BRC CP3 Checklist

download BRC CP3 Checklist

of 123

Transcript of BRC CP3 Checklist

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Auditors should select yes or no for each question. Some questions also allow for a Not Applicable (N/A) answer. No questions shall be left blank. Additionally auditors shall write a summary of findings for all fundamental clauses

For each clause, the auditor shall summarise the detail of all non conformities found and indicate whether they are Critical (C) , Major (M) or Minor (Min) There is a space at the end of each section to allow auditor to include comments if they wish to do so. Auditors shall not write observations unrelated to the Standard or any recommendations in this space but may record aspects audited but not covered by the questions relating to the section

Section 1

Senior Management Commitment and Continual Improvement

Fundamental

The company's senior management shall demonstrate that they are fully committed to the implementation of the

Clause

requirements of the Global Standard for Consumer Products (referred to as The Standard). This shall include

provision of adequate resources, effective communication, systems of review, and actions taken to identify and

effect opportunities for improvement.

Summary of

auditor

findings

Clause

Prod

Group

1.1

All

The companys senior management shall ensureNon conformity details

that product safety and quality objectives are

established, documented, monitored, and

reviewed at least annually.

1.1 a

All

Are product safety and quality objectives

Yes

No

established, documented, and monitored?

1.1 b

All

Are product safety and quality objectives

Yes

No

reviewed by senior management at least

annually?

Cert Body name and address here

CP3 Issue:1

Page 5 ofReport No:Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

1.2

All

The senior management review process shall beNon conformity details

documented and shall include an evaluation of:

Internal, customer, and external (third party)

audits; previous management review documents,

corrective action plans, and timeframes;

customer performance indicators, complaints,

and feedback; incidents, non-conforming

materials and corrective actions; an assessment

of process performance; a review of the product

risk assessment system; a review of the results

of monitoring and testing; developments in legal

requirements or scientific information associated

with the products in scope; resource

requirements.

1.2 a

All

Is the senior management review process

Yes

No

documented, and does it include an

evaluation of internal, customer, and external

(third party) audits?

1.2 b

All

Are previous management review documents,Yes

No

corrective action plans, and timeframes

available and documented?

1.2 c

All

Are customer performance indicators,

Yes

No

complaints, and feedback reviewed and

documented?

1.2 d

All

Are incidents, non-conforming materials, andYes

No

corrective actions reviewed and

documented?

1.2 e

All

Is an assessment of process performance

Yes

No

conducted, reviewed, and documented?

1.2 f

All

Is there review and documentation of the

Yes

No

product risk assessment system?

1.2 g

All

Is there review and documentation of the

Yes

No

results of monitoring and testing?

1.2 h

All

Is there review and documentation of

Yes

No

developments in legal requirements or

Cert Body name and address here

CP3 Issue:1

Page 6 ofReport No:Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

scientific information associated with the

products in scope?

1.2 i

All

Is there review and documentation of

Yes

No

resource requirements?

1.3

All

The decisions and actions agreed shall be

Non conformity details

effectively communicated to appropriate staff and

the actions implemented within the agreed

timescales. Records should be updated to show

when actions have been completed.

1.3 a

All

Are agreed decisions and actions effectivelyYes

No

communicated to appropriate staff?

1.3 b

All

Are actions implemented within the agreed

Yes

No

timescales?

1.3 c

All

Are records updated to show when actions

Yes

No

have been completed?

1.4

All

The company's senior management shall provideNon conformity details

the human and financial resources required to

implement and improve the processes of the

quality management system, the product risk

assessment plan, and to address legal, product

safety, and product quality matters.

1.4 a

All

Has the company's senior management

Yes

No

provided adequate human and financial

resources to implement and improve the

processes of the quality management

system?

1.4 b

All

Has the company's senior management

Yes

No

provided adequate human and financial

resources to implement and improve the

product risk assessment plan?

1.4 c

All

Has the company's senior management

Yes

No

provided adequate human and financial

resources to address legal, product safety,

and product quality matters?

Cert Body name and address here

CP3 Issue:1

Page 7 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

1.5All

There shall be clear communication and regularNon conformity details

reporting of the functioning of, and compliance

with, the Standard to senior management by the

staff responsible. This shall include suggestions

for improvement.

1.5 aAll

Is there clear communication and regularYesNo

reporting of the functioning of, and

compliance with, the Standard to senior

management by the responsible staff,

including suggestions for improvement?

1.6All

The company shall have a current, original copyNon conformity details

of the Standard available on site.

1.6 aAll

Does the company have a current, originalYesNo

copy of the Standard available on site?

1.71 & 2

Where required by legislation, the site shall beNon conformity details

registered with or approved by the appropriate

government agency and evidence of this shall be

available.

1.7 a1 & 2

Where required by legislation, is the siteYesNoN/A

registered with or approved by the

appropriate government agency and is

evidence of this available?

Auditor remarks

Cert Body name and address here

CP3 Issue:1Page 8 ofReport No:

Auditor:

portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Section 2

Risk Management

Fundamental

he company shall have a management process in place to assure product safety, legality and quality, based on

Clause

risk assessment principles. Sites must be aware of and refer to up-to-date legislation, product standards, codes of

practice, and developments in science or technology that may impact risk concerning their products and

packaging where these exist in the regions of intended sale.

Auditor

findings

ClauseProd

Audit Questions

Group

2.1

Product Scope and group determination

2.1.1All

The company shall identify the range of productsNon conformity details

it wishes to include in the scope of certification

and the countries/states or regions for which the

products are to be made available for sale.

2.1.1 aAll

Has the company identified the range of

YesNo

products it wishes to include in the scope of

certification and the countries/states or

regions for which the products are to be made

available for sale?

2.1.1 bAll

Is there evidence that the company is

YesNo

manufacturing products that are contained

within the scope of the audit?

2.1.2All

The company shall establish and document theNon conformity details

product group(s) assigned to the products in

scope, derived from application of the questions

indicated in the decision tree (see The Standard

Section II, 3.4).

Cert Body name and address here

CP3 Issue:1

Page 9 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

2.1.2 a

All

Has the company established and

YesNo

documented the product groups assigned to

the products in scope, derived from

application of the questions indicated in the

decision tree?

2.2

Legislative and safety requirements

2.2.1

All

The company shall have and use a system, whichNon conformity details

may comprise internal and/or external resources,

to demonstrate knowledge of all legislation,

product standards, product safety issues,

scientific and technical developments, and

industry/customer codes of practice in the regions

of intended sale relevant to the products in scope.

2.2.1 a

All

Does the company have and use a system,

YesNo

which may comprise both internal and

external resources, to demonstrate knowledge

of all legislation, product standards, product

safety issues, scientific and technical

developments, and industry/customer codes

of practice in the regions of intended sale

relevant to the products in scope?

2.2.2

All

If the company relies on information concerningNon conformity details

product safety, quality, and legality provided by

their customer or related party, it shall validate the

information received and document the validation

process.

2.2.2 a

All

Where the company relies on information

YesNoN/A

concerning product safety, quality, and

legality provided by their customer or related

party, does it validate the information received

and document the validation process?

2.2.3

All

A documented process shall exist for

Non conformity details

incorporating changes in legislation, standards,

etc. into the companys procedures in a timely

fashion, which shall be before any official

Cert Body name and address here

CP3 Issue:1

Page 10 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

implementation date of the relevant change.

2.2.3 a

All

Does a documented process exist forYesNo

incorporating changes in legislation,

standards, etc. into the companys procedures

in a timely fashion?

2.2.4

All

Copies of applicable legislation, standards, codesNon conformity details

of practice, and similar documentsshall be

available to relevant staff.

2.2.4 a

All

Are copies of applicable legislation,YesNo

standards, codes of practice, and similar

documents available to relevant staff?

2.3

Risk assessment - prior to production

2.3.1

All

A design specification covering each product shallNon conformity details

be documented, dated, and authorized. This shall

include all relevant information. As a guide, this

may include the following, although this is not an

exhaustive list: composition, size, color; bills of

materials; assembly diagrams; primary packaging;

intended shelf life; warnings or instructions for

use; use, misuse, usage patterns; productions

volumes. Any changes to the product design shall

be documented and dated.

2.3.1 a

All

Is there a documented design specification toYesNo

cover each product?

2.3.1 b

All

Are design specifications and revisions toYesNo

specifications dated?

2.3.1 c

All

Do design specifications include all relevantYesNo

information?

2.3.2

All

The company shall determined and list the legalNon conformity details

statutes and mandatory standards applicable to

each product and to the materials from which it is

made, relevant in the regions of intended sale.

Cert Body name and address here

CP3 Issue:1

Page 11 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

2.3.2 a

All

Has the company determined and documentedYesNo

the legal statutes and mandatory standards

applicable to each product and to the

materials from which it is made, relevant in the

regions of intended sale?

2.3.3

All

The company shall ensure that a product hazardNon conformity details

and risk assessment is available and clearly

identifies: the hazards, the risk level for each

hazard and whether the risk is acceptable; the

person responsible for the assessment; the date

performed and the evidence (for example, sample

drawings, computer graphics) from which the

assessment was derived. This risk assessment

may be provided by internal or external resources.

If the product requires modification, a new risk

assessment shall be completed on the modified

design.

2.3.3 a

All

Is a product hazard and risk assessment

YesNo

available that clearly identifies the hazards,

the risk level for each hazard and whether the

risk is acceptable?

2.3.3 b

All

Is the person responsible for the assessmentYesNo

clearly identified?

2.3.3 c

All

Is the date on which the assessment was

YesNo

performed and the evidence on which it is

based identified?

2.3.3 d

All

If the product requires modification, is a

YesNoN/A

product hazard and risk assessment available

that clearly identifies where products have

been modified, and is a new risk assessment

available?

2.3.4

All

No products deemed to present an unacceptableNon conformity details

risk by the assessment described in clause 2.3.3

shall be produced.

Cert Body name and address here

CP3 Issue:1

Page 12 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

2.3.4 aAllThe audit does not result in evidence that

YesNo

product has been produced that had been

identified as being of an unacceptable risk

during the risk assessment process?

2.4

Verification of the Product Risk Assessment

2.4.1AllThe company shall ensure that risk assessmentsNon conformity details

have been carried out by competent staff (internal

or external) and shall document the way in which

this is assessed.

2.4.1 aAllDoes the company ensure that risk

YesNo

assessment is carried out by competent staff

(internal or external), and do they document

the way in which this is assessed?

2.4.2AllThe risk assessment shall be regularly, and at

Non conformity details

least annually, reviewed (while the products are

still in production) to ensure that the assessment

remains up to date, takes account of complaints

or incidents with the product or similar products,

and reflects any changes in legislation.

2.4.2 aAllWhile the products are in production, is thereYesNo

a regular review of the risk assessment, at

least annually?

2.4.2 bAllDoes the review ensure that the assessmentYesNo

remains up to date, takes account of

complaints or incidents with the product or

similar products, and reflects any changes in

legislation?

2.4.31 & 2The risk assessment shall be carried out beforeNon conformity details

production begins, and completion shall be

verified by a designated responsible person. If

customer sign-off is part of the contract of sale,

this shall be obtained.

2.4.3 a1 & 2Are risk assessments carried out before

YesNoN/A

production begins, and is completion verified

by a designated responsible person?

Cert Body name and address here

CP3 Issue:1

Page 13 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

2.4.3 b1 & 2If customer sign off is part of the contract ofYesNoN/A

sale, is this obtained?

2.4.41 & 2Where there is legal requirement to do so or whenNon conformity details

it is necessary to confirm its safety or legality, a

representative product should be submitted for

testing to a suitably qualified and accredited

laboratory (internal or external). The results of the

test should form part of the risk assessment.

2.4.4 a1 & 2Where product testing is required, either

YesNoN/A

legally or on safety or quality grounds, are

products submitted to a suitably qualified and

accredited laboratory (internal or external)?

2.4.4 b1 & 2Do the results of the test form part of the riskYesNoN/A

assessment?

2.4.51 & 2Aspects of the product design/materials that areNon conformity details

critical to safety and which must be maintained in

production shall be established with the risk

assessment provider and the control limits set on

these features or materials.

2.4.5 a1 & 2Are all aspects of the product design/materialsYesNoN/A

maintained in production that are critical to

safety established with the risk assessment

provider?

2.4.5 b1 & 2Are control limits set on these features or

YesNoN/A

materials?

2.4.61 & 2Where legally required, the identity, qualifications,Non conformity details

and/or license of the person producing the safety

review or risk assessment shall be documented

and verified.

2.4.6 a1 & 2Where legally required, is the identity,

YesNoN/A

qualifications, and/or license of the person

producing the safety review or risk

assessment documented and verified?

Cert Body name and address here

CP3 Issue:1

Page 14 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Auditor remarks

Cert Body name and address here

CP3 Issue:1Page 15 ofReport No:

Auditor:portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Section 3Management System

ClauseProd

Audit Questions

Group

3.1

Policy statement

AllThe policy shall state the company's intention toNon conformity details

produce safe and legal products to the specified

3.1.1

quality (and to meet its responsibility to its

customers). This shall include the commitment for

review and continual improvement.

AllHas the company's senior managementYes

No

3.1.1 a

developed, documented, and implemented a

policy statement?

3.1.1 bAllIs the policy statement authorized, regularlyYes

No

reviewed, signed, and dated?

AllDoes the policy state the company's intentionYes

No

3.1.1 c

to produce safe and legal products to the

specified quality and to meet its responsibility

to its customers?

3.1.1 dAllDoes the policy include the commitment forYes

No

review and continual improvement?

AllThe company's senior management shall ensureNon conformity details

3.1.2

the policy statement is communicated to and

understood by all staff involved with activities

relating to product safety, legality, and quality.

AllIs the policy statement communicated to andYes

No

3.1.2 a

understood by all staff involved with activities

relating to product safety, legality, and quality?

General Documentation requirement

Cert Body name and address here

CP3 Issue:1Page 16 ofReport No:

Auditor:portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.2.1

Documentation Control

Statement of

The company's senior management shall

Non conformity details

Intent

ensure that all documents records, and data

critical to the management of product safety,

legality and quality are in place and effectively

controlled.

3.2.1.1

All

All documents in use shall be the current versions,

Non conformity details

authorized and dated, and a procedure shall be in

place to ensure that obsolete documentation is

removed from use.

3.2.1.1

All

Is there a procedure in place that defines how

Yes

No

a

documentation is controlled?

3.2.1.1

All

Is there a "Master List" of controlled

Yes

No

b

documents or another means of identifying

which documents are controlled?

3.2.1.1

All

Are documents in use the current version and

Yes

No

c

are they authorized and dated?

3.2.1.1

All

Is there a procedure in place to ensure obsolete

Yes

No

d

documentation is removed from use?

3.2.1.2

All

Documents shall be clearly legible, unambiguous,

Non conformity details

in appropriate languages, and sufficiently detailed

to enable their correct application by staff. They

shall be readily accessible to relevant staff at all

times.

3.2.1.2

All

Are documents clearly legible, unambiguous, in

Yes

No

a

appropriate languages, and sufficiently detailed

to enable their correct application by staff?

3.2.1.2

All

Is the documentation readily accessible by

Yes

No

b

relevant staff at all times?

3.2.1.3

All

Changes or amendments to documents shall be

Non conformity details

authorized and dated and the reason for the

change recorded.

Cert Body name and address here

CP3 Issue:1

Page 17 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.2.1.3

All

Are all changes or amendments to documents

Yes

No

a

authorized and dated and is the reason for the

change recorded?

3.2.1.3

All

Are the most recent customer provided

Yes

No

N/A

b

specifications available to the appropriate

personnel, and being utilized by

manufacturing?

3.2.1.3

All

Are drawings and manufacturing documents

Yes

No

c

updated when product changes are made?

3.2.2

Record Completion and Maintenance

3.2.2.1

All

The records shall be legible, genuine, appropriately

Non conformity details

authorized, and retained in good condition for a

period which takes account of the product lifetime

and is consistent with the legal requirements in the

country of manufacture or sale. Customer-specific

requirements relevant to record retention shall be

respected.

3.2.2.1

All

Does the company maintain records to

Yes

No

a

demonstrate the effective control and

achievement of product safety, legality, and

quality?

3.2.2.1

All

Are receiving inspection records, inline

Yes

No

b

inspection records, final inspection records

and nonconforming material records which

show date of inspection, item number, item

description, lot size, AQL and inspection

results maintained?

3.2.2.1

All

Are the quality records available sufficient to

Yes

No

c

verify conformity to specifications, operating

procedures, and evidence for problem solving?

3.2.2.1

All

Are these records legible, genuine,

Yes

No

d

appropriately authorized, and retained in good

condition for a period of time which takes into

account product lifetime, customer

requirements, and the legal requirements in the

Cert Body name and address here

CP3 Issue:1

Page 18 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

country of manufacture or sale?

3.2.2.2

AllThe company's senior management shall ensureNon conformity details

that procedures are operated for the collation,

review, maintenance, storage, and retrieval of all

records relating to product safety, legality, and

quality.

3.2.2.2

AllDoes the company's senior management

YesNo

a

ensure that procedures are operated for the

collation, review, maintenance, storage, and

retrieval of all records relating to product

safety, legality, and quality?

3.2.2.3

AllAny alterations to records shall be visible and

Non conformity details

authorized, and the justification for alterations shall

be recorded.

3.2.2.3

AllAre alterations to records visible and

YesNo

a

authorized, and is a justification for alterations

recorded?

3.2.3

Specification & Technical information dossiers

Statement ofThe company shall ensure that specifications

Non conformity details

Intent

exist for raw materials, components, and

bought-in components including packaging,

intermediate/semi-processed, and finished

products and any product or service that could

affect the integrity of the finished product. A

technical folder shall be established for each

product.

3.2.3.1

AllSpecifications shall be adequate and accurate, and

Non conformity details

shall ensure compliance with relevant safety,

legislative, and customer requirements. They shall

be accessible to relevant staff.

3.2.3.1

AllDo adequate and accurate specifications exist

YesNo

a

to ensure compliance with relevant safety,

Cert Body name and address here

CP3 Issue:1

Page 19 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

legislative, and customer requirements?

3.2.3.1AllAre the specifications accessible to relevant

Yes

No

b

staff?

3.2.3.2AllCompanies shall maintain a technical folder

Non conformity details

containing all relevant data (or details of where

such data is located) to ensure that products meet

the requirements of the Standard. For example:

detailed product specification (see clause 2.3.1);

bill of materials; safety data sheets on all chemicals

used where relevant to the safety, legality, or

quality of the product; risk assessment(s);

description of the conformity assessment

procedure; test reports, inspection reports; list of

the legislation, product standards with which the

products are manufactured to comply; production

control procedures and charts; approvals by any

government body (if applicable); declarations of

conformity to legal requirements (if applicable).

3.2.3.2AllDoes the company maintain a technical folder

Yes

No

a

for each product containing relevant data to

ensure the products meet the requirements of

the standards?

3.2.3.31 & 2The company shall seek formal agreement of

Non conformity details

specifications with relevant parties. Where

specifications are not formally agreed, then the

company shall be able to demonstrate that they

have taken steps to seek formal agreement.

3.2.3.31 & 2Does the company seek formal agreement of

Yes

No

N/A

a

specifications with relevant parties?

3.2.3.31 & 2Where specifications are not formally agreed,

Yes

No

N/A

b

can the company demonstrate that they have

taken steps to seek formal agreement?

Cert Body name and address here

CP3 Issue:1

Page 20 ofReport No:Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.2.3.41 & 2There shall be a documented procedure for the

Non conformity details

amendment and approval of specifications for all

parts of the process including regular reviews to

ensure adequacy and status.

3.2.3.41 & 2Is there a documented procedure for the

Yes

No

N/A

a

amendment and approval of specifications for

all parts and materials of the process including

regular reviews to ensure adequacy and

status?

3.3

Organizational structure, responsibility, and management authority

Statement ofThe company shall have a clearly defined and

Non conformity details

Intentdocumented organizational structure that

ensures the awareness of job function,

responsibilities, and reporting relationships of

key staff.

3.3.1AllThe company shall have an organization chart

Non conformity details

demonstrating the structure of the company.

3.3.1 aAllDoes the company have an organization chart

Yes

No

demonstrating the structure of the company?

3.3.2AllDocumented, clearly defined responsibilities shall

Non conformity details

exist and be communicated to key staff with

responsibility for product safety, legality, product

quality, and management systems.

3.3.2 aAllDo documented, clearly defined responsibilities

Yes

No

exist for key staff with responsibility for

product safety, legality, product quality, and

management systems?

3.3.2 bAllHave these responsibilities been clearly

Yes

No

communicated to the appropriate staff?

Cert Body name and address here

CP3 Issue:1

Page 21 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.3.3

All

A named individual with relevant experience and

Non conformity details

qualifications shall be responsible for the

management of the legal, quality, and safety

requirements laid out in this Standard. This

responsibility should not present a conflict of

interest with any other responsibilities.

3.3.3 a

All

Is there a named individual with relevant

Yes

No

experience and qualifications responsible for

the management of the legal, quality, and safety

requirements laid out in this Standard?

3.3.3 b

All

Is it verified that there is no a conflict of interest

Yes

No

in this person's responsibilities?

3.3.4

All

There shall be appropriate documented

Non conformity details

arrangements in place to cover for the absence of

key staff.

3.3.4 a

All

Are there appropriate documented

Yes

No

arrangements in place to cover for the absence

of key staff?

3.3.5

All

The company's senior management shall ensure

Non conformity details

that a description of general duties or work

instructions is in place and communicated to all

staff involved with activities relating to product

safety, legality, and quality.

3.3.5 a

All

Has the company's senior management

Yes

No

ensured a description of general duties or work

instructions and communicated to all staff

involved with activities relating to product

safety, legality, and quality?

3.4Internal Audit

Cert Body name and address here

CP3 Issue:1

Page 22 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Statement of

The company shall audit the management

Non conformity details

Intent

system to ensure that it is complied with and

appropriate.

3.4.1

All

Internal audits shall cover all aspects associated

Non conformity details

with the Standard. They shall be scheduled and

their scope and frequency shall be established

commensurate with the risks associated with the

activity. Audits of aspects that directly affect

safety, legality, or quality shall be conducted at

least annually. Exceptions resulting in audit

intervals of more than one year shall be justified by

documented risk assessment.

3.4.1 a

All

Does the company have internal audits that

Yes

No

cover all aspects associated with the Standard?

3.4.1 b

All

Are the internal audits scheduled and is their

Yes

No

scope and frequency commensurate with the

risks associated with the activity?

3.4.1 c

All

Are audits of aspects that directly affect safety,

Yes

No

legality, or quality conducted at least annually,

and if greater than annually is it justified by

documented risk assessment?

3.4.2

All

Internal audits shall be carried out by competent

Non conformity details

auditors, who shall be independent of the area of

operation being assessed. Auditors shall not audit

their own work.

3.4.2 a

All

Are internal audits carried out by competent

Yes

No

auditors who are independent of the area of

operation being assessed?

3.4.3

All

Corrective actions shall be formally agreed by the

Non conformity details

person responsible for the action and implemented

within appropriate and agreed timescales.

Cert Body name and address here

CP3 Issue:1

Page 23 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.4.3 a

All

Are corrective actions formally assigned to

Yes

No

persons responsible for the action and

implementation within appropriate and agreed

timescales?

3.4.4

All

A record of all programmed internal audits and

Non conformity details

associated corrective actions shall be maintained

with both conformity and nonconformity with the

requirements documented. All corrective actions

shall be verified to ensure satisfactory completion.

3.4.4 a

All

Is a record of all programmed internal audits

Yes

No

and associated corrective actions maintained?

3.4.4 b

All

Do these records list both conformity and

Yes

No

nonconformity with requirements documented?

3.4.4 c

All

Are all corrective actions verified to ensure

Yes

No

satisfactory completion?

3.5

Purchasing, Supplier Approval and performance Review

Statement of

The company shall control all purchasing

Non conformity details

Intent

processes which are critical to product safety,

legality, and quality to ensure that procured

products and services conform to defined

requirements. In this context suppliers shall

include subcontractors and home workers.

3.5.1

All

The site shall have a documented supplier-

Non conformity details

approval procedure, including a list of approved

suppliers for products, materials, and services

impacting product safety, legality, or quality.

Procedures shall be established which include

clear criteria for ongoing assessment and the

standards of performance required. Ongoing

assessment may take the form of monitoring

performance through one or more of the following,

although there may be other acceptable methods:

in-house checks; certificates of analysis; certificate

of conformity; supplier audits; traceability checks.

Cert Body name and address here

CP3 Issue:1

Page 24 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Records of this monitoring shall be retained for at

least the lifetime of the product.

3.5.1 a

All

Does the company have a documented supplier

Yes

No

approval procedure, including a list of

approved suppliers for products, materials and

services impacting product safety, legality, or

quality?

3.5.1 b

All

Does the supplier approval procedure include

Yes

No

clear criteria for ongoing assessment and the

standards of performance required?

3.5.1 c

All

Are supplier approval records kept for the

Yes

No

lifetime of the product?

3.5.1 d

All

Does the company maintain a list of critical

Yes

No

materials?

3.5.2

All

The company shall review the performance of new

Non conformity details

suppliers against defined criteria within a specified

"trial" period and thereafter at a specified frequency

to decide the level of ongoing supplier performance

monitoring.

3.5.2 a

All

Does the company review the performance of

Yes

No

new suppliers against defined criteria within a

specified 'trial' period and thereafter at a

specified frequency to decide the level of

ongoing supplier performance monitoring?

Cert Body name and address here

CP3 Issue:1

Page 25 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.5.3

All

The procedure shall identify whether the use of

Non conformity details

unapproved suppliers is acceptable under any

emergency or unusual situations. If this is the

case, the procedure shall define how exceptions

are recorded and how they are handled to maintain

safety, legality, and quality of the products.

3.5.3 a

All

Is there a procedure for the use of suppliers,

Yes

No

not on the approved list, under any emergency

or unusual situations?

3.5.3 b

All

Does the procedure define how exceptions are

Yes

No

recorded and how they are handled to maintain

safety, legality, and quality of the products?

3.6

Customer supplied property

Statement of

The company shall exercise care customer

Non conformity details

Intent

property (including intellectual property) while

it is under the company's control or is being

used by the company.

3.6.1

All

The company shall identify, verify, protect and

Non conformity details

safeguard customer property including software,

intellectual property, tooling, fixtures, test

equipment and products. If any customer property

is lost, damaged or otherwise found to be

unsuitable for use, this shall be reported to the

customer and records maintained.

3.6.1 a

All

Does the company identify, verify, protect and

Yes

No

safeguard customer property including

software, intellectual property, tooling, fixtures,

test equipment and products?

3.6.1 b

All

If any customer property is lost, damaged or

Yes

No

otherwise found to be unsuitable for use, is this

reported to the customer and records

maintained?

3.7

Corrective and Preventive Action

Cert Body name and address here

CP3 Issue:1

Page 26 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

FundamentalThe company's senior management shall

Non conformity details

Clauseensure that procedures exist to record,

investigate, analyze, and correct the cause of

nonconforming products or failure to meet

standards, specifications, and procedures

which are critical to product safety, legality,

and quality.

Auditor findings

3.7.1

AllThe company shall operate an effective system for

Non conformity details

the capture, recording, and timely investigation of

nonconformities or matters reported as possible

nonconformities critical to product safety, legality,

or quality.

3.7.1 a

AllDoes the company operate an effective system

Yes

No

for the capture, recording, and timely

investigation of nonconformities or matters

reported as possible nonconformities critical to

product safety, legality, or quality?

3.7.2

AllCustomer complaints concerning actual or potential

Non conformity details

product nonconformity shall be included in the

system.

3.7.2 a

AllAre customer complaints concerning actual or

Yes

No

potential product nonconformity included in the

system?

3.7.2 b

AllAre inspection records used included in

Yes

No

determining use of corrective action?

3.7.2 c

AllDo adequate procedures exist to record,

Yes

No

investigate, analyze and correct the cause of

nonconforming products?

Cert Body name and address here

CP3 Issue:1

Page 27 of

Report No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.7.3AllAn appropriate staff member shall be identified andNon conformity details

allocated the responsibility and accountability for

each corrective action. This shall be documented.

3.7.3 aAllDoes documentation support that anYes

No

appropriate staff member was identified and

allocated the responsibility and accountability

for each corrective action?

3.7.4AllThe company shall ensure that effective correctiveNon conformity details

actions are taken to prevent recurrence of the

problem and shall monitor and record their

completion within an appropriate timescale.

3.7.4 aAllDoes the company ensure that effectiveYes

No

corrective actions are taken to prevent

recurrence of the problem and does it monitor

and record their completion within an

appropriate timescale?

3.7.4 bAllIs the corrective action system closed loop?Yes

No

3.7.5AllThe company shall review its processes at leastNon conformity details

annually, incorporate industry best practice, and

adopt preventative measures as they become

available.

3.7.5 aAllDoes the company review their processes atYes

No

least annually, incorporate industry best

practice, and adopt preventive measures as

they become available?

3.7.5 bAllAre the results of preventative actionsYes

No

monitored and analyzed by management?

3.8

Traceability

Cert Body name and address here

CP3 Issue:1Page 28 ofReport No:

Auditor:portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

FundamentalThe company shall have a system to identify

Non conformity details

Clauseand trace product lots/batches including raw

materials, components, and packaging

materials and follow this from the source of the

incoming material through all stages of

processing to supply of the product to the

primary customer, and vice versa, in a timely

manner. ( Materials identified as low risk to the

safety, legality, or quality of the final product may

be exempted from lot traceability)

Auditor findings

3.8.1

AllCompanies shall be able to identify the immediate

Non conformity details

source of all raw materials, components, and

packaging materials.

3.8.1 a

AllIs the source of all raw materials, components,

Yes

No

and packaging materials identifiable?

3.8.2

AllThe products that constitute a lot/batch shall be

Non conformity details

defined and documented. This shall include

products made by continuous production methods.

3.8.2 a

AllAre products that constitute a lot/batch defined

Yes

No

and documented, including products made by

continuous production methods?

3.8.3

AllIdentification of lots/batches of raw materials

Non conformity details

including packaging, processing aids,

intermediate/semi-processed products, part-used

materials, finished products and materials pending

investigation, shall be adequate to ensure

traceability.

Cert Body name and address here

CP3 Issue:1

Page 29 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.8.3 a

All

Is the identification of lots/batches of raw

Yes

No

materials including packaging, processing aids,

intermediate/semi-processed products, part-

used materials, finished products and materials

pending investigation, adequate to ensure

traceability as necessary?

3.8.4

All

Final products shall be suitably marked, at least on

Non conformity details

their outer packaging, to allow adequate

identification and traceability.

3.8.4 a

All

Are final products suitably marked, at least on

Yes

No

their outer packaging, to allow adequate

identification and traceability?

3.8.5

All

Traceability must, in all cases, be available for

Non conformity details

each lot/batch from source of raw material to

supply to the primary customer.

3.8.5 a

All

Is traceability available for each lot/batch from

Yes

No

source of raw material to supply to the primary

customer?

3.8.6

All

The traceability system shall be maintained when

Non conformity details

rework or any reworking operation is performed.

3.8.6 a

All

Is the traceability system maintained when

Yes

No

rework or any reworking operation is

performed?

3.8.7

All

The company shall test the traceability system to

Non conformity details

ensure traceability can be determined from raw-

material receipt to finished product and vice versa.

This shall occur at a predetermined frequency, at

least annually, and results shall be retained. The

time taken to complete the exercise shall be

measured and recorded.

Cert Body name and address here

CP3 Issue:1

Page 30 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.8.7 aAllDoes the company test the traceability systemYes

No

to ensure traceability can be determined from

raw material receipt to finished product and

vice versa?

3.8.7 bAllDoes this occur at a predetermined frequency,Yes

No

at least annually, and are results retained?

3.8.7 cAllIs the time taken to complete this exerciseYes

No

measured and recorded?

3.8.8AllWhen the same component or raw material isNon conformity details

sourced from more than one supplier, the

traceability system shall ensure that the

lots/batches from each supplier can be identified if

the component/material is identified as critical to

safety, quality, or legality.

3.8.8 aAllIn the case that the same component orYes

No

N/A

material is sourced from more than one

supplier, does the traceability system ensure

that the lots/batches from each supplier can be

identified if the component/material is identified

as critical to safety, quality, or legality?

3.8.9AllChanges in materials, processes, or componentsNon conformity details

shall be traceable if they could affect the safety,

quality, or legality of the product and formally

agreed by the customer if contractually required.

3.8.9 aAllAre changes in materials, processes orYes

No

components traceable if they could affect the

safety, quality, or legality of the product?

3.8.9 bAllIs there evidence that changes in materials,Yes

No

processes or components that could affect

safety, quality, or legality are formally agreed to

by the customer?

Cert Body name and address here

CP3 Issue:1Page 31 ofReport No:

Auditor:portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.8.10AllSubcontracted manufacture of products or

Non conformity details

components (including homeworking) must be

traceable to a level appropriate to the risk.

3.8.10AllIs subcontracted manufacture of products or

Yes

No

N/A

a

components (including homeworking) traceable

to a level appropriate to the risk?

3.8.111 & 2The need for further traceability through the chain

Non conformity details

should be established, based on the risk

assessment and any legal or specific customer

requirements.

3.8.111 & 2Has the need for further traceability through the

Yes

No

N/A

a

chain been established, based on the risk

assessment and any legal or specific customer

requirements?

3.8.121 & 2For continuous production processes, methods of

Non conformity details

defining traceability levels must be documented

and based on the risk assessment.

3.8.121 & 2For continuous production processes, are the

Yes

No

N/A

a

methods of defining traceability levels

documented and based on the risk

assessment?

3.9

Management of Product withdrawal and productrecall

Statement ofThe company shall have a plan and system in

Non conformity details

Intentplace to effectively manage product withdrawal

and product recall procedures.

3.9.1AllThe company shall have a product recall procedure

Non conformity details

in place to effectively manage product withdrawals

and recalls. Procedures shall exist to ensure that

customers are notified immediately on issues of

significance to the customer or consumer in terms

of product safety, quality, or legality.

Cert Body name and address here

CP3 Issue:1

Page 32 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.9.1 aAllDoes the company have a product recall

Yes

No

procedure in place to effectively manage

product withdrawals and recalls?

3.9.1 bAllDo procedures exist to ensure that customers

Yes

No

are notified immediately on issues of

significance to the customer or consumer in

terms of product safety, quality, or legality?

3.9.2AllThe company shall have written agreements in

Non conformity details

place with distributors and other parties in the

supply chain where these are necessary to ensure

effective withdrawal/recall.

3.9.2 aAllDoes the company have written agreements in

Yes

No

place with distributors and other parties in the

supply chain where these are necessary to

ensure effective withdrawal/recall?

3.9.3AllIn the event of a product recall, the certification

Non conformity details

body issuing the current certificate and the

appropriate enforcement authorities shall be

informed in a timely manner. The company shall be

aware of and adhere to any legal reporting

obligations in the countries of sale.

3.9.3 aAllIn the event of a product recall, is the

Yes

No

certification body issuing the current certificate

and the appropriate enforcement authorities

informed in a timely manner?

3.9.3 bAllDid the company demonstrate awareness of

Yes

No

and adhere to any legal reporting obligations in

the countries of sale?

3.9.41 & 2The product recall and withdrawal procedures shall

Non conformity details

be documented and regularly tested, at least

annually, in a way that ensures their effective

operation. Results of the test shall include timings

of key activities and shall be retained.

Cert Body name and address here

CP3 Issue:1

Page 33 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.9.4 a1 & 2Are the product recall and withdrawalYes

No

procedures documented and regularly tested,

at least annually, in a way that ensures their

effective operation?

3.9.4 b1 & 2Do results of the test include timings of keyYes

No

N/A

activities and are they retained?

3.9.51 & 2The company's senior management shall ensureNon conformity details

that results of this test shall be used to implement

improvements as necessary?

3.9.5 a1 & 2Does the company's senior managementYes

No

N/A

ensure that results of this test are used to

implement improvements as necessary?

Management of incidents and business continuity

Statement ofThe company shall have procedures in place to

Non conformity details

Intent

identify methods of ensuring business

continuity in the case of incidents and/or

informing their customers when incidents

occur.

3.10.1

AllThe company shall provide written guidance to

Non conformity details

relevant staff regarding the type of event that would

constitute an incident or emergency situation that

impacts product safety, legality, or quality, and a

documented reporting procedure shall be in place

which shall include informing their customers in a

timely manner.

3.10.1

AllDoes the company provide written guidance to

Yes

No

a

relevant staff regarding the type of event that

would constitute an incident or emergency

situation?

3.10.1

AllDoes the company have a documented

Yes

No

b

reporting procedure in place that includes

informing their customers in a timely manner?

Cert Body name and address here

CP3 Issue:1

Page 34 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.10.21 & 2The company shall develop contingency planning

Non conformity details

for business continuity in the event of major

incidents such as: disruption to key services - e.g.

water, energy, staff availability; events such as

flood, fire, or natural disaster; malicious

contamination or sabotage.

3.10.21 & 2Has the company developed contingency

Yes

No

N/A

a

planning for business continuity in the event of

major incidents such as: disruption to key

services, flood, fire, or natural disaster, or

malicious contamination or sabotage?

3.10.31 & 2The procedures shall include as a minimum:

Non conformity details

identification of key staff constituting the incident

management team and their key responsibilities;

an up-to-date list of key contacts, with details of

agencies providing advice and support.

3.10.31 & 2Does the business continuity plans include

Yes

No

N/A

a

identification of key staff and their

responsibilities?

3.10.31 & 2Does the business continuity plans include an

Yes

No

N/A

b

up-to-date list of key contacts?

3.10.31 & 2Does the business continuity plans include

Yes

No

N/A

c

details of agencies providing advice and

support?

3.11

Contract review and customer focus

Statement ofThe company's senior management shall

Non conformity details

Intentensure that processes are in place to determine

any customer requirements and expectations

with regard to product safety and quality, and

ensure that these are fulfilled.

3.11.1AllCustomer requirements shall be documented,

Non conformity details

reviewed, and confirmed on a suitable

predetermined frequency. Any resulting changes

shall be documented and communicated to

relevant departments.

Cert Body name and address here

CP3 Issue:1

Page 35 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

3.11.1AllAre customer requirements documented,Yes

No

a

reviewed, and confirmed on a suitable

predetermined frequency?

3.11.1AllAre resulting changes documented andYes

No

b

communicated to relevant departments?

3.11.2AllIn the case where customers have set particularNon conformity details

performance indicators to be monitored, these

requirements shall be communicated, adhered to,

and reviewed at least annually.

3.11.2AllIn the case where customers have set particularYes

No

N/A

a

performance indicators to be monitored, are

these requirements communicated, adhered to,

and reviewed at least annually?

3.11.31 & 2The company shall clearly identify those individualsNon conformity details

responsible for communication with customers and

shall have an effective system for communication.

3.11.31 & 2Has the company identified those individualsYes

No

N/A

a

responsible for communication with

customers?

3.11.31 & 2Is there an effective system for thisYes

No

N/A

b

communication?

3.11.41 & 2Performance indicators relating to customerNon conformity details

satisfaction shall be established and communicated

to relevant staff, and performance reviewed against

these targets.

3.11.41 & 2Have performance indicators relating toYes

No

N/A

a

customer satisfaction been established and

communicated to relevant staff, and is

performance reviewed against these targets?

3.12

Complaint handling

Cert Body name and address here

CP3 Issue:1Page 36 ofReport No:

Auditor:portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Statement ofThe company shall operate an effective system

Non conformity details

Intentfor the capture, recording, and investigation of

product complaints.

3.12.1AllA system shall be in place to capture, record, and

Non conformity details

investigate all complaints relating to product safety,

legality, and unusual or critical quality defects, and

the results of the investigation shall be recorded.

3.12.1AllIs there a system in place to capture, record,

Yes

No

a

and investigate all complaints relating to

product safety, legality, and unusual or critical

quality defects?

3.12.1AllAre the results of the investigation recorded?

Yes

No

b

3.12.2AllWhere complaints are investigated externally on

Non conformity details

behalf of the company, the responsibilities of the

parties shall be defined and the process shall be

documented. Companies shall seek to obtain the

results of any investigations carried out by such

parties.

3.12.2AllWhere complaints are investigated externally

Yes

No

a

on behalf of the company, are the

responsibilities of the parties defined and are

all the processes documented?

3.12.3AllActions appropriate to the seriousness and

Non conformity details

frequency of the problems identified shall be

carried out promptly and effectively by trained staff.

3.12.3AllAre actions appropriate to the seriousness and

Yes

No

a

frequency of the problems identified, carried

out promptly and effectively by trained staff?

3.12.41 & 2Complaint data shall be analyzed and used to

Non conformity details

implement ongoing improvements to product

safety, legality, and quality, and to avoid

recurrence. This analysis shall be made available

Cert Body name and address here

CP3 Issue:1

Page 37 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

to relevant staff.

3.12.41 & 2Is complaint data analyzed and used toYes

No

N/A

a

implement ongoing improvements to product

safety, legality, and quality, and to avoid

recurrence?

3.12.41 & 2Is this complaint analysis data made availableYes

No

N/A

b

to relevant staff?

Auditor

remarks

Cert Body name and address here

CP3 Issue:1Page 38 ofReport No:

Auditor:portrait 26/9/1097

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

Section 4

Site Standards

ClauseProduct

Audit Questions

Group

4.1

Location, Perimeter and Grounds

Statement of

Sites used for manufacturing, storage or

Non conformity details

Intent

distribution shall be of suitable size, location,

construction and design to facilitate

maintenance, prevent contamination, and

enable the production of safe and legal

products.

4.1.1All

The site to be included in the audit shall be clearly

Non conformity details

defined, and shall be located and maintained so

as to allow the production of safe and legal

products.

4.1.1 aAll

Is the site to be included in the audit clearly

Yes

No

defined, and is it located and maintained so as

to allow the production of safe and legal

products?

4.1.2All

Consideration shall be given to local activities and

Non conformity details

the site environment, which may have an adverse

impact on product integrity. Measures adopted at

the site to protect the product from any potential

contaminants shall be regularly reviewed to

ensure that they continue to be effective.

4.1.2 aAll

Has consideration been given to local

Yes

No

activities and the site environment which

would have an adverse impact on finished

product integrity and where necessary, are

measures taken to prevent contamination?

Cert Body name and address here

CP3 Issue:1

Page 39 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.1.2 b

All

Is there a regular review of the measures

Yes

No

adopted to protect the site from any potential

contaminants?

4.1.3

All

The external areas and surroundings shall be

Non conformity details

maintained in good order.

4.1.3 a

All

Are the external areas and surroundings

Yes

No

maintained in good order?

4.1.4

All

External traffic routes that are under site control

Non conformity details

shall be maintained in good repair to avoid

contamination of the product.

4.1.4 a

All

Where there are external traffic routes under

Yes

No

site control, are they maintained in good repair

to avoid contamination of the product?

4.1.5

All

There shall be no evidence of facility damage due

Non conformity details

to inadequate drainage.

4.1.5 a

All

Is there no evidence of facility damage due to

Yes

No

inadequate drainage?

4.2

Internal Site: Factory layout, Product Flow and Segregation

Fundamental

Premises and plant shall be suitably designed,

Non conformity details

Clause

constructed, and maintained so as to control

the risk of product contamination and to

comply with all relevant legislation.

Auditor findings

4.2.1

All

The building shall be maintained to minimize

Non conformity details

potential for product contamination.

4.2.1 a

All

Is the building designed and constructed to

Yes

No

minimize potential for product contamination?

4.2.1 b

All

Is the building maintained to minimize

Yes

No

potential for product contamination?

Cert Body name and address here

CP3 Issue:1

Page 40 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.2.2

All

The machinery and equipment shall be positioned

Non conformity details

to allow an efficient product flow from incoming to

outgoing and shall be arranged to minimize the

risk of product contamination and damage.

4.2.2 a

All

Does the placement of machinery and

Yes

No

equipment allow an efficient product flow and

minimize the risk of product contamination,

loss of traceability and damage?

4.2.3

All

A process flow diagram shall be available.

Non conformity details

4.2.3 a

All

Is a process flow diagram available?

Yes

No

4.2.4

All

Premises shall allow sufficient working space and

Non conformity details

storage capacity to enable all operations to be

carried out under safe and, if necessary, hygienic

conditions.

4.2.4 a

All

Do the premises allow sufficient working

Yes

No

space and storage capacity to enable all

operations to be carried out under safe and if

necessary hygienic conditions, including

areas such as raw material storage,

component storage, production floor, packing

or finishing area, finished product storage,

etc?

4.2.5

All

There shall be effective segregation to minimize

Non conformity details

the risk of product cross-contamination taking into

account the flow of product, nature of materials,

equipment, personnel, waste, airflow, air quality,

and utilities. When critical to product safety,

legality, quality, or customer requirements,

controls shall be in place to ensure that raw

materials, work in progress, rework, packaging,

and finished products of different specifications

are not inadvertently mixed.

Cert Body name and address here

CP3 Issue:1

Page 41 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.2.5 a

All

Is there effective segregation to minimize the

Yes

No

risk of product cross-contamination taking

into account the flow of product, nature of

materials, equipment, personnel, waste,

airflow, air quality, and utilities?

4.2.5 b

All

Are controls in place to ensure that raw

Yes

No

materials, work in progress, rework,

packaging, and finished products of different

specifications are not inadvertently mixed?

4.2.6

1 & 2

The location of facilities and services, including

Non conformity details

toilets, cleaning facilities, and catering facilities,

shall not jeopardize the integrity of the product.

4.2.6 a

1 & 2

Is the location of facilities and services,

Yes

No

N/A

including toilets, cleaning and catering

facilities such that it does not jeopardize the

integrity of product?

4.3

Building interiors

Statement of

The internal site, buildings, and facilities shall

Non conformity details

Intent

be suitable for the intended purpose. All

utilities to and within the production and

storage areas shall be designed, constructed,

maintained, and monitored to effectively

control the risk of product contamination.

4.3.1

All

The quality and finish of site buildings and

Non conformity details

facilities, including drainage when required, shall

be suitable for the intended purpose with due

regard to the risk of product safety, legality, and

quality, and shall be maintained to an appropriate

standard. This shall include: A clean, tidy and

clutter-free factory; adequate lighting; suitable and

sufficient removal of any by-products and

contaminants; impervious floors, in good repair,

and able to withstand cleaning procedures.

Cert Body name and address here

CP3 Issue:1

Page 42 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.3.1 a

All

Is the quality and finish of site buildings and

Yes

No

facilities, including drainage, suitable for the

intended purpose with due regard to the risk

of product safety, legality, and quality and is it

maintained to an appropriate standard?

4.3.1 b

All

Is there sufficient lighting in the factory,

Yes

No

including the production floor, inspection

areas, test areas, storage areas, maintenance

areas, finishing and packing areas, etc?

4.3.1 c

All

Is the facility clean, tidy, and clutter free,

Yes

No

including the production floor, inspection

areas, test areas, storage areas, maintenance

areas, finishing and packing areas, etc?

4.3.2

1 & 2

Potential contamination risk from buildings and

Non conformity details

overhead structures, including building voids, shall

be controlled through regular documented

inspections, and corrective action shall be taken

to prevent the risk of production contamination.

4.3.2 a

1 & 2

Is potential contamination risk from buildings

Yes

No

N/A

and overhead structures, including building

voids, controlled through regular documented

inspections?

4.3.2 b

1 & 2

Are corrective actions taken to prevent the

Yes

No

N/A

risk of product contamination?

4.3.3

1 & 2

The site shall be assessed for any particular

Non conformity details

requirements relevant to the products being

produced, such as temperature, humidity,

electrostatic discharge. Any identified

requirements shall be adopted, documented,

monitored, and regularly reviewed.

4.3.3 a

1 & 2

Has the site been assessed for any particular

Yes

No

N/A

requirements relevant to the products being

produced, such as temperature, humidity,

electrostatic discharge?

Cert Body name and address here

CP3 Issue:1

Page 43 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.3.3 b

1 & 2

Are the identified requirements adopted,

Yes

No

N/A

documented, monitored and regularly

reviewed?

4.3.3 c

1 & 2

Is the ventilation adequate to maintain product

Yes

No

N/A

safety, legality, and quality at the production

floor, inspection areas, test areas, storage

areas, maintenance areas, finishing and

packing areas, etc.?

4.3.4

1

Walls, floors, ceilings, pipework, and overhead

Non conformity details

structures shall be designed, constructed,

finished, and maintained to reduce condensation

and mold growth, and shall have access to

facilitate cleaning.

4.3.4 a

1

Are walls, floors, ceilings, pipework, and

Yes

No

N/A

overhead structures designed, constructed,

finished, and maintained to reduce

condensation and mold growth, and are they

accessible to facilitate cleaning?

4.3.5

1

All water used as an ingredient of the products or

Non conformity details

preparation of the products where it may come

into direct contact with the product shall be

potable (as defined in the region of intended

product sale), or suitably treated to prevent

contamination, and shall be regularly monitored.

4.3.5 a

1

Is all water used as an ingredient of the

Yes

No

N/A

products or preparation of the products where

it may come into direct contact with the

product potable (as defined in the region of

intended product sale), or suitably treated to

prevent contamination?

4.3.5 b

1

Is the water tested regularly?

Yes

No

N/A

4.3.6

1

Water in the form of water, ice, or steam used for

Non conformity details

cleaning or in connection with any operation in the

manufacture of products shall comply with legal

requirements in the country of use and present no

Cert Body name and address here

CP3 Issue:1

Page 44 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

risk to the safety, legality, or quality of the

products.

4.3.6 a

1

Does all water in the form of water, ice or

Yes

No

N/A

steam used for cleaning or in connection with

any operation in the manufacture of products

comply with legal requirements in the country

of use and present no risk to the safety,

legality, or quality of the products?

4.4

Staff Facilities

Statement of

Staff facilities shall be sufficient to

Non conformity details

Intent

accommodate the required number of

personnel, and shall be designed and

operated to minimize the risk of product

contamination. Such facilities shall be

maintained in good and clean condition.

4.4.1

All

Staff facilities such as washrooms, canteens, and

Non conformity details

break areas shall be designed and operated so as

to minimize the risk of product contamination.

4.4.1 a

All

Are staff facilities such as washrooms,

Yes

No

canteens, and break areas designed and

operated so as to minimize the risk of product

contamination?

4.4.2

1 & 2

Where smoking is allowed under national law,

Non conformity details

designated controlled smoking areas shall be

isolated from production areas to an extent that

ensures smoke cannot reach the product.

Adequate arrangements for dealing with smokers'

waste shall be provided both internally and

externally.

4.4.2 a

1 & 2

Are workers not allowed to have food, drink,

Yes

No

N/A

or smoke at their work areas?

Cert Body name and address here

CP3 Issue:1

Page 45 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.4.2 b

1 & 2

Where smoking is allowed under national law,

Yes

No

N/A

are designated controlled smoking areas

isolated from production areas to an extent

that ensures smoke cannot reach the product?

4.4.2 c

1 & 2

Are adequate arrangements provided both

Yes

No

N/A

internally and externally for dealing with

smokers' waste?

4.4.3

1 & 2

Storage facilities of sufficient size to

Non conformity details

accommodate all reasonable personal items shall

be provided for all personnel who work in areas

where they are unable to keep possessions with

them.

4.4.3 a

1 & 2

Are storage facilities of sufficient size

Yes

No

N/A

available, to accommodate all reasonable

personal items for all personnel who work in

areas where they are unable to keep

possessions with them?

4.4.4

1

Where specific workwear is required, designated

Non conformity details

changing facilities shall be provided for all

personnel: staff, visitor, or contractor. These shall

be sited to allow direct access to the production,

packing, or storage areas without recourse to any

external area. Where this is not possible, a risk

assessment shall be carried out and procedures

implemented accordingly.

4.4.4 a

1

Where specific workwear is required, are

Yes

No

N/A

designated changing facilities provided for all

personnel such as staff, visitors, or

contractors?

4.4.4 b

1

Are the changing facilities located to allow

Yes

No

N/A

direct access to the production, packing, or

storage areas without recourse to any external

area?

4.4.4 c

1

Where this is not possible, is a risk

Yes

No

N/A

assessment carried out and procedures

Cert Body name and address here

CP3 Issue:1

Page 46 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

implemented accordingly?

4.4.5

1

Outdoor clothing and other personal items shall

Non conformity details

be stored separately from workwear within the

changing facilities.

4.4.5 a

1

Are outdoor clothing and other personal items

Yes

No

N/A

stored separately from workwear within the

changing facilities?

4.4.6

1

Suitable and sufficient hand-cleaning facilities

Non conformity details

shall be provided at access to, and at other

appropriate points within, production areas.

Information on how to clean hands shall also be

provided near hand-cleaning points.

4.4.6 a

1

Are suitable and sufficient hand-cleaning

Yes

No

N/A

facilities provided at access to, and at other

appropriate points within, production areas?

4.4.6 b

1

Is information on how to clean hands provided

Yes

No

N/A

near hand-cleaning points?

4.4.7

1

All food brought into manufacturing premises by

Non conformity details

staff shall be stored in a clean and hygienic state.

No food shall be taken into storage, processing, or

production areas.

4.4.7 a

1

Is all food brought into manufacturing

Yes

No

N/A

premises by staff stored in a clean and

hygienic state?

4.4.7 b

1

Are storage, processing, and production areas

Yes

No

N/A

free of any non-production food?

4.5

Cleaning procedures

Fundamental

Housekeeping and cleaning systems shall be in place which ensure that

Non conformity details

Clause

adequate standards of cleanliness and tidiness are maintained at all times

and the risk of contamination is minimized.

Auditor findings

4.5.1

All

Cleaning practices shall be completed so as to

Non conformity details

minimize risk of contamination.

Cert Body name and address here

CP3 Issue:1

Page 47 ofReport No:

Auditor:

portrait 26/9/10

97

This report shall not be reproduced in part without the permission of (cert body name)

Global Standard for Consumer Products Issue 3: February 2010

Audit Report / Scorecard

4.5.1 a

All

Are cleaning practices completed so as to

Yes

No

minimize risk of contamination?

4.5.2

All

Cleaning and, where necessary, disinfection

Non conformity details

procedures shall be revalidated following building

or maintenance work, changes to equipment, or

introduction of new product types.

4.5.2 a

All

Are cleaning and, where necessary,

Yes

No

disinfection procedures revalidated following

building or maintenance work, changes to

equipment, or introduction of new product

types?

4.5.3

All

Cleaning, pest control, and process-aid chemicals

Non conformity details

shall be suitably identified and controlled to

prevent the risk of product contamination. They

must be clearly labeled and no chemicals shall be

decanted unless into properly labeled and

identified containers. Adequate storage facilities

shall be provided and sited so as not to

compromise the safety, legality, and quality of the

product.

4.5.3 a

All

Are cleaning, pest control, and process-aid

Yes

No

chemicals suitably identified and controlled to

prevent the risk of product contamination?

4.5.3 b

All

Are they clearly labeled and no chemicals

Yes

No

decanted unless into properly labeled and

identified containers?

4.5.3 c

All

Are adequate storage facilities provided and

Yes

No

sited so as not to compromise the safety,

legality, and quality of the product?

4.5.4

All

If cleaning services are outsourced, the service

Non conformity details

providers shall have signed a contract which

identifies the scope and frequency of the work,

and a logbook shall be maintained as a record of

work done. A defined