Measuring Food Safety 9 - Food And Agriculture Organization

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Measuringfood safetyIndicators to achievesustainable developmentgoals (SDGs)FOOD SAFETYTECHNICAL TOOLKIT FOR ASIA AND THE PACIFIC9

Measuringfood safetyIndicators to achievesustainable developmentgoals (SDGs)FOOD SAFETYTECHNICAL TOOLKIT FOR ASIA AND THE PACIFICFood and Agriculture Organization of the United NationsBangkok, 20219

FAO. 2021. Measuring food safety – Indicators to achieve Sustainable Development Goals (SDGs).Food safety technical toolkit for Asia and the Pacific No. 9. Bangkok.The designations employed and the presentation of material in this information product donot imply the expression of any opinion whatsoever on the part of the Food and AgricultureOrganization of the United Nations (FAO) concerning the legal or development status of anycountry, territory, city or area or of its authorities, or concerning the delimitation of its frontiers orboundaries. The mention of specific companies or products of manufacturers, whether or not thesehave been patented, does not imply that these have been endorsed or recommended by FAO inpreference to others of a similar nature that are not mentioned. FAO, 2021Some rights reserved. This work is made available under the Creative CommonsAttribution-NonCommercial-ShareAlike 3.0 IGO license (CC BY-NC-SA 3.0 3.0/igo).Under the terms of this license, this work may be copied, redistributed and adapted for noncommercial purposes, provided that the work is appropriately cited. In any use of this work, thereshould be no suggestion that FAO endorses any specific organization, products or services.The use of the FAO logo is not permitted. If the work is adapted, then it must be licensed under thesame or equivalent Creative Commons license. If a translation of this work is created, it must includethe following disclaimer along with the required citation: “This translation was not created by theFood and Agriculture Organization of the United Nations (FAO). FAO is not responsible for thecontent or accuracy of this translation. The original English edition shall be the authoritative edition.Any mediation relating to disputes arising under the license shall be conducted in accordance withthe Arbitration Rules of the United Nations Commission on International Trade Law (UNCITRAL)as at present in force.Third-party materials. Users wishing to reuse material from this work that is attributed to a third party,such as tables, figures or images, are responsible for determining whether permission is neededfor that reuse and for obtaining permission from the copyright holder. The risk of claims resulting frominfringement of any third-party-owned component in the work rests solely with the user.Sales, rights and licensing. FAO information products are available on the FAO website(www.fao.org/publications) and can be purchased through publications-sales@fao.org.Requests for commercial use should be submitted via: www.fao.org/contact-us/licence-request.Queries regarding rights and licensing should be submitted to: copyright@fao.org.

AbstractUniversal access to safe food is a key requirement for the 2030Agenda for the Sustainable Development Goals. And yet an estimated600 million people each year fall sick from eating unsafe food and420 000 of them die. Safe food is also critical for economicdevelopment and the international food trade.Setting and measuring food security indicators have significantlycontributed to improving and communicating progress in achievingfood security. Considering their success, several countries in Asia andthe Pacific region have asked the Food and Agriculture Organizationof the United Nations (FAO) to provide guidance on the developmentof food safety indicators. Following a comprehensive review and atechnical consultation on the topic, a pilot project was developed infour countries to establish food safety indicators that fit their countrycontexts and objectives. The pilot project confirmed the usefulness offood safety indicators in strengthening national food control systems.In contrast to other types of indicators, food safety indicators were notfound to be suitable for benchmarking capacities among countries.The regional guide to develop food safety indicators aims to providecountries with technical advice to develop national food safetyindicators that serve country-specific objectives. By reading the guide,food safety competent authorities will be equipped with instrumentsand experience based tips to effectively develop and use food safetyindicators, and to tailor them to fit their countries’ contexts.KeywordsFood safety, indicators, measurement, country, data, results, foodcontrol, specific, guide, systematic approach, core team, surveillance,monitoring, consultation, stakeholders, food safety competent authority,capacity development, Codex Alimentarius, Food and AgricultureOrganization of the United Nations (FAO), Asia and the Pacific.iii

ons and acronyms1. Introduction1.11.21.31.41.5BackgroundWhat are food safety indicatorsObjectives of the guideTarget audienceEffective use of the guide2. A step-by-step guide2.1. Formulate a core team2.2 Review the regional pool of food safetyindicator areas2.3 Collect key references2.4 Obtain a management support from theplanning team’s agency/ministry2.5 Prepare for a stakeholder consultation process2.5.1 Take a collaborative approach2.5.2 Draft a few options for a proposeddesired outcome2.6 Initiate the multi-agency consultation process2.6.1 Inform and involve relevant stakeholders2.6.2 Prepare for a kick-off meeting2.6.3 Conduct a kick-off meetingiviiiivviiviii112455666111314141417171822

2.7 Develop national food safety indicators2.7.1 Document and share the finalized desiredoutcomes for the country2.7.2 Define the desired use of the resultsmeasured by the indicators2.7.3 Review and refine the draft set of nationalfood safety indicators2.7.4 Share and finalize the national foodsafety indicators2.8 Measure the baselines2.8.1 Define the use of the baseline data2.8.2 Document the interpretation of thebaseline data2.8.3 Documents the needs, opportunitiesand challenges2.9 Conduct short-term interventions2.10 Measure the post-intervention data2.11 Interpret the data and develop action plans2525262728343637373840413. Reporting and communicating the results424. Key considerations434.14.24.34.44.5Tailor the indicators to fit to the country contextsStart with a few indicatorsDo not compare the results with other countriesBe aware of a possible pitfallBenefit from excellent side products of indicators4.5.1 The process helps multi-sectoralcollaboration on food safety4.5.2 The process helps identify concreteprerequisite activities4.5.3 The process helps focus on the reality43434444454546475. Global applications and SDG relevance486. References51v

BoxesBox 1. Regional pool of 40 food safety indicator areasBox 2. References from international bodiesand organizationsBox 3. Examples of desired outcomesBox 4. Successful examples in involving stakeholdersBox 5. Sample agenda for the kick-off meetingBox 6. Points to include in the invitation letter to nominateexperts of the technical working groupBox 7. Sample terms of reference for the technicalworking groupBox 8. Examples of draft indicatorsBox 9. Examples of possible uses of the results offood safety indicatorsBox 10. Baseline measurement for the indicatoron the number of food inspectors perslaughterhouse in Country ABox 11. Guiding questions to define the use of baseline dataBox 12. Baseline measurement for an indicator on thenumber of outbreaks and food contaminationcases in Country DBox 13. A lesson learned in realizing prerequisiteactivities in Country BBox 14. Examples of short-term e 1. The SMART UP criteria to select thenational food safety indicatorsTable 2. An example template for the nationalfood safety indicatorsTable 3. Examples of the finalised food safetyindicators from the pilot projectsviMeasuring food safety – Indicators to achieve Sustainable Development Goals (SDGs)282930

AcknowledgementsThe Food and Agriculture Organization of the United Nations (FAO)would like to express its appreciation to the many people whocontributed to this document. This guide was drafted by IsabellaApruzzese and further developed and finalized by Masami Takeuchi,who designed the document structure and managed the initiative offood safety indicators in the region of Asia and the Pacific at FAO.The objectives and the direction of FAO food safety indicators initiativewere arrived at through wide consultations with various food safetyexperts, particularly the 84 experts from 18 Asian and six Pacific Islandcountries who participated in the first consultative meeting held inSingapore in December 2017. Based on the recommendations,four countries, namely Bhutan, China, Cook Islands and the Philippines,volunteered to participate in the regional food safety indicator pilotproject. This document would not have been possible without theinsights and advice provided by those countries’ counterparts ingovernment agencies, stakeholders who were involved in the pilotprojects, and experts.In particular, FAO would like to thank Sithar Dorjee (Bhutan), Gyem Bhida(Bhutan), Fan YongXiang (China), Claire Ding Hao (China), JosephineAumea Herman (Cook Islands) Claytoncy Taurarii (Cook Islands),Pedro Dumaraos (Philippines) Edna Zenaida Villacorte (the Philippines)and Flor Viloria (Philippines) for their dedication and efforts to produceexcellent pilot project outputs.We gratefully acknowledge the technical inputs provided by various FAOcolleagues, including Chadho Tenzin, Fu Rong, Joseph Nyemah,Rafael Umbrero, Jeffrey Oliver, Markus Lipp and Sridhar Dharmapuri.The document has been copyedited by Robert Horn.vii

Abbreviations and acronymsFAOFood and Agriculture Organization of the United NationsGAPGood agricultural practicesGHPGood hygiene practicesGMPGood manufacturing practicesHACCP Hazard analysis and critical control pointsSDGsSustainable Development GoalsSOPsStandard operating proceduresSPSSanitary and phytosanitary measuresWHOWorld Health OrganizationMeasuring food safety – viii Indicators to achieve Sustainable Development Goals (SDGs)

1Introduction1.1 BackgroundWhatever gets measured, can be better managed. That principle formsa foundation for research and work in countless fields. The use ofindicators is essential as data provides evidence for action. Food safetyindicators can be vital for national food safety competent authoritiesto achieve their objectives. Their goals can range from the systematictracking of food safety systems to more effective communicationswith relevant counterparts. Food safety indicators can help revealthe realities of national food control systems, thus increasing theunderstanding of what is needed, what programmes can be pursued,and what priorities may be set. Finally, they can be persuasive toolsin advocating for budget allocations and in justifying plans for foodsafety work.A good example of effective indicators is the suite of food securityindicators launched in the State of Food Insecurity in the World 2012.These were analysed and further developed in the State of FoodInsecurity in the World 2013, 2014 and 2015 reports (FAO 2012, 2013,2014, 2015). Those indicators were formulated to capture variousaspects of food insecurity and have proven to be essential in variousdimensions, such as monitoring and evaluation, capacity developmentneeds assessment, and identification of priorities. As part of thefood security indicators, a global nutrition index was later createdto complete the picture of food security from the efforts towardssustainable nutrition aligned with the Sustainable DevelopmentGoals (SDGs).1

It is important to remember when setting food safety indicators thatthe objective is not to set an international benchmark. Rather, foodsafety indicators can be most effective when they are tailored for thespecific country context, and used within the country. In fact, foodsafety indicators are sometimes considered sensitive information.Countries have expressed strong reservations about disclosingresults that indicate “insufficiency” of national food control systems.By comparison, they do not generally react that way regarding foodsecurity or nutrition indicators. In addition, food safety indicators maynot necessarily be simplified to set any quantifiable goal to be achievedat the international level. In other words, there are no standardized orharmonized thresholds for any measurable elements of food safetycontrol and management. This is because there is no precise definitionfor food safety indicators, meaning that different people and groupscan interpret them differently. At the same time, many food safetycompetent authorities stressed that nobody is interested in disclosingthe detailed comparisons of the food safety situations among differentcountries. The unwanted label of “unsafe food situations” attributed toa country is the worst case of how to use food safety indicators.That label will have a direct and negative impact on trade, tourismand economies.1.2 What are food safety indicatorsWhat exactly are food safety indicators? They can be referred as toa methodology that could be used to serve a country’s particularpurpose in the area of food safety. The fact that they are oriented toeach singular purpose makes food safety indicators an important toolfor the work on food safety.In Codex Alimentarius’s “Principles and guidelines for monitoring theperformance of national food control systems,” indicators are describedin the context of national food control systems. The documentrecommends establishing such indicators to achieve effective outcomesfor effective national food control systems. The document defines theindicators as:2Measuring food safety – Indicators to achieve Sustainable Development Goals (SDGs)

Quantitative variable or qualitative factor that providesa simple and reliable means to measure achievement, toreflect the changes connected to activities, or to helpassess the performance of a programme or system(FAO and WHO, 2017).Along with Codex Alimentarius, the World Health Organization(WHO) also refers to indicators for food safety in the context of a jointexternal evaluation, through which international health regulations areimplemented and monitored: Indicators refer to detection and responding to the foodrelated events and enabling environment for putting foodsafety control mechanisms in place with appropriatelegislation, laws, or policies and with the involvementof multiple sectors (WHO, 2005).The Codex and WHO definitions make it clear that food safetyindicators, unlike food security and nutrition indicators, refer tomethodologies or approaches rather than numbers to achieve. Foodsecurity and nutrition indicators are designed to classify the availability,access, utilization and stability of foods and their nutrition power.In 2017, FAO conducted an initial consultation on the establishementof food safety indicators. International experts met to draw up a list offood safety areas, with the purpose of understanding if data could begenerated and collected.1 The FAO technical paper provides essentialelements that can be considered by food safety experts from the regionto determine 1) whether or not a set of regional food safety indicators isuseful; 2) what types of regional and national food safety indicators canbe useful; 3) what criteria can be used in selecting regional and nationalfood safety indicators; and 4) how regional food safety indicators canbe used.1 Fortyareas were identified and are contained in the FAO Technical Paper called“Measuring food safety: food safety indicators for Asia and the Pacific,” which is availableonline as an annex to the report of the consultation (FAO, 2017) and available ction3

One key emerging element of the consultations and technical papers isthat food safety indicators can be scalable and flexible to achieve thedifferent desired outcomes of each country. Defining the outcome is key.Without a well-defined outcome, the purpose of the indicators becomesblurred, and their efficacy would be null. Along with the desiredoutcomes, the results obtained through the indicators are not meantto stand alone. They require a thorough interpretation to determinesubsequent actions in a process of continuous growth towards thedesired outcomes.Currently, a list of 40 food safety indicator areas exists (Box 1), andit is frequently referred to in this guide. This list was one outcomeof the “Regional consultation on food safety indicators for Asia andthe Pacific” of 2017. First, all 139 existing food safety indicators fromliterature and texts of Codex Alimentarius and international healthregulations were identified and considered.2 Then, international expertsdiscussed each indicator and agreed on a final selection of 40.The selected indicators were used as the basis of four pilot projectsin different countries in Asia and the Pacific that further validatedtheir relevance.1.3 Objectives of the guideThis guide aims at providing countries with the building blocks todevelop their own food safety indicators. It offers a set of tools tonational food safety competent authorities to establish food safetyindicators, including a good understanding regarding practical actionsand a thorough understanding of what can be done and not donethrough food safety indicators. The guide also highlights how nationalfood control systems can benefit from implementing food safetyindicators in terms of improvements in food safety and thesustainability of their application. The results are a worthwhileinvestment for countries.24This comprehensive list is reported in the FAO Technical Paper “Measuring food safety:food safety indicators for Asia and the Pacific” and available ng food safety – Indicators to achieve Sustainable Development Goals (SDGs)

1.4 Target audienceThis guide is geared towards national food safety competentauthorities in Asia and the Pacific, providing them with all the necessaryinstruments to develop, establish and implement food safety indicators.1.5 Effective use of the guideThe guide is most effective if it is used with a clear understandingthat indicators themselves do not provide any final results: foodsafety indicators are tools to achieve an outcome. This guide presentsa step-by-step process to establish food safety indicators, and tomeasure them with and without interventions. The paper also presentsexplanations and examples from four different countries that havepiloted the development of food safety indicators. The four countriesvary widely in their capacities and were chosen to illustrate how foodsafety indicators are an approach that can be scalable todifferent realities.75 CIntroduction5

2A step-by-step guide2.1 Formulate a core teamThe first suggested step would be to recruit a core team to work onformulating and implementing national food safety indicators. As foodsafety is a multi-sectoral and multi-disciplinary topic, a small planningteam of three to five technical officers working in the relevant agencies,including a food safety competent authority, should be involved. Theplanning team facilitates the delivery of the outputs throughout theestablishment and implementation of food safety indicators, and it canfunction as the secretariat for required meetings during the process.2.2  Review the regional poolof food safety indicator areasThe next suggested step would be to compile a list of the food safetyindicator areas outlined in previous expert work. FAO has consolidateda total of 40 food safety indicator areas as a regional pool for Asia andthe Pacific based on expert opinions from two regional consultationswith four pilot projects. In each area, many different indicators canbe developed, depending on different purposes, priorities and themeasurement feasibility in various country contexts (Box 1).Each core team member conducts an individual review, then engagesin a group discussion about the effectiveness of each, and completesthe review process. It is important that each member understands 1) theareas identified as priorities, 2) the indicators that can be important forthe country, and 3) the indicators that are already measurable with theexisting data and information in their national context.6Measuring food safety – Indicators to achieve Sustainable Development Goals (SDGs)

Box 1. Regional pool of 40 food safety indicator areasFood safety competent authorities and partners1.Presence of a leading food safety agency (entity) to drive thecoordination work to ensure food safety.2. Food safety relevant agencies have clearly defined roles andresponsibilities for food control management.3. The competent authority is supported by necessaryinfrastructure and adequate resources (e.g. human and financialresources, and lab equipment and materials).Policy, legal and regulatory framework4. The presence of enabling national policy and legal andregulatory frameworks that are consistent with internationalstandards, guidelines and best practices (including legallyembedded criteria for executing food recall and traceability)and that show government commitment to protect publichealth and ensure fair practices in food trade.Principles of the national food control systems5. Food control systems are integrated into one national foodcontrol system that covers the entire food chain (farm-to-table).6. The national food control system is implemented in atransparent manner with mechanisms for information, education,communication and coordination with relevant stakeholders.7. Risk analysis paradigms are used by the competent authorityto inform and support risk-based, science-based andevidence-based decision-making and establish food safetycontrol measures with a mechanism for expert consultation toadvise government on food safety risk assessment.Codex and functions with other international bodiesand platforms8. Existence of National Codex Committee with allocated budget.9. Level of engagement in the work of Codex.A step-by-step guide7

(Cont.)10. Ability to meet and demonstrate compliance with internationalfood safety and quality requirements and obligations(e.g. Codex standards, World Trade Organization SPSagreement and requirements of trade partners).11. Credible functioning of national contact points for Codex,World Organisation for Animal Health, International PlantProtection Convention and other relevant internationalorganizations and platforms (e.g. the International Food SafetyAuthorities Network) with required resources.Food inspection12. Criteria for risk categorization and prioritization established forfood inspection.13. Presence of functioning risk-based food inspection mechanismswith well-defined standard operating procedures (SOPs).14. Number of food inspectors (per population) trained on officialfood control.15. Number of inspections being conducted for infrastructure,installations and hygiene throughout the farm-to-fork foodchain (primary production, processing, distribution, hotels andrestaurants and community kitchens).Food safety certification16. Presence of functioning food safety certification systems withwell-defined SOPs.Testing and analysis17. Presence of and access to capable diagnostic and analyticallaboratories with well-defined SOPs.18. Presence of and access to accredited food-testing laboratorieswith well-defined SOPs.Notifications19. Presence of notification mechanisms on food safety incidentsand outbreaks.20. Presence of notification mechanisms on food recalls.8Measuring food safety – Indicators to achieve Sustainable Development Goals (SDGs)

(Cont.)Support to self-checking systems21. Presence of monitoring and verification mechanisms by thegovernment on self-checking systems of producers, processors,food industries and food business operators throughout thefood chain.22. A recognition system for the producers, processors, foodindustries and food business operators implementing goodfood safety practices.23. Presence of effective guidelines for developing good SOPs andinstructions concerning good agricultural practices (GAP),good manufacturing practices (GMP), good hygiene practices(GHP), and hazard analysis and critical control points (HACCP).Food monitoring, health surveillance and epidemiology24. Mechanisms are established and functioning for detectingfoodborne diseases and contamination.25. Existence of One Health disease surveillance systems(animal plant, human and environmental health).26. Number of outbreaks of foodborne illness reported:a. Salmonellosis in humans;b. Listeriosis in humans.27. Percentage of reported occurrences in which thepresence/contamination of hazards are identified (biological,chemical, physical) in all types of food and feed from farmto fork [or, Percentage of commodities (food or animal feed)that comply with regulations, such as maximum residue limits,pertaining to pesticides, pesticide residues, veterinary drugresidues, food additives, mycotoxins, heavy metals, radiologicalsubstances and key chemical, microbiological and physical ornon-food contaminants]:a. Salmonella spp. in food (specify a commodity foran indicator);b. E. coli in food (specify a commodity for an indicator);c. Listeria monocytogenes in food (specify a commodity foran indicator).A step-by-step guide9

(Cont.)Data collection, collation and interpretation28. Institution(s) exists that is responsible for the collection,collation and interpretation of data on food safety issues(including microbiological, chemical, natural and environmental)at the national level.Food safety emergency preparedness29. National food safety emergency response capacity supportedby a national plan/guidelines/rapid alert system, which stateresponsibilities, relevant parties and necessary systems andactions including traceability and food recalls.Information, education, communication and trainings30. Risk-based education and trainings for food business operatorsrelated to hygiene and food safety are mandated and provided.31. All stakeholders from farm to fork, including consumers, arereached in food safety information activities and are awareof the potential problems and risks related to hygiene andfood safety.Shared responsibility – industry, producers, processors, foodbusiness operators32. Percentage of producers, traders and food business operatorsimplementing documented self-checking food safetymanagement system, such as good SOPs on GAP, GMP, GHP,HACCP or any others in accordance with the local context.33. Percentage of food establishments from farm to fork displayinginformation, education and communication materials or signson hygiene and food safety within their premises.34. Percentage of producers, processors, traders and foodbusiness operators that have implemented a functioningtraceability system.35. Percentage of food establishments complying with labellingrequirements including allergen risk indications.Access to potable water36. Percentage of the population with access to potable water.10Measuring food safety – Indicators to achieve Sustainable Development Goals (SDGs)

(Cont.)Public trust in food safety37. Presence of mechanisms to understand public perception onthe national food control system.38. Levels of public trust in food safety.Food and feed trade39. Percentage of reported rejections of food exports due tofood safety by importing countries.40. Mutual recognition of equivalence systems(e.g. Memorandum of Understanding for market access)based on international guidelines.2.3 Collect key referencesIt is a good idea to look for some examples of indicators developmentthat might have already been conducted in other disciplines in thecountry. There may not be examples of developing food safetyindicators, but there might be some indicators for other health-relatedissues. Collecting such examples would be useful for good practicesand lessons learned. If there are no examples within the country,examples from other countries may also be useful.Legislative references from relevant national laws and regulations aswell as international agreements, guidelines, standards and manualsoften play critical roles when it comes to determining the measurableelements for indicators (Box 2). The list can be complemented withlaws, regulations, directives and guidelines available at the national level.Understanding the underlying principles behind the national andinternational requirements and guidelines will be instrumental inestablishing the direction and methodologies of the work and theobjectives for applying food safety indicators.A step-by-step guide11

Box 2. References from international bodies and organizationsCodex Alimentarius: Principles and guidelines for national food control systems(CAC/GL 82-2013) (FAO and WHO, 2013), available 58/CXG 082e.pdf; Principles and guidelines for monitoring the performance ofnational food control systems (CAC/GL 91-2017) (FAO andWHO, 2017), available at: xy/en/?lnk 1&url 2Fcodex%252FStandards%252FCXG%2B91-2017%252FCXG 091e.pdf.FAO:FAO technical paper “Measuring food safety” includes: Chapter 1. The need and the importance of developing foodsafety indicators. Chapter 3. Criteria for selecting effective food safety indicators. Chapter 4. The use and applications of food safety indicators.Chapter 2. Existing food safety indicators.and available at http://www.fao.org/3/i9459en/I9459EN.pdf.FAO food security indicators (FAO, 2020), available a/en/#.X7jTBGgzY2w.Compendium of indicators for nutriti

In contrast to other types of indicators, food safety indicators were not found to be suitable for benchmarking capacities among countries. The regional guide to develop food safety indicators aims to provide countries with technical advice to develop national food safety indicators that