Principles of Hazard Analysis and critical control points

1. Principles of HACCP for processing
and packaging of fresh-cut fruit and
vegetables
Devinder Dhingra, Principal Scientist
Indian Council of Agricultural Research
New Delhi-110012
Email ID: devinder.dhingra@gmail.com
Mobile:+91-9312012100
1

2. Some fresh-cut fruits and vegetables
Fruits Vegetables
Watermelons Cauliflower florets
Jackfruit Peas
Pineapple Green Chana
Mangoes Beans
Papayas Shredded leafy vegetables
Melons Onions
Apples Tomatoes
Pears Garlic
Pomegranate
2

3. Must be
Safe,
Wholesome and
Nutritious
3

4. HARVEST
RECEIVING
PRE-COOLING
WASHING & DISINFECTION
PEELING, TRIMMIMG AND DESEEDING
CUTTING TO SPECIFIC SIZE
SORTING FOR DEFECTS
DIPPING (ANTI-MICROBIAL / ANTI-BROWNING / TEXTURE
PRESERVING AGENTS)
DRYING
PACKAGING AND LABELLING
STORAGE AND DISTRIBUTION
FIG. PROCESSING OF FRESH-CUT PRODUCE 4

5. PHYSIOLOGICAL EFFECTS OF FRESH-CUT
PROCESSING
Tissue disruption
Release of enzymes (browning)
Increased ethylene production
Increased respiration & phenolic metabolism (water
loss, reduction in carbohydrates, vitamins, organic
acids)
Increased microbial growth at the cut surface
5

6. SHELF LIFE - Key factor in deciding
the processing steps for minimal
processing of fresh-cut
Microbiological, sensory and nutritional
quality
Prepare Today Consume Tomorrow
 4 – 7 days
 up to 21 days
6

7. Shelf Life Demands for processing
Preparation
today,
consumption
tomorrow
•Washing / cleaning
•Standard kitchen hygiene and tools
•No heavy washings for peeled and shredded produce; potato is an
exception
•Package can be returnable containers
•Low temperatures
Preparation
today, use within
3-4 days
•Disinfection
•Cutting
•Washing of peeled and shredded produce
•Permeable packages (LDPE, PP, micro-perforated etc.); potato is an
exception
•Gas composition (Air, O2+CO2, super O2)
Products
intended for
retailing
•Disinfection
•Cutting
•Chlorine or acid washing for peeled and shredded produce
•Permeable packages; active packaging
•Additives
7

8. Apple slices with calcium
ascorbate to promote whiteness
and maintain texture
New Stay Fresh Package
Rigid tray covered with heat
sealed flexible lid (re sealable)
Qty. 14 oz (397 g)
Country Fresh LLC
APPLE SLICES
8

9. Chopped green onion (4 oz)
Rigid cup
With flexible lid heat
sealed
Covered with rigid lid
Rigid cup
With flexible lid heat
sealed
Covered with rigid lid
Front view of package
9

10. Cantaloupe Spears
Qty. 10 oz (283 g)
Rigid container with rigid top
10

11. Melon mix spears 1lb
cantaloupes/ honey dew melon/water melon
Rigid Packaging
11

12. Sliced Peaches
Fresh peaches treated with calcium ascorbate
Qty. 3 oz (85 g) in flexible pouch
Fresh Fruit Cuts Fresno CA 93727
E mail: info@wootfroot.com 12

13. Sweet Apple Snackers
Apple Slices treated with Calcium Ascorbate
Cheddar Cheese: Natamycin (mold inhibitor)
Three compartments in
rigid tray -
containing-
Apple
Grapes
& Cheese
Crunch Pack LLC, Cashmere WA 98815 USA 13

14. Pomegranate Arils
Top View Front view
4.3 oz arils in rigid cup sealed with a flexible red colored film
Pom Wonderful LLC, BPA free, Pom Wonderful Del Ray CA 93616
www.pomwonderful.com
14

15. Peaches / pears / cherries in light syrup
Rigid cup holding 7 oz (198 g) sealed with flexible lid
Preservatives: citric acid, ascorbic acid, potassium sorbate, sodium benzoate
www.delmonte.com 15

16. Spinach (16 oz; 454 g) in flexible film bag
Newstar Fresh Foods, 900 Work Street Salinas CA 93901 USA
www.newstarfresh.com
backside of package with perforations
16

17. Triple washed Garden Lite Sweet & Crispy Lettuce 7 oz (198 g)
Ingredients green leaf lettuce 7 oz (198 g)
Misionero Vegetables, Gonjales, CA 93926 – 4407
www.misionero.com
Packaging: Rigid tray with a flexible film lid
17

18. Fresh blueberries
3.75 oz (106 g) blueberries in rigid trays sealed with flexible lid
Naturipe Farms LLC, Salinas CA 93906
www.naturipesfarms.com 18

19. Veggie Snack
Carrots, snap peas, broccoli and ranch dip 4.5 oz (128 g); washed and ready to eat
Four compartments in rigid tray sealed with flexible film
Apio Inc. Guadalup CA; www.apionic.com
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20. Fresh cut frozen produce in pouches
20

21. Categories of Standards
- Specification – absolute requirements of a product
- Codes of Practice – recommended sound good practice
- Methods - measurement / testing
- Guidelines - prescriptive, indicates current thinking & practice
among experts in a field

22. HACCP
• The HACCP system, which is science based and
systematic, identifies specific hazards and
measures for their control to ensure the safety of
food.
• HACCP is a tool to assess hazards and establish
control systems that focus on prevention rather
than relying mainly on end-product testing.
• Any HACCP system is capable of accommodating
change, such as, advances in equipment design,
processing procedures or technological
developments.
22

23. • HACCP can be applied throughout the food chain
from the primary producer to final consumer and
its implementation should be guided by scientific
evidence of risks to human health.
• Besides enhancing food safety, implementation of
HACCP can provide other significant benefits.
• The application of HACCP system can aid
inspection by regulatory authorities and promote
international trade by increasing confidence in
food safety.
23

24. • Successful application of HACCP requires full commitment and
involvement of the management and the workforce.
• It also requires a multi-disciplinary approach; this multi-disciplinary
approach should include, where appropriate,
expertize in agronomy, veterinary health, production microbiology,
medicine, public health, food technology, environmental health,
chemistry, and engineering according to the particular study.
The application of HACCP is compatible with the implementation of
quality management systems, such as, the IS/ISO 9000 series and
IS/ISO 22000 and is a system of choice in the management of food
safety within such systems. While the application
of HACCP to food safety has been considered here, the concept can be
applied to other aspects of food quality.
24

25. Recommended International Code of Practice: General
Principles of Food Hygiene (CAC/RCP 1-1969 as amended)
and A Regional Guidance on Criteria for Good Manufacturing
Practices/Hazard Analysis and Critical Control Points
(GMP/HACCP) FOR Asian Countries (FAO RAP Publications
2014/21)

26. -ISO 22000; 2005
-FSSC 22000
(Recognized by GFSI, owned by Foundation
FSSC 22000 under Dutch Law)
-BIS offers 2 certification schemes
~HACCP stand-alone certification against ISO
15000 standard (Indian Standard FOOD HYGIENE – GENERAL IS 2491
: 2013 PRINCIPLES - CODE OF PRACTICE ( Second Revision )
~HACCP based quality system
(ISO 9000 & ISO 15000)
HACCP is a part of Food Safety Management System
Certification of a processing unit demonstrates its commitment to
produce safe food
26

27. QCI-Quality Council of India
- IndiaGHP / IndGAP
- IndiaHACCP
References:
1.FSSAI Schedule IV (General Hygienic and Sanitary Practices to
be followed by Food Business operators under the FCCAI
(Licensing & Registration of Food Business ) Regulations 2011.
2.Codex General Principles of Food Hygiene
3.Dutch HACCP
4.ISO 22000: 2005

28. Elements of ISO 22000:2005
ISO 22000:2005 has five main Clauses
• Clause 4: Food Safety Management System
• Clause 5: Management Responsibility
• Clause 6: Resource Management
• Clause 7: Planning and realization of safe
products(HACCP)
• Clause 8: Verification, validation and
improvement of the food safety management
system
28

29. Clause 7 Planning & realization of safe products
(HACCP)
7.1 General planning and realization of safe products
7.2 Pre-requisite programmes (PRPs)
7.3 Preliminary steps to enable Hazard Analysis
7.4 Hazard Analysis (Principle 1)
7.5 Establishing the oPRPs (Principle 1)
7.6 Establishing the HACCP Plan (Principles 2 to 5)
7.7 Updating of preliminary information and specifying
the PRPs and the HACCP plan (Principles 2 to 5)
7.8 Verification planning (Principle 6)
7.9 Traceability system (Principle 7)
7.10 Control of non-conformity
29

30. Principles of HACCP – IS 15000
a) Principle 1 — Conduct a hazard analysis.
b) Principle 2 — Determine the critical control points (CCPs).
c) Principle 3 — Establish critical limit(s).
d) Principle 4 — Establish a system to monitor control of the CCP.
e) Principle 5 — Establish the corrective action to be taken when
monitoring indicates that a particular CCP is not under control.
f) Principle 6 — Establish procedures for verification to confirm that
the HACCP system is working effectively.
g) Principle 7 — Establish documentation concerning all procedures
and records appropriate to these principles and their
application.
Covered under Clauses 7.4 to 7.9 of ISO 22000:2005
30

31. 7.1 General planning and realization of safe products
• Process planning
• Production / processing / service activities
31

32. 7.2 Pre-requisite programmes (PRPs)
• GAP, GAHP, GSP, GHP
• Design and layout of processing unit
– Maintenance, cleaning, disinfection
• Contact surfaces – non toxic, easy to clean
• Adequate workspace
• Employee facilities
• Temperature and humidity control
• Pest control systems
• Personnel hygiene, GHP
• Handling and transportation
• Recall procedures
• Customer complaints - handling
32

33. 7.3 Preliminary steps to enable Hazard Analysis
• Step 1 Establish a team
(Food technologist / food nutritionist / process engineer /
microbiologist / biochemist)
• Step 2 Describe product characteristics (raw and final)
• Step 3 Identify the products intended use (fresh-cut fruits – direct
consumption; FC vegetables – cooking)
• Step 4 Prepare flow chart / diagram
• Step 5 On-site confirmation of flow diagram
33

34. 7.4 Hazard Analysis (Principle 1 Conduct a hazard analysis)
Step 6 Identify the hazards, conduct hazard analysis and determine
control measures
• Biological Hazards (micro-organisms, parasites, viruses, pests)
• Chemical Hazards
– Agricultural chemicals
– Plant chemicals
• Physical Hazards
– Inadvertent material from the field
– From the processing & handling
– Materials entering the food during distribution
– Intentionally placed in food
– Miscellaneous
34

35. Hazard Analysis
Item Hazard
Source
Hazard identified Accept-
able level
Significant
/ In-signifi
Justifica
tion
Physical Chemical Biological
Raw Materials
Tomato Soil Stones ,
insects
Fertiliser,
Agri-
chemicals
Insects,
parasites
????
Water - Agri-
chemicals
Micro-
organisms
????
Hands Hair,
metal
- Micro-
organisms
????
Trans-
port
eqpt.
Metal,
nuts,
bolts
- - ????
Water Proces
sing
water
- Pesticides
,bromate.
HM etc.
Micro-
organisms
, parasites
????
35

36. Hazard Analysis contd.
Item Hazard
Source
Hazard identified Acceptable
level
Significant
/ In-signifi
Justific
ation
Physical Chemical Biological
Equip-
ment
Metal Nuts,
bolts ,
rust,
screen,
chippings
- -
Chem-
icals
- Oil,
lubricant
Pack-
aging
material
- - chemical MO
36

37. Item Hazard
Source
Hazard identified Acceptable
level
Significant/
In-signifi
Justific
ation
P C B
Processing steps
Receiving
Washing
Peeling
Cutting
Sorting
Dipping
Drying
Packaging
Labeling
Storage
Distribution
37

38. Hazards and control measures
Hazard Control measures
Biological Raw material: Analysis of raw material ,maturity indices, purchase
specifications; pH/hardness/chemical residues/ temp. of
processing water Operations: Concentration/strength of
disinfectant and chemicals; washing time, temperature of water,
intact packing, storage temperature
Physical Proper use of magnets, visual inspection, preventive maintenance
of equipment
Chemical Use of food grade chemicals, compliance to GMP, separate
storage for hazardous substance, purchase specifications,
surveillance program for raw materials
38

39. 7.5 Establishing the oPRPs
7.6 Establish the HACCP Plan
39

40. Determine the CCPs (Principle 2)
Processing steps CCP Control measures
Receiving -
Washing CCP1 Temp. of water , strength of disinfectant, pH of
water; time
Peeling -
Cutting -
Sorting CCP2 Visual inspection
Dipping CCP3 Strength of anti-microbial agent/ texture
preserving agent; time; temperature
Drying -
Packaging CCP4 Intact packaging;
Labelling -
Storage CCP5 Storage temperature
Distribution -
40

41. 1) Proceed to the next identified hazard in the described process.
2) Acceptable and unacceptable levels need to be defined within
the overall objectives in identifying the CCPs of the HACCP plan.
Q 1 Do control preventive measure(s) exist ?
Modify step, process or productYes No
Is control at this step necessary for safety ? Yes
No Not a CCP Stop (1)
Is the step specifically designed to eliminate or reduce the likely
occurrence of a hazard to an acceptable level ?
2 Yes
No
Could contamination with identified hazard (s) occur in excess of acceptable
level (s) or could these increase to unacceptable levels? 2
Q 2
Q 3
Yes No Not a CCP Stop (1)
Will a subsequent step eliminate identified hazard(s) or reduce likely
occurrence to an acceptable level ? 2
Q 4
Yes No CRITICAL CONTROL POINT
Not a CCP Stop (1)
Answer questions in sequenceEXAMPLEOFDECISIONTREETOIDENTIFYCCPs

42. Establish critical limits for each CCP (principle 3) - as per product
and process
Chlorine concentration: 80 ppm ,
Preservatives – as per regulatory requirement,
Temperature: 40C
Establish Monitoring procedures (principle 4)
Monitoring Procedures
Processin
g steps
CCP Control
measures
Who When What How
42

43. Establish Corrective actions. (Principle 5)
Processing steps Corrective actions
Receiving Skilled operator for handling of equipment
Washing Temp. of water, strength of disinfectant, pH of water ; time
should be measured at regular intervals.
Peeling Sterilised equipment should be used, handling with skilled
operator
Cutting Sterilised equipment should be used , handling with skilled
operator
Sorting Visual inspection should be done at every 30 mins
Dipping Strength of anti-microbial agent/ texture preserving agent; time;
temperature should be determined before and during the
process
Packaging Visual inspection of every 5 lot of produce
Storage Storage temperature should be maintained and checked
regularly.
Distribution Proper Handling should be in place
43

44. Verification Planning (Principle 6)
• Equipment Calibration
• Review of Purchase specification
• Soil sampling analysis
• Determination and observations of OPRPs and PRPs
• Monitoring of CCPs and critical limits
• Training for staffs and skilled operators
44

45. Keep Records (Principle 7)
• All operational manuals including GMP, GAP, CCP.
• Overall assessment reports for:
– Temperature logs
– Hygiene Records
– Receiving inspection records
– Medical Reports of the workers
– Equipment calibration records
– Transportation records.
45

46. 7.10 Control of non-conformity
46

47. • Processing steps for fresh-cut F&V
• Food Safety management systems
– ISO 22000:2005
– FSSC 22000
• IS 15000: 2013 Hazard Analysis And Critical Control
Point (HACCP) — Requirements For Any Organization
In The Food Chain
THANK YOU ALL FOR YOUR PATIENCE AND INTERACTIONS
47

48. PRP (Pre-requisite Program)
Basic conditions and activities that are necessary
to maintain a hygienic environment throughout
the food chain
(personal hygiene raw material pest control , environment m medical
examinations of employees, trains & awareness ) QPRP & CCP’s are specific to a
food operation and are determined after doing the hazard analysis.
D-PRP- procedure to check instruments at periodic internals
- Temperature control procedure
- prevention of cross –contamination
- Storage of raw/finished products
- Instrument failure solution
CONTROL
Quality Risk- Mange using PRP
Safety Risk- Mange using O-PRP
Critical Risk- Manage using CCP’s
Highly critical Risk- PRP/O-PRP/CCP’s

49. Pre-Requisite Programs
• Exterior /Interior conditions
• Cleaning
• Storage conditions
• Handling of toxic materials
• Training
• Pest control
• Calibration
• Supplier control
• Good laboratory practice
• Etc.

50. Step 0 Implement Pre-requisite
Programmes
Codex
Principle 1
Conduct a hazard analysis
•Assemble HACCP Team
• Describe product
• Identify intended use
• Construct Flow diagram
•Confirm flow diagram on site
• List all potential hazards
• Conduct a hazard analysis
• Consider control measures
Codex
Principle 2
Determine the Critical Points (CCPs)
and Operational Pre-Requisite
Programs (OPRPs)
Use decision tree to determine CCPs
and OPRP’s
Codex
Principle 3
Establish critical limits Establish action and critical limits for
each CCP and OPRP
Codex
Principle 4
Establish CCP monitoring procedures Establish monitoring systems for each
CCP and OPRP
Codex
Principle 5
Establish corrective action plans Establish the corrective action to be
taken when monitoring indicates a
particular CCP or OPRP is not under
control
Codex
Principle 6
Establish verification procedures Establish procedures for verification to
confirm that the HACCP system is
working effectively
HACCP principles

51. Critical Control Point /
OPRP
Hazard to be controlled Typical Control Method
Transport/storage
Contamination or deterioration (e.g.
temp)
Assurance and inspection
programme
Raw Materials conform
spec
Incorrect or contaminated raw materials
(e.g. SRM)
Supplier Assurance
programme and
Processing Microbial growth due to incorrect
processing
Monitoring time and
temperature inspection shelf-
life control
Metal detection Metal contamination (e.g. fish hooks) Permanent magnets, electric
metal detection device
Filling Microbial growth due to under-
sterilisation ( caused by overfilling of
chunks)
100% inspection by
headspace control/weight
control
Gravy addition Microbial growth due to under-
sterilisation ( caused by overfilling of
chunks)
100% inspection by
headspace control/weight
control
Seaming/Sealing Growth micro-organisms (e.g. product
inclusion in seal, damaged flages)
Seam/seal control
Sterilisation Microbial growth due to under
sterilisation (e.g. product inclusion in seal,
Calibration and monitoring
HACCP example: wet pet food