Halal Audit Knowledge

Guide 04 — Findings & Audit Report

Properties3
descriptionHow to write non-conformities and structure the LPH audit report for a foreign halal certification file, including evidence annexes and translation notes.
tagshalal-certification, guide, report, findings
aliasesaudit report, writing findings

3 min read

When to use: step 5 of the foreign certification workflow — converting audit evidence into the LPH report that BPJPH and MUI will rely on.

Related: on-site audit · typical findings card · criteria pages

1. Anatomy of a good finding (NC)

Every NC must answer four questions so the company can act and the regulator can trust it:

  1. What is the requirement? (criterion + the specific SJPH element or rule text)
  2. What did we observe? (objective evidence: document name/number, batch, date, photo ref)
  3. Why does it matter? (the halal risk — contamination, unapproved material, unproven claim)
  4. What must change? (required corrective action, owner, deadline)

Write NCs that are verifiable: “material X (invoice no. …, dated …) has no halal certificate from a BPJPH-recognized body” — not “materials lack certificates” without specifics.

Classify findings per your LPH’s convention (e.g., major/minor/observation 🔎 — confirm with the LPH’s reporting rules), and separate NCs from observations and from surveillance items.

2. Report structure (suggested)

1. File & scope        applicant, products, facility(ies), audit dates, criteria audited,
                       exclusions, participants
2. Company profile     registry identity (USCC), licenses, production reality (OEM/分装?)
3. Desk-review summary what was reviewed, status at entry
4. Results by criterion  1–5: requirement → evidence verified → findings (see §3)
5. Non-conformities    numbered NC list with the four-part anatomy
6. Sampling & lab      samples taken, chain of custody, lab results (if any)
7. Conclusion & recommendation  certificate recommendation or conditional / not ready
8. Annexes             photos, stamped document copies, translation provenance

3. Results table per criterion

CriterionEvidence verifiedCompliantFindings
1 Commitment & Responsibilitypolicy, decrees, competency, training records✅/❌NC-xx
2 Materialsmatrix, certificates, flowchart/statements, alcohol logic✅/❌NC-xx
3 Processflowchart vs floor, facility, records reconciliation✅/❌NC-xx
4 Productslabels vs matrix, naming/design screen, product list✅/❌NC-xx
5 Monitoring & Evaluationinternal audit, management review, CAPA✅/❌NC-xx

Use the filled internal audit (32-item) and management review examples as the model for how compliant items read.

4. Evidence and annexes

  • Every NC maps to a photo or a stamped document copy with a reference number in the annex.
  • For China files, record translation provenance: which documents were translated, by whom, and whether they were official (公章-sealed) copies.
  • Keep the reconciliation calculations in an annex (purchases ↔ batching ↔ sales windows) — they are your strongest objective evidence.
  • Attach the material evidence decisions: which certificates were accepted (with LHLN verification date), which flowchart+animal-free statements were accepted, which materials were rejected and why.

5. Handling borderline cases

  • Statement vs certificate: flowchart + animal-free statement is only valid for genuinely non-animal, mechanically/physically processed materials (see criterion 2 §2). If in doubt, escalate to cert-or-replace.
  • Alcohol: khamr-source = haram at any level; non-khamr ethanol ≤0.5% (max 0.49%). If the source cannot be proven, treat as non-compliant (see criterion 2 §4).
  • Recognized bodies: any certificate whose issuer is not on the live LHLN list at the audit date is not evidence.
  • When evidence is genuinely ambiguous, mark the finding “insufficient evidence” instead of guessing — BPJPH/MUI need facts, not inferences.

6. Tone and language

  • Report in the LPH’s official language; keep Chinese/Indonesian terms where precision demands (annex a glossary reference — see glossary).
  • Findings must be respectful but unambiguous: this is a technical document, not a client-relations exercise.
  • Draft within a week of the audit (memory and photo context degrade fast).

7. Checklist before submission

  • Every NC: requirement + evidence + risk + required action, verifiable and specific
  • Results table complete for all 5 criteria
  • Sampling/logistics documented; lab results attached or status stated
  • Translation provenance recorded for China documents
  • Annex references resolve (photos, documents, calculations)
  • Recommendation stated (recommend / conditional / not ready) with conditions listed

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