Risk Assessment is the identification, evaluation, and estimation of the levels of risk involved in a
process to determine an appropriate control method.
Applicable Code Requirements
11.1.1.1
11.1.2.5
11.1.2.6
11.3.3.1
11.3.3.8
11.6.1.5
Review Glossary Terms
Pre-requisite
Risk Assessment
Implementation & Audit Guidance
What does it mean?
A risk assessment is a specific requirement in food safety codes where the SQF practitioner or
delegated resources perform a structured approach to identifying, evaluating, and estimating
levels of risk to hazards that might be present or reasonably likely to occur in the process.
Why is it in the Code & why is it important?
Risk assessments are the backbone to any functioning food safety management system. They
are inherently part of many of the system elements of SQF. Specifically, the food safety plan,
environmental monitoring program, food defense, food fraud and allergen management
program all employ the use of risk assessments in determine if hazards of concern need control.
The structure and approach to complete these risk assessments are usually prescribed by other
sources of authority such as Codex Alimentarius or regulatory authorities.
Where there might be risk in other aspects of the food safety management system, namely the
pre-requisite programs, a risk-analysis or risk assessment is specifically asked for and may or may
not be related to certain circumstances. The site should have a prescribed process for
completing and documenting a risk assessment. The following 3 step process is recommended:
Identification of hazards at any location or process step. Similar to how a hazard analysis
is completed within the food safety plan the site should consider any biological,
chemical or physical hazards that could occur and importantly what can cause them.
Using descriptions from preventive control methodology hazards that are reasonably
likely to occur in the absence of controls should be considered.
Evaluate each hazard and how it might occur to determine if there are any controls that
are being applied or can be applied to eliminate or reduce the hazard to acceptable
levels. This evaluate is crucial so that risk can be assessed in the next step.
Estimate the risk of the hazards using a likelihood vs severity assessment or similar type of
tool. The definitions for each level of likelihood and severity will be important so that it
can be consistently applied. A measurement tool should be applied so that the output
can definitively indicate risk level and thereby any appropriate control.
RIO Road to Audits (Records, Interviews, and Observations)
Records
The following are examples of
records and/or documents to
assist in the implementation
and review of this topic:
Risk Analysis/Assessment
Hazard Control Records
Interviews
The following are examples of
people to interview to assist in
the implementation and
review of this topic:
SQF Practitioner
Risk Assessors
Operations Personnel
The following are examples of
questions to ask to assist in
the implementation and
review of this topic:
How were the risk factors
determined and defined?
What other team
members were involved
in the process and how
were they trained?
Describe the role of the
individuals conducting
the risk assessments.
What controls are applied
to reduce risk?
Observations
The following are examples of
observations to assist in the
implementation and review
of this topic:
Activities or process step
associated with
assessment
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