Principles of HACCP Practical Training

HACCP – Practical

James Flynnwww.haccpnow.com

HACCP - Practical

• Phase 1 - Terms of Reference• Phase 2 - Process Flow Diagram• Phase 3 - Hazard Analysis• Phase 4 - Implementation & Review

• Pre-Requisite Programs (PRP’s)• Preparation & HACCP Team

• The 14 Stages of HACCP• The Seven Principles of HACCP

• Implementation & Training

In this section we are going to carry out a Hazard Analysis for a Catering Operation:

Introduction:

HACCP - PracticalPre-requisite Programs (PRP’s):Before attempting HACCP there are certain basics that need to be in place already, these are called PRP’s for short and they are:

• Waste Management• Pre-planned Maintenance• Hygienic Premises Design• Effective Temperature and Storage Controls

• Supplier Approval Management

• Cleaning & Disinfection Systems• Hygiene Regulations & Training• Pest Control Systems

HACCP - PracticalPre-requisite Programs (PRP’s):

We need to be sure that we use Reputable Suppliers so that the food we produce is made from ingredients that are knownto be safe in the first place.

• Supplier Approval Management

In practice this means that we:• Carry out Supplier Audits and / or• Request a Supplier Questionnaire each year• Maintain records on Supplier Issues and Corrective Actions taken

HACCP - Practical

We need to be sure that we have good Pest Control and Detection systems in place so that we minimise the risk of Infestations.

• Pest Control

In practice this means that we:• Appoint a Pest Control Company• Have good Pest Prevention & Detection measures in place• Maintain records on Pest Issues and Corrective Actions taken

Pre-requisite Programs (PRP’s):


We need to be sure that all Food Handling Staff are trained in Hygiene and are aware of the Rules and Regulations.

• Hygiene Regulations & Training

In practice this means that we:• Train all staff in Food Hygiene practices• Enforce a Hygiene Policy

• Provide good, clean Protective Clothing

• Maintain records on Training and Staff Illness


We need to be sure that all processing equipment and food rooms cleaned on a regular basis and that we canmonitor levels of cleanliness.

• Cleaning & Disinfection Systems

In practice this means that we:• Require a Cleaning Schedule• Provide professional Cleaning Equipment and Chemicals• Keep records of Cleaning and Micro Results• Maintain records on all Corrective Actions taken

HACCP - Practical

We need to be sure that waste is stored and processed properly and it does not encouragepests or cause cross contamination.

• Waste Management

In practice this means:• Waste stored in professional waste bins• Regular removal of waste• Waste stored in areas away from food processing• Records of waste and its removal from site

Pre-requisite Programs (PRP’s):


We need to ensure that crucial equipment such as Fridges, Freezers and Cookers are well maintained and do not breakdown or malfunction.

• Pre-planned Maintenance

In practice this means:• Regular service of equipment• A Maintenance Schedule• Engineers trained in Hygiene Practices• Records of maintenance carried out


We need to ensure that the premises that we store and prepare food in has been designed and is kept in a hygienic manner.

• Hygienic Premises Design

In practice this means:• Smooth, non porous surfaces

• Easy to clean equipment

• Modern wall cladding

• Adequate drainage


We need to ensure that Fridges, Freezers, Defrost equipment, etc. are adequate for the job and work effectively on an ongoing basis.

• Effective Temperature & Storage Controls

In practice this means:• Fridges and Freezers that are properly sized for the job• Ongoing Maintenance records• Adequate Storage capacity• Contingency plan for Refrigeration failure

HACCP - PracticalPreparation & HACCP Team:Before you start a HACCP plan you need a HACCP Team capable ofworking together to build your HACCP system.

The HACCP Team should consist of a range of skills from the business and ideally have the following knowledge or experience:

Smaller food operations may need to seek external specialist help with some of the above requirements.

• “Product” knowledge• Senior Manager of the business operation

• Knowledge of Bacteria / Advanced Food Hygiene

• Trained in HACCP Principles

HACCP - Practical

Clear Roles need to be decided in the HACCP Team so that it functions effectively.

The HACCP Team should appoint the following roles and responsibilities:

One person may take on more than one Role in the HACCP Team but they should not do all Roles.

• Chairperson• Meeting documenter• Policy and Procedure Co-ordinator• HACCP Documenter• System Implementation and Training• System Supervisor

Preparation & HACCP Team:

HACCP - PracticalThe Seven Principles of HACCP:

3. Establish Critical Limits

5. Establish Corrective Actions 6. Establish Verification Procedures

1. Conduct a Hazard Analysis 2. Determine Critical Control Points

4. Establish Monitoring Procedures

7. Document the system

HACCP - PracticalThe Seven Principles (..... the Logical Way):

If you Decide a Hazard is Critical to food safety thenit needs Limits that are Monitored.

Monitoring rings the Alarm Bell when it finds bad results.

Everything needs to be Documented so we can provefood is safe for human consumption.

Corrective Action is required to bring things undercontrol once more.

HACCP - Practical

3. Describe the Product

5. Draw up the Flow Diagram 6. Verify the Flow Diagram

1. Define the Terms or Reference 2. Select the HACCP Team

4. Define the Intended Use

7. Identify & Analyse Hazards & Control Measures

Phase 1

Phase 2

The 14 Stages of HACCP

HACCP - PracticalThe 14 Stages of HACCP

10. Establish Monitoring Procedures

12. Verify the HACCP Plan 13. Document the HACCP Plan

8. Determine the CCP’s 9. Establish Critical Limits

11. Establish Corrective Actions

14. Review the HACCP Plan

Phase 3

Phase 4

HACCP - PracticalPhase 1 – Terms of Reference, HACCP Team, Product & Intended Use

This phase of HACCP planning involves planning the foundations of the HACCP plan by outlining in a document called the “Terms or Reference”.

In this Phase we need to:

Document the Terms of Reference:• Product(s), Process, Activities to be Analysed.• What types of Hazards are being considered, usually Micro, Chemical, Physical and sometimes Allergenic hazards.

• Describe the Product / Process in words from start to finish.

• Record the HACCP Team details, roles and responsibilities.

It is essential preparation to do this ground work BEFORE moving onto the Flow Diagram and Hazard Analysis.

• Describe the Intended Use of the Finished Product

• Decide if Pre-requisite Program hazards are to be included.

HACCP - Practical

Example: Description of Product / Process:Phase 1 – Terms of Reference, HACCP Team, Product & Intended Use

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Example: Scope of Hazards:Phase 1 – Terms of Reference, HACCP Team, Product & Intended Use

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Example: Scope of Safety:Phase 1 – Terms of Reference, HACCP Team, Product & Intended Use

HACCP - Practical

Example: Intended Use:Phase 1 – Terms of Reference, HACCP Team, Product & Intended Use

HACCP - Practical

Example: HACCP Team:Phase 1 – Terms of Reference, HACCP Team, Product & Intended Use

HACCP - PracticalPhase 2 – Flow Diagram & Hazard AnalysisThis phase of the HACCP planning involves sketching out the Process Flow Diagram and listing all possible Hazards and their Control Measures.

In this Phase we need to:

• Draw and Verify a Process Flow Diagram

It is essential to Risk Assess each hazard into High, Medium, Low and Not Significant in order to eliminate purely theoretical Hazards.

• List all possible Hazards for the Process or Product

• Agree the Control Measures for each Hazard

• Carry out a Risk Assessment for each Hazard• Record and discard Hazards of very low significance

• Identify Pre-Requisite Program (PRP) issues

HACCP - PracticalPhase 2 – Flow Diagram & Hazard Analysis

It is important to name each Process Step in as FEW WORDS as possible and to DESCRIBE WHAT HAPPENS to the ingredient or product at the Process Step.

• Draw up a Process Flow Diagram

Goods Inwards

Frozen Storage Chilled Storage Dry Storage

PreparationDefrost

Cooking

Hot Display

Serve


• List all Possible Hazards for the Process / Product

It is useful to describe the type of hazard, e.g. “Micro growth” followed by the possible cause of that hazard e.g. “(temperature not low enough)”.

Process Step Hazard (Possible cause) Control Measure

1. Goods Inwards Micro growth (temp, not low enough)

Suppliers temperature controlled delivery vehicle.

Micro growth (out of date produce)

Use reputable supplier, check best before date.

Physical contamination (burst packaging in transit)

Reputable delivery company, inspection at Goods Inward.

2. Chilled Storage Micro growth (temperature not low enough)

Effectively operating chiller / fridge.

Micro growth (use by / best before date exceeded)

Stock rotation procedure

Physical contamination (uncovered product)

Store opened product in sealed containers.

HACCP - Practical




2.1 Frozen Storage Micro growth (temp, not low enough)

Suppliers temperature controlled delivery vehicle.

Micro growth (out of date produce)

Use reputable supplier, check best before date.

Physical contamination (burst packaging in transit)

Reputable delivery company, inspection at Goods Inward.

3.1 Defrost Micro growth (temperature not low enough)

Effectively operating defrost procedure.

2.2 Dry Storage Physical Contamination (open produce)

Store opened goods in sealed containers.

Physical Contamination (pests) Pest Prevention Measures, store in pest proof containers.

Phase 2 – Flow Diagram & Hazard Analysis





4. Preparation Micro growth (temp, not low enough)

Minimum time out of chilled storage

Micro cross contamination (between raw and cooked foods)

Separate utensils for raw & cooked foods. Hygiene procedures.

Physical contamination (from room, equipment, etc)

Clean as you go policy.

Chemical contamination (pesticides on vegetables)

Vegetable wash procedure.

5. Cooking Micro survival (inadequate cooking time & temperature)

Cooking to correct time and temperature.

Chemical contamination (cleaning residues in cooking vessel)

Cleaning procedure and checks prior to use.





5. Cooking Physical contamination (from room, food handler, etc)

Protective clothing and hygiene policy, clean as you go policy.

6. Hot Display Micro growth (temperature not high enough)

Sufficient heat to prevent bacterial growth.

Micro contamination (from room, people, etc)

Sneeze shields, cover exposed produce.

Physical contamination (from room, people, etc)


Chemical contamination (from Bain Marie / Storage Vessels)

Cleaning procedure, checks before use.

7. Serve Micro cross contamination (crockery & utensils)

Cleaning procedure, checks before use.


• Identify the Pre-requisite Programs (PRPs)

It is important to be aware of the difference between a Pre-requisite Program (PRP) activity and a Critical Safety problem. PRP’s are part of accepted good practice and should be happening as part of another management system, such as Quality, Cleaning or Pest Control.

Process Step

Hazard (Possible cause) Control Measure


Protective clothing and hygiene policy (PRP), clean as you go policy(PRP).

Micro growth (temperature not high enough)









Cleaning procedure,(PRP) checks before use.


Decide to show or not show the PRP’s in the HACCP Plan

It is sometimes better to show your PRP’s as part of your HACCP documentation as it gives a “one stop shop” for all information related to Food Safety and helps when you come to train all staff in the use of the system.

• Decide before proceeding to the Risk Assessment

• Document your decision in the Terms of Reference document• Retailers don’t like to see PRP’s in HACCP plans

• There are benefits to including them; such as:• Ease of Staff Training• One overall, integrated Management System• A “one stop shop” for all Food Safety information

• PRP’s in HACCP plans for small business is generally a good thing

HACCP - Practical

The Risk Assessment can be carried out by asking two simple questions about each Hazard as follows:

Q1. What are the consequences of this hazard?

Q2. What is the likelihood that this hazard will occur?

If we assess these two questions together in a grid we can easily arrive at a decision of overall significance and set a threshold above which we deem the Hazard as “Not significant” and therefore not to be included in the HACCP Plan.


HACCP - Practical

Risk Assessment Matrix:

Use the above Risk Assessment Chart to decide on your levels of Risk. Generally anything above level S18 would not be significant.

Consequences / Likelihood

Fatality SeriousIllness

Illness MildIllness

NoIllness

Frequently(each Month)

S1 S3 S6 S10 S15

Regularly(each Year)

S2 S5 S9 S14 S19

Isolated Incidents(every 2-3 Years)

S4 S8 S13 S18 S22

Rarely Happens(every 5 years)

S7 S12 S17 S21 S24

Never Happens(never happened)

S11 S16 S20 S23 S25


HACCP - Practical

Risk Assessment Matrix:

Any Hazards that you identify as NOT significant should not appear in your main HACCP Plans but instead it should be documented why you arrived at this decision in terms of its significance.

Determine the significance of the Hazard,for example;

• A value of S1 would be highly significant and would most definitely require Control for safety.

• A value of S25 would be highly insignificant and wouldmost definitely NOT require Control for safety.

• All other levels of Significance between these two values can be divided into High, Medium, Low and Not Significant.


HACCP - Practical

Risk Assessment Example

In the case above we would not include the hazard Chemical contamination (from Bain Marie / Storage Vessels) as it is classed as Not Significant. We would record that we had carried out a Risk Assessment on the hazard however.

Process Step

Hazard (Possible cause) Risk Assessment

Consequences Likelihood Overall Level


Mild Illness Isolated Incidence

S18 Low


Serious Illness

Isolated Incidence

S8 Med


Serious Illness

Isolated Incidence

S8 Med


Mild Illness Isolated Incidence

S18 Low


Mild Illness Rarely Happens

S21 Not Significant


HACCP - Practical

Having Eliminated all non significant Hazards and decided if we are including PRP’s we can now move to Phase 3 of the HACCP plan

• In preparation for this we have a final list of Hazards and their proposed Control Measures ready to assess for Critical Control Points (CCPs)

Process Step

Hazard (Possible cause) Control Measure



Micro survival (cooking temp. not high enough)

Sufficient heat to destroy bacteria.








HACCP - PracticalPhase 3 – Determine CCP’s, Critical Limits, Monitoring, Corrective Action

To determine the CCP’s we will use a Decision Tree like the one below:

Yes

No

Q1. Are Control Measures in place for the hazard? Modify Process Step

Q2. Is the Process Step designed to eliminate or reduce the hazard to an acceptable level?

Is Control required for

Safety?

CCP

Q3. Could the hazard increase to an unacceptable level?

Q4. Does a later Process Step control this hazard? Not CCP

No

YesNoNo

Yes

Yes No

Yes

HACCP - Practical

We now apply the Decision Tree to each Hazard identified for each Process Step:

Process Step Hazard (Possible cause)

Control Measure Q1 Q2 Q3 Q4 CCP



Y N Y N PRP CCP



Y Y - - CCP

6. Hot Display Micro growth (temp. not high enough)


Y Y - - CCP



Y N Y N CCP



Y N Y N CCP

Notice that if we answer Yes to Question 2 in the Decision Tree then we DO NOT answer Questions 3 and 4 as it is already a CCP.

Phase 3 – Determine CCP’s, Critical Limits, Monitoring, Corrective Action

HACCP - Practical

Lets see how we arrived at our decision – example 1 - Part 1:Process Step Hazard (Possible

cause)Control Measure Q1 Q2 Q3 Q4 CCP



Y N Y N PRP CCP



Y Y - - CCP

Hazard: Physical contamination (from room, food handler, etc)

Q1 Answer: Yes – We have already selected a Control Measure.

Q2 Answer: No – The Process Step “Cooking” does not control this hazard.

Q3 Answer: Yes – It is possible that this hazard could get out of control, e.g. A change in staff and lack of hygiene training might cause this to happen.

Q4 Answer: No – A later process step in the will not remove any Physical contamination. The later process steps are “Hot Display” and “Serve Customer” and neither of these would detect any physical contamination.


HACCP - Practical

Lets see how we arrived at our decision – example 1 - Part 2:Process Step Hazard (Possible




Y N Y N PRP CCP



Y Y - - CCP


Control Measure: Notice that we are using PRP’s to control this hazard. Therefore this should automatically eliminate the Hazard as a CCP and it would not normally be included in the final HACCP documentation.

This is because this hazard should already be handled by the PRP programs which should be documented and checked to ensure the PRP controls are effective.


HACCP - Practical

Lets see how we arrived at our decision – example 2:Process Step Hazard (Possible




Y N Y N PRP CCP



Y Y - - CCP

Hazard: Micro survival (cooking temp. not high enough)

Q1 Answer: Yes – We have already selected a Control Measure.

Q2 Answer: Yes – The Process Step “Cooking” is DESIGNED to control this hazard.

Q3 Answer: N/A – No answer is required as we already have a CCP on answer Yes to Question 2.

Q4 Answer: N/A – No answer is required as we already have a CCP on answer Yes to Question 2.


HACCP - Practical

Some key tips when using the Decision Tree questions:Q1: Are Control Measures in place for the Hazard?

Q2: Is the Process Step designed to eliminate the Hazard to an acceptable level?

Q3: Could the Hazard increase to an unacceptable level?

Q4: Does a later Process Step control this hazard?

Tip: Because we have already identified the possible Control Measure during Phase 1 the answer to this question is almost always Yes.

Tip: Substitute the Process Step name and the Hazard name into the Question and read it back to answer this question, e.g.: “Is the Process Step (Cooking) designed to eliminate or reduce the Hazard (Micro survival (due to inadequate cooking temperature)) to an acceptable level?”

Tip: You need to consider what changes might occur that could cause the Hazard to occur more frequently. Things like changes in Staff, Management, The Process Step, Ingredients, suppliers, even the seasons can affect the answer to this question.

Tip: Make a list of the later Process Steps “downstream” of the current Process Step and decide if any of those Process Steps will control the Hazard.


HACCP - Practical

Control Measure: Protective clothing and hygiene policy (PRP), clean as you go policy(PRP).

Setting the Critical Limits, Monitoring and Corrective Actions:Example 1:


Critical Limit: Not applicable as not a CCP.Monitoring Procedure: Defined in PRP documentation.

• PRPs should be separate from the main HACCP Plan and should be in place BEFORE implementing HACCP.

Key Notes:

Corrective Action: Defined in PRP documentation.


HACCP - Practical

Setting the Critical Limits, Monitoring and Corrective Actions:Example 2:

Hazard: Micro survival (cooking temp. not high enough).Control Measure: Adequate cooking time and temperature.Critical Limit: Minimum core temperature 75oC for 2 minutes.

Monitoring Procedure: Check temperature of food each cooking batch.

• The Monitoring Procedure needs to be able to detect any changes in the Critical Limit values either directly or indirectly:

• The Critical Limit needs to be measurable.

• The Corrective Action needs to be able to re-gain control and take steps to prevent the lack of control in future.

Key Notes:

Corrective Action: Re-cook until time and temperature achieved. Check cooking equipment, re-train Cook.


HACCP - Practical

Avoid a Common Mistake:

• Monitoring does NOT Control Hazards, it MEASURES them:• Example: Having a Control Measure “Check temperature every batch” is NOT a Control Measure, it is a Monitoring Procedure.

Control Measures ACT ON the Hazard CONSTANTLY during the Process Step, they DON’T MEASURE ANYTHING. Only Monitoring Procedure’s Measure values.

• Control Measures PREVENT the Hazard from occurring.

• A Monitoring Procedure tells you if a Hazard IS OCCURRING or IS LIKELY TO OCCUR.


HACCP - Practical

Assign Responsibilities:

• Decide who is going to be responsible for each aspect of the HACCP Plan, i.e.

• Control Measures – this varies from Food Handlers to Engineers.

• Ongoing Management & Supervision - Managers

• Critical Limits and their Management - usually the HACCP Team.

• Monitoring Procedures – Food Handlers, Supervisors and Managers

• Corrective Actions – usually Supervisors and Managers


HACCP - Practical

In Practice, we would use a Template to complete the Hazard Analysis:

Process Step Hazard Type

Severity

Likelihood

Overall Risk

Control Measure

Decision Tree

Critical LimitMonitoringProcedure

CorrectiveActionQ1 Q2 Q3 Q4 CCP

5. Cooking Micro survival (cooking temp. not high enough)

Micro 3 3 S13(Med)

Adequate cooking temperature and time.

Y N Y N Y Product Cook at Temp. >75oC for at least 3 minutes.Resp: HACCP Team

Check Product Temperature each cook. Record on Cooking check sheet.Resp: Operative

Cook until temperature and time achieved.Resp: Supervisor

The template above shows how you can document everything on one form to make the Hazard Analysis easier.


HACCP - Practical

Identify Policies, Documents, Procedures and Forms

This approach ensures that the HACCP plan focuses on the essentials that are required for Food Safety.

• Review each Process Step and make a list of Policies, Procedures, Checklists and Forms that are required.

• Review existing Documentation and check to see what you do and don’t already have

• Review the Documentation you already have and ensure it is fit for purpose

• Design any new Documentation you require and test it to ensure it is usable and practical


HACCP - PracticalPhase 4 – Verify, Document & ReviewVerification is a way of checking that the HACCP plan is being used and followed as intended.

• Review the Process Flow and Hazard Analysis to ensure that it remains accurate.

Verification is a way of making sure the HACCP plan is correct and that staff are using it correctly.

Examples:

Checks: Carry out an Audit to ensurestaff know and are following procedures.

Checks: “Walk through” the Process Flow and ensure it is correct and look for any new hazards.

• Audit / Observe staff using the correct Monitoring Procedures

HACCP - PracticalPhase 4 – Verify, Document & ReviewDocumentation must be produced to show your HACCPplan, the thinking behind it and the overall Food Safety plans.

• Ensure that you don’t duplicate your Quality system and HACCP system

• Terms of Reference

• Make sure that you have documented the following:

• Hazard Analysis & Risk Assessment

• HACCP Chart (Template)

• Process Flow Diagram

• Supporting Policies, Procedures and Checklists (or references to them)

HACCP - Practical

Reviews must be carried out regularly and when anything in the Process changes.

• A Validation Audit should be arranged at least annually

• Terms of Reference

• Validation checks that the system is still Valid, the following must reviewed to ensure everything is still Valid.

• Hazard Analysis & Risk Assessment

• HACCP Chart (Template)

• Process Flow Diagram

• Supporting Policies, Procedures and Checklists (or references to them)

Phase 4 – Verify, Document & Review

HACCP - PracticalImplementation and TrainingImplementation is CRITICAL to the success of your HACCP system.

• All Staff must be trained in the part they play within the HACCP system.

• The HACCP Information, Policy Documents, Procedures, Forms and Checklist must be readily available and Staff informed where to access them

• Training should be logged and signed off by each staff member such that they acknowledge the training and their specific responsibilities.

• Regular checks should be made on Staff to ensure that they continue to understand their role and responsibility as part of the HACCP system.

HACCP - PracticalSUMMARY• Pre-requisite Programs (PRP’s) need to be in place before HACCP is attempted.

• Within the HACCP Team roles and responsibilities must be clearly defined.

• Smaller Food businesses may need outside specialist help.

• HACCP Team knowledge of Product / Process, Food Safety and HACCP is required before starting a HACCP Project.

• The HACCP system is based on SEVEN principles and this is a logical approach starting with Hazards, their Control, Criticality, Monitoring, Corrective Actions, Documentation and Review.

• A HACCP project can be broken down into 14 stages that are grouped into FOUR distinct PHASES:

• Phase 1 – Terms of Reference.

• HACCP helps identify the Policies, Procedures and Checklists required for Food Safety.

• Phase 2 – Hazard Analysis & Risk Assessment.• Phase 3 – CCP’s, Monitoring & Corrective Actions.• Phase 4 – Verification, Documentation & Review.

• Implementation & Training are CRITICAL to a successful HACCP system.

Date post:	24-Jan-2017
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