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HACCP Internal Audit Checklist

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HACCP Internal Audit Checklist

1.1 - HACCP PLAN

An effective, accurate HACCP Plan must be in place. The HACCP plan must be developed using Codex Alimentarius HACCP principles with reference to relevant legislation, Tesco COP and industry guidance.

The HACCP plan must include a detailed scope

1.2 - HACCP TEAM

The HACCP system must be developed by a multi-disciplinary team which must have product specific knowledge and expertise

The team includes members from at least the following disciplines (not exhaustive list): Technical, Production, Engineering.Support from NPD, purchasing, distribution etc as appropriate.

At least one member of the team has completed a recognised qualification in advanced HACCP (aspirational)

Refresher training of the HACCP team is undertaken annually, regardless of any change in Production processes (aspirational)

1.3 - PRE-REQUISITE PROGRAMMES

All environmental and operational controls that are necessary to produce of safe and legal food products must be in place. These cover good manufacturing practises throughout the site. They may include... (Not an exhaustive list)

Personal hygiene - control measures and monitoring procedures for PRP must be clearly identified and documented

Staff training - control measures and monitoring procedures for PRP must be clearly identified and documented

Pest Control - control measures and monitoring procedures for PRP must be clearly identified and documented

Cleaning procedures - control measures and monitoring procedures for PRP must be clearly identified and documented

Glass / hard plastic control - control measures and monitoring procedures for PRP must be clearly identified and documented

Waste control - control measures and monitoring procedures for PRP must be clearly identified and documented

Maintenance procedures - control measures and monitoring procedures for PRP must be clearly identified and documented

1.4 - PRODUCT

A full description of the product must be documented including relevant safety information...

Product composition

Origin of ingredients

Physical / chemical structure (eg water activity, pH, etc)

Treatment and processing (eg heating, freezing, salting)

Packaging

Storage and distribution conditions (with specific temperatures)

Durability and required shelf-life

Instructions for use

1.5 - INTENDED USE

Intended use of product defined

End user / consumer detailed

Suitability for vulnerable groups considered (eg infants, elderly, allergen sufferers)

1.6 - FLOW DIAGRAMS

All process steps included - by product

Rework / interface included where applicable

Water included where applicable

Waste included where applicable

Flow diagram signed off as verified within the production area

CCP's are high-lighted on flow diagrams

High risk - physical barriers in process identified on flow chart

1.7 - HAZARDS

All potential hazards that may be reasonably expected to occur for each process step and product must be identified

Hazards identified must be specific to the process step - generic descriptions such as 'foreign body' and 'micro-organisms' are not sufficient

1.8 - HAZARD ANALYSIS

The HACCP team must conduct a hazard analysis to identify hazards which need to be prevented, eliminated or reduced to acceptable levels.

Hazard analysis must include - likely occurrence and severity

Hazard analysis must include - survival or multiplication of micro-organisms

Hazard analysis must include - presence or production of toxins, chemicals or foreign bodies and allergens

Hazard analysis must include - potential for adulteration / deliberate contamination

1.9 - CONTROL MEASURES

The HACCP team must assess whether an existing pre-requisite adequately controls the hazard identified

The HACCP team must consider what control measures (if any) for the remaining hazards can be applied to prevent, eliminate or reduce the risk to acceptable levels.

If no control measures have been identified the product / process must be modified so a control measure can be applied

Documentation must show links to a specific pre-requisite, must not be generic.

1.10 - DETERMINATION OF CCP'S

Codex decision tree or equivalent must be used to determine if control measures are CCP's

Documentation must show decision tree answers that determine whether it is a CCP

1.11 - CRITICAL LIMITS

Critical limits must be defined and validated to ensure that the product is safe

The process must be capable of operating consistently within the defined limits

Critical limits must be measurable and justification for their use must be documented

1.12 - MONITORING

Monitoring procedures must be established for each CCP to ensure compliance with the critical limits

The monitoring system must be able to demonstrate control and detect loss of control of CCP's

Precision limits and tolerances of monitoring equipment must be considered when defining limits eg. tolerance of temperature probes.

Monitoring procedures must contain details on how the measurements are taken and the frequency

1.13 - MONITORING RECORDS

Monitoring records must be signed by the person doing the check

Monitoring records must then be verified by an authorised person

1.14 - CORRECTIVE ACTIONS

The corrective actions to be taken when a CCP deviates from critical limits must be detailed and documented by the HACCP team.

The corrective actions must ensure that the CCP has been brought under control

The corrective action must ensure any material that may have been produced whilst the CCP was not in control is identified, isolated and a full risk assessment completed

Product and or materials must be disposed of if the safety of the product is in doubt

Any examples where risk assessment deems the product to be safe, must be submitted to Retailer TM prior to supply to retailer

The HACCP must be reviewed at the earliest opportunity following accepted deviation from the defined critical limits

1.15 - TRAINING

Personnel in the factory who monitor CCP's must have an understanding of HACCP

Personnel in the factory who monitor CCP's must have specific training against the latest version of the relevant monitoring procedure

Aspirational - all production personnel have a basic understanding of HACCP and how it relates to the area they work in - conducted separately to induction, once individuals have become familiar with the process

1.16 - VERIFICATION

The operation of the HACCP plan must be verified to confirm that it is effective ie. that individuals are actually following the stated procedures, and that the whole system including the PRP's is operating effectively - this May include:

Review of Internal audits (relevant to HACCP)

Review of customer complaints (including FB / illness)

Review of microbiological results

1.17 - VERIFICATION (2)

Aspirational - HACCP plan is verified by a 3rd party with specialist knowledge of food microbiology, food chemistry and relevant food processing technologies

1.18 - REVIEW

HACCP plan must be reviewed at a pre-determined frequency (minimum annually)

HACCP plan must be reviewed prior to changes of product / process which may affect product safety - such as;

Changes to process steps

Changes to supply or specification of raw materials

Changes to ingredients / recipe

Changes to packaging, storage our distribution

Introduction of new or modification to existing equipment

Changes in factory layout or product flow