HACCP

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Food Quality and Safety Systems - A Training Manual on Food Hygiene and
the Hazard Analysis and Critical Control Point (HACCP) System
Food Quality and Standards Service Food and Nutrition Division
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS

Rome, 1998
Editing, design, graphics and desktop publishing:

Publishing Management Group, FAO Information Division
Reprinted with corrections 1998
The designations employed and the presentation of material in this publication do not imply the expression of
any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations concerning
the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its
frontiers or boundaries.
M-83
ISBN 92-5-104115-6
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or
transmitted in any form or by any means, electronic, mechanical, photocopying or otherwise,
without the prior permission of the copyright owner. Applications for such permission, with a
statement of the purpose and extent of the reproduction, should be addressed to the Director,
Information Division, Food and Agriculture Organization of the United Nations, Viale delle Terme di
Caracalla, 00100 Rome, Italy.
FAO 1998
This electronic document has been scanned using optical character recognition (OCR) software and
careful manual recorrection. Even if the quality of digitalisation is high, the FAO declines all
responsibility for any discrepancies that may exist between the present document and its original
printed version.
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Table of Contents
Foreword
Preface
Section 1 - PRINCIPLES AND METHODS OF TRAINING
Introduction
Module 1 - Principles of effective communication - "Getting the message across"
Module 2 - Effective oral communication
Module 3 - Why train? The trainer's role and responsibility
Module 4 - Methods of training - The right method
Module 5 - The art of questioning
Module 6 - Types of training aids - How to make and use them
Module 7 - Planning and delivering a presentation
Module 8 - Evaluating training
Module 9 - Testing trainee trainers - Individual presentations
Module 10 - Organizing and managing a training course
Section 2 - RECOMMENDED INTERNATIONAL CODE OF PRACTICE - GENERAL PRINCIPLES OF FOOD

HYGIENE
Introduction
Module 1 - The Codex Alimentarius Commission
Module 2 - The Codex General Principles of Food Hygiene
Module 3 - Primary production
Module 4 - Establishment: design and facilities
Module 5 - Control of operation
Module 6 - Establishment: maintenance and sanitation
Module 7 - Establishment: personal hygiene
Module 8 - Transportation
Module 9 - Product information and consumer awareness
Module 10 - Training
Section 3 - THE HAZARD ANALYSIS AND CRITICAL CONTROL POINT (HACCP) SYSTEM
Introduction
Module 1 - History and background of the HACCP system
Module 2 - The Codex guidelines for the application of the HACCP system
Module 3 - Assemble the HACCP team - Task 1
Module 4 - Describe product and identify intended use - Tasks 2 and 3
Module 5 - Construct flow diagram and on-site confirmation of flow diagram - Tasks 4 and 5
Module 6 - List all potential hazards associated with each step, conduct a hazard analysis and
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consider any measures to control identified hazards - Task 6/Principle 1
Module 7 - Determine critical control points - Task 7/Principle 2
Module 8 - Establish critical limits for each critical control point - Task 8/Principle 3
Module 9 - Establish a monitoring system for each critical control point - Task 9/Principle 4
Module 10 - Establish corrective actions - Task 10/Principle 5
Module 11 - Establish verification procedures - Task 11/Principle 6
Module 12 - Establish documentation and record keeping - Task 12/Principle 7
Annex 1 - Blank HACCP forms
Annex 2 - The application of risk analysis to food safety control programmes
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Foreword
The Food and Agriculture Organization of the United Nations (FAO) is the principal specialized UN
agency dealing with all aspects of food quality and safety throughout each of the stages of food
production, storage, transportation, processing and marketing. Work in this area is carried out by
the Food Quality and Standards Service of the FAO Food and Nutrition Division. Activities include
providing policy advice and executing food quality control and safety development projects,
including the development of food standards and technical regulations; food quality and safety
assurance programmes for the food industry; establishing national export food certification
programmes; monitoring programmes for food contaminants; and conducting regional and national
seminars and workshops on food control issues.
One important element of FAO's work is building the capacity of food control personnel, including
government authorities and food industry personnel carrying out food quality and safety assurance
programmes. Such programmes should include specific food risk control procedures such as the
Hazard Analysis and Critical Control Point (HACCP) system.
In December 1994, FAO held an expert consultation on HACCP principles in food control. The experts
recommended that FAO should continue to emphasize high-quality and effective food industry and
government HACCP training, based on the development of a core curriculum and the harmonized
text and guidelines of the Codex Alimentarius Commission.
In February 1995, an ad hoc working group was formed and a core curriculum was developed for a
training of trainers programme. The core curriculum recognizes the importance of the basic quality
and safety controls included in the Codex General Principles of Food Hygiene and good
manufacturing practices as embodied in the Codex Codes of Practice as a basis for effective
implementation of the HACCP system. The training programme has been tested in Thailand, Brazil,
Viet Nam and Slovakia. This training manual on food quality and safety systems is a direct result of
that work.
The manual is structured to provide essential information in a standardized, logical and systematic
manner while adhering to effective teaching and learning strategies. It is composed of three
sections. Section 1 reviews principles and methods of training; Section 2 introduces and elucidates
the Codex Alimentarius General Principles of Food Hygiene; and Section 3 explains the HACCP
system and its implementation. Each section is made up of specific training modules which can be
combined and customized to meet the specific needs of the students.
FAO has prepared this manual in an effort to harmonize the approach to training in the HACCP
system based on the already harmonized texts and guidelines of the Codex Alimentarius
Commission. It is clear that HACCP systems can only be effective when they are a part of a broader
food quality and safety programme based on the General Principles of Food Hygiene and good
manufacturing practices. Consequently, these aspects of quality and safety controls are incorporated
in the training materials. We invite readers' comments and suggestions for improving this manual as
part of our continuing effort to provide high-quality advice and reference materials to FAO member
countries.
John R. Lupien
Director
FAO Food and Nutrition Division
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Preface
All countries need adequate food control programmes to ensure that national food supplies are safe,
of good quality and available in adequate amounts at affordable prices to ensure an acceptable
nutritional and health status for all population groups. Food control includes all activities carried out
to ensure the quality, safety and honest presentation of the food at all stages from primary
production, through processing and storage, to marketing and consumption. The term has been
used to describe a total national effort involving an integrated approach between government and
all segments and sectors of the food industry. Food control is linked to improvement in the health of
the population, potential for a country's economic development and reduction of spoilage and food
losses.
The Codex Alimentarius General Principles of Food Hygiene lay a firm foundation for ensuring
effective food control and food hygiene. The General Principles of Food Hygiene follow the food
chain from primary production through to the consumer, highlighting the key hygiene controls at
each stage. A Hazard Analysis and Critical Control Point (HACCP) approach is recommended
wherever possible to enhance food safety. The HACCP approach is internationally recognized as
being effective in ensuring the safety and suitability of food for human consumption and in
international trade.
Recognizing the importance of HACCP to food control, the twentieth session of the Codex
Alimentarius Commission, held in Geneva, Switzerland from 28 June to 7 July 1993, adopted
Guidelines for the application of the Hazard Analysis Critical Control Point (HACCP) system (ALINORM
93/13A, Appendix II). The revised version of the Recommended International Code of Practice -
General Principles of Food Hygiene [CAC/RCP 1-1969, Rev. 3 (1997)], adopted during the twenty-
second session of the Codex Alimentarius Commission, held in Geneva from 23 to 28 June 1997,
incorporates the Hazard Analysis and Critical Control Point (HACCP) system and guidelines for its
application as Annex.
The HACCP system, as it applies to food safety management, uses the approach of controlling critical
points in food handling to prevent food safety problems. Besides enhancing food safety, other
benefits of applying HACCP include effective use of resources and timely response to food safety
problems. In addition, the application of the HACCP system can result in more focused risk
management by food control regulatory authorities and can promote international trade by
increasing buyer confidence in food safety.
The HACCP system identities specific hazards and control measures to ensure the safety of food. An
HACCP plan is specific to the particular food and processing application. The HACCP system is
capable of accommodating change, such as advances in equipment design, new information
concerning health hazards or risks, new processing procedures or technological developments.
The successful application of HACCP requires the full commitment and involvement of management
and the workforce. It also requires a team approach. The application of the HACCP system is
compatible with the implementation of quality management systems, such as the ISO 9000 series,
and HACCP is the system of choice for the management of food safety within such systems.
HACCP and trade
Significant implications for the Codex Alimentarius Commission arise from the Final Act of the
Uruguay Round of the General Agreement on Tariffs and Trade (GATT): the Agreement on the
Application of Sanitary and Phytosanitary Measures (SPS Agreement) and the Agreement on
Technical Barriers to Trade (TBT Agreement). Codex standards, guidelines and other
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recommendations have become the specifically identified baseline for consumer protection under
the SPS Agreement. In this environment they take on unprecedented importance with respect to
consumer protection and international food trade. As a result, the work of the Codex Alimentarius
Commission (including the Hazard Analysis and Critical Control Point [HACCP] system and guidelines
for its application) has become the reference for international food safety requirements.
While the improved level of food safety associated with the implementation of HACCP and the
leading role taken by the food industry are recognized, the application of HACCP as a public policy
requires definition of the role of government in the utilization of the HACCP process and risk
analysis. Individual countries need to address the issue of HACCP implementation so that their food
export industry can meet the requirement recently adopted by some importing countries related to
HACCP application to food products. The mandatory requirement to use HACCP and any subsequent
barriers or other constraints to trade, particularly for developing countries, need to be considered
and identified. The appropriate application of HACCP to different segments of the food chain and the
impact of this application on small and medium-sized food industries also needs to be addressed.
Recent FAO activities
Recognizing the importance of HACCP in food control and the necessity and importance of improving
the safety of food in international trade, and to address the issues identified above, FAO convened
an expert technical meeting in Vancouver, Canada from 12 to 16 December 1994 to discuss the use
of HACCP principles in food control.
The expert technical meeting noted that training in the application and implementation of the
HACCP system was of utmost importance and recommended that FAO consider assuming the
leadership role in conducting high-quality and effective industry and government HACCP training. In
their report, the experts also recommended that FAO establish an inventory of available HACCP
models and training reference material and prepare a core curriculum for practical HACCP training
courses. It was recommended that the training be focused on developing skills and methods
necessary for training government and industry representatives in the requirements of the Codex
General Principles of Food Hygiene and the principles and steps in implementation of HACCP.
Further, the core curriculum should be modifiable to reflect cultural sensitivities and to address
infrastructural problems in individual countries.
As follow-up to the training recommendations of the expert technical meeting, FAO convened a
temporary technical working group which met in Rome from 13 to 17 February 1995 to plan a
training of trainers course in HACCP for developing countries. The temporary technical working
group consisted of representatives from the Centre of Export Inspection and Certification of
Agricultural Products, Thailand Department of Agriculture; the Thai Food Industry; and international
experts in food sanitation and hygiene, HACCP and training techniques. The working group prepared
a tentative agenda for a course on training of trainers in the application of HACCP to be held in
Thailand.
The meeting participants agreed that the objectives of the training should be to promote a common
approach to the application of HACCP based on the Codex guidelines and to instil trainers where
possible with sufficient skills in the theory and application of HACCP to train others. The training
should establish agreed terminology and basic understanding of HACCP principles and impart to the
trainees those skills necessary for the application of HACCP to food safety in both the public and
private sectors.
Two pilot training courses were carried out in Cha Am, Thailand (31 July to 11 August 1995) and Sao
Paulo/Brazil (12 to 23 August 1996). It was concluded that the course format achieved its objective
of imparting a thorough understanding of the technical information and its application to the
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participants. Participants completing the course demonstrated practical knowledge of the General
Principles of Food Hygiene and the application of the HACCP system and the ability to train other
people.
The FAO approach to the HACCP system
There is a tremendous demand for training in the HACCP system and the development and assembly
of reference materials to support this training, particularly in developing countries. It is a matter of
urgency to provide the necessary clarification with regard to the application of the HACCP system.
The objective of the FAO HACCP training programme is to promote good manufacturing practices
(GMPs) and the HACCP system through understanding and application of the Codex General
Principles of Food Hygiene, including the Codex guidelines for the application of the HACCP system
and other Codex codes of hygienic practice. FAO is working to enhance the role of science and risk
analysis in the development of the HACCP system and to create a framework for determining
equivalence of food safety control programmes for a harmonized approach to the application of
HACCP.
The FAO training programme harmonizes the approach to GMPs and the application of the HACCP
system and aims to provide an effective mechanism for delivering the appropriate core curriculum
and knowledge to selected segments and sectors of the food industry, individuals involved to varying
degrees in the preparation, monitoring, administration and verification of HACCP plans and food
control regulators. Included in the FAO training programme is emphasis on training the trainers who
are in a position to train others and to apply the knowledge gained and hence to contribute to self-
reliance, particularly in developing countries.
To accomplish these objectives, FAO has embarked on a plan to develop further collaboration and
partnerships with regional and national counterparts, where possible with other international
organizations and with the food industry to review the needs of the developing countries regarding
their HACCP system implementation plans and to establish workable strategies.
The training package
Training is not an objective in itself but is linked to improvement in a country's public health and
economic development. It is in this context, and recognizing the need to standardize GMPs and
HACCP training, that FAO has prepared the training package on the Codex Alimentarius General
Principles of Food Hygiene and the application of the HACCP system. In order to harmonize or
standardize the approach to training/Sections 2 and 3 of the training package are formatted around
the Codex Recommended International Code of Practice - General Principles of Food Hygiene and the
Hazard Analysis and Critical Control Point (HACCP) system and guidelines for its application. The
training manual consists of three sections:
Section 1: Principles and methods of training
Section 2: Recommended International Code of Practice - General Principles of Food Hygiene
Section 3: The Hazard Analysis and Critical Control Point (HACCP) system
Each section is composed of training modules; this format allows for the training material to be
combined and customized as appropriate to the specific trainees. Sections and/or modules can be
selected by the instructor as appropriate to the level of knowledge, experience and specific
responsibilities of the trainees in a given course.
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An introductory section for each module outlines the objective, suggested methods of instruction,
teaching aids and/or references, lesson content, presentation suggestions or exercises, anticipated
time frame for instruction and anticipated learning outcome for the trainees.
The FAO training programme is not static; because of its modular approach it is sufficiently flexible
to adapt to the evolution of food safety programmes and requirements. Modules can be added,
deleted or amended as appropriate to remain current and to provide the appropriate training
materials.
Content and material have been selected and structured to ensure that the training package
provides essential information in a standardized, logical and systematic manner while adhering to
effective teaching and learning strategies. The package is intended to standardize the training
approach and to reduce the research and preparation time normally required by an instructor
offering comprehensive courses of this nature. It should be noted, however, that the contribution of
the individual instructor is essential to the success of the training. The instructor may add material as
appropriate to the specific training. The instructor's personal experiences, elaboration and
discussion of key points, anecdotes, review and questioning opportunities and involvement of the
students are the means by which the material will be communicated, absorbed, enjoyed and
understood.
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Section 1 - PRINCIPLES AND METHODS OF TRAINING
Introduction
Module 1 - Principles of effective communication - "Getting the message across"
Module 6 - Types of training aids - How to make and use them
Module 9 - Testing trainee trainers - Individual presentations
Introduction
The objective of Section 1 is to address the basic elements necessary for the effective preparation,
implementation and evaluation of training, with the aim of that training being "to get the message
across".
To achieve that objective, the modules that follow are intended to provide guidance to trainers in
the skills of conveying their message successfully and transferring related information.
Training is essentially the instructing of others in information new to them and its application. It
may, and often does, involve the teaching of new skills, methods and procedures.
Very few people are born trainers, and most of those who wish to be trainers require training. Even
those few who are born trainers benefit from training, and their effectiveness is enhanced as a
result.
The most important element in a training situation is the trainer. The trainer who is enthusiastic,
energetic and genuinely interested in both the subject and getting his or her message across will
evoke the greatest response from the trainees. The trainer who lacks interest in training, who has
little or no enthusiasm for the subject of the training and who merely goes through the motions of
training is a failure. Such a trainer wastes not only his or her own time but also that of the trainees.
The inept trainer is quickly identified by the trainees, who react with inattention, lassitude,
undisciplined behaviour and absence from training sessions.
Successful training - that which produces the desired result - lies almost entirely in the hands of the
trainer. In the trainer's hands lies the heavy responsibility for ensuring that the trainees achieve the
maximum possible from the training.
A measure of the success of training is the relationship that develops between trainer and trainees.
In a sound, productive training situation there is mutual respect and trust between them, with the
trainer taking care to ensure that even the weakest trainee performs to the highest possible level,
and the trainees feeling a desire within themselves to achieve. In this situation the trainer is the
motivator and the trainees are the motivated.
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It is intended that the modules that follow will be of assistance to those wishing to train and those
already training.
The modules have been arranged as follows:
Module 1: Principles of effective communication - "Getting the message across"

Module 2: Effective oral communication
Module 3: Why train? The trainer's role and responsibility
Module 4: Methods of training - The right method
Module 5: The art of questioning
Module 6: Types of training aids - How to make and use them
Module 7: Planning and delivering a presentation
Module 8: Evaluating training
Module 9: Testing trainee trainers - Individual presentations
Module 10: Organizing and managing a training course
The above arrangement is systematic. Modules 1 and 2 deal with training theory. Module 3 is
transitional in that it links the theory with the applied training methods covered by Modules 4 to 7.
Modules 8 and 9 cover the important aspect of measuring and assessing the effectiveness of the
training and the trainer. Module 10 is related to the management of training or, in other words,
creating a favourable environment in which to train.
It is important that all members of a training team be familiar with the principles espoused in the
training modules. This ensures that every presentation in a training course embodies the principles
and in itself is a demonstration of the application of those principles: the trainees are not only told
how to train, but see how it should be done.
It is stressed that the modules are not intended to constitute a textbook on training. Essentially,
their contents are intended as memory joggers for those trained to train others. For this reason, and
depending on the nature of the subject, some material is presented in point form while other
material is covered by full text.
The training segment of this programme provides only the supports of training theory and practice.
This places a heavier than normal responsibility on the trainer, who must in the span of ten hours
make the deepest possible impression on the trainees if they are to be turned out as proficient
trainers. This means not only that the trainer must be familiar with and skilled in presenting the
training information and related methods, but that he or she must be at least familiar with many
other aspects of training not covered by the modules, for example, motivation theory, the art of
public speaking, conducting discussions, course planning, written communication and so on. A
knowledge of these subjects enables the trainer to weave appropriate strands from them into the
presentations of the modules, thus broadening the trainees' experience. There are many excellent
texts on training as well as training manuals produced by training units in government ministries and
departments, private companies and other organizations. Dedicated trainers make it an essential
part of their continuing education as professionals to locate such publications in libraries or
elsewhere, and by so doing keep abreast of theory and practice.
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Module 1 - Principles of effective communication - "Getting
the message across"
Objective
To familiarize the participants with the elementary principles of successful oral communication of
information and to heighten awareness of the factors that interfere with communication and reduce
its effectiveness
Suggested method of instruction
Lecture/discussion with maximum trainee participation through questioning and relating of

personal experience
Aids
Overhead transparencies
Handouts
Time frame
One hour lecture/discussion
Content
Effective communication
Interference
Ways of avoiding interference
Presentation suggestions
The foregoing module is easily adapted to discussion. The trainer should attempt to elicit from the
trainees their experiences with transmission, interference and ways of avoiding interference, which
are well within the purview of trainee experience.
Trainees should be asked to tell the course participants about good communicators and poor
communicators they have known, describing why they are memorable. The reasons they give should
be related to the types of interference and ways in which interference was or could have been
avoided.
Such a discussion invariably brings out other indirectly related aspects of spoken communication
which provide points of reference when subjects in later modules are being dealt with.
Learning outcome
Participants should be aware of effective communication principles.
EFFECTIVE COMMUNICATION
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Communication specialists compare the way people communicate to the way a radio transmission
takes place. That is to say:
Transmitter (Speaker/writer) Message Receiver (Listener/reader)
Three types of transmission are identified:
Spoken
Written
Gesture/sometimes referred to as "body language"
Transmission is in code:
Spoken language
Written language
Gestures
In spoken language the unit of code is the word, heavily supported by gestures. Some
communication specialists believe that at least 40 percent of the full meaning of messages
transmitted by speech is conveyed by body language (gestures). In written language the units of
code are words and symbols (e.g. figures, punctuation). In the remainder of this module and the
modules that follow reference to communication is to spoken communication only and assumes the
transmitter can be seen by the receiver.
Successful communication depends on the message being received by the receiver intact and interpreted by
the receiver to have the same meaning as when transmitted
INTERFERENCE
Frequently the message suffers from interference. That is, something interferes with the message
between its transmission and reception and distorts it. The following are some types of interference.
Weak transmission
Speaking too softly

Speaking in a flat voice (monotone) without inflection
Not speaking in a direct line with the receiver
Insufficient volume of transmission to prevail over competing transmissions and localized noise
(static)
Garbled transmission
The transmitter (speaker) often scrambles the contents of the message so that the facts it contains
are not in logical order and often appear unrelated.
Wrong language
The transmitter may use words, terms and expressions unknown to the receiver.
Pitching message at the wrong level
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The speaker may transmit information in a context beyond the experience of the receiver (this may
involve the use of wrong language). This is sometimes called "transmitting or talking over the
receiver's head". Examples are teaching food control procedures or HACCP to people who have no
experience in food safety or food processing, or transmitting detailed and profound scientific
messages to a receiver without a scientific background.
Receiver not receiving
Receiver turned off (gone to sleep!)

Tuned into another transmitter
Transmission too weak
Strength of receiver diminished (lack of interest - boredom)
Receiver distracted by a competing focus of interest (an attractive person walks by)
Receiver fatigued
Competing transmissions
The receiver may be unable to select between transmissions (too many people talking at once).
Overloading the message
The receiver does not possess the capacity to retain all of the information contained in the message.
This frequently leads to receiver confusion/fatigue and anxiety.
WAYS OF AVOIDING INTERFERENCE
Speak up and out

Speak slowly and deliberately
Use language that the receiver understands
Do not talk over the receiver's head
Ensure you have the attention of the receiver
Only transmit your message in suitable surroundings where there is no, or little, competition
Make the message succinct (as few words as possible) and transmit it in the simplest terms
Plan the message in logical order
As a trainer it is essential that you get your message across-otherwise your effort to train will be wasted
SUMMARY
To be a successful communicator
Use your voice effectively

Know your subject
Know what you want to say
Prepare your message carefully
Arrange your points logically
Display interest and enthusiasm
Sound convincing and sincere
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Objective
To assist the trainee-trainers to identify and become acquainted with the essential elements of
getting the message across and becoming an effective oral communicator
Lecture/discussion with maximum trainee participation through questioning

An exercise in impromptu speaking to an audience
Aids
Handouts
Time frame

One hour of approximately three-minute impromptu speeches (time depends on the number of
participants)
Content
The importance of being an effective oral communicator

Essential elements in transmitting a message
Communication hazards
Presentation suggestions
The trainer should put much effort into preparing for presentation of this module.
The presentation should commence with a discussion based on a series of questions carefully
devised by the trainer, for example:
What makes a good communicator? (This question is a link to Module 1 and offers the opportunity
for a few minutes revision of the previous module).
What are the essential characteristics of effective oral communication?
It is important that the trainees identify the characteristics and convert them to elements by
themselves. As each is identified it could be discussed in detail.
The trainer can project transparencies showing the elements to reinforce them in the minds of
trainees, but only after they have been identified by the trainees.
Exercise
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Each trainee is required to give a three- to four-minute impromptu talk. The following are examples
of possible subjects:
My reasons for attending the course

The aspect of my work I enjoy the most
Why I think HACCP (or food control) is important
In giving this talk the trainee will be expected to take into account the essential elements in
transmitting a message.
A handout sheet may be helpful to assist the trainees with their short presentations. The following is
an example:
Describe your work.

Why is it important to you?
Which aspect of your work do you enjoy the most?
Which aspect do you dislike the most?
What do you think you are best at?
What aspect of your work would you like to know more about?
If you had a choice, which aspect of "Quality control" would you like to specialize in and why?
Learning outcome
The participants should be familiar with the essential elements of effective oral communication.
THE IMPORTANCE OF BEING AN EFFECTIVE ORAL COMMUNICATOR
As a trainer much of your effectiveness is measured by your ability to speak with clarity and
conviction in getting your messages across.
Men and women in training positions are expected to be highly competent at presenting ideas,
giving directions and explaining procedures. In fact, this quality of being an effective communicator
is generally considered to be an essential element of the effective trainer's skills.
The information you communicate as a trainer is often critical to the people you train and to the
workings of the organization as a whole. The way you explain procedures or give directions can
make the difference between an employee being productive or frustrated. Sometimes clear
information from you can make the difference between people doing a job safely or unsafely,
working efficiently or inefficiently or doing things correctly or incorrectly.
How you present even an obviously brilliant idea can make the difference between whether or not
anyone listens to you. The way in which you interpret and transmit information about agency
policies, goals, values and procedures has significant influence on the way your staff or subordinates
develop their perceptions and their commitments to the organization.
Communicating clearly - "getting your message across" - is not an inherited ability; people are not
born with it. It is a learned skill developed through planning and practice.
ESSENTIAL ELEMENTS IN TRANSMITTING A MESSAGE
State the purpose and main point of your message
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This encourages receivers (listeners) to focus on your information and be more receptive. They will
not be distracted by trying to guess what your point is, but will be mentally prepared to follow along
as you develop your discussion.
Stating your main point right away captures your listeners' attention and helps them remember the
most important part of your message.
Introductory phrases like the following help to make your purpose clear at the start.
My purpose in speaking to you is...

It is important that I discuss with you...
The subject of what I have to say to you is...
As a result of new policies adopted by the organization you should know...
After the main point has been made, it can be highlighted with expressions like:
Now, what this means in effect is...

Put in another way, this means...
You can expect that what will happen next will be...
My main concern about this proposal is...
The point that I wish to emphasize is...
Strengthen your main point with supporting points
Your explanations, instructions or ideas are more compelling when supported by clear facts and
observations. Your objective is to gain respect and belief from your listeners and for them to gain
insight into the details of the message you are communicating. The following guidelines will make
the transmission of your message effective.
Use simple language. Avoid technical jargon unless you are sure that everyone understands it.
Keep your explanation short so you do not risk boring people. Do not swamp them with
unnecessary detail (which is called "overloading").
Choose reasoning that is natural and familiar to your listeners and your topic.
Make your explanations as colourful as possible, using examples to illustrate your point.
List all your supporting points first; then return to each point and fill in the details.
Use visual aids, where possible, to illustrate your points.
Check to see whether you got your message across
You must find out whether you got your message across. Checking this may also introduce you to
views of your listeners that were not apparent to you, or reveal misunderstandings that need to be
quickly corrected. In addition, checking often helps listeners feel involved: they are being consulted.
Their responses might uncover some problems not earlier apparent to you. The best way of checking
is by questions. For example:
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Would somebody like to restate the steps of the new procedure?
What do you think about...?
What effect do you think the new arrangement will have?
Is there anyone who disagrees with what is being proposed?
Which of the points I have made do you think is the most important?
Respond to reactions to what you have presented
It is important that your trainees see you as somebody who is honest with them. A good part of this
quality of openness is reflected in the way you respond to people when they question your
statements, instructions or opinions.
Listeners question speakers because they have not received (not understood) the message, or
because it is unclear, or because the details are vague. Generally, they are not challenging the
speaker as a person; they are simply seeking clarification.
In answering questions, make sure you understand the question. If you do not understand the
question, ask the questioner to repeat it. If you still do not understand it, start questioning the
questioner. For example:
Do you mean...?
I understand that you are asking me...
I am not sure that I understand you, but I think you are saying...
Sometimes you may understand the question or statement but feel that other listeners are having
trouble with it. In such cases put the question or statement into your own words and restate it,
ensuring that your restatement is correct by asking for confirmation from the person who has
proposed the question or statement.
Never, never make fun of a questioner who has completely missed your message. Make light of the
misunderstanding, and repeat the message to help him or her understand. You might introduce your
statement as follows:
I think there is a misunderstanding here. Let me repeat my main point again.

This is a very complicated matter and difficult to understand fully. Let me repeat the main points.
Summarize your main point(s)
Your listeners will probably not be able to remember everything you have said, especially if you have
presented several ideas. A short, simple restatement of the essential message(s) helps the listeners
to remember and respond.
COMMUNICATION HAZARDS
Nervousness, forgetfulness and losing track
At one time or another all trainers (transmitters) experience these problems. Two ways to prevent
these difficulties are:
Use notes
Rehearse the presentation of your message
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Speakers familiar with their message seldom, if ever, suffer from severe interference.
Letting the audience get to you - becoming defensive
Do not get defensive when a trainee asks a question or makes a statement that is or appears to be a
criticism of or an attack on you. As a trainer and communicator you must retain your objectivity. To
become defensive and subjective quickly signals to the listeners that you are not sure of yourself or
your facts, and they may assume that what you are saying is unreliable. This can lead to loss of your
credibility.
Criticism of your presentation
Look upon critical statements or questions as a form of feedback. The information in them can tell
you whether you are on the right track. However difficult it might be, handle yourself pleasantly and
diplomatically, using responses such as:
I'm glad you brought that up. It's an interesting question.

Perhaps you could explain that a little more before we have a look at it.
I can understand how you feel about the matter, but try and look at it this way.
I understand your concerns. Let's try to come up with some alternatives.
I can see that the matter is of great concern to you. Let's discuss it personally at the coffee break.
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Objective
To introduce the participants to the basic principles of training in the simplest possible way and to
establish fully the responsibility of the trainer
Lecture/discussion
An exercise in identifying the role of each of the senses in learning
An exercise in planning a skill training session
Aids
Handouts
Time frame
Content
The process of learning

Factors that hinder learning
Obtaining and holding the learners' attention
Facilitating understanding
Steps in skill training
Approach
This module is important because it is essentially the introduction to the training modules that
follow.
Discussion should play a major part in the presentation. Because of their life-experiences the
trainees will be familiar with learning, even though they may never have analysed the process.
Therefore the major task of the trainer is to plan a sequence of questions that will lead the trainees
to an identification of the elements and steps in the learning process and the factors that hamper
learning. Trainees should be encouraged to recall the good trainers and teachers they have known
and to identify the skills that made their training and teaching memorable.
The material in the lecture and overhead transparencies is in point form and requires explanation by
the trainer.
Exercises
Ask the participants to give a demonstration of a skill related to an industry or food control
operation with which they are associated. Have the participants set down in logical order the steps
in which they would present the demonstration.
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List ways in which each sense may be used by the trainer to make a sufficient impression to get the
message across. For example:
SENSE USE OF THE SENSE APPLICATIONS

Sight Written word Textbooks
etc. Notes
Handouts
Blackboard summaries
etc.
Hearing
Touch
Smell
Taste
Learning outcome
The participants should be aware of and understand the trainer's role and responsibilities.
Why train?
To improve the trainee's knowledge and skill
What is the responsibility of the trainer?

To get the message across - that is, to ensure that the trainees have received and understood the message
Training is not easy

Training is hard work
Some trainers merely go through the motions of training
Some trainers are unsuccessful
THE PROCESS OF LEARNING
The successful trainer possesses insight into the process of learning. The learning process conforms
to the following pattern: external sensations stimulate the sense organs - ears, eyes, body (touch),
nose and tongue - and the nervous system conveys impressions to the relevant sections of the brain.
The brain then transmits impulses to the muscles and organs of movement and speech, and the end
result is a reaction.
Creating an impression
Receiving an impression is the first step in learning. Therefore, the trainer must ensure that the
trainee receives strong impressions. The strength of the impression will depend on:
The number of senses involved

The vividness of the impression
Whether the impression registers
Observing the learners
The only way the trainer can know if people have learned the material is by observing their
behaviour:
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Their actions
Their written impressions
Their speech
FACTORS THAT HINDER LEARNING
The learning plateau: at intervals the rate of learning flattens out as the brain rests
Saturation: if the message is overloaded the receiver rejects the excess and learning stops
Fatigue: a tired receiver is not as receptive as an alert one
Inability to concentrate: the longer the message, the more concentration decreases from
beginning to end
OBTAINING AND HOLDING THE LEARNERS' ATTENTION
Before people can learn any material they must focus their voluntary attention on it. The desire to
learn comes from within; it is spontaneous.
The good trainer tries to gain and maintain voluntary attention in every session he or she presents.
Relate what you aim to teach to those subjects in which you know the trainees are interested.
Introduce the session in such a way that the trainees will not only see and become interested in
this relationship, but will want to learn more about it.
Begin with a good story to which the trainees can relate. An effective trainer makes it his or her
business to know the background of the trainees.
Having done these things, maintain the trainees' attention by doing all that is possible to facilitate
their understanding and absorption of the material.
Ensure that the trainee's learning is an active process in which the trainer and trainees are equal
partners in terms of participation.
FACILITATING UNDERSTANDING
To facilitate understanding, the trainer proceeds from:
Known to unknown
Simple to complex
Whole to part and back to whole
Concrete to abstract
Particular to general
Observations to reasoning
Point to point in logical order
To facilitate absorption, remember that trainees learn only by impressions received through their
senses.
STEPS IN SKILL TRAINING
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Having learned a skill, trainees must reinforce its acquisition by using it. Learning by doing is the
basic principle underlying the acquisition of any skill.
When teaching skills, the trainer most often achieves the best results by keeping the talk short and
by working through a set sequence of discrete steps, as follows:
Show the trainees the actual skill they are to acquire.
Demonstrate and explain, step by step, the operations involved (this requires an analysis of the
total procedure by the trainer).
Have trainees imitate the necessary actions.
Have trainees practise performing the operations.
Devote at least 50 percent of the session to trainee practice time.
SUMMARY
The first rules of training are:
Make the best use of the most effective channels to the brain - the senses: sight, hearing, touch,
taste and smell.
Use a combination of the senses. For knowledge, use the trainees' eyes and ears. For manual skills,
use the trainees' hands, eyes and ears.
Make presentations as vivid as possible.
These are the basic principles of instruction - the means by which the instructor reaches and makes
an impression on the brains of the trainees.
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Objective
To inform participants of the methods of training available to them, with particular attention given
to the lecture, the lecture/discussion, the skill lesson and the on-the-job session
Suggested methods of instruction
Lecture
Discussion
Demonstration
Exercise
Aids
Demonstrations
Handouts
Time frame

One hour of five-minute mini-lectures
Content
The different methods of training

Selecting the right method
The lecture
The lecture/discussion
The skill lesson
On-the-job training (the four-step method of instruction)
Approach
This module lends itself to a lively presentation by the trainer. The trainer must be capable of
demonstrating personally the methods of training selected for special attention. These methods are
believed to be the most appropriate for use in training in food control practices including GMPs and
HACCP. It is acknowledged that case studies also have their use, but considerable time is required in
their preparation.
The trainer should spare no effort to make this module effective. The methods are the tools the
trainees will use when they became trainers. It is essential that the presentation of the module
provide them with a base for effective training, on which the trainees can build by practising to
improve performance.
Exercise
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Ask participants to give a five- to seven-minute mini-lecture on a subject of their own choice that is
related to food quality control. Instruct the participants to prepare a point outline on the subject of
their lecture for use during their presentation.
THE DIFFERENT METHODS OF TRAINING
You have a choice of the following methods to prepare for effective training:
Lecture
Lecture/discussion
Skill lesson
On-the-job training (the four-step method)
There are other methods of training, but their effective use is specific to special training situations
and will not be discussed in this lecture. Some of those methods include:
Role play
Assignment
Case study
Training games
Group exercises
Programmed learning
SELECTING THE RIGHT METHOD
All the resources at your command must be used to make your instruction real and vital for your
trainees. The number and types of training methods you use during any presentation depend on
many factors, and you must therefore have answers to the following questions before you decide
how you will present your material.
What is the ability and level of knowledge of the group?

How many trainees are in the group and why are they there?
How much time do you have to prepare your material?
Can you cover your topic fully in the time available?
What aids do you require?
Do you have the experience to use these aids with confidence?
Are you aware of the limitations of aids?
Your method of presentation will depend on the answers to these questions.
THE LECTURE
Use
When the group is large - say 30 or more

When knowledge or understanding is to be imparted by an expert
When a body of factual information has to be communicated in a short time
When information is not readily available to group members
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Delivery
Essentials of good delivery:
Words must all be clear

Words must be spoken at a suitable pace
Pauses should occur at logical places
Variety should be used: emphasizing important points in a deliberate manner, connecting parts
and using illustrations in a conversational way
Preparation and lecture notes
Preparation is important. The lecturer's notes need to be designed to facilitate efficient delivery.
Distinction is needed between lecture outlines (showing matter only) and lecture notes (showing
method and matter).
Notes may be too brief. The lecturer may then improvise, and he or she may be vague or may forget
important elements. On the other hand, notes may be too extensive. The lecturer will then read
them, and this is undesirable.
Given an outline of the material, prepare the notes by asking these questions:
What is it safe to assume that the listeners know?
What are they likely to find difficult?
Hence, what will require special care or illustration?
What will the illustrations (in detail) be? Can they be misunderstood or misinterpreted?
What demonstrations will be appropriate? Will everyone see clearly? (Demonstrations are used to
illustrate really important points. The more important the point, the more spectacular the
demonstration should be.)
What new terms will be introduced? What unusual names? Mark these in the notes. They will
need to be written on a blackboard, whiteboard, chart or overhead transparency.
What precisely should everyone know at the end of the lecture? (This is really a re-examination of
the outline and a restatement of the important points.)
Structure
Introduction:
Statement of aims
Relation of this lecture to those that came before and are to follow
Establishment of goal (which gives purpose and direction) by linking aims with participant needs
Outline of thoughts that are to be developed
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Body of lecture:
Step-by-step building up of subject matter
Logical development
A few well-developed steps, strongly made (more effective than many steps)
Appropriate use of aids and questions to stimulate student interest and activity
Appropriately spaced summaries of material covered
Conclusion:
Summary of lecture material
Restatement of the relationship of this lecture to others in the series
Reference to additional material that should be read or seen
Setting of any assignments
Disadvantages
Lecturer bombards students with considerable information (saturation may occur)

Participants sit passively without interaction
THE LECTURE/DISCUSSION
Use
When the group is small - say 20 or less

When the members know one another well enough to risk making errors
When the material is of a kind that can be assimilated readily, at least in part, or when there is
some prior knowledge of it
Lecture
Refer to preceding section.
Discussion
The most useful starting point for the discussion is the question. Some uses of questions:
At beginning of lecture: to find out what trainees already know and to discover opinions
During lecture: to find out whether the participants understand and are following the lecture
End of lecture: to recapitulate and test the participants' knowledge and understanding
Desirable features of questions:
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They should be clear
They should be brief
They should lead to some constructive statement rather than to a nod or a grunt
They should stimulate thinking, rather than suggest the answer
Pitfalls
Repeating the answer (Do not repeat. Move on.)
Holding a dialogue with a single answerer (Bring in the group, e.g. "Would anyone like to add to
that?")
Trampling the incorrect answerer
Asking too many questions (Adults do not like to be cross-examined.)
Letting the discussion take too long (Guide it carefully. Remember the objective of your
discussion.)
Structure
Introduction
Body of lecture
Discussion
Conclusion
THE SKILL LESSON
Aims
To teach correct and safe job methods

To develop confidence in job performance
To achieve accuracy and speed
To encourage conscientious effort
Structure
Introduction
Development (body of skill lesson)

Demonstration by trainer (complete)
Demonstration and trainee practice of each stage, in sequence
Practice of demonstrated job skill Conclusion
ON-THE-JOB TRAINING (THE FOUR-STEP METHOD OF INSTRUCTION)
Step 1
Prepare the worker

Put the worker at ease
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State the job and find out what the worker already knows about it
Stimulate the worker's interest in learning the job
Place the worker in the correct position
Step 2
Present the operations

Tell, show and illustrate one important point at a time
Stress each key point
Instruct clearly, completely and patiently, but teach no more than the worker can master
Step 3
Try out the worker's performance

Have the worker do the job, and correct errors
Have the worker explain each key point to you as he or she does the job again
Make sure the worker understands, and continue until you are certain of this
Step 4
Follow up
Put the worker on his or her own
Designate to whom he or she should go for help
Check frequently
Encourage questions
Taper off extra coaching and reduce follow-up
Example of an on-the-job training session: training workers in the correct method of hand washing
Workers in fish processing units must maintain a high degree of personal cleanliness. In order to
educate the workers in better hygienic practices, the correct hand washing method is one of the
topics demonstrated in fish processing units.
The main objective of washing hands is to avoid contaminating the material with organisms from the
hands. Unwashed hands transmit microorganisms. It is therefore essential that hands be washed
thoroughly. The following procedure for washing hands is recommended:
Wet palms and arms, from the elbow down, with fresh water
Apply soap
Work lather on and around fingers, nails and arms from the elbow down
Rinse palms and hands with fresh water
Wipe palms and hands dry using a clean towel
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Objective
To provide guidance to the trainee-trainers on how to ask questions, and to make them aware of the
dos and don'ts of questioning
Lecture/discussion
Discussion
Handouts
Aids
Handouts
Time frame
One hour presentation
Content
Importance of questioning
Types of questions
Purpose of questions
How to ask questions
Preparation of questions
Dos and don'ts of questioning
Questions asked by trainees
Approach
This module is of great importance, as skilful questioning is essential to a trainer's effectiveness.
Learning outcome
The participants should have the knowledge and ability to utilize questioning to support effective
training.
IMPORTANCE OF QUESTIONING
To be effective, trainers must be skilled questioners. Carefully devised questions, skilfully asked, are
the basis of the lecture/discussion method of training, and questions should also feature
prominently in other methods of training. Few people question well, and to do so requires careful
preparation and practice.
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Questioning is one of the essential skills for any good trainer.
Unless you question properly you cannot hope to know how much (if any) of your message is
getting across.
TYPES OF QUESTIONS
Rhetorical
A rhetorical question is a question to which no answer is expected. Examples:
Now that is simple enough, isn't it?

What could be clearer?
Anybody could understand that, don't you agree? Do not overuse this type of question.
Direct
A direct question to a named person can be a useful management device in a class situation.
Example:
Prakash, what detergent would you use for washing fish crates?
Do not overuse direct questions.
Overhead
An overhead question is asked to the whole group, and then a person named to answer.
Example:
What detergent is used for washing fish crates? Prakash, do you know?
Leading
A leading question suggests the answer.
Example:
If chlorine kills microorganisms in water, what is it likely to do to them elsewhere?
Leading questions are of limited use.
PURPOSE OF QUESTIONS
Questions are used for all sorts of purposes in training. Some of the more common purposes are:
Getting trainees to participate

Checking on a trainee's understanding
Attracting a trainee's attention
Testing a trainee's knowledge of the subject
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Breaking the ice and initiating a discussion
Stimulating confidence in shy trainees
Reviewing earlier work
Changing the topic
HOW TO ASK QUESTIONS
Ask the question in a friendly and natural way to the group. Pause, then name one individual to
answer.
Vary tempo with pauses.
Spread questions throughout the group at random.
PREPARATION OF QUESTIONS
Prepare questions before the lesson, but use them flexibly.

Introduce questions with such words as: what, when, explain, compare, how, why, outline,
contrast, define, trace, describe, illustrate.
An effective question
Is simple and direct

Is clear and well expressed in a complete sentence
Contains one main thought
Has only one correct answer;
Requires more than a "yes" or "no" answer
DOS AND DON'TS OF QUESTIONING
Do
State questions clearly, concisely and audibly
Ask in a friendly and natural way
Use questions carefully and time them appropriately - to create interest, lift attention and evaluate
Involve the whole group
Include one main thought in each question
Know the answer
Don't
Interrogate people
Embarrass people
Trick people
Get sidetracked by answers
Ask questions with more than one correct answer
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Answer your own questions
Ask more than one question at a time
Ask questions with a "yes" or "no" answer
QUESTIONS ASKED BY TRAINEES
Genuine
Answer if you can. Do not bluff. If you cannot answer, say so, but indicate that you will try to find out
the answer.
Ulterior
A trainee may be trying to embarrass the trainer or someone in the group. The options are:
Ignore the question

Reply negatively: "Let's leave that. I don't think it's entirely relevant."
Relay the question: "Would somebody in the group like to answer that?"
Reverse to questioner: "What do you think the answer might be?"
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Module 6 - Types of training aids - How to make and use
them
Objective
To introduce participants to training aids and to instruct them in their correct and most effective use
Lecture
Demonstrations
Exercises
Handouts
Time frame

One hour making and showing aids
Content
Why use training aids?

Classification of instructional aids
Selection of aids
Principles to follow in adopting a visual approach
Charts and diagrams
Handouts
The computer pallet
Colour slides
Videos
Exercises
You are to give a training session to workers in a processing plant about one of the following:
- Plant hygiene
- Vermin control
- A processing technique
- Moisture control
- The life cycle of an insect
- Factors adversely affecting quality
- The importance of food control
- The application of HACCP
Prepare a chart that may be used in the session you elect to give, or alternatively, in your
presentation during the conclusion of this course.
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Prepare a single-page handout on a topic of your own selection (perhaps for use as part of your
presentation during the conclusion of the course) and for an audience you designate, e.g. quality
control officers, factory workers, management, export inspectors.
Prepare an overhead transparency on a topic of your choice (perhaps for use as part of your
presentation during the conclusion of the course), keeping in mind the rules of overhead
transparency preparation.
WHY USE TRAINING AIDS?
All learning is through the senses. The more senses are brought into use, the more effective is the
learning; 97 percent of learning is achieved through simultaneous appeal to the eye and ear. It is
because of this that we should make use of audiovisual aids in training.
Effective use of audiovisual aids can be included in any sort of presentation. Charts, slides, videos,
overhead transparencies and films can be used to add interest as well as supplement verbal
explanations.
Proper use of instructional aids saves time, adds interest, helps trainees learn and makes your job
easier. But remember that aids to training are aids only. They are not substitutes for training.
Trainers should use training aids to supplement their training rather than to replace all or part of it.
The trainer who shows a chart or illustration without any explanation, or who shows slides, videos or films
without preparing the trainees to receive them, is guilty of not doing his or her job
CLASSIFICATION OF INSTRUCTIONAL AIDS
Projective
Motion pictures
Videos
Colour slides
Overhead projector transparencies
Computer pallet
Non-projective
Chalkboard
Whiteboard
Charts and diagrams
Models
Exhibits
Handouts
Tape recorder
SELECTION OF AIDS
In selecting aids, take into account the following:
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Practicability
Attractiveness and interest; vividness
Suitability
Complexity
Clarity
Portability
Serviceability
Availability
Location
Preparation and presentation
Time factor
PRINCIPLES TO FOLLOW IN ADOPTING A VISUAL APPROACH
Anything that can be quantified or is factual can be presented visually
Obtain and select the necessary data; confusing data and confusing information will result in
confusing visuals
Know clearly what you want to say in your visuals; write it down
Plan your visuals; know what you want to include (Sketch an outline of ideas you think will work.)
Try the visuals out on others before you use them
Tips to ensure the trainees do not go to sleep during presentation of your visuals
Make your visuals visible

Ensure that the trainees can see them
Use colour for headings
Take care with drawings; they can be misinterpreted
Make them simple; eliminate details
Ensure the key feature occupies a prominent part of the screen or display
Minimize reflection
Show all the key points (oral presentation includes everything necessary to sell the key points
through the ears; visual presentation includes everything necessary to sell the key points through
the eyes)
Whatever instructional aid(s) you choose to use as a trainer, it is important to remember
practise....practise....practise
Preparation
Plan carefully the use of instructional aids

Make sure that the aids can be seen clearly from all areas of the room
If you write, write clearly
Use colour for emphasis
CHARTS AND DIAGRAMS
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These fall in two main categories:
Bold and simple
These are for use during a training session. They should:
Be large enough to be seen by all

Not necessarily be self-explanatory
Be functionally coloured
Include only the essentials
Detailed
These are for close study at leisure. They should:
Be more or less self-explanatory

Be of medium or small size
Be suitable for semi-permanent display
Be artistically produced
HANDOUTS
Handouts are specially prepared sheets and notes. They are used:
For reference purposes during the session or course

To substitute for note taking
To retain as a permanent record for reference after the course
A handout can:
Introduce a topic
Provide revision
Provoke discussion
Handouts should:
Be brief and sharp/containing only essential details

Be accurate and complete
Be designed clearly and attractively, with good use of white space
Include diagrams if appropriate
Always have a title
Be planned
Be of a standard size
Be presented in a logical sequence
Be pitched at a level appropriate to the audience
Why use handouts?
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They carry the stamp of authority
They provide a record of important information
They supply data to reflect the presentation
They can provide background documentation (longer and more comprehensive)
They can be studied at the reader's own pace
They convey with certainty the same data to a number of people
They appeal to the sense of sight
When should handouts be distributed?
Before the presentation

During the presentation
At the end
OVERHEAD TRANSPARENCIES
The overhead projector is one of the most useful training aids. It can replace the need for
chalkboards, whiteboards and charts. The overhead projector can be used for presentation to a
group of any size.
All material for use on an overhead projector needs to be reproduced on to transparencies using
either special pens or printers with either non-permanent or permanent ink (the latter if the trainer
wants to keep and reuse the transparencies). It is also possible to make either black and white or
colour transparencies using a specially designed photocopier. Computer-generated transparencies
can be excellent.
Design of overhead transparencies
Keep them simple

Include only essentials
Make sure lettering is of sufficient height (>5 mm)
Use colour on colourless film or contrasting colours on coloured film
Do not clutter (no more than seven principle points to a transparency)
Illustrations can be useful
Using the overhead projector
Make sure the projector is placed so that all can see

Focus correctly
Use masking technique: cover part of the transparency so only the material you are discussing is
shown
The overhead projector is probably the most flexible of the aids available to the trainer. Used
correctly, it will enhance trainee learning by making presentations more interesting and explanations
clearer.
THE COMPUTER PALLET
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The computer pallet is a device that replaces the computer screen. It is placed on top of an overhead
projector, allowing the instructor to project material that has been prepared and stored on a
computer disk.
The same basic principles that apply to the design of overhead transparencies also apply to the
preparation of material on a computer for use on a computer pallet. The benefits of using a
computer pallet include flexibility and the ability to amend material easily. Particular computer
programs, if available to the instructor, can provide a large selection of graphic materials and
presentation packages.
At present this technology is not widely available. An instructor who wishes to utilize a computer
pallet should be trained and familiar with its use.
COLOUR SLIDES
Main features
Slides are relatively inexpensive to procure

They are easily used
They facilitate study of a topic one step at a time
All trainees get the same clear view
Each frame can be studied and discussed at leisure during the screening
They can be used in conjunction with a tape-recorder (tape/slide sequence)
How to use slides effectively
Do not treat as entertainment

Select slides that are relevant
Plan your presentation
Include an introduction and conclusion
Do not prolong the presentation
Ensure the equipment is sound and well set up before the presentation
VIDEOS
Make sure videos are directly related to the subject; do not use them merely for entertainment or
to give yourself a rest
Make sure all trainees can see the monitor
The video should be introduced; trainees should be told what it is about and what they should look
for
Review the video in a discussion after screening
SUMMARY: RECOMMENDATIONS FOR AN EFFECTIVE PRESENTATION
Always:
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Allow ample time for preparation: sufficient time to plan and construct and sufficient time to
rehearse
Make a file copy of your visuals
Check on your worst seats, those on the extreme right and left
Mount screen high enough for all to see
Remove competing attractions; competition will reduce impact of your visuals
Check all arrangements before you go on, even if it means going without your breakfast, lunch or
dinner; make sure you have done everything possible for a smooth presentation
Maintain constant contact with your audience; know your visuals well enough that you do not
have to break your commentary to check points
Time your visuals to coincide with your comments; mistiming is distracting
Make your presentation straightforward; be sincere and win the confidence of your audience
Keep your visuals moving; parallel the flow of your words with the flow of visuals
Use only the required number of words; avoid excessive wordage
Use only well-trained assistants who know the visuals as well as you do
Keep your visuals; they may be needed again
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Objective
To guide and advise participants in the skill of planning a presentation and delivering it
Lecture/discussion
Aids
Handouts
Time frame
Content
Importance of planning
Steps in planning a presentation
Delivering a presentation
Learning outcome
Participants should be aware of the importance and methods of effective presentation planning and
delivery.
IMPORTANCE OF PLANNING
Every presentation in a training programme should be planned. The trainers who do not plan their
presentations are not doing their job properly Unless the trainer is particularly gifted, it is most
unlikely that the presentation will be successful and effective if it is unplanned. All effective trainers
plan their presentations. They know precisely how the presentation will flow before they begin. The
trainer who does not plan presentations is attracting trouble. Trainees are quick to sense a lack of
planning, and their response will reflect their disdain for the trainer.
The most important part of the presentation is preparation

The first step in preparation is to have a plan
Take a sheet of paper and commence planning
STEPS IN PLANNING A PRESENTATION
Determine what the trainees need to learn
Examples:
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How to achieve a high level of personnel and plant hygiene
How to peel a prawn correctly
How to use a thermometer
How to disinfest cashews correctly
How to apply HACCP
How to establish export/import food control
State objective
Select the objective to be reached in satisfying the trainees' needs. Select it on the basis of what you
expect the trainees will know or be able to do at the end of the training session. Consider:
Time available in which to conduct the session

Facilities available
Prior knowledge and abilities of the trainees
Relationship to the needs of the trainees
Are you concerned with knowledge, skills or attitudes?
Choose an appropriate training method
Appropriate to objective: is the objective to solve problems? to change attitudes? to teach skills?
Appropriate to the trainee
Appropriate to you, the trainer
Appropriate administratively
Organize your material
Decide on what the trainees must know

Decide on what the trainees should know
Decide on what the trainees could know
Select key ideas
Arrange (sequence) key ideas in logical order, e.g. known to unknown, simple to complex, concrete
to abstract
Write the session plan
Needs
Objectives
Method of training
Organization of material: introduction, body, conclusion (keeping in mind time, questions,

subheadings, details)
Aids to be used
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Questions to be asked
Prepare and check aids
Overhead transparencies, chalkboard plan, prepared charts, film, slides, tapes

Check readability sequence, volume levels, suitability
Handouts: notes, supplements
Presentation checks
Check session plan, particularly timing and trainee activities

Check equipment, aids, ventilation, seating and lighting
Evaluation
Obtain feedback on students' learning during the session; use test questions
Self-evaluation (How can I improve the session?)
Write down on the session plan any comments for future reference before you forget them
Presentation planning checklist
Use the above outline as a checklist to be sure you follow all the necessary steps.
Use a plan - you will be more confident and training will be more effective
DELIVERING A PRESENTATION
Remember that the trainer's job is to help the trainee learn and remember. This is hard work. The
trainer must be fully committed to the job. Trainees quickly sense whether a trainer is positive about
what he or she is doing or is simply going through the motions. The trainer must motivate the
trainees and spark their desire to learn new ideas and skills.
How is this done through delivery? The personal variations in manner and style employed by trainers
are important in that they make instruction animated and interesting. Good delivery requires
practice!
Influence attitudes through your manner
Project enthusiasm regarding the training - through use of voice (modulation), body language
(gesticulation) and eye contact
Be confident and positive (this comes from sound session planning and preparation and from
sound knowledge of what you are doing)
Be firm
Be energetic and lively - do not stay glued to one spot, move around the trainees (but don't overdo
it)
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Introduce humour, if you can do so effectively (forced humour may be counterproductive, and too
much humour may be damaging)
Be pleasant, relaxed, and sympathetic to trainees; do not talk down to them
Involve trainees in the training process, taking them into your confidence
Desirable qualities of speech
Clear
Pleasant
Fluent
Varied
Coordinated with gesture
Set an example
Convey a sense of the importance of the subject

Take the subject seriously
Avoid
Distracting mannerisms
Not giving your best at every presentation
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Objective
To introduce participants to both the need and methods for measuring the effectiveness of their and
others' training, as well as evaluating their own personal performance as trainers
Lecture/discussion
Aids
Handouts
Model course evaluation questionnaires
Time frame
Content
The need for evaluation

Guidelines for course evaluation
Course evaluation questionnaires
Trainer self-assessment questionnaire for use before the session
Trainer self-assessment questionnaire for use after the session
Learning outcome
The participants should be aware of the importance of evaluation in training and of methods that
can be used to evaluate the effectiveness of training.
THE NEED FOR EVALUATION
It is not good enough for a trainer to feel self-satisfied with his or her training performance without
evaluating it. All effective trainers not only evaluate or measure the degree of success of their
course, they also evaluate their personal performance at the conclusion of each session or at least at
the end of each training day.
Neglecting to make any attempt at evaluation reflects disinterest and lack of professionalism and is
symptomatic of a non-caring attitude. Evaluation is a must; it is an integral part of effective training.
Purpose
To improve training by discovering which training processes are successful in achieving their
objectives (to "sort out the good from the bad")
Evaluation affects learning
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If we set examinations at the end of a course we affect the nature of learning
If we study trainees' job behaviour after a course we have generally changed their job behaviour
Since testing affects learning we can use it as a training aid
Two aspects of evaluation
Course evaluation
Trainer evaluation (self-evaluation)
GUIDELINES FOR COURSE EVALUATION
Break evaluation into clear, achievable steps:
Evaluating reaction
How well did the trainees enjoy the session(s)/course?
Find out how well the trainees liked a particular training session or sessions or the course as a
whole
Does not include measurement of learning
Evaluating learning
What principles, facts and techniques were learned?
Written test questions, oral test questions, skill tests

Avoid questions like "Have you learned anything?"
Evaluating behaviour
What changes in job behaviour resulted from the training?
Best evaluated through appraisal by on-the-job supervisors

Remember: good trainers have on-the-job experience; they know the best way of doing things
Evaluating results
What were the tangible results of the training in terms of improved job performance?
Some types of training results are easily measured (e.g. typing)

Others are not easily measured (where management and attitudes are involved)
COURSE EVALUATION QUESTIONNAIRES
Determine what you want to find out

Use a written comment sheet covering the steps above
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Obtain honest reactions by making the form anonymous
Allow trainees to write additional comments not covered by questions
Two model course evaluation questionnaires are included at the end of this module. Model 1 is
intended for evaluation of a complete training course. Model 2 can be used to evaluate either a
specific training session or module or the overall training course.
TRAINER SELF-ASSESSMENT QUESTIONNAIRE FOR USE BEFORE THE SESSION
Preparation
Do the notes show clearly the limited, definite scope of this training session?
Is my session planned to enable my specific purpose to be fully accomplished?
Have I allowed for an adequate introduction; a presentation with participant activity; and a
recapitulation which will clinch the chief points?
Have I arranged for all necessary equipment/materials and teaching aids?
Introduction
Will this step excite the interest of the trainees from the start - is it original or linked strongly with
an emotion-stirring activity, or some matter of topical or personal interest?
Will it pave the way for what is to follow so that the presentation will not discourage or bore by
excessive difficulty?
Will it provoke curiosity and interest for what is to come, generating a need which will be satisfied?
Does it provide adequate revision of what has gone before?
Body
Is the instruction broken up into steps of reasonable length?
Will each step offer maximum trainee participation and activity?
Will each step win trainee interest and attention?
Will each step offer some way of evaluating the trainees' comprehension before the next step is
undertaken?
If there is a written exercise to be done, have I something useful ready to occupy the quicker
trainees so that slower ones may finish comfortably?
Is there adequate provision for holding the interest of the strongest trainees and giving them
worthwhile activity?
Have I allowed for a period of relief for trainees and myself after a period of intense concentrated
work?
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Conclusion
Will this step adequately recall and test the vital points of the session?
Have I timed my session so that there is time for this important step?
Chalkboard summary
Will my chalkboard or whiteboard summary show what I expect to appear on the chalkboard at
the end of the session?
Is the arrangement (use of colour, diagrams, etc.) attractive?
Have I thought out ways of obtaining the maximum help from the chalkboard with a minimum loss
of contact with my group during the session?
Are there any parts of the chalkboard that I should not use because they are not clearly visible
because of poor lighting, shining sun, etc.?
How will arrangement of any other visual aids fit in with my use of the chalkboard?
General
Are there any other aids that will assist me?
What rabbits have I ready to pull out of a hat if interest flags?
Have I taken into consideration the intellectual level of the group, the time of day the session will
take place and interruptions?
Have I thought out how this session will fit into the general syllabus for the group?
Am I sure of the correct pronunciation of unusual words that I will be using during the lesson?
Am I sure of my subject-matter and of the correctness of the questions I intend to use?
Am I sufficiently familiar with my questions and steps to be able to carry on the session at
maximum effective speed without allowing the thin edge of the wedge of inattention to be inserted?
TRAINER SELF-ASSESSMENT QUESTIONNAIRE FOR USE AFTER THE SESSION
Voice
Was my voice clearly audible in all parts of room?

Was it restrained enough not to irritate trainees or disturb other session leaders?
Did I vary the speed, pitch, volume and tone so as to give maximum interest to whatever I said?
Manner
Was my manner reasonable, brisk and alert?

Did I sincerely convey a sense of earnestness and enthusiasm for what I was instructing?
Was my manner reasonably pleasant and general without being affectedly so?
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Group management
Did I get off to a clean brisk start, stimulating the group from the beginning?
Did I stand in such a position that I could be seen and heard by all trainees?
Did I keep all trainees under my eye and control whenever necessary?
Did I take steps to see that no trainee disturbed the work of the group or failed to take adequate
part in the session?
Did I see that at the beginning of the lesson the floor and chalkboards were clean, the desks in
order, the windows open and the class settled and ready?
Did I have the trainees pulling with or against me?
Did I refuse to be sidetracked?
Questioning
Were my questions audible to all trainees?
Were most questions easy enough for all trainees to be able to attempt an answer?
Were there some particularly stimulating questions?
Where the response to a question was unsatisfactory, did I take measures to improve the response
(e.g. reframing the question) rather than waste a good question by immediately giving an answer?
Did my questions follow rapidly without hesitation and uncertainty?
Did I insist on answers being given loudly and clearly?
Did I refrain from unnecessarily repeating answers?
Did I distribute questions widely, encouraging weak trainees?
General
Did I cover the steps of my session adequately?

Was my recapitulation or other final step unhurried?
Did I maintain my aim throughout the session?
Did I keep as far as possible to the plan of my lesson?
Did my trainees and I enjoy the session?
What did the trainees gain from this session?
What have I learned by leading this session?
Model 1 - COURSE EVALUATION/REACTION QUESTIONNAIRE
To assist in the planning of future courses it would be of great value if you would complete the
sections that follow. Please be frank with your responses. Remember, only your honest reactions will
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enable adjustments and improvements to be made. The questions asked may not cover all of the
aspects about which you wish to comment. For that reason a space headed "General comments" has
been provided, and it is hoped that you will use it if appropriate.
Conditions
Were you comfortable?

What improvements, if any, do you suggest for the accommodation of future courses?
Were the seating arrangements satisfactory?
Could you see and hear satisfactorily?
Were the morning and afternoon sessions well balanced?
Course content
Were the subjects covered the ones you expected would be?
Were there any surprises? Why?
Was the coverage sufficiently wide? If not, what subjects would you have liked included?
Was each subject covered in sufficient depth? Name any that you think were not.
Was the course sufficiently practical in the sense that you will be able to apply knowledge and skills
taught?
Did the subjects sustain your interest?
What additional subjects would you suggest for future courses?
What subjects would you omit from future courses?
Presentation
Were all sessions presented in a clear and interesting way?

Were there any sessions that left you confused or uncertain? Please specify.
Do you think trainers could have done more to improve their presentations? If so, what?
Were the lengths of sessions satisfactory?
Did the aids used help sustain your interest and understanding? Name any particular aid that
impressed you.
General comments
__________________________________________
__________________________________________
You are not required to identify yourself on this form unless you desire to do so.
Model 2 - TRAINING MODULE OR COURSE EVALUATION
Instructions
You have just completed the training. Now we would like you to tell us about your feelings on what
has just been presented. This information is valuable in helping us make following training sessions
more interesting and useful to you. Below you will find a number of questions dealing with the just
completed training session. Most questions can be answered by circling a number on the scale to the
right of the question. Where a written response is required, please write your reply clearly in the
space provided. Please consider your responses carefully and answer truthfully. Everything you say
will be held in strictest confidence. The information will be used only to help us make this training
activity more responsive to your needs.
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Topic discussed:_____________________
I. Content
1. Relevance of the topic to your job Not relevant Relevant

1 2 3 4 5
2. Clarity of the module's objectives Not clear Very clear
1 2 3 4 5
3. Level of instruction Too basic Too advanced
1 2 3 4 5
4. Lecture coverage Inadequate Very comprehensive
1 2 3 4 5
5. Time allotment Too short Too long
1 2 3 4 5
6. Emphasis on details Too brief Too detailed
1 2 3 4 5
7. Organization and direction Disorganized Well organized
1 2 3 4 5
8. Treatment of the topic Abstract Practical
1 2 3 4 5
9. Additional comments you may have on these or other aspects of the content of this training
module/session
__________________________________
__________________________________
II. Training aids and handouts
1. Effectiveness of teaching aids Not effective Very effective

1 2 3 4 5
2. Readability of Not readable Very readable
____________________* 1 2 3 4 5
3. Clarity of message of Not clear Very clear
____________________* 1 2 3 4 5
4. Appeal of Not appealing Very appealing
____________________* 1 2 3 4 5
5. Usefulness of Not useful Useful
____________________* 1 2 3 4 5
* Here you would insert the names of instructional aids used: handouts, slides, videos, overhead
transparencies, etc.
6. Additional remarks you may have on these or other aspects of the teaching methods, aids, and
handouts used in the training session
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_________________________
_________________________
Instructor effectiveness
1. Mastery of the subject Not knowledgeable Knowledgeable

1 2 3 4 5
2. Ability to transfer/communicate information and knowledge effectively Very poor Excellent
1 2 3 4 5
3. Ability to arouse and sustain interest Very poor Excellent
1 2 3 4 5
4. Openness to ideas of trainees Not receptive Receptive
1 2 3 4 5
5. Encouragement of trainee participation Did not encourage Encouraged
1 2 3 4 5
6. Time management Very poor Excellent
1 2 3 4 5
7. Speed in talking Too slow Too fast
1 2 3 4 5
8. Clarity of speech Not clear Clear
1 2 3 4 5
9. Additional remarks on these or other aspects of the instructor's effectiveness
_________________________
_________________________
IV. General
1. Please state the three most important ideas or concepts that you have learned from this session
_________________________
_________________________
2. Suggestion(s) to improve the session
_________________________
_________________________
V. Training logistics/administration
1. Quality of the meals Very poor Very good

1 2 3 4 5
2. Quality of accommodation Very poor Very good
1 2 3 4 5
3. Quality of transportation Very poor Very good
1 2 3 4 5
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4. Contact with staff members Very poor Very good
1 2 3 4 5
5. Quality of training facilities Very poor Very good
1 2 3 4 5
6. Please use the space below to indicate any suggestions you might have that will help us to
improve the facilities and administration
_________________________
_________________________
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Module 9 - Testing trainee trainers - Individual
presentations
Objective
To evaluate the training capability of trainees following their training
Clear instructions to trainees of what is expected of them - both orally and in writing
Personal assistance with preparation of presentations
Aids
Handouts
Time frame
Presentations of 30 minutes each
Content
Individual presentations as a means of testing trainees

Notification of presentation requirements
Discussion to aid in preparation of presentations
Learning outcome
Participants should demonstrate knowledge of the subject material and skills developed based on
the foregoing training.
INDIVIDUAL PRESENTATIONS AS A MEANS OF TESTING TRAINEES
There are a number of ways of testing trainees: written and oral examinations, seeing how well they
have mastered the skill taught, demonstrating the new on-the-job procedure. A proven method of
testing trainees who are training to become trainers is to see how they perform in a training
situation.
The material that follows is self-explanatory and is offered as a guide only. It is important that the
trainee discuss his or her proposed presentation with the trainer to ensure that pitfalls that often
confront novice trainers (e.g. inappropriate choice of subject, topic too broad for coverage in the
time available, insufficient time in which to prepare suitable aids) are avoided. The trainer should be
sure to be available at all times to assist and advise trainees on the preparation of their
presentations.
NOTIFICATION OF PRESENTATION REQUIREMENTS
Trainees should first be advised of the presentations at the beginning of the course, and the
following notification should be distributed halfway through the course.
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Guidelines for individual presentations
During the concluding days of the course each trainee will present a 20-minute training session on a
selected topic related to the HACCP system or another nominated area of food control. Topics will
be chosen by the trainer (or trainees). As part of the presentation the trainee will:
Produce a plan for the session

Produce a handout for distribution to other course members following the presentation
Prepare visual aids (charts, overhead transparencies, slides, etc.) for use in the presentation
The presentation may be pitched at any level, that is, plant employees, inspection staff, quality
control personnel, plant management, interested organizations, etc.
In the presentation trainees will be expected to make use of training skills (including communication
techniques, visual aids, questions, etc.) and technical knowledge learned during the course.
Presentations should be developed progressively by trainees during the course, and maximum
guidance in their presentation should be available from the trainer.
Each presentation will be followed by a ten-minute evaluation by the group.
DISCUSSION TO AID IN PREPARATION OF PRESENTATIONS
Trainees should be requested to complete a form comprising the following questions for discussion
with the trainer before preparing the presentation.
What is your subject?

Have you given thought to a plan for your presentation? (brainstorming)
Have you jotted down thoughts, especially main points you wish to emphasize?
Do you need assistance with information?
Have you determined at what level you wish to pitch your presentation?
How do you propose making the greatest impact?
What aids do you propose to use?
Do you propose giving a demonstration?
Do you propose using handouts?
Have you in mind to ask questions?
Have you discussed your subject or its presentation with others? Do you intend to do so?
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Objective
To provide guidance and advice to participants about the issues to be considered in course planning
and management
Lecture/discussion using the course of which this module is a part as a model
Aids
Handout
Time frame
Content
Organization and management checklists
Learning outcome
Participants should be aware of the considerations for the planning and management of a successful
training course.
ORGANIZATION AND MANAGEMENT CHECKLISTS
The need for the trainer to be informed about course organization and management is self-evident.
The details that follow amount to little more than a checklist. However, it is valuable for the trainer
to go through each list item by item/stressing the relative importance of each and relating the whole
to the course of which the module is a part.
Organization
Establish whether the course is part or full time
Establish duration
Establish content
Plan syllabus and timetable
Identify and engage appropriate instructors
Secure suitable training accommodation (well-lit, well-ventilated room)
Select and notify trainees, through appropriate channels, of the dates, time and place
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Select and brief session leaders
Select and review preliminary reading materials
Prepare course documentation
Arrange training equipment: lectern, microphone, chalkboard and chalk, writing materials, visual
aids (slide projector, video equipment, screen, spare bulbs, etc.), other aids
Arrange training room: seating arrangements, namecards, position of chalkboard, screen, etc.
Don't forget... to arrange coffee and lunch breaks
Management
Remind session leaders

Arrange transport for outside speakers/trainers
Introduce and thank session leaders
Meet emergencies (give session yourself or rearrange sessions)
Check facilities and equipment (projectors, boards, charts, etc.)
Ensure trainees receive documentation
Introduce visitors
Coordinate all aspects of the course
Evaluate training (based on trainees', session leaders' and own observations)
Leave room tidy; return equipment and aids to proper place
Prepare thank-you letters
Prepare reports on course
Prepare any statistics
Each day appoint a "Monitor for the day" from among the trainees to assist with the conduct of
the course
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Section 2 - RECOMMENDED INTERNATIONAL CODE OF PRACTICE - GENERAL
PRINCIPLES OF FOOD HYGIENE
Introduction
Introduction
The objective of Section 2 is to review the Codex Alimentarius Recommended International Code of
Practice - General Principles of Food Hygiene and to provide the trainees with a comprehensive
understanding of the requirements contained in its various sections.
The General Principles of Food Hygiene provide the basis for food hygiene and lay a firm foundation
for the development of an effective HACCP or equivalent system. The application of the general
principles and of good manufacturing practices (GMPs) allows the producer to operate within
environmental conditions favourable to the production of safe food.
The Recommended International Code of Practice - General Principles of Food Hygiene was originally
adopted by the Codex Alimentarius Commission at its sixth session in 1969. Since then it has been
revised three times, by the thirteenth session (1979), the sixteenth session (1985) and the twenty-
second session (1997). The last revision [CAC/RCP 1-1969, Rev. 3 (1997)] constitutes the basis of this
training package and the modules included therein. As the general principles have been developed
and adopted through the Codex process, they have the input and agreement of all Codex member
countries (158 countries as at 31 August 1997).
The General Principles of Food Hygiene follow the food chain from primary production through to
final consumption, highlighting the key controls at each stage. In brief, they give guidance on the
design and facilities of premises, in-process control, required support programmes of sanitation and
personal hygiene and consideration of hygiene controls once the product has left the production
premises. They recommend an HACCP-based approach wherever possible to enhance food safety, as
described in the Hazard Analysis and Critical Control Point (HACCP) system and guidelines for its
application [Annex to CAC/RCP 1-1969, Rev 3 (1997)].
The importance of programmes based on the general principles and GMPs cannot be overstated, as
they are the foundation of the HACCP plan. Inadequate programmes may lead to additional critical
control points that would have to be identified, monitored and maintained under the HACCP plan.
Section 2 contains the following training modules:
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Module 1: The Codex Alimentarius Commission
Module 2: The Codex General Principles of Food Hygiene
Module 3: Primary production
Module 4: Establishment: design and facilities
Module 5: Control of operation
Module 6: Establishment: maintenance and sanitation
Module 7: Establishment: personal hygiene
Module 8: Transportation
Module 9: Product information and consumer awareness
Module 10: Training
Module 1 provides a general introduction to the Codex Alimentarius Commission and the
agreements of the World Trade Organization relating to food safety. The General Principles of Food
Hygiene and their specific provisions are then covered in Modules 2 to 10.
Each module contains the harmonized Codex language, which promotes a common understanding of
the requirements. Shaded boxes give verbatim text from the most recent (third) revision of the
Recommended International Code of Practice - General Principles of Food Hygiene, CAC/RCP 1-1969,
Rev. 3 (1997). Modules contain, in addition to the Codex text, explanatory notes and additional
remarks relevant to the implementation of food safety programmes. Each module follows the
format of the Codex text, giving the objective, rationale and guidelines for the application of the
general principles.
The controls described in the General Principles of Food Hygiene are internationally recognized as
essential to ensuring the safety and suitability of food for consumption. The general principles are
recommended to governments, industry (including individual primary producers, manufacturers,
processors, food service operators and retailers) and consumers alike. All have a responsibility in
ensuring safe food for the consumer and reducing the incidence of foodborne illness and food
spoilage.
New challenges facing the food industry include new food production, preparation and distribution
techniques, changing eating habits and increasing volumes of food being transported around the
world. Furthermore, opportunities for international trade are enhanced where food is produced in a
strictly hygienic environment, and a country that follows strict hygienic practices gains a reputation
as a producer of safe food.
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Objective
To familiarize the participants with the role and activities of the Codex Alimentarius Commission and
the importance of the Codex codes of hygienic practice, standards, guidelines and other
recommendations consequent to the Final Act of the Uruguay Round of the General Agreement on
Tariffs and Trade (GATT) and in particular the Agreement on the Application of Sanitary and
Phytosanitary Measures (SPS Agreement) and the Agreement on Technical Barriers to Trade (TBT
Agreement), which recognize Codex standards, guidelines and other recommendations as the
specifically identified baseline for consumer protection
Lecture
Video presentation
Aids
Overhead transparencies/slides
Handout: list of final Codex texts
Codex Alimentarius video
Reference
This is Codex Alimentarius
Time frame
One hour
Content
Introduction to the Codex Alimentarius Commission

The Uruguay Round agreements
Learning outcome
Participants should be familiar with the role and activities of the Codex Alimentarius Commission
and the list of Codex texts and should be aware of their importance in light of the SPS and TBT
Agreements.
INTRODUCTION TO THE CODEX ALIMENTARIUS COMMISSION
The Codex Alimentarius Commission (CAC) was established by FAO in 1961. Since 1962 it has been
responsible for implementing the Joint FAO/WHO Food Standards Programme, whose primary aims
are to protect the health of consumers and to ensure fair practices in the food trade. CAC is an
intergovernmental body, with 158 Member Governments as at 31 August 1997. The Codex
Alimentarius (meaning "Food Code" or "Food Law" in Latin) is a collection of food standards, codes
of practice and other recommendations presented in a uniform way. Codex standards, guidelines
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and other recommendations ensure that food products are not harmful to the consumer and can be
traded safely between countries.
Food safety standards are defined in the Agreement on the Application of Sanitary and
Phytosanitary Measures (see below) as those relating to food additives, veterinary drug and
pesticide residues, contaminants, methods of analysis and sampling, and codes and guidelines of
hygienic practice. Codex food safety standards are to be used as the reference point for the World
Trade Organization in this area (see below).
There are more than 300 Codex standards, guidelines and other recommendations relating to food
quality composition and safety. The Codex Alimentarius has resulted in evaluations of the safety of
over 760 food additives and contaminants and the setting of more than 2 500 maximum limits for
pesticide residues and more than 150 for veterinary drug residues. In addition, CAC has established
guideline levels for a number of environmental and industrial contaminants (including radionuclides)
in foods.
Food hygiene has been a major area of activity of CAC since the commission's establishment. The
Codex Committee on Food Hygiene, hosted by the Government of the United States, was founded in
1963. Because food hygiene is best regulated at the production and processing stage in the
exporting country, the committee's main outputs have been codes of hygienic practice rather than
end-product microbiological standards.
Taking this philosophy a step further, CAC has adopted the Guidelines for the application of the
Hazard Analysis Critical Control Point (HACCP) system through its Committee on Food Hygiene. In
doing this, it has recognized HACCP as a tool to assess hazards and establish control systems that
focus on preventive measures instead of relying primarily on end-product testing.
CAC has been actively revising much of its work in recent years to stress the so-called horizontal
aspects of food regulation, including food hygiene. New considerations such as risk analysis and the
determination of equivalence in different food control systems have an impact on the new approach
to international food hygiene regulations.
THE URUGUAY ROUND AGREEMENTS
The Uruguay Round of Multilateral Trade Negotiations which concluded in 1994 established the
World Trade Organization (WTO) to replace the General Agreement on Tariffs and Trade (GATT).
The Uruguay Round negotiations were the first to deal with the liberalization of trade in agricultural
products, an area excluded from previous rounds of negotiations. The Uruguay Round also included
negotiations on reducing non-tariff barriers to international trade in agricultural products and
concluded with two binding agreements: the Agreement on the Application of Sanitary and
Phytosanitary Measures (SPS Agreement) and the Agreement on Technical Barriers to Trade (TBT
Agreement). The agreements will be applied by members of WTO, and the general terms are also
applicable to countries that are not WTO members.
The Agreement on the Application of Sanitary and Phytosanitary Measures
The SPS Agreement confirms the right of WTO member countries to apply measures necessary to
protect human, animal and plant life and health. This right was included in the original 1947 GATT as
a general exclusion from the other provisions of the agreement provided that "such measures are
not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination
between countries where the same conditions prevail, or a disguised restriction on international
trade". Despite this general condition for the application of national measures to protect human,
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animal and plant life and health, it had become apparent that national sanitary and phytosanitary
measures had become, whether by design or accident, effective trade barriers.
The SPS Agreement therefore sets new rules in an area previously excluded from GATT disciplines.
The purpose of the SPS Agreement is to ensure that measures established by governments to
protect human, animal and plant life and health, in the agricultural sector only, are consistent with
obligations prohibiting arbitrary or unjustifiable discrimination on trade between countries where
the same conditions prevail and are not disguised restrictions on international trade. It requires that,
with regard to food safety measures, WTO members base their national measures on international
standards, guidelines and other recommendations adopted by the FAO/WHO Codex Alimentarius
Commission where they exist. This does not prevent a member country from adopting stricter
measures if there is a scientific justification for doing so, or if the level of protection afforded by the
Codex standard is inconsistent with the level of protection generally applied and deemed
appropriate by the country concerned. The SPS Agreement covers all food hygiene measures and
food safety measures such as the control of residues of veterinary drugs, pesticides and other
chemicals used in meat production. In addition, it covers animal and plant quarantine measures.
The SPS Agreement states that any measures taken that conform to international Codex standards,
guidelines or other recommendations are deemed to be appropriate, necessary and non-
discriminatory. Furthermore, the SPS Agreement calls for a programme of harmonization of national
requirements based on international standards. This work is guided by the WTO Committee on
Sanitary and Phytosanitary Measures, to which representatives of CAC, the International Office of
Epizootics (OIE) and the International Plant Protection Convention (IPPC) are invited.
The Agreement on Technical Barriers to Trade
The Agreement on Technical Barriers to Trade (TBT Agreement) is a revision of the agreement of the
same name first developed under the Tokyo Round of GATT negotiations in the 1970s. Examples
given in the TBT Agreement of legitimate TBT measures are those with the objective of national
security or the prevention of deceptive practices.
The objective of the agreement is to prevent the use of national or regional technical requirements,
or standards in general, as unjustified technical barriers to trade. The agreement covers standards
relating to all types of products including industrial and agricultural products, with the exception of
aspects of food standards related to sanitary and phytosanitary measures. It includes numerous
measures designed to protect consumers against deception and economic fraud. Examples of food
standards covered by the TBT Agreement are those related to quality and labelling.
The TBT Agreement basically provides that all technical standards and regulations must have a
legitimate purpose and that the impact or cost of implementing the standard must be proportional
to the purpose of the standard. It also says that if there are two or more ways of achieving the same
objective, the least trade-restrictive alternative should be followed. The agreement also places
emphasis on international standards, WTO members being obliged to use international standards or
parts of them except where the international standard would be ineffective or inappropriate in the
national situation. The TBT Agreement does not include a programme of harmonizing national
standards.
The work of the Codex Alimentarius Commission in the environment of the Uruguay Round
agreements
In this environment. Codex standards, guidelines and other recommendations take on

unprecedented importance with respect to consumer protection and international food trade. As a
result, the work of the Codex Alimentarius Commission - including the Guidelines for the application
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of the Hazard Analysis Critical Control Point (HACCP) system - has become the reference for
international food safety requirements. In view of this it is imperative that the Codex guidelines for
the application of HACCP be unequivocal in their guidance; otherwise conflicts on food safety
grounds may arise.
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Objective
To introduce the participants to the Codex General Principles of Food Hygiene as a firm foundation
for ensuring food safety and to their prerequisite relationship to the development of effective
HACCP or equivalent systems
Lecture
Aids
Handout
Reference
Recommended International Code of Practice - General Principles of Food Hygiene [CAC/RCP 1-

1969, Rev. 3 (1997)], Sections I and II - reproduced below in shaded boxes
Time frame
One hour
Content
What are the General Principles of Food Hygiene?

Objectives
Scope, use and definitions
Structure
Learning outcome
The trainees should be familiar with the Codex General Principles of Food Hygiene and their
prerequisite relationship to the development of an HACCP-based system for ensuring food safety.
WHAT ARE THE GENERAL PRINCIPLES OF FOOD HYGIENE?
The Codex General Principles of Food Hygiene lay a firm foundation for ensuring food hygiene. They
follow the food chain from primary production through to the final consumer, highlighting the key
hygiene controls at each stage, and recommend an HACCP-based approach whenever possible to
enhance food safety as described in the Hazard Analysis and Critical Control Point (HACCP) system
and guidelines for its application [Annex to the Recommended International Code of Practice -
General Principles of Food Hygiene, CAC/RCP 1-1969, Rev. 3 (1997)]. These controls are
internationally recognized as essential to ensure the safety and suitability of food consumption. The
general principles are recommended to governments, industry and consumers alike.
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The requirements of the General Principles of Food Hygiene are considered to be the foundation for
the development of an HACCP-based system for ensuring food safety. The application of the General
Principles of Food Hygiene and of good manufacturing practices (GMPs) allows the producer to
operate within environmental conditions favourable to the production of safe food.
In implementing an HACCP system in an establishment, the first step is to review existing

programmes for compliance with the General Principles of Food Hygiene and GMPs and to verify
whether all the necessary controls and documentation (e.g. programme description, individual
responsible and monitoring records) are in place.
The importance of these programmes cannot be overstated, as they are the foundation of the
implementation of the HACCP plan. Inadequate programmes may lead to additional critical control
points that would have to be identified, monitored and maintained under the HACCP plan. In
summary, adherence to the General Principles of Food Hygiene and GMPs will simplify the
implementation of HACCP plans and will ensure that the integrity of HACCP plans is maintained and
that the manufactured product is safe.
In order to harmonize or standardize the approach, the training is formatted around the
Recommended International Code of Practice - General Principles of Food Hygiene. The application of
HACCP principles should be preceded by compliance with the Principles of Food Hygiene and
appropriate Codex commodity codes of practice. These controls are internationally recognized as
necessary to ensure the safety and suitability of food for consumption.
The term "this document" whenever used in the general principles refers to the Recommended
International Code of Practice-General Principles of Food Hygiene [CAC/RCP 1-1969, Rev. 3 (1997)],
and any allusion to the Annex refers to the annex to that document. The term "contamination" in
the General Principles of Food Hygiene refers to the contamination of food by microbial pathogens,
chemicals, foreign bodies, spoilage agents, objectionable taints and unwanted or diseased matter,
e.g. sawdust or decomposed material. The general principles also use the terms "food safety" and
"suitability for consumption". The former is used in the context of ensuring that food does not cause
illness or injury to consumers, the latter in the context of distinguishing if food is spoiled or
otherwise not suitable for normal human consumption.
OBJECTIVES
SECTION I- OBJECTIVES
The Codex General Principles of Food Hygiene:
- identify the essential principles of food hygiene applicable throughout the food chain (including primary
production through to the final consumer), to achieve the goal of ensuring that food is. safe and suitable for
human consumption;
- recommend an HACCP-based approach as a means to enhance: food safety;
- indicate how to implement those principles; and
- provide a guidance for specific codes which may be needed for - sectors of the food chain; processes; or
commodities; to amplify the hygiene requirements specific to those areas.
SCOPE, USE AND DEFINITIONS
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SECTION II - SCOPE, USE AND DEFINITION
2.1 Scope:
2.1.1 The food chain
This document follows the food chain from primary production to the final consumer, setting out the
necessary hygiene conditions for producing food which is safe and suitable for consumption. The document
provides a base-line structure for other, more specific, codes applicable to particular sectors. Such specific
codes and guidelines should be read in conjunction with this document and Hazard Analysis and Critical
Control Point (HACCP) system and guidelines for its application (Annex).
2.1.2 Roles of governments, industry and consumers
Governments can consider the contents of this document and decide how best they should encourage the
implementation of these general principles to:
- protect consumers adequately from illness or injury caused by food; policies need to consider the
vulnerability of the population, or of different groups within the population;
- provide assurance that food is suitable for human consumption;
- maintain confidence in internationally traded food; and,
- provide health education programmes which effectively communicate the principles of food hygiene to
industry and consumers.
Industry should apply the hygienic practices set out in this document to:
-provide food which is safe and suitable for consumption;
-ensure that consumers have clear and easily understood information, by way of labelling and other
appropriate means, to enable them to protect their food from contamination and growth/survival of
foodborne pathogens by storing, handling and preparing it correctly; and
- maintain confidence in internationally traded food.
Consumers should recognize their role by following relevant instructions and applying appropriate food
hygiene measures.
2.2 Use
Each section of this document states both the objectives to be achieved and the rationale behind those
objectives in terms of the safety and suitability of food.
(...)
There will inevitably be situations where some of the specific requirements contained in this document are not
applicable. The fundamental question in every case is "what Is necessary and appropriate on the grounds of
the safety and suitability of food for consumption?"
The next indicates where such questions are likely to arise by using the phrases "where necessary" and "where
appropriate". In practice this means that, although the requirement is generally appropriate and reasonable,
there will nevertheless be some situations where it is neither necessary nor appropriate on the grounds of
food safety and suitability. In deciding whether a requirement is necessary or appropriate, an assessment of
the risk should be made, preferably within the framework of the HACCP approach. This approach allows the
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requirements in this document to be flexibly and sensibly applied with a proper regard for the overall
objectives of producing food which is safe and suitable for consumption. In so doing it takes into account the
wide diversity of activities and varying degrees of risk involved in producing food. Additional guidance Is
available in specific food codes.
2.3 Definitions
For the purpose of this Code, the following expressions have the meaning stated:
Cleaning - the removal of soil, food residue, dirt, grease or other objectionable matter.
Contaminant - any biological or chemical agent, foreign matter, or other substances not intentionally added to
food which may compromise food safety or suitability.
Contamination - the introduction or occurrence of a contaminant in food or food environment.
Disinfection - the reduction, by means of chemical agents and/or physical methods, of the number of
microorganisms in the environment, to a level that does not compromise food safety or suitability.
Establishment - any building or area in which food is handled and the surroundings under the control of the
same management.
Food hygiene - all conditions and measures necessary to ensure the safety and suitability of food at all stages
of the food chain.
Hazard - A biological, chemical or physical agent, in, or condition of, food with the potential to cause an
adverse health effect.
HACCP - A system which identifies, evaluates, and controls hazards which are significant for food safety.
Food handler - any person who directly handles packaged or unpackaged food, food equipment and utensils,
or food contact surfaces and is therefore expected to comply with food hygiene requirements.
Food safety - assurance that food will not cause harm to the consumer when it is prepared and/or eaten
according to its intended use.
Food suitability - assurance that food is acceptable for human consumption according to its intended use.
Primary production - those steps in the food chain up to and including, for example, harvesting, slaughter,
milking, fishing.
STRUCTURE
The Codex Alimentarius General Principles of Food Hygiene include an Introduction, an Annex
[Hazard Analysis and Critical Control Point (HACCP) system and guidelines for its application] and ten
sections as follows:
Section I - Objectives of the general principles of food hygiene

Section II - Scope and use of the document
Section III - Primary production
Section IV - Establishment: design and facilities
Section V - Control of operation
Section VI - Establishment: maintenance and sanitation
Section VII - Establishment: personal hygiene
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Section VIII-Transportation
Section IX - Product information and consumer awareness
Section X - Training
Sections III to X are addressed individually in the remaining modules (3 to 10) of this section of the
manual.
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Objective
To introduce the trainees to the importance of identifying potential food safety hazards at the
primary production stage of the food chain and the necessity of controlling or minimizing hazards at
this stage in order to reduce the likelihood of introducing a hazard that may adversely affect the
safety of food, or its suitability for consumption, at later stages of the food chain; to review the role
of government and the importance of the Codex Alimentarius with respect to the control of
pesticide residues, residues of veterinary drugs and contaminants in foods
Lecture
Aids
Handout
References

1969, Rev 3 (1997)], Section III - reproduced below in shaded boxes
Codex Alimentarius, Volume 1A, General requirements. Section 6, Contaminants in Foods. Rome,
FAO/WHO, 1995.2nd ed. (Revised 1995)
Codex Alimentarius, Volume 2, Pesticide residues in foods. Rome, FAO/WHO, 1993.2nd ed.
Codex Alimentarius, Volume 2B, Pesticide residues in foods - Maximum Residue Limits. Rome,
FAO/WHO, 1996. 2nd ed. (Revised 1996)
Codex Alimentarius, Volume 3, Residues of veterinary drugs in foods. Rome, FAO/WHO, 1995. 2nd
ed. (Revised 1995)
Time frame
30 minutes lecture
90 minutes exercise
Content
Objectives and rationale

Environmental hygiene
Hygienic production of food sources
Handling, storage and transport
Cleaning, maintenance and personnel hygiene
Role of government
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Exercise
Break trainees into three groups and have each group prepare a list of chemical, physical and
microbiological hazards that may be associated with the primary production of meat, fruits and
vegetables and marine products (fish). Identify control programmes that may reduce or eliminate
these hazards. Both the role of the primary producers and the role of governments should be
considered. Each group should then report its findings using flipcharts or overhead transparencies.
Learning outcome
Trainees should be able to identify potential hazards associated with the primary production of
agricultural products including meat, poultry, eggs, milk, grains, fruits and vegetables and seafood
and should be able to identify the role of the primary producers and of governments in controlling
these hazards.
OBJECTIVES AND RATIONALE
SECTION III - PRIMARY PRODUCTION
Objectives:
Primary production should be managed in a way that ensures that food is safe and suitable for its intended
use. Where necessary, this will include:
- avoiding the use of areas where the environment poses a threat to the safety of food;
- controlling contaminants, pests and diseases of animals and plants in such a way as not to pose a threat to
food safety;
- adopting practices and measures to ensure food is produced under appropriately hygienic conditions.
Rationale:
To reduce the likelihood of introducing a hazard which may adversely affect the safety of food, or its suitability
for consumption, at later stages of the food chain.
The major challenge in encouraging the management of primary production is the integration of the
role of government with the role of the primary producer. There is a need for governments to
participate in the control of hazards associated with primary production through the regulation of
pesticides and veterinary drugs, the identification and control of environmental hazards and the
development of "good practices" documents.
Education and training programmes at the primary production level should be developed to
facilitate the management of primary production.
ENVIRONMENTAL HYGIENE
3.1 Environmental hygiene
Potential sources of contamination from the environment should be considered. In particular, primary food
production should not be carried on in areas where the presence of potentially harmful substances would lead
to an unacceptable level of such substances in food.
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HYGIENIC PRODUCTION OF FOOD SOURCES
3.2 Hygienic production of food sources
The potential effects of, primary production activities on the safety and suitability of food should be
considered at all times. In particular this includes identifying any specific points in such activities where a high
probability of contamination may exist and taking specific measures to minimize that probability. The HACCP-
based approach may assist in the taking of such measures - see Hazard Analysis and Critical Control Point
(HACCP) system and guidelines for its application (Annex);
Producers should as far as practicable implement measures to:
- control contamination from air, soil, water, feedstuffs, fertilizers (including natural fertilizers), pesticides,
veterinary drugs or any other agent used in primary production;
- control plant and animal health so that it does not pose a threat to human health through food,
consumption, or adversely affect the suitability of the product; and
- protect food sources from faecal and other contamination.
In particular, care should be taken to manage wastes, and store harmful substances appropriately. On-farm
programmes which achieve specific food safety goals are becoming an important pact of primary production
and should be encouraged.
HANDLING, STORAGE AND TRANSPORT
3.3 Handling, storage and transport
Procedures should be in place to:
- sort food and food ingredients to segregate material which is evidently unfit for human consumption;
- dispose of any rejected material in a hygienic manner; and
- protect food and food ingredients from contamination by pests, or by chemical, physical or microbiological
contaminants or other objectionable substances during handling, storage and transport.
Care should be taken to prevent, so far as reasonably practicable, deterioration and spoilage through
appropriate measures which may include controlling temperature, humidity, and/or other controls.
CLEANING, MAINTENANCE AND PERSONNEL HYGIENE
3.4 Cleaning, maintenance and personnel hygiene at primary production
Appropriate facilities and procedures should be in place to ensure that:
- any necessary cleaning and maintenance is carried out effectively; and

- an appropriate degree of personal hygiene is maintained.
In considering the appropriate controls for primary production the following Codex references
should be considered:
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Codex Alimentarius, Volume 1A, General requirements. Section 6, Contaminants in Foods. Rome,
FAO/WHO/1995. 2nd ed. (Revised 1995)
Codex Alimentarius, Volume 2, Pesticide residues in foods. Rome, FAO/WHO, 1993. 2nd ed.
Codex Alimentarius, Volume 2B, Pesticide residues in foods -Maximum Residue Limits. Rome,
FAO/WHO, 1996. 2nd ed. (Revised 1996)
Codex Alimentarius, Volume 3, Residues of veterinary drugs in foods. Rome, FAO/WHO, 1995. 2nd
ed. (Revised 1995)
ROLE OF GOVERNMENT
Governments need to provide guidance to primary producers and to establish regulatory control
programmes to ensure food safety and wholesomeness at the primary production level. Hazards
associated with primary production may or may not be eliminated or reduced to acceptable levels
depending on the subsequent processing and handling of the primary food products.
Possible health risk may occur because of primary products excessively contaminated with
microorganisms or toxins that could affect the health of consumers. An understanding of how
pathogens are introduced during primary production is essential in the development of appropriate
interventions and effective control mechanisms. In many cases, however, primary production
control measures have not yet been defined that will provide a means to control certain hazards.
More research is needed to establish the ecology of pathogenic microorganisms so that appropriate
intervention strategies can be devised for the reduction of pathogens at the beginning of the food
chain.
Other programmes, such as good husbandry practices, could be used to reduce the incidence of
pathogens, thereby reducing risk at later stages of the food chain. Simple changes such as
minimizing the amount of moisture, mud and faeces buildup on animal hide, hair, feathers or skin
would be expected to reduce microbial levels. This type of approach would be particularly important
prior to shipment for slaughter. A number of other factors, such as reduction of animal stress and
reduction of feed and water contamination, when combined with other practices would result in
overall pathogen reduction and minimization of risk.
Similar control strategies may be developed for plant food sources. Interventions might include
avoidance of fertilization with manures containing viable pathogens and avoidance of sewage-
contaminated growing areas.
Another type of health risk can occur if primary products are contaminated as a result of improper
use of pesticides or veterinary drugs or because of environmental contamination. The improper use
of pesticides or veterinary drugs in primary production can result in unsafe residues of these
substances in the food.
In addition to providing the health protection benefits, effective pesticide and veterinary drug use
and residue control programmes and environmental control programmes enable a country to
participate in international food trade with greater confidence; an effective residue control
programme can serve as the foundation for certifying the safety of the country's exported food
products, as well as providing assurance of the safety of food products imported into the country.
In establishing effective residue control programmes, a country should first establish a

comprehensive system for determining the safety of pesticides and veterinary drugs. This may be
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accomplished, for example, through an organization or organizations with suitable technical
expertise and administrative authority. Approval of pesticides and veterinary drugs may take into
consideration several relevant criteria, among which will be the safety evaluation of pesticides or
veterinary drugs intended for primary food products. Scientific evaluation of the safety of pesticides
or veterinary drugs and the acceptable levels for human consumption is a long and rigorous task
which may not need to be performed in each country, especially among developing countries. In
such evaluations the interested country could use the technical expertise of international
organizations such as the Joint FAO/WHO Expert Committee on Food Additives (for veterinary drugs)
or the Codex Committee on Pesticide Residues (for maximum residue limits for pesticides in foods
and animal feeds).
The elements in establishing an effective national programme for the control of pesticide or
veterinary drug residues in food should include but not necessarily be limited to the following:
Establishing the regulatory authority/authorities for implementing inspection programmes and

laboratory analysis
Establishing an integrated inspection programme, including a residue control programme for the
inspection of foods (The organization responsible for implementing the inspection programme
should be granted the authority to take all the steps necessary to control products when residues
exceed the maximum residue limits established for a food commodity or when non-permitted
residues are found)
Compiling registers of veterinary drugs and pesticides used in the country, including products
manufactured in the country and products imported into the country
Elaborating regulations concerning the distribution of veterinary drugs and pesticides, providing
procedures for authorized sale, manufacture, import, distribution and use of such products
Elaborating procedures for determining the safety and efficacy of veterinary drugs and pesticide
residues (This should include description of procedures for determining maximum residue limits for
pesticides and veterinary drugs in food)
Establishing procedures for monitoring through sampling of food products for pesticide residues
and veterinary drugs
Selecting the methods of analysis to be used for pesticide and veterinary drug residues
Implementing a laboratory quality assurance programme to ensure the highest quality of analytical
results
Developing educational programmes for primary producers and veterinarians, instructing on the
proper use of pesticides and veterinary drugs and encouraging the use of preventive measures to
reduce the occurrence of residues in food
HACCP plans may not need to be developed on an individual basis for primary producers but may be
developed by experts and recommended to primary producers as "good practice
recommendations". Education and training programmes should be relied upon to introduce
practices that, in effect, may represent a change in the manner in which farms and other primary
food production operations are managed.
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Objective
To introduce the participants to Section IV of the Codex General Principles of Food Hygiene and to
examine the importance and requirements of good hygienic design and construction, including
appropriate siting, design and construction of premises, equipment and facilities to control risks of
contamination
Lecture
Aids
Handout
Slides or videos that the instructor may have available
Reference

1969, Rev. 3 (1997)], Section IV - reproduced below in shaded boxes
Time frame
One hour
Content

Location
Premises and rooms
Equipment
Facilities
Learning outcome
Participants should understand the importance and relationship of the establishment design and
facilities to food hygiene and the control of hazards.
SECTION IV-ESTABLISHMENT: DESIGN AND FACILITIES
Objectives:
Depending on the nature of the operations, and the risks associated with them, premises, equipment and
facilities should be located, designed and constructed to ensure that:
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- contamination is minimized;
- design and layout permit appropriate maintenance, cleaning and disinfections and minimize airborne
contamination;
- surfaces and materials, in particular those in contact with food, are non-toxic in intended use and, where
necessary, suitably durable, and easy to maintain and clean;
- where appropriate, suitable facilities are available for temperature, humidity and other controls; and
- there is effective protection against pest access and harbourage.
Rationale:
Attention to good hygienic design and construction, appropriate location, and the provision of adequate
facilities, is necessary to enable hazards to be effectively controlled.
LOCATION
4.1 Location:
4.1.1 Establishments
Potential sources of contamination need to be considered when deciding where to locate food establishments,
as well as the effectiveness of any reasonable measures that might be taken to protect food. Establishments
should not be located anywhere where, after considering such protective measures, it is clear that there will
remain a threat to food safety or suitability. In particular, establishments should normally be located away
from:
- environmentally polluted areas and industrial activities which pose a serious threat of contaminating food;
- areas subject to flooding unless sufficient safeguards are provided;
- areas prone to infestations of pests;
- areas where wastes, either solid or liquid, cannot be removed effectively.
4.1.2 Equipment
Equipment should be sited so that it:
- permits adequate maintenance and cleaning;

- functions in accordance with its intended use; and
- facilitates good hygiene practices, including monitoring.
PREMISES AND ROOMS
4.2 Premises and rooms
4.2.1 Design and layout
Where appropriate, the internal design and layout of food establishments should permit good food hygiene
practices, including protection against cross-contamination between and during operations by foodstuffs.
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The following should be considered in providing protection against cross-contamination:
Activities should be adequately separated by physical or other effective means where cross-
contamination may result.
Buildings and facilities should be designed to facilitate hygienic operations by means of a regulated
flow in the process from the arrival of the raw material at the premises to the finished product.
Where appropriate, blueprints and/or process flow diagrams should be available.
4.2.2 Internal structures and fittings
Structures within food establishments should be soundly built of durable materials and be easy to maintain,
clean and where appropriate, able to be disinfected. In particular the following specific conditions should be
satisfied where necessary to protect the safety and suitability of food:
- the surfaces of walls, partitions and floors should be made of impervious materials with no toxic effect in
intended use;
- walls and partitions should have a smooth surface up to a height appropriate to the operation;
- floors should be constructed to at low adequate drainage and cleaning;
- ceilings and overhead fixtures should be constructed and finished to minimize the build up of dirt and
condensation, and the shedding of particles;
- windows should be easy to clean, be constructed to minimize the build up of dirt and where necessary, be
fitted with removable and cleanable insect-proof screens. Where necessary, windows should be fixed;
- doors should have smooth, non-absorbent surfaces, and be easy to clean and, where necessary, disinfect;
- working surfaces that come into direct contact with food should be in sound condition, durable and easy to
clean, maintain and disinfect. They should be made of smooth, non-absorbent materials, and inert to the food,
to detergents and disinfectants under normal operating conditions.
Additional points to consider
The building exterior should be designed, constructed and maintained to prevent entry of
contaminants and pests. For example, there should be no unprotected openings, air intakes should
be appropriately located, and the roof, walls and foundation should be maintained to prevent
leakage.
Drainage and sewage systems should be equipped with appropriate traps and vents.
Establishments should be designed and constructed so that there is no cross-connection between

the sewage system and any other waste effluent system in the establishment.
Effluent or sewage lines should not pass directly over or through production areas unless they are
controlled to prevent contamination.
Coatings, paints, chemicals, lubricants and other materials used for surfaces or equipment that
may have contact with food should be such that they will not contribute to unacceptable
contamination of the food.
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4.2.3 Temporary/mobile premises and vending machines
Premises and structures covered here include market stalls, mobile sales and street vending vehicles,
temporary premises in which food is handled such as tents and marquees.
Such premises and structures should be sited, designed and constructed to avoid, as far as reasonably
practicable, contaminating food and harbouring pests.
In applying these specific conditions and requirements, any food hygiene hazards associated with such
facilities should be adequately controlled to ensure the safety and suitability of food.
EQUIPMENT
4.3 Equipment
4.3.1 General
Equipment and containers (other than once-only use containers and packaging) coming into contact with food,
should be designed and constructed to ensure that, where necessary, they can be || adequately cleaned,
disinfected and maintained to avoid the contamination of food. Equipment and containers should be made of
materials with no toxic effect in intended use. Where necessary, equipment should be durable and movable or
capable of being disassembled to allow for maintenance, cleaning, disinfection, monitoring and, for example,
to facilitate inspection for pests.
The manufacturer should have an effective written preventive maintenance programme to ensure
that equipment that may affect food is maintained in proper working order. This should include:
A list of equipment requiring regular maintenance

The procedures and frequencies of maintenance (e.g. equipment inspection, adjustments and part
replacements) are based on the equipment manufacturer's manual or equivalent or on operating
conditions that could affect the condition of the equipment
The preventive maintenance programme should be adhered to. Equipment should be maintained to
ensure the absence of any physical or chemical hazard potentials, e.g. inappropriate repairs, flaking
paint and rust, excessive lubrication.
4.3.2 Food control and monitoring equipment
In addition to the general requirements in paragraph 4.3.1, equipment used to cook, heat treat, cool, store or
freeze food should be designed to achieve the required food temperatures as rapidly as necessary in the
interests of food safety and suitability, and maintain them effectively. Such equipment should also be designed
to allow temperatures to be monitored and controlled. Where necessary, such equipment should have
effective means of controlling and monitoring humidify, air-flow and any other characteristic likely to have a
detrimental effect on the safety or suitability of food. These requirements are intended to ensure that:
- harmful or undesirable microorganisms or their toxins are eliminated or reduced to safe levels or their
survival and growth are effectively controlled;
- where appropriate, critical limits established in HACCP-based plans can be monitored; and
- temperatures and other conditions necessary to food safety and suitability can be rapidly achieved and
maintained.
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Written protocols, including calibration methods and frequencies, should be established by the
manufacturer for equipment monitoring and/or controlling devices that may have an impact on food
safety.
Maintenance and calibration of equipment should be performed by appropriately trained

personnel.
4.3.3 Containers for waste and inedible substances
Containers for waste, by-products and inedible or dangerous substances, should be specifically identifiable,
suitably constructed and, where appropriate, made of impervious material. Containers used to hold dangerous
substances should be identified and, where appropriate, be lockable to prevent malicious or accidental
contamination of food.
FACILITIES
4.4 Facilities
4.4.1 Water supply
Art adequate supply of potable water with appropriate facilities for its storage, distribution and temperature
control, should be available whenever necessary to ensure the safety and suitability of food.
Potable water should be as specified in the latest edition of WHO guidelines for drinking water quality, or
water of a higher standard. Non-potable water (for use in, for example, fire control, steam production,
refrigeration and other similar purposes where it would not contaminate food) shall halve a separate system.
Non-potable water systems shall be identified and shall not connect with, or allow reflux into, potable water
systems.
There should be no cross-connections between potable and non-potable water supplies. All hoses,
taps and other similar possible sources of contamination should be designed to prevent back-flow or
back-siphonage.
Where it is necessary to store water, storage facilities should be adequately designed, constructed
and maintained (e.g. covered) to prevent contamination.
The volume, temperature and pressure of the potable water should be adequate for all
operational and clean-up demands.
Water treatment chemicals, where used, should not cause chemical contamination of the water.
Chemical treatment should be monitored and controlled to deliver the desired concentration and
to prevent contamination.
Recirculated water should be treated, monitored and maintained as appropriate to the intended
purpose. Recirculated water should have a separate distribution system which is clearly identified.
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Ice used as an ingredient or in direct contact with food should be made from potable water and
protected from contamination.
4.4.2 Drainage and waste disposal
Adequate drainage and waste disposal systems and facilities should be provided. They should be designed and
constructed so that the risk of contaminating food or the potable water supply is avoided.
4.4.3 Cleaning
Adequate facilities, suitably designated, should be provided for cleaning food, utensils and equipment. Such
facilities should have an adequate supply of hot and cold potable water where appropriate.
Facilities should be constructed of corrosion-resistant materials that can be easily cleaned and
should be provided with potable water at temperatures appropriate for the cleaning chemicals used.
Equipment cleaning and sanitizing facilities should be adequately separated from food storage,
processing and packaging areas to prevent contamination.
4.4.4 Personnel hygiene facilities and toilets
Personnel hygiene facilities should be available to ensure that an appropriate degree of personal hygiene can
be maintained and to avoid contaminating food. Where appropriate, facilities should include:
- adequate means of hygienically washing and drying hands, including wash basins and a supply:! of hot and
cold (or suitably temperature controlled) water;
- lavatories of appropriate hygienic design; and
- adequate changing facilities for personnel.
Such facilities should be suitably located and designated.

4.4.5 Temperature control
Depending on the nature of the food operations undertaken, adequate facilities should be available for
heating, cooling, cooking, refrigerating and freezing food, for storing refrigerated or frozen foods, monitoring
food temperatures, and when necessary, controlling ambient temperatures to ensure the safety and suitability
of food.
4.4.6 Air quality and ventilation
Adequate means of natural or mechanical ventilation should be provided, in particular to:
- minimize air-borne contamination of food, for example, from aerosols and condensation droplets;
- control ambient temperatures; and
- control odours which might affect the suitability of food; and
- control humidity, where necessary, to ensure the safety and suitability of food.
Ventilation systems should be designed and constructed so that air does not flow from contaminated areas to
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clean areas and, where necessary, they can be adequately maintained and cleaned.
4.4.7 Lighting
Adequate natural or artificial lighting should be provided to enable the undertaking to operate in a hygienic
manner. Where necessary, lighting should not be such that the resulting colour is misleading. The intensity
should be adequate to the nature of the operation. Lighting fixtures should, where appropriate, be protected
to ensure that food is not contaminated by breakages.
Lighting should be appropriate such that the intended production or inspection activity can be
effectively conducted. The lighting should not alter food colour and should not be less than the
following:
540 lux (50 foot-candles) in inspection areas

220 lux (20 foot-candles) in work areas
110 lux (10 foot-candles) in other areas
Inspection areas are defined as any point where the food product or container is visually inspected
or instruments are monitored, e.g. the place where empty containers are evaluated or where
products are sorted and inspected.
4.4.8 Storage
Where necessary, adequate facilities for the storage of food, ingredients and non-food chemicals (e.g. cleaning
materials, lubricants, fuels) should be provided.
Where appropriate, food storage facilities should be designed and constructed to:
- permit adequate maintenance and cleaning;

- avoid pest access and harbourage;
- enable food to be effectively protected from contamination during storage; and
- where necessary, provide an environment which minimizes the deterioration of food (e.g. by temperature
and humidity control).
The type of storage facilities required will depend on the nature of the food. Where necessary, separate,
secure storage facilities for cleaning materials and hazardous substances should be provided.
Ingredients requiring refrigeration should be stored at 4C or less and should be appropriately

monitored. Frozen ingredients should be stored at temperatures that do not permit thawing.
Ingredients and packaging materials should be handled and stored in such a manner as to prevent
damage and/or contamination.
Rotation of ingredients and where appropriate packaging materials should be controlled to

prevent deterioration and spoilage.
Humidity-sensitive ingredients and packaging materials should be stored under appropriate

conditions to prevent deterioration.
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Non-food chemicals should be received and stored in a dry/well-ventilated area.
Non-food chemicals should be stored in designated areas such that there is no possibility for cross-
contamination of food or food contact surfaces.
Where required for ongoing use in food handling areas, these chemicals should be stored in a
manner that prevents contamination of food/food contact surfaces or packaging materials.
Chemicals should be stored and mixed in clean, correctly labelled containers.
Chemicals should be dispensed and handled only by authorized and properly trained personnel.
Finished product should be stored and handled under conditions that prevent deterioration.
Stock rotation should be controlled to prevent deterioration that could present a health hazard.
Returned defective or suspect product should be clearly identified and isolated in a designated
area for appropriate disposition.
Finished product should be stored and handled in a manner to prevent damage. For example,
stacking heights should be controlled and forklift damage avoided.
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Objective
To introduce the trainees to Chapter 5 of the Codex General Principles of Food Hygiene and to
examine the considerations regarding the key aspects of control systems, incoming material
requirements, packaging, water, management, documentation and records and recall systems
(excluding the HACCP system, as this is covered in Section 3 of the training manual)
Lecture
Exercise: food additive calculations
Homework exercises
Aids
Handout
Reference

1969, Rev. 3 (1997)], Section V - reproduced below in shaded boxes
Time frame
Two hours lecture

One hour exercises
Content

Control of food hazards
Examples of general control procedures
Key aspects of hygiene control systems
Incoming material requirements
Packaging
Water
Management and supervision
Documentation and records
General record requirements
Recall procedures
Exercise: food additive calculation
1. A food manufacturer wants to prepare 1 000 litres of fruit drink containing 100 parts per million
(ppm) sodium benzoate.
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How much sodium benzoate should be used?
Answer:
100 ppm = 100/1 000 000

100/1 000 000 x 1 000 litres = 0.1 kg or 100 g
2. A food manufacturer has added 500 g of a salt containing 5% sodium nitrite to 30 kg of a ground
meat product.
What is the resultant concentration of the sodium nitrite in the meat?
Answer:
5% sodium nitrite = 5/100 x 1 000 000 ppm = 50 000 ppm

Ground meat + salt = 30 kg + 500 g (0.5 kg) = 30.5 kg
Therefore 0.5 kg/30.5 kg x 50 000 ppm = 819.6 ppm
3. A food additive preparation contains 7% sodium metabisulfite.
If a food manufacturer wants to prepare 500 litres of wine containing 100 ppm sodium
metabisulfite, how much of the food additive preparation should be used?
Answer:
7% sodium metabisulfite = 7/100 x 1 000 000 ppm = 70 000 ppm

Therefore 100 ppm/70 000 ppm x 500 litres = 0.71 litres or 710 ml
4. An inspector finds that a food manufacturer has added 1 kg of an additive preparation containing
10% saccharin to 150 kg of a dry beverage base product. What is the level of saccharin in the
product?
Answer:
10% = 100 000 ppm

Therefore 1 kg/151 kg x 100 000 ppm = 662 ppm
Learning outcome
Participants should understand the factors affecting the control of microorganisms and other
hazards, the importance of incoming material requirements, packaging, water, management and
supervision, documentation and records and recall procedures in the control of operations.
SECTION V - CONTROL OF OPERATION
Objectives:
To produce food which is safe and suitable for human consumption by:
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- formulating design requirements with respect to raw materials, composition, processing, distribution, and
consumer use to be met in the manufacture and handling of specific food items; and
- designing, implementing, monitoring and reviewing effective control systems.
Rationale:
To reduce the risk of unsafe food by taking preventive measures to assure the safety and suitability of food at
an appropriate stage in the operation by controlling food hazards.
CONTROL OF FOOD HAZARDS
5.1 Control of food hazards
Food business operators should control food hazards through the use of systems such as HACCP. They should:
- identify any steps in their operations which are critical to the safety of food;
- implement effective control procedures at those steps;
- monitor control procedures to ensure their continuing effectiveness; and
- review control procedures periodically, and whenever the operations change.
These systems should be applied throughout the food chain to control food hygiene throughout the shelf-life
of the product through proper product and process design.
Control procedures may be simple, such as checking stock rotation, calibrating equipment, or correctly loading
refrigerated display units. In some cases a system based on expert advice, and involving documentation, may
be appropriate. A model of such a food safety system is described in Hazard Analysis and Critical Control Point
(HACCP) system and guidelines for its application (Annex).
EXAMPLES OF GENERAL CONTROL PROCEDURES
Product formulae
Current written formulae provide a basis for assessment of food additives, nutritional requirements,
food allergens and the scheduled process. The processor should consider the following:
Written master formulae should be available.
The formulae should contain all details of the formulation, including identification of specific
ingredients and additives (e.g. concentration, type) and amounts of additives and ingredients.
The master formulae should be current for the products being processed.
Food additives
Inadequate control of food additives could result in chemical or biological hazards.
The manufacturer should ensure that all food additives used are permitted for use in the particular
food and meet all requirements of the food law.
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The manufacturer should have specifications for all food additives.
The manufacturer should require that all food additives have the identity and purity required to
meet food grade quality.
The manufacturer should obtain certification/verification from the supplier that each lot of food
additives meets the requirements of the food law, e.g. specification sheets and clear identification of
the grade on the additive package.
The manufacturer should verify and demonstrate through calculations that food additives are used
within the maximum level specified in the food law.
The manufacturer should have controls in place during preparation or blending to ensure that food
additives are permitted and are used within allowable levels. These include:
Clear identification of additives

Accurate measurement
Adequate blending for homogeneity
Nutritional requirements
The manufacturer should have control over the product formulation to ensure that all nutritional
requirements and claims are met. Formulation controls are necessary to prevent hazards that could
result from excesses, inadequacies and omissions of nutrients, for example in the case of special
dietary foods, infant formulae, meal replacements, fortified foods and foods for which nutritional
claims have been made (e.g. reduced-calorie and low-sodium foods).
Nutrients used should be permitted in accordance with the food law.
The nutrient content of the product should be accurately reflected on the label.
The manufacturer should have specifications for nutrients.
The manufacturer should receive from the supplier a certificate of analysis accompanying each lot
of nutrient; for nutrients used in foods that are the sole source of nutrition, each certificate should
be verified through analysis.
The manufacturer should verify and demonstrate through calculations that nutrients are used
within the limits specified in the food law.
The manufacturer should have controls in place for nutrient addition during preparation or blending
to ensure that the levels comply with regulatory and label requirements. These controls should
include:
Clear identification of nutrient

Proper storage and handling to maintain nutrient stability
Accurate measurement
Adequate blending for homogeneity
Label accuracy
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The manufacturer should have procedures in place to ensure that label information accurately
represents the composition and formulation of the product. Controls are necessary to prevent the
presence of undeclared ingredients or misinformation concerning product composition. The
manufacturer should ensure that the label information provides the public with accurate
information related to net contents; manufacturer's, packer's and/or distributor's names; and
instructions for proper handling and preparation at home.
The following controls should be included:
New label review

Incoming label review for accuracy/correctness
Formulation changes/substitutions
Allergens
The manufacturer should have controls in place to prevent the presence of undeclared allergens in
the product. Allergens are those ingredients that will elicit an allergic response in sensitive
individuals. Areas that may require control include:
Misdirection of ingredients
Rework
Contamination by undeclared ingredients
Ingredient carryover
Ingredient substitutions
Carryover from equipment, e.g. from product changeovers
Product preparation/blending
Critical factors specified in the formulation should be controlled during preparation and blending to
prevent physical, chemical, nutritional and biological hazards. Inadequate control of critical factors
associated with product preparation or blending could result in underprocessing, formation of
toxins, presence of undeclared allergens, violative levels of food additives or nutritional hazards.
In thermal processing, the manufacturer should have controls for critical factors identified in the
validated process. Examples of critical factors are:
Size, e.g. dicing, grinding, slicing

Temperature treatment, e.g. heating, blanching, defrosting, cooling (textural changes)
Moisture, e.g. rehydration, concentration (viscosity, brix)
Proportioning, e.g. weight, volume (weighing, volumetric control, metering)
pH/acidity (pH measurement, titratable acidity)
For microbial control, the manufacturer should control time and temperature during preparation,
blending, and holding of in-process materials to prevent conditions that could result in excessive
microbial growth or in the production of enterotoxin by Staphylococcus aureus.
KEY ASPECTS OF HYGIENE CONTROL SYSTEMS
5.2 Key aspects of hygiene control systems
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5.2.1 Time and temperature control
Inadequate food temperature control is one of the most common causes of foodborne illness or food spoilage.
Such controls include time and temperature of cooking, cooling, processing and storage. Systems should be in
place to ensure that temperature is controlled effectively where it is critical to the safety and suitability of
food.
Temperature control systems should take into account:
- the nature of the food, e.g. its water activity, pH, and likely initial level arid types of microorganisms;
- the intended shelf-life of the product;
- the method of packaging and processing; and!-how the product is intended to be used, e.g. further
cooking/processing or ready-to-eat.
Such systems should also specify tolerable limits for time and temperature variations.
Temperature recording devices should be checked at regular intervals and tested for accuracy.
5.2.2 Specific process steps
Other steps which contribute to food hygiene may include, for example:
- chilling
- thermal processing
- irradiation
- drying
- chemical preservation
- vacuum or modified atmospheric packaging
5.2.3 Microbiological and other specifications
Management systems described in paragraph 5.1 offer an effective way of ensuring the safety and suitability
of food. Where microbiological, chemical or physical specifications are used in any food control system, such
specifications should be based on sound scientific principles and state, where appropriate, monitoring
procedures, analytical methods and action limits.
5.2.4 Microbiological cross-contamination
Pathogens can be transferred from one food to another, either by direct contact or by food handlers, contact
surfaces or the air. Raw, unprocessed food should be effectively separated, either physically or by time, from
ready-to-eat foods, with effective intermediate cleaning and, where appropriate, disinfection,
Access to processing areas may need to be restricted or controlled. Where risks are particularly high, access to
processing areas should be only via a changing facility. Personnel may need to be required to put on clean
protective clothing including footwear and wash their hands before entering.
Surfaces, utensils, equipment, fixtures and fittings should be thoroughly cleaned and where necessary
disinfected after raw food, particularly meat and poultry, has been handled or processed.
5.2.5 Physical and chemical contamination
Systems should be in place to prevent contamination of foods by foreign bodies such as glass or metal shards
from machinery, dust, harmful fumes and unwanted chemicals. In manufacturing and processing, suitable
detection or screening devices should be used where necessary.
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INCOMING MATERIAL REQUIREMENTS
5.3 Incoming material requirements
No raw material or ingredient should be accepted by an establishment if it is known to contain parasites,

undesirable microorganisms, pesticides, veterinary drugs or toxic, decomposed or extraneous substances
which would not be reduced to an acceptable level by normal sorting and/or processing. Where appropriate,
specifications for raw materials should be identified and applied.
Raw materials or ingredients should, where appropriate, be inspected and sorted before processing. Where
necessary, laboratory tests should be made to establish fitness for use. Only sound, suitable raw materials or
ingredients should be used.
Stocks of raw materials and ingredients should be subject to effective stock rotation.
Prevention of health hazards begins with control of incoming materials. Inadequate incoming
ingredient controls could result in product contamination and/or underprocessing. The degree of
control exercised over incoming ingredients is appropriate to the risk.
The manufacturer should control incoming ingredients through one of the following programmes or
equivalent. The first three options apply to ingredients that may be critical factors where further
processing is not likely to eliminate a hazard. The fourth option applies to ingredients that are not
likely to have an impact on the safety of the food.
Periodic evaluation of incoming ingredients
The manufacturer should have written specifications for ingredients.
Purchasing specifications should include a provision for compliance with the food law.
The manufacturer should maintain a documented history of adherence to specifications for each
supplier, e.g. analytical results.
The manufacturer should obtain a certificate of analysis for each lot (code).
A statistically representative sample should be taken to verify the accuracy of the certificates of
analysis at a scheduled frequency.
A new history of adherence to specifications should be established when a firm changes suppliers,
purchases ingredients from a new supplier or purchases a new ingredient from an existing supplier
or when spot checks do not agree with the certificate of analysis.
One hundred percent lots inspected

The manufacturer should obtain a certificate of analysis for each lot (code).
Each incoming lot should be sampled according to a predetermined sampling plan and analysed for
adherence to specifications.
Vendor certification
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When the manufacturer relies on vendor certification the following minimum requirements should
be in place:
The manufacturer should have documentation to demonstrate adequate knowledge of the

vendor's process, e.g. process flow charts, on-site evaluations, identification of critical control points,
specifications, control limits, monitoring programmes and frequencies, corrective action and
verification procedures.
The manufacturer should have data to demonstrate the capability of the vendor's process to
manufacture consistently within specifications.
Prior to implementation of a periodic monitoring programme the firm should analyse an

appropriate number of consecutive lots to establish a historical database and confirm adherence to
specifications.
The manufacturer should conduct periodic monitoring to verify adherence to specifications.
The manufacturer should conduct vendor audits to validate the status of the vendor certification
programme.
Specification requirements
Where incoming ingredients are not likely to impact on the safety of the food:
The manufacturer should have written specifications for these ingredients.

Purchasing specifications should include a provision for compliance with the food law.
The supplier should provide assurance that the ingredients meet specifications.
When ingredients are found not to meet specifications, the manufacturer investigates and identifies
the root cause. If the ingredients do not meet specifications but have not been used, the case is not
considered a deviation; however, if it is possible that ingredients that do not meet specifications
have been used, the manufacturer should initiate deviation/correction control procedures.
PACKAGING
5.4 Packaging
Packaging design and materials should provide adequate protection for products to minimize contamination,
prevent damage, and accommodate proper labelling. Packaging materials or gases where used must be non-
toxic and not pose a threat to the safety and suitability of food under the specified conditions of storage and
use. Where appropriate, reusable packaging should be suitably durable, easy to clean and, where necessary;
disinfect.
Where appropriate, the manufacturer should control incoming packaging materials from the
supplier using an approach similar to the options suggested for incoming ingredients.
WATER
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5.5 Water
5.5.1 In contact with food
Only potable water should be used In food handling and processing, with the following exceptions:
- for steam production, fire control and other similar purposes not connected with food; and
- in certain food processes, e.g. chilling, and in food handling areas, provided this does not constitute a hazard
to the safety and suitability of food (e.g. the use of clean seawater).
Water recirculated for reuse should be treated and maintained in such a condition that no risk to the safety
and suitability of food results from its use. The treatment process should be effectively monitored.
Recirculated water which has received no further treatment and water recovered from processing of food by
evaporation or drying may be used, provided its use does not constitute a risk to the safety and suitability of
food.
Water should meet the requirements of the regulations. Water should be analysed by the
manufacturer or municipality at a frequency adequate to confirm its potability. Water from sources
other than municipal supplies must be treated as necessary and tested to ensure potability.
There should be no cross-connections between potable and non-potable water supplies. All hoses,
taps and other similar possible sources of contamination should be designed to prevent back-flow or
back-siphonage.
Where it is necessary to store water, storage facilities should be adequately designed, constructed
and maintained (e.g. covered) to prevent contamination.
The volume, temperature and pressure of the potable water should be adequate for all
operational and clean-up demands.
Water treatment chemicals, where used, should not result in unacceptable chemical residues in
the water.
Chemical treatment should be monitored and controlled to deliver the desired concentration and
to prevent contamination.
Recirculated water should be treated, monitored and maintained as appropriate to the intended
purpose. Recirculated water should have a separate distribution system which is clearly identified.
5.5.2 As an ingredient
Potable water should be used wherever necessary to avoid food contamination.

5.5.3 Ice and steam
Ice should be made from water that complies with section 4.4.1. Ice and steam should be produced, handled
and stored to protect them from contamination.
Steam used in direct contact with food or food contact surfaces should not constitute a threat to the safety
and suitability of food.
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Ice used as an ingredient or in direct contact with food should be made from potable water and
protected from contamination.
Boiler treatment chemicals used should be acceptable to the regulator and should not result in
unacceptable residues.
Boiler feed water should be tested regularly, and its chemical treatment should be controlled to
prevent contamination.
The steam supply should be generated from potable water and should be adequate to meet
operational requirements.
Traps should be provided as necessary to ensure adequate condensate removal and elimination of
foreign materials.
MANAGEMENT AND SUPERVISION
5.6 Management and supervision
The type of control and supervision needed will depend on the size of the business, the nature of its activities
and the types of food involved. Managers and supervisors should have enough knowledge of food hygiene
principles and practices to be able to judge potential risks, take appropriate preventive and corrective action,
and ensure that effective monitoring and supervision takes place.
DOCUMENTATION AND RECORDS
5.7 Documentation and records
Where necessary, appropriate records of processing, production and distribution should be kept and retained
for a period that exceeds the shelf-life of the product. Documentation can enhance the credibility and
effectiveness of the food safety control system.
GENERAL RECORD REQUIREMENTS
The following are requirements for all record-keeping activities:
Records should be legible and permanent and should accurately reflect the actual event, condition
or activity.
Errors or changes should be identified in a manner such that the original record is clear, e.g. struck
out with a single stroke and initialed near the correction or change.
Each entry on a record should be made by the responsible person at the time the event occurs.
The completed records should be signed and dated by the responsible person.
Critical records, e.g. records related to the adequacy of the thermal process and the achievement
of a hermetic seal, should be signed and dated by a qualified individual designated by management
prior to distribution of the product. All other records should be reviewed at an appropriate
frequency to provide an early indication of potentially serious deficiencies.
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Records should be retained for one year after the expiry date on the label or container or, if there
is no expiry date, for two years after the date of sale.
Records should be maintained at the manufacturing plant and should be available upon request.
RECALL PROCEDURES
5.8 Recall procedures
Managers should ensure effective procedures are in place to deal with any food safety hazard and to enable
the complete, rapid recall of any implicated lot of the finished food from the market. Where a product has
been withdrawn because of an immediate health hazard, other products which are produced under similar
conditions, and which may present a similar hazard to public; health, should be evaluated for safety and may
need to be withdrawn. The need for public warnings should be considered.
Recalled products should be held under supervision until they are destroyed, used for purposes other than
human consumption, determined to be safe for human consumption, or reprocessed in a manner to ensure
their safety.
There should be a written procedure for recall, which should include:
The person or persons responsible, e.g. recall coordinator(s)
The roles and responsibilities for coordination and implementation of a recall
Methods to identify, locate and control recalled product
A requirement to investigate other products that may be affected by the hazard and that should
be included in the recall
A procedure for monitoring the effectiveness of the recall to the appropriate level of distribution
specified in the recall notice
Recall information should include the following:
Amount of product produced, in inventory and distributed
Name, size, code or lot numbers of food recalled
Area of distribution of product, e.g. local, national, international
Reason for the recall
Product code identification
Each pre-packaged food should have permanent, legible code marks or lot numbers and where
required expiry or "best before" dates on the packages.
Code marks used and the exact meaning of the codes should be available.
Recall capability
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The manufacturer should be capable of producing accurate information on a timely basis to verify
that all affected product can be rapidly identified and removed from the marketplace. This can be
demonstrated by the manufacturer as follows:
Records of customer names, addresses and telephone numbers available for the lot tested
Records of production, inventory and distribution by lot available for the lot tested
Periodic testing to verify the capability of the procedure for rapid identification and control of a
code lot of potentially affected product and for reconciling the amount of product produced, in
inventory and in distribution; identification and correction of any deficiencies in the recall procedure
Distribution records
Distribution records should contain sufficient information to permit traceability to a particular code
or lot number. The following minimum information should be required for distribution records:
Product identification and size

Lot number or code
Quantity
Customers' names, addresses and telephone numbers to the initial level of product distribution
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Objective
To introduce the participants to Chapter 6 of the Codex General Principles of Food Hygiene and to
examine the importance and requirements of maintenance and sanitation
Lecture
Exercise: calculation of sanitizer concentration
Homework: cleaning and sanitizing
Aids
Handout
References

1969, Rev. 3 (1997)], Section VI - reproduced below in shaded boxes
Time frame
Two hours lecture
Content

Maintenance and cleaning
Cleaning programmes
Pest control systems
Waste management
Monitoring effectiveness
Learning outcome
Participants should understand the importance and relationship of sanitation and maintenance to
food safety and hygiene.
SECTION VI - ESTABLISHMENT: MAINTENANCE AND SANITATION
Objectives:
To establish effective systems to:
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- ensure adequate and appropriate maintenance and cleaning;
- control pests;
- manage waste; and
- monitor effectiveness of maintenance and sanitation procedures.
Rationale:
To facilitate the continuing effective control of food hazards, pests, and other agents likely to contaminate
food.
MAINTENANCE AND CLEANING
6.1 Maintenance and cleaning
6.1.1 General
Establishments and equipment should be kept in an appropriate state of repair and condition to:
- facilitate all sanitation procedures;

- function as intended, particularly at critical steps (see paragraph 5.1);
- prevent contamination of food, e.g. from metal shards, flaking plaster, debris and chemicals.
Cleaning should remove food residues and dirt which may be a source of contamination. The necessary
cleaning methods and materials will depend on the nature of the food business. Disinfection may be necessary
after cleaning.
Cleaning chemicals should be handled and used carefully and in accordance with manufacturers' instructions
and stored, where necessary, separated from food, in clearly identified containers to avoid the risk of
contaminating food.
6.1.2 Cleaning procedures and methods
Cleaning can be carried out by the separate or the combined use of physical methods, such as heat, scrubbing,
turbulent flow, vacuum cleaning or other methods that avoid the use of water, and chemical methods using
detergents, alkalis or acids.
Cleaning procedures will involve, where appropriate:
- removing gross debris from surfaces;
- applying a detergent solution to loosen soil and bacterial film and hold them in solution or suspension;
- rinsing with water which: complies with section 4, to remove loosened soil and residues of detergent;
- dry cleaning or other appropriate methods for removing and collecting residues and debris; and
- where necessary, disinfection.
Cleaning and sanitizing equipment should be designed for its intended use and properly
maintained.
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The sanitation programme should be carried out in such a manner that food or packaging materials
are not contaminated (e.g. by aerosols or chemical residues) during or subsequent to cleaning and
sanitizing.
Operations should only begin after sanitation requirements have been met.
CLEANING PROGRAMMES
6.2 Cleaning programmes
Cleaning and disinfection programmes should ensure that all parts of the establishment are appropriately
clean, and should include the cleaning of cleaning equipment.
Cleaning and disinfection programmes should be continually and effectively monitored for their suitability and
effectiveness and where necessary, documented.
Where written cleaning programmes are used, they should specify:
- areas, items of equipment and utensils to be cleaned;

- responsibility for particular tasks;
- method and frequency of cleaning; and
- monitoring arrangements.
Where appropriate, programmes should be drawn up in consultation with relevant specialist expert advisors.
Additional points to consider: cleaning of equipment
The manufacturer should have a written cleaning and sanitation programme for all equipment which
includes:
The name of responsible person

The frequency of the activity
Chemicals and concentration used
Temperature requirements
Procedures for cleaning and sanitizing
The procedures for cleaning and sanitizing are different depending on whether the equipment is
cleaned out of place (COP), e.g. hand-cleaned, or cleaned in place (CIP).
For COP equipment, the procedures should be specified as follows:
Identification of equipment and utensils

Disassembly/reassembly instructions as required for cleaning and inspection
Identification of areas on equipment requiring special attention
Method of cleaning, sanitizing and rinsing
For CIP equipment, the procedures should be specified as follows:
Identification of lines and/or equipment

CIP set-up instructions
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Method of cleaning, sanitizing and rinsing
Disassembly/reassembly instructions as required for cleaning and inspection
Additional points to consider: cleaning of premises
The manufacturer should have a written cleaning and disinfection programme for premises
(preparation, processing and storage areas) which specifies areas to be cleaned, method of cleaning,
person responsible and frequency of the activity. Special sanitation and housekeeping procedures
required during processing should be specified within the document, e.g. removal of product
residues during breaks.
PEST CONTROL SYSTEMS
6.3 Pest control systems
6.3.1 General
Pests pose a major threat to the safety and suitability of food; Pest infestations can occur where there are
breeding sites and a supply of food. Good hygiene practices should be employed to avoid creating an
environment conducive to pests. Good sanitation, inspection of incoming materials and good monitoring can
minimize the likelihood of infestation and thereby limit the need for pesticides.
6.3.2 Preventing access
Buildings should be kept in good repair and condition to prevent pest access and to eliminate potential
breeding sites. Holes, drains and other places where pests are likely to gain access should be kept sealed. Wire
mesh screens, for example on open windows, doors and ventilators, will reduce the problem of pest entry.
Animals should, wherever possible, be excluded from the grounds of factories and food processing plants.
6.3.3 Harbourage and infestation
The availability of food and water encourages pest harbourage and infestation. Potential food sources should
be stored in pest-proof containers and/or stacked above the ground and away from walls. Areas both inside
and outside food premises should be kept clean. Where appropriate, refuse should be stored in covered, pest-
proof containers.
6.3.4 Monitoring and detection
Establishments and surrounding areas should be regularly examined for evidence of infestation.
6.3.5 Eradication
Pest infestations should be dealt with immediately and without adversely affecting food safety or suitability.
Treatment with chemical, physical or biological agents should be carried out without posing a threat to the
safety or suitability of food.
There should be an effective written pest control programme for the premises and equipment that
includes:
The name of the person and the operator assigned responsibility for pest control
Where applicable, the name of the pest control company or the name of the person contracted for
the pest control programme
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The list of chemicals used, the concentration, the location where applied, method and frequency
of application
A map of trap locations
The type and frequency of inspection to verify the effectiveness of the programme
In addition, the following should be considered:
Pesticides used should be acceptable to the food control regulatory authorities and should be used
in accordance with the label instructions.
Treatment of equipment, premises or ingredients for pest control should be conducted in such a
manner as to ensure that the permitted maximum residue limit is not exceeded, e.g. by limiting the
number of fumigation treatments per lot.
Birds and animals, other than those intended for slaughter, should be excluded from
establishments.
WASTE MANAGEMENT
6.4 Waste management
Suitable provision must be made for the removal and storage of waste. Waste must not be allowed to
accumulate in food handling, food storage, and other working areas and the adjoining environment except so
far as is unavoidable for the proper functioning of the business.
Waste stores must be kept appropriately clean.
Adequate facilities and equipment should be provided and maintained for the storage of waste
and inedible material prior to removal from the establishment. These facilities should be designed to
prevent contamination.
Containers used for waste should be clearly identified, leakproof and, where appropriate, kept
covered.
Waste should be removed and containers cleaned and sanitized at an appropriate frequency to
minimize contamination potential.
MONITORING EFFECTIVENESS
6.5 Monitoring effectiveness
Sanitation systems should be monitored for effectiveness, periodically verified by means such as audit pre-
operational inspections or, where appropriate, microbiological sampling of environment and food contact
surfaces and regularly reviewed and adapted to reflect changed circumstances.
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Objective
examine the importance and requirements of personal hygiene in preventing contamination of food
and in food safety
Lecture
Aids
Handout
Video: Germ busters -A guide to good hygiene
References

1969, Rev. 3 (1997)], Section VII - reproduced below in shaded boxes
Time frame
One hour
Content

Health status
Illness and injuries
Personal cleanliness
Personal behaviour
Visitors
Learning outcome
Participants should understand the importance and relationship of personal hygiene to food safety
and to the prevention of food contamination.
SECTION VII - ESTABLISHMENT: PERSONAL HYGIENE
Objectives:
To ensure that those who come directly or indirectly into contact with food are not likely to contaminate food
by:
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- maintaining an appropriate degree of personal cleanliness;
- behaving and operating in an appropriate manner.
Rationale:
People who do not maintain an appropriate degree of personal cleanliness, who have certain illnesses or
conditions or who behave inappropriately, can contaminate food and transmit illness to consumers.
HEALTH STATUS
7.1 Health status
People known, or suspected, to be suffering from, or to be a carrier of a disease or illness likely to be

transmitted through food, should not be allowed to enter any food handling area if there is a likelihood of their
contaminating food. Any person so affected should immediately report illness or symptoms of illness to the
management.
Medical examination of a food handler should be carried out if clinically or epidemiologically indicated.
The manufacturer should have and enforce a policy to prevent personnel known to be suffering
from or known to be carriers of a disease transmissible through food from working in food handling
areas.
The manufacturer should require that employees advise management when they are suffering
from a communicable disease likely to be transmitted through food.
Employees having open cuts or wounds should not handle food or food contact surfaces unless the
injury is completely protected by a secure waterproof covering, e.g. rubber gloves.
ILLNESS AND INJURIES
7.2 Illness and injuries
Conditions which should be reported to management so that the need for medical examination and/of
possible exclusion from food handling can be considered, include:
- jaundice
- diarrhoea
- vomiting
- fever
- sore throat with fever
- visibly infected skin lesions (boils, cuts, etc.)
- discharges from the ear, eye or nose;
PERSONAL CLEANLINESS
7.3 Personal cleanliness.
Food handlers should maintain a high degree of personal cleanliness and, where appropriate, wear suitable
protective clothing, head covering and footwear. Cuts and wounds, where personnel are permitted to
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continue working, should be covered by suitable waterproof dressings.
Personnel should always wash their hands when personal cleanliness may affect food safety, for example:
- at the start of food handling activities;

- immediately after using the toilet; and
- after handling raw food or any contaminated material, where this could result in contamination of other food
items; they should avoid handling ready-to-eat food, where appropriate.
All persons should wash their hands upon entering food handling areas, before starting work, after
handling contaminated materials, after break and after using toilet facilities. Where necessary to
minimize microbiological contamination, employees should use disinfectant hand dips.
Protective clothing, hair covering, footwear and/or gloves appropriate to the operation that the
employee is engaged in, e.g. effective hair coverings for employees in production areas, should be
worn and maintained in a sanitary manner.
PERSONAL BEHAVIOUR
7.4 Personal behaviour
People engaged in food handling activities should refrain from behaviour which could result in contamination
of food, for example:
- smoking;
- spitting;
- chewing creating;
- sneezing or coughing over unprotected food.
Personal effects such as jewellery, watches, pins or other items should not be worn or brought into food
handling areas if they pose a threat to the safety and suitability of food.
Any behaviour that could result in contamination of food, such as eating, use of tobacco or
chewing gum or unhygienic practices such as spitting, should be prohibited in food handling areas.
All persons entering food handling areas should remove jewellery and other objects that could fall
into or otherwise contaminate food. Jewellery that cannot be removed, such as wedding bands and
medical alerts, should be covered.
Personal effects and street clothing should not be kept in food handling areas and should be stored
in such a manner as to prevent contamination.
VISITORS
7.5 Visitors
Visitors to food manufacturing, processing or handling areas should, where appropriate, wear protective
clothing and adhere to the other personal hygiene provisions in this section.
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Access of personnel and visitors should be controlled to prevent contamination. The traffic pattern
of employees should not result in cross-contamination of the product.
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Objective
examine the importance and requirements of transportation and good transportation practices in
preventing contamination of the food and in food safety
Lecture
Exercise
Aids
Handout
Reference
Recommended International Code of Practice-General Principles of Food Hygiene [CAC/RCP 1-1969,

Rev. 3 (1997)]/Section VIII - reproduced below in shaded boxes
Time frame
One hour lecture

One hour exercise
Content

General considerations
Requirements
Use and maintenance
Transportation and distribution
Exercise
Break the trainees into groups and have each group identify potential hazards and controls
associated with transportation of a specific product/e.g. fish in ships, milk in tanker trucks and
peanuts during storage and distribution (30 minutes to prepare and 30 minutes to present findings).
Learning outcome
Participants should understand the importance and relationship of transportation and good
transportation practices in preventing contamination of food and in food safety.
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SECTION VIII-TRANSPORTATION
Objectives:
Measures should be taken where necessary to:
- protect food from potential sources of contamination;

- protect food from damage likely to render the food unsuitable for consumption; and
- provide an environment which effectively controls the growth of pathogenic or spoilage microorganisms and
the production of toxins in food.
Rationale:
Food may become contaminated, or may not reach its destination in a suitable condition for consumption,
unless effective control measures are taken during transport, even where adequate hygiene control measures
have been taken earlier in the food chain.
GENERAL CONSIDERATIONS
8.1 General
Food must be adequately protected during transport. The type of conveyances or containers required depends
on the nature of the food and the conditions under which it has to be transported.
REQUIREMENTS
8.2 Requirements
Where necessary, conveyances and bulk containers should be designed and constructed so that they:
- do not contaminate foods or packaging;
- can be effectively cleaned and, where necessary, disinfected;
- permit effective separation of different foods or foods from non-food items where necessary during
transport;
- provide effective protection from contamination, including dust and fumes;
- can effectively maintain any temperature, humidity, atmosphere and other conditions necessary to protect
food from harmful or undesirable microbial growth and deterioration likely to render it unsuitable for
consumption; and
- allow any necessary temperature, humidity and other conditions to be checked.
Ingredients requiring refrigeration should be transported at 4C or less and should be

appropriately monitored. Frozen ingredients should be transported at temperatures that do not
permit thawing.
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Food products should be transported under conditions that prevent microbiological, physical and
chemical hazards.
USE AND MAINTENANCE
8.3 Use and maintenance
Conveyances and containers for transporting food should be kept in an appropriate state of cleanliness, repair
and condition. Where the same conveyance or container is used for transporting different foods, or non-foods,
effective cleaning and, where necessary, disinfection should take place between loads.
Where appropriate, particularly in bulk transport, containers and conveyances should be designated and
marked for food use only and be used only for that purpose.
The manufacturer should verify that carriers are suitable for the transportation of food. For
example:
Carriers should be inspected by the manufacturer on receipt and prior to loading to ensure they
are free from contamination and suitable for the transportation of food.
The manufacturer should have a programme in place to demonstrate the adequacy of cleaning and
sanitizing. For example, for bulk carriers a written cleaning and sanitizing procedure should be
available.
Where the same carriers are used for food and non-food loads (e.g. dual use), procedures should
be in place to restrict the type of non-food loads to those that do not pose a risk to subsequent food
loads after an acceptable cleaning or to food loads in the same shipment. For example/the
manufacturer may require a cleaning certificate and a record of the previous material transported
prior to loading or unloading of dual-use tankers, or may have a programme in place to verify the
adequacy of cleaning, e.g. tanker inspection, sensory evaluation of ingredients and/or analysis, as
appropriate.
Carriers should be loaded, arranged and unloaded in a manner that prevents damage and
contamination of the food.
Bulk tanks should be designed and constructed to permit complete drainage and to prevent
contamination.
Where appropriate, materials used in carrier construction should be suitable for food contact.
TRANSPORTATION AND DISTRIBUTION
The transportation and distribution segments are very diverse. In many cases, transportation firms
may be handling a variety of products in addition to food, which adds to the complexity of the
situation.
The first step is to identify those circumstances that pose a significant health risk, such as improper
handling of sensitive products or ineffective cleaning or sanitizing of transportation vehicles. For
example, inadequate control of temperatures during transportation and distribution can contribute
to microbial growth, formation of mycotoxins, spoilage and/or deterioration of certain products.
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A recent example of improper practice has served to underscore needs in this area. An outbreak of
salmonellosis in the United States was caused by the hauling of pasteurized ice-cream mix in a
tanker truck that had previously carried raw eggs. This example illustrates the importance of
preventing cross-contamination.
HACCP plans developed by the food industry must consider the control of temperatures and
contamination during the transport of foods. A food business operator may require an HACCP plan
as a condition of doing business with a particular transportation firm.
Properly designed HACCP-based good transportation practices for the transportation and
distribution sector may be a more appropriate approach than HACCP plans. General education
programmes are needed to alert food transporters to the potential hazards that can be associated
with the transportation and distribution (including storage) of food products. Requirements for
handling and distribution of food products or ingredients must be developed by food manufacturers,
and these requirements must be communicated to transportation and distribution businesses.
Transporters or storage facilities should be required to take proper hygienic measures to protect the
food and should be required to keep and retain records that will document their adherence to food
safety plans.
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Objective
To provide the participants with knowledge of the importance of product information in ensuring
that consumers have adequate information to avoid mishandling food and to make informed choices
regarding food
Lecture
Exercise
Aids
Handout
References

1969, Rev 3 (1997)], Section IX - reproduced below in shaded boxes
Codex General Standard for the Labelling of Prepackaged Foods (World-wide Standard) [Codex
Stan 1-1985 (Rev 1-1991)]
Codex General Guidelines on Claims [CAC/GL 1-1979 (Rev. 1-1991)]
Codex Guidelines on Nutrition Labelling [CAC/GL 2-1985 (Rev 1-1993)]
Time frame
30 minutes lecture
30 minutes exercise
Content

Lot identification
Product information
Labelling
Consumer education
Exercise
The instructor should have the trainees identify the type of information that should be available on
product labels and the type of information that should be provided to consumers regarding the safe
handling of foods.
Learning outcome
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Participants should understand the importance of product information in ensuring that consumers
have adequate information to prevent mishandling of food and can make informed choices
regarding food. Participants should also be aware of the Codex standards regarding labelling.
SECTION IX - PRODUCT INFORMATION AND CONSUMER AWARENESS
Objectives:
Products should bear appropriate information to ensure that:
- adequate and accessible information is available to the next person in the food chain to enable them to
handle, store, process, prepare and display the product safely and correctly;
- the lot or batch can be easily identified and recalled if necessary.
Consumers should have enough knowledge of food hygiene to enable them to:
- understand the importance of product information;

- make informed choices appropriate to the individual; and
-prevent contamination and growth or survival of foodborne pathogens by storing, preparing and using it
correctly.
Information for industry or trade users should be clearly distinguishable from consumer information,
particularly on food labels.
Rationale:
Insufficient product information, and/or inadequate knowledge of general food hygiene, can lead to products
being mishandled at later stages in the food chain. Such mishandling can result in illness, or products becoming
unsuitable for consumption, even where adequate hygiene control measures have been taken earlier in the
food chain.
LOT IDENTIFICATION
9.1 Lot identification
Lot identification is essential in product recall and also helps effective stock rotation. Each container of food
should be permanently marked to identify the producer and the lot. Codex General Standard for the Labelling
of Prepackaged Foods (CODEX STAN 1-1985) applies.
PRODUCT INFORMATION
9.2 Product Information
All food products should be accompanied by or bear adequate information to enable the next person in the
food chain to handle, display, store and prepare and use the product safely and correctly.
LABELLING
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9.3 Labelling
Prepackaged foods should be labelled with clear instructions to enable the next person in the food chain to
handle, display store and use the product safely: Codex General Standard for the Labelling 1 of Prepackaged
Foods (CODEX STAN 1-1985) applies.
CONSUMER EDUCATION
9.4 Consumer education
Health education programmes should cover general food hygiene. Such programmes should enable consumers
to understand the importance of any product information and to follow any instructions accompanying
products, and make informed choices. In particular consumers should be informed of the relationship between
time/temperature control and foodborne illness.
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Objective
examine the importance of training those engaged in food business operations who come directly or
indirectly into contact with food to a level appropriate to the operations they are to perform
Lecture
Aids
Handout
References
Recommended International Code of Practice-General Principles of Food Hygiene [CAC/RCP 1-1969,

Rev. 3 (1997)], Section X - reproduced below in shaded boxes
Section 1 of this training manual
Time frame
30 minutes lecture
Content
Objective and rationale

Awareness and responsibilities
Training programmes
Instruction and supervision
Refresher training
Learning outcome
Participants should understand the importance of training those engaged in food business
operations to a level appropriate to the operations they are to perform.
OBJECTIVE AND RATIONALE
SECTION X - TRAINING
Objective:
Those engaged in food operations who come directly or indirectly into contact with food should be trained,
and/or instructed in food hygiene to a level appropriate to the operations they are to perform.
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Rationale:
Training is fundamentally important to any food hygiene system.
Inadequate hygiene training, and/or instruction and supervision of all people involved in food elated activities
pose a potential threat to the safety of food and its suitability for consumption.
AWARENESS AND RESPONSIBILITIES
10.1 Awareness and responsibilities
Food hygiene training is fundamentally important. All personnel should be aware of their role and
responsibility in protecting food from contamination or deterioration. Food handlers should have the
necessary knowledge and skills to enable them to handle food hygienically. Those who handle a strong
cleaning chemicals or other potentially hazardous chemicals should be instructed in safe handling techniques.
TRAINING PROGRAMMES
10.2 Training programmes
Factors to take into account in assessing the level of training required include:
- the nature of the food, in particular its ability to sustain growth of pathogenic or spoilage microorganisms;
- the manner in which the food is handled and packed, including the probability of contamination;
- the extent and nature of processing or further preparation before final consumption;
- the conditions under which the food will be stored; and
- the expected length of time before consumption.
Training should be appropriate to the complexity of the manufacturing process and the tasks
assigned.
Personnel should be trained to understand the importance of the critical control points for which
they are responsible, the critical limits, the procedures for monitoring, the action to be taken if the
limits are not met and the records to be kept.
Personnel responsible for maintenance of equipment having an impact on food safety should be
appropriately trained to identify deficiencies that could affect product safety and to take appropriate
corrective action, e.g. in-house repairs, contract repairs. Individuals performing maintenance on
specific equipment, e.g. closing machines, recorders, etc., should be appropriately trained.
Personnel and supervisors responsible for the sanitation programme should be appropriately
trained to understand the principles and methods of effective cleaning and sanitizing.
Additional training, e.g. specific technical training, apprenticeship programmes, etc., should be
provided as necessary to ensure current knowledge of equipment and process technology.
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INSTRUCTION AND SUPERVISION
10.3 Instruction and supervision
Periodic assessments of the effectiveness of training and instruction programmes should be made, as well as
routine supervision and checks to ensure that procedures are being carried out effectively.
Managers and supervisors of food processes should have the necessary knowledge of food hygiene principles
and practices to be able to judge potential risks and take the necessary action to remedy deficiencies.
REFRESHER TRAINING
10.4 Refresher training
Training programmes should be routinely reviewed and updated where necessary. Systems should be in place
to ensure that food handlers remain aware of all procedures necessary to maintain the safety and suitability of
food.
The manufacturer should have a written training programme for employees which should be
delivered as follows:
Appropriate training in personal hygiene and hygienic handling of food should be provided to all
food handlers at the beginning of their employment.
The original food hygiene training should be reinforced and updated at appropriate intervals.
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Section 3 - THE HAZARD ANALYSIS AND CRITICAL CONTROL POINT (HACCP)
SYSTEM
Introduction
Module 2 - The Codex guidelines for the application of the HACCP system
Module 4 - Describe product and identify intended use - Tasks 2 and 3
Module 5 - Construct flow diagram and on-site confirmation of flow diagram - Tasks 4 and 5
Module 6 - List all potential hazards associated with each step, conduct a hazard analysis and
Module 7 - Determine critical control points - Task 7/Principle 2
Module 8 - Establish critical limits for each critical control point - Task 8/Principle 3
Module 9 - Establish a monitoring system for each critical control point - Task 9/Principle 4
Module 10 - Establish corrective actions - Task 10/Principle 5
Module 11 - Establish verification procedures - Task 11/Principle 6
Module 12 - Establish documentation and record keeping - Task 12/Principle 7
Introduction
The objective of Section 3 is to review the tasks in the application of the HACCP system and to
provide trainees with the knowledge and background necessary to establish HACCP plans and/or
verify the acceptability of existing HACCP plans and systems.
Section 3 reviews the 12 tasks in the application of HACCP, including the seven HACCP principles. It
emphasizes the importance of the Codex General Principles of Food Hygiene and the appropriate
commodity codes of practice, standards and guidelines as a basis for developing the HACCP plan.
Section 3 of the training manual is based on Revision 1 (current) of the Hazard Analysis and Critical
Control (HACCP) system and guidelines for its application, which was adopted during the twenty-
second session of the Codex Alimentarius Commission in 1997 and included as Annex to the
Recommended International Code of Practice - General Principles of Food Hygiene [CAC/RCP 1-1969,
Rev. 3 (1997)]. A previous draft of the Hazard Analysis and Critical Control (HACCP) system and
guidelines for its application was included as Appendix II to ALINORM 97/13 and was adopted by the
twentieth session of the Codex Alimentarius Commission in 1993.
Section 3 contains the following training modules:
Module 1: History and background of the HACCP system
Module 2: The Codex guidelines for the application of the HACCP system
Module 3: Assemble the HACCP team - Task 1
Module 4: Describe product and identify intended use - Tasks 2 and 3
Module 5: Construct flow diagram and on-site confirmation of flow diagram -Tasks 4 and 5
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Module 6: List all potential hazards associated with each step, conduct a hazard analysis and
Module 7: Determine critical control points - Task 7/Principle 2
Module 8: Establish critical limits for each critical control point - Task 8/Principle 3
Module 9: Establish a monitoring system for each critical control point - Task 9/Principle 4
Module 10: Establish corrective actions - Task 10/Principle 5
Module 11: Establish verification procedures - Task 11/Principle 6
Module 12: Establish documentation and record keeping - Task 12/Principle 7
Module 1 provides a general introduction and background information on the HACCP system. It
discusses the history and application of HACCP and looks at the increasingly important role of HACCP
in international trade. Module 2 gives the Codex text and definitions of the Hazard Analysis and
Critical Control Point as approved by the twenty-second session of the Codex Alimentarius
Commission (Geneva, Switzerland, June 1997). Modules 3 to 12 follow the logical sequence for
application of HACCP recommended by the Codex Alimentarius Commission, which consists of 12
tasks.
Section 3 uses lecture and traditional training aids such as slides and videos to relay the information.
In addition, an important component of the training is the development of an HACCP plan by the
trainees divided into working groups. The plan is developed step by step by addressing each of the
12 tasks and completing the appropriate forms elaborated in each module. These forms record the
information and data necessary to document the HACCP implementation process and capture
monitoring and verification information for evaluating the effectiveness of the HACCP system. A
complete set of blank forms is attached in Annex 1 of the manual.
At the end of each module, an example of the completed form is provided. The example case
(canned mushroom) is based on a training example used by government agencies. This example can
be used during training or replaced with a different food product depending on local food
production methods, product types, etc.
The forms have been prepared for training purposes only and may not be suitable for direct
application by the food industry. Instead, the industry may develop or design its own forms for
development of its specific HACCP plan. Furthermore, trainers may wish to redesign the
demonstration forms to enhance the effectiveness of the message during classroom sessions,
including the basic information and data given in the forms along with other information and data
considered necessary or desirable for actual use.
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Objective
To introduce the trainees to the history and background of the Hazard Analysis and Critical Control
Point (HACCP) system and its importance as a food safety management system in identifying and
controlling food safety hazards
Lecture
Aids
Handout
HACCP videos
Reference
The use of hazard analysis critical control point (HACCP) principles in food control. Report of an FAO
Expert Technical Meeting, Vancouver, Canada, 12-16 December 1994. FAO Food and Nutrition Paper
No. 58. Rome, FAO/1995.
Time frame
One hour lecture
Content
History of HACCP
The Codex Alimentarius General Principles of Food Hygiene
Advantages of HACCP
Application of HACCP
HACCP and trade
Training
Objectives of the FAO approach to HACCP
Learning outcome
Participants should be familiar with the history of HACCP, its importance as a programme for food
safety and its importance in international trade.
HISTORY OF HACCP
HACCP has become synonymous with food safety. It is a worldwide-recognized systematic and
preventive approach that addresses biological, chemical and physical hazards through anticipation
and prevention, rather than through end-product inspection and testing.
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The HACCP system for managing food safety concerns grew from two major developments. The first
breakthrough was associated with W.E. Deming, whose theories of quality management are widely
regarded as a major factor in turning around the quality of Japanese products in the 1950s. Dr
Deming and others developed total quality management (TQM) systems which emphasized a total
systems approach to manufacturing that could improve quality while lowering costs.
The second major breakthrough was the development of the HACCP concept itself. The HACCP
concept was pioneered in the 1960s by the Pillsbury Company, the United States Army and the
United States National Aeronautics and Space Administration (NASA) as a collaborative development
for the production of safe foods for the United States space programme. NASA wanted a "zero
defects" programme to guarantee the safety of the foods that astronauts would consume in space.
Pillsbury therefore introduced and adopted HACCP as the system that could provide the greatest
safety while reducing dependence on end-product inspection and testing. HACCP emphasized
control of the process as far upstream in the processing system as possible by utilizing operator
control and/or continuous monitoring techniques at critical control points. Pillsbury presented the
HACCP concept publicly at a conference for food protection in 1971. The use of HACCP principles in
the promulgation of regulations for low-acid canned food was completed in 1974 by the United
States Food and Drug Administration (FDA). In the early 1980s, the HACCP approach was adopted by
other major food companies.
The United States National Academy of Science recommended in 1985 that the HACCP approach be
adopted in food processing establishments to ensure food safety. More recently, numerous groups,
including for example the International Commission on Microbiological Specifications for Foods
(ICMSF) and the International Association of Milk, Food and Environmental Sanitarians (IAMFES),
have recommended the broad application of HACCP to food safety.
THE CODEX ALIMENTARIUS GENERAL PRINCIPLES OF FOOD HYGIENE
Recognizing the importance of HACCP to food control, the twentieth session of the Codex
Alimentarius Commission, held in Geneva, Switzerland from 28 June to 7 July 1993, adopted
Guidelines for the application of the Hazard Analysis Critical Control Point (HACCP) system (ALINORM
93/13A, Appendix II). The commission was also informed that the draft revised General Principles of
Food Hygiene would incorporate the HACCP approach.
The revised Recommended International Code of Practice - General Principles of Food Hygiene
[CAC/RCP 1-1969, Rev 3 (1997)] was adopted by the Codex Alimentarius Commission during its
twenty-second session in June 1997. The Hazard Analysis and Critical Control Point (HACCP) system
and guidelines for its application is included as its Annex.
The Codex General Principles of Food Hygiene lay a firm foundation for ensuring food hygiene. They
follow the food chain from primary production through to the consumer, highlighting the key
hygiene controls at each stage and recommending an HACCP approach wherever possible to
enhance food safety. These controls are internationally recognized as essential to ensuring the
safety and suitability of food for human consumption and international trade.
ADVANTAGES OF HACCP
The HACCP system, as it applies to food safety management, uses the approach of controlling critical
points in food handling to prevent food safety problems. The system, which is science based and
systematic, identifies specific hazards and measures for their control to ensure the safety of food.
HACCP is based on prevention and reduces the reliance on end-product inspection and testing.
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The HACCP system can be applied throughout the food chain from the primary producer to the
consumer. Besides enhancing food safety, other benefits of applying HACCP include more effective
use of resources, savings to the food industry and more timely response to food safety problems.
HACCP enhances the responsibility and degree of control at the level of the food industry. A properly
implemented HACCP system leads to greater involvement of food handlers in understanding and
ensuring food safety, thus providing them with renewed motivation in their work. Implementing
HACCP does not mean undoing quality assurance procedures or good manufacturing practices
already established by a company; it does, however, require a revision of these procedures as part of
the systematic approach and for their appropriate integration into the HACCP plan.
The application of the HACCP system can aid inspection by food control regulatory authorities and
promote international trade by increasing buyers' confidence.
Any HACCP system should be capable of accommodating change, such as advances in equipment
design, changes in processing procedures or technological developments.
APPLICATION OF HACCP
While the application of HACCP to all segments and sectors of the food chain is possible, it is
assumed that all sectors should be operating according to good manufacturing practices (GMPs) and
the Codex General Principles of Food Hygiene. The ability of an industry segment or sector to
support or implement the HACCP system depends on the degree of its adherence to these practices.
The successful application of HACCP requires the full commitment and involvement of management
and the workforce. It requires a multidisciplinary approach which should include, as appropriate,
expertise in agronomy, veterinary health, microbiology, public health, food technology,
environmental health, chemistry, engineering, etc. according to the particular situation. The
application of the HACCP system is compatible with the implementation of TQM systems such as the
ISO 9000 series. However, HACCP is the system of choice in the management of food safety within
such systems.
HACCP AND TRADE
The Final Act of the Uruguay Round of multilateral trade negotiations, which began in Punta del Este,
Uruguay in September 1986 and concluded in Marrakesh, Morocco in April 1994, established the
World Trade Organization (WTO) to succeed the General Agreement on Tariffs and Trade (GATT).
The Uruguay Round negotiations were the first to deal with the liberalization of trade in agricultural
products, an area excluded from previous rounds of negotiations.
Significant implications for the Codex Alimentarius Commission arise from the Final Act of the
Uruguay Round: the Agreement on the Application of Sanitary and Phytosanitary Measures (SPS
Agreement) and the Agreement on Technical Barriers to Trade (TBT Agreement).
The purpose of the SPS Agreement is to ensure that measures established by governments to
protect human, animal and plant life and health, in the agricultural sector only, are consistent with
obligations prohibiting arbitrary or unjustifiable discrimination on trade between countries where
the same conditions prevail and are not disguised restrictions on international trade.
The SPS Agreement is particularly relevant to food safety, providing a framework for the formulation
and harmonization of sanitary and phytosanitary measures. It requires that such measures be based
on science and implemented in an equivalent and transparent manner. They cannot be used as an
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unjustifiable barrier to trade by discriminating among foreign sources of supply or providing an
unfair advantage to domestic producers.
To facilitate safe food production for domestic and international markets, the SPS Agreement
encourages governments to harmonize their national measures or base them on international
standards, guidelines and recommendations developed by international standard-setting bodies.
The purpose of the TBT Agreement is to prevent the use of national or regional technical
requirements, or standards in general, as unjustified technical barriers to trade. The agreement
covers all types of standards including quality requirements for foods (except requirements related
to sanitary and phytosanitary measures), and it includes numerous measures designed to protect
the consumer against deception and economic fraud.
The TBT Agreement also places emphasis on international standards. WTO members are obliged to
use international standards or parts of them except where the international standard would be
ineffective or inappropriate in the national situation.
Codex standards, guidelines and other recommendations have become the specifically identified
baseline for safe food production and consumer protection under the SPS Agreement. In this
environment. Codex standards, guidelines and other recommendations take on unprecedented
importance with respect to consumer protection and international food trade. As a result, the work
of the Codex Alimentarius Commission, including the Guidelines for the application of the Hazard
Analysis Critical Control Point (HACCP) system, has become the reference for international food
safety requirements. In this light it is imperative that the Codex guidelines for the application of the
HACCP system be unequivocal in their guidance; otherwise conflicts on food safety grounds could
arise.
The application of HACCP as a public policy requires definition of the role of government in the
utilization of the HACCP process. Food-exporting countries may require additional resources to
enhance their food industries to meet the requirements. Adequate steps should be taken to
facilitate food trade, such as assessment of food safety, training of personnel, technology transfer
and strengthening of the national food control system.
TRAINING
Food industries and food control regulatory agencies worldwide have shown interest in
implementing the HACCP system. A common understanding about terminology and approaches for
application will greatly enhance its adoption and will lead to a harmonized approach to food safety
among countries all over the world. Many countries have integrated or are in the process of
integrating the HACCP system into their regulatory mechanisms. In many countries, application of
the HACCP system to foods may become mandatory. As a result, there is a tremendous demand,
particularly in developing countries, for training in the HACCP system and for the development and
assembly of reference materials to support this training.
It is in this context that FAO has prepared this training package on the Codex General Principles of
Food Hygiene and the guidelines for the application of the HACCP system.
OBJECTIVES OF THE FAO APPROACH TO HACCP
The objectives of the FAO approach to HACCP include:
Promotion of the implementation of the HACCP system based on the harmonized Codex General
Principles of Food Hygiene and GMPs
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Development of a programme to train trainers who are in a position to train others who can apply
the knowledge gained
Identification and provision of appropriate reference and training materials on the application of
HACCP to support the training
Provision of training to individuals involved to varying degrees with the preparation, monitoring,
administration and verification of HACCP plans
Enhancement of the role of science and risk assessment in the development of HACCP systems
Creation of a framework for determining the equivalence of food safety control programmes
through a harmonized approach to the application of HACCP
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Module 2 - The Codex guidelines for the application of the
HACCP system
Objective
To introduce the trainees to the Codex guidelines for the application of the Hazard Analysis and
Critical Control Point (HACCP) system; to provide an overview of the system, the definitions and the
internationally accepted approach on which the subsequent HACCP training modules are based
Lecture
Aids
Handout
HACCP videos
References
Hazard Analysis and Critical Control Point (HACCP) system and guidelines for its application [Annex
to CAC/RCP 1-1969, Rev 3 (1997)] - reproduced below in shaded boxes
HACCP in microbiological safety and quality. International Commission on Microbiological

Specifications for Foods (ICMSF). Oxford Mead, UK, Blackwell Scientific Publications, 1988.
Time frame
One hour lecture

30 minutes video
Content
The HACCP system

Definitions
Principles of the HACCP system
Guidelines for the application of the HACCP system
Application of the HACCP principles
Training
Learning outcome
Participants should be familiar with the Codex guidelines for the application of the HACCP system
and the definitions and approach in these guidelines. This module provides a foundation for the
more in-depth HACCP training to follow.
THE HACCP SYSTEM
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[Excerpt from Preamble]
The HACCP system, which is science based and systematic, identifies specific hazards and measures for their
control to ensure the safety of food. HACCP is a tool to assess hazards and establish control systems that focus
on prevention rather than relying mainly on end-product testing and inspection. Any HACCP system is capable
of accommodating change, such as advances in equipment design, processing procedures or technological
developments.
DEFINITIONS
Control (verb): To take all necessary actions to ensure and maintain compliance with criteria established in the
HACCP plan.
Control (noun): To state wherein correct procedures are being followed and criteria are being met.
Control measure: Any action and activity that can be used to prevent or eliminate a food safety hazard or
reduce it to an acceptable level.
Corrective action: Any action to betaken when the results of monitoring at the CCP indicate a loss of control.
Critical Control Point (CCP): 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 criterion which separates acceptability from unacceptability.
Deviation: Failure to meet a critical limit.
Plow diagram: A systematic representation of the sequence of steps or operations used in the production or
manufacture of a particular food item.
HACCP: A system which identifies, evaluates, and controls hazards which are significant for food safety.
HACCP plan: A document prepared in accordance with the principles of HACCP to ensure control of hazards
which are significant for food safety in the segment of the food chain under consideration.
Hazard: A biological, chemical or physical agent in, or condition of, food with the potential to cause an averse
health effect.
Hazard analysis: The process of collecting and evaluating information on hazards and conditions loading to
their presence to decide which are significant for food safety and therefore should be addressed in the HACCP
plan.
Monitor: The act of conducting a planned sequence of observations or measurements of control parameters
to assess whether a CCP is under control.
Step: A point, procedure, operation or stage in the food chain including raw materials, from primary
production to final consumption.
Validation: Obtaining evidence that the elements of the HACCP plan are effective.
Verification: The application of methods, procedures, tests and other evaluations, in addition to monitoring to
determine compliance with the HACCP plan.
PRINCIPLES OF THE HACCP SYSTEM
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The HACCP system consists of the following seven principles:
Principle 1
Conduct a hazard analysis.
Identify the potential hazard(s) associated with food production at all stages, from primary
production, processing, manufacture and distribution until the point of consumption. Assess the
likelihood of occurrence of the hazard(s) and identify the measures for their control.
Principle 2
Determine the Critical Control Points (CCPs).
Determine the points, procedures or operational steps that can be controlled to eliminate the
hazard(s) or minimize its (their) likelihood of occurrence.
A "step" means any stage in food production and/or manufacture including the receipt and/or
production of raw materials, harvesting, transport, formulation, processing, storage, etc.
Principle 3
Establish critical limit(s).
Establish critical limit(s) which must be met to ensure the CCP is under control.
Principle 4
Establish a system to monitor control of the CCP.
Establish a system to monitor control of the CCP by scheduled testing or observations.
Principle 5
Establish the corrective action to be taken when monitoring indicates that a particular CCP is not under
control.
Principle 6
Establish procedures for verification to confirm that the HACCP system is working effectively.
Principle 7
Establish documentation concerning all procedures and records appropriate to these principles and their
application.
GUIDELINES FOR THE APPLICATION OF THE HACCP SYSTEM
Prior to application of HACCP to any sector of the food chain, that sector should be operating according to the
Codex General Principles of Food Hygiene, the appropriate Codex Codes of Practise, and appropriate food
safety legislation. Management commitment is necessary for implementation of an effective HACCP system.
During hazard identification, evaluation, and subsequent operations in designing and applying HACCP systems,
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consideration must be given to the impact of raw materials, ingredients, food manufacturing practices, role of
manufacturing processes to control hazards, likely end-use of the product, categories of consumers of concern,
and epidemiological evidence relative to food safety.
The intent of the HACCP system is to focus control at CCPs. Redesign of the operation should be considered if a
hazard which must be controlled is identified but no CCPs are found.
HACCP should be applied to each specific operation separately. CCPs identified in any given example in any
Codex Code of Hygienic Practice might not be the only ones identified for a specific application or might be of a
different nature.
The HACCP application should be reviewed and necessary changes made when any modification is made in the
product, process, or any step.
It is important when applying HACCP to be flexible where appropriate, given the context of the application,
taking into account the nature and the size of the operation.
APPLICATION OF THE HACCP PRINCIPLES
The application of HACCP principles consists of the following tasks as identified in the Logic Sequence for
Application of HACCP [see Figure].
Logic sequence for application of HACCP
1. Assemble HACCP team
The food operation should assure that the appropriate product specific knowledge and expertise is available
for the development of an effective HACCP plan. Optimally, this may be accomplished by assembling a
multidisciplinary team. Where such expertise is not available on site, expert advice should be obtained from
other Sources. The scope of the HACCP plan should be identified. The scope should describe which segment of
the food chain is involved and the general classes of hazards to be addressed (e.g. does it cover all classes of
hazards or only selected classes).
2. Describe product
A full description of the product should be drawn up, including relevant safety information such as:
composition, physical/chemical structure (including Aw, pH, etc.), packaging, durability and storage conditions
and method of distribution.
3. Identify intended use
The intended use should be based on the expected uses of the product by the end user or consumer. In
specific cases, vulnerable groups of the population, e.g. institutional feeding, may have to be considered.
4. Construct flow diagram
The flow diagram should be constructed by the HACCP team. The flow diagram should cover all steps in the
operation. When applying HACCP to a given operation, consideration should be given to steps preceding and
following the specified operation.
5. On-site verification of flow diagram
The HACCP team should confirm the processing operation against the flow diagram during all stages and hours
of operation and amend the flow diagram where appropriate.
6. List all potential hazards associated with each step, conduct a hazard analysis, and consider any measures
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to control identified hazards (see Principle 1)
The HACCP team should list all hazards that may be reasonably expected to occur at each step from primary
production, processing, manufacture, and distribution until the point of consumption.
The HACCP team should next conduct a hazard analysis to identify for the HACCP plan which hazards are of
such a nature that their elimination or reduction to acceptable levels is essential to the production of a safe
food.
In conducting the hazard analysis, wherever possible the following should be included:
- the likely occurrence of hazards and severity of their adverse health effects;
- the qualitative and/or quantitative evaluation of the presence of hazards;
- survival or multiplication of microorganisms of concern;
- production or persistence in foods of toxins, chemicals or physical agents; and
- conditions leading to the above.
The HACCP team must then consider what control measures, if any, exist which can be applied for each
hazard.
More then one control measure may be required to control a specific hazard(s) and more than one hazard may
be controlled by a specified control measure.
7. Determine Critical Control Points (see Principle 2)1
1
Since the publication of the decision tree by Codex, its use has been implemented many times for training
purposes. In many instances, while this tree has been useful to explain the logic and depth of understanding
needed to determine CCPs, it is not specific to all food operations, e.g. slaughter, and therefore it should be
used in conjunction with professional judgement, and modified in some cases.
There may be more than one CCP at which control is applied to address the same hazard. The determination of
a CCP in the HACCP system can be facilitated by the application of a decision tree [see Figure] which indicates a
logic reasoning approach. Application of a decision tree should be flexible, given whether the operation is for
production, slaughter, processing, storage, distribution or other. It should be used for guidance when
determining CCPs. This example of a decision tree may not be applicable to all situations, Other approaches
may be used. Training in the application of the decision tree is recommended.
Example of decision tree to identify critical control points
If a hazard has been identified at a step where control is necessary for safety, and no control measure exists at
that step, or any other, then the product or process should be modified at that step, or at any earlier or later
stage, to include a control measure.
8. Establish critical limits for each CCP (see Principle 3)
Optical limits must be specified and validated if possible for each Critical Control Point. In some cases more
than one critical limit will be elaborated at a particular step. Criteria often used include measurements of
temperature, time, moisture level, pH, Aw, available chlorine, and sensory parameters such as visual
appearance and texture.
9. Establish a monitoring system for each CCP (see Principle 4)
Monitoring is the scheduled measurement or observation of a CCP relative to its critical limits. The monitoring
procedures must be able to detect toss of control at the CCP. Further, monitoring should ideally provide this
Information in time to make adjustments to ensure control of the process to prevent violating the critical
limits. Where possible, process adjustments should be made when monitoring results indicate a trend towards
loss of control at a CCP. The adjustments should be taken before a deviation occurs. Data derived from
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monitoring must be evaluated by a designated person with knowledge and authority to carryout corrective
actions when indicated. If monitoring is not continuous, then the amount or frequency of monitoring must be
sufficient to guarantee the CCP d in control. Most monitoring procedures for CCPs will need to be done rapidly
because they relate to on-line processes and there will not be time for lengthy analytical testing. Physical and
chemical measurements are often preferred to microbiological testing because they may be done rapidly and
can often indicate the microbiological control of the product. All records and documents associated with
monitoring CCPs must be signed by the person(s) doing the monitoring and by a responsible reviewing
official(s) of the company.
10. Establish corrective actions (see Principle 5)
Specific corrective actions must be developed for each CCP in the HACCP system in order to deal with
deviations when they occur.
The actions must ensure that the CCP has been brought under control, Actions taken must also include proper
disposition of the affected product. Deviation and product disposition procedures must be documented in the
HACCP record keeping.
11. Establish verification procedures (see Principle 6)
Establish procedures for verification. Verification and auditing methods, procedures and tests, including
random sampling and analysis, can be used to determine if the HACCP system is working correctly The
frequency of verification should be sufficient to confirm that the HACCP system is working effectively.
Examples of verification activities include:
- Review of the HACCP system and its records;

- Review of deviations and product dispositions;
- Confirmation that CCPs are kept under control.
Where possible, validation activities should include actions to confirm the efficacy of all elements of the
HACCP plan.
12. Establish documentation and record keeping (see Principle 7)
Efficient and accurate record keeping is essential to the application of an HACCP system. HACCP procedures
should be documented. Documentation and record keeping should be appropriate to the nature and size of
the operation.
Documentation examples are:
- Hazard analysis;
- CCP determination;
- Critical limit determination.
Record examples are:
- CCP monitoring activities;

- Deviations and associated corrective actions;
- Modifications to the HACCP system.
TRAINING
Training of personnel in industry, government and academia in HACCP principles and applications, and
increasing awareness of consumers are essential elements for the effective implementation of HACCP. As an
aid in developing specific training to support an HACCP plan, working instructions and procedures should be
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developed which define the tasks of the operating personnel to be stationed at each Critical Control Point.
Cooperation between primary producer, industry, trade groups, consumer organizations and responsible
authorities is of vital importance. Opportunities should be provided for the joint training of industry and
control authorities to encourage and maintain a continuous dialogue and create a climate of understanding in
the practical application of HACCP.
The International Commission on Microbiological Specifications for Foods (ICMSF) monograph

HACCP in microbiological safety and quality, which describes the type of training required for various
target groups, is an example of a general approach to training. Its section on training (Chapter 8) is
equally applicable for training regarding other hazards besides those of a microbiological nature.
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Objective
To familiarize the trainees with the appropriate composition and knowledge required for an
effective HACCP team
Lecture
Exercise
Aids
Handout
Time frame
30 minutes lecture
One hour exercise
Content
The HACCP team

Training requirements
Resources
Approach
The instructor should identify three to four "HACCP teams" from among the participants to complete
the exercises in the following modules.
Exercise
The instructor should have the trainees consider and identify the appropriate composition and areas
of knowledge of an HACCP team and list these on flip charts or overhead transparencies.
Learning outcome
Participants should be able to identify the appropriate composition and knowledge required of an
HACCP team.
THE HACCP TEAM
Prior to proceeding to HACCP team selection, it is extremely important to have full commitment to
the HACCP initiative from management at all levels. Without a firm commitment, it may be difficult
or impossible to implement the HACCP plan. Before the study is begun, management should inform
all staff of the intention to implement HACCP. Both the company and the personnel involved in the
development of the HACCP plan must be totally committed to its implementation.
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The first task in the application of HACCP is to assemble a team having the knowledge and expertise
to develop an HACCP plan. The team should be multidisciplinary and could include plant personnel
from production/sanitation, quality assurance, laboratory, engineering and inspection. It is essential
to assemble the right blend of expertise and experience, as the team will collect, collate and
evaluate technical data and identify hazards and critical control points. In smaller establishments,
one person may fulfil several roles or even constitute the whole team. In the latter case the use of
external consultants or advice may be necessary.
The team should also include personnel who are directly involved in daily processing activities, as
they are more familiar with the specific variability and limitations of the operations. Their
representation will foster a sense of ownership among those who will have to implement the plan.
The HACCP team may require independent outside experts to advise on identified issues or problem
areas; for example, an expert in public health risks associated with the product or process may be
hired. However, complete reliance on outside sources is not recommended in developing the HACCP
plan, as such an approach may lack the support of the plant personnel.
Ideally the team should not be larger than six, although for some stages of the study it may be
necessary to enlarge the team temporarily with personnel from other departments, e.g. marketing,
research and development or purchasing and finance.
Team composition
When selecting the team, the coordinator should focus on:
Those who will be involved in hazard identification

Those who will be involved in determination of critical control points
Those who will monitor critical control points
Those who will verify operations at critical control points
Those who will examine samples and perform verification procedures
Knowledge required
Selected personnel should have a basic understanding of:
Technology and equipment used on the processing lines

Practical aspects of the food operations
The flow and technology of the process
Applied aspects of food microbiology
HACCP principles and techniques
Scope
One of the first tasks of the HACCP team should be to identify the scope of the HACCP plan. The
team should:
Limit the study to a specific product and process

Define the type(s) of hazards to be included (e.g. biological, chemical, physical)
Define the part of the food chain to be studied
Coordinator
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The team must include a coordinator (chairperson) whose role is to:
Ensure that the composition of the team meets the needs of the study
Suggest changes to the team if necessary
Coordinate the team's work
Ensure that the agreed established plan is followed
Share the work and responsibilities
Ensure that a systematic approach is used
Ensure that the scope of the study is met
Chair meetings so that team members can freely express their ideas
Represent the team before management
Provide management with an estimate of the time, money and labour required for the study
TRAINING REQUIREMENTS
It is essential that the team members be trained on the Codex General Principles of Food Hygiene
and the guidelines for the application of the HACCP system to ensure that the team will work
together with a common focus and use the same approach and terminology.
RESOURCES
The number of meetings will depend on the scope of the study and the complexity of the operation.
For efficiency, each meeting should have a specific objective, a planned agenda and a limited
duration. Meetings should be of sufficient frequency to maintain momentum, but spaced out
enough so there will be time between meetings for the gathering of any necessary information. It is
advantageous to keep the study proceeding at a reasonable pace to maintain the enthusiasm of the
team. A time-line should be developed and goals set for the accomplishment of team and individual
assignments.
To ensure success and demonstrate commitment, it is important for senior management to allocate
the necessary resources for the HACCP study. These may include:
Time for team meetings and administration

Costs of initial training
Necessary documents
Access to analytical laboratories
Access to information sources to answer questions raised by the team (e.g. universities, public and
private research authorities, government and public authorities, scientific and technical literature,
databases)
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Module 4 - Describe product and identify intended use -
Tasks 2 and 3
Objective
To introduce the trainees to the importance and considerations of a complete product description
and the identification of product ingredients and packaging materials
Lecture
Exercise
Aids
Reference
to CAC/RCP 1-1969, Rev. 3 (1997)]
Time frame
30 minutes lecture
Two hours exercise and review
Content
Product description
Identification of intended use
Examples/Forms 1 and 2
Exercise
The instructor should have each of the "HACCP teams" formed in Module 3 select a product and
describe all of the appropriate characteristics of the product/the ingredients and the packaging
materials using Forms 1 and 2. Each team should then present its findings using flip charts or
overhead transparencies.
Learning outcome
Trainees should be aware of the importance and considerations of a complete product description
and of the identification of product ingredients and packaging materials as a basis for understanding
the product and for identifying possible hazards.
PRODUCT DESCRIPTION
The HACCP team must make a complete description of each food product - including all
ingredients/processing methods/packaging materials/etc. used in the formulation of the product - to
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assist in the identification of all possible hazards associated with the product. In brief, the product
description should include the name of the product, ingredients and composition, potential to
support microbial growth (water activity [Aw], pH, etc.), brief details of the process and technology
used in production, appropriate packaging and intended use, including target population.
To complete this description as accurately as possible it is important that the team be familiar with
the properties, destination and use of the product. It is important, for example, to take into
consideration whether sensitive segments of the population may consume the product.
The HACCP team needs to have as complete an understanding of the product as possible. All details
of the product's composition and processing should be known and understood. This information will
be essential particularly for microbiological hazards because the product's composition needs to be
assessed in relation to the ability of different pathogens to grow.
The product to which the HACCP plan applies should be described on Forms 1 and 2.1
1
All of the forms to be used for the development of the HACCP plan can be found in Annex 1.
Before arriving at the specific details of the product description to be included in the forms, the
HACCP team should address the questions outlined below.
Formulation of product
What raw materials or ingredients are used?
Are microorganisms of concern likely to be present in or on these materials, and if so what are
they?
If food additives or preservatives are used, are they used at acceptable levels, and at those levels
do they accomplish their technical objective?
Will the pH of the product prevent microbial growth or inactivate particular pathogens?
Will the Aw of the product prevent microbial growth?
What is the oxidation/reduction potential (Eh) of the product?
Processing and preparation checklist
Can a contaminant reach the product during preparation, processing or storage?
Will microorganisms or toxic substances of concern be inactivated during cooking, reheating or

other processing?
Could any microorganisms or toxins of concern contaminate food after it has been heated?
Would more severe processing be acceptable or desirable?
Is the processing based on scientific data?
How does the package or container affect survival and/or growth of microorganisms?
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How much time is taken for each step of processing, preparation, storage and display?
What are the conditions of distribution?
Form 1 - Product description
See example.
1. Product name (common name) or group of product names (the grouping of like products is
acceptable as long as all hazards are addressed)
2. Important end-product characteristics: properties or characteristics of the food under review that
are required to ensure its safety (e.g. Aw, pH/preservatives)
3. How the product is to be used (i.e. ready-to-eat/further processing required, heated prior to
consumption)
4. Type of package, including packaging material and packaging conditions (e.g. modified
atmosphere)
5. Shelf-life, including storage temperature and humidity if applicable
6. Where the product will be sold (e.g. retail, institutions, further processing)
7. Labelling instructions (e.g. handling and usage instructions)
8. Special distribution control (e.g. shipping conditions)
Form 2 - Product ingredients and incoming material
See example.
List the product ingredients and incoming materials (including raw materials, product ingredients,
processing aids, packaging materials) that are used during the manufacturing process. This
exhaustive listing is required for proper identification of all potential hazards that could apply.
IDENTIFICATION OF INTENDED USE
The intended use of the product refers to its normal use by end-users or consumers. The HACCP
team must specify where the product will be sold, as well as the target group, especially if it happens
to be a sensitive portion of the population (i.e. elderly, immune-suppressed, pregnant women and
infants). The intended use of the product should be described in Form 1.
Example
FORM 1
PRODUCT DESCRIPTION
1. Product name(s) Canned mushroom

2. Important product characteristics of pH 4.8 to 6.5 (low acid)
end product (e.g. Aw, pH, etc.) Aw > 0.85 (high moisture)
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3. How the product is to be used Normally heated before serving (casseroles, garnishes, etc.) or
sometimes served unheated (salads, appetizers, etc.)
4. Packaging Hermetically sealed metal container
5. Shelf-life Two years plus, at normal retail shelf temperatures
6. Where the product will be sold Retail, institutions and food service. Could be consumed by high-risk
groups (infirm, immunocompromised, elderly)
7. Labelling instructions None required to ensure product safety
8. Special distribution control No physical damage, excess humidity or temperature extremes
DATE: ___________________ APPROVED BY: ____________________
Example
FORM 2
PRODUCT INGREDIENTS AND INCOMING MATERIAL
PRODUCT NAME(S): Canned mushroom
RAW MATERIAL PACKAGING MATERIAL DRY INGREDIENTS

Mushrooms Cans Salt
(domestic, white) Ends Ascorbic acid
Citric acid
OTHER
Water (municipal)
DATE:___________________ APPROVED BY:_________________
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Module 5 - Construct flow diagram and on-site confirmation
of flow diagram - Tasks 4 and 5
Objective
To introduce trainees to the construction of an accurate and complete flow diagram and plant
schematic and to its importance in understanding the specific processing operation and in
identifying potential hazards associated with the flow of raw materials from the point at which they
enter the plant, through processing to departure
Lecture
Exercise
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev. 3 (1997)]
Time frame
45 minutes lecture
Two hours exercise and report
Content
Flow diagram
Plant schematic
On-site confirmation of flow diagram and plant schematic
Examples, Forms 3 and 4
Exercise
The instructor should have each of the "HACCP teams" select a specific product with which the
trainees are familiar and prepare a theoretical flow diagram for the product using Form 3. Each team
should select a different product, and where possible the different products should represent
different sectors of the food industry in the country or region of training.
Learning outcome
Trainees should understand the importance of the construction of an accurate and complete flow
diagram and plant schematic in understanding the specific processing operation and in identifying
potential hazards associated with the flow of raw materials from the point at which they enter the
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plant, through processing to departure. The trainees should be able to construct a complete flow
diagram and plant schematic.
FLOW DIAGRAM (Task 4)
It is easier to identify routes of potential contamination, to suggest methods of control and to

discuss these among the HACCP team if there is a flow diagram. The review of the flow of raw
materials from the point at which they enter the plant, through processing to departure is the
feature that makes HACCP a specific and important tool for the identification and control of
potential hazards.
A process flow diagram must be constructed, using Form 3, following interviews, observation of
operations and other sources of information such as blueprints. The process flow diagram will
identify the important process steps (from receiving to final shipping) used in the production of the
specific product being assessed. There should be enough detail to be useful in hazard identification,
but not so much as to overburden the plan with less important points.
The example of Form 3 given at the end of the module shows a summary flow diagram. This example
is an indication of the process only and should not be taken as an attempt to give the complete
detail required. Remember to include all inputs such as water, steam and other process aids.
Each process step should be considered in detail and the information expanded to include all
relevant process data. Data may include but is not restricted to:
All ingredients and packaging used (biological, chemical, physical data)
Sequence of all process operations (including raw material addition)
Time/temperature history of all raw materials and intermediate and final products, including the
potential for delay
Flow conditions for liquids and solids
Product recycle/rework loops
Equipment design features
PLANT SCHEMATIC
A plant schematic must be developed, using Form 4, to show product flow and employee traffic
patterns within the plant for the specific product. The diagram should include the flow of all
ingredients and packaging materials from the moment they are received at the plant, through
storage, preparation, processing, packaging, finished product holding and shipping. The personnel
flow should indicate employee movement through the plant, including changing rooms, washrooms
and lunchrooms. The location of hand-washing facilities and footpaths (if applicable) should also be
noted.
This plan should aid in the identification of any areas of potential cross-contamination within the
establishment.
The plant schematic/floor and equipment layout should be considered in detail and assessed. Data
may include but is not restricted to:
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Personnel routes
Routes of potential cross-contamination
Area segregation
Flow of ingredients and packaging materials
Location of changing rooms, washrooms, lunchrooms and hand-washing stations
ON-SITE CONFIRMATION OF FLOW DIAGRAM AND PLANT SCHEMATIC (Task 5)
Once the process flow diagram and plant schematic have been drafted, they must be confirmed by
an on-site inspection for accuracy and completeness. This will ensure that all the major process
operations have been identified. It will also confirm the assumptions made with respect to the
movement of product and employees on the premises.
The draft flow diagram should be compared with the operation it represents on site. The process
should be reviewed at various times throughout the hours of operation to verify that the flow
diagram is valid throughout all operational periods. All members of the HACCP team should be
involved in the flow diagram confirmation. Adjustments should be made to the flow diagram, as
necessary based on the actual operations observed.
Example
FORM 3
FLOW DIAGRAM
MUSHROOM (Raw) EMPTY CANS/ENDS DRY INGREDIENTS WATER (municipal)

1. Receiving 2. Receiving 3. Receiving 4. Intaking
5. Storing 6. Storing 7. Storing
8. Dumping/Washing 9. Inspecting/Depalletizing 10. Dumping
11. Blanching 12. Conveying 13. Mixing
14. Conveying/Inspecting 15. Washing
16. Slicing/Dicing 17. Brine injecting
18. Foreign object removing 19. Filling
20. Weighing
21. Water filling
22. Head-spacing
23. End feeding/Closing/ Inspecting 24. Chlorinating
25. Thermal processing
26. Cooling
27. Conveying/Drying
28. Labelling/Storing
29. Shipping
DATE: _________________ APPROVED BY: ___________________
Example
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FORM 4
PLANT SCHEMATIC/FLOOR PLAN
The diagram should show the product flow and employee traffic patterns in each individual plant to identify
and eliminate cross-contamination potentials
DATE:_________________ APPROVED BY:__________________
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Module 6 - List all potential hazards associated with each
step, conduct a hazard analysis and consider any measures
to control identified hazards - Task 6/Principle 1
Objective
To provide the trainees with the necessary knowledge and abilities to identify all potential hazards in
a process and to consider the appropriate control measures
Lecture
Exercises
Aids
Reference
to CAC/RCP 1-1969, Rev. 3 (1997)]
Time frame
One hour lecture

30 minutes Exercise 1
Two hours Exercise 2
Content
Hazard analysis
Potential hazards
Sources of information for hazard analysis
How to conduct a hazard analysis
Control measures
Hazard assessment
Examples, Forms 2,3 and 5 to 7
Exercises
The instructor should lead a brainstorming session to prepare a list of potential biological, chemical
and physical hazards. Flip charts or overhead transparencies should be prepared showing all
biological, chemical and physical hazards identified.
The instructor should have each "HACCP team" identify the potential hazards associated with all
aspects of their selected products and their manufacture. The teams should then present their
results on Forms 5, 6 and 7 using flip charts or overhead transparencies.
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Learning outcome
The trainees should have the necessary knowledge and abilities to identify all potential hazards in a
process and to consider the appropriate control measures.
HAZARD ANALYSIS
Hazard analysis is the first HACCP principle. As the name HACCP implies, hazard analysis is one of the
most important tasks. An inaccurate hazard analysis would inevitably lead to the development of an
inadequate HACCP plan. Hazard analysis requires technical expertise and scientific background in
various domains for proper identification of all potential hazards. Knowledge of food science and
HACCP is necessary for the performance of a satisfactory hazard analysis.
The Codex Hazard Analysis and Critical Control Point (HACCP) system and guidelines for its
application [Annex to CAC/RCP 1-1969, Rev. 3 (1997)] defines a hazard as "A biological, chemical or
physical agent in, or condition of, food with the potential to cause an adverse health effect". The
hazard analysis is necessary to identify for the HACCP plan which hazards are of such a nature that
their elimination or reduction to acceptable levels is essential to the production of a safe food.
Hazards will vary among firms making the same products because of differences in:
Sources of ingredients
Formulations
Processing equipment
Processing and preparation methods
Duration of processes
Storage conditions
The experience, knowledge and attitudes of personnel
Therefore hazard analysis must be done on all existing and new products. Changes in raw materials,
product formulations, processing or preparation procedures, packaging, distribution and/or use of
the product will require review of the original hazard analysis.
The first step in the development of an HACCP plan for a food operation is the identification of all
potential hazards associated with the product at all stages from raw materials to consumption. All
biological, chemical and physical hazards should be considered.
POTENTIAL HAZARDS
Examples of potential biological, chemical and physical hazards are given in the accompanying
boxes. These lists can be used for assistance in the identification of potential hazards.
Biological hazards
Foodborne biological hazards include microbiological organisms such as bacteria, viruses, fungi and
parasites. These organisms are commonly associated with humans and with raw products entering
the food establishment. Many of-these microorganisms occur naturally in the environment where
foods are grown. Most are killed or inactivated by cooking, and numbers can be minimized by
adequate control of handling and storage practices (hygiene, temperature and time).
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EXAMPLES OF BIOLOGICAL HAZARDS
Bacteria (spore-forming)
Clostridium botulinum
Clostridium perfringens
Bacillus cereus
Bacteria (non-spore-forming)
Brucella abortis
Brucella suis
Campylobacter spp.
Pathogenic Escherichia coli (E. coli 0157:1-17, EHEC, EIEC, ETEC, EPEC)
Listeria monocytogenes
Salmonella spp. (S. typhimurium, S. enteriditis)
Shigella (S. dysenteriae)
Staphylococcus aureus
Streptococcus pyogenes
Vibrio cholerae
Vibrio parahaemolyitcus
Vibrio vulnificus
Yersinia enterocolitica
Viruses
Hepatitis A and E
Norwalk virus group
Rotavirus
Protozoa and parasites
Cryptosporidium parvum
Diphyllobothrium latum
Entamoeba histolytica
Giardia lamblia
Ascaris lumbricoides
Taenia solium
Taenia saginata
Trichinella spiralis
The majority of reported foodborne disease outbreaks and cases are caused by pathogenic bacteria.
A certain level of these microorganisms can be expected with some raw foods. Improper storage or
handling of these foods can contribute to a significant increase in the level of these microorganisms.
Cooked foods often provide fertile media for rapid growth of microorganisms if they are not
properly handled and stored.
Viruses can be foodborne/water-borne or transmitted to food by human, animal or other contact.

Unlike bacteria, viruses are unable to reproduce outside a living cell. They cannot therefore replicate
in food, and can only be carried by it.
Parasites are most often animal host-specific and can include humans in their life cycles. Parasitic
infections are commonly associated with undercooked meat products or contaminated ready-to-eat
food. Parasites in products that are intended to be eaten raw, marinated or partially cooked can be
killed by effective freezing techniques.
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Fungi include moulds and yeasts. Fungi can be beneficial, as they can be used in the production of
certain foods (e.g. cheese). However, some fungi produce toxic substances (mycotoxins) which are
toxic for humans and animals.
Chemical hazards
Chemical contaminants in food may be naturally occurring or may be added during the processing of
food. Harmful chemicals at high levels have been associated with acute cases of foodborne illnesses
and can be responsible for chronic illness at lower levels.
EXAMPLES OF CHEMICAL HAZARDS
Naturally occurring chemicals
Allergens
Mycotoxins (e.g. aflatoxin)
Scombrotoxin (histamine)
Ciguatoxin
Mushroom toxins
Shellfish toxins
Paralytic shellfish poisoning (PSP)
Diarrhoeic shellfish poisoning (DSP)
Neurotoxic shellfish poisoning (NSP)
Amnesic shellfish poisoning (ASP)
Pyrrolizidine alkaloids
Phytohaemagglutinin
Added chemicals
Polychlorinated biphenyls (PCBs)

Agricultural chemicals
Pesticides
Fertilizers
Antibiotics
Growth hormones
Prohibited substances
Direct
Indirect
Toxic elements and compounds
Lead
Zinc
Cadmium
Mercury
Arsenic
Cyanide
Food additives
Vitamins and minerals
Contaminants
Lubricants
Cleaners
Sanitizers
Coatings
Paints
Refrigerants
Water or steam treatment chemicals
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Pest control chemicals
From packaging materials
Plasticizers
Vinyl chloride
Printing/coding inks
Adhesives
Lead
Tin
Physical hazards
Illness and injury can result from hard foreign objects in food. These physical hazards can result from
contamination and/or poor practices at many points in the food chain from harvest to consumer,
including those within the food establishment.
SOURCES OF INFORMATION FOR HAZARD ANALYSIS
The information required concerning potential hazards associated with a specific food can be
obtained from a variety of sources including the following.
Reference texts
Depending on the experience and knowledge of the team, review of texts on HACCP, food
microbiology, food processing and plant sanitation may be useful. Such texts include:
Procedures to implement the HACCP system. International Association of Milk, Food and
Environmental Sanitarians (IAMFES), 1991. Ames, Iowa, USA
HACCP in microbiological safety and quality. International Commission on Microbiological

Specifications for Foods (ICMSF), 1989. Boston, Massachusetts, USA, Blackwell Scientific Publications
An evaluation of the role of microbiological criteria for foods and food ingredients. National
Research Council (NRC) Committee on Food Protection, 1985. Washington, DC, USA, National
Academy Press
Microorganisms in foods 1 - Their significance and methods of enumeration. ICMSF/1978. Toronto,

Ontario, Canada, University of Toronto Press
Microorganisms in foods 2 - Sampling for microbiological analysis: principles and specific

applications. ICMSF, 1986. Toronto, Ontario, Canada, University of Toronto Press (second edition)
Microbial ecology of foods. Volume 1, Factors affecting life and death of microorganisms; Volume
2, Food commodities. ICMSF, 1980. Orlando, Florida, USA/Academic Press
EXAMPLES OF PHYSICAL HAZARDS
Material Injury potential Sources

Glass Cuts, bleeding; may require surgery to find or Bottles, jars, light fixtures, utensils, gauge
remove covers, etc.
Wood Cuts, infection, choking; may require surgery to Field sources, pallets, boxes, building
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remove materials
Stones Choking, broken teeth Fields, buildings
Metal Cuts, infection; may require surgery to remove Machinery, fields, wire, employees
Insulation Choking; long-term if asbestos Building materials
Bone Choking Improper processing
Plastic Choking, cuts, infection; may require surgery to Packaging, pallets, equipment
remove
Personal Choking, cuts, broken teeth; may require surgery Employees
effects to remove
Texts with more specific information on particular food products and food processes are of course
available, depending on the product being considered. However, the best places to obtain access to
these texts would be universities and research institutions.
Company complaints file
This file should be thoroughly examined. The causes of complaints should be reviewed to assist in
hazard identification.
Scientific research and review papers
These papers can be a good source of specific and up-to-date information. They are published in the
many food journals from around the world. University librarians can help search their library indexes
as well as international data network systems for pertinent information on specific food products,
ingredients, processes and packages. Abstracts can be reviewed and the papers obtained, if
appropriate.
Epidemiological data on foodborne illness or disease
Where available, the HACCP team should review epidemiological data on foodborne illness or
disease in the country or region of concern.
The World Wide Web - homepages on Internet
Use of the Internet may provide additional information related to hazards in foods useful to the
analysis.
HOW TO CONDUCT A HAZARD ANALYSIS
After listing all the hazards (biological, chemical or physical) that may be reasonably expected at
each step from primary production, processing, manufacturing and distribution until the point of
consumption, the HACCP team should assess the potential significance or risk of each hazard by
considering its likelihood of occurrence and severity. The estimate of the risk of a hazard occurring is
based upon a combination of experience, epidemiological data and information in the technical
literature. Severity is the degree of seriousness of the consequences of a hazard if the hazard is not
controlled. There may be differences of opinion even among experts as to the risk of a hazard.
Hazards addressed under the HACCP system must be of such a nature that their prevention,
elimination or reduction to acceptable levels is essential to the production of safe foods. Hazards of
a low probability of occurrence and a low severity should not be addressed under the HACCP system
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but may be addressed through the good manufacturing practices (GMPs) contained in the Codex
General Principles of Food Hygiene.
A hazard analysis must be conducted for each existing product or process type and for each new
product. In addition, the hazard analysis done for a product or process type must be reviewed if any
changes are made in raw material, product formulation, preparation, processing, packaging,
distribution or intended use of the product.
For simplicity, the hazard analysis procedure has been broken down into the five following activities.
Applying them in a logical sequential manner will help to avoid any omissions. Once these five
activities have been completed, the HACCP team will have an extensive list of realistic potential
hazards on Forms 5 (biological hazards), 6 (chemical hazards) and 7 (physical hazards).
1. Review incoming material
In order to complete this activity, use the product description form (Form 1) and the list of product
ingredients and incoming material (Form 2).
Review the information on the product description form (Form 1) and determine how it could
influence your interpretation during the analysis of the process. For example, a ready-to-eat product
must not contain pathogens in amounts that may harm the consumer. On the other hand, if the end-
product is not a ready-to-eat product, some microorganisms may be acceptable in the end-product if
a further operation (e.g. cooking at home) will eliminate or reduce them to an acceptable level.
For each incoming material (ingredient or packaging material), write B, C or P directly on Form 2 (see
example) to indicate the potential of a biological, chemical or physical hazard, using the sources of
information described above. Each time a hazard is identified on Form 2, fully describe the hazard on
Form 5 if it is a biological hazard, on Form 6 if it is a chemical hazard and on Form 7 if it is a physical
hazard (see examples). Be specific when describing the hazards. For example, instead of writing
"bacteria in incoming ingredient", write "C. botulinum in incoming mushroom".
To facilitate the identification of potential hazards, answer the following questions for each incoming
material:
Could pathogenic microorganisms, toxins, chemicals or physical objects possibly be present on/in
this material?
Are any returned or reworked products used as ingredients? If yes, is there a hazard linked to that
practice?
Are preservatives or additives used in the formulation to kill microorganisms or inhibit their growth
or to extend shelf-life?
Are any ingredients hazardous if used in excessive amounts? (for example, nitrites could be a
chemical hazard if used excessively)
Could any ingredients, if used in amounts lower than recommended or if omitted altogether, result
in a hazard because of microbial vegetative or sporulated cell outgrowth?
Does the amount and type of acid ingredients and the resulting pH of the final product affect
growth or survival of microorganisms?
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Do the moisture content and the water activity (Aw) of the final product affect microbial growth?
Do they affect the survival of pathogens (parasites, bacteria, fungi)?
Should adequate refrigeration be maintained for products during transit or in holding?
2. Evaluate processing operations for hazards
The objective of this activity is to identify all realistic potential hazards related to each processing
operation, the product flow and the employee traffic pattern. This can be accomplished by reviewing
the process flow diagram (Form 3) and the plant schematic (Form 4) and modifying them as follows.
Assign a number to each processing step on the process flow diagram (Form 3) horizontally from
receiving to shipping (see example)
Examine each step on the process flow diagram and determine if a hazard (biological, chemical or
physical) exists for that operation
Write B for biological, C for chemical and P for physical beside each operation where such a hazard
has been identified (see example)
Review the plant schematic and employee traffic pattern on Form 4 in the same manner
The hazards identified on Forms 3 and 4 should be fully described on the hazard analysis forms
(Forms 5,6 and 7). The hazards should be related to the process. For example, if a biological hazard is
identified at storing, a letter B is placed close to the storing operation on the process flow diagram
(Form 3). Then "Improper storage temperature and humidity could result in increase of bacterial
load" should be written on the biological hazards form (Form 5).
To help in determining if a hazard exists, the following questions should be answered for each
processing step:
Could contaminants reach the product during this processing operation? (consider personnel
hygiene, contaminated equipment or material, cross-contamination from raw materials, leaking
valves or plates, dead ends [niches], splashing, etc.)
Could any microorganisms of concern multiply during this processing operation to the point where
they constitute a hazard? (consider temperature, time)
3. Observe actual operating practices
The HACCP team must be very familiar with every detail of the operation under investigation. Any
identified hazard must be recorded on the appropriate forms. The HACCP team shall:
Observe the operation long enough to be confident that it comprises the usual process or practices
Observe the employees (e.g. could raw or contaminated product cross-contaminate workers'
hands, gloves or equipment used for finished or post-process product?)
Observe hygienic practices and note the hazards
Analyse if there is a kill step (process which destroys all microorganisms) during the process (if so,
attention should be focused on potential cross-contamination after this processing operation)
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4. Take measurements
It may be necessary to take measurements of important processing parameters to confirm actual

operating conditions. Before measuring, make sure all devices are accurate and correctly calibrated.
The following are examples of some of the measurements that may be done, depending on the
product or process type:
Measure product temperatures, considering heat processing and cooling or chilling operations:
take measurements at the coldest point of the product when heat processing is evaluated and at the
warmest point of the product when cooling or chilling is evaluated (frequently at the centre of the
largest piece)
Measure time/temperature for cooking, pasteurizing, canning cooling (rates), storing, thawing,
reconstituting, etc.
Measure the dimension of the containers used to hold foods being cooled and the depth of the
food mass
Measure pressure, headspace, venting procedure, adequacy of container closure, initial

temperatures and any other factors critical to the successful delivery of a scheduled process
Measure the pH of the product during processing and also of the finished product, measuring pH
at room temperature whenever possible
Measure Aw of the product, running duplicate samples whenever possible (because of variations)
and remembering to make corrections for ambient temperatures, as necessary
Sample collections, inoculated-pack studies and microbial challenge studies could be necessary
when information on hazards is not otherwise available, for new products or for assessing expected
shelf-life.
5. Analyse the measurements
A qualified individual (with proper scientific background) must analyse the measurements to
interpret correctly the data collected. During the review and interpretation of the data, identified
hazards are fully described on Forms 5,6 and 7.
For example:
Plot time/temperature measurements using a computer or on graph paper
Interpret controlled data versus optimal growth temperatures of microorganisms and temperature
ranges at which they can multiply
Estimate and evaluate probable cooling rates; interpret cooling rates and compare the measured
temperatures with temperature ranges within which bacteria of concern multiply rapidly versus
temperature at which growth begins, slows and ceases (see reference material); determine whether
covers are used on containers to cool down foods (which may delay cooling but may also prevent
contamination); if containers are stacked against each other in a manner affecting cooling or heating
time/evaluate the impact
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Compare Aw and pH values to ranges at which pathogens multiply or are eliminated
Evaluate the shelf stability of the product
CONTROL MEASURES
After the hazard analysis is completed, the team must then consider what control measures, if any,
exist which can be applied for the control of each hazard. Control measures are any actions and
activities that can be used to prevent or eliminate a food safety hazard or reduce it to an acceptable
level. More than one measure may be required to control a specific hazard and more than one
hazard may be controlled by a specified measure.
Risk analysis methods can help to determine the level of control that should be implemented to
control a hazard.
Controlling biological hazards
Biological hazards can be controlled by limiting, removing or altering the growth kinetics
microorganisms need to survive, grow and reproduce. They can be destroyed, eliminated or
controlled by thermal processing (heating or cooking), freezing or drying.
Food growers or processors should have three objectives for their HACCP programmes with regard
to biological hazards:
To eliminate or significantly reduce the hazard

To prevent or minimize microbial growth and toxin production
To control contamination
The following are examples of control measures for biological hazards. For bacteria, control
measures include:
Temperature/time control (proper control of refrigeration and storage time, for example,
minimizes the proliferation of microorganisms)
Heating and cooking (thermal processing) for an adequate time and at an adequate temperature
to eliminate microorganisms or reduce them to acceptable levels
Cooling and freezing
Fermentation and/or pH control (for example, lactic acid-producing bacteria in yoghurt inhibit the
growth of other microorganisms that do not tolerate the acidic conditions and competition)
Addition of salt or other preservatives, which at acceptable levels may inhibit growth of
microorganisms
Drying, which may use enough heat to kill microorganisms or may remove enough water from the
food to prevent certain microorganisms from growing even when drying is conducted at lower
temperatures
Packaging conditions (vacuum packaging, for example, can be used to inhibit microorganisms that
require air to grow)
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Source control, i.e. control of the presence and level of microorganisms by obtaining ingredients
from suppliers who can demonstrate adequate controls over the ingredients (e.g. suppliers that
follow an HACCP programme)
Cleaning and sanitizing, which can eliminate or reduce the levels of microbiological contamination
Personal and hygienic practices, which can reduce the levels of microbiological contamination
For viruses, control measures include:
Thermal processing - heating or cooking methods such as steaming, frying or baking - which may
destroy many but not all viruses (the type of virus determines the appropriate controls)
Personal hygienic practices, including the exclusion of workers affected by certain viral diseases,
e.g. hepatitis
For parasites (worms and protozoa), control measures include:
Dietary control (infection from Trichinella spiralis in pork, for example, has decreased as a result of
better control of the pigs' diet and environment) - a method not always practical, however, for all
species of animals used for food (the diet and environment of wild fish, for example, cannot be
controlled)
Heating, drying or freezing
Salting or brining
Visual examination, which can be used in some foods to detect parasites (e.g. a procedure called
"candling" can be used for certain fish)
Good personal hygiene practices by food handlers, proper disposal of human faeces and proper
sewage treatment
Controlling chemical hazards
The following are examples of control measures for chemical hazards:
Source control, i.e. specifications for raw materials and ingredients and vendor certification that
harmful chemicals or levels are not present
Processing control, i.e. formulation control and the proper use and control of food additives and
their levels
Proper segregation of non-food chemicals during storage and handling
Control of incidental contamination from chemicals (e.g. greases, lubricants, water and steam
treatment chemicals, paints)
Labelling control, i.e. ascertaining that the finished product is accurately labelled with ingredients
and known allergens
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Controlling physical hazards
The following are examples of control measures for physical hazards:
Source control, i.e. specifications for raw materials and ingredients and vendor certification that
unacceptable physical hazards or levels are not present
Processing control, e.g. use of magnets, metal detectors, sifter screens, de-stoners, clarifiers, air
tumblers
Environmental control, i.e. ensuring that good manufacturing practices are followed and that no
physical contamination occurs to the food through the building, facilities, work surfaces or
equipment
HAZARD ASSESSMENT
The information gathered from the hazard analysis can be used to determine:
The severity of the hazard(s)

Risks associated with hazards identified at various stages of the operation
The points, steps or procedures at which control can be applied and a food safety hazard can be
prevented, eliminated or reduced to an acceptable level, i.e. critical control points (CCPs)
Severity
Severity is the magnitude of a hazard or the degree of consequences that can result when a hazard
exists. Disease-causing hazards can be categorized according to their severity. One system uses the
categories of:
High (life-threatening) - examples include illnesses caused by Clostridium botulinum, Salmonella

typhi, Listeria monocytogenes, Escherichia coli 0157:H7, Vibrio cholerae, Vibrio vulnificus, paralytic
shellfish poisoning, amnesic shellfish poisoning
Moderate (severe or chronic) - examples include illnesses caused by Brucella spp., Campylobacter
spp.. Salmonella spp., Shigella spp.. Streptococcus type A, Yersinia entercolitica, hepatitis A virus,
mycotoxins, ciquatera toxin
Low (moderate or mild) - examples include illnesses caused by Bacillus spp., Clostridium
perfringens, Staphylococcus aureus, Norwalk virus, most parasites, histamine-like substances and
most heavy metals that cause mild acute illnesses
Risk of hazard
Risk is a function of the probability of an adverse effect and the magnitude of that effect,
consequential to a hazard(s) in food. Degrees of risk can be categorized as high (H), moderate (M),
low (L) and negligible (N).
Identification of points, steps and procedures
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The above data can then be used to ascertain the appropriate locations to establish critical control
points, the degree of monitoring required and any changes in the process or ingredients that would
reduce the magnitude of the hazards that exist.
The Figure illustrates one method of assessing the significance of the hazard. By taking into account
the probability of occurrence (inverse to the degree of control) and the severity of consequences,
the significance of the hazard can be differentiated as satisfactory (Sa), minor (Mi), major (Ma) or
critical (Cr).
Two-dimensional health risk assessment model
Note: Likelihood of occurrence is inversely proportional; to the degree of control.
Example
FORM 2
RAW MATERIAL PACKAGING MATERIAL DRY INGREDIENTS

Mushrooms Cans Salt
(domestic, white) B, C, P B, C
B, C, P Ends Ascorbic acid
B, C B, C
Citric acid
B, C
OTHER
Water (municipal)
B, C
DATE:___________________ APPROVED BY:_________________
Example
FORM 3
FLOW DIAGRAM
MUSHROOM (Raw) EMPTY CANS/ENDS DRY INGREDIENTS WATER (municipal)

1. Receiving P 2. Receiving P 3. Receiving P 4. Intaking
5. Storing BP 6. Storing BCP 7. Storing BCP
8. Dumping/Washing 9. Inspecting/Depalletizing BP 10. Dumping
11. Blanching BC 12. Conveying BP 13. Mixing
14. Conveying/Inspecting CP 15. Washing
16. Slicing/Dicing CP 17. Brine injecting
18. Foreign object removing 19. Filling CP
20. Weighing B
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21. Water filling B
22. Head-spacing B
23. End feeding/Closing/ Inspecting BC 24. Chlorinating
25. Thermal processing B
26. Cooling B
2 7. Conveying/Drying B
28. Labelling/Storing B
29. Shipping B
DATE: _________________ APPROVED BY: ___________________
Example
FORM 5
HAZARD IDENTIFICATION: BIOLOGICAL HAZARDS
List all biological hazards related to ingredients, incoming material, processing, product flow, etc.
Identified biological hazards Controlled

at
INGREDIENTS/MATERIALS
Mushrooms
- could contain C. botulinum or other pathogenic organisms, yeast or moulds
Dry ingredients
- could contain bacterial spores - could contain rodent excrement
Water
- could contain coliform or spore-forming bacteria or other microorganisms
Empty cans/ends
- could arrive with serious internal double seam or body plate defects which could result in leakage
causing post-process contamination - could arrive with serious external double seam, body plate,
lacquer/coating defects or damage which could result in leakage causing post-process
contamination
PROCESS STEPS
5. Refrigerated mushroom storing
- improper storage temperature and humidity could result in increase of bacterial load
6. Can/end storing
- physical damage could result in serious double seam defects which could result in post-process
contamination with pathogenic bacteria
- could be contaminated with rodent excrement
7. Dry ingredient storing
9. Can depalletizing/inspection
- incorrect cans, physical damage or serious visible defects could result in leakage and post-process
11. Mushroom blanching
- improper cleaning of the blancher could result in the growth of thermophilic bacteria in
mushrooms
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- inadequate blanching could result in insufficient removal of gases which could cause stress on
double seams and perforations and lead to post-process contamination with pathogenic bacteria
- excessive blanching could result in textural changes to the mushrooms which could result in
inadequate thermal processing
12. Can conveying
- physical damage could result in the formation of defective double seams which could lead to
post-process contamination with pathogenic bacteria
20. Weighing
- overfilled cans not properly rejected for overweight could be underprocessed
21. Water filling
- inadequate temperature could result in low initial temperature and subsequent underprocessing
22. Headspacing
- insufficient headspace could result in excessive internal pressure during processing causing
distorted seams and leakage contamination
23. End feeding/closing/inspecting
- ends with damaged curls or other serious defects could result in leakage and contamination with
pathogenic bacteria
- improperly formed double seams could result in leakage and contamination with pathogenic
bacteria
25. Thermal processing
- non-validated process or vent schedule could result in underprocessing and survival of pathogenic
bacteria
- improper flow patterns in processing area could result in heat-processed cans being
contaminated with unclean water from unprocessed baskets of cans
- improper flew design in processing area could result in retort baskets missing the retort, allowing
growth of pathogenic bacteria
- excessive time lapse between closing and retorting could result in excessive buildup of bacteria,
some of which could survive the thermal process
- lack of adherence to time, temperature and other critical factors of the scheduled process or vent
schedule could result in inadequate heat treatment, allowing the survival of pathogenic bacteria
26. Cooling
- insufficient chlorinated cooling water could result in contamination of product during contraction
of cans
- excess chlorine in cooling water could result in corrosion and subsequent leakage and
contamination of product
- insufficient contact time between the chlorine and water could result in contamination of product
during contraction of the cans
- insufficient or excessive cooling could result in thermophilic spoilage or post-process
contamination because of leakage of corroded cans
27. Conveying/drying
- contaminated water from wet and unclean post-process equipment could contaminate product
28. Labelling/storing
- physical damage to cans could result in leakage and contamination of product
- high temperatures could result in growth of thermophilic bacteria
29. Shipping
- physical damage to cans could result in leakage and contamination of product
DATE: ________________ APPROVED BY: __________________
Example
FORM 6
HAZARD IDENTIFICATION: CHEMICAL HAZARDS
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List all chemical hazards related to ingredients, incoming material, processing, product flow, etc.
Identified chemical hazards Controlled at

Mushrooms
- could contain pesticide residues
- could contain heat-stable staphylococcal enterotoxin from improper handling
Water
- could be contaminated with dissolved heavy metals or toxic substances
Empty cans/ends
- cans/ends could be contaminated with greases/oils or cleaning chemicals
PROCESS STEPS
6. Can/end storing
- cans/ends could become contaminated with non-food chemicals as a result of improper storage
- food ingredients could become contaminated with non-food chemicals if improperly stored
11. Mushroom blanching
- cleaning-chemical residues could contaminate the mushrooms
- if live steam is used, boiler water additives could carry over and contaminate the product
14, 16, 19, 23. Mushroom conveying, mushroom slicing/dicing, filling, end feeding/closing
- cleaning-chemical residues or lubrificants could contaminate the mushrooms
DATE:_______________ APPROVED BY:_________________
Example
FORM 7
HAZARD IDENTIFICATION: PHYSICAL HAZARDS
List all physical hazards related to ingredients, incoming material, processing, product flow, etc.
Identified physical hazards Controlled

at
Mushrooms
- could be contaminated with harmful extraneous materials, e.g. glass, metal, plastic, wood
Empty cans
- could contain metal fragments, etc.
Dry ingredients
- could be contaminated with harmful extraneous materials
1. Mushroom receiving
- inadequate protection against harmful extraneous material could result in contamination of
mushrooms
2. Can/end receiving
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cans and ends
3. Dry ingredient receiving
ingredients
5. Mushroom storing
- inadequate protection against harmful extraneous material could result in contamination of raw
mushrooms
6. Can/end storing
- inadequate protection against harmful extraneous material could result in contamination
food ingredients
9. Can inspection/depalletizing
- empty cans coming from storage could contain harmful extraneous material which could result
in contamination of food product
12. Can conveying
- inappropriate design and protection against harmful extraneous material could result in
contamination of food product
14. Mushroom convening/inspection
- inappropriate design and protection against harmful extraneous material could result in
contamination of the mushrooms
16. Mushrooms slicing/dicing
- product could become contaminated with metal fragments from plant machinery
18. Foreign object removal
- inadequate monitoring of foreign object removal could allow foreign objects to contaminate the
product
19. Filling
- filled cans of mushrooms could become contaminated with metal fragments from the filling
equipment
DATE:_______________ APPROVED BY:_________________
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Module 7 - Determine critical control points - Task
7/Principle 2
Objective
To provide the trainees with the necessary knowledge and abilities to determine critical control
points in the HACCP system
Lecture
Exercises
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev 3 (1997)]
Time frame
One hour lecture

90 minutes exercise
60 minutes reports on exercise
Content
Critical control points

Review of identified hazards
Identification of CCPs
Parameters attached to CCPs
Examples, Forms 5 to 9
Exercise
The instructor should have each "HACCP team" complete Form 8 and identify the critical control
points in their selected operation. Each team will then present a report using overhead
transparencies of the completed Form 8, explaining the team's rationale for answering the
associated questions and the determination of CCPs.
Learning outcome
The trainees should have the necessary knowledge and abilities to determine critical control points,
which should be demonstrated during their reports on the exercise of using the Codex decision tree
to determine critical control points for their selected operations.
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CRITICAL CONTROL POINTS
The determination of critical control points (Task 7) is the second principle of HACCP. The Codex
guidelines define a critical control point (CCP) as "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".
If a hazard has been identified at a step where control is necessary for safety/and if no control
measure exists at that step or at any other, then the product or process should be modified at that
step, or at an earlier or later stage, to include a control measure.
The determination of a CCP in the HACCP system can be facilitated by the application of a decision
tree such as that included in the Codex Hazard Analysis and Critical Control Point (HACCP) system
and guidelines for its application (see Figure) which indicates a logical reasoning approach. The
application of the decision tree should be flexible according to the type of operation (production,
slaughter, processing, storage, distribution or other). The decision tree proposed by Codex may not
be applicable to all situations. Other approaches based on risk analysis may be used (see Annex 2).
REVIEW OF IDENTIFIED HAZARDS
Prior to determining CCPs, Forms 5, 6 and 7 should be reviewed to verify if any of the identified
hazards are fully controlled by the application of the Codex General Principles of Food Hygiene, good
manufacturing practices (GMPs) or good hygienic practices (GHPs). Furthermore, an on-site
verification must be carried out by the HACCP team to verify if those hazards are in fact controlled
by the application of GMP/GHP measures. If these hazards are controlled. Forms 5, 6 and 7 should
be filled in accordingly.
Hazards that are not fully controlled by GMPs should be analysed to determine whether they are
CCPs or not.
The decision tree consists of a systematic series of four questions designed to assess objectively
whether a CCP is required to control the identified hazard at a specific operation of the process.
Form 8 was developed from the decision tree and records all the appropriate information. This form
will serve as a reference document as it is the only document in which all the ingredients and all the
process operations are recorded together with the identified hazards. The form can be used for
reference in re-evaluating why a certain process operation was or was not designated as a CCP.
Question 1: Do control measure(s) exist?
Question 1 should be interpreted as asking whether or not the operator could use a control measure
at this operation or anywhere else in the food establishment to control the identified hazard.
Control measures could include, for example, temperature control, visual examination or use of a
metal detector.
If the response to Question 1 is "yes", in the Question 1 column on Form 8 clearly describe the
control measure(s) that the operator could use and proceed to Question 2 in the decision tree.
If the response is "no", i.e. a control measure does not exist, indicate how the identified hazard will
be controlled before or after the manufacturing process (outside the control of the operator). For
example, salmonella in raw poultry is controlled by the end-user. Alternatively, modify the
operation, process or product so that a control measure exists, and then proceed to the next
identified hazard in the process.
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Example of decision tree to identify critical control points
Question 2: Is the step specifically designed to eliminate or reduce the likely occurrence of the
identified hazard to an acceptable level?
Examples of procedures or operations in a food process that are designed specifically to identified
hazard include:
The retorting operation in a canning plant

Pasteurization
Chlorination of cooling water
The addition of a metal detector to a process line
A particular sanitation procedure performed by the operator to clean contact surfaces without
which the line would be stopped and the product would be contaminated
Acceptable and unacceptable levels need to be defined within the overall objectives in identifying
the CCPs of the HACCP plan.
If the process or operation is specifically designed to eliminate or reduce the likely occurrence of the
hazard to an acceptable level, answer "yes" under Question 2 on Form 8; such a step automatically
becomes a CCP and it should be identified as such in the last column of Form 8.
If the step is not specifically designed, answer "no" and proceed to the next question. Note that
Question 2 applies to processing operations only. For incoming materials as delivered, write "no"
and proceed to Question 3.
Question 3: Could contamination with the identified hazard occur in excess of acceptable levels or
increase to unacceptable levels?
In other words, is it likely that the hazard could have an impact on the safety of the product?
Question 3 refers to both probability (likelihood) and seriousness. The response is a judgement call
involving risk assessment which must be based on all of the information that has been gathered.
When answering "yes" or "no", it may be useful to explain in the Question 3 column the basis of the
response, for future reference. This would be especially useful in dealing with some hazards that
may be controversial.
If searches in the company's complaint files or scientific literature suggest that contamination with
the identified hazard may increase to an unacceptable level and result in an unacceptable health
hazard, answer "yes" and proceed to the next question in the decision tree.
If the contamination is not known to represent a substantial threat to human health or is not likely
to occur, answer "no" (not a CCP) and proceed to the next identified hazard in the process.
Question 4: Will a subsequent step eliminate the identified hazard or reduce likely occurrence to
an acceptable level?
This question is designed to identify those hazards that are known to represent a human health
threat or that could increase to an unacceptable level, and that will be controlled by a subsequent
process operation.
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If no subsequent operation is scheduled in the process to control this identified hazard, answer "no".
This particular process step becomes a CCP and should be identified as such in the last column of
Form 8.
If there is a subsequent operation or operations later in the process that will eliminate the identified
hazard or reduce it to an acceptable level, answer "yes". This step is not a CCP. However, you will
need to identify the subsequent step(s) that control(s) the hazard, thus proceeding to the next
identified hazard.
IDENTIFICATION OF CCPs
The last column in Form 8 is where CCPs are identified. CCPs should be identified numerically with a
category qualifier B, P or C for biological, physical or chemical. For example, if the first CCP identified
will control a biological hazard, it is recorded as CCP-1 (B). If the second CCP identified will control a
chemical hazard, it is recorded as CCP-2 (C). If the fifth CCP will control both a biological and a
chemical hazard at the same processing operation, it is recorded as CCP-5 (BC). This identification
protocol was developed to identify CCPs sequentially, independent of process operation numbering,
and to indicate readily to the user of the HACCP plan which type(s) of hazard need(s) to be
controlled at a particular process operation.
Once all hazards related to incoming materials and process operations have been analysed in Form 8
to determine where and how they can be controlled, the right-hand column ("Controlled at") of
Forms 5,6 and 7 is completed to identify where each hazard is controlled (see examples).
For hazards fully controlled by application of the Codex General Principles of Food Hygiene, write
"GMP/GHP" on Forms 5,6 and 7 and specify the applicable programme. For hazards for which the
answer to Question 3 is "no", write "not applicable" in the right-hand column on Forms 5,6 and 7.
Hazards identified on Forms 5, 6 and 7 are either controlled at some point in the food establishment
or cannot be controlled by the food operator. Each hazard not controlled by the operator should be
re-examined to determine whether or not a control measure could be established by the operator.
If yes, then the appropriate control measure should be identified and Form 8 should be reviewed
accordingly
If no, then report these hazards on Form 9 and indicate how these hazards could be addressed
outside the operator's manufacturing process
PARAMETERS ATTACHED TO CCPs
Once the CCPs have been established, the next step is to report the CCPs on Form 10 and to
document on the same form the parameters that will be monitored and controlled.
HACCP Principles 3 to 7 will lead to the development of the establishment's HACCP plan which will
be described on Form 10 (described in Modules 8 to 12). The critical limits, monitoring procedures,
deviation procedures, verification procedures and record keeping will be described in the HACCP
plan. This HACCP plan will provide the written guidelines that will be followed in the establishment.
Example
FORM 5
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Identified biological hazards Controlled at

Mushrooms - CCP5B
- could contain C. botulinum or other pathogenic organisms, yeast or moulds
Dry ingredients - CCP5B
- could contain bacterial spores - GMP/GHP
- could contain rodent excrement (Sanitation)
Water - GMP/GHP
- could contain coliform or spore-forming bacteria or other microorganisms (Premises)
Empty cans/ends - CCP4B
- could arrive with serious internal double seam or body plate defects which could result - CCP1B/CCP4B
in leakage causing post-process contamination
- could arrive with serious external double seam, body plate, lacquer/coating defects or
damage which could result in leakage causing post-process contamination
PROCESS STEPS
5. Refrigerated mushroom storing - GMP/GHP
- improper storage temperature and humidity could result in increase of bacterial load (Equipment)
6. Can/end storing - CCP1B
- physical damage could result in serious double seam defects which could result in post- - GMP/GHP
process contamination with pathogenic bacteria (Sanitation)
7. Dry ingredient storms - GMP/GHP
- could be contaminated with rodent excrement (Sanitation)
9. Can depalletizing/inspection - CCP1B
- incorrect cans, physical damage or serious visible defects could result in leakage and
post-process contamination with pathogenic bacteria
11. Mushroom blanching - GMP/GHP
- improper cleaning of the blancher could result in the growth of thermophilic bacteria in (Sanitation)
mushrooms - GMP/GHP
- inadequate blanching could result in insufficient removal of gases which could cause (Equipment)
stress on double seams and perforations and lead to post-process contamination with
pathogenic bacteria
- excessive blanching could result in textural changes to the mushrooms which could
result in inadequate thermal processing
12. Can conveying - GMP/GHP
- physical damage could result in the formation of defective double seams which could (Equipment)
lead to post-process contamination with pathogenic bacteria
20. Weighing - CCP2B
- overfilled cans not properly rejected for overweight could be underprocessed
21. Water filling - CCP5B
- inadequate temperature could result in low initial temperature and subsequent
underprocessing
22. Headspacing - CCP3B
- insufficient headspace could result in excessive internal pressure during processing
causing distorted seams and leakage contamination
23. End feeding/closing/inspecting - CCP4B
- ends with damaged curls or other serious defects could result in leakage and - CCP4B
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- improperly formed double seams could result in leakage and contamination with
pathogenic bacteria
25. Thermal processing - GMP/GHP (Records)
- non-validated process or vent schedule could result in underprocessing and survival of - GMP/GHP
pathogenic bacteria (Personnel)
- improper flow patterns in processing area could result in heat-processed cans being - CCP5B
contaminated with unclean water from unprocessed baskets of cans - CCP5B
- improper flow design in processing area could result in retort baskets missing the - CCP5B
retort, allowing growth of pathogenic bacteria
- excessive time lapse between closing and retorting could result in excessive buildup of
bacteria, some of which could survive the thermal process
- lack of adherence to time, temperature and other critical factors of the scheduled
process or vent schedule could result in inadequate heat treatment, allowing the survival
of pathogenic bacteria
26. Cooling - CCP6B
- insufficient chlorinated cooling water could result in contamination of product during - CCP6B
contraction of cans - GMP/GHP
- excess chlorine in cooling water could result in corrosion and subsequent leakage and (Sanitation,
contamination of product Personnel
- insufficient contact time between the chlorine and water could result in contamination - GMP/GHP
of product during contraction of the cans (Sanitation,
- insufficient or excessive cooling could result in thermophilic spoilage or post-process Personnel)
contamination because of leakage of corroded cans
27. Conveying/drying - GMP/GHP
- contaminated -water from wet and unclean post-process equipment could (Sanitation)
contaminate product
28. Labelling/storing - GMP/GHP
- physical damage to cans could result in leakage and contamination of product (Equipment,
- high temperatures could result in growth of thermophilic bacteria Personnel)
- GMP/GHP
(Personnel)
29. Shipping - GMP/GHP
- physical damage to cans could result in leakage and contamination of product (Personnel Training)
DATE: _______________ APPROVED BY: _________________
Example
FORM 6

Mushrooms See Form 9
- could contain pesticide residues See Form 9
- could contain heat-stable staphylococcal enterotoxin from improper
handling
Water - GMP/GHP (Premises)
- could be contaminated with dissolved heavy metals or toxic substances
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Empty cans/ends - GMP/GHP (Receiving, Storage &
- cans/ends could be contaminated with greases/oils or cleaning chemicals Transport)
PROCESS STEPS
6. Can/end storing - GMP/GHP (Sanitation)
- cans/ends could become contaminated with non-food chemicals as a
result of improper storage
7. Dry ingredient storing - GMP/GHP (Sanitation)
- food ingredients could become contaminated with non-food chemicals if
improperly stored
11. Mushroom blanching - GMP/GHP (Sanitation)
- cleaning-chemical residues could contaminate the mushrooms - GMP/GHP (Sanitation)
- if live steam is used, boiler water additives could carry over and
contaminate the product
14, 16, 19, 23. Mushroom conveying, mushroom slicing/dicing, filling, end - GMP/GHP (Sanitation)
feeding/closing
- cleaning-chemical residues or lubrificants could contaminate the
mushrooms
DATE:________________ APPROVED BY:__________________
Example
FORM 7
Identified physical hazards Controlled at

Mushrooms Not applicable (not likely to get
- could be contaminated with harmful extraneous materials, e.g. glass, through equipment and inspection
metal, plastic, wood belt)
Empty cans - GMP/GHP (Receiving, Storing &
- could contain metal fragments, etc. Transport)
Dry ingredients - GMP/GHP (Receiving, Storing &
- could be contaminated with harmful extraneous materials Transport)
1. Mushroom receiving - GMP/GHP (Premises)
- inadequate protection against harmful extraneous material could
result in contamination of mushrooms
2. Can/end receiving - GMP/GHP (Premises)
result in contamination of cans and ends
3. Dry ingredient receiving - GMP/GHP (Premises)
result in contamination of ingredients
5. Mushroom storing - GMP/GHP (Premises, Receiving,
- inadequate protection against harmful extraneous material could Storage & Transport)
result in contamination of raw mushrooms
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6. Can/end storing - GMP/GHP (Premises, Receiving,
result in contamination
7. Dry ingredient storing - GMP/GHP (Premises, Receiving,
result in contamination of food ingredients
9. Can inspection/depalletizing - CC1P
- empty cans coming from storage could contain harmful extraneous
material which could result in contamination of food product
12. Can conveying - GMP/GHP (Equipment)
- inappropriate design and protection against harmful extraneous
material could result in contamination of food product
14. Mushroom conveying/inspection - GMP/GHP (Premises, Equipment,
- inappropriate design and protection against harmful extraneous Personnel)
material could result in contamination of the mushrooms
16. Mushrooms slicing/dicing - GMP/GHP (Equipment)
- product could become contaminated with metal fragments from plant
machinery
18. Foreign object removal - GMP/GHP (Equipment)
- inadequate monitoring of foreign object removal could allow foreign
objects to contaminate the product
19. Filling - GMP/GHP (Equipment)
- filled cans of mushrooms could become contaminated with metal
fragments from the filling equipment
DATE:________________ APPROVED BY:__________________
Example
FORM 8
CCP DETERMINATION
Process step/ Category and identified Question 1 Question Question Question 4 CCP
incoming material hazard 2 3 number
Mushrooms as B - pathogens Yes N/A Yes Yes
delivered heat treatment thermal
processing
(25)
C -pesticides No
C - heat-stable toxins control is at
farms/growers
No
control is at
farms/growers,
storage
P - harmful extraneous Yes Yes No
material (HEM) visual inspection
and foreign
object removal
Empty cans as B -post-process Yes N/A Yes Yes
delivered contamination from can tear-down closing and
serious internal seam and inspection inspecting
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defects (23)
B - post-process Yes N/A Yes Yes
contamination from visual can inspecting/
serious external visible inspection depalletizing
can defects (9)
C - cleaning chemicals N/A Yes Yes
(GMPs) inspecting/
P-HEM depalletizing
(9)
Dry ingredients as B - bacterial spores Yes N/A Yes Yes
delivered heat treatment thermal
processing
(25)
B - rodent excrement
(GMPs)
P - HEM (GMPs)
Water at intake B - faecal coliform
(GMPs)
C - heavy metals and
other toxic chemicals
(GMPs)
1. Mushroom P - HEM (GMPs)
receiving
2. Can/end receiving P - HEM (GMPs)
3. Dry ingredient P - HEM (GMPs)
receiving
5. Mushrooms at B - growth of pathogens
receiving (GMPs)
P - HEM (GMPs)
6. Can/end storing B - post-process Yes No Yes Yes
contamination because visual Inspection inspecting/
of damaged cans/ends depalletizing
(9)
B - rodent excrement
(GMPs)
C - cleaning chemicals
(GMPs)
P - HEM (GMPs)
7. Dry ingredient B - rodent excrement
storing (GMPs)
(GMPs)
P - HEM (GMPs)
9. Can inspecting/ B - post-process Yes Yes Yes CCP 1
depalletizing contamination because visual inspection (BP)
of incorrect cans or
serious can defects
P-HEM Yes Yes Yes
visual inspection
11. Mushroom B - growth of
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blanching thermophiles, textural
changes affecting
thermal process (GMPs)
B - inadequate removal
of gases (GMPs)
(GMPs)
12. Can conveying B - post-process
contamination because
of damage (GMPs)
P - HEM (GMPs)
14. Mushroom C - cleaning chemicals
conveying/inspecting (GMPs)
P - HEM (GMPs)
16. Mushroom C - cleaning chemicals,
slicing/dicing lubrificants (GMPs)
P - HEM (GMPs)
18. Foreign object P - metal fragments
removal (GMPs)
19. Filling C - cleaning chemicals,
lubrificants (GMPs)
P - metal-fragments
(GMPs)
20. Weighing B - product heavier than Yes Yes Yes No CCP 2
maximum fill weight in weighing (B)
scheduled process
21. Water filling B - inadequate Yes No Yes Yes
temperature resulting in take IT just prior thermal
low initial temperature to thermal processing
(IT) for process process (25)
22. Head-spacing B - insufficient Yes Yes Yes No CCP 3
headspace resulting in (B)
distorted, potentially
leaking seams
23. End feeding/ B - post-process Yes Yes Yes No CCP 4
closing/inspection contamination because visual inspection (B)
of damaged ends
B - post-process Yes Yes Yes No
contamination because visual and
of improperly formed teardown can
seams inspection
C - cleaning chemicals,
lubrificants (GMPs)
25. Thermal B - non-validated process
processing or vent schedule could
result in underprocessing
and survival of
pathogenic bacteria
(GMPs)
B - improper flow
patterns for process
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could result in cross-
contamination (GMPs)
B - improper flow Yes Yes Yes No CCP 5
patterns for process use of heat- (B)
could allow bypass of sensitive
thermal process indicator
B - excessive delays Yes Yes Yes No
between closing and monitor time
retorting could result in lapse between
excessive growth of the two
pathogenic bacteria operations
B - lack of adherence to Yes Yes Yes No
time, temperature and. control critical
other critical factors of factors of
scheduled process or scheduled
vent schedule could process and vent
result in inadequate heat schedule
treatment and growth of
pathogens
26. Cooling B - post-process Yes Yes Yes No CCP 6
contamination during control chlorine (B)
cooling/contracting of level in cooling
cans because of water
insufficiently chlorinated
cooling water
B - post-process Yes Yes Yes No
contamination because control chlorine
of leakage resulting from level in cooling
corrosion from excessive water
chlorine cleaning
chemicals
B - insufficient chlorine
contact time could lead
to contamination (GMPs)
B - insufficient or
excessive cooling could
result in thermophilic
spoilage or
of corrosion leakage
(GMPs)
27. Conveying/drying B - unclean wet
equipment could lead to
contamination (GMPs)
28. Labelling/storing B - post-process
of damaged cans (GMPs)
B - growth of
thermopiles (GMPs)
29. Shipping B - post-process
of damaged cans (GMPs)
Instructions:
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Category and identified hazard: Determine if hazard is fully controlled by adherence to Codex
General Principles of Food Hygiene. If Yes, indicate "GMPs", describe and proceed to next identified
hazard. If No, proceed to Question 1.
Question 1: Do control preventive measure(s) exist? If No, this is not a CCP. Identify how the
hazard can be controlled before or after the process and proceed to the next identified hazard. If
Yes, describe and proceed to the next question.
Question 2: Is the operation specifically designed to eliminate or reduce the likely occurrence of
a hazard to an acceptable level? If No, proceed to Question 3. If Yes, this is a CCP; identify it as such
in the last column.
Question 3: Could contamination with identified hazard(s) occur in excess of acceptable level(s)
or could these increase to unacceptable levels? If No, this is not a CCP; proceed to the next
identified hazard. If Yes, proceed to Question 4.
Question 4: Will a subsequent operation eliminate identified hazard(s) or reduce likely

occurrence to an acceptable level? If No, this is a CCP; identify it as such in the last column. If Yes,
this is not a CCP; identify the subsequent step and proceed to the next identified hazard.
Example
FORM 9
UNADDRESSED HAZARDS
PRODUCT NAME(S): Canned mushrooms List any biological, chemical and/or physical hazards that
are not controlled at the establishment.
Unaddressed hazard from previous list Identified methods of addressing the hazard (e.g.
cooking instructions, public education, use by date,
etc.)
C - raw mushrooms could contain pesticide residues Upstream (farm-level) programmes such as:
A. Training persons who apply pesticides
B. Purchasing registered pesticides for growers
C. Auditing growers' application of pesticides and
records thereof
D. Requiring periodic pesticide residue analysis reports
C - raw mushrooms could contain heat-stable Upstream (farm-level) programmes such as:
staphylococcal enterotoxin from improper grower A. Training growers on handling of raw product
handling B. Ensuring growers' use of proper, effective
refrigeration equipment
C. Ensuring prompt delivery of raw product after
picking
DATE:________________ APPROVED BY:__________________
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Module 8 - Establish critical limits for each critical control
point - Task 8/Principle 3
Objective
To provide the trainees with the necessary knowledge and abilities to establish critical limits for the
critical control points in the HACCP system
Lecture
Exercises
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev. 3 (1997)]
Time frame
One hour lecture

One hour exercise
One hour reports on exercise
Content
Critical limits
Operating limits
Example, Form 10
Exercise
The instructor should have each "HACCP team" complete the "Critical limits" column on Form 10 and
identify the critical control points in their selected operation. Each team will then present a report,
using overhead transparencies, explaining the critical limits established for each CCP.
Learning outcome
The trainees should have the necessary knowledge and abilities to establish critical limits for each
CCP.
CRITICAL LIMITS
At each critical control point (CCP)/critical limits are established and specified.
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Critical limits are defined as criteria that separate acceptability from unacceptability. A critical limit
represents the boundaries that are used to judge whether an operation is producing safe products.
Critical limits may be set for factors such as temperature, time (minimum time exposure), physical
product dimensions, water activity, moisture level, etc. These parameters, if maintained within
boundaries, will confirm the safety of the product.
The critical limits should meet requirements of government regulations and/or company standards
and/or be supported by other scientific data. In some cases, food control regulatory authorities
provide information on which to establish the critical limits based on known food hazards and the
results of risk analysis (e.g. the time/temperature requirements for thermal processes such as
pasteurization, cooking, retorting; maximum number and size of physical contaminants, chemical
residues).
It is essential that the person(s) responsible for establishing critical limits have a knowledge of the
process and of the legal and commercial standards required for the product.
Sources of information on critical limits include:
Scientific publications/research data
Regulatory requirements and guidelines
Experts (e.g. thermal process authorities, consultants, food scientists, microbiologists, equipment
manufacturers, sanitarians, academics)
Experimental studies (e.g. in-house experiments, contract laboratory studies)
If the information needed to establish critical limits is not available, a conservative value should be
selected or regulatory limits used. Rationale and reference materials used should be recorded. The
materials become part of the support documentation of the HACCP plan.
Once the critical limits are established, they are recorded on Form 10 together with the description
of the process step, CCP number and hazard description.
Examples of critical limits are included in Table 1. Other examples include the following:
An acidified beverage that requires a hot fill and hold as the thermal process may have acid
addition as the CCP. If insufficient acid is added or if the temperature of the hot fill is insufficient, the
product would be underprocessed with potential for the growth of pathogenic spore-forming
bacteria. The critical limits in this case would apply to pH and fill temperature.
Beef patties are cooked in a continuous oven. More than one critical limit is set to control the
hazard of heat-resistant pathogen survival. The critical limits could be: minimum internal
temperature of the patty; oven temperature; time in the oven determined by the belt speed in rpm;
patty thickness. These examples illustrate that CCPs may be controlled by more than one critical
limit.
OPERATING LIMITS
If monitoring shows a trend towards lack of control at a CCP, operators can take action to prevent
loss of control of the CCP before the critical limit is exceeded. The point at which operators take such
action is called the "operating limit". Operating limits should not be confused with critical limits.
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Often, the operating limits are more restrictive and are established at a level that would be reached
before the critical limit is violated; i.e. they should prevent a deviation from critical limits.
Table 1 EXAMPLES OF CRITICAL LIMITS
Hazard CCP Critical limit

Bacterial Pasteurization 72C for at least 15 seconds
pathogens
(non-sporulating)
Metal fragments Metal detector Metal fragments larger than 0.5 mm
Bacterial Drying oven Aw<0.85 for controlling growth in dried food products
pathogens
Excessive nitrite Curing Maximum 200 ppm sodium nitrite in finished product
room/brining
Bacterial Acidification step Maximum pH of 4.6 to control Clostridium botulinum in acidified
pathogens food
Food allergens Labelling Label that is legible and contains a listing of correct ingredients
Histamine Receiving Maximum of 25 ppm histamine levels in evaluation of tuna for
histaminea
a
Regulatory action level is 50 ppm, but histamine levels may increase during processing. Therefore
industry may want to set lower histamine critical limits at receiving.
An operator may observe a trend towards loss of control, such as the failure of a cooker to maintain
the desired temperature consistently. Observing a trend towards loss of control early and acting on
it can save product rework or, worse yet, product destruction. When the critical limit is exceeded,
corrective action is required (see Task 10/Principle 5). For this reason a processor may choose to
operate a CCP at a limit more conservative than the critical limit. Such operating limits may be
selected for various reasons:
For quality reasons, e.g. higher cooking temperatures for flavour development or product texture
To avoid exceeding a critical limit, e.g. using a cooking temperature higher than the critical limit as
an alarm point, to warn the operator that the temperature is approaching the critical limit and needs
adjusting
To account for normal variability, e.g. setting a cooker with 2C variability at least 2C above the
critical limit to avoid violating it
The process may need to be adjusted when the operating limit is exceeded. Such actions are called
"process adjustments" (see Figure). A processor should use these adjustments to prevent loss of
control and the need for product disposition. Table 2 shows examples of critical limits versus
operating limits.
Critical and operating limits
Table 2 CRITICAL LIMITS VERSUS OPERATING LIMITS
Process Critical limit Operating limit

Acidification pH 4.6 pH 4.3
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Drying 0.84 Aw 0.80 Aw
Hot fill 80C 85C
Slicing 2 cm 2.5 cm
Example
FORM 10
HACCP PLAN
Process step CCP Hazard description Critical limits Monitoring Deviation HACCP
No. procedures procedures records
9. Can inspecting/ CCP Post-process Can manufacturer's
depalletizing 1B contamination specifications
resulting from No defects
incorrect cans,
damaged cans and
serious defects
CCP Harmful extraneous No HEM
1P materials (HEM) ,e.g.
wood, glass, metal
fragments
20. Weighing CCP Overfilling resulting Maximum fill weight as
2B in underprocessing specified in the scheduled
process
22. Head spacing CCP Insufficient Minimum headspace as
3B headspace resulting specified in the scheduled
in excessive internal process
pressure and
distorted seams
23. End feeding/ CCP Post-process Can manufacturer's
closing/inspecting 4B contamination specifications
resulting from No serious problems
damaged or
defective ends or
improper double
seams
25. Thermal CCP Inadequate heat Maximum time lapse
processing 5B treatment between closing and retort
up, minimum IT, minimum
time and temperature for
vent and cook as specified
in the scheduled process
Heat-sensitive indicator
changes colour
26. Cooling CCP Post-process Detectable residual
6B contamination of chlorine levels to 2 ppm in
product from cooling the cooling water
water
DATE:______________ APPROVED BY:____________________
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Module 9 - Establish a monitoring system for each critical
control point - Task 9/Principle 4
Objective
To provide the trainees with the necessary knowledge and abilities to establish a monitoring system
for each critical control point in the HACCP plan
Lecture
Exercise
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev 3 (1997)]
Time frame
30 minutes lecture
30 minutes exercise
Content
Monitoring
Design of a monitoring system
Example, Form 10
Exercise
The instructor should have each "HACCP team" complete the monitoring procedures column on
Form 10 and identify the monitoring procedures for each CCP. Each team will then present a report,
using overhead transparencies, explaining the monitoring procedures.
Learning outcome
The trainees should have the necessary knowledge and abilities to establish monitoring procedures
for each CCP established.
MONITORING
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application defines monitoring as "the act of conducting a planned sequence of observations or
measurements of control parameters to assess whether a CCP is under control".
Monitoring is the scheduled measurement or observation of a CCP relative to its critical limits. The
monitoring procedures must be able to detect loss of control at the CCP. Therefore, it is important to
specify fully how, when and by whom monitoring is to be performed.
The purposes of monitoring include the following:
To measure the performance level of the system's operation at the CCP (trend analysis)
To determine when the performance level of the system results in a loss of control at the CCP, e.g.
when there is deviation from a critical limit (see Task 10)
To establish records that reflect the performance level of the system's operation at the CCP to
comply with the HACCP plan
Monitoring is the process that the producer relies upon to show that the HACCP plan is being
followed. It provides the producer with accurate records enabling the producer to show that the
conditions of production are in compliance with the HACCP plan.
Ideally, monitoring should provide information in time to allow any adjustments to the process, thus
preventing loss of control of the process and critical limits being exceeded. In practice, operating
limits (as discussed in Section 3, Module 8) are often used to provide a safety margin which allows
extra time to adjust the process before the critical limit is exceeded.
There are many ways to monitor the critical limits of a CCP. Monitoring can be done on a continuous
(100 percent) or batch basis. Where feasible, continuous monitoring is preferred, as it is more
reliable. Continuous monitoring is designed to detect shifts around target levels, thus allowing
correction of these shifts and preventing deviation beyond the critical limits. Where monitoring is
not continuous, the amount and frequency of monitoring should be sufficient to provide an
acceptable level of assurance that the CCP is under control. The higher the frequency of monitoring
(i.e. the less time between each instance of monitoring), the less product will be affected when
there is a loss of control at the CCP.
A further consideration when establishing a monitoring system is the time taken to achieve a result
from the monitoring procedure. Most monitoring procedures will need to be rapid, as they relate to
on-line processes which in general do not leave time for lengthy analytical testing. For this reason
physical and chemical measurements or visual observations, which may be done rapidly, are often
preferred to microbiological testing. Examples of some physical and chemical measurements taken
to monitor critical limits are temperature, time, pH, moisture level and water activity (A). It is
essential that all monitoring equipment be properly calibrated for accuracy.
Monitoring procedures performed during the operation should result in written documentation
which will serve as an accurate record of the operating conditions. Monitoring records provide
information on conditions during the operation and allow for action to be taken in the event of a loss
of control or for a process adjustment to be made if there is a trend towards a loss of control.
Accurate monitoring procedures and associated records provide information to the operator and
allow for decisions to be made on the acceptability of the lot at a particular stage in the process. To
complete the monitoring process, data derived from monitoring should be reviewed and evaluated
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by a designated person or persons with knowledge and authority to carry out corrective actions
when indicated (see Task 10).
The worst scenario is that in which monitoring procedures indicate that any one of the critical limits
is exceeded, which indicates loss of control of a CCP. This lack of control is considered to be a
deviation resulting in the production of a hazardous or unsafe product. The situation requires
immediate identification and control of the affected product and corrective action.
Responsibility for monitoring should be clearly defined, and individuals must be adequately trained
in the monitoring procedures for the CCP for which they are responsible. They must also fully
understand the purpose and importance of monitoring. The individual should have ready access to
the monitoring activity, must be unbiased in monitoring and must accurately report the monitoring
activity.
DESIGN OF A MONITORING SYSTEM
The control measures discussed at Task 6 are intended to control a hazard or hazards at each CCP.
The monitoring procedures will determine if the control measures are being implemented and
ensure that critical limits are not exceeded. The monitoring specifications for each CCP should be
written on Form 10 (see example). They should give information on:
What will be monitored

How critical limits and preventive measures will be monitored
Frequency of monitoring
Who will monitor
What will be monitored?
Monitoring may mean measuring a characteristic of the product or of the process to determine
compliance with a critical limit. Examples include:
Measurement of the time and temperature of a thermal process

Measurement of cold-storage temperatures
Measurement of pH
Measurement of Aw
Monitoring may also mean observing whether a control measure at a CCP is being implemented.
Examples include:
Visual examination of sealed cans

Verification of vendor's certificates of analysis
It is also important to remember at this stage that monitoring procedures may determine if
operating limits are being adhered to rather then the critical limits, so that the operator has time to
make any necessary process adjustment.
How will critical limits and preventive measures be monitored?
Deviation from a critical limit should be detected in as short a time as possible to allow corrective
action to limit the amount of adversely affected product. To ensure accurate knowledge of
conditions during the process, the monitoring procedures should provide rapid (real-time) results
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and should not involve lengthy analytical procedures. Microbiological testing is rarely effective for
monitoring CCPs for this reason, and also because large sample-sizes would be needed to find
microorganisms at levels that may cause illness. Instead, physical and chemical measurements (e.g.
pH, Aw, time, temperature) are preferred, as they can be done rapidly and can often be related to
the microbiological control of the process.
Effective monitoring depends upon the proper selection and calibration of the measuring
equipment. The equipment used for monitoring CCPs will vary depending on the attribute being
monitored. Examples of monitoring equipment include:
Thermometers
Clocks
Scales
pH-meters
Water activity meters
Chemical analytical equipment
Equipment should undergo periodic calibration or standardization as necessary to ensure accuracy.

However, the variability of the equipment should be considered in setting the critical limits.
Operators should be trained in proper use of the monitoring equipment and should be provided with
a clear description of how the monitoring should be carried out. The details should be relevant to
the type of monitoring performed; for example, it would be important to specify that temperature
measurements for a heating process should be made at the coldest point of the process, while
temperature measurements for a cooling process should be made at the warmest part.
Monitoring frequency
Monitoring can be continuous or non-continuous. Where possible, continuous monitoring is

preferred; it is possible for many types of physical or chemical methods. Examples of continuous
monitoring include:
Measuring the time and temperature of a pasteurization or retorting process

Checking each package of frozen, mechanically chopped spinach with a metal detector
Monitoring the container closures on glass jars by passing them under a dud detector
For continuous monitoring to be effective, it is necessary to review the monitoring results

periodically and take action when appropriate. The length of time between checks is important as it
is directly related to the amount of product involved when there is a deviation from a critical limit.
Where non-continuous monitoring is the chosen system, the frequency of monitoring should be
determined from historical knowledge of the product and process. When problems are detected the
frequency of monitoring may need to be increased until the cause of the problem is corrected. The
following questions will help to determine the correct frequency:
How much does the process normally vary?

How close is the operating limit to the critical limit?
How much product is the processor prepared to risk if there is deviation from the critical limit?
Who will monitor?
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In developing the HACCP plan consideration should be given to assigning responsibility for
monitoring. Individuals assigned to monitor CCPs may include:
Line personnel
Equipment operators
Supervisors
Maintenance personnel
Quality assurance personnel
Once assigned, the individual responsible for monitoring a CCP must:
Be adequately trained in the CCP monitoring techniques

Fully understand the importance of CCP monitoring
Have ready access (be close) to the monitoring activity
Accurately report each monitoring activity
Have the authority to take appropriate action as defined in the HACCP plan
Immediately report critical limit deviation
It is important that the responsible individual report all unusual occurrences and deviations from
critical limits immediately to make sure that process adjustments and corrective actions are made in
a timely manner. This person should record and sign all monitoring results and occurrences
associated with monitoring CCPs. Records and documents associated with monitoring CCPs should
also be signed by one or more responsible reviewing officials of the company.
Example
FORM 10
HACCP PLAN
Process step CCP Hazard Critical limits Monitoring Deviation HACCP

No. description procedures procedures records
9. Can inspecting/ CCP Post-process Can manufacturer's Continuous visual
depalletizing 1B contamination specifications monitoring by the
resulting from No defects depalletizer operator
incorrect cans,
damaged cans
and serious
defects
CCP Harmful No HEM Continuous visual
1P extraneous monitoring by the
materials (HEM) depalletizer operator
,e.g. wood, glass,
metal fragments
20. Weighing CCP Overfilling Maximum fill weight On-line check-weigher
2B resulting in as specified in the to eject over- and
underprocessing scheduled process underfilled cans after
filling
22. Head spacing CCP Insufficient Minimum Headspace check
3B headspace headspace as done after closing on
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resulting in specified in the consecutive samples,
excessive internal scheduled process at least, one from
pressure and each head, by seam
distorted seams mechanic at start-up
and every hour
23. End feeding/ CCP Post-process Can manufacturer's Continuous visual
closing/inspecting 4B contamination specifications monitoring of ends by
resulting from No serious problems closing machine
damaged or operator
defective ends or
improper double
seams
Visual examination of
sealed cans at start-
up, after severe jam-
ups and after
adjustments as well as
every half hour, and
tern-down
examination every 4
hours on consecutive
samples, one from
each head, by closing
machine operator
25. Thermal CCP Inadequate heat Maximum time QC to check on time
processing 5B treatment lapse between lapse between closing
closing and retort and retort up (at least
up, minimum IT, once per period)
minimum time and Retort operator to
temperature for check on IT, time and
vent and cook as temperature for vent
specified in the and cook and
scheduled process thermograph Busse
Heat-sensitive unloader to check
indicator changes heat-sensitive
colour indicator tape Busse
unloader to segregate
product if no indicator
tape or no colour
change of indicator
tape
26. Cooling CCP Post-process Detectable residual Chlorine checks every
6B contamination of chlorine levels to 2 hour at exit of cooling
product from ppm in the cooling water
cooling water water
DATE:______________ APPROVED BY:____________________
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Module 10 - Establish corrective actions - Task 10/Principle
5
Objective
To provide the trainees with the necessary knowledge and abilities to establish effective procedures
for corrective actions when there are deviations from critical limits at critical control points
Lecture
Exercise
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev. 3 (1997)]
Time frame
45 minutes lecture
45 minutes exercise
Content
Establishing corrective actions

Deviation
Corrective action procedures
Deviation and corrective action records
Deviation procedures
Example, Form 10
Exercise
The instructor should have each "HACCP team" complete the deviation procedures column on Form
10 and identify the deviation procedures for the CCPs. The teams should also consider and describe
generic deviation procedures that are applicable to all critical limit deviations. Each team will then
present its report, using overhead transparencies, explaining the deviation procedures established
for each CCP.
Learning outcome
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The trainees should have the necessary knowledge and abilities to establish effective deviation and
corrective action procedures to be followed in the event of deviations from critical limits at CCPs.
ESTABLISHING CORRECTIVE ACTIONS
application defines corrective action as "any action to be taken when the results of monitoring at the
CCP indicate a loss of control".
Loss of control is considered as a deviation from a critical limit for a CCP. Deviation procedures are a
predetermined and documented set of actions to be implemented when a deviation occurs. All
deviations must be controlled by taking action(s) to control the non-compliant product and to
correct the cause of non-compliance. Product control includes proper identification, control and
disposition of the affected product. The control and disposition of the affected product and the
corrective action(s) taken must be recorded and filed.
The diversity of possible deviations at each CCP means that more than one corrective action may be
necessary at each CCP. When a deviation occurs, it will most likely be noticed during the routine
monitoring of the CCP. Deviation and corrective action procedures are prescribed so that employees
responsible for CCP monitoring understand and are able to perform the appropriate corrective
action(s) in the event of a deviation.
Process adjustments should also be made when monitoring results indicate a trend towards loss of
control at a CCP. Action should be taken to bring the process within the operating limits before a
deviation occurs.
The deviation procedures at each CCP should be recorded on Form 10 (see example).
DEVIATION
The Codex guidelines for the application of the HACCP system define deviation as "failure to meet a
critical limit". Procedures should be in place to identify, isolate and evaluate products when critical
limits are exceeded. Inadequate deviation procedures could result in unsafe products and the
eventual recurrence of the deviation.
The producer should control deviations as follows.
Identification of deviation
The producer should have a system in place to identify deviations when they occur.
Isolation of affected product
The producer should have effective procedures in place to isolate, mark clearly and control all
product produced during the deviation period.
All affected product, i.e. that processed since the last point at which the CCP was known to be
under control, should be isolated.
Isolated product should be clearly marked, e.g. with firmly attached tags, with information
including: hold number, product, amount, date held, the reason for the hold, the name of the person
holding the product.
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The producer should maintain control of the product from the hold date to the date of final
disposition.
Evaluation of affected product
Product evaluation should be conducted by a qualified person. For example, thermal process
deviations would be evaluated by a competent process authority or reference centre.
The evaluation of affected product should be adequate to detect potential hazards, i.e. it should be
ensured that sampling is adequate to identify the extent of the problem, that the tests are
appropriate, that the judgement is based on sound science and that the product is not released until
the evaluation has determined that no potential hazard exists.
CORRECTIVE ACTION PROCEDURES
Since the main reason for implementing HACCP is to prevent problems from occurring, corrective
action should be taken to prevent deviation at a CCP. Corrective action should be taken following
any deviation to ensure the safety of the product and to prevent recurrence of the deviation.
Corrective action procedures are necessary to determine the cause of the problem, take action to
prevent recurrence and follow up with monitoring and reassessment to ensure that the action taken
is effective. If the corrective action does not address the root cause of the deviation, the deviation
could recur.
Reassessment of the hazard analysis or modification of the HACCP plan may be necessary to
eliminate further occurrence.
The producer's corrective action programme should include the following:
Investigation to determine the cause of the deviation

Effective measures to prevent recurrence of the deviation
Verification of the effectiveness of the corrective action taken
DEVIATION AND CORRECTIVE ACTION RECORDS
Records should be available to demonstrate the control of products affected by the deviation and
the corrective action taken. Adequate records permit verification that the producer has deviations
under control and has taken effective corrective action.
The following information should be recorded in the deviation and corrective action records.
Deviation
Product/code
Date produced/held/released
Reason for the hold
Amount of product held
Results of evaluation: amount analysed, analysis report, number and nature of defects
Signature of personnel responsible for hold and evaluation
Disposition of held product (if appropriate)
Signed authorization for disposition
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Corrective action
Cause of deviation identified

Corrective action taken to correct deficiency
Follow-up/assessment of effectiveness of corrective action
Date
Signature of person responsible
DEVIATION PROCEDURES
The following are some examples of deviation procedures for different products.
Canned vegetables
The scheduled thermal process for canned vegetables is not met because of a loss in steam pressure
during retorting. The operator notices the deviation before the end of the process time and refers to
the written deviation procedure.
The deviation procedure states that the operator should add on a required additional processing
time. Additional minutes are added on. This is only part of the corrective action. The deviation
procedure also states that the action must be recorded and the affected lots held until a process
authority has authorized and signed off for the release of the product.
After the process cycle is finished, the lot is tagged and is moved to the detention area. The
corrective action taken has corrected the problem and has controlled the affected product.
During the next shift, the scheduled thermal process for a different batch of canned vegetables is
not met because of another loss in steam pressure. The operator notices the deviation after the end
of the process cycle and refers to the written deviation procedure.
The deviation procedure for canned vegetables states that the product is to be tagged and moved to
the detention area. The deviation procedure also states that the action must be recorded and the
affected lots held until a full evaluation is done by a process authority as to disposition of the
product.
After the process cycle is finished, the lot is tagged and is moved to the detention area. The
corrective action taken has corrected the problem and has controlled the affected product.
As there have been two deviations of a similar nature, it is important for the processor to examine
the root cause of the deviation, i.e. to determine the reason for the loss in steam pressure and the
actions that should be taken to prevent recurrence of the problem.
Milk
Antibiotics in incoming raw milk are detected by a rapid screening test. The detected level exceeds
the established critical limit. The milk receiver refers to the deviation procedure.
The deviation procedure states that the milk is to remain in the truck and not be unloaded. The
procedure also describes the follow-up action. The processor will follow up with the milk supplier
involved.
All corrective actions are recorded.

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Cooked sausages
Cooked sausages are sliced with equipment that has not been cleaned with the specified frequency.
The supervisor notices that the slicer has excessive product buildup and believes that the sausages
are being subjected to excessive bacterial contamination.
The deviation procedure states that the supervisor must hold all product produced since the last
recorded clean-up. The product under hold is subjected to microbiological testing and is not released
until the laboratory results are received. The deviation procedure also states that the employee
responsible for equipment cleaning should be questioned as to the reason for the deviation from the
specified procedure and be retrained as necessary.
Example
FORM 10
HACCP PLAN

9. Can inspecting/ CCP Post-process Can Continuous Can
depalletizing 1B contamination manufacturer's visual depalletizer
resulting from specifications monitoring by operator to
incorrect cans, No defects the depalletizer remove any
damaged cans operator incorrect
and serious cans, cans
defects with serious
defects and
damaged
cans and to
inform QC
Operator to
hold
remainder of
pallets and
QC to
investigate
CCP Harmful No HEM Continuous Can
1P extraneous visual depalletizer
materials (HEM), monitoring by operator to
e.g. wood, glass, the depalletizer remove any
metal fragments operator cans with
HEM and to
inform QC
Operator to
hold
remainder of
pallet and QC
to investigate
20. Weighing CCP Overfilling Maximum fill On-line check- Line operator
2B resulting in weight as weigher to to adjust
underprocessing specified in the eject over- and weight of
scheduled underfilled cans ejected can
process after filling manually by
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adding or
taking away
mushrooms
22. Head spacing CCP3B Insufficient Minimum Headspace Closing
headspace headspace as check done machine
resulting in specified in the after closing on mechanic to
excessive scheduled consecutive adjust
internal pressure process samples, at headspaces
and distorted least one from and to inform
seams each head, by QC Operator
seam mechanic to hold and
at start-up and QC to
every hour investigate all
product run
since last
satisfactory
results
23. End CCP Post-process Can Continuous Closing
feeding/closing/inspecting 4B contamination manufacturer's visual machine
resulting from specifications monitoring of operator to
damaged or No serious ends by closing remove any
defective ends or problems machine damaged or
improper double operator defective
seams ends and to
inform. QC
Operator to
hold and QC
to investigate
ends and
sealed cans if
necessary
Visual Seamer
examination of mechanic to
sealed cans at adjust closing
start-up, after machine and
severe jam-ups to inform QC
and after Operator to
adjustments as hold. and QC
well as every to investigate
half hour, and all product
teardown run since last.
examination satisfactory
every 4 hours inspection
on consecutive
samples, one
from each
head, by
closing
machine
operator
25. Thermal processing CCP Inadequate heat Maximum time QC to check on Retort
5B treatment lapse between time lapse operator to
closing and between adjust time
retort up, closing and and
minimum IT, retort up (at temperature
minimum time least once per of cook as per
and period) Retort authorized
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temperature for operator to contingency
vent and cook as check on IT, plan and to
specified in the time and inform QC
scheduled temperature Operator to
process Heat- for vent and hold and QC
sensitive cook and to investigate
indicator thermograph all product
changes colour Busse unloader suspected of
to check heat- deviation
sensitive
indicator tape
Busse unloader
to segregate
product if no
indicator tape
or no colour
change of
indicator tape
26. Cooling CCP Post-process Detectable Chlorine checks Retort
6B contamination residual chlorine every hour at operator to
of product from levels to 2 ppm exit of cooling adjust
cooling water in the cooling water chlorine and
water to inform QC
Operator to
hold and QC
to investigate
all product
run since last
satisfactory
check
DATE:______________ APPROVED BY:____________________
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Module 11 - Establish verification procedures - Task
11/Principle 6
Objective
To provide the trainees with the necessary knowledge and abilities to establish procedures for
verifying control at each of the CCPs and for validating the adequacy of the overall HACCP plan
Lecture
Exercise
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev. 3 (1997)]
Time frame
45 minutes lecture
45 minutes exercise
Content
Verification
Description of verification activities
Role of microbiological testing in HACCP verification
Verification frequency
Records of verification
Regulatory verification
Exercise
The instructor should have each "HACCP team" complete the verification column on Form 10 and
identify the verification procedures for each CCP. The teams should also identify procedures for
validating the HACCP plan. Each team will then present a report, using overhead transparencies,
explaining the verification procedures established for each CCP and for validation of the HACCP plan.
Learning outcome
The trainees should have the necessary knowledge and abilities to establish verification procedures
for each CCP and for the HACCP plan.
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VERIFICATION
Verification is embodied in HACCP Principle 6: Establish verification procedures. The Codex

guidelines define verification as "the application of methods, procedures, tests and other
evaluations, in addition to monitoring to determine compliance with the HACCP plan". Verification
and auditing methods, procedures and tests, including random sampling and analysis, can be used to
determine if the HACCP system is working correctly.
Careful preparation of the HACCP plan with clear definition of all the necessary items does not
guarantee the plan's effectiveness. Verification procedures are necessary to assess the effectiveness
of the plan and to confirm that the HACCP system adheres to the plan. Verification allows the
producer to challenge the control measures and to ensure that there, is sufficient control for all
possibilities; for example, verification may ensure that adequate contingency procedure plans are in
place when critical limits are exceeded at a CCP.
Verification should be undertaken by an appropriately qualified individual or individuals who are

capable of detecting deficiencies in the plan or its implementation. Verification should be
undertaken at the completion of the HACCP study; whenever there is a change in product,
ingredients, process, etc.; when a deviation occurs; in the event of newly identified hazards; and at
regular predetermined intervals.
Routine monitoring activities for critical limits should not be confused with verification methods,
procedures or activities.
DESCRIPTION OF VERIFICATION ACTIVITIES
Each HACCP plan should include verification procedures for individual CCPs and for the overall plan.
HACCP plans are expected to evolve and to improve with experience and new information. Periodic
verification helps improve the plan by exposing and strengthening weaknesses in the system and
eliminating unnecessary or ineffective control measures. Verification activities include:
HACCP plan validation

HACCP system audits
Equipment calibration
Targeted sample collection and testing
HACCP plan validation
Validation is the act of assessing whether the HACCP plan for the particular product and process
adequately identifies and controls all significant food safety hazards or reduces them to an
acceptable level. HACCP plan validation should include:
Review of the hazard analysis
CCP determination
Justification for critical limits, based for example on current good science and regulatory
requirements
Determination of whether monitoring activities, corrective actions, record keeping procedures and
verification activities are appropriate and adequate
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Validation involves ensuring that the HACCP plan is based on current good science and current
information and is appropriate for the actual product and process. A scientific and technical review is
performed to ensure that there is a sound scientific and technical basis for decisions regarding which
hazards are being controlled, which hazards are not being controlled and how identified hazards are
being controlled. This review could incorporate the use of new scientific information and data
gathered for the purpose of the verification. The process of validating an existing HACCP plan should
also include:
Review of HACCP audit reports

Review of changes to the HACCP plan and the reasons for those changes
Review of past validation reports
Review of deviation reports
Assessment of corrective action effectiveness
Review of information on consumer complaints
Review of linkages between the HACCP plan and GMP programmes
HACCP plan validation is an ongoing, periodic procedure. Validations may be scheduled at a pre-set
frequency. However, other factors may trigger a review of the plan to determine if changes are
necessary. These factors could include changes to the raw materials, product or process; adverse
audit findings; recurring deviations; new scientific information about potential hazards or control
measures; and consumer complaints and/or product rejections by customers.
HACCP system audits
As part of verification, audits are performed to compare the actual practices and procedures of the
HACCP system with those written in the HACCP plan.
Audits are systematic and independent examinations involving on-site observations, interviews and
review of records to determine whether the procedures and activities stated in the HACCP plan are
implemented in the HACCP system. These examinations are usually performed by one or more
independent persons who are not involved in implementation of the HACCP system. Audits may be
performed for individual CCPs and/or for the overall plan.
On-site observation may include, for example, visual inspection to ensure that:
The product description and flow chart are accurate

Monitoring required by the HACCP plan at the CCPs is performed
Processes are operating within established critical limits
Records are filled out accurately and at the time observations are made
Records to be reviewed during auditing of the HACCP plan include, for example, those
demonstrating that:
Monitoring activities have been performed at the locations specified in the HACCP plan
Monitoring activities have been performed at the frequencies specified in the HACCP plan
Affected product has been controlled and corrective actions have been taken whenever
monitoring has indicated the occurrence of a deviation from critical limits
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Equipment has been calibrated at the frequencies specified in the HACCP plan Audits should occur
frequently enough to ensure that the HACCP plan is being followed continuously. This frequency
depends on a number of conditions, such as the variability of the process and product.
Calibration
Calibration involves checking instruments or equipment against a standard to ensure accuracy.

Calibration should be documented and the records should be available for review during verification.
Calibration of appropriate equipment and instruments used in the development and,

implementation of the HACCP plan should be carried out, during monitoring and/or verification,
At a frequency sufficient to assure continuous accuracy
According to procedures established in the HACCP plan (which can be based on instrument or
equipment manufacturer specifications)
By checking accuracy against a recognized standard
Under conditions similar or identical to those under which the instrument or equipment will be
used
Calibration of CCP monitoring equipment is important; if the equipment is out of calibration, then
monitoring results will not be accurate and may be completely unreliable. When the equipment
monitoring a CCP is out of calibration, the CCP is considered to have been out of control since the
last documented calibration.
Targeted sample collection and testing
Verification may also include targeted sampling and testing and other periodic activities. Targeted
sampling and testing involves taking product samples periodically and testing them to ensure that
critical limits are appropriate for product safety.
Targeted sampling may be carried out to check vendor compliance when receipt of material is a CCP
and purchase specifications are relied on as critical limits. For example, in the case of cooked shrimp,
the processor may purchase shrimp under a supplier's guarantee for sulphite levels less than 100
ppm. A sample may be collected for laboratory analysis on a quarterly basis to ensure that sulphite
levels are compliant with the supplier's guarantee.
When critical limits are set for equipment operation, product samples may be taken to ensure that
the equipment settings are appropriate to provide product safety.
When sampling and testing is used as a verification tool, the usefulness of the test often depends on
how the material is sampled. The risk and level of confidence needed will determine the sample size
and the method of sample collection.
ROLE OF MICROBIOLOGICAL TESTING IN HACCP VERIFICATION
Sampling and microbiological testing are usually not adequate by themselves to ensure food safety.
Microbiological testing is seldom effective for monitoring CCPs and cannot be used as a means of
process control because of the lengthiness of analytical procedures and the inability to provide
results in real time. In addition, detection of pathogenic microorganisms can be difficult if
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contamination of the product at the CCP is at a low level or is unevenly distributed in the food
sample, necessitating large and numerous samples.
Microbiological testing does have a role in HACCP verification, however: when critical limits are
established for the elimination of pathogens or their reduction to an acceptable level,
microbiological testing can be used to verify the HACCP plan's effectiveness and to ensure that the
identified microbiological limits have not been exceeded. In this instance, the length of time involved
in the analytical procedures does not create operational difficulties.
VERIFICATION FREQUENCY
Verification activities should be performed according to a pre-established schedule described in the

HACCP plan or whenever there are indications that the food safety status may have changed. These
indications may include:
On-line observations that CCPs may not be operating within critical limits
Record reviews indicating inconsistent monitoring
Record reviews indicating that CCPs are repetitively operated outside critical limits
Consumer complaints or product rejections by customers
New scientific data
Verification procedures should be scheduled at a frequency that ensures that the HACCP plan is
being followed continuously and that measurements remain accurate within established limits. Thus,
the length of time between scheduled verification activities should match the level of confidence in
the continuous and accurate performance of the HACCP plan.
The frequency of verification activities may change over time. A history of verification activities
indicating that the process is consistently in control may support safe reduction of the frequency of
verification activities.
RECORDS OF VERIFICATION
Verification activities should be documented in the HACCP plan. Records should be made of the
results of all verification activities. Records of verification should include methods, date, individuals
and/or organizations responsible, results or findings and action(s) taken.
Verification procedures for the overall HACCP plan should be documented in a file for the HACCP
plan.
REGULATORY VERIFICATION
Verification should be a routine part of regularly scheduled government inspections. The reasons for
regulatory verification activities include, among others: government obligation in consumer
protection, support to the food industry (particularly medium- and small-scale food industry) and
assistance to industry in trade opportunities where certification is required.
The inspector should document the existence and implementation of the HACCP plan. Regulatory
verification should also involve review and/or audit of the adherence of the processor's HACCP
system to its HACCP plan. In particular, the inspector should focus on the following:
Review of the hazard analysis
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Review of the CCP determination
Verification that the critical limits are based on good science and meet regulatory requirements
Review of the deviation and corrective action procedures
Review of the verification procedures
Review of records to verify that the HACCP plan is being followed effectively at all times
Verification of the accuracy of CCP monitoring equipment
Regulatory verification can also be used to challenge the HACCP plan in the event of outbreaks of
illness or consumer complaints. Verification in such situations would include review of the company
consumer complaint file. New technological information or an industry request for consultation may
also result in verification actions by regulatory agencies.
Compliance actions should be taken when regulatory verifications indicate deficiencies in the HACCP
plan or implemented HACCP system that could result in health hazards in the food products.
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Module 12 - Establish documentation and record keeping -
Task 12/Principle 7
Objective
To provide the trainees with the necessary knowledge and abilities to establish appropriate
documentation of the HACCP plan and records of the HACCP system
Lecture
Exercise
Aids
Handout
Reference
to CAC/RCP 1-1969, Rev 3 (1997)]
Time frame
45 minutes lecture
45 minutes exercise
Content
Documentation and record keeping

Support documents
Records generated by the HACCP system
Documentation of methods and procedures used
Records of employee training programmes
Example, Form 10
Exercise
The instructor should have each "HACCP team" establish the documentation required for the HACCP
plan, complete the HACCP record column on Form 10 and identify the specific records that should be
kept for each CCP in the HACCP system. Each team will then present a report, using overhead
transparencies, showing the documentation of the HACCP plan and the HACCP records established
for each CCP in the HACCP system.
Learning outcome
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The trainees should demonstrate the necessary knowledge and abilities to establish documentation
of the HACCP plan and records of the HACCP system.
DOCUMENTATION AND RECORD KEEPING
Records are essential for reviewing the adequacy of the HACCP plan and the adherence of the
HACCP system to the HACCP plan.
A record shows the process history, the monitoring, the deviations and the corrective actions
(including disposition of product) that occurred at the identified CCP. It may be in any form, e.g.
processing chart, written record, computerized record. The importance of records to the HACCP
system cannot be overemphasized. It is imperative that the producer maintain complete, current,
properly filed and accurate records.
Four types of records should be kept as part of the HACCP programme:
Support documentation for developing the HACCP plan

Records generated by the HACCP system
Documentation of methods and procedures used
Records of employee training programmes
SUPPORT DOCUMENTS
The HACCP plan support documents include information and support data used to establish the
HACCP plan such as the hazard analysis and records documenting the scientific basis for establishing
the CCPs and critical limits. Examples include:
Data used to establish the control measures to prevent microbiological growth

Data used to establish the shelf-life of the product (if age of the product can affect safety)
Data used to establish the adequacy of critical limits in ensuring the safety of the product
The HACCP plan support documents should also include a list of the HACCP team members and their
responsibilities, as well as all the forms produced during the preparation of the HACCP plan,
showing:
Product description and intended use
Flow diagram
Hazard analysis
Identification of CCPs
Identification of the critical limits for each CCP, including data from experimental studies or
information collected to support the critical limits
Documented deviation and corrective action plans
Planned verification activities and procedures
Identification of the preventive measures for each hazard
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Support documents may also include correspondence with consultants, as well as documents
detailing how the HACCP plan was developed.
RECORDS GENERATED BY THE HACCP SYSTEM
HACCP system records are kept to demonstrate adherence of the HACCP system with the HACCP
plan. These records are used to demonstrate control at CCPs in the food process. By tracking records
generated by the HACCP system, an operator or manager can become aware that a process is
approaching its critical limit. Review of records can be instrumental in identifying trends and in
making operational adjustments. Timely corrective action can be taken if a critical limit is violated.
The required HACCP records to be kept at each CCP should be written on Form 10 (see example).
Failure to document the control of a CCP would be a critical departure from the HACCP plan.
The records generated by the HACCP system include all activities and documentation required by the
plan, as follows.
Monitoring records for all CCPs
All HACCP monitoring records should be kept on forms that contain the following information:
Form title
Time and date
Product identification (including product type, package size, processing line and product code)
Critical limits
Monitoring observation or measurement
Operator's signature or initials
Corrective action taken, where applicable
Reviewer's signature or initials
Date of review
Deviation and corrective action records
Identification of the deviant lot/product

Amount of affected product in the deviant lot
Nature of the deviation
Information on the disposition of the lot
Description of the corrective action
Verification/validation records
In-house on-site inspection

Equipment testing and evaluation
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Accuracy and calibration of monitoring equipment
Results of verification activities, including methods, date, individuals and/or organizations
responsible, results or findings and action taken
DOCUMENTATION OF METHODS AND PROCEDURES USED
The producer should maintain records of the methods and procedures used in the HACCP system.
Examples include:
Description of the monitoring system for the critical limit of each CCP, including: the methods and
equipment used for monitoring, the frequency of monitoring and the person performing the
monitoring
Plans for corrective actions for critical limit violations or situations resulting in potential hazards
Description of record keeping procedures, including copies of all record forms
Description of verification and validation procedures
RECORDS OF EMPLOYEE TRAINING PROGRAMMES
Records should be kept of all employee training. This is of particular importance for employees
involved in monitoring critical limits for CCPs and those involved with deviation review, corrective
actions and verification. These employees must be trained to understand fully the appropriate
procedures/methods and actions to be taken regarding control of CCPs.
Example
FORM 10
HACCP PLAN

9. Can inspecting/ CCP Post-process Can Continuous Can Empty
depalletizing 1B contamination manufacturer's visual depalletizer container cull
resulting from specifications monitoring by operator to report
incorrect cans, No defects the remove any Low vacuum
damaged cans depalletizer incorrect detector
and serious operator cans, cans report
defects with serious
defects and
damaged
cans and to
inform QC
Operator to
hold
remainder of
pallets and
QC to
investigate
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CCP Harmful No HEM Continuous Can Empty
1P extraneous visual depalletizer container cull
materials monitoring by operator to report
(HEM), e.g. the remove any
wood, glass, depalletizer cans with
metal fragments operator HEM and to
inform QC
Operator to
hold
remainder of
pallet and
QC to
investigate
20. Weighing CCP Overfilling Maximum fill On-line check- Line Fill control
2B resulting in weight as weigher to operator to report
underprocessing specified in the eject over- adjust Daily grading
scheduled and weight of report
process underfilled ejected can
cans after manually by
filling adding or
taking away
mushrooms
22. Head spacing CCP Insufficient Minimum Headspace Closing Double seam
3B headspace headspace as check done machine inspection
resulting in specified in the after closing mechanic to report
excessive scheduled on adjust Daily grading
internal process consecutive headspaces report
pressure and samples, at and to
distorted seams least one from inform QC
each head, by Operator to
seam hold and QC
mechanic at to
start-up and investigate
every hour all product
run since
last
satisfactory
results
23. End CCP Post-process Can Continuous Closing Daily seamer
feeding/closing/inspecting 4B contamination manufacturer's visual machine report.
resulting from specifications monitoring of operator to Double seam
damaged or No serious ends by remove any inspection
defective ends problems closing damaged or report
or improper machine defective Low vacuum
double seams operator ends and to detector
inform QC report
Operator to Container
hold and QC integrity
to inspection
investigate report
ends and
sealed cans
if necessary
Visual Seamer
examination mechanic to
of sealed cans adjust
at start-up, closing
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after severe machine and
jam-ups and to inform QC
after Operator to
adjustments hold and QC
as well as to
every half investigate
hour, and all product
teardown run since
examination last
every 4 hours satisfactory
on inspection
consecutive
samples, one
from each
head, by
closing
machine
operator
25. Thermal processing CCP Inadequate heat Maximum time QC to check Retort Retort
5B treatment lapse between on time lapse operator to operator's
closing and between adjust time log
retort up, closing and and Thermograph
minimum IT, retort up (at temperature charts
minimum time least once per of cook as Low vacuum
and period) Retort per detector
temperature operator to authorized report
for vent and check on IT, contingency Heat-
cook as time and plan and to sensitive
specified in the temperature inform QC indicator log
scheduled for vent and Operator to
process Heat- cook and hold and QC
sensitive thermograph to
indicator Busse investigate
changes colour unloader to all product
check heat- suspected of
sensitive deviation
indicator tape
Busse
unloader to
segregate
product if no
indicator tape
or no colour
change of
indicator tape
26. Cooling CCP Post-process Detectable Chlorine Retort Retort
6B contamination residual checks every operator to operator's
of product from chlorine levels hour at exit of adjust log
cooling water to 2 ppm in the cooling water chlorine and Low vacuum
cooling water to inform QC detector
Operator to report
hold and QC
to
investigate
all product
run since
last
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satisfactory
check
DATE:______________ APPROVED BY:____________________
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Annex 1 - Blank HACCP forms
FORM 1
PRODUCT DESCRIPTION
1. Product name(s)
2. Important product characteristics of end product (e.g. Aw, pH, etc.)
3. How the product is to be used
4. Packaging
5. Shelf-life
6. Where the product will be sold
7. Labelling instructions
8. Special distribution control
DATE: ___________________ APPROVED BY: ____________________
FORM 2
PRODUCT NAME(S):
DATE:___________________ APPROVED BY:_________________
FORM 3
FLOW DIAGRAM
PRODUCT NAME(S):
DATE: _________________ APPROVED BY: ___________________
FORM 4
PLANT SCHEMATIC/FLOOR PLAN
PRODUCT NAME(S):
DATE:_________________ APPROVED BY:__________________
FORM 5
PRODUCT NAME(S):
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Identified biological hazards Controlled at
DATE: ________________ APPROVED BY: __________________
FORM 6
PRODUCT NAME(S):
DATE:_______________ APPROVED BY:_________________
FORM 7
PRODUCT NAME(S):
Identified physical hazards Controlled at
DATE:_______________ APPROVED BY:_________________
FORM 8
CCP DETERMINATION
Process step/ incoming Category and identified Question Question Question Question CCP
material hazard 1 2 3 4 number
Instructions:
Category and identified hazard: Determine if hazard is fully controlled by adherence to Codex
General Principles of Food Hygiene. If Yes, indicate "GMPs", describe and proceed to next identified
hazard. If No, proceed to Question 1.
Question 1: Do control preventive measure(s) exist? If No, this is not a CCP. Identify how the
hazard can be controlled before or after the process and proceed to the next identified hazard. If
Yes, describe and proceed to the next question.
Question 2: Is the operation specifically designed to eliminate or reduce the likely occurrence of
a hazard to an acceptable level? If No, proceed to Question 3. If Yes, this is a CCP; identify it as such
in the last column.
Question 3: Could contamination with identified hazard(s) occur in excess of acceptable level(s)
or could these increase to unacceptable levels? If No, this is not a CCP; proceed to the next
identified hazard. If Yes, proceed to Question 4.
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Question 4: Will a subsequent operation eliminate identified hazard(s) or reduce likely
occurrence to an acceptable level? If No, this is a CCP; identify it as such in the last column. If Yes,
this is not a CCP; identify the subsequent step and proceed to the next identified hazard.
FORM 9
UNADDRESSED HAZARDS
PRODUCT NAME(S):
List any biological, chemical and/or physical hazards that are not controlled at the establishment.
Unaddressed hazard from Identified methods of addressing the hazard (e.g. cooking instructions,
previous list public education, use by date, etc.)
DATE:________________ APPROVED BY:__________________
FORM 10
HACCP PLAN
PRODUCT NAME(S):
Process CCP Hazard Critical Monitoring Deviation HACCP

step No. description limits procedures procedures records
DATE:______________ APPROVED BY:____________________
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Annex 2 - The application of risk analysis to food safety control programmes
RISK ANALYSIS
There are many hazards associated with food that can and do result in injury and harm to human
health. Millions of people worldwide suffer from some sort of "food poisoning" each year.
Uncontrolled application of agricultural chemicals, environmental contamination, use of
unauthorized additives, microbiological hazards and other abuses of food along the food chain can
all contribute to the potential of introducing or failing to reduce hazards related to food. With
increased awareness of the effects of food hazards on human health, the increasing importance and
rapid growth of world food trade and the demand by consumers for a safe food supply, analysis of
the risks associated with food has become more important than ever before.
Consumers have expressed concern about the safety of food additives, agricultural and veterinary
chemical residues, biological, chemical and physical contaminants, radionuclide contamination and
uncontrolled and unacceptable food handling practices and processing which can result in the
introduction of hazards to food at all stages along the food chain, from primary production to the
consumer. These concerns have been voiced most often by consumers in the developed world;
however, continuous improvements in global communication have heightened the interest of
consumers throughout the world on these matters.
FOOD HAZARDS
The Codex Alimentarius Commission defines a hazard as a biological, chemical or physical agent in,
or condition of, food with the potential to cause an adverse health effect. Therefore food hazards
can be classified into three categories: physical, chemical or biological. Physical hazards (e.g. stones
in rice or beans; bone pieces in meat) are the most easily understood; the impact of chemical and
biological hazards on human health is far more difficult to understand because of the complexities of
interactions between hazards and human biochemistry and the absence of scientific data to confirm
the theories. Human responses to disease or to agents that cause adverse reactions are dependent
on a number of variables, many of which are interlinked. In addition, health effects may be severe in
one person, mild in another and completely absent in others.
PROCESS OF RISK ANALYSIS
The risk to the world's population from hazards in and on food depends largely on the degree of
control exercised by producers, processors and official food control authorities to prevent or
minimize the risks to acceptable safe levels. Food safety risk analysis is an emerging discipline, and
the methods used for assessing and managing risks associated with food hazards are still being
developed.
It is important to recognize the difference between "hazard" and "risk". As stated above, a hazard is
a biological, chemical or physical agent in, or condition of, food with the potential to cause harm. In
contrast, risk is the estimated probability and severity of adverse health effects in exposed
populations consequential to hazards in food. Understanding the association between a reduction in
hazards that may be associated with a food and the reduction in the risk of adverse health effects to
consumers is of particular importance in development of appropriate food safety controls.
Unfortunately, there is no such thing as "zero risk" for food (or for anything else).
The risk analysis process comprises three separate elements: risk assessment, risk management and
risk communication. It is widely recognized as the fundamental methodology underlying the
development of food safety standards. Decisions are needed to determine what the hazards are and
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to identify their immediate, interim and long-term effects on human health (risk assessment); to
establish the appropriate measures of control to prevent, reduce or minimize these risks (risk
management); and to determine the best way to communicate this information to the affected
population (risk communication).
Risk assessment
Risk assessment is a quantitative evaluation of information on potential health hazards from

exposure to various agents. It involves four interrelated steps:
Identification of the hazard and comprehension of the danger it represents, the impact in terms of
human health and the circumstances under which the danger is present (hazard identification)
Qualitative and/or quantitative evaluation of the adverse effects of the hazard on human health
(hazard characterization)
Qualitative and/or quantitative evaluation of the likely degree of consumption or intake of the
hazardous agent (exposure assessment)
Integration of the first three steps into an estimate of the likely adverse effect in the target
population (risk characterization)
The entire risk assessment process requires the use of sound and scientifically derived information
and the application of established scientific procedures carried out in a transparent manner.
Unfortunately, sound scientific data are not always available for the qualitative and quantitative
evaluations necessary for an absolutely sure final decision; consequently a degree of uncertainty
must be factored into the decision.
The importance of risk assessment lies not only in its capacity for estimating human risk, but also in
its function as a framework for organizing data as well as for allocating responsibility for analysis.
The risk assessment process can include a variety of models for reaching conclusions; for example,
the concept of acceptable daily intake (ADI) may be considered a component of risk assessment.
Biological hazards of concern to public health include pathogenic strains of bacteria, viruses,
helminths, protozoa, algae and certain toxic products they may produce. Of these hazards,
pathogenic bacteria in foods currently present the most significant problems internationally.
Assessment of the risks associated with bacterial pathogens presents unique complications. Any
method for assessing the risk of hazards from foodborne bacteria will be complicated by factors
related to methods used to grow, process and store food for consumption. These factors can vary
greatly depending on cultural and geographical differences. Such factors characterize the scenario
for a given food and are an essential element for a risk assessment for bacterial hazards.
In many cases sufficient data will not be available to support a quantitative assessment of risks
associated with bacterial pathogens. For a number of reasons, including the many uncertainties
associated with how and when an organism may express its pathogenic potential, it has not yet been
determined whether a quantitative risk assessment approach is possible and appropriate for
characterization of risk associated with foodborne bacterial pathogens. Thus, by default, a
qualitative approach to characterizing risk may be the only current alternative. To bring about
regulatory changes the scientific community must advance beyond qualitative microbial risk
assessment and generate the data needed to make quantitative assessments. FAO/WHO
consultations had difficulty with quantitative microbiological risk assessment, and one
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recommendation is to establish an FAO/WHO Expert Committee on Microbiological Risk
Assessment.
Chemical risk assessment is a fairly well established process and in general permits the assessment
of risks from long-term chronic exposure to a chemical. It includes the assessment of food additives,
residues of pesticides and other agricultural chemicals, residues from veterinary drugs, chemical
contaminants from any source and natural toxins such as mycotoxins and ciguatoxin.
Risk assessment requires evaluation of relevant information and selection of the models to be used
in drawing inferences from that information. Further, it requires recognition of uncertainties and,
when appropriate, acknowledgement that alternative interpretations of the available data may be
scientifically plausible. Data uncertainties arise both from limitations on the amount of data
available and from evaluation and interpretation of actual data obtained from epidemiological and
toxicological studies. Model uncertainties arise whenever attempts are made to use data concerning
phenomena that are likely to occur under other sets of conditions for which data are not available.
Risk management
Risk management is defined within the Codex Alimentarius as the process of weighing policy
alternatives in the light of the results of risk assessment and, if required, selecting and implementing
appropriate control options including regulatory measures. The goal of the risk management process
is to establish the significance of the estimated risk, to compare the costs of reducing this risk to the
benefits gained, to compare the estimated risks to the societal benefits derived from incurring the
risk and to carry out the political and institutional process of reducing the risk.
The outcome of the risk management process, as undertaken by committees within the Codex
Alimentarius system, is the development of standards, guidelines and other recommendations for
food safety. In the national situation it is likely that different risk management decisions could be
made according to different criteria and different ranges of risk management options. Risk
managers, in developing approaches to managing risk, use the risk characterization that results from
the risk assessment process. Risk management decisions can be based on establishing safe handling
procedures and practices, food processing quality and safety assurance controls and food quality
and safety standards to control hazards in food. These standards must take into consideration the
proper use of food additives which have been determined to be safe and their permitted levels and
scientifically determined acceptable safe limits for contaminants and agricultural chemical residues
in food, using the risk assessment process.
The outcome of the risk assessment process should be combined with the evaluation of available
risk management options in order that a decision on management of the risk can be reached.
Implementation of the management decision should be followed by monitoring of both the
effectiveness of the control measure and its impact on the risk to the exposed consumer population,
to ensure that the food safety objective is being met.
While research and scientific studies continue to provide the answers needed for making informed
decisions in risk analysis related to hazards in food, the uncertainty and unresolved questions
continue to cause concern to decision-makers. Only continued research and scientific study can
provide the necessary answers. Until these answers are available, much of what is known about
hazards and assessing and controlling risks is based on only partial information, with uncertainties
factored into the analysis.
Risk communication
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Risk communication is the third and final element of the risk analysis process. The Codex
Alimentarius definition of risk communication is narrow: "an interactive process of exchange of
information and opinion on risk among risk assessors, risk managers and other interested parties". A
definition with broader scope is that of the United States National Academy of Sciences: "an
interactive process of exchange of information and opinion among individuals, groups and
institutions... [which] involves multiple messages about the nature of risk and other messages, not
strictly about risk, that express concerns, opinions or reactions to risk messages or to legal and
institutional arrangements for risk management".
Communicating the results of risk assessment and risk management serves many purposes. The
quality and safety of food depends on responsible action by all involved at all stages in the food
chain, including consumers. Consumers require access to adequate information about potential
hazards and appropriate precautions to be taken in the final preparation and serving of food. In
addition, consumers need to be aware of and to understand food safety control measures
implemented by their government in the interest of consumers' health.
Communication provides the public with the results of expert scientific review of food hazard
identification and assessment of the risks to the general population or to specific target groups such
as infants or the elderly. Certain people, such as those who are immunodeficient, allergic or
nutritionally deficient, require particular information. Communication provides the private and
public sectors with the information necessary for preventing, reducing or minimizing food risks to
acceptably safe levels through systems of food quality and safety management by either mandatory
or voluntary means. It also provides sufficient information to permit the populations with the
greatest level of risk from any particular hazard to exercise their own options for achieving even
greater levels of protection.
This training manual on food quality and safety systems is intended for trainers in food quality and
safety assurance at the government and industry levels. It focusses on food hygiene practices and
the Hazard Analysis and Critical Control point (HACCP) system. The manual consists of three
sections: Principles and methods of training; Recommended International Code of Practice -
General Principles of Food Hygiene; and The Hazard Analysis and Critical Control Point (HACCP)
system. The last two sections were designed to reflect the recommendations and guidelines of the
Codex Alimentarius Commission on food hygiene and HACCP worldwide. Each section is divided
into specific training modules. This format allows the instructor to select sections and modules
according to the levels of knowledge, experience and specific responsibilities of the students.
*******
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HACCP Questions and Answers
What is HACCP?
HACCP, or the Hazard Analysis Critical Control Point system, is a process control system that
identifies where hazards might occur in the food production process and puts into place
stringent actions to take to prevent the hazards from occurring. By strictly monitoring and
controlling each step of the process, there is less chance for hazards to occur.
Why is HACCP Important?

HACCP is important because it prioritizes and controls potential hazards in food production.
By controlling major food risks, such as microbiological, chemical and physical contaminants,
the industry can better assure consumers that its products are as safe as good science and
technology allows. By reducing foodborne hazards, public health protection is strengthened.
What are the Major Food Hazards?

While many public opinion studies report that consumers are concerned primarily about
chemical residues, such as from pesticides and antibiotics, these hazards are nearly non-
existent. The more significant hazards facing the food industry today are microbiological
contaminants, such as Salmonella, E. coli O157:H7, Listeria, Campylobacter, and Clostridium
botulinum. HACCP is designed to focus on and control the most significant hazards.
Is HACCP New?
HACCP is not new. It was first used in the 1960s by the Pillsbury Company to produce the
safest and highest quality food possible for astronauts in the space program. The National
Academy of Sciences, National Advisory Committee for Mcirobiological Criteria for Foods,
and the Codex Alimentarius have endorsed HACCP as the best process control system
available today.
How Does HACCP Compare to the Current Food Production and Inspection Programs?
The current food inspection program is based on a "see, smell and touch" approach that
relies more on detection of potential hazards than prevention. Furthermore, the current
inspection program was designed in the 1930s when the threat of diseased animals and
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physical contaminants were the main concerns. Today, microbiological and chemical
contamination, which cannot be seen, are of greater interest. The U.S. Department of
Agriculture recently mandated HACCP for the nation's 7,000 meat and poultry plants.
What is the Status of the Adoption of HACCP Within the Meat and Poultry Industry?
Many of the nation's meat and poultry processing facilities have implemented some or all of
the HACCP principles into their operations. Many companies have also provided HACCP
training to management and in-plant workforce.
What is USDA's Pathogen Reduction/HACCP Regulation?

USDA is pursuing a farm to table approach to food safety by taking steps to improve the
safety of meat and poultry at each step in the food production, processing, distribution and
marketing chain. On July 25, 1996, USDA released its Pathogen Reduction/HACCP final rule.
The final rule will further target pathogens that cause foodborne illness, strengthen industry
responsibility to produce safe food, and focus inspection and plant activities on prevention
objectives. The final rule covers three major areas:
Sanitation Standard Operating Procedures
Microbiological Testing
Hazard Analysis Critical Control Point (HACCP) system
How Does HACCP Work in Food Production?

There are seven principles, developed by the National Advisory Committee on
Microbiological Criteria for Foods, that serve as the foundation for a HACCP system. They
are:
1. Conduct a hazard analysis to identify potential hazards that could occur in the food
production process.
2. Identify the critical control points (CCPs) -- those points in the process where the
potential hazards could occur and can be prevented and/or controlled.
3. Establish critical limits for preventive measures associated with each CCP. A critical limit
is a criterion that must be met for each CCP. Where appropriate, critical limits may reflect
relevant FSIS regulations and FDA tolerances.
4. Establish CCP monitoring requirements to ensure each CCP stays within its limit.
Monitoring may require materials or devices to measure or otherwise evaluate the process
at CCPs.
5. Establish corrective actions if monitoring determines a CCP is not within the established
limits. In case a problem occurs, corrective actions must be in place to ensure no public
health hazard occurs.
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6. Establish effective recordkeeping procedures that document the HACCP system is
working properly. Records should document CCP monitoring, verification activities and
deviation records.
7. Establish procedures for verifying that the HACCP system is working properly.
Verification procedures may include reviewing the HACCP plan, CCP records, critical limits as
well as conducting microbial sampling. Both plant personnel and FSIS inspectors will conduct
verification activities.
What Role Does Microbiological Testing Play in HACCP Programs?

Microbiological testing can play a valuable role in HACCP programs as a means for verifying
the HACCP system is working properly and to track trends and profiles of products. By
tracking microbiological data, plants can identify when the production process is not being
properly controlled or verify that prevention efforts are successfully reducing bacterial
levels. End-product microbiological testing, however, is less effective. There is not sufficient
data to determine what is considered an "acceptable" level of bacteria on raw meat and
poultry, so an end-product test will not provide useful data, other than for trends analysis.
While end-product testing may indicate bacteria are present, it does not solve the problem
of identifying and eliminating contamination.
What Role Do Other New Technologies Play in HACCP?

New technologies will play critical roles in HACCP programs since HACCP is designed to
institute practices that reduce or eliminate harmful contamination. If new technologies are
developed that prevent or eliminate hazards throughout the production process, they will
be widely accepted and adopted. The industry has studied several new technologies and
petitioned USDA to approve them for use.
Are There Established HACCP Guidelines and Plans for the Food Industry To Use?
There are seven HACCP principles that must be followed to implement HACCP. Every food
production process in a plant will need an individual HACCP plan that directly impacts the
specifics of the product and process. Government and industry groups are developing some
generic HACCP models that provide guidelines and directions for developing plant-, process-
and product-specific HACCP systems. The International Meat and Poultry HACCP Alliance
has developed training curriculum to assist the meat and poultry industry.
How Would HACCP Be Applied From Farm to Table?

For the most successful implementation of HACCP, it should be applied from farm to table --
starting on the farm and ending with the individual preparing the food, whether in a
restaurant or home. On the farm, there are actions that can be taken to prevent
contamination from occurring, such as monitoring feed, maintaining farm sanitation, and
practicing good animal health management practices.
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In the plant, contamination must be prevented during slaughter and processing. Once meat
and poultry products leave the plant, there should be controls in place during
transportation, storage and distribution.
In retail stores, proper sanitation, refrigeration, storage and handling practices will prevent
contamination. Finally, in restaurants, food service and homes, food handlers must store,
handle and cook foods properly to ensure food safety.
How Can HACCP Be Applied in Distribution and Retail?

FSIS plans to work with the Food and Drug Administration and state and local governments
to begin to implement HACCP in the distribution and retail sectors. FSIS intends to work
with FDA to develop federal standards for safe handling of food during transportation,
distribution and storage prior to delivery to retail stores. Also, FSIS will work with FDA to
provide food safety guidance to retail stores through the updated Food Code. The Food
Code is a model ordinance intended to serve as a guide for state and local authorities.
Following proper sanitation and handling guidelines will help ensure that further
contamination and cross contamination do not occur.
How Can Consumers Use HACCP?

Consumers can implement HACCP-like practices in the home by following proper storage,
handling, cooking and cleaning procedures. From the time a consumer purchases meat or
poultry from the grocery store to the time they cook and serve a meal, there are many steps
to take to ensure food safety. Examples include properly refrigerating meat and poultry,
keeping raw meat and poultry separate form cooked and ready-to-eat foods, thoroughly
cooking meat and poultry, and refrigerating and cooking leftovers to prevent bacterial
growth.
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INTRODUCTION SLIDES
About this manual (61 Ko) Intro (45 Ko)
Acknowledgments (54 Ko) Module 1

INTRODUCING THE HACCP SYSTEM
Course Contents (54 Ko)
M1L1 - The need for the HACCP system
Course Programme (56 Ko) (144 Ko)
Foreword (55 Ko) M1L2 - HACCP in food hygiene

(253 Ko)
References (65 Ko)

M1L3 - History and status of HACCP
(361 Ko)
CASES
M1L4 - Basic principles of the HACCP system
Case 1: Fresh cream and jam gateau (518 Ko)
Example of a HACCP plan
(for teachers)
M1L5 - Benefits and areas of application
(102 Ko)
(133 Ko)
Case 1: Fresh cream and jam gateau

Module 2
Example of a HACCP plan
ESSENTIAL KNOWLEDGE
(for students)
(101 Ko)
M2L1 - Microbiological hazards
(159 Ko)
Case 2: Fresh cream and jam gateau
Critical examination of Worked-out case
(for teachers) M2L2 - Chemical hazards & physical hazards
(129 Ko) (187 Ko)
Case 2: Fresh cream and jam gateau M2L2-03 - Where hazards arise in the food supply
Critical examination of Worked-out case (79 Ko)
(for students)
(118 Ko) M2L2-11- Contaminants of biological origin
(169 Ko)
Case 3: Flour fried chicken
Class exercise M2L3 - Hazards in raw material
(90 Ko) (550 Ko)
Case 4: Dried milk production M2L3-2 - Where hazards arise in the food supply
HACCP exercise by groups (84 Ko)
(76 Ko)
M2L4a - Food Technologies to render foods safe
(433 Ko)
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M2L4b - Food technologies to control the development of
microbiological hazards
(176 Ko)
M2L4c - Food technologies that prevent contamination

(72 Ko)
M2L4 short - Food technologies to render and keep foods

safe
(310 Ko)
Outline M2L4 short

(37 Ko)
M2L5 - Hygiene, cleaning and disinfection

(232 Ko)
Module 3
HACCP APPLICATION
M3L1 - Good Manufacturing / Hygienic Practice

(127 Ko)
M3L2 - HACCP system and its application

(96 Ko)
M3L3 - Hazard Analysis and CCP determination

(166 Ko)
M3L4 - Monitoring
(90 Ko)
M3L5 - Validation & Verification

(89 Ko)
Module 4
HACCP PLANS AND THEIR IMPLEMENTATION
M4L1 - Implementation of HACCP

(116 Ko)
M4L2 - Role of Governments and industry

(96 Ko)
Module 5
M5L1 - Training in HACCP

(95 Ko)
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Food Quality and Standards Service Food and Nutrition Division

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS

Editing, design, graphics and desktop publishing:

Reprinted with corrections 1998

Section 1 - PRINCIPLES AND METHODS OF TRAINING

Section 2 - RECOMMENDED INTERNATIONAL CODE OF PRACTICE - GENERAL PRINCIPLES OF FOOD

Annex 1 - Blank HACCP forms

Annex 2 - The application of risk analysis to food safety control programmes

HACCP and trade

Recent FAO activities

The FAO approach to the HACCP system

The training package

Section 1: Principles and methods of training

Section 2: Recommended International Code of Practice - General Principles of Food Hygiene

The modules have been arranged as follows:

Module 1: Principles of effective communication - "Getting the message across"

Suggested method of instruction

Lecture/discussion with maximum trainee participation through questioning and relating of

One hour lecture/discussion

Participants should be aware of effective communication principles.

Transmitter (Speaker/writer) Message Receiver (Listener/reader)

Three types of transmission are identified:

Speaking too softly

Pitching message at the wrong level

Receiver not receiving

Receiver turned off (gone to sleep!)

Overloading the message

WAYS OF AVOIDING INTERFERENCE

Speak up and out

Use your voice effectively

Suggested method of instruction

Lecture/discussion with maximum trainee participation through questioning

One hour lecture/discussion

The importance of being an effective oral communicator

What are the essential characteristics of effective oral communication?

My reasons for attending the course

Describe your work.

THE IMPORTANCE OF BEING AN EFFECTIVE ORAL COMMUNICATOR

ESSENTIAL ELEMENTS IN TRANSMITTING A MESSAGE

State the purpose and main point of your message

My purpose in speaking to you is...

Now, what this means in effect is...

Strengthen your main point with supporting points

Use visual aids, where possible, to illustrate your points.

Check to see whether you got your message across

Respond to reactions to what you have presented

I think there is a misunderstanding here. Let me repeat my main point again.

Summarize your main point(s)

Nervousness, forgetfulness and losing track

Letting the audience get to you - becoming defensive

Criticism of your presentation

I'm glad you brought that up. It's an interesting question.

Suggested method of instruction

One hour lecture/discussion

The process of learning

SENSE USE OF THE SENSE APPLICATIONS

What is the responsibility of the trainer?

Training is not easy

THE PROCESS OF LEARNING