Hazard Analysis And Critical Control Points

Training Modules on General Food Safety Plans for the Food IndustryHazard Analysis andCritical Control Points2012 APEC Secretariat, Michigan State University and The World Bank Group.

IntroductionThis module is part of a training program on General FoodSafety Requirements for the Food Industry.This program was developed through a partnership facilitatedby the Partnership Training Institute Network (PTIN) of theFood Safety Cooperation Forum (FSCF) of the Asia PacificEconomic Cooperation (APEC) Forum. The educationalcontent was designed by faculty at Michigan State Universitywith additional content contributed by the GroceryManufacturers Association of America. Funding for this effortwas provided by The World Bank Group.To learn more about the APEC FSCF Partnership TrainingInstitute Network, please visit http://fscf-ptin.apec.org/ .2012 APEC Secretariat, Michigan State University and The World Bank Group.

Module OverviewImplementing an effective food safety management system is critical to the production of safe food.Management systems based on Hazard Analysis and Critical Control Points (HACCP) are theinternational standard as recognized by the Codex Alimentarius Commission. HACCP systems buildupon effectively designed and implemented prerequisite food safety programs, and focus on threekey concepts: 1) identifying significant food safety hazards, 2) controlling these significant hazards,and 3) documenting the system.This learning module focuses on requirements for implementing HACCP systems as described in theCodex Alimentarius General Principles of Food Hygiene. The following topics will be discussed: Introduction to HACCPPreliminary StepsPrinciple 1 – Conduct a Hazard AnalysisPrinciple 2 – Identify Critical Control PointsPrinciple 3 – Determine Critical LimitsPrinciple 4 – Determine Monitoring ProceduresPrinciple 5 – Determine Corrective ActionsPrinciple 6 – Determine Verification ProceduresPrinciple 7 – Record-Keeping Procedures2012 APEC Secretariat, Michigan State University and The World Bank Group.

Training Modules on General Food Safety Plans for the Food IndustrySection 3-1:Introduction to HACCP2012 APEC Secretariat, Michigan State University and The World Bank Group.

Preliminary StepsSection OverviewThis section will introduce the reader to general concepts regarding the Hazard Analysis and CriticalControl Point system for food safety management. HACCP systems are internationally recognized asthe “Gold Standard” for risk-based management of food safety hazards. The following topics will bediscussed: Definition of HACCP Origins of HACCP Process control versus testing Food safety hazards Prerequisite programs and HACCP HACCP plans HACCP plans – getting started The seven HACCP principles 2012 APEC Secretariat, Michigan State University and The World Bank Group.Photo: Public Domain

Learning ObjectivesAt the conclusion of this section, the learner will be able to: define HACCP and list the five preliminary steps and seven principles that form the basisfor HACCP systems, discuss the origins and history of HACCP systems, discuss the merits of process control versus end-product testing for management offood safety hazards, define a food safety hazard and list examples of biological, chemical and physicalhazards, list common prerequisite programs and discuss their importance in overall food safetymanagement, and describe HACCP plans and considerations in their development.2012 APEC Secretariat, Michigan State University and The World Bank Group.

IntroductionDefinition of HACCPHazard Analysis and Critical Control Points (HACCP) is “asystematic approach to the identification, evaluation, and controlof food safety hazards.” Proper implementation of HACCPsystems provides the framework to produce foods safely and toprove they were produced safely.HACCP systems: specifically focus on food safety, not all attributesconstituting food quality, are applicable to all phases of food production, focus on prevention and control of potential food safetyhazards rather than inspection, and emphasize the use of science and technology to ensure theproduction of safe food.Graphic: Public Domain2012 APEC Secretariat, Michigan State University and The World Bank Group.

IntroductionOrigins of HACCPFood safety management systems, including HACCP, have evolvedfrom total quality management systems developed by W.E.Deming in the 1950s. Deming emphasized a systems approach tomanufacturing which managed all aspects of product quality.HACCP food safety systems also trace their origins to work by thePillsbury Company, United States Army, and the U.S. NationalAeronautics and Space Administration (NASA) on food safety formanned space flights in the 1960s. Given the critical importanceof food safety for the astronauts, a “zero defects” program wasdeveloped for space foods which emphasized process control asopposed to end-product testing. This emphasis on processcontrol is a defining characteristic of modern HACCP systems.HACCP was officially adopted as a recommended approach forfood safety management by the Codex Alimentarius Commissionin 1993. The document “Hazard Analysis and Critical ControlPoint (HACCP) System and Guidelines for its Application” wasincluded as Annex A to the Codex General Principles of FoodHygiene in 1997.2012 APEC Secretariat, Michigan State University and The World Bank Group.Photo: Public Domain

IntroductionProcess Control versusEnd-Product TestingHACCP systems emphasize identification of significant hazards ina food process and implementation of systems to control thesesignificant hazards. For example, thermal processes such aspasteurization are designed to control microbiological hazards indairy and juice products.End-product testing can be an ineffective method to ensure foodsafety. The potential efficacy of end-product testing to ensurefood safety depends upon many factors, including: specificity, sensitivity, and speed of the testing methodology, likelihood of occurrence of the hazard being detected, and ability of the sampling and testing protocols to recover andidentify the hazard in question.Because of these limitations, end-product testing typically is notrelied upon as a sole indicator of food safety. Rather, testinggenerally is used as an adjunct to verify that effective processeshave been implemented to achieve the appropriate level of foodhazard control.Photo: Public Domain2012 APEC Secretariat, Michigan State University and The World Bank Group.

IntroductionProcess Control versus TestingEnd-Product TestingHere is an example to illustrate the challenges associated withthe use of end-product testing to ensure food safety.Assume: We are using end-product testing to detect Salmonellacontamination in a finished food product. Salmonella contamination is not prevalent in this product –e.g. one pack in every 1,000 packs produced iscontaminated with Salmonella. The laboratory randomly samples and tests 60 packs fromevery 1,000 packs.Then: In this scenario, the probability of detecting the defectivepack (one positive test for Salmonella) is 6%. Conversely, the probability of accepting the entire lot asbeing free of Salmonella is 94% (all samples test negativefor Salmonella).2012 APEC Secretariat, Michigan State University and The World Bank Group.Photo: Public Domain

IntroductionProcess Control versus TestingEnd-Product TestingOther scenarios where end-product testing is not reliable toensure food safety are instances where: Characteristics of the product and non-homogeneousdistribution of the hazard make detection difficult (e.g.detection of Enterohemorrhagic E. coli in combo bins of beeftrimmings). The product is highly perishable and end-product testingmethodologies may not be completed prior to distributionand consumption of the product (e.g. detecting hazards inhighly perishable fresh food items). Testing methodologies are not sufficiently sensitive to detectthe hazard in question (e.g. detection of certain viruses infoods).Despite these limitations, it is important to note that there aremany scenarios where end-product testing is an excellentverification step or primary control for specific food safetyhazards.Photo: Public Domain2012 APEC Secretariat, Michigan State University and The World Bank Group.

IntroductionFood Safety HazardsA food safety hazard is defined by the Codex Alimentarius as “a biological, chemical or physicalagent in, or condition of, food with the potential to cause an adverse health effect.”Examples of compounds that could be food safety hazards include the following:Biological HazardsChemical HazardsPhysical HazardsBacterial Pathogens(e.g. pathogenic Escherichiacoli strains, Salmonella)Natural Toxins(e.g. shellfish toxins,mushroom toxins)MetalParasites(e.g. Cryptosporidiumparvum, Cyclosporacayetanensis)AllergensViruses(e.g. Norovirus, Hepatitis Avirus)Heavy Metals(e.g. Mercury, Cadmium)Drugs(e.g. used in aquaculture oranimal husbandry)Insecticides, Fungicides, etc.2012 APEC Secretariat, Michigan State University and The World Bank Group.GlassBone (when not expected)Hard or sharp foreign objects

IntroductionPrerequisite Programs and HACCPBefore a HACCP system can be implemented, thecompany must be operating in accordance withgood hygiene and good manufacturing practices.These prerequisite programs (PRPs), which arediscussed elsewhere in this curriculum, providethe strong foundation which is necessary toensure the food facility is capable of producingsafe food. These PRPs must be in place beforeeffective HACCP programs can be implemented.The importance of effective PRPs cannot beoverstated, as they are the foundation of theHACCP plan. Inadequate PRPs may lead toadditional critical control points that would haveto be identified, monitored and maintained underthe HACCP plan.2012 APEC Secretariat, Michigan State University and The World Bank Group.HACCPSanitationand HygieneGoodManufacturingPractices

IntroductionPrerequisite Programs and HACCPThe following are examples of common prerequisiteprograms : Building and equipment design, fabrication andmaintenance Production line design and product flow Cleaning and disinfection programs Equipment calibration Management commitment Supplier approval Product Specifications Water quality Staff hygiene practices Staff training Staff health Pest control Waste control Storage and Distribution Product recallPhoto: Public Domain2012 APEC Secretariat, Michigan State University and The World Bank Group.

IntroductionHACCP PlansAs stated previously, HACCP is “a systematic approach to theidentification, evaluation, and control of food safety hazards.”Key to the effective implementation is the written HACCP Plan,which is a document prepared in accordance with the principlesof HACCP to ensure control of hazards that are significant forfood safety in the segment of the food chain under consideration.It is important to note that HACCP plans are specific to a foodproduct and process. The plan is written by the HACCP team atthe firm based upon the specific conditions in that facility. Anychanges in product characteristics or processing steps will likelynecessitate re-evaluation of the written HACCP plan.The written HACCP plans at two facilities that are producing thesame food product are likely to be different due to a variety ofreasons including differences in types of equipment used,management of prerequisite programs, and other factors.Photo: Public Domain2012 APEC Secretariat, Michigan State University and The World Bank Group.