HACCP Certification Self-assessment

• Conducted on

  Date

• Prepared by

• Location
  Address

Preliminary Question

• Has the organization developed, documented, and implemented a HACCP-based Food Safety Management System ?

  Yes

  No

  N/A

The HACCP Team

• Does the organization have a documented HACCP Team?

  Yes

  No

  N/A

• Do the HACCP Team members have the process skills and knowledge to develop and maintain the HACCP Plan?

  Yes

  No

  N/A

• Note: A multifunctional team is preferred.

• Does the HACCP Team Leader have operational accountability within the organization?

  Yes

  No

  N/A

• Has the HACCP Team Leader attended a competency-based and assessed training course in the application of HACCP principles?

  Yes

  No

  N/A

• Has the HACCP Team Leader attended an equivalent training course?

  Yes

  No

  N/A

• Please list down the relevant training courses attended.

• Does the organization employ a consultant to develop and maintain the Food Safety Management System?

  Yes

  No

  N/A

• Can the organization provide evidence showing that the consultant holds the appropriate qualifications?

  Yes

  No

  N/A

• How is the day-to-day management of the Food Safety Management System demonstrated?

HACCP Plan Scope

• Is the scope of the HACCP plan defined and documented including:

  Yes

  No

  N/A

• Has the start and endpoint of the processes been set?

  Yes

  No

  N/A

• Is there documentation of the products covered?

  Yes

  No

  N/A

• Is the purpose of the Food Safety Management System defined and documented including the intent that all food safety hazards will be identified and controlled?

  Yes

  No

  N/A

Product Description and Intended Use

• Have product descriptions been developed and documented for all products included within the scope?

  Yes

  No

  N/A

• - Similar products can be grouped together.
  
  - Products that are processed using different food safety controls, processing techniques, or packaging methods require a separate product description.

• Product description?

  Yes

  No

  N/A

• Composition?

  Yes

  No

  N/A

• Physical/chemical/microbiological characteristics?

  Yes

  No

  N/A

• Intended use?

  Yes

  No

  N/A

• Preservation method?

  Yes

  No

  N/A

• Storage, handling, and distribution?

  Yes

  No

  N/A

• Packaging?

  Yes

  No

  N/A

• Labeling requirements?

  Yes

  No

  N/A

• Shelf life?

  Yes

  No

  N/A

• Allergens?

  Yes

  No

  N/A

Flow Diagram

• Are documented flow diagrams in place?

  Yes

  No

  N/A

• Inputs?

  Yes

  No

  N/A

• Rework?

  Yes

  No

  N/A

• Outsourced process steps?

  Yes

  No

  N/A

• Waste management?

  Yes

  No

  N/A

• Does the HACCP team verify the flow diagrams annually and whenever there are any significant changes to the product or process?

  Yes

  No

  N/A

• Are records of verification available?

  Yes

  No

  N/A

• Yes

  No

  N/A

Hazard Analysis

• Has hazard analysis been conducted and documented at each step of the process?

  Yes

  No

  N/A

• Has a hazard analysis been conducted for each raw material input?

  Yes

  No

  N/A

• Have all potential food safety hazards been identified and assessed to determine what needs to be prevented, eliminated or reduced to acceptable levels?

  Yes

  No

  N/A

• Have the hazards and the cause of the hazards been documented?

  Yes

  No

  N/A

• Have all potential allergenic hazards been considered, identified and documented?

  Yes

  No

  N/A

• Has each hazard been considered individually with each having its own separate risk assessment?

  Yes

  No

  N/A

• Has a risk assessment been conducted to determine which hazards are significant and which are not?

  Yes

  No

  N/A

• Have quality hazards been identified?

  Yes

  No

  N/A

• Has the risk assessment for quality hazards been considered separately from the food safety hazards?

  Yes

  No

  N/A

• For any hazard deemed significant, has at least one control measure been determined to prevent it from occurring or reduce it to an acceptable level?

  Yes

  No

  N/A

• Has a method been developed or have standard textbook methodologies been used for hazard analysis?

  Yes

  No

  N/A

• Has the method used been applied consistently throughout the Food Safety Management System?

  Yes

  No

  N/A

• Are sources used referenced?

  Yes

  No

  N/A

• Is a copy of the reference included in the documentation?

  Yes

  No

  N/A

Determining Critical Control Points (CCP)

• Have all hazards deemed to be significant CCPs?

  Yes

  No

  N/A

HACCP Audit Table

• Has a HACCP Audit Table been developed, documented and applied which includes each step of the process(es)?

  Yes

  No

  N/A

• Does this table list all the CCPs identified in the hazard analysis?

  Yes

  No

  N/A

Establish Critical Limits

• Have critical limits for CCPs been established and documented in the HACCP Audit Table?

  Yes

  No

  N/A

• Are the critical limits measurable and monitored during production?

  Yes

  No

  N/A

• Are the critical limits guidelines available through industry standards, legislation, and codes of practice or published research?

  Yes

  No

  N/A

• Has the organization undertaken a validation study to ensure said limits will control the significant hazard?

  Yes

  No

  N/A

• Is the validation data documented and maintained by the organization?

  Yes

  No

  N/A

CCP Monitoring

• Has the organization documented how each CCP is monitored to ensure it is within set critical limits?

  Yes

  No

  N/A

• Are monitoring procedures available?

  Yes

  No

  N/A

• What is being monitored?

  Yes

  No

  N/A

• Has the monitoring process been defined?

  Yes

  No

  N/A

• Has the location of monitoring been set?

  Yes

  No

  N/A

• Is the assigned person(s) to undertake the monitoring trained in correct methods?

  Yes

  No

  N/A

• Is this training assessed and documented?

  Yes

  No

  N/A

• Is the frequency of monitoring sufficient to ensure that the CCP is under control?

  Yes

  No

  N/A

• Are monitoring records available? <br>i) Maintained? <br>ii) Signed by the person responsible for the monitoring? <br>iii) Signed by a responsible reviewing officer? (

  Yes

  No

  N/A

• Are records properly maintained?

  Yes

  No

  N/A

• Are records signed by the person responsible for monitoring?

  Yes

  No

  N/A

• Are records signed by a reviewing officer?

  Yes

  No

  N/A

• Reviewing officer should not be the same person responsible for monitoring.

CCP Corrective Actions

• Have CCP corrective actions been developed, documented, and implemented that define the action(s) to be taken when monitoring reveals that the critical limit has not been met?

  Yes

  No

  N/A

• Is there a procedure in place?

  Yes

  No

  N/A

• Does the procedures state what actions to take regarding the affected product?

  Yes

  No

  N/A

• Does the procedures state what actions to take regarding the person responsible?

  Yes

  No

  N/A

• What action is to be taken regarding the process?

  Yes

  No

  N/A

• Has a root cause analysis been undertaken to identify the problem and prevent recurrence?

  Yes

  No

  N/A

Verification Activities

• Are verification procedures in place to ensure the Food Safety Management System is being followed?

  Yes

  No

  N/A

• Do verification activities include the following?

  Select Internal audits HACCP plan review Microbiological and chemical testing (if applicable) Shelf life testing (if applicable) Finished product assessments (if applicable) Review of monitoring records Record of corrective actions

  • Internal audits
  • HACCP plan review
  • Microbiological and chemical testing (if applicable)
  • Shelf life testing (if applicable)
  • Finished product assessments (if applicable)
  • Review of monitoring records
  • Record of corrective actions

• Select all that apply.

• Is a documented and maintained verification schedule in place?

  Yes

  No

  N/A

• What was the activity performed?

  Yes

  No

  N/A

• What is the frequency of the activity?

  Yes

  No

  N/A

• Who are the personnel responsible?

  Yes

  No

  N/A

• Are records maintained?

  Yes

  No

  N/A

Food Safety Management System Review

• Is the Food Safety Management System reviewed regularly?

  Yes

  No

  N/A

• An annual review is required.

• What's covered by the Food Safety Management System review?

  Select Food Safety Policy Organizational chart Document control Verification activities Pre-requisite programs

  • Food Safety Policy
  • Organizational chart
  • Document control
  • Verification activities
  • Pre-requisite programs

• Select all that apply.

• Is the Food Safety Management System reviewed whenever changes occur?

  Yes

  No

  N/A

• Are records of reviews maintained?

  Yes

  No

  N/A

Internal Audits

• Are internal audits of the Food Safety Management System conducted annually and sufficient to maintain the effectiveness of the system?

  Yes

  No

  N/A

• Is there a documented and implemented internal audit procedure?

  Yes

  No

  N/A

• Are there records of conducted internal audits?

  Yes

  No

  N/A

• Are internal auditors trained appropriately for the task?

  Yes

  No

  N/A

• Is there an internal audit schedule in place which indicates: <br>i) Elements to be audited? <br>ii) Audit scope? <br>iii) Dates to be maintained?

  Yes

  No

  N/A

• Have GMP inspections been conducted according to the product risk?

  Yes

  No

  N/A

• GMP inspections should be conducted monthly, at the minimum.

Microbiological & Chemical Testing Schedule

• Have microbiological and/or chemical hazards been identified during hazard analysis?

  Yes

  No

  N/A

• Is a schedule of testing in place to confirm that CCP(s) are under control?

  Yes

  No

  N/A

• Is a schedule of testing in place to confirm that products or processes meet regulatory and customer requirements and to ensure quality and food safety parameters?

  Yes

  No

  N/A

• Are sampling methodologies and test limits documented that include the corrective actions for test results that are outside the limits?

  Yes

  No

  N/A

• Is testing conducted by suitably trained personnel?

  Yes

  No

  N/A

• Are test results reviewed by a responsible officer within the organization and within a reasonable timeframe?

  Yes

  No

  N/A

• Are corrective actions taken when results indicate that limits have been exceeded?

  Yes

  No

  N/A

• Are records of these corrective actions kept?

  Yes

  No

  N/A

Shelf-Life Testing

• Does the organization produce products with a shelf life of less than two years?

  Yes

  No

  N/A

• Is a schedule of shelf-life testing documented and maintained?

  Yes

  No

  N/A

• Are there tests to initially establish the shelf life indicated in the product description?

  Yes

  No

  N/A

• After initial shelf-life testing, are there tests top verify that stated shelf life is being met?

  Yes

  No

  N/A

• Are retention samples stored under typical conditions and in the commercial packaging for that product?

  Yes

  No

  N/A

• Did the end of shelf-life testing occur after the expiry date of the product?

  Yes

  No

  N/A

• For frozen products, has the end of shelf-life testing been carried out after the end of the frozen period has been reached?

  Yes

  No

  N/A

• Select which tests are included as end of shelf-life tests:

  Select Chemical testing Microbiological testing Organoleptic testing Physical testing

  • Chemical testing
  • Microbiological testing
  • Organoleptic testing
  • Physical testing

• Have end of shelf life results demonstrated that the parameters of the product at the end of shelf life continue to meet the finished product specification?

  Yes

  No

  N/A

• For new products, has the process for determining the shelf life and assumptions been clearly documented?

  Yes

  No

  N/A

• Does the organization perform accelerated shelf-life testing?

  Yes

  No

  N/A

• This does not replace shelf life testing under typical conditions.

• Select what is included in the shelf life testing schedule:

  Select Type of testing to be conducted Testing to be conducted on each product or product type Testing to be conducted at least annually or when there is a significant change in the product or process

  • Type of testing to be conducted
  • Testing to be conducted on each product or product type
  • Testing to be conducted at least annually or when there is a significant change in the product or process

• Are test results reviewed and signed by a responsible officer within the organization?

  Yes

  No

  N/A

Finished Product Assessments

• Is there a developed, documented, and implemented schedule for finished product assessments against finished product specifications?

  Yes

  No

  N/A

• Are records of these assessments maintained?

  Yes

  No

  N/A

Monitoring and Corrective Actions of Verification Activities

• Does the organization review the results of verification activities?

  Yes

  No

  N/A

• Is a documented schedule in place for reviewing monitoring activities and corrective actions of verification?

  Yes

  No

  N/A

Customer Complaints

• Does the organization have a developed, documented, and implemented process for reviewing customer complaints in relation to food safety and quality issues?

  Yes

  No

  N/A

• Is this process reviewed at least annually?

  Yes

  No

  N/A

• Does this process include a customer complaints register?

  Yes

  No

  N/A

• Do staff that log customer complaints have suitable training?

  Yes

  No

  N/A

• Are records of reviews, investigations, and corrective actions kept?

  Yes

  No

  N/A

• Are corrective actions prompt and appropriate?

  Yes

  No

  N/A

Recordkeeping

• Does the organization have a documented and controlled recordkeeping system relevant to the Food Safety Management System?

  Yes

  No

  N/A

• Select which of the following records are retained:

  Select Monitoring of CCPs Corrective actions taken regarding CCPs Changes to the Food Safety Management System Pre-requisite programs Verification activities Validation activities

  • Monitoring of CCPs
  • Corrective actions taken regarding CCPs
  • Changes to the Food Safety Management System
  • Pre-requisite programs
  • Verification activities
  • Validation activities

• Are records retained for a minimum of 12 months or the shelf life of the subject product(s) (whichever is the greater) ?

  Yes

  No

  N/A

• Are records protected from damage or loss, easily accessible, and securely stored?

  Yes

  No

  N/A

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