APPENDIX 1 ASSESSMENT OF FOOD SAFETY PROGRAMMES (Hans Henrik Huss)

The assessment process covers the following 7 steps:

1.	Pre-assessment document review
	- process flow diagram with location of CCPs - product specifications - HACCP plan including worksheets and records - Prerequisite plans including worksheet and records
2.	Opening meeting
	- scope - process - schedule - amenities needed
3.	On-site verification of process flow diagram
4.	On-site document review and observations
	- product and ingredients specifications - previous audit reports and minutes of HACCP meetings - assessment of prerequisite programmes and functions (form attached) - assessment of HACCP programmes and functions (form attached)
5.	Closing meeting
6.	Assessment report
7.	Assessment follow-up

The following five pages give examples of forms that can be used for on-site evaluation of the HACCP and prerequisite programmes.

ON-SITE DOCUMENT REVIEW AND OBSERVATIONS

Assessment of HACCP Programme

Name and address of establishment audited	Phone/fax/email
Facility Owner (company or person)	Date of audit
Products Concerned	Products - High or low risk
Name and Number of Inspector
Name and Title of Accompanying Individual

HACCP
	A	B	C	*Note*
HACCP team used was appropriate
Raw materials specifications defined and written down
Product and ingredient specifications are defined and written down
Product end use is defined and recorded (high or low risk product)
Flow diagram is written down and is accurate and complete
Hazard analysis is written down and is accurate and complete (evidence of Hazard Worksheets)
Identification of CCPs is documented and CCPs are appropriate for product and end use of product
Critical limits have been established, documented and are appropriate for the CCP
Monitoring procedures for each CCP are documented, are followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist
Verification procedures are documented and are followed. Records exist
All necessary documentation exists and are available for inspection

A = excellent, good or only minor deficiencies (no safety risk)

B = major or serious deficiencies, which could lead to a safety risk if not controlled. Any condition or situation rated as a B requires a plan or programme for rapid improvement. Repetitive or cumulative B-ratings can lead to a critical situation.

C = an unacceptable or critical situation representing a safety risk. Any C-rating requires immediate response and corrective action.

Assessment of Pre Requisite Programmes

FACTORY CHECK
Processing Plant		A	B	C	*Note*
Outside
Condition of grounds outside the factory
Condition of the factory outside wall - especially holes through to inside
Inside
Rooms	- layout and flow of goods and people allows easy cleaning and prevents cross contamination
Rooms	- for clean and unclean areas are separated (including waste areas)
Rooms	- for non food items are separated e.g. packaging, chemicals, etc.
Ceilings, walls, floors, doors and windows are well designed and maintained in good repair -
	- for areas directly affecting food product or primary packaging material
	- for other areas
Drains	- are well designed, sufficient and maintained in good repair
Drains	- there is protection against back-flow, back-siphoning, or other sources of contamination
Lighting	- is sufficient and lights are covered
Pest control	- exclusion devices (screens, mesh, etc.) are present at all openings to outside and maintained in good repair
Pest control	- No areas present to harbour or attract pests
Ventilation	- is sufficient, well designed and there is no condensation evident
Facilities in Processing Plant		A	B	C	*Note*
Water	- sufficient quantity of cold water available, clear marking and separation of potable and non-potable water
Water	- sufficient quantity of hot water/steam available
Ice	- sufficient quantity available and storage facility well designed and kept in good order and repair
Chilling and freezing facilities - sufficient capacity
Waste-water	- leaves the property in a condition that meets environmental laws
Hygiene	- changing rooms are sensibly located, are well designed and are kept in good repair
Hygiene	- toilets are sensibly located and in sufficient numbers and kept in good repair
Hygiene	- Hand-washing and sanitizing stations are in sufficient numbers, well designed, well located and kept in good repair
Equipment	- containers made of appropriate materials, in proper repair and removed when necessary
Equipment	- machinery designed well, easy to clean and kept in good repair - Food contact surfaces
Equipment	- machinery designed well, easy to clean and kept in good repair - Non-food contact surfaces

PROCEDURES
Safety of water and ice	A	B	C	*Note*
Criteria are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Cleaning and disinfection	A	B	C	*Note*
Cleaning and disinfection methods (food contact and non-contact surfaces) are written down and are appropriate
Monitoring procedure for cleanliness is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Personnel hygiene and health	A	B	C	*Note*
Personnel hygiene criteria (cleanliness, dress code) are written down and are appropriate
Procedures to handle illness are written down and are appropriate
Monitoring procedure for personnel hygiene and health is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations of personnel by auditor
Prevention of cross contamination	A	B	C	*Note*
Criteria to prevent cross contamination are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Maintenance of facilities for personal hygiene
Methods to maintain personal hygiene facilities are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Protection of food from adulterants	A	B	C	*Note*
Criteria to protect food from adulteration are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Waste management	A	B	C	*Note*
Methods to handle sewage and processing waste are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Recalls and traceability	A	B	C	*Note*
Methods to allow full traceability and recall of product are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Training	A	B	C	*Note*
Training policy and programme are written down, are appropriate and followed
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations of training in factory by auditor, if possible
Pest Control	A	B	C	*Note*
Pest control procedures are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Labeling and safe storage and use of toxic chemicals	A	B	C	*Note*
Toxic chemical handling, use and storage procedures are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor
Transport and storage	A	B	C	*Note*
Temperature and cleanliness criteria for transport and storage are written down and are appropriate
Monitoring procedure is written down, is followed and records are kept
Corrective actions identified, written down and are followed when critical limits exceeded. Records exist.
Personal observations in factory by auditor

NOTES
Note number from form	Comment

SUMMARY
Totals numbers of each category
General comments from auditor
General comments from establishment representative

SIGNATURES
Signature of auditor	Date
Signature of establishment representative	Date