CHAPTER 1

INTRODUCTION TO
FOOD QUALITY CONTROL
 DEFINITION
 Quality :
The condition of being such and such a sort as distinguished
from others; nature or character relatively considered, as of
goods; character; sort; rank.
That which makes, or helps to make, anything such as it is;
anything belonging to a subject, or predicable of it;
distinguish property, characteristics, or attribute; peculiar
power, capacity, or virtue; distinctive trait.
An acquired trait; accomplishment; acquisition.
Superior birth or station; high rank; elevated character.
Special or temporary character; profession, occupation,
assumed or asserted rank, part, or position.
 FOOD QUALITY
 It is always associated with :
Sensory qualities
Nutritional value
Product keeping quality
Freshness of the product
Product safety and wholesomeness
 DEFINITION
 Quality programme :
an activity/set of activities performed to ensure that the food
quality and food safety requirements of a food are being
fulfilled.

 Quality control programmes :

Activities consists of inspecting, testing, monitoring
associated with raw materials control, process control and
finished product control.
Objective : to determine whether the quality and safety
requirements are being fulfilled by detecting unacceptable
level of hazards or defects exist in foods (require reworks or
rejection)
 DEFINITION
 Quality Control :
A management function whereby control of the quality of:

i) Raw materials, assemblies, produced material, and

components

ii) Services related to production, and

iii) Management, production, and inspection process is

exercised for the purpose of preventing undetected
production of defective material or the rendering of faulty
services.
 DEFINITION
 Quality Assurance :
Control : All actions taken to ensure the standards and
procedures are adhered to, and that delivered products or
services meet performance requirements.
Quality Evaluation : The planned systematic activities
necessary to ensure that the component, module or system
conforms to established technical requirements.
Audit or Verify : The policy, procedures and systematic
actions established in an enterprise, for the purpose of
providing and maintaining a specified degree of confidence in
data integrity and accuracy throughout the lifecycle of the
data,which includes input, update, manipulation and output.
QUALITY CONTROL vs QUALITY ASSURANCE
QUALITY CONTROL
 Quality control (QC) are
operational techniques and
activities that are used to fulfill
requirements for quality
 A tactical function which carries
out the programmes establish by
the QA
QUALITY ASSURANCE
 Quality Assurance (QA) are all
those planned requirements for
quality
 QA is a strategic management
function which establishes policies
adaptable programmes to meet
established goals and provides
confidence that these measures are
being effectively applied
 QUALITY MANAGEMENT TOOLS

 Statistical Quality Control (SQC)

 Quality Circles

 Total Quality Management

 ISO 9000

 HACCP
 DEFINITION
 Total Quality Management :
A management strategy to embed awareness of quality in all
organisational process i.e. :
A quality philosophy that reaches all levels of organisation
There is no well-defined standard
Quality assurance through statistical methods is a key
component
TQM aims to do things right the first time, rather than need to
fix problems after they emerge or fester
TQM may operate within quality circles, which encourage the
meeting of minds of the workforce to improve production and
reduce wastage
 DEFINITION
 ISO 9000:
A quality management system aimed primarily at preventing
and detecting any non-conforming product during production
and distribution to the customer, and by taking corrective
action to ensure that the non-conformance does not occur
again.
Meeting the specification 100% of the time.
ISO 9000 series requirements are clearly defined including
documentation of all work processes affecting quality, but
how the requirements are to be met, is left largely to the
organisation
 DEFINITION
 HACCP:
Hazard Analysis Critical Control Point (HACCP)
A systematic approach to controlling food safety during
the manufacture of food and food products
Preventive system of assuring food safety through hazard
analysis and control measures
A system which identifies, evaluate, and control hazards
which are significant for food safety
HACCP is assessing problem, control and prevention, and
modification or correction.
 HACCP ISO 9000 TQM
Government-government Based on contract Based on exceeding/
(Regulatory agency) Supplier Customer meeting needs of
Producers Customer customers

Food safety Any commodity/service Any commodity/service

HACCP Concept ISO Standards TQM Experts

•Own check •ISO 9001 •Dennign
•ISO 9002 •Juran
•ISO 9003 •Crosby
•ISO 9004 •Etc.

Verified by competent Certified by independent Continuously monitored

authority surveyor as part of a continuous
improvement process
 OBJECTIVE OF QUALITY CONTROL
To protect the customers/consumers from dangers (e.g.
contaminated foods) and to ensure that they get the weight
and quality of food that they pay for.
To protect the business from cheating by suppliers, damage
to equipment (e.g. stones in raw materials) and false
accusations by middlemen customers or suppliers.
To be sure that food laws operating in a country are comply
with.
To obtain adequate information on all factors or
characteristics of a product affecting the quality of the
product.
 OBJECTIVE OF QUALITY CONTROL
Serves as the ‘nerve’ centre’ for management and each of
the separate departments.
Control over raw materials through setting of specifications.
Improvement of product quality.
Improvement of processing methods which resulting savings
in cost production and greater profits.
Standardisation of the finished product according to the label
specifications.
Increased order and better housekeeping of a sanitary plant.
Greater consumer confidence in the uniformity high quality of
the product.
 QUALITY MANAGEMENT SYSTEM

1) Food Safety:
HACCP system

2) Quality:
i.e. meeting buyers’ requirements including legality

3) Environmental Control:
Pre-requisite requirements for HACCP
 WHAT ACTIVITIES DO HACCP AND QC
HAVE IN COMMON
Quality tests used as verification procedures.
Quality-related tasks carried out as control points in HACCP
system.
Company policies used in the corrective action section of the
plan.
Procedures to monitor and audit practices (to ensure that they
are working).
A system that is adaptable to changes in product, procedure or
equipment.
A system that is solidly based on strong GMP
 IMPORTANCE OF QUALITY OF SAFETY

 Consequences to health and lives

 Consequences to trade
Detention, rejection and destruction
Economic loss and costs
Loss of commercials reputation
 ATTRIBUTES DESIRED BY CONSUMER

 Food safety – food which is safe and sound

 Economical – value for money
 Health
 Tasty
 Environmental concerns
 Convenience
 Ethics
RESPONSIBILITY OF QUALITY CONTROL
DEPARTMENT
 A team player – a leader in producing a quality product
efficiently
 Line inspection and control of:
Supplies, materials and raw products
Operating procedures
Finished products

 Physical evaluation of raw and processed products

 Chemical evaluation of raw and processed products
RESPONSIBILITY OF QUALITY CONTROL
DEPARTMENT
 Microbiological evaluation of raw and processed
products
 Warehousing conditions for shelf-life – time,
temperature and handling
 Sanitation control of products, processes and storage
 Waste disposal control
 Compliance with Federal, State and municipal
requirements and standards
 RESPONSIBILITY OF QUALITY CONTROL
DEPARTMENT
 Specification compliance during marketing and distribution
for consumer confidence and assuring the integrity of the
product and firm.
 Self-certification with government regulations
 Others :
Training
Problem solving
Development of test and operational procedures
Occupational safety and health regulation, and
Special research and development projects
 ROLES FOR OTHER DEPARTMENTS IN
MAINTAINING THE QUALITY

 Management  Marketing
Support Customer standards
Funding Current market
Staffing Competition
Training Liability
Evaluate Government standards
Independent lab. standards
Customer surveys
Dealers and store surveys
 ROLES FOR OTHER DEPARTMENTS IN
MAINTAINING THE QUALITY
 Purchasing  Research & Development
Select materials, Specifications
components Standards
Evaluate suppliers (rating, Tolerances
distances, etc)
Keep-it-simple
Single/Mulitple suppliers
Evaluate production
Follow-up rejects goods capabilities
Schedules Safety
Models
Life-testing
Engineering changes
 ROLES FOR OTHER DEPARTMENTS IN
MAINTAINING THE QUALITY

 Manufacturing Engineering  Inspection

Process Incoming
Equipment Equipment
Standards
Layout  Packaging and Shipping
Packing
Shipping
 Manufacturing
Employees attitude  Product Services
Training Install
Repair
Part supply
 NATIONAL FOOD QUALITY CONTROL UNIT

 General Objective

To protect the public aginst helath hazard and fraud in

preparation, sale and use of food
 NATIONAL FOOD QUALITY CONTROL UNIT
 Specific Objective
To ensure food is processed, stored and handled in a sanitary
manner
To ensure all food sold is :
- free from contamination and non-permitted additives
- in compliance with the required standards
- labelled and advertised properly, adequately and not misleading

To ensure food imported into this country is safe and complies with
the Food Act 1983 and the Food Regulations 1985
To ensure exported food from this country complies with the
standards required by the importing countries
To ensure that the public receive adequate information regarding
health aspects related to food
 NATIONAL FOOD QUALITY CONTROL UNIT

 Programme strategies
 Promulgation of legislation, codes of practices and guidelines

 Monitoring and surveillance of local and imported food

 Solving problem at source

 Inculcating good habits in food hygiene

 Continuous studies and research in food safety

 Assissting the small and medium industries

 Interagency co-ordination and collaboration both nationally and

internationally

 Strengthening the ‘Quality Assurance’ Programme

 NATIONAL FOOD QUALITY CONTROL UNIT

 Mission of Food Quality Control Division

To ensure food safety and uphold the nation’s integrity
in food quality control through shared reponsibility and
accountability on the basis of effective tripartite
management system towards Vision 2020
 HACCP :

A SYSTEMATIC WAY OF COPING

WITH RISK
 WHAT IS HACCP?

Hazard
Analysis
Critical
Control
Point
 WHY DO WE NEED HACCP?

What do we need to be concerned about?

How do we go about implementing one?
 WHERE DID HACCP COME FROM?

 Pillsbury Company and NASA

 Space Foods

 FMEA

 Low Acid Canned Foods

 ICMSF and NACMCCF

 Codex Alimentarius Commision

 WHY HACCP?
 Need for hygiene requirements (control measures) specific to
food and process and their associated potential hazards

 Priority control measures

 Need for ensuring that essential measures were correctly

implemented and carried out

 Need for planning of corrective measures in case of failure

 Need for monitoring the process parameters to be able to

control safety at all times
 FOOD BORNE DISEASES:
WIDESPREAD PUBLIC HEALTH PROBLEM

Sweeden 7%  WHO (diarrhea diseases)

10% Industrial world
Netherlands 15%
4 million cases/year

New Zealand 9%  USA (Foodborne diseases)

6.5 – 33 million cases/year
UK 7% Up to 9000 death/year
Cost of illness $5600M - $9400M
Canada 8%
 Australia
USA 10% 0.46 – 2.3 million cases/year
Up to 630 death/year
Cost of illness $487M - $825M
 FOOD BORNE DISEASES:
WIDESPREAD PUBLIC HEALTH PROBLEM
Hamburger Case : E. coli 0157:H7
A driving force for change in food safety & tradition in the
industrialized world
In 1993 outbreak attributed to uncooked hamburgers, caused 4
deaths and sickened hundreds of children
Resulted in large food recalls
Claims up to US$13mil
Low infectious dose, severe diseases consequences, acid
tolerance
A threat in unexpected new places
 FOOD BORNE DISEASES:
WIDESPREAD PUBLIC HEALTH PROBLEM
Hamburger Case : E. coli 0157:H7
Changes brought about by E. Coli 0157:H7
USDA/FDA
Food Science
- Traditional barriers need to be re-evaluated
Public Health
- other sources of contaminated food
Farming
- growing recognition of fruits and vegetables
International
- largest reported outbreak linked to radish sprouts in Japan
- lead to recommendation of preventive approaches (HACCP)
applied from farm to fork
HACCP SYSTEM : OBJECTIVE OF APPLICATION

Preventive of food borne illness

More
Reduction
efficient Reduction of
of costs of
quality losses due to
food
assurance product recall
analyses
system

Protection of reputation
 FOOD SAFETY

Assurance that food will not

cause harm to the consumer
when it is prepared and/or eaten
according to its intended use
Changing Pattern of Food Poisoning
Microbial + Socio-economics + Demographics
increased increased increased host
virulence/ transmission susceptibility
resistance

•Usually local issue •Widespread, multi state, international

•High dose •Low infective dose

•Organism readily isolated •Risk undetected by normal method

•Normal food processing will eliminate •May survive some processes (e.g.,
pathogen fermentation)

•Low mortality/easily treated with antibiotics •High motility, resistant to many antibiotics

•Traditional food known to be associated with •Food not previously associated with food
food borne disease: meat, seafood, poultry borne disease: fruit juice
Consequences of foodborne infections

Food borne infections

Diarrhea
Socio-economic
Malnutrition
impact
Other illness

Individual Community
 FACTORS ASSOCIATED WITH FOOD
POISONING OUTBREAKS
 Temperature abuse (i.e. keeping food in the Temp. Danger
Zone of 5oC – 60oC for too long)
Incorrect storage and distribution temperature
Cooling of food too slowly
 Inadequate cooking process
Undercooking
Consumption of food in the raw state, which traditionally the food
is been cooked
Inadequate re-heating process (heating at too low temp. to kill
pathogens)
 Preparation too far in advance which giving microorganisms an
opportunity to multiply
 FACTORS ASSOCIATED WITH FOOD
POISONING OUTBREAKS
 Cross-contamination
Food coming into contact with pathogens during growing and
harvesting/slaughtering
Food to food contact – raw and cooked food coming into contact
Dirty equipments and surfaces
Incorrect storage
 Poor hygiene of staff
Failure to wash hands or changing gloves
Infected food handlers are working/ in direct contact with food
Lack of uniforms or dirty uniforms
 OTHER FACTORS ASSOCIATED WITH UNSAFE
FOOD FOR CONSUMPTION

 Presence of unwanted chemicals and foreign matter

Chemicals can cause acute poisoning, allergic reactions or long
term illness
Allergens are becoming a serious issue
Serious consequences may arise from the ingestion of foreign
matter such as glass, stones or other foreign matter that may
simply be unpleasant to the consumer
Risk analysis of chemicals in foods
Risk
Characterization

Hazard Socio-economic/
Characterization Political
End-point Assessment
Dose response Risk-Benefit
Hazard Cost-Benefit Risk
Identification Communication
Expose
Assessment Options
Level in food Regulatory
Dietary intake Voluntary
Non-intervention

Risk Monitoring and Risk

Assessment Evaluation Management
 EVOLVING FOOD SAFETY CONCEPTS
 Current-HACCP (risk based system with PRP in place)
Putting responsibility on industry to ensure safe food
 Modern food safety assurance system
GMP/GHP for safe food production + implementation of HACCP
from ‘farm to fork’
 Modern food inspection
Regulatory assessment of HACCP and GMP

 Pathogen-commodity combination approach and pathogen

reduction program
Trends in Managing Food Safety Risks
Good Manufacturing Practice (GMP)
Good Hygiene Practice (GHP) } Necessary but not
always sufficient

Public health based goals

ALAR (e.g. yearly incidence of
(as low as reasonable) salmonellas below 20 cases /
100 000 population

•Technology capabilities vary •In term of population

•Ideas of reasonable varies •Not related to specific foods
•Pathogen-commodity
combination approach

ISSUE OF PREVALENCE : do different systems of food safety risk

management provide the same degree of public health protection?
 HACCP SYSTEM

A system assuring Food Safety by having:

 Prevent problem before it occurs
Preventive controls for every specific product and process
 Clearly defined practices under which plant staff prevent
hazards occuring
 Procedures to monitor and audit the practices (to make sure
they are workable as intended)
 Cost effective assurance of food safety, placing more
responsibilty on operating staff
 Science based and systematic
 Identifies specific hazards and establish measures for their
control
 HACCP SYSTEM

 Focus on prevention, rather than end-product testing

 Capable of accomodating change, such as advances

technologies development

 Can be applied through food chain, from the primary

producer to final consumer

 Provide evidence that essential production/process

conditions were under control

 Requires top management to be strongly committed to the

HACCP plan
 HACCP SYSTEM
 HACCP is not a stand alone control system, it is one part of a
large system of control

 HACCP plans apply to specific processes, and are in

additional to :
Appropriate food safety legislation

Codes of practice for hygiene

Codes of Good Manufacturing Practices (GMP)

 HACCP CONCEPT

Identification of potential food safety problems

Determination of how and where these can be prevented

Description of what to do and training of the personnel

Implementation and recording

 Pre-Requisite Program
(Support Programs)

Support
Program Supplier
GMP Management
Programs

Cleaning Microbiological
and Program
Sanitation
Food
Preservation &
Contamination
GOOD MANUFACTURING PRACTICE (GMP)

Equipment
Buildings & Operation
& Calibration &
Environment Maintenance

Temporary
Vendor GMP Services

Cleaning
Pest Control
&
Program
Sanitation
Personnel Training
 GOOD MANUFACTURING PRACTICE (GMP)

Good Manufacturing Practice (GMP) is a

comprehensive system, so designed, documented
and implemented, and so furnished with
personnel, equipment and resources, as to ensure
that specifications set to achieve the intended
product quality standards are consistently met.
 GOOD MANUFACTURING PRACTICE (GMP)
Hygiene Control
Applies to additive addition, sanitation principle,
personnel etc.
Set of rules that supports the companies standards
regarding hygiene and handling / processing procedures
specific to the product.
 PRE-REQUISITE PROGRAMMES

 Procedures based on GMP and Hygiene

Control that address operational conditions,
providing the foundation of HACCP.
 Role of PRP is to control or eliminate
hazards wherever possible, to provide basic
environment and operating conditions
necessary for the production of safe,
wholesome food. Without well defined,
effective PRP programs, HACCP program
will fail.
Good Manufacturing HACCP Prerequisite
Practices Hygiene Program
Premises Premises

Equipment Equipment

Personnel Personnel

Manufacturing Controls (is part of HACCP plan)

Sanitation Sanitation

Records (record keeping is fundamental to all the

prerequisites and HACCP plan)
Recall Recall

Receiving/Storage/Transportation Receiving/Storage/Transportation
APPLYING PRE-REQUISITE PROGRAMMES
Like HACCP, the programme should be written, and
Identify any steps in their operations which are critical to the
safety and suitability of food;

Implement effective control procedures at those steps by

having clear operating procedures;

Monitor control procedures to ensure their continuing

effectiveness;

Maintain appropriate records; and

Review control procedures periodically, and whenever the

operations change
 PREMISES

1) Plant layout and all building materials

Plant design and construction must be such as to protect food
farm in sanitary conditions.
Traffic flow patterns analysed for areas of cross contamination
separation of operations, adequate working space, lighting,
ventilation, building and grounds maintenance etc.

2) Sanitary facilities and controls

Water, plumbing, sewage disposal, toilet facilities, hand-
washing facilities and supplies, waste disposal
 EQUIPMENT
 Design, maintenance, proper construction
materials, surfaces, cleaning

PERSONNEL TRAINING
 Staff must be trained to do their job completely,
including training in those pre-requisite
requirements for which they are responsible;
such as personal hygiene, and cleaning and
disinfection
 CLEANING AND SANITATION
 Written SSOP’s (Sanitation Standard operating
Procedures) describe a particular set of objectives
associated with sanitary handling of food and the
cleanliness of the plant’s environment and the
activities conducted to meet them
 SSOP’s can be written for every area of the plant or
it’s operation i.e. water supplies, cleaning (work
area, floors, equipment, gloves, hands, toilet
facilities), pest control, chemical control, personnel
habits, etc.
 Establishment of Effective System

 To ensure adequate and appropriate maintenance

and cleaning;
 To ensure the absence of pests;
 To manage waste; and
 To monitor effectiveness of maintenance and
sanitation procedures.
The used of written cleaning programmes
must specify :

 Areas, items of equipment and utensils to be cleaned

 Responsibility for particular tasks;
 Method and frequency of cleaning; and
 Monitoring arrangements
 RECALL PROGRAMME

 An action plan which gives the company the ability to

recover product once it has left the control of the
company
 This is especially important where the results for
laboratory testing are time-consuming
 RECEIVING/STORAGE/TRANSPORT

 Inspection of incoming raw materials.

 Controls used to ensure proper storage temperature,
proper shipping environment
 IMPORTANT DEFINITION
 CCP Decision Tree: A sequence of question to assist in
determining whether a control is a CCP.
 Control:
(a) To manage the conditions of an operation to maintain
compliance with establish criteria.
(b) To state where correct procedures are being followed and
criteria are being met.

 Control Measure: Any action or activity that can be used

to prevent, eliminate or reduce a significant hazard.
 Control Point: Any step at which biological, chemical, or
physical factors can be controlled.
 IMPORTANT DEFINITION
 Corrective Action: Procedures followed when deviation
occurs.
 Criteria: A requirement on which a judgement or decision
can be based.
 Critical Control Point : 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
 IMPORTANT DEFINITION
 HACCP System : The result of the implementation of the
HACCP Plan
 HACCP Plan : The group of people who are responsible
for developing, implementing and maintaining the HACCP
system
 Hazard : A biological, chemical or physical agent that is
reasonably and likely to cause illness or injury in the
absence of its control.
 Hazard Analysis : The process of collecting and
evaluating information on hazards associated with the food
under consideration to decide which are significant and
must be addressed in the HACCP Plan
 IMPORTANT DEFINITION
 Monitor : To conduct a planned sequence of observations
or measurements to assess whether a CCP is under
control and to produce an accurate record for future use in
verification.
 Pre-requisite Program (PRP) : including GMP, that
address operational conditions providing the foundation for
the HACCP system
 Severity : The seriousness of the effect(s) of a hazard
 Step : A point, procedure, operation or stage in the food
system from primary production to final consumption
 IMPORTANT DEFINITION
 Validation : The element of verification focused on
collecting and evaluating scientific and technical
information to determine if the HACCP plan, when properly
implemented, will effectively control the hazard.
 Verification : Those activities, other than monitoring, that
determine the validity of the HACCP plan and that the
system is operating according tp the plan.
 HACCP PRINCIPLES
 Principle 1 : Conduct a hazard analysis
 Principle 2 : Determine the critical control points (CCPs)
 Principle 3 : Establish critical limits
 Principle 4 : Establish monitoring procedures
 Principle 5 : Establish corrective actions
 Principle 6 : Establish verification procedures
 Principle 7 : Establish record-keeping and documentation
procedures (for at least 7 years)
PRELIMINARY TASKS IN THE DEVELOPMENT
OF THE HACCP PLAN
Assemble the HACCP Team

Describe the Food and its Distributions

Describe the Intended Use and Consumers of the Food

Develop a Flow Diagram Which Describes the Process

On – Site Verification of the Flow Diagram

The seven Principles of HACCP

 STEP 1 : ASSEMBLING THE HACCP TEAM

 The people involved in the food safety plan study

should have thorough knowledge of the product and
process
 Area where expertise is needed would include:
Decision maker
Quality Assurance / Technical
Production
Engineering
Storage / Distribution
 STEP 2 : DESCRIBE THE PRODUCT
 The product description should be defined in terms of :

Product name (including alternate names for product)

Composition
- ingredients, preservatives, presence of allergenic ingredients

Physical and chemical properties

- pH or level of acidity, viscosity, nutritional information and
others that may have impact on a product safety
Any treatments applied to the product during
manufacturing which either kill microorganisms or
inhibit their growth
- e.g. heat treatment, smoking, salting/brining, freezing or
curing
 STEP 2 : DESCRIBE THE PRODUCT
Packing requirements
- the type and method of packing
Storage conditions
- Temp. of storage and any special storage requirements.
- Shelf life of the product should also be recorded.
Method of distribution
- Type of transport, temperature during distribution

Labeling instruction to customer / consumer

- For handling, storage & use (cooking time & temp.) of the
product
Actual use of the product
- RTE, heat before consumption, industrial use with further
processing
 STEP 3 : IDENTIFY INTENDED USE
 Normal or common use of the product must be known.

 This will include :

Who are the target consumers?
How is it anticipated that they will prepare and use the
product?
Are there any special considerations (e.g. if the product is
to be used in institutions or by travellers, etc., or are the
dangers in use for any vulnerable groups in the population
who might obtain the product?)
Does the importer or the improting country imposes
specific requirements?
 STEP 4 : CONSTRUCT FLOW DIAGRAM
 Simple and clear without leaving out any steps in the
process
 Information in the flow diagram should include :
Purchasing and receipt of raw materials, ingredients, packing and
other inputs
Storage of inputs – special requirements
Preparation details and process activities including any delays
Any baking, cooking, heating or cooling steps giving temperature and
time profiles for necessary stages
All input throughout the process (e.g. water, temp., etc.)
Any product re-working
Any variations in processing conditions at different times of the day
Storage conditions
Distribution steps
 STEP 5 : ON-SITE CONFIRMATION OF THE
DIAGRAM

 The flow diagram is checked to ensure all parts of the

process are included and accurate
 If any differences, the flow diagram will need to be
modified accordingly
 STEP 6 : CONDUCT HAZARD ANALYSIS
(PRINCIPLE 1)
 The hazard analysis should include :
The likelihood of hazard occuring and severity of any adverse
health effect which might result in e.g. pain in the stomach or
death
The qualitative and/or quantitative evaluation of the presence of
the hazard
Survival or multiplication of harmful microorganisms
Production of persistence in foods of toxins, chemicals or physical
agents
Any conditions which could lead to the risks above
 STEP 6 : CONDUCT HAZARD ANALYSIS
(PRINCIPLE 1)
 Classes of hazard :
1) Biological Hazards
Biological hazards - Insects, birds, rodents, and other unwanted animals
Microbiological hazards
- any pathogenic microorganisms (bacteria, moulds, viruses or parasites)
- direct hazard or indirect hazard from the toxins
2) Chemical Hazards
Cleaning chemicals
Pesticides
Veterinary residues
Allergens
Other chemical hazards
3) Physical Hazards
Glass, metal, stones, wood and plastics
 STEP 6 : CONDUCT HAZARD ANALYSIS
(PRINCIPLE 1)
 The hazard analysis involve in examining each steps in
the flow diagram and assessing potential hazards that
may arise from :
Raw materials
Design of the plant and equipment
The food properties
The process that is occuring (e.g. heating)
Personnel
Packing
 STEP 6 : CONDUCT HAZARD ANALYSIS
(PRINCIPLE 1)

 Preventive measures
 Once all potential hazards have been identified, the
preventive measure associated with the hazards
should be listed
 STEP 6 : CONDUCT HAZARD ANALYSIS
(PRINCIPLE 1)

 Control measures for biological hazards:

a) thermal processing to eliminate pathogens
b) freezing to prevent pathogens (storage)
c) use of preservatives (eg potassium sorbate) to
prevent pathogens
 Control measures for chemical hazards:
a) testing for the presence of antibiotics, pesticide
residue
b) formulation control of regulated food additives
 STEP 6 : CONDUCT HAZARD ANALYSIS
(PRINCIPLE 1)

 Control measures for physical hazards:

a) filtering or screening to remove foreign objects
b) detection and removal of metal contaminants
STEP 7 : DETERMINE CRITICAL CONTROL POINTS
(PRINCIPLE 2)
“A critical control point in a step in the process
where control is necessary to ensure the safety
of end product”
(Codex, 1998)

 It is of critical importance that this to be performed

correctly. The CCP Decision Tree can be used to assist
the assessment of each of the hazards identified (e.g.
Raw Material Control Decision Tree and CCP Decision
Tree).
 CCP DECISION TREE

Question: Does a hazard exist at this step? If yes proceed with Decision Tree
Q1: Do control preventative measure exist?

No Modify step, process or product

Yes Q1a: 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? Yes
No
Q3: Could contamination with identified hazard occur in excess of
acceptable levels or could these increase to unacceptable level?
No
Yes Not a CCP Stop

Q4: Will a subsequent step eliminate identified hazard or reduce

CCP
likely occurrence to acceptable levels? No
Yes
Not a CCP
RAW MATERIAL CONTROL DECISION TREE
Q1: Is there a hazard associated with this raw materials?

Yes No
Proceed to next raw material

Q2: Are you or the consumer going to process this hazard out of
the product?

No
Yes High Level of control required
Sensitive raw material, CCP

Q3: Is there a cross contamination risk to the facility or to other

products which will not be controlled?

Yes No
Proceed to next raw material

High Level of control required

Sensitive raw material, CCP
STEP 7 : DETERMINE CRITICAL CONTROL POINTS
(PRINCIPLE 2)
 Important considerations when using the decision tree :
The decision tree is used after the hazard analysis
The decision tree then is used at the steps where a hazard
that must be addressed in the HACCP plan has been
identified
A subsequent step in the process may be more effective for
controlling a hazard and may be the preferred CCP
More than one step in a process may be involved in
controlling a hazard
More than one hazard may be controlled by a specific
control measure
STEP 8 : ESTABLISH CRITICAL LIMITS FOR EACH
CCP (PRINCIPLE 3)
 Critical Limit :
“A criterion which separates acceptability from
unacceptability”
(Codex, 1998)

 Critical Limit established the permissible boundaries or

tolerances on the control measures you put into place
at the critical points.
STEP 8 : ESTABLISH CRITICAL LIMITS FOR EACH
CCP (PRINCIPLE 3)
 The Critical Limits set must be from reliable source,
which may include :
Published data : Scientific literature, industry or regulatory
guidelines
Expert advice : Consultants, research associations or other
specialists such as cleaning chemical suppliers
 If no information available on which to base the critical
limits, experimental studies may need to be performed
Challenge testing the product
Challenge testing the process
Shelf-life studies
STEP 9 : ESTABLISH A MONITORING SYSTEM FOR
EACH CCP (PRINCIPLE 4)

 The monitoring procedure is a scheduled measurement

or observation that is directly related to critical limit.
 Monitoring let us know, through the measured data,
whether corrective action needs to be taken
 Effective monitoring can provide early warning that
something is not working properly
 Each measurement or observation taken during
monitoring process should be recorded for future
reference if you need to claim “due diligence” in a
litigation case
STEP 9 : ESTABLISH A MONITORING SYSTEM FOR
EACH CCP (PRINCIPLE 4)
 Factors need to be considered when setting up the
monitoring procedures :
What needs to be monitored?
How will the CCP be monitored?
Where will the monitoring takes place?
When will monitoring takes place?
Who will conduct the monitoring?
 Those staff responsible for monitoring a process need to
understand what and why they are doing it.
 Training is crucial and best if the staff are also involved in
the maintenance of food safety plan.
 STEP 10 : ESTABLISH CORRECTIVE ACTIONS
(PRINCIPLE 5)

 Specific corrective actions must be developed for each

CCP in the system
 Two (2) major components of these corrective actions :
Re-establishing control
Disposal of affected product

 Clearly designate the responsible person / person

in-charge to take the corrective action
 Staff must be aware that safety comes before quality
and financial considerations
 STEP 11 : ESTABLISHMENT VERIFICATION
PROCEDURES (PRINCIPLE 6)
 Verification procedures are to check that the plan is
working effectively
 Upon time, procedures or ingredients may change and
the food safety plan should be updated accordingly
 According to Codex : “Verification” is the “application
of methods, procedures, tests or other evaluations in
addition to monitoring to determine compliance with
the HACCP plan”
 Most common verification activity is an audit : both
internal and external audits
 STEP 11 : ESTABLISHMENT VERIFICATION
PROCEDURES (PRINCIPLE 6)
 Validation confirms that the final HACCP plan has
been correctly developed and provides control of all
relevant hazards.
 According to Codex : “Validation” is “obtaining evidence
that the elements of the HACCP plan are effctive”.
 Validation includes an evaluation to confirm that all
relevvant hazards have been identified.
Validation ensures that the HACCP plan will work to
control the safety of the product while Verification
ensures that the operation is complying with the
HACCP plan
 STEP 11 : ESTABLISHMENT VERIFICATION
PROCEDURES (PRINCIPLE 6)
 Benefits of auditing HACCP based on food safety plan
include :
1) Providing documented evidence of due diligence in managing
food safety

2) Having an independent and objective review of the

effectiveness of the system by engaging an expert to confirm
the HACCP team’s work

3) Identifying areas for improving and strengthening the system

4) Continually reinforcing awareness of food safety management

5) Removing obsolete control system

STEP 12 : ESTABLISHMENT DOCUMENTATION AND
RECORD-KEEPING (PRINCIPLE 7)
 Records provide written evidence that you have your
system under control
 The location, responsible person (or position) and
duration of record retention of all monitoring records
should be described in the master documents of the
food safety plan
 The records to be reviewed daily, filed and kept for at
least 7 years
 Record keeping should include the monitoring results
of your CCPs, any deviations and corrective actions
applied and any modifications you make to the Food
Safety Plan.
 FOOD SAFETY PLAN SHOULD INCLUDE :

 Statement of scope of the Food Safety Plan

 The names and qualifications of the HACCP team
members
 Date of completion for the Food Safety Plan
 Amendment records or details of any changes made to
the Food Safety Plan and reasons for the change
 Product characteristics
 FOOD SAFETY PLAN SHOULD INCLUDE :

 Process flow diagrams and charts for all processes

 Hazards audit tables for all processes
 CCP determination charts
 The basis of the chosen critical limits
 Control Charts
 Examples of all monitoring record sheets
 The results of any validation tests carried out
 The audit timetable
 Details of the support programmes
 MAINTENANCE OF HACCP SYSTEM

 Continuous basis for effectiveness

 Modification of HACCP Plan after each following:

1) The intended use of the product has changed

2) Change in one or more raw materials, ingredients or
packaging materials for preparing the product
3) Change in the process for preparing the product
4) Addition, replacement or modification of equipment in
the process.