1. Federal Department of Economic Affairs DEA / Federal Department of Home Affairs DHA Federal Food Chain Unit FFCU How to cope with “risk based” audit programs Thomas Lüthi, MSc ETH, MSc, MSc, NDS I&D Federal Food Chain Unit Meeting of national audit systems network – Grange/Eire – March 2011

2. 2

3. 3 Auditing within a federal state... 3 Federal Offices Cantons: 26 agriculture authorities 22 veterinary authorities 20 food safety authorities

4. 4 Meeting of national audit systems network – Grange/Eire – March 2011 Organigramm Bund Federal Council Federal Veterinary Office FVO SwissmedicFederal Office of Public Health FOPH Federal Department of Finance FDF Federal Department of Home Affairs FDHA Federal Department of Economic Affairs FDEA Federal Office of Agriculture FOA Federal Customs Administration Agroscope ALP Institute of Virology and Immunoprophylaxis IVI Federal Food Chain Unit FFCU Cantonal Veterinary Services Cantonal Food Inspection Services Official Veterinarians (Executive) Official Veterinarians (Abattoirs) Food Inspector (Executive) Food Inspector Official Veterinarians (Animal Health) Cantonal Agriculture Services

5. 5 Meeting of national audit systems network – Grange/Eire – March 2011 Federal Food Chain Unit - Tasks To audit the implementation and enforcement of national legislation -by cantonal authorities in the fields of food safety, animal health and animal welfare -by federal authorities in the field of feed control, import of animals and products of animal origin from third countries To prepare and coordinate implementation and evaluation -of the multi-annual national control plan (MANCP) -of contingency plans

6. 6 Meeting of national audit systems network – Grange/Eire – March 2011 Organisational Chart FFCU Feed farm animals Animal Welfare (Farm animals) Animal Health Hygiene Primary production Slaughter Processing/ distribution meat Processing/ distribution eggs, honey Processing/ distribution milk Processing/ distribution food of plant origin Gastronomy, retailer Finance/ Personnel: FVO Public Relations: FVO Logistics: FVO

7. 7 Meeting of national audit systems network – Grange/Eire – March 2011 FFCU

8. 8 Meeting of national audit systems network – Grange/Eire – March 2011 FFCU – Certified (ISO 9001:2008 )

9. 9 Meeting of national audit systems network – Grange/Eire – March 2011 Auditing the implementation of the national food legislation FFCU is presently working on 3 audit subjects:  Animal welfare (ongoing)  cantonal offices  Import (in preparation)  federal and cantonal offices  Border Inspection Posts (new program in preparation)  federal offices

10. 10 Meeting of national audit systems network – Grange/Eire – March 2011 General context for future audits:  risk-based  Subjects considering the whole food chain  Risk based selection of cantons and offices  Taking into account the MANCP  Currently relevant topics  According to decision 677/2006/EC

11. 11 Meeting of national audit systems network – Grange/Eire – March 2011 2006/667/EC (5.1)Interpretation FFCUIs it ok? A systematic approach should be applied to the planning, conduct, follow-up and management of audits. To that end, the audit process should: be the result of a transparent planning process….. transparency in each step, updated information given to MOD, CP, involved people, public, etc.; reports are available to everybody …form part of an audit program that ensures adequate coverage of all relevant areas of activity … each area of activity is considered; risk-based audit in each area of activity …all relevant competent authorities … selection of competent authorities is risk-based, it depends on audit program …appropriate risk-based frequency … each area of activity is audited minimum once in 5 years, exceptions given by MOD or expert group …over a period not exceeding five years … the audit process covers all 4 areas in 5 years FFCU concept

12. 12 Meeting of national audit systems network – Grange/Eire – March 2011 Subject20082009201020112012 Food safetyXXXXX Animal welfareXX Animal healthXX FeedX Exemple Swiss audit programs according to 2006/667/EC X = Audit „Milk and meat“ X = Audit „Animal welfare“ X = Audit „Import“

13. 13 Meeting of national audit systems network – Grange/Eire – March 2011 7 principles of a risk-based audit program Scope of audit Risk identification Input Processes Output Evaluation Corrective action

14. 14 Meeting of national audit systems network – Grange/Eire – March 2011 1. Scope of audit - A risk based audit program describes what control areas (food safety, animal welfare, animal health, feed) are covered and whether there are any interfaces with other control areas. 2. Risk identification - A risk based audit program describes what risks were considered when drawing up the program. It shows what risks are meant in detail and how these are differentiated from other risks. Risks are strictly distinguished from hazards. Risks are characterized by hazards, impacts and the likelihood of them coming to pass. 3. Input - A risk based audit program shows transparently what information has been used and how it was assessed. It is shown in a way that is open to scrutiny how the risks are assessed and prioritized. 4. Processes - A risk based audit program describes the processes involved. It shows the methods used and, in particular, explains the flow of information and documentation, the responsibilities and the authority of the departments involved. 7 principles of a risk-based audit program (a)

15. 15 Meeting of national audit systems network – Grange/Eire – March 2011 5. Output - A risk based audit program describes what the output of these audits is, what the findings are used for and what measures may be initiated. 6. Evaluation - A risk based audit program shows how this was evaluated with regard to its impact on the risk identified and studied and what conclusions were drawn from this. 7. Corrective action - A risk based audit program explains what action was taken to control an identified and audited risk. 7 principles of a risk-based audit program (b)

16. 16 Meeting of national audit systems network – Grange/Eire – March 2011 Food FeedAnimal welfare Animal diseases FFCU InputOutputBases EU/FVO Federal Offices Politics Enforcement Expert group Federal Offices process Audit process 5 years risk based 882/2004 2006/667 Audit programs list MOD Order Audit process FFCU 11 11 4 5 2 3 5 6 7

17. 17 Meeting of national audit systems network – Grange/Eire – March 2011 Thank you !