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Title Page

Conducted on 

Prepared by

Location 

Section1: Food Safety and QMS

Regulatory and Customer Standards: CFMSR 3.1 Coles Brand Policies and
Requirements ; CFMSR 3.2 Site Registrations /Certifications; CFMSR 3.4 Food Safety
and Quality Management System WW FMR Sect 1; BRC 1.1.6 ; Management
Commitment

A current copy of CFMSR, WSEP and BRC standards must be held on site and available at
time of audit.<br>Current copies of the relevant Coles Brand Policies,related Coles
Brand Guidelines and Woolworths Codes of Practice are to also be available at time of
audit.<br>Note: Found in Quality Assurance National\ Standards\ Woolworths, CFMSR
(Coles )etc<br>

Yes No N/A
 Must be able to demonstrate understanding of the regulatory requirements for Dairy in
this country and the country of sale.<br>There must be a system to keep the site
informed of Scientific and technical developments,new risks to authenticity of raw
materials, legislation applicable to raw material supply and production.<br>The site
must have current copies of registrations (Dairy Licence, DoAWR Export Registration)
and certifications ( eg Organic, BRC, Coles, Woolworths, Aldi, Spotless, ISO 22000)<br>

Yes No N/A

The site must have a Food Safety and Quality Management System (FSQMS), which is
maintained and regularly reviewed.

Yes No N/A

Site Plan: CFMSR 3.4.3 Site Plan

The site must have a site plan to define the following areas; <br>• Perimeter and
boundaries<br>• Base, Medium, High areas for Coles<br>• Maintenance<br>• Employee
facilities (including smoking areas)<br>• Chemical and waste storage<br>• Bulk or
outdoor storage.<br>

Yes No N/A

Management Commitment: WSEP 1.1 & BRC 1.1.1 Management Commitment; CFMSR
3.5, 3.6.2 Food Safety and Quality Policy; CFMSR 3.8 Organisational Structure;
Approved WSEP 1.5 Food Fraud; BRC 1.1.9

A Food Safety and Quality Policy authorised by senior management, must be in place -
stating the company’s intentions to produce safe, legal, and quality products.<br>
<br>The policy must be effectively communicated to all employees. <br><br>Sections of
the food safety and quality manual must be accessible by all personnel required to
complete their task (e.g. copies of the latest versions of procedures).<br>

Yes No N/A
 An organisational structure chart must be in place showing management responsibility
and authority. <br>Staff roles & Responsibilities must be clearly defined in Position
Descriptions.<br>Senior management shall identify and document the job roles for any
employees having an impact on food safety, legality, or quality. This documentation
shall include the skills, experience, responsibilities, and levels of authority for each job
role.<br>

Yes No N/A

Details of deputising coverage for personnel with responsibility for legal, safety, and
quality must be documented.<br>The Quality Assurance Manage/QA department must
have sufficient authority to make decisions.<br>

Yes No N/A

Product supplied to Woolworths must meet the product name and / or specification in
full.<br>Issues such as adulteration, mislabelling and dilution of product either
knowingly or not are considered critical nonconformances

Yes No N/A

A procedure must be developed, documented and implemented to demonstrate how

the company completes a review of the quality management system and implements
the improvements required.<br>Senior Management shall ensure that the root cause of
non conformities from previous external audits have been effectively addressed to
prevent recurrence.

Yes No N/A

Business Continuity Plan: WSEP 1.4 Business Continuity

Senior Management must review the business continuity plan at least annually and
more often if key resources and personnel change to ensure the plan continues to be
effective.

Yes No N/A
Section 2 Management Review

Management Review: BRC 1.1.2 Management Review; CFMSR 4.6 Senior Management
Review ; Approved Arrangement S2 C 7.1, 7.2 and 7.3 ; WSEP 1.6 Senior Management
Review; BRC 1.1.3; CFMSR 4.7 Continuous Improvement.

Senior Management must conduct as a minimum, a quarterly review of all systems and
documentation. Members of the management team must represent production,
technical/quality, logistics (as a minimum) to ensure all areas of the business relating to
Woolworths and Coles are in place to verify the effectiveness of the entire Woolworths
WSEP and Coles CFMSR standards are captured.<br>Approved Arrangement,
Management Review process ensures that all elements of the AA are reviewed on an
annual basis. <br>This will include, at a minimum:<br>• The quality management
system <br>• Importing Country Requirements/Trade Descriptions<br>• Previous MR
action plans, and corrective actions.<br>• Product Standards<br>• Structural
requirements<br>• Management of systems for HACCP, Food Defence and raw material
authenticity<br>• Allergen management<br>• Management of cleaning, hygiene and
GMP<br>• Records of internal and external audits <br>• Pest monitoring and
prevention<br>• Customer complaints and feedback<br>• Incidents, out of spec results,
and non conforming materials<br>• Withdrawals and Recalls<br>• Foreign object
controls<br>• Resource requirements<br><br>Records of the review and any corrective
actions must be kept.<br>Ensure root cause analysis has been completed where
required.<br><br>This review may form part of regular scheduled management
meetings, where the Technical / Quality department provide information on site
performance (e.g. (KPIs)).<br>Review of the data shall be at defined intervals and
demonstrate a culture of continual improvement.<br>Continuous Improvement
activities shall be documented.<br>

Yes No N/A
Documentation and Record Retention: CFMSR 3.10 Document and Record Retention;
CFMSR 3.11 Record Completion; CFMSR 3.12 Record Review And Authorisation;

All documentation and records must be retained on site for at least shelf life of the
product plus one year and available for review within 4 hours from the request.<br>All
records must be legible, accurate, and fully complete and must not be recorded in
pencil or amended by correction fluid or tape.<br>Records of production shall be
reviewed and authorised by trained and competent personnel.<br>Records must be
retrievable even after IT upgrades or changes.<br>

Yes No N/A

Change Management Procedure: CFMSR 3.13

A process for change management shall be defined and documented. The change
management program shall be used prior to any changes that can have an impact on
food safety, legality, or quality which include changes to:<br>• Raw material
suppliers<br>• Formulation (including any changes to<br>formulation of supplied
materials)<br>• Manufacturing processes or inspections<br>• Equipment<br>•
Packaging. <br>Check Site Compliance to ; <br>MO-043 Change Management
Guidelines<br>MO-043-A Operations and Supply Chain Change Management
Checklist<br><br>

Yes No N/A

Change Management Records: MO-043 Change Management Guidelines MO-043-A

Operations and Supply Chain Change Management Checklist

The change management records must include:<br>• A description of the change<br>•

The planning for the change<br>• Review of the changes by the HACCP Team for any
impact on food safety, legality or quality<br>• Identification of any documentation that
needs to be updated, including the HACCP plan<br>• Notification to the Coles CBM / PT
of any changes that can affect product safety, legality, or quality.<br>• Changes to
equipment or locations<br>• How the changes will be reviewed after completion of the
change to ensure food safety or quality has not been compromised.<br>

Yes No N/A
Site Management and Communication; CFMSR 4.3 Site Management; CFMSR 4.5 Site
Communication; BRC 1.1.4

Senior Site Management shall ensure that there is<br>adequate management coverage
for all production<br>shifts.<br>

Yes No N/A

A process for communication from staff to management issues affecting food safety,
legality, or quality shall be established.<br>The site must have a meeting program
which enables Food safety, quality and legality issues to be brought to the attention of
senior management at least monthly and allows for the resolution of issues needing
immediate action.<br>

Yes No N/A

Root Cause Analysis: CFMSR 4.8 Root Cause Analysis

Management shall establish, document, and implement a methodology for root cause
analysis that is undertaken when responding to non conformance at the site. This shall
include;<br>• Assignment of responsibility and time frame for action<br>• Prioritisation
of issues based on risk status <br>• Consideration of impact on food safety and
quality<br>• Identification of corrective actions (including any short term (temporary)
and long term actions and responsibility and timeframes for completion<br>•
Identification of preventive actions to prevent occurrence of any potential issues and
responsibility and timeframes for completion<br>• Implementation of changes to
procedures and HACCP Plans<br>• Training of personnel in any changes to
documentation or process changes<br>• Validation of any changes to the HACCP
documentation<br>• Approval by the HACCP Team<br>• Verification audit to ensure
implementation and ongoing implementation is effective.<br>

Yes No N/A
Complaints (Completed by Corporate)

Complaints General CFMSR 7.1, 7.2 Complaints Procedure; WSEP Section 1.7 -1.7.3; BRC
3.10.1

A documented policy and procedure to handle complaints must be in place.

<br>Complaints from all methods of reporting (e.g. mail, telephone, email, websites,
and social media where used) must be captured on a logging system.<br>Each
complaint must have a unique reference number. Complaint log includes:<br>• Date of
complaint<br>• Nature of complaint<br>• Product information<br>• Product code e.g.
best‐before / use‐by<br>• Whether product sample has been requested<br>• Person
assigned to manage the complaint<br>• Outcome.<br>• Corrective action<br>•
Complaint close‐out date<br>

Yes No N/A

All complaints must be investigated in detail by competent personnel.<br>The

investigation must determine whether the complaint is product specific or an issue
which may affect more than one product.<br>The complaint handling procedure must
identify what information to check depending on complaint type.<br>Complaint types
can include examples such as:<br>Foreign bodies, alleged illness, taste, quality, correct
quantity, labelling, llergens.<br>Full records must be kept and the outcome of the
investigation promptly reported to relevant personnel and departments.<br>Corrective
actions must be effective to prevent reoccurrence. Where requested the full corrective
actions must be reported to a Coles or WW CategoryBrand Manager or Poduct
Technologist.<br><br>Detailed records of communication with both Coles/ Woolworths
and the customer must be retained showing effective and diligent complaint
investigation, resolution and corrective action.<br>

Yes No N/A
Complaint Trend Analysis WSEP 1.7.4; CFMSR 7.5; BRC 3.10.2

Complaints must be trend analysed by volume produced and complaint category as a

minimum, and should include all product produced on site as well as Private Label
products.<br>Trend analysis, investigations and details of individual complaints must be
maintained and available to Woolworths or Coles upon request.<br>Corrective action
should be applied to individual complaints and root cause(s) in a timely manner to
reduce and eliminate reoccurring complaints.<br>Complaint numbers must be tracked
and trended against units sold and complaint type.<br>Complaint targets must be set
and agreed with the Coles/Woolworths Product Technologist for House Brand Products.
<br>Complaint trends must be monitored and compared against targets.<br>An
increase in complaints must prompt an investigation.<br>Information from trend
analysis of complaints must be communicated to the site management and production
teams.<br>Up to date complaint trend information is graphically displayed on suitable
notice boards at site access points with examples displayed to increase awareness e.g.
foreign bodies.<br><br>Complaint Mechanisms must be in place for briefing and
discussing preventative action with production teams.<br><br>

Yes No N/A

Complaint Reduction CFMSR 7.6

A target for complaint reduction shall be agreed with the Coles or Woolworths CBM / PT
for Private Label Brand products and the site must have a plan in place to reduce
complaint levels in general and for worst offending categories/products.

Yes No N/A

Food Safety Incident Escalation CFMSR 7.7

If a food safety or legality issue is detected through customer complaints, the complaint
procedures must document how issues will be escalated to the recall, withdrawal, and
incident management procedures.

Yes No N/A

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