HACCP

AMAN BHADOURIYA
-FOOD SAFETY PROFESSIONAL
INTRODUCTION TO

HACCP

AMAN
BHADOURIYA
 PRINCIPLES OF THE HACCP SYSTEM
THE HACCP SYSTEM IS DESIGNED, VALIDATED
AND IMPLEMENTED IN ACCORDANCE WITH THE
FOLLOWING SEVEN PRINCIPLES:

The HACCP system is designed, validated and implemented in accordance with the
following seven principles:

PRINCIPLE 1 Conduct a hazard analysis and identify control measures.

PRINCIPLE 2 Determine the critical control points (CCPs).

PRINCIPLE 3 Establish validated critical limits.

PRINCIPLE 4 Establish a system to monitor control of CCPs.

PRINCIPLE 5 Establish the corrective actions to be taken when monitoring indicates a

deviation from a critical limit at a CCP has occurred.

PRINCIPLE 6 Validate the HACCP plan and then establish procedures for verification
to confirm that the HACCP system is working as intended.

PRINCIPLE 7 Establish documentation concerning all procedures and records

appropriate to these principles and their application.

AMAN BHADOURIYA
 APPLICATION
ASSEMBLE HACCP TEAM AND IDENTIFY
SCOPE (STEP 1)

The FBO should ensure that the appropriate knowledge and expertise are
available for the development of an effective HACCP system. This may be
achieved by assembling a multidisciplinary team responsible for different
activities within the operation, e.g. production, maintenance, quality
control, cleaning, and disinfection. The HACCP team is responsible for
developing the HACCP plan.

Where relevant expertise is not available in house, expert advice should be

obtained from other sources, such as trade and industry associations,
independent experts, competent authorities, HACCP literature and HACCP
guides (including sectorspecific HACCP guides).It may be possible that a
well-trained individual with access to such guidance is able to implement a
HACCP system in house. A generic HACCP plan developed externally may be
used by FBOs where appropriate but should be tailored to the food
operation.

The HACCP team should identify the scope of the HACCP system and
applicable prerequisite programmes. The scope should describe which food
products and processes are covered.

AMAN BHADOURIYA
 APPLICATION
DESCRIBE PRODUCT (STEP 2)

Describe the use intended by the FBO and the expected uses of the product by
the next FBO in the food chain or the consumer. The description may be
influenced by external information, e.g. from the competent authority or other
sources on ways in which consumers are known to use the product other than
those intended by the FBO. In specific cases (e.g. hospitals), vulnerable groups
of the population may have to be considered. Where foods are being produced
specifically for a vulnerable population, it may be necessary to enhance process
controls, monitor control measures more frequently, verify controls are
effective by testing products, or conduct other activities to provide a high level
of assurance that the food is safe for the vulnerable population.

AMAN BHADOURIYA
 APPLICATION
CONSTRUCT FLOW DIAGRAM (STEP 4)

A flow diagram that covers all steps in the production of a specific product, including
any applicable rework, should be constructed. The same flow diagram may be used for a
number of products that are manufactured using similar processing steps. The f low
diagram should indicate all inputs, including those of ingredients and food contact
materials, water, and air, if relevant. Complex manufacturing operations can be broken
down into smaller, more manageable modules, and multiple flow diagrams that link
together can be developed. The flow diagrams should be used when conducting the
hazard analysis as a basis for evaluating the possible occurrence, increase, decrease or
introduction of hazards. Flow diagrams should be clear, accurate and sufficiently
detailed to the extent needed to conduct the hazard analysis. Flow diagrams should, as
appropriate, include but not be limited to the following:

the sequence and interaction of the steps in the operation;

where raw materials, ingredients, processing aids, packaging materials, utilities and
intermediate products enter the flow;
any outsourced processes;
where applicable reworking and recycling take place; and
where end products, intermediate products, waste, and by-products are released or
removed
AMAN BHADOURIYA
 APPLICATION
ON-SITE CONFIRMATION OF FLOW
DIAGRAM (STEP 5)

ASteps should be taken to confirm the processing activities against

the flow diagram during all stages and hours of operation and
amend the flow diagram, where appropriate. The confirmation of
the flow diagram should be performed by a person or persons with
sufficient knowledge of the processing operation.

AMAN BHADOURIYA
 APPLICATION
LIST ALL POTENTIAL HAZARDS THAT ARE LIKELY TO OCCUR AND ASSOCIATED
WITH EACH STEP, CONDUCT A HAZARD ANALYSIS TO IDENTIFY THE SIGNIFICANT
HAZARDS, AND CONSIDER ANY MEASURES TO CONTROL IDENTIFIED HAZARDS
(STEP 6/ PRINCIPLE 1)

The HACCP team should list all potential hazards. The HACCP team should then
identify where these hazards are reasonably likely to occur at each step (including
all inputs into that step) according to the scope of the food business operation.
Hazards should be specific, e.g. metal fragments, and the source or reason for
presence should be described, e.g. metal from broken blades after chopping. The
hazard analysis can be simplified by breaking down complex manufacturing
operations and analysing steps in the multiple flow diagrams described in Step 4.

The HACCP team should next evaluate the hazards to identify which of these
hazards are such that their prevention, elimination, or reduction to acceptable
levels is essential to the production of safe food (i.e. determine the significant
hazards that have to be addressed in the HACCP plan).

AMAN BHADOURIYA
 APPLICATION
IN CONDUCTING THE HAZARD ANALYSIS TO DETERMINE WHETHER
THERE ARE SIGNIFICANT HAZARDS, WHEREVER POSSIBLE THE
FOLLOWING SHOULD BE CONSIDERED:

hazards associated with producing or processing the type of food, including its ingredients and
process steps (e.g. from surveys or sampling and testing of hazards in the food chain, from
recalls, from information in the scientific literature or from epidemiological data);
the likelihood of occurrence of hazards, taking into consideration prerequisite programmes, in
the absence of additional control;
the likelihood and severity of adverse health effects associated with the hazards in the food in
the absence of control;i
identified acceptable levels of the hazards in the food, e.g. based on regulation, intended use,
and scientific information;
the nature of the facility and the equipment used in making the food product;
survival or multiplication of pathogenic microorganisms;
production or persistence in foods of toxins (e.g. mycotoxins), chemicals (e.g. pesticides, drug
residues, allergens) or physical agents (e.g. glass, metal);
the intended use and/or probability of product mishandling by potential consumers that could
render the food unsafe; and
conditions leading to the above.
AMAN BHADOURIYA
 APPLICATION
DETERMINE THE CRITICAL CONTROL POINTS (CCPS) (STEP 7/
PRINCIPLE 2)

The FBO should consider which among the available control measures listed during Step
6, Principle 1 should be applied at a CCP. CCPs are to be determined only for hazards
identified as significant as the result of a hazard analysis. CCPs are established at steps
where control is essential and where a deviation could result in the production of a
potentially unsafe food. The control measures at CCPs should result in an acceptable
level of the hazard being controlled. There may be more than one CCP in a process at
which control is applied to address the same hazard (e.g. the cook step may be the CCP
for killing the vegetative cells of a pathogenic spore-former, but the cooling step may be
a CCP to prevent germination and growth of the spores). Similarly, a CCP may control
more than one hazard (e.g. cooking can be a CCP that addresses several microbial
pathogens). Determining whether or not the step at which a control measure is applied is
a CCP in the HACCP system can be helped by using a decision tree or a CCP
determination worksheet (see Annex IV, Figure 1 and Table 1). A decision tree should be
flexible, given whether it is for use in production, slaughter, processing, storage,
distribution, or other processes. Other approaches such as expert consultation may be
used. AMAN BHADOURIYA
 APPLICATION
DETERMINE THE CRITICAL CONTROL POINTS (CCPS) (STEP 7/
PRINCIPLE 2)

To identify a CCP, whether using a decision tree or other approach, the following
should be considered:

• Assess whether the control measure can be used at the process step being analysed.–
If the control measure cannot be used at this step, then this step should not be
considered as a CCP for the significant hazard.– If the control measure can be used at
the step being analysed, but can also be used later in the process, or there is another
control measure for the hazard at another step, the step being analysed should not be
considered as a CCP.

• Determine whether a control measure at a step is used in combination with a control

measure at another step to control the same hazard; if so, both steps should be
considered as CCPs.

AMAN BHADOURIYA
 APPLICATION
ESTABLISH VALIDATED CRITICAL LIMITS FOR EACH CCP (STEP 8/ PRINCIPLE
3)
ACritical limits establish whether a CCP is in control, and in doing so they can be used to separate
acceptable products from unacceptable ones. These critical limits should be measurable or observable. In
some cases, more than one parameter could have a critical limit designated at a particular step (e.g. heat
treatments commonly include critical limits for both time and temperature). Criteria often used include
minimum and/or maximum values for critical parameters associated with the control measure, such as
measurements of temperature, time, moisture level, pH, aw, available chlorine, contact time, conveyor
belt speed, viscosity, conductance, f low rate, or, where appropriate, parameters that can be observed,
such as a pump setting. A deviation from the critical limit indicates that it is likely that unsafe food has
been produced

Critical limits for control measures at each CCP should be specified and scientifically validated to
obtain evidence that they are capable of controlling hazards to an acceptable level if properly
implemented. Validation of critical limits may include conducting studies (i.e. microbiological
inactivation studies). FBOs may not always need to conduct or commission studies themselves to
validate critical limits. Critical limits could be based on existing literature, regulations or guidance from
competent authorities, or studies carried out by a third party, e.g. studies conducted by an equipment
manufacturer to determine the appropriate time, temperature and bed depth for dry roasting tree nuts.

AMAN BHADOURIYA
 APPLICATION
ESTABLISH A MONITORING SYSTEM FOR EACH CCP (STEP 9/ PRINCIPLE 4)

Monitoring of CCPs is the scheduled measurement or observation at a CCP relative to its critical limits. The
monitoring procedures should be able to detect a deviation at the CCP. Further, the monitoring method and
frequency should be capable of timely detection of any failure to remain within critical limits, to allow timely
isolation and evaluation of the product. Where possible, process adjustments should be made when monitoring
results indicate a trend towards a deviation at a CCP. The adjustments should be taken before a deviation occurs.
Monitoring procedures for CCPs should be capable of timely detection of a deviation from the critical limit to
allow isolation of the affected products. The method and frequency of monitoring should take into account the
nature of the deviation (e.g. a drop in temperature or a broken sieve, rapid drop in temperature during
pasteurization, or a gradual increase in temperature in cold storage). Where possible, monitoring of CCPs should
be continuous. Monitoring of measurable critical limits such as processing time and temperature can often be
monitored continuously. Other measurable critical limits such as moisture level and preservative concentration
cannot be monitored continuously. Critical limits that are observable, such as a pump setting or applying the
correct label with appropriate allergen information are rarely monitored continuously. If monitoring is not
continuous, then the frequency of monitoring should be sufficient to ensure to the extent possible the critical limit
has been met and limit the amount of product impacted by a deviation. Physical and chemical measurements are
usually preferred to microbiological testing because physical and chemical tests can be done rapidly and can often
indicate the control of microbial hazards associated with the product and/or the process. The personnel doing the
monitoring should be Instructed on appropriate steps to take when monitoring indicates the need to take action.
Data derived from monitoring should be evaluated by a designated person with knowledge and authority to carry
out corrective actions when indicated. All records and documents associated with monitoring CCPs should be
signed or initialled by the person performing the monitoring and should also report the results and timing of the
performed activity.

AMAN BHADOURIYA
 APPLICATION
ESTABLISH CORRECTIVE ACTIONS (STEP 10/ PRINCIPLE 5

Specific written corrective actions should be developed for each CCP in the HACCP system in order to effectively
respond to deviations when they occur. When critical limits at CCPs are monitored continuously and a deviation
occurs, any product being produced at the time the deviation occurs is potentially unsafe. When a deviation in
meeting a critical limit occurs and monitoring was not continuous, then the FBO should determine what product
may have been impacted by the deviation.

The corrective actions taken when a deviation occurs should ensure that the CCP has been brought under control
and food that is potentially unsafe is handled appropriately and does not reach consumers. Actions taken should
include segregating the affected product and analysing its safety to ensure proper disposition.

External experts may be needed to conduct evaluations regarding the safe use of products when a deviation
occurs. It may be determined that the product could be reprocessed (e.g. pasteurized) or the product could be
diverted to another use. In other situations, the product may need to be destroyed (e.g. contamination with
Staphylococcus enterotoxin). A root cause analysis should be conducted where possible to identify and correct
the source of the deviation in order to minimize the potential for the deviation to reoccur. A root cause analysis
could identify a reason for the deviation that limits or expands the amount of product impacted by a deviation.
Details of the corrective actions, including the cause of the deviation and product disposition procedures, should
be documented in the HACCP records. Periodic review of corrective actions should be undertaken to identify
trends and to ensure corrective actions are effective.

AMAN BHADOURIYA
 APPLICATION
VALIDATION OF THE HACCP PLAN AND VERIFICATION PROCEDURES
(STEP 11/ PRINCIPLE 6)

.Before the HACCP plan can be implemented, its validation is needed; this consists of making sure
that the following elements together are capable of ensuring control of the significant hazards
relevant to the food business: identifying the hazards, critical control points, critical limits, control
measures, frequency and type of monitoring of CCPs, corrective actions, frequency and type of
verification and the type of information to be recorded.

Validation of control measures and their critical limits is performed during the development of the
HACCP plan. Validation could include a review of scientific literature, using mathematical models,
conducting validation studies, and/or using guidance developed by authoritative sources.

Where HACCP guidance developed by external experts, instead of the HACCP team, has been used to
establish the critical limits, care should be taken to ensure that these limits fully apply to the specific
operation, product, or groups of products under consideration.

During the initial implementation of the HACCP system and after verification procedures have been
established, evidence should be obtained in operation to demonstrate that control can be achieved
consistently under production conditions.

Any changes having a potential impact on food safety should require a review of the HACCP system,
and when necessary, a revalidation of the HACCP plan.

AMAN BHADOURIYA
 APPLICATION
ESTABLISH DOCUMENTATION AND RECORD KEEPING (STEP 12/
PRINCIPLE 7)

.Efficient and accurate record keeping is essential to the application of a HACCP system. HACCP
procedures should be documented. Documentation and record keeping should be appropriate to the
nature and size of the operation and sufficient to assist the business to verify that the HACCP
controls are in place and being maintained. Expertly developed HACCP guidance materials (e.g.
sector-specific HACCP guides) may be utilized as part of the documentation, provided that those
materials reflect the specific food operations of the business.

Examples of documentation include:

• HACCP team composition; • hazard analysis and the scientific support for the hazards included or
excluded from the plan; • CCP determination; • critical limit determination and the scientific support
for the limits set; • validation of control measures; and • modifications made to the HACCP plan.

Examples of records include: • CCP monitoring activities; • deviations and associated corrective
actions; and • verification procedures performed.

A simple record-keeping system can be effective and easily communicated to personnel. It may be
integrated into existing operations and may use existing paperwork, such as delivery invoices, and
checklists to record, for example, product temperatures. Where appropriate, records can also be
maintained electronically.

AMAN BHADOURIYA
 APPLICATION
TRAINING
Training of personnel in food businesses, government and academia in HACCP
principles and applications is an essential element for the effective
implementation of HACCP. As an aid in developing specific training to support
a HACCP plan, working instructions and procedures should be developed which
define the tasks of the operating personnel in charge of each CCP. Training
programmes should be designed to address the concepts at a level appropriate
for the knowledge and skill level of the personnel being trained. Training
programmes should be reviewed periodically and updated where necessary. Re-
training may be needed as part of corrective actions for some deviations.

Cooperation between food business operations, trade groups, consumer

organizations, and competent authorities is vitally important. Opportunities
should be provided for the joint training of FBOs and competent authorities to
encourage and maintain a continuous dialogue and create a climate of
understanding in the practical application of HACCP

AMAN BHADOURIYA
THANKS
AMAN BHADOURIYA
-FOOD SAFETY PROFESSIONAL