Good Manufacturing Practices |
Question No. | Audit Question | Given Answer | Given Score | Possible Score | Recommendation | Auditor Comments | Audio/ Picture |
1.1.1 | Is there a designated person responsible for the food safety program? | Total Compliance | 10 | 10 | | Gary Hinton | |
1.1.2 | Are all chemicals (pesticides, sanitizers, detergents, lubricants, etc.) stored and labeled correctly? | Total Compliance | 15 | 15 | | Yes | |
1.1.3 | Are signs supporting GMP's posted appropriately? | Total Compliance | 10 | 10 | | Yes | |
1.2.1 | Are products or ingredients free of insects/rodents/birds or any evidence of them? ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT. | Total Compliance | 15 | 15 | | Yes | |
1.2.2 | Are packaging supplies free of insects/rodents/birds or any evidence of them? ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT. | Total Compliance | 15 | 15 | | Yes | |
1.2.3 | Are plant and storage areas free of insects/rodents/birds or any evidence of them? | Total Compliance | 10 | 10 | | Yes | |
1.2.4 | Is the area immediately outside the facility free of evidence of pest activity? | Total Compliance | 5 | 5 | | Yes | |
1.2.5 | Are pest control devices (inc. rodent traps and electrical fly killers) located away from exposed food products? | Total Compliance | 10 | 10 | | Yes | |
1.2.6 | Are pest control devices maintained in a clean and intact condition and marked as monitored on a regular basis? | Total Compliance | 5 | 5 | | Yes | |
1.2.7 | Are interior, exterior building perimeter and land perimeter pest control devices adequate in number and location? | Total Compliance | 5 | 5 | | Yes | |
1.2.8 | Are pest control devices identified by a number or other code (e.g. barcode)? | Total Compliance | 5 | 5 | | Yes | |
1.2.9 | Are all pest control devices properly installed and secured? | Minor Deficiency | 3 | 5 | All traps should be correctly orientated. Bait traps must secured to prevent removal. If mounted on slabs, then wall signs should be used to aid location. | One bait station turned from wall. | |
1.3.1 | Are ingredients, products, and packaging stored to prevent cross contamination? | Total Compliance | 10 | 10 | | Yes | |
1.3.2 | Are storage areas at the appropriate temperature for the specific products being stored? | Total Compliance | 10 | 10 | | Yes | |
1.3.3 | Is the facility's use restricted to the storage of food products? | Total Compliance | 10 | 10 | | Yes | |
1.3.4 | Are storage racks properly designed for proper drainage of water and to permit air circulation? | Total Compliance | 10 | 10 | | Yes | |
1.3.5 | Are products and ingredients, including ice, within accepted tolerances for spoilage or adulteration? ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT. | Total Compliance | 15 | 15 | | Yes | |
1.3.6 | Are rejected or on hold products separated, and if so, are they clearly identified? | N/A | 0 | 0 | | N/A | |
1.3.7 | Are all storage areas clean (including product and packaging)? This includes areas where ice is stored. | Minor Deficiency | 7 | 10 | All storage areas need to be kept clean to avoid pest attraction and contamination of products, ingredients or packaging. Pest activity is easier to detect in a clean area. | Low paper trash on floor in package storage. | |
1.3.8 | Are ingredients and packaging properly marked with receipt dates and tracking information? | Total Compliance | 5 | 5 | | Yes | |
1.3.9 | Are ingredients, products, and packaging rotated using FIFO policy? | Total Compliance | 5 | 5 | | Yes | |
1.4.1 | Are all exposed product areas protected from overhead contamination (e.g. ladders, motors, condensation, lubricants, walkways, glass sprinkler elements, etc.)? | Total Compliance | 10 | 10 | | Yes | |
1.4.2 | Is there adequate space to perform operations and prevent cross contamination? | Total Compliance | 3 | 3 | | Yes | |
1.4.3 | If occurring, e.g. because of damaged product from the field, is all re-work/ re-packaging handled correctly? | N/A | 0 | 0 | | N/A | |
1.4.4 | Does the plant have test strips, test kits or an automated system for checking the concentration of the sanitizers (dip stations, wash water, etc.)? | N/A | 0 | 0 | | N/A | |
1.4.5 | Are hand washing stations adequate in number and location? | Total Compliance | 5 | 5 | | Yes | |
1.4.6 | Are bathrooms adequate in number and location and are they adequately stocked (e.g. toilet paper, disposable towels, soap, etc.)? | Total Compliance | 15 | 15 | | Yes | |
1.4.7 | Is warm water available at hand washing stations? | Total Compliance | 5 | 5 | | Yes | |
1.4.8 | Are all reusable containers clearly designated for the specific purpose (trash, production, re-work, etc.)? | Total Compliance | 5 | 5 | | Yes | |
1.5.1 | Are employees washing and sanitizing their hands before starting work each day, after using the restroom, after breaks and whenever hands may be contaminated? | Total Compliance | 15 | 15 | | Yes | |
1.5.2 | Are employees with boils, sores or infected wounds excluded from operations involving direct food contact? | Total Compliance | 10 | 10 | | Yes | |
1.5.3 | Is jewelry confined to a plain wedding band? | Total Compliance | 3 | 3 | | Yes | |
1.5.4 | Is smoking, eating, chewing and drinking confined to designated areas? | Total Compliance | 10 | 10 | | Yes | |
1.6.1 | Are food contact surfaces free of flaking paint, corrosion, rust or other materials (e.g. tape, etc.)? | Total Compliance | 15 | 15 | | Yes | |
1.6.2 | Are non-food contact surfaces free of flaking paint, corrosion, rust and other materials (e.g. tape, etc.)? | Total Compliance | 10 | 10 | | Yes | |
1.6.3 | Is equipment suitable for current use and does the design and condition (I.e. smooth seams, non-toxic materials) facilitate effective cleaning and maintenance? | Total Compliance | 15 | 15 | | Yes | |
1.6.4 | Are food grade and non-foodgrade chemicals handled and stored in a controlled manner, that helps prevent cross contamination? | Total Compliance | 5 | 5 | | Yes | |
1.6.5 | Are thermometers present in all coolers and freezers? | Total Compliance | 5 | 5 | | Yes | |
1.6.6 | Are all thermometers non-glass and non-mercury? | Total Compliance | 10 | 10 | | Yes | |
1.7.1 | During cleaning are foods and packaging protected? | Total Compliance | 15 | 15 | | Yes | |
1.7.2 | Are cooling units including coils in coolers and freezers clean? | Total Compliance | 10 | 10 | | Yes | |
1.7.3 | Are all fan guards dust free? | Total Compliance | 5 | 5 | | Yes | |
1.7.4 | Are all tools, utensils, and other items not being used stored clean and in a manner to prevent contamination? | Minor Deficiency | 7 | 10 | Tools and utensils should be stored appropriately (i.e. Covered, off the floor, etc.) to prevent cross contamination. | Brooms were stored head down. | |
1.7.5 | Does the facility have safety equipment for the sanitation crew? | Total Compliance | 3 | 3 | | Yes | |
1.7.6 | Are all items used for sanitation appropriate for their designated purpose? (no steel wool, metal bristles, etc.) | Total Compliance | 5 | 5 | | Yes | |
1.7.7 | Is cleaning equipment identified in order to prevent potential cross contamination issues e.g. production, maintenance, outside, restroom equipment? | Total Compliance | 5 | 5 | | Yes | |
1.7.8 | Are excess lubricants and grease removed from the equipment? | Total Compliance | 5 | 5 | | Yes | |
1.8.1 | Are spills cleaned up immediately? | N/A | 0 | 0 | | N/A, no spills observed. | |
1.8.2 | Are waste and garbage frequently removed from packing and storage areas? | Total Compliance | 5 | 5 | | Yes | |
1.8.3 | Are areas under storage racks being cleaned? | Total Compliance | 5 | 5 | | Yes | |
1.8.4 | Do floor drains appear clean? | N/A | 0 | 0 | | N/A, no floor drains | |
1.8.5 | Do high level areas including overhead pipes, ducts, fans, etc. appear clean? | Total Compliance | 10 | 10 | | Yes | |
1.8.6 | Are plastic strip curtains maintained in a good condition, kept clean and mounted so that the tips are not touching the floor? | Total Compliance | 5 | 5 | | Yes | |
1.8.7 | Is there sufficient cleaning equipment available and is it kept in a separate area? | Total Compliance | 5 | 5 | | Yes | |
1.8.8 | Are bathrooms and hand-wash stations clean? | Total Compliance | 15 | 15 | | Yes | |
1.8.9 | Are employee locker and lunchroom facilities clean, including microwaves and refrigerators? No rotting or out of date foodstuffs? | Total Compliance | 5 | 5 | | Yes | |
1.8.10 | Is the maintenance shop organized - i.e. equipment and spares stored in a neat and tidy fashion? | Total Compliance | 3 | 3 | | Yes | |
1.8.11 | Are internal transport vehicles clean and sanitary? | Total Compliance | 3 | 3 | | Yes | |
1.8.12 | Are shipping trucks clean and in good condition? | N/A | 0 | 0 | | N/A, no shipping trucks on-site during audit. | |
1.9.1 | Are all lights above product or packaging materials clean & protected? | Total Compliance | 15 | 15 | | Yes | |
1.9.2 | Has the facility eliminated or controlled any potential metal, glass or plastic contamination issues? | Minor Deficiency | 10 | 15 | All foreign material risks must be either removed and/or accounted for and controlled. Example include metal filings (maintenance), glass lights on forklifts, PC Screens etc. | Loading lights are partially shielded; bulbs are not shatterproof. | |
1.9.3 | Has the facility eliminated the use of wooden items or surfaces? | Minor Deficiency | 3 | 5 | Wood is a very porous material and can harbor bacteria. It cannot be cleaned or sanitized effectively. Wooden materials can also splinter and pose a risk of physical contamination. | Broom handles. | |
1.9.4 | Is there adequate lighting in the packing and storage areas? | Total Compliance | 5 | 5 | | Yes | |
1.9.5 | Are floor surfaces in good condition, with no standing water, no debris trapping cracks and are they easy to clean? | Total Compliance | 5 | 5 | | Yes | |
1.9.6 | Are doors to the outside pest proof? | Minor Deficiency | 3 | 5 | All exterior doors should fit tightly with a maximum allowable gap of 1/8 inch and be fitted with self-closing devices. | Few gaps under doors. | |
1.9.7 | Are exterior walls free of holes to exclude birds, rodents, and insects? | Total Compliance | 5 | 5 | | Yes | |
1.9.8 | Are interior walls and ceilings free of cracks and crevices to prevent insect's harborage? | Total Compliance | 5 | 5 | | Yes | |
1.9.9 | Are there separate areas for employee personal items? | Total Compliance | 3 | 3 | | Yes | |
1.9.10 | Is an 18" perimeter being maintained in the facility and a 14" space between every other row? | Minor Deficiency | 3 | 5 | Aisles and working spaces that are provided need to be of adequate width to permit the monitoring of pest activity and for employees to perform their cleaning duties. | Perimeter is being maintained in most areas, but not in carton storage. | |
1.9.11 | Is the area immediately outside the facility free of litter, weeds and standing water? | Total Compliance | 10 | 10 | | Yes | |
1.9.12 | Are control measures being implemented for the storage of pallets, equipment, tires, etc. (e.g. out of the mud, stacked to prevent pest harborage, away from building perimeter)? | Minor Deficiency | 3 | 5 | Incorrectly stored pallets and equipment can provide areas for pest harborage and/or cross contamination. | Planks stored against interior wall; old sign leaning against outside wall. | |
1.9.13 | Are pallets inspected to separate and replace dirty or broken pallets? | Total Compliance | 5 | 5 | | Yes | |
1.9.14 | Is the area around the dumpster/cull truck clean? | Total Compliance | 3 | 3 | | Yes | |
1.9.15 | Are outside garbage receptacles/dumpsters kept covered or closed? | Minor Deficiency | 3 | 5 | Garbage receptacles or dumpsters should be covered to prevent attraction of pests. | Most outside containers were covered; dumpster was not. | |
1.9.16 | Are all waste lines protected against back siphonage? | Total Compliance | 10 | 10 | | Yes | |
1.9.17 | Are the floor drains where they are needed for drainage and cleanup? | N/A | 0 | 0 | | N/A | |
Food Safety File Requirements |
Question No. | Audit Question | Given Answer | Given Score | Possible Score | Recommendation | Auditor Comments | Audio/ Picture |
2.1.1 | Is there is a traceback system that ensures outbound goods can be linked to inbound goods? | Total Compliance | 15 | 15 | | Yes | |
2.1.2 | Does the facility have a documented recall program? | Total Compliance | 15 | 15 | | Yes | |
2.1.3 | Is testing of recall procedures (including trace back) performed and documented annually? Can the company identify where affected product was sent/ | Non-Compliance | 0 | 10 | Testing of recall procedures should be performed at least annually to ensure that a product can be removed promptly and effectively if a hazardous or defective product was manufactured. | No | |
2.1.4 | Are there written procedures for handling regulatory inspections? | Total Compliance | 3 | 3 | | Yes | |
2.2.1 | Are copies of all Materials Safety Data Sheets (detergents, sanitizers, pesticides, etc.) on file and fully accessible at all times with clear indexes? | Minor Deficiency | 10 | 15 | Copies of Materials Safety Data Sheets (MSDS) should be on file to keep employees informed about the chemicals used in the facility. | Lubricants and hydraulic fluid MSDS are missing. | |
2.2.2 | Are there copies of specimen labels for chemicals used, where the full label is not immediately accessible e.g. rodent chemicals, product sanitizers? | Total Compliance | 5 | 5 | | Yes | |
2.2.3 | Is there a chemical inventory/usage log? | Non-Compliance | 0 | 10 | Logs of use and/or inventory of sanitizers (product and cleaning) are required in order to confirm that procedures are being followed. | No | |
2.3.1 | Is there a written pest control program, including a copy of the contract with the extermination company, vendor license and insurance documents? | Minor Deficiency | 10 | 15 | A pest control program is essential to plant sanitation, it should be maintained by a contracted company or an appropriately trained in-house employee (PCO required if baits used). Relevant documentation must be on file. | Service agreement was missing; other documents were OK. | |
2.3.2 | Is there a schematic drawing of the plant showing numbered locations of all traps and bait stations, both inside and outside the plant? | Total Compliance | 10 | 10 | | Yes | |
2.3.3 | Are service reports with signs of activity and corrective actions detailed and maintained on file (in-house and/or contract)? | Total Compliance | 10 | 10 | | Yes | |
2.4.1 | Are there records of regulatory inspections and/or contracted inspections, company responses and remedial actions, if any? | Total Compliance | 5 | 5 | | Yes | |
2.4.2 | Are there recording logs for the necessary process monitoring activities (e.g. pH, chlorine, etc.)? | Total Compliance | 10 | 10 | | Yes | |
2.4.3 | Is there a Daily Pre-Operation Inspection Log? | Total Compliance | 5 | 5 | | Yes | |
2.4.4 | Are there equipment calibration records for scales, pH meters, ORP meters, thermometers, etc.? | Non-Compliance | 0 | 3 | Records of calibration demonstrate the accuracy of equipment used. | No calibration records for coolers thermometers. | |
2.4.5 | Is there a program for periodic facility/GMP inspections and are records maintained detailing corrective action? | Total Compliance | 10 | 10 | | Yes | |
2.4.6 | Are there inspection logs on incoming carriers for rodents and insects, cleanliness, holes and temperature control? | Non-Compliance | 0 | 10 | Temperature verification is important in maintaining the cold chain. Also, good sanitation is essential in preventing contamination of the product. | Log is in place, but no records have been recorded. | |
2.5.1 | Does the facility have a preventative maintenance program and schedule? | Total Compliance | 10 | 10 | | Yes | |
2.5.2 | Is there a log of maintenance work or repairs ordered and is it signed off on work completed? | Minor Deficiency | 7 | 10 | A log for maintenance work will assist in keeping track of the condition of equipment in order to prevent hazards from occurring. | Invoices for contracted maintenance are available for work done on facilities and forklifts. Day-to-day maintenance is not recorded. | |
2.5.3 | Is there a written cleaning schedule (Master Sanitation Schedule)? | Total Compliance | 10 | 10 | | Yes | |
2.5.4 | Are there written cleaning procedures for the facility and all equipment? | Major Deficiency | 3 | 10 | All equipment should be cleaned and sanitized on a regularly scheduled basis based on written Sanitation Standard Operating Procedures. | Procedures for cleaning restrooms are OK. No procedures have been written for the remainder of the facility. | |
2.5.5 | Are sanitation logs on file? | Non-Compliance | 0 | 5 | Sanitation logs must be on file covering the entire area of the facility and equipment. Logs should include: date, list of areas/equipment that were cleaned, the individual accountable and signed-off for each task completed. | No | |
2.5.6 | Is there a log indicating that floor drains are cleaned on a regular basis (min. daily in wet and fresh-cut production areas)? | N/A | 0 | 0 | | N/A, no floor drains | |
2.5.7 | Are there records showing cooling units are serviced and cleaned at least annually? | Total Compliance | 10 | 10 | | Yes | |
2.6.1 | Are there logs of employee orientation training, with topics covered and attendees? | Total Compliance | 5 | 5 | | Yes | |
2.6.2 | Are there logs of ongoing employee education sessions with topics covered and attendees? | Minor Deficiency | 7 | 10 | Documentation of training verifies that the company is committed to ongoing employee training and education to identify and promote good manufacturing and sanitary practices. | Records from some sessions were not kept. | |
2.6.3 | Is there an Employee Non-Compliance/Disciplinary Action Procedure? (Verbal confirmation Allowed). | Total Compliance | 3 | 3 | | Yes | |
2.7.1 | Are there records of equipment microbiological testing? | Non-Compliance | 0 | 5 | Microbial tests are beneficial in evaluating the sanitary condition of the equipment. | No | |
2.7.2 | Are there records of facility microbiological testing? | Non-Compliance | 0 | 5 | Environmental microbiological testing is used to determine effectiveness of cleaning and sanitization programs. | No | |
2.7.3 | Is there an annual microbiological test on water used in the facility (sampled from the site)? | Total Compliance | 10 | 10 | | Yes | |
2.7.4 | Is there a microbial test/letter of guarantee from suppliers for ice? | N/A | 0 | 0 | | N/A | |
2.8.1 | Are there temperature logs for storage rooms? | Total Compliance | 5 | 5 | | Yes | |
2.8.2 | Are there temperature logs for refrigerated shipping trucks? | Total Compliance | 5 | 5 | | Reefer function is checked before truck is loaded. Shipping temperature is specified on bill of lading. Recorders are provided at customer request. | |
2.8.3 | Are there sanitary condition logs for shipping trucks? | Total Compliance | 10 | 10 | | Yes | |
2.8.4 | Are there shipping logs (i.e. bill of lading/ manifest)? | Total Compliance | 5 | 5 | | Yes | |
Food Security |
Question No. | Audit Question | Given Answer | Given Score | Possible Score | Recommendation | Auditor Comments | Audio/ Picture |
3.1.1 | Is the facility surrounded by security fencing? | No | 0 | 0 | (No recommendation) | No | |
3.1.2 | Is access to the facility controlled by guards, cards, locks, alarms or other devices? | No | 0 | 0 | (No recommendation) | No | |
3.1.3 | Are cameras utilized to increase security at various plant locations? | Yes | 0 | 0 | | Yes | |
3.1.4 | Are security guards employed, either in a stationary location, or on roving patrols? | No | 0 | 0 | (No recommendation) | No | |
3.1.5 | Are inbound food product storage areas (fruits, vegetables, etc.) secured? | Yes | 0 | 0 | | Yes | |
3.1.6 | Is process material such as ammonia, preservatives or waxes stored in secured areas with controlled access? | N/A | 0 | 0 | (No recommendation) | N/A | |
3.2.1 | Are background checks conducted on critical personnel? | Yes | 0 | 0 | | Yes | |
3.2.2 | Are all personnel required to store "carry-in" material in designated areas? | Yes | 0 | 0 | | Yes | |
3.2.3 | Does the company provide secured storage for staff's carry-in material? | Yes | 0 | 0 | | Yes | |
3.2.4 | Are key personnel required to undergo training on food security issues and are records kept? | No | 0 | 0 | (No recommendation) | Training occurs, but no records are kept. | |
3.2.5 | Does the company have printed material (educational) on food security issues? | Yes | 0 | 0 | | Yes | |
3.2.6 | Are employees issued non-reproducible identification badges? (all, or some employees)? | No | 0 | 0 | (No recommendation) | No | |
3.2.7 | Are visitors (including contractors) required to "sign in" and sign out" in a visitors log book? Are visitors also required to wear identification badges? | No | 0 | 0 | (No recommendation) | No | |
3.3.1 | Are records of "processing materials" (waxes, sprays, etc.) maintained? | N/A | 0 | 0 | (No recommendation) | N/A | |
3.3.2 | Are these records periodically reviewed and reconciled to material on hand? | N/A | 0 | 0 | (No recommendation) | N/A | |
3.4.1 | Are water sources tested periodically for contamination? | Yes | 0 | 0 | | Yes | |
3.5.1 | Does the company make use of sealed trailers on inbound or outbound loads? | No | 0 | 0 | (No recommendation) | No | |
3.5.2 | Are inbound and outbound trucks locked on receipt and dispatch? | N/A | 0 | 0 | (No recommendation) | N/A | |
3.5.3 | Are transportation vehicles (trucks, trailers, rail cars, etc.) subject to sanitation procedures prior to loading? | Yes | 0 | 0 | | Yes, upon inspection. | |
3.5.4 | Are off-premises transport trucks equipped with GPS or other positioning systems? | N/A | 0 | 0 | (No recommendation) | Shipping trucks are not under facility control. | |