Chapter 5 - Sampling and Testing
Annex C: Listeria In-depth audit form
In-Depth Review
(Revision July 2002)
Establishment Name:
Est No:
Establishment Address:
Date(s):
CFIA Review Team Lead:
Members:
Establishment Representatives:
General Overview of the Establishment
Categories of activities in the establishment: (slaughter, boning cutting, further processing - cooking, dehydrating, fermenting etc.)
Types of ready-to-eat products produced:
Number of Employees:
Number of Shifts:
Situation review: Chronology leading to In depth review: include CFIA Listeria sampling results for previous and current year.
Checklist of company programs available for in depth review. Provide comment if not available. Establishments not operating under FSEP must still have prerequisite programs in place as per MOP requirements.
( ) Blueprints
( ) Written prerequisite program as per FSEP guidelines (six programs) or MOP
( ) HACCP plans (indicate # and existence of forms 1 - 10) or records of critical operations such as smokehouse charts etc.
( ) Company Sanitation test results (TPC and/or Listeria)
RTE areas: (brine chillers, packaging rooms, smokehouse areas, finished product coolers)
Non contact
Contact
NRTE areas:
Non contact
Contact
( ) Raw Ingredient test results (microbiological)
( ) Finished product test results (microbiological, aw, pH)
( ) Other test results (packaging materials, casings, spices, coatings)
Additional Comments:
Blueprints and Process Flow Diagrams
Tour the establishment: Compare blueprints and plant schematic against actual plant layout and operational use. Indicate if the statements are complete (accurate), if not provide additional information. If establishment is not operating under FSEP assess against MOP requirements.
( ) The blueprints are up to date and reflect actual plant operations.
( ) The plant schematics from the HACCP plans are accurate and reflect actual plant operations. They delineate raw product handling areas and RTE handling areas.
( ) From observations made during the plant tour, indicate areas of potential biological cross contamination between raw and ready to eat products or employee flow.
( ) Potential sites of biological cross contamination identified on company plant schematics have been listed on HACCP Form 5. (Note the area of the company program where the hazard is controlled).
( ) Form 5 controls (previously listed) are satisfactory. (review the specific control measures - are they documented, monitored and effective). For plants not operating under a HACCP system, the company has appropriate documented procedures or training to control hazards.
Summary and Comments on Blueprint and Plant Schematic: indicate any unaddressed cross contamination hazards in the plant or comment on adequacy of control measures.
HACCP plans and/or
production and process review
( ) Review HACCP plans (Focus on
HACCP plans
for RTE products) and compare with
records to determine if formulation and method of preparation is accurate, and
process controls (lethality processes, cooling schedules or other critical
control points) have been achieved.
( ) Review Form 5 for controls associated with handling of RTE following the lethality process. Are the controls documented and satisfactory?
Prerequisite Programs
Review the establishment's written prerequisite programs. The following sub elements are for reference only. The FSEP manual or MOP should be consulted for complete details. Sub elements may or may not be reviewed as deemed necessary by the review team. Focus attention mainly on ready to eat product areas. Compare observations made on site with recent company prerequisite records. Determine if deficiencies found during company monitoring activities have been appropriately corrected. Determine if records reflect actual conditions observed during operation. Provide comments as necessary. (Key points are intended for consideration and are not necessarily MOP requirements).
Premises
Building Exterior (A 1.1)
( ) There is a program to assess suitability of the building exterior.
Building Interior (A 2.1)
( ) There is a scheduled program to assess suitability of the building interior
(construction and maintenance).
Key points:
RTE areas are in good condition (no damage,
smooth surfaces, sealed, dry)
no
pooling water in floor depressions, cracks or crevices
drains
covers and openings in good condition, avoid trough or trench drains in
RTE areas
floors
kept dry during operations in RTE
areas
pipes
and insulation are dry and in good repair, covered with impervious, sanitizable
materials
doors
and windows are tight fitting
condensate drain lines from refrigeration units are connected to drains
Lighting (A 2.2)
( ) There is a scheduled program to assess suitability of the lighting
(maintenance and adequacy)
Key points:
lighting
meets program requirements for intensity
light
shades and insides are cleaned on a scheduled basis
lights
shades are dry, clean and in good condition
Ventilation (A 2.3)
( ) There is a scheduled program to assess suitability of the ventilation.
Key points:
air
filters/fans clean
intake
air is filtered
positive air pressure in RTE areas
free
of condensation
employees are trained in procedures to prevent contamination of product or
equipment when removing condensation.
tools
for condensation removal are marked and stored appropriately (away from
equipment/product) not in contact with floor or other tools used for floors,
sanitized frequently
Waste Disposal and Inedible areas (A 2.4 and A 2.5)
( ) There is a scheduled program to assess suitability of waste / inedible
containers, waste disposal areas and cleaning of waste containers.
Key points:
no cross
contamination between garbage / inedible container cleaning / storage / flow
and edible containers or RTE areas.
inedible / garbage containers are appropriately marked
RTE employees do not handle inedible or
garbage containers
Employee Facilities (A 3.1)
( ) There is a scheduled program to assess suitability of employee areas
(maintained, sanitary, proper supplies, separate areas for hanging acronym
RTE and NRTE garments etc.). Records show deficiencies and reflect actual
conditions observed during the tour / establishment inspection.
Key points:
employees remove protective clothing before entering employee areas and store
separately
RTE and NRTE garments are colour coded or otherwise
identified to prevent misuse
Equipment cleaning and sanitizing facilites (A 3.2)
( ) There is a scheduled program to assess suitability of equipment cleaning
facilities and cleaning equipment (designed for intended use, properly
maintained (sanitized), prevent contamination).
Key points:
separate washup areas are provided for raw and RTE equipment
clean
RTE equipment does not cross raw meat
areas of the plant
equipment wash area must be cleaned and sanitized daily
Water/Steam/Ice Quality and Supply (A 4.1)
( ) There is a scheduled program to assess water quality, water equipment and
use (back flow devices, filters, boiler water chemicals, no cross
contamination, adequate temperature, pressure, volume)
Key points:
water
and ice tested at required frequency and meets MOP requirements
water
is tested from random sites throughout the production area
ice
machines cleaned on scheduled basis
ice
from machines in NRTE areas not
used in RTE areas
Additional Comments - Note any conditions or procedures relating to the previous subelements which may contribute to the presence of Listeria monocytogenes in the plant environment.
Transportation and Storage
Food Carriers (B 1.1)
( ) There is a program to assess the suitability of transport containers
(design, maintenance) and proper unloading procedures.
Temperature Control (B 1.2)
( ) There is a program to assess the suitability of incoming and finished
product transport temperatures.
Incoming Material Storage (B 2.1)
( ) There is a program to assess the suitability of storage conditions
(temperature, handling) of incoming ingredients and packaging materials.
Key points:
ingredients and packaging materials protected from contamination (dust, insects
etc.)
raw
and finished products are not stored in same area unless completely packaged
and physically segregated
segregation of raw and exposed finished products is maintained in all areas
meats
stored at 4°C or less
meat
products do not remain in unrefrigerated areas
products prevented from undue rise in temperature during production
product handling /packaging rooms 10°C or
less
packaging materials are unwrapped in a manner than prevents contamination of
RTE product or area
products (meat, ingredients, liquids, packaging materials) do not accumulate in
processing areas
keep
product handling areas as dry as possible
Non-Food Chemicals Receiving and Storage (B 2.2)
( ) There is a scheduled program to assess the suitability of storage
conditions and handling of non food chemicals (approved, stored, mixed with no
cross contamination to food, used by authorized person).
Key points:
containers of non food chemicals handled by personnel working in raw product
areas are not handled by personnel working in RTE areas.
Finished Product Storage (B 2.3)
( ) There is a scheduled program to assess the suitability of storage
conditions of finished products. Returns are identified and isolated. Records
show deficiencies and reflect actual conditions observed during the
tour/establishment inspection.
Key points:
stored
at 4°C or less, if frozen -18° C or less
written return policy
no
returns handled in RTE areas or by
RTE employees until completely
reprocessed
Additional Comments - Note any conditions or procedures relating to the previous subelements which may contribute to the presence of Listeria monocytogenes in the plant environment.
Equipment
Design and Installation (C 1.1)
( ) There is a program to assess the suitability of equipment design,
construction and maintenance.
Key points: for equipment in RTE areas
equipment in good condition, accessible and easy to clean, no niches, dead
ends, crevices, welds or pits, exposed bolts or rivets; that trap debris or
moisture
no
hollow rollers conveyors or packaging film rollers
avoid
cloth type conveyor belts.
directly drained / vented if using water or steam
no
equipment directly over floor drains
prevents contamination of food or packing ingredients during use
wheels
on trucks racks are shielded to prevent splashing onto equipment or product
use of
non sanitizable equipment (wooden pallets) is avoided or prevented in areas
with exposed RTE products
separate forklift or pallet jacks for RTE and raw areas
install conveyors at least 18 inches from the floor to minimize
contamination
clean
and sanitize protective covers for use over control panels, motors
wipe
control panels with disposable sanitized wipes daily before use
Equipment maintenance and calibration (C 1.2)
( ) There is a scheduled program for the maintenance and calibration of
equipment which has an effect on food safety (list, frequency, reason). Records
show deficiencies and reflect actual conditions observed during the
tour/establishment inspection.
Key points:
there
is a list of equipment to be calibrated
frequencies of calibration and procedures are documented
there
is a list of employees who are trained for calibration
critical calibration limits are known, tests and corrective action
documented
Additional Comments - Note any conditions or procedures relating to the previous sub-elements which may contribute to the presence of Listeria monocytogenes in the plant environment.
Personnel
General Food Hygiene Training and Technical Training, Cleanliness,
Conduct / Communicable Diseases / Injuries (D 1.1, D 1.2, D 1.3)
( ) There is a program to provide training in personnel hygiene and hygienic
handling practices at beginning of employment and updating to all employees
(production, sanitation, maintenance, supervisors); and technical training is
provided for specific tasks (CCPs, sanitation, maintenance),
conduct and reporting of illness.
Key points:
all
persons entering RTE areas (including
workers, supervisors, maintenance) have received training
hands
washed upon entering production area
proper
handling of any tools, equipment or product that has fallen on the floor
clean
gloves are sanitized prior to handling RTE contact surfaces or product
footwear - waterproof and sanitized upon entering RTE areas
protective clothing - changed daily and if soiled, removed when leaving
RTE areas or kept strictly separate
from NRTE clothing, never worn in
washrooms, cafeterias or outside of plant; disposable gloves, aprons, sleeves
are used in RTE areas
NRTE equipment, wooden pallets are
not permitted in RTE areas
if
NRTE employees (including
maintenance) are required to work in RTE areas, they change protective clothing
including hairnets, sanitize helmets, boots, hands etc.
maintenance is trained to avoid cross contamination from tools in RTE areas (avoids placing maintenance tools on
RTE equipment surfaces / equipment that
has been repaired or adjusted by maintenance is cleaned and sanitized prior to
use
Sanitation and Pest Control
Sanitation Program (E 1.1.1 and E 1.1.2)
( ) There is a program to ensure that all equipment and areas are cleaned and
sanitized. Procedures during production are specified and sanitation procedures
do not contaminate food or packaging materials.
Key points:
area
is prepared prior to cleaning: remove packaging materials / food products,
cover electrical panels, disassembly of equipment
sanitation personnel have received training in sanitation, follow proper
procedures and sanitation procedures are verified by trained personnel or
QC
sanitation program includes:
- frequency of each area or equipment to be cleaned;
- special instruction (disassembly, clean with equipment running);
- cleaning equipment to be used;
- chemicals and concentrations used, temperatures, contact times; and
- the main steps for cleaning: precleaning, pre-rinse, cleaning, rinse, sanitizing, final rinse if needed.
when
possible run equipment during cleaning and sanitizing to ensure all surfaces
are exposed to cleaning agents
chemicals used are approved and used in accordance with manufacturers
instructions; use is validated by trained personnel or QC
foaming sanitizers are used for effective coverage and retention
equipment and environment is allowed to DRY completely after mid-shift or end
of day cleaning
use
dry cleanup methods for mid shifts sanitation. Specific procedures for mid
shift cleanup are described in sanitation program
use of
high pressure hoses and excessive water are avoided in RTE areas
cleaning tools, squeezes, brushes etc. are
sanitized (daily) and appropriately stored. (hang to dry or store in sanitizing
solution of 1,000 ppm quaternary ammonia compound; do not
use mops or cleaning equipment that will not completely dry between uses
hoses
or other cleaning tools for NRTE
not used in RTE areas; store
separately
separate sanitation crew for cleaning RTE areas or clean RTE areas first or change clothing, sanitize
footwear before cleaning RTE areas
equipment not used for more than 24 hours is resanitized prior to use
non
contact surfaces are cleaned at acceptable frequencies
foot
baths are cleaned daily, replenished as necessary and
monitored for effectiveness
hand
dip sanitizers are cleaned daily, replenished as necessary and monitored for
effectiveness
protective clothing (plastic aprons) stored clean and sanitized daily in
RTE areas and allowed to dry
completely; use of disposable plastic aprons is preferable
resanitize after removal of condensate above product contact areas
remove
water from floors after cleanup without splashing
cleaning crew equipment is properly cleaned, sanitized and dried after use
never
use high pressure hoses to clean a blocked drain, thoroughly clean and sanitize
area following drain cleanup
avoid
access to NRTE areas if responsible to
clean RTE areas
remove
protective clothing and store in a designated area before using employee
facilities
store
brooms and squeezies for floors with handles up
store
equipment for overhead condensation removal with handles down (but not in
contact with floor)
store
hoses off the floor after cleanup. Remove cleanup hoses from area if
possible.
brine
chillers are cleaned and sanitized at a scheduled frequency
use
disposable wipes moistened with sanitizer to wipe and remove scrapes/juices
from RTE handling equipment during
operations
wiener
peelers and/or slicers are difficult to clean and may occasionally need heat
pasteurization to remove microorganisms from hidden areas
contain "wet" RTE processes
such as mold knocking, removal of cook - in bags from other RTE process
refrigeration units cleaned and sanitized on a regular schedule
refrigeration units are included in establishment microbiological sampling
plans
E 1.1.3
( ) Operations do not begin until sanitation requirements met.
Key points:
corrective action of deficiencies is taken prior to operations
final
re-verification is done prior to operations allowed to start
microbiological tests are used to validate effectiveness of program
pre-operational sanitation inspection conducted just prior to production;
equipment is not assembled for production until pre-operational inspection is
complete.
Pest control Program (E 2.1)
( ) There is a program to ensure prevent and control pests in the
establishment.
Key points:
all
areas of the establishment are monitored (storage areas, welfare,
maintenance)
all
entrances are trapped
monitoring includes rodents and insects
Recall Program (F 1.1.1, F 1.1.2 and F 1.2.1)
( ) The company investigates consumer complaints, has a recall program plan,
identifies lots of product by date or code, maintains records of all product
distributed.
Final Report:
A final report will be completed by the In-depth review team leader covering the above subject areas and shall include recommendations for action to be taken. The report is to be copied to the Inspection Manager, Area Program Network Chief and Chief Meat Processing Inspection Programs for their further distribution.
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