Food Safety Audit - HACCP

• Audit Title

• Client / Site

• License / Registration Number

• Prepared by

• Location
  Address

• Conducted on

  Date

Food Safety Policy

• Is the Food Safety Policy current, signed, dated and clearly identifies the business obligation to food safety, supply of safe food and compliance with legislation and customer requirements?

  Yes

  No

  N/A

1. FOOD SAFETY

1.1 HACCP PROGRAM

1.1.1 HACCP program

• Has a HACCP Team assembled?

  Critical

  Major

  Minor

  Compliant

• Has a HACCP Champion been appointed?

  Critical

  Major

  Minor

  Compliant

• Scope of HACCP identified?

  Critical

  Major

  Minor

  Compliant

• Product descriptions completed for all products?

  Critical

  Major

  Minor

  Compliant

• Master Flow Charts and Child charts completed?

  Critical

  Major

  Minor

  Compliant

• All inputs and outputs identified in the flow charts?

  Critical

  Major

  Minor

  Compliant

• Plan signed and date?

  Critical

  Major

  Minor

  Compliant

1.1.2 Hazard Risk Analysis

• Hazard analysis table completed?

  Critical

  Major

  Minor

  Compliant

• Hazard analysis undertaken at all steps identified in the flow charts

  Critical

  Major

  Minor

  Compliant

• All types hazards have been assessed at all steps in flow chart and are appropriate and identified if significant?

  Critical

  Major

  Minor

  Compliant

1.1.3 Critical Control Points (CCP)

• Hazard Audit Table completed?

  Critical

  Major

  Minor

  Compliant

• Critical Control Points (CCP) identified for each significant hazard?

  Critical

  Major

  Minor

  Compliant

• Critical limit and control points identified for each CCP?

  Critical

  Major

  Minor

  Compliant

1.1.4 Critical Limits

• Critical limits appropriate for CCP?

  Critical

  Major

  Minor

  Compliant

• Critical limit validation support CCP?

  Critical

  Major

  Minor

  Compliant

• Critical Limit based on sound scientific evidence?

  Critical

  Major

  Minor

  Compliant

1.1.5 CCP monitoring

• Monitoring procedure in place for each CCP identifying; what, how, when and by whom it is to be monitored?

  Critical

  Major

  Minor

  Compliant

• Frequency of monitoring appropriate for CCP?

  Critical

  Major

  Minor

  Compliant

1.1.6 Corrective Actions (CA)

• Records kept for each CCP? And appropriate corrective action for non-compliance?

  Critical

  Major

  Minor

  Compliant

• CA address both product and plant?

  Critical

  Major

  Minor

  Compliant

• CA defines responsibilities and preventative actions?

  Critical

  Major

  Minor

  Compliant

1.1.7 Records

• Monitoring records available?

  Critical

  Major

  Minor

  Compliant

• CA records available?

  Critical

  Major

  Minor

  Compliant

• Records completed correctly and not ambiguous?

  Critical

  Major

  Minor

  Compliant

1.1.8 Verification

• Verification activities taken place to ensure both the monitoring and review of CCP are covered and appropriate actions completed?

  Critical

  Major

  Minor

  Compliant

• HACCP review completed annually?

  Critical

  Major

  Minor

  Compliant

• HACCP review completed when change to plant, product or process has occurred?

  Critical

  Major

  Minor

  Compliant

• HACCP program has been communicated to floor personal?

  Critical

  Major

  Minor

  Compliant

1.2 RECALL and COMPLAINTS

1.2.1 Recall Policy

• Recall action team listed,,complete and appropriate?

  Critical

  Major

  Minor

  Compliant

• Recall coordinator indent infield?

  Critical

  Major

  Minor

  Compliant

• Recall prosecuted complies with FSANZ protocol (7th edition)

  Critical

  Major

  Minor

  Compliant

• Recall contact names and numbers current including customers, state and federal authorities where required?

  Critical

  Major

  Minor

  Compliant

1.2.2 Recall SOP

• SOP coherent and easy to follow?

  Critical

  Major

  Minor

  Compliant

1.2.3 Mock Recall

• Mock recall completed at least annually?

  Critical

  Major

  Minor

  Compliant

• Result documented and auctioned appropriately (quantity, time, customers, dates etc)

  Critical

  Major

  Minor

  Compliant

• Corrective and preventative actions completed and assessed for effectiveness?

  Critical

  Major

  Minor

  Compliant

1.2.4 Complaints

• Complaints recorded and action appropriately?

  Critical

  Major

  Minor

  Compliant

1.3 FOREIGN MATERIAL CONTAMINATION and CONTROL

1.3.1 Foreign Material control

• Insects lights at least 10 meters from product and processing lines?

  Critical

  Major

  Minor

  Compliant

• Processing lines and equipment maintained and / or cleaned?

  Critical

  Major

  Minor

  Compliant

• Product contact equipment maintained and clean?

  Critical

  Major

  Minor

  Compliant

• Maintenance tools and equipment stored correctly, maintained and clean?

  Critical

  Major

  Minor

  Compliant

• Light protected and shatter proof throughout processing and storage areas?

  Critical

  Major

  Minor

  Compliant

1.3.2 Dangerous substances

• Are dangerous substances clearly labelled?

  Critical

  Major

  Minor

  Compliant

• Are dangerous substances segregated?

  Critical

  Major

  Minor

  Compliant

• Are dangerous substances kept under restricted access?

  Critical

  Major

  Minor

  Compliant

• Are dangerous substances stored in a bunded area where required?

  Critical

  Major

  Minor

  Compliant

1.3.3 Dangerous substances records

• Is a log kept for dangerous substances including the use date, amount and whom accessed?

  Critical

  Major

  Minor

  Compliant

1.3.4 Glass and hard Plastic Policy

• Glass and Hard plastic policy documented, signed and dated?

  Critical

  Major

  Minor

  Compliant

• Breakage procedure including corrective action, and product hold?

  Critical

  Major

  Minor

  Compliant

• Glass and hard plastic inventory (windows, door, gauges etc), identified?

  Critical

  Major

  Minor

  Compliant

1.3.5 Foreign Material Detection

• Are magnets, metal sectors, screens, filter in place for freeing material?

  Critical

  Major

  Minor

  Compliant

• Magnets checked before start up, during process and end of production? Records kept and action taken?

  Critical

  Major

  Minor

  Compliant

• Metal detector checked before start up, during process and end of production? Records kept and action taken? (Ferrous and non-ferrous metals)

  Critical

  Major

  Minor

  Compliant

1.3.6 Fluids and lubricants

• Inventory of fluids and lubricants kept and up to date?

  Critical

  Major

  Minor

  Compliant

• Are fluids and lubricants food grade?

  Critical

  Major

  Minor

  Compliant

• MSDS and IOA's available for all fluids and lubricants?

  Critical

  Major

  Minor

  Compliant

• Is a log of fluids and lubricant kept?

  Critical

  Major

  Minor

  Compliant

• Fluid and lubricants stored correctly with bundling in place and under security?

  Critical

  Major

  Minor

  Compliant

• Spill kit available, identified and maintained?

  Critical

  Major

  Minor

  Compliant

1.4 ALLERGENS

1.4.1 Allergen Policy and Management

• Allergen policy in place to minimise or reduce the risk of contamination?

  Critical

  Major

  Minor

  Compliant

1.4.2 Product Allergen Matrix

• Allergens listed by product / process line?

  Critical

  Major

  Minor

  Compliant

1.4.3 Prescribe llergens

• Does the program list all allergens used on site?

  Critical

  Major

  Minor

  Compliant

1.4.4 Allergens identified in the HACCP Plan

• Allergens identified in the HACCP Plan and audit tables?

  Critical

  Major

  Minor

  Compliant

1.4.5 Allergen production schedule

• Production schedule identifies allergens in production runs and when cleaning is required?

  Critical

  Major

  Minor

  Compliant

1.4.6 Allergen handling procedure?

• Procedure clearly identifies identification, storage, record keeping do allergens on site?

  Critical

  Major

  Minor

  Compliant

2. PREREQUISITE PROGRAMS

2.1 Product Specifications and legislative requirements

2.1.1 Product specification

• Specification available and completed?

  Critical

  Major

  Minor

  Compliant

• Product specifications signed and dated (minor only)

  Critical

  Major

  Minor

  Compliant

2.1.2 Are specs accurate

• Accurate specification available.

  Critical

  Major

  Minor

  Compliant

• Label does not match specification.

  Critical

  Major

  Minor

  Compliant

2.1.3 Retention Samples

• Retention samples available?

  Critical

  Major

  Minor

  Compliant

• Retention samples kept, date with production date and recheck date records?

  Critical

  Major

  Minor

  Compliant

2.1.4 Documented testing procedure

• Documented testing schedule?

  Critical

  Major

  Minor

  Compliant

• Testing schedule incomplete?

  Critical

  Major

  Minor

  Compliant

• Testing schedule not being followed?

  Critical

  Major

  Minor

  Compliant

• Testing rationale not scientific?

  Critical

  Major

  Minor

  Compliant

2.1.5 Micro results

• Testing frequency inadequate ?

  Critical

  Major

  Minor

  Compliant

• Testing method inadequate?

  Critical

  Major

  Minor

  Compliant

• Corrective action for out of limit results?

  Critical

  Major

  Minor

  Compliant

2.1.6 Physio/Chemical results

• Physio/chem testing inadequate?

  Critical

  Major

  Minor

  Compliant

• Physio/chem testing method inadequate?

  Critical

  Major

  Minor

  Compliant

• Corrective action for out of limit results?

  Critical

  Major

  Minor

  Compliant

2.1.7 sensory evaluation

• Systematic sensory evaluation records?

  Critical

  Major

  Minor

  Compliant

• Sensory evaluation frequency inadequate?

  Critical

  Major

  Minor

  Compliant

• Sensory evaluation records lacking detail?

  Critical

  Major

  Minor

  Compliant

• Corrective action completed where issues identified?

  Critical

  Major

  Minor

  Compliant

2.1.8 Shelf life validation

• No data supporting shelf life?

  Critical

  Major

  Minor

  Compliant

• Shelf life base on sound scientific evidence?

  Critical

  Major

  Minor

  Compliant

2.1.9 Product conform to specifications

• Allergenic ingredient not declared?

  Critical

  Major

  Minor

  Compliant

• Allergen overlooked in "May contain" statement?

  Critical

  Major

  Minor

  Compliant

• Formulation does not match specification?

  Critical

  Major

  Minor

  Compliant

• Addition of preservatives is not systematically controlled?

  Critical

  Major

  Minor

  Compliant

2.1.10 Trade weight & Measures

• Weight control system not appropriate?

  Critical

  Major

  Minor

  Compliant

• Machine Tare set up not carried out correctly?

  Critical

  Major

  Minor

  Compliant

• Weight on pack does not match weight on specification?

  Critical

  Major

  Minor

  Compliant

• Product fails 12 sample weight check?

  Critical

  Major

  Minor

  Compliant

2.2 Packaging / Product Labelling

2.2.1 Labels /Packaging verified before use

• Label / packaging review conducted?

  Critical

  Major

  Minor

  Compliant

• Labels available for review?

  Critical

  Major

  Minor

  Compliant

2.2.2 Packaging / Identification coding adequate

• Packaging suitable for product?

  Yes

  No

  N/A

• Identification code suitable for product?

  Yes

  No

  N/A

2.2.3 Date marking / batch coding

• Packing / Label with date marking (UB, BBF, batch code etc)

  Critical

  Major

  Minor

  Compliant

• Code not indelible?

  Critical

  Major

  Minor

  Compliant

• Code appropriately positioned?

  Critical

  Major

  Minor

  Compliant

2.2.4 Label legibility

• Label working obscured by pack folding or seal?

  Critical

  Major

  Minor

  Compliant

• Label design quality?

  Critical

  Major

  Minor

  Compliant

• Product not clearly defined on label?

  Critical

  Major

  Minor

  Compliant

2.2.5 Pallet liners

• Pallet liner in use?

  Critical

  Major

  Minor

  Compliant

• Pallet liner used appropriate?

  Critical

  Major

  Minor

  Compliant

2.2.6 Pallets

• Pallets clean and unsoiled?

  Critical

  Major

  Minor

  Compliant

• Pallet maintained and suitable for product?

  Critical

  Major

  Minor

  Compliant

2.2.7 Pallet configuration and stacking

• Pallet stacking not configured correctly?

  Critical

  Major

  Minor

  Compliant

• Cartons visibly damaged?

  Critical

  Major

  Minor

  Compliant

• Carton info not consistent with retail pack?

  Critical

  Major

  Minor

  Compliant

2.3 GMP

2.3.1 are Visitors made aware of Hygiene Obligations?

• Visitors & Contractors are not made aware of hygiene obligations when on site

  Critical

  Major

  Minor

  Compliant

2.3.2 Do Procedure exist to preclude personnel with food borne diseases from production areas?

• Communicable disease provisions not adequately detailed in company documentation (e.g. signage or training documentation) ?

  Critical

  Major

  Minor

  Compliant

• Personnel exhibiting illness or handling food ?

  Critical

  Major

  Minor

  Compliant

• Hygiene policy does not include reporting illness ?

  Critical

  Major

  Minor

  Compliant

2.3.3 Do Personnel in direct contact with food & food contact surfaces and packaging materials conform to documented hygiene practices

• Outer garments do not protect against contamination ?

  Critical

  Major

  Minor

  Compliant

• Absence or inappropriate hair / head covering (e.g. Hairnets or cap) ?

  Critical

  Major

  Minor

  Compliant

• Hand wash / sanitize protocols not followed ?

  Critical

  Major

  Minor

  Compliant

• Gloves not clean or in poor condition ?

  Critical

  Major

  Minor

  Compliant

• Eating, drinking, smoking chewing observed in production /food handling areas

  Critical

  Major

  Minor

  Compliant

• Jewellery or watches observed ?

  Critical

  Major

  Minor

  Compliant

2.3.4 Do food personnel undergo training

• Training does not include food handling, protection or GMP

  Critical

  Major

  Minor

  Compliant

• Training not documented ?

  Critical

  Major

  Minor

  Compliant

2.3.5 Are Hand wash facilities / sanitisers and used appropriately

• No hand wash / sanitizer stations of inadequate numbers ?

  Critical

  Major

  Minor

  Compliant

• No hand soap or single use hand drying at stations ?

  Critical

  Major

  Minor

  Compliant

2.3.6 Are foot sanitizer stations present at process area entry

• No foot sanitizer stations or not sufficient in size at entry to processing areas ?

  Critical

  Major

  Minor

  Compliant

• Foot sanitizer stations not check or logged ?

  Critical

  Major

  Minor

  Compliant

2.3.7 Are loose objects carried in a manner to prevent contamination (foreign object)

• No loose objects in processing areas ?

  Critical

  Major

  Minor

  Compliant

• No pockets in clothing above waist line ?

  Critical

  Major

  Minor

  Compliant

2.3.8 Personnel storage

• No personal clothing or items in processing or work areas ?

  Critical

  Major

  Minor

  Compliant

3. FACILITY & EQUIPMENT

3.1 Location and construction of premises & equipment

3.1.1 Location appropriate and ground maintenance

• Facility in suitable location?

  Critical

  Major

  Minor

  Compliant

• Plant and weed growth around facility maintained to a minimum?

  Critical

  Major

  Minor

  Compliant

• Waste and food residue storage?

  Critical

  Major

  Minor

  Compliant

• Sealed road and paths or dust and dirt suppressant used?

  Critical

  Major

  Minor

  Compliant

• Storm water drain inane adequate to prevent flooding of facility?

  Critical

  Major

  Minor

  Compliant

• Idle / discarded equipment storage area?

  Critical

  Major

  Minor

  Compliant

3.1.2 Lighting

• Lighting sufficient for specific activities and inspection points?

  Yes

  No

  N/A

• Lighting covered from shattering tubes or globes?

  Yes

  No

  N/A

• Lights in use during processing?

  Yes

  No

  N/A

3.1.3 Facility layout & design

• Layout and design does not contribute to contamination?

  Critical

  Major

  Minor

  Compliant

• Sufficient space between equipment, machinery, personnel for processing, cleaning and maintenance?

  Critical

  Major

  Minor

  Compliant

• Condensation formation over exposed product or production lines?

  Critical

  Major

  Minor

  Compliant

• Floors, walls and or ceiling in good state of repair?

  Critical

  Major

  Minor

  Compliant

• No flaking paint or rust inside facility or production areas?

  Critical

  Major

  Minor

  Compliant

• Floor grading and drainage adequate.

  Critical

  Major

  Minor

  Compliant

• Coving and plinths present and in a good state of repair?

  Critical

  Major

  Minor

  Compliant

3.1.4 Adequate utilities

• Premises has supply of potable water, sewer management and electricity supply?

  Critical

  Major

  Minor

  Compliant

• Plumbing and electrical cable labeled to Australian standards?

  Critical

  Major

  Minor

  Compliant

• Back flow device in place for waste water (sewer)?

  Critical

  Major

  Minor

  Compliant

• Hot water supplied to toilets, hand wash and cleaning for production areas?

  Critical

  Major

  Minor

  Compliant

3.1.5 Plant, equipment & tools

• Food contact surface smooth and cleanable?

  Critical

  Major

  Minor

  Compliant

• Equipment and utensils designed to allow for cleaning and sanitising?

  Critical

  Major

  Minor

  Compliant

• No wood or unsealed surfaces in production areas?

  Critical

  Major

  Minor

  Compliant

• Flaking paint or rust on equipment and tools?

  Critical

  Major

  Minor

  Compliant

• Adequate guarding on processing lines, vats, cookers and storage devices?

  Critical

  Major

  Minor

  Compliant

• Processing equipment and lines adequate for processing and product?

  Critical

  Major

  Minor

  Compliant

3.1.6 Toilets, change room and staff room

• Facilities not maintained in sanitary conditions?

  Critical

  Major

  Minor

  Compliant

• Facilities not maintained in good repair?

  Critical

  Major

  Minor

  Compliant

• Toilet equipped with self closing doors and ventilation?

  Critical

  Major

  Minor

  Compliant

• Insufficient number of toilets for staffing numbers?

  Critical

  Major

  Minor

  Compliant

• Toilet doors open directly into production areas?

  Critical

  Major

  Minor

  Compliant

3.1.7 Hand washing and gear washing

• Hand wash basin supplied with hot and cold water through single spout?

  Yes

  No

  N/A

• Hand wash supplied with paper towel?

  Yes

  No

  N/A

• Hand wash supplied with hand soap?

  Yes

  No

  N/A

• Hand wash using hand free mechanisms?

  Yes

  No

  N/A

• Waste bin provide for paper towel?

  Yes

  No

  N/A

3.1.8 Entrance / exit air locks or foot baths

• Airlock at all entrance to production areas?

  Yes

  No

  N/A

• Foot bath or boot wash at entry to production areas?

  Yes

  No

  N/A

4. PLANT SECURITY

4.1 Premises & Supplies

4.1.1 incoming product integrity

• Incoming product and vehicles inspected for hygiene, maintenance and product / packaging non/conformances?

  Critical

  Major

  Minor

  Compliant

4.1.2 incoming good from approved supplier verified

• Procedure in place for incoming goods inspection?

  Critical

  Major

  Minor

  Compliant

• Ingredient verification?

  Critical

  Major

  Minor

  Compliant

• Packaging verification?

  Critical

  Major

  Minor

  Compliant

4.1.3 Tamper proof packaging used for incoming goods

• Tamper evident feature on packaging ?

  Critical

  Major

  Minor

  Compliant

• Packages not inspected prior to opening?

  Critical

  Major

  Minor

  Compliant

4.1.4 Off-site facilities

• Off site facility included in food safety plan?

  Critical

  Major

  Minor

  Compliant

• Security program in place and effective?

  Critical

  Major

  Minor

  Compliant

4.2 Access Control

4.2.1 Site visitor/ contractor control

• Documented visitor / contractor procedure in place?

  Critical

  Major

  Minor

  Compliant

4.2.2 Visitor / Contractor areas access

• Visitor / contractor inducted onto site?

  Critical

  Major

  Minor

  Compliant

• Visitor / contractors log in use?

  Critical

  Major

  Minor

  Compliant

• Visitor / contractor have limited access to designated work areas documentation in place?

  Critical

  Major

  Minor

  Compliant

• Contractor information file kept and up to date ( e.g. Pest Contractor: insurance, training, identification records etc.)

  Critical

  Major

  Minor

  Compliant

4.3 Product Destruction

4.3.1 Destruction of branded product

• Procedure in place for branded product destruction, including packaging and labels?

  Yes

  No

  N/A

• Records kept of product of production destruction?

  Yes

  No

  N/A