Audit Report

Global Standard for Food Safety Issue 7: July 2015

1.Audit Summary
BRC Site
Company name Sharrocks Fresh Produce 5198190
Code

Site name Sharrocks Fresh Produce

The grading, trimming cutting and packing of fresh fruit, vegetables and herbs
Scope of audit
into overwrap trays, punnets and bags.

Exclusions from
None
scope

Justification for
N/A
exclusion

Audit Finish Date 2016-07-06

Re-audit due date 2017-07-05

Voluntary modules included

Modules Result Details

2. Audit Results
Audit result Certificated Audit grade A Audit type Announced

Previous audit grade Previous audit date

Fundamental 0
Number of non-conformities Critical 0
Major 0
Minor 10

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 1 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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3.Company Details
Address Unit G2 Red Scar Industrial Estate, Tustin Way, Off Longridge Road, Ribbleton,
Preston, Lancashire

Country United Kingdom Site 01772724444

Telephone
Number

Commercial Jill Moon Email jill@sharrocks.com

representative
Name

Technical John Eastham Email john@sharrocks.com

representative
Name

4.Company Profile
Plant size <10K sq.m No. of 1-50 No. of HACCP 1-3
(metres square) employees plans

Subcontracted processes No

Other certificates held None

Regions exported to None

Company registration N/A

number

Major changes since last First Audit

BRC audit

Company Description
Sharrock’s Fresh Produce Ltd is a long established fresh produce distributor and packer based in
Preston, Lancashire.The company was founded in 1949 but more recently became part of the GT Group
who are based in Leeds. The company has a combined turnover exceeding £40m and employs over 150
people. In Preston, they operate from our 47,000ft² warehouse which also houses the flower business
which is completely segregated from the fruit and vegetables, conveniently located close to the M6 at
Junction 31a. They have extensive chilled storage facilities and a refrigerated fleet of vehicles for
deliveries to be made in. As direct importers they combine their local and national sourcing of products
with a long established global network, ensuring all year round continuity and availability. The Pre
Packing Department currently operates 6 days per week allowing products to be stretch wrapped on
trays and punnets. The flow wrapped products can be either loose or on trays. They offer a bagging
facility and all their products can be labelled prior to packing into an outer case or a returnable retailer’s
case.Allergens handled on site include celery within the pre-pack area and milk, eggs and nuts within the
storage and distribution part of the business

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 2 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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5.Product Characteristics
Product categories 05 - Fruits, vegetables and nuts

Finished product safety rationale Raw, whole fruit, vegetables and herbs; ambient and chilled storage
(<5°C), short shelf life (typically < 21 days after packing), natural
acidity of fruit (pH typically <5).

High care No High risk No Ambient high care No

Justification for area Single ingredients, chilled/ambient storage, unprocessed product.

Allergens handled on site Celery

Egg
Milk
Sulphur dioxide and Sulphites

Product claims made e.g. IP, None

organic

Product recalls in last 12 Months No

Products in production at the time Leeks x 1 and Leeks x 2

of the audit

6.Audit Duration Details

On-site duration 17 man hours Duration of production 6 man hours
facility inspection

Reasons for deviation First BRC Food audit.

from typical or expected
audit duration

Next audit type selected Announced

Audit Duration per day

Audit Days Audit Dates Audit Start Time Audit Finish Time
2 2016-07-05 09:00 18:00

1 2016-07-06 07:15 15:30

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

Auditor Number 207159 Victoria Price- Lead Auditor

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 3 of 28 Auditor:: Victoria Price
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Present at audit
Note: the most senior operations
manager on site should be listed first
and be present at both opening &
closing meetings (ref: clause 1.1.9)
Opening
Name / Job Title Meeting Site Inspection Procedure Closing Meeting
Review
Daniel Thompson/Managing Director X X

Jill Moon/General Manager X X

John Eastham /Customer Services X X X X

Manager
Wilf Whittle/Business Development X X X X
Manager
John Currie/Food Safety Consultant X X X X

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 4 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Non-Conformity Summary Sheet
Critical or Major Non Conformities Against Fundamental Requirements
No. Clause Details of non-conformity Critical or Major? Anticipated re-audit date

Critical
No. Clause Details of non-conformity Anticipated re-audit date

Major
Evidence
Proposed preventive provided
No. Clause Details of non-conformity Correction action plan (based on root document, Date reviewed Reviewed by
cause analysis) photograph,
visit/other

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 5 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Minor
Evidence
provided
Proposed preventive action plan (based on Date Reviewe
No. Clause Details of non-conformity Correction document,
root cause analysis) reviewed d by
photograph,
visit/other
1 4.3.1 The low risk areas have The warehouse areas have The areas have only recently been Factory layout 2016-08-17 VPRICE
not been fully defined on been re-defined established and the new pre-pack area is the and movement
the site map. only open food handling area. Previously the ;Low risk areas
warehouse operations was limited and there clearly identified
was no production activities.
Future alterations of zoning and materials
movements will be assessed and approved
by the HACCP team.
2 4.8.7 There was no advisory A hand wash reminder sign The toilet is not used because the only Female toilet 2016-08-04 VPRICE
sign to wash hands in the has been placed in the female employee in the pre-pack area hand wash
ladies toilet. ladies toilet prefers t use the office accommodation
toilets and the absence of a sign was not
noticed for this reason.
The ladies toilet will be included in the
internal audit program.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 6 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Minor
3 4.9.1.1 Cleaning chemicals were All chemicals will be issued The chemicals observed were not in the Chemicals 2016-08-19 VPRICE
not being stored in an area by nominated personnel designated storage because they had been storage
with restricted access. only from a locked storage in use but were not returned as per standing ;Chemicals
area. Chemicals in use will instructions. The chemicals were not formally storage in
be kept in a designated issued to the personnel who had left them in locked
crate under management the warehouse. cupboard;Essen
control. There is now a tial training
procedure in place and this Employees will be given refresher training in revisited;Cleani
is recorded in reports, the use and control of chemicals ng Chemical
checked at monthly training
management meetings. revisited
4 4.9.2.1 Knife register had not been A register has been There are only 4 people authorised to work Knife control 2016-08-19 VPRICE
completed at the time of created and will be in the area who have all had training in knife register for knife
the site inspection completed handling. There are only 2 large knives, 1 1 and knife
small knife, 1 pair of scissors and a pair of 2;Knife training
secateurs in use and these are issued and 1
collected each day and locked in a drawer
overnight. All of this equipment is controlled
by the manager responsible for the area. A
register was not considered to be necessary
because of the small number of utensils and
the close management of them.
The criteria for assessing the applicability of
BRC requirements will be re-assessed in
light of this auditors judgment

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 7 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Minor
5 4.14.9 Independent, documented The pest control company The monthly reports of a food safety Pest Control 2016-10-11 VPRICE
pest control inspections have been contacted, they consultant included oversight of the pest Survey;Email
had been completed by the have conducted a survey control company activities and activities likely confirmation
site consultant in addition and have presented a to affect vulnerability to pest ingress. This from pest
to the 8 contracted pest quotation for a new was considered adequate as a measure to control
control technician visits program to include ensure "expert" review of the pest control company of
however, the consultant quarterly biologist reviews. program. The auditor was presented with this 'expert' visit
cannot be considered an This has been approved by information but the food safety consultant planned;Consult
expert in pest control (no senior management. The was not considered an 'expert' as unable to ant reports;Pest
supporting qualifications) food safety consultants provide specific Biologist or Pest Control Control Visit
and the reports were not overview will be continued qualifications. Report;Pest
individually detailed in addition to the additional control
enough to support and in- pest control company The interpretation of the BRC requirements programme;Pes
depth survey had been reports will be re-assessed during internal audits. t control
conducted (e.g. report from agreement
14-15/02/16 details pest
control reports were
reviewed but not which
ones and across what time
frame).

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 8 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Minor
6 5.2.1 Storage information is not Supplier labelled product is The storage information for customer labels Label example 2016-08-17 VPRICE
consistently displayed on now checked at intake is dictated by them, in some cases additional
product labels. For against specification to labelling is provided by them. The label
example no storage verify that the correct observed was a supplier labelled product
instructions on the button information is provided. and checks were not carried out on the label
mushrooms. Information Additional information is because it was not handled through the
not included to ensure the added using stickers when packing area by staff trained to carry out the
safe use of the product for required. The technical checks.
example no statement manager at this retailer
such as wash before use informs us to the The supplier labelled product will be
on the lettuce. information he legally considered during the next HACCP review
requires on the label. We and this issue considered as part of the
set the print up and the review The technical manager at this retailer
technical manager informs us to the information he legally
approves it. requires on the label. We set the print up
and the technical manager approves it.
7 5.3.4 Allergens stored on site An area of the small chill The allergens on site are all wrapped and Allergens;Allerg 2016-08-19 VPRICE
(eggs and milk) were not has been designated an are not handled. It was judged that there ens;Essential
adequately segregated allergens storage area and were no actual cross contamination risks. training
away from product to be instructions to carefully Spillage had not been considered an book;Allergen
used in the pre-pack area clear spillages immediately allergens contamination risk. training re-
in line with the has been put in place. freshers
documented allergens The spillage and storage controls has been
policy. included in the internal audit program.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 9 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Minor
8 5.6.1.3 The records for shelf life A formal report is now in All of the products and fresh vegetable Shelf life 2016-08-19 VPRICE
are not documented and place to conduct visual stocks are assessed daily and any produce 08.08.16;Essent
therefore cannot verify the assessment of product showing signs of deterioration is discarded ial training
shelf life indicated on the samples after dispatch for as waste. This was considered the most records;Shelf
product. the declared shelf life. practical method of supplying acceptable life
product performance. Shelf life is not procedure;Shelf
considered a food safety issue for the life training with
products packed on site. procedure
A plan will be developed based on the
results of testing to focus on the most
sensitive products and to identify early signs
of deterioration to allow rejection where poor
shelf life performance is suspected.
9 6.1.1 No documented work A weight control check is All products are 100% packed to minimum Weight control 2016-08-19 VPRICE
instruction available for now in place to verify the weight. The possible weight loss for record ;Label
weight checking. weight at packing and the dehydration during storage had not been check and
shelf life assessment considered significant but had not been weight training.
includes a weight at the measured to verify that the declared weight 1 hour.
end of shelf life. was correct at the end of declared shelf life.
The weight checks will be included In the
internal audit program.
10 6.2.3 No verification available at Recorded checks are now Checks were being carried out by the Closing check 2016-09-28 VPRICE
the packing stage that the being carried out against manager in charge but there was no specific records;Label
date code, quantity, origin product specification for all indication that individual label elements Training;Label
is being checked. products labelled on site were correct against specification. It was not Checking
considered necessary to indicate that the ;Quantity
checks were indicated against each item e.g. control
product name, weight, declared life, procedure
instructions for storage and use
Labelling controls will be included in internal
audits

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 10 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Comments on non-conformities
N/A

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 11 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 Detailed Audit Report

1 Senior Management commitment

1.1 Senior management commitment and continual improvements
The site has a food safety and quality policy statement dated 3/7/16 and signed by Dan Thompson. The policy
states the company's intention to comply with food safety, quality and legality standards.

The site has documented its company objectives which includes complaints less than 25 per year with a year on
year reduction of 10%, completion of corrective action assigned to individuals within the deadline set. Certification
of BRC food standard at Grade B or better, down time for critical equipment less than 3 hours and service level of
95% for orders to be delivered correctly and on time.

The site held an annual review on 04/07/16 covering the period June 2015 – June 2016 and was attended by Dan
Thompson, Wilf Wittle, John Eastham, A Clyman and a copy for Jill Moon. Topics discussed included previous
actions from the last review, a review of complaints, non-conformances analysis, incidents and accidents, supplier
monitoring and performance, changes to legislation (mandatory country of origin labelling and nutrition labelling in
Dec 2016), customer policies and market pressures, internal audits and external audit activity, BRC S & D audit,
EHO egg inspector visits. Objectives were reviewed and confirmed for the following year. The site achieved a
10% reduction in complaints, did not meet the requirements for getting 90% of corrective actions completed within
deadline and achieved the QSL of 95%.

The site has a range of methods of ensuring that the senior management is made aware of any food safety,
legality and quality issues. These include drop box summary graphs of complaints. Once an item is altered a
notification email is sent to a pre-set team which includes senior managers, a weekly walk round with the sales
team, Managing Director and Pre-Pack Manager, issues identified are recorded on a white board in the sales
office. Complaints are discussed with the Managing Director and Food Safety Consultant, and meetings with the
Food Safety Consultant. Meeting notes dated 17/5/16, 25/4/16, 14/5/2/16, 10/2/16, 27/1/16, 15/12/16 and
30/11/15.

The site remains up-to-date through information provided by the Food Safety Consultant, BRC – Participate
(through the consultant), FSA website, RASFF website, FDA database and publications such as Fresh Produce
Journal, The Grocer and Transport Monthly.

Product is sold in the UK and some product is exported through a third party.

The site has an electronic PDF version of the BRC GSFS Issue 7, which has been printed off.

This is the first audit under this standard and new owners (Dan and Richard Thompson), therefore there are no
non-conformances raised at a previous audit and no time-scales that need to be complied with.
1.2 Organisational structure , responsibilities and management authority
The site has an organisational chart (Issue 2 5/7/16 circulation 1) which includes reference to Dan Thompson
Managing Director, Jill Moon General Manager, Chris Cowburn Transport Manager, Mark Powell Night Manager,
John Eastham Customer Service, Wilf Whittle Business Development, Paul Hunt QC Goods Inwards, Paul
Moulding Prepack Dept., John Eastham Customer Service.

Absence cover is documented and includes details of the Job holder, primary deputy and secondary deputy e.g.
MD Daniel Thompson is covered by Jill Moon and John Eastham. Stock control is covered by Paul Hunt, Craig
Cowburn and Michael Harrison.

Job descriptions and training (internal and external) summarise the role responsibilities. Each employee has
recently had an appraisal and discussed their roles. Job descriptions for a Pre-Pack Operative and Pre-Pack
Manager were reviewed.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 12 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 2 The Food Safety Plan - HACCP
The HACCP Team is lead by John Eastham (Customer Services Manager) who is Level 3 HACCP trained 15-
16/1/14. Other team members include Wilf Whittle (Business Development Manager), Jill Moon (General
Manager) and Paul Moulding (Pre-Pack Manager). Additional support is provided by John Currie (Advisor
(Consultant Food Safety Systems), however the day to day management of the plan rests with the site.

The scope of the audit is defined as being the warehouse and distribution operation with a small packing
operation. Products are broken down, as fresh produce, chilled packaging foods, ambient stable foods, and non-
food items. The HACCP study relates to all traded food products. Products are distributed in the company fleet of
temperature controlled vehicles.

The prerequisite programme includes specifications, supplier quality policy, spillage controls, employee allergen
awareness training, internal audits, security measures, GMP inspections, vehicle maintenance, breakdown
procedures, stock control, waste management, pest control and training.

The products packed includes a range of fruit and vegetables. There are products that have an adverse risk on
sensitive consumers i.e. celery, eggs, milk and cheese. Cheese and milk are fully packed. Products are listed
under the storage conditions of ambient, chilled dairy and chilled fruit and vegetables and are stated as being
<5°C.

Label information is stated as including the correct storage conditions, expiry date and suggestions for product
use.

The HACCP team have referenced EU & UK Legislation and listed references on page 3 of the HACCP plan.
Codes of practice referred to include Codex Alimentarius guide to the implementation of HACCP, Food Industries
Manual, BRC Global Food Standard and BRC Storage and Distribution Standard Issue 2 and legislation such as
EU 2002/72, Regulation 178/2002, Egg Products Regulations, Food Safety Regulations 1995.

The products are described as being suitable for all consumer groups with the exception of allergens for allergen
sufferers. Products are required to be used in conjunction with the label requirements e.g. storage temperatures
and duration.

The site has two process flows; one for ambient stable products and one for chilled products. Process steps
include supplier approval, purchase, packaging intake, intake inspection, storage, waste, trimming, repacking,
order picking, vehicle loading, delivery, returns and waste. 11/6/15 Issue 6 Circulation 1. Reference is also made
to the CCPs identified by the HACCP Team.

Hazards have been defined and include contamination from allergens, inadequate disinfection – growth of
pathogens, pest infestation contamination, foreign body contamination, malicious contamination, inaccurate
control instrumentation, non-approved supplier, pesticide contamination and cross-contamination of products by
waste. The site have conducted a risk assessment on each hazard on the basis of impact, probability, and risk
and scored each on a 0-4 basis. Risks have been graded up to 9. Those scoring 4 and above have been taken
through the decision tree and are classed as significant.

Control measures are defined as staff training, controlled entrances, allergen control and spillage procedures,
goods inspection, pest control procedures, maintenance procedures, cleaning plans, vehicle inspections prior to
loading, calibration and servicing of equipment.

The site has used a 5 stage decision tree to identify CCPs and have concluded there are nine present. These
include supplier approval, chilled food intake, intake inspection, chilled storage, order picking of chilled goods,
delivery of chilled goods, vegetable trimming, intake of packaging and check of returned goods.

Limits of control have been defined as meeting specification, labelled with batch code, supplier ID, ingredients, all
allergens cleared to reduce the risk of cross-contamination within 15 minutes. No expired products, no pest
activity in the food storage and handling areas, equipment verified as clean and free from sources of
contamination before being put back in service. Verification of the CCPs is conducted and documents are signed
off by the supervisor.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 13 of 28 Auditor:: Victoria Price
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 Monitoring of CCPs is undertaken during the daily start-up checks, visits by pest contractors, weekly hygiene
checks and annual performance reviews. CCP 1 for supplier approval was checked, electronic records are
retained which include a date and time of the supplier approval result.

Corrective actions are recorded on the non-conformance log, complaints and non-conformance procedures.

Verification of the HACCP plan is demonstrated through internal audits, review of records, review of complaints
and a verification questionnaire which has been signed by the team on 17/5/16.

The HACCP plan was last reviewed on 17/5/16 following the re-organisation of the prepack function of the
business and in preparation for the BRC Food Audit. There were no significant changes to the HACCP plan.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 14 of 28 Auditor:: Victoria Price
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 3 Food safety and quality management system
3.1 Food safety and quality manual
The site has a printed copy and electronic version of the manual available via Dropbox. A further read only
version is available on the network for all staff to access. The manual contains the policies and procedures on site
and is written in English. The site uses signage where appropriate to further convey messages - such as hand
wash signs.
3.2 Documentation control
Each document has properties embedded in the footer, which contains all the file information, issue number,
amendment details and history of the changes in the comments field. The site holds an electronic list of
documents and the properties of each document is held electronically.

The Technical Consultant is responsible for ensuring the latest versions are in use and adheres to the document
control procedure CP009.
3.3 Record completion and maintenance
Electronic data is backed up daily and is held for 2 months and then archived for five years.
3.4 Internal audit
The site has an internal audit procedure CP008, with audits scheduled on the basis of sensitivity. All areas are
audited at least annually. Site inspection and operational activity audits are conducted 12 times a year and are
reported at management team meetings where a corrective action plan is maintained.

Internal audits are conducted by the external technical consultant to maintain independence. Operational audits
for 17/5/16 and 25/04/16 were reviewed. Conformity and non-conformity had been reported. Details had been
reported to the person responsible and timescales allocated. The status of the corrective action is tracked and
details discussed at the following meeting.

Hygiene inspections are completed and verified on the cleaning records. Further checks are undertaken on the
inspection report undertaken by the Technical Consultant. Fabrication inspections are completed as part of the
inspection report conducted by the Technical Consultant. Completed records were reviewed for 15/12/15 and
30/11/15.
3.5.1 Management of suppliers of raw materials and packaging
The site has a documented risk assessment as part of the HACCP plan HACCP004 11/6/15 Issue 5 which takes
into account the potential contamination of raw materials for allergen, foreign body, microbiological and chemical
contamination. Reference is also made to packaging. CP024 Supplier Approval procedure 1/3/07. All suppliers
are formally approved before contracts are agreed. All suppliers are required to have a third party audit,
contracted audit or are approved following a visit by a suitably qualified Sharrocks representative.

Examples reviewed of a self audit completed by Sharrocks representative Wilf Whittle for Evesham Vale Growers,
who also hold a copy of the BRC GSFS Issue 7 certificate site code 1359247 and BRC A & B Fyffes Group Ltd -
Basingstoke Site code 114608.

Single purchases against unapproved sources may be approved by senior management as a written instruction.
3.5.2 Raw material and packaging acceptance and monitoring procedures
The site has a goods intake procedure CP001, which states that produce is accepted by the Warehouse Manager
during site hours. Out of hours deliveries are not permitted unless very special circumstances. A visual inspection
along with a temperature check is undertaken confirmation that the delivery is from an approved supplier. A visual
check is undertaken on packaging arrivals.

Key data is collected including date of delivery, supplier and lot/batch codes, shelf life expiry, purchase order
number and quantity delivered.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 15 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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 3.5.3 Management of suppliers of services
Supplier approval procedures are documented in CP024. Supplier approval is based on demonstrable history of
successful business with another reputable importer and approval by a senior manager. The supplier is required
to complete a self-assessment questionnaire.

Contracts or formal agreements were reviewed for Rentokil pest control.

3.5.4 Management of outsourced processing and packing
There is no outsourced processing or packing.
3.6 Specifications
The site uses a specification approval and review procedure CP025 01/03/07 to outline the requirements for
produce and packaging. The site uses plain film and generic labels which are constructed of industry standard
materials. The site has in house generated specifications it provides customers with. A completed example for
spring onions trimmed, authorised by J Moon General Manager dated 28/06/14 was reviewed. The specifications
includes reference to COO, variety, weight, storage temperature 3-8°C, chilled transport, unacceptable defects,
major defects, minor defects and the number of outers/case.
3.7 Corrective and preventive actions
The site uses CP027 Complaints and non-conformances procedure to manage corrective actions and preventive
actions on site. Non-conformances are documented in a specific log which is held on Dropbox and available for
key staff to review. The log includes reference to the points recorded in clause 3.7.2. Recent issues relate to
basic hygiene and housekeeping – e.g. allergen segregation, broken plastic window on loading bay door, pest
control awareness training. All actions have been completed and signed off as completed.
3.8 Control of non-conforming product
Control of Non-Conforming Materials are managed in accordance with CP018. Product is placed on hold and
labelled accordingly. QC Hold notes were evident on waste product in the waste skip.

Production/QC/Warehouse staff are responsible for agreeing the outcome of non-conforming product. Details of
the final outcome of product is outlined on the stock management software.
3.9 Traceability
All product is labelled on arrival with details of the delivery - allowing traceability to the supplier. During the audit a
batch of spring onions was traced back to a supplier in Mexico - Estrella Nueva. The delivery of 140 x 12,
consignment number 839439 delivered to site on 4/4/16 and sold to customers on 5-7/4/16. The product was
packed using centre folded polypropylene 25 mu x 230/460mm film delivered to site on 4/4/16.

The site last tested the traceability on Little Gem Lettuce 2 x 8 Consignment number 810807. Product was
delivered from J C Countryfresh on 17/11/15 and delivered out on 18/11/15 – 36 boxes in 36 boxes out.

The site ensures their suppliers have effective traceability systems through third party certification including BRC
GSFS, RTA - Fresh Produce and BRC A & B.

Re-work is not usual practice, however the site ensures full traceability through the use of the original
consignment numbers allocated.
3.10 Complaint handling
All complaints are logged on a spreadsheet and details are trended in terms of type of complaints. There have
been three recorded incidents this year – 2 pieces of metal found in diced swede supplied by a local supplier
ready diced. The other complaints related to poor quality of potatoes. The site believes this was due to
seasonality issues. Pie charts are generated for management review at the meetings.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 16 of 28 Auditor:: Victoria Price
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 3.11 Management of incidents, product withdrawal and product recall
The site has a crisis management plan CP019 dated 11/7/14. The recall and withdrawal procedure is documented
in CP026. The General Manager is the co-ordinator for any recall and has been authorised to make recall
decisions. The recall team will be made up of members from the production, quality, purchasing, sales and
distribution/supply as appropriate. Members are documented, and include Jill Moon, Wilf Wittle, John Eastham,
John Currie.

Reference is made to the action to be taken in the event of a crisis and a communication strategy. Reference is
made to the account managers who hold a list of the current contacts. A master list of key contacts such as
laboratories, pest contractors is available on a master list held on Dropbox. The site has tested the recall process
as part of the traceability test in section 3.9.
3.12 Customer focus and communication
The site holds individual contracts with customers, consequently the requirements are documented and each
party is aware of the expectations. The site has regular contact with customers through the Account Managers.

Changes are communicated to raw material suppliers through customer specifications which will be updated and
reissued as appropriate.
Details of non-applicable clauses with justification
Clause Justification
reference
3.5.4 There is no outsourced processing and packing.
3.5.4.1 There is no outsourced processing and packing.
3.5.4.2 There is no outsourced processing and packing.
3.5.4.3 There is no outsourced processing and packing.

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 4 Site Standards
4.1 External standards
The site is surrounded in business units in an urban area. There are no obvious activities in the surrounding area
which may have an adverse impact on finished product integrity.

The external areas are maintained in good order. The grassed and planted areas surrounding the production and
storage areas are managed by an agent as part of the site agreement.

The building fabric is maintained to minimise the potential for product contamination. There is evidence of
expanding foam being used to seal holes and gaps to prevent pest entry.
4.2 Security
The site has a documented assessment of the vehicle and warehouse security CP021. Security measures include
buildings closed and locked – access by key fob when doors are opened from the outside, site is manned 24
hours, visitors and contractors are required to sign into the premises, regular checks are undertaken on stock to
ensure the stock levels are correct and no evidence of tampering. The site is covered by 16 CCTV cameras.

There are no external storage tanks or intake pipes with external openings on site.

A letter is on file from Liz Roberts, EHO Preston City Council dated 17/12/13 confirming the site is registered as a
food business.
4.3 Layout, product flow and segregation
The site has a map which shows the non-product areas such as the parking, flowers and office accommodation.
The site has a factory layout and movements map which shows the access points for personnel, access points for
materials, routes for the movement of personnel, routes of the movement of raw material, routes for movement of
rework, location of any staff facilities and production process flow. There is adequate signage and a bell to notify
staff of visitors/drivers/contractors arrival.

There is a logical movement of personnel, raw materials and packaging. There are no high risk or high care or
ambient high care facilities on site.

Sufficient working space is provided to ensure all operations are carried out properly and under hygienic
conditions.

There are no temporary structures on site.

See N/C 4.3.1

4.4 Building fabric, raw material handling, preparation, processing, packing and storage areas
The walls are constructed of Insulated panels and floors of sealed concrete. There is no direct ceiling above the
pre-pack area as the roof forms part of the surrounding storage and office areas, which is made up of cladding
(translucent and solid colour). There are no windows or roof glazing which is designed to be opened for
ventilation purposes and no glass windows in the production and storage areas. The doors are maintained in
good condition and suitable precautions have been put in place to prevent pest ingress.
There is suitable lighting for the operation of processes and effective cleaning. There is no product washing and
drainage on site. Hand washing waste water drains directly to drain.
Natural ventilation operates on site.

There are no high care or high risk facilities on site.

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 4.5 Utilities - water, ice, air and other gasses
The site uses mains water only on site which is supplied by United Utilities from Z069 Stocks area. Data is on file
which was last updated on 01/07/16 shows the results for the last 12 months. Water is used for hand washing,
personal hygiene and cleaning, there is no product washing on site.

There are no water holding tanks, no water treatment, no water recycling undertaken and no product washing on
site.

There is no air, other gases and steam used in direct contact or as an ingredient in the product packed.
4.6 Equipment
The equipment is constructed of appropriate materials. The design and placement is such that it can be
effectively cleaned and maintained.

Product is placed directly onto the film or into bags and consequently there is no food contact surfaces.
4.7 Maintenance
The site has a Maintenance Procedure CP006 which states that maintenance where possible is conducted
outside production hours. Planned work is conducted against a maintenance schedule, a copy of the service
report is to be held by the Engineering/General Manager. The schedule is on display in the production office and
was seen as part of the site inspection. All items are inspected daily and have an external service annually.

Service reports for the Adpack heat sealer dated 29/2/16, Personal Refrigeration Ltd dated 08/01/16 were
reviewed.

There were no temporary repairs seen during the site inspection.

The requirements for the hygiene clearance procedure is documented as part of the signing in process for
contractors. Repairs are conducted out of hours wherever possible.

There are no high risk or high care areas on site.

The site uses a food grade sealant to prevent humidity from damaging the equipment.

There are no food lubricants in use on site and no engineering workshops.

4.8 Staff facilities
The site has provided a designated area for staff to put on their protective clothing prior to working in the
production and storage areas. The staff are required to put their outdoor clothing in the lockers provided or in the
rest room. There are no high risk or high care areas on site.

The site has hand washing facilities which includes knee operated taps, liquid soap, single use towels, advisory
signs to wash hands and hot water.

The site has a designated smoking area which is remote from the production areas and has adequate
arrangements for dealing with smokers waste. Electronic cigarettes are not permitted in the production or storage
areas.

All food brought onto the site is stored in a clean and hygienic state. There are no catering facilities provided on
site.

See N/C 4.8.7

4.9 Raw material handling, preparation, processing, packing and storage areas
There are chemical and physical contamination controls in place.

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 4.9.1 Chemical control
Products seen during the site inspection were stated as being suitable for use in a food environment. Products
were not strongly scented and were adequately labelled. The products are listed in the COSHH folder and
information is available with reference to the products dilution rates, safety measures and usage instructions.

The site uses Jangro kitchen cleaner sanitiser odourless 750ml on the packing surfaces.
There are no strongly scented or taint forming materials in use.

See N/C 4.9.1.1.

4.9.2 Metal control
The site requires that knives are identified and signed in and out. There are only three knives available for use.
Two large and one small.

Foreign body policy. Visual inspection of produce prior to packing. Report damage immediately.

See N/C 4.9.2.1

4.9.3 Glass, brittle, plastic, ceramics and similar materials
The site has a glass and brittle materials control procedure CP004. Glass and brittle items are inspected as part
of the inspection carried out by the Technical Consultant 12 times a year. Records for 17/5/16 were reviewed.

Glass breakage procedure CP005 includes reference to the points in clause 4.9.3.3. The operation is not
permitted to restart until a manager has verified the area is free from contamination. Details are recorded on the
non-conformance report.
4.9.4 Products packed into glass or other brittle containers
There are no products packed into glass or other brittle containers.
4.9.5 Wood
Wooden pallets and raw material boxes (French Cauliflower) are in use. Wood controls are considered as part of
the foreign body policy. All items are visually monitored prior to use.
4.10.1 Foreign-body detection and removal equipment
The site has considered the use of foreign body detection and removal equipment and details are documented in
PRP 3 in the HACCP plan. There is no foreign body detection equipment in use. There is a high level of visual
inspections conducted at the point of packing.
4.10.2 Filters and sieves
There are no filters or sieves in use.
4.10.3 Metal detectors and X-ray equipment
PRP 3 is a basic risk assessment considering the use of metal detectors. The management team state that metal
detectors are not necessary due to the prerequisite controls in place.
4.10.4 Magnets
There are no magnets in use.
4.10.5 Optical sorting equipment
There is no optical sorting equipment in use.
4.10.6 Container cleanliness - glass jars, cans and other rigid containers
There are no products packed into glass jars, cans or other rigid containers.

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 4.11 Housekeeping and hygiene
The site uses Caterite to provide cleaning and chemical information. All staff have the responsibility for cleaning
and are trained during the induction by the General Manager.

The site has cleaning schedules which summaries the item/area to be cleaned and frequency of cleaning.

Cleaning chemicals and concentrations are documented on the cleaning usage instructions and a dilution rate for
food areas of 1:10. A safety data sheet is available for SDS Jangro kitchen cleaner sanitiser which was last
revised in March 2010.

All areas are cleaned at least daily and records maintained. Records were reviewed on 27/6/16, 20/06/16,
13/6/16, 6/6/16, 30/05/16.

The site has a hygiene verification procedure which states that a cleaning programme is in operation and is
monitored each day. Surfaces are required to be free from debris.

A visual inspection of equipment is undertaken before it is released into production. Adverse results are recorded
on the cleaning record.

The site uses blue disposable paper and blue floor mops for the prepack area.
4.11.7 Cleaning in place (CIP)
There is no CIP
4.12 Waste / waste disposal
The site segregates waste into general waste and recycled plastic waste. Neales waste is a registered carrier
who collects the general waste on site. Their registration number CB/HP3715JJ was a documented on the waste
collection note. Recycled materials are collected by Preston Plastics Ltd and weighbridge tickets dated 12/1/16
were reviewed.

External waste containers are identified, covered, suitable for use and are emptied at appropriate frequencies.
There are no trademarked goods.
4.13 Management of surplus food and products for animal feed
There are no customer branded products in production, no products sold to staff or passed to charities and no
product sent for animal feed.

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 4.14 Pest Control
There was no pest activity identified at the time of the site inspection. The site has a pest prevention procedure
which is the responsibility of the Warehouse Manager. The site employs Rentokil for pest control (NPTA 1446,
Exp 15/4/17 BPCA M15/035 Exp 31/12/16). A generic risk assessment was conducted in September 2015. The
specification covers insects, mice and rats.

The contract states 8 visits per annum. The site has recently installed EFKs and plans to undertaken catch tray
analysis. The site has a map that has been updated on 04/07/16 and includes reference to the bait points on site.
All baits seen were adequately numbered and identified. Treatment reports are left on site to identify the
rodenticides used, associated safety data sheet are included within the file and these include the action to be
taken in the event of an emergency.

Visit reports were reviewed dated as follows, 4/7/16, 29/06/16, 14/6/16, 6/6/16. Some internal activity had been
recorded and follow-up visits deployed. Actions suggested by the pest contractor are recorded in the non-
conformance log and follow the non-conformance procedures.

Bulbs used in the EFKs were not shatterproof. Toxic baits are in use/snaptraps are also sent.
EFK’s were appropriately sited and operational.
Non-conforming product procedure.
Details are recorded on the master schedule of inspections and comments recorded. Pest control is audited as
part of the internal audit inspections.

Trends are reviewed as part of the schedule. EFKs installed beginning of July 2016.
Pest prevention procedures are in place and pest control training is part of the induction training. Activity is
reported to the Warehouse Manager.
Storage facilities.

See N/C 4.14.9

4.15 Storage facilities
Documented procedures are recorded as part of the HACCP plan e.g. HACCP002 page 12/15. Packaging is
required to be stored on racking. Limited packaging is in use.
Temperature details are logged on a data logger for the prepack area and records dated between 9/5/16 –
30/6/16 were reviewed and showed temperatures were between 1.5 - 4°C. Data is downloaded three times a day.
Produce is inspected daily for quality.
There is no controlled atmosphere on site and no outside storage is necessary.

The site has a stock control procedure CP015. Stock is rotated on a FIFO basis or earliest expiry basis. The site
has a computerised inventory system which provides stock movement reports.

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 4.16 Dispatch and transport
The site uses the companies own fleet of vehicles to deliver produce to customers. The fleet includes 10 vehicles
plus a van with loads of 3 pallets – 16 pallets per vehicle possible.

The site has documented dispatch procedures in CP007 which requires all vehicles to be inspected prior to
loading. Vehicles are required to be secured before departure and every drop and vehicles are to be locked when
the driver leaves the vehicles. Deliveries are within a few hours of the site.

Drivers complete a daily defect sheet and a record was reviewed for 5/5/16 for registration PJ11 VlW
Temperature is recorded and is required to be between 2.5–6°C and records reviewed for w/c 23/5/16. The driver
is responsible for their own lorry. The site employs their own drivers.

The site has a temperature control procedure which states that temperature recording equipment is maintained
correctly. Manual temperature checks are taken twice daily. The operating range is between 0-6°C for chilled
vehicles. Temperatures are taken at the point of first delivery, before the last delivery and upon return if bringing a
return load back to the site.

Temperature equipment is calibrated every 6 months records were reviewed for PJ11 VLW.

Forklifts are used to load and unload vehicles and each vehicle is covered under a maintenance agreement from
Atlantic Forklifts Ltd Hire Contract Contract No 1080.

The site has a Transport Manager who is contacted in the event of a breakdown. Vehicles are not left unattended
as the deliveries are located close to the site.

The site is currently BRC S & D accredited, site code 5198190, expires 1/8/16.

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 Details of non-applicable clauses with justification
Clause Justification
reference
4.3.5 There are no high risk areas on site.
4.3.6 There are no high care areas on site.
4.3.7 There are no ambient high care areas on site.
4.4.4 There are no high care or high risk facilities on site.
4.4.13 There are no high risk areas on site.
4.7.5 There are no high risk or high care areas on site.
4.8.4 There are no high risk areas on site.
4.8.5 There are no high care areas on site.
4.9.4.1 There are no products packed into glass or other brittle containers.
4.9.4.2 There are no products packed into glass or other brittle containers.
4.9.4.3 There are no products packed into glass or other brittle containers.
4.10.1.2 There is no foreign body detection or removal equipment on site.
4.10.1.3 There is no foreign body detection or removal equipment on site.
4.10.1.4 There is no foreign body detection or removal equipment on site.
4.10.2.1 There are no filters or sieves in use.
4.10.2.2 There are no filters or sieves in use.
4.10.3.2 There are no metal detectors or x ray equipment on site.
4.10.3.3 There are no metal detectors or x ray equipment on site.
4.10.3.4 There are no metal detectors or x ray equipment on site.
4.10.3.5 There are no metal detectors or x ray equipment on site.
4.10.4.1 There are no magnets in use.
4.10.5.1 There is no optical sorting equipment on site.
4.10.6.1 There is no packing into glass jars, cans or other rigid containers.
4.10.6.2 There is no packing into glass jars, cans or other rigid containers.
4.11.7.1 There is no CIP.
4.11.7.2 There is no CIP.
4.11.7.3 There is no CIP.
4.15.4 There is no CA storage available on site.

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 5 Product control
5.1 Product design/development
The site has a management of change policy – Issued 1 14/2/06 There are no restrictions to the scope of product
development. The site has introduced herbs in the last 12 months.
The change policy requires the HACCP to be reviewed. Evidence of this being undertaken was noted when the
HACCP was reviewed. There are no product formulations or manufacturing of products.

Standard procedures would be used .

The site would undertake shelf life trials in line with documented current procedures.
Product Labelling
5.2 Product labelling
Products are labelled with the product, DU date, origin, class, variety, Class markings, Defra code – Potatoes
(Class 1 stated).

Product is booked out of stock into pre-pack and labels generated based on product from stock. The country of
origin is reviewed for each packing run.

There are no products designed to enable a claim to be made to satisfy a consumer group.

See N/C 5.2.1

5.3 Management of allergens
The management of allergens is covered in the HACCP plan. The site has included reference to allergens
handled on site, which include celery within the pre-pack area and sulphur pads, milk, eggs and nuts within the
storage and distribution part of the business. The site has undertaken a material risk assessment and has taken
account of the potential routes of contamination which include spillages, breakages employees and poor stock
control.

See N/C 5.3.4

5.4 Product authenticity, claims and chain of custody
The site remains up-to-date with the latest information on food fraud and food authenticity through the their
technical consultant and publications such as The Fresh Produce Journal.

The site has conducted a vulnerability assessment on each supplier. Suppliers have been graded based on the
bullet points of clause 5.4.2. Scores have been weighted on a number of factors. The vulnerability assessment is
a live document which is continually reviewed. There have been no materials identified as being at risk.

Labelling claims are made which include origin and variety. Each variety has a specific stock code which is used
to allocate stock to the pre-packing operation.

There are no claims made about the methods of production.

5.5 Product packaging
Clear Film is in use is supplied by TREOFAN evidence was available to demonstrate it meets FSA and EC
regulations which includes specific German Food Commodity Act. Technical data for the 25mu centre folded
polypropylene was available.

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 5.6.1 Product inspection and testing
The site has a documented product testing procedure CP017. No processing is being undertaken. There is no
pesticide or microbiological testing undertaken. All stock is physically checked on a daily basis. The site relies on
the testing undertaken by the suppliers through their third party accreditation for example BRC/GLOBAL
GAP/Red Tractor.

The site regularly reviews the RASFF database to check for withdrawals and recalls and receives the FSA
updates.
The site has a process and shelf life validation procedure CP016. Daily checks are undertaken on stock on site.

See N/C 5.6.1.3

5.6.2 Laboratory testing
There is no pathogen testing conducted and no routine testing laboratories present on site.
5.7 Product release
Positive release procedures are available if required. The procedures are implemented upon customer request.
Details of non-applicable clauses with justification
Clause Justification
reference
5.6.2.2 There are no routine testing laboratories on site.

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 6 Process control
6.1 Control of operations
The site has documented procedures available and examples were reviewed for Quality Control CP023 and the
procedure for lot coding and traceability CP020.

There are no in line monitoring devices and no processing undertaken on site.

In the event of equipment breakdown the site has call out procedures and agreements were reviewed for vehicle
equipment breakdown and coldstore breakdown.

See N/C 6.1.1.

6.2 Labelling and pack control
One batch of labels is taken to the line at the point of packing. There are two styles of generic labels in operation.
Off line printing is undertaken by the Production Manager.
Labels are printed to order (exactly). In the event of surplus labels being present or not enough for the production
run and investigation is undertaken. One product line labelled at a time by two designated people. Labels are
printed to order and therefore there are none left over. Details of number printed are recorded on the label sheets.
There is no online vision equipment in use.

See N/C 6.2.3

6.3 Quantity, weight, volume and number control
Product is sold by minimum weight or by count. Any product sold in bulk is sold business to business and is not
sold in a final retail pack.
6.4 Calibration and control of measuring and monitoring devices
Refrigeration equipment listed on a spreadsheet and scales are listed on the inspection documents.

All calibration seen was traceable to a recognised standard. Results were available for review and included
scales s/n 131260964, 131260968 and temperature probe RC6161801.

Reference measuring equipment was calibrated and traceable to a recognised standard.

Any defective equipment is removed from use, repaired or replaced.
Details of non-applicable clauses with justification
Clause Justification
reference
6.1.4 There is no processing undertaken on site.
6.2.4 There is no on-line vision equipment in use.

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 7 Personnel
7.1 Training: raw material handling, preparation, processing, packing and storage areas
The site has a training procedure CP002 issued 1/3/07 which states that training is reviewed on an annual basis
to identify training needs. All staff are provided with basic induction training within 1 week of starting. Site training
includes introduction to operations, vehicle and warehouse cleaning, delivery rules, HACCP, temperature control,
stock management and rotation, non-conformance reporting, complaints handling.

Job descriptions outline the key competencies for specific roles. Training records were reviewed for Gill Van Boyd
(Packer) and Paul Moulding (Pre-Pack Manager).

Training records dated 17/6/14 for Basic food hygiene, pest control personal hygiene, general cleaning, cleaning
after maintenance, complaints and customer feedback, allergens handling and segregation had all be covered.

External training documentation is also retained and was reviewed for HACCP awareness for Gillian Van Boyd.

Training is undertaken in English as all staff are English.

7.2 Personal hygiene: raw material handling, preparation, processing, packing and storage
areas
The site has a personal hygiene policy which has been signed by Gill Van Boyd – 19/12/13 and Paul Moulding on
13/2/14.

The site issues blue plasters for employees and visitors to use to cover small cuts and grazes. There is no metal
detection equipment in use.

General personal hygiene policy states that personal medicines are not permitted in the packing and storage
areas.
7.3 Medical screening
The site has a medical declaration which employees and visitors are required to complete on arrival. Completed
examples were reviewed for Gillian Van Boyd 19/12/13 and Paul Moulding
16/12/13. The site has a return to work procedure for unplanned absences documented in the training for food
handlers. Further guidance is sought from a local GP if necessary and if appropriate the employee/visitor is
referred back to their own GP.
7.4 Protective clothing: employees or visitors to production areas
Protective clothing requirements are documented in the essential training for food handlers and Sharrocks
personal hygiene policy. Protective clothing includes a disposable apron, hairnet, gloves and high visibility jacket.
Protective clothing is to be worn in the open food handling and packing areas only. Protective clothing is
disposable. There are no high care or high risk areas on site. Blue disposable gloves are in use on site. Food
contact declarations was stated on the outer box.

NSF Certification UK Ltd, Long Hanborough Business Park, Long Hanborough, Oxford, OX29 8SJ

Issue ref: NSF BRC Food RF25 - Issue 17 30-06-15 Page 28 of 28 Auditor:: Victoria Price
Audit# - Customer#: 1539286 - C0302131

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