SUPPLIER DETAILS

SUPPLIER
Name
Address
Location City
Country
Phone number:
Email address:
Certification scope (incl.
Scheme name country, units and products Certificate Number Certificate Expiry Date
covered by the certificate)

Certifications:
IFS. BRC, GFSI, ISO 9001,
ISO 22000, ISO 14001,
Others..

Others

Name Title Email

Name of the people doing the self assessment &

Job Titles

Completed by: Date Name Title Email

Other comments:

Version1 |14-03-2016 Nestlé Confidential | COPYRIGHT © 2016, NESTEC S.A

 SELF-ASSESSMENT TOOL
HOW TO PROCEED?
OBJECTIVE OF THE SELF-ASSESSMENT TOOL

The aim of this tool is to provide guidance on how to ensure best practices allowing to reduce microbial load and avoiding cross contamination
during the steaming of dried produce. It should be used in conjunction with the guidance booklet entitled "Steaming of dried produce:
guidance to minimize the microbiological risk". The self assessment builds a picture of the compliance status of a supplier steaming process
before a Nestlé auditor assesses the production area of the supplier (e.g. steaming of dried basil) and gives the supplier potential room for
improvement.

HOW TO PROCEED WITH THE SELF-ASSESSMENT TOOL?

1- Enter information in sheet 1 "1- Supplier details"

2- Fill the sheet "3- Checklist Steaming":

The checklist consists of a number of questions covering topics related to four parts of the process:
- Starting point (GMPs)
- Processing
- Maintenance of equipment
- Validation and verification
Column B contains questions for the four topics mentioned above.
Column C gives guidance on how to answer the question and provides additional information

In column D, each question, should be answered, evaluated, and scored on a three score scale (0, 1 and 2).
--> 0 : The answer to the question is NO --> Enter score 0 (red colour), this is considered as a CRITICAL GAP:
- A failure to a requirement of the assessment list which has a high probability to have an impact on the expected Log reduction during the steaming
of dried produce. Any critical gap leads automatically to a gap in the assessment of the steaming during the Nestlé audit.
Action must be taken to eliminate or mitigate the identified risk (s) and provide clear evidence of corrective actions to the Nestlé assessor.

--> 1 : The answer to the question is YES but it is not done according to the guidance given (PARTIALLY in accordance) --> Enter score 1, the cell will
turn yellow or red if this is considered a Minor or a CRITICAL gap, respectively.
Any minor gap may lead to a lower performance of the drying if not considered and corrective actions not followed.
Minor gaps are opportunities for improvement and MUST be addressed.
--> 2: The answer to the question is YES and the guidance is completely followed --> Enter score 2 (green colour), this is considered to be NO GAP:
- Completely in accordance to the requirement and the guidance.
In case the score is 1 in a critical question (questions 1, 2, 3, 4, 8, 9, 10, 11), the score will be automatically shown in red and is considered as a
CRITICAL GAP (see above definition).
In column E, add corrective actions if cells in colum D are red or yellow. Fill Who (column F) and When (column G). Add comments and notes
(column H) if necessary and link to documentation (column I) if needed.
 SELF-ASSESSMENT CHECKLIST

Yes (2)/
n° Question Guidance on how to answer the question Partially done (1) Corrective actions Who When Comments/Notes Documentation
No (0)/

STARTING POINT- STEAMING

Do you follow Good Manufacturing GMPs, as defined by CODEX (Principles of Food Hygiene) are a collection of generally recognised rules,
Practices (GMPs)(e.g. zoning, cleaning, procedures and practices that together provide guidelines stating what is and what is not acceptable in the
1 environmental monitoring) in your food industry. 1
processing plant?

PROCESSING
Were critical process parameters (product Process parameters must be considered for the worst processing conditions (e.g. the highest volume
temperature, time) identified in the throughput, lowest temperature, shortest time, the beginning (start-up) and the end (shut-down) of the
product bulk during commissioning? process). Temperature measurements should be done in different points of the machine using Recording
Temperature Devices (RTD). Dataloggers can also be used if the machine design allows to do so. This will
2 give a set of temperature lines. The lowest temperature line should be considered since it represents the 1
worst temperature.

Do you continously record product Product temperature, steam pressure and steam temperature should be continously recorded during
temperature, steam pressure and steam processing. RTD and pressure measurement devices should be fitted in the steamer at the start and end
3 temperature during processing? point of the process to record temperatures and pressure. 1

Do you continously record the residence Residence time is one of the key parameters for microbiological inactivation. It should be determined for
time during every production? every product type and continoulsy monitored. The processing parameter to be monitored during
4 production is the rotational speed of the mixer since a fixed residence time corresponds to this speed. 1

Generation of saturated, dry steam Steam should be in a saturated state to avoid air pockets and heterogenous temperature distribution. It
should also be dry to avoid drops in temperature due to formation of condensate. To achieve these
5 conditions it is important to maintain a decrease in pressure along the entire steam line, from the steam 1
generation down to the point of injection into the pre-heating and steaming.

Do you have a procedure that regulates the At the start-up the product must not start the steaming before the target steam temperature is reached.
start-up and shut-down? During shut-down the product must not be treated because the temperature is decreasing below the set
6 point. 1

Do you have a procedure that regulates the In case of a process deviating from the set parameters, a clear procedure must be present to regulate the
management of product coming from rework or disposal of the product.
7 process deviations? 1

MAINTENANCE OF EQUIPMENT
Do you follow regular calibration programs
for temperature probes and pressure All recording devices must be calibrated at regular frequency. This should be done at least every six
monitoring devices? months. For temperature probes an accuracy of ± 0.5°C is recommended.*
8 1
*Guidelines for the Safe Production of Heat Preserved Foods, Department of Health, UK
Industry Handbook for Safe Processing of Nuts, GMA (2010)

Replacement of pressure valves Pressure valves are used to keep overpressure inside the steaming chamber. It is important that valves
seal properly to avoid leakage of steam and consequent loss of heat. The lifespan of the valve should be
9 determined and a valve replacement plan at regular, fixed frequency should be in place. 1

VALIDATION AND VERIFICATION

Did you validate your process parameters A 5 log10 reduction of pathogenic bacteria like Salmonella is a generally recognized safe target for
and define the log10 reduction achieved? validation of steaming processes on dry spices.*
A microbiological validation study is needed if the processing conditions applied are milder (shorter time,
lower temperature or both) than the ones reported below or if another dried product is used.
For steaming of dry basil at 85°C (product temperature), 4 log10 reduction of Salmonella is reached after a
time of 5 minutes.
For steaming of dry black pepper at 75°C (product temperature), 5 log10 reduction of Salmonella is reached
after a time of 5 minutes.
When a microbiological validation is needed, a surrogate microorganism must be identified. For steaming,
10 internal research and external guidance have shown that Enterococcus faecium NRRL B-2354 has a similar 1
heat resistance to the target pathogen (Salmonella spp) and can be considered a suitable surrogate for this
process.
*"Clean, safe spices." Guidance from the American Spice Trade Association (2017).

Is there a clear link between the level of The results of a validation study are valid exclusively for the process parameters applied to a specific
inactivation achieved in the validation product. Only if this connection is established is it possible to safely apply the process parameters on a
11 study and the process parameters applied daily basis. To do so, a deep understanding of the process is mandatory. 1
(temperature, time)?

Do you have verification plans for the Verification should be done at an appropriate frequency on the finished product. Enterobacteriaceae as
steaming process? representatives of pathogenic bacteria such as Salmonella and Shiga Toxin Producing Escherichia coli
12 (STEC) and target pathogens should be used for finished product testing. 1

Do you regularly review analytical records Analytical data should be collected and reviewed overtime to analyse trends.
13 and do trend analysis? 1

Version 1/ 14.03.2016 Nestlé Confidential | COPYRIGHT © 2015, NESTEC S.A 3