Distribution Center Food Safety and Quality Systems Audit ...€¦ · Dennis Dare Auditor Signature: Lin Holcomb 404-933-1595; ... Items in CAPS and bold will result in a critical

SILLIKER, Inc. 111 E. Wacker Dr., Suite 2300 * Chicago, IL 60601 * Tel +1(312)938.5151 * Fax +1(312)729.1320

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Confidential

AUDIT REPORT

Distribution Center Food Safety and Quality

Systems Auditfor:

KMT Brrr!: Logan Township, NJ

Report DateMarch 17, 2015

Audit byLin Holcomb

Silliker, Inc.

This audit report sets forth Silliker, Inc. ("Silliker") findings as of the date herein. Silliker shall not assume any responsibility for the programs and/or facility being audited nor for events oractions occurring prior or subsequent to this audit. Silliker shall not endorse, and hereby expressly disclaims, any liability related to the client carrying out Silliker's recommendations, if any, contained in this report. This report is furnished solely for the benefit of the above named client in connection with the auditing services indicated above and provided in accordance with "Silliker, Inc. Terms and Conditions for Technical Services". This audit report may not be reproduced or published in full or in part, altered, amended, made availableto or relied upon by any other person, firm or entity without the prior written consent of Silliker. The name of Silliker or its affiliates or any of its employees may not be used in connection with any marketing or promotion or in any publication concerning or relating to the client or its products and services without the prior written consent of Silliker. The content of this audit report may not be copied, reproduced or otherwise redistributed other than for use by the client with appropriate reference to restrictions on reproduction and use. Except as expresslyprovided above, copying, displaying, downloading, distributing, modifying, reproducing, republishing or retransmitting any information, text or documents contained in this audit report or any portion thereof in any electronic medium or in hard copy, or creating any derivative work based on such documents, is prohibited without the express written consent of Silliker. Nothing contained herein shall be construed as conferring by implication, estoppel or otherwise any license or right under anycopyright of Silliker, or any party affiliated with Silliker


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Items in CAPS and bold will result in a critical non conformance if a "1 or a minimally meets" is scored by auditor.

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Confidential


Audit Summary

Audit ReviewCompany associate(s) with whom audit findings were reviewed:

Company Name: Parent Company:


Center Address:

Silliker Auditor:

1145 Commerce Blvd. Logan Township, NJ 08085

Lin Holcomb [email protected] 404-933-1595

Audit Date:Start/End Time (# hrs onrecords/plant observations):

Center phone & fax numbers, email:

Company Associate(s) accompanying auditor (Name & title):

Audit Description:

March 17, 20150830-15303hrs observations/4hrs records

Phone: 856-542-6250 Fax: 856-542-6264 [email protected]

Dennis Dare, COO

Announced

N/AReason for follow-up:

Audit Score: Rating:92.5 Generally meets audit expectations

Dennis Dare

Auditor Signature:Lin Holcomb 404-933-1595; [email protected]

Food Safety Modernization Act:

Yes

Follow-up audit required:

No


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Confidential

Plant DescriptionKMT Brrr! in Logan Town is located in an industrial zone. The plant was built in 2010 and occupied 100,000 square feet, including 2 freezers and 2 coolers. It employs 15 full times staff members and 2 of them are supervisors. The operation starts with first shift from 6:00am and then late shift starts from 9:00am-6:00pm. Saturday operates from 8:00am-12:00pm, Sunday is normally closed. The site only provides storage services, it does not purchase or sell goods to clients. The operation is mainly pallet to pallet or re-pallet (to collect different goods in one pallet) and ships to restaurant. It does not open the product or have direct product handling operation.

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Confidential


Summary of Audit Findings

II. Product Protection

IV. Pest Control

V. Sanitation

* The firm has not developed procedure for building of pallets that contain raw protein items.

* A live bird was observed in cooler 5.

* The procedure does not specifically identify the cleanup of Raw Protein items. Comment: The firm has equipment for the clean up of raw proteins.

Company: KMT Brrr!: Logan Township, NJ Audit Date: March 17, 2015

Positive CommentsThe auditor would like to thank the employees and management for their cooperation during the audit.

Major Non-conformances:

II.A.11

IV.A.2

V.A.4

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Confidential


Facility Management

Facility Management

1. Are corrective actions from all audits completed and the appropriateness reviewed by senior management?

2. Does the business actively maintain the facility and prioritize repairs to the facility based on food safety risk to product?

3. Does the demonstrated food safety culture enable the facility's practices to comply with regulations and current good manufacturing practices?

4. Has the business implemented a system to ensure that all personnel are adequately trained, Instructed and supervised in food safety principles and practices, commensurate with their activity?

5. Does the business ensure that they provide evidence of their commitment to establish maintain and improve the food safety system?

6. Do key personnel in management have a clear understanding of the requirements of the food safety program?

Yes

Yes

Yes

Yes

Yes

Yes

Rating

Comments

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Confidential


I. Quality Systems .....................................................................

II. Product Protection .................................................................

III. Equipment & Facility ............................................................

IV. Pest Control .........................................................................

V. Sanitation ..............................................................................

VI. Food Defense ......................................................................

VIII. Miscellaneous ....................................................................

Category

77

98

78

10

98

18

5

# Points Received

80

105

80

25

100

20

5

# Possible Points

96.3

93.3

97.5

40

98

90

100

Percentage(%)

Distribution Center Food Safety and Quality Systems Audit Rating AnalysisCompany: KMT Brrr!: Logan Township, NJ Audit Date: March 17, 2015

Overall Score ........................................................................... 384 415 92.5


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ConfidentialKMT Brrr!: Logan Township, NJ

I. Quality Systems


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I. Quality Systems

A. Quality Systems

1. A DOCUMENTED GDP PROGRAM HAS BEEN ESTABLISHED. IT COMPLIES WITH ALL APPLICABLE REGULATIONS. (1 ELEMENT)

2. A written food safety/quality program has been established. Employees are aware of key food safety and quality points in their areas and take appropriate action. (2 Elements)

3. Standards exist for drivers of third party companies that are hired by the center for product distribution. (1 Element)

4. A written procedure is established for significant changes in distribution practices due to natural disasters or emergency. A current dated phone list for internal and external support contacts must be included with the procedures and must be updated annually. (2 Elements)

5. A documented, product recovery program that can trace the distribution of specific production lots has been established and is maintained. The program must comply with US FDA/USDA or equivalent guidelines for conducting a product recovery. The program must define procedures for contacting customers. Contact lists for responsible employees, customers and vendors are current. Responsibility formanaging the recovery program is assigned. Facility has an inventory management system in place to manage the rotation and shelf life of received goods. (3 Elements)

6. NO EXPIRED PRODUCT IS FOUND ''READY FOR DISTRIBUTION'' IN A PICK SLOT OR ON A PALLET READY TO BE DELIVERED. (1 ELEMENT)

7. Audits of the inventory management system test the tracking system's stock rotation and cycle counts accuracy. Those inventory items that are not shelf life sensitive have a defined method of rotation. Corrective actions are in place to ensure expired product or close to end of shelf life product is properly dispositioned and employees are made aware of results of the audit. (1 Element)

8. Center has established procedures for the identification, segregation and disposition of non-conforming/recoup items. (3 Elements)

9. Records defining reason for hold and disposition actions taken are maintained. Records must include product code dates. (2 Elements)

10. Procedures are developed for the calibration of key equipment, all facility thermometers and trailer refrigeration units. The procedures include a weekly calibration for key equipment or follow manufacturer's recommendations. Records of the calibrations are maintained. (2 Elements)

11. An effective preventative maintenance program is established. Records are maintained. (2 Elements)

12. Customer complaints are categorized and maintained with corrective actions. The complaints are analyzed by category on an established frequency to identify improvement opportunities. (2 Elements)

13. An ongoing written training program has been established for all center employees and drivers on GDPs, Distribution Work Place Safety, Food Safety, and Food Defense. Additional specific driver training must be included for drivers and helpers (if helpers are used). Training records are maintained. (3 Elements)

14. An ongoing written training program has been established for receivers and loaders including contract receivers used to unload trailers. Training records are maintained. (1 Element)

15. DC personnel must conduct monthly self-audits of the entire facility and grounds using these or similar written criteria. Documentation of self-audits must be on file and available for review by auditor. Corrective actions from the audits must be identified and addressed to include what is to be done, completion date, and by whom. (3 Elements)

16. Written procedures have been established to insure product protection for customer pick-ups at the center (will calls) and will include guidelines for pulling, staging, and transport of products. Temperature sensitive product temperatures must be recorded at the time of customer pick up. Will call records are maintained. (3 Elements)

5

5

N/A

5

5

5

5

5

3

5

5

5

5

5

4

5

Rating


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I. Quality Systems

A. Quality Systems

17. Written procedures have been established on how to handle product returns for both safety and security reasons. Guidelines must define what if anything can be returned, integrity parameters, delivery options and disposition of returned product. Product return records must be documented including the lot and or code dates of any products being disposed of. (2 Elements)

5

Comment: An employee was asked how he would react if an inbound truck had a hole in the floor. The employee was aware of appropriate actions within the policy's of the firm.

N/A: The firm does not provide third party transport for it's customers. Also, any transport provided by KMT Burrr! is not included in the scope of this audit.

Comment: The firm has an appropriate Recall Program, dated 12-26-13. An inventory control test was conducted for pallet R10113161 Lot H36156: The inventory system indicated that 100 cases were in the warehouse and 100 cases were verified to be in the warehouse by the auditor.

Comment: Random cycle counts from the last year were evaluate and found to be properly documented.

Hold items did not have notes of reason of disposition to be taken off hold until the first of March. The firm did not keep records of items on hold until January.

Comment: The firm contracts with an outside firm to conduct PMs. The firm conducts checks on refrigeration.

Comment: The firm contracts with an outside firm to conduct PMs. The firm conducts checks on refrigeration.

The firm could not produce self audits from March-April of 2014.

Comments

80

77

96.3

Possible Points

Actual Points

Percentage

I.A.2

I.A.3

I.A.5

I.A.7

I.A.9

I.A.11

I.A.12

I.A.15


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A. Product Protection

1. Written procedures must be in place defining the practices to be used for physical segregation of fresh proteins (fresh poultry, fresh meat of any kind, fresh fish and seafood and shell eggs) in storage. Written procedures must be in place defining the practices to be used for physical segregation of fresh proteins during transportation and delivery. (2 Elements)

2. NO ACTUAL PRODUCT CONTAMINATION IS OBSERVED. (1 ELEMENT)

3. No condition or practice exists that may potentially contaminate product or could lead to product contamination. (1 Element)

4. Written guidelines are established and practiced to insure product is held in the proper locations within the center, and handling and storage conditions meet label or customer standards. (1 Element)

5. Written guidelines are established and practiced to assure and maintain product integrity during storage. There is no product re-labeling or other activity that could compromise tracking product codes/lot numbers. (3 Elements)

6. Written guidelines are developed and practiced for palletizing and loading of product to protect product integrity during distribution. Products are loaded into appropriate areas of transport vehicles to insure proper temperatures can be maintained. (2 Elements)

7. A manual or computerized system is in place to assure products are from approved suppliers. Receivers verify inbound products are from the approved supplier list. (2 Elements)

8. Written procedures exist to assess each product's condition at receipt. Defined criteria are utilized to assure product condition, and recording of code dates and taking of product temperatures. (2 Elements)

9. Inbound product assessments are documented, signed, and verified. At a minimum, records include quantity, load conditions, code dates and product temperature. Records are available for review. (3 Elements)

10. A receiving pallet tag is placed on the lowest unit of a pallet at time of receipt or a verifiable method is established to ensure proper product rotation using first expired/first out (FEFO) product rotation. Oldest code date product is distributed first. (2 Elements)

11. Facility builds pallets for distribution with all raw protein items (shell eggs, fresh meat and poultry) and chemicals stored on the bottom or separate pallets. Auditor verifies that no foodstuffs or RTE products are stored below fresh protein products or chemicals on a pallet picked for distribution. (1 Element)

12. Procedures for maintaining center's temperature controls are established with upper and lower settingsand operating limits. The procedures define frequency and responsibility for checking temperatures daily, and thermometers / recording devices are calibrated weekly or per manufacturer's directions. Documentation of temperatures and calibrations must be maintained and available. Recommended controls are refrigerated < 40f, freezer < 0f and cool dock 45f. (3 Elements) Cooler: _____ Freezer: _____ Cool dock: ____

13. CORRECTIVE ACTIONS MUST BE TAKEN FOR DEVIATIONS IN THE CENTER'S TEMPERATURECONTROLS. (1 ELEMENT)

14. Procedures for maintaining proper product temperatures are established. (Required controls are in place to insure refrigerated products are at <40 f and frozen at <0 f. ) (Customer requirements for frozen and refrigerated products must be available for review and documented to show compliance.) (2 Elements)

15. PRODUCT TEMPERATURE CHECKS ARE TO BE WITHIN REQUIRED TEMPERATURE RANGES. AUDITOR TO MEASURE TEMPERATURE OF MINIMUM OF 1 PRODUCT PER STORAGE UNIT. (1 ELEMENT) COOLER: PRODUCT: ____ TEMP:______ FREEZER: PRODUCT: ____ TEMP:______

16. CORRECTIVE ACTIONS MUST BE TAKEN FOR DEVIATIONS IN MAINTAINING PROPER PRODUCT TEMPERATURES. (1 ELEMENT)

5

5

5

5

5

5

5

3

5

5

1

5

5

5

5

5

Rating


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A. Product Protection

17. Product stored on cool dock must be maintained at customer-required temperatures. Product is to be stored at least 10 feet from but not above dock doors and not between the dock doors. Product is allowed to be staged on the cold dock, However, the product must not be staged for more than 1 hour. (2 Elements)

18. FROZEN AND REFRIGERATED PRODUCT STAGED ON COOL DOCK DURING LOADING AND RECEIVING PROCESSES MUST MEET CUSTOMER'S OR FACILITY (IF CUSTOMER HAS NO ESTABLISHED SPECIFICATIONS) TEMPERATURE SPECIFICATIONS. Any customer/facility requirements for frozen and refrigerated product temperatures must be available for review. AUDITOR TO MEASURE TEMPERATURE OF PRODUCTS ON THE COOL DOCK. (1 ELEMENT) COOL DOCK: PRODUCT:____ TEMP:_____

19. Transport equipment temperature settings and pre-cooling practices are established and practiced prior to loading. Pre-cool records are maintained. Reefers on refrigerated delivery vehicles will be turned off during loading if the dock is warmer than the trailer temperature. Auditor to record temperature settings. (3 Elements) Reefer setting prior to loading: Freezer: _______ Cooler: _______

20. Employees are complying with GDPs. No eating, drinking and use of tobacco are observed in distribution center. Personal items are stored away from center internal areas. Employees are observed tocomply with GMPs. (3 Elements)

21. EMPLOYEE PERSONAL HYGIENE PRACTICES ARE SANITARY. MEDICAL PROBLEMS ARE NOT A SOURCE OF CONTAMINATION. NO CROSS CONTAMINATION OR CROSS-CONTACT PRACTICES ARE OBSERVED. (1 ELEMENT)

22. Chemicals (for sale) are stored segregated. (1 Element)

5

5

4

5

5

N/A

105

98

93.3

Possible Points

Actual Points

Percentage


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Comment: The firm only receives products from established customers with contracts.

The firms policy does not define the temperatures allowed during receiving.

The firm has not developed procedure for building of pallets that contain raw protein items.

Comment: The following cooler and temperatures were measured: Freezer3 2F, Cooler4 34F,Cooler5 32F, Freezer50F, and freezer 6 2F. The temperature of the cold dock was found to be 32F

Comment: The firm reports that they have not had a product related temperature deviation.

Comment: The following product temperatures were taken: Freezer3 bread 2F Cooler4 grapes 33F, Cooler5 bacon 33F Freezer5 turkey meatballs 4F, and Freezer6 spinach 1F.

Comment: The firm reports that they have not had deviations of product temperatures.

Comment: The temperatures of Pepperoni on the dock were measured and found to be 32F

The firm indicated that they allow trucks to be loaded with frozen product at 30F. Comment: An inbound load of grapes was measured and found to have a cooler temperature of 41 and the product temperature was found to be 41F.

N/A: The firm does not sell chemicals to it's customers.

Comments

II.A.7

II.A.8

II.A.11

II.A.12

II.A.13

II.A.15

II.A.16

II.A.18

II.A.19

II.A.22


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III. Equipment & Facility

A. Facility Exterior

1. Roads, yards, grounds, and parking lots are maintained in neat and good condition, and free of trash and litter. Weeds and ground cover are controlled within 20 feet of the building to prevent harborage areas. (3 Elements)

2. Distribution Center grounds have adequate drainage to prevent pooling of water, which can serve as source of contamination by seepage, foot-borne filth or provide a breeding place for pests. There should be no evidence of pooled water and no standing water should be observed. (2 Elements)

3. Equipment stored on Distribution Center grounds is at least 20 feet away from the buildings. Equipment stored within 20 feet must be at least 6 inches above the ground, and in an organized manner to prevent breeding areas and harborage from pests. Any pipes within 20 feet of the building must have closed ends. (2 Elements)

4. All bumpers, levelers and shelters are in good repair, and dock pits are clean. (2 Elements)

5. Adequate screening or other protection is provided for defense against pests. Doors and windows should be closed or screened with no gaps greater than 0.25 inch. Cracks and crevices have been sealed to prevent entrance or harborage of pests. Drains protruding from outer building walls must be screened. (Roof drains are exempt.) (3 Elements)

5

5

5

5

5

Rating


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III. Equipment & Facility

B. Facility Interior

1. Interior floors, walls, and ceilings are constructed of materials that can be adequately cleaned and maintained in good repair. (3 Elements)

2. Dock doors are immediately closed upon a trailer's leaving the dock. Door levelers are adjusted when dock doors are closed to prevent gaps. (2 Elements)

3. Lights and other breakable materials such as brittle plastic are shielded and protected from breakage over any product in shipping and receiving and in storage areas to prevent potential contamination. (1 Element)

4. A written glass control and brittle plastic program has been established. The program addresses all glass that is to be shielded within the facility, handling of glass and brittle plastic packaging and items beingsold, and clean-up procedures for breakage. (3 Elements)

5. There is adequate lighting in all areas of the facility, including storage, receiving, shipping, locker rooms,restrooms and break rooms. (1 Element)

6. Only approved food-grade lubricants are used on food handling equipment, and they are appropriately stored and labeled. Food grade lubricant must be used when product comes into direct contact with equipment. (2 Elements)

7. All items are on racks or pallets. No items are stored on the floor of distribution center. (Slip sheet storage is acceptable, if the customer's program allows it or the center has written customer approval.) Products are allowed to be stored in trailers without pallets. (1 Element)

8. Pallets are in good repair and not broken when used in the facility. Pallets are clean and do not contain aged debris. All slats of pallets are intact. Empty pallets stored on the interior of the facility are stacked in straight stacks and well organized. (2 Elements)

9. Break areas, locker rooms, and restrooms are maintained in a clean, sanitary condition. Drains functionproperly and are free of standing water. Break areas are separated from the food storage areas and are free of center garments, etc. Ladies' restrooms must have covered trash receptacles. Hand washing signage is posted in all of these areas either as pictures or in languages appropriate for workers to understand. (3 Elements)

10. Forklifts / floor scrubbers / vacuums are well maintained, cleaned and properly stored. Idle equipment and spare parts are properly cleaned and stored. (2 Elements)

11. Battery storage areas are cleaned, maintained and separate from food storage areas. (2 Elements)

12. Doors with curtains or automatic doors are evident at all refrigeration/freezer door storage areas. Theyare in good repair; seals are maintained. Mold and frost removal practices are acceptable. (3 Elements)

5

5

5

5

5

N/A

3

5

5

5

5

5

Rating

N/A: The plant does not have any equipment that poses a direct hazard and requires food grade lubricant.

BBQ chicken boxes and individual boxes of frozen spinach were found on the floor.

Comments

80

78

97.5

Possible Points

Actual Points

Percentage

III.B.6

III.B.7


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IV. Pest Control

A. Pest Control

1. A WRITTEN PREVENTIVE PEST CONTROL PROGRAM HAS BEEN ESTABLISHED. THE PROGRAM IS RISK BASED AND ADDRESSES ALL IDENTIFIED POTENTIAL PESTS RELATED TO THE FACILITY'S PROCESS AND SITE ENVIRONMENT. (6 ELEMENTS)

Guidance:- Pest control program is established based on risk.- Program is in the form of a contract or written internal program.- There is an identified Pest Control Operator internal or external to the facility.- There is an up to date schematic map that includes all pest control devices in use.- There is an established frequency of service.- Trend analysis for all pest control devices is conducted.

[If there is no written program or contract at all this is considered a critical non conformance and the score will be ''minimally meets'' with a critical non conformance.]

2. Pests are effectively controlled and managed inside and outside the facility through implementation of the comprehensive pest control program that meets industry best practices, local and federal regulations. Auditor observations and review of service records and trending results show program is effective. (18 Elements)

Guidance:- Service records meet the established requirements of the written program.- Records are complete and show corrective actions being taken for identified pest activity, identified preventive measures needed and additional monitoring opportunities.- Current copy of certification for the Pest Control Operator.- Current copy of the pest management company license to operate.- Proof of the PCO's current liability insurance.- Evidence of review and accuracy of the pest control device map.- A current list of pesticides approved for use at the site by corporate or on-site management.- MSDSs and specimen labels for all pesticides in use showing regulatory approval for use in a food handling facility.- Chemical usage records showing chemical name, quantity or concentration used, target pest and location of application.- The site has an adequate number of interior pest control devices along all walls in food handling areas (production, packaging, storage and cooler areas), as well as lunch rooms, break rooms and locker rooms.- The site has an effective number of exterior pest control devices (rodent and otherwise as applicable) which meet regulatory requirements spaced at effective intervals around the building's exterior perimeter.- All live catch devices (including glue boards) are checked at least twice-a-month. Exterior bait stations arechecked at least monthly.- Record of service verification such as stickers, cards, or bar codes shall be on the inside of the station.- PCO must initial and date labels, or sign, scan the barcode or use punch cards in all interior and exterior devices.- The positioning of all pest control devices must be effective for the intended purpose and to exclude potential contamination to food products, equipment and packaging. Bait is not used inside the facility.- All pest control devices are clean, functioning and bait where used has a fresh appearance.- The placement of flying insect control devices, insect light traps (ILTs) and insect-o-cutors (low and high voltage units) and other traps, when used, must be according to manufacturer instructions and comply with applicable regulations.- All flying insect control devices must be cleaned and maintained on an effective schedule. Bulbs must be shatter resistant and must be changed at least.

[All scoring in this question is based on the risk to food safety and the severity of the finding. Lower number of requirements missed that result in a serious risk to food safety or show poor implementation of the program will be scored lower than guidance suggests.]

Fully Meets

Minimally Meets

Rating


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IV. Pest Control

A. Pest Control

3. THERE IS NO EVIDENCE OF DECOMPOSED PESTS ANYWHERE IN THE INTERIOR OF THE FACILITY, INCLUDING IN PEST CONTROL DEVICES. THERE IS NO EVIDENCE OF INSECTS, SPIDERS, RODENTS OR BIRDS ON OR IN ANY FOOD INGREDIENTS, PRODUCTS OR PACKAGING MATERIALS. (1 ELEMENT)

[This is a one element question scored based on risk to food safety and number of instances observed.]

4. Avicides are prohibited inside the facility. If used on the exterior, avicides must be used in accordance to label requirements and must meet the pest control program. (1 Element)

Guidance:- Avicides are prohibited inside the plant's facilities and are used appropriately.


5. Pesticides, chemicals and other compounds stored on site for pest control must be properly labeled and kept in locked, secured areas away from any food storage or processing areas. (1 Element)

Guidance:- If facility is storing pesticides on site, the chemicals must be segregated from food handling areas and must be secured. Glue boards and traps, not in use, do not need to be segregated and secured.


Fully Meets

N/A

N/A

Comment: The firm has contracted with Omega Pest Management to conduct monthly exterior and twice monthly interior service of the facility.

A live bird was observed in cooler 5.

N/A: Avicides are prohibited inside the facility.

N/A: The plant does not store pesticide on site.

Comments

25

10

40

Possible Points

Actual Points

Percentage

IV.A.1

IV.A.2

IV.A.4

IV.A.5


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V. Sanitation

A. Sanitation Program

1. A written master sanitation program has been established and is being used for all daily, monthly, and other scheduled sanitation activities. The program covers all areas and equipment of the facility and grounds, including the buildings, grounds, offices, and all trailers. (2 Elements)

2. Cleaning and sanitation tasks and responsibilities are assigned and noted on the schedule. Verification of satisfactory completion of these tasks is recorded. (2 Elements)

3. Written sanitation standard operating procedures (SSOPs) are developed for sanitation tasks within the facility, including trailers, that require chemicals or water. (2 Elements)

4. Written cleaning and sanitation standard operating procedures (SSOPs) are developed specifically for refrigerated raw product storage areas. There are procedures for the cleaning and sanitizing to be done when spills of raw products occur. Dedicated sanitation equipment is available for refrigerated raw product areas, and it is identified appropriately by labeling or color-coding. (3 Elements)

5. A program for conducting ongoing training for cleaning and sanitation procedures and safe handling of chemicals has been established. The training is for employees completing sanitation tasks. Training documentation includes the date(s) given, topics covered, name of trainer, and is part of the employee's records. The training must be conducted annually. (3 Elements)

6. Cleaning chemicals and sanitizers used in the facility are approved by the appropriate regulatory agencyor have a letter of guarantee from the supplier stating the specific chemical or sanitizer can be used in a food facility. MSDS and sample labels are available for all chemicals used in the center. (3 Elements)

7. Cleaning chemicals and sanitizers must be appropriately labeled if they are not in their original container. (1 Element)

8. Cleaning tools and chemicals used in the center are stored in designated, clean and organized areas when not in use. The chemical storage area is labeled, segregated from food items and secured. (3 Elements)

5

5

5

4

5

5

5

5

Rating


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V. Sanitation

B. Facility

1. Trailer washing areas attached to the facility are well maintained, have operating drains or water capturing systems, and are clean with no evidence of debris or residue build-up. (3 Elements)

2. Inbound and outbound trailers are clean, sanitary, and show no signs of infestation and no debris. Trailers are in good repair. Door seals are in good repair and light cannot be seen around doorframes. (2 Elements)

3. Sanitation inspections of inbound and outbound trailers must be documented. The inspections should include evaluation of sanitation, off odors, and pest activity. (2 Elements)

4. Dumpster/compactor area is clean with no debris/residue build up evident. All exterior trash receptaclesare covered to prevent the attraction of pests. A bait station must be within 20 feet of the dumpster/compactor if the dumpster/compactor is within 20 feet of the building. (3 Elements)

5. Dry storage racking, including footings, is clean with no signs of dust build up. Pipes, overhead structures, electrical boxes and fans are free from dust. (2 Elements)

6. Dry storage areas are organized, clean, sanitary and well-maintained. All spills are immediately cleanedup. The floors, walls and ceilings are not dirty, and there is no evidence of spills, trash or other litter. (3 Elements)

7. In all storage areas, wall and floor areas behind racking are clean, clear of stored items and easily accessible for inspection and cleaning. (1 Element)

8. Floors, walls and ceilings of coolers, freezers and cool docks are in good repair and maintained in a clean and sanitary condition. There is no evidence of spills trash or clutter. Floors are kept dry. (3 Elements)

9. Racking in the coolers, freezers, and on the cool docks is clean and free from heavy dust. Racks and pallets of product are not dirty or damaged. No trash, spills, or other litter areon the racking. (2 Elements)

10. Coolers show no sign of condensation. Freezers have no ice on floors, walls or ceilings. (2 Elements)

11. Products stored in freezers and coolers should be free from condensation and ice or snow. (1 Element)

12. All product hold areas, return areas and recoup areas are clean with no aged product spills, residue, orleaking product. (2 Elements)

13. Dock levelers and wells are clean with no wood pieces, product or packaging present upon inspection. Brushes or gaskets are in place. (2 Elements)

14. The loading dock areas are clear of debris and spilled products. Equipment or items stored on the docks should be clean and organized. (2 Elements)

15. Small wares storage areas are clean. Racks are free from heavy dust. All items are properly stored. (2 Elements)

N/A

5

5

5

N/A

N/A

4

5

5

5

5

5

5

5

5

Rating

100

98

98

Possible Points

Actual Points

Percentage


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V. Sanitation

The procedure does not specifically identify the cleanup of Raw Protein items. Comment: The firm has equipment for the clean up of raw proteins.

N/A: The firm does not have a trailer washing facility attached.

N/A: The firm does not have any dry storage areas.

N/A: The firm does not have any dry storage areas.

The following items were found stored behind racking obstructing access: Freezer door on the floor in Freezer 6, and a pallet in cooler 4.

N/A: The firm does not distribute small wares.

Comments

V.A.4

V.B.1

V.B.5

V.B.6

V.B.7

V.B.15


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VI. Food Defense

A. Program

B. Observations and Review of Records

1. The facility must have a documented food defense plan that designates a multidisciplinary team. The team must initially assess all facility operations to determine potential deliberate contamination risks and appropriate strategies to reduce these identified risks. The team must reassess the risks and strategies on at least an annual basis. (4 Elements)

Guidance:- A team is identified and has assessed the risk of deliberate contamination of products during production storage, receiving and shipping.- The facility food defense plan is documented.- The food defense plan or other pre requisite programs include procedures to ensure security of the facilityand the products produced, stored, received or shipped from the facility.- The team conducts a reassessment of the risks and mitigation strategies on an annual basis.

[All scoring in this question is based on food defense risk and thorough risk assessment. The number of requirements missed and the severity of the finding may justify a rating lower that indicated in scoring guidance.]

1. The facility food defense protocol is implemented and effective. (14 Elements)

Guidance:- The following practices have been put in place to ensure security of the facility and the products during production, storage, receiving or shipping.- Visitors and or non employees are supervised for compliance to required visitor policies.- Access points to the facility are secured and employees are identified.- Facility follows their procedures for the screening prior to hiring and can include reference checks and basic felony background checks for all supervisors and above.- Facility employees understand how to report suspicious activity and who to report it to.- Restricted or critical areas within the facility are identified and secured.- There is restricted access to documents and software associated with ingredients or finished products.- Finished product has tamper evident packaging.- Inbound raw material deliveries are verified as sealed or locked, documents are verified and there is an evaluation of product integrity.- Outbound trailers are secured with seals or locks with records indicating compliance.- A system is in place and utilized for identifying delivery drivers (inbound or outbound).- Less than full load shipments are inspected according to policy that documents the 100% inspection of inbound less than full load unsecured deliveries.- Stored, loaded trailers ready for shipment must be secured while on premises.- Bulk receiving ports for food products or chemicals must be secured.- On site water handling facilities or wells are secured.- Driver identification is documented on shipping records.

[All scoring in this question is based on Food Defense risk and severity of finding. Lower number of requirements missed that result in a serious risk to food safety or show poor implementation of the programmay justify a rating lower than indicated in scoring guidance.]

Fully Meets

Generally Meets

Rating

Rating

20

18

90

Possible Points

Actual Points

Percentage


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VI. Food Defense

Comment: The firm conducted a food defense team meeting on 02-24-15. The firm has developed a food defense plan that is appropriate for the facility.

The check in of a driver was observed at the front desk. The person let the driver leave after he indicated that he didnot have his license on him, but he would bring it after he unloaded. All drivers must present identification prior to unloading to document DL number and name.

Comments

VI.A.1

VI.B.1


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VII. Fresh Produce Repack & Trimmed Repack

A. Repack

1. Procedures are required for Distribution Centers that repack or trim fresh produce. The procedures must identify the location of the work station. The necessary tools & equipment. Equipment work area andequipment sanitation requirements. Product identity tracking / recall method. Note: This question is N/A if no repacking of raw produce is occurring at the DC. (4 Elements)

N/A

Rating

N/A: The firm does not repack or trim fresh produce.

Comments

0

0

Possible Points

Actual Points

Percentage

VII.A.1


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VIII. Miscellaneous

A. Miscellaneous

1. Facility has completed the registration with the USA FDA as required by section 102 of the Food Safety Modernization Act, which went into effect October 2012. The auditor must verify that the facility has gone through the registration process. http://www.fda.gov/food/complianceenforcement/rfr/default.htm (Not required if facility is exclusively under USDA FSIS inspection) (1 Element)

2. If FDA regulated and located in the USA, the facility is aware of the 2009 FDA regulation establishing a Reportable Food Registry (RFR) and its accountability as a food or feed manufacturer to report when there is reasonable probability that an article of food will cause serious adverse health consequences. (1 Element)

5

Yes

Rating

Comment: The firm is registered with the FDA in compliance with FSMA.

Comment: The firm management was aware of the RFR.

Comments

5

5

100

Possible Points

Actual Points

Percentage

VIII.A.1

VIII.A.2


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This rating system describes a food facility's level of compliance with recognized food safety and Good Manufacturing Practices or good distribution practices. The point system and definitions are objective guidelines for evaluating the facility's compliance with the assessedstandards and are intended to assure consistency in rating. Comments are provided for any standard rated lower than 5.

Questions are scored per the matrix, with 5 being the highest rating possible and 1 being the lowest. If isolated issues for any element are found, an additional one point deduction will be applied to the question's rating OR if numerous issues for any element are found, anadditional two point deduction will be applied to the question's rating.

Definitions:Single issue - one observation, occurrence or instance of a specific/same issue or element.Isolated issues - Two observations, occurrences or instances of a specific/same issue or element.Numerous issues - Three or more observations, occurrences or instances or a specific/same issue or element.

This rating system is an objective guideline. Auditors may use their discretion regarding ratings considering the severity of food safety issues and numbers of observations of issue noted. The comment for non-conformity must be detailed to explain the rating.

Each facility will receive a total overall score based on the ratings of the individual standards in the audit form. The minimum acceptablenumerical score may vary depending upon the company requiring the audit.

Distribution Center Food Safety and Quality Systems Audit Assessment Rating System

91 - 97.9%85 - 90.9%

< 85%

Numerical Score98% or Higher

Number of elements in

question

>3 elements missed

3 elements missed

2 elements missed

1 element missed

All elementsfulfilled

>3 1 1 3 4 5

NA

NA

NA

1

NA

NA

3

2

1

2

1

NA

4

3

1

5

5

5

Scoregiven

toquestion

Generally meets audit expectationsPartially meets audit expectations

Minimally meets audit expectations

RatingMeets audit expectations

Documents

Distribution Center Food Safety and Quality Systems Audit ...€¦ · Dennis Dare Auditor Signature: Lin Holcomb 404-933-1595; ... Items in CAPS and bold will result in a critical