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HACCP AUDIT FORM

SCOPE OF AUDIT
A systematic and independent examination to determine whether the HACCP system has been established by applying the principles of HACCP, as
documented by the Codex Alimentarius Commission.
SUMMARY OF PERFORMANCE

 
Corrective Action Plan Action To Be Taken
Who When

HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills


HACCP AUDIT FORM
HACCP AUDIT CHECKLIST
Preparation Acceptable
1.0 Details
Prerequisites Yes/No
Does HACCP system have senior management
1.1 commitment and is it implemented through the
company’s quality management system?
Does the management provide sufficient resource for the
1.2 implementation and control of the HACCP management
system?
Are organisation charts available identifying key food
1.3
safety responsibilities?
1.4 Does the company have a food safety policy?
Does the HACCP system fit with the overall food safety
1.5
programme?
Is there a prerequisite programme in place to underpin the
1.6
HACCP system?
Is the responsibility for implementing and verification of
1.7
the prerequisite programme documented?
Is the prerequisite programme confirmed as working
1.8
effectively?
Preparation Acceptable
2.0 Details
Terms of reference /scope study Yes/No
Have all appropriate hazards to be considered, clearly
2.1
defined, i.e. pathogenic organisms, glass?
Does the HACCP study clearly state whether the product
2.2 is judged safe at point of despatch or at point of
consumption?
Does the scope make mention of any HACCP guidance
2.3 used, or details of relevant codes of practice/guideline
documents?
Preparation Acceptable
3.0 Details
Food Safety Team Yes/No
3.1 Is a food safety team set up?
3.2 Who is on the food safety team?
Do members of the food safety team have sufficient
knowledge and experience with regards the products,
3.3
processes and hazards within the scope and field of
application?
Is it the food safety team that develops, maintains and
3.4
reviews the HACCP management system?
HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills
HACCP AUDIT FORM
Are all appropriate disciplines represented?
3.5
Production – QA/QC – Engineer – Production - Others
Is the knowledge level of the individual team members
3.6
sufficient? (Training, qualifications, experience, etc)
3.7 Is there an appointed team leader?
3.8 Has external expertise been sought where necessary?
Does the Team Leader ensure that the HACCP system is
3.9
established, implemented and maintained?
Is the food safety team leader able to demonstrate
3.10 competence in the understanding of the HACCP
principles and their application?
Does the Team leader organise the work of the HACCP
3.11
team?
What is the decision making leverage of the food safety
3.12
team leader?
How does the food safety team get notified of changes to
3.13
the process or product parameters?
Are changes discussed with the food safety team before
3.14
implementation?
3.15 How are the changes recorded and approved?
Preparation Acceptable
4.0 Details
Product and Intended use Yes/No
4.1 Have intrinsic control factors been identified?
4.2 Has the product composition been defined?
4.3 Is the chemical and physical structure defined (e.g., pH)
Have all processing and /or other methods of preservation
4.4
been included?
4.5 Have all the packaging systems been identified?
4.6 Are all storage and distribution conditions been included?
Has the “use by date or “best-before” date been stated?
4.7
Has the intended use of the product by the consumer and
4.8
the consumer target groups been defined?
Preparation Acceptable
5.0 Details
Product Flow Diagram Yes/No
5.1 Is the process flow diagram (PFD) comprehensive?
5.2 Have all process steps been considered?
Are all raw materials and process/storage activities
5.3
included in the flow diagram?
5.4 Have all activities been included? (Water, steam)
HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills
HACCP AUDIT FORM
5.5 Is the process flow diagram correct?
Are there rework opportunities and have they been
5.6
included?
5.7 Have all raw materials been included?
Have changes been made since the process flow diagram
5.8
was drawn up?
5.9 Has the PFD been verified for accuracy and by whom?
5.10 Is the PFD signed and dated?
5.11 Does supporting data include: Personnel routes?
5.12 Does supporting data include: Routes of waste removal?

Acceptable
6.0 Principle 1: Conduct a hazard analysis Details
Yes/No
6.1 How was the hazard analysis conducted?
6.2 Were only significant hazards identified?
6.3 Where intrinsic control factors considered?
Have all raw materials (including rework) been identified
6.4
and considered?
Have the hazards been specifically identified by
6.5
type/source or have they been generalised?
Has the cause or source of the hazard been clearly
6.6
defined?
Have all process steps been considered? And how was
6.7
this conducted and recorded?
6.8 How did the team assess the likelihood of occurrence?
6.9 What information sources were utilised?
Have appropriate control measures been identified for
6.10
each hazard?
Will the control measure control the hazard and how was
6.11
this validated?
Have all the control measures been implemented and are
6.12
they/will they effectively control the hazard?
Principle 2: Determine Critical Control Points (CCP’S) Acceptable
7.0 Details
Yes/No
How were the CCP’s identified? (Expert judgement,
7.1
decision tree)
7.2 Have all the necessary CCPs been identified?
Have records of the use of the decision tree been
7.3
maintained?
7.4 Did each identified hazard undergo a systematic

HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills


HACCP AUDIT FORM
consideration?
7.5 Has the CCP decision tree been used correctly?
7.6 Have personnel been trained to use a decision tree?
How are the hazards that are not controlled by CCP’s
7.7
addressed?
Acceptable
8.0 Principle 3: Establish critical limits for each CCP Details
Yes/No
8.1 How were critical limits established?
Is there evidence (experimental data, literature references,
8.2
etc.)?
What validation exists that the critical limits control the
8.3
identified hazards?
8.4 Have critical limits been established for each CCP?
8.5 Do they differ from operational limits?
8.6 Are the critical limits measurable?
Have the establishment of the critical limits been
8.7
recorded?
Acceptable
9.0 Principle 4: Establish a monitoring system for each CCP Details
Yes/No
Have appropriate control measures (CMs) been identified
9.1
for each hazard?
Will the control measures control the hazards and how
9.2
was this validated
9.3 Are all the control measures in place at plant level?
9.4 Have realistic monitoring schedules been established?
9.5 Does this cover all CCP’s?
9.6 Is the frequency of monitoring specified?
Does the frequency of monitoring adequately confirm
9.7
control?
Has the reliability of monitoring procedures been
9.8
assessed where appropriate?
9.9 What is the status of monitoring equipment?
9.10 Is it evident as being in place and calibrated?
9.11 Are the CCP log sheets used at all CCPs?
9.12 Have CCP log sheets been filled in correctly?
9.13 Do designated reviewers review the monitoring records?
9.14 Do records agree with stated activities?
Is there evidence that procedures are not being followed
9.15
consistently?
9.16 Are statistical process control records being used to
demonstrate that the process is in control on a day-to-day

HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills


HACCP AUDIT FORM
basis?
Do monitoring records show any deviations from a
9.17
critical limit?
Are monitoring personnel and their duties properly
9.18
identified and trained?
9.19 How was this training undertaken?
Will the CMs control the hazards and how was this
9.20
validated
9.21 Are all the CMs in place at plant level?
Acceptable
10.0 Principle 5: Establish a corrective action plan Details
Yes/No
Have the corrective actions been properly defined such
10.1
that control is regained?
What evidence is there to demonstrate that this is being
10.2
done in the event of a CCP deviation?
Has corrective action been recorded and how is the
10.3
effectiveness being verified?
How has the authority for corrective action been
10.4
assigned?
How is non-conforming product controlled and is this
10.5
clearly marked?
Are investigation reports available when monitoring
10.6
indicates that a deviation has occurred?
Acceptable
11.0 Principle 6: Verification including validation Details
Yes/No
11.1 Was the HACCP plan validated prior to implementation?
11.2 Who carried out the HACCP validation process?
Has the person ultimately responsible for food safety
11.3
signed off the HACCP plan?
11.4 Have process capability studies been carried out?
11.5 Has validation testing been carried out?
Have verification procedures been clearly and
11.6
appropriately established?
11.7 Are verification procedures documented?
Have responsibilities for verification procedures been
11.8
allocated?
11.9 Are they being carried out effectively?
11.10 Are all CCP’s covered by the verification programme?
11.11 Are time and temperature parameters being achieved?
Is there a regular review of CCP failure and product
11.12
dispositions?

HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills


HACCP AUDIT FORM
Are prerequisite systems included within the verification
11.13
programme?
How is the consumer complaint data being used within
11.14
the verification system?
Have there been any emergency product withdrawals
11.15
within the last 12 months due to food safety?
Does internal shelf life testing indicate any food safety
11.16
issues?
Is independent pathogen testing carried out to verify the
11.17
effectiveness of the HACCP study?
11.18 Do pathogen results indicate any food safety concerns?
11.19 Are food safety requirements being met?
Is the information on the HACCP control chart up to
11.20
date?
11.21 Are HACCP reviews conducted at defined intervals?
11.22 Are there records of scheduled HACCP reviews?
Have changes been made to the HACCP plan following
11.23
HACCP reviews?
Do reviews include the continuing suitability and
effectiveness of the system to fulfil the requirements of
11.24
customers and authorities and to satisfy the organisation’s
food safety policy?
Are the results of HACCP reviews brought to the
11.25
attention of senior management?
Is there a mechanism to enable HACCP review’s to be
11.26
‘triggered’ by changes?
11.27 Are there records of such triggered HACCP reviews?
Acceptable
12.0 Principle 7: Establish documentation and record keeping Details
Yes/No
Are documented procedures established and maintained
12.1 for drawing up and controlling all documents that relate
to the HACCP system?
Does the documentation cover all of the HACCP system
12.2
operation?
Is the documentation controlled with regard to update and
12.3
issue?
12.4 Are the records accessible?
Are the HACCP records clearly identified by unique
12.5
reference numbers?
12.6 Are all the documents accurate and current?
Are Invalid/obsolete documents removed from point of
12.7
issue or use?
HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills
HACCP AUDIT FORM
Are appropriate documents available at all locations
12.8 where operations essential to the effective application of
the HACCP management system are performed?
12.9 Are verification procedures documented?
Does the HACCP plan contain:
12.10 The terms of reference/scope of the study
12.11 The team members – training certificates
12.12 Product description
12.13 Intended use of the product
12.14 Product flow diagrams
Site plans detailing waste routes, personnel routes and
12.15
location of processing equipment
12.16 Relevant hazards and controls
12.17 HACCP control charts
12.18 The CCP’s that have been determined
The critical limits at the CCP’s, with targets and
12.19
tolerances where relevant
12.20 The monitoring plan for each CCP
12.21 The Corrective action plan
Details of verification activities, including details of
12.22
scheduled review
12.23 Date of validation and validation records
Reference to relevant legislation, procedures, records,
12.24
forms
Does the HACCP system contain the following supporting records:
Details of the HACCP team members, roles, skills and
12.25
experience.
12.26 Training records for HACCP team members
12.27 Nature, source and quality of raw materials
12.28 All decisions relating to product safety
12.29 Relevant Standard Operating Procedures
12.30 CCP monitoring records
12.31 Prerequisite programs
12.32 Food safety policy
12.33 Verification data
12.34 Validation data
12.35 Servicing and calibration of CCP monitoring devices
12.36 Review data
12.37 Records of HACCP team meetings?

HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills


HACCP AUDIT FORM

Audited Carried out By:______________________

Date: _____________________

HACCP010 Issue 1 Issue Date 07/03/13 Authourised By Carolyn Mills