Once you understand the basic principles of HACCP, your company will need to implement it. CODEX provides the steps towards this goal.

1. Good Hygiene Practices
Slide 1
Module 4.2 – Codex Guidelines
for the Application of HACCP
§ Module 4.2
Codex Guidelines for the
Application of HACCP

2. Slide 2
Module 4.2 – Codex Guidelines
for the Application of HACCP
Objective and contents
§ Objective
§ To introduce the HACCP system and its
definitions and terminology
§ Contents
§ The seven HACCP principles
§ Explanation of logical steps in applying
HACCP
§ Training and partnership

3. Slide 3
Module 4.2 – Codex Guidelines
for the Application of HACCP
Introducing the Codex guidelines
§ HACCP has gained widespread
international acceptance as an important
tool for improving food safety
management
§ Codex guidelines on the application of
HACCP adopted in 1993 – revisions
adopted in 1995, 1997 and 2003

4. Slide 4
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP guidelines
§ Outline the internationally agreed seven
principles underlying HACCP
§ Establish HACCP terminology and
definitions
§ Identify logical sequence of tasks that
may be followed in applying HACCP
principles

5. Slide 5
Module 4.2 – Codex Guidelines
for the Application of HACCP
Prerequisites to HACCP
§ Food businesses must have programmes
consistent with the Codex General
Principles of Food Hygiene in place
before considering application of HACCP
§ Prerequisite programmes must
§ Include training
§ Be fully operational
§ Be verified

6. Slide 6
Module 4.2 – Codex Guidelines
for the Application of HACCP
Why prerequisite programmes?
§ The purpose of HACCP is to allow
businesses to focus control at critical
points
§ Without well functioning prerequisite
programmes we risk either
§ Identifying so many critical points that we
cannot focus our efforts and resources
§ Not taking sufficient account of hazards that
should have been controlled by our
GHPs....but are not

7. Slide 7
Module 4.2 – Codex Guidelines
for the Application of HACCP
Specificity of HACCP
§ Application of HACCP principles is the
responsibility of each individual business
for each of its operations
§ Generic HACCP models or codes of
hygiene practice can provide guidance -
but for any specific application critical
control points need to be rigorously
determined

8. Slide 8
Module 4.2 – Codex Guidelines
for the Application of HACCP
Specificity of HACCP
§ HACCP plans are likely to vary among
enterprises making the same product
because of differences in
§ Ingredient source
§ Formulation
§ Processing equipment and methods
§ Storage conditions
§ Experience, knowledge and attitudes of
personnel

9. Slide 9
Module 4.2 – Codex Guidelines
for the Application of HACCP
Flexibility of HACCP
§ HACCP systems must be appropriate to
the business under consideration
§ Nature and size of operation
§ Human and financial resources
§ Infrastructure etc.
§ All seven principles must be applied in
any HACCP-based system

10. Slide 10
Module 4.2 – Codex Guidelines
for the Application of HACCP
Appropriate measures
Problems must be defined and solutions
found according to the context

11. Slide 11
Module 4.2 – Codex Guidelines
for the Application of HACCP
Constraints facing small businesses
§ Often do not have the resources or
expertise on-site to develop and
implement an effective HACCP plan
§ Availability of expert advice from other
sources is important
§ Advice must be specific to products and
processes under consideration

12. Slide 12
Module 4.2 – Codex Guidelines
for the Application of HACCP
Seven HACCP principles
1. Conduct hazard analysis
2. Determine critical control points (CCP)
3. Establish critical limits
4. Establish system to monitor control of CCP
5. Establish corrective action
6. Establish verification procedures
7. Establish documentation

13. Slide 13
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 1
Conduct hazard analysis
Hazard analysis
The process of collecting and evaluating information on hazards and
conditions leading to their presence to decide which are significant to
food safety and therefore should be addressed in the HACCP plan
Hazard
A biological, chemical or physical agent in, or condition of, food with
the potential to cause an adverse health effect

14. Slide 14
Module 4.2 – Codex Guidelines
for the Application of HACCP
Tasks required to apply HACCP principle 1
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of
flow diagram
List all potential hazards,
conduct hazard analysis
§ Ensure availability of all
required expertise -
multidisciplinary team
§ Scope of HACCP plan
decided

15. Slide 15
Module 4.2 – Codex Guidelines
for the Application of HACCP
Tasks required to apply HACCP principle 1
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of
flow diagram
List all potential hazards,
conduct hazard analysis
§ A full description of the
product should be
prepared
§ All relevant safety
information should be
reported including:
composition, physical/
chemical characteristics,
packaging, storage
conditions, etc.

16. Slide 16
Module 4.2 – Codex Guidelines
for the Application of HACCP
Tasks required to apply HACCP principle 1
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of
flow diagram
List all potential hazards,
conduct hazard analysis
§ Specify expected use of
the product
§ Where appropriate
consider vulnerable
groups of the population

17. Slide 17
Module 4.2 – Codex Guidelines
for the Application of HACCP
Tasks required to apply HACCP principle 1
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of
flow diagram
List all potential hazards,
conduct hazard analysis
§ Flow diagram for process
should be constructed by
HACCP team
§ The flow diagram should
cover all steps in the
operation
§ HACCP team should
confirm the processing
operation against the
flow chart

18. Slide 18
Module 4.2 – Codex Guidelines
for the Application of HACCP
Tasks required to apply HACCP principle 1
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of
flow diagram
List all potential hazards,
conduct hazard analysis
§ HACCP team to list all
hazards reasonably
expected to occur at
each step in the food
chain
§ Assess hazards to
determine which should
be included in HACCP
plan
§ Consider what control
measures could be
applied for each hazard

19. Slide 19
Module 4.2 – Codex Guidelines
for the Application of HACCP
Conducting hazard analysis
Control measure
Any action or activity that can be used to prevent or eliminate a food
safety hazard or reduce it to an acceptable level
More than one control measure may be required to control
a specific hazard and more than one hazard may be
controlled by a specified control measure

20. Slide 20
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 2
Determine critical control points (CCP)
Step
A point, procedure, operation or stage in the food chain, including
raw materials, from primary production to final consumption
Critical control point
A step at which control can be applied and is essential to prevent or
eliminate a food safety hazard or reduce it to an acceptable level

21. Slide 21
Module 4.2 – Codex Guidelines
for the Application of HACCP
Applying HACCP principle 2
List all potential hazards,
conduct hazard analysis
§ Determination of CCPs
can be facilitated by
application of decision
tree
§ There may be more than
one CCP at which control
is applied to address the
same hazard
Determine critical control
points
Establish critical limits

22. Slide 22
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 3
Establish critical limits
Critical limit
A criterion that separates acceptability from unacceptability
Maximum load: 1 tonne
Maximum speed: 15 km/h
If you exceed the critical limit ...
The bridge will break

23. Slide 23
Module 4.2 – Codex Guidelines
for the Application of HACCP
Critical limits
Establish critical limits
Critical limit
A criterion that separates acceptability from unacceptability

24. Slide 24
Module 4.2 – Codex Guidelines
for the Application of HACCP
Applying HACCP principle 3
Determine critical control
points
§ Critical limits must be
specified and validated
for each CCP
§ More than one CL may be
elaborated at a
particular step
§ Criteria commonly used
include Aw, time, pH,
temperature, etc.
§ Critical limits are not
necessarily numerical
Establish critical limits for
each CCP
Establish a monitoring
system

25. Slide 25
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 4
Establish system to monitor control of the CCP
Monitor
The act of conducting a planned sequence of observations or
measurements of control parameters to assess whether a CCP is under
control
Control
The state wherein correct procedures are being followed and criteria
are being met

26. Slide 26
Module 4.2 – Codex Guidelines
for the Application of HACCP
Applying HACCP principle 4
Establish critical limits for
each CCP
§ Monitoring data should
be evaluated by
designated person with
knowledge and authority
to take action
§ Frequency of monitoring
must be sufficient to
ensure effective control
Establish a monitoring
system
Establish corrective
actions

27. Slide 27
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 5
Establish the corrective action to be taken when
monitoring indicates that a particular CCP is not
under control
Corrective action
Any action to be taken when the results of monitoring at the CCP indicate a loss
of control

28. Slide 28
Module 4.2 – Codex Guidelines
for the Application of HACCP
Applying HACCP principle 5
Establish a monitoring
system
§ Specific corrective actions
must be developed for each
CCP in the HACCP system in
order to deal with
deviations when they occur
§ Actions must ensure that
the CCP has been brought
under control
§ Deviation and product
disposition procedures must
be documented
Establish corrective
actions
Establish verification
procedures

29. Slide 29
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 6
Establish procedures for verification to confirm that
the HACCP system is working effectively
Verification
The application of methods, procedures tests and other evaluations,
in addition to monitoring, to determine compliance with the HACCP
plan

30. Slide 30
Module 4.2 – Codex Guidelines
for the Application of HACCP
Applying HACCP principle 6
Establish corrective
actions
§ Establish procedures,
including random sampling
and analysis to determine if
the HACCP system is
working correctly
§ Validation should include
actions to confirm the
efficacy of all elements in
the HACCP plan
Establish verification
procedures
Establish documentation
systems

31. Slide 31
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP principle 7
Establish documentation concerning all
procedures and records appropriate to these
principles and their application

32. Slide 32
Module 4.2 – Codex Guidelines
for the Application of HACCP
Applying HACCP principle 7
Establish verification
procedures
§ Documentation and record
keeping should be
appropriate to the size and
nature of the operation
§ Documentation includes
§ Hazard analysis; CCP and CL
determination
§ Records of
§ CCP monitoring; Deviations
and corrective actions
Establish documentation
and record keeping
systems

33. Slide 33
Module 4.2 – Codex Guidelines
for the Application of HACCP
HACCP training
§ Training in HACCP principles and their
application is required by
§ Personnel in industry
§ Government
§ Academia
§ Joint training among different
stakeholder groups could facilitate
dialogue and collaboration

34. Slide 34
Module 4.2 – Codex Guidelines
for the Application of HACCP
Industry HACCP plans
§ Working instructions and procedures
should be developed for operating
personnel
§ Specific training for personnel can be
developed to support the HACCP plan
according to their defined tasks

35. Slide 35
Module 4.2 – Codex Guidelines
for the Application of HACCP
Conclusions
§ The HACCP system presents a logical and
systematic framework for enhancing food
safety management
§ HACCP-based systems must apply all 7
principles
§ HACCP is product and process specific
§ Government and industry organizations
have an important role to play in supporting
SLBDs to apply HACCP-based systems

36. Slide 36
Module 4.2 – Codex Guidelines
for the Application of HACCP
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