Audit Report Update October 2012

Report
Auditor Calibration
The webinar will start shortly
Auditor Calibration Webinar
(October 2012)
David Brackston &
John Figgins
Content
• Expectations of the audit process
• Review of key sections of the audit report
summary
• Non-conformity reporting
• Review of the detailed audit report
• Next steps
• Questions
Issue 6 Audit Format
Issue 6 introduced some behavioural changes in terms of the
format/style of the audit:
• 50% time in factory
• Opening of equipment during the audit to confirm
cleanliness
• Observation of changeovers and line sign off
• Inclusion of traceability exercise allowing a vertical audit
Audit Report
Global Standard for Food Safety Issue 6: July 2011
1.Audit Summary
Company name
The Bakers Oven
BRC site code
Site name
The Bakers Oven
Scope of audit
The production of bread rolls and buns.
Exclusions from scope
None
Audit finish date
2012-07-14
1768780
2. Results
Audit result
Certificated
Audit grade
B+
Audit type
Unannounced – option 2
Audit frequency
12 months
Re-audit due date
2013-07-14
Previous audit
grade
B
Previous audit date
2011-07-10
Number of non-conformities
Fundamental
Critical
Major
Minor
0
0
1
2
3.Company Details
Address
1 Pudding Lane London EC21 5XY
Country
UK
Commercial
representative
name
Ed Baker
Telephone
0116 2345678
Email
[email protected]
Scope Example (I)
Production and distribution of bread rolls and prepared sandwiches for catering and
wholesale.
Fully baked bread rolls (white, wholemeal and granary varieties) and ready to eat
sandwiches.
X

X

Milk receipt, design and development, production, ripening, packaging and shipping of
cheese. Production and shipping of milk by-products.
Soft cheese (e.g. brie) produced using pasteurised milk. Whey by-product packed into 25kg
drums.
Scope Example (II)
X


The preparation of ready meals containing vegetables, meats and sauces
employing: Brat pan cooking/frying, kettles blending and cooking, continuous tray
ovens and chargrills, blast chilling and hand packing for chilled and frozen
storage distribution.
The preparation of ready meals containing vegetables, meats and sauces.
Ingredients are fully cooked and packed chilled or frozen.
Comminuted poultry products, marinated and/or breaded. Products are flash
fried and chilled or frozen. Products are ready to eat or reheat.
Exclusions from Scope (I)
• Issue 6 restricts permitted exclusions to scope to
ensure:
o Clear management commitment
o Consistent standards across the site
o Protection of the CB and BRC in the event of
an incident
Exclusions from Scope
The exclusion of products produced at a site will only be acceptable where the
excluded products can be clearly differentiated from products within scope and
make up a minority of the products produced at the site and:
• the products are produced in a separate area of the factory or
• the products are produced on different production equipment, e.g. products
packed in glass jars in a cannery.
The Processing of canned tuna in oil & brine
X
Exclusions: canned yellow fin tuna
X
Products not specifically distinguishable
Scope Wording
F033: Guideline for defining wording of scope
Product Safety Rationale
The product safety rationale is designed to summarise the key
characteristics of the product and production processes that make the final
product microbiologically safe for consumption throughout its shelf life.
Finished product
safety rationale
Ambient stable, short shelf life (<7 days),
baked (minimum core temperature of 94oC),
Preservative (calcium propionate > 1000ppm)
Further guidelines will be published in due course
Assignment of High Care/Risk
• Issue 6 expanded the requirements for High Risk
and High Care:
o A guideline is available
o The site must be correctly assessed and
assigned
o It is important that the high risk/high care
status is accurately recorded on the audit
report
Non-Conformity Records
Minor
No.
Requirement
ref.
Details of nonconformity
2
3.4.1
Internal audit of
supplier
management
systems scheduled
for January had not
been carried out.
Corrective action taken
Audit now completed as
have audits scheduled for
October, November and
December.
Root cause analysis and proposed
action plan
Root Cause: Procedures didn’t
recognize the need for deputies and
therefore no alternative staff had the
appropriate qualifications/ training
when key staff were on long term
sickness.
Proposed Action: Internal audit
procedures updated to incorporate
deputies. The size of the internal audit
team will be increased to include
sufficient members. These staff will be
trained, as appropriate, for the
systems to be audited.
Evidence
provided
document,
photograph,
visit/other
Copy of audit
reports
Date
reviewed
Reviewed
by
M Oliver
06/08/
2012
Example
2.10.1
4.10.3.5
X

Major
Incomplete CCP monitoring – the non-ferrous test
piece is not used
Major
A non-ferrous test piece is not routinely used for
checking the metal detectors. The HACCP states that
metal detection is a CCP and critical limits have been
set for ferrous, stainless steel and non-ferrous test
pieces. Test procedure (reference MD1-11) states
these must be used for each metal detector check
during production.
Non-Conformity Records
Minor
No.
Requirement
ref.
Details of nonconformity
2
3.4.1
Internal audit of
supplier
management
systems scheduled
for January had not
been carried out.
Corrective action taken
Audit now completed as
have audits scheduled for
October, November and
December.
Root cause analysis and proposed
action plan
Root Cause: Procedures didn’t
recognize the need for deputies and
therefore no alternative staff had the
appropriate qualifications/ training
when key staff were on long term
sickness.
Proposed Action: Internal audit
procedures updated to incorporate
deputies. The size of the internal audit
team will be increased to include
sufficient members. These staff will be
trained, as appropriate, for the
systems to be audited.
Evidence
provided
document,
photograph,
visit/other
Copy of audit
reports
Date
reviewed
Reviewed
by
M Oliver
06/08/
2012
Non-Conformity Records
Minor
No.
Requirement
ref.
Details of nonconformity
2
3.4.1
Internal audit of
supplier
management
systems scheduled
for January had not
been carried out.
Corrective action taken
Audit now completed as
have audits scheduled for
October, November and
December.
Root cause analysis and proposed
action plan
Root Cause: Procedures didn’t
recognize the need for deputies and
therefore no alternative staff had the
appropriate qualifications/ training
when key staff were on long term
sickness.
Proposed Action: Internal audit
procedures updated to incorporate
deputies. The size of the internal audit
team will be increased to include
sufficient members. These staff will be
trained, as appropriate, for the
systems to be audited.
Evidence
provided
document,
photograph,
visit/other
Copy of audit
reports
Date
reviewed
Reviewed
by
M Oliver
06/08/
2012
Summary Sections (II)
2 The Food Safety Plan – HACCP
FUNDAMENTAL Statement of
Intent
The company shall have a fully implemented and effective food safety plan based on Codex Alimentarius HACCP
principles.
Y
HACCP Team led by Ian Greaves the Technical Manager who is trained (Campden 2007) and experienced with HACCP and included representatives from
engineering, production, development and hygiene. HACCP based on the principles of Codex Alimentarius initiated in 2004, last updates (now version 4)
17/11/11 and 28/01/12 with pre-requisites identified, verified and signed off by HACCP team. Customers’ codes of practice have been referred to.
Product description: Fresh products, baked on site with shelf life of 3-12 days stored ambient in plastic packaging.
Allergens present in recipes are labelled, and include wheat, milk, milk powder, soya, eggs and sesame seeds.
Recipe exceptions within product modules were identified and risks associated identified, e.g. the use of sesame seeds on burger buns. Gluten free and
organic products also produced.
3 generic parts covering bread, rolls and speciality rolls, although potential recipe variations between products within a generic group were identified.
Process steps: Receipt, inspection/sieving, storage, mixing, proving, baking, cooling, slicing, packing, metal detection, storage and despatch.
Significant hazards have been identified as foreign bodies specifically metal. The team have used a 4 step decision tree
CCPs (including quality considerations) = ingredient sieving (1.5-10mm), baking core temperature (min 94C), cooling temperature (max 25 C), metal
detection (2mm Fe, 2.5mm Non Fe, 3.5mm SS).
Critical limits had been agreed and signed off by team. Bake and cooling temperatures were based on published data for microbial growth (Campden).
Sieve size and MD sensitivities based on industry best practice.
CCPs are monitored and recorded every batch. Metal detectors checked hourly, sieve integrity checked start and end of shift. Non-conforming product
usually disposed of following sign off by Senior Manager.
Summary Sections (III)
4.10
Foreign body detection and removal equipment
Ingredients are sieved as previously detailed.
All products metal detected post packing.
Metal detectors tested hourly 2mm ferrous, 2.5mm Non-ferrous, 3.5mm
stainless steel. Tests include single products and consecutive products and
allow detected product to be rejected into a locked bin with belt stop,
audible and visual alarm.
No historical failed test seen in documented checks, however metal
detectors on both roll plants failed to reject ferrous and non-ferrous test
pieces during witnessed test. Refer major non-conformity number 1.
Maintenance of metal detectors is subcontracted.
4.10
Foreign body detection and removal equipment
Foreign body detection includes two CCPs - ingredient sieving & metal
detection.
All dry ingredients are sieved (1.5 – 10mm depending on the ingredient).
Sieve integrity is checked at the start and end of shift.
All products metal detected post packing.
Metal detectors are tested hourly using 2mm ferrous, 2.5mm Non-ferrous,
3.5mm stainless steel test pieces. Tests include single products and
consecutive products and allow detected product to be rejected into a
locked bin with belt stop, audible and visual alarm.
No historical failed tests were seen in documented checks (line 1 records
for June & July 2012 and line 2 May & June 2012), however metal
detectors on both roll plants failed to reject ferrous and non-ferrous test
pieces during the witnessed test. Refer to major non-conformity number 1.
Maintenance of metal detectors is subcontracted.
Conclusions
• Audit reports form an important part of the audit/certification process
• The audit report isn’t intended to be a time consuming exercise but it is
important that auditors record:
o Sufficient information
o Quality information
• Audit reports need to completed in a consistent way by all auditors
• Supporting documents are available on the BRC websites
(brcglobalstandards.com or myBRC)
o Recent guidelines
o Model reports
o Auditors’ checklists
• An audit report exercise is being developed by BRC and will be
circulated shortly
Next Steps
• Cascade to auditors
• Calibrate auditors
• Webinar recorded and available
• Follow up exercise
• Publication of Q & As
Questions?
[email protected]
www.brcglobalstandards.com

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