HACCP Course Guide

Intro to HACCP Principles
Building a Strong Foundation
Go GUIDE
On-the
TM
Contents
Getting Started . ........................................................................ 2 Step 7: Determine Critical Control Points (Principle 2)....95
7A | Preventing or Eliminating Food Safety Hazards..................... 96
HACCP Foundations................................................................. 3
7B | Using Decisions Trees FORM 8................................................. 101
A | Learning Objectives........................................................................ 8
7C | Form 8 Practical Examples Canned Mushrooms................... 105
B | Terminology....................................................................................... 9
7D | Unaddressed Hazards FORM 9................................................. 111
C | History................................................................................................ 14
7E | Revising Other Forms................................................................... 112
D | Benefits & Role of Management.................................................. 17
Takeaways............................................................................................... 116
E | Prerequisites..................................................................................... 20
F | Steps & Principles............................................................................ 23 Step 8: Establish Validated Critical Limits for Each CCP
G | Takeaways......................................................................................... 27 (Principle 3)................................................................................. 117
Step 1: Assemble a HACCP Team..........................................28 8A | Valid Critical Limits....................................................................... 118
1A | The Multidisciplinary Team......................................................... 29 8B | HACCP Plan FORM 10................................................................ 120
1B | Team Roles & Scope..................................................................... 30 Takeaways............................................................................................... 121
Takeaways............................................................................................... 31 Step 9: Establish a Monitoring System for Each CCP
Step 2: Describe the Product..................................................32 (Principle 4)................................................................................. 122
2A | Preparing the Product Description FORM 1.......................... 33 9A | Monitoring CCPs........................................................................... 123
2B | Key Questions to Ask................................................................... 37 9B | HACCP Plan FORM 10................................................................ 125
Takeaways............................................................................................... 38 Takeaways..................................................................................................... 126
Step 3: Identify Intended Use.................................................39 Step 10: Establish Corrective Action (Principle 5).............127
3A | How the Product Is Used FORM 1........................................... 40 10A | Actions to Take............................................................................ 128
3B | Product Ingredients & Incoming Materials FORM 2............. 43 10B | Corrective Action Records FORM 10.................................... 129
Takeaways............................................................................................... 45 Takeaways............................................................................................... 131
Step 4: Construct a Flow Diagram Describing the Process Step 11: Validate the HACCP Plan and Then Establish
.................................................................................................. 46 Verification Procedure (Principle 6)......................................132
4A | Flow Diagram................................................................................. 47 11A | Verification vs. Validation.......................................................... 133
4B | Plant Schematics........................................................................... 49 11B | The Validation Process.............................................................. 134
Takeaways............................................................................................... 51 11C | The Verification Process............................................................ 135
11D | Triggering a HACCP Plan Review ........................................... 136
Step 5: Onsite Confirmation of the Flow Diagram............52
11E | Documenting & File Management FORM 10...................... 137
5A | Conducting Inspections............................................................... 53
Takeaways............................................................................................... 139
5B | Quick Review Steps 1 - 5............................................................ 54
Takeaways............................................................................................... 59 Step 12: Establish Documentation & Recordkeeping
Step 6: Conduct Hazard Analysis and Define Control (Principle 7)................................................................................. 140
12A | Adequacy & Adherence............................................................. 141
Measures (Principle 1).............................................................. 50
12B | Making Note of Records FORM 10........................................ 143
6A | Types of Hazards........................................................................... 62
Takeaways............................................................................................... 144
6B | Identification of Hazards............................................................. 67
6C | Hazard Analysis Resources......................................................... 68 Answer Key ................................................................................ 145
6D | Risk Assessment............................................................................ 69
6E | Control Measures.......................................................................... 70
6F | FORM 5: Biological Hazards Identification............................. 72
6G | FORM 6: Chemical Hazards Identification............................. 79
6H | FORM 7: Physical Hazards Identification............................... 86
6I | Revising Other Forms.................................................................... 92
Takeaways............................................................................................... 94
1 Introduction to HACCP Principles Building a Strong Foundation

Getting
Started
Hi there, welcome to
Intro to HACCP Principles:
This course introduces you to the Codex Alimentarius guidelines for the introduction and
implementation of the Hazard Analysis Critical Control Point (HACCP) system.
We’ve designed this course with your convenience in mind, allowing you to move at your
own pace.
Typically, it takes approximately two to three hours to complete. Feel free to navigate
back and forth as needed through the various sections to ensure you are comfortable
with the course content.
Introduction to HACCP Principles Building a Strong Foundation 2

Intro to HACCP Principles: Building a Strong Foundation establishes a
strong foundation to prepare you for more in-depth HACCP training or any
subsequent preventive control program.

More In-depth Any subsequent

HACCP Training preventative
control program
More In-depth Any subsequent
HACCP Training preventative
control program
Introduction to HACCP Principles

The course will provide a comprehensive overview and road map of HACCP including
but not limited to:
Introduction to HACCP Principles
Essential HACCP The 12 HACCP The 7 HACCP

Deﬁnitions Steps Principles
Essential HACCP The 12 HACCP The 7 HACCP

Deﬁnitions Steps Principles

One of the challenges with mastering HACCP is remembering all the steps and principles and how they
relate. To help you, we’ve created a downloadable road map. Use it along the way to assist you in committing
to memory the HACCP steps and principles. And don’t worry we’ll test you too, with our HACCP Step and
Principles Challenge Game.
And don’t worry we’ll test you too, with our HACCP Step and Principles Challenge Game.
We hope that you enjoy your learning

experience, you’ve got this!

Learning
A
Objectives
By the of ‘HACCP Foundations’, you should be able to:
1 Define key HACCP terms.
2 Describe the history of HACCP.
3 Recognize the benefits of HACCP.
4 Describe the role of management in a HACCP system.
5 List the prerequisites to HACCP training.
6 Identify the 12 crucial steps for successful HACCP implementation.

Terminology
B
Let’s look at key HACCP terminology
Key HACCP Terminology
Hazard Analysis and Critical Control Points (HACCP) is a systematic approach to food safety that relies
on several key terms. These terms form the HACCP system’s foundation, helping identify, assess, and
control hazards in food production processes.
Term 1
Control (noun)
To state wherein correct procedures are being followed and criteria are being met.
For example:
• During the health inspection, the inspector observed the food handlers wearing gloves, using
hairnets, and following proper hygiene practices.
• The food handlers followed the correct “control” meaning the right procedures and safety criteria
were met.
Term 2
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.
For example:
• In a production area, where cross-contamination is a concern, a control measure is to designate
separate cutting boards: red cutting board for meat and green one for vegetables.
•This action helps prevent the potential hazards of bacterial cross contamination.
Term 3
Corrective Action
Any action to be taken when the results of monitoring at the CCP indicate a loss of control or
deviation.
For example:
• At a critical control point where cooked chicken is supposed to reach a minimum of 75 degrees
Celsius, the temperature reading was found to be 69 which is below the required level (critical
limit).
• The corrective action taken was to keep cooking the chicken until the core temperature reaches
the proper temperature as set in the HACCP plan.

Term 4
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.
For example:
• In the corrective action example of the cooking chicken for 75 degrees Celsius to reduce the
number of harmful bacteria to a save level.
• Therefore, cooking is a Critical Control Point. Because it is the step that is essential to control the
biological hazard.
Term 5
Flow Diagram
A systematic representation of the sequence of steps or operations used in the
production or manufacture of a particular food item.
For example:
The steps for cooking chicken, starting from: receiving raw chicken, storing,
preparing, cooking, packing, and labelling.
Term 6
HACCP
A system which identifies, evaluates, and controls hazards which are significant for food safety.
Term 7
HACCP Plan
A document prepared in accordance with the principles of HACCP to ensure control of hazards which
are significant for food safety in the segment of the food chain under consideration.
For example:
A HACCP plan for a seafood industry will document the actions required for frequent temperature
checks, proper process steps, storage conditions, and cooking records to ensure food safety in the
seafood preparation process.

Term 8
Hazard
A biological, chemical or physical agent in, or condition of, food with the potential to cause an adverse
health effect.
Term 9
Significant Hazard
A hazard within a food product or its environment that possesses a higher likelihood and severity of
causing adverse health effects, necessitating specific controls and preventive measures to mitigate its
impact on consumer safety.
Term 10
Hazard Analysis
The process of collecting and evaluating information on hazards and conditions leading to their
presence to decide which are significant for food safety and therefore should be addressed in the
HACCP plan.
For example:
Hazard Analysis for a Salad Production Process
In a salad production facility, a hazard analysis is conducted to identify potential risks to food safety.
One of the steps in the process is washing and chopping vegetables. During the hazard analysis, the
following hazards and conditions are evaluated.
Term 11
Microbiological Hazard
There is a risk of vegetables being contaminated with harmful bacteria, such as E. coli or Salmonella, if
they are not properly washed.
Term 12
Chemical Hazard
If employee didn’t follow the right procedure for the use of chemical sanitizer and its concentration to
wash the vegetable and rinse them properly.
Term 13
Physical Hazard
There’s a possibility of foreign objects like small stones or dirt being present in the vegetables if they
are not thoroughly inspected during washing.
Term 14
Validation
Obtaining evidence that the elements of the HACCP plan are effective. Validation is a one-
time process conducted to confirm the effectiveness of the chosen critical limit. In contrast, the
verification process occurs with each production cycle or batch, where the plant employees verify the
pasteurization temperature of 70 degrees is consistently met.
Term 15
Verification
The application of methods, procedures, tests and other evaluations, in addition to monitoring to
determine compliance with the HACCP plan.
For example:
Consider a dairy processing plant that is introducing a new pasteurization process with a
pasteurization critical limit is 70 degrees Celsius. Validation involves conducting challenging tests to
ensure that 70 degrees Celsius is effective in reducing biological hazards to an acceptable level.
On the other hand, verification are all the methods and procedures that the plant must implement
to monitor the pasteurization process and ensure compliance with the critical limit established (70
degrees Celsius).

Let’s Review
Matching 1
Can you match the term to its description?
HACCP
A To state wherein correct procedures are being followed &

criteria are being met.
Hazard
B System that identifies, evaluates & controls hazards

significant for food safety.
Control C Biological/chemical/physical agent with the potential to

cause adverse health effects.
(Noun)
True or False
A risk assessment is any biological, chemical, or physical agent in food that can cause harm to
consumers?
TRUE FALSE

History
C
Let’s look at the history of HACCP
What is HACCP?
As we delve into the world of HACCP, it’s important to recognize its global significance in
food safety. HACCP has become synonymous with food safety.
HACCP is globally recognized as a systematic and preventive approach that deals with
biological, chemical, and physical hazards by anticipating and preventing them, rather
than relying solely on end-product inspection and testing.
Two Significant Developments

HACCP’s origins can be traced back to two significant developments:
1950s 1960s & 1970s
• In the 1950s, the first significant breakthrough in • The second breakthrough was the development of
quality management was linked to W.E. Deming, the HACCP concept itself.
renowned for his theories in this field.
• Created by the Pillsbury company in 1960, this
• His ideas greatly enhanced the quality of Japanese concept originated when NASA aimed for a “Zero
products. Defects” program to ensure the safety of astronaut
food in space.
• Dr. Deming and his contemporaries developed
total quality management (TQM) systems, which • Pillsbury adopted HACCP as a system that could
emphasized a comprehensive manufacturing offer maximal safety while diminishing reliance on
approach that improved quality and reduced costs end-testing and inspection.
simultaneously.
• Pillsbury publicly introduced the HACCP concept at
a 1971 food protection conference.

Check Out the HACCP Timeline
1993-1997
During the Codex Alimentarius
1950 1974 Commission held in Geneva, Switzer-
land, it was adopted. The commission
W.E. Deming and his The United States Food and Drug stated that the draft revision of General
colleagues develop Total Administration (FDA) incorporated HACCP Principles of Food Hygiene would
Quality Management (TQM) into regulations for Low-acid canned food. integrate HACCP principles. In 1997,
the General Principles of Food Hygiene
CAC/RCP 1 -1969, Rev (1997) was
established.
1960-1971 1985
The Pillsbury Company applies Numerous groups had
NASA ‘s zero defect approach embraced HACCP
and introduces the term to the
industry.
The latest revision of

HACCP happened in
2022.

Let’s Review
True & False

Can you determine which statements are true and which are false?
TRUE VS FALSE
A HACCP principles are internationally G HACCP is your shield against numerous food
recognized and can be applied globally. safety risks.
B HACCP promotes financial gain. H ‘Control measure’ was developed for use in the
C HACCP can improve the quality and food industry by NASA (1970s).
consistency of food products. I HACCP encourages a proactive approach to
D HACCP is only applicable to large food food safety issues.
manufacturing companies. J HACCP originated with W.E. Demining’s quality
E HACCP reduces the need for end-product management theories (1950s).
testing and inspection. K HACCP encourages a reaactive approach to
F Cross-contamination helps identify and prevent food safety issues.
potential hazards.

Benefits & Role of
D
Management
Let’s look at the benefits of HACCP
HACCP Benefits
Why is the HACCP system a game-changer for food facilities?
Management Commitment: Risk Reduction: Consistency Matters:

HACCP isn’t just a program; it’s a HACCP is your sheild against a With HACCP, consistency
testament to your management’s multitude of food safety risks,. becomes second nature.
unwavering dedication to food Employees seamlessly follow
safety. Your leaders take the standardized preparation
helm in developing and fortifying steps, maintain unifirm product
food safety systems, backed by formulations, and operate
a commitment to provide vital machinery efficiently. The result?
support, including human and Consistency in product quality
finiancial resources. and process.
Continuous Improvement: Helps Avoid Costly Recalls: Promotes Financial Gains:

The journey towards food safety HACCP is your insurance policy HACCP isn’t just about safety;
excellence never ends. HACCP against devastating recalls. it’s about business growth.
drives continuous improvement, By identifying and mitigating The financial gains from waste
leading to waste reduction, risks upfront, you steer clear of reduction, improved inventory
enhanced inventory control, and costly product recalls and the control, and sterling reputation
the avoidance of costly recalls. associated damage to your brand can’t be overstated.
Your commitment to improvement and bottom line.
opens doors to financial growth
and fresh market opportunities,
all while maintaining your existing
customer base.
Open Doors to New Markets: Ensures Regulatory Compliance: Builds and Maintains Customer
Expand your horizons with Compliance with food safety Trust:
HACCP. It paves the way for regulations is non-negotiable. HACCP reinforces your
entering new markets, tapping HACCP is your compass, guiding dedication to delivering safe,
into fresh opportunities, and you to full compliance, protecting trustworthy food products. It’s a
diversifying your reach while your reputation, and ensuring promise that resonates with your
retaining existing customers. legal adherence. customers, fostering trust and
loyalty.

Key Factor for a Successful HACCP System
Developing a robust HACCP system in a food manufacturing facility is a complex process and demands lots of
resources and clear regulatory and industry guidance.
Key factors for success include management commitment and the allocation of necessary resources like
finances, time, and personnel. For instance, assembling the HACCP team with knowledgeable personnel from
various departments is crucial to expedite process.
In many cases, companies seek external technical support such as consultants, university professors or other
professional to assist in the development and implementation of their HACCP system.
The Role of Management in the HACCP System

The role of management in ensuring the success of a HACCP system includes:
Commitment: Decision-Making: Resource Allocation:

Demonstrate unwavering support Engage in decision-making Provide the necessary financial
and dedication to food safety processes related to critical and human resources required
by actively participating in and aspects of program development for the development and
leading the HACCP initiative. to ensure timely and informed implementation of the HACCP
choices. system.
Expertise: Training: Oversight:

Hire knowledgeable employees Dedicate time and resources Vigilantly oversee the
who can contribute to the to training programs to ensure implementation of the HACCP
successful implementation of the that employees across all system at all levels of the
HACCP system. organizational levels understand organization to maintain
and follow HACCP principles. consistency and effectiveness.
These roles collectively
contribute to the successful
development and implementation
of the HACCP system in an
organization.

Let’s Review
True & False

Can you determine which statements are true and which are false?
TRUE VS FALSE
A HACCP was last updated in 2005. F M anagements commitment is minimally

B Management commitment is essential to a important in a HACCP program.
sucessful HACCP program. G Management must provide HACCP oversight.
C Management must provide HACCP training. H HACCP was last updated in 2022.
D Management is responsible to engage in I
Management must ensure resource allocation
HACCP decision making. for HACCP.
E Companies often seek HACCP councel from
post-secondary professionals.

Prerequisites
E
Let’s look at the prerequisites for HACCP
The Prerequisite program
GMPs - GHPs
HACCP Good Manufacturing Practice Program (GMP)
is one of the prerequisite programs that are
commonly implemented in food facilities before
implementing and developing HACCP.
PREREQUISITE PROGRAM
(GMPS – GHPS) In this course, we will also refer to Good Hygiene
Practice (GHPs) which is a set of practices and
guidelines that are established to maintain a hy-
gienic and safe environment in food production,
handing and processing. GHP is an essential
component of food safety management and is
designed to prevent contamination, ensure the
quality of food products, and protect consumers
from potential health risks.
HACCP Prerequisite Examples

HACCP Prerequisites are defined as universal steps or procedures that control the operational controls within a food
facility allowing for environmental conditions that are favorable to the production of safe food.
These examples represent just a subset of the various prerequisites programs that can be implemented to create a strong
foundation for a successful HACCP system. Each of these programs contributes to creating an environment that supports
the production of safe and high-quality food and present the base to build the HACCP system.
u F acilities (location, facility design, windows, u leaning and sanitation program

C
outside, surrounding area) u Pest control program
u Water and air quality monitoring u Allergen control program
u Supplier approval and verification program u Waste management program
u Good personal hygiene practices u Traceability
u Training and education program u Equipment maintenance program

Good Manufacturing & Good Hygiene Practices
Good Manufacturing Good Hygiene

Practices Practices
Good Manufacturing Practice Program (GMP) is a Good Hygiene Practices (GHPs) is a set of practices
set of guidelines, standards, and practices that are and guidelines that are established to maintain a
established to ensure the consistent and reliable hygienic and safe environment in food production,
production of safe, high-quality, and effective handling, and processing. GHP is an essential
products. component of food safety management and is
designed to prevent contamination, ensure the
quality of food products, and protect consumers from
potential health risks.

Let’s Review
Sorting Activity
Can you distinguish good personal practice from bad personal practice?
1. Smoking in
designated area
A
Example of 2. Employee covering his
good personal beard with a beard net
practices
3. Uniform worn in
lunch room
4. Hands being washed
B
Example of 5. Chewing gum at
bad personal work station
practices
6. Wearing jewelry

g
Steps &
Any subsequent
preventative
control program
F
Principles
tionLet’s carefully review the HACCP Steps & Principles
to HACCP Principles
The 12 HACCP The 7 HACCP

Steps Principles

Principles
The 7 HACCP
Principles

Relationship
between Steps
& Principles

Let’s Review
Help Support Your Team
You’re Elena’s supervisor. It’s Elena’s first year on
the job and everyone keeps talking about HACCP.
She often hears about steps and principles, but
she’s not really sure how they relate.
Matching
Can you help Elena to match the HACCP principle
to the step?

Takeaways
G
Great job! You’ve come to the end of this segment
Key History Definition

Concepts
There are some important HACCP The history of HACCP can be The HACCP system is a science-
terms and definitions to familiarize traced back to W.E Deming’s based, systematic system that
yourself with. quality management theories identifies specific hazards and
in the 1950s, to NASA and the measures for their control to
Pillsbury Company in 1960, to the ensure the safety of food.
latest revision of Codex HACCP in
2022.
Applying Benefits Management

HACCP Commitment
HACCP can be applied throughout There are a multitude of benefits An implemented HACCP system
the food chain from primary to having a HACCP system in place in a food facility is proof of its
production to the consumer. at your facility. management commitment to food
safety. Management is always the
lead in the process of developing
and upgrading food safety systems
in the facility, and it they must fully
commit to it through personnel
and financial resources within the
organization.

Step 1
Assemble a
HACCP Team
Learning
Objectives
By the end of Step 1:Assemble the HACCP Team you should be able to:
1 Describe the importance of HACCP Step 1: Assemble a HACCP Team

and the multidisciplinary team.
2
Describe the scope and responsibilities of the HACCP team.

The Multidisciplinary
1A
Team
Let’s explore the HACCP team
Forming a Multidisciplinary Team
For the successful development of an effective HACCP plan, it’s essential that the organization ensures the
presence of competent, skilled and product-specific knowledge and expertise. Ideally, this can be achieved by
forming a multidisciplinary team.
Professionals from Different Backgrounds

A multidisciplinary team includes professionals from different backgrounds such as:
u Food Science & Technology u Risk Assessment

u Engineering u Operations and Production Management
u Quality Assurance u Supply Chain Management
u Regulatory Compliance u Human Resources
u Microbiology
To learn more about NOS for Food Safety and Quality Assurance Manager in the Food and Beverage
Manufacturing Industry visit the link : Skills Library

Team Roles
1B
& Scope
Let’s look at the roles and scope of the HACCP team
What should the HACCP team do first?
The team’s first responsibility is to define the roles and responsibilities of each
member and define the scope of the HACCP plan.
What is meant by the HACCP ‘team scope’?

The scope should clearly outline the specific segment of the food chain that is
involved and identify the general classes of hazards that need to be addressed.

Takeaways
Great job!
You’ve covered Step 1: Assemble a HACCP Team
Multidisciplinary Management
is key Commitment
A multidisciplinary team is Management commitment will
essential when it comes to HACCP. make or break the success of
the implementation of a HACCP
program.
HACCP HACCP Team’s First

Scope Responsibility
The HACCP scope should clearly The HACCP team’s first
outline the specific segment of responsibility is to define the roles
the food chain that is involved and responsibility of each member
and identify the general classes of and define the scope of HACCP
hazards that need to be addressed. plan.

Step 2
Describe the
Product
Learning
Objectives
By the end of Step 2: Describe the Product you should be able to:
1 Describe what must be included on a product description.
2 Describe what appears on HACCP Form 1: Product Description Template.
3 Describe questions the HACCP team should ask before filling out HACCP Form 1: Product
Description Template.

Preparing the Product
2A
Description FORM 1
Let’s look at what is included in Form 1
Drawing Up the Product Description
A full description of the product should be drawn up, including relevant safety information such as:
u Composition u Labeling
u Physical/chemical Structure (including water u Shelf Life
activity, salt concentration, and pH). u Storage Conditions
u Packaging u Method of Distribution
The HACCP team must

complete the product
description using form 1 –
product description template.

Reading the Form Template
Take some time to check out form 1 used in this step.
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:

Let’s Review
Form Fields
Answer the questions below to ensure you are familiar with the specific fields in Form 1.
1. Multiple-choice. What information is filled out as the first field of Form 1?

Select the correct answer.
A. Product Name
B. Important Product
Characteristics of
the End Product
C. Shelf Life
DATE: APPROVED BY:

2. Multiple-choice. What information is filled out as the fifth field of Form 1?
Select the correct answer.
A. Shelf Life FORM 1 PRODUCT DESCRIPTION
B.Where the Product

Will Be Sold
C. Labelling
Instruction
DATE: APPROVED BY:

Key Questions
2B
to Ask
Let’s review some key questions the HACCP team
needs to evaluate before filling out out HACCP Form 1:
Product Template
The Product Formulation
Before completing Form 1, the HACCP team should address questions related to: the formulation of the product
and processing and preparation checklist.
u The formulation of the product u The processing and preparation checklist
Examples of ‘formulation of the product’ questions:

u What raw materials or ingredients are used? u If food additives or preservatives are used,
u Are microorganisms of concern likely to be what is the acceptable level?
preset in or on these materials, and if so what u Will the pH or water activite of the product
are they? prevent microbial growth?
Examples of ‘Processing and Preparation’ Questions:

u C an a contaminant reach the product during u Is processing based on scientific data?
preparation, processing or storage? u How does the package or container affect
u Will microorganisms or toxins of concern survival and/or growth of microorganisms?
contaminate food after it has been heated? u What are the conditions of distribution?
u Would more severe processing be acceptable
or desirable?

Takeaways
Great job!
You’ve covered Step 2: Describe the Product
A Full Form 1: Product Key Questions

Description Description to Ask
Template.
A full description of the product During Step 2: Describe the Before completing Form 1:
should be drawn up, including Product, the HACCP team will Product Description Template,
relevant safety information. work together to complete Form the HACCP team should
1: Product Description Template. address questions related to
the formulation of the product
and processing and preparation
checklist.

Step 3
Identify
Intended Use
Learning
Objectives
By the end of Step 3: Identify Intended Use you should be able to:
1 Describe the necessary fields on a completed HACCP Form 1: Product Description Template.
Describe the importance of filling out HACCP Form 1: Product Description Template to
2 prevent potential harm to consumers.
Describe the purpose of completing HACCP Form 2: Product Ingredients and Incoming
3
Materials Template.

How the Product
3A
Is Used FORM 1
Let’s explore documenting the intended use of the
food product
Documenting the Intended Use
The ‘intended use of a product’ should always be based on its expected uses by the end user or consumer. This
is very important when filling the ‘how the product is to be used’ field on HACCP Form 1: Product Description.

PRODUCT NAME
name)
IMPORTANT PRODUCT
END PRODUCT



SHELF-LIFE
humidity if applicable)

LABELLING (handling and usage instructions)

INSTRUCTIONS
CONTROL
DATE: APPROVED BY:

Let’s Look at Butter
It’s important to recognize that, finished products may be used for different purposes! Sometimes they may be
used in further processing at other manufacturing plants. A common example is margarin or butter processed
further in the backing industry.
Finished products may also be used directly by

customers, as they are sold in grocery stores.
Protecting Vulnerable Populations

Some of the product may be specially designed for group of people that are restricted in diet, such as gluten free
food for celiac patients or dairy free for consumers that are allergic to dairy foods.
The development of the HACCP plan must take in consideration if the product will be sold to elderly population,
such as in retirement homes or to immune compromised patients.
Instructions for the use of the product must be followed

by the consumers, such as further processing requirements
like cooking and baking. This information is captured by the
HACCP team on HACCP Form 1: Product Description.

Let’s Review
Form Fields
Take some time to answer the questions below to practice filling out HACCP Form 1: Product
Description. Form one is an integral part of steps 1 and 2.
Matching Scenario. Imagine you and the HACCP team are preparing HACCP Form 1:
Product Description for your company’s canned mushrooms food processing line.
The multidisciplinary team has collected some critical information, evidence-based information
about your canned mushrooms. Where should the HACCP team place this information on
HACCP Form 1: Product Description?

PRODUCT NAME
name) A. Hermetically sealed
IMPORTANT PRODUCT
metal containers
END PRODUCT
HOW THE PRODUCT (i.e., ready to eat, further B. Water activity > 0.85 (high
moisture)
C. Two years, at normal retail
SHELF-LIFE
humidity if applicable) shelf temperatures

D. Normally heated before
LABELLING (handling and usage instructions) serving or served unheated
INSTRUCTIONS
CONTROL
(shipping conditions) E. No physical damage, excess
humidity or temperature
DATE: APPROVED BY: extremes

Product Ingredients &
3B
Incoming Materials FORM 2
Let’s look at the process of filling out HACCP Form 2:
Product Ingredients & Incoming Materials
Protecting the Consumers with Dietary Restrictions
To mark the end of HACCP Step 3: Identify Intended Use, the HACCP team must complete HACCP Form 2:
Product Ingredients and Incoming Materials. This is where all the ingredients used to produce a particular
product must be listed.
FORM 2
PRODUCT INGREDIENTS AND INCOMING MATERIALS
PRODUCT NAME(S)
DATE: APPROVED BY:
Note that all forms, are considered complete and ready to be

used by the team once they are dated and approved.
As a result, the HACCP team needs to sign off on all the forms
as part of the approval process. This ensures that everything is
in order before moving forward in the HACCP system.

Let’s Review
Form Fields
Take some time to answer the questions below to practice filling out HACCP Form 2: Product
Ingredients & Incoming Materials Template.
The Scene. The HACCP team is now wanting to document the product ingredients and
incoming materials on HACCP Form 2: Product Ingredients & Incoming Materials Template. In
the case of your team’s canned mushroom product, you have four main product types you have
identified together:
Matching Question. Can you make an educated guess about the specifics of each of
your product categories and place them on the appropriate lines on HACCP Form 2: Product
Ingredients & Incoming Materials Template, based on the canned mushroom case study.
FORM 2
RAW MATERIALS PACKING MATERIALS DRY INGREDIENTS OTHERS
DATE: APPROVED BY:
A. Domestic and B. Salt, Ascorbic C. Cans/ends D. Water

White Mushrooms Acid, Citric Acid

Takeaways
Great job!
You’ve covered Step 3: Identify Intended Use
A Full Form 1: Product Key Questions

Description Description to Ask
Template
A full description of the product During Step 2: Describe the Before completing Form 1:
should be drawn up, including Product, the HACCP team will Product Description Template,
relevant safety information. work together to complete Form the HACCP team should
1: Product Description Template. address questions related to
the formulation of the product
and processing and preparation
checklist.

Step 4
Construct a
Flow Diagram
Describing the
Process
Learning
Objectives
By the end of Step 4: Construct a Flow Diagram Describing the Process you should be able to:
1 Describe the process of constructing a flow diagram describing the process on HACCP Form
3: Flow Diagram Template.
Describe the process of constructing a plant schematic during HACCP Step 4: Construct a
2
Flow Diagram Describing the Process.

Flow
4A
Diagram
Let’s look at the importance of Flow Diagrams
Creating Process Flow Diagram
The HACCP team should create a clear process flow or flow diagram of the entire production process, from raw
materials to finished product.
It is important that this diagram

is produced by the HACCP team
and that it covers all steps in the
operation.
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

Definition of a Flow Diagram
As we discussed in the HACCP Foundations section of this course, a flow diagram is a systematic representation
of the sequence of steps or operations used in the production or manufacture of a particular food item.

Plant
4B
Schematics
Let’s look at how plant schematics are used on HACCP
Form 4: Plant Schematic or Floor Plan
A Crucial Step in HACCP
Creating this plant schematic is a crucial step in the HACCP system, as it visually represents the facility’s layout
and helps identify potential hazards, cross-contamination risks, and points of control measures to mitigate them.
For example, sometimes the HACCP team may need

to adjust the flow of raw materials and employees to
prevent them from intersecting in the end-product
area, thus minimizing the risk of food contamination.
For Example
To mark the end of HACCP Step 4: Construct a Flow Diagram Describing the Process, the HACCP Team must
complete HACCP Form 4: Plant Schematic or Floor Plan.
This example focuses on Ready-to-eat soup (with shrimp).
It uses various colours and shapes to show how raw

products, employee movements, raw product flow, and
finished product flow work.

FORM 4 PLANT SCHEMATIC/FLOOR PLAN
READY TO EAT SOUP (WITH SHRIMP)
Reference Preventive Control Plan Templates for Domestic Food Businesses - Canadian Food Inspection Agency

Takeaways
Great job!
You’ve covered Step 4: Construct a Flow Diagram
Describing the Process
Including the Flow Schematics &

HACCP Team Diagrams Floor Plans
It is important that this diagram A flow diagram is a systematic Schematics & Floor Plans: To
is produced by the HACCP team representation of the sequence mark the end of HACCP Step
and that it covers all steps in the of steps or operations used in the 4: Construct a Flow Diagram
operation. production or manufacture of a Describing the Process, the
particular food item. HACCP Team must complete
HACCP Form 4: Plant Schematic
or Floor Plan.

Step 5
Onsite
Confirmation
of the Flow
Diagram
Learning
Objectives
By the end of Step 5: Onsite Confirmation of Flow Diagram you should be able to:
Describe the inspection process during HACCP Step 5: Onsite Confirmation of Flow
1
Diagram.
2 Describe HACCP Steps 1 -5.

Conducting
5A
Inspections
Let’s look at the importance of internal inspections
Ensuring Accuracy & Completeness
Once the process flow diagram and plant schematic have been drafted, the HACCP team must complete step
5 which is an on-site confirmation of the flow diagram involves conducting inspections to ensure accuracy and
completeness.
During Operational Hours

The process should be reviewed periodically during operational hours to validate the ongoing validity of the flow
diagram across all stages of operation.

Quick Review
5B
Steps 1 - 5
Before we move to Step 6 let’s review the first 5
HACCP steps
1A | The Multidisciplinary Team

We looked at the importance of forming a multidisciplinary team with professionals across the industry
such as:
u Food Science & Technology u Risk Assessment
u Engineering u Operations and Product Management
u Quality Assurance u Supply Chain Management
u Regulatory Compliance u Human Resources
u Microbiology
1B | Team Roles & Scope

u W
e discussed the importance of defining each u W
e explored what is meant by the HACCP
team members roles and responsibilities. team’s scope and asserted that the scope
should clearly outline the specific segment of
the food chain that is involved and identify the
general classes of hazards.
2A | Preparing the Product Description FORM 1

We examined the components of the product description, such as:
u Composition u Shelf Life
u Physical/Chemical Structure u Storage Conditions
u Packaging u Method of Distribution
u Labelling

2B | Key Questions to Ask
We looked at specific questions the HACCP team might need to answer in relation to the formulation
of the product and the processing and preparation checklist. Such as:
u F
ormulation of the Product: “What raw u P
rocessing & Preparation Checklist: “Can
materials or ingredients are used?” a contaminate read the product during
preparation, processing or storage?”
3A | How the Product Is Used FORM 1

We discussed that the listed “intended use” on HACCP Form 1: Product Description should always
be based on its expected uses by the end user or consumer. As some consumers may have health
concerns such as restricted diets, or being immune compromised.
3B | Product Ingredients & Incoming Materials FORM 2

We looked at the importance of filling out HACCP Form 2: Product Ingredients and Incoming
Materials. As part of this exploration we completed a mini-case on canned mushrooms.
4A | Flow Diagram FORM 3

We learned that the HACCP team should create a clear process flow or flow diagram of the entire
production process and that this be produced by the entire HACCP team and it cover all steps in the
operation.
4B | Plant Schematics FORM 4

We discussed that it is crucial that the HACCP team create a visual representation of the facility’s
layout to help identify potential hazards, cross-contamination risks, and points of control measures to
mitigate them.

5A | Conducting Inspections
We discussed the importance of aligning what is on paper with real-life processes to ensure accuracy
and that on-site inspections are critical to this step.
Forms 1-4
Finally, we completed the forms 1, 2, 3 and 4 required for the first 5 steps. And we used Canned
mushroom as a practical example.
u HACCP Form 1: Product Description u HACCP Form 3: Flow Diagram
u HACCP Form 2: Product Ingredients & u HACCP Form 4: Plant Schematic or Floor Plan
Incoming Materials
FORM 1 PRODUCT DESCRIPTION FORM 2

PRODUCT NAME Canned mushroom
name)
RAW MATERIALS PACKING MATERIALS DRY INGREDIENTS OTHERS
IMPORTANT PRODUCT
Water activity > 0.85 (high
CHARACTERISTICS OF (water activity, pH, etc.) Salt
moisture) pH 4.8 to 6.5 (low acid) Domestic and white
END PRODUCT Cans / ends Ascorbic acid Water
mushrooms
Citric acid
Normally heated before serving or
sometimes served unheated DATE: Aug 17, 2023 APPROVED BY: HACCP team
(salads, appetizers, etc.)

Hermetically sealed metal
containers
FORM 4 PLANT SCHEMATIC/FLOOR PLAN
(including storage temperature, Two years, at normal retail shelf
SHELF-LIFE READY TO EAT SOUP (WITH SHRIMP)
humidity if applicable) temperatures
Retail, institutions and food

service. Could be consumed
by high risk groups (elderly,
immunocompromised, pregnant
woman)
LABELLING (handling and usage instructions) None required to ensure product

INSTRUCTIONS safety
SPECIAL DISTRIBUTION No physical damage, excess

CONTROL humidity or temperature extremes
FORM 3 FLOW DIAGRAM

MUSHROOM WATER
(RAW) (MUNICIPAL)
1. Receiving 1. Receiving 3. Receiving 4. Intaking DATE: Aug 17, 2023 APPROVED BY: HACCP team
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping

Let’s Review
Multiple Choice. Check the best answer.
1. Design marketing
campaigns
2. Choosing the color

HACCP Step 1 scheme for the
Which of the following are product label
tasks typically performed
by the HACCP team? 3. Eating the finished
product at the end
of the shift
4. Identifying the food

safety hazards
1. The packaging
materials used and the
product shelf life
2. The various
HACCP Step 2 characteristics of each
What is included in the ingredient used
HACCP product description?
3. The packaging
materials and the
product shelf-life
4. The product’s
marketing and sales
strategy

1. How you personally
like to use the product
2. A rough estimation of
HACCP Step 3 the composition of the
What should the ‘intended product
use of a product’ be based
on?
3. The known uses by the
end user or consumer
4. Expected uses by the

end user or consumer
1. The facility’s
water intake.
HACCP Step 4
2. Flow of ingredients and
packaging materials
When preparing a plant
schematic, what crucial
aspects does it help
identify and manage within
3. The preferred color
scheme for the facility a food facility?
4. The facility’s energy

consumption patterns
1. To design marketing
materials for the
product
HACCP Step 5 2. To confirm the

product’s shelf life
What is the primary
intention of onsite
verification? 3. To ensure that
documented processes
match real-life processes
4. To establish the
product’s price point

Takeaways
Great job!
You’ve covered Step 5: Onsite Confirmation
of Flow Diagram
Ensuring Accuracy During

of the Flow Diagram Operational Hours
Drafting the flow diagram is only It is essential that the flow
half of the process, the other half diagram’s accuracy is assessed
is conducting onsite confirmations during operational hours.
and inspections to ensure that it is
accurate and complete.

Step 6
Conduct
Hazard Analysis
and Define Control
Measures
Learning
Objectives
By the end of Step 6: Conduct Hazard Analysis and Define Control Measures you should be able to:
1 Identify common hazards in food facilities: biological, chemical, and physical.
2 Describe the process of hazard identification in the food industry.
Navigate CFIA’s Reference Database for Hazard Identification (RDHI) to perform a hazard
3
analysis.
4 Recognize the importance of risk assessment in the HACCP Plan.

5 Identify common controls to mitigate the risk of biological, chemical, and physical hazards.
6 Identify the fields and processes the HACCP team needs to adequately fill out on HACCP
Forms 5-7.
Describe the process of updating HACCP Form 2: Product Ingredients and Incoming
7
Materials, and HACCP Form 3: Flow Diagram, following the completion of HACCP Forms
5-7.

Types of
6A
Hazards
Let’s look at the most crucial steps of the HACCP
planning process: Hazard Analysis
A Critical Step
Hazard analysis is the most crucial step of the HACCP plan. It requires technical expertise and scientific
background in various domains for proper identification of all potential hazards.
A ‘Hazard’ is a biological, chemical

or physical agent in, or condition
of, food with the potential to
cause an adverse health effect.
Let’s review the following hazard types

BIOLOGICAL Viruses, bacteria, fungi
CONTAMINANTS
Biological Hazards
Biological hazards are those living organisms that may
cause illness if they or their products (e.g. toxins) are
ingested.
Biological hazards may be bacteria, viruses, parasites,

or fungi. These are organisms that can be present and
multiply in food and which can cause food borne illness.
Bacteria Viruses Parasites Yeasts and

Bacteria are the most common Viruses are typically introduced A parasite is any organism Molds
biological hazard to food safety. into food either through poor which obtains nourishment
Yeasts and molds belong
handling practices by people from its host organism in
to the organisms called
Viruses are typically introduced infected with the virus (i.e. poor order to grow and reproduce.
fungi and cause various
into food either through poor personal hygiene practices) Parasites enter food through
degrees of deterioration and
handling practices by people or via contaminated food similar means as viruses (i.e.,
decomposition of foods.
infected with the virus (i.e. poor ingredients (i.e. water). poor personal hygiene practices
They’re more commonly
personal hygiene practices) and contaminated ingredients).
associated with foodborne
or via contaminated food
illness and food safety issues.
ingredients (i.e. water).

Some Additional Examples
Let’s study some more examples of sources of biological hazards:
• Incoming ingredients, including raw materials such as raw poultry and raw meat
• Cross-contamination in the processing or storage environment. For example, if the same cutting board and knife are used to chop
raw chicken and to cut the vegetables without proper cleaning and sanitization in between, cross-contamination can occur. Because
harmful bacteria such as Salmonella or Campylobacter, who are present on the raw chicken, could be transferred to the vegetables
though the cutting board and knife.
• mployees who are not following proper hygiene practices or are themselves carrying infectious agents can contaminate the food
E
with biological hazards.
• ood contact surfaces, such as cutting boards, utensils, and equipment, can harbor harmful microorganisms if not properly cleaned
F
and sanitized, leading to contamination of the food.
• ests, such as insects and rodents, can carry and spread disease-causing microorganisms. If pests have access to food storage or
P
preparation areas, they can contaminate the food with biological hazards.
Overall, these examples highlight the diverse ways in which biological hazards can enter the food production process and contaminate
the food. Preventing and managing these hazards through the control measures in the GMPs and GHPs is crucial to ensuring food safety.
CHEMICAL Cleaner, sanitizer, polishes, & allergens

CONTAMINANTS
Chemical Hazards
Sanitation chemicals (cleaners, sanitizers) and equipment
maintenance chemicals (lubricants, machine oils) are
common sources of chemical hazards if not controlled well.
Environmental contaminants are chemicals that accidentally

or deliberately enter the environment, often, but not
always, as a result of human activities. Some examples
of environmental contaminants include lead, arsenic,
bromates, mercury, pesticides and other agriculture
products.
Mycotoxins Natural Toxins Marine Toxins Drugs/

Mycotoxins are toxic Natural toxins are substances Marine toxins are chemicals Antibotics
compounds produced by that are naturally present in produced by certain
For example, meat can also be
certain molds (fungi). They can certain foods. For instance, microorganisms, often found in
overloaded with chemicals such
contaminate various crops such some varieties of beans contain seafood.
as antibiotics and other drugs if
as grains, nuts and fruits. lectins, which are toxic proteins
not properly used on the animal
that can cause digestive For example, ciguatera toxin
farms.
A well-known mycotoxin is discomfort. can accumulate in larger
aflatoxin, which can be found in predatory fish like barracuda
peanuts and grains. Similarly, certain types of raw and king mackerel, causing
seafood may contain histamines fish consumers to experience
Ingesting food contaminated that lead to allergic-like symptoms ranging from
with mycotoxins can lead reactions. gastrointestinal issues to
to adverse health effects, neurological problems.
including liver damage and
potential carcinogenicity.
Food Additives Allergens Allergic Reactions
A food additive is any chemical substance An allergen is any protein that is capable of An allergy is not a hereditary disease and
producing an abnormal immune response can be developed at any stage of a person’s
that is added to food during preparation or
in sensitive segments of the population. life. An allergic reaction might happen
storage and either becomes a part of the
within minutes after being exposed to an
food or affects its characteristics for the
Allergens are chemical hazards that may allergen, but sometimes it could take up to
purpose of achieving a particular technical
be introduced either by being present in an several hour after exposure.
effect.
ingredient or a component of an ingredient,
or through cross-contamination during Allergic reaction’s symptoms can be similar
Sometimes, food additives can be found in
processing. in people regardless of the type of allergen:
food that is not allowed for use in that type
of food or it is used at higher than allowed
In Canada, the following are considered Reacting body’s systems are: The skin -
levels. In these situations, the food may
allergens and must be declared on the hives, swelling, itching, warmth, redness,
pose a health risk to the consumer.
label: peanuts, tree nuts, sesame seeds, rash;
milk, eggs, fish, crustaceans, shellfish, soy,
mustard and wheat, sources of gluten and The Respiratory system – breathing :
sulphites. coughing, wheezing, shortness of breath,
chest pain/tightness, throat tightness,
Allergens can cause severe reaction in hoarse voice, nasal congestion or hay
consumers. fever-like symptoms (runny itchy nose and
watery eyes, sneezing), trouble swallowing
Gastrointestinal system (stomach): nausea,

pain/cramps, vomiting, diarrhea
Cardiovascular system (heart): pale/blue

colour, weak pulse, passing out, dizzy/
lightheaded, shock
Other: anxiety, feeling of “impending

doom”, headache, uterine cramps, metallic
taste
The MOST Dangerous symptoms of an

allergic reaction are: Trouble breathing
(caused by swelling of the airways
(including a severe asthma attack for
people who have asthma) and a drop in
blood pressure causing dizziness, light-
headedness, feeling faint or weak, or
passing out.
Both can lead to death if untreated.

PHYSICAL Dirt, glass, metal, wood
CONTAMINANTS
Physical Hazards
Physical hazards are objects found in food that can cause
injury to the consumer. Physical hazards can be from the
environment or could be part of the food itself.
There is a long list of potential physical hazards, and all of

them can be harmful to the consumer. A food manufacturer
should prevent in any possible way the presence of physical
hazards in the manufactured product.
Glass Metal Wood Stones

Glass should not be allowed Metal is quite common. For Wood should not be found in Stones are not usually a
in a food production facility example, a tank with stir bar a food facility, however there problem, however, with
and should therefore not be inside, when turned on, may are examples such as pallets, agricultural ingredients such
a problem, but some facilities cause metal on metal wear or wooden handles on brooms as coffee, cocoa beans, wheat,
may still have glass in places metal dust. or even floors in some food peas or beans, there are often
like, site glasses on tanks, manufacturing facilities. stones that come in with the
clock faces, light covers and Screws and washers or screens ingredient. Destoning must be
windows. or other types of equipment part of the process.
may also be potential physical
hazards.

Sources of Food Hazards
We should remember that anything around us is potentially hazardous to the manufactured of food product. We
have listed here some common sources of hazards:
Impact on food safety of Equipment damage or Incoming ingredients and

prepared food by employees breakage, excessive use of packaging materials can be
is very important. People can maintenance lubricant or oil contaminated with pesticides,
transmit different types of could be the reason for chemical, antibiotics, bacteria and other
disease ( jaundice, diarrhea, flu biological and physical product spoilage microorganisms.
etc.), can have poor hygienic contamination. Printing ink on packaging
habits, introduce foreign materials may also not be food
materials in the plant, and if not grade and therefore introduce
controlled, may cause the illness chemical hazard.
or injury of consumers as well.
Dirty vehicles, cross contamination Poor sanitation practices will Outdoor pollution, design and/or
with maintenance chemicals, not only cause introduction construction of a building, type
foreign material or allergens can of biological but also chemical of material used, condition of the
also cause product contamination. hazards if not controlled. Not building can also contaminate the
rinsing the equipment properly product. The hazard associated
after sanitation chemical with those resources is not the
application will definitely lead to same if the production room
introduction of chemical hazard. walls are made of wood or plastic
panels. You can guess that it is
much easier to clean, sanitize
and maintain plastic rather then
wood.
Pests such as birds, rodents, Water if not properly treated

insects etc., if allowed in the at the resource will also cause
food processing plant, can contamination.
cause biological and physical
contamination of equipment and
product.

Identification
6B
of Hazards
Let’s look at processes for identifying food hazards
#1 Incoming Materials
The HACCP team must comprehend the nature of incoming materials. Below is a sample of questions that help
in hazards identification in these materials:
u C ould these materials harbor harmful u C ould using certain ingredients in amounts
microorganisms, toxins, chemicals, or foreign lower than recommended, or omitting them
objects? Are preservatives or additives used to entirely, lead to hazards due to microbial
eliminate microorganisms, hinder their growth, growth (e.g., nitrite levels in bacon)?
or extend shelf life? u Do the final product’s moisture content and
u Could any ingredients become hazardous if water activity influence microbial growth or
excessively used? (For instance, excessive the survival of pathogens?
nitrites in bacon could pose a chemical risk.) u Does the ingredient list include allergens?
#2 Processing
A similar approach goes to identify hazards in processing steps.
u C ould contamination reach the product during u C

ould microorganisms multiply during this
this processing operation? processing steps?
u Is there a possible cross contamination from
raw materials, leaking valves or splashing?

Hazard Analysis
6C
Resources
Let’s look at hazard analysis and risk assessment
Resources for Hazard Analysis
t’s important to consult additional sources of hazard information, such as reference texts, scientific publications,
reports on food safety-related illnesses, recalls, and complaints.
For further guidance, check out the CFIA’s resource on Conducting a Hazard Analysis. CFIA (2019)
CFIA’s Reference Database for Hazard Identification

The RDHI is a reference database available through the Government of Canada. Take some time to explore it.
GOC (2019)

Risk
6D
Assessment
Let’s explore risk assessment of significant hazards
Consumer Safety
So far, we’ve delved into the three types of hazards and how to detect them in incoming materials and process
steps. Essentially, we’ve been addressing the following question:
What factors could potentially harm our consumers?

Evaluating the Risk of a Significant Hazard
Now, our aim is to move further and assess the likelihood and potential severity of harm resulting from these
identified hazards. This evaluation involves weighing both the probability of an event occurring and the potential
outcomes of that event.
Put simply, the concept of risk assessment answers the fundamental questions:
How probable is it that harm could occur?

How severe would the consequences be if it were to happen?
This assessment provides insight into which

hazards hold significant weight and require
focused attention. The level of risk can be
classified as high, moderate, low, or negligible.
Locations for Establishing Critical Control Points

All this information is invaluable in determining suitable locations for establishing critical control points,
determining the extent of necessary monitoring, and identifying any necessary process or ingredient
adjustments to diminish the potential impact of existing hazards.
Please note that the Advanced HACCP course delves

more deeply into the use of risk assessment matrices and
significant hazards. If you require further information, please
don’t hesitate to visit our website for similar courses.

Control
6E
Measures
Let’s look at control measures
Defining Control Measures
After the hazard analysis is completed, the HACCP team must then consider what control measures, if any, exist
which can be applied for the control of each hazard.
Control measures need to be validated, which is obtaining Control measures are defined as any
evidence that a control measure of combination of control, if actions or activities that can be used to
properly implemented, is capable of controlling the hazard to prevent or eliminate a food safety hazard
a specific outcome. or to reduce it to an acceptable level.
CONTROLLING BIOLOGICAL
HAZARDS
Controlling biological hazards is critical for food safety.

There are many controls that a food processing facility
needs to put in place, including but not limited to:
Temperature & Time Fermentation Packaging Conditions

Controls & pH Control Techniques like vacuum packaging limit the
growth of microorganisms that rely on air
Managing refrigeration and storage times The use of lactic acid-producing bacteria
to proliferate.
effectively helps curb the growth of in yogurt, for instance, creates an acidic
microorganisms by creating unfavorable environment that suppresses the growth
conditions for their proliferation. of other microorganisms that can’t tolerate
such conditions.
Cleaning & Sanitizing
Proper cleaning and sanitization practices
Heating & Cooking eliminate or diminish microbiological
Applying thermal processing for Preservatives contamination.
appropriate durations and temperatures The addition of salt or other preservatives

eliminates or reduces microorganisms to at acceptable levels can hinder
microorganism growth.
Personal Hygiene
safe levels.
Practices
Cooling & Freezing Drying Adhering to strict personal and hygienic
practices reduces the risk of microbiological
Proper cooling and freezing methods Effective drying either employs sufficient contamination.
hinder microbial growth. heat to kill microorganisms or reduces
water content to levels where certain
microorganisms can’t thrive even a lower
temperatures.

CONTROLLING CHEMICAL
HAZARDS
Just like biological hazards, chemical hazards need to be

controlled at your facility. Some common controls for
chemical hazards include:
Supplier Control Storage and Handling Labeling Control

Ensuring raw materials and ingredients Segregation Ensuring the final product is accurately
adhere to specifications, along with vendor labeled with comprehensive ingredient
Properly separating non-food chemicals
certification to verify the absence of information, including disclosure of known
during storage and handling to prevent
harmful chemicals or unsafe levels. allergens.
cross-contamination.
Processing Control Incidental

Maintaining formulation accuracy and
properly managing the use and levels of Contamination Control
food additives during processing. Preventing inadvertent contamination
from chemicals like greases, lubricants,
water and steam treatment substances, and
paints.
CONTROLLING PHYSICAL
HAZARDS
Finally, physical hazards like biological and chemical

hazards have a variety of common controls, here are
some examples:
Supplier Controls Processing Controls Environmental

Imposing specifications for raw materials Maintaining rigorous control over Controls
and ingredients, along with vendor the processing steps to prevent the
Implementing procedures to manage the
certification, to ensure that unacceptable introduction or propagation of physical
facility environment and minimize the
physical hazards or levels are absent. For hazards. In the manufacturing of canned
risk of physical hazards. In a beverage
instance, in a bakery, wheat flour suppliers goods, proper sealing of cans ensures
production plant, ensuring that equipment
must guarantee that there are no foreign that foreign objects can’t enter during the
and machinery are properly maintained
objects like metal fragments in the flour. packaging process.
prevents potential issues like broken pieces
entering the product.

FORM 5: Biological
6F
Hazards Identification
Let’s review HACCP Forms 5: Biological Hazard
Identification
Take a moment to review Form 5.
FORM 5 HAZARD ID
CONTROLLED AT
IDENTIFIED BIOLOGICAL HAZARDS
(control measures)
DATE: APPROVED BY:

Biological Hazards
If you recall during Step 4: Construct a Flow Diagram Describing the Process, the HACCP team put together
HACCP Form 3: Flow Diagram. Each one of the categories listed on that form have corresponding biological
hazards that can be associated with them. Explore those hazards below.
Additionally, there are hazards that are process

step-specific which are marked on our example
by process step with the letter ‘i’. Also take some
time to explore those biological hazards.
FORM 3 FLOW DIAGRAM

1 MUSHROOM
(RAW)
EMPTY CANS 2 DRY INGREDIENTS 3 WATER
(MUNICIPAL) 4
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping
1. Mushrooms 2. Empty Cans 3. Dry 4. Water

(Raw) Possible Biological Hazards: Ingredients (Municipal)
• Might arrive with serious
Possible Biological Hazards: Possible Biological Hazards: Possible Biological Hazards:
internal double seam or
• Presence of clostridium • Could potentially contain • Presence of microorganisms
body plate defects, leading
botulinum, yeast and/or mold. coliform, spore-forming such as coliform, spore
to leakage and post-process
bacteria, or other forming bacteria, viruses, or
contamination.
microorganisms. parasites.
• Could arrive with serious
external double seam, body
plate lacquer coating defects,
or damange, resulting in
leakage and post-process
contamination
Blanching Thermal Processing Cooling Hazards
Hazards Hazards Possible Biological Hazards at cooling:
• Product contamination due to insufficient
Possible Biological Hazards during Possible Biological Hazards during thermal
chlorinated cooling water during
blanching: processing:
contraction of cans.
• Growth of thermophilic bacteria due to • Survival of pathogenic bacteria due to
• Product contamination and leakage
improper cleaning of the blancher. non-validated process.
from excess of chlorine in cooling water
• Post-process contamination with • Contamination from improper flow
causing corrosion.
pathogenic bacteria due to inadequate patterns in processing area, allowing
• Product contamination from insufficient
blanching resulting in insufficient removal heat-processed cans being contaminated
contact time between the chlorine and
of gazes which could cause stress on with unclean water from unprocessed
water during contraction of the cans.
double seams and perforations. baskets of cans.
• Post-process contamination due to the
• Inadequate thermal processing due • Survival of pathogenic due to improper
insufficient or excessive cooling causing
to textural changes from excessive flow patters allowing bypass of thermal
can leakage.
blanching which reduces quality and process.
potential safety issues of the mushrooms. • Survival of pathogenic bacteria after
thermal processing due to excessive time
lapse between closing and retorting could
result in excessive buildup of bacteria.
• Survival of pathogenic bacteria caused
by inadequate heat treatment from not
following time, temperature, and other
critical factors of the scheduled process.

Let’s Review
Let’s Practice
Let’s practice putting the information on HACCP Form 5: Biological Hazard Identification.
1. Matching Question. Which of the following items should go in the ingredients/

materials columns and which should go in the process step columns?
FORM 5 BIOLOGICAL HAZARD IDENTIFICATION

INGREDIENTS/ CONTROLLED AT
MATERIALS (control measures)
PROCESS STEPS
A. P
resence of Clostridium botulinum, yeast or B. G
rowth of thermophilic bacteria due to
molds. improper cleaning of the blancher.


PROCESS STEPS
A. C
ontamination by rodent excrement. B. S
urvival of pathogenic bacteria due to non-
validated process.

3. Matching Question. Which of the following possible biological hazards align to
which of the canned mushroom process steps on the flow diagram?
FORM 3 FLOW DIAGRAM

MUSHROOM WATER
(RAW) (MUNICIPAL)
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping
A. P
ost-process B. S
urvival of pathogenic due C. Post-process
contamination with to improper flow patterns contamination due to
pathogenic bacteria due to allowing bypass of thermal insufficient or excessive
inadequate blanching. process. cooling causing can
leakage.

Before we move on
take a moment to review a filled out example of HACCP Form 5: Biological Hazard Identification:

Controlled at CCP5B
Mushrooms Presence of Clostridium botulinum, yeast or molds
(25.thermal processing)
Controlled at CCP5B
Presence of spores
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

FORM 6: Chemical
6G
Let’s look at HACCP Form 6: Chemical Hazards
Identification
FORM 6 CHEMICAL HAZARD ID

CONTROLLED AT
IDENTIFIED CHEMICAL HAZARDS
(control measures)
DATE: APPROVED BY:

Chemical Hazards
Just as they did for HACCP Form 5: Biological Hazard Identification, the project team will also look at the
chemical hazards related to the food product. Let’s look again at HACCP Form 3: Flow Diagram and evaluate
what chemical hazards may appear in our canned mushrooms example.
Once more, the numbers represent the

ingredient/materials hazards and the ‘i’s represent
the process hazards, but in this case we are
looking specifically at chemical hazards.
FORM 3 FLOW DIAGRAM

1 MUSHROOM
(RAW)
(MUNICIPAL) 4
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping

(Raw) Possible Chemical Hazards: Ingredients (Municipal)
• Could be contaminated with
Possible Chemical Hazards: Possible Chemical Hazards: Possible Chemical Hazards:
grease or oils or cleaning
• Could be potentially • None - No Chemical hazard • Could be contaminated with
chemicals.
contaminated by pesticide associated with the dry dissolved heavy metals or
residues and heat-stable ingredients. toxic substances.
Staphylococcal enterotoxin
from improper handling.

Storing Blanching Hazards
Hazards Possible Chemical Hazards during
blanching:
Possible Chemical Hazards during storing:
• Contamination of mushrooms from
• Contamination from chemical cleaning
cleaning chemical residues.
during cleaning and sanitation
procedures.

Let’s Review
Let’s Practice
Let’s practice putting the information on HACCP Form 6: Chemical Hazards Identification.

FORM 6 CHEMICAL HAZARD IDENTIFICATION

PROCESS STEPS
A. C
ould be contaminated with grease or oils B. C
ontamination of mushrooms from cleaning
or cleaning chemicals. chemical residues.


PROCESS STEPS
A. C
ontamination from chemical cleaning B. C
ontamination by pesticide residues.
during cleaning and sanitation procedures.

3. Matching Question. Which of the following possible chemical hazards align to
which of the canned mushroom process steps on the flow diagram?
FORM 3 FLOW DIAGRAM

MUSHROOM WATER
(RAW) (MUNICIPAL)
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping
A. C
ontamination from chemical cleaning B. C
ontamination of mushrooms from cleaning
during cleaning and sanitation procedures. chemical residues.

Before we move on
Take a moment to review a filled out example of HACCP Form 6: Chemical Hazard Identification:

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

FORM 7: Physical
6H
Let’s look at Form 7: Physical Hazards Identification
FORM 7 PHYSICAL HAZARD ID

CONTROLLED AT
IDENTIFIED PHYSICAL HAZARDS
(control measures)
DATE: APPROVED BY:

Physical Hazards
Finally, just as they did for HACCP Form 5 : Biological Hazard Identification and HACCP Form 6: Chemical
Hazard Identification, the project team will also look at the physical hazards related to the food product. Let’s
look again at HACCP Form 3: Flow Diagram and evaluate what physical hazards may appear in our canned
mushrooms example.
Once more, the numbers represent the

ingredient/materials hazards and the ‘i’s represent
the process hazards, but in this case we are
looking specifically at physical hazards.
FORM 3 FLOW DIAGRAM

1 MUSHROOM
(RAW)
(MUNICIPAL) 4
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping

(Raw) Possible Physical Hazards: Ingredients (Municipal)
• Could be contaminated by
Possible Physical Hazards: Possible Physical Hazards: Possible Physical Hazards:
metal fragments.
• Presence of harmful • Presence of harmful • Presence of hazardous
extraneous materials, such as extraneous materials, such as extraneous material.
glass, metal, plastic, or wood. glass, metal, plastic, or wood.

Inspection/ Slicing/Dicing
Depalletizing Possible Physical Hazards during slicing/
dicing:
Possible Physical Hazards during
• Contamination by metal fragments from
inspection/ depalletizing:
plant machinery.
• Contamination by harmful extraneous
materials

Let’s Review
Let’s Practice
Let’s practice putting the information on HACCP Form 7: Physical Hazards Identification.

FORM 7 PHYSICAL HAZARD IDENTIFICATION

PROCESS STEPS
A. Presence of harmful extraneous materials, B. C

ontamination by metal fragments from
such as glass, metal, plastic, or wood. plant machinery.

2. Matching Question. Which of the following possible physical hazards align to which
of the canned mushroom process steps on the flow diagram?
FORM 3 FLOW DIAGRAM

MUSHROOM WATER
(RAW) (MUNICIPAL)
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping
A. C
ontamination by harmful extraneous B. C
ontamination by metal fragments from
materials. plant machinery.

Before we move on
Take a moment to review a filled out example of HACCP Form 7: Physical Hazard Identification:
FORM 7 PHYSCIAL HAZARD IDENTIFICATION

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
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

Revising
6I
Other Forms
Let’s look at the form revision process
Making Updates
At the end of HACCP Step 6: Conduct Hazard Analysis and Define Control Measures, the HACCP Team has to
go back to HACCP Form 2: Product Ingredients and Incoming Materials and HACCP Form 3: Flow Diagram
and make some updates.
FORM 3 FLOW DIAGRAM

1 MUSHROOM 2 3 WATER 4
(RAW) (MUNICIPAL)
20. Weighing
21. Water Filling
22. Head-Spacing
26. Cooling
29. Shipping

(Raw) B Biological Hazard Ingredients (Municipal)
C Chemical Hazard
B Biological Hazard SALT B Biological Hazard
P Physical Hazard
C Chemical Hazard B Biological Hazard C Chemical Hazard
P Physical Hazard C Chemical Hazard
ASCORBIC ACID
B Biological Hazard
C Chemical Hazard
CITRIC ACID
B Biological Hazard
C Chemical Hazard

FORM 3 FLOW DIAGRAM
MUSHROOM WATER
(RAW) (MUNICIPAL)
P 1. Receiving 1. Receiving P 3. Receiving P 4. Intaking
B,P 5. Storing 6. Storing B,C,P 7. Storing B,C,P

B,C 11. Blanching 12. Conveying B,P 13. Mixing
C,P 16. Slicing/Dicing 17. Brine Injecting
18.Foreign object removing 19. Filling C,P

20. Weighing B
21. Water Filling B
22. Head-Spacing B
23. End Feeding/closing/Inspecting B,C 24. Chlorinating
25. Thermal Processing B

26. Cooling B
27. Conveying/Drying B
28. Labelling/Storing B
29. Shipping B
B - BIOLOGICAL HAZARD
C - CHEMICAL HAZARD
P - PHYSICAL HAZARD

B P
Takeaways A Critical
C
Great job! You’ve come to Step

the end of this segment Hazard analysis is the most crucial
steps of the HACCP plan.
B P B P B P
C C C
Defining Hazards are Incoming

Hazards Everywhere Materials
A ‘Hazard’ is a biological, chemical We should remember that The HACCP team must
or physical agent in, or condition anything around us is potentially comprehend the nature of
of, food with the potential to cause hazardous to the manufacture of incoming materials.
an adverse health effect. food products.
P B P
C
CFIA’s Reference Significant Risk

Database for Hazard Hazards Assessments
Identification The significance of a hazard is These assessments provide insight
Helps to identify hazards dependent on the likelihood (how into which hazards hold significant
associated with incoming materials, probable it is) and the potential weight and require focused
process steps and others. severity of the potential hazard. attention. The level of risk can be
classified as high, moderate, low,
or negligible.
Control HACCP Revising HACCP

Measures Forms 5-7 Forms 2-3
Control measures are defined as These forms are crucial for After the completion of HACCP
any actions or activities that can documenting the biological, forms 5-7, the HACCP team must
be used to prevent or eliminate a chemical, and physical hazards. go and revise Forms 2-3 with
food safety hazard or to reduce it symbols identifying the specific
to an acceptable level.. hazard types.

Step 7
Determine
Critical Control
Points
Learning
Objectives
By the end of Step 7: Determine Critical Control Points you should be able to:
Describe the high level processes the HACCP team follows during HACCP Step 7: Critical
1 Control Points.
2 Describe the process of using decision trees during the HACCP process.
Describe the process required to fill out HACCP Form 8: CCP Determination and HACCP
3 Form 9: Unaddressed Hazards.
4 Describe the process of revising HACCP Forms 5-7 in light of the findings on HACCP Form 8
& 9.
Preventing or
7A
Eliminating Food Safety Hazards
Let’s look at the importance of hazard prevention and
elimination
Controlling Hazards
Controlling hazards can be achieved
through two approaches:
By using a decision
By implementing a tree to determine
GMP program. if a step qualifies
as a CCP.
HACCP Forms Management at Step 7

At HACCP Step 7: Determine Critical Control Points, the HACCP team‘s key tasks are:
1 Determining the CCP by using a decision tree.
2 Completing HACCP Form 8: CCP Determination and HACCP Form 9: Unaddressed Hazards.
Updating and reviewing HACCP Form 5: Biological Hazard Identification, HACCP Form
3 6: Chemical Hazard Identification, and HACCP Form 7: Physical Hazard Identification to
confirm whether the hazards identified can be effectively controlled by existing GMPs or if
more specific control and monitoring are required.
Following this step, the HACCP team

also conducts an onsite verification to
ensure that these control measures
are indeed working.

Let’s review HACCP Forms 5-9

Controlled at CCP5B
Controlled at CCP5B
Presence of spores
Dry ingredients
GMPs Pest control
program
Controlled at CCP4B
(23.End feeding/
closing/inspection)
Empty cans and ends
(9. can inspecting/
depalletizing)
PROCESS STEPS
Refrigerated
mushroom storing
GMPs Sanitation &
Equipment


GMPs Receiving,
transport
PROCESS STEPS
Refrigerated
mushroom storing

GMPs purchasing
delivering
GMPs Receiving,
GMPs Receiving,
PROCESS STEPS

depalletizing
dicing

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
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
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

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

Using Decisions Trees
7B
FORM 8
Let’s look at how to work with decision trees in the
HACCP process
Reading a Decisions Tree
The decision tree consists of a systematic series of questions designed to assess objectively whether a CCP is
required to control the identified hazard at a specific operation of the process. Let’s look at the four question
listed in our canned mushroom example!
It is the responsibility of the

HACCP team to carefully follow
the Decision tree’s answer to
each question posed.
Q1 Do control preventive
measure(s) exist?
Modify step,
No process or
Yes product
Is control at this step Yes

necessary for safety?
No Not a CCP Stop
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

Working through the Decision Tree
Let’s look at how the decision tree can guide the HACCP team as they work through it to make critical decisions
about the HACCP program in the food facility.
Question 1
Do control preventive measure(s) exist?
Q1 Do control preventive
measure(s) exist?
Modify step,
2 No process or
1 Yes product
Is control at this step Yes

necessary for safety?
4
3 No Not a CCP Stop
1. YES 2. NO 3. NO 4. YES
If the HACCP team’s answer If the HACCP team’s answer to Note that if the control isn’t If the answer to “Is the control
to Q1 is yes, then they can go Q1 is no, then they must ask necessary for safety than it is at this step necessary for
directly to question 2 on the several questions in succession not a CPP. safety?” is yes, the HACCP
tree diagram. the first being: “Is the control at team must modify the step,
this step necessary for safety?” process, or product.
Basically within the context of all HACCP plans, the answer to question 1 is almost universally, “YES”. This is due
to the inherent presence of control measures establish with the GMPs, which actively protect and prevent the
food from hazards.
Question 2
Is the step specifically designed to eliminate or reduce the likely occurrence of a hazard to an acceptable level?
Q2
Is the step specifically designed to
eliminate or reduce likely or occurrence Yes 2
of a hazard to an acceptable level?
1 No
Q3
3 Critical control point

1. NO 2. YES 3. CCP
If the HACCP team’s answer to If the HACCP team’s answer to This box represents a critical
Q2 is no, then they must go to Q2 is yes, then this is a CCP. control point.
question 3 on the tree diagram.
Additional examples include the chlorination of cooling water, which serves to control both biological and
chemical hazards. Another instance is to use metal detector to eliminate physical hazard/metals fragment.
Question 3
Could contamination with identified hazards occur in excess of acceptable level(s) or could these increase to
unacceptable levels?
Q3
1 Yes 2 No Not a CCP Stop
Q4
1. YES 2. NO
If the HACCP team’s answer to If the HACCP team’s answer
Q3 is yes, then they must go to to Q3 is no, then this is a not a
question 4 on the tree diagram. CCP and stop.
For example, cooling water chlorination. Could contamination with identified hazard(s) occur in excess of
acceptable level(s) or could these increase to unacceptable levels?
The answer is YES! If the cooling water chlorination is not properly maintained, there is a risk of excessive
bacterial growth. Go to question 4 for further assessment.
Question 4
Will a subsequent step eliminate identified hazard(s) or reduce likely occurrence to an acceptable level?
Q4
1 Yes 2 No Critical control point

3
Not a CCP Stop

1. YES 2. NO 3. CCP
If the HACCP team’s answer to If the HACCP team’s answer to This box represents a critical
Q4 is yes, this is not a CCP and Q4 is no, then this is a CCP. control point.
the HACCP team stops.
For example, milk pasteurization at 75 degrees Celsius for 10 minutes.
The answer for Q3 is yes. Will a subsequent step eliminate the hazard or reduce likely occurrence to an
acceptable level? The answer is no and therefore, the pasteurization of milk is CCP.

Form 8 Practical
7C
Examples Canned Mushrooms
Let’s go back to our canned mushroom example
Form 8: CCP Determination
To begin let’s look at the first and last columns of HACCP Form 8: CCP Determination.

INCOMING
1 PROCESS IDENTIFIED HAZARD
QUESTION 1 Q2 Q3 Q4 CCP # 2
STEP
Biological Yes Yes
No Yes
Chemical No
Mushrooms Physical
and delivering)
Biological
1. First Column 2. Final Column

This method of identification
was designed to number CCPs
The first column on Form 8 is The final column on Form 8 is in a sequence that’s separate
where we identify the CCPs. where we identify the CCPs. from the operation numbers. It
These CCPs are given a number These CCPs are given a number helps users of the HACCP plan
and categorized as “B” for and categorized as “B” for easily see which type of hazard
biological, “C” for chemical, and biological, “C” for chemical, and needs controlling in each
“P” for physical hazards. “P” for physical hazards. process step.
The 4 Questions on Form 8

Now let’s look at how the four questions from the decision tree are documented on HACCP Form 8: CCP
Determination. For the incoming material mushrooms, the HACCP team has identified four hazards below.
They have begun logging their answers to each of the 4 questions on the decision tree:
Q1 Q3
Do control preventive Could contamination with identified hazard(s)
measure(s) exist? occur in excess or acceptable level(s) or
could these increase to unacceptable levels?
Q2 Q4
Is the step specifically designed to Will a subsequent step eliminate
eliminate or reduce likely or occurrence identified hazard(s) or reduce likely
of a hazard to an acceptable level? occurrence to an acceptable level?

INCOMING
STEP
1 Biological
Yes
Heat treatment
No Yes
Yes
25 Thermal processing
Chemical
Pesticides Hat stable toxins
No
control is at farms/growers
2
Mushrooms Physical
and delivering)
Biological
Example 1. acceptable level(s) or could

these increase to unacceptable Example 2.
The first hazard on the list is for levels? The second hazard on the The decision tree stops here
incoming mushrooms: biological Yes list for incoming mushrooms: and moves us to the next
hazard, presence of Clostridium Chemical,Pesticides Hat stable hazard. To complete the hazard
botulinum, yeast or molds. Question 4: Will a subsequent toxins. analysis for hazards controlled
step eliminate identified outside the facility, the HACCP
Question 1: Do control hazard(s) or reduce likely Question 1: Do control team must complete HACCP
preventive measure(s) exist? occurrence to an acceptable preventive measure(s) exist? Form 9: Unaddressed Hazards.
Yes - Heat treatment level? No - this hazard is controlled
Yes - We have step #25, at the farm through an on-farm
Question 2: Is the step thermal processing, which is safety program.
specifically designed to specifically designed to reduce
eliminate or reduce likely or the number of pathogenic
occurrence of a hazard to an hazards to an acceptable level.
acceptable level?
No Therefore, mushrooms
as incoming ingredients
Question 3: Could are not considered CCPs.
contamination with identified
hazard(s) occur in excess or

Review HACCP Form 8: CCP Determination, for canned mushrooms.

INCOMING
STEP
Biological Yes Yes
No Yes
Chemical No
Mushrooms Physical
and delivering)
Biological
Biological Yes Yes
Dry Ingredients
Physical
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
seam defects
Biological Yes
Chemical
Yes
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
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

Let’s Review
Let’s Practice
Let’s practice using the decision tree questions on HACCP Form 8: CCP Determination.
Fill in the blanks.

Which decision tree question (1 - 4) was utilized by the HACCP team?
Q1 Q3
Do control preventive Could contamination with identified hazard(s)
measure(s) exist? occur in excess or acceptable level(s) or
could these increase to unacceptable levels?
Q2 Q4
Is the step specifically designed to Will a subsequent step eliminate
eliminate or reduce likely or occurrence identified hazard(s) or reduce likely
of a hazard to an acceptable level? occurrence to an acceptable level?
1. Based on Form 8, what answers were provided by the HACCP team on decision tree
questions 1 - 4 for the biological hazard on dry ingredients?

INCOMING
STEP
Biological Yes Yes
Dry Ingredients
Physical
and delivering)
1. YES we employ heat treatment as part of the process.

2. YES step 25 thermal processing designed to reduce the # of pathogenic hazards.
3. YES biological hazards can multiply and reach unacceptable levels without controls.
4. NO this is not a step, proceed to question 3.

questions 1 - 4 for the empty cans and ends, biological hazard: post process contamination
from serious internal seam defects?

INCOMING
STEP
Biological
Yes Yes
seam defects
Biological Yes
Chemical
Yes
depalletizing
1. YES there is a potential increase in the hazard.

2. YES there is a subsequent step #23 which eliminates the hazard.
3. NO this is not a designated step.
4. YES preventative measures exist. It is inspection.
questions 1 - 4 for the biological hazard: post process contamination from serious external
defects.

INCOMING
STEP
Biological
Yes Yes
seam defects
Biological Yes
Chemical
Yes
depalletizing
1. YES preventative measures exist. It is in inspection.

2. YES the subsequent Step #9, where we identify/remove serious external defects.
3. YES there is a potential increase in the hazard.
4. NO this is NOT a designated step.

questions 1 - 4 for the chemical hazard: cleaning chemicals.

INCOMING
STEP
Biological
Yes Yes
seam defects
Biological Yes
Chemical
Yes
depalletizing
1. N/A
2. N/A
3. N/A
4. Fully controlled by GMPs through Sanitation Program.
For the final physical hazards: harmful extraneous materials, GMPs alone are not sufficient.
There is a specific step, Step 9 (inspecting and depalletizing), designed to help eliminate this risk by identifying
and removing harmful extraneous materials from the process.
Hazards Controlled by other Programs
DRY
DRY
INGREDIENTS.
INGREDIENTS.
PHYSICAL: WATER.
BIOLOGICAL:
PRESENCE OF BIOLOGICAL &
CONTAMINATION
HARMFUL CHEMICAL
BY RODENT
EXTRANEOUS HAZARDS.
EXCREMENT.
MATERIALS.
This hazard is fully controlled This hazard is fully controlled These are fully controlled by
by GMPs through the pest by the GMPs through GMPs through facility and
control program. purchasing and delivering water supply requirements.
programs which include
supplier verification programs.

Unaddressed Hazards
7D
FORM 9
Now let’s look at addressing uncontrolled hazards
Filling Out HACCP Form 9: Unaddressed Hazards
Mushrooms as an incoming material could contain pesticides residues and/or heat stable staphylococcal
enterotoxin.
The HACCP team should carefully document this

on HACCP Form 9: Unaddressed Hazards with
this information. In this case they will make note
of the On Farm Food Safety Program.
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

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

controlled at the farm. 2. Heat stable The following methods can help
controlling and preventing this
As mentioned earlier, staphylococcal hazard:
Mushrooms as an incoming
materials could contain
To complete the form, 4
identified methods can help: enterotoxin • Implement on-farm food
safety program.
pesticides residues. • Implement on-farm food The same goes to the presence • Training persons on handling
safety program. of heat stable toxin in of raw product.
Question 1: Do control • Training persons who apply mushrooms. • Ensuring growers’ use of
preventive measure(s) exist? pesticides. proper, effective refrigeration
No - This chemical hazard is • Auditing growers’ application Question 1: Do control equipment
controlled at the farm through of pesticides and records preventive measure(s) exist? • Ensuring prompt delivery of
an on-farm safety program. thereof. No - This chemical hazard is raw product after picking.
There is no specific step that • Requiring periodic pesticide controlled at the farm through
can remove pesticides from the residue analysis report. an on-farm safety program.
mushrooms. Therefore, this

Revising
7E
Other Forms
Now let’s look at adding the controls columns to
Forms 5-7
Documenting the Controls
Take some time to review HACCP Forms 5-7 one more time. Take some time to carefully review the controlled
at / controlled measures column. Note this column is filled out after the HACCP team thoroughly and
systematically completes HACCP Forms 8 & 9.

Controlled at CCP5B
Controlled at CCP5B
Presence of spores
Dry ingredients
GMPs Pest control
program
Controlled at CCP4B
(23.End feeding/
closing/inspection)
Empty cans and ends
(9. can inspecting/
depalletizing)
PROCESS STEPS
Refrigerated
mushroom storing
GMPs Sanitation &
Equipment

Clostridium Water Process Step 5: by GMPs Sanitation and
equipement maintenance
Botulinum • Could potentially contain Refrigerated program.
coliform, spore forming
• Mushrooms: Presence of Mushroom
Clostridium botulinum, yeast
bacteria, or other
Process Step 25:
microorganisms. Storing
or molds. As explained while
completeing Form 8, this
• This is controlled through
• Multiplication or increase
Thermal
hazard is controlled at CCP5B
GMPs Premises and water
supply requirements. of bacterial load due to Processing
(thermal processing step #25 improper storage temperature • The biological hazards
of the flow diagram). & humidity. associated with this step
• This hazard is controlled by were fully explained while
Dry Hazards in the GMPs equipment and
equipment maintenance
completing Form 8.
Ingredients Empty Cans program.

• To complete this form, we just
need to add GMPs process
• Presence of spores: this and Ends control and records as well as
hazard is controlled at CCP5B • These are either controlled Process Step 11: CCP5B.
(thermal processing). by CCP4B (23.End feeding/ Mushroom
• Contamination by rodent closing/inspection) or
excrement is controlled by CCP1BP (can inspecting/ Blanching
GMPs Pest control program. depalletizing) • The biological hazards
• Refer to Form 8 if you require associated to mushroom
more clarification on this. blanching are controlled

GMPs Receiving,
transport
PROCESS STEPS
Refrigerated
mushroom storing
Mushrooms Water Empty Cans Refridgerated

• The HACCP team added • Chemical hazards in water are and Ends Mushroom
these items on the HACCP controlled through GMPs
Form 9. Refer to that form premises and water supply
• Chemical hazards in empty Storing
cans and ends are controlled
for more information as requirement. • Chemical hazards associated
through GMPs receiving,
needed. with Process step 5:
storage and transport
Refrigerated mushroom
requirement.
storing: Contamination from
chemical cleaning during
cleaning and sanitation
procedures, is controlled by
the GMPs - sanitation.

GMPs purchasing
delivering
GMPs Receiving,
GMPs Receiving,
PROCESS STEPS

depalletizing
dicing
Most Physical Process 9: Can 16 Mushroom

Hazards Inspecting/ Slicing/Dicing
• As you can notice most of depalletizing • As for process step #16
the physical hazards are mushroom slicing/dicing,
• Process step #9 can
controlled either by the the hazard is controlled
inspection and depalletizing:
GMPs, purchasing, receiving, by the GMPs - equipment
the hazard is controlled by
storing and delivering maintenance program.
the CCP1BP. Refer to Form 8
programs or premises.
for further clarification.

Takeaways
Great job!
You’ve covered Step 7: Determine Critical Control
Points
Hazard Decision
Control Trees
Controlling hazards can be Decision trees have 4 important
achieved through 2 approaches: questions the team works to
implementing a GMP program and answer. Each question leads the
using a decision tree to determine team to a different intervention
if a step qualifies as a CCP based on if the answer is yes or no
to the questions.

Step 8
Establish Validated
Critical Limits for
Each CCP
Learning
Objectives
By the end of Step 8: Establish Validated Critical Limits for Each CCP you should be able to:
Describe what makes a critical limit valid and credible resources for establishing critical limits
1 for each CCP.
2 Describe the process of filling out HACCP Form 10: HACCP Plan.

Validated Critical
8A
Limits
Let’s look at critical limits
Defining Critical Limits
A critical limit is the monitored limit or threshold that, if exceeded, means the CCP is no longer effective.
Consequently, this breach means that the identified hazard may be realized or out of control situation and likely
an unsafe food has been produced.
Important aspects of Critical Limits
Acceptable vs. Measurable &

Unacceptable Observable
In essence, this limit serves as the Critical limits should be measurable

line that distinguishes acceptability or observable.
from unacceptability.

Critical Limits Criteria
Critical limits criteria are often used, including minimum and/ or maximum values for critical parameters
associated with the control measures. These parameters may involve measurements such as the seven examples
below.
For Example;
Temperature, time, Pasteurization’s temperature and
Moisture level minimum exposure time is 75degree Celsius for at
duration least 15 seconds
Physical product
Available chlorine
dimensions
For Example;
Metal fragments larger than
0.5 mm
Conveyor belt speed Water activity
Maintaining these parameters
within specified boundaries is
Viscosity crucial, as it ensures the safety
conductance, flow of the product.
rate etc.
Resources for Critical Limits

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.
Examples
In the process of establishing critical limits, information from various sources can be gathered. Examples
including but not limited to the following:
Scientific Regulatory Experimental

publications and requirements and studies conducted
research data guidelines specifically to validate
these critical limits
If there is no existing published evidence to support that the proposed critical limits are effective in controlling
hazards at a CCP, it becomes necessary to conduct validation exercises. These may include mathematical and/or
microbiological modeling, supported by challenge testing or other relevant studies. The goal is to ensure that the
chosen critical limits are valid and effective in maintaining control over the hazard.
For further information, consult more advanced HACCP courses, where discuss further these details.

HACCP Plan
8B
FORM 10
Let’s look at the HACCP Plan
Take a moment to review HACCP Form 10: HACCP Plan
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
and temperature of heat temperature/ Real time monitoring Continuously QC
5 minutes
treatment: thermograph
Step 9: Step 25: black once the heat process has

occurred.
critical limits descriptions
related to the three hazards
Inspecting/ Thermal 2. Time laps between closing associated with CCP Thermal
Depalletizing Processing and retorting: In this example,
we’ll set a maximum critical
Processing.
The HACCP team have The biological hazards limit of 30 seconds between All these critical limits are
previously identified that can previously identified in the sealing and the retorting measurable and objective, as
inspecting/depalletizing step is other forms are survival of process to ensure safety. required by the definition of the
the first CCP for both biological pathogenic bacteria due to Please note that I used this critical limit.
and physical hazard, and we’ve bypass of thermal process, critical limit just as an example;
described these hazards in the excessive time laps between this type of critical limit may
previous forms. closing and retorting or vary for each production line
inadequate implementation of step.
The Critical limits for this heat treatment factors.
CCP is ensuring there are no 3. Time and temperature of
incorrect, damaged or defective The critical limits of these heat treatment: Once again
cans. This applies to both hazards are: fort the sake of this example,
biological as well as the physical we’ll set the critical limit at 110
hazards. 1. For bypass of thermal degrees celsisus for 5 minutes.
process: to confirm that the Again, this critical limit is very
The HACCP team has thermal process has taken unique and specific to each
established a “Zero Tolerance” place, we use a heat-sensitive process setup, can size and
policy, meaning there’s no room indicator that changes color. other variables.
for any damaged cans on the In this example, we’ll use a
production line. transparent indicator that turns Now, you have learned about

Takeaways
Great job!
You’ve covered Step 8: Establish Validated Critical
Limits for Each CCP
Defining Acceptable vs.

Critical Limits Unacceptable
A critical limit is the monitored In essence, this limit serves as the
limit or threshold that, if exceeded, line that distinguishes acceptability
means the CCP is no longer from unacceptability.
effective. Consequently, this
breach means that the identified
hazard may be realized or out
of control situation and likely an
unsafe food has been produced.
Measurable and Scientifically

Observable Validated
Critical limits should be Critical limits for control measures
measurable and observable. 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.

Step 9
Establish a
Monitoring System
for Each CCP
Learning
Objectives
By the end of Step 9: Establish a Monitoring System for Each CCP you should be able to:
1 Define ‘monitoring of CCPs’.
Describe the fields on HACCP Form 10: HACCP Plan.

2

Monitoring
9A
CCPs
Let’s define the monitoring of CCPs in HACCP
Developing and Implementing a Monitoring System
Having established the critical limits, now the HACCP team must now develop and implement a monitoring
system to ensure that the control is effective. Monitoring of CCPs is defined as the scheduled measurement or
observation at a CCP relative to its critical limits.
The monitoring procedure/method and frequency should be capable of timely detection of any deviation or
failure to remain whin critical limits, to allow timely isolation and evaluation of the product and avoid product
waste.
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 should include details on:
What steps are involved

Referred to as the ‘How’
What
to monitor
When the steps should be
performed during the process
Who should perform
the monitoring
How often -Meaning the timing of
when during the process and the
frequency of monitoring

Let’s look at some examples of monitoring procedures
WHAT will be monitored
u M onitoring involves measuring a characteristic u M
onitoring may also involve if a control
of either the product or the process to measure at a CCP is being implemented such
determine compliance with a critical limit. as visual examination of sealed cans, or visual
u For example, measurements of the time and examination of vendor’s certificates of analysis.
temperature during a cooking process, checking
temperature of a cold-storage, checking the
pH of an acidified product or water activity in a
dried product.
HOW will critical limits and preventive measures be monitored?

u M onitoring procedures must provide rapid – thermometers, clocks, scales, pH meters,
real time- results and avoid involving lengthy water activity meters and chemical analytical
analytical procedures. This approach enables equipment.
us to take corrective actions if a deviation from u To maintain accuracy, it is essential to calibrate
a critical limit is detected. this equipment periodically. This must be
u Therefore, physical, and chemical measurement covered under the GMPs – equipment
(not the microbiological one) are done rapidly, maintenance program.
and they are often relating to microbiological u Finally, the monitoring procedure must specify
control of the process. the details relevant to the type of monitoring
u The effectiveness of these measurements being performed. For instance, check the
is guaranteed by using calibrated measuring coldest point in the heat process CCP.
equipment. This includes calibrated
HOW frequent will the producer be?

u F requency can be continuous when technology u Once assigned, the responsible individual
allows it or non-continuous. must have adequate competencies, skills, and
u Question such as “how much does the process knowledge. They must receive periodic training
typically vary” can help determine the correct on the monitoring procedure and have the
monitoring frequency? authority to take appropriate action as defined
u Who will monitor the CCP is very crucial: in the HACCP plan. They must report critical
• Individuals assigned to monitor CCPs limit deviation immediately.
may include line personnel, equipment
operators, supervisors, Quality Controller
or Quality Assurance personnel.

HACCP Plan
9B
FORM 10
Let’s look at the fields on HACCP Form 10, once again
FORM 10 HACCP PLAN

CANNED MUSHROOMS
HAZARD

Empty container
Depalletizer report

QC to
as per authorized
5 minutes
Step 9: and quality of the thermal

processing.
of the containers and their
subsequent retorting. This
quality controller in case the
temperature deviates from
Inspecting/ check is performed every 1 critical limits of 110 degrees
Depalletizing 1. Survival of pathogens due to
bypass of thermal process - and
hour. It ensures that there is
no unnecessary delay between
celsisus, and if the time is less
or above 5 minutes.
Monitoring procedure for the critical limit is the change sealing and the thermal In summary, the monitoring
CCPIBP Can inspecting in the heat-sensitive indicator treatment, as this delay is procedure for CCP#5 - thermal
and depalletizing includes tape : The quality controller considered a deviation and processing encompasses checks
continuous visual checking by is responsible for regularly trigger corrective actions. on heat-sensitive indicator
depalletizer operator. inspecting the heat-sensitive tape, the time lapse between
indicator tape. This check 3. Survival of pathogens due to sealing and retorting, and
occurs every two hours during inadequate heat/thermal continuous monitoring of time
Step 25: the thermal processing. The processing time and and temperature data via the
Thermal indicator tape serves as a
visual confirmation that the
temperature: the quality
controller monitors
thermograph. These measures
are implemented to mitigate
Processing required temperature has been continuously the thermograph, the three hazards associated
Now, let’s proceed with the reached and maintained in the which records both time and with thermal processing and
completion of form 10 for processing equipment. temperature data, in an ongoing ensure the safe and quality
CCP#5B, step 25 of the flow process throughout the thermal production of processed goods.
diagram “thermal processing”. 2. Survival of pathogens due to processing operation. This
The monitoring procedure for time laps between closing real-time monitoring is crucial
CCP5B involves several critical and retorting: The quality for maintaining quality and
checks to ensure the safety controller also monitors the safety standards. An alarm
time lapse between the sealing system is in place to alert the

Takeaways
Great job!
You’ve covered Step 9: Establish a Monitoring System
for Each CCP
Defining Monitoring Monitoring HACCP Form 10:

of CCPs Deviations HACCP Plan
Monitoring of CCPs is defined as Where possible, process This form includes critical
the scheduled measurement or adjustments should be made when questions (what, how, when
observation at a CCP relative to its monitoring results indicate a trend (frequency), and who).
critical limits.. towards a deviation at a CCP.
The Adjustments should be taken
before a deviation occurs.

Step 10
Establish
Corrective Action
Learning
Objectives
By the end of Step 10: Establish Corrective Action you should be able to:
Describe the need for specific written corrective actions developed for CCP in the HACCP
1 plan, to effectively respond to deviations when they occur.
2 Differentiate product-related and process-related corrective actions.
Recognize the importance of using corrective actions to bring CCPs under control and to
3
prevent unsafe food from reaching consumers.

Actions
10A
to Take
Let’s look at actions to take in response to deviations
Two Types of Corrective Action
Having carried out monitoring procedures to assess whether or not a critical limit has been exceeded, now it is
crucial to detail what action to take in this “out-of-control” situation.
Therefore, Corrective actions should be developed for each CCP in the HACCP plan in order to respond to
deviations from the Critical Limit when they occur.
CORRECTIVE ACTIONS
Corrective Actions for a critical limit deviation
can be categorized into two types.
1 2
CAUSE SPECIFIC
Target the root cause CORRECTIVE ACTIONS
of the problem which Corrective actions for a
minimizes the potential for critical limit deviation can
the deviation to reoccur. be categorized into two
For example, repairing types.
malfunctioning equipment.
REWORK DISPOSAL Short Long

Term Term

Corrective Action
10B
Records FORM 10
Let’s consider the short term and long term actions in
responding to deviations
Documenting Corrective Actions
It is important to emphasize that corrective actions must effectively address the identified hazard, encompass
both short term actions to address the immediate situation and long-term actions designed to prevent the
recurrence of such deviation.
The Details of 1 The Root Cause Analysis
Corrective Actions
Details of the corrective actions 2 The Product Disposition
3
should be documented in the
HACCP records, including: Reproducing Procedures
The HACCP team must also conduct

a periodic review of Corrective
Actions to identify trends and ensure
corrective actions are effective.

Let’s look at where the corrective action procedures
are documented on HACCP Form 10: HACCP Plan
FORM 10 HACCP PLAN

CANNED MUSHROOMS
HAZARD

Empty container
Depalletizer report

QC to
as per authorized
5 minutes
Step 9: 1. Must remove any incorrect Step 25: The Retort Operator must
Inspecting/ cans, cans with serious defects Thermal adjust time/temperature
Depalletizing and damaged cans.
Processing of cook as per authorized
contingency Correction Action
The HACCP team now 2. Must inform QC The HACCP for CCP#5B Plan.
completes the correction action “thermal processing”, also
column on HACCP Form 10: 3. Must hold remainder of fills in the corrective action
HACCP Plan. pallets. procedures.
Corrective actions for The QC must investigate In case of Critical limits

CCPIBP Can inspecting and further by performing root deviation, QC must investigate
depalletizing includes 4 actions: cause analysis of the cans all product suspected of
purchasing, storing, handling deviation, and conduct a root
The first three actions procedures to prevent cause analysis to prevent
are performed by the Can nonoccurence of the problem. nonoccurence.
Depalletizer Operator who:

Takeaways
Great job!
You’ve covered Step 10: HACCP Plan
Written Product or The Purpose of

Corrective Actions Process Related Corrective Actions
Specific written actions must be Corrective actions can be product- It is important to recognize that
developed for each CCP in the related or process-related. corrective actions ensure that the
HACCP Plan, in order to effectively For the product-related they CCPs have been brought under
respond to deviations when they are necessary pre-determined control and food that is potentially
occur. actions, or in sometimes external unsafe is handled appropriately
experts are required to determine and does not reach consumers.
the product’s safety and best
corrective actions. For process
corrective actions, they restore
control over the process and
prevent reoccurrence of the
deviation.

Step 11
Validate
the HACCP Plan
and Then Establish
Verification
Procedure
Learning Objectives
By the end of Step 11: Validate the HACCP Plan and Then Establish Verification Procedure you
should be able to:
1 Distinguish between verification and validation in HACCP.
2 Describe the HACCP validation process.
3 Describe the HACCP verification process.
4 List possible triggers for a HACCP Plan review.
5 Describe the requirements for verification documents and records.

Verification vs.
11A
Validation
Let’s review the definitions for verification and
validation
Verification Validation
Verification is the application of Validation in principle #6 concerns

methods, procedures, tests, and the HACCP plan as a whole –
other evaluations, in addition to Everything written in Form 10 must
monitoring, to determine whether be rigorously tested or challenged
a control measures is or has been to confirm the plan’s effectiveness.
operating as intended.
u To sum it up, validation is about
u In principles #1 and 2: we re- proving effectiveness, while
ferred to validation of control verification is ensuing that
measures. Validation of control what’s written down is actually
measures is defined as: obtain- happening in real life.
ing evidence that a control mea-
sure of combination of control, if u In any case, validation
properly implemented, is capa- is obtaining evidence of
ble of controlling the hazard to a effectiveness while verification
specific outcome. is obtaining evidence that what
is written is implemented in the
u In principle #3, we studied how real life.
to establish a validated critical
limits.

The Validation
11B
Process
Let’s look at the HACCP validation process
Validation Before the Implementation
Validation of HACCP plan must occur before the implementation of HACCP plan, even though sometimes, we
need to implement the plan in order to have data for validation. The validation of HACCP plan consists of making
sure that the following elements collectively enable the control of significant hazard and ensure the food is safe
for consumer.
These elements are:
u Identification of hazards u Corrective actions, include the process-related
u Critical control points and product-related, long and short term.
u Critical limits u Frequency and type of verification and the type
u Control measures of information to be recorded.
u Monitoring procedure, including what, how, u Let go of expectation. You’ve done your best to
when, and who. prepare. Now, let go. There’s no one way your
life should unfold. Enjoy the journey.
Methods for Validating the HACCP Plan

The validation of control measures and their critical limits could include the following:
Using
Review of Using Conducting guidance
scientific mathematical challenging developed by
literature models studies authoritative
sources
For Further Information

Guidelines for the Validation of Food Safety Control Measures FAO (2018)

The Verification
11C
Process
Let’s look at the HACCP verification process
Continuous Adherence
Verification procedures are those that demonstrate the continuous adherence to the HACCP plan, ensuring the
ongoing control of hazards. These procedures also confirm that the control measures effectively manage the
hazards as intended.
Verification involves periodically

assessing the adequacy of the
HACCP system and conducting
reviews when changes occur.
Examples of Verification Procedures

Here are some examples of verification procedures:
Monitor Accuracy of Control

Records Measurements Measures
Monitoring records to confirm Calibrate or check the accuracy
Observe that control measures
that CCPs are kept under control. of measurement instruments
are being conducted in
used for monitoring and/or
accordance with the HACCP Plan.
verification.
Testing
Plan Monitoring System
Plan Review
Establish sampling and testing
plan for microorganisms Establish facility environment Review the HACCP system,
(pathogens or their indicators), and monitoring plan for microbial including the hazard analysis and
chemical hazards such as contaminants such as Listeria. the HACCP plan, either through
mycotoxins or physical hazards internal audit or third-party
such as metal fragments, to verify audits.
product safety.

Triggering a HACCP
11D
Plan Review
Let’s look at what might trigger a HACCP Plan Review
Audits
Both internal and third-party audits can prompt HACCP plan revisions. Typically, every six months after
implementation, the HACCP team conducts a review. Any changes with potential food safety impacts warrant a
HACCP system review and, when needed, HACCP plan revalidation. Document control procedures are used to
manage outdated documents.
HACCP Triggers
Let’s look at some specific examples of what might trigger a HACCP review.
Trigger 1
New Product Line
Introducing a new product line, which demands either a new product-specific HACCP plan or modifications to
incorporate variations.
For instance, if you had a HACCP plan for chocolate bars and are now adding a new product line for pistachio
chocolate bars with different hazards, a review and a validation of the new plan is now required.
Trigger 2
Process Amendment
If a process changes, the HACCP plan no longer aligns with the production method, including altered flow
diagrams. This impacts the hazard analysis, necessitating a review and revalidation of the HACCP plan.
Trigger 3
Product Amendment
Product amendments, such as changes in intended use or usage instructions in Forms 1 and 2, also trigger a
comprehensive HACCP plan review and potential revalidation.
Trigger 4
Change in scientific knowledge of hazards
Changes in scientific knowledge regarding hazards, like the emergence of new pathogens impacting product
safety.
Trigger 5
Change in regulations
Changes in regulations, such as new legal limits for toxins (e.g., mycotoxins) or allergens (e.g., sulphites).
Trigger 6
Data analysis from trend or customer complaints
Data from trend analysis and customer complaints revealing system failures, indicating the need for a HACCP
plan review.

Documenting & File
11E
Management FORM 10
Let’s look at what might trigger a HACCP Plan Review
Recording
1 Verification Methods
Verification 2 Date
Activities
Verification activities must be 3 Individual Responsible
for Verification
recorded within the HACCP plan.
This should include the following
items: verification methods, 4 Responsible Individual/
Organization for Laboratory Results
5
date, individuals responsible for
verification, or the responsible Results or Findings
organization for laboratory results,
results or findings, and actions taken.
6 Actions taken
File Management
A verification procedure for the overall HACCP plan should be documented in a designated file. Any reviews or
revalidations of the HACCP plan must also be included in this file.
As mentioned earlier, a document control procedure should manage outdated HACCP documents. A similar
procedure should be developed for record management, referred to as the record control procedure. The final
HACCP principle will provide more detailed information on record control requirements.

Let’s look where the verification activities are
documented
FORM 10 HACCP PLAN
CANNED MUSHROOMS
HAZARD

Empty container
Depalletizer report

QC to
as per authorized
5 minutes
Step 9: Their responsibilities include

reviewing QC reports, Step 25:
Inspecting/ examining the can depalletizer Thermal
Depalletizing operator reports and actions,
and implementing the low Processing
In this example, verification vacuum detection procedure to In this example the QA will
procedures are carried out by a ensure the integrity of the end verify the QC report and
Quality Assurance Employee. product. investigation, charts and log
sheets, implement sampling end
product testing program.

Takeaways
Great job!
You’ve covered Step 11: Validate the HACCP Plan and
Then Establish Verification Procedures
Verification Validation Validation

Methods
Verification is the application of Validation in principle #6 concerns The validation of control
methods, procedures, tests, and the HACCP plan as a whole – measures and their critical limits
other evaluations, in addition to Everything written in Form 10 could include the following:
monitoring, to determine whether must be rigorously tested or review of scientific literature,
a control measure is or has been challenged to confirm the plan’s using mathematical models,
operating as intended. effectiveness. conducting challenging studies,
and using guidance developed by
authoritative sources.
Verification Triggering Files

Methods HACCP Reviews
Verification procedures could HACCP reviews can be triggered It is important that verification
include monitoring records to by a number of circumstances, activities be carefully documented
confirm that CCPs are kept under such as a new product line, process on the HACCP plan.
control, calibrating or checking amendment, product amendment,
the accuracy of measurement changes in scientific knowledge
instruments used for monitoring of hazards, changes in regulations,
and/or verification, observing or data analysis from trend or
that control measures are being customer complaints.
conducted in accordance with
the HACCP plan, establishing and
testing plans, establishing facility
environment and monitoring plans,
and reviewing the HACCP system.

Step 12
Establish
Documentation &
Recordkeeping
Learning
Objectives
By the end of Step 12: Establish Documentation & Recordkeeping you should be able to:
1 Describe key documents and records that must be kept as part of the HACCP program.
2 Identify the field where documents are recorded on HACCP Form 10: HACCP Plan.

Adequacy &
12A
Adherence
Let’s look at the importance of HACCP documentation
& recordkeeping
It’s important to be efficient and accurate
Records are essential for reviewing the adequacy of the HACCP plan and the adherence of the HACCP system to
the HACCP plan. Therefore, an efficient and accurate record keeping is essential to the application of a HACCP
system.
It’s important your system is organizationally-appropriate

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.
It’s important to act with integrity

Whether you hold a supervisory position or work on the frontline, it is of utmost importance that you grasp the
significance of your role in accurately maintaining records with integrity and fostering a food safety culture that
inspires compliance with HACCP plan requirements as well as the regulatory requirements.
Examples of documents can include

HACCP team Hazard analysis
composition, roles and the scientific
and responsibilities support
CCP Critical limit

Determination validation and
scientific support
Validation of Motivation made

control measures to the HACCP plan
Other support
documentation for
developing the HACCP
plan - guide

Examples of records can include
CCP monitoring Deviations and

activities the corresponding
corrective actions
Verification procedures Employee training

conducted program
The employee training program must clearly document the competence

of personnel involved in the HACCP system. The training program
should be tailored to the knowledge and skills of the individuals being
trained, with periodic reviews and updates as needed.

Making Note of
12B
Records FORM 10
Let’s look at where records are recorded on HACCP
Form 10: HACCP Plan
FORM 10 HACCP PLAN

CANNED MUSHROOMS
HAZARD

Empty container
Depalletizer report

QC to
as per authorized
5 minutes
Step 9: Step 25:

Inspecting/ Thermal
Depalletizing Processing
In this example, the records can In this example, the records can
be charts and log sheets, lab be charts and log sheets, lab
results, low vaccum detector results, low vaccum detector
report, heat sensitive indicator report, heat sensitive indicator
log, etc. log, etc.

Takeaways
Great job!
You’ve covered Step 12: Establish Documentation &
Recordkeeping
Accuracy Organize Integrity

It’s important to be efficient and It’s important your system is It’s important to act with integrity.
accurate organizationally-appropriate.

Answer
Key
HACCP Foundations................................................................. 3 Case Study - Matching - A, C, B, D

B | Terminology....................................................................................... 9 Step 5: Onsite Confirmation of the Flow Diagram............52
Let’s Review...................................................................................... 13 5B | Quick Review Steps 1 - 5............................................................ 57
Matching - HACCP B, Hazard C, Control (Noun) A Let’s Review...................................................................................... 35
True or False - False Multiple Choice - 1-4, 2-1, 3-4, 4-2, 5-3
C | History................................................................................................ 14
Let’s Review...................................................................................... 16 Step 6: Conduct Hazard Analysis and Define Control
True or False - True: A, B, C, E, G I, J False: D, H, K, F Measures (Principle 1).............................................................. 50
D | Benefits & Role of Management.................................................. 17 6F | FORM 5: Biological Hazards Identification............................. 72
Let’s Review...................................................................................... 19 Let’s Review...................................................................................... 75
True or False - True: B, C, D, E, G, H, I False: A, F Matching - 1 A, B | 2 A, B | 3 A, C, B
E | Steps & Principles............................................................................ 21 6G | FORM 6: Chemical Hazards Identification............................. 79
Let’s Review...................................................................................... 23 Let’s Review...................................................................................... 82
Matching - Step 6 - Principle 1, Step 7 - Principle 2, Step 8 - Matching - 1 A, B | 2 B, A | 3 A, B
Principle 3, Step 9 - Principle 4, Step 10 - Principle 5, Step 11 - 6H | FORM 7: Physical Hazards Identification............................... 86
Principle 6, Step 12 - Principle 7 Let’s Review...................................................................................... 89
F | Prerequisites..................................................................................... 24 Matching - 1 A, B | 2 B, A
Let’s Review...................................................................................... 26
Sorting Activity - 1A, 2A, 3B, 4A, 5B, 6B Step 7: Determine Critical Control Points (Principle 2)....95
7C | Form 8 Practical Examples Canned Mushrooms................... 105
Step 2: Describe the Product..................................................32 Let’s Review...................................................................................... 108
2A | Preparing the Product Description FORM 1.......................... 33 Fill in the Blanks - 1: 1 Q1 | 2 Q4 | 3 Q3 | 4 Q2, 2: 1 Q3 | 2 Q4 |
Let’s Review...................................................................................... 35 3 Q2 | 4 Q1, 3: 1 Q1 | 2 Q4 | 3 Q3 | 4 Q2, 4: 1 Q2 | 2 Q4 | 3 Q3
Multiple Choice - 1A, 2A, 3 | 4 Q1
Step 3: Identify Intended Use.................................................39
3A | How the Product Is Used FORM 1........................................... 40
Let’s Review...................................................................................... 42
Matching - B, D, A, C, E
3B | Product Ingredients & Incoming Materials FORM 2............. 43
Let’s Review...................................................................................... 44

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Intro to HACCP Principles

Building a Strong Foundation

1 Introduction to HACCP Principles Building a Strong Foundation

Introduction to HACCP Principles Building a Strong Foundation 2

Building a Strong Foundation

More In-depth Any subsequent

Introduction to HACCP Principles

Introduction to HACCP Principles

Essential HACCP The 12 HACCP The 7 HACCP

Essential HACCP The 12 HACCP The 7 HACCP

3 Introduction to HACCP Principles Building a Strong Foundation

We hope that you enjoy your learning

7 Introduction to HACCP Principles Building a Strong Foundation

1 Define key HACCP terms.

2 Describe the history of HACCP.

3 Recognize the benefits of HACCP.

4 Describe the role of management in a HACCP system.

5 List the prerequisites to HACCP training.

6 Identify the 12 crucial steps for successful HACCP implementation.

Introduction to HACCP Principles Building a Strong Foundation 8

9 Introduction to HACCP Principles Building a Strong Foundation

Introduction to HACCP Principles Building a Strong Foundation 10

Introduction to HACCP Principles Building a Strong Foundation 12

A To state wherein correct procedures are being followed &

B System that identifies, evaluates & controls hazards

Control C Biological/chemical/physical agent with the potential to

13 Introduction to HACCP Principles Building a Strong Foundation

Two Significant Developments

1950s 1960s & 1970s

Introduction to HACCP Principles Building a Strong Foundation 14

The latest revision of

15 Introduction to HACCP Principles Building a Strong Foundation

True & False

Introduction to HACCP Principles Building a Strong Foundation 16

Management Commitment: Risk Reduction: Consistency Matters:

Continuous Improvement: Helps Avoid Costly Recalls: Promotes Financial Gains:

17 Introduction to HACCP Principles Building a Strong Foundation

The Role of Management in the HACCP System

Commitment: Decision-Making: Resource Allocation:

Expertise: Training: Oversight:

Introduction to HACCP Principles Building a Strong Foundation 18

True & False

A HACCP was last updated in 2005. F M anagements commitment is minimally

19 Introduction to HACCP Principles Building a Strong Foundation

The Prerequisite program

HACCP Prerequisite Examples

u F acilities (location, facility design, windows, u  leaning and sanitation program

Introduction to HACCP Principles Building a Strong Foundation 20

Good Manufacturing Good Hygiene

21 Introduction to HACCP Principles Building a Strong Foundation

4. Hands being washed

Introduction to HACCP Principles Building a Strong Foundation 22

The 12 HACCP The 7 HACCP

23 Introduction to HACCP Principles Building a Strong Foundation

Introduction to HACCP Principles Building a Strong Foundation 24

25 Introduction to HACCP Principles Building a Strong Foundation

Introduction to HACCP Principles Building a Strong Foundation 26

Key History Definition

Applying Benefits Management

27 Introduction to HACCP Principles Building a Strong Foundation

1 Describe the importance of HACCP Step 1: Assemble a HACCP Team

Introduction to HACCP Principles Building a Strong Foundation 28

Professionals from Different Backgrounds

A HACCP was last updated in 2005. F M anagements commitment is minimally

u F acilities (location, facility design, windows, u leaning and sanitation program

u Food Science & Technology u Risk Assessment

B.Where the Product

A. Domestic and B. Salt, Ascorbic C. Cans/ends D. Water

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

11. Blanching 12. Conveying 13. Mixing

14. Conveying/Inspecting 15. Washing