Information
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DD/MM/YYYY SUPPLIER NAME
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Audit title
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Conducted on
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Supplier being Audited
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Auditor
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Auditee
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Location
The following audit scoring criteria have been used to identify the level of compliance with each requirement that is set out in the standard. Provide evidence that you saw and your thoughts about the implementation and documentation. If any of the requirements are not applicable, please type 'N/A' to denote that the particular requirement is not applicable to the organization.
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Compliant: Yes, requirement fully documented and implemented. Adherence with the requirements of the standard or specification. No major or minor non-conformance found.
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Minor Non-conformance: Requirement partially implemented but no documentation or partially documented but not implemented. A non-conformity that, based on the judgment and experience of the auditor, is not likely to result in the failure of the management system or reduce its ability to assure controlled processes or products. It may be either a failure in some part of the supplier's management system relative to a specified requirement or a single observed lapse in following one item of a company's management system.
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Major Non-conformance: No provision, requirement not documented or implemented. The absence (omission, not addressed) or total breakdown (commission, failure, not implemented) of a system to meet a specified requirement. A number of minor non-conformity against one requirement can represent a total breakdown of the system and thus be considered a major non-conformity. Any non-compliance that would result in the probable shipment of a non-conforming product. Conditions that may result in the failure of or materially reduce the usability of the products or services for their intended purpose. A non-compliance that, in the judgment and experience of the auditor, is likely to either to result in the failure of the management system or to materially reduce its ability to assure controlled processes and products.
Upon Completion:
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Signature of the Auditee (supplier)
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Signature of the Auditor
Guidance
Scoring Criteria
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The following audit scoring criteria have been used to identify the level of compliance with each requirement that is set out in the standard. In the 'Audit Evidence' field, fill in the evidence that you saw and your thoughts about the implementation and documentation. If any of the requirements are not applicable, please type 'N/A' to denote that the particular requirement is not applicable to the organization.
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Compliant: Yes, requirement fully documented and implemented. Adherence with the requirements of the standard or specification. No major or minor non-conformance found.
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Opportunity for Improvement: Minor gap, mostly documented and implemented The management system that may be weak, cumbersome, redundant, overly complex, or in some other manner, may, in the opinion of the auditor, offer an opportunity for an organization to improve its current status.
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Minor Non-Conformance: Requirement partially implemented but no documentation or partially documented but not implemented. A non-conformity that, based on the judgment and experience of the auditor, is not likely to result in the failure of the management system or reduce its ability to assure controlled processes or products. It may be either a failure in some part of the supplier's management system relative to a specified requirement or a single observed lapse in following one item of a company's management system.
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Major Non-Conformance: No provision, requirement not documented or implemented. The absence (omission, not addressed) or total breakdown (commission, failure, not implemented) of a system to meet a specified requirement. A number of minor non-conformities against one requirement can represent a total breakdown of the system and thus be considered a major non-conformity. Any non-compliance that would result in the probable shipment of a non-conforming product. Conditions that may result in the failure of or materially reduce the usability of the products or services for their intended purpose. A non-compliance that, in the judgment and experience of the auditor, is likely to either to result in the failure of the management system or to materially reduce its ability to assure controlled processes and products.
Requirements
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An audit of supplier related processes should be conducted at planned intervals in order to determine whether the process conforms to planned arrangements in order to determine whether the process is properly implemented and maintained and to provide process performance information to top management. Effective auditing requires the auditor to identify and record audit trails that will make a difference to the organization. The audit should begin with the process owner in order to understand how the process interacts with the other process inputs, outputs, suppliers and/or customers. The auditor should be able to determine whether the outputs are complete and that process measurements demonstrate whether all of the outputs are consistently fit for purpose and are efficiently managed. Do the customers agree with the outputs and the measures? An audit of customer related processes is conducted at planned intervals to: • Determine whether the process conforms to planned arrangements • Determine whether the process is properly implemented and maintained • Provide information on process performance to Top Management Consider these points during the audit: • Is there continuity between the various support processes? • Is the task done consistently on a person-to-person or day-to-day basis? • Do the interfaces between the departments operate smoothly? • Does product information flow freely? • Is the procedure right? • Does it meet the requirements of the standard or specification? • Is it helping the organization effectively?
Food Safety Management
Food Safety Management
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Is the FSMS documented, controlled and maintained clearly to describe current practice? I.e. does the quality Manual and all procedural documents show revision numbers, sign-off dates, history of changes?
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Do FSMS reports or records trend charts and data analysis or identify opportunities, and are used by management on a routine basis? i.e. does product data highlight and address problems / preventative & corrective actions, audit results?
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Are FSMS performance targets clearly defined, included in the business plan and monitored for improvements? i.e. are there strategic and tactical objectives / goals and action plans?
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Does Top Management participate in periodic FSMS reviews that address FS related feedback from customers and internal audit metrics? i.e. is there analysis of failures, internal audit reports & results, resource needs, corrective action status?
Continuous Improvement
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Are preventative actions taken based on the analysis of management review, customer satisfaction surveys or other meaningful inputs? i,e, management review meting objectives and actions, goal setting, performance measures, internal audits, customer surveys
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Is there a formal approach used to actively pursue continual improvement activities throughout the organisation? i.e. documented list of KPIs and objectives
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Is a corrective action system in place that provides root cause analysis and takes timely and effective action to prevent reoccurance? i.e. corrective action reports, meeting notes, non-conformance reports
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Does corrective action system cover customers, internal operations and suppliers? i.e. check management review meetings, customer complaint handling procedures and corrective action reports
Education & Training
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Is the skill and education level required for each job documented and appropriate training is provided? i.e. look for use of training aids and work instructions at work stations
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Is employee qualification / certification maintained where the food safety outcome of the process cannot be verified and is dependent upon operator skill? i.e. training records or certificates are recorded and reviewed
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Are suitable methods used for verifying training effectiveness? i.e. tests, evidence in monitoring / audit records, interviews with employees to validate training records
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Are records maintained and up-to-date? i.e. job descriptions, job skills assessments, training records, training manauals
Occupational Health & Safety
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Does the management system address the safety of personnel without compromising food safety?
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Does the management system address emergency preparedness in the event of a food safety risk? i.e. check policies and procedure documents, records of any mock exercises conducted or improvement records / accident statistics
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Are procedures used for on-going identification of hazards, risk assessments and implementation of control methods? i.e. food safety team meetings / food safety committee / steering croup, accident investigations, audit reports and corrective actions
Food Safety Verification Planning
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Are products and premises routinely micro tested for food pathogens? i.e. check verification planning for scheduled micro testing, frequency, samples taken, responsibilities, records of past test results and corrective actions following any faults
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Is testing used to verify specifications, improvements and provide on-going check of food safety standards? i.e. check corrective action reports following results from verification test
Documentation and Record Keeping
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Are new and revised customer and supplier specifications reviewed frequently according to a scheduled plan? i.e. check dates on supplier products specification, check documented supply chain specifics from Geant are current
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Are current process control documents in place and used for production start-up? i.e. check work instructions, procedures and policies documents, check with staff that this is being followed
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Is there a record control system for identification, storage, protection, retrieval, retention time and disposal of quality records? i.e. check the document control program inside policies and procedures manuals
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Are food safety monitoring records maintained and available for checking? i.e. check a random sample from last 6 months to ensure that procedures are implemented and effective
Procurement
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Is there a formal process used for the selection, qualification and re-qualification of suppliers?
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Are purchases from unapproved suppliers prevented by a properly controlled and available approved supplier list?
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Are preventative actions taken to continuously improve performance of the supplier base?
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Does the supplier assurance system ensure that all purchased product or material conforms to defined specifications and applicable regulators or customer requirements?
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Does a system exist for the identification, verification and protection of customer supplied product that includes notifying the customer if product is damaged or lost?
Incoming Material
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Is receiving inspection preformed per documented procedures and detailed work instructions
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Is inspected materials adequately identified as to acceptance or rejection and traceable to receiving inspection report
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So supplier corrective action requests requiring root cause analysis show responses are analysed
Manufacturing Quality
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Is there a formal method used to qualify new or rebuilt production equipment prior to production use?
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Are control plans used to plan and deploy inspection and test functions throughout the production process?
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Are appropriate work instructions available where needed that accurately describe all work methods including inspections and tests to be done during production?
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Are appropriate inspections, tests and process adjustments made per applicable work instruction to verify conformance at key points throughout the process and prior to shipment?
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Is the inspection and process status of the product identified and maintained throughout the production process?
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Are customers notified of low yield production lots or issues that affect product reliability?
Process Control
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Are key part characteristics and process parameters reviewed and statistically based controls and or problem solving tools used to control variation?
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Are written improvement plans implemented to reduce sources of variation?
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Are out of control conditions noted and documented corrective actions are taken to bring the process back into control?
Non-Conforming Material
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Are non-conforming materials, parts and assemblies segregated where practical and identified to prevent unapproved use?
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Is reworked material, parts and assemblies re-inspected or re-tested to confirm compliance to requirement?
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Is the use of non-conforming materials documented under a formal waiver or concession system?
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Is product traceability maintained to facilitate problem evaluation and corrective action?
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Is there a positive recall system to notify customers of non-conforming products that have already been shipped?
Monitoring & Measuring
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Are gauge repeat-ability and reproducible studies conducted to verify sustainability of measuring devices for their use in checking product quality or control of processes?
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Are measuring devices and gauges and test equipment routinely calibrated and controlled per documented procedures?
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Are gauges and test equipment calibrated against standards traceable to a recognized regulatory body or agency?
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Are assessments made to check the validity of previous measurements done on products where out of calibration measuring devices were used?
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Are appropriate controls in place to verify the suitability and accuracy of computer software prior to initial use in checking product quality of control processes?
Maintenance
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Are tools stored in an appropriate, clearly defined area, with systematic tracking that provides traceability, particularly of customer owned tools and equipment?
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Does a formal preventative maintenance system exist for production equipment, tools and fixtures?
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Is the preventative maintenance schedule followed since product cannot be made with tools that are outside the maintenance period?
Environment
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Does documented environmental policy exist that included a commitment to comply with relevant environmental legislation and regulations and to continual improvements and pollution prevention?
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Is there an environmental management system that ensures compliance to all applicable government regulations and there are no outstanding, unresolved violations of these regulations?
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Is there a system in place to minimize the use, disposal and emissions of hazardous chemicals and are not used in the manufacturing process?
Storage & Packaging
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Are areas around the facility clean and orderly and are tools and equipment properly stored and readily available for use and is lighting and air quality adequate?
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Is proper equipment an methods used to prevent product damage or loss in all phases of the material handling process?
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Are documented procedures followed to ensure proper control and prevention of handling, storage (FIFO), packaging and delivery of product?
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Is stored product / material periodically inspected and where applicable actions are taken to prevent deterioration per documented procedure?
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Have contingency plans been developed that describe actions to be taken in the event of a major interruption of the manufacturing process?
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