The HACCP Assessment checklist on the following pages represents a compilation of commonly used questions. It does not represent a comprehensive checklist or a checklist, which is currently in use. It intends to show how a list may look and the sort of questions and activities, which may lead to an effective assessment.
What evidence is there of management commitment to HACCP use?
- Who was on the team?
- Are all appropriate disciplines represented?
- What is the likely knowledge level of the individuals? (Evidence of training, qualifications, experience etc.)
- Has external expertise been sought where necessary?
- What is the decision making leverage of the HACCP team leader?
ISO 22000 training – HACCP Checklist
- How does the system fit with the overall food safety control programme?
- Does the company have a food safety policy?
- Has the scope been clearly defined?
- How is the system structured?
Principle 1 : “Conduct a hazard analysis”
* Has the product been properly described?
- Are intrinsic control measures identified?
* Is the process flow diagrammed (PFD) comprehensive?
- How was the PFD verified for accuracy and by whom?
- Are all raw materials and process/storage activities included in the flow diagrammed? (Rework can be included as an ingredient.)
- Have all activities been included?
- Is the PFD correct?
- Have changes been made since the PFD was drawn up?
- How does the HACCP Team get notified of changes to the process or product parameters?
- How were the changes recorded and approved?
- Were any changes discussed with HACCP Team before implementation?
- Are there rework opportunities and have they been included?
* How was the hazard analysis conducted?
- Were only significant hazards identified?
- Have all raw materials (including rework) been included?
- Have all process steps been considered?
- Have the hazards been specifically identified by type/source or have they been generalized?
- How did the team assess the likelihood of occurrence?
- What information sources were utilized?
* Have appropriate control measures (CMs) been identified for each hazard?
- Will the CMs control the hazards and how was this validated?
- Are all the CMs in place at the plant level?
Principle 2 : “Determine the Critical Control Points (CCPs)”
* How were the CCPs identified?
- By expert judgement?
- By the use of a decision tree? (Has the decision tree been used correctly?)
- By the use of consultants?
- Have all necessary CCPs been identified?
- Did each identified hazard undergo a systematic consideration?
- How are the hazards, which are not controlled by CCPs addressed?
Principle 3 : “Establish critical limits”
- How were the critical limits established?
- Is there evidence (experimental data, literature references etc.)?
- What validation exists to confirm that the critical limits control the identified hazards?
- Have critical limits been established for each CCP?
- How do they differ from operational limits?
Principle 4 : “Establish a system to monitor the control of the CCP”
* Have realistic monitoring schedules been established?
- Do they cover all CCPs?
- Has the reliability of monitoring procedures been assessed where appropriate?
- What is the status of monitoring equipment?
- Is it evidenced as being in place and calibrated appropriately?
- Are the CCP log sheets being used at all CCPs?
- Have CCP log sheets been filled out correctly?
- Is there any evidence that procedures are not being followed consistently?
- Does the frequency of monitoring adequately confirm control?
- Are the sampling plans statistically valid?
- Are statistical process control records being used to demonstrate that the process is in control on a day-to-day basis?
- Check that records agree with stated activities.
* Are monitoring personnel and their deputies properly identified and haccp trained?
- How was the HACCP training undertaken?
- Are the monitoring records being reviewed by designated appropriate reviewers?
Principle 5 : “Establish the corrective action to be taken when monitoring indicates that a particular CCP is not under control”
- Have the corrective actions been properly defined such that control is regained?
- What evidence is there to demonstrate that this is being done in the event of a CCP deviation?
- Has corrective action been recorded and how is the effectiveness being verified?
- How has the authority for corrective action been assigned?
- How is non-conforming product controlled and is this clearly recorded?
- Are there clear disposition actions listed?
Principle 6 : “Establish procedures for verification to confirm that the iso 22000 HACCP system is working effectively”
- Have verification procedures been clearly and appropriately established?
- How are these procedures communicated through the business?
- Have responsibilities for verification procedures been allocated?
- Are they being carried out effectively?
- Are all CCPs covered by the verification programme?
- Is the information on the HACCP Control Chart up to date?
- Is there a formal system to trigger amendments?
- Are control parameters being achieved?
- Have process capability studies been carried out?
- How is the data from HACCP being used to improve the system?
- How is consumer complaint data being used within the verification system?
- Is there a regular review of CCP failure and product dispositions?
- Are prerequisite support systems included within the verification programme?
Principle 7 : “Establish documentation concerning all procedures and records appropriate to these Principles and their application”
- What format is being used to document the system?
- Does the iso documentation cover all of the HACCP system operation?
- How is the documentation controlled with regard to update and issue etc.?
- Are the records accessible?
- Are the HACCP records clearly identified by unique reference numbers?
- Are all documents accurate and current?
- Are verification procedures documented?
- How is change control managed?
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