Internal Audit Checklist - Premises and Equipment (AU-001-Q)

• Conducted on

  Date

• Prepared by

• Location
  Address

Site Fabric, Site Map and Zoning of Site: SQF Code Ed 8 11.2.1, FSC 3.2.3 Premises & Equipment Div Export Control Orders Schedule 3 Part 1 - 8.11.3; CFMSR V2 16.4, 17.1 External Fabric ; BRC V8 4.3.1; WSEP V2 7.1.3

• Building fabric must be suitable for use, weather proof, pest proof and comply to Food Standards Code 3.2.3.<br>There shall be a map of the site which designates areas where product is a different level of risk from contamination – high risk / high care areas, low risk areas, enclosed product areas, non-product areas. <br>This shall show access points for personnel, raw materials and packaging; routes of movement for personnel, raw materials, waste removal, rework; staff facilities and production process flow.<br>For Coles Suppliers - A map of the site designating Base, Medium and High Areas is required by Coles auditor. Refer to CFMSR V2 Risk Classifications page 28, 29.<br>BRC V8 – see Appendix 2 for guidelines on defining production risk zones. WSEP uses same principals as BRC.<br>

  Yes

  No

  N/A

• Floors, walls, doors and ceilings must be constructed of impervious materials to allow effective cleaning and minimise condensation and mould growth.<br>Wall floor junctions must be coved. Fabrication joints must be sealed and free from microbial risk.<br>There must be floor to ceiling barriers between Base / Medium and High areas ( including pasteurised and unpasteurised product areas). <br>Openings between these areas must be kept to a minimum with all but main personnel door risk assessed, managed and verified. <br>

  Yes

  No

  N/A

Internal Construction and Layout SQF Code Ed 8 11.2.3, 11.2.4; Food Standards Code 3.2.3 Div 3 10.2, 11.3-11.4.; Export Control Orders Schedule 3; BRC V8 4.4.1 Layout, Product Flow; CFMSR V2 17.4 Internal Structures; BRC V8 4.4.3, Ceilings, 4.4.4 Floors, 4.4.8 Doors; CFMSR V2 17.15 Walkways Over Lines; WSEP V2 7.5 Premises, Construction and Layout. CFMSR V2 17.17.2 External Doors; WSEP V2 7.5 Construction and Layout; Approved Arrangement 5.6.4 Premises and Equipment; CFMSR V2 17.16 Windows

• Floors, walls, doors and ceilings must be constructed of impervious materials to allow effective cleaning and minimise condensation and mould growth.<br>Wall floor junctions must be coved. Fabrication joints must be sealed and free from microbial risk<br>There must be floor to ceiling barriers between Base / Medium and High areas ( including pasteurised and unpasteurised product areas). <br>Openings between these areas must be kept to a minimum with all but main personnel door risk assessed, managed and verified. <br>Ceilings and overheads shall be constructed, finished and maintained to prevent the risk of product contamination.<br>

  Yes

  No

  N/A

• Doors, windows, walls linked to storage and production areas shall be close fitting, in good condition to prevent pest and dust entry. Strip curtains, must have sufficient overlap and be clean.<br>Glass windows and doors in Production (including offices), Storage, Maintenance and Employee Facility areas must be protected from breakage and screened (to external). This includes canteens, toilets and locker facilities.<br>There must be no external doors in food handling areas except those identified as fire exits (which shall be tamper evident). All external doors must be self-closing, and pest proofed.<br>Internal “rapid roller” doors in wet areas must not touch the floor to prevent water dripping on product or people passing beneath when open. <br>Floors must slope to drain with no water or milk pooling on floor. All process water must be piped directly to drain.<br>CFMSR V2 17.18 Internal Doors (High Area Only) Internal access doors leading to High areas shall go through a High Area PPE Changing Area. <br>

  Yes

  No

  N/A

• Walkways and steps over Production lines must be fitted with enclosed side, base and back plates to prevent product contamination.<br>Elevated walkways adjacent or over production lines designed to prevent contamination, must be easily cleaned and maintained.<br><br><br>

  Yes

  No

  N/A

Sinks: CFMSR V2 17.5 Sinks; WSEP V2 7.2.1 Staff Facilities; BRC V8 4.8.4 Hand Washing; Approved Arrange Sched 3 Cl 13; FSC DIV 4.14 Hand Washing; CFMSR 17.10 -10.2 Hand Washing Drains: CFMSR V2 17.14.1 - 117.14.2 Drains; SQF Code Ed 8 11.2.2; WSEP V2 7.5, 7.8.2; Approved Arrangement CFMSR V2 17.4.3 -High Area only

• SINKS:<br>Separate, clearly labelled sinks shall be provided for equipment and hand washing. <br>Sinks must not be constructed from porous or breakable material and shall have hands-free operated taps. (Elbow / knee / foot operated or sensors recommended)<br>Water at equipment sinks must be at an appropriate temperature based on chemicals being used for cleaning. Hand washing water to be 40̊C (heating quickly). <br>Hand washing and sanitising facilities must be suitably sited at all entrances in production, storage and maintenance areas.<br>Bactericidal liquid soap and hand sanitisers must be used (unscented) and paper towels (contrasting colour) used for drying hands. If bins have lids these must not be hand operated.<br>Sinks to have advisory signs to prompt hand washing, liquid or foam soap and single use towels or air driers.<br>DRAINS:<br>Drains must be accessible for cleaning and fitted with screens or traps to prevent pests, odours and debris from blocking drains. Drain covers must be easily removed for inspection and cleaning.<br>There must be covered drainage in wet areas, providing adequate outflow.<br>There must be drain plan for the site (inside, outside and laboratory) with direction of flow marked on plan. Show location of equipment to prevent back-up of waste water.<br>Open floor drains must not be used in High areas.<br>Drains must flow from High to Medium to Base areas.<br>Trench drains shall not be used in High areas. A system must be in place to prevent backflow.<br>Laboratory drains must flow directly out of the plant – not into storage or processing areas.<br><br>

  Yes

  No

  N/A

Lights and Ventilation LIGHTS: CFMSR V2 17.19 Lighting; SQF ED 8 GMP Process Food Products 11.2.4; BRC V8 4.4.9 Lighting; WSEP V2 7.5; FSC DIV 2.8 VENTILATION: CFMSR V2 17.20 Ventilation and Extraction; WSEP V2 7.5; BRC V8 4.4.10 Ventilation; SQF ED 8 GMP Process Food Products 11.2.8; FSC DIV 2.7; CFMSR V2 17.20.1 Ventilation and Extraction (HIGH ONLY)

• LIGHTING: Lighting in all areas must allow good visibility to enable safe working. Adequate lighting must be in place above product inspection areas. <br>Lights must be protected with shatterproof covers and/or sleeves on light tubes / bulbs including strip light tubes on electric insect killers in Production areas (including offices), Storage areas, Employee Facilities, Maintenance areas, Laboratories and areas where personnel movement may track contamination.<br>

  Yes

  No

  N/A

• VENTILATION:<br>Ventilation and extraction systems must be effective at preventing condensation, excessive dust, pest entry, and not pose a risk to product (eg location in respect to product, processes and equipment / materials).<br>Air filtration system must be in place and regularly inspected and replaced. Filter grades used must be risk assessed to ascertain the risk from airborne contamination from the environment and likely occurrence of product contamination eg time product is exposed.<br>Positive air pressure (>5 Pascals) must be in place in High areas, must flow from High areas to Base / Medium areas, and must be monitored at defined frequencies.<br>Offices within production or storage areas must be considered as part of the production area.

  Yes

  No

  N/A

Services and Utilities : Services - CFMSR V2 17.21; WSEP V2 7.6 Approved Arrangement S4 C17.1; S4 C18.1 Utilities – BRC V8 4.5 Water, Ice, Air, Gases Water Quality - WSEP V2 7.7

• All services (pipework for water / gas / steam / compressed air / electrical cabling / conduit / ventilation ducting / compressors / pumps / fire extinguishers) must be designed from material suitable for the purpose used, intact and easy to clean. <br>All shall be protected and clearly identified, indicating the direction of travel.<br>A map of service distribution on site shall be available.<br>

  Yes

  No

  N/A

• A current schematic diagram shall be available of the water distribution system on site, including holding tanks, water treatment and water recycling. This is to be used as a basis for water sampling and quality management.<br>Monthly water tests must be from the infeed ( as close as possible), each areas out feeds and infrequently used areas.

  Yes

  No

  N/A

Storage : CFMSR V2 18.1 Storage Areas; CFMSR V2 18.3 -18.5 External Storage Units / Loading Bays; 18.5.4, 18.6, 18.7 External Storage of Raw Materials, Packaging & Equipment. Packaging Storage SQF ED 8 Process Food Products 11.6.1, 11.6.4 Storage of Goods/Hazardous Substances FSC 3.2.3 DIV 5 C15 WSEP V2 7.9; BRC V8 4.9.1.1 Chemical Control CFMSR V2 18.5.3, 18.5.4 External Storage of Raw Materials

• Storage areas must be fit for purpose and maintained in a clean / hygienic condition.<br>Materials must not be stored directly on the floor or tight against walls (sufficient space is required for pest inspection)<br>Flammable materials shall be stored in secure areas, properly enclosed and adequately ventilated. Signage shall be used to identify area and materials.<br>Chemicals used on site shall be identified, controlled, stored in a secure area and used by trained staff.<br>Physical markings shall indicate where ingredients, product and packaging can or cannot be stored ( e.g. allergens, organic, etc) and not stored under chiller units to prevent condensate contamination.<br>Packaging must be covered and stored in a designated area. Similar Packaging must be stored separately to prevent incorrect use. Part used packaging returned to storage must be relabelled and suitably covered after use.<br>Raw materials, packaging and equipment must not be stored in the open.<br>Where pallets are stored outside, there must be a procedure for movement & inspection before use to prevent pest and other contamination.

  Yes

  No

  N/A

• External units ( silos, tanks, chillers) must be locked with restricted access. Connecting pipes stored outside must be stored off the ground, ends capped, locks or security seals.<br>External units ( including shipping containers) must be monitored and checked for temperature control and energy source that supports the unit is operational.

  Yes

  No

  N/A

• Cooling Units: CFMSR V2 17.22 Temperature Control Equipment: Condensate lines must be piped directly to a drain with an air gap to prevent backflow. <br>The flow to drain must be efficient with no dripping on products, materials, packaging or production equipment.<br>WSEP V2 7.9.2: Draining pans of cooling units must be a part of the facility environmental monitoring (swabbing) program. <br>CFMSR V2 17.22.1 (HIGH AREA ONLY): A risk assessment must be carried out to determine if chemical sanitising rings are needed in condensate drip trays.<br>

  Ideally doors to temperature controlled areas are automatic closing or alarmed if not closed.

Site Offices, Catering and Product Assessment: CFMSR V2 17.23 Site Offices; BRC V8 4.8.7 – 4.8.8 Food / Catering; WSEP V2 12.1 Staff Hygiene; CFMSR V2 17.24 Product Assessment areas

• Equipment in offices must be kept to a minimum & easy to clean. Offices shall not be adorned with personal items (e.g. collectables, cups, bottles etc.).<br>Stationary items shall be consistent with site rules and GMP ( e.g. site issue pens, no staples, no drawing pens).<br>Food and drinks (exception water) shall not be stored or consumed in site offices within production, storage, maintenance, laboratories, despatch and receivals.<br>Catering facilities must be controlled to prevent food poisoning or introduction of allergenic material to the site.<br>Organoleptic sampling of product must only be permitted in areas clearly designated for this purpose. After product sampling, hands and utensils must be washed.

  Yes

  No

  N/A

Equipment - Design, Construction and Location: CFMSR V2 17.26, 17.32, 17.33 Design and Construction / Welds and Joints; CFMSR V2 17.33.3 (HIGH ONLY) CFMSR V2 17.28, 29 Hard Piping; CFMSR V2 17.27 Conveyors; CFMSR V2 17.30 Equipment – Out of Service; CFMSR V2 17.31 Specifications and Commissioning; CFMSR V2 17.37-38 Transfer Piping / Hoses FSC 3.2.3 DIV 4C, 12.2; WSEP V2 8.2.1 Equipment Storage;

• Equipment must be constructed of stainless steel or other smooth and impervious material to enable easy cleaning and maintenance with angles, corners and dead spaces eliminated and no hollow legs on equipment or supports.<br>All welds and joints must be smooth and impervious with no spot welds. Food contact surfaces must be free of inaccessible crevices and pitting to prevent trapping of food debris. <br>Product and CIP hard piping must not have “dead ends”.<br>Product and CIP hard piping must not transition from a smaller diameter pipe to a larger diameter pipe. If unavoidable, then a booster pump must be installed at the transition point to provide adequate flow.<br>Hard plumbed transfer piping, when not in use shall be capped. <br>Mobile transfer piping or hoses shall be elevated off the floor both in use or when stored. Store in a manner that allows them to drain. <br>Hoses must be labelled or visually distinctive and dedicated to the task. Chemical hoses shall not be used as product hoses. Raw transfer hoses shall not be used for pasteurised product.

  Yes

  No

  N/A

• All plastic items used must be marked as Food Contact Suitable or have documentation available to demonstrate suitability.<br>Parts susceptible to normal wear (scoops, scrapes, conveyors) must be inspected regularly and replaced. Records of inspection to be kept.<br>It must be commissioned after delivery and validated before commercial use ( whether new or reconditioned)<br>Equipment shall not be located under chiller units or too close to sinks, waste units or allergen production.<br>All conveyors moving open primary packaging or open product must be covered to prevent contamination. Nuts and bolts are not used to secure line covers unless the nuts are self-locking.<br>Equipment must be properly specified, commissioned and assessed by the HACCP team for; <br>• Suitability for product ( e.g. low pH)<br>• Clean-ability<br>• Sanitary design & suitability for the cleaning chemicals<br>• Contamination points<br>• Suitability for the environment<br>• Loose parts and foreign body components.<br>• Components are compatible with foreign body detection equipment.<br>Equipment out of service must be identified and stored in a manner that does not pose a risk of injury to persons or risk to product. (Not left with small parts around the area or in an unhygienic condition).

  Yes

  No

  N/A

• Equipment must be located to give access under, inside and around to allow cleaning and servicing. <br>Access to equipment interiors and exteriors must be available during audits.<br>Parts susceptible to wearing on mechanical equipment that comes into contact with food must be regularly inspected e.g. belts, brushes, pump rubbers)<br>All food contact materials must comply with FSANZ 3.2.3 Food Premises and Equipment. A written declaration of compliance must be available from the equipment manufacturer.<br>Food containers must not be used to store chemicals, equipment, parts or tools. <br>Equipment must be designed to allow quick strip down for easy cleaning.<br>Forklifts, pallet movers, ladders must be stored away from packaging and food ingredients when not in use, to prevent foreign body risks. Mobile equipment used in open food areas must not be used outside.<br>Battery charging equipment must not be stored in open food areas, next to raw materials / ingredients, finished goods or packaging materials. <br>Mobile equipment used in HIGH AREAS shall be dedicated to this area and visually distinctive.<br>Electrical cabling and air pressure lines must also be considered. Quick release mechanisms for belts and good access for inspection and manual cleaning inside equipment.<br>

  Yes

  No

  N/A

• CFMSR V2 17.11 Footbaths and Boot Washing - Where footbaths are used, these must not pose a risk to product or processes.<br>CFMSR 17.11.2 (HIGH ONLY) - No footbaths in HIGH AREAS or the entrances to HIGH AREAS unless required by a regulatory body. (Boot scrubbers or foamers should be used in place of foot baths).

  Yes

  No

  N/A