Introduction to

HACCP Principles
Building a Strong Foundation

Forms Included
Form 1 Product Description Template 1
Form 2 Product Ingredients & Incoming Materials Template 3
Form 3 Flow Diagram 5
Form 4 Plant Schematic or Floor Plan 7
TM
Form 5 Hazard Identification: Biological Hazard 9
Form 6 Hazard Identification: Chemical Hazard 11
Form 7 Hazard Identification: Physical Hazard 13
Form 8 CCP Determination 15
Form 9 Unaddressed Hazards 17
Form 10 HACCP Plan 19
 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 1
Product Description
Template

FORM 1 PRODUCT DESCRIPTION

(Product common name, process
PRODUCT NAME
name)

IMPORTANT PRODUCT
CHARACTERISTICS OF (water activity, pH, etc.)
END PRODUCT

HOW THE PRODUCT (i.e., ready to eat, further

IS TO BE USED processing required, heating, etc.)

(packaging materials and

PACKAGING packaging conditions e.g.,
modified atmosphere)

(including storage temperature,

SHELF-LIFE
humidity if applicable)

WHERE THE PRODUCT (retail, institution or further

WILL BE SOLD processing)

LABELLING (handling and usage instructions)

INSTRUCTIONS

SPECIAL DISTRIBUTION
(shipping conditions)
CONTROL

DATE: APPROVED BY:

1 Introduction to HACCP Principles Building a Strong Foundation

FORM 1
Example

FORM 1 PRODUCT DESCRIPTION

(Product common name, process
PRODUCT NAME Canned mushroom
name)

IMPORTANT PRODUCT
Water activity > 0.85 (high
CHARACTERISTICS OF (water activity, pH, etc.)
moisture) pH 4.8 to 6.5 (low acid)
END PRODUCT

Normally heated before serving or

HOW THE PRODUCT (i.e., ready to eat, further
sometimes served unheated
IS TO BE USED processing required, heating, etc.)
(salads, appetizers, etc.)

(packaging materials and

Hermetically sealed metal
PACKAGING packaging conditions e.g.,
containers
modified atmosphere)

(including storage temperature, Two years, at normal retail shelf

SHELF-LIFE
humidity if applicable) temperatures

Retail, institutions and food

service. Could be consumed
WHERE THE PRODUCT (retail, institution or further
by high risk groups (elderly,
WILL BE SOLD processing)
immunocompromised, pregnant
woman)

LABELLING (handling and usage instructions) None required to ensure product

INSTRUCTIONS safety

SPECIAL DISTRIBUTION No physical damage, excess

(shipping conditions)
CONTROL humidity or temperature extremes

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 2

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 2
Product Ingredients
& Incoming Materials
Template

FORM 2
PRODUCT INGREDIENTS AND INCOMING MATERIALS

PRODUCT NAME(S)

DATE: APPROVED BY:

3 Introduction to HACCP Principles Building a Strong Foundation

FORM 2
Example

FORM 2
PRODUCT INGREDIENTS AND INCOMING MATERIALS

RAW MATERIALS PACKING MATERIALS DRY INGREDIENTS OTHERS

Salt
Domestic and white
Cans / ends Ascorbic acid Water
mushrooms
Citric acid

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 4

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 3
Flow Diagram
Instructions
To complete the form effectively, the HACCP team should create a comprehensive process flow diagram
that spans from raw materials to finished products. These diagrams are essential for evaluating potential
food safety hazards, requiring clarity, accuracy, and inclusion of processing steps for products, raw
materials, ingredients, packaging materials, water, and processing aids. Intended delays, product re-entry
points, and all process outputs should also be clearly marked to ensure a thorough hazard assessment.

FORM 3 FLOW DIAGRAM

PRODUCT NAME(S)

DATE: APPROVED BY:

5 Introduction to HACCP Principles Building a Strong Foundation

FORM 3
Example

FORM 3 FLOW DIAGRAM

PRODUCT NAME Canned Mushrooms

MUSHROOM WATER
EMPTY CANS DRY INGREDIENTS
(RAW) (MUNICIPAL)

1. Receiving 1. Receiving 3. Receiving 4. Intaking

5. Storing 6. Storing 7. Storing

8. Dumping/Washing 9. Inspecting/Depalletizing 10. Dumping

11. Blanching 12. Conveying 13. Mixing

14. Conveying/Inspecting 15. Washing

16. Slicing/Dicing 17. Brine Injecting

18.Foreign object removing 19. Filling

20. Weighing

21. Water Filling

22. Head-Spacing

23. End Feeding/closing/Inspecting 24. Chlorinating

25. Thermal Processing

26. Cooling

27. Conveying/Drying

28. Labelling/Storing

29. Shipping

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 6

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 4
Plant Schematic
or Floor Plan
Instructions
The plant schematic should visually present the flow of raw products, ingredients, and finished goods
while emphasizing area segregation. Additionally, depict the pathways of ingredient and packaging
material flows, employee traffic patterns, waste and non-food product movement to prevent cross-
contamination, and the placement of hand/boot washing, sanitizing stations, and changing rooms for
optimal hygiene practices.

FORM 4 PLANT SCHEMATIC/FLOOR PLAN

LOCATION

DATE: APPROVED BY:

7 Introduction to HACCP Principles Building a Strong Foundation

FORM 4
Example

FORM 4 PLANT SCHEMATIC/FLOOR PLAN

READY TO EAT SOUP (WITH SHRIMP)

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Reference: Preventive Control Plan Templates for Domestic Food Businesses - Canadian Food Inspection Agency

Introduction to HACCP Principles Building a Strong Foundation 8

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 5 BIOLOGICAL

Hazard Identification:
CONTAMINANTS
Viruses, bacteria, fungi

Biological Hazard

Instructions
List all biological hazards related to ingredients, incoming materials, process step, product flow, etc.

FORM 5 HAZARD ID
CONTROLLED AT
IDENTIFIED BIOLOGICAL HAZARDS
(control measures)

DATE: APPROVED BY:

9 Introduction to HACCP Principles Building a Strong Foundation

FORM 5
Example

FORM 5 BIOLOGICAL HAZARD IDENTIFICATION

INGREDIENTS/ CONTROLLED AT
IDENTIFIED BIOLOGICAL HAZARDS
MATERIALS (control measures)
Controlled at CCP5B
Mushrooms Presence of Clostridium botulinum, yeast or molds
(25.thermal processing)

Controlled at CCP5B
Presence of spores
(25.thermal processing)
Dry ingredients
GMPs Pest control
Contamination by rodent excrement
program

Water Presence of microorganisms such as coliform, spore forming bacteria, viruses, parasites GMPs Premises

Controlled at CCP4B
Could arrive with serious internal double seam or body plate defects , leading to leakage
(23.End feeding/
and post process contamination
closing/inspection)
Empty cans and ends
Controlled at CCP1BP
Could arrive with serious external double seam, Body plate lacquer coating defects, or
(9. can inspecting/
damage, resulting in leakage and post process contamination
depalletizing)

PROCESS STEPS

Refrigerated
Multiplication of bacterial load due to improper storage temperature & humidity GMPs Equipment
mushroom storing
Growth of thermophilic bacteria due to improper cleaning of the blancher
GMPs Sanitation &
Mushroom blanching Post process contamination with pathogenic bacteria due to inadequate blanching
Equipment
Inadequate thermal processing due to textural changes from excessive blanching

Survival of pathogenic bacteria due to non validated process

Contamination from improper flow patterns in processing area, allowing heat processed
cans being contaminated with unclean water from unprocessed baskets of cans

Survival of pathogenic due to improper flow patterns allowing bypass of thermal process GMPs process control
Thermal processing CCP5B
Survival of pathogenic bacteria after thermal processing due to excessive time lapse
between closing and retorting

Survival of pathogenic bacteria caused by inadequate heat treatment from not following
time, temperature, and other critical factors of the scheduled process

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 10

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 6 CHEMICAL

Hazard Identification:
CONTAMINANTS
Cleaner, sanitizer, polishes,
& allergens
Chemical Hazard

Instructions
List all chemical hazards related to ingredients, incoming materials, process step, product flow, etc.

FORM 6 CHEMICAL HAZARD ID

CONTROLLED AT
IDENTIFIED CHEMICAL HAZARDS
(control measures)

DATE: APPROVED BY:

11 Introduction to HACCP Principles Building a Strong Foundation

FORM 6
Example

FORM 6 CHEMICAL HAZARD IDENTIFICATION

INGREDIENTS/ CONTROLLED AT
IDENTIFIED CHEMICAL HAZARDS
MATERIALS (control measures)
Contamination by pesticide residues
Mushrooms See Form 9
Contamination by heat stable Staphylococcal enterotoxin from improper handling

Dry ingredients NONE

Water Presence of environmental contaminants (e.g., heavy metals or toxic substances) GMPs Premises

GMPs Receiving,
Empty cans and ends Could be contaminated with grease or oils or cleaning chemicals storage and
transport

PROCESS STEPS

Refrigerated
Contamination from chemical cleaning during cleaning and sanitation procedures GMPs Sanitation
mushroom storing

Mushroom blanching Contamination of mushrooms from cleaning chemical residues GMPs Sanitation

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 12

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 7 PHYSICAL

Hazard Identification:
CONTAMINANTS
Dirt, glass, metal, wood

Physical Hazard

Instructions
List all physical hazards related to ingredients, incoming materials, process step, product flow, etc.

FORM 7 PHYSICAL HAZARD ID

CONTROLLED AT
IDENTIFIED PHYSICAL HAZARDS
(control measures)

DATE: APPROVED BY:

13 Introduction to HACCP Principles Building a Strong Foundation

FORM 7
Example

FORM 7 PHYSCIAL HAZARD IDENTIFICATION

INGREDIENTS/ CONTROLLED AT
IDENTIFIED PHYSICAL HAZARDS
MATERIALS (control measures)
GMPs purchasing
Mushrooms Presence of harmful extraneous materials, such as glass, metal, plastic, or wood
delivering

GMPs Receiving,
Dry ingredients Presence of harmful extraneous materials, such as glass, metal, plastic, or wood
Storing and Transport

Water Presence of hazardous extraneous material GMPs Premises

GMPs Receiving,
Empty cans and ends Contaminated by metal fragments
Storing and Transport

PROCESS STEPS

9 can inspection/ CCP1BP

Contamination by harmful extraneous materials
depalletizing
16 mushroom slicing/ GMPs equipment
Contamination by metal fragments from plant machinery
dicing

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 14

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 8
CCP Determination
Q1 Do control preventive
measure(s) exist?

Instructions Modify step,

No process or
Categorize and identify hazard: Determine Yes product

if hazard is fully controlled by adherence to

Codex General Principles of Food Hygiene. If Is control at this step Yes
necessary for safety?
YES, indicate GMPs, describe what program
manage the hazard, and proceed to next No Not a CCP Stop
identified hazard. If NO, proceed to Q1.

Q2
Is the step specifically designed to
eliminate or reduce likely or occurrence Yes
of a hazard to an acceptable level?

No

Q3
Could contamination with identified hazard(s) occur
in excess or acceptable level(s) or could these
increase to unacceptable levels?

Yes No Not a CCP Stop

Q4
Will a subsequent step eliminate
identified hazard(s) or reduce likely
occurrence to an acceptable level?

Yes No Critical control point

Not a CCP Stop

FORM 8 CCP DETERMINATION

INCOMING CATEGORY &
MATERIALS/ IDENTIFIED QUESTION 1 QUESTION 2 QUESTION 3 QUESTION 4 CCP NUMBER
PROCESS STEP HAZARD

DATE: APPROVED BY:

15 Introduction to HACCP Principles Building a Strong Foundation

FORM 8
Example
FORM 8 CCP DETERMINATION
INCOMING
MATERIALS/ CATEGORY &
QUESTION 1 Q2 Q3 Q4 CCP #
PROCESS IDENTIFIED HAZARD
STEP
Biological Yes Yes
No Yes
Presence of Clostridium botulinum, yeast or molds Heat treatment 25 Thermal processing
Chemical No
Pesticides Hat stable toxins control is at farms/growers
Mushrooms Physical
Harmful extraneous materials (GMPs purchasing
and delivering)
Biological
Presence of Clostridium botulinum, yeast or molds
Biological Yes Yes
Presence of spores Contamination by rodent No Yes
Heat treatment 25 Thermal processing
excrement (GMPs pest control program)
Dry Ingredients
Physical
Harmful extraneous materials (GMPs purchasing
and delivering)
Biological
Presence of microorganisms such as coliform,
spore forming bacteria, viruses, parasites (GMPs
Water facility)
Chemical
Heavy metals and other toxic chemicals (GMPs
facility)
Biological
Yes Yes
Post process contamination from serious internal No Yes
Inspection 23 closing & inspecting
seam defects
Biological Yes
Empty cans Post process contamination from serious external Yes No Yes 9 Inspecting and
and ends defects depalletizing
Chemical
Cleaning chemicals (GMPs sanitation program)
Yes
Physical Yes No Yes 9 Inspecting and
Harmful extraneous materials
depalletizing
Biological
Can Yes
Post process contamination because of incorrect Yes
inspecting Visual Inspection
cans or serious can defects CCP 1 BP
and
depalletizing Physical Yes Yes
Harmful extraneous materials
Biological
survival of pathogenic bacteria due to non
validated process (GMPs process control)
Cross contamination from improper flow patterns
in processing area (GMPs traffic flow)
Yes
Survival of pathogenic due to improper flow
25 Thermal Use of heat sensitive Yes
patterns allowing bypass of thermal process
processing indicator
Yes
Survival of pathogenic due to excessive time lapse
Monitor time laps between Yes
between closing and retorting CCP 5B
the two operations
Yes
Survival of pathogenic due to inadequate heat Control critical factors of
Yes
treatment (time, temperature, and other factors) scheduled process and
vent schedule

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 16

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 9
Unaddressed Hazards

Instructions
List any biological, chemical and/or physical hazards that are not controlled at the facility.

FORM 9 UNADRESSED HAZARD ID

IDENTIFIED METHODS OF
UNADDRESSED HAZARD ADDRESSING THE HAZARD
FROM PREVIOUS LIST (e.g., cooking instructions, public education,
use by date, etc.)

DATE: APPROVED BY:

17 Introduction to HACCP Principles Building a Strong Foundation

FORM 9
Example

FORM 9 UNADRESSED HAZARDS

UNADDRESSED HAZARD IDENTIFIED METHODS OF
FROM PREVIOUS LIST ADDRESSING THE HAZARD

CANNED MUSHROOMS

INCOMING
Mushrooms
INGREDIENTS

Implement On Farm food safety program Training persons

Raw mushrooms could contain
pesticide
CHEMICAL
Raw mushrooms could contain
heat stable staphylococcal
enterotoxin form improper grower
handling
who apply pesticides Auditing growers’ application of
pesticides and records thereof Requiring periodic pesticide
residue analysis report
Implement On Farm food safety program Training persons
on handling of raw product Ensuring growers’ use of proper,
effective refrigeration equipment Ensuring prompt delivery of
raw product after picking

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 18

 Introduction to
HACCP Principles
Building a Strong Foundation

FORM 10
HACCP Plan
FORM 10 HACCP PLAN
HAZARD
MONITORING PROCEDURES CORRECTIVE
PROCESS DESCRIPTION CRITICAL VERIFICATION
CCP # ACTIONS RECORDS
STEP / SIGNIFICANT LIMITS WHEN ACTIVITIES
WHAT HOW WHO PROCEDURES
HAZARD(S) (FREQUENCY)

DATE: APPROVED BY:

19 Introduction to HACCP Principles Building a Strong Foundation

FORM 10
Example

FORM 10 HACCP PLAN

CANNED MUSHROOMS

HAZARD
MONITORING PROCEDURES CORRECTIVE
PROCESS DESCRIPTION CRITICAL VERIFICATION
CCP # ACTIONS RECORDS
STEP / SIGNIFICANT LIMITS WHEN ACTIVITIES
WHAT HOW WHO PROCEDURES
HAZARD(S) (FREQUENCY)

Post process contamination Can depalletizer operator to

CCP1 B due to incorrect cans, Absence (1) Remove any incorrect
Empty container
9. Can damaged or defects cans, cans with serious QA: Report review
Depalletizer report
inspecting / Can inspection Visual check Continuously defects or damages. Low vacuum detect or
operator Low vacuum detector
depalletizing (2) Inform QC verification procedure
Presence of harmful Absence report
CCP1 P (3) Hold remainder of pallets
extraneous materials (zero tolerance) (4) QC to invest further

Survival of pathogens due to Heat sensitive indicator Check heat sensitive

CCP5 B Visual check 2 hours QC
bypass of thermal process turns to black indicator tape
QC to
(1) investigate all product
Survival of pathogens Time
suspected of deviation
25. Thermal laps between closing and 30 seconds Time Schedule 1 hour QC Verify QC reports, logs,
(2) Retort operator to adjust
processing retorting charts. Sampling and testing
time/temperature of cook
as per authorized
Survival of pathogens Time Time and contingency CA plan
110degree Celsius for 5
and temperature of heat temperature/ Real time monitoring Continuously QC
minutes
treatment: thermograph

DATE: Aug 17, 2023 APPROVED BY: HACCP team

Introduction to HACCP Principles Building a Strong Foundation 20