A.
Food Safety Management Systems
Basic Level Requirement Assessment
B.A 1 Specifications including product release
The business shall ensure that product specifications are adequate, accurate and ensure compliance with relevant safety and legislative requirements and
customer requirements. The business shall prepare and implement appropriate product release procedures.
Comments and Observations Meets Requirement?
B.A 1.1 Are specifications available for all product inputs (raw materials, ingredients,
additives, packaging materials, rework) and finished products?
B.A 1.2 Are the available specifications compliant with relevant safety and legislative
requirements and customer requirements?
B.A 1.3 Are specifications up to date, unambiguous and available to relevant staff?
B.A 1.4 Are changes to specifications clearly communicated both internally and externally?
B.A 1.5 Is a documented Product Release Programme in place and effective to ensure final
product meets the specification?
B.A 1.6 Is a designated person responsible for controlling specifications?
Basic Level Requirement Assessment
B.A 2 Traceability
The business shall establish a traceability system, which enables the identification of product lots and their relation to batches of raw materials, primary and
consumer unit packaging materials, processing and distribution records.
Records shall include
• Identification of any out sourced product, ingredient or service;
• Complete records of batches of in process or final product and packaging throughout the production process.
• Record of purchaser and delivery destination for all products supplied.
• Record of annual testing of the traceability system.
Comments and Observations Meets Requirement?
B.A 2.1 Is a documented traceability system in place for every product that meets
regulatory and customer requirements?
(Required element – Major deduction if missing)
B.A 2.2 Is the traceability system including work in progress, post-treatment and rework
fully operational and effective?
B.A 2.3 Are records of registration and product identification through all production stages
(work in progress, post treatment, rework) available for all raw materials, primary
and consumer packaging materials, i.e. from purchase through process to the
delivery destination?
B.A 2.4 Is the traceability system tested at least annually and updated as necessary?
B.A 2.5 Is a clear labelling system in place ensuring continuous identification of the product
through all stages of production and delivery?
Basic Level Requirement Assessment
B.A 3
Food Safety Incident Management
The business shall have an effective incident management procedure covering incidents reporting, product withdrawal and recall procedure for all products
which shall include the provision of information to the customer. Record of annual review, testing and verification of the system shall be available.
Comments and Observations Meets Requirement?
B.A 3.1 Is a documented Incident Management system in place that addresses incident
reporting, product withdrawal and product recall?
(Required element – Major deduction if missing)
B.A 3.2 Is an effective Communication Plan in place with a designated, responsible person
identified to provide information to customers, consumers and regulatory
authorities?
B.A 3.3 Is the Incident Management System reviewed, tested and verified at least once a
year? (Required element – Major
deduction if missing)
B.A 3.4 Are all incidents recorded and assessed to establish their severity and consumer
risk?
Basic Level Requirement Assessment
B.A 4
Control of non-conforming product
The business shall ensure that any product which does not conform to requirements is clearly identified and controlled to prevent unintended use or
delivery.
Comments and Observations Meets Requirement?
B.A 4.1 Is a documented procedure in place to identify and manage all non-conforming raw
materials, product inputs, semi-finished and finished products, processing
equipment and packaging materials? (Required element – Major deduction if
missing)
B.A 4.2 Is the control of non-conforming product managed by competent personnel?
Basic Level Requirement Assessment
B.A 5
Corrective Action
Comments and Observations Meets Requirement?
B.A 5.1 Is a documented Corrective Action Procedure in place to analyze any complaints and
investigate non-conformities to prevent reoccurrence?
B.A 5.2 Are corrective actions (i.e. release, rework, quarantine, rejection/disposal) identified
and effectively implemented?
Subtotal number of score
Subtotal number of minus points
Score in Part A (Subtotal number of score minus subtotal number of minus points)
Percentage of the audit score in Part A
B. Good Manufacturing Practices (GMPs)
Basic Level Requirement Assessment
B.B 1 Personal Hygiene
The business shall have processes and procedures in place to ensure the implementation of personnel and visitor hygiene practices. Such practices shall
result in sanitary handling and delivery of safe and quality products to customers. The Codex Alimentarius Commission’s recommendation on personal
hygiene shall be followed.
Comments and Observations Meets Requirement?
B.B 1.1 Are personal hygiene requirements in place and applicable to all relevant personnel,
contractors and visitors? (Required element –
Major deduction if missing)
B.B 1.2 Are personal hygiene requirements compliant with legal requirements, if applicable?
B.B 1.3 Are documented communication procedures in place for personnel, contractors and
visitors addressing actions to be taken in the case of an infectious disease?
B.B 1.4 Is a qualified person responsible to decide if individuals with a suspect illness may
enter food areas and how these individuals are controlled?
B.B 1.5 re personnel, contractors and visitors aware of and complying with the personal
hygiene requirements?
B.B 1.6 Are personnel, contractors and visitors aware of and complying with the
requirements for the wearing and changing of protective clothing in specified work
areas?
Basic Level Requirement Assessment
B.B 2 Facility Environment
The business facilities shall be located and maintained so as to prevent contamination and enable the production of safe products.
Comments and Observations Meets Requirement?
B.B 2.1 Is the facility located, designed, constructed and maintained to ensure product
safety?
B.B 2.2 Is the facility effectively maintained, cleaned and disinfected to prevent physical,
chemical and microbiological product contamination?
B.B 2.3 Is the lighting of the appropriate intensity and design to ensure that food safety
practice is effective?
B.B 2.4 Are structures, surfaces and materials, particularly those in contact with food easy
to maintain, clean and where appropriate disinfect?
B.B 2.5 Are the drainage and waste water systems of equipment locations designed so as
not to compromise food safety?
B.B 2.6 Are the grounds and surrounding areas of the facility maintained and kept free of
waste and accumulated debris?
Basic Level Requirement Assessment
B.B 3 Cleaning & Disinfection
The business shall ensure appropriate standards of cleaning and disinfection shall be maintained at all times and throughout all the stages.
Comments and Observations Meets Requirement?
B.B 3.1 Are documented cleaning and disinfection procedures in place and effective,
including verification activities, to ensure the cleanliness of the facility, utilities and
equipment?
B.B 3.2 Are cleaning equipment, utensils and chemicals clearly marked, stored in a
segregated area away from product, equipment, packaging and suitable for
intended use?
B.B 3.3 Are qualified, trained personnel used for cleaning and disinfection?
Basic Level Requirement Assessment
B.B 4 Product Contamination Control
The business shall ensure appropriate facilities and procedures are in place to minimize the risk of physical, chemical, or microbiological contamination of
product.
Comments and Observations Meets Requirement?
B.B 4.1 Are physical barriers or effective procedures in place to reduce and avoid the risk of
any potential physical, chemical or microbiological contamination?
(Required element – Major deduction if missing)
B.B 4.2 Are working systems in place to reduce the risk of any potential physical, chemical
or microbiological contamination?
Basic Level Requirement Assessment
B.B 5 Pest Control
The business shall ensure controls are in place to reduce or eliminate the risk of pest infestation (including rodents, insects and birds).
Comments and Observations Meets Requirement?
B.B 5.1 Is an effective Pest Control programme in place?
B.B 5.2 Are the controls appropriate in relation to the product, raw material and facility?
B.B 5.3 Is the inspection programme undertaken by a competent person at an appropriate
frequency and are findings addressed?
Basic Level Requirement Assessment
B.B 6 Water Quality
The business shall ensure that the quality of water, ice or steam in contact with food product is be suitable for intended use at the facility. All food contact
water, ingredient water and water used in cleaning and sanitizing operations shall be determined to be from a potable source.
Comments and Observations Meets Requirement?
B.B 6.1 Are documented procedures in place to ensure that the quality of water, steam and
ice does not compromise the food safety of the finished product?
B.B 6.2 Are documented procedures in place to prevent the cross-contamination of potable
water by non-potable water?
Subtotal number of score
Subtotal number of minus points
Score in Part B (Subtotal number of score minus subtotal number of minus points)
Percentage of the audit score in Part B
C. Control of Food Hazards
Basic Level Requirement Assessment
B.C 1 Control of Food Hazards - General and Specific
The business shall reduce the risk of unsafe food by taking preventative measures to assure the safety and suitability of the food at an appropriate stage or
stages in their operation by controlling food hazards.
The business shall control food hazards through the use of a system such as HACCP. They shall:
Comments and Observations Meets Requirement?
B.C 1.1 Is a documented food safety control system in place that addresses customer and
regulatory requirements?
(Required element – Major deduction if missing)
B.C 1.2 Is a risk assessment or hazard analysis conducted for each process step in the
manufacturing of the food item?
(Required element – Major deduction if missing)
B.C 1.3 Was the risk assessment or hazard analysis conducted by a competent person?
(Required element – Major deduction if missing)
Does the food control system include appropriate control procedures, monitoring
procedures and documentation including the definition of limits regarding food
safety?
(Required element – Major deduction if missing)
B.C 1.5 Is documented evidence of monitoring in place (i.e. temperature, time, pressure,
chemical properties, etc.) and controlled to ensure that the product is produced
within the required process specification?
(Required element – Major deduction if missing)
Basic Level Requirement Assessment
B.C 2 Control of Allergens
The business shall ensure that there are adequate control measures in place to prevent cross contamination of allergens. All ingredients known to cause
food allergies in the product shall be clearly identified and communicated to the customer.
Comments and Observations Meets Requirement?
B.C 2.1 Is a documented Allergen Control programme in place to control allergens and to
prevent sources of allergens from contaminating product at all stages of
production?
(Required element – Major deduction if missing)
B.C 2.2 Were customer requirements and appropriate legislation addressed in the
development of the Allergen Control programme?
B.C 2.3 Are potential causes of cross contamination identified and procedures established
for the handling of raw materials, intermediate and finished products to avoid cross
contamination?
B.C 2.4 Are procedures relating to the cleaning and sanitation of product contact surfaces in
place and effective to remove all potential allergens from food contact surfaces?
B.C 2.5 Is a clear labeling system in place ensuring continuous identification of the product
through all stages of production and delivery?
Subtotal number of score
Subtotal number of minus points
Score in Part C (Subtotal number of score minus subtotal number of minus points)
Percentage of the audit score in Part C