A.  Opening conference
B.  Closing conference
C.  Written report
D.  Rating employer's program

A.  Opening conference.  An independent, third-party audit will be conducted at the time of the opening conference and thereafter on a yearly basis.  The auditor will ask to review the completeness of the facility's food safety program.  The auditor will discuss the importance of each component of an effective food safety program.  The auditor will then evaluate the current status of the employer's program by asking the employer to show written evidence of an effective program.  This includes the principal items listed in the sections of this manual.  The food process authority will note the performance of the total operation and then, recommend actions to improve.
        The food production manager(s) must demonstrate the effectiveness of the food safety program.  This can be accomplished by the auditor observing and interviewing employees and by comparing self-inspection and maintenance records with visual conditions.  The major question is to what degree employees assigned to do critical tasks are trained to follow the policies, procedures, and standards of the company and to what extent employees follow these training standards.
        When improvement is necessary, the auditor will inform management personnel of the affected area, problem, or procedure.
        Finally, the auditor should look at the food processes. The auditor should review an example of each style of food production as prepared by the operation.

B.  Closing conference.  The auditor will use the Food Safety Program Certification form (Section XII, encl 1) to review facility performance and any deficiencies found during the audit.  The auditor will discuss possible improvement and give direction to sources of assistance for improvement.

C.  Written report.  The auditor will prepare a report describing each deficiency in terms of behaviors that are not taking place (e.g., employees are not monitoring and recording the temperature of supplies as they are delivered).

D.  Rating an employer's program.  After a program has been evaluated, it can be rated.  The employers' food safety programs will be rated in the six performance areas, to include:

  1. Management commitment and involvement.
  2. Hazard analysis and control.
  3. Written program.
  4. Communication and training.
  5. Process control problem investigation and corrective action.
  6. Program enforcement.
         Each component will be rated for effectiveness.
A = Formal, written program, meets or exceeds all performance criteria, and is fully implemented; employees are coached and improved.
B =  Formal program, meets all basic criteria, and is backed by management.
C =  Formal program, not fully developed, meets minimal safety assurance (safe).
D =  Informal program, meets minimal safety assurance (safe but poor stability).
I =  Partial, but inadequate, activity (incomplete).
F =  No measurable activity in the performance area (fail).
        The rating should be used along with other factors such as size of business, type of hazards, and other pertinent work conditions to determine if the employer has an effective food safety program.

Encl. 1



Manager____________________________________________ Date _______________

Chilled Food Process Authority ______________________________________________
(person who certifies retail food processes as capable of producing a safe product)

Food SafetyDemonstration Requirement
 Demonstrated Performance
  Action to Improve
I.  Management - Good Manufacturing Practices 
   A. Operate observing food safety policies and procedures
   B. Maintaining policies and procedures 
      1. PIC (Person in Charge) 
      2. Smoking area 
      3. Ethical truth in menu practices
   C. Hazard analysis and control
   D Manager communication and employee training
   E. Operational improvement
   F. Handling emergencies
   G. Program enforcement, recognition, and renewal
II.  Organization and Personnel
   A. Organization 
      1. The organization chart 
      2. HACCP TQM team 
      3. Job responsibilities 
      4. Double hand wash log 
      5. Employee improvement worksheet
   B. Personnel 
      1. Employee responsibility 
      2. Disease control 
      3. Cleanliness 
      4. Disposable gloves 
      5. Heavy duty gloves 
      6. Hand cuts and abrasions 
      7. Contact with blood or body fluid from another person 
      8. Personal cleanliness
         a.  Fingernails
         b.  Jewelry and hard objects in pockets
         c.  Handkerchiefs and facial tissues
         d.  Chewing gum, smoking, and eating
         e.  Personal medication and personal belongings 
      9. Handling food
      10. Hand and fingertip washing
      11. Unauthorized persons
      12. Traffic pattern
III.  System Description
   A. Operation description
   B. Types of foodservice / distribution
   C. Facility plan
   D. Facility food flows
   E. Facility pest control
   F. Menu items grouped by HACCP categories
   G. Recipe HACCP - Receiving, storage, and ingredient 
pre-preparation and menu item production flow
V.  Supplier Policies, Procedures, and Standards
   A. Purchasing
   B. Supplier certification
   C. Ingredient specification
   D. First aid materials
VI.  Food Production Policies, Procedures and Standards 
   A. General production policy 
   B. Home-prepared food 
   C. Milk 
   D. Receiving 
      1. Inspection of incoming products 
      2. Substandard products 
      3. Food containers 
      4. Container disposal 
      5. Labeling 
      6. Use-by date 
      7. Food storage areas 
      8. Stock rotation 
      9. Mixing old food and new food
    10. Food storage temperatures and times
    11. Use recommended times to cool food
    12. Proper storage conditions 
   E. Pre-preparation 
      1. Ingredient inspection and control 
      2. Food thawing 
      3. Chemical additives 
      4 Raw food handling 
      5. Separate raw and cooked food 
      6. Food washing 
      7. Cutting up raw food 
   F. Preparation 
      1. Potentially hazardous food 
      2. Hard foreign objects 
      3. Food pasteurization 
      4. Safe preparation of multi-portion, thick, more than 2-inch items 
      5. Leftover roasts or other thick items 
      6. Safe preparation of single portion, thin, less than 2-inch thick items 
      7. Batters 
      8. Sauces, soups, and beverages 
      9. Controlling growth of pathogens with acid ingredients
    10.  Fruits, vegetable, legumes, and cereals
    11. Bread and pastry
    12. Hot combination dishes 
    13. Cold combination dishes
    14. Blanching
    15. Reconditioning
    16. Frozen desserts
    17. If food falls on the floor
   G. Holding, serving, and transporting 
      1. Food holding temperatures 
      2. Conveyors 
      3. Serving, packaging, and transporting 
      4. Salad bar 
      5. Handling food and money 
      6. Dishware 
      7. Food tasting 
      8. Food causing allergic reactions 
      9. Standards of identity-packaged foods
    10. Food labels of food packaged / sold in a food establishment
    11. Bulk food that is available for consumer self-dispensing
    12. Bulk unpackaged foods such as bakery products and unpackaged foods that are portioned to consumer specification 
    13. Carry-out and banquet food
    14. If food falls on the floor
   H. Storing prepared food 
      1. Food cooling time 
      2. Storage to prevent cross-contamination 
      3. Storage time 
      4. Storage containers 
      5. Leftovers 
      6. Unwrapped food
      7. Work station cleanliness 
      8. Frequency of surface sanitizing 
      9. Serving utensils and cutting boards
    10. Beverage dispensing equipment
    11. Milk product dispensers
    12. Dispensing tableware and flatware
    13. Self-service food, dishes, and utensils 
   I. Consumer 
      1. Consumer information 
      2. Product complaints 
      3. Returned food 
      4. Food sabotage
VII. Sanitation Guidelines
   A. Cutting boards and food contact surfaces
   B. Detergents
   C. Sanitizing solutions: use and preparation
   D. Changing detergent solutions
   E. Cleaning and sanitizing food contact surfaces
   F. Cleaning cloths
   G.  Sponges
   H.  Brooms and brushes
   I. Cooling equipment cleaning
   J. Washing machinery, cleaning and use
   K. Washing flatware
   L. QC inspection
   M. Storage of dishware
   N. Cleaning equipment storage
O. Chemicals separation
VIII. Maintenance Guidelines
   A. Equipment and utensil construction
   B. Equipment operation
   C. Food contact surface equipment
   D. Non-food contact surface equipment 
   E. Gaskets
   F. Using sanitized equipment
   G.  Temperature measuring equipment
   H.  Food product thermometer calibration
   I. Equipment calibration
   J. Cooling or refrigeration units
   K. Freezers
   L. Surplus equipment and items for repair
   M. Dunnage racks, shelving, pallets, dollies, etc.
   N. Backflow prevention valves for plumbing
   O. CO2 backflow prevention valves
   P. Warewashing equipment
IX.  Pest Control Guidelines
   A.  Area around facility or grounds
   B.  Pest control and materials used
X.  HACCP-TQM Employee Training Program and Record
   A. Training
   B.  New employee training 
   C. Training for performance mastery
   D. Initial training for all new employees and managers
   E. Continuing education and correct procedure reinforcement
   F. Record of training
   G. One minute of praise
XI.  Self-inspection, Continuous Quality Improvement
   A. Product process monitoring / sampling plan 
   B. Daily self-inspection
   C. Retail food operation food hazard control checklist
   D. Receiving report
   E. Calibration verification form
XII.  Food Safety Program Verification and Capability Certification
   A. Opening Conference
   B. Closing conference
   C. Written report
   D. Rating employer's program


To Table of Contents
To Section XI