9. Requirements for Traded Products
9.1. Product Design/Development
FUNDAMENTAL
1
Clause 9.1.1
The company shall have a documented supplier approval procedure which identifies the process for initial and ongoing approval of suppliers and the manufacturer/processor of each product traded. The requirements shall be based on the results of a risk assessment which shall include consideration of:
Outcome Docs Actions Notes
Yes No N/A
Does the company have a documented supplier approval procedure which identifies the process for:
Are the requirements based on the results of a risk assessment?
Does the risk assessment include consideration of:
Clause 9.1.2
The company shall have a procedure for the initial and ongoing approval of manufacturers of products. This approval procedure shall be based on risk and include either one or a combination of:
Outcome Docs Actions Notes
Yes No N/A
Is there a procedure for the initial and ongoing approval of manufacturers of products?
Is the approval procedure based on risk?
Does the approval procedure include:
Where this supplier audit is completed by a second or third party, is the company able to:
Does the approval procedure include that, where a valid risk-based justification is provided and the supplier is assessed as low risk only, a completed supplier questionnaire may be used for initial approval?
Does the questionnaire have a scope that includes product safety, traceability, HACCP review and food manufacturing practices?
Is the questionnaire reviewed by a demonstrably competent person?
Is the questionnaire verified by a demonstrably competent person?
Clause 9.1.3
Records shall be maintained of the manufacturer's/packer's approval process, including audit reports or verified certificates confirming the product safety status of the manufacturing/packing sites supplying the products traded. There shall be a process of review and records of follow-up of any issues identified at the manufacturing/packing sites with the potential to affect food products traded by the company.
Outcome Docs Actions Notes
Yes No N/A
Are records maintained of the manufacturer's/packer's approval process, including audit reports or verified certificates confirming the product safety status of the manufacturing/packing sites supplying the products traded?
Are records maintained of the manufacturer's/packer's approval process, including audit reports or verified certificates confirming the product safety status of the manufacturing/packing sites supplying the products traded?
Are there records of follow-up of any issues identified at the manufacturing/packing sites with the potential to affect food products traded by the company?
Clause 9.1.4
There shall be a process for the ongoing review of manufacturers/packers, based on risk and using defined performance criteria, which may include complaints, results of any product tests, regulatory warnings/alerts, customer rejections or feedback. The process shall be fully implemented.
Outcome Docs Actions Notes
Yes No N/A
Is there a process for the ongoing review of manufacturers/packers:
Is the process fully implemented?
Are the questionnaires reissued at least every 3 years?
Are suppliers required to notify the site of any significant changes in the interim, including any change in certification status?
Are records of the review kept?
9.2. Product Inspection and Laboratory Testing
FUNDAMENTAL
1
Clause 9.2.1
Specifications shall be available for all products. These shall either be in the agreed format as supplied by the customer or, where this is not specified, include key data to meet legal requirements and assist the customer in the safe usage of the product.
Outcome Docs Actions Notes
Yes No N/A
Are specifications available for all products?
Are specifications in the agreed format as supplied by the customer?
Where specifications are not required to be in the agreed format as supplied by the customer, do they include key data:
Which format are the specifications in?
Clause 9.2.2
The company shall seek formal agreement of the specifications with relevant parties. Where specifications are not formally agreed, the company shall be able to demonstrate that it has taken steps to ensure formal agreement is in place.
Outcome Docs Actions Notes
Yes No N/A
Is there formal agreement on the specifications with relevant parties?
Where specifications are not formally agreed, is the company able to demonstrate that it has taken steps to ensure formal agreement is in place?
Clause 9.2.3
Companies shall operate demonstrable processes to ensure that any customer-specified requirements are met. This may be by inclusion of customer requirements within buying specifications or by undertaking further work on the purchased product to meet the customer's specification (e.g. sorting or grading of product).
Outcome Docs Actions Notes
Yes No N/A
Do companies operate demonstrable processes to ensure that any customer-specific requirements are met?
Is this done by the inclusion of customer requirements within buying specifications?
Is this done by undertaking further work on the purchased product to meet the customer's specification?
Clause 9.2.4
Specification review shall be sufficiently frequent to ensure that data is current or at a minimum every 3 years, taking into account product changes, suppliers, regulations and other risks.
Outcome Docs Actions Notes
Yes No N/A
Is the specification review sufficiently frequent to ensure that data is current or at a minimum every 3 years?
Does the specification review take into account changes of:
Are reviews documented?
Are changes documented?
9.3. Product Inspection and Laboratory Testing
FUNDAMENTAL
1
Clause 9.3.1
The site shall have a product sampling or assurance programme to verify that the products are in accordance with buying specifications and meet legal and safety requirements.
Outcome Docs Actions Notes
Yes No N/A
Does the site have a product sampling or assurance programme to verify that the products:
Where verification is based on sampling:
Are records of the results of assessments or analysis maintained?
Clause 9.3.2
Where verification of conformity is provided by the supplier (e.g. certificates of conformity or analysis), the level of confidence in the information provided shall be supported by commissioning periodic independent product analysis.
Outcome Docs Actions Notes
Yes No N/A
Where verification of conformity is provided by the supplier, is the level of confidence in the information provided supported by commissioning periodic independent product analysis?
Clause 9.3.3
Where claims are made about the products being handled, including the provenance, chain of custody and assured or ‘identity preserved' status of a product or raw materials used, supporting information shall be available from the supplier or independently to verify the claim.
Outcome Docs Actions Notes
Yes No N/A
Where claims are made about the products being handled, including the provenance, chain of custody and assured or 'identity preserved' status of a product or raw materials used, is supporting information available from the supplier or independently to verify the claim?
Clause 9.3.4
Where the company undertakes or subcontracts analyses which are critical to product safety or legality, the laboratory or subcontractors shall have gained recognised laboratory accreditation or operate in accordance with the requirements and principles of ISO 17025. Documented justification shall be available where non-accredited test methods are used.
Outcome Docs Actions Notes
Yes No N/A
Where the company undertakes or subcontracts analyses which are critical to product safety or legality, do the laboratory or subcontractors have recognised laboratory accreditation or operate in accordance with the requirements and principles of ISO 17025?
Is documented justification available where non-accredited test methods are used?
Clause 9.3.5
Test and inspection results shall be retained and reviewed to identify trends. Appropriate actions shall be implemented promptly to address any unsatisfactory results or trends.
Outcome Docs Actions Notes
Yes No N/A
Are test results retained?
Are test results reviewed to identify trends?
Are inspection results retained?
Are inspection results reviewed to identify trends?
Are appropriate actions implemented promptly to address any unsatisfactory results or trends?
9.4. Product Inspection and Testing
FUNDAMENTAL
1
Clause 9.4.1
The company shall have documented processes to verify the legality of products which are traded. These processes shall include as appropriate:
Outcome Docs Actions Notes
Yes No N/A
Are there documented processes to verify the legality or products which are traded?
Do these processes include, as appropriate:
Where such responsibilities are undertaken by the customer, is this clearly stated in contracts?
9.5. Product Labelling
FUNDAMENTAL
1
Clause 9.5.1
The site shall maintain a traceability system for all batches of product which identify the last manufacturer or, in the case of primary agricultural products, the packer or place of last significant change to the product. Records shall also be maintained to identify the recipient of each batch of product from the company.
Outcome Docs Actions Notes
Yes No N/A
Is there a traceability system for all batches of product which identify the last manufacturer or, in the case of primary agricultural products, the packer or place of last significant change to the product?
Are records also maintained to identify the recipient of each batch of product from the company?
Clause 9.5.2
The company shall test the traceability system at least annually to ensure that traceability can be determined back to the last manufacturer and forward to the recipient of the product from the company. This shall include identification of the movement of the product through the chain from the manufacturer to receipt by the company (e.g. each movement and intermediate place of storage).
Outcome Docs Actions Notes
Yes No N/A
The company shall test the traceability system at least annually to ensure that traceability can be determined back to the last manufacturer and forward to the recipient of the product from the company. This shall include identification of the movement of the product through the chain from the manufacturer to receipt by the company (e.g. each movement and intermediate place of storage).
Does this include identification of the movement of the product through the chain from the manufacturer to receipt by the company?
Clause 9.5.3
The traceability test shall include the reconciliation of quantities of product received by the company for the chosen batch or product lot. Traceability should be achievable within 4 hours (1 day when information is required from external parties).
Outcome Docs Actions Notes
Yes No N/A
Does the traceability test include the reconciliation of quantities of product received by the company for the chosen batch or product lot?
Is traceability achievable within 4 hours or 1 day when information is required from external parties?