Webinar FSSC 22000 audit report7th september 2015

“To be the world’s leading, independent, GFSI recognized, ISO based food safety and quality management system for the

entire food supply chain.”

Mission FSSC 22000

Today’s topics

1. Basics audit reporting2. Definition audit report3. Audit report requirements4. Audit findings5. Audit report modules (template)6. Conclusions

1. Basics audit reporting

Where does the audit report fit in the accredited certification process?

Who is the audit report written for? How important is the audit report? What decisions are derived from the

audit report? Who prepares the audit report?

Starting point – Basic questions

Audit report basics

The audit report is prepared by the auditor. The audit report is a written record of the audit. The FSSC report, shall give confidence that the

certified organization has all basic FSMS conditions and PRP’s well managed and fulfilled.

The audit report shall provide an accurate, concise and clear record of the audit to enable an informed certification decision to be made by the certification body.

Audit report basics

The audit report shall include sufficient detail to ensure that it clearly expresses where the processes of the audited site are in compliance, or not in compliance, with the scheme’s standard requirement.

In case where non-conformity is identified by the auditor, clear and concise detail of the non-conformity shall provided in the audit report.

2. Definition audit report

Audit report definition

The audit report is a transparent and to the point reflection of the findings of the auditor during the audit and shows clear evidence that all requirements are assessed and audited.

In the first place the fundamentals for defining how the FSMS works and what the company needs for its processes, and in the second place the verification that the FSMS works in practice.

ISO 22003:2013, clause 9.1.8 ISO 17021:2011, section 9.1.10 ISO 19011:2011, section 6.5 GFSI guidance document Part II, section 3.6 FSSC 22000 scheme document part II,

Appendix II A1, section 7

Enter Manufactures

Reference documents

3. Audit report requirements

Name and description of the organization Details of previous audit Details of existing certificates Details of relevant changes Details of complaints on food safety List of key personnel present at the audit Evidence that the client has seen and accepted the report Audit of the PRP requirements Results and conclusions Overview of non-conformities

Enter Manufactures

FSSC audit report requirements

The audit report shall cover all elements described in the format as indicated in FSSC scheme document Part II, Appendix IIB, in order to confirm that all requirements are assessed and reported.

All elements of ISO 22000, PRP standards and additional FSSC requirements.

Enter Manufactures

FSSC audit report requirements

In the result sections of the audit report conformance of compliance or non-compliance for each clause shall be indicated.

In the summary section positive evidence of confirming compliance for each section shall be provided.

In case of non-conformance detail shall be provided. Non-applicable clauses shall be motivated.

Enter Manufactures

FSSC audit report requirements

Required documentation

• Auditee acceptance of findings and non-conformities

• Audit working document (raw data)• Attendance sheet for audits• FSMS documentation review• Non-conformity report• Audit final report• Audit plan and/or final audit program• Description of main elements of the FSMS and

their interaction

Food Safety Management System

FSSC 22000 is about the certification of a management system. The report must show that the system (processes) are audited against

the scheme requirements. Main system areas are:

• Management• Personnel• Premises and facilities• Purchasing• Production• Laboratory facilities• Packing and dispatch• Products

Audit worksheet version - with example audit areas in columns A-H

 Basic traceability details

in this box

Audit area, (product, process, site)

Management

Personnel

Premises & Facilities

Purchasing

Production

Test Lab

Packing & Despatch

Products

Clause Title (ISO 22000) A B C D E F G H4 Food Safety

Management System               

4.1 General requirements                

4.2 Documentation requirements

               

5 Management responsibility

               

5.1 Management commitment

               

5.2 Food safety policy                

5.3Food safety management system planning

               

A statement of the conformity and the effictiveness of the management system together with a summary of evidence relating to:The capability of the MS to meet the aplicable requirements and expected outcomesThe internal audit and management review proces

A conclusion of appropiateness of the certifiction scope Confirmation that the audit objectives have been

fulfilled

The report shall also contain

What information MUST be included in the report?

• Stage 1 (documentation review; Readiness)• Stage 2 (certification audit; Effectiveness)• Surveillance (maintain confidence)• Re-certification (Effectiveness, Commitment,

Achievement of objectives)

Minimum information required

4. Audit findings

Audit findings

OFI Area of concern Major non-conformity Minor non-conformity

Opportunity for improvement (OFI)

The auditor may identify opportunities for improvement during the audit.

Not an issue of non-compliance to a specific requirement but an observation by the auditor that will help the organization to improve.

Substantiated by objective evidence. No corrective actions are required.

Area of concern

A finding raised during the stage 1 audit that could be classified as a non-conformity during the stage 2 audit.

Substantiated by objective evidence. Corrective actions are required. Will be assessed during the stage 2 audit.

Minor non-conformity

Non-conformity that does not affect the capability of the management system to achieve the intended results.

Substantiated by objective evidence. Clear and concise detail of the minor non-

conformity shall provided in the audit report.

Major non-conformity Non-conformity that affects the capability of the

management system to achieve its intended results Significant doubt that effective process control is in place or

that products or services will meet specified requirements A number of minor non-conformities associated with the

same requirement or issue could demonstrate a systemic failure and thus constitute a major non-conformity

Substantiated by objective evidence. Clear and concise detail of the major non-conformity shall

provided in the audit report.

Corrective actions The certification body shall require the client to analyze and

describe the specific correction or corrective actions taken, or planned to be taken, to eliminate detected non-conformities, within a defined time.

The certification body shall review the corrections, identified causes and corrective actions submitted by the client to determine if these are acceptable.

the certification body shall verify the effectiveness of any corrections or corrective actions taken.

The evidence obtained to support resolution of non-conformities shall be recorded.

If necessary a additional on-site audit to verify effectiveness.

5. Audit report modules - Template

Audit report modules

Audit report modules

Head Office Description of the role the head office. Does the company belong to al larger group with a central head office? Does the head office control certain functions pertinent to certification? Name address County

Audit report modules

Audit report modules

Audit report modules

Audit report modules

Audit report modules

Audit report modules

Audit report modules

Audit report modules

6. Conclusions

Conclusion

Auditors do not issue certificates.

The audit report shall provide an accurate, concise and clear record of the audit to enable an informed certification decision to be made by the certification body.

Take a ways The auditor is out there doing his job. We all depend on the professional judgement

of the auditor. The auditor needs support to perform the audit

and to draft the audit report. The auditor does not issue certificates.

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