亨氏供应商审核表CHN.xls

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1、 Instructions for use of Heinz Global Audit Report This is the Heinz Global audit report. It comprises a COVER sheet, a SUMMARY of audit findings, a NEW AUDIT SCORING section - used to score the audit and a CORRECTIVE ACTIONS sheet. All these sheets can be selected from the tabs below. Also included

2、 is a DATA SHEET tab which must not be altered or deleted. NEW AUDIT SCORING This consists of Section Headers (in Yellow) which describes a section of the Heinz Vendor Standard and each section consists of a number of CLAUSES which describe the specific details of the section. For each CLAUSE, selec

3、t the Status from the drop down list and add any comments (evidence etc.) in the COMPLIANCE STATUS/ EVIDENCE cell. Selecting anything other than FULLY MEETS will affect the overall scoring of that section, and post the clause and comments made in the ADVERSE FINDINGS/OBSERVATIONS cell in the correct

4、ive action report. Once you have completed all the clauses in a section, select the overall compliance of the vendor with that section from the Drop Down List - this will grade the status of compliance of the vendor with that section and give a final score for that section. Space is provided to enab

5、le comments on Compliance in the COMPLIANCE STATUS/EVIDENCE cell to be made. Non-compliances/Adverse Statements need to be recorded in the ADVERSE FINDINGS/OBSERVATIONS cell - these will pull through into the Corrective Action report and the non-compliance grading will be recorded on the front sheet

6、. If the Vendor fully complies with the letter of the standard, then the overall section will be graded as FULLY COMPLIES. If there are a number of observations (or SUBSTANTIALLY MEETS gradings), then grade the overall compliance as meets minimum standard. This gives an overall score of 80% of the t

7、otal for that section. If there are any clauses or sections not audited, then select NOT AUDITED and add a comment in the ADVERSE FINDINGS/OBSERVATIONS cell as to why it has not been audited. This will show up in the Corrective Action sheet so it will be highlighted for the next audit. Some of the C

8、lauses/Sections are deemed to be Mandatory and therefore must be audited. However, if the scope of the audit precludes such clauses/sections then select not audited and add comments accordingly. COVER SHEET This gives a summary of the non-compliances automatically and provides the overall audit scor

9、e. You must complete the details where requested (cells highlighted in light blue - this will be removed as you compete the cells) Select the overall approval status, and when the approval expires - use this date to plan your next audit - guidance on re-audit frequency can be gained from the Global

10、Vendor Approval Process SUMMARY SHEET This provides and executive summary of the audit - please complete the cells highlighted in blue - they will lose their colour once you complete them. Vendor name and Audit Date automatically populate from the front sheet. If you run out of space to enter the te

11、xt you need, then select from the top menu and insert another row. CORRECTIVE ACTION FORM Findings, non-compliances etc. are pulled through to here automatically - you need to complete the other sections, highlighted in blue: AGREED ACTION - this needs to be agreed at the exit interview and you shou

12、ld detail what action is to be taken by the vendor to address any non-compliances/deviations DUE DATE - also agreed at the exit interview this needs to be timely to remove any risks caused by deviations against the standard RESPONSIBILITY - this is the auditee/person who is responsible for closing o

13、ut the non-compliance/ensuring the agreed action is completed COMPLETION DATE - the actual completion date ACTION TAKEN - completed by the vendor/auditee and should include specific details / links to evidence that the non-compliance has been satisfactorily closed Use the condense and expand buttons

14、 to automatically display only those rows with any entries Protocol ID Use this to specifiy the protocol ID for each material supplied to each different Heinz site according to the scope of the audit/approval. A = no inspection necessary, B = Certificate of Analysis required with each delivery, C =

15、Incoming inspection/analysis required Save the completed audit report as YYMMDDABCxyz.xls where YY = year, MM = month, DD = day, ABC = vendor facility name, xyz = reason for/type of audit and post it in VIPER Date of Issue: 04th July 2007 Version: 10 Author: GSCM TeamHeinz Global Audit Standard Hein

16、z Global Vendor Audit Report VENDOR NAME: Xingfa Chemical Group Yichang Chulin Chemicals Ltd. ( via Wenda Co., Ltd.) PLANT LOCATION/ADDRESS: No. 29 ChangJiang Rd. Xiaoting Industrial Park,Yichang, Hubei Province, P. R. China STATE:ZIP/CODE PLANT TELEPHONE #:86 411 87585000 ext. 353 PLANT EMAIL ADDRE

17、SS: Yang Xiaorong yangxiaorong PLANT FAX #: CONTACT: Tao Song, Yang XiaoRong ( Wenda Co., Ltd.) PRODUCT(S) PRODUCED:Sodium Acide Pyrophosphate VIPER FACILITY CODE NAVENDOR CLASS AUDIT DATE: 2009.2.18-19LENGTH OF AUDIT:2 days AUDITOR NAME: Lisa Wang AUDIT BODY: Heinz PURPOSE OF AUDIT To review the qu

18、ality system of Xingfa as a potential supplier of SAPP for Heinz NA SCOPE OF AUDIT All elements covered in this checklist SUPPLIER PERSONNEL ACCOMPANYING AUDITOR: Yang Xiao Rong( QA director of Wenda Co., Ltd.), Mr. Wang GuangFu ( Production Manager), Mr. YuanWei( Vice Production Manager),Mr. Zhang

19、Baoyi( Vice QA Manager) Mr. Qu ManYi( EHS officer) Mr. XingChuGuo( Process Officer) EXIT INTERVIEW WITH: Yang Xiao Rong( QA director of Wenda Co., Ltd.), Mr. Qu Yun ( Vice GM) Mr. Wang GuangFu ( Production Manager), Mr. YuanWei( Vice Production Manager),Mr. Zhang Baoyi( Vice QA Manager), Mr. Qiao Ch

20、ang Hu( Engineering Supervisor), Mr. Qu ManYi( EHS officer) Mr. XingChuGuo( Process Officer), Mr. Zhangwei Gang ( Engineer) Section Score CATEGORY Not Audited Fully Complies Meets Min Reqts CriticalMajorMinorObservationScore Improvement Opportunities 1.Quality Management00001060%4 2.0 Personnel and

21、Hygiene Management 00001062%2 3.Risk Assessment00000190%2 4.Production facilities00001062%1 5.0 Vendor and Specification Control00001060%0 6.0 Maintenance and Services01000065%0 7.Process Control00001063%1 8.Anti customer satisfaction 95%; FG compliance =100%; Subobjective for each factory is docume

22、nted as performance evaluation standard. Policy is post on the production area. And it is communicated in the refresh training every year. However, employees interviewed are not familiar with the policy Substantially Meets 1.2 Organisational Structure - The Company shall have an Organisational Struc

23、ture that defines job function, responsibility and reporting relationships of all employees involved in the implementation of this Standard. The organisation chart list the department for each production function in the group and their related responsibilities in the system management No organizatio

24、n structure and responsibilities are written for the factory. Does Not Meet 1.3 Quality Manual - The Company shall maintain a Quality Manual setting the Companys Quality System to control all materials supplied to Heinz The scope cover all operations, include work instructions and complied with. It

25、must be reviewed regularly to ensure relevance and completeness Mandatory The quality manual fo XF group is reviewed in the annual management review. Objectives for the factory ( RFT and FG compliance) is calculated every month. Substantially Meets 1.3.8 All documents related to the implementation o

26、f this Standard must be maintained in a controlled manner. The system will include the withdrawal of obsolete documents. Mandatory There is a document control procedure. Documentation is controlled by the HQ QA department. No document control system in the factory. There are many new procedures unde

27、r drafting are not controlled Substantially Meets 1.3.10 Specifications issued by H. J. Heinz must be maintained in a controlled manner as per 14.1 NA. The factory is a potential supplier. No spec. is issued from Heinz yet. Fully Meets 1.3.11 Records must be maintained to demonstrate compliance with

28、 this Standard and also to demonstrate that processes are under control to meet the Heinz Specifications consistently. They must be accurate and legible. Production records are maintained for two years per procedure.All quality records suggest compliance with internal quality specification. Fully Me

29、ets 1.4 Traceability and Product Recall - The Company shall have systems to enable tracing materials from source to final product and final product recall Mandatory A traceability exercise is conducted on-site. Production date: 2008.10.13 Quantity: 29 ton Batch number: 111-081011-2F, 111-081013- 2F.

30、 FG can trace back to RW batch number and quantity. No batch number recorded for the packaging area. No traceability exercise is conducted before. Partially Meets 1.4.2 A finished product recall procedure must be in place. The procedure must be challenged at least once a year. There is a recall guid

31、eline in the quality manual for the group. No detailed recall procedure for the factory. No mock recall is conducted for product Partially Meets 1.5 Internal Audit - The company must have an internal audit programme established and implemented Mandatory Internal audit is in charged by the HQ QA. Onl

32、y one internal audit was conducted in May 2008 by the HQ QA. No internal audit within the factory Partially Meets 1.5.1 Internal Audit must be established and implemented, and the scope must include, but not limited to: Quality systems support programmes (Work instructions, test methods and processe

33、s) Process and environmental control (outcome from HACCP/Risk Assessment Programmes) Personnel and that it is implemented and maintained. Non compliance - Minor 2.1 Hygiene Management - The Company shall define Hygiene Management System covering Good Manufacturing Practices, Cleaning Unsoluble solid

34、 =1.0; As = 3 ppm; Heavy metals ( count as Pb) =15ppm; F=50 ppm. CCP1- Na2CO3 and H3PO4 are food grade. Packaing materials are food grade.Phosphoric acid is produced by Xingfa group. Sodium Carbonate is provided by Shangdong Haihua Co. Ltd. Heavy metals are tested in every delivery(As, total heavy m

35、etals as Pb) Phosphoric acid: As = 0.5ppm, Heavy metals= 5ppm, F=10 ppm; Sodium Carbonate As = 2 ppm, Heavy metal=10 ppm CCP2- Sieve. 0.15mm. The operator check the size of the products every two hours to verify the integrity of the sieve. Not a ccp operation. The metal detector is under adjustment.

36、 This point will be regarded as CCP2 to replace the sieve. Approximately the MD can be put into the production line at the end of Feb. 2009 Substantially Meets AUDIT FINDINGS2020/2/19 Page 11 of 45d800b0dbb36d985e8bce057a493cc431.xls/New Audit Scoring ClauseMandatoryCompliance Statement/EvidenceAdve

37、rse Findings/ObservationsStatus 3.2 The Risk Assessment must be reviewed at a minimum annual frequency and when changes to process, procedures, equipment and legislation are undertaken, to ensure that it is functional and up to date. Mandatory The hazard analysis has considered heavy metal contamina

38、tion. The current HACCP team is for all food additives produced on-site in three factories. The team members are leaders from each factory. food safety team should be established in each factory. Partially Meets 3.3 The Risk Assessment shall include the following minimum criteria: 1. Establish and v

39、alidate the process steps. 2. Identify and record all hazards for each process step. 3. Establish the cause of the hazards and the likelihood of occurrence (risk), level and or limits. 4. Establish controls and monitoring procedures. 5. Identify corrective actions required to bring the process back

40、under control. 6. Consideration of the intended use for the materials being risk assessed 7. Verification activities associated with the identified hazards to ensure food safety and quality Mandatory Hazard analysis has been completed.The critical limits is designed per national standards of food gr

41、ade phosphoric acid and food grade sodium carbonate( GB 8920-88, Work sheet of each CCP is documented. Internal analysis record for each materials are in place. The products are sent to the government laboratory two-three times for As, heavy metals( as Pb). Substantially Meets 3.4 The Risk Assessmen

42、t shall be linked (referenced back) to the Quality and Hygiene systems via the control measures, monitoring procedures and corrective actions. Mandatory There is no clear link between the risk assessment and SOP. Some steps such as filteration has not WI Partially Meets 4.0 Production Facilities:Man

43、datory Non compliance - Minor 4.1 Perimeter and grounds - All grounds within the site shall be maintained in good condition to minimise the risk of contamination. Security must be sufficient to prevent unauthorised access to site Entry points to buildings must be sealed to prevent pest ingress Manda

44、tory For a lot of construction is going on on-site ground area is muddy and uncontrollable. Does Not Meet 4.2 Building Fabric - The fabric of the buildings shall be suitable for the intended purpose and use. MandatoryThe building fabric is in good condiction. Fully Meets 4.3 Layout and Process Flow

45、- The plant layout must be designed and maintained to control the risk of contamination and cross contamination of products. Mandatorythe layout is reasonable to segregate RM and FG. Space is adequate Substantially Meets 4.4 Production equipment - Equipment shall be installed and maintained to manuf

46、acture products of consistent quality and to reduce the risk of product contamination. Mandatory Equipment installe is general in good condition. And most are made of stainless steel. Some welt point are not polished to keep surface smooth. There are some dead ends of the brackets in the packing are

47、a Partially Meets 5.0 Vendor and Specification Control - The company shall ensure that there are documented and agreed specifications for raw materials and finished products, and raw materials are only sourced from approved vendors. Approval status and performance of vendors must be continually asse

48、ssed and based on risk assessment A list of approved vendors and materials must be maintained Mandatory Vendor approval is in charged by the HQ procurement. The factory evaluate the quality performance every month and report to the HQ. All certificates for phosphoric acid supplier are in place. Beca

49、use the HQ procurement is not on-site for audit some qualification document are not available such as the hygiene permit and production permit for the food contating packaging and sodium carbonate Non compliance - Minor 5.1 Ingredients and packaging materials used to manufacture goods for H.J.Heinz must be documented in agreed specifications and only be sourced from approved Vendors. Allegedly specifications are fomally agreed by vendor in written format