The first part of the questionnaire concerning implementation of HACCP system consisting of 6 blocks of questions, auditor selected relevant scores for each question.
No. Audit's questions – part I Score of fulfilling audit criteria
2 3 4 5
Block 1 Step 1. Assemble HACCP team
1.1 Was HACCP team assembled in the enterprise?
1.2 Was it a multidisciplinary team?
1.3 Were all team members trained in HACCP
1.4 Was the HACCP plan developed?
1.5 Was the team consisted of people with an understanding of particular biological, chemical and physical hazards and associated risks?
1.6 Was the team consisted of people involved in production process?
1.7 Was the team consisted of people with knowledge in microbiology, hygiene and food technology?
Result of the assessment:
Final score:
Block 2 Step 2. Describe product
2.1 Were products described?
2.2 Where all range of products described?
2.3 Was description of products made properly?
2.4 Was the composition of products described including all raw materials, ingredients, additives?
2.5 Was the composition of products complete?
2.6 Was the type of the product processing specified?
2.7 Was it specified how the product should be packaged?
2.8 Was the microbiological parameters of the product specified?
2.9 Was the chemical parameters of the product specified?
2.10 Was the sensory parameters of the product specified?
2.11 Was the physical parameters of the product specified?
2.12 Was it specified how the product should be stored?
2.13 Was it specified how the product should be transported and distributed?
2.14 Was the durability term of the product specified?
2.15 Where the labeling information appropriate?
Result of the assessment:
Final score:
Block 3 Step 3. Identify intended use
3.1 Was intended use of all products specified?
3.2 Was the nature of the target group for the product specified?
3.3 Was the target group includes infants?
3.4 Was the target group included elderly people?
3.5 Was the target group included adults?
3.6 Was the target group included allergic or malnourished people?
3.7 Was the intended use of products defined?
Result of the assessment:
Final score:
Block 4 Step 4. Construct flow diagram
4.1 Were products detailed flow diagrams drawn up?
4.2 Did flow diagrams included all raw materials, ingredients, additives?
4.3 Did flow diagrams included packaging?
4.4 Was the sequence of all production steps established?
4.5 Did flow diagrams included technical parameters of raw materials?
4.6 Did flow diagrams included technical parameters of byproducts?
4.7 Did flow diagrams included technical parameters of final products?
4.8 Did flow diagrams included breaks between production steps?
4.9 Did flow diagrams excluded the risk of cross-contamination?
4.10 Were procedures for cleaning and disinfection established?
4.11 Was the hygienic environment of the production process provided?
4.12 Did employees maintained hygiene during the production process?
4.13 Were adequate conditions of storage and distribution of products ensured?
Result of the assessment:
Final score:
Block 5 Step 5. On site confirmation of flow diagram
5.1 Was on site conformation of flow diagram made?
5.2 Was flow diagram confirmation made during production process?
5.3 Was there evidences of performed confirmation?
5.4 Was on site conformation made by HACCP team?
Result of the assessment:
Final score:
Block 6 Step 6. Principle I. Identify and analyze hazards
6.1 Was a list of possible hazards made?
6.2 Was a list made for all steps in accordance with the developed product flow diagrams?
6.3 Did a list included physical hazards?
6.4 Did a list included chemical hazards?
6.5 Did a list included microbiological hazards?
6.6 Did a list included biological hazards?
6.7 Were causes of possible hazards specified?
6.8 Were preventive actions which eliminate or reduce hazards established?
6.9 Were probability that hazards would occur specified?
6.10 Were undesirable health influence of mentioned hazards specified?
6.11 Were survival and multiplication of pathogenic microorganisms considered?
6.12 Were formation of chemicals in products and production environment considered?
6.13 Were allergens in products considered?
6.14 Was the possibility of secondary pollution between raw materials, intermediate and finished products considered?
6.15 Were control measures for specific hazards specified?
6.16 Were all control measures assigned to existing procedures and specifications?
Result of the assessment:
Final score:
Block 7 Step 7. Principle II. Determine Critical Control Coints (CCPs)
7.1 Were CCPs established?
7.2 Were methods leading to determine CCPs specified?
7.3 Was a decision tree used to determine CCPs?
7.4 Was a decision tree used in accordance with flow diagrams at each production step
7.5 Was a decision tree applied for each hazard at each production step?
7.6 Did the HACCP team members received training from the use of decision tree and was it evidenced?
7.7 Were CCPs identified properly?
7.8 Whether any step, for which CCP should be determined, was omitted?
Result of the assessment:
Final score:
Block 8 Step 8. Principle III. Establish critical limits for each CCP
8.1 Were parameters and critical limits established for each CCP?
8.2 Were parameters and critical limits acknowledged in the documentation?
8.3 Were critical limits correspond to the acceptable border values with regard to product safety?
8.4 Whether critical limits were set for observable or measurable parameters which could show that CCP is under control?
8.5 Were limits based on reasonable assumptions?
8.6 Were critical limits properly chosen in each CCP?
Result of the assessment:
Final score:
Block 9 Step 9. Principle IV. Monitoring of CCPs
9.1 Were monitoring system for all CCPs established?
9.2 Were monitoring procedures for each CCP elaborated?
9.3 Was the frequency of monitoring established?
9.4 Was the frequency of monitoring established properly?
9.5 Were there monitoring methods established?
9.6 Were monitoring methods adequate?
9.7 Were employees responsible for CCPs monitoring designated?
9.8 Were there CCPs monitoring devices used?
9.9 Were monitoring devices showed reliable measurements?
9.10 Were there available control cards to record the results of monitoring for each CCP?
9.11 Did control cards allowed keeping of records of all monitored parameters in CCPs?
Result of the assessment:
Final score:
Block 10 Step 10. Principle V. Establish corrective action
10.1 Were there corrective actions for each CCP established, in the case when monitoring results indicated a loss of control?
10.2 Were corrective actions fully ensured a return to the assumed parameters?
10.3 Were there corrective actions procedures for each CCP established?
10.4 Were there designated employees responsible for corrective actions for each CCP?
10.5 Were there control cards to document the corrective action taken at all established CCPs?
10.6 Was there instruction of specified use of products obtained during period when CCP was out of control?
Result of the assessment:
Final score:
Block 11 Step 11. Principle VI. Verification procedures
11.1 Were methods of HACCP verification established?
11.2 Was the frequency of HACCP verification established?
11.3 Were established verification methods appropriate?
11.4 Was established frequency of HACCP verification adequate?
11.5 Whether verification procedures were established to confirm that the HACCP system was effective and consistent with the plan?
11.6 Was an employee responsible for analyze of verification results designated?
11.7 Did verification included the accuracy of records?
11.8 Did verification included also asking questions of employees, especially CCPs monitors?
11.9 Did verification included observation of operations at CCPs?
11.10 Did verification included calibration of monitoring devices?
Result of the assessment:
Final score:
Block 12 Step 12. Principle VII. Recordkeeping and documentation
12.1 Was there available a documentation of the HACCP system?
12.2 Was there available a documentation dealing implementation steps of the HACCP system?
12.3 Was there way of documentation supervising established?
12.4 Was the way of archiving system documentation established?
12.5 Was a time archiving documents specified?
12.6 Was a way to make amendments in the control cards specified if the employee made a mistake?
12.7 Were all documents properly marked, and was it possible their unambiguous identification?
12.8 Was there method of exchanging outdated document to the current version established?
Result of the assessment:
Final score: