The assessment process covers the following 7 steps:
1. |
Pre-assessment document review |
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- process flow diagram with location of CCPs |
2. |
Opening meeting |
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- scope |
3. |
On-site verification of process flow diagram |
4. |
On-site document review and observations |
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- product and ingredients specifications |
5. |
Closing meeting |
6. |
Assessment report |
7. |
Assessment follow-up |
The following five pages give examples of forms that can be used for on-site evaluation of the HACCP and prerequisite programmes.
ON-SITE DOCUMENT REVIEW AND OBSERVATIONS
Assessment of HACCP Programme
Name and address of establishment audited |
Phone/fax/email |
Facility Owner (company or person) |
Date of audit |
Products Concerned |
Products - High or low risk |
Name and Number of Inspector |
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Name and Title of Accompanying Individual |
HACCP |
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A |
B |
C |
Note |
HACCP team used was appropriate |
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Raw materials specifications defined and written down |
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Product and ingredient specifications are defined and written down |
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Product end use is defined and recorded (high or low risk product) |
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Flow diagram is written down and is accurate and complete |
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Hazard analysis is written down and is accurate and complete (evidence of Hazard Worksheets) |
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Identification of CCPs is documented and CCPs are appropriate for product and end use of product |
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Critical limits have been established, documented and are appropriate for the CCP |
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Monitoring procedures for each CCP are documented, are followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist |
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Verification procedures are documented and are followed. Records exist |
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All necessary documentation exists and are available for inspection |
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A = excellent, good or only minor deficiencies (no safety risk)
B = major or serious deficiencies, which could lead to a safety risk if not controlled. Any condition or situation rated as a B requires a plan or programme for rapid improvement. Repetitive or cumulative B-ratings can lead to a critical situation.
C = an unacceptable or critical situation representing a safety risk. Any C-rating requires immediate response and corrective action.
Assessment of Pre Requisite Programmes
FACTORY CHECK |
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Processing Plant |
A |
B |
C |
Note |
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Outside |
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Condition of grounds outside the factory |
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Condition of the factory outside wall - especially holes through to inside |
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Inside |
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Rooms |
- layout and flow of goods and people allows easy cleaning and prevents cross contamination |
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Rooms |
- for clean and unclean areas are separated (including waste areas) |
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Rooms |
- for non food items are separated e.g. packaging, chemicals, etc. |
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Ceilings, walls, floors, doors and windows are well designed and maintained in good repair - |
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- for areas directly affecting food product or primary packaging material |
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- for other areas |
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Drains |
- are well designed, sufficient and maintained in good repair |
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Drains |
- there is protection against back-flow, back-siphoning, or other sources of contamination |
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Lighting |
- is sufficient and lights are covered |
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Pest control |
- exclusion devices (screens, mesh, etc.) are present at all openings to outside and maintained in good repair |
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Pest control |
- No areas present to harbour or attract pests |
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Ventilation |
- is sufficient, well designed and there is no condensation evident |
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Facilities in Processing Plant |
A |
B |
C |
Note |
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Water |
- sufficient quantity of cold water available, clear marking and separation of potable and non-potable water |
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Water |
- sufficient quantity of hot water/steam available |
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Ice |
- sufficient quantity available and storage facility well designed and kept in good order and repair |
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Chilling and freezing facilities - sufficient capacity |
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Waste-water |
- leaves the property in a condition that meets environmental laws |
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Hygiene |
- changing rooms are sensibly located, are well designed and are kept in good repair |
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Hygiene |
- toilets are sensibly located and in sufficient numbers and kept in good repair |
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Hygiene |
- Hand-washing and sanitizing stations are in sufficient numbers, well designed, well located and kept in good repair |
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Equipment |
- containers made of appropriate materials, in proper repair and removed when necessary |
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Equipment |
- machinery designed well, easy to clean and kept in good repair - Food contact surfaces |
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Equipment |
- machinery designed well, easy to clean and kept in good repair - Non-food contact surfaces |
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PROCEDURES |
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Safety of water and ice |
A |
B |
C |
Note |
Criteria are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Cleaning and disinfection |
A |
B |
C |
Note |
Cleaning and disinfection methods (food contact and non-contact surfaces) are written down and are appropriate |
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Monitoring procedure for cleanliness is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Personnel hygiene and health |
A |
B |
C |
Note |
Personnel hygiene criteria (cleanliness, dress code) are written down and are appropriate |
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Procedures to handle illness are written down and are appropriate |
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Monitoring procedure for personnel hygiene and health is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations of personnel by auditor |
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Prevention of cross contamination |
A |
B |
C |
Note |
Criteria to prevent cross contamination are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Maintenance of facilities for personal hygiene |
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Methods to maintain personal hygiene facilities are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Protection of food from adulterants |
A |
B |
C |
Note |
Criteria to protect food from adulteration are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Waste management |
A |
B |
C |
Note |
Methods to handle sewage and processing waste are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Recalls and traceability |
A |
B |
C |
Note |
Methods to allow full traceability and recall of product are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Training |
A |
B |
C |
Note |
Training policy and programme are written down, are appropriate and followed |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations of training in factory by auditor, if possible |
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Pest Control |
A |
B |
C |
Note |
Pest control procedures are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Labeling and safe storage and use of toxic chemicals |
A |
B |
C |
Note |
Toxic chemical handling, use and storage procedures are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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Transport and storage |
A |
B |
C |
Note |
Temperature and cleanliness criteria for transport and storage are written down and are appropriate |
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Monitoring procedure is written down, is followed and records are kept |
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Corrective actions identified, written down and are followed when critical limits exceeded. Records exist. |
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Personal observations in factory by auditor |
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NOTES |
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Note number from form |
Comment |
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SUMMARY |
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Totals numbers of each category |
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General comments from auditor |
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General comments from establishment representative |
SIGNATURES |
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Signature of auditor |
Date |
Signature of establishment representative |
Date |