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HACCP PRP AUDIT CHECKLIST OK M U
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FINDINGS
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1. ADEQUACY
1.1
Responsibility and authority for ensuring compliance with federal, state, governmental and/or
any other appropriate regulatory law or guideline had been clearly assigned to a competent
supervisory-level, person(s).
1.2 A functional organisational chart is maintained
1.3
All departments directly involved in the implementation of HACCP have established an
appropriate budget and support to maintain the proper and timely acquisition of appropriate
tools, materials, equipment, monitoring devices, chemicals and pesticides.
1.4
All employees are aware of their responsibilities, and mechanisms are in place to monitor the
effectiveness of the operation.
2. QUALITY MANUAL
2.1
The Quality Control has an established written procedure or work instruction outlining
responsibilities of each department member and employee.
2.2
These procedures and work instructions are defined in job descriptions, and appropriate
arrangements are in place to cover for the absence of key employees.
2.3
The Quality Manual states XYZ’s commitment to quality and the scope covers the
implementation of the requirements in the standard.
2.4
The Quality Manual is readily available to relevant staff and management regularly review the
management system to ensure continual effectiveness and suitably.
2.5
The Quality Manual includes a clearly defined and documented quality policy statement that
states XYZ’s intention to meet its obligations to produce safe and legal products.
2.6
XYZ’s senior management has demonstrated commitment to the implementation of the
Quality Policy by signing off on this policy. The policy has been communicated throughout
XYZ and is regularly reviewed.
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HACCP PRP AUDIT CHECKLIST OK M U
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FINDINGS
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3. INTERNAL AUDITS
3.1
Records of each audit are an integral part of the requirement and are maintained. Follow-up
audits will be done to ensure that items are corrected.
3.2
XYZ’s audit system and procedures that is critical to product safety, legality and quality, is in
place, appropriate and complied with.
3.3
Audits are scheduled and the scope and frequency are established in relation to the risks
associated with the activities being audited.
3.4
Competent auditors, who are independent of the area that is being assessed, will conduct
internal audits.
3.5
Corrective actions and timescales for their implementation are agreed upon. A record of all-
internal audits and associated corrective actions is maintained.
4. CLEANING
4.1
A daily housekeeping schedule has been undertaken as a formalised written plan. The
schedule specifies frequency, responsibility and post-cleaning evaluation and is up to date.
The schedule includes the outside grounds, building, drains and equipment.
4.2
Detailed equipment cleaning procedures are developed for personnel training and
maintaining the hygiene level of equipment.
4.3
“Deep cleaning” is assigned to the appropriate department(s) and is accomplished by and
consistent with a MCS or its equivalent.
4.4
The use of air hoses for cleaning is permitted only for inaccessible equipment and in
conjunction with deep cleaning operations.
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HACCP PRP AUDIT CHECKLIST OK M U
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4.5
All cleaning procedures are carried out in compliance with applicable safety laws and
regulations and according to formally established equipment cleaning procedures. When
undertaken safely and in compliance with local and national laws and regulations, all
equipment guards, trims, and panels are removed for inspection and cleaning of the interior
of all equipment according to the MCS. All equipment guards, trims, and panels are replaced
after inspection and cleaning of the interior of equipment.
4.6
Equipment and structural "overheads" such as lights, pipes, beams, vent grids, etc., are
scheduled for deep cleaning according to the MCS to prevent the development of insects or
mould or accumulation of foreign matter.
4.7
Daily "Housekeeping or Cosmetic Cleaning" is assigned to the appropriate departments and
undertaken to ensure work and support areas are maintained during normal working hours.
All such operations are undertaken in a manner to prevent contamination.
4.8
Hot water use for cosmetic cleaning in wet production areas is restricted and done in such a
way as to not contaminate raw materials, work-in-progress, or production equipment with
water droplets, mist, or direct contact.
4.9
Maintenance cleaning is undertaken so not to contaminate raw materials, work-in-progress,
or finished product.
4.10 Non-sealed electrical panels and boxes are cleaned and/or inspected every four weeks.
4.11 Non-sealed electrical panels and boxes are cleaned and/or inspected every four weeks.
4.12
Maintenance mess, greases, and excess lubricants created during repairs or alterations are
promptly removed. Emphasis is directed to full accounting of nuts, bolts, washers, wire
pieces, tape, welding rods, and other small items.
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4.13
Only clean tools are used on product zones. Maintenance personnel observed proper
hygienic practices when working on product zones or similar equipment. The use of cleaning
utensils that can leave debris behind on product zones or areas is prohibited unless
absolutely necessary, in which case inspection occurred after use to ensure that no debris
remained that, could contaminate the product. This included the use of wire brushes,
sponges, scrub pads, etc.
4.14
Forklifts, hand jacks, and similar equipment are scheduled for preventive maintenance and
cleaning.
4.15
Product contact surfaces are cleaned on a regular basis and as often as necessary to
eliminate food residue and maintain a good appearance. Surfaces and machinery that
required sanitising are cleaned, sanitised, and tested for adequate destruction of pathogenic
micro-organisms.
4.16
To prevent microbial contamination, equipment are cleaned and sanitised on a
predetermined schedule.
4.17
Intermediate containers are washed between uses, if appropriate (or as needed), and stored
in an inverted position off the floor.
5. DOCUMENTATION AND INSPECTION OF INCOMING MATERIALS
5.1
Documented procedures and records for the inspection and cleaning of incoming vehicles
are maintained.
5.2
Records indicate date of receipts, lot number, carrier, temperature, quantity and product
condition.
5.3 Visual inspection both before and after unloading. These inspections are documented.
5.5
Appropriate specifications are on file for raw materials, finished products and
intermediate/semi processed products. The specifications are adequate and accurate to
ensure compliance with relevant legislation.
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6. HAZARD ANALYSIS CRITICAL CONTROL POINT PROGRAM
6.1 The HACCP program has senior management commitment.
6.2
A team leader has been established and has been trained and demonstrated competence in
understanding and applying HACCP principles.
6.3
A multidisciplinary team has been established and trained. The team has accepted in writing,
the assignment and commitment to HACCP.
6.4
Pre-requisite programs had been developed prior to the HACCP plan. These include
cleaning, hygiene, GMP’s and personnel practices, pest control, preventive maintenance,
chemical control, customer complaints, recall and traceability, supplier specifications and
control, and receiving, storage and shipping.
6.5
Description of each product manufactured and identified hazards inherent to the item
manufactures.
6.6
A hazard analysis study is undertaken for all products, new and old, to identify and assess all
potential safety hazards and associated risks.
6.7
The critical control points are identified and the procedure for controlling the hazard is well
described. The CCP’S identified are controlled and monitored within the predetermined limits
described in the plan.
6.8 The critical limits are identified and scientifically established and recorded.
6.9 Specified monitoring frequency and designated person(s) responsible for testing.
6.10 Established and documented deviation and verification procedures.
6.11
Maintain documentation of procedures, records of conformance, and effective correction
actions resulting from non-conformance.
6.12
Management and employee training are conducted both in HACCP protocol and associated
program documentation. All employees working at a designated CCP area had basic training
and experience.
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7. TRAINING
7.1
The Human Resources departed has created specific, written procedures for providing
training to all personnel, including new employees, and maintain records of training
completion. Training includes written employee policies that has been established for XYZ.
7.2
A documented recall program is on the system for all products manufactured. This
procedure is regularly reviewed. All products are coded, and lot or batch number records are
maintained. Distribution records are maintained to identify the initial distribution and to
facilitate segregation and recall of specific lots.
7.3
All raw material are identified and work in progress, re-work and finished products are
traceable at all stages of manufacturing, storage, dispatch and where appropriate distribution
to customers.
8. NON-CONFORMING PRODUCTS
8.1
Clear procedures for the control of non-conforming work in progress, finished or returned
product are in place and understood by all authorised personnel.
8.2
A suitable trained person evaluates and decides on the disposition of non-conforming
product.
9. PROCESSING RECORDS
9.1
Processing records are maintained and contain sufficient information to comply with
government regulations.
9.2
Written operating procedures, instructions and reference documents verified that processes
and equipment employed are capable of producing consistently safe and legal product with
the desired quality characteristics.
9.3
These written, detailed procedures, instructions and reference document, covers all
processes critical to product safety, legality and quality. The documents are legible,
unambiguous and accessible at all times.
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HACCP PRP AUDIT CHECKLIST OK M U
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9.4
XYZ maintain legible, genuine records to demonstrate the effective control of product safety,
legality and quality.
9.5
In the event of changes to product formulation, processing methods, equipment, XYZ where
appropriate, re-established process characteristics and validated product data, to ensure
product safety, legality and quality. Records are maintained.
9.6
In the case of equipment failure or process deviation, procedures are in place to establish the
safety status of the product, prior to release for further processing or distribution.
9.7
XYZ has procedures to investigate the cause of significant non-conformity to standards,
specifications and procedures that are critical to product safety, legality and quality.
Corrective actions are undertaken in a timely manner to prevent further occurrence of non-
conformity.
9.8
Procedures are in place to ensure reliability of test results. Personnel undertaking analysis is
suitably qualified, and/or trained and are competent to carry out the analysis required.
10. EVALUATION OF SUPPLIERS
10.1
The company has a documented procedure for the evaluation, selection and
maintenance of approved suppliers of goods and services that affects product
quality.
10.2
An up-to-date list of approved and non-approved suppliers is available. The procedures
defined how exceptions are handled, i.e., use of products or services, where inspection or
monitoring had not been undertaken. These procedures included clear criteria for initial and
ongoing assessment and standards of performance required.
10.3
Assessment to monitor performance is done through in-house checks, certificates of
analysis, or extended to supplier inspection, as appropriate.
10.4
Supplier assessment included evaluation of HACCP systems, product safety information, and
legislative requirements. The methods and frequency of assessment is based on the risk to
the organization.
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HACCP PRP AUDIT CHECKLIST OK M U
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10.5
Where the company undertook or subcontracted analyses critical to product safety, legality,
and quality, a competent body independently accredited the laboratory.
10.6
A glass and brittle or hard plastics policy had been written and implemented. The policy
stated that no glass or brittle plastics are to be used in the facility, except where absolutely
necessary. The policy also stated that no glass should be brought into the facility in
employees’ personal effects.
10.7
Included in the policy is a procedure for handling any glass that is broken in the facility. The
procedure also covered any brittle or hard plastic that is broken in a location where it could
jeopardise the product.
10.8
A list of all-essential glass and brittle plastics had been compiled and the items on the list
checked on a regular basis to ensure that any accidental breakage is noted and addressed.
10.9
A formal preventive maintenance program and work order system is in use to priorities the
elements of identified structural equipment, or utensil maintenance problems that could
cause food adulteration. The company ensured that the safety and legality of product is not
jeopardised during maintenance operations
10.10
The facility maintained a formalised in-house pest control program or service from an outside
pest control contractor that included written procedures designed to prevent actual or
potential adulteration from pest activity or use of materials and/or procedures designed to
control pest activity.
11. PEST CONTROL
11.1
Sample labels and the associated Material Safety Data Sheets (MSDS) are maintained for
each pesticide.
11.2 The plant has written procedures for the application of all pesticides.
11.3 Accurate records are maintained for the application of all pesticides.
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11.4
A service contract describing services to be rendered, including chemicals, methods,
precautions, and MSDS.
11.5 Sample labels of all pesticides used.
11.6
Complete and accurate service records describing current pest activity and recommendations
for reducing potential or actual activity.
11.7
Documentation of pesticide application are accurate and maintained in accordance with
government regulations. Records include materials applied, target organism, amount applied,
area applied, method of application, rate of application, date and time treated, and
applicators signature.
11.8 Current copies of the liability insurance certificate and applicators license are on file.
11.9
Outside bait stations had been installed for the control of rats and mice. EPA approved or
registered rodenticide baits or monitoring (non-toxic) feeding blocks are used. The stations
are tamper-resistant, labelled, locked, and secured in place at 50- to 100-feet (15-30 meter)
intervals around the facility's perimeter. Each station is signed and dated on the inside lid by
the inspector following each visit. Reusable plastic ties or other materials easily cut are not
used to secure covers. Only manufacturer supplied or recommended devices are used.
11.10
The outside bait stations are checked on at least a monthly frequency as evidenced by the
service sticker located inside each device.
11.11 The internal rodent control program included devices such as glue boards,
mechanical traps, extended trigger traps but not feeding stations of any kind. These
measures are undertaken around the interior perimeters at 20-40 foot (6.5-13
meter) intervals or at least one trap on each wall less than 20-40 linear feet (6.5-13
meter) in storage areas. Traps are placed on both sides of each overhead and
pedestrian door, where possible. Traps are located in any area where there is
potential for rodent activity.
11.12 The devices are numbered to ease identification.
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11.13 The internal rodent control devices are checked on at least a weekly frequency and
are signed and dated on the interior of the trap by the inspector.
11.14 Maps or schematics showing the locations of rodent control devices are maintained
and kept current. Service labels are inside the devices.
11.15
Electric flying insect control units is used as needed. Units are installed in locations
that did not attract insects from outside the building. Units are not placed within ten
feet of covered or protected products or packaging and at least 25 feet from
exposed product, packaging, and equipment. Ultraviolet bulbs are replaced at least
yearly to ensure maximum efficiency.
11.16
Electric insect units are listed on the MCS for cleaning and monitoring on a regular
basis. The units are cleaned weekly during the peak insect season and at least
monthly during the off-peak Season. Installation and use appeared to follow local,
state, and federal guidelines.
11.17
Electric insect units are listed on the MCS for cleaning and monitoring on a regular
basis. The units are cleaned weekly during the peak insect season and at least
monthly during the off-peak season. Installation and use appeared to follow local,
state, and federal guidelines.
11.18
All pesticide containers and application equipment are properly identified to
correspond with the appropriate pesticide contained therein. Separate and distinct
application equipment is used for herbicides and insecticide applications.
11.19
If pesticide treatment is done in-house, pesticides and pesticide application equipment are
stored in a locked room, preferably in an outside building away from production areas, and
the area must be labelled and maintained for minimum access. The room or outbuilding is of
adequate construction, ventilated, and contained materials necessary to ensure safety in
case of spills, leakage, or personnel injury.
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FINDINGS
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11.20
Disposal of pesticides, pesticide residues, and pesticide containers appeared to be
accomplished in accordance with federal and state regulations or consistent with the label, if
applicable.
11.21
Pest monitoring devices and appropriate integrated pest management strategies are used to
provide ongoing monitoring for pest activity. Staff awareness training should be conducted
and the reporting of problems encouraged.
11.22
No rodents are observed in either the interior or exterior of the plant. There are no sightings
of birds, insects, flies, or rodents in any foods or food related areas.
11.23
The procedures for receipt, storage, and handling of raw materials are done in compliance
with the GMPs.
11.24 Damaged and/or badly soiled or infested containers are not accepted.
11.25
Materials shipped in damaged, dirty, or infested vehicles are rejected. Proper documentation
is maintained specifying defects and reasons for rejection.
11.26
Ingredients, finished goods, packaging, and other items are off the floor and away from walls
and ceilings at least 18 inches (50 cm).
11.27 Adequate space for cleaning is maintained between rows of stored products.
11.28
All ingredients and packaging are stored in clean, well-ventilated, and dry areas and are
protected from condensation, sewage, dust, dirt, toxic chemicals, or other contaminants.
11.29
Rotation of all ingredients, packaging supplies, and other materials are undertaken on a "first-
in, first-out" basis.
11.30
Inventories are maintained at a reasonable and appropriate volume to avoid excessive age
and insect infestation.
11.31
A repalletizing program is implemented for all materials in storage for more than four weeks.
A repalletizing date is affixed near the original receiving date when required.
11.32 Pallets and skids are clean and in good repair.
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FINDINGS
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11.33
All toxic chemicals, including cleaning, maintenance compounds, and non product-related
materials, such as parts and equipment, are segregated from all food ingredients and
packaging supplies. Chemicals are stored in a locked area on containment pallets
11.34
Research and Development materials are confined to a designated area and regularly
inspected for signs of actual or potential contamination.
11.35
A designated morgue or salvage area is provided and fully segregated from usable stock.
Reworking of salvage is done weekly or as necessary to keep quantities at a minimal level.
Rework is clearly identified to maintain traceability.
11.36
Procedures are in place to ensure product is not released unless all release procedures have
been followed. Authorised personnel released product.
11.37 Breather bags and socks are stored in a dust free environment.
11.38
All outside receiving lines or caps to both bulk dry or liquid ingredients are locked and
identified.
11.39
Clear and concise sampling procedures are developed for obtaining quality control samples
from ingredient containers. All openings from sampling are properly resealed and identified.
11.40
Appropriate means of filtering of air or covering the inspection hatch is provided during the
unloading process on bulk vehicles.
12. Transfer and Handling of Materials
12.1
Containers are kept off the floor at all times and covered when not in use. All ingredient
storage containers are properly identified to maintain identity and traceability.
12.2
Confirm maintenance program and relevant checklists for bucket elevators, screw conveyors,
blow lines, sieves, inline magnets and aspiration systems are maintained. Records of the
checks are maintained. Reject tailings are visually examined and inspected at least daily with
observations documented. The records are up-to-date.
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FINDINGS
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12.3
All dry ingredients are sifted and all liquid ingredients strained before use with appropriately
sized monitoring devices.
12.4
All bulk liquid ingredients are provided with accessible and cleanable in-line receiving
strainers. The inspections are documented.
12.5
Rubbish, trash or below spec feed (sweepings) is stored in properly covered-labelled
containers and emptied daily. When rubbish or sweepings are transported, it does not come
in contact with raw materials, work-in-process, or finished product.
12.6 All used raw material bins has individual transfer scoops.
12.7
All mixer meal, work-in-progress, and/or ingredients are properly identified and dated. All
mixer meal are minimised and used promptly at the first opportunity.
13. OPERATIONAL
13.1
Production equipment is installed, and supplies are arranged in an orderly fashion. No
unused equipment is stored in production or ingredient storage areas.
13.2
Spillage, leakage, and waste are promptly removed as part of the daily housekeeping
operations.
13.3
Effective measures are taken to prevent the inclusion of metal, wood, glass, and all other
extraneous materials. This can be accomplished through the use of sifters, magnets,
strainers, and metal detectors at appropriate locations.
13.4
Metal detection is provided on each product line at the last possible point. The metal or
foreign matter detectors incorporated both an alarm, and where applicable, an automatic
rejection device. All diverted contaminants entered a locked box and/or continuously
extruded product is identified via an appropriate mark to identify the location of any
contaminant.
13.5
All such measures are monitored and documented regularly. Procedures for operation,
routine monitoring and testing of the metal and other foreign body detectors are established.
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FINDINGS
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13.6
Corrective action and reporting procedures are in place to respond to any failure of the metal
or foreign body detector. This includes isolation, quarantining, and re-inspection of all food
produced since the last acceptable test of the detector.
13.7
Hand washing stations are provided, where appropriate, with single use paper towels or hand
dryers. All sinks are labelled for intended purpose of use. The sanitizer solution for the hand
sanitising stations is monitored for proper sanitizer concentration if use.
13.8
All washrooms, showers, and locker rooms are maintained in a sanitary manner and kept
free of insects, rodents, and mould "Wash Hands" signs are properly displayed in all rest
rooms, lunchrooms, and smoking areas.
13.9
Production facilities, equipment, and/or accessories are designed or provided to facilitate
minimum hand contact with raw materials, work-in-progress or finished product.
13.10
Effective measures are undertaken to prevent cross contamination between raw materials,
refuse, and finished foods. These measures include limiting the movement of personnel
between these areas.
13.11
Equipment, containers, used to convey, process, hold, or store raw materials, work-in-
process, rework, or finished foods are constructed, handled, and maintained during
processing or storage in a manner that prevent the contamination of raw materials, rework, or
finished foods.
14. DELIVERY
14.1
Finished product has legible code marks that are readily seen. Codes marks satisfied federal
and state packaging requirements and federal “lot” definitions and are used in the product
recall program.
14.2 Distribution records are maintained to identify initial distribution as per federal regulations.
14.3 All shipping vehicles are inspected prior to loading. These inspections are documented.
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14.4
Where the material transported is susceptible to weather damage, vehicles are loaded and
unloaded in covered bays so as to protect the material.
14.5
Responsibility for ensuring compliance by all personnel to plant policy is clearly assigned to
competent supervisory personnel.
14.6 Employees are encouraged to practice good personal hygiene habits at all times.
14.7
Hand washing is performed at a frequency that is appropriate and done any time the hands
became soiled.
15. HYGIENE
15.1 The plant personnel wore clean outer garments.
15.2 Gloves, if worn, are subject to adequate control to avoid product contamination.
15.3
Wore effective hairnets to include where applicable head, beard, and moustache cover to
fully contain hair and beards.
15.4
Removed insecure costume or hand jewellery, including watches, earrings, rings with
settings, false fingernails, fingernail polish, and dangling jewellery. Any exception to this is
spelled out in the company policy and the reasoning behind it explained.
15.5
Eating, drinking, chewing gum, and using tobacco products are restricted to designated areas
only.
15.6
Employee lunches and/or personal effects are not stored or placed in production or ingredient
storage areas.
15.7
Personal items, such as pens, pencils, tools essential to production tasks, or thermometers,
are not carried in shirt pockets when employees are in production areas. Such items when
needed are carried in proper holders below the waist.
15.8
No person with obvious boils sores, infected wounds, or any other infectious or
communicable disease is permitted to contact product.
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15.9
All cuts and grazes are covered by a detectable metal strip bandage, that is company issued,
regularly tested with the metal detector.
15.10 Non company personnel are required to conform to company sanitation policies and GMPs.
15.11
The site is located and maintained so as to prevent contamination and enable the production
of safe and legal products. Consideration had been given to local activities that may have
potentially adverse impact, and measures are taken to prevent product contamination.
16. BUILDING STRUCTURE
16.1
Proper storing of equipment, removal of litter, waste, weeds, or tall grass from within the 20
foot immediate vicinity of the building.
16.2 Maintained roads, yards, and parking lots free of dust or other potential contaminants
16.3 Grounds appeared to have adequate drainage.
16.4
Dumpsters or compactors are installed and maintained to minimise leakage or contained
such leakage to be easily removed and the area cleaned. Containers are closed or covered
as required.
16.5 Necessary measures are in place to maintain site security.
16.6
All painted structural beams, supports, and other structural systems are maintained to
prevent or eliminate any chipping, flaking, and peeling paint.
16.7
Adequate aisles or a workspace is maintained between equipment and structures to allow
adequate cleaning.
16.8
Bulk systems and unloading areas are installed and maintained to prevent the adulteration of
raw materials or finished product.
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FINDINGS
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Who / When / How?
16.9 Floors, walls, and ceilings are cleanable and kept in good repair.
16.10
Adequate floor drains with grates are installed, maintained, and operational in any wet
processing or wash areas.
16.11
Adequate access is provided to the void for all hollow or suspended ceilings to facilitate
cleaning, maintenance or services and inspection for pest activity.
16.12 If roof leaks are present, they are promptly identified and repaired.
16.13
Fixtures, ducts, and pipes are maintained to prevent condensation from contaminating foods,
raw materials, or food-contact surfaces.
16.14
Adequate lighting is provided in all areas. Lightbulbs, fixtures, mirrors, skylights, or other
glass suspended over product zones and areas, ingredients, and packaging supplier are of
the safety type. Where this could not be provided, the glass management system took this
into account.
16.15
Air makeup units are fitted with clean filters and maintained free of mould and algae. Air
return ducts for heating and air conditioning systems are provided with cleaning and
inspection hatches. Fans, blowers, filters, cabinets, and plenums are placed on a
preventative maintenance schedule.
16.16
Fans and other air blowing equipment are located, cleaned, and operated in a manner that
did not cause contamination of raw materials, work-in-progress, finished foods, food
packaging materials, and food-contact surfaces.
16.17
The physical building is maintained to provide necessary barriers for effective protection
against birds, animals, vermin, and insects.
16.18
The maintenance department is responsible for the prevention of and systematic elimination
of leakage and excessive lubrication. Where drive motors are mounted over product zones or
conveyors cross or run parallel to others at different levels, catch pans are installed.
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16.19
Segregation of operations is undertaken to the degree appropriate and reasonable. Such
segregation is accomplished through the use of air curtains, partitions, doors, and/or other
exclusionary systems as appropriate.
16.20
The plant had design standards to apply to all repairs, changes, or modifications of the
structure to reduce the potential for the creations of contamination issues.
17. EQUIPMENT
17.1
All plant equipment and utensils are designed and of such workmanship as to be adequately
cleanable and is properly maintained.
17.2
Temporary materials such as tape, wire, string, cardboard, and plastic are not used for
permanent repairs. If these materials must be used for emergency repairs, they are dated
and replaced with a proper permanent repair as soon as possible.
17.3 Food-contact surfaces are corrosion-free and non-toxic.
17.4 Seams on food-contact surfaces are smoothly bonded. No spot or tack welds are observed.
17.5
All ingredient and product holding, conveying, and processing systems including bulk
systems are designed and constructed in such a way that they could be adequately cleaned
and inspected.
17.6
All ingredient and product holding, conveying, and processing systems including bulk
systems are designed and constructed in such a way that they could be adequately cleaned
and inspected.
17.7
Wooden processing equipment should not be permitted for exposed raw materials, work-in-
progress, or unwrapped finished product.
OK = None M = Minor U = Unsatisfactory
HACCP PRP AUDIT CHECKLIST OK M U
Action
date
FINDINGS
Refer to relevant documents
Who / When / How?
17.8
All regulating and recording controls, thermometers, or other temperature measuring devices
are installed and routinely calibrated on any equipment intended to sterilise, pasteurise, or
otherwise prevent the growth of pathogenic micro-organisms. This calibration is traceable to
a national standard. Thermometers are present inside coolers, freezers, and other
temperature-controlled storage rooms.
17.9
Ongoing monitoring of temperature control systems are frequently undertaken with proper
documentation maintained and readily available. Mechanical monitoring systems are also
utilised and triggered an alarm when temperatures exceeded limits. The temperature
recording devices are linked to suitable failure alarms.
17.10
Compressed air used in processing is properly filtered to remove particles of 50 microns or
larger and did not contain dirt, oil, or water. Traps and/or filters are inspected and/or changed
regularly. The filters for air used on product contact surfaces is located as close to the point
of use as practicable
17.11
Only food-grade lubricants are utilised on food processing machines. All such lubricants are
fully segregated and stored in a secured and designated area.
17.12
Flaking paint on equipment or excessive rust other than normal mild oxidation on mild black
steel or ferrous metal is not present.
17.13
Pan trucks, hand jacks, forklifts, and other transporting equipment are maintained in such a
manner that prevents the adulteration of products being transported.
18. SERVICES
18.1
Plant had a potable water supply from an approved source. Proper documentation is
available.
18.2
The quality of water, steam, or ice that came in contact with food is regularly monitored and
presented no risk to product safety. Boiler chemicals are approved for food contact if the
steam generated came in direct contact with food.
OK = None M = Minor U = Unsatisfactory
HACCP PRP AUDIT CHECKLIST OK M U
Action
date
FINDINGS
Refer to relevant documents
Who / When / How?
18.3
All water installations and equipment is constructed and maintained to prevent back
siphonage and/or backflow.
18.4
The sewage disposal system is adequate and appropriate for the process and maintained to
prevent either direct or indirect contamination of food.
18.5
All washrooms, hand sinks, and locker rooms have both hot and cold running water readily
available. Mix valves to adjust water temperatures are also be provided. Toilet rooms did not
open directly into production, packing, or storage areas.
18.6
Cleaning operations are performed in a manner to prevent contamination of materials and
products. Cleaning or replacement of light fittings and glass is done in a manner to minimise
the potential for product contamination.
18.7
Only cleaning compounds and sanitizer authorised for food contact surfaces are used for
cleaning. Appropriate Verification procedures or testing is done periodically to ensure that the
concentration of Clean-In-Place (CIP) and other cleaning chemicals are consistent with the
product labelling.
18.8
When not in use, all cleaning compounds and sanitizer are properly labelled and stored in a
locked compartment, away from production and food storage areas.
18.9
Cleaning equipment and tools are supplied and readily available for use. All cleaning
equipment is maintained and stored in such a way as not to contaminate foods or food
equipment

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HACCP Check list for practicing HACCP.pdf

  • 1. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 1. ADEQUACY 1.1 Responsibility and authority for ensuring compliance with federal, state, governmental and/or any other appropriate regulatory law or guideline had been clearly assigned to a competent supervisory-level, person(s). 1.2 A functional organisational chart is maintained 1.3 All departments directly involved in the implementation of HACCP have established an appropriate budget and support to maintain the proper and timely acquisition of appropriate tools, materials, equipment, monitoring devices, chemicals and pesticides. 1.4 All employees are aware of their responsibilities, and mechanisms are in place to monitor the effectiveness of the operation. 2. QUALITY MANUAL 2.1 The Quality Control has an established written procedure or work instruction outlining responsibilities of each department member and employee. 2.2 These procedures and work instructions are defined in job descriptions, and appropriate arrangements are in place to cover for the absence of key employees. 2.3 The Quality Manual states XYZ’s commitment to quality and the scope covers the implementation of the requirements in the standard. 2.4 The Quality Manual is readily available to relevant staff and management regularly review the management system to ensure continual effectiveness and suitably. 2.5 The Quality Manual includes a clearly defined and documented quality policy statement that states XYZ’s intention to meet its obligations to produce safe and legal products. 2.6 XYZ’s senior management has demonstrated commitment to the implementation of the Quality Policy by signing off on this policy. The policy has been communicated throughout XYZ and is regularly reviewed.
  • 2. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 3. INTERNAL AUDITS 3.1 Records of each audit are an integral part of the requirement and are maintained. Follow-up audits will be done to ensure that items are corrected. 3.2 XYZ’s audit system and procedures that is critical to product safety, legality and quality, is in place, appropriate and complied with. 3.3 Audits are scheduled and the scope and frequency are established in relation to the risks associated with the activities being audited. 3.4 Competent auditors, who are independent of the area that is being assessed, will conduct internal audits. 3.5 Corrective actions and timescales for their implementation are agreed upon. A record of all- internal audits and associated corrective actions is maintained. 4. CLEANING 4.1 A daily housekeeping schedule has been undertaken as a formalised written plan. The schedule specifies frequency, responsibility and post-cleaning evaluation and is up to date. The schedule includes the outside grounds, building, drains and equipment. 4.2 Detailed equipment cleaning procedures are developed for personnel training and maintaining the hygiene level of equipment. 4.3 “Deep cleaning” is assigned to the appropriate department(s) and is accomplished by and consistent with a MCS or its equivalent. 4.4 The use of air hoses for cleaning is permitted only for inaccessible equipment and in conjunction with deep cleaning operations.
  • 3. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 4.5 All cleaning procedures are carried out in compliance with applicable safety laws and regulations and according to formally established equipment cleaning procedures. When undertaken safely and in compliance with local and national laws and regulations, all equipment guards, trims, and panels are removed for inspection and cleaning of the interior of all equipment according to the MCS. All equipment guards, trims, and panels are replaced after inspection and cleaning of the interior of equipment. 4.6 Equipment and structural "overheads" such as lights, pipes, beams, vent grids, etc., are scheduled for deep cleaning according to the MCS to prevent the development of insects or mould or accumulation of foreign matter. 4.7 Daily "Housekeeping or Cosmetic Cleaning" is assigned to the appropriate departments and undertaken to ensure work and support areas are maintained during normal working hours. All such operations are undertaken in a manner to prevent contamination. 4.8 Hot water use for cosmetic cleaning in wet production areas is restricted and done in such a way as to not contaminate raw materials, work-in-progress, or production equipment with water droplets, mist, or direct contact. 4.9 Maintenance cleaning is undertaken so not to contaminate raw materials, work-in-progress, or finished product. 4.10 Non-sealed electrical panels and boxes are cleaned and/or inspected every four weeks. 4.11 Non-sealed electrical panels and boxes are cleaned and/or inspected every four weeks. 4.12 Maintenance mess, greases, and excess lubricants created during repairs or alterations are promptly removed. Emphasis is directed to full accounting of nuts, bolts, washers, wire pieces, tape, welding rods, and other small items.
  • 4. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 4.13 Only clean tools are used on product zones. Maintenance personnel observed proper hygienic practices when working on product zones or similar equipment. The use of cleaning utensils that can leave debris behind on product zones or areas is prohibited unless absolutely necessary, in which case inspection occurred after use to ensure that no debris remained that, could contaminate the product. This included the use of wire brushes, sponges, scrub pads, etc. 4.14 Forklifts, hand jacks, and similar equipment are scheduled for preventive maintenance and cleaning. 4.15 Product contact surfaces are cleaned on a regular basis and as often as necessary to eliminate food residue and maintain a good appearance. Surfaces and machinery that required sanitising are cleaned, sanitised, and tested for adequate destruction of pathogenic micro-organisms. 4.16 To prevent microbial contamination, equipment are cleaned and sanitised on a predetermined schedule. 4.17 Intermediate containers are washed between uses, if appropriate (or as needed), and stored in an inverted position off the floor. 5. DOCUMENTATION AND INSPECTION OF INCOMING MATERIALS 5.1 Documented procedures and records for the inspection and cleaning of incoming vehicles are maintained. 5.2 Records indicate date of receipts, lot number, carrier, temperature, quantity and product condition. 5.3 Visual inspection both before and after unloading. These inspections are documented. 5.5 Appropriate specifications are on file for raw materials, finished products and intermediate/semi processed products. The specifications are adequate and accurate to ensure compliance with relevant legislation.
  • 5. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 6. HAZARD ANALYSIS CRITICAL CONTROL POINT PROGRAM 6.1 The HACCP program has senior management commitment. 6.2 A team leader has been established and has been trained and demonstrated competence in understanding and applying HACCP principles. 6.3 A multidisciplinary team has been established and trained. The team has accepted in writing, the assignment and commitment to HACCP. 6.4 Pre-requisite programs had been developed prior to the HACCP plan. These include cleaning, hygiene, GMP’s and personnel practices, pest control, preventive maintenance, chemical control, customer complaints, recall and traceability, supplier specifications and control, and receiving, storage and shipping. 6.5 Description of each product manufactured and identified hazards inherent to the item manufactures. 6.6 A hazard analysis study is undertaken for all products, new and old, to identify and assess all potential safety hazards and associated risks. 6.7 The critical control points are identified and the procedure for controlling the hazard is well described. The CCP’S identified are controlled and monitored within the predetermined limits described in the plan. 6.8 The critical limits are identified and scientifically established and recorded. 6.9 Specified monitoring frequency and designated person(s) responsible for testing. 6.10 Established and documented deviation and verification procedures. 6.11 Maintain documentation of procedures, records of conformance, and effective correction actions resulting from non-conformance. 6.12 Management and employee training are conducted both in HACCP protocol and associated program documentation. All employees working at a designated CCP area had basic training and experience.
  • 6. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 7. TRAINING 7.1 The Human Resources departed has created specific, written procedures for providing training to all personnel, including new employees, and maintain records of training completion. Training includes written employee policies that has been established for XYZ. 7.2 A documented recall program is on the system for all products manufactured. This procedure is regularly reviewed. All products are coded, and lot or batch number records are maintained. Distribution records are maintained to identify the initial distribution and to facilitate segregation and recall of specific lots. 7.3 All raw material are identified and work in progress, re-work and finished products are traceable at all stages of manufacturing, storage, dispatch and where appropriate distribution to customers. 8. NON-CONFORMING PRODUCTS 8.1 Clear procedures for the control of non-conforming work in progress, finished or returned product are in place and understood by all authorised personnel. 8.2 A suitable trained person evaluates and decides on the disposition of non-conforming product. 9. PROCESSING RECORDS 9.1 Processing records are maintained and contain sufficient information to comply with government regulations. 9.2 Written operating procedures, instructions and reference documents verified that processes and equipment employed are capable of producing consistently safe and legal product with the desired quality characteristics. 9.3 These written, detailed procedures, instructions and reference document, covers all processes critical to product safety, legality and quality. The documents are legible, unambiguous and accessible at all times.
  • 7. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 9.4 XYZ maintain legible, genuine records to demonstrate the effective control of product safety, legality and quality. 9.5 In the event of changes to product formulation, processing methods, equipment, XYZ where appropriate, re-established process characteristics and validated product data, to ensure product safety, legality and quality. Records are maintained. 9.6 In the case of equipment failure or process deviation, procedures are in place to establish the safety status of the product, prior to release for further processing or distribution. 9.7 XYZ has procedures to investigate the cause of significant non-conformity to standards, specifications and procedures that are critical to product safety, legality and quality. Corrective actions are undertaken in a timely manner to prevent further occurrence of non- conformity. 9.8 Procedures are in place to ensure reliability of test results. Personnel undertaking analysis is suitably qualified, and/or trained and are competent to carry out the analysis required. 10. EVALUATION OF SUPPLIERS 10.1 The company has a documented procedure for the evaluation, selection and maintenance of approved suppliers of goods and services that affects product quality. 10.2 An up-to-date list of approved and non-approved suppliers is available. The procedures defined how exceptions are handled, i.e., use of products or services, where inspection or monitoring had not been undertaken. These procedures included clear criteria for initial and ongoing assessment and standards of performance required. 10.3 Assessment to monitor performance is done through in-house checks, certificates of analysis, or extended to supplier inspection, as appropriate. 10.4 Supplier assessment included evaluation of HACCP systems, product safety information, and legislative requirements. The methods and frequency of assessment is based on the risk to the organization.
  • 8. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 10.5 Where the company undertook or subcontracted analyses critical to product safety, legality, and quality, a competent body independently accredited the laboratory. 10.6 A glass and brittle or hard plastics policy had been written and implemented. The policy stated that no glass or brittle plastics are to be used in the facility, except where absolutely necessary. The policy also stated that no glass should be brought into the facility in employees’ personal effects. 10.7 Included in the policy is a procedure for handling any glass that is broken in the facility. The procedure also covered any brittle or hard plastic that is broken in a location where it could jeopardise the product. 10.8 A list of all-essential glass and brittle plastics had been compiled and the items on the list checked on a regular basis to ensure that any accidental breakage is noted and addressed. 10.9 A formal preventive maintenance program and work order system is in use to priorities the elements of identified structural equipment, or utensil maintenance problems that could cause food adulteration. The company ensured that the safety and legality of product is not jeopardised during maintenance operations 10.10 The facility maintained a formalised in-house pest control program or service from an outside pest control contractor that included written procedures designed to prevent actual or potential adulteration from pest activity or use of materials and/or procedures designed to control pest activity. 11. PEST CONTROL 11.1 Sample labels and the associated Material Safety Data Sheets (MSDS) are maintained for each pesticide. 11.2 The plant has written procedures for the application of all pesticides. 11.3 Accurate records are maintained for the application of all pesticides.
  • 9. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 11.4 A service contract describing services to be rendered, including chemicals, methods, precautions, and MSDS. 11.5 Sample labels of all pesticides used. 11.6 Complete and accurate service records describing current pest activity and recommendations for reducing potential or actual activity. 11.7 Documentation of pesticide application are accurate and maintained in accordance with government regulations. Records include materials applied, target organism, amount applied, area applied, method of application, rate of application, date and time treated, and applicators signature. 11.8 Current copies of the liability insurance certificate and applicators license are on file. 11.9 Outside bait stations had been installed for the control of rats and mice. EPA approved or registered rodenticide baits or monitoring (non-toxic) feeding blocks are used. The stations are tamper-resistant, labelled, locked, and secured in place at 50- to 100-feet (15-30 meter) intervals around the facility's perimeter. Each station is signed and dated on the inside lid by the inspector following each visit. Reusable plastic ties or other materials easily cut are not used to secure covers. Only manufacturer supplied or recommended devices are used. 11.10 The outside bait stations are checked on at least a monthly frequency as evidenced by the service sticker located inside each device. 11.11 The internal rodent control program included devices such as glue boards, mechanical traps, extended trigger traps but not feeding stations of any kind. These measures are undertaken around the interior perimeters at 20-40 foot (6.5-13 meter) intervals or at least one trap on each wall less than 20-40 linear feet (6.5-13 meter) in storage areas. Traps are placed on both sides of each overhead and pedestrian door, where possible. Traps are located in any area where there is potential for rodent activity. 11.12 The devices are numbered to ease identification.
  • 10. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 11.13 The internal rodent control devices are checked on at least a weekly frequency and are signed and dated on the interior of the trap by the inspector. 11.14 Maps or schematics showing the locations of rodent control devices are maintained and kept current. Service labels are inside the devices. 11.15 Electric flying insect control units is used as needed. Units are installed in locations that did not attract insects from outside the building. Units are not placed within ten feet of covered or protected products or packaging and at least 25 feet from exposed product, packaging, and equipment. Ultraviolet bulbs are replaced at least yearly to ensure maximum efficiency. 11.16 Electric insect units are listed on the MCS for cleaning and monitoring on a regular basis. The units are cleaned weekly during the peak insect season and at least monthly during the off-peak Season. Installation and use appeared to follow local, state, and federal guidelines. 11.17 Electric insect units are listed on the MCS for cleaning and monitoring on a regular basis. The units are cleaned weekly during the peak insect season and at least monthly during the off-peak season. Installation and use appeared to follow local, state, and federal guidelines. 11.18 All pesticide containers and application equipment are properly identified to correspond with the appropriate pesticide contained therein. Separate and distinct application equipment is used for herbicides and insecticide applications. 11.19 If pesticide treatment is done in-house, pesticides and pesticide application equipment are stored in a locked room, preferably in an outside building away from production areas, and the area must be labelled and maintained for minimum access. The room or outbuilding is of adequate construction, ventilated, and contained materials necessary to ensure safety in case of spills, leakage, or personnel injury.
  • 11. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 11.20 Disposal of pesticides, pesticide residues, and pesticide containers appeared to be accomplished in accordance with federal and state regulations or consistent with the label, if applicable. 11.21 Pest monitoring devices and appropriate integrated pest management strategies are used to provide ongoing monitoring for pest activity. Staff awareness training should be conducted and the reporting of problems encouraged. 11.22 No rodents are observed in either the interior or exterior of the plant. There are no sightings of birds, insects, flies, or rodents in any foods or food related areas. 11.23 The procedures for receipt, storage, and handling of raw materials are done in compliance with the GMPs. 11.24 Damaged and/or badly soiled or infested containers are not accepted. 11.25 Materials shipped in damaged, dirty, or infested vehicles are rejected. Proper documentation is maintained specifying defects and reasons for rejection. 11.26 Ingredients, finished goods, packaging, and other items are off the floor and away from walls and ceilings at least 18 inches (50 cm). 11.27 Adequate space for cleaning is maintained between rows of stored products. 11.28 All ingredients and packaging are stored in clean, well-ventilated, and dry areas and are protected from condensation, sewage, dust, dirt, toxic chemicals, or other contaminants. 11.29 Rotation of all ingredients, packaging supplies, and other materials are undertaken on a "first- in, first-out" basis. 11.30 Inventories are maintained at a reasonable and appropriate volume to avoid excessive age and insect infestation. 11.31 A repalletizing program is implemented for all materials in storage for more than four weeks. A repalletizing date is affixed near the original receiving date when required. 11.32 Pallets and skids are clean and in good repair.
  • 12. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 11.33 All toxic chemicals, including cleaning, maintenance compounds, and non product-related materials, such as parts and equipment, are segregated from all food ingredients and packaging supplies. Chemicals are stored in a locked area on containment pallets 11.34 Research and Development materials are confined to a designated area and regularly inspected for signs of actual or potential contamination. 11.35 A designated morgue or salvage area is provided and fully segregated from usable stock. Reworking of salvage is done weekly or as necessary to keep quantities at a minimal level. Rework is clearly identified to maintain traceability. 11.36 Procedures are in place to ensure product is not released unless all release procedures have been followed. Authorised personnel released product. 11.37 Breather bags and socks are stored in a dust free environment. 11.38 All outside receiving lines or caps to both bulk dry or liquid ingredients are locked and identified. 11.39 Clear and concise sampling procedures are developed for obtaining quality control samples from ingredient containers. All openings from sampling are properly resealed and identified. 11.40 Appropriate means of filtering of air or covering the inspection hatch is provided during the unloading process on bulk vehicles. 12. Transfer and Handling of Materials 12.1 Containers are kept off the floor at all times and covered when not in use. All ingredient storage containers are properly identified to maintain identity and traceability. 12.2 Confirm maintenance program and relevant checklists for bucket elevators, screw conveyors, blow lines, sieves, inline magnets and aspiration systems are maintained. Records of the checks are maintained. Reject tailings are visually examined and inspected at least daily with observations documented. The records are up-to-date.
  • 13. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 12.3 All dry ingredients are sifted and all liquid ingredients strained before use with appropriately sized monitoring devices. 12.4 All bulk liquid ingredients are provided with accessible and cleanable in-line receiving strainers. The inspections are documented. 12.5 Rubbish, trash or below spec feed (sweepings) is stored in properly covered-labelled containers and emptied daily. When rubbish or sweepings are transported, it does not come in contact with raw materials, work-in-process, or finished product. 12.6 All used raw material bins has individual transfer scoops. 12.7 All mixer meal, work-in-progress, and/or ingredients are properly identified and dated. All mixer meal are minimised and used promptly at the first opportunity. 13. OPERATIONAL 13.1 Production equipment is installed, and supplies are arranged in an orderly fashion. No unused equipment is stored in production or ingredient storage areas. 13.2 Spillage, leakage, and waste are promptly removed as part of the daily housekeeping operations. 13.3 Effective measures are taken to prevent the inclusion of metal, wood, glass, and all other extraneous materials. This can be accomplished through the use of sifters, magnets, strainers, and metal detectors at appropriate locations. 13.4 Metal detection is provided on each product line at the last possible point. The metal or foreign matter detectors incorporated both an alarm, and where applicable, an automatic rejection device. All diverted contaminants entered a locked box and/or continuously extruded product is identified via an appropriate mark to identify the location of any contaminant. 13.5 All such measures are monitored and documented regularly. Procedures for operation, routine monitoring and testing of the metal and other foreign body detectors are established.
  • 14. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 13.6 Corrective action and reporting procedures are in place to respond to any failure of the metal or foreign body detector. This includes isolation, quarantining, and re-inspection of all food produced since the last acceptable test of the detector. 13.7 Hand washing stations are provided, where appropriate, with single use paper towels or hand dryers. All sinks are labelled for intended purpose of use. The sanitizer solution for the hand sanitising stations is monitored for proper sanitizer concentration if use. 13.8 All washrooms, showers, and locker rooms are maintained in a sanitary manner and kept free of insects, rodents, and mould "Wash Hands" signs are properly displayed in all rest rooms, lunchrooms, and smoking areas. 13.9 Production facilities, equipment, and/or accessories are designed or provided to facilitate minimum hand contact with raw materials, work-in-progress or finished product. 13.10 Effective measures are undertaken to prevent cross contamination between raw materials, refuse, and finished foods. These measures include limiting the movement of personnel between these areas. 13.11 Equipment, containers, used to convey, process, hold, or store raw materials, work-in- process, rework, or finished foods are constructed, handled, and maintained during processing or storage in a manner that prevent the contamination of raw materials, rework, or finished foods. 14. DELIVERY 14.1 Finished product has legible code marks that are readily seen. Codes marks satisfied federal and state packaging requirements and federal “lot” definitions and are used in the product recall program. 14.2 Distribution records are maintained to identify initial distribution as per federal regulations. 14.3 All shipping vehicles are inspected prior to loading. These inspections are documented.
  • 15. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 14.4 Where the material transported is susceptible to weather damage, vehicles are loaded and unloaded in covered bays so as to protect the material. 14.5 Responsibility for ensuring compliance by all personnel to plant policy is clearly assigned to competent supervisory personnel. 14.6 Employees are encouraged to practice good personal hygiene habits at all times. 14.7 Hand washing is performed at a frequency that is appropriate and done any time the hands became soiled. 15. HYGIENE 15.1 The plant personnel wore clean outer garments. 15.2 Gloves, if worn, are subject to adequate control to avoid product contamination. 15.3 Wore effective hairnets to include where applicable head, beard, and moustache cover to fully contain hair and beards. 15.4 Removed insecure costume or hand jewellery, including watches, earrings, rings with settings, false fingernails, fingernail polish, and dangling jewellery. Any exception to this is spelled out in the company policy and the reasoning behind it explained. 15.5 Eating, drinking, chewing gum, and using tobacco products are restricted to designated areas only. 15.6 Employee lunches and/or personal effects are not stored or placed in production or ingredient storage areas. 15.7 Personal items, such as pens, pencils, tools essential to production tasks, or thermometers, are not carried in shirt pockets when employees are in production areas. Such items when needed are carried in proper holders below the waist. 15.8 No person with obvious boils sores, infected wounds, or any other infectious or communicable disease is permitted to contact product.
  • 16. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 15.9 All cuts and grazes are covered by a detectable metal strip bandage, that is company issued, regularly tested with the metal detector. 15.10 Non company personnel are required to conform to company sanitation policies and GMPs. 15.11 The site is located and maintained so as to prevent contamination and enable the production of safe and legal products. Consideration had been given to local activities that may have potentially adverse impact, and measures are taken to prevent product contamination. 16. BUILDING STRUCTURE 16.1 Proper storing of equipment, removal of litter, waste, weeds, or tall grass from within the 20 foot immediate vicinity of the building. 16.2 Maintained roads, yards, and parking lots free of dust or other potential contaminants 16.3 Grounds appeared to have adequate drainage. 16.4 Dumpsters or compactors are installed and maintained to minimise leakage or contained such leakage to be easily removed and the area cleaned. Containers are closed or covered as required. 16.5 Necessary measures are in place to maintain site security. 16.6 All painted structural beams, supports, and other structural systems are maintained to prevent or eliminate any chipping, flaking, and peeling paint. 16.7 Adequate aisles or a workspace is maintained between equipment and structures to allow adequate cleaning. 16.8 Bulk systems and unloading areas are installed and maintained to prevent the adulteration of raw materials or finished product.
  • 17. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 16.9 Floors, walls, and ceilings are cleanable and kept in good repair. 16.10 Adequate floor drains with grates are installed, maintained, and operational in any wet processing or wash areas. 16.11 Adequate access is provided to the void for all hollow or suspended ceilings to facilitate cleaning, maintenance or services and inspection for pest activity. 16.12 If roof leaks are present, they are promptly identified and repaired. 16.13 Fixtures, ducts, and pipes are maintained to prevent condensation from contaminating foods, raw materials, or food-contact surfaces. 16.14 Adequate lighting is provided in all areas. Lightbulbs, fixtures, mirrors, skylights, or other glass suspended over product zones and areas, ingredients, and packaging supplier are of the safety type. Where this could not be provided, the glass management system took this into account. 16.15 Air makeup units are fitted with clean filters and maintained free of mould and algae. Air return ducts for heating and air conditioning systems are provided with cleaning and inspection hatches. Fans, blowers, filters, cabinets, and plenums are placed on a preventative maintenance schedule. 16.16 Fans and other air blowing equipment are located, cleaned, and operated in a manner that did not cause contamination of raw materials, work-in-progress, finished foods, food packaging materials, and food-contact surfaces. 16.17 The physical building is maintained to provide necessary barriers for effective protection against birds, animals, vermin, and insects. 16.18 The maintenance department is responsible for the prevention of and systematic elimination of leakage and excessive lubrication. Where drive motors are mounted over product zones or conveyors cross or run parallel to others at different levels, catch pans are installed.
  • 18. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 16.19 Segregation of operations is undertaken to the degree appropriate and reasonable. Such segregation is accomplished through the use of air curtains, partitions, doors, and/or other exclusionary systems as appropriate. 16.20 The plant had design standards to apply to all repairs, changes, or modifications of the structure to reduce the potential for the creations of contamination issues. 17. EQUIPMENT 17.1 All plant equipment and utensils are designed and of such workmanship as to be adequately cleanable and is properly maintained. 17.2 Temporary materials such as tape, wire, string, cardboard, and plastic are not used for permanent repairs. If these materials must be used for emergency repairs, they are dated and replaced with a proper permanent repair as soon as possible. 17.3 Food-contact surfaces are corrosion-free and non-toxic. 17.4 Seams on food-contact surfaces are smoothly bonded. No spot or tack welds are observed. 17.5 All ingredient and product holding, conveying, and processing systems including bulk systems are designed and constructed in such a way that they could be adequately cleaned and inspected. 17.6 All ingredient and product holding, conveying, and processing systems including bulk systems are designed and constructed in such a way that they could be adequately cleaned and inspected. 17.7 Wooden processing equipment should not be permitted for exposed raw materials, work-in- progress, or unwrapped finished product.
  • 19. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 17.8 All regulating and recording controls, thermometers, or other temperature measuring devices are installed and routinely calibrated on any equipment intended to sterilise, pasteurise, or otherwise prevent the growth of pathogenic micro-organisms. This calibration is traceable to a national standard. Thermometers are present inside coolers, freezers, and other temperature-controlled storage rooms. 17.9 Ongoing monitoring of temperature control systems are frequently undertaken with proper documentation maintained and readily available. Mechanical monitoring systems are also utilised and triggered an alarm when temperatures exceeded limits. The temperature recording devices are linked to suitable failure alarms. 17.10 Compressed air used in processing is properly filtered to remove particles of 50 microns or larger and did not contain dirt, oil, or water. Traps and/or filters are inspected and/or changed regularly. The filters for air used on product contact surfaces is located as close to the point of use as practicable 17.11 Only food-grade lubricants are utilised on food processing machines. All such lubricants are fully segregated and stored in a secured and designated area. 17.12 Flaking paint on equipment or excessive rust other than normal mild oxidation on mild black steel or ferrous metal is not present. 17.13 Pan trucks, hand jacks, forklifts, and other transporting equipment are maintained in such a manner that prevents the adulteration of products being transported. 18. SERVICES 18.1 Plant had a potable water supply from an approved source. Proper documentation is available. 18.2 The quality of water, steam, or ice that came in contact with food is regularly monitored and presented no risk to product safety. Boiler chemicals are approved for food contact if the steam generated came in direct contact with food.
  • 20. OK = None M = Minor U = Unsatisfactory HACCP PRP AUDIT CHECKLIST OK M U Action date FINDINGS Refer to relevant documents Who / When / How? 18.3 All water installations and equipment is constructed and maintained to prevent back siphonage and/or backflow. 18.4 The sewage disposal system is adequate and appropriate for the process and maintained to prevent either direct or indirect contamination of food. 18.5 All washrooms, hand sinks, and locker rooms have both hot and cold running water readily available. Mix valves to adjust water temperatures are also be provided. Toilet rooms did not open directly into production, packing, or storage areas. 18.6 Cleaning operations are performed in a manner to prevent contamination of materials and products. Cleaning or replacement of light fittings and glass is done in a manner to minimise the potential for product contamination. 18.7 Only cleaning compounds and sanitizer authorised for food contact surfaces are used for cleaning. Appropriate Verification procedures or testing is done periodically to ensure that the concentration of Clean-In-Place (CIP) and other cleaning chemicals are consistent with the product labelling. 18.8 When not in use, all cleaning compounds and sanitizer are properly labelled and stored in a locked compartment, away from production and food storage areas. 18.9 Cleaning equipment and tools are supplied and readily available for use. All cleaning equipment is maintained and stored in such a way as not to contaminate foods or food equipment