & Análisis Documentales
de la internet de Datos

• Sitios de Gobierno

• Recursos (fuentes) Volver a Situaciones emergentes

Privados recolección No identificadas
de datos
• Clientes Yes

• Proveedores Desarrollo de Mapas de

Cadena de Suministros y
Evaluación de Riesgo de
Vulnerabilidad
 Información del Escaneo del Horizonte
Ejercicio

1. Divide en grupos
2. Determine los tipos de información que una compañía necesita
revisar cuando está en un ejercicio de Escaneo de Horizonte y
register los detalles en el diagrama provisto en sus notas.
3. Para proveer ayuda la próxima diapositiva ofrece un ejemplo del
tipo de información requerido.
4. Cuando se complete, cada grupo se le pedirá que de
retroalimentación al resto de la clase.

Exercise PSM_VAFF1006
 Actividad de Escaneo de Horizonte

Incidentes
Históricos

Longitud y
complejidad de la
cadena de
suministro
Exercise PSM_VAFF1006
 Actividad de Escaneo de Horizonte

Emerging concerns Existing controls

Historic (e.g. recent news including routine
incidents or alerts) testing, audits

Physical form (e.g.

Availability (e.g.
Economic factors/ whole items,
seasonality/
price fluctuations chopped, minced,
harvest variability
powdered or liquid

Nature of the raw

material (e.g. Ease of access to
Geographic origin
Value, size of raw materials
market)

Length and
Storage/
complexity of distribution
supply chain
Exercise PSM_VAFF1006
Ejemplos de recursos de información actual

❖ US Pharmacopeial Convention (USP):

https://www.foodfraud.org/
❖ US National Center for Food Protection
and Defense (NCFPD):
https://www.ncfpd.umn.edu/
❖ US Michigan State University:
http://foodfraud.msu.edu/
❖ Food Authenticity Network (FAN)
http://www.foodauthenticity.uk/
Examples of current information sources

US Food and Drug Administration (FDA):

http://www.fda.gov/Food/FoodDefense

UK Food Standards Agency (FSA):

http://www.food.gov.uk/enforcement/foodfraud

UK Serious Fraud Office: http://www.sfo.gov.uk/fraud

UK Food and Drink Federation (FDF):

http://www.fdf.org.uk/corporate_pubs/Food-Authenticity-guide-
2014.pdf
 The Food Authenticity Network
❑ One-stop-shop for food authenticity testing / food defence
❑ Sign posts to tools available to check for mislabelling and food fraud
❑ Interactive website based on an open-source content management system
− Launched July 2015
− Free
− Open access
− Independent and trusted information
− October 2017 >690 members and >830 Twitter followers

Centres of https://twitter.com/fauthenticity
Expertise
Food
Fraud Research
& Methods
KEY FEATURES Mitigation

News & Training

Events
Network

Science
for a safer world
Discussions
Organisations
pages

Policy &
Quality Law
Examples of Information arising from Horizon
activities

El Niño • United Nations reported in October 2015

El Niño (October 2015)

a complex series of climate change affecting
the Pacific potentially causing:
• sugar price (surging 17.2 percentage from
September)
• Vegetable oils price (6.2 increase)
Examples of Information arising from Horizon
activities

Reported by Food and

Agriculture Organisation of
the United Nations in
Food and November 2015
Agriculture The Dairy Price Index rose 9.4
Organisation of percent from September 2015
the United on concerns that milk output
Nations in New Zealand would
decline.
4. Supply Chain Maps

In increasingly global and complex supplier networks a supply chain map

is a graphical representation of the journey a raw material takes from
source to end user.

Supply chain maps

• Detailing each step of the supply chain

providing greater transparency across the
chain.

• Allow the risk of food fraud, adulteration

and substitution to be identified at an
earlier stage.

• Allow organisations’ roles and

responsibilities to be identified.
4. Supply Chain Maps

There are many different types of supply chain maps

Example
4. Supply Chain Maps
Supply chain map example
4. Supply Chain Maps
Example
4. Supply Chain Maps
Example Supply Chain Map Using Excel
5. Supply Chain Maps

Step 2
Step 1 • Populate chain Step 3
• Determine map from: • Issue supply
the format - Knowledge of chain map to
to be used the supplier the supplier for
- Questionnaires verification
- Material
specifications

Step 4 Step 5
• Review verified Supply • Verify supply chain
chain map from maps during supplier
supplier and update audits where
vulnerability assessment appropriate
5. Undertaking a risk assessment

Simple Quadratic
Model
Different type of
risk assessment
tools appropriate
for Vulnerability
Assessment: Priority Risk Numbers
(PRN)
5. Simple Quadratic Model

Vulnerability
HACCP
Assessment
Likelihood of
Likelihood
Vs occurrence

X X
Likelihood of
Severity
detection

The use of Severity in a Vulnerability Assessment is not appropriate

5. Simple Quadratic Model

Likelihood of occurrence

•Historical incidents
•Emerging concerns (e.g. recent news or alerts)
•Geographic origin/length and complexity of the
supply chain
•Ease of access to raw materials
•Nature of the raw material e.g. value and market size
•Availability (e.g seasonality)
•Availability of adulterants or substitution
•The complexity of committing the fraud
5. Simple Quadratic Model

Likelihood of Detection

• Geographic origin
• Length and complexity of the supply chain
• Physical form (e.g. whole items, chopped, minced,
powdered or liquid
• Existing controls
• Routine product testing (consider the type of test and
how likely are the to detect any adulterated materials
and frequency of test.
• Ease of access to raw material (e.g. broken tamper-
proof seals are clear evidence of an attempt to access.
• Supplier audits
5. Simple Quadratic Model
Likelihood of occurrence
Very Likely/
Very unlikely Unlikely Fairly likely Likely Certain
(1) (2) (3) (4) (5)

Very likely/ A5
Certain A1 A2 A3 A4 A5
Likelihood of detection

(A)

Likely
B1 B2 B3 B4 B5
(B)

Fairly Likely
C1 C2 C3 C4 C5
(C)

Unlikely
D1 D2 D3 D4 D5
(D)

Very unlikely
E1 E2 E3 E4 E5
(E)
5. Simple Quadratic Model
Purchase of Manuka honey
(Likelihood of Detection)
• Geographic origin Relevant
Ease
Routine
Length of
Physical audits
product
form
Historical
and (i.e.
access(e.g. those
testing
complexity
Existing incidents
controls to of that
whole raw
the
• Length and complexity of the supply consider
material
(consider adulteration,
(e.g.
items,supply broken
chopped,
the type of
chain. tamper-
minced,
test and
chain. traceability,
proof
how
Basiclikely
Multiple seals
powdered
aremass
reports
supplier the balance
orare
to
liquid. clear
detect
indicating
approval.
• Physical form (e.g. whole items, testing
evidence
any etc of from
adulterated
historic
Buying direct
concerns.anmaterials
attempt
New to
chopped, minced, powdered or liquid access.
Physical
and frequency
Zealand forms means
of test.
producers is dilution
None
or substitution
preferred is relativelyfrom
to purchasing
• Existing controls
Refer
Few to geographic
straightforward.
internationally
non-producing traders.origin. –
• Routine product testing (consider the no additional
recognised controls
test available.in
type of test and how likely are the to operation some results can be
Therefore
detect any adulterated materials and
frequency of test. costly, time consuming,
difficult to interpret and
• Ease of access to raw material (e.g.
subjective.
broken tamper-proof seals are clear
evidence of an attempt to access.
• Relevant audits (i.e. those that consider
adulteration, traceability, mass balance
testing etc.
5. Simple Quadratic Model

Different Likelihood of detection risk levels

A = Very Likely/Certain
B = Likely
C = Fairly Likely
D = Unlikely Manuka Honey
E = Very Unlikely
5. Simple Quadratic Model

Purchase of Manuka honey

(Likelihood of occurrence)
• Historical incidents The
Ease complexity
Availability
Geographic
Emerging
Nature access ofraw
Availability
Economic
ofHistorical
ofconcerns ofraw
committing
adulterants
e.g.
factors/price
to
theorigin/length or
materials
material
(e.g.
incidents and
recent
e.g
• Emerging concerns (e.g. recent value the
Seasonality/harvest
complexity news
and fraud
substitution
fluctuations
of the
or viability
supply
market
alerts chain
size
news or alerts) No specific
Multiple issuesindicating
reports relating to
• Economic factors/price fluctuations Relatively
Other
Manuka
access
Refer
Current
historictoto simple
variants
honey ofisto
raw material.
concerns
economic
concerns. can undertake
honey,
be sugar
acovering:
seasonal
premium
substitution.
syrups
product
purchased and
factors/price
• Research on
withwater
the aare
basis
limited
from
by
fluctuations
main readily
the
availability
limited
honey
• Geographic origin/length and
complexity of the supply chain available.
Manuka
resulting
geographical
above. plant
in high
producers’ flowers
prices in
area.
organisation - spring
in
and
demand
NEWsummer and from
exceeds
Zealand, not through
Supplywhere
• Ease of access to raw materials
thealmost
year. all the worlds Manuka
• Nature of the raw material e.g honey comes from ,
value and market size
revealed that 1,700 tons of
• Availability (e.g seasonality) Manuka are produced there
• Availability of adulterants or each year compared to
substitution 1,800 tons sold to the UK
• The complexity of committing the alone and as much as
fraud 10,000 tons sold world wide.
5. Simple Quadratic Model

Different likelihood of occurrence risk levels

1 = Very Unlikely
2 = Unlikely
3 = Fairly Likely
4 = Likely Manuka Honey
5 = Very likely/Certain
5. Simple Quadratic Model
Likelihood of occurrence
Very Likely/
Very unlikely Unlikely Fairly likely Likely Certain
(1) (2) (3) (4) (5)

Very likely/ A5
Certain A1 A2 A3 A4 A5
Likelihood of detection

(A)

Likely
B1 B2 B3 B4 B5
(B)

Fairly Likely
C1 C2 C3 C4 C5
(C)

Unlikely
D1 D2 D3 D4 D5
(D)

Very unlikely
Manuka
E1 E2 E3 E4 E5
Honey
(E)
5. Simple Quadratic Model
Risk Rating and Action Levels

Green Orange Red

Risk Rating Risk Rating Risk Rating
Vulnerability assessment Vulnerability assessment Vulnerability assessment rates
rates raw material or rates raw material or raw material or packaging as
packaging as a very low risk. packaging as an a very high risk.
Intermediate risk.

Actions
Actions Actions
- Further investigation required - Action plan required to
- No immediate action to determine impact on raw
required. eliminate or reduce the
materials/packaging being
purchased and where risk to acceptable levels.
- Continued monitoring appropriate action plan put in
through Horizon scanning. place to mitigate the risk.
5. Simple Quadratic Model

Simple Quadratic Vulnerability Risk Assessment

of detection

occurrence
Likelihood

Likelihood

Rating
Raw Material/

Risk
Packaging Controls

of
Manuka Honey E 5 E5 • Determine if site needs to purchase Manuka
honey or would alternative be acceptable.
• Review supply chain to determine ingredient is
purchased as close to the source as possible.
• Ensure supplier approval includes assessment of
controls to prevent adulteration or substitution.
• Ensure approval includes appropriate
certification.
• Obtain Certificate of Analysis with every batch.
• Carry out periodic testing of received materials.
6. Using priority risk numbers (PRN)
Vulnerability Risk Assessment

Simple
Quadratic
Model
Profitability PRN
6. Using priority risk numbers

Purchase of Manuka honey

Profitability
Costs
Easy ofofaccess
Economic undertaking
Availability
Availability/
Value and
ofFactors
raw of the
cheaper
seasonality
to material
rawand fraud
material
Price
• Economic Factors and Price
alternatives
• Ease of access to raw Undertaking
Manuka
High Value
Forecasts
No specific honey substitution
ofproduct
issuesis a
another with
relating would
seasonalManuka
El Nino
to
material be a fairly
Other
product
honey
event,
access which
of easy
varieties
retailing
onrawbasis process.
of
at
could honey,
that thesugar
£13.00
material. per
significantly
syrup
100g and
Manuka
reduce water
compared
plant
rainfall inare
flowers
to
the readily
non in Manuka
spring
eastern
• Value of raw material available
and
honey as and
summer
southern significantly
littleand
as 72p
parts not
ofper
through
100g.
Australia
cheaper
the Newthan
andyear. Manuka
Zealand, mayhoney.
further
This is the
reduce equivalent
honey of Manuka
production. (Daily
• Availability/ seasonality honey being
Telegraph 18 times
August 2010)more
expensive than honey at the low
• Costs of undertaking the end of the market.
fraud

• Availability and cheaper

alternatives
6. Using priority risk numbers

Priority Risk Numbers risk assessment criteria

Rating Likelihood of Likelihood of Profitability (P)
Occurrence (O) detection (D)

1 Very unlikely or none Certain Very low

2 Unlikely or minor High Low

3 Moderate or Fairly unlikely Moderate or significant

significant

4 High Unlikely or remote High

5 Very high Very unlikely Very high

6. Using priority risk numbers

Priority Risk Numbers risk assessment criteria

Occurrence (O)

Profitability (P)
detection (D)
Likelihood of

Likelihood of

(=OxDxP)
Raw material Hazard Actions

PRN
Manuka Honey Substitution 5 5 4 100

Adulteration 2 3 3 18

Rating Criteria
Low 1 – 25
Medium 26 – 50
High 51 -125
6. Using priority risk numbers
Priority Risk Numbers risk assessment action levels
Level Score Action
Low 1 – 25 - No immediate action required
- On going monitor through horizon scanning.
Medium 26 – 50 - Details reviewed and where appropriate implement
mitigation action.
- On going monitor through horizon scanning.
High 51 -125 - Determine if raw materials or packaging purchased has been
substituted or adulterated and take appropriate action e.g.
identification of material and quarantine.
- Determine if supplier of raw material/packaging needs to be
suspended and new supplier sourced.
- On going monitor through horizon scanning.

On completion of mitigation action re evaluate risk rating and record

actions in the Actions column of the vulnerability assessment.
Mitigate risk and Implement controls

Examples of controls a site could put in place:

• Certificates of analysis
• Raw material testing
• Supply chain audits
• Mass balance
• Use of tamper evidence or seals
• Enhanced supplier approval
• Approved suppliers
• Alternative ingredients
• Change supplier
Mitigate risk and implement controls

Most effective

• Elimination
• Supplier Approval

• Control at Source
• Separation and
isolation

• Supervision
• Final Product Testing
• Certificate of analysis
Least effective
Verify and Review

When to review vulnerability assessment

1. New raw materials being considered for purchase

2. Emergence of a new risk (e.g. publication of information

relating to the adulteration of an ingredient).

3. Developments in scientific information associated with

ingredients, process or product.
4. Information received as part of supplier approval or raw
material risk assessment which highlights a new or evolving
risk.
Verify and Review

When to review vulnerability assessment

5. A change in the country of origin or the supplier of raw
materials
6. A change in the financial situation of the raw material supplier
or country of origin
7. A change in the cost of raw materials, either upwards or
downwards
8. A change in the supply chain, logistics and delivery of materials

9. A change in availability of the material (e.g. due to seasonal

shortages)
Section 6
Case Study
 Case study audit

• Your trainer will divide you into groups for this exercise and
give you a Case study of the 4 Cheese Pizza company.
• Using the Priority Risk Numbers Vulnerability Assessment
technique you are required to develop a Vulnerability
Assessment for the 4 Cheese Pizza company.
• A key part of the case study will be to apply the knowledge
you have learnt on the course.
• Your list of Raw Materials Packaging and Vulnerability Risk
Assessment needs to be documented on a Flip Chart.

Exercise 8
 Case study audit

On completion you will be required to provide a summary on your

rationale on developing the Vulnerability Risk Assessment.
 Course Review

You should be able to:

✓ Understand vulnerability assessment requirement for BRCGS

Standards.
✓ Understand what is meant by the term food fraud.
✓ Understand the procedures and process required for the
identification and mitigation of the risk of substitution or adulteration
to raw material in the supply chain.
✓ Know the difference between vulnerability assessment, threat
analysis critical control point and food defence.
✓ Understand the raw materials more vulnerable to food fraud.
 Workplace Assessment

On completion of the course you will be required to undertake an Vulnerability

Assessment at your place of work and submit the post-course assignment for
evaluation

Vulnerability Assessment you complete to cover the following:

• Completed vulnerability assessment covering 5 raw materials and 1 packaging
material.
• Table of raw materials and packaging detailing Quantity Per/year and Value
Per/year
• Information sources used to undertake horizon scanning.
• Information gained from horizon scanning.
• Supplier chain maps for three suppliers using the spreadsheet template used
on the course
Any questions? Clarification