checklist for regulators conducting audits of food business operators

1. INSPECTOR CHECKLIST FOR PROCESSING PLANT AND MASS CATERING
THE PROCESSING PLANT CHECKLIST* Yes No Observations
01: SURROUNDINGSAND CONSTRUCTION
1. Surroundings,constructions and layout
External environmenthygienicandkeptclean
Surroundingsmaintainedtopreventaccessandharbourage of
pest
Establishmentsdesignedtopreventadmissionof pests
Establishmentsthatexclude contaminationwithmaterialssuch
as
accumulateddirt,condensate,mouldorotherundesirable
particles
Conditionsinareasforhandlingandprocessingare appropriate
to
store,handle andprocessundersanitaryandhygienicconditions
Conditionssuitable toallowstorage,handlingandprocessingat
adequate temperatures
Layout and appropriate productflowto preclude cross
contaminationfromlesscleantocleanareas
Establishmentskeptclean
2. Ventilation
Sufficientandsuitable forthe operation
Mechanical airflowensure flowfromcleantolesscleanarea
Allowance made forease of maintenance andcleaning
3. Staff facilities
The numberof lavatoriesisadequate
Presence of flushable lavatoriesthatare connectedtoeffective
drainage system
Lavatory facilitiesthatdonotopendirectlyinto processingareas
Numberof handwashingbasinsisadequate
Hand washingbasinsare suitablylocated
Hand washingbasinsare suitable designed(non-handoperated)

2. Hand washingbasinshave adequate facilitiesforefficienthand
washing(hotandcold runningwater,soapandhygienicdrying
facilities).
Hand washingbasinsthatare designatedforthe purpose only
Lavatory facilitieshave adequate ventilation
Changingfacilitiesare adequate forthe operation
* Thischecklisthas beenextractedfromatrainingmaterial preparedforthe EuropeanCommission
Directorate-General forHealthandConsumers.
4. Light
Premiseshave adequatelightforoperations
5. Drainage system
Constructedtoavoidriskof contaminationwith flow of waste
water
fromlesscleanto cleanareas
Adequate forthe operation
6. Storage of chemicals
Adequate storage facilitiesallowforsafe storage of cleaningand
disinfectionagentsinareaswhere foodisnothandled
02: CONSTRUCTIONREQUIREMENTS IN AREAS WHERE
FOOD IS HANDLED
7. Floors
Made of impervious,non-absorbent,washable andnon-toxic
materials
Surfacesmaintainedinsoundconditionsotheyare easytoclean
and disinfect
Surfacesallow adequate surface drainage
8. Walls
Made of impervious,non-absorbent,washable andnon-toxic
materials
Surfacesmaintainedinsoundconditionsotheyare easytoclean
and disinfect

3. 9. Ceilingsandlightfittings
Constructedand finishedtopreventaccumulationof dirt,growthof
moulds,sheddingof particlesandminimizecondensation
10. Windowsand other openings
Constructedsoto preventaccumulationof dirt
Fittedwithinsectproof screensif tobe openedtothe outside
Insectscreensinwindowsandotheropeningsare easytoremove
for cleaning.
11. Doors
Made of appropriate materials(smoothandnon-absorbent)
Easy to cleanand disinfect
12. Surfaces in contact with food
Made of appropriate materials(smooth,washable,non-corrosive,
non-toxic)
Maintainedinsoundconditionswhichallow foreasycleaningand
disinfection
13. Cleaningof workingutensils
Facilitiesforcleaning,disinfectingandstorage of working utensils
and equipmentadequate
Facilitiesforcleaning,disinfectingandstorage of workingutensils
constructedof easyto cleanand maintainmaterials
Facilitiesforcleaning,disinfectionof workingutensilsshallhave
adequate supplyof hotandcold water
14. Facilitiesforwashing food
Designedforthe purpose
Providedwithpotablewater
Keptclean
15. Articles,fittingsand equipment
Installingallowadequatecleaningof bothequipmentand
surroundingarea

4. Constructedof materialsandmaintainedtominimizeriskof
contamination.
Constructedof materialsandmaintainedtoenablecleaningand
disinfection.
Effectivelycleanedanddisinfectedatsufficientfrequencytoavoid
riskof contamination
Additivesforcorrosionprotectionusedinaccordance withgood
practices
Equipmentshall be fittedwithappropriatecontrol devices(e.g.
cookers,freezers,coldstores,chillingrooms)
03: IMPLEMENTATION OF PRE-REQUISITE
PROGRAMMES
16. Raw materials,ingredients,packagingand otherinput
materials
Are controlledatreceiving
Are rejectedif knownorreasonablyexpectedtobe contaminated
withfoodsafetyhazardswhichcannotbe eliminated through
normal sorting,preparationorprocessing
Are storedto preventdeterioration
Are storedto protectfrom contamination
Qualityandsafetycriteriadefinedandadequate toensure foodis
safe and fitforconsumption
Traceabilitycriteriaadequatelydefined
Monitoring,corrective actionsandinternal verificationadequately
plannedaccordingtodefinedcriteria
Monitoring,corrective actionsandinternal verificationimplemented
as planned
Monitoringandinternal verificationeffective tocontrol food
hazardsand to ensure foodisfitfor consumption

5. Documentsonraw material supplysystemadequate andupdated
(e.g.Supplierapproval program,systemof traceability)
17. Wrappingand packaging material
Materialsselectednottobe a source of contamination
Materialsstoredsotheyare not exposedtocontaminants
Wrappingand packagingoperationsdesignedtoavoid
contaminationof products
Integrityof container’s constructionandcleanlinessensuredwhere
relevant(e.g.sterilizedcansandglassjars products)
Re-usedpackagingmaterialsare easytocleanand disinfect
18. Water
Adequate supplyof potablewaterinall areaswhere necessary
Supply of cleanseawateradequate inall areaswhere allowed(if
applicable only)
Non-potablewatercirculatedinseparate pipesystem,designedto
preventbackflowtopotable watersystem
Pipe systemfornon-potable waterdulyidentified
Recycledwaterpotable orof adequate qualityforthe purpose used
(if applicable only)
19. Ice
Ice incontact withfisheryproductsmade frompotable wateror
cleanwater
Protectedfromcontaminationduringproduction,handlingand
storage
20. Steam
Steamusedincontact withfoodiscleanand doesnot presentany
hazardsto fisheryproduct
Qualitycriteriaadequatelydefined
Processcriteriaadequatelydefined(chlorine,UV treatment,etc.)

6. Monitoring, corrective actionsandinternal verificationare
adequatelyplannedagainstdefinedcriteria
Monitoring,corrective actionsandinternal verificationimplemented
as planned
Documentsonwatersupplysystemadequate andupdated(mapof
supply system,monitoringplan,resultsof analysis)
21. Food waste and other refuse
Removedquicklyfromroomswhere foodispresent(notallowedto
accumulate)
Depositedinclosablecontainersorotherappropriate waste disposal
systems
Containersconstructedof materialsthatallow easycleaningand
disinfecting
Facilitiesforwaste depositare appropriate constructed,maintained
and easyto clean
Provisionsforwaste storage anddisposal designedandmanagedto
allow cleaningandprotectionfromentrance of pest
Waste eliminatedinahygienicandenvironmentallyfriendlyway
(inaccordance withEU regulation/National regulation)
Proceduresare efficient(objectiveevidence)
22. Hazardous and/or inedible substances(feed,disinfectants,
cleaningagents, etc.)
Adequatelylabelled
Storedinseparate a and secure containers
23. Pest control
Proceduresforcontrollingpestssuchasinsects,mice,rats,and
domesticanimals,etc.in establishmentsurroundingsare planned
and implemented

7. Proceduresforcontrollingpestssuchasinsects,mice,ratsetc.in
processingareasare plannedandimplemented
Proceduresare effective (objectiveevidence)
24. Personal hygiene
All staff memberswearsuitableprotective clothing
Protective clothingare cleanandmaintainedinacleancondition
All staff membersmaintainahighdegree of personalcleanliness
Laundryfacilitiesandproceduresforcleaning protective clothing
are adequate
Proceduresforchangingof dirtyprotective clothesare adequate and
efficient
Facilitiesandproceduresforhandwashingadequatelydesigned,
implementedandmonitored
Use and control of boot baths adequatelydesigned,implemented
and monitored
25. Staff health
Staff whomay carry diseasesthatcan potentiallybe transmitted
throughfoodor have afflictionssuchas infectedwounds,skin
infections,soresordiarrhoeaare not allowedto handle food
Proceduresforstaff reportingof diseasesandafflictionsare
planned,implementedandeffective
Proceduresformonitoringstaff healthare planned,implemented
and effective
26. Sanitation (cleaningand disinfection)
Proceduresforcleaninganddisinfectionof staff facilitiesare
adequatelydescribedandimplementedeffectively
Sanitationproductstechnical specificationsare availableandknown
by responsible staff

8. Criteriaforsanitationare adequatelydefined
Effectivenessof sanitationismonitored
Objective evidence isavailabletoshow thatsanitationprocedures
are effective
27. Traceability,withdrawal and recall procedures
Proceduresforrecall adequate describedand communicatedtoteam
as relevant
Identificationmarkscorrectlyappliedonproductsbefore leavingthe
establishment
Raw materialsfromaquaculture andbivalvemolluscsare traceable
to identifiedprimaryproducerunit
Suppliersof raw materialsfromaquaculture andbivalve molluscs
complywithspecificcriteriatorecordkeepingandlabelling
04: SPECIFIC PROCESS DESIGNCRITERIA AND
CONTROL
28. Proceduresdesignedtoprotect food at all stagesof
production,processingand distribution
Foodprotectedagainstcontaminationthatmayrenderthe product
unfitforhumanconsumptionorinjurioustohealth
Raw materials,intermediaryfoodmaterialsandfinishedproducts
(notfrozen) are keptat temperatures approachingthatof meltingice
throughoutthe cold-chain(exceptwhenpracticalitiesof handling
require otherwise)
Readyto eatproducts are cooleddownimmediatelytotemperatures
approachingthatof meltingice afterfinal processingstage (e.g.
cookedandsmokedproducts)
Thawingprocessesare designedtominimize the riskof pathogenic
microorganismsgrowthorthe formationof toxins
Thawedproductstreatedlike rawmaterials(keptattemperatures
approachingthatof meltingice)

9. Runoff waterfromthawingisproperlydrainedtopreventcross
contamination
29. Freshproducts – raw materialshandling
Storedunderice if not immediatelydistributedorprocessed
Meltwater can drainaway fromthe product/container
Facilitiesforstorage are appropriate tohelpmaintaintemperatures
approachingthatof meltingice
Raw materialsreceivedfromvesselsoraquaculture are storedin
cooledwateror inice at arrival
Headedandgutted raw materialsare cleaned,especiallyinthe belly
area
Headingandgutting(pre-processing)inthe factorycarriedout
underhygienicconditions
Live fishare keptat temperaturesthatdonot adverselyaffecttheir
viabilityorfoodsafety
30. Freshproducts – filletingandcutting of freshproducts
Carriedouthygienically
Toolsusedare clean(procedure describedandimplemented)
Productsremovedfromthe worktableswithoutdelay
Productsappropriatelychilledwithout delay
31. Frozenproducts
Capacityof freezingequipmentissufficienttorapidlyachieve core
temperature of notmore than –18 °C
Capacityincold storesare sufficienttomaintainproduct
temperature atleast –18 °C
Coldstore equippedwitheasytoreadtemperature recordingdevice
Sensorsfortemperature recordingincoldstoresare placedinthe
area withhighesttemperature

10. 34. Training
All staff trainedtoproperlycarryout theirresponsibilitiesand
activities