HACCP – Self Learning Course Material

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Established – 2013
Third party Conformity Assessment Body (CAB)
Accredited by JAS-ANZ (Joint accreditation system of
Australia and New zealand)
Approved ISO training partner of CQI & IRCA

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Let’s break the ice

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 Aim of this course
 To provide Knowledge on understanding the principles & practices
HACCP through online and provided skills to plan and conduct
HACCP audit in organization
 To bring the participants to the Internal Auditor level

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 Basic concepts
& Terminologies

Principles of
Food Safety HACCP
HACCP based
Discussions,
approach Requirements of Quiz, Activity,
HACCP Exercise &
Course Examination
structure Pre-requisite
program

Auditing Planning,
Preparation &
methodologies
Execution
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Course objective
Familiarize yourself with HACCP
Understand Pre-requisite Program
Understand the requirements of HACCP
Understand the food safety hazards and control
methods
Understand control of documents & Records

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 Benefits of HACCP
Systematic approach to food safety
Internationally recognized system
Ensuring adherence to the legal & regulatory requirements
Can be integrated with FSMS & QMS
Increased confidence / customer satisfaction by effectively
reducing the food safety incidents
Helps to reduce food cost

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What is Food Safety?
 Food safety is an assurance that food will not cause harm to the
consumer when it is prepared and/or eaten according to its intended
use.
 A scientific discipline describing handling, preparation of food
throughout the food chain in ways that prevent food borne illness.
 This includes a number of routines that should be followed to avoid
potential health hazards
What is HACCP?
Hazard Analysis and Critical Control Point

HACCP is an internationally recognized system to

identify, evaluate & control hazards which are
significant for food safety.
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HACCP- Terminology
Hazard (Physical,
Chemical & Biological)
Hazard Analysis HACCP Plan

Contaminant Cross Contamination Control measure

Critical Control Point Critical Limit Risk

Verification Validation Decision tree

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History of HACCP
Originated in 1960’s
Developed by NASA + Pillsbury company + US Army
Lab – collaborated together to provide safe food for
Astronauts
In 1993 codex committee recognized HACCP as the
global standard and adopted by Codex Alimentarius
Commission which developed the guidelines for its
application
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HACCP in Food Chain
Primary Producer Final Consumer
Can be applied throughout the food chain

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Activity 1

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 Types of Hazard

Physical Chemical Biological

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 Physical Hazard
Potentially harmful extraneous matter
 Hair
 Stone
 Metal
 Glass
 Feather
 Insects
 Plastic
 Paper

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Chemical Hazard
Naturally occurring chemical

Intentionally added

Unintentionally / Accidentally added

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 Chemical Hazard
(i)Naturally occurring chemical hazard
Arsenic
Mercury
Lead
Plant toxins
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 Chemical Hazard
(ii)Intentionally added
Preservatives
Food Additives
Coloring agents

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 Chemical Hazard
(iii)Unintentionally/Accidentally added
Pesticide

Antibiotics

Cleaning chemicals

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Biological Hazards
Bacteria
Viruses
Fungi
Protozoa
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 Pre-requisite Programs
 Basic conditions / activities that are necessary to maintain food safety
throughout the food chain

 Solid foundation to implement HACCP system

 Basic environmental & operating conditions

 PRPs can be applied on:

 Buildings/Infrastructure
 Supplier control
 Cleaning & Sanitation
 Personal hygiene
 Integrated pest management
 Training
 Waste disposal
 Preventing cross contamination (throughout the food chain)
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PRP (Pre-Requisite Program) OPRP (Operational PRP) CCP (Critical Control Point)
Control measures applied to
The generic controls in any type prevent /reduce food safety The points of absolute control in
of food operation. (Basic hazard during production. the HACCP system
conditions / activities that are
necessary to maintain food safety
throughout the food chain. -
Before Production) Specific to a food operation and
are determined after doing the
Not specific to one step; hazard analysis.
Applies generally

E.g., Cleaning & Sanitation, E.g., Thawing, Sanitizing E.g., Cooking

Supplier control vegetables

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Activity 2

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 Implementing HACCP
Five Preliminary Steps

 Assembling the HACCP Plan

 Describe the food
 Describe the indented use
 Develop a flow diagram
 Verify the flow diagram

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 Implementing HACCP
Seven principles
Conduct hazard analysis
Identify Critical Control Point (CCP)
Set critical limit for each CPP
Establish monitoring system form for each CCP
Establish corrective actions
Establish verification procedures
Establish record keeping & Documentation procedures
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Assembling the team
 The first task in the application of HACCP is to assemble a team having
the knowledge and expertise to develop an HACCP plan. The team
should be :
 Familiar with operation
 Expertise to the product/process
 Multi disciplinary
 Representative from each department
/Process

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Describe the food
Description of the food (Frozen, Refrigerated, Ambient)
Ingredients
Processing methods
Method of distribution
Shelf life
Packaging/Labeling
User instructions

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Describe the intended use
Target consumer group
 Infants
 Elderly people
 Malnutrition
 Pregnant women
 Allergy sufferers
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Develop a flow diagram
Steps involved in the process
Should cover before & after processing that occurs in
the establishment
Simple schematics for better understanding and
evaluating

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Verify the flow diagram
On-site review of the operation to verify the accuracy
of the flow diagram
Verification will be done by HACCP team

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 Principle - 1
Conducting Hazard analysis
3 Stages of Process

i) Hazard identification - List all Hazards associated with

each step & determine acceptable levels

ii)Hazard Evaluation (Severity Vs Likelihood of occurrence)

iii) Control measures

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 Principle - 1
Conducting Hazard analysis(Cont.)
Hazard Identification process should consider

 Preliminary information collected while developing product

description

 Experience / Historical data

 External information

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 Principle - 1
Conducting Hazard analysis(Cont.)
Determine Acceptable limit for identified Hazards

Determination Can be done by considering

Regulatory requirements

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 Principle - 1
Hazard evaluation
Each Hazard should be evaluated based on 2 factors
Severity

Likelihood of occurrence
(Risk Factor = Severity x Likelihood of occurrence )

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 Principle 2
Identifying the CCP
Critical Control Point – is “a point / 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”

CCP decision tree can be an useful tool to help in the

identification of CCPs.

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 Principle 2
Identifying the CCP
To identify the CCP in the process, HACCP team should
assess the control measures identified during the hazard
analysis.

Review the control measures for its effectiveness against

the identified hazards

Categorize the control measures – PRP or OPRP or CCP

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 Principle – 2
Example for CCP
Steps Hazard Decision tree CCP/OPRP/PRP
Cooking P - Nil 1 2 3 4 CCP

C - Nil
Y Y
B - Pathogens

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 Principle – 3
Determine Critical Limit
 Critical limit are the values at critical control points (CCPs)that must be
achieved to ensure the food safety

 Critical limit is used to distinguish between safe and unsafe conditions at CCPS

 Criteria for Critical limits : Observable, Measurable & Real time monitoring

 Sources for Critical Limits: Regulatory Standard, Published research article,

Experimental results, Experts

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 Principle – 3
Determine Critical Limit
Example for Critical limit at Cooking step

Process Step CCP Critical Limits

Cooking Yes Cooking Temp: 80°C
Holding time : 10 minutes

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 Principle – 4
Establish monitoring system
Conducting a planned measurements or observations
at CCP to ensure that the CCP is under control

When monitoring at CCP the following should be

consider
What?, Who?, When? & How?

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 Principle – 5
Determine Corrective Actions
Corrective actions to be taken when monitoring indicates
that there is a deviation from an established critical
limit
The corrective actions taken must accomplish the
following:
Correction: Correct the deviation
Identify & place under control the affected product if any
Investigate the root cause of deviation
Record the corrective actions taken
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 Principle – 6
Establish Verification Procedures
Verification

Validation

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 Principle – 6
Establish Verification Procedures
Verification is the principle which confirms that the HACCP
plan followed will produce safe food to the consumer.

The process of verification involves taking sufficient steps to

ensure that the procedures set out in the HACCP plan are
working in practice and in particular that the critical limits are
sufficient to ensure that the identified hazards are controlled at
critical control points.
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 Principle – 6
Establish Verification Procedures
Verification of steps:
 Taking measurements at CCPs (E.g., Temperature)
 Verifying Microbial , chemical test report
 Analyzing of waste & rework record
 Analyzing customer complaints
 Reviewing third party audit report

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 Principle – 6
Establish Verification Procedures
Validation
 Validation to be conducted within the first month of implementation of HACCP

 Objective : i) To assure that the plan is valid for controlling food safety hazard
 ii) To verify that the plan can be implemented as written

 Validation includes :
 Review of the hazard analysis
 CCP determination
 Justification for critical limits
 To verify the monitoring system, corrective action & Documentation activities are
adequate and appropriate
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 Principle – 7
Establish record keeping & Documentation
Why Records?
 Records are the only references available to trace the
production history of a finished product.

 Records can be used as a tool to alert the operator to

potential problems before they lead to the violation of a
critical limit.

 Records can serve as evidence that proper procedures are

being followed.
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 Principle – 7
Establish record keeping & Documentation
 List of Records
 CCP monitoring
 Correction & Corrective action record
 Verification/Validation records
 Equipment testing/Calibration
 Training

 List of Documents
 List of HACCP team and their responsibilities
 Product description/ Specification
 Product/Process flow diagram
 Hazard Analysis & HACCP Plan
 SOPs 5050
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 Audit Terminology
Audit Audit plan

Audit criteria Audit findings

Audit evidence Audit conclusions

Audit scope Auditee

Audit objective Competence

Audit programme Nonconformity

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 Auditing Principles

Integrity Fair Presentation Due professional care Confidentiality

Independence Risk based approach Evidence based approach5353

 Audit methods
 Onsite Audit Remote Audit

Human interaction

No human interaction 5454

 Types of Audit
E.g., Supplier
E.g., Internal
Audit
Audit
Conducted by the parties having an
Conducted by the organization itself interest in the organization

E.g., Certification
audit/Statutory
audit
Conducted by independent auditing
organizations such as
Regulators/Certification body
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 Audit Objective, Scope & Criteria

What is to be Extent and Used as

accomplished? boundaries reference

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 Audit Process
• Audit criteria
In
pu • Audit objectives
ts

Ac • Evaluation
tivi
ty

Ou • Audit findings
tp
ut
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 Performing an Audit
.
Initiate
Initial contact, Prepare Conduct
Determine Audit Plan & Conduct an
feasibility Checklist Audit

Follow-up
Report
On NC Closure Complete
Audit findings

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Exercise : Prepare an Audit Plan
.

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Exercise : Prepare a checklist

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 Opening Meeting
The purpose of opening meeting is
 Confirm the agreement of all parties to the audit plan
 Introduction
 Confirmation on Audit plan, Scope of certification
 Method auditing / Grading
 Review on previous audit status
 Communication channel
 Resources / Facilities
 Conditions on premature termination

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Collecting Evidence – Sources of information

Observation Interview Records & Documents

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 Generating Audit findings
. To indicate Conformity/ Non-conformity with
WHY?
audit criteria

HOW? Evaluate audit evidence against the audit criteria

Record Conformity – with evidence

WHAT?
Record Non-Conformity with evidence

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Non-Conformity
• There is a requirement • There is a failure to meet • There is evidence to
• E.g., A clause of the the requirement prove that there is a
requirement standard • Failure statement – failure
• Clearly quote the Explanation • Presence or absence of
requirement • Cite the situation evidence
• Describe the objective
evidence

Requirement Failure Evidence

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 Grading Non-Conformity
Major Non-conformity Minor Non-conformity Observation
• A non-conformity that • A non-conformity that • Not a Non-conformity
affects the capability of does not affect the but if addressed would
the management capability of the greatly improve the
system to achieve the management system to system or of not
intended result achieve the intended addressed might
result potentially lead to non-
conformity

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 Closing Meeting
To present audit conclusion

 Sampling method
 Grading of audit findings
 Process of handling Non-conformity
 Time frame for the client to close NC
 Post audit activities

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