Audit Report Global Standard for Agents and Brokers Issue 1: January 2014 1.Audit Summary Company name BRC Site Code BRC Site code 2.Scope Operation Services Scope of audit Product categories Select Operation Select a service Select a service Select a service Select a service Select a service Select a service Scope of audit 3. Results Audit result Choose an item Audit frequency 12 months Audit finish date Select a date Re-audit due date Select a date Previous audit date Select a date Number of Non-Conformities Critical 0 Major 0 Minor 0 English A&B Template Page 1 Report Auditor:
4.Company Details Address Website URL Telephone 0 Commercial representative Technical representative Commercial representative Name Email Email Technical representative Name Email Email 5.Company Profile of employees 0 of Suppliers of products/services 0 Other certificates held Other certificates held Product recalls in last 12 Months Regions actively exporting to Regions actively importing from Major changes since last BRC audit Choose an item Major changes since last BRC audit Company Description Company Description 6.Audit Duration Details English A&B Template Page 2 Report Auditor:
6.Audit Duration Details On-site duration 0 man hours Reasons for deviation from typical or expected audit duration Reasons for deviation from typical or expected audit duration Audit Duration per day Audit Days Audit Dates Audit Start Time Audit Finish Time 1 (start date) 7.Key Personnel Auditor Number Auditor Number Auditor Names and roles Present at audit Note: the most senior manager on site should be listed first and be present at both opening & closing meetings: Opening Meeting Procedure Review Closing Meeting Name / Job Title Audited Location Site Name Country BRC Site Code 0 Additional Locations Site Name Country BRC Site Code English A&B Template Page 3 Report Auditor:
Non-Conformity Summary Sheet Critical Requirement Anticipated re-audit date Details of non-conformity ref. Major Requirement Root cause analysis and Details of non-conformity Corrective action taken ref. proposed action plan Evidence provided document, photograph, visit/other Date reviewed Reviewed by English A&B Template Page 4 Report Auditor:
Minor Requirement ref. Details of non-conformity Corrective action taken Evidence provided document, photograph, visit/other Date reviewed Reviewed by English A&B Template Page 5 Report Auditor:
Detailed Audit Report Contents 1. Senior Management Commitment... 1.1 Senior Management Commitment and Continual Improvement... 1.2 Organisational Structure, Responsibilities and Management Authority... 2. Hazard and Risk Assessment... 3. Product Safety and Quality Management System... 3.1 Product Safety and Quality Systems Manual... 3.2 Documentation Control... 3.3 Record Completion and Maintenance... 3.4 Customer focus and communication... 3.5 Internal Audit... 3.6 Specifications... 3.7 Traceability... 3.8 Complaint Handling... 3.9 Corrective Action... 3.10 Control of Non-conforming Product... 3.11 Management of Incidents, Product Withdrawal and Product Recall... 4. Supplier and Sub-contracted Service Management... 4.1 Approval and performance monitoring of manufacturers/packers of traded products... 4.2 Management of suppliers of services... 4.3 Product Security /Food Defense... 4.4 Product Inspection and Laboratory Testing... 4.5 Product Legality... 4.6 Product Design/Development... 4.7 Product Release... 5. Personnel... 5.1 Training and Competency... English A&B Template Page 6 Report Auditor:
1. Senior Management Commitment Summary 1.1 Senior Management Commitment and Continual Improvement The company s senior management shall demonstrate they are fully committed to the implementation of the requirements of the Global Standard for Agents and Brokers and to the operation of processes which facilitate continual improvement of the product/food safety and quality management services. 1.1 1.1.1 1.1.2 1.1.3 1.1.4 1.1.5 1.1.6 1.1.7 1.1.8 1.1.9 1.1.10 1.1.11 1.2 Organisational Structure, Responsibilities and Management Authority The company shall have a clear organisational structure and lines of communication to enable effective management of services ensuring product safety, legality and quality. 1.2 1.2.1 1.2.2 N/A Clauses Justification 2. Hazard and Risk Assessment The company shall operate a product safety plan for the processes for which they are responsible. This shall be based on the principles of Hazard and Risk analysis, which shall be documented, systematic, comprehensive, fully implemented and maintained. In the food industry these principles are commonly known as HACCP. Summary English A&B Template Page 7 Report Auditor:
2 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8 2.8.1 2.9 2.10 2.11 N/A Clauses Justification 3. Product Safety and Quality Management System Summary 3.1 Product Safety and Quality Systems Manual The company s processes and procedures to meet the requirements of this standard shall be documented to allow consistent application, facilitate training support due diligence and supply of a safe product 3.1 3.1.1 3.1.2 3.1.3 3.2 Documentation Control The company shall operate an effective document control system to ensure that only the correct versions of documents are available and in use. 3.2 3.2.1 English A&B Template Page 8 Report Auditor:
3.3 Record Completion and Maintenance The company shall maintain genuine records to demonstrate the effective control of product safety, legality and quality 3.3 3.3.1 3.3.2 3.3.3 3.3.4 3.4 Customer focus and communication The company shall understand and clearly communicate their customer s requirements to relevant suppliers of product and services. 3.4 3.4.1 3.4.2 3.5 Internal Audit The company shall be able to demonstrate that they verify the effective application of their product safety and quality system and the implementation of the requirements of this Standard 3.5 3.5.1 3.5.2 3.5.3 3.6 Specifications Specifications or information to meet legal requirements and assist customers in the safe usage of the product shall be maintained and available to customers. 3.6 3.6.1 3.6.2 3.6.3 3.6.4 3.7 Traceability The company shall be able to trace all product lots back to the final manufacturer and forward to the customer of the company. Summary 3.7 3.7.1 3.7.2 3.7.3 3.8 Complaint Handling Customer complaints shall be handled effectively and information used to reduce recurring complaint levels 3.8 3.8.1 3.8.2 3.8.3 English A&B Template Page 9 Report Auditor:
3.9 Corrective Action The company shall be able to demonstrate that they use the information from identified failures in the product safety and quality management system to make necessary corrections and prevent recurrence 3.9 3.9.1 3.10 Control of Non-conforming Product The company shall ensure that any out-of-specification product is effectively managed 3.10 3.10.1 3.11 Management of Incidents, Product Withdrawal and Product Recall The company shall have a plan and system in place to effectively manage incidents and enable the effective withdrawal and recall of products should this be required. 3.11 3.11.1 3.11.2 3.11.3 3.11.4 N/A Clauses Justification 4. Supplier and Sub-contracted Service Management Summary 4.1 Approval and performance monitoring of manufacturers/packers of traded products The company shall operate procedures for approval of the final manufacturer or packer of products for which it provides a service to ensure that traded products are safe, legal and manufactured in accordance with any defined product specifications 4.1 4.1.1 4.1.2 4.1.3 4.1.4 English A&B Template Page 10 Report Auditor:
4.2 Management of suppliers of services The company shall be able to demonstrate that suppliers of services that are out sourced have been approved and are managed to ensure that any risks to product safety have been evaluated and effective controls are in place. 4.2 4.2.1 4.2.2 4.2.3 4.2.4 4.3 Product Security /Food Defense Security systems shall ensure that products are protected from theft or malicious contamination whilst under the management control of the company. 4.3 4.3.1 4.3.2 4.4 Product Inspection and Laboratory Testing The company shall operate processes to ensure that products received comply with buying specifications and supplied product is in accordance with any customer specification 4.4 4.4.1 4.4.2 4.4.3 4.4.4 4.4.5 4.5 Product Legality The company shall have processes in place to ensure that the products traded comply with the legal requirements in the country of sale where known. 4.5 4.5.1 4.6 Product Design/Development Product design and development procedures shall be in place for new manufactured product development processes, where this is a service managed by the company, to ensure that safe and legal products are developed meeting customer specified requirements. 4.6 4.6.1 4.6.2 4.6.3 4.6.4 4.6.5 4.7 Product Release Where products require formal release by a customer or legal authority the company shall ensure that an effective product release procedure is in place with subcontractors 4.7 4.7.1 N/A Clauses Justification English A&B Template Page 11 Report Auditor:
5. Personnel Summary 5.1 Training and Competency The company shall ensure that all personnel performing work that affects product safety, legality and quality are demonstrably competent to carry out their activity, through training, work experience or qualification. 5.1 5.1.1 5.1.2 5.1.3 5.1.4 N/A Clauses Justification English A&B Template Page 12 Report Auditor: