Republic of the Philippines

State Universities and Colleges

GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

LECTURE NOTES FOR CORE COMPETENCY 2:

Hazard Analysis and Critical Control Points (HACCP) Concept

Training Elements:

 Identify specific product and methods

 Make a HACCP Worksheet for the chosen product
 Prepare a HACCP PLAN FORM

Outputs/Evidences

The trainees are expected to have:

o Proposed an established and well-thought post-harvest product with potential for
commercialization

o Crafted a HACCP worksheet for the proposed product

o Prepared and finished a HACCP PLAN FORM for a proposed product

o Presented and defended the HACCP PLAN for the product (for corrections)

o Wrote a report for the final output

Duration of the Activity

HACCP Plan Activity will commence from July 19-23, 2021 accumulating to a total of 40 hours.

Prepared by: Checked:

DARLYN DENISE P. PRUEBAS GERALD SHEO THON D. GAMO

Faculty-in-charge Program Head, BSF

Approved:

JULIUS T. VERGARA, Ph.D.

Dean, College of Agricultral Sciences
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

What is HACCP?

It is a preventive strategy that is standardized and formalized to control all factors affecting the safety
and quality of food. This system is based on the assumption that safety and quality hazards exist at
various points from capture/harvest to consumption.

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.

THE HACCP PRINCIPLES

HACCP is a systematic approach to the identification, evaluation, and control of food safety hazards based on
the following seven principles:

PRINCIPLE 1. CONDUCT A HAZARD ANALYSIS

 all possible food safety and non-safety hazards that are likely to occur in the processing operation
(based on the species being processed and the process used) and the risks related to those hazards are
analysed.

what is a hazard?
- a hazard is anything in the total operation that might contaminate food and make it unsafe for the
consumers who by the product, or that can mislead consumers.

 The following steps outlined below identifies the critical control points

Step 1. Describe the product. The product must be described based on raw materials, ingredients,
additives, structure and physical characteristics (solid, liquid, gel, etc.), processing method and the extent
of processing, packaging method and material, conditions for storage and distribution, shelflife
requirement (“sell by” date and “best before” date), instructions for use, and the particular
microbiological or chemical criteria.

Step 2. State the intended use for the product. The target consumers and how they will prepare or use
the product must be determined. Furthermore, special considerations such as dangers in use by any
vulnerable groups in the population and particular requirements prescribed by the importer must be
stated.

Step 3. Develop a flow diagram. All particular steps in the manufacturing process from the time the raw
materials are received until the end product reaches the market are charted. A detailed flow chart
supported by full technical data is presented.

Step 4. Confirm the flow diagram and all recorded details. The flow diagram must be prepared based
on accurate and actual activities in the facility.

Step 5. Identify hazards and established critical control points (CCP) for every step involved in
making the product. In each step of production the same question must be asked: Is there a hazard? If
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

there is a hazard at a particular stage, determine if it can be controlled. If it can be controlled, it is declared
as a CCP.

PRINCIPLE 2. DETERMINE THE CRITICAL CONTROL POINTS (CCPs)

 Critical points in the process are identified at which a failure of some type could make food unsafe if
proper control is not applied.

 CCP is a point, step or procedure at which control can be applied and a food safety hazard can be
prevented, eliminated or reduced to an acceptable level. Therefore, for every step, location or procedure
identified as a CCP, a detailed description of the preventive measures to be taken at that point must be
provided. If there are no preventive measures to be taken at any such specific, it is not a CCP.

 A CCP can be a specified heat process, chilling, particular sanitation operation, prevention of cross-
contamination, and improvement of food.

PRINCIPLE 3. ESTABLISH CRITICAL LIMITS

 The maximum, minimum limits (parameters) for every critical control point are set, so employees are
provided with an indicator if the product (at that Critical Point) fails to meet criteria required to ensure
that the food will be safe. Critical limits must be set for factors such as temperature, time, physical
dimension which an influence hazards, moisture and salt content, pH, and available chlorine content in
cleaning water.

PRINCIPLE 4. ESTABLISH MONITORING PROCEDURES

 Monitoring procedures are set up to keep track of how all required tasks are performed at each Critical
Control Point. Methods of monitoring must be simple, give a fast result, be able to identify deviations
from specifications or criteria and provide this information in time for corrective action to be taken.
When it is not feasible to monitor a critical limit on a regular basis, it is essential to form a monitoring
interval that will be adequately reliable to indicate that the hazard is under control.

 All data from the monitoring must be recorded on well-designed forms or charts, and the records checked
and evaluated regularly and unannounced by the assigned personnel acting separately of the control staff.

PRINCIPLE 5. ESTABLISH CORRECTIVE ACTIONS

 A plan is put in place to ensure that corrective action is taken immediately whenever the monitoring
procedures show that there is a problem at any CCP. Action must be taken before deviation leads to a
safety hazard. Corrective action involves the following activities:

o using monitoring results to adjust the process in order to maintain control

o dealing with non-compliance products if control is lost
o fixing or correcting the cause of non-compliance
o keeping records of the corrective actions

 There are five options for dealing with non-compliance products:

o release the product (not the wisest option if safety is nvolved)

o test the product
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

o divert product to safe use

o reprocess the product
o destroy the product

PRINCIPLE 6. ESTABLISH VERIFICATION PROCEDURES

 Verification and review procedures are setup to ensure that the system of monitoring is working
effectively. Random sampling and analysis can be used to gather additional information in checking
whether the HACCP system is working. Verifications can also be undertaken by independent such as
government authorities, trade partners, consumer organizations and others.

PRINCIPLE 7. ESTABLISH RECORD-KEEPING AND DOCUMENTATION

PROCEDURES

 An effective system of keeping records s established to document how every aspect of the system is
working. This is done to satisfy regulators, importers and others thus showing that the plant is being
operated in accordance with HACCP, “own check” or QMP (Quality Management Program)
principles.

How to develop a HACCP plan?

The format of HACCP plans will vary. In many cases the plans will be product and
process specific. However, some plans may use a unit operations approach. Generic
HACCP plans can serve as useful guides in the development of process and product
HACCP plans; however, it is essential that the unique conditions within each facility
be considered during the development of all components of the HACCP plan.

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.

Describe Develop a
Describe the flow
Assemble Verify the
the food intended diagram
the HACCP flow
and its use and which
Team diagram
distribution consumers describes
of the food the process
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

Describing 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. In addition, the flow diagram can include steps in the food chain which are before
and after the processing that occurs in the establishment. The flow diagram need not be as complex as
engineering drawings. A block type flow diagram is sufficiently descriptive. 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. Modifications should be made to the flow diagram as necessary and
documented.

AFTER THESE FIVE PRELIMINARY TASKS HAVE BEEN COMPLETED, THE SEVEN
PRINCIPLES OF HACCP ARE APPLIED.

GUIDES

GUIDE 2

Examples of Questions to be Considered When Conducting a Hazard Analysis

The hazard analysis consists of asking a series of questions which are appropriate to the process under
consideration. The purpose of the questions is to assist in identifying potential hazards.

A. Ingredients
1. Does the food contain any sensitive ingredients that may present microbiological hazards
(e.g., Salmonella, Staphylococcus aureus); chemical hazards (e.g., aflatoxin, antibiotic or
pesticide residues); or physical hazards (stones, glass, metal)?
2. Are potable water, ice and steam used in formulating or in handling the food?
3. What are the sources (e.g., geographical region, specific supplier)
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

B. Intrinsic Factors - Physical characteristics and composition (e.g., pH, type of acidulants,
fermentable carbohydrate, water activity, preservatives) of the food during and after processing.

1. What hazards may result if the food composition is not controlled?

2. Does the food permit survival or multiplication of pathogens and/or toxin formation in the
food during processing?
3. Will the food permit survival or multiplication of pathogens and/or toxin formation during
subsequent steps in the food chain?
4. Are there other similar products in the market place? What has been the safety record for these
products? What hazards have been associated with the products?

C. Procedures used for processing

1. Does the process include a controllable processing step that destroys pathogens? If so, which
pathogens? Consider both vegetative cells and spores.
2. If the product is subject to recontamination between processing (e.g., cooking, pasteurizing)
and packaging which biological, chemical or physical hazards are likely to occur?

D. Microbial content of the food

1. What is the normal microbial content of the food?

2. Does the microbial population change during the normal time the food is stored prior to consumption?
3. Does the subsequent change in microbial population alter the safety of the food?
4. Do the answers to the above questions indicate a high likelihood of certain biological hazards

E. Facility design
1. Does the layout of the facility provide an adequate separation of raw materials from ready-to-
eat (RTE) foods if this is important to food safety? If not, what hazards should be considered
as possible contaminants of the RTE products?
2. Is positive air pressure maintained in product packaging areas? Is this essential for product
safety?
3. Is the traffic pattern for people and moving equipment a significant source of contamination?

F. Equipment design and use

1. Will the equipment provide the time-temperature control that is necessary for safe food?
2. Is the equipment properly sized for the volume of food that will be processed?
3. Can the equipment be sufficiently controlled so that the variation in performance will be
within the tolerances required to produce a safe food?
4. Is the equipment reliable or is it prone to frequent breakdowns?
5. Is the equipment designed so that it can be easily cleaned and sanitized?
6. Is there a chance for product contamination with hazardous substances; e.g., glass?
7. What product safety devices are used to enhance consumer safety?
b. metal detectors
c. magnets
d. sifters
e. filters
f. screens
g. thermometers
h. bone removal devices
i. dud detectors
8. To what degree will normal equipment wear affect the likely occurrence of a physical hazard
(e.g., metal) in the product?
9. Are allergen protocols needed in using equipment for different products?
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

G. Packaging
1. Does the method of packaging affect the multiplication of microbial pathogens and/or the
formation of toxins?
2. Is the package clearly labeled "Keep Refrigerated" if this is required for safety?
3. Does the package include instructions for the safe handling and preparation of the food by the
end user?
4. Is the packaging material resistant to damage thereby preventing the entrance of microbial
contamination?
5. Are tamper-evident packaging features used?
6. Is each package and case legibly and accurately coded?
7. Does each package contain the proper label?
8. Are potential allergens in the ingredients included in the list of ingredients on the label?

H. Sanitation
1. Can sanitation have an impact upon the safety of the food that is being processed?
2. Can the facility and equipment be easily cleaned and sanitized to permit the safe handling of
food?
3. Is it possible to provide sanitary conditions consistently and adequately to assure safe foods?

I. Employee health, hygiene and education

1. Can employee health or personal hygiene practices impact upon the safety of the food being
processed?
2. Do the employees understand the process and the factors they must control to assure the
preparation of safe foods?
3. Will the employees inform management of a problem which could impact upon safety of
food?

J. Conditions of storage between packaging and the end user

1. What is the likelihood that the food will be improperly stored at the wrong temperature?
2. Would an error in improper storage lead to a microbiologically unsafe food?

K. Intended use
1. Will the food be heated by the consumer?
2. Will there likely be leftovers?

L. Intended consumer
1. Is the food intended for the general public?
2. Is the food intended for consumption by a population with increased susceptibility to illness
(e.g., infants, the aged, the infirmed, immunocompromised individuals)?
3. Is the food to be used for institutional feeding or the home?

GUIDE 3
Examples of How the Stages of Hazard Analysis are used to Identify and Evaluate Hazards*
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

GUIDE 4
HOW TO USE A CCP DECISION TREE

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

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.

Example I of a CCP Decision Tree

 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

Example II of a CCP Decision Tree

 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras

GUIDE 1

Example of a Flow Diagram for the Production of Frozen Cooked Beef Patties

REFERENCES

Espejo-Hermes, J. 1998. Fish processing technology in the tropics. ISBN 971-91395-7-9.

US-FDA. 2017. HACCP Principles and Application Guidelines. Retrieved 14 July 2021 at
https://www.fda.gov/food/hazard-analysis-critical-control-point-haccp/haccp-principles-application-
guidelines#app-b
 Republic of the Philippines
State Universities and Colleges
GUIMARAS STATE COLLEGE
BATERNA CAMPUS
College of Agricultural Sciences
Constancia, San Lorenzo, Guimaras