Professional Documents
Culture Documents
April 2002
© Clemson University
Department of Food Science and Human Nutrition
College of Agriculture, Forestry & Life Sciences
224 Poole Agricultural Center
Box 340371
Clemson, SC 29634-037
Phone: (864) 656-5694 Fax: (864) 656-0331
TABLE OF CONTENTS
Purpose of This Publication ..................................................................................................... 1
Food Safety Inspections ........................................................................................................... 1
GMP’s: Personnel .................................................................................................................... 3
Buildings and Facilities: Plant and Grounds ......................................................................... 4
Buildings and Facilities: Sanitation Operations: Pest Control .............................................. 5
Buildings and Facilities: Sanitary Facilities and Controls .................................................... 6
Equipment ............................................................................................................................ 7
Production and Process Control .............................................................................................. 8
Good Manufacturing Practices (GMPs)
Monthly Inspection Record Sheet ....................................................................................... 9
Sanitation SOP’s Sanitation SOP’s (SSOPs): ........................................................................ 10
Monthly Inspection Record Sheet ..................................................................................... 12
Good Agricultural Practices (GAPs):
Applicable to the Field Operations. .................................................................................. 13
Good Agricultural Practices (GAPs):
Monthly Inspection Record Sheet ..................................................................................... 15
Good Manufacturing Practices (GMPs):
Monthly Inspection Record Sheet: Percentage Look-Up Table......................................... 16
Inspectional Guide.................................................................................................................. 17
HACCP Systems – Basic Compliance Checklist .................................................................. 19
The Clemson University Cooperative Extension Service offers its programs to people of all ages, regardless of race,
color, sex, religion, national origin, disability, political beliefs, sexual orientation, marital or family status and is an
equal opportunity employer.
Clemson University Cooperating with U.S. Department of Agriculture, South Carolina Counties. Issued in Furtherance of
Cooperative Extension Work in Agriculture and Home Economics, Acts of May 8 and June 30, 1914
PURPOSE OF THIS PUBLICATION
This document provides food processors with examples of basic checklists to perform internal
inspections of their food processing facilities. The ultimate goal of food inspections is to ensure
the safety of all food products reaching commerce. To achieve this goal, a series of inspections
are required before a HACCP inspection is performed. These pre-HACCP inspections may
include the current Good Manufacturing Practices (GMPs), Good Agricultural Practices (GAPs)
and Sanitation Standard Operating Procedures (SSOPs). Food processors may be able to obtain
other inspection list examples by contacting their food inspectors. By doing this, they can better
prepare facilities for formal inspection to comply with local, state and federal food laws and
regulations.
HACCP-based inspections or audits verify that a particular facility has included correct
implementation of GAPs, GMPs, SSOPs and a HACCP program as necessary. This results in
having a system that ensures the production of safe and wholesome food products.
This publication contains sample forms of inspections for food establishments. Companies
should develop their own inspection forms for internal purposes and continuous improvements.
The forms can be computerized for easy rating calculations. Managers can then assess the status
of the company at any time. It is recommended that a professional be assigned the responsibility
for auditing. This reduces the possibilities of misunderstanding audit reports. It is recommended
that an assigned company person be with the inspector or auditor throughout the whole
inspection to avoid misunderstandings at reporting time.
Besides producing a safe and wholesome food product, self-inspections can help companies to
optimize operation, thus reducing production costs.
Start your regular inspection and control activities with all the necessary tools as indicated below
in the Inspection and Control Tools List. Each inspection checklist has several questions that
need to be asked and answered during the actual audit.
Record each answer on the Monthly Inspection Record Sheets. Calculate the percentage of
“good” answers. The ideal “clean and sanitized” establishment will have a score of 100%. The
lower the score, the more opportunities for improvement.
1
Count the total number of “good” answers and write this number down. You may want to
develop your rating scale for the HACCP checklist.
Problems found during an inspection should be recorded in a notebook and corrected as soon as
possible before the next inspection. Avoid having the same problems showing in your next
inspection. Keep Monthly Inspection Record Sheets as document evidence of your food safety
efforts..
2
GMPs: Personnel
21 CFR, Part 110 Section 110.10
Do your employees have any illnesses, infections or injuries (i.e., boils, cuts) that
can contaminate foods in the production area? -------- -----------------
4. Do your employees wash and sanitize their hands after each visit to the toilet? -------- -----------------
Do you have washing facilities available for your employees near their work -------- -----------------
stations?
Do they use them when their hands become soiled or contaminated? -------- -----------------
7. Have your employees been told the reasons why they should undertake the above -------- -----------------
precautions?
Has this training been done through GMP classes? -------- -----------------
Total Checked:
3
GMPs: Buildings and Facilities: Plant and Grounds
21 CFR, Part 110, Section 110.20
GoodNeeds
Work
1. Is the area around your firm clear of litter, weeds, grass and brush?
2. Is there any standing water on your grounds (which also attracts pests)?
3. Are floors, walls, ceilings, windows and screens properly maintained and cleaned?
There should be no flaking paint anywhere above the production area.
4. Do production area doors and windows to the outside have fine mesh screens to
keep out insects? If not, are they tightly sealed?
Total Checked:
4
GMPs: Buildings and Facilities:
Sanitation Operations: Pest Control
21 CFR, Part 110 Section 110.35 (a)(c)
5
GMPs: Buildings and Facilities:
Sanitary Facilities and Controls
21 CFR, Part 110 Section 110.37
Good
Needs
Work
1. Is trash, debris and clutter picked up, both inside and outside the plant, so as not to
provide hiding places for pests?
3. Do employees eat, drink and use tobacco products only in designated areas, and
not in the production area or warehouse?
5. Has old rodent excreta been cleaned up so you can spot any new activity?
6. Is garbage quickly removed and dumped in appropriate bins? It should not sit
around your facilities to attract pests and develop odors.
7. Is the garbage kept covered? An open garbage pile is an excellent breeding ground
for insects and rodents.
8. Is the water used in your firm from an approved source (either municipal supply or
tested private source)?
9. Have you made sure there are no hoses left dangling in sinks or on the ground?
Loss of pressure can cause a back flow that will contaminate your water supply.
10. Do your facilities have back flow and vacuum breaker valves to prevent
contaminate your water supply?
11. Is there standing water around your firm (particularly in the production area,
warehouse and pack-off area)?
Total Checked:
6
GMPs: Equipment
21 CFR, Part 110 Subpart C
2. Is the equipment designed, or otherwise suitable, for use in a food plant? For
example, equipment for handling or processing foods cannot contain
polychlorinated biphenyls (PCBs), which are very toxic (this does not apply to
electrical transformers and condensers containing PCBs in sealed containers).
3. Is there a build-up of food or other material on the equipment? This can serve as
a breeding place for insects and bacteria.
5. Is the equipment hard to disassemble for clean-up and inspection? The more
difficult it is, the less inclined you or an employee will be to clean it.
6. Is there a lot of “dead space” in or around the machinery where food and other
debris can collect as a nest for insects and bacteria?
Total Checked:
7
GMPs: Production and Process Control
21 CFR, Part 110 Section 110.80
GoodNeeds
Work
1. Are products stored on a first-in, first-out basis to reduce the possibility of
contamination through spoilage?
Are old products kept in front of the new to help in the rotation process?
2. Are all incoming products dated to ensure a proper rotation of stocks and for
internal tracking purposes?
3. Are items overstocked? This increases the chances of spoilage and contamination.
6. Are all products spoiled by damage, insects, rodents or other causes stored in a
designated “Quarantine Area” to prevent their contact with safe products?
8. Are incoming materials inspected for damage or contamination so that they can be
rejected?
Total Checked
8
Good Manufacturing Practices (GMPs)
Monthly Inspection Record Sheet*
Personnel Plant / Grounds Pest Control Sanitary Facilities and Equipment Production and
Control Process Control
Good Needs Good Needs Good Needs Good Needs Good Needs Good Needs
Work Work Work Work Work Work
1. 1. 1. 1. 1. 1.
2. 2. 2. 2. 2. 2.
3. 3. 3. 3. 3. 3.
4. 4. 4. 4. 4. 4.
5. 5. 5. 5. 5. 5.
6. 6. 6. 6. 6. 6.
7. 7. 7. 7. 7.
8. 8. 8. 8.
9. 9. 9. 9.
Number “Good”:_____ Number “Good”: ____ Number “Good”: ____ Number “Good”: _____ Number “Good”: ____ Number “Good”: _____
Percentage: ______ Percentage: ______ Percentage: ______ Percentage: ______ Percentage: ______ Percentage: ______
* Any questions that are not applicable should be eliminated to calculate the percentage accordingly.
Date: ____________________ Establishment Name: ______________________ Inspected by: __________________
SANITATION SOPs
Performed Evaluations:
Corrective Actions:
Overall Inspection by: , Date:
Cleaning Procedures:
Good Needs Work
1. Debris is swept up and discarded.
2. Facilities are rinsed with potable water as necessary.
3. Facilities are cleaned with an approved cleaner, according to
manufacturers directions.
4. Facilities are rinsed with potable water as necessary.
10
II. Operational Sanitation
Handling of the product and packaging materials will be performed under sanitary conditions
and in a manner to prevent contamination of the product.
Handling Operations
Performed Evaluations:
11
Sanitation SOPs (SSOPs)
Monthly Inspection Record Sheet*
2. 2. 2.
3. 3. 3.
4. 4. 4.
5. 5.
6.
7.
8.
9.
10.
11.
* Any questions that are not applicable should be eliminated to calculate the percentage accordingly.
12
Good Agricultural Practices (GAPs): Applicable to the Field
Operations.
Agricultural Water
Animal Feces
13
Worker Health and Hygiene
Field Sanitation
Trace Back
Corrective Actions:
14
Good Agricultural Practices (GAPs)
Monthly Inspection Record Sheet*
Agricultural Water Animal Feces Worker Health and Field Sanitation Trace Back
Hygiene
Good Needs Good Needs Good Needs Good Needs Good Needs
Work Work Work Work Work
1. 6. 9. 15.
2. 7. 10. 16.
3. 8. 11. 17.
4. 12. 18.
5. 13. 19.
14.
Percentage: ______
* Any questions that are not applicable should be eliminated to calculate the percentage accordingly.
10 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%
11 9% 18% 27% 36% 45% 55% 64% 73% 82% 91% 100%
19 5% 10% 16% 21% 26% 31% 37% 42% 47% 53% 58% 63% 68% 74% 79% 84% 89% 95% 100%
Ingredient 4-302.13 Wash/San. Temp. Measuring
3-303.12 Food in Contact with Water or Devices
Inspectional Guide Ice 4-302.14 Sanitizing Solution Testing
The Guide has been Contamination from Devices
Equip./Utensils/Linens LOCATION AND INSTALLATION
adapted from the FDA 3-304.11 Food Contact with Soiled 4-401.11 Equip. Location/Preventing
Food Code. It is to be used Items* Contam.
3-304.12 In-Use Utensils/Between-Use Installation
during the internal Storage 4-402.11 Fixed Equipment, Spacing/Sealing
inspection of an 3-304.14 Wiping Cloths, Use Limitation 4-402.12 Fixed Equipment,
3-304.15 Gloves, Use Limitation Elevation/Sealing
establishment. 3-304.17 Refilling Returnable MAINTENANCE AND OPERATION
Contamination from the Premises Equipment
3-305.11 Food Storage 4-501.11 Good Repair and Proper
3-305.12 Food Storage, Prohibited Areas Adjustment
Management and Personnel 3-305.13 Vended Food, Original 4-501.14 Equipment, Cleaning Frequency
SUPERVISION Container 4-501.15 Warewasher, Operating
2-101.11 Assignment of Responsibility* Contamination from Other Sources Instructions
2-102.11 Demonstration of Knowledge* 3-307.11 Miscellaneous Sources 4-501.16 Warewashing Sinks, Use
2-103.11 Duties of Person in Charge FOOD ID./PRESENTATION/ ON- Limitation
EMPLOYEE HEALTH PREMISES LABELING 4-501.17 Warewashing, Cleaning Agents
Disease or Medical Condition Accurate Representation 4-501.18 Warewashing, Clean Solutions
2-201.11 Responsibility of Person in 3-601.11 Standards of Identity 4-501.19 Warewashing, Wash Sol.
Charge* 3-601.12 Honestly Presented Temperature
2-201.12 Exclusions and Restrictions* Labeling 4-501.110 Warewasher, Wash Sol.
2-201.13 Removal of 3-602.11 Food Labels Temperature
Exclusions/Restrictions 3-602.12 Other Forms of Information 4-501.111 Warewashing, San. Water
2-201.14 Reporting by CONTAMINATED FOOD Temp.*
Employee/Applicant* Disposition 4-501.112 Warewasher, San. Water Temp.
2-201.15 Reporting by Person In 3-701.11 Discarding Contaminated 4-501.113 Warewasher, Sanitization
Charge* Food* Pressure
PERSONAL CLEANLINESS 4-501.114 Chem.San.,
Hands and Arms Equipment, Utensils, and Linens Temp./pH/Concentr./Hard.*
2-301.11 Clean Condition* MATERIALS FOR CONSTRUCTION 4-501.115 Chem.San., Detergent-Sanitizers
2-301.12 Cleaning Procedure* AND REPAIR 4-501.116 Determining Chem.San.
2-301.13 Special Hand wash Multiuse Concentration
Procedures* 4-101.11 Characteristics* Utensil/Temperature/Pressure Measuring
2-301.14 When to Wash* 4-101.12 Cast Iron Device
2-301.15 Where to Wash 4-101.13 Lead in Ceramic, China, 4-502.11 Good Repair and Calibration
2-301.16 Hand Sanitizers Crystal Utensils CLEANING OF EQUIPMENT AND
2-302.11 Fingernail Maintenance 4-101.14 Copper* UTENSILS
2-303.11 Jewelry Prohibitions 4-101.15 Galvanized Metal* Objective
2-304.11 Outer Clothing Cleanliness 4-101.16 Sponges 4-601.11 Clean Sight/Touch-No
HYGIENIC PRACTICES 4-101.17 Lead in Pewter Accum/Encrust.*
2-401.11 Eating, Drinking, or Using 4-101.18 Lead in Solder and Flux Frequency
Tobacco* 4-101.19 Wood 4-602.11 Food-Contact Surfaces and
2-401.12 Discharges-Eye, Nose, Mouth* 4-101.110 Nonstick Coatings Utensils*
2-402.11 Hair Restraint Effectiveness 4-101,111 Nonfood-Contact Surfaces 4-602.13 Nonfood-Contact Surfaces
2-403.11 Animal Handling Prohibition* Single-Service and Single-Use SANITIZATION OF EQUIPMENT AND
4-102.11 Characteristics* UTENSILS
Food Objective
CHARACTERISTICS DESIGN AND CONSTRUCTION 4-702.11 Frequency-Before Use After
3-101.11 Safe/Unadulterated./Honestly Durability and Strength Cleaning*
Presented* 4-201.11 Equipment and Utensils 4-703.11 Methods-Hot Water and
SOURCES/SPECIFICATIONS/ORIGI 4-201.12 Food Temperature Measuring Chemical*
NAL Devices* PROTECTION OF CLEAN ITEMS
CONTAINER/RECORDS Cleanabilty Drying
Sources 4-202.11 Food-Contact Surfaces* 4-901.11 Equipment and Utensils, Air-
3-201.11 Compliance with Food Law* 4-202.12 CIP Equipment Drying
PROTECT. FROM 4-202.13 "V" Threads 4-901.12 Wiping Cloths, Air-Drying
CONTAMINATION AFTER 4-202.14 Hot Oil Filtering Equipment Lubricating and Reassembling
RECEIVING 4-202.16 Nonfood-Contact Surfaces 4-902.11 Food-Contact Surfaces
3-301.11 Contamination from 4-202.18 Ventilation Hood, Filters 4-902.12 Equipment
Employees' Hands* Accuracy Storing
Contamination from Other 4-203.11 Food Temperature Measuring 4-903.11 Equip./Uten./Lin./Sing.-Ser/Use
Foods/Ingredients Devices Art.
3-302.11 4-203.12 Ambient Temp. Measuring 4-903.12 Prohibitions
Separation/Packaging/Segregation* Devices
3-302.12 Containers Identified/Common 4-203.13 Pres. Meas. Dev., Mech. Ware. Water, Plumbing, and Waste
Name Equip. WATER
3-302.14 Unapproved Additives* Source
3-302.15 Washing Fruits and Vegetables NUMBERS AND CAPACITIES 5-101.11 Approved System*
Contamination from Ice Used as a Utensils and Measuring/Testing Devices 5-101.12 System Flushing and
Coolant 4-302.12 Food Temperature Measuring Disinfection*
3-303.11 Exterior Ice Prohibited Devices 5-101.13 Bottled Drinking Water.*
17
Quality Drained 7-209.11 Other Personal Care Items,
5-102.11 Standards* 6-202.110 Outdoor Refuse Areas, Storage
5-102.12 Nondrinking Water* Curbed/Drained STOCK AND RETAIL SALE
5-102.13 Sampling NUMBERS AND CAPACITIES 7-301.11 Storage and Display, Separation*
5-102.14 Sample Report Handwashing Facilities
Quantity and Availability 6-301.11 Hand Cleanser, Available Compliance and Enforcement
5-103.11 Capacity* 6-301.12 Hand Drying Provision CODE APPLICABILITY
5-103.12 Pressure 6-301.13 Handwash Aids and Devices, Use Variances
Distribution, Delivery, and Retention Restrictions 8-103.11 Documentation and Justification
5-104.11 System 6-301.14 Handwashing Signage 8-103.12 Conformance with Procedures*
5-104.12 Alternative Water Supply Toilets and Urinals PLAN SUBMISSION AND APPROVAL
PLUMBING SYSTEM 6-302.11 Toilet Tissue, Availability Facility and Operating Plans
5-201.11 Materials, Approved* 6-303.11 Lighting, Intensity 8-201.11 When Plans Are Required
Design, Construction, and Installation 6-304.11 Ventilation, Mechanical 8-201.12 Contents of Plans/Specifications
5-202.11 Approved System/Cleanable 6-305.11 Dressing Areas/Lockers, 8-201.13 HACCP Plan/When Required
Fixtures* Designation 8-201.14 Contents of a HACCP Plan
5-202.12 Handwashing Facility, Installation LOCATION AND PLACEMENT INSPECTION AND CORRECTION OF
Numbers and Capacities 6-402.11 Toilet Rooms, VIOLATIONS
5-203.13 Service Sink Convenient/Accessible Critical Violation
5-203.14 Backflow Prevention Device 6-403.11 Employee Accommodations, 8-405.11 Timely Correction
REFUSE, RECYCLABLES, AND Designated Noncritical Violation
RETURNABLES 6-404.11 Distressed Merchandise, 8-406.11 Time Frame for Correctio
Facilities on the Premises Segregated
5-501.11 Outdoor Storage Surface MAINTENANCE AND OPERATION
5-501.12 Outdoor Enclosure Premises/Fixtures - Methods
5-501.13 Receptacles 6-501.11 Repairing
5-501.15 Outside Receptacles 6-501.12 Cleaning, Frequency/Restrictions
5-501.16 Areas-Receptacles, 6-501.13 Cleaning Floors, Dustless
Capacity/Avail. Methods
5-501.17 Toilet Room Receptacle, Covered 6-501.14 Clean. Vent. Sys., Prev. Discharge
5-501.18 Cleaning Implements and 6-501.15 Clean. Maint. Tools, Prev.
Supplies Contam.*
5-501.19 Storage Areas and Units/Location 6-501.16 Drying Mops
5-501.110 Storing 6-501.17 Floors - Absorbent Materials
Refuse/Recyclables/Return. 6-501.18 Maintaining/Using Handwashing
5-501.111 Areas/Enclosures/Receptacles, Facilities
Repair 6-501.19 Closing Toilet Room Doors
5-501.112 Outside Storage Prohibitions 6-501.110 Using Dressing Rooms and
5-501.113 Covering Receptacles Lockers
5-501.114 Using Drain Plugs 6-501.111 Controlling Pests*
5-501.115 Maintaining Refuse 6-501.112 Removing Dead or Trapped Pests
Areas/Enclosures 6-501.113 Storing Maintenance Tools
5-501.116 Cleaning Receptacles 6-501.114 Unnecessary Items and Litter
Removal 6-501.115 Prohibiting Animals*
5-502.11 Frequency Poisonous or Toxic Materials
5-502.12 Receptacles or Vehicles LABELING AND IDENTIFICATION
Facilities for Disposal/Recycling/Refilling Original Containers
5-503.11 Community or Individual Facility 7-101.11 Identifying Information,
Physical Facilities Prominence*
MATERIALS FOR CONSTRUCTION 7-102.11 Working Containers, Common
AND REPAIR Name*
6-101.11 Indoors, Surface Characteristics OPERATIONAL SUPPLIES AND
6-102.11 Outdoors, Surface Characteristics APPLICATIONS
DESIGN, CONSTRUCTION, AND 7-201.11 Storage, Separation*
INSTALLATION Presence and Use
Cleanability 7-202.11 Restriction*
6-201.11 Floors, Walls, and Ceilings 7-202.12 Conditions of Use*
6-201.12 Floors/Walls/Ceilings,Utility Container Prohibitions
Lines 7-203.11 Poisonous/Toxic Material
6-201.13 Junctures, Coved/Enclosed/Sealed Containers*
6-201.14 Carpeting,Restriction/Installation Chemicals
6-201.15 Floor Covering, Mats and 7-204.11 Sanitizers*
Duckboards 7-204.12 Washing Fruits and Vegetables*
6-201.16 Wall, Ceiling, Coverings/Coatings 7-204.13 Boiler Water Additives*
6-201.17 Walls and Ceilings, Attachments 7-204.14 Drying Agents*
6-201.18 Wall, Ceiling, Studs/Joists/Rafters 7-205.11 Lubricants, Incidental Food
Functionality Contact*
6-202.11 Light Bulbs, Protective Shielding Pesticides
6-202.12 Ventilation System, Exhaust 7-206.11 Restricted-Use, Criteria*
Vents 7-206.12 Bait Stations*
6-202.13 Insect Contr. Dev., Design/Install. 7-206.13 Tracking Powders*
6-202.14 Toilet Rooms, Enclosed Medicines
6-202.15 Outer Openings, Protected 7-207.11 Restriction and Storage*
6-202.16 Exterior Walls/Roofs, Barriers 7-207.12 Medicines, Refrigerated Storage*
6-202.19 Outdoor Walk/Drive Surfaces, 7-208.11 First Aid Supplies, Storage*
18
HACCP SYSTEMS – BASIC COMPLIANCE CHECKLIST
ESTABLISHMENT: PROCESS:
A HACCP plan covers more than one product and the products are not all
similar.
FOOD SAFETY HAZARD(S)
The HACCP plan does not list the food safety hazard(s) identified in the hazard
analysis.
HAZARD CONTROL
The HACCP plan does not list CCPs for each food safety hazard.
The HACCP plan does not list critical limits to be met at each CCP.
MONITORING
The HACCP plan does not list the procedures to be used to monitor each CCP
and the frequency with which these procedures will be performed.
CORRECTIVE ACTIONS
The HACCP plan does not identify the corrective action to be followed in
response to a deviation from a critical limit at a CCP.
III – RECORDKEEPING
REQUIREMENT YES
(X)
The HACCP plan’s record keeping system does not document the monitoring
of CCPs and/or does not include records with the actual values and
observations.
IV – DATED SIGNATURE
REQUIREMENT YES
(X)
ACCEPTANCE AND REASSESSMENT
The responsible establishment official did not sign and date the HACCP plan
(1) upon initial acceptance, or
(2) at least annually thereafter upon required plan reassessment.
MODIFICATION
The HACCP plan was modified, and the responsible establishment official did
not sign and date the plan.
20