Internal Audit Checklist - HACCP Food Safety System ( AU-001-AE)

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HACCP Team : CFMSR V2 1.2 HACCP Team; BRC V8 2.1.1 HACCP Food Safety Team; WSEP V2 2.1 Food Safety Team; CFMSR V2 1.2.1 – 1.2.4 Team Leader and HACCP Team Member Training;

The HACCP Team Members should include the : • Production Manager • Quality Manager • Purchasing Manager • Warehouse Manager • Maintenance / • Engineering Manager • Production Floor Leading Hands. The HACCP Team Leader shall have successfully completed formal training in HACCP Principles and Application (of no less than 16 hours duration) delivered in a class‐room environment (i.e. not internet based). Refresher training of the HACCP Team Leader must be undertaken every 3 years, regardless of any change in production processes. Members of the HACCP Team shall undergo annual internal training in HACCP (e.g. Train‐the‐Trainer).

Pre-requisite programs for HACCP: CFMSR V2 1.3; BRC V8 2.2.1; WSEP V2 2.2 Facility Map: CFMSR V2 1.4,1.5 Base, Medium, High Area Categories and facility map.

Pre‐requisite programs necessary to produce safe and legal food products must be in place. These must cover good manufacturing practices throughout the site and should include; • Personal Hygiene • Staff Training • Pest Control Program • Cleaning and sanitising procedures • Glass, Brittle/ Hard Plastic, and Ceramic Control • Waste Control • Maintenance programs for equipment and buildings • Calibration • Allergen Controls • Foreign Body Control • Purchasing/Supplier Approval Program • Internal Audit Program. • Pest Control • Transport arrangements The control measures and monitoring procedures for the pre‐requisite programs must be clearly identified and documented. Review site procedures for all pre-requisite programs listed in HA-006.
CFMSR V2 1.4,1.5 Base, Medium, High Area Categories and facility map; The supplier shall undertake an assessment against the ‘Arrangements and Configuration’ section of the CFMSR Coles standard to determine the Base, Medium, and High areas of the facility. The supplier shall include a facility diagram showing: • Site boundaries and access points • Site buildings and access points • Vehicle and pedestrian traffic flows • The flow of products through the facility • The nomination of areas as Base, Medium, or High. THIS IS FOR COLES SUPPLIERS ONLY. Check CFMSR V2 (QA National\Standards\2017 03 Coles Food Manufacturing Supplier Requirements V2), pages 27-29 for guidance in conducting the risk assessment of areas.

HACCP Scope: WSEP V2 2.1.3; BRC V8 2.1.2; CFMSR V2 1.1

A detailed scope for HACCP plan, including the products and processes covered, must be defined and include product general description and intended use. Are the scope & purpose of each HACCP Plan defined. Is there a list of products covered by the scope. Does the scope correctly identify the start and end point of the process(es) under consideration? Is purpose appropriate? Are there any scope exclusions.

Product Description: CFMSR V2 1.6; BRC V8 2.3.1- 2.3.2; WSEP V2 2.3.1- 2.3.2 Intended use: CFMSR V2 1.7; BRC V8 2.4.1; WSEP V2 2.4.1

A full description of the product must be documented including relevant safety information e.g.: • Composition (e.g. raw materials, allergens, ingredients, specification) • Origin of ingredients (can be documented in the HACCP Plan Hazard Analysis). Note: in the HACCP introduction refer to specifications for raw materials, SP-003-M for origin of ingredients. • Physical or chemical properties that impact food safety ( e.g. pH, water activity etc.) • Treatment and processing (e.g. heating, cooling) • Packaging system • Storage and distribution conditions (e.g. chilled, ambient) • Target safe shelf‐life under prescribed storage and usage conditions. The HACCP Plan must be based on comprehensive information sources which are referenced and available on request e.g. • Scientific literature • Historical and known hazards associated with specific food products. • Relevant codes of practice • Recognised guidelines Food Safety Legislation relevant to product. • Customer requirements Refer to HA-004 CCP Validation and HA-005 CP Validation for relevant sources of information. The intended use of the product must be defined in the introduction to each HACCP plan and any known alternative use shall be described. Detail the end user or consumer, and suitability for vulnerable groups e.g. Infants, elderly, allergy sufferers and the immune compromised.

Flow Diagram: CFMSR V2 1.8 – 1.8.2; BRC V8 2.5.1; WSEP V2 2.5.1; Verify Flow Chart: BRC V8 2.6.1; WSEP V2 2.6.1; CFMSR V2 1.8.3 (HIGH Risk Areas Only)

A flow diagram shall be in place covering all steps in the operation including all inputs and outputs and where these are used e.g.: • Water, ice and steam • Raw materials • Rework and recycling • Low-risk/high-risk/high-care area segregation ( for WW suppliers). • Primary and secondary packaging (e.g. labels, tape, glue, pallets, slip sheets, pallet wraps, inkjet ink, etc.) • Modified atmosphere gas • Processing aids • Waste, etc. The flow diagram must be verified within the production area by conducting a physical walk through the process. Flow Chart is then signed and dated by the HACCP Team Leader. The CCPs and QCPs along with the CCP/ QCP Critical Limits are listed on the flow diagram for reference. This sets out all aspects of the food process operation for the product category – within the HACCP scope from raw material to processing, storage and despatch of final product. Verify the flow diagram by on-site audit and challenge at least annually. It is recommended to compile an Auxilliaries and Services HACCP to cover all inputs that are common to each step e.g. water, air. CFMSR V2 1.8.3 (HIGH Risk Areas Only) - Flow diagrams to clearly identify where physical barriers between High, Medium and Base areas exist in the process.

Hazards: CFMSR V2 1.9; BRC V8 2.7.1; WSEP V2 2.7.1 Hazard Analysis: CFMSR V2 1.10; BRC 2.7.2; WSEP 2.7.2, 2.7.3.

Hazards - All potential hazards that may be reasonably expected to occur for each process step in relation to product, process and facility to be identified, including: • Chemical hazards • Physical hazards • Microbiological hazards • Allergen hazards • Food Fraud/Intentional Adulteration • Malicious Contamination • Quality defects. Ingredients, packaging, and processing aids shall also be assessed. Preceding and following steps in the process chain shall also be taken into account. Consideration shall be given to the country of origin for ingredients and processing aids. Hazards identified must be specific to the process step, generic descriptions such as ‘foreign body’ and ‘micro‐organisms’ are not sufficient unless regulatory authority (e.g. DAWR) requires generic descriptions. NOTE: Ingredients, packaging, and processing aids can be assessed as part of the raw material approval program if microbiological, chemical, physical, and allergens have been considered. Hazard Analysis - The HACCP team must conduct a hazard analysis to identify hazards that need to be prevented, eliminated, or reduced to acceptable levels. The hazard analysis must include: • Likely occurrence and severity of effects on consumer safety. • Survival or multiplication of micro‐organisms of specific concern to the product • Presence or production of toxins, chemicals, foreign bodies, and allergens • Potential for adulteration / deliberate contamination of raw materials, intermediate or finished product. Refer to the HA-003 HACCP Procedure page 4 and 5 – Risk Assessment Matrix and process to obtain a risk score for each hazard at each step in the process. A score of 11 to 19 inclusive is considered significant and these should be put through the Decision Tree and control measures reviewed. A score of 10 or less (High or extreme) is automatically classed as a control point. Use the decision tree to identify critical control points (CCP’s). CP, QCP or RCP noted on the right-hand (Control Measure) column.

Control Measures: CFMSR V2 1.12; BRC V8 2.7.3; WSEP V2 2.7.3 Determine CCPs and Identify all QCPs: CFMSR V2 1.12 – 1.12.1; BRC V8 2.8.1; WSEP V2 2.8.1

The HACCP team must assess whether an existing pre‐requisite program adequately controls the hazard identified. The documentation must show links to a specific pre‐requisite, rather than generic comment i.e. ‘Prerequisite’. For example Pest Control or Glass, Brittle / Hard Plastic, and Ceramic Control Programs If no control measures have been identified the product /process must be modified so a control measure can be applied. The Codex decision tree or matrix equivalent must be used to determine if control measures are CCPs (Critical Control Points). Review decision tree questions and outcome. Note: The site must determine and document the methodology used to identify QCPs (Quality Control Points).Refer to HA-003 HACCP Procedure, page 7 Appendix 1 – Use of Decision Tree. State in the right hand column of the Hazard Analysis sheet which are QCPs, RCPs or CPs. Quote site procedures, as well as national procedures from HA-006 relevant to the control measure.

Critical Limits: CFMSR V2 1.14; BRC V8 2.9.1; WSEP V2 2.9.1, 2.9.2. Quality Limits: CFMSR V2 1.14.1

Critical limits for each CCP must be defined and validated. Process must be capable of operating consistently within defined limits. Critical limits must be measurable and justification for their use must be documented. Review HA-004 HACCP CCP Validation
Quality limits for each QCP must be defined and validated to ensure that the product is compliant with specification. The process must be capable of operating consistently within the defined limits. Quality limits must be measurable and justification for their use must be documented. Review HA-005 HACCP CP Validation (which includes QCPs).

Monitoring System: CFMSR V2 1.15; BRC V8 2.10.1; WSEP V2 2.10. Monitoring Records CFMSR V2 1.16; BRC V8 2.10.2; WSEP V2 2.10.2

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 CCPs. The precision limits and tolerances of the monitoring equipment must be considered when defining limits e.g. tolerance of temperature probes. Monitoring procedures must contain details on how the measurements are taken and the frequency. Where electronic monitoring is undertaken, processes must be in place to review records for compliance, and alert operators where monitoring indicates that the process is not within the control limits specified. For discontinuous measurement, the system shall ensure that the sample taken is representative of the batch of product. Review monitoring systems for CCPs – must be able to detect loss of control of CCPs and wherever possible provide information in time for corrective action to be taken.
Monitoring records must be authorised by the person conducting the CCP monitoring check and then verified by an authorised person. This applies to both electronic and hardcopy records. Operator signature must be on each record then supervisor signature for verification of review.

Corrective Actions: CFMSR V2 1.17; BRC V8 2.11.1; WSEP V2 2.11.1

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 and any material produced whilst the CCP was not in control must be 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. Corrective action must have considered the product, process and personnel impacts to prevent the issues from occurring Note: Coles suppliers only - If the risk assessment deems the product to be safe, it must not be supplied to Coles without first discussing the issue and submitting documented evidence to support product safety with the relevant Coles CBM / PT.

HACCP Documentation and Record Keeping: BRC V8 2.13.1; WSEP V2 2.13.1

Documentation and record keeping must be sufficient to enable the site to verify that the HACCP controls, including controls managed by prerequisite programs, are in place and maintained.

HACCP Verification: CFMSR V2 1.19; BRC V8 2.12.1; WSEP V2 2.12.1

The operation of the HACCP Plan(s) must be verified to confirm that it is effective. This may include: • Internal audits • Observation of personnel conducting monitoring procedures • Review of customer and regulatory complaints • Review of hazard measurements e.g. microbiological results • Review of records where acceptable limits have been exceeded (deviations). • Review of incidents, withdrawals, and recalls. The verification would demonstrate a full understanding by firstly demonstrating conformance i.e. that individuals are actually following the stated procedures and secondly, that the whole system including the prerequisite program is operating effectively. Results of verification are recorded on HA-002 HACCP Verification. Review a few control measures stated in HACCP Verification Review at each monthly HACCP meeting.

Food Safety Training, CCP Training, QCP Training: CFMSR V2 1.18 – 1.18.2

Site personnel responsible for monitoring CCPs must have an understanding of food safety issues related to their task and received specific training against the latest version of the relevant CCP monitoring and corrective action procedures. Site personnel responsible for monitoring QCPs must have an understanding of quality attributes related to their task and received specific training against the latest version of the relevant QCP monitoring and corrective action procedures. All site personnel (including labour hire and casuals) must have a basic understanding of food safety and quality attributes and how these relate to the area in which they work. Annual CCP training – antibiotics and pasteurisation. Presentations in Training folder of O:Brisbane \ Quality Assurance National \ Training. Annual Food Safety and Quality Attributes training.

HACCP Review: CFMSR V2 1.21, 1.22; BRC V8 2.14.1; WSEP V2 2.14.1

The HACCP Plan must be reviewed by the HACCP Team at a pre‐determined frequency (minimum annually) or prior to changes to product / process which may affect product safety and quality. This may include changes in (not an exhaustive list): • Process steps • Following a deviation from the defined critical limits. • Supply or specification of raw materials • Ingredients / recipe • Packaging, storage, or distribution etc. • Introduction of new, or modification to, existing equipment • Developments in scientific information associated with ingredients, packaging, process, or product • Change in site layout or product flow. Use HA-003-B HACCP Review to document review of each HACCP plan. Compile a schedule and review one product group monthly at the HACCP meeting.

Internal Audit Checklist - HACCP Food Safety System ( AU-001-AE)

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HACCP Team : CFMSR V2 1.2 HACCP Team; BRC V8 2.1.1 HACCP Food Safety Team; WSEP V2 2.1 Food Safety Team; CFMSR V2 1.2.1 – 1.2.4 Team Leader and HACCP Team Member Training;

Pre-requisite programs for HACCP: CFMSR V2 1.3; BRC V8 2.2.1; WSEP V2 2.2 Facility Map: CFMSR V2 1.4,1.5 Base, Medium, High Area Categories and facility map.

HACCP Scope: WSEP V2 2.1.3; BRC V8 2.1.2; CFMSR V2 1.1

Product Description: CFMSR V2 1.6; BRC V8 2.3.1- 2.3.2; WSEP V2 2.3.1- 2.3.2 Intended use: CFMSR V2 1.7; BRC V8 2.4.1; WSEP V2 2.4.1

Flow Diagram: CFMSR V2 1.8 – 1.8.2; BRC V8 2.5.1; WSEP V2 2.5.1; Verify Flow Chart: BRC V8 2.6.1; WSEP V2 2.6.1; CFMSR V2 1.8.3 (HIGH Risk Areas Only)

Hazards: CFMSR V2 1.9; BRC V8 2.7.1; WSEP V2 2.7.1 Hazard Analysis: CFMSR V2 1.10; BRC 2.7.2; WSEP 2.7.2, 2.7.3.

Control Measures: CFMSR V2 1.12; BRC V8 2.7.3; WSEP V2 2.7.3 Determine CCPs and Identify all QCPs: CFMSR V2 1.12 – 1.12.1; BRC V8 2.8.1; WSEP V2 2.8.1

Critical Limits: CFMSR V2 1.14; BRC V8 2.9.1; WSEP V2 2.9.1, 2.9.2. Quality Limits: CFMSR V2 1.14.1

Monitoring System: CFMSR V2 1.15; BRC V8 2.10.1; WSEP V2 2.10. Monitoring Records CFMSR V2 1.16; BRC V8 2.10.2; WSEP V2 2.10.2

Corrective Actions: CFMSR V2 1.17; BRC V8 2.11.1; WSEP V2 2.11.1

HACCP Documentation and Record Keeping: BRC V8 2.13.1; WSEP V2 2.13.1

HACCP Verification: CFMSR V2 1.19; BRC V8 2.12.1; WSEP V2 2.12.1

Food Safety Training, CCP Training, QCP Training: CFMSR V2 1.18 – 1.18.2

HACCP Review: CFMSR V2 1.21, 1.22; BRC V8 2.14.1; WSEP V2 2.14.1

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Internal Audit Checklist - HACCP Food Safety System ( AU-001-AE)

Free Internal Audit Checklist - HACCP Food Safety System ( AU-001-AE) Checklist

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HACCP Team : CFMSR V2 1.2 HACCP Team; BRC V8 2.1.1 HACCP Food Safety Team; WSEP V2 2.1 Food Safety Team; CFMSR V2 1.2.1 – 1.2.4 Team Leader and HACCP Team Member Training;

Pre-requisite programs for HACCP: CFMSR V2 1.3; BRC V8 2.2.1; WSEP V2 2.2 Facility Map: CFMSR V2 1.4,1.5 Base, Medium, High Area Categories and facility map.

HACCP Scope: WSEP V2 2.1.3; BRC V8 2.1.2; CFMSR V2 1.1

Product Description: CFMSR V2 1.6; BRC V8 2.3.1- 2.3.2; WSEP V2 2.3.1- 2.3.2 Intended use: CFMSR V2 1.7; BRC V8 2.4.1; WSEP V2 2.4.1

Flow Diagram: CFMSR V2 1.8 – 1.8.2; BRC V8 2.5.1; WSEP V2 2.5.1; Verify Flow Chart: BRC V8 2.6.1; WSEP V2 2.6.1; CFMSR V2 1.8.3 (HIGH Risk Areas Only)

Hazards: CFMSR V2 1.9; BRC V8 2.7.1; WSEP V2 2.7.1 Hazard Analysis: CFMSR V2 1.10; BRC 2.7.2; WSEP 2.7.2, 2.7.3.

Control Measures: CFMSR V2 1.12; BRC V8 2.7.3; WSEP V2 2.7.3 Determine CCPs and Identify all QCPs: CFMSR V2 1.12 – 1.12.1; BRC V8 2.8.1; WSEP V2 2.8.1

Critical Limits: CFMSR V2 1.14; BRC V8 2.9.1; WSEP V2 2.9.1, 2.9.2. Quality Limits: CFMSR V2 1.14.1

Monitoring System: CFMSR V2 1.15; BRC V8 2.10.1; WSEP V2 2.10. Monitoring Records CFMSR V2 1.16; BRC V8 2.10.2; WSEP V2 2.10.2

Corrective Actions: CFMSR V2 1.17; BRC V8 2.11.1; WSEP V2 2.11.1

HACCP Documentation and Record Keeping: BRC V8 2.13.1; WSEP V2 2.13.1

HACCP Verification: CFMSR V2 1.19; BRC V8 2.12.1; WSEP V2 2.12.1

Food Safety Training, CCP Training, QCP Training: CFMSR V2 1.18 – 1.18.2

HACCP Review: CFMSR V2 1.21, 1.22; BRC V8 2.14.1; WSEP V2 2.14.1

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