SGS_审核 HACCP体系审核表.doc

HACCP ProgramMax ScoreMinorMajorCritical1.As part of Costco or industry requirements, the plant will have a written HACCP program. The program should include a completed hazard analysis, a team that meets at least quarterly throughout the year and at least one team member has current certified HACCP training.Comments: 2.CCPs identified in the process are controlled and monitored within established critical limits. Records of conformance and effective corrective action resulting from non-conformance are maintained.Comments: 3.Proper verification and documentation of procedures are maintained and signed. Comments: 4.A responsible member of management signs the HACCP program. Record keeping is appropriately signed or initialed.Comments: 5.All items produced for Costco Wholesale are covered in the program, which is reviewed and audited annually, at a minimum and maintained for at least two years.*Meat processing facilities are addressing the increased prevalence of E-Coli between April Sept Comments: 6.All critical limits are scientifically established and are recorded.Comments: 7.Employees working at a designated CCP have current basic HACCP training and experience.Comments: Product Adulteration/Contamination1.Product adulteration or contamination was not observed.Comments: 2.The process flow is arranged to prevent product contamination. There is effective segregation between high and low risk operations to minimize the risk of product cross contamination.Comments: Allergen Program1.A documented food allergen program exists. Controls are in place to eliminate ingredients from being used improperly. The program lists all allergens in the facility and insures that allergens will only be used on properly labeled products. (Fill out checklist below)Comments: 2.A verification procedure is in place to insure compliance with allergen control procedures. Controls are in effect to eliminate contact with unlabeled allergens.Comments: Does the plant use or store any of the following?ALLERGENS and SENSITIVE INGREDIENTSYESNOPeanut and Peanut related products (except refined peanut oil)Tree Nuts and tree nut derived products i.e. marzipanFish and fish products (sauces, anchovy paste)Egg and Egg productsWheat, Rye, Barley, Corn, Related Grains and their productsCrustaceanMilk and Milk productsSoy and Soy related items (except refined soybean oil)LegumesMollusksSeeds (Sesame)CottonseedsSensitive Agents (please circle if applicable)MSG, Sulfites, FD&C Yellow #5 & #6, Autolyzed yeastOtherMax ScoreMinorMajorCriticalFood Security1.The facility has amended the crisis management plan to include provisions in case of a bio- terrorism attack. The plan includes management of food security, employee screening, raw materials and packaging, operations, and finished product. The responsibility for the bio terrorism security program is assigned to a qualified individual(s). Security checks of the premises are performed for signs of tampering with product or equipment.Comments: 2.Transport - All incoming raw materials and packaging have controls in place that monitor security. This includes the use of tamper evident packaging, seal numbers on bill of ladings match security seals on all doors, hatches and openings on transport carriers. Control of all water entry routes and bulk ingredient receiving ports is maintained. Carriers received with broken, missing, unreadable or non-matching seal numbers are rejected.Comments:3.A program is in place that protects finished product from contamination using risk assessment and management tools. It includes controls on all formulas, formulation software and tampers evident packaging as well as the locking and sealing of all vehicles/containers/railcars, etc.Comments: 4.All employees, including seasonal, temporary, contract and volunteer are carefully screened i.e. verifying work references, addresses and phone numbers. Background checks are performed i.e. INS checks and F.B.I. watch list. Photo I.D.s are provided with control numbers and color-coding to area of authorized access. Training is provided to all new employees on how to detect, prevent and respond to tampering, criminal or terrorist activity. Only employees with appropriate clearance are issued passwords to computer process control systems and critical data systems. Comments: Food Safety Training1.Programs are in place to ensure that all food related employees including part time, newly hired and temporary employees are receiving food safety training. The training should include food safety, G.M.P and sanitation. Training should be followed by a scored, documented evaluation and become part of the employees file.Comments:2.The management of the plant is trained in areas of food safety, including HACCP related activities, sanitation procedures and GMPs. Employees with responsibilities for HACCP related activities must have proper training.Comments: 3.The company provides documented refresher training to all employees twice per year and has equivalent training materials for employees that do not speak English.Comments: Potential PointsPoints ReceivedPercentage Quality Programs Quality ProceduresMax ScoreMinorMajorCritical1.A written program, which details policies and procedures for the operation of the QA / QC programs, is established, organized, and maintained. This program includes the roles and responsibilities, organization charts, and plant layouts for QA / QC.Comments: 2.Self-audits are conducted by a team of employees from all facets of the plant to evaluate systems and procedures critical to product quality. Staffing is in place to handle and follow through on corrective actions. Comments: 3.Appropriate documented specifications are in place for raw materials, including packaging materials, finished products and any rework used as an ingredient.Comments: 4.The Company has documented established criteria for the Hold and Release of product. Comments: 5.The Company has designated a suitably trained person to evaluate and decide on the disposition of product that has been held for food safety or quality issues. Comments: 6.A documented product control system is in place that evaluates and monitors control points to ensure that product falls within the set quality standards.Comments: 7.A documented laboratory practices program has been implemented to include procedure, calibration control and appropriate record keeping. Calibration is performed on all laboratory equipment requiring it. Results are documented and verification is established and maintained.Comments: Supplier MonitoringMax ScoreMinorMajorCritical1.The company maintains a list of approved suppliers of raw materials, including packaging, as well as a system for their approval.Comments: 2.The written documented system should address the following: a documented trailer inspection report, which includes (pest issues, temperature abuse, trailer condition, abuse of goods). The system also monitors for inspection of incoming raw goods including packaging supplies, the suppliers ability to trace all materials through code dating and lot identification, COAs (certificate of analysis) and LOG (letters of guarantee). Comments: 3.The company performs a detailed food safety supplier audit at least annually.Comments: 4.The plant is taking steps to assure that unapproved G.M.O.s (Genetically Modified Organisms) are not being used.Comments: 5.The plant has an environmental swabbing protocol, which includes testing for appropriate pathogens, i.e. Listeria.Comments: Recall Program ,Product Tracking and Customer CareRecall Program, Product Tracking and Customer Care1.A recall manual or procedure is in place that describes the recall process. It includes a current contact list of the recall team and assigns responsibilities. Comments: 2.Mock recalls are conducted at least semi-annually, to assess the effectiveness of the program. These recalls are on file and available for review. Date of last mock recall_20050508 Comments: 3.A formal program to evaluate customer complaints, especially those related to food safety, has been established. It includes procedures for corrective action evaluation. Food Safety/Q.A. personnel are notified of applicable customer complaints.Comments: 4.All finished products must be properly coded for traceability. Lot or batch number records of ingredients can be linked to the finished products & packaging, to include traceability for reworked product. Coding system for finished product is date of mfg. JULIAN/MFG or used by/best by date OPEN USE BY. (Circle which system is used) Comments: Potential PointsPoints ReceivedPercentageGood Manufacturing PracticesGMP ProgramMax ScoreMinorMajorCritical1.A written documented GMP program is in place. The program is current and complies with all applicable regulations. Responsibility for managing the program is specified.Comments: 2The program includes procedures to address uniforms/smocks and outer garments. An employee hygiene section is included in the program. Appropriate GMP signage is displayed in high traffic areas for all employees, contractors and visitors.Comments: 3Corrective action procedures are in place and documented for any G.M.P. deviations.Comments: Employee Practices1.The company has established a documented Personal Hygiene Standard. All personnel entering the plant must have orientation training in health and hygiene. These standards apply to regular staff members including management, part time/temporary employees, visitors and contractors. Comments:2.The use of false fingernails, eyelashes, fingernail polish and ALL jewelry or any related item that could be considered a contaminant was not observed. Loose fitting clothing and articles in top shirt pocket i.e. pens thermometer small screwdrivers were not being worn. Button fastenings should be avoided and all pockets should be located inside the garment.Comments: 3.Personnel travelling in all areas of the plant, including processing, storage, shipping and receiving MUST wear hairnets. All hair MUST be covered. Facial hair (beard, moustache and sideburns) are to be covered with a beard net.Comments: 4.Protective clothing such as smocks gloves, aprons, etc. are not to be removed from the production area or worn in restroom areas. Uniforms, protective clothing and personal apparel are clean and in good repair.Comments: 5.Employees are aware that they are not to work while ill. Employees with cuts or scrapes wear both a brightly colored metal detectable Band-Aid and a glove. Gloves are worn when there is direct contact with RTE foods. Gloves are maintained in good condition and are not a source of contamination. Employees displaying signs of infectious illness, infected wounds or obvious sores are not coming in contact with food products or related items, such as packaging.Comments:6.Eating, drinking, smoking, chewing gum / tobacco or toothpicks is restricted to assigned areas.Comments: 7.Employees are provided segregated areas for storage of personal property. No food was found in this area and it was kept clean.Comments: Max ScoreMinorMajorCriticalPreventative Maintenance1.A current documented preventative maintenance program exists that addresses both facility and equipment areas. The program is equipped with a provision that allows employees to schedule items requiring maintenance and to generate work requests.Comments:2.A section of the program allows for equipment that has received maintenance to also receive sanitation before being reintroduced to the production area. This action is documented.Comments: 3.The monitoring equipment used for process control points is effectively calibrated and recorded.Comments: Transportation and Storage1.All goods are appropriately labeled, identified, possess lot numbers and are code dated for traceability.Comments: 2.Incoming and outgoing carriers are inspected and documented for issues such as temperature, leaks, holes, cleanliness, off odors etc. This will help ensure they are free from contamination and are suitable for food transportation. Bulk systems (rail or tanker) have a documented operating, cleaning and sanitizing program in place that also provides product from contamination.Comments: 3.Raw materials/ingredients are inspected for specification compliance which includes rodent/insect damage and spoilage and temperature abuse. Ingredients are stored in a separate section of the plant from WIP/finished goods to avoid cross-contamination.Comments: 4.Refrigerated and frozen products being shipped or received are transported at acceptable temperatures to prevent deterioration and are properly monitored and documented.Comments: 5.Rejected goods returned to the supplier are documented and marked to prevent product from being delivered in the same condition. Damaged or suspect product is segregated in a clearly marked area. Items placed on pallets in this area are recorded in a Hold Log and marked on all four sides.Comments:6.Both raw and finished goods are stored under appropriate conditions, proper temperatures, and in a clean and dry area free from adulteration/contamination. A defined 18” perimeter is maintained along all walls to permit proper cleaning and inspection for pest activity. This space is kept free from obstructions. All items are stored at least 6” off the floor.Comments: 7.FIFO or First In/First Out procedures are in place to ensure materials and products are used in the correct order and are within their allocated shelf life.Comments: 8.Incompatible materials e.g. raw and ready to eat products are stored and handled in an appropriate manner to prevent cross-contamination.Comments: Max Score MinorMajorCriticalProcessing1.The company is able to demonstrate effective control of all operations. Procedures are in place to verify that the processes and equipment used are capable of producing a consistently safe product. Comments: 2.Ingredients requiring heating and finished goods are rapidly cooled to prevent harmful bacterial growth or they are immediately used. Packaging materials are kept clean, dry, and free from contamination during processing and storage. Only approved food-grade lubricants are used, and they are appropriately stored.Comments: 3.In the case of equipment failure or process deviation, procedures are in place to establish the safety status of the product prior to release.Comments: 4.In circumstances where temperature and time control are critical to product safety (e.g. thermal processing, freezing or chilling), temperature and/or time recording equipment linked to failure alarms is monitored at the appropriate frequency.Comments: 5.The plant has a clear glass control program in place. The program addresses the following elements: exclusion, removal and protection, breakage procedures, records of date, time, product nearby and corrective actions taken.Comments: 6.Metal detectors are in use. They are on-line as close to final packaging as possible. They are calibrated on a specified frequency and capable of detecting ferrous, non-ferrous and stainless steel metals in sizes defined in product specifications. If specifications do not exist, the equipment must be capable of detecting a 2.5 mm (or smaller) spherical piece of 304 stainless steel, ferrous and non-ferrous. They are monitored and recorded to ensure proper functioning. The recommended level of frequency is once per hour. Procedures on how to handle product rejected by the detector must be established. Records of calibration checks are maintained.Comments:7.Any compressed air or other gases (e.g., carbon dioxide, nitrogen) used in processing, packaging or cleaning are treated in such a way to prevent contamination.Comments: 8.If magnets, screens, sieves, etc. are used, they are inspected and cleaned regularly and the records are kept as part of the routine process control.Comments: 9.Thawing or tempering of frozen materials is done under controlled conditions (e.g., under refrigeration) and is monitored to insure proper temperature controls are maintained. Thawing procedures and verification checks of compliance, with regulatory authority, must be documented if appropriate.Comments: Potential PointsPoints ReceivedPercentagePremises PremisesMax ScoreMinorMajorCritical1.The facility and premises are located, designed, constructed and maintained to prevent contamination and allow safe production of product. Workspace provided allows employees to perform their duties and protect against contamination.Comments: 2.All parking lots, grounds and roads in close proximity to the plant are finished and mainta