Institute of Business Management

Total Quality Management

ISO-22000 Checklist

[Reference Source: http://qualitymanagement.hrvinet.com]

1. Management Responsibility Audit Checklist

PARTICULARS YES NO
Is there any proof that management’s properly applying Food Safety system?
(manual, forms etc)
Does National have a food safety policy?
Is HACCP plan formulated?
Is the plan for all the products?
Is there a separate manager for supervising food safety at National?
Is the internal and external communication effective?
Is there well-awareness of the food safety among all the employees working in
QM/QC?
Are the responsibilities and authorities of the Food safety team well defined?

2. Product specification audit checklist

PARTICULARS YES NO
Is the description of products or product line satisfactory?
Do the product specifications include safety information such as PH, acidity
etc?
Do the specifications give details of ingredients used?
Do the specifications give details of packaging?
Do the specifications give details of storage conditions?
Do the specifications give details of labeling instructions?
Do these specifications explain the distribution process?
Do the specifications give specific methods of use?

3. Audit checklist of hazards analysis and preventive measures

PARTICULARS YES NO
Is the hazard analysis conducted when required?
Do you qualitatively and quantitatively analyze hazards?
Do you assess the occurrence of hazard thoroughly?
Are information systems properly utilized while analyzing?
Are there suitable preventive measures for any hazard?
 Are all preventive measures implemented?

Monitoring procedures audit checklist

(Applied for ISO 22000)

2. Is there any evidence that procedures are being followed consistently?

3. What is the status of monitoring equipment?

4. Are the sampling plans statistically valid?

5. Have the organization a clear system for product identification of product to ensure
traceability if deviation occurs?

6. Have the organization taken any actions when deviation occurred?

7. Are monitoring personnel trained and qualified?

8. Have monitoring results been recorded?

Corrective actions audit checklist

(Applied for ISO 22000)

1. Are the corrective action procedures in place?

2. What evidence is there to demonstrate that effective corrective actions are taken in the
event of a CCP deviation?

3. Has the responsibility and authority for corrective action been defined?

4. How non-conforming product controlled and recorded?

5. How does the organization dispose of any affected products?

6. Has corrective action been recorded and how is the effectiveness verified?

7. Do these corrective actions consider modifying the process or HACCP plan, if the critical limit
is violated consistently?

Verification procedures audit checklist

(Applied for ISO 22000)

1. Have verification procedures been established?

2. Have the responsibilities, authorities, methods, frequency and type of verification been
defined in the procedures?

3. Are the methods and frequency sufficient to ensure that the system is working correctly,
effectively and complies with relevant regulations?

4. How did the organization conduct the initial validation of HACCP plan?

5. Do the procedures include review of records?

6. Is there a regular review of CCP failure and product dispositions?

7. Do the procedures include calibration of monitoring and measuring equipment?

8. Have personnel responsible for verification been trained?

9. Do the procedures include evaluation of customer and consumer complaints?

10. Is there a regular review of results of sanitation control procedures?

11. How is the data from verification being used to improve the HACCP system?

Audit checklist of documentation and record keeping

(Applied for ISO 22000)

1. What procedure does the organization follow to manage system documents?

2. Does the documentation cover all of the HACCP system operation?

3. Have documents been properly approved by authorized personnel before issue?

4. How is the documentation controlled?

5. Has the organization obtained related codes, standards, legislation and regulation to the food
product?

6. How does the organization control document changes? Are all documents current?

7. Are the records accessible?

8. Are the HACCP records clearly identified?

9. Has the documentation and record control system been set up in consideration of the size
and nature of the organization?

10. Are the HACCP records retained in the proper conditions to prevent damage, deterioration
or loss?

11. How long does the organization retain the records?

ISO 22000 training audit checklist

(Applied for ISO 22000)

1. Have they developed a training procedure for identifying training needs and training
personnel?

2. Does the organization have training plans?

3. How many personnel have been trained in HACCP principles and the relevant legislation and
regulations?

4. How many personnel have been trained to perform internal audits?

5. How does the organization train personnel on sanitation control?

6. How does the organization verify the effectiveness of training?

8. How did the organization ensure all affected product was identified and recalled?

ISO 22000 complain audit checklist

(Applied for ISO 22000)

1. Does the organization have a procedure to deal with all consumer and customer complaints?

2. Have the responsibility and authority been defined?

3. Did the complaints concern product safety?

4. What actions have the organization taken?

5. Have these complaints been documented?

6. Have these complaints been utilized for verification of the system?

Audit checklist of Condition and Cleanliness of Food Contact Surfaces

(Applied for ISO 22000)

1. Does the condition of food contact surfaces meet the requirement of hygiene? (Equipment,
facilities, clothing and gloves of employees etc.)

2. Does the organization have cleaning plans?

3. Are the plans adequate?

4. Are there adequate cleaning facilities in place and are the facilities in good condition?

5. Have the results of cleaning been monitored and verified for effectiveness? (e.g.
microbiological analysis)

6. Have the employees been trained for personal hygiene?

Prevention of Cross-contamination Audit Checklist

(Applied for ISO 22000)

1. Is the layout, flow of material and personnel sufficient to prevent cross contamination?

2. Have the equipment and facilities in different risk areas been properly separated?

3. How does the organization handle contaminated products?

4. Is there any other cross-contamination that is likely to occur? (e.g. truck, cart, etc.)

Audit Checklist of Protection of Food, Food Packaging Material, and Food Contact Surfaces
from Adulteration

(Applied for ISO 22000)

1. Are packaging materials stored in good condition?

2. Are the products and packaging materials being protected from contamination?

3. Is condensate present?

4. Are lubricants and cleaning chemicals properly controlled?

5. Are lights adequately protected? (Glass)

6. Is the condition of the environment around the production area/s suitable?

Audit Checklist of Proper Labeling, Storage and Use of Toxic Compounds

(Applied for ISO 22000)

1. Has the organization appointed personnel responsible for toxic compounds? (e.g. cleaning
and pest control chemicals)

2. Are these toxic compounds stored separate to raw materials, ingredients and packaging
materials?

3. Are these toxic compounds clearly labeled for identification?

4. Are there handling/usage instructions available?

5. Does the organization keep records of the use?

6. Have the personnel been trained in the safe handling and use of such materials?

Waste Control Audit Checklist

(Applied for ISO 22000)

1. How does the organization control waste?

2. Are there sufficient waste control facilities in production area?

3. Is waste been removed periodically from the production/storage areas adequate to prevent
contamination?

4. How does the organization treat the waste?

5. Does the waste disposal method comply with any relevant regulations?

Internal HACCP audit checklist

(Applied for ISO 22000)

1. Does the organization have an internal audit plan for HACCP?

2. At what frequency does the organization conduct internal audits?

3. Have the audit purpose, criteria, scope and methods been defined?

4. How does the organization ensure that the program covers all aspects of HACCP system?
5. Have the auditors been trained?

6. Have the responsibilities and requirements for audit been defined?

7. How does the organization ensure the independence and impartiality of the activities?

8. Have the purposes of audit been achieved?

9. Is the audit data utilized for improvement of the HACCP system?

10. Have the audit results been documented?