The Core HACCP assessment audit checklist represents a compilation of commonly used audit questions for HACCP certification. It does not represent a comprehensive checklist or a checklist, which is currently in use. It intends to show how a haccp audit checklist may look and the sort of questions and activities, which may lead to an effective food assessment.
Following are the HACCP principles and primary audit checklist used for those food safety certification principles:
HACCP Preparation –
- 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?
- 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 trained?
- How was the 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 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 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?