Processed Products Establishment Inspection Manual

Chapter 4 - Generic Inspection Standard

• The surrounding land is maintained to control sources of contamination such as debris and pest harbourage areas.
• The building is not located in close proximity to any environmental contaminants.
• Roadways are properly graded, compacted, dust proofed and drained.
• The surrounding property is adequately drained.

Exterior Building Structure

• The building exterior is designed, constructed and maintained to prevent entry of contaminants and pests, e.g., no unprotected openings, air intakes are appropriately located, and the roof, walls and foundation are maintained to prevent leakage.

• N/A

• Exterior of building in poor condition allowing entry of pests
• Pest harbourage areas and evidence of pest infestation inside the building
• Accumulation of stagnant/pooled water resulting in obnoxious odours, close to raw material
• Accumulation of garbage/waste resulting in obnoxious odours, close to raw material

• Inadequate drainage and pooling of water around building - no obnoxious odours
• Exterior of building in poor condition but no signs of pest entry
• Roadways not properly graded, compacted, dust proofed or drained
• Pest harbourage areas but no signs of pest entry

• Floors, walls, and ceilings are constructed of material that is durable, impervious, smooth, cleanable, and suitable for the production conditions in the area.
• Where appropriate, wall, floor and ceiling joints are sealed and angles are coved to prevent contamination and facilitate cleaning.
• Floors, walls and ceilings are composed of materials that will not result in the contamination of the environment or food.
• Floors are sufficiently sloped to permit liquids to drain to trapped outlets.
• Ceilings, overhead structures, stairs, and elevators are designed, constructed and maintained to prevent contamination.

Windows and Doors

• Windows are sealed or equipped with close fitting screens.
• Where there is a likelihood of breakage of glass windows that could result in the contamination of food, the windows are constructed of alternative materials or are adequately protected.
• Doors have smooth, non-absorbent surfaces and are close fitting and self-closing where appropriate.

Process Flow Separation

• Adequate separation of activities is provided by physical or other effective means where cross contamination may result.
• Buildings and facilities are designed to facilitate hygienic operations by means of a regulated flow in the process from the arrival of the raw material at the premises to the finished product.

• N/A

• Windows and doors improperly sealed and evidence of major infestation and contamination in the establishment
• Flaking paint or rust on overhead structures and wall that may result in contamination
• Inadequate drainage causing stagnant/pooled water and obnoxious odours in close proximity to foods
• Incompatible operations with potential of cross contamination of pathogens (salmonella, listeria etc.) in ready to eat frozen foods

• Floors not properly sloped, and pooling of water - no obnoxious odours
• Windows and doors improperly sealed and pest entry possible, etc.
• Cleaning and handling operation of raw material in close proximity to product in process.

• 540 lux (50 foot candles) in inspection* and grading areas;
• 220 lux (20 foot candles) in work areas;
• 110 lux (10 foot candles) in other areas;

* Inspection areas are defined as any point where the food product or container is visually inspected or instruments are monitored (e.g., empty container evaluation, product sorting, inspection, grading and sampling).

Light bulbs and fixtures located in areas where there is exposed food are of a safety type or are protected to prevent contamination of food in case of breakage.

• remains of broken glass from lighting found on product or on food contact surface

• unprotected lighting over exposed food in processing
• light intensity is not sufficient to conduct process control activities, e.g., reading critical instruments

• Light intensity is below minimum requirements and process safety not affected in adequate drainage and pooling of water around building - no obnoxious odours

• Ventilation provides sufficient air exchange to prevent unacceptable accumulations of steam, condensation, dust, excessive heat or contaminated air.
• Ventilation openings are equipped with close fitting screens or filters as appropriate to prevent the intake of pests or contaminated air. Filters are cleaned or replaced as necessary.

• N/A

• Inadequate ventilation and high risk of contamination, i.e., infestation, microorganisms, condensation, etc.
• Condensation dripping on product which will have no further kill step

• Inadequate ventilation, condensation/mould evident, contamination not likely
• Condensation dripping on product which will have no further kill step

• Drainage and sewage systems are equipped with appropriate traps and vents. Drains are easily cleanable in processing area.
• Establishments are designed and constructed so that there is no cross-connection between the sewage system and any other waste effluent system in the establishment.
• Effluent or sewage lines do not pass directly over or through production areas unless they are controlled to prevent contamination.
• Adequate facilities and equipment are provided and maintained for the storage of waste and inedible material prior to removal from the establishment. These facilities are designed to prevent contamination.
• Containers used for waste are clearly identified, leak proof and where appropriate are covered.
• Waste is removed and containers are cleaned and sanitized at an appropriate frequency to minimize contamination potentials.

• N/A

• Leaking waste lines over production areas
• Accumulation of garbage/waste resulting in obnoxious odours and /or potential cross-contamination
• Waste effluent backing up into food handling areas

• Cross connections identified between sewage and other waste effluent system(s)
• Accumulation of raw product, garbage, waste; no obnoxious odours or potential for cross contamination
• Waste containers not clearly identified
• Inadequate cleaning of waste containers
• Drains not easily cleanable

1. Plumbing code
2. Handle all wastes
3. Traps and vents
4. No cross-contamination of effluents
5. Located to prevent product contamination

• Processing areas are provided with an adequate number of conveniently located handwashing stations with trapped waste pipes to drains.
• Washrooms have hot and cold potable running water, soap dispensers, soap, sanitary hand drying equipment or supplies and a cleanable waste receptacle.
• Lavatories are separate and do not lead directly into any room used for handling a food product.
• Washrooms, lunchrooms and change rooms are maintained in a clean condition and are adequately ventilated.
• Handwashing notices are posted in prominent places in the establishment. Instructing employees engaged in the preparation of a food product to clean their hands immediately after using toilet facilities.

• N/A

• No soap for handwashing for employees manipulating food, post-blancher area (frozen foods)

• No soap, no hot water for handwashing
• No handwash stations in production areas
• No handwashing notices posted
• Not adequately ventilated
• Lavatories not separated from processing areas
• Untidy and unclean - poor housekeeping

1. Kept clean and in a sanitary condition
2. Adequate in size and equipment
3. Well lighted and ventilated
4. Lavatories are separated from food handling area

14(1)(i) Hot and cold potable water

• Facilities are constructed of corrosion resistant materials capable of being easily cleaned and are provided with potable water at temperatures appropriate for the cleaning chemicals used.
• Equipment cleaning and sanitizing facilities are adequately separated from food storage, processing and packaging areas to prevent contamination.

• N/A

• Inadequate separation from food areas with a high risk of contamination with hazardous materials

• Inadequate separation from food areas but a low risk of contamination
• Facilities not properly constructed, i.e. not easily cleaned, surfaces cannot withstand cleaning chemicals which are being used

Water testing

Water meets the requirements of Health Canada's "Guidelines for Canadian Drinking Water Quality".

• Microbiological analysis
  • Satisfactory microbiological analysis results of the source water is provided by the operator prior to establishment registration and then at least once per year.
    • If the source of the water is a private well, the manufacturer undertakes analysis.
    • If the source of the water is municipal and the analysis is carried out be the municipality, the manufacturer can obtain the results. Otherwise, the manufacturer undertakes analysis.
  • In-plant water is analyzed by the manufacturer at a frequency adequate to confirm its potability (at least once per year). Such analyses will determine if the plant's water lines and filters are sanitary and effective. Suitable sites for sampling include water fountains, hand-washing stations, and points of use, such as hoses.
• Chemical analysis
  • Satisfactory chemical analysis results of the source water are provided by the operator prior to establishment registration.
    • If the source of the water is a private well, the manufacturer undertakes analysis
    • If the source of the water is municipal and the analysis is carried out by the municipality, the manufacturer can obtain their results. Otherwise, the manufacturer undertakes analysis.
  • Subsequent testing, once an establishment is registered may be required if there is any change to the source of the water or piping system within the establishment.

Ice testing

Ice used as an ingredient or in direct contact with food is made from potable water and is protected from contamination

• Microbiological analysis
  • Ice produced at the establishment is analyzed at a frequency adequate to confirm microbial quality (at least once per year).
  • Ice purchased by the manufacturer is treated as an incoming ingredient and is assessed under task 501 - Ingredients and Packaging Materials Storage.

Water treatment

Source water (municipal or well) is treated and monitored if it poses a contamination risk to the product.

In plant water is treated and monitored as appropriate to the intended purpose if it is:

• Re-circulated (e.g., cooling water in a juice pasteurizer);
• Reused (e.g., in cooling tunnels for jams, pickles, etc.)*;
• Recovered from processing steps for further use (e.g. finished product rinse water used to flume raw or partially prepared products).
• *Note: See 5.1.11.2 for LACF cooling water control.

The treatment method (ozone, chlorine, UV, filtration etc.) and the factors relating to its efficacy (turbidity, pH, time, temperature, etc.) are monitored and controlled to prevent contamination.

• In the case of chemical bactericides (e.g., chlorine), the residual levels are monitored at a frequency adequate (at least twice daily) to ensure that the established limits are met.

Water treatment chemicals, when used, are listed in the "Reference Listing of Accepted Construction Materials, Packaging Materials and Non Food Chemical Products", published by CFIA or the Manufacturer has a "letter of no objection" from Health Canada.

Water system design

There are no cross connections between potable and non potable water supplies.

Re-circulated water has a separate distribution system which is clearly identified.

All hoses, taps and other similar sources of possible contamination are designed to prevent back flow or back siphonage.

Where it is necessary to store water, storage facilities are adequately designed, constructed and maintained to prevent contamination (e.g., covered).

Adverse water events

The manufacturer has an action plan in the event of a boil water advisory/water safety alert. The action plan includes, but is not limited to disinfection or treatment of plant water, alternate water source, plant closure and an investigation into the safety of the product produced prior to the advisory.

• N/A

• Water or food contact ice does not meet the safety requirements of Health Canada's "Guidelines for Canadian Drinking Water Quality".
• Water or ice is not tested.
• Re-circulated or reused water is not treated and/or monitored.
• Cross-contamination of potable and non-potable water.
• Use of non-accepted chemicals for water treatment which may be hazardous.

• Water treatment chemicals not accepted but not hazardous.
• Water or ice is not tested at an adequate frequency.
• Re-circulated or reused water is not appropriately treated and/or monitored.
• The treatment method and it's related factors are not monitored and/or controlled.
• The manufacturer lacks or has an incomplete action plan for an adverse water event.

• Boiler treatment chemicals used should be listed in the "Reference Listing of Accepted Construction Materials, Packaging Materials, and Non-Food Chemical Products" published by CFIA or the manufacturer has a "letter of no objection" from Health Canada.
• Boiler feedwater is tested regularly and the chemical treatment is controlled to prevent contamination.
• The steam supply where there is direct food contact or in contact with food contact surfaces is generated from potable water.
• Traps are provided as necessary to ensure adequate condensate removal and elimination of foreign materials.

• N/A

• N/A

• Direct steam injection and no traps for condensate removal.
• Possible carryover of chemicals with steam and direct contact with product.
• Food contact steam made from non potable water.

Water Potability Records

• water source
• sample site and date
• analytical results
• analyst
• analysis date

Water Treatment Records

• method of treatment
• sample site and date
• analytical results
• analysis date
• analyst

Boiler Feedwater Treatment Records

• method of treatment
• analytical results
• date
• analyst

Flume Water Treatment Records

• method of treatment
• analytical results
• date
• analyst

Chiller Water Treatment Records

• method of treatment
• analytical results
• date
• analyst

Ice Records

• source
• date
• analytical results
• analyst
• analysis date

Adverse Water Event Records

• Dates
• action(s) taken
• details of event
• products affected and/or analytical results (if applicable, including prior to the event)

• N/A

• N/A

• records are incomplete

• Carriers are inspected by the manufacturer on receipt and prior to loading to ensure they are free from contamination and suitable for the transportation of food.
• The manufacturer has a program in place to demonstrate the adequacy of cleaning and sanitizing, e.g., for bulk carriers a written cleaning and sanitizing procedure is available.
• Where the same carriers are used for food and non-food loads (e.g. dual use), procedures are in place to restrict the type of non-food loads to those that do not pose a risk to subsequent food loads after an acceptable cleanout or to food loads in the same shipment. For example:
  • The manufacturer receives a cleaning certificate and a record of the previous material transported prior to loading or unloading dual use tankers.
  • The manufacturer has a program in place to verify the adequacy of cleaning, e.g., tanker inspections, sensory evaluation of ingredients and/or analysis as appropriate.
• Carriers are loaded, arranged and unloaded in manner that prevents damage and contamination of the food.
• Bulk tanks are designed and constructed to permit complete drainage and to prevent contamination.
• Where appropriate, materials used in carrier construction are suitable for food contact.

• Tankers used for food and hazardous materials, without a cleaning certificate, no record of previous material transported and adequacy of cleaning not verified.

• Tankers or carriers are used for food and hazardous, non-food materials but a cleaning certificate and history of use is provided. The company has an inspection protocol for cleanliness and maintenance.
• Tankers or carriers are inspected, but are not rejected for unacceptable conditions, e.g. smell of gas, pesticides, hazardous foreign material, etc.;
• Use of dual tankers not adequately designed for complete drainage.

• No cleaning certificate provided with tanker used for food and non-hazardous, non-food materials
• No program to verify adequacy of cleaning but cleaning certificate provided with tanker used for food and non-hazardous, non-food materials
• Inadequate inspection of carriers for cleanliness and maintenance
• No inspection of carriers of bulk raw product e.g., raw peas

• Ingredients requiring refrigeration are transported at a temperature that assures food preservation and the temperature is appropriately monitored. Frozen ingredients are transported at temperatures that do not permit thawing.
• Finished product is transported under conditions to minimize microbiological, physical and chemical deterioration, e.g., in the case of low acid canned foods thermophilic spoilage, rusting or corrosion.

• N/A

• Evidence of thawing of frozen vegetables being received in carriers with no safety evaluation
• Transportation of temperature/time sensitive ingredients consistently above 4°C with no safety evaluation e.g. Pork for beans with pork

• Food is transported under elevated temperature conditions which result in minimal product spoilage

• Ingredients requiring refrigeration are stored at 4°C (39°F) or less and are appropriately monitored. Frozen ingredients are stored at temperatures that do not permit thawing and are appropriately monitored.
• Ingredients and packaging materials are handled and stored in a manner to prevent damage and/or contamination.
• Ingredient, and where appropriate, packaging material rotation, is controlled to prevent deterioration and spoilage.
• Humidity sensitive ingredients and packaging materials are stored under appropriate conditions to prevent deterioration.

• N/A

• Open/damaged containers of ingredients not covered to prevent contamination
• Storage of temperature/time sensitive ingredients consistently above 4°C
• Improper storage or inadequate rotation of nutrients, e.g. vitamins, resulting in a loss of potency

• Storage at greater than 4°C and low risk of spoilage, e.g., short storage time
• Inadequate rotation of ingredients or packaging materials resulting in possible deterioration or spoilage, e.g., dried out sealing compound on over age can ends

• Chemicals are received and stored in a dry, well ventilated area.
• Non-food chemicals are stored in designated areas such that there is no possibility for cross-contamination of food or food contact surfaces.
• Where required for on-going use in food handling areas these chemicals are stored in a manner that prevents contamination of food, food contact surfaces or packaging materials.
• Chemicals are stored and mixed in clean, correctly labeled containers.
• Chemicals are dispensed and handled only by authorized and properly trained personnel.

• N/A

• Hazardous non-food chemicals stored in an unlabelled food container in a processing area

• Chemicals stored in corroded containers
• Storage conditions inadequate, e.g., damp or insufficient ventilation, not directly affecting finished product or equipment
• Non food chemicals in unlabelled containers in the processing areas

• Finished product is stored and handled under conditions to minimize deterioration, e.g., thermophilic spoilage, rusting or corrosion.
• Finished products requiring refrigeration are stored at 4°C (39°F) or less and are appropriately monitored.
• Finished product is stored and handled in a manner to minimize damage, e.g., control of stacking heights and forklift damage.
• Stock rotation is controlled to minimize deterioration that could present a health hazard, e.g., rusting, corrosion resulting in leakage.
• Returned defective or suspect product is clearly identified and isolated in a designated area for appropriate disposition.

• No evaluation of leaking and/or swollen LACF product, e.g., customer returns or product in the warehouse

• No evaluation of leaking product, e.g., customer returns or product in the warehouse

• Inadequacies in stock rotation system to ensure oldest product is shipped first and evidence of container deterioration
• Inadequate control of finished product handling, e.g., damaged containers evident

• Frozen product is stored in a freezer storage maintained at -18°C or lower. Temperature fluctuations are undesirable.
• Freezer temperatures are monitored on a regular frequency.
• Ice buildup is controlled.
• Stock rotation is controlled to minimize deterioration that could present a quality problem e.g. freezer burn.
• Finished product is stored and handled in a manner to minimize damage, e.g., control of stacking heights and forklift damage.
• Returned defective or suspect product is clearly identified and isolated in a designated area for appropriate disposition.

• N/A

• Freezer temperatures are not monitored or maintained and thawing of product is found

• Freezer temperatures are not monitored or maintained
• Inadequacies in stock rotation system to ensure oldest product is shipped first
• Inadequate control of finished product handling, e.g., damaged containers evident
• No segregation of returned product, e.g., customer returns or product in the warehouse

• Equipment is designed, constructed and installed:
  • To ensure that it is capable of delivering the requirements of the process
  • To be accessible for cleaning, sanitizing, maintenance and inspection
  • To prevent contamination of the product during operations, e.g., location of lubricant reservoirs
• Equipment and utensils used to handle contaminated materials shall be properly identified and shall be used for its intended purpose.
• Where necessary, equipment is exhausted to the outside to prevent excessive condensation, e.g., filler bowls, blanchers, retorts.
• Equipment is designed, constructed and installed to permit proper drainage and where appropriate, is connected directly to drains.

• Special equipment not functioning as intended and affecting process and product safety, e.g., dicers, slicers producing too large or too small a particle not meeting the requirements of the process (LACF)

• Consistent contamination due to poor design/installation, e.g., product residues of a putrid, filthy, rotten, disgusting nature
• Potential contamination of a chemical nature due to poor design/installation, e.g., by dripping of lubricants from bearings, gears, motors, and other overhead equipment

• Design, construction and/or installation does not permit adequate cleaning (e.g., equipment installed too close from walls and ceilings)
• Manually cleaned equipment not easily disassembled
• Improper drainage or exhaust of equipment
• Welded joints not even, continuous and smooth
• Wooden utensils used in processing area
• Utensils used to handle contaminated materials are not properly identified
• Tanks improperly covered

1. Acceptable material
2. Cleanable and accessible
3. Effective

• Food contact surfaces of equipment and utensils are smooth, non-corrosive, non-absorbent, non-toxic, and free from pitting, cracks or crevices and can withstand repeated cleaning and sanitation.
• Coatings, paints, chemicals, lubricants and other materials used for food contact surfaces or equipment where there is a possibility of contact with food should be listed in the "Reference Listing of Accepted Construction, Packaging Materials and Non-Food Chemical Agents", published by CFIA or the manufacturer should have "a letter of no objection" from Health Canada.

• N/A

• Use of coatings, paints or materials not listed in the CFIA Reference listing or reviewed by Health Canada , which are potentially hazardous (e.g., a lubricant intended for automotive use).

• Surfaces are pitted, cracked, absorbent.
• Welded joints not even, continuous and smooth.
• Use of coatings, paints or materials not listed in the CFIA Reference listing or reviewed by Health Canada , known to be non-hazardous (e.g., a plastic pipe that is not on the Reference Listing).
• Utensils/equipment not stored on clean, rust-resistant racks.

1. non-toxic
2. smooth
3. free from pitting, crevices and loose scale
4. non-absorbent
5. cleanable

• The manufacturer has an effective written preventative maintenance program to ensure that equipment that may impact on food safety functions as intended. This includes:
  • A list of equipment requiring regular maintenance
  • The maintenance procedures and frequencies, e.g., equipment inspection, adjustments and part replacements are based on the equipment manufacturer's manual or equivalent, or are based on operating conditions that could affect the condition of the equipment
• The preventative maintenance program is adhered to.
• Equipment is maintained to ensure that no physical or chemical hazard potentials result, e.g., inappropriate repairs, flaking paint and rust, excessive lubrication. Specific maintenance requirements are assessed under Tasks 4.3.2, 4.3.3 and 4.3.4.

• Written protocols, including calibration methods and frequencies, are established by the manufacturer for equipment monitoring and/or controlling devices that may impact on food safety. Specific calibration requirements are assessed under Tasks 4.3.2, 4.3.3, and 4.3.4.

• Maintenance and calibration of equipment is performed by appropriately trained personnel.

• N/A

• No preventative maintenance or calibration program for critical equipment, e.g.., closing machines, retort equipment and instrumentation, pH meter for equilibrium pH (pickles).
• The maintenance program for critical equipment is deficient, e.g.., frequency less than equipment manufacturer's recommendations.
• Improper maintenance of non-critical equipment with a potential for harmful extraneous matter contamination (e.g., nails, sharp pieces of metal, glass).

• Incomplete equipment maintenance and calibration program e.g. missing frequencies for non-critical equipment.
• No written equipment maintenance and calibration program.
• No maintenance for non-critical equipment, e.g., sorting belts, ingredient containers, can transfer equipment.
• Improper maintenance of non-critical equipment, e.g., washing or sorting equipment not functioning as intended.
• Improper maintenance of non-critical equipment with a potential for non-harmful extraneous matter contamination (e.g., rust, grease, paint).

• identification of equipment
• maintenance activity
• date, person
• reason for activity

• N/A

• N/A

• Information in maintenance records not complete
• No maintenance records for critical equipment

Typical information expected in calibration records includes:

• Identification of equipment to be calibrated
• Identification of reference standard
• Date of calibration
• Person conducting calibration
• Methodology/procedure used for calibration, e.g.: temperature, pressure
• Calibration results
  • The difference, +/-, between the work instrument and reference instrument before calibration
  • The difference, +/-, between the work instrument and reference instrument after calibration

• N/A

• N/A

• Records are incomplete, e.g., calibration results (variance) not recorded
• Absence of calibration records
• Calibration not done correctly

Mercury in Glass (MIG) Thermometers, Temperature Recorders, Other Temperature Measuring Devices.

• Refer to assessment criteria in sub item 4.3.3.2 - Retort Instrumentation.

Scales/Meters

• Refer to assessment criteria in sub item 4.3.2.2 - Filling Equipment and Instrumentation.

Magnets

• The strength and type of magnets is appropriate to the use.
• Magnets are installed in manner to effectively remove ferrous metal prior to or after certain operations, e.g., dicing, slicing or filling.
• The strength of magnets is confirmed as necessary.
• Magnets are monitored as necessary to ensure effective operation and surface exposure.

Metal Detectors

• Metal detection equipment, if installed and used, is designed, constructed, installed, calibrated and maintained in accordance to the equipment manufacturer's manual to ensure effective removal of metals. This may include: adjustment for product effect, selection of target metal and size, timing of the reject mechanism and suitability for operational conditions.

Other Instrumentation

• Other specialized instrumentation necessary for the control of critical factors are in place and calibrated as necessary, e.g., pH meters, refractometer.

• No calibration of measuring equipment affecting the critical factors (e.g. size graders, dicers are not calibrated and exceed the limits of the thermal process) (LACF)

• pH meter not maintained or calibrated, in brine preparation or direct acidification (for ALACF)

• Metal detector, if installed, is functioning but not calibrated to achieve optimum sensitivity as per manufacturer's specifications
• Measuring devices for non-critical ingredients are not calibrated at the required frequency

MIG Thermometers, Temperature Recorders, Other Temperature Measuring Devices

• Refer to assessment criteria in sub item 4.3.3.2, Retort Instrumentation.

Scales/Meters

• The sensitivity is appropriate to the use.
• Scales are designed to withstand the environmental conditions or are adequately protected.
• Scales and meters are calibrated as necessary to ensure accuracy at all times.

Headspacers

• Headspacers are designed, constructed, installed and maintained to provide the required headspace and to prevent can damage.

• Scales or meters not calibrated for critical factors, (e.g. fill weight, drained weight exceeds thermal process requirements)

• Headspacer not set up to deliver required headspace resulting in excessive buckling occurs

• Measuring devices for non-critical ingredients are not calibrated at the required frequency

1. Acceptable material
2. Cleanable and accessible
3. Effective

• Container closure equipment is installed, set up and maintained according to the manufacturer's specifications.
• Equipment is capable of consistently producing hermetic seals and the required vacuum where necessary.

Note: Anytime the equipment is delivering a defect included in the Metal Defect Manual it should be evaluated as either Minor or Serious.

• closing machine cannot deliver the required vacuum for vacuum packed products

• Closing equipment set-up is deficient, (e.g. changeover in can size resulting in a risk of leakage)
• Container closure equipment is producing an unacceptable level of seam defects

• Excessive grease on closer

Steam Supply

• Steam supply is adequate to meet the minimum requirements for venting and processing under all operating conditions, e.g., the steam supply is adequate to meet the maximum demand for venting multiple retorts.

Steam Controller

• The retort is equipped with a steam controller suitable to maintain a consistent retort temperature.

Steam Inlet

• The steam inlet is large enough to provide sufficient steam and is located opposite to the vent.

Steam Spreaders

• Horizontal retorts are equipped with perforated steam spreaders that extend throughout the length of the retort.
• Crateless retorts with top steam entry are equipped with circular steam spreaders.
• Vertical retorts do not require spreaders; however, where spreaders are used they conform to the type used in the temperature distribution studies.
• The cross-sectional area of the spreader perforations is equal to 12 to 2 times the cross-sectional area of the smallest part of steam inlet line.
• Spreaders are checked regularly to ensure they are not blocked or otherwise alter steam distribution.

Valves

• Valves controlling air and water flow are designed to prevent leakage into the retort during processing, e.g., globe valves.
• Valves controlling venting are fully open and are designed such that they do not impede the rapid discharge of air and steam from retort, e.g., gate valve, plug cock.

Vents

• Vents have an atmospheric break if connected to a closed drain system.
• The cross-sectional area of manifolds connecting vent pipes from a single retort or from several steam retorts should be equal to or greater than the combined cross- sectional areas of the vents for the maximum number of retorts to be vented at one time, as identified in the temperature distribution studies.
• Manifolds connecting several retort lines are not equipped with valves.
• The manufacturer has temperature distribution studies to verify the adequacy of the piping arrangement used for venting.
• Manifold headers should be so designed to prevent accumulation of condensate.

Steam Traps

• Steam traps are maintained at an appropriate frequency to ensure proper operation.

Bleeders

• Bleeders are a minimum of 1/16" when used to bleed wells for thermometers or temperature recorder bulbs. All other bleeders are a minimum of 1/8" in diameter.
• Bleeders in vertical retorts are located opposite to the steam entry. Top steam entry retorts have a condensate bleeder located at the bottom of the retort.
• Crateless retorts with top steam entry shall have at least one 3/8" or larger condensate bleeders in the bottom door.
• All bleeders, including condensate bleeders are arranged so that the operator can observe that they are functioning adequately.

Mufflers

• Verification is required that mufflers do not impede air removal during the vent and process.

Water

• Water supply piping to the retort is equipped with backflow prevention devices or vacuum breakers to prevent back siphoning.
• Horizontal retorts with top water spreaders with upward facing holes are designed so that the header pipe extends past the location of the last basket. A single 1/4" hole is drilled in the bottom of the each end cap so that water will empty out of the spreader away from any baskets.
• Water spreaders are designed to ensure that the water is uniformly distributed for proper cooling of the containers
• For immersion cooling an overflow line is located above the top layer of containers to ensure that all containers are immersed in the cooling water.

Retort doors

• Crateless retorts are equipped with perforated false bottoms to ensure adequate steam circulation to allow condensate to drain to the condensate bleeder, and to prevent possible contact between containers and condensate.

Retort Structure

• Bottom crate supports are designed so as not to prevent adequate steam distribution.
• Retorts and baskets are designed in a manner to ensure adequate spacing between baskets and retort walls to provide uniform steam distribution.
• Baffle plates are not used in retorts.

Crates, Baskets, Divider Plates

• All crates, baskets, and dividers are uniformly perforated and sized to ensure adequate steam distribution, e.g., 1" holes on 2" centers or equivalent.
• All crates, baskets, and dividers are free from rough projections, weld beads, sharp corners, or edges that could damage the containers.

Preventative Maintenance Program

• An annual retort equipment survey.
• Inspection of pipes for evidence of internal scale buildup. Scale will reduce the internal diameter of the pipe reducing it's carrying capacity.
• Replacement of parts, e.g. valves, pipes, etc with identical parts.
• Inspection of all manual and automatic valves to ensure:
  • steam, vent and controller valves open fully
  • air and water valves do not leak into the retort
  • automatic valves

• Steam supply is inadequate and critical limits are affected, e.g., vent not achieved and possible under process
• Absence of a condensate bleeder for vertical steam retorts with |top| steam entry
• No false bottom doors for crateless retorts
• Water valve leaking allowing water to accumulate in the retort

• Bleeder discharge not visible to the operator or not checked adequately
• Dividers with different hole configurations used without process authority approval

• N/A

• Air operated control systems are equipped with adequate filter systems to supply clean dry air at sufficient pressure.
• Each retort is equipped with at least one Mercury in Glass indicating thermometer, a temperature/time recording device and one pressure gauge.
• The official temperature indicating device shall be Mercury in Glass thermometer.
• The retort processing area is equipped with an official timing device.

Temperature Measuring Devices

• Sensors or thermometer bulbs located in external wells or within the retort shell are installed to ensure a full steam flow past the entire length of the thermometer bulb or sensor.
• The manufacturer uses one temperature scale consistently throughout the processing system, i.e., Celsius or Fahrenheit.

MIG Thermometers

• Mercury in Glass thermometers are calibrated against a known standard just prior to installation, a minimum of once per year, or more frequently as necessary to ensure their accuracy. If there is a deviation of more than 0.5°C (1) from the standard thermometer, corrective action is taken. Thermometer scales are within the operating range, are easily readable to 0.5°C (1°F), and do not contain more than 4°C/cm (17°F/inch).

Temperature Recorders

• The scale of the temperature recording chart is not more than 12°C/cm (55°F/inch) within the range of 10°C (18°F) of process temperature and the chart graduation does not exceed 1°C (2°F) within 6°C (11°F) of processing temperature. The accuracy of temperature recorders is verified upon installation, a minimum once per year or more frequently as necessary to ensure their accuracy.

Other Temperature Measuring Devices

• Where used, other temperature measuring devices are installed calibrated and maintained as necessary to ensure accuracy, e.g., Resistance Temperature Detectors (RTD's), bimetal thermometers.

Timing Devices

• Timing devices and recorders are verified to ensure accuracy upon installation, annually, or more frequently as necessary to ensure accuracy.
• Where timing devices are not equipped with a power backup, controls are in place to verify that process time requirements are met.
• Official timing device should be located so that it can be easily and accurately read by the operator.

Pressure Gauges

• Each retort is equipped with an accurate pressure gauge,
  • With a range of 0 to 30 psi (0 to 206.8 kPa)
  • Graduated in divisions of 2 psi (14 kPa) or less
  • A minimum dial diameter of 32@ (8.9 cm)
  • Is connected to the retort shell or external shell by a short gooseneck tube the pressure gauge should not be more than 4" (10 cm) higher than the gooseneck
• Each pressure gauge is calibrated at least annually or more frequently as necessary to ensure accuracy.

Electronic Devices

• The capability of electronic devices is at least equivalent to that of traditional devices used for measuring and controlling critical parameters such as time, temperature and pressure (traditional devices include for example, temperature recorder controllers).

• Variance of automatic timers exceeds the limits specified in the process resulting in under processing

NOTE: "under processing" would be evaluated in chapter 5

• Calibration using a standard of unknown accuracy
• Absence of annual calibration of measuring instruments critical to food safety (ie. Indicating thermometers)

• Pressure gauge is inaccurate
• Absence of annual calibration of measuring instruments non-critical to food safety (ie. pressure gauges on still steam retorts)

• Equipment is designed, constructed, installed and maintained to prevent impact damage of containers and minimize contamination.
• Equipment is free from rough projections, sharp corners or edges that can damage containers.
• Bactericide in feed is appropriately located to ensure adequate levels and mixing of bactericide in the cooling canal.
• Cooling system is maintained to prevent the buildup of rust.

• N/A

• Equipment design, installation or maintenance is causing serious can damage, e.g., timing, speeds on conveyors/transfer points not synchronized, conveyors causing cable cuts
• Bactericide in feed inappropriately located to ensure adequate residual in the cooling canal

• Minor can damage caused by inadequate equipment design, e.g., can unscramblers, busse unloaders, conveyors

1. Acceptable material
2. Cleanable and accessible
3. Effective

• Low vacuum detection equipment is installed at an appropriate location in the line to permit efficient inspection of vacuum in post process containers.
• Units are installed, calibrated and maintained as appropriate.

• N/A

• Equipment not functioning as intended (e.g., units not adequately installed, maintained or calibrated; test cans passing through unit undetected)

• The frequency of calibration is less than that recommended by the equipment manufacturer

1. Acceptable material
2. Cleanable and accessible
3. Effective

• Appropriate training in personal hygiene and hygienic handling of food is provided to all food handlers at the beginning of their employment.
• The original food hygiene training is reinforced and updated at appropriate intervals.

• N/A

• No employee training

• Employees trained with no written program

• Personnel are trained to understand the importance of the critical control points for which they are responsible; the critical limits, the procedures for monitoring, the action to be taken if the limits are not met, and the records to be kept.
• Retort operators are trained to have current knowledge of equipment and process technology, e.g., apprenticeship training.
• Retort operators have successfully completed, or are supervised by an individual who has successfully completed a thermal processing course from a recognized individual or institution.
• Personnel responsible for conducting and supervising visual and destructive container examination are trained to have complete knowledge of container defects and evaluation.
• Personnel responsible for conducting post-process container integrity evaluations are appropriately trained to ensure proper assessment of rejects for container defects, e.g., line operators may be trained in general container defect recognition and may perform assessments on obvious causes for rejection, however, non-obvious causes for rejection may be referred to container integrity experts such as quality assurance personnel or the container supplier.
• Personnel responsible for maintenance of equipment impacting on food safety, have been appropriately trained to identify deficiencies that could affect product safety and to take the appropriate corrective action, e.g., in house repairs, contract repairs. Individuals performing maintenance on specific equipment are appropriately trained e.g., closing machines, recorders, double dud detector equipment etc.
• Personnel and supervisors responsible for the sanitation program are appropriately trained to understand the principles and methods required for effective cleaning and sanitizing.
• Additional training is provided as necessary to ensure current knowledge of equipment and process technology, e.g., specific technical training, apprenticeship programs, etc.

• N/A

• Personnel do not understand the critical control points for which they are responsible
• Retort operators or their supervisors have not completed a thermal processing course
• Maintenance staff responsible for critical equipment have not received appropriate training

• employee follows the method of sanitation but has not been trained in the principles for cleaning and sanitation

• All persons wash their hands upon entering food handling areas, before starting work, after handling contaminated materials, after breaks and after using toilet facilities. Where necessary to minimize microbiological contamination, employees use disinfectant hand dips.
• Protective clothing, hair covering, footwear and/or gloves, appropriate to the operation in which the employee is engaged, are worn and maintained in a sanitary manner, e.g., employees in production areas wear effective hair coverings.
• Any behaviour which could result in contamination of food, such as eating, use of tobacco, chewing gum, or unhygienic practices such as spitting are prohibited in food handling areas.
• All persons entering food handling areas remove jewellery and other objects which may fall into or otherwise contaminate food. Jewellery which cannot be removed, including wedding bands and medical alerts, is covered.
• Personal effects and street clothing are not kept in food handling areas and are stored in a manner to prevent contamination.
• Access of personnel and visitors is controlled to prevent contamination. The traffic pattern of employees prevents cross-contamination of the product.

• N/A

• Employees handling food not washing their hands nor using disinfectant hand dips which could contamination of product

• Personal effects at the work station
• Personnel wearing jewellery, e.g., earrings
• Uncontrolled visitor access
• Unclean and improper clothing
• Items in breast pockets
• Employees eating, smoking, chewing gum
• Poor hygienic practices
• No or improperly worn hair covering

• The manufacturer has and enforces a policy to prevent personnel known to be suffering from, or known to be carriers of a disease transmissible through food, from working in food handling areas.
• The manufacturer requires that employees advise management when they are suffering from a communicable disease likely to be transmitted through food.
• Employees having open cuts or wounds do not handle food or food contact surfaces unless the injury is completely protected by a secure waterproof covering, e.g., rubber gloves.

• N/A

• Employees working with open cuts and wounds handling food
• Employees working with uncovered bandages on hands handling food

• Manufacturer does not have a policy for food handlers suffering from diseases transmissible through food

• The identification of responsible person
• The frequency of the activity
• Chemicals and concentration used
• Temperature requirements

Procedures for cleaning and sanitizing as follows:

Cleaned Out of Place Equipment (C.O.P., e.g., hand-cleaned)

• Identify equipment and utensils
• Disassembly/reassembly instructions as required for cleaning and inspection
• Areas on equipment requiring special attention are identified
• Method of cleaning, sanitizing and rinsing

Cleaned in Place Equipment (C.I.P)

• Identify lines and/or equipment
• CIP setup instructions
• Method of cleaning, sanitizing and rinsing
• Disassembly/reassembly instructions as required for cleaning and inspection

The manufacturer has a written cleaning and sanitation program for premises (production and storage areas) which specifies areas to be cleaned, method of cleaning, person responsible and the frequency of the activity. Special sanitation and housekeeping procedures required during production are specified within the document, e.g., removal of product residues during breaks.

Chemicals are used in accordance with the manufacturer's instructions and should be listed in the "Reference Listing of Accepted Construction, Packaging Materials and Non-Food Chemical Agents", published by CFIA or the manufacturer should have a "letter of no objection" from Health Canada.

Cleaning and sanitizing equipment is designed for its intended use and is properly maintained.

The sanitation program is carried out in a manner that does not contaminate food or packaging materials during or subsequent to cleaning and sanitizing, e.g., aerosols, chemical residues.

Effectiveness of the sanitation program is monitored and verified (e.g., by routine inspection of premises and equipment and/or microbiological testing) and where necessary, the program is adjusted accordingly.

Operations begin only after sanitation requirements have been met.

• N/A

• Incomplete sanitation program resulting in improper rinse of food contact surface and a contamination of product with concentrated cleaning material

• Incomplete sanitation program
• Chemical used in sanitation program not listed in the "Reference Listing of Accepted Construction, Packaging Materials and Non-Food Chemical Agents", published by CFIA.
• Chemical used for cleaning food contact surface not listed in the "Reference Listing of Accepted Construction, Packaging Materials and Non-Food Chemical Agents", published by CFIA
• No written sanitation program
• Effectiveness of the sanitation program is not monitored and verified

• Food contact surfaces are maintained in a sanitary manner, free from accumulations of food particles, dust, grease, grime
• Sanitation program as written is followed - frequency; equipment is disassembled as required; correct chemicals and concentrations are used; etc.
• Utensils and tools are stored on conveniently located rust-resistant rack
• Sanitation is carried out in a manner that does not contaminate food or packaging materials (remove, cover or other adequate protection)

• N/A

• Equipment was not completely clean after the final kill step e.g., post blanch equipment not clean on frozen product lines
• Clean up not done as scheduled -some build up of food materials and/or foul odour
• Incomplete rinsing after cleaning resulting in chemical contamination of product
• Poor sanitation practices e.g. splashing of cleaning chemicals and wash up water onto operating lines or packaging material

• Utensils are sitting on the floor
• Clean up not done as scheduled -light build up of food materials and no odour
• Equipment was not completely clean for products with a final kill step
• Pre blanch equipment was not completely clean after cleanup

• The premises are kept free of debris and refuse
• Floor, wall and ceiling surfaces are maintained in a sanitary manner, free from accumulations of food particles, dust, grease, grime

• N/A

• Poor sanitation practices e.g., splashing of cleaning chemicals and wash up water onto operating lines or packaging material
• Heavy buildup of mould or old food materials on windows, doors, walls, ceilings etc mostly in post kill step areas where there is a high risk of food contamination

• Walls, ceilings, floors, doors, windows and/or unclean - light build up of mould or old food materials - pre kill step areas, storage, receiving
• Dusty Overhead beams throughout plant
• Poor housekeeping which may result in potential harbourage of pests

• N/A

• N/A

• No sanitation records
• Missing dates or initials on a daily sanitation record
• Isolated instance of missing information on a daily sanitation record

• The identification of the person at the manufacturer assigned responsibility for pest control.
• Where applicable, the name of the pest control company or the name of the person contracted for the pest control program.
• The list of chemicals used, the concentration, the location where applied, method and frequency of application.
• A map of trap locations.
• The type and frequency of inspection to verify the effectiveness of the program.
• Pesticides used are registered under the Pest Control Products Act and Regulations and are listed in the "Reference Listing of Accepted Construction, Packaging Materials and Non-Food Chemical Agents", published by CFIA. Pesticides are used in accordance with the label instructions.
• Treatment of equipment, premises or ingredients to control pests is conducted in a manner to ensure that the maximum residue limit of the Food and Drugs Act and Regulations is not exceeded, e.g., limiting the number of fumigation treatments per lot.
• Birds and animals, other those intended for slaughter, are excluded from establishments.
• Pallets and materials are stored at a sufficient distance from the wall to avoid potential harbourage of pests. Congested storage conditions are avoided.

• N/A

• Major infestation with a high risk of contamination
• Pesticide used inappropriately and risk of direct contamination (spraying during operation)

• Pesticides not listed in the "Reference Listing of Accepted Construction, Packaging Materials and Non-Food Chemical Agents", published by CFIA
• No map of trap locations
• No person designated for pest control
• Low level infestation
• No written pest control program
• Materials stored too close to walls - possible harbourage

• Results of the inspection programs and the corrective action taken e.g., findings in traps, location of insect infestation.
• Record of pest control activities, e.g., pesticide used, method and location of application, dates of fumigation, etc.
• Date, person responsible.

• N/A

• N/A

• No pest control records
• Missing dates or initials on pest control record
• Isolate instance of missing information on pest control record

• The manufacturer has identified the person or persons responsible for receiving, evaluating, categorizing and/or investigating complaints.
• Complaints are accurately categorized according to health and safety risks.
• Potentially serious complaints are forwarded immediately to appropriate personnel for action.
• Safety and contamination complaints are investigated by appropriately trained technical personnel.
• Examination of the complainant's specimen, retail product or other product of the same code is conducted on complaints related to food safety.
• The depth of the investigation is appropriate to the risk and similar complaint trends.
• Appropriate corrective action is taken for deviations identified during the investigation.

• No investigation of complaints involving putrid swollen cans (LAF)

• Complaints affecting food safety (illness, glass, metal, swells, spoilage, leakage, etc.), are not referred to appropriate personnel for action
• Complaints not investigated thoroughly, e.g., a complaint of a putrid, swollen can is only superficially investigated, process records not reviewed
• Potentially serious complaints are not investigated promptly

• No investigation of complaints involving swollen high acid cans

Consumer Information

• Name, address, telephone number, date received
• Details of complaint and/or illness
• Product name, code, size
• Retail outlet

Investigation

• Name of person responsible for investigation
• Date investigated
• Findings of investigation
• Corrective action taken

• N/A

• No records of health and safety complaints and investigations

• Records are incomplete but there is sufficient information to verify the adequacy of complaint investigation, e.g., consumer name, address, date, retail outlet, etc.

• The person or persons responsible, e.g., recall coordinator(s) including after hours name and contact.
• The roles and responsibilities for coordination and implementation of a recall.
• Methods to identify, locate and control recalled product.
• A requirement to investigate other products that may be affected by the hazard and that should be included in the recall.
• Procedure for monitoring the effectiveness of the recall, e.g., effectiveness check to the appropriate level of distribution specified in the recall notice.
• Appropriate CFIA local office coordinates.

Recall notification as follows:

• Amount of product produced, in inventory and distributed
• Name, size, code or lot numbers of food recalled
• Area of distribution of product, e.g., local, national, international
• Reason for the recall

• N/A

• N/A

• Incomplete written recall plan
• No written recall plan

For low acid foods and acidified low acid foods:

• The container shall be marked in a legible and permanent manner.
• The code mark identifies the establishment, the product*, the day, month and year in which the food was rendered commercially sterile.
• *The product identification is not mandatory when the product is packed in a transparent container through which the product can be seen and identified.
• Code marks used and the exact meaning of the code are available.

For graded canned fruits:

• On the label or on the container, a code mark indicating the establishment where the product was packed and the date of packing.

For products prepared in a registered establishment which are packed for a first dealer under his private label:

• The registration number of the establishment or his identifying code mark shall appear on the label or be embossed or inkjetted on the container.

For other food products

• Coding is suggested but not mandatory. However if the food product is not coded, it may trigger to recall all production, when a recall is necessary.
• Where used, case codes are legible and represent the container code within.
• All packages in which containers of food products are packed shall be marked on one panel with the registration number of the establishment in which the product was packed and the name and address of the operator or the first dealer.

• N/A

• N/A

• Case code does not coincide with can code
• No code, illegible code (where code is mandatory)

• Periodic testing (internal simulations) to verify the capability of the recall plan to rapidly identify and control a code lot of potentially affected product and reconcile the amount of product produced, in inventory and in distribution. Any deficiencies in the recall plan are identified and corrected.

• N/A

• Recall plans tested and found not to be effective. No corrective action taken

• Recall plans have never been tested
• Identified deficiencies have never been corrected

• Product identification and size
• Lot number or code
• Quantity
• Customer names, addresses, and phone numbers to the initial level of product distribution

• N/A

• No distribution records

• Information on distribution records incomplete

• Records are legible, permanent and accurately reflect the actual event, condition or activity.
• Errors or changes are identified in a manner such that the original record is clear, e.g., strike out with a single stroke and initial the correction/change.
• Each entry on a record is made by the responsible person at the time that the specific event occurred. The completed records are signed and dated by the responsible person.
• Critical records are signed by a qualified individual designated by management prior to distribution of product, e.g., records related to the adequacy of the thermal process and the achievement of a hermetic seal. All other records are reviewed at an appropriate frequency to provide an early indication of potentially serious deficiencies.
• Records are retained for at least one year after the expiry date on the label or container or if there is no expiry date, for at least two years after the date of sale. (for LAF, see task 5.1.10.7 - Thermal process records)
• Records are maintained and are available upon request.

• N/A

• N/A

• Inadequate record keeping practices

• Current registration certificate is posted.

• N/A

• N/A

• Current certificate of registration not posted