CODES

Coles Food Manufacturing
Supplier Requirements
March 2017
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Coles Food Manufacturing Supplier Requirements
Contents and Coles Supplier Charter
Contents
Page
Coles Supplier Charter 5

Using the Coles Food Manufacturing Supplier Requirements 7
Risk Classification and Audit Scoring 25
Management and System Controls 33
1 HACCP (Hazard Analysis, Critical and Quality Control Points) 31
2 Threat Analysis and Critical Control Points (TACCP) and Food Defense 40
3 Food Safety and Quality Management System 43
4 Management Controls 46
5 Product Recall, Product Withdrawal, and Incident Management 48
6 Internal Audits 51
7 Customer Complaints 53
8 Approved Supplier Controls 55
9 Protective Clothing and Personal Hygiene 62
10 Training 71
11 Medical Screening 74
12 Casual Employees and Labour Hire Agencies 76
13 Animal Welfare 79
14 Environment 80
15 Ethical Trading 81
Factory and Equipment Controls 87
16 External Site Areas 89
17 Design and Construction of Premises and Equipment 91
18 Storage 100
19 Water Management 102
20 Pest Control 105
21 Maintenance 111
22 Calibration 116
23 Site Hygiene 119
24 Employee Facilities 124
First Issued: February 2014

Current Version: V2 March 2017
3 of 206 © Coles Supermarkets Australia Pty Ltd
Ref: Coles Tech Doc 08.03.02 EXTERNAL
Page
Process and Production Controls 127

25 Process Controls, 129
26 Cleaning Programs 134
27 Chemical Control 140
28 Transport 142
29 Finished Product Specifications 145
30 Product Claims, Product Authenticity and Chain of Custody 147
31 Traceability 150
32 Allergen Control 151
33 Foreign Body Controls 157
34 Foreign Body Detection and Foreign Body Removal Equipment 165
35 Inspection and Analysis 172
36 Product Labelling and Coding 177
37 Weight, Volume and Count Checks 180
38 Product Development and Re‐Formulation 184
Appendices 189
A1 Risk Assessment Guidelines 191
A2 Glossary of Terms 192
A3 CFMSR Version 2 Change Log 198

© Coles Supermarkets Australia Pty Ltd 4 of 206
Coles Supplier Charter

Coles is committed to supporting our merchandise suppliers so that they can grow their business alongside us and continue to deliver great
products for our customers. We recognise the importance of building strong, collaborative and wherever possible, long‐term partnerships with our
merchandise suppliers. To underpin our commitment we have launched the Coles Supplier Charter which sets out what merchandise suppliers can
expect when they work with Coles. It is a formal commitment to deal in good faith with our merchandise suppliers, treating them with respect and
providing greater transparency throughout the relationship.
Coles will conduct all its dealings with merchandise suppliers in accordance with the Coles Supplier Charter. The procedures set out in the Coles
Supplier Charter Framework will be available to all merchandise suppliers in addition to the dispute resolution provisions set out in the current
supply arrangements (including Terms and Conditions for Supply of Goods) with Coles.
1. Commitment to good faith dealings and transparent commercial processes

 We will negotiate in good faith.
 We will conduct transparent and reasonable commercial processes.
2. Commitment to transparent grocery supply agreements

 We will operate within the agreed terms and respect the spirit of each grocery supply agreement and commercial relationship.
 We will ensure all grocery supply agreements are recorded in writing, with clear, unambiguous and concise terms.
 We will make sure all grocery supply agreements are readily accessible by both parties.
3. Commitment to the terms of grocery supply agreements

 We will not vary a grocery supply agreement without supplier consent, unless provided for in the grocery supply agreement.
 We will give reasonable notice of changes to supply arrangements.
4. Commitment to transparency around ranging and de‐listing

 We have developed and shared our Product Ranging and Shelf‐Allocation Principles on our Supplier Portal. We will apply the product
ranging and shelf‐allocation principles without discrimination in favour of own brand products.
 We will provide written notice of ranging criteria for range reviews.
 We will provide reasons for, and reasonable notice of, de‐listing and changes to distribution to all suppliers.
 We will guarantee that ranging and de‐listing decisions are, on request by suppliers, referred to senior managers within Coles for review.
5. Commitment to respect the integrity of suppliers’ businesses

 We will respect every supplier’s intellectual property rights.
 We will ensure that we do not infringe suppliers’ intellectual property rights.
 We will ensure that suppliers’ confidential information is appropriately protected.
6. Commitment to facilitating our trading relationships

 We will pay for goods delivered and accepted in accordance with the relevant grocery supply agreement on time and in full.
 We will resolve payment disputes promptly.
 We will ensure that Coles’ product quality specifications and standards are clear and unambiguous.
 We will ensure that Coles’ labelling and packaging requirements are clear and unambiguous.
7. Commitment to fast‐track, low‐cost supplier dispute resolution framework

 We will provide three alternative procedures for complaint resolution, including:
a) direct referral to the Dispute Resolution Manager; and/or
b) internal review and referral through senior management; and/or
c) referral to an Independent Arbiter.
 We will not disadvantage or treat adversely any supplier who relies, or seeks to rely, on the dispute resolution framework.
The Coles Supplier Charter Framework sets out the process for resolving any disputes arising under the Supplier Charter that merchandise
suppliers may have with Coles. The Framework can be found on the Coles Supplier Portal at Coles Supplier Charter Framework.

Using the Coles
Supplier
Requirements

Using the Coles Supplier Requirements
Compliance with Coles’ Requirements

Coles currently operates certification schemes against a number of different standards, depending on the product category supplied
 All Suppliers of Coles Brand Fresh Products*, all new Coles Brand Suppliers, or Existing Coles Brand Suppliers with a Change of Scope
All Suppliers of Coles Brand Fresh Products*, all new Coles Brand Suppliers, or Existing Coles Brand Suppliers with a Change of Scope
(where new product or packaging types are introduced) are required to be audited against the Coles Food Manufacturing Supplier
Requirements (CFMSR). The CFMSR is Coles own set of requirements, and is audited by Coles representatives. The requirements clearly
set out Coles expectations and industry best practice to produce safe, legal, and compliant products on behalf of Coles. Suppliers
required to be certified against CFMSR will be contacted directly by their Coles Product Technologist
*NOTE: ‘Fresh Products’ includes fish, poultry, meat, dairy, bakery and ‘value added’ fresh produce.
 Existing Coles Brand Suppliers with No Change in Scope.

Existing Australian and New Zealand suppliers of Coles Brand food products in the fresh produce, frozen or grocery categories that have
not changed their product types or packaging technologies will need to demonstrate a 2 part compliance:
o Part 1: 3rd Party External Certification

Coles Brand Suppliers may choose a 3rd Party Certification Standard from those preferred by Coles below. Two different
external industry standards have been selected in order to cover the range of supplier types:
 SQF Code
 The BRC Global Standard for Food
Since Coles Brand Suppliers may have a choice of external standard, the Food Standards Matrix – Manufactured Products may
assist in making a choice of preferred 3rd Party Standard:
Suppliers of Coles Brand food products who are located in Australia and New Zealand must ensure that they are using a Coles
approved Certification Body, and that the auditor is certified under the Coles Auditor Scheme.
o Part 2: Coles’ Additional Requirements of supply

In addition to the audit against the external standard, Coles Brand Suppliers must ensure that they are compliant to the
additional elements as outlined in the Coles Supplier Requirements (CSR). These requirements are designed to enhance our
brand protection program and address known issues/areas of customer concern.
 Existing International Coles Brand Suppliers

International Coles Brand Suppliers that are currently supplying Coles, and their product is not high risk, and does not incorporate claims
(e.g. allergen free) are required to be certified to a Global Food Safety Initiative (GFSI) benchmarked standard. Audits may be conducted
by any Coles Approved International Certification Body.
International suppliers that are currently supplying Coles, and/or their product is high risk, or incorporates claims (e.g. allergen free),
Coles will be transitioning those suppliers to compliance with the Coles Food Manufacturing Supplier Requirements (CFMSR)
Chemical and Microbiological Testing Standard

The Coles Testing Standards have been designed to manage food safety and quality risks for Coles Brand, and now include a minimum testing
frequency. They align with national standards such as the Australia New Zealand Food Standards Code, testing guidelines published by state
regulators such as the NSW Food Authority and Dairy Food Safety Victoria, as well as international guidelines including Codex and the Institute of
Food Science & Technology (IFST). Overall these testing standards help to ensure the continued delivery of industry good practice in accordance
with Coles Brand Supplier requirements.
For convenience, the Testing Standards have been preloaded into Coles Fusion according to product type.
Whilst we believe most suppliers’ existing testing procedures already meet the Coles Testing Standards and testing frequencies, if there are any
additional testing costs incurred to achieve compliance, these will need to be borne by the supplier as part of the supplier’s ongoing food safety
and quality program.

Introduction to the Coles Food Manufacturing Supplier Requirements (CFMSR)

Aim
Coles is committed to ensuring all Coles Brand products produced by our suppliers are safe, meet legal requirements, and are of the agreed
quality. In addition to this, Coles’ suppliers must meet ethical, animal welfare and other industry or applicable requirements.
Objective
The Coles Food Manufacturing Supplier Requirements (CFMSR) clearly sets out our requirements for suppliers. In some instances the CFMSR will
make reference to an external document that is also applicable and details our additional requirements on this subject. Adherence to the CFMSR
does not replace the need for compliance to all relevant legal requirements in Australia and in the country of manufacture. Compliance to the
requirements is in addition to the duty held by the supplier to produce safe and legal food.
A Certificate recognising achievement against the requirements of the CFMSR forms part of the Coles’ Approved Supplier Program, and is not
intended to be used as an approval scheme for other customers of the supplier to Coles.
Scope
The CFMSR is applicable to all direct, sub‐contracted, and indirect food and pet food suppliers of Coles Brand, including transport and storage.
Coles Brand Suppliers are defined as any supplier who provides a product which is manufactured and packed with a brand owned by Coles,
including but not limited to Coles, Coles Red Ribbon, Coles Finest, Coles Butcher, Coles Market Place, Coles Pseudo Brands, etc. This also includes
supply of bulk product which is packaged at store (such as bulk olives which as sold and packaged over the Deli counter) and ingredients / raw
materials for our in‐store bakery or meat rooms.
Where a Coles Brand Supplier is required to comply with additional Coles requirements, surveillance of these additional programs may be included
in the CFMSR audit. These extensions to the audit can include (but is not an exhaustive list):
 RSPCA Chicken and Turkey
 RSPCA Eggs
 Hormone Growth Promotant (HGP) Free Beef
 Coles Responsibly Sourced Seafood / Marine Stewardship Council / Aquaculture Stewardship Council
 Any Coles Brand claims requiring proof of traceability or Chain of Custody.
In the case of processing animals, the scope of the CFMSR begins with and includes the arrival of animals ready for slaughter.
Whole fresh produce is not included in the scope of these requirements.
Definition of a ‘Site’
The whole of the site will be subject to the Coles audit, not just the individual line or processing room to ensure that hazards in different areas are
assessed for their impact on the Coles product lines. Since the supplier may from time to time process on alternate equipment, or add additional
lines, all areas must be assessed.
A ‘site’ consists of all activities at the site, including warehouse space if onsite or adjacent (such as across the road, or accessed from a road at the
rear of the site). Where offsite storage is used and product is sent from the manufacturing site to an offsite warehouse or distribution centre, third
party storage, or sent offsite and brought back for further processing, then the alternate site will be considered as a separate ‘site’ and subject to
its own audit.
Brokers / Agents
Brokers or agents may not undertake any manufacturing, warehousing or distribution of Coles Brand products; however they will still have
responsibilities that are covered by some sections of this document. Typically, the sections of CFMSR that would apply include:
1 HACCP (Hazard Analysis, Critical and Quality Control Points)
2 Threat Analysis and Critical Control Points (TACCP) and Food Defense
3 Food Safety and Quality Management System
4 Management Controls
5 Product Recall, Product Withdrawal, and Incident Management
6 Internal Audits
7 Customer Complaints
8 Approved Supplier Controls
15 Ethical Trading
29 Product Claims, Product Authenticity and Chain of Custody
30 Finished Product Specifications
31 Traceability

Failed or Lapsed External Certifications

Where a supplier loses an external 3rd Party certification (e.g. BRC, SQF, etc.), or the certification lapses, then the supplier must immediately notify
Coles in writing.
Change of Supplier Ownership / Change of Site Location / Additional site

The Coles Quality Team or Product Technologist (PT) shall be notified by the supplier within 14 days if there has been any change in the premises
location, a Coles Brand product is to be manufactured at an additional site (not covered by the current Certification), or a change in business
ownership.
A full audit must be conducted within 6 months unless a Variation is granted by a Coles Product Technologist and authorised by the Coles Supplier
Management Team. Variations will be site specific, and each supplier site will need to seek individual Variation.
Variation Process
In some circumstances a change to the documented requirements ‘Variation’ may be sought by the supplier against some of the criteria contained
in the Coles Food Manufacturing Supplier Requirements. A Variation must be sought from either the Head of Coles or Head of Responsible
Sourcing and Quality where:
 A requirement may not apply to the product type under certain circumstances (e.g. product is supplied to Coles in frozen state for retail
and in thawed state for the Coles Deli counter).
 A seasonal variation is required.
 Emergency conditions prevail for a short period (e.g. flood or bushfire conditions).
A Variation will not be required where the requirement is clearly not applicable to the product type (e.g. temperature control for ambient, shelf
stable products).
Where a Variation is sought, alternate controls may be approved to meet the intent of the requirement. These alternate controls will be reviewed
during a Coles Food Manufacturing Supplier Requirements audit. Variations must be applied for in advance of a CFMSR audit. Where a Variation is
not available on the day of the audit, or the Variation is past review date, the auditor is obliged to indicate that the criteria have not been satisfied.
The site must retain a documented copy of each Variation and ensure that the Variations are current, as Variations will have a review date. The
responsibility for maintaining current Variations is on the supplier.
NOTE: where the supplier claims a Variation against any of the Coles requirements, the onus is upon the supplier to demonstrate that they have a
valid, documented Variation. Copies of email with informal agreements do not constitute a valid Variation.

New Suppliers
New suppliers will be invited onto the audit program by their Product Technologist. Once invited there are several steps to progress through prior
to the certification audit.
New suppliers to Coles will be required to undertake a First Audit of all of the requirements of the CFMSR once they have commenced producing
product for Coles. The Supplier will still need to satisfy basic food safety requirements during the product development phase.
The supplier shall undergo a First and Certification Audit within 3 months of commencing production of Coles Brand products.
Step Phase Activity Requirements Undertaken By

1 Product Development phase Commencement Supplier to read and undertake a gap analysis of their systems Supplier
(no Coles Brand Product and processes against the requirements of CFMSR.
produced)
Pre‐Approval Visit Conduct Pre‐Approval Visit Checklist which includes: Coles Product
1. Demonstration of registration of the food business. Technologist
2. Legally approved Codex Alimentarius based HACCP
System developed and implemented.
3. Coles Facility Hygiene Checklist.
2 Prior to commencement of Training* Undertake 3 day Coles Quality Academy training course in the Supplier
production of Coles Brand understanding of the Supplier Requirements*.
products *Optional
3 Within 3 months of producing First Audit Full audit against the requirements of the CFMSR. Coles Auditor
Coles Brand Product
4 Certification Audit scheduled Certification Audit Full audit against the requirements of the CFMSR. Coles Auditor
based on outcome of the First
Audit
5 1 Year on from Certification Re‐Certification Full Audit against the requirements of the CFMSR, following Coles Auditor
Audit Audit the regular audit cycle based on audit score.
Existing Suppliers
Existing suppliers will be invited onto the audit program by their Product Technologist. Once invited there are several preliminary steps to progress
through prior to the Certification Audit.
Step Phase Activity Requirements Undertaken By

1 Invitation onto the program Commencement Supplier to read and undertake a gap analysis of their systems PT
with a copy of CFMSR supplied and processes against the requirements of CFMSR.
2 Prior to First Audit. Training* Undertake 3 day Coles Quality Academy training course in the Supplier
understanding of the Supplier Requirements*.
*Optional
3 Once CFMSR has been Questionnaire Supplier is sent the Questionnaire by 2nd party audit admin. Supplier
requested. Supplier to complete Pre‐Audit Questionnaire.
4 First audit conducted First Audit Full audit against the requirements of the CFMSR. Coles Auditor
5 Certification Audit scheduled Certification Audit Full audit against the requirements of the CFMSR. Coles Auditor
based on outcome of the First
Audit
6 1 Year on from Certification Re‐Certification Full Audit against the requirements of the CFMSR, following Coles Auditor
Audit. Audit the regular audit cycle based on audit score.

The Arrangement and Configuration of the CFMSR

The Sections and Layout
This document is divided into sections by subject, which are then sub divided further into clauses to help identify the detailed requirements. Food
manufacturing encompasses many different technologies and specific product groups have their own individual risks associated with them.
The controls required to ensure product safety will therefore be different for each product type, depending on a range of factors including
housekeeping, building fabrication, equipment design, etc.
The clauses within each section have been allocated a level of Base, Medium, High, or Aspiration (‘ASPN’). These levels relate to the type of
product, and/or the processing area, which must comply with each clause. These are explained in the ‘Risk Classifications’ section of this
document.
Procedure, Record, and Observation (PRO) Evidence Demonstration

To help identify how the requirements must be met for each element a P, R, or O will be indicated under columns headed Evidence PRO. These
columns indicate whether the requirement is met through:
P = Procedure A documented procedure that has been fully implemented.
R = Record Documented and accurately completed records.
O = Observations Compliance checked through observation.
This avoids the need to qualify each requirement with the comment of “Documented procedures are required” or “Records must be kept” etc.

CFMSR Document Layout Example
Section number and Heading What Good Looks Like

Section numbers and heading indicate the groupings In many sections, examples are given of how a requirement may be met under
of individual criteria under a particular topic. the heading of ‘What Good Looks Like’ (WGLL). This is intended to provide
guidance on current best practice. Due to the variability of the processes and
premises at supplying factories, compliance to ‘WGLL’ may not ensure total
compliance to a requirement. The supplier must determine the most effective
method of complying with Coles’ requirements and be able to demonstrate this
during a Coles’ audit.
Section 12. Process Controls

Evidence
No. Item Level Detail What Good Looks Like
P R O
12.1 Process Control Base P R O Raw materials, work in progress, rework, finished
product, processes, storage, and equipment, when
they are critical to product safety, legality or quality,
must be controlled, monitored, and recorded.
12.2 In‐Process Medium P R O In process product testing must be conducted per
Testing the Coles and / or site requirements, work
instructions / SOPs.
Number & Item Level P/R/O Detail

Number of the Section details in To help identify how the requirements must be Requirement details of
individual criteria of regular font are met for each element a P, R, or O has been the CFMSR, where
the CFMSR. Non‐ requirements of the indicated under columns headed Evidence PRO in compliance is expected.
conformance findings CFMSR, where the Standard, and again indicated in the “Audit The supplier must
are allocated against compliance is Evidence” section of the checklist & report. These determine the most
these numbers expected. The columns indicate whether the requirement is met effective method of
supplier must through: complying with Coles’
Item describes the requirements and be able
determine the most
subject heading for P = Procedure to demonstrate this
effective method of
the requirement. A documented procedure that has been fully during a Coles’ audit.
complying with Coles’
implemented.
requirements and be
able to demonstrate R = Record
this during a Coles’ Documented and accurately completed records.
audit.
O = Observations
Compliance checked through observation.

Training and Feedback

A representative of the supplier can attend a Coles Quality Academy CFMSR training course. Any enquiries on training schedules or the availability
of training or feedback on the CFMSR can be directed to the CQA Website www.colesqualityacademy.saiglobal.com.
Glossary of Terms
A Glossary of Terms has been provided at the rear of the document to aid understanding of the terminology used in this document.
Coles Document References

The CFMSR contains references to various Coles Brand Charters, Policies and Requirements. These are available to Coles Brand Suppliers through
the web‐based software tool ‘Coles Fusion’. Coles Fusion will help to manage information about your Coles Brand product from creation to
completion.
Coles Fusion replaces our previous ColesPLUS system, and is a one‐stop shop for essential information such as Coles Brand policies and technical
guides, Product Specifications, and the management of the supplier base, including certification and audits.
Coles Brand Suppliers can access the Coles Fusion website at www.colesfusion.com.au. To access your login information, please email
colesfusionsupport@msacsolutions.com or phone the Coles Fusion Help Desk on +61 3 5261 8580.
Online training guides are available at www.colesfusion.lms.msacsolutions.com.
For queries or further information, please contact your Coles Brand Product Technologist.

Auditing of the CFMSR

General Requirements
Coles reserves the right to undertake regular audits against this document (at sites manufacturing, packing, storing, or transporting Coles Brand
products), and will determine the degree of compliance to each section. Information on the Coles audit process can be found on the Coles Supplier
Portal or from a Coles Brand Manager / Technical Manager (CBM / PT).
Audits will apply to the whole supplier site, though the review of HACCP Plans and the Product Traceability exercise will be confined to Coles Brand
products (if available). Audits should ideally be undertaken when manufacturing is being conducted and when Coles products are being produced.
Where this is not possible, the products similar to Coles’ products must be in production during the audit.
Audit Types
There are several different audit types, with different audit outcomes:
Audit Type Audit Outcome

The Pre‐Approval Visit reviews the basic food safety information and hygiene controls that are expected of a supplier to
Pre‐Approval Visit
continue to progress product development conducted by the PT and/or SMT.
A First Audit is to establish a baseline against the requirements of the CFMSR. A second party Coles approved CFMSR
auditor will conduct the First Audit.
First Audit Non‐Conformances can still be raised against areas of CFMSR that are not met; and evidence of corrective action is still
required by the supplier.
Scoring is not applied for this first audit.
A Certification Audit is conducted against the requirements of the CFMSR. A second party Coles approved CFMSR auditor
will conduct the Certification Audit.
Certification Audit
Non‐Conformances are raised against areas of CFMSR that are not met, and evidence of corrective action is required by
the supplier prior to the issue of certification.
Re‐Certification Audits are conducted once the supplier site is certified, according to the frequency dictated by the Audit
Score.
A second party Coles approved CFMSR auditor will conduct the Re‐Certification Audit.
Re‐Certification
Audits Non‐Conformances are raised against areas of CFMSR that are not met, and evidence of corrective action is required by
the supplier prior to the re‐issue of certification.
Re‐Certification Audits will use the Audit Score system to help measure the performance, improvement, and approval
status of the suppler.

Audit Frequencies
Pre‐Approval Visit
The Pre‐Approval Visit can be undertaken at any stage during the product development phase; however the Pre‐Approval Visit must be undertaken
before the supplier is allowed to produce Coles Brand products destined for stores.
Where issues identified in the Pre‐Approval Visit have prevented progression to a Certification Approval Audit, further Pre‐Approval Visits may be
required until the basic food safety requirements have been demonstrated.
First Audit
A First Audit is the initial audit against all requirements of the CFMSR. The audit will be conducted according to the regular audit methodology;
with non‐conformances issued (if applicable). The Audit report will be produced as normal.
Certification Audit
A Certification Audit is against all requirements of the CFMSR. The audit will be conducted according to the regular audit methodology.
The audit will scored using the Blue, Green, Amber, Red rating system. See below for details.
Once the Certification Audit is completed, a Re‐Certification Audit date can be set; and the date must be no later than 12 months from the date of
the Certification Audit.
Re‐Certification Audits
Re‐Certification Audits are conducted no later than 12 months from the date of the Certification Audit, or sooner depending on the frequency
dictated by the audit score below:
Score Due date for next audit.

Blue No later than 12 months from previous audit
Green No later than 12 months from previous audit
First Amber No later than 12 months from previous audit for first Amber rating.
Second Successive Amber No later than 6 months from previous audit date for second successive Amber rating*.
Red No later than 3 months from previous audit*.
Red with Critical Non Conformances No later than 3 months from previous audit* or earlier if requested by the PT.
*Seasonal suppliers will be audited at the next seasonal supply.
For multi‐line seasonal products (such as canneries or frozen vegetables) that run throughout the year with different seasonal product types, then
subsequent audits should be staggered up to 3 months earlier or later than the guidelines shown above to ensure different products, preparation
areas and techniques are sampled at each audit.
The Coles Supplier Management Team will approve any extensions to the audit due dates.
‘Once Off’ Suppliers

Some suppliers only supply product into Coles as a ‘Once Off’ production run. The Coles PT must attend the production of ‘Once Off’ suppliers and
conduct a Pre‐Approval Visit only.
Where the manufacturing and packaging are conducted at separate intervals (e.g. pressing olive oil and then packaging some months later), then
the visits must be scheduled to cover each key activity.
Should additional business be awarded to the supplier, a full Certification Audit must be undertaken during the time of production of the Coles
Brand Product and no later than 12 months from the Pre‐Approval Visit.

Audit Durations
Audit durations may vary depending on the type of audit and the numbers of Coles’ Brand products and HACCP Plans that require review. These
are explained in the text and tables below. The audit durations specified in this document are typical auditor hours. Where a team of auditors is
used, the total audit duration time will be divided between active members of the team (not observers) to shorten the amount of onsite time,
whilst still fulfilling the actual contact time.
The duration of the certification audit is based on several risk factors including:
 The size of the facility
 The numbers of employees
 The numbers of processes and process plans (such as numbers of HACCP Plans)
 The product risk category
Typically, the audits will require the following durations:
Audit Type Duration

Pre‐Approval 1 day
First Audit 3 days
Certification Audit 3 days
Audit duration will be made up of a minimum of 70% of the time allocated spent within the manufacturing, storage, and maintenance areas.
Follow‐Up Audit Duration

Follow‐up audit duration will be assessed on a case‐by‐case basis depending on the nature and number of non‐conformances, and the type and
nature of actions and evidence required to close out the non‐conformance.

Audit Methodologies
Pre‐Approval Visit Methodology (Pre‐Approval Visits Only)
The audit will normally be conducted by the Product Technologist responsible for the supplier using the following approach, using the Pre‐Approval
Visit checklist which contains:
1. HACCP Plan Review – The auditor will review the process flows, hazard analysis and Critical Control and Quality Control Points prior to
stepping into the production and storage areas of the site.
2. Site and Prerequisite Program Review – The auditor will undertake an extensive site review, physically following the processes and
production, supporting programs, and assessing the infrastructure of the site. Typically the site review will be 70% of the entire time
spent at the supplier site.
First Audits, Certification and Re‐Certification Audit Methodology

The audit will be conducted using the following approach, using the CFMSR auditor checklist:
1. Opening Meeting – An opening meeting conducted with the key personnel at the site including the most senior personnel.
2. Review of Previous Audit Findings – A review of the findings of the previous audit will be discussed, since further corrective actions may
have been implemented on findings from the last audit.
3. HACCP Plan Review – The auditor will review the process flows, hazard analysis and critical control and quality control points prior to
stepping into the production and storage areas of the site.
4. Traceability exercise – The auditor will initiate a traceability exercise on day 1, using a product sample of their choosing. The supplier will
need to trace a specific batch of a food through all stages of receipt, storage, production, processing, rework, product destruction,
normal percentage of product loss, and distribution. The traceability includes any food‐producing animal, raw ingredient, or packaging
that is expected to be incorporated into the batch.
The traceability audit shall be conducted within 4 hours.
NOTE: Where the site manufactures a Coles product that contains a product claim (e.g. Identity preserved, HGP Free, Sow stall free etc.),
the auditor shall select a product with a label claim by preference.
5. Site Review – The auditor will undertake an extensive site review, physically following the processes and the production of Coles Brand
products, supporting programs, and assessing the infrastructure of the site. The site review will be a minimum of 70% of the entire time
spent at the supplier site.
The site review shall include a review of the:
a. Implementation of corrective actions from previous audits
b. Cleaning and sanitation activities
c. Pre‐operational inspections
d. Monitoring of CCPs / QCPs.
e. Factory documentation, instructions, records, etc.
The site review must review the cleaning and sanitation activities, and the pre‐operational activities of the site for the Coles Brand
product that is to be run. In some instances this activity may happen overnight or early in the morning, and the auditor will need to be
onsite in attendance to observe these activities. If potential critical non‐conformances are detected during the audit the auditor will
contact the PT to agree the next steps and bring to the attention of site.
6. Review of the Traceability Exercise (forward trace) ‐ The auditor will review all of the records that have been collected during the course
of the audit for the traceability exercise and conduct a mass balance of the finished product of the production batch selected.
7. Undertake and review Mass Balance exercise – The auditor will initiate a mass balance exercise using a single component ingredient
sample of their choosing (from the traceability exercise sample). The supplier will reconcile the quantities received of that batch against
the quantities used, destroyed and remain in inventory and consistent with the normal percentage of production loss.
8. Review Requirements of CFMSR – The auditor will review any information to establish compliance with the CFMSR not already covered
during the traceability and mass balance exercises and site review.
9. Closing Meeting – Review of findings and classifications conducted with the key personnel at the site including the most senior personnel
and leave Non Compliances (if any have been raised).

Audit Score
Auditing Reporting
Findings arising during the audit shall be categorised as:
Category Definition
A failure to meet a food safety standard, a legal standard, or a direct product contamination, where this failure puts
the customer and / or Coles Brand integrity at risk. Critical non‐conformances are raised where a failure to meet a
food safety standard, a legal standard, or a direct product contamination issue has occurred.
Should a Critical non‐conformance arise during an audit, the audit will be temporarily halted so the supplier can be
immediately informed. The auditor will also immediately undertake the following, before recommencing the audit
Critical activity:
1. The auditor will notify the Supplier Management Team.
2. The member of the Supplier Management Team will contact the Coles CBM / PT
3. The Coles CBM / PT will contact the supplier to determine actions.
A Critical non‐conformance will need to be closed by a Coles PT prior to Coles production recommencing, or any
product produced being allowed to leave the site.
A deficiency which requires prompt attention to prevent a potential food safety failure, quality, or legal issue from
Major arising; where this failure may potentially put customers or the Coles Brand integrity at risk.
Several minor issues within a section of the CFMSR indicating that there is a systemic issue.
A deficiency that requires attention to improve standards of Good Manufacturing Practice, due diligence
Minor
documentation (Coles ability to defend a legal challenge) or to achieve compliance with CFMSR.
An area where compliance is demonstrated, though improvement opportunities exist to achieve industry best
Recommendation
practice. Recommendations are generally not followed up at subsequent audits.
What Good Looks Like Findings of the audit where ‘best practice’ is being demonstrated and is recognised as such in the report. WGLL
(WGLL) findings do not require action, and are not followed up at subsequent audits.
NOTE: In some cases the auditor may detect an issue that does not relate to a Coles Brand product, or is outside of the scope of the CFMSR. In
these instances the finding shall still be documented in the audit report, but not as a non‐conformance and it will be up to the supplier to
take their own action. These issues will not be followed up at the next CFMSR audit.
Certification and Re‐Certification Audit Score

First and Certification Audit non‐conformance numbers are added up and an overall audit score is determined according to the table below:
Score Critical Major Minor Cumulative Non‐Conformance Combinations

Blue status is only awarded where the audit scope includes all applicable
Blue 0 0 0 ‐ 10
elements of the CFMSR standard.
Green 0 0 11 ‐ 20
Can be a combination of majors and minors for a total of not more than 40 non‐
Amber 0 1–4 21 – 40
conformances.
Any Critical non‐conformance raised and / or a combination of 41 majors and/or
Red 1 or more 5 or more 41 or more
minor non‐conformances.
Note: Pre‐Approval Audits are not scored.
Non‐Conformance Consolidation
In some circumstances individual non‐conformances may be consolidated into one top level non‐conformance. Where several non‐conformances
are consolidated together they must be consolidated into one non‐conformance in the category above to avoid artificially influencing the audit
score. For example, failure to satisfy 4 or 5 individual requirements within Pest Control can be aggregated as one single major non‐conformance
against Pest Control.

Audit Outcome
The audit score will dictate the ‘Certification Status’, and the status of the supplier in Coles Fusion. The Audit Outcome shall be documented on the
final report.
Score Certified Status* Certified Status Actions

Blue Approved*
Green Approved*
Amber Approved* May result in a restriction on supply (e.g. no new product launches until all issues closed‐out).
Red Not Approved May result in a suspension of trade and / or a restriction on supply until all issues closed‐out.
* Once non‐conformances have been closed.

Audit Follow‐Up and Non‐Conformance Close‐Out

Audit Non‐Conformances
The supplier’s corrective action plan shall be returned in writing and be reviewed by the Coles Auditor to determine whether the plans for action
are satisfactory to meet the requirement. The corrective action plan may include temporary measures as well as long‐term measures to be
undertaken by the supplier.
Uploading Evidence of Non Conformance Action

An audit report will be available on Coles Fusion (www.colesfusion.com.au) once the audit has been approved by Coles, and a confirmation email
will be sent from Coles Fusion when this is available with a link to access the audit. Evidence to address each audit Non‐Conformance can be
uploaded to Coles Fusion using the ‘Issues’ tab within the ‘Site Audits & Visits’. Do not send evidence of close‐out directly to the auditor or to
Coles.
Once all non‐conformances have been addressed, the supplier must set the audit as ‘Awaiting Signoff’ in order for the evidence to become visible
to Coles for review.
Timeframes for Non‐Conformance Closure

Coles requires that the suppliers adhere to the following timeframes:
Non‐Conformance
Close‐Out Requirements Close‐Out Timeframes
Type
Close out timeframes and
potential suspension of trade
If a Critical non‐conformance is raised during an audit, the Coles Quality Team and CBM
CRITICAL will be determined by the Coles
/ PT will be advised immediately by the auditor, while the auditor is still on site.
Quality Team in conjunction
with the relevant CBM / PT.
To attain Coles’ certification any MAJOR non‐conformance shall be downgraded or
closed out within 14 days of the audit date.
MAJOR 14 Days
Suspension of trade may be initiated if Major non‐conformances are not addressed
within the 14 days.
To attain Coles’ certification, Minor non‐conformances shall be closed out within 30
MINOR 30 days
days from the date of the audit.
IMPORTANT: To ensure timely agreement and close‐out of audit non‐conformances, the supplier should supply evidence and action as soon as
possible after the audit and no later than 30 days after the audit date.
NOTE: Certification under the Coles Supplier Approval Program will only be granted when all non‐conformances raised against the CFMSR
have been closed out.
Rejection of Corrective Action Plans

In some cases the suppliers proposed corrective action will not effectively resolve the issue. This may be because:
a. only short term actions have been identified, without a long term action to prevent the issue occurring again, or
b. the timeframe to implement the actions is unacceptable
c. the solution is not acceptable (e.g. over‐sticker of use‐by dates).
Where a Corrective Action plan is deemed unsatisfactory, it shall be rejected back to the supplier to propose their actions once again. The supplier
will have an opportunity to respond a second time.
Should the second response also be unacceptable, the supplier shall be advised that their certification is suspended.
Confirmation of Implementation of Action Plans

In some cases the longer term action my take some time to implement (for example the purchase and installation of a new date coding machine).
In cases where long term action may take some time to implement, verification of the close out can be given provided the short term (or ‘work‐
around’) solution has been implemented. Objective action must still be supplied for long‐term actions (e.g. copies of purchase orders for new
equipment). The completion of the long‐term action can be verified at the next routine audit.

Guidance on Closing Non‐Conformances

When addressing and closing Non Conformances, the supplier will need to consider the Immediate, Corrective and Preventive Actions that may all
be required to quickly restore control and ensure that the problem is managed until a long term solution can be found.
When completing Non Conformances, consider the following example below when determining a comprehensive response, allowing Coles to know
what steps you have taken thus far, and what else is planned to address the issue.
Supplier to Complete:
Auditor to Complete
Step 1 Step 2
Objective Evidence
NC CFMSR attached
Type Non Conformance Proposed Corrective Action Details By When
No. Ref: (include FILE NAME/
PHOTOS etc.)
Major 1 17.3 Water is pooling under the filling Immediate Actions: Completed on 1. Photo attached: Mould
machine, and is not being routinely 1. Deep clean has been undertaken to day of audit cleared from under Filler B
cleared away allowing for the remove black mould. 21 Apr 15
development of black mould.
Corrective Actions (based on risk analysis): Immediate 2. Photo attached: Squeegee
start, to be and cleaning station 23
1. Water to be squeegeed away at every complete by Apr 15
break and product changeover. end April 3. Copy of ‘Pooled Water
2. Dedicated squeegee has been purchased Clearing’ Procedure.
with stand for the area 4. Copy of training register
3. Procedure has been written to describe attached showing training
the methods and frequencies for in ‘Pooled Water Clearing’
removing the water. Procedure.
4. Staff have been trained in the procedure. 5. Copy of completed
5. Supervisors to check pooling and has Product Changeover
been added to product changeover Record.
checklist 6. Copy of completed GMP
6. Check added to GMP Checklist. Checklist
Longer Term Preventive Actions: By January 1. Copy of Engineering
1. Engineering request has been raised to Start‐ up Request and Quote for
move machine during End of Year and relaying floor.
relay floor to prevent pooling. 2. Copy of Engineering
2. New flow drain to be installed to collect Request and Quote for
water from main filler drain drain.
Certificate Issue
The following table indicates when a certificate can be issued:
Audit Type Score Audit Outcome and Coles Certification Status

Pre‐Approval Visit Not Scored No Certificate issued
First Audit Score recorded No Certificate issued
If the numbers for audit non‐conformance fall into the Blue, Green or Amber Status, then a Coles
Certificate can be issued once the non‐conformances have been closed.
Certification Audit Score recorded
If the numbers for audit non‐conformance fall into the Red Status, then no Coles CFMSR Certificate
is issued, and the Supplier can be classified as ‘Not Approved’.
If the numbers for audit non‐conformance fall into the Blue, Green or Amber Status, then
certification can continue, or a new Coles Certificate can be issued (if expired) once the non‐
Re‐Certification conformances have been closed.
Score recorded
Audits
If the numbers for audit non‐conformance fall into the Red Status, then no new Certificate will be
issued.

Appeals
The supplier has the right to appeal any of the audit decisions. This must be communicated in writing to the Coles Supplier Management Team and
CBM in the first instance within 7 calendar days of the audit. The Coles SMT will respond in writing to the findings within 7 days of receipt of the
appeal.
Should the supplier wish to further escalate the appeal for further investigation, then the supplier may address the Coles Head of Responsible
Sourcing and Quality in writing at Coles.QC@coles.com.au. This investigation will be independent of the opinions of the PT and the auditor, and
may include the option to re‐audit at Coles expense, however if the original Coles decision is upheld, then costs associated with the re‐audit will be
borne by the supplier. A written response will be provided to the supplier within 30 calendar days from receipt of the escalated appeal.

Risk
Classifications

Risk Classifications
Food manufacturing encompasses many different technologies and specific product groups have their own individual risks associated with them. It
may even be the case that different suppliers manufacturing the same product use different equipment to produce the same result, though
because of the differences the risks may also be different. In addition, this document cannot account for every risk type per industry, e.g. the risks
associated with short shelf life ready‐to‐eat chilled foods, will be significantly different to those associated with uncooked rice grains or canned
tuna. This document therefore cannot be considered an exhaustive list of the risks and controls required by each facility, and each supplier will
need to determine through their own risk analysis whether additional controls are required outside of those specified here.
The controls required to ensure food safety will therefore be different for each product type, depending on a range of factors including personal
hygiene, building fabrication, equipment design, etc.
The CFMSR details Coles’ requirements for all types of food manufacturing including the packing of food. It is divided into 38 sections and these
are sub‐divided into individual elements (all uniquely numbered).
To ensure that our requirements for some sectors of the industry (e.g. ready‐to‐eat chilled foods) are not overly burden other sectors, each
element of the CFMSR has been given one of four classifications i.e. Base, Medium, High, and Aspiration. The first 3 classifications relate to areas of
a site and the controls required in these areas. These must not be confused with common food industry terminology e.g. Base must not be used to
describe ‘Low Risk.’ The requirements detailed for both Base and Medium may well apply in a Low Risk Environment (refer to Glossary of Terms).
Risk Assessment
Several elements of the CFMSR allow the supplier to undertake a risk assessment to determine the level of compliance and control. Guidance on
the method of risk assessment expected is given in the Appendices.
Base
Base areas are those where the raw materials, packaging, and finished products are handled and / or stored as fully enclosed or packaged. These
requirements apply to all manufacturing / packing sites irrespective of the product or process. If specific parts of the site are operated at Medium
or High standards, these areas must also comply with all of the Base requirements.
Example: An ingredients warehouse (ambient or temperature controlled) is likely to be a Base area. The ingredients are sealed from contaminants.
Medium
Medium requirements shall be applicable to products that support the growth of microorganisms but a further kill step is applied by the consumer
such as raw meat and poultry, or for products which do not support the growth of pathogens either due to pH control or water activity.
These requirements specifically apply to areas of the site where food is OPEN or EXPOSED to contamination, therefore increasing the risk in these
areas. Associated areas or processes e.g. utensil washing / storage, de‐boxing, handling food contact packaging, equipment used for filling
containers, etc. shall also be considered Medium areas except for fresh produce (e.g. tomatoes in open bins that will be subject to washing or
further processing).
The elements classified as Medium shall be applicable in addition to all relevant Base requirements.
Example 1: The manufacture of plain biscuits.
Example 2: The area used for cutting and packing of fresh meat is Medium. This shall be from the point of entry to the butchery / packing
area, to the point where the chilled products are fully sealed (packaged), and labelled.
Example 3: The production line for a bakery is likely to be Medium. This shall be from the point where ingredients are opened, sieved, mixed,
proofed, and baked, to the point where it is packaged and labelled.
Example 4: The onsite manufacture or assembly of primary packaging (e.g. blow moulded bottles) that will be used to directly contain
product that does not support the growth of pathogens is Medium.
High
These requirements apply to all areas that are identified as handling or processing high‐care products (potentially hazardous foods). High areas
must be physically segregated e.g. by a dividing wall, from Medium and Base areas.
The elements classified as High shall be applicable, in addition to the relevant Base and Medium requirements. The risk in this area is higher than
that in the Base and Medium area, for example the product may support the growth of pathogenic bacteria and may be provided to the consumer
as a ready‐to‐eat item.
Where a machine is fully enclosed (e.g. filling machine) and the machine is designated as the High area and the room is not, then the machine must
be brought up to high status again when opened.
Example 1: The assembly and packaging of chilled ready‐to‐heat foods is High (such as pizza with topping).
Example 2: The preparation and packing of chilled ready‐to‐eat sandwiches is High.
Example 3: The onsite manufacture or assembly of primary packaging (e.g. blow moulded bottles) that will be used to directly contain
product that can support the growth of pathogens is High.

Aspiration (ASPN)
Some sections have addition elements (Aspiration ‐ ASPN), which Coles believe will help move standards forward within the food supply base.
These are not prescribed requirements but it must be noted that Aspiration elements may potentially become requirements in future versions of
the CFMSR.
What Good Looks Like

In many sections, examples are given of how a requirement may be met under the heading of ‘What Good Looks Like’ (WGLL). This is intended to
provide guidance on current best practice. Due to the variability of the processes and premises at supplying factories, compliance to ‘WGLL’ may
not ensure total compliance to a requirement. The supplier must determine the most effective method of complying with Coles’ requirements and
be able to demonstrate this during a Coles’ audit.
Base, Medium, High Areas – In Combination at a Site

Base, Medium, and High classifications represent the level of control required to effectively manage the risk at each stage in the process or type of
production environment. These therefore reflect the risk presented to the raw materials, work in progress, or finished products from associated
hazards e.g. foreign body contamination or microbiological contamination or allergen contamination (possibly originating from personnel,
manufacturing equipment, unprocessed raw materials, or the building fabrication.
Factories that contain Medium or High areas must not be thought of as a ‘Medium’ or ‘High’ sites. It is more appropriate to consider that a site
may have Base, Medium, and High areas and that the product risk and controls required, will be different in each area.
Example of a site layout for chilled ready‐to‐eat products:
Base Area Medium Area High Area

Base Area
Raw Material and Packaging Open / Exposed Food Area Product Assembly
Despatch Area
Storage Areas E.g. Preparation area E.g. Mixing, filling, packing
1 2 3 4
1. If, for example, raw materials (food and packaging) are delivered to the site in sealed boxes, then the risk of cross contamination in the
warehouse is minimal. As this area is still part of the food site, basic controls such as protecting the materials from weather damage or pest
activity are clearly important. This area would be considered a Base area.
2. If, for example, some of these materials are moved into the 1st phase of the production area and boxes or bags are opened to expose the raw
materials (possibly chopping, mixing, or other activities take place in this area), this area would be considered a Medium area as the food
materials are exposed.
3. The next stage may be the transfer of the materials into a High area production area, for assembly into the ready‐to‐heat meal, sandwich etc.
In this area it is important that the materials are protected from cross contamination with pathogenic bacteria, as the food will support
bacterial growth and is ready to eat. This area would be classified as High.
4. The food product may be packed (sealed) and then transferred from the High area to the despatch area. As the food is again protected from
contamination, this area would be considered as Base.
NOTE: If a site operates a Base and High area divide (as above), this may include both Base and Medium controls i.e. it is not expected or required
that sites use the term Medium to describe parts of their site. Medium just describes the level of control required.

Medium, High Area Decision Tree

All supplier sites will incorporate a minimum of Base areas, and will need to comply with all of the Base requirements of this document. The
decision tree below can be used to help identify the areas of the site that may be listed as Medium or High in addition to the Base area
requirements.
All sites start with Base
Area Requirements
Are the products or ingredients

within the area open to the
environment (e.g. not Base Area
packaged, not enclosed in tanks No
or contained in pipework)?
Yes
Is the product ready to eat,

chilled or frozen? This includes Medium Area
products that are likely to be
eaten without adequate No (Raw products)
cooking e.g. pizza toppings)
Yes
Can the product support Could the finished product be

contaminated by raw foods
the growth of pathogenic Medium Area
(raw foods include raw milk,
bacteria (e.g. Salmonella, No (Processed products)
raw meat and poultry, raw No
E.Coli, Listeria)* nuts, raw cocoa)?
Yes Yes
Medium Area
(Processed products with further controls, or
rely on on‐pack instructions, pH aw, etc.)
Has the product undergone

full cooking, equivalent to High Area
70°C for 2 minutes (prior to
Yes (Processed product)
entering the High Area?
No
High Area *NOTE: Items that are ready to eat when thawed (e.g. éclairs) or can be eaten without
(Unprocessed product further preparation (e.g. quiche) should be considered.

Management and
System Controls

© Coles Supermarkets Australia Pty Ltd
31 of 206
Management and System Controls
Section 1. HACCP (Hazard Analysis, Critical and Quality Control Points)

The HACCP Management Program is independently audited and certified by a JAS‐ANZ Certification Body approved by Coles and international
suppliers v tab IAF accredited member.
Evidence
P R O
1.1 HACCP Plan Base P R An effective, accurate HACCP Plan must be in place.
The HACCP Plan must be developed using Codex
Alimentarius HACCP principles with reference to
relevant legislation, Codes of Practice, and industry
guidance and must be followed for food safety and
quality.
The HACCP Plan must include a detailed scope
referencing elements of sections 1.1‐1.8, 1.10, 1.16‐
1.18.
1.2 HACCP Team Base P R The HACCP system must be developed by a multi‐ Members of The HACCP Team
disciplinary team which must have product specific include, but are not limited to
knowledge and expertise. the:
If internal expertise is not available, expert advice  Production Manager
shall be obtained from other sources. The operation  Quality Manager
of the HACCP system must remain the responsibility  Purchasing Manager
of the site.  Warehouse Manager
The team includes members from at least the  Maintenance /
following disciplines (not an exhaustive list): Engineering Manager, and
 Technical (food science / technology / quality)  Production Floor Leading
 Production (what happens on site) Hands.
 Maintenance (equipment functionality)
 With support from Product Development,
Purchasing, Distribution, etc. as appropriate.
NOTE: Where an external consultant is used to
prepare the HACCP Plan, a multi‐
disciplinary team shall still be established
to contribute to the plan.
1.2.1 Initial Training Base R The HACCP Team Leader shall have successfully
– HACCP completed formal training in HACCP Principles and
Team Leader Application (of no less than 16 hours duration)
delivered in a class‐room environment (i.e. not
internet based). HACCP training may be conducted by
internal or external training providers as long as it is
conducted by an RTO or TPECS training body or
certified trainer (e.g. Cert IV Training and
Development) and evidence of training is provided. A
Statement of Competency must be attained to
confirm successful completion of the training.
NOTE: 1 Where an external consultant is used to
prepare the HACCP Plan:
 A member of the supplier’s own staff
shall still be appointed as the HACCP
Team Leader.
 Members of the supplier’s own staff
shall still be appointed as HACCP
Team Members.
 The supplier’s own HACCP Team

Evidence
P R O
Leader and HACCP Team shall still
undertake formal HACCP Training.
 The external consultant has received
formal HACCP training and evidence
of their qualification is maintained on
file.
NOTE 2: RTO with online or delivered course with
Nationally Recognised competency
FDFFS2001A or international equivalent.
International requirements may differ and
it cannot be assumed that other programs
are equivalent until the supplier has
undertaken a gap assessment has been
made against the RTO training course
requirements.
1.2.2 Refresher Base R Refresher training of the HACCP Team Leader must
Training – be undertaken every 3 years, regardless of any
HACCP Team change in production processes.
Leader
1.2.3 Initial HACCP Base R HACCP Team members must be suitably trained at an
Training – ASPN intermediate level training consisting of a 2‐day
HACCP Team training course with a mandatory examination at the
Members end.
1.2.4 Refresher Base R Members of the HACCP Team shall undergo annual
Training – internal training in HACCP (e.g. Train‐the‐Trainer).
HACCP Team
Members
1.2.5 Refresher Base R Refresher training of the HACCP team must be
Training – ASPN undertaken every 3 years, regardless of any change
HACCP Team in production processes.
Members
1.3 Pre‐requisite Base P R Pre‐requisite programs including all environmental
Programs and operational controls that are necessary to
produce safe and legal food products must be in
place. These must cover good manufacturing
practices throughout the site and may include (not
an exhaustive list):
 Personal Hygiene
 Staff Training
 Pest Control Program
 Cleaning procedures
 Glass, Brittle/ Hard Plastic, and Ceramic Control
 Waste Control
 Maintenance procedures
 Allergen Controls
 Foreign Body Control
 Supplier Approval Program
 Internal Audit Program.
The control measures and monitoring procedures for
the pre‐requisite programs must be clearly identified

Evidence
P R O
and documented.
1.4 Base, Base P R O The supplier shall undertake an assessment against
Medium, High the ‘Arrangements and Configuration’ section of the
Area CFMSR to determine the Base, Medium, and High
Categories areas of the facility.
1.5 Facility Map Base R The supplier shall include a facility diagram showing:
 Site boundaries and access points
 Site buildings and access points
 Vehicle and pedestrian traffic flows
 The flow of products through the facility
 The nomination of areas as Base, Medium, or
High.
1.6 Product Base P R A full description of the product must be The information is clearly
Description documented including relevant safety information documented within the scope
e.g.: of the HACCP Plan.
 Composition
 Origin of ingredients (can be documented in the
HACCP Plan Hazard Analysis or Raw Material
Approval Process)
 Physical or chemical structure of product (e.g.
water activity, pH etc.)
 Treatment and processing (e.g. heating,
freezing, salting, etc.)
 Packaging (e.g. modified atmosphere, vacuum,
etc.)
 Storage and distribution conditions (e.g. with
specified temperatures)
 Shelf‐life
 Instructions for use.
1.7 Intended Use Base P R The intended use of the product must be defined, The information is clearly
detailing the end user or consumer, and suitability documented within the scope
for vulnerable groups must be considered (e.g. of the HACCP Plan.
Infants, elderly, and allergy sufferers and the
immune compromised).
1.8 Flow Diagram Base P R A flow diagram shall be in place covering all steps in Where different products share
the operation including all inputs and outputs and common equipment, separate
where these are used e.g.: flow diagrams should be
 Water developed for the separate
 Ice products (e.g. milk, flavoured
 Steam milk and juice all using the
 Primary and secondary packaging (e.g. labels, same equipment should have
tape, glue, pallets, slip sheets, pallet wraps, separate flow diagrams).
inkjet ink, etc.)
 Modified atmosphere gas
 Processing aids (e.g. pan release spray)
 Waste, etc.
1.8.1 Flow Diagram Base P R The flow diagram must be verified within the
production area.
1.8.2 Flow Diagram Base P R The CCPs and QCPs along with the CCP/ QCP Critical The CCP Critical Limit

Evidence
P R O
Limits are listed on the flow diagram for reference. parameters are summarised on
the flow diagram.
1.8.3 Flow Diagram High P R Flow diagrams clearly identify where physical
barriers between High, Medium and Base areas
exist in the process.
1.9 Hazards Base P R All potential hazards that may be reasonably When documenting the hazard
expected to occur for each process step and product assessment, consideration shall
must be identified including: be given to the country of
 Chemical hazards origin for ingredients and
 Physical hazards processing aids.
 Microbiological hazards
 Allergen hazards
 Quality defects.
Ingredients, packaging, and processing aids shall be
assessed as part of the hazard analysis.
NOTE: Ingredients, packaging, and processing
aids can be assessed as part of the raw
material approval program if
microbiological, chemical, physical, and
allergens have been considered.
NOTE: Quality defects can be documented in a
separate plan where the supplier prefers
to keep food safety and quality issues in
separate studies.
1.9.1 Hazards Base P R Hazards identified must be specific to the process
step, generic descriptions such as ‘foreign body’ and
‘micro‐organisms’ are not sufficient unless
regulatory authority (e.g. DAWR) requires generic
descriptions.
1.10 Food Safety Base P R The HACCP team must conduct a hazard analysis to
Hazard identify hazards that need to be prevented,
Analysis eliminated, or reduced to acceptable levels.
The hazard analysis must include:
 Likely occurrence and severity
 Survival or multiplication of micro‐organisms
 Presence or production of toxins, chemicals,
foreign bodies, and allergens
 Potential for adulteration / deliberate
contamination.
1.11 Quality Defect Base P R The HACCP team must conduct an analysis to
Analysis identify food quality defects that need to be
prevented, eliminated, or reduced to acceptable
levels.
The defect analysis must include:
 Issues that could lead to product damage,
defect, or downgrade
 Likely occurrence and severity.
1.12 Control Base P R The HACCP team must assess whether an existing
Measures pre‐requisite program adequately controls the

Evidence
P R O
hazard identified.
The HACCP team must also consider what control
measures (if any exist) for the remaining hazards can
be applied to prevent, eliminate, or reduce the risk to
acceptable levels.
If no control measures have been identified the
product /process must be modified so a control
measure can be applied.
1.12.1 Control Base P R The documentation must show links to a specific For example Pest Control or
Measures pre‐requisite, rather than generic comment i.e. ‘Pre‐ Glass, Brittle / Hard Plastic, and
requisite’. Ceramic Control Programs.
1.13 Determination Base P R The Codex decision tree or matrix equivalent must There are records of each
of CCPs. be used to determine if control measures are CCPs process step indicating the
(Critical Control Points). hazards and showing the
decision tree answers that
determine whether it is a CCP.
1.13.1 Determination Base P R The site must determine and document the There are records of each
of QCPs methodology used to identify QCPs (Quality Control process step indicating the
Points). defects and showing the
decision tree answers that
determine whether it is a QCP
1.14 Critical Limits Base P R Critical limits for each CCP must be defined and
validated to ensure that the product is safe.
The process must be capable of operating
consistently within the defined limits.
Critical limits must be measurable and justification
for their use must be documented.
1.14.1 Quality Limits Base P R Quality limits for each QCP must be defined and
validated to ensure that the product is compliant
with specification.
The process must be capable of operating
consistently within the defined limits.
Quality limits must be measurable and justification
for their use must be documented.
1.15 Monitoring Base P R O Monitoring procedures must be established for each
CCP / QCP to ensure compliance with the critical
limits.
The monitoring system must be able to demonstrate
control and detect loss of control of CCPs / QCPs.
The precision limits and tolerances of the monitoring
equipment must be considered when defining limits
e.g. tolerance of temperature probes, metal
detectors, etc.
Monitoring procedures must contain details on how
the measurements are taken and the frequency.
Where electronic monitoring is undertaken,
processes must be in place to review records for
compliance, and alert operators where monitoring

Evidence
P R O
indicates that the process is not within the control
limits specified.
1.16 Monitoring Base P R Monitoring records must be authorised by the
Records person conducting the CCP / QCP monitoring check
and then verified by an authorised person.
This applies to both electronic and hardcopy records.
1.17 Corrective Base P R O The corrective actions to be taken when a CCP / QCP
Actions deviates from critical limits must be detailed and
documented by the HACCP team.
The corrective actions must ensure that the CCP /
QCP has been brought under control and any
material that may have been produced whilst the
CCP / QCP was not in control must be identified,
isolated, and a full risk assessment completed.
Product and / or materials must be disposed of if the
safety of the product is in doubt.
Corrective action must have considered the product,
process and personnel impacts to prevent the issues
from occurring.
If the risk assessment deems the product to be safe,
it must not be supplied to Coles without first
discussing the issue and submitting documented
evidence to support product safety with the relevant
Coles CBM / PT.
1.18 CCP Training Base P R Site personnel responsible for monitoring CCPs must
have an understanding of food safety issues related
to their task and received specific training against the
latest version of the relevant CCP monitoring and
corrective action procedures.
1.18.1 QCP Training Base P R Site personnel responsible for monitoring QCPs must
have an understanding of quality attributes related to
their task and received specific training against the
latest version of the relevant QCP monitoring and
corrective action procedures.
1.18.2 Food Safety Base P R All site personnel (including labour hire and casuals) This would ideally be
Training must have a basic understanding of food safety and conducted separately to the
quality attributes and how these relate to the area in induction, once individuals
which they work. have become familiar within
the process or the area they
work.
1.19 Verification Base P R O The operation of the HACCP Plan(s) must be verified The verification would
to confirm that it is effective. demonstrate a full
This may include: understanding by firstly
 Internal audits demonstrating conformance
 Observation of personnel conducting i.e. that individuals are actually
monitoring procedures following the stated procedures
and secondly, that the whole
 Review of customer and regulatory complaints
system including the pre‐
 Review of hazard measurements e.g.
requisite program is operating
microbiological results

Evidence
P R O
 Review of deviations effectively.
 Review of incidents, withdrawals, and recalls.
1.20 Verification ASPN P R The HACCP plan is verified by a 3rd party with
specialised knowledge of food microbiology, food
chemistry, and if applicable – any food processing
technologies (e.g. Thermal processing).
1.21 HACCP Base P R The HACCP Plan must be reviewed at the earliest
Review opportunity following a deviation from the defined
critical limits.
1.22 Review Base P R The HACCP Plan must be reviewed by the HACCP
Team at a pre‐determined frequency (minimum
annually) or prior to changes to product / process
which may affect product safety and quality.
This may include changes in (not an exhaustive list):
 Process steps
 Supply or specification of raw materials
 Ingredients / recipe
 Packaging, storage, or distribution etc.
 Introduction of new, or modification to, existing
equipment
 Developments in scientific information
associated with ingredients, packaging, process,
or product
 Change in site layout or product flow.

Section 2. Threat Analysis and Critical Control Points (TACCP) and Food Defense
2A. Mandatory to cover during a CFMSR audit:
Evidence
P R O
2.1 Food Defense ASPN P R The site shall develop food defense documentation
that shall include:
 The allocation of senior management person
responsible for identifying threats and
managing food defense;
 The methods to identify and ensure only
authorised personnel have access to production
equipment and vehicles, manufacturing and
storage areas (including the storage of finished
product, raw materials, packaging, equipment
and hazardous chemicals);
 The methods to protect sensitive processing
points from intentional sabotage or
adulteration;
 Record and control access to the premises by
employees, contractors, and visitors.
2B. Discretionary items to cover during a CFMSR Audit if the site has developed a TACCP Plan.
NOTE: The following requirements may be audited during a separate TACCP Audit.
Evidence
P R O
2.3 Documented Base P R The supplier shall undertake a documented TACCP

Security threat assessment of the potential risks to the
Assessment product from any deliberate attempt to:
 contamination product
 fraudulently adulterate or misrepresent foods
or product claims
 inflict damage
 conduct acts of sabotage or terrorist‐like
incidents.
2.4 TACCP Flow Base P O The supplier shall develop a TACCP Flow diagram
Diagram which identifies all parts of their production and
process flow, including supplier inputs and outputs
of the process including transport of finished
product to Coles.
2.5 Threat Risk Base P R O Based on the TACCP flow diagram, the supplier shall
Assessment undertake a threat assessment for each step and
identify each potential threat including:
 who might attack the supplier
 how they might attack the supplier
 where the supplier is vulnerable
 how an attack can be stopped.
2.6 Threat Base P R Following the TACCP threat assessment, the supplier
Vulnerability shall determine and document the steps in the
Analysis process where the threat would have the greatest

Evidence
P R O
effect, and where those threats are best detected.
The supplier shall determine and document the
likelihood and consequence of the threat.
2.7 Threat Risk Base P R O Where the Threat Analysis has identified high risk
Analysis processes or access points, Critical Controls will need
to be identified and implemented, with
responsibilities for managing and monitoring the
controls identified.
2.8 Incident Base P The TACCP system shall include a response plan in
Response the case of a breach of any of the Critical Controls.
This may include contingency plans for business
continuity.
2.9 Security Base O High TACCP risk or restricted access areas shall be
Controls defined, clearly marked.
2.9.1 Security Base P O Where security controls have been identified, the
Controls responsibility to prevent security incidents shall be
documented, implemented and maintained.
2.9.2 Security Base P R O Where restricted access areas have been identified,
Controls processes shall be in place to ensure only authorised
personnel have access to those areas.
A visitor reporting procedure shall be in place, and
access to the site by employees, contractors and
visitors shall be controlled.
Employees shall be trained in site security and
encouraged to report unidentified or unknown
visitors.
2.11 Tamper Base P R O Where reliance on tamper evidence has been
Detection identified in the TACCP Threat Risk Analysis, systems
shall be developed, documented, implemented and
maintained to assess seals and other controls at all
times.
2.13 Personnel Base P R Where personnel screening or security clearance has
Security been identified in the TACCP Threat Risk Analysis,
systems shall be developed, documented,
implemented and maintained to ensure security
clearance is in place, including supervision where
necessary.
2.14 TACCP Review Base R The TACCP system shall be regularly reviewed, at a
frequency no less than annually.
2.15 TACCP Mock Base R The TACCP procedures must be tested (at minimum The site retains all records as
Incident Trial annually) to ensure the effectiveness of Incident evidence of completing mock
Management Teams and the operations of the incident challenges and not
procedures. just a summarised outcome.
The TACCP Test activity must simulate a real The TACCP Plan must be
situation, convening of live meetings, the completion tested outside of normal
of notification paperwork, and the records of Incident office hours every year.
Team decisions.

Evidence
P R O
The results of the test must be investigated and
where corrective actions are required. This must be
implemented.
The TACCP Plan must be tested outside of normal
office hours, at least every two years.

Section 3. Food Safety and Quality Management System

Evidence
P R O
3.1 Coles Brand Base P Suppliers shall adhere to relevant Coles Brands
Policies and Policies and be aware of the related Coles Brand
Requirements Guidelines. Current copies of the relevant Coles
Brand Policies shall be available.
A current copy of the Coles Food Manufacturing
Supplier Requirements shall be held in the Quality /
Food Safety Manual.
3.2 Site Base R The site has available current copies of registrations
Registrations and certifications. At minimum these include:
and  Registration as a food business
Certifications  Certifications for product claims (e.g. organic).
 Registration of premises, the site must comply
with local regulations regarding approval or
registration of premises and processes.
3.3 Variations Base P R Formal Variations must be in place, current,
managed, and controlled.
Management controls that are authorised as part of
the Variation process must be fully implemented.
3.4 Food Safety and Base P R The site must have a Food Safety and Quality The site will conduct an initial
Quality Management System (FSQMS), which is maintained gap analysis against the
Management and regularly reviewed. The FSQMS must contain current site FSQMS and the
System procedures / records as required by the CFMSR. CFMSR.
There is a documented action
plan in place to address
anomalies / gaps identified.
3.4.1 Coles Base P R Suppliers shall be aware of and adhere to relevant
Documentation Coles Brand policies and requirements. Current
copies of the relevant Coles Brand Policies shall be
available.
3.4.2 Coles Base R A current copy of the CFMSR shall be held at the
Documentation supplier’s manufacturing site.
3.4.3 Site Plan Base R The site uses a site plan to define the areas of the
site and should include:
 Perimeter and boundaries
 Base, Medium, High areas
 Maintenance
 Employee facilities (including smoking areas)
 Chemical storage
 Waste storage
 Bulk or outdoor storage.
3.5 Food Safety and Base P O A Food Safety and Quality Policy statement must be
Quality Policy in place stating the company’s intentions to produce
safe, legal, and quality products.
The policy must be authorised by senior
management.
The policy must be effectively communicated and all

Evidence
P R O
employees must be aware of the policy.
3.6 Food Safety and Base P O A Food Safety and Quality Manual must be in place
Quality Manual and available to employees outlining company
policies, procedures, work instructions,
specifications, etc.
The food safety and quality manual can be in either
hard copy or electronic form.
3.6.1 Food Safety and Base P O The Food Safety and Quality Manual shall include
Quality Manual documentation to control critical areas of food
safety, legality and quality identified during risk
assessments at minimum.
3.6.2 Food Safety and Base P O Sections of the food safety and quality manual must
Quality Manual be accessible by all personnel required to complete
their task (e.g. copies of the latest versions of
procedures).
3.7 Document Base P R O All documents must be adequately controlled,
Control authorised, and be of the correct version.
Corrections or alterations to records shall be made
with a single strikethrough and not scratched out.
Corrections must not be recorded in pencil or
amended by correction fluid or tape.
Alterations to records must be authorised.
3.8 Organisational Base P An organisational structure chart must be in place Quality Assurance Manager
Structure showing management responsibility and authority. and Quality Assurance
department must not report
to production.
3.9 Deputising Base P Details of deputising coverage for personnel with Senior Management must
Cover responsibility for legal, safety, and quality must be demonstrate they have
documented. sufficient coverage for
The Quality Assurance Manager and the Quality management and personnel
Assurance department must have sufficient who are responsible for CCP
authority to make decisions. monitoring and review.
Cleaning staff shall report
through Production.
3.10 Document and Base P R All documentation and records must be retained on
Record site for at least shelf life of the product plus one year
Retention and available for review within 4 hours from the
request.
The site shall adhere to any additional record
retention periods required by product claims or
certification programs (e.g. organic certification).
3.11 Record Base R All records must be legible, accurate, and fully Any records amended must
Completion complete and must not be recorded in pencil or be crossed through (though
amended by correction fluid or tape. still legible) and re‐initialled
with the new record entry.
3.12 Record Review Base R Records of production shall be reviewed and
and authorised by trained and competent personnel.

Evidence
P R O
Authorisation Records must be retrievable even after IT upgrades
or changes.
3.13 Change Base P R A process for change management shall be defined
Management and documented. The change management program
shall be used prior to any changes that can have an
impact on food safety, legality, or quality which
include changes to:
 Raw material suppliers
 Formulation (including any changes to
formulation of supplied materials)
 Manufacturing processes or inspections
 Equipment
 Packaging.
The change management records must include:
 A description of the change
 The planning for the change
 Review of the changes by the HACCP Team for
any impact on food safety, legality or quality
 Identification of any documentation that needs
to be updated, including the HACCP plan
 Notification to the Coles CBM / PT of any
changes that can affect product safety, legality,
or quality.
 Changes to equipment or locations
 How the changes will be reviewed after
completion of the change to ensure food safety
or quality has not been compromised.

Section 4. Management Controls

Evidence
P R O
4.1 Site Base O The site must have suitable management control
Management systems in place to ensure the safety, legality, and
quality of the products supplied to Coles.
4.2 Senior Base R O The site must have systems in place to ensure that
Management the relevant senior manager is notified of any safety,
Notification legality, and quality issues that are identified with
Coles’ product.
4.3 Site Base R O Senior management shall ensure that there is A shift handover process is
Management adequate management coverage for all production established with records of
shifts. handover discussions.
4.4 Expert Advice Base P R Site management shall identify and document the A documented list of advisors
skills or resources required which may include and consultants that the site
external advice on issues related to: regularly uses, the areas
 Packaging where their advice is sought,
 Product legality and liability and their qualifications or
 Microbiological review expertise in the field.
 Allergens
 Product quality.
4.5 Site Base P R Senior management shall have a structured plan for A process for communication
Communication communications at all levels of the site. This may from staff to management
include site walks, or ‘listening’ groups to evolve a and management to staff on
culture of food safety and quality at the site. issues affecting food safety,
legality, or quality shall be
established.
4.6 Senior Base R Systems must be in place to ensure that the senior
Management management team regularly review the safety,
Review legality, and quality of product supplied to Coles and
the GMP standards of the production facility.
This review may form part of regular scheduled
management meetings, where the Technical /
Quality department provide information on site
performance (e.g. Key Performance Indicators
(KPIs)).
4.7 Continuous Base P R The site management must establish and implement A detailed investment plan
Improvement a methodology to review the site, processes of the for plant improvement and
site, the management systems, and feedback upgrade is documented and
systems such as results of analysis, internal audits, implemented.
and corrective action data. Review of the data shall
be at defined intervals and demonstrate a culture of
continual improvement.
Continuous Improvement activities shall be
documented.
4.8 Root Cause Base P R O When planning corrective action from any source Management shall establish,
Analysis the supplier shall include the following: document, and implement a
 A root cause analysis and assignment of methodology for root cause
responsibility and timeframe for action analysis that is undertaken
 Prioritisation of issues based on risk status when responding to non‐

Evidence
P R O
 Consideration of impact on food safety and conformance at the site.
quality
 Identification of corrective actions (including
any short term (temporary) and long term
(permanent) actions and responsibility and
timeframes for completion
 Identification of preventive actions to prevent
occurrence of any potential issues and
responsibility and timeframes for completion
 Identification of corrective actions to prevent
recurrence of any incidents and responsibility
and timeframes for completion
 Implementation of changes to procedures and
HACCP Plans
 Training of personnel in any changes to
documentation or process changes
 Validation of any changes to the HACCP
documentation
 Approval by the HACCP Team
 Verification audit to ensure implementation and
ongoing implementation is effective.
4.9 Trend Analysis Base P R There shall be a documented system to track the
status of non‐conformances and corrective actions.
This shall be reviewed at management review
meetings.
4.10 Responsibilities Base P R Senior management shall identify and document the
and Authorities job roles for any employees having an impact on
food safety, legality, or quality. This documentation
shall include the skills, experience, responsibilities,
and levels of authority for each job role.
4.11 Responsibilities Base P R Management shall document commitment to food
and Authorities safety, legality and quality at the most senior level
for the site.

Section 5. Product Recall, Product Withdrawal, and Incident Management

5A. Product Recall, Product Withdrawal, and Incident Management
Evidence
P R O
5.1 Incident Base P Procedures must be in place to manage all incidents Any issue that impacts supply
Management and potential emerging issues which could affect or affects the brand integrity
food safety, legality, and quality. shall be reported to Coles.
Including: (this is not an exhaustive list)
 Disruptions (e.g. water and energy supplies,
labour, and communications)
 Fire, flood, and other natural disasters
 Sabotage and malicious contamination
 Vandalism and terrorism
 Food safety, legality, and quality issues.
The likelihood of the occurrence of the above issues
must be risk assessed.
The supplier shall maintain a copy of the current
FSANZ Food Industry Recall Protocol. International
suppliers shall maintain a copy of the current FSANZ
Food Industry Recall Protocol and their local
equivalent.
5.2 Communication Base P A communication plan must be in place to manage
potential incidents which includes a strategy for the
management of media and social media.
5.3 Contacts Base P R Key contact information must be maintained
including: (not an exhaustive list)
 Internal contacts (office and after hours)
 At least two Coles contacts (office and after
hours) e.g. Commercial Team, Buyer, Technical
Team CBM / PT.
 Suppliers (raw materials and services)
 Government / Enforcement Bodies
 Laboratories
 Utilities.
5.4 Recall / Base P Each site must have a Recall / Withdrawal Plan in the
Withdrawal event that food safety or legality is in doubt.
Plan The procedure must include in detail:
 How to report an incident to Coles
 The full process of traceability identifying key
points in production and distribution
 How product will be recalled or withdrawn from
distribution and sale.
All affected products must be located within 4 hours
of the recall / withdrawal being started.
Reconciliation of product must be verified against
production records.
The recall / withdrawal of Coles Brand products from
Coles will be managed by Coles.
5.4.1 Recall / Base P Recall procedures must include the requirement to
Withdrawal contact the Coles CBM / PT immediately and

Evidence
P R O
Plan whenever there is:
 A presumptive positive analysis result received
for a pathogen detected on production food
contact surfaces, packaging food contact
surfaces, or finished product
 An issue identified that may trigger a
withdrawal / recall.
NOTE: The supplier must contact Coles when
circumstances indicate an issue, even if the
issue has not yet been confirmed. This will
assist both Coles and the supplier to make
early decisions to hold product, protect the
consumer, and avoid a public recall where
possible.
5.4.2 Recall / Base P Any communication with regulatory bodies such as
Withdrawal Food Standards Australia and New Zealand (FSANZ)
Plan regarding Coles Brand products shall be coordinated
by Coles.
NOTE: Where the Recall affects products
manufactured by the supplier under their
own or other brands, the supplier shall
determine the need to contact regulatory
authorities regarding the other products.
Coles will only contact the regulatory
authority about the Coles products.
5.5 Training Base P R There must be a trained Incident Management /
Recall Team with a Lead and Deputy Lead Incident
Manager. Contact information for the Recall Team or
deputies must be available to cover 24hrs / 7 days
per week for emergencies.
Refresher training must be completed at least
annually.
Contact lists must be maintained on Coles’
information systems.
5.6 Recall/ Base R The Recall, Withdrawal, and Incident procedures The site retains all records as
Contingency must be tested (at minimum annually) to ensure the evidence of completing mock
Plan effectiveness of Recall, Withdrawal, and Incident incident challenges and not
Management Teams and the operations of the just a summarised outcome.
procedures. A traceability exercise is not
The Recall Test activity must simulate a real sufficient to demonstrate the
situation, including the traceability exercise, effectiveness of a full recall
convening of live meetings, the completion of trial.
notification paperwork, and the records of Recall The Recall Plan must be
Team decisions. tested outside of normal
The results of the test must be investigated and office hours every year.
where corrective actions are required. This must be
implemented.
The Recall Plan must be tested outside of normal
office hours, at least every two years.
The Recall Test activity Schedule should alternate
between tracing finished products back to

Evidence
P R O
manufacture and then raw material or primary
packaging.
5.7 Review Base P The details contained within the recall, withdrawal,
and incident management procedures such as
internal and external contact details (including Coles’
specific contact details) must be reviewed (minimum
annually). This can form part of the Recall Test
activity.
5B. Contingency Planning
Evidence
P R O
5.8 Contingency Base P R Procedures shall include the assessment by the Food
Planning Safety and Quality Team of any ingredients,
packaging, equipment, and finished product that
could have been affected by an incident that may
result in a food safety or quality issue.
5.8.1 Contingency Base P R Plans shall be established to describe how to bring

Planning an affected area back up to sanitary standard
following an incident.
5.8.2 Contingency Medium P R Plans shall be established describing the procedure

Planning for moving staff back into Medium or High areas
following an evacuation drill or emergency. This shall
include the changing of protective clothing.
5.9 Contingency Base P R Contingency plans must be in place to identify where

Plans manufacturing shall take place if the plant is
inoperative. Controls required for manufacturing at
an alternative location shall comply with the
requirements of the CFMSR.
Written approval must be sought from a Coles CBM /
PT prior to the commencement of any manufacture
of Coles’ products at an alternative facility.

Section 6. Internal Audits

Evidence
P R O
6.1 Food Safety and Base P R Internal Audits of the Food Safety and Quality The site shall conduct an
Quality System (FSQMS) must verify whether activities initial gap analysis against the
Management comply with the documented procedures, policies, site’s current FSQMS systems
System Audits and work instructions to ensure food safety, legality, and the CFMSR.
Internal Audits and quality are maintained. Audits must also Audits shall be scheduled
evaluate the effectiveness of the procedures. based on the risk, status /
Audits must be scheduled throughout the importance of the activities,
production year and the scope and frequency of and results of previous
each audit shall be established. audits. (e.g. new or arranged
The audit schedule shall be based on a risk processes more often)
assessment. All elements must be audited at a
defined frequency (minimum annually). Some
sections shall be scheduled more than once per year
based on the risk.
All sections of the CFMSR must be audited (at
minimum annually based on risk). The audits are
scheduled throughout the whole year.
The scope and frequency of each audit type shall be
established.
Audits must be completed to the audit schedule.
6.2 Auditor Training Base P R Internal Audit Team members must be suitably Auditors have a good
trained at an intermediate level Internal Auditor understanding of CFMSR and
course with a mandatory examination at the end. have attended a CFMSR
training course.
6.2.1 Auditor Training Base R Internal audits must only be conducted by trained
auditors.
Auditors must be independent of the area being
audited, and have good knowledge of the processes
and area being assessed.
NOTE: Where an external consultant has been
used to prepare the HACCP Plan, a
member of the supplier’s own staff shall
undertake the audits the plan or system
documentation to ensure independence.
6.3 Audit Records Base R Records of audit results must be available.

Audit reports must detail conformity as well as non‐
conformity, and recommendations. Non‐
conformances must be brought to the attention of
the person responsible for the activity audited.
6.3.1 Audit Records Base R Where the non‐conformance relates to an issue

ASPN affecting product safety, legality, or quality, these
shall also be reported to a Coles CBM / PT.
6.3.2 Audit Records Base R Evidence of all documentation used or seen is

ASPN recorded or copied and retained with the audit.
6.4 Corrective Base R Corrective actions and timeframes for completion The timeframe shall
Actions must be agreed by both parties. The completion of appropriate to the food

Evidence
P R O
corrective actions within agreed timeframe by both safety risk.
the auditor / auditing teams and the person
responsible for the area or activity audited.
Verification that the completed corrective actions
have been completed, are effective, and within the
agreed timeframe.
6.5 Audit Non‐ Base R A Non‐Conformance Log must be used to record all
Conformance audit non‐conformances and close out. The log shall
Log track corrective action is undertaken within agreed
timeframes.
6.6 Audit Trend Base R Audit trend analysis takes place where possible (e.g. Multiple sites within a
Analysis ASPN Good Manufacturing Practice and Foreign Body company should consider
audits). sharing the learning from
Results are used as key performance indicators for internal audits.
the business, highlighting trends and areas where
improvement is necessary.
6.7 Third Party / Base R Agreed corrective actions arising from audits
Coles Audits conducted by third parties HACCP Certification
and/or Coles must be implemented in agreed
timeframes and verified.

Section 7. Customer Complaints

Evidence
P R O
7.1 Complaints Base P A documented policy and procedure to handle A certain number of
Procedure complaints must be in place. This must be part of or complaints linked by
linked to the site recall, withdrawal, and incident complaint type, product, or
management procedures where necessary. production line shall trigger a
review.
7.2 Complaints Base P Complaints from all sources must be covered in the
Procedure procedure e.g.:
 Customers
 Social media sites
 Central Buying Departments
 Retailer Customer Complaints Departments
 Law Enforcement Bodies
 Internal departments (e.g. operational
departments)
 Reports from quality assurance processes e.g.
taste panels.
7.3 Complaint Base P R Complaints from all methods of reporting (e.g. mail,
Handling telephone, email, websites, and social media where
used) must be captured on a logging system.
Each complaint must have a unique reference
number.
Complaint log includes:
 Date of complaint
 Nature of complaint
 Product information
 Product code e.g. best‐before / use‐by
 Whether product sample has been requested
 Person assigned to manage the complaint
 Outcome.
 Complaint close‐out date
7.4 Complaint Base P R All complaints must be investigated in detail by All instances of foreign body
Handling competent personnel. contamination, alleged
The investigation must determine whether the illness, and trends shall be
complaint is product specific or an issue which may investigated. Isolated
affect more than one product. incidences where a customer
doesn’t like the taste or there
The complaint handling procedure must identify
is a quality perception issue
what information to check depending on complaint
may not require a full
type.
investigation; however these
Complaint types can include examples such as: need to be monitored.
Foreign bodies, alleged illness, taste, quality, correct
quantity, labelling, allergens, etc.
Full records must be kept and the outcome of the
investigation promptly reported to relevant
personnel and departments.
Corrective actions must be effective to prevent re‐
occurrence.
Where requested the full corrective actions must be
reported to a Coles CBM / PT.

Evidence
P R O
7.5 Trend Analysis Base P R Complaint numbers must be tracked and trended
against units sold and complaint type.
Complaint targets must be set and agreed with the
Coles CBM / PT for Coles Brand Products.
Complaint trends must be monitored and compared
against targets.
An increase in complaints must prompt an
investigation.
7.5.1 Trend Analysis Base R O Information from trend analysis of complaints must
be communicated to the site management and
production teams.
7.5.2 Trend Analysis Base R O Up to date complaint trend information is graphically
ASPN displayed on suitable notice boards at site access
points.
Complaint examples may also be displayed to
increase awareness e.g. foreign bodies.
Mechanisms are in place for briefing and discussing
preventative action with production teams.
7.6 Complaint Base P R A target for complaint reduction shall be agreed with Should complaint trends not
Reduction the Coles CBM / PT for Coles Brand products and the meet the agreed targets, the
site must have a plan in place to reduce complaint supplier must notify the Coles
levels in general and for worst offending CBM / PT.
categories/products.
7.6.1 Complaint Base P Conduct documented continuous improvement
Reduction ASPN exercises on top customer complaints.
7.7 Food Safety Base P If a food safety or legality issue is detected through
Incident customer complaints, the complaint procedures
Escalation must document how issues will be escalated to the
recall, withdrawal, and incident management
procedures.

Section 8. Approved Supplier Controls

8A. All Suppliers
Evidence
P R O
8.1 Supplier Risk Base P R An effective supplier control system must be in place Each supplier is rated based on
Assessment for all ingredients, modified atmosphere and product the criteria and this value is
gases, and services including: pest control, laboratory used to determine the need for
analysis, calibration, etc. an audit and the audit
All suppliers (including agents and importers) must frequency. This data forms part
be risk assessed, based on: of the audit schedule and
 Inherent risk of the raw material or service Inwards quality checks
provided required.
 Supplier or service provider history
 Type and frequency of raw material sampling
and testing.
Raw material and service provider risk assessments
must be reviewed annually.
8.1.1 Supplier Risk Base P R The risk assessment must determine the method of
Assessment approval and supplier monitoring.
It shall also determine the type and frequency of
controls required, which can include (this is not an
exhaustive list):
 Raw material sampling and testing upon receipt
(e.g. review of Certificates of Analysis or
Certificates of Compliance)
 Management system compliance certification
(e.g. copies of certificates)
 Audits of suppliers of raw materials or services.
8.2 Trained Base P R Where undertaken, supplier audits must be
Auditors completed by trained personnel with an
understanding of processes and the risks associated
with the material / site being assessed.
8.3 Approved Base R Raw materials and services must be sourced only
Supplier List from approved suppliers. Details of suppliers and the
raw materials or services provided must be kept on
an approved supplier list.
8.4 Supplier Base P R Supplier performance must be reviewed minimum
Monitoring annually.
This must include results of:
 Risk assessment
 Inwards inspections
 Testing
 Currency of certification
 Delivery performance.

8B. RAW MATERIAL SUPPLY (Including ingredients, primary packaging, processing aids, modified atmosphere gases, dry ice, etc.)
Evidence
P R O
8.5 Supplier Base P R The site must have the following information about
Approval the raw material suppliers or their agents (as a
minimum):
 A specification for the product
 Evidence of a HACCP food safety program
 Where a particular supplier is specified by
Coles, evidence of the Coles approval status is
required.
 Test results (micro, chemical), where
appropriate
 Documentation to demonstrate compliance
with Coles Requirements.
 Allergen declaration
 Self‐assessment questionnaires
 Identity Preservation Claim documentation as
required
NOTE 1: Supplier controls specified in the CFMSR
must still be applied if the raw materials
are from a Coles approved supplier.
NOTE 2: frequency of Supplier visits and
completion of Supplier self‐ assessment
questionnaires should be based on a risk
assessment.
8.6 Supplier Base The supplier shall ensure all ingredient and food
Approval ASPN contact packaging suppliers operate a 3rd party
certified HACCP based Food Safety Program.
8.7 Contingency Base P R Where a contingency raw material supply is
Supply required, that may change formulation, ingredient
declaration, or country of origin declaration, the site
must first contact the Coles CBM / PT for acceptance.
Contingency suppliers are those used at very short
notice, generally as a one off due to approved
suppliers being unable to supply.
Raw material must be on a like for like basis (e.g. Not
using black pepper in place of white pepper).
8.8 Raw Material Base P R O All raw materials must have a specification that
Specifications includes Coles’ criteria where relevant.
Raw materials specifications must be agreed by both
parties.
Both parties have signed and dated the specification
(electronic signatures are acceptable).
Where the Australian Food and Grocery Council
(AFGC) Product Information Form (PIF) is used, the
full PIF must be complete and available.
8.8.1 Raw Material Base P R Documentation shall be available to support the safe
Supporting handling and use of products (e.g. SDS for flammable
Information flavours, storage and thawing instructions,

Evidence
P R O
protective clothing required for mixing, etc.).
8.9 Certificates of Base P R The supplier risk assessment must define if a
Analysis / Certificate of Analysis (COA) or Certificate of
Conformance Conformance (COC) is required.
Where a COA or a COC is required, raw materials
may not be used until the details on the certificates
have been checked against the raw material
specification.
8.10 Identity Base R Certificates or documentation shall be checked,
Preservation verified as current, and retained for all ingredients
that make a governance, assured status, or claim of
identity preservation (e.g. organic).
8.11 Coles Base P R If a raw material supplier is mandated in the Coles’
Mandated specification, this shall be the only supplier that
Ingredients shall be used.
If other sources of the same ingredient are used for
other customers i.e. non‐Coles, a system to ensure
segregation of these materials must be in place.
The sites regular approved supplier processes shall
still be in place for Coles mandated raw material
suppliers (e.g. Inwards checks, testing, etc.).
8.12 Non‐ Base P O Non‐conforming materials detected when received
Conforming must be identified, isolated, segregated, labelled,
Materials and rejected.
8.13 Concessions to Base P R O Where non‐approved emergency raw material
Raw Material suppliers are used, their use must be based on risk
Specification assessment.
Details of the concessions must be fully documented
and signed by an authorised person. This must be
approved by a Coles CBM / PT.
8.14 Date Code Base O All raw materials must have adequate shelf life
Controls remaining for the final use of the material.
Remaining shelf life of raw materials shall take into
account the shelf life of the finished product.
8.14.1 Date Code Base O Shelf life should consider any delays in the ‘Work in
Controls Progress’ (WIP) or rework process and whether there
is a processing step that ‘resets’ the shelf life (e.g. the
cooking of cream).
8.15 Part‐Used Raw Base P O Opened or part used containers or units of raw
Materials materials must be effectively re‐sealed or adequately
covered and labelled.
8.16 Segregation of Base P O Identity Preserved / sensitive materials e.g.
Identity vegetarian, organic, non‐GMO, meat species, Halal,
Preserved and allergens, and materials susceptible to other
Sensitive Raw pungent materials (due to potential taint risk), must
Materials be suitably segregated to reduce the risk of cross
contamination or taint.

Evidence
P R O
8.17 Segregation of Base P R O Hazardous raw materials e.g. citric acid, alcohol, and Lockable flameproof cabinet
Hazardous flammable flavourings / aromas, must be suitably or secure storage area.
Raw Materials stored and controlled to reduce the risk of
contamination, taint, and injury to persons.
Poisonous materials if required for certain tasks
(such as cleaning or maintenance) must be
controlled and accounted for.
8.18 Product Base R The Supplier must not make changes to sourcing of
Changes and raw materials / ingredients that may affect
Specifications mandatory label requirements, such as Country of
Origin declarations, without the written
authorisation and approval of the Coles Product
Technologist.
8C. Packaging Suppliers
Evidence
P R O
8.19 Packaging Base P R A supplier approval system must be in place for all .
Supplier packaging.
Approval The site must have the following information about
the packaging suppliers (as a minimum):
 A specification for the product
 Where a particular supplier is specified by
Coles, evidence of the Coles approval status is
required
 Documentation to demonstrate compliance
with Coles Requirements
8.20 Food Contact Base P R Food contact packaging suppliers approval may Packaging suppliers are
Packaging include a combination of: certified against either:
Supplier  Third party certification by a JASANZ (or in  BRC Global Standard for
Approval country equivalent) accredited certification Packaging and Packaging
body to a HACCP based Food Safety Program) Materials
 Supplier 2nd party audit reports which must be  FSSC 22000 Food Safety
available on site along with corresponding System Certification plus
corrective action plan. PAS223 ‘Prerequisite
 Test results (micro, chemical), where programmes and design
appropriate requirements for food
 Allergen declaration. safety in the manufacture
and provision of food
packaging’.
8.21 Supplier Base P R All packaging suppliers must have a traceability

Approval system in place to trace primary / food contact
packaging.
8.22 Contingency Base P R Where a contingency packaging supply is required,

Supply that may change any of the claims associated with
the packaging (e.g. biodegradability, recyclable, etc.)
the site must first contact the Coles CBM / PT for
acceptance.
Contingency suppliers are those used at very short

Evidence
P R O
notice, generally as a one off due to approved
suppliers being unable to supply.
Packaging must be on a like for like basis and must
meet the same packaging specification.
8.23 Packaging Base P R O All packaging materials must have a specification

Specifications that includes Coles’ criteria where relevant.
Packaging specifications must be agreed by both
parties.
Both parties have signed and dated the specification
(electronic signatures are acceptable).
8.24 Food Contact Base P R All food contact materials must comply with FSANZ Sites keep themselves up to
Materials Standard 1.4.3 Articles and Materials in Contact with date on the legislation, as
Food legislation for material and articles intended to amendments are made
come in contact with food or equivalent; as applied The regulations cover the
in the country of manufacture as well as for sale in packaging material, inserts,
Australia. printing materials (e.g. inks),
A written declaration of compliance must be and adhesives that are in direct
available. contact with the product.
8.25 Certificates of Base P R The supplier risk assessment must define if a

Analysis / Certificate of Conformance (COC) is required.
Conformance Where a COC is required, packaging may not be used
until the details on the certificate has been checked
against the specification.
8.26 Identity Base R Certificates or documentation shall be checked,

Preservation verified as current, and retained for all packaging
that make a governance, assured status, or claim of
identity preservation (e.g. biodegradable).
8.27 Coles Base P R If a packaging supplier is mandated in the Coles’

Mandated specification this shall be the only supplier that shall
Packaging be used.
If other sources of the same are used for other
customers i.e. non‐Coles, a system to ensure
segregation of these materials must be in place.
The sites regular approved supplier processes shall
still be in place for Coles’ mandated raw material
suppliers (e.g. Inwards checks, testing, etc.).
8.28 Inwards Goods Base P R O All packaging materials (including caps and lids) must Based on risk assessment
Checks on Raw be checked by trained staff on receipt according to checks also include packaging
Materials documented procedures. Inwards records must be material testing (chemical /
retained. microbiological / physical /
Checks must include: organoleptic).
 Where applicable, the security of load (e.g. Samples of the packaging are
locks or seals checked against the manifest) sent with the delivery to ensure
 Hygiene condition of vehicle that the sealed packages of
 Security of load (e.g. locks or seals – where material are not breached until
used) supplied to the line.
 Packaging integrity
 Meets specification
 Product inspection to demonstrate compliance

Evidence
P R O
to specification (which must be agreed and
include quality standards), e.g. colour, artwork,
etc.)
 COC (where required)
 Pallet condition
 Print artwork is checked against the packaging
specification for every delivery and includes
inner and outer packaging and label sets
Packaging yet to be approved shall be controlled
e.g. placed on hold, isolated, etc.
8.29 Non‐ Base P O Non‐conforming packaging detected at receiving

Conforming must be identified, isolated, segregated, labelled,
Materials and rejected.
8.30 Concessions to Base P R O Where concessions to packaging specification are

Packaging used, must be based on risk assessment.
Material Details of the concessions must be fully documented
Specification and signed by an authorised person. This must be
8.31 In‐House Mediu P R Where site or sister companies manufacture their

Produced m own food contact packaging e.g. cans, blow moulded
Packaging bottles, etc. these operations must be treated as
suppliers and managed as per the supplier approval
program.
If the packaging manufacture is on the same site,
then the activities must also meet the requirements
of the CFMSR.
8D. Sub‐contracting and Indirect Suppliers
Evidence
P R O
8.32 Sub‐ Base R Suppliers are not to sub‐contract any manufacturing,

Contractors processing, or packing operations of Coles Brand
products without written approval from the relevant
CBM / PT.
It is the responsibility of the Coles direct suppliers to
inform Coles of these sub‐contracted suppliers.
Note: Manufacturers of product components, such
as inner sachets of flavouring, are not
considered to be sub‐contractors unless the
component is exclusive to Coles.
8.33 Sub‐ Base P R Where a supplier contracts out any part of

Contractors manufacturing, packing, or processing of Coles Brand
products, it is a requirement that these sub‐
contracted suppliers participate directly on the Coles
Supplier Approval Program.
8.34 Sub‐ Base O Where sub‐contractors are used, the direct supplier
Contractors to Coles shall ensure that the sub‐contracted
supplier is provided with the current Coles’

Evidence
P R O
specifications.
8.35 Indirect Base P R Suppliers of value‐added fruit and leafy salads /
Suppliers mixes shall ensure that all their growers are certified
(Salads Only) to SQF, GlobalGAP, or FreshCare.
8.36 Indirect Base P R Sites shall ensure that all indirect suppliers of shell
Suppliers eggs and egg pulp (i.e. egg producers) are certified
(Eggs Only) under the Egg Corp Assured program and are
certified under the Coles Cage Free Eggs Production
program where claimed in the Coles Fusion
specification.
8.37 Indirect Base P R Sites shall ensure that suppliers of fresh beef
Suppliers products (including value‐added lines) must ensure
(Beef Only) that all Australian grown beef is sourced from
livestock which has not been treated with Hormone
Growth Promotants (HGP) and meet the
requirements in the Coles Beef Production Standard.
8.38 Indirect Base P R Sites shall ensure that suppliers of pork meet the
Suppliers requirements of the Coles Sow Stall Free Production
(Pork Only) Standard.
8.39 Indirect Base P R Sites supplying poultry meat under the Coles Brand
Suppliers RSPCA Approved Poultry program must ensure that
(Poultry Only) all indirect suppliers of poultry meat are certified by
the RSPCA against the RSPCA Approved Poultry
requirements.
8.40 Indirect Base P R Sites must have written agreement of sourcing
Suppliers requirements from a Coles CBM / PT of any
(Seafood Only) subcontracted suppliers of Responsibly Sourced
Seafood.
8.41 Inwards Goods Base P R All sub‐contracted finished products or components Based on risk assessment
Checks on Sub‐ must be checked by trained staff on receipt checks also include:
Contracted according to documented procedures. Inwards  Product sampling for
Product records must be retained. retention
Checks must include:  Product testing
 Security of load (e.g. locks or seals checked (microbiological / chemical
against the manifest) / physical / organoleptic).
 Hygiene condition of vehicle
 Packaging integrity
 Date / lot coding (meets specification and
matches COA or COC where required)
 Temperature checks (where required)
 Product inspection to demonstrate compliance
to specification (which must be agreed and
include quality standards)
 Pallet condition
 Remaining shelf life of the raw material or
finished good from a sub‐contractor.
Materials yet to be approved shall be controlled e.g.
placed on hold, isolated, etc.

Section 9. Protective Clothing and Personal Hygiene

9A. Protective Clothing
Evidence
P R O
9.1 Personal Base O The location of entrances and personnel movement
Movement (e.g. traffic patterns) shall be managed to ensure
that personnel and visitors do not pose a risk of
product contamination or recontamination.
Personnel movement shall be directed towards
protective clothing change stations and hand wash
stations.
9.1.1 Personal Medium P O Personnel shall not enter production areas without
Movement first changing into protective clothing designated for
that area.
9.2 Hair Covering Base P R O Hair coverings are required unless a documented risk
assessment can demonstrate that there is no risk of
product contamination.
Once hair covering is implemented it must be
applied consistently to all personnel, contractors,
and visitors.
Hairnets covering ears must be worn.
9.2.1 Hair Coverings Medium P R O Hair covering must be worn and maintained in a
good clean condition.
Hair covering must be:
 Captive to the site
 Hair and ears must be fully enclosed by the hair
covering
 Beard snoods must be worn to cover beards
and moustaches
 Hair covering must be replaced if removed or
changed daily as a minimum.
9.2.2 Hair Coverings Medium P R O Where hair covering is worn for religious reasons a
risk assessment must be completed and controls in
place to manage the risk of product contamination.
Where personnel are allowed to wear hair covering
for religious reasons a hairnet must fully cover any
religious headdress.
Where knitted caps are worn for warmth in
refrigerated environments, these caps must be fully
covered by a hairnet.
Baseball style caps are not permitted.
9.2.3 Hair Coverings Medium P O Hair covering shall be a different colour between
ASPN Base, Medium, and High areas.
Hair covering must be removed and replaced with
the appropriate coloured hair cover when moving to
another area.
9.3 Protective Base P O Protective clothing must be supplied and worn to A full complement of
Clothing minimise the risk of product contamination. different coloured protective
Protective clothing, including disposable clothing clothing is worn e.g. coats,

Evidence
P R O
must be visually distinctive for staff in specific areas / footwear, gloves, and aprons
roles where appropriate (i.e. maintenance and (where worn).
cleaning personnel). Coats may be distinguished
NOTE: Industry standard white clothing (e.g. dairies by coloured collars.
and bakeries) is acceptable. Coats are free of rips, tears,
Protective clothing must be maintained in a good, loose threads, external
clean condition. pockets, and missing buttons
A procedure must be in place to manage repairs etc.
including the control of pins and needles.
No external pockets are permitted above the
waistline.
9.3.1 Protective Medium P R O Protective clothing must cover all personal clothing Hoods on personal clothing
Clothing down to at least knee height. must be under the protective
Arms must be covered by protective clothing. clothing.
Protective clothing must not be fitted with pockets Site coats shall not be worn in
(internal and external), free from buttons, and not maintenance workshops.
allow access to the wearer’s own pockets.
Maintenance must not wear their workshop coats in
Medium areas during production.
9.3.2 Changing Medium O All‐in‐one boiler suits and short jackets are to be
Protective ASPN phased out.
Clothing
9.3.3 Protective Medium P O Protective clothing must be visually distinctive from
Clothing Base and High area coats, with no access to own
pockets.
9.4.4 Protective High P O High area coats and hard hats must be captive to the A bulk bag containing
Clothing area or protected from contamination until individual sealed bags from
transferred into the area. the laundry.
Protective coats must be visually distinctive from Coats incorporating head
Base and Medium area coats and be at least knee covering in use.
length and close fitting at the neck and cuffs.
9.4.5 Protective Medium P O Medium area protective clothing worn above the
Clothing knee must be removed in non‐production areas
(excluding hairnets).
Where knee length coats are not worn, staff must
change out of company issue trousers.
9.4.6 Protective Medium P O Suitable site issued protective clothing shall be worn
Clothing by employees, contractors, visitors working in or
entering production areas.
NOTE: The use of disposable coats is not a
permanent solution for outer layer
protective clothing
9.5 Removing Medium P O All protective clothing including aprons, coats,
Protective jackets, and gloves (excluding hairnets) must be
Clothing removed before entering toilets, canteen / rest
areas, smoking areas, and offices (outside
production areas).

Evidence
P R O
9.6 Protective Base P R O Frequency of changing protective clothing (including Frequency determined by
Clothing re‐usable aprons, gloves, and high visibility vests) visual assessment.
and disposable items must be defined and verified. Heat resistant oven gloves
are white, and show when
they need to be changed.
9.6.1 Protective Medium P R O Laundered coats must be changed daily or more
Clothing frequently if soiled.
Aprons and hard hats must be cleaned (or disposable
aprons discarded) at defined intervals.
Disposable clothing must be discarded upon exit and
replaced upon re‐entry into Medium areas.
9.7 Disposable Medium P O Where disposable gloves and other disposable
Clothing protective clothing items are in use, these must be in
a contrasting colour to the ingredients and finished
product(s) (e.g. blue gloves in a bakery facility).
NOTE: Ideally, disposable gloves should be made
of “latex free” material.
9.8 Liner Gloves High P O If liner gloves are worn in High areas under
disposable gloves, these must be controlled limiting
the time worn. Liner gloves must be either disposed
daily, or collected daily and laundered.
Liner gloves must remain captive to the area.
9.9 Heat Resistant Medium P O Heat resistant cloths or gloves used by personnel to
Cloths and handle hot trays and equipment must be in a
Gloves contrasting colour to the ingredients and finished
product(s), and other production cloths (such as
cleaning cloths), and must be laundered separately.
9.10 Laundry Base P R O Effective laundering of protective clothing must be
completed in a hygienic environment.
Non‐perfumed detergent shall be used.
Protective clothing for maintenance, cleaning /
hygiene, laboratory, and where abdicable allergen
handling must be laundered separately to general
food production work wear to prevent possible
contamination.
This may be in‐house or by an external company. In
certain circumstances home laundry programs may
be permitted provided a documented risk
assessment can demonstrate that there is no
product contamination risk and the methods for
home laundering is documented in a procedure for
staff to take home. Staff must not wear protective
clothing to and from work and it must be
transported in a clean bag.
Where external laundry providers are utilised, these
must be approved and a specification held for the
garments including laundering temperatures and
detergent type. Effective laundering by visual
assessment of protective clothing.

Evidence
P R O
9.11 Laundry Base Washing of protective clothing by the employee is
acceptable where the protective clothing is to
protect the employee from the products handled
and the clothing is worn in Base areas only.
9.11.1 Laundry Medium Protective clothing shall be laundered by an
ASPN approved contracted or in‐house laundry. The
laundry must have adequate controls including:
 segregation between dirty and cleaned clothing
 Effective cleaning of the protective clothing
 Protective clothing for high areas is
‘Commercially Sterile’ following the washing
and drying process
 Cleaned clothes are supplied protected from
contamination until use (e.g. using covers or
bags).
Laundry audits must be completed and include a
verification of the process. These must be available
with corrective action plans where applicable.
Bacterial swabbing or contact plates must be used to
verify cleaning effectiveness.
9.11.2 Laundry Medium P O Home laundering of protective clothing must not be
permitted. Where external laundry services are not
available the site must provide an in‐house service.
9.11.3 Laundry High P R O High area coats must be laundered separately from
coats used in other areas.
Coats used in non‐allergen handling areas are
laundered separately from coats used in other areas
9.12 Footwear Base P O Suitable footwear must be worn (No open toes or
high heels). Footwear must be kept clean.
9.12.1 Footwear Medium P R O Suitable footwear must be provided and remain
captive to the interior of the site, and must not go
from raw areas to cooked areas of the site.
If employees enter toilets in their site footwear, the
toilets must be maintained to a high standard (i.e.
clean floors) to prevent contamination of the
production area.
Scheduled footwear cleaning must be in place.
Where disposable shoe coverings are used, only
coverings that do not rip or tear are permitted.
9.12.2 Footwear Medium P R O For Medium areas, short external walkways may be Where walkways are in place,
acceptable if they are: these are identified with
 Clearly defined brightly coloured paint.
 Well maintained e.g. smooth (non‐slip) hard Walkways that connect two
surface distinct locations.
 Clean with no debris / pooling water (daily
cleaning)
 Not connected to smoking areas.
9.12.3 Footwear High P R O Footwear must remain captive to the area and be Insulated gum boots.

Evidence
P R O
visually distinctive.
Disposable shoe coverings shall not be used.
Shoes with laces and shoe covers must not be
permitted.
Scheduled footwear cleaning must be in place
(minimum daily). Cleaning effectiveness and
frequency must be verified through swabbing and
visual assessment.
9.12.4 Boot Washing Base P R O Where automated boot washing systems are
employed, these must not be positioned in
production areas and must be cleaned at a defined
frequency or additionally if needed. Where chemical
is incorporated, the concentration must be regularly
monitored.
Boot washers and footbaths do not negate the need
for scheduled cleaning of footwear.
9.12.5 Footbaths and Base P R O Where footbaths and pass through boot washers are
Pass Through in place due to legislative requirements, the water
Boot Washers and chemicals used must be changed at defined
frequencies throughout the day to remain effective /
active.
The risk of splashing and production of aerosols
landing on protective clothing must be assessed.
Footbaths must be emptied and cleaned at a defined
frequency or additionally if needed. Where chemical
is incorporated, the concentration must be regularly
monitored.
Footbaths and pass through boot scrubbers shall be
documented on a schedule.
Footbaths do not negate the need for scheduled
cleaning of footwear.
9.12.6 Footbaths High Footbaths shall not be used at or inside entrances to
High area production.
9.13 Changing Medium P O Personnel must enter Medium areas following the Photographs provided to
Procedure below changing and hand washing procedure. illustrate the changing
The procedure must follow the order below: procedures.
1. Put in ear plugs and surgical masks (where Unbreakable reflective
required) surface provided, for
2. Put on a clean hair covering (if not already worn personnel to confirm that
from Base area) protective clothing is
3. Remove street shoes and put on site captive correctly worn i.e. mirror not
shoes (if captive shoes are not already worn made from glass.
from Base area)
4. Wash, dry, and sanitise hands
5. Put on knee‐length coats
6. Enter Medium area
8. Put on disposable clothing at work station
Hands must be washed, dried, and sanitised

Evidence
P R O
following any adjustment to hair or beard covers.
On exit from the Medium area the Medium area
coat must be removed.
9.13.1 Changing High P O Personnel must enter High areas via a designated Photographs provided to
Procedure changing area and follow the below changing and illustrate the changing
hand washing procedure. procedures.
The procedure must follow the order below: Unbreakable reflective
1. Put in ear plugs and surgical masks (where surface provided, for
required) personnel to confirm that
2. Put on a clean High area hair covering protective clothing is
3. Remove shoes correctly worn i.e. mirror not
4. Put pants on at this step only where longer made from glass.
coats are used as protective clothing
5. Step over barrier or separation between Base /
Medium and High area
6. Put on clean High area footwear
8. Put on coat
9. Enter High area
11. Don disposable clothing at work station
Hands must be washed, dried, and sanitised
following any adjustment to hair or beard covers.
On exit from the High area the procedure must

follow the order below:
1. Remove High area coat
2. Remove High area footwear
3. Step over barrier or separation between High
and Base / Medium areas
4. Put on Base / Medium area captive shoes
5. Wash, dry, and sanitise hands.
6. Put on Base / Medium area coat
7. Wash, dry, and sanitise hands.
9.13.2 Changing High P O Hand washing operation when entering High areas Automated turnstiles to
Procedure ASPN shall be clearly visible to any supervisors stationed prevent progress until hands
within the High area. had been washed e.g.
position hands in wall sink
and wash hands. This action
then automatically opens the
turnstile / barrier to allow
passage into the High area.
9B. Personal Hygiene
Evidence
P R O
9.15 Personal Base P R O Effective personal hygiene standards must be in

Hygiene place at the site.
Personal hygiene standards must be documented

Evidence
P R O
and followed by all personnel, including visitors and
contractors.
9.15.1 Personal Base P R O Visitors and contractors must be required to read,
Hygiene understand, and accept health, hygiene, and safety
rules prior to entering production, maintenance, and
storage areas.
9.16 Hand Washing Medium P O Hand washing and sanitising must be completed on 1. Wet hands
entry to food handling areas and after the following 2. Apply soap
(this is not an exhaustive list): 3. Rub palms and back of
 Eating hands / thumbs and
 Smoking between fingers – repeat
 Using the toilet each area 5 times
 Coughing /sneezing into hands 4. Rinse with water
 Touching the face / nose 5. Dry hands
 Touching or picking up items from the floor 6. Sanitise hands.
 Tying laces Unsuitable materials include
 Handling unsuitable materials allergens, pallets, chemicals,
 Using ladders inedible product, etc.
 Any adjustments to hair coverings, face masks,
ear plugs, or beard snoods.
Where face masks are worn, staff must wash hands
after putting them on.
Dual action hand wash and antibacterial hand
sanitisers are not adequate without a hand drying
step and additional sanitiser.
9.16.1 Hand Washing Medium P R O The effectiveness of hygiene procedures with regard
to hands must be checked at regular intervals.
If gloves are worn, hygiene procedures (including
frequency of changing) must be in place to ensure
that these do not present a risk to product.
Hand swabs or contact plates are taken and assessed
following an unannounced but planned program.
9.17 Hygiene Base P R O Personnel must not cough or sneeze over raw
Procedure materials, packaging, equipment, or finished
product.
The site must have a documented procedure for
dealing with product that has been sneezed or
coughed upon, and records of the activity must be
kept.
Spitting must be prohibited in all areas.
9.18 Hygiene Base P O Food and drink must not be consumed in production,
Procedure maintenance, laboratories, storage, or offices areas
(except water when provided by site).
Where drinking water is required, enclosed sports
‘sipper’ type bottles shall be used so that loose tops
and tamper rings cannot come loose. Bottles must
contain only water.
9.19 Personal Base P O Procedures must be in place to control the use of
personal medicines (i.e. personnel must not carry

Evidence
P R O
Medicines these into work areas).
9.19.1 Personal Base P R O Emergency prescription medication where required
Medicines must be registered and a risk assessment
undertaken to determine the necessity for the
employee to carry it on their person. If required
these must be checked in and out of the site daily
and recorded.
9.20 Control of First Medium P R O All cuts and grazes on exposed skin must be covered Employee number or initials
Aid Dressing by a waterproof metal detectable blue first aid of person written onto the
Strips dressing strip (or visually distinct colour from first aid dressing strip.
product), provided by the site and issued by an
authorised person. A log must be kept.
Where metal detection is not used on site, the first
aid dressing strip does not need to be metal
detectable, however it must be visually distinct
colour from product (e.g. blue) and must be
reconciled at the end of the shift.
Procedures must be in place to report if a first aid
dressing strip is lost and prompt an investigation to
ensure that the first aid dressing strip has not
contaminated product. Records must be maintained.
9.20.1 Control of First Medium P O In addition to the metal detectable first aid dressing
Aid Dressing strip, a waterproof finger stall or waterproof glove
Strips must be worn (when applicable).
9.20.2 Control of First High P R O There must be a first aid dressing strip reconciliation
Aid Dressing at the end of the day or shift.
Strips
9.20.3 First Aid Kits Base P R O First aid kits contain an inventory of contents, which First aid kit contents and
is checked at defined intervals. quantities are selected so as
to minimise the risk of
product contamination.
9.21 Personal Base P O Fingernails must be kept short, clean, and
Hygiene unvarnished.
False fingernails (acrylic or other) must not be
permitted.
9.22 Personal Medium P O Excessive perfume or aftershave must not be worn.
Hygiene
9.23 Personal Base P O False eye lashes or excessive facial make‐up must
Hygiene not be worn.
9.24 Personal Base P O Personal items (e.g. keys, personal mobile phones, The exception being locker
Hygiene medications, and coins) must not be carried on the keys and ID cards, where
person and be taken into production, maintenance, provided.
and storage areas. Keys used within the site (e.g.
metal detector reject boxes)
are not treated as personal
items and attached to key
rings or taken home. These
are best issued daily as part

Evidence
P R O
of the QA kit.
Combination locks prevent
the need for keys.
9.25 Glasses / Base P O Procedures must be in place for the breakage / loss
Contact Lenses of glasses, contact lenses, or hearing aids.
/ Hearing Aids Glasses shall not incorporate fashion accessories that
may pose a potential foreign body risk (e.g. diamante
settings in glasses frames).
Glasses that are not always worn (such as reading
glasses) shall be securely stored when not in use.
9.26 Jewellery Base P O Jewellery must not be worn or brought into
production, maintenance, and storage areas,
including:
 Rings, with the exception of a single plain band
/ ring (i.e. one piece with no stone settings or
intricate design)
 Cufflinks and tie pins must be considered as
jewellery
 Watches
 Rings, earrings, and studs in exposed parts of
the body (including the tongue)
 Personal clothing and fashion accessories must
not pose a potential foreign body risk (e.g.
decorative items such as sequins, diamantes,
etc. must not be visible on garments).
9.27 Jewellery Base P R O Additional jewellery may be permitted if it is worn Permitted jewellery is
for medical or religious reasons. suitably covered by the
In these circumstances a risk assessment must be protective clothing (coat,
completed and the permitted jewellery must be sleeves, and / or gloves).
strictly controlled.
9.27.1 Jewellery Medium P R O If worn, medical or religious jewellery must be risk
assessed. Must be able to be cleaned and sanitised.

Section 10 Training
Evidence
P R O
10.1 CFMSR Training Base R A representative of the supplier shall attend a Coles
ASPN Quality Academy CFMSR training course.
10.1.1 CFMSR Training Base R The supplier shall register with the Coles Quality
ASPN Academy and a representative from each supplier
site shall complete all applicable online and
classroom based training courses.
10.2 Training Base P R O The site must ensure that all personnel are Training prior to commencing
adequately trained, instructed, and supervised work in that role and
commensurate with their duties and are supervised until
demonstrably competent to carry out their duties. demonstrably competent.
Refresher training given at
defined frequencies.
10.3 Literacy Base P R O The level of language understanding must be known This may be in the form of a
for all personnel (including casual / labour hire literacy test.
personnel).
10.4 Training Base R Training must be delivered by competent and ‘Train the Trainer’ qualified
capable trainers. trainers.
10.5 Training Base P R The site must provide information, instruction,
training, and supervision in an understandable
format for all workers, irrespective of their national
origins, first language, or literacy. (This may be
translated in documents, pictorial training aids, or
the use of a translator).
10.5.1 Demonstration Base R An examination must be in place to demonstrate
of competence and understanding of information in the
Understanding induction package, chemical awareness, and
procedural training (e.g. CCP / QCP).
The correct answers must be discussed with trainees
to demonstrate full understanding.
Examinations are structured to ensure that critical
elements of the training are identified and that these
must be achieved to constitute a pass.
Re‐training must be given in areas that are not
understood.
10.6 Induction / Base P R O A documented induction training program must be The induction includes:
Food Handler given to all new hires, casual / labour hire personnel  Food Safety
Training before they start work.  Personnel Hygiene
Induction training records must be available for all procedures and rules
personnel.  Glass, Brittle / Hard
Plastic, and Ceramic
All personnel must have a basic understanding of
Breakage procedure
food safety before they start work. This includes
office and non‐production staff (e.g. maintenance,  Health and Safety
warehouse, purchasing, etc.).  Quality policy
 Allergens Control
Food handlers must complete basic food handler
 Basic HACCP
training.
understanding
 Foreign Body Controls

Evidence
P R O
 Chemical Controls.
10.6.1 Food Handler Base P R O Food handlers must complete Certificate I
Training ASPN ‘Implement the food safety program and
procedures’ (FDFFS2001A).
10.6.2 Induction / Base P R Where the induction package has been updated,
Food Handler evidence that all personnel have been trained in any
Training new sections of the package must be available.
10.6.3 Induction Base P R O There must be a defined time period during which
the new hire has a ‘training buddy’ or extra
supervision.
At the end of the initial training period the
employees’ competence for their job must be
assessed.
CCPs / QCPs must only be monitored by staff that
have been trained and assessed as competent in this
task.
10.7 Job Descriptions Base P R O Documented and agreed job descriptions (or
working instructions) must be available for all
personnel.
All personnel must have a clear understanding of
what is expected of them in their job roles.
10.8 Records of Base R Records of further hygiene, specialist, and job
Specific Training specific training must be available.
Copies of certificates or internal training records
must form part of these records e.g. safe use of
chemicals, pesticide application, HACCP, CCP and
QCP monitoring, and use of certain types of
equipment.
10.9 Training Base R Records must include the topic, the duration of the
Records training, and must be signed and dated by the
trainer and trainee.
10.9.1 Training Base R A training matrix must be available showing which
Records employees are trained in which activities. The matrix
must also demonstrate the status of training.
10.10 Competency Base R The criteria for sign off of each competency type
Assessment must be defined (e.g. against a procedure, hours of
operation, course pass mark, issue of a licence, etc.).
10.11 Competency Base P R The competency of employees must be reviewed at
defined intervals or following significant changes in
procedures and re‐training undertaken where
necessary.
10.12 Trainee Base P R O Training and assessment shall be structured and
Suitability conducted in such a manner to assess the suitability
of the candidate to perform specific tasks (e.g. where
colour analysis is required, the candidate does not
possess a coloured vision deficiency or that English
language skills are satisfactory for reviewing

Evidence
P R O
product labels).
10.13 Refresher Base P R All site personnel (including casuals / labour hire)
Training shall receive documented annual refresher training
on key food safety topics. This includes office and
non‐production staff (e.g. maintenance, warehouse,
purchasing, etc.).

Section 11. Medical Screening

Evidence
P R O
11.1 Pre‐ Base P R All personnel must be assessed for health risks Consideration is given to
Employment before entering the food production, storage, and contractor staff employed by
Medical maintenance areas. the site (e.g. canteen staff,
Screening A medical questionnaire must be used to assess the cleaners, casual / labour etc.).
health risks, which is signed and dated by the
applicant and verified by a trained person.
Where a risk is identified further medical screening is
required before permission is granted to enter
production, storage, and, maintenance areas.
11.2 Visitors / Base P R Visitors and contractors must complete a medical
Contractors questionnaire prior to entering production, storage,
or maintenance areas.
Questionnaires must be reviewed and signed by
trained personnel to determine the areas which
access is allowed.
11.3 Reporting Base P R The site must have a procedure for the notification Consideration is given to
Illness by personnel, including casual / labour hire contractor staff employed by
personnel, of any relevant infectious diseases or the site (e.g. canteen staff,
condition which they may be suffering from, or have cleaners, casual / labour etc.).
been in contact with.
Personnel (including employees, casuals, and labour
hire staff) must report any illness to their line
manager as soon as it occurs.
Site management must decide whether the employee
can continue to work in the existing or another job
(e.g. Employee may be restricted to Base areas until
medical confirmation received).
Employees suffering diarrhoea or vomiting must be
excluded from any work on site.
11.4 Reporting Base P R O Where the site is aware of a person who has entered
Illness the site was suffering from a condition which could
have compromised food safety, steps must be taken
to minimise any risk to food safety (e.g. A staff
member has been diagnosed with food poisoning).
The areas where the individual has been working are
assessed to enable the potential risk to product to be
established.
11.5 Return To Work Base P R O A procedure for return to work after illness must be Return to Work forms, are
in place. assessed by a trained
A risk assessment must be completed prior to manager.
employees commencing work. Further guidance on food
People who have suffered from an infectious handlers responsibilities
intestinal illness with vomiting and / or diarrhoea during illness and return to
must not enter production, storage, or maintenance work can be found in the
areas until they are symptom free (minimum 48 Food Standards Australia and
hours). New Zealand Document:
“Safe Food Australia”
Certain infections may require a longer period of
available at

Evidence
P R O
exclusion, medical screening or exclusion from the www.foodstandards.gov.au.
production site (enteric fever, VTEC, norovirus, and
Hepatitis A).
If an employee reports any of the following
conditions, the site management must immediately
report this to their Coles CBM / PT:
 Salmonella typhi
 Shigella spp
 Enterohaemorrhagic Escherichia coli
 Hepatitis A.
Medical clearance is required for employees
returning from absence due to a notifiable illness.
11.6 Procedures Base P R Procedures must be in place for all employees, Return to work procedure
visitors, or contractors who have been working in or after foreign travel.
visiting areas where product safety could be Inclusion of areas previously
compromised (e.g. restricted zones due to visited on the Visitor
outbreaks). Questionnaire (e.g. Farms or
slaughter houses).
11.7 Procedures Base P R Procedures must be in place for managing any bodily
fluid spillages e.g. vomiting, bleeding etc. within the
production, maintenance, laboratories, employee
facilities, and storage areas.
11.8 Emergency Base P R Procedures must be in place for people that require Procedure for how the area
Entry entry to food handling areas in emergency situations would be cleaned after
(e.g. medical or fire personnel). incident and prior to
production recommencing.

Section 12. Casual Employees and Labour Hire Agencies

Evidence
P R O
12.1 Labour Hire Base P The agency policies, procedures, and activities must
Agency meet Coles and legal requirements in the operating
country.
12.1.1 Labour Hire Base R The agency is a member of a recognised recruitment
Agency ASPN association (in the country in which it is operating)
and complies with a Best Practice protocol.
12.2 Casual / Labour Base P The site must have procedures in place to
Hire Agency demonstrate that they manage casual employment
and labour hire agencies.
12.2.1 Casual / Labour Base P R O Casual / labour hire agency workers are not used in
Hire Agency High areas, for monitoring CCPs / QCPs, or in roles
Personnel dealing with live animals (from a welfare
perspective) unless suitably qualified and can
demonstrate competence.
12.3 Agency Contract Base P R A contract between the labour hire agency and site
must be documented and signed by both parties.
The contract must be reviewed regularly and include
reference to expectations on minimum wage and
working hours, etc.
In addition to the contract a service level agreement
outlines standards and processes for the supply of
labour, including: Training, Health and Safety
management, accident and injury reporting,
checking permission to work, and monitoring of
working hours.
12.4 Audits Base P R The labour hire agency must have been approved by Site representatives have a
a competent representative from or on behalf of the good understanding of
site prior to commencing supply of personnel to the employment law and
site. experience auditing
Once approved, scheduled reviews must be personnel records.
completed to ensure compliance, both at the agency Audits include a review of
site and through questioning of the casual / labour payslips, tax, and
hire personnel (minimum annually). superannuation payments.
Timeframes and corrective actions must be agreed by
both parties. The completion of corrective actions
within agreed timescales must be verified.
12.5 Interviews Base R The agency must conduct face to face interviews
with potential employees. This must include:
 Employment history (previous assignments)
 Literacy
 Ability to understand the local language and
communicate
 Confirming legality to work at the site
 Confirmation of any disability
Records must be kept to confirm this (date and
name of interviewer).

Evidence
P R O
12.6 Medical Base P R Agency personnel must complete and sign a medical This includes confirming that
Screening screening questionnaire and employment agreement hearing and eyesight are
(requiring personnel to report certain medical good where this is important
conditions they have suffered). See FSANZ Standard for their job.
3.2.2 available at www.foodstandards.gov.au.
12.7 Labour Hire Base P R The site and the agency must be able to identify the Names and numbers of
Agency individual agency personnel that are on site at any workers on site at any one
Personnel time. time are kept (for fire
The site and agency must be able to identify what evacuation purposes).
job each agency employee is doing in any one day.
12.8 Labour Hire Base P R The site must be responsible for fully briefing
Agency agencies on the site standards regarding hygiene,
product safety, personal hygiene rules, disciplinary
procedures, health and safety (standards, and
requirements), and health screening procedures.
In addition to any off site briefing, agency personnel
must be given appropriate instructions and guidance
at the site as soon as they arrive (e.g. fire escape
routes, first aid locations, hand wash stations, etc.).
Any subsequent training of labour hire staff by the
agency must be conducted on the site.
12.9 Labour Hire Base P R Agency personnel must be physically shown

Agency procedures relating to basic food safety by a trained
Personnel site based individual (e.g. hand washing, changing
procedures, etc.).
Records must be kept to confirm that they have
received and understood training.
12.10 Personnel Files Base P R The agency must hold a file for each employee which
includes (not exhaustive list):
 Evidence of eligibility to work in the country
 Literacy information
 Training records
 A signed contractual employment agreement
between the agency and staff member
 A signed medical screening questionnaire
 Recent photograph of the worker.
12.11 Supervision Base P R Agency personnel must be suitably trained for all
work activities that they will carry out, and are
supervised to an appropriate level.
12.11.1 Supervision Base P R The ratio of agency personnel to site based

ASPN supervisors is documented, and the effectiveness
challenged during reviews to determine the need for
an on‐site agency supervisor to be supplied.
The agency and site agree to the number of agency
personnel utilised before a site‐based agency
employed supervisor is required.
12.12 Training Base P R The agency must train their personnel using the Training materials may be
same criteria as the site training. required in the employees’

Evidence
P R O
Records must confirm that the employee has first language and the use of
received and understood the training given. an interpreter if necessary.
Records must include the topic, the duration of the
training, and must be signed and dated by the
trainer and trainee.
12.13 Training Base P R Agency personnel must not be operating in a job
that could pose a potential danger to personnel or
food safety risk in the absence of suitable training
and supervision e.g. CCP / QCP monitoring, label
verification, boning, chemical handling, etc.
The site must verify performance themselves and
provide appropriate training. Records must be
retained.

Section 13. Animal Welfare

Evidence
P R O
13.1 Animal Welfare Base P R O Where processes involve live animals, poultry, fin
Policy fish, or crustaceans.
An Animal Welfare Policy statement must be in place
stating the company’s intentions to meet all local
laws and regulations regarding animal welfare.
management.
13.2 Animal Welfare Base P R O Where processes involve live animals, poultry, fin
Compliance fish, or crustaceans, the supplier shall demonstrate
compliance with legislation and codes of practice for
animal welfare and any Coles’ specific requirements
listed on Coles Fusion related to the species
slaughtered for Coles.
13.3 Animal Base P R O Suppliers slaughtering farmed species including pigs,

Slaughter deer, goats, buffalo, cattle, sheep, (excluding poultry
and seafood) must be compliant with Australian
Livestock Processing Industry Animal Welfare
Certification System (AAWCS) – refer to
www.amic.org.au.
13.4 Poultry Base P R O Suppliers slaughtering Coles Brand poultry must be

Slaughter approved by the RSPCA under the Approved Farming
Scheme.
13.5 Fin Fish and Base P R O Suppliers processing live seafood including fin fish
Crustacean and crustaceans must adopt the voluntary guidelines
Slaughter under the Commercial Capture Fishing Guidelines or
the National Aquaculture Council’s Aquatic Animal
Welfare Guidelines.
13.5.1 Fin Fish and Base P R O Suppliers processing live seafood including fin fish
Crustacean and crustaceans must comply with the RSPCA
Slaughter Guidelines for the humane slaughter of fin fish and
crustaceans.

Section 14. Environment

Evidence
P R O
14.1 Environment Base P O A site specific Environmental Policy statement must

Policy be in place stating the company’s responsibilities to
meet local legislative requirements, and minimising
overall environmental impact, and how this is
measured.
management.
14B. Discretionary items to cover during a CFMSR Audit.

NOTE: The following requirements may be audited during a separate Environmental Audit.
Evidence
P R O
14.2 Management Base P The Management System must ensure The principles of ‘reduce’,
System environmental matters are identified and managed and ‘reuse’ are followed.
(e.g. waste control, recycling, use of water, etc.). Targets for environmental
performance are set,
progress tracked, and
reported.
14.3 Risk Assessment Base R A documented risk assessment must be completed Risk assessments completed
to identify any potential environmental risks and and benchmarked against
describe the control measures. best international practices
Potential environmental risks shall be assessed for for the industry category.
sourcing, operations, and distribution.
14.4 Environment ASPN P R O An Environmental Management Plan must be Potential contaminants are
Base developed to address the local, regional, and global eliminated where possible or
environment to ensure that the site operations do managed and reduced in
not (potentially) adversely impact on any sensitive potentially affected areas.
local environmental conditions (e.g. from Remediation is carried out
neighbours, ground contamination, or emission). when contamination has
The Environmental Management Plan shall be occurred.
regularly reviewed to ensure it continues to be
effective.
14.5 Independent Base R O Where the site has had an independent

Audits environmental audit completed, any non‐
conformances raised must be effectively managed.
The supplier must immediately notify their Coles
CBM / PT if there are any serious compliance issues,
investigations by authorities, or pending
prosecutions.

Section 15. Ethical Trading

Evidence
P R O
15.1 Ethical Policy Base P R O All suppliers are required to agree to the principles
outlined in the Coles Ethical Sourcing Policy as
outlined in their Trading Agreement with Coles. If
suppliers are unable to demonstrate a commitment
to comply with the Coles Ethical Sourcing Policy,
Coles reserves the right to terminate the Trading
Agreement.
Suppliers shall utilise the Sedex online portal for the
secure exchange of ethical data.
15B. Discretionary items to cover during a CFMSR Audit.

NOTE: The following requirements may be audited during a separate Ethical Audit.
Evidence
P R O
15.2 Policy Base O All suppliers are required to agree to the principles in
Requirements the Coles Ethical Sourcing Policy and as set out in
their Trading Agreement with Coles.
15.2.1 Policy Base O If suppliers are unable to demonstrate compliance

Requirements with the Coles Ethical Sourcing Policy, Coles reserves
the right to terminate the Trading Agreement.
15.2.2 Policy Base P R O Suppliers must complete an annual self‐assessment

Requirements and Coles may, at its discretion, require an
independent audit, at the supplier’s expense, of
compliance with this policy.
15.2.3 Policy Base O Coles categorises elements of the Ethical Sourcing

Requirements Supplier Requirements as either: Critical, Major or
Minor
15.3 Legal Base P R O All suppliers must fully comply with all local laws and
Requirements regulations regarding labour, health, safety and the
environment. Suppliers must also fully comply with
the legal requirements of the countries in which they
operate in addition to all elements of this Ethical
Sourcing Policy.
15.4 Forced/ Bonded Base P R O Suppliers must not use Forced, Bonded or
Labour Involuntary Labour
15.4.1 Forced/ Bonded Base P R O Employment must be freely chosen Jobs are openly advertised or
Labour open to all who meet the role
criteria.
15.4.2 Forced/ Bonded Base P O Workers must not be required to lodge deposits or
Labour identity papers with suppliers
15.4.3 Forced/ Bonded Base P O Workers must be free to leave their employment
after reasonable notice, not more than 1 month, has

Evidence
P R O
Labour been given
15.5 Child Labour Base P R O Suppliers must not use child labour. Child labour is
defined as work that deprives children of their
childhood, the opportunity to attend school and fulfil
their potential and that is harmful to their physical
and mental development.
15.5.1 Child Labour Base P R O Suppliers must be able to verify the age of all The age of all workers is
employees to ensure no child labour is used. Coles known and there is a system
refers to the International Labour Organization’s in place to manage the work
Minimum Age Convention, 1973 (No. 138), where completed by juvenile
the minimum age for work is defined as being below workers.
the age for finishing compulsory schooling, and in
any case not less than 15 years of age.
15.6 Illegal Labour Base P R O Suppliers must not use Illegal Labour
15.6.1 Illegal Labour Base P R O Suppliers must be able to verify the legal entitlement
of their employees to work in the country of
employment
15.6.2 Harsh or Base P R O Physical abuse or physical discipline, the threat of Site has a disciplinary, appeal
Inhumane physical abuse, sexual or other harassment and and grievance procedure.
Treatment verbal abuse or other forms of intimidation are
prohibited
15.7 Business Base P O Suppliers must engage professional business ethics
Integrity in all dealings and provide transparent
documentation and records.
15.7.1 Business Base P R O Bribes, favours, benefits or other similar unlawful or Evidence is available of the
Integrity improper payments, in cash or in kind, are strictly subcontractor’s commitment
prohibited, whether given to obtain business or to ethical sourcing.
otherwise.
15.8 Wages and Base P R O Wages and benefits paid for a standard working The site pays a fair wage to
Benefits week must meet as a minimum national or industry all workers.
standards, whichever is the higher. In any event,
wages should always be enough to meet basic needs
and to provide some discretionary income.
15.8.1 Wages and Base P R O All workers must be provided with written and Site has contracts of
Benefits understandable information about their employment employment in a language
conditions in respect to wages, before they enter which the employee can
employment, and about the particulars of their understand.
wages for the pay period concerned each time that
are paid.
15.8.2 Wages and Base P R O Deductions from wages may only occur with the The site provides clear
Benefits express written permission of the worker concerned. information for how wages
are calculated.
15.8.3 Wages and Base P R O Deductions from wages for disciplinary measures are
Benefits not permitted.
15.9 Working Hours Base P R O Including any overtime, workers must not work above Site has a system in place for
the maximum hours per week or per month as monitoring working hours.

Evidence
P R O
stipulated by local laws, or where local laws do not
exist, a total of 60 hours per week. (In excess of 75
hours per week is considered a Major non‐
conformance; between 60 and 75 hours per week is
considered a Minor non‐conformance).
15.9.1 Working Hours Base P R O Workers must have at least one day off in 7 days or
two days off in every 14 days.
15.9.2 Working Hours Base P R O Overtime must be voluntary and compensated as
prescribed by local laws.
15.9.3 Working Hours Base P R O Record keeping on hours worked must be accurate,
complete and transparent at all times.
15.10 Freedom of Base P R O Suppliers acknowledge that workers have a right to Union membership allowed
Association freedom of association and to bargain collectively. and / or worker councils
present.
15.10.1 Freedom of Base P R O Workers have a right to join or form trade unions of
Association their choosing. Suppliers are required to adopt an
open attitude towards the activities of trade unions
and their organisation activities.
15.10.2 Freedom of Base P R O Where the right to freedom of association and
Association collective bargaining are restricted under local laws,
suppliers will not hinder the development of
alternative means of independent and free
association and bargaining.
15.11 Sub‐Contracting Base P R O There must be no sub‐contracting unless
and Indirect documented and available for review by Coles or an
Suppliers independent auditor, including but not limited to
records of subcontractors’ names and locations.
Coles considers sub‐contracting and indirect
suppliers to mean:
i. Sites contracted by Coles’ direct suppliers to
produce product in its final form for retail sale,
packed in the retail unit, or produced in bulk in
final form for retail packing elsewhere, or
received in bulk final form for retail packing.
ii. Sites that significantly contribute to the final
form of the product. Examples of processes
considered to significantly contribute to the
final form of the product include (but are not
limited to):
− Embellishing.
− Pressing.
− Fabric finishing.
− Partial garment cut make & trim.
− Peeling, trimming, husking, de‐hulling,
filleting.
Harvesting of fresh fruit, vegetables or seafood.
15.11.1 Sub‐Contracting Base P R O Suppliers must have adequate policies and processes
and Indirect in place for properly managing subcontracting, to
Suppliers ensure that sub‐contractors operate in accordance

Evidence
P R O
with applicable laws, regulations and the Coles
Ethical Sourcing Policy.
15.11.2 Sub‐Contracting Base P R O Direct Coles supplies must ensure that sub‐
and Indirect contracted and indirect supplier sites are registered
Suppliers and connected via the direct supplier to Coles on
Sedex, and visibility of the site details and ethical
information made available to Coles.
15.11.3 Sub‐Contracting Base P R O If sub‐contracted or in‐direct supplier sites are rated
and Indirect Medium or High Risk, Coles reserves the right to
Suppliers request Audits from these sites and apply the Coles
supplier site assessment and approval process.
15.12 Safe Working Base O Plant and systems of work which are safe and Appropriate certification is
Conditions without risk to health will be provided. obtained for electrical and
fire safety.
15.12.1 Safe Working Base P O Suppliers will provide workers with a safe and clean Qualified person used to
Conditions working environment taking into consideration the assess safety risks. Safety
prevailing knowledge of the industry and of any committees meet and
specific hazards. minutes kept.
15.12.2 Safe Working Base P R O Workers must receive adequate, recorded training to
Conditions perform their jobs in a safe manner.
15.12.3 Safe Working Base P R O Personal protective equipment must be supplied and
Conditions workers trained in its use.
15.12.4 Safe Working Base P O Safeguards on machinery must meet or exceed local
Conditions laws.
15.12.5 Safe Working Base O Where suppliers provide worker accommodation, it
Conditions must be clean, safe and meet the basic needs of
workers.
15.12.6 Safe Working Base O Workers must have access to clean toilet facilities, Changing rooms, toilets,
Conditions clean drinking water and where appropriate sanitary eating areas and first aid
facilities for food storage and preparation. facilities provided and well
maintained.
15.13 Discrimination Base P R O There is no discrimination in hiring, compensation,
access to training, promotion, termination or
retirement based on race, caste, national origin,
religion, age, disability, gender, marital status, sexual
orientation, union membership or political affiliation.
15.14 Regular Base P R O To every extent possible work performed must be on
Employment the basis of recognised employment relationship
established through national law and practice.
15.14.1 Regular Base P R O Employees who have a regular employment
Employment relationship with their employer are afforded a
number of obligations from their employer relating
to labour and social security laws and regulations.
These obligations shall not be avoided through the
use of labour‐only contracting, sub‐ contracting,
home‐working arrangements, fixed term contracts or

Evidence
P R O
through apprenticeship schemes where there is no
real intent to impart skills or provide regular
employment.
15.15 Environment Base O Suppliers must comply with local and national
environmental laws and regulations.
15.15.1 Environment Base O Suppliers must use reasonable endeavours to
comply with international standards on
environmental protection.
15.16 Documentation Base R Appropriate documentation is in place to ensure
and Policies effective ethical management practices.
15.16.1 Documentation Base P Appropriate policies are developed to ensure Appeal and grievance
and Policies effective management of ethical issues. procedures are in place.
15.77 Risk and Audit Base R Coles requires all suppliers to register as a Supplier
Assessment (B Membership) on Sedex Global and complete an
annual online self‐assessment.
15.17.1 Risk and Audit Base R Supplier sites classified as high or medium risk under
Assessment the Sedex risk rating system are required to provide
and upload an independent ethical audit by an
approved audit provider.
15.17.2 Risk and Audit Base O Coles, at its discretion may require an independent
Assessment ethical audit for any of its suppliers, regardless of
country of origin or industry sector.
15.18 Audit Base R Ethical Audits must be kept current and audit
Assessment frequency is dependent on audit outcomes.
15.18.1 Audit Base R Upon receipt of the Ethical Sourcing Audit, and
Assessment Auditor approved non‐conformance rectification,
Coles will determine whether a supplier is Approved
or Not Approved based on the Risk and Audit
Assessment criteria in Table 1.

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Current Version:
V2 Mh2017
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© Coles Supermarkets Australia Pty Ltd
Factory and
Equipment Controls

Current Version: V2 February 2017
Factory and Equipment Controls
Section 16. External Site Areas

Evidence
P R O
16.1 Premises Base O Consideration shall be given to the location of the
Location premises so that adjacent and adjoining buildings,
operations, and land use do not interfere with safe
and hygienic operations and measures taken to
prevent contamination.
16.2 Site Base R O Site boundaries must be clearly defined and have Entrance to the site via a
Boundaries adequate site security. monitored security barrier /
A site plan must be available. check point.
The site shall have adequate
perimeter fencing.
Where no fencing exists (e.g.
the site is on a business park,
isolated location in countryside,
etc.) the site must be secured to
prevent unauthorised public
access, domestic animals, and
unlawful entry.
16.2.2 Site Base R O The site shall have adequate perimeter fencing.
Boundaries Where no fencing exists (e.g. the site is on a
business park, isolated location in countryside, etc.)
the site must be secured to prevent unauthorised
public access, domestic animals, and unlawful entry.
16.2.3 Site High O The site is surrounded by secure fencing and

Boundaries ASPN monitored by closed circuit television (CCTV).
16.3 Security of Base O External storage tanks, silos and any intake pipes
External with an external opening shall be locked when not
Storage in use.
16.4 Grounds and Base O The grounds and area surrounding the premises
Roadways including paths, roadways, loading, and unloading
areas shall be maintained to prevent dust and food
safety hazard to the operation.
16.4.1 Maintenance Base O External areas must be kept tidy and free from
of External unnecessary items that could provide potential pest
Areas and wildlife harbourage.
16.5 External Base O The external areas must allow adequate drainage to
Drainage prevent pooling of water around storage and
process areas and to allow cleaning (e.g. Milk
reception).
Drains should flow in a direction away from
buildings.
16.5.1 External Base O Gutters shall be on a maintenance schedule to
Drainage ensure they are cleaned and free flowing.
16.5.2 External High O External drains are visually identified as site Painted colour coded arrows on
Drainage ASPN effluent, surface water, or sewage and show the drain covers showing

Evidence
P R O
direction of flow. direction of flow and waste
type.
16.6 Grass / Base R O When present, vegetation must be kept trimmed Areas surrounding production
Planted Areas (in line with local regulations) and clear from the are not planted.
production, maintenance, and storage buildings
(approximately one metre clearance to prevent
pest harbourage).
Where this is out of the sites control (e.g. site is
rented or neighbouring site is close and they don’t
keep vegetation at bay) there must be evidence of
persistent communications and management of
potential issues.
16.7 External Base O External waste containers must be fully covered When external waste units are
Waste (pest proofed) and segregated. The waste container collected the Cleaning Team
Containers and area around these must be maintained in a shall be informed so that the
clean condition. area can be cleaned prior to a
In certain instances waste may be transported to new waste unit being put in
waste containers automatically, these containers place.
must be covered and managed to ensure a tidy,
pest free environment.
Bulk waste continually filled into truck trailers or
skips and replaced throughout the shift can be
exempted from being covered during filling, but
must be covered once full and replaced with an
empty container.
16.8 Control of High O A controlled access security system may be in place
Employees ASPN for all employees e.g. swipe cards, coded access.
16.9 Guard Base O If guard animals are used on site, a separate area
Animals must be provided for their amenities to prevent risk
of tracking contamination into the facility.
Guard animals must be under the control of
security guards and not free running.

Section 17. Design and Construction of Premises and Equipment

17A. Design and Construction of Premises
Evidence
P R O
17.1 External Base O The structure and fabric of the building must be
Structure and suitable for use, weather proof, pest proof, and
Fabric comply with FSANZ Standard 3.2.3 Food Premises
and Equipment or local equivalent.
www.foodstandards.gov.au.
17.2 External Doors Medium O There must be no external doors in open food Doorways no longer in use are
handling areas with the exception of those filled in to prevent use as a
identified and used only as fire exits. thoroughfare.
17.2.1 External Medium Where windows and doors can be opened to Emergency exit doors are
Windows and provide ventilation, a close fitting mesh screen alarmed or security tagged to
Doors must be in place, and the mesh size must be small prevent general traffic use.
enough to prevent pest ingress. These doors must
not however be used as personnel routes other
than in emergency.
17.2.2 External Doors Medium O Air curtain or automatic closing doors are fitted to
ASPN external doors.
17.3 Internal Base O Walls, floors, ceilings, drains, and doors must be
Structures designed and maintained to allow effective
cleaning. These must be maintained in a good
condition to prevent foreign body risks and pest
ingress.
17.3.1.1 Internal Medium O Walls, floors, ceilings, drains, and doors must be Swing doors with kick plates.
Structures constructed of impervious materials in open food Floors are anti‐slip.
areas.
Wall / floor junctions must be coved to allow easy
cleaning.
Walls must be protected against damage during
normal use (e.g. Crash barriers where
appropriate).
17.4 Internal High R O There must be a floor to ceiling physical wall If openings between Base or
Structures barrier between Base or Medium and High areas Medium and High areas are
(including between unpasteurised and pasteurised essential, hatches have an
product areas). interlocking door arrangement
Openings between Base or Medium and High areas i.e. cannot open one door if the
must be kept to a minimum. Where openings exist other is open.
(excluding main personnel door) these must be risk
assessed, managed, and verified.
17.5 Sinks Base O All sinks in production areas must not be

constructed from porous or breakable material.
Sink waste water must be ducted directly to a
drain.
17.6 Fabrication Medium O Fabrication joints must be sealed and free from
Joints microbial risk and not pose a foreign body risk.

Evidence
P R O
17.7 Traffic Flow Base O The location of entrances, personnel, and
equipment movement (e.g. traffic patterns) shall
be managed to ensure that equipment, personnel
and visitors do not pose a risk of product
contamination or recontamination.
17.8 Sinks Base P R O Separate sinks shall be provided for equipment
and hand washing and shall be clearly labelled.
Taps for equipment and hand wash sinks shall be
hands‐free operated (where possible – based on a
risk assessment).
Water for equipment sinks shall be at an
appropriate temperature based on the chemicals
being used.
17.9 Hand Washing Base P R O Where hand wash facilities are provided, these Mixer units for hand wash sinks
Sinks must have: shall prevent alteration of the
 Water at a suitable temperature to encourage water temperature.
effective hand washing Hand wash sink water shall be
 Liquid soap (bactericidal and non‐scented) able to run hot to
 Effective hand drying facilities approximately 40°C within a
 Taps that are not hand operated short period, without the food
 Signage present giving clear instruction on handler having to wait or wash
how to wash hands correctly. their hands. Water
 Paper towels or an effective alternative must temperatures below 22°C are
be used for hand drying. If paper towel bins considered too cold.
have lids, these must not be hand operated. Where paper towels are used,
 Cloth roller towels must not be used. bins must be provide at sinks.
Automatic hand dryers must not be used in These bins do not require lids
production areas based on a risk assessment of the but must be emptied regularly.
contamination / re‐contamination potential for Paper towels are suitable and
personnel or uniforms. Where hand dryers are not tissue like, which break‐up
used, they must be added to a cleaning and easily whilst drying hands.
swabbing schedule.
The colour of paper towels are
Bactericidal liquid soap and hand sanitiser must be blue or of a contrasting colour
used. Water temperature must be monitored and to product.
recorded.
Alarm in the production area
NOTE: In areas where the introduction of water when reapplication of sanitiser
may create additional hazards (e.g. dry is required.
blending).hand wash sinks must be
available immediately before entering
the area and sanitiser must be available
within the production area.
17.10 Hand Washing Base O Hand wash sinks shall be separate to equipment Water temperature shall be
wash sinks with signage to indicate their suitably controlled via ring
designated use. main systems or sink specific
Sufficient numbers of hand wash and sanitising thermostats.
facilities must be suitably sited (with a logical flow) Knee / foot operated or sensors
at all entrances, throughout production, storage, in place.
and maintenance areas where required.
Signage must be present giving clear instruction on
how to wash hands correctly.

Evidence
P R O
17.10.1 Hand Washing Base O Hand wash basins shall be provided adjacent to all
personnel access points and throughout product
handling, processing and packaging areas as
required.
17.10.2 Hand Washing Base O Hand wash basins shall be located at entry into
High areas and comply with FSANZ Standard 3.2.3
Food Premises and Equipment or local equivalent.
www.foodstandards.gov.au.
17.11 Footbaths Base P R O Where footbaths are in place these must not pose Boot wash stations or foamers
a risk to product and / or processes (e.g. Located in are used in place of footbaths.
a separate room, and there is no necessity to use
walkways over product after using a footbath,
etc.).
17.11.1 Footbaths Base O No footbaths are permitted unless required by a

ASPN regulatory requirement.
17.11.2 Footbaths High P O No footbaths in High areas or the entrances to

High areas unless required by a regulatory body.
17.12 Boot Washing High O A dedicated room shall be provided for boot
and Boot ASPN washing.
Washers
17.13 Floor Gradients Base O Floors must have adequate slope to drain to
prevent pooling of water.
The floor gradient must not be excessive and cause
wheel bases / trolleys to roll to drains.
17.14 Drains Base O Drains must be accessible for cleaning and fitted
with screens or traps to prevent pest entry,
odours, and debris from blocking drains.
Drains shall be situated to prevent contamination
of the environment, packaging, finished product,
and equipment.
Drain covers must be easily removable for
inspection and cleaning.
17.14.1 Drains Medium R A drain plan must be in place for the entire site Laboratory drains shall flow
(inside and outside) and must include laboratory directly out of the plant and
drains. not into storage or processing
areas.
17.14.2 Drains Medium R O Drains must flow from High areas to Medium to
Base areas (in order of risk).
Laboratory drains shall flow directly out of the
plant and not into storage or processing areas.
A system must be in place to prevent back flow.
17.14.3 Drains High O Open floor drains shall not be used in High areas.
17.14.4 Drains High O A separate drainage system for High areas from
ASPN Base / Medium areas.
A separate drain system shall be in place for

Evidence
P R O
laboratories.
17.15 Walkways Over Medium O Walkways and steps over production lines must be
Lines fitted with enclosed side kick plate, base, and back
plates to prevent product contamination.
17.16 Windows Base O Glass windows and doors in the production,
storage, maintenance, and employee facility areas
must be protected from breakage. This includes
office windows and doors in production, storage
and maintenance areas.
A risk assessment must be completed on
surrounding areas to establish the potential risk of
transfer.
17.16.1 Windows Base O Windows designed to be open, must be suitably
proofed to prevent pest entry (including windows
in canteens, toilets, and locker facilities that adjoin
the site).
17.17 External Doors Base O All doors are closed when not in use.
17.17.1 External Doors Base O All doors are self‐closing and are closed when not
ASPN in use.
17.17.2 External Doors Base O All external doors must be self‐closing, kept closed Good door control in place (i.e.
and secured when not in use and effectively doors not being left open for
proofed against pest ingress. long periods to temperature
External doors shall be secured to prevent access controlled areas or allowing
by unauthorised individuals. free access to pests).
If strip curtains are fitted, these must be Doors shall not be propped
maintained to ensure their overlap is sufficient and open.
kept clean.
17.18 Internal Doors High O Internal ‘rapid roller’ doors used in High and wet
areas must not touch the floor when closed to
ensure water is not allowed to drip onto product,
personnel or equipment passing beneath open
doors.
17.18.1 Internal Doors High R O Where removable wall sections are used between
the High areas and Base / Medium areas walls (to
allow for introduction / removal of large
equipment) must be close fitting and sealed each
time after opening.
A full deep clean of the High area environment
must be undertaken if wall section is removed,
before production recommences. Cleaning shall be
recorded.
17.18.2 Internal Doors High O Internal access doors leading into High areas shall
go through a High Area protective clothing
changing area.
NOTE: This does not include emergency exit
doors used for egress only or with a
physical barrier between the areas.

Evidence
P R O
17.19 Lighting Base O Lighting in all areas must allow good visibility to Ideally lights shall be fitted with
enable safe working. both shatter proof bulbs and
Lights must be protected by shatter proof covers shatter proof covers.
and / or sleeves (on the light tubes / bulbs) for the Lighting of 240 – 400 lux (lx) as
following areas: referenced in AS 1680.2.4:1997
 Production areas – Interior lighting – Industrial
 Storage areas tasks and processes.
 Production offices
 Employee facilities
 Maintenance areas
 Laboratories
 Any other areas where normal personnel
movement patterns may track contamination.
Adequate lighting must be in place above product
inspection areas.
17.19.1 Lighting High O Lighting designed so that bulbs are replaced
ASPN without entering production areas.
17.20 Ventilation and Base R O Ventilation and extraction systems must be Risk assessment shall be used
Extraction effective at preventing condensation, excessive in order to determine where
dust, pest entry, and not pose a risk to product condensate is present if
(e.g. its location in respect of product, processes, samples need to be sent away
equipment, and / or materials). for microbiological testing (e.g.
Similarly if heating is provided. Chocolate manufacture).
17.20.1 Ventilation and High R O An air filtration system must be in place and be High areas– filtration to a
Extraction regularly inspected and replaced. minimum F9‐H11 filter grade
The filter grades used must be risk assessed to must be in place and positive
ascertain the risk from airborne contamination air pressure.
from the local environment and the likely Generally 5‐25 air changes per
occurrence of product contamination e.g. time hour are sufficient, however in
product is exposed. areas with large doors/hatches
Positive air pressure (>5 Pascals) must be in place that are frequently opened up
in High areas, must flow from High areas to Base / to 40 changes may be required.
Medium areas, and must be monitored at defined
frequencies.
An initial assessment / study to measure air
pressure must be held by the site.
17.20.2 Ventilation and Base R O Air socks must be suitably located away from Air socks are included on a
Extraction product, packaging, and personnel traffic. testing schedule for Listeria and
These must be cleaned and maintained at a Legionella.
scheduled frequency. Frequency must be adequate
to prevent build‐up of debris / mould growth.
17.21 Services Base O All services, lines and hoses (pipework for water /
gas / steam, compressed air, electrical cabling /
conduit, sockets, ventilation ducting, compressors
/ pumps, fire extinguishers / sprinkler systems,
etc.) must be designed from material suitable for
the purpose and appropriate to the area where
used, intact, and allow easy and effective cleaning.
Services must be labelled and indicate the

Evidence
P R O
direction of travel.
Health and Safety requirements in the country of
manufacture must be adhered to.
17.22 Temperature Medium P R O Condensate drainage must be constructed and Condensate drainage must
Control designed so as to minimise the risks of have a break near to the floor
Equipment microbiological contamination. using a funnel to prevent any
Drainage pipes must have an efficient flow to potential of suck back from the
drains and not drip on product, materials, drain into the chiller units.
packaging, or production equipment. Condensate
lines must be piped directly to a drain and there
shall be an air gap to prevent backflow.
Draining pans (inside and bottom side) of cooling
units and coils must be a part of the facility
environmental monitoring (swab) program.
17.22.1 Temperature High P R O A risk assessment must be carried out to determine
Control if chemical sanitisers are required in condensate
Equipment drip trays. Sanitisers do not negate the need to
maintain the chill units and pipe work properly.
17.22.2 Temperature Base O Temperature controlled areas must be capable of

Control maintaining the required temperature as per the
Equipment raw material or finished product label temperature
specification.
Freezer areas must be adequately maintained to
prevent excessive build‐up of ice on walls, floors,
and ceilings.
17.22.3 Temperature Medium O Doors to temperature controlled areas are
Control ASPN automatic closing or alarmed if not closed.
Equipment
17.23 Site Offices Base O Site offices within production, maintenance,
laboratories, dispatch, receiving, and storage areas
must be managed so that they do not pose a risk to
product, equipment, or materials.
Food and drinks, with the exception of water, shall
not be stored in the aforementioned offices. Eating
and drinking is not permitted in these offices, with
the exception of plain drinking water.
Equipment must be kept to a minimum to allow
easy cleaning. Offices have basic equipment (desk,
chair, storage, computer, etc.) which is of an easy
to clean construction.
Offices shall not be adorned with personal items
(e.g. collectables, cups, bottles, etc.).
Stationery items shall be consistent with site rules
and GMP (e.g. site issue pens, no staples, no
drawing pins, etc.).
17.24 Product Base P O Organoleptic sampling of product must only be A separate room specific for
Assessment permitted in clearly designated sampling areas product sampling.

Evidence
P R O
Areas Hands and utensils must be washed after product Disposable single‐use sampling
sampling, utensils.
17.25 Control of Base P R O All visitors must sign in and when unannounced, Entrance to the site via a
Visitors prove their identity. manned security barrier / check
All visitors must be accompanied at all times by point.
site personnel. Personnel are encouraged to
All visitors must also sign out when leaving the challenge unknown visitors.
site.
17.25.1 Control of Base P R O All contractors must complete an induction to the

Contractors site if they are to move around the site
(other than unaccompanied.
delivery drivers) Contractors must sign in and a system must be in
place to manage contractors and a site manager
must be accountable for their movements.
All contractors must also sign out when leaving the
site.
17.25.2 Control of Base O Access to production, maintenance, and storage Appropriate levels of security
Employees areas must be restricted to authorised personnel. on site.
Restricted access areas are
secured.
Security guard is on site.
17B. Design and Construction of Equipment
Evidence
P R O
17.26 Design and Base O All equipment must be designed and constructed to Angles, corners, and dead
Construction enable hygienic cleaning and maintenance. spaces are eliminated.
It must be maintained in a good condition to prevent Equipment is not located too
foreign body risks. close to sinks, waste units,
The layout must not pose a risk of contamination. allergen production, washing
etc.
Controlled access must also be available to switch
and electrical cabinets for cleaning and pest control Equipment legs shall not be
inspections. hollow.
17.27 Conveyors ASPN O Conveyors used for moving open primary packaging Nuts and bolts are not used
Medium and open product shall be fitted with line covers to to secure line covers.
NOTE: This does not include conveyor sections
used as work stations (e.g. manual sorting,
assembly areas) or where steam may
condense over hot product.
17.27.1 Conveyors High O Conveyors used for moving open primary packaging Nuts and bolts are not used
and open product shall be fitted with line covers to to secure line covers.
NOTE: This does not include conveyor sections
used as work stations (e.g. manual sorting,
assembly areas) or where steam may

Evidence
P R O
condense over hot product.
17.28 Hard Piping Base O Hard piping, product piping and CIP piping, shall be
designed to not include ‘dead ends’.
NOTE: Under exceptional circumstances where
‘dead ends’ are unavoidable, the pipe
intersection must be no longer than 1.5
times the dead end pipe diameter.
17.29 Hard Piping Base O Hard piping, product, and CIP piping shall not
transition from a smaller diameter pipe to a larger
diameter pipe. If the site is unable to design the
process in this manner, then a booster pump shall be
installed at the transition point to provide adequate
flow.
17.30 Equipment – Base P R O Equipment which is out of service must be suitably
Out of Service identified and stored in a manner that does not pose
a risk of injury to persons and / or risk to product
(e.g. not left with small parts around the area or in an
unhygienic condition).
17.31 Specifications Base R O All equipment must be properly specified and
and commissioned for its intended use and assessed by
Commissioning the HACCP Team for:
 Suitability for the product (e.g. low pH)
 Clean‐ability
 Sanitary design
 Contamination points
 Suitability for the environment
 Suitability for the cleaning chemicals
 Loose parts and foreign body components
 Components are compatible with foreign body
detection equipment
17.32 Welds and Medium O All surfaces including welds and joints must be Food contact surfaces have
Joints smooth and impervious. continuous welds, free of
Spot welds are unacceptable. scratches, inaccessible
crevices, and free from
pitting to prevent the
trapping of food debris.
17.33 Construction Base O Equipment must be constructed from materials that
are not susceptible to damage under normal usage
and cleaning.
17.33.1 Construction Medium R O Parts susceptible to wearing on mechanical Parts susceptible to wearing
equipment that come into contact with food must be are of a contrasting colour to
regularly inspected / monitored for wear and damage the food (when possible).
e.g. belts, brushes, cutting boards, and scrapers.
17.33.2 Construction Medium R O All food contact materials e.g. trays, production
belts, chopping boards, food contact utensils etc.
must comply with FSANZ Standard 3.2.3 Food
Premises and Equipment (at minimum or equivalent
in‐country legislation) for material and articles

Evidence
P R O
intended to come in contact with food or equivalent.
A written declaration of compliance must be
available from the equipment manufacturer for any
new equipment.
Refurbished equipment must be brought up to
manufacturer’s standard or higher.
17.33.3 Construction High O Equipment in High areas must be designed to allow Quick release mechanisms
quick strip down for easy cleaning. for belts. Good access for
Electrical cabling and air pressure lines must be inspection and manual
considered. cleaning inside equipment.
17.34 Location Base O Equipment must be located to give access under,

inside, and around to allow cleaning and servicing.
Equipment must be located away from potential
risks of contamination (e.g. not too close to a hand
wash sink, under chiller units, etc.).
17.35 Access Medium O Suitable access to the interiors and exteriors of
equipment must be available during audits.
17.36 Mobile Base O Mobile equipment e.g. forklift trucks, pallet trucks, Mobile equipment must be
Equipment scissor lifts, and ladders must be clean, maintained, stored away from packaging
and stored in a suitable area when not in use to and food ingredients, when
prevent foreign body risks. not in use.
17.36.1 Mobile Medium O Battery charging equipment must not be stored in
Equipment open food areas, next to raw materials / ingredients,
finished goods, or packaging materials. Mobile
equipment e.g. forklift trucks and pallet trucks that
are used in open food areas must not be used
outside.
Equipment with maintenance free batteries may be
charged in these areas, provided they are stored
away from open food processes.
17.36.2 Mobile High O Mobile equipment e.g. forklift trucks, pallet trucks,
Equipment scissor lifts, hoses and ladders used in High areas
shall be dedicated to the High area and visually
distinctive.
17.37 Transfer Piping Base O Any hard plumbed transfer piping, when not in use
shall be capped.
17.38 Transfer Piping Base O Any mobile transfer piping or hoses shall be elevated
/ Hoses off the floor, whether in use or being stored, and
stored in a manner that allows them to drain.
17.38.1 Transfer Piping Base O Hoses must be dedicated to their task and labelled
/ Hoses or visually distinctive.
Chemical hoses shall not be used as product transfer
hoses.
Raw transfer hoses shall not be used for cooked
product.

Section 18. Storage

Evidence
P R O
18.1 Storage Areas Base R O Storage areas must be fit for purpose and Racking where fitted is far
maintained in a clean / hygienic condition. enough away from the wall,
Materials must not be stored directly on the floor or to prevent pallets being
tight against the walls (sufficient space is required pushed tight up against the
for pest inspection). wall.
There is enough space to
allow walking access between
materials and walls for
inspection.
18.2 Storage Areas Medium O Physical markings shall be in place to indicate where Ingredients shall not be
ingredients, product, and packaging can and cannot stored with finished products
be stored (e.g. allergens, organic, non‐GMO, etc.). or packaging.
18.2.1 Storage Areas Base O Materials shall not be stored under chiller units to Physical barriers and floor
prevent risk of microbiological contamination from markings are in use to define
condensate. storage areas.
18.3 External Storage Base O External units (including silos, tanks, chillers, and
Units freezers) must be kept locked with restricted access.
Base of silos shall be sealed to prevent
contamination and pest ingress.
Connecting pipes stored outside must be maintained
in a clean condition, stored off the ground, and ends
capped with locks or security seals.
18.4 Loading Bays Base O Where raw materials and finished goods are
susceptible to weather damage, sufficient covered
loading bays must be available to protect the
materials during loading / unloading.
18.5 External Storage Base O External units (including shipping containers, chillers,
Units and freezers) must be added to a monitoring
schedule and checked for temperature control and
energy source that supports the unit is operational.
18.5.1 External Storage Base O Unloading pits, receiving canopies etc. shall not pose
Units a contamination hazard, and netted or protected
against birds and gaps in loading hatches and covers
fitted with brushing to prevent rodent access.
Unloading pits shall be covered when unloading is
not taking place.
18.5.2 External Storage Base O Other external units (e.g. portable offices or shipping Units are sited on a concrete
Units ASPN containers), which are close to the ground, with large base and sealed at the base
inaccessible voids underneath, shall be made to prevent pest ingress.
inaccessible to rodents.
External storage areas must be shown on the pest
control schedule.
18.5.3 External Storage Base P O Raw materials, packaging, and food processing Outdoor areas including truck
of Raw equipment must not be stored outside in the open. unloading of materials to be
Materials, If external storage is required, this must be approved transferred inside shall be

Evidence
P R O
Packaging, by a Coles CBM / PT and managed through the sealed.
Equipment Variation Process. Partial pallets of materials
returned to external storage shall be stored indoors.
Where external storage is unavoidable, items must be
in a hygienic condition and protected from
deterioration, contamination, and pests. These items
must be inspected in detail prior to transfer to the
interior of the site. This includes all Cole’s reusable
plastic crates (RPCs).
18.5.4 External Storage Base P O Where pallets are stored outside, a procedure must
of Raw be established to describe the movement and
Materials, inspection of pallets before use inside the facility to
Packaging, prevent contamination by pests and other
Equipment contaminants.
18.6 Packaging Base P O Packaging must be stored in a designated area and Good segregation may take
Storage be suitably covered to protect from contamination. the form of product labels
Similar packaging must be stored separately to separated from promotional
prevent incorrect use. For example similar recipes labels, dedicated pallet
(biscuits with / without nuts), different pack sizes spaces in the case of large
(may only appear to have different bar codes), quantities, or post office style
promotional labels, etc. are segregated or suitably sorting box.
controlled.
18.6.1 Packaging Base P O Access to the packaging storage area is controlled Packaging and label stores
Storage ASPN and limited to authorised personnel. are kept locked.
18.7 Part‐Used Base P O Part‐used packaging must be returned to storage,
Packaging relabelled and suitably covered to protect from
Materials contamination after use.
Based on risk assessment bulk packaging (e.g. films,
plastic for bases) that is used daily for all products
may be left on line provided it is suitably covered to
protect from contamination and covered during
cleaning.
18.8 Water Storage Base P R O Bulk water storage facilities must be constructed
from approved materials, of a size that prevents
stagnation, and designed to exclude light / pest
entry.
Tanks must be inspected and cleaned at frequencies
determined by risk assessment.
A water testing program shall be developed based
on a risk assessment to consider the frequency of
testing against the frequency of water storage and
use.
Bulk water tanks shall be part of the water potability
testing program.
18.9 Ice Handling Base P R O Ice must be handled and stored in a manner that
and Storage does not pose a risk of contamination. Ice storage
and handling equipment must be on a cleaning
schedule and where sanitiser dips are used these
shall be checked for sanitiser concentration.

Section 19. Water Management

Evidence
P R O
19.1 Risk Assessment Base P R A risk assessment must be completed on water For further information on
safety / quality. Legionella – Legionellosis
The composition of water delivered to the site must National guidelines for public
be known and the standard required for use in health units at
production as an ingredient (whether as water, ice, www.health.gov.au.
or steam), for cleaning or other uses must be
defined.
The assessment scope must include source, storage,
handling, treatment, impact on environment, and
waste management.
Water may be sourced from a public (mains) supply
or from a private source.
19.2 Water Supply Base P R O Water used in processing food, as an ingredient, for For further information on
washing materials or for cleaning must be potable. water quality – Australian
Potability must meet local requirements at Drinking Water Guidelines
minimum. (2011) at www.nhmrc.gov.au
19.2.1 Water Supply Base P R O If non‐potable water is used on site it must be

segregated and controlled.
If water is from a non‐potable source (e.g. a river or
dam), areas where non‐potable water is used (e.g.
toilet flushing, wash downs, and pre‐rinses) must be
19.2.2 Water Supply Base P R Systems must be in place to manage notifications Systems are in place to
from a health department of contaminated water manage changes in water
sources (e.g. notification to boil water because of sources if they could affect
Cryptosporidium, water main breakage or product safety or quality.
maintenance, purging of water lines, etc.).
19.3 Water Supply Base R Potability testing must be completed by an

accredited laboratory covering microbiological,
chemical, and physical parameters. Further
information can be found in the CFMSR Water
Analysis Guidelines available on Coles Fusion.
Where water is used for processing or cleaning, the
site shall complete annual microbiological and
chemical analysis of water potability independent of
any certificates or reports from the public supply
authority.
Water samples shall be taken from points of use
located furthest away from the supply source.
19.3.1 Water Supply – Base P R Where water is from a private source, the potability
Private Water must be demonstrated on a routine basis.
Certificates or reports of potability must be provided
(minimum 6 monthly) based on a risk assessment.
If certain water sources are only used seasonally, the
water must be tested at the start of each season and
until the season is completed.

Evidence
P R O
19.3.2 Water Supply – Base R O Ice manufactured on site or purchased must be Dedicated labelled or colour
Ice tested for microbiological and chemical levels as per coded equipment is used for
other water testing at a frequency of minimum 6 handling and storing ice.
monthly.
Ice testing must also include a melt analysis to check
for foreign material.
19.4 Water Supply Base P R Water supply shall be tested for potability following
natural disasters or adverse events such as floods,
bushfires, line breakage, etc. (e.g. chemical and
microbiological testing), even if sourced from a
public supply.
19.4.1 Water Supply High R All points on the ring main system are included on a
ASPN water testing schedule.
19.5 Water Base P R Where water treatments are in place they must be It is good practice to run taps
Treatment monitored to ensure they remain effective through to flush the system at defined
monitoring of critical parameters. frequencies if they are not
A site using chlorination as a treatment has a system used on a daily / weekly basis.
in place to monitor and record dosing levels, free and
total chlorine, contact time, and pH during use.
A site using UV shall have a monitoring system in
place to verify the functionality and changing of UV
lamps.
Filtration systems including Reverse Osmosis shall be
part of the monitoring and Preservative Maintenance
program.
19.5.1 Water High R Automated controls and an alarm mechanism are in
Treatment ASPN place to notify management if levels fall outside set
limits.
19.6 Water Plan Base R There must be a schematic plan of all water circuits
within the site which is reviewed annually.
Potable and non‐potable water lines (including
storage and header tanks) must be identified
throughout the site. Dead ends on potable water
lines must be eliminated.
19.7 Water System Base O There must be a backflow prevention device fitted to
main water lines, on individual hose drops lines
within production areas, and chemical dosing units.
19.8 Control of Base P R All steam used for product manufacture or in contact
Steam with product contact surfaces must be from potable
sources.
Steam must be part of the water testing program
and scheduled based on a risk assessment.
Documentation must be available that indicates all
boiler components meet approved boiler additive
standards, including standards related to the product
where applicable (e.g. Organic).
19.9 Waste Water Base O Sewage disposal must not compromise food safety

Evidence
P R O
or employee health.
Waste water and sewer drains must not be vented
inside the facility.
19.10 Waste Water Base O Waste water shall be piped directly towards a drain
and does not spill across walkways or large areas of
floor surfaces.

Section 20. Pest Control

Evidence
P R O
20.1 Pest Control Base P R O The site must have an effective Pest Control Program
(PCP) covering the whole site (both internal and
external areas, external storage areas, silo bases and
roof voids) to ensure product is not at risk from pest
activity.
The PCP must be documented and include adequate
preventative and monitoring systems to reduce the
risk of contamination of product from insects,
rodents, birds, and other animals.
This site must nominate a member of the
management team to manage to PCP.
The site management must assume full responsibility
for the adequacy and maintenance of the integrated
pest management program.
20.1.1 Pest Control Base R The PCP shall be developed by a field biologist or
entomologist and based on a risk assessment.
The assessment shall include an analysis of the pests
likely at the site due to the:
 Types of product handled and the pests they
attract
 Environment based on the geographic location
of the site
 The surrounds / vegetation of the site including
creeks and drains
 Activities of site neighbours
The PCP must be designed to consider the types of
products the site manufactures or stores (e.g.
organic).
20.2 Pest Control Base R Where an External Provider is used, the PCP must be A photocopy of the Pest
Program managed by the site, with the: Control Technician’s licence is
(External  A copy of the pest control contract describing on file and shows expiry date,
Provider) the specific services to be rendered including and has not expired.
separate submissions for any additional services
 Copy of Pest Control Contractor (PCC) business
licence
 Copy of current liability insurance
 Copy of the Pest Control Technician’s (PCT)
licence
 SDSs for all current and previously used
pesticides/chemicals
 24 hour 7 day per week contact details for
emergency issues
20.3 Pest Control Base R Where the PCP is managed by the site, the supplier
Program (In‐ must ensure:
House)  A member of the supplier’s management has
been appointed to manage the PCP
 A Pest Control Technician and deputy have been
trained to identify and control pests at the site
and have been licenced (if required) to use

Evidence
P R O
pest control chemicals. Where a licence is
required, a copy of the licence must be kept
with the PCP records.
 Engagement of a specialist pest control
company for any additional services (such as
treatment of infestation, removal of protected
species (e.g. possums).
 SDSs for all current and previously used
pesticides/chemicals
Live catch systems must not be used where the site
does not have 24 hour 7 day per week coverage.
20.4 Management Base P R A trained company employee and nominated deputy
and Supervision must be accountable for managing the pest control
program. These employees must ensure that the visit
schedule is maintained.
Training of company employees can be by the PCC or
other qualified experts. A competent person must
train staff involved in carrying out specific tasks such
as monitoring multi catch traps.
20.5 Records Base P R Where electronic / paperless systems are in
operation, the designated individual and their
nominated deputy must have access to the system
(e.g. the password is known by more than one
individual).
20.6 Management Base R Site personnel shadow the PCT during visits /
and Supervision ASPN treatments.
20.7 Bait Map Base P O A full and detailed plan (e.g. schematic) indicating Toxic baits are not used
positions and type (i.e. toxic/non‐toxic) of all baits routinely in storage areas
and monitoring equipment (internal and external), unless recommended by a
must be available on site and must be uniquely PCC and approved by Coles
identified. CBM / PT.
Electrical cabinets and switch boxes on equipment
shall be included in the pest control assessment.
All equipment must be appropriately sited. Bait
stations must be secured to walls or floors to prevent
removal and must be located against the building
and the ground in the likely path of rodents.
Bait stations must be robust and tamper proof (to
prevent removal of bait other than by PCT or pest
activity).
Bait stations must be located in the direct path of
rodent travel (i.e. along the edge of walls and placed
flat on the ground to encourage bait feeding).
20.7.1 Bait Map Medium P R O Baits used inside open food processing, storage,
maintenance, employee facilities, and associated
areas must not be toxic (unless these are situated
inside enclosed access panels to service areas /
risers).
Loose or granular toxic baits must not be used.

Evidence
P R O
Liquid baits shall not be used in production and
storage areas.
If used, gels or blocks must be contained within
suitably secured bait boxes.
Toxic baits are only used where there is clear
evidence of a recent problem (e.g. actual sightings of
rodents or recent droppings); written approval to use
toxic baits is required from the relevant Coles CBM /
PT before toxic baits are used in the interior of the
facility.
20.8 Flying Insects Base P O Where Electronic Fly Killer (EFK ‘bug zappers’) units FIC units are located at all
or Flying Insect Control (FIC) units are used, the entrances (not in direct sight
position of units must be determined by risk of) to the production and
assessment. These must not pose a contamination storage areas and based on a
risk to product or materials and must not be risk assessment.
positioned over lines. FIC units are located outside
Service schedule for emptying the traps and trending of production areas to draw
of captive data. insects out and away from
Bulbs in units must be protected (shatterproof production.
tubes) and changed (minimum annually) with
records available.
The capture numbers do not need to be absolute.
Approximate numbers shall suffice. Where the
numbers are too many to count estimate by
counting a small area e.g. 10 cm square area. If the
total area is 100 cm square then the total number is
10x the count found in 10 cm square.
20.8.1 Flying Insects Base P O FIC shall be sticky board type.
ASPN EFK (‘bug zapper’) units that electrify the insect shall
not be used.
20.9 Pheromone Base R Where pheromone traps are used, monitor total The capture numbers do not
Traps species captured e.g. stored product moth, Cigarette need to be absolute.
Beetle, etc. (where practical). Approximate numbers shall
Pheromone units must be replaced on suffice. Where the numbers
predetermined frequency to ensure effectiveness. are too many to count
estimate by counting a small
area e.g. 10 cm square area.
If the total area is 100 cm
square then the total number
is 10x the count found in 10
cm square.
20.10 Bird Control Base O Activities to prevent birds (e.g. use of bird scarers, Consideration is also given to
shooting, netting, etc.) must comply within country the proofing of window
legislation and not put product at risk of ledges, area above doors,
contamination. pipework, building structure,
Canopies must be sufficiently proofed or netted to redundant buildings, etc., to
prevent nesting birds (e.g. at loading bays etc.). prevent nesting and / or
roosting birds.
20.11 PCT Visit Base R PCT visits must be conducted to the agreed
Schedule schedule.

Evidence
P R O
During routine visits all traps, bait stations, and other
monitoring equipment must be opened, inspected,
and inspections and activity levels documented.
20.11.1 PCT Visit Base O Records of service verification or barcode must be
Schedule on the inside of pest control device.
20.12 Service Record / Base P R O During each visit activity / action reports must be Monitoring records of all pest
Visit Report completed by the PCT, including documentation of activity with:
chemicals used, work completed, observations of  Date
activity, and recommendations (e.g. site required  Device number
maintenance, hygiene, waste control, etc.).  Description of what was
When chemicals are used, the Chemical Usage Log found at each device
must be completed. type.
20.13 Service Record / Base R Debrief of findings after each service shall occur
Visit Report between the PCT and the nominated site staff
responsible for the program.
20.13.1 Service Record / Base R Site recommendations by the PCT must be
Visit Report documented in the supplier’s corrective action
system, action taken and verified as effective.
20.14 Fumigation Base P R O Fumigation shall only be conducted by a pest control
company that fumigation company, with fumigants
that are safe for use with food.
After fumigation the supplier shall:
 Ventilate the treated area
 Observe any withholding period prior to using
any treated raw materials or releasing treated
finished product.
 Check the effectiveness of fumigation and for
signs of dead insects, webs, cocoon’s etc.
 Remove affected product entirely from the
area.
 monitor for re‐emergence of active insects
The supplier shall consult with the pest controller to
determine an effective treatment plan that can
include routine visits, increased frequency in warmer
months.
20.15 Infestation Plan Base R Where serious infestations are identified, the PCT
must ensure the site representative understands the
extent of the infestation and potential for product
contamination. The site and the PCC shall develop
and implement an eradication plan
The site shall inform the Coles CBM / PT of the issue
and the plan.
When treating cockroaches, the treatment plan shall
include:
 Initial treatment weekly for six weeks with
monitoring for three consecutive night visits
after dark.
 Thereafter, monthly night‐time inspections for 6
months to verify effective eradication.

Evidence
P R O
20.16 Corrective Base R Corrective actions and reports must be signed off by
Action personnel responsible for pest control on site (or a
designated deputy).
Corrective actions must be effective.
20.17 Traps Base P R Where used, live catch systems must be inspected Where used live catch
daily or more frequently where required by country systems are inspected every
legislation. 12 hrs.
Where gas traps are used these must be enclosed, Records need to be in place
tamper proof, and have an indicator to show if the to demonstrate compliance
trap has been activated. The design must be as such (e.g. Checks completed at the
that it gives a lethal kill. required frequency).
Gas traps must only be used in production or storage
areas with permission of Coles CBM / PT must be
checked at least weekly.
Cage traps must be checked daily.
Sticky board traps are only allowed for insects.
Break back traps shall not be used.
20.18 Pest Sightings Base P R The Pest Sightings Log shall be used by site staff and
Log Pest Control Technician to log all pest sightings and /
or evidence of activity.
 Date and time
 Name of initiator
 Pest sighted
 Location
 Action taken and signature.
20.19 Pest Control Base O Chemicals used for pest control shall be stored
Chemicals separate from the production and storage (including
storage of raw materials and packaging) areas.
20.19.1 Pest Control Base R O List of pesticides / chemicals recommended by PCC
Chemicals and approved by site management for use on site.
Approved pesticides and chemicals shall be
consistent with product requirements (e.g. Organic).
20.19.2 Pest Control Base O Chemicals used for pest control shall be stored in a
Chemicals building secured with a lock, separate or external to
the production and storage buildings (including
storage of raw materials, cleaning chemicals, and
packaging).
20.19.3 Pest Control Base O No pest control chemicals shall be stored on site.
Chemicals ASPN
20.20 Pest Control Base R Pesticide usage record includes:
Chemical Usage  Target pest
Log  Description of material / chemical used.
 Amount used
 Specific area where chemical was applied
 Method of application
 Date and time of treatment
 Estimate of wind velocity and direction, air
temperature where required for external

Evidence
P R O
application
 PCT’s signature
20.21 Trend Analysis Base P R Trend analysis of pest control data must Action limits must be
demonstrate trends are within acceptable limits. determined in conjunction
with the Coles CBM / PT.
20.22 PCC Audit Base R Six monthly audits on the program shall be Audits shall be conducted by
conducted by a trained person. a field biologist /
Audits shall review / assess the following: entomologist (or equivalent).
 Inspection of site Results of pest control
 Effectiveness of program records shall be reviewed for
 Site risk assessment documentation trends.
 Quality of service conducted by Pest Control Corrective actions for pest
Technician control are managed through
 Documentation is accurate and current. the site corrective‐action
 Details of any corrective actions and their systems.
effectiveness.
The findings from the audit shall be reviewed and
signed with the site contact.

Section 21. Maintenance

Evidence
P R O
21.1 Equipment and Base P R O The structure and fabric of the buildings and Timeframes for maintenance
Facilities equipment must be maintained in good condition schedules are based on risk.
with repairs completed.
A system must be in place to prioritise repairs that
may impact food safety, legality, and quality. All
repairs must be completed in agreed timeframes.
21.2 Preventative Base P R There must be a planned Preventative Maintenance
Maintenance (PM) program implemented that covers all
equipment critical to safety, legality, and quality.
21.2.1 Preventative Base P R A computer based risk assessed PM program is in
Maintenance ASPN place that details all equipment and highlights when
activities are required. The system shall show the
equipment history and trend information.
21.3 Records Base P R A system must be in place to record all maintenance
work requested and PMs conducted. Records must
be signed on completion of the work by
maintenance and production / storage personnel.
Work must be completed in the agreed timeframes.
Procedures must be in place to manage work not
completed within agreed timeframes.
21.4 Foreign Body Base P R A system must be in place to identify and correct
Risks potential sources of foreign bodies or hygiene
hazards e.g. flaking paint, damaged surfaces, cracked
welds, worn gaskets, etc.
21.4.1 Trend Analysis Base R Trend analysis information is used to identify and act
ASPN on areas for improvement.
21.5 Equipment Base P R Repairs to or servicing of equipment must be
completed by trained maintenance personnel,
approved contractors, or the equipment
manufacturer.
21.6 Maintenance Base P R Maintenance activities must be controlled.
Risk assessments must be completed prior to work
commencing to ensure raw materials, packaging,
and product is not put at risk.
Work shall be approved by the Food Safety or
Quality Team prior to work commencing.
21.7 Maintenance Base P O Maintenance work areas must have good standards
of fabrication, hygiene, and housekeeping.
Production or food containers must not be used as
general storage containers in these areas.
No food or drink with the exception of water in an
approved container shall be stored or consumed
within the maintenance area.
21.7.1 Maintenance Base O Wherever possible, maintenance work must take

Evidence
P R O
place away from production areas.
Maintenance areas must have restricted access to
unauthorised personnel.
21.8 Hot Work Base P R O Welding, drilling, riveting, and soldering, etc. must Swarf mats are located at
not take place on equipment being used for lathes and drill presses.
production or on any equipment immediately
adjacent, unless suitable hygienic screening is in
place.
The Food Safety or Quality Team shall assess the work
required and approve the foreign body controls to be
put in place prior to the commencement of work by
maintenance personnel.
21.9 Temporary Base P R O Temporary repairs must be controlled and inspected Temporary repairs shall be
Repairs daily to ensure product is not put at risk. marked with the date they
Timeframes for permanent repair shall be were installed and the name
documented in the work order system. of the person approving.
The material used must be suitable e.g. no sticky
tape, cardboard, etc.
Permanent repairs must be made promptly.
Temporary repairs shall be approved by the Food
Safety or Quality Teams, and added to a schedule
with a timeframe agreed of when a permanent fix is
to be completed.
The location and type of temporary repair shall be
added to the site GMP review and assessed during
GMP inspections until a permanent fix has been
completed.
21.10 Tools and Base O Tools and trolleys must be kept clean, well
Trolleys maintained, and replaced when necessary.
Toolboxes must only be placed on a tool bench or
trolley.
21.10.1 Tools and Medium P O Tools and trolleys must be captive to site or Tools and trolleys are colour
Trolleys adequately cleaned prior to transferring into open coded for the area in which
product and packaging areas. they are used.
Where tools and trolleys are not captive to the area
they must be adequately cleaned prior to moving to
another area (e.g. Base to Medium area).
Where tools and trolleys are used within an area,
attention shall be given to cleaning of tools between
one line and another or one activity to another (e.g.
unpasteurised to pasteurised, allergen line to non‐
allergen line, etc.).
21.10.2 Tools High P O Tools must be captive to High areas and cleaned as
required. If tools are introduced to the area, tools
must be sanitised upon entry into the area.
Where tools are used within an area, attention shall
be given to cleaning of tools between one line and
another or one activity to another (e.g. allergen line
to non‐allergen line).

Evidence
P R O
In the event of electrical tools being required to
complete repairs these must be clean and sanitised
prior to entry to the High area.
21.10.3 Parts High O Parts must be washed and decontaminated prior to
moving into High areas.
21.11 Toolboxes and Base O Maintenance personnel and contractors completing
carriers. repairs in production and storage areas must be
provided with a lockable metal or plastic tool box.
No cloth or leather tool carriers or belts shall be
used.
21.11.1 Tool Boxes Medium R O Tool boxes must contain an inventory of items they
contain.
Toolboxes must be cleaned at a defined frequency or
more often as needed based on the risk of
contamination.
21.11.2 Tool Boxes Medium R Tool box contents must be checked at a defined
frequency against the inventory.
All small items must be separately contained within
the tool box.
21.12 Tools / Parts Base P R O All tools and parts must be controlled. A system A system is in place for
must highlight and initiate an investigation if a tool Counting tools and parts in
or part is missing. and out of the workshop.
21.12.1 Tools / Parts Base P R O A system must be in place to identify and carry
adequate stocks of critical equipment parts.
21.12.2 Tools / Parts Medium O Whilst maintenance work is conducted on production
equipment, small parts must be stored in sealed
marked containers, magnetic mats, or trays to reduce
the risk of product contamination.
21.12.3 Tools / Parts High O All soft equipment parts are metal detectable (e.g.
ASPN conveyor belts, cable ties, O‐rings, etc.).
21.13 Maintenance / Base P R O Maintenance personnel and maintenance Maintenance and contractors
Contractors contractors must not present a risk of contamination are trained in basic food
and must comply with necessary health and safety safety / hygiene and
requirements and operational GMP of the site, allergens.
including wearing of protective clothing.
A list of approved contractors who have been
briefed on site controls must be in place.
All work carried out by contractors in production and
storage areas shall be inspected and approved by the
Food Safety or Quality Team prior to commencing
work.
21.13.1 Permit to Work Medium P R A permit to work system must be in operation if the
maintenance work required poses a potential risk to
product (e.g. welding, cutting, etc.) or entry of
individuals (e.g. into confined spaces such as tanks or
machines).

Evidence
P R O
All work carried out by contractors in production and
storage areas shall be approved by the Food Safety or
Quality Team prior to commencing maintenance
work.
21.14 Line Clearance Base P R O After maintenance work (including temporary
repairs) has been completed, a system must be in
place to assess cleaning requirements prior to use in
production or storage areas.
Documented cleaning is required following
maintenance. This must be undertaken before work
in the area commences.
Equipment must be inspected and signed back to
production or area personnel / QA / Cleaning Team at
the conclusion of work (depending on site
procedures) by the maintenance staff following work
and any necessary cleaning defined.
Where no QA team are available on shift, a senior
person independent of the task (e.g. night shift
supervisor) shall inspect the equipment.
If maintenance work is carried between shifts, there
must be a system in place to ensure a full clean and
inspection is still carried out.
21.14.1 Line Clearance High P R O If the site is in total shutdown for an extended period
(e.g. Annual maintenance, replacement of floors
etc.), then High area clothing protocols may not be
required during the maintenance provided no
production is taking place and no packaging or
materials remain in the area.
A total cleaning, sanitising, inspection and line
clearance activity must be undertaken to return the
area to High status prior to recommencing
production.
21.15 Lubricants Base P O Only food grade lubricants may be used on food
handling/contact equipment. Information must be
available to demonstrate food grade suitability for
materials used.
Lubricants must not contain known allergens.
A copy of the SDS for lubricants must be available.
A copy of the SDS for lubricants must be available.
21.15.1 Lubricants Base P O All food and non‐food lubricants are clearly labelled,
are stored separately and secured with lock.
Lubricating equipment (e.g. grease guns) must be
segregated, dedicated, labelled / visually distinctive
as food grade or non‐food grade lubricant.
Non‐food grease guns shall be securely stored
separately from food grade grease guns.
21.16 Clothing Medium O Coats, hair coverings, gloves, and shoes worn by
maintenance personnel must be distinguishable
from normal site protective clothing (ideally a

Evidence
P R O
different colour). Maintenance garments shall be
changed when entering production areas.
Where personnel move from one area to another,
attention shall be given to changing clothing and
protective clothing between one line and another or
one activity to another (e.g. unpasteurised to
pasteurised, allergen line to non‐allergen line).
These garments are laundered separately to site
protective clothing.
21.17 Cloths and Rags Base P O Maintenance cloths and rags must be in a
contrasting colour to the ingredients and finished
product(s), and other production cloths (such as
cleaning cloths), and must be laundered separately.
Rags must not contain any foreign body hazards such
as loose threads, buttons, etc. and must not be from
recycled clothing are not permitted.

Section 22. Calibration

Evidence
P R O
22.1 Master List Base R A master list / calibration matrix of all measuring and
monitoring equipment requiring calibration must be
maintained (including production and laboratory
equipment) and must include:
 Serial numbers and / or ID numbers of
equipment
 Frequency of calibration / verification
 Date of last calibration
 Date when next calibration is due
 Acceptable equipment tolerances.
22.2 Calibration Base P O Measuring and monitoring equipment critical to
product safety, legality, and quality must be checked
for accuracy at pre‐determined frequencies. The
frequency shall be every year at minimum, or more
often based on the type of equipment and the
environment (e.g. mobile scales, or scales used in
wet areas).
A contingency or back‐up device must be available in
the event of CCP / QCP / legal measuring equipment
being out of service or away for repair.
Reference equipment shall be securely stored and
not used as daily measuring and monitoring
equipment.
22.3 Calibration Base R All measuring and monitoring equipment must be Temperature probes are
calibrated to National Standards where possible or externally calibrated to NMI
have documented records traceable to National annually and then verified
Measurement Standards (NMI). internally throughout the
year.
22.3.1 Calibration Base R Equipment shall be calibrated / verified at the range
at which these are used.
22.4 Certified Test Base P R O Test weights certified against the National
Weights Measurement Institute (NMI) shall be used to verify
scale and check weigher accuracy using the ‘5‐point’
check (each corner and centre of scale).
If in‐line scales or check weighers do not allow for
the use of test weights, the certified test weights
must be used as part of a cross‐reference method.
Test weights must be available in sizes relative to the
weights of the products being assessed.
Test weights used must represent the weight range
of the products being assessed on that equipment.
Test weights must be certified and must be
maintained to prevent damage.
Current calibration certificates must be available for
NMI test weights and must be re‐certified every 2
years. This includes test weights used for multi‐head
fillers where required.
Test Weights shall be controlled, securely stored

Evidence
P R O
when not in use, and not used for other purposes.
22.5 Weight Checks Base R O Scales used for trade weight, laboratory analysis, in‐
process testing, and ingredient preparation shall be
verified with a five point check.
22.6 Automated Base P R O Where multi‐head weighing machines are used for
Weight Control final weight checks (e.g. Ishida, Yamato, triangle
Test Weights scales), calibrations shall be conducted daily using
certified test weights.
22.7 Verification Base R Verification checks across the normal operating
range must be conducted on calibrated equipment
that is critical to food safety, legality and quality,
based on risk assessment.
All portable / handheld CCP / QCP equipment is
verified on a daily basis e.g. temperature probes.
22.8 Procedures Base P R Measuring and monitoring equipment must be
calibrated/verified for accuracy against written
procedures detailing:
 Frequency of calibration / verification
 Method of calibration / verification
 Acceptable equipment tolerances
 Corrective action to be taken if equipment is
outside tolerance.
22.9 Equipment Base P R Equipment must be calibrated at a frequency at least
as recommended by the equipment manufacturer.
Equipment to be calibrated must include (when
applicable):
 Flow meters
 Counting devices
 Timing devices
 Metal detectors
 X‐Ray equipment
 Scales and test weights
 Volumetric filling equipment
 Laboratory equipment (such as incubators, pH
meters, titrators, micropipettes, autoclaves, etc.
 Tray washers
 Pasteurisers
 Ovens, etc.
22.10 Training Base R All calibration / verification must be carried out by
trained personnel only.
22.11 Calibration Base R Calibration certificates and records of verification
Records must be available and up to date. Records shall
document any adjustments made.
22.12 Equipment Base O Measuring and monitoring equipment must be
protected from unauthorised adjustment, damage,
deterioration, and misuse.
22.13 Equipment Base P R O Equipment that is operating outside of specified
limits must be taken out of service, replaced, or sent

Evidence
P R O
for repair.
Documented corrective action must be evident
where inaccurate measuring or monitoring
equipment has been used.

Section 23. Site Hygiene

Evidence
P R O
23.1 General Base O Equipment and facilities must be maintained in a
Hygiene clean condition.
23.2 General Base P R O The site must operate a ‘Clean as You Go’ Policy with Personnel shall not use high
Hygiene personnel responsible for maintaining a clean and pressure hoses during
tidy working area. production.
Methods of cleaning must not pose a risk of Cleaning operations are
contamination or generate aerosols, which could managed to make sure these
contaminate nearby products, surfaces, or staff. pose no risk to raw materials,
Raw materials, packaging, and finished products packaging, or finished
shall be moved from the area or protected before product (e.g. making sure
commencing any cleaning. hygiene operators move the
aforementioned products
and equipment that may be
affected by the clean down
process). Correct methods of
cleaning are used for product
type (e.g. allergen / organic)
and environment.
23.3 Hygiene Base P R There must be a suitably trained member of the site
Management management team accountable for overseeing
production cleaning and the standards achieved.
23.4 Cleaning Base O Personnel must be responsible for keeping their
Equipment cleaning equipment in a good state of repair and in
hygienic condition, replacing when necessary.
23.5 Cleaning Base O Cleaning equipment must be fit for purpose.
Equipment Cleaning cloths shall be single use or the use of
multi‐use cloths risk assessed and controlled.
Cleaning equipment must not be stored in contact
with the floor.
Where food contact equipment is wall mounted it
must be at a height that poses no risk of
contamination.
The floor contact end of cleaning equipment must be
below knee height.
Wall mounted cleaning equipment must be returned
in a clean condition.
Where cleaning equipment is wall mounted it must
be stored
 Handles up for floor cleaning
 Handles down for food contact surfaces.
Ingredient buckets shall not be used as cleaning
buckets.
23.5.1 Cleaning Base O Brushes with heat set or resin set bristles shall be
Equipment used on food contact surfaces. Single blade
squeegees in favour of folded blade type as these
harbour debris and bacteria.
Where possible eliminate scouring pads. Where

Evidence
P R O
scourers are used, they shall be regularly changed
and of a contrasting colour to those used for non‐
production purposes (e.g. general cleaning, staff
canteen etc.).
23.5.2 Cleaning Base R O Multiple‐use string mops are not permitted.
Equipment The use of other types of mop in open food areas
must be risk assessed.
Where permitted they must be clean, in a good
condition, and stored away from product and
production processes.
Mops and cleaning cloths must not be stored in
water in mop buckets when not in use.
23.5.3 Cleaning of Base O Cleaning of equipment shall not be conducted in
Equipment external areas of the facility unless a documented
and validated decontamination process is in place.
23.5.4 Cleaning High R O High area cleaning equipment (e.g. buckets, brushes,
Equipment etc.) must be stored dry or in sanitiser. Where
sanitiser is used, it must be changed regularly to
maintain effectiveness and the concentration of the
solution must be monitored.
Sponges and mops are not permitted.
23.6 Cleaning Base O Separate equipment must be used for food contact Cleaning equipment may be
Equipment and floor cleaning. These must be stored separately differentiated visually by type
from one another. and / or colour.
Cleaning equipment used for other areas (e.g. Does not conflict with
toilets, offices, laboratories, maintenance, and manufacturing colour codes
outside) must be segregated and visually distinctive. (e.g. Red is High area but also
Colour coding of cleaning equipment must be used for floors in Base /
prominently displayed with equipment. Medium areas).
23.6.1 Cleaning Base O Cleaning equipment used in open food areas must
Equipment not be used or stored outside. A system to control
this must be in place.
23.6.2 Cleaning Base P O A colour coded system must be in place to identify Scouring pads shall not be
Equipment and segregate cleaning equipment between High used.
areas and Base / Medium areas (include laboratory
and maintenance areas).
Colour coded cleaning equipment must include
gloves used for cleaning / handling chemicals and
brushes.
23.7 Cleaning Base P R O Hoses and chemical dosing equipment fitted to
Equipment water supply must have back flow prevention
devices installed. High pressure lines (>80 psi, 5.5
bar, 5.6 Kg/cm) do not require backflow protection.
High pressure is only used during cleaning and not
during processes or processing on adjacent lines.
Hoses / cleaning nozzle ends must not be left on the
floor, in drains, or in tanks when not in use.

Evidence
P R O
23.7.1 Cleaning High R O High pressure air and water hoses must not be used Retractable hoses shall not
Equipment during processing due to aerosol generation and / or be used.
movement of debris.
Retractable hoses shall be on a cleaning schedule to
ensure any dirt or debris retracted into the roll is
routinely cleaned.
23.8 Drain Cleaning Base O Drain cleaning equipment should be dedicated and
Procedure visually distinctive for that task and not be used for
any other cleaning activity.
Drain cleaning equipment must be stored separately
from all other cleaning equipment.
23.9 Cleaning and Base P O Detergents and sanitisers that are used to clean,
Sanitation sanitise, and maintain the facility shall be purchased
in accordance with applicable legislation. The site
shall ensure:
 An inventory of all chemicals purchased and
used shall be maintained
 Chemicals are suitable for use in a food facility
 Chemicals are suitable for the product type (e.g.
organic, non‐scented, etc.)
 Documentation showing it does not contain
known allergens
 Detergents and chemicals are stored securely
 Safety data sheets (SDS) are provided for all
detergents and sanitisers purchased
 Only trained staff handle sanitisers and
detergents.
23.10 Cleaning Medium O Cleaning chemical storage must be kept to a Access to chemical containers
Chemicals minimum. shall be only available to
If they are required in production and storage areas designated users and secured
these must be secured to prevent unauthorised with a lock.
access.
23.10.1 Cleaning Base R O Cleaning chemicals specifications and labelling shall Chemicals used are changed
Chemicals clearly indicate that the chemicals are suitable for on a rotation roster to
the intended use by the site. prevent resistance.
Cleaning chemicals must be used according to the
manufacturers’ instructions including temperature,
dilution / concentration, and contact time.
23.10.2 Cleaning Base P R O Chemical dilution checks must be completed at a
Chemicals defined frequency for all dosing equipment
(manual/automatic) based on a documented risk
assessment. Chemical dilution checks must also be
conducted on COP tanks and buckets where parts or
equipment are cleaned or stored in.
23.10.3 Cleaning Base P R O Chemical dilution checks shall be undertaken using Titration is more reliable than
Chemicals equipment that is suitable for the task and capable test strips, particularly when
of measuring in the dilution range required. checking no‐rinse sanitisers.
23.10.4 Cleaning Base P R O Documented procedures shall be in place to describe
Chemicals how corrective actions are undertaken when

Evidence
P R O
chemical concentrations are outside of the limits
stated on the manufacturer’s label.
Corrective action steps shall include communication
to personnel and management, and the assessment
of any product that has been manufactured since the
last time the chemical concentration was known to be
in specification.
23.10.5 Cleaning Base P O All chemical containers must be correctly labelled
Chemicals and used for their intended purpose only.
23.11 Cleaning Areas Base O Designated cleaning areas must be kept in a hygienic Cleaning areas are located so
condition with obvious flow of equipment from they present no risk to
dirty to clean. product integrity or safety.
Areas must have sufficient extraction to minimise
condensation build up.
23.11.1 Cleaning Areas High P R O High areas must have their own cleaning facility.
Items must not be returned to Base / Medium for
cleaning, unless the equipment goes through a
heating or disinfection process on return to High
areas e.g. through a heating cycle in an oven. There
must be a documented validation for this process.
23.12 Cleaning of Base P O Equipment must be cleaned off the floor (e.g. on Clean utensils, change parts
Production racks or stands). and mobile containers such
Equipment Clean equipment must be stored in a manner which as trays, tote bins etc. are
prevents re‐contamination. stored in a designated area
after cleaning prior to use.
Trays are stored upside down
where necessary to drain.
23.12.1 Production Medium O Equipment parts and trays if dirty and awaiting
Equipment and cleaning shall not be placed directly on the floor.
23.12.2 Cleaning of Base P R O Sinks for cleaning production equipment must be
Production clearly identified and of suitable size for items being
Equipment cleaned. Sinks for equipment cleaning must not be
used for floor cleaning equipment.
Sinks must have hot water and the correct chemical
at the specified dilution.
Sinks for equipment cleaning and hand washing shall
be differentiated. Signage shall indicate the intended
use.
23.12.3 Cleaning of Medium P R O Where product contact equipment has been stored
Production (even if visually clean) but is not in daily use, it must
Equipment be re‐sanitised immediately prior to use.
If a site has not been producing over a weekend,
holiday, or shut‐down period, equipment must be
re‐ sanitised before use.
23.13 Tray Wash Base P R O Tray / rack wash equipment must be operating at
the correct temperature and concentration per
chemical instructions / labelling.

Evidence
P R O
23.13.1 Tray Wash Base R O Tray / rack wash equipment must be monitored and
verified. Visual inspection and weekly checks
(minimum).
The site must verify that the sprayers / spray balls
are functioning properly.
Frequency of chemical concentration checks and
water temperature must be determined by a formal
study.
Regular bacterial swabbing is required.
Tray wash equipment must be part of the site
calibration program.
23.13.2 Tray Wash High O The equipment must be suitable for High area
environment e.g. stainless steel, easy to clean with
water temperature monitoring systems, etc.
23.14 Waste Base P O Waste must be collected in identified containers, Waste trays / containers /
correctly disposed of, and must not pose a risk to the bags must be separate type
environment. or different colour to those
Site WIP, rework, or finished product bins, etc. used in production for food.
cannot be used to collect waste even if labelled as
waste.
Primary, secondary, or tertiary packaging which is
used for finished products shall not be used for
holding waste materials.
23.14.1 Waste Base P O Waste bins must be kept clean, well maintained, and
cleaned when necessary.
23.14.2 Waste Base O Controlled waste (e.g. unfit meat) must be suitably
segregated and managed. Waste must be collected
in identified containers.
23.14.3 Waste Medium O Waste must be removed from open food areas in
such a way that it does not present a risk of cross
contamination.
23.14.4 Waste High O Waste trays / containers / bags must be separate
type or different colour to those used in production
for food.
23.14.5 Waste High O Waste must be removed from High areas through a
one way system.
23.15 Waste Base P O Waste and effluent management must comply with
local enforcement requirements.
23.15.1 Waste Base O Facilities are in place for the segregation and
ASPN collection of recyclable materials.
23.16 Waste Coles Base P R O Any rejected Coles Brand product must be securely Rather than disposed of,
Brand Product sustainably disposed of (i.e. avoiding landfill where product that is still safe to
possible. Coles packaging must be removed or the consume is donated to Coles
labelling defaced. approved charities. See
Records of destruction must be retained. section 29 for requirements
on donations.

Section 24. Employee Facilities

Evidence
P R O
24.1 Employee Base P O Employee facilities (including lunch rooms, rest Separate facilities are
Facilities areas, toilets, and locker / changing areas) must be provided where appropriate
provided. These must be maintained in a clean and e.g. Abattoir lairage
hygienic condition. employees separate.
Smoking is not permitted in production,
maintenance, receiving, dispatch, or storage areas
(including any associated offices).
Smoking areas where provided, must comply with
local legislation. Where provided these must be
maintained in a clean condition and have bins for the
butts (to prevent transfer into the site on soles of
shoes).
24.2 Protective Base O Storage areas for work wear and laundry areas must Storage areas for work wear
Clothing be clean and protected from contamination. These and laundry areas must be
Storage and facilities shall be of adequate number for the adequate to cater for peak
Laundry personnel on‐site. production / busy times.
24.3 Change Rooms Base O All sites must have a dedicated space away from the No personal items are carried
primary processing area to allow employees to leave by staff. Facilities are secure,
their own belongings and to change into and out of giving staff (including agency
protective clothing. and causal workers) the
Facilities must be provided for the collection of used confidence to leave their
/ dirty work wear (adequate for the number of staff belongings.
on‐site).
24.3.1 Change Rooms Medium P O Changing areas and locker rooms must be located so
employees are not required to go outside after
changing into their protective clothing, including
footwear.
Toilets shall be separate to changing areas.
The same is applied to visitors and management
changing areas.
24.4 Lockers Base R O Lockers must be kept clean and in good condition. Separate lockers provided or
Lockers must be cleared regularly. lockers are clearly partitioned
to segregate items.
Lockers must not be used to store food or drink.
Lockers require sloping tops
Work tools should not be stored in lockers.
and are raised off the floor
Tops of lockers must not be used to store any items to prevent accumulation of
and remain clean. rubbish and to facilitate
cleaning.
Hooks are provided outside
of lockers for work wear.
24.4.1 Protective Base P O Personal outdoor clothing must be segregated from
Clothing and work wear, including shoes.
Footwear
24.4.2 Protective Medium P O Personal outdoor shoes must be segregated from
Clothing and work shoes.
Footwear

Evidence
P R O
24.4.3 Protective Base O Where staff are required to change footwear, floors
Clothing and must be kept clean and be adequately dried after
Footwear cleaning.
24.4.4 Protective Base P R O Locker inspections / audits are carried out at a Inspections are undertaken
Clothing and ASPN defined frequency and employees are present. to check compliance with site
Footwear rules (e.g. site protective
clothing in outdoor clothing
lockers). Employees are
present during inspections.
24.5 Employee Base O Toilets must be segregated from production and

Facilities storage areas by a minimum of 2 doors with an
intervening ventilated space.
The doors must be self‐closing.
The toilet area must be ventilated.
Hand wash and drying facilities must be present.
Hand washing signs must be displayed in toilet areas.
Coat hooks must be located outside the toilet
facility.
24.5.1 Employee Base O Toilets are ‘fit for purpose’ for the ethnicity of staff. Toilet flushing mechanisms
Facilities ASPN are not hand operated.
24.5.2 Employee Base O Taps in toilet facilities are mixer taps and not hand Taps are sensor operated and
Facilities operated. not hand, foot or knee
operated.
24.6 Showers Base P R Where showers are provided (chemical safety Showers not in constant use
showers, eye wash stations, and employee showers) shall be routinely flushed
for employees there must be a system in place to through.
ensure the shower heads do not pose a potential
contamination / health risk to employees.
Showers are annually tested for Legionella, and the
heads purged and checked.
24.7 Catering Base P R Sites providing catered food service must have a Canteens must comply with
documented Food Safety Program. the requirements of Chapter
Records must be available for time and temperature 3 of the FSANZ Food
monitoring, including cooking, refrigeration, and Standards.
freezing. www.foodstandards.gov.au
If a contract caterer is used, their Food Safety
Program must be reviewed at least annually by the
site.
24.7.1 Catering Base R O Canteen staff must declare any illness prior to
commencement of work and be suitably trained in
basic food hygiene.
Procedures in place for illness reporting and return
to work.
24.7.2 Catering Base P R O Hair coverings are required.

Hairnets covering ears must be worn.

Evidence
P R O
24.8 Canteen / Lunch Base P R Basic hygiene and food safety audits must be
Room completed on a scheduled basis by an appropriately
trained person.
24.9 Canteen / Lunch Base P R O Hygienic storage facilities, including refrigerators Food left by employees is
Room must be provided for employees bringing their own removed at a defined
food. frequency.
The temperature of refrigerators and food warming Temperature of refrigerators
units must be monitored. and warming units are
Where preparation equipment (e.g. microwave) is checked at a defined
provided it must be inspected and cleaned regularly. frequency.
Consumption and storage of food must only be in
designated areas.
24.10 Canteen / Lunch Base O Employee food storage containers (e.g. lunch boxes
Room and insulated containers) must be stored within the
employee facilities. Perishable foods must be stored
in the refrigerators within the employee facilities.
Employee food is not stored in refrigerators in the
laboratory, despatch, maintenance, storage areas,
production offices, etc.
The risk of allergen contamination from employee
supplied foods must be considered.

Process and
Production Controls

127 of © Coles Supermarkets Australia Pty Ltd 127 of 206
206 Ref: Coles Tech Doc 08.03.02 EXTERNAL
Process and Production Controls
Section 25. Process Controls

Evidence
P R O
25.1 Process Control Base P R O Raw materials, work in progress, rework, finished
product, processes, storage, and equipment, when
they are critical to product safety, legality or quality,
must be controlled, monitored, and recorded.
25.2 In‐Process Medium P R O In process product testing must be conducted per
Testing the Coles and / or site requirements, work
instructions / SOPs.
25.2.1 In‐Process Medium P R O Corrective actions from in‐process testing must be
Testing documented.
25.3 Production Base P O A control must be in place to identify and segregate For example, different colour
Equipment production and maintenance equipment between codes for raw / cooked,
High areas and Base / Medium areas. pasteurised / unpasteurised,
A control must also be in place to identify and allergen / non‐allergen,
segregate different processes within an area. organic / non‐organic, waste,
etc.
25.3.1 Production Base O Trays to be used for part made ingredients, product
Equipment known as Work In Progress (WIP), or finished
product, must not be placed directly on the floor.
Containers / vessels which contained these products,
even if dirty and awaiting cleaning, shall not be
placed directly on the floor.
25.3.2 Production Base O Raw material packaging and product final packaging
Equipment shall not be repurposed as storage production or
cleaning equipment.
25.4 Process Base R O If the process deviates from specification /
Deviation procedure corrective actions must be taken and
documented.
If the process deviation from agreed specification /
procedure would cause a legal, quality, or food
safety issue, then the Coles CBM / PT must be
notified.
25.4.1 Trend Analysis Base R O A trend analysis system is used for monitoring
ASPN process deviation, to enable a reduction in non‐
conformances and business / product improvement.
25.5 Hold and Base P R O A documented ‘Hold and Release’ procedure must
Release be in place to manage non‐conforming materials or
products. As a minimum, this must include:
 The nature of the incident
 Product involved (e.g. ingredients, packaging,
additives, rework, WIP, finished products etc.)
 Time / date material or product was placed
hold / quarantined
 How it is identified (e.g. Lot code best‐before /
use‐by date)
 The method to ensure all affected product has
been isolated

Evidence
P R O
 How and who has authority to release product,
re‐grade, or reject it.
All decisions must be risk assessed in line with the
nature of the incident and must be recorded.
25.5.1 Hold and Base R O A computer based system is used for monitoring
Release ASPN product or material on hold / quarantined and the
outcome of the incident.
25.5.2 Hold and Base O A defined Hold area must be identified. Hold and release areas shall
Release be marked out for the
storage of quarantined
ingredients, packaging, WIP,
and finished product. This
can be via portable /
retractable barriers.
25.5.3 Hold and Base O Raw materials, finished goods and packaging shall be
Release assessed by QA prior to removing their hold status.
25.5.4 Hold and Base P O A defined Hold area is identified and marked out for
Release ASPN the storage of quarantined materials in all distinct
areas of the site e.g. Inwards, production, High
areas, and finished product areas.
25.6 Product Control Base P R Coles CBM / PT must be notified immediately of any
illegal and / or unsafe products which have been
despatched.
25.7 Product Control Base P R O Procedures must be in place to ensure materials and
products are used in the correct order and within the
allocated shelf life.
25.8 Shelf Life Medium P R O With the exception of bulk products (e.g. bulk chicken Example of a flavour or
Retention supplied to the Deli), batch specific retention samples formulation variant:
Samples of each flavour or formulation variant, shall be chocolate ice‐cream,
retained for the duration of shelf life and assessed strawberry ice‐cream, vanilla
before discarding. ice‐cream, and Neapolitan
A sampling plan for Shelf Life Samples must be ice‐cream. These are four
developed and approved by the relevant Coles CBM flavour variants of the same
/ PT for: product, even though the
 In each form/type / size / volume / weight of Neapolitan ice‐cream is made
retail and bulk packaging that the product is up of the other three
being sold in. flavours.
 Held at the following temperatures (Frozen: ‐
18°C +/‐ 1°C, Chilled: +4°C +/‐ 1°C, Ambient:
average room temperature).
The retention period and storage conditions for
samples must be agreed with the Coles CBM / PT.
25.9 Shelf Life Medium P R O Shelf Life validation of finished products shall occur
Validation and on all new products and whenever the formulation,
Verification unit size, or packaging material or format of a
finished product is altered, or a significant change to
the process has occurred.
Shelf life of the finished product should also consider

Evidence
P R O
processing delays such as work in progress (WIP)
components, freezing and thawing times, tempering,
etc. that may affect the shelf life of the final finished
product.
Shelf life verification must consider weight and
volume of the product at the end of shelf life to
ensure the label legal requirements are also met.
When conducting shelf life validation, relevant
product testing shall also be undertaken, including
such elements as elevated temperatures and
transport.
If no alterations have been made, shelf life
verification shall be conducted at least annually for
products with less than 2 years shelf life.
NOTE: Product inoculation should only be
conducted where applicable to product type
and risk level. Suppliers shall contact their
Coles CBM/PT for clarification and
agreement on relevant challenge testing per
product.
25.10 Temperature Base P R A temperature monitoring system must be in place
Control (e.g. manual documented checks).
The frequency of monitoring must be based on a
documented risk assessment.
Records of temperature monitoring must be
maintained and clearly indicate and identify the
various areas / temperature zones.
25.10.1 Temperature Base R O All temperature controlled storage areas must be
Control continuously monitored using an automatic system.
The system must have an alarm which activates if
temperatures are outside the set ranges and it must
be monitored outside of normal working hours.
25.10.2 Temperature Base P R Procedures must be in place for the handling of raw
Control material, WIP, rework, and finished product when
the storage temperature is outside the specified
critical limits.
25.11 Product Control Base P O Product segregation during processing and storage
must be in place for the control of materials with
special handling requirements e.g. vegetarian,
organic, meat species, allergens, and pungent
materials (due to taint risk).
25.11.1 Product Control Medium P R O The use of re‐work requires approval from Coles
CBM / PT and must be detailed in the Coles
specification.
Where re‐work is permitted, it must be traceable. A
break in the re‐work usage must occur at a defined
frequency.
A re‐work shelf life must be established.

Evidence
P R O
25.12 Thawing and Medium P O Thawing and tempering facilities shall be designed to
Tempering thaw the product under controlled conditions at a
Products and time lapse and temperature that does not lead to
Ingredients deterioration or contamination of the product.
25.12.1 Thawing and Medium P O Thawing and tempering of materials and ingredients
Tempering shall be undertaken using equipment or cool rooms
Products and appropriate for thawing.
Ingredients
25.12.2 Thawing Medium P O Where water thawing is undertaken, the water shall
Products and be continuous flow to ensure the water exchange
Ingredients rate and temperature does not contribute to product
deterioration or contamination. Overflow water shall
flow directly to the floor drainage system and not
onto the floor.
25.13 Raw Material Base P R O Open raw material shelf life must be established and Bulk stock, such as bags on a
Shelf Life labelled where necessary when the original pack pallet shall carry the original
physical state has been changed e.g. de‐canning, pallet label until the last bag
breaking of vacuum seal, freezing of fresh materials, is used.
de‐frosting, etc.
Where products are received fresh and subsequently
frozen the site must demonstrate the product is
suitable for freezing. Details must be included in the
raw material specification and the site must
demonstrate it was in‐life prior to freezing.
Shelf life shall also be considered when tempering
product.
25.14 Work In Base P R O Work In Progress and downgraded materials must be
Progress Shelf clearly labelled with internal use / process by dates,
Life time, and product details. WIP materials shall be
protected from contamination where necessary.
Work In Progress shelf life must be established with
reference to the maximum total product shelf life.
25.15 Product Control Medium P O Effective outer packaging removal procedures must
be in place for raw materials and packaging.
25.15.1 Product Control High P R O Product / ingredients / WIP / packaging must be
transferred to a High area using either heat
treatment or non‐heat treatment control methods.
Heat treatment includes:
 The use of straight through continuous ovens
and frying equipment (fully fried not flash fried)
 Cooking items and then pumping through a wall
into the area
 Cooking items in open kettles, pans, and
transferring over a dividing barrier
 Cooking items through a double door oven
system.
Non‐heat treatment includes:
 The use of disinfectant in troughs, tanks, and
spray tunnels

Evidence
P R O
 Transfer of packaging using double bagging
 The use of Ultra Violet (UV) radiation and / or
ozone
 Ingredients could also be pumped from large
sealed containers (or bulk pallet containers or
‘pallecons’) through to High areas e.g. cream,
oil.
All of the above processes must be validated,
verified, and monitored.
25.16 Product Control High P O Packed product must not return to High areas from
Base / Medium areas without an appropriate
decontamination step occurring.
25.17 Product Control Medium P R O All modified atmosphere chilled foods must conform
to ‘Food Standards Code 3.2.2. Food Safety Practices
and General Requirements Div. 3.9. Food Packaging’
available from http://www.foodstandards.gov.au
and the reference in the document to ‘Code of
Practice For The Manufacture of Vacuum and
Modified Atmosphere Packaged Chilled Foods
(second edition) 2009’, Guideline G 11 Campden BRI
(www.campden.co.uk).
Where the site packages modified atmosphere
chilled foods, copies of the reference materials must
be retained on site.
25.18 Product Control Medium P R O All cooked meats shall conform to “Identification and
Prevention of Hazards Associated with Slow Cooling
of Hams and Other Large Meats and Meat Products
1998 Campden BRI Review R8” Reports by Campden
and Chorleywood Food Research Association
(www.campden.co.uk), refer FSANZ Safe Food
Australia Appendix 3 – Cooling Meats After Cooking
(www.foodstandards.gov.au).
Where the site cooks and cools meats and meat
products, copies of the reference materials must be
retained on site.
25.19 Product Base P R O At start up and changeovers of production and

Changeovers packing lines must be clear of all previous product,
ingredients, packaging, and labels and records
maintained.
25.19.1 Product Base P R O There shall be a documented procedure and records

Changeovers of all items to be checked at product changeover
including label, product, and /or weight
changeovers.

Section 26. Cleaning Programs

26A. General Cleaning
Evidence
P R O
26.1 Hygiene Base R O There must be a suitably trained member of the site
Management management team accountable for overseeing
production cleaning and the standards achieved.
26.2 Hygiene Base R O Where cleaning contractors are utilised, all related
Management sections such as training, personal hygiene, medical
screening, etc. are still applicable.
There must be a formal handover each day of the
site.
26.3 Cleaning Base P R Cleaning schedules must be in place for all areas
Schedules including equipment, production, High areas,
overhead services, refrigeration units, storage,
maintenance, employee facilities, and external
areas.
Schedules must be determined by risk assessment to
manage peak production times and seasons. The risk
assessment must determine the different types and
levels of cleaning required on specific equipment
between batches, shifts, daily, weekly, monthly, etc.
Site has a defined break frequency for emptying and
cleaning of bulk tanks.
26.3.1 Cleaning Base P A wall planner or electronic system may be used to
Schedules ASPN plan periodic cleaning, highlighting when items are
due for cleaning.
26.4 Cleaning Base P O Cleaning equipment and cleaning protective clothing
Equipment and used in Base and Medium areas shall not be used in
Cleaning High areas, and equipment used in High areas shall
Protective not be used in Base and Medium areas.
Clothing Cleaning equipment and cleaning protective clothing
shall be visually distinctive and stored separately.
26.5 Cleaning High Double bladed squeegees are not used in High Areas.
Equipment
26.5.1 Cleaning Base Cleaning equipment shall be included in the GMP
Equipment checklist and the condition and correct storage of
equipment routinely inspected.
26.6 Cleaning Base R Safety data sheets must be less than 5 years old, Chemicals meet relevant
Chemicals available for all chemicals used on the site and easily standards and the cleaning
accessible by hygiene and First Aid staff. procedure has been fully
The site must be able to demonstrate how chemicals validated and records
were selected i.e. their suitability for the method and retained.
food product type e.g. high fat, cooking residue, etc.
26.7 Cleaning Base P The site must have documented cleaning procedures
Procedures for equipment, production, Base / Medium / High
areas, overhead services, storage, maintenance,

Evidence
P R O
employee facilities, building structures (e.g. floors,
ceilings, walls, drains, etc.), and external areas.
26.8 Cleaning Base P Cleaning procedures must contain the following: Cleaning procedures include
Procedures  Protective clothing required e.g. cleaning suits, photographs showing key
boots, gloves, safety glasses / face shields, etc. inspection points.
 Details on how to strip equipment and to what
level
 Required equipment and chemicals (including
dilution, contact time, and temperature)
 The order of items and areas to be cleaned, e.g.
High areas before Medium areas before Base
areas
 Cleaning methods
 How to re‐assemble equipment and change
parts if necessary
 The replacement of damaged O‐rings / gaskets
where fitted.
26.8.1 Cleaning Medium P R Cleaning procedures must have a unique reference Cleaning procedures include
Procedures number that links to site cleaning schedules / photographs showing key
records. inspection points.
26.8.2 Cleaning Medium P R Cleaning procedures must be validated initially and
Procedures after any change to product formulation, process or
chemicals.
26.9 Cleaning Base P R O Sufficient personnel and production downtime must
Resource be provided to ensure the cleaning schedule can be
completed in full.
The necessary resources to complete the cleaning
operation in an effective manner must be provided
e.g. personnel, cleaning equipment, chemicals, and
Cleaning personnel must be trained in the use /
handling of chemicals and against cleaning
procedures.
Cleaning schedule must be fully integrated in the
production scheduling / planning process.
26.9.1 Cleaning Order High P R O Where a single cleaning team is used, then High
areas shall be cleaned before Base / Medium areas.
26.9.2 Cleaning High R Calculations to determine resources for the cleaning
Resource ASPN programs shall be based on scheduled cleaning
frequencies and time allocations for each cleaning
activity.
26.10 Drain Cleaning Base P The site must have a documented procedure for
Procedure handling blocked drains.
26.10.1 Drain Cleaning Base P Drain cleaning equipment must be controlled and
Equipment cleaned before being taken into the site and after
drain cleaning equipment is used, and prior to being
removed from the drain area (to prevent the
equipment from contaminating other areas of the

Evidence
P R O
site).
26.11 Drain Cleaning High O Drain cleaning equipment must be designated for
Equipment High areas.
26.12 Cleaning Base R O It must be the responsibility of the management or

Assessment delegate to verify cleaning is completed to specified
schedules and standards.
Cleaning activities must be assessed and recorded to
ensure they have been carried out effectively, and
carried out according to procedures, including the
use of appropriate cleaning equipment and cleaning
Checklists (including data logging charts for CIP
systems) must be completed to demonstrate the
cleaning that has been completed and by whom.
26.12.1 Cleaning Base R O Pre‐operation cleaning activities must be assessed

Assessment and recorded prior to production being allowed to
commence.
26.12.2 Cleaning Base P R O Visual hygiene standards must be checked by a

Assessment suitably trained and authorised person prior to start‐
up and documented.
26.13 Pre‐Operational Base P R O Pre‐operational inspections of equipment and area

Inspections shall be completed by trained personnel. Personnel
conducting pre‐operational inspections are
independent of the area being cleaned.
26.13.1 Pre‐Operational Medium R Pre‐Operational inspection findings shall be trended.

Inspections Action must be evident for adverse trends.
26.14 Cleaning Base P R All re‐cleans and corrective actions following visually
Records unsatisfactory cleaning or out of specification swab
results must be clearly documented.
26B. Clean In Place (CIP) and Clean Out Of Place (COP)
Evidence
P R O
26.15 CIP System Base P R O Clean In Place (CIP) systems for pipe work, inline There shall be a report
sieves, tanks, and instrumentation must be designed (provided by a CIP engineer
by specialised engineers to ensure: or CIP chemical company),
 Circuits are designed so that employees cannot records, verification, and
manually advance or skip CIP cycles or steps validation to demonstrate
 If CIP circuits are stopped for any reason, the that the CIP system is
cycle must be reset and not skipped. The flow hygienically designed with no
rate, temperature, chemical concentration dead ends.
(conductivity) and time must be reset to meet New CIP installations should
the CIP parameters be fully automatic.
 Scavenger pumps are operated to ensure no
build‐up of cleaning chemicals in the vessels.
 Spray ball functionality fully covers areas to be
cleaned

Evidence
P R O
 All parts of the product circuit, including divert
valves, buffer tanks, mobile tanks, etc. are
included in the CIP circuit.
 Where sieves are removed for the CIP, they
shall be included in the COP activity
 Instrumentation for measuring conductivity,
temperature, flow rates, and time are validated
 CIP instrumentation (sensors), equipment for
reading time, temperature, chemical
concentration (conductivity), and flow rate shall
be taken at the end of the CIP circuit and not at
the beginning of the circuit
 No dead ends
 Data Logging of all CIP functions
 Prevention of accidental mixing, where routing
valves are used the CIP control system must
have the feedback mechanisms to ensure the
valves are in the correct position at all times
 Prevention of potential product contamination
by cleaning chemicals, all routing valves must
be mix proof or there must be a physical break
between product and CIP circuits such as a
swing bend on a flow plate
 Flow plates or flow bends are used to route the
cleaning fluids, proximity switches must be
fitted that feed back to the CIP control system
to ensure that bends are in the correct position
before CIP begins.
Evidence must be available of commissioning and
cleaning process validation.
Where a CIP system has been in place for a number of
years and commissioning documentation evidence is
not available or where the system has not been
designed by specialist, third‐party validations must be
available.
26.15.1 CIP System Base O Hard piping, product, and CIP piping shall not
transition from a smaller diameter pipe to a larger
diameter pipe. If the site is unable to design the
process in this manner, then a booster pump shall be
installed at the transition point to provide adequate
flow.
26.15.2 CIP Systems Base R The effectiveness of CIP Systems shall be validated
annually.
26.15.3 CIP Systems Base P R CIP connections for filler heads are inspected to
ensure they are properly installed and seated to
ensure the effectiveness of the CIP process on the
filler heads.
26.16 CIP Intervals Base R A schematic of the CIP System shall be available.
26.17 CIP Systems Base O CIP lines and equipment shall be segregated from
active production lines.

Evidence
P R O
26.17.1 CIP Systems Base P R O The site can use bore water, reclaimed water (e.g.
final CIP rinse water and / or water from an
evaporator) for the initial CIP rinse of the product
tank and lines.
A documented testing process must be in place to
ensure this water does not become a source of
contamination.
26.18 CIP Documents Base P R O Procedures must be in place for the monitoring of
chemical concentration (conductivity), time, flow
rate, and temperature.
All records must be readily available.
Documented test results must be available to
demonstrate that chemicals have been effectively
flushed from pipes and tanks.
26.19 CIP Training Base R The CIP system is operated by trained personnel.
Training is updated and recorded when
modifications are made.
26.20 CIP Base P R O Spray balls, valves, gaskets, etc. are removed and
Maintenance inspected as per manufacturer’s recommendations
and results recorded.
Spray balls are cleaned at a set frequency and when
required.
A gasket inspection program shall be in place for
hard piping or where gaskets aren’t broken down on
a regular basis.
26.21 CIP Calibration Base P R Calibration of CIP instrumentation is carried out at
least annually or more frequently if defined by risk
assessment and / or the manufacturer. Calibration of
CIP systems shall include equipment used to
measure:
 Time
 Temperature
 Chemical concentration / conductivity
 Flow rate.
26.22 CIP Systems High O CIP installations are fully automated.
ASPN
26.23 COP Tanks Base P R O Where Clean Out of Place (COP) tanks are required to A stainless steel COP tank
clean removable parts, these shall be designed for with a heated recirculation
this purpose. Buckets and plastic tubs shall not be unit is used.
used.
26.24 COP Systems Base P R O Cleaning procedures must contain the following: Cleaning procedures include
 Protective clothing required e.g. cleaning suits, photographs showing key
boots, gloves, safety glasses / face shields, etc. inspection points and
 Details of equipment to be cleaned in a COP methods to ensure parts are
tank properly submerged in the
 Required equipment and chemicals (including COP tank and U‐bends do not
dilution, contact time, and temperature) trap air (allowing all surfaces
 Cleaning methods to come into contact with

Evidence
P R O
 Minimum contact time for equipment in COP COP solutions).
tanks
 How to re‐assemble equipment and change
parts if necessary
 Draining and storage of parts after COP
 The replacement of damaged O‐rings / gaskets
where fitted.
26.24.1 COP Systems Base P R O There shall be a documented procedure for
monitoring and recording the temperature and
concentration of solutions used in COP tanks.
26.24.2 COP Systems Base P R O Where parts are stored in COP tanks and removed
for use throughout the shift, the concentration of
the COP tank must be monitored throughout the
shift.

Section 27. Chemical Control

Evidence
P R O
27.1 Chemical Base P R The site shall have procedures in place to control: No phenolic or scented
Control  All food and non‐food grade chemicals used products (including those
(e.g. food grade and non‐food grade lubricants, used in toilet areas).
pest control, etc.)
 The availability of SDSs
 The bunded storage of chemicals to contain
spillages
 The availability of the chemical usage matrix in
all areas where chemicals are stored and mixed
 That chemicals used onsite are food grade and
suitable to be used in a food manufacturing site
and for food contact areas
 That chemicals purchased are not strongly
scented (e.g. orange oil based cleaners).
Chemicals must be separated in storage to prevent
accidents e.g. acids / chlorine based chemicals.
Health and Safety guidelines must be followed. Clear
signage must be in place.
Cleaning chemicals must be kept in a ventilated,
designated storage area with restricted access.
27.1.1 Chemical Base P R All chemicals, lubricants, and pest control chemicals
Control shall be approved by the HACCP / Food Safety Team
prior to use at the site.
27.2 Chemical List Base R O The site shall maintain a complete and current list of
all food and non‐food grade chemicals.
27.2.1 Chemical List Base R The site must have a documented matrix indicating
where chemicals can be used, e.g. Food contact
surfaces, non‐food contact surfaces, maintenance
shops, suitability to be used in food manufacturing
sites, etc.
The site must develop a chemical usage matrix
showing how and where these are used (e.g. food
contact surfaces, non‐food contact surfaces,
maintenance workshops, etc.).
The chemical matrix must be available to staff and
displayed in chemical storage and mixing areas.
27.3 Chemical Base R O The site shall have a usage log showing:
Control  Chemical used
 Where chemical used
 Quantity used
 Date used
 Batch (lot code) of chemical used.
27.4 Storage Base P R O All chemicals shall be controlled and stored in an area
secured with a lock, and with limited access to
prevent contamination. This includes non‐food grade
chemicals used in maintenance, production, storage,
laboratory, and employee areas.

Evidence
P R O
Access to chemicals shall only be given to staff that
have been properly trained and require the
chemicals to perform their jobs.
Chemicals shall only be issued in quantities sufficient
to perform the task.
27.4.1 Chemical Base P 0 All secondary chemical containers shall be properly
Containers labelled.
Chemical containers must not be reused for other
purposes.
Empty chemical containers shall be stored separate
from raw materials, packaging and finished product.
27.5 Training Base P R Personnel performing cleaning shall be trained in the
processes for dismantling of equipment for effective
cleaning, inspection, and the proper re‐assembly of
equipment after cleaning.
The effectiveness of training and competence in
dismantling, cleaning, inspection, and re‐assembly of
equipment shall be assessed.
27.5.1 Training Base P R Personnel performing tasks involving chemicals shall
be given specific training on chemical handling and
use.
27.5.2 Training Base P R All personnel shall be given general training on
chemical control.
27.6 Waste Base P O Chemical waste must be controlled to prevent risk of
spillage and contamination.

Section 28. Transport

Evidence
P R O
28.1 Transport and Base P R Processes must be in place to ensure that all steps in
distribution the transport and distribution process (including any
hold steps), are controlled to maintain food safety,
quality, and security.
28.2 Inwards Goods Base P R All raw materials must be checked by trained staff on Based on risk assessment
Checks on Raw receipt according to documented procedures. checks also include raw
Materials and Inwards records must be retained. material sampling for
Packaging Checks must include: retention.
Raw materials yet to be approved shall be controlled
e.g. placed on hold, isolated, etc.
28.3 Contamination Base P R O Procedures shall be in place for transports to prevent
cross contamination (such as taint, allergens, or non‐
food grade products).
28.3.1 Contamination Base P R O Bulk tankers shall be dedicated to carrying a single
ASPN product.
28.4 Dispatch Base P R O The supplier must have processes in place prior to
dispatch for checking shelf life in line with the Coles
Store and Distribution Centre Acceptance Charts.
(I.e. Minimum number of days a product must have
until the end of its shelf life, when received by
Coles).
28.5 Loading Base P R O Product is loaded or stacked on pallets in a manner
that does not pose a risk to damage or safety in
transit.
Where product is order picked or consolidated for
dispatch the site must demonstrate good practices
(e.g. pallets are of a sensible height, not stacking
heavy goods on light, not overhanging pallet, etc.).
Mixed pallets are separated with liners or cardboard
to readily identify the different products.
28.6 Transport and Base P R Where temperature control is required, pre loading Data loggers are used to
distribution and transport temperatures shall be set to maintain measure and compare air and
the product temperature in accordance with the product temperature on each
storage temperatures advised on the product label load.
(or colder if specified on the Coles product Product temperatures are
specification). taken by placing a probe
Annual validation trials shall be conducted to confirm between products in the
product temperatures during transport, and load.
conducted during the most challenging of conditions
(e.g. summer weather, longest delivery route, etc.).
NOTE: Product temperatures must not be
destructive to products included in the
Coles shipment.
28.7 Transport Base P R O All vehicles used for transportation must ensure the Food transport vehicles in
food safety, legality, and quality of materials e.g. raw Australia must comply with
materials, packaging, work in progress, and finished FSANZ Standard 3.2.3 and

Evidence
P R O
goods. relevant state or territory
Validation trial procedures, with records shall be registration requirements (or
available to demonstrate that the cold chain has international equivalent).
been maintained when using alternative transport Available at
methods other than road freight (e.g. sea, rail, air). www.foodstandards.gov.au.
The site shall annually
validate the delivery
temperatures to each Coles
Distribution Centre.
28.7.1 Transport Base P R O All transport must only carry food grade materials.
ASPN
28.8 Maintenance Base P R Documented maintenance and hygiene procedures

and Hygiene (e.g. wet wash) and records must be in place for all
vehicles (including pipe work, transfer hoses e.g. milk
tankers, bulk tankers, etc.).
Where bulk tankers cannot be wet washed (such as
for transport of powder), then records must be
maintained for the three previous loads and
validation shall confirm that contamination from
allergens does not occur.
28.9 Maintenance Base P R If a third party transport contractor is used, all the Where third party storage or
and Hygiene requirements must be defined within a contract and consolidation of finished
effectively managed. goods takes place, site audits
This must include storage facilities where used, as shall be conducted to ensure
part of the contract. that these are suitably
managed.
28.10 Maintenance Base R O Vehicles used for transportation must be well

and Hygiene maintained and in a good hygienic condition.
28.10.1 Maintenance Base R O The transport vehicle or container must be inspected

and Hygiene and documented prior to unloading and loading to
ensure it is suitable and hygienic and free from
contamination hazards, and that temperature of the
vehicle is appropriate (where temperature control is
required).
NOTE: The risks associated with multiple delivery
stops and cross docking operations need
to be considered.
28.11 Temperature Base P R Where temperature controlled transport is required,

Control documented procedures must be in place to ensure
that prior to unloading or loading the air and product
temperature requirements are met and results
logged.
Transport must be capable of maintaining product
temperature within specification, under maximum
load.
28.11.1 Temperature Base P R O Temperature controlled transport must incorporate

Control temperature data logging devices which can be
inspected to confirm temperature conditions or a
manual system must be in place to validate the

Evidence
P R O
correct operation of refrigerated equipment.
Where no data logger is used, personnel must verify
the transport container temperature using a
calibrated device and not rely on the transport unit
display.
Manual temperature checks shall be recorded.
28.12 Breakdown Base P R Procedures must be in place in case of breakdown of
vehicle refrigeration.
All incidences of refrigeration equipment breakdown
must be recorded and corrective actions
documented.
28.13 Dispatch Base O Where materials are susceptible to weather damage,
vehicles must be loaded in covered bays or materials
suitably covered to protect the materials.
Chilled / frozen materials must be loaded in
temperature controlled bays or in a way which
temperature is not compromised.
28.14 Security Base P R O Locks / seals are fitted, inspected, and recorded prior
ASPN to dispatch.

Section 29. Finished Product Specifications

Evidence
P R O
29.1 Agreed Base R A current list of all Coles Brand products and
Specifications corresponding finished product specifications are
required to be available during the audit (either
electronically or in hard copy).
All specifications shall be current and accurate.
29.2 Agreed Base R Current supporting and validation data for product
Specifications specification information shall be maintained. For
example; Nutrition Information Panel (NIP) test
results, shelf life test results, raw material
specifications, packing material specifications, etc.
Validations and testing must meet the Coles’
specification.
29.3 Agreed Base P R Finished product specifications for processed or
Finished manufactured foods shall be loaded into Coles
Product Fusion.
Specifications
29.4 Agreed Base O Suppliers who provide non‐value‐added seafood,
Specifications poultry, or meat must demonstrate access to the
Non‐Value‐ controlled product specifications available on the
Added Coles’ Supplier Portal.
29.5 Agreed Base P R Changes to Coles’ finished product specifications
Specifications shall not be undertaken without the knowledge and
written approval of the relevant Coles CBM / PT.
This includes, but is not limited to:
 Changes to the product formulation / recipe,
 Changes to process
 Changes to NIP data
 Changes to the ingredient declaration, allergen
status, raw materials, and / or changes to the
Country of Origin statement.
29.6 Internal Site Base P R Where sites transpose information from the Coles’
Specifications specification onto an internal document, a system
must be in place to ensure accuracy of the
information and ensure updates are made when
applicable.
29.7 Sale of Coles Base P O Coles branded products shall not be sold through The site has full control over
Branded staff, site, or other retail outlets unless all Coles’ surplus stock and knows the
Product branding and packaging has been completely quantities of product. This is
removed. particularly important for
Where product is given freely to staff (not sold), the traceability and / or product
Coles branded packaging shall be completely recall.
removed, or where packaging / branding cannot be
removed from staff give‐aways, the Coles branding
shall be defaced and / or marked as ‘Site Second –
Not For Sale’.
29.8 Sale of Coles Base P O Any products sold through discount, staff outlets, or

Evidence
P R O
Branded freely to staff shall comply with relevant federal and
Product state legislation.
29.9 Waste Coles Base P R O Any rejected Coles labelled product must be securely
Brand disposed of through an authorised route or the
Product Coles packaging must be removed.
Records of destruction must be retained.
29.10 Obsolete Base P R Obsolete Coles Brand packaging or labels shall be
Coles Brand securely disposed and records must be maintained.
Packaging The supplier shall contact Coles CBM / PT to
and Labels determine the method of disposal.
29.11 Donations of Base P R O Donations of Coles Brand products may be made
Coles where there is no food safety issue (e.g.
Branded underweight product).
Products Where suppliers choose to donate Coles branded
products, written authorisation must be obtained
from the relevant Coles CBM / PT prior to the
donation.
A log shall be maintained by the supplier which
clearly records the date of the donation, product
details, batch numbers, Use‐By / Best Before dates,
quantities, reason for donation, and maintain a copy
of the written Coles approval.
Coles approved food collection charities are
SecondBite and Foodbank. Donations to SecondBite
or Foodbank approved by Coles and entered into the
log do not need to have Coles branding removed or
defaced. Donations to charities outside of
SecondBite and Foodbank must have their Coles
Brand packaging removed or the labelling defaced.
SecondBite contact details may be found at:
www.secondbite.org.
Foodbank contact details may be found at:
www.Foodbank.org.au .

Section 30. Product Claims, Product Authenticity and Chain of Custody

Evidence
P R O
30.1 Identity Base P R O Systems of traceability, identification, and

Preserved segregation of raw materials, rework, WIP, and
finished products shall be in place to ensure that all
claims relating to provenance or assured status can
be substantiated. Products may include Organic, Non
GMO, Coles Brand Egg Approved Production
Methods, Sow Stall Free, Hormone (HGP) Free, Grass
Fed, Responsibly Sourced, Product of Australia, etc.
30.2 Identity Base P R O Where claims are to be made on finished packs

Preserved about the provenance, assured, or identity
preserved the status of each batch of raw material
shall be verified and records maintained.
30.3 Traceability Base P R Suppliers shall conduct a mass balance and

traceability exercise to verify the chain of custody of
the identity preserved claims. The exercise must be
conducted annually (unless the chain of custody
scheme associated with the claim requires the
exercise to be conducted more often).
30A. Product Claims
Evidence
P R O
30.4 Product Claims Base R The supplier shall develop controls that ensure all
product claims are accurate, legal and can be
verified.
30.4.1 Product Claims Base P O Product segregation during processing and storage
must be in place for the control of materials with
special handling requirements e.g. vegetarian,
organic, meat species, allergens, and pungent
materials (due to taint risk).
30.5 Traceability of Base R The status of raw material, the status of the batch of
Product Claims raw material shall be verified where products claims
are made on finished packaging that describe
including:
 A specific provenance origin
 Breed / varietal claims
 Assured status (e.g. organic)
 Genetically modified organism (GMO) status
 Identity preserved
 Named specific trademarked ingredients
The supplier shall maintain traceability records to
substantiate claims including:
 purchasing records,
 traceability of raw material usage, and
 final packaging records.

Evidence
P R O
30.5.1 Traceability of Base R The site shall undertake and record mass balance
Product Claims tests at least every 6 months.
30B. Process Claims
Evidence
P R O
30.6 Process Claims Base P R O Records must be in place to substantiate all products
related to the process claim (e.g. Smoked, roasted,
slow cooked, and ‘free‐from’).
30C. Chain of Custody
Evidence
P R O
30.7 Identity Base R Where claims made related to certification schemes

Preserved (e.g. organic), proof of certifications shall be
available.
30.8 Identity Base P R O For all suppliers of pork, suppliers must meet the
Preservation requirements of the Coles Sow Stall Free Production
(Pork Only) Standard.
30.9 Identity Base P R O Suppliers of ‘Cage Free’ or ‘Free Range’ shell eggs
Preservation remain certified under the Egg Corp Assured
(Eggs Only) program and are certified under the Coles Cage Free
Eggs Production program.
30.10 Identity Base P R O Suppliers of poultry meat under the Coles Brand
Preservation RSPCA Approved Poultry program must maintain
(Poultry Only) current certification by the RSPCA.
30.11 Identity Base R All suppliers of responsibly sourced seafood must

Preservation have written agreement of the seafood source with
(Seafood Only) the Coles CBM / PT.
30.12 Identity Base P R O Suppliers of fresh beef products (including value‐

Preservation added lines) must ensure that all Australian grown
(Beef Only) beef is sourced from livestock that has not been
treated with HGP (i.e. Australian grown beef must be
classified as HGP‐Free) and meet the requirements in
the Coles Beef Production Standard for HGP Free
Beef.
30D. Country of Origin Claims (Australian Suppliers Only)
Evidence
P R O
30.6 Country of Base P R O Records must be in place to support the sourcing

Origin Claims statements used in the product specification in Coles
Fusion.

Evidence
P R O
30.6.1 Country of Base P R O The supplier must undertake a reconciliation of
Origin Claims country of origin data at least annually to validate
the on‐pack Country of Origin claim.

Section 31. Traceability

Evidence
P R O
31.1 Traceability Base P R Procedures must be in place to enable traceability of
product from a finished pack back to all processes
involved in the manufacture including the raw
materials, processing aids, product contact gases, dry
ice, work in progress, rework, and primary / food
contact packaging used (including caps and lids).
Full quantity checks must be included to
demonstrate full reconciliation.
Where finished product is purchased through an
agent, then the agent must be able to provide
information relating to receipt of delivery, volume
on stock, volume despatched (including distribution
centres).
31.1.1 Bulk Storage Base P R Where sites have bulk storage on site (silos, tanks,
bulk mixing) and the site operates a system of
topping up with each delivery, the site must be able
to demonstrate this in their traceability challenge.
For example; the site is aware of balance within tank
prior to filling with new delivery and information
relating to both deliveries is part of the trace.
31.2 Decanting Base P O When decanting opened ingredients into containers,
the traceability details shall be labelled onto the
container.
Where materials are decanted into containers, these
must be completely emptied before another batch of
materials is added to the container (i.e. not ‘topped
up’).
Containers used for decanting shall not be recycled
containers from other raw materials.
31.3 Traceability Base P R Procedures must be in place to trace a batch of raw
Procedures materials, processing aids, product contact gases,
dry ice, WIP, rework, or primary / food contact
packaging (including caps and lids) to all products it
has been used in.
31.4 Traceability and Base P R O The site must be able to demonstrate that The site retains all records as
Mass Balance traceability and mass balance procedures work evidence of completing
effectively by completing traceability / mass balance traceability tests and not just
challenges on raw materials, primary /food contact summarised outcomes.
packaging, and finished products.
This must include processing aids, product contact
gases, rework, and WIP (minimum six monthly), QA
samples and product wasted or destroyed.
31.4.1 Traceability and Base P R O Traceability exercises must be completed within 4 The trace from origin of raw
Mass Balance hours. materials to finished
Exercises Original documents are collected where possible. products, including records of
all critical processes, takes
less than 4hrs to complete.

Section 32. Allergen Control

Evidence
P R O
32.1 Allergen Control Base P R O All sites are required to conduct allergen risk Allergens shall be risk
assessments, and where allergen control is assessed individually without
necessary, have a documented allergen control grouping or hierarchy.
procedure / policy, which include details of all raw Where grouping has been
materials, processing aids, product contact gases, employed controls to
processes, products, and allergens used on site, minimise the risk of cross
including any transport used. The assessment shall contamination between
record details of physical form e.g. liquid or allergens within the group is
powder. evident.
Where allergens are used or stored the risk The risk assessment considers
assessment must establish the potential for cross the transfer and movement
contamination. The risk assessment must include of equipment used, and
all processes and areas of the site, including partially used trays of
product transfers. product, process aids,
Allergen assessment shall include cleaning cleaning, maintenance,
chemicals and lubricants used by maintenance. personnel, lubricants, and
Tools shall also form part of the risk assessment. product development, etc.
(not an exhaustive list).
If the risk assessment forms part of the HACCP
Plan, it shall be clearly demonstrated e.g. Information on the types of
production scheduling to products containing allergens and how to develop
allergen materials at the end of the day, or on a an allergen control program
dedicated day of the week. is available from the AFGC
Food Industry Guide To
Allergen Management and
Labelling available at
www.afgc.org.au.
Further information is also
available from The Allergen
Bureau, including the VITAL®
calculator (Voluntary
Incidental Trace Allergen
Labelling).
www.allergenbureau.net.
32.1.1 Allergen Control Base Where allergens have been identified the supplier
ASPN shall evaluate the Hierarchy of Control principles
to establish the best available solution to allergen
control in the following order (from most to least
effective):
1. Eliminate the allergen from the site
2. Reformulate the product and substitute the
allergen for another ingredient
3. Implement engineering controls (such as a
separate processing area)
4. Apply administrative controls (such as
training, signage, colour coding, etc.)
5. Apply warning labels to the product.
32.2 Allergen Base P R The site must maintain a register of all allergens
Register identified at the site based on the risk assessment,
and must include all raw materials, products,
chemicals and processing aids used on site.

Evidence
P R O
32.3 Allergen Base P R O Controls must be in place to reduce contamination
Controls of non‐allergen containing products.
Where the same allergen is present in all products
this may not be required.
32.4 Specifications Base R Raw material specifications must detail all Coles’
recognised allergens handled on site, including raw
materials, ingredients, processing aids, and
chemicals. The specification must provide detail of
the risk of cross contamination.
32.5 Allergy Base P R O The supplier shall ensure that where a claim is
Suitability made regarding the suitability of a food for allergy
Claims sensitivity sufferers, the production process is
validated and the effectiveness of the process is
regularly verified to ensure the claim is met.
32.6 Transport of Base P R O Transport of raw material must not pose a risk of
Raw Materials cross contamination.
Bulk tankers used for both allergenic and non‐
allergenic raw materials must be able to produce
cleaning records within 4 hours.
Cleaning of transfer hoses and equipment must be
recorded.
32.6.1 Transport of Base P R O Where bulk tankers cannot be wet washed (such
Raw Materials as for transport of powder), then records must be
maintained for the three previous loads and
validation shall confirm that contamination from
allergens does not occur.
32.7 Cross Medium P R O Open product that has been in contact with
Contamination allergenic material must be disposed of if not being
used in like for like product.
32.8 Storage Base P O Segregation of allergens must be based on risk Allergenic materials shall be
assessment, i.e. product in unopened / fully sealed stored on pallets at floor
packaging poses less risk than materials that has level, to minimise the risk of
been opened and re‐sealed. cross contamination if
Nuts are the exception and must be stored damaged.
separate in a restricted access area if the site
produces other products that do not contain nuts.
When storing allergenic materials on vertical
racking consideration must be given to what is
stored vertically above each pallet (e.g. soy over
soy, or wheat over wheat and not wheat over soy,
etc.).
32.8.1 Storage Base P O Where nuts are available onsite and could be a
potential allergen to other products that do not
contain nuts, the nuts must be secured in locked
storage, separate to other products.
32.9 Identification Base P O Based on risk assessment raw materials, work in
progress, processing aids, rework, lubricants,
chemicals, and finished product containing

Evidence
P R O
allergens must be clearly identified during storage
and production.
32.10 Rework Medium P R O Rework that contains allergenic ingredients must
be reworked only into products that contain that
allergen (e.g. chocolate containing almonds only
reworked into other chocolate containing
almonds).
Rework shall be treated as an ‘ingredient’ into the
new batch, and batch details of the rework
product are recorded with the new batch records
alongside all other ingredients.
32.11 Equipment Medium P R O Cleaning between the production of allergen and
Cleaning non‐allergen containing products and products
containing different allergens must be thorough,
and where possible chemically cleaned to remove
all visible debris.
Consideration is also be given to cleaning of the
environment (e.g. splashing to walls and ceilings)
where there is an obvious risk.
The cleaning must be verified by documented
visual inspections as a minimum.
A cleaning validation study must be available and
reviewed annually or after any change in the
equipment or procedures.
Ongoing validation of allergen cleaning procedures
using protein swabs when available for the target
allergen.
32.11.1 Equipment Medium P R O Where tests are readily available, the cleaning
Cleaning procedures shall be validated with surface allergen
testing kits. Test kits must be specific for the
allergen of concern. Where no test kit for the
allergen is available, then a protein residue test kit
shall be used.
32.11.2 Equipment Medium P R O Screens and sieves must be dedicated to individual Spare sets of screens or
Cleaning allergenic ingredients or cleaned immediately after sieves can be maintained to
allergenic material is sieved, where there is a risk of allow clean dry screens or
cross contamination. sieves to be utilised, while
Free standing sieving equipment must be soiled screens and sieves are
dismantled to remove all visible debris after removed and wet cleaned.
allergenic material is sieved. The area around the Ideally sieving of allergenic
sieving operation must also be cleaned. material is in a separate or
screened area.
Bulk or in‐line sieving equipment must be cleaned
to remove all visible debris.
Where fitted, extraction equipment must be
suitably cleaned and managed to prevent any risk
of cross contamination.
Effectiveness of equipment cleaning must be
validated.
32.12 Equipment Medium R O Equipment and utensils used for handling Stainless steel is preferred as

Evidence
P R O
Cleaning allergenic ingredients must be chemically cleaned it’s easier to clean than
after use or dedicated to specific ingredients. acrylic equipment which can
Raw ingredient and product transfer hoses shall be become heavily scored over
dedicated or chemically washed after each use. time.
Effectiveness of equipment cleaning must be
validated.
32.13 Protective Medium P O Personnel moving between the production of
Clothing allergen and non‐allergen containing products and
Changing products containing different allergens must
change all protective clothing, hairnets, beard
snoods, etc. and wash and sanitise their hands
prior to moving to the new area.
32.14 Maintenance Base P R O Maintenance activities on equipment handling Separate toolboxes for nut
allergens must be risk assessed and appropriate areas.
controls defined and implemented. Colour coding equipment and
Movement of maintenance personnel and tools protective clothing.
from one machine to another must be risk Tools cleaned between uses
assessed. on different machines.
32.14.1 Maintenance Base P R O Maintenance personnel moving from machines
used for the production of allergen and machines
used for non‐allergen containing products and
products containing different allergens must
change all protective clothing, hairnets, beard
snoods, etc. and wash and sanitise their hands
prior to the move.
32.15 Segregation Medium P R O If dedicated lines (for allergens) are not in place,
scheduling must take into consideration the
allergen content of the different products
produced on the line.
Where a dedicated line used for allergenic products
is adjacent to another line not containing allergens,
there must be a risk assessment undertaken to
demonstrate there is no risk of airborne
contaminates.
Line cleaning and other controls must be employed
as determined necessary by risk assessment.
32.15.1 Segregation Base P R O Products containing allergens are produced on
ASPN dedicated equipment, lines, or facilities.
32.16 Recirculated Medium P R O Recirculated coatings (e.g. crumbing, chocolate
Coatings enrobing) that contain allergenic ingredients must
be used with products that contain the same
allergen.
32.17 Fryers Medium P R O Based on risk assessment oils used for the frying of
allergenic foods (e.g. shellfish, fish, and breaded
products) must not be subsequently used for frying
products not containing allergens or different
allergens. Methods of control shall be documented
and recorded.

Evidence
P R O
Fryers must be cleaned (including changing or
cleaning filters), between each allergen type or
when going from an allergen to a non‐allergen.
Cleaning and changing of filters must be recorded.
32.18 Spillage Base P O Any spillage of allergenic material that occurs
during production, storage, or distribution must be
contained and cleaned up immediately to ensure
no risk of cross contamination.
32.19 Allergen Base P R O All personnel must receive allergen training as part
Training of the site induction and annual refresher training
whether allergens are produced at the site or not.
Personnel must be aware of the risks regarding
cross contamination and the hazards associated
with bringing allergenic material to the site (such
as meals, snacks, and vending machine items).
32.19.1 Allergen Base P R Personnel working with allergenic materials shall
Training receive job specific allergen training (e.g.
Receiving, dispatch, maintenance, production,
purchasing, QA, etc.).
For example, job specific training for maintenance
personnel may include tool cleaning and changing
protective clothing to prevent cross contamination
when moving from one area to the next, and the
skills to risk assess lubricants for allergen status.
32.20 Personnel Medium P O Based on risk assessment, personnel Alternating the colour of the
manufacturing allergenic product must be clearly disposable protective
identifiable e.g. through wearing / using coloured equipment as the line
disposable protective equipment. changes between products.
32.20.1 Visitors Medium P O Visitors to the site must be briefed on the site
allergen controls that they may impact (e.g.
maintenance contractors, materials and samples
brought in by suppliers, etc.).
32.21 Allergen Base P R O The presence of allergens must be declared in
Labelling accordance with FSANZ Standard 1.2.3 –
Mandatory warning and advisory statements and
declarations of the Food Standards Code and the
Coles Supermarkets Coles Brand Labelling
Guideline.
32.21.1 Allergen Base P R O Verification of finished product labels shall be
Labelling conducted against the product specification,
formulation, and all raw materials to ensure that
label and ingredient declarations are correct.
Verification shall be conducted at minimum
annually or whenever changes to specification,
formulation or raw materials occur.
32.22 Allergen Testing Medium P R O Where allergen test kits are used to verify product
changeovers and cleaning, training shall be
provided in their correct use.

Evidence
P R O
Refresher training shall be given to staff using
allergen test kits.
32.23 Equipment Medium P R O Cleaning procedures are required for knife blades,
scissors, and needles which have been in contact
with allergens and other product types (e.g. from
one species and / or allergen type to another).
Keys used in production (e.g. for accessing lockers,
locked rejection boxes, etc.) shall be controlled so
they do not pose a hazard.

Section 33. Foreign Body Controls

33A. All Foreign Body Controls
Evidence
P R O
33.1 Foreign Body Base P R O The site must have effective procedures in place to Metal detectable pens shall
Controls and eliminate (so far as practically possible) potential be used site wide, including
Risk Assessment foreign body hazards. in office areas.
Tethered pens are used in
production areas.
33.1.1 Foreign Body Base P R The site must have a documented risk assessment All areas checked daily
Controls and and corresponding policies and procedures for against the startup checks
Risk Assessment potential foreign body hazards, including glass, and verified weekly through
brittle / hard plastic and ceramics, wood, metal, audits based on risk
paper, string, tape, maintenance debris, personal assessment.
effects, etc.
33.2 Foreign Body Base P O The correct type, grade, colour, and quality of
Control material for equipment, containers, packaging,
protective clothing, etc. be selected for each
application.
Considerations may be given to the following:
 Freezing
 Blast chilling
 Washing technique
 Exposure to acid / alkali materials
 Abrasion or impact damage
 Tempering
 Contrasting colour to product.
33.3 Training Base P R O All staff involved with foreign body detection must
be trained not only in the technical and operational
aspects but also in the principles of metal and
foreign body detection to ensure full understanding
of the purpose at induction and refresher training
33.4 Package Rinsing Base P R O Where package rinsing equipment is used (e.g.
Equipment rinsing glass jars, bottles, etc. prior to filling), the
effectiveness of the equipment shall be checked for
functionality each shift or at changeover to a new
size or shape of container and checks shall be
recorded.
33.5 Foreign Body Base P R Foreign body audits must be completed at a Photographic evidence or
Audits frequency determined by risk assessment. For permanent marking and
example; areas over open product or packaging shall dating of any existing
be assessed daily and less frequently for storage damage, if immediate repairs
areas based on risk. not possible.
Any issues raised must be investigated to establish if
product has been put at risk.
Where an issue has been raised a risk assessment
must be completed to determine how quickly repairs
must be made.
33.6 Foreign Body Medium P R Foreign body audits must be completed at a

Evidence
P R O
Audits frequency based on risk (e.g. ‘Bucket Walks’).
33.7 Foreign Bodies Medium P R Procedures must be in place for actions when A lockable box and register is
foreign bodies are found (e.g. ‘Bag and Tag’ systems in place for placing found
to document what was found, when, and where). foreign objects.
A full investigation must take place to ensure the
source of contamination is identified and corrective
action plan implemented and product is dealt with in
appropriate manner.
Details of the investigation must be recorded.
33B. Control of Glass, Brittle / Hard Plastic and Ceramic
Evidence
P R O
33.8 Glass, Brittle / Base P O Glass, brittle / hard plastic and ceramics in Forklift lights are fitted with
Hard Plastic and production, storage, maintenance, and staff facilities protective mesh screens.
Ceramics must be replaced with suitable alternatives, where
possible.
If this is not possible, the glass, brittle / hard plastic
and ceramic items must be protected (e.g. protective
film (applied to windows, machine control screens,
mobile phones, tablets, etc.), shatter resistant light
bulbs, covers over light fixtures, etc.
33.9 New Equipment Base P O Introduction of new equipment or modifications to

existing equipment must eliminate glass, brittle /
hard plastic and ceramic, and clear plastic, where
possible.
33.10 Register Base P R A register shall be maintained of all glass, brittle /

hard plastic, ceramic, and other like items in:
 Production areas
 Storage areas
 Production offices
 Employee facilities
 Maintenance areas
 Laboratories
 Any other areas where normal personnel
movement patterns may track contamination.
33.11 Glass, Base P R Audits must be completed on all registered items at Photographic evidence or
Brittle/Hard a frequency determined by risk assessment. For permanent marking and
Plastic and example; areas over open product or packaging shall dating of any existing
Ceramic Audits be assessed daily and less frequently for storage damage, if immediate repairs
areas based on risk. not possible.
Audits are scheduled such that glass or hard / brittle Barcodes are affixed to glass,
plastics located over or in close proximity to open hard / brittle plastic items to
products are assessed daily and less frequently over be physically scanned during
closed products. audits to ensure they aren’t
The audit must record the condition of the item e.g. missed.
‘intact, broken, damaged but intact, undamaged but
not working’.

Evidence
P R O
Any issues raised must be investigated to establish if
the Glass, Brittle/Hard Plastic, and Ceramic
procedure has been followed and if not, whether
product has been put at risk.
A risk assessment must be completed to determine
how quickly repairs must be made.
33.12 Glass, Base P R A detailed procedure must be in place to manage Dedicated, colour coded
Brittle/Hard breakages of glass, brittle / hard plastic, ceramic, and equipment for glass breakage
Plastic and other like items. only.
Ceramic The procedure must follow a logical sequence and Single use disposable
Breakage have sufficient detail to manage the incident. equipment used for cleaning
Procedure must include: up glass breakage (similar to
 Stopping of production and production a HAZMAT kit).
equipment / lines It may be practical to take a
 Quarantine of affected area photograph of a reassembled
 Restriction of movement through the affected item rather than retain
area sample in some instances
 Quarantine of possibly affected materials (e.g. (e.g. item snapped in two).
Finished product, ingredients, packaging, Glass ‘Spill Kits’ are located at
equipment, etc.) appropriate areas in the
 Report to management facility and contain all the
 Clean‐up of breakage, disposal of breakage, and equipment needed:
the cleaning or disposal of equipment used to  Copy of glass breakage
clean‐up the breakage procedure
 Safe removal of broken item from area  Broom
 Repair or replacement of damaged item  Dustpan
 Cleaning of the affected area and the  Area isolation tape
equipment  Breakage records
 The changing of protective clothing (including  Container for
protective clothing, gloves, hairnets, footwear, transporting pieces.
etc.)
 Completion of an incident log and sign off that
production can restart, by a designated or
senior person.
 A sample of broken glass must be retained in a
safe manner
 Corrective action to prevent reoccurrence.
 Evaluation, by the QA Manager or a member of
the Food Safety team, and destruction (if
affected) of finished product, ingredients, and
packaging which may have been affected
 Incident must be documented and records
maintained.
Compressed air or high‐pressure water must not be
used for cleaning of breakages.
33.13 Training Base R All employees must be briefed on the Glass, Brittle /
Hard Plastic, and Ceramic procedure at induction
and refresher training, even if the site doesn’t pack
in glass.
33.14 Handling Glass Base P R O Where glass containers are used as packaging, Bounce mats shall be
Containers detailed procedures must exist covering: considered where glass is

Evidence
P R O
 Inwards goods checks of the glass containers used in processing.
 Pre‐operation inspection of equipment to be Well‐designed glass
clear of any breakages packaging that minimises
 Inspection protocols for the risk assessment of breakages and facilitates
the pallet condition to determine the level of effective rinsing.
further inspection of individual packages within
the pallet prior to filling.
 Cleaned and inverted
 All packages shall be inverted and rinsed /
cleaned prior to filling.
 The effectiveness of the container cleaning
equipment shall be checked for functionality
each shift or at changeover to a new size of
container. Checks shall be recorded.
 Rinsing / cleaning equipment of which shall
include documented and recorded validation
studies
 General handling
 Breakage on line, specifically in automated
filling systems, including documented checks
prior to resuming production.
33.14.1 Handling Glass Base P R O Glass containers used for packaging shall be Glass packaging is stored
containers segregated from other types of packaging, raw inverted.
materials, and finished goods.
33.14.2 Handling Glass Medium P R O Where glass containers are used, all employees must
Containers be trained on the glass, brittle / hard plastic and
Training ceramic procedure, cleaning process specific to the
equipment, and line clearance procedures at
induction and refresher training.
33C. Control of Wood
Evidence
P R O
33.15 Wood Base P R O The use of wood within the site production, Layer separation between
maintenance, and storage areas must be eliminated pallets and product.
where possible (e.g. production and maintenance Coverage of materials stored
wooden handled tools, pencils, clip boards, under wooden pallets on
furniture, brooms, etc.). racking systems.
Where wood cannot be eliminated in production, Wooden boxes where used
maintenance, and storage areas it must be are in good condition or
minimised and suitably controlled. there are systems for repair.
Demarcation of where
wooden pallets are or are not
permitted within the site.
Inspection of condition of
pallets, and broken pallets
removed from the system.
33.16 Wood Medium P R O Where wood is used in the process or integral to the Pallets are inverted and
product it must be controlled (e.g. skewers, cheese wooden pallets replaced with

Evidence
P R O
ripening shelves, salami poles, barrels, wood smoke a clean plastic pallet prior to
chips, etc.). transfer into production
Sites must strive to eliminate all wood in processing areas. Where it is not
areas and be able to demonstrate that alternatives possible to invert the pallet,
have been evaluated, and why these options were the wooden pallet shall be
not suitable. placed on a plastic pallet.
Controls for wood used in processing must be based
on risk assessment. These must include:
 Receiving checks
 Inspection for splinters / damage
 Procedures for handling of breakage.
33.17 Wood Base P R Wooden pallets destined for Coles, must be in a

good condition and not pose a contamination risk.
33D. Control of Metal
Evidence
P R O
33.18 Metal Control Base P R O The site shall undertake an assessment of the metal A site wide ‘no staple’ policy
types used in the factory, and the places within the shall be in place.
process where metal could enter product (e.g.
cutting blades, augers, etc.).
There must be appropriate systems in place for the
prevention of metal contamination.
33.19 Metal Control Base P R O Where metal is used in the process or integral to the Reconciliation of numbers of
product (e.g. bag clips, cans, and other packaging metal items used.
materials) it must be suitably controlled. Inspection of condition
Staples must not be used in Coles Brand packaging. before and after production
runs.
33.19.1 Metal Control High P O Can openers shall not be used in High areas.
Where can openers cannot be avoided in High areas,
metal detection equipment must be in place later in
the process flow, and identified in the HACCP Plan as
a CCP.
33.20 Equipment Medium P R O Knife, blade, scissor, and needle controls must be in All knives / scissors issued
place and include: shall be individually
 Knives and blades must not be stored in numbered to ensure they are
personal lockers controlled, and kept clean
 Knife blocks or plastic scabbards must only be and maintained.
used for temporary storage. These must be Knife sharpening with steels
cleaned based on a risk assessment (e.g. is acceptable, provided they
product type, allergens, etc.) are not used over product.
 Only company issued, captive, identified, and
Where sharpening devices
registered knives / equipment blades / scissors
are fixed within butchery
must be used
areas, the location and use
 Snap‐off blade knives must not be used do not pose a risk of
 Knives, blades, and scissors must only be used contamination.
for the task for which these were designed
 Equipment must be accounted for, condition Shadow boards, magnetic

Evidence
P R O
checked, and recorded (minimum start and end holder, secured clean
of production) storage.
 In the event of breakage or loss, all parts must
be accounted for and product must be risk
assessed as to whether it is suitable for
commercial release, the incident logged, and
the Coles CBM / PT notified. Corrective action
must be taken to prevent re‐occurrence
 Knife and blade sharpening must take place
away from production areas and equipment
must be returned in a clean condition
 A procedure for disposing of used knives,
blades, scissors, and needles.
Replacement knife blades shall be securely
controlled.
33.20.1 Equipment Base P Cleaning procedures are required for knife blades,
scissors, and needles and can openers.
33.21 Maintenance Base P R O Maintenance activities must be controlled to avoid
compromising product safety or quality.
33.21.1 Maintenance Medium P R O The following controls must be in place: When purchasing small
 Maintenance equipment, tools, and parts must items, where possible they
be counted / checked at the beginning and end are metal detectable at level
of each task of detection on site.
 Start‐up checks of equipment must identify
damaged or missing parts
 In the event of damage or loss, all parts must be
accounted for and the incident logged
 Corrective action must be taken to prevent re‐
occurrence
 Potential transfer of metal contamination from
maintenance areas must be suitably controlled
(e.g. swarf mats, and changing production
protective clothing).
33.21.2 Maintenance Medium P R O Wire brushes and scourers must be in good Wire brushes and scorers are
condition and stored away from the production not used.
process or below product height when not in use.
After use the area where wire brushes or scourers
were used shall be cleaned and inspected.
33.21.3 Maintenance High O Mobile maintenance work stations must not be used
in open food areas.
33.22 Construction High P O Equipment such as belts, production utensils, and
ASPN trays shall be metal detectable.

33E. Control of Other Foreign Bodies
Evidence
P R O
33.23 Cardboard Base P O Cardboard must be managed / controlled.
Control Storage and packing areas are regularly swept to
remove cardboard shards from packing boxes.
33.23.1 Cardboard Medium P R O A risk assessment must be conducted prior to the Cardboard is not used in the
Control use of cardboard in production areas. production areas.
33.24 De‐boxing / Medium P R O A procedure must be in place for the de‐boxing and The method of opening and
Debagging debagging of raw materials and packaging, which decanting minimises the risk
aims to minimise the risk of contamination. of contamination from the
Cardboard boxes are opened correctly to prevent packaging itself (e.g. paper,
ripping. plastic, cardboard, or string).
Packaging that is exposed in base areas shall not be
brought into Medium or High areas (e.g. bags on
pallets that have not previously been stretch
wrapped in transit or storage).
33.25 De‐boxing / High P O Cardboard / paper bags must not be used within Cardboard is removed from
Debagging High areas. all items including protective
clothing (e.g. disposable
glove boxes) prior to transfer
to High areas.
Where it is not possible to
remove cardboard (e.g.
winding tubes for films and
labels) it must be clean.
33.26 Liners / Bags Medium P O Plastic liner‐bags used during production (e.g. for
temporary storage of ingredient, preparation /
batching, work in progress, rework or primary
packaging), must be in a contrasting colour to the
product(s).
33.27 Liners / Bags Base P O Bags and film gauges must be specified and be
appropriate to avoid potential entrapment / tearing.
33.28 Packaging Medium P R O All unnecessary packaging must be removed prior to
transfer of materials into production areas.
Traceability must be maintained.
33.29 Packaging Medium P O All wrapping must be removed from materials before
cutting (e.g. meat, cheese).
33.30 Packaging Medium P R O Inspection procedures must ensure that all
entrapped packaging materials are removed during
decanting of materials e.g. frozen.
If entrapped packaging is identified, corrective action
must be taken to remove the packaging prior to the
material being used in production or the material
must be rejected.
Procedures include:
 Rejection at receiving
 Controlled tempering
 An alternative supplier may be sourced.

Evidence
P R O
33.31 Containers Medium P O Opening and re‐sealing methods of containers and A bag opening procedure.
packaging must minimise the risk of potential
contamination (e.g. the use of scissors or sharp
knives and not torn).
33.32 Containers Base P R O All damaged food / ingredient containers and trays
(including bulk containers or ‘pallecons’) must be
removed from the system and corrective action
implemented to prevent reoccurrence.
33.33 Containers Base P O Food containers (e.g. plastic trays, cans, foil trays,
etc.) must not be used to store other materials e.g.
nuts, bolts, etc.
33.34 Miscellaneous Base P O All pens used within production, storage, One piece site issue pens (i.e.
Items maintenance, and packing areas must be approved no lid) with no clear plastic
site issued, one piece, and of a solid opaque colour parts shall be used in
contrasting to the product. Clear plastic pens are not production, maintenance,
permitted. and storage.
Staples, hole punchers, drawing pins, etc. must not Pens shall be tethered to
be permitted in production, maintenance, packing, clipboards or fully metal
or storage areas. detectable.
The number of miscellaneous items must be kept to Alternatives to staples and
a minimum. drawing pins shall be used.
Required miscellaneous items must be of a Metal detectable items in
contrasting colour and managed e.g. calculators, use.
rulers. Protective clothing to be
supplied without
unnecessary foreign objects
(e.g. rubber bands on
sleeves or aprons, etc.).
33.34.1 Miscellaneous Base P O Metal detectable pens, required for sites where
Items metal detectors or x‐ray equipment is used. (These
must be one piece, solid opaque body made of the
impregnated plastic type or of one piece metal
construction).
33.35 Utensils High P O Utensils in open food areas are metal detectable.
ASPN
33.36 Labels Base P O The type, condition, and location of any labels used
must not pose a risk of contamination.
33.36.1 Labels Medium P O Paper labels in open food areas are kept to a
minimum.
33.36.2 Labels High P O Where metal detectors are in use, traceability labels Luggage type metal
ASPN / tags in open food areas are metal detectable. detectable labels are used.
33.37 Signage Base O All signage must be secure and effectively sealed Magnetic signage is used.
against the wall e.g. to minimise the risk of debris
collecting between sign and wall.
Cardboard must not be used for signage and all
signage must be washable.

Section 34. Foreign Body Detection and Foreign Body Removal Equipment
34A. General Foreign Body Detection Equipment Requirements
Evidence
P R O
34.1 Corrective Medium P R Procedures must be in place for actions when

Action foreign bodies are found.
source of contamination is identified and corrective
action plan implemented (and product is dealt with
in appropriate manner).
Details of the investigation must be recorded.
34.2 Detection Medium P O Foreign body detection equipment must be specified Equipment must be upgraded
Equipment as appropriate for the products that are being to improve detection
examined. Equipment may include: sensitivity where advances in
 Filters detection are developed.
 Sieves
 Metal detection
 Magnets
 Optical sorting equipment
 X‐ray detection equipment
 Other physical separation equipment (e.g.
gravity separation, fluid bed technology)
Employees must be trained and assessed as
competent in the operation and sensitivity of the
foreign body detection equipment in use.
34.3 Equipment – Medium O Based on the outcome of a documented risk Foreign body detection
Foreign Body assessment, all foreign body detection equipment equipment is located as close
Detection must be located at the most appropriate point to as possible to the finished
detect foreign bodies. packaging point.
34B. Metal Detection and X‐Ray Equipment
Evidence
P R O
34.4 Equipment – Base P O All foreign body detectors must have adequate Detectors are situated ‘in‐
Foreign Body security devices, so only authorised personnel have line’ with the production
Detection access to alter settings. process.
34.4.1 Equipment High P R O Foreign body detector systems include: The system stops if a test has
ASPN  A data capture system to show pack numbers not been completed.
checked
 The number of rejects, number and type of
tests
 Foreign body detector system highlights when
tests are due
 Visual or audible alarm, or fail safe system in
the event of line fault.
34.5 Equipment – Medium P O A conveyor type detection system must have: A visual or audible alarm
Conveyor  An effective automatic rejection system (belt system is fitted to the
Systems retraction or reject arm) rejection equipment in the

Evidence
P R O
 A locked box to receive rejected product event of detection.
 A fully enclosed area from the search head and
rejection box (to prevent personnel from
reaching through and bypassing the reception
systems)
 Belt stop systems shall only be used for bulk or
sensitive items.
NOTE: Reject boxes must be specific for the metal
detector, and separate to reject boxes for
other detection equipment (e.g. check
weighers).
34.5.1 In‐line Systems Medium P R O An effective testing method must be in place for the
equipment. Refer to advice from the equipment
manufacturer.
34.6 Fail Safe Medium P R O Detector fail safe systems where fitted, must be Fail safe systems are
Systems challenged at regular intervals (minimum start and interlocked with the machine
end of day) to make sure they are effective, for the locked box so the line
including: cannot be started without
 Reject confirmation the box being locked.
 Air pressure The locked box incorporates
 Search head failure a ‘bin full sensor’.
 Back‐up sensor
 Photo electric cell pre search head.
Records of checks shall be maintained.
34.7 Testing of Medium P R O The foreign body detector must be fully operational A specific test piece and catch
Equipment at the start of production or at any change of setting tray are fitted to the system.
(e.g. product change). A smaller test piece size is
An effective testing method must be in place and all used if the test piece cannot
checks must be documented. be placed in the centre of the
Detection equipment checks shall be conducted aperture.
under normal processing conditions (i.e. the normal
processing speed, normal quantity of product flow,
etc.).
Detectors must be checked at the beginning and end
of production (for Coles Brand product) and
minimum hourly unless agreed otherwise with Coles
as determined by risk assessment, and in any case
before the product leaves the site.
Detectors also must be challenged with very large
test pieces – to determine whether the subsequent
sensitivity to smaller test pieces is affected by large
pieces overwhelming the machine settings.
34.8 Testing of Medium P R O Where metal detectors are used in‐line, the test
Equipment pieces shall be placed in the product flow where
possible, and the correct timing of the rejection
system to remove identified contamination shall be
established.
The site shall document the testing method showing
the order that test packages are sent through the
detector (e.g. package 1, 3 and 5).

Evidence
P R O
34.8.1 Testing of Medium P R O The detector must be rechecked after any line stop Test pieces shall not be stored
Equipment such as power failures, meal breaks, and extended on or near the metal detector
breaks between product changes. so they do not affect the
magnetic fields.
34.9 Detector Failure Medium P R O In the event of a detector test failing (whether due to
/ Corrective failure to detect a test piece or failure to reject
Actions product) all material that has been checked since the
previous satisfactory test must be isolated and
retested through a unit that has been confirmed as
working correctly.
Only trained and authorised personnel shall be able
to:
 Access the rejected material
 Reset the metal detector
 Adjust the settings of the metal detector.
source of contamination is identified and the risk of
other materials being contaminated must be
assessed.
Corrective actions must be put in place to prevent a
recurrence.
Details of the investigation and corrective action
shall be recorded.
34.10 Metal Detection Base P R O All products must be examined through a metal
detection or x‐ray detection system.
Documented justification, based on risk assessment
must be given if metal detection (or x‐ray) is not in
place.
Justification is agreed with the Coles CBM / PT and
documented in the specification or via the Variation
Process, where the risk assessment deems that
metal detection / x‐ray is not required.
34.11 Equipment – Medium P R O All metal detectors must have the capability of
Metal Detectors detecting ferrous, non‐ferrous, and stainless steel.
All X‐ray equipment must have the capability of
detecting the foreign bodies identified in the HACCP
Plan.
34.12 Validation of Base P R O Metal detector test pieces must consist of ferrous,
Metal Detection non‐ferrous, and stainless steel and the size of the
and X‐Ray test pieces must be based on a validation exercise.
Equipment Where the product is in a foil lined container, only
ferrous test pieces are required.
The stainless steel test piece(s) should match the
most common grade of stainless steel found in the
facility (typically 316 grade).
X‐ray equipment test pieces must be determined
based on the manufacturers recommendations and
product and packaging and must be based on a
validation exercise.

Evidence
P R O
Validation shall also take into account the size of
aperture, product type / composition / state,
product size, line speed, and adjacent interference.
34.13 Equipment – Medium P O In‐line metal detectors e.g. pipe detectors must have
In‐line Systems a visual or audible alarm and reject product into a
dedicated secured container.
34.13.1 Conveyor Metal Medium P R O Detectors must be checked using clearly identified
Detector and X‐ test packs at the same temperature as standard
Ray System Test product passing down the line and test pieces of a
Packs defined size (based on risk assessment).
Unless written advice from the metal detector
manufacturer states otherwise, test pieces for metal
detectors shall be placed ideally inside the centre of
the product, and passed as close to the centre of the
detector aperture as can be achieved with the test
pack.
It is not acceptable to pass test pieces through the
detector by themselves.
Test packs must be passed successfully through the
metal detector prior to being used for the check.
Test packs must be allowed to be rejected fully into
the bin.
Consecutive leading and trailing checks must be
completed in long packs to ensure the reject
mechanism can successfully reject, unless the metal
detector has a photo electric cell that measures the
product prior to passing through the search head.
The test must be representative of how products
would normally travel through the detector during
normal production.
34.15 Detection Medium P R O Any Coles Brand product which has been rejected by
Failures a metal detector shall be passed through three more
times at different orientations and must be rejected
if it fails at any of the subsequent times.
If rejected the product must be inspected /
disassembled to determine the cause, and the
product disposed of. Any foreign body found must
be investigated and the findings recorded.
This does not include product rejected during normal
test procedures. If product is rejected during routine
testing and is in a sound condition these may be
placed in the product flow and re‐detected.
A detailed procedure must be in place to handle
incidents when metal is found in material.
34.16 Metal Medium P R Metal detectable first‐aid strips, ear plugs, pens etc., First aid dressing strips are
detectable must be checked to ensure the lowest sensitivity tested using worst case
Ancillary metal detector or x‐ray unit can detect these. scenario i.e. placed in the
Equipment The checks must be recorded. product.

34C. Magnets
Evidence
P R O
34.17 Equipment – Medium R O Where magnets are used these must be capable of Magnets shall be followed
Magnets trapping the types of metals identified in the risk by further detection systems
assessment and be located in a manner that allows such as metal detection or
for product to come into direct contact with the x‐ray on finished packaged
magnet. product.
Pull strength (gauss) of the magnets shall be
assessed against the location and type, viscosity, and
volume of material passing over the magnet.
34.18 Equipment – Medium P R O Where magnets are used, these must be inspected
Magnets and cleaned at regular intervals determined by the
risk assessment (minimum daily).
Any foreign items detected must be investigated and
the findings recorded.
34D. Sieving / Filtering (including inline sieves and filters)
Evidence
P R O
34.19 Risk Assessment Medium P R Risk assessments must be completed to determine

whether a particular material requires sieving /
filtering (including liquids).
34.20 Sieving Medium P O Where screens, sieves, and filters are used these
ASPN must be metal detectable or of a contrasting colour
to the food.
34.21 Equipment Medium P R O Equipment used for sieving / filtering must have
written inspection procedures.
34.22 Equipment Medium P R O Sieving / filtering equipment must be inspected for

integrity at pre‐defined intervals as identified in the
risk assessment and recorded.
Equipment must be accessible to enable inspection.
Mobile equipment must be uniquely identified to
ensure that the integrity of each sieve is managed.
34.23 Preventative Medium P R Screens, sieves, and filters must be included on the
Maintenance preventative maintenance plan.
34.24 Traceability Medium P R O Records must be in place to demonstrate when

ingredients have been sieved / filtered (traceable to
batch level).
34.25 Storage Medium O Stored sieved ingredients must be protected to

prevent post sieving contamination.
34.26 Sieves / Filters Medium P A sieve / filter matrix must be in place detailing the
type of material, size, location, and frequency of
inspection.
34.27 Sieve Tailings Base P R O Screen and sieve tailings must be checked and
recorded at regular intervals as defined in the risk

Evidence
P R O
assessment.
Any foreign items detected must be investigated and
the findings recorded.
34E. Optical Sorting Equipment
Evidence
P R O
34.28 Optical Sorting Medium P R A documented procedure shall be in place, per

Devices manufacturers’ instructions for checking and
calibrating optical sorters at the start of production
of each product type.
A challenge test must be incorporated into the
calibration test using approved test samples.
Checks and calibrations shall be recorded.
34F. Package Rinsing Equipment
Evidence
P R O
34.29 Inverting Medium P O Packaging containers shall be inverted prior to filling.

Packaging
34.30 Package Rinsing Medium P R O Packaging containers that may pose a foreign body
risk (e.g. glass jars, metal containers) shall be
inverted and rinsed with air or water jets.
The pressure of the rinse shall be determined
through validation for each package size and type.
Where air or water rinse has been installed, an
automatic stop shall be installed to stop the supply
of packaging to the line if the pressure drops below
specified levels.
The alignment of rinse jets shall be checked at the
commencement of each run.
34.31 Rinsing Medium P R O Air or water rinsing equipment used for open
Equipment packaging containers (e.g. cans, bottles, jars, etc.)
shall be checked at the commencement of
production.
34G. Bulk Unloading
Evidence
P R O
34.32 Previous Loads Base P R The supplier shall ensure that records of the
ASPN contents of the 3 previous loads of the bulk tanker
are checked and recorded.
34.33 Bulk Unloading Base O Unloading areas shall be protected from the

Evidence
P R O
environment (e.g. covered bays).
34.33.1 Bulk Unloading Base O All bulk unloading equipment such as transfer hoses
ASPN shall be fitted with a screen, magnet, or filter.
34.34 Bulk Unloading Base P R O Where a tanker hatch is opened during unloading, a
filter or screen shall be fitted.
34.35 Bulk Unloading Base P R O In‐line filters, magnets, and sieves used to unload
bulk incoming materials shall be inspected and
recorded before and after unloading.
Any foreign items must be reported immediately,
investigated, and the findings recorded.
34.36 Bulk Unloading Base Lids for bulk containers should not be placed on the
floor or an unclean surface whilst filling of the bulk
container is underway.
34.37 Unloading Base R O Unloading equipment that uses lubricants (such as
Mechanisms augers, conveyors, gearboxes) shall be on an
inspection schedule to check for leaks.

Section 35. Inspection and Analysis

Evidence
P R O
35.1 Environmental Medium P R Procedures shall be established to determine the Areas of the facility
Monitoring zones, frequencies, target organisms, and acceptable vulnerable to the
levels, for environmental monitoring. establishment and
Target organisms shall include organisms of food proliferation of Listeria are
safety concern (pathogens) as well as organisms of mapped, and swab sample
quality concern (spoilage). points are also mapped to
ensure consistency in
Hygiene standards must be verified by equipment
prevention strategy.
swabbing or exposure plates according to a risk
assessment.
Swabs and plates must be tested a maximum of 24
hours after sampling.
Results of environmental monitoring activities shall
be recorded and trended and mapped, and results
must be reviewed on an ongoing basis. Action must
be evident for adverse trends.
35.1.1 Environmental Medium P R Monitoring results shall be reviewed by a competent
Monitoring person and action levels shall be defined.
Monitoring results shall be mapped and trended to
highlight areas requiring additional attention.
Corrective actions for results outside of acceptable
levels shall be recorded. Where an adverse result is
for a food contact surface, the corrective action must
include actions related to products produced and in
the marketplace.
Procedures shall be in place for retesting of
processes after corrective actions have taken place.
35.1.2 Environmental Medium P R Where monitoring has identified a presumptive
Monitoring pathogen (e.g. Listeria Species) on a food contact
surface for a ready‐to‐eat product, the supplier must
immediately notify their Coles PT (unless a frequency
for notification has been agreed with their Coles PT
via the product specification or Variation Process).
The supplier must immediately update Coles with
any further retesting results.
Where a pathogen has been detected then root
cause analysis shall be undertaken and the HACCP
Plan reviewed to determine whether the hazard
analysis and control measures are still appropriate.
35.1.3 Environmental High P R O ATP test kits are used to release key items of
Monitoring equipment post cleaning prior to use.
35.2 Raw Material Base P R O The supplier shall conduct testing or analysis
and Finished identified by the raw material and finished product
Product Testing risk assessment and the corresponding specifications
will determine the testing and analysis required,
which may include:
 Microbiological
 Chemical (e.g. antibiotic, pesticide residue, etc.)

Evidence
P R O
 Physical
 Organoleptic
 Analytical
 Other specific requirements (e.g. gluten free,
nutritional claims, etc.).
Records of testing and analysis results shall be
maintained.
35.3 Finished Base P R O Product testing must be completed to ensure
Product Testing compliance with Coles’ product specifications at
minimum annually or as per the criteria and
frequency stated in the approved specification in
Coles Fusion (unless the site has written
confirmation from the Coles CBM / PT).
All claims must be validated and records of product
assessments shall be maintained.
A sampling plan must be in place and followed, to
ensure requirements are met.
35.3.1 Finished Base P R Where modified atmosphere packaging is used to
Product Testing assist with preservation / shelf life of the product,
samples of the atmosphere must be assessed at least
at start, middle and end of the production run.
35.4 Product Base P R O Where the agreed specification does not include a
Inspection product assessment frequency, suppliers must
conduct quality assessments against the agreed
Coles Quality Attribute Sheet (QAS) at a minimum of
twice per product per production day. At a
minimum, these product quality assessments must
be undertaken at the start and at the end of each
product run. Records of these product assessments
shall be maintained.
35.5 Product Base P R O The supplier shall ensure that they are carrying out
Verification assessments / checks of:
 The packaging, labelling, and date‐coding
 Weight, volume, drain weight, or count
 Correct catch weight information
 Matching top and bottom labels, cans and
labels or tub and lid sets etc.
These shall be conducted per product per production
day. At a minimum, these assessments / checks must
be undertaken at the start and end of each product
per variant or pack size run. Records of the packaging
assessments / checks shall be maintained.
These assessments are verification checks and are
conducted by QA and conducted in addition to
normal line checks.
35.6 External Base P R When outsourcing to external laboratories, a risk
Laboratories analysis shall be undertaken and documented to
determine whether the laboratory shall be
accredited by NATA (or an international equivalent)
for the product category and testing being

Evidence
P R O
undertaken.
Routine QC checks which are completed in a
laboratory environment such as measuring
dimensions of the product, quality sampling etc. do
not need laboratory accreditation.
35.7 Internal Base P R O Where internal laboratories are used, these shall not
Laboratories open directly into production or storage areas and
access must be restricted.
In‐house laboratories are not required to be NATA
accredited unless the laboratory is performing
analysis on pathogens or legislative parameters,
however this is based on a risk assessment, the type
of tests conducted, and agreed in writing with a
Coles CBM / PT.
In‐house test methods shall be validated against
NATA accredited laboratory methods, and a
proficiency testing scheme shall be introduced.
35.8 Internal Base P R O A register shall be maintained for all chemicals and
Laboratory agents used. SDS must be available. Where
Materials hazardous materials are used, a risk analysis shall be
undertaken to determine what materials shall be
handled in a fume cupboard.
35.8.1 Internal Base P R O Procedures shall be documented for the disposal of
Laboratory hazardous materials (such as used growth medium
Materials plates).
35.9 Laboratory Base P O Coat, hair covering, gloves, and shoes worn in on‐site
Protective microbiology laboratories shall be distinguishable
Clothing from normal site protective clothing (ideally a
different colour) and must not be worn in any other
site areas, including offices. This includes chemical
laboratories where toxic chemicals are used.
Where pathogens are analysed onsite, laboratory
garments are laundered separately to site protective
clothing.
Laboratory garments including coats, hair covering,
gloves, and shoes shall be changed / removed when
leaving the laboratory.
35.10 Internal Base P R O Internal laboratories which conduct pathogen testing Internal laboratories which
Microbiology or testing of legislative requirements must be conduct pathogen testing
Laboratories accredited by NATA (or an international equivalent). must be located in a separate
Controls must be in place to prevent cross building to production and
contamination from the lab to the production storage areas.
facility, e.g. drains, air flow, etc., including how
samples are collected and disposed of.
35.11 Retention Base P R O A procedure must be in place for the retention of
Samples samples and the process undertaken for shelf life
testing and extended shelf life testing.
The procedures must document the frequency of
testing conducted, and the analysis to be undertaken

Evidence
P R O
(e.g. organoleptic, microbiological, etc.).
Retention samples must be a finished product as
packaged, labelled and coded from the line.
35.11.1 Retention Base R O Where retention samples are maintained onsite, a

Samples risk assessment shall be conducted to assess the
potential contamination hazard from the storage
and disposal of sample product.
Retention samples must be clearly marked.
35.11.2 Retention Base P R Unless specific written Variation has been obtained
Samples from the relevant Coles CBM / PT, batch specific
retention samples of each flavour or formulation
variant shall be retained for the duration of shelf life
and assessed before discarding.
Example of a flavour or formulation variant:
 Chocolate ice cream
 Strawberry ice cream
 Vanilla ice cream
 Neapolitan ice cream
These flavour variants of the same product, even
though the Neapolitan ice cream is made up of the
other three flavours.
35.11.3 Retention Base P R Unless specific written Variation has been obtained
Samples from the relevant Coles CBM / PT, the retention
samples shall be in each form / type / size / volume /
weight of retail and bulk packaging in which the
product is sold.
Example of each form of retail packaging:
 Skim milk 600ml
 Skim milk 1l
 Skim milk 2l
These are three packaging variants of the same
product, even though the actual content is the same
product.
35.11.4 Retention Base P R O Unless specific instructions have been provided in

Samples writing by the relevant Coles CBM / PT, retention
samples shall be held at the following temperatures:
 ‐18°C + 1°C for frozen / thaw back products
 + 4°C + 1°C for chilled products
 Average room temperature for ambient
products.
35.12 Laboratory Base P R Procedures must be in place detailing samples,

Sample sampling methods, type of tests to be conducted,
Submission shelf life, and production date / time, lot code
information, etc.
35.13 Reporting Base P R Procedures must be in place to cover reporting of

routine results and out of specification results.
Out of specification and presumptive pathogen
results (e.g. Listeria Species) must be reported to the

Evidence
P R O
Coles CBM / PT within 24 hours.
35.14 Action / Base P R Action and investigation must be evident where
Investigation results fail to meet specified limits and reported to
Coles CBM / PT within the agreed timeframes.
35.15 Trend Analysis Base R Ongoing trend analysis must be in place for all
testing results.
35.16 Packaging Base P R O A method shall be defined and documented for the
Integrity integrity of inspection and testing of finished product
packaging seal and tamper seal (if used).
Packaging integrity checks shall be undertaken on a
frequency based on a risk assessment, and shall
include samples at the beginning, middle and end of
run at minimum.
Packaging seal checks shall be undertaken by trained
personnel and recorded.

Section 36. Product Labelling and Coding

Evidence
P R O
36.1 Packaging Base P R O Packaging supplied to the production line must be An ‘Issued to Line’ log shall be
Supplied to the controlled, checked, and recorded to ensure it is kept.
Line correct and for the right product.
At start up and changeovers, the line must be clear
of any packaging not required for the next
production run (including promotional packaging).
36.2 Labelling Base P R O Labels supplied to the production line must be An ‘Issued to Line’ log shall be
Supplied To Line controlled and checked and checks recorded to kept.
ensure these are correct and for the correct product.
36.3 Label Base P R O At start up and changeovers, the line must be clear
Changeover of any labelling not required for the next production
run (including promotional labels).
36.4 Control of Base R The correct document controlled coding schedule Coding information on the
Coding must be available on line with the date information. schedule is written in the
All coding information applied to a product must be same format as that on the
correct and reflect the requirements as per the packaging.
specification. Changes in month and year
Coding schedules and promotional information must must be highlighted on the
be cross‐checked by an authorised person prior to coding schedule.
issue. The authorised person has been trained and Changes in bold or in a
assessed as competent. contrasting colour.
Labels used for special promotions must be
highlighted on the coding schedule with start and
end date of labelling clearly stated.
Records with actual copies of the label must be
authorised and retained.
36.5 Packaging Base P R O Packaging and labelling supplied to the production An ‘Issued to Line’ log shall be
Coding, and line must be controlled and checked (including kept.
Labelling coding) to ensure it is correct and for the right
Changeover product, codes, and must include the inner packages
and outer package / carton (e.g. First‐off the line).
36.6 Product Base P R O Product labelling and coding checks must be In the case of printed boxes /
Labelling and completed and documented at start up (‘first off the bags it is acceptable to cut
Code Line line’), end of run, at minimum hourly intervals, in out and retain the coding
Checks between and after line disruption (e.g. reel changes, information only for the
fire‐alarm, breakdown, breaks). purpose of traceability.
Coding checks must be completed for all runs Checks include the cross
including ‘top up’ runs, and records including checking of product label
physical labels / sleeves retained. information against case /
A sample of the actual code printed on the packing tray end labels.
from each check must be retained. The part of the packaging
with the printed code may be
retained rather than all of the
packaging.
36.7 Optical Medium P R A documented procedure shall be in place, per
Scanning manufacturers’ instructions for checking and
calibrating optical scanners used for label checks at

Evidence
P R O
Devices the start of production of each product type.
A challenge test must be incorporated into the
calibration test using approved test samples.
Checks and calibrations shall be recorded.
36.8 Product Coding Base O Real time is printed on product labels.
ASPN
36.9 Control of Base P R O The time of any production date, use by / best
Coding before code changes must move to the next day at
midnight.
Production date and time must always be the actual
date and time of production.
36.10 Control of Base P R O All off line printing must be controlled and checked. Printed labels are kept from
Offline Printed The material must be stored in a restricted access the start and end of the print
Packaging area until issued to the production line. run. These labels are
authorised.
An ‘Issued to Line’ log must be kept.
The restricted access area
must be kept locked.
36.11 Control of Base P R O All unused coded packaging e.g. labels, cartons, must
Coded be accounted for, disposed of, and recorded.
Packaging /
Labels
36.12 Unlabelled Base p R Procedures must be in place to control unlabelled or
Product offline labelled product.
36.13 Product Base P R O Where product random weight systems are in place,
Labelling labelling and coding checks must also include:
 Price per unit (e.g. per Kg)
 Manual price per unit confirmation
 Barcode confirmation
 Packaging tare
 Machine use‐by or best‐before dates set
 Manual confirmation of use‐by or best‐before
dates printed on the product.
36.14 Reworking of Base P R O Re‐labelling of products due to printing faults or
Labelled / incorrect labelling must be done in a controlled
Coded Products manner.
Records must be retained, including details of
reasons for re‐labelling.
Over‐labelling is not permitted.
Re‐labelling of returned / rejected products shall only
be carried out with written instruction from the
Coles CBM / PT with no break in the cold chain.
36.15 Control of Base P R O Barcodes on all packaging must be checked against There is a method in place for
Barcodes Coles issued information before the packaging is ensuring that the barcodes
used. will scan.
Where barcodes are printed online, barcode checks EAN scan test results are
must be completed and documented at start up retained for all products.
(‘first off the line’), end of run, at minimum hourly

Evidence
P R O
intervals, in between and after line disruption (e.g.
reel changes, fire‐alarm, breakdown, breaks, etc.).
36.15.1 Control of Base P R O A scanner is in place for the verification of barcodes.
Barcodes ASPN
36.16 Control of Base P R O A labelling and coding procedure must be in place
Coding including actions to be taken in the event of an error.
All personnel conducting labelling and coding checks
must be trained and assessed as competent against
the procedure and refresher training must be
provided recorded.
36.17 Verification of Base P R O Where automated coding or labelling systems are in
Automated place, manual checks must be carried out at the start
Coding and and end of each run (at minimum).
Label Checks Automated systems must include:
 Prevention system for reversal of date codes
 Prevention system for incorrect coding at
month end and year end.
 Matching system for top and bottom labels,
cans and labels or tub and lid sets, etc.
Checks must be in place in the event of a breakdown
e.g. power failure and mechanical issues.
36.17.1 Verification of Base P R O Where automated coding or labelling systems are in
Automated place, auto reject system shall be verified at start,
Coding and middle, and end of the run and records maintained.
Label Checks
36.17.2 Automated Base P R O An automated coding or labelling detection system is
Labelling and ASPN in place.
Coding Password or key card protected system that
identifies the person using the machine.
36.18 Verification of Base P R O A procedure must be in place to verify that the final
Finished label applied to pallets of finished product is correct
Product Pallet for the pallet contents and the product type and size.
Code and Label Pallet label checks must be documented at minimum
the beginning, middle and end of the run.
36.19 Obsolete Coles Base P R Obsolete Coles Brand packaging or labels shall be
Brand securely disposed and records must be maintained.
Packaging and The supplier shall contact Coles CBM / PT to
Labels determine the method of disposal.

Section 37. Weight, Volume and Count Checks

37A. General Weight, Volume and Count Checking Requirements
Evidence
P R O
37.1 Finished Base P O Sites must have a clear documented policy and
Product Weight procedure for the management of weight, volume,
/ Volume / and count for each product manufactured, which
Count conforms to legal requirements in the country of
manufacture and for sale in Australia.
Controls in place must meet the requirements as
detailed in the Coles product specification.
37.2 Finished Base P R O All finished products shall be equal to or above the
Product Weight minimum net stated label weight / volume at the
/ Volume time of production, and allowance shall be made for
any weight loss during shelf life to ensure the stated
net weight is maintained. Allowance may need to be
made for weight loss during transport and display. In
the case of desiccating products.
Products for sale in Australia must comply with the
requirements set out by the National Measurement
Institute (www.measurement.gov.au).
NOTE 1: Coles does not allow suppliers to adopt
the Average Quantity System (AQS) for
Coles Brand Products without written
approval from a Coles CBM / PT. Where
approval has been granted, the supplier
must demonstrate that processes have
been implemented per Coles documented
requirements for adopting the Average
Quantity System (AQS).
NOTE 2: The word ‘Net’ is no longer required on
packaging with measurement marking.
37.3 Net Weight Base P R O Net weight shall be rounded down.

Rounding
37.4 Weight / Base P R O Records must show the individual finished pack
Volume / Count results for each batch, including tare weight
Control information. Procedures must detail the actions to
Documentation be taken if the results fail to meet specification.
37.5 Equipment Base P R O Automated content control equipment must only be

Settings / operated by authorised trained personnel, and
Security changes to settings must be recorded. The
authorised person must be trained and assessed as
competent.
37.5.1 Equipment Base O All automated content control equipment must have
Settings / adequate security devices, so only authorised
Security personnel have access to alter settings.
37.6 Training Base P R O All personnel involved in the management of

product weight, volume, and count must be trained
and assessed as competent in the correct use of the
documented procedures.

37B. General Weight, Volume and Count Checking Equipment
Evidence
P R O
37.7 Automated Base P R O Where automatic controls are used, weight, volume, Weight, volume, count,
Weight / count, and random weight verification checks are random weight information,
Volume / Count completed at start‐up, middle, end of run, product and tare verification checks
/ Catch Weight changeovers, and for every product pack size. Tare are completed hourly (or
Control weight checks shall be conducted at the start and more frequently with smaller
end of each run. batch sizes).
Weight check records must be signed off by a
supervisor at the conclusion of each shift.
37.8 Inline Check Base P R Where inline check weighers are used that do not
Weighers record information, manual verification checks must
be carried out and recorded.
37.9 Manual Weight Base P R O Where manual weight / volume / count / random
/ Volume / weight systems are used, weight, volume, count,
Count / Catch random weight information, and tare verification
Weight Control checks are completed at a frequency of no less than
one unit every 15 minutes or one unit every 30
products and ensure the start, middle, end and at
product changeover and for every pack size. Records
of weight, count, and volume checks shall be
maintained.
37.10 Volume Filling Base P R O Where products are filled by volume all filler heads A system is in place to
must be checked for their fill accuracy at least once ensure all filler heads are
per day. filling the correct volume
and checks are completed at
least once per hour.
37.11 Volume Filling Base P R O Where weight checks are performed to verify volume
contents, there must be validation records for each
product to convert volume to weight using a specific
gravity calculation.
37.12 Volume Filling Base P Where volumetric flasks are used to measure volume,
a procedure must be defined to describe the process,
including any temperature requirements to
standardise the assessment.
37.13 Bulk Products Base P R O Bulk products, such as chicken fillets sold through
the Deli or loose apples sold in the Produce
Department, shall equal the weight or count as
stated on the product specification and the shipper
carton / crate. Records of weight checks shall be
maintained for the start, middle, and end of every
production run of each bulk carton size.
37.14 Automated Base P R O Products packed to minimum weight utilise
Weight Control ASPN automated check weigh systems.
37.14.1 Automated Base P R O Where In‐line check‐weigh systems are used,
Weight Control rejected products must be rejected into a locked bin
or other controlled method.
Bins for weight rejection must be separate to other
rejection boxes (e.g. metal detectors). If the same

Evidence
P R O
rejection box I used, rejected material must be
assumed as contaminated rather than underweight,
and treated accordingly.
A system must be in place to verify the pack
rejection mechanism is effective.
Records must be signed off at the end of each batch.
37.14.2 Automated Base O There shall be a bin full sensor, which stops the line
Weight Control ASPN after a pre‐set number of items enters the bin or are
rejected.
37.15 Count Control Base P R O Where products are sold by number, the count shall
be correct.
37.15.1 Count Control Base P R O Where auto counters are used records of count
checks shall be maintained for the start, middle, and
end of every production.
37.16 Scales and Base P R O Scales and check weighers used for finished product
Check Weighers weight checks shall be verified for accuracy prior to
the commencement of each day’s packing of finished
product.
Test weights used must represent the test weight
range of the products being assessed on that
equipment.
Records of the daily verification checks shall be
maintained.
37.16.1 Scales and Base P R O Scales and check weighers shall be individually
Check Weighers numbered and cross referenced with the calibration
register. The location of the number shall visible
without the need to move the scale or check
weigher.
37.16.2 Scales and Base P R O Scales and Check weighers shall be verified at the
Check Weigher commencement of each shift using certified test
Verification weights.
Records of scale and check weigher verification shall
be documented, including any adjustment made,
and the records shall be signed off by a supervisor
each day.
37.16.3 Scales and Base P R O Where scales or check weighers have failed their Out of service scales must be
Check Weigher verification, and action to correct them has failed, locked in a cabinet until they
Verification they shall be tagged out of service and removed have been fixed and returned
from the area. to service.
37.17 Tare Weights Base P R O The supplier shall develop procedures to describe Where unused packaging
the processes used to tare scales and check material is available for
weighers, consistent with the requirements of the testing. The supplier shall:
Australian Government National Measurement  Select the packing
Institute. material used to make
one pre‐packaged article
from the available
stocks.
 Zero the transfer

Evidence
P R O
instrument.
 Place the packing
material on the transfer
instrument and record
the unused tare.
 Repeat steps 1 to 3, four
more times.
37.17.1 Tare Weights Base P R O Current supporting and validation data for tare
weight procedures shall be maintained.

Section 38. Product Development and Re‐Formulation

Evidence
P R O
38.1 Product Design Base P R The supplier shall document and implement the
and responsibilities and methods for designing,
Development developing and converting product concepts to
commercial production.
Factory trials, shelf life trials, and product testing
shall be undertaken to validate the product
formulation and production processes.
38.2 Shelf Life Medium P R Product shelf life trials where necessary shall be
conducted to establish and validate the:
 Handling, storage requirements including the
establishment of “use by” or “best before
dates”
 Product formulation
 Microbiological performance criteria
 Organoleptic quality
 Packaging process (e.g. gas flushing),
 Packaging material
 Site environment
 Work in progress
 Subsequent storage conditions and
 Consumer instructions, including preparation,
storage and handling requirements.
A documented process shall be in place for
accelerated shelf life trials (where used) and
Shelf life shall be established using the Coles Food
Shelf‐life Guidelines.
Records shall be maintained of all product design,
development, shelf life trials and approvals.
38.3 Product Base P R The supplier shall establish and document the
Validation methods and responsibility for developing and
approving raw material, ingredient, and packaging
specifications.
All packaging materials and ingredients shall be
validated to ensure product safety and quality is not
compromised and the material is fit for its intended
purpose.
38.4 Packaging Base P R Packaging materials shall be assessed and validated
Material as suitable and all food contact packaging meets
Validation either regulatory acceptance or approval criteria.
A certificate of conformance, certificate of analysis, or
letter of guarantee shall be required for all food
contact materials. Where these are unavailable, tests
and analyses shall be undertaken to confirm the
absence of potential chemical migration from the
packaging to the food contents, and records
maintained.
38.5 Ingredients, Base P R Ingredients, processing aids, food contact gases, and

Evidence
P R O
Processing Aids, packaging shall be assessed and approved according
and Packaging to the site requirements.
Risk of contamination must be considered (e.g.
Microbiological, allergens, product claim
compatibility, etc.).
38.6 HACCP Base P R A HACCP Plan review must be conducted prior to site
trials.
38.7 Pre‐trial Base P R O Prior to the trial production run, the following shall
be evaluated and where required documentation
shall be in place:
 Ingredient specifications and required
documentation (e.g. Allergen, shelf life, storage
conditions, claims / certifications, etc.).
 Packaging specifications and required
information (e.g. Suitability, food grade status,
etc.).
 Allergen information
 Formulation / batch sheet
 Labelling, date coding, and barcode information
 Weight requirements
 Production and quality system documentation
and checks required
 Finished product analysis
 Cleaning requirements (e.g. Allergen cleaning,
wet wash, dry clean, etc.).
 Where new equipment or new allergens have
been introduced, cleaning validation studies
shall be conducted
 Equipment set‐up
 Metal detection or x‐ray sensitivity (e.g.
Standard test pieces sizes to be used).
38.8 Site Trials Base P R The site must undertake site trials and complete
thorough testing to verify product formulation and
manufacturing processes are capable of producing
safe and legal products (e.g. F0 values, cook / chill,
microbiological testing, label claims, risk of allergens,
suitability of packaging, etc.).
All site trials must be documented and records
retained.
38.9 Nutritional Base P R Nutritional analysis must be carried out and checked
Analysis against proposed product label and specification
prior to launch.
Where a nutritional claim is made (e.g. <2% fat, high
in omega 3, etc.) such claims must be challenged and
validated using worst case scenarios.
38.10 Formulation Medium P R Changes in formulation must be adequately assessed
Changes for legal, safety, and quality issues. Changes must be
documented and approved by a Coles by CBM / PT.
38.10.1 Formulation Medium R Maximum variation of formulation attributes shall
be:

Evidence
P R O
Changes  Within + 10% for claimed nutrients
 Below absolute claim (e.g. 97% fat free must be
a maximum of 2.9% fat content)
 Within + 20% for other nutrients.
38.11 Transit Trials Base R Transit trials must be completed, where appropriate,
with results documented and retained.
38.12 Trial Materials Base O All trial materials (e.g. ingredients, packaging, and
equipment) must be:
 Clean
 Stored separately
 Controlled
 Clearly identified
 Durability date marked (if necessary).
38.12.1 Trial Product Base P R O Trial product must be stored separately to other
finished product and placed on hold.
Distribution of product trial samples must be
recorded and traceability information must be
maintained.
38.12.2 Trial Product Base P R O Pre factory trial / kitchen trial product samples must
be fully traceable with records maintained of
formulations, dates, submission numbers etc.
38.12.3 Release of Base R Written approval must be obtained from a Coles

Development CBM / PT for any trial product to be released.
Product
38.13 Transition to Base P R There shall be a documented record of the transition

Production of product from trial to production. Transition
information given to production, maintenance, and
quality personnel shall include:
 Ingredient specifications and required
documentation (e.g. Allergen, shelf life, storage
conditions, claims / certifications, etc.).
 Packaging specifications and required
information (e.g. Suitability, food grade status,
etc.).
 HACCP Plan (if not covered by an existing plan)
 CCP / QCP monitoring and corrective action
procedures (if not covered by an existing plan)
 Validation data
 Allergen information
 Formulation / batch sheet
 Labelling, date coding, and barcode information
 Weight requirements
 Production and quality system documentation
and checks required
 Finished product analysis
 Cleaning requirements (e.g. Allergen cleaning,
wet wash, dry clean etc.).
 Where new equipment or new allergens have
been introduced, cleaning validation studies
shall be conducted

Evidence
P R O
 Equipment set‐up
 Foreign body detection equipment sensitivity
(e.g. Standard test pieces sizes to be used).
38.14 Pre‐Production Base R Any pre‐production runs required by Coles must be
attended by the Coles representative (unless agreed
otherwise) to ensure that all processing systems are
correct, documented, validated and included in the
supplier’s HACCP Plan.
38.15 First Production Base P R O A Coles Representative shall be invited for the first
Run production run. The supplier shall record a summary
of the run and the attendance at the run.
Improvements or changes shall be documented and
communicated to production, maintenance, and
quality personnel (as required).
A HACCP review must be conducted for all
improvements or changes made during the first
production run.
38.16 Training Base R Personnel managing product development should
ASPN have formal training or education in new product
development, food science, etc.
38.17 Product Base R All records related to product development and trials
Development shall be maintained.
Records

Appendices

Current Version: V2 February 2017
Appendices
Appendix 1 – Risk Assessment Guidance

Risk assessments are referred to several times throughout the CFMSR. A risk assessment is a thorough and documented exercise and typically
involves several steps to consider, evaluate and control food safety risks. The following flow chart is an example of a risk assessment process from
AS 4360.2004.
Establish the context

 The strategic context
 The organisational context
 The risk management context
 Develop criteria
 Decide the structure
Identify the risks

 What can happen?
 How can it happen?
Analyse the risks
Determine existing controls
Determine Determine
Communicate and consult
likelihood consequence Monitor and review
Estimate level of risk
Evaluate the risks

 Compare against criteria
 Set risk priorities
Yes
Accept
risks
Assess risks No
Treat risks
 Identify treatment options
 Evaluate treatment options
 Select treatment options
 Prepare treatment plans
 Implement plan

Appendices
Appendix 2 – Glossary of Terms

Term Definition
Agent / Broker A Person, firm, company, or other entity who acts on behalf of a supplier, and to whom a Coles’ purchase order is
addressed.
Aw Water activity – a measure of available water. Water activity is affected by cooking, drying, salting, sugar syrups, etc.
ASPN Aspiration element of the CFMSR which Coles believe will help move standards forward within the food supply base.
ATP A rapid test for cleanliness of surface based on ATP (adenosine triphosphate) – a substance used in energy transfer in
cells and therefore present in biological material.
Base Area Requirements for all production facilities irrelevant of the product or process type.
A Base Area will normally be in place/ designated as such, where a site also has a High area facility. It is an area of a
site that handles raw materials that will be further processed prior to consumption. Often materials are transferred
from a Base Area into a High area via continuous ovens, sanitisation tunnels, etc. These are some of the methods used
to decontaminate products / materials to prevent transfer into the High area. There will be a physical barrier (e.g. a
wall) between Base Areas and High areas. Although good hygiene standards are important, there is a general
acceptance that Base Areas may not be free of all pathogens.
Captive Not removed from the area.
CBM Coles Brand Manager.
CCP Critical Control Point – a process step at which control is required to prevent or eliminate a food safety hazard or
reduce it to an acceptable level.
CCTV Closed Circuit Television.
CFMSR Coles Food Manufacturing Supplier Requirements.
CIP Clean In Place.
CIP Systems Processes, cycles and cycle times undertaken to clean equipment In place.
COA Certificate of Analysis.
COC Certificate of Conformance.
COP Clean Out of Place – equipment parts that can be removed for cleaning in a specialised COP tank that mimics the CIP
processes, cycles and cycle times of clean In place equipment.
Codex Codex Alimentarius Revision 4 (2003).
Coles Brand A Coles Brand is a product that is manufactured and packed in a brand owned by Coles, including but not limited to
Coles, Coles Red Ribbon, Coles Finest, Coles Butcher, Coles Market Place, Coles Pseudo Brands, etc.
This also includes supply of bulk products which are sold loose or unbranded in a display case, bulk product which is
packaged at store (such as bulk olives which are packaged and sold over the counter) and ingredients / raw materials
for use in a Coles in‐store bakery or meat rooms.
Coles Fusion A product specific system used by Coles and suppliers to store policies, guidelines, tools, and specifications for
manufactured and value added Coles Brand products.
Coles Supplier Portal The Coles Supplier Portal is a support site for all suppliers that stores policies, guidelines, tools, and houses the
specifications for non‐value added (controlled) products.
Concession A dispensation to use an ingredient based on risk assessment (e.g. Extension to an ingredient Best Before life based on
sensory assessment and data supplied from ingredient supplier).
Condensate The moisture collected by air conditioner and coolroom chiller units.

Appendices
Term Definition
Contract Packer Company contracted / paid by a supplier or primary site to pack the product produced by the supplier or primary site
into retail packaging.
Correction Correction is taken to rectify a known or detected non‐conformances or issues. This may include rework, temporary
repairs, additional monitoring and testing to isolate issues, etc.
Corrective Action Action is taken to fix the current issues and non‐conformances, plus any further preventive actions that may need to
be taken to prevent recurrence of issues that have been identified.
Critical Limit A criterion which separates acceptability from unacceptability.
Deep Dive Audit An audit with a narrow focuses on a particular area or topic and audits thoroughly and extensively.
Direct Supplier A Supplier with a direct commercial relationship with Coles that may be manufacturing, processing, assembling, or
packing product, or may be a distributor or agent of products supplied to Coles.
DAWR DAWR – Department of Agriculture and Water Resources.
EFK Electronic Fly Killer unit.
Electronic Signature An electronic signature, or e‐signature, is any electronic means that indicates either that a person adopts the contents
of an electronic message or more broadly that the person who claims to have written a message is the one who wrote
it (and that the message received is the one that was sent).
Element A single point / requirement e.g. ‘1.1 HACCP Team’.
Emergency Prescription Medication prescribed by a Doctor, for personal use in emergency situations where there is a short response time. E.g.
Medication asthma inhalers, angina attack medication etc. Note: This does not include prescription or non‐prescription medication
that can be taken at break times such as antibiotics, paracetamol, throat lozenges, etc.
FIC Flying Insect Control unit.
FSANZ Food Standards Australia New Zealand.
GMO Genetically Modified Organism.
GMP Good Manufacturing Practices
HACCP Hazard Analysis and Critical Control Points – a system which identifies, evaluates, and controls hazards which are
significant for food safety.
HACCP Plan The operations carried out to implement HACCP.
HGP Free Meat grown without the use of Hormone Growth Promotant.
Hierarchy of Control Principles used to control hazards, from elimination (most effective) to warning labels (least effective).
High Additional requirements for sites producing High areas products.
High Area An area designed to a high standard of hygiene where practices relating to personnel, ingredients, equipment, and
environment are managed to minimise microbiological contamination of a ready‐to‐eat or ready‐to‐reheat product
containing cooked and uncooked ingredients (e.g. salad leaves that have been through a CCP).
High Areas will incorporate all Base and Medium Area requirements.
High Risk Product This is generally a chilled, processed, ready‐to‐eat (or re‐heat) product with a short shelf life or frozen ready‐to‐eat. It
may not have any other safety factors which control the growth or survival of pathogenic bacteria (e.g. Aw or pH). High
products shall be produced / packed in a High area (after the product or ingredients have been decontaminated in
order to reduce cross contamination).
IAF International Accreditation Forum. The IAF is the world association of Conformity Assessment Accreditation Bodies and
other bodies interested in conformity assessment in the fields of management systems, products, services, personnel

Appendices
Term Definition
and other similar programmes of conformity assessment.
ID Identity or identification.
Identity Preserved A product which has a defined origin, claim, or purity characteristic which needs to be retained throughout the food
chain (.e.g. through traceability and protection from contamination).
Importer A Person, firm, company, or other entity who imports Coles’ products.
Incident An occurrence of a process breakdown that has the potential to lead to a product safety, legality or quality issue and
requires investigation, corrective and preventive action.
Indirect Supplier A Primary producer, supplying product for further processing by a Coles supplier (e.g. an egg farm supplying into an
egg packing shed).
Infestation From multiple sightings to the invasion of pests rather than an isolated sighting or incident. Evidence of infestation
may not be by sighting the pest(s), but may be based on sightings of webs, droppings, evidence of gnawing, holes,
grease marks and so‐on. An infestation would indicate that pest control strategies are not effective.
JAS‐ANZ Joint Accreditation System of Australia and New Zealand. JAS‐ANZ is the government‐appointed accreditation body for
Australia and New Zealand responsible for providing accreditation of conformity assessment bodies.
Low Risk A state where there is a combination of low likelihood of an issue occurring, low frequency of the issue occurring, or a
low exposure risk to an issue. An example would be a savoury biscuit where there is a low pathogen risk, since the low
water activity would reduce the likelihood of pathogen proliferation, and there has been no evidence of the issue
arising.
Mass Balance The ability to trace a specific batch of food, food‐producing animal, raw ingredient, or packaging and reconcile the
quantities received of that batch against the quantities used, destroyed and remain in inventory and consistent with
the normal percentage of production loss.
Medium Medium requirements shall be applicable to products that support the growth of microorganisms but a further kill step
is applied by the consumer such as raw meat and poultry, or for products which do not support the growth of
pathogens either due to pH control or water activity.
These requirements specifically apply to areas of the site where food is OPEN or EXPOSED to contamination, therefore
increasing the risk in these areas. Associated areas or processes e.g. utensil washing / storage, de‐boxing, handling food
contact packaging, equipment used for filling containers, etc. shall also be considered Medium areas except for fresh
produce leg tomatoes in open bins that will be subject to washing or further processing
Medium Area An area designed to a standard of hygiene where practices relating to personnel, ingredients, equipment, and
environment are managed to minimise microbiological physical, allergen or chemical contamination of products or
packaging.
Medium Areas will incorporate all Base Area requirements.
NIP Nutrition Information Panel.
Nominated Expert A nominated expert is a person having a special skill or knowledge in a particular product and / or technology.
Non‐Conformance A failure to meet the requirements of the CFMSR, Coles Specification, the supplier’s own systems, regulatory or
industry legislation or codes of practice.
Offline Print Packaging or labels that are printed with date code or other traceability material before being supplied to the filling
area or machine.
One‐Way System Production and process controls that allow product or personnel traffic a one way flow from High to Medium to Base
to reduce contamination potential.
Pallecon A pallet with a container attached to it, which is used for the transport of liquids.
Pascal Pascal (Pa) is a unit of pressure measurement equal to 1 Newton per square metre.

Appendices
Term Definition
Pathogen A bacterium, virus, or other microorganism that can cause disease.
PCC Pest Control Contractor.
PCP Pest Control Program.
PCT Pest Control Technician.
PET Polyethylene Terephthalate.
PIF Product Information Form
pH A measure of the level of acidity in a product.
PM Preventative Maintenance.
Potentially hazardous A food that has to be kept at certain temperatures to minimise multiplication of any food‐poisoning bacteria that may
food be present in the food or to prevent the formation of toxins in the food.
Pre‐Requisite Prerequisite programs (PRPs) are all the processes and programs that work alongside the HACCP system. Examples of
prerequisite programs include, but are not limited to, Good Manufacturing Practices (GMPs), Good Hygiene Practices
(GHPs), Standard Operating Procedures (SOPs) and Sanitation Standard Operating Procedures (SSOPs). The design and
construction of food premises are also part of the prerequisite programs.
Primary Packaging Any packaging that is in direct contact with the product (e.g. Soft drink bottles or the inner bag of cereal boxes).
Protective Clothing Personal Protective Equipment such as protective clothing, other clothing e.g. gloves, caps, hair covering, ear plugs,
safety glasses etc. (T‐shirts and other clothing provided as part of site protective clothing is excluded).
QCP Quality Control Point – A process step at which control is required to prevent or eliminate a quality defect or reduce it
to an acceptable level.
Recall A food recall is an action taken to remove from distribution, sale and consumption, food which is unsafe. A recall
involves recovering food product from all points in the production and Coles distribution and Coles store network,
including any affected product in the possession of consumers. A recall is a public activity and involves advising
consumers directly via appropriate channels that may include media, social media, flybuys, instore notices and so‐on.
Recommendation An area where compliance is demonstrated, though improvement opportunities exist. Recommendations are generally
not followed up at subsequent audits.
Rework Material returned to production, which is reused to make the same or a similar product.
This can be partially processed material or finished product.
RSPCA RSPCA Australia is a Federation of eight independent State and Territory RSPCA bodies and is a community based
charity that works to prevent cruelty to animals by actively promoting their care and protection.
RTO Registered Training Organisation.
SDS Safety Data Sheet.
Section A group of requirements / clauses under a single area of the CFMSR e.g. ‘Section 37. Weight, Volume and Count
Checks’.
Secure Stored or maintained in such a way that prevents unintended or unauthorised access. This may be by lock, or other
means (e.g. storing in areas of a warehouse not normally used).
Senior Management The highest level of management at the supplier site who have responsibility and accountability for activities of the
site.
Shelf Life Shelf life of a food may be defined as:
The period of time during which a food product will, when stored under the recommended conditions:

Appendices
Term Definition
 Remain microbiologically sound
 Be certain to retain desired sensory, chemical, physical, and microbiological characteristics
 Comply with any label claims e.g. Nutrition information.
Assigning a shelf life to food implies to a consumer that it shall be safe to eat and retain good quality up to and
including the use‐by or best before date.
For Coles Supermarkets an assigned shelf life also provides the length of time a product can be stored to maximise
retail flexibility and customer satisfaction.
The importance of shelf life needs to be considered along the whole food chain.
Shelf Life – Primary Shelf Is the total, (manufacturer) validated shelf life of a site sealed product.
Life
Shelf Life – Secondary Refers to the “life” of a finished product once it has been:
Shelf Life 1. Opened (breaking the manufacturers seal) for portioning (i.e. slicing, etc.) at store.
2. Portioned and placed on display for retail.
Shelf Life – Tertiary Shelf Refers to the “life” of a product, which is reserved for the customer. In other words, the shelf life remaining on a
Life product, once purchased by the customer.
SMT The Coles Supplier Management Team.
SOP Standard Operating Procedure
Sub‐contractor A sub‐contractor is used by a direct supplier to Coles for the manufacture, process, or package any part or component
of a Coles Brand product.
Supplier A Person, firm, company, or other entity engaged by Coles.
TACCP Threat Assessment and Critical Control Points. TACCP methodology is similar to HACCP, assessing hazards and risks to
the business, process or product from attack for malicious purposes, fraud, or gain for individuals or groups at the
expense of the supplier or Coles. The threat or attack may come from either internal or external sources.
Tare Subtracting the weight of packaging and labelling from the gross weight of goods to determine the product content.
Top‐up run A ‘top‐up’ run is where an additional amount of production is carried out to complete a shortfall of an order. Since this
production is often conducted on the same day as the previous main run, it is vital that all checks normally required are
also applied to the ‘top‐up’ run, and that traceability applied identifies which run or batch the product came from.
TPECS Training Provider Examination Certification Scheme.
Traceability The ability to trace a specific batch of a food, food –producing animal, raw ingredient, or packaging that is expected to
be incorporated into a food or used for the manufacturing of a food product through all stages of receipt, storage,
production, processing, rework, product destruction, normal percentage of product loss, and distribution.
UV Ultraviolet
Validation A process of obtaining evidence to demonstrate controls are effective.
Variation Process The formal process used by Coles to grant a Variation to a requirement of the CFMSR and replace with an additional or
alternate requirement if needed.
Verification The application of methods, procedures, tests, and other evaluations in addition to monitoring to determine
compliance.
VITAL® Voluntary Incidental Trace Allergen Labelling
WGLL What Good Looks Like elements of the CFMSR intended to provide guidance on current best practice.
WIP Work In Progress.

Appendices
Term Definition
Withdrawal A withdrawal is action taken to remove food from the supply chain where there is no food safety risk or the food
safety risk has not yet been confirmed, or affected product has not yet reached retail distribution and can be isolated.
2nd Party Audit Audits conducted wherever there is a direct commercial arrangement (e.g. audits by Coles of Coles suppliers, or
suppliers of their direct suppliers).
3rd Party Audit Independent audits conducted by an auditor or audit company where there is no direct supply relationship (e.g.
certification programs such as BRC, SQF, FreshCARE, etc.).

Appendices
Appendix 3 – CFMSR Version 2 Change Log

V1 Ref V2 Ref Description of change V2 Page #
Coles Supplier
N/A Inclusion of the Coles Supplier Charter. 5
Charter
 Split the CFMSR preamble into ‘Using the ‘Coles Supplier Requirements’ and ‘Risk
Classifications’ to assist with interpreting the scope and application of the requirements.
 Update to the Coles Brands covered by the Scope
 Added a section on Brokers / Agents and the Sections of CFMSR that apply
Using the
 Renamed ‘Exemption Process’ to ‘Variation Process’
Introduction Coles Supplier 7
 Added new graphic explaining the layout of the CFMSR requirements
Requirements
 Removed previous audit durations calculator with typical audit durations
 Added guidance on closing out non‐conformances
 Added Reference to Coles Fusion
 Change of the term ‘Gap Audit’ to ‘First Audit’
Using the
Added ‘Compliance with Coles’ Requirements’ explanation of the different compliance standards
N/A Coles Supplier 9
operated by Coles, and which standard applies to each supplier type.
Requirements
Audit Follow‐ Audit Follow‐ Added information on uploading non‐conformance close‐out actions directly into Coles Fusion.
Up and Non Up and Non
Highlighted that Non‐Conformances need to be addressed and evidence supplied to Coles as 22
Conformance Conformance
Close‐Out Close‐Out soon as possible, but no‐later than 30 days after the audit.
Risk
Introduction Updated Base/Medium/High Decision Tree. 29
Classifications
Management
System Renamed and re‐ordered the contents, including some sections that were previously in other
and System 31
Requirements sections of the CFMSR.
Controls
1.2.1 1.2.1 Specific requirements for training of HACCP team outlined. 33
1.8 1.8.1 Split flow diagram requirements. 35
1.10.1 1.11 Renumbered to separate Quality Defects from Food Safety Issues. 36
1.15 1.16 Inclusion of electronic and hard copy requirements for records 38
1.16 1.17 Inclusion that corrective actions consider product, process and personnel impacts, 38
1.19 1.20 Changed requirement to ASPN. 39
Inclusion of an entire new aspirational section on Threat Analysis and Critical Control Points
N/A Section 2 40
(TACCP) and Food Defense
Section 2 Section 3 Renumbered section 43
Reworded for clarification with specific requirement that all applicable additional Coles Policies
2.1 3.1 43
that apply to the product be applied in addition to the requirements of CFMSR.
2.6 & 2.11 3.7 & 3.11 Records must not be completed in pencil. 44
Renumbered section and split the section into ‘Mandatory’ and Discretionary’.
Section 3 Section 15 81
Ethical Trading requirements have been brought into line with Coles Ethical Sourcing Policy.
4.5, 4.5.1 N/A Removed N/A

Appendices

N/A 4.11 Added evidence of management commitment to Food safety, legality and quality. 47
6.1 5.1 Requirement to have a copy of FSANZ Recall Protocol 48
6.2 – 6.3 5.8 – 5.9 Split out specific sub section on ‘5B Contingency Planning’ 50
6.8 5.6 Added the need to alternate between types of product trace exercises. 49
Section 7 Section 6 Re‐numbered section 51
7.4.1 6.2.1 Added note that Consultants cannot audit their own work. 51
7.5 6.3 & 6.3.1 Split requirement with clarification on when Coles to be notified of issues. 51
Factory &
Site Renamed and reordered the contents, including some sections that were previously in other
Equipment 87
Controls
9.7 18.3 Added that external storage must be listed on pest control schedule. 100
9.7.2 18.5.1 Added that external unloading to be protected against pests, 100
9.7 – 9.8.1 18.3 – 18.5.4 All storage is now included in this section. 100
Section 10 Section 17 Renumbered section and renamed some of the requirement titles. 91
10.5.1 17.9 Clarification on when sinks are required and the controls required for hand washing. 92
10.13 17.21 Included the labelling of services. 95
10.19 & 10.20 17.26 & 17.27 Clarification of when covers are required for conveyors. 97
10.22 17.28 Clarification on the length of ‘dead ends’ in piping. 98
10.35.1 N/A Removed N/A
Section 11 Section 23 Renamed ‘Water Management’ and renumbered section 119
11.3 23.3 Requirement that a member of management oversee hygiene. 119
11.5.1 23.5.1 Clarification on controls needed when scouring pads are used. 119
11.15 23.16 Clarification on the disposal of Coles Branded product. 123
Included consideration of WIP when determining shelf life.
12.11 25.9 Removed the word ‘challenge’ from testing, to be sure that facilities do not introduce hazards 130
into their facilities when testing product.
Clarification on the type of analysis required by referring to the CFMSR Water Analysis Guideline
13.3 19.3 102
available on Coles Fusion.

Appendices

13.7 18.8 All storage is now included in this section, including the storage of ice and water. 101
14.1 20.1 Requirement that a member of management manage the Pest Control Provider. 105
14.2 20.2 Separated requirements to allow for in house or external pest control. 105
14.3, 14.5,
N/A Removed N/A
14.5.1, 14.6
Renamed ‘Bait Map’ and included the consideration for equipment and cabinets to be on pest
14.8 20.7 106
control map.
14.8.1 20.7.1 Renamed ‘Bait Map’ and clarified that toxic baits in open food areas must not be used. 106
14.9 20.8 Further clarification on trending of capture data. 107
14.15 20.15 Included night checks after infestation. 109
14.17 20.17 Moved the ‘What Good Looks Like’ to the requirement that Break back traps not be used. 109
15.9 21.9 Requirement that temporary repairs be managed to permanent solution. 112
15.10 21.10 Requirement that tool boxes not be placed on the floor. 112
16.3.2, 31.10 22.4 Clarification on test weights and calibration requirements. 116
17.7.1 26.12 Additional requirements for training, training on equipment breakdown and record keeping. 136
17.11 –
Section 26B Split CIP to a sub‐section of cleaning. 136
17.19.1
Moved from Cleaning Section to Inspection and Analysis Section.
17.22.1 35.1.1 172
Additional requirement for trending of monitoring results.
Moved from Cleaning Section to Inspection and Analysis Section.
Additional requirements for HACCP Plan to be reassessed following pathogen detections.
17.22.2 35.1.2 172
Clarification that pathogen reporting to Coles is on presumptive as well as on species
confirmation.
19.2.1 27.2.1 Additional requirement for a chemical use matrix. 140
Renumbered section
Split the Section into items mandatory and discretionary during audit.
20.4 14.4 Moved to ASPN requirement. 80

Appendices

20.6 N/A Removed N/A
Process &
Product Renamed and reordered the contents, including some sections that were previously in other
Production 127
Controls
Section 21 Section 8 Renamed ‘Approved Supplier Control’ and renumbered section. 55
21.2 N/A Removed N/A
21.6 8.5 Removal of the need for a 3rd Party Certification. 56
21.13 28.2 Removal of repetitive requirements. 142
21.25 – 21.29 N/A Removed N/A
Renamed and renumbered section and brought together all types of claims and traceability
together.
Added in new requirements for Australian Suppliers regarding reconciliation of product
N/A Section 30D 149
components to meet new Country of Origin legislation.
Section 23 N/A Removed as a separate section and integrated into other sections were applicable. N/A
22.6.1, 22.6.2 N/A Removed N/A
23.1 – 23.14 8C Now included in Section 8 alongside all other Supplier Controls. 58
23.2 8.20 Clarification on the requirements for 3rd Party Certification. 58
23.9 8.28 Inclusion of packaging specification checks on receipt. 59
23.12 – 23.13 18.6 – 18.7 All storage is now included in this section, including the storage of packaging materials. 101
24.9 29.11 Clarified the process for donation of Coles Brand products. 146
26.5.1 32.8.1 Clarification on nut storage. 152
26.12 32.10 Additional requirements that reworked material is recorded as an ‘ingredient’ into a new batch. 153
27.12 33.12 Additional requirements for glass cleanup protocols. 159
27.19.1 33.19.1 Additional requirements for use of can openers and the controls required. 161
Included the requirement for a key register to control keys as a potential source of foreign
27.20 33.20 161
contaminant.
27.20.2 32.23 Moved to Allergen section 156
28.8 34.7 Additional requirements for large test pieces. 166

Appendices

28.9 34.9 Requirement that only trained personnel access reject boxes. 167
28.12 34.11 Additional requirements about the types of test pieces to be used. 167
29.5 35.7 Additional requirements for laboratory certification or validated test methods. 174
29.9 35.11 Specific requirement that retention samples be a finished packaged product. 174
Clarification that pathogen reporting to Coles is on presumptive as well as on species
29.11 35.13 175
confirmation
Renumbered section and brought to181gether all product labelling and coding requirements
together.
30.5 36.9 Specifies controls required for production, use‐by and best before date changes. 178
31.2 37.2 Specific notes surround controls required for AQS if approved by Coles. 180
31.7.1 37.9 Reworded requirements for inline checks and checking frequency. 181
Additional requirements for handling rejected items if weight and metal detection rejects are
31.7.7 37.14.1 181
mixed.
Section 32 Section 38 Renamed to include ‘Reformulation’ and renumbered section 184
32.7 38.2 Included requirements for analysis of effectiveness of gas flush. 184
33.2.1 24.3.1 Requirements that toilets be separate to changing areas. 124
33.9 24.8 Added considerations for allergens in employee supplied food. 126
Section 34 Section 9 Renamed ‘Protective Clothing’ and renumbered section 62
34.9.5 9.12.5 Further clarification on footbaths and footbath controls. 66
35.1 10.1 Clarified that attendance at CQA for CFMSR training is now Aspirational. 71
35.6 &35.6.1 10.6 Updated the specific type of training qualifications required. 71
35.9 10.8 Specified that the type of competency assessment must be defined. 72
35.12 10.13 Included non‐production staff in training. 73
Coles Supplier
N/A New informative section. 5
Charter
N/A 9.1, 9.11 Redefined requirements for Protective clothing. 62
N/A 20.14 Included requirements for fumigation and crawling insects. 108
N/A 30.4, 30.5, New requirement for ensuring claims are traceable. 147

Appendices

30.5.1
N/A 32.2 New requirement for an allergen register. 151
N/A 32.5 New requirement for validation studies following allergen claims. 152
N/A 34.8.1 Additional requirements for how test pieces are to be used. 167
N/A 34.30 New requirements for the rinsing of some types of packaging. 170
N/A 34.32 New Aspirational requirements for checking previous loads of bulk tankers. 170
N/A 34.36 New requirement for care of lids for bulk containers. 171
35.11.2 –
N/A Additional requirements brought forward from previous ‘Coles Supplier Requirements’ 175
35.11.4
N/A 37.8 New requirements for manual records for inline checks. 181
38.1 – 38.3, Additional requirements for defining design responsibilities, design process and records of design
N/A 184
38.14 activity and the supervision where necessary of pre‐production trials.
Appendix 3 N/A Removed N/A
Appendix 4 N/A Removed N/A

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Coles Food Manufacturing

Coles Supplier Charter 5

First Issued: February 2014

Process and Production Controls 127

First Issued: February 2014

Coles Supplier Charter

1. Commitment to good faith dealings and transparent commercial processes

2. Commitment to transparent grocery supply agreements

3. Commitment to the terms of grocery supply agreements

4. Commitment to transparency around ranging and de‐listing

5. Commitment to respect the integrity of suppliers’ businesses

6. Commitment to facilitating our trading relationships

7. Commitment to fast‐track, low‐cost supplier dispute resolution framework

First Issued: February 2014

First Issued: February 2014

Compliance with Coles’ Requirements

 Existing Coles Brand Suppliers with No Change in Scope.

o Part 1: 3rd Party External Certification

o Part 2: Coles’ Additional Requirements of supply

 Existing International Coles Brand Suppliers

Chemical and Microbiological Testing Standard

First Issued: February 2014

Introduction to the Coles Food Manufacturing Supplier Requirements (CFMSR)

First Issued: February 2014

Failed or Lapsed External Certifications

Change of Supplier Ownership / Change of Site Location / Additional site

First Issued: February 2014

Step Phase Activity Requirements Undertaken By

Step Phase Activity Requirements Undertaken By

First Issued: February 2014

The Arrangement and Configuration of the CFMSR

Procedure, Record, and Observation (PRO) Evidence Demonstration

First Issued: February 2014

CFMSR Document Layout Example

Section number and Heading What Good Looks Like

Section 12. Process Controls

Number & Item Level P/R/O Detail

First Issued: February 2014

Training and Feedback

Coles Document References

Online training guides are available at www.colesfusion.lms.msacsolutions.com.

First Issued: February 2014

Auditing of the CFMSR

Audit Type Audit Outcome

First Issued: February 2014

Score Due date for next audit.

‘Once Off’ Suppliers

First Issued: February 2014

Audit Type Duration

Follow‐Up Audit Duration

First Issued: February 2014

First Audits, Certification and Re‐Certification Audit Methodology

First Issued: February 2014

Certification and Re‐Certification Audit Score

Score Critical Major Minor Cumulative Non‐Conformance Combinations

First Issued: February 2014

Score Certified Status* Certified Status Actions

First Issued: February 2014

Audit Follow‐Up and Non‐Conformance Close‐Out

Uploading Evidence of Non Conformance Action

Timeframes for Non‐Conformance Closure

Rejection of Corrective Action Plans

Confirmation of Implementation of Action Plans

First Issued: February 2014