Improved Food Inspection Model
Final Model
Annex B: Elements of the preventive control plan: outcomes, performance criteria and inspection activities
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Each element of a preventive control plan has associated outcomes and performance criteria. A regulated party would address the criteria to support achieving the outcome.
Following the performance criteria listed below for each element, are related lists of inspection activities that inspectors could use to assess compliance.
Element 1: Product and process controls: Outcomes and performance criteria
Expected Outcomes
- Product and process controls contribute to the production of safe and compliant food.
- 1.1 Process control outcome
- The process is controlled to achieve food safety and other regulatory compliance.
- 1.2 Product control outcome
- Finished products meet regulatory requirements and are appropriately packaged and labelled.
- 1.3 Import control outcome
- Imported foods meet food safety and other regulatory requirements, including labelling.
- 1.4 Export control outcome
- Exported foods meet foreign country import requirements and conditions and Canadian export requirements, where applicable.
- 1.1 Process control outcome
The following performance criteria would have to be addressed by the regulated party to achieve the process and product control outcomes (1.1 and 1.2).
1.1Process control outcome: performance criteria
a. Incoming inputs (For example, ingredients and raw materials)
- identification of incoming input materials/ingredients and their source (for example, the immediate supplier)
- identification of incoming ingredients, with written specifications, if
- there is a potential hazard or food safety concern
- an ingredient is critical to product composition and/or nutrition profile
- documented handling procedures for ingredients to prevent degradation, hazard introduction or contamination
b. Product formulation and specifications
- written formula for each food commodity that is being prepared
- written specifications for each final food commodity
- food additives and chemicals used are permitted for use in the food commodity
c. Processing
- written description of:
- processing steps (for example, mixing records), associated control measures and critical limits
- food commodity movement (for example, process flow diagram)
- food commodity changeover procedures
- critical limits are validated using scientific data
Rationale
- Inadequate incoming ingredient / raw material controls could result in non-compliance (for example, product contamination, inadequate processing or misrepresentation of the product).
- Inaccurate product formulation and/or mixing could result in non-compliance (for example, product adulteration, inadequate processing, etc).
- Inadequate process controls could lead to pathogenic organisms, toxins, undeclared allergens and other hazards in the food.
1.2 Product control outcome: performance criteria
a. Packaging
- There is a written specification for packaging materials that come in contact with food.
- All packaging materials are suitable for the intended use.
b. Labelling
- The information on the label is complete, truthful and not misleading, accurately represents the content of the food commodity, and meets regulatory requirements.
c. Finished Product
- The finished food commodity is evaluated for compliance with prescribed requirements.
- Outgoing food commodities and their destination are identified, including any products or food commodities destined for export (for example, the immediate purchaser is identified).
Rationale
Inadequate food commodity controls could result in:
- the use of packaging that may contaminate or permit contamination of the food commodity,
- inaccurate and incomplete information on labels, and
- final product that is not compliant.
The additional performance criteria below would also have to be addressed by the regulated party to achieve the control outcomes for import and export (1.3 and 1.4).
1.3 Import control outcome: performance criteria
- Imported food commodities are prepared under conditions that are comparable to Canadian requirements and meet Canadian regulatory requirements
- Control measures and sourcing are done to ensure that food commodities meet Canadian requirements. Possible strategies include:
- selecting suppliers whose exports are certified by a foreign country competent authority,
- selecting suppliers who are identified on a list of eligible exporters by a foreign country competent authority,
- selecting suppliers who are subject to third-party audits by internationally-recognized accreditation or certification,
- auditing to confirm suppliers can meet Canadian requirements,
- selecting suppliers who conduct regular sampling and testing and provide certificates of analysis, or
- using accredited or recognized sampling and testing laboratories to do testing at the time of importation.
Rationale
- Importers do not have direct control of the preparation of the food commodity; therefore, it is important to maintain effective strategies to source and verify that their products meet Canadian requirements.
1.4 Export control outcome: performance criteria
- Documentation that the exported food commodity corresponds to foreign country import requirements.
- Verification that the export requirements are being met, which includes records of rejected shipments to foreign countries including reasons for rejection.
- When export certificates are issued by the CFIA based on system compliance, the regulated party would notify the CFIA when a food shipment is rejected because of evidence of a food safety or public health concern in the importing country.
- Control and segregation of food commodities destined for export that do not meet Canadian requirements and are not permitted to enter the Canadian marketplace.
Rationale
- Food commodities for export may contain ingredients that are not permitted in Canada. Segregation would prevent the food commodities from reaching the Canadian marketplace.
Element 1: Inspection activities for process and product controls
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
Inspection activities for sub-element 1.1: Process controls
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
a. Incoming Inputs (for example, ingredients and raw materials)
- Verify that traceability records are accurate and maintained.
- Review records to determine if there is potential for any incoming ingredients and/or raw materials to contain allergens or other food hazards. Adjust the scope of the inspection, if necessary.
- Check whether raw materials or incoming ingredients that could contain allergens or other food hazards are properly identified and segregated.
- Observe how raw materials are received to verify that there is no cross-contamination or degradation.
b. Product formulation and specification
- Review the product listing of all food commodities and adjust the scope of the inspection to incorporate higher-risk processes.
- Confirm that the current formula is available for each food commodity.
- Assess any changes to product formulations for any impact on label accuracy and food safety.
- Confirm that any food additives are permitted for use in the particular food.
c. Processing
- Select a product that is being processed at the time of inspection, and follow it through the processing steps to confirm that:
- the product formulation matches the recipe (written specifications) and note any product substitutions and appropriate adjustments to processing or labelling,
- ingredients and raw ingredients are accurately measured and blended, and
- processing controls are monitored and critical limits are met.
- Review process validation records to confirm that processes and parameters are current.
- Observe product and process flow for potential cross-contamination.
- Observe that procedures are being followed for the use of rework and product changeover and that there is no cross-contamination.
Inspection activities for sub-element 1.2: Product controls
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
a. Packaging
- Confirm food packaging material meets the requirement of the Food and Drug Regulations, Part B, Division 23, Food Packaging Materials.
- Observe the packaging process to verify that contaminated, damaged or defective packaging material is not used, and that the food commodity is not damaged or contaminated.
b. Labelling
- Select a food commodity or commodities to verify that labels accurately represent content and meet regulatory requirements. For example:
- foods containing priority allergens are labelled;
- nutrition labelling requirements are met;
- all nutrition claims are factual, not false and not misleading; and
- any other labelling requirements are met, including mandatory information, type size, bilingual requirements, net quantity declarations, ingredient declarations, health or product claims.
c. Finished product
- Review sampling and testing results to see if any deviations are noted and, if so, review their associated corrective actions.
- Take samples of final product, if necessary, to confirm that it is in compliance with regulatory requirements.
- Verify that traceability records are accurate and maintained.
Inspection activities for sub-element 1.3: Import controls
- Review imported product records to determine:
- what food commodities were imported and from where,
- the results of control measures and sourcing to verify that food commodities meet Canadian requirements (for example, certificates of analysis, audit results, competent authority certification), and
- if any food commodities were rejected and, if so, what was the issue and what corrective action was taken.
Inspection activities for sub-element 1.4: Export controls
- Review exported food shipment records to determine:
- to what countries shipments were conveyed, and
- if any shipments were rejected and, if so, what was the issue and what corrective action was taken.
Element 2: Sanitation and pest control: Outcomes and performance criteria
Expected Outcomes
- 2.1 Sanitation
- An effective sanitation program for equipment and premises is in place to prevent contamination of food.
- 2.2 Pest Control
- An effective pest control program is in place to prevent entry of pests, to detect and eliminate pests and to prevent the contamination of food.
- 2.3 Chemicals
- Chemicals are stored and used in a manner and under conditions that do not contribute to the contamination of food.
The following performance criteria would have to be addressed by the regulated party to achieve the sanitation, pest control and chemical outcomes (2.1, 2.2, 2.3 and 2.4).
2.1 Sanitation outcome: performance criteria
- There is a schedule for cleaning and/or sanitizing, which includes the concentration of chemicals to be used, and temperature and pressure requirements (if applicable), for:
- the establishment, including preparation and storage areas;
- equipment; and
- food contact surfaces, including containers and utensils.
- Equipment used for cleaning and/or sanitizing is capable of delivering the requirements of the sanitation program.
- Cleaning and/or sanitizing is carried out in a manner that does not contaminate food or packaging materials during or after cleaning and/or sanitizing.
- Effectiveness of cleaning and/or sanitizing is assessed visually or through sampling (for example, environmental, commodities) using accepted methods or procedures, as applicable.
- Food contact surfaces are free from contamination (for example, the accumulation of dust, dirt, food residue and other debris).
- Environmental sampling is conducted in accordance with Health Canada 2011 Policy on Listeria monocytogenes in Ready-to-Eat Foods.
Rationale
- Improper or inadequate sanitation activities can lead to contamination of food, packaging materials and food contact surfaces.
- Cross-contamination from cleaning activities during operation can cause chemical or biological contamination.
2.2 Pest control outcome: performance criteria
- There is a program for pest control and removal.
- There is a schedule for monitoring for evidence of pest activity.
Rationale
- Pests (for example, insects, rodents and birds) can contaminate food, ingredients, packaging materials and food contact surfaces. Pests in or around an establishment can lead to contamination from droppings, larvae, and dead insects or animals.
2.3 Chemicals outcome: performance criteria
- A listing of chemicals or specification sheets for chemicals used in sanitation and pest control is maintained.
- The use of chemicals does not contaminate food, equipment, utensils or food contact surfaces.
- Chemicals are suitable for their intended use.
- Chemicals are properly stored, controlled, and labelled.
- Chemicals are dispensed, used, handled and applied by trained personnel.
Rationale
- The use of improper chemical concentrations and/or improper chemical application or rinsing procedures can lead to both chemical contamination (for example, chemical residue due to poor rinsing, no-rinse chemicals in excess of approved concentration) and biological contamination (for example, bacteria not effectively removed from food contact surfaces).
- Improperly stored chemicals can lead to contamination of the food preparation environment.
Element 2: Inspection activities for sanitation and pest control
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
Inspection activities for sub-element 2.1: Cleaning and sanitation
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Confirm cleaning and sanitizing is being done according to the procedures and schedule.
- Review records:
- Review the regulated party's procedures for verifying that clean in place, cleaning and sanitizing is effective.
- Review procedures for verifying that cleaning or sanitizing equipment is functioning as intended.
- Check whether any issues or deviations have been identified and note what actions were taken.
- Review any results of sampling, if applicable.
- Observe responsible employees performing the activity:
- Verify that cleaning and sanitizing are not sources of cross- contamination (for example, floor sprays are not contaminating food contact surfaces), and that there are no other sources of cross-contamination.
- Confirm temperature, chemical concentrations and pressure is being verified.
- Review records:
- Visually verify that cleaning procedures are effectively removing dirt and debris.
- Look for evidence of dirt, debris and food material on food contact surfaces, including containers and utensils.
- Take environmental samples to determine effectiveness and compliance – if necessary to confirm observations – for ready-to-eat food preparation areas.
Inspection activities for sub-element 2.2: Pest control
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Visually verify that there is no evidence of pests – particularly in food processing, storage and handling areas.
- If there is evidence of pests, review records to:
- identify if there are any trends, and
- confirm what actions have been taken to address the issue, including preventive measures to prevent reoccurrence.
Inspection activities for sub-element 2.3: Chemicals
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Confirm there is a listing of chemicals used (including pesticides/rodenticides), or specification sheets available.
- Chemicals used on food or food contact surfaces must meet the requirements of the Food and Drugs Act or Pest Control Products Act, as applicable.
- Confirm that chemicals are stored separately from food, clearly identified and dispensed with utensils that are not used for food preparation.
- Confirm that label instructions for any chemicals used are being followed
- Confirm employee or applier is trained to apply the treatment or chemical.
Element 3: Hygiene and employee training: Outcomes and performance criteria
Expected outcomes
- 3.1 Hygiene and biosecurity
- Employees and visitors are not a source of contamination of food, packaging materials or food contact surfaces.
- 3.2 Employee training
- Employees have adequate technical knowledge and understanding of operation(s) or process(es) for which they are responsible and of how they may impact food safety and other regulatory requirements.
The following performance criteria would have to be addressed by the regulated party to achieve the hygiene, biosecurity and employee training outcomes (3.1 and 3.2).
3.1 Hygiene and biosecurity outcome: performance criteria
- Effective biosecurity practices are in place, including:
- controlled access
- employee facilities, hand-washing and sanitizing stations
- use of sanitary clothing and footwear
- Hygienic practices are in place, including:
- proper hand-washing or use of sanitizers/gloves
- rules for employee conduct
- precautions for personnel with open wounds or a communicable disease
Rationale
- Personnel training and hygiene contribute to the production of safe food and biosecurity practices.
- Employees and visitors who do not follow hygienic and biosecurity practices can cause food contamination.
3.2 Employee training outcome: performance criteria
- A written description of training requirements and training records for employees responsible for activities under the preventive control plan are maintained.
- Employees are trained to carry out the range of tasks and duties they are required to perform.
- Effectiveness of training is verified by the regulated party.
Rationale
- Proper training promotes an understanding of the risk of biological, chemical and physical contamination and the employee's role in maintaining hygiene and biosecurity.
Element 3: Inspection activities for hygiene, biosecurity and employee training
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
Inspection activities for sub-element 3.1: Hygiene
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Confirm that effective biosecurity practices are in place.
- Verify that biosecurity practices are being followed.
- Movement of employees and access of visitors is controlled.
- Footbaths and hand dips, if used, are properly maintained.
- Any required clothing – including gloves, hair coverings, and footwear – is maintained in a sanitary manner.
- Employee hand-washing facilities are available and clean.
- Observe employee behaviours occurring in food preparation or handling areas.
- Employees are washing hands when required (for example, when returning to the processing area).
- Personal objects are prevented from contaminating the commodity (for example, falling into food).
- Unhygienic practices are not occurring or contributing to contamination of the commodity (for example, spitting, use of tobacco, chewing gum and consumption of food).
- Confirm that employees handling food do not have open wounds or exhibit signs of having a communicable disease.
Inspection activities for sub-element 3.2: Employee training
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Review training records
- Confirm that employees are following procedures when carrying out duties and responsibilities.
- Observe and interview employees to confirm they have the appropriate technical knowledge to carry out their respective duties. For example, they may need an understanding of:
- potential sources of contamination
- proper handling of food commodities and ingredients (for example, temperature control, segregation of food commodities)
- personal hygiene
- equipment maintenance and calibration
- general sanitation and cleanliness
- Confirm that employees receive ongoing training to maintain current specialized knowledge; such as, knowledge of control measures and critical limits or regulatory requirements.
Element 4: Equipment design and maintenance: Outcomes and performance criteria
Expected outcomes
- Equipment, utensils and containers are designed, maintained and used in a manner that does not result in contamination of food or food packaging materials and are effective for the purpose for which they are intended.
- Controlling or measuring devices are calibrated for accuracy.
The following performance criteria would have to be addressed by the regulated party to achieve the equipment design and maintenance outcomes.
- All equipment, utensils, containers, and controlling and measuring devices used in food preparation and storage are:
- used only for the establishment's intended purpose,
- functioning as intended,
- maintained in a good state of repair,
- cleanable, and
- properly stored.
- Controlling or measuring devices used in the preparation of food are calibrated and maintained to ensure measurement accuracy and effectiveness.
Rationale
- Poor design and installation can make it difficult to properly clean and maintain equipment.
- Improper maintenance of equipment may lead to the contamination of food.
- Improper use of equipment may lead to contamination of food.
- Improper calibration or maintenance of controlling or measuring devices may lead to inadequate processing or inaccurate formulation of food or other regulatory non-compliance.
Element 4: Inspection activities for equipment design and maintenance
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Confirm that equipment is being used as per procedures and review maintenance records, if necessary.
- Confirm that equipment is being calibrated according to schedule.
- Check that equipment, containers and utensils are in good repair (for example, check for rust, peeling paint, leaking lubricants).
Element 5: Physical structure and maintenance: Outcomes and performance criteria
Expected outcomes
- 5.1 Outside premises and surroundings
- Conditions of the outside premises and surroundings do not contribute to the contamination of food.
- 5.2 Buildings
- Buildings are constructed and maintained to support cleaning and sanitation and prevent the entry of pests and contaminants.
- 5.3 Water, ice and steam
- Water, ice and/or steam that come into contact with food and/or food contact surfaces is potable or safe for intended use.
- 5.4 Waste disposal
- Effluent and waste storage and disposal systems are designed, constructed and maintained to prevent contamination of food, preparation areas or water.
The following performance criteria would have to be addressed by the regulated party to achieve the physical structure and maintenance and outside premises outcomes (5.1, 5.2, 5.3 and 5.4).
5.1 Outside premises and surroundings outcome: performance criteria
- The surroundings/roadways are maintained to minimize refuse, dirt, dust, fumes, and other environmental contaminants and pest harbourage areas.
- Vehicle disinfection practices are implemented to minimize the risk of contamination, as applicable.
Rationale
- Outside sources of contamination can compromise the safety and or quality of the commodity.
5.2 Buildings outcome: performance criteria
a. Exterior building structures
- The exterior of the building is maintained to prevent entry of pests and contaminants.
Rationale
- Proper facility design and construction, including maintenance, prevents or mitigates the entry of pests or contaminants.
b. Interior building structures, appropriate for intended use
- Floors, walls and ceilings are:
- cleanable
- made of materials that will not contaminate food
- in good repair
- In food preparation areas:
- floors are constructed and maintained to permit adequate drainage
- glass, where breakage may contaminate food, is properly protected
Rationale
- Standing water can become stagnant and therefore a source of contamination.
- Cleanable surfaces will support effective cleaning and minimize the build-up of unsanitary conditions (for example, presence of bacteria, mould).
- Proper protection of glass will prevent foreign material contamination of food, ingredients, packaging materials and food contact surfaces.
c. Hygienic flow and separation
- Where there is potential for cross-contamination, incompatible operations are controlled by physical separation or other effective means.
Rationale
- Separation or control between incompatible operations helps to prevent cross-contamination of finished food.
- Control is inadequate if cross-contamination occurs.
d. Lighting
- There is sufficient light to allow the intended activity to be conducted effectively.
- Lighting equipment (bulbs and fixtures) that is located where breakage could contaminate food is protected, as needed.
Rationale
- If lighting levels are inadequate, employees may not be able to properly carry out his/her activities (including processing, quality control, reading of critical instrumentation, cleaning and sanitizing).
- If a light bulb or lighting fixture breaks over exposed food, ingredients, packaging materials or food contact surfaces, it presents a potential physical hazard.
e. Ventilation
- Ventilation provides sufficient air exchange to control moisture and minimize condensation.
- Ventilation systems are designed and constructed to prevent contamination (for example, air flow into clean areas is not contaminated).
- Ventilation systems are adequately maintained and cleaned.
Rationale
- Adequate ventilation minimizes condensation which could contaminate food.
- The flow of contaminated air through an establishment can be a source of contamination.
- The ventilation system requires cleaning and maintenance so that it can function properly.
f. Employee facilities
- When present, the location and design of employee facilities such as washrooms, lunch rooms and change rooms do not contribute to or cause contamination of food or food processing areas.
- An adequate means of hygienically washing and drying hands and personal protective equipment (for example, boots) is provided (including wash basins and a supply of safe water).
- The location of hand-washing and sanitizing stations does not contribute to or cause contamination of food.
Rationale
- Adequate and clean washroom, change room and lunch room facilities will support personal hygiene and reduce the risk of contaminants or contamination.
- Hand-washing and sanitizing stations can become a source of contaminants if they are not properly located, designed or maintained.
5.3 Water, ice and steam outcome: performance criteria
a. Water, ice and steam safety
- Water, ice and steam that come in contact with food commodities or food contact surfaces meet safety requirements as defined in Health Canada's Guidelines for Canadian Drinking Water Quality – Summary Table or are safe for use (for example, sea water used in rinsing and packing fish products).
- There is no cross-contamination between safe and unsafe water supplies.
- Safety of water must be confirmed using recognized methods at a frequency adequate to confirm its safety.
- Where municipal sources are used, municipal test results may be accepted.
Rationale
- Since water, ice and steam can be used for a variety of purposes (for example, sanitation, hand washing, as an ingredient or processing aid), it is important that water be safe for use.
b. Water, ice and steam handling equipment
- Equipment is designed, installed and maintained in a manner that will not jeopardize the safety of water.
Rationale
- Water, ice and steam can be a source of biological, chemical or physical contaminants.
5.4 Waste disposal outcome: performance criteria
- Waste storage areas and containers are identified, of suitable capacity, secured and cleaned to avoid attracting pests.
- Waste disposal, including effluent lines, does not contaminate food or food preparation areas.
- Drainage and sewage systems are adequate for the volume and type of effluent being produced during normal processing and cleaning operations, and backflow is prevented.
Rationale
- An effective waste removal and disposal system will reduce pest harbourage and the risk of cross-contamination of food, ingredients, packaging material, food contact surfaces or the safe water supply (for example, drain back-ups leading to flooding).
- Cleanable and properly identified containers and utensils used for waste will prevent misuse that may result in cross-contamination.
- The presence of mechanisms to prevent backflow (for example, trapping, venting) will prevent sewer gases, pests, micro-organisms or other contaminants from entering the establishment through the plumbing system.
Element 5: Inspection activities for physical structure and maintenance and outside premises
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
Inspection activities for sub-element 5.1: Outside premises and surroundings
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Visually verify if there are any sources of external contamination (for example, build up of garbage, standing water).
Inspection activities for sub-element 5.2: Interior and exterior building structures
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
a. and b. Exterior and interior building structures
- Review maintenance records for building interior and exterior, including the air filter replacement records.
- Check that floors, walls and ceilings are made of non-porous materials that will withstand cleaning, and that floors are draining properly.
- Check that glass is properly protected in places where breakage could contaminate food.
- Confirm that:
- openings to exterior areas are protected or effective control measures are in place;
- air intakes and exhausts, as appropriate, are filtered or positioned to prevent the introduction of contaminants;
- doors are tight-fitting and equipped with self-closing devices, if required; and
- there are no signs of water leakage.
c. Hygienic flow and separation
- Confirm that incompatible operations are controlled by physical separation or other means (for example, sequencing of food commodities to prevent introduction of allergens or cross-contamination).
d. Lighting
- Verify that lighting is adequate to accurately read instruments and record monitoring and verification results.
e. Ventilation
- Verify that there is positive pressure in food preparation areas, where necessary, to prevent contamination.
- Check whether there is condensation that could negatively impact the safety of the food (for example, dripping on food or food contact surfaces).
f. Employee facilities
- Check that washrooms, lunch rooms and change rooms are properly located and maintained (for example, hot water, hand-washing and drying equipment, functional lavatories).
Inspection activities for sub-element 5.3: Water, ice and steam
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Confirm that safe water is being used, such as:
- municipal water, or
- tested water with available test results.
- If water is treated, confirm that any chemicalsFootnote 14 used are accepted for that use (for example, a letter of no objection from Health Canada) and that appropriate procedures are followed (see the Guidelines for Incidental Additive Submissions).
Inspection activities for sub-element 5.4: Waste disposal
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Check that waste disposal does not contaminate food preparation areas (for example, leakage and spillage).
- Verify that waste containers are identifiable, secured and cleaned at regular intervals.
- Observe that waste does not accumulate in1 food handling areas.
- Note any odours that are not characteristic of the food being prepared.
Element 6: Receiving, transportation and storage: Outcomes and performance criteria
Expected outcome
- Food commodities (including incoming ingredients) and packaging materials are transported, received and stored in conditions that prevent damage, spoilage and contamination.
The following performance criteria would have to be addressed by the regulated party to achieve the receiving, transportation and storage outcome.
- Conveyances, when used for the transport of food:
- are clean and protect the food from contamination, damage and deterioration, including temperature and humidity controls (for example, refrigeration); and
- are not being used to transport any material or substance that might contaminate or adulterate the food commodity.
- Food commodities in need of temperature and humidity controls (for example, refrigeration or freezing) are not left out at ambient temperatures for prolonged periods.
- Conveyances are loaded, arranged and unloaded in a manner that prevents damage and contamination of the incoming materials and/or finished food commodities.
- Storage areas allow the:
- separation of food and other materials, including returned food commodities;
- control of temperature and humidity to prevent deterioration and spoilage; and
- stock to be rotated to maintain suitability, quality and safety.
Rationale
- Food commodities may become contaminated, or may not reach their destination in a suitable condition, unless effective control measures are taken during transport or at loading/unloading and storage.
- The safety and quality of food commodities that require temperature and humidity control can be impacted negatively if left at ambient temperatures and conditions for prolonged periods.
Element 6: Inspection activities for receiving, transportation and storage
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Confirm, by visual observations or reviewing records, that food commodities that require environmental control are transported and stored at an appropriate temperature and humidity.
- Note if any food commodities are left out at ambient temperatures, which would impact food safety or quality (for example, freezing, thawing or sweating).
- Visually confirm that incompatible food commodities are not transported or stored together unless there is an effective way to separate them.
- Review records to confirm that conveyances that are used for multiple, incompatible purposes are cleaned between uses.
- Confirm that incoming ingredients and materials are managed to minimize spoilage or contamination at receiving.
- Review shipping records and visually verify that stock is being rotated.
Element 7: Traceability, recall and complaints: Outcomes and performance criteria
Expected outcome
- 7.1 Traceability and recalls
- Foods are adequately identified to enable removal from the marketplace.
- Non-compliant food commodities are effectively prevented from entering the marketplace and can be rapidly retrieved from the marketplace if distributed, and disposed of, as appropriate.
- 7.2 Complaints
- Complaints related to food safety and product misrepresentation are investigated to determine root cause and corrective actions are taken.
The following performance criteria would have to be addressed by the regulated party to achieve the traceability, recall and complaints outcomes (7.1 and 7.2)
7.1 TraceabilityFootnote 15 and recall outcomes: performance criteria
- The traceability and recall system must be able to:
- identify sources of incoming materials (ingredients) for the implicated food commodity,
- stop any further distribution and sale,
- trace food (including by-products, if implicated) to the next point of distribution,
- contact customers and the CFIA, and
- retrieve the implicated food
- maintain accurate traceability records in accordance with certain standards.
Rationale
- Identifying and controlling implicated food quickly and effectively is crucial for protecting consumers from preventable health risks.
7.2 Complaints outcome: performance criteria
- Complaints received by the regulated party are investigated to determine if there is non-compliance with legislative requirements.
- Corrective action is taken for non-compliance, to address:
- the implicated food commodity, and
- any changes required to processes or procedures to prevent recurrence.
Rationale
- Complaints from any source (for example, consumers, other industry members, customers) are important indicators of possible deficiencies in the system. When the complaint handling system itself is deficient, it could result in failure to identify and eliminate risks.
Element 7: Inspection activities for traceability, recall and complaints
The following activities would be used to guide the inspector in determining compliance with the performance criteria and outcomes.
Inspection activities for sub-elements 7.1: Traceability and recall
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Review records to identify any previous recalls and confirm that product was effectively recalled (volume distributed and volume returned) and disposed of or handled as per procedures.
- Determine if the cause of the recall was identified and if this information was used to make adjustments to prevent recurrence.
- Review test results if the recall system has been periodically tested.
- If appropriate, request a mock recall (for example, request a trace of a food commodity).
Inspection activities for sub-element 7.2: Complaints
- Confirm that the preventive control plan addresses the general requirements and performance criteria for this sub-element.
- Follow general inspection step 2 in Annex C.
- Review complaint records to determine if there are any trends that may require further investigation or if the scope of the inspection should be adjusted.
- Where complaints are substantiated, confirm that root cause was determined and whether this information was used to prevent recurrence.
- Verify that the corrective action taken has addressed the issue.
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