HACCP Principles.ppt

The Principles of HACCP
Contents :
 Introduction to HACCP
 The Seven Principles of HACCP
 Carrying out a HACCP Study
 HACCP Case Studies
 HACCP Implementation
 Further References

 What is HACCP ?
 HACCP - History
 Benefits of HACCP
 Application of HACCP
 Other HACCP Issues
 HACCP Definitions
Introduction :

What is HACCP ?:
H
A
C
C
P
azard
nalysis
ritical
ontrol
oints

HACCP - History :
 Derived from Engineering System -
“Failure Mode & Effect Analysis”.
 Pillsbury / NASA - American Space
Program - 1960’s.
 1971 - Presented at first American
National Conference for Food
Protection.
 1973 - FDA Applies HACCP to Low Acid
Canned Foods Regulations.
 1988 - 1995 HACCP Principles promoted
and incorporated into Food Safety
Legislation in many “Western”
Countries.

Benefits of HACCP :
 Systematic Consistent Approach.
 More Preventative.
 Less Reactive.
 Increased Cost Effectiveness.
 Focus of Resources to “Critical” Areas.
 Complements other Management
Systems.
 International Acceptance.
 Complies with Law.

Application of HACCP :
 “Farm to Fork” approach Essential.
 Applied to Simple and Somplex food
operations.
 Any Food Hazard can be Analysed,
e.g. Microbial, Chemical & Physical
hazards .
 Must be Practical and Workable for
ALL people involved.
 Training of Food Handlers Vital for
Implementation.

Other HACCP Issues :
 Incorporation of Quality Issues.
 Generic Vs Product Specific HACCP.
 Computer Software available, e.g The SHOW System.
 Legislative Requirements in Country of Application and
Destination of Food.

 PROCESS FLOW - Logical “Steps” through which all raw
materials pass in order to make the intended Food
Product.
 FLOW DIAGRAM - A diagrammatic representation of the
Process Flow.
 PROCESS STEP - A set of environmental conditions which
transform Food (or its Raw Materials) from one state in
time to another, different state in time.
 HAZARD - Any biological, chemical or physical
contamination, in or on food, which has the potential to
cause harm to the health of a consumer.
HACCP Definitions :

HACCP Definitions :
/cont’ed.
 HAZARD ANALYSIS - The process of identifying and
evaluating information on Hazards and their possible
causes and whether the hazard presents a “significant” risk
for food safety.
 CONTROL MEASURE - The application of some action or
activity which is required to reduce or eliminate a hazard,
or its possible cause, to a safe level.
 CRITICAL CONTROL POINT (CCP) - A Step at which a
Control Measure(s) are to be applied in order to eliminate
an identified food safety hazard(s) or reduce it to an
acceptable level. /cont’ed.

HACCP Definitions :
/cont’ed.
 DECISION TREE - A logical sequence of questions which
can be applied and used to decide if an identified hazard is
a Critical Control Point within that Process Step.
 CRITICAL LIMIT - A criteria or value which defines
acceptability or unacceptability in terms of the identified
hazard.
 MONITORING PROCEDURE - A documented & planned
series of observations, measurements or tests on food, or
its raw materials, which are designed to check the product
against the Critical Limit and indicated whether the CCP is
under control. /cont’ed.

HACCP Definitions :
/cont’ed.
 CORRECTIVE ACTION - The action required to be taken at
a Process Step when a Monitoring Procedure indicates a
loss, or trend towards a loss, of control has occurred.
 TARGET LEVEL - A known value which has previously
demonstrated that it will eliminate or reduce or control a
hazard at a CCP.
 TOLERANCE - The range of values between the Target
Level and the Critical Limit.
 VALIDATION - The acquisition of information and data that
prove the effectiveness of the HACCP plan.
/cont’ed.

HACCP Definitions :
/cont’ed.
 VERIFICATION - The use of methods, procedures, tests
and other auditing tools to determine the operational and
procedural compliance with the HACCP Plan.

 Principle 1 : Conduct a Hazard Analysis.
 Principle 2 : Determine the Critical Control
Points (CCPs).
 Principle 3 : Establish Critical Limit(s).
 Principle 4 : Establish Monitoring Procedures for
the measurement of the CCP.
 Principle 5 : Establish Corrective Actions.
 Principle 6 : Establish Verification Procedures.
 Principle 7 : Establish Documentation.
The Seven Principles of HACCP :

 Prepare a Process Flow Diagram
of the Steps in the Process.
 Identify and list all possible
Hazards and Specify their
Control Measures.
1. Conduct a Hazard Analysis :

 Use a Decision Tree
(or other acceptable
method) to determine
if the Hazard makes
the Process Step a
CCP or not.
2. Determine the CCP’s

 Specify the criteria which
MUST be met to ensure that
each hazard (which makes a
Process Step a CCP) is in
“control”.
3. Est. Critical Limit(s) :

 Implement systems to
monitor the “control”
status of the identified
Hazard.
 Hold such
documentation and
records under strict
Document Control
conditions.
4. Est. Monitoring Procedures :

 Make practical plans
for re-dressing a CCP
that has gone out of
“control” in advance
so that actions taken
are effective, calm and
planned.
5. Est. Corrective Actions :

6. Est. Verification Procedures :
 Make practical plans
for checking whether
the HACCP Plan is
working or not.

 Document all
procedures and
records appropriate
to the Principles of
HACCP and their
application.
7. Est. Documentation :

 Stage 1 : Define Terms of Reference.
 Stage 2 : Select the HACCP Team.
 Stage 3 : Describe the Product.
 Stage 4 : Identify Intended Use.
 Stage 5 : Create a Flow Diagram.
 Stage 6 : Verify the Flow Diagram.
 Stage 7 : Identify & Analyse Hazards & their
Control Measures.
/cont’ed.
Carrying out a HACCP Study :

/cont’ed.
 Stage 8 : Determine the CCPs.
 Stage 9 : Establish Critical Limits.
 Stage 10 : Establish Monitoring Procedures.
 Stage 11 : Establish Corrective Actions.
 Stage 12 : Verify the HACCP Study.
 Stage 13 : Establish Documentation.
 Stage 14 : Review the HACCP Study.
Carrying out a HACCP Study :

1. Define Terms of Reference :
 Specify :
– Product, Process or Activities to be studied.
– Hazard scope, Microbial, Chemical, Physical,
Allergenic or combination.
– Whether Safety, Quality or both is to be studied
– At what point is Food Product deemed safe,
consumption, manufacture, delivery, etc.,
 Best System - Safety orientated, simple Terms
of Reference.

 Team should be Multi-Disciplinary.
 Skill Resources Required :
– Q.A/Q.C specialist,
– Production specialist,
– Engineering specialist,
– Others as required.
 Small businesses - seek external specialist help from an
experienced Consultant.
 Chairperson - Knowledgeable in HACCP theory.
 HACCP Secretary - Recording discussions and decisions.
/cont’ed.
2. Select the HACCP Team :
Our HACCP Team

2. Select the HACCP Team :
/cont’ed.
 Identify HACCP Team Training needs.
– Principles of HACCP,
– Systems Analysis,
– Benefits of HACCP,
– Role of HACCP in Product Safety.

3. Describe the Product :
 Describe Product in terms of :
– Composition,
– Structure,
– Processing (prior),
– Packaging system,
– Storage and Distribution,
– Target shelf life,
– Consumer Instructions for Use.

4. Identify Intended Use :
 Target Markets,
 Consumer Groups,
 Susceptibility issues,
 Chance of Abuse.

5. Create Process Flow Diagram :
 Must Reflect the Flow (incl. time delays) and the degree
of Interaction between :
– All raw materials, ingredients and packaging,
– Exposure to environmental temperatures,
– Exposure to other environmental conditions, e.g Cleaning,
Maintenance.
 Information to be included :
– Floor Plans, production plans, room drawings,
– Time Temperature profile of all raw materials through to final
product,
– Re-work & re-cycling,
– Design features of Rooms and Equipment. ./cont’ed

5. Create Process Flow Diagram :
./cont’ed
 Consideration of the following is required :
– Environmental hygiene,
– Personnel routes and work practices,
– Possible routes of cross-contamination,
– High / Low Risk segregation,
– Storage and Distribution conditions,
– Consumers “Instructions for Use”.

6. Verify the Flow Diagram :
 Ensure Flow Diagram a True Reflection at :
– Different times of day, shift, week, month and year, e.g
“Christmas rush”.
 Carry out a “walk through” questioning those involved
at each Process Step,
 Ensure no Process Steps have been missed,
 Ensure all times, temperatures and procedures and
other data collected are accurate.

7. Identify & Analyse Hazards & Their
Control Measures
 Using the Flow Diagram, Identify all Potential Hazards,
– During Flow Diagram “walk through” and ..
– During “sit down” HACCP Team meetings.
 Consider all Process Steps and their potential hazards,
including those that have occurred prior to the Process
Step,
 Take account of the nature and condition of the Food,
e.g water activity, microbial make-up and potential, pH,
 An indication of the Risk and Severity of each Hazard
should be agreed. ./cont’ed.

Control Measures
./cont’ed.
 Likely considerations include :
– The likelihood of the hazard occurring, e.g. previous company /
industry experience, other case data,
– The severity of the hazard, e.g. life-threatening, acute, mild,
– Population exposure size,
– Susceptibility & Vulnerability issues, e.g. young, elderly,
immune deficiency,
– Pathogenic survival or multiplication,
./cont’ed.

Control Measures
./cont’ed.
 Likely considerations include :
– Toxin production or persistence in foods,
– Chemical or Physical ingress into food,
– Causative conditions leading to the above.
 HACCP Team decides on Control Measure(s) required
for safety at each identified Hazard,
./cont’ed.

Control Measures
./cont’ed.
 Each Control Measure identified must be “context
sensitive”:
– e.g. A raw food may have Pathogens present which may
multiply but can be controlled by thorough cooking. Whereas a
cooked-chilled food product will require barrier hygiene and
chilled storage to control a similar hazard.
 Be aware that one Control Measure may be used to
control more than one hazard :
– e.g. Cooking may reduce Salmonella and E.Coli numbers to a
safe level. ./cont’ed.

Control Measures
./cont’ed.
 Control Measures need to be implemented as part of
detailed specifications, e.g Cleaning Schedules, Hygiene
Policies, etc.,
 Wherever an effective Control Measure cannot be
implemented the Process will need to be Re-designed.
./cont’ed.

8. Determine the CCPs :
 A logical consistent approach is required to identify
Critical Control Points (CCPs),
 A Decision Tree may be used to ensure consistency and
accuracy of determination,
 The Decision Tree can be applied to ALL hazard types,
 A HACCP Team should be trained in the use of a
Decision Tree,
/cont’ed.

No
Yes
Q2. Does the Process Step
eliminate or reduce the Hazard
to an acceptable level ?
Q4. Will a Subsequent Process
Step eliminate or reduce the
Hazard to an acceptable level ?
Q3. Could Contamination with
the Hazard occur at ,or increase
to, unacceptable levels ?
Q1. Are Control Measures
in place for the hazard ?
Yes No
Is control at this step
required for safety?
Yes No
Modify Step
Process or
Product
Not a CCP
No
No Not a CCP
Stop
Yes
Not a CCP
Yes
CCP
CCP
Critical
Control
Point (CCP)

 If we answer Yes to Q1. Then we proceed to Q2.
 If we answer No to Q1. (i.e. a Control Measure is NOT in place for the
Hazard) then we must consider IF control is required for safety :
– If control NOT REQUIRED for safety then the Process Step IS NOT A
CCP,
– If control IS REQUIRED for safety then the Process Step, Process or
Product MUST be MODIFIED so that control can be gained,
 The HACCP Team should then recommend changes to the Process
Step, Process or Product and then validate its effectiveness as a
Control Measure (Senior Management may need to be involved to
approve such changes), /cont’ed.
Q1. Are Control Measures
in place for the hazard ?
No
Is control at this step
required for safety?
Yes
Modify Step
Process or
Product
Not a CCP
Yes
No

Critical
Control
Point (CCP)
 If we answer Yes to Q2. then we have Process Step that is a CCP. This is
because, for the hazard in question, the Process Step Itself is designed to
be the Control Measure.
 Having arrived at a CCP Decision the HACCP Team MUST then decide
exactly WHAT ASPECT(S) IS CRITICAL “to ensure food safety”, e.g. a
temperature, a practice or procedure or the level of contaminant that is
deemed acceptable or safe,
 After deciding what aspect(s) of the CCP is Critical the HACCP Team can
move on and apply the decision tree to the next identified hazard for that
Process Step, if applicable,
 If we answer No to Q2. Then we must proceed to Q3.
/cont’ed.
Yes
Q2. Does the Process Step
eliminate or reduce the Hazard
to an acceptable level ?
No CCP

 In consideration of Q3. the HACCP Team must use the Flow Diagram
together with their Working Knowledge of the Product and Process to
establish the answer. Account should be taken of past history (e.g
suppliers and in-house), case studies and other appropriate data,
 If we answer No to Q3. then the Process Step is NOT A CCP for the
Hazard in question, since it has been decided that there is no likelihood
that contamination could occur at or increase to unacceptable levels,
 If there is any doubt about the answer to Q3. the answer should favour a
Yes response, as Q4. will determine whether the identified hazard gives
rise to a CCP,
 If we answer Yes to Q3. Then we must proceed to Q4.
/cont’ed.
Q3. Could Contamination with
the Hazard occur at ,or increase
to, unacceptable levels ?
Not a CCP
Stop
Yes
No

Critical
Control
Point (CCP)
 For Q4. the HACCP Team must review the Process Flow Diagram in a
“downstream” manner, looking at each subsequent Process Step to see if IT
WILL CONTROL the hazard in question. IF SUCH A STEP EXISTS then IT
will become the CCP (ref. Q2. Of the Decision Tree) when we come to
analyse it and THIS HAZARD AT THIS PROCESS STEP is NOT A CCP,
 If we answer No to Q4. then we have determined that NO LATER PROCESS
STEP can control the hazard in question and therefore THIS PROCESS STEP
contains the CCP,
 Having arrived at a CCP Decision the HACCP Team MUST then decide
exactly WHAT ASPECT(S) IS CRITICAL “to ensure food safety”, e.g. a
temperature, a practice or procedure or the level of contaminant that is
deemed acceptable or safe,
Q4. Will a Subsequent Process
Step eliminate or reduce the
Hazard to an acceptable level ?
Stop
No
Not a CCP
Yes CCP

9. Est. Critical Limits :
Critical
Control
Point (CCP)
 Having identified a CCP the Critical Limit, Target and
Tolerance must be decided,
 Some Critical Limits are defined in Legislation, e.g.
chilled storage temperature of meat, pasteurisation of
dairy produce,
 Other Critical Limits may need to be determined by
experimental techniques or by reviewing case studies or
research work,
 The specific Target level(s) and Tolerance set for the
CCP MUST BE MEASURABLE and RELATED to the
CCP,e.g. temperature, time, TVC, ATP, Free Chlorine.

 Correct Monitoring Procedure selection is essential,
 Monitoring Procedures should be :
– Planned,
– Documented,
– Of an appropriate Frequency,
– Audited and verified,
 Monitoring Techniques can be :
– On-line, e.g. temperature measurements, metal detection -
These give an IMMEDIATE indication of control and normally
require equipment to carry out and alarms can be automated if
control is compromised.
– Off-line, e.g. salt level , pH, aw, total solids - These take time &
usually need people & equipment to carry out.

 Monitoring should be able to detect a loss of control in
time for corrective action to be taken to regain control
of the process without the need to quarantine or re-call
product,
 Microbiological Monitoring methods are often TOO
SLOW and require expert interpretation & / or further
testing before a decision can be taken to institute
Corrective Actions and are therefore NOT NORMALLY
effective Monitoring Systems,

 Other Considerations for Monitoring Systems :
– WHAT - is to be monitored, make sure it is directly related to
the CCP in question,
– WHERE - is the monitoring to take place, On-line, Off-line, etc,
– HOW - is the monitoring to be carried out, a procedure, an
operator(s) and equipment (with calibration procedures) will be
required,
– WHO - is to carry out the Monitoring, identify the job title,
– TECHNIQUE - must be consistent to get meaningful results,
e.g. core temperature vs “skin” temperature,
– FREQUENCY - should frequent enough to detect trends in the
area being monitored,
– SPEED - of result being returned, the faster the response the
better,

11. Est. Corrective Actions :
 Corrective Actions should be decided to counter :
– A loss of control
– A trend towards a loss of control
 Corrective Actions should happen in the shortest
possible time period so that the total time out of control
is minimised, good contingency planning is very
useful,
 Thought must be given in the Corrective Action as to
what to do with product which was produced while the
CCP was out of control, i.e. disposal or re-work and
whether this action itself presents a food safety hazard.

12. Verify the HACCP Study :
 A documented Verification System should be
implemented which challenges the HACCP system in
terms of its self compliance ,
 The Verification System should examine the entire
HACCP system, its decisions and its records,
 Verification activities may include :
– Internal / External Auditing,
– Microbiological Testing,
– Increased Monitoring at CCPs’,
– Customer surveys and visits,
 Actions should be documented for all non-compliances.

13. Est. Documentation :
 HACCP Documentation takes two forms :
– The HACCP System (Hazard Analysis, CCP Determination, etc,)
– The Procedures and Work Instructions,
– The Records resulting from Monitoring, Corrective Actions and
Verification Activities,
 The Documentation, Procedures and Records should be
relevant to the size, complexity and risk level of the
individual food business,
 Records should be kept for an appropriate length of
time, e.g up to 2 years in the E.U.

14. Review the HACCP Study :
 A HACCP Review should be carried out :
– Based on the level of risk associated with the food being
produced,
– Whenever any part of the Product (its Raw Materials), Process
(or production techniques) or Environment change,
– Whenever new information comes to light which affects the
safety considerations in any part of the HACCP study, e.g. the
emergence of new Food Pathogens, major outbreaks of food
borne illness, etc.,
– Changes in customer specifications and demands occur,
– Modification of production equipment or layout,
 Review Documentation should form part of the HACCP
systems records,

The End
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