Title Page

  • Document No.

  • Audit Title

  • Conducted on

  • Auditor

  • Auditee

  • Location Site Name

  • Location
  • Auditor sign upon completion

Premises (Building Exterior)

Design, Construction & Maintenance

  • Floors, walls, ceilings, doors and windows materials are smooth, cleanable, impervious, durable, suitable, clean and in good repair

  • Floors, walls, ceilings, doors and window materials are suitable for food manufacturing premises

  • Overhead walk ways are shielded underneath

  • Product flow / employee traffic patterns are designed to prevent cross contamination

  • Plant schematic showing product and employee flow is available

  • Floors are slopped to trapped drains

  • Premises are connected to sewerage system, sewerage pipes do not pass over or through production

  • Sufficient, leak-proof, labeled waste storage containers available within plant, located to prevent cross contamination. Waste removal at least daily.

  • Air filters present are cleaned or replaced as per maintenance schedule

  • Ventilation is adequate to prevent accumulations of dust, condensation, steam and to remove contaminated air

  • Air used as a processing technique is sourced (intake) and treated (filtered) to reduce sources of contamination

  • SOP and records for checking, cleaning and replacing air filters and for checking air flow and duct cleaning are available

  • Equipment cleaning area is located (and / or cleaning is scheduled) so as to prevent contamination of product and packaging.

  • Drainage in cleaning rooms is adequate

  • Documented SOP and corrective action protocol / records for building inspections is available for review

Sanitary Facilities

  • Sufficient numbers of hand washing stations, conveniently located in processing areas, wash rooms and elsewhere as needed

  • Hand washing stations have hot and cold water, soap dispenser, paper towel or air dryers, waste receptacle, plus sanitizer if required

  • Wash rooms, lunch rooms and changing rooms are well maintained

  • Taps are hands free

  • Hand washing signs are posted

  • Wash rooms are adequately ventilated and do not open directly into processing areas

  • Boot dips are available at entry point to processing areas

  • Lunch rooms and changing rooms are adequately ventilated and do not open directly into processing areas

  • Documented SOP / corrective actions / protocols / records for checking wash room / hand wash / sanitizer / facilities for cleanliness, supplies and sanitizer levels


  • Adequate lighting intensity for safety and inspections

  • Lights / windows are adequately shielded against breakages

General Environment

  • Building is not in close proximity to environmental contaminants

  • Surrounding grounds / driveways are free of garbage and debris

  • Surrounding grounds are free of rodent harborage (e.g. overgrown areas / disused items)

  • Sufficient leak proof, covered garbage disposal bins are available

  • Surrounding grounds are adequately drained to prevent pooling of water and or water entry into the building

General Design, Construction & Maintenance

  • Building exterior designed and maintained to prevent entry of pests. Door and windows are screened

  • Air intake is appropriately located and screened against pest entry

  • Roof, walls, doors, windows and foundations are maintained to prevent water leakage

  • Adequate exterior lighting

  • Access doors are designed to prevent unauthorized entry (e.g. self closing, locking)

  • Documented SOP, corrective action protocol, records for exterior building inspections

  • Documented security program in place

Water, Ice & Steam

  • Water quality SOP in place

  • Water, ice and steam are analyzed at a frequency adequate for confirming potability

  • All required permits / approvals are in place

  • Non-Municipal water supplies are treated and tested to ensure potability

  • Water storage facilities are treated and monitored

  • Documented water treatment and testing SOP for non-municipal water supplies. Records include water source sampling, analytical results, analyst and date

  • Documented SOP, corrective action protocol, and records for recirculated water system treatment and testing

  • Documented SOP, corrective action protocol and records for water storage facility treatment and testing

  • Hoses and taps have back flow prevention devices

  • Water pressure / temperature and volume is adequate for all uses

  • If bottling water, access to water source is adequately p[protected

Transportation, Receiving & Storage

Incoming Materials

  • Incoming food, non-food items, packaging received in area separate from processing area

  • Carriers are inspected for cleanliness, temperature and suitability for food

  • Incoming materials are inspected to ensure they meet specifications: Approved supplier, letter of guarantee, certificate of analysis, master list of ingredients, suppliers available

  • Incoming materials inspected for condition and temperature

  • Receiving temperature log is maintained

  • Lot numbers of ingredients is recorded

  • Allergens are clearly identified

  • Guidelines for rejections are available

  • SOP are in place for cleaning & sanitizing carriers especially bulk tankers

  • SOP for receiving is in place

  • SOP (and records) for returning rejected shipments and how returnable items should be identified

  • Incoming materials are handled to prevent damages or cross contamination

Storage of Incoming materials and finished products

  • Refrigerated storage <4C

  • Frozen storage <18C

  • Chemicals are handled separately from foods to prevent cross contamination and stored in a clearly identified area

  • Allergens are stored separately in clearly identified areas or containers

  • Returns, defective, suspect product is clearly identified and isolated in designated area

  • Stock rotation practiced (incoming and finished product) and there is a documented SOP in place

  • All food is stored off the floor and away from the walls

Finished Product Control

  • Carrier is inspected for cleanliness, temperature, suitability for food

  • Outgoing product is checked for condition and temperature

Allergen Identification

  • Allergen containing raw materials are identified at receiving and marked

  • Colour coded utensils are used for allergens

  • Master list of products / ingredients in each / allergens in each is available

  • Allergen control SOP is in place for transport, receiving, storage and shipping

  • List of allergens is available

Allergen Production Control

  • Allergen control SOP in place for production

  • Sanitation SOP address risk of allergen cross contamination

  • Production sequencing in place to prevent allergen cross contamination

  • Rework SOP in place to prevent allergen cross contamination

  • SOP for staff allergen control training

Product Labeling & Packaging

  • Product labeling meets local requirements

  • All possible allergens in product are declared on the label

  • Documented SOP in place to prevent mislabeling

  • Documented procedure in place to review and update labels

Supplier Quality Assurance Program

  • Letters of guarantee (or certificates of analysis) are available for all incoming materials

  • Supplier approval process is in practice

Approved Supplier Records

  • List of approved suppliers is available

  • Master list of ingredients is available with specification sheets for each

Product Specifications

  • Product specifications are available indicating ingredients and sub-ingredients

  • Product specifications are monitored through evaluation of product


Equipment Design & Installation

  • All equipment is food grade presenting no hazard to product

  • Equipment is designed to ensure clean ability

  • Equipment is accessible for cleaning

  • Equipment allows for proper drainage

  • Where needed equipment is directly exhausted to the outside to prevent accumulations of condensation

  • Equipment specifications are available

Food Contact Surfaces

  • Food contact surfaces are smooth, non-corrosive, non-absorbent, non-toxic, free from chips, cracks, crevices and pitting

  • Utensils used for food, for allergens, for non-edibles are clearly identified by colour coding

  • Chemicals, paints or lubricants used on food contact surfaces are food grade

Equipment Maintenance & Calibration

  • Documented preventative maintenance schedule is available and includes lists of equipment, maintenance procedures and frequency of checks

  • Maintenance schedule is followed

  • Maintenance records are complete

  • Working calibration equipment is available and / or off-site calibration is available

  • Documented, validated calibration SOP is place especially for critical monitoring equipment

  • Calibration records are complete and current

  • Repair program is in place including names and contact numbers of repair personnel or company


In House Hygiene Policy

  • Written hygiene policy includes:

  • Hand washing technique

  • Proper use of disposable gloves

  • Correct way to wear hair restraints

  • Removal of Jewelry

  • Correct way to wear uniform

  • No personal items

  • No eating / chewing / drinking in food production area

  • Documented illness and injury policy includes:

  • Not working with food if suffering from or carrying infectious disease

  • Cuts shall be covered completely with a water proof covering

  • Employees shall advise management if they have a disease communicable through food

  • There is an SOP for hand washing available

Visitor Food Safety & Hygiene

  • Visitor food safety & hygiene policy is posted

  • Visitor policy includes:

  • Sign in and wear ID

  • Wear protective clothing when applicable (i.e. hair restraint, coverall, boots, safety gear)

  • How access is controlled and limited to relevant areas only

Food Safety & Hygiene Training

  • A documented training program for food safety and hygiene includes:

  • Skills and knowledge objectives

  • Importance of food safety & hygiene

  • Training methods and materials include professional training if required

  • Skills knowledge is evaluated and updated frequently

  • Hygiene training records are on file

  • Training program is reviewed at set intervals and updated as needed

Technical Training

  • Documented training program for technical skills (critical processes and operation of equipment, monitoring, sanitation, calibration, maintenance, general plant knowledge) includes:

  • Skills & knowledge objectives

  • Importance of task

  • Detailed SOP for tasks

  • Critical Limits, monitoring procedures, corrective actions, record keeping and verification for CCPs and monitoring SOPs

  • Training methods and materials include professional training when required

  • Skills and knowledge are evaluated and updated

  • Technical training records are on file

  • Training program is reviewed at set intervals and updated as needed

  • Comprehensive training program for all employees

Sanitation & Pest Control

Sanitation Program

  • Master cleaning schedule is available and includes in-process, daily, weekly, monthly, annual and periodic cleaning tasks and projects

  • Documented SOP is available for all tasks and areas relevant to food safety

  • Documented SOP includes chemicals, concentration required, water temperature / pressure and contact time

  • Chemical dilutions are controlled

  • Premises are in a sanitary condition

  • Pre-operational and in-process sanitation checks / inspections are made to verify cleaning

  • Routine verification monitoring (observation or micro testing) is done

  • Sign-off sheets are available for cleaning / monitoring / verification of sanitation tasks

Pest Control Program

  • A documented pest control program includes:

  • Name of persons responsible for pest control

  • Name and contact information of pest control company on the contract licence

  • Description of the pest control measures taken on the premises

  • List of chemicals used, MSDS, import licences (where necessary) concentrations, locations where applied, method and frequency of application

  • Schematic map showing the location of pest control devices

  • Monitoring of pest control devices (person responsible and frequency)

  • Use of poison bait is prohibited inside the facility

  • No evidence of pest activity in premises

  • Only approved pest control chemicals are used

  • Service reports are on file and detail what was done, what chemicals were used, and any corrective actions taken or required

Recall & Withdrawl

Complaint Handling

  • Customer complaints are documented and investigated using root cause analysis

  • Records are maintained regarding follow up and corrective actions taken

  • Documented SOP for handling complaints is available

  • Customer complaint form is available for customers

Recall System

  • Key persons are responsible for recall and their roles

  • Master plan of ingredients and supplier contact information is available

  • Master list of finished products and customer contact information is available

  • Documented methods to identify, locate and control recalled product (finished product and recalled raw materials)

  • Ingredient traceability is through lot numbers or codes

  • Finished product traceability is through lot numbers or codes

  • Mock recalls are performed and documented for finished product recall

  • Mock recall is performed and documented for raw material recall

  • Corrective actions regarding recalls are documented

  • Records of production, inventory and distribution by lot are available

  • Codes identify establishment, day, month and year of production

  • If packing for private label owners, lot ID allows for distinguishing each private label product

  • Codes used and their meaning is available

Recall Notification

  • Names and contacts for those who are required to be notified in the event of a recall are available

  • Amount of affected product produced (inventory and distributed)

  • Product name, size, code or lot numbers of affected product are recorded

Critical Control Points

  • HACCP Team in place

  • Written commitment from management regarding PRP and HACCP program

  • HACCP Team leader is adequately trained

  • HACCP team members responsibilities are delegated in the SOP

  • Product back ground form is completed for each product group or process

  • For each product a list of ingredients with sources / suppliers identified for each and all allergens associated with product are identified

  • For each process a plant schematic showing all equipment, product flow and employee flow is available

  • For each process a process flow diagram is completed

  • Hazard Analysis work sheet is completed for each product group / each process

  • For each process all BCP hazards are identified and described for each process step, including cross contamination and equipment hazards

  • Risk analysis (severity of risk) is done as part of the hazard analysis

  • Control, measures are identified for each hazard

Control Points

  • CCPs are identified

  • For each identified hazard a determination is made as to whether it is fully controlled by a PRP or a CCP

  • A CCP decision tree is used to justify

  • Critical Limits are identified for each CCP

  • Reliable sources / data / expertise used to determine critical limits, i.e. validation by HACCP team. Sources are documented

  • CLs state specifically what standard must be met at the CCP

  • CLs can be accurately and consistently observed and measured

  • Monitoring procedures are identified for each CCP

  • Monitoring procedures are defined in the SOP and include equipment used, frequency, persons responsible and records

  • Monitoring method, equipment validated by HACCP team

Record for Control of Operation

  • Batch reports completed for product

  • All critical limits are monitored and records completed

Deviations / Corrective Actions

  • Corrective action plan in place for each CCP

  • Corrective action report forms are available and include confirmation that the problem was addressed

  • Detailed SOP is available for each corrective action for each possible deviation from CL at CCP

  • Triggers for corrective actions are accurately defined

  • Extent of authority to take corrective action is clearly defined

  • Amount of product included in the corrective action is clearly defined and mean of identifying affected product is defined

  • Disposal of affected product is clearly described with appropriate SOP

Verification Procedures

  • Verification methods are identified for each CCP

  • Verification methods are validated

  • Verification of monitoring is done by someone other than persons doing the monitoring

  • Verification of monitoring is done at appropriate frequency

  • Monitoring records are available

  • Corrective Action records are available

  • Verification records are available for checking

  • Training records are available for checking

Verification of the HACCP System

  • HACCP plan requires annual verification of systems, records, staff evaluations, PRPs, CCPs, on-site observations and external audit

  • Annual verification of PRPs, CCPs (& CL monitoring), HACCP preliminary steps, supplier review, certification, monitoring and CA

  • Verification of performance of system checks, testing equipment for CCPs / PRP, sampling, testing for hazard control efficiency

  • Review of validation data

  • Records and follow up on inadequacies found in system checks or audits

  • Prompt correction for inadequacies

  • Procedures in place to repeat verification to ensure inadequacies were corrected

  • Audit records are completed and signed off

HACCP System Records

  • HACCP study and plan is available (preliminary documents needed to write the HACCP Plan)

  • CCP monitoring templates are available, and follow a controlled document procedure

  • Process deviation corrective action template is available, and follows a controlled document procedure

  • HACCP team meetings are recorded

  • Hold / Release memos are adequately designed and appropriate

  • Hold / Release documents are authorized only be top management

  • Validation data is documented

  • Verification and audit records are available for checking

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.