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GUIDELINES FOR
HACCP COMPLIANCE AUDIT
© Copyright
CONTENTS PAGE
Acknowledgement
Foreword
1. Introduction
2. Scope
3. Definition
4. Procedure for compliance audit
5. Appointment and registration of compliance auditor
6. Contents of the checklist
7. References
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MCS HACP - Guidelines for HACCP Compliance Audit
ACKNOWLEDGEMENT
The Working Group on the Guidelines for Compliance Audit which prepared this
Malaysian Certification Scheme consists of the following representatives:
Mohd Salim Dulatti (Secretary) Food Quality Control Division, Ministry of Health
(FQCD, MOH)
Syed Abd. Rahim Syed Abd. Rashid Department of Veterinary Services (DVS)
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MCS HACP - Guidelines for HACCP Compliance Audit
FOREWORD
The primary aim of the HACCP compliance audit is to provide third party verification that the
elements of HACCP and pre-requisite programme have been implemented for purposes of
certification under this scheme.
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MCS HACP - Guidelines for HACCP Compliance Audit
1 INTRODUCTION
2 SCOPE
The scope of this guideline encompasses the procedures for compliance audit and the
criteria for selection of compliance auditor(s).
3 DEFINITION
3.2 Auditor
A person technically competent in the HACCP system and audit, and in a particular
food processing technology or field, formally appointed by MOH.
3.4 Certification
Procedure by which MOH as the officially recognized body provide written assurance
that food safety control and management systems conform to MCS HACCP
requirements.
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MCS HACP - Guidelines for HACCP Compliance Audit
3.5 Checklist
3.6 Compliance
Compliance means the HACCP plan and pre-requisites and their implementation meet
MOH MCS requirements.
An activity to obtain evidence that the seven HACCP principles have been effectively
applied and the HACCP plan and pre-requisites correctly implemented and that the
system can be maintained. It includes adequacy, on-site and follow-up audits.
Compliance audit is conducted by means of an independent, impartial and objective
audit to ascertain full compliance with MCS HACCP criteria and requirements.
The follow-up activity to obtain evidence that the non-conformances given as CAR are
being satisfactorily corrected and implemented and that the HACCP system has been
maintained. The follow-up audit can be on-site or document audit.
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MCS HACP - Guidelines for HACCP Compliance Audit
PRP shall mean the universal steps or procedures that control the operational
conditions within a food establishment allowing for environmental conditions that are
favourable to the production of safe food, as describe in the Malaysian Standard
1480:1999.
3.14 Conformance
Conformance means activities are carried out according to the established procedures
as laid out in the HACCP Plan and the PRP documents.
3.15 Non-conformance
Non-conformance means activities carried out are not according to the established
procedures.
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MCS HACP - Guidelines for HACCP Compliance Audit
Manual and PRP for the company with a copy to MOH within four (4) weeks after
receipt of documents.
The lead auditor contacts the company for the on-site compliance audit appointment
within two (2) weeks after the adequacy audit; and sends out a formal on-site audit
programme to the company and the auditor(s). The auditor(s) prepare checklists for
the on-site audit.
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MCS HACP - Guidelines for HACCP Compliance Audit
4.4 Prepare and send Audit Report to company with a copy to MOH within four (4) weeks
after receipt of CAR response.
4.5 Corrective action and document update by company within six (6) months from on-site
audit.
4.6 Submission of updated document by company to lead auditor and to conduct Follow-
up Audit (FUA), if necessary (Concurrent with 4.5 above)
FUA can be on-site audit or document audit which will be conducted within two (2)
weeks of receipt of request from auditee.
i. Entry meeting
As 4.2.1 (where appropriate)
ii. Plant visit
iii. Document audit comments
iv. Exit Meeting
As 4.2.5 (where appropriate)
Issuance of new CAR (if any)
Closing of completed CAR
v. Close on-site FUA.
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MCS HACP - Guidelines for HACCP Compliance Audit
4.9 FUA report by FUA auditor to lead auditor within two (2) weeks.
4.10 Prepare an Interim Report to the company with a copy to MOH within two (2) weeks.
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4.11 Corrective action and document update by company within six (6) months.
4.12 Conduct document audit and further FUA on-site (if necessary).
4.13 When all CARs have been closed out, lead auditor prepares a final recommendation
report to MOH with a copy to company within two (2) weeks
The compliance auditor will be appointed by MOH based on the criteria specified
under the Guidelines for Certification of HACCP Compliance Auditor (MCS 3). MOH
reserves the right to revoke the appointment of any compliance auditor if it is deemed
necessary.
6.1 HACCP
i. Management commitment
ii. Scope of the HACCP plan
iii. Appropriate HACCP team established, with appropriate job functions
iv. Proper product description and intended use
v. Factory floor layout
vi. Process flow chart
vii. Proper application of HACCP principles
viii. Proper identification of hazards (hazard analysis)
ix. Proper selection of critical control points (CCPs)
x. Appropriate critical limits (CLs), monitoring procedures, corrective actions, as
well as validation and verification activities
xi. Proper documentation and record keeping
xii. All regulatory requirements relating to health and safety have been addressed
xiii. HACCP Internal Audit Reports
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The company is given a maximum of one year from the first on-site audit for all corrective action to be closed
out. If the one year period is exceeded, the company would have to reapply (unless valid justification can be
provided).
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MCS HACP - Guidelines for HACCP Compliance Audit
7. REFERENCES
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