NQA MANAGEMENT SYSTEMS
SURVEILLANCE (REMOTE) PROCESS
AUDIT REPORT
CUTTING EDGE SERVICES
LIMITED
VISIT NUMBER:
589121
DATE OF OPENING
MEETING:
29/09/2021
THIS REPORT HAS
BEEN PREPARED BY:
REGIONAL ASSESSOR:
James Walker
CONTACT NUMBER:
07837276272
EMAIL:
APPLICABLE STANDARD(S):
ISO 9001:2015
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AUDIT REPORT PART A -
EXECUTIVE SUMMARY
At this location
Across all
locations
(Multisite)
Total employees
81
N/A
Repetitive or parallel workers
Directors x3; Managers x9;Management Accountant x2;Transactional Processing Supervisor
x1; Purchase Ledger x1;Statistical Data Analyst x1; Project Manager x1;Automation Engineer
x1;Senior Category Buyer x1;Category Buyer x1;Assistant Category Buyer x1;Compliance
Project Facilitator x1;Engineering Service Coordinator x1;Workshop Engineers
x1;Engineering Apprentice x2; Maintenance Officer x1;Field Service Managers x2;Field
Service Engineers x7;Machinery Sales Support Technician x1;Key account Manager
x2;Account Manager x1;Hand Tool Sales x1;Capital Sales x1;Customer Service Advisor
x2;Business Development Executives x2;Marketing Campaign Manager x1;Marketing
Creative Designer x1;Assistant Production Manager x1;Edge Centre Specialist x2;Production
Leaders x2;Drivers x3;Production Operatives x13;Assistant Warehouse Manager
x1;Warehouse Team Leaderx1;Warehouse Operatives x4.
N/A
The date of the next audit is:
06/09/2022 to 07/09/2022
Client Information
Primary Contact:
Agnieszka Tobola & Julie Smith
Address:
Matrix Park, Western Avenue, Buckshaw Village, Chorley, PR7 7NB
Contact Tel:
01772 458400
Contact Email:
quality@cuttingedgeservices.co.uk
Billing Contact:
Catherine Sanchez
Billing Tel:
01772 458400
Billing Email:
accounts@cuttingedgeservices.co.uk
Audit Conducted at:
Head Office
(multi-site certification)
☐
Participating /
Temporary Site
(multi-site certification)
☐
Single Site
Certification
☒
Audit Conducted as:
Fully On-Site
☐
Split On-Site /
Remote
☐
Fully
Remote
☒
System integration
(integrated audits only):
N/A
Additional information on integration
(if required):
N/A
Certificate expiry date(s):
16/10/2023
Required changes to EAC
or NQA Codes applied:
No changes required
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AUDIT REPORT PART A -
EXECUTIVE SUMMARY
Confirmation that audit objectives have been fulfilled: All objectives met.
NQA Audit Team
Client
Position
Attendance
Lead
Assessor
James Walker
Agnieszka
Tobola
Compliance Manager
Opening and
Closing
Member 1
Chris Spencer
Head of Procurement and
Development
Opening and
Closing
Member 2
Opening and
Closing
Details of Changes
Type of action or change required
Action
Required
Notes
Client Name Change:
☐
Change of Address:
☐
Scope Change:
☐
Contact Change:
☒
Julie Smith no longer a primary contact.
Number of Employees Change:
☒
Now 81, all full time.
Major NCs Raised:
☐
Plan full day on day 1, half day day2, avoid
Mondays. Intending to acquire ISO 14001
certification, not ready for quote.
Special Visit Recommended:
☐
Other:
☒
Client requests that the names of suppliers and
customers that are gathered in audit evidence
are redacted in the audit report.
Client requests audit planning to avoid
Mondays.
Client interested in acquiring UKCAB status to
deliver UKCA certification.
Audit Information
Audit duration (in days):
1.5
Scope of certification:
“The provision of high quality food processing machinery,
equipment and services to the food production, processing &
preparation industry, including knives, consumables, PPE, spare
parts, maintenance and sharpening services.”
Scope is appropriate.
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AUDIT REPORT PART A -
EXECUTIVE SUMMARY
Executive Summary
This audit was undertaken fully remotely. The ICT used in carrying out the Assessment was as follows:
• Teams was used for video conferencing and screen sharing facilities throughout. Telephone and email systems
were also used;
• Assessment objectives were fully achieved via these means;
• ICT systems used were fully effective in achieving the Assessment objectives.
been effectively demonstrated and commitment levels are evident.
This is reflected in the levels of compliance with requirements and operational control evident at the organisation which
are appropriate to the risks and opportunities identified.
There is good availability of documented information to demonstrate that the system is well implemented and well
understood throughout the organisation.
This audit has involved a review of system administration activities, a review and sample of activities at the HO location, as
well as review of job-related records.
Evidence was clearly available to demonstrate that the key policy commitments are being adhered to.
Grateful thanks are passed to all auditees for their time, assistance and hospitality during this audit.
It should be noted that this audit report is based on a sample basis, a fully comprehensive audit has not been undertaken.
Major
NCs
0
Minor
NCs
0
OFIs
0
AoCs
0
Is there any conflict of interest which exists between the Auditor(s) and the client, and are there
any situations known to them that present themselves, or NQA, with a potential conflict of interest
in respect to the audit undertaken.
No.
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AUDIT REPORT PART A -
EXECUTIVE SUMMARY
Audit Conclusion
- This visit was Satisfactory: Continuation or granting of certification is recommended
- No findings have been identified
- Any findings are as detailed on the following page(s).
Audit Follow-up Actions
The following post-audit action(s) shall be taken by the client: No action required.
Please note that certification will not be granted, reissued or revised until all outstanding Non-
Conformance responses have been submitted, and in the case of Major Non-Conformances, the
evidence of corrective action has been provided to, and accepted by, NQA.
For further information, useful guidance and further support for responding to audit findings, please
visit https://www.nqa.com/en-gb/clients/non-conformities
Management system performance, such as trends in audit
findings that require further investigation at the next
recertification audit.
Mandatory completion at the Head Office Audit of Surveillance Year 2
Not applicable at Surveillance 1.
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AUDIT REPORT PART B –
AUDIT REPORT
Clause
Summarise Action(s) Taken to Prevent Recurrence
Category
01
10.2
The organisation has an opportunity to improve its
nonconformity and corrective action processes by referring
to nonconformity as such to avoid confusion,
misclassification and soft grading of findings, and also to
increase the frequency of planned review of effectiveness of
corrective action to ensure that all corrective actions taken
are timely and effective.
NC/CAPA Process Improvement. Refer to Nonconformity
and Corrective Action.
OFI
Closed
Audit Findings
Ref
No.
Clause
No.
Details of any finding(s) raised.
Type
(Major NC,
Minor NC, OFI
or AoC)
No actionable findings identified.
End of Findings
Note: Responses to findings must be sent using the Corrective Action Plan form, as
applicable, to caps@nqa.com within the timeframes stated on Page 5.
Closure of Findings from Previous Audit:
Report No.592652, Dated 09/11/2020
Ref
No.
Detail of finding and client action:
Outcome
(Closed or
Escalated)
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AUDIT REPORT
Opening and Closing Meetings
Opening and closing meetings were performed in accordance with Form 335. The objective of the
audit was to confirm that the management system had been established and implemented in
accordance with the requirements of the audit standards.
Discussed awareness of remote audit plan and timescales.
Observed means of comprehensive HSE Induction to site.
Confirmed no changes to system scope. The organisation continues to assert no non-applicability
determination claims from BS EN ISO 9001:2015.
Significant changes to organisation include SH (HR Manager) left, now recruiting for HR Manager,
AT (Compliance Manager) joined 03/2021, SH (GM) left, management team restructure. Other
than those stated, no other changes of significance to management structure since previous audit.
The organisation reports no significant changes to company operations since previous audit other
than COVID-10 restriction adaptations and restructure changes identified.
The organisation reports no significant environmental or health and safety incidents, enforcements
or prosecutions have occurred since the previous audit.
The organisation confirms no unusual operations scheduled during this audit.
The organisation reports no major customer complaints or environmental / health and safety
complaints or issues with delivering contractual requirements have occurred since previous audit.
Discussed site visit requirements, required a minimum of once per audit cycle, to address any
remote activities within scope, plan to include local site visit at SV2, circumstances permitting.
Discussed approach to audit and availability of people.
Confirmed system scope, discussed and clarified business operations occurring on and off site and
within the system scope. Discussed applicability, no claimed nonapplicable clauses.
Reviewed certificate VUD 16/10/2023.
No unusual activities scheduled. No issues arising with adhering to Audit Plan as prepared.
Findings reviewed and closed out as per previous page(s).
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AUDIT REPORT
Process/audit area:
Organisational Context
Auditees:
AT, CS, SH
Auditor (if applicable):
Evidence to support audit conclusion:
Organisational Context: Purpose, Intended results, Internal and external issues, Needs & expectations of interested
parties, Documented management system scope, boundaries & applicability; Non-applicability justification; Quality
management system, Quality Processes
Organisational purpose: Everything we do, we do to give our customers the edge.
Strategic direction:
Business Strategy 2021 extract
Summary of Directors Strategic Vision for 2021, Executive summary
Business: The Cutting Edge Services (CES) business is the supply of equipment, parts, consumables, engineering
maintenance, PPE and sharp edges services to the meat, poultry, fish and food related industries in the UK and Eire.
The business is based in Chorley, Lancashire and employs over 80 colleagues.
Vision: Having traded through both Covid and the distraction of the changes at board level since 04 2019; the Board's
vision is use 2021 to consolidate out of hibernation. Key to this will be to reinstate the well proven systems,
procedures, structures and strategies employed pre-2017, whilst retaining the best learnings and practices
implemented during the H2020 period. Whilst we might achieve a modest growth in 2021, the primary focus will be to
create a platform to accommodate growth and development for 2022 and beyond. A secure and current operating
environment based on departmental procedures and a "whole business" CRM system will drive commercially viable
growth whilst addressing environmental, employee welfare and customer requirements. Fit for purpose processes will
reduce confusion, improve service levels and ultimately deliver better customer satisfaction in a cost-effective way.
Internal and external issues affecting intended results
IMS Form 016 Risks and Opportunities Matrix Rev 1.1 16/03/2021.
IMS_P 012 Planning to Address Risks and Opportunities Rev 1.1 15/07/2021.
Refer to Risks and Opportunities.
Departmental SWOT Analysis for example Compliance 2021 SWOT:
Strengths
Weaknesses
• Robust, fit for purpose QMS that core mangers still
understand
• Accreditations for all key customer focus points
• Experience and skill to be able to access correct information
and what is required of our suppliers
• Product knowledge
• Customer knowledge and sound relationship with added
awareness of their audits and how these work
• Supply chain understanding and TACCP assessment
• Adequate quantity of specifications for the diverse range of
products CES supplies
• Adaptable to industry developments/legislation updates
• Knowledge of current H&S regulations
• Lack of resource if quality manager is out of the business or
leaves and not being able to carry on maintaining the QMS
• Resource to cover increasing workload
• Suppliers who produce inadequate and/or limited product
specifications
• High/medium risk suppliers where site audit is not viable i.e.
far east suppliers.
• Historic suppliers without supplier approval documentation
• Little commercial awareness and relationships with suppliers
• Current complaints process does not ring fence supplier
issues
Opportunities
Threats
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AUDIT REPORT
•
• Supplier audits and building solid relationships
• New robust supplier approval process Reduction in
paperwork processes and streamlined procedures
• Additional resource either recruitment or migration of
tasks will help in meeting demands
• Products similar
poor quality
• Customers are generally loyal subject to price
• CM currently working her notice
• Failure to maintain QMS effectively during transition period
• Customers buying product elsewhere if technical
information is poor
• Customers going direct to suppliers for information
• Questionable supply chain visibility and reliable information
from worldwide suppliers
• Loss of business due to compliance failure
Departmental Business Plans, for example Compliance 2021 Key Tasks and Objectives Project tracker:
#
Tasks/Projects
J
F
M
A
M
J
J
A
S
O
N
D
1.
ISO retention
2.
BRC retention
3.
Complaints/Cases management
4.
Departmental Procedures & Document Control
5.
Supplier approval process
6.
Critical KPI reporting
7.
H&S Internal Audit program
8.
ISO14001
Needs and expectation of interested parties
IMSP022 Rev 1 08/04/2021 including:
STAKEHOLDER
IDENTIFICATION
Interested Parties
Influence
(H, M,L)
Interest
(H, M, L)
Needs & Expectations
Internal
Owner & Directors
H
H
Profitability
H
H
Professionalism of end-to-end operations
H
H
Legal obligations
H
H
Security
Employees
H
H
Job security
H
H
Positive working environment
H
M
Career prospects
H
H
Personal development
H
M
Skill enhancement
H
M
Salary expectation
External
Customers
H
H
Reliability & quality
H
H
Satisfied customers
Suppliers
H
M
Reliability & quality
H
H
Aligned
H
H
Compliant
Bank
L
L
Profitability growth
L
M
Liquidity
Accountants
M
H
Accuracy of records
M
M
Integrity
Neighbours
L
M
Environmental Impact
Company Insurance
M
H
Comprehensive management of risk
Primary
Certification Bodies – NQA –
ISO9001 UK Food Cert – BRC,
Alcumus - SafeContractor,
Regulatory enforcers - HSE,
H
H
Compliance to standards, legislation and codes of practises
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Scope, boundaries, applicability
Documented scope The provision of high quality food processing machinery, equipment
and services to the food production, processing and preparation industry including knives, consumables, PPE, spare
parts, maintenance and sharpening services.
No claimed non-applicability determinations.
CES-HARM-007 - Scope Rev 1.0 11/03/2021.
CES-HARM-004 - Validation and Verification - Rev 1.0 11/03/2021.
Quality Management System and Processes
Quality Management System Processes, interacting, supported by Documented Operating Procedures including:
PHE, HMRC, United Utilities,
Environment Agency
Resources
H
H
Systems – software / hardware (IT)
Staff levels – appropriate
Processes and workflows
Secondary
Families of employees
M
H
Duty of care , work life balance
Tertiary
Utilities- Water, Electricity, Gas
H
L
Safe, responsible operating practices ie environmentally
aware, H&S systems.
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
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Process/audit area:
Leadership
Auditees:
AT, CS, DM (MD)
Auditor (if applicable):
Evidence to support audit conclusion:
Leadership and Commitment & Customer Focus
Leadership interview with DM (MD): Product quality is the heart of the business from early stage BS5750, bought in,
right first time approach, systems developed from early days, management team set quality objectives, continuous
improvement, staff buy in, growth in turnover, implemented programme, new board of directors in 2016, workshops,
employee participation, monitoring and measurement, returned 2019, consolidation, transitional year, Brexit issues,
pandemic issues, recruited new Compliance Manager and Compliance Project Facilitator, local economic benefit,
management meeting, matters arriving, CRM system, management review, departmental manage meeting, supplier
management meeting, supplier management process improvement, proper supplier management, suppliers risk rated,
reviewed at board, category buyers, repeat issues with suppliers, supplier review agenda subject to risk rating, and
issues, mostly big capital machinery suppliers, processor machinery, chain mail gloves, impact on end-user, for
example, continuous improvement, metrics, board level review, management meetings, dashboards, work in progress,
MI processes, safety protection improvements, band saw, for example supplier of skinning & de-rinding machinery,
operator safety, non-uniform process, removal of risk, manufacturer safety system, opportunity to improve safety,
commissioned tech team to develop improvements in safety of machinery, improve injury response time, customer
focus, challenging times, maintained customer focus, no access to customer factories, limited admission to maintain
machinery on site, full engaged with customer on service aspect of business, sales drive quality and return of
investment, development of products and services, with customer engagement, including labour saving devices.
QMS Processes supporting Leadership and Commitment and Customer Focus, including:
Accountability for the effectiveness of the management system, for example by ultimately the Board for example
participation in Management Review, Strategic Direction, Business Planning and Strategic Objectives.
The Quality Policy and system objectives, for example established reviewed and authorised and reviewed at
Management Review.
The integration of the management system requirements into the core business processes, for example via QMS
Procedures, SCM Procedures.
The use of the process approach and risk-based thinking, for example System Mapping, QMS Procedures, SCM
Procedures, COVID-19 Planning, Brexit Contingency Planning, Supplier Risk, Continuity Planning.
The resources provided and availability, for example Business Planning including Resources Required, reviewed at
Management Review.
The means of communicating the importance of the management system and of conforming to the management
system requirements, for example Board Members review at Management Review meeting, Training for Workers
Management System requirements, contractual requirements to comply with Policy, performance reviews continuing.
The means of ensuring that the management system achieves its intended results, for example Strategic Direction,
Business Planning and Strategic Objectives, KPI monitoring, reviewed by SMT and authorised by Board.
The means of engaging, directing and supporting people to contribute to the overall effectiveness of the management
system, for example Senior Management engagement with workers, Performance Review.
The promotion of improvement, for example via continuous improvement programme, complaint management,
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AUDIT REPORT
nonconformity management;
The support provided to other relevant management roles to demonstrate leadership as it applies to their areas of
responsibility, for example Senior Management engagement with workers, Performance Review, COVID Review
Meetings;
customer and applicable statutory and regulatory requirements are determined, understood and consistently met via
focus on compliance requirements;
the risks and opportunities that can affect conformity of products and services and the ability to enhance customer
satisfaction are determined and addressed via operational processes including knife service process measurement,
monitoring feedback on performance;
the focus on enhancing customer satisfaction is maintained via customer surveys, customer feedback, communication
with customers, excellent customer feedback.
Quality Policy
IMS-POL-001 Quality Policy Revision 1.0 Revision Date 12/03/2021 record signed by DM (MD) apprioate to purpose
and context, includes objectives framework and required commitments, docuemted, available and communicated.
Refer to Competence and Awareness.
Organizational roles, responsibilities and authorities
Organisational Structure 2021
Senior management assigns responsibility and authority for:
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Director and ensuring of its conformity lies with Compliance Manager and CES Management Team;
monitor the processes and deliver intended outputs;
rovement, in particular to top management:
Compliance manager has responsibility of reporting to Head of Procurement & development and to Managing Director;
: Contact Centre Manager and Marketing
Manager, with support of Compliance Manager;
Compliance
Manager is reporting required changes with overall responsibility for QMS with Managing Director;
Job Specification records sampled including:
Warehouse Operative 01/2017.
Production Quality Controller 03/2021.
Compliance Projects Facilitator 02/2021.
Compliance Manager 03/2021.
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
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Process/audit area:
Planning
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
Actions to address risks and opportunities, Quality Objectives and plans to achieve them, Planning of Changes, Continual
improvement
Actions to address risks and opportunities
IMS_P 012 Planning to Address Risks and Opportunities Rev 1.1 15/07/2021.
IMS_P 015 Hazard and Risk Analysis Management Rev 1.1 15/07/2021.
Risks and Opportunities Matrix record 07/09/2021 including:
ISSUE
CATEGORY
PROB
ABILITY
(1-4)
SEVE
RITY
(1-4)
OUT
COME
(P X S =
LMH)
Compliance
obligation /
applicable
requirement
Control Measures In Place
Media Campaigns
Eg."Frankenchickens"
S,F
2
4
8
NO
CES Ltd Management Team will discuss any matters arrising
during the monthly management meeting; compiliance
monitoring of the current situation on 2-weekly basis and via
newsletters and subscription
ISO 14001
Q, S -
environment
2
3
6
YES - ISO 14001
accreditation
1.GAP analysis for the requirements - to be able to comply with
ISO 14001 requirements; 2. team effort in supply of
environmental aspects and impacts
Sustainability
S- Ethics
3
3
9
YES
Member of SEDEX , continously reviewed and membership
renew with all relevant requirements fulfilled
Environments
S- Environment
4
4
16
YES
Site is supported by Comply Direct with regards to Plastic Tax
(levy) and WEEE
Clarity on Business
Strategy and Objectives
E - Engagement
2
3
6
NO
Business plans in place that include business stratgey
Employee Engagement
E - Engagement
2
2
4
NO
Develop an action plan to engage empolyees.
SKILLS & TALENT
SQDCCE
3
4
12
YES
Review Competency & Training assessments of personnel
Who is responsible for delivery of training ?
Who is responsible for competency / assessment of training ?
Who is responsible for updating training matrices / records/
saving certificates ?
Inhouse knife
sharpening
F - finance
2
2
4
NO
Internall quality standards and competetive price, high levels
on customers visits increasing customer satisfaction ;
Supplier & Service
Provider Assessment &
Monitoring
4
4
16
YES
Supplier Approval process which is robust and allows to work
with suppliers without risk to business and customers. Supplier
performance is monitored via a number of metrics and any
concerns are raised via supplier cases and discussed at review
meetings which take place at least annually (pandemics not
with standing)
HARM Assessments
S,Q,D
2
3
6
BRC Requirement,
IMS_P 015 Hazard
and Risk
Site HARM Teams
and Assessments
BRC Requirement, IMS _P 015 Hazard and Risk Assessment
Procedure Site
HARM Teams and Assessments
Legal Requirements
Q
4
4
16
YES
UKCA certification - working advanced to dead line of 1st Jan
2023 Food Safety
Legislations ISO standards
requirements relevant to specific products
Competition
F
4
4
16
Certification ISO
9001, BRCGS S&D,
SafeContrctors,
SEDEX,
Fullfilment of certification requirements
Customer Satisfaction
F - finance
4
4
16
Certification ISO
9001, BRCGS S&D,
SafeContrctors,
SEDEX,
Processes and procedures in place, and continual improvement
Incident Management
S,Q,D,
3
3
9
YES
IMS_P 018 Incident Management - rev 1.1 - 20210715
Crisis Business/ Disaster
Recovery Plan
S,Q,D,
4
4
16
YES
Is a requirement under BRC, ISO 9001 and ISO 14001. Clarify
who owns this process - for BUSINESS CONTINUITY .
Implement annual simulation / test of Process to ensure
effective and learn how to plug the gaps..
Product Recall ,
Withdrawal
S,Q,D,
3
3
9
YES under BRC,
ISO 9001 and ISO
Annual mock recall IMS_P 016
Product Withdrawal or Recall - rev 1.1 - 20210715
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14001.
Asset Loss
F
4
4
16
No
Monthly management reviews , counts, stock taking , real time
intelligence , access controls , Site Security RA , Liability
Insurance
Social Media
2
3
6
NO
Code of Conduct, Consent for picture publication , account
access per platform
NPD
S,Q,F,E
4
4
16
Accreditations
and certfication
relevant to
products/services
Supplier Approval process which is robust and allows to work
with new supplier without risk to business and customers.
Department staffed by personnel with appropriate skills &
experience to ensure new products are suitable for our target
markets.
Privacy and Information
Security
S- SAFETY &
C-COST
3
4
12
YES
CES-HRDOC-014 - Data Protection Policy - rev 1.0 - 20210820
CES-HRDOC-015 - Privacy Notice for Employees - rev 1.0 -
20210820 Servers backed uo
through out day, and data held in THE CLOUD.
Opportunity
Activity / Concerns
PROB
ABILITY
(1-4)
SEVER
ITY
(1-4)
OUT
COME
(P X S =
LMH)
1. Widen product portfolio to non protein market if
the sales of current product will be ; 2.; get involved
avaliable webinars to decrease the risk
1. exploit existing machinery for purposes other than meat , like Glass,
Siebeck , SterilAir , etc . ; 2. Consider expanding knife service towards non
meat markets (fish/vegetable)
2
3
6
1.IMS implementation including environmental ; 2.
roll out environmental training/awarness - 30/10/21
; Opportunity to move toward "greener approach"
1. JS - gap analysis to be finished , internal ISO 140001 preaudi; 2. What
Groups are we signed uo (WRAP
2
3
6
Link ethical standard with the IMS and include
Corporate Social Resposibility Policy
N/A
2
3
6
Review the governement propsals regarding plastic
packaging tax and look into products out of scope
Meeting with cxomply direct representative to understand the impact of
the palstic packaging tax on the business , include Finance in the future
requirements for the payments , include information on the invoices that
plastic packafing tax has been payed to acknowledge customers
3
4
12
IMS for Quality , Product Safety & future
environment Environmental
Communicate Business Strategy
Last QMS review meeting included R&O matrix and
will be reviewed and monitored on monthly basis to
concentratge on the highest risk
Communcation regarding R&O progress to be agreed ?
Agree how to communcate the strategy and progress to all employees -
meetings/briefings ?
1
3
3
Listen to employees. Identify what CES can do to ,
motivate employees, and engage in "our vision",
improve morale and reduce staff turnover.
Establish / review engagement (Quality culture plan 2022) . Site Briefings
regarding above planned for Q1 2022. HR and Operations review & risk
assess skills loss and retention of staff. Eg How many employed for 5 / 10 /
15+ years
1
1
1
about how to improve Safety , performance and
profitability.
Opportunity to standardise training & competencey
assessments & the documentation for this across all
the departments
It's easy to see training as a cost rather than an investment, can we reflect
on the value it brings and also reducing the cost of recruiting new people
if disgruntled employees leave . Review Trainng across all departmenrs
2
3
6
New technologies development to increase scale and
performace - expansion of current market
Development process and quality consistency
2
1
2
Improving supplier performance and/or product
quality will improve our service to our customers,
reduce input costs and facilitate strategic decision
making on margin protection and growth of market
share.
Failure of business intelilgence programs causes gaps in data making
meaningful performance monitoring extremely difficult and reduces
supplier confidence in the integrity of our data.
1
3
3
Site Senior management to ensure that all hazards to
product safety, quality and legality are identified and
appropriate controls established
Summary of HARM assessments to be reviewed by Top management - this
is a BRC requirement and will be included at IMS Management Review.
Compliance to Product Safety and Industry Standard
requirements ; and Complaince Obligations as
required ISO 14001 - IMS Legal Register
to be created Leader on the
market regarding UKCA Certifdication
*AT-CS working towards certifcation ASAP *Legal
register to be set up and become part of compliance requirement
1
4
4
Identify specific threats and develop startegies to
combat them
specify department sepcific threats and assign actions
2
4
8
Increasing customer satsfaction , which may result in
increase in renewed business - determination of their
needs and expectations
Work towards mesuaring of the customer
satisfaction via differetn portals/surveys to inrease
expectations
* KD -improvement data capture regarding customer satisfaction
2
3
6
Take opportunity to improve, make this a robust
process by linking it in with the IMS. RISK = ISO 1400
At IMS Review (07/09/21) agree Plan for Test Simulation & Training /
awareness of Emergency Preparedness
2
3
6
Version 21.1
Page 16 of 49
AUDIT REPORT PART B –
AUDIT REPORT
NCR
Take opportunity to impove make this a robust
process by linking it in with the IMS.
Review IMS_P 020 BCP - rev 1.0 - 20210517
2
4
8
Opportunity to improve. Poorly handled recalls can
have a significant impact on brand reputation,
consumer loyalty & future business success. A well
planned & executed product recall can improve
brand perception for over 85% of customers.
Review current control measures in place and assess if product recall
should be a separate process due to its nature
3
2
6
Improvement of financial management , quality
control, efficiencies
Continuous improvement and monitoring
2
2
4
Develop a formal mechanism with Marketing to
actively promote the good things that CES do.
Continue to publish achievements and news on regualr basis
2
2
4
Opportunity is two fold; development/introduction
of new products can grow our offer to existing
customers, open up new markets and drive business
growth. At the same time it gives us a level of
protection losing market share because the existing
portfolio has been made less attractive to customers
due to process change, technological advances or
new competitors entering the market.
The clearly defined NPD Process ensures that we focus investment in ideas
that have the greatest potential for success
2
2
4
Inroducing further Security measures - eg. FortiCLient
app log ons for working remotely
Greater awareness for employees of their
responsibilities with regards to Data Protection .
The 'Data Protection Policy - Employee Responsibilities' outlines individual
responsibilities for data protection, however again we do not ask for
employees to sign this document.
The Privacy Notice is a document issued by the company to employees
informing them of the categories of employee data we hold, where it
comes from and what we do with it.
2
4
8
Quality objectives and plans including:
Quality Objectives - Edge Centre
Objective
Action
Timescale
Measured by
Increase customer satisfaction by
delivering a more consistently sharp
edge
Increased frequency of random KST inspections of operators work
standard. Rework will be mandated for knives below standard. All knives
must score at least 8 and the operator must average 8.36. Additional
training will be given where results are repeatedly below standard.
Whole
year
Edge Centre production
records on server
Grow capacity by maximising line
efficiency at acceptable quality levels
Constantly monitor line efficiency and operator processing speed at QC
pass levels. Operators who repeatedly fail to achieve process targets at QC
pass levels will be given additional training
Whole
year
Edge Centre production
records on server
Quality Objectives - Engineering Workshop/Field Service
Objective
Action
Timescale
Measured by
Deliver future improved Customer
Satisfaction by benchmarking
breakdown response times to set
targets for next year
Date & time of breakdown being notified to us is now recorded. Resolution
date is populated when complete to create SLA record for each breakdown.
Whole
year
Collating sufficient data to
set a % improvement
figure for 2021
Increase customer satisfaction by
completing planned service work in line
with their production requirements
Monthly planning meeting to review confirmed work compared to available
man hours, with customer specific requests factored in. Customers are then
notified of the plan so they can request revisions before the plan is
confirmed. Changes to the plan are then recorded so engineers and
customers affected can be notified
Whole
year
Collating sufficient data to
set a % improvement
figure for 2021
Deliver future improved Customer
Satisfaction by analysing complaint
numbers and response times to set
targets for next year
Engineering Coordinator will process all cases/complaints, sharing
outcomes and resolution times to identify areas for improvement. These
will then be assessed to agree targets for better future performance
Whole
year
Collating sufficient data to
set a % improvement
figure for 2021
Ensure we minimise risk to customers
and our own team by working at all
times within constantly changing Covid
control measures
New RAMS have been created incorporate customer requirements and
government guidelines relating to Covid control measures. Additional PPE
has been issued to all staff. Engineering coordinator is responsible for
ensuring control measures are updated as guidance changes
Ongoing
No customer complaints
for failure to comply with
requirements. Assessment
of any positive tests for
team members to ensure
we have taken all
reasonable precautions
Quality objectives are communicated via Quality via Team briefings, informal and formal. Progress on plans to
achieve quality objectives reviewed at Management Review. Refer to Management Review.
Strategic Objectives. Refer to Strategic Planning.
Departmental Objectives. Refer to Departmental Business Plan.
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
Version 21.1
Page 17 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Process/audit area:
Performance Evaluation
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
Performance Evaluation, Management review; Monitoring, measurement, analysis, evaluation; Customer satisfaction;
Internal audit
Management review
IMS Form 019 IMS Management Review Checklist Form Rev 1 09/04/2021 record 07/09/2021 period 2021/22, attendees
include DM (MD), KD (Head of Marketing), GB (Head of Engineering), KL (Head of Production ad Distribution), CS (Sales
Manager), CS (Head of Procurement and Development), LL, SF (Contact Centre Manager), LB (Commercial Finance
Manager),
Top-Level Review
Commentary
Any
Actions
Require
d? (Y/N)
If Yes brief overview of
Actions
Review
Date of
Actions
Goal
Met?
(Y/N) or
N/A IF not
applicable
Item 1. Follow up
from Previous IMS
Review
No open actions from previous meeting , al have been closed out in timely
manner
N
Yes
Item 2. Q & F.S ,
Site Security ,
Policies & Scope
Q&F.S audits has been conducted within the requirement of internal audit
schedule, all the NCRs/OFI has been closed out within 28 days as per CAPA
log, all avaliable to view ; Site Security has been reviewed in April 2021
after NCR raised during the audit , no further changes required as all
elements have been agreed during todays meeting .
All current policies read / reviewed with an emphasis on Quality Policy ,
agreed by the management and BoD , current version of policies with new
visual standard will be signed by DM in due course - to be displayed in
reception
Scope with regards to ISO 9001- is this still relevant( BRC Scopes will be
annually assessed by Sites with BRC auditors) - can be found in CES-HARM-
007 - Scope - rev. 1.0 - 20210311 - no chnages required unless stated
during the ISO audit
Y
DM- to sign all current
policies due to visual
format beeing changed
20/09/2
021
Yes
Item 3. Review of
Interested Parties
Interested parties have been reviewed during the time of meeting , with
relevant changes applied - new version of interested parties document can
be found in X:\1. DOCUMENT CONTROL -LOG AND DATABASE\2. IMS High
Level Procedure under IMS_P 022 Interested Parties - rev 1.1 - 20210907
with new revision number and date of the review
N
Item 4. Risks &
Opportunities
Risk and opportunities matrix has been reiew taking under consideration
current requirements of ISO , businnes strategy and quality objectives , the
reviewed document is located X:\10. MANAGEMENT REVIEW\QUALITY
MANAGEMENT SYSTEM REVIEW 2021
Y
please refer to
document itself - actions
monitoring will be held
during the monthly
management meeting
2021/20
22
Item 5. HARM -
Hazard & Risk
Hazard and risk management review has been held 11/03/2021 with the
multi-discipinary team. The format of the HARM has been changed to be
N
Version 21.1
Page 18 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Management
more thorough and align with Codex Alimentarius rules ; no issues
identified between last review and QMS review meeting
Item 6. Legal
Internal and external audit have not highlighted any issue with compliance
towards requirement of current legislation . Discussion regarding UKCA
certification and future steps towards compliance with requirements.
Investigation regarding requirements of PRN and Plastic Packaging tax
(scope of products)
Y
AT - to investigate
possibility of self
certification for UKCA ;
investigation with
Comply Direct if
products like ,, poultry
band , pollycotton twine
and spiraltwist twine will
fall into scope of PRN
and Packaging Tax
UKCA -
Jan
2023
PRN -
Dec
2021
Packagi
ng Tax -
Mar
2022
Item 7. Internal
and external audit
results
Internal audits have not highlighted any major issue with current processes
and procedures , pre-iso audit has resulted in internal NCR and some OFI
which can be viewed in internal CAPA log with assigned personel to close
out actions with timely manner
Y
All - CAPA Log
20/09/2
021
YES
Item 9. Status of
corrective and
preventive actions
(CAPA)
Status of CAPA discussed with use of Internal CAPA Log and CL200 cases
analysis
Y
training of all employees
in RCA and correct use of
CA/PA
Q2 2022
Item 10.
Equipment
resources
requirements
Equipment resources sufficient , no changes required
N
Item 11. Work
environment &
Infrastructure
requirements
No changes in work environment and infrastructure has been highlighted
during the time of the meeting
N
Item 12. IMS
System & Other
resource
requirements
Current equipment and resources are sufficient for the correct
performance of Management Systems in place , although this may be a
subject to change due to new business plan submission due Oct/Nov 2021
Y
New business plans to be
submitted to BoD which
w3ill include any
requirement for
resources and/or
equipment. This will feed
into business strategy
outcome
Q4 2021
Item 13. Training
Programs
Training programmes in place with time of training added to each element ,
all available in Cascade
N
Item 14. Suppliers
& Service
Providers
Product and services Supplier approved with use of Approved Suppliers
procedure IMS_P 003 Supplier Approval - rev 1.0 - 20210312 & IMS-FORM-
001 Supplier Approval Log - rev 1.0 - 20210312
Y
review of all suppliers
which documentation is
nearly out of dat e or out
of date , uniform format
of supplier review to be
approved and
implemented - CS
Q2 2022
Item 15. Quality
KPI s
Quality Key performance indicators discussed based on 2020 internal
document , no changes to be included in current year KPI
N
Item 16. Customer
feedback
Customer feedback assessed with use of email communication and phone
calls made to and from customers
Y
DATA CAPTURE system
to be developed for
customer feedback
which will increase
customer satisfaction
levels - KD/SF
Q3 2022
Item 17. Strategic
Direction of the
company
Re-read document submitted by DM - April 2021
N
Item 18.
Performance of
the QMS
Current QMS system is robust and no further actions are required , also ISO
9001:2015 audit will highlight any potential gaps if any
N
Item 19.
Recommendations
for improvement
to products,
services, or QMS
Customer feedback and satisfaction data capture recommended ;
uniformity of supplier review process
N
all actions as mentioned
above
Internal audit
IMS_P 019 Internal Audit Procedure Rev 1 08/04/2021.
Checklist approach.
Version 21.1
Page 19 of 49
AUDIT REPORT PART B –
AUDIT REPORT
IMS Form 20 Internal Audit Schedule Rev 1.0 Audit Cycle 2021
QMS Form 023 Internal Audit Rev 1.0 30/06/2021 records
Audit
Scope
Criteria
Date
Auditor(s)
Auditee(s)
NCR / CAPA
OFI
Pre-ISO/4
Context
ISO 9001:2015 / 4
17/08/2021
JS
CES Management team + Compliance Manager
0
2
Pre-ISO/5
Leadership
ISO 9001:2015 / 5
17/08/2021
JS
Management Team
0
1
Pre-ISO/6
Planning
ISO 9001:2015 / 6
18/08/2021
JS
Management Team
2
1
Pre-ISO/7
Support
ISO 9001:2015 / 7
18/08/2021
JA
Management Team
0
0
Pre-ISO/8
Operation
ISO 9001:2015 / 8
19/08/2021
JA
Management
0
1
Pre-ISO/9
Performance evaluation
ISO 9001:2015 / 9
19/08/2021
JA
Management - Compliance Manager
0
0
Pre-SO/10
Improvement
ISO 9001:2015 / 10
19/08/2021
JS
Management Team
0
0
IMS-P-001
Admission to Site
IMS Procedure(s)
09/08/2021
JA
Customer Service / KL
0
1
IMS-P-002
Training
IMS Procedure(s)
09/08/2021
JA
Dept Managers
0
0
IMS-P-003
Supplier Approval
IMS Procedure(s)
17/08/2021
JA
Supply Chain
0
0
IMS-P-004
Management Review
IMS Procedure(s)
10/08/2021
JA
All Managers
0
0
IMS-P-005
Doc Control
IMS Procedure(s)
10/08/2021
JA
Compliance Manager , Warehouse Manager
0
0
IMS-P-006
Product Safety
IMS Procedure(s)
10/08/2021
JA
Employees & Compliance Manager
0
0
IMS-P-008
Complaint Management
IMS Procedure(s)
10/08/2021
JA
Compliance Manager and Customer Service
0
0
IMS-P-009
Cleaning
IMS Procedure(s)
11/08/2021
JA
Compliance Manager and Department Managers
0
0
IMS-P-0010
Distribution Control
IMS Procedure(s)
11/08/2021
JA
Compliance Manager and Department Managers
0
0
IMS-P-0014
Control of NC Items
IMS Procedure(s)
11/08/2021
JA
Compliance Manager and Department Managers
0
0
IMS-P-0015
HARM
IMS Procedure(s)
12/08/2021
JA
Compliance Manager and Department Managers
0
0
IMS-P-0016
Product Withdrawal or Recall
IMS Procedure(s)
12/08/2021
JA
Compliance Manager , Customer Service
0
0
IMS-P-0017
Purchasing
IMS Procedure(s)
12/08/2021
JA
Supply Chain
0
0
IMS-P-0018
Incident Management
IMS Procedure(s)
12/08/2021
JA
Head of Procurement / Managing Director
0
0
IMS-P-0019
Internal Audit
IMS Procedure(s)
02/09/2021
JA
Compliance Manager
0
0
IMS-P-0021
Equipment Maintenance & Calibration
IMS Procedure(s)
02/09/2021
JA
PW
0
0
TOTAL:
2
6
Version 21.1
Page 20 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Review of internal audit process underway to improve effectiveness, inclduing identification of nonconformity and
opportunity for improvement.
Monitoring, measurement, analysis, evaluation
Monitoring, measurement, analysis, evaluation results reviewed at management review.
Refer to Management Review.
Monitoring and measuring data including:
Knife Issue Log record:
Operators
Number
Knife
Number
Knife
Replacement
Time in use
Hrs
Edge Maintenance tool
Application
Reason for Change
Please put an X in the appropriate box below
X1
Ergo
Bobet
Pole
Steel
Loin
Belly
Sh/Bi
n
Lg/Bin
Trim
Dragg
ing
Not
Lastin
g
Edge
not
sharp
Too
Small
1
89
324
E3
10 MIN
X
X
X
X
X
2
23
E4
E18
10 MIN
X
X
X
X
3
20
291
E5
10 MIN
X
X
X
X
4
62
546
E2
10 MIN
X
X
X
5
17
365
369
6.5
X
X
X
X
X
6
38
214
E1
2.5
X
X
X
X
7
17
205
E30
4
X
X
X
X
8
12
222
E6
4
X
X
X
X
9
85
200
E7
4
X
X
X
X
10
59
203
E8
4
X
X
X
11
18
107
E9
6
X
X
X
X
12
62
94
E48
6
X
X
X
X
Risks and Opportunities Monitoring. Refer to Risks and Opportunities.
Customer satisfaction monitoring, feedback
IMS_P 023 Customer Satisfaction - Rev 1.0 -08/04/2021.
Customer feedback assessed with use of email communication and phone calls made to and from customers, including
Customer MW Job 345841 09/2021.
Customer TH Job 346159 09/2021.
Customer H&C 09/2021.
Data Capture system to be developed for customer feedback which will increase customer satisfaction levels for Q3 2022.
Complaints monitoring
IMS_P 007 Complaint Management - Rev 1.0 16/03/2021.
Refer to Complaints.
Incidents monitoring
IMS_P 018 Incident Management - Rev 1.1 15/07/2021.
Refer to Management Review.
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
Version 21.1
Page 21 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Process/audit area:
Improvement
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
Complaints, Nonconformity and corrective action
Nonconformity and corrective action
IMS_P 014 Control of Non-Conforming Items - rev 1.1 20210715
IMS Form 003 CAPA Log Rev 1 2021 record
CAPA Log record
CAPA
Number
Date
Submit
ted
Findings
Scope
Type
Audit
or/
Custo
mer
Brief Description
Assign
ed to
Date
Assign
ed
Req
Action
Due
Date
Overdue
Action
Comp
lete
Date
Effecti
venes
s
Revie
w
Date
01
08/03/
2021
NCR
Clause
1.1.2
Internal Audit
AT
Missing written agenda
JS
09/03/
2021
15/04/
2021
NO
25/03/
2021
10/04/
2021
02
08/03/
2021
OFI
Clause
1.1.2
Internal Audit
AT
Document Not
controlled
JS
09/03/
2021
15/04/
2021
NO
25/03/
2021
24/03/
2021
03
08/03/
2021
NCR
Clasue
1.1.3
Internal Audit
AT
Not all required
objectives mentioned in
document
JS/AT
09/03/
2021
15/04/
2021
NO
12/03/
2021
12/09/
2021
04
08/03/
2021
NCR
Clasue
1.1.4
Internal Audit
AT
No date of next review,
no previous minutes
and actions discussed
JS
09/03/
2021
15/04/
2021
NO
25/03/
2021
16/09/
2021
05
08/03/
2021
OFI
Clause
1.1.5
Internal Audit
AT
No action dates set, no
records for actions
completed
JS/AT
09/03/
2021
15/04/
2021
NO
25/03/
2021
16/09/
2021
06
08/03/
2021
NCR
Clause
1.1.11
Internal Audit
AT
CL200 no actions or
CAPA's
ALL
09/03/
2021
15/04/
2021
NO
17/03/
2021
imple
menta
tion of
new
CRM
07
08/03/
2021
OFI
Clause
1.2.1
Internal Audit
AT
Organisational chart -
doc control missing ,
revision date
SH
09/03/
2021
15/04/
2021
NO
23/03/
2021
22/03/
2022
08
08/03/
2021
NCR
Clasue
2.1
Internal Audit
AT
Prerequisite
programmes not
avaliable
AT
09/03/
2021
15/04/
2021
NO
25/03/
2021
N/A
09
08/03/
2021
NCR
Clasue
2.2
Internal Audit
AT
no multi-disciplinary
team set
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
10
08/03/
2021
NCR
Clasue
2.3
Internal Audit
AT
No HARA team leader
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
11
08/03/
2021
NCR
Clasue
2.5
Internal Audit
AT
No implementation of
HARA
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
12
08/03/
2021
NCR
Clasue
2.6
Internal Audit
AT
No Scope for HARA and
No HARA process flow
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
13
08/03/
2021
NCR
Clasue
2.7
Internal Audit
AT
No hazards specified
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
14
08/03/
2021
NCR
Clasue
2.8
Internal Audit
AT
HARA analysis
incomplete
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
15
08/03/
2021
NCR
Clasue
2.9
Internal Audit
AT
Hazard control - not
avaliable
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
16
08/03/
2021
NCR
Clasue
2.10
Internal Audit
AT
No control by
prerequisites
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
17
08/03/
2021
NCR
Clasue
2.12
Internal Audit
AT
No hazard and risk
analysis performed
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
18
08/03/
2021
NCR
Clasue
2.13
Internal Audit
AT
No review as no system
in place
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
19
08/03/
2021
OFI
Clasue
3.1.2.1
Internal Audit
AT
HR documents to be
changed and updated
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
20
08/03/
2021
OFI
Clause
3.1.2.3
Internal Audit
AT
Improvement of visual
for doc control
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
21
08/03/
2021
OFI
Clause
3.2.1
Internal Audit
AT
Vague scope of internal
audit audits
AT
09/03/
2021
15/04/
2021
NO
25/03/
2021
24/03/
2021
22
08/03/
2021
OFI
Clause
3.2.4
Internal Audit
AT
NCR & CR not clear
AT
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
23
08/03/
NCR
Clause
Internal Audit
AT
No clear resposnisbility
JS/AT
09/03/
15/04/
NO
17/03/
imple
Version 21.1
Page 22 of 49
AUDIT REPORT PART B –
AUDIT REPORT
2021
3.3.1
for CAPA
2021
2021
2021
menta
tion of
new
CRM
24
08/03/
2021
NCR
Clause
3.3.2
Internal Audit
AT
NCR not closed within
given time frame
ALL
09/03/
2021
15/04/
2021
NO
25/03/
2021
20/04/
2021
25
08/03/
2021
NCR
Clause
3.3.3
Internal Audit
AT
No internal
investigation or RCA in
place
ALL
09/03/
2021
15/04/
2021
NO
25/03/
2021
20/04/
2021
26
08/03/
2021
OFI
Clasue
3.4.1
Internal Audit
AT
Review of contractual
agreements
CHARL
ES
09/03/
2021
15/04/
2021
NO
15/03/
2021
15/03/
2022
27
08/03/
2021
OFI
Clause
3.5.1.3
Internal Audit
AT
Supplier reviews not
unified
BUYER
S
09/03/
2021
15/04/
2021
NO
17/03/
2021
imple
menta
tion of
new
CRM
28
08/03/
2021
NCR
Clause
3.10.2
Internal Audit
AT
Data not analised and
investigated
AT
09/03/
2021
15/04/
2021
YES
16/04/
2021
20/04/
2021
29
08/03/
2021
NCR
Clause
3.10.3
Internal Audit
AT
Supplier complaint
procedure
BUYER
S
09/03/
2021
15/04/
2021
NO
16/03/
2021
imple
menta
tion of
new
CRM
30
08/03/
2021
OFI
Clause
4.2.1
Internal Audit
AT
Site risk assessment to
be updated with
prerequisites minimising
risk
JS/AT
09/03/
2021
15/04/
2021
NO
25/03/
2021
24/03/
2021
31
08/03/
2021
NCR
Clause
4.2.2
Internal Audit
AT
site access not
monitored , gate broken
SHO
09/03/
2021
15/04/
2021
NO
20/06/
2021
32
08/03/
2021
NCR
Clause
4.3.5
Internal Audit
AT
Not enouhg coshh
cabinets for sprays and
not enouhg chem bungs
KL
09/03/
2021
15/04/
2021
NO
25/04/
2021
33
08/03/
2021
OFI
Clause
4.4.10
Internal Audit
AT
Building fabric
monitored althouhg not
in internal audit form
CRAIG
09/03/
2021
15/04/
2021
NO
25/03/
2021
NEXT
AUDIT
34
08/03/
2021
NCR
Clause
6.4.2
Internal Audit
AT
Insufficient cleaning
practicies
KEITH
/
CRAIG
09/03/
2021
15/04/
2021
NO
15/04/
2021
2-
weekly
walks
35
08/03/
2021
NCR
Clause
6.4.7
Internal Audit
AT
No verification of
cleaning
KEITH
/
CRAIG
09/03/
2021
15/04/
2021
NO
15/04/
2021
2-
weekly
walks
36
08/03/
2021
OFI
Clause
7.2.4
Internal Audit
AT
Storage off the floor
although on insufficient
height
KEITH
/
CRAIG
09/03/
2021
15/04/
2021
NO
15/04/
2021
2-
weekly
walks
37
08/03/
2021
OFI
Clause
7.4.1
Internal Audit
AT
No mentioning of brittle
material breakage
JS
09/03/
2021
15/04/
2021
NO
07/04/
2021
07/03/
2022
38
08/03/
2021
NCR
Clause
7.4.2
Internal Audit
AT
No spillage procedure
JS
09/03/
2021
15/04/
2021
NO
12/03/
2021
12/03/
2021
39
08/03/
2021
OFI
Clause
8.2.1
Internal Audit
AT
No mentioning of work
wear requirement
JS
09/03/
2021
15/04/
2021
NO
25/03/
2021
N/A
40
08/03/
2021
OFI
9.
PURCHA
SING
Internal Audit
AT
SAQ improvements
AT
09/03/
2021
15/04/
2021
NO
24/03/
2021
25-
Mar
41
20/04/
2021
NCR
Clause
4.1.2
BRC Audit
UK
Food
Cert
There was excessive
vegetation growth in
contact with the outside
of the building
AT
20/04/
2021
13/05/
2021
NO
10/05/
2021
20/04/
2022
42
20/04/
2021
NCR
Clause
4.2.1
BRC Audit
UK
Food
Cert
The Site Security Risk
Assessment has not
been reviewed in the
last 12 months.
AT
20/04/
2021
13/05/
2021
NO
10/05/
2021
21/04/
2022
43
20/04/
2021
NCR
Clause
6.1.4
BRC Audit
UK
Food
Cert
There were a number of
unwrapped Butchers
Aprons on a wooden
shelf and rolls of
wrapped Meat
Stockinette stored on a
damaged wooden
pallet.
AT
20/04/
2021
13/05/
2021
NO
10/05/
2021
22/04/
2022
44
23/08/
2021
OFI
IMS_P
001
Internal Audit
JA
Training records not
updated with current
IMS_P procedures
SH
23/08/
2021
22/09/
2021
YES
23/09/
2021
N/A
45
23/08/
2021
OFI
ISO
9001
Section
4.1
Internal Audit
JS
development of online
based CRM system is
required and correct
data input for monthly
reporting on quality
issues
AT
23/08/
2021
23/09/
2021
NO
46
23/08/
2021
OFI
ISO
9001
Section
4.4
Internal Audit
JS
new management
meeting will be held
16/09/2021 and all
inputs and output will
be documented in new
format which will allow
compliance with clause
4.4 where all
information necessary
AT
23/08/
2021
18/09/
2021
NO
07/09/
2021
07/09/
2022
Version 21.1
Page 23 of 49
AUDIT REPORT PART B –
AUDIT REPORT
for maintenance of QMS
will be available and
documented
47
23/08/
2021
OFI
ISO
9001
Section
5.3
Internal Audit
JS
There are no Quality
Objectives for
Warehouse Operations
as they are under
review and
implementation of
newly appointed Head
of Production &
Distribution
KL
23/08/
2021
18/09/
2021
NO
48
23/08/
2021
OFI
ISO
9001
Section
6.1
Internal Audit
JS
Risk and opportunities
not formalised
Manag
ers
23/08/
2021
18/09/
2021
NO
07/09/
2021
49
23/08/
2021
NCR
ISO
9001
Section
6.2
Internal Audit
JS
Quality objectives set
for production and
engineering department
only
Manag
ers
23/08/
2021
18/09/
2021
NO
50
23/08/
2021
NCR
ISO
9001
Section
6.2
Internal Audit
JS
Resource review has not
took place in 2020
Manag
ers
23/08/
2021
18/09/
2021
NO
07/09/
2021
51
23/08/
2021
OFI
ISO
9001
Section
8.7
Internal Audit
JA
CA/PA is not well known
in the CES and the
internal training
regarding root cause
analysis and application
of corrective and
preventative actions is
due to be scheduled
AT
23/08/
2021
31/12/
2021
NO
CAPA
Number
Close
d?
Days
Late
Investigation Finding
PA
CA
01
YES
-21
Agenda agreed on the day of audit althouhg not
documented
Documented controlled version to
be created
Creation of Documented Agenda QMS-FORM-019
rev 1.0 20210409
02
YES
-21
03
YES
-34
Objectives set although not all as per BRCGS v3>v4
requirement
Objectives reviewed
Management review proceedure written and
added to QMS files under QMS_P 004
04
YES
-21
metting has been scheduled verbally althouhg not
date has been confirmed , new compliance manager
has confirm date and annouced to the board
agenda to be send prior to meeting
with potential date of next meeting QMS-FORM-
019 review checklist and actions
05
YES
-21
all parties involved in the meeting hgas been asked
about timescale for action to be closed
action dates updated
new form for minutes will be created with QMS
update
06
ONGOI
NG
-29
new CRM project
N/A
N/A
07
YES
-23
08
YES
-21
internal audit procedure in place althouhg no higher
level procedures have been created or audited
QMS procedures to be written
regular intrernal audit of higher level procedures
to follow
09
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
10
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
11
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
12
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
13
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
14
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
15
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
16
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
17
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
18
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
19
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
20
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
Version 21.1
Page 24 of 49
AUDIT REPORT PART B –
AUDIT REPORT
BRCGS S&D Standard
21
YES
-21
Scope to be updated and procedures rewritten
toward standard requirement
new procedures of higher level to
be written
QMS new procedures to be circulated by the end
of 2021
22
YES
-31
No HARA plan required by previous 3rd party
auditors, although a requirement for version 4 of
BRCGS S&D Standard
Rewrite the plan including codex
allimentarius principles
Communicate plan and train all relevant staff
23
YES
-29
24
YES
-21
no clear responsibility for close out of the
requirement of the audits NCRs
NCR managements given to new
Compliance Manager
new non conforming products procedure
25
YES
-21
no clear responsibility for close out of the
requirement of the audits NCRs
NCR managements given to new
Compliance Manager
new non conforming products procedure
26
YES
-31
N/A
PROJECT - UPDATE SERVICE AGREEMENTS
27
ONGOI
NG
-29
system in place , although not all measures are used
for the review
New CRM system implementation
all buyers to follow new CRM supplier review
scope
28
YES
1
29
YES
-30
proceedure covers handling and management of all
different complaint
set of categorisation of complaint
update of the process flow for buyers
30
YES
-21
QMS high level procedure to become new PRP for
HARA/M assessment
new QMS P to be written
apply to HARA/M RA chart and PRPs
31
YES
-44301
32
YES
-44301
33
YES
-21
No interior building fabric audited
New audit procedure to take place
and highlight any issues internally
audit to take place at least once a year
34
YES
0
35
YES
0
36
YES
0
37
YES
-8
38
YES
-34
Procedure in place althouhg mixed with glass
brakeage , will be split to two
Split the procedure
add correct doc control numbers
39
YES
-21
new policy to be written incluiding all requirements
from BRCGS
policy written and executed
QMS-POL-005
40
YES
-22
41
YES
-3
Appropriate maintenance standard of all grounds
surrounding site was not included in any of internal
audit and/or monthly check
Internal audit QMS-FORM010 - F.S
Section 4 Site and Building
Standards rev 1.0 20210409
includes audit of clause 4.1.2
Schedule for Industrial Park management
company to cut the excessive growth
42
YES
-3
Site security has been discussed during annual
management review, although no formal
documentation was available during the time of
audit.
Site security to be revised and
revision to be documented in the
format of management meeting
minutes document.
Immediate review of site security risk
43
YES
-3
All single items stored on wooden pallets shelves are
inspected prior to despatch, although no extra
measures where put in place and removal of wooden
elements was not considered for sensitive items
As a part of preventative measures
for food contact items, no food
contact item will be stored directly
on wooden pallets and/or wooden
shelves as per Wood Policy QMS-
POL-010.
Removal of food contact items from wooden
shelves and pallets, storage of aprons in plastic
boxes
44
YES
1
With every change to current systems and their
requirement the online portal should be updated to
highlight need for refresher training towards current
requirements, this has not been always the case
Currently awaitng for 2 new
employees into HR department to
fill this gap and to stop this
situation reoccuring
ongoing update in Cascade made by LL
45
ONGOI
NG
-44462
the CRM requires extended development of its
software and clear communication path with Sage ,
as development take place we are assessing gaps in
current system and try to implement changes ASAP -
although not all changes can be made atm thus still
existing gap awaiting change by external IT provider
to adjust currently known gap to
fulfill requiremtns of current CRM
developmet of CRM to fulfill all neccesary
requirements.
46
YES
-11
QMS management review meeting 2021 has been
held in different format than the one implemented
by new Compliance Manager , not covering all
required elements of the QMS Review meeting as per
ISO 9001 requirements
IMS_P 004 Management Review -
rev. 1.1 - 20210715 now avaliable
and trained against
use of new document for agenda , minutes and
actions which will allow to follow without fail
requirements of ISO 9001:2015 for management
review IMS-FORM-019 - Management Review
Checklist rev 1.0 - 20210409
47
ONGOI
NG
-44457
The process of setting warehosue KPIs is under
development by newly appointed Head of
Department, the process will be similar to KPIs set for
production department by same Department Head
collection of data for the
devcelopemtn of the KPI system for
warehouse
48
YES
-11
This part of QMS has been discussed during the
management review meeting but not documented
IMS-FORM-016 - Risks
Opportunities Matrix rev 1.1 -
20210908
Monthly review during management meetings,
annual review during QMS review
49
ONGOI
NG
-44457
development of KPIs for all department will start at
the beginning of 2022 as year 2021 has been
announced transition year by Strategic Vision of
Managing Director
submission of business plans by end
of 2021
set KPIs for each department, monitoring and
reporting on monthly basis during management
monthly meetings
50
YES
-11
QMS review 2020 has not dfiscussed resources
required
Resources review discussed during
review meeting 07/09/2021 - no
subject to change when new
business plans will be submitted
resources as part of agenda in currently standing
document IMS-FORM-019 - Management Review
Checklist rev 1.0 - 20210409
51
ONGOI
NG
-44561
592652OFI01Closed
Version 21.1
Page 25 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Complaints
IMS_P 007 Complaint Management Rev 1.0 16/03/2021.
Complaints Analysis Log records 2021
Complaints by Dept.
Complaints by Reason
25386.04
12818.45
1357.84
917.13
669.61
497.98
201.9
138.33
88.29
67.56
48.58
45.07
34.7
0
5000
10000
15000
20000
25000
30000
Total
Total
Version 21.1
Page 26 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Cost PCM
Complaints Log records
Case ID
Issue
Type
Requi
red
by
Complet
ed On
Department
Reason
815
Courier kept on failing delivery multiple times. This
is probably down to the fact the customer was
situated at the end of a private lane??
Delivery complaint missing / lost
order
27/09
/2021
Carrier
Late Delivery
816
EW did not FOC carriage on order over £200
Customer complaint pricing error
22/09
/2021
Contact
Centre
Price Error
817
to be determined
Customer complaint missing items
22/09
/2021
Warehouse
Missing Items
818
tbc
Delivery complaint missing / lost
order
22/09
/2021
27/09/2
021
Carrier
Late Delivery
819
tbc
Delivery complaint missing / lost
order
22/09
/2021
23/09/2
021
Carrier
Late Delivery
820
tbc
Customer complaint missing items
24/09
/2021
Warehouse
Missing Items
821
sold on the web - unable to source
Case - Internal issue
22/09
/2021
Supply Chain
Can't Source
822
cant supply item listed on the web
Web order
22/09
/2021
Sales
Can't Source
823
Customer provided wrong code
Customer complaint - sales error
28/09
/2021
Customer
Incorrect
Product
824
goods not received
Customer complaint missing items
22/09
/2021
Warehouse
Missing Items
825
Web order
22/09
/2021
Contact
Centre
Website Wrong
Image/Informat
ion
826
ordered 45sh-9447-9 on the web - not in stock and
cannot get until the end of october - customer has
requested a refund
Case - Internal issue
22/09
/2021
Supply Chain
Can't Source
827
Supplier Complaint Faulty Item
22/09
/2021
Supplier
828
Case - other
23/09
/2021
Edge Centre
829
wrong price charged
Case - Internal issue
24/09
/2021
Contact
Centre
Price Error
830
all sops invoiced in full in error
Case - Internal issue
27/09
/2021
Finance
Incorrect
Quantity
4477.67
6174.74
12609.59
630.36
5636.37
647.19
10931.12
1164.44
0
2000
4000
6000
8000
10000
12000
14000
Total
Total
Version 21.1
Page 27 of 49
AUDIT REPORT PART B –
AUDIT REPORT
831
all sops got invoiced at invoice run
Case - Internal issue
27/09
/2021
Finance
Incorrect
Quantity
Case ID
Created
Restockin
g Fee
Root Cause
PA
Sales
Order
Sales
Return
Number
Credit
815
27/09/2021
Courier kept on failing delivery
multiple times. This is probably down
to the fact the customer was situated
at the end of a private lane??
Order Recalled and
refunded
816
22/09/2021
No
EW did not FOC carriage on order
over £200
credit 9.95
check CRM notes when
processing
817
22/09/2021
to be detirmined
replacement SOP 345883
sent as customer needs
stock
818
22/09/2021
tbc
819
22/09/2021
tbc
820
24/09/2021
tbc
821
22/09/2021
No
sold on the web - unable to source
credit customer
remove items from the web once stock is
gone
822
22/09/2021
cant supply item listed on the web
refund £12.00 plus vat
take item off the website
823
28/09/2021
No
Customer provided wrong code
Arranged collection and
raised order for correct
item
Sent customer correct codes for product
going forwards
824
22/09/2021
goods not received
refund for 5 blades
825
22/09/2021
No
826
22/09/2021
ordered 45sh-9447-9 on the web -
not in stock and cannot get until the
end of october - customer has
requested a refund
cancel the order and
credit the customer
827
22/09/2021
828
23/09/2021
829
24/09/2021
wrong price charged
refund £25.00 plus vat
ensure sop is amended
830
27/09/2021
all sops invoiced in full in error
refund 4 x 10blr-0034 (
25.40 & vat in total)
not all priority codes to be invoiced on
invoice run
831
27/09/2021
all sops got invoiced at invoice run
refund for the rejected
blades ( £54.83 plus vat in
total)
only invoice certain priority codes on invoice
run
Conclusion of the overall effectiveness of the process: Findings have been identified - Process
/ Audit Area is unsatisfactory
Version 21.1
Page 28 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Process/audit area:
Operational Planning & Control: Virtual Site Tour,
Environment for Operation of Processes & Infrastructure
Resources, Equipment Maintenance, Internal & External
Communications, Documented Information
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
Operational Planning & Control, Virtual Site Tour, Environment for Operation of Processes & Infrastructure Resources,
Equipment Maintenance, Monitoring & Measuring resources, Measurement traceability; Equipment Calibration
Virtual Site Tour
Full external and internal virtual site tour undertaken at Head Office location Matrix Park, Western Avenue, Buckshaw
Village, Chorley, PR7 7NB including well-managed modern leased self-contained unit small industrial park, not shared,
car park, exterior lighting, emergency exits, automated gate, access control, delivery controls, container delivery goods
in, delivery used knives for sharpening, barriers, goods out for trays of bagged washed and sharpened knives,
production area knife sharpening service, Omnisharp robotic sharpening process, new machine on trial, machine
learning, quality check area, manual sharpening process, polishing process optional, knife washing process, grinding
machine, self-calibrating, scissor sharpening process, blade sharpening process, quality check area, checking intervals,
Jason M (Quality Checker), anago self-calibrated, Warehouse area, goods out, segregated Quarantine Area for
customer returns and supplier returns, bays for machinery parts, FLT and REACH Truck, Picking Area, Chemical storage
including Deptal for cleaning circulating machines, Quarantine (Materials) Area, Stores for small sales items including
Machine Parts, Knives, Blades, Chain Mail, Custom Shelving, Storage of Bulk Items, Racking loads and inspections,
Access Equipment, Bulk Locations on Top and Picking Locations below, Twine for Tying Meat, Engineering Parts, Offices
including Supply Chain, Production & Distribution, Engineering, Engineering Workshop, Preparing Machinery for Sale,
Customer Service, Internal Sales, Marketing, Reception, Certification, Fist Floor HR, Finance, Compliance, External
Sales, Field Engineering, Welfare Facilities, Toilets, Canteen, NPD, Project Manager, Mezz Floor, Locker Room, Pool
Table, Toilets, Meeting Room, Training Room, IT support contracted out to external providers GB3 (IT) and PDS (SG),
internal first line support, employee support via line managers and HR dept, no external employee Welfare support, no
shift working, remote working, employee support NHS & 111 Guidelines.
FM Processes, Environment for Operation of Processes & Infrastructure Resources, Equipment Maintenance,
Monitoring & Measuring resources, Measurement traceability; Equipment Calibration
Annual Racking Inspection Report 2020 by external provider BSS.
Invoice# INV-000022 Supply, Delivery & installation of Used PSS Beams For Pallet Racking by external provider RE
04/2021.
Thorough examination report 130721-001-0028EMO FLT, RT, Bin Tip, SN 8A203219, SN :G1X115L00048, SN 154542 by
external provider HSB 07/2021
TR500 S/S Service record by external provider TRN 22/06/2021.
Pressure Washer HDS 745 Full Service Report by external provider HCE Ltd. 28/09/2020.
Meggers
Name:
S/N
Draw#
Cert#
Calibration Ends
Send
CMA
817000369
3
U322045
17.01.22
07.01.22
ML
817000363
5
U322046
17.02.22
07.01.22
Version 21.1
Page 29 of 49
AUDIT REPORT PART B –
AUDIT REPORT
MR
1110596446
6
U322051
17.01.22
07.01.22
FE
1100278146
7
U322049
17.01.22
07.01.22
NR
1121258590
8
U322047
17.01.22
07.01.22
RO
1100278149
9
U322050
17.01.22
07.01.22
WS
N33-0016
10
U322044
14.01.22
07.01.22
DG
817000373
11
U322054
17.01.22
07.01.22
LT
1120434173
12
U332558
24.01.22
07.01.22
IC
0202025192
20
U322055
17.01.22
07.01.22
LW
1140045190
21
U322048
17.01.22
07.01.22
Spare 1
98740972
22
U322559
24.01.22
07.01.22
Spare 2
981298/4622
22
U322053
17.01.22
07.01.22
Certificate of Calibration
204026710
22
U322052
17.01.22
07.01.22
Tiny Tag Logs
Name
SN#
Draw#
Certificate #
Calibration Ends
Re - Order Date
Previous Logger Destroy Date
MRI
919582
A
UK20621
26/10/2021
13/10/2021
Awaiting Return
MLE
920973
B
UK20536
04/11/2021
21/10/2021
Awaiting Return
FEV
942000
D
UK42017
07/07/2022
22/06/2022
06/07/2021
LTU
942003
E
UK42017
07/07/2022
22/06/2022
06/07/2021
PROD(1)
937432
F
UK41199
20/05/2022
06/05/2022
11/07/2020
PROD(2)
920968
G
UK20536
04/11/2021
21/10/2021
11/07/2020
PROD(3)
937427
H
UK41199
20/05/2022
06/05/2022
11/07/2020
DGR
930868
I
UK20730
17/03/2022
03/03/2022
16/03/2021
ROS
941993
J
UK42017
07/07/2022
22/06/2022
06/07/2021
CMA
930866
K
UK20730
17/03/2022
03/03/2022
16/03/2021
NBR
937433
L
UK41199
21/05/2022
05/05/2022
/
PROD Spare
937434
UK41199
20/05/2022
06/05/2022
/
Calibration Certificate records including:
TG-4105 Splash 2 temperature data logger, TCAL-937427-101, by EP GDL (UK) Ltd., SN 937427, 12M, 21/05/2021.
TG-4105 Splash 2 temperature data logger, TCAL-942000·101, by EP GDL (UK) Ltd., SN 942000 12M, 08/07/2021.
UT531 Insulation Multimeter, U322049 , by EP SC Ltd., SN 1100278146 12M, 18/01/2021.
AMETEK DTI1000 Temp. indicator, Pt100 probe(s), 114709, by EP GDL (UK) Ltd., SN 016516-01387, 12M, 06/10/2020.
AMETEK DTI1000 Temp. indicator, Pt100 probe(s), 115569, by EP GDL (UK) Ltd., SN 013078-01279, 12M, 14/12/2020.
Internal and external communications
Internal and external communication requirements per operating procedures responsibilities including:
IMS_P 004 Management Review - Rev. 1.1 15/07/2021
IMS_P 005 Document and Records Control - Rev 1.0 21/03/2021
IMS_P 007 Complaint Management - Rev 1.0 - 20210316
IMS_P 012 Planning to Address Risks and Opportunities - Rev 1.1 15/07/2021
IMS_P 015 Hazard and Risk Analysis Management - Rev 1.1 15/07/2021
IMS_P 016 Product Withdrawal or Recall - Rev 1.1 - 15/07/2021
IMS_P 018 Incident Management - Rev 1.1 15/07/2021
IMS_P 023 Customer Satisfaction - Rev 1.0 04/08/2021
IMS_P 024 Change Control - Rev 1.0 - 04/08/2021
Internal and external communications set out in job specifications including:
Version 21.1
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AUDIT REPORT PART B –
AUDIT REPORT
Warehouse Operative 01/2017.
Production Quality Controller 03/2021.
Compliance Projects Facilitator 02/2021.
Compliance Manager 03/2021.
Documented Information
IMS_P 005 Document and Records Control - Rev 1.0 21/03/2021
IMS_P 024 Change Control - Rev 1.0 08/04/2021.
Documented information sample throughout included control requirements.
Backup and recovery processes include cloud back for all documented information and financial system records,
IT support outsourced to external provider GB3.
Organisational knowledge resources
Knife Meeting Investigation records
Comments
Review
Date
Who is going to do it?
Agreed Action
Closed Out
date
Changing knives outside of expected parameter.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
Lots of knives only used for one day only. Some knives handed back on day 2 before they have been used (113B). Sharp test scores were within SHARP results (278-373) & (358-261).
UPDATE: 28/29-10-2020. Still happening, line leaders not challenging due to not having time in a morning particularly on day 2 where multiple knives being changed and because it is felt that
Short Knives Not fit for application.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
Some comments that knives were too small for application and we will therefore discuss and agree samples of alternative knives for each job in both Pork and Beef departments. Agreed with Seb
to look into this further on next site visit. UPDATE: 28/29-10-2020.
organised.
Out of spec knives.
Nov 2020
PW/PS/GJ/CES
CES provide template of existing spec in new 3D format.
Review Nov 20
Knife sharpness site validation on delivery.
Nov 2020
PW/PS/GJ/CES
PS & CB to inspect knives on delivery.
Review Nov 20
CES to possibly provide Knife Sharp Tester to assist PS & CB with pre-issue inspection of knife deliveries. Blind trial of number 220B conducted and results to be discussed.
Steeling knives before use.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
No visual evidence gathered but site representatives suggesting that this happens.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
Lots of operator comments of knives only sharp for ½ hour to 1 hour however, no mass changes of knives on day 1 of use. Lots of changes very early on day 2 with some knives changed before
even being used. UPDATE: 28/29-10-2020. We witnessed lots of poor ed
pressures on pace line may also make any EDGE RECOVERY difficult however we witnessed a short period of downtime on the shoulder line but instead of using their time to work on their edges
ximately 20 times.
As discussed with PW, CB & PS we believe that Edge Maintenance Training should be delivered to ALL operatives including the BEEF department who refused training previously.
Purposeful damage to gain extra knives.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
This is information that has been mentioned to us but one operator was seen dragging his edge through the side of the nylon work block very heavily and cutting deep into the this. His
en used for over an hour and it is extremely unlikely that any burr would have still been on his edge and particularly
Version 21.1
Page 31 of 49
AUDIT REPORT PART B –
AUDIT REPORT
because the edges are polished to remove burr. UPDATE: 28/29-10-2020 Atilla asked for us to take a look at one of his knives (28A) which he said that he had only used for a short period of time.
y that this was wilful damage and he later said that he had used the
knife to remove tail bones so the condition of the edge could be process related. Images clearly show chipping and folding of the edge.
Knife Per Day
Nov 2020
PW/PS/GJ/CES
PW to discuss with technical.
Review Nov 20
Suggestion for issuing knives on a daily basis but this is not an option at the moment.
Knife operators helping themselves to additional or sharper
knives by taking from spare baskets.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
side of these lines and are not recording these changes. The official knife
change documents are showing much fewer changes on these lines. UPDATE: 28/29-10-2020 Most operatives in the BEEF room had 4 knives in their baskets and apparently the boners are issued
The PORK department operators had mostly 3 knives per basket apart from the BELLY line who each had 4 knives per basket.
Knife edges damaged when placing into stainless baskets
because of missing nylon protector strips.
Nov 2020
PW/PS/GJ/CES
Site visit to investigate and gather data via production
area engagement with colleagues.
Review Nov 20
Quite a few comments with concerns of not enough care being taken when knives are put into metal baskets particularly when the baskets have missing nylon protective inserts.
There is also potential for edge damage when washing the knives whilst still in the baskets by use of the power hose.
Hollow Ground knives feel better that non-HG.
Nov 2020
PS/GJ/CES
Quite a few comments suggesting operators prefer HG
knives.
Review Nov 20
Set up trial of HG v Non-HG. UPDATE: 28/29-10-2020. Agreed to conduct a trial of HG knives on one line, initially for two days (two knives, 1 x yellow 1 x black). Date to be agreed.
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
Version 21.1
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AUDIT REPORT PART B –
AUDIT REPORT
Process/audit area:
Operational Planning & Control: Sales, Picking, Packing &
Despatch; Stock Management
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
Operational Planning & Control: Sales, Picking, Packing & Despatch; Stock Management
Sales
345722
PO
Order
Version 21.1
Page 33 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Picking List
Version 21.1
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AUDIT REPORT PART B –
AUDIT REPORT
Despatch Note
Proof of Delivery
Version 21.1
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AUDIT REPORT PART B –
AUDIT REPORT
346005
Order
Picking List
Version 21.1
Page 36 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Despatch Note
Version 21.1
Page 37 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Proof of Delivery
346075
Order
Version 21.1
Page 38 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Proof of Delivery
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
Version 21.1
Page 39 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Process/audit area:
Operational Planning & Control: Control of externally
provided processes, products and services
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
Operational Planning & Control, Control of externally provided processes, products and services
Supplier Management Process Improvement underway
Supplier Approval Log record
Code
Date Added
Supplier Type
i/e agent or
manufacturer/
service
provider/
Freight
Site
Product
Subcategory
Risk
Assessmen
t H/M/L
Approval Status
ACT001
15/03/2021
Supplier
Braintree
Hand Tools
Lubricants
L
Approved
ADC001
15/03/2021
Supplier
Chentenham
Butchery & Abattoir Consumables
Paper
L
Approved
ADE001
15/03/2021
Supplier
New Zeland
Butchery & Abattoir Consumables
Clips
L
Approved
ADV002
15/03/2021
Supplier
Chentenham
Butchery & Abattoir Consumables
Paper
L
Approved
AGR002
15/03/2021
Supplier
Lugan
Butchery & Abattoir Consumables
Meat Marking
L
Approved based on risk
RIT001
15/03/2021
Supplier
Chorley
Butchery & Abattoir Consumables
Coaxing
Approved based on risk
ALP003
15/03/2021
Supplier
Basildon
Knives,Sharpening& Cutting
Sharpening
Approved based on risk
AME001
15/03/2021
Supplier
USA
Blades
Slicers
L
Approved based on risk
LAN005
15/03/2021
Supplier
Oldham
Butchery & Abattoir Consumables
Twine, Netting & Meat Ties
L
Approved
FIO001
15/03/2021
Supplier
Italy
Butchery & Abattoir Consumables
Meat Marking
L
Approved
ATL002
15/03/2021
Distirbutor
Newport
Knives,Sharpening& Cutting
Cutting
M
Approved
AUE001
15/03/2021
Distributor
Birmingham
Butchery & Abattoir Consumables
Internal Use
Approved based on risk
BAC003
15/03/2021
Manufacturer
Switzerland
Butchery & Abattoir Consumables
Twine, Netting & Meat Ties
H
Approved
BEE001
15/03/2021
Wholesaler
West Bromwich
PPE
Gloves
L
Approved
BIR001
15/03/2021
Manufacturer
Birmingham
PPE
Clothing
L
Approved based on risk
BPI001
15/03/2021
Manufacturer
Heanor
PPE
Cleaning & Hygiene
L
Approved
BOB001
15/03/2021
Supplier
France
Knives,Sharpening& Cutting
Sharpening
L
Approved based on risk
PAC002
15/03/2021
Distributor
USA
PPE
Gloves
Conditionally approved
BUR001
15/03/2021
Distributor
Leicester
Knives,Sharpening& Cutting
Knives
Approved based on risk
CAS002
15/03/2021
Supplier
Billinmgham
PPE
Cleaning & Hygiene
Approved based on risk
CEN002
15/03/2021
Supplier
Thetford
PPE
Health & Safety Equipmnt
L
Approved based on risk
CPA001
Supplier
USA
PPE
Health & Safety Equipmnt
Approved based on risk
CJK001
Supplier
Chinley
Butchery & Abattoir Consumables
Meat Marking
Approved based on risk
COV002
15/03/2021
Supplier
China
Butchery & Abattoir Consumables
Clips, Plugs, Rings & Bands
M
Approved
CPD001
Supplier
Hull
PPE
Cleaning & Hygiene
Approved based on risk
CRA001
15/03/2021
Supplier
Telford
PPE
Workplace Safety
L
Approved based on risk
DAS001
Supplier
France
Knives,Sharpening& Cutting
Knives
Approved based on risk
DAT003
15/03/2021
Manufacturer
York
Butchery & Abattoir Consumables
Meat Marking
L
Approved
DET001
Supplier
York
Butchery & Abattoir Consumables
Maintenance Supplies
Approved based on risk
BAR003
15/03/2021
Manufacturer
USA
Butchery & Abattoir Consumables
Hooks
L
Approved based on risk
CCL001
15/03/2021
Manufacturer
Alfreton
PPE
Cleaning & Hygiene
M
Approved
DUN01
15/03/2021
Manufacture
Netherlands
Wellington Boots
L
Approved
DUR001
15/03/2021
Manufacturer
USA
Blades
Hand Tools
L
Approved
ECO002
15/03/2021
Manufacturer
Roterham
Butchery & Abattoir Consumables
Internal Use
L
APPROVED BASED ON RISK
EUR001
15/03/2021
Manufacturer
Birmingham
Aluminium and Plastic Containers
L
DELISTED
EDG002
Manufaturer
Germany
Spares
Sharpenig
Approved based on risk
EGG001
Maufacturer
Sheffield
Spares
Sharpenig
Approved based on risk
ENG001
Manufaturer
Petersfield
Knives,Sharpening& Cutting
Knife Accessories
Approved based on risk
SCA002
Supplier
Dunstable
PPE
Cleaning & Hygiene
Approved based on risk
EXC002
15/03/2021
Agent
Witney
Butchery & Abattoir Consumables
Internal Use
L
Approved
EXC001
Supplier
Bury
PPE
Workplace Safety
Approved based on risk
FIN002
Supplier
Bury
Knives,Sharpening& Cutting
Sharpening
Approved based on risk
FIS004
Supplier
France
Knives,Sharpening& Cutting
Sharpening
Approved based on risk
FIS003
Wholesaler
Stoke on Trent
Knives,Sharpening& Cutting
Sharpening
Approved based on risk
FLE002
Supplier
Wellingborough
Butchery & Abattoir Consumables
Internal Use
Approved based on risk
GRA003
Supplier
Sheffield
Knives,Sharpening& Cutting
Knives
Approved based on risk
GOC001
Wholesaler
Chesterfield
PPE
Gloves
Approved based on risk
HEV001
Supplier
Netherlands
PPE
Footwear
Approved based on risk
HON001
15/03/2021
Manufacturer
France
PPE
Chainmail
L
Approved
ICO001
15/03/2021
Manufacturer
Burnley
Butchery & Abattoir Consumables
Clips, Plugs, Rings & Bands
M
OUT OF DATE
IND004
Manufacturer
Wrexham
Butchery & Abattoir Consumables
Twine, Netting & Meat Ties
Approved based on risk
JAS001
Supplier
India
Spares
Skinner/Dernders & Slicers
Approved based on risk
Version 21.1
Page 40 of 49
AUDIT REPORT PART B –
AUDIT REPORT
JEW0001
Supplier
Sheffield
Blades
Slicers
Approved based on risk
JOL001
15/03/2021
Gloves
L
DELISTED
LEM001
15/03/2021
Manufacturer
France
PPE
Footwear
L
Approved
ATL003
Supplier
USA
Blades
Hand Tools
Approved based on risk
KAI001
Supplier
Japan
Knives,Sharpening& Cutting
Cutting
Approved based on risk
ADV002
Supplier
Chelthenam
Butchery & Abattoir Consumables
Paper
Approved based on risk
EMP001
Supplier
Lockerbie
Butchery & Abattoir Consumables
Internal Use
Approved based on risk
APP002
Supplier
Halesowen
Butchery & Abattoir Consumables
Meat Marking
Approved based on risk
LEH001
15/03/2021
Supplier
Germany
Knives,Sharpening& Cutting
Cutting
L
Approved based on risk
LEY004
15/03/2021
Supplier
Leyland
Butchery & Abattoir Consumables
Internal Use
L
Approved based on risk
LIO001
15/03/2021
Supplier
Nottingham
PPE
Gloves
L
Approved based on risk
LUT002
15/03/2021
Supplier
Germany
Blades
Hand Tools
L
Approved based on risk
MAC001
15/03/2021
Supplier
Wigan
Butchery & Abattoir Consumables
Internal Use
L
Approved based on risk
MAN005
15/03/2021
Supplier
Italy
PPE
Clothing
L
Approved based on risk
MAT005
15/03/2021
Manufacturer
Oldham
PPE
Cleaning & Hygiene
L
Approved
NEW002
Manufacturer
Shrewsbury
Butchery & Abattoir Consumables
Internal Use
Approved based on risk
NEW001
Wholesaler
Birckenhead
Knives,Sharpening& Cutting
Sharpening
Approved based on risk
NOR011
Supplier
Telford
PPE
Cleaning & Hygiene
Approved based on risk
PPU001
Supplier
Poland
Knives,Sharpening& Cutting
Knife Accessories
Approved based on risk
PAL003
15/03/2021
Manufacturer
Lutterworth
PPE
Cleaning & Hygiene
L
Approved
PAR003
15/03/2021
Supplier
Blackburn
Knives,Sharpening& Cutting
Knife Accessories
L
Approved based on risk
HAN001
Supplier
Bourne
PPE
Workplace Safety
Approved based on risk
POR001
15/03/2021
Manufacturer
Rotherham
PPE
Health & Safety Equipmnt
L
Approved
PRO003
15/03/2021
Manufacturer
France
PPE
Gloves
L
Approved
REG001
15/03/2021
Supplier
Wides
PPE
Gloves
L
Approved based on risk
HMH001
Supplier
Germany
PPE
Clothing
Approved based on risk
RIT001
Supplier
Rippin
Butchery & Abattoir Consumables
Coaxing
Approved based on risk
RIC002
Supplier
Portarlington
PPE
Clothing
Approved based on risk
ROC001
15/03/2021
Manufacturer
Leeds
Butchery & Abattoir Consumables
Internal Use
L
Delisted
SGB001
Supplier
Stafford
Knives,Sharpening& Cutting
Sharpening
Approved based on risk
SAM001
Supplier
Sheffield
Knives,Sharpening& Cutting
Knives
Approved based on risk
OTZ001
15/03/2021
Supplier
Denmark
Blades
Hand Tools
L
Approved
SIO002
15/03/2021
Manufacturer
Belgium
PPE
Clothing
L
Approved
NEI001
15/03/2021
Supplier
Sheffield
Knives,Sharpening& Cutting
Cutting
L
Approved
STA005
15/03/2021
Manufacturer
Roxburhshire
Blades
Hand Tools
L
Approved
SUP002
15/03/2021
Supplier
Smethwick
PPE
Workplace Safety
L
Approved
TAY001
15/03/2021
Manufacturer
Sheffield
Knives,Sharpening& Cutting
Knives
L
Approved based on risk
TER001
15/03/2021
Supplier
France
Butchery & Abattoir Consumables
Maintenance Supplies
M
Conditionally approved
SAF001
Supplier
Quedgeley
Knives,Sharpening& Cutting
Knives
Approved based on risk
TGW001
15/03/2021
Manufacturer
Sheffield
Knives/Blades
L
DELISTED
UBP001
Supplier
Burton-on-Trent
Butchery & Abattoir Consumables
Clips, Plugs, Rings & Bands
Approved based on risk
ULT001
Supplier
Wolverhampton
PPE
Gloves
Approved based on risk
UNI002
15/03/2021
Supplier
Kent
PPE
Gloves
L
Approved
UNI006
Wholesaler
London
PPE
Gloves
Approved based on risk
VEL001
Wholesaler
Italy
Butchery & Abattoir Consumables
Clips, Plugs, Rings & Bands
Approved based on risk
VIK002
15/03/2021
Supplier
Denmark
PPE
Cleaning & Hygiene
L
Approved
AGR001
15/03/2021
Agent
Italy
Butchery & Abattoir Consumables
Clips, Plugs, Rings & Bands
L
Approved
WRI002
Wholesaler
Liverpool
Knives,Sharpening& Cutting
Knife Accessories
Approved based on risk
WEI001
Supplier
Poland
Butchery & Abattoir Consumables
Coaxing
Approved based on risk
WOL001
Supplier
Sheffield
Blades
Hand Tools
Approved based on risk
Code
Re
Approval
Date
SAQ -
Expiry
Date
(only
applic
ableif
cert.
non
avalia
ble)
BRC
(GFSI) -
Expiry
Date
BR
C
Gra
de
ISO
9001 -
Expiry
Date
ISO 14001 -
Expiry Date
ISO 18001
- Expiry
Date
Industry
Relevant
ISO -
Expiry
Date
Produ
ct
Liabili
ty
Insur
ance
Expir
y
Date
Commen
ts
Agreed approval standard
(BRC/GFSI +ISO 9001 or
ISO9001 or industry relevent ISO
or SAQ or RA)
ACT001
Mar-24
18/05/
2022
22/11
/2021
ISO 9001
ADC001
Mar-24
12/11/2021
A
23/04/
2023
13/03
/2022
BRC+ISO
ADE001
Mar-24
24/01/
2022
31/05
/2022
ISO 9001
ADV002
Mar-24
12/11/2021
A
23/04/
2023
BRC+ISO
AGR002
Mar-22
RIT001
Mar-22
ALP003
Mar-22
AME001
Mar-22
LAN005
Mar-24
09/12/2021
AA
21/11/
2021
REQ
UEST
ED -
April
20
BRC+ISO
FIO001
Mar-24
29/07/2022
FSS
C
220
00
26/11/
2022
REQ
UEST
ED -
April
20
FSSC+ISO 9001
ATL002
Mar-24
03/03/
REQ
ISO 9001
Version 21.1
Page 41 of 49
AUDIT REPORT PART B –
AUDIT REPORT
2024
UEST
ED -
April
20
AUE001
Mar-22
BAC003
Mar-24
29/06/2022
FSS
C
220
00
31/12
/2021
IFS
approve
d haulier
- Rhenus
Logistics
13/08/21
FSSC 22000
BEE001
Mar-24
27/02/
2024
30/03
/2022
ISO 9001
BIR001
Mar-22
BPI001
Mar-24
29/07/
2022
29/07/2022
29/07/2022
ISO 9001
BOB001
Mar-22
PAC002
Jan-22
22/01/
2022
BUR001
Mar-22
CAS002
Mar-22
CEN002
Mar-22
CPA001
Mar-22
CJK001
Mar-22
COV002
Mar-24
25/06/
2022
awaiti
ng
new
certific
ate
ISO 9001
CPD001
Mar-22
CRA001
Mar-22
DAS001
Mar-22
DAT003
Mar-24
22/11/
2021
ISO 9001
DET001
Mar-22
BAR003
Mar-22
CCL001
Mar-24
05/02/
2024
05/02/2024
ISO 9001
DUN01
Mar-24
15/06/
2022
ISO 9001
DUR001
Mar-24
13/04/
2022
13/04/2022
ISO
13485 -
INDUST
RY
RELEVA
NT
ISO 9001
ECO002
Mar-22
EUR001
Mar-24
A
NOT APPROVED
EDG002
Mar-22
EGG001
Mar-22
ENG001
Mar-22
SCA002
Mar-22
EXC002
Apr-24
19/01/2022
AA
13/07/
2022
ISO
REQUE
STED
BRC + ISO
EXC001
Mar-22
FIN002
Mar-22
FIS004
Mar-22
FIS003
Mar-22
FLE002
Mar-22
GRA003
Mar-22
GOC001
Mar-22
HEV001
Mar-22
15/06/
2022
ISO 9001
HON001
Mar-24
19/04/
2022
ISO 9001
ICO001
Mar-24
16/10/
2020
certficati
on
requeste
d
IND004
Mar-22
JAS001
Mar-22
JEW0001
Mar-22
JOL001
Mar-22
LEM001
Mar-24
06/11/
2021
06/11/2021
ISO 9001
ATL003
Mar-22
KAI001
Mar-22
ADV002
Mar-22
EMP001
Mar-22
APP002
Mar-22
LEH001
Mar-22
LEY004
Mar-22
LIO001
Mar-22
LUT002
Mar-22
MAC001
Mar-22
MAN005
Mar-22
MAT005
Mar-24
10/04/2022
A
09/06/
2023
BRC+ISO
NEW002
Mar-22
Version 21.1
Page 42 of 49
AUDIT REPORT PART B –
AUDIT REPORT
NEW001
Mar-22
NOR011
Mar-22
PPU001
Mar-22
PAL003
Mar-24
27/01/
2024
20/03/2024
ISO 9001
PAR003
Mar-22
HAN001
Mar-22
POR001
Mar-24
03/05/
2022
08/05/2022
03/04/2022
ISO
45001
ISO 9001
PRO003
Mar-24
18/09/
2024
05/09/2022
ISO 9001
REG001
Mar-22
HMH001
Mar-22
RIT001
Mar-22
RIC002
Mar-22
ROC001
Mar-24
15/07/
2022
15/07/2022
15/07/2022
ISO
45001 &
NSF
Approval
ISO 9001
SGB001
Mar-22
SAM001
Mar-22
OTZ001
Mar-24
awaiting
awaiti
ng
awaiting
SIO002
Mar-24
29/06/2022
FSS
C
220
00
07/05/
2023
05/11/2023
OEKO-
TEX
STANDA
RD
APPRO
VED
ISO 9001 + FSSC 22000
NEI001
Mar-24
24/09/
2022
FSC
Aproval
ISO 9001
STA005
Mar-24
06/01/
2024
USDA
Certificat
ion
ISO 9001
SUP002
Mar-24
28/11/
2021
ISO 9001
TAY001
Mar-22
TER001
Jun-22
awaiti
ng to
SAQ
SAQ
REQUE
STED
SAQ + RA
SAF001
Mar-22
TGW001
Mar-24
08/03/
2021
SAQ
REQUE
STED
SAQ + RA
UBP001
Mar-22
ULT001
Mar-22
UNI002
Mar-24
06/12/
2023
06/12/2023
06/12/2023
ISO
45001
ISO 9001
UNI006
Mar-22
VEL001
Mar-22
VIK002
Mar-24
22/09/
2023
22/09/2023
ISO 9001
AGR001
Mar-24
31/07/2022
AA
16/11/
2021
BRC+ISO
WRI002
Mar-22
WEI001
Mar-22
WOL001
Mar-22
FM Processes Supplier Management record
Area
Supplier
Telephone No
Contract?
Type of Service
Notes
Intruder alarm System
MF&
0844 4130181
yes
support & maintenance
was Swift - change in name
Key holding
A
0844 5532181
yes
service
Fire Alarm System - call out
MF&
0844 4130181
yes
support & maintenance
Fire Alarm System -
system/EL/SM checks
P
1282717171
yes
support, service & maintenance
Rear Yard Elec Gates
HF
01772 822507
no
Annual service & maintenance
Front access Door
BG
0870 6075050
no
maintenance
Roller Shutters W/H
BG
0870 6075050
no
Annual service & maintenance
Fire Extinguishers
WF
01772 693777
no
Annual service & maintenance
Boilers
H
01704 88029
no
Annual service & maintenance
HVAC System
T
Office Cleaning & windows
LNC
7803427612
no formal contract
5 days a week clean (4 hours)
Would recc supplier review - 2 quotes passed to C
Pest Control
R
0808 271 9310
Yes
10 visits - to schedule
close monitoring required due to risk. Managed on
portal. Annual review essential due to BRC req
General /Recycling Waste
BMW
0330 1234 100
Yes
Weekly collection
Would recc supplier review as now over weight
charges being applied
PAT Testing
PC
01978 799389
No
Annual service
Shredding
BMW
0330 1234 100
Yes
4 consoles collected monthly
Sanitiary Bins
ST
(0)1942 872 136
Yes
monthly
contract changed 2019 from Initial
Compressor Service
see Eng
Racking
LINK 51?
01952 682251
No
T Exam - annual
Has not been done - refer to KL
FLT & pallet truck
HSB
0845 3455510
?
T Exam
Exam certs stored on HSB portal
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
Version 21.1
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AUDIT REPORT PART B –
AUDIT REPORT
Process/audit area:
People Resources, Competence & Awareness
Auditees:
AT, CS
Auditor (if applicable):
Evidence to support audit conclusion:
People Resources, Competence & Awareness
Warehouse Operative
Job Specification record Warehouse Operative 01/2017.
Performance Review Appraisal Form Record 08/2021.
Training Record Ee187 2021.
Training Desc
Training Method
Completion Date
Expiry Date if Applicable
ISO Doc Ref
Level of Competency
TRAINING RECORD
Internal
FLT - Counterbalance
External
05/01/2018
Fully Trained & Competent
FLT - Counterbalance
External
05/01/2018
Fully Trained & Competent
Training Record 2016
Internal
11/01/2016
Fully Trained & Competent
Manual Handling
Internal
31/08/2016
HR011R
Fully Trained & Competent
Goods in - Work instructions
Internal
06/01/2017
WARE001
Fully Trained & Competent
Goods out - Work instructions
Internal
06/01/2017
WARE002
Fully Trained & Competent
Receiving Returned Goods - Work Instruction
Internal
06/01/2017
WARE004
Fully Trained & Competent
Perpetual Inventory Count - Work Instruction
Internal
06/01/2017
WARE010
Fully Trained & Competent
Demo Returns to Goods In - Work Instruction
Internal
06/01/2017
WARE017
Fully Trained & Competent
Glass and Chemical Spill Procedure
Internal
12/01/2017
WARE014
Fully Trained & Competent
Personal Hygiene Policy
Internal
30/01/2017
QMS022
Read & Understood
Dress Code Policy
Internal
23/02/2017
HR037P
Fully Trained & competent
Employee Handbook V10
Internal
06/04/2017
Read & understood
Goods In Work Instructions
Internal
WARE001
Fully Trained and Competent
Blade Regrind Order Processing Process Flow
Internal
PROD032
Fully Trained and Competent
Engineering Customr Quote Request
Internal
ENG016
Fully Trained and Competent
Direct Delivery Process Flow
Internal
CUST045
Fully Trained and Competent
Blade Regrind Order Processing WI
Internal
CUST037
Fully Trained and Competent
Employee Handbook V12
Internal
14/07/2017
Read& understood
Basics of HACCP and Prerequisite Awareness
Internal
13/10/2017
Fully Trained & Competent
Tone of Voice Workshop
External
10/01/2018
Fully Trained & Competent
Reach Truck Refresher
External
30/05/2018
29/05/2021
Fully Trained & Competent
Counterbalance Refresher
External
23/05/2018
22/05/2021
Fully Trained & Competent
Site Security Procedure
Internal
12/11/2019
SCM009
Fully Trained & Competent
Working Safely during COVID-19
Internal
09/06/2020
Fully Trained & competent
Goods-In work instruction
Internal
14/07/2020
WARE001
Fully Trained & competent
Goods-out work instruction
Internal
14/07/2020
WARE002
Fully Trained & competent
COVID-19 Policy
Internal
06/11/2020
Read & Understood
Goods In -Work Instruction
Internal
15/01/2021
WARE001
Fully Trained & Competent
Goods out -Work Instruction
Internal
11/02/2021
WARE002
Fully Trained & Competent
Chemical Spill Procedure
Internal
07/04/2021
WARE015
Fully Trained & Competent
Glass & brittle material breakage procedure
Internal
08/04/2021
WARE014
Fully Trained & Competent
Fork Lift Truck - Reach
External
13/05/2021
13/05/2024
Fully Trained & Competent
D1 Fork Lift Truck Refresher
External
13/05/2021
13/05/2024
Fully Trained & Competent
Fork Lift Counter Balance
External
20/05/2021
20/05/2024
Fully Trained & Competent
Working at height awareness
External
27/07/2021
Fully Trained & Competent
Quality Policy
Internal
IMS-POL-001
Read & Understood
Production Quality Controller.
Job Specification record Production Quality Controller 03/2021.
Appraisal Form Record 08/2021.
Training Record EeID 238 2021.
Version 21.1
Page 44 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Training Desc
Training Method
Completion Date
Expiry Date if Applicable
ISO Doc Ref
Level of Competency
Hollow Grind Procedure
Internal
08/09/2016
PROD010
Fully Trained & Competent
HG QC Guide
Internal
06/09/2016
PROD017a
Fully Trained & Competent
Tipping Procedure
Internal
06/09/2016
PROD022
Fully Trained & Competent
Tipping QC check guide
Internal
06/09/2016
PROD022a
Fully Trained & Competent
Polishing - single
Internal
06/09/2016
PROD012
Fully Trained & Competent
Polisher - twins
Internal
06/09/2016
PROD011
Fully Trained & Competent
Quality Policy
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Health & Safety Policy
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Environment Policy
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Ethical Policy
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Mission Statement
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Hygiene Policy
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
QMS Structure
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Manual Handling
Internal
06/09/2016
06/09/2016
Fully Trained & Competent
Whizard Blade Sharpening Procedure
Internal
28/10/2016
PROD018
Fully Trained & Competent
Knife Preparation Procedure
Internal
18/01/2017
PROD017
Fully Trained & Competent
Slicer Blade Sharpening Procedure
Internal
18/01/2017
PROD016
Fully Trained & Competent
Scissor Sharpening QC Guide
Internal
18/01/2017
PROD015a
Fully Trained & Competent
Personal Hygiene Policy
Internal
30/01/2017
QMS022
Read & Understood
Hollow Grind Procedure
Internal
14/03/2017
PROD010
Fully Trained & Competent
Polishing (Twins) Procedure
Internal
14/03/2017
PROD010
Fully Trained & Competent
Honing Procedure
Internal
14/03/2017
PROD013
Fully Trained & Competent
Edge Centre - Clean Down Procedure
Internal
14/03/2017
PROD024
Fully Trained & Competent
Employee Handbook V10
Internal
06/04/2017
Read & understood
Blade Regrind Order Processing Process Flow
Internal
PROD032
Fully Trained and Competent
Blade Regrind Order Processing WI
Internal
CUST037
Fully Trained and Competent
Safe Driving at Work Policy
Internal
HR0055
Read & Understood
Employee Handbook V12
Internal
14/07/2017
Read& understood
Fire Marshal Training
External
06/02/2018
Fully Trained & Competent
Tone of Voice Workshop
External
10/01/2018
Fully Trained & Competent
Counterbalance Refresher
External
18/05/2018
17/05/2021
Fully Trained & Competent
Site Security Procedure
Internal
12/11/2019
SCM009
Fully Trained & Competent
Working Safely during COVID-19
Internal
19/06/2020
Fully Trained & competent
COVID-19 Policy
Internal
06/11/2020
Read & Understood
Washing & Bagging Procedure PROD014
Internal
06/11/2020
PROD014
Read & Understood
Knife Preparation Procedure PROD017
Internal
06/11/2020
PROD017
Read & Understood
Chemical Spill Procedure
Internal
07/04/2021
WARE015
Fully Trained & Competent
Glass & brittle material breakage procedure
Internal
08/04/2021
WARE014
Fully Trained & Competent
Fork Lift Truck - Counter Balance
External
20/05/2021
20/05/2024
Fully Trained & Competent
Fire Marshal Training
External
09/06/2021
09/06/2024
Fully Trained & Competent
Quality Policy
Internal
IMS-POL-001
Read & Understood
Maintenance / Caretaker, Internal Auditor
Job Specification record Maintenance / Caretaker 02/2017.
Performance Review Appraisal Form Record 07/2021.
Training Record Ee203 2021.
Training Desc
Training Method
Completion Date
Expiry Date if Applicable
ISO Doc Ref
Level of Competency
ISO Training Certificates
External
02/10/2001
Fully Trained & Competent Trainer
Safety Rack Certificates
External
30/03/2015
Fully Trained & Competent Trainer
Manual Handling
Internal
01/09/2016
HR011R
Fully Trained & Competent
Personal Hygiene Policy
Internal
30/01/2017
QMS022
Read & Understood
Dress Code Policy
Internal
23/02/2017
HR037P
Fully Trained & competent
Employee Handbook V10
Internal
06/04/2017
Read & understood
Safe Driving at Work Policy
Internal
HR0055
Read & Understood
Employee Handbook V12
Internal
14/07/2017
Read& understood
Basics of HACCP &Prerequisite
Awareness
Internal
23/01/2019
Fully Trained & Competent
Site Security Procedure
Internal
12/11/2019
SCM009
Fully Trained & Competent
COVID-19 Policy
Internal
06/11/2020
Read & Understood
Working at height awareness
External
23/07/2021
Working at Heights V3
Webinar
23/07/2021
Fully Trained & Competent
Quality Policy
Internal
22/09/2021
IMS-POL-001
Read & Understood
Compliance Projects Facilitator, Internal Auditor
Job Specification record Compliance Projects Facilitator 02/2021.
Version 21.1
Page 45 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Internal Auditor 01/2014.
Training Record Ee342 2021.
Training Desc
Training Method
Completion Date
ISO Doc Ref
Level of Competency
Manual Handling
Induction
10/02/2021
Fully Trained & Competent
Company Handbook v12
Induction
10/02/2021
Read & Understood
Employee Safety Handbook
Induction
10/02/2021
Read & Understood
Employee Code of Conduct
Induction
10/02/2021
HR003R
Read & Understood
Health & Safety Policy
Induction
10/02/2021
QMS002
Read & Understood
Quality Policy
Induction
10/02/2021
QMS001
Read & Understood
Personal Hygiene Policy
Induction
10/02/2021
QMS022
Read & Understood
ICT Acceptable Use Policy
Induction
10/02/2021
HR013R
Read & Understood
Training Policy
Induction
10/02/2021
HR046R
Read & Understood
Bradford Factor Memo
Induction
10/02/2021
Read & Understood
Deductions from Pay Agreement
Induction
10/02/2021
HR006
Read & Understood
Contact with Clients & Customer Info
Induction
10/02/2021
Read & Understood
Dress Code Policy
Induction
10/02/2021
Read & Understood
Travel & Expenses Policy
Induction
10/02/2021
HR046
Read & Understood
Privacy Notice for Employees
Induction
10/02/2021
HR046
Read & Understood
Data Protection Policy
Induction
10/02/2021
HR051
Read & Understood
Subject Access Request Policy
Induction
10/02/2021
HR060
Read & Understood
Site Security Procedure
Induction
10/02/2021
SCM009
Fully Trained & Competent
COVID-19 Policy
Induction
10/02/2021
Read & Understood
Mobile Phone Policy and Procedure
Internal
08/06/2021
Read & Understood
Environmental Awareness
External
15/06/2021
Basic Training
Quality Policy
Internal
28/09/2021
IMS-POL-001
Read & Understood
Compliance Manager
Job Specification record Compliance Manager 03/2021.
Probation Review Form Record 08/2021.
Training Record EeID343 2021.
Training Desc
Training Method
Completion Date
Expiry Date if Applicable
ISO Doc Ref
Level of Competency
Manual Handling
Induction
01/03/2021
Fully Trained & Competent
Company Handbook v12
Induction
01/03/2021
Read & Understood
Employee Safety Handbook
Induction
01/03/2021
Read & Understood
Employee Code of Conduct
Induction
01/03/2021
HR003R
Read & Understood
Health & Safety Policy
Induction
01/03/2021
QMS002
Read & Understood
Quality Policy
Induction
01/03/2021
QMS001
Read & Understood
Personal Hygiene Policy
Induction
01/03/2021
QMS022
Read & Understood
ICT Acceptable Use Policy
Induction
01/03/2021
HR013R
Read & Understood
Training Policy
Induction
01/03/2021
HR046R
Read & Understood
Bradford Factor Memo
Induction
01/03/2021
Read & Understood
Deductions from Pay Agreement
Induction
01/03/2021
HR006
Read & Understood
Contact with Clients & Customer Info
Induction
01/03/2021
Read & Understood
Dress Code Policy
Induction
01/03/2021
Read & Understood
Travel & Expenses Policy
Induction
01/03/2021
HR046
Read & Understood
Privacy Notice for Employees
Induction
01/03/2021
HR046
Read & Understood
Data Protection Policy
Induction
01/03/2021
HR051
Read & Understood
Subject Access Request Policy
Induction
01/03/2021
HR060
Read & Understood
Site Security Procedure
Induction
01/03/2021
SCM009
Fully Trained & Competent
COVID-19 Policy
Induction
01/03/2021
Read & Understood
Fire Marshal Training
External
09/06/2021
09/06/2024
Fully Trained & Competent
Mobile Phone Policy and Procedure
Internal
07/06/2021
Read & Understood
Environmental Awareness
External
15/06/2021
Basic Training
Emergency first aid at work
External
21/07/2024
Fully Trained & Competent
Quality Policy
Internal
IMS-POL-001
Read & Understood
Conclusion of the overall effectiveness of the process: Process / Audit Area is satisfactory
Version 21.1
Page 46 of 49
AUDIT REPORT PART B –
AUDIT REPORT
Example of the current NQA logos:
ISO 9001 (UKAS Accredited)
ISO 9001 (UKAS Accredited) with ‘UKAS
Tick and Crown’
More information can be found at: https://www.nqa.com/en-gb/clients/logo-library
If there are inaccuracies, errors or queries regarding this report or audit findings, please contact
NQA Head Office on 0800 052 2424 within five working days of the closing meeting.
End of Audit
Use of Registration Marks and Logos
Use of Registration Mark (if used) is in accordance with the Rules of
Registration
Yes
Corporate website.
Version 21.1
Page 47 of 49
AUDIT REPORT PART C –
AUDIT PLAN
Audit Plan
This plan relates to the next Surveillance visit.
Relevant Standard/Supporting Documentation: ISO9001:2015
Member/
Role
TBC (Lead Auditor)
Member/
Role
TBC (Lead Auditor)
Date
Day 1
Date
Day 2
Time
Location/Department
/Function
Time
Location/Department/Function
0900
Arrive at Local
Customer Site
0900
Opening Meeting
0900
Site Visit, Operational
Planning and Control:
Service Delivery
(Maintenance &
Sharpening) at point
of service.
0915
Performance Evaluation: Management review; Internal audit;
Monitoring, measurement, analysis, evaluation; Customer
satisfaction
1000
Complaints, Nonconformity and corrective action, Continual
improvement
1030
Organisational Context: Purpose, intended results, Internal and
external issues, Needs & expectations of interested parties,
Documented management system scope, boundaries & applicability;
Quality management system, Quality Processes
1100
Leadership and Commitment & Customer Focus: Interview, Quality
Policy, Organisational Roles, Responsibilities & Authorities
1130
Planning: Quality Objectives and plans to achieve them, Actions to
address risks and opportunities, Planning of Changes
1200
End of Day 1
1200
Lunch
1230
Site Tour
1300
Environment for Operation of Processes & Infrastructure resources,
Equipment Maintenance, Monitoring & Measuring resources,
Measurement traceability; Equipment Calibration
1330
Operational Planning & Control: New Product Development
1430
People resources, Competence & Awareness
1500
Organisational knowledge resources
1520
Internal & External Communications, Documented Information, Use
of Marks
1545
Consolidation of any actionable findings
1600
Closing Meeting
1630
Report Writing
1700
End of Audit
Completed by
James Walker
Timings and content may be subject to change
The objectives of the audit will be:
• To confirm that the management system had been established implemented and maintained in accordance with the
requirements of the audit standard.
• To evaluate the ability of the management system to ensure the client organisation meets applicable statutory, regulatory and
contractual requirements. Note: A management system certification audit is not a legal compliance audit.
• To evaluate the effectiveness of the management system to ensure it is continually meeting its specified objectives
• To identify as applicable, areas of the management system for potential improvement.
The audit scope describes the extent and boundaries of the audit, such as physical locations, organisational units, activities and processes to
be audited.
Where the initial or re-certification process consists of more than one audit (e.g. covering different locations), the scope of an individual
audit may not cover the full certification scope, but the totality of audits shall be consistent with the scope in the certification document.
Version 21.1
Page 48 of 49
AUDIT REPORT PART D –
AUDIT MATRIX
Relevant Standard/Supporting
Documentation:
ISO 9001:2015
• This audit programme is to be prepared by the Lead Auditor at the completion of the Stage 2 audit or the Recertification audit.
It should be replicated in all subsequent surveillance visit reports.
• Where an element(s) of the programme cannot be completed at a given visit the programme shall be amended and up-issued
accordingly to ensure coverage at the following visit.
• Site visits are to be included in the programme with a clear indication as to the processes intended to be sampled.
Type of visit
Surveillance 2
Recertification
Surveillance 1
Surveillance 2
Recertification
Visit Due Date (MM/YY)
10/19
10/20
09/21
09/22
09/23
Mandatory Elements / Selected Processes
Processes to be audited during visits are to be indicated with a cross (X).
All processes are to be audited during a three-year certification cycle excluding the re-
certification visit.
Context of the organization
✓
✓
X
X
X
Leadership
✓
✓
X
X
X
Planning
✓
✓
X
X
X
Support
✓
✓
X
X
X
Performance evaluation
✓
✓
X
X
X
Improvement
✓
✓
X
X
X
Use of marks and references to certification / Client
website
✓
✓
X
X
X
Site Tour
✓
X
X
X
Operational Planning & Control Processes in The
provision of high quality food processing machinery, equipment and
services to the food production, processing & preparation industry,
including knives, consumables, PPE, spare parts, maintenance and
sharpening services
• Service Delivery (Maintenance & Sharpening)
✓
✓
X
X
• Sales
✓
✓
X
X
• Picking, Packing & Despatch, Stock Management
✓
X
X
• Purchasing & Control of External Providers
✓
X
X
• New Product Development
✓
X
X
Off Site Processes for review at Site Visits (Specify)
• Service Delivery (Maintenance & Sharpening)
✓
X
X
Non-Core Shifts to be Audited (non-core shifts to be
audited minimum of 1 per cycle)
• Not applicable
Client Locations to be visited (Specify)
• Matrix Park, Western Avenue, Buckshaw Village,
Chorley, PR7 7NB
✓
Remote
Remote
X
X
Audit trails will be developed based upon identified risk throughout the audit and as such timings and content may be subject to change.
Where the client operates shifts, the activities that take place during shift working shall be considered when developing the audit programme
ONGOING SUPPORT SERVICES
PR and marketing support
Help to promote your press releases,
blogs and case studies along with
complimentary vehicle stickers
for vans and HGV’s. Use the
NQA Certified logo to promote
your certification.
Trusted partners
Our Associate Partner Programme is
designed to put you in touch with third
party independent consultants and
software providers that can support
you through every step of your
certification journey.
Support through
free webinars
Join one of our many free webinars
discussing standards, improvement
and industry topics. Use our
webinars to help you improve your
knowledge and understanding
and engage with our subject
matter experts.
Training promotions and
complimentary e-learning
As an NQA client, enjoy discounted
training courses and complimentary
access to our portfolio of e-learning
courses.
InTouch and legal updates
Registration to a monthly e-zine from
NQA. Translating the language of
standards, management systems and
certification through articles covering
best practices, tools and techniques
and alerts on latest environmental and
health & safety legislation.
NQA certified clients are authorized and encouraged to use
NQA logos to promote their certification achievements.
Access all NQA logos here:
https://www.nqa.com/en-gb/clients/logo-library
NQA, Warwick House, Houghton Hall Park, Houghton Regis,
Dunstable, Bedfordshire LU5 5ZX, United Kingdom
www.nqa.com
