1. Codex Guidelines for the Application of HACCP
Module 4.2
Codex Guidelines for the Application of HACCP

2. Objective and contents
To introduce the HACCP system and its definitions and terminology
Contents
The seven HACCP principles
Explanation of logical steps in applying HACCP
Training and partnership
Module 4.2 – Codex Guidelines for the Application of HACCP

3. Introducing the Codex guidelines
HACCP has gained widespread international acceptance as an important tool for improving food safety management
Codex guidelines on the application of HACCP adopted in 1993 – revisions adopted in 1995, 1997 and 2003
Module 4.2 – Codex Guidelines for the Application of HACCP

4. Module 4.2 – Codex Guidelines for the Application of HACCP
HACCP guidelines
Outline the internationally agreed seven principles underlying HACCP
Establish HACCP terminology and definitions
Identify logical sequence of tasks that may be followed in applying HACCP principles
Module 4.2 – Codex Guidelines for the Application of HACCP

5. Prerequisites to HACCP
Food businesses must have programmes consistent with the Codex General Principles of Food Hygiene in place before considering application of HACCP
Prerequisite programmes must
Include training
Be fully operational
Be verified
Module 4.2 – Codex Guidelines for the Application of HACCP

6. Why prerequisite programmes?
The purpose of HACCP is to allow businesses to focus control at critical points
Without well functioning prerequisite programmes we risk either
Identifying so many critical points that we cannot focus our efforts and resources
Not taking sufficient account of hazards that should have been controlled by our GHPs....but are not
Module 4.2 – Codex Guidelines for the Application of HACCP

7. Module 4.2 – Codex Guidelines for the Application of HACCP
Specificity of HACCP
Application of HACCP principles is the responsibility of each individual business for each of its operations
Generic HACCP models or codes of hygiene practice can provide guidance - but for any specific application critical control points need to be rigorously determined
Module 4.2 – Codex Guidelines for the Application of HACCP

8. Module 4.2 – Codex Guidelines for the Application of HACCP
Specificity of HACCP
HACCP plans are likely to vary among enterprises making the same product because of differences in
Ingredient source
Formulation
Processing equipment and methods
Storage conditions
Experience, knowledge and attitudes of personnel
Module 4.2 – Codex Guidelines for the Application of HACCP

9. Module 4.2 – Codex Guidelines for the Application of HACCP
Flexibility of HACCP
HACCP systems must be appropriate to the business under consideration
Nature and size of operation
Human and financial resources
Infrastructure etc.
All seven principles must be applied in any HACCP-based system
Module 4.2 – Codex Guidelines for the Application of HACCP

10. Problems must be defined and solutions found according to the context
Appropriate measures
Problems must be defined and solutions found according to the context
Module 4.2 – Codex Guidelines for the Application of HACCP

11. Constraints facing small businesses
Often do not have the resources or expertise on-site to develop and implement an effective HACCP plan
Availability of expert advice from other sources is important
Advice must be specific to products and processes under consideration
Module 4.2 – Codex Guidelines for the Application of HACCP

12. Seven HACCP principles
Conduct hazard analysis
Determine critical control points (CCP)
Establish critical limits
Establish system to monitor control of CCP
Establish corrective action
Establish verification procedures
Establish documentation
Module 4.2 – Codex Guidelines for the Application of HACCP

13. HACCP principle 1 Hazard Hazard analysis Conduct hazard analysis
A biological, chemical or physical agent in, or condition of, food with the potential to cause an adverse health effect
Hazard analysis
The process of collecting and evaluating information on hazards and conditions leading to their presence to decide which are significant to food safety and therefore should be addressed in the HACCP plan
Module 4.2 – Codex Guidelines for the Application of HACCP

14. Tasks required to apply HACCP principle 1
Ensure availability of all required expertise - multidisciplinary team
Scope of HACCP plan decided
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of flow diagram
List all potential hazards, conduct hazard analysis
Module 4.2 – Codex Guidelines for the Application of HACCP

15. Tasks required to apply HACCP principle 1
A full description of the product should be prepared
All relevant safety information should be reported including: composition, physical/ chemical characteristics, packaging, storage conditions, etc.
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of flow diagram
List all potential hazards, conduct hazard analysis
Module 4.2 – Codex Guidelines for the Application of HACCP

16. Tasks required to apply HACCP principle 1
Specify expected use of the product
Where appropriate consider vulnerable groups of the population
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of flow diagram
List all potential hazards, conduct hazard analysis
Module 4.2 – Codex Guidelines for the Application of HACCP

17. Tasks required to apply HACCP principle 1
Flow diagram for process should be constructed by HACCP team
The flow diagram should cover all steps in the operation
HACCP team should confirm the processing operation against the flow chart
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of flow diagram
List all potential hazards, conduct hazard analysis
Module 4.2 – Codex Guidelines for the Application of HACCP

18. Tasks required to apply HACCP principle 1
HACCP team to list all hazards reasonably expected to occur at each step in the food chain
Assess hazards to determine which should be included in HACCP plan
Consider what control measures could be applied for each hazard
Assemble HACCP team
Describe product
Identify intended use
Construct flow diagram
On-site confirmation of flow diagram
List all potential hazards, conduct hazard analysis
Module 4.2 – Codex Guidelines for the Application of HACCP

19. Conducting hazard analysis
Control measure
Any action or activity that can be used to prevent or eliminate a food safety hazard or reduce it to an acceptable level
More than one control measure may be required to control a specific hazard and more than one hazard may be controlled by a specified control measure
Module 4.2 – Codex Guidelines for the Application of HACCP

20. Critical control point
HACCP principle 2
Determine critical control points (CCP)
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
Step
A point, procedure, operation or stage in the food chain, including raw materials, from primary production to final consumption
Module 4.2 – Codex Guidelines for the Application of HACCP

21. Applying HACCP principle 2
Determination of CCPs can be facilitated by application of decision tree
There may be more than one CCP at which control is applied to address the same hazard
List all potential hazards, conduct hazard analysis
Determine critical control points
Establish critical limits
Module 4.2 – Codex Guidelines for the Application of HACCP

22. HACCP principle 3 Critical limit Establish critical limits
A criterion that separates acceptability from unacceptability
Maximum load: 1 tonne
Maximum speed: 15 km/h
If you exceed the critical limit ...
The bridge will break
Module 4.2 – Codex Guidelines for the Application of HACCP

23. Critical limits Critical limit Establish critical limits
A criterion that separates acceptability from unacceptability
Module 4.2 – Codex Guidelines for the Application of HACCP

24. Applying HACCP principle 3
Critical limits must be specified and validated for each CCP
More than one CL may be elaborated at a particular step
Criteria commonly used include Aw, time, pH, temperature, etc.
Critical limits are not necessarily numerical
Determine critical control points
Establish critical limits for each CCP
Establish a monitoring system
Module 4.2 – Codex Guidelines for the Application of HACCP

25. HACCP principle 4 Control Monitor
Establish system to monitor control of the CCP
Control
The state wherein correct procedures are being followed and criteria are being met
Monitor
The act of conducting a planned sequence of observations or measurements of control parameters to assess whether a CCP is under control
Module 4.2 – Codex Guidelines for the Application of HACCP

26. Applying HACCP principle 4
Monitoring data should be evaluated by designated person with knowledge and authority to take action
Frequency of monitoring must be sufficient to ensure effective control
Establish critical limits for each CCP
Establish a monitoring system
Establish corrective actions
Module 4.2 – Codex Guidelines for the Application of HACCP

27. Module 4.2 – Codex Guidelines for the Application of HACCP
HACCP principle 5
Establish the corrective action to be taken when monitoring indicates that a particular CCP is not under control
Corrective action
Any action to be taken when the results of monitoring at the CCP indicate a loss of control
Module 4.2 – Codex Guidelines for the Application of HACCP

28. Applying HACCP principle 5
Specific corrective actions must be developed for each CCP in the HACCP system in order to deal with deviations when they occur
Actions must ensure that the CCP has been brought under control
Deviation and product disposition procedures must be documented
Establish a monitoring system
Establish corrective actions
Establish verification procedures
Module 4.2 – Codex Guidelines for the Application of HACCP

29. Module 4.2 – Codex Guidelines for the Application of HACCP
HACCP principle 6
Establish procedures for verification to confirm that the HACCP system is working effectively
Verification
The application of methods, procedures tests and other evaluations, in addition to monitoring, to determine compliance with the HACCP plan
Module 4.2 – Codex Guidelines for the Application of HACCP

30. Applying HACCP principle 6
Establish procedures, including random sampling and analysis to determine if the HACCP system is working correctly
Validation should include actions to confirm the efficacy of all elements in the HACCP plan
Establish corrective actions
Establish verification procedures
Establish documentation systems
Module 4.2 – Codex Guidelines for the Application of HACCP

31. Module 4.2 – Codex Guidelines for the Application of HACCP
HACCP principle 7
Establish documentation concerning all procedures and records appropriate to these principles and their application
Module 4.2 – Codex Guidelines for the Application of HACCP

32. Applying HACCP principle 7
Documentation and record keeping should be appropriate to the size and nature of the operation
Documentation includes
Hazard analysis; CCP and CL determination
Records of
CCP monitoring; Deviations and corrective actions
Establish verification procedures
Establish documentation and record keeping systems
Module 4.2 – Codex Guidelines for the Application of HACCP

33. Module 4.2 – Codex Guidelines for the Application of HACCP
HACCP training
Training in HACCP principles and their application is required by
Personnel in industry
Government
Academia
Joint training among different stakeholder groups could facilitate dialogue and collaboration
Module 4.2 – Codex Guidelines for the Application of HACCP

34. Module 4.2 – Codex Guidelines for the Application of HACCP
Industry HACCP plans
Working instructions and procedures should be developed for operating personnel
Specific training for personnel can be developed to support the HACCP plan according to their defined tasks
Module 4.2 – Codex Guidelines for the Application of HACCP

35. Module 4.2 – Codex Guidelines for the Application of HACCP
Conclusions
The HACCP system presents a logical and systematic framework for enhancing food safety management
HACCP-based systems must apply all 7 principles
HACCP is product and process specific
Government and industry organizations have an important role to play in supporting SLBDs to apply HACCP-based systems
Module 4.2 – Codex Guidelines for the Application of HACCP