Part 4 - Annex 4 Audit Reporting Template

Version: 4.
0
January 2017
Annex IVA Audit report template
The content of this report including a summary of the nonconformities shall be

uploaded in the English language. The checklists and the completed NC forms can
be uploaded in the local language.
Organization profile
Description of the certified organization.
Registered legal name
Trading name(s)
Registration Chamber of Commerce and/or governmental
registration number
Location Street address, city, country
Contact person Name, function, email, phone
General description of
audited organisation
Head Office (where appropriate)

Description of the role the head office.
Does the company belong to al larger group with a central head office?
Does the head office control certain functions pertinent to certification?
Is the Head Office shown on the certificate.
Trading name(s)
Registration Chamber of Commerce and/or governmental
registration number
Location Street address, city, country
Contact person Name, function, email, phone
Number of sites Multiple site is possible for food chain categories A,
E, FI and G. There are exceptions for food chain
categories C, D, I and K namely:
• Head office controlling certain function pertinent
to certification (20% audit time reduction may be
applicable)
• Organizations with off-site activities (a maximum
of five off-site locations).
Executive summary
Summary of audit findings Summarize the ability of the food safety
management system to meets its objectives, how it
continually improves it effectiveness, strengths and
weaknesses of the company’s system, etc.
Scope of certification
Food category Food chain categories supporting the scope
statement (multiple food chain categories may be
applicable, see ISO/TS22003, Table A.1)
Scope statement Specify the products or product categories,
processes and production sites that are covered by
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January 2017
the food safety management system and mentioned

on the certificate.
Exclusions (when Describe the exclusions from the scope (exclusions
appropriate) may not have an (negative) influence on the certified
end products).
Summary of audit findings

Critical nonconformities Number and short description of critical
nonconformities (raised or closed)
Major nonconformities Number and short description of major non-
conformities (raised or closed)
Minor nonconformities Number and short description of minor
nonconformities (raised or closed)
Areas of concern (stage 1 Number and short description a stage 1 finding that
only) may lead to a nonconformity during the stage 2
audit.
General findings
Legal compliance Summarize the status, any governmental inspection
findings, etc.
Change management Summarize findings related to changes (e.g.
compared to previous audit, to FSMS, etc.) and the
effect on the operational FSMS.
Complaints management Summarize the food safety related complaints
(including customer feedback) and the effect on the
operational FSMS.
Recalls and withdrawals Summarize the recalls/withdrawals, actual
notification to the CB and the effect on the
operational FSMS.
Food Safety Management System (ISO22000) findings

Food safety management Summary of findings related to ISO22K sections 4.1
system and 4.2 while highlighting all of the sections shortly
and in particular the ones where NC were noted
including reference to the checklists with more
details.
Management commitment Summary of findings related to ISO22K sections 5.1
till 5.8 and highlight all of the sections shortly and in
particular the ones where NC were noted including
reference to the checklists with more details.
Resource management Summary of findings related to ISO22K sections 6.1
till 6.4 and highlight all of the sections shortly and in
Planning and realization of Summary of findings related to ISO22K sections 7.1
safe products till 7.10 and highlight all of the sections shortly and in
Validation, verification and Summary of findings related to ISO22K sections 8.1
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improvement of the FSMS till 8.5 and highlight all of the sections shortly and in
Prerequisite Program findings

Summary of PRP Summary of findings related to PRPs.
implementation Highlight all of the sections of the relevant PRP(s)
shortly and in particular the ones where NC were
noted including reference to the checklists with more
details
Additional Requirements findings

Summary of all additional Summarize all the sections of the Additional
requirements Requirements shortly and in particular the ones
where NC were noted including reference to the
checklists with more details
Audit recommendation
Stage 1 audit to be repeated Specify audit recommendation to the committee that
Proceed to stage 2 audit takes the certification decision.
Initial certification
Continue certification
Re-certification
Audit details
Certificate number
CB Name and office location
Audit team
Name 1 (role) Lead auditor / auditor / technical expert / translator /
etc.
etc.
etc.
Audit objective Confirm any special attention areas
Audit type Certification (stage 1 or stage 2) / surveillance /
recertification / follow-up
Audit dates and times Start and finish date including times.
Audit duration Also state head office time (without production) –
(auditor days) where applicable
Audit time reduction See exceptions
Additional audit time for off- See exceptions
site activities
On-site audit time calculation
D H MS FTE FSSC addition
Other standards Mention the other standards that are audited

together with FSSC 22000. Also show audit type and
man-days allocated to these standards.
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January 2017
Number of HACCP studies Describe details and cross check with audit time
calculation.
Number of employees (FTEs) Cross check with audit time calculation.
Number of shifts Cross check with audit time calculation.
Employees per shift (FTE) Cross check with audit time calculation.
Off-site activities
Describe any third-party off-site services hired by auditee such as storage,
transportation, production of semi-finished products, etc.
Trading name(s)
Scope
Location
Annexes (in local language)

Annex 1: Audit plan
Annex 2: Attendance sheet
Annex 3: ISO 22000 checklist
Annex 4: PRP standard checklist(s) applicable to scope (not audited during stage 1)
Annex 5: Additional FSSC requirements checklist

Part 4 - Annex 4 Audit Reporting Template

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Version: 4.

Annex IVA Audit report template

The content of this report including a summary of the nonconformities shall be

Head Office (where appropriate)

the food safety management system and mentioned

Summary of audit findings

Food Safety Management System (ISO22000) findings

Prerequisite Program findings

Additional Requirements findings

Other standards Mention the other standards that are audited

Annexes (in local language)

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