HACCP IN PRACTICE

April 2015 Prepared by : Rahul Gupta

HACCP IN PRACTICE

Safety or Non-safety?


WHAT IS HACCP

A system which identifies evaluates & controlsHazards which are significant for food safety


HAZARD

• A biological, chemical or physical

agent in, or condition of, food

with the potential

to cause an adverse health effect

• Codex Alimentarius, 1997


Types of Hazards

• Biological e.g Bacteria• Chemical hazard e.g preservative• Physical e.g glass


Contaminant

Any biological or chemical agent,

foreign matter, or substances

not intentionally added to food

which may compromise

food safety or suitability

Codex 1997


Acceptable levels

• Not all levels (or sizes) of all agentsare harmful to all individuals under

all conditions

• Agents (contaminants) are acceptableas long as their levels remain

below a certain maximum


Increase or decrease in level

If an agent is present in a food at a

• low, acceptable, level, its increase to an unacceptable level should be prevented

• high, unacceptable, level, its reduction to an acceptable level should be assured

April 2005 Prepared by : Nidhi Bhayana

Control

• Having things under control

• To direct, regulate, command


Hazard control

Prevention of contamination

Prevention of increase in level

Assurance of adequate reduction

Prevention of recontamination

Prevention of dissemination (spread)


Critical limit

• A criterion which separates

acceptability from

unacceptability

Codex Alimentarius, 1997


Microbiological process control

Having control over

conditions

which may lead to

unacceptable

growth, survival, spread

contamination

with / of undesirable microorganism


Example of processing for safety

Safety assured by adequate • heating time & temperature

Reliance on monitoring to detect deviations

Timely adjustments and corrective actions

Pasteurization


Critical Control Point

• A step in the food chain where activities are carried out, or conditions prevail which can have an influence on the safety of the product, and where

control can be exercised over

one or more factors to

prevent or eliminate a food safety hazard

or reduce it to an acceptable level


Monitoring

Checking, by testing, measuring

or observing, whether a

Critical Control Point (CCP)

is under control


Verification

Checking the implementation

and effectiveness

of the HACCP system


Factors contributing to foodborne illness

Contamination - Unclean equipment - Raw materials - Insects / rodents - Aerosols / condensation - Infected handlersSurvival - Inadequate cooking / reheating

Growth - Insufficient cooling / hot holding


Examples of adverse health effects

• Acute illness :

• Chronic illness :

• Death

chokingvomitingabdominal crampsdiarrhoeanauseafever

chronic infectionsdamage of various organscancer


Controlling growth of microbes

• Clean surfaces

• Dry surfaces

• Food kept hot or cold

• Short holding time

NutrientsWaterTemperatureTime

Control measureNeeded for growth


Survival depends on

• Temperature

• Time

• Quantity

• Food


Food hygiene

All conditions and measures

necessary to ensure

the safety and suitability of food

at all stages of the food chain


Food safety

Assurance that food will not cause harm

to the consumer when it is

prepared and / or eaten

according to its intended use.


Food safety assurance

it identifies what we need to do to make food safe

it makes sure that what is planned is correctly implemented

HACCP is a method of food safety assurance


Safety

Public health Industry

Consumer


Quality assurance

All planned and systematic actions

necessary to provide

adequate confidence that a

product or service will satisfy

given requirements for quality

• (ISO/UNCTAD/GATT)


Total QualityManagement

Food Quality Assurance

Food Hygiene

HACCP


Caterpillar present in finished product


Rat droppings off packaging enter dry mix


Motor over product losing pieces of paint


Person working near product line has hair exposed


Chipped jar causes glass pieces to be found in the product


Motor over exposed line drops oil and grease onto product


Some residues of disinfectant are present after cleaning


The growth of pathogens in a dead end


The product sieve sometimes loses metal pieces


The product is cooled with air that had been poorly filtered


The need for the

HACCP system


Industrial emissionsand effluents

Landfills

Vehicleemission

Agriculturalpractices

Where hazards ariseWhere hazards arisein the food supplyin the food supply

Processing

Storage

CookingLivestock

Crops

Seafood

Distribution

Retail


GMP / GHP for safe food production

+On Line testing

+End - product testing

for obtaining assurance of safety

Food safety Food safety assurance systemassurance system


Food safety assurance

• Good Manufacturing Practice (GMP)

• and• Good Hygienic Practice (GHP)

necessary but not always sufficient


Objectives of application of the HACCP system

More efficient More efficient quality assurance quality assurance

systemsystem

Prevention of foodborne illnessPrevention of foodborne illness

Protection of reputationProtection of reputation

Reduction of costsReduction of costsof food analysesof food analyses

ReductionReduction of of losses due to losses due to product recallproduct recall


HACCP in food hygiene


Prerequisites to HACCP

Practices and conditions neededprior to and during

the implementation of HACCPand which are essential for food safety,

as described in the CodexGeneral Principles of Food Hygiene

and other Codes of Practice

FAO/WHO consultation June 1998


Cleaning andCleaning anddisinfectiondisinfection


Cleaning

The removal of

soil, food residue, dirt, grease

or other objectionable matter

Codex 1997


Disinfection

The reduction, by means of

chemical agents and/or physical methods,

of the number of microorganisms

in the environment,

to a level that does not compromise

food safety or suitability


Importance of cleaningImportance of cleaningbefore disinfectionbefore disinfection

protect microorganisms

provide nutrients for microbes

reduce effectiveness of disinfectants

reduce efficiency of equipment • (e.g. heat exchangers)

Food residues


Methods of disinfectionMethods of disinfection

• High temperature hot water steam

• Chemical halogen or oxidizing• (e.g. chlorine, iodine) surfactant or non-oxidizing


Pest controlPest control

•Pathogens can be spread by:

• procedures must be in place to keep themout of the food processing

and handling areas

flies and other insects cockroaches rats mice


Good Manufacturing / Hygienic Good Manufacturing / Hygienic PracticePractice


Good Manufacturing Practices(GMP)

That combination of manufacturingand quality control procedures

aimed at ensuring that products areconsistently manufactured to their

specifications• IFST ( UK )

Consists of Personal hygiene , Good operational practices and Foreign material & glass control


Good Hygienic Practices(GHP)

All practices regarding the conditions and measures

necessary to ensurethe safety and suitability of foodat all stages of the food chain

• ( Based on the Codex definition of Food Hygiene )


GMP or Significant Hazard?

Should these potential hazards be controlled by GMPs or do they need to be considered in the HACCP Study, and, if so, are they significant hazards?


Codex General Principles ofFood Hygiene (1)

Identify the essential principles

of food hygiene applicable

throughout the food chain,

to achieve the goal of ensuring

that food is safe and suitable for

human consumption


Areas examined under GHP

1. Primary production2. Establishment: design and facilities3. Control of operation4. Establishment: maintenance and sanitation5. Establishment: personal hygiene6. Transportation7. Product information and consumer awareness8. Training


Primary production

Hygienic practices should reduce the likelihood of introducing hazards

that may be difficult or impossible to control at later stages

of the food chainExamples: pesticides, antibiotics, mycotoxins,

microorganisms in foods eaten raw or fresh


Establishment : design (1)

Premises, equipment, surfaces and facilities should be located,

designed and constructed to ensure:

mimimum contamination proper maintenance, cleaning,

disinfection protection against pests


Establishment: design (2)

Evaluation of the premises takes into account:

LocationEquipmentFacilities : water

• air• lighting• storage


Examples of hygienicequipment design

Good

Bad


Inaccessibility of equipment

clearancepumpmotor

condensate

CorrectHygiene risk


Establishment : practice “Good housekeeping” applies to the

surroundings and the roof of the establishment Pest control starts at the boundaries of the

premises Water management deals with incoming and

used water Windows are closed or screened Internal surfaces are smooth and easy to clean Floors have rounded corners Ceilings and ducts are accessible for cleaning


Establishment : practice ( cont. )

Dry zones are designed to remain dry Drains can be cleaned Cable trays carry cables, not dirt or dust Insectocuters are effective Only potable water is in contact with food Air handling systems deliver the required

air quality (and not contaminants) Doors are closed when not used


Control of operation Control of food hazards through HACCP Hygiene control: Time & temperature Humidity (Cross) contamination Microbiological specifications Incoming materials (incl. packaging materials) Water, air, steam Management, documentation, recall procedures


Control : practice

Keep potentially contaminated materials separated from uncontaminated ones

Assure effectiveness of treatments

Assure effectiveness of cleaning Assure reliability of measurements, tests and

recording

Perform hazard analysis when changes occur

Assure updating of HACCP plan


Establishment : personal hygiene

Health status Illness and injuries Personal cleanliness Personal behaviour

To prevent food from being contaminated by the people

who come in contact with it, personnel must receive clear instruction

on the following:


Product information and consumer awareness

Lot identificationProduct informationLabellingConsumer education


Training

Awareness and responsibilitiesTraining programmes Instruction and supervisionRefresher training


Trace & Recall

Track & control the movement of Food Products , from receipt of ingredients to end point of finished goods

Supplier Control

Evaluation & Approval of Suppliers , for Raw Materials , ingredients and services in order to minimize food product contamination


Customer complaints for Food Safety

Procedures for handling food safety complaint and forms for tracking the complaint from receipt through resolution


HACCP system

and its application


Codex HACCP principles

1. Conduct a hazard analysis2. Determine the CCPs3. Establish critical limit(s)4. Establish a monitoring system5. Establish corrective actions6. Establish verification procedures7. Establish documentation


How to do HACCP (1)

HACCP study

HACCP plan

Training the personnel

Implementation of the plan

Verifying and improving


How to do HACCP (2)

Commitment of management

Resources expertise, equipment, etc.


(1) Assemble HACCP team Obtain top management commitment

Appoint a leader and a secretary

Multidisciplinary team

Assure participation of experts in QA, microbiology, chemistry, food technology

Assure co-operation of other experts

Define scope of the study

Set priorities


(2) Describe product

Formulation and composition Raw materials & ingredients Parameters influencing safety

Processing Packaging Distribution


(3) Identify intended use

Food service establishmentsCaterersHospitalsGeneral populationSpecific groups of the populationPreparation practicesExportation


(4) Construct flow diagram

• Cover all steps which might have an influence on the safety of the product

Include important data such as time & temperature

Indicate hygiene level of areas and barriers


(5) On - site confirmation of flow diagram

Check correctness of information

Check whether important information was not overlooked

Check during all periods of operation and cleaning, but also during idle hours

Discuss practices with operators


(6) List all hazardsassociated with each step,conduct a Hazard Analysis,

consider any measuresto control identified hazards


Hazard Analysis

•List all hazards•Conduct the Hazard Analysis to identify for the HACCP Plan•To develop a suitable criteria to conduct the analysis – likely occurrence of hazard


When to perform a Hazard Analysis

during product development during industrialization of new product when new hazards emerge when new raw materials are used when formulation or use is changed when equipment is changed with new (layout of) production area

etc.


(7) Determine CCPs

• Critical Control Points (CCPs)• can be related to :

Raw materials, Locations, Processes, Procedures, Practices, Product formulations etc.


(8) Establish critical limitsfor each CCP

• Critical limits can be :

• Values of : pH, aw, temperature, time

• Maximum residue limits• Maximum levels (of contaminants)• Limits in microbiological criteria• Level of cleanliness• Levels of chlorine, overpressure etc.


(9) Establish a monitoring systemfor each CCP

the method or equipment to be used

the moment and / or frequency of checking

the interpretation of the results and the actions to be taken


Continuous monitoring

Critical Limit

time

N

Target level

Upper control level

Lower controllevel


“Loss of control”

time

N

deviation

corrective action

Critical Limit

Upper control level


Corrective actions

Actions to be taken when

the results of monitoring at the CCP

indicate a loss of control


Corrective actions

should readjust deviations before the situation is out of control

should prevent hazardous products reaching the consumer

should prevent recurrence of the event


(10) Establish corrective actions

Corrective actions should ensure

that only safe products

reach the consumer


(11) Establish verification procedures

• Verification procedures

are intended to check

the effectiveness

of the HACCP system


Verification

The application of

methods, procedures, tests

and other evaluations

in addition to monitoring,

to determine compliance with

the HACCP plan


(12) Establish record keepingand documentation

Minutes of HACCP study meetings, decisions made and their reasons

Records of monitoring Records of verification Records of deviations and corrective actions Records of modifications to the HACCP plan


Hazard Analysisand

Critical Control Point determination


Hazard AnalysisAssessment of risk

Risk = Likelihood * Consequences Frequent Very high Likely High Occasional Medium Unlikely Minor Improbable


Hazard Analysis-Assessment of risk

Process Step No. Process

Hazard Type

(B/P/C) Source Likelihood Consequence RiskLevel of Control

Control Measure


Hazard determination-Decision Tree

Do preventive control measures exist? Modify steps in the process or productNO

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

YES

YES

NO

Will a subsequent step eliminate identified hazards or reduce likely occurrence to acceptable levels?

Is control at this step necessary for safety ?

Questions to be answered for each potential hazard for each step

NO Not a CCPStop

YES

CCP

Could contamination with identified hazard occur in excess of acceptable levels or could these increase to unacceptable levels?

YES

YES

Not a CCP

Stop

NO

CCP

Stop

Not a CCP

NO


Questions for each CCPQuestions for each CCP and Hazard and Hazard (1)(1)

• When is deviation from normality unacceptable?

( i.e. establishment of Critical Limits )


Questions for each CCPQuestions for each CCP and hazard and hazard (2)(2)

• How can this be identified?How frequently should it be checked?

How should results be recorded?

( i.e. establishment of monitoring procedures )


• What is the appropriate reactionto deviations?

• ( i.e. description of corrective actions )

Questions for each CCP and hazard (3)


Documents & Records


WORKSHEETS May be considered as "formal records"

• USE and CONTENT of WORKSHEETS is mandatory• Complete records must be available of the information

and decision making process used by the HACCP team.• ACCESS to the WORKSHEETS is restricted

The Worksheets


Worksheets

• WS1: Management Review Sheet

• WS2: Product Descriptions

• WS3: Raw , Auxiliary , Packaging Material Sheets Flow Chart & Hazard Analysis Sheet

• WS4: Flow Chart & Hazard Analysis Sheet

• WS5: HACCP plan

• WS6:Verification Plan/Report

• WS7:Validation Plan/Report

• WS8:Internal Audit Report

• All CP & CCP Monitoring Reports


Worksheets• WS9: Meeting Activities – HACCP Team/Validation Team• WS10:Lay-outs – Personnel movt , product & material movt etc.The HACCP Manual should contain all requirements of the Dutch

Standard


Likelihood of Potential Hazards?

In this exercise, you will try to assess the likelihood that potential hazards will be present in the process of making beverage

EXERCISE A


Implementation of HACCP


Implement

• To carry into effect


Approve

• To give one' s consent to ,

sanction ,

confirm


HACCPHACCP

Continuous ImprovementContinuous Improvement

DefineDefine

HACCPPlan

ApproveApproveQMS,

Procedures

ImplementImplement

Safe products,Records

ReviewReview

Improvements

Study•List pot. hazards•Hazard Analysis•List significant haz. •CCP (& CPs)•Monitoring•Critical Limits•Corrective actions•Validation•List verification act.

Approval: (NOT VALIDATION)•Monitoring (Prerequisites)•Contr. meas. •Modifications •Corr. actions•VerificationVerif. mation

Implementation•Training•Awareness•Information•Prerequisites•Control Measures•Monitoring•Corrective actions•Recording

Verification•Confirm compliance (HACCP & Prerequis.)•Review the study•Review results•Review records•Review changes•Review of validation data•Gather Int. & Ext. Inf.

ChangeChange


Validation & verification


Validation

Obtaining evidence

that the elements

of the HACCP plan

are effectiveCodex 1996

The Answer to the Question – Are we doing the right things ?


Verification

The application of

methods, procedures, tests,

and other evaluations,

in addition to monitoring,

to determine compliance with

the HACCP plan

Codex 1997

The answer to the question – Are we doing things right ?


Verification

•This is primarily the responsibilityof the industry, however some verification

activities can be undertakenduring regulatory assessments


Conformity

•Activities are carried out

according to the established procedures

e.g. the HACCP plan and prerequisites


Compliance

The HACCP plan and prerequisites,

and their implementation,

meet regulatory requirements


Verification data sheet

• What

• Product• test for• coliforms

• Monitoring• trends

Why

Past. &Recont.Control

Improve-ments

Who

Lab.

QA Man.

When

End ofeachbatch

End ofmonth

How

Lab.Instruct-ions

Graphs

HACCP Plan

CCP No. Process StepCritical Limit Action Limit Target Limit

What When How Where Who

Preventive Action Responsibility Correction

Corrective Action Responsibility Verification Responsibility Validation Responsibility

Monitoring

Questions to be asked in verification before approval

Is there evidence that :

1. hazards have been correctly identified ?

2. control measures eliminate or reduce significant hazards to acceptable levels ?

3. corrective actions restore control ?

4. deviating products will not reach the consumer ?

Audit

• A systematic and functionally independent

examination to determine whether

activities and related resultscomply with planned objectives

• Codex 1997

AuditShould ideally be carried out by a

multidisciplinary team of experts

Should validate and review all decisions taken during HACCP study and during HACCP plan implementation

Should, if necessary, recommend improvements in order to satisfy internal or external needs

BY: RAHUL GUPTA

Thank You

HACCP IN PRACTICE

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