Dairy Establishment Inspection Manual – Chapter 3 - Registration of Establishments
Appendix 3 - 4 Dairy Plant Registration and Review of Plans and Specifications - Check List - Part I

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a) General Evaluation

Plant Name: space

Address: space

Date: space Completed By:space

Example of completed form for Prerequisite Program Evaluation Checklist for Dairy Plant Registration
Table Summary:

This table shows the prerequisite program inspection criteria for registration of a dairy establishment, the related DPR regulatory and DEIM sections and columns used to record the inspection results (S (satisfactory), NS (not satisfactory)) and comments.

Surroundings DPR DEIM Satisfactory Not Satisfactory Comments
Land free of debris and refuse 11.(1)(a) 1.10.01.03
Land permits good drainage 11.(1)(b) 1.10.01.03
Not close to any source of pollution 11.(1)(c) 1.10.01.03
Establishments DPR DEIM Satisfactory Not Satisfactory Comments
General
Separate from, not direct to: living quarters, livestock housing, other incompatible operations 11.(2)(c) 1.10.01.02
Protected against entrance of insects, birds, rodents etc. 11.(1)(d) 1.10.01.03
Sufficient number of rooms to accommodate separation of incompatible operations 11.(2)(h) 1.10.01.02
Adequate means of waste removal and disposal 11.(2)(l) 1.10.01.05
Drainage and sewage systems are adequate, trapped and vented, have no cross connection or contamination possibilities 11.(2)(m)
(i)(ii)(iii)(iv)(v)
1.10.01.04 (G)
Sound construction, good repair 11.(2)(a) 1.10.01.04 1.10.01.05
All structures are durable and free of noxious constituents 11.(2)(b) 1.10.01.04
Adequate grading room, if products are graded 11.(2)(i)
Adequate means of establishing , maintaining and verifying temperatures and humidity of dairy product rooms 11.(2)(r) 1.10.02.07
Floors, Walls, Ceilings DPR DEIM Satisfactory Not Satisfactory Comments
Are constructed of acceptable materials 11.(2)(e) 1.10.01.04 (A)
Hard finish, suitable for cleaning - smooth 11.(2)(e)
(i)(ii)
1.10.01.04 (A)
Moisture impervious 11.(2)(e)
(iii)
1.10.01.04 (A)
Free of pits, indentations, cracks, crevice, ledges 11.(2)(e)
(iv)
1.10.01.04 (A)
Floors are sloped for adequate drainage 11.(2)(e)
(v)
1.10.01.04 (A)
Lights, Ventilation, Plumbing DPR DEIM Satisfactory Not Satisfactory Comments
All adequate to meet requirements of operations 11.(2)(f) 1.10.01.04 (E)
Constructed to facilitate cleaning and disinfection 11.(2)(f) 1.10.01.04
Shatter proof light bulbs and fixtures where dairy products, ingredients, food additives or packaging material are exposed 11.(2)(g) 1.10.01.04 (E)
Adequate supply of potable hot and cold water protected from contamination 11.(2)(k) 1.10.01.09 (A)
Equipment DPR DEIM Satisfactory Not Satisfactory Comments
Constructed of corrosion resistant material, free of noxious constituent and cleanable 11.(2)(n)
(i)
Chapter 16
Accessible for cleaning, servicing and inspection 11.(2)(n)(ii) Chapter 16
Effective for purpose for which it is intended 11.(2)(n)(iii) Chapitre 16
Food Contact Surfaces DPR DEIM Satisfactory Not Satisfactory Comments
Non-toxic, non-absorbent 11.(2)(o)
(i)(vi)
Chapter 16
Smooth, free from pitting, crevices, loose scale 11.(2)(o)
(ii)(iii)
Chapter 16
Resistant to normal cleaning exposures and dairy products 11.(2)(o)
(v)
Chapter 16
Dressing Rooms, Lunch Rooms Lavatories DPR DEIM Satisfactory Not Satisfactory Comments
Able to be kept clean and sanitary 11.(2)(j)
(i)
1.10.01.06 (B)
Adequate in size and equipment for number of people 11.(2)(j)
(ii)
Well lighted and ventilated 11.(2)(j)
(iii)
1.10.01.06 (B)
Lavatories must not lead directly into any room used to handle products 11.(2)(j)
(iv)
1.10.01.02
Adequate means and facilities for thorough washing cleaning and sanitizing of equipment. 11.(2)(p) 1.10.05.01 1.10.01.02
Attach To Application DPR DEIM Satisfactory Not Satisfactory Comments
Detailed plans and specifications for the establishment that shall include 10.(2)(a)
The dimensions and intended uses of the rooms and positions of doors, windows, stairways and drains 10.(2)(a)
(i)
Descriptions of the lighting, refrigeration, ventilation and plumbing systems 10.(2)(a)
(ii)
Descriptions of the types and locations of equipment to be used in the establishment 10.(2)(a)
(iii)
Descriptions of the materials used in the construction of equipment, floors, walls, ceilings and openings 10.(2)(a)
(iv)
Product flow patterns throughout the establishment 1.10.01.02
La description de l'emplacement de l'établissement par rapport aux bâtiments, routes, voies ferrées, cours d'eau et services publics avoisinants 10.(2)(a)
(v)
A copy of an outline of a sanitation program for the establishment 10.(2)(b)
The person responsible for carrying out the program 10.(2)(b)
(i)
The equipment and chemical agents available for use to bring about and maintain clean and sanitary conditions 10.(2)(b)
(ii)
The measures proposed to be taken to ensure clean and sanitary conditions 10.(2)(b)
(iii)
Pest Control Program 11.1.(10)
Recall Program 1.10.07
Certificate of water analysis including provincial potability (bacteriological analysis), and analysis for chemical and physical contaminants 1.10.01.09
Microbiological product and environmental monitoring program, including HC Lm Policy 2.2.(1) b), c), d) and e) 1.10.07.01
Microbiological Control and Records 1.10.07.03

Other Comments:
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Dairy Plant Registration and Review of Plans and Specifications - Check List - Part I

b) HTST Evaluation (High Temperature Short Time)

Plant Name: space

Address: space

Date: space Completed By:space

Example of Completed form for HTST Evaluation Checklist for Dairy Plant Registration.
Table Summary:

This table shows the DEIM sections, inspection task criteria for HTST equipment and columns used to record the inspection results (S (satisfactory), NS (not satisfactory)) and comments.

DEIM Inspection Task: HTST System Flow Schematic Satisfactory Not Satisfactory Comments
1.11.01.01 Up-To-Date and Accurate
1.11.01.02 No Cross Connections
DEIM Inspection Task: HTST System Flow Schematic Satisfactory Not Satisfactory Comments
1.11.02.01 Time and Temperature Requirements
1.11.02.02 Process Control Records
1.11.02.03 Retention of Process Control Records
DEIM Inspection Task: Constant Level Tank Satisfactory Not Satisfactory Comments
1.11.03.01 General Conditions
1.11.03.02 Design
1.11.03.03 Cover
1.11.03.04 Overflow Point/Diameter
1.11.03.05 Airspace
1.11.03.06 Level Control Device
DEIM Inspection Task Booster Pump Satisfactory Not Satisfactory Comments
1.11.04.01 General Conditions
1.11.04.02 Location
1.11.04.03 Interwiring
DEIM Inspection Task Regeneration Satisfactory Not Satisfactory Comments
1.11.05.01 General Conditions
1.11.05.02 Shutdown Capability
1.11.05.03 Pressure Differentials
DEIM Inspection Task Flow Control Device (FCD) Satisfactory Not Satisfactory Comments
1.11.06.01 General Conditions
1.11.06.02 Set and Sealed
1.11.06.03 Fail Safe (Operation) Capability
DEIM Inspection Task Heating/Cooling Satisfactory Not Satisfactory Comments
1.11.07.01 General Conditions - Heating
1.11.07.02 Heating Medium
1.11.07.03 General Conditions - Cooling
1.11.07.04 Pressure Differentials - Cooling
1.11.07.05 Cooling Medium
DEIM Inspection Task Holding Satisfactory Not Satisfactory Comments
1.11.08.01 General Conditions
1.11.08.02 Slope and Support
1.11.08.03 Holding Time Provisions
1.11.08.04 Holding Verification and Records
1.11.08.05 Sensing Chamber
1.11.08.06 Extended Hold
DEIM Inspection Task Flow Diversion Device (FDD) Satisfactory Not Satisfactory Comments
1.11.09.01 General Conditions
1.11.09.02 Divert Line
1.11.09.03 Leak Detect Capabilities
1.11.09.04 Location
1.11.09.05 Fail Safe Capability
1.11.09.06 Time Delay Relays
1.11.09.07 Device Sealed
DEIM Inspection Task Indicating Thermometer Satisfactory Not Satisfactory Comments
1.11.10.01 General Conditions
1.11.10.02 Location/Accessibility
1.11.10.03 Specifications
1.11.10.04 Calibration/Records
DEIM Inspection Task Safety Thermal Limit Recorder (STLR) Satisfactory Not Satisfactory Comments
1.11.11.01 General Conditions
1.11.11.02 Diversion Capabilities
1.11.11.03 Cut In/Cut Out
1.11.11.04 Pens
1.11.11.05 Charts
1.11.11.06 Accuracy
1.11.11.07 Sealed
1.11.11.08 Programmable Logic Controllers and Computers
DEIM Inspection Task Pressure Differential Satisfactory Not Satisfactory Comments
Controllers (PDC) Gauges
1.11.12.01 General Conditions
1.11.12.02 Location
1.11.12.03 Precision
1.11.12.04 Sealed
1.11.12.05 Records
DEIM Inspection Task Recording Thermometer Satisfactory Not Satisfactory Comments
1.11.13.01 General Conditions
DEIM Inspection Task Pasteurized Product Discharge Satisfactory Not Satisfactory Comments
1.11.14.01 Elevation
1.11.14.02 Vacuum Break
1.11.14.03 Vacuum Breaker
DEIM Inspection Task Homogenizer Satisfactory Not Satisfactory Comments
1.11.15.01 General Conditions
1.11.15.02 Recirculation Line
1.11.15.03 Relief Line
1.11.15.04 Interwiring
DEIM Inspection Task Separator/Clarifier Satisfactory Not Satisfactory Comments
1.11.16.01 General Conditions
1.11.16.02 Location
1.11.16.03 Non-Flow Promoting
1.11.16.04 Vacuum Break
DEIM Inspection Task Flavour Adjusting Equipment (FAE) Satisfactory Not Satisfactory Comments
1.11.17.01 General Conditions
1.11.17.02 Properly Valved Out
1.11.17.03 Steam Ratio Control
DEIM Inspection Task Stuffing Pump/Flow Promoting Device Satisfactory Not Satisfactory Comments
1.11.18.01 General Conditions
1.11.18.02 Proper Installation/Operation
DEIM Inspection Task Supplementary Milk Solids/Milk Fat Injection System (In-Line Standardization) Satisfactory Not Satisfactory Comments
1.11.19.01 General Conditions
1.11.19.02 Proper Installation/Operation

Other Comments
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Dairy Plant Registration and Review of Plans and Specifications - Check List - Part I

c) Batch Pasteurization Evaluation

Plant Name: space

Address: space

Date: space Completed By: space

Example of Completed Form for Batch Pasteurization Evaluation Checklist for Dairy Plant Registration
Table Summary:

This table shows DEIM manual sections, inspection task evaluation criteria for batch pasteurization and columns used to record the inspection results (S (satisfactory), NS (not satisfactory)) and comments.

DEIM Inspection Task Batch Pasteurization Records Satisfactory Not Satisfactory Comments
1.12.01.01 Temperature and Time Requirements
1.12.01.02 Process Control Records
1.12.01.03 Verification of Temperature and Time
1.12.01.04 Retention of Process Control Records
DEIM Inspection Task Batch Pasteurizer Satisfactory Not Satisfactory Comments
1.12.02.01 General Conditions
1.12.02.02 Inlet/Outlet Valves and Connections
1.12.02.03 Cover (Ports)
1.12.02.04 Air Space Heating
DEIM Inspection Task Indicating Thermometer (Batch) Satisfactory Not Satisfactory Comments
1.12.03.01 General Conditions
1.12.03.02 Specifications
1.12.03.03 Calibration/Records
DEIM Inspection Task Indicating Thermometer (Air Space) Satisfactory Not Satisfactory Comments
1.12.04.01 General Conditions
1.12.04.02 Specifications
1.12.04.03 Calibration/Records
DEIM Recording thermometer (discontinued) Satisfactory Not Satisfactory Comments
1.12.05.01 General Conditions
1.12.05.02 Recording Pen
1.12.05.03 Sensor Location
1.12.05.04 Chart Specifications
1.12.05.05 Accuracy

Other Comments
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Dairy Plant Registration and Review of Plans and Specifications - Check List - Part I

d) APPS Evaluation (Aseptic Processing and Packaging System)

Plant Name: space

Address: space

Date: space Completed By: space

Example of Completed Form for APPS Evaluation Checklist for Dairy Plant Registration
Table Summary:

This table shows the DEIM sections, the inspection task evaluation criteria for APPS and columns used to record the inspection results (S (satisfactory), NS (not satisfactory)) and comments.

DEIM Inspection Task Aseptic Processing And Packaging Flow Schematic Satisfactory Not Satisfactory Comments
1.14.01.01 Flow Schematic
1.14.01.02 No Cross Connections
DEIM Scheduled Process Satisfactory Not Satisfactory Comments
1.14.02.01 Scheduled Process
1.14.02.02 Operating Instructions
1.14.02.03 Critical Factor Adherence
1.14.02.04 Critical Factor Records
DEIM Inspection Task Constant Level Tank Satisfactory Not Satisfactory Comments
1.14.03.01 General Conditions
1.14.03.02 Design
1.14.03.03 Cover
1.14.03.04 Airspace and Overflow
1.14.03.05 Level Control Device
DEIM Inspection Task Feed Pump Satisfactory Not Satisfactory Comments
1.14.04.01 General Conditions
1.14.04.02 Location
1.14.04.03 Interwiring
DEIM Inspection Task Regeneration Satisfactory Not Satisfactory Comments
1.14.05.01 General Conditions
1.14.05.02 Pressure Differentials
DEIM Inspection Task Flow Control Device (FCD) Satisfactory Not Satisfactory Comments
1.14.06.01 General Conditions
1.14.06.02 Set and Sealed
1.14.06.03 Fail Safe Capability
DEIM Inspection Task Heating Section Satisfactory Not Satisfactory Comments
1.14.07.01 General Conditions
1.14.07.02 Heating Medium
1.14.07.03 Pressure Limit Recorder Controllers
1.14.07.04 Controllers/Settings Sealed
1.14.07.05 Ratio Controller (Direct Heating Systems)
DEIM Inspection Task Holding Satisfactory Not Satisfactory Comments
1.14.08.01 General Conditions
1.14.08.02 Slope and Support
1.14.08.03 Holding Verifications and Records
DEIM Inspection Task Flow Diversion Device Satisfactory Not Satisfactory Comments
1.14.09.01 General Conditions
1.14.09.02 Return Line
1.14.09.03 Location
1.14.09.04 Fail Safe Divert Capability
1.14.09.05 Leak Detect
1.14.09.06 Device/Panel Sealed
DEIM Inspection Task Indicating Thermometer Satisfactory Not Satisfactory Comments
1.14.10.01 General Conditions
1.14.10.02 Location / Accessibility
1.14.10.03 Specifications
1.14.10.04 Calibration/Records
1.14.10.05 Sealed
DEIM Enregistreur du seuil thermique de sécurité (ESTS) Satisfactory Not Satisfactory Comments
1.14.11.01 General Conditions
1.14.11.02 Location
1.14.11.03 Specifications
1.14.11.04 Thermal Limit Controller Sequence Logic
1.14.11.05 Calibration/Records
1.14.11.06 Sealed
1.14.11.07 Programmable Logic Controllers & Computers
DEIM Inspection Task Pressure Differential Recorder Controllers (PDC - recorder) Satisfactory Not Satisfactory Comments
1.14.12.01 General Conditions
1.14.12.02 Location
1.14.12.03 Specifications
1.14.12.04 Calibration/Records
1.14.12.05 Sealed
DEIM Inspection Task Auxiliary Temperature Recorders/Controllers Satisfactory Not Satisfactory Comments
1.14.13.01 General Conditions
DEIM Cooling Section Satisfactory Not Satisfactory Comments
1.14.14.01 General Conditions
1.14.14.02 Pressure Differentials
1.14.14.03 Cooling Medium
DEIM Inspection Task Homogenizer Satisfactory Not Satisfactory Comments
1.14.15.01 General Conditions
1.14.15.02 Homogenizer Larger Than FCD
DEIM Inspection Task Aseptic Surge Tank Satisfactory Not Satisfactory Comments
1.14.16.01 General Conditions
1.14.16.02 Sterile Air
DEIM Inspection Task Stuffing Pump Satisfactory Not Satisfactory Comments
1.14.17.01 General Conditions
1.14.17.02 Proper Installation/Operation
DEIM Inspection Task Packaging Conditions Satisfactory Not Satisfactory Comments
1.14.18.01 Packaging Material
1.14.18.02 Sterilant

Other Comments
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Dairy Plant Registration and Review of Plans and Specifications - Check List - Part I

e) Higher Heat and Shorter Time (HHST) and Extended Shelf Life Evaluation (ESL)

Plant Name: space

Address: space

Date: space Completed By: space

Example of completed form for HHST & ESL Evaluation Checklist for Dairy Plant Registration
Table Summary:

This table shows the DEIM sections, inspection task criteria for HHST and ESL, and columns used to record the inspection results (S (satisfactory), NS (not satisfactory)) and comments.

DEIM Inspection Task - Higher Heat Shorter Time And Extended Shelf Life Flow Schematic Satisfactory Not Satisfactory Comments
1.17.01.01 Flow Schematic
1.17.01.02 No Cross Connections
DEIM Scheduled Process Satisfactory Not Satisfactory Comments
1.17.02.01 Scheduled Process
1.17.02.02 Operating Instructions
1.17.02.03 Critical Factor Adherence
1.17.02.04 Critical Factor Records
DEIM Constant Level Tank Satisfactory Not Satisfactory Comments
1.17.03.01 General Conditions
1.17.03.02 Design
1.17.03.03 Cover
1.17.03.04 Airspace And Overflow
1.17.03.05 Level Control Device
DEIM Feed Pump Satisfactory Not Satisfactory Comments
1.17.04.01 General Conditions
1.17.04.02 Location
1.17.04.03 Interwiring
DEIM Regeneration Satisfactory Not Satisfactory Comments
1.17.05.01 General Conditions
1.17.05.02 Pressure Differentials
DEIM Flow Control Device (FCD) Satisfactory Not Satisfactory Comments
1.17.06.01 General Conditions
1.17.06.02 Set and Sealed
1.17.06.03 Fail Safe Capability
DEIM Heating Section Satisfactory Not Satisfactory Comments
1.17.07.01 General Conditions
1.17.07.02 Heating Medium
1.17.07.03 Pressure Limit Recorder Controllers
1.17.07.04 Controllers/Settings Sealed
1.17.07.05 Ratio Controller (Direct Heating Systems)
DEIM Holding Satisfactory Not Satisfactory Comments
1.17.08.01 General Conditions
1.17.08.02 Slope and Support
1.17.08.03 Holding Verifications and Records
DEIM Flow Diversion Device Satisfactory Not Satisfactory Comments
1.17.09.01 General Conditions
1.17.09.02 Return Line
1.17.09.03 Location
1.17.09.04 Fail Safe Divert Capability
1.17.09.05 Leak Detect
1.17.09.06 Device Sealed
DEIM Indicating thermometer Satisfactory Not Satisfactory Comments
1.17.10.01 General Conditions
1.17.10.02 Location / Accessibility
1.17.10.03 Specifications
1.17.10.04 Calibration/Records
1.17.10.05 Sealed
DEIM Safety Thermal Limit Recorder (STLR) Satisfactory Not Satisfactory Comments
1.17.11.01 General Conditions
1.17.11.02 Location
1.17.11.03 Specifications
1.17.11.04 Thermal limit controller sequence logic
1.17.11.05 Calibration/Records
1.17.11.06 Sealed
1.17.11.07 Programmable Logic Controllers & Computers
DEIM Pressure differential recorder controllers (PDC - Recorder) Satisfactory Not Satisfactory Comments
1.17.12.01 General Conditions
1.17.12.02 Location
1.17.12.03 Specifications
1.17.12.04 Calibration/Records
1.17.12.05 Sealed
DEIM Auxiliary Temperature Recorders/Controllers Satisfactory Not Satisfactory Comments
1.17.13.01 General Conditions
DEIM Cooling Section Satisfactory Not Satisfactory Comments
1.17.14.01 General Conditions
1.17.14.02 Pressure Differentials
1.17.14.03 Cooling Medium
DEIM Homogenizer Satisfactory Not Satisfactory Comments
1.17.15.01 General Conditions
1.17.15.02 Homogenizer Larger Than FCD
DEIM Surge Tank Satisfactory Not Satisfactory Comments
1.17.16.01 General Conditions
DEIM Stuffing Pump Satisfactory Not Satisfactory Comments
1.17.17.01 General Conditions
1.17.17.02 Proper Installation/Operation
DEIM Packaging Satisfactory Not Satisfactory Comments
1.17.18.01 Packaging Conditions
DEIM Packaging Satisfactory Not Satisfactory Comments
1.17.19.01 Packaging Records

Other Comments
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Dairy Plant Registration and Review of Plans and Specifications - Check List - Part II

Recommendation for Registration

Plant Name: space

Address: space

Registration Recommended

Date: space

Inspector:space

Registration Recommended

Date: space

Dairy Program Specialist: space

Date modified: