乐购的供应商审核.doc

Trading Law and TechnicalFood Legal Compliance AuditIssue 3.1January 2008Contents内容Audit Details 审核概要3Audit Summary 审核小结4Product Information 产品信息51. Document Audit 文件审核1.0Quality Management System 质量管理体系62.0Complaint handling and Customer Focus 投诉处理和以客户为中心73.0Internal Audit and Corrective Action 内审和改善措施74.0Pest Control 虫害控制 85.0Preventative Maintenance and Equipment维护保养和设备96.0 Foreign Body Controls 异物控制97.0Calibration 校准108.0Cleaning 清洁119.0Medical Screening 健康审查1210.0Water Quality 水质1211.0Environment 环境132. Site Audit 现场审核12.0Raw Materials 原料1413.0Packaging 包装材料1514.0Process Controls 加工控制1515.0Filling, Packing, Storage and Despatch充填，包装，存放和发货1716.0Personnel, Premises and Equipment 个人，厂房和设备1917.0Ethics道德规范21Audit Details 审核概要Tel No 电话号码: Fax No 传真:Product Details 产品明细Products supplied 供应的产品:Previous Audit Details 上次审核情况Date of last Hymall Legal Compliance Audit:上次审核日期：无Report seen YES / NO：上次审核报告: 有 / 无： 无Key Personnel 关键人员Name & Job Title: 姓名和职位Present at Audit: 审核时是否在场Opening 首次会议Site现场Closing 末次会议Y YYYY YYYYNNYDetails & Sign Off 结果及签署Reported Date 报告日期:2008、07、07Status结果:Conditional ApprovalApproval/ Conditional Approval/ RejectedSignature签名:Score:得分 7 %A9B3C3D2E0Special Checks 其他检查YesNoBusiness license 营业执照Tax license税务登记证Hygiene license卫生许可证If applicable, QS Certificate?QS 证书（若需要）Other Certificates其他证书：_Does the Site have an Internal Audit System? 是否有内审系统YDoes the Site have a HACCP or equivalent? 是否建立HACCP 体系YProduct name & coding of LCA test 合法性评估产品名称及批号无Audit Summary 审核小结Company Profile 公司简介:Audit Findings 审核不符合项及发现: Critical Non-conformities 关键不符合项:无Major Non-conformities 严重不符合项:1、Minor Non-conformities 一般不符合项:1注：Tesco Legou TL&T Food Legal Compliance AuditIssue 3.1 (Jan. 2008)Page 4 of 21Product information 产品信息Items项目Information信息Product name 产品名称Specification Standard Name产品标准Ingredients 配料表Shelf life 货架期Internal Package 内包装Outer Package 外包装Storage Condition 存放条件Other information 其他信息1. Document Audit 文件审核Compliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA1.0 Quality Management System 质量管理体系A Quality Management System is in place, which is maintained and regularly reviewed.已建立了质量管理体系，并定期维护和评估Quality Policy Statement exists stating intentions to produce, safe, legal, quality products.质量方针包括对产品安全，合法性和质量的承诺Quality Manual available, containing an outline of working methods and practices.建立了质量手册，包括工作方法和操作的框架。Authorised, controlled Quality Manual.质量手册是授权的，受控的All documents, procedures and work instructions are properly authorised and of the correct version.所有的文件，程序和作业指导书都是现行的，授权的Organisational structure showing responsibility and management authority.组织结构可以明确各自的职责和权限Details of deputising cover for staff with responsibility for product legality, safety and quality.和产品合法性，安全性和质量有关的关键员工有指定的代理人Systems in place to identify and manage emergent issues.有识别和管理紧急事件的体系，保留记录Defined period of record retention. 明确记录保留的期限Alterations to records appropriately authorised.记录的变更必须得到授权。A VBCDECompliant 符合性 Section 章节Non Conformance and Observations审核不符合项及发现YNNA2.0 Complaint Handling and Customer Focus 投诉处理和以客户为中心Customer complaints policy and procedures in place.建立了处理客户投诉的政策和程序Complaints recorded and analysed for trends.记录客户投诉并进行趋势分析Periodic reports sent to the relevant Tesco Legou Technical Manager, where appropriate.如有必要，定期将投诉报告提供给Tesco乐购的技术经理Performance indicators established relating to customer satisfaction and communicated to appropriate staff.建立了客户满意度指数，并将结果传达给相关员工Procedures in place for the management of incidents and product recall.管理风险事件的程序已建立，有产品召回程序Recall procedure tested in a manner to ensure effective operation.定期对产品召回程序进行测试，确保有效AVBCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA3.0 Internal Audit and Corrective Action 内审和改善措施Internal audits undertaken to ensure safety, legality and quality are maintained in accordance with the Quality Management System.定期进行内审，以确保在该质量管理体系下生产的产品是安全、合法和符合质量要求的Audits conducted by competent auditors.内审由具有资格和能力的人执行Audits scheduled and the scope and frequency established.内审时间是有计划的，其范围和频率已确定Records of audits retained and available.保留内审的记录Results of audits brought to the attention of the personnel responsible for the activity audit.审核的结果应通知相关责任人Compliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA3.0 Internal Audit and Corrective Action 内审和改善措施Corrective actions and time-scales agreed taking into account the nature of the non-conformance.根据不符合项的情况，确定合理的改善措施和完成时间表Corrective actions followed up to verify completion in a timely manner.对改善措施的完成情况按时进行验证AVBCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA4.0 Pest Control 虫害控制Pest Contractor or suitably trained internal staff 由虫害控制公司的技术人员或受过相应培训的指定员工进行虫害控制Site map showing the locations and type of pest control.有虫害控制布局图说明虫害控制种类及位置Records of regular inspection and treatment, detailing recommendations.定期对虫害控制的检查和处理进行记录，包括改进建议MSDS data for the safe use, application and storage of chemicals, where appropriate. 适当时所有化学药剂都有MSDS作为安全使用，应用及储存参考 Site adequately proofed.现场密封良好，害虫不易进入Drains and opening window fitted with screens to prevent pest entry. 排水沟和窗户都有适当的纱网以防止害虫进入Incoming raw materials thoroughly checked on arrival for absence of pest infestation, where appropriate.适当时原料验收时会进行虫害检查Correctly sited permanently operational electric fly killers and/or pheromone traps.正确放置常开的灭蝇灯和/或生化信息素诱饵。AVBCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA5.0 Preventative Maintenance and Equipment 维护保养和设备Preventative maintenance schedule in place and records of maintenance retained.制定了设备的维护和保养计划，保留记录Maintenance, including the replacing of light fittings and glass carried out in a way that does not jeopardise product safety and legality.维护保养时，包括更换照明设施和玻璃或易碎塑料时，应采取措施把对产品潜在的危害降到最低Outside contractors and all engineers made aware and adhere to the Company Hygiene Rules.外来工作人员和所有工程技术人员都要遵守公司卫生制度Equipment positioned so as to give access under, inside and around for ease of cleaning and servicing, or properly sealed to the floor. 设备安装的地方周围要易于清洁，或密封AVBCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA6.0 Foreign Body Controls 异物控制Documented procedure in place for the management of unplanned maintenance (breakdowns) and control records available to demonstrate the equipment was left in a clean and safe condition prior to hand back to production.建立了未计划性的维修（如突发故障）管理程序， 记录显示在移交给生产部门时，设备维修后进行了清洁和安全检查Detailed procedure in place for the handling of glass and hard clear plastic breakages in production, packing and storage areas.在原料处理，准备，加工，包装和贮存区域，应制定详细的书面程序处理玻璃及其他易碎物质的破碎Glass audits carried out at a frequency determined by risk assessment and records retained.根据风险评估，定期对玻璃进行检查，保留记录All glass and hard clear plastic items in production, packing and storage areas listed on a register.在原料处理，准备，加工，包装和贮存区域的所有玻璃和透明硬塑料都有登记Compliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA6.0 Foreign Body Controls异物控制Glass audits to demonstrate that items are intact.检查记录显示玻璃处于完整状况Documented wood policy, detailing where wood is acceptable.制定木制品政策，详细说明什么区域可以使用木制器具Wood in production, packing and storage areas, where appropriate eliminated.在原料处理，准备，加工，包装和贮存区域，如果可能，应排除木制品的使用ABV CDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA7.0 Calibration 校准Master list of monitoring and measuring equipment, requiring calibration available.测量和监视设备有校准清单Measuring and monitoring equipment critical to product safety and legality checked to ensure accuracy within agreed parameters at a predetermined frequency.应定期检查监控关键控制点和产品安全及合法性的测量设备的精确度，确保其在规定的范围内Equipment calibrated to recognised National Standards where possible at predetermined intervals.设备的校正必须以国家认可标准频率来进行Records of checks and calibration certificates available.保留校正记录和证书Equipment found outside of specified limits taken out of service, replaced or sent for repair. 当发现测量和监控设备的精密度超出规定的限值范围时，及时更换或修理ABV CDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA8.0 Cleaning 清洁Systems in place to minimise the accumulation of waste in production areas, and prevent the use of unfit materials.应有适当的制度使废弃物在加工区的积聚达到最少，防止使用不适宜的原料Waste disposal meets legislative requirements.废弃物的处置要符合法规的要求Documented Operating Procedures in place for the cleaning of premises, equipment and the use of chemicals.应建立书面的设施、设备的清洁程序和化学品使用程序Cleaning schedules in place.制定清洁计划Suitable chemical storage.化学品合理存放Cleaning practices to minimise the risk of contamination.应执行清洁规范以使污染的风险降到最低Chemical dilution and water temperature monitored, where appropriate.适当时，应监控化学品的浓度和水温Records of cleaning in accordance with schedule and procedures.记录显示清洁是按程序和计划执行的Effectiveness of cleaning verified (e.g. audit)验证清洁的有效性Food contact surface & environment swabbing进行食品接触面和环境的涂抹测试Systems in place for the management of non-conformance.建立不合格情况的管理体系CIP cleaning monitored and recorded.自动原位清洗系统清洁应监控和记录AVBCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA9.0 Medical Screening 健康审查Procedures in place for the notification by employees, (including temporary employees), of any relevant infectious disease or condition with which they may be suffering, or have been in contact with.公司应建立程序，要求所有员工，包括临时工，当患有传染病，或其他身体不适，或有接触过类似疾病时应通报Pre-employment health screening and Validate Healthy certificate in place.雇佣前的健康检查，上岗前应有健康证Procedures in place for return to work after foreign travel, where appropriate.适当时，员工出国/ 省回来后上班时应有报告和审查制度Visitors and Contractors complete a health questionnaire prior to entering production areas to check suitability to do so.来访者和分包商在进入原料、准备、加工、包装和储存区域前，应填写健康调查表AVBCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA10.0 Water Quality 水质Water used for cleaning, or in connection with any operation in the manufacture of product, where appropriate potable or suitably tested用于设备和车间的清洗，或者在食品的加工制作过程中的水源，都应符合饮用水标准The quality of water, steam or ice that comes into contact with food is regularly monitored.对直接与食品或包装接触的水、蒸汽、冰的质量应定期监测Schedule for water sampling, where appropriate.适当时，应定期对水进行抽样监测Compliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA10.0 Water Quality 水质Documented procedures for water sampling, including limits and tolerance.有对水样进行分析的程序，包括测试项目和限值Systems in place for the management of non-conformance.应建立不合格情况发生时处理方法ABVCDECompliant 符合性Section 章节Non Conformance and Observations审核不符合项及发现YNNA11.0 Environment 环境Site specific Environmental policy in place, detailing responsibility for meeting legislative requirements and how this is measured.建立的具体的环境政策，有具体的责任人负责符合法律要求和监测The Quality Management system ensures Environmental matters are managed.质量管理体系应确保环境问题也包括在内No serious Environmental issues identified in any audit, which have not been effectively managed.在任何审核中，都没有发现尚未被解决的严重的环境问题No Environmental issues identified on the day of audit.审核当天没有发现环境问题ABCDVE2. Site Audit 现场审核Compliant 符合性Section 章节Non Conformance and Observations 审核不符合项及发现YNNA12.0 Raw Materials 原料Procedures in place for the checking of incoming raw materials按进货检验程序进行进货检验.Raw material sampling/testing in accordance with schedule.按计划进行原料抽样和测试System in place for the management of COA where appropriate.适当时，建立COA（检验分析报告）管理的体系Where required raw materials only released after testing by authorised persons.测试合格后，才可由授权人员确定放行Storage conditions adequate and clean. 存放条件符合要求，并干净Suitable segregation of incompatible materials (e.g. raw and cooked) and materials requiring specific handling (e.g. nuts)适当的分开存放不能共存的原料（如，生熟分开）或特别处理的原料 （如，坚果）Suitable procedures in place for the management of incompatible materials.建立了不能共存原料的管理系统Stock rotation systems in place and adequate. 建立了适当的库存周转体系Raw materials in storage facilities are traceable from batch through to purchase orders.原料存放时，可追溯到采购批次Non-conforming materials are suitably quarantined or labelled to prevent accidental use.不合格原料应适当标识和分开存放，防止意外使用Part used raw materials returned to stores suitably protected.没使用完的原料退回到仓库时要保护，密封得当AVBCDECompliant 符合性Section 章节Non Conformance and Observations 审核不符合项及发现YN13.0 Packaging 包装材料Procedures in place for the checking of incoming packaging materials 按进货检验程序进行包材进货检验.Packaging sampling/testing in accordance with schedule, where appropriate. 适当时，按计划进行包材的抽样和测试Storage conditions adequate and clean.存放条件符合要求，并干净Stock rotation systems in place and adequate.建立了适当的库存周转体系 Packaging suitably covered to protect from contamination.包材密封完好避免污染Obsolete or non-conforming packaging suitably quarantined or labelled to prevent accidental use.不合格包材应适当标识和分开存放，防止意外使用Part used packaging returned to stores suitably protected没使用完的包材退回到仓库时要保护，密封得当ABCVDECompliant 符合性Section 章节Non Conformance and Observations 审核不符合项及发现YNNA14.0 Process Controls 加工控制Effective packaging removal procedures in place to prevent the risk of contamination, where appropriate.适当时，原料进入车间应去除外包装以避免污染Adequate procedures in place for the passing of raw materials from low to high care areas (e.g. canned/bagged materials to enter via U.V or spray tunnels).把原料从低风险区转入高风险区时， 应采用适当的控制程序（如，装在周转箱/ 袋里，经紫外灯照射或喷雾消毒等）Adequate procedures in place in ingredient preparation areas (e.g. knife allocation, blade checks, sieve checks etc) to manage product safety.应建立配料准备区适当的产品安全管理程序，如刀具放置，刀片检查，筛网的检查等Compliant 符合性Section 章节Non Conformance and Observations 审核不符合项及发现YNNA14.0 Process Controls 加工控制Start up check procedures, where appropriate.适当时开工前的检查程序Process records being completed in accordance with procedures.根据程序的要求完成加工记录Production recipes/specifications in place and of the correct version.现场易于得到加工配方/规格书，版本正确Checks in place to monitor Critical Control Points or technical parameter and ensure compliance. 对CCP监控或工艺参数进行检查，确保和要求相符Time and temperature operating in accordance with HACCP根据HACCP的要求进行时间和温度的控制Effective systems in place to identify and control the traceability of re-work and WIP.有效的返工和加工中产品的追溯体系Effective segregation of high and low-risk areas.高、低风险区域的有效的区隔Effective procedures for high and low-risk areas.高、低风险区域的有效的管理程序High-risk operatives enter the area via a designated changing facility.进入高风险操作区域应先通过专门设计的更衣设施High-risk operatives workwear, removed before going to the toilet, smoking or eating.进入厕所，抽烟和吃东西时，应脱去高风险操作区域的工作服High-risk operatives workwear clean 高风险操作区域穿着的工作服保持干净ABVCDECompliant 符合性Section 章节Non Conformance and Observations 审核不符合项及发现YNNA15.0 Filling, Packing, Storage and Despatch 充填，包装，存放和发货Product requiring maturation stored under suitable conditions. Procedures in place, where appropriate. 需要熟成的产品应有适当的储存条件，适当时，应有相应的控制程序Effective line set-up procedures in place.建立有效的生产线启动程序Effective procedures in place for the control of labelling and pack presentation.有效的程序控制标签及包装袋内容Effective procedures in place for the checking of durability coding and lot/batch marking.有效的程序检查有效期和批号标识的打印质量Effective procedures in place for the checking of weight and volume.有效的程序检查重量和容积Under/Over weights rejected, where appropriate.适当时重量不合格的产品会被剔除Effective procedures in place for the checking of pack integrity (e.g. seal and leaker checks).有效程序检查包装的完整性和密封性Effective procedures in place for the testing of metal detector or other foreign body detector.有效的程序测试金属探测器或其他异物探测器的功能正常Metal detector incorporates an alarm on a belt stop or automatic divert into a locked unit.金属探测器带有报警装置、输送带会停止，或在连续的生产线中具备自动产品剔除设施Metal detector in good working condition.金属探测器工作状况良好Function tested at start of