Standard: Conformance

1.1 Food Safety Management System Manual

Documented manual in place (printed or electronic).
Clearly defined scope (processes and products) of the food safety management
system.

Readily available to all staff (evidence of availability). Understandable (language

of use - staff) and legible

1.2 Food Safety and Compliance Policy

Documented food safety policy in place.
Policy must address food safety and legality specifically.
Must be company specific.
Terms of reference (may be in separate program) must specify (by name) the
relevant acts, regulations, compulsory specifications and industry standards used.

Must Identify PRP standards used (e.g. SANS 10049, ISO 22002-1).

Must Identify / Specify HACCP standard used (e.g. Codex, SANS 10330, ISO
22000).

Must identify GFSI 6.2.

Must Identify customer requirements.
For export - legislation of country of destination referenced.

Hygiene policy may be included.

Food safety policy dated and signed by top management.

Copies of all terms of reference (documents) available (may be electronic).
Documented proof of the communication of the food safety policy throughout the
organisation in place (signed copies, induction training or notice boards).

1.3 Management Responsibility and Organizational Structure

Documented organisational structure (clear responsibilities by employee name).
Appointment of management representative and food safety team. Qualification
criteria listed or evidence that team is suitably qualified.
Clear job descriptions.
Responsibilities for food safety indicated.
Levels of authority must be defined. Reporting structures must be defined

Written appointment for management representative / food safety team leader

responsible for the development, maintenance and implementation of the system.

Letters of appointment for the HACCP / Food Safety team.

Appointments accepted in writing.
Evidence of communication of responsibilities and authorities (staff interview).
Organogram by name and correct.

1.4 Management Commitment

Documented management commitment policy in place addressing senior
management commitment to establish, implement, maintain and improve the
Food Safety Management System.
Practical and organisation specific.
Clear, measureable objectives and targets for success.

Structures and objectives communicated to staff.

Note: May be included in Food Safety or other Policy

Proof of commitment available and visible (e.g. food safety policy signed,
participation in review, resource provision - time and financial).
Awareness of requirements evident during interview with top management.
Senior Management attended opening and closing meeting.
Note: Poor scores in 1.6 may impact here.

1.5 Annual Management Review including HACCP Review

Documented program in place for management review (including HACCP review -
included in management review or separate).
Must address frequency (pre - planned minimum annually).
Listing of elements (minimum) to be reviewed:
a) follow-up actions from previous management reviews
b) a review of any emergency situations and recalls
c) a review of trend analysis on customer and consumer complaints
d) a review of nonconformities, corrective action and product disposal
e) analysis of results of verification activities
f) a review of results from audits and verification activities
g) changing circumstances that could affect the FSMS
h) recommendations for improvement
i) resource needs
j) the suitability of the policies and related objectives
k) changes in legislation
l) the effectiveness of the measures taken to protect against contaminants
HACCP system must be reviewed (included or separate).
Triggers for unscheduled reviews listed.

Program must detail monthly management meetings and procedures for monthly
verification of records (methods and responsibility).
Note: This is a HACCP requirement - HACCP Stage 11

Detailed minutes (records) and attendance registers of all meetings available.

Monthly review of records and sign-off by management.

Note: This is a HACCP requirement - HACCP Stage 11

1.6 Resource Provision

Documented commitment from management to provide human and financial
resources for the implementation, maintenance and continuous improvement of
the food safety management system.
Note: May be included in Food Safety or other Policy

Commitment signed by top management.

Facility and equipment suitable.
Proper training in place.
Finances for testing and verification.
Enough suitable staff provided for control of food safety

1.7 Control of Documents and Records

Documented program for control of documents and records.

Must address approval, review and update, identification of changes (revision

numbers), distribution control, control of documents of external origin, storage and
disposal.
Amendment register available.

Note: This is a HACCP requirement - HACCP Stage 12

All documents have company identification, document numbers, dates of issue,

revision numbers, approval signatures.

Latest version available at point of use.

Documents legible.
Documents reviewed at suitable intervals.
Records available and accessible (min. 12 months for audit purposes).
Note: This is a HACCP requirement - HACCP Stage 12

1.8 Purchasing and Supplier Performance Management

Documented program for management and control of suppliers of services
(cleaning, water, air, gasses) and maintenance (lubricants) and transport
services.
Procedures for purchasing to ensure services comply to internal and external food
safety requirements.
Shall clearly address approval process (criteria for approval), methods of
evaluation and continued monitoring.
Handling of exemptions.

Approved suppliers list.

Records of evaluation and monitoring (audit results / supplier questionnaires).

Auditor to randomly check if approved suppliers are used.

All suppliers shall be listed.

1.9 Specifications (Distributed Product)

Documented program in place addressing the requirement for product
specifications.
Documented procedures for the control, review, updating and communication of
changes of specifications.
Must indicate person responsible for control of specifications.
Must address control of customer specifications
Note: This element does not currently count towards Major Non - Conformances

Note: It is the responsibility of the distributor to ensure that specifications are in

place and compliant even if supplier specifications are used.

Detailed internal (company own) specifications for services (cleaning, water, air,
gasses) and maintenance (lubricants).
Specifications for ALL materials in place.
Signed by both parties.
Latest versions in use and available to staff.
May use supplier specifications if these address all the requirements.
Note: C - if not in place for all materials or if using supplier specifications which do
not address all the requirements

Detailed product specifications must include clear allergenic, chemical

(organoleptic and residue), physical, microbiological and organoleptic parameters,
regulatory compliance criteria, specific storage/transport instructions, packaging,
labelling, shelf life, instructions for handling and use.
Specifications for ALL products in place.
Listing of products in place (any format - may be index or listed in scope).
Compliant to customer requirements.
Customer supplied specifications signed by both parties.
Latest versions in use and available to staff.
May use supplier specifications if these address all the requirements.
Note: This is a HACCP requirement - HACCP Stage 2 Note: C - if not in place for
all final products.
Note: AF - If not in place at all - Auditor to record it here.

All product specifications must detail the intended use of the product.
Must address potential abuse once it leave organization's control.
Must address vulnerability of potential consumers.
Likely uses and abuses of the product after it has left the control of the food
handling organization and potential hazards relating to this must be identified.
May use supplier specifications if these address all the requirements.

Note: This is a HACCP requirement - HACCP Stage 3

Note: C - if not in place for all products

1.10 Internal Audit

Documented program in place for internal audit.
Scope clearly defined (must encompass whole food safety management system,
PRP program and HACCP and as a minimum cover the criteria of the FSA audit).

Description of methodology.
Pre-planned schedule. Responsibility assigned.

Independence (impartiality) and competence defined.

Note: If using the FSA template it must be the original

Suitable template in use. Records of last internal audit.

Analysis of results.
Non - conformances carried over to the corrective action system, actioned,
verified and cleared.
Internal auditors independent and suitably qualified (evidence of competence).

Client / Customer visit reports.

Note: AF - If not in place at all - Auditor to record it here
Note: Auditor to ensure that FSA template only used as guideline and full audit
was actually conducted on company specific documents

1.11 Corrective and Preventive Action

Documented program in place for recording of non - conformances and corrective
action.
Must encompass complete management system including PRP non -
conformances (small and big).
Responsibilities and the timescales for corrective actions clearly defined.

Must include measures for root cause (trend) analysis and preventative action.

Identify staff responsible for corrective action.

Records in place for all non - conformances (may be electronic) with corrective
actions
Signed off and verified by competent staff.
Effectiveness verified.

Root cause and trend analysis done. Results reported to management.

Corrective actions in place for previous FSA audit.

Note: C - If corrective actions have not been done for all previous FSA audit
findings.
Note: AF - If not in place at all - Auditor to record it here

1.12 Control of Non Conforming Product

Documented program in place for the control of non -conforming product.
Methods of identification, storage (segregation), handling and disposal clearly
defined (may not be generic).
Responsibility for control and management clearly defined

Program clearly understood by relevant staff (interview).

Records in place clearly indicating decision about the further use (e.g. release,
isolation, disposal).

Dedicated non - conforming product storage area for product clearly identified in
facility. Controlled to prevent accidental distribution.

Records of non - conformity and corrective action.

Records of safe destruction.

Note: C - If any uncontrolled non - conforming product found in facility

Note: AF - If not in place at all - Auditor to record it here

1.13 Control over Outsourced Processes

Documented program for control of outsourced processes.
Procedures used to approve contractors (clear parameters for approval). Food
safety management system requirements needed by contractor.
Procedures for review.
Note: Not Applicable if no outsourced services are used.

Clear contracts in place.

Verification and inspection records of suppliers.
Records of inspection of services against agreed specifications
Note: Not Applicable if no outsourced services are used.

1.14 Customer Complaints

Documented program for the handling of customer complaints.
Formal recording system.

Integrated with corrective action system.

Complaints assessed by appointed competent staff (not call centres)

Records in place.

Clear identification of non - conformance and corrective action.

Communication with complainant in place.

Records of investigation done.

Root Cause and Trend analysis done.

Summaries presented to senior management

1.15 Product Recall / Withdrawal

Documented program for the withdrawal of non - conforming product from the
market.

Procedures must clearly define assignment of responsibility, the names and

contact numbers of the crisis management team, sources of legal advice,
methods of determining affected customers and an effective communication

Plan internally and to consumers.

Must be realistic and appropriate to the product.

Procedures must clearly define handling, storage, testing and disposal of recalled
product (may link to control of non - conforming product).

Records in place of actual recalls (if relevant).

Mock recall done annually on complete batch with all relevant records (from
receiving (inspections and COA's), through storage to dispatch and distribution
attached.

Recall % determined (actual % not in hands of consumer). Records of testing and

fate of recalled product.

Note: AF - If not in place at all - Auditor to record it here

1.16 Calibration and Control of Measuring and Monitoring

Documented program for the calibration and verification of monitoring and
measuring equipment critical to food safety or legal compliance.
Procedures must address identification, safeguarding, protection, calibration and
verification of all equipment.
Verifications must be done using standardized methods (documented
procedures).
Clearly defined procedures for verification of instruments used for verification of
CCP's addressing frequency, competence of staff, pass / fail parameters, actions
to be taken in case of failure of equipment.
Register and calibration schedules. Procedures for action when out of limits.
Note: Not Applicable if no monitoring equipment is used

Valid certificates in place that are traceable to national standards.

Records of verification at frequency commensurate with the type of equipment
(thermometers, thermal probes, scales, temperature dials)
Suitable records for verification of instruments used for verification of CCP's (e.g.
x-rays, metal detectors).
Records of corrective action in case of non - conformance - both equipment and
process
Note: Not Applicable if no monitoring equipment is used.
1.17 Food Defence and Security
Documented program to ensure the protection of the facility and product.
Procedures need to address activities associated with protecting the food from
deliberate or intentional acts of contamination or intentional adulteration by
biological, chemical, physical or radiological agents and tampering.
Procedures to address site security and control of access. Responsibilities for
food defence shall be clearly defined
Note: This element does not currently count towards Major Non - Conformances

Site suitably secured and access controls in place. Product suitably protected
against tampering.

1.18 Traceability
Documented program for traceability.

Clear description of how traceability will be maintained (from supplier to

consumers).

Annual traceability study done internally (may link to mock recall).

Auditor to conduct full traceability study on random sample. All records throughout
reflect batch numbers (all or nothing).
Note: C - If unidentified goods are found in facility.
Note: C - If full traceability not possible on study batch
Note: AF - If not in place at all - Auditor to record it here

1.19 Communication
Documented program in place for internal and external communication
addressing communication of information relating to the food safety management
system to suppliers, customers and internal staff.

Procedures must address communication of changes to products, systems, PRP

programs, legislative changes and complaints.

Note: This element does not currently count towards Major Non - conformances

Proof of communication - memos, meeting agendas, notice boards, green areas,

correspondence.
Note: This element does not currently count towards
Major Non - Conformances

1.20 Regulatory Compliance

Certificate of acceptability (R962) or relevant regulatory / statutory registration
certificates (Cold Stores) in place.
R 962 in place for vehicles if using outside contractors
In the name of the person in charge, correct address and valid

1.21 FSA Requirements

FSA terms and conditions available. Copy of criteria available.
FSA terms and conditions understood.
No unauthorized use of company name, certificate and logo.
No copyright infringements.
Current process Section of SANS

The scope of the PRP shall be clearly specified and shall cover the
food handling organization’s product(s), the process(as) involved, as
well as the food handling area(s). It shall be communicated and
reviewed to the extent needed by the organization to ensure its
effective development, implementation and maintenance.

The manual contains The commitment to conformance with the relevant statutory and
the SANS standards regulatory requirements and with
and the R918 mutually agreed requirements of customers,
certificate, however
the policy does not
state which
standards SGX
complies with.

The manual contains When selecting or establishing PRP(s) (or both), the food handling
the SANS standards organization shall consider and
and the R918 use appropriate information such as statutory and regulatory
certificate, however requirements, customer requirements,
the policy does not recognized guidelines, Codex Alimentarius Commission principles and
state which codes of practices, and
standards SGX applicable national, international or regional standards
complies with.

Currently a file exists, When selecting or establishing PRP(s) (or both), the food handling
which contains a organization shall consider and
Food Safety Policy use appropriate information such as statutory and regulatory
Statement however requirements, customer requirements,
no specific terms of recognized guidelines, Codex Alimentarius Commission principles and
reference exists for codes of practices, and
the standards been applicable national, international or regional standards
complied too.

N/a Is currently not a requirement.

The policy does not If a food product is exported, the relevant legislation of the country of
specify which destination shall be complied with.
legislation it complies
to for exports.
A management representative shall be appointed and shall,
irrespective of other responsibilities and
duties, act as the management representative of the PRP and shall
have the responsibility and
authority to
a) ensure that the PRP is established, implemented, maintained and
continually improved in
accordance with the requirements of this standard, and
b) report on the effectiveness and suitability of the PRP to management
and whether any need
exists for improving the system.
NOTE The PRP management representative is a suitably qualified and
experienced individual who reports to,
or is part of, top management.

The PRP policy shall be appropriate to the purpose of the food handling
organization and
shall include, but is not limited to, being supported by measurable
objectives for the PRP.

Top management shall review activities associated with the PRP at

least annually, or as
frequently as is deemed necessary, to measure the effectiveness of the
PRPs and to identify
opportunities for continual improvement.
6.5.2 Records of management reviews shall be maintained.
6.5.3 A management review shall include, but is not limited to,
information on:
a) follow-up actions from previous management reviews;
b) a review of any emergency situations and recalls;
c) a review of trend analysis on customer and consumer complaints;
d) a review of nonconformities and corrective action, as well as product
disposal;
e) analysis of results of the PRP and food product verification activities;
f) a review of results from audits and verification activities;
g) changing circumstances that could affect the PRP;
h) recommendations for improvement;
i) resource needs;
j) the suitability of the PRP policy and related objectives;
k) changes in legislation; and
c) a review of trend analysis on customer and consumer complaints;
d) a review of nonconformities and corrective action, as well as product
disposal;
e) analysis of results of the PRP and food product verification activities;
f) a review of results from audits and verification activities;
g) changing circumstances that could affect the PRP;
h) recommendations for improvement;
i) resource needs;
j) the suitability of the PRP policy and related objectives;
k) changes in legislation; and
l) the effectiveness of the measures taken to protect against potential
contaminants

Records of all processes required to ensure the safety of food shall be

verified at suitable
pre-determined intervals by a suitably qualified and experienced
person, who shall sign the records
to show that the verification has taken place, and to demonstrate that
the process has been carried
out under the required conditions.

The food handling organization shall ensure the establishment and

implementation of
documented procedures for the control of documents and records.
Documents shall be controlled as follows:
a) there shall be an approval of documents for adequacy before issue;
b) there shall be a review and an update of documents, as necessary,
as well as re-approval of these documents;
c) changes to documents and their current revision status shall be
identified;
d) it shall be ensured that the current versions of applicable documents
are made available at points of use;
e) it shall be ensured that documents remain legible and readily
identifiable;
f) relevant documents of external origin shall be identified and their
distribution controlled; and
g) the unintended use of obsolete documents shall be prevented and
an application of a suitable
method for their identification be established, if retained for any
purpose.
f) relevant documents of external origin shall be identified and their
distribution controlled; and
g) the unintended use of obsolete documents shall be prevented and
an application of a suitable
method for their identification be established, if retained for any
purpose.

The food handling organization shall ensure the establishment and

implementation of
documented procedures for the control of documents and records.
Documents shall be controlled as follows:
a) there shall be an approval of documents for adequacy before issue;
b) there shall be a review and an update of documents, as necessary,
as well as re-approval of these documents;
c) changes to documents and their current revision status shall be
identified;
d) it shall be ensured that the current versions of applicable documents
are made available at points of use;
e) it shall be ensured that documents remain legible and readily
identifiable;
f) relevant documents of external origin shall be identified and their
distribution controlled; and
g) the unintended use of obsolete documents shall be prevented and
an application of a suitable

The food handling organization shall evaluate and select suppliers

based on their ability to supply products or service in accordance with
the organization's purchasing requirements. Criteria for the selection,
evaluation and re-evaluation of suppliers shall be established and
documented.
A record of the evaluations of suppliers and services shall be kept.
Records of results of evaluations and any necessary actions arising
from these evaluations shall be maintained.

The food handling organization shall have, at its disposal, a current list
of suppliers that meet
food safety requirements.
The food handling organization shall evaluate and select suppliers
based on their ability to supply products or service in accordance with
the organization's purchasing requirements. Criteria for the selection,
evaluation and re-evaluation of suppliers shall be established and
documented
The food handling organization shall establish, document and maintain
procedures for the handling, storage, processing, packaging, and
delivery of the final food product. All documents shall be made
available when requested

The intended use and possible abuse of the product by consumers,

consumer groups or customers shall be described. Attention shall be
focused on the likely uses and abuses of the product after it has left the
control of the food handling organization. Factors such as the
vulnerability of the consumer, and instructions for use shall be taken
into account.

Documented procedures for planning and carrying out internal audits

shall be established
describing the methodology, frequency, responsibility and management
of the audit programme.
These audits shall determine whether the PRP system functions
adequately to meet food safety
requirements.
Internal audits shall be planned at least once a year and shall be
carried out by personnel
who are independent from the activity being audited. The selection of
auditors and the conduct of
audits shall be such that objectivity and impartiality are ensured during
the audit process.

Documented procedures for planning and carrying out internal audits

shall be established
describing the methodology, frequency, responsibility and management
of the audit programme.
These audits shall determine whether the PRP system functions
adequately to meet food safety
requirements.
The results of the audits shall be recorded and discussed with the
personnel responsible for
the activity being audited. Records of internal audits shall be
maintained and shall be brought to the
attention of personnel that are responsible for its corrective action

A documented corrective action system shall be implemented for all

nonconformities, and
appropriate corrective action shall be determined, implemented and
recorded.
The corrective action system shall define requirements for:
a) the review of the nonconformity (including customer complaints, the
design etc.);
b) the determination of the cause of the nonconformity;
c) the evaluation of the need for action to ensure that the nonconformity
does not recur;
d) the determination and implementation of the action needed;
e) the record of the results of the action, including the correction taken;
and
f) the review of the effectiveness of the correction and the corrective
action

A documented corrective action system shall be implemented for all

nonconformities, and
appropriate corrective action shall be determined, implemented and
recorded.
The corrective action system shall define requirements for:
a) the review of the nonconformity (including customer complaints, the
design etc.);
b) the determination of the cause of the nonconformity;
c) the evaluation of the need for action to ensure that the nonconformity
does not recur;
d) the determination and implementation of the action needed;
e) the record of the results of the action, including the correction taken;
appropriate corrective action shall be determined, implemented and
recorded.
The corrective action system shall define requirements for:
a) the review of the nonconformity (including customer complaints, the
design etc.);
b) the determination of the cause of the nonconformity;
c) the evaluation of the need for action to ensure that the nonconformity
does not recur;
d) the determination and implementation of the action needed;
e) the record of the results of the action, including the correction taken;
and
f) the review of the effectiveness of the correction and the corrective
action

The food handling organization shall establish a documented procedure

for dealing with PRPs and unsafe food products that do not comply with
the requirements of this standard.
9.1.2 The organization shall implement a documented programme to
ensure that all nonconformities are identified and controlled. Control
measures shall include PRPs and unsafe food
product identification, documentation, evaluation, segregation (if
applicable), disposal of the noncomplying
unsafe food product, and notification of the bodies concerned (both
internal and external).
9.1.3 All nonconformities together with the relevant correction or
corrective action (or both) shall be documented.
9.1.4 The correction of nonconformities shall be identified after
assessment to determine the proper handling of the unsafe food
product. Correction and corrective action shall be approved
before implementation of the intended action(s), and the unsafe food
product shall not be released for sale or consumption until it has been
established that the corrected food product is safe.

A documented corrective action system shall be implemented for all

nonconformities, and
appropriate corrective action shall be determined, implemented and
recorded.
10.1.3 The corrective action system shall define requirements for:
a) the review of the nonconformity (including customer complaints, the
design etc.);
A documented corrective action system shall be implemented for all
nonconformities, and
appropriate corrective action shall be determined, implemented and
recorded.
10.1.3 The corrective action system shall define requirements for:
a) the review of the nonconformity (including customer complaints, the
design etc.);
b) the determination of the cause of the nonconformity;
c) the evaluation of the need for action to ensure that the nonconformity
does not recur;
d) the determination and implementation of the action needed;
e) the record of the results of the action, including the correction taken;
and
f) the review of the effectiveness of the correction and the corrective
action.

A documented corrective action system shall be implemented for all

nonconformities, and
appropriate corrective action shall be determined, implemented and
recorded.
10.1.3 The corrective action system shall define requirements for:
a) the review of the nonconformity (including customer complaints, the
design etc.);
b) the determination of the cause of the nonconformity;
c) the evaluation of the need for action to ensure that the nonconformity
does not recur;
d) the determination and implementation of the action needed;
e) the record of the results of the action, including the correction taken;
and
f) the review of the effectiveness of the correction and the corrective
action.

9.3.1 A documented procedure shall be in place to ensure that the food

product identified as failing to meet food safety requirements can be
identified, located and removed from all necessary points
of the supply chain.
9.3.2 The food handling organization shall establish and document a
recall process. A mock recall shall be conducted periodically to ensure
its effectiveness. Records shall be maintained.
9.3.3 The recalled food product shall be held under quarantine until
final disposition is approved. This recalled food product shall be kept in
a designated holding area, pending release for an
analysis by the relevant department.
9.3.4 There shall be an analysis of the returned food product (internal
and external), which shall be documented, and the final disposition of
the food product shall be made known by authorized
personnel. Recalls shall be communicated to the relevant affected
parties, and where appropriate, to the relevant legal authorities.
9.3.5 Records of communication and food product disposition shall be
maintained.
9.3.6 Contaminated food that poses a potential hazard to human health
or to the environment shall be rejected and destroyed. This food shall
not be reworked.
9.3.7 A recall shall take place where it is established that contaminated
food that poses a potential hazard to human health or to the
environment has been released for sale.
9.3.5 Records of communication and food product disposition shall be
maintained.
9.3.6 Contaminated food that poses a potential hazard to human health
or to the environment shall be rejected and destroyed. This food shall
not be reworked.
9.3.7 A recall shall take place where it is established that contaminated
food that poses a potential hazard to human health or to the
environment has been released for sale.

9.3.1 A documented procedure shall be in place to ensure that the food

product identified as failing to meet food safety requirements can be
identified, located and removed from all necessary points
of the supply chain.
9.3.2 The food handling organization shall establish and document a
recall process. A mock recall shall be conducted periodically to ensure
its effectiveness. Records shall be maintained.
9.3.3 The recalled food product shall be held under quarantine until
final disposition is approved. This recalled food product shall be kept in
a designated holding area, pending release for an
analysis by the relevant department.
9.3.4 There shall be an analysis of the returned food product (internal
and external), which shall be documented, and the final disposition of
the food product shall be made known by authorized
personnel. Recalls shall be communicated to the relevant affected
parties, and where appropriate, to the relevant legal authorities.
9.3.5 Records of communication and food product disposition shall be
maintained.
9.3.6 Contaminated food that poses a potential hazard to human health
or to the environment shall be rejected and destroyed. This food shall
not be reworked.
9.3.7 A recall shall take place where it is established that contaminated
food that poses a potential hazard to human health or to the
environment has been released for sale.
Programmes shall be in place to facilitate traceability throughout the
operations of the food
handling organization and distribution to the customer.
A batch record shall be provided for each batch of the food product
being processed.
Requirements
Standard: Yes/ No
Facility - Location and Environment
2.1.1 Plant Location and Positioning
Location and positioning of plant suitable. Yes
No hazards from neighbours or surrounds - environmental, physical, Yes
microbiological or chemical contamination risk.
Separate facility accessible from a separate entrance. Yes
No domestic dwellings or no direct access from domestic dwellings Yes
2.1.2 Condition of the Facility Environment
Condition of local environment / grounds within site of facility. Yes
Perimeter suitably fenced. No animals within perimeter. Yes
Roadways and areas that service the facility paved. Yes
Unused buildings in good repair, not posing pest or other hazard. N/a
Premises well drained - no pooling water. Yes
Open areas paved, covered with lawn or otherwise protected to prevent dust. Yes
Outside construction of buildings (walls, roofs, gutters) in good condition and Yes
maintained.
No bird or pest activity. Yes
Sewage and effluent lines, drains and gutters suitably covered, free flowing, no Yes
smells and in good condition - not posing a hazard.
Covered areas if loading takes place outside. Yes
2.2 Facility - Staff
2.2.1 Change rooms
Acceptable number of change rooms / cloakrooms / showers suitably situated and Yes
separated.
Clean, ventilated, well maintained and hygienic. Yes
Change rooms directly linked to production area but with doors or foyer (staff not Yes
exposed to environment when in protective gear).
No preparation of meals and not used as living quarters Yes
2.2.2 Lockers
Adequate separate storage/lockers for personal clothing, protective clothing and Yes
food / food containers.
No glass risks (mirrors, crockery, bottles). Clean, well maintained and hygienic. Yes

Protective clothing not in contact with personal wear or food. N/a

No protective gear in personal lockers. N/a
Lockers clean on top. Yes
Locker inspections done with supporting records. No

2.2.3 Toilets
Separate toilet facilities. No

No direct access between toilets and production areas unless foyer and self N/a
closing devices are in place.
Clean, well maintained and hygienic with suitable air flow. Yes
Amply supply of toilet paper. Yes
Clear signage to support hand washing. Yes
No smoking. Yes
2.2.4 Hand Washing Facilities in Cloak Rooms / Toilets
Adequate hand wash and drying facilities separate from those in the production Yes
facility, warm (40-50oC) potable water.
Food safe certified (1828 / 1853) hand soap and alcohol based sanitizer. Yes
Signage posted. Yes
Hand drying facilities - paper or air driers and waste receptacles. Yes
2.2.5 Canteen / Rest areas
Separate facilities provided. Yes
Storage for food provided. Yes
Waste control in place. Yes
Clean, well maintained and hygienic. Yes
No direct access to production facility or toilets. Yes
Signage prohibiting protective clothing. Catering areas - no contamination risk Yes

2.2.6 Smoking
Area provided.
Clearly demarcated area provided.
Area controlled and clean.
No risk of contamination. No
No evidence of smoking in non - designated areas.

2.3 Facility - Design and Construction

2.3.1 Hand Washing Facilities in Distribution Facilities
Available at entrance.
Adequate number for staff compliment, separate from those in the cloakrooms,
warm (40-50oC) potable water.
Taps not hand or elbow operated.
SABS 1828 / 1853 hand soap and alcohol based sanitizer.
Signage posted.
Basins in good working condition.
Hand drying facilities - paper only if inside production areas and waste
receptacles provided (non hand operated).
Drainage not directly to floor.
Note: May be made Not Applicable if no exposed product is handled.
2.3.2 Walls and Doors
Weather-proof, impermeable to water, smooth, corrosion resistant, light coloured,
washable and impact resistant.
All ledges sloped - not used for storage.
Clean with no condensation, mould growth, flaking paint, rust, dirt, holes or
cracks.
Protected from moving equipment. Openings smooth and sealed.
Doors tight fitting, fitted with self closing devices and where required strip
curtains / air curtains.
No exposed wood.
All doors controlled and kept closed.
Joints with other walls, floors and ceilings coved and sealed.
2.3.3 Roof and Ceilings
Food handling and storage areas - weather-proof, non - absorbent, well
maintained, tight fitting with walls, min. 2.4 m above floor, 300 mm above
equipment, dust proof, corrosion resistant, light coloured, impermeable and easily
cleaned.
Clean with no condensation, mould growth, flaking paint, rust, dirt.
Openings smooth and sealed.
2.3.4 Windows and Skylights
Non - opening or pest proofed if used for ventilation.
Glass protected against breakage (on inside).
Window sills sloped and clean
Note: May be made Not Applicable if not present.
2.3.5 Floors
Impermeable to water, smooth, washable, free from cracks, holes or open joints.

Safe to walk on (no slippery).

No mould growth, flaking paint, rust, dirt.
Suitably sloped to drains. Manholes double sealed. Clean as you go in place.

2.3.6 Drainage
Channels open with easily removed covers, designed to cope with flow.
Traps for waste fitted with strainers.
Rodent proof.
No installations in channels to impede flow.
No blocked drains.
Duckboards suitable construction (no wood).
No smells
Note: May be made Not Applicable if not present.
2.3.7 Lift Cages, Stairs and Mezzanines
Lift cages - Good condition, corrosion resistant, smooth surfaces, easily cleaned
and clean.
Stairs - Smooth surfaces easily cleaned and clean.
Mezzanines, walkways and platforms - Solid side walls, floor with durable,
washable construction.
No mould growth, dirt, rust or flaking paint.
No risk of overhead contamination.
Note: May be made Not Applicable if not present.
2.3.8 Lighting / illumination
Glass components protected from breakage.

Easily cleaned and clean. Protected from moisture.

Note: For control see 2.13.3 and 2.13.4
2.3.9 Ventilation
Adequate ventilation. Air quality acceptable.
Intakes and outlets suitable position to prevent contamination.
Entry and exit points into facility sealed.
No noxious odours, dust or contaminating aerosols.
2.3.10 Overhead and Wall Mounted Structures
Services (electrics, piping) and wall fittings clean, good condition.
No risk for contamination or dirt accumulation.
Entry and exit points into facility sealed.
Not flush against walls unless properly sealed.
Clean on top.
2.3.11 Pest Proofing
Building pest proof.
No holes, gaps or other entrance areas for pests. Consider doors, services entry
and exit points, ceilings.
No risk of overhead contamination.
2.4 Facility - Equipment
2.4.1 Equipment / Racking / Conveyors Construction
Equipment constructed of suitable material for intended purpose.
Designed to minimize food safety risks.
Forklifts in good condition.
Forklifts electric (inside facility) and not diesel.
2.4.2 Position and Condition of Equipment / Racking / Conveyors
Situated to allow access for cleaning and maintenance.
Equipment / Racking / Conveyors easily cleaned, clean and in good condition (no
damage, rust, flaking paint, temporary repairs).
Gearboxes with oil drip trays.
Grease nipples clean.
2.5 Facility - Control of Utilities
2.5.1 Documented Program
Documented program must address the use, management and control of water,
and ice.

Relevant to plant - not generic.

Must be documented even if water is only used for cleaning.
2.5.2 Water
Plan of water reticulation system in place. Clear identification of potable vs. non
potable.
Hoses off floor.
Holding tanks suitable and sealed.

2.6 Facility - Maintenance

2.6.1 Documented Program
A documented program must be in place and must address all aspects of
maintenance.
Relevant to plant - not generic.
2.6.2 Outsourced Maintenance Services
Documented procedures / contracts in place for outsourced services (Boilers,
filtration plants, equipment, retorts, compressors and waste water treatment).

Note: May be made not applicable if not used.

2.6.3 Records Relating to Outsourced Services
Contract signed, food safety criteria addressed. Hygiene codes of conduct records
for contractors
May be made not applicable if not used.
2.6.4 Planned Schedules (maintenance and lubrication)
Planned program in place - includes equipment, buildings, vehicles and facilities.

Lubrication schedules.
Records completed as per schedule.
Note: C - If no preventative plan is in place.
2.6.5 Job cards / Maintenance Records
Documented records of maintenance work done - job card system. Food safety
checks (protective clothing check, tools in = tools out, post maintenance cleaning
not filled in by maintenance staff themselves).
2.6.6 Temporary Repairs and Construction
Temporary repairs clearly controlled, not in place for extended periods, suitable
and not posing a contamination risk.
Identified in corrective action system.

In case of construction - suitable protection of product, no risk posed, hygiene and

physical contamination risks.
2.6.7 Uncontrolled Maintenance Waste
No uncontrolled maintenance waste.
2.6.8 Tools
Tools suitably stored if kept in production areas.
Tools clean.
No uncontrolled tools in facility.
2.6.9 Chemicals and Storage
Suitable storage for maintenance chemicals. Separation of food vs. non food
chemicals.
MSDS in place at point of storage. Flammables in flammable store.
Post maintenance cleaning chemicals food safe (SANS 1828 / 1853).
2.6.10 Workshops
Suitably located, neat and clean, no physical contamination risks.
Access to facility controlled.
Storage for protective clothing (clean) for maintenance staff entering facility.
Storage of redundant equipment.
May be not applicable if not on site.
2.7 Services - Waste Management
2.7.1 Documented Program
Documented program must address control and management of internal, external
waste and waste providers.
Relevant to plant - not generic.
2.7.2 External Waste Management
Area suitable, clearly identified and enclosed.
No potential for pest infestation (no signs of activity and control in place).
Containers covered. Hygienic and clean.
Removal at suitable frequency (no accumulation).
No food waste or product unless in dedicated controlled storage.
Records of safe disposal of food waste. Waste rooms / skips closed and secured.

Note: C - if uncontrolled food waste in found in external waste storage.

2.7.3 Internal Waste Management

Clear differentiation between food and non - food waste storage containers.
Containers with lids.
Suitably lined.
2.8 Services - Pest Prevention and Control
2.8.1 Documented Program
Documented program must address control and management of pests.
Must address internal and external control.
Relevant pests clearly identified.
Relevant to plant - not generic.
2.8.2 External Provider Documentation
Pest control provider file (hard copy with basic document set) in place.
Reputable contractor (registered with Dept. of Agriculture).
Copies (certified) of latest & current PCO registrations.
MSDS and datasheet of all pesticides used.
Liability insurance.
Workmen's compensation certificates,
2.8.3 Bait Maps
Up to date bait map available.

Signed and dated by PCO.

2.8.4 Internal Control

Internal inspection records, pest sightings logs.
Letter of appointment for internal pest control and prevention officer.
If handled internally staff must be suitably qualified (records).
Poisons suitably controlled (records).
2.8.5 External Inspection and Control
Detailed service records, detailed applications logs (pesticides).
Suitable inspections frequency - based on risk (min. monthly)
Minimum biannual audits Trend analysis.
Note: C - if online resources are not accessible on the day of the audit or
unregistered PCO's are found to be working on the site
2.8.6 Pest Control Stations
Fixed, clean, tamper evident bait stations, suitably placed.
No loose bait, no loose seeds, powders or gels.
Clean and dry.
No toxic bait inside facility.
Records to indicate that live traps are inspected regularly.
No use of glue boards.
No evidence of rodent activity.
Note: May be made Not Applicable if not present.
2.8.7 Fly / Insect Control
Suitable fly killers correctly positioned - at entrances.
Devices operational, clean and serviced, proof of lights replaced annually.
Fly screens where required.
Toxic monitoring stations not allowed in facility - glue boards only.
Hormone traps placed in suitable areas.
No evidence of fly / insect activity
No electrocution devices in facility.
2.8.8 Bird Control
Suitable bird control in place.
No cats.
No evidence of bird infestation.
No evidence of bird droppings in facility.
2.8.9 Follow-up and Corrective Action
Follow-ups done in case of infestation problems. Records of treatment or
disposition of products.
Findings from pest control company carried over to corrective action system and
addressed.
2.8.10 - Training
Records of specific training in pest control.

2.8.11 Fumigation
In-house fumigation / pest control treatment of raw materials handled by qualified
personnel (records).
Records of application and control.
Chemicals safely stored.
Note: May be made not applicable if not done.
2.9 Services - Facility Hygiene, Cleaning and Sanitation
2.9.1 Documented Program
Documented program in place for hygiene and cleaning of the facility and
environment. Must address all relevant aspects as listed.

2.9.2 Documented Master Cleaning Schedules

Detailed, documented master cleaning schedules (MCS) available for outside
areas, structural surfaces, equipment, utensils, vehicles, tankers etc.
Must address area to be cleaned, frequency of cleaning, chemical to use and
dilution, method of cleaning, equipment to use and colour thereof, responsible
person/s.

2.9.3 Hygiene Inspections

Records of hygiene inspections in place.

Records clearly in line with MCS, carried out and recorded for all items at least
daily even if cleaning frequency differs.
Must be in line with MCS
Non - conformances carried over to corrective action system.
2.9.4 Cleaning Equipment
Suitable cleaning equipment - industrial, food safe and clearly identifiable.
Storage suitable - hung up, clean, dry and away from food.
Clear colour differentiation between colour of equipment used on food vs. non
food contact surfaces, between high and low risk areas, between inside and
outside, between toilets and rest of facility.
2.9.5 Chemicals
Correct food grade chemicals and sanitizers being used.
Valid SABS 1828 and 1853 Certificates (with attached schedules listing approved
chemicals - no letters or any other documentation will be accepted) must be
available.
MSDS and Datasheets in place.
Note: C - if any non - SABS certified products are found in use in facility or
certificates and schedules cannot be provided.
2.9.6 Control of Chemicals
Suitable storage of food safe cleaning chemicals.
Separate, locked, control of issue.
Records of management and verification of chemical dilutions. Sanitizers - testing
of working solutions for active ingredient.
Note: C - If records of verification of dilution of sanitizers
not in place.
2.9.7 Clean as you go (General Plant Hygiene)
All areas and equipment kept clean, dry and hygienic at all times.
Clean as you go practices in place and clearly visible.
2.10 Staff - Personnel Hygiene and Medical
2.10.1 Documented Program - Personnel Behaviour
Documented personal hygiene code of conduct / procedure in place and based on
risk.
Control of visitors and contractors addressed.
Must clearly define acceptable and not acceptable behaviour. Must address
jewellery, wearing of make-up and perfume and personal items.
Must address facility entry and exit procedures - hand washing, boot washing,
dressing / undressing.
Clear procedures for hand washing
2.10.2 Documented Program - Medical
Documented program must address medical screening prior to employment and
further annual examination, control of illness and return to work.

Procedures in case of medical incidents (blood spillage).

Plaster (and glove if not addressed in 2.11.4) control documented.
Control of storage of personal medicine.
Note: May be included in personal hygiene code of conduct.
2.10.3 Code of Conduct
Signed by all employees including management.

Note: C - If not signed by all employees and management

2.10.4 served Personnel Behaviour
Adherence to code and observation of unacceptable behaviour (eating, drinking,
smoking, nail varnish, spitting, perfume, jewellery, long nails).
Signage prohibiting unacceptable behaviour in place.
Note: AF - If major infringements are noted.
Auditor to record it here.
2.10.5 Inspections
Personnel hygiene checklist must be in place to determine compliance to the code
of conduct.

Minimum daily recorded checks at the start of shifts.

Control of visitors implemented.
Note: C - if any non - SABS certified products are found in use in facility or
certificates and schedules cannot be provided.
Hand washing and Entrance and Exit
Staff follow proper procedure. All staff wash hands on entry.
All staff follow dressing / undressing procedure.
Clear signage for hand washing.
Note: C - If any staff observed not washing hands.
May be made Not Applicable if no exposed product is handled.
2.10.7 Jewellery, Make-up and Personal Items
Staff adhering to procedure.
Traditional jewellery covered.
Note: C - If any staff observed with jewellery.
2.10.8 Medical Screening and Incidents
Records in place and compliant.
Records of visual screening for visible signs of illness.
Observed practices in line with procedure.
Auditor to take random sample and check records against staff members.
Plasters clearly identifiable (preferably metal detectable). Suitable first aid
equipment available and accessible.
Records of issue and return of plasters.
Auditor to take random sample and check records against staff members.
Plasters clearly identifiable (preferably metal detectable). Suitable first aid
equipment available and accessible.
Records of issue and return of plasters.
2.11 Staff - Protective Clothing
2.11.1 Documented Program - Protective Clothing
Documented program must address - appropriateness, cleanliness, suitability of
design to prevent contamination, frequency and control of issue and return,
cleaning and laundering, control of footwear (separate footwear for use in the
factory).
Must address control of disposable gloves, mop caps, sleeve protectors, aprons,
smocks, shoes covers, snoods (beard protectors) where relevant.
Procedures for the issue and return of disposable gear.
Procedure to detail cleaning (each time of removal), storage (may not leave
facility), repair and control.
Note: May be included in personal hygiene code of conduct.
2.11.2 Protective Clothing
Staff all attired as per documented procedure.
Clothing covers all personal clothing.
No buttons or pockets.
Clothing not worn outside storage areas.
Clothing so designed to allow for easy removal (realistically).
Suitable laundry practices (records) in place. Suitable storage for dirty protective
clothing.
Note: C - if any staff observed without proper protective clothing or
observed outside facility with protective clothing.
2.11.3 Non Disposable Protective Gear
Control of non - disposable gloves, capes, freezer jackets, stainless steel gloves
and aprons in place according to procedure.
Clean and in good repair.
Suitable and sufficient storage provided (aprons may not leave facility
Note: May be made not applicable if not used.
2.11.4 Disposable Protective Gear
Control of disposable gloves, mop caps, sleeve protectors, aprons, smocks,
shoes covers, snoods (beard protectors) in place.
Clean and in good condition.
Suitable for use.
2.12.1 Documented Program
Documented training program must be in place and must address training needs
analysis (annual competence analysis of staff).
Pre-planned training program/schedule.

Must include planned training for induction (all new staff and casuals), basic
hygiene and food safety (annually), pest control, allergen management,
specifications, cleaning / chemical handling, operational procedures and policies.

2.12.2 Training Records

Full records for all training, proof of verification of training (competence testing).
Course content must be attached

Periodic competence assessment with records

Trainers shown to be competent
Auditor to verify with random sample drawn from staff compliment
2.12.3 Advanced Training
Proof of advanced training for supervisory staff.
Technical competence.
Auditor to verify with random sample drawn from staff compliment.
2.13 Hazard Control - Chemical and Physical, Contamination Risk
2.13.1 Hazardous Chemical Control
Documented program must address control of non food / hazardous chemicals

Must address approved suppliers, use (trained personnel, time of use), storage,
handling, identification and control.
Procedures to prevent possible contamination if chemicals must be used in plant.

Note: May be not applicable if no hazardous chemicals are used.

This excludes cleaning and maintenance chemicals
2.13.2 Hazardous Chemicals
Records of control.
MSDS on file and available.

Suitable storage practices - locked (access control), clean and neat, identified.
Note: May be not applicable if no hazardous chemicals are used.
This excludes cleaning and maintenance chemicals
2.13.3 Physical Contamination Control - Glass and Hard Plastic
Documented program must address control of glass, ceramics and hard plastics
that may pose contamination risk in facility.
Must address control, identification (registers), frequency of inspection and action
in case of defect.
Procedure in case of breakage. Specific - not generic.
2.13.4 Glass and Hard Plastic
Register in place (all potential sources listed - consider clocks, gauges, machine
covers, lights, utensils, monitoring equipment, stationary).
Records of inspection.
Adherence to documented program.
No damages observed.
No loose glass or plastics in facility.
Note: AF - If not in place at all - Auditor to record it here
2.13.5 Physical Contamination Control - Metal
Documented program must address control of all metal that may pose a physical
contamination risk.
Must address control of blades, equipment parts fittings (screws, bolts nuts, nails)
and control of supplied product packaging e.g. metal staples and wire.
Identification (registers), frequency of inspection and action in case of defect.
Procedure in case of breakage.
Specific - not generic.
2.13.6 - Metal
Register in place (all potential sources listed).
Records of inspection and verification.
Adherence to documented program.
No damages, missing pieces observed.
No loose metal in facility.
Note: AF - If not in place at all - Auditor to record it here
2.13.7 Physical Contamination - Control of Pallets / Crates
Documented program must address control of use of pallets and crates.
Must address prohibition of use of damaged pallets and crates and the use of
slip-sheets.
Pallet control and maintenance.
Specific - not generic.
2.13.8 - Control of Pallets
No damaged pallets or crates.
No pallets without slip-sheets
Handling of non - conformances and corrective action.
2.14 Hazard Control - Allergen Management
2.14.1 Documented Program
Documented program must address methods of identification of allergens.
Hazard analysis to identify routes of contamination and cross contamination (may
be part of HACCP).

Procedures must address receiving practice, identification and storage.

Note: This requirement cannot be Not Applicable even if no allergens are
used. The control of allergens from unexpected external sources
(contaminated products, environment, staff, sabotage) need to be addressed
even if no allergens are in use.

2.14.2 Allergen Risk Assessment

Raw material allergen matrix - documented assessment of all raw materials.

Statements from suppliers.

Final product allergen matrix - documented assessment of all final product.
Assessment of allergens from unexpected sources
Note: This may be included in HACCP studies.
2.14.3 Allergen Identification and Storage
All allergenic product clearly identified and labelled as allergens.
No damaged allergenic product.
Separate and suitable storage (individual allergens also separated).
Note: AF - If uncontrolled allergens are found - Auditor to record it here.

Note: May be made not applicable if not allergens are handled.

2.15 Process Control - Receiving
2.15.1 Documented Program
Documented program must address receiving of products.
Clear criteria for acceptance.
Procedures must address the handling of temperature sensitive at receiving.
Address rejections and handling thereof.
Documented procedures for inspection, hold and release.
2.15.2 Control of Receiving
Records of delivery - approved suppliers, COA's / COC's, vehicle inspections,
temperature monitoring, product inspection, compliance to specifications
(available at receiving), identification and accept / reject criteria.
Sampling and testing. Receiving practices.
Receiving areas adequate, separated, temperature control records.
Hold and release (isolation) area.
Note: C - Incomplete records
2.15.3 Temperature Control of Sensitive Product
Observed control of movement of temperature sensitive product.
No temperature sensitive product standing in receiving.
Note: May be made not applicable if all product is ambient
2.16 Process Control - Storage
2.16.1 Documented Program
Documented program must address methods to maintain product safety and
quality during storage.
Must address all listed aspects relating to ambient, chilled and frozen storage of
products.
Relevant to plant - not generic.
2.16.2 Ambient Storage
Records of control of temperature if relevant.
Suitable facility (as per 2.4).
Suitable storage practices (clean and dry, away from walls and off the floor, dust
free, slip sheets on pallets, no contact with overhead structures, no open or
exposed product, stacking high controlled to prevent damage).
Adequate labelling. FIFO principles. No expired stock.
No product stored outside.
No storage of ingredients in processing areas.
2.16.3 Chilled Storage
Records of control of temperature.
Suitable facility (as per 2.4).
Suitable storage practices (clean and dry, away from walls and off the floor, dust
free, slip sheets on pallets, no contact with overhead structures, no open or
exposed product, stacking high controlled to prevent damage.
No product below chill units, no leaking drip trays, no pooling water, no ice build-
up).
Adequate labelling. FIFO principles.
No expired stock.
Note: C - Expired stock that are not clearly marked and isolated
C - Open stock stored directly below drip trays
C - If product temperatures are out of specification
2.16.4 Frozen Storage
Records of control of temperature.
Suitable facility (as per 2.4).
Suitable storage practices (clean and dry, away from walls and off the floor, dust
free, slip sheets on pallets, no contact with overhead structures, no open or
exposed product, stacking high controlled to prevent damage.
No product below chill units, no leaking drip trays, no pooling water, no ice build-
up).
Adequate labelling. FIFO principles.
No expired stock.
Note: C - Expired stock that are not clearly marked and isolated
C - Open stock stored directly below drip trays
C - If product temperatures are out of specification
2.18 Control of Storage and Distribution
2.17.1 Documented Procedures - Contingency Planning
Clear documented procedures in place for actions to be taken in case of
breakdowns and emergencies.
Procedure clearly indicates method of handling products in case of emergencies.

Compliant to customer requirements.

2.17.2 Contingency Planning Control
Records to provide proof of compliance to procedure.
Practices in line with procedure - observed by auditor.
Records promptly and correctly completed.
Handling of non - conformances and corrective action.
2.17.3 Documented Procedures - Damage Control / Spillage
Clear documented procedures in place for handling of damaged product and
spillage of product.
Procedure clearly indicates method of control
2.17.4 Damage Control / Spillage
Handling of product.
Records to provide proof of compliance to procedure.
Practices in line with procedure - observed by auditor.

No damaged products or spilled product in warehouse.

2.17.5 Documented Procedures - Defrosting / Thawing
Documented procedures shall be in place for the protection of product from
defrosting and thawing.
Clear instructions for handling of product.
Note: May be not applicable if no frozen product is handled.
2.17.6 Defrosting / Thawing
Records to provide proof of compliance to procedure
Practices in line with procedure - observed by auditor.
Records promptly and correctly completed.
No abuse of product
Handling of non - conformances and corrective action.
Note: May be not applicable if no frozen product is handled.
Note: C - If no preventative plan is in place.
2.17.7 Documented Procedures - Hold - Release Program
Clear documented procedures in place.
Control of potentially compromised product Quarantine
No rebagging of product.
2.17.8 Hold - Release Program
Records to provide proof of compliance to procedure
Practices in line with procedure - observed by auditor
Contaminated or damaged product effectively controlled.
Quarantine (blocking/hold) procedure applied after any incident.
Handling of non - conformances and corrective action.
2.17.9 Documented Procedure - Product Protection
Clear documented procedures in place for protection of product.
Procedure clearly indicates methods of protection.
2.17.10 Product Protection
Product suitably protected from contamination and environment
Practices in line with procedure - observed by auditor.
Pallet condition, wrapping of product
2.17.11 Documented Control of Returns
Documented program in place for handling/processing of returns.
Must address identification, storage, handling, disposition or resale.
Documented statement in place if no returns are taken.
Note: In case of no returns a documented statement stating
that no returns are accepted needs to be in place.
2.17.12 Control of Returns
Records in place.
Visual observation of correct implementation of procedure.
Returns identified properly and stored separately.
Non - conformance and corrective actions documented.
Note: May be made not applicable (see note above 2.18.14)
2.18 Process Control - Dispatch and Transport
2.18.1 Documented Program - Dispatch and Transport
Documented program for the dispatch of product.

Must address loading and transport requirements, stock protection, inspection of

vehicles and stock, temperature recording if required.

2.18.2 Documented Program - Control of Third Party Distributors

Documented program for the control of third party distributors.
Must detail transport requirements, stock protection, condition and suitability of
vehicles, verification of temperature control, contingency planning for breakdown.

Signed contracts in place addressing food safety and regulatory requirements.

R 962 for vehicles in place for outsourced transport.

Note: May be not applicable if not 3rd party distributors are used.
2.18.3 Dispatch Storage
Dispatch storage suitable for product dispatched.
Suitable storage practices.
Only final product stored in area.
Temperature control in place (with records) if applicable.
No returns unless clearly demarcated.
Doors not standing open. Access control in place.
If stock dispatched directly from final product storage no stock may be held in
dispatch area.
2.18.4 Dispatch
Records of dispatch - vehicle inspections (suitability for transport of food),
temperature monitoring, product inspection, compliance to specifications and
identification.
Clients, quantities and batch numbers clearly recorded.
2.18.5 Maintenance of Cold Chain
Records of maintenance of cold chain to furthest point of delivery.
Verification of truck dials.
Note: May be not applicable if all product is ambient.
2.19 Verification and Validation - Product Testing and Improvement of PRP's
2.19.1 Documented Program - Surface and Personal Hygiene
Documented program in place addressing verification of hygiene and personal
hygiene.
Must address test organisms, frequency (customer requirements), sampling and
testing methods, interpretation of results (International standard methods used),
legal compliance and trend analysis.
Documented test schedule.
Schedule in line with identified hazards.
Corrective action in case of non - conformance.
Schedule in line with identified hazards.
Corrective action in case of non - conformance.
Note: May be made Not applicable if no Exposed Product
is handled
2.19.2 Verification of Surface and Personal Hygiene
Surface and Hand swabs done monthly (preferred) or as per hazard analysis.
E.g. Swabs for trucks, capes and overhead rails, work surfaces etc. where open
product is distributed.

Note: May be made Not applicable if no Exposed Product

is handled
2.19.3 Verification of Inputs - Received Product
Certificates of Analysis, import documentation, relevant certificates. Tested for
microbiological and chemical contaminants (regulatory).
Records (must be in English).
Handling of non - conformances and corrective action.
2.19.4 Retention Samples
Retention samples kept.
Scope of retention samples kept must be representative of product range.
In line with customer requirements.
Assessment at end of shelf life (organoleptic, microbiological, chemical, physical).
Records Trend analysis

Assessment at end of shelf life (organoleptic, microbiological, chemical, physical).

Records Trend analysis

Note: May be made not applicable if not used.
Comments

Locker inspections are performed, however no records of the

inspection were available.
Toilets are not separate from the change rooms

No designated smoke area exists. Currently staff smoke

outside the reception entrance where there is a no smoking
sign.
Section of SANS Requirements

Management shall be responsible for the cleaning, Management should document if locker
maintenance and issuing of protective inspections are performed. This should
clothing and shall ensure that protective clothing is not include a checklist of what needs to be
removed from the premises for cleaning, repair looked at and whose locker was
or for any other purposes without authorization, and that inspected.
such clothing, when not in use, is kept in
the change rooms, or in the central storage room or
locker.
Toilets shall be completely separate from the change Accept the deduction in points. Consult
rooms, with the only permissible with a food safety specialist if there is a
access being through close-fitting, self-closing doors. possibility to resolve the non-
Toilet blocks shall have their own hand washing conformance in a manner that is cost
facilities, separated from those provided in the change effective.
rooms.

The location of the food handling organization shall be A well marked smoking area should be
such that the buildings can be kept created for smokers. This should be in
acceptably free from objectionable odours, smoke, dust line with Health and Safety regulations.
and any other sources of contamination, in
order to comply with the relevant national legislation for
hygiene.

Any health and safety act that applies to smoking.

Luminaires suspended over food in any stage of
handling shall be of the safety type or
otherwise so protected as to prevent the contamination
of food in the event of breakage of a
luminaire or lamp. Fixtures shall be so constructed and
situated that the suspended fixtures are
easy to clean and maintain.

Every food handling area shall have an adequate supply

of clean potable water that is free
from suspended matter and substances that could be
deleterious to the food product or harmful to
health. Non-potable water shall have a separate,
identified system that is not connected to and is
prevented from reflux into the potable water system.
Every food handling area shall have an adequate supply
of clean potable water that is free
from suspended matter and substances that could be
deleterious to the food product or harmful to
health. Non-potable water shall have a separate,
identified system that is not connected to and is
prevented from reflux into the potable water system.

Top management shall ensure that all outsourced

processes adhere to the relevant PRP
requirements.
An effective maintenance programme shall be
implemented to ensure the hygienic integrity
and proper functioning of buildings (both interior and
exterior), equipment, vehicles and services.
Equipment that is critical to food safety shall be identified
and an appropriate maintenance
programme implemented. Records of maintenance shall
be kept by the food handling organization.
Maintenance shall be carried out by suitably trained
personnel that are equipped with the
correct tools maintained in an appropriate hygienic state.
Specialised maintenance for equipment
such as boilers and retorts shall be conducted by
suitably qualified personnel to ensure compliance
with legal requirements.
Maintenance activities shall not cause any form of
contamination to the food handling
materials or to the food.

Records of maintenance shall be kept by the food

handling organization

An effective maintenance programme shall be

implemented to ensure the hygienic integrity
and proper functioning of buildings (both interior and
exterior), equipment, vehicles and services.
Records of maintenance shall be kept by the food
handling organization

The organization shall implement a documented

programme to ensure that all
nonconformities are identified and controlled. Control
measures shall include PRPs and unsafe food
product identification, documentation, evaluation,
segregation (if applicable), disposal of the noncomplying
unsafe food product, and notification of the bodies
concerned (both internal and
external).
All nonconformities together with the relevant correction
or corrective action (or both) shall be
documented.
The correction of nonconformities shall be identified after
assessment to determine the
proper handling of the unsafe food product. Correction
and corrective action shall be approved
before implementation of the intended action(s), and the
unsafe food product shall not be released
for sale or consumption until it has been established that
the corrected food product is safe.
The maintenance of the management and control of
pests shall occur thus: There shall be a site plan that
indicates pest traps and related pest control equipment.
Pest traps
shall be numbered and site plans updated accordingly.
Appropriate training regarding the safe handling of food,
in accordance with food safety requirements, shall be
conducted at the beginning of employment and this
training shall be documented.
Periodic assessments of the effectiveness of training
programmes shall be carried out in addition to routine
supervision and checks that procedures are being
followed. Records thereof shall be maintained.
Records of experience, expertise, educational
qualifications and training of the employees
concerned shall be maintained.
A documented cleaning and disinfection programme for
the premises, equipment, containers, and vehicles, shall
be established and implemented.

A pre-determined sequence of cleaning shall be

established. Cleaning methods shall include removal or
disassembly requirements, dry cleaning, wet cleaning,
and disinfection at the recommended contact time,
temperature and concentration of the disinfectant as
stipulated by the disinfectant manufacturer.

The design and materials of food contact surfaces shall

be hygienic and, where applicable,
shall take the following into consideration:
b) cleaning and inspection;

Monitoring and verification procedures

The food handling organization shall be responsible for
establishing a procedure for the
monitoring of all cleaning at defined frequencies.
Before being engaged, employees shall pass an
appropriate medical examination to ensure that they are
free from communicable diseases, and shall thereafter
pass an annual medical examination

An appropriate medical record of each employee shall

be kept. Medical records and medical certificates
submitted by an employee of a food handling
organization shall be made available for inspection by
the authority administering this standard.

Not directly a SANS requirement. However top

management shall define, implement, document,
communicate and maintain its policy
and objectives for the PRP.

An appropriate medical record of each employee shall

be kept. Medical records and medical certificates
submitted by an employee of a food handling
organization shall be made available for inspection by
the authority administering this standard.
The food handling organization shall ensure that storage
silos or storage areas are made available to prevent
damage or deterioration of the food product pending
delivery.

The identification of allergen hazards needs to be

included as part of the food safety hazard
listing of chemical, physical and biological hazards when
the Hazard Analysis Critical Control Point
(HACCP) system is used.
The food handling organization shall establish
emergency procedures for dealing with the accidental
contamination of food, of personnel and of the
environment as a result of spillage of hazardous
substances during handling.
Food product materials shall be stored in a designated
holding area until released by
authorized personnel, and shall be stored in such a way
that cleaning and pest control can be
effectively carried out. Materials shall not be stored
directly on the floor.
The delivery of bulk food products shall take place in a
dry and clean means of transport to prevent
contamination.
The delivery vehicle shall be inspected for any matter
(for example, water, mould, insects or flies) that could
compromise the safety of the food product. Delivery
vehicles used for the transportation of food shall be
inspected before loading and at receiving to ensure that
they are clean.
All transport containers and conveyances designated for
food shall be identified as such and shall be used for
food only and not for any other purpose.
Food transport vehicles, containers and conveyors shall
be constructed in such a way that they can be effectively
cleaned and shall permit effective separation of different
food products in
order to prevent any contamination or cross-
contamination. The food handling organization shall use
suitable methods for conserving and separating the food
products.
Food shall not be transported in the same container or
unit as non-food items unless it can be demonstrated
that the non-food items present no risk of contamination.
Appropriate controls during transportation (including
during multiple deliveries), such as controls for
temperature, humidity, atmosphere and other conditions
necessary to protect the food
product materials from harmful or undesirable microbial
growth and deterioration, shall be
implemented.
Transportation methods shall be so designed that
tampering with and damage to the food
product is prevented.
Records of transport conditions required for the suitable
transportation of the food product

Top management shall ensure that all outsourced

processes adhere to the relevant PRP requirements.

Refer to 1.20
Standard: Conformance?

3.1 Stage 4 - Construct Flow Diagram - Site Maps

Site map in place indicating access points, travel routes of staff and product,
process flows, waste removal and rework flows, service and sewage reticulation,
water reticulation.

True reflection of actual site, activities and process flows.

Cross flows identified and carried over to hazard analysis.

3.2 Stage 4 - Construct Flow Diagram - Flow Diagrams

Process flow diagrams in place - generic or specific.

Must indicate every process. Steps preferably numbered.

Parameters detailed.

Packaging streams in, waste streams out and service streams in.

True reflection of actual activities.

In place for all products / product groups.

3.3 Stage 5 - On-site confirmation of Flow Diagram

Process flows verified on site and signed as verified.
Verified by HACCP Team.

3.4 Stage 6 - Hazard Analysis

Documented for each product or product group In line with process flow diagrams

Note: AF if no hazard analysis was done - Auditor to record it here Note: C - if a

documented hazard analysis is not in place for each product
or product category.

3.5 Stage 6 - Areas of Assessment

Processes assessed.

Environment assessed.

Raw materials assessed.

Packaging material assessed.

Adjuvants, additives and processing aids assessed.

Facility assessed. Equipment assessed. Personnel assessed.

Regulatory requirements assessed.

3.6 Stage 6 - Routes of Contamination

Presence considered

Introduction considered

Growth considered Survival considered

Cross - contamination considered

3.7 Stage 6 - Hazard Identification

All relevant physical hazards identified at each step.

All relevant chemical hazards identified at each step.

All relevant microbiological hazards identified at each step.

All relevant allergen hazards identified at each step.

Note: Attention shall be focused on the likely uses and abuses of the product after
it has left the control of the food handling organization and
hazards relating to this must be identified.

3.8 Stage 6 - Acceptable Levels

Acceptable levels of relevant physical hazards shall be indicated.

Acceptable levels of relevant chemical hazards shall be indicated.

Acceptable levels of relevant microbiological hazards shall be indicated.

Acceptable levels of relevant allergen hazards shall be indicated.

All levels shall be justified (supported by evidence)

3.9 Stage 6 - Control Measures

Control measures shall be identified for each identified hazard.

Control measured shall be assessed to determine level of control needed.

Control measures shall be linked to control programmes (PRP's) More than one
control may be required.

3.10 Stage 6 - Risk Assessment

Risk of all hazards shall be indicated.

Likelihood shall be considered Severity shall be considered

Matrix (Scoring system) used for determination shall be available.

Note: Hazards indicated by the risk assessment to be significant shall be carried

over to a HACCP Plan (3.11).
If no significant hazards have been identified (correctly) 3.11 - 3.17 will be not
applicable.
If determination is incorrect 3.11, 3.12 and 3.13 will be scored C

3.11 Stage 7 - Determination and listing of CCP's

A decision tree analysis shall be in place for each significant hazard identified.
Records of each analysis shall be available. Results of analysis shall be clearly
indicated.
A copy if the decision tree used shall be available.
CCP's shall be clearly indicated. All CCP's must be identified.
Note: If no CCP's are (correctly) determined - 3.12 - 3.17 will be not
applicable.
All significant hazards must be tested with decision tree. If determination is
incorrect 3.12 - 3.17 will be scored C

3.12 Stage 8 - Determine Critical Limits

Clear critical limits shall be documented for each CCP identified.
Based on scientific evidence and must be effective.
Shall be sensible and quickly and effectively measureable.
Upper and lower limits clearly defined.
Where relevant shall comply to regulatory or customer requirements
Rationale for each critical limit shall be documented.
May be made "Not Applicable" if no CCP's correctly determined
3.13 Stage 9 - Documented Procedures - CCP's
Documented procedures shall be in place for the monitoring of each CCP.
Procedure shall clearly define - method of monitoring
Procedure shall clearly define - equipment used for monitoring
Procedure shall clearly define - calibration and verification of such equipment
Procedure shall clearly define - frequency of monitoring
Procedure shall clearly define - responsibility of monitoring
Procedure shall clearly define - recording requirements
May be made "Not Applicable" if no CCP's correctly determined

3.14 Stage 9 - Records of Control - CCP's

Records to provide proof of compliance to procedure.
Practices in line with procedure - observed by auditor.
Records promptly and correctly completed.
Handling of non - conformances and corrective action.
Note: AF - If no CCP control records - Auditor to record it here May be made
"Not Applicable" if no CCP's correctly determined

3.15 Stage 10 - Documented Procedures - CCP Corrective Action

Documented procedures shall be in place for corrective action if CCP's should
fail.
Procedure shall clearly define - who is responsible
Procedure shall clearly define - actions to be taken
Procedure shall clearly define - handling of non - conforming product
Procedure shall clearly define - decision making
Procedure shall clearly define - fate of product
Procedure shall clearly define - recording requirements
May be made "Not Applicable" if no CCP's correctly determined

3.16 Stage 10 -Records of CCP Corrective Action

Records to provide proof of compliance to procedure.
Practices in line with procedure - observed by auditor.
Records promptly and correctly completed.
Handling of non - conformances and corrective action.
May be made "Not Applicable" if no CCP's correctly determined
3.17 - Stage 11 - Validation
Documented proof of validation of CCP's Based on sound scientific principles.
Records of validation of all CCP's Records of review of the control after
implementation.
Trend analysis to show control measure are effective.
Validation done on cooking instructions if relevant.
May be made "Not Applicable" if no CCP's correctly determined

3.18 Stage 11 - Verification

Records to clearly indicate verification activities.

All processes relevant to the HACCP system shall be audited.

Auditing and random sampling and analysis used.
Regular internal audits shall be scheduled and conducted.
Effectiveness of CCP's shall be verified.
Note: This may link to internal audit program
3.19 Stage 1 - Assemble HACCP Team
The food operation should ensure that the appropriate product-specific
knowledge and expertise is available for the development of an effective HACCP
plan. Optimally, this may be accomplished by assembling a multidisciplinary
team.

3.20 Stage 2 - Describe Product

A full description of the product should be drawn up, including relevant safety
information such as: composition, physical/chemical structure (including Aw, pH,
etc.), microcidal/static treatments (heat-treatment, freezing, brining, smoking,
etc.), packaging, durability, storage conditions and method of distribution.

3.21 Stage 3 - Identify Intended Use

The intended use should be based on the expected uses of the product by the
end user or consumer. In specific cases, vulnerable groups of the population, e.g.
institutional feeding, may have to be considered

3.22 Stage 11 - Verification and Review

Verification should be carried out by someone other than the person who is
responsible for performing the monitoring and corrective actions. Examples of
verification activities include:• review of the HACCP system and plan and its
records;• review of deviations and product dispositions;• confirmation that CCPs
are kept under control.
3.23 Stage 12 - Control of Documents and Records
Documentation and record-keeping should be appropriate to the nature and size
of the operation and sufficient to assist the business to verify that the HACCP
controls are in place and being maintained.
Current Section of SANS Requirements
process

A floor plan relevant to the areas falling within the

defined scope of the HACCP study shall
be prepared. The following should be considered
during the preparation of the floor plan as relevant
technical data for an effective evaluation of the product
flow:
a) layout and design features of equipment;
b) product flow of liquids, powders, raw and cooked
foods;
c) routes of personnel and their personal hygiene
practices;
d) product recycle or rework loops;
e) routes of potential cross-contamination through
movement of materials (ingredients, returns,
water, packaging material, cleaning materials, etc.);
f) segregation of high risk areas from low risk areas
where a risk of cross-contamination exists;
g) storage and distribution conditions of the different
materials used in the food handling process;
h) packaging materials used; and
i) factory hygiene, cleaning and disinfection
procedures.

The HACCP team shall prepare a detailed flow

diagram for the specified food products or
process categories relevant to the defined scope of the
HACCP study.

The HACCP team shall prepare a detailed flow

diagram for the specified food products or
process categories relevant to the defined scope of the
HACCP study.
The HACCP team shall use the confirmed flow A risk register should be used
diagram, including all the technical data, as a to determine all the relevant
guide to identify all the potential food safety hazards food safety risks for the
(inherent and introduced) that might reasonably be warehouse. These should not
expected to occur at each step of the food handling be generic but specific. The
process. Relevant legislation related to the food safety risks should be rated according
hazards and their control shall also be considered. The to impact and likelihood. the
hazards shall be considered in the light of the controls for each risk should be
significance, likelihood and severity of such a hazard in documented and on an annual
terms of the safety of the consumer. basis the register should be
reviewed during the FSA
meeting.

The HACCP team shall use the confirmed flow

diagram, including all the technical data, as a
guide to identify all the potential food safety hazards
(inherent and introduced) that might reasonably be
expected to occur at each step of the food handling
process. Relevant legislation related to the food safety
hazards and their control shall also be considered. The
hazards shall be considered in the light of the
significance, likelihood and severity of such a hazard in
terms of the safety of the consumer.

A floor plan relevant to the areas falling within the

defined scope of the HACCP study shall be prepared.
The following should be considered during the
preparation of the floor plan as relevant
technical data for an effective evaluation of the product
flow: routes of potential cross-contamination through
movement of materials (ingredients, returns, water,
packaging material, cleaning materials, etc.);
packaging material, cleaning materials, etc.);

A HACCP study consists of seven principles which

identify specific food safety hazards (biological,
chemical, physical or allergens)
Food safety hazard:
biological, chemical or physical agent in, or condition of
food, with the potential to cause an adverse
health effect.
The HACCP team shall use the confirmed flow
diagram, including all the technical data, as a
guide to identify all the potential food safety hazards
(inherent and introduced) that might
reasonably be expected to occur at each step of the
food handling process. Relevant legislation
related to the food safety hazards and their control
shall also be considered. The hazards shall be
considered in the light of the significance, likelihood
and severity of such a hazard in terms of the
safety of the consumer.

A HACCP study consists of seven principles which

identify specific food safety hazards (biological,
chemical, physical or allergens)
Food safety hazard:
biological, chemical or physical agent in, or condition of
food, with the potential to cause an adverse
health effect.
The HACCP team shall use the confirmed flow
diagram, including all the technical data, as a
guide to identify all the potential food safety hazards
(inherent and introduced) that might
reasonably be expected to occur at each step of the
food handling process. Relevant legislation
related to the food safety hazards and their control
shall also be considered. The hazards shall be
considered in the light of the significance, likelihood
and severity of such a hazard in terms of the
safety of the consumer.

Control measures for each identified food safety

hazard shall be established in order to
control such a hazard. More than one hazard and
control measure might be applicable to one step
in the process, and more than one control measure
might be necessary to control a particular
hazard.

The hazards shall be considered in the light of the

significance, likelihood and severity of such a hazard in
terms of the safety of the consumer.
The hazards shall be considered in the light of the
significance, likelihood and severity of such a hazard in
terms of the safety of the consumer.
 The HACCP team shall establish a system for the
verification of all HACCP procedures and records.
Verification and auditing methods, procedures and
tests, including random sampling
and analysis, shall be used, as appropriate, to
determine the effectiveness of the HACCP system.
Regular internal audits shall be scheduled and
conducted to ensure that the HACCP
system conforms to the planned arrangements and the
CCP monitoring system and that the
corrective action plans are effective. All processes
relevant to the HACCP system shall be audited.

Audited as part
of Section 1.3 -
Management
Responsibility
and
Organizational
Structure

Note: Audited as
part of Section
1.9
Specifications

Note: Audited as
part of Section
1.9
Specifications

Audited as part
of Section 1.5 -
Annual
Management
Review
Audited as part
of Section 1.7 -
Control of
Documents and
Records