AIB ConsolidatedStandards for

Food safety

© Copyright 1956, 1978, 1985, 1991, 1995, 2000by American Institute of Baking

ISBN 1-880877-51-1

All rights reserved. No part of the work covered by the copyrightmay be excerpted, reproduced, copied, or duplicated by anymethod whatsoever unless specifically approved by the copyrightowner. This prohibition includes, but is not limited to, recording,taping, and entering into electronic storage and retrieval systems.

ContentsThe AIB Standards ................................................................... 1Confidentiality .......................................................................... 3Using the Standards for Self-Inspection:The Inspection Team ................................................................ 3Types of Self-Inspection .......................................................... 4Conducting the Self-Inspection ................................................ 4Inspection Preparation .............................................................. 5Inspection Notes ....................................................................... 5Definitions ................................................................................ 6The AIB Food Safety Rating System:Using the Scoring Procedures .................................................. 7Category Rating Classification ................................................ 8Plant Rating Classification ....................................................... 9Inspection Report and Remediation Plan ................................. 9Public Recognition ................................................................... 9Section I

Adequacy of Food Safety Program ................................. 10Section II

Pest Control1.................................................................... 21Section III

Operational Methods and Personnel Practices ................ 27Section IV

Maintenance for Food Safety .......................................... 39Section V

Cleaning Practices ........................................................... 47Conditions for Unsatisfactory Rating..................................... 51

AppendixRating Analysis RecapMaster Cleaning ScheduleIncoming Ingredient Examination RecordRefrigerator/Freezer Control RecordPesticide Usage LogRestricted Pesticide Purchase RecordRecord of Bulk Flour Sifter Tailings ExaminationDaily Sifter Tailing or Ingredient Strainer Examination Record

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The AIB StandardsThe AIB Consolidated Standards for Food Safety were

published as a tool to permit food processors to evaluate thefood safety risks within their operations and to determinelevels of compliance with the criteria in the Standards. TheseStandards contain the criteria and rating method used to assigna numerical score (rating) to the plant. These criteria arederived from the following good management principles: TheU.S. Federal Food Drug and Cosmetic Act (1938); GoodManufacturing Practices, CFR Title 21, Part 110 (1986); U.S.Military Sanitary Standards; the U.S. Federal Insecticide,Fungicide, and Rodenticide Act; EC Directive 93/43/EEC;UK Food Safety (General Food Hygiene) Regulations 1995(1995/1763); The UK Food Safety (Temperature Control)Regulations 1995; and Codex Alimentarius Commission FoodHygiene - Basic Texts (1999).

This document and scoring procedure should be used bythe plant management team to perform a self-assessment ofthe plant’s compliance to the AIB Standards. The ratingprotocol should be used to assign a numerical score to theplant inspection and evaluate the overall effectiveness of thefood safety programs.

Section IAdequacy of Food Safety Program

This section outlines management’s responsibility for formallydocumented programs necessary to establish and maintainan effective food safety program. These programs are detailedin sections II through V of this document. Successfullyimplementing these programs will reduce the potential forfood contamination in the plant. The effectiveness of the foodsafety program is evaluated by the self-inspection andcorrective action process which documents the maintenanceand continuous improvement of the required programs forfood safety.

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Section IIPest Control

This section describes elements of a formalized, writtenfood adulteration prevention program required to conformwith these consolidated standards. It defines several types ofprograms, lists required records, and gives specific proceduresto follow to prevent food adulteration by pests, pest evidence,or pesticides.

Section IIIOperational Methods and Personnel

PracticesThis section lists programs and techniques to protect food

from adulteration during storage and manufacturing. Itaddresses receiving and storing raw materials; transferringand handling ingredients; operational appearance; andoperational, delivery, and personnel practices.

Section IVMaintenance for Food Safety

This section requires the plant to have an established andimplemented preventive maintenance program; documentedmaintenance work order system; and sanitary/hygienic designcriteria for the building, equipment, and utensils to preventfood contamination from these sources.

Section VCleaning Practices

This section contains requirements for scheduled cleaningof the building and grounds, equipment, utensils, andmaintenance cleaning associated with electrical andmechanical systems.

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ConfidentialityAll information obtained by AIB International during the

establishment/plant inspection will be treated as confidentialbetween AIB International and the client. The inspection reportwill be provided to the client under an AIB assigned codenumber. Except as required by law, AIB International willnot release any information or report of the inspection to athird party without written authorization from the client.

Using the Standards for Self-Inspection:The Inspection Team

The plant management shall inspect all of the facility atleast once each month. A formal report shall be made of theinspection observations. The inspection team should consistof the Plant Manager and a representative of each of thefollowing departments: production, maintenance, qualitycontrol, sanitation/hygiene, receiving, and warehousing. Thepurpose of the team concept is to have team members withdifferent levels of education, experience, and accountabilityworking together to focus on food safety concerns during theaudit. This will have several benefits:

1. The team is a highly visible representation ofmanagement’s commitment to food safety issues. Itstresses that this activity is important and an integralfunction of the plant’s responsibility to produce a safeproduct.

2. The team helps cross-train members to look for and reactto food safety issues. It also helps the team focus on howthe management system, plant policy, and employeetraining can and do affect the food safety system.

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Types of Self-InspectionThere are two types of self-inspection. The first type is

the daily inspection conducted by each supervisor in his orher area of responsibility, such as a production line or otherplant area for which the supervisor is responsible. The PlantSanitarian/Hygiene Manager, Quality Assurance Manager/Supervisor, and other designated personnel should inspect theentire plant daily for hazards before start-up and duringmanufacturing. A short list of defects noted should be recordedfor immediate follow-up, as required. The second type shouldbe the periodic formal plant inspection by the multidisciplinarymanagement team, supervisors, and employees in their areasof responsibility.

The inspection time should be short and focused formaximum benefit. An inspection that is two hours long andis highly focused on one area is preferable to a more time-consuming inspection that interferes with team members’other duties or causes team members to lose focus or interest.As previously noted, the team should include supervisors intheir areas of responsibility. The inspection should also beused to train employees in good procedures and practices forfood safety. It must be documented and list noteddiscrepancies. For each discrepancy, provide the course ofcorrective action required, person(s) responsible, estimateddate of correction, and actual completion date. Upper levelmanagement is responsible for reviewing and providingresources to correct inspection findings that pose a programfailure or food safety risk in the marketplace.

Conducting the Self-InspectionThe inspection team should conduct the plant self-

inspection at least once each month. If the plant is small orhas one production line or system, the entire plant should becompleted during the inspection. If the plant is large, it maybe necessary to divide the plant into 2, 3, or 4 inspection zones.

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One area should be inspected each week, meaning the entireplant will be inspected by the end of a single 2-, 3-, or 4-weekcycle. If the plant is divided into sections, the plant areasshould be defined and inspected together in a logical way.Examples are: bulk storage systems; raw materials warehouse;processing (further divided by product line, e.g. line #1, line#2, etc.); packaging; finished product storage; support areas(maintenance, locker and toilet rooms, etc.); outside groundsand roof; or other divisions as dictated by area of managementresponsibility. This will help to associate food safety hazardsfound during the inspection with the inspected area andresponsible personnel.

Inspection PreparationMembers of the self-inspection team should prepare in

advance for the inspection by thoroughly reviewing therequirements in these standards and by examining previousinspection reports. This activity should not be interrupted.Team members should focus exclusively on the inspectionthroughout its duration. If the plant is large, the inspectionshould focus on selected areas and these areas should bethoroughly inspected. It is important that the team conduct athorough inspection, using the criteria in the AIB Standards.

Team members should be attired in company uniform withall the proper inspection equipment including flashlight,spatula, tools to disassemble equipment, tape recorder or paperto take notes, and safety equipment. They should follow allapplicable plant policies.

Inspection NotesOne person should be assigned to take inspection notes

for the team. This person is designated throughout the rest ofthis document as the scribe. The inspection should besystematic. Begin in one area such as receiving, then movethrough the plant area or production line in a logical sequence.

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The notes should be written so they relate directly to the areabeing inspected. This will allow the management team to usethem to focus on those plant areas or practices that pose thegreatest food safety risks.

It is important that the scribe write down all observationsmade by the team. The team should discuss the observationsso all members understand the hazard observed, correctionneeded, and what changes can be made to the managementsystem to prevent recurrence of the problem or hazard. Eachwritten observation should be coded with the appropriate AIBcategory as follows:

1. (AP) Adequacy of the Food Safety Program

2. (PC) Pest Control

3. (OP) Operational Methods and PersonnelPractices

4. (MS) Maintenance for Food Safety

5. (CP) Cleaning Practices

6. (COM) Comment - Not a deficiency, but generallya statement of fact, not requiring any action

The scribe should also code each observation with theword designation “Serious,” “Unsatisfactory,” or“Improvement Needed” if the inspection observation fits thedefinition in the AIB Standards.

DefinitionsUnsatisfactory: Imminent food safety hazard, program

failure, or departure from the GoodManufacturing Practices

Serious: Important potential food safety risk or riskof program failure

Improvement A potential hazard, partial program omissionNeeded: or food safety finding that is inconsistent

with the Good Manufacturing Practices

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(GMPs). If this hazard, omission or findingis not corrected, it could lead to a programfailure.

Shall: A requirement according to the AIBStandards

Should: A recommendation according to the AIBStandards

Product Zone: The area directly above exposed rawmaterial, intermediate product or material,and/or finished unwrapped food products,processing equipment, and/or equipmentsurfaces that contact food.

Product Area: The area within close proximity of a productzone.

The AIB Food Safety Rating System:Using the Scoring Procedures

Upon completion of the inspection, the scribe shouldnumber all inspection observations and transcribe them (reportitem numbers) to the AIB Rating Analysis Recap Form(Appendix I). Item numbers should be entered on the RecapForm in the proper category. Any items with a designation of“Serious” or “Unsatisfactory” should be noted in theclassification box under the corresponding designation.

The total number of deficiency items in each categoryshould be placed in the TBC column. This is necessary so thescribe can assign correct scores for each category (do notinclude any comment items). The scribe and team shouldreread the inspection observations in the report to assure thatthe correct category and classification have been assigned.These steps will enable the scribe and the inspection team toanalyze the inspection notes according to the criteria in theAIB standards and to translate them into numerical scores.

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The scribe should then assign each category a point valuewithin the range given for the category rating classes notedin the section below. This point value should relate to theworst food safety item in each category. For example, theinspection notes may indicate that a hazard should be classedas an “Unsatisfactory” item, a “Serious” item, an“Improvement Needed/Potential Hazard,” or a “MinorImprovement” item.

The total number of items and the level of severity of theworst item(s) will determine whether the category score is atthe upper or lower end of the scoring range in each category.Category scores should be in five point increments. If acategory item is coded as “Serious” or “Unsatisfactory,” thepoints assigned to that category must fall within that range.

Scores for the category “Adequacy of the Food SafetyProgram” must be consistent in assessment criteria,results, and point value with the observations and analysesrecorded for the other four categories. This is important,since it will enable an objective analysis of the programs orpractices that allowed or caused the deficiencies observedduring the inspection. The total plant inspection score is thesum of all the category scores.

Category Rating ClassificationThe following range descriptors will be used to assign categoryscores:

Minor improvements needed,no potential for contamination ................ 180 - 200

Some improvement needed,potential hazards noted ........................... 160 - 175

Serious deficiencies (see definition) ............. 140 - 155

Unsatisfactory deficiencies (see definition)......... <140

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If an unsatisfactory item has been identified, if amanagement program is unsatisfactory by definition, or if oneof the categories has a score below 140 points, the total scoreclassification will be “Unsatisfactory” regardless of the pointtotal.

Plant Rating ClassificationThe plant shall receive a total score classification based

on the numerical ranges below:

Superior ......................... 900 - 1,000

Excellent ......................... 800 - 895

Satisfactory ..................... 700 - 795

Unsatisfactory .........................< 700

Inspection Report and Remediation PlanAfter the score has been assigned and the report discussed,

a plan for abatement of the food safety risks should beimplemented. This plan should focus not only on correctingthe deficient item(s), but also on improving the managementsystem to prevent recurrence of the deficiency or deficiencies.

Public RecognitionA Certificate of Achievement will be awarded following

each inspection that results in a “Superior” or “Excellent”rating according to the criteria and rating system described inthe AIB Consolidated Standards for Food Safety.

A Certificate of Participation will be issued to plantsachieving a “Satisfactory” rating according to the AIB criteriaand rating system.

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I. Adequacy of Food Safety ProgramA. Responsibility and authority for assuring compliance with

federal, state, governmental and/or any other appropriateregulatory law or guideline shall be clearly assigned to acompetent supervisory-level person or persons, and afunctional organizational chart shall be maintained. Thecompetent supervisory-level person shall ensure that allemployees are aware of their responsibilities andmechanisms are in place to monitor the effectiveness oftheir operation. The company shall have a system in placeto ensure that it is kept informed of all relevant legislation;food safety issues; legislative, scientific and technicaldevelopments; and industry codes of practice. This systemmay be maintained at a central corporate level or at theplant level.

B. The department(s) responsible for implementing hygiene/sanitation, quality control or quality assurance shallestablish written procedures or work instructions outliningspecific responsibilities of each department manager andemployees in a Quality Manual.

1. These procedures and work instructions will be definedin job descriptions and there will be appropriatearrangements in place to cover for the absence of keyemployees.

2. This Quality Manual should state the company’scommitment to quality and should have a scope thatcovers and implements the requirements in thesestandards.

3. The Quality Manual should be readily available torelevant staff and the company’s management shallregularly review its quality and production system toensure continued effectiveness and suitability.

4. Included in the Quality Manual shall be a clearlydefined and documented quality policy statement that

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states the company’s intention to meet its obligationsto produce safe and legal products and itsresponsibility to its customers. The company’s seniormanagement shall demonstrate commitment to theimplementation of the Company Quality Policy bysigning off on this policy. All supervisory staff andkey personnel shall understand and implement thepolicy and it shall be communicated throughout thecompany and regularly reviewed.

C. Each food plant shall establish a formal food safetycommittee. This committee should be multidisciplinaryin membership and operate on a predetermined frequency,ensuring that complete inspections of the entire plant areconducted no less than once per month. Records of eachinspection are an integral part of this requirement, anddocumentation of specific assignments and actualaccomplishments shall be maintained. Follow-upinspections should be done to ensure that items arecorrected.

In addition, the company shall audit those systems andprocedures critical to product safety, legality and quality,to ensure they are in place, appropriate and complied with.The audits shall be scheduled and their scope andfrequency shall be established in relation to the risksassociated with the activity. Internal audits shall be carriedout by competent auditors, who should be independentof the area of operation being assessed. Results of theinternal audit shall be brought to the attention of thepersonnel responsible for the activity audited. Correctiveactions and timescales for their implementation shall beagreed upon. A record of all programmed internal auditsand associated corrective actions shall be maintained.Corrective actions shall be verified to ensure satisfactorycompletion.

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D. All departments directly involved in implementing foodsafety shall establish an appropriate budget and supportto maintain the proper and timely acquisition ofappropriate tools, materials, equipment, monitoringdevices, chemicals, and pesticides.

E. A Master Cleaning Schedule (see Appendix) for periodiccleaning assignments and a daily housekeeping scheduleshall be undertaken as a formalized written plan. It mustspecify frequency, responsibility, and post-cleaningevaluation and shall be up-to-date. This schedule shouldinclude the outside grounds, building, drains, utensils,and equipment, including refrigeration equipment.

The cleaning tasks should be divided into three generalareas and included on the appropriate schedule:

Type of Task Appropriate Schedule

Periodic “deep cleaning” tasks, Master Cleaning Scheduleperformed other than daily

Maintenance cleaning Master Cleaning Schedule

Daily “housekeeping” tasks Housekeeping Schedule

F. Detailed equipment cleaning procedures shall bedeveloped for personnel training and maintaining thehygiene level of the equipment. These written cleaningprocedures shall be developed and utilized for cleaningof all equipment used for food storage, processing andpackaging; for all building areas and for the outsidegrounds.

G. Inspection and documentation of incoming materials:

1. The appropriate department shall maintaindocumented procedures for inspecting incoming rawmaterials.

2. In order to assure product integrity, trained personnelutilizing the appropriate equipment shall inspect allincoming vehicles, raw materials and packaging.

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These incoming goods inspections shall includechecks for the presence of pest infestation and otherobjectionable materials.

3. Both dry and liquid bulk deliveries shall include visualinspection both before and after unloading. Allfindings shall be documented.

4. Records indicating date of receipt, carrier, lot number,temperature (if required), amount, and productcondition shall be maintained.

5. Raw materials susceptible to mycotoxins, pathogenicmicroorganisms or autolysis from temperature abuseshould be segregated and covered by a separate writtenprocedure, with appropriate documentation.

H. Appropriate specifications shall be on file for rawmaterials, packaging materials, finished products, andintermediate/semi-processed products. Specificationsshall be adequate and accurate and shall ensurecompliance with relevant food safety and legislativerequirements. Specifications shall, where appropriate, beformally agreed upon with relevant parties and shall bereviewed periodically.

I. Records of results of examinations and/or copies ofsupplier’s guarantees or certifications that verifycompliance with federal or other governmentalregulations, guidelines or Defect Action Levels of rawmaterials, food packaging, and finished products shall bemaintained.

J. Each food manufacturer shall establish a Hazard AnalysisCritical Control Point (HACCP) program. The HACCPprogram shall have senior management commitment. Amulti-disciplinary team shall be established and the teamleader shall be trained and able to demonstrate competencein understanding and applying HACCP principles.HACCP team members shall have adequate training andexperience.

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Prior to HACCP plan development, each foodmanufacturer shall have implemented and documentedthe pre-requisite programs. These programs include, butare not restricted to, cleaning and sanitation/hygiene,GMPs and personnel practices, pest control, preventivemaintenance, chemical control, food safety customercomplaints, recall and traceability, supplier specificationsand control, and receiving, storage and shipping.

The HACCP system shall be specific to the application,practical to implement and effective in controlling theidentified hazards of the operation. Through this system,the company shall be able to demonstrate effective controlof all operations undertaken. The seven principles ofHACCP shall be followed and consist of the followingpoints:

1. Describe each product manufactured and identifyhazards inherent to the items being manufactured. Anassessment of risk shall be included and shall identifywhich hazards are of such a nature that theirelimination or reduction to acceptable levels isessential to the safe production of food. The followingshould be considered, where-ever possible, whenconducting the hazard analysis:

a. The likely occurrence of hazards and severity oftheir adverse health effects.

b. A qualitative and/or quantitative evaluation for thepresence of biological, chemical, and/or physicalhazards.

c. Survival and multiplication of micro-organismsof concern.

d. Any conditions leading to the above.

A hazard analysis study shall be undertaken for allproducts, both old and new, to identify and assess allpotential safety hazards and associated risks. This

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study, where appropriate, may include factory trialsand testing to verify that product formulation andmanufacturing processes are capable of producing asafe and legal product. Any new products, processesor equipment should also have a HACCP analysisconducted on them during the Research andDevelopment phase to identify and assess all potentialsafety hazards and associated risks.

2. Determine the critical control points (CCPs) andidentify the procedure for controlling the hazard.CCPs, identified in relation to the operation, shall becontrolled and monitored within predetermined criticallimits.

3. Identify the critical limits associated with each CCPnecessary to control each hazard identified.

4. Specify monitoring frequency and designate person(s)responsible for testing.

5. Establish and document deviation procedures.

6. Establish and document verification procedures.

7. Maintain documentation of procedures, records ofconformance and effective correction actions resultingfrom non-conformance.

All processes and process lines shall be covered bythe HACCP system and each HACCP plan shall beappropriately reviewed. This review should occur atleast yearly.

K. The Personnel Department shall create specific, writtenprocedures for providing food safety training to allpersonnel, including new employees, and maintain arecord of training completion. This training will includethe written employee policies that have been establishedfor the company. Refresher training should be done on anannual basis. Prior to beginning work, temporarypersonnel and contractors shall be trained as appropriate,

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and shall be adequately supervised throughout theworking period.

L. A formalized written program for evaluating consumercomplaints, particularly those related to adulteration, shallbe established. This program shall conform to companypolicy and should include the rapid dissemination ofcomplaint information to all departments responsible forimplementing the food safety program. Complaintinformation shall, where appropriate, be used to avoidrecurrence and implement ongoing improvements toproduct safety, legality and quality. Actions appropriateto the seriousness and frequency of the problems identifiedshall be carried out promptly and effectively.

M. A formal recall program shall be on file for all productsbeing manufactured. A written procedure should be onfile and shall be regularly reviewed, and if necessary,revised to ensure it is current. All products shall be codedand lot or batch number records shall be maintained.Distribution records shall be maintained to identify theinitial point of distribution to facilitate segregation andrecall of specific lots. The recall program should be testedevery six months and the test should be documented. Asa part of the recall program and product traceability, thecompany shall adequately identify all raw materials andbe able to trace work-in-progress and finished product atall stages during manufacture, storage, dispatch and, whereappropriate, distribution to the customer. Where reworkor any reworking operation is performed, traceability shallbe maintained and procedures shall be implemented toensure the safety, legality and quality of the finishedproduct.

N. Clear procedures for the control of non-conforming work-in-progress, finished or returned product shall be in placeand understood by all authorized personnel. Theseprocedures should include disposition by rejection,acceptance with restrictions, or regrading for an alternative

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use. Corrective actions shall be commensurate with theseriousness of risk identified. Adequate documentationshall be kept of the action taken. All non-conformingproduct shall be handled or disposed of according to thenature of the problem and/or the specific requirements ofthe customer. Disposition of non-conforming materialshould be tracked to ensure that inventories are adjustedaccordingly to facilitate recall. Damaged or destroyedmaterials should be recorded and proper adjustments tothe product inventory records should be made to accuratelyaccount for the damaged or destroyed materials.

O. Each food manufacturer shall establish a procedure forhandling governmental or regulatory inspectors and thirdparty auditors. This procedure should include:

1. Person or persons delegated to accompany allinspectors

2. Company policy regarding photographs

3. Company policy regarding records and samples

P. Processing records shall be maintained and shall containsufficient information to comply with governmentregulations.

1. This is to be done by having written operatingprocedures, instructions and reference documents toverify that processes and equipment employed arecapable of producing consistently safe and legalproduct with the desired quality characteristics.

a. These written, detailed procedures, instructions,and reference documents shall cover all processescritical to product safety, legality and quality.Documents shall be clearly legible, unambiguousand sufficiently detailed to enable the appropriatepersonnel to associate the documents with thecorresponding process. The documents shall bereadily accessible at all times. The documents shall

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be properly authorized and the correct version kepton file.

b. The company shall maintain legible, genuinerecords to demonstrate the effective control ofproduct safety, legality and quality. The companyshall have in place procedures for collation,review, maintenance, storage and retrieval of allrecords pertaining to product safety, legality andquality. The records shall be retained in goodcondition, for an appropriate defined time periodso that they can be reviewed. Any amendments torecords should be appropriately authorized.

2. In the event of changes to product formulation,processing methods, equipment or packaging, thecompany shall, where appropriate, re-establishprocess characteristics and validate product data, toensure product safety, legality and quality. The reasonfor any changes or amendments to documents criticalto product safety, legality or quality systems andprocedures shall be recorded. A procedure should bein place to ensure obsolete documentation isrescinded, and if appropriate, replaced with a revisedversion.

3. In the case of equipment failure or process deviation,procedures shall be in place to establish the foodsafety status of the product, prior to release for furtherprocessing or distribution. The company shall ensureprocedures exist to investigate the cause of significantnon-conformity to standards, specifications andprocedures which are critical to product safety, legalityand quality. Corrective actions shall be undertakenin a timely manner to prevent further occurrence ofnon-conformity. Any corrective action plan relatingto safety, legality, or quality shall only be approvedby personnel who have defined responsibility and

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accountability for these areas of control. Thesepersonnel shall also be responsible for verifying thatthe corrective action plan has been completedsatisfactorily. Corrective actions shall be accuratelydocumented, showing responsibility andaccountability for completion.

4. The company shall undertake or subcontract analysescritical to product safety, legality and quality usingappropriate procedures and facilities. Procedures shallbe in place to ensure reliability of test results.Personnel undertaking analyses shall be suitablyqualified, and/or trained and shall be competent tocarry out the analyses required.

Q. The company shall have documented procedures forevaluation, selection, and maintenance of approvedsuppliers of goods and services that affect product qualityand food safety. An up-to-date list of approved and non-approved suppliers is required. The procedures shalldefine how exceptions are handled, i.e., the use of productsor services, where inspection or monitoring has not beenundertaken. These procedures shall include clear criteriafor initial and ongoing assessment and standards ofperformance required. Assessment may take the form ofmonitoring performance through in-house checks,certificates of analysis or extend to supplier inspection,as appropriate. Supplier assessment may includeevaluation of HACCP systems, product safetyinformation, and legislative requirements. The methodsand frequency of assessment should be based on the riskto the organization. Where the company undertakes orsubcontracts analyses critical to product safety, legalityand quality, the laboratory shall be independentlyaccredited by a competent body.

R. A glass and brittle or hard plastics policy shall be writtenand implemented. The policy should state that no glass or

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brittle plastics are to be used in the plant, except whereabsolutely necessary. The policy should also state that noglass should be brought into the plant in employees’personal effects. Included in the policy should be aprocedure for handling any glass that is broken in the plant.The procedure should also cover any brittle or hard plasticthat is broken in a location where it could jeopardize theproduct. In addition, a list of all essential glass and brittleplastics should be compiled and the items on the listchecked on a regular basis to ensure that any accidentalbreakage is noted.

S. A formal preventive maintenance program and work ordersystem shall be in use to prioritize the elements ofidentified structural, equipment, or utensil maintenanceproblems that could cause food adulteration. The companyshall ensure that the safety and legality of product is notjeopardized during maintenance operations.

T. Food processing operations shall establish a formalizedprogram for the control of bacteria, yeast, and mold, ifrequired. Records of laboratory analysis and/orenvironmental samples shall be maintained by theappropriate department, if necessary. On site laboratoryfacilities, where provided, shall not jeopardize the safetyof product.

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II. Pest ControlA. A formalized preventive pest control program shall be

maintained in the plant. The pest control program may beundertaken by trained in-house personnel or be providedby an outside pest control contractor. The plant shallmaintain written procedures outlining the requirementsof the program to reduce the potential for productcontamination from pest activity or the use of materialsand/or procedures designed to control pest activity. Pestcontrol activities shall at all times be conducted in totalcompliance with the regulatory requirements of the agencycontrolling such procedures. In addition, specific programsand procedures will include as a minimum:

1. Pesticide applications made within a plant or on thegrounds of a plant will be undertaken by a licensedpest control contractor or properly licensed or trainedin-house employee, where such licensing provisionsare required by government codes. In the absence ofsuch regulatory requirements, applicators mustdemonstrate they have received proper training in theproper and safe use of pest control materials byattendance at a recognized seminar or havedocumented training and be under the supervision ofa licensed applicator, where required by governmentcodes. Pesticides designated for “Restricted Use” shallonly be used by trained, licensed pest controlapplicators, where a license is required by governmentcodes.

2. The plant serviced by in-house personnel (licensedor trained pesticide applicator or applicator(s) shall:

a. Maintain a file of sample labels and chemicalsafety data information for each pesticide used andshall maintain pesticide usage records as well asrecords on maintenance of the safety andprotective equipment used.

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b. Maintain and enforce written procedures for theapplication of all pesticides.

c. Maintain accurate records of application ofpesticides as outlined in section 3. d. below.

3. Facilities serviced by a contracted licensed pest controlcompany shall maintain the following:

a. A contract describing the specific services to berendered, including materials to be used, methods,precautions, and chemical safety data informationrequired by government regulations.

b. Sample labels for all pesticides used. Samplelabels shall be kept on file for the time specifiedby regulatory codes.

c. Accurate and complete service records describingcurrent levels of pest activity andrecommendations for additional efforts needed tocorrect conditions allowing a potential for pestactivity.

d. Accurate documentation of all pesticideapplications, including rodenticides, made in oraround the plant. Documentation shall bemaintained in accordance with governmentregulations and must document, at a minimum:

i. Materials applied

ii. Target organism

iii. Amount applied

iv. Specific area where pesticide was applied

v. Method of application

vi. Rate of application or dosage

vii. Date and time treated

viii. Applicator’s signature

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e. A copy of the current liability insurance andevidence of a current applicator’s license, wherea license is required.

B. All facilities shall establish effective preventive programsfor the elimination of pest activity. The effectiveness ofthe programs will be measured by the lack of observationof pest activity and evidence. Specific procedures includebut are not limited to:

1. Outside bait stations for the control of rats and mice.These bait stations should meet tamper resistancestandards and shall be properly positioned, anchoredin place, locked, and properly labeled in compliancewith regulatory requirements. The bait stations shallbe installed around the exterior perimeter of the plantat 50-100 foot (15-30 meter) intervals. Where allowedby local ordinance, the stations should also be installedalong the fence line in accordance with industry bestpractice. Properly maintained mechanical rodentcontrol devices may also be used, where allowed bygovernment regulations.

Lids to the bait stations shall be locked with devicessupplied by or recommended by the manufacturer. Theuse of reusable plastic ties or other easily cut ortampered with materials shall not be used.

Baits used shall be approved registered rodenticideor monitoring (non-toxic) feeding blocks.

Service conducted on the monitoring devices shallbe in line with levels of rodent activity in the stations.However, all stations shall be inspected and servicedno less than once per month. Each service and theresults of the service will be documented for eachstation or device and maintained on file.

2. Internal measures shall comply with governmentregulations. Unless prohibited by regulatory

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requirements, internal control programs shall consistof the use of mechanical traps, extended trigger traps,or glue boards, but should not include feeding stationsof any kind.

In countries where mechanical traps and/or glueboardsare prohibited by law, internal feeding stationscontaining non-toxic bait may be used for monitoringpurposes. These feeding stations shall be used in amanner consistent with the label directions for the baitand in a manner that minimizes the potential forcontamination of the food products or materials instorage. These stations shall contain only non-toxicbait, unless evidence of rodents has been documentedin the recent past. If activity has been found, toxicbait can be used until the activity is eliminated. Non-toxic bait should then be reinstalled in the stations forroutine monitoring purposes.

These stations should be constructed of a durablematerial such as hard plastic and should be kept lockedand secured to keep them in place. Measures takenshould be in response to the level of activity present.

It is recommended that the internal devices used forroutine monitoring purposes be positioned at 20-40foot (6.5-13 meter) intervals along exterior perimeterwalls. Where possible, rodent control devices shouldbe installed at each side of exterior overhead andpedestrian doors or where there is a potential for rodententry into the plant. In any area where there is apotential for rodent activity, such as raw materialstorage areas within a plant, rodent control devicesshould be installed along interior walls. The contractoror plant personnel shall inspect and clean the devicesat least once a week.

3. Maps or schematics showing the locations of therodent control devices shall be maintained and kept

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current. A record of the service and cleaning of eachrodent control device shall be maintained in eachdevice. The service documentation should include thefindings from the device inspections.

4. Rodent burrows, rodent runs, and any conditionsattracting rodents or other pests both inside and outsidethe plant shall be eliminated.

5. Electric flying insect monitors should be used asneeded to identify flying insect entry into the plant.Units should be installed so that insects are notattracted from outside the building. Units should notbe placed within 10 feet (3 meters) of exposed producton a production or packaging line. All units should belisted on the Master Cleaning Schedule for cleanouton a weekly schedule during peak insect season. Theycan be cleaned monthly during off-peak season.Installation and use must follow all local regulations.The light tubes should be changed on an annual basisand records of this maintained.

6. Birds shall be controlled by exclusion: netting,screening, mechanical traps or avicides, if legal andpractical. The use of avicides is not permitted insidethe plant.

7. All pesticide containers and application equipmentshall be properly labeled to identify the contents.Insecticides or herbicides each require separateequipment for application. All equipment used forpesticide application shall be properly maintained inserviceable condition.

8. Pesticides stored in a plant shall be stored in a lockedenclosure, preferably in an outside building away fromproduction areas. Easily understandable labelingwarning of the contents and limiting access shall beposted on the exterior entrances to this enclosure. Thestorage enclosure shall be adequate in size and

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construction and well ventilated. The enclosure shallcontain the necessary materials to control spills orleakage and to avoid injury to personnel.

9. Disposal of pesticides, pesticide containers andpesticide residues shall be done in a manner that meetsall regulatory guidelines and must be consistent withthe instructions included on the label for the material.

C. Pest monitoring devices and appropriate integrated pestmanagement strategies should be properly used to provideongoing monitoring for pest activity and to design aneffective control program to eliminate pests and thepotential for pest activity.

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III. Operational Methods and PersonnelPractices

A. The procedures for receipt, storage, and handling of rawmaterials shall be established and comply with the GoodManufacturing Practices. The procedures shall includethe following criteria:

1. Receipt and Storage of Materials:

a. Damaged and/or badly soiled or infestedcontainers shall not be accepted.

b. Materials shipped in damaged, dirty, or infestedvehicles shall be rejected. Proper documentationspecifying defects and reasons for rejection shallbe maintained.

c. Perishable or frozen materials shall meet specificminimum temperature requirements at point ofreceipt. Proper documentation shall be kept.

d. All receiving dates shall be placed on the bottomunit of the pallet or individual container and bereadily visible. The placing of receiving dates onstretch-wrap should be discouraged.

e. Storage practices shall be appropriate to the itembeing stored. Ingredients, finished goods,packaging and other items shall be stored off thefloor and at least 18 inches (50 cm) away fromwalls and ceilings. Storage off the floor can be onpallets, slipsheets or stands. Adequate space forcleaning shall be maintained between rows ofstored products. The recommended space is 14inches (40 cm) between every two pallet rows.Storage slots and traffic lanes should also beprovided for items stored at floor level. If an 18-inch (50 cm) clearance is impossible due toaisleway widths and the turning radius of forklifts,the rack system can be installed against the wall.

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In this instance, a bottom rail must be installed 18inches (50 cm) off the floor so that no pallets arestored on the floor. This will allow for cleaning,inspection and monitoring for pests.

f. All ingredients and packaging, including labels,shall be stored in a clean, well ventilated, and dryarea and be protected from condensate, sewage,dust, dirt, and toxic chemicals or othercontaminants. Any partially used packagingmaterials shall be effectively protected beforebeing returned to storage. If possible, packagingshould be stored away from raw materials andfinished product. Where packaging materials posea product safety risk, special handling proceduresshall be in place to prevent product contaminationor spoilage. Failures and corrective actions takenshall be recorded.

g. Proper rotation of all ingredients, packagingsupplies, and other materials shall be undertakenon a “first-in, first-out” (FIFO) basis or otherverifiable method to ensure stock rotation.

h. Inventories should be maintained at reasonable andappropriate volumes to avoid excessive age andinsect infestation. A repalletizing program shallbe implemented for all materials in storage formore than four weeks, and the repalletizing dateshall also be affixed near the original receivingdate.

i. Pallets and skids shall be kept clean and in goodrepair. When pallets or other wooden surfaces arewashed, they should be properly dried before use.Slip-sheets should be used between pallets andbags of ingredients and between double-stackedpallets to protect ingredients from damage by thepallet.

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j. All toxic chemicals, including cleaning andmaintenance compounds, and all nonproductrelated materials, such as parts and equipment,shall be completely segregated from all foodingredients and packaging supplies.

k. Complete segregation of Research andDevelopment items and other infrequently usedraw materials and packaging supplies should beconfined to a designated area and regularlyinspected for signs of potential or actualcontamination.

l. A designated morgue and/or salvage area shall beprovided and fully segregated from usable stockto prevent possible contamination. Reworking ofsalvage shall be undertaken weekly or as necessaryto keep quantities at minimal levels. Rework shallbe identified so as to maintain traceability.

m. The company shall ensure that product is notreleased unless all release procedures have beenfollowed. The company shall ensure that productis only released by authorized personnel.

n. All breather bags and socks shall be stored in adust-free environment. These shall be designedand fabricated to prevent possible contaminationfrom threads, fuzz, fibers, etc. and shall be keptclean.

o. All outside receiving lines or caps to both bulkdry or liquid ingredients shall be locked andidentified.

p. Clear and concise sampling procedures shall bedeveloped for obtaining quality control samplesrequired from ingredient containers. All openingscreated for sampling will be properly resealed andidentified as such.

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q. Packaging should be free from staples and otheritems likely to cause contamination.

r. When unloading bulk materials, appropriatemeans of filtering of air or covering of theinspection hatch shall be provided to eliminatepotential for entry of foreign bodies or insectsduring the unloading process.

s. If seals are present on bulk container hatches orother shipping containers, the seal number shouldbe checked against the seal number on the bill oflading to ensure that the two numbers match.

B. Transfer and Handling of Materials:

1. Personnel should quickly eliminate spillage, leakage,and waste at all times.

2. Containers shall be kept off the floor at all times andcovered when not in use, and all ingredient storagecontainers shall be properly identified to maintainingredient identity and traceability throughout usage.

3. All materials selected for transport to processing areasshould be visually inspected and cleaned prior totransport. Drums and barrels should be wiped clean.Packaging material should be removed from itsprotective outer packaging outside production areasto eliminate risks of contamination.

4. All sifters, sieves, rebolters, and scalpers for flour andother finely divided ingredients shall be checked atleast weekly for torn screens and other defects.Records of these checks shall be maintained byappropriate department heads. Reject materials(tailings) shall be visually inspected no less than dailywith the observations documented. The source of anyunusual foreign objects should be identified andaddressed. If any foreign objects are observed in thetailings that could have damaged the sifter, rebolter,

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or scalping screens, those screens should beimmediately inspected for damage to ensure effectiveforeign body control.

5. All dry ingredients shall be sifted and all liquidingredients strained before use:

a. A minimum of 30 mesh (600 micron) screen forall finely milled material.

b. 16 mesh (1000 micron) for all other materials thatwill pass through such a screen.

c. Fruits, nutmeats, coconut, etc., shall be visuallyexamined before use.

6. All bulk liquid ingredients shall be provided withaccessible and cleanable in-line receiving strainers.Strainer mesh sizes must be sufficiently restrictive toremove foreign matter.

7. Rubbish, trash, or inedible waste shall be stored inproperly covered labeled containers and emptied atleast daily. When rubbish or inedible waste istransported, it must not come in contact with rawmaterials, work-in-progress, or finished product.Waste disposal shall meet legislative requirements.Where appropriate, waste shall be removed bylicensed contractors.

8. All in-use ingredient containers shall have individualtransfer scoops. The use of a common scoop formultiple ingredients shall be strictly prohibited inorder to prevent cross contamination.

9. All carry-over product, work-in-progress, and/oringredients shall be properly identified and dated. Allcarry-over shall be minimized and used promptly atthe first opportunity.

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C. Operational Appearance:

1. Production equipment should be installed and suppliesshould be arranged in an orderly fashion. No portable,infrequently used equipment should be stored inproduction or ingredient storage areas. Equipmentshould be installed to provide access for cleaning.

2. Adequate work space and storage should be providedto enable the operations to be performed under safe,hygienic conditions.

3. Ongoing housekeeping operations by production andall support departments shall be done routinelythroughout the operating hours to maintain the workareas in a reasonably sanitary environment.Operational debris should be kept at a minimum.

D. Operational Practices:

1. Effective measures shall be taken to prevent theinclusion of metal, wood, glass and all otherextraneous materials. Where staples or other itemslikely to cause contamination must be used inpackaging, appropriate precautions shall be taken tominimize the risk of product contamination.

a. This can be accomplished through the use ofsifters, magnets, strainers and metal detectors atappropriate locations. Metal detection equipmentshall be provided on each product line at the lastpossible point. The metal or foreign matter detectorshall incorporate both an alarm, and whereapplicable, an automatic rejection device, whichshall either divert contaminated product into alocked box, accessible only to authorizedpersonnel, or for continuously extruded productonly, identify via an appropriate mark the locationof the contaminant. Only where automaticrejection or identification is not possible will asimple line-stop be acceptable.

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b. All such measures shall be monitored anddocumented regularly. The company shallestablish and implement procedures for theoperation, routine monitoring and testing of themetal and other foreign body detectors.

c. The company shall establish and implementcorrective action and reporting procedures torespond to any failure of the metal or foreign bodydetector. These will include the isolation,quarantining and re-inspection of all foodproduced since the last acceptable test of the metalor other foreign matter detector.

2. Suitable and sufficient handwashing facilities shallbe provided at the entrance and at other appropriatepoints within production areas. These facilities shallbe provided with an adequate water supply maintainedat appropriate temperatures and supplied with singleuse towels or air dryers. Hand sanitizing stations shallbe provided where appropriate. Sanitizers for suchstations shall be regularly monitored for properconcentration to ensure effectiveness. Containers fordisposable paper towels should be kept covered.

3. All washrooms, showers, and locker rooms shall bemaintained in a sanitary manner and kept free ofinsects, rodents, and mold. Monthly inspections shouldbe undertaken of all company owned employees’lockers for sanitary controls. Open food or drink inlockers shall be strictly prohibited. “Wash Hands”signs shall be properly displayed in all rest rooms,lunchrooms and smoking areas. Where applicable, thesigns shall also appear over sinks or entryways toproduction areas.

4. Single-service containers shall not be reused and shallbe properly disposed of after being emptied. Eggcontainers shall not be reused under any

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circumstances and shall not be washed in sinks, orrack/pan washers or in other equipment used forwashing utensils or production equipment. All suchcontainers shall be rendered useless by crushing,puncturing, or similar type of disposal.

5. Production facilities, equipment, and/or accessoriesshall be so designed or provided to facilitate minimumhand contact with raw materials, work-in-progress orfinished product.

6. Raw materials, work-in-progress materials andfinished product capable of supporting the rapidgrowth of pathogenic microorganisms shall be heldat either 40°F (4°C) or below or 140°F (60°C) or aboveto whatever degree as appropriate and necessary tomaintain internal temperatures below 40° (4°C) orabove 140°F (60°C). Frozen materials should be heldat 0°F (-18°C) or below.

7. Effective measures shall be undertaken to preventcross contamination between raw materials, refuse andfinished foods. Incompatible materials, i.e., raw andcooked products, shall be stored in an appropriatemanner and under conditions to prevent crosscontamination. Particular consideration shall be givento the avoidance of cross contamination by ingredientswhich would constitute a safety issue, e.g. allergens,or which cause significant consumer dissatisfactione.g. meat in vegetarian product. The systems ofworking shall, where appropriate, be such to reduceany potential physical, chemical or microbiologicalcontamination risks.

8. Equipment, containers, and utensils used to convey,process, hold or store raw materials, work-in-progress,rework or finished foods shall be constructed, handledand maintained during processing or storage in amanner that prevents the contamination of raw

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materials, rework or finished foods. All containers forwork-in-progress or finished product should be usedonly for designated purposes.

E. Delivery Practices:

1. Finished products shall have permanently legible codemarks that are readily seen by consumers. Code marksshall satisfy regulatory packaging requirements and“lot” definitions and shall be utilized in the productrecall program.

2. Distribution records shall be maintained to identifyinitial distribution as per governmental regulations,and finished products shall be handled and transportedin such a way that prevents their actual or potentialadulteration.

3. All shipping vehicles shall be inspected prior toloading for cleanliness and structural defects that couldjeopardize product integrity. These inspections shallbe documented. Company-owned vehicles used totransport foods shall be visually examined, cleaned,and maintained to prevent product adulteration. Alllocal delivery trucks shall be internally inspected andcleaned, at least weekly, to identify possible sourcesof contamination from pests and/or foreign materials.Common carriers and customers should be encouragedto maintain their respective delivery vehicles in ahygienic condition and in reasonable repair.

4. Temperatures of perishable and/or frozen productsshall be taken and recorded upon loading of trucks.All such products shall be loaded into a precooledvehicle designated and maintained to sustain requiredtemperatures during delivery. Temperatures of the pre-cooled vehicles shall be checked and recorded priorto loading. Procedures shall, where appropriate, be inplace in the case of transportation breakdown. These

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procedures shall ensure product safety, legality andquality.

5. Where the material transported is susceptible toweather damage, vehicles shall be loaded andunloaded in covered bays so as to protect the material.

F. Personnel Practices:

1. Responsibility for assuring compliance by allpersonnel to plant policy shall be clearly assigned tocompetent supervisory personnel.

2. Employees shall be encouraged to practice goodpersonal hygiene habits at all times.

3. Hand washing shall be performed at a frequency thatis appropriate and should be done any time the handsbecome soiled. Hands should be washed beforebeginning work, after using toilet facilities, eating,drinking, smoking or otherwise soiling hands. Theeffectiveness of hygiene procedures with regard tohands should be checked periodically.

4. Employees shall adhere to the following principleswhen handling raw materials, work-in-progress, oruncovered finished product:

a. Wear clean outer garments or uniforms. Suitablefootwear shall be worn within the plantenvironment. Changing facilities shall be providedfor all personnel, whether employees, visitors orcontractors, prior to entry to production or packingareas, and where appropriate, prior to entry tostorage areas. Changing facilities shall be sited toallow personnel direct access, without recourse toany external area, to the appropriate production,packing or storage area.

i. Personnel shall enter a high risk operation viaa specially designated changing plant, andshall follow appropriately specified

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procedures for donning visually distinctiveclean overalls, headwear, and footwear.Personal clothing above the knee should becompletely covered by workwear. High riskarea workwear shall be removed only in aspecially designated changing area.

ii. All protective clothing shall be launderedeffectively on a regular basis and should belaundered on site or by a contract laundry.

iii. Gloves, if worn, should be subject to adequatecontrol to avoid product contamination.

iv. Outdoor clothing and other personal itemsshall be stored separately from workwearwithin the changing facilities.

b. Wear effective hair restraints to include whereapplicable head, beard, and mustache covers tofully contain hair and beards. AIB recommendshairnets.

c. Remove insecure costume or hand jewelry,including watches, earrings, rings with settings,false fingernails, fingernail polish, and danglingjewelry. Only plain wedding bands are acceptable,unless prohibited by plant policy and/or safetyrequirements. Any exception to this shall bespelled out in the company policy and thereasoning behind it explained.

d. Perfume or aftershave should be avoided byemployees in contact with food products.

5. Eating food, drinking beverages, chewing gum, andusing tobacco products shall be restricted todesignated areas only.

6. Employee lunches and/or personal effects shall notbe stored or placed in production or ingredient storageareas. Examples would include sweaters, jackets,

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shoes, smoking materials, etc. All personal propertyshould be stored in an area defined by companymanagement. Suitable and sufficient rest and cateringfacilities should be provided for all staff.

7. Personal items such as pens, pencils, or thermometersshall be carried in pockets or pouches below the waistwhen employees are in production areas. There shouldbe no pockets above the waist on the outside ofprotective clothing.

8. No person with obvious boils, sores, infected wounds,or any other infectious or communicable disease shallbe permitted to contact food except as required bylocal or national law. All employee health cards shallbe kept current and properly posted if required by locallaw. The company shall have a procedure for thenotification by employees, including temporaryemployees, of any relevant infectious disease orconditions with which they may be suffering, or havebeen in contact. All cuts and grazes on exposed skinshall be covered by a detectable blue metal stripbandage that is company issued and is regularly testedwith a metal detector.

9. Noncompany personnel shall be required to conformto company food safety/hygiene policies and the GoodManufacturing Practices (GMPs). These wouldinclude, but not be limited to: visitors, regulatoryauthorities, outside contractors, tour groups, andemployees’ family and friends. Visitors andcontractors shall, where appropriate, undergo medicalscreening before entering the raw material,preparation, processing, packing and storage areas.

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IV. Maintenance for Food SafetyA. The site shall be located and maintained so as to prevent

contamination and enable the production of safe and legalproducts. Consideration shall be given to local activitiesthat may have potentially adverse impact, and measuresshall be taken to prevent product contamination. The siteboundaries should be clearly defined. Measures necessaryto protect the site from any potential contaminants shouldbe in place and periodically reviewed to ensure theycontinue to be effective.

B. Building Structure:

1. The grounds around any food plant shall bemaintained in a manner that will prevent the possibilityof food adulteration. The methods for adequategrounds maintenance include, but are not limited to:

a. Proper storage of equipment away from walls andoff the ground to prevent harborage and allowinspection and so the equipment is protected fromcontamination and deterioration. Storage out ofdoors should be kept to a minimum.

b. Removal of litter and waste, removal of weeds ortall grass from within the immediate vicinity ofthe building.

c. Maintenance of roads, yards, and parking areasto keep them free of dust, standing water or otherpotential contaminants.

d. Provision of adequate drainage from grounds, roofor other areas.

e. Installation and maintenance of outside wet and/or dry waste or scrap compactors, modules, anddumpsters to minimize leakage or to contain suchleakage, permitting the container to be easilyremoved and the area cleaned. External waste

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collection containers and compactors should beclosed and/or covered.

f. Measures shall be in place to maintain sitesecurity.

g. The site should be securely enclosed.

2. All structural beams, supports, and other structuralsystems that are painted shall be maintained in anappropriate manner to preclude or eliminate anychipping, flaking, or peeling paint.

3. Sufficient space should be provided for properplacement of equipment and storage of materials.Adequate aisles or a workspace shall be maintainedbetween equipment and/or structures to allow adequatecleaning.

4. Bulk systems and unloading areas shall be installedand maintained to prevent the adulteration of rawmaterials or finished product.

5. Floors, walls, and ceilings shall be of suchconstruction as to be adequately cleanable and keptin good repair. The following are further guidelinesto assist in this:

a. Walls should be designed, constructed, finishedand maintained to prevent the accumulation of dirt,reduce condensation and mold growth, andfacilitate cleaning.

b. Wall/floor junctions and corners should be covedto facilitate cleaning. Cavities in the surface ofwalls and floors should be avoided to preventdebris from lodging and to avoid pest harborage.

c. The use of glass within the plant, equipment orstructure should be avoided. A comprehensiveglass policy should be in place if glass must beused.

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d. Floors should be designed to meet the demandsof the process and withstand cleaning materialsand methods. They should be impervious andmaintained in good repair. Floors should haveadequate sloping to direct the flow of any wateror effluent towards suitable drainage.

e. Adequate floor drains with grates shall beinstalled, maintained and operational in all wetprocessing or wash areas. All floor drain gratesmust be easily removable for cleaning andinspection. The drains should be easily accessiblefor cleaning.

f. Consideration should be given to the location ofmachinery and drains so that any discharge oroverspill from processing goes directly into a drainrather than on the floor.

g. Drainage shall not compromise product safety andshall flow away from high risk areas. Drainageshall be designed and maintained to minimize riskof product contamination.

h. Where hollow or suspended ceilings are used,adequate access to the void shall be provided tofacilitate cleaning, maintenance of services andinspection for pest activity. Ceilings and overheadsshould be designed, constructed, finished andmaintained to prevent the accumulation of dirt,reduce condensation and mold growth, andfacilitate cleaning.

i. Roof leaks shall be promptly identified andrepaired.

6. Fixtures, ducts, and pipes shall be installed andmaintained in such a manner that drips or condensatedo not contaminate foods, raw materials, or food-contact surfaces.

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7. Adequate lighting shall be provided in all areas. Lightbulbs, fixtures, windows, mirrors, skylights, or otherglass suspended over product zones, product areas,ingredients, and packaging supplies shall be of thesafety type or otherwise protected to prevent breakage.Emergency lighting and the headlights on forkliftsshould also be protected. Where full protection cannotbe provided, the glass management system shall takethis into account.

8. Adequate ventilation should be provided in productstorage and processing areas to minimize odors,fumes, and vapors. Air makeup units shall be fittedwith clean filters and maintained free of mold andalgae.

a. Air return ducts for heating and air conditioningsystems or air makeup units shall be provided withcleaning and inspection hatches. Fans, blowers,filters, cabinets, and plenums shall be placed on apreventive maintenance schedule to preventpossible development of mold or insects, or thecollection of foreign material.

b. Windows and skylights should be non-opening.Where windows and doors must be kept open forventilation, they shall be screened to preventaccess by pests.

c. Dust extraction equipment for dry powderhandling equipment should be installed.

9. Fans and other air blowing equipment shall be located,cleaned, and operated in a manner that does not causecontamination of raw materials, work-in-progress,finished foods, food packaging materials, and food-contact surfaces.

10. The physical building shall be maintained to providenecessary barriers for effective protection against

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birds, animals, vermin, and insects, and themaintenance department shall be responsible for theelimination of cracks and crevices as well as otherinsect or rodent harborages. Where external doors toraw material handling, processing packing and storageareas are kept open, suitable precautions shall be takento prevent pest ingress. Doors in these areas shall beclose- fitting or adequately proofed.

11. The maintenance department shall be responsible forthe prevention of and the systematic elimination ofleakage and excessive lubrication. Where drive motorsare mounted over product zones or where conveyorscross or run parallel to others at different levels, catchpans shall also be fabricated and installed.

12. Segregation of operations shall be undertaken to thedegree appropriate and reasonable and shall take intoaccount the flow of product, nature of materials,equipment, personnel, airflow, air quality and servicesprovision. Such segregation can be accomplishedthrough the use of air curtains, partitions, doors, and/or other exclusionary systems. The process flow fromreceiving to shipping shall be arranged to preventproduct contamination and there shall be an effectivesegregation between high and low risk operations tominimize the risk of product cross- contamination.Facilities for tray and utensil washing and generalpurpose cleaning shall, where appropriate, beadequately segregated from production activities.

13. Each plant shall develop design standards to apply toall repairs, changes, or modifications of the structureto reduce the potential for contamination issues or pestharborage and facilitate cleaning.

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C. Equipment:

1. All plant equipment and utensils shall be designedand of such material and workmanship as to beadequately cleanable and shall be properlymaintained. Equipment shall have approval from arecognized certification organization wheneverpossible and practical.

2. Temporary materials such as tape, wire, string,cardboard, and plastic shall not be used for permanentrepairs. If these materials must be used for emergencyrepairs, they shall be dated and replaced with a properpermanent repair as soon as possible.

3. Food-contact surfaces shall be corrosion-free and bemade of a nontoxic material.

4. Seams on food-contact surfaces, when necessary, shallbe smoothly bonded. Spot or tack welds are prohibited.

5. All ingredient, product-holding, and packagingconveying and processing systems, including bulksystems, shall be so designed and constructed in sucha way that they can be adequately cleaned andinspected.

6. Wooden processing equipment should not bepermitted for exposed raw materials, work-in-progress, or unwrapped finished product.

7. All regulating and recording controls, thermometers,or other temperature measuring devices shall beinstalled and routinely calibrated on any equipmentintended to sterilize, pasteurize, or otherwise preventthe growth of pathogenic microorganisms. Thiscalibration should be traceable to a national standard.In addition, thermometers should be present insidecoolers, freezers, and other temperature-controlledstorage rooms.

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Ongoing monitoring of temperature control systemsshall be frequently undertaken with properdocumentation maintained and readily available.Mechanical monitoring systems shall also be utilizedand shall trigger an alarm when temperatures exceedlimits. The temperature recording devices shall belinked to suitable failure alarms.

8. Compressed air used in processing shall be properlyfiltered to remove particles of 50 microns or largerand shall not contain dirt, oil or water. Traps and/orfilters shall be inspected and/or changed regularly. Thefilters for air used on product contact surfaces shouldbe located as close to the point of use as practicable.

9. Only food-grade lubricants shall be utilized on foodprocessing machines. All such lubricants shall be fullysegregated and stored in a secured and designated area.Excess lubricant shall be removed after equipment isserviced.

10. Flaking paint on equipment or excessive rust otherthan normal mild oxidation on mild black steel orferrous metal is prohibited.

11. Pan trucks, hand jacks, forklifts, and other transportingequipment should be maintained in such a manner thatprevents the adulteration of products beingtransported.

12. All product-contact conveyor belts of a nonwashablematerial should be stored in a dust-free environmentand wrapped in polyethylene or similar sanitarycovering. All used and soiled product and conveyorbelts will be promptly discarded and not stored forfuture use.

13. Only clean repair parts and equipment should be storedin the parts storage areas.

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D. Services:

1. All establishments shall have a potable water supplyfrom an approved source. For underground well watersupplies, sampling of the water shall be undertakenon a frequency consistent with local health departmentcodes and governmental law. Proper documentationshall be readily available.

2. The quality of water, steam or ice that comes in contactwith food shall be regularly monitored and shallpresent no risk to product safety. Boiler chemicalsshould be approved for food contact if the steamgenerated comes in direct contact with food.

3. All water installations and equipment shall beconstructed and maintained to prevent back siphonageand/or backflow.

4. The sewage disposal system shall be adequate andappropriate for the process and shall be maintainedto prevent either direct or indirect contamination offood.

5. All washrooms, hand sinks, and locker rooms shallhave both hot and cold running water readily available.Mix valves to adjust water temperatures shall also beprovided. It would be desirable to provide automaticfoot or knee or infra-red operated valves in productionareas. Toilet rooms shall not open directly intoproduction, packing or storage areas.

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V. Cleaning PracticesA. Cleaning operations shall be performed in a manner to

prevent contamination of materials and products. Cleaningor replacing light fittings and glass shall be done in amanner to minimize the potential for productcontamination.

B. Only cleaning compounds and sanitizers authorized forfood contact surfaces shall be used for cleaning.Appropriate verification procedures or testing shall bedone periodically to insure that the concentration of Clean-In-Place (CIP) and other cleaning chemicals are consistentwith the product labeling.

C. When not in use, all cleaning compounds and sanitizersshall be properly labeled and stored in a lockedcompartment, away from production and food storageareas.

D. Cleaning equipment and tools shall be supplied and bereadily available for use. All cleaning equipment shall bemaintained and stored in such a way as not to contaminatefoods or food equipment.

E. Cleaning Definitions:

1. “Deep Cleaning”

a. “Deep cleaning” shall be assigned to theappropriate department(s) and shall beaccomplished by and consistent with a MasterCleaning Schedule or its equivalent.

b. The use of air hoses for cleaning is permitted onlyfor inaccessible equipment and in conjunction withdeep cleaning operations.

c. All cleaning procedures shall be carried out incompliance with applicable safety laws andregulations and according to formally establishedequipment cleaning procedures. When undertakensafely and in compliance with local and national

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laws and regulations, all equipment guards, trims,and panels shall be removed for inspection andcleaning of the interior of all equipment accordingto the Master Cleaning Schedule. All equipmentguards, trims, panels shall be replaced afterinspection and cleaning of the interior ofequipment.

d. Equipment and structural “overheads” such aslights, pipes, beams, vent grids, etc., shall bescheduled for deep cleaning according to theMaster Cleaning Schedule to prevent thedevelopment of insects or mold or accumulationof foreign matter.

2. Daily “Housekeeping or Cosmetic Cleaning” shallbe assigned to the appropriate departments and shallbe undertaken to ensure work and support areas aremaintained during normal working hours. All suchoperations should be undertaken in a manner toprevent contamination.

Hot water use for cosmetic cleaning in wet productionareas must be restricted and shall be done in such away as to not contaminate raw materials, work-in-progress or production equipment with water droplets,mist, or direct contact.

3. Maintenance Cleaning:

a. Non-sealed electrical panels and boxes shall becleaned and/or inspected every four weeks.

b. Maintenance mess and debris created duringrepairs or alterations shall be promptly removed.Emphasis shall be given to requiring a fullaccounting of nuts, bolts, washers, wire pieces,tape, welding rods, and other small items thatcould contaminate the product.

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c. Grease smears and excess lubricant shall bepromptly removed from equipment.

d. Only clean tools and wipers shall be used onproduct zones. Maintenance personnel shallobserve proper hygienic practices when workingon product zones or similar equipment. The useof cleaning utensils that can leave debris behindon product zones or areas shall be prohibitedunless absolutely necessary, in which caseinspection should occur after their use to ensurethat no debris remains that could contaminate theproduct. This includes the use of wire brushes,sponges, scrub pads, etc.

e. Forklifts, hand jacks, and similar equipmentshould be scheduled for preventative maintenanceand cleaning.

F. Equipment and Utensil Cleaning:

1. Food-contact surfaces and utensils shall be cleanedon a regular basis and as often as necessary to eliminatefood residue and maintain a good appearance. Food-contact surfaces and machinery that require sanitizingshall be cleaned, sanitized, and tested for adequatedestruction of pathogenic microorganisms. Non-foodcontact surfaces should also be cleaned on a regularbasis and as often as necessary to eliminate productresidue and maintain a good appearance.

2. To prevent microbial contamination, equipment andutensils shall be cleaned and sanitized on apredetermined schedule.

3. Utensils and intermediate containers shall be washedbetween uses, if appropriate (or as needed), and storedin an inverted position off the floor.

4. Pans, trays, or other main product zones shall becleaned frequently enough to prevent carbon particles

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from being transferred to products. Pans shall bestored in an inverted position to prevent potentialadulteration of product.

5. Sanitary trays and dollies shall be cleaned andmaintained in such a way as to prevent productadulteration.

6. Separate and distinct cleaning utensils shall be utilizedfor cleaning food-contact surfaces (product zones) andstructural cleaning (product areas). At no time shallcleaning utensils used to clean rest rooms, toiletfixtures, or floor drains be used for any other cleaningpurpose. Proper identification (by color coding) andsegregation of each classification of cleaning utensilshall be maintained. All cleaning utensils shall becleaned after use and properly stored.

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Conditions for Unsatisfactory RatingPer AIB Standards, an Unsatisfactory rating will be

assigned when an item or items during the audit represents aviolation of the following types:

I. If an imminent food safety hazard exists.

II. If food safety programs are nonexistent or deficient insuch a way that they do not comply with the GMPs.

III. If food is adulterated such that:

a. It bears or contains an added poisonous ordeleterious substance;

b. It consists in whole or in part of any filth, putrid,or decomposed substances, or if it is otherwise unfitfor use as food;

c. It has been prepared, packed, or held underinsanitary conditions, whereby, it may have beencontaminated with filth, or whereby, it may havebeen rendered injurious to health.

IV. If a violation of the Good Manufacturing Practices(GMPs) is noted that is an imminent food safety risk.

V. If a violation of local or national pesticide regulationsis noted, that would represent a significant departurefrom the regulations or would cause an imminent foodsafety risk.

Examples of a few conditions most commonly foundwhich will require an unsatisfactory rating assignmenthave been listed below. The following only representexamples of conditions for unsatisfactory ratingassignments and are by no means inclusive. Similaritems not specifically stated will be dealt with bythe auditor in view of existing conditions and arealways subject to review by AIB Internationalheadquarters personnel.

52

1. Microbes

a. The presence of extensive amounts of mold either onor within proximity to the main product zones,jeopardizing product integrity.

b. Holding temperatures (refrigerators or coolers) inexcess of 40°F (4(C) for microbiologically sensitiveingredients or products.

c. Open sores or boils on employees who have directcontact with product, ingredients, or product zones.

2. Foreign Matter

a. Torn liquid receiving strainer.

b. Pesticides used inconsistently with labeled directions.

c. Flaking paint or rust in main product zone whereproduct contamination is likely.

3. Insects

a. Ingredients that are internally infested.

b. Widespread infestation in overheads above sensitiveor exposed ingredients or product zones.

c. Infestations of equipment where product adulterationis likely.

d. Houseflies or fruit flies in excessive numbers with littlecontrol provided.

e. Any cockroach activity on or in a product zone.

4. Rodents

a. Visual presence of live rodents.

b. Evidence of rodent excreta or gnawing on rawmaterials or finished product.

c. Decomposed rodent.

5. Birds

a. Birds residing in processing areas or warehouses.

b. Bird excreta on product zones, raw materials, orfinished product.

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AIBI Department of Food Safety & Hygiene1213 Bakers Way, PO Box 3999, Manhattan, KS 66505-3999

PO Box 11, Leatherhead, Surrey KT22 7YZ UK