CHA HACCP AUDITOR CERTIFIED - ASQ

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CHACERTIFIEDHACCP AUDITORQuality excellence to enhance your careerand boost your organization’s bottom lineasq.org/cert

Certification from ASQ is considered a mark ofquality excellence in many industries. It helps youadvance your career, and boosts your organization’sbottom line through your mastery of quality skills.Becoming certified as a HACCP Auditor confirmsyour commitment to quality and the positive impactit will have on your organization.ExaminationEach certification candidateis required to pass a writtenexamination that consists ofmultiple-choice questions thatmeasure comprehension ofthe body of knowledge.2Certified HACCP Auditor

INFORMATIONCertified HACCP AuditorThe Certified HACCP Auditor (CHA) is a professional who understandsthe standards and principles of auditing a HACCP-based (or process-safety)system. A CHA uses various tools and techniques to examine, question, evaluate,and report on that system’s adequacy and deficiencies. The CHA analyzes allelements of the system and reports on how well it adheres to the criteria formanagement and control of process safety.CHAComputer Delivered – The CHAexamination is a one-part, 145-multiplechoice-question, four-and-a-half-hourexam and is offered in English only.Of these questions, 135 are scoredand 10 are unscored.Paper and Pencil – The CBAexamination is a one-part, 135multiple-choice-question, four-hourexam and is offered in English only.For comprehensive exam information on HACCP Auditor certification,visit asq.org/cert.Certified HACCP Auditor3

Work ExperienceYou must have five years of on-thejob experience in one or more of theareas of the Certified HACCP AuditorBody of Knowledge. At least one yearmust be in a decision-making role. Will have a thoroughunderstanding of the productsafety aspects of HACCP andhow HACCP relates to other riskmanagement systems.If you have completed a degreefrom a college, university, ortechnical school with accreditationaccepted by ASQ, part of the fiveyear experience requirement will bewaived, as follows (only one of thesewaivers may be claimed): Will understand the primarybenefit of HACCP. Associate’s degree—one year waived Bachelor’s degree—three years waived Master’s or doctorate degree—four years waived*Degrees or diplomas fromeducational institutions outsidethe United States must beequivalent to degrees fromU.S. educational institutions.4Minimum ExpectationsCertified HACCP Auditor Will be able to recognize thelevel of management commitment(vs. minimal compliance efforts)by analyzing how the programis deployed and by measuringits effectiveness. Will be able to apply, assess,and implement operationaland prerequisite programs thatsupport the foundation of theHACCP system. Will have a thoroughunderstanding of managementtechniques as they relate toHACCP plan development,including assembling teams,flowcharting, etc.

Will have comprehensiveknowledge of HACCP terminologyand its seven principles. Will be able to assess a HACCPplan, evaluate its effectiveness, andverify that it has been deployed, isbeing maintained, and is current. Will be able to conductdifferent types of auditseffectively in a professional,ethical, and objective mannerusing and interpreting applicablestandards/requirements, with anawareness of potential legal andfinancial ramifications. Will be able to plan, develop,communicate, and executean audit effectively within adefined scope, including resourcescheduling, conducting meetingsnecessary to the performance ofthe audit, and using appropriateauditing techniques. Will be able to verify, document,and communicate audit results,develop an audit report, andevaluate the effectiveness ofcorrective action/follow-up. Will have thorough knowledgeof the interpersonal skills neededto resolve conflict, conductinterviews, and make presentationseffectively, and will be able towork on teams as a participant,leader, and facilitator. Will recognize how qualityprinciples relate to businessprocesses and be able to explainthe importance of aligning theaudit function to the organization. Will be able to select and usea wide variety of quality andauditing tools and techniquesin a variety of situations.Certified HACCP Auditor5

BODY OF KNOWLEDGECertified HACCP Auditor (CHA)Topics in this body of knowledge include the cognitive level at whichthe questions will be written and is designed to provide guidance forboth the Exam Development Committee and the candidate preparingto take the exam. The descriptor in parentheses at the end of eachentry refers to the maximum cognitive level at which the topic willbe tested. A complete description of the various cognitive levels isprovided at the end of this document.I. H ACCP System (25 Questions)A. HACCP TerminologyDefine, describe, and apply basicterms related to a HACCP system:1) deviation, 2) hazard condition,3) preventive maintenance, anddescribe and apply elements of4) NACMCF (National AdvisoryCommittee on MicrobiologicalCriteria for Foods) and 5) CodexAlimentarius in various situations.(Apply)B. Prerequisite Programs1. Foundations for a HACCP system Define and describe variousprerequisite programs, includinggood manufacturing practices(GMPs), good agricultural practices(GAPs), good laboratory practices(GLPs), sanitation standard operatingprocedures (SSOPs), personalhygiene programs, chemical andhazardous materials control, etc.,and provide employee training inthese areas. (Analyze)2. Product traceability and recall Define and distinguish betweenmaterial identification and statusin relation to product traceabilityand recall. (Apply)6Certified HACCP Auditor3. Security and facility designIdentify and use various facilitydesign and security methods toensure control over operationalconditions in buildings and otherprocess areas where productsare produced and stored. (Apply)4. Environmental controlUse various programs, includingcontrols for allergens, temperature,humidity, dust, etc., to supportproper environmental conditions.(Analyze)C. Preliminary TasksUse the following preliminary tasks todevelop a HACCP system. (Apply)1. Assemble and train theHACCP team.2. Describe the product andits distribution.3. Describe the intended use ofthe product and its end-user:consumer, patient, vulnerablegroup, etc.4. Develop a product or processflow diagram.5. Verify the flow diagram.

D. System ScopeDefine the scope of a HACCP systemin terms of product-safety management.Describe how that scope affects therelationship between HACCP and othersystems, such as quality management,risk management, medical devices,and the Global Food Safety Initiative(GFSI). Distinguish between voluntaryand regulatory HACCP programs, anddescribe the impact that non-safetyregulatory requirements and customerspecifications can have on the scopeof a HACCP system. (Understand)E. Management ResponsibilityDescribe the importance ofmanagement’s commitment toHACCP and prerequisite programs,and use various methods to keepmanagement apprised of currentand emerging domestic and globalstandards, hazards, technologies,and related regulations. (Apply).II. H ACCP Principles(30 Questions)A. Principle 1–Hazard AnalysisConduct a hazard analysis by1) identifying hazards and2) evaluating them in terms ofseverity and likelihood of occurrence;then 3) establish control measuresfor any hazards that are likely tooccur. (Analyze)B. Principle 2–CCPsDefine and distinguish between1) control points and 2) criticalcontrol points (CCPs) in variousoperations; then 3) develop anduse CCP decision trees. (Analyze)C. Principle 3–Critical LimitsDescribe and distinguish betweenvarious types of limits, including1) operational and process controllimits and 2) specification limits.Identify and use appropriate scientificsources related to 3) chemical,microbiological, physical limits,etc., as the basis for establishingcritical limits. (Apply)D. Principle 4–MonitoringEstablish monitoring procedures thatinclude details about 1) whether to usecontinuous or scheduled (intermittent)monitoring, 2) how frequently datashould be gathered and by whom,and 3) what sampling and testingmethods to use in support of theseprocedures. (Apply)E. Principle 5–Corrective ActionUse the following steps to establishcorrective action procedures. (Analyze)1. Identify the cause of the deviation.2. Determine disposition ofaffected product.3. Identify and documentcorrective action.4. Implement corrective actionand determine its effectiveness.5. Re-evaluate the HACCP planafter changes have been made.F. Principle 6–VerificationUse the following steps to establishverification procedures for ongoingassessment. (Analyze)1. Verify prerequisites and CCPs.2. Review documents and records.3. Review calibrationprocesses and system.4. Test and analyze product samples.5. Validate the HACCP system.G. Principle 7–Recordkeepingand DocumentationEstablish procedures for maintainingthese elements. (Apply)1. Documents and records used todevelop the initial HACCP plan2. CCP monitoring records3. Records of corrective actionstaken in response to deviations,including root cause analysisresults, verification activities, etc.4. A formal document control systemCertified HACCP Auditor7

III. I mplementation anMaintenance of HACCPSystem (20 Questions)A. Implementation and AssessmentUse the following steps to implement aHACCP project or system. (Apply)1. Conduct a pilot or initiatethe system.2. Conduct operational qualifications(critical control points, processcontrol plans, etc.).3. Assess training programsrelated to the HACCP.4. Evaluate the project’s effectivenessin relation to its stated objectives.5. Review the system requirements(regulatory, internal, etc.) todetermine whether changesneed to be made.B. Validation and ReassessmentUse the following steps to assess anongoing HACCP project or system.(Evaluate)1. Re-evaluate the stated systemobjectives in relation to the resultsof the pilot, system initiation, orproduct/process change.2. Review the system requirementsto verify that the project continuesto meet those requirements.C. Verification and MaintenanceReview various HACCP systemrecords, including 1) monitoring,2) corrective action, 3) calibration,and 4) training, and review5) record-keeping procedures and6) operational procedures when thesystem is active to confirm that they arebeing implemented properly. (Apply)IV. Auditing Fundamentals(22 Questions)A. Basic Terms and ConceptsDefine and distinguish between qualityassurance and quality control. (Apply) [NOTE: All other basic quality and auditterms are covered in specific subtopicsof BoK area V.B. Audit Performance.]B. Purpose of AuditsExplain how audits can be usedto assess a wide variety of activities,including 1) organizational effectiveness,2) system and process effectiveness,3) performance measurement, 4) riskmanagement, and 5) conformance torequirements. (Analyze)C. Types of AuditsDefine and distinguish betweenvarious audit types, including1) product, 2) process, 3) system,4) first-, second-, and third-party,5) compliance, etc. (Analyze)D. Audit CriteriaDefine and distinguish betweenvarious audit criteria, such as1) standards, 2) contracts,3) specifications, 4) policies, and5) regulations. (Analyze)E. Audit ParticipantsDefine and describe the rolesand responsibilities of various auditparticipants, including 1) audit teammembers, 2) lead auditor, 3) client,4) auditee, and 5) technical or subjectmatter experts (SMEs). (Apply)F. Ethical, Legal,and Professional Issues1. Audit credibilityIdentify and apply ethical factors thatinfluence audit credibility such asauditor independence, objectivity,and qualifications. (Apply)2. Liability issuesIdentify potential legal and financialramifications of improper auditoractions (e.g., carelessness andnegligence) and the effects suchactions can have on liabilityissues for all parties. (Apply)3. Professional conductand responsibilitiesDefine and apply the concepts ofdue diligence and due care withrespect to confidentiality, conflictof interest, the discovery of illegalactivities or unsafe conditions,etc. (Apply)Certified HACCP Auditor9

V. Auditing Process andAuditor Competencies(28 Questions)A. Audit Preparation and Planning1. Elements of audit planningIdentify and implement auditplanning steps, including verifyingaudit authority, determining thepurpose, scope, type of audit,requirements to audit against,and resources necessary, such assize and number of audit teams.(Evaluate)2. Pre-audit documentsIdentify and analyze pre-auditdocuments such as audit criteriaor reference materials, prior auditresults, etc. (Evaluate)3. Auditing strategiesIdentify and use various tacticalmethods for conducting an audit,including forward- and backwardtracing, discovery, etc. (Apply)B. Audit Performance1. Opening meetingDescribe the elements of anopening meeting, includingexplaining to the auditee thepurpose, scope, and elements ofthe audit to be conducted. (Apply)2. Data collection and analysisSelect and apply various datacollection methods, such asinterviewing people, observingwork activities, taking physicalmeasurements, examining paperand electronic documents, andanalyzing the results. (Evaluate)3. Working papersIdentify types of working papers,such as checklists, auditor notes,attendance rosters, etc., anddetermine their importance inproviding evidence for an audittrail. (Evaluate)10 Certified HACCP Auditor4. Objective evidenceIdentify and differentiate variouscharacteristics of objectiveevidence, such as observed,measured, verified, anddocumented. (Analyze)5. ObservationsEvaluate the significance ofobservations in terms of positive,negative, chronic, isolated, andsystemic. (Evaluate)6. NonconformancesClassify nonconformances in termsof significance, severity, frequency,and level of risk. (Evaluate)7. Audit process managementDefine and apply elements ofmanaging an audit as it is beingperformed, including coordinatingteam and team member activities,reallocating resources, adjustingaudit plans when necessary, andcommunicating with the auditeeas needed. (Analyze)8. Exit meetingDescribe the elements of an exitmeeting, including presentingaudit observations and findingsto the auditee and discussingpost-audit activities and decidingwho will be responsible forperforming them and meetingtheir deadlines. (Apply)C. Audit Reporting1. Basic stepsImplement the common stepsin generating an audit report,including reviewing andfinalizing results, organizing andsummarizing details, obtainingnecessary approvals for reportdistribution, etc. (Evaluate)2. Effective audit reportsEvaluate various components thatmake audit reports effective: e.g.,executive summary, prioritized data,graphical data presentation, and theimpact of conclusions. (Evaluate)

D. Audit Follow-up and Closure1. Corrective andpreventive action (CAPA)Identify and apply CAPA elements,including problem identification,assigning responsibility, root causeanalysis, recurrence prevention,etc. (Apply)2. Review and verificationof corrective action plansUse various methods to verifyand evaluate corrective actionsplans, including examining revisedprocedures and processes orreauditing to confirm the adequacyof corrective actions taken. (Apply)4. Audit closureIdentify various elements of auditclosure and any criteria that havenot been met and would prevent anaudit from being closed. (Evaluate)5. Records retentionIdentify and apply recordretention requirements, such astype of documents to be retained,length of time to keep them, andstorage considerations. (Apply)3. Follow-up on ineffectivecorrective actionsIdentify and develop strategiesto use when corrective actionsare not implemented or are noteffective, including communicatingto the next level of management,reissuing the corrective action,reauditing, etc. (Evaluate)Certified HACCP Auditor 11

E. Auditor Competencies1. CharacteristicsIdentify characteristics thatmake auditors effective, suchas interpersonal skills, problemsolving skills, close attention todetail, and the ability to workindependently and in a groupor on a team. (Apply)2. Conflict resolutionIdentify typical conflict situations(disagreements, auditee delayingtactics, interruptions, etc.) anddetermine appropriate techniques(negotiation, cool-down periods,etc.) for resolving them. (Apply)3. Written communication techniquesDevelop and review technicalreports for critical factors, includingwhether the document meets theneeds of the intended audience,how the report will be used, whattype of photographs, illustrations,or graphics will be effective, etc.(Apply)4. Interviewing techniquesDefine and use appropriateinterviewing techniques, includingactive listening, open-ended orclosed question types, determiningthe significance of pauses andtheir length, prompting a response,clarifying by paraphrasing, etc.,in various situations, such as whensupervisors are present, duringgroup interviews, in a group ofworkers, when using a translator,etc. (Apply)5. Team dynamicsand facilitation skillsDefine and use various techniquesto support team-building efforts andto help maintain group focus, bothas a participant and as a teamleader. Describe the classic stagesof team development (forming,storming, norming, performing),and use coaching, guidance,and other facilitation techniquesto support effective teams. (Apply)12 Certified HACCP AuditorVI. Q uality Tools andTechniques (10 Questions)A. Basic Quality ToolsIdentify, interpret, and applythe seven basic quality tools:1) Pareto charts, 2) cause andeffect diagrams, 3) flowcharts,4) control charts, 5) check sheets,6) scatter diagrams, and7) histograms. (Apply)B. Descriptive StatisticsIdentify, interpret, and use1) measures of central tendency(mean, median, and mode)and 2) dispersion (standarddeviation, variance, andfrequency distribution). (Apply)C. Sampling MethodsIdentify, interpret, and usesampling methods such as1) acceptance, 2) random,3) and stratified, and4) define terms such asconsumer and producer risk,confidence level, etc. (Analyze)D. Process CapabilityIdentify and distinguish the basicelements of Cp and Cpk. (Remember)[NOTE: this topic will be tested at thedefinition level; no calculations willbe required.]E. Qualitative/QuantitativeAnalysis and Attributes/Variables DataDescribe and distinguish between1) qualitative and quantitativeanalyses and 2) attributes andvariables data. (Apply)

LEVELS OF COGNITIONBased on Bloom’s Taxonomy—Revised (2001)In addition to content specifics, the subtext for each topic in this BoK alsoindicates the intended complexity level of the test questions for that topic.These levels are based on “Levels of Cognition” (from Bloom’s Taxonomy—Revised, 2001) and are presented below in rank order, from least complexto most complex.REMEMBER Recall or recognize terms,definitions, facts, ideas, materials, patterns,sequences, methods, principles, etc.UNDERSTAND Read and understanddescriptions, communications, reports,tables, diagrams, directions, regulations, etc.APPLY Know when and how to useideas, procedures, methods, formulas,principles, theories, etc.ANALYZE Break down information intoits constituent parts and recognize theirrelationship to one another and how theyare organized; identify sublevel factors orsalient data from a complex scenario.EVALUATE Make judgments about thevalue of proposed ideas, solutions, etc.,by comparing the proposal to specificcriteria or standards.CREATE Put parts or elements togetherin such a way as to reveal a pattern orstructure not clearly there before; identifywhich data or information from a complexset is appropriate to examine further orfrom which supported conclusions canbe drawn.Visit asq.org/cert for comprehensive exam information.

Enhance your careerwith ASQ certification today!Visit asq.org/cert for additionalcertification information including: Applications Available certifications andinternational language options Reference materials Study guides and test-taki

6 Certified HACCP Auditor I. HACCP System (25 Questions) A. HACCP Terminology Define, describe, and apply basic terms related to a HACCP system: 1) deviation, 2) hazard condition, 3) preventive maintenance, and describe and apply elements of 4) NACMCF (National Advisory Comm

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