Gap Audit – Nyagatare Maize Processing Factory

Hazard Analysis Critical Control Point (HACCP)

Gap Audit Checklist

Food safety management systems — Hazard Analysis Critical Control Point (HACCP)

No. Requirements Observations In Compliance

4 Documentation requirements

1 4.1 HACCP manual Yes

Does the organization have a No
HACCP manual?
2 4.2 Control of documents and Yes
records No
Does the organization has control of
documents and records procedures
5 Management responsibilities

1 5.1 General Yes

No
Is there any evidence that the top
management is committed to the
development and implementation of
the HACCP based food safety
system and to continually improving
2 5.2 Establishing the food safety
policy

Does the organization define and

document its food safety policy
3 5.3 Responsibility and authority

Does the organization’s top

management define responsibilities
and authorities and communicated
within the organization to ensure the
effective operation and maintenance
of the food safety system.

Clause 5.3: The HACCP Team

Does the organization have a Yes
1 documented HACCP Team? No
Do the HACCP Team members have Yes
the process skills and knowledge to No
 Gap Audit – Nyagatare Maize Processing Factory

Hazard Analysis Critical Control Point (HACCP)

Gap Audit Checklist

develop and maintain the HACCP

2 Plan?
Does the HACCP Team Leader have Yes
3 operational accountability within the No
organization?

Clause 8.5.1.2: Characteristics of raw materials, ingredients, and product-contact materials

The organization shall ensure that all applicable statutory and regulatory food safety requirements are identified for all
raw materials, ingredients, and product contact materials.
Does the organization define biological, Yes
1 chemical, and physical characteristics No
of raw materials, ingredients, and
product contact materials?
Is the composition of formulated Yes
2 ingredients, including additives and No
processing aids described?
Is the source of raw materials, Yes
3 ingredients, and product contact No
materials (e.g., animal, mineral or
vegetable) described?
Is place of origin (provenance) for raw Yes
4 materials, ingredients, and product No
contact materials indicated?
Does the organization define method of Yes
5 production, packaging and delivery of No
raw materials, ingredients, and product
contact materials?
Does the organization documents Yes
6 storage conditions, shelf life, preparation No
and/or handling before use or processing
for raw materials, ingredients?
Does the organization set acceptance Yes
7 criteria related to food safety or No
specifications of purchased materials
and ingredients appropriate to their
intended use?
Clause 8.5.1.3 Characteristics of end products
The organization shall maintain documented information concerning the characteristics of end products to the extent
needed to conduct the hazard analysis
 Gap Audit – Nyagatare Maize Processing Factory

Hazard Analysis Critical Control Point (HACCP)

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1 Does the organization have product Yes

name or similar identifications? No
2 Is the composition of the product clearly Yes
documented? No
3 Are biological, chemical, and physical Yes
characteristics relevant for food safety No
well defined?
4 Is the intended shelf life and storage Yes
conditions of the product documented? No
5 Is the packaging methodology Yes
described? No
6 Does the organization describe Yes
labelling relating to food safety and/or No
instructions for handling, preparation,
intended use, distribution, and delivery
of the product?
Clause 8.5.1.4: Intended use

The intended use, including reasonably expected handling of the end product and any unintended use but reasonably
expected mishandling and misuse of the end product, shall be considered and shall be maintained as documented
information to the extent needed to conduct the hazard analysis
1 Did the organization defined the Yes
intended use for every product? No
Clause 8.5.1.5: Flow diagrams and descriptions of processes

Clause 8.5.1.5.1: Preparation of the flow diagrams

Flow diagrams shall be clear, accurate and sufficiently detailed to the extent needed to conduct the hazard analysis.

Are documented flow diagrams in Yes

1 place? No
2 Is the sequence and interaction of the Yes
steps in the operation clearly indicated? No
3 Are outsourced processes indicated? Yes
No
4 Is the entrance of raw materials, Yes
ingredients, processing aids, packaging
 Gap Audit – Nyagatare Maize Processing Factory

Hazard Analysis Critical Control Point (HACCP)

Gap Audit Checklist

materials, utilities and intermediate No

products clearly indicated?
5 Where reworking and recycling take Yes
place? No
6 Where end products, intermediate Yes
products, by-products and waste are No
released or removed?
Clause 8.5.1.5.2 On-site confirmation of flow diagrams
The food safety team shall confirm on-site the accuracy of the flow diagrams, update the flow diagrams where
appropriate and retain as documented information.
1 Was the flow diagram confirmed? Yes
No
Clause 8.5.1.5.3: Description of processes and process environment
a) Was the layout of premises, including Yes
food and non-food handling areas No
described?
b) Were processing equipment and Yes
contact materials, processing aids and No
flow of materials described?
c) Were existing PRPs, process Yes
parameters, control measures (if any) No
and/or the strictness with which they
are applied, or procedures that can
influence food safety;
d) Were external requirements (e.g., from Yes
statutory and regulatory authorities or No
customers) that can impact the choice
and the strictness of the control
measures described?
e) Does the HACCP team verify the flow Yes
diagrams annually and whenever there No
are any significant changes to the
product or process?
Principle-1: Hazard analysis
a) Has hazard analysis been conducted Yes
and documented at each step of the No
process?
b) Has a hazard analysis been conducted Yes
for each raw material input? No
 Gap Audit – Nyagatare Maize Processing Factory

Hazard Analysis Critical Control Point (HACCP)

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c) Have all potential food safety hazards Yes

been identified and assessed to No
determine what needs to be prevented,
eliminated, or reduced to acceptable
levels?
d) Have all potential allergenic hazards Yes
been considered, identified, and No
documented?
e) For any hazard deemed significant, has Yes
at least one control measure been No
determined to prevent it from occurring
or reduce it to an acceptable level?
Principle-2: Determining Critical Control Points (CCP)
a) If the hazard analysis indicates any Yes
significant hazards not minimized or No
eliminated by Good Manufacturing
Practices (GMPs) that are present
within the food manufacturing process,
are they identified as Critical Control
Points (CCPs)?
Principle-3: Establish Critical Limits
a) Are Critical Limits established for each Yes
CCP? No
Principle-4: CCP Monitoring
a) Has the organization documented how Yes
each CCP is monitored to ensure it is No
within set critical limits?
b) Is the assigned person(s) to undertake Yes
the monitoring trained in correct No
methods?

c) Are records signed by the person Yes

responsible for monitoring? No
Principle-5: Corrective Actions

a) Have CCP corrective actions been Yes

developed, documented, and No
implemented that define the action(s) to
be taken when monitoring reveals that
 Gap Audit – Nyagatare Maize Processing Factory

Hazard Analysis Critical Control Point (HACCP)

Gap Audit Checklist

the critical limit has not been met?

Principle-6: Verification Activities
a) Are verification procedures Yes
established? No
b) Are verification procedures effectively Yes
implemented? No
Principle-7: Record-keeping and documentation
a) Is record keeping and documentation Yes
for HACCP procedures established? No
b) Are all HACCP-related record-keeping Yes
and documentation procedures No
effectively implemented?