RQA Services

Menu for the

Food Service

& Hospitality

Industries

RQA, Inc.Founded in 1989, RQA delivers world class crisis management services to the food, beverage, personal care, and consumer products industries, providing solutions from concept to consumption. We offer extensive expertise in crisis management and insurance services, which includes strategic consulting, risk mitigation, and risk assessment. With over 1000 incident responses to date, RQA offices around the world are strategically positioned to respond to your global concerns. Highly experienced local consultants, who are knowledgeable in your specific regulations, provide cost effective support. Internationally recognized laboratory partners support your analytical and microbiological testing needs. Wherever you work within your products’ life cycles, RQA is there with product development, quality assurance support, manufacturing services, consumer response, and crisis management capabilities.

Catlin Group LimitedCatlin Group Limited is a leading global specialty insurer and reinsurer that provides creative risk management solutions to clients worldwide. Throughout its history, Catlin has strived to build a business for the future through a firm commitment to disciplined underwriting and a forward looking approach to managing underwriting cycles. Catlin’s goal is to offer a consistent source of underwriting expertise and capacity to clients and their brokers through both hard and soft markets. Catlin strives to provide brokers and insured with the same excellent level of service no matter where in the world they are located. Catlin has been assigned financial strength ratings of ‘A’ (Excellent) by A.M. Best and Standard & Poor has assigned the overall Lloyd’s market an insurer financial strength rating of ‘A+’ (Strong).

RQA, Inc. and Catlin Group LimitedPrevention, planning, and execution are essential components of successfully managing a foodborne illness outbreak or other crisis. Catlin Group Limited subscribes to this philosophy by offering their insured a 5% credit of the net premium that can be used toward crisis management services and consulting solutions provided by RQA, Inc. Clients have access to RQA’s full range of services 24/7/365. RQA, Inc. offers a comprehensive menu of food safety, supplier management and crisis management as well as a 24 hours a day/7days a week/365 days a year comprehensive outbreak and crisis response. All services provided are strictly confidential between the insured and RQA, Inc.

Table of Contents

1...............................................................Audits and Assessments

3..................................................Standard Operating Procedures

5..........................................................................Restaurant HACCP

7........................................................................Crisis Management

9.....................................................................Food Safety Training

11.........................................................................Consumer Affairs

12........................................................Facility Design Assessment

13.........................................Security Risk Management Services

15......................................................Incident Response Outbreak

Audits and Assessments

Restaurant Food Safety Audit

The Food Safety Audit (FSA) is a comprehensive evaluation of the flow of food from receipt through service, based on local regulatory code requirements and best practice HACCP based risk assessment.

Facility Threat Analysis/ Food Defense Audit

The Facility Threat Analysis/Food Defense Audit is an in-depth evaluation, based on FDA’s Food Defense Guidelines, to evaluate the risk of malicious product contamination and extortion and to confirm there are adequate controls in place. Controls already in place to mitigate the threats/hazards will be reviewed. Consulting may be provided, as requested.

Food Safety Quality Systems Audit

The Food Safety and Quality System (FSQS) Audit is designed to provide a thorough evaluation of facilities that manufacture, process, package, or hold food products. Facilities are evaluated in key areas: food safety, quality systems, food security, and supplemental programs. The FSQS audit is primarily based upon U.S. FDA Good Manufacturing Practices (21 CFR 110), HACCP system guidelines (NACMCF, Codex), and food industry best practices.

Supplier GMP/HACCP Audit (Supplier Certification)

The Supplier GMP/HACCP Audit is designed to provide an overview GMP/HACCP evaluation of facilities that manufacture raw material components.

Warehousing and Distribution Center Audit

The Warehouses and Distribution Center Audit is designed to provide a thorough evaluation of facilities that package or hold food and/or non-food products. The audit is primarily based upon U.S. FDA Good Manufacturing Practices (21 CFR 110), HACCP system guidelines (NACMCF, Codex), and industry best practices. It also includes content from ISO 9000:2000 standards.

Supplier Risk Assessment Program

The Supplier Risk Assessment Program is two phased. Phase one involves a supplier-completed questionnaire that is scored. This gives the initial risk assessment. The second phase involves a desk top audit of key areas or documents determined by the client, such as the recall plan, the HACCP plan and the last audit. This review could include a sub-set of suppliers (the highest risk) or all suppliers. These two phases result in an overall score and risk rating for each supplier. This is used to determine which suppliers need further review and/or assistance.

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SOPs

Desktop Review

RQA consultants will review the facility’s Standard Operating Procedures (SOPs) to ensure they are in compliance with the Food Code, in addition to identifying gaps, and providing advice on improvements, if needed.

SOP Development

RQA consultants will work with the facility’s personnel to develop SOPs. This will be based on a modified HAACP format from suppliers to service.

On-site Assessment / Food Safety Audit

An On-Site Assessment/Food Safety Audit will be completed at an agreed upon number of sites to assess compliance with both the company’s procedures and safe food handling practices in daily operations. This is a risk-based assessment that is based on relevant regulatory code requirements and incorporates best practices driven by HACCP principles. The audit protocol used in the assessment covers the entire flow of food and facility operations, including:

• FoodSupply,ReceivingandStorage • ColdFoodStorage • FoodPreparation • FoodDisplay,ServiceTransportandHolding • StaffHygiene • BeverageandWaitStations • Warewashing • GeneralFacility

Food Safety Program Development

The Food Safety Program Development involves RQA consultants assisting the client to develop a comprehensive food safety program, which is based on industry best practices, HACCP, the Food Code and local regulatory Food Code requirements.

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Restaurant HACCP

HACCP Plan Desk Top Review

The client’s existing HACCP plan and procedures will be reviewed by an RQA recall consultant, who will provide a written report detailing strengths and specific recommendations for improvement. This assessment is performed against industry best practices as well as current regulatory requirements.

HACCP Plan Development

If a company has not yet prepared a HACCP plan or needs significant re-drafting/re-development of its HACCP plan, an RQA consultant will work with the client to develop a HACCP plan that documents the client’s corporate and/or business unit HACCP policies and procedures. This service includes an on-site risk assessment of the client’s operations, recipe HACCP, and standard operating procedures integral to a successful HACCP program. This may involve a two-level approach - a corporate level policy and site-specific HACCP plans.

HACCP Training Basics

The objectives of this workshop are to introduce the topic and to summarize the key components of a HACCP program. Participants will leave with an understanding of HACCP, including: basic elements, history, HACCP vs. traditional programs, importance of HACCP for food safety, HACCP methodology, HACCP 7 principles, and HACCP’s impact to global trade, industry and your company.

HACCP Verification Audit

If a company has an existing HACCP Program, an RQA consultant will complete an on-site assessment of the program to verify the HACCP program and to identify gaps and improvement opportunities.

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Crisis Management

Crisis Management Plan Desk Top Review

The client’s existing crisis management plan and procedures will be reviewed by an RQA consultant, who will provide a written report detailing strengths and specific recommendations for improvement. This assessment is performed against industry best practices as well as current regulatory requirements.

Post Recommendation Crisis Management Plan Desk Top Review

RQA consultants will review the crisis management plan after proposed recommendations from the initial review have been implemented. Further recommendations or suggestions to improve the plan may be necessary.

Crisis Management Plan Development

If a company has not yet prepared a crisis management plan or needs significant optimization of its crisis management plan, an RQA consultant will work with the client to develop a crisis management plan that documents the client’s corporate and/or business unit crisis management policies and procedures. A crisis is unpredictable, presents a threat to the organization, and requires quick and efficient decisions and actions. Some crisis examples are fires, explosions, natural disasters, workplace violence, sabotage, malicious threats, and acts of terrorism. Other situations may be included, as requested by the client. This service includes an assessment of the client’s organizational structure and standard operating procedures integral to successful crisis management execution.

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Food Safety Training

Food Safety Training & CertificationTraining and certification will be provided for the National Restaurant Association’s (NRA’s) SERVSAFE® Food Protection Manager Certification Course, National Service Foundation’s (NSF’s) HACCP Manager Certification, various state certifications and customized fundamentals of food safety in multiple languages.

Specialized Food Safety TrainingSometimes training is needed in a condensed format. This specialized training will focus on cooking, cooling & preparation, personal hygiene, dishwashing, serving, and handling a foodborne illness complaint (outbreak). This may be achieved through online training or on-site training.

On-Line Spanish Language Food Safety WorkshopRQA, Inc. Insurance Services has developed an online, on demand Food Safety Workshop for the Restaurant and Food Service Industry as a complimentary service for all insured who have Restaurant Recovery Insurance. This workshop is in Spanish and is targeted to Spanish-speaking restaurant and food service employee’s as an introductory course that focuses on food safety considerations in restaurants and other food service operations.

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Workshop: Complaint Sample Handling and Analysis for Non-ScientistsProper analysis of a complaint or recall sample can provide facts that, with proper interpretation, can in many cases lead to the firm resolution of an investigation. Rather than a technical scientific discussion, this workshop will focus on the motivations that define best practices related to the pick up, handling, analysis and interpretation of complaint samples common to restaurants. The following topics are covered:

Workshop: Basics of Complaint Sample AnalysisMost labs are set up for specific purposes and are not equipped to work with or think about foreign matter examination. This technical course will provide an introduction to the types of information that can be obtained from consumer complaint samples through basic analyses that require a minimal amount of analytical equipment. The following topics are covered:

• Initialpickup.Chainofcustody,samplepreservation, proper packaging.

• Laboratoryselection.Notalllaboratoriesareequal.

• Initialsampleevaluation.Preservingevidence and determining a course of analysis.

• Focusingtheinvestigation.Whatcanbelearned from a sample?

• LaboratoryWorkshop.Attendeeswillusea stereo microscope to see for themselves the types of information that can be obtained from a basic examination.

• Expertreporting.Factsversusinterpretation. Ensuring laboratory results are documented, legally supportable, reviewable, and reproducible.

• Rebuttalofopposinganalyses.Evaluatingthe quality of another report, and the ways in which to look at data from opposing counsel.

• Chainofcustody• Properandmeaningfuldocumentation• Standardoperatingproceduresversus

thoughtful analysis

• Evidencespoliationconcernsandissues• Laboratoryexercisesonsampleanalysis.• (Optional)Examinationofsamples

brought by attendees.

Consumer Affairs

Consumer Affairs/Call Center Assessment

The Consumer Affairs/Call Center Assessment includes an assessment of the client’s current processes and procedures for handling and escalating consumer complaints. An RQA consultant will interview key personnel and review/observe use of the client’s systems.

Consumer Affairs/ Customer Experience Management Workshop

When a consumer has a potential or actual product issue, the person receiving the complaint is the company’s first line of defense. Responding to and properly escalating these issues are critical in mitigating risk and liability. This interactive workshop defines what customer service is and customer’s expectations and wants. The following topics are covered in the workshop: phone, email and face-to-face communications etiquette, the art of conversation, delivering bad news, the correct way to apologize, problem solving, and dealing with different behavior types. Additional topics may include defusing hostile customers, handling serious complaints, and the role of the consumer complaint professional.

Facility Design Assessment

FoodSafe™ Design Assessment

The FoodSafe™ Design Assessment includes a food safety-based review and specific recommendations for new facilities, the renovation of existing facilities, the analysis of equipment needs, and pre-plan review.

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Security Risk Management Services

Audit of Current State

• Security-relatedpolicies• Vulnerabilitysurveys• Corporateproperties• Keycorporateexecutiveresidences• Supplychain

Develop Physical Security SystemsEnhance current state with:

• Locks,alarms,cameras• Software• Policiesandprocedures

Develop Crisis Management Plan

• KeypersonnelforCrisisManagementteam• Crisiscommunicationpolicy• Incidentresponseprocedures• Naturaldisasters• Maliciousproducttampering• Terrorism• Kidnapping• Extortion• Pre-incidentprevention/mitigationstrategies• Post-incidentauditprocedures

Response Training

• CrisisManagementteam• Securityawareness• Corporateprincipals/family• Personalstaff• Corporateemployees

Consulting During Actual Incident

• Criticalincidentmanagementguidance• Liaisonwithlawenforcementauthorizes

to include FDA, USDA, FBI• Evidencehandlingandrecordkeeping• Investigativesupportandexpertresources• Securityassessmentsandguidance

Incident Reporting and Enterprise Management Systems

• Managementtoolsandsoftwaresupport• Duediligenceandinternalinvestigations

Client Consultation

RQA, Inc. consultants will provide support through phone calls, on-site visits to review services, and 2-4 hour presentations.

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Security Risk Management

RQA consultants are a world class security consultancy group focused on enterprise risk management. RQA consultants work domestically and internationally to provide state of the art prevention, response and mitigation for our clients.

Incident Response Outbreak

24/7 Emergency Hotline

RQA, Inc. provides immediate, expert support for response to foodborne illness complaints or alleged outbreaks. In the unfortunate event that your company, as an insured of Catlin, has an actual or potential event that could result in bodily harm or a health hazard, it is important to act promptly.

Incident and Response

Once a call has been placed with the Catlin crisis hotline, an RQA consultant will respond to your call as soon as possible, usually within the hour. Inform the consultant of the incident and provide whatever information is available.

RQA will provide assistance and/or advice related to the outbreak or crisis throughout the entire event. Also, RQA consultants can work collaboratively on-site to help pinpoint the source of the issue, contamination and outbreaks. RQA consulatants have responded to over 1000 incidents worldwide.

Investigative Response Services

Should sophisticated microbiological and chemical analysis be required, RQA consultants can provide assistance through our Food Forensics business.

For an incident that is likely to have been caused by an extortion or malicious attempt, RQA has experienced consultants who specialize in this type of investigation. The responding RQA consultant will contact one of these specialists, who will then contact you directly. Should the incident require public relation’s support, the responding

RQA consultant can offer the assistance of a public relations firm.

Consulting, On-Site Investigation, Microbiological Testing

RQA, Inc. provides immediate, expert support at client’s locations to ensure comprehensive investigation and communication with health department officials.

Food Forensics™

RQA Food ForensicsTM brings together industry leaders to provide the best in consumer complaint retrieval, expert triage, and product contamination identification services. Strict chain of custody controls are followed, and photographic evidence is maintained of all samples received. Accurate, timely identification is critical when determining the response to a product contamination event. RQA Food ForensicsTM offers a full scope of analytical testing, with rapid results for initial triage, extended investigation, and testing of complaint samples, along with integrated document management. Should matters end in litigation, we can offer expert testimony support.

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For More Information Contact:RQA Insurance Services * 8828 N. Central Avenue, * Suite 304 Phoenix, AZ 85020

insuranceservices@rqa-inc.com * www.rqa-inc.com/insurance.html

RQA World Headquarters * 10608 W. 163rd Place * Orland Park, IL 60467

In the restaurant industry, contamination can manifest itself in various ways: foreign objects, off odors, mold, even alleged rodent contamination. Any suspicion of foreign matter by a consumer can lead to a negative impact, whether through bad publicity or legal action.

Proper handling of complaint samples, followed by timely identification, allows restaurants to quickly establish factual information about a complaint. This begins with a solid identification of the material in question. In many cases, alleged animal droppings turn out to be char, alleged animal parts are simply hardened lumps of product, or a pill is found to come from a customer’s own prescription. A basic identification, supported by firm documentation and proper chain of custody, is often sufficient to quickly resolve many issues.

In other cases, it may be necessary to conduct a more specific identification, determine the point of introduction, identify potential tampering, or provide expert scientific support during deposition or trial. In many cases, a review of an opposing side’s laboratory report can offer new insights, reveal errors, or suggest more appropriate analyses that should be conducted.

RQA Food Forensics™, in conjunction with the microanalytical expertise of Microtrace LLC®, experts in criminal forensic analysis and the identification of unknown food and complaint related substances, has the experience, laboratory capabilities, and reputation to provide unbiased factual information and legal support that can withstand legal scrutiny and help to quickly and accurately address both typical and atypical complaint issues.

Complaint Sample Analysis

• Microbiology(PathogensandSpoilageOrganisms)

• ForeignMatterIdentification• Rodentbody,hairanddroppingsanalysis• Insect• Tabletsandpills• Residues• Offodors• Animalandhumanhairs

• Plastic• Glass• Metal• Foodingredients• Char• Oilsandgreases• Completeunknowns• Producttamperinginvestigations• Contaminantsourceattribution

investigations

Standard Food Testing

• AllergenTesting• CompositionalandNutritionalAnalysis• PesticideResidueAnalysis

•PharmaceuticalAnalysis•ToxicityScreening