SGF-GMP Self Assessment Questionnaire en

SGF-GMP- Self assessment questionnaire
(for increased food safety, in particular in the fruit juice industry)
Introduction
In the last decade, manufacturers in the food chain (including the fruit juice chain) have been required, by their customers, to complete an
ever increasing number of self assessment questionnaires They are often used to provide an initial evaluation but their use can also be a
3rd party stipulation e.g. a requirement of a certification body.
Questionnaires used to be relatively simple and short but the last couple of years have seen them becoming more and more detailed,
sometimes a couple of hundred pages long. They normally cover all relevant aspects of a food business operation, Quality Management,
Good Manufacturing Practice, HACCP, Traceability, etc. - the same items are addressed in most questionnaires. Where they differ is in
the details and in the phrasing of the questions. This makes their completion a very time consuming job.
SGF International e.V. has been asked by their members to produce a standard Self Assessment Questionnaire and to seek acceptance
within the fruit juice chain for its use.
This SGF-GMP Self Assessment Questionnaire is a result of the Working Group Mutual recognition of audits and certification systems.
The Working Group compared a number of frequently used self assessment questionnaires, the IFS and BRC standards and suppliers
own audit checklists to make a compilation of most of the relevant questions contained within these documents.
We believe strongly that this standard self assessment questionnaire covers at least 90-95% of all questions found in the questionnaires
we used as benchmarks. If your customers accept this standard questionnaire and do not request the completion of any own
questionnaires, you need to fill in only one questionnaire. This saves a lot of time for you. On the other hand you can send it to your
suppliers and you will be able to evaluate their replies much easier due to the standardized format. Additional questions, those not found
in the standard questionnaire, can always be asked as a separate exercise but these should be few in number and therefore rapid in
response. In the future the SGF-GMP Self Assessment Questionnaire will be subject to periodic revision and amendment to include any
additional, commonly asked questions.
All operators in the fruit juice chain (from raw material processors to retailers) are asked to use and accept this SGF-GMP Self
Assessment Questionnaire as a basic document.
1. Version;.August 08, 2008
1/22

Company Name
1.1
Address office - Corporate Office / Head Office / Administrative

Office
Telephone No.
Fax No
E-mail
Website
Please note - EACH PRODUCTION SITE REQUIRES ITS OWN QUESTIONNAIRE TO BE COMPLETED
:
Address office - Production Site
Registration No. Site

Telephone No.
1.2
:
:
Fax No
E-mail
Website
Responsibilities
:
Phone, Fax, e-mail
Name
SGF Contact Person
Management
Sales
Production / Technical
Department
1. Version; August 08, 2008
:
:
:
:
:
:
:
:
2/22

1.3
Quality Management / Assurance
Logistics
Emergency contact person
Product range / Harvesting period / Estimated Quantities

Product Range
1.4
Estimated Quantities
Harvesting Period
:
Number of employees
Number of Employees
Permanent
Temporary
Contract
3/22

1.5
Technical Information's
YES
NO
Remark
YES
NO
REMARK
YES
NO
REMARK
YES
NO
REMARK
DOC Flow chart existing - made

available to customers. Please
provide copy
Extraction systems
Evaporation systems
Tank capacities
Ambient temperature tanks
Sterile tanks
Cooling tanks
Deep frozen storage
1.6
Current membership in organisations

National associations - please list
1.7
International associations - please

list
Company brochure + website
Existing - please provide details
1.8
Social (ethical) standards
DOC Is there a social accountability

statement and policy in place?
Please provide a copy of the
written document.
4/22
SGF-GMP - Self assessment questionnaire
YES
NO
REMARKS
2 Information about the Quality Management

2/1 Quality Management System
2.1.1
Is there a quality management system in place?
2.1.2
Is it certified by a recognised 3rd party? Please provide a
DOC
copy of the latest certificates.
2.1.3
2/2 Quality Manual
2.2.1
2.2.2
2.2.3
2.2.4
2.2.5
DOC
2.2.6
2.2.7
2.2.8
If there is no certified system in place, is one planned?

Which standard? When will it be fully implemented?
Does a quality manual exist?
Is it available to all staff & customers?
Does the quality manual contain reference to HACCP
analysis?
At what frequency is the HACCP system audited to ensure
its continued effectiveness?
Has the management documented and communicated a
clear quality policy that includes the idea of continual
improvement in effectiveness? Please provide a copy of the
current quality policy
Does the quality policy include responsibility to the
environment, hygiene and ethical aspects?
How is this policy communicated to the employees?
Is there an effective document control procedure in place?
2/3 Quality Management Representative

2.3.1
Who does the quality manager report to?
2.3.2
Is there a document that details the management structure?
DOC
Please provide a copy.
1. Version; August 2008
5/22
YES
NO
REMARKS
2/4 Documentation of Quality, Hygiene, Relevant Processes & Work Flows

2.4.1
Is your quality system fully documented?
2.4.2
Are specifications available for all raw materials?
2.4.3
Are specifications available for packaging materials suitable
for foodstuff?
2.4.4
Are there cleaning schedules available?
2.4.5
Is there a documented procedure for the release of your
finished product?
2.4.6
Who is responsible for final product release?
2/5 HACCP
2.5.1
HACCP System
2.5.1.1
Does the HACCP system cover all aspects of the
manufacturing process?
2.5.1.2
Has it been certified?
2.5.1.3
If yes, please state the name of the certification body.
DOC
Please provide a copy of the latest certificate(s).
2.5.1.4
2.5.1.5
2.5.1.6
2.5.1.7
2.5.1.8
2.5.1.9
Has the HACCP hazard analysis taken into

consideration microbiological, chemical & physical
hazards?
Have critical limits been set for all the Critical Control Points
(CCPs)?
Are procedures in place to monitor these critical limits?
Are records available of this monitoring activity?
Has it been verified that the control measures are effective?
If monitoring indicates that a critical limit for an
identified CCP has been exceeded, have corrective
procedures been established?
6/22
YES
NO
REMARKS
2.5.2
2.5.3
HACCP Team
2.5.2.1
Is there a complete HACCP Team existing with defined
responsibilities & authorities?
HACCP Analysis
2.5.3.1
Do you have a process flow diagram that indicates the
DOC
location and nature of all the CCP's? Please provide a copy.
2.5.3.2
2.5.3.3
2.5.3.4
2.5.3.5
2.6 Training Programs
2.6.1
2.6.2
2.6.3
2.6.4
2.6.5
2.6.6
2.6.7
Has the intended use of the product by an end user /

customer been taken into account?
How is the HACCP plan reviewed to allow for changes to
the process?
How does the management ensure that the HACCP
analysis is based on sound scientific / technical data
relevant to the products and processes used?
Does the current flow diagram accurately reflects the
current manufacturing process?
Are training programs in place for all employees?
For how long are training records kept?
Are workers trained and skilled on the job?
Are all employees trained in personal hygiene ?
If yes, are training procedures and training records
available?
Is there a review of the effectiveness of training and
refresher training courses given on a periodic basis (training
records)?
Are temporary & external contract persons employed on the
basis of appropriate education, training, skills and
experience?
7/22
YES
NO
REMARKS
2/7 Audits
2.7.1
DOC
Are schedules for internal audits avalable? Please provide

copy.
2.7.2
Does the personnel perform any work that affects product

safety, legality and quality have the required competence by
education, work experience and/or training?
2.7.3
Are records available of the scheduled internal audits, the

associated corrective actions and the subsequent
verification activities?
How long are records of internal audits retained?
2.7.4
2/8 Purchasing
2.8.1
2.8.2
2.8.3
2.8.4
2.8.5
2.8.6
Are all purchased raw materials, ingredients, additives and

packaging materials in compliance with local regulation and
the legislation in the country of destination?
Do you have a supplier selection procedure?
On what is it based?
Are any external processes in place which are done by 3rd
parties?
Is there a special procedure in place to monitor any
outsourced production, ie production carried out at another
locations?
Is there a procedure in place to control the use of rework /
reprocessing to ensure safety, legality and quality, as
determined in the specification of the finished product?
8/22
YES
NO
REMARKS
3 Good Manufacturing Practices

3/1 Premises, Grounds, Location
3.1.1
Is the processing plant located in an area that poses no
threat to the environment and to food safety?
3.1.2
Does the internal design and layout of the processing plant
permit good food hygiene practices and protection against
cross contamination of the product?
3.1.3
Does the company investigate to what extent the factory
environment (e.g. ground, air) may have an adverse impact
on product safety and product quality? What measures
have been established to reduce the impact? Will the
efficiency of the measures be periodically reviewed
(examples: extremely dusty air, strong odor)? Please
explain.
3/2 Layout / Product flow
3.2.1
Does the design of the process flow, from intake to
dispatch, prevent the contamination of raw material,
packaging, intermediate/semi-processed and finished
products?
3.2.2
Is there a segregation between high and low risk operations

to minimise the risk of product cross contamination?
3.2.3
Is the cleaning / washing facility for crates, utensils, trays

etc completely segregated from other production activities?
9/22
YES
NO
REMARKS
3/3 Fabric
3.3.1
3.3.2
3.3.3
Building - Production Area

3.3.1.1
Where there is a risk of contamination, does production
take place entirely within enclosed buildings?
Walls
3.3.2.1
Are walls designed, finished & maintained to prevent the
accumulation of dirt and the reduction of condensation and
mould growth?
3.3.2.2
Are the junctions between the walls and the floor sloped to
facilitate cleaning and avoid mould growth?
3.3.2.3
Are there openings in the walls/ceilings through which
animals, insects and birds could enter the production area?
Floors
3.3.3.1
3.3.3.2
3.3.3.3
3.3.4
3.3.5
Ceiling
3.3.4.1
Drainage
3.3.5.1
3.3.5.2
3.3.5.3
Are floors made of alkali and acid resistant material?

Do the floors have sufficient slope to avoid water
stagnation?
Are the floors cleaned and maintained regularly?
Are ceilings designed, constructed, finished and maintained
so as to prevent the accumulation of dirt, the reduction of
condensation and mould growth and to facilitate easy
cleaning?
Are drains adequately designed to handle the volume of
waste water etc?
Are all drains fitted with screens and waste traps to prevent
pest entry into the processing areas.
Are the drains cleaned and maintained regularly?
10/22
YES
NO
REMARKS
3.3.6
3.3.7
Windows
3.3.6.1
3.3.6.2
Doors
3.3.7.1
3.3.7.2
3.3.8
Lighting
3.3.8.1
3.3.8.2
3.3.9
Are fly screens in place on all openable windows ?

Are all glass windows either shatter-proof or protected
against breakage in other ways?
Are all access points into the production areas protected
against birds and flying insects?
Are all doors in the production environment made of safe,
hygienic, easy to clean materials (not of wood or glass)?
Is the lighting provided in all work areas adequate for the
activity taking place?
Are all glass bulbs and strips lights that constitute a risk to
the product, including those on electric fly killer units,
protected by shatter-proof plastic diffusers or sleeve
covers?
Note: For
high temperature lights, where plastic covers are not viable,
suitable material has to be used.
Ventilation
3.3.9.1
Does adequate natural and/or artificial ventilation exist in all
areas?
3.3.9.2
Are ventilation systems installed so that filters and other
components which require cleaning or replacement are
easy accessible?
11/22
YES
NO
REMARKS
3.3.10
Water supply
3.3.10.1
Is all water, coming into contact with the product, potable
(including steam, ice and condensate)?
3.3.10.2
Are there flow diagrams available for all "process waters"
DOC
used in the production process, where they are used and
what treatments take place? Please provide copy.
Note - process waters include the following: bore whole,
municipal, softened, deionised and condensate.
3.3.10.3
Provide details of the frequency and nature of all tests

performed on the process waters.
3/4 Equipment & Maintenance
3.4.1
Is the equipment positioned for ease of cleaning and
maintenance?
3.4.2
How has the equipment been validated to ensure constant
production of safe and legal product?
3.4.3
In case of equipment failure or process deviation, is there a
procedure in place to decide if the product is still safe to
release?
3/5 Calibration, Control of Measurement and monitoring Devices
3.5.1
Does the plant identify the measurements critical to
food safety and the measuring and monitoring devices
required to assure product safety?
3.5.2
Are all the measuring and manufacturing devices that have
a significant role in product safety and quality calibrated
(records, calibration certificates / stamps)?
12/22
YES
NO
REMARKS
3/6 Waste / Waste Disposal

3.6.1
Are appropriate waste disposal facilities available?
3.6.2
Are waste containers for inside and outside purposes
clearly identified, cleaned and disinfected?
3.6.3
Does the waste disposal system meet legal requirement?
3/7 Sanitary Facilities
3.7.1
3.7.2
3.7.3
3.7.4
3.7.5
3.7.6
Are there designated areas where smoking, eating and

drinking are allowed?
Are changing rooms provided for workers, staff, visitors or
contractors for changing into working clothes before
production area ?
Are there toilets and suitable washing facilities, including
sanitary agents, disposable towels and hand dryers
provided?
Is there direct access to production rooms from these
facilities?
Are there visible "Wash Hands" instructions available before
entering the production areas?
Are there visible rules to prohibit smoking, eating & drinking
in the production area ?
13/22
YES
NO
REMARKS
3/8 Personnel Hygiene

3.8.1
3.8.2
3.8.3
3.8.4
3.8.5
3.8.6
3.8.7
3.8.8
3.8.9
3.8.10
3.8.11
3.8.12
Are there instructions on how to be suitably dressed to enter

the production areas (aprons, head coverings gloves etc)?
a) Are working clothes available?
b) If yes, are they removed after visiting high risk area?
Is there a specially designated changing room before
entering the high risk area?
Is protective clothing laundered effectively on a regular
basis?
Is suitable footwear worn within the factory environment and
waterproof footwear in high risk production area?
Are aprons, head coverings, gloves being used and stored
in separate area after use?
Are there instructions to remove loose items when entering
the production areas eg jewellery, rings, watches, pens etc?
Are there any regulations on the behaviour of employees in
case of illness?
Must all skin defects eg cuts, boils, grazes be covered by
moisture-proof plasters before entering the production
areas?
Are blue plasters with a metalized strip used for easier
detection in the product?
How are people suffering from infectious diseases
(jaundice, diarrhoea, vomiting, fever, sore throat, discharges
from ears, nose and eyes) controlled and excluded from the
processing areas?
Do workers handling produce have short, clean fingernails,
no varnish, lacquer or false nails?
14/22
YES
NO
REMARKS
3/9 Pest Control

3.9.1
3.9.2
3.9.3
3.9.4
DOC
3.9.5
3.9.6
3.9.7
Is there a pest control system implemented?

How are pest control and pest prevention measures
implemented and their effectiveness monitored?
Are there records available about pest control AND pest
prevention?
Are traps for rodents, insects and all other relevant pests in
place? Please provide a map indicating the location of all
traps and insecticutors.
Are the incoming raw materials, where applicable, checked
on arrival for the absence of pest infestations?
Do traps / bait stations inside the production area contain
any poison that can leave the container?
Is vegetation allowed to grow near the production areas that
could provide cover for pests?
4 Cleaning Schedule, Time & Temperature, Contamination Risk, Product Analysis

4/1 Cleaning Schedules
4.1.1
Do you have cleaning schedules, procedures and
records for the following:
Exterior surroundings
Building (External)
Building (Internal)
Equipment
4.1.2
How do you evaluate the effectiveness of cleaning and
disinfection agents eg against Alicyclobacillus spores?
4.1.3
Are specifications for all cleaning agents used available?
4.1.4
Is there secure & separate storage for chemicals and
detergents?
4.1.5
Are all cleaning chemicals used according to the
manufacturer's instructions?
15/22
YES
NO
REMARKS
4/2 Process / Temperature / Time control

4.2.1
Do you have established time and temperature
DOC
programmes that have been shown to produce a
microbiologically stable product? With regards to:
(please provide relevant documentation).
a) Water activity & pH of the product?
b) Likely initial levels and types of micro-organisms?
c) Intended shelf life of product, method of packing and
method of processing?
4.2.2
Does the programme cover hot and cold processes?
4.2.3
Do you have any temperature & time tolerances? Please
DOC
provide a copy of the method of evaluation.
4.2.4
4/3 Quantity Control
4.3.1
4.3.2
Are there any automatic systems in place in the event of

failure?
What is the calibration frequency for all equipment used for
quantity measurement (weights)?
How is this calibration data recorded?
16/22
YES
NO
REMARKS
4/4 Control of Product Contamination

4.4.1
Are there appropriate procedures & processes to control the
risk of physical & chemical contamination of product?
4.4.2
4.4.3
4.4.4
4.4.5
4.4.6
4.4.7
DOC
Are filters and sieves inspected regularly and records

maintained?
Is there a wood & glass elimination policy?
Are there written procedures for handling wood, glass, hard
clear plastic, metal & knife breakages in the factory?
Where is the fruit for processing coming from (e.g. packing
houses, orchards, etc.)?
Is there a metal / foreign body detector installed in-line for
ferrous & non-ferrous metal with an alarm?
Is the sensitivity of the metal detector calibrated according
to the products and recorded? Please provide records of the
last calibrations.
Fruit Acceptance
4.4.8
What procedure is in place to ensure traceability of the
incoming fruit?
4.4.9
Is there an inspection procedure for all incoming fruit
deliveries?
4.4.10
Are fruits received according to legal requirements
including pesticides & heavy materials?
Fruit Washing
4.4.11
Does the wash water contain any added chemicals (eg.
Chlorine, tensides etc.)? If yes please provide details.
4.4.12
How is the level of added chemicals controlled?
4.4.13
Is there a final, chemical free washing step (e.g. with
potable, evaporator water etc.) prior to further processing?
4.4.14
How is the quality of the final fruit cleaning water

monitored?
17/22
YES
NO
REMARKS
Fruit Sorting
4.4.15
Are there appropriate sorting processes / equipment to
remove unsuitable fruit and foreign matter?
4.4.16
Are there instructions available regarding the removal of
unsuitable fruit?
Fruit Extraction
4.4.17
Are the following systems such as sieves / filters, mixing
tanks, keg filling equipment etc. closed systems? Are they
all protected against foreign matter contamination from the
environment?
Pipelines / Hoses
4.4.18
Are pipelines and hoses clearly marked according to the
products to be conveyed?
Contamination - Maintenance
4.4.19
Is there a system of planned maintenance in place covering
all items of equipment which are critical to product safety,
legality and quality?
4.4.20
Does this system identify who is responsible for performing

the maintenance and who is responsible for making sure the
work has been carried out?
4.4.20
Are all oils and lubricants, that could come into contact with
the product, food-grade?
Does the maintenance of all items of process equipment
coming into direct contact with the product ensure that there
are no sources of product contamination eg metal shards,
broken belts, lose nuts and bolts, old grease, blocked and
overflowing drip trays etc.
4.4.22
18/22
YES
NO
REMARKS
4/5 Product Analysis

4.5.1
Are appropriate microbiological, physical and chemical

analyses, which are critical to product safety, legality and
quality, carried out and their results recorded?
4.5.2
Are the analyses relevant for food safety performed by a

factory internal laboratory?
4.5.3
Is this an accredited laboratory (ISO 17025)?
4.5.4
DOC
Provide a copy of the document that details exactly what

analysis / testing is carried out and at what frequency?
4.5.5
DOC
How are the testing procedures validated with the external

lab? Please attach a recent comparative report.
4.5.6
Are lab /QC / QA personnel suitably qualified and trained?
4.5.7
Does the factory have a final product release system ?

Please describe.
4.5.8
Who is responsible for the positive release?
4.5.9
Does the factory have a system for the management of

product complaints?
5 Product Packing, Storage & Transportation

5/1 Product Packing
5.1.1
Is the filling area segregated from other processing areas?
5.1.2
5.1.3
5.1.4
5.1.5
DOC
Does the filling area contain all the necessary facilities to

ensure the hygiene standards, appropriate to a filling area,
can be provided?
How are packaging materials inspected and stored to
ensure they remain undamaged, clean and
uncontaminated?
Is there a system of positive pressure in the filling area?
After filling are all containers individually labelled in
accordance with appropriate industry and legal
requirements? Please provide copy of typical label.
19/22
YES
NO
REMARKS
5/2 Storage & Transport

5.2.1
Do the storage conditions of raw materials, semi-processed
and finished products as well as packaging in each case
correspond to product requirements (eg refrigeration,
protective covers) and are they not detrimental to other
products?
5.2.2
Are temperatures of storage rooms recorded when
appropriate?
5.2.3
How is it ensured that only "foodstuffs only" vehicles are
used for bulk transportation?
5.2.4
How is it ensured that the loading temperature is in
accordance with the product specification?
5.2.5
Where appropriate, are temperatures of products
maintained & monitored during transportation?
5.2.6
DOC
Please provide details of all checks carried out on delivery
5.2.7
5.2.8
5.2.9
5.2.10
5.2.11
vehicles prior to loading.

Are copies of cleaning certificates accepted?
How are temperature conditions determined and ensured
during transportation?
What measures are taken to guard against malicious
contamination during storage and transportation
(sabotage)?
Will the products be packed and supplied as prescribed
(specification), eg heat-treated pallets?
Is each item in storage clearly identified and is the First
In/First Out and/or First Expired/First Out principle applied?
20/22
YES
NO
REMARKS
6 General Traceability, Allergen Risk

6/1 General Traceability
6.1.1
Is there a system to check and verify traceability from the
sources of raw materials and packaging through the
production process to the shipment of the finished product?
6.1.2
6.1.3
6.1.4
DOC
6.1.5
Does this traceability system also work in the other

direction, ie from "finished product with the customer" back
to "raw material sources"?
Is the traceability ensured when rework of the product is
performed or part of the product is produced at another
location?
Is the traceability system being documented? Please
provide a flow diagram.
How long are the traceability records maintained?
6/2 Allergen Risk & GMO Traceability

6.2.1
Does the company have in place a system and procedure to
allow the identification of common food allergens including
additives, processing aids and other sensitive substance
presenting and allergen risk? Please attach a copy of the
plan.
6.2.2
Are systems & procedures in place to allow the identification
of products consisting of GMO's or produced from GMO's
including food ingredients but also additives and flavours?
Please attach a copy of the plan.
7 Control of Non Confirming Products
7/1 Product Recall
7.1.1
Does the plant have a procedure for product recall?
7.1.2
How often is this recall procedure tested to ensure its
effective operation? On what date was it last tested?
7.1.3
Is there a crisis management team in place to handle any
DOC
crises that may occur? Please provide a copy of the contact
details.
7/2 Control of Non-confirming Products
7.2.1
How are non-conforming products identified, handled,
disposed and documented?
21/22
Reference
Document
1.5
Flow chart
1.8
Social accountability statement and policy
2.1.2
Current QM certificates
2.2.5
Current quality policy statement
2.3.2
Management organisation diagram
2.5.1.3
Current HACCP certificate(s)
2.5.3.1
Process flow diagram including indication of all CCP's
2.7
3.3.10.2
Provided ?
Current internal audit schedule

Process water treatment flow diagram
3.9.4
Pest control map
4.2.1
Time temperature data for each product
4.2.3
Evaluation method
4.4.7
Latest calibration records - metal detector
4.5.4
Analysis/test schedule - internal laboratory
4.5.5
Comparative testing report - external laboratory
5.1.5
Copy of typical label
5.2.6
Preloading delivery vehicle check list
6.1.4
Traceability flow diagram
7.1.3
Contact details - crisis management team
22/22

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SGF-GMP- Self assessment questionnaire

(for increased food safety, in particular in the fruit juice industry)

1. Version;.August 08, 2008