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

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Title Page
Conducted on 
Prepared by
Location 
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).
Yes No N/A
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.
Yes No N/A
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. 
Yes No N/A
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.
Yes No N/A
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.
Yes No N/A
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. 
Yes No N/A
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. 
Yes No N/A
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. 
Yes No N/A
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 
Yes No N/A
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). 
Yes No N/A
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. 
Yes No N/A
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. 
Yes No N/A
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. 
Yes No N/A
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.
Yes No N/A
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. 
Yes No N/A
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. 
Yes No N/A
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. 
Yes No N/A
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HACCP Scope: WSEP V2 2.1.3; BRC V8 2.1.2; CFMSR V2 1.1

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

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

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