EC 708
April 2002
Food Safety Inspections:
Basic Compliance Checklists for
GMPs, GAPs, SSOPs and HACCP
© 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
Prepared by Felix H. Barron
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.
FOOD SAFETY INSPECTIONS
The Food Safety inspection determines the hygiene conditions of the food establishment
inspected. Traditional inspections focus on the general aspects related to visually inspected
cleanliness and sanitation of equipment and facilities and the food handling habits of workers.
This inspection is an important part of GMPs and the new federal requirements compliance.
However, a more thorough and effective inspection for the meat and poultry industries (USDA)
and the seafood industry (FDA) is necessary to ensure compliance with HACCP-based programs
and SSOPs.
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..
Basic Inspection Tools
1.
2.
3.
4.
5.
6.
7.
8.
Pen and pencil
Writing tablet
Notebook
Inspection forms
Watch
Gloves
Aprons
Microbiological Sample Kit for
Total Plate Count (by 3M) (optional)
9. Flashlight
10. UV light (optional)
11. Thermometer
12. Copies of Laws and Regulations
13. Hair nets
2
GMPs: Personnel
21 CFR, Part 110 Section 110.10
Good Needs Work
1. Are the employees well-trained in what they do? You can avoid many problems
by making sure that your employees clearly understand their functions.
2. In handling food products, do your employees wear the proper hair covering,
beard covering, disposable gloves and clean uniforms?
3. Are your employees wearing jewelry, rings, watches, fingernail polish or
bandages?
-------- ------------------------ -----------------
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?
-------- -----------------
5. Do your employees maintain clean personal habits?
6. Is the traffic within your plant controlled to prevent contamination of the
production area?
-------- -----------------
Do visitors wear proper outfits and hairnets?
-------- -----------------
7. Have your employees been told the reasons why they should undertake the above -------- ----------------precautions?
Has this training been done through GMP classes?
-------- -----------------
Is the training documented?
-------- -----------------
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?
5. Will a pencil pass under the door?
6. Have all holes and cracks been filled so as not to provide hiding places or entry
points for pests?
7. Are there any evidence of the presence of domestic animals such as cats and
dogs?
8. Are rest rooms cleaned regularly?
9. Are the hand-washing facilities furnished with paper or air hand dryers and soap?
10. Are there any leaks in the roof, sky lights, windows, screens or overhead piping?
11. Are the overhead lights covered with shields to prevent contamination of
products by broken glass in case the lamps burst?
Total Checked:
4
GMPs: Buildings and Facilities:
Sanitation Operations: Pest Control
21 CFR, Part 110 Section 110.35 (a)(c)
Good Needs Work
1. Do you have professional pest control services?
2. Do you check regularly on what the pest control operator is doing?
3. Do you have documentation on what chemicals are being used?
4. Are mites, weevils or roaches apparent in the plant? There should be no evidence
of their presence.
5. Do you have enough bait stations?
6. Are you safety using fumigation safety?
7. Are the pest control logs and documentation readily available?
8. Are pesticides or application equipment stored safely?
9. Are products stored on pallets and at least 18 inches away from the walls?
10. Is your facility well-maintained?
Total Checked:
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?
2. Are all sanitation chemicals used in the plant USDA/FDA approved?
3. Do employees eat, drink and use tobacco products only in designated areas, and
not in the production area or warehouse?
4. Is the food spilled or uneaten by employees cleaned up quickly so as not to attract
pests or breed bacteria?
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
Good Needs Work
1. Is all equipment that comes in contact with food cleaned and sanitized as often as
necessary to prevent contamination of the product? You should follow appropriate
cleaning schedules for each piece of equipment.
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.
4. Is there any build-up or seepage of cleaning solvents or lubricants on your
equipment, which can contaminate foods? All repairs on equipment should be of a
permanent nature (e.g., no bobby pins in place of cotter pins), as temporary repair
parts can break or rupture and get in the food product.
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?
7. Can the surface of the equipment be sanitized?
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.
4. Are incoming vehicles inspected?
5. Are dusty, faded or discolored containers checked regularly?
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?
7. Are such quarantined items disposed of quickly to prevent the development of
pest breeding places?
8. Are incoming materials inspected for damage or contamination so that they can be
rejected?
9. Are unused materials properly resealed to prevent contamination?
10. Are materials stored in a safe manner?
Food related items should not be stored with non-food related items.
Materials should be stacked so that vents and blowers are not blocked.
Stacks of materials should be orderly for safety purposes.
11. Do you have an effective recall procedure set up?
Total Checked
8
10.
7.
8.
9.
10.
6.
7.
8.
9.
10.
6.
Percentage: ______
Percentage: ______
Needs
Work
Percentage: ______
Number “Good”: _____
11.
10.
9.
8.
7.
6.
5.
4.
3.
2.
1.
Good
Production and
Process Control
* Any questions that are not applicable should be eliminated to calculate the percentage accordingly.
Date: ____________________
Establishment Name: ______________________ Inspected by: __________________
Percentage: ______
Percentage: ______
7.
6.
5.
Needs
Work
Percentage: ______
11.
8.
7.
6.
5.
4.
3.
2.
1.
Good
Number “Good”: ____
5.
4.
Needs
Work
Equipment
Number “Good”:_____ Number “Good”: ____ Number “Good”: ____ Number “Good”: _____
11.
9.
6.
5.
5.
4.
3.
2.
4.
3.
2.
4.
1.
Good
3.
Needs
Work
3.
1.
Good
2.
Needs
Work
Sanitary Facilities and
Control
2.
Good
Pest Control
1.
Needs
Work
Plant / Grounds
1.
Good
Personnel
Good Manufacturing Practices (GMPs)
Monthly Inspection Record Sheet*
SANITATION SOPs
I. Preoperational Sanitation--Equipment and Facility Cleaning
All equipment will be cleaned and sanitized prior to starting production.
A. General Equipment Cleaning
(Simple equipment and hand tools are cleaned and sanitized in the same manner but they do
not require disassembly and reassembly.)
Established Sanitary Procedures for Cleaning and Sanitizing
Equipment:
Good
Needs Work
Good
Needs Work
1. The equipment is disassembled
2. Parts are placed in the designated tubs, racks, etc.
3. Product debris is removed
4. Equipment parts are rinsed with water to remove remaining
debris.
5. An approved cleaner is applied to parts and they are cleaned
according to manufacturer’s directions
6. Equipment parts are rinsed with potable water.
7. Equipment is sanitized with an approved sanitizer and rinsed with
potable water if required.
8. The equipment is reassembled.
9. The equipment is reassembled with an approved sanitizer and rinsed
with potable water if required
Performed Evaluations:
10. Organoleptic (smell, sight, touch)
11. Chemical (chlorine level or others)
12. Microbiological (swabs for TPC, or others
Description of Evaluations:
Corrective Actions:
Overall Inspection by:
__________
, Date:
B. Cleaning of Facilities (including floors, walls and ceilings)
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
Established Methods for Food Handling:
Good
Needs Work
Good
Needs Work
1. Employees will clean hands, arms, gloves, aprons, boots, etc.,
as often as necessary during the handling procedures
2. Employees will clean and then sanitize any equipment as often
as necessary during handling procedures to prevent contamination
of foods or packaging materials
Performed Evaluations:
3. Organoleptic (sight, smell, feel, etc.)
4. Chemical (chlorine level or others)
5. Microbiological (swabs for TPC, or others
Description of Evaluations:
___________
Corrective Actions:
Overall Inspection by:
_________________
, Date:
11
Sanitation SOPs (SSOPs)
Monthly Inspection Record Sheet*
General Equipment
Cleaning
Good
Needs
Work
Cleaning of Facilities
Good
Needs
Work
Handling Operations
Good
1.
1.
1.
2.
2.
2.
3.
3.
3.
4.
4.
4.
5.
Needs
Work
5.
6.
7.
8.
9.
10.
11.
Number “Good”: ______ Number “Good”: ______ Number “Good”: ______
Percentage: ______
Percentage: ______
Percentage: ______
* Any questions that are not applicable should be eliminated to calculate the percentage accordingly.
Date: __________________ Establishment Name: _____________________________
Inspected by: ______________________________
12
Good Agricultural Practices (GAPs): Applicable to the Field
Operations.
Agricultural Water
Good
Needs Work
Good
Needs Work
1. Are sources and distribution of water usage identified?
2. Are you aware of current and historical use of the land?
3. Are existing practices and conditions for potential success of
contamination identified?
4. Are wells in good working condition?
5. Is the irrigation water contaminated?
Animal Feces
6. Is all animal life excluded from fresh produce production areas?
7. Are GAPs followed to ensure that animal waste from adjacent
fields, pastures or waste storage facilities does not contaminate fresh
produce production areas? Where necessary, consider physical barriers
such as ditches, mounds, grass/sod waterways, diversion berms and
vegetative buffer areas.
8. Are you considering practices to deter or redirect wildlife to areas
where crops are not destined for fresh produce markets?
(Continue next page)
13
Worker Health and Hygiene
Good
Needs Work
Good
Needs Work
Good
Needs Work
9. Are employees who work with fresh produce infected?
10. Are employees trained to follow good hygienic practices?
11. Are training programs established and directed towards health
and hygiene – including basics such as proper hand washing
techniques and the importance of using toilet facilities?
12. Are you familiar with typical signs and symptoms of infectious
diseases?
13. Is protection offered to workers with cuts or lesions on parts of
the body that may make contact with fresh produce?
14. Are gloves properly used so hands will not become a vehicle
for spreading pathogens?
Field Sanitation
15. Are harvest storage facilities and containers or bins cleaned
prior to use?
16. Is harvesting and packing equipment appropriately and kept
clean?
Trace Back
17. Is there a procedure in place to track produce containers from
the farm to the packer, distributor and retailer?
18. Does this documentation indicate the source of the product and
other information, such as date of harvest, farm identification and
who handled the produce?
19. Is this establishment partnering with transporters, distributors
and retailers to facilitate the trace back process?
Corrective Actions:
Date:____________________
Approved by:______________________________
14
Good
Needs
Work
19.
18.
17.
16.
15.
Good
Date: __________________
Good
Percentage: ______
Establishment Name: _____________________________ Inspected by: ____________________
Needs
Work
Trace Back
Number “Good”: ______
Needs
Work
Field Sanitation
* Any questions that are not applicable should be eliminated to calculate the percentage accordingly.
14.
13.
11.
10.
9.
5.
8.
3.
Needs
Work
Worker Health and
Hygiene
12.
7.
2.
Good
Animal Feces
4.
6.
Needs
Work
1.
Good
Agricultural Water
Good Agricultural Practices (GAPs)
Monthly Inspection Record Sheet*
19
11
10
9
8
7
6
5
4
Number
of
Questions
5%
9%
10%
11%
13%
14%
17%
20%
25%
1
10%
18%
20%
22%
25%
29%
33%
40%
50%
2
16%
27%
30%
33%
38%
43%
50%
60%
75%
3
21%
36%
40%
44%
50%
57%
67%
80%
100%
4
26%
45%
50%
56%
63%
71%
83%
100%
5
31%
55%
60%
67%
75%
86%
100%
6
37%
64%
70%
78%
88%
100%
7
42%
73%
80%
89%
100%
8
Percentages for number of “Good” answers
47%
82%
90%
100%
9
53%
91%
100%
10
58%
100%
11
63%
12
68%
13
74%
14
79%
15
84%
16
89%
17
95%
18
Good Manufacturing Practices (GMPs): Monthly Inspection Record Sheet; Percentage Look-Up Table
100%
19
Inspectional Guide
The Guide has been
adapted from the FDA
Food Code. It is to be used
during the internal
inspection of an
establishment.
Management and Personnel
SUPERVISION
2-101.11 Assignment of Responsibility*
2-102.11 Demonstration of Knowledge*
2-103.11 Duties of Person in Charge
EMPLOYEE HEALTH
Disease or Medical Condition
2-201.11 Responsibility of Person in
Charge*
2-201.12 Exclusions and Restrictions*
2-201.13 Removal of
Exclusions/Restrictions
2-201.14 Reporting by
Employee/Applicant*
2-201.15 Reporting by Person In
Charge*
PERSONAL CLEANLINESS
Hands and Arms
2-301.11 Clean Condition*
2-301.12 Cleaning Procedure*
2-301.13 Special Hand wash
Procedures*
2-301.14 When to Wash*
2-301.15 Where to Wash
2-301.16 Hand Sanitizers
2-302.11 Fingernail Maintenance
2-303.11 Jewelry Prohibitions
2-304.11 Outer Clothing Cleanliness
HYGIENIC PRACTICES
2-401.11 Eating, Drinking, or Using
Tobacco*
2-401.12 Discharges-Eye, Nose, Mouth*
2-402.11 Hair Restraint Effectiveness
2-403.11 Animal Handling Prohibition*
Food
CHARACTERISTICS
3-101.11 Safe/Unadulterated./Honestly
Presented*
SOURCES/SPECIFICATIONS/ORIGI
NAL
CONTAINER/RECORDS
Sources
3-201.11 Compliance with Food Law*
PROTECT. FROM
CONTAMINATION AFTER
RECEIVING
3-301.11 Contamination from
Employees' Hands*
Contamination from Other
Foods/Ingredients
3-302.11
Separation/Packaging/Segregation*
3-302.12 Containers Identified/Common
Name
3-302.14 Unapproved Additives*
3-302.15 Washing Fruits and Vegetables
Contamination from Ice Used as a
Coolant
3-303.11 Exterior Ice Prohibited
Ingredient
3-303.12 Food in Contact with Water or
Ice
Contamination from
Equip./Utensils/Linens
3-304.11 Food Contact with Soiled
Items*
3-304.12 In-Use Utensils/Between-Use
Storage
3-304.14 Wiping Cloths, Use Limitation
3-304.15 Gloves, Use Limitation
3-304.17 Refilling Returnable
Contamination from the Premises
3-305.11 Food Storage
3-305.12 Food Storage, Prohibited Areas
3-305.13 Vended Food, Original
Container
Contamination from Other Sources
3-307.11 Miscellaneous Sources
FOOD ID./PRESENTATION/ ONPREMISES LABELING
Accurate Representation
3-601.11 Standards of Identity
3-601.12 Honestly Presented
Labeling
3-602.11 Food Labels
3-602.12 Other Forms of Information
CONTAMINATED FOOD
Disposition
3-701.11 Discarding Contaminated
Food*
Equipment, Utensils, and Linens
MATERIALS FOR CONSTRUCTION
AND REPAIR
Multiuse
4-101.11 Characteristics*
4-101.12 Cast Iron
4-101.13 Lead in Ceramic, China,
Crystal Utensils
4-101.14 Copper*
4-101.15 Galvanized Metal*
4-101.16 Sponges
4-101.17 Lead in Pewter
4-101.18 Lead in Solder and Flux
4-101.19 Wood
4-101.110 Nonstick Coatings
4-101,111 Nonfood-Contact Surfaces
Single-Service and Single-Use
4-102.11 Characteristics*
DESIGN AND CONSTRUCTION
Durability and Strength
4-201.11 Equipment and Utensils
4-201.12 Food Temperature Measuring
Devices*
Cleanabilty
4-202.11 Food-Contact Surfaces*
4-202.12 CIP Equipment
4-202.13 "V" Threads
4-202.14 Hot Oil Filtering Equipment
4-202.16 Nonfood-Contact Surfaces
4-202.18 Ventilation Hood, Filters
Accuracy
4-203.11 Food Temperature Measuring
Devices
4-203.12 Ambient Temp. Measuring
Devices
4-203.13 Pres. Meas. Dev., Mech. Ware.
Equip.
NUMBERS AND CAPACITIES
Utensils and Measuring/Testing Devices
4-302.12 Food Temperature Measuring
Devices
4-302.13 Wash/San. Temp. Measuring
Devices
4-302.14 Sanitizing Solution Testing
Devices
LOCATION AND INSTALLATION
4-401.11 Equip. Location/Preventing
Contam.
Installation
4-402.11 Fixed Equipment, Spacing/Sealing
4-402.12 Fixed Equipment,
Elevation/Sealing
MAINTENANCE AND OPERATION
Equipment
4-501.11 Good Repair and Proper
Adjustment
4-501.14 Equipment, Cleaning Frequency
4-501.15 Warewasher, Operating
Instructions
4-501.16 Warewashing Sinks, Use
Limitation
4-501.17 Warewashing, Cleaning Agents
4-501.18 Warewashing, Clean Solutions
4-501.19 Warewashing, Wash Sol.
Temperature
4-501.110 Warewasher, Wash Sol.
Temperature
4-501.111 Warewashing, San. Water
Temp.*
4-501.112 Warewasher, San. Water Temp.
4-501.113 Warewasher, Sanitization
Pressure
4-501.114 Chem.San.,
Temp./pH/Concentr./Hard.*
4-501.115 Chem.San., Detergent-Sanitizers
4-501.116 Determining Chem.San.
Concentration
Utensil/Temperature/Pressure Measuring
Device
4-502.11 Good Repair and Calibration
CLEANING OF EQUIPMENT AND
UTENSILS
Objective
4-601.11 Clean Sight/Touch-No
Accum/Encrust.*
Frequency
4-602.11 Food-Contact Surfaces and
Utensils*
4-602.13 Nonfood-Contact Surfaces
SANITIZATION OF EQUIPMENT AND
UTENSILS
Objective
4-702.11 Frequency-Before Use After
Cleaning*
4-703.11 Methods-Hot Water and
Chemical*
PROTECTION OF CLEAN ITEMS
Drying
4-901.11 Equipment and Utensils, AirDrying
4-901.12 Wiping Cloths, Air-Drying
Lubricating and Reassembling
4-902.11 Food-Contact Surfaces
4-902.12 Equipment
Storing
4-903.11 Equip./Uten./Lin./Sing.-Ser/Use
Art.
4-903.12 Prohibitions
Water, Plumbing, and Waste
WATER
Source
5-101.11 Approved System*
5-101.12 System Flushing and
Disinfection*
5-101.13 Bottled Drinking Water.*
17
Quality
5-102.11 Standards*
5-102.12 Nondrinking Water*
5-102.13 Sampling
5-102.14 Sample Report
Quantity and Availability
5-103.11 Capacity*
5-103.12 Pressure
Distribution, Delivery, and Retention
5-104.11 System
5-104.12 Alternative Water Supply
PLUMBING SYSTEM
5-201.11 Materials, Approved*
Design, Construction, and Installation
5-202.11 Approved System/Cleanable
Fixtures*
5-202.12 Handwashing Facility, Installation
Numbers and Capacities
5-203.13 Service Sink
5-203.14 Backflow Prevention Device
REFUSE, RECYCLABLES, AND
RETURNABLES
Facilities on the Premises
5-501.11 Outdoor Storage Surface
5-501.12 Outdoor Enclosure
5-501.13 Receptacles
5-501.15 Outside Receptacles
5-501.16 Areas-Receptacles,
Capacity/Avail.
5-501.17 Toilet Room Receptacle, Covered
5-501.18 Cleaning Implements and
Supplies
5-501.19 Storage Areas and Units/Location
5-501.110 Storing
Refuse/Recyclables/Return.
5-501.111 Areas/Enclosures/Receptacles,
Repair
5-501.112 Outside Storage Prohibitions
5-501.113 Covering Receptacles
5-501.114 Using Drain Plugs
5-501.115 Maintaining Refuse
Areas/Enclosures
5-501.116 Cleaning Receptacles
Removal
5-502.11 Frequency
5-502.12 Receptacles or Vehicles
Facilities for Disposal/Recycling/Refilling
5-503.11 Community or Individual Facility
Physical Facilities
MATERIALS FOR CONSTRUCTION
AND REPAIR
6-101.11 Indoors, Surface Characteristics
6-102.11 Outdoors, Surface Characteristics
DESIGN, CONSTRUCTION, AND
INSTALLATION
Cleanability
6-201.11 Floors, Walls, and Ceilings
6-201.12 Floors/Walls/Ceilings,Utility
Lines
6-201.13 Junctures, Coved/Enclosed/Sealed
6-201.14 Carpeting,Restriction/Installation
6-201.15 Floor Covering, Mats and
Duckboards
6-201.16 Wall, Ceiling, Coverings/Coatings
6-201.17 Walls and Ceilings, Attachments
6-201.18 Wall, Ceiling, Studs/Joists/Rafters
Functionality
6-202.11 Light Bulbs, Protective Shielding
6-202.12 Ventilation System, Exhaust
Vents
6-202.13 Insect Contr. Dev., Design/Install.
6-202.14 Toilet Rooms, Enclosed
6-202.15 Outer Openings, Protected
6-202.16 Exterior Walls/Roofs, Barriers
6-202.19 Outdoor Walk/Drive Surfaces,
Drained
6-202.110 Outdoor Refuse Areas,
Curbed/Drained
NUMBERS AND CAPACITIES
Handwashing Facilities
6-301.11 Hand Cleanser, Available
6-301.12 Hand Drying Provision
6-301.13 Handwash Aids and Devices, Use
Restrictions
6-301.14 Handwashing Signage
Toilets and Urinals
6-302.11 Toilet Tissue, Availability
6-303.11 Lighting, Intensity
6-304.11 Ventilation, Mechanical
6-305.11 Dressing Areas/Lockers,
Designation
LOCATION AND PLACEMENT
6-402.11 Toilet Rooms,
Convenient/Accessible
6-403.11 Employee Accommodations,
Designated
6-404.11 Distressed Merchandise,
Segregated
MAINTENANCE AND OPERATION
Premises/Fixtures - Methods
6-501.11 Repairing
6-501.12 Cleaning, Frequency/Restrictions
6-501.13 Cleaning Floors, Dustless
Methods
6-501.14 Clean. Vent. Sys., Prev. Discharge
6-501.15 Clean. Maint. Tools, Prev.
Contam.*
6-501.16 Drying Mops
6-501.17 Floors - Absorbent Materials
6-501.18 Maintaining/Using Handwashing
Facilities
6-501.19 Closing Toilet Room Doors
6-501.110 Using Dressing Rooms and
Lockers
6-501.111 Controlling Pests*
6-501.112 Removing Dead or Trapped Pests
6-501.113 Storing Maintenance Tools
6-501.114 Unnecessary Items and Litter
6-501.115 Prohibiting Animals*
Poisonous or Toxic Materials
LABELING AND IDENTIFICATION
Original Containers
7-101.11 Identifying Information,
Prominence*
7-102.11 Working Containers, Common
Name*
OPERATIONAL SUPPLIES AND
APPLICATIONS
7-201.11 Storage, Separation*
Presence and Use
7-202.11 Restriction*
7-202.12 Conditions of Use*
Container Prohibitions
7-203.11 Poisonous/Toxic Material
Containers*
Chemicals
7-204.11 Sanitizers*
7-204.12 Washing Fruits and Vegetables*
7-204.13 Boiler Water Additives*
7-204.14 Drying Agents*
7-205.11 Lubricants, Incidental Food
Contact*
Pesticides
7-206.11 Restricted-Use, Criteria*
7-206.12 Bait Stations*
7-206.13 Tracking Powders*
Medicines
7-207.11 Restriction and Storage*
7-207.12 Medicines, Refrigerated Storage*
7-208.11 First Aid Supplies, Storage*
7-209.11 Other Personal Care Items,
Storage
STOCK AND RETAIL SALE
7-301.11 Storage and Display, Separation*
Compliance and Enforcement
CODE APPLICABILITY
Variances
8-103.11 Documentation and Justification
8-103.12 Conformance with Procedures*
PLAN SUBMISSION AND APPROVAL
Facility and Operating Plans
8-201.11 When Plans Are Required
8-201.12 Contents of Plans/Specifications
8-201.13 HACCP Plan/When Required
8-201.14 Contents of a HACCP Plan
INSPECTION AND CORRECTION OF
VIOLATIONS
Critical Violation
8-405.11 Timely Correction
Noncritical Violation
8-406.11 Time Frame for Correctio
18
HACCP SYSTEMS – BASIC COMPLIANCE CHECKLIST
ESTABLISHMENT:
PROCESS:
PRODUCTS COVERED BY PROCESS:
IMPLEMENTATION DATE:
NEW PRODUCT:
REASSESSMENT DATE:
(Yearly; check for dated
signature only)
I – HAZARD ANALYSIS AND HACCP PLAN DEVELOPMENT
REQUIREMENT
YES
(X)
INITIAL HAZARD ANALYSIS
The establishment has not conducted a hazard analysis or had a hazard
analysis conducted for it.
The hazard analysis does not include food safety hazards that are reasonably
likely to occur in the production process, or
does not identify the preventive measures the establishment can apply to
those food safety hazard(s)
The hazard analysis does not include a flow chart that describes (diagrams)
the steps of each process and product flow in the establishment.
The hazard analysis does not identify the intended use or consumers of
finished product(s).
INITIAL PLAN DEVELOPMENT
The establishment’s hazard analysis revealed one or more food safety
hazards that are reasonably likely to occur, and the establishment does not
have a written HACCP plan for each of its products.
The establishment has not conducted validation activities to determine that a
HACCP plan is functioning as intended.
The establishment’s record do not include: multiple results that verify the
monitoring of CCPs and conformance with critical limits, or after a deviation
from a critical limit (if any), subsequent results that support the adequacy of
corrective action(s) in achieving control at the CCP.
SUBSEQUENT ANALYSIS AND PLAN DEVELOPMENT
(HAZARD ANALYSIS REASSESSMENT)
After an estabIishment hazard analysis revealed no food safety hazards that
are reasonably likely to occur, there was a change that could reasonably affect
whether a food safety hazard exists, the establishment did not reassess the
adequacy of the hazard.
(NEW PRODUCT)
(1) Before producing new product for distribution, the establishment did not
conduct a hazard analysis (or have a hazard analysis conducted for it) or did
not have an applicable HACCP plan for the product.
(2)The establishment began distributing a new product more than 90 days ago,
and it has not validated the HACCP plan that covers the new product.
19
HACCP SYSTEMS – BASIC COMPLIANCE CHECKLIST
(continued)
II – CONTENTS OF HACCP PLAN(S)
REQUIREMENT
YES
(X)
MULTIPLE PRODUCTS
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
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)
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