foodindustrycompliance.com Food Standards Checklist

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1 foodindustrycompliance.com Food Standards Checklist foodindustrycompliance.com is not a representative, affiliate or member of any of the Food Standards interpreted for use within the foodindustrycompliance.com My Food Standards function made available to Users. foodindustrycompliance.com makes no representations that the information provided in reference to, or regarding any Food Standards is the direct opinion or interpretation of the standard owner or other affiliated party. General and specific information and resources provided to Users are made available in good faith and are to be used at the liability of the User or end recipient. Date: 11/06/2014 Generated By: Dr. dfgsdfgh sdfghfg - IT Business Name: Business Business Location: Business Location111 Date Checklist Started: Date Checklist Finished: Checklist Completed By: This checklist includes the following Food Standards: Title Issue Date Code BRC Global Standard for Food Safety 01/07/2011 V6 BRCF Codex HACCP 03/04/2014 V4 CHACCP ISO22000: /06/2005 V1 ISO22000 SQF System Elements 01/03/2014 V7.2. SQF3 This checklist includes the following Food Standard Elements: Allergen Management Approved Supplier Management Business Continuity and Crisis Management Calibration of Measuring and Testing Equipment Certification Standards Chemical Control Cleaning and Sanitation Commercial Sterility Processing Continuous Improvement Contract Review Corrective Action and Preventative Action Customer Focus and Customer Complaint Management Document and Data Control Ethical Sourcing Standards Food Borne Illness Prevention Food Microbiology Management Food Safety Management Food Security Management Good Housekeeping Practices Good Laboratory Practices Good Manufacturing Practices HACCP HACCP: Biological Hazards Management HACCP: Chemical Hazards Management HACCP: Common Hazards Management HACCP: Physical Hazards Management High Risk and High Care Management Page: 1/146 11/06/2014 Business Business Location111

2 Identity Preservation Internal Auditing Management Commitment Management Review Packaging and Labelling Standards Personal Hygiene Standards Pest and Vermin Control Premise Amenities Standards Premises and Equipment Design and Construction Standards Preventative Maintenance and Reactive Maintenance Standards Primary Production Process Control Management Product Assessment and Testing Product Design and Development Product Identification and Traceability Product Recall and Product Withdrawal Quality Management Systems Smallgoods Processing Sous Vide Processing Specifications Management Stock Rotation and Product Release Storage and Handling Requirements TestGC Training, Competency and Resources Requirements Transport Standards Validation Activities Verification Activities Visitor and Contractor Management Waste And Recyclables Management Water and Ice Quality Standards Page: 2/146

3 foodindustrycompliance.com Food Standards Checklist Allergen Management Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development Fundamental Does the company have a developed system for the management of allergenic materials which minimises the risk of allergen contamination of products and meets legal requirements for labelling? Are developed equipment or area cleaning procedures designed to remove or reduce to acceptable levels any potential crosscontamination by allergens? viii Is the allergen management program 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 effectively implemented? BRCF CHACCP ISO22000 SQF3 Documentation Does the raw material allergen assessment include a review of raw material specifications and where required, obtain additional information from suppliers, for example through questionnaires to understand the allergen status of the raw material, its ingredients and the factory in which it is produced? Does the company list allergen-containing materials handled on site? Do allergen listings include raw materials, processing aids, intermediate and finished products and any new product development ingredients or products? Has a documented risk assessment been carried out to identify routes of contamination and to establish documented policies and procedures for handling raw materials, intermediate and finished products to ensure cross-contamination is avoided? Do documented allergen risk assessments include consideration of the physical state of the allergenic material (i.e. powder, liquid, particulate)? Do documented allergen risk assessments include identification of potential points of cross-contamination throughout the process flow? Do documented allergen risk assessments include assessment of the risk of allergen cross-contamination at each process step? Do documented allergen risk assessments include identification of suitable controls to reduce or eliminate the risk of crosscontamination? Have documented procedures been established to ensure the effective management of allergenic materials to prevent cross-contamination into products not containing the allergen? Page: 3/146 11/06/2014 Business Business Location111

4 Do documented allergen management procedures include (as appropriate) physical or time segregation whilst allergen-containing materials are being stored, processed or packed? Do documented allergen management procedures include (as appropriate) the use of separate or additional protective over clothing when handling allergenic materials? Do documented allergen management procedures include (as appropriate) use of identified, dedicated equipment and utensils for processing? Do documented allergen management procedures include (as appropriate) scheduling of production to reduce changes between products containing an allergen and products not containing the allergen? Do documented allergen management procedures include (as appropriate) systems to restrict the movement of airborne dust containing allergenic material? Do documented allergen management procedures include (as appropriate) waste handling and spillage controls? Do documented allergen management procedures include (as appropriate) restrictions on food brought onto site by staff, visitors, contractors and for catering purposes? i ii iii iv v vi Are the responsibility and methods used to control allergens and to prevent sources of allergens from contaminating product documented and implemented? Does the allergen management program include a documented risk analysis of those raw materials, ingredients and processing aids (including food grade lubricants) that contain allergens? Does the allergen management program include a register of allergens which is applicable in the country of manufacture and the country(ies) of destination? Does the allergen management program include a listing of allergens that is accessible by relevant staff? Does the allergen management program include the hazards associated with allergens and their control and is this incorporated into the food safety plan? Does the allergen management program include instructions on how to identify, handle, store and segregate raw materials containing allergens, and are these provided to staff responsible for receiving those target raw materials? Does the allergen management program include provision to clearly identify and segregate foods that contain allergens? BRCF CHACCP ISO22000 SQF3 Implementation Page: 4/146

5 Has the company carried out an assessment of raw materials to establish the presence and likelihood of contamination by relevant allergens? Where rework is used, or reworking operations carried out, are procedures implemented to ensure rework containing allergens is not used in products that do not already contain the allergen? Is cleaning equipment used to clean allergenic materials either identifiable and specific for allergen use, single use, or effectively cleaned after use? ix Does the allergen management program ensure separate handling and production equipment where satisfactory line hygiene and clean-up or segregation is not possible? Does the product identification system 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? Does the product trace system take into consideration the conditions under which allergen containing foods are manufactured and ensure full trace back of all ingredients used? Is re-working of product containing allergen causing agents conducted under conditions that ensure product safety and integrity is maintained and that re-worked product containing allergens clearly identified and traceable? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify Where the nature of the production process is such that cross-contamination from an allergen cannot be prevented, is this verified by a warning included on the label? vii Does the allergen management program include cleaning and sanitation of product contact surfaces between line changeovers to ensure they are 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? BRCF CHACCP ISO22000 SQF3 Validate Is the format, content and rationale for any allergen warning labelling validly based upon National Guidelines or Codes of Practice? Where a claim is made regarding the suitability of a food for allergy or food sensitivity sufferers, does the company ensure that the production process is fully validated (and documented) to meet the stated claim? Are allergen cleaning methods validated to ensure they are effective and the effectiveness of the procedure routinely verified? Page: 5/146

6 BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Have all relevant personnel, including engineers, temporary staff and contractors, received general allergen awareness training and are they trained in the company's allergenhandling procedures? Page: 6/146

7 foodindustrycompliance.com Food Standards Checklist Approved Supplier Management Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development Is consideration given to the significance of a raw material to the quality of the final product? Is raw material acceptance and release based on one or a combination of the following (where applicable), visual inspection on receipt, certificates of conformance (specific to each consignment), certificates of analysis, product sampling and testing? Is the approved supplier program based on the prior performance of a supplier and the risk level of the raw materials ingredients, packaging materials and services supplied? BRCF CHACCP ISO22000 SQF3 Documentation Does the company undertake a documented risk assessment of each raw material or group of raw materials to identify potential risks to product safety, legality and quality? Does the documented risk assessment of each raw material, or group of raw materials take into account the potential for allergen contamination, foreign body risks, microbiological contamination and chemical contamination? Does the documented risk assessment of each raw material, or group of raw materials form the basis for the raw material acceptance and testing procedure and for the processes adopted for supplier approval and monitoring? Does the company have a documented supplier approval and ongoing monitoring procedure to ensure that suppliers are manufacturing products under hygienic conditions, effectively manage risks to raw material quality and safety and are operating effective traceability processes? Is the documented supplier approval and ongoing monitoring procedure based on one or a combination of supplier audits, third party audits, certification to appropriate standards or supplier questionnaires? Do the approved supplier program procedures define how exceptions are handled (e.g. where raw material suppliers are prescribed by a customer or where products are purchased from agents and direct audit or monitoring has not been undertaken)? Does the company have a documented procedure for the acceptance of raw materials and packaging on receipt, based upon the risk assessment? Is a list of raw materials and the requirements to be met for acceptance available? Are the parameters for acceptance and frequency of testing of raw materials and packaging clearly defined? Page: 7/146 11/06/2014 Business Business Location111

8 Is there a documented procedure for the approval and monitoring of suppliers of services? Do documented service provider procedures include requirements for pest control, laundry services, contracted cleaning, contracted servicing and maintenance of equipment, transport and distribution, off-site storage of ingredients, packaging or products, laboratory testing, catering services and waste management? i ii iii iv v vi vii Are specifications for contract services that have an impact on finished product safety and quality documented, current and include a full description of the service to be provided and detail relevant training requirements of contract personnel? Is a register of all contract service specifications maintained? Has the responsibility for selecting, evaluating, approving and monitoring an approved supplier been documented and implemented? Does the approved supplier program contain agreed specifications? Does the approved supplier program contain reference to the rating of the level of risk applied to a raw material ingredients, packaging materials and services and the approved supplier? Does the approved supplier program contain a summary of the food safety and quality controls implemented by the approved supplier? Does the approved supplier program contain methods for granting approved supplier status? Does the approved supplier program contain methods and frequency of monitoring approved suppliers? Does the approved supplier program contain details of the certificates of conformance if required? Does the approved supplier program contain methods and frequency of reviewing approved supplier performance and status? BRCF CHACCP ISO22000 SQF3 Implementation Does the company have an effective supplier approval and monitoring system to ensure that any potential risks from raw materials (including packaging) to the safety, legality and quality of the final product are understood and managed? Where supplier approval is based on questionnaires, are these reissued at least every three years and are suppliers required to notify the site of any significant changes in the interim? Are the raw material receivals and acceptance procedures fully implemented and are records maintained to demonstrate the basis for acceptance of each batch of raw materials? Page: 8/146

9 Do contracts or formal agreements exist with the suppliers of services which clearly define service expectations and ensure potential food safety risks associated with the service have been addressed? Where any intermediate process steps in the manufacture of a product which is included within the scope of certification is subcontracted to a third party or undertaken at another company site, is this managed to ensure this does not compromise the safety, legality or quality of the product? Is the company able to demonstrate that where part of the production process is outsourced and undertaken off site, this has been declared to the relevant product s brand owner (where applicable) and, where required, approval granted? Are any outsourced processing operations undertaken, in accordance with established contracts, which clearly define any processing requirements and product specification, and which maintain product traceability? Are raw materials, ingredients, packaging materials and services that impact on finished Product safety and quality supplied by an Approved Supplier? Has the receipt of raw materials, ingredients and packaging materials received from nonapproved Suppliers been acceptable in an emergency situation, provided they are inspected or analyzed before use? Have approved supplier registers, records of inspections and audits of approved suppliers been maintained? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify Can the company demonstrate that where services are outsourced, the service is appropriate and any risks presented to food safety have been evaluated to ensure effective controls are in place? Does the company ensure that subcontractors are approved and monitored by successful completion of either a documented site audit or third-party certification to the BRC Global Standard for Food Safety or other GFSIrecognised Standard? Has the company established inspection and test procedures for outsourced product on return, including visual, chemical and/or microbiological testing, dependent on risk assessment? Where protective clothing for high-care or highrisk areas is provided by a contracted laundry, is the laundry audited either directly or by a third party, or does it have a relevant certification? Page: 9/146

10 Where protective clothing for high-care or highrisk areas is provided by a contracted laundry, does the laundry operate procedures which ensure effective cleaning of the protective clothing? Where protective clothing for high-care or highrisk areas is provided by a contracted laundry, does the laundry operate procedures which ensure clothes are commercially sterile following the washing and drying process? Where protective clothing for high-care or highrisk areas is provided by a contracted laundry, does the laundry operate procedures which ensure adequate segregation between dirty and cleaned clothes? Where protective clothing for high-care or highrisk areas is provided by a contracted laundry, does the laundry operate procedures which ensure cleaned clothes are protected from contamination until delivered to the site (e.g. by the use of covers or bags)? BRCF CHACCP ISO22000 SQF3 Validate BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Page: 10/146

11 foodindustrycompliance.com Food Standards Checklist Business Continuity and Crisis Management Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development 5.7. Are Emergency Preparedness and Response Procedures applicable to the role of the Organisation within the Food Chain? BRCF CHACCP ISO22000 SQF3 Documentation Does the company have documented procedures designed to report and effectively manage incidents and potential emergency situations that impact food safety, legality or quality? Do the crisis management procedures include consideration of contingency plans to maintain business continuity? Do the crisis management procedures include, where applicable, requirements for disruption to key services such as water, energy, transport, refrigeration processes, staff availability and communications? Do the crisis management procedures include, where applicable, requirements for events such as fire, flood or natural disaster? Do the crisis management procedures include, where applicable, requirements for malicious contamination or sabotage? i ii iii iv v vi vii viii Has a business continuity plan, based on the understanding of known threats to a business, been 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 quality food? Does the business continuity plan include a senior manager responsible for decision making, oversight and initiating actions arising from a crisis management incident? Does the business continuity plan include the nomination and training of a crisis management team? Does the business continuity plan ensure outcomes do not compromise product safety and quality? Does the business continuity plan include measures to isolate and identify product affected by a response to a crisis? Does the business continuity plan include measures taken to verify the acceptability of food prior to release? Does the business continuity plan include the preparation and maintenance of a current crisis alert contact list? Does the business continuity plan include sources of legal and expert advice? Does the business continuity plan include the responsibility for internal communications and communicating with authorities, external organizations and media? Page: 11/146 11/06/2014 Business Business Location111

12 Are records of reviews and verification of the business continuity plan maintained? BRCF CHACCP ISO22000 SQF3 Implementation 5.7. Has Top Management established, implemented and maintained procedures to manage potential situations and accidents that can impact upon food safety? Where products which have been released from the site may be affected by an incident, has consideration been given to the need to withdraw or recall products? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify Is the business continuity plan reviewed, tested and verified at least annually? BRCF CHACCP ISO22000 SQF3 Validate BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Page: 12/146

13 foodindustrycompliance.com Food Standards Checklist Calibration of Measuring and Testing Equipment Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development BRCF CHACCP ISO22000 SQF3 Documentation 8.3. Are records of Calibrations and Verifications Maintained? Do systems for the identification and control of measuring equipment include a documented list of equipment and its location? Do systems for the identification and control of measuring equipment include an identification code and calibration due date? Do systems for the identification and control of measuring equipment include prevention from adjustment by unauthorised staff? Do systems for the identification and control of measuring equipment include protection from damage, deterioration or misuse? Are records of measuring device adjustments documented? BRCF CHACCP ISO22000 SQF3 Implementation 8.3.a. 8.3.b. 8.3.c. 8.3.d. 8.3.e. Where necessary to ensure valid results have the Measuring Equipment and Methods used been calibrated or verified at specified intervals, or prior to use, against appropriate (traceable or justified) standards? Where necessary to ensure valid results, have the Measuring Equipment and Methods used been adjusted or re-adjusted as required? Where necessary to ensure valid results, have the Measuring Equipment and Methods used been identified to enable Calibration Status to be determined? Where necessary to ensure valid results, have the Measuring Equipment and Methods used been safeguarded from unauthorised/invalid adjustments? Where necessary to ensure valid results, have the Measuring Equipment and Methods used been protected from damage and deterioriation? Is the company able to demonstrate that measuring and monitoring equipment is sufficiently accurate and reliable to provide confidence in measurement results? Does the company identify and control measuring equipment used to monitor CCPs, product safety and legality? Are all identified measuring devices, including new equipment, checked and where necessary adjusted at a predetermined frequency, based on risk assessment? Are all identified measuring devices, including new equipment, checked and where necessary adjusted to a defined method traceable to a recognised national or international Standard where possible? BRCF CHACCP ISO22000 SQF3 Monitor Page: 13/146 11/06/2014 Business Business Location111

14 BRCF CHACCP ISO22000 SQF3 Corrective Action Where Measuring Equipment and Related Processes are found to be non-conforming, has the validity of previous measurement results been assessed? Where Measuring Equipment is found to be non-conforming, has the Organisation taken appropriate action for the equipment and any effected products? Where Measuring Equipment is found to be non-conforming, have records of Assessments and Corrective Actions been maintained? Are procedures in place to record actions to be taken when the prescribed measuring and monitoring devices are found not to be operating within specified limits? Where the safety or legality of products is based on equipment found to be inaccurate, is action taken to ensure at-risk product is not offered for sale? BRCF CHACCP ISO22000 SQF3 Verify Has the Organisation provided evidence that specified Monitoring and Measuring Methods and Equipment are adequate to ensure the performance of procedures and achieve outcomes? Where computer software is utilised in the Monitoring and Measurement of specified requirements, have the capabilities of the software been confirmed prior to the initial use? Where computer software is utilised in the Monitoring and Measurement of specified requirements, have the capabilities of the software been confirmed on a scheduled basis? Is measuring device equipment readable and of a suitable accuracy for the measurements it is required to perform? BRCF CHACCP ISO22000 SQF3 Validate Is reference measuring equipment calibrated and traceable to a recognised national or international Standard with records maintained? BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Page: 14/146

15 foodindustrycompliance.com Food Standards Checklist Chemical Control Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development BRCF CHACCP ISO22000 SQF3 Documentation Do chemical control processes include as a minimum, an approved list of chemicals for purchase? Do chemical control processes include as a minimum, availability of material safety data sheets and specifications? BRCF CHACCP ISO22000 SQF3 Implementation Are processes in place to manage the use, storage and handling of non-food chemicals to prevent chemical contamination? Do chemical control processes include as a minimum, avoidance of strongly scented products? Do chemical control processes include as a minimum, the labelling and/or identification of containers of chemicals at all times? Do chemical control processes include as a minimum, segregated and secure storage with restricted access to authorised personnel? Where strongly scented or taint-forming materials have to be used, for instance for building work, are procedures in place to prevent the risk of taint contamination of products? Where necessary, are separate, secure storage facilities for cleaning materials and hazardous substances provided? Are cleaning chemicals handled and used carefully and in accordance with manufacturers instructions and stored, where necessary, separated from food, in clearly identified containers to avoid the risk of contaminating food? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify Do chemical control processes include as a minimum, confirmation of suitability for use in a food processing environment? BRCF CHACCP ISO22000 SQF3 Validate BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Do chemical control processes include as a minimum, chemical use by trained personnel only? Page: 15/146 11/06/2014 Business Business Location111

16 foodindustrycompliance.com Food Standards Checklist Cleaning and Sanitation Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development 6.2 Where appropriate, are cleaning programmes drawn up in consultation with relevant specialist expert advisors? BRCF CHACCP ISO22000 SQF3 Documentation Are documented cleaning procedures in place and maintained for the building, plant and all equipment? Do cleaning procedures include (as a minimum) responsibility for cleaning? Do cleaning procedures include (as a minimum) item / area to be cleaned? Do cleaning procedures include (as a minimum) frequency of cleaning? Do cleaning procedures include (as a minimum) method of cleaning, including dismantling equipment for cleaning purposes where required? Do cleaning procedures include (as a minimum) cleaning chemicals and concentrations? Do cleaning procedures include (as a minimum) cleaning materials to be used? Do cleaning procedures include (as a minimum) cleaning records and responsibility for verification? Are the frequency and methods of cleaning based on risk? Are limits of acceptable and unacceptable cleaning performance defined, based on the potential hazards (e.g. microbiological, allergen or foreign body contamination)? Are the results of checks on cleaning, including visual, analytical and microbiological checks, recorded and used to identify trends in cleaning performance and instigate improvements where required? Is a schematic plan of the layout of the CIP system available? Where applicable, do rotating spray devices have a defined operational time? Is there an inspection report or other verification for the CIP system that CIP equipment has adequate separation from active product lines (e.g. through the use of double seat valves, manually controlled links or blanks in pipework)? Are the CIP process parameters, time, detergent concentrations, flow rate and temperatures defined to ensure removal of the appropriate target hazard (e.g. soil, allergens, vegetative microorganisms, spores)? Do cleaning procedures involve (where appropriate) removing gross debris from surfaces? Page: 16/146 11/06/2014 Business Business Location111

17 Do cleaning procedures involve, where appropriate, applying a detergent solution to loosen soil and bacterial film and hold them in solution or suspension? Do cleaning procedures involve, where appropriate, rinsing with appropriate water, to remove loosened soil and residues of detergent? Do cleaning procedures involve, where appropriate dry cleaning or other appropriate methods for removing and collecting residues and debris? Do cleaning procedures involve, where necessary, disinfection with subsequent rinsing, unless the manufacturers instructions indicate on scientific basis that rinsing is not required? Where written cleaning programmes are used, do they specify areas, items of equipment and utensils to be cleaned; responsibility for particular tasks; method and frequency of cleaning; and monitoring arrangements? BRCF CHACCP ISO22000 SQF3 Implementation Fundamental Are cleaning systems in place to ensure appropriate standards of hygiene are maintained at all times and the risk of product contamination is minimised? Are cleaning procedures implemented to ensure appropriate standards of cleaning are achieved? Are resources required for undertaking cleaning readily available? Where it is necessary to dismantle equipment for cleaning purposes or to enter large equipment for cleaning, is this appropriately scheduled and where necessary, planned for non-production periods? Is the cleanliness of equipment checked before equipment is released back into full production? Is cleaning equipment fit for purpose? Is cleaning equipment suitably identified for intended use (e.g. colour coded or labelled)? Is cleaning equipment cleaned and stored in a hygienic manner to prevent contamination? Is equipment used for cleaning in high-care and high-risk areas dedicated for use in that area? Is the CIP equipment operated to ensure effective cleaning is carried out? Are CIP process filters (where fitted), cleaned and inspected at a defined frequency? Are adequate and suitably designated facilities provided for cleaning food, utensils and equipment? Is cleaning conducted to remove food residues and dirt which may be a source of contamination? Page: 17/146

18 Are the necessary cleaning methods and materials available (dependent on the nature of the food business), including disinfection that may be necessary after cleaning? Is cleaning carried out by the separate or the combined use of physical methods, such as heat, scrubbing, turbulent flow, vacuum cleaning or other methods that avoid the use of water, and chemical methods using detergents, alkalis or acids? Do cleaning and disinfection programmes ensure that all parts of the establishment are appropriately clean, this should include the cleaning of cleaning equipment? Are surfaces, utensils, equipment, fixtures and fittings thoroughly cleaned and where necessary disinfected after raw food, particularly meat and poultry, has been handled or processed? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify Are acceptable levels of cleaning performance defined by a method such as visual appearance, ATP bioluminescence techniques, microbiological testing or chemical testing as appropriate? Is there an inspection report, or other verification for the CIP system that systems are hygienically designed with no dead areas, limited interruptions to flow streams and good system drainability? Is there an inspection report, or other verification for the CIP system that scavenge pumps are operated to ensure that there is no build-up of cleaning fluids in the vessels? Is there an inspection report, or other verification for the CIP system that spray balls effectively clean vessels by providing full surface coverage and are periodically inspected for blockages. Are CIP process verifications undertaken by analysis of rinse waters and/or first product through the line for the presence of cleaning fluids, or by tests of ATP (bioluminescence techniques) for allergens, or micro-organisms as appropriate? BRCF CHACCP ISO22000 SQF3 Validate Are the cleaning and disinfection procedures and frequency validated and records maintained? Is the CIP system revalidated following alterations or additions, and are such changes to the system recorded? Are CIP process parameters validated and are records of the validation maintained? BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Page: 18/146

19 Are cleaning staff adequately trained or, is engineering support provided where access within equipment is required for cleaning? Page: 19/146

20 foodindustrycompliance.com Food Standards Checklist Continuous Improvement Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development BRCF CHACCP ISO22000 SQF3 Documentation Are system update activities recorded and reported in an appropriate manner? 5.7 Is documentation used to enhance the credibility and effectiveness of the food safety control system? BRCF CHACCP ISO22000 SQF3 Implementation a. Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the use of Communicaton? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the use of Management Reviews? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the use of Internal Auditing? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the Evaluation of Individual Verification Results? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the Analysis of the Results of Verification Activities? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the Validation of Control Measure Combinations? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through the use of Corrective Actions? Has Top Management ensured that the Organisation continually improves the effectiveness of the Food Safety Management System through Updates to the Food Safety Management System? Has Top Management ensured that the Food Safety Management System is continually updated? Where necessary, has the Food Safety Team reviewed the HACCP Plan(s) and Operational Pre-requisite Programs following Food Safety Program Evaluations? Are evaluation and updating activities facilitated by the Food Safety Team based on Inputs from Internal and External Communications? Page: 20/146 11/06/2014 Business Business Location111

21 8.5.2.b c d Are evaluation and updating activities facilitated by the Food Safety Team based on Inputs from information related to the suitability, adequacy and effectiveness of the Food Safety Management System? Are evaluation and updating activities facilitated by the Food Safety Team based on outputs from the Analysis of Verification Results? Are evaluation and updating activities facilitated by the Food Safety Team based on outputs from the Management Review process? Are system update activities used as inputs for the Management Review Process? Mandatory - Has senior management established processes to improve the effectiveness of the SQF System to demonstrate continuous improvement? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify Has the Food Safety Team evaluated the Food Safety Management System at planned intervals? BRCF CHACCP ISO22000 SQF3 Validate BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Page: 21/146

22 foodindustrycompliance.com Food Standards Checklist Contract Review Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development BRCF CHACCP ISO22000 SQF3 Documentation Are the methods and responsibility for ensuring all agreements relating to customers product requirements and its realization and delivery specified and agreed and documented and implemented? Are records of all contract reviews and changes to contractual agreements and their approvals maintained? Have the methods and responsibility for ensuring all agreements relating to food safety, quality and customer product requirements and its realization and delivery are specified and agreed shall been documented and implemented? BRCF CHACCP ISO22000 SQF3 Implementation ii Does the supplier ensure changes to contractual agreements are approved by both parties and communicated to relevant personnel? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action BRCF CHACCP ISO22000 SQF3 Verify i i Does the supplier verify all customer requirements are being met at all times? Where products and/or processes of comanufacturers are considered high risk, have these undergone an audit by the supplier or other third party agency to confirm compliance to the SQF Code and agreed arrangements? BRCF CHACCP ISO22000 SQF3 Validate BRCF CHACCP ISO22000 SQF3 Skills and Knowledge Page: 22/146 11/06/2014 Business Business Location111

23 foodindustrycompliance.com Food Standards Checklist Corrective Action and Preventative Action Standard References Details Compliant (Y/N) Comments BRCF CHACCP ISO22000 SQF3 Development BRCF CHACCP ISO22000 SQF3 Documentation a a b a b c d e. Is there an established Documented Procedure that covers the identification and assessment of affected end products? Does the Documented Procedure for the identification and assessment of affected end products include requirements for the proper handling of such products? Is there an established Documented Procedure that covers the review of implemented Corrective Actions and Corrections? Are records of non-conforming product evaluations maintained? Have Corrective Action outcomes including the nature of the non-conformance been recorded? Have Corrective Action outcomes including the cause of the non-conformance been recorded? Have Corrective Action outcomes including the consequence of the non-conformance been recorded? Have Corrective Action outcomes including the traceability details of non-conforming lots been recorded? Has the Organisation established and maintained documented procedures that specify appropriate actions to Identity and Eliminate the Cause of identified nonconformances? Has the Organisation established and maintained documented procedures that specify appropriate actions to Prevent Reoccurrence of identified non-conformances? Has the Organisation established and maintained documented procedures that specify appropriate actions to bring the Process and System back into Control after the identification of non-conformances? Do documented Corrective Action procedures include requirements for reviewing nonconformances including Customer Compaints? Do documented Corrective Action procedures include requirements for reviewing Trends in Monitoring Results that may indicate movement towards a loss of control, or loss of control? Do documented Corrective Action procedures include requirements for determining the Cause of non-conformances? Do documented Corrective Action procedures include requirements for eveluatng the requirement for Action to ensure that nonconformances do not re-occur? Do documented Corrective Action procedures include requirements for determining and implementing required actions? Page: 23/146 11/06/2014 Business Business Location111

24 f g. Do documented Corrective Action procedures include requirements for recording the results of Corrective Actions taken? Do documented Corrective Action procedures include requirements for reviewing Corrective Actions to ensure that they are effective? Are all Corrective Actions recorded? Have the controls and related responses for dealing with potentially unsafe products been documented? Does the company have a documented procedure for handling non-conformances? Do procedures for the handling of nonconformances include (where applicable), clear documentation of the non-conformity; assessment of consequences by a suitably competent and authorised person; identification of the corrective action to address the immediate issue; identification of an appropriate timescale for correction; identification of personnel with appropriate authority responsible for corrective action; verification that the corrective action has been implemented and effective identification of the root cause of the non-conformity and implementation of any necessary corrective action? Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for staff to identify and report potentially nonconforming product? Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for clear identification of non-conforming product (e.g. direct labelling or the use of IT systems)? Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for secure storage to prevent accidental release (e.g. isolation areas)? Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for referral to the brand owner where required? Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for defined responsibilities for decision making on the use or disposal of products appropriate to the issue (e.g. destruction, reworking, downgrading to an alternative label or acceptance by concession)? Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for records of the decision on the use or disposal of the product? Page: 24/146

25 3.8.1 Are there documented procedures for managing non-conforming products which include (where applicable), the requirement for records of destruction where product is destroyed for food safety reasons? i ii iii iv Is 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 are handled, documented and implemented? Does the responsibility and methods outlining non-conforming product ensure 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? Does the responsibility and methods outlining non-conforming product ensure 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? Does the responsibility and methods outlining non-conforming product ensure all relevant staff are aware of the organization s quarantine and release requirements applicable to equipment or product placed under quarantine status? Does the responsibility and methods outlining non-conforming product ensure that producers document relevant details of the unacceptable materials when applicable? Have Quarantine records and records of the handling, corrective action or disposal of nonconforming product or equipment been maintained? Mandatory - Are 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 and quality limits and deviations from food safety and quality requirements, documented and implemented? Mandatory - Are records of all investigation and resolution of corrections and corrective action maintained? BRCF CHACCP ISO22000 SQF3 Implementation Where products have been manufactured under conditions where CCP Critical Limits have been breached, have products and processes been controlled in alignment with prescribed requirements? Where products have been manufactured under conditions where operational Prerequisite Programs have been not been effective, have affected products been reviewed regarding the cause of the issue? Page: 25/146

26 a b c a b. Where products have been manufactured under conditions where operational Prerequisite Programs have been not been effective, has the status of affected products been evaluated for Food Safety Risks? Has CCP and operational Pre-requisite Program monitoring data been evaluated by designated persons? Do personnel evaluating the Monitoring of CCPs and operational Pre-requisite Programs have the authority to initiate Corrective Actions? Have Corrective Actions been implemented where CCP Critical Limits have been exceeded? Have Corrective Actions been implemented where there has been a lack of confomance with operational Pre-requisite Programs? Does the Organisation ensure non-conforming products are handled in a manner that prevents entry to the Food Chain unless Food Safety Hazards of concern have been reduced to the defined acceptable levels? Does the Organisation ensure non-conforming products are handled in a manner that prevents entry to the Food Chain unless Food Safety Hazards of concern will be reduced to the defined acceptable levels? Does the Organisation ensure non-conforming products are handled in a manner that prevents entry to the Food Chain unless Food Safety Hazards of concern meets defined acceptable limits despite the identified non-conformance? Are all lots of products affected by a nonconformance held under the control of the organisation until they have been evaluated? In a scenario where products outside of the Organisation's control are determined to be unsafe, has the Organisation notified relevant parties to initiate a Product Recall or Product Withdrawal? Where it is a suitable option, has each lot of confirmed non-conforming product been reprocessed or further processed to ensure the Food Safety Hazard is eliminated or reduced to an acceptable level? Where re-processing or further processing of non-conforming products is not a suitable option, has each lot of confirmed nonconforming product been destroyed or disposed of as waste? Is the company able to demonstrate that they use the information from identified failures in the food safety and quality management system to make necessary corrections and prevent recurrence? Does the company ensure that any out-ofspecification product is effectively managed to prevent release? BRCF CHACCP ISO22000 SQF3 Monitor BRCF CHACCP ISO22000 SQF3 Corrective Action Page: 26/146