2.1 Management CommitmentThe producer/supplier shall provide evidence of its commitment to implement and maintain an effective SQF System and to support its ongoing improvement

(C) = Critical; -25 points (M) = Major; -10 points(m) = Minor; -1 point

2.1.1 Management Policy (M) Compliant? Documents which prove compliance Possible Secondary Responses2.1.1.1 Senior management shall prepare and implement a policy statement that outlines at a minimum the:

(M) There is no policy statement

i. Organizations commitment to supply safe food;

(m) Policy statement does not include the organizations commitment to supply safe food

ii. Methods used to comply with its customer and regulatory requirements and continually improve its food safety management system;

(m) Policy statement does not include requirements to comply with customer or regulatory expectations

iii. Organizations commitment to establish and review food safety objectives

(m) Policy statement does not include the organization’s commitment to establish and review food safety objectives

2.1.1.2 The policy statement shall be:

i. Signed by senior management; (m) Policy statement not signed by senior manager

ii. Made available in language understood by all staff;

(m) Policy statement not made available in language understood by all staff

iii. Displayed in a prominent position and effectively communicated to all staff

(m) Policy statement not displayed prominently(m) No evidence policy statement has been effectively communicated to staff

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2.1.2 Management Responsibility (M) Compliant? Documents which prove compliance Possible Secondary Responses2.1.2.1 The organizational reporting structure describing those who have responsibility for food safety shall be defined and communicated within the organization

(m) Not communicated within the organization

2.1.2.2 The senior management shall make provision to ensure fundamental food safety practices are adopted and maintained

(M) Senior management has not ensured that food safety practices have been adopted

2.1.2.3 The senior management shall ensure adequate resources are available to achieve food safety objectives and support the development, implementation, maintenance, and ongoing improvement of the SQF System

(M) The senior management has not provided sufficient resources to support the documentation, implementation, and improvement of the SQF System(m) The senior management has not provided sufficient resources to achieve the food safety objectives(m) The senior management has not provided sufficient resources to support the on-going maintenance and improvement of the SQF System

2.1.2.4 The senior management shall designate an SQF Practitioner for each site with responsibility and authority to:

(M) There is no designated SQF Practitioner

i. Oversee the development, implementation, review and maintenance of the SQF System, including food safety fundamentals outlined in 2.4.2, and the food safety plan outlined in 2.4.3

(m) SQF Practitioner does not have the responsibility and authority to oversee the development, implementation, review and maintenance of the SQF System(m) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Fundamentals outlined in 2.4.2(m) SQF Practitioner does not have responsibility and authority to lead the development and implementation of the Food Safety Plan outlined in 2.4.3

ii. Take appropriate action to ensure the integrity of the SQF System;

(m) SQF Practitioner does not have the responsibility or authority to take appropriate action to ensure the integrity of the SQF System

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iii. Communicate to relevant personnel all information essential to ensure the effective implementation and maintenance of the SQF System

2.1.2.5 The SQF Practitioner shall:

i. Be employed by the supplier as a company employee on a full-time basis

(M) SQF Practitioner does not work for the operation

ii. Hold a position of responsibility in relation to the management of the supplier’s SQF System;

iii. Have completed a HACCP training course; (M) SQF Practitioner does not have HACCP Training

iv. Be competent to implement and maintain HACCP based food safety plans;

(M) SQF Practitioner does not have a demonstrable knowledge of HACCP relative to the operation

v. Have an understanding of the SQF Code level 2 and the requirements to implement and maintain SQF System relevant to the supplier scope of certification

(M) SQF Practitioner is not able to demonstrate a thorough knowledge of the SQF Code(m) SQF Practitioner’s knowledge of relevant sections of the SQF Code (i.e. modules relevant to the site’s food sector categories) is incomplete

2.1.2.6 The responsibility for establishing and implementing the training needs of the organization’s personnel to ensure they have the required competencies to carry out those functions affecting products, legality, and safety shall be defined and documented

(M) Staff do not have the competencies to carry out the functions affecting product legality or safety (m) Responsibility for establishing the training needs of the organization has not been implemented(m) Responsibility for implemented the training needs of the organization has not been implemented

2.1.2.7 All staff shall be informed of their responsibility to report food safety problems to personnel with authority to initiate action

(M) Staff have not been informed of their responsibility to report food safety problems to personnel with the authority to initiate action(m) Staff do not know who the responsible person is that they should report food safety problems to(m) Staff are aware of their responsibility but

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do not report food safety problems2.1.2.8 Job descriptions for those responsible for food safety shall be documented and include provision to cover for the absence of key personnel

(M) Job descriptions for those responsible for food safety are not documented(m) Job descriptions do not include provision to cover for the absence of key personnel

2.1.2.9 The senior management shall establish processes to improve the effectiveness of the SQF System to demonstrate continuous improvement

(m) Senior management has not established processes to demonstrate continuous improvement(m) Continuous improvement processes are documented but have not been implemented

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2.1.3 Food Safety Management System (M) Compliant? Documents which prove compliance Possible Secondary Responses2.1.3.1 A food safety manual shall be documented and maintained in either electronic and/or hard copy form. It shall outline the methods the organization will use to meet the requirements of this Standard, be made available to staff and include:

(M) No documented Food Safety Manual(M) Food Safety Manual is not maintained(m) Food Safety Manual is not available to relevant staff

i. A summary of the organization’s food safety policies and the methods it will apply to meet the requirements of this standard;

(m) The summary of the food safety policies does not include the methods applied to meet the requirements of the standard(m) Other procedures and documentation necessary to support the development, implementation, maintenance and control of the SQF System is not included

ii. The policy statement and organization chart; (m) Policy Statement is not included(m) Organizational chart is not available or updated(m) Organizational chart is out of date

iii. The scope of the certification;

iv. A list of the products covered under the scope of the certification

(m) A list of the products covered under the Scope of Certification is not included

2.1.3.2 A food safety manual shall be documented, maintained, made available to relevant staff and include or reference the written procedures, pre-requisite programs, food safety plans and other documentation necessary to support the development and the implementation, maintenance and control of the SQF System

(M) The FSM does not reference the pre-requisite programs(M) The FSM does not include or reference the Food Safety Plans(M) No Food Safety Manual has been created(m) Other procedures and documentation necessary to support the development, implementation, maintenance and control of the SQF System are not included(m) The food safety manual is not complete, several key programs are not included(m) The food safety manual is not current, some documented programs are not up to date(m) The food safety manual does not support the implementation of the SQF System(m) The food safety manual does not support the maintenance of the SQF System(m) The food safety manual does not support the control of the SQF System

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2.1.4 Management Review (M) Compliant? Documents which prove compliance Possible Secondary Responses2.1.4.1 The senior management shall be responsible for reviewing the SQF System and documenting the review procedure. Reviews shall include:

(M) The reviewing procedure is not implemented(m) The senior management is not involved in reviewing the SQF System in its entirety

i. The policy manual;

ii. Internal and external audit findings; (m) Audit findings are not reviewed

iii. Corrective actions and their investigations and resolution;

iv. Customer complaints and their resolution and investigation

(m) Customer complaints are not reviewed

2.1.4.2 The SQF System in its entirety shall be reviewed at least annually

(M) The entire SQF System is not reviewed annually by senior management

2.1.4.3 Food safety fundamentals and food safety plans shall be reviewed when any changes implemented have an impact on the supplier’s ability to deliver safe food

(M) Changes which have major impact on the ability to delivery safe food do not trigger a review of the Food Safety Fundamentals(M) Changes which have a major impact on the ability to deliver safe food do not trigger a review of the Food Safety Plans

2.1.4.4 The SQF practitioner shall be responsible for validating changes to food safety fundamentals and food safety plans that have an impact on the supplier’s ability to deliver safe food

(m) Major changes to Food Safety Fundamentals are not validated by an SQF Practitioner(m) Major changes to the Food Safety Plan are not validated by an SQF Practitioner(m) Small or minor changes to Food Safety Fundamentals are not validated by an SQF Practitioner(m) Small or minor changes to the Food Safety Plan are not validated by an SQF Practitioner

2.1.4.5 Records of all reviews and reasons for amending documents, validations and changes to the SQF System shall be maintained

(m) Records of all reviews of the SQF System are not maintained(m) Records and reasons for amending documents are not maintained(m) Validation records of the SQF System are not maintained

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2.1.5 Complaint Management Compliant? Documents which prove compliance Possible Secondary Responses2.1.5.1 The methods and responsibility for handling and investigating the cause and resolution of complaints from customers and authorities shall be documented and implemented

(m) Methods for investigating customer complaints are not implemented(m) Methods for handling customer complaints are not implemented

2.1.5.2 Trends of customer complaint data shall be investigated and analyzed by personnel knowledgeable about the incidents

(m) Customer complaint data has not been investigated and analyzed by personnel knowledgeable about the incident(m) Trends of customer complaint data have not been analyzed

2.1.5.3 Corrective action shall be implemented commensurate with the seriousness of the incident as outlined under 2.5.5.

(m) Corrective action not implemented(m) Records of investigation are not maintained

2.1.5.4 Records of customer complaints and their investigations shall be maintained

(m) Records of complaints are not maintained(m) Records of investigation are not maintained

2.1.6 Business Continuity Planning Compliant? Documents which prove compliance Possible Secondary Responses2.1.6.1 A business continuity plan based on the understanding of known food safety threats to a business shall be prepared by senior management outlining the methods and responsibility the organization will implement to cope with a business crisis that may impact on the ability of the supplier to deliver safe food

(M) There is no business continuity plan(m) The business continuity plan does not address the known threats to the facility(m) The business continuity plan was not prepared by senior management(m) The business continuity plan does not include the methods and responsibilities the organization will implement to cope with a business crisis that may impact the ability of the supplier to deliver safe food

2.1.6.2 The business continuity plan shall include as a minimum:

i. A senior manager responsible for decision making, oversight and initiating actions arising from a crisis management incident;

(m) The business continuity plan does not designate a senior manager responsible for making decisions, oversight and initiating actions arising from a crisis management incident

ii. The nomination and training of a crisis management team;

(m) the business continuity plan does not include the nomination and training of a crisis management team

iii. The controls implemented to ensure a response does not compromise product safety;

(m) The business continuity plan does not ensure a response to a crisis does not compromise product safety(m) The business continuity plan does not include controls that when implemented would not compromise product safety and

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qualityiv. The measures to isolate and identify product

affected by a response to a crisis;(m) The business continuity plan does not contain measures to isolate and identify product affected by the crisis response

v. The measures taken to verify the acceptability of food prior to release;

(m) The business continuity plan does not include measures taken to verify the acceptability of food prior to release

vi. The preparation and maintenance of a current crisis alert contact list;

(m) The business continuity plan does not include the preparation and maintenance of a current crisis alert contact list(m) The crisis alert contact list does not include the CB or SQFI

vii. Sources of legal and expert advice; (m) The business continuity plan does not include legal and expert advice

viii. The responsibility for internal communications and communicating with authorities, external organizations and media

(m) The business continuity plan does not designate responsibility for internal communications and communicating with authorities, external organizations and media

2.1.6.3 The business continuity plan shall be reviewed, tested and verified at least annually

(m) The business continuity plan has not been tested and verified annually

2.1.6.4 Records of reviews and verification of the business continuity plan shall be maintained

(m) Records of the business continuity plan are not maintained

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2.2 Document Control and Records2.2.1 Document Control (M) Compliant? Documents which prove compliance Possible Secondary Responses2.2.1.1 The methods and responsibility for maintaining document control and ensuring staff have access to current documents shall be documented and implemented

(M) Staff do not have access to current documents (m) Methods for maintaining document control are not documented(m) Methods for maintaining document control are not implemented

2.2.1.2 A register of current SQF System documents and amendments to documents shall be maintained

(m) No register of SQF System documents is available(m) Register of SQF system documents is not easily accessible

2.2.1.3 Documents shall be safely stored and readily accessible

(m) Documents are not safety stored(m) Documents are not readily accessible

2.2.2 Records (M) Compliant? Documents which prove compliance Possible Secondary Responses2.2.2.1 The methods and responsibility for undertaking monitoring activities, verifying, maintaining and retaining records shall be documented and implemented

(M) Methods for undertaking monitoring activities are not documented(M) Methods for undertaking monitoring activities are not implemented(M) Methods for verifying records are not implemented(m) Responsibilities for undertaking monitoring activities are not documented(m) Responsibilities for undertaking monitoring activities are not implemented(m) Methods for verifying records are not documented(m) Responsibilities for verifying records are not documented(m) Responsibilities for maintaining records are not documented(m) Responsibilities for maintaining records are not implemented(m) Methods for maintaining records are not documented(m) Methods for maintaining records are not implemented

2.2.2.2 All records shall be legible and suitably authorized by those undertaking monitoring activities that demonstrate inspections, analyses and other essential activities have been completed

(m) Records are not legible(m) Records are not signed or otherwise authorized by those undertaking monitoring activities

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2.2.2.3 Records shall be readily accessible, retrievable, securely stored to prevent damage and deterioration and shall be retained in accordance with periods specified by a customer or regulations

(M) Records are not available(m) Records are not completed(m) Records are not dated(m) Records are not securely stored to prevent damage and deterioration(m) Records are not retained in accordance with periods specified by a customer or legislation (regulation)

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2.3 Specification and Product Development2.3.1 Product Development and Realization Compliant? Documents which prove compliance Possible Secondary Responses2.3.1.1 The methods and responsibility for designing, developing and converting product concepts to commercial realization shall be documented and implemented

(M) Product development procedures are not documented (M) Product development procedures are not implemented

2.3.1.2 Product formulation, manufacturing processes and the fulfillment of product requirements shall be validated by facility trials, shelf life trials and product testing

(m) The product formulation has not been validated by facility trials(m) The product formulation has not been validated by shelf life trials(m) The product formulation has not been validated by product testing

2.3.1.3 Shelf life trials where necessary shall be conducted to establish and validate a product’s:

(m) Shelf life trials have not been conducted to establish the products 'use by' or 'best before' date

i. Handling, storage requirements including the establishment of “use by” or “best before dates”;

ii. Microbiological criteria;

iii. Consumer preparation, storage and handling requirements

2.3.1.4 A food safety plan shall be validated and verified for each new product and its associated process through conversion to commercial production and distribution, or where a change to ingredients, process, or packaging occurs that may impact food safety

(M) A food safety plan has not been validated and verified for each new product(M) When changes to the process, ingredients or packaging occurred, the food safety plan has not been validated or verified

2.3.1.5 Records of all product design, process development, shelf life trials and approvals shall be maintained

(m) There are no records of shelf life trials(m) There are no records of product designs(m) There are no records of process developments(m) There are no records of approvals

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2.3.2 Raw and Packaging Materials Compliant? Documents which prove compliance Possible Secondary Responses2.3.2.1 Specifications for all raw and packaging materials, including, but not limited to ingredients, additives, hazardous chemicals and processing aids that impact on finished product safety shall be documented and kept current

(m) Specifications for raw materials that impact food safety are not documented(m) Specifications for raw materials that impact food safety are not kept current(m) Specifications for raw materials that impact food safety do not comply with relevant legislation(m) Specifications for packaging materials that impact food safety are not documented(m) Specifications for packaging materials that impact food safety are not kept current(m) Specifications for packaging materials that impact food safety do not comply with relevant legislation

2.3.2.2 All raw and packaging materials and ingredients shall comply with the relevant legislation

(M) Raw materials do not comply with relevant legislation(m) Packaging materials do not comply with relevant legislation

2.3.2.3 The methods and responsibility for developing and approving detailed raw material, ingredient, and packaging specifications shall be documented

(m) Methods for developing specifications are not documented(m) Responsibility for developing specifications is not documented(m) Methods for approving specifications are not documented(m) Responsibility for approving specifications is not documented

2.3.2.4 Raw and packaging materials and ingredients shall be validated to ensure product safety is not compromised and the material is fit for its intended purpose. Validation of raw materials and ingredients shall include Certificate of Conformance; or certificate of analysis; or sampling and testing

(m) Raw materials are not validated to ensure product safety is not compromised(m) Packaging materials are not validated to ensure product safety is not compromised(m) Validating methods do not include certificate of conformance, analysis or sampling or testing

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2.3.2.5 Validation of packaging materials shall include:i. Certification that all packaging that comes into

direct contact with food meets either regulatory acceptance or approval criteria. Documentation shall either be in the form of a declaration of continued guarantee of compliance, a certificate of conformance, or a certificate from the applicable regulatory agency

(m) Packaging material validation activities do not include certification that product meets regulatory acceptance or approval criteria

ii. In the absence of a certificate of conformance, certificate of analysis, or letter of guarantee, tests and analyses to confirm the absence of potential chemical migration from the packaging to the food contents shall be conducted and records maintained

(m) Packaging material validation is not documented

2.3.2.6 Product labels shall be accurate, comply with the relevant legislation and be approved by qualified company personnel

(m) Product labels are not accurate(m) Product labels do not comply with relevant legislation(m) Product labels are not approved by qualified company personnel

2.3.2.7 A register of raw and packaging material specifications and labels shall be maintained and kept current

(m) Register of raw material specifications and labels is not maintained(m) Register of packaging material specifications and labels is not maintained(m) Register of raw material specifications and labels is not kept current (m) Register of packaging material specifications and labels is not kept current

2.3.3 Contract Service Providers Compliant? Documents which prove compliance Possible Secondary Responses2.3.3.1 Specifications for contract services that have an impact on finished product safety shall be documented, current, include a full description of the service to be provided and detail relevant training requirements of contract personnel

(m) There are no documented specifications for contract services that impact finished product safety(m) The specifications for contract services that impact finished product safety are not current(m) The specifications for contract services that impact finished product safety do not have a description of the service(m) Specifications for contract personnel do not include training requirement

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2.3.3.2 A register of all contract service specifications shall be maintained

(m) A register of contract service specifications has not been maintained(m) The Register for contract services is not current

2.3.4 Contract Manufacturers Compliant? Documents which prove compliance Possible Secondary Responses2.3.4.1 The methods and responsibility for ensuring all agreements relating to customers product requirements and its realization and delivery are specified and agreed shall be documented and implemented

(M) Methods for ensuring customer product requirements are not implemented(M) Responsibility for ensuring customer product requirements is not implemented (m) Methods for ensuring customer product requirements are not documented(m) Responsibility for ensuring customer product requirements is not documented

2.3.4.2 The supplier shall:i. Verify all customer requirements are being

met at all times(M) Customer requirements are not being met

ii. Ensure changes to contractual agreements are approved by both parties and communicated to relevant personnel

(m) Changes to contractual agreements are not approved by both supplier and customer(m) Changes to contractual agreements are not communicated to relevant personnel

2.3.4.3 Records of all contract reviews and changes to contractual agreements and their approvals shall be maintained

(m) Records of all contract reviews are not maintained(m) Records of all changes to contract reviews are not maintained(m) Approvals to all changes are not maintained

2.3.5 Finished Product Compliant? Documents which prove compliance Possible Secondary Responses2.3.5.1 Finished product specifications shall be documented, current, approved by the supplier and their customer, accessible to relevant staff and may include:

(M) Product specifications are not being followed

i. Microbiological and chemical limits;

ii. Labeling and packaging requirements

2.3.5.2 A register of finished product specifications shall be maintained

(m) A register of finished product specifications is not maintained(m) A register of finished product specifications is not current

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2.4 Attaining Food Safety2.4.1 Food Legislation (Regulation) (M) Compliant? Documents which prove compliance Possible Secondary Responses2.4.1.1 The organization shall ensure that, at the time of delivery to its customer, the food supplied shall comply with the legislation that applies to the food and its production in the country of its origin and destination. This includes compliance with legislative requirements applicable to maximum residue limits, food safety, packaging, product description, nutritional, allergen and additive labeling, and to relevant established industry codes of practice

(M) Organization does not ensure food supplied complies with the food safety legislation that applies to the food and its production in the country of its origin(M) Organization does not ensure food supplied complies with the food safety legislation that applies to the food and its production in the country of destination

2.4.1.2 The methods and responsibility for ensuring the organization is kept informed of changes to relevant legislation, scientific and technical developments and relevant industry codes of practice shall be documented and implemented

(M) Method is not implemented (m) Organization does not have a method to keep informed of changes to relevant legislation or scientific or technical development

2.4.2 Food Safety Fundamentals (M) Compliant? Documents which prove compliance Possible Secondary Responses2.4.2.1 The property, buildings and equipment shall be located, constructed, designed and maintained to facilitate the hygienic production, manufacture, handling, storage and/or delivery of safe food

(M) Facility is not designed to manufacture safe food(M) Equipment is not designed to manufacture safe food

2.4.2.2 The supplier shall ensure the food safety fundamentals described in the relevant subsequent modules of this Code (i.e. modules 3-15) are applied, or excluded according to a detailed risk analysis outlining the justification for exclusion or evidence of the effectiveness of alternative control measures to ensure that food safety is not compromised

(M) The food safety fundamentals were not followed(m) A risk analysis was not conducted to exclude or provide alternative control to elements in the food safety fundamentals

2.4.2.3 Those pre-requisite programs applicable to the scope of certification that outline the means by which food safety is controlled and assured shall be documented and implemented

(M) Pre-requisite programs were not documented(M) Pre-requisite programs were not implemented

2.4.2.4 The effectiveness of the pre-requisite programs shall be verified as described in 2.5.4

(M) Pre-requisite programs were not verified

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2.4.3 Food Safety Plan (M) Compliant? Documents which prove compliance Possible Secondary Responses2.4.3.1 A food safety plan shall be developed, effectively implemented, and maintained and outline the means by which the organization controls and assures food safety. The food safety plan shall:

(C) Food Safety plan has not been implemented (M) No Food Safety plan(M) Food safety plan is not current(M) Food safety plan has not been maintained

i. Be prepared in accordance with the steps identified in the Codex Alimentarius Commission or NACMCF HACCP guidelines. Primary producers may utilize a HACCP-based reference food safety plan developed by a responsible authority

(m) Food safety plan does not follow HACCP method

ii. Cover a product or product group and the associated processes

iii. Describe the methodology and results of a hazard analysis conducted to identify food safety hazards associated with all inputs and process steps including rework

(m) Food safety plan does not have the methodology and results of the hazard analysis

iv. Prescribe those measures taken to apply the controls implemented that are critical to assuring, monitoring and maintaining food safety

(M) Food safety plan does not include controls critical to food safety

v. Include process controls at control points in production to monitor product safety, identify when a process is deviating from set parameters and make corrections to keep a process under control

(M) Corrective actions have not been implemented when process controls deviated from set parameters

vi. Include documented Standard Operating Procedures (SOPs) and Work Instructions (WI) applicable to the organization’s scope of certification

(m) Work instructions have not been documented

2.4.4 Food Quality Plan Compliant? Documents which prove compliance Possible Secondary ResponsesThis clause is not applied at level 2

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2.4.5 Incoming Goods and Services Compliant? Documents which prove compliance Possible Secondary Responses2.4.5.1 Raw materials, ingredients, packaging materials, and services that impact on finished product safety shall be supplied by an approved supplier

(M) Raw materials are not from an approved supplier(M) Packing materials are not from an approved supplier(M) Ingredients materials are not from an approved supplier(m) Services rendered do not come from an approved supplier

2.4.5.2 The receipt of raw materials, ingredients, and packaging materials received from non-approved supplier shall be acceptable in an emergency situation provided they are inspected or analyzed before use

(m) Raw materials from non-approved suppliers do not undergo inspection prior to use(m) Raw materials were accepted from non-approved suppliers in non-emergency situations

2.4.5.3 The responsibility for selecting, evaluating, approving and monitoring an approved supplier shall be documented and implemented

(M) No approved supplier program is documented(M) Supplier approval program is not implemented

2.4.5.4 The approved supplier program shall be based on the prior performance of a supplier and the risk level of the raw materials ingredients, packaging materials, and services supplied, and shall contain as a minimum:

(m) Methods used for selecting an approved supplier have not been documented

i. Agreed specifications; (m) The program does not contain agreed specifications

ii. Reference to the rating of the level of risk applied to a raw material ingredients, packaging materials and services and the approved supplier;

iii. A summary of the food safety controls implemented by the approved supplier;

(m) The program does not contain a summary of the food safety controls implemented by the supplier

iv. Methods for granting approved supplier status;

(m) Methods used for approving an approved supplier have not been documented

v. Methods and frequency of monitoring approved suppliers;

(m) The program does not contain methods for monitoring the suppliers (m) The program does not contain the frequency of monitoring the suppliers

vi. Details of the certificates of conformance (m) The program does not contain the details

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required; of the certificates of conformance if required

vii. Methods and frequency of reviewing approved supplier performance and status

(m) Methods used for evaluating an approved supplier have not been documented(m) Methods used for monitoring an approved supplier have not been documented(m) The program does not include the frequency for reviewing supplier performance

2.4.5.5 A register of approved supplier and records of inspections and audits of approved suppliers shall be maintained

(m) A register of approved suppliers are not maintained(m) Records of inspections are not maintained

2.4.6 Non-conforming Product or Equipment Compliant? Documents which prove compliance Possible Secondary Responses2.4.6.1 The responsibility and methods outlining how non-conforming product, raw material, ingredient, work-in-progress, packaging or equipment detected during receipt, storage, processing, handling or delivery is handled shall be documented and implemented. The methods applied shall ensure:

(M) Responsibilities or methods for handling non-conforming materials is not documented(M) Responsibilities or methods for handling non-conforming materials is not implemented

i. Non-conforming product is quarantined, identified, handled and disposed of in a manner that minimizes the risk of inadvertent use, improper use or risk to the integrity of finished product

(m) Identification of product does not minimize risk of inadvertent use(m) Identification of product does not minimize risk of integrity of finished product(m) Handling does not minimize the risk of inadvertent use(m) Handling does not minimize the risk of improper use(m) Disposal does not minimize the risk of inadvertent use(m) Disposal does not minimize the risk of improper use(m) Disposal does not minimize the risk to the integrity of finished product

ii. Non-conforming equipment is effectively repaired or disposed of in a manner that minimizes the risk of inadvertent use, improper use or risk to the integrity of finished product;

(m) Repairs do not minimize the risk of inadvertent use(m) Repairs do not minimize the risk of improper use(m) Disposal does not minimize the risk of inadvertent use(m) Disposal does not minimize the risk of improper use(m) Disposal does not minimize the risk to the integrity of finished product

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iii. All relevant staff is aware of the organization’s quarantine and release requirements applicable to equipment or product placed under quarantine status

(m) Staff is not aware of product isolation and release policy

iv. For producers, the procedure must document the grower, field name, quantity and final disposition of the unacceptable materials when applicable

(M) The producer did not document the grower, field name, quantity

2.4.6.2 Quarantine records, and records of the handling, corrective action, or disposal of non-conforming product or equipment shall be maintained

(m) Records of non-conforming product are not maintained

2.4.7 Product Rework Compliant? Documents which prove compliance Possible Secondary Responses2.4.7.1 The responsibility and methods outlining how the product is reworked (recycled or recouped) shall be documented and implemented. The methods applied shall ensure:

(M) Responsibility and methods are not documented(M) Responsibility and methods are not implemented

i. Reworking operations are supervised by qualified personnel;

(m) Reworking operations are not supervised by qualified personnel

ii. Reworked product is clearly identified and traceable;

(m) Reworked product is not identified(m) Reworked product is not traceable

iii. Each batch of reworked product is inspected or analyzed as required before release;

(m) Rework product is not inspected or analyzed prior to release

iv. Inspections and analyses shall conform to the requirements outlined in element 2.4.8

(m) Release of reworked product does not conform to section 2.4.8(m) Inspections do not conform to section 2.5.6

2.4.7.2 Records of all reworking operations shall be maintained

(m) No records of reworking operations are maintained

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2.4.8 Product Release (M) Compliant? Documents which prove compliance Possible Secondary Responses2.4.8.1 The responsibility and methods for releasing products shall be documented and implemented. The methods applied shall ensure the product is released:

(M) No documented methods for releasing products(M) Responsibilities for releasing products are not identified(M) The methods for releasing products are not implemented

i. By authorized personnel; (m) Authorized personnel are not used to release product

ii. Once all inspections and analyses are successfully completed and documented to verify legislative and other established food safety controls have been met

(m) Verification that legislative food safety controls have been met have not been completed

2.4.8.2 Records of all product release shall be maintained

(m) Records of releases have not been maintained

2.4.9 Stock Rotation Compliant? Documents which prove compliance Possible Secondary Responses2.4.9.1 The responsibility and methods for ensuring effective stock rotation principles are applied shall be documented and implemented

(m) Stock rotation principles have not been documented(m) Stock rotation principles have not been implemented

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2.5 SQF System Validation2.5.1 Responsibility, Frequency and Methods Compliant? Documents which prove compliance Possible Secondary Responses2.5.1.1 Validation and verification activities shall be the responsibility of the SQF practitioner

(M) SQF Practitioner does not conduct validation activities(M) SQF Practitioner does not conduct verification activities

2.5.1.2 The frequency and methods used to validate and verify food safety fundamentals, critical limits, and other food safety controls identified in food safety plans shall be documented and implemented and meet their intended purpose

(M) Frequency and methods used to validate food safety fundamentals are not documented(M) Frequency and methods used to validate food safety fundamentals are not implemented(M) Frequency and methods used to validate food safety fundamentals do not meet their intended purpose

2.5.1.3 Records of all verification activities shall be maintained

(m) Records of activities are not maintained

2.5.2 Validation & Effectiveness (M) Compliant? Documents which prove compliance Possible Secondary Responses2.5.2.1 The methods, responsibility and criteria for ensuring the effectiveness of pre-requisite programs, and validating critical food safety limits to ensure they achieve their intended purpose shall be documented and implemented. The methods applied shall ensure that:

(M) The methods and responsibility and criteria for ensuring the effectiveness of the pre-requisite programs are not documented(M) The methods and responsibility and criteria for ensuring the effectiveness of the pre-requisite programs are not implemented(M) Critical food safety limits are not validated

i. Pre-requisite programs are confirmed to ensure they achieve the required results

(M) Pre-requisite programs do not achieve their intended purpose(m) Methods do not confirm that the required result is achieved

ii. Critical limits are selected to achieve the designated level of control of the identified food safety hazard(s);

(m) Critical limits do not effectively provide the designated level of control

iii. All critical limits and control measures individually or in combination effectively provide the level of control required

(m) Critical limits and control measures do not effectively provide the required level of control

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iv. Changes to the processes or procedures are assessed to ensure controls are still effective

v. Critical food safety limits are re-validated at least annually

(m) Critical limits are not re-validated at least annually

2.5.2.2 Records of all validation activities shall be maintained

(m) Validation records are not maintained

2.5.3 Verification Schedule Compliant? Documents which prove compliance Possible Secondary Responses2.5.3.1 A verification schedule outlining the verification activities, their frequency of completion and the person responsible for each activity shall be prepared and implemented

(m) Verification schedule is not prepared(m) Verification schedule is not implemented(m) Verification schedule is not complete and outline the frequency or person responsible

2.5.4 Verification of Monitoring Activities (M) Compliant? Documents which prove compliance Possible Secondary Responses2.5.4.1 The methods, responsibility and criteria for verifying the effectiveness of monitoring pre-requisite programs critical control points and other food safety controls identified shall be documented and implemented. The methods applied shall ensure that personnel with responsibility for verifying monitoring activities authorize each record verified

(M) Methods for verifying the effectiveness of the monitoring pre-requisite programs and CCPs are not implemented (m) Methods for verifying the effectiveness of the monitoring pre-requisite programs and CCPs are not documented(m) Records were not authorized

2.5.4.2 Records of the verification of monitoring activities shall be maintained

(m) Records were not maintained

2.5.5 Corrective and Preventative Action (M) Compliant? Documents which prove compliance Possible Secondary Responses2.5.5.1 The responsibility and methods outlining how corrections and corrective actions are investigated, resolved, managed and controlled, including the identification of the root cause and resolution of non-compliance of critical food safety limits, and deviations from food safety requirements, shall be documented and implemented

(M) Responsibilities and methods outlining how corrections and corrective actions are investigated/ resolved/ managed/ controlled are not documented(M) Responsibilities and methods outlining how corrections and corrective actions are investigated/ resolved/ managed/ controlled are not implemented(m) Root cause analysis for non-compliance to critical food safety limits has not been identified(m) Root cause analysis and resolution for non-compliance to critical food safety limits has not been identified

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2.5.5.2 Records of all investigation and resolution of corrections and corrective action shall be maintained

(m) Records of corrective actions are not maintained

2.5.6 Product Sampling, Inspection, and Analysis Compliant? Documents which prove compliance Possible Secondary Responses2.5.6.1 The methods, responsibility and criteria for sampling, inspecting and/or analyzing raw materials, finished product and work in progress shall be documented and implemented. The methods applied shall ensure:

(M) Methods for sampling, inspecting, and/or analyzing raw materials, finished product and work in progress are not documented

i. Inspections and analyses are completed at regular intervals as required and to agreed specification and legal requirements;

(m) Inspections are not completed at regular intervals

ii. Inspections are conducted to ensure raw materials, work in progress and finished products comply with the relevant specification, regulatory requirements and are true to label;

(M) Inspections do not ensure materials comply with relevant specifications

iii. All analyses are conducted to nationally recognized methods or alternative methods which are validated as equivalent to the nationally recognized methods

(M) Analyses are not conducted to nationally recognized methods (m) Alternative methods used are not validated as equivalent to the national standard methods

iv. Where external laboratories are utilized to conduct input or product analysis, the laboratories shall be accredited to ISO 17025 or an equivalent national standard

(m) External laboratories are not accredited to ISO 17025 or equivalent standard

2.5.6.2 Records of all inspections and analyses shall be maintained

(m) Records are not maintained

2.5.7 Internal Audits (M) Compliant? Documents which prove compliance Possible Secondary Responses2.5.7.1 The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF System including facility and equipment inspections, pre-requisite programs, food safety plans and legislative controls shall be documented and implemented. The methods applied shall ensure:

(M) Inspections of the facility and equipment are not planned(M) Inspections of the facility are not carried out

i. An internal audit schedule is prepared (m) Audit schedule does not include scope

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detailing the scope and frequency of internal audits;

and frequency

ii. Correction and corrective action of deficiencies identified during the internal audits are undertaken;

(m) The supplier did not take correction and corrective action

iii. Audit results are communicated to relevant management personnel and staff responsible for implementing and verifying corrective actions;

(m) Audit results were not communicated to relevant management personnel or staff

iv. Records of internal audits and any corrections and corrective action taken as a result of internal audits shall be maintained

(m) Records were not maintained

2.5.7.2 Staff conducting internal audits shall be trained in internal audit procedures

(m) Staff conducting internal audits have not been trained

2.5.7.3 Where possible staff conducting internal audits shall be independent of the function being audited

(m) Staff is not independent of the function being audited

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2.6 Product Identification, Trace, Withdrawal and Recall2.6.1 Product Identification (M) Compliant? Documents which prove compliance Possible Secondary Responses2.6.1.1 The methods and responsibility for identifying products during all stages of production and storage shall be documented and implemented. The product identification system shall be implemented to ensure:

(M) Methods for identifying products during all stages of the process is not documented(M) A product identification system is not implemented

i. Raw materials, work in progress and finished product are clearly identified during all stages of receipt, production, storage and dispatch;

(M) Product is not clearly identified during all stages of the process

ii. Finished product is labeled to the customer specification and/or regulatory requirements

(m) Finished product is not labeled to the customer or regulatory requirements

2.6.1.2 Product identification records shall be maintained (m) Records are not maintained

2.6.2 Product Trace (M) Compliant? Documents which prove compliance Possible Secondary Responses2.6.2.1 The responsibility and methods used to trace product shall be documented and implemented to ensure:

(M) Product trace system is not documented(M) Product trace system is not implemented

i. Finished product is traceable to the customer (one up) and provides traceability through the process to the supplier and date of receipt of raw materials, food contact packaging and materials and other inputs (one back);

(M) Product trace system is not traceable one up and one back

ii. Traceability is maintained where product is reworked;

(M) Traceability is not maintained where product is reworked

iii. The effectiveness of the product trace system shall be tested at least annually

(m) The effectiveness of the product trace system is not tested annually

2.6.2.2 Records of raw and packaging material receipt and use, and product dispatch and destination shall be maintained

(m) Records are not maintained

2.6.3 Product Withdrawal and Recall (M) Compliant? Documents which prove compliance Possible Secondary Responses2.6.3.1 The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall:

(M) Methods and responsibility for notifying customer and other essential bodies are not documented(M) Methods and responsibility for notifying customer and other essential bodies are not implemented

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(M) SQFI was not notified of a product recalli. Identify those responsible for initiating,

managing and investigating a product withdrawal or recall;

ii. Describe the management procedures to be implemented including sources of legal and expert advice;

iii. Outline a communication plan to inform customers, consumers, authorities and other essential bodies in a timely manner appropriate to the nature of the incident

2.6.3.2 Investigation shall be undertaken to determine the root cause of a withdrawal or recall and details of investigations and any action taken shall be documented

(M) Investigations from product recalls have not been conducted(m) Documentation from investigations and action taken has not been documented

2.6.3.3 The product withdrawal and recall system shall be reviewed, tested and verified as effective at least annually

(m) Recall system has not been tested at least annually

2.6.3.4 Records of all product withdrawals and recalls shall be maintained

(m) Records are not maintained

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2.7 Site Security2.7.1 Food Defense (M) Compliant? Documents which prove compliance Possible Secondary Responses2.7.1.1 The methods, responsibility and criteria for preventing food adulteration caused by a deliberate act of sabotage or terrorist-like incident shall be documented, implemented and maintained

(m) No responsibility for food defense have been assigned(m) No methods for food defense have been developed(m) Food defense plan has not been implemented

2.7.1.2 A food defense protocol shall be prepared and include:

i. The name of the senior management person responsible for food defense;

(m) Senior management person responsible not identified

ii. The methods implemented to ensure only authorized personnel have access to crops, production equipment and vehicles, manufacturing and storage areas through designated access points;

(m) No methods to ensure only authorized vehicles have access(m) No methods to identify authorized personal who have access(m) No methods identified to secure packaging and harvesting equipment

iii. The methods implemented to protect sensitive processing points from intentional adulteration;

(m) No methods identified to protect crop from intention adulteration

iv. The measures taken to ensure the secure storage of raw materials, packaging, equipment and hazardous chemicals;

(m) No methods identified to secure hazardous chemicals

v. The measures implemented to ensure harvested crop and/or finished product is held under secure storage and transportation conditions;

(m) No measure taken to secure storage areas for harvested crops

vi. The methods implemented to record and control access to the premises by employees, contractors, and visitors

(m) No methods in place to record visitors or contractors to the facility(m) No methods in place to record access of employees to the premises

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2.8 Identity Preserved Foods2.8.1 General Requirements for Identity Preserved Foods Compliant? Documents which prove compliance Possible Secondary ResponsesThis Clause is not applied at level 22.8.2 Allergen Management Compliant? Documents which prove compliance Possible Secondary Responses2.8.2.1 The responsibility and methods used to control allergens and to prevent sources of allergens from contaminating product shall be documented and implemented. The allergen management program shall include:

(C) Conditions are observed in which products are comingled with products containing allergens (M) No methods to control allergens developed(M) Methods developed to control allergens are not sufficient

i. A risk analysis of those raw materials, ingredients and processing aids, including food grade lubricants, that contain allergens;

(M) No risk assessment for raw materials containing allergens have been conducted(m) Not all ingredients with allergens included in risk assessment

ii. A register of allergens which is applicable in the country of manufacture and the country(ies) of destination;

iii. A list of allergens which is accessible by relevant staff

(m) No list of ingredients with allergens has been developed

iv. The hazards associated with allergens and their control incorporated into the food safety plan

(M) Controls for the allergens identified in risk assessment not included in food safety plan

v. Instructions on how to identify, handle, store and segregate raw materials containing allergens provided to staff responsible for receiving those target raw materials

(M) Controls are not developed to segregated products with allergen causing agents

vi. Provision to clearly identify and segregate foods that contain allergens;

vii. Cleaning and sanitation of product contact surfaces between line changeovers shall be effective, appropriate to the risk and legal requirements, and sufficient to remove all potential target allergens from product contact surfaces, including aerosols as appropriate, to prevent cross contact

(M) Cleaning and sanitation of equipment is not completed prior to changeover of allergen products (M) Cleaning of equipment containing allergens is not verified prior to product changeover

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viii. Based on risk assessment, procedures for validation and verification of the effectiveness of the cleaning and sanitation of areas and equipment in which allergens are used shall be effectively implemented

(m) Verification of sanitation effectiveness is not implemented

ix. Separate handling and production equipment where satisfactory line hygiene and clean-up or segregation is not possible

(M) Equipment segregation for allergen control is not conducted(M) Equipment segregation for allergen control does not minimize potentially for cross-contact

2.8.2.2 The product identification system shall make provision for clear identification and labeling in accordance with regulatory requirements of those products produced on production lines and equipment on which foods containing allergens were manufactured

(M) Conditions exist within storage area of potential cross contact between allergen and non-allergen ingredients(M) Equipment segregation for allergen control does not minimize potentially for cross-contact (m) Specific procedures for the storage of allergen containing ingredients has not been developed

2.8.2.3 The product trace system shall take into consideration the conditions under which allergen containing foods are manufactured and ensure full trace back to all ingredients used

(M) Product identification system does not address allergens(M) Products containing allergens are not properly labeled to identify them as allergens(M) Product trace system does not address products and ingredients with allergens(M) Product traces system does not capture all ingredients with allergens

2.8.2.4 Re-working of product containing allergen causing agents shall be conducted under conditions that ensure product safety and integrity is maintained. Re-worked product containing allergens shall be clearly identified and traceable

(M) Product reworked is not adequately separated from product which contains allergens(M) Product reworked is not properly labeled(M) Product trace does not include reworked product with allergens

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2.9 Training2.9.1 Training Requirements Compliant? Documents which prove compliance Possible Secondary Responses2.9.1.1 Appropriate training shall be provided for personnel carrying out the tasks critical to the effective implementation of the SQF level 2 System and the maintenance of food safety and regulatory requirements

(m) Adequate training in the SQF system was not provided to staff(m) Employees with assigned tasks in SQF have no training on SQF systems

2.9.2 Training Program (M) Compliant? Documents which prove compliance Possible Secondary Responses2.9.2.1 An employee training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied for those staff carrying out tasks associated with:

(m) Employee training program does not include pre-requisite programs(m) Employee training program does not include customer specifications

i. Developing and applying Good Agricultural Practices, Good Aquaculture Practices, or Good Manufacturing Practices (as appropriate)

(m) Employee training program does not include good manufacturing/ agricultural practices (as appropriate)

ii. Applying food regulatory requirements; (m) Employee training program does not include food regulatory requirements

iii. Steps identified by the hazard analysis and/or other instructions as critical to effective implementation of the food safety plan and the maintenance of food safety;

(m) Employee training program does not include hazard analysis(m) Employee training program does not include maintenance of food safety plan

iv. Tasks identified as critical to meeting the effective implementation and maintenance of the SQF System

2.9.3 Instructions Compliant? Documents which prove compliance Possible Secondary Responses2.9.3.1 Instructions shall be available explaining how all tasks critical to meeting regulatory compliance, the maintenance of food safety and process efficiency are to be performed

(m) There are no specific work instructions for adherence to regulatory compliance(m) There are no specific work instructions for maintenance of food safety plan(m) There are not specific work instructions for maintenance of quality or process

2.9.4 HACCP Training Requirement Compliant? Documents which prove compliance Possible Secondary Responses2.9.4.1 HACCP training shall be provided for staff involved in developing and maintaining food safety plans

(m) There is no HACCP training for staff maintaining food safety plan(m) HACCP training for staff maintaining food safety and quality plans was not sufficient

2.9.5 Language Compliant? Documents which prove compliance Possible Secondary Responses2.9.5.1 Training materials and the delivery of training shall (m) Training was not provided in necessary

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be provided in language understood by staff languages to be understood by staff

2.9.6 Refresher Training Compliant? Documents which prove compliance Possible Secondary Responses2.9.6.1 The training program shall include provision for identifying and implementing the refresher training needs of the organization

(m) Training program does not define refresher training requirement(m) Training program does not identify means for achieving refresher training requirement

2.9.7 Training Skills Register Compliant? Documents which prove compliance Possible Secondary Responses2.9.7.1 A Training skills register describing who has been trained in relevant skills shall be maintained. The register shall indicate the:

i. Participant name; (m) Training skills register does not include participant name

ii. Skills description; (m) Training skills register does not include skills description

iii. Description of the training provided; (m) Training skills register does not include description of training provided

iv. Date Training completed; (m) Training skills register does not include date of the training

v. Trainer or training provider; (m) Training skills register does not include trainer or training provider

vi. Supervisor’s verification the training was completed and that the trainee is competent to complete the required tasks

(m) Training skills register does not include supervisor verification that training was effective

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11.1 Site Requirements and Approval11.1.1 Premises Location Compliant? Documents which prove compliance Possible Secondary Responses11.1.1.1 The location of the premises shall be such that adjacent and adjoining buildings, operations, and land use do not interfere with safe and hygienic operations

(m) Location of premises poses a hygienic risk(m) Location of premises poses a food safety risk

11.1.1.2 Measures shall be established to maintain a suitable external environment, and the effectiveness of the established measures shall be monitored and periodically reviewed

(m) Methods to manage exterior environmental risks have not been monitored(m) Methods to manage exterior environmental risks have not been reviewed

11.1.2 Construction and Operational Approval Compliant? Documents which prove compliance Possible Secondary Responses11.1.2.1 The construction and ongoing operation of the premises on the site shall be approved by the relevant authority

(m) Site has not been approved by local authorities

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11.2 Construction and Control of Product Handling and Storage Areas11.2.1 Materials and Surfaces Compliant? Documents which prove compliance Possible Secondary Responses11.2.1.1 Product contact surfaces and those surfaces not in direct contact with food in food handling areas, raw material storage, packaging material storage, and cold storage areas shall be constructed of materials that will not contribute a food safety risk

(M) Product contact surfaces are constructed of materials that pose a food safety risk (m) Non-food contact surfaces are constructed of materials that pose a food safety risk

11.2.2 Floors, Drains and Waste Traps Compliant? Documents which prove compliance Possible Secondary Responses11.2.2.1 Floors shall be constructed of smooth, dense impact resistant material that can be effectively graded, drained, impervious to liquid and easily cleaned

(m) Floors are non-smooth and not easily cleanable(m) Floors are not graded properly(m) Floors are made of an inappropriate material

11.2.2.2 Floors shall be sloped to floor drains at gradients suitable to allow the effective removal of all overflow or waste water under normal working conditions

(m) Floors do not drain properly(m) Areas of floors have excessive water buildup

11.2.2.3 Drains shall be constructed and located so they can be easily cleaned and not present a hazard

(m) Drain construction poses a food safety risk(m) Drain location poses a food safety risk

11.2.2.4 Waste trap system shall be located away from any food handling area or entrance to the premises

(m) Waste traps are located close to food handling areas or entrance to the facility

11.2.3 Walls, Partitions, Doors and Ceilings Compliant? Documents which prove compliance Possible Secondary Responses11.2.3.1 Walls, partitions, ceilings and doors shall be of durable construction. Internal surfaces shall be smooth and impervious with a light colored finish, and shall be kept clean (refer to element 11.2.13.1)

(M) The condition of walls, partitions, doors, ceilings, pose a food safety risk (m) Walls are not of sound construction(m) Partitions are not of sound construction(m) Doors are not of sound construction(m) Ceilings are not of sound construction(m) Walls, partitions, ceilings, and doors are not kept clean

11.2.3.2 Wall to wall and wall to floor junctions shall be designed to be easily cleaned and sealed to prevent the accumulation of food debris

(m) Wall to wall junctions are not constructed properly(m) Floor to wall junctions are not constructed properly

11.2.3.3 Ducting, conduit and pipes that convey services such as steam or water shall be designed and constructed so as to allow ease of cleaning

(m) Ducting is constructed to pose difficulty in cleaning(m) Conduits are constructed to pose difficultly in cleaning(m) Pipes are constructed to pose a difficultly in cleaning

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11.2.3.4 Doors, hatches and windows and their frames shall be of a material and construction which meets the same functional requirements for internal walls and partitions:

i. Doors and hatches shall be made of solid construction;

(m) Door are not of solid construction

ii. Windows shall be made of shatterproof glass or similar material

(M) Windows are not made of shatterproof glass in product contact areas (m) Windows are not of solid construction(m) Windows are not made of shatterproof glass in non-product contact areas

11.2.3.5 Food shall be processed and handled in areas that are fitted with a ceiling or other acceptable structure that is constructed and maintained to prevent the contamination of products

(M) Ceiling construction poses a food safety hazard to the product (m) Ceilings are not of sound construction

11.2.3.6 Drop ceilings shall be additionally constructed to enable monitoring for pest activity, facilitate cleaning and provide access to utilities

(m) Drop ceilings are not constructed to enable monitoring of pest activity(m) Drop ceilings are not constructed to enable cleaning(m) Drop ceilings are not constructed to facilitate access to utilities

11.2.4 Stairs, Catwalks and Platforms Compliant? Documents which prove compliance Possible Secondary Responses11.2.4.1 Stairs, catwalks and platforms in food processing and handling areas shall be designated and constructed so as to not present a product contamination risk, and shall be kept clean (refer to element 11.2.13.1)

(M) Stair construction poses a food safety hazard to the product (M) Catwalk construction poses a food safety hazard to the product(m) Stair and/or catwalk is not of sound construction in non-product contact zones

11.2.5 Lighting and Light Fittings Compliant? Documents which prove compliance Possible Secondary Responses11.2.5.1 Lighting in food processing and handling areas and at inspection stations shall be of appropriate intensity to enable the staff to carry out their tasks efficiently and effectively

(m) Lighting intensity is not sufficient in food processing areas(m) Lighting intensity is not sufficient at inspection stations

11.2.5.2 Light fittings in processing areas, inspection stations, ingredient and packaging storage areas, and all areas where the product is exposed shall be shatterproof, manufactured with a shatterproof covering or fitted with protective covers and recessed into or fitted flush with the ceiling. Where fittings cannot be recessed, structures

(M) Majority of light fixtures are not shatterproof or protected, and pose a threat to product safety (m) A light fitting was found unprotected

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must be protected from accidental breakage, manufactured with cleanable materials and addressed in the cleaning and sanitation program11.2.5.3 Light fittings in warehouses and other areas where the product is protected shall be designed such as to prevent breakage and product contamination

(m) Light fittings in warehouse areas pose a risk to product safety

11.2.6 Inspection Area Compliant? Documents which prove compliance Possible Secondary Responses11.2.6.1 A suitable area within the processing area shall be provided for the inspection of the product if required

(m) No area is designated as product inspection area(m) Area designated as product inspection is not suitable

11.2.6.2 The inspection area shall be provided with facilities that are suitable for examination of the style of product being processed. The inspection area shall have:

i. Easy access to hand washing facilities; (m) Product inspection area does not have easy access to hand washing facilities

ii. Sufficient lighting intensity to enable as thorough inspection of the product as required

(m) Product inspection area does not have sufficient lighting

11.2.7 Dust, Fly and Vermin Proofing Compliant? Documents which prove compliance Possible Secondary Responses11.2.7.1 All external windows, ventilation openings, doors and other openings shall be effectively sealed when closed and proofed against dust, vermin and flies

(M) There is a risk of dust or pest contamination of product (m) Windows are not protected and sealed against dust or pests(m) Doors are not adequately protected against dust or pests

11.2.7.2 Personnel access doors shall be provided. They shall be effectively fly-proofed and fitted with a self-closing device

(m) Personnel doors are not self-closing

11.2.7.3 External doors, including overhead dock doors in food handling areas, used for product, pedestrian or truck access shall be fly-proofed by at least one or a combination of the following methods:

(m) External door(s) are not adequately fly-proofed

i. A self-closing device;ii. An effective air curtain;iii. A fly-proof screen;iv. A fly-proof annex;v. Adequate sealing around trucks in docking

areas(m) Sealing around trucks in docking areas is not adequate

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11.2.7.4 Electric insect control devices, pheromone or other traps and baits shall be located so as not to present a contamination risk to the product, packaging, containers or processing equipment. Bait shall not be used inside ingredient or food storage areas or processing areas

(m) Insect devices are located so as to pose a threat to product(m) Insect devices are located so as to pose a threat to equipment(m) Bait is used inside food storage areas or processing areas

11.2.8 Ventilation Compliant? Documents which prove compliance Possible Secondary Responses11.2.8.1 Adequate ventilation shall be provided in enclosed processing and food handling areas

(m) Food processing areas do not have adequate ventilation

11.2.8.2 Extractor fans and canopies shall be provided in areas where cooking operations are carried out or a large amount of steam is generated and shall have the following features:

i. Capture velocities shall be sufficient to prevent condensation build up and to evacuate all heat, fumes and other aerosols to the exterior via an exhaust hood positioned over cooker;

(m) Condensation is present in cooker areas(m) Cooking areas are not adequately exhausted

ii. Fans and exhaust vents shall be fly proofed and located so as not to pose a contamination risk;

(m) Exhaust vents are not adequately fly proofed

iii. Where appropriate, positive air-pressure system shall be installed to prevent airborne contamination

(M) Positive air pressure is not available in high risk processing areas

11.2.9 Premises and Equipment Maintenance Compliant? Documents which prove compliance Possible Secondary Responses11.2.9.1 The methods and responsibility for the maintenance and repair of plant, equipment and buildings shall be documented, planned and carried out in a manner that minimizes the risk of product, packaging or equipment contamination

(M) Actual maintenance practices risk product safety and integrity(m) There are no planned maintenance schedule

11.2.9.2 Maintenance staff and contractors shall observe the following practices when undertaking maintenance and repairs in any food processing, handling or storage area:

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i. Routine maintenance of plant and equipment shall be performed according to a maintenance-control schedule and recorded;

(m) Activities from preventative maintenance schedule are not documented

ii. Failures of plant and equipment shall be documented, reviewed and their repair incorporated into the maintenance control schedule;

(m) Plant failures are not documented(m) Equipment failures are not documented(m) Failures are not incorporated into maintenance control schedule

iii. Compliance with the personnel and process hygiene requirements (refer 11.3.1, 11.3.2, 11.3.3, 11.3.4) by maintenance staff and contractors;

(M) Maintenance staff do not follow food safety and hygiene practices(M) Maintenance contractors do not follow food safety and hygiene practices (m) There are no personal hygiene practices developed for maintenance staff and contractors

iv. Ensure facility supervisors are notified when maintenance or repairs are to be undertaken in any food handling area;

(m) Supervisors are not notified when repairs made in food handling area

v. Inform the maintenance supervisor and the facility supervisor if any repairs or maintenance pose a potential threat to product safety (i.e. pieces of electrical wire, damaged light fittings, and loose overhead fittings). When possible, maintenance is to be conducted outside processing times;

(M) No notification occurs when potential risk to product is evident

vi. Remove all tools and debris from any maintenance activity once it has been completed and inform the area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be completed prior to the commencement of facility operations

(M) No sanitation activity occurs after maintenance repair in food processing area(m) All tools, parts and debris not removed from repair areas

11.2.9.3 The maintenance schedule shall be prepared to cover building, equipment and other areas of the premises critical to the maintenance of product safety and quality

(m) Maintenance schedule does not include critical areas of facility(m) Maintenance schedule does not include critical areas of equipment

11.2.9.4 Equipment located over product or product conveyors shall be lubricated with food grade lubricants and their use controlled so as to minimize the contamination of the product

(M) Non-food grade lubricant is used in food contact zones(m) Non-food grade lubricant is used on food handling conveyors

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(m) Food grade lubricant is used, but is likely to contact product

11.2.9.5 Paint used in a food handling or contact zone shall be suitable for use and in good condition and shall not be used on any product contact surface

(M) Paint is used on product contact surfaces

11.2.10 Calibration Compliant? Documents which prove compliance Possible Secondary Responses11.2.10.1 The methods and responsibility for the calibration and re-calibration of measuring, test and inspection equipment used for monitoring activities outlined in pre-requisite program, food safety plans and food quality plans and other process controls, or to demonstrate compliance with customer specifications shall be documented and implemented

(M) Calibration methods for monitoring equipment are not documented(m) Methods for calibration of equipment do not include responsibility(m) Methods for calibration of equipment do not include all necessary equipment

11.2.10.2 Procedures shall be documented and implemented to address the disposition of potentially affected products should measuring, test and inspection equipment be found to be out of calibration state

(M) Potentially affected product is not adequately disposed (m) There are no procedures in place to address disposition of potentially affected product

11.2.10.3 Calibrated measuring, test and inspected equipment shall be protected from damage and unauthorized adjustment

(m) Calibrated equipment is not protected from damage(m) Calibrated equipment is subject to unauthorized adjustment

11.2.10.4 Equipment shall be calibrated against national or international reference standards and methods or to accuracy appropriate to its use. In cases where standards are no available, the supplier shall provide evidence to support the calibration reference methods applied

(M) The calibration standards are not known(M) Calibration standards are known but not followed

11.2.10.5 Calibration shall be performed according to regulatory requirements and/or to the equipment manufacturers recommended schedule

(m) Calibration schedule does not meet regulatory requirements(m) Calibration schedule has not been developed(m) Calibration schedule doe not follow recommended frequency

11.2.10.6 Calibration records shall be maintained (M) No calibration records are maintained(m) Calibrations records are not complete

11.2.11 Management of Pests and Vermin Compliant? Documents which prove compliance Possible Secondary Responses11.2.11.1 The methods and responsibility for integrated pest management shall be documented and effectively implemented. The premises, its surrounding areas, storage facilities, machinery and equipment shall be kept

(M) No methods for integrated pest management documented(m) Responsibility of integrated pest management not included in program(m) Pest management program does not

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free of waste or accumulated debris so as to not attract pests and vermin

include exterior or surrounding areas of facility(m) Facility has pest harborage areas observed(m) Exterior of facility has pest harborage areas observed

11.2.11.2 The pest and vermin management program shall:

i. Describe the methods and responsibility for the development, implementation and maintenance of the pest and vermin management program;

(M) Methods for the pest management program are not developed

ii. Identify the target pests for each pesticide application;

(m) Target pests are not included in program

iii. Outline the methods used to prevent pest problems;

(m) Methods used to prevent pest problems are not defined

iv. Outline the pest elimination methods; (m) Methods used to eliminate pests are not defined

v. Outline the frequency with which pest status is to be checked;

(m) No frequency for the checking of pest status is developed(m) Frequency not followed by responsible personnel in the checking of pest control devices

vi. Include on a site map the identification, location, number and type of bait stations set;

(m) Site map of pest control devices is not available(m) Site map of pest control devices is not complete

vii. List the chemicals used (they are required to be approved by the relevant authority and their Materials Safety Data Sheets (MSDS) made available);

(M) Unapproved chemicals for pest control used in the facility (M) No MSDS sheets available for any chemical used in facility(M) List of chemicals used for pest control is not available(m) No MSDS sheet available for one chemical used in facility(m) List of chemical used for pest control is not complete

viii. Outline the methods used to make staff aware of the bait control program and the measures to take when they come in contact

(m) No methods available for staff awareness of pest control chemicals and baits

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with a bait station;ix. Outline the requirements for staff awareness

and training in the use of pest and vermin control chemicals and baits;

(m) No methods available for staff awareness of pest control devices

x. Measure the effectiveness of the program to verify the elimination of applicable pests

(m) No measures of the effectiveness of the pest program are in place

11.2.11.3 Inspections for pest activity shall be undertaken on a regular basis by trained personnel and the appropriate action taken if pests are present

(M) No inspections are made of pest control devices(m) Inspections of pest control devices are made by untrained personnel(m) No appropriate action taken when issues are noted on pest control inspection

11.2.11.4 Records of all pest control applications shall be maintained

(m) Pest control records are not maintained(m) pest control records are not complete

11.2.11.5 Pesticides and other toxic chemicals shall be clearly labeled and stored as described in element 11.6.4 and handled and applied by properly trained personnel. They shall be used by or under the direct supervision of trained personnel with a thorough understanding of the hazards involved, including the potential for the contamination of food and food contact surfaces

(m) Pesticides are not properly labeled(m) Pesticides are not properly stored(m) Pesticides are applied by non-trained personnel

11.2.11.6 Pest control contractors shall be:

i. Licensed and approved by the relevant authority;

(M) Pest control operator is not licensed(M) Pest control operator is not approved by local relevant authority

ii. Use only trained and qualified operators who comply with regulatory requirements;

(m) Pest control operator is not properly trained

iii. Use only approved chemicals;

iv. Provide a pest control management plan (see Contract Services 2.3.3) which will include a site map indicating the location of bait stations and traps;

(m) Pest control operator does not have a pest control management plan

v. Report to a responsible authorized person on entering the premises and after the completion of inspections or treatments;

(m) Pest control operator does not report to facility management upon entry into facility

vi. Provide a written report of their findings and (m) Pest control operator does not leave

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the inspections and treatments applied written findings of inspection(m) Final report left by Pest control operator does not include chemicals applied

11.2.11.7 The supplier shall dispose of unused pest control chemicals and empty containers in accordance with regulatory requirements and ensure that:

(m) Empty pest control chemical containers not properly disposed(m) Unused pest control chemicals are not properly disposed

i. Empty chemical containers are not reused;

ii. Empty containers are labeled, isolated and securely stored while awaiting collection;

(m) Empty containers are not properly labeled(m) Empty containers are not properly contained

iii. Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal by an approved vendor

(m) Unused and obsolete chemicals are not stored secured

11.2.12 Equipment, Utensils and Protective Clothing Compliant? Documents which prove compliance Possible Secondary Responses11.2.12.1 Equipment and utensils shall be designed, constructed, installed, operated and maintained so as not to pose a contamination threat to products

(M) Food contact equipment's design, construction, or maintenance poses a food safety risk(M) Food contact utensil's design, construction, or maintenance poses a food safety risk(m) Non-food contact equipment or utensil is not maintained(m) Non-food contact equipment or utensil is not properly designed

11.2.12.2 Benches, tables, conveyors, mixers, mincers, graders and other mechanical processing equipment shall be easily dismantled for cleaning and located so as not pose a hindrance to the cleaning of premises. Equipment surfaces shall be smooth, impervious and free from cracks or crevices

(m) Food processing equipment is not properly maintained(m) Food processing equipment is not properly designed

11.2.12.3 Product containers, tubs, bins for edible and inedible material shall be constructed of materials that are non-toxic, smooth, impervious and readily cleaned. Bins used for inedible material shall be clearly identified

(M) Containers for inedible materials are not properly labeled (m) Food contact utensils are not properly maintained(m) Food contact utensils are not properly designed

11.2.12.4 Waste and overflow water from tubs, tanks and (m) Waste water is discharged on floor(m) Waste water is not properly drained

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other equipment shall be discharged direct to the floor drainage system11.2.12.5 Protective clothing shall be manufactured from material that is not liable to contaminate food and easily cleaned

(m) Protective clothing is not easily cleaned

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11.2.12.6 Racks shall be provided for the temporary storage of protective clothing when staff leaves the processing area and shall be provided in close proximity or adjacent to the personnel access doorways and hand washing facilities

(M) Racks are not provided(m) Racks are not poorly designed(m) Racks are not located near access doorways

11.2.13 Cleaning and Sanitation Compliant? Documents which prove compliance Possible Secondary Responses11.2.13.1 The methods and responsibility for the cleaning of the food handling and processing equipment and environment, storage areas, staff amenities and toilet facilities shall be documented and implemented. Consideration shall be given to:

(M) Facility does not have a cleaning program developed(M) Critical equipment and areas of the facility are not covered in cleaning program

i. What is to be cleaned; (m) Cleaning methods do not include what is to be cleaned

ii. How it is to be cleaned (m) Cleaning methods do not include how items are to be cleaned

iii. When it is to be cleaned (m) Cleaning methods do not include frequency of cleaning

iv. Who is responsible for the cleaning; (m) Cleaning methods do not include responsibility for cleaning

v. Methods used to confirm the correct concentrations of detergents and sanitizers

vi. The responsibility and methods used to verify the effectiveness of the cleaning and sanitation program

(m) Cleaning program does not include method for verification of effectiveness of sanitation

11.2.13.2 Provision shall be made for the effective cleaning of processing equipment, utensils and protective clothing

(M) The cleaning of processing equipment is ineffective(M) The cleaning of utensils is ineffective(m) The cleaning of protective clothing is ineffective

11.2.13.3 Suitably equipped areas shall be designated for cleaning product containers, knives, cutting boards and other utensils and for cleaning of protective clothing used by staff. These cleaning operations shall be controlled so as to not interfere with manufacturing operations, equipment or product. Racks and containers for storing cleaned utensils and protective clothing shall be provided as required

(m) Cleaning of utensils is carried out close to processing operations(m) Control of cleaning operations so as not to contaminate product is ineffective(m) Racks and areas for storing cleaned utensils are not provided(m) Racks and areas for storing cleaned utensils are ineffective

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11.2.13.4 Pre-operational hygiene and sanitation inspections shall be conducted by qualified personnel to ensure food processing areas, product contact surfaces, equipment, staff amenities and sanitary facilities and other essential areas are clean before the commencement of production

(M) No pre-operational inspections are completed to ensure cleanliness(m) Not all critical areas of the facility are include in pre-operational inspections(m) Personnel conducting pre-operational inspections are not qualified

11.2.13.5 The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be documented and implemented. A verification schedule shall be prepared

(m) No sanitation verification schedule is available(m) No methods established for verification of sanitation(m) No responsibility is established for verification of sanitation

11.2.13.6 Detergents and sanitizers shall be suitable for use in a food manufacturing environment, and purchased in accordance with applicable legislation. The organization shall ensure:

(m) Detergents or sanitizers do not meet local regulatory requirements

i. An inventory of all chemicals purchased and used shall be maintained

(m) No inventory of chemicals purchased is available(m) The inventory of chemicals purchased is not current and up to date

ii. Detergents and sanitizers are stored as outlined in element 11.6.4;

(m) Detergents and/or sanitizers are not stored per section 11.6.4

iii. Material Safety Data Sheets (MSDS) are provided for all detergents and sanitizers purchased;

(M) MSDS sheets are not available for detergents or sanitizers purchased(m) One detergent or sanitizer does not have MSDS sheet

iv. Only trained staff handles sanitizers and detergents

(m) Personnel handling cleaning chemicals are not properly trained

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11.2.13.7 The supplier shall dispose of unused detergents and sanitizers and empty containers in accordance with regulatory requirements and ensure that:

(M) Cleaning chemicals are not disposed of per regulatory requirements

i. Empty detergent and sanitizer containers are properly cleaned, treated and labeled before use;

(m) Empty cleaning chemical containers are not labeled or properly treated

ii. Empty detergent and sanitizer containers are labeled, isolated and securely stored while awaiting collection;

(m) Empty cleaning chemical containers are not properly isolated or secured

iii. Unused and obsolete detergents and sanitizers are stored under secure conditions while waiting authorized disposal by an approved vendor

(m) Obsolete cleaning chemicals are not properly secured awaiting disposal

11.2.13.8 A record of pre-operational hygiene inspections, cleaning and sanitation activities, and verification activities shall be maintained

(m) Records of cleaning and sanitation activities are not maintained(m) Records of cleaning and sanitation activities are not complete(m) Records of hygiene inspections are not maintained(m) Records of cleaning and hygiene inspections are not complete

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11.3 Personnel Hygiene and Welfare11.3.1 Personnel Compliant? Documents which prove compliance Possible Secondary Responses11.3.1.1 Personnel suffering from infectious diseases or are carriers of any infectious disease shall not engage in product handling or processing operation

(C) Personnel who have been ill with an infectious illness are involved in food processing (C) Personnel who are engaged in product handling exhibit signs of illness

11.3.1.2 Personnel with exposed cuts, sores or lesions shall not be engaged in handling or processing products or handling primary packaging materials or food contact surfaces. Minor cuts or abrasions on exposed parts of the body shall be covered with a colored bandage containing a metal strip or an alternative suitable waterproof and colored dressing

(M) Personnel observed handling food products with sores or cuts on hands with no controls (Potential Critical)(M) Controls for personnel injuries to hands do not include appropriate alert controls (m) Bandages provided for cuts are inadequate

11.3.1.3 Smoking, chewing, eating, drinking or spitting is not permitted in any food processing or food handling areas

(M) Evidence of smoking, eating, drinking observed in food processing areas(M) Employees observed smoking, eating or drinking in food processing or handling areas(m) Evidence of smoking, eating, drinking observed in food handling areas

11.3.2 Hand Washing Compliant? Documents which prove compliance Possible Secondary Responses11.3.2.1 Hand wash basins shall be provided adjacent to all personnel access points and in accessible locations throughout food handling and processing areas as required

(M) No hand wash basins available for personnel(m) Hand wash basins not located at accessible points(m) Hand wash basins not located at personnel access points

11.3.2.2 Hand wash basins shall be constructed of stainless steel or similar non-corrosive material and as a minimum be supplied with:

(m) Hand was basin not constructed of appropriate material

i. A potable water supply at an appropriate temperature;

(m) Hand wash basin does not have water at appropriate temperature

ii. Liquid soap contained within a fixed dispenser;

(m) No liquid soap available at hand wash station

iii. Paper towels in a hands free cleanable dispenser;

(m) No paper towels available at hand wash station

iv. A means of containing used paper towels (m) No means to contain used paper towels

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available at hand wash station

11.3.2.3 The following additional facilities shall be provided in high risk areas:

i. Hands free operated taps; (m) No hands free taps used at hand wash stations in high risk areas

ii. Hand sanitizers (m) No hand sanitizer used at hand wash stations in high risk areas

11.3.2.4 A sign advising people to wash their hands, and in appropriate languages, shall be provided in a prominent position

(m) No signage available for personnel to wash their hands(m) Signage for hand washing is not located in prominent position

11.3.2.5 Personnel shall have clean hands and hands shall be washed by all personnel, including staff, contractors and visitors:

(M) Personnel observed in food handling area with dirty hands

i. On entering food handling or processing areas (M) Personnel observed not washing hands upon entering processing area

ii. After each visit to the toilet (M) Personnel observed not washing hands upon leaving restroom

iii. After using a handkerchief

iv. After smoking, eating or drinking; (M) Personnel observed not washing hands after eating, drinking, or smoking

v. After handling wash down hoses, dropped product or contaminated material

(M) Personnel observed not washing hands after handling hoses or trash

11.3.2.6 When gloves are used, personnel shall maintain the hand washing practices outlined above

(m) Personnel seen using gloves instead of following hand washing requirements(m) Facility policy on gloves does not require proper hand washing protocols

11.3.3 Clothing Compliant? Documents which prove compliance Possible Secondary Responses11.3.3.1 Clothing worn by staff engaged in handling food shall be maintained, stored, laundered and worn so as not to present a contamination risk to products

(M) Staff clothing presents a hazard to product (m) Clothing worn by staff is not properly maintained(m) Staff clothing in processing area is not clean(m) Staff clothing used in high risk processing areas is worn off site

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11.3.3.2 Staff engaged in high risk areas shall change into clean clothing or don temporary protective outerwear when entering high risk areas

(M) There is no clean or temporary clothing available for staff in high risk areas(M) Staff observed in high risk areas in incorrect clothing

11.3.3.3 Clothing shall be clean at the commencement of each shift and maintained in a serviceable condition. Excessively soiled uniforms shall be changed where they present a product contamination risk

(m) Staff clothing not clean at the start of each shift(m) Excessive dirty uniforms not changed as necessary

11.3.3.4 Disposable gloves and aprons shall be changed after each break, upon re-entry into the processing area and when damaged. Non-disposable aprons and gloves shall be cleaned and sanitized as required and when not use stored on racks provided in the processing area and not on packaging, ingredients, product or equipment

(m) Disposable gloves reused by staff(m) Non-disposable gloves and/or aprons not properly cleaned between usage(m) Disposable gloves and aprons not changed upon re-entry into processing area

11.3.4 Jewelry and Personal Effects Compliant? Documents which prove compliance Possible Secondary Responses11.3.4.1 Jewelry and other loose objects shall not be worn or taken into a food handling or processing operation or any area where food is exposed. The wearing of plain bands with no stones and medical alert bracelets that cannot be removed can be permitted, however the supplier will need to consider their customer requirements and the applicable food legislation

(m) Staff in processing area observed wearing jewelry(m) Staff in processing areas observed wearing loose objects(m) No control process in place for addressing jewelry for employees and visitors

11.3.5 Visitors Compliant? Documents which prove compliance Possible Secondary Responses11.3.5.1 All visitors, including management and maintenance staff, shall wear suitable clothing and footwear when entering any food processing or handling area

(m) Visitors observed wearing unsuitable footwear or clothing in processing areas(m) Management observed not following company protocol on clothing or footwear

11.3.5.2 All visitors shall be required to remove jewelry and other loose objects

(m) Visitors observed wearing jewelry in processing or handling areas(m) Visitors observed wearing unsuitable loose items in processing or handling areas

11.3.5.3 Visitors exhibiting visible signs of illness shall be prevented from entering areas in which food is handled or processed

(M) Visitors observed with illness are allowed in processing areas

11.3.5.4 Visitors shall enter and exit food handling areas through the proper staff entrance points and comply with all hand washing and personnel practice requirements

(m) Visitors observed not following facility protocols on hygiene(m) Visitors observed not following facility protocols on access to processing and

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handling areas11.3.6 Staff Amenities Compliant? Documents which prove compliance Possible Secondary Responses11.3.6.1 Staff amenities supplied with appropriate lighting and ventilation shall be made available for the use of all persons engaged in the handling and processing of product

(m) Staff amenities do not have adequate lighting(m) Staff amenities do not have adequate ventilation(m) Staff amenities are not available to all staff who handle product

11.3.7 Change Rooms Compliant? Documents which prove compliance Possible Secondary Responses11.3.7.1 Facilities shall be provided to enable staff and visitors to change into and out of protective clothing as required

(m) No adequate amenities for visitors and staff(m) Amenities are not available to change into protective clothing

11.3.7.2 Change rooms shall be provided for staff engaged in the processing of high risk food or processing operations in which clothing call be soiled

(m) No change rooms provided for high risk personnel(m) No change rooms provided for personnel engaged in highly soiled processing

11.3.7.3 Provision shall be made for staff to store their street clothing and personal items separate from food contact zones and food and packaging storage areas

(m) No amenities available for the storage of staff personal items(m) Storage of personal items is not separated from processing areas

11.3.7.4 Where required, a sufficient number of showers shall be provided for use by staff

(m) There are not enough showers where they are required(m) No showers are available where they are required

11.3.8 Laundry Compliant? Documents which prove compliance Possible Secondary Responses11.3.8.1 Provision shall be made for the laundering and storage of clothing worn by staff engaged in high risk processes and for staff engaged in processing operations in which clothing can be heavily soiled

(M) No provisions are available for laundering of high risk protective clothing (m) No provisions are made for laundering of protective clothing worn by staff

11.3.9 Sanitary Facilities Compliant? Documents which prove compliance Possible Secondary Responses11.3.9.1 Toilet rooms shall be:

i. Designed and constructed so that they are assessable to staff and separate from any processing and food handling operations;

(M) Toilets open directly into processing areas with no other controls in place

ii. Accessed from the processing area via an airlock vented to the exterior or through an adjoining room;

iii. Sufficient in number for the maximum (m) Toilets are not adequate in number for the maximum number of staff

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number of staff;

iv. Constructed so that they can be easily cleaned and maintained;

(m) Toilets cannot be easily cleaned (m) Toilets are not constructed so that they can be easily maintained

v. Kept clean and tidy (m) Toilets are untidy and/or dirty

11.3.9.2 Sanitary drainage shall not be connected to any other drains within the premises and shall be director to a septic tank or a sewerage system

(m) Sanitary drainage is connected to drains within processing facility

11.3.9.3 Hand wash basins shall be provided immediately outside or inside the toilet room and designed as outlined in 11.3.2.2

(M) No hand was basins are available near the toilets(m) Hand wash basin near the toilets do not meet section 11.3.2.2

11.3.10 Lunch Rooms Compliant? Documents which prove compliance Possible Secondary Responses11.3.10.1 Separate lunch room facilities shall be provided away from a food contact/handling zone

(m) Lunch facilities are not separated from processing areas(m) Lunch facilities are not separated from product storage or handling area

11.3.10.2 Lunch room facilities shall be:

i. Ventilated and well lit; (m) Lunch room not properly ventilated(m) Lunch room facility is not well lit

ii. Provided with adequate tables and seating to cater for the maximum number of staff at one sitting;

(m) Lunch room facility does not adequately fit staff

iii. Equipped with a sink serviced with hot and cold potable water for washing utensils;

(m) No sink with hot and cold water is available in lunch facility

iv. Equipped with refrigeration and heating facilities enabling them to store or heat food and to prepare non-alcoholic beverages if required;

(m) Proper heating or cooling facilities are not provided in lunch facility

v. Kept clean and free from waste materials and pests

(m) The lunch room is not kept clean and tidy

11.3.10.3 Signage in appropriate languages advising people to wash their hands before entering the food processing areas shall be provided in a prominent position in lunch rooms and at lunch room exits

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11.3.11 First Aid Compliant? Documents which prove compliance Possible Secondary Responses11.3.11.1 First aid facilities shall be provided to treat minor injuries and suitable arrangements shall be provided in circumstances when a patient requires more specialized care

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11.4 Personnel Processing Practices11.4.1 Staff Engaged in Food Handling and Processing Operations

Compliant? Documents which prove compliance Possible Secondary Responses

11.4.1.1 All personnel engaged in any food handling, preparation or processing operations shall ensure that products and materials are handled and stored in such a way as to prevent damage or product contamination. They shall comply with the following processing practices:

(M) Employees observed not washing hands upon entering processing area(m) Employees observed not following hand washing protocols upon entering processing areas

i. Personnel entry to processing areas shall be through the personnel access doors only;

(m) Personnel observed not following facility protocols on access to processing and handling areas

ii. All doors are to be kept closed. Doors shall not be left open for extended periods when access for waste removal or receiving of product/ingredient/packaging is required;

(M) Exterior doors directly into processing areas or handling areas left open with no controls in place(m) Exterior doors open with no protective controls in place

iii. The wearing of false fingernails or fingernail polish is not permitted when handling food;

(m) Employees observed wearing false fingernails in food handling areas(m) Employees observed wearing fingernail polish in food handling areas

iv. Packaging material, product, and ingredients shall be kept in appropriate containers as required and off the floor;

(M) Packaging material that will directly contact food is stored on floor(M) Food product or ingredients found on floor(m) Food product or ingredients stored in non-appropriate containers

v. Waste shall be contained in the bins identified for this purpose and removed from the processing area on a regular basis and not left to accumulate;

(m) Waste containers not properly identified(m) Waste containers in processing or handling areas found overflowing

vi. Staff shall not eat or taste any product being processed in the food handling/contact zone, except as noted in section 11.4.1.2

(m) Employees seen eating in processing or handling areas

11.4.1.2 In circumstances where it is necessary to undertake sensory evaluations in a food handling/contact zone the supplier shall implement proper controls and procedures to ensure:

(m) Sensory evaluations not conducted per company protocols

i. Food safety is not compromised; (M) Sensory evaluations of product potentially compromise food safety of product

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ii. Sensory evaluations are conducted by authorized personnel;

iii. A high standard of personal hygiene is practiced by personnel conducting sensory evaluations;

iv. Sensory evaluations are conducted in areas equipped for the purpose;

v. Equipment used for sensory evaluations is sanitized, maintained and stored separately from processing equipment

(m) Sensory evaluation equipment is not cleaned and sanitized after use

11.4.1.3 All wash down hoses shall be stored on hose racks after use and not left on the floor

(m) Wash down hose found stored on floor

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11.5 Water, Ice and Air Supply11.5.1 Water Supply Compliant? Documents which prove compliance Possible Secondary Responses11.5.1.1 Adequate supplies of potable water drawn from a known clean source shall be provided for use during processing operations, as an ingredient and for cleaning the premises and equipment

(M) Water used in processing not from a potable source(m) Water used in processing does not have adequate quantities available

11.5.1.2 Supplies of hot and cold water shall be provided as required to enable the effective cleaning of the premises and equipment

(M) No hot water available to clean equipment(M) No water available to clean equipment(m) Water supply to clean facility is not adequate to properly clean

11.5.2 Monitoring Water Microbiology and Quality Compliant? Documents which prove compliance Possible Secondary Responses11.5.2.1 Water used for

i. Washing, thawing and treating food; (C) Non potable water used to treat or rinse product

ii. An ingredient or food processing aid; (m) Water used as an ingredient does not meet quality requirements

iii. Cleaning food contact surfaces; (M) Non-potable water used to clean food contact surfaces

iv. The manufacture of ice; (M) Non-potable water used to make ice (m) Ice is made from water that does not meet quality requirements

v. The manufacture of steam that will come into contact with food or used to heat water that will come in contact with food

(m) Non-potable water used to create steam that will come in contact with food

Shall comply with national or internationally recognized potable water microbiology and quality standards as required11.5.3 Water Delivery Compliant? Documents which prove compliance Possible Secondary Responses11.5.3.1 The delivery of water within the premises shall ensure potable water is not contaminated

(M) Water supply is not adequately protected(m) A cross connection exists that could result in a back flow of water

11.5.3.2 The use of non-potable water shall be controlled that:

i. There is no cross contamination between potable and non-potable water lines;

(M) Potable water has been contaminated by non-potable water (m) There is a possible cross contamination between potable and non-potable water lines(m) No non-return devices are installed on

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non-potable water linesii. Non-potable water piping and outlets are

clearly identified(m) Non-potable water pipes and outlets are not labeled

11.5.4 Water Treatment Compliant? Documents which prove compliance Possible Secondary Responses11.5.4.1 Water treatment methods, equipment and materials shall be designed, installed and operated to ensure water receives an effective treatment

(M) Water treatment is required, but is not available(M) Water treatment is incorrectly designed

11.5.4.2 Water treatment equipment shall be monitored to ensure it meets the indicators specified

(M) Water treatment equipment is not monitored(m) Water treatment equipment is not regularly monitored

11.5.4.3 Treated water shall be regularly monitored to ensure it meets the indicators specified

(M) Treated water is not monitored(m) Treated water is not regularly monitored

11.5.5 Ice Supply Compliant? Documents which prove compliance Possible Secondary Responses11.5.5.1 Ice provided for use during processing operations or as a processing aid or an ingredient shall comply with 11.5.2.1

(M) Ice made from non-potable water(M) Ice in contact with food product does not comply with national standards(m) Required supplies of potable ice are not available(m) Ice not properly protected during use

11.5.5.2 Ice rooms and receptacles shall be constructed of materials as outlined in elements 11.2.1, 11.2.2 and 11.2.3 and designed to minimize contamination of the ice during storage and distribution

(m) Ice storage areas could potentially contaminate ice(m) Ice storage areas not properly designed(m) Ice storage areas are constructed from inappropriate materials

11.5.6 Analysis Compliant? Documents which prove compliance Possible Secondary Responses11.5.6.1 Microbiological analysis of the water and ice supply shall be conducted to verify the cleanliness of the supply, the monitoring activities and the effectiveness of the treatment measures implemented

(M) Water and ice are not microbiologically tested to verify cleanliness of the supply(m) Water and ice are not regularly tested to verify the effectiveness of treatment methods

11.5.6.2 Water and ice shall be analyzed using reference standards and methods

(m) Appropriate standards are not used to analyze water or ice

11.5.7 Air Quality Compliant? Documents which prove compliance Possible Secondary Responses11.5.7.1 Compressed air used in the manufacturing process shall be clean and present no risk to food safety;

(M) Compressed air that is in contact with food is not filtered or otherwise treated(m) Filters are not checked or changed(m) The facility does not have a standard for microbiological purity of compressed air that contacts food

11.5.7.2 Compressed air used in the manufacturing process shall be regularly monitored for purity

(M) Compressed air that is in contact with food is not checked for purity

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11.6 Storage and Transport11.6.1 Cold Storage, Freezing and Chilling of Foods Compliant? Documents which prove compliance Possible Secondary Responses11.6.1.1 The supplier shall provide confirmation of the effective operational performance of freezing, chilling and cold storage facilities. Chillers, blast freezers and cold storage rooms shall be:

(m) Supplier has not confirmed effective operation of cold storage areas

i. Designed and constructed to allow for the hygienic and efficient refrigeration of food;

(m) Cold storage rooms are not properly designed

ii. Easily accessible for inspection and cleaning (m) Cold storage rooms are not properly constructed for easy cleaning(m) Cold storage areas are not easily accessible for inspection

11.6.1.2 Sufficient refrigeration capacity shall be available to chill, freeze, store chilled or store frozen the maximum anticipated throughput of product with allowance for periodic cleaning of refrigerated areas

(M) Facility does not have adequate refrigeration capacity(m) Facility does not have the adequate freezer capacity

11.6.1.3 Discharge from defrost and condensate lines shall be controlled and discharged to the drainage system

(M) Water discharge in cold storage area is directly on stored product(M) Excessive frost in freezer on stored product(m) Excessive condensation found in cold storage area(m) Water discharge in cold storage area poses a risk to contaminate product(m) Excessive frost in freezer on ceiling and walls

11.6.1.4 Freezing, chilling and cold storage rooms shall be fitted with temperature monitoring equipment and located so as to monitor the warmest part of the room and be fitted with a temperature measurement device that is easily readable and accessible

(M) Cold storage areas do not have temperature monitoring equipment(m) Temperature monitoring devices is not located near the warmest part of cold storage area(m) Temperature monitoring devices are not easily accessible

11.6.1.5 Loading and unloading docks shall be designed to protect the product during loading and unloading

(m) Docks are not designed to adequately protect product(m) Docks areas are not adequately maintained

11.6.2 Storage of Dry Ingredients, Packaging, and Shelf Stable Packaged Goods

Compliant? Documents which prove compliance Possible Secondary Responses

11.6.2.1 Rooms used for the storage of product ingredients, packaging, and other dry goods shall be located away from wet areas and constructed to protect

(m) Product storage rooms are located near wet processing which creates the potential for water contamination

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the product from contamination and deterioration (m) Storage rooms are not adequately designed to protect product

11.6.2.2 Racks provided for the storage of packaging shall be constructed of impervious materials and designed to enable cleaning of the floors and the storage room. Storage areas shall be constructed to prevent packaging from becoming a harborage for pests or vermin

(M) Packaging storage areas is found to be a pest harborage area (m) Packaging racks are made of material that is not easily cleanable(m) Packaging racks do not allow access to floor/wall junction for cleaning

11.6.2.3 Vehicles used in food contact, handling or processing zones or in cold storage rooms shall be designed and operated so as not to present a food safety hazard

(M) Vehicle used in food processing, storage, or cold storage areas release hydrocarbon emissions(M) Vehicles used present a hazard to the food product

11.6.3 Storage of Equipment and Containers Compliant? Documents which prove compliance Possible Secondary Responses11.6.3.1 Storage rooms shall be designed and constructed to allow for the hygienic and efficient storage of equipment and containers

(m) Equipment storage area does not allow access for cleaning(m) Equipment storage area does not protect equipment during storage

11.6.4 Storage of Hazardous Chemicals and Toxic Substances

Compliant? Documents which prove compliance Possible Secondary Responses

11.6.4.1 Hazardous chemicals and toxic substances with the potential for food contamination shall be stored so as to not present a hazard to staff, product, packaging, product handling equipment or areas in which the product is handled, stored or transported

(M) Chemicals are stored next to or directly over product (m) Chemicals present a hazard to staff due to improper storage

11.6.4.2 Processing utensils and packaging shall not be stored in areas used to store hazardous chemicals and toxic substances

(m) Processing utensils are stored in areas used to store hazardous chemicals(m) Packaging is stored in an area used to store hazardous chemicals

11.6.4.3 Daily supplies of chemical used for continuing sanitizing of water or as a processing aid, or for emergency cleaning of food processing equipment or surfaces in food contact zones, may be stored within or in close proximity to a processing area provided access to the chemical storage facility is restricted to authorized personnel

(M) Daily supplies of chemicals present a potential hazard to food products(m) Daily supplies of chemicals are not stored correctly

11.6.4.4 Pesticides, rodenticides, fumigants and insecticides shall be stored separate from sanitizers and detergents. All chemicals shall be stored in their original containers

(m) Sanitizers and detergents are stored with pesticides or other toxic chemicals(m) Chemicals are not stored in original container

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facilities shall:

i. Be compliant with national and local legislation and designed such that there is no cross-contamination between chemicals;

(M) Cross contamination observed between chemicals (m) Chemical storage rooms do not meet local regulations

ii. Be adequately ventilated; (m) Chemical storage rooms are not properly ventilated

iii. Be provided with appropriate signage indicating the area is a hazardous storage area;

(m) Chemical storage room is not properly signed

iv. Be secure and lockable to restrict access only to those personnel with formal training in the handling and use of hazardous chemicals and toxic substances;

(m) Chemical storage room is not secured

v. Have instructions on the safe handling of hazardous chemicals and toxic substances readily accessible to staff;

(m) There are no instructions on safe handling of chemicals available

vi. Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage facility;

(m) There is no inventory of stored chemicals(m) The inventory does not agree with the actual chemical stock

vii. Have suitable first aid equipment and protective clothing available in close proximity to the storage area;

viii. In the event of a hazardous spill, be designed such that spillage and drainage from the area is contained;

ix. Be equipped with spillage kits and cleaning equipment

(m) There are no spillage kits, spillage instructions, or facilities to deal with spills

11.6.5 Alternative Storage and Handling of Goods Compliant? Documents which prove compliance Possible Secondary Responses11.6.5.1 Where good described in 11.6.1 and 11.6.4 are held under temporary or overflow conditions that are not designed for the safe storage of goods, a risk analysis shall be undertaken to ensure there is no risk to the integrity of those goods or contamination or adverse effect on food safety and quality

(m) No risk analysis conducted for alternative storage and handling of goods

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11.6.6 Loading, Transport and Unloading Practices Compliant? Documents which prove compliance Possible Secondary Responses11.6.6.1 The practices applied during loading, transport and unloading of food shall be documented, implemented and designed to maintain appropriate storage conditions and product integrity. Foods shall be loaded, transported and unloaded under conditions suitable to prevent cross contamination

(M) Methods developed for product loading and transport do not adequately protect product(M) Cross contamination to product potentially exists during transport and loading(M) Product contamination observed during transportation and/or loading (Potential Critical) (m) Methods for loading of products are not documented(m) Methods for the transportation of products are not documented

11.6.7 Loading Compliant? Documents which prove compliance Possible Secondary Responses11.6.7.1 Vehicles (trucks/vans/containers) used for transporting food shall be inspected prior to loading to ensure they are clean, in good repair, suitable for the purpose and free from odors or other conditions that may impact negatively on the product

(m) No pre-shipment review is conducted on transportation vehicles(m) Vehicles used to transport product are not clean(m) Vehicles used to transport product are not properly maintained

11.6.7.2 Loading practices shall be designed to minimize unnecessary exposure of the product to conditions detrimental to maintaining the product and package integrity

(M) Loading and staging of product exposed product to potential abuse(m) Loading and/or staging practices are potentially detrimental to product

11.6.8 Transport Compliant? Documents which prove compliance Possible Secondary Responses11.6.8.1 Refrigerated units shall maintain the food at required temperatures and the unit’s temperature settings shall be set, checked and recorded before loading and core product temperatures recorded at regular intervals during loading as appropriate

(M) Refrigerated vehicles are not capable of maintaining the product at the correct temperature (m) Pre-ship review of refrigerated transport vehicle does not include temperature check(m) Loading and staging of refrigerated product do not include monitoring product temperatures

11.6.8.2 The refrigeration unit shall be operational at all times and checks completed of the unit’s operation, the door seals and the storage temperature checked at regular intervals during transit

(M) Refrigerated vehicles refrigeration unit is not operated at all times when product is transported(m) Refrigerated vehicles are not inspected during transit

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11.6.9 Unloading Compliant? Documents which prove compliance Possible Secondary Responses11.6.9.1 Prior to opening the doors, the refrigeration unit’s storage temperature settings and operating temperature shall be checked and recorded. Unloading shall be completed efficiently and product temperatures shall be recorded at the commencement of unloading and at regular intervals during unloading

(M) Temperatures of perishable product are not checked prior to unloading of product(m) Temperatures of unit are not checked prior to unloading of perishable product(m) Temperatures of perishable product are not monitored or controlled during unloading

11.6.9.2 Unloading practices shall be designed to minimize unnecessary exposure of the product to conditions detrimental to maintaining the product and package integrity

(M) Unloading, staging and cross-docking of product exposed product to potential abuse(m) Unloading practices are potentially detrimental to product

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11.7 Separation of Functions11.7.1 Process Flow Compliant? Documents which prove compliance Possible Secondary Responses11.7.1.1 The process flow shall be designed to prevent cross contamination and organized so there is a continuous flow of product through the process. The flow of personnel shall be managed such that the potential for contamination is minimized.

(M) Design of process flow creates direct opportunity for cross contamination (m) Design of process flow may allow for cross contamination

11.7.2 Receipt of Raw and Packaging Materials and Ingredients

Compliant? Documents which prove compliance Possible Secondary Responses

11.7.2.1 Dry ingredients and packaging shall be received and stored separately from frozen and chilled raw materials to ensure there is no cross contamination. Unprocessed raw materials shall be received and segregated to ensure there is no cross contamination

(M) Raw material and finished product received and handled at same location with no prevention steps taken (m) Packaging receiving is not separated from raw materials(m) Dry materials received in area where potential for contamination exists

11.7.3 Thawing of Product Compliant? Documents which prove compliance Possible Secondary Responses11.7.3.1 Thawing of the product shall be undertaken in equipment and rooms appropriate for the purpose

(M) Product is thawed in a way that poses a food safety risk(m) Product is thawed in a way that poses a food quality risk

11.7.3.2 Equipment for water thawing shall be continuous flow to ensure the water exchange rate and temperature does not contribute to product deterioration or contamination. Water overflow shall be directed into the floor drainage system and not onto the floor

(M) Water thawing of product is not controlled and poses risk to product(m) Water used in water thawing of product is not properly disposed(m) Water used in thawing is not properly cooled(m) Product is not monitored during thawing process

11.7.3.3 Air thawing facilities shall be designed to thaw the product under controlled conditions at a rate and temperature that does not contribute to product deterioration or contamination

(M) Air thawing of product is not controlled and poses a risk to product(m) Product is not monitored during thawing process

11.7.3.4 Provision is to be made for the containment and regular disposal of used cartons and packaging from thawed product so that there is no risk to the product

(M) Used packaging poses a risk to product within facility (m) Used containers are not properly contained in facility(m) Used packaging is not properly contained in facility(m) Used containers and packaging are not regularly disposed of in facility(m) Staff observed not following company

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policy11.7.4 High Risk Processes Compliant? Documents which prove compliance Possible Secondary Responses11.7.4.1 The processing of high risk food shall be conducted under controlled conditions such that:

i. Sensitive areas in which high risk food has undergone a “kill” step, a “food safety intervention” or is subject to post process handling, are protected/segregated from other processes, raw materials or staff who handle raw materials to ensure cross contamination is minimized;

ii. Areas in which high risk processes are conducted are only serviced by staff dedicated to that function;

iii. Staff access points are located, designed and equipped to enable staff to don distinctive protective clothing and to practice a high standard of personal hygiene to prevent product contamination

iv. Product transfer points are located and designed so as not to compromise high risk segregation and to minimize the risk of cross contamination

v. An environmental monitoring program shall be in place for high risk areas. At a minimum, a written procedure detailing the applicable pathogens or indicator organisms to test for that industry, the number of samples to be taken and the frequency of sampling and corrective actions shall be documented. The responsibility and methods shall be documented and implemented. A sampling schedule shall be prepared

(M) No environmental monitoring program in place(M) Organisms are not appropriate to the commodity(M) Corrective action is not taken(m) Procedure does not include the applicable pathogens or indicator organisms(m) Number of samples are not defined(m) Frequency is not defined(m) Corrective action is not defined

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11.7.5 Control of Foreign Matter Contamination Compliant? Documents which prove compliance Possible Secondary Responses11.7.5.1 The responsibility and methods used to prevent foreign matter contamination of the product shall be documented, implemented and communicated to all staff

(M) Foreign material prevention methods are not developed (M) Foreign material prevention controls are not implemented (m) No responsibility for the prevention of foreign material have been defined(m) Foreign material prevention controls are not communicated to staff

11.7.5.2 Inspections shall be performed to ensure plant and equipment remains in good condition and potential contaminants have not detached or become damaged or deteriorated

(M) No inspections conducted to prevent foreign material contamination of product

11.7.5.3 The use of temporary fasteners such as string, wire or tape to fix or hold equipment shall not be permitted

(m) Temporary repairs are used in the facility

11.7.5.4 The following preventative measures shall be implemented where applicable to prevent glass contamination:

i. All glass objects or similar material in food handling/contact zones shall be listed in a glass register including details of their location;

(M) No glass register is developed(m) Glass register is not complete, glass objects missing in register

ii. Containers, equipment and other utensils made of glass, porcelain, ceramics, laboratory glassware or other like material (except where the product is contained in packaging made from these materials, or measurement instruments with glass dial covers or MIG thermometers required under regulation) shall not be permitted in food processing/contact zones;

(m) Unapproved glass and brittle materials found in processing area

iii. Conduct regular inspections of food handling/contact zones to ensure they are free of glass or other like material and to establish no changes to the condition of the

(m) No glass objective inspections of processing areas conducted(m) Glass object inspections are not conducted regularly

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objects listed in the glass register;iv. Inspect glass instrument dial covers on

processing equipment and MIG thermometers at the start and finish of each shift to confirm they have not been damaged

(m) No inspection of glass instrument dial covers or thermometers conducted at start of each shift

11.7.5.5 Wooden pallets and other wooden utensils used in food handling/contact zones shall be dedicated for that purpose, clean, maintained in good order. Their condition is subject to regular inspection

(m) Wood used in processing/handling area is dirty(m) Wood used in processing/handling area is not maintained(m) Wood used in processing areas is not designed for the current use

11.7.5.6 Loose metal objects on equipment, equipment covers and overhead structures shall be removed or tightly fixed so as not to present a hazard

(M) Loose materials observed in food contact zones that present a hazard to product(m) Loose materials found on processing equipment

11.7.5.7 Knives and cutting instruments used in processing and packaging operations shall be controlled, and kept clean and well maintained

(M) Dirty knives found in the processing area(M) No cleaning/sanitizing procedures ion place for knives and cutting instruments(M) Cleaning/sanitizing protocol not being followed (m) Knives incorrectly stored

11.7.6 Detection of Foreign Objects Compliant? Documents which prove compliance Possible Secondary Responses11.7.6.1 The responsibility, methods and frequency for monitoring, maintaining, calibrating and using screens, sieves, filters or other technologies to remove or detect foreign matter shall be documented and implemented

(M) No methods developed for the monitoring, maintenance, or calibration of filters and screens(M) No methods implemented for the monitoring, maintenance, or calibration of filters and screens(m) No responsibility assigned for the monitoring, maintenance, or calibration of filters and screens

11.7.6.2 Metal detectors and other physical contaminant detection technologies shall be routinely monitored, validated and verified for operational effectiveness. The equipment shall be designed to isolate defective product and indicate when it is rejected

(M) Physical contaminant detection technology is not routinely monitored(M) Physical contaminant detection technology does not isolate defective product(m) Physical contaminant detection technology is not validated(m) Physical contaminant detection technology does not indicate when defective product identified

11.7.6.3 Records shall be maintained of the inspection by foreign object detection devices, and their verification

(M) Records are not maintained of foreign body inspection(M) Records are not maintained of the verification of foreign body detection

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equipment11.7.7 Managing Foreign Material Contamination Incidents

Compliant? Documents which prove compliance Possible Secondary Responses

11.7.7.1 In all cases of foreign matter contamination the affect batch or item shall be isolated, inspected, reworked or disposed of

(M) Item or batch of product affected by foreign material contamination is not properly reworked(M) Item or batch of product affected by foreign material contamination is not properly destroyed

11.7.7.2 In circumstances where glass or similar breakage occurs, the affected area is to be isolated, cleaned and thoroughly inspected (including cleaning equipment and footwear) and cleared by a suitably responsible person prior to the commencement of operations

(M) Area of glass breakage was not properly isolated and cleaned prior to start-up of operations(m) Area of glass breakage was not properly inspected prior to start-up of operations

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11.8 On-Site Laboratories11.8.1 Location Compliant? Documents which prove compliance Possible Secondary Responses11.8.1.1 On site laboratories shall be located separate from any food processing or handling activity and designed to limit access only to authorized personnel

(m) On-site laboratory is not separated from food processing area(m) Laboratory access is not restricted to only authorized personnel

11.8.1.2 Provisions shall be made to isolate and contain all laboratory waste held on the premises and manage it separately from food waste. Laboratory waste water outlet shall as a minimum be down stream of drains that service food processing and handling areas

(m) Laboratory waste is not properly treated prior to disposal(m) Laboratory waste is not adequately contained and separated from facility waste

11.8.1.3 Signage shall be displayed identifying the laboratory area as a restricted area accessible only to authorized personnel

(m) Adequate signage is not available for the laboratory(m) Signage does not state that only authorized personnel allowed in laboratory

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11.9 Waste Disposal11.9.1 Dry and Liquid Waste Disposal Compliant? Documents which prove compliance Possible Secondary Responses11.9.1.1 The responsibility and methods used to collect and handle dry, wet and liquid waste and store prior to removal from the premises shall be documented and implemented

(m) There are no methods for handling waste documented(m) The methods for handling waste within premises are not adequate to control all waste(m) Methods do not include proper storage of waste prior to disposal

11.9.1.2 Waste shall be removed on a regular basis and not build up in food handling or processing areas. Designated waste accumulation areas shall be maintained in a clean and tidy condition until such time as external waste collection is undertaken

(m) Waste is not regularly removed from processing areas(m) Waste collection areas are not maintained and not cleaned

11.9.1.3 Trolleys, vehicles waste disposal equipment, collection bins and storage areas shall be maintained in a serviceable condition and cleaned and sanitized regularly so as to not attract pests and other vermin

(m) Containers for waste are not properly maintained(m) Trolleys, vehicles and equipment used for waste are not properly cleaned

11.9.1.4 Adequate provision shall be made for the disposal of all solid processing waste including trimmings, inedible material and used packaging. Waste held on site prior to disposal shall be stored in a separate storage facility and suitably fly proofed and contained so as not to present a hazard

(m) Solid processing waste is not adequately contained(m) Solid processing waste is not properly held in a separate facility(m) Solid processing waste is not adequately disposed

11.9.1.5 Adequate provision shall be made for the disposal of all liquid waste from processing and food handling areas. Liquid waste shall be either removed from the processing environment continuously or held in a designated storage area in lidded containers prior to disposal so as not to present a hazard

(m) Liquid waste is not adequately contained(m) Liquid waste is not properly held in a separate facility(m) Liquid waste is not adequately disposed

11.9.1.6 Reviews of the effectiveness of waste management will form part of daily hygiene inspections and the results of these inspections shall be included in the relevant hygiene reports

(m) Daily inspections are not conducted to monitoring handling of waste(m) Daily inspection to review waste handling are not documented

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11.10 Exterior11.10.1 Grounds and Roadways Compliant? Documents which prove compliance Possible Secondary Responses11.10.1.1 The grounds and area surrounding the premises shall be maintained to minimize dust and be kept free of waste or accumulated debris so as not to attract pests and vermin

(m) Exterior grounds are not maintained and provide pest harborage areas(m) Exterior grounds are not managed to minimize dust or other hazards(m) Exterior grounds are not kept free of waste

11.10.1.2 Paths, roadways and loading and unloading areas shall be maintained so as not to present a hazard to the food safety operation of the premises

(m) Exterior paths and roadways are not managed to minimize dust or other hazards(m) Exterior loading and unloading areas are not maintained to minimize hazards

11.10.1.3 Surroundings shall be kept neat and tidy and not present a hazard to the hygienic and sanitary operation of the premises

(m) Surroundings are cluttered and untidy(m) Grass and vegetation ids not kept under control in surrounding areas(m) Equipment is stored outside and unprotected from the weather

11.10.1.4 Paths from amenities leading to facility entrances are required to be effectively sealed

(m) External paths from amenities to the facility are not sealed

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