Gfsi checklist (self audit)
Use this gfsi checklist to perform a self-audit of your organization and ensure that you adhere to the global food safety initiative standards.
What does this form include?
This form contains 79 sections:
General Requirements
- Scope of the FSMS defined
Scope of the FSMS specifying:
Documentation Requirements
- Control of documents
- Approval of documents for adequacy prior to issue
- Review, update and re-approve
- Changes and current revision status identified
- Relevant versions of documents available at points of use
- Legible and readily identifiable
- Identification and control of external documents
- Prevent unintended use of obsolete documents, and to suitably identify them if they are retained for any purpose
- Procedure for efficient and accurate record keeping to provide evidence of conformity to requirements and of the effective operation of the FSMS
- Records legible, readily identifiable and retrievable
- Control of the correction, identification, storage, protection, retrieval, retention time and disposition of records
Food Safety Policy
- a) Appropriate to the role in the food chain
- b) Commits to comply with statutory, regulatory and customer FS requirements
- c) Communicated and understood within the organization
- d) Reviewed for continual suitability
- e) Supported by measurable objectives
FOOD SAFETY MANAGEMENT SYSTEM PLANNING
- To meet the objectives
- To maintain the FSM integrity when changes are implemented
RESPONSIBILITY AND AUTHORITY
- R&A are defined and communicated within the organization
- Identified person(s) to receive reports problems with the FSMS
- Designated personnel to initiate and record actions
Implemented effective arrangements for communicating with:
COMMUNICATION
- Suppliers and contractors
- Customers/Consumers
- Food authorities
- Other organizations that could be affected
- Assigned designated personnel to manage external communication?
- The Top management has communicated to the organization the importance of meeting this standard, legal and customerFS requirements?
- Implemented effective arrangements for communicating with relevant personnel?
FST is informed of changes, especially:
MANAGEMENT REVIEW
- At planned intervals
- Records maintained
- Follow-up actions from previous reviews
- Verification activities
- Changes related FS
- Emergency situations, accidents and recalls
- System up-dating activities
- Communication activities including customer feedback
- External audits or inspections
- Assurance of Food Safety
- Improved effectiveness of the FSMS
- Resource needs
- Revisions of the FSP and objectives
Human Resources
Identify necessary competencies
- Identify necessary competencies
- Training
- Specific training for personnel responsible of monitoring, corrections, and corrective actions
- Evaluation of implementation and effectiveness
- Awareness of contribution to FS
- Awareness of need for effective communication
- Records of training and other actions
- Agreement or contracts with external experts involved in FSM
PRPs shall be:
Appropriate to the organizational needs
- Appropriate to the organizational needs
- Appropriate to the size and type of operation and product
- Implemented across general programmes
- Implemented across specific programmes
Approved by FST: according to:
Legal requirements
- Legal requirements
- Customer requirements
- Recognized guidelines
- CODEX Alimentarius
- Codes of Practices
Documentation is available for the following programmes:
Hazard control
- Hazard control
- Control measure(s)
- Monitoring procedures
- Corrections/corrective actions
- Responsibility and Authority
- Records of monitoring
Lay-out, design, and construction of buildings and facilities:
Elements of PRPs
- Location
- Perimeter and grounds
- Walls
- Floors
- Ceilings
- Windows
- Doors
- Lighting
- Ventilation
Lay-out of premises, including workspace and employee facilities:
Management of purchased materials, disposals and handling of products:
Cleaning and sanitizing:
Pest Control documentation for:
Personnel Hygiene documentation for:
Relevant information needed to conduct the hazard analysis documented, collected, maintained and updated
- Relevant information needed to conduct the hazard analysis documented, collected, maintained and updated
FST Leader appointed by Top Management with responsibility:
To manage the FST
- To manage the FST
- Training and education of FST members
- To ensure that FSMS is established, implemented, maintained and updated
- To report to Top Management about FSMS
- Multi-disciplinary knowledge and experience
- Records demonstrate the required expertise for all team members
Documentation available for:
Product characteristics
- Product characteristics
- Raw materials, ingredients and product-contact materials
Specifications with:
Biological, chemical and physical characteristics
- Biological, chemical and physical characteristics
- Ingredients including additives and processing aids
- Origin
- Method of production
- Delivery methods and packaging
- Storage conditions and shelf-life
- Preparation and/or handling before use or processing
- Food safety related acceptance criteria or specifications of purchased materials and ingredients appropriate to their intended uses. Relevant legislation/regulations documented
- Specifications updated
Documentation for the characteristics of end products:
Name
- Name
- Composition
- Biological, chemical and physical characteristics
- Intended shelf-life and storage conditions.
- Intended use
- Packaging
- Labeling relating to food safety and/or instructions for handling, preparation and usage
- Method(s) of distribution
- Relevant legislation/regulations documented
- Specifications updated
Identified and documented appropriate information about:
The reasonably expected handling of the product
- The reasonably expected handling of the product
- Any unintended but reasonably expected mishandling and misuse of the product
- Group of consumers identified, especially vulnerable groups of population
- Descriptions updated
- Flow diagrams, process steps and control measures
Flow diagrams available for:
Each product/process category covered by the FSMS
- Each product/process category covered by the FSMS
- Sequence/interaction of steps
- Outsourced processes and subcontracted work
- Inputs (raw materials, ingredients, intermediate products)
- Reworking and recycling
- Outputs (end, intermediate, by-product, waste)
- and verified by FST (records)
- Description of process steps and control measures available
- Control measures/process parameters/procedures related to food safety described
- Legal and customer requirements described
- Descriptions updated
Hazard Identification and Determination of acceptable levels
- Hazard Identification and Determination of acceptable levels
- Identified and recorded
Specific for the type of product/process and facilities based on:
Preliminary information about product/process and control measures
- Preliminary information about product/process and control measures
- Experience
- External information including epidemiological and other data historical
- Information from the food chain
- Step (s) related which each hazard in the end product defined in compliance with legal/customer requirements, and the intended use (Records)
- Identified and document control measures that are to be applied
Categorized in General Control Measures (managed through PRPs) or Specific Control Measures (related
Effect on identified food safety hazards relative to the intensity applied
- Effect on identified food safety hazards relative to the intensity applied
- Feasibility for monitoring
- Place within the system relative to other control measures
- Likelihood of failure in the functioning
- Severity of the consequence
- Specifically to eliminate/reduce the level of hazard(s)
- Synergistic effects
- Methodology of categorization documented and results recorded
Identification of CCPs
- Hazard to be controlled by specific control measure documented
Determination of Critical Limits
- For the monitoring of each CCP
- Requirement of legislation-regulations-internal risk analysis-clients are met
- In terms of measurable parameters supported by instructions, specifications, education/training
- Selection documented
A monitoring system for effective and efficient control of CCPs (measurements relative to the critical limits) established and maintained
- A monitoring system for effective and efficient control of CCPs (measurements relative to the critical limits) established and maintained
Procedures + instructions + records including:
Measurements that provide results within an adequate time frame
- Measurements that provide results within an adequate time frame
- Monitoring devices identified
- Calibration methods
- Frequency
- Records and methods
- Actions when monitoring results exceed critical limits
A procedure to dentify and assess of affected end products
- A procedure to dentify and assess of affected end products
- Review the corrections carried out
- Approved by the responsible person
- Records with information on the nature of the nonconformity, cause and consequence and traceability available
Corrective Actions (CAs)
- Data derived from the monitoring of PRPs + CCPs evaluated by designated person to initiate corrective actions
- Initiated when critical limits are exceeded or lack if conformity with PRPs.
A procedure to:
Product is released as safe when:
Disposition of non-conforming products:
Identification of product lots and their relation to batches of:
Raw materials (from the immediate suppliers)
- Raw materials (from the immediate suppliers)
- Processing
- Distribution records (to the immediate distributors)
- Records maintained for a defined period
- Meet customers and regulatory requirements based on the shelf life
To facilitate a recall:
Withdrawals
- There is authority and responsibility appointed bytop management
Procedure for:
Establish, document and implement procedures for verification of the HACCP system: purpose-methods-frequencies-responsibilities-records
- Establish, document and implement procedures for verification of the HACCP system: purpose-methods-frequencies-responsibilities-records
Confirmed that:
The PRPs are implemented
- The PRPs are implemented
- The hazard analysis is continually updated
- The operational PRPs and the elements within the HACCP plan are implemented and effective
- Hazard levels are within identified acceptable levels
- Records communicated to the FST
- NCs results in test samples of end products – affected lots handled as potentially unsafe
Are evaluated systematically by the FST
- Are evaluated systematically by the FST
- NCs with the planned arrangements – actions to achieve conformity. Review available.
- Procedures and communication channels available
- Conclusions of the hazard analysis/operational PRPs/HACCP Plan
- PRPs
- Human resources/Training
Are analyzed by the FST, including the results of internal and external audits, in order to:
Confirm that FSMS meets the planned arrangements
- Confirm that FSMS meets the planned arrangements
- Identify the need for updating/improving the FSMS
- Identify trends
- Establish information for planning internal audits
- Confirm effectiveness of corrections and CAs
- Records reported Top Management. Input to the management review and for updating the FSMS
Prior to implementation and after any change of General/Specific Control Measures, ensure that:
- Prior to implementation and after any change of General/Specific Control Measures, ensure that:
- Associate hazards are effectively controlled
- End Products meet the defined acceptable levels
If a/b failed, modification and reassessment of the following are documented:
Control measures
- Control measures
- Raw materials
- Technologies
- Product characteristics
- Distribution
- Intent of use
To ensure valid results (if necessary), measuring equipment have to be controlled:
Calibrated/verified against measurement standards; where no such standards exist, the basis used shall be recorded
- Calibrated/verified against measurement standards; where no such standards exist, the basis used shall be recorded
- Adjusted or re-adjusted as necessary
- The calibration status identified
- Safeguarded
- Protected from damage
- Records of calibrations, if no conformance – assess the validity of the previous results + treatment of the equipment/product.
- Records suitability of software confirmed: prior to initial use + reconfirm
Documented procedure that defines responsibilities – reporting – records
- Documented procedure that defines responsibilities – reporting – records
To determine whether the FSMS system:
Conforms with the planned arrangements
- Conforms with the planned arrangements
- Effectively implemented and maintained
Audit programme planned:
considers status;
- considers status;
- importance of processes;
- arease to be audited;
- and results of previous findings
- criteria, scope, frequency, and methods are all defined
- Proof of auditor's objectivity and impartiality
- Corrective actions carried out on time by the personnel responsible for the area
- Verification of actions recorded
FSMS continually improved through:
communication;
- communication;
- management review;
- internal audit;
- evaluation of individual verification results;
- analysis of results of verification activities;
- validation of control measure combinations;
- and FSMS updates
- FSMS is updated at planned intervals;
- and if necessary, the HA, PRPs, and the HACCP Plan are reviewed
FSMS updates consider:
Communication;
- Communication;
- suitability-adequacy-effectiveness of FSMS;
- analysis of results of verification activities;
- and management review
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