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HACCP Excel - Document Control Question


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#1 D-D

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Posted 21 October 2011 - 03:51 PM

This relates to the update I am doing to HACCP plans but in principle it could apply to any situation like this: I am changing the current HACCP system from 5 Word documents to one Excel spreadsheet with 4 tabs (Product Description, Flow Diagram, Risk Assessment/CCP determination now combined, CCP Control Chart).

When I had these as Word documents it was easy to put a footer on each with a table for the document control details (title, ref, version, date etc) and then print each for signature by the owner and authoriser and put them in a file.

How can I address the document control requirements with an Excel spreadsheet? (Do I need to...?). I have added a tab with a change control table where I can refer back to the previous Word version but how can I get an owner and authoriser signature? We don't have electronic signature capabilities (other than copying and pasting a scan which is not really the way). What if I agree the new format at HACCP review with the team and minute that; would that do it? We have our audit in a few weeks and I want HACCP to be water tight, hence the upgrade but I don't want to be criticised on something like the basic document control.

Thanks.



#2 mgourley

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Posted 21 October 2011 - 04:08 PM

This relates to the update I am doing to HACCP plans but in principle it could apply to any situation like this: I am changing the current HACCP system from 5 Word documents to one Excel spreadsheet with 4 tabs (Product Description, Flow Diagram, Risk Assessment/CCP determination now combined, CCP Control Chart).

When I had these as Word documents it was easy to put a footer on each with a table for the document control details (title, ref, version, date etc) and then print each for signature by the owner and authoriser and put them in a file.

How can I address the document control requirements with an Excel spreadsheet? (Do I need to...?). I have added a tab with a change control table where I can refer back to the previous Word version but how can I get an owner and authoriser signature? We don't have electronic signature capabilities (other than copying and pasting a scan which is not really the way). What if I agree the new format at HACCP review with the team and minute that; would that do it? We have our audit in a few weeks and I want HACCP to be water tight, hence the upgrade but I don't want to be criticised on something like the basic document control.

Thanks.


You can do headers and footers in Excel as well. Depending on your version of Excel, click View on the menu bar, then Header and Footer.
I put the title of the doc in the header and then put version, approval authority and the like in the footer.

Marshall

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#3 jmotuk

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Posted 21 October 2011 - 05:13 PM

This relates to the update I am doing to HACCP plans but in principle it could apply to any situation like this: I am changing the current HACCP system from 5 Word documents to one Excel spreadsheet with 4 tabs (Product Description, Flow Diagram, Risk Assessment/CCP determination now combined, CCP Control Chart).

When I had these as Word documents it was easy to put a footer on each with a table for the document control details (title, ref, version, date etc) and then print each for signature by the owner and authoriser and put them in a file.

How can I address the document control requirements with an Excel spreadsheet? (Do I need to...?). I have added a tab with a change control table where I can refer back to the previous Word version but how can I get an owner and authoriser signature? We don't have electronic signature capabilities (other than copying and pasting a scan which is not really the way). What if I agree the new format at HACCP review with the team and minute that; would that do it? We have our audit in a few weeks and I want HACCP to be water tight, hence the upgrade but I don't want to be criticised on something like the basic document control.

Thanks.


On basic adding document control to each work sheet, this can be accomplished a few ways: Add a header footer for each sheet in print preview. This will not give you a table but will be fine for listing your document control information. You can also list document control in each worksheet by adding rows, or on an additional worksheet resembling a cover page. Whatever is easier for you.
As far as digital signage in Excel goes, you will be out of luck unless you incorporate a 3rd party software source and 3rd party issued digital certificates; very expensive.
That being said, Adobe Acrobat 9 Standard & Pro allows creation of self signed Digital Signatures and once created you can create a "windows" certificate off of the digital signature certificate. Using MS Excel, or Word, you can then digitally sign your documents and even choose an image such as a handwritten signature. One con to using self signed certificates through excel or word compared to Adobe is; there is no password entry when signing. If you go this route you will need to do some extensive research on the process, and you will need SOP/s to prove that this process is buttoned up and secure. If the SOP does not exist or does not prove that eg. "John Smith" actually signed as himself and not his coworker, it will be a waste of time for you and your company.

My advice, I like how you are moving your Word Documents to a spreadsheet, to each its own. But, I think you should just keep HACCP stored with paper copies for the time being, and real hand signatures, at least until you work out the best digital signature method that will work for your company. Once you complete the digital signature process, I'm sure you will be stream lining to the rest of your documentation, thus saving our earth! But until then, keep template through excel and signed copies in a fire proof box.

Hope this helps,

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#4 Charles.C

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Posted 22 October 2011 - 07:27 AM

Dear D-D,

I seem to recall that this plan is for a very uncomplicated, non-high-tech process.?

IMEX, it is sadly only too easy to consume unbelievable amounts of time in trying to over-electonicise HACCP documents (unless of course you hv a tame PC expert at yr beck-and-call). And it is often wasted on auditors unless the process justifies the result (eg fully storing intricate search / traceability patterns on PCs for a multi-branching process can usefully overwhelm many auditors :smile: ).

KISP is good.
My (dinosaurial) one cents worth. :smile:

Rgds / Charles.C


Kind Regards,

 

Charles.C


#5 D-D

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Posted 23 October 2011 - 09:54 PM

Interesting Charles. You remember correctly; the plans are for low risk ingredients that get filtered and that's about it. The reason for the upgrade is that previously we had "Does the HACCP team think the hazrd is significant or not?" as the risk assessment and the the decision tree used for the "Yes" answers. Some auditors have said there should be a bit more than that and this is why I am going into further detail with the spreadsheet format...

I will get feedback from the team at HACCP review next week. If we keep it maybe I will just print it and get it signed as also suggested here. The plus side is that it decreases the overall number of documents by one and there is a lot of copy and paste that can be used to quickly generate all the other plans needed.






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