Codes of Practice Industry Standards Audit Supplier Details Company Site Address Site Contact Email Phone

Mobile Auditor Details

Auditor

Auditor ID Audit Outcome Certification recommended

Audit Outcome

Certification NOT recommended Certification recommended following close-out of Major Non Conformances Other Administration

Audit Date(s) Day 1 - Time Arrived on Site

Time Departed Site

Total Hours

Day 2 - Time Arrived on Site

Time Departed Site

Total Hours

Day 3 - Time Arrived on Site

Time Departed Site

Total Hours

Entry/Exit Meeting Attendance Company Representative

Organisational Role

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Entry Meeting

Exit Meeting

Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards

Audit Overview Audit Scope

Executive Summary

The purpose of this audit report is to summarise the degree of compliance with relevant criteria based on the evidence obtained during the audit of your organisation. Please note that this report is subject to independent review and approval. Should changes to the outcomes of this report be necessary as a result of the review, a revised report will be issued and will supersede this report. Non Conformance Summary (Provide detailed NCR Report – Certification Body Template) Type of CARs raised

No. of CARs issued

Critical Major Minor Have all CARs from the previous audit been closed out? (If no, record details of open CARs) WQA - Have WW QA been notified in event of AMBER or RED audit result (Date, time and who notified?) Best Practice / Opportunities for Improvement

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Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards

WW Supplier Excellence CoP Assessment Tool CoP – Allergen Management CoP Prompts for Management of Allergens include but are not limited to:  Mandatory documented Risk assessment undertaken using defined 5 step protocol (Records)  Risk assessment by multidisciplinary team, reviewed annually or when product, process changes or new allergens, new products or new processes introduced. (Records)  Sign off on Allergen status of all raw materials and audits of suppliers if necessary (Records)  List of allergenic materials and list of all products manufactured on site and their allergen status. (Records)  Detailed Allergen Risk Assessment of WWs Skus and process using HACCP principles. (Record)  Allergen Improvement Plan documented and agreed with WWs QS (Record)  Cross Contact Labelling determined via Decision Tree or Vital by trained staff and approved by WWs QS (Records)  Factory Rating determined as result of Risk Assessment and agreed by WWs QS (Record)  Adequacy and effectiveness of control measures documented within Risk Assessments and Allergen Improvement Plan. (Observations)

CoP – Prevention of Foreign Body Contamination Prompts - include but are not limited to:  Risk assessments in regards Foreign Matter Contamination from raw materials and processing and facilities. (Records)  Compliance to register of permitted items (Records & Observation)  Challenging of system - FO audits, GMP audits, internal audits , etc. (Records)  Rigour of start-up checks & product changeover protocols (Records & Observation)  Controls for Glass, Hard Plastics, Wood, Metal (Records & Observation)  Reporting & Managing Foreign Object Findings (Records)

CoP – Elimination and Detection Systems Prompts - include but are not limited to:  Risk assessments to determine need for Elimination & Detection Equipment (Records)  Magnets, filters and sieves – frequency of inspection, cleaning and monitoring. (Record & Observation)  Compliance to system checks and frequency of checks at start and end of production run (Records & Observation)  Reporting & Managing Foreign Object Findings from Elimination or Detection Systems (Records)

CoP - Metal Detection & X-ray Prompts – include but are not limited to:  WW Quality Specialist to approve if not implemented (Records)  Functionality, calibration, prestart and frequency of checks & Verification(Records)  Records demonstrating checks completed and evidence of compliance including product disposition (Records) © 2016 Woolworths Ltd. Authorised External Distribution COMMERCIAL IN CONFIDENCE Page 3 of 7

Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards

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Reporting & Managing Foreign Object Findings from Metal Detection & X-Ray Systems (Records)

CoP - VACCP Prompts – include but are not limited to:  Vulnerability assessment conducted for Food Fraud Hazards by multidisciplinary team in accordance with Steps defined in CoP.  Defined Risk rating for each Food Fraud Hazard with control measures identified.  Control measures implemented with responsibility and timeline for implementation documented.  Vulnerability assessment reviewed annually or when new products, processes or other changes impacting Food Fraud.

CoP – Business Continuity Prompts – include but are not limited to:  Risk assessment for man-made events and natural disasters for supply chain interruptions. (Records)  Incident Management and Crisis Management Plan and testing of the plan (Record & Procedure)  Post incident Management (Record)

CoP – Recall & Withdrawal Prompts – include but are not limited to:  Withdrawal & Recall Procedures and Contacts (Procedure)  Mock Recall (Record)

CoP – Claim Validation Prompts – include but are not limited to:  Validation of claims with Supporting documentation (Records)  WW approval for all claims (Records)  Product testing to verify claims (Records)  Traceability and or chain of custody relative to Product Claims (Records)

CoP – Weight, Volume and Count Prompts – include but are not limited to:  Policies and procedures for weight, volume and count (Procedure & Records)  Approval for average weights / AQS systems or NZ requirements (Record)  Check weighers for WWs Branded products and/or specific requirements for beverages (Records & Observation)  Verification Sampling (Records)  Calibration of weighing equipment, start up checks and test weights and packaging tare (Records & Observations)

CoP – Labelling and Coding Prompts – include but are not limited to:  Labelling / Coding & Artwork Approval / Review (Procedure, Records& Observation)  Packaging Receival, Storage, Production Changeovers & Control (Records & Observation)

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Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards



CoP – Microbiological & Chemical Requirements Prompts – include but are not limited to:  Micro & Chemical testing program in line within WWs Specification and category requirements contained in COP and regulatory requirements in Country of Sale. (Records)  Covers pesticides, heavy metals, food additives and contaminates. (Records)  Positive Listeria species test results in product intended for WWs supply notified to WWs (Records)

CoP – High Care & High Risk Prompts – include but are not limited to:  Decision Tree used to define High Care / High Risk Areas of facility (Records)  HACCP Plans identify hazards and controls for HC / HR Areas (Records)  Transfer of Raw Materials, Packaging and Product out including Validations (Records & Observations)  Services, Ventilation, Extraction and Environment Controls (Records & Observations)  Personnel Hygiene, Entry & Exit (Observations)  Cleaning & Sanitation including verification (Observations & Records)

CoP – Overseas Workers Refer directly to CoP requirements and additional report form  If supplier declines to provide evidence of payroll or right to work records – auditor to record in report and Woolworths will follow up.

CoP – Animal Welfare - Australia only – poultry (meat), pork, sheep, beef. Prompts include:  Direct suppliers demonstrate compliance to specific Animal Welfare programs for species as per CoP.  Approved Supplier Program includes compliance to specific Animal Welfare programs for species.  Records of 3rd Party Certificates maintained.

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Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards

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Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards

WW Supplier Excellence Industry Standard Assessment Tools (Select - as applicable to scope of audit)

Industry Standard – Meat – Retail Ready Packing Operations

WW Supplier Excellence - Industry Standard Assessment Tool - Meat Retail Ready Packing Operations - 20160603.docx

Industry Standard – Egg Grading Floors

WW Supplier Excellence - Industry Standard Assessment Tool - Egg Grading Floors - 20160614.docx

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Issue Date: 15/07/2016 Version Number: 05 Document : Audit Template: Codes of Practice & Industry Standards