ISO 22000:2018 – 5.1 Leadership and commitment - Requirements

 

 

Welcome back to this blog. I hope you may find enriching information for you.

 

In this entry I am starting the analysis of the groups of requirements corresponding to Clause 5 - Leadership of the ISO 22000: 2018 standard, so I will start with Sub-clause 5.1 Leadership and commitment. As we will see, this subclause is of great importance and contains a large number of requirements, so in this post we will analyze them in depth.

 

Before beginning with the analysis of requirements of this Sub-clause 5.1, I consider it important to present to you some additional useful information for a better understanding and application of the requirements of this Subclause 5.1, and of which little is mentioned in relation to this standard ISO 22000.

 

The first thing we should know, or remember, is that management function is one of the components of the administrative (or management) process for any productive organization, and it is what makes the organization operate its processes and activities necessary for its performance. And within that management component, leadership is an essential element, so that it motivates, involves and guides all the organization's staff to achieve its objectives and, through these, fulfill its vision and its mission. There are different styles or ways of exercising leadership in an organization, which we are not going to discuss here, but what is significant now is to recognize the importance of exercising that leadership, and that leaders should be identified, supported and followed by the organization and they should be aligned with the mission, vision and organizational objectives.

 

As a second element, I mention something that is of great importance, if you are interested in comprehending and applying this standard, and that I have already commented on in a previous post, and that is that although the ISO 9001 and ISO 22000 standards are different and present requirements for different management systems, there is a lot of supporting information for ISO 9001 that does not exist for other management system standards, such as ISO 22000, and that somehow part of that supporting information can be useful for those other management systems.

 

The ISO 22000:2018 standard mentions, in its Introduction Clause, in its Paragraph 0.2 Principles of the SGIA, that this document specifies the requirements for a food safety management system (FSMS) that combines the following generally recognized key elements:

 

— interactive communication;

— system management;

— prerequisite programs;

— Hazard Analysis and Critical Control Point (HACCP) principles.

 

In addition, this document is based on the principles that are common to ISO management system standards. The management principles are:

 

-        customer focus;

-        leadership;

-        engagement of people;

-        process approach;

-        improvement;

-        evidence-based decision making;

-        relationship management.

 

All of these management principles should be applied, and their related processes managed, by the organization´s top management.

 

Here we can see that leadership in food safety management systems is not only considered within the requirements contained in this clause, but also forms one of the "Management Principles" presented in this ISO 22000 standard, but does not include more information about these principles.

 

However, as in this entry we are going to analyze the requirements of Sub-Clause 5.1 - Leadership and commitment, I present to you the complete information, contained in the ISO 9000:2015 standard, on the principle of leadership, but with orientation towards food safety management, in order to fully understand it in relation to this standard ISO 22000.

 

In addition to this information presented on this Leadership principle, which, as I commented, is presented in the ISO 9000:2015 standard, it is also convenient to consider the information presented in the Technical Specification ISO/TS 9002: 2016 — Quality management systems — Guidelines for the application of the ISO 9001: 2015 Standard.

 

This document, although it has a direct orientation to the ISO 9001 standard, has very valuable information for the application of the other ISO management system standards. If we redirect this information to food safety management systems, this technical specification tells us that the intent of this sub-clause 5.1 is to ensure that top management demonstrates leadership and commitment by demonstrates leadership and commitment by taking an active role in engaging, promoting, and ensuring, communicating and monitoring the performance and effectiveness of the food safety management system. The ways it can be applied are based on various factors, such as the size and complexity of the organization, management style and organizational culture.

 

This technical specification explains that for an organization, “top management” may include, for example, the chief executive officer, managing director, general manager, chairman, board of directors, executive directors, managing partners, single owner, partners and senior executives/ managers. Top management has the power to delegate authority and provide resources within the organization. If the scope of the management system covers only part of an organization, then top management refers to those who direct and control that part of the organization.

 

It tells us that each organization has different needs and its own specific solution that will be decided by top management. It is important for top management to ensure that the organization´s food safety management system processes are integrated with its business processes.

 

It is also important to recognize that leadership is an ability, inborn or acquired, to inspire others by influencing actions, decisions, and behaviors in positive ways. Therefore, the concept refers to a practice that has accompanied humanity throughout history and that has been practiced in corporate environments so that leaders and their teams work towards the same goal.

 

In order for an organization to establish and operate a FSMS, in which all the personnel that make it up should participate, or a high proportion of it, it is considered convenient that there are several leaders within it, in all levels, but all of them aligned with the leadership exercised by top management, so that what is called visible leadership is generated, so that all these personnel are involved in this effort, that they know and understand what is expected of each one: what they should do, when they should do it, how should do it, and what is the expected result of their activity, with whom they can support in case of doubts; that they can commit themselves to do their job in the best possible way, and that they obtain the best possible results.

 

One of the most common failures in  organizations operating food safety management systems, based on the ISO 22000: 2018 standard is that top management does not exercise appropriate leadership to establish its corresponding management system. Many managers keep the idea that exercising leadership is establishing orders to the staff, either in writing or verbally and demanding that they comply with them, and that automatically these staff will carry out all the activities entrusted to them and will comply with all responsibilities assigned to them, continuously and without failures. But this is not so simple. The exercise of leadership is a complex and continuous activity that establishes communication, motivates, involves, commits, guides, follows up, ensures the achievement of the expected result, and makes all participants feel proud and recognized for the achievements. It is therefore important that top management take this leadership serious and professionally, and ensure that all the requirements established by the standard regarding this entire clause are met.

 

It is also important to mention that we should be careful when analyzing this Sub-Clause 5.1 – Leadership and Commitment and meeting its requirements, as these are generic and many people dismiss them as meaning that those requirements are irrelevant, which is not so. Each of them contains essential elements for proper management by top management.

 

I start, then, after this brief introduction to the subject, with the analysis of these requirements, related to leadership and commitment, which I will analyze in this post, and which are the following:

 

 

 

All these requirements derived from Sub-clause 5.1 - Leadership and commitment, refer to top management, and each one of them establishes a necessary element so that top management can demonstrate its leadership and commitment with respect to the food safety management system, but it is important that we identify each of these elements, avoiding confusion due to the similar wording of these requirements.

 

Many of these requirements have the problem that they are so logical and simple that many people do not understand them, do not give them the necessary importance, or believe that since they are generic type requirements they will already be complying with them in an automatic way, which is far from reality. It is very common that organizations that have established their FSMS in accordance with this ISO 22000: 2018 standard, do not formally meet these requirements, so it should be remembered that every organization should take the appropriate measures to comply with all applicable requirements in their food safety management systems, such as all of those in this Section 5.1.

 

In the same way, it repeatedly happens that top management does not assume its responsibility for these elements of leadership and commitment, perhaps because they think that this system is more technical and operational, so they prefer to delegate both that leadership and the corresponding commitment to more operational levels, which limits the participation and the visible leadership of top management, and diffuses the commitment acquired.

 

Requirement No. 36: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the food safety policy is established.

 

When we analyze requirements derived from Subclause 5.2 of this ISO 22000: 2018 standard, we will see in depth what the food safety policy is and what components and characteristics this element of the food safety management system should have.

 

What is now important, in relation to this requirement, is that top management ensures that a food safety policy is established, since this policy is the primary strategic element within this FSMS.

 

Requirement No. 37: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the food safety policy is compatible with the strategic direction of the organization.

 

To meet this requirement, top management should ensure, by exercising its leadership and commitment, that it establishes the food safety policy considering all relevant elements for strategic direction, from the organization's purpose, mission, vision, values, policies, objectives and goals, so that it does not conflict with another strategic element of the organization, be it from this management system or from another.

 

Requirement No. 38: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the objectives of the FSMS are established.

 

If we consult the Technical Specification TS 9002: 2016, and make the corresponding adjustment for ISO 22000, it indicates that top management should ensure that the objectives (see Sub-Clause 6.2 - Objectives of the food safety management system and planning to achieve them from ISO 22000: 2018) are established for the food safety management system; These objectives may be established or reviewed during regular top management meetings, such as those for strategic planning or management review purposes.

 

As with the food safety policy, so as not to get ahead of ourselves, we will also discuss in detail the objectives of the FSMS and its characteristics, when we discuss the requirements derived from Sub-Clause 6.2. What is important is that the establishment of these objectives is a demonstration of the leadership exercised by top management in relation to the food safety management system.

 

Requirement No. 39: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the objectives of the FSMS are compatible with the strategic direction of the organization.

 

In order to meet this requirement, top management should ensure that they establish the objectives of the FSMS, considering all elements relevant to strategic direction, from the organization's purpose, mission, vision, values, policies, objectives and goals, so that it does not conflict with another strategic element of the organization, be it from this management system or from another.

 

Requirement No. 40: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring the integration of the FSMS requirements into the organization’s business processes.

 

Regarding this requirement, if we make the corresponding adjustment, Technical Specification TS 9002: 2016 indicates that top management must ensure that the organization's FSMS processes are integrated and managed within its business processes in general, and they are not addressed as add-on or conflicting activities.

 

As I mentioned previously, this requirement, like most of those that derive from this sub-clause, have the problem that they are so logical and simple that many people do not understand them, or do not give them the necessary importance. It is very common that organizations that have established their FSMS in accordance with this ISO 22000: 2018 standard, do not formally meet this requirement, so they fall into what the aforementioned TS 9002 mentions, that is, that these food safety management systems are not integrated into the production systems or business processes, which is why they often remain as an added element, such as a tumor or a wart, not as an integral part of the organization's SGIA, which means that it does not generate the benefits that would be expected from such a system.

 

Requirement No. 41: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the resources needed for the FSMS are available.

 

Regarding this requirement, Technical Specification TS 9002: 2016 indicates that top management should monitor current and projected workload and schedules to ensure that adequate food safety management system resources are provided (food people, tools, equipment, etc.), when and where it is needed.

 

The key to this requirement is the provision of all the necessary resources for the FSMS, through visible leadership and commitment, with precision and timeliness.

 

Requirement No. 42: Top management shall demonstrate leadership and commitment with respect to the FSMS by communicating the importance of effective food safety management.

 

Regarding this requirement, Technical Specification TS 9002: 2016 indicates that top management should communicate, through internal meetings, email, personal conversations, the organization's intranet, etc., the value and benefits of the food safety management system.

 

Top management should let all staff know that the main characteristic that the SGIA should have is that it be effective, that is, that it achieve all the established objectives and goals. The purpose of establishing this system should not be to establish it, but to achieve the planned results, and all personnel involved in the system should be aware of and committed to it.

 

Requirement No. 43: Top management shall demonstrate leadership and commitment with respect to the FSMS by conforming to the FSMS requirements.

 

Regarding this requirement, Technical Specification TS 9002: 2016 indicates that top management should communicate, through internal meetings, email, personal conversations, the organization's intranet, etc., the value and benefits of adherence to the requirements of the food safety management system.

 

Requirement No. 44: Top management shall demonstrate leadership and commitment with respect to the FSMS by conforming to applicable statutory and regulatory requirements related to food safety.

 

It is important to consider that food safety is an aspect of quality of a food that cannot be evaluated by a potential consumer. The client or consumer of a food can evaluate a variety of elements, as its physical appearance, size, integrity, texture, color, smell, packaging, commercial information, among other elements, but cannot know if it contains one or several safety hazards. That is why, in order to protect the population, the health authorities in practically all countries establish legal and regulatory requirements regarding food safety. And that is why top management should lead the entire organization to comply with these legal and regulatory requirements, in relation to the markets it covers, to generate confidence in its current and potential customers that the food it supplies is safe.

 

Requirement No. 45: Top management shall demonstrate leadership and commitment with respect to the FSMS by conforming to mutually agreed customer requirements related to food safety.

 

In addition to meeting the requirements of the FSMS, as well as the legal and regulatory ones, which we saw in the two previous requirements, top management should lead the entire organization in meeting the additional requirements related to food safety that were mutually agreed with customers, in order to promote and maintain customer loyalty.

 

The following two requirements are presented in the same paragraph of ISO 22000:2018, but it is important to understand them as different requirements, since each of them refers to a different set of actions, although both complement each other. Both refer to the exercise of leadership and the demonstration of the commitment of top management, with respect to the food safety management system.

 

Requirement No. 46: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the FSMS is evaluated to achieve its intended result(s) (see 4.1).

 

In this requirement, a reference is made to Sub-clause 4.1 of the standard, which is presented in two paragraphs and mentions the following:

 

“The organization shall determine the external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended results of its FSMS.

 

The organization shall identify, review and update the information related to these internal and external issues.”

 

As we can see, these requirements are already established in Sub-Clause 4.1. So, to meet this requirement, top management should exercise leadership and demonstrate their commitment to FSMS, promoting and ensuring that it is continually evaluated to confirm that the intended results are achieved, as well as that it is evaluated and reviewed from both internal issues and external issues.

 

Requirement No. 47: Top management shall demonstrate leadership and commitment with respect to the FSMS by ensuring that the FSMS is maintained to achieve its intended result(s) (see 4.1).

 

Here something similar to the previous requirement happens, this is that this requirement to maintain the FSMS is already established, but not in Subclause 4.1, but in 4.4. So, to meet this requirement, top management should exercise its leadership and demonstrate its commitment to the FSMS, promoting and ensuring that it maintains its functionality and effectiveness, regardless of changes that have occurred over time, such as changes in the processes, in the products, in the standard requirements, among others, to confirm that the expected results are achieved, as well as that both internal and external issues are evaluated and reviewed.

 

Requirement No. 48: Top management shall demonstrate leadership and commitment with respect to the FSMS by directing persons to contribute to the effectiveness of the FSMS.

 

The key for meeting this requirement is that top management achieves, through exercising its leadership and commitment, direct people to contribute to the effectiveness of the FSMS.

 

Within the definitions presented by the Collins Dictionary on this term "directing", the most appropriate is the following:

 

Requirement No. 49: Top management shall demonstrate leadership and commitment with respect to the FSMS by supporting persons to contribute to the effectiveness of the food safety management system.

 

The key for meeting this requirement is that top management achieves, through exercising its leadership and commitment, support people to contribute to the effectiveness of the FSMS.

 

Among the definitions presented on this term "supporting", the most convenient are the following:

 

Regarding this requirement, Technical Specification TS 9002: 2016 states, with corresponding adjustment, that top management should support people in the organization to contribute to the effectiveness of the FSMS by communicating with them (see Sub-Clause 7.4 of ISO 22000: 2018); This could include top management serving as the lead on projects when improvements are needed, and encouraging employees and others to participate as members of improvement teams.

 

Requirement No. 50: Top management shall demonstrate leadership and commitment with respect to the FSMS by promoting continual improvement.

 

In relation to what is established here, we should remember that continuous improvement is, in addition to a group of requirements of a standard, a necessity for a FSMS to maintain its validity and benefits over time.

 

Regarding this requirement, Technical Specification TS 9002: 2016 indicates that top management should promote continuous improvement while ensuring that information and recommendations from audits and other assessments and management reviews (see Sub-Clause 9.3 of ISO 22000:2018) are communicated to responsible persons (which can also help demonstrate the value and benefits of improvements);

 

Requirement No. 51: Top management shall demonstrate leadership and commitment with respect to the FSMS by

 

Top management shall demonstrate leadership and commitment with respect to the FSMS by supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.

 

What this requirement establishes for an organization is that top management should support all management functions, in order to demonstrate their leadership and commitment, promoting that all relevant units, areas and functions of the organization fulfill their roles and responsibilities.

 

Regarding this requirement, Technical Specification TS 9002: 2016 indicates that top management should provide support and guidance to people in other relevant management positions, to help them demonstrate leadership as applicable to their own areas of influence; this could include guiding and supporting them in making specific decisions that help the organization better meet requirements, or drive improvements where necessary.

 

Effective leadership and commitment can lead to a better understanding by people in the organization of how they contribute to the food safety management system, which can help the organization consistently achieve its intended results.

 

In the next entry I will continue with the analysis of the requirements of Subclause 5.2 - Policy.

 

Author:

 

Ernesto Palomares Hilton