haccp audit check list

FOOD SAFETY AUDIT CHECKLIST

Company:Project Ref.: Audit Date: Follow-up Date:Scope of audit: Type of Audit:Ref. StandardAuditor (s):

DOCUMENT REVIEW

Food Safety System ElementAudit

Findings CommentsFollow-up Findings

Yes Inc No Yes Inc NoA HACCP plan has been written for the safety of customer’s productThe HACCP plan identifies the company, location and manufacturing siteThe HACCP plan includes dates of plan preparation, approval, and revision datesThe HACCP plan includes a statement on scope and purpose of the HACCP plan.The HACCP plan includes the names and positions of HACCP team members, their level of HACCP skills and experience, the name and title of the HACCP team Leader The HACCP plan includes a product description and intended useThe product description contains the method of preservation of the product

FSA-5-Audit Check List HACCP System Course-Applied Part of 29

The product description describes the inner and outer packaging for the productThe product description contains the storage conditions and method of distributionThe product description specifies the shelf life of the product

The product description contains specific labeling requirementsThe product description describes handling and storage instructions for the end-userThe HACCP plan includes a raw material list or ingredient list, including names and available specification numberThe ingredient list contains information on any applicable preservation usedThe ingredient list defines packaging types for raw ingredientsThe HACCP plan includes an appropriate flow diagram of the process to produce the identified productsThe process flow diagram includes all identifiable steps

The HACCP plan includes a hazard analysis of all potential hazards associated with each raw material, ingredient, process step, and process inputEach hazard is identified as to its classification (microbiological, chemical, physical)The risk of occurrence (significance) of each hazard is determined (high, medium, or low)Control measures for each hazard are documentedEach hazard is categorized as a CCP, CP, CQP, QP


The HACCP plan documents corrective and preventive actions for all CCPsThere are detailed procedures available for each CCP, that are referenced on the HACCP planCritical limit descriptions are documented for all CCPs

Procedures used to document critical limits are documented for each CCPThe HACCP plan contains instruction on monitoring each CCP, including “who monitors”, “where”, “when” and “how”The frequency of monitoring is adequate to assure process control and product safetyProcedures for monitoring are correctly documented and availableThe HACCP plan details corrective actions for all CCPs where monitoring indicates the CCP is outside of the control limitsCorrective actions include the immediate action to fix the problem, preventive action to prevent reoccurrence, and disposal criteria affected productCorrective actions clearly identify the person responsible for each phaseAll records identified on the HACCP plan are available for inspectionRecord are complete for each CCP

Historical microbiological testing records are available for inspectionAll raw material and in-process inspection records are initialed and dated by the person responsibleAll the records indicate that CCPs are in control


Calibration records are available for all measuring devices used to monitor CCPsThere is a scheduled frequency for calibration available

Verification procedures are available-Each planned verification activity is itemized with a nominated time interval-The person nominated as responsible for the activity-Review and approval of the activity Verification procedures include:

HACCP plan reviews Validation of critical limits Appropriateness of CCP monitoring Review of monitoring and corrective action methods Sampling or testing procedures


FOOD HYGIENE AUDIT CHECKLIST

Company:Project Ref.: Audit Date: Follow-up Date:Scope of audit: Type of Audit:Ref. StandardAuditor (s):

RAW MATERIALS WAREHOUSE

Control PointAudit

Findings CommentsYes No

Raw materials are inspected before unloading

Raw materials (food and packaging) are covered / enclosed to prevent contamination by insects, dust or foreign matterIngredient bins and containers are cleaned periodically to prevent insect infestations and microbial growthShelves that form part of a shelving unit are at least 150 mm above the floorMaterials are stacked a minimum 43 mm from the wall to provide access for inspection, cleaning, and vermin control Food containers are used to store food, not cleaning chemicals, rubbish, screws, nuts, etc.Chemicals are clearly labeled & stored away from food ingredients to prevent contamination and their being mistaken for food ingredientsVermin baits are readily identifiable and not likely to


contaminate foodThe warehouse is clean and free from objectionable odors. The warehouse is in a state of good repair

The warehouse is free from vermin and other animals

Food is stored in a way that will prevent cross contamination

Dirty or broken pallets are not used

RATIO OF COMPLIANCE : NON-COMPLIANCE(i.e. YES : NO)

FINISHED PRODUCT WAREHOUCE

Finished products are covered / enclosed to prevent contamination by insects, dust or foreign matterIngredient bins and containers are cleaned periodically to prevent insect infestations and microbial growthShelves that form part of a shelving unit are at least 150 mm above the floorFood and packaging materials (and the pallets on which they lie) are stored at least 150 mm above the floorMaterials are stacked a minimum 43 mm from the wall to provide access for inspection, cleaning, and vermin control Food containers are used to store food, not cleaning chemicals, rubbish, screws, nuts, etc.Chemicals are clearly labeled & stored away from food ingredients to prevent contamination and their being mistaken for food ingredientsVermin baits are readily identifiable and not likely to


contaminate foodThe warehouse is clean and free from objectionable odors. The warehouse is in a state of good repair

The warehouse is free from vermin and other animals



FROZEN FOOD HANDLING

The temperature of frozen food does not exceed –15oC

The temperature of frozen food does not exceed –12oC before being defrosted for useFood is not defrosted and then refrozen


COOL ROOMS

Finished products are covered / enclosed to prevent contamination by insects, dust or foreign matterFinished products are (and the pallets on which they lie) are stored at least 750 mm above the floor, or have a barrier which prevents access to the foodFood containers are used to store food, not cleaning chemicals, rubbish, screws, nuts, etc.


Chemicals are clearly labeled & stored away from food ingredients to prevent contamination and their being mistaken for food ingredientsVermin baits are readily identifiable and not likely to contaminate foodThe cool room is clean and free from objectionable odors. The cool room is in a state of good repair

The cool room is free from vermin and other animals



PROCESSING

Shelves that form part of a shelving unit are at least 150 mm above the floorFood and packaging materials (and the pallets on which they lie) are stored at least 150 mm above the floorFood and packaging materials are covered / enclosed to prevent contamination by insects, dust or foreign matter during cleaning and when not in usePerishable food is kept at a temperature which will preserve it from deteriorationInstruments used to measure pH, acidity, water activity, or other conditions that control or prevent microbial growth are accurate and maintained in good working orderIngredient bins and containers are cleaned periodically to prevent insect infestations and microbial growth


Food containers are used to store food, not cleaning chemicals, rubbish, screws, nuts, etc.Lab samples used for chemical, microbiological, or environmental analysis are not returned for reworkWater used for washing, rinsing or conveying of food is not reused for the same in a manner that may result in food contaminationDisposable gloves are readily available

Spillages and breakages are cleaned up immediately

Continuous spillage, leakage or dust emanating from equipment is regularly removed until the equipment is repairedPlant floors where the bins are stored are marked with a circleWaste is removed at least daily

Empty ingredient containers are removed from area immediatelyEmpty ingredient containers are stored upside down

Reworked product is kept separate from fresh product

The processing area is clean and free from objectionable odors.The processing area is in a state of good repair

The processing area is free from vermin and other animals

There are no wooden utensils or equipment present


There is no glass present (except that in glass tubes and insect traps)Drawing pins or other metallic fasteners are not used on notice boards or in the areaRubber bands and elastrator rings are not used within processing, even on raw packaging materialsFood equipment is clean

Equipment is not repaired with make shift materials (e.g. elastic bands, string, rope)The equipment is clean and free from objectionable odors.

The equipment is in a state of good repair

The equipment is free from vermin and other animals

There are no tools, nuts, bolts, etc. sitting on equipment

There are no tools or pieces of equipment sitting on the floor

Before a batch / run commences, the equipment is checked to ensure it is clean, free from sources of contamination, and that sieves and metal detectors are functionalIf a fault in equipment or possible source of contamination is found during a production run, the process is immediately stopped, the product placed on hold, and the QA representative/ and supervisor notifiedNo raw materials, packaging materials, work-in-progress or finished product comes into direct contact with the floorAll equipment is cleaned at the end of a production run and covered / stored to prevent contamination prior to next useDuring clean-up all cleaned equipment parts, pipes and


cleaning aids are placed on rubber mats or metal carts specially designed for such purposes Chemicals are clearly labeled & stored away from food to prevent contamination and / or their being mistaken for food ingredientsCleaning equipment is kept in a designated location

Cleaning brushes are placed in cleaning solution or on a clean surfaces when not in use. Wet brushes are hung up to dryCleaning equipment is in good repair and is effectively cleanedSteel wool, metal brushes, scouring pads and other abrasive cleaning materials are not usedWhen not in use, clean-up hoses are neatly coiled and stored off the floorWater hoses are not left running

Cleaning hoses are not used to supply water to products

Foot baths are located at the entrances to processing (e.g. from the lab into processing, maintenance into processing etc.)The mats in foot baths are saturated with the appropriate strength of sanitizing solution and are cleaned regularlyThere is an adequate number of wash basins located in convenient locationsThe wash basins/s are supplied with soap or detergent

The wash basins/s are in good repair and effectively cleaned

Wash basins are only used for washing hands (not equipment)


Vermin baits are readily identifiable and not likely to contaminate foodRATIO OF COMPLIANCE : NON-COMPLIANCE(i.e. YES : NO)

PACKAGING

Shelves that form part of a shelving unit are at least 150 mm above the floorFood and packaging materials (and the pallets on which they lie) are stored at least 150 mm above the floorFood and packaging materials are covered / enclosed to prevent contamination by insects, dust or foreign matter during cleaning and when not in usePerishable food is kept at a temperature which will preserve it from deteriorationInstruments used to measure pH, acidity, water activity, or other conditions that control or prevent microbial growth are accurate and maintained in good working orderIngredient bins and containers are cleaned periodically to prevent insect infestations and microbial growthFood containers are used to store food, not cleaning chemicals, rubbish, screws, nuts, etc.Lab samples used for chemical, microbiological, or environmental analysis are not returned for reworkIdentification and use-by codes are legible

Water used for washing, rinsing or conveying of food is not reused for the same in a manner that may result in food contaminationDisposable gloves are readily available


Spillages and breakages are cleaned up immediately

Continuous spillage, leakage or dust emanating from equipment is regularly removed until the equipment is repairedPlant floors where the bins are stored are marked with a circleWaste is removed at least daily

Empty ingredient containers are removed from area immediatelyEmpty ingredient containers are stored upside down

Reworked product is kept separate from fresh product

The packaging area is clean

The packaging area is clean and free from objectionable odors.The packaging area is in a state of good repair

The packaging area is free from vermin and other animals

There are no wooden utensils or equipment present

There is no glass present (except that in glass tubes and insect traps)Drawing pins or other metallic fasteners are not used on notice boards or in the areaRubber bands and elastrator rings are not used within processing, even on raw packaging materials


Food equipment is clean

Equipment is not repaired with make shift materials (e.g. elastic bands, string, rope)Food equipment is clean and free from objectionable odors.

Food equipment is in a state of good repair

Food equipment is free from vermin and other animals

There are no tools, nuts, bolts, etc. sitting on equipment

There are no tools or pieces of equipment sitting on the floor

Before a batch / run commences, the equipment is checked to ensure it is clean, free from sources of contamination, and that sieves and metal detectors are functionalIf a fault in equipment or possible source of contamination is found during a production run, the process is immediately stopped, the product placed on hold, and the QA representative/ and supervisor notifiedNo raw materials, packaging materials, work-in-progress or finished product comes into direct contact with the floorAll equipment is cleaned at the end of a production run and covered / stored to prevent contamination prior to next useDuring clean-up all cleaned equipment parts, pipes and cleaning aids are placed on rubber mats or metal carts specially designed for such purposes Cleaning equipment is kept in a designated location

Chemicals are clearly labeled & stored away from food to prevent contamination and / or their being mistaken for food


ingredientsCleaning brushes are placed in cleaning solution or on a clean surfaces when not in use. Wet brushes are hung up to dryCleaning equipment is in good repair and is effectively cleanedSteel wool, metal brushes, scouring pads and other abrasive cleaning materials are not usedWhen not in use, clean-up hoses are neatly coiled and stored off the floorWater hoses are not left running

Cleaning hoses are not used to supply water to productsFoot baths are located at the entrances to processing (e.g. from the lab into processing, maintenance into processing etc.)The mats in foot baths are saturated with the appropriate strength of sanitizing solution and are cleaned regularlyThe wash basins/s are supplied with soap or detergent

The wash basins/s are in good repair and effectively cleaned

Wash basins are only used for washing hands (not equipment)

Vermin baits are readily identifiable and not likely to contaminate foodRATIO OF COMPLIANCE : NON-COMPLIANCE(i.e. YES : NO)


PERSONAL HYGIENE REQUIREMENTS IN FOOD PREMISESTHESE RULES APPLY TO EMPLOYEES, CONTRACTORS AND VISITORS

Personnel handling food, food materials, and equipment have received adequate and continued training in the hygienic handling of food and in personal hygienePersonnel prior to employment have had a medical examination to determine their fitness to work in a food processing environmentPeople smoke only in designated areas

People eat and drink only in designated areas (e.g. lunch room, Offices) Nail polish. False finger nails, and false eyelashes are not wornHands and finger nails are clean

People are clean in appearance

People practice good personal hygiene

Staff wear only company issued uniforms

Visitors wear lab coats. If lab coats are impractical / unsafe for contractors they shall be provided with company issued uniformsPersonnel wearing lab coats also wear clothing under the coat (e.g. shirt and trousers)Uniforms are clean at the start of operation and in a good repair


If uniforms are expected to become soiled rapidly, disposable aprons are worn over the uniformUniforms use zippers / press studs, not buttons

Uniforms do not have pockets above the waist

Only leather / vinyl shoes are worn. The toes on these shoes are enclosedShoes are clean, neat, and in good repair

Head coverings are worn and they cover all of the hair

Mean with beards and moustaches wear a face snood

Hair pins, clips, etc are not used to keep head / beard coverings in placeJewelry – only plain wedding rings (no stones) and sleeper earrings (maximum diameter 2 cm) Wrist watches are not worn

Utensils used for eating or drinking are not carried in the pockets of clothingNo person who is affected by or is a carrier of a communicable disease (e.g. gastroenteritis, a severe cold, sore throat, cough, influenza) or infected sore works with food in an area in which there is a reasonable possibility of food or food ingredients becoming contaminated by such a person Medical examinations are carried out when required in order to prevent the contamination of foodAny person suffering from a communicable disease must obtain a medical certificate stating their fitness to return to work in a food premises, prior to coming back onto the site


Staff do not cough or sneeze directly over food

Personnel who come into direct contact with food, food ingredients, or equipment must wash their hands with soap and water before starting work, following meal breaks, after blocking a cough or sneeze with the hand, after touching the hair, nose mouth, or eyes after handling garbage, after smoking, after cleaning, and upon entering food processing areasHands are not wiped on uniforms

If gloves are used to handle food they are disposed of between tasks so as to avoid the contamination of foodGloves are made of an impermeable materialsPersonnel wearing gloves still wash their hands at regular intervalsAll cuts and wounds are covered by a waterproof blue band-aid containing a metallized threadThere are adequate first-aid facilities stocked with approved band-aidsPeople with bandaged hands who handle exposed product, packaging materials, and equipment coming into contact with exposed products wear glovesThere are no personal items (e.g. bags, newspapers, clothes, etc.) in food premisesThere is no consumption of food (including chewing gum) and drinks in food premises. The only exception is drinking from the water fountains providedThere is no food in employees lockers

Samples taken for quality checks are disposed of, not returned to the container from whence they came


Food equipment is not placed in the mouth nor blown into


GENERAL PLANT AREA

Pallets are stored in areas free of rubbish, vermin and insects

Water used in food premises is tested for microorganisms which may produce food poisoning or other diseases

TOILET FACILITIES

Toilets are clean and in good repair

Toilets contain a germicidal soap / detergent for hand washing

PEST CONTROL

Pest control is only undertaken by, or under direct supervision of, personnel who have a thorough understanding of the potential hazards from the use of pesticidesThere is an effective, continuous, documented program for the control of pestsOnly pesticides approved by the Ministry of Agriculture for use in food premises are usedPesticides used, their quantity and batch numbers are recordedPesticides are labeled with a warning about their toxicity and use


Pesticides are stored in locked rooms or cabinets used only for that purpose Areas being fumigated are sign posted

Precautions are taken when fumigating to prevent accidental ingress into other areasThere is an insect trap installed in food processing areas (unless their use may lead to dust explosions) with a catch tray of sufficient sizeInsect traps are cleaned monthly

The findings in the catch tray of insect traps are recorded

GROUNDS

Plant grounds are maintained to prevent vermin, dirt, and other filth from potentially contaminating food (e.g. well trimmed grass, shrubs, and trees)Grounds are free from conditions which nay result in the contamination of food such as: Improperly stored equipment. Litter, waste, refuse,

uncut woods/ grass within the immediate vicinity of food premises buildings or structures that may be an attractant, breeding place, or harborage for rodents, insects, and other pests

Excessively dusty yards or car parks

Inadequately drained areas

The security system prevents / detects accidental or deliberate contamination / damage of products, materials, equipment or


groundsNo animal manure or by-products are used on lawns / gardensRATIO OF COMPLIANCE : NON-COMPLIANCE(i.e. YES : NO)

DESIGN AND CONSTRUCTION OF FOOD PREMISESFOOD Premises: any area in which food is handled (i.e. warehouses, cold rooms, packaging, processing, laboratory

FOOD PREMISES

Food premises are separated from refuse, storage, work shop, office or other areas which may cause contamination of food with undesirable micro-organisms, chemicals, filth, or other extraneous matterThere is adequate ventilation to minimize dust odors, noxious fumes or vapors in areas where they may contaminate food

WALLS

Internal walls are smooth, durable, resistant to corrosion, non-toxic, impervious to water and non-absorbentThere are no cracks or crevices on internal walls or around doors and windowsInternal walls are light in color

Internal walls have no skirting, picture rail or other moulding. If there are any edges on walls they are at an angle of at least 45ovto the horizontal to prevent lodgment of dust, etcLedges and window sills are angled to prevent them from


being used as a shelf and their edges are rounded to asmooth surfaceH-bars and fixtures fit flush with the walls

All joints and edges on walls are sealed

FLOORS

Floor surfaces are rigid, durable, slip resistant , corrosion resistant, non-toxic, and impervious to waterFloors can be easily cleaned

Floors do not have cracks, crevices, holes or other defects

Floors drain easily

Floor drains are connected to a drainage system All joints and edges on floors, and connecting equipment / fixtures to floors are sealed.

CEILINGS

Ceilings are smooth, durable, resistant to corrosion, non-toxic, and impervious to waterCeilings do not have cracks, crevices, holes or other defects

Ceilings can be easily cleaned

Ceilings are light in color


Ceiling do not have a cover strip or other moulding fitted to themAll joints and edges on floors, and connecting equipment / fixtures to floors are sealed.Access panels are flush with the ceiling

Junctions of walls and ceilings are sealed

LIGHTS

Light fittings prevent dust, dirt and dead insects from contaminating foodLight fittings have protective covers to prevent contamination of food with broken glassThere is adequate lighting in all hand washing areas, dressing and locker rooms, toilets, and in all areas where food and food ingredients are examined, processed, or stored, and where equipment is cleaned

WINDOWS AND DOORS

Windows have fly-screens which contain no holes and fit the window leaving no gapsDoorways are protected to exclude flying insects and birds (e.g. through plastic strips, automatically closing doors)

WATER SUPPLY

Food premises and vehicles have an adequate supply of water


HAND WASHING FACILITIES

There is an adequate number of hand washing facilities and they are conveniently locatedNotices stipulating hand washing requirements are displayed in toilets and at entrances to food processing areasHand washing stations have a supply of hot and cold water, foot or electronically operated taps, a supply of soap or detergent, and paper towelsAdequate rubbish bins are located near hand washing stations

PIPES, DUCTS, CONDUCTS, WIRING

Pipes, ducts, conduits and wirings are located on the exterior surface of walls or concealed in walls, floors or ceilings where practicalIf the above is not practical, there is at least a 16 mm gap between pipes, ducts, conduits, wirings and adjacent surfaces to enable cleaning and inspectionPipes, ducts, conduits and wirings are not installed in the junction of floors and any vertical surfaces nor beneath fixtures and equipment if this makes them difficult to cleanThe gaps around pipes, ducts, conduits and wiring which pass through ceiling, walls, or floors are sealed The gaps around steam pipes which pass through ceiling, walls, or floors are large enough to allow the pipe to be cleaned There are no open drainage pipes nor opening for the cleaning of drainage pipes inside food premises


Food conveyors located inside ducts or similar spaces can be accessed easily for inspection, cleaning, and the control of verminThe internal walls of ducts through which conveyors run meet the requirements specified for wallsFixtures, pipes, ducts, conduits and wirings are not suspended over working areas in such a manner that drip or condensate may contaminate foods, raw materials, or food contact surfacesThere are no wooden fixtures, fittings nor equipment

Work surfaces which come into frequent contact with liquids are made of stainless steelEquipment is constructed of materials that are impervious to water, durable, non-toxic, and corrosion resistantEquipment does not contain cracks or crevices

Equipment can be easily cleaned

Equipment is in a state of good repair

Equipment excludes vermin (e.g. there are lids on vats / tanks)Equipment is positioned so that all surfaces adjacent to it can be easily cleanedEquipment weighing more than 16 Kg is either sealed to the adjacent surfaces, or mounted on wheels to make cleaning easyBolts and screws used to bolt equipment to any vertical surface are flush with the vertical surfaces or counter-sunkPlinths (the lower square of columns) have a smooth, level surface, are at least 10 mm above the floor, and are rounded /


bull nosed at edges and cornersLegs and brackets on equipment is made of a smooth, corrosion resistant material and are closed sealed. Brackets with hollow are not usedLegs and brackets are securely fixed to the equipment to prevent the lodgment of dirt, dust or greaseLegs and brackets create a space of 150 mm between the floor and the bottom of the equipment to enable efficient cleaningBrackets are sealed to their contact surfaces

Shelves are sealed or fixed at least 40 mm clear of adjacent vertical surfacesShelves that form part of a shelving unit are at least 150 mm above the floorMotors and compressors are positioned so that they cannot contaminate foodAisles and working spaces between equipment or between equipment and walls are sufficiently wide to permit employees to perform their normal duties without contamination of food or food contact surfaces with clothing or personnel contactThermometers and other temperature measuring devices are accurate, effective, and of sufficient number

COOL ROOMS (In addition to design construction rules above)

Floors drain easily to a trapped floor waste outside the cool roomCondensate from the evaporator units is collected and flows to a drain outside the cool roomCool room doors are fitted with a seal in good repair


The cool room has a thermometer which is accurate to ± -1oC which is located so that it can accurately measure cool room temperature and can be easily read

STORAGE OF RUBBISH

There are enough bins for the temporary storage of rubbish

These bins are kept clean and are well maintained

The bins are deodorized as necessary to avoid foul odors and are kept free from vermin and insectsBins are covered to prevent vermin and insects from entering themBins containing material that can turn are kept on a paved area, with free drainage, outside the food premises or in a designated rubbish or refuse enclosureRubbish enclosures have an adequate supply of water

GREASE TRAPS

Grease traps, where practical, are outside the food premises and are regularly cleaned

VEHICLES

Food transport vehicles are constructed and maintained in order to prevent food from being contaminated and to prevent the deterioration of foodRATIO OF COMPLIANCE : NON-COMPLIANCE(i.e. YES : NO)


AUDIT SUMMARY

SECTION OF AUDIT YES NO COMMENTS

RAW MATERIALS WAREHOUSE

FINISHED PRODUCT WAREHOUSE

PROCESSING

PACKAGING

PERSONAL HYGIENE REQUIREMENT IN FOOD PREMISES

GENERAL PLANT AREA

DESIGN AND CONSTRUCTION OF FOOD PREMISES

FACTORY TOTAL RATIO OFCOMPLIANCE : NON-COMPLIANCE

(i.e. YES : NO)


haccp audit check list

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