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Stage 2 Certification Audit

non conformance root cause corrective action correction

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#1 Kalinzu

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Posted 01 December 2016 - 06:14 AM

Hi All,

 

I would like some help in closing NCs we got at the Stage 1 audit. The NCs would appear obvious things to do before an audit but they came about due to the set up of the company and many other factors (let me not go into specific details). Kindly help out if you can.

 

  1. At the time of the audit it was noted that all documents had not been approved.
  2. The Food Safety policy had not been approved.
  3. Food Safety objectives were not SMART.
  4. Procedure for Emergency preparedness did not address the requirement of the standard.
  5. The organisation had not conducted a Management Review meeting.m
  6. There was no representation from the Human Resources and Sales & Marketing dept in the Food Safety Team.
  7. Raw materials, ingredients and product contact materials characteristics were described within the HACCP Plan. However, the spices formulation had not been described.
  8. Analysis of results of verification activities had not been done.
  9. The procedure under mock withdrawal did not provide the sequence of actions to be taken in the event of a planned withdrawal. (This was actually in the procedure - just an oversight on both the auditee and auditors side)

Most of these are documents that need editing and reviewing as corrections. Would appreciate help in coming up with possible Root Causes and Corrective actions? 

 

Thank you.


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#2 Charles.C

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Posted 01 December 2016 - 07:12 AM

Hi All,

 

I would like some help in closing NCs we got at the Stage 1 audit. The NCs would appear obvious things to do before an audit but they came about due to the set up of the company and many other factors (let me not go into specific details). Kindly help out if you can.

 

  1. At the time of the audit it was noted that all documents had not been approved. Have them approved ?
  2. The Food Safety policy had not been approved. Have it approved ?
  3. Food Safety objectives were not SMART. There are examples on this Forum. Search ?
  4. Procedure for Emergency preparedness did not address the requirement of the standard.There are examples on this Forum. search ?
  5. The organisation had not conducted a Management Review meeting. Conduct one. There are examples on this Forum if needed. Search ?
  6. There was no representation from the Human Resources and Sales & Marketing dept in the Food Safety Team. Add 2 people ?
  7. Raw materials, ingredients and product contact materials characteristics were described within the HACCP Plan. However, the spices formulation had not been described. Reason? Add if simple to do. Pls explain if not.
  8. Analysis of results of verification activities had not been done. I deduce the verification activities had been done, So  reason ?
  9. The procedure under mock withdrawal did not provide the sequence of actions to be taken in the event of a planned withdrawal. (This was actually in the procedure - just an oversight on both the auditee and auditors side). Add a cross-reference in the document ?

Most of these are documents that need editing and reviewing as corrections. Would appreciate help in coming up with possible Root Causes and Corrective actions? 

 

Thank you.

 

Hi kalinzu,

 

I asume  this is iso22000, not fssc22000.

 

I have added a few quick suggestions.

 

The last request probably requires you to post the relevant documents on this forum if  specific answers are  required.

Alternatively a likely generic root cause for many of the items listed in yr OP  is simply - "Oversight by XYZ/whoever". This respose has previously been employed by some posters here although its overuse might suggest that the overall FS System is simply unfinished due ABC, ie not yet ready for auditing. Is it ?(another possible root cause)


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Kind Regards,

 

Charles.C


#3 Kalinzu

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Posted 01 December 2016 - 08:16 AM

Thanks Charles. C

 

 

I forgot to mention that the documents - procedures, were audited as soft copies. No hard copies at the time of audit.

 

Does approval mean the approving authority's signature has to appear on the documents?

 

The Food Safety policy had been printed out, signed by the FSTL and several copies posted on notice boards.


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#4 Charles.C

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Posted 01 December 2016 - 08:42 AM

Thanks Charles. C

 

 

I forgot to mention that the documents - procedures, were audited as soft copies. No hard copies at the time of audit.

 

Does approval mean the approving authority's signature has to appear on the documents?

 

The Food Safety policy had been printed out, signed by the FSTL and several copies posted on notice boards.

 

Hi Kalinzu,

 

By soft copy I presume you mean digital electronic on a PC.

 

Files can be uploaded on this forum. Click the "more reply options" button and follow the directions.

 

Documents are formatted as per yr Documentation Procedure. The details are as required by the Standards involved.

 

I suggest you have a look at some examples on this Forum if unsure.


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Kind Regards,

 

Charles.C


#5 Charles.C

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Posted 01 December 2016 - 08:07 PM

addendum

 

Regarding “approval” (eg sec 4.2.2.a) these 2 forum threads may be of interest (there are others) –

 

http://www.ifsqn.com...ocument-review/

http://www.ifsqn.com...edure-approval/

 

The range of possible interpretations of “approval” for iso22000 is probably similar to that for  iso9001. For the latter examples of  2 current viewpoints are linked below, one based on detailed “approval” information on the document itself  and another noting  alternative  methods of  “approval”. Both styles would presumably be auditor acceptable provided they are elaborated in the Document Control Procedure and compliant with the additional items (b-g)  in 4.2.2

 

http://www.qualitysy...ol-of-documents

http://www.cgbusines...falls-to-avoid/

 

The choice may depend on factors such as Structure of FS System/Operational Styles/available digital technology/etc.

 

PS - IMEX the Quality/FS Policy is more commonly associated to the MD of the Company, ie the top of the ISO-Pyramid. Supports Top Management Commitment.


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Kind Regards,

 

Charles.C






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