2.audit Report BRC

Audit Report
Global Standard for Food Safety Issue 7: July 2015
1.Audit Summary
PHUC AN PROCESSING AND
BRC Site
Company name TRADING COMPANY LIMITED Code
Site name PHUC AN PROCESSING AND TRADING COMPANY LIMITED
Manufacturing (steaming - cutting - drying - humidification – peeling – grading,

Scope of audit
fumigation) of cashew nut. Packed in vacuum plastic bag.
Exclusions from
Nil
scope
Justification for
Nil
exclusion
Audit Finish Date 2017-03-03
Re-audit due date 2018-03-03
Voluntary modules included

Modules Result Details
Choose
Choose a module
an item
Choose
Choose a module
an item
2. Audit Results
Audit result Choose an Audit grade A Audit type Choose an
item item
Previous audit grade Choose an item Previous audit date Select a date
Fundamental 0
Number of non-conformities Critical 0
Major 0
Minor 8
Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK
F002 English Food Template issue 5 4/12/2015 Page 1 Report No. Auditor: Hau Vo Trung (136303)
This report shall not be reproduced in part without the permission of of Bureau Veritas Certification Holding UK Branch
If you would like to feedback comments on the BRC Global Standard or the audit process directly to BRC, please contact
[email protected]
3.Company Details
Address 285 Group 4, Quarter 1, Phuoc Binh Ward, Phuoc Long Town, Binh
Phuoc Province, Vietnam.
Country Viet Nam Site Telephone +(084) '08 3932 5992

Number
Commercial Mr. Le Nhat Khoa Email [email protected]

representative Name
Technical Mr. Vu Manh Tung Email [email protected]

representative Name
4.Company Profile
Plant size <10K sq.m No. of 51-500 No. of HACCP 1-3
(metres square) employees plans
Subcontracted processes No
Other certificates held ISO 22000
Regions exported to North America

Europe
Choose a region
Choose a region
Choose a region
Choose a region
Company registration
number
Major changes since last This is initial audit

BRC audit
Company Description
Phuc An Processing & Trading Company was originally established in the year 2004 in the Binh Phuoc
Ward of Phuoc Long District, Binh Phuoc Province. Nearly 10 years after first beginning operations,
Phuc An Co. continues to expand its production capacities for the export of processed cashew nut
kernels.
Using state of the art technology to regularly upgrade its quality control systems, Phuc An Co.'s food
processing facilities today operate on par with many of the most advanced Western facilities around the
world.
[email protected]
5.Product Characteristics
Product categories 05 - Fruits, vegetables and nuts
Category
Category
Category
Finished product safety rationale Ambient stable, drying and fumigating treatment process by new
technology – decreasing oxygen and increasing temperature to 40 degree
Celsius. Moisture content max 5 % as AFI 2012 requirement. Used as
ingredient for further processing
High care No High risk No Ambient high care No
Justification for area Raw Cashew Kernel product
Allergens handled on site Nuts

Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Choose an allergen
Product claims made e.g. IP, No claim

organic
Product recalls in last 12 Months No
Products in production at the time Raw Cashew

of the audit
[email protected]
6.Audit Duration Details
On-site duration 16 man hours Duration of production 8 man hours
facility inspection
Reasons for deviation from typical Nil

or expected audit duration
Next audit type selected Announced
Audit Duration per day

Audit Days Audit Dates Audit Start Time Audit Finish Time
1 (start date) 2017-03-02 08:00 17:00
2 2017-03-03 08:00 17:00
3( finish date)
Auditor (s) number(s) Names and roles of others
Auditor Number 136303 Hau Vo Trung - LA
Second Auditor
N/A
Number
Present at audit
Note: the most senior operations
manager on site should be listed first
and be present at both opening &
closing meetings (ref: clause 1.1.9)
Name / Job Title Opening Meeting Site Inspection Procedure Closing Meeting
Review
Mr. Le Nhat Khoa – Vice
x x x
Director
Mr. Vu Manh Tung – QA
x x x x
Manager
Mr. Huynh Van Vu – HR
x x x
Manager
Mr. Phan Dinh Liem –
x x x x
Production Manager
Mr. Nguyen Quang Hung –
x x x
Sale Assistant Manager
Mr. Nguyen Van Vinh –
x x x x
Engineering
Mr. Tran Duong Tam - Sale x x x
[email protected]
Present at audit
Nguyen Van Hung - Sale x x x
[email protected]
Non-Conformity Summary Sheet
Critical or Major Non Conformities Against Fundamental Requirements
No. Clause Details of non-conformity Critical or Major? Anticipated re-audit date
Critical
No. Clause Details of non-conformity Anticipated re-audit date
[email protected]
Major
Evidence
Proposed preventive provided
No. Clause Details of non-conformity Correction action plan (based on root document, Date reviewed Reviewed by
cause analysis) photograph,
visit/other
Minor
Evidence
Proposed preventive action provided
Date
No. Clause Details of non-conformity Correction plan (based on root cause document, Reviewed by
reviewed
analysis) photograph,
visit/other
There is no evidence to
approve and monitor A Chau Conduct an assessment and Root cause: Supplier Hau Vo
pest control service supplier. approval to A Chau Pest evaluation of
1 3.5.3.1 BP uses service without being 2017-03-16
control service supplier and A Chau Pest
aware of controlling pest control
monitor on their services on control
service supplier under Supplier
[email protected]
the site Monitor procedures
Corrective action:
Conduct training for BP’s
employees using service on
procedures of supplier monitor
and approval
There is no evidence to train
site security procedures for Conduct training on plant Root cause: Training Hau Vo
employee security procedures for all record of site
Security control team has not well
company’s employees and security
understanding in requirements of
workers procedure
2 4.2.2 Article 4.2.2 in BRC Food 7 2017-03-16
Corrective action:
Conduct training Article 4.2.2 for
the security control team
Nitrogen is made by factory Plan to test nitrogen to assess Root cause: Nitrogen Hau Vo
and used in packing process contamination risk testing request
HACCP team do bot clearly
but there is no evidence to plan
understand requirements of
monitor contamination risk of
Article 4.5.4 regarding gas safety
nitrogen.
control
3 4.5.4
Corrective action:
2017-03-16
Conduct training for staff in

charge of operating nitrogen
generator system in term of
Article 4.5.4 regarding
requirements on gas control that
[email protected]
ensures food safety
Sieve is used to control foreign Conduct determination and

bodies but mesh size is not description on sieve’s sizes Root cause: Packaging Hau Vo
specific and there is no into GMP documents GMP
HACCP team does not either
evidence to inspect damage of Design again the forms with procedure
measure sieve’s sizes or
sieve regularly. the content of monitoring updated
understand properly the
sieve’s conditions on daily
importance of sieve as a method Form of
basis
to control foreign matters. inspection
4 4.10.2 sieve damage 2017-03-16
Corrective action:
Conduct training for HACCP
team in term of Article 4.10.2 and
the importance of applying
control methods and monitoring
strictly these control methods
Observed during the site tour,
metal detector machine has an Rechecking the detector and Root cause: Picture of Hau Vo
alarm with the sound when fix the problem that the belt metal detector
QC and the workers supervising
metal pieces are detected but system does not stop properly
at the detector are not well aware Training
belt system did not stop when the alarm sounds
of requirements in the Article record of
properly.
5 4.10.3 4.10.3 monitoring 2017-03-16
CCP –metal
Corrective action:
detector
Conduct training in term of
Article 4.10.3 for the workers and
QC supervising at the detector
[email protected]
There is no evidence to
implement maintenance Conduct maintenance on Root cause: Maintenance Hau Vo
monthly and check every 3 colour sorter monthly as per plan of color
The maintenance team has not set
months for colour sorter to maintenance work instruction sorter
up the frequency of machine and
follow maintenance work equipment maintenance in
instruction. Actually,
accordance with designed
maintenance is implemented
6 4.10.5.1 every 2 months. maintenance work instruction 2017-03-16
Corrective action:
Review and plan again the
maintenance work based on
designed machine maintenance
instruction
There is no pesticide treatment
report weekly to follow Make weekly report on Root cause: Insect control Hau Vo
agreement with contractor. pesticide treatment when report
The staff in charge is not aware of
conducting services with
requirements in pest control
contractor
7 4.14.4 activities. 2017-03-16
Corrective action:
Conduct training in pest control
for the staff in charge
Oxygen content measurement
equipment and thermal meter Make addition to the list of Root cause: List of Hau Vo
for monitoring fumigation measurement equipment for 02 calibrated
The staff in charge planning
process but these not included oxygen content measurement equipment and
8 6.4.1 calibration does not prepares 2017-03-16
in list of measurement equipment and thermal meter calibration
enough 02 measure equipment
equipment as well as no warranty for
Send these 02 equipment for (oxygen content measurement
evidence to calibrate. oxygen
outsource service for equipment and thermal meter)
measurement
[email protected]
calibration (Quatest3) Corrective action: equipment and
thermal meter.
Conduct training for the staff in
charge of planning calibration on
requirements of monitor to ensure
the accuracy of monitoring
equipment (Article 6.4.1)
Comments on non-conformities
Some non-conformity was identified during audit however the general system is well maintained, no customer complaint.
[email protected]
Voluntary Modules Non-Conformity Summary Sheet
Critical
No. Clause Details of non-conformity Anticipated re-audit date
[email protected]
Major
Evidence provided
Proposed preventive action
document, Date Reviewed
No. Clause Details of non-conformity Correction plan (based on root cause
photograph, reviewed by
analysis)
visit/other
[email protected]
Minor
Evidence
Proposed preventive action provided
Reviewed
No. Clause Details of non-conformity Correction plan (based on root cause document, Date reviewed
by
analysis) photograph,
visit/other
[email protected]
Detailed Audit Report
1. Senior management commitment
1.1 Senior management commitment and continual improvement
Food safety Policy, signed by General Director – Mr. Le Nhat Huy, dated: 01-June-2016 including
commitment satisfy customer requirements and legal requirements. Policy is communicated by posting in
office and production
Objectives 2016:
- Loss less than < 1%
- There is no reject due to micro-biology
- Delivery on time 100%
Objectives are summary and reported quarterly. Report of quarter 4 of 2016 is in place, all objectives are
achieved.
Objectives 2017 is established and maintained as 2016
The management review process is established covering agenda and plan of management review. The
management review was conducted covering both quality and food safety aspects as planned interval.
Management review followed procedure (PA.21), effective date: 01-June-2016. Management review is
planned once per year and the last one on 3-Jan-2017. The processes review covering follow up activity
from the previous review, auditing result, customer feedback, status of corrective / preventive action,
process/product performance, infrastructure, objective target, GMP, facilities, human resource, training
result, policy & objective, change that may affected the quality management system, recommendation for
improvement, regulation and scientific information updating and food safety management system, and
other quality & food safety issues depend on situations. QMR, Production, QC, Engineering, Warehouse
were attended in this meeting. The results of the review will be considered with consideration to resources
required. There was no customer complaint from last audit until now
Monthly meeting to solve quality issues is conducted and chaired by Le Quang Tien – Vice director.
Meeting minutes are verified on Jan&Feb-2017 available
[email protected]
Updating legislation is managed by food safety team leader. Frequency is defined and scheduled for 12
monthly on basis or any change. List of legal requirements is in place, updated date: 01-June-2016. Local
legislations are identified. After updating, information changes will be passed to relevant department to
review and consider the impact of its activities, the website http//eur-lexeuropa.eu referred, AFI
specification referred.
1.2 Organisational structure, responsibilities and management authority
Organisation chart including Chairman, Production, QA, HR, Accounting, Purchasing, QM, Sale. The
responsibilities and authorities of each department, each position and deputy position have been
established in description. Checked description of QA manager – Mr. Vu Manh Tung including
responsibilities and authorities related to food safety defined, Mr. Nguyen Ba Phuc is assigned as deputy
when QA manager absent.
Details of non-applicable clauses with justification
Clause reference Justification
1.1.8 This is initial audit
2 The Food Safety Plan – HACCP
HACCP team established 9 members from cross function, document HACCP dated 01-Jun-2016, Mr. Vu
Manh Tung is HACCP team leader – over 7 years’ experience in cashew processing, basic HACCP
training, hygiene. HACCP team are trained HACCP and BRC on 21-22-May-2016 by Tan Chuan
consultant company.
PRPs documented program are established across the whole company such infrastructure, water,
cleaning, personnel hygiene, pest control, chemical control, warehouse & delivery…
Hazard analysis based on the information of 7879 TCVN – General conditions for food safety; EU 852
Regulation – Conditions for food hygiene and safety Technical specification TCN 128, 130, 4850 TCVN,
1881/2006/ 89/2006 ND _ CP & customer requirement of destination country such 1881/2006, EU 72 for
plastic bag, AFI 2012 such as Aflatoxin B1 < 5 ppb; Aflatoxin B1B2G1G2 < 15 ppb, residues of plant
protection products: not detected, concentration of heavy metals: not detected, Glass pieces and metal
pieces: not detected, packing PE vacuum add N2, shelf life 12 months, used as ingredient for further
processing.
[email protected]
Product intend use: used as ingredient for further processing
Process flow: The team have used a 4 step decision tree follow HACCP principles
Flow diagram: Receiving raw materials => Store => Sorting => Steam => Cooling => Sorting => Cutting
=> Drying => humidification => Peeling => Colour Sorter => Fumigation (O2< 1%, T= 40 degree Celsius)
=> Sorting => Weighting & Packing => Metal detector => Store => Delivery.
Recently verified the flow diagram on 16.2.2017 by HACCP team
HACCP analysis mentioned HACCP plan (HACCP/F6) likelihood & severity used to determine the risk.
Significant hazards have been identified as residue of fumigation, moisture content relate Aflatoxin B1, B2,
G1, G2, and metal foreign matter. The others hazard such other foreign matter is controlled thru aspirator
or hand sorting; pesticide residue is tested per year or when customer request. The team have used a 4
step decision tree follow HACCP principles.
CCP plan (HACCP/F6) , dated: 01-June-2016:
CCP1: Fe = 1.5 mm, Non Fe= 2.5 mm, SUS = 2. 5mm, monitored by QC hourly, verify record by HACCP
team leader.
The CCP monitoring system HACCP -06 Dated 25,4.2016, check the sensitive accuracy of metal detector
at start-up & hourly by standard piece Fe 1.5mm, non Fe = 2.5mm, SUS 2.5 mm, all product pass through
the machine.
CCP was validated by checking the metal detector at start-up & hourly by standard piece, checked by
trained worker, alarm system used, dimension follow specification of manufacturer. Validation procedure
dated 01-June.2016 for three metal detector
The HACCP has been verified throughout internal audit, HACCP review, customer feedback review,
management review, external audit.
Nil
3. Food safety and quality management system

3.1 Food safety and quality manual
[email protected]
The Quality Manual STCL date of issued 01-June-2016. Quality manual general demonstrate how the
BRC requirement was full fill include quality & food safety issue, QA department is in charge of quality
control, QA manager, QA on line to monitor the compliance, raw material, semi finish product & finish
product were established, quality & food safety monitoring scheme, and HACCP system inside.
3.2 Documentation control
Document control procedure PA01 dated 01-June-2016, Document type: QM (Quality manual), PM
(procedure manual), SSOP, specification, HACCP, Work instruction. Document is available to all
department , control stamp” is used
3.3 Record completion and maintenance
All records related product and process performances retained in 3 years as mentioned in record control
procedure PA02.
3.4 Internal audit
Internal audit followed procedure PA.03, effective date: 01-June-2016. Internal audit schedule is planned
twice per year. The last internal audit is done 2-Oct-2016 and 16-Nov-2016. There is one NC found in
internal audit on 20-Oct-2016 and corrective action taken completely. All internal auditors are trained by
Tan Chuan Consultant company.
Housekeeping checking is implemented daily including personal hygiene, facilities hygiene, equipment
hygiene. Checked hygiene checklist SSOP/F01, SSOP F02, SSOP F03 from Oct-2016 to Feb-2017
recorded sufficiently.
3.5 Supplier and raw material approval and performance monitoring

3.5.1 Management of suppliers of raw materials and packaging
Raw cashew bought in Viet Nam & imported from Africa. Risk assessment was done by the company for
all materials and packaging included in hazard analysis document (HACCP/F6). Different levels of risk
require different criteria and frequency for evaluation suppliers/service provider’s performance. Physical,
chemicals and microbiological, allergen including security, environmental, price aspects were examples of
considered factors for suppliers’ performance evaluation and monitoring. Documented risk assessment
was in place thru questionnaire, supplier evaluation (Quality, Price, delivery time, services, package &
others) & supplier approval & final contract agreement. Check record case of Bu Gia Map Corp. All raw
materials (12 supplier of cashew), packaging materials (PE have three supplier, cartons have 01 supplier)
suppliers were evaluated since the stage before purchasing (approval stage, minimum score 50) and also
covered all incoming shipments (suppliers’ performance monitoring).
3.5.2 Raw material and packaging acceptance and monitoring procedures
Packaging material plastic buy from Liksin, vacuum pouches, migration test is verified and in place. Detail
acceptance procedures for raw materials incoming inspection check, date: 01-June.2016 – check quality,
[email protected]
food safety (by external laboratory) & condition of package when arriving.
Quality control department took responsible for checking of quality points before accepting material for
each incoming lot. Agreed specifications were as guideline for incoming inspection and testing. Incoming
material inspection was done with records maintained parameters. All materials (raw materials,
ingredient), including packaging materials were inspected before unloading
Confirm service providers have been assessed and relevant contracts in place.
3.5.3 Management of suppliers of services
Factory has contracted with services providers as per below list.
1. Pest control from A Chau

2. Lab testing & inspection service (CAFÉ CONTROL_national technical insurance lab centre, c
3. Transporter – Quoc Thinh
4. Maintenance – Khuon May Viet
These services providers were selected and evaluated separately for specific criteria. Services
specifications/contracts were in place with detail covering requirements of the plant in food safety,
environment and other aspects. Selecting evidence and services providers’ performance monitoring
reports were maintained for each service providers.
Minor non-conformity, clause 3.5.3.1: There is no evidence to approve and monitor A Chau pest control
service supplier.
3.5.4 Management of outsourced processing and packing
N/A
3.6 Specifications
The company has established specification: raw material, semi-product, food additive, finished product,
packing material
Specification was established to each material, ingredient and chemical treatment.
Raw material specification is established including moisture < 11%, sensory, appearance.
Specification of finished product (PA-TC), effective date: 01-June-2016 referred to local requirements
QCVN 01 - 27: 2010/BNNPTNT and customer requirements:
- Moisture max 5%, broken pieces, next lower size grade, Second quality Scorched, third quality, light
Blemished whole, Desert, Supervficial Damange, adheringTesta, maximum defect level
- Aflatoxin B1 < 5 ppb; Aflatoxin B1B2G1G2 < 15 ppb
[email protected]
- E.coli, Salmonella, S.aureus, Mould
- Pesticide residue
- Peroxide value, free fatty acid
- Color is under AFI standard or customer standard
- Residues of plant protection products: not detected
- Concentration of heavy metals: not detected
- Glass pieces and metal pieces: not detected
Specification of Packaging material.
Specifications cover details of safety parameters (physical, chemical and biological hazards). Formally
agreed specification were established and reviewed up to date to suppliers of raw materials and finished
product specifications.
All specifications are reviewed annually or reviewed immediately when any change that may affect safety
food or there is any need hazard may introduce through external research.
All specifications were adequate and comply with legislative requirements.
QCVN 8-1/2011/BYT; QCVN 01-2009/BYT; 46/2007/QD-BYT; QCVN 12-1/2011-BYT; 1881/2006 EC, AFI
2012, QCVN 01 - 27: 2010/BNNPTNT
3.7 Corrective and preventive actions

Corrective action followed procedure PA.06, effective date: 01-June-2016.
The corrective action, any nonconformity will be recorded follow control of nonconformity , then the
correction will be done to correct the nonconformity, after that the root cause will be investigate by QC and
record on form PA.06/F01, production & any relate department, after root cause has been determined, the
corrective action will be decide to eliminate the cause of nonconformity, it specify who is in charge of
taking corrective action, deadline to implement & who verify the effectiveness of corrective action taken.
Corrective action taken for 1 NC found in internal audit and followed compliantly PA.06 procedure.
3.8 Control of non-conforming product

Control nonconformity product followed procedure PA.08 dated01-June-2016, rev 01. each lots of raw
material receipt has lot code, based upon checking report if any found out of specification then the lot will
be labelled as red label “nonconforming material” & kept separated in nonconforming product storage
area, the QC manager will evaluate the identified nonconformity, then suggest the action taken to
managing director whom make the final decision, for all food safety issues it will be rejected. In production
line, if any semi-product out of specification it will be identified by label “Rejected bulk”, kept in separated
& urgent checked by QC, it can be remake, concession approved, the nonconforming product in
production line usually corrected immediately. There is no potential trend .The finish product is packed &
stored in cold warehouse, waiting for testing result with identified label, if test result showing out of
specification, the product will be blocked with a “on hold” label, final decision is belong to the managing
[email protected]
director in consultation with QC manager & production manager. All records of nonconforming product
report, action taken such release, reject, remade are maintained in form PA.08/F01. There are 3 cases
recorded in non-conformities logbook, checked records shown compliance.
3.9 Traceability
Traceability practice on dated 22-Feb-2017 for product W320, lot: PA 001, MFG date: 03-Jan-2017,
quantity: 7000 kg, customer: Green Way Asia Lanka PVT LTD. Backward and forward traceability is
implemented with 2 hours.
Checked vertical traceability by auditor for product W320, lot PA 005, shipment: 20-Jan-2017
Container no CSLU2219578, seal number no: AA23369869, checked container before loading recorded
PASS by Mr Hung.
Packing date: 17-Jan-2017
Metal detector report (GMP/F10), check every hour by QC.
GMP packing report (GMP/F09): sealing temperature: 8 seconds, Nitrogen pump: 4s, vacuum time; 8s
GMP 16 specify 4 s for N2
Lot of packaging: P151216, from supplier Liksin
Check labelling every 2 hours including in packing report (GMP/F09)
Check weight 2 hour per time, 3 bags per time recorded
Fumigation report (GMP/F08), check once per day => Oxygen 1%, temperature = 38-45
Lot of raw materials: VN240716, supplier HTX Bu Gia Map => incoming date: 24-july-2016
3.10 Complaint handling
Customer feedback and complaint procedure PA.10, effective date: 01-June-2016, customer complaint is
received by business department & QA department & distributed to each factory relation, root cause have
been analysed by QC & production, report to the board of management, action taken is reviewed by QC
manager/ factory manager. There was no customer complaint until now.
3.11 Management of incidents, product withdrawal and product recall
Recall procedure PA.11 dated 01-June-2016, team of recall 09 people, Mr. Le Nhat Khoa – Vice Director
is team leader, include management & operation, QA function, with full detail of how to manage
incidents/recall and withdrawal at each stage. Clear risk assessment had been done covering all possible
incidents. Team communication list was in place, including the emergency contact information of all
relevant parties required by the standard requirements including certification bod (schedule informed in
three days).
[email protected]
Written guidance regarding the management of incident including case of product will cause serious health
effect to consumer will be recalled and managed by product withdrawal & recall.
Management of Incident is implemented and maintained. Details in procedure include as a minimum
incident, communication person contact list and corrective action
The product recall and withdrawal procedures are tested once per year. The last test report on dated 22-
Feb-2017, product W320, lot number of PA 001, MFG date: 03-Jan-2017, quantity: 7000 kg, customer:
Green Way Asia Lanka PVT LTD.
Emergency & plan has been analysed in case of power off, water supplier, cold chain supplied, flood, fire
and with control measure such subsidiary power, back up water system - last practice on 3.8.2015 – fired
incident
3.12 Customer focus and communication
Follow customer feedback and complaint procedure PA.10, effective date: 01-June-2016. The company
has survey customer annually and the last one done from 12-17-Oct-2016. Customer comments are
analysed and reviewed by management.
Customer requirements such as complain is received by Sale and communicated to relevant departments.
3.5.4 No outsourcing
4. Site standards
4.1 External standards
The site has located next to residence in Phuoc Binh Town, Binh Phuoc Province, factory has been
constructed and designed to facilitate maintenance, prevent contamination and enable production of safe
and legal products. The external area and overall grounds within site was managed and maintained in
good condition. Grass and trees were not close to production buildings and regularly tended. There was
no potential contamination risk for the local activities and environment around the factory
4.2 Security
Follow security procedure (PA.12), effective date: 01-June-2016. Risk assessment is documented
(PA.12/F01). Control measures were established depend upon risk levels. Examples of control were as
follows:
1. Security guards contracted with Chinh Truc Security

2. Camera 24/24 : 16 unit
[email protected]
3. Logistic control
4. Personal control
5. Production and storage entrance
6. Visitor card & registration
Frequencies of control and monitoring were established and done depend upon risk level identified for
each area. Identified critical areas were production entrance, storage gates, production and storage areas
and etc. Security assessment documented was undertaken as least annually base on potential risk,
damage and contamination.
Last risk assessment by Security and incident team meeting. Only authorised person, right staff is allowed
to access to production areas & storages. Ingredients, chemical & packaging material warehouses are
secure locked and managed by store keeper. Visitor and agent of raw material must be declaring
information with identified card on time. External water tanks area locked with nominated access.
Enclosed site with 24 hour security.
Minor non-conformity, clause 4.2.2: There is no evidence to train site security procedures for employee
4.3 Layout, product flow and segregation
The plant layout indicate route of personnel moving, waste, machinery, processing flow, updated enclosed
product area, low risk area. One plant for heat treatment of raw cashew & the next for processing after
heat treating (drying, shelling, cooling, peeling, fumigation, packing areas).
One way product flow, walk way & equipment are located to avoid cross contamination. Raw material
receiving, intermediate processing and packing are segregated by wall or glasses
The factory has been identified risk level of the different areas on site. As a guide there is low risk area
based on used production zone decision tree in the standard requirement
Low risk was defined from raw material receiving to sorting, packing, the others area is enclosed
Low risk is well managed and equipped with full hygienic facilities, e.g. physical segregation between other
parts of the site, cleaning equipment, hand facility. The transfer points are established, separate entrance
with changing room, designated protective clothing, hand washing stations
4.4 Building fabric, raw material handling, preparation, processing, packing and storage areas
General suitable for nut producing.

Glass windows with adhesive sheet to protect against breakage.
All lights are covered to protect against breakage. Access to the void is designed from outside processing
areas and screened to prevent pest ingress
External doors are self-closing and have plastic curtain to prevent pest ingress. Dock levellers are close
fitting.
Walls, floor are cement smooth, the ceiling made from metal sheet and tighten that is easy for cleaning
Air blowing is installed at entrance to the processing area. Electric fly killer is installed inside processing.
[email protected]
4.5 Utilities – water, ice, air and other gases
Factory used water is from Industrial park, water is used for steaming process, test report quarterly by
Pasteur Institute following regulation QCVN01:2009/BYT (Vietnam regulation) & 98/83/EC, testing report
dated 25-Sept-2016 in Quatest 3 Lab.
Air environmental (dust, SO2, humidity, noise…) monitored by the authority dated 20.8.2016 meet
TCVSLD 3733/2002/BYT.
No used water in manufacture of product (all step)
Air compressor used indirect contact with food was filtered, oil free
Minor non-conformity, clause 4.5.4: Nitrogen is made by factory and used in packing process but there is
no evidence to monitor contamination risk of nitrogen.
4.6 Equipment
Equipment of the appropriate design. Most of equipment is stainless steel. 2 shelling, 4 rooms for
fumigation 3 sieving machines, 2 color sorter, 1 packing machines and 3 metal detector installed on site
The equipment was installed and the commissioning has been done by engineering and related
department as defined in procedure. All equipment were located in proper position which easy to access
and cleaning. Certificates of conformity were observed, e.g. conveyor belts that demonstrate suitability
and safe for use.
4.7 Maintenance
Maintenance is done internal & external service following maintenance plan in 2017. List of machines
needed to maintenance with maintenance plan is available. All equipment after maintenance cleaning by
staff and verified by QC control this area.
All maintenance was recorded and verified by Engineering Manager. Check maintenance of colour sorter,
maintenance report is in place. Documented hygiene inspection on start -up completed and recorded in
maintenance report.
4.8 Staff facilities
Protective clothing, footwear, hair net and mask were provided for all employees including visitors.
Changing facilities for staff, visitors, subcontractors were site in the factory. They were kept in clean, dry
and good condition. There was a procedure to verify cleanliness of clothing before enter production area
daily, swab test done.
Clear instruction for changing and hand washing were tagged with sign board to facilitate operation.
Hand washing facilities, e.g. soap, sanitizer, alcohol were arranged before entering the production area at
[email protected]
each access point at each area (production to packing). Toilets were segregated from production area and
storage area. Toilet shoes, hand washing facilities and soap were sufficiently provided. Rule for changing
protective clothing before leave the production line for toilet and canteen was in place.
Smoking area and waste basin were provided outside production area. Catering facilities were provided
which controlled the hygienic state of area and daily checked by HR section. Contracted service was
established and implemented. Waste basins were sufficiently provided at designated area for food eating.
Lockers were provided for storage of personal items.
Catering service was maintained in clean and hygiene condition. There was no possible contamination risk
from catering to products. This activity was serviced by service provider
4.9 Chemical and physical product contamination control

Raw material handling, preparation, processing, packing and storage areas
All chemicals were kept in lock rooms. Separation was observed for each chemical. Designated areas
were assigned for all chemicals storage. There was no evidence of contamination observed during on-site
audit. Clear identification/tag was observed on all chemical containers
Clear procedure was established or the control of glass and hard clear plastic. This procedure was
implemented covered both production and storage areas. All hard clear plastic and glass were registered,
identified and regularly monitored. Inspection records were maintained for each area. Location of each
material was defined on the glass and hard clear plastic map, glass & plastic controlled is available at
production area.
Policy of metal object use in factory is available.
4.9.1 Chemical control
All chemicals (Alcohol, hand disinfectant) were kept in lock rooms. Separation was observed for each
chemical. Designated areas were assigned for all chemicals storage, MSDS & labelled.
4.9.2 Metal control

Metal control policy followed glass control, knives, sharp followed procedure (PA.14), effective date 01-
June-2016. Metal inspection is performed daily and recorded in metal checklist PA.14/F03. The checking
at each area (hand peeling) mentioned in record, check including the quantity issue for production & return
& status of metal object. Staple, paper clip was not seen in the open area.
4.9.3 Glass, brittle plastic, ceramics and similar materials

Glass control followed glass control, knives, sharp followed procedure (PA.14), effective date 01-June-
2016. . All hard clear plastic and glass were registered, identified and regularly monitored. Inspection
records were maintained for each area. Location of each material was defined on the glass and hard clear
plastic map, glass & plastic controlled is available at production area. Daily check glass control record
PA.14/F02.
[email protected]
4.9.4 Products packed into glass or other brittle containers
N/A
4.9.5 Wood
Wood was not be used in production area, only used in storage of raw material bag in raw warehouse,
condition of wooden pallet check found in good condition.
4.10 Foreign-body detection and removal equipment
4.10.1 Foreign-body detection and removal equipment
Use sieve & metal detector as control measure for foreign bodies.
4.10.2 Filters and sieves

Product was sieved to control grade and control foreign bodies, sieve size as AFI 2012 requirement (LWP,
LP 8.0 mm, SWP, SP 4.75 mm, BB, BB1 2.36 mm).
Minor non-conformity, clause 4.10.2: Sieve is used to control foreign bodies but mesh size is not specific
and there is no evidence to inspect damage of sieve regularly.
4.10.3 Metal detectors and X-ray equipment

There are 3 metal detector used in factory in 3 packing lines. Metal detector is identified as a CCP. Test
metal detector is defined in HACCP plan: Fe = 1.5 mm, Non Fe= 2.5 mm, SUS = 2. 5mm, monitored by
QC hourly, verify record by HACCP team leader.
Minor non-conformity, clause 4.10.3: Observed during the site tour, metal detector machine has an alarm
with the sound when metal pieces are detected but belt system did not stop properly.
4.10.4 Magnets
NA, no magnet used
4.10.5 Optical sorting equipment

There are 2 optical sorting machines to grade and sort product based on colour. The machine was
validated by internal to confirm the efficiency minimum detect 90%.
Minor non-conformity, clause 4.10.5.1: There is no evidence to implement maintenance monthly and
check every 3 months for colour sorter to follow maintenance work instruction. Actually, maintenance is
implemented every 2 months.
4.10.6 Container cleanliness – glass jars, cans and other rigid containers
N/A, product is packed in plastic bag.
4.11 Housekeeping and hygiene
Cleaning program SSOP, dated 01-June-2016 was established for each equipment and machine being
used at production area, cleaned by detergent then by alcohol. Detailed cleaning program was observed
[email protected]
and this was used as guideline for cleaning and training for all cleaner. Verification of cleaning was
regularly done by quality control staff who worked in production area. Cleaning records were maintained
for each production area.
Separate cleaning staff was trained and refreshed training yearly. Separated cleaning tool, swabbing
programme is done for all product contact on a sampling plan once/year for TPC, Coliform, E. coli. All
equipment, tools processing cleaned before, during and after shift work, test report verified (worker hand,
clothing, table, surface contact dated 08-Nov-2016 shown compliance. Cleaning detergent by alcohol, wet
dishcloth, dry cloth, cleaning liquid, vacuum cleaner.
4.11.7 Cleaning in place (CIP)
N/A, no CIP system used
4.12 Waste / waste disposal
Waste management SSOP procedure was established and implemented. Garbage and waste were
disposed as per the established procedure by approved/licensed service provider. Waste disposal was
recorded for each delivery. There were three types of waste separation, which were general waste,
industrial waste and hazardous waste. These were all disposed by licensed company.
Hazardous waste are separate kept, identified & authorized assess to waste, remove & handling waste by
approved service.
4.13 Management of surplus food and products for animal feed
Surplus are kept in warehouse for further contract if meet specification, not any product for animal feed
4.14 Pest Control
Pest control was done by both the company’s staff and pest control services provider, Pest control
subcontractor was A Chau. The scope of services covering rodent and flies control. Trapping used toxic
trap external & internal by glue trap. Spray insect routine monthly/time for insect, fly & rodents for and
external cages are used. Inspection once per week for rodent bait checking was done with records
maintained. Spray chemical is performed weekly to eliminate and killed flies and insect. This was done by
pest control service provider and used of government approved chemicals. Pest control staffs were trained
to ensure that they had adequate knowledge to control pest and possible pest in plant.
Minor non-conformity, clause 4.14.4: There is no pesticide treatment report weekly to follow agreement
with contractor.
4.15 Storage facilities
[email protected]
The condition of all storages was maintained in good physical and clean condition. Separated storage was
observed for raw materials, ingredients, packing material and finished product, finish product warehouse
capacity is enough to store product. They were maintained in good physical and clean condition. Clear
identification and traceability systems were implemented at all storages. All materials and products were
kept in ambient temperature
There was no outside storage. FIFO principle is applied.
N/A: no outdoor storage & atmosphere control.
4.16 Dispatch and transport
Transportation was done by third party approved services provider – Quoc Thinh Supplier. Raw material
and packaging & finished product transport arranged by suppliers, hygiene condition is checked upon
arrival. Trucks and container were being employed. Checking of container’s condition was done against
the established checklist for all incoming container. Checking records were maintained. All transportation
was done at ambient temperature. There was only transportation service provider being employed at this
stage
Container hygiene inspection checking including in dispatch report.
4.2.3 No external storage tanks, silos or intake pipes with external opening.
4.3.5 No high-risk areas defined
4.3.6 No high-care areas defined
4.3.7 No ambient high-care areas defined
4.3.9 No temporary structures constructed
4.4.4 No high-risk / high-care areas defined
4.5.3 No legislation that specifically permits the use of water which may not be potable for
initial cleaning.
4.8.5 No high-care areas defined
[email protected]
4.9.4.1 No products packed into glass or other brittle containers
4.10.4 No magnet used
4.10.6.1 No products packed into glass jars, cans or other rigid containers
4.10.6.2 No products packed into glass jars, cans or other rigid containers
4.11.7.1 No CIP
4.11.7.2 No CIP
4.11.7.3 No CIP
4.13.3 No products intended for animal feed
4.15.3 No temperature control is required
4.15.4 No controlled atmosphere is required
4.15.5 No outside storage
4.16.3 No temperature control is required
5. Product control
5.1 Product design/development
There is no product design & development actually, all processing followed legal requirement & customer
requirement, cashew nut is same process, if any special process applied, the HACCP is then reviewed. &
updated accordingly.
Shelf life study procedure was established for nut product (cashew kernel nut) 12 months testing was
done for physical, microbiological, chemicals, and organoleptic testing. Shelf life is monitored on-going
[email protected]
and checked every 6 months .Shelf life study record from 12-2015 to Dec-2016 verified, study covers
grade, colour, appearance, smell, taste, moisture and micro.
5.2 Product labelling
Packing label including: carton No, Cashew kernel Grade, Origin, Net weight & Gross weight, other
marking as request by buyer, dated of packing (DD.MM.YY). Check labelling information is planned and
done every 2 hours by QC.
5.3 Management of allergens
The factory has Allergens procedure PA.18. Allergens on site: cashew kernel nut itself, control through
product labelling. Risk assessment about cross contamination allergens (PA.18/F04) is performed and
documented. Company has a policy for all staff, visitor, subcontractor, catering service as allergen
preventive, no food brought onto site as policy
All relevant staff was trained for allergen policy. Training allergens, done 16-Sept-2016.
5.4 Product authenticity, claims and chain of custody
N/A.
5.5 Product packaging
Packaging supplier is Liksin that has been certified BRC IOP and approved by supplier evaluation. The
primary packaging is plastic bag specification 600mm*775mm, thick 175 Mic & secondary is carton board,
migration tests have been done for plastic bag by Intertek Lab, testing report, dated on 8-Feb-2017 is in
compliance with EU10/2011, EC 1895/2005 EC & QCVN 12-1/2011 (migration test of heavy metal in
Ethanol, Bisphenol A).
5.6 Product inspection and laboratory testing
5.6.1 Product inspection and testing
Inspection is done internally follow product specification during processing (moisture, color, size, insect,
peel off…), quality control plan (HACCP/F11) dated: 01/06/2016. No lab test in house.
All tests are done by external laboratory –Café control lab, external testing plan document (HACCP/F11)
dated: 01/06/2016, lab is accredited ISO 17025.
Check testing report lot W320, MFG PA 005 dated: 23-Jan-2016 including organoleptic, micro: TPC <,
Y&M, Coliform < 10 cfu/g, Salmonella, Staphylococcus aureus negative, Enterobacteria negative, Aflatoxin
not detected, tested by CAFECONTROL LAB.
Swab test of contact surface, water used at heat treatment is tested yearly following regulation.
[email protected]
5.6.2 Laboratory testing
N/A
5.7 Product release
Product is released after collect all production record and pre-shipment report passed, tested of finished
product passed by CAFÉ CONTROL depended on customer request & meets all customer requirements.
Positive release policy only as quality control plan, released by QA Manager.
5.1.3 Trials are not necessary for the product(s) produced
5.2.3 No claims made to satisfy a consumer group (no nutritional claims)
5.3.6 No allergen cross contamination risks
5.4 No any claim
5.6.2.2 No internal lab
5.6.2.4 No internal lab
6. Process control
6.1 Control of operations
Process monitoring control includes some key parameters: steaming ( time in out, temp 100degC), drying
(80degC – 85degC), cooling (max 12 hours), Fumigation (every batch), sieving (every batch), packing
weight, Color sorting, metal detection sensitivities check, equipment setting, label check (every batch),
packing and date coding check (every batch). Checked Fumigation report (GMP/F08), check once per day
=> Oxygen 1%, temperature = 38-45 compliance with specification in GMP procedure. GMP packing
report (GMP/F09): sealing temperature: 8 seconds, Nitrogen pump: 4s, vacuum time; 8s GMP 16 specify 4
s for N2.
6.2 Labelling and pack control
The labelling information is designed by customer, incoming material is checked ( coding, pest,
appearance, condition) by assigned people before accepting, Check labelling every 2 hours including in
packing report (GMP/F09).
During the packing, all carton are well arranged in good order, clear the old cartons, checked onsite found
it is under good control
6.3 Quantity, weight, volume and number control
[email protected]
Each of plastic bag 50 lbs= 22.68 kg Net are weighed 100% after packing by calibrated scale. QC checks
weight 3 cartons per 2 hours and recorded in packing report.
6.4 Calibration and control of measuring and monitoring devices
List of measurement equipment (PA.19/F08) is established and in place during the audit. Checked
Moisture meter, calibrated externally done on 18-May-2016 valid 18-May-2017, Scale to packing,
calibrated on 15-Feb-2017, valid until 28-Feb-2018.
Minor non-conformity, clause 6.4.1: Oxygen content measurement equipment and thermal meter for
monitoring fumigation process but these not included in list of measurement equipment as well as no
evidence to calibrate.
6.2.4 No on-line vision equipment used to check product labels and printing
7. Personnel
7.1 Training: raw material handling, preparation, processing, packing and storage areas
All new employees training GMP, SSOP, procedures before working.

Refreshment training annually, on the job training & instruction. Training plan request is available dated
6.1.2017 including with HACCP part II, BRC version 7, Policy, objectives, CCP, foreign body control,
Housekeeping, SSOP, cleaning, security, GMP, Food defence, maintenance, quality control, pest control,
accident control .BRC version 7 training dated 20.5.2016
Training plan year 2017 cover 12 courses that are necessary to maintain the system.
7.2 Personal hygiene: raw material handling, preparation, processing, packing and storage areas
The requirement of personnel hygiene is described in SSOP procedure, effective date: 01-June-2016.
Protective clothing, footwear, hair net and mask were provided for all employees including visitors.
Changing facilities for staff, visitors, subcontractors were site in the factory. They were kept in clean, dry
and good condition. There was a procedure to verify cleanliness of clothing before enter production area
daily, swab test done.
Clear instruction for changing and hand washing were tagged with sign board to facilitate operation.
Hand washing facilities, e.g. soap, sanitizer, alcohol were arranged before entering the production area at
each access point at each area (production to packing). Toilets were segregated from production area and
[email protected]
storage area. Toilet shoes, hand washing facilities and soap were sufficiently provided. Rule for changing
protective clothing before leave the production line for toilet and canteen was in place.
Smoking area and waste basin were provided outside production area. Daily check on the effectiveness of
personnel hygiene rules.
7.3 Medical screening

Questionnaire was used for visitor and applied before entering to production/storage area. Approval by
company’s director is required for all visitors. Annual medical check-up was done with records maintained.
Employees were required to inform company for any infectious disease. Medical screening was starting for
our new comers. Approval document from doctor were observed.
Medical screen dated 30-June-2016, contracted with Phuoc Long Medical Center , check for all staff
include canteen staff.
7.4 Protective clothing: employees or visitors to production areas
Protective clothing is provided for employees. Company issued clothing 3 sets, white coat, hats, mask,
provided to all production staff. Disposable visitor’s masks and hat provided.
In the uniforms, there are numbers to management who and where can be used.
Laundry was done inside, swab test yearly.
N/A: no use contractor laundry
Nil
Module 8 - Traded Goods
Scope
8.1 Approval and performance monitoring of manufacturers/packers of traded food products
8.2 Specifications
[email protected]
8.3 Product inspection and laboratory testing
8.4 Product legality
8.5 Traceability
Module 9: Management of Food Materials for Animal Feed
Scope
9.1 Management Commitment
9.2 HACCP
9.3 Outsourced Production
9.4 Specifications
9.5 Traceability
9.6 Chemical and Physical Product Contamination Control
9.7 Labelling
9.8 Training
[email protected]

2.audit Report BRC

Uploaded by

Copyright:

Available Formats

2.audit Report BRC

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

2.audit Report BRC

Uploaded by

Copyright:

Available Formats

Audit Report

Global Standard for Food Safety Issue 7: July 2015

Site name PHUC AN PROCESSING AND TRADING COMPANY LIMITED

Manufacturing (steaming - cutting - drying - humidification – peeling – grading,

Audit Finish Date 2017-03-03

Re-audit due date 2018-03-03

Voluntary modules included

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Country Viet Nam Site Telephone +(084) '08 3932 5992

Commercial Mr. Le Nhat Khoa Email [email protected]

Technical Mr. Vu Manh Tung Email [email protected]

Other certificates held ISO 22000

Regions exported to North America

Major changes since last This is initial audit

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

High care No High risk No Ambient high care No

Justification for area Raw Cashew Kernel product

Allergens handled on site Nuts

Product claims made e.g. IP, No claim

Product recalls in last 12 Months No

Products in production at the time Raw Cashew

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Reasons for deviation from typical Nil

Next audit type selected Announced

Audit Duration per day

1 (start date) 2017-03-02 08:00 17:00

2 2017-03-03 08:00 17:00

Auditor (s) number(s) Names and roles of others

Auditor Number 136303 Hau Vo Trung - LA

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Nguyen Van Hung - Sale x x x

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Conduct training for staff in

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Sieve is used to control foreign Conduct determination and

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

1. Senior management commitment

1.1 Senior management commitment and continual improvement

- Loss less than < 1%

- There is no reject due to micro-biology

- Delivery on time 100%

Objectives 2017 is established and maintained as 2016

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

1.2 Organisational structure, responsibilities and management authority

Details of non-applicable clauses with justification

Clause reference Justification

1.1.8 This is initial audit

2 The Food Safety Plan – HACCP

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK

Details of non-applicable clauses with justification

Clause reference Justification

3. Food safety and quality management system

Bureau Veritas Certification Holding UK Branch – 66 Prescot Street – London E1 8HG - UK