CCP Decision Tree: A sequence of questions to assist in determining whether a control point is a CCP.

Control: (a) To manage the conditions of an operation to maintain compliance with established criteria. (b) The 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.

Corrective Action: Procedures followed when a deviation occurs.

Criterion: 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.

Critical Limit: A maximum and/or minimum value to which a biological, chemical or physical parameter must be controlled
at a CCP to prevent, eliminate or reduce to an acceptable level the occurrence of a food safety hazard.

Deviation: Failure to meet a critical limit.

HACCP: A systematic approach to the identification, evaluation, and control of food safety hazards.

HACCP Plan: The written document which is based upon the principles of HACCP and which delineates the procedures to
be followed.

HACCP System: The result of the implementation of the HACCP Plan.

HACCP Team: 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 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.

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.

Prerequisite Programs: Procedures, including Good Manufacturing Practices, that address operational conditions
providing the foundation for the HACCP system.

Risk – Probability that a condition(s) will lead to a hazard.

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.

Validation: That 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 hazards. Verification: Those
activities, other than monitoring, that determine the validity of the HACCP plan and that the system is operating
according to the plan.

What Do You Already Know?

Pretest

Direction: Answer the questions below.

1. Identify 3 types of contamination.

2. What are the seven principles of HACCP?
What Do You Need To Know?

HACCP is a management system in which food safety is addressed through the analysis and control of biological, chemical,
and physical hazards from raw material production, procurement and handling, to manufacturing, distribution and
consumption of the finished product. For successful implementation of a HACCP plan, management must be strongly
committed to the HACCP concept. A firm commitment to HACCP by top management provides company employees with a
sense of the importance of producing safe food.

HACCP is designed for use in all segments of the food industry from growing, harvesting, processing, manufacturing,
distributing, and merchandising to preparing food for consumption. Prerequisite programs such as current Good
Manufacturing Practices (cGMPs) are an essential foundation for the development and implementation of successful
HACCP plans. Food safety systems based on the HACCP principles have been successfully applied in food processing
plants, retail food stores, and food service operations. The seven principles of HACCP have been universally accepted by
government agencies, trade associations and the food industry around the world.

The following guidelines will facilitate the development and implementation of effective HACCP plans. While the specific
application of HACCP to manufacturing facilities is emphasized here, these guidelines should be applied as appropriate to
each segment of the food industry under consideration.

Prerequisite Programs

The production of safe food products requires that the HACCP system be built upon a solid foundation of prerequisite
programs. Examples of common prerequisite programs are listed in Appendix A. Each segment of the food industry must
provide the conditions necessary to protect food while it is under their control. This has traditionally been accomplished
through the application of cGMPs. These conditions and practices are now considered to be prerequisite to the
development and implementation of effective HACCP plans. Prerequisite programs provide the basic environmental and
operating conditions that are necessary for the production of safe, wholesome food. Many of the conditions and practices
are specified in federal, state and local regulations and guidelines (e.g., cGMPs and Food Code). The Codex Alimentarius
General Principles of Food Hygiene describe the basic conditions and practices expected for foods intended for
international trade. In addition to the requirements specified in regulations, industry often adopts policies and
procedures that are specific to their operations. Many of these are proprietary. While prerequisite programs may impact
upon the safety of a food, they also are concerned with ensuring that foods are wholesome and suitable for consumption
(Appendix A). HACCP plans are narrower in scope, being limited to ensuring food is safe to consume.

Education and Training

The success of a HACCP system depends on educating and training management and employees in the importance of
their role in producing safe foods. This should also include information the control of foodborne hazards related to all
stages of the food chain. It is important to recognize that employees must first understand what HACCP is and then learn
the skills necessary to make it function properly. Specific training activities should include working instructions and
procedures that outline the tasks of employees monitoring each CCP.

Management must provide adequate time for thorough education and training. Personnel must be given the materials
and equipment necessary to perform these tasks. Effective training is an important prerequisite to successful
implementation of a HACCP plan.

Developing a HACCP Plan

The format of HACCP plans will vary. In the development of a HACCP plan, five preliminary tasks need to be accomplished
before the application of the HACCP principles to a specific product and process. The five preliminary tasks are given in
Figure 1.

Figure 1. Preliminary Tasks in the Development of the HACCP Plan

Assemble the HACCP Team

The first task in developing a HACCP plan is to assemble a HACCP team consisting of individuals who have specific
knowledge and expertise appropriate to the product and process. The team should be multi disciplinary and include
individuals from areas such as engineering, production, sanitation, quality assurance, and food microbiology. The HACCP
team may need assistance from outside experts who are knowledgeable in the potential biological, chemical and/or
physical hazards associated with the product and the process.

Due to the technical nature of the information required for hazard analysis, it is recommended that experts who are
knowledgeable in the food process should either participate in or verify the completeness of the hazard analysis and the
HACCP plan. Such individuals should have the knowledge and experience to correctly: (a) conduct a hazard analysis; (b)
identify potential hazards; (c) identify hazards which must be controlled; (d) recommend controls, critical limits, and
procedures for monitoring and verification; (e) recommend appropriate corrective actions when a deviation occurs; (f)
recommend research related to the HACCP plan if important information is not known; and (g) validate the HACCP plan.

Describe the food and its distribution

The HACCP team first describes the food. This consists of a general description of the food, ingredients, and processing
methods. The method of distribution should be described along with information on whether the food is to be distributed
frozen, refrigerated, or at ambient temperature.

Describe the intended use and consumers of the food

Describe the normal expected use of the food. The intended consumers may be the general public or a particular segment
of the population (e.g., infants, immunocompromised individuals, the elderly, etc.).

Develop a flow diagram which describes the process

The purpose of a flow diagram is to provide a clear, simple outline of the steps involved in the process. The scope of the
flow diagram must cover all the steps in the process which are directly under the control of the establishment. A block
type flow diagram is sufficiently descriptive (see Appendix B). Also, a simple schematic of the facility is often useful in
understanding and evaluating product and process flow.

Verify the flow diagram

The HACCP team should perform an on-site review of the operation to verify the accuracy and completeness of the flow
diagram. After these five preliminary tasks have been completed, the seven principles of HACCP are applied.

SEVEN PRINCIPLES IN AN HACCP SYSTEM

1. Conduct a hazard analysis.
The purpose of a hazardous analysis is to develop a list of hazards which are likely to cause injury or illness if they are not
controlled. Points to be considered in this analysis can include: skill level of employees; transport of food; serving elderly,
sick, very young children, immune-compromised; volume cooling; thawing of potentially hazardous foods; high degree of
food handling and contact; adequacy of preparation and holding equipment available; storage, and method of preparation.
The next step is to determine if the factors may influence the likely occurrence and severity of the hazard being
controlled. Finally, the hazards associated with each step in the flow of food should be listed along with the measures
necessary to control the hazard.

2. Determine Critical Control Points (CCP’s)

A critical control point is any step in which hazards can be prevented, eliminated or reduced to acceptable levels. CCP’s
are usually practices/procedures which, when not done correctly, are the leading causes of foodborne illness outbreaks.
Examples of critical control points include: cooking, cooling, re-heating, holding. To determine CCP’s ask the following
questions:

At this step in preparation can food become contaminated and/or can contamination increase?

Can this hazard be prevented through corrective action(s)?

Can this hazard be prevented, eliminated or reduced by steps taken later in the preparation process?
Can you monitor the CCP?
How will you measure the CCP?
Can you document the CCP

3. Establish Critical Limits

A critical limit ensures that a biological, chemical or physical hazard is controlled by a CCP. Each CCP should have at least
one critical limit. Critical limits must be something that can be monitored by measurement or observation. They must be
scientifically and/or regulatory based. Examples include: temperature, time, pH, water activity or available chlorine.

4. Establish Monitoring Procedures

Monitoring is a plan which includes observations or measurements to assess whether the CCP is being met. It provides a
record of the “flow of food” through the establishment. If monitoring indicates that the critical limits are not being met,
then an action must be taken to bring the process back into control. The monitoring system should be easy to use and
meet the needs of the food establishment, as well as the regulatory authority. It is important that the job of monitoring be
assigned to a specific individual and they be trained on the monitoring technique.

5. Establish Corrective Actions

If the criteria for a CCP is not being met, some type of corrective action must be taken. They must meet the standards
established in Step 3, must be based on facts for normal working conditions and be measurable. Corrective actions may
range, for example, from “continue cooking until the established temperature is reached” to “throw out the product,”
depending on the severity of the situation.

HACCP plans should include the following: who is responsible for implementing the corrective action and what corrective
action was taken. They should be established in advance as part of the HACCP plan.

6. Establish verification procedures

These procedures are activities, other than monitoring, that determine the validity of the HACCP plan and that the system
is operating according to the plan. An important aspect of verification is to determine if the plan is scientifically and
technically sound. Also, that all the hazards have been identified and that, if the HACCP plan is properly implemented,
these hazards can be effectively controlled. Verification can be accomplished by expert advice and scientific studies and
observations of the flow of food, measurements and evaluations. Another means of verification is an on-site review of the
established critical limits. Each CCP will have one independent authority. This verification step provides an opportunity to
make modifications to the plan if necessary.

7. Establish record-keeping and documentation procedures

Record-keeping and documentation procedures should be simple to complete and include information that illustrates
that the established standards are being met. Employees need to be trained on the record-keeping procedures and why it
is a critical part of their job. Examples of records include time/temperature logs, checklists, forms, flowcharts, employee
training records, and SOP’s.

Generally, the records maintained for the HACCP System should include the following:

A summary of the hazard analysis, including the rationale for determining hazards and control measures.
The HACCP Plan
1. Listing of the HACCP team and assigned responsibilities.
2. Description of the food, its distribution, intended use, and consumer.
3. Verified flow diagram.
4. HACCP Plan Summary Table that includes information for:
e. Steps in the process that are CCPs
f. The hazard(s) of concern.
g. Critical limits
h. Monitoring*
i. Corrective actions*
j. Verification procedures and schedule*
k. Record-keeping procedures*

* A brief summary of position responsible for performing the activity and the procedures and frequency should be
provided

The following is an example of a HACCP plan summary table:

Critical Corrective
CCP Hazards Monitoring Verification Records
limit(s) Actions

Support documentation such as validation records.

Records that are generated during the operation of the plan.

Examples of HACCP records are given in Appendix H.

How Much Have You Learned?

Self-Check Activity 1
 Multiple Choice: Choose the correct answer.
1. The HACCP system should be employed ________.
b. Whenever PHF are prepared, regardless of the type of food establishment
c. Only in institutional food facilities that provide food for very young or frail elderly consumers.
d. Only in convenience stores where mechanical dishwashing equipment is not available.
e. Only when foods are sold by a food establishment for consumption off site.
6. For which of the following products would it not be necessary to develop an HACCP flow chart?
g. Chicken saladc. Seafood salad
h. Tuna saladd. Citrus fruit salad
9. A hazard as used in connection with an HACCP system is _________.
j. Any biological, chemical, or physical property.
k. Any single step at which contamination could occur
l. An estimate of the likely occurrence of a hazard
m. A point at which loss f control may result in an unacceptable health risk.
14. A risk as used in connection with an HACCP system is _______.
o. The failure to meet a required critical limit for a critical control point
p. An estimate of the likely occurrence of a hazard
q. Greatest for non-potentially hazardous foods.
r. Lowest when complex recipes are required to produce food item
19. Which of the following statement about HACCP programs is false?
t. The HACCP system attempts to anticipate problems before they happen and establish procedures to reduce the risk
of foodborne illnesses.
u. The HACCP system targets the production of potentially hazardous foods from start to finish.
v. Records generated by the HACCP system can be used to aid in foodborne disease investigations.
w. An HACCP system should only be implemented by public health officials who have been certified by the FDA to
conduct such programs.
24. Which of the following is NOT associated with the hazard analysis portion of the HACCP Program?
y. A review of the menu to identify potentially hazardous foods
z. A risk of the likelihood that hazards will occur and their severity if they do occur.
aa. A series of questions used to facilitate the identification of potential problems in each step in the flow of food
ab. The identification of critical control points whereby hazards can be prevented, eliminated, or reduced to acceptable
levels.
29. Which of the following statement is false?
ad. A critical limit is the threshold that must be met to ensure that each critical control point effectively controls a
microbiological, chemical, or physical hazard.
ae. There must be at least two critical control points in the flow of food for an HACCP system to be implemented.
af. Many steps in food production are considered control points, but only few are critical control points.
ag. A critical control point is a point, step, or procedure in food preparation where controls can be applied and a food
safety hazard can be prevented, eliminated, or reduced to acceptable levels.
34. Which of the following statements about critical control point monitoring is false?
ai. Monitoring is a series of observation and measurements used to determine whether a critical control point is under
control.
aj. The monitoring of critical limits can be performed either continuously or at predetermined intervals.
ak. Individuals who should perform monitoring tasks must be management personnel so they can do the job in an
unbiased manner.
al. An operation that identifies critical control points but does not establish a monitoring system has no actually
implemented an HACCP system.
39. The ultimate success of an HACCP program depends on _________.
an. Eliminating PHF items from the menu.
ao. Providing proper training and equipment to employees who are implementing the HACCP system.
ap. Having HACCP flow charts developed fo all foods sold by the establishment
aq. Food establishment managers who have the sole authority of implementing the HACCP system.
44. Which of the following is an example of a CCP?
as. Poultry and eggs are purchased from approved sources.
at. Chicken and noodles are heated on the stove until the center of the product reaches 165°F(74°C) for 15 seconds.
au. Only pasteurized milk is used by the establishment.
av. The cutting board is washed and sanitized between chopping carrots and celery.

Evaluate.
1. What is HACCP?
2. What are HACCP’s advantages over traditional food safety programs?
3. What type of foods are most commonly incorporated into the HACCP system?
4. What is hazard list three classes of hazards and give an example for each one.
5. Why is continuous monitoring important to an HACCP system?