Title Page

  • Site conducted

  • Company Name

  • Conducted on

  • Audited by

  • Location

Scope and Personnel

  • Designated an FSMA Qualified Individual, competent FSMA Auditor and competent Sanitation Manager

  • Established roles for qualified individuals and delegated responsibility for every step of safety plan's implementation, verification, validation, and correction

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  • Qualified individuals have been trained in the application of risk-based preventive controls

  • Determined which FSMA requirements are applicable to the facility

Hazard Analysis

  • Are hazards evaluated based on the significance they pose?

  • Are identified hazards likely to occur even with preventive measures taken?

  • Do identified hazards pose severe threat to consumers?

  • Are allergens evaluated on points which cross-contamination hazards could emerge?

Labeling

  • Are raw ingredients containing allergens properly labeled?

Storage

  • Are storage areas organized to minimize the chances of allergen contamination from a spill?

  • Can storage areas be effectively cleaned in the event of an allergen spill?

  • Are bulk storage containers and silos designated as allergen-free?

Staging

  • Do ingredients containing allergens share staging areas with allergen-free areas?

  • Are staging areas designed for thorough cleaning between production runs?

Utensils

  • Are separate utensils used for preparing allergen-free foods?

  • Are utensils for preparing allergen-free foods clearly marked?

  • Do utensils share storage or cleaning areas?

Personnel

  • Are workers able to move between areas preparing allergen and allergen-free products?

  • Do personnel use PPE and sanitation procedures to prevent cross-contamination?

  • Please specify what these are

Biological

Equipment

  • Is processing equipment designed for sanitation?

  • Are processing surfaces free of cracks that could harbor bacteria?

Transportation

  • Are transportation containers routinely sterilized?

  • Are ingredients transported at proper temperatures?

  • Are containers designed to effectively seal out environmental contaminants?

Sanitation

  • Are sanitation procedures in place to prevent cross-contamination from employees?

  • Specify procedures

  • Are processing areas designed for routine sanitation?

Raw Materials

  • Are raw ingredients checked for spoilage and contamination prior to processing?

Facility

Grounds

  • Are pests, dirt, and other potential contaminants present on the facility’s grounds?

Structure

  • Are roofs and walls effectively sealing out environmental contaminants?

Non-contact surfaces

  • Are the facility’s floors and fixtures free of cracks that could harbor bacteria or other contaminants?

Plumbing and HVAC

  • Are drains and vents able to be sanitized?

Non-food chemicals

  • Are potentially hazardous chemicals properly labeled and stored?

  • Do routine maintenance tasks require introducing non-food chemicals into the processing area?

Supply Chain

  • Are suppliers of potentially-hazardous ingredients routinely audited?

  • Have the preventive controls of suppliers been documented and reviewed?

  • Does your Food Safety Plan require taking action if a supplier fails to conform to your standards?

Intentional Adulteration

  • Could a malicious employee or intruder intentionally contaminate products?

  • What supervisory measures are in place to prevent and detect intentional contamination?

Preventive Controls

Monitoring

  • Does your food safety plan identify Critical Control Points where contamination can be stopped at its source (ie, handwashing stations, pasteurization baths)?

  • What oversight procedures are in place to ensure the Safety Plan is followed at these points?

  • Do your food safety plan specify critical limits (e.g., temperature, or cooking time) which must not be exceeded?

  • Is product testing to verify the effectiveness of controls routinely scheduled?

  • Is the processing environment (e.g., condensation from pipes, accumulation of waste materials) constantly monitored to ensure conditions don't promote contamination?

Validation

  • Do verification processes follow a regular schedule?

  • Is verification performed by a designated Qualified Individual?

  • Are implementation records regularly audited for compliance?

  • Is testing equipment routinely calibrated to ensure accuracy corrections?

  • If a critical limit is exceeded, what new testing protocols will be used to validate the effectiveness of new controls?

Re-anlaysis

  • Has your Food Safety Plan been reanalyzed in the past three years?

  • Is there a new process for revising the plan to mitigate new hazards?

  • Does the plan reflect the latest food safety research?

Recalls

  • Is there a documented plan in the event of a recall?

  • Has a recall team been designated? Are the team members’ roles clear?

  • Can at least 98% of the affected product be removed from the supply chain?

  • Can all affected products be identified and located within four hours?

  • Can the supply chain be traced to locate the source of contamination?

  • Are there notification procedures in place to alert distributors in the event of a recall?

  • Are disposal procedures followed to ensure the removal of contaminated products and ingredients?

Completion

  • Additional comments and recommendations

  • Name & Signature of Assigned Auditor

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