食品安全和質(zhì)量審計(jì)對(duì)Costco供應(yīng)商的期望-版本2.0-2023.4

1

FoodSafety&QualityAuditExpectations

for

CostcoSuppliers

Version2.0

E?ectiveApril1st,2023

ThemostcurrentCostcoFoodSafety&QualityAuditExpectations,ContactList,andCostcoaudit

templatescanbefoundthroughthelinkbelow:

/sh/wg8ftlntk4fo318/AABKABKUnMyTOqS8RhJL-jHUa?dl=0

2

TableofContents

Costco’sFoodSafety&QualityCommitment

4

GeneralAuditRequirements

5

CostcoApprovedCerti?cationBodiesbasedontheCostcoregion(s)yousupply

6

ApprovedAuditStandardsbyscopeofoperation

7

Re-AuditCriteria

13

CriticalFindingsthatrequirere-audit:

14

CostcoAuditStandards

15

Costco’sFoodSafetyAudit

15

Costco’sSmallSupplierAudit

15

N60Addendum(ApplicabletoSuppliersofRawBeeftoCostcoMeatPlants)

15

AnimalWelfareAudits

15

CorrectiveActionPlans(CAPs)

16

RequiredSystemElements

17

HACCP/PreventiveControls

17

SupplierApprovalProgram

17

ForeignMaterialControl

18

ProductTraceability

20

AllergenControl

21

MicrobiologicalTesting

21

Irradiation(DogTreats)

22

PestControl

22

PersonnelHygiene

23

FoodPackaging

24

RegionSpeci?cRequirements

25

USA-ForeignSupplierVeri?cationProgram(FSVP)

25

Canada-SafeFoodforCanadiansRegulations

25

CostcoAuditDatabases

26

EnterpriseFacilityAudit(EFA)Database

26

AzzuleSystems(FreshProduce)

27

AppendixI.AllergenandLabelingRequirementsbyCostcoRegionofOperation

28

AppendixII.MicrobiologicalTestingRequirementsforHighRiskFoods

30

TestandHoldProgramRequirements

31

EnvironmentalSamplingMonitoringProgramRequirements

32

Annex1:FreshProduceSpeci?cRequirements

33

Annex2:FrozenFruitandVegetableSpeci?cRequirements

36

Annex3:FreshandFrozenGroundMeatRequirements

37

MicrobiologicalTestProgramResources38

3

AppendixIII.PFASinFoodPackaging39

4

Costco’sFoodSafety&QualityCommitment

Costcohaspledgedtoprovidehigh-quality,safe,andwholesomefoodproductsbyrequiringthat

suppliersbeincompliancewiththehighestfoodsafetystandardsintheindustry.Foodsafetyauditsare

vitaltomaintainingthehighestpossiblefoodsafetystandards.Auditreportsprovideinformationon

thee?ectivenessoffoodsafetysystems,aswellasprovidefeedbackforcontinuousimprovement.

AuditinformationwillonlybesharedinternallybetweentheCostcopersonnel.TheCostcoFoodSafety

AuditTeamwillreviewauditstoidentifyopportunitiesforimprovementandverifythatcorrective

actionsarecompleted,whiletheCostcobuyingsta?willuseauditinformationtoguidepurchasing

decisions.

5

GeneralAuditRequirements

●Alloperations,otherthanthoselocatedinChinaMainland,arerequiredto:

?Beauditedannuallytoa

Costco-approvedstandard

bya

Costco-approved

certi?cationbody

;and,

?Authorizethecerti?cationbodytoreleaseanduploadthefullauditreport(s)intoCostco’sdatabaseofchoice.

●AlloperationslocatedinChinaMainlandarerequiredto:

?Beauditedtwiceayear(scheduledapproximately6monthsapart)toa

Costco-approvedstandard

bya

Costco-approvedcerti?cationbody

;and,

?Authorizethecerti?cationbodytoreleaseanduploadthefullauditreport(s)intoCostco’sdatabaseofchoice.

●AlloperationsinvolvedwithprimaryproductionorharvestofanimalproteinsforproductssoldtoCostcoarerequiredto:

?BeauditedtoaCostco-approvedanimalwelfarestandardbya

Costco-approved

certi?cationbody

atafrequencyde?nedbythestandardorCostco.

?Authorizethecerti?cationbodytoreleaseanduploadthefullauditreport(s)orassessments(orassessmentdata)intoCostco’sdatabaseofchoice.

●Allauditsmustbeunannounced.TheonlyexceptionisfortheCostcoSmallSupplieraudit.

●Atthetimeoftheaudit,asitemustbeproducing,cultivating,orprocessingaproductthatisbeingpurchasedbyCostco.Ifthatisnotpossible,theauditshallcoveraproductwitha

similarhazardanalysisandpreventivecontrols.

●Costcomaygrantagraceperiodforoperationsthatdonotmeettheapprovedaudit

standardorcerti?cationbodyrequirementspriortostartingbusinesswithCostco.ThegraceperiodonlyappliestooperationsthatcannotchangetomeettheCostcorequirements

withouta?ectingcerti?cation.Theseoperationsmustsubmitafullauditreportthatwascompletedwithinthelast12months,aswellasthecorrectiveactionresponse(s)foreachde?ciencynotedintheaudittoCostcofoodsafetysta?forreviewandapproval.Ifthe

previouslycompletedauditreportisaccepted,theoperation’sanniversaryauditmustfullymeetCostco’sauditexpectations.

●Costcomay,attimes,shadowasupplier’s3rdpartyaudit.AmemberoftheCostcoFood

Safetysta?willaccompanytheauditorfortheentiredurationoftheaudit.Duringtheaudit,theCostcoemployeewillexaminealldocumentationreviewedbytheauditorandwillalso

walktheentireoperationduringtheinspection(interiorandexterior).ObservationsmadebytheCostcoemployeewillbedisclosedaftertheauditoris?nishedwiththeclosingmeeting.Costcoobservationsdonotimpactauditscoring.ToensurethatCostco’sobservationsare

addressed,operationsmustprovideCostcowithane-mailedcorrectiveactionresponseforeachobservation.

6

CostcoApprovedCerti?cationBodiesbasedontheCostcoregion(s)yousupply

Costcowillacceptauditsfromtheapprovedlistofcerti?cationbodiesbelow.

IfasuppliershipstomultipleCostcoregionstheymustuseacerti?cationbodythatisapproved-for-use

byallregionstheysupplyproductsto.

US

Canada

ChinaMainland

Taiwan

Korea

Australia

NewZealand

France

Japan

Mexico

Spain

U.K.

IcelandSweden

?Acerta

?AIBInternational?AsureQuality

?Ausmeat/Ausqual?BSIGroup

?BureauVeritas?ControlUnion?DNV-GL

?EagleFoodRegistrations

?Euro?ns

?FoodChainID

?FoodSafetyNetServices

?Intertek?LRQA?LSQA?Mérieux

?NSFInternational?PMC

?PrimusAuditing

Operations(PAO)

?SafeFoodCerti?cations?SAIGLOBAL

?SCSGlobalServices?SGS

?TUVUSA/TUVNord?ULSolutions

?Validus

?WQS-QIMA/QIMA

sameastheUSwiththeadditionof:

?Afnor?Dekra

sameastheUSwiththe

additionof:

?JFIC

sameastheUSwiththeadditionof:

?GlobalSTDCerti?cation

sameastheUSwiththe

additionof:

?Aenor?Applus

sameastheUSwiththeadditionof:

WillacceptBRCCerti?cationsorSalsaAudits

regardlessoftheauditcompany.

AlsoacceptsISOCerti?cations.

7

ApprovedAuditStandardsbyscopeofoperation

Costcowillaccepttheauditstandardslistedbelow.

Allauditsmustbeunannouncedandcompletedbyanapprovedcerti?cationbody.

ScopeofOperation

AcceptableAuditStandards

ScoringRequirements

AdditionalRequirements

Producefarmthatsupplies?eld-packedproducts,

includingControlled

EnvironmentAgricultural(CEA)facilities.

Allproduceitemsthatare?eld-packedwillrequireanannualRanchandHarvestCrewAudit.Iftheoperationgrowsmultiplecropswithdi?erentharvesting

practices,separateauditswillberequired.

PrimusStandardGAP

?Farm+HarvestCrew

?IndoorAgriculture+HarvestCrew

OverallTotalScore≥85%

CAPrequiredforscores<98%

SQFFoodSafetyCode(s)

:?PrimaryPlantProduction

Totalpreliminaryscore≥86

SQF/Costcoguidancedocumentusedduringcerti?cation

PrimusGFS

?Module1FSMS+Module2Farm+Module4HarvestCrew

?Module1FSMS+Module3IndoorAgriculture+Module4Harvest

Crew

SuccessfulCerti?cation

N/A

CanadaGAP

:?OptionB

?OptionC

MinimumScore85%

CostcoFieldPacked

CommodityAddendum

GlobalGAP

:?IFA

?HPSS?PSA

SuccessfulCerti?cation

CostcoFieldPacked

CommodityAddendum

EFI

FoodSafetyStandards+PestManagementStandards

SuccessfulCerti?cation

CostcoFieldPacked

CommodityAddendum

GlobalMarkets:

?

SQFFundamentalsforPrimary

Productio

n

CostcowillacceptanIntermediateLevelwithatotalpreliminaryscore≥80%forthe?rstyear.

Sitemustobtainfull

certi?cationorcompleteaCostcoAuditforany

subsequentyears

8

ApprovedAuditStandardsbyscopeofoperation

ScopeofOperation

AcceptableStandards

ScoringRequirements

AdditionalRequirements

Manufacture,processing,orpackingoffoods/feedsor

ingredients.

CostcoFoodSafety

Minimumscoreof≥85%

overallandineachcategory.Nocritical?ndings.

SeeCostcoFoodSafety

description

CAPrequiredforscores<98%

CostcoSmallSupplier

Minimumscoreof≥75%overallandineachcategory.Nocritical?ndings.

SeeSmallSupplierdescription

CAPrequiredforscores<98%

SQFFoodSafetyCode(s)

:?FoodManufacturing

?PetFoodManufacturing

?AnimalFeedManufact

u

ring

?AnimalProductManufacturing

Totalpreliminaryscore≥86

?SQF/Costcoguidancedocumentusedduringcerti?cation

BRCGS

:

?FoodSafety

PreliminaryGrade≥B

Module14MeetingCostcoRequirements

FSSC22000

:

?C–Foodmanufacturing

?D–Animalfeedproduction

?DII–Productionofpetfood

SuccessfulCerti?cation

?FSSC/CostcoGuidanceDocument

?AnnualOnsiteSurveillance

Auditisrequired,andfullreportprovidedtoCostco

IFS

:?Food

Totalpreliminaryscore>85

IFS/CostcoGuidanceDocumentusedduringcerti?cation

GlobalSeafoodAlliance

:

?SeafoodProcessingStandard

SuccessfulCerti?cation

GSA/CostcoGuidancedocumentusedduringcerti?cation

PrimusGFS

:

?Module1FSMS+Module5GMP+Module6HACCP+Module7

PreventiveControls

SuccessfulCerti?cation

N/A

PrimusStandardGMP

:

?GMPProcessingwithHACCP

?GMPPackinghousewithHACCP

OverallTotalScore≥85%

?CAPrequiredforscores<98%?OperationsSupplyingUSwillneedtoadd

FSMAAddendum

GlobalGAP

:

?ProduceHandlingAssurance

SuccessfulCerti?cation

CostcoProduceFacility

Addendum

CanadaGAP

:?OptionB

?OptionC

MinimumScore85%

CostcoProduceFacility

Addendum

GlobalMarkets:

?

IFSGlobalMarketsFood

?

BRCGSStart!

?

SQFFundamentalsfor

Manufacturing

?

FSSCDevelopmentProgram

Costcowillacceptan

IntermediateLevelwithatotalpreliminaryscore≥80%forthe?rstyear.

Sitemustobtainfull

certi?cationorcompleteaCostcoAuditforany

subsequentyears

9

ApprovedAuditStandardsbyscopeofoperation

ScopeofOperation

AcceptableAuditStandards

ScoringRequirements

AdditionalRequirements

Warehouse,Storage,or

Distribution.Mayinclude

activitiessuchasassemblyorrepackofpre-packaged

products,freezing,orthawing.

CostcoFoodSafety

Minimumscoreof≥85%overallandineachcategory.Nocritical?ndings.

SeeCostcoFoodSafety

description

CAPrequiredforscores<98%

CostcoSmallSupplier

Minimumscoreof≥75%overallandineachcategory.Nocritical?ndings.

SeeSmallSupplier

description

CAPrequiredforscores<98%

Costcoapprovedcerti?cationbodyGDPauditstandards

Auditschemescoringrequirements.

CAPrequiredforscores<98%regardlessofCBrequirements

SQFFoodSafetyCode

:?StorageandDistribution

Totalpreliminaryscore≥86

N/A

BRCGS

:

?StorageandDistribution

PreliminaryGrade≥B

N/A

FSSC22000

:

?G-TransportandStorage

SuccessfulCerti?cation

N/A

IFS

:

?IFSLogistics

Totalpreliminaryscore≥85

N/A

PrimusGFS

:

?Module1FSMS+Module5GMP+Module6HACCP+Module7

PreventiveControls

SuccessfulCerti?cation

N/A

PrimusStandardGMP

:

?Cooling&ColdStoragewithHACCP

OverallTotalScore≥85%

CAPrequiredforscores<98%

CanadaGAP

:?OptionD

Totalpreliminaryscore≥85%

CostcoProduceFacility

Addendum

GlobalGAP

:

?ProduceHandlingAssurance

SuccessfulCerti?cation

CostcoProduceFacility

Addendum

GlobalMarkets:

?

IFSGlobalMarketsLogistics

?

BRCGSStart!

CostcowillacceptanIntermediateLevelwithatotalpreliminaryscore≥80%forthe?rstyear.

Sitemustobtainfull

certi?cationorcompleteaCostcoAuditforany

subsequentyears

ApprovedAuditStandardsbyscopeofoperation

ScopeofOperation

AcceptableAuditStandards

ScoringRequirements

AdditionalRequirements

Manufactureofdirect

food/feedcontactpackaging.

CostcoFoodSafety

Minimumscoreof≥85%overallandineachcategory.Nocritical?ndings.

SeeCostcoFoodSafety

description

CAPrequiredforscores<98%

CostcoSmallSupplier

Minimumscoreof≥75%ineachcategory.Nocritical?ndings.

SeeSmallSupplier

description

CAPrequiredforscores<98%

Costcoapprovedcerti?cationbodyPackagingAuditstandards

Auditschemescoringrequirements.

CAPrequiredforscores<98%regardlessofCBrequirements

SQFFoodSafetyCode(s):

?ManufactureofFoodPackaging

Totalpreliminaryscore≥86

N/A

BRCGS

:

?PackagingMaterials

PreliminaryGrade≥B

N/A

FSSC22000

:

?I–Productionoffoodpackagingandpackagingmaterials

SuccessfulCerti?cation

N/A

IFS

:

?PACsecure2?PACsecure1.1

Totalpreliminaryscore≥85

N/A

GlobalMarkets:

?

IFSGlobalMarketsPACsecure

CostcowillacceptanIntermediateLevelwithatotalpreliminaryscore≥80%forthe?rstyear.

Sitemustobtainfull

certi?cationorcompleteaCostcoAuditforany

subsequentyears

10

ApprovedAuditStandardsbyscopeofoperation

ScopeofOperation

AcceptableAuditStandards

ScoringRequirements

AdditionalRequirements

ManufactureofDietary

Supplements,Vitamins,orNutraceuticals.

Costcoapprovedcerti?cationbodyDietarySupplementaudit

standards

Auditschemescoringrequirements.

CAPrequiredforscores<98%regardlessofCBrequirements

SQFFoodSafetyCode(s):

?DietarySupplementManufacturing

Totalpreliminaryscore≥86

?SQF/Costcoguidancedocumentusedduringcerti?cation

BRCGS

:

?FoodSafety

PreliminaryGrade≥B

?Module14MeetingCostcoRequirements

FSSC22000

:

?K–Productionof(Bio)chemicals.

SuccessfulCerti?cation

?FSSC/CostcoGuidanceDocument

?AnnualOnsite

SurveillanceAuditis

required,andfullreportprovidedtoCostco

IFS

:?Food

Totalpreliminaryscore≥85

IFS/CostcoGuidanceDocumentusedduringcerti?cation

GRMA

Totalpreliminaryscore≥B

N/A

GlobalMarkets:

?

IFSGlobalMarketsFood

?

BRCGSStart!

?

SQFFundamentalsfor

Manufacturing

?

FSSCDevelopmentProgram

CostcowillacceptanIntermediateLevelwithatotalpreliminaryscore≥80%forthe?rstyear.

Sitemustobtainfull

certi?cationorcompleteaCostcoAuditforany

subsequentyears

11

ApprovedAuditStandardsbyscopeofoperation

ScopeofOperation

AcceptableAuditStandards

ScoringRequirements

AdditionalRequirements

Manufactureofice,orbottlingwater

Costcoapprovedcerti?cationbodyBeverage/Water/Iceauditstandards

Auditstandardsscoringrequirements.

CAPrequiredforscores<98%regardlessofCBrequirements

SQFFoodSafetyCode(s):

?FoodManufacturing

Totalpreliminaryscore≥86

?SQF/Costcoguidancedocumentusedduringcerti?cation

BRCGS

:

?FoodSafety

PreliminaryGrade≥B

Module14MeetingCostcoRequirements

FSSC22000

?C–Foodm

a

nufacturing

SuccessfulCerti?cation

?FSSC/CostcoGuidanceDocument

?AnnualOnsite

SurveillanceAuditis

required,andfullreportprovidedtoCostco

IFS

:?Food

Totalpreliminaryscore≥85

IFS/CostcoGuidanceDocumentusedduringcerti?cation

IPIA

SuccessfulCerti?cation

N/A

GlobalMarkets:

?

IFSGlobalMarketsFood

?

BRCGSStart!

?

SQFFundamentalsfor

Manufacturing

?

FSSCDevelopmentProgram

CostcowillacceptanIntermediateLevelwithatotalpreliminaryscore≥80%forthe?rstyear.

Sitemustobtainfull

certi?cationorcompleteaCostcoAuditforany

subsequentyears

12

Re-AuditCriteria

AnauditthatscoresbelowCostco’sexpectationsorhas

whatCostcoconsidersacritical?nding

willbeconsideredafailedaudit.

Certi?cationbodiesandsuppliersarerequiredtonotifyCostcoofafailedauditwithin24hours.

SuppliersmustnotifyCostcofoodsafetysta?immediatelyviaemailorphoneintheeventtheir

certi?cationbecomessuspended,canceled,orwithdrawn.Currentlistoffoodsafetycontactscanbefound

here

.

Afailedauditofanytype,independentofrequirementsformaintainingcerti?cation,willtriggeran

unannouncedCostcoFoodSafetyre-auditwithin60daysoftheinitialauditdate.Re-auditsforGrower,HarvestCrewsandGreenhousesmustbeconductedagainstanapprovedauditstandardwithin30daysoftheoriginalauditdate.Ifthegrowing/harvestseasonis?nishedoriftheFacilityisnon-operational,are-auditmusttakeplacewithinthe?rst30daysofthenextgrowing/harvest/operationalseason.

Allcorrectiveactionsidenti?edintheoriginalauditmustbeveri?edduringthere-audit.

Costcomaysuspendordersafteranauditfailureuntilare-auditcanoccur,andwillbehandledonacasebycasebasis.

13

CriticalFindingsthatrequirere-audit:

●Contaminationofrawmaterials(includingprimarypackaging),?nishedproducts,orzone1(foodcontactsurfaces)isobservedbytheauditor,includingbutnotlimitedtocontaminationfrompestsorevidenceofpests,allergencross-contact,orforeignmaterial.

●Thesitedoesnottakedocumentedcorrectiveactionswhencriticallimitsarenotmet.

●Falsi?cationorfabricationofdocumentsorrecords

●Employeeswithsores,infectedwounds,orotherinfectiousillnessesareobservedincontactwithrawmaterials(includingprimarypackaging),?nishedproducts,orfoodcontactsurfaces,orareworkinginareaswithexposedrawmaterials(includingprimarypackaging),?nished

products,orfoodcontactsurfaces.

●Allergensarepresentinthefacility,butadocumentedallergencontrolprogramthataddressesallallergensintheregionsofmanufactureanddistributionhasnotbeenestablished.

●AdocumentedSSOPProgram(StandardSanitationOperatingProcedures)hasnotbeenestablishedorimplemented.

●AdocumentedFoodSafetyPlanorHACCPPlanhasnotbeenestablishedorimplemented.

●RegulatoryRequirementsforthecountry/regionofproductionorsalehavenotbeenmet.

●Awrittenpestcontrolprogramhasnotbeenestablished,implemented,ordoesnotcoverboththeinteriorandexterioroftheoperation(includingstorageareasforproducts,materials,or

packaging).

●Facilitywaterisnotfromapotablesource.

●Waterpotabilityisnottestedbyacerti?edlaboratoryandrecordsarenotmaintained(annualtestingformunicipalwatersourcesandquarterlyforwellwater).

●Finishedproductsarenotproperlycodedfortraceability.

●Evidenceofdecomposedpestsintheinteriorofthefacility(includingdecomposedpestsintraps).

●OperationhasnotinstalledaforeignmaterialdetectiondevicebythetimeoftheirCostcoanniversaryauditanddoesnotmeetexemptioncriteria.

●Anoperationdoesnothave60daysofoperationalrecordsprecedingtheaudit,unlessaformalexemptionhasbeenprovidedbyCostco’sfoodsafetyteam.

ApplicabletoSuppliersthatmanufacturein,orexportto,theUnitedStates:

●ThefacilitycannotprovideproofofFDAregistrationfortheBioterrorismAct,orisnotincompliancewithUSDArequirements.

●SuppliersofimportedproductssubjecttoFSVPrequirementsdonothaveaCostcoFSVPapprovalletterspeci?ctotheitem(s)andfacilitythatproducestheitem.

CostcomayinitiateanimmediateCostcoFoodSafetyauditinresponsetoaproductrecall,serious

incident,issuanceofanFDAwarningletter(Form483),orCostcoconcern.Theseauditswillbe

conductedindependentoftheanniversaryaudittimelineandwillnotimpactcerti?cation,ifapplicable.

14

CostcoAuditStandards

Costco’sFoodSafetyAudit

Costco’sFoodSafetyauditmustbeconductedwithina90-dayauditwindowfromthedateofthepreviousaudit(45daysbefore/aftertheauditanniversarydate).

Duringtheschedulingprocess,thecerti?cationbodywillaskthesitetoprovideblackoutdates(ifany).AblackoutdateisaperiodoftimeinwhichthesitewillnotbeoperationalorproducingaCostco

productorlikeproduct.Blackoutdatesarestrictlylimitedtonon-productiondaysandwillnotbe

grantedforanyotherreason.Unlessblackoutdatesareprovidedbythesite,alldayswithinthe90-dayauditwindowwillbeconsidered“auditready”dates.Ifasiteisnotoperationalonanaudit-ready-date,theauditmustberescheduledwithintheoriginal90daywindowatthesupplier’sexpense.Itis

advisabletocheckwithyourcerti?cationbodyregardingtheircancellationpolicyandassociatedfees.

ThemajorityofCostcoFoodSafetyauditscanbecompletedinasingleauditday,thoughcertainauditsmayrequireaseconddayduetothesize,complexity,a