Audit Plan审核计划
Organization: 组织名称 | XXXX SHANGHAI FOODS CO., LTD. XXXX食品有限公司 | ||||
Address: 组织地址 | NO.XXXX,TINGWEI ROAD,TINGLIN TOWN,JINSHAN DISTRICT,SHANGHAI, P. R. CHINA中国上海市XX区XX镇XXX路XXX号 | ||||
Standard(s): 审核标准 | FSSC22000:2010 ISO22000:2005 ISO9001:2008 | Accreditation Body(s): 认可机构 | UKAS | ||
Scope of Certification: 认证范围 | Manufacture of cocoa powder、cocoa butter、cocoa mass、chocolate, chocolate products, chocolate and chocolate products with cocoa butter alternatives 可可粉，可可白脱，可可脂，巧克力,巧克力制品, 代可可脂巧克力和代可可脂巧克力制品的生产 | ||||
EAC Code: EAC代码 | 03 | NACE Code: NACE代码 | 15. 84 | ||
CNAS Code: CNAS代码 (小类) | Audit Language: 审核语言： | Chinese | |||
Visit Number: 访问次数： | V4 | Actual Visit Date: 实际访问日期： | 2012-08-09~10 | ||
Visit Due by Date: 访问到期日期： | 2012-12-12 | For auditor information only 仅供审核员参考 | |||
Audit Team 审核组 | Auditor Name 审核员姓名 | CCAA Qualification CCAA注册资格 | 是否专业审核员？是，注明CNAS小类Code | ||
Lead Auditor 审核组长 | XXXXXX先生 | 高级审核员（注册号：2012-2-NF80005） | |||
Team Member 审核组成员 | B- XXXX XXX女士 | ||||
Team Member 审核组成员 | C- Mr. Mike. XX先生 | ||||
Audit objectives 审核目的:
Initial：To confirm that the management system has been established and implemented in accordance with the requirements of the audit standard.
初次审核：确认管理体系已按照审核标准的要求建立并实施。
Surveillance：To verify if the certified management system continues to fulfil requirements of the audit standard in between recertification audits.
监督审核：验证获证组织的管理体系在认证周期内能持续满足审核标准的要求。
Renewal：To confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification.
复评：确认获证组织的管理体系作为一个整体的持续符合性与有效性，以及与认证范围的持续相关性和适宜性。
Date 日期 | Time 时间 | Auditor 审核员 | Area / Department / Process / Function 区域/部门/过程/职能 | Key Contact 主要负责人 |
2012-08-07 | 08:30-09:00 | A+B | Arrive Site of Assessment 到达审核现场 | |
09:00-09:30 | A+B | Opening Meeting & Plant Tour首次会议和巡厂 | ||
09:30-10:00 | A+B | Communicate with Top Management / Food Safety Team Leader最高管理层/食品安全小组组长沟通 ✧ General Requirements / Quality Manual (一般要求/质量手册) ✧ Management Commitment / Quality Policy (管理承诺/质量方针) ✧ Customer Satisfaction (顾客满意) ✧ Customer Complaint Handling (顾客投诉的处理) ✧ Quality Management System Planning (质量管理体系策划) ✧ Responsibility and Authority (职责和权限) ✧ Quality Management System Change (质量管理体系的变化) ✧ General Requirements--总要求 ✧ General Documentation Requirements -文件要求 ✧ Management Commitment-管理承诺 ✧ Food Safety Policy -食品安全方针 ✧ Responsibility and Authority-职责和权限 ✧ Food Safety Team Leader-食品安全小组组长 ✧ Communication including customer complaint handling-沟通(包括顾客投诉的处理) ✧ Provision of Resources-资源提供 ✧ Any pertinent changes to the management system and documentation管理体系和文件的更改 ✧ Certification claims and use of certification marks 认证认可标志的使用 ISO22K:4.1 / 4.2 / 5.1 / 5.2 / 5.3 / 5.4 / 5.5 / 5.6 / 6.1 / 8.1 / 8.5 ISO/TS 22002-1: 4.1 / 5 ISO9001: 4.1,4.2,5.1-5.5,6.1,6.2,7.1~7.4,8.1~8.5 | ||
10:00-10:30 | A＋B | Food safety team（review for FSMS documentation）食品安全小组 （管理体系文件的回顾） ✧ Product Characteristics产品特性 ✧ Intended Use预期用途 ✧ Flow diagram, process steps and control measures流程图、过程步骤及控制措施 ✧ Hazard Analysis危害分析 ✧ Establishing OPRPs OPRPs建立 ✧ Establishing HACCP Plan HACCP计划建立 ✧ Updating of preliminary information and documents specifying PRPS and HACCP plan预备信息、操作性前提方案、HACCP文件的更新 ✧ Verification Planning验证策划 ✧ Validation of control measure combinations控制措施组合的确认 ✧ Additional requirement of FSSC22K ✧ Inventory of applicable regulation 适用的法规清单 ✧ Supervision of personnel in application food safety principles 食品安全体系应用的监管人员 ✧ Changes to legal regulations法规要求的变化 ✧ Follow up for stage 1 第一阶段审核的整改跟进 ISO22K: 7.3/ 7.4/ 7.5/ 7.6/ 7.7/ 7.8/ 8.2/ FSSC22K requirement section 1/2/3 | ||
10:30-12:00 | B | Sales dept 销售 ✧ Communication with external 外部沟通 ✧ Withdraw 撤回 ✧ Product recall procedures 产品召回程序 ✧ Product information/ consumer awareness 产品信息和消费者知情权 ISO22K: 5.6, 7.10 ISO/TS 22002-1: 13, 17 | ||
10:30-12:00 | A | Production Dept & Equipment maintenance 生产和设备维护 ✧ Planning and realization of safe products-安全产品的策划和实现 ✧ PRP(s) /OPRP/ HACCP plan implement- PRP(s) /OPRP/ HACCP计划实施 ✧ Supervision of personnel in application food safety principles 食品安全体系应用的监管人员 ✧ Evaluation of results of individual Verification单项验证评价 ✧ Emergency preparedness and repose 应急准备和反应 ✧ Infrastructure, Work Environment-基础设施和工作环境 ✧ Validation and implementation of control measure combinations-控制措施组合确认和实施 ✧ Control of nonconformity 不符合控制 ✧ Validation of control measure combinations监视和测量的控制 ✧ Utilities: air, water, energy 气,水和能源设施 ✧ Waste disposal 废弃物处理 ✧ Equipment suitability, cleaning and maintenance 设备适宜性:清洁和维护 ✧ Measures for prevention of cross contamination 交叉污染预防 ✧ Personnel hygiene and employee facilities个人卫生设施 ✧ Rework 返工 ✧ Food defense, bio-vigilance and bioterrorism 产品防护, 生物警觉和生物反恐 ✧ Cleaning and disinfection 清洁和消毒 ✧ Specifications for services ISO22K: 5.7/ 6.3/6.4/ 7.1 / 7.2.3 / 7.5/ 7.6/7.10/ 8.3/ 8.4 ISO/TS22002-1: 6,7,8, 10,11,13, 14, 18 FSSC22K Additional requirement ISO9K: 7.5 | ||
12:00-13:00 | A | Quick Lunch & Audit Schedule Review 午餐及审核小结 | ||
13:00-17:00 | B | Purchase & warehouse dept 采购部和仓库 ✧ Communication 内外部沟通 ✧ PRP（purchased material management）前提方案（采购材料管理） ✧ Management of purchased materials 采购材料管理 ✧ Service management 服务的管理 ISO22K 5.6, 7.2.3 ISO/TS22002-1: 9 FSSC22K: Additional requirement ISO9K: 7.2, 7.4, 7.5 | ||
13:00-17:00 | A | Production Dept & Equipment maintenance 生产和设备维护 (continue) | ||
17:00-17:30 | All | Summarize Audit Findings and Audit Team Meeting 审核总结及审核小组会议 | ||
2012-08-08 | 09:00-12:00 | A | Production Dept & Equipment maintenance 生产和设备维护 - continue 继续 | |
B | Quality dept 品管部 ✧ Verification planning and implement -验证策划和实施 ✧ Documentation & record control文件与记录控制 ✧ Traceability system-追溯系统 ✧ Control of nonconformity -不符合控制 ✧ Evaluation of individual verification activities-单项验证结果的评价 ✧ PRP（pest / cleaning & hygiene / lab etc）前提方案 ✧ External Communication 外部沟通 ✧ Calibration of measuring and monitoring devices 监视和测量设备校准 ✧ Management of purchased materials 采购材料管理 ✧ Measures for prevention of cross contamination 交叉污染预防 ✧ Product information/ consumer awareness 产品信息和消费者知情权 ✧ Pest control 虫害控制 ISO22K: 7.8 / 4.2 / 7.9 / 7.10 / 8.4 / 7.2 / 8.3 ISO/TS22002-1: 9,10, 11, 17,18 FSSC22K Additional requirement ISO9K: 7.4, 7.6, 8.2, 8.4, 8.5 | |||
12:00-13:00 | A+B | Quick Lunch & Audit Schedule Review 午餐及审核小结 | ||
13:00-17:00 | A | Production Dept & Equipment maintenance 生产和设备维护 - continue 继续 | ||
B | Quality dept 品管部 - continue 继续 | |||
17:00-17:30 | All | Summarize Audit Findings and Audit Team Meeting 审核总结及审核小组会议 | validation verification | |
2012-08-09 | 09:00-12:00 | A | Production Dept & Equipment maintenance 生产和设备维护 - continue 继续 | |
B | Quality dept 品管部 - continue 继续 | |||
12:00-13:00 | A+B | Quick Lunch & Audit Schedule Review 午餐及审核小结 | ||
13:00-17:00 | A | Production Dept & Equipment maintenance 生产和设备维护 - continue 继续 | ||
B | Quality dept 品管部 - continue 继续 | |||
17:00-17:30 | A+B | Summarize Audit Findings and Audit Team Meeting 审核总结及审核小组会议 | ||
2012-08-10 | 09:00-12:00 | A | Production Dept & Equipment maintenance 生产和设备维护 - continue 继续 | |
C | HR & Admin 人事行政 ✧ Training, competence and awareness 培训, 能力和意识 ✧ PRP （personnel hygiene, pest control）人员健康和卫生，虫害控制 ✧ Supervision of personnel in application food safety principles 食品安全体系应用的监管人员 ISO22K: 7.2.3/ 6.2 FSSC22K Additional requirement ISO9K:6.2 Documentation and record control 文件控制 ISO22K: 4.2 | |||
12:00-13:00 | A+C | Quick Lunch & Audit Schedule Review 午餐及审核小结 | ||
13:00-14:00 | A | Production Dept & Equipment maintenance 生产和设备维护 - continue 继续 | ||
C | Management representative & FSMS team leader 管理者代表&食品安全小组组长 - Internal audit (内部审核) - Evaluation of results of individual Verification单项验证评价 - Withdraw and mock recall 撤回和召回（演练） - Analysis of verification results 验证活动结果分析 - Emergency response 应急响应 - Management Representative (管理代表) - Analysis of Data (数据分析) - Quality objectives (质量目标) - Management review (管理评审) - Customer focus (关注顾客) - Continual Improvement (持续改进) ISO22K: 5.7, 5.8, 8.4.1, 8.4.2, 8.4.3, 8.5 ISO9K: 5.6, 8.5 | |||
14:00-15:00 | A+C | Summarize Audit Findings and Audit Team Meeting 审核总结及审核小组会议 | ||
15:00-15:30 | A+C | Closing Meeting 末次会议 | ||
Notes to Client:
1. Times are approximate and will be confirmed at the opening meeting prior to commencement of the audit.
此时间是大致的安排，在现场审核的首次会议时将予以确认。
2. SGS auditors reserve the right to change or add to the elements listed before or during the audit depending on the results of on-site investigation.
SGS审核员可能在审核前或审核过程中根据实际情况调整上述安排。
3. A private place for preparation, review and conferencing is requested for the auditor’s use.
请准备一个独立的房间供审核员内部讨论用。
4. Please provide a light working lunch on-site each audit day.
每天现场审核的午餐尽量简便。
5. Your contract with SGS is an integral part of this audit plan and details confidentiality arrangements, audit scope, information on follow up activities and any special reporting requirements.
贵司与SGS所签的认证合同作为审核计划的一部分，详述了保密事项、审核范围、后续活动事宜和特殊的报告要求。
6. The following materials are requested to provide for auditor prior to plant tour. 在现场参观前公司应为审核员提供以下资料：
∙ Organization frame chart 公司组织架构图
∙ Organization layout/plan 组织平面图
∙ Process flow 流程图
∙ Register of legal and other requirements 法规和其他要求清单
备注：受审核区域部门的负责人或委托代理人应在审核时间在场。
Plan Developed by | 制定审核计划的人签字或名字 | Date | |
Approved by | 审核组长签字或名字 | Date | |
Confirmed by | 客户签字 | Date | |
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