INTERTEK

BRC Global Standard for Food Safety Non-Conformity Summary

Audit Details
Company Name: CV Prima Indo Tuna
Location: JL. Ir. Sutami No. 32 Makassar – South Sulawesi Indonesia 90242
Date of Audit: 19-20-21 July 2018
Intertek Auditor: Syamsul Arifin E-Mail address: syamsul.arifin@gri-apac.com
BRC Auditor Number: 168184
Confirmation of Scope
Agreed Scope Wording: Freezing of fresh yellow fin tuna, Frozen CO treated YF tuna loin, steak, saku, cube, ground meat,
medallion, Frozen Raw Octopus Ball/Flower type, Frozen WGGS Red snapper, Frozen fillet CO treated red
snapper/grouper, Frozen fillet marlin, Frozen fillet/HG mahi mahi into wax corrugated box, styrofoam box,
plastic bag
Exclusions from Scope: None
Audit type: Gap / Pre-Audit GM Basic Level Announced Extension to
GM Intermediate Level Unannounced Scope
Head Office Audit
Modules included: Yes No Module:

Acceptance of Non-Conformities
Name: Jaya L. Simorangkir
Position: Plant Manager
Signature*:

Date: 21 July 2018

Non-Conformity Summary: Critical /Major Critical Major Minor
Fundamental 1 Non- 0 Non- 4 Non- 44
Non-conformities conformities conformities conformities
*I acknowledge that the Intertek Auditor has carried out an audit against the requirements of the Global Standard for Food Safetyand has brought to my attention the non-conformities
identified in this report. I understand that these results are provided for information and corrective action response only at this stage and that the certification decision is made by authorised
personnel independent of the audit process following review of the auditor’s notes, final report and corrective action response.

BRC Global Standard for Food Safety Issue 7 – Non-Conformity Summary Report
GT001 rev.2 Document: F103-21-BRC Release date: 16th June 2016 Page 1 of 12
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BRC Global Standard for Food Safety Non-Conformity Summary
Important Note: This form must be completed electronically and returned in MS Word format (please do not fax or pdf). Before completing your response
please ensure you read the instructions on this form. This form must be completed in English.
Closing Meeting
Response
BRC Global Markets
Corrective action responses
must be received within 90
calendar daysfor initial audit
only.
Certification Audits
Corrective action responses
must be received within 28
calendar days.
GT001 rev.2
Document Owner:
INTERTEK
Next Steps - General
This report details the non-conformities identified during the audit. The final report will be made
available through the BRC Directory once the certification decision has been made.
We will use the information you provide to complete your final report, it is therefore important
that you supply information which gives confidence in the corrective actions taken.
In completing this form we ask that you give consideration to:
 Correction – the immediate fix (this may include action taken at the time of the audit)
 Root Cause – a thorough root cause analysis should be conducted, it’s important to
ensure you identify the true root cause and not just the symptoms. You may consider
techniques such as the ‘5 whys’ or fishbone.
 Proposed preventive action plan (based on root cause analysis) any actions that
can be taken to prevent recurrence, this is especially important as the Standard requires
non-conformities to be closed and makes provision for upgrading recurring minor non-
conformities to a major non-conformity at the next audit.
Guidance on presenting your corrective action response:
 Examples of evidence include: updated procedures or forms, work instructions, invoices,
certificates of analysis, certificates of conformance, training records, completed records
 If procedures / work instructions have been updated please highlight changes made
 If forms have been updated please provided completed examples as evidence as this
demonstrates implementation
 If you are providing photographs it is always useful to provide before and after photos
 Please label your corrective actions by non-conformity number for example:
 Major 1.pdf, Minor 1.jpg, Minor 2.docx, Minor 2a.pdf.
 It there are a large number of attachments it may be necessary to send several e-mails.
Note: Useful BRC Publication: Understanding preventative action and root cause analysis –
BRC Global Standard for Food Safety Issue 7 – Non-Conformity Summary Report
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BRC Global Standard for Food Safety Non-Conformity Summary

available on BRC Participate http://www.brcparticipate.com/dashboard

Corrective The corrective action response will be reviewed by the auditor. If further evidence is required
Action Review this should be supplied within 48 hours.

Corrective Action Review Following review of the corrective actions the auditor will submit the audit pack for independent
Certification technical review and certification decision.
Decision

Once the certification decision has been made your report is uploaded to the BRC Directory.
Certificates and letters of recognition (where issued) are provided in electronic format and will
Certification also be available on the BRC Directory. For further information on the BRC Directory and
Administration information on BRCs Compliance Programme see attached BRC Hand-out.

BRC044 -
BRCGlobalStandards_Auditor Handout 2015 issue 3.pdf

To obtain access to the BRC Directory complete the on-line request form by clicking here.

If you would like to use the BRC Logo you can request the logo files by clicking here to
complete the on-line request form.

Supplier Directory training literature is available without logging in to the BRC Directory,
http://www.brcdirectory.co.uk/TrainingLiterature.aspx.

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BRC Global Standard for Food Safety Non-Conformity Summary
Pre Audit / Gap Audit
Extension to Scope Audit
Global Markets Audit
(with major and / or minor
non-conformities, where
critical non-conformities
are identified see
Provisional Outcome
Recognition Not Granted
below for next steps
Note: this outcome is
subject to technical
checking, corrective action
evidence review and final
certification decision.
Head Office Audit
GT001 rev.2
Document Owner:
INTERTEK
Next Steps
1. Take corrective action to rectify the non-conformities Please contact us to arrange a
raised. full audit.
2. Plan your next full audit.
1. Take corrective action to rectify the non-conformities E-mail this non-conformity sheet
raised. and corrective action evidence to
2. Complete ‘correction’ section on this non-conformity your auditor by:
summary sheet.
3. Complete ‘Proposed preventive action plan (based on root Target: xx/xx/xxxx
cause analysis)’section on this non-conformity sheet (21 calendar days)
4. Complete ‘evidence provided’ section on this non-
conformity summary sheet. Latest:xx/xx/xxxx
(28 calendar days)
1. Take corrective action to rectify the non-conformities E-mail this non-conformity sheet
raised. and corrective action evidence to
2. Complete ‘correction’ section on this non-conformity your auditor by:
summary sheet.
3. Complete ‘Proposed preventive action plan (based on root Target:xx/xx/xxxx
cause analysis)’section on this non-conformity sheet (21 calendar days)
4. Complete ‘evidence provided’ section on this non- (83 calendar days initial audit
conformity summary sheet. only)
Latest:xx/xx/xxxx
Where a revisit is required step 4 above will be completed by the (28 calendar days)
auditor during the re-visit. The site should collate all information (90 calendar days initial audit
together in preparation for the re-visit. only)
Revisit Date agreed:
xx/xx/xxxx
1. Take corrective action to rectify the non-conformities E-mail this non-conformity sheet
raised. and corrective action evidence to
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BRC Global Standard for Food Safety Non-Conformity Summary
Note: All non-conformities
identified at the head office
audit shall be recorded on
the audit report of the first
manufacturing site audited
following the central
systems audit.
Provisional Outcome:
AA(+), A(+), B(+) or C(+)
Note: this outcome is
subject to technical
checking, corrective action
evidence review and final
certification decision.
Provisional Outcome:
Grade D(+)
Note: this outcome is
subject to technical
checking, corrective action
evidence review and final
certification decision.
Provisional Outcome:
Certification Not Granted
GT001 rev.2
Document Owner:
INTERTEK
Next Steps
2. Complete ‘correction’ section on this non-conformity your auditor by:
summary sheet.
3. Complete ‘Proposed preventive action plan (based on root Target:xx/xx/xxxx
cause analysis)’section on this non-conformity sheet (21 calendar days)
4. Complete ‘evidence provided’ section on this non-
conformity summary sheet. Latest:xx/xx/xxxx
(28 calendar days)
1. Take corrective action to rectify the non-conformities E-mail this non-conformity sheet
raised. and corrective action evidence to
2. Complete ‘corrective action taken’ section on this non- your auditor by:
conformity summary sheet.
3. Complete ‘root cause analysis and proposed action plan’ Target: xx/xx/xxxx
section on this non-conformity sheet
4. Complete ‘evidence provided’ section on this non- (21 calendar days)
conformity summary sheet.
Latest: xx/xx/xxxx
(28 calendar days)
1. Take corrective action to rectify the non-conformities Re-visit required within:
raised. 28 calendar days
2. Complete ‘correction’ section on this non-conformity
summary sheet. Date agreed:
3. Complete ‘Proposed preventive action plan (based on root xx/xx/xxxx
cause analysis)’section on this non-conformity sheet
4. Collate information ready for your re-visit
5. The auditor will complete details of corrective action in the
‘evidence provided’ section of this form.
1. Take corrective action to rectify the non-conformities Please contact us to arrange a
raised. further full audit. If you have any
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BRC Global Standard for Food Safety Non-Conformity Summary
Recognition Not Granted
Note: subject to technical
checking and final
certification decision.
GT001 rev.2
Document Owner:
INTERTEK
Next Steps
2. Plan your next full audit – usually no less than three questions regarding the Standard
months from the initial audit. or the certification process,
please do not hesitate to contact
us.
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BRC Global Standard for Food Safety Non-Conformity Summary

EXAMPLE
Evidence
Proposed preventive provided
Reviewed
No. Clause Details of non-conformity Correction action plan (based on document, Date reviewed
by
root cause analysis) photograph,
visit/other
1 3.4.1 Internal audit of the supplier Audit now completed. Audits Internal audit Minor 1a.doc 2015-07-01 Intertek
management systems scheduled scheduled for October, procedures updated to Completed Auditor
for January had not been carried November and December incorporate deputies. internal audit
out. have also been completed. reports.
The size of the internal
audit team will be Minor 1b.doc
increased to include Updated audit
sufficient members. schedule showing
audits moved
These staff will be from planned to
trained, as appropriate, complete and
for the systems to be overview of
audited. number of non-
conformities
identified at each
audit.

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BRC Global Standard for Food Safety Non-Conformity Summary

Critical or Major Non Conformities Against Fundamental Requirements

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

1 5.6 Allergen management program was not implemented MAJOR

as per requirements in clause 5.6(The site shall have a
system for the management of allergenic materials which
minimizes the risk of allergencontamination of products
and meets legal requirements for labelling in the country
of sale)
- Risk assessment is not include the raw
material allergen risk assessment or HACCP
manual (clause 5.3.1)
- In the Food Safety manual (PIT/MNL/BRC/01)
page 26 of 31 mention that the allergen is only
fish, However actual there is also octopus
(molluscs)(clause 5.3.2)
- There is no documented procedure to identify
the allergen material (Fish and Molluscs)
include documented risk assessment is not
carried out to identify routes of contamination,
i.e. identification of potential points of cross
contamination through the process flow
between octopus and fish. (clause 5.3.3)
- Time segregation is applied between
production fish and octopus, however no
procedure as implementation guidelines,
include the use of separate or additional
protective overclothing when handling
allergenic materials and sanitation of
equipment during changeover or different
identification for specific utensil and direct
contact equipment (i.e. scrub, knives, basket)
(clause 5.3.4)
- No evidence/records showing that changeover
of sanitation is properly done.(clause 5.3.4)
- The cleaning methods has not been validated
to ensure the effectiveness, i.e. using ATP
test/allergen test kit, etc.(clause 5.3.8)
- Found the temporary storage of fish and
octopus was mixed in the plastic boxes in cold
storage plant 2.

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BRC Global Standard for Food Safety Non-Conformity Summary

Critical or Major Non Conformities Against Fundamental Requirements

- Allergen awareness training is not given to the
employees (clause 7.1.4)

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

Major
Evidence
Proposed preventive action provided Date
N Claus Reviewe
Details of non-conformity Correction plan (based on root cause document, reviewe
o. e d by
analysis) photograph, d
visit/other
Recertification audit is conducted
over the audit due date (June, 15
1 1.1.8
2018).

2 1.1.10 Non-conformities issued from

previous audit is notyet properly
followed up.Similar NC still found
during this audit e.g.

NC#3 (Clause 3.4.4)

The frequency of factory
environment and processing
equipment inspection (PRP Audit) is
conducted every three months. It
shall be monthly.

NC#4 (Clause 3.5.1.2)

High risk suppliers (as per
documented risk assessment,
PIT/QA/RSK/01) have not been
audited or have not shown GFSI

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BRC Global Standard for Food Safety Non-Conformity Summary

Major
certificate (i.e. BRC, SQF, IFS,
FSSC).
- Primary packaging
(Petropack& Bina Jaya)
- Ecolab Indonesia for
cleaning soap (Soil Off II
brand
- PT. Citra Persada
(chlorine)
- CO gas (Samator)

NC#10 (clause 4.9.1.1)

Person who handle chemical has
not been trained yet.
There is no evidences (records) that
metal detecting step (CCP#1 at
Frozen Cephalopods Product) is
conducted for production of Frozen
Whole-Cleaned Octopus as per
HACCP plan (PIT/CEP/QA/01, 05-
07-2017).

Note: there are 2 processing

building, metal detector only
available 1 unit located in tuna
processing building (plant 1),
3 2.10.2
meanwhile Frozen Octopus is
processed in plant 2, no metal
detector available.
As per verbal information that frozen
octopus will be passing through
metal detector in Plant 1 before
loading for shipment for each
carton.
However no records to proof the
CCP is monitored as per HACCP
Plan.

BRC Global Standard for Food Safety Issue 7 – Non-Conformity Summary Report
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Document Owner: TM Approvals Food C of E
Minor
N Clause Details of non-conformity Evidence
o.
Correction INTERTEK
Proposed preventive action plan
(based on root cause analysis)
provided
document,
Date
reviewed
Reviewe
d by
photograph,
BRC Global Standard for Food Safety Non-Conformity Summary visit/other
1.1.2 Quality and food safety objectives
is not reported at least quarterly.
Major There is no monitoring and
results report available within
4 5.6.2. 2018. internal laboratorium facility
Found
1 for testing pathogen (i.e. E.coli,
salmonella)
There is no is inside
evidencesthe Tuna
(i.e.
processing
minutes ofarea (plant 1),
meeting, this is not
attendance
fully
list, segregated
etc) that from
Monthly
the deheading
meeting
area and notdiscussing
program have operating
the food
1.1.4
procedures
safety, legality
to prevent
and quality
any issues
risk of
product
has been contamination.
conducted at least once
per month.

Product description document in

HACCP manual for Frozen Tuna
and Frozen Cephalopods is not
identified the ingredients used,
2.3.1
i.e. CO in Tuna and Salt in Frozen
Octopus Flower. Also origin of
ingredients

Flow diagram document of Frozen

Cephalopods products
(PIT/CEP/QA/01, verified in
10/07/2018) was found
2.6.1 inaccurate. E.g., step metal
detecting is mention after freezing
step, however not found any
metal detector on site.

Allergen hazard is not identified in

Hazard Analysis table sheet
2.7.1 document in all HACCP Manual
(Frozen Fish & Frozen Octopus).

Chilling step is not categorised as

CCP. As per potential hazard
identification in the hazard
analysis table, shown that this
step has significant hazard and
should be controlled effectively to
prevent or eliminate a food safety
hazard or reduce it to an
2.8.1 BRC Global Standard for Food Safety Issue 7 – Non-Conformity Summary Report
acceptable level.
GT001 rev.2 - Hazard: raise of histamine
Document:
and F103-21-BRC Release date: 16th June 2016 Page 11 of 12
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- Control: monitoring of chilling
room temperature
- Critical limit room temperature
max. 4.4⁰C
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BRC Global Standard for Food Safety Non-Conformity Summary

Voluntary Modules Non-Conformity Summary Sheet

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

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

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

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Document Owner: TM Approvals Food C of E