HACCP AUDIT CHECKLIST | FREE TOOL

Let's face it — HACCP audits can feel like a looming deadline for food businesses, yet they're essential.

Think of them as your opportunity to prove that your operations are not just up to par but in the top 1% of HACCP-compliant businesses in the food industry. No matter where your business sits in the food supply chain, audits are a necessary part of HACCP compliance.

So, let’s get into why these audits are more than just a checkbox on a compliance form. They're a key part of your business's growth and success. 

What's the difference between internal and external HACCP audits?

Internal audits allow you to stay on top of things, catching potential issues before they become real problems, and ensuring your processes are smooth and safe. External audits, while more formal, validate your hard work to the outside world, enhancing trust among consumers and partners alike.

Both types of audits are crucial because they keep your business sharp, compliant, and able to thrive in a competitive market.

Internal Hazard Analysis Critical Control Point audits are conducted by people within your organization who are specifically trained in HACCP systems. Usually, this role falls to a HACCP Coordinator or members of the Quality Assurance (QA) Team.

These audits are crucial for continuous compliance and improvement, allowing your team to identify and correct deviations from established food safety practices before they escalate.

External HACCP Audits are carried out by auditors from outside your organization. These auditors are often certified by recognized bodies and may include State or Federal Inspectors from the USDA and FDA for regulatory compliance audits or Third-Party Certification Bodies for voluntary standards like HACCP, ISO, or SQF.

External audits provide an impartial assessment of your food safety management system, ensuring it meets industry standards and regulatory requirements. The stakes in external audits are particularly high as they directly impact your food business's certification status and regulatory compliance.

How often should a HACCP audit be carried out?

The frequency of HACCP audits can vary significantly depending on the industry, the type of food products handled, and regulatory requirements.

Generally, internal audits should be conducted regularly to reduce the risk of foodborne illnesses and ensure ongoing compliance with HACCP plans. External audits might be mandated on a more structured schedule, often influenced by specific industry standards or regulatory bodies.

Frequency of internal HACCP audits

Federal agencies such as the FDA and USDA advise that businesses conduct internal HACCP audits at least annually, though more frequent audits—such as semi-annually or quarterly—may be beneficial for high-risk food products, such as ready-to-eat meals, dairy products, and meats. This regularity helps to catch and mitigate risks promptly.

Frequency of external HACCP audits

The frequency of external audits is often dictated by regulatory requirements or HACCP certification standards:

• • Meat and poultry processors: For industries dealing with high-risk products like meat and poultry, external audits by agencies such as the USDA are mandatory and can occur multiple times per year without prior notice.
  • Seafood suppliers: The FDA mandates HACCP compliance for seafood processors, requiring regular evaluations that might be scheduled annually or biennially based on previous audit findings and compliance history.
  • Dairy industry: Subject to state and federal regulations, external audits in the dairy industry might be required annually, with additional unannounced audits depending on the state’s policies and the facility's track record.
  • Packaged food manufacturers: Manufacturers of packaged and non-perishable food items tend to face less frequent external audits, which might be mandated every two to three years unless the product involves higher-risk ingredients, such as nuts or spices, which might necessitate more frequent reviews.

Who is responsible for conducting a HACCP inspection?

Internal HACCP audit responsibility: The responsibility often lies with a dedicated HACCP coordinator or a quality assurance team trained in HACCP principles.

External HACCP audit responsibility: Certified auditors from accrediting bodies or government agencies undertake the audits. The selection of auditors internally involves training and certification in HACCP principles to ensure they are equipped to identify potential food safety hazards and ensure compliance.

What are the benefits of HACCP audits?

Internal HACCP audits offer numerous benefits, including:

• Enhanced operational efficiency: Routinely identifying and correcting procedural inefficiencies or deviations with internal audits helps create an environment for smooth, uninterrupted operations.
• Empowerment through education: These audits educate staff on food safety practices, fostering a proactive approach to hazard prevention and enhancing overall team competence.
• Continuous improvement: Regular audits enable businesses to refine their HACCP plans, ensuring they evolve with new industry practices, technologies, and regulations.
• Risk reduction: Catching potential biological, chemical or physical hazards early will help businesses prevent costly recalls, reduce waste, and avoid penalties for non-compliance.

External HACCP audits provide additional key benefits:

• Validation of food safety practices: External audits confirm that a business's food safety practices meet industry and regulatory standards, providing reassurance to stakeholders.
• Market access and consumer confidence: Successful external audits open new markets and maintain access to existing ones, enhancing consumer trust in the brand.
• Compliance with legal requirements: These audits are critical for meeting legal standards and avoiding fines or closures, ensuring the business remains operational and compliant.
• Third-party perspective: External auditors bring fresh insights that can lead to significant improvements in food safety management systems, which might be overlooked internally.

What does HACCP internal audit training involve?

Training for HACCP internal audits involves detailed preparation across several key areas:

• Understanding HACCP principles and the seven steps of HACCP: Mastery of these principles ensures that auditors can effectively build, implement, and critique HACCP plans, ensuring all critical control points are effectively managed to prevent hazards.
• Recognizing potential hazards and preventive measures: Equipping staff with the ability to identify potential biological, chemical or physical hazards and understand applicable preventive measures empowers them to manage risks proactively, enhancing food safety before external audits highlight them.
• Documentation and record keeping: Proper documentation ensures that there is a traceable, historical record of compliance and corrective actions, which is crucial during external audits and when verifying the effectiveness of food safety measures.
• Conducting and reporting audits effectively: Effective audit conduct and reporting ensure that findings are communicated clearly and actionably, allowing for continuous improvement and evidence-based decision-making.

This comprehensive training ensures that staff are not only prepared to conduct thorough audits but are also equipped to continually enhance food safety practices, contributing to the overarching safety and efficiency of operations.

How to prepare for HACCP audits (in 5 steps)

Preparing for HACCP audits involves a series of critical steps to ensure that your food production process is both compliant with food safety regulations and operating at the highest standards. Here’s how you can best prepare:

1. Review your HACCP plan regularly

Assess your HACCP plan for completeness and relevance, making sure all potential hazards are identified with appropriate critical control points and corrective actions.

Example: For a food production company specializing in canned goods, a HACCP plan review could include checking thermal processing times and temperatures to ensure they are adequate for sterilization.

2. Conduct regular training sessions

Regularly schedule training to keep all employees updated on HACCP principles and their specific responsibilities within the plan.

Example: Conduct bi-annual workshops for new and existing employees to simulate a product contamination scenario, teaching them how to respond and document actions taken.

3. Perform pre-audit checks

Carry out self-audits to identify and correct non-compliance issues before the external auditor finds them.

Example: Use a checklist to inspect all refrigeration units in a meat processing facility to ensure they consistently operate at the required temperatures.

4. Gather necessary documentation

Organize and review all necessary documentation including logs, records of compliance, and previous audit reports.

Example: Compile temperature logs, maintenance records for critical equipment, and past audit findings to demonstrate ongoing compliance and resolution of previous issues.

5. Mock audits

Simulate an external audit by conducting a thorough internal review as if it were the actual external process.

Example: Have a designated internal team act as third-party auditors who perform a surprise audit, checking for compliance on all levels and providing feedback as an external auditor would.

Each of these steps is designed to build confidence within your team, ensure compliance with food safety standards, and ultimately lead to a successful HACCP audit. Proactively preparing with these steps will allow your food production business to showcase its commitment to food safety and quality, turning the audit process from a challenge into an opportunity to improve.

Free HACCP audit checklist download

Download the free HACCP audit checklist PDF:

To maximize the benefits of our free HACCP audit checklist, it's important to integrate its use into your regular audit preparations and review processes. This checklist serves as a comprehensive guide to ensure that nothing is overlooked during both internal and external audits.

Start by familiarizing yourself with the checklist ahead of time, and then use it as a living document during the audit to record findings and corrective actions.

Regular use of the checklist will help streamline your audit process, ensuring that you consistently meet compliance standards and improve your food safety practices.

For best results, review and update the checklist periodically to align with any updates in HACCP regulations or changes in your operations.

Check out our other free HACCP resources:

• How to Write a HACCP Plan TemplateTemplate
• HACCP Plan Guide eBook
• Food Flow Chart
• HACCP Flow Diagram
• HACCP Plan Builder

Easily conduct internal HACCP audits with FoodDocs

Our digital Food Safety Management System allows teams to create, complete, schedule, and manage food safety audits with ease.

Using the FoodDocs' Audits tool promotes accountability among your team and helps ensure that your business's food safety standards are high. Here's how it works:

• Create: Conduct any food safety audit based on HACCP compliance requirements as well as other food industry regulatory standards such as ISO 22000, FSSC, SQF audits, and more.
• Schedule: Perform your audits using any mobile device and remind members about your upcoming audits through notifications.
• Complete: Choose from different scoring formats depending on how food safety audits are done in your location. Users can fill in “yes/no” checklists or scored questionnaires.
• Manage: Review results in one organized cloud storage and manage anything you need any time you need.

Simplify your internal auditing process today and try FoodDocs free for 14 days.

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It automatically generates your Hazard Analysis, Critical Control Points, Flow Chart, Pre-Requisite Programs, and Standard Operating Procedures. Plus, the HACCP plan is fully customizable so you can edit it according to your specific business needs or according to the inspector's feedback.

All you need to do is answer a few questions and watch as our AI compiles your essential HACCP compliance documents.

Frequently asked questions about HACCP audits

What is a HACCP audit table?

A HACCP audit table is a structured tool used to organize and record the evaluation of each step in a HACCP plan against established compliance criteria. The columns in a typical HACCP audit table might include:

• Hazard(s) Identified: What potential hazards are associated with each step in the process?
• Control Measure(s): What measures are in place to control the identified hazards?
• Critical Limits: What are the quantitative or qualitative limits that must be met to ensure hazard control?
• Monitoring Procedures: How will the control measures be monitored?
• Corrective Actions: What actions will be taken if a critical limit is unmet?
• Verification Activities: What verification procedures are used to verify that the HACCP system is working effectively?
• Records: What documentation is required to prove the process is controlled?

Example rows in a HACCP audit table:

This structured approach helps ensure that every aspect of the HACCP plan is meticulously checked and compliant, safeguarding the integrity of your food safety management system.

What is the purpose of the HACCP audit table?

The purpose of an audit table is to systematically ensure each critical control point and corresponding action is documented, evaluated, and adheres to HACCP guidelines, facilitating easier audits and consistent food safety management.