CONTROL : HACCP,

Investigation,
Analysis &
Monitoring
Systems

Eileen B. Bandalan
INTRODUCTION

Consequences of Foodborne Illness and Food Injury:

o unpleasant
o Can be fatal
o Can damage trade and tourism
o Lead to loss of earnings
o Unemployment
o Litigation

Food spoilage is wasteful, costly and can adversely

affect trade and consumer confidence
 Effective hygiene control is vital to avoid the
adverse human health and economic
consequences of foodborne illness, foodborne
injury, and food spoilage.
Responsibility for food safety
o Producer/grower
o Manufacturer
o Distributor
o Transporter
o Retailer
o Consumer
The HACCP system
What is HACCP ?
It is a science based and systematic system
which identifies specific hazards and
measures for their control to ensure the safety
of food.

It is a tool to assess hazards and establish

control systems that focus on prevention
rather than relying mainly on end-product
testing.
 A management tool used to
protect the food supply against
biological, chemical and physical
hazards.

Preventive, not reactive

HACCP - Answers 3 questions

H azard WHAT hazards can enter

the product?
A nalysis
Where do these hazards
C ritical occur?
C ontrol How can we control or
P oint eliminate these hazards?
What are the benefits of HACCP ?

it enhance food safety

Can aid inspection by regulatory authorities

Promote international trade by increasing

confidence in food safety

HACCP can be applied throughout the food chain

from primary production to final consumption and
its implementation should be guided by scientific
evidence of risks to human health
 The successful application of HACCP requires the
full commitment and involvement of
management and the work force.
It also requires a multidisciplinary approach (
expertise in agronomy, veterinary health,
production, microbiology, medicine, public health,
food technology, environmental health, chemistry
and engineering)
The application of HACCP is compatible with the
implementation of quality management systems,
such as ISO 9000 series, and is the system of
choice of food safety within such systems.
Important terms to remember in HACCP application:
o Control (verb) : to take all necessary actions to ensure
and maintain compliance with criteria established in
the HACCP plan.

o Control (noun) : the state wherein correct procedures

are being followed and criteria are being met.

o 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

o Corrective action : any action to be taken when the

results of monitoring at the CCP indicate a loss of
control.
Important terms to remember in HACCP application:

o Critical Control Point (CCP) : 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.

o Critical limit : a criterion which separates

acceptability from unaccetability.

o Hazard : a biological, chemical, or physical agent in,

or condition of, food with the potential to cause
adverse health effect.
Important terms to remember in HACCP application:

o 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.

o Monitor : the act of conducting a planned sequence

of observations. Or measurements of control
parameters to assess whether a CCP is under control.

o Validation : obtaining evidence that the elements of

the HACCP plan are effective.
Important terms to remember in HACCP application:

o Verification: the application of methods, procedures,

tests and other evaluations, in addition to monitoring
to determine compliance with the HACCP plan.
Principles of the HACCP System
Principle 1 : Conduct a hazard analysis
Principle 2 : Determine the Critical Control Points (CCP)
Principle 3 : Establish Critical Limits
Principle 4 : Establish a system to monitor control of CCP
Principle 5 : Establish corrective action to be taken when
monitoring indicates that a particular CCP is
not under control
Principle 6 : Establish procedures for verification to
confirm that the HACCP system is working
effectively.
Principle 7 : Establish documentation concerning all
procedures and records appropriate to these
principles and their application.
 V
HA CCP CL M CA R

W H F W

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Guidelines for the Application of the HACCP system

Prerequisite programs necessary:

a) Design and facilities

b) Control of operation
c) Maintenance and sanitation
d) Personal hygiene
e) Transportation
f) Product information and consumer awareness
g) training

The efficacy of any HACCP system will nevertheless rely

on management and employees having the appropriate
HACCP knowledge and skills
 Logic Sequence for Application of HACCP

Establish documentation &

Assemble HACCP Team
record keeping

Describe product
Determine CCPs

Identify intended use

Establish critical limits for
each CCP
Construct flow diagram
Establish a monitoring
system for each CCP
On-site confirmation of flow
diagram Establish Corrective
Actions
List all potential hazards, Establish verification
conduct a hazard analysis, procedures
consider control measures
 step 1 : Assemble HACCP Team

The food operation should assure that the

appropriate product specific knowledge and
expertise is available for the development of an
effective HACCP plan.

Could be accomplished by assembling a

multidisciplinary team
 HACCP team
People chosen that have expertise in different
areas:
o Production
o Shipping
o Quality Assurance
o Sanitation
o Maintenance
o Sales
Step 2 : Describe product

A full description of the product should be

drawn up including relevant safety information

Step 3: Identify intended use

Should be based on the expected uses of the

product by the end user or consumer.
 Product Description
Product Name(s)
Important Product Characteristics
How it is to be used
Packaging
Shelf Life
Where it will be sold
Labelling Instructions
Special Distribution Control
Specific Ingredients
Step 4: construct flow diagram
should identify all key steps in the production
process starting from receiving of the raw
materials.

Storage Packagin
Preparati Distributio
Receiving and g and Storage
on n
Holding Labelling
 Step 5 : on-site confirmation of flow diagram
To establish that the diagram actually represents
the exact operation/processing.

Step 6: list all potential hazards, conduct hazard

analysis (Principle 1)

Should be carried out in two stages: hazard

identification and hazard evaluation
 In conducting hazard analysis, the following should
be included (wherever possible):
The likely occurrence of hazards and severity of their
adverse health effects;

The qualitative and /or quantitative evaluation of the

presence of hazards;

Survival or multiplication of microorganisms of

concern;

Production or persistence in foods of toxins, chemicals

or physical agents;

Conditions leading to the above

Food Safety Hazards
Transportation,
Raw material Process and
Environment ) Distribution
Hazards

Biological Chemical Physical

Toxins Metal
Compound Glass
Pathogens Residue Stone
Virus Spoilage Radiate
Parasite

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 Hazard-Analysis Worksheet
1 2 3 4 5 6
Ingred Identify Are any Justify What Is this step
ient/p potential potential your preventati a CCP
rocessi hazards food- decision ve Yes/No
ng introduce safety for measure(s)
step d hazards column 3 can be
controlled significant applied to
or Yes/No prevent
enhanced HA?

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Step 7 : determine CCP

HACCP Emphasizes on process

control
Concentrates on the points in the
process that are critical to the safety
of the product

can be facilitated by the application of a

decision tree which indicates a logic reasoning
approach.
Q1 Do control preventive measure(s) exist?

NO MODIFY step, process or

YES
product

Is control at this step

necessary for safety? YES

NO Not a CCP STOP

Q2 Is the step specifically designed to eliminate or reduce the

likely occurrence of a hazard to an acceptable level?

NO
YES

CCP
 NO

Q3 Could contamination with identified hazard(s) occur in

excess of acceptable level(s) or could these increase to
unacceptable level(s)?

YES NO Not a CCP STOP

Will a subsequent step eliminate identified hazard(s) or

Q4
reduce likely occurrence to an acceptable level?

STOP Not a CCP YES NO CCP

Figure 1. Decision tree diagram to identify CCPs

 CCP
decision tree

ccp
Not ccp
Decision tree is just a tool,
you have to consider the
property of the product
and the process, as well
as relevant data and
information when
determining CCPs. 30
Step 8 : Establish Critical limits for each CCP

critical limits will serve as a criteria for accepting

or rejecting a raw material, ingredient or product
that is a CCP.

A critical limit is commonly a maximum value of

a parameter that must not be exceeded or a
minimum value that must be reached at a CCP.

These limits should be measurable.

 HACCP Plan Form
Monitoring
Critical Corrective
CCP Hazards Limits Action(s)
Records Verification
How
What How Who
Often

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Step 9 : Establish a monitoring system for each
CCP (Principle 4)
monitoring is the scheduled measurement or
observation of a CCP relative to its critical limits.

Monitoring can reveal whether a trend toward

loss of control at the CCP is developing so that
appropriate action can be taken to prevent loss
of control before it actually occurs.
 Purposes of Monitoring

o Facilitates tracking of the operation

o Indicates when there is a loss of
control and a deviation occurs
o Provides written documentation for use
in verification

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 M

W H F W

What a measurement or observation to asses

if the CCP is operating within the critical limit.
How Usually physical or chemical
measurements or observations
Frequency can be continuous or intermittent.
Who someone trained to perform the specific
monitoring activity.

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 Suitable Monitoring
o Visual observations
o Temperature
o Time
o pH
o Moisture level
o Salt
o Water activity

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Step 10 : Establish corrective actions (principle 5)

Specific corrective actions must be developed

for each CCP in the HACCP system in order to
deal with deviations when they occur

The actions must ensure that the CCP has been

brought under control
Step 11 : Establish verification procedures
(principle 6)
Refers to procedures, tests, verification and
auditing methods including random sampling
and analysis that can be used to determine if the
HACCP system is working correctly

Should be carried out by someone other than

the person who is responsible for performing the
monitoring and corrective actions.
 Elements of Verification

CCP verification activities

--Calibration of monitoring equipments
-- Targeted sampling and testing
--CCP record review
HACCP system verification
--Internal audit
--External audit

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Validation personnel
HACCP team
trained personnel with experience
Client
qualified third party
Official

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Examples of verification activities include:

Review of the HACCP system and plan as well as

its records

Review of deviations and products dispositions

Confirmation that CCPs are kept under control

Where possible, validation activities should

include actions to confirm the efficacy of all
elements of the HACCP system.
Step 12 : Establish documentation and Record
keeping (principle 7)
HACCP procedures should be documented
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.

Documentation examples are:

Hazard analysis
CCP determination
Critical Limit determination
 is an essential part of a
successful HACCP program.
Records provide evidence that
the CLs have been met or that
appropriate CAs were taken
when the limits were exceeded.
 Records serve as written evidence of the
establishments compliance with its
HACCP plan.
Records allow the plant to trace the
history of an ingredient, in-process or a
finished product (should problems arise).
Records help identify trends in a
particular operation that could result in a
deviation if not corrected.
 In the event of a product recall,
HACCP records could help identify
and narrow the scope of such a
recall.
Well maintained records are good
evidence in potential legal actions.
 Recording System Includes:
Description of HACCP system
Hazards analysis including modification
CCP determination
Critical Limit determination
CCP monitoring activity and results
Deviation and associated corrective actions
Training Verification
Modifications to the HACCP system
SSOP monitoring record
Complaint and recall
External audit Other activities46
following must be kept
HACCP plan support document

CCP monitoring records

Corrective action records

Audit records.

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Maintenance of the HACCP system

the monitoring procedures, the corrective

action procedures, the verification
activities and the record keeping at each
CCP and for all the HACCP plans in the
HACCP system must operate
continuously and in exactly the manner as
they were initially developed and
implemented.
Conditions or situations that leads to the
modifications of HACCP plan:

The intended use of the product has changed

There is a change in one or more raw materials,

ingredients, or packaging materials used for
preparing the product

There is a change in the process for preparing

the product

There is addition, replacement or modification of

equipment used in the process.
HACCP is not a zero
risk system

It is designed to minimize
the risk of food safety
hazards, keeping to
improve
Fail-
Safe
 Mandatory

HACCP
Recommendation
Mandatory
GMP
ISO
GHP

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Thank you!