Guideline For Halal Compliance Audit
August 28, 2007 - 4:00pm — ramlie.ladis
2 DEFINITIONS
For the purpose of this guideline, the following definitions shall apply:
2.1 Adequacy audit
A desk-top / document audit to examine the contents of all supportive documents as required by the Majlis: General Requirements for Halal Certification including Halal Certificates, records, list of ingredients and packaging materials are submitted to verify that all the requirements of the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24 : 2007 and BCG Halal 1 has been addressed.
2.2 Audit
Systematic, independent and documented process for obtaining audit evidence (2.4) and evaluating it objectively to determine the extent to which the audit criteria (2.3) are fulfilled. An audit will be performed by trained auditors appointed as inspectors, under the Halal Certificate and Halal Label Order, 2005 to determine whether the Halal procedures and requirements and also the related results comply with planned arrangements and whether these arrangements are implemented effectively and are complied to ensure the foods produced are Halal in accordance to Hukum Syara’.
2.3 Audit criteria
Set of policies, procedures or requirements.NOTE: Audit criteria are used as a reference against which audit evidence (2.4) is compared
2.4 Audit evidence
Records, statements of fact or other information, which are relevant to the audit criteria (2.3) are verifiable. .NOTE: Audit evidence may be qualitative or quantitative.
2.5 Auditor
A person technically competent in auditing Halal procedures and requirements in a particular food processing technology or field, formally appointed by the Minister, with the approval of His Majesty the Sultan and Yang Di-Pertuan, as inspector under Halal Certificate and Halal Label Order, 2005.
2.6 Certification
Procedure by which the Majlis as the officially recognised body provide written assurance that the Halal procedures conforms to Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24 : 2007 and the BCG Halal 1 requirements.
2.7 Committee
The Halal Certificate and Halal Label Inspection Committee appointed under the Halal Certificate and Halal Label Order, 2005.
2.8 Compliance
Compliance means the production activities and operations at the place or the place of business meet the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24:2007 and the BCG Halal 1 requirements.
2.9 Compliance audit
An activity to obtain evidence that requirements of the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24:2007 and the BCG Halal 1 have been complied. 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 the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24:2007 and the BCG Halal 1 criteria and requirements.
2.10 Conformance
Conformance means activities are carried out according to the established procedures as laid out in the Halal procedures and requirements.
2.11 Corrective action request (CAR)
Non-conformance documented by the auditor which must be satisfactorily addressed or corrected by the applicant. All CAR(s) must be closed before a recommendation for the issue of Halal Certificates and Halal Permits can be made.
2.12 Follow-up audit
The follow-up activity to obtain evidence that the non-conformance given as CAR(s) are being satisfactorily corrected and implemented and that the Halal procedures and requirements have been maintained. A follow-up audit can be on-site or adequacy / document audit.
2.13 Food
Any substance, whether processed, semi-processed or raw, which is intended for human consumption, and includes drinks, chewing gum and any substance which has been used in the manufacture, preparation or treatment of ‘food’ but does not include cosmetics or tobacco or substance used only as drugs.
2.14 Halal
Things or actions permitted by Hukum Syara’ without punishment imposed on the doer.
2.15 Halal Certificate
A Halal Certificate issued by the Majlis under the Halal Certificate and Halal Label Order, 2005. When exhibited in any place of business, the Halal Certificate shall mean that the food in relation to which the certificate is referring:
a) neither is nor consists of or contains any part or matter of an animal that a Muslim is prohibited by Hukum Syara’ to consume or that has not been slaughtered in accordance with Hukum Syara’;
b) does not contain anything that is considered to be impure in accordance with Hukum Syara’;
c) has been prepared using an instrument that is free from anything which is considered to be impure in accordance with Hukum Syara’; and
d) has not in the course of preparation or storage, been in contact with or close proximity to any food that fails to satisfy paragraph (a), (b) or (c) and anything that is considered to be impure in accordance with Hukum Syara’.
2.16 Halal Label
When used in relation to food in the course of trade or business, the Halal Label shall mean that such food:
a) neither is nor consists of or contains any part or matter of an animal that
a Muslim is prohibited by Hukum Syara’ to consume or that has not been slaughtered in accordance with Hukum Syara’;
b) does not contain anything that is considered to be impure in accordance with Hukum Syara’;
c) has been prepared using an instrument that is free from anything which is considered to be impure in accordance with Hukum Syara’;
d) has not in the course of preparation or storage, been in contact with or close proximity to any food that fails to satisfy paragraph (a), (b) or (c) and anything that is considered to be impure in accordance with Hukum Syara’.
2.17 Lead auditor
An auditor appointed as chief inspector by the Minister under the Halal Certificate and Halal Label Order, 2005.
2.18 Majlis
Majlis Ugama Islam constituted under section 5 of the Religious Council and Kadis Courts Act (Chapter 77).
2.19 Minister
Minister of Religious Affairs.
2.20 Non-conformance (NC)
Non-conformance means activities carried out not in accordance to the established procedures as laid out in the Halal procedures and requirements.
2.21 On-site audit
An audit that is conducted at the applicant’s premises.
2.22 Permit
A Permit issued under the Halal Certificate and Halal Label Order, 2005. The permit authorises the applicant to use the Halal Label on the packages of the food concerned, subject to such conditions as the Majlis may think fit.
2.23 Place
Any premises, building, room, erection and any defined or enclosed area or the other structure, whether permanent or otherwise, and includes vehicle.
2.24 Place of business
Any place where trade is carried on and includes:
a) any place for the display, storage or packing of food, whether cooked or not, intended for human consumption, by way of trade or for the purposes of gain or distribution;
b) any place at which, or within the curtilage or precincts of which, any manual labour is exercised or any plant or machinery is operated, for the preparation or manufacture of food, by the way of trade or for purposes of gain or distribution.
2.25 Pre-requisite programmes (PRP)
Pre-requisite programmes 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 and halal food, as described in the Halal Certificate and Halal Label Order, 2005; Brunei Darussalam Standard for Halal Food, PBD 24:2007, and BCG Halal 1 or other related documents.
3 PROCEDURE FOR COMPLIANCE AUDIT
3.1 Adequacy audit
On receipt of the complete documentation, the auditors will conduct an adequacy audit on the Halal Procedures and Halal Pre-requisite programme (Halal PRP) within 1 week after receipt of documents. The lead auditor collates comments on the adequacy audit, prepares the adequacy report and submits to the Committee within five (5) working days after receipt of documents.
3.2 On-site audit
The lead auditor contacts the applicant for the on-site audit appointment within one (1) week after the adequacy audit and sends out a formal on-site audit programme to the applicant and the auditor(s). The auditor(s) prepare audit plan and checklists for the on-site audit.
3.2.1 Entry (Opening) Meeting:
i. Introduce audit team members and show his (their) authority card.
ii. Introduce observers (if any), inform purpose and their role.
iii. Request auditee to introduce themselves.
iv. Circulate attendance list.
v. Inform auditee of Undertakings of Confidentiality by all members of the audit team.
vi. State the authority of the audit, the scope of the audit, the audit guidelines and other related documents.
vii. Confirm the audit programme.
viii. Give a summary of the methods and procedures to be used to conduct the audits
ix. Describe the methods on non-conformance reporting.
x. Request for a guide for each audit group. Inform auditee of the responsibilities of the guide, which include facilitating the execution of the audit plan, acting on request of the auditor and witnessing and noting the performance of the audit on behalf of the auditee.
xi. Request for a meeting room to be reserved for the audit team’s use.
xii. Confirm working hours, lunch / tea break arrangements and interim meetings.
xiii. Explain the purpose and confirm the arrangements for the closing meeting between the audit team and the auditee.
3.2.2 Collecting and verifying information
During an audit, information relevant to the audit objectives, scope and criteria, including information relating to interfaces between functions, activities and processes, should be collected by appropriate sampling and should be verified. Only information that is verifiable may be accepted as audit evidence and audit evidence should be recorded. The audit evidence is based on samples of the available information. Methods to collect information include - interviews, observations of activities and review of documents.
3.2.3 Plant visit
i. Verify process flow diagram on-site.
ii. Conduct observations on premise (place), equipment, process, procedures (operation), storage, materials, records, food product, and without payment take samples of food for analysis or any other purpose to ascertain, or to ensure that, any requirements, or any conditions imposed under the Halal Certificate and Halal Label Order, 2005; Brunei Darussalam Standard for Halal Food PBD 24:2007 and BCG Halal 1 are being complied to.
3.2.4 Taking material sample
Important matters to be considered during sampling for analysis:
i. The Halal status of the material is doubtful.
ii. To inform the owner of the premise/company the intention of sampling for analysis.
iii. Filing the consent form and signed by the owner of the premise/company.
iv. Obtain accurate information on the type of product.
v. Taking at least three samples from the site being audited (inspected).
vi. Seal every sample taken. Label name, date and time of sampling done.
vii. Seal sample until all enforcement matters are finished.
viii. Leave one sealed sample for the company / applicant to keep.
ix. Send the second sample taken from the location to the analyst and get the expert’s report as soon as possible.
x. Keep the third sample as reference sample.
3.2.5 Document audit
i. On-site document review.
ii. Verification of Halal procedures and requirements, on-line monitoring and checking records.
3.2.6 Auditors meeting
i. The auditors discuss findings of document and on site audits.
3.2.7 Exit (Closing) Meeting
i. Thank auditee for hospitality, cooperation and assistance.
ii. Circulate attendance list.
iii. State that the critique is based on objective evidence presented and does not mean that areas not seen or mentioned are considered satisfactory.
iv. State general impressions.
v. Request auditors to deliver their findings.
vi. Resolve points raised by auditee.
vii. Present corrective action request(s) (CAR(s).
viii. Reconfirm scope of Halal certification.
ix. Inform auditee of subsequent acti on after the on-site audit.
3.3 Response by applicant to CAR(s) issued within three (3) weeks after the on-site audit depending on the type of non-conformance.
3.4 Prepare and send Audit Report to applicant with a copy to the Committee within one (1) week after receipt of CAR response.
3.5 Corrective action and document update by applicant within six (6) months from on-site audit.
3.6 If the applicant fails to respond and provide corrective actions for CAR(s) after a period exceeding 6 months, the application is no longer valid and the applicant has to submit a new application.
3.7 Submission of updated document by applicant to lead auditor and to conduct Follow-up Audit (FUA), if necessary (Concurrent with 3.5 above).
3.8 Follow-up Audit (FUA) FUA can be on-site audit or document audit, which will be conducted within two (2) weeks of receipt of request from auditee.
3.8.1 On-Site FUA
i. Entry meeting. As 3.2.1 (where appropriate).
ii. Plant visit.
iii. Document audit.
iv. Exit Meeting. As 3.2.7. (where appropriate).
v. Closing of completed CAR(s).
vi. Close on-site FUA.
3.9 The auditors discuss findings of the FUA.
3.10 Response by applicant to unsatisfactory corrective actions on previous CAR(s) within three (3) weeks.
3.11 When all CAR(s) have been closed out, lead auditor prepares a final recommendation report to the Committee within one (1) week.
4 APPOINTMENT AND REGISTRATION OF COMPLIANCE AUDITOR
The compliance auditor will be appointed by the Minister based on the criteria specified under the Guidelines for the Certification of Halal Compliance Auditor (BCG Halal 3). The Minister reserves the right to evoke the appointment of any
compliance auditor.
5 CONTENTS OF CHECKLIST
5.1 Halal Procedures
i. Management commitment.
ii. Scope of the Halal procedures and requirements.
iii. Appropriate Halal team established, with appropriate job functions.
iv. Proper product description and intended use.
v. Factory floor layout.
vi. Process flow chart.
i. vii Proper application of Halal procedures and requirements.
vii. Proper selection of Halal critical control points (Halal CCPs).
viii. Appropriate monitoring procedures, corrective actions, as well as validation and verification activities.
ix. Proper documentation and record keeping.
x. All regulatory requirements relating to Halal, health and safety have been addressed.
xi. Internal Audit Report.
xii. Evidence of Management Review.
xiii. Identification of effective Pre-requisite programmes.
xiv. On-site observations.
5.2 Pre-requisites
i. Premises - location, design, construction and maintenance, lighting, ventilation, product flow, waste disposal, factory grounds, employee facilities.
ii. Supplier control and specifications - supplier guarantee, written specifications.
iii. Halal status ingredients and their Halal certifications or product specifications for critical ingredients (as appropriate).
iv. Type of packaging material (if any).
v. Water, steam and ice - supply, quality, records.
vi. Receiving, storage, distribution, vehicle - Food and non-food, finished products.
vii. Production equipment - design and installation, maintenance, calibration, records.
viii. Cleaning and sanitation - sanitation programme, equipment cleaning and sanitizing facilities, records.
ix. Personnel - cleanliness and conduct, communicable diseases and injuries.
x. Training - Halal principles, hygiene and sanitation, GMP, HACCP, technical.
xi. Chemical control - procedures, storage, records.
xii. Pest control - pest control programme and records.
xiii. Recalls - procedures and records.
xiv. Customer complaints.
6 REFERENCES
GUIDELINE FOR HALAL COMPLIANCE AUDIT
First Edition
2007
Copyright Reserved
The Religious Council
Brunei Darussalam
ISBN 99917-38-39-8
CONTENTS
Committee Representation
Working Group Representation
1. Scope
2. Definitions
3. Procedure for Compliance Audit
4. Appointment and Registration of Compliance Auditor
5. Contents of Checklist
6. References
Committee Representation
The Technical Committee on the Development of National Halal Standards and Guidelines for Halal Food was entrusted by the Ministry of Industry and Primary Resources for the preparation of this standard. The members of the Technical
Committee are as follows:
Working Group Representation
The Working Group on Guideline for Halal Certification, which prepared this Brunei Darussalam Certification Guideline for Halal Certificate and Halal Label, consists of the following representatives:
1 SCOPE
The Guideline for Halal Compliance Audit is one of the guidelines under the Brunei Darussalam Certification Guideline for Halal Certificate and Halal Label (BCG Halal). The guideline is authorised under the Majlis Ugama Islam Brunei Darussalam (Majlis), which requires the place of business to set up and implement Halal procedures that meet the Brunei Darussalam Standard for Halal Food PBD 24 : 2007 and Brunei Darussalam Certification Guideline for Halal Certificate and Halal Label - Guideline for Halal Certification (BCG Halal 1), followed by the application and granting of the Halal Certificate and Halal Label. The purpose of the Halal compliance audit is to provide third party verification that the elements of Halal have been implemented. This guideline encompasses the procedures for compliance audit.First Edition
2007
Copyright Reserved
The Religious Council
Brunei Darussalam
ISBN 99917-38-39-8
CONTENTS
Committee Representation
Working Group Representation
1. Scope
2. Definitions
3. Procedure for Compliance Audit
4. Appointment and Registration of Compliance Auditor
5. Contents of Checklist
6. References
Committee Representation
The Technical Committee on the Development of National Halal Standards and Guidelines for Halal Food was entrusted by the Ministry of Industry and Primary Resources for the preparation of this standard. The members of the Technical
Committee are as follows:
- Permanent Secretary Ministry of Industry and Primary Resources. (Chairman)
- Secretary of the Religious Council Department of Religious Council, (Joint Deputy Chairman) Ministry of Religious Affairs.
- Director of Syariah Affairs Department of Syariah Affairs, (Joint Deputy Chairman) Ministry of Religious Affairs.
- Director of Islamic Legal Unit Islamic Legal Unit, Ministry of Religious Affairs.
- Director General of Health Services Department of Health Services, Ministry of Health.
- Acting Director of Agriculture Department of Agriculture, Ministry of Industry and Primary Resources.
- Head of Agro-Technology Development Division Department of Agriculture, Ministry of Industry and Primary Resources.
- Head of Livestock and Veterinary Services Division Department of Agriculture, Ministry of Industry and Primary Resources.
- Chief Religious Research Officer State Mufti’s Office, Prime Minister’s Office.
- Senior Religious Officer Halal Food Control Division, Department of Syariah Affairs, Ministry of Religious Affairs.
- Senior Project Officer National Accreditation and Standards Centre, Ministry of Industry and Primary Resources.
- Deputy Senior Counsel Attorney General’s Chambers, Prime Minister’s Office.
- Special Duties Officer Ministry of Development.
- Deputy Dean University of Brunei Darussalam.
- Manager BMC Food Industries Sdn. Bhd.
- Executive Director PDS Abattoir Sdn. Bhd. And
- PDS Meat Industries Sdn. Bhd.
- Manager Mulaut Abattoir Sdn. Bhd.
- Manager Sabli Food Industries (B) Sdn. Bhd.
Working Group Representation
The Working Group on Guideline for Halal Certification, which prepared this Brunei Darussalam Certification Guideline for Halal Certificate and Halal Label, consists of the following representatives:
- Pengiran Hajah Rosidah binti Pengiran Haji Metussin Department of Agriculture, Ministry of Industry and Primary Resources. (Chairman)
- Awang Haji Abdul Wahab bin Haji Sapar Department of Religious Council, Ministry of Religious Affairs.
- Awang Haji Kasim bin Haji Mohamad Department of Syariah Affairs, Ministry of Religious Affairs.
- Dayang Hajah Dahliana binti Haji Aliakbar Department of Agriculture, Ministry of Industry and Primary Resources.
- Pengiran Hajah Masliati binti PSJ Pengiran Haji Abdul Mumin Department of Agriculture, Ministry of Industry and Primary Resources.
- Dayang Hajah Rokiah binti Haji Omar Department of Agriculture, Ministry of Industry and Primary Resources.
- Dr. Kasumawati binti Haji Md. Ja’afar Department of Agriculture, Ministry of Industry and Primary Resources.
- Dayang Hajah Roainah binti Haji Abdul Rahman Department of Agriculture, Ministry of Industry and Primary Resources.
- Dayang Hajah Siti Raihani binti Haji Abdul Hamid Department of Agriculture, Ministry of Industry and Primary Resources.
1 SCOPE
2 DEFINITIONS
For the purpose of this guideline, the following definitions shall apply:
2.1 Adequacy audit
A desk-top / document audit to examine the contents of all supportive documents as required by the Majlis: General Requirements for Halal Certification including Halal Certificates, records, list of ingredients and packaging materials are submitted to verify that all the requirements of the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24 : 2007 and BCG Halal 1 has been addressed.
2.2 Audit
Systematic, independent and documented process for obtaining audit evidence (2.4) and evaluating it objectively to determine the extent to which the audit criteria (2.3) are fulfilled. An audit will be performed by trained auditors appointed as inspectors, under the Halal Certificate and Halal Label Order, 2005 to determine whether the Halal procedures and requirements and also the related results comply with planned arrangements and whether these arrangements are implemented effectively and are complied to ensure the foods produced are Halal in accordance to Hukum Syara’.
2.3 Audit criteria
Set of policies, procedures or requirements.NOTE: Audit criteria are used as a reference against which audit evidence (2.4) is compared
2.4 Audit evidence
Records, statements of fact or other information, which are relevant to the audit criteria (2.3) are verifiable. .NOTE: Audit evidence may be qualitative or quantitative.
2.5 Auditor
A person technically competent in auditing Halal procedures and requirements in a particular food processing technology or field, formally appointed by the Minister, with the approval of His Majesty the Sultan and Yang Di-Pertuan, as inspector under Halal Certificate and Halal Label Order, 2005.
2.6 Certification
Procedure by which the Majlis as the officially recognised body provide written assurance that the Halal procedures conforms to Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24 : 2007 and the BCG Halal 1 requirements.
2.7 Committee
The Halal Certificate and Halal Label Inspection Committee appointed under the Halal Certificate and Halal Label Order, 2005.
2.8 Compliance
Compliance means the production activities and operations at the place or the place of business meet the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24:2007 and the BCG Halal 1 requirements.
2.9 Compliance audit
An activity to obtain evidence that requirements of the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24:2007 and the BCG Halal 1 have been complied. 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 the Halal Certificate and Halal Label Order, 2005, Brunei Darussalam Standard for Halal Food PBD 24:2007 and the BCG Halal 1 criteria and requirements.
2.10 Conformance
Conformance means activities are carried out according to the established procedures as laid out in the Halal procedures and requirements.
2.11 Corrective action request (CAR)
Non-conformance documented by the auditor which must be satisfactorily addressed or corrected by the applicant. All CAR(s) must be closed before a recommendation for the issue of Halal Certificates and Halal Permits can be made.
2.12 Follow-up audit
The follow-up activity to obtain evidence that the non-conformance given as CAR(s) are being satisfactorily corrected and implemented and that the Halal procedures and requirements have been maintained. A follow-up audit can be on-site or adequacy / document audit.
2.13 Food
Any substance, whether processed, semi-processed or raw, which is intended for human consumption, and includes drinks, chewing gum and any substance which has been used in the manufacture, preparation or treatment of ‘food’ but does not include cosmetics or tobacco or substance used only as drugs.
2.14 Halal
Things or actions permitted by Hukum Syara’ without punishment imposed on the doer.
2.15 Halal Certificate
A Halal Certificate issued by the Majlis under the Halal Certificate and Halal Label Order, 2005. When exhibited in any place of business, the Halal Certificate shall mean that the food in relation to which the certificate is referring:
a) neither is nor consists of or contains any part or matter of an animal that a Muslim is prohibited by Hukum Syara’ to consume or that has not been slaughtered in accordance with Hukum Syara’;
b) does not contain anything that is considered to be impure in accordance with Hukum Syara’;
c) has been prepared using an instrument that is free from anything which is considered to be impure in accordance with Hukum Syara’; and
d) has not in the course of preparation or storage, been in contact with or close proximity to any food that fails to satisfy paragraph (a), (b) or (c) and anything that is considered to be impure in accordance with Hukum Syara’.
2.16 Halal Label
When used in relation to food in the course of trade or business, the Halal Label shall mean that such food:
a) neither is nor consists of or contains any part or matter of an animal that
a Muslim is prohibited by Hukum Syara’ to consume or that has not been slaughtered in accordance with Hukum Syara’;
b) does not contain anything that is considered to be impure in accordance with Hukum Syara’;
c) has been prepared using an instrument that is free from anything which is considered to be impure in accordance with Hukum Syara’;
d) has not in the course of preparation or storage, been in contact with or close proximity to any food that fails to satisfy paragraph (a), (b) or (c) and anything that is considered to be impure in accordance with Hukum Syara’.
2.17 Lead auditor
An auditor appointed as chief inspector by the Minister under the Halal Certificate and Halal Label Order, 2005.
2.18 Majlis
Majlis Ugama Islam constituted under section 5 of the Religious Council and Kadis Courts Act (Chapter 77).
2.19 Minister
Minister of Religious Affairs.
2.20 Non-conformance (NC)
Non-conformance means activities carried out not in accordance to the established procedures as laid out in the Halal procedures and requirements.
2.21 On-site audit
An audit that is conducted at the applicant’s premises.
2.22 Permit
A Permit issued under the Halal Certificate and Halal Label Order, 2005. The permit authorises the applicant to use the Halal Label on the packages of the food concerned, subject to such conditions as the Majlis may think fit.
2.23 Place
Any premises, building, room, erection and any defined or enclosed area or the other structure, whether permanent or otherwise, and includes vehicle.
2.24 Place of business
Any place where trade is carried on and includes:
a) any place for the display, storage or packing of food, whether cooked or not, intended for human consumption, by way of trade or for the purposes of gain or distribution;
b) any place at which, or within the curtilage or precincts of which, any manual labour is exercised or any plant or machinery is operated, for the preparation or manufacture of food, by the way of trade or for purposes of gain or distribution.
2.25 Pre-requisite programmes (PRP)
Pre-requisite programmes 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 and halal food, as described in the Halal Certificate and Halal Label Order, 2005; Brunei Darussalam Standard for Halal Food, PBD 24:2007, and BCG Halal 1 or other related documents.
3 PROCEDURE FOR COMPLIANCE AUDIT
3.1 Adequacy audit
On receipt of the complete documentation, the auditors will conduct an adequacy audit on the Halal Procedures and Halal Pre-requisite programme (Halal PRP) within 1 week after receipt of documents. The lead auditor collates comments on the adequacy audit, prepares the adequacy report and submits to the Committee within five (5) working days after receipt of documents.
3.2 On-site audit
The lead auditor contacts the applicant for the on-site audit appointment within one (1) week after the adequacy audit and sends out a formal on-site audit programme to the applicant and the auditor(s). The auditor(s) prepare audit plan and checklists for the on-site audit.
3.2.1 Entry (Opening) Meeting:
i. Introduce audit team members and show his (their) authority card.
ii. Introduce observers (if any), inform purpose and their role.
iii. Request auditee to introduce themselves.
iv. Circulate attendance list.
v. Inform auditee of Undertakings of Confidentiality by all members of the audit team.
vi. State the authority of the audit, the scope of the audit, the audit guidelines and other related documents.
vii. Confirm the audit programme.
viii. Give a summary of the methods and procedures to be used to conduct the audits
ix. Describe the methods on non-conformance reporting.
x. Request for a guide for each audit group. Inform auditee of the responsibilities of the guide, which include facilitating the execution of the audit plan, acting on request of the auditor and witnessing and noting the performance of the audit on behalf of the auditee.
xi. Request for a meeting room to be reserved for the audit team’s use.
xii. Confirm working hours, lunch / tea break arrangements and interim meetings.
xiii. Explain the purpose and confirm the arrangements for the closing meeting between the audit team and the auditee.
3.2.2 Collecting and verifying information
During an audit, information relevant to the audit objectives, scope and criteria, including information relating to interfaces between functions, activities and processes, should be collected by appropriate sampling and should be verified. Only information that is verifiable may be accepted as audit evidence and audit evidence should be recorded. The audit evidence is based on samples of the available information. Methods to collect information include - interviews, observations of activities and review of documents.
3.2.3 Plant visit
i. Verify process flow diagram on-site.
ii. Conduct observations on premise (place), equipment, process, procedures (operation), storage, materials, records, food product, and without payment take samples of food for analysis or any other purpose to ascertain, or to ensure that, any requirements, or any conditions imposed under the Halal Certificate and Halal Label Order, 2005; Brunei Darussalam Standard for Halal Food PBD 24:2007 and BCG Halal 1 are being complied to.
3.2.4 Taking material sample
Important matters to be considered during sampling for analysis:
i. The Halal status of the material is doubtful.
ii. To inform the owner of the premise/company the intention of sampling for analysis.
iii. Filing the consent form and signed by the owner of the premise/company.
iv. Obtain accurate information on the type of product.
v. Taking at least three samples from the site being audited (inspected).
vi. Seal every sample taken. Label name, date and time of sampling done.
vii. Seal sample until all enforcement matters are finished.
viii. Leave one sealed sample for the company / applicant to keep.
ix. Send the second sample taken from the location to the analyst and get the expert’s report as soon as possible.
x. Keep the third sample as reference sample.
3.2.5 Document audit
i. On-site document review.
ii. Verification of Halal procedures and requirements, on-line monitoring and checking records.
3.2.6 Auditors meeting
i. The auditors discuss findings of document and on site audits.
3.2.7 Exit (Closing) Meeting
i. Thank auditee for hospitality, cooperation and assistance.
ii. Circulate attendance list.
iii. State that the critique is based on objective evidence presented and does not mean that areas not seen or mentioned are considered satisfactory.
iv. State general impressions.
v. Request auditors to deliver their findings.
vi. Resolve points raised by auditee.
vii. Present corrective action request(s) (CAR(s).
viii. Reconfirm scope of Halal certification.
ix. Inform auditee of subsequent acti on after the on-site audit.
3.3 Response by applicant to CAR(s) issued within three (3) weeks after the on-site audit depending on the type of non-conformance.
3.4 Prepare and send Audit Report to applicant with a copy to the Committee within one (1) week after receipt of CAR response.
3.5 Corrective action and document update by applicant within six (6) months from on-site audit.
3.6 If the applicant fails to respond and provide corrective actions for CAR(s) after a period exceeding 6 months, the application is no longer valid and the applicant has to submit a new application.
3.7 Submission of updated document by applicant to lead auditor and to conduct Follow-up Audit (FUA), if necessary (Concurrent with 3.5 above).
3.8 Follow-up Audit (FUA) FUA can be on-site audit or document audit, which will be conducted within two (2) weeks of receipt of request from auditee.
3.8.1 On-Site FUA
i. Entry meeting. As 3.2.1 (where appropriate).
ii. Plant visit.
iii. Document audit.
iv. Exit Meeting. As 3.2.7. (where appropriate).
v. Closing of completed CAR(s).
vi. Close on-site FUA.
3.9 The auditors discuss findings of the FUA.
3.10 Response by applicant to unsatisfactory corrective actions on previous CAR(s) within three (3) weeks.
3.11 When all CAR(s) have been closed out, lead auditor prepares a final recommendation report to the Committee within one (1) week.
4 APPOINTMENT AND REGISTRATION OF COMPLIANCE AUDITOR
The compliance auditor will be appointed by the Minister based on the criteria specified under the Guidelines for the Certification of Halal Compliance Auditor (BCG Halal 3). The Minister reserves the right to evoke the appointment of any
compliance auditor.
5 CONTENTS OF CHECKLIST
5.1 Halal Procedures
i. Management commitment.
ii. Scope of the Halal procedures and requirements.
iii. Appropriate Halal team established, with appropriate job functions.
iv. Proper product description and intended use.
v. Factory floor layout.
vi. Process flow chart.
i. vii Proper application of Halal procedures and requirements.
vii. Proper selection of Halal critical control points (Halal CCPs).
viii. Appropriate monitoring procedures, corrective actions, as well as validation and verification activities.
ix. Proper documentation and record keeping.
x. All regulatory requirements relating to Halal, health and safety have been addressed.
xi. Internal Audit Report.
xii. Evidence of Management Review.
xiii. Identification of effective Pre-requisite programmes.
xiv. On-site observations.
5.2 Pre-requisites
i. Premises - location, design, construction and maintenance, lighting, ventilation, product flow, waste disposal, factory grounds, employee facilities.
ii. Supplier control and specifications - supplier guarantee, written specifications.
iii. Halal status ingredients and their Halal certifications or product specifications for critical ingredients (as appropriate).
iv. Type of packaging material (if any).
v. Water, steam and ice - supply, quality, records.
vi. Receiving, storage, distribution, vehicle - Food and non-food, finished products.
vii. Production equipment - design and installation, maintenance, calibration, records.
viii. Cleaning and sanitation - sanitation programme, equipment cleaning and sanitizing facilities, records.
ix. Personnel - cleanliness and conduct, communicable diseases and injuries.
x. Training - Halal principles, hygiene and sanitation, GMP, HACCP, technical.
xi. Chemical control - procedures, storage, records.
xii. Pest control - pest control programme and records.
xiii. Recalls - procedures and records.
xiv. Customer complaints.
6 REFERENCES
- Halal Certificate and Halal Label Order, 2005 (S 39/05). Brunei Darussalam. ISO 19011 - Guidelines for Quality and / or Environmental Management Systems Auditing.
- Malaysian Certification Scheme for Hazard Analysis and critical control Point - Guideline for HACCP Compliance Audit (MCS 2). Food Quality Control Division, Department of Public Health, Ministry of Health Malaysia (2001).
- Manual Procedure of Halal Certification Malaysia. Department of Islamic Development Malaysia (2005).
- Public Health (Food) Act (Chapter 182). Brunei Darussalam.
- Public Health (Food) Regulation (RI of Chapter 182). Brunei Darussalam.