Basics of HACCP and Prerequisite Programs

Basics of HACCP and Prerequisite
Programs
Implementing an effective HACCP Program and prerequisite programs to ensure
a environment that is capable of producing safe product is the first step to
building a Food Safety Management System (FSMS)
Copyright 2014 Vinca, LLC
Introduction to Vinca LLC and
22000-tools.com
Cynthia Weber, our president, is an SQF Registered Consultant and FSSC
22000 Lead Auditor for the Food Processing and Food Packaging
Manufacturing industries.
Ms. Weber's 25 years of experience and expertise implementing Food
Safety Management Systems is available to you in the
Online Tools and Training we offer, and through the customer support we
provide to customers throughout your implementation project.
Vinca is here to help you achieve GFSI recognized Certification for food
safety management systems. Our customers use Online Training and
Development Tools to learn and train staff, and to design and implement
systems for:
SQF
FSSC 22000, and
BRC
Achieve Certification without using a consultant. Our online training
programs walk you through each step of designing, documenting and
implementing your system so you are ready for your certification audit.
Versions are available for Food Processors, Pet Food Processors and
Food Packaging Manufacturers.
You may register for the courses one by one, or order the complete series
for the standard you choose in our "Complete Training Package".
For a facility-wide training solution, order our "Premium Package". This
package provides your project leader with the complete training and
multiple log-ins to allow you to train others in your management team,
food safety team and internal audit team.
For multi-site organizations we can provide a Corporate Solution. Contact
us for a custom quote for Premium Packages for each site, 800-746-3174.
www.22000-tools.com
Basics of HACC and Prerequisite Programs
Introduction to HACCP
Hazard Analysis and Critical Control Point (HACCP) is an
internationally recognized system for reducing the risk of safety
hazards in food.
A HACCP System requires that potential hazards are identified and
controlled at specific points in the process.
Biological
Chemical
Physical
Any company involved in the manufacturing, processing or handling
of food products can use HACCP to minimize or eliminate food
safety hazards in their product.
What HACCP is not:
HACCP is not a Quality Control system
HACCP is not a government program (although there are

regulatory requirements for companies to have a HACCP
program in place. Visit FDA.gov for information)
Building a HACCP System
Implementing a HACCP System requires that both Prerequisite
Programs and HACCP Plans are implemented.
Prerequisite programs are programs that are put in place

in the facility to control hazards in the environment,
preventing contamination of the product. Prerequisite
programs ensure a hygienic environment, and good
manufacturing processes for personnel that reduce the risk
of contamination of the food product.
HACCP Plans are prepared for each process or product,

and identify possible hazards and controls in place to make
sure the hazards are eliminated or controlled to ensure
acceptable levels in the food product.
Hazard Analysis and Critical
Control Point (HACCP)
identifies controls for specific
hazards in the manufacturing,
processing or handling
process.
Prerequisite Programs are
programs to control hazards
in the food manufacturing,
processing or handling
environment.
Why use HACCP?
Awareness of food-borne illness is increasing and concern
throughout the industry is driving the use of HACCP and HACCP
based certification programs.
Global market place
Increasing incidents of food-borne pathogens
New pathogens emerging
Need to protect Brands, control risks

Food Safety Management Systems
To protect themselves, multinational food manufactures, retailers
and grocers are asking their suppliers to implement a Food Safety
Management System.
The Global Food Safety Initiative, GFSI has benchmarked a
number of Food Safety Management Systems Certification
programs, all of which are HACCP based.
SQF
FSSC 22000
BRC
IFS
Others
Benefits of HACCP
The primary purpose of a HACCP system is to protect people from
food borne illness, but the benefits of the system also extend to the
company.
Increased confidence in your products
Ability to reach markets and customers that require a

HACCP based system
Reduced Liability
Effective process management
Improved quality and consistency

Outbreaks of food borne
illness hurt companies
throughout the food
chain. When a one brand
is recalled, all brands
with similar products can
suffer.
One of the first steps to building a food safety management system is to
establish your HACCP Plan. Use our HACCP Tools Package to guide you
through the design and implementation of your program.
The package is available in three formats based on the three popular
GFSI recognized certification schemes. Choose the package for the
standard you plan to obtain certification for, or use any of these as a
generic HACCP program.
http://www.22000-tools.com/haccp-package.html
The HACCP Tools Package includes
Prerequisite Programs Procedure
HACCP Procedure
Excel HACCP workbook to develop and document your HACCP Plan
Prerequisite Programs
Introduction
Prerequisite Programs are programs and practices that are put in
place to maintain a sanitary environment and minimize the risk of
introducing a food safety hazard.
Provide suitable building and equipment design and

construction
Plan and Implement Pre-requisite programs
Address statutory, regulatory and customer requirements as

well as other recognized guidelines
Learn more about prerequisite programs for GFSI

recognized certification programs
o
http://www.22000-tools.com/sqf-food-safety-
fundamentals-training.html
o
http://www.22000-tools.com/fssc-22000-prp-
training.html
o
http://www.22000-tools.com/brc-introduction-to-brc-
training.html
Consider the points below as you plan your prerequisite programs.
If you are implementing a Food Safety Management System for
certification, follow the prerequisite program requirements in the
relevant standard.
Building and Equipment Design and Construction
Detailed requirements for the building and equipment construction
and design requirements
Site Requirements and Approval
Food Handling Areas
Water and Ice Supply
Storage Facilities
Separation of Functions
On-site Laboratories
Staff Amenities
First Aid Facilities
Waste Disposal
Exterior
The first step to building an
effective HACCP Program
is to establish programs
and practices that ensure a
clean hygienic environment
for your product processing
or handling.
Consider your building and
equipment. How do they
contribute to the safety of
your product?
Site Requirements and Approval
Your facility and site must be located so that other operations
nearby do not jeopardize the safe and hygienic operations at your
facility.
Evaluate possible hazards in the area and establish

control measures if needed
Validate the efficiency of measures put in place
Monitor and periodically review the measures
Obtain approvals from relevant authorities for the

construction and operation of your facility
Food Handling Areas
Use surface materials that do not contribute a food safety risk, are
smooth, easy to clean, and not damaged by cleaners:
Product contact surfaces
Walls
Ceilings
Floors
Floors, Drains and Waste Traps
Floors in food handling areas must be:
Smooth
Impact resistant
Graded and drained
Impervious to liquids
Easily cleaned
Drained
Walls, Partitions, Doors and Ceilings
Internal surfaces in food handling areas must also be
Durable
Smooth
Impervious
Use light colored finishes to enable cleaning to be evaluated.
Walls, Partitions, Doors and Ceilings
Round junctions for easy cleaning and to prevent food debris
accumulating. If junctions are not rounded, document a cleaning
process.
Ducting, Conduits and Pipes
Prevent contamination from dust or material buildup on pipes by:
Recessing into walls or ceilings, or
Mounting far enough away from surfaces to allow for

effective cleaning
Doors, Hatches and Windows
Requirements are that:
Doors and hatches must be solid
Windows must be shatterproof glass in processing or

food handling areas
Pest and fly proof windows
Ceilings must be in place to prevent contamination of

product
Stairs, Catwalks and Platforms
When in food handling areas:
Design and construct to prevent contamination risks
If they cross over production or processing areas

make sure that the structure and the traffic do not
contaminate the areas underneath
Lighting and Light Fittings
When in food handling areas:
! Lighting must be sufficient, and appropriate intensity
for people to carry out tasks
Inspection Area
Provide a suitable area if inspection of product in the processing
area is needed:
Easy access to hand washing facilities
Sufficient lighting for the inspection of product

Dust, Fly and Vermin Proofing
Prevent access by:
Making sure openings are effectively sealed when

closed
Providing personnel access doors fitted with self

closing device and fly proofed
Fly proofing external doors
Locating pest control devices so they do not pose a

risk of contamination
Ventilation
Provide adequate ventilation
In enclosed processing and food handling areas
In cooking areas
Use extractor fans and canopies where large amounts

of steam are generated
Equipment, Utensils and Protective Clothing
Minimize the risk of contamination from equipment:
Equipment
Design and construct of appropriate materials, and

make them easy to clean, dismantle and properly
maintain
Minimize the risk of contamination from utensils:
Utensils such as containers, tubs, bins
Constructed of non toxic materials, smooth and easy

to clean
Minimize the risk of contamination from drainage:
Equipment that drains
Make waste and overflow water discharge directly to

floor drainage systems
Minimize the risk of contamination from clothing:
Protective Clothing
Made of material that is non toxic and easily cleaned

Cleaning of Processing Equipment, Utensil and
Protective Clothing
Provide for effective cleaning:
Processing Equipment, utensils and clothing
Make sure there is a suitable area, properly equipped

for cleaning operations
Provide racks to store cleaned items

Hand Washing Facilities
Provide hand washing signage and facilities at all personnel access
points and near processing areas as required.
Hand basins must be non-corrodible and supplied with:
Potable water
Liquid soap in dispenser
Paper towels
Waste container for paper towels

Hand Washing Facilities
High risk or areas where food is exposed must also have
Hands free taps
Hand sanitizer
Protective Clothing Racks
Keep racks for storage of protective clothing near personnel access
doorways
To provide temporary storage when staff leaves the

area
Vehicles
Design and operate vehicles used in processing zones or for food
contact or handling in a manner that prevents food safety hazards.
Do not use diesel or gasoline powered vehicles.
Include the vehicles on your cleaning schedule

Water and air often come in contact with product and must be
controlled to prevent introducing contaminants.
Provide clean potable water for processing, for use as

an ingredient and for cleaning purposes
Make sure that supplies of hot and cold water are

sufficient to meet requirements
Do not allow cross contamination of potable and non-

potable lines
Clearly identify non-potable lines
Use non-return devices on non-potable lines

Where ice is used during processing or as an ingredient
An adequate supply made from potable water must

be provided
Storage areas must comply with requirements and

minimize contamination
Storage Facilities
Cold Storage, Freezing and Chilling of Foods
Confirm performance of freezing and chilling
Design to allow for hygienic refrigeration
Make areas easily accessible for inspection and

cleaning
Provide sufficient capacity
Meet requirements for walls, ceilings, floors and light

fittings
Defrost and condensate lines must be controlled and

discharge into drainage system
Monitor conditions, use temperature recording

devices
Design loading and unloading docks to protect

product
Storage Facilities
Dry Ingredient and Shelf Stable Goods Storage
Locate away from wet areas
Designed to protect product from contamination and

deterioration
Light fittings must comply with requirements where

product is not enclosed or cased
Storage Facilities
Packaging
Locate away from wet areas
Designed to protect packaging from contamination

and deterioration
Light fittings must comply with requirements
Use storage racks made of impervious materials
Allow room for cleaning of floors and room
Room must protect from vermin

Storage Facilities
Equipment and Receptacles
Provide storage areas that allow hygienic and efficient

storage
Store utensils and packaging away from hazardous

chemicals and toxic substances
Storage Facilities
Hazardous Chemicals and Toxic Substances
Store securely to prevent hazards to staff, product,

packaging, product handling equipment or areas
Separate pesticides, fumigants and insecticides from

sanitizers and detergents
Store chemicals in original containers

Storage Facilities
Hazardous Chemicals and Toxic Substances
Requirements for storage areas:
Comply with regulations
Prevent cross contamination
Be lockable
Adequate ventilation
Appropriate signs
Instructions on safe handling
An up to date inventory
Emergency equipment and protective equipment,

shower and wash facilities
Alternative Storage and Handling of Goods
If alternative storage conditions are used, risk analysis must ensure
that there is no risk to the goods:
Contamination
Adverse affect on food safety

Separation of Functions
Design the flow of processes in the facility:
To prevent cross contamination
Provide a continuous flow or product through the

process
Receipt of Raw Materials
Separate the receiving of dry ingredients and frozen and chilled
materials.
Segregate unprocessed raw materials at receipt to

prevent cross contamination
Thawing of Product
If processes include thawing of product:
Provide appropriate rooms and equipment
Water thawing must be continuous flow
Air thawing requires monitoring of temperature and

time
Contain and dispose of cartons and packaging

High Risk Processes
Control conditions for processing:
Segregate sensitive areas where a "kill" step or "food

safety intervention" takes place
Limit access to staff dedicated to that function
Provide areas for putting on protective clothing

specific to the area
Design product transfer points to protect and minimize

cross contamination
Other Processes
Specialty foods (Kosher, HALAL, Organic, or other foods requiring
segregation such as those segregated from allergen containing
foods) require:
A method of physically separating ingredients
Separate rooms for processing, or
That production is carried out after thorough cleaning

and sanitation of the line, and
Separate transport units or isolation from non-

specialty product
On-Site Laboratories
Locate laboratories away from food processing or handling and:
Limit access to authorized personnel
Isolate and contain waste
Display signs to identify the area as restricted

Staff Amenities
Provide areas for staff with appropriate lighting and ventilation,
including:
Facilities for staff and visitors to don protective

clothing
Changing rooms for staff of high risk processing

operations where clothing can be soiled
Areas for storage of street clothing and personal

items
Showers if required
Laundry
Laundry services must be available for clothing worn in high risk
areas, or areas where clothing can be heavily soiled.
Provide laundry service
Provide changing rooms

Sanitary Facilities
Provide sufficient restroom facilities:
Easily accessible
Located away from processing and production
Sanitary drains separate from other drains in the

facility
Have hand wash facilities and signage immediately

outside toilet rooms
Lunch Rooms
An area for eating must be provided separate from food handling
and processing areas:
Ventilated and well lit
Adequate tables and seating areas
Be equipped with a sink with hot and cold water
Have refrigeration and heating equipment
Display hand washing requirements prominently

First Aid Facilities
Make sure that first aid facilities are available, and
arrangements made if an injury or illness requires additional
care.
Waste Disposal
Waste materials should be identified, collected and removed to
prevent introducing or spreading contaminants:
Dry waste
Liquid waste
Exterior
Make sure that grounds surrounding the facilities are well
maintained
Minimize dust
Free of waste and debris
Limit harborage for pests and vermin
Keep paths, roadways, loading areas maintained

Managing Prerequisite Programs

Plan and Document your Program
Design and document Prerequisite Programs.
Use information from:
Your gap analysis
The certification standard you are using, if applicable.
Regulations
Industry and other sources

Identify Verification Activities
How will you verify that the program is implemented and in
compliance? Document the responsibility, frequency, methods and
records of planned verification activities. This may be an audit of
the program, or other activity.
Identify a Corrective Action Plan
What will be done if this program is found to be out of compliance?
Identify who is responsible for determining if any product might
have been affected, and identifying and controlling the product.
How will the underlying problem be corrected.
Who must be trained on the Prerequisite
Program?
Consider who's activities or responsibilities might affect the
effectiveness of the program. Identify who should be trained, and
include training requirements on the table for the PRP.
Consider:
Those that have responsibilities for the program
Those that have verification responsibilities
Those that work in areas of the facility included in the PRP
Information that should be included in general employee

training programs
The Principles of HACCP
HACCP:
It is a system designed to prevent food safety hazards
It is used in a wide variety of food industries, and used

around the world
HACCP has been incorporated into many food safety

management systems
Seven Principles of HACCP
HACCP is based on seven principles:
Conducting hazard analysis
Determining critical control points
Establishing critical limits
Establishing monitoring procedures
Establishing corrective action procedures
Establishing verification procedures
Establishing records and documentation procedures

Principle 1: Hazard Analysis
The food safety team must conduct a hazard analysis for each
product, identifying all potential hazards for the product.
Types of hazards include:
Microbiological hazards
Chemical hazards
Physical hazards
Microbiological Hazards
Microbial organisms can be dangerous contaminants in your
ingredients or products. These can include:
Harmful bacteria (pathogens)
Viruses
Parasites
Molds

Chemical Hazards:
Pesticides
Antibiotics
Sulfites
Toxins from bacteria
Allergens
Physical Hazards
Physical hazards include those that are introduced during
processing, for example:
Metal
Glass
Plastic
Physical hazards can also be those that are in the food but must be
removed, for example:
Bones
Flow Diagrams
The hazard evaluation starts with an in-depth look at the product,
its distribution and use.
The production process is documented as a flow diagram to:
Enable each step to be evaluated for safety hazards
Include each step from incoming ingredients to shipping of
final product
Verification of flow diagrams:
The food safety team assigns responsibility for verifying the
accuracy of the flow diagrams
The responsible person signs the flow diagram as an
indication of successful validation
Identification of hazards
The food safety team analyzes the flow diagrams to identify
potential hazards. The team evaluates:
Raw materials
Processes
Control measures
Allergens
Intended use
Principle 2: Critical Control Points
Definition of a Critical Control Point (CCP)
A step at which control can be applied and which is essential
to prevent or eliminate a food safety hazard, or reduce it to
an acceptable level.
Definition of Control Measures
Actions taken at the critical control point to prevent, eliminate
or reduce the hazard
Look for critical control points in these areas:
Raw materials
Receiving and handling
Processing
Distribution
Decision trees are used to identify critical control points (CCPs)
Decision trees are a sequence of questions used to evaluate
the points on the prepared process flow diagrams
The series of questions on the decision tree are asked for
each process step, and CCPs identified and documented
Principle 3: Critical Limits
Definition of Critical Limits:
A maximum or minimum value to which a biological,
chemical or physical parameter must be controlled at a CCP
to prevent, eliminate or reduce the hazard to acceptable
levels.
Examples:
Temperature
Time
Humidity
pH
Principle 4: Monitoring Procedures
Definition of Monitoring Procedures:
Scheduled or continuous testing or observation of the control
parameters at a CCP to ensure that limits are not exceeded.
Checking temperatures
Sampling raw materials
Monitoring pH
Humidity monitoring
Sampling for bacteria
For each monitoring procedure, responsibilities and actions must
be defined to make sure that:
The correct information is collected
The information is collected at the correct point in the
process
It is analyzed effectively and can be compared to established
limits
Action can be taken in a timely manner if limits are exceeded
Data is recorded
Personnel involved are qualified and trained appropriately
Principle 5: Corrective Action Procedures
When a critical control limit is exceeded, corrective action is taken
to bring the process back into control
The appropriate corrective action must be identified in the
HACCP plan so that when a limit is exceeded it is clear what
action must be taken
Goals of corrective action:
Identify the cause of the loss of control
Determine the scope of the problem
Identify what product was affected and bring it under control
Correct the deviation and eliminate the cause
Identify the cause of the loss of control
Find the root cause: analyze what happened and find not
only the immediate cause but the underlying cause of the
problem
Identifying the correct root cause is critical to being able to
prevent the same thing from happening again
Identify the scope of the problem
When did the out of control situation begin?
What process steps were affected?
Principle 6: Verification
Verification:
Verify that the HACCP plan is valid, implemented as written
and working properly
Validate that the critical control limits are sufficient for
preventing food safety hazards
Demonstrate that hazards are being controlled at the CCPs
Methods for ongoing verification include:
Analytical testing
Review of monitoring results and methods
Review of the HACCP plan and flow diagrams
Internal Audits
Other methods
Principle 7: Records and Documentation
Documentation and Record Keeping
The foundation of a HACCP system is a documented plan
addressing each of the HACCP principles
Record keeping provides evidence that the activity has been
adequately performed, and performed according to the
documented plan
HACCP Records include:
The HACCP plan
Hazard analysis
Monitoring records and data
Testing data and results
Records of corrective action
Nonconforming product disposition records
Validation records
Audit reports

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What are prerequisite programs?

What are prerequisite programs?

What are the 7 principles of HACCP?

What are the 7 principles of HACCP?

Basics of HACCP and Prerequisite

HACCP is not a Quality Control system

HACCP is not a government program (although there are

Prerequisite programs are programs that are put in place

HACCP Plans are prepared for each process or product,

Global market place

Increasing incidents of food-borne pathogens

New pathogens emerging

Need to protect Brands, control risks

Increased confidence in your products

Ability to reach markets and customers that require a

Effective process management

Improved quality and consistency

Provide suitable building and equipment design and

Plan and Implement Pre-requisite programs

Address statutory, regulatory and customer requirements as

Learn more about prerequisite programs for GFSI

Evaluate possible hazards in the area and establish

Validate the efficiency of measures put in place

Monitor and periodically review the measures

Obtain approvals from relevant authorities for the

Product contact surfaces

Graded and drained

Recessing into walls or ceilings, or

Mounting far enough away from surfaces to allow for

Doors and hatches must be solid

Windows must be shatterproof glass in processing or

Pest and fly proof windows

Ceilings must be in place to prevent contamination of

Design and construct to prevent contamination risks

If they cross over production or processing areas

Easy access to hand washing facilities

Sufficient lighting for the inspection of product

Making sure openings are effectively sealed when

Providing personnel access doors fitted with self

Fly proofing external doors

Locating pest control devices so they do not pose a

In enclosed processing and food handling areas

Use extractor fans and canopies where large amounts

Design and construct of appropriate materials, and

Utensils such as containers, tubs, bins

Constructed of non toxic materials, smooth and easy

Equipment that drains

Make waste and overflow water discharge directly to

Made of material that is non toxic and easily cleaned

Processing Equipment, utensils and clothing

Make sure there is a suitable area, properly equipped

Provide racks to store cleaned items

Liquid soap in dispenser

Waste container for paper towels

Hands free taps

To provide temporary storage when staff leaves the

Do not use diesel or gasoline powered vehicles.

Include the vehicles on your cleaning schedule

Provide clean potable water for processing, for use as

Make sure that supplies of hot and cold water are