0: Previous Audits

  • Question 0.1: Were the previous internal audit corrective actions closed out?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Check with QHS department

  • Findings

  • Question 0.2: Were the previous external audit corrective actions closed out?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Check with QHS department

  • Findings

1: Pre Operational Inspection and Goods Receival

  • Evidence of inspections from both day and night shifts are recorded on HACCP Plan WS.2

  • Question 1.1: Is a pre-operational inspection of plant & facilities undertaken prior to daily operations commencing?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 1.2: Was cleaning identified as being adequately conducted after the previous shift?
    If not, what action was taken?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 1.3: Were all chiller facilities monitored for gauge temperature & deemed to be operating effectively?
    If not, what action was taken?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Evidence of goods receivals is recorded on HACCP Plan WS.1

  • Question 1.4: Are Good Receivals Forms completed satisfactorly for each receival?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 1.5: Are non-conformances identified on Receivals Worksheets recorded?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Question 1.6: Were corrective action/s identified for non-conformances?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Detail non-conformance identified and from the check list, identify which action was taken and evidence

  • Rejected products at the receival point if received above 7C.

  • Re-trained staff in all procedures / review receival procedures

  • Reviewed supplier as continually non-conforming

  • Immediately placed chiller product into chiller to bring down temperature as above 5C & less than 7C.

  • Rejected or quarantined product of poor quality; Labelled goods “On hold” & informed the team leader of the problem.

  • Other

  • Question 1.7: Is there any non-conforming product on site? If so has the product been rejected or placed into quarantine with its disposition documented?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Question 1.8: Are all products inspected at receipt to ensure they are correctly identified?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Correct identification shall include one of the following:

  • compliance to the labeling requirements of the Food Standards Code

  • product description

  • batch / lot marking (may be satisfied by use-by date, best before date)

  • product tagging

  • Finding

2: Personnel Hygiene

  • All answers in this section should either be through auditor observation or staff (workers) questioning.

  • Question 2.1: Do all wash basins have warm water, liquid soap and paper towels.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Question 2.2: Do all employees wash their hands at the hand wash basin with liquid soap and warm water then rinse off and dry using a paper towel? Auditor to observe
    staff washing their hands.
    Before starting work
    On entering the facility
    After handling contaminated material
    Coughing, sneezing, wiping nose
    Using the toilet
    After smoking

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Question 2.3: Are jewellery regulations adhered too?
    No jewellery is to be worn in the processing areas/storage or chiller areas with the exception of wedding bands. Wedding bands must be covered at all times.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Question 2.4: Are wound and band aid regulations adhered too?
    Any wound/cut must be completely covered by a coloured waterproof dressing
    Ensure any band aids used on site are blue in colour.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

  • Question 2.5: Are staff wearing clean clothes?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Finding

3: Pest Control

  • Question 3.1: Has the contractor provided an accurate bait location plan and is this less than one year old?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 3.2: Are baits station locations as per plan?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 3.3: Is the pest control conducted by a qualified and credentialed personnel with proof of credentials retained on site?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 3.4: Are MSDS available for all pest baits and poisons used on the premises and are they all approved for use in food premises?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 3.5: Is the EFK (electronic fly killer) clean?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

4: Calibration

  • Question 4.1: Does the Seafood Manager keep a master list of all items that require calibration within this procedure and is this maintained?
    The procedure applies to the following: Probe and Infra Red Thermometers, Pans, Scales, Chillers and Freezers.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 4.2: Do the hard and soft copies of the device register match?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 4.3: Were the probe and infrared thermometers checked internally for accuracy at the frequency and by the method nominated on the register.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Ask for a demonstration of a probe or infra red thermometer being checked for accuracy.

  • Findings

  • Question 4.4: Were scales checked internally for accuracy at the frequency and by the method nominated on the register?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 4.5: Were scales checked externally for accuracy at the frequency and by the method nominated on the register? (check the floor 3000kg scale)

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 4.6: Is external calibration performed on the following equipment by contractors using equipment calibrated to Australian Standards & the Certificate filed in HACCP calibration records?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • These records are held by Sealanes Engineering Manager

  • Vehicle Pans

  • Scale – Make Digi; Model - D5516; Type – Platform; Capacity 1500/3000

  • Processing and cool room chillers

  • Test Weights

  • Master Thermometer

  • Findings

  • Question 4.7: Were test weights and the master thermometer calibrated at the frequency and by the method nominated on the register?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 4.8: Were the processing room and chiller calibrated at the frequency and by the method nominated on the register?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 4.9: Were vehicle pans calibrated at the frequency and by the method nominated on the register?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

5: Cleaning

  • Question 5.1: Do the fish processing and storage areas meet cleaning and sanitising requirements. On visual inspection is there indication that cleaning has not been performed satisfactorily. i.e build up of dirt or waste that would indicate cleaning being missed or done inadequately.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 5.2: Do staff areas meet cleaning and sanitising requirements. On visual inspection is there indication that cleaning has not been performed satisfactorily. i.e build up of dirt or waste that would indicate cleaning being missed or done inadequately.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 5.3: Are Daily Hygiene checks (SOP.5 WS.1) reviewed and signed off?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Is the form completed in full and legibly?

  • Has the form been reviewed and signed off?

  • Findings

  • Question 5.4: Do staff know the purpose of different types of rubbish bins?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 5.5: Are cleaning chemicals stored appropriately?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • View the cleaning chemical storage area. Are the cleaning chemicals stored in a separate, lockable, storage area?

  • Do cleaning chemicals have an MSDS on site and are they food approved chemicals?

  • Findings

6: Facility Maintenance

  • Question 6.1: Are monthly facility maintenance inspections (SOP.6 WS .1) conducted on a monthly basis?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Has the form been reviewed as required?

  • Is the form completed in full and legibly?

  • Have any issues noted on the form been addressed?

  • Findings

  • Question 6.2: Outside of the monthly maintenance inspection, how are requests made for identified/reported maintenance issues? Are records maintained.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

7: GMP's

  • Conformance with GMP's can be evidenced by either an overall conformance to a related SOP or by asking staff specific questions to do with GMP

  • Question 7.1: Is the Wood Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.2: Is the Glass and Hard Plastics Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.3: Is the Blood Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.4: Is the Eating Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.5: Is the Stock Rotation Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.6: Is the Storage Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.7: Is the Signage requirement being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.8: Is the Dropped Product requirement being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.9: Is the Chemical Storage requirement being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.10: Is the Waste Identification and Control requirement being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.11: Is the Water Potability requirement being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.12: Is the Processing Environment Protection Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.13: Is the Cross Contamination Policy being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 7.14: Is the Allergens requirement being adhered to?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

8: Management Responsibility

  • Question 8.1: Does the master verification schedule at the rear of the HACCP Plan detail all items that are to be reviewed whilst conducting internal audits?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 8.2: Are internal audits scheduled and completed as required?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 8.3: Are internal audit corrective actions completed as required?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 8.4: Are external audits scheduled and completed as required?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 8.5: Are external audit corrective actions completed as required?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 8.6: Are HACCP team meetings scheduled and conducted as required?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 8.7: Are HACCP team meeting corrective actions completed as required?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

9: Micro Testing

  • Question 9.1: Is 3 Monthly swab testing conducted as per SOP 9 Micro Testing?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Is the swab testing done by designated/trained employees?

  • Are the following points completed by employees performing swab testing?

  • 6 swabs are tested

  • Samples are only collected before commencement of operations.

  • Important work surfaces are swabbed on a scheduled basis? (Evidence swabbing schedule sighted)

  • Findings

  • Question 9.2: Are micro test results maintained and corrective actions recorded and put in place?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 9.3: If unsatisfactory results were returned were appropriate corrective actions put in place?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

10: Non Conformance, Corrective Actions

  • Question 10.1: When a non-conformance is reported, it shall be documented & brought to the attention of the Seafood Manager. Is there evidence this is done? These can be reported on either a Issue Notice or a NCR form.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 10.2: Are reported non-conformance's investigated?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • If document evidenced is a NCR form and credit codes 37 or 51 are used (indicating food safety issue), is the back of the form stamped and completed by the supervisor?

  • Findings

  • Question 10.3: If a non-conformance is detected in a product supplied by a supplier, is a copy of the Issue Notice forwarded to the supplier for investigation?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Was a Issue Notice sent to the supplier to notify them of a non-conformance? If not, how were they notified?

  • Did the Seafood Manager follow-up the result?

  • Findings

11: Suppliers

  • Suppliers of fresh fish must comply to the requirements of the Model Food Act 2008 whereby they have in place a Quality Assurance Arrangement.

  • Question 11.1: Do fresh fish suppliers used meet this criteria?

  • Findings

  • Corrective Action

  • Person Responsible

  • Target Date

  • Closed Date

  • Question 11.2: Are supplier reviews conducted annually at a minimum?

  • Findings

  • Corrective Action

  • Person Responsible

  • Target Date

  • Closed Date

  • Question 11.3: Is the Approved Supplier Schedule up to date?

  • Findings

  • Corrective Action

  • Person Responsible

  • Target Date

  • Closed Date

12: Recall plus recall flowchart

  • Question 12.1: Can the Seafood Manager and at least 1 other staff member demonstrate awareness of the Food Recall Flow Procedure?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 12.2: Can the Seafood Manager and at least 1 other staff member provide a copy of details of the Fish Processing Recall Team document.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 12.3: Has a recall (include mock) been conducted in the last twelve months?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • View the Food Recall Form (Form SOP.12 F.7) for the recall. Were all sections completed in full.

  • Findings

13: Trace

  • Question 13.1: Has the trace-ability of all incoming product (e.g. muscles and oysters) been maintained at all stages of the operations through to dispatch to client?
    Note – Fresh whole fish only requires species identification at all stages of the operations through to dispatch to client.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 13.2: When incoming stock is broken down, is the fish suppliers tub retained and a tag added to the tub recording the fish species name and the broken down date. Visually check tubs in the chiller.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Does the tag added to the fish supplier tubs include the following.

  • Broken down date

  • Fish species name

  • Findings

  • Question 13.3: Are all finished products labelled in accordance with the labelling requirements of the Food Standards Code

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 13.4: Do inwards goods inspection reports identify where ingredients & raw materials were purchased, their condition at receipt and the quantity on hand.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Does the criteria identified include:

  • Where ingredients & raw materials were purchased

  • Condition at receipt

  • Quantity on hand

  • Findings

14: Training

  • Question 14.1: Is there a minimum, 1 suitably qualified HACCP trained staff member present on site daily?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Is their HACCP training certificate on file.

  • Are there records of who all the HACCP trained staff are and, are the records up to date?

  • Findings

  • Question 14.2: Is required training delivered to all staff?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • required training delivered includes:

  • appropriate induction and training commensurate with their work activities

  • HACCP training for new employees

  • Findings

  • Question 14.3: Is HACCP refresher training delivered to all staff at a minimum once per year?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

15: Transport

  • Question 15.1: Are goods being dispatched within specification.

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Were all the following criteria met at time of dispatch?

  • product temperature is 0 - 5 degrees

  • The time is recorded on the monitoring form at the time of dispatch

  • The vehicle is pre-chilled prior to loading

  • Is there appropriate paperwork being dispatched with the product. No product shall leave the facility without the appropriate paperwork.

  • Findings

  • Question 15.2: Have any temperature stock recordings been noted above 5 degrees? If so, has the supervisor reviewed the issue & either signed as acceptable with a reason documented or record as a non conformance?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 15.3: Is the Transport Monitoring Form verified weekly?

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

  • Question 15.4: Have all staff who pack chilled seafood been trained in Chilled Seafood Packing Procedure

  • Corrective Action

  • Responsible Person

  • Target Date

  • Closed Date

  • Findings

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