INTRODUCTION TO

HACCP PRINCIPLES &

PRACTICE
 Agenda
• Definitions

• Review of HACCP Principles

• Practical example ---Review of Typical

water treatment Plant

• Questions and Answers

 House Keeping and Hygiene
Defined
• House Keeping is a process where in everyone in the in an organization Is committed and
involved in upkeep of the work place And Cleanliness of Machine, Material & Information
etc., such that Only needed material + information etc., is kept and it’s fastest Accessibility
is ensured.

WHAT IS HOUSE KEEPING ?

• Systematic approach to a better workplace.

• Involved arrangement, cleanliness, discipline and maintenance Standards.

• Assigns a place for everything and ensures everything is in it’s Place.

• Is everybody’s responsibility.

• Is the starting point of any improvement activity

• Means easy retrieval of information.

Hygiene Therefore is a practice of keeping oneself and one’s surrounding clean in order to
prevent disease.

While safety is a condition of being protected from danger or risk which could lead to harm
 Implementation

Implementing a Food Safety Management System

Food Safety Management System

GHP Imple-
7 HACCP Mainten-
GMP preparation ment-
principles ance
others ation

Prerequisites HACCP Method System Elements

 HACCP

Hazard Analysis and Critical

Control Point
 HACCP - General
• It is a method to assess
hazards and establish
control systems that focus
HACCP on prevention.
• mandatory in most EU
Prerequisites countries
GMP, GHP, others
• based on 7 principles
 HACCP Implementation
Main steps in implementation

preparation Step 0. Management commitment

preparation Step 1. Assemble the HACCP team
preparation Step 2. Describe the product(s)
preparation Step 3. Identify intended use
preparation Step 4. Construct flow diagram
preparation Step 5. On-site confirmation of flow
diagram
principle 1 Step 6. a) List all potential hazards
b) conduct a hazard analysis
c) identify control measures
 HACCP Implementation
Main steps in implementation

principle 2 Step 7. Determine CCPs.

principle 3 Step 8. Establish Critical Limits for each CCP
principle 4 Step 9. Establish a monitoring system for each
CCP
principle 5 Step 10. Establish corrective actions
principle 6 Step 11. Validate
Step 12. Establish verification procedures
principle 7 Step 13. Establish documentation and record
keeping procedures.
 HACCP
• Is not a new concept
• Is preventive, not reactive
• A system for food and water safety control
• Is a management tool used to protect the
food and water supply against biological,
chemical and physical hazards
• Is not a zero-risk system
• Is designed to minimize the risk of food
safety hazards
 Benefits
• Changing a company approach
➢ from retrospective quality testing to preventive
way of thinking

• Providing a systematic approach covering all aspects

of food and water chain from raw materials final
product consumption

• Increasing customer - consumer confidence in product

safety, trade opportunities
 Benefits

• Can be used in evaluating existing processes or new

ones to be developed

• Provides scientific bases and confidence for

inspection, for regulatory agencies

• Cost effective way of assuring safety and control of

food-borne hazards
 The opportunities

• Gives opportunities for real team work

• forms basis for training of the staff
• valuable resource in continuous improvement
• Useful technique for analysing hazards
• Can be combined and supported by other
management systems
Step 0 : Management Commitment

• Food and water safety is a responsibility of

producer and shall be included in the policies
of the organization
• Top management has the final responsibility
for the policy of the organization and shall
document, support and communicate this
policy
• Periodically the management shall verify the
implementation of policies
 Step 1: assemble the HACCP
team
Depending on the size of the company
Small (4-6 persons) & multi-disciplinary:
• engineering, maintenance
• production, technology
• QM, quality control
• microbiology, hygiene
• logistic
• legal department
• others (marketing & sales, purchasing,
R&D, finance, etc.)
 Training of the HACCP team
Training of the team to ensure understanding of
• Methodology
• Terminology

Training to get familiar with

• Defined scope and objective
• Food Safety policy
• Prerequisites
• Legal requirements
 Step 2: Describe product(s)
The product description/technical data associated with
the product:
• composition
• ingredients
• processing conditions
• final product characteristics
• instruction for use
• customer requirements
• legal prescriptions, regulations, technical literature
data, and specifications of raw materials.
• The traceability of the raw materials up to and
including the final supply shall be described
 Step 3: Identify intended use

• Identify potential users

• Safe storage, preparation and serving
described
• Unintended handling and use of product
taken into consideration
• Specification for the final product based on
info from customers, internal experts
 Step 4 : construct a flow diagram
Construct a flow diagram
Flow diagram – Example of (Water
Treatment)
Water source

Treatment compounds Treatment

Sand filter

Water tank

Carbon purifier

Polishing filter
 Lay out

• In a lay out of the facility all production lines,

storage areas, personnel facilities shall be
depicted

• Where applicable the following description shall

be available - the areas covered by hygiene and
pest control programs and facilities for
personnel
Step 5 : Control & verification of
flow charts.
• The description of the process schemes, flow
diagrams and lay out plans shall be verified for
compliance with the actual situation

• This verification shall be periodically repeated – at

least annually – in order to timely identify and
document the changes/modifications of the
process installation and in the lay out and to be
able to assess the risks for safety in time.

• The execution of the verification shall be

documented in a program
 Step 6 : Hazard analysis & control
measures
List all potential hazards in every process step
 Hazards

Hazard : a biological, chemical or

physical agent in, or condition of,
foodstuffs or water with the
potential to cause an adverse
health effect.
 Chemical hazards
1. Naturally occurring
Mycotoxins (e.g. aflatoxin)
Mushroom toxins
Shellfish toxins (e.g. paralytic shellfish poisoning, diarrheic SP, neurotoxic SP)
Scombrotoxin (histamine)
Ciguatoxin

2. Added chemicals

Agricultural chemicals (e.g. pesticides, fungicides, fertilisers, hormones...)

Toxic elements and compounds (e.g. heavy metals, dioxins & PCBs…)
Food additives (e.g. preservatives, flavour enhancers, nutritional additives,
colorants…)
Plant chemicals (lubricants, detergents, sanitisers, coatings, paint…)
Chemicals intentionally added (sabotage)
 Physical hazards
Material Injury potential Sources

Glass Cuts, bleeding Bottles, glass, light

May require surgery fixtures, utensils, gauge
covers
Wood Cuts, infection, choking Fields, pallets, boxes,
May require surgery buildings

Stones Choking, broken teeth Fields, buildings

Metal Cuts, infection Machinery, fields, wire,

employees
 Hazard identification
• Precise identification of each type of hazard
• e.g. (micro)biological :
• contamination with Staphylococcus aureus
• growth of yeasts
• survival of Cryptosporidium
• e.g. chemical :
• residue of detergent
• contact with lubricant
• contamination by cooling liquid
Conduct a risk analysis
 Hazard Analysis

Hazard Analysis : the process of

collecting and evaluating information
on hazards and conditions leading to
their presence to decide their
significant for food safety and
therefore should be addressed in the
HACCP plan.
 Hazard analysis

PROBABILITY of the HAZARD which may CONSEQUENCE (SEVERITY)

occur
1 very small e.g. every ten year 1 very limited e.g. no significant health impact
2 small e.g. yearly 2 moderate e.g. unease, nausea, mild
diarrhoea
3 possible e.g. monthly 3 severe e.g. sickness or injury requiring
medical intervention
4 big e.g. weekly 4 very severe (catastrophe)e.g. serious health impact, could
be fatal
 Risk analysis
Probability

4 5 6 7
Big

3 4 5 6
Possible

2 3 4 5
Small

1 2 3 4
Very Small

Severity
Very Limited Moderate Severe Very Severe
 Hazard Analysis
Control measure: Any action and activity that
can be used to prevent or eliminate a food
safety hazard or reduce it to an acceptable level.

 Control measure, general: A measure to

control a specific part of the PRP (see use of
decision tree)
 Control measure, specific: A measure to
control a CCP (see use of decision tree)
 Control measures

• The HACCP team shall identify and document

the control measures that are to be applied and
– as a result of hazard analysis – are or will be
implemented to eliminate or reduce risks to an
acceptable level
• Control measures shall, as far as applicable, be
documented in specifications, instructions,
procedures
Hazard Analysis worksheet - Example
(1) (2) (3) (4) (5)
Processing Identify Are any Justify What
step potential potential your measure(
hazards food decision s) can be
introduce safety for applied to
d or hazards column 3 control
enhanced significant the
at this ? significant
step (Yes/No) hazard ?

Add the steps, potential hazards and their significance,

justification, and potential control measures in columns
1-5, respectively
 Step 7 : Determine CCPs

Determine Critical Control Points

Critical Control Point (CCP)

Critical Control Point: a step at which control

can be applied and is essential to prevent or
to eliminate a food safety hazard or reduce it
to an acceptable level.
 Critical Control Point (CCP)
• Points may be identified as CCP’s when
hazards can be prevented, for some
products and processes the following may
be true:
– Introduction of hazard can be prevented by control at
receiving step
– A chemical hazard can be prevented by control at the
raw water stage
– Pathogen growth in the finished product can be
prevented by control at treatment stage (e.g., pH
adjustment or addition of preservatives)
 Critical Control Point (CCP)
• Points may be identified as CCP’s when
hazards can be eliminated, for some
products and processes the following may
be true:
– Pathogens and parasites can be killed during
heat treatment or UV light treatment
– Metal fragments can be detected by a metal
detector and eliminated by removing the
contaminated product.
 Critical Control Point (CCP)
• Points may be identified as CCP’s when
hazards are reduced to acceptable levels,
for some products and processes the
following may be true:
– Occurrence of foreign objects can be
minimized manually.
– Some chemical hazards such as Chlorine can
be reduced by processes such as strict
checks on dosing pumps and calibration
 Determine CCPs

Aided by use of a decision tree:

• consider each step in the flow
diagram
• must be applied on each
(significant) hazard
• use common sense
 CCP determination - Example
(1) (2) (3) (4) (5) (6)
Processing Identify Are any Justify What Is this
step potential potential your measure( step a
hazards water decision s) can be PRP ?
introduce safety for applied to (Yes/No
d or hazards column 3 control
& Why)
enhanced significant the
at this ? significant
step (Yes/No) hazard ? Is this
step a
Critical
Control
Point ?
(Yes/No
& Why)

Add PRP’s & CCP’s in column 6

Step 8: Establish Critical Limit(s)
for each CCP
 Critical Limits

Critical Limit: a criterion which separates

acceptability from unacceptability of a
product or parameter.
 Critical limits

• Specify and validate, if possible, criteria that separate

acceptability from unacceptability. Measurements of
temperature, pH, aw, sensory parameters, etc.

• National regulations/standards and Company standards

need to be met (or exceeded).

• Target levels may also be determined (= action values).

 HACCP Plan Form
1. 2. 3.
CCP Hazards Critical
limits

The CCP’s, hazards and critical limits should be recorded in

columns 1, 2 and 3 on the HACCP plan form
Step 9 : Establish a Monitoring
System for each CCP
 Establish a monitoring system

• Monitoring is an essential part of the study

• The system must be able to detect loss of control

at the CCP (non-conformity) in time for the batch to
be isolated before it is used/consumed

• Continuously or spot checks

 Monitoring system

• The system must include:

• monitoring method
• monitoring frequency
• personnel responsible for monitoring
• personnel responsible for evaluating the
monitoring results
• indication of where the monitoring result is
recorded/documented
Monitoring of critical process
parameters
• What : usually a measurement or observation to assess if
the CCP is operating within the critical limit

• How: usually physical or chemical measurements (for

quantitative critical limits) or observations (for qualitative
critical limits) – Needs to be real-time and accurate

• Frequency: continuous or periodic (non-continuous)

• Who: responsible individual trained to perform the specific

monitoring activity or evaluate monitoring records
 HACCP Plan Form
Monitoring
1. 2. 3.
CCP Hazards Critical
limits

4. 5. 6. 7.
What How Freq. Who

Specify the monitoring procedures for each CCP

Step 10: Establish Corrective
Action for deviations that may
occur
Actions in case of deviation at a CCP:

• Corrective action for the process

• Handle non-conforming products

– Place suspect products on hold
– Assess the situation and seek for advice
– Conduct further tests to assess safety

• When enough information is obtained, make

a decision.
Step 11: Validation
 Validation

Validation : Obtaining evidence (in

advance) that the specific and general
control measures of the HACCP plan are
effective.

“Are we going to do the right things ?”

 Validation

• Initial phase, in which the HACCP plan is

tested and reviewed

• Validation of Critical Limits:

• Process to ensure, that critical limits are
properly designed
• Evaluate, if the target value are
adequate to control identified hazard
 Step 12 : Verification
• The food or water business operator shall have a
program for confirming that the HACCP system is
working effectively (auditing, sampling and
analyzing…)
• This verification shall be conducted periodically with
the purpose of examining whether the system is
applied as documented and whether the system is
still fit for purpose or needs to be revised/modified
• The frequency shall be sufficient to ensure
continuing suitability and adequacy
• A feedback loop to management needs to be
established for review
 Verification

Verification : the application of methods,

procedures, tests and other evaluations, in
addition to monitoring to determine
compliance with specified requirements.

“Are we doing things right ?”

 Types of verification

• Internal audits
• Analysis
• Handling of customer complaints
• The use of statistical analysis
• External audits from authorities, customers or
third parties
• ...
Step 13: Establish Record Keeping
and Documentation
Document and Data Control

• Manual with policy, scope, procedures etc.

• Document control
• to approve documents for adequacy prior to issue,
• to review and update as necessary and re-approve
documents,
• to ensure that changes and the current revision
status of documents are identified,
• to ensure that relevant versions of applicable
documents are available at points of use,
• to ensure that documents remain legible and readily
identifiable,
Document and Data Control

• to ensure that documents of external origin are

identified and their distribution controlled,

• to prevent the unintended use of obsolete documents,

and to suitably identify them if they are retained for
any purpose
 Records
• The documentation and data shall consist at least of:
• Records to demonstrate that the members of the HACCP team
have adequate knowledge, expertise and different disciplines
available;
• Records concerning management reviews and, if needed,
related actions;
• Records of the hazard analysis and information sources
(legislation, standards, literature, hygiene- codes, GMP, Codex)
used by the HACCP teams to identify and evaluate the hazards
and risks;
• Records of the assessment of every step in the process and the
reasons for establishing the Specific Control Measures (CCP
related) and General Control Measures;
 Records

• Monitoring reports (dated and signed) of the Specific Control

Measures to demonstrate the control of the related CCP’s;

• Records of deviations occurred (exceeded action limits and critical

action limits) of the Specific Control Measures and the corrective
actions taken;

• Records related to the verification program (including internal

audits) and their evaluation;

• Records that are relevant to ensure traceability of food stuffs.

 Key Next steps --- Awareness
The organisation should ensure that its
employees working at each relevant function
and level are aware of:
• the importance of conformance to Food and
water Safety requirements
• their roles and responsibilities in achieving
conformance to the requirements
• the potential consequences of departure from
specified operating procedures
 Typical Example of HACCP
Application in Water Production
 Typical Water Treatment Plant
WATER TREATMENT FLOWCHART
Bore Holes (Chlorinated with dosing pump)
IRON REMOVAL PLANT

5 3 CO2 BORE HOLES

8
Plant
8. 60 m3/h - Beside ETP
2. 60 m3/h - Behind Iron removal plant
3. 60 m3/h – Behind ETP
500m3 Surface
1. 30m3/h – Beside CO2
(A) (Raw H2O)
Tank
5. 60 m3/h – Beside cullet bay

NaOH Cl2 Washer 2

To Chematron Treatment plant
500m3 Surface Boiler
Manual Washing Bay
(Iron Free H2O) Washer 1
Administrative Block Tank Washer 3
Ice Plant 3 sand Filters Washer 4
Hydrant Points
(30 m3 each)
Production Toilets
Compressors
Effluent to ETP

H2O from 500m3 50m3/h CHEMATRON WATER TREATMENT PLANT 1

Raw H2O Tank

45 m3 45 m3 45 m3 4 CSD Lines
NaOH Cl2 FM Canteen
FeCl3 FM Syrup Rooms
Holding TM
2 Sand filters
Tank Intermediate CM QA Laboratory
(25m3/h each)
(B) Tanks 2 Carbon Purifiers
(25 m3/h each)
Polisher

38m3/h Sand
Filter
FM 48 m3 FM CM EVA Line
PET CSD LINE
TM
Cl2 45m3/h Carbon
NaOH Holding FeCl3 purifier
50 m3 Polisher
Tank
Intermediate
Tank KEY
45m3/h CHEMATRON WATER TREATMENT PLANT 2 CM = Chlorine Monitor
TM = Turbidity meter
FM = Flow meter
Questions &Answers
Thank You