Surveillance Audit Form

• Document No.

• Surveillance Audit Form

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Surveillance Audit

ISO REF # : 5.2.1

Section : Management Responsibility

• Does your company have a Quality Policy which is documented and communicated to all employees of the organization?

  Yes - Quality Policy is documented and communicated to all employees

  No - Quality Policy is documented BUT not communicated

  No - There is NO quality policy

ISO REF # : 5.2.2, 7.1.6, 7.2, 7.3

Management Responsibility

• Are the responsibilities for product safety and quality clearly described and explained to all employees?

  Yes - Responsibilities for product safety and quality are clearly described

  No - Responsibilities for product safety and quality are neither described or communicated to employees

ISO REF # : 6.1 & 6.2

Hazard Prevention and Risk Assessment

• If you are a supplier Food/Beverage raw materials, Food/Beverage packaging components or Food/Beverage warehouse storage; Have you conducted a validated and verified HACCP Risk Assessment for all operations, products and processes?

  Yes - Responsibilities for product safety and quality are clearly described

  No - Responsibilities for product safety and quality are neither described or communicated to employees

Hazard & Risk Analysis

• Has the hazard and risk analysis taken into consideration the impact of storing non-Beam Suntory products with Beam Suntory products?

  Yes

  No

  N/A

• How are these risk controlled to prevent risk to Beam Suntory Products?

  Safe

  At Risk

  N/A

Security

• Is access to the warehouse storage areas restricted and controlled

  Yes

  No

  N/A

ISO REF # : 7.1.2

Personal Practices/Personal Hygiene

Personal Practices/Personal Hygiene

• Does the facility have a Good Manufacturing Practices (GMP) in place?

  Yes

  No

  N/A

• Does entry to production area have hands-free faucets, anti microbial soap, warm/hot water, hand drying facilities/disposal hand towels?

  Yes

  No

  NA - Hand washing does not pose as a risk based on risk assessment.

Personal Practices/Personal Hygiene

ISO REF # : 7.1.3

Facility Environment

Infrastructure Exterior Grounds

• Are building and external areas protected to prevent potential cross contamination to product and facilities?

  Yes

  No

  N/A

Plant and Equipment Design

• Are all product contact surfaces made of durable materials which is impermeable, rust or corrosion free and able to withstand repeated cleaning?

  Yes

  No

  N/A

Pest Control

• Does your facility have a documented pest control program to prevent pest entry (including control of pesticides stored on site, if applicable)?

  Yes

  No

  N/A

Waste

• Is there a designated area for waste to which prevents it being a source of contamination?

  Yes

  No

  N/A

Chemical Control

• Are chemicals properly labeled and kept under controlled conditions?

  Yes

  No

  N/A

• Does your company have a policy requiring the use of food grade chemicals?

  Yes

  No

  N/A

Personal Practices/Personal Hygiene

• Does entry to production area have hands-free faucets, anti microbial soap, warm/hot water, hand drying facilities/disposal hand towels?

  Yes

  No

  NA - Hand washing does not pose as a risk based on risk assessment.

Personal Practices/Personal Hygiene

ISO REF # : 7.1.5.1 and 7.1.5.2

Equipment Management

Pallet Management Program

• Does you facility have processes and measures in place to prevent damages and inspect pallets for contamination, unsanitary conditions, and physical damage prior to use?

  Yes

  No

  N/A

Hygiene and Sanitation

• Does your facility follow a general documented cleaning and sanitation program (CIP) that is formally monitored and recorded?

  Yes

  No

  N/A

Calibration and Monitoring of Devices

• Does your facility have a documented maintenance and calibration program for all critical equipment?

  Yes

  No

  N/A

• Can the facility supply a list of equipment and frequency at which it is monitored?

  Yes

  No

  N/A

ISO REF # : 8.1 and 8.3

Processing and Product Control

Product Development

• Does the company have an implemented procedure for product development that takes risks and patents into account?

  Yes

  No

  N/A

• Does the company demonstrate that all existing and new product are designed to meet legal and customer(s) requirements?

  Yes

  No

  N/A

ISO REF # : 7.5.1, 7.5.2, 7.5.3

Processing and Product Control

Product Specifications

• Does your facility have procedures that coordinate and confirm specifications with suppliers and customers including keeping agreed, signed and updated specifications on all ingredients and products?

  Yes

  No

  N/A

ISO REF # : 7.5.1, 7.5.2, 7.5.3

Processing and Product Control

Warehouse Management

• What current statuses does your warehouse management currently use?

  Unrestricted

  Restricted

  Blocked Stock

ISO REF # : 8.4

Processing and Product Control

Product Control

• Does your facility have a documented supplier and or co-manufacturer approval program to prevent purchase or use of non-approved goods?

  Yes

  No

  N/A

ISO REF # : 8.4.2

Processing and Product Control

Control of Materials

• Are incoming and outgoing materials or products inspected according to customer requirements in established procedures (conform to spec, shelf life, legal requirements, etc)?

  Yes

  No

  N/A

ISO REF # : 8.5

Processing and Product Control

Product Control

• Are there documented measures, controls or devices in place to prevent any type of foreign materrial contamination, which may include but is not limited to glass,metal, plastic, rubber, wood?

  Yes

  No

  N/A

• Does the facility have the foreign material control program on file?

  Yes

  No

  N/A

ISO REF # : 8.5

Processing and Product Control

Product Control

• Does the facility have a documented procedure that manages non-conforming and returned products to prevent any potential cross contamination to conforming products?

  Yes

  No

  N/A

ISO REF # : 8.5.2

Processing and Product Control

Product Control

• Does your facility follow a recall program or procedure and do you conduct regular mock or test recalls, at least once per year?

  Yes

  No

  N/A

ISO REF # : 8.5 and 8.6

Processing and Product Control

Product Control

• Are control activities in place to ensure conformance to specifications, compliance to regulatory requirements?<br>(I.e.Monitor production process, order picking, repacking, and or quality testing)

  Yes

  No

  N/A

ISO REF # : 8.7

Customer Returns

Returns

• Are customer returns managed as per the management of non-conforming product?<br>(Customer returns for quality reasons must be monitored and recorded)

  Yes

  No

  N/A

ISO REF # : 9.2, 9.3, 10.1, 10.2 and 10.3

Improvements and Monitoring Program

Programs

• Is an internal audit program implemented at the facility?

  Yes

  No

  N/A

• Does the program cover all quality processes and are audits conducted on regular intervals?

  Yes

  No

  N/A

• Is the audit program reviewed at least annually?

  Yes

  No

  N/A

ISO REF # : 9.2, 9.3, 10.1, 10.2 and 10.3

Order Picking

Programs

• Does the facility have a FIFO policy in place when minimum shelf life is specified by the customer?

  Yes

  No

  N/A

• Are procedures in place to assess the completeness of orders and pallets at the end of picking?

  Yes

  No

  N/A

ISO REF # : 9.2, 9.3, 10.1, 10.2 and 10.3

Loading/Unloading

Programs

• Does the facility have a cargo/trailer inspection program in place?

  Yes

  No

  N/A