Hazard Analysis Critical Control Point (HACCP) Standard

Prerequisite Programs Checklist

REQUIREMENTS

RESULTS / COMMENTS

1. SANITATION
Plant has a documented Sanitation Program
Master Cleaning Schedule has been developed.
Facility (floors, walls, non-processing
equipment, etc are included
All process lines are included
Processing utensils are included
Written cleaning procedures are developed for all
plant areas and equipment
Food contact surfaces have been identified.
Chemicals, chemical concentration, detailed
cleaning procedures, etc identified
Post-maintenance equipment cleaning
required for food contact surfaces
Cleaning activities are documented
Appropriate procedures used to verify
cleaning chemical concentration
Appropriate used to verify equipment rinse
procedure following sanitation
Post sanitation/pre-start up inspections
completed
Corrective action is documented
Plant has validated cleaning procedures
2. GMP PROGRAMS
Plant has a documented 3rd party inspections
Plant has a documented Internal Inspection
Program
Internal inspections required and completed as
scheduled
Corrective action follow up required and
documented
Plant has a documented Internal Audit Program
Results completed and documented as
scheduled
Corrective action follow up required and
documented
Plant has documented GMP Programs
Personnel Hygiene Program
Employee uniform policy
Employee glove policy
Cuts, open sores, illness, etc policy
Blood Borne Pathogen/Body Fluid Program
Clean up kit available
Metal Detector Reject Review Program
Sifter Tailing Review Program (if applicable)
Air Quality Program
Glass and Brittle Plastic Control Program

July, 2006

Plant has a documented Buildings and Ground

Program
Design and construction standards are
established
Building exterior and grounds are properly
maintained
Building interior, maintenance, design,
construction, lighting, ventilation foot traffic, etc
support food safety
Product flow is designed to reduce or eliminate
the potential for cross contamination
Sanitary facilities (rest rooms and hand washing
facilities) maintained for employees.
Plant has a documented Water Quality Program
A water quality certificate is on file (city water) or
annual checks completed (well).
Internal water analysis (TPC/coliform) completed
per plant schedule (at least twice per year)
Ice is tested or a COA is available (if applicable)
for TPC/Coliform
Back flow preventors in place
Location(s) identified (must be on the main
water line)
Annual certification completed on main water
line
Hoses have check valve at inlet.
Check valves are dated and replaced on prescheduled basis
Plant has a documented Transportation and
Storage Program
Food carriers and distribution vehicles are
inspected prior to unloading/loading
Truck, load and driver identification are
checked and documented
Bulk tank number recorded
Bulk tank wash tickets inspected
Wash ticket for current load or within
approved schedule
Bulk seals verified against supplier record
Appropriate facilities for raw material and finished
product storage are provided
Date of receipt recorded
Lot number recorded
Temperature controls are appropriate and
monitored.
Plant has a documented Equipment Maintenance
Program
Design standards established
Equipment is designed for the process.
Equipment calibration procedures established
and documented

July, 2006

Equipment maintenance procedures established

and documented

Preventative

Emergency
Plant has a documented Training Programs
GMP
Personnel Hygiene
Sanitation
Personal Safety
HACCP
General training for all employees
Specific training for personnel at CCPs
All training activities documented
3. FOOD SAFETY CUSTOMER COMPLAINTS
Plant has a documented Customer/Consumer
Complaint Program.
Food safety complaints available at the plant
Food Safety complaints separated from all other
complaints
Annual documented evaluation of food safety
complaints by HACCP Team
All food safety complaints investigated
Corrective action procedure in-place
Corrective action has been documented.
4. TRACEABILITY AND RECALL
Plant has a documented Traceability Program
Name of records required for tracing product
identified
Location of trace records identified
Lot identification procedures are included
Traceability exercises conducted at least twice
annually
Traceability exercise results are documented
Traceability exercise has been completed
backwards (Supplier information, delivery
vehicle identification, date and quantity of
receipt
Traceability exercise has been completed
forwards (First point of shipment)
Traceability exercise effectiveness is
documented. (At least two customers
contacted)
o Customer data confirms plant data
Plant has a documented Recall Program
Plan is plant specific
Plant Recall Team members identified
Coordinator identified
Alternates identified
Emergency contact numbers available
Roles and responsibilities for all Team Members
documented

July, 2006

Method to identify and locate products

(Traceability Program) identified
Recall exercises performed at least annually
Recall exercise results are documented.
Recall exercise time (from initial call to first
team member to exercise completion)
documented
Post Recall exercise evaluation completed and
documented.
Follow up to issues identified and addressed
5. CHEMICAL CONTROL PROGRAM
Plant has a documented Chemical Control
Program
Chemical approval process identified
A Chemical Log is available.
All chemicals are identified
Sanitation chemical quantities agree with the
Chemical Log.
Chemical storage maintains control of chemicals
Chemical storage allows for separation of
chemical types
Sanitation
Pest Control
Maintenance
Boiler
o Approved for incidental food contact if
steam comes in direct contact with food
Laboratory
MSDS forms available for all chemicals
Contractor chemical approval procedure
available
Approval procedure identified
MSDS forms available
6. PEST CONTROL PROGRAM
Plant has a documented Pest Control Program
Individual responsible (plant personnel) is
identified
There is a certified PCO on staff (if applicable)
External Service
An outside pest control service is used (Name)
Companys license is available and current
o License is for working in food plants
Insurance is available and current.
Applicators license available and current
o License is for working in food plants
Internal or External
Record of pest control chemicals
All pest control chemicals identified
Pest control chemicals used according to
label directions
MSDS sheets are available
Pest chemical labels available

July, 2006

Pest control chemicals stored in accordance

with state and federal regulations (if
applicable)
Inspection or service reports are available
All pest activity is noted
Pest control device information is on file
Map of all pest control devices is available
All rodent bait stations are located outside
the facility
o Type of bait (liquid, granular, block)
identified
Pheromone trap information noted
o Pheromone traps are dated and current
Insect light traps noted
o Light bulbs are dated and current
Corrective action taken in regards to pest
activities has been noted and recorded
7. ALLERGEN CONTROL PROGRAM
Plant has a documented Allergen Control
Program
Recognized allergens listed
All allergen containing raw materials identified
Warehouse has designated allergen storage
area
Allergens are clearly identified.
Like allergens stored like above like
All allergen containing formula identified
Weigh area control procedures identified and
implemented
Allergen containers have individual scoops or
measuring devices
All critical process/plant areas and equipment
identified
Cleaning procedures between allergen runs
identified
Allergen cleaning activities documented
Rework control implemented.
Like into Like procedure used
Rework usage documented
Package labels for allergen containing products
have appropriate allergens in their ingredient
statement.

July, 2006

Hazard Analysis Critical Control Point (HACCP) Standard

HACCP Manual & HACCP Plan Checklist
REQUIREMENTS
SECTION 1: PLANT INFORMATION

RESULTS / COMMENTS
This is a descriptive section telling about the
plant, where it is located, who is in charge and
products produced.

Plant description is completed

Address and contact information available

Management Team is identified
History of operation is completed
Location of plant is identified
Products produced are listed
SECTION 2: HACCP TEAM
HACCP Team is identified
HACCP Coordinator is identified

Training of the HACCP Coordinator

identified
HACCP Team represents all aspects of
operation
HACCP Team members participate in and
understand the HACCP Plan development and
implementation.
SECTION 3: PREREQUISITE PROGRAMS

This is a description of the HACCP Team.

Each Prerequisite Program identified in the

Process Hazard Analysis should be described in
the manual. Information should be
comprehensive enough that the reader will know
the program is in effect, where it can be located
and who is responsible for it.

Sanitation Program
Good Manufacturing Practices (GMPs)
Customer Complaint Program
Pest Control Program
Chemical Control Program
Recall Program
Allergen Control Program
Any other Prerequisite Program or Process
Control identified in the Process Hazard Analysis
SECTION 4: INGREDIENT HAZARD ANALYSIS

All raw materials have been identified.

All biological, chemical and physical hazards

have been noted.
Hazards have been assessed for significance.
Control measures have been developed and
implemented to control all hazards.
External resources used to supplement Team

July, 2006

A Hazard Analysis should be completed for each

raw material used in the plant. Often a single
hazard analysis will be completed for all raw
materials. The Raw Material Hazard Analysis will
focus on Biological, Chemical and Physical
hazards associated with the raw material. Quality
issues should not be addressed in this analysis.

SECTION 5: PRODUCT DESCRIPTION

Finished Product or Process

Finished product or process description is
provided.
Distribution and storage conditions are outlined.
Product use and consumer is identified.
Sensitive group(s) (elderly, infirm, children, etc.)
is (are) identified.
A technical description of the product or process
is given.
Product shelf life and lot identification is
identified.
Possible food safety and misuse
Food safety control activities identified for each
possible food safety issue.
Product Description is signed and dated by the
senior management representative.
SECTION 6: FLOW DIAGRAM

A Product Description must be completed for each

process or family of products. This description
will include general information about the product,
a technical description of the product and
package, and food safety issues and their control
associated with the product.

A flow diagram should be completed for each

process. This should start with raw material
receiving and continue through the individual
processing steps. The flow diagram should be
detailed enough to show each processing step
and each CCP.

A detailed Process Flow has been developed.

All operations are included.
Process Flow Diagram starts with Receiving
and ends with Distribution / Shipping.
All process steps are identified.
Each CCP is identified on the flow diagram
A floor diagram is available.
The Process Flow Diagram has been verified by
the HACCP Team.
A simplified Process Flow Diagram is in the Plan
Each CCP is identified on the flow diagram
SECTION 7: PROCESS HAZARD ANALYSIS

This information must be completed for each step

shown in the Process Flow Diagram. The Process
Hazard Analysis will focus on Biological, Chemical
and Physical hazards associated with the process.
Quality issues should not be addressed in this
analysis.

A hazard analysis has been completed for each

process step identified on the process flow
diagram. (Principle 1)
All biological, chemical and physical hazards
have been noted.
Hazards have been assessed for significance.
Control measures have been developed and
implemented to control all hazards.
External resources used to supplement Team

July, 2006

The process hazard analysis worksheet

adequately determines CCPs (if applicable)
(Principle 2)
CCPs have been identified for each
significant hazard that is not controlled by a
pre-requisite program.
These are the correct CCPs to control
hazards.
External resources used to supplement Team
SECTION 8: MASTER PLAN

The Master Plan is a single sheet for each product or

group of products. It includes the plant information
(name, location), product(s) name, distribution
method, customer (general population, elderly,
infants), and each of the seven HACCP principles
(hazard analysis, CCPs, CLs, etc.).

A HACCP Master Plan has been developed for

each product, process or group of products.
Master Plan
A Master Plan has been developed for each
Critical Control Point.
Critical Control Point(s) are indicated.
Critical Hazards (Biological, Physical, and
Chemical) are identified.
Critical Limit (Actual Measurable Value) is
established for each CCP. (Principle 3)

The critical limits have been verified by an

outside source.
o Critical limits were determined by an
outside source.
o Critical limits were determined by
experimentation.
o External resources are being used to
supplement team knowledge.
Monitoring requirements are established.
(Principle 4)
Monitoring procedures specify who, what,
when, how and where.
Frequency is sufficient to ensure control.
Product lot identification is consistent with
monitoring frequency.
Monitoring records are signed.
Monitoring records are verified on a timely
basis.
Corrective Action in the event of a Critical Limit
failure during Monitoring is described.
(Principle 5)
Corrective actions developed for each CCP.
Corrective actions ensure process has been
brought under control.
Corrective actions ensure all suspect product
has been identified and captured.
Corrective actions include procedures to
prevent recurrence.
Verification procedures are described and
implemented. (Principle 6)

July, 2006

 Verification procedures have been

implemented to demonstrate effectiveness of
HACCP Plan.
Reference device(s) accreditation(s).
Records are available for all CCPs. (Principle 7)
All CCP critical limits have been met.
Corrective action records are available for all
deviations.
Records are available for all verification
activities.
Record of trained individual training is
available.
Records of employee training are available.
There is a document control program.
All changes are recorded.
All changes are dated.
Section 9: Deviation Report

This may be a document developed by the

company or one issued by a regulatory agency. It
must include the product, date, lot number,
description of the unusual occurrence, CL(s)
exceeded, corrective action, any action to prevent
reoccurrence, recommended HACCP Plan
modification (if necessary), signature of individual
who completed the form, date, and signature of
HACCP Coordinator and date. It is recommended
the plant include a blank copy of their Deviation
Report in their HACCP Plan.

The manual contains a blank copy of the

Deviation Record used by the facility.
Validation Procedures are described and
implemented.
There is a program in place to verify HACCP
Plan.
The HACCP Plan has been updated.
The HACCP Plan update has been
documented.
The scientific basis for HACCP Plan is
validated annually.
The scientific basis for HACCP Plan was
validated initially.

July, 2006