Module 2 - Level 2
MODULE 2, LEVEL
Auditee/Loc
FSC Codes
Audit #/Date
Auditor
CLAUSE
2.1
2.1.1
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Yes
Yes
No issues
Yes
No issues.
Yes
Need to include the organizations commitment to establish and review food safety
objectives.
No
Signed by CEO, Chairman of the board, 2 members of the board and the president
of the company.
English which is understood by all employees.
Yes
Displayed in the employee break rooms, in the visitors entrance, in the warehouse.
Yes
Yes
2.1.2.3
2.1.2.4
2.1.2.4 The senior management shall designate an SQF practitioner Matt Ciechanowski has been designated as the SQF Practitioner.
for each site with responsibility and authority to:
Yes
Yes
Included in the Policy manual SOP Management responsibilities FS 1.0.2 and in the
Lead SQF Practitioner's job description.
Reports directly to the president and at management review meetings. No issues
noted.
Yes
Yes
Yes
Yes
2.1.1.1
2.1.1.2
2.1.2
2.1.2.1
2.1.2.2
2.1.2.5
Yes
Senior management has established GMPs and provides training to all employees.
Yes
All visitors must read and sign GMP statement. The supplier has designated an SQF
Practitioner who has led the development of the SQF systems programs.
Yes
Yes
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Page 1 of 51
2.1.2.6
2.1.2.7
2.1.2.8
2.1.2.9
2.1.3
2.1.3.1
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
No issues. Verified through auditor interviews and discussions throughout the preassessment.
Certificate for Implementing SQF Systems dated 2/14/14.
Yes
Yes
Yes
2.1.2.8 Job descriptions for those responsible for food safety shall
be documented and include provision to cover for the absence of
key personnel.
2.1.2.9 The senior management shall establish processes to
improve the effectiveness of the SQF System to demonstrate
continuous improvement.
Reviewed job descriptions for the SQR Practitioner, QA Manager, Plant Manager, etc. Yes
No issues noted.
Yes
Yes
Yes
No issues.
Yes
Yes
Yes
Yes
Yes
No
2.1.3.2
2.1.4
2.1.4.1
Rev 1.5
Page 2 of 51
2.1.4.4
2.1.4.5
2.1.5
2.1.5.1
2.1.5.2
2.1.5.3
2.1.5.4
2.1.6
2.1.6.1
2.1.6.2
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Need to do
No
Yes
No
Yes
Yes
2.1.5.2 Trends of customer complaint data shall be investigated and Trends of customer complaints done in a customer complaints access file. No issues Yes
analyzed by personnel knowledgeable about the incidents.
noted.
2.1.5.3 Corrective action shall be implemented commensurate with
the seriousness of the incident and as outlined under 2.5.5.
No issues noted.
Yes
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Rev 1.5
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2.1.6.3
2.1.6.4
2.2
2.2.1
2.2.1.1
2.2.1.2
2.2.1.3
2.2.2
2.2.2.1
2.2.2.2
2.2.2.3
2.3
2.3.1
2.3.1.1
2.3.1.2
2.3.1.3
2.3.1.4
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Yes
No
See 2.1.6.3
No
Included in the policy manual Document Development, Control, and Change SOP FS Yes
2.1. Responsibility of the SQF Practitioner.
Register in electronic file in the Document Control Database FS 2.1.1
Yes
Yes
Yes
No issues noted.
Yes
Yes
Included in the policy manual Specification and Product Development SOP FS 3.1
Yes
Need to do.
No
Need to do.
No
Need to do.
No
Need to do.
No
Need to do.
No
2.3.1.4 A food safety plan shall be validated and verified for each
new product and its associated process through conversion to
commercial production and distribution, or where a change to
ingredients, process, or packaging occurs that may impact food
safety.
Included in the policy manual Specification and Product Development SOP FS 3.1
Yes
Rev 1.5
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2.3.2.1
2.3.2.2
2.3.2.3
2.3.2.4
2.3.2.5
2.3.2.6
2.3.2.7
2.3.3
2.3.3.1
2.3.3.2
2.3.4
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Yes
Yes
No
Yes
Yes
Yes
Yes
No
No issues noted.
Yes
Yes
Rev 1.5
Page 5 of 51
2.3.4.1
2.3.4.2
2.3.4.3
2.3.5
2.3.5.1
2.4
2.4.1
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
N/A
i. Verify all customer requirements are being met at all times; and
N/A
N/A
N/A
Yes
In Process.
No
In Process.
No
No
No
2.4.1.1
2.4.1.2
2.4.2
2.4.2.1
2.4.2.2
No
Yes
Rev 1.5
Page 6 of 51
2.4.2.3
2.4.2.4
2.4.3
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Pest control, glass and brittle plastic, waste management, calibration, cleaning and
sanitizing, etc.
Yes
Weekly and monthly internal audits, pest control trend analysis, CAPAs.
Yes
Facility has 1 HACCP Plan with 4 flow diagrams for chips, popcorn, potato sticks
Yes
and potato stick room containing 3 CCPs which are magnet, metal detectors and Xray.
policy manual Food Safety Policy FS 4 specifies a food safety plan has been
developed and using the 7 principles of HACCP and prepared in accordance with
Codex HACCP Guidelines as required.
Yes
Yes
No issues noted.
Yes
Yes
No issues noted.
Yes
Yes
Yes
2.4.5.2
Yes
2.4.5.3
2.4.3.1
2.4.4
2.4.5
2.4.5.1
Yes
Rev 1.5
Page 7 of 51
SAMPLE
SAMPLE
CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
No issues noted.
Yes
2.4.5.4
2.4.5.5
2.4.6
2.4.6.1
2.4.6.2
2.4.7
2.4.7.1
ii. Reference to the rating of the level of risk applied to raw material Included in FS 18.2 Register for Ingredients.
ingredients, packaging materials and services and the approved
supplier;
iii. A summary of the food safety controls implemented by the
Included in FS 18.2 Register for Ingredients.
approved supplier;
iv. Methods for granting approved supplier status;
In the policy manual Supplier Certification SOP FS 18.1
Yes
Yes
No issues noted.
Yes
No issues noted.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Included in the policy manual Product Rework Process SOP FS 4.4 Responsibility of
the QC Manager.
Yes
Rev 1.5
Page 8 of 51
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Included in the policy manual Product Rework Process SOP FS 4.4 Responsibility of
the QC Manager.
Rework tracker FS 4.4.1
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
2.4.7.2
2.4.8
2.4.8.1
2.4.8.2
2.4.9
2.4.9.1
2.5
2.5.1
2.5.1.1
2.5.1.2
2.5.1.3
2.5.2
2.5.2.1
Yes
No
ii. Once all inspections and analyses are successfully completed and In process
documented to verify legislative and other established food safety
controls have been met.
2.4.8.2 Records of all product release shall be maintained.
In process
No
No
No
No
No
Yes
Yes
Yes
Yes
Yes
Yes
Rev 1.5
Page 9 of 51
2.5.2.2
2.5.3
2.5.3.1
2.5.4
2.5.4.1
2.5.4.2
2.5.5
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Yes
Yes
Yes
Yes
Yes
Yes
2.5.5.1
2.5.5.2
No
2.5.6
2.5.6.1
In progress
No
In progress
No
In progress
No
In progress
No
In progress
No
Rev 1.5
Page 10 of 51
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
No
Included in the policy manual Internal and Third Party Audits SOP FS 4.10 Need to
revise.
No
Need to revise
No
Need to revise
No
Need to revise
No
Need to revise
No
No issues noted.
Yes
2.5.7.3
No issues noted.
Yes
2.6
2.6.1
2.6.1.1
Included in the policy manual Product Identification and Trace SOP FS 14.2 QA
2.6.1.1 The methods and responsibility for identifying products
during all stages of production and storage shall be documented and Manager is responsible.
implemented. The product identification system shall be
implemented to ensure:
Included in the policy manual Product Identification and Trace SOP FS 14.2 QA
Manager is responsible.
Yes
Included in the policy manual Product Identification and Trace SOP FS 14.2 QA
Manager is responsible.
No issues noted.
Yes
Included
Manager
Included
Manager
Yes
Included in the policy manual Product Identification and Trace SOP FS 14.2 QA
Manager is responsible.
Tested last on 4/24/13.
Yes
2.5.7.1
2.5.7.2
2.6.1.2
2.6.2
2.6.2.1
Yes
Yes
Yes
Rev 1.5
Page 11 of 51
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
2.6.2.2 Records of raw and packaging material receipt and use, and No issues noted. In the SQF Practitioner's office.
product dispatch and destination shall be maintained.
2.6.3
2.6.3.1
2.6.3.2
2.6.3.3
2.6.3.4
2.7
2.7.1
2.7.1.1
2.7.1.2
2.8
2.8.1
Appears to Comply?
Yes
Yes
Yes
Yes
No
Yes
Included in the policy manual Food Defense Management Plan SOP FS 13.1
Yes
No
Yes
No
Included in the policy manual Food Defense Management Plan SOP FS 13.1
Yes
Included in the policy manual Food Defense Management Plan SOP FS 13.1
Yes
Included in the policy manual Food Defense Management Plan SOP FS 13.1
Yes
Included in the policy manual Food Defense Management Plan SOP FS 13.1
Yes
Yes
Rev 1.5
Page 12 of 51
2.8.2.1
2.8.2.2
2.8.2.3
2.8.2.4
2.9
2.9.1
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Included in the policy manual Allergen Control Program FS 12.1 Need to identify
responsibility
No
Needs to be current
No
No issues noted
Yes
Yes
Yes
Yes
No
Yes
No issues.
Yes
2.8.2.3 The product trace system shall take into consideration the
conditions under which allergen containing foods are manufactured
and ensure full trace back of all ingredients used.
Yes
No issues noted
Yes
2.9 Training
2.9.1 Training Requirements
Rev 1.5
Page 13 of 51
2.9.1.1
2.9.2
2.9.2.1
2.9.3
2.9.3.1
2.9.4
2.9.4.1
2.9.5
2.9.5.1
2.9.6
2.9.6.1
2.9.7
2.9.7.1
SAMPLE
SAMPLE
REQUIREMENT
AUDITOR OBSERVATION
2.9.1.1 Appropriate training shall be provided for personnel carrying Included in the policy manual Training SOP FS 16.1
out the tasks critical to the effective implementation of the SQF
Level 2 System and the maintenance of food safety and regulatory
requirements.
Appears to Comply?
Yes
Yes
Yes
Yes
Yes
Yes
Included in the policy manual in the Rare Magnet SOP fs 9.3, in the X-Ray Check
SOP FS 9.5 , in the Metal Detector Check FS 9.7.
Yes
No issues noted.
Yes
Yes
Annual refresher training included in the policy manual Training SOP FS 16.1
Yes
Yes
2.9.3 Instructions
2.9.3.1 Instructions shall be available explaining how all tasks
critical to meeting regulatory compliance, the maintenance of food
safety and process efficiency are to be performed.
2.9.5 Language
2.9.5.1 Training materials and the delivery of training shall be
provided in language understood by staff.
Yes
Yes
Yes
Yes
No
vi. Supervisors verification the training was completed and that the
trainee is competent to complete the required tasks.
No
Rev 1.5
Page 14 of 51
SAMPLE
SAMPLE
CLAUSE
REQUIREMENT
Audit Objective:
In the context of food safety management system audits, PJR is not certifying or attesting to the safety or fitness of any product or service or whether the organizations employees are
operating in compliance with all food safety regulations at all times. Rather, PJR is only reviewing a particular management system at a particular time to assess whether it appears to be
compliant with a particular standard.
AUDITOR OBSERVATION
Appears to Comply?
Rev 1.5
Page 15 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Management Commitment
The producer/supplier shall provide evidence of its commitment to
implement and maintain an effective SQF System and to support its
ongoing improvement.
2.1.1
2.1.1.1
2.1.1.2
2.1.2
2.1.2.1
2.1.2.3
2.1.2.4
2.1.2.2
2.1.2.5
Rev 1.5
Page 16 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.1.2.6
2.1.2.9
2.1.3
2.1.3.1
2.1.2.7
2.1.2.8
2.1.3.2
Rev 1.5
Page 17 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.1.3.3
2.1.4
2.1.4.1
2.1.4.2
2.1.4.3
2.1.4.4
2.1.4.5
2.1.5
2.1.5.1
2.1.5.2
2.1.5.3
2.1.5.4
2.1.6
Rev 1.5
Page 18 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.1.6.1
2.1.6.2
2.1.6.3
2.1.6.4
2.2
2.2.1
2.2.1.1
2.2.1.2
2.2.1.3
2.2.2
2.2.2.1
2.2.2.2
Rev 1.5
Page 19 of 51
2.2.2.3
2.3
2.3.1
2.3.1.1
2.3.1.2
2.3.1.3
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.3.1.4
2.3.1.5
2.3.2
2.3.2.1
2.3.2.2
2.3.2.3
2.3.2.4
2.3.2.5
2.3.1.4 A food safety plan and food quality plan shall be validated
and verified for each new product and its associated process
through conversion to commercial production and distribution, or
where a change to ingredients, process, or packaging occurs that
may impact food safety or quality.
2.3.1.5 Records of all product design, process development, shelf
life trials and approvals shall be maintained.
Rev 1.5
Page 20 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
i. Certification that all packaging that comes into direct contact with
food meets either regulatory acceptance or approval criteria.
Documentation shall either be in the form of a declaration of
continued guarantee of compliance, a certificate of conformance, or
a certificate from the applicable regulatory agency.
ii. In the absence of a certificate of conformance, certificate of
analysis, or letter of guarantee, tests and analyses to confirm the
absence of potential chemical migration from the packaging to the
food contents shall be conducted and records maintained.
2.3.2.6
2.3.2.7
2.3.3
2.3.3.1
2.3.3.2
2.3.4
2.3.4.1
2.3.4.2
2.3.4.3
2.3.5
2.3.5.1
2.3.5.2
Rev 1.5
Page 21 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.4.1.1
2.4.1.2
2.4.2
2.4.2.1
2.4.2.2
2.4.2.3 Those pre-requisite programs applicable to the scope of
certification that outline the means by which food safety is
controlled and assured shall be documented and implemented.
2.4.2.3
2.4.2.4
2.4.3
2.4.3.1
Rev 1.5
Page 22 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.4.4
2.4.4.1
i. Outline the results of a food quality risk analysis conducted to
identify threats to achieving and maintaining product and process
quality;
ii. Prescribe those measures taken to apply the controls
implemented that are critical to assuring, monitoring and
maintaining food quality;
iii. Include process controls at quality points in production to
monitor product quality, identify when a process is deviating from
set parameters and make corrections to keep a process under
control;
iv. Cover a food or food group and the associated processes; and
v. Include documented Standard Operating Procedures (SOPs) and
Work Instructions (WI) applicable to the organization's scope of
certification.
2.4.4.2 Use of the SQF quality shield shall follow the requirements
outlined in Appendix 3: SQF Quality Shield and Logo Rules of Use.
2.4.4.2
2.4.5
2.4.5.1
Rev 1.5
Page 23 of 51
REQUIREMENT
2.4.5.2
2.4.5.3
2.4.5.4
AUDITOR OBSERVATION
Appears to Comply?
i. Agreed specifications;
ii. Reference to the rating of the level of risk applied to raw material
ingredients, packaging materials and services and the approved
supplier;
iii. A summary of the food safety and quality controls implemented
by the approved supplier;
iv. Methods for granting approved supplier status;
v. Methods and frequency of monitoring approved suppliers;
vi. Details of the certificates of conformance if required; and
2.4.5.5
2.4.6
2.4.6.1
Rev 1.5
Page 24 of 51
2.4.7.1
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.4.7.2
2.4.8
2.4.8.1
2.4.8.2
2.4.9
2.4.9.1
2.5
2.5.1
2.5.1.1
2.5.1.2
2.5.1.3
2.5.2
Rev 1.5
Page 25 of 51
REQUIREMENT
2.5.2.1
AUDITOR OBSERVATION
Appears to Comply?
2.5.2.2
2.5.3
2.5.3.1
2.5.4
2.5.4.1
2.5.4.2
2.5.5
2.5.5.1
2.5.5.2
2.5.6
Rev 1.5
Page 26 of 51
2.5.6.1
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.5.6.2
2.5.7
2.5.7.1
Rev 1.5
Page 27 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.5.7.3
2.6
2.6.1
2.6.1.1
2.5.7.2
2.6.1.2
2.6.2
2.6.2.1
2.6.2.2
2.6.3
2.6.3.1
Rev 1.5
Page 28 of 51
2.7.1.1
2.7.1.2
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.8
2.8.1
2.8.1.1
2.8.1.2
2.8.1.3
Rev 1.5
Page 29 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.8.1.4
2.8.1.5
2.8.1.6
2.8.1.7
2.8.1.8
2.8.2
2.8.2.1
Rev 1.5
Page 30 of 51
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.8.2.2
2.8.2.3
2.8.2.4
2.9
2.9.1
2.9.1.1
2.9.2
2.9.2.1
2.8.2.3 The product trace system shall take into consideration the
conditions under which allergen containing foods are manufactured
and ensure full trace back of all ingredients used.
2.8.2.4 Re-working of product containing allergen causing agents
shall be conducted under conditions that ensure product safety and
integrity is maintained. Re-worked product containing allergens shall
be clearly identified and traceable.
2.9 Training
2.9.1 Training Requirements
2.9.1.1 Appropriate training shall be provided for personnel carrying
out the tasks critical to the effective implementation of the SQF
Level 3 System and the maintenance of food safety, regulatory
requirements, and quality.
2.9.3
2.9.3 Instructions
Rev 1.5
Page 31 of 51
2.9.3.1
2.9.4
2.9.4.1
2.9.5
2.9.5.1
2.9.6
2.9.6.1
2.9.7
2.9.7.1
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
2.9.5 Language
2.9.5.1 Training materials and the delivery of training shall be
provided in language understood by staff.
Audit Objective:
In the context of food safety management system audits, PJR is not certifying or attesting to the safety or fitness of any product or service or whether the organizations employees are
operating in compliance with all food safety regulations at all times. Rather, PJR is only reviewing a particular management system at a particular time to assess whether it appears to be
compliant with a particular standard.
Rev 1.5
Page 32 of 51
REQUIREMENT
11.1
11.1.1
11.1.1.1
11.1.1.2
11.1.2
11.1.2.1
11.2
11.2.1
11.2.1.1
11.2.2
11.2.2.1
11.2.2.2
11.2.2.3
11.2.2.4
AUDITOR OBSERVATION
Appears to Comply?
Yes
No
11.1.2.1 The construction and ongoing operation of the premises on Permits and licenses available.
the site shall be approved by the relevant authority.
Yes
Yes
Some floor issues. Some worn parts, some cracks and crevices.
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
11.2.3
11.2.3.1
Yes
11.2.3.2
11.2.3.2 Wall to wall and wall to floor junctions shall be designed to No issues noted.
be easily cleaned and sealed to prevent the accumulation of food
debris.
11.2.3.3 Ducting, conduit and pipes that convey services such as
Constructed of stainless steel. No issues noted.
steam or water shall be designed and constructed so as to allow
ease of cleaning.
11.2.3.4 Doors, hatches and windows and their frames shall be of a No issues noted.
material and construction which meets the same functional
requirements for internal walls and partitions.
Yes
11.2.3.3
11.2.3.4
Yes
Yes
Rev 1.5
Page 33 of 51
Auditee/Loc
FSC Codes
Audit #/Date
Auditor
CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
No issues noted.
Yes
Need to address.
No
11.2.3.5
Yes
11.2.3.6
No
11.2.4
11.2.4.1
11.2.5
11.2.5.1
No
No issues noted.
Yes
11.2.5.2
No issues noted.
Yes
11.2.5.3
11.2.6
11.2.6.1
11.2.6.2
11.2.7
11.2.7.1
11.2.7.2
No issues noted.
No
No
No
Yes
Rev 1.5
Page 34 of 51
Auditee/Loc
FSC Codes
Audit #/Date
Auditor
CLAUSE
REQUIREMENT
11.2.7.3
Yes
i. A self-closing device;
No issues noted.
Yes
Not applicable
N/A
Not applicable
N/A
No issues noted.
Yes
No issues noted.
Yes
11.2.7.4
Yes
11.2.8
11.2.8.1
11.2.8 Ventilation
11.2.8.2
AUDITOR OBSERVATION
Appears to Comply?
No issues noted.
Yes
No issues noted.
Yes
Yes
ii. Fans and exhaust vents shall be fly proofed and located so as not Need screening over vents.
to pose a contamination risk; and
iii. Where appropriate, positive air-pressure system shall be installed Not applicable.
to prevent airborne contamination.
No
N/A
11.2.9
11.2.9.1
Included in the policy manual Preventive and Emergency Maintenance Program SOP Yes
FS 17.1
11.2.9.2
No issues noted.
Yes
In computer system.
Yes
Yes
Yes
Included in the Maintenance GMPs included in the policy manual Preventive and
Emergency Maintenance Program SOP FS 17.1.
Rev 1.5
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REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
No
No
vi. Remove all tools and debris from any maintenance activity once
it has been completed and inform the area supervisor and
maintenance supervisor so appropriate hygiene and sanitation can
be completed prior to the commencement of facility operations.
No
11.2.9.3
In electronic form
No
11.2.9.4
11.2.9.4 Equipment located over product or product conveyors shall No issues noted.
be lubricated with food grade lubricants and their use controlled so
as to minimize the contamination of the product.
Yes
11.2.9.5
No
11.2.10
11.2.10.1
11.2.10 Calibration
11.2.10.1 The methods and responsibility for the calibration and re- Included in the policy manual Calibration Policy FS 5
calibration of measuring, test and inspection equipment used for
monitoring activities outlined in pre-requisite program, food safety
plans and food quality plans and other process controls, or to
demonstrate compliance with customer specifications shall be
documented and implemented.
Yes
11.2.10.2
No
11.2.10.3
11.2.10.3 Calibrated measuring, test and inspected equipment shall Need to put into procedure.
be protected from damage and unauthorized adjustment.
No
11.2.10.4
No issues noted.
Yes
11.2.10.5
No issues noted.
Yes
11.2.10.6
11.2.11
No issues noted.
Rev 1.5
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CLAUSE
REQUIREMENT
11.2.11.1
11.2.11.2
11.2.11.3
11.2.11.4
11.2.11.5
11.2.11.6
AUDITOR OBSERVATION
Appears to Comply?
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
No issues noted.
Yes
Yes
Yes
Yes
No issues noted
Yes
ii. Use only trained and qualified operators who comply with
regulatory requirements;
iii. Use only approved chemicals;
No issues noted
Yes
No issues noted
Yes
No issues noted
Yes
Rev 1.5
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Auditor
CLAUSE
11.2.11.7
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
Yes
vi. Provide a written report of their findings and the inspections and
treatments applied.
11.2.11.7 The supplier shall dispose of unused pest control
chemicals and empty containers in accordance with regulatory
requirements and ensure that:
i. Empty chemical containers are not reused;
No issues noted
Yes
No issues noted
Yes
No issues noted
Yes
ii. Empty containers are labeled, isolated and securely stored while No issues noted
awaiting collection; and
iii. Unused and obsolete chemicals are stored under secure
No issues noted.
conditions while waiting authorized disposal by an approved vendor.
Yes
Yes
11.2.12
11.2.12.1
No issues noted
Yes
No issues noted.
Yes
11.2.12.3
No
11.2.12.4
11.2.12.4 Waste and overflow water from tubs, tanks and other
equipment shall be discharged direct to the floor drainage system.
No issues noted
Yes
11.2.12.5
No issues noted.
Yes
11.2.12.6
Need to address protective clothing issue wearing clothes outside or into rest rooms No
etc.
11.2.13
11.2.13.1
11.2.12.2
Yes
i. What is to be cleaned;
OK
Yes
OK
Yes
OK
Yes
OK
Yes
Rev 1.5
Page 38 of 51
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Audit #/Date
Auditor
CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
No
11.2.13.3
Yes
11.2.13.4
Yes
11.2.13.5
Yes
11.2.13.6
Yes
No issues noted.
Yes
Yes
Yes
Yes
Yes
In process
No
Yes
Yes
11.2.13.2
11.2.13.7
11.2.13.8
11.3
11.3.1
Yes
Yes
Rev 1.5
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CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
11.3.1.1
Included in the policy manual Personnel Hygiene and Welfare Policy FS 15 and GMPs Yes
Personnel Practiced FS 15.2
11.3.1.3
Included in the policy manual Personnel Hygiene and Welfare Policy FS 15 and GMPs Yes
Personnel Practiced FS 15.2
11.3.2
11.3.2.1
11.3.2.2
11.3.2.2 Hand wash basins shall be constructed of stainless steel or No issues noted.
similar non-corrosive material and as a minimum supplied with:
Yes
No issues noted
Yes
No issues noted
Yes
No issues noted
Yes
No issues noted
Yes
N/A
N/A
N/A
N/A
11.3.2.4
No issues noted
Yes
11.3.2.5
No
No issues
Yes
No issue
Yes
No issue
Yes
No issue
Yes
No
No
Addressed earlier
No
11.3.1.2
11.3.2.3
11.3.2.6
11.3.3
11.3.3.1
Appears to Comply?
Included in the policy manual Personnel Hygiene and Welfare Policy FS 15 and GMPs Yes
Personnel Practiced FS 15.2
Included in the policy manual Personnel Hygiene and Welfare Policy FS 15 and GMPs Yes
Personnel Practiced FS 15.2. No issues noted.
11.3.3 Clothing
11.3.3.1 Clothing worn by staff engaged in handling food shall be
maintained, stored, laundered and worn so as not to present a
contamination risk to products.
Rev 1.5
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CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
11.3.3.2
11.3.3.2 Staff engaged in high risk areas shall change into clean
clothing or don temporary protective outerwear when entering high
risk areas.
11.3.3.3 Clothing including shoes shall be clean at the
commencement of each shift and maintained in a serviceable
condition. Excessively soiled uniforms shall be changed where they
present a product contamination risk.
Not applicable
N/A
No
11.3.3.4
No
11.3.4
11.3.4.1
11.3.5
11.3.5.1
11.3.5 Visitors
11.3.5.2
11.3.3.3
11.3.5.3
11.3.4.1 Jewelry and other loose objects shall not be worn or taken Included in the policy manual GMPs Personnel Practives FS 15.2
into a food handling or processing operation or any area where food
is exposed. The wearing of plain bands with no stones and medical
alert bracelets that cannot be removed can be permitted, however
the supplier will need to consider their customer requirements and
the applicable food legislation.
11.3.5.4
11.3.5.4 Visitors shall enter and exit food handling areas through
the proper staff entrance points and comply with all hand washing
and personnel practice requirements.
11.3.6
11.3.6.1
11.3.7
11.3.7.1
11.3.7.2
11.3.7.3
Yes
Included in the policy manual Personnel Hygiene and Welfare Policy FS 15 and GMPs Yes
Personnel Practiced FS 15.2
No
No issues noted
Yes
No issues noted
Yes
Not Applicable
N/A
No issues noted
Yes
Rev 1.5
Page 41 of 51
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Auditor
CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
11.3.7.4
Not Applicable
N/A
11.3.8
11.3.8.1
11.3.8 Laundry
Contract Service Provider Cintas
Yes
11.3.9
11.3.9.1
No issues noted
Yes
ii. Accessed from the processing area via an airlock vented to the
exterior or through an adjoining room;
iii. Sufficient in number for the maximum number of staff;
No
No issues noted
Yes
No issues noted.
Yes
Yes
11.3.9.2
11.3.9.3
11.3.10
11.3.10.1
11.3.10.2
Yes
Yes
No issue noted
Yes
OK
Yes
ii. Provided with adequate tables and seating to cater for the
maximum number of staff at one sitting;
iii. Equipped with a sink serviced with hot and cold potable water for
washing utensils;
iv. Equipped with refrigeration and heating facilities enabling them
to store or heat food and to prepare non-alcoholic beverages if
required; and
v. Kept clean and free from waste materials and pests.
OK
Yes
No
No issues noted.
No issues noted
11.3.10.3
11.3.11
11.3.11.1
11.4
11.3.11.1 First aid facilities shall be provided to treat minor injuries Located in warehouse, production office, Hospital approximately 3 miles away
and suitable arrangements shall be provided in circumstances when
a patient requires more specialized care.
Yes
No
Yes
Rev 1.5
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CLAUSE
REQUIREMENT
11.4.1
AUDITOR OBSERVATION
Appears to Comply?
11.4.1.1
No issues
Yes
No issues
Yes
Included in GMPs
Yes
Need to address.
No
No
No issues noted
Yes
Not applicable
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
11.4.1.3
11.4.1.3 All wash down hoses shall be stored on hose racks after
use and not left on the floor.
No issues
Yes
11.5
11.5.1
11.5.1.1
Yes
11.5.1.2
Yes
11.4.1.2
No issues
Rev 1.5
Page 43 of 51
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Auditor
CLAUSE
REQUIREMENT
11.5.2
11.5.2.1
AUDITOR OBSERVATION
Appears to Comply?
No issues
No issues
No issues
Yes
Yes
Yes
Not Applicable
N/A
11.5.3
11.5.3.1
11.5.3.2
11.5.4
11.5.4.1
11.5.4.2
11.5.4.3
Yes
Yes
Yes
Yes
Yes
N/A
N/A
11.5.5
11.5.5.1
N/A
11.5.5.2
N/A
11.5.6
11.5.6.1
11.5.6 Analysis
11.5.6.1 Microbiological analysis of the water and ice supply shall be Conducted annually by the city and by testing.
conducted to verify the cleanliness of the supply, the monitoring
activities and the effectiveness of the treatment measures
implemented.
Yes
11.5.6.2
Yes
11.5.7
11.5.7.1
No issues noted.
11.5.7.1 Compressed air used in the manufacturing process shall be No issues. Filters inspected and changed.
clean and present no risk to food safety;
Yes
Rev 1.5
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REQUIREMENT
11.5.7.2
11.5.7.2 Compressed air used in the manufacturing process shall be No issues. Filters inspected and changed.
regularly monitored for purity.
11.6
11.6.1
11.6.1.1
N/A
N/A
N/A
11.6.1.2
N/A
11.6.1.3
N/A
N/A
11.6.1.5
No issues noted
Yes
11.6.2
11.6.2.1
No issues noted
Yes
11.6.2.2
No issues noted
Yes
11.6.2.3
11.6.2.3 Vehicles used in food contact, handling or processing zones Electric and propane
or in cold storage rooms shall be designed and operated so as not
to present a food safety hazard.
11.6.3
11.6.3.1
11.6.4
11.6.1.4
AUDITOR OBSERVATION
No issues
Appears to Comply?
Yes
Yes
Yes
Rev 1.5
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REQUIREMENT
11.6.4.1
AUDITOR OBSERVATION
Yes
11.6.4.2
Yes
11.6.4.3
11.6.4.3 Daily supplies of chemical used for continuous sanitizing of No issues noted.
water or as a processing aid, or for emergency cleaning of food
processing equipment or surfaces in food contact zones, may be
stored within or in close proximity to a processing area provided
access to the chemical storage facility is restricted to authorized
personnel.
Yes
11.6.4.4
11.6.4.4 Pesticides, rodenticides, fumigants and insecticides shall be Not Applicable. Provided by the contract service provider.
stored separate from sanitizers and detergents. All chemicals shall
be stored in their original containers.
Yes
11.6.4.5
No issues noted
Appears to Comply?
Yes
No issues noted
Yes
Need signage
No
No issues noted
Yes
No
No
No
No
No
11.6.5
11.6.5.1
11.6.5.1 Where goods described in 11.6.1 to 11.6.4 are held under Need to conduct a risk analysis.
temporary or overflow conditions that are not designed for the safe
storage of goods, a risk analysis shall be undertaken to ensure there
is no risk to the integrity of those goods or contamination or
adverse effect on food safety and quality.
11.6.6
No
Rev 1.5
Page 46 of 51
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Auditor
CLAUSE
REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
11.6.6.1
Yes
11.6.7
11.6.7.1
11.6.7 Loading
11.6.7.1 Vehicles (trucks/vans/containers) used for transporting
food shall be inspected prior to loading to ensure they are clean, in
good repair, suitable for the purpose and free from odors or other
conditions that may impact negatively on the product.
No
11.6.7.2
No issues noted.
Yes
11.6.8
11.6.8.1
11.6.8 Transport
11.6.8.1 Refrigerated units shall maintain the food at required
Not Applicable. Products transported at ambient temperature.
temperatures and the units temperature settings shall be set,
checked and recorded before loading and core product temperatures
recorded at regular intervals during loading as appropriate.
N/A
11.6.8.2
N/A
11.6.9
11.6.9.1
11.6.9 Unloading
11.6.9.1 Prior to opening the doors, the refrigeration units storage
temperature settings and operating temperature shall be checked
and recorded. Unloading shall be completed efficiently and product
temperatures shall be recorded at the commencement of unloading
and at regular intervals during unloading.
N/A
11.6.9.2
No issues noted.
Yes
11.7
11.7.1
11.7.1.1
Separation of Functions
11.7.1 Process Flow
No issues noted.
Yes
11.7.2
Rev 1.5
Page 47 of 51
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REQUIREMENT
11.7.2.1
11.7.2.1 Dry ingredients and packaging shall be received and stored Not an issue. No frozen or chilled products.
separately from frozen and chilled raw materials to ensure there is
no cross contamination. Unprocessed raw materials shall be
received and segregated to ensure there is no cross contamination.
AUDITOR OBSERVATION
11.7.3
11.7.3.1
Appears to Comply?
Yes
N/A
11.7.3.3
N/A
11.7.3.4
N/A
11.7.4
11.7.4.1
11.7.3.2
N/A
11.7.4.1 The Processing of high risk food shall be conducted under Not applicable. No high risk processes
controlled conditions such that:
i. Sensitive areas in which high risk food has undergone a kill step, Not applicable. No high risk processes
a food safety intervention or is subject to post process handling,
are protected/segregated from other processes, raw materials or
staff who handle raw materials to ensure cross contamination is
minimized;
N/A
ii. Areas in which high risk processes are conducted are only
Not applicable. No high risk processes
serviced by staff dedicated to that function;
iii. Staff access points are located, designed and equipped to enable Not applicable. No high risk processes
staff to don distinctive protective clothing and to practice a high
standard of personal hygiene to prevent product contamination;
N/A
N/A
N/A
Yes
11.7.5
11.7.5.1
N/A
N/A
Rev 1.5
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REQUIREMENT
AUDITOR OBSERVATION
Appears to Comply?
11.7.5.2
No
11.7.5.3
11.7.5.3 The use of temporary fasteners such as string, wire or tape Need to go through the facility and identify areas where this has occurred and also
to fix or hold equipment shall not be permitted.
need to communicate this to maintenance.
11.7.5.4
11.7.5.5
11.7.5.6
11.7.5.7
No
i. All glass objects or similar material in food handling/contact zones Included in FS 9.1.1 Glass/Hard Plastic Inventory
shall be listed in a glass register including details of their location;
Yes
Yes
Yes
No
Need in writing
No
No issues noted.
Yes
Need to address.
Yes
11.7.6
11.7.6.1
No issues noted
Yes
11.7.6.2
No issues noted
Yes
11.7.6.3
No issues noted
Yes
Rev 1.5
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Auditor
CLAUSE
REQUIREMENT
11.7.7
11.7.7.1
11.7.7.2
AUDITOR OBSERVATION
Appears to Comply?
Yes
Included in the policy manual Glass and Hard Plastic Breakage Clean Up Procedure SOP FS 9.2 Yes
11.8
11.8.1
11.8.1.1
On-Site Laboratories
11.8.1 Location
N/A
11.8.1.2
11.8.1.3
Not applicable
N/A
11.9
11.9.1
11.9.1.1
Waste Disposal
11.9.1 Dry and Liquid Waste Disposal
Yes
11.9.1.2
Yes
11.9.1.3
11.9.1.4
No issues noted.
N/A
Yes
Yes
Rev 1.5
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REQUIREMENT
11.9.1.5
11.9.1.6
11.1
11.10.1
11.10.1.1
Exterior
11.10.1 Grounds and Roadways
11.10.1.2
11.10.1.2 Paths, roadways and loading and unloading areas shall be No issues noted.
maintained so as not to present a hazard to the food safety
operation of the premises.
11.10.1.3 Surroundings shall be kept neat and tidy and not present No issues noted
a hazard to the hygienic and sanitary operation of the premises.
Yes
Yes
11.10.1.3
11.10.1.4
Audit Objective:
AUDITOR OBSERVATION
Appears to Comply?
No issues noted.
Yes
Yes
No
No issues noted.
Yes
In the context of food safety management system audits, PJR is not certifying or attesting to the safety or fitness of any product or service or whether the organizations employees are
operating in compliance with all food safety regulations at all times. Rather, PJR is only reviewing a particular management system at a particular time to assess whether it appears to be
compliant with a particular standard.
Rev 1.5
Page 51 of 51