Nr.

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Etapa 1 Raport de Audit

Stage 1 Audit Report
Pentru
For Organizaia
Client name

OCEAN FISH SRL

Data (interval):
Date(s):

01.06.2011 ISO 22000

Standard(e):
Standard(s):

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Cuprinsul raportului de audit

Audit Report Content

Cod
Code

Nr. pagin
No. of pages

1 2 3 4 5 6 7 8 9 10 11

M M M M O R M M M M M

Copert
Cover Sheet

1 1 1 1 1 1 1 1 1 Total pagini
Total Pages

Coninutul raportului de audit - include precizrile legale

Audit Report Content Includes disclaimers

Datele de audit
Audit Administration

Rezumatul constatrilor auditului

Audit Executive Summary

Concluziile echipei de audit / opional

Audit Team Summary

Constatrile auditului - Comentarii

Audit Findings Comments

Concluziile de audit
Audit Recommendations

Verificarea documentaiei sistemului de management i identificare procesului

Verification of client management system documentation and process identification

Identificarea chestionarelor i a notelor suplimentare de audit doar pentru OHSAS 18001

Auditor Note/Supplementary Auditor Note Identification OHSAS 18001 only

Clauzele auditate din standard(e)

Clauses of the standard(s) checked

Planul urmtoarei etape de audit

Next audit plan

Precizri legale i note

Disclaimers and Notes Acest raport rmne confidenial ntre clientul menionat mai sus i grupul de companii ROS (ROS, URS, GRI) i drept urmare, nu ar trebui s circule ctre alte pri fr permisiunea expres, n scris, a prilor menionate mai sus; cu excepia organismelor i autoritilor de reglementare ale grupului de companii ROS.
This report remains confidential between the client and the ROS group of companies (ROS, URS, GRI) and as such, should not be circulated to other parties without the express permission, in writing, of both parties; with the exception of the ROS Group of Companies Regulators.

Coninutul acestui raport a fost ntocmit de ctre auditor(i) impariali i este bazat pe eantioane selectate n timpul procesului de audit. De aceea, nu trebuie dedus faptul c aceste constatri sunt exhaustive (nu se poate garanta c nu exist i alte constatri).
The contents of this report have been made by the impartial auditor(s) based on a review of a sample of management system documentation. This report therefore, does not infer that the comments contained within, are exhaustive in nature.

Se presupune c organizaia auditat va accepta n totalitate constatrile acestui raport de audit, cu excepia cazului n care se face o notificare n scris de client ctre biroul local al organismului de certificare n termen de 5 zile lucrtoare de la data comunicrii raportului de audit.
It will be assumed that the client fully accepts the findings within this report, unless notification, in writing, is made by the client to their local office within 5 working days of the last day of this audit.

Cerine contractuale / legale /de rspundere - Clientului i este reamintit faptul c aceast activitate de audit a fost efectuat conform ofertei / contractului, iar clientul este contient de procedurile de certificare i de clauzele de responsabilitate care pot fi gsite pe site-urile Grupului ROS (www.ros-group.com , www.urscertification.com www.globalregistrars.com).
Contractual/Regulations/Liability - The client is reminded that this audit activity has been performed in connection with the quotation/contract and the client should be aware of the scheme regulations and liability clauses which can be found on the ROS Group commercial websites (www.ros-group.com , www.urscertification.com www.globalregistrars.com)

Dei este politica Grupului ROS de a percepe taxe de audit competitive, clientii care anuleaz vizite pre-aranjate fr un preaviz scris cu cel puin 5 zile lucrtoare nainte de data planificat, li se poate percepe o tax pentru o astfel de anulare. V rugm s consultai procedurile de certificare care sunt prezentate pe site-urile noastre, n seciunea cu Regulamentele / Reclamaii / Apel.
Whilst it is the ROS Groups policy to offer competitive fees, clients that cancel pre-arranged visits without at least 5 working days written notice, may be charged for such a cancellation. Please refer to the Scheme Regulations that are stated on our websites, under Regulations/Complaints/Appeals.

CODUL - M = pagin de raport obligatorie, R = pagin obligatorie pentru OHSAS 18001 sau atunci cnd sunt Constatri documentate, O = pagin de raport opional.
CODE M = mandatory report content, R = Required Content when related to OHSAS 18001 OR when Concerns or Comments are recorded. O = Optional report content.

Registrar of Standards (Holdings) Ltd, Incorporating: United Registrar of Systems Ltd, Registrar of Standards Ltd Global Registrars Inc. ROS 2010
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Datele de audit
Audit Administration

Reprezentantul Clientului:
Client management contact

Adrian Nitica Alina Baciu

Zile de audit
Audit days

Auditor ef:
Lead Auditor

0,5

Auditor:
Auditor

Expert:
Specialist

Total zile de audit

Total audit days

Translator:
Translator

Alte persoane:
Other

0,5

Domeniul de certificare
Certification Scope

Procesare i reambalare pete i produse din pescuit, depozitare i distribuie produse alimentare Processing and Preserving of Fish and Fish Products, Storage and Distribution of Food
Locaii permanente identificate i de auditat
Permanent sites identified and to be audited

Locaii temporare identificate i de auditat

Temporary sites (e.g. construction) identified and to be audited

DN 2 KM 14 Nr. 72, 077010 Afumai, Jud. Ifov, ILFOV

Notificarea modificrilor fa de cotaie / instruciuni de lucru sau alte solicitri din partea auditorului sau clientului
Notification of changes from quotation/job instruction or other requests by the auditor or client

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Rezumatul constatrilor auditului

Audit Executive Summary

Satisfctor
Satisfactory

Nesatisfctor
Unsatisfactory

Documentaia sistemului de management este adecvat n abordarea tuturor cerinelor (i, dup caz, pentru toate site-urile)
Adequacy of management system documentation in addressing all requirements (and where appropriate, for all sites)

Succesiunea i interaciunea proceselor

Description of processes, sequence and interactions

Obiective / inte / mbuntiri

Targets/Objectives/Improvement

Satisfacia clientului / Controlul i stadiul reclamaiilor

Customer satisfaction/Complaints control and status

Procesul de monitorizare / Principali indicatori (pentru ISO/TS16949, datele de performan pentru ultimele 12 luni trebuie s fie disponibile)
Process monitoring/Key indicators (For ISO/TS16949, performance data for last 12 months must be available)

Stadiul realizrii de Obiective / inte / mbuntiri

Effectiveness of Achieving Targets/Objectives/Improvements

Auditurile interne - planificate i finalizate (pentru ISO/TS16949, nregistrrile de audit intern pentru ultimele 12 luni trebuie s fie disponibile)
Internal audits planned and completed (For ISO/TS16949, internal audit records for last 12 months must be available)

Analiza de management - planificat i finalizat (pentru ISO/TS16949, analizele de management din ultimele 12 luni trebuie s fie disponibile)
Management reviews planned and completed (For ISO/TS16949, management reviews from last 12 months must be available)

Mediul de lucru - adecvat pentru auditul de certificare de la faa locului

Site conditions suitability for formal on-site audit

Contientizarea clientului fa de cerinele de certificare

Client awareness of certification requirements

Satisfctor - nseamn c exist dovezi, care s ateste c cerinele au fost abordate n mod satisfctor, dar acest lucru nu nseamn c implementarea este corespunztoare i confirmat n aceast etap de audit.
Satisfactory means that there is evidence that requirements have been addressed satisfactorily. This does not mean that satisfactory implementation is confirmed at this stage.

Nesatisfctor - nseamn c una sau mai multe cerine nu au fost abordate n cadrul sistemului de management sau pe dovezile furnizate n cadrul acestei etape de evaluare, implementarea nu poate fi eficient.
Unsatisfactory means that one or requirements have not been addressed in the management system OR on the evidence provided as part of this Stage 1 review, implementation is not effective.

Registrar of Standards (Holdings) Ltd, Incorporating: United Registrar of Systems Ltd, Registrar of Standards Ltd Global Registrars Inc. ROS 2010
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Constatrile auditului / comentarii

Audit Comments
Definiiile comentariilor
Definitions of Comments

Descrierea constatrilor
Describe Comment(s) below

Situaia n care dovezile prezentate indic faptul c o cerin a fost eficace imlementat, dar pe baza experienei i cunotinelor auditorului, creterea eficacitii poate fi posibil printr-o abordare schimbat/modificat
A situation where the evidence presented indicates a requirement has been effectively implemented but based on auditor experience and knowledge, additional effectiveness or robustness may be possible with a modified approach

Situaia n care datorit perioadei scurte de implementare a unui proces nou / proces modificat, sau pe baza exemplelor auditate prin sondaj, eficacitatea unui element al sistemului nu se poate nc determina.
Due to the short period of implementation of a new or changed process, or the audit sample taken, the effectiveness of the system element could not yet be determined

OFI

PNC

Nu au fost constate OFI sau PNC No OFI or PNC were raised

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Concluziile auditului
Audit Recommendations
O copie a acestei pagini trebuie s fie utilizat pentru fiecare standard / schem auditat n cadrul acestei vizite.
A copy of this page must be used for each standard/scheme that has been audited during this visit.

Standard/Schem de audit
Applicable Standard

ISO 22000 Concluziile auditului

Audit recommendations

Nici o constatare ridicat se recomand trecerea la Etapa 2 de audit

No comments recorded recommendation to proceed to Stage 2 audit

Numai OFI-uri sau PNC-uri acceptabile nregistrate - se recomand trecerea la Etapa 2 i constatrile ridicate vor fi analizate i finalizate, dup caz, naintea nceperii Etapei 2 a auditului
Only OFIs or Acceptable PNCs recorded recommendation for client to review and address as appropriate prior to the commencement of the Stage 2 audit

Constatri inacceptabile ridicate (PNC-uri) - recomandare pentru client de a analiza i iniia aciuni corective i s confirme c aciunile necesare au fost nchise nainte de Etapa 2 de audit
Unacceptable comments recorded (PNCs) - recommendation client to review and address the comments raised and confirm actions have been taken prior to the Stage 2 audit being arranged.

Constatri inacceptabile ridicate (PNC-uri) o Vizit Special este necesar (se repet Etapa 1)
Unacceptable Comments recorded (PNCs) recommendation for repeat Stage 1

Nota 1: PNC acceptabil nseamn c potenialele neconformiti existente nu mpiedic planificarea Etapei 2 de audit.
Note 1 Acceptable PNCs means that Potential Concerns exist that do not prevent the Stage 2 audit from being planned

Note 2: Comentarii inacceptabile nseamn c PNC-urile care au fost nregistrate mpiedic planificarea Etapei 2 pn ce clientul nu confirm, prin trimiterea de dovezi obiective la biroul local, faptul c acestea au fost nchise n mod satisfctor. La recomandarea auditorului, poate fi repetat Etapa 1 a procesului de certificare.
Note 2 Unacceptable Comments means that PNCs have been recorded that prevent the Stage 2 from being planned until the client has confirmed, by sending objective evidence to their local office, that the PNCs have been closed satisfactorily. On the recommendation of the auditor, a repeat Stage 1 may need to be conducted.

Note 3: Pentru Schema ISO/TS16949, constatare inacceptabil nseamn c este necesar repetarea Etapei 1 a procesului de certificare.
Note 3 For ISO/TS16949, Unacceptable Concerns means that a repeat Stage 1 audit is required.

Registrar of Standards (Holdings) Ltd, Incorporating: United Registrar of Systems Ltd, Registrar of Standards Ltd Global Registrars Inc. ROS 2010
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2011/47130/DR Verificarea documentaiei sistemului de management

Verification of client management system documentation

Cerine verificate
Requirements reviewed

Referine n documentaia sistemului de management al organizaiei

Reference in clients management system

Bifeaz dac sunt comentarii

Check if comment recorded

Politica (strategia)
Policy

Politica sistemului Anexa la MI-01 Manualul sistemului MI-01 Manualul sistemului MI-01 Manualul sistemului MI-01 Succesiune si interactiune procese Anexa 2 Control documente PS-01 Control inregistrari PS-02 Obiective PP-01 Analiza de management PP-02 Audituri interne PS-03 Control produs/serviciu neconform PS-04 Actiuni corective PS-04 Actiuni preventive PS-04 Tratare reclamatii PS-04

Definirea domeniului de aplicare

Scope definition

Aplicabilitatea domeniului
Scope applicability

Documentarea excluderilor (dup caz)

Exclusions documented (as applicable)

Identificarea, succesiunea i interaciunea proceselor

Identification of processes, sequence and interaction

Lista de auditori calificai (numai pentru ISO/TS16949)

List of qualified auditors (ISO/TS16949 scheme only)

Controlul documentelor (incl. legale, de reglementare, etc)

Document control (including legal, regulatory, statutory)

Controlul nregistrrilor
Control of records

Obiective / Targete
Objectives/targets

Analiza de management
Management Review

Audituri interne
Internal audits

Controlul produsului/serviciului neconform

Non-conforming product/service

Aciuni corective
Corrective actions

Aciuni preventive
Preventive actions

Reclamaii clieni
Customer complaints

n lista proceselor de mai jos sunt nirate procesele sistemului de management determinate de client i considerate necesare aplicarea lor n cadrul organizaie. Referinele au fost formulate de ctre auditor, pe baza identificrii clientului a interaciunii dintre procesele / principalele elemente ale sistemului de exemplu, aa cum este specificat n clauzele standardelor de referin: ISO 9001 clauza 4.2.2 c), ISO 14001 clauza 4.4.4.c) i / sau OHSAS 18001 clauza 4.4.4.c)
The list of processes below are those that the client has determined and which are needed for the management system and their application throughout the organization. Reference has been made by the auditor, to the clients description of the interaction between the processes/main elements of the system for example, as required by ISO9001 clause 4.2.2 c), ISO14001 clause 4.4.4.c) and/or OHSAS 18001 clause 4.4.4.c).

Procesele identificate mai jos vor oferi baza pentru planificarea auditului - planul de audit, care face parte integrant din acest raport, va reflecta procesele clientului
The processes identified below will provide the basis for future audit planning the audit plan, which forms part of this report, will reflect the clients processes.

Denumirea proceselor identificate de client/elemente principale aa cum sunt definite n sistemul de management
Title of clients process definitions/main elements as defined in the management system

Referine din sistemul de management al organizaiei

Reference in clients management system

Bifeaz dac sunt comentarii

Check if comment recorded

Resurse umane / Human Resources Intretinere / Maintenance Controlul EMM / MME Control Relatia cu clientii / Clients Relationship Relatia cu furnizorii / Suppliers Relationship Productie / Production

Instruire, competenta, constientizare PP-03 Mentenanta PO-05 Calibrarea si verificarea EMM PP-07 Evaluare satisfactie clienti PP-11 Receptie PL-11, Comunicare interna si externa PP-10 Studiul HACCP, Proceduri Igiena PO-xx

Cerine auditate (n cazul n care sunt aplicabile pentru sistemul de management conform standardelor auditate)
Requirements reviewed (as applicable to the management system standards to be audited)

Referine din sistemul de management al organizaiei

Reference in clients management system

Bifeaz dac sunt comentarii

Check if comment recorded

Pregtire pentru situaii de urgen

Emergency preparedness

Manualul sistemului MI-01

Cerine de prim ajutor

Emergency and first aid requirements

Procesul de evaluare a riscurilor

Risk assessment process

Autorizaii / Licene
Consents/licences

Continuitatea afacerii (Business continuity)

Business continuity

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Registrar of Standards (Holdings) Ltd, Incorporating: United Registrar of Systems Ltd, Registrar of Standards Ltd Global Registrars Inc. ROS 2010

Indicai clauzele care au fost abordate n cadrul auditului sistemului de management relevant
Indicate the clauses that have been addressed within the relevant management system

ISO10002 4.2 4.3 5.3.3 7.8 5.3.4 7.9

4.4 5.3.5 8.1

4.5 6.2 8.2

4.6 6.3 8.3

4.7 6.4 8.4

4.8 7.1 8.5

4.9 7.2 8.6.1

4.10 7.3 8.6.2

5.1 7.4 8.6.3

5.2 7.5 8.7

5.3.1 7.6

5.3.2 7.7

ISO9001 (Inc. TS16949, AS9100, ISO13485, PAS43) 4.1 4.2 5.1 5.2 5.3 5.4 5.5 5.6 7.1 7.2 7.3 7.4 7.5 7.6 8.1 8.2

6.1 8.3

6.2 8.4

6.3 8.5

6.4

ISO22000 4.1 4.2 7.2 7.3

5.1 7.4

5.2 7.5

5.3 7.6

5.4 7.7

5.5 7.8

5.6 7.9

5.7 7.10

5.8 8.1

6.1 8.2

6.2 8.3

6.3 8.4

6.4 8.5

7.1

BS EN 16001 3.1 3.2 3.3.1 3.4.6 3.5.1 3.5.2

3.3.2 3.5.3

3.3.3 3.5.4

3.4.1 3.5.5

3.4.2 3.6.1

3.4.3 3.6.2

3.4.4 3.6.3

3.4.5 Anexa 1

ISO20000 3.1 3.2 6.3 6.4

3.3 6.5

4.1 6.6

4.2 7.1

4.3 7.2

4.4 7.3

4.4.1 8.1

4.4.2 8.2

4.4.3 8.3

5 9.1

6.1 9.2

6.2 10.1

ISO 14001 4.1 4.2 4.4.5 4.4.6

4.3.1 4.4.7

4.3.2 4.5.1

4.3.3 4.5.2

4.4.1 4.5.3

4.4.2 4.5.4

4.4.3 4.5.5

4.4.4 4.6

OHSAS 18001 4.1 4.2 4.3.1 4.4.5 4.4.6 4.4.7

4.3.2 4.5.1

4.3.3 4.5.2

4.4.1 4.5.3

4.4.2 4.5.4

4.4.3 4.5.5

4.4.4 4.6

4.1

ISO27001 4.2 4.3

5.1

5.2

6.0

7.0

8.1

8.2

8.3

Anexa A

Alt standard - (tabel de completat de ctre auditor)

Other standard - (auditor to complete matrix)

Procese obligatorii de auditat pentru a se asigura de implementare

Mandatory processes to review to ensure implementation

Audit Intern
Internal Audits

Politica
Policy

Ctrl. documentelor & nregistrrilor

Document & Data Control

Analize
Reviews

Aciuni corrective
Corrective Actions

Reclamaii
Complaints

Confirmai c reprezentanii clientului au contientizat faptul c PNC-urile ridicate n timpul acestei vizite de audit, ar putea duce la constatri mai grave (D sau NC) la urmatoarea vizit.
Confirm that the Client Management Contact has been made aware that PNCs raised during this activity could result in concerns (Ds or NCs) being raised at the next visit.

Confirmat
Confirmed

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Planul de audit pentru urmtoarea vizit

Audit Plan for Next Visit

Standard(e) / Schem(e) auditate la urmtoarea vizit

Standard(s) / Scheme(s) to be audited next activity

ISO 22000 06.06.2011

Planificarea pentru activitatea urmtoare (lun/an)

Month/year for next activity

Planul de mai jos se refer la activitile de audit urmtoare

The Plan below relates to the next Audit Activity

Etapa 2 (On-site audit)

STAGE 2 (On-site audit)

ZIUA
DAY Proces
Process

1
Ora
Start Time

ZIUA
DAY Auditor
Auditor

2
Proces
Process

Ora
Start Time

Auditor
Auditor

edina de deschidere
Opening meeting

09:00 09:10 09:30 11:30 11:30 13:00 14:00 14:00

AB, VR AB, VR AB, VR AB VR AB VR

Relatia cu furnizorii / Suppliers Relationship Relatia cu clientii / Clients Relationship Pauza de masa / Break Intretinere / Maintenance Controlul EMM / MME Control Resurse umane / Human Resources Trasabilitate

09:00 9:00 13:00 14:00 14:00 16:00 16:00

AB VR AB VR AB VR

Top management RM / QM Productie / Production Programe preliminare Pauza de masa / Break Productie / Production Programe preliminare

Alina Baciu - AB Vlad Rusu - VR edina de nchidere

Closing (wash-up/final) meeting

17:00

AB, VR

edina de nchidere
Closing (wash-up/final) meeting

17:00

AB, VR

Note:
Notes and disclaimer

Planul TREBUIE s reflecte procesele organizaiei, planificarea dup clauzele standardului NU este acceptat. Dac aceast activitate necesit o planificare pe mai mult de 2 zile, folosii nc o pagin
The plan MUST reflect the client's processes, planning by clause of a standard is NOT acceptable If the audit duration exceeds 2 audit days use more sheets

Data exact a urmtoarei vizite de audit va fi anunat clientului prin scrisoare, e-mail sau telefon i trebuie s fie n acord mutual.
The exact date of the next activity will be notified to the client by letter, e-mail or telephone and shall be agreed mutually between both parties.

Registrar of Standards (Holdings) Ltd, Incorporating: United Registrar of Systems Ltd, Registrar of Standards Ltd Global Registrars Inc. ROS 2010
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Planul de audit pentru urmtoarea vizit

Audit Plan for Next Visit

Standard(e) / Schem(e) auditate la urmtoarea vizit

Standard(s) / Scheme(s) to be audited next activity

ISO 22000 06.06.2011

Planificarea pentru activitatea urmtoare (lun/an)

Month/year for next activity

Planul de mai jos se refer la activitile de audit urmtoare

The Plan below relates to the next Audit Activity

Etapa 2 (On-site audit)

STAGE 2 (On-site audit)

ZIUA
DAY Proces
Process

3
Ora
Start Time

ZIUA
DAY Auditor
Auditor

Proces
Process

Ora
Start Time

Auditor
Auditor

edina de deschidere
Opening meeting

09:00 09:10 10:10 11:30 13:00 14:00

AB AB AB AB AB

Descriere produs, Descriere etape flux Analiza pericole, identificare CCP PRPo Pauza de masa / Break Plan HACCP

Alina Baciu - AB edina de nchidere

Closing (wash-up/final) meeting

17:00

AB

edina de nchidere
Closing (wash-up/final) meeting

Note:
Notes and disclaimer

Planul TREBUIE s reflecte procesele organizaiei, planificarea dup clauzele standardului NU este acceptat. Dac aceast activitate necesit o planificare pe mai mult de 2 zile, folosii nc o pagin
The plan MUST reflect the client's processes, planning by clause of a standard is NOT acceptable If the audit duration exceeds 2 audit days use more sheets

Data exact a urmtoarei vizite de audit va fi anunat clientului prin scrisoare, e-mail sau telefon i trebuie s fie n acord mutual.
The exact date of the next activity will be notified to the client by letter, e-mail or telephone and shall be agreed mutually between both parties.

Registrar of Standards (Holdings) Ltd, Incorporating: United Registrar of Systems Ltd, Registrar of Standards Ltd Global Registrars Inc. ROS 2010
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