GFSI BENCHMARKING REQUIREMENTS

VERSION 2024

PART I
THE GFSI
BENCHMARKING
PROCESS
HANDBOOK
 version 13/11/2024

Part I - The GFSI Benchmarking

Process Handbook
Contents

Introduction.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1. The Key Procedural Steps. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

A APPLICATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

B DESKTOP REVIEW. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

C OFFICE VISIT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

D CORRECTIVE ACTIONS AND ROOT CAUSE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

E PUBLIC STAKEHOLDER CONSULTATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24

F COMPLETION OF CORRECTIVE ACTIONS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

G GFSI Steering Committee FINAL DECISION AND COMMUNICATION. . . . . . . 28

H ANNUAL MONITORING OF CONTINUED ALIGNMENT. . . . . . . . . . . . . . . . . . . 30

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Introduction
The Global Food Safety Initiative aims to improve food safety and business All engagement with GFSI is underpinned by three key elements and all stakeholders
efficiency. The Global Food Safety Initiative Coalition has three key objectives: shall adhere to these at all times:
• CGF Antitrust statutes.
1. Benchmarking and Harmonisation: • GFSI Governance Model and Rules of Procedure.
2. Capability Building: • GFSI Code of Ethical Conduct.
3. Public-Private Collaboration:
Any demonstrable breach to the above would allow GFSI to discontinue all
GFSI’s work in benchmarking and harmonisation fosters mutual acceptance of GFSI- communication with the stakeholder and further action in line with GFSI Governance
recognised Certification Programmes across the industry and enables a simplified rules will be followed.
“once certified, recognised everywhere” approach. This reduces inefficiencies
from duplication of audits and helps reduce trade barriers. For further information and support: [email protected].

Part I of the GFSI Benchmarking Requirements specifies the GFSI Benchmarking This Implementation Handbook provides detailed guidance and clarity on
Process, the method for the recognition of food safety Certification Programmes. the Benchmarking Process outlining key steps, best practices, and examples
The objective of this document is to give a clear insight into this process. Further where necessary to support with the implementation process for Certification
details may be provided on request and during the application process. Programmes Owners.

A 'Glossary' of terms used within the GFSI Benchmarking Requirements is

provided in Part IV . This document is an integral part of the GFSI Benchmarking
Requirements; therefore, definitions shall be applied accordingly within the
Certification Programmes

The steps and procedures detailed in this document ensure that the GFSI
Benchmarking Process is:
• Carried out in an impartial and transparent manner by a technically
competent Benchmarking Leader under the supervision of the GFSI Senior
Technical Manager,
• Transparent and open to stakeholder scrutiny,
• Reviewed, maintained and updated to ensure consistency and integrity.

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The Key Procedural Steps

The GFSI Benchmarking Process shall be carried out in accordance with the following key procedural steps

TYPICAL TIMELINE AND

STEP REQUIREMENT IMPLEMENTATION GUIDANCE
SUPPORTING DOCUMENTS

Application This step verifies that the applicant Certification Typical timeline: The GFSI Certification Programme Owner is responsible for the
A
Programme Owner meets the GFSI eligibility Benchmarking Process must workplan and should ensure that they have resources
criteria and ensures that a workplan is agreed. be completed in a maximum in place to ensure the timeline of 12 months is met.
of 12 months from the date However the GFSI Steering Committee has the authority
GFSI accepts an application. to extend this timeline where examples may include
However, the GFSI Steering feedback from public consultation leading to a delay in
Committee has the authority Programme recognition, failure to address the closure
to extend this timeline. of non-conformities, and resource constraints at GFSI.

Initial The Certification Programme has not Applicants shall meet all eligibility criteria and
Benchmarking: previously undergone GFSI benchmarking. successfully complete all steps A to G

Re-submission: A previous benchmarking application Applicants shall meet all eligibility criteria and
was initiated but withdrawn before successfully complete all steps A to G
completion, requiring a completely new
submission or a previous application
resulted in non-recognition.

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New version The Certification Programme has To obtain recognition after Applicants shall meet all eligibility criteria and
of Benchmark successfully completed benchmarking a new version of the GFSI successfully complete all steps A to G.
requirements against an earlier version of the GFSI Benchmarking Requirements
is published: Benchmarking Requirements and now is published, Certification
seeks recognition of its currently recognised Programme Owners must
Programmes to meet the new version apply for re-assessment for all
of the Benchmarking requirements. scopes within nine months of
the new version’s release date.
The GFSI Steering Committee
may extend this deadline in
special circumstances such
as delays attributable to GFSI
and on a case-by-case basis.

Application In the year prior to the publication of a new No new applications one
Restrictions version of the GFSI Benchmarking Requirements, year prior to publication
Ahead of GFSI no new application will be accepted. A of new benchmarking.
Benchmark notification will be sent out to existing CPO’s and
No scope extensions
Requirements notice will be displayed on the GFSI website to
in the last six months
Update: indicate the starting date of this one-year period.
prior to publication of
Additionally, GFSI will not accept any applications new benchmarking.
for scope extension from existing Certification
Programme Owners in the last six months
before the publication of a new version
of the GFSI Benchmarking Requirements.
This does not apply to sub-versions of the
GFSI Benchmarking Requirements.

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Rebenchmarking: • The Certification Programme Applicants shall meet all eligibility criteria and
requires adding a new scope of GFSI successfully complete all steps A to G.
recognition (scope extension) to an
Once the application is received and reviewed, the GFSI
already recognised Programme.
team will determine the steps of the benchmarking process
• The Certification Programme has already that are required and where changes are deemed minimal
been recognised against the current version may agree some steps eg office visit may not be required
of the GFSI Benchmarking Requirements and can continue within the continued monitoring activities.
but wish to apply for recognition for an
updated Programme version or subversion,
• For Certification Programmes undergoing
changes that may impact existing GFSI
recognition, such as modifications to
governance, ownership, management
systems, or normative documents.
• Where the GFSI recognition for a
Certification Programme’s has been
suspended and the Programme Owner
seeks to re-establish its recognition status.

Extension of A Programme is “undergoing recognition” Sites that rely on GFSI-recognised certificates for their
recognition when it is in the process of being evaluated supply chain assurance may face gaps in recognition if they
of previously by GFSI to determine if it meets the are certified under Programmes undergoing recognition.
recognised Benchmarking Requirements (BMRs). During This can impact supply chain alignment or create the need
certificates this period, certificates issued under these for additional certification steps if customers demand it.
Programmes are not GFSI-recognised.
GFSI now allows certified sites to request an extension
GFSI only recognises certificates issued of the recognition of the previously recognised
under fully benchmarked and recognized certificate. This extension covers the period between
Programmes. Certificates from Programmes the lapse of a previously recognised certificate and
undergoing recognition do not yet meet the issuance of a certificate for the newly recognised
the criteria for GFSI recognition, as the programme. These extensions are voluntary.
evaluation process is incomplete.

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A1 Completion of The Certification Programme Owner Supporting Documents: The Applicant Certification Programme Owners
Application Form downloads the application form from GFSI Application Form are required to satisfy the eligibility criteria.
mygfsi.com, completes it and sends it and available from mygfsi.com
Specify applicable scopes (AI to K).
required supporting documents providing
evidence that the Certification Programme
Owner satisfies the GFSI Eligibility Criteria
to [email protected].
The Certification Programme Owner
must define the GFSI scope of
assessment they are applying for:
• GFSI Part II (mandatory).
• At least one GFSI scope of
recognition (Part III).

Application Name of Certification Programme in The same name that is used on the certificates
Form 1 scope for this application, i.e. the name issued against the Programme shall be used.
used in audit reports or certificates.

Application GFSI scope(s) of application. All scopes required within the recognition shall be
Form 2 selected (AI to K). Definitions of each scope is available
in part I of the GFSI Benchmarking Requirements.

Application Registered address of the The legal address of the Certification

Form 3 Certification Programme Owner. Programme Owner shall be provided.

Application Business address (Head quarter) of the Business address of the Certification Programme Owner
Form 4 Certification Programme Owner. shall be provided and is likely to be used for the office visit.

Application Additional local offices. Addresses of all additional office locations shall be
Form 5 provided so that GFSI have a clear picture of the
structure of the Certification Programme Owner.

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Application Name and position of the authorizing officer. The authorizing officer is the person that is
Form 6 formally responsible for the agreement made and
that signs the benchmarking application.

Application Name and position of Certification Programme This person will be the primary point of contact for GFSI
Form 7 application liaison / key contact person. during the assessment of the Certification Programme.

Application Address / location of application

Form 8 liaison / key contact person.

Application Phone number of application

Form 9 liaison / key contact person.

Application E-mail address of application

Form 10 liaison / key contact person

Application Please provide a short summary Include details such as start date of operation,
Form 11 of the Certification Programme’s markets the Programme is operated, rationale
history and objectives. for development, mission, objectives.

Application Total number of valid accredited certificates Shall be Certification Programme applied for, numbers can be
Form 12 against the Certification Programme. given for previous version but this should be clearly stated.

Application List of countries where those accredited Countries related to those certificated sites shall be listed.
Form 13 certificates have been issued.

Application Date of application. Date when the application was sent to CGF GFSI
Form 14

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eligibility criteria 1 The Certification Programme Evidence provided of legal company registration documents
Owner is a legal entity. in home country matching CPO name. This may include
papers / legal constitution documentation. If the legal
entity owning the Certification Programme is different
from the entity managing the Programme, please provide
clear evidence of the relationship between them.

eligibility There is commitment from a minimum of Evidence provided from at least 3 organisations of
criteria 2 three organisations representing the retail use or specifying of the Programme eg brand owner
/ food service or producing / manufacturing statement of specification of Programme, evidence
sectors to use the Certification Programme. of organisations certificated to Programme.
At least three letters of support specific to the Certification
Programme in scope for this application shall be sent. These
letters shall be signed by an appropriate person within their
organisation, dated and written on a paper / e-mail with logo
demonstrating its origin. The signatory will state the job title.

eligibility The Accreditation Bodies granting Evidence of at least one Accreditation Body accrediting
criteria 3 accreditation to the scope of the Certification the programme whom shall be an IAF MLA signatory.
Programme shall be members of the
Provide a letter from the Accreditation Body(ies),
International Accreditation Forum (IAF)
a reference to the website of the respective
and shall be signatories to the Multilateral
Accreditation Body(ies) or of the IAF website.
Recognition Arrangement (MLA).

eligibility The Certification Programme Owner has Evidence of contracts with at least two accredited
criteria 4 contractual relationships preferentially with Certification Bodies to the Programme.
two Certification Bodies that have accreditation
for the scope of their Certification Programme.

eligibility The Certification Programme Owner Changes shall not impact any of the eligibility
criteria 5 is not undergoing any significant criteria such as change of ownership.
changes or situations that may impact
the GFSI recognition status.

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eligibility The Certification Programme Owner

criteria 6 does not have any practices deemed
as restricting access to markets.

eligibility The Certification Programme Owner A self assessment shall have been undertaken to
criteria 7 has undertaken a self-assessment to ensure that the CPO is in a position to meet GFSI
validate that it is in alignment with the requirements and therefore be successful in their
GFSI Benchmarking Requirements. The application. The GFSI self assessment documents may
self-assessment shall be made available to be used as this is the start of the application process.
the Benchmark leader when requested.

A2 Invoice to GFSI sends an invoice for the application fee; Typical Timeline 1 week The application fee is non-refundable.
Certification process progresses when the invoice is paid.
Programme
Owner

A3 Application The GFSI Senior Technical Manager Typical Timeline 2 weeks Where the initial application is rejected, the Certification
Review will review the application to ensure all Programme Owner will be provided with a list of issues
necessary evidence is available or may identified and recommended steps for remediation. Once
request further information as required. the necessary actions are completed and the implemented
corrective measures are verified by the GFSI Technical
The GFSI Technical Manager reserves
Manager, a new application may be submitted. However,
the right to reject or refer an application
the Certification Programme Owner are permitted to
back to the Certification Programme
submit multiple applications for other scopes that are
Owner if information provided is deemed
not included within the unsuccessful application.
unsatisfactory. Where the application is
referred back to the Certificate Programme
Owner, they shall resubmit an updated
application with the requested amendments
to the GFSI Senior Technical Manager.

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Application The GFSI Senior Technical Manager will Typical Timeline 2 weeks If the information is complete and complies with the
Acceptance inform the Certification Programme Owner eligibility criteria defined in the GFSI Benchmarking
within 2 weeks of receiving the application Requirements Part I, the application is accepted
if it is accepted, amends are required to
If the information is incomplete or does not satisfy the
process the application further or rejected.
eligibility criteria defined in the GFSI Benchmarking
If the application is rejected, reasons for Requirements Part I, the application is rejected, feedback
this decision will clearly be detailed. is sent to the Certification Programme Owner, back to step
1. NB: The Certification Programme Owner may address
concerns regarding the eligibility criteria and re-apply.
Application fee would be invoiced for this new application.

A4 Contract If the application is accepted, a contract The start date of the 12 GFSI provides an agreement that all Certification
shall be signed between the Certification month application process Programme Owners applying for recognition must sign.
Programme Owner and GFSI. starts from the date of
This shall be resigned in all benchmarking
signature of the contract.
applications including rebenchmarking.

Appointment Once the contract is signed by both Typical Timeline 2 weeks The GFSI Technical Manager shall inform the Certification
of Benchmark parties, the GFSI Senior Technical Manager Programme Owner of this appointment in writing. Upon
Supporting Document GFSI
Leader will appoint a Benchmark Leader for the request from the Certification Programme Owner,
Benchmarking contract
Certification Programme assessment: additional impartiality or confidentiality agreements may
be signed between GFSI and the Benchmark Leader.
Note all correspondence sent to the Benchmark
Leader shall be copied to GFSI team mailbox:
[email protected]

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A5 Agreement The Certification Programme Owner will Typical Timeline 1 week The Certification Programme Owner is accountable for their
of Work Plan agree the work plan of activities and workplan. The workplan should allow the completion of the
Supporting Document:
key dates with the Benchmark Leader assessment and recognition process within 12 months from
GFSI workplan
and the GFSI Senior Technical Manager the date the application was accepted and contract signed.
based on the number of scopes and the
The workplan must be agreed with the Programme Owner
volume of documentation submitted.
and the appointed Benchmark Leader through discussion
generally on a conference call and will be based on
the number of scopes included in the application, the
amount of time needed to perform the benchmarking
assessment and estimate of the cost involved.

B DESKTOP The objective of the self-assessment is to

REVIEW allow the Certification Programme Owner to
demonstrate that the Certification Programme
includes all the key elements listed in the
GFSI Benchmarking Requirements, including
Part II as well as the applicable scopes of
GFSI Benchmarking Requirements Part III.

B1 Self GFSI sends Self-Assessment form(s) Typical Timeline 1 week GFSI will provide self-assessment forms for Part II and each
Assessment for Part II and the scope(s) included of the GFSI scopes of recognition (from AI to K) included in
Forms in the application form. the Certification Programme Owner’s application form.
The information included within the self-assessment
is the content of the Benchmarking Requirements
(Part II and respective scope(s) of Part III).

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B2 Self The Certification Programme Owner Typical Timeline 3 months The objective of the self-assessment is to allow the
Assessment completes the Self-Assessment form(s) and Certification Programme Owner to demonstrate that
Supporting Document: GFSI
Submission submits them to the Benchmark Leader the Certification Programme includes all the key
Self assessment forms
and GFSI with supporting evidence. elements listed in the GFSI Benchmarking Requirements,
including Part II as well as the applicable scopes
of GFSI Benchmarking Requirements Part III.
The Certification Programme Owner evaluates
their Certification Programme against the
GFSI Benchmarking Requirements.
Clear and precise justification against each
requirement, must be included:
• Whether and how the GFSI requirement is
covered in the Certification Programme;
• The name of the Certification Programme’s
document covering the requirement with
reference to the exact page and clause;
• The relevant documents as objective evidence.
Files have to be numbered and a list of
submitted documents provided together with
the completed Self-Assessment forms.
All documents may be submitted by email or
a secured document sharing platform agreed
with GFSI and the Benchmark Leader.
The completed self-assessment forms will be emailed
to the Benchmark Leader and copied to GFSIBM@
theconsumergoodsforum.com for review.

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B3 Self The Benchmark Leader reviews the completed Typical Timeline 4 weeks The Benchmark Leader performs a preliminary desk
Assessment self-assessment and supporting documents: review of the evidence provided by the Certification
Supporting Document: GFSI
Review Programme Owner for each GFSI key element, to ensure
The outcomes maybe as follows: self assessment forms
it satisfies the GFSI Benchmarking Requirements.
→ Information is complete and allows a
The Benchmark Leader will take note of any key elements
comprehensive review by the Benchmark
where additional information is needed and / or where they
Leader – the Benchmark Leader sends
do not agree with the self-assessment from the Certification
the self-assessment with their assessment
Programme Owner. These notes will include comprehensive
and comments, move to step B4;
explanations. All these findings will be sent to the
→ Information is incomplete, and Certification Programme Owner in writing for consideration.
/ or the evidence provided is
Findings will also be sent to the GFSI Senior Technical
insufficient – the Benchmark Leader
Manager for review.
sends feedback to the Certification
Programme Owner, back to step B2. The Benchmark Leader assesses the alignment of the
submitted information from the Certification Programme
Owner with each key element of the Benchmarking
Requirements and rates them as follows:
• Aligned: the provided information
addresses the key element
• Partly aligned: the provided information addresses some
aspects of the key element. The Benchmark Leader
highlights the unaddressed element(s) in their comment
• Not aligned: the provided information does not
address the key elements. The Benchmark Leader
clarifies the expected information in their comment.

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B4 Review The findings of the self-assessment review Typical Timeline 2 hours GFSI will facilitate the scheduling and IT tools
Conference Call are discussed and clarified through a necessary for the execution of the call.
conference call with the Benchmark Leader,
This will give the Certification Programme Owner an
GFSI and Certification Programme Owner.
opportunity to further clarify and complete their evidence.
It will also provide greater insight into what additional
information and amendment to the self- assessment forms
the Benchmark Leader requires. During the conference call,
a timeframe is agreed to complete any corrections of the self-
assessment forms and the workplan is reviewed accordingly.
The following points will be discussed:
• Review of Benchmark Leader’s assessment
and clarification of any findings;
• Agreement on a timeframe for the
completion of the self-assessment;
• Review of the workplan in light of the
results of the self-assessment.
The Certification Programme Owner ensures that relevant
and competent representatives are present during the call.

B5 Final Self Within the agreed timeframe the Typical Timeline 2 weeks In order to limit a possible back-and-forth exchange
Assessment Certification Programme Owner will send of information, the Certification Programme Owner
Submission the final version of the Self-Assessment will be required to provide the requested information
by CPO forms to the Benchmark Leader. and / or adjustments in the final self-assessment.

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B6 Final Self The Benchmark Leader reviews the Typical Timeline 3 weeks The Benchmark Leader may recommend at this
Assessment additional information provided: point that the process moves to gate G:
Review by BML
→ Information is complete and addressing If the self-assessment review highlights that
the findings would not require a the programme requires significant changes to
significant re-write of the programme align to the Benchmarking Requirements
– the Benchmark Leader sends the
If the deadline of the process does not allow for
final validation of the self-assessments
an office visit and a public consultation.
and a completed list of findings to
the Certification Programme Owner In such situations, the GFSI Senior Technical Manager reviews
and GFSI, move to “office visit”; the recommendation from the Benchmark Leader and agrees
the next steps with the Certification Programme Owner.
→ Addressing the findings would require
a significant re-write of the programme
- the Benchmark Leader sends the final
validation of the self-assessments and
a completed report including the list of
findings to the Certification Programme
Owner and GFSI, move to G;
→ Information is incomplete or
unclear – back to step B4.

C Office Visit This step focuses on an assessment of

the application and implementation of a
Certification Programme’s normative documents
and governance rules against Part II and Part
III of the GFSI Benchmarking Requirements.

C1 Office Visit The Benchmark Leader and the Duration typically 1.5 – 3 days The date is mutually agreed between GFSI, the
Certification Programme Owner plan Benchmark Leader and the Certification Programme
a visit to the nominated offices of the Owner based on availability of personnel.
Certification Programme Owner.
The Certification Programme Owner must ensure
The office visit focuses on record that all resources needed to support the office visit
reviews as evidence of the process are available during the visit, including expert
implementation of the governance staff members, documentation, and records.
reviewed during the previous gates.

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Office Visit The office visit will be at the Certification Typical Duration 1.5 - 3 days The Benchmark Leader leads the office visit and determines
Duration Programme Owner’s main office. its length. The duration of the office visit depends on the
Supporting Document:
complexity of the certification programme, the number
GFSI office visit checklist,
of scopes to cover, any needs for interpretation, etc
GFSI list of findings

Office Visit The Benchmark Leader will confirm an agenda Typical Timeline 2 weeks GFSI staff such as the GFSI Senior Technical Manager or other
Agenda and required documentation for review at before the visit Benchmark Leaders may join the office visit as an observer
least two weeks before the office visit. and adviser to the Benchmark Leader for calibration purposes.
Supporting Document:
GFSI office visit agenda The Benchmark Leader will lead the visit.

Remote Office CGF has agreed to officially introduce The need for continuous assessment effectiveness and
assessment the use of ICT in the GFSI Benchmarking efficiency introduced by unforeseen scenarios has led
Requirements office assessments as an to increased use of information and communication
alternative when physical visits are not technology (ICT) to support and maintain the integrity
possible. This is seen as an exceptional and continuity of the audit/assessment process.
occurrence and will be agreed with GFSI
In this framework, the Objectives:
and the Certification Programme Owner.
• Offer an alternative to physical assessments
• Maintain the effectiveness of the Benchmarking Process
• Maintain efficiency, safety, and level of confidence

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C2 Office Visit Office Visit Opening Meeting. Benchmark Leader shall:

Opening Meeting
• Introduce – themself, observers, guests and roles
• CPO shall introduce persons present and confirm
job roles – attendance sheet shall be completed
• Confirm confidentiality
• Thank everyone for efforts involved in providing
self-assessment / desktop review files
• Provide any positive feedback
• Confirm purpose of Visit is to assess alignment with
benchmarking requirements and records will be sampled.
• Confirm forms part of the process of initial benchmarking
and ongoing continued alignment activities
• Confirm the scope by quoting the detail of
their benchmarking application form
• Confirm the audit plan particularly break
times and closing meeting end time
• Confirm who needs to be involved in the
office visit and their availability
• Confirm need access to internet, database
and any other relevant points
• Clarify that any findings will be discussed during
the visit and summarised and confirmed in writing
at the closing meeting at the end of the visit
• CPO will have 15 working days to respond with a
corrective action plan and the evidence of close out
• A full report will be written up and provided
to CPO following review by GFSI
• Invite any questions at this stage

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C3 Office Office visit will consist of challenge of the Supporting Document: The checklist shall be referenced throughout
Visit review of Certification Programme Owners policy’s GFSI office visit checklist, by the Benchmark Leader.
Documentation and controls over operation of their GFSI list of findings
Typically will include:
Programme by the Certification Bodies.
• Selection of audit records taking into account the following
risk factors - certification bodies, scopes, countries
(where relevant) ensuring representative scopes and
Certification Programmes are covered by the sampling.
• Discussion with Managers regarding
implementation of their policies
• Review the CPO integrity reports for certification bodies.
• Review the CPO and certification body agreement.
• Review justifications of auditor scopes.
• Review certification body audit duration.
• Review KPI monitoring for certification bodies.
Potential findings shall be highlighted and
discussed throughout the assessment

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C4 Office Visit Benchmark Leader will lead the office visit At the closing meeting the Benchmark Leader will:
Closing Meeting closing meeting to discuss the outcome of
• Confirm those present – check attendance
the visit and present the findings so that the
sheet completed with roles
Certification Programme Owner is clear on the
issues that need to be actioned and resolved. • Thank everyone for their time
• Outline positive findings
• Confirm that findings are confidential;
they are based on a sample.
• Invite CPO to feedback thoughts on
assessment to GFSI STM
• Confirm this is the conclusion of the office assessment
• Confirm the findings on conformities against
the benchmarking requirements in writing
• Ask the CPO to confirm their understanding
before moving onto the next finding
• Confirm a full report will be written up
and submitted to GFSI for review
• Ask if the CPO has any questions / concerns
• Thank everybody again for their time

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C5 Office Visit Office Visit Findings Sheet will be left with the Findings will be clearly explained and documented by
Findings Certification Programme on the day of the visit the Benchmark Leader and shall be classified as:
and shall be signed by both the Certification
• Partly aligned: the provided information addresses some
Programme Owner and the Benchmark Leader.
aspects of the key element. The Benchmark Leader
highlights the unaddressed element(s) in their comment
• Not aligned: the provided information does not
address the key elements. The Benchmark Leader
clarifies the expected information in their comment
CPO and Benchmark Leader must digitally sign a copy of
the findings sheet and return to the Benchmark Leader.
Agree timeline of 15 working days for CPO to send their
corrective action plan and corrective action evidence
to Benchmark Leader and GFSI team mailbox.
This will be subsequently reviewed and signed off by GFSI.
Where corrective action is not received within the timeline or
evidence of effective close out is not received, the CPO will be
permitted upto a total of 20 working days to submit evidence.
However the CPO shall be warned that where evidence of
effective actions allowing the Benchmark Leader to close out
the issue is not received within a maximum of 20 working
days the open findings will be escalated to GFSI to review.

C6 Office The Benchmark Leader will be responsible for Within 15 days of The Benchmark Leader shall submit the office visit
Visit Report generating a full report from the office visit. the office visit report to the GFSI Senior Technical Manager 15
days after the last day of the office assessment.

D Corrective This step focuses on ensuring that an effective

Actions and corrective and preventative action plan is put in
Root Cause place to provide confidence that a Certification
Programme meets and can continue to
meet GFSI Benchmarking Requirements.

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D1 Corrective Within the agreed timeline, the Certification Typical Timeline 4 weeks The Certification Programme Owner shall respond
Actions and Programme Owner sends the Benchmark to the Benchmark Leader’s report with a corrective
Supporting Document:
Root Cause Leader a corrective action plan including a action plan within 15 working days of the office visit.
GFSI list of findings
root cause analysis to address any findings
This will be expected to include:
raised during the office assessment.
• A root cause analysis outlining why the finding has
occurred. This is important to be carried out to ensure
an effective corrective action is implemented.
• Outline summary of the corrective action undertaken.
• Evidence of the corrective action completed.
For example if the Certification Body has not completed
something that is within the CPO policy, the evidence
may consist of copy of the email reminder and action
instruction from the CPO to (all) CBs as well as evidence
that the specified CB from the finding has actioned that
request. Where it is not possible for a CB to action the
request within the timeframe, GFSI may accept a proposed
action plan by the CB with a reasonable future timescale.
Implementation will be subsequently checked by GFSI.
It is important that evidence of a robust action plan with
evidence of implementation is received by the agreed
deadline otherwise this may impact the recognition process.
Where corrective action is not received within the timeline or
demonstrates effective evidence of close out, the CPO will be
permitted upto a total of 20 working days to submit evidence.
However the CPO shall be warned that where evidence
of effective actions allowing the Benchmark Leader to
close out the issue is not received within a maximum
of 20 working days from the office audit, the open
findings will be escalated to GFSI to review.

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D2 Corrective The Benchmark Leader reviews the Typical Timeline 10 The Benchmark Leader will validate the corrective action plan
Actions and corrective action plan, outcomes: working days and submit this to the GFSI Senior Technical Manager. If the
Root Cause Certification Programme Owner fails to implement it within
→ The corrective actions address the findings Supporting Document:
Review by BML the agreed timeline, the GFSI Senior Technical Manager and
– the Benchmark Leader accepts the GFSI list of findings
the GFSI Director may initiate the sanctioning process.
corrective action plan, move to step D3;
→ Some of the corrective actions do not
address the findings – the corrective
action plan is rejected, back to step D1.

D3 Benchmark The Benchmark Leader completes the Supporting Document: The Benchmark Leader sends the assessment
Assessment benchmarking assessment report and confirms GFSI assessment report report including the list of findings to the
Report with the Certification Programme Owner Certification Programme Owner.
that the content of the report is accurate.
The Certification Programme Owner confirms
that the content of the report is accurate.
The assessment report includes:
• The certification programme information
(name(s), contact details),
• The assessment details (scope of
recognition, benchmark leader etc),
• An executive summary (summary of findings from self-
assessment, office visit, any particular complexities).
• Any findings from the self-assessment
review and the office visit.
• Details of the corrective actions and root
cause analysis completed by the CPO

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D4 Benchmark GFSI reviews the report and Typical Timeline 1 week The Benchmark Leader sends the final report agreed
Assessment validates its content. with the Certification Programme Owner to GFSI.
Supporting Document:
Report Validation
GFSI list of findings The GFSI Senior Technical Manager will review the
assessment report and include their assessment
of the Corrective Action plan to this report.
GFSI validates the finally agreed report.

E Public This step ensures that the GFSI Benchmarking

Stakeholder Process is transparent and submitted to
Consultation the scrutiny of GFSI and the Certification
Programme Owner’s stakeholders.

E1 Preparation GFSI prepares the documentation for Typical Timeline 1 week The GFSI Senior Technical Manager will make the
of Public public consultation, this includes self-assessment forms and the Benchmark Leader’s
Supporting Document:
Stakeholder assessment report available on the GFSI website
An announcement statement; GFSI assessment report,
Consultation for a stakeholder consultation of four weeks.
self assessment forms
Documents The assessment report with the
corrective action plan;
The completed and reviewed self-assessments.

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E2 Approval The Certification Programme Owner is Typical Timeline 1 week The Certification Programme Owner will be given
of Public asked to approve the documents for the opportunity to approve the content of the
Supporting Document:
Stakeholder public stakeholder consultation. published documents before it is made available
GFSI assessment report,
Consultation in the public domain. The report will only be put
self assessment forms
Documents to consultation once agreed by all parties.
by CPO
The Certification Programme Owner is asked to approve
the documents for public stakeholder consultation.
The Certification Programme Owner reviews the
proposed documentation for the public consultation:
→ The Certification Programme Owner approves
the documentation: move to step E3;
→ The Certification Programme Owner has concerns
over the content of the report, they submit their
suggested changes to GFSI, back to step E1.

E3 Start of 4 GFSI makes the approved documentation Typical Timeline 4 weeks The assessment report and the completed self-assessment
week Public available for stakeholder consultation forms are made available from mygfsi. com.
Supporting Document:
Stakeholder on mygfsi.com for four weeks.
GFSI assessment report, Comments are sent to [email protected].
Consultation
self assessment forms

E4 Close of Public GFSI closes the public consultation and Typical Timeline 1 week The GFSI Senior Technical Manager will collect any
Stakeholder sends the list of received comments comments, observations or objections made by
Consultation to the Certification Programme Owner stakeholders and will share them with the Certification
and the Benchmark Leader. Programme Owner, who shall address them.
The Benchmarking Leader and the GFSI Senior
Technical Manager will evaluate every response
from the Certification Programme Owner.

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F Completion This step ensures verification that the

of Corrective planned corrective actions to address any
Actions non-conformities are fully implemented
in the Certification Programme so that a
Recognition Decision may be made.

F1 Evidence of The Certification Programme Owner completes Typical Timeline depending The GFSI Senior Technical Manager shall ensure that
Corrective Action all required corrective actions and: on corrective actions those stakeholders who submitted comments during
sent by CPO the stakeholder consultation receive feedback.
Answers to any comments from the public Supporting Document:
consultation requiring an action or comment; GFSI assessment report The Certification Programme Owner shall complete
all required corrective actions and provide evidence
Provides evidence of implementation
of implementation to the Benchmark Leader.
for all corrective actions for the
findings of the assessment; The Certification Programme Owner shall provide
answers to any comments from the public
The Certification Programme Owner
consultation requiring an action or comment.
sends the final report with corrective
action details and supportive documents
to the Benchmark Leader.

F2 Review of The Benchmark Leader reviews the answers Typical Timeline 2 weeks The Benchmark Leader will validate the answers
Corrective from the Certification Programme Owner to the from the Certification Programme Owner to the
Supporting Document:
Actions by BML comments and findings of the assessments: comments and findings of the assessments, and
GFSI assessment report
the implementation of the corrective actions.
→ The Benchmark Leader accepts the
comments and completion of the All findings must be addressed with the corrective action
corrective actions from the Certification plan completed before the process can progress to gate G.
Programme Owner – move to gate G;
→ The Benchmark Leader rejects the
comments and evidence of completion of
corrective actions from the Certification
Programme Owner – back to step F1.

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F3 GFSI Review The Benchmark Leader sends the final Typical Timeline 1 week Once the corrective actions are fully implemented,
of Corrective assessment report with the completed the Benchmark Leader sends the final assessment
Supporting Document:
Actions corrective actions to GFSI: report including the completed corrective action
GFSI assessment report
plan and a recommendation for recognition to the
→ GFSI accepts the completed
GFSI Senior Technical Manager for validation.
corrective actions: move to G
→ GFSI rejects the completed actions and/or
asks for more information: back to step F1

F4 Final The Benchmark Leader sends the final Typical Timeline

Assessment assessment report, including the executive
Report Agreed summary with their recommendation for
with CPO recognition, to the CPO for agreement.

F5 Final The Benchmark Leader sends the Typical Timeline 3 months

Assessment final assessment report, including after the public consultation
Report sent the executive summary with their
Supporting Document:
to GFSI recommendation for recognition, to GFSI.
GFSI assessment report

F6 GFSI GFSI reviews the final assessment report: Typical Timeline 1 week
validation
→ GFSI accepts the recommendation from Supporting Document:
of report of
the Benchmark Leader: move to step G; GFSI assessment report
assessment
report → GFSI challenges the recommendation
from the Benchmark Leader: feedback
is sent to the Benchmark Leader for
consideration, back to step F4.

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G GFSI STEERING This step concludes the assessment of

COMMITTEE the Certification Programme and ensures
FINAL DECISION communication of the result of this
AND COMMU- assessment to GFSI and the Certification
NICATION Programme Owner’s stakeholders.

G1 GFSI submits GFSI submits the recommendation to Typical Timeline 2 weeks The GFSI Senior Technical Manager will inform the GFSI
recommendation the GFSI Steering Committee who votes Steering Committee of the results of the Benchmark
Supporting Document:
to Steering for or against this recommendation. The Leader’s assessment and the recommendation for
GFSI assessment report
Committee Certification Programme Owner recognition recognition in the form of a final summary report previously
status is based on the board majority vote. agreed upon with the Certification Programme Owner.

G2 GFSI Steering The GFSI Steering Committee will come to The GFSI Steering Committee will come to a decision
Committee a decision based on consensus following based on consensus following the recommendation
Decision either the recommendation presented by the presented by the GFSI Senior Technical Manager. If a
Recognised or GFSI Senior Technical Manager. vote is necessary, the votes of 75% of a quorum of the
Non-Recognised GFSI Steering Committee is required to determine the
The outcome will be confirmed as:
final decision. Vote may be organised during a face to
→ Recognition or face meeting of the GFSI Steering Committee where the
quorum is present, or by email. In the latter case, GFSI must
→ Non-Recognition
gather enough written answers back from GFSI Steering
Committee members to respect the GFSI Governance rules.
Records shall be kept of the numbers of votes for, against and
abstaining.
The GFSI Senior Technical Manager shall communicate
the GFSI Steering Committee decisions in writing to
the Certification Programme Owner, as soon as is
practicable after the GFSI Steering Committee decision.

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G2 a Steering GFSI informs the Certification Programme Typical Timeline within 1 week In the event that the final decision of the GFSI Steering
Committee Owner of the final decision of Non- of the Committee Decision Committee is non-recognition, the reasons for the decision
result of Non- Recognition and confirms next steps. shall be clearly documented and the GFSI Senior Technical
The Certification Programme
Recognition Manager shall make the Certification Programme Owner
Owner shall submit an
aware of the decision together with the reasons.
appeal to the GFSI Director
within 30 working days. The Certification Programme Owner shall have the
right to appeal against the GFSI Steering Committee’s
decision; the appeal shall be undertaken in accordance
with the procedures specified in Section “Sanctioning”.

G2 b Steering GFSI informs the Certification Typical Timeline within 1 week In the event of recognition by the GFSI Steering Committee,
Committee result Programme Owner of the final of the Committee Decision the GFSI Senior Technical Manager and the Certification
of Recognition decision and confirms next step: Programme Owner shall agree on a GFSI news release
Supporting Document: GFSI
confirming this decision. The Certification Programme Owner
→ The Certification Programme Owner statement of alignment
will be expected to issue a similar news release. The timing of
agrees to communicate publicly the result
these announcements shall be agreed on by the GFSI Senior
of their assessment – move to step G3.
Technical Manager and the Certification Programme Owner.
→ The Certification Programme Owner does
not want the result of their assessment
publicly communicated – move to step G4
In either case, GFSI posts a signed
statement of alignment to the
Certification Programme Owner.

G3 Publication GFSI and the Certification Programme Owner Typical Timeline 2 weeks GFSI and the Certification Programme
of news release agree on a common news release text and Owner both publish a news release.
confirming publish this jointly on their respective media.
The GFSI Senior Technical Manager will issue a statement
recognition
Move to step G4. of conformity to the Certification Programme Owner.

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G4 GFSI GFSI updates mygfsi.com and ensures the The GFSI Senior Technical Manager will ensure that the
Publication of Certification Programme Owner updates GFSI website is updated with the new recognition status
Recognition their own website when applicable. and scope(s) of the Certification Programme Owner.
Decision

H Annual This step ensures that the Certification The Global Food Safety Initiative has the responsibility
Monitoring Programme Owner is monitored regularly to create a transparent and level playing field for
of Continued and continues to comply with the GFSI all Certification Programme Owners undergoing
Alignment Benchmarking Requirements. benchmarking against the GFSI Benchmarking
Requirements. In order to ensure that recognised
Certification Programme Owners have implemented all
the controls necessary to ensure food safety, GFSI shall
carry out an annual monitoring of continued alignment.

H Completion Once a year, the Certification Programme Supporting Document: The monitoring record is issued by GFSI
of Monitoring Owner completes a monitoring record and GFSI monitoring record and asks for a declaration of:
Record sends this to GFSI and the Benchmark Leader.
• Any significant changes in the Certification
Programme Owner governance, including changes
in procedures, ownership, organisation etc.
• Any requested scope extension
• Any planned or published new programme version

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H Agreement The Benchmark Leader and the The GFSI monitoring of continuous alignment
between BML Certification Programme Owner includes the following activities:
and CPO of schedule the required activities of the
→ Gap analysis: against a potential new sub- version
Monitoring monitoring of continued alignment.
of the Benchmarking Requirements or minor
Programme
changes by the Certification Programme Owner
Activities
→ Record review: desktop audit based on
sampling exercise occurs twice a year.
→ Office Audit: review of Certification Programme
Owner’s records based at their main office.
This should occur once a year.
→ Complaint investigation- incident driven
A programme plan will be agreed collaboratively
between the Benchmark Leader and CPO the
preceding year, typically at the office visit.

H Desk Top The Benchmark Leader carries out the Supporting Document: This includes:
Review 1 first record sampling review and the gap GFSI monitoring checklist
A gap analysis against a potential new sub-version of the
analysis with the Certification Programme
GFSI Benchmarking Requirements or minor amendments
Owner – ‘Desk Top Review 1’.
to the Programme normative documents or implementation
guidelines the Certification programme Owner may
have made since the last continued monitoring cycle.
Note that modifications to governance, management
systems or normative documents shall instigate a
rebenchmarking application and therefore only minor
amendments should be reviewed at this stage.
A review of records associated with certificated
sites selected by the Benchmark Leader.

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H DTR1 Sampling The Benchmark Leader will remotely The sample number will be increased where :
select a minimum of five audits performed
• 5 samples do not allow for a representative sampling
by various Certification Bodies against
of the Certification Programme Owner’s scope(s)
the Certification Programme.
of recognition and / or number of certificates.
• authenticated complaints or results of previous
assessments raise concerns over the continued
alignment of the Certification Programme to
the GFSI Benchmarking Requirements.
The Benchmark Leader will request a list of objective
evidence and files related to these audits to verify
alignment of Part II of the GFSI Benchmarking
Requirements, including but not restricted to:
• Certificate and report and / or auditor notes,
• Contract with the Certification Body,
• Qualifications of the auditor,
• Scope allowance of the auditor.

H DTR1 Sampling CPO will provide the Benchmark An assessment shall be made by the Benchmark
of Certificated Leader with an uptodate list of GFSI Leader to pick samples across the scope of GFSI
Sites for record recognised certificated sites. recognition considering variables including:
Selection
This will ideally be in excel format including • Volume of audits by CB, country, auditor
Date of Audit, Certificate Expiry Date, Site
• Risk rating of country
Name, Certification Body, Country, Scope,
Audit Programme/Type, Auditor name • Previous performance history of CB, auditor
• Audit programme/type and their risk
• Scope and their risk
• Records selected in previous DTRs and their outcome

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H DTR1 Typical The Benchmark Leader shall confirm in Typical documents required:
Documents an email a list of the typical documents
• Copies of scheme normative documents
Required required to demonstrate compliance
to Benchmark Requirements Part II. • Copies of CB Accreditation - scope
of accreditation for each CB
• Links to CBs websites
• Copies of agreements between CBs and AB
• Copies of agreements between CPO and CB’s
• Copies of agreements between CB’s and auditors/
certification personnel (including persons carrying
out the technical review and certification decision)
involved in the audits of the sites above
• Evidence that the CB’s have documented all requirements
of ISO/IEC 17065 or ISO/IEC 17021-1 with ISO 22003, and
IAF MDF 4 - how have CB’s trained these out to their staff
• Training evidence of Auditors from the CBs - professional
qualifications, category assessment/ training/
competency, CVs, Degree, HACCP, experience in the
relevant fields of competence, details of appraisal /
witness assessments / ongoing review and training
• Details and evidence to show how CB’s monitor
and assess auditors behaviour in terms of
their personal attributes and behaviour
• Evidence from CB to show they have rules for the
appointment of auditors to ensure impartiality, including
rotation of auditors and how does the CPO monitor this
• Evidence that the persons involved with Technical
review of the report at the CB are competent to do
so - evidence of training, assessment, how they’re
selected, what competency criteria they must have
• Confirmation of how audit duration
is calculated and assessed

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• Evidence of documented audit frequency

• Copies of finalised reports and certificates
for each site, evidence of when CAs were
submitted and when reviewed / closed out
• Evidence of Technical reviews of each audit report
• Confirmation if ICT was used during the audit and if so,
were IAF MD4 requirements met - how is this checked
• Confirmation of whether the site was part of a
multisite and a central function was involved
- how sampling selection is made etc

H DTR1 The Certification Programme Owner must Typical Timeline: within 14 The Certification Programme Owner must submit the
Submission submit the requested records within two calendar days of request requested records within the timeline agreed.
of records by weeks of the Benchmark Leader’s request.
CPO shall be prompted to set up online access point of their
the CPO
choice including Benchmark Leader and GFSI team mailbox.
Records shall be provided in a tidy and logical format and
labelled files and folders against the records of the chosen
site and the clause requirement to which evidence it is
provided for. Where a file relates to more than one clause,
it shall be labelled with all clauses to which they relate.
Files should be provided in an openable format.
Evidence with ‘embedded’ file links are to be avoided as
they often cannot be opened by the Benchmark Leader.

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H DTR1 Files Files for review shall be provided in Where information is not in English, documents
in English a readable format and in English. should be provided suitably translated. Online
translation services such as google maybe used by the
Benchmark Leader in exceptional circumstances.
Files should be provided in an openable format.
Evidence with ‘embedded’ file links are to be avoided as
they often cannot be opened by the Benchmark Leader.

H Desktop The Benchmark Leader reviews the Reviewed within 8 working The review can be undertaken as a desktop exercise by
Review 1 by BML documents provided against the days of receipt. the Benchmark Leader with a subsequent conference
Benchmarking Requirements Part II either call with the Certification Programme Owner to clarify
Typical Duration 2-5 days
remotely alone or as a conference call with information, alternatively this can be conducted as a
depending on quality of
the Certification Programme Owner. conference call between the Benchmark Leader and
information provided
Certification Programme Owner to review the evidence
online together rather than downloading to a dropbox.

H Outcome The review outcome maybe: Typical timeline – 5 Missing information may be discussed at a conference
of DTR1 working days for CPO to call or requested via email. One further opportunity will
→ The information is complete and allows a
submit further evidence be provided for information to be submitted within 5
comprehensive review by the Benchmark
working days by the Certification Programme Owner
Leader – the Benchmark Leader sends
before the Benchmark Leader collates their findings.
the self-assessment with their assessment
and comments, move to next step;
→ The information is incomplete, and / or
the evidence provided is insufficient – the
Benchmark Leader sends feedback
to the Certification Programme
Owner, and goes back a step.

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H Report of The Benchmark Leader will report back their Reviewed within 8 working The Benchmark Leader will email the list of findings to the
Findings of DTR1 findings to the Certification Programme Owner days of receipt of evidence Certification Programme Owner who will be asked to sign
and the GFSI Senior Technical Manager. the report and return – a digital signature is acceptable.
Supporting Document:
GFSI list of findings The GFSI Senior Technical Manager and GFSI
team mailbox shall also be copied.

H DTR1 Within the agreed timeline, the Certification Typical Timeline 4 weeks The Certification Programme Owner shall respond with a
Corrective Programme Owner sends the Benchmark corrective action plan for all findings within 15 working days.
Supporting Document:
Actions and Leader a corrective action plan including a
GFSI list of findings This will be expected to include:
Preventative root cause analysis to address any findings
Action together raised during the office assessment. A root cause analysis outlining why the finding has
with Root Cause occurred. This is important to be carried out to ensure
Analysis (CAPA) an effective corrective action is implemented.
Outline summary of the corrective action undertaken.
Evidence of the corrective action completed.
For example if the Certification Body has not completed
something that is within the CPO policy, the evidence may consist
of copy of the email reminder and action instruction from the
CPO to (all) CBs as well as evidence that the specified CB from
the finding has actioned that request. Where it is not possible
for a CB to action the request within the timeframe, GFSI may
accept a proposed action plan by the CB with a reasonable future
timescale. Implementation will be subsequently checked by GFSI.
It is important that evidence of a robust action plan with
evidence of implementation is received by the agreed
deadline otherwise this may impact the recognition process.
Where corrective action is not received within the timeline or
demonstrates effective evidence of close out, the CPO will be
permitted upto a total of 20 working days to submit evidence.
However the CPO shall be warned that where evidence of
effective actions allowing the BML to close out the issue is not
received within a maximum of 20 working days from the office
audit, the open findings will be escalated to GFSI to review.

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H Desktop The Benchmark Leader completes the Typical Timeline reviewed The Benchmark Leader sends the assessment
Review 1 desktop assessment report and sends to within 8 working days of report to the Certification Programme Owner.
Assessment the Certification Programme Owner. receipt of documents
The assessment report includes:
Report
Supporting Document:
• The certification programme name and version and scope,
GFSI assessment report
• The benchmark leader and date details,
• Compliance details against each of the requirements,
• Any findings from the desktop review

H DTR1 CAPA The Benchmark Leader reviews the corrective Typical Timeline within The Benchmark Leader will validate the corrective action plan
Review action plan and evidence provided. 7 calendar days of and evidence received to be able to close out each finding.
receipt of evidence
Supporting Document:
GFSI list of findings

H DTR1 CAPA The corrective action review outcome maybe: Typical timeline – 5 Missing information may be discussed at a conference
Review Outcome working days for CPO to call or requested via email. One further opportunity
→ The information and evidence is
submit further evidence will be provided for information to be submitted by the
complete and allows close out of all
Certification Programme Owner within 5 days before
findings by the Benchmark Leader – the
the Benchmark Leader concludes the report.
Benchmark Leader sends the complete
report to the CPO and GFSI.
→ The information is incomplete, and / or
the evidence provided is insufficient – the
Benchmark Leader sends feedback to
the Certification Programme Owner.

H DTR1 Outcome Where corrective actions are not able to be The Benchmark Leader will validate the corrective action plan
- Corrective closed out in a robust and timely manner, and submit this to the GFSI Senior Technical Manager. If the
Actions Not these maybe referred to the Technical Certification Programme Owner fails to implement it within
Closed out Committee and/or the Steering Committee the agreed timeline, the GFSI Senior Technical Manager and
for instigation of sanctioning procedures. the GFSI Director may initiate the sanctioning process.

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H DTR1 GFSI reviews the report and Typical Timeline 1 week The Benchmark Leader sends the final report to GFSI.
Assessment validates its content.
Supporting Document: The GFSI Senior Technical Manager will review the
Report Validation
GFSI list of findings assessment report and include their assessment
by GFSI
of the Corrective Action plan to this report.
GFSI validates the finally agreed report.

H Annual The purpose of the visit is to check continued Typical Timeline within 12 The office visit focuses on record reviews as evidence
Continued alignment with the implementation of Part months of the last office visit of the continued alignment and implementation
Alignment II of the GFSI Benchmarking Requirements of the programme governance (Part II).
Supporting Document:
Monitoring by the Certification Programme Owner
GFSI monitoring checklist All resources needed to support the office visit process
Office Visit through a sample record review.
must be available during the visit, including expert staff
members, documentation, and records. Findings from the
desktop review may be discussed at the office visit.

H Office Visit The Benchmark Leader will confirm an agenda Typical Duration 1.5 to 3 days The office visit will be agreed between GFSI, the Benchmark
Duration and at least two weeks before the office visit. Leader and the Certification Programme Owner.
Typical Timeline 2 weeks
Agenda
Typical duration is 1.5 to 3 days and will before the visit The office visit duration will be determined by the
be determined by the Benchmark Leader Benchmark Leader and is typically 1.5 – 3 days.
Supporting Document:
depending on requirements and risk factors.
GFSI office visit agenda Factors considered to influence duration are:
• Number of scopes
• Number of findings at desktop review and
previous outcome of office visit
• Language issues e.g. where translation may be required
• Complaints or Recalls received within
the cycle of monitoring.
GFSI staff such as the GFSI Senior Technical Manager or other
Benchmark Leaders may join the office visit as an observer
and adviser to the Benchmark Leader for calibration purposes.
The Benchmark Leader will lead the visit.

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H Office Visit Benchmark Leader shall lead the Benchmark Leader will:
Opening Meeting Office Visit Opening Meeting.
• Introduce – themself, observers, guests and roles
• CPO shall introduce persons present and confirm
job roles – attendance sheet to be completed
• Confirm confidentiality
• Thank everyone for efforts involved in
providing desktop review files
• Provide any positive feedback
• Outline purpose of visit is to assess continued
alignment with benchmarking requirements
and records will be sampled.
• Outline activity forms part of the process
with the two annual desktop reviews
• Confirm the scope by quoting the detail of
their benchmarking from myGFSI website
• Confirm the audit plan particularly break
times and closing meeting end time
• Confirm who needs to be involved in the
office visit and their availability
• Confirm need access to internet, database
and any other relevant points
• Clarify that any findings will be discussed during
the visit and summarised and confirmed in writing
at the closing meeting at the end of the visit
• Confirm CPO will have 15 working days to respond with
a corrective action plan and the evidence of close out
• A full report will be written up and
submitted to GFSI for review
• Invite any questions at this stage

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H Office Visit Office visit will consist of challenge of the Supporting Document: The checklist shall be referenced throughout
Review of Certification Programme Owners policy’s GFSI office visit checklist, by the Benchmark Leader.
Documentation and controls over operation of their GFSI list of findings
Typically will include:
Programme by the Certification Bodies.
• Selection of audit records taking into account the following
risk factors - certification bodies, scopes, countries
(where relevant) ensuring representative scopes and
Certification Programmes are covered by the sampling.
• Discussion with Managers regarding
implementation of their policies
• Review the CPO integrity reports for certification bodies.
• Review the CPO and certification body agreement.
• Review justifications of auditor scopes.
• Review certification body audit duration.
• Review KPI monitoring for certification bodies.
Potential findings shall be highlighted and
discussed throughout the assessment.

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H Office Visit Benchmark Leader will lead the office visit At the closing meeting the Benchmark Leader will:
Closing Meeting closing meeting to discuss the outcome of
• Confirm those present – check attendance
the visit and present the findings so that the
sheet completed with roles
Certification Programme Owner is clear on the
issues that need to be actioned and resolved. • Thank everyone for their time
• Outline positive findings
• Confirm that findings are confidential;
they are based on a sample.
• Invitation to CPO to feedback thoughts
on assessment to GFSI STM
• This is the conclusion of the office assessment
• Confirm the findings on conformities against
the benchmarking requirements in writing
• Ask the CPO to confirm their understanding
before moving onto the next finding
• A full report will be written up and
submitted to GFSI for review.
• Ask if the CPO has any questions / concerns
• Thank everybody again for their time

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H Office Visit Office Visit Findings Sheet will be left with Findings will be clearly explained and documented by
Findings the Certification Programme Owner on the Benchmark Leader and shall be classified as:
the day of the visit and shall be signed
• Partly aligned: the provided information addresses some
by both the Certification Programme
aspects of the key element. The Benchmark Leader
Owner and the Benchmark Leader.
highlights the unaddressed element(s) in their comment
• Not aligned: the provided information does not
address the key elements. The Benchmark Leader
clarifies the expected information in their comment
CPO and Benchmark Leader must digitally sign a copy of
the findings sheet and return to the Benchmark Leader.
Agree timeline of 15 working days for CPO to send their
corrective action plan and corrective action evidence
to Benchmark Leader and GFSI team mailbox
This will be subsequently reviewed and signed off by GFSI.

H Continued The Benchmark Leader will be responsible for Within 5 working days The Benchmark Leader shall submit the office visit
Alignment generating a full report from the office visit. of the office visit report to the GFSI Senior Technical Manager 5 working
Monitoring Office days after the last day of the office assessment.
Visit Report

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H Corrective Within the agreed timeline, the Certification Typical Timeline 2 weeks The Certification Programme Owner shall respond with a
Actions and Programme Owner sends the Benchmark corrective action plan for all findings within 15 working days.
Supporting Document:
Root Cause Leader a corrective action plan including a
GFSI list of findings This will be expected to include:
sent by CPO root cause analysis to address any findings
raised during the office assessment. • A root cause analysis outlining why the finding has
occurred. This is important to be carried out to ensure
an effective corrective action is implemented.
• Outline summary of the corrective action undertaken.
• Evidence of the corrective action completed.
For example if the Certification Body has not completed
something that is within the CPO policy, the evidence
may consist of copy of the email reminder and action
instruction from the CPO to (all) CBs as well as evidence
that the specified CB from the finding has actioned that
request. Where it is not possible for a CB to action the
request within the timeframe, GFSI may accept a proposed
action plan by the CB with a reasonable future timescale.
Implementation will be subsequently checked by GFSI.
It is important that evidence of a robust action plan with
evidence of implementation is received by the agreed
deadline otherwise this may impact the recognition process.
Where corrective action is not received within the timeline or
demonstrates effective evidence of close out, the CPO will be
permitted up to a total of 20 working days to submit evidence.
However the CPO shall be warned that where evidence
of effective actions allowing the Benchmark Leader to
close out the issue is not received within a maximum
of 20 working days from the office audit, the open
findings will be escalated to GFSI to review.

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H Review of The Benchmark Leader reviews the Typical Timeline 4 weeks after The Benchmark Leader will validate the corrective
Office Visit corrective action plan, outcomes: the office visit maximum action plan and submit this to the GFSI Senior
Findings CAPA Technical Manager for review and validation.
→ The corrective actions address the Supporting Document:
by BML
findings – the Benchmark Leader GFSI list of findings
accepts the corrective action plan;
→ Some of the corrective actions
do not address the findings – the
corrective action plan is rejected.

H Office Visit The Benchmark Leader completes Supporting Document: The Benchmark Leader sends the visit report including the
Report by BML the office visit report and sends to the GFSI assessment report list of findings to the Certification Programme Owner.
Certification Programme Owner.
The visit report includes:
• The certification programme name,
version number and scope,
• Details of the benchmark leader, observers, dates,
• Compliance details against each of the requirements,
• Any findings from the office visit,
• Details of the corrective actions and root
cause analysis completed by the CPO

H GFSI Validation GFSI reviews the report and Typical Timeline 1 week The Benchmark Leader sends the final report to GFSI.
of Office Visit validates its content.
Supporting Document: The GFSI Senior Technical Manager will review the
Report
GFSI list of findings assessment report and include their assessment
of the Corrective Action plan to this report.
GFSI validates the finally agreed report.
If the corrective action plan cannot be closed out
and validated or the Certification Programme Owner
fails to implement it within the agreed timeline,
the GFSI Senior Technical Manager and the GFSI
Director may initiate the sanctioning process.

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H Desk Top The Benchmark Leader carries out a Supporting Document:

Review 2 second sampled record review as per GFSI monitoring checklist
DTR1 with the Certification Programme
Owner – ‘Desk Top Review 2’.

H Confirmation GFSI validates that the results of the

of Continued annual continued alignment monitoring
Programme activities justify maintaining the Certification
Alignment Programme Owner recognition.
If any findings raise concerns GFSI
recommends next steps to the
GFSI Steering Committee.

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