Principles of HACCP Practical Training

HACCP – Practical
James Flynn
www.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 - Practical
Pre-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 - Practical
We need to be sure that we use Reputable Suppliers so that the food we
produce is made from ingredients that are known
to 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
• Appoint a Pest Control Company
• Have good Pest Prevention & Detection
measures in place
• Maintain records on Pest Issues and
Corrective Actions taken

HACCP - Practical
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
• Train all staff in Food Hygiene practices
• Enforce a Hygiene Policy
• Provide good, clean Protective Clothing
• Maintain records on Training and Staff Illness

HACCP - Practical
We need to be sure that all processing equipment and food rooms
cleaned on a regular basis and that we can
monitor levels of cleanliness.
• Cleaning & Disinfection Systems
• 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 encourage
pests 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

HACCP - Practical
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
• Regular service of equipment
• A Maintenance Schedule
• Engineers trained in Hygiene Practices
• Records of maintenance carried out

HACCP - Practical
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
• Smooth, non porous surfaces
• Easy to clean equipment
• Modern wall cladding
• Adequate drainage

HACCP - Practical
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
• Fridges and Freezers that are
properly sized for the job
• Ongoing Maintenance records
• Adequate Storage capacity
• Contingency plan for Refrigeration failure

HACCP - Practical
Preparation & HACCP Team:
Before you start a HACCP plan you need a HACCP Team capable of
working 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 - Practical
The 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 - Practical
The Seven Principles (..... the Logical Way):
If you Decide a Hazard is Critical to food safety then
it needs Limits that are Monitored.
Monitoring rings the Alarm Bell when it finds bad results.
Everything needs to be Documented so we can prove
food is safe for human consumption.
Corrective Action is required to bring things under
control 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 - Practical
The 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 - Practical
Phase 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:

HACCP - Practical
Example: Scope of Hazards:

HACCP - Practical
Example: Scope of Safety:

HACCP - Practical
Example: Intended Use:

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Example: HACCP Team:

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Phase 2 – Flow Diagram & Hazard Analysis
This 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 - Practical
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

HACCP - Practical
• 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.

HACCP - Practical
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.

HACCP - Practical
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)”.
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.
room, people, etc)
Sneeze shields, cover exposed
produce.
Chemical contamination (from
Bain Marie / Storage Vessels)
Cleaning procedure, checks before
use.
7. Serve Micro cross contamination
(crockery & utensils)
Cleaning procedure, checks before
use.

HACCP - Practical
• 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)
growth.
high enough)
growth.
people, etc)
Sneeze shields, cover exposed produce.
room, people, etc)
Chemical contamination (from
Bain Marie / Storage Vessels)
Cleaning procedure,(PRP) checks before
use.

HACCP - Practical
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 Serious
Illness
Illness Mild
Illness
No
Illness
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 would
most 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
5. Cooking Physical contamination
(from room, food handler,
etc)
Mild Illness Isolated
Incidence
S18 Low
6. Hot Display Micro growth (temperature
not high enough)
Serious
Illness
Isolated
Incidence
S8 Med
Micro contamination (from
room, people, etc)
Serious
Illness
Isolated
Incidence
S8 Med
(from room, people, etc)
Mild Illness Isolated
Incidence
S18 Low
Chemical contamination
(from Bain Marie / Storage
Vessels)
Mild Illness Rarely
Happens
S21 Not
Significan
t

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
Protective clothing and hygiene policy
(PRP), clean as you go policy(PRP).
Micro survival (cooking temp. not high
enough)
Sufficient heat to destroy bacteria.
high enough)
growth.
people, etc)
room, people, etc)

HACCP - Practical
Phase 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
YesNo
No
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
etc)
Protective clothing and
hygiene policy (PRP),
clean as you go
policy(PRP).
Y N Y N PRP
CCP
Micro survival (cooking
temp. not high enough)
Sufficient heat to destroy
bacteria.
Y Y - - CCP
6. Hot Display Micro growth (temp. not
high enough)
Sufficient heat to prevent
bacterial growth.
Y Y - - CCP
Micro contamination (from
room, people, etc)
Sneeze shields, cover
exposed produce.
Y N Y N CCP
(from room, people, etc)
Sneeze shields, cover
exposed produce.
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.

HACCP - Practical
Lets see how we arrived at our decision – example 1 - Part 1:
cause)
etc)
clean as you go
policy(PRP).
Y N Y N PRP
CCP
bacteria.
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:
cause)
etc)
clean as you go
policy(PRP).
Y N Y N PRP
CCP
bacteria.
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:
cause)
etc)
clean as you go
policy(PRP).
Y N Y N PRP
CCP
bacteria.
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
OverallRisk
Control Measure
Decision Tree
Critical Limit
Monitoring
Procedure
Corrective
ActionQ1 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 - Practical
Phase 4 – Verify, Document & Review
Verification 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 ensure
staff 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 - Practical
Documentation must be produced to show your HACCP
plan, 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)

HACCP - Practical
Implementation and Training
Implementation 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 - Practical
SUMMARY
• 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.

Principles of HACCP Practical Training

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