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THE HACCP SYSTEM

What is HACCP?
The HACCP (Hazard Analysis Critical Control Points) system is a system that identifies, evaluates, and controls
hazards that are significant for food safety (Codex Alimentarius Commission [CAC], 2003).
In its simplest form, HACCP identifies potential food safety problems and determines the most efficient way
to prevent, reduce, or eliminate them. To ensure that these preventive or control measures are executed
regularly and consistently, they must be described, and the people who execute them must be trained. HACCP
involves careful recordkeeping to document how the system was developed and demonstrate that the process
was under control during a given period. The results are also used to improve the system.
Origin and Evolution of the HACCP System (Wallace, Sperber, & Mortimore, 2018)
During the 1960s, several entities collaborated to produce food items for US military personnel and space
programs, namely, The Pillsbury Company, the US Army Laboratories at Natick, MA, and the National
Aeronautics and Space Administration (NASA). To guarantee that astronauts would not become seriously ill
during a space mission, NASA had enacted strict specifications on the food items it used. Several engineers
recognized that the Failure Modes and Effects Analysis (FMEA), used by the military to test the reliability of
electrical components, could be adapted to assess hazards and control measures in food production. It is
where the first seeds of HACCP were planted.
The development of HACCP and its use in the food industry hastened in 1971. Farina, a baby food produced
by The Pillsbury Company, was contaminated with shattered glass. Pillsbury’s Director of Research, Dr. Howard
Bauman, decided to apply the food safety management used in NASA to all Pillsbury consumer food
production. It was the first time HACCP was used in food production for regular consumers.
Multiple canned food items were recalled from the market in the same year because of contamination of C.
Botulinum (bacteria causing botulism, a severe form of food poisoning). Because of this event, the US Food
and Drug Administration contracted with The Pillsbury Company in 1972 to conduct a training program for its
personnel responsible for the safety of canned food items. The newly trained inspectors then published the
canned food regulations in 1973. It was the first time HACCP was included in a food safety regulatory system.
Important Terms Used in HACCP
 Hazard – It is a biological, chemical, or physical agent in or condition of food with the potential to
cause an adverse health effect.
 Hazardous Agents – These may be bacteria, viruses, molds, parasites, toxins, chemicals, and other
foreign materials.
 Adverse health effects may include acute illnesses like choking, vomiting, abdominal cramps, diarrhea,
nausea, and fever; chronic illnesses like chronic infections, damage to various organs, and cancer; and
death.
 Acceptable Levels – Not all levels (or sizes) of all agents (contaminants) are harmful to all individuals
under all conditions. Agents are acceptable if their levels remain below a certain maximum.
 Increase or Decrease in Level – If an agent is present in a food at a low, acceptable level, its increase
to an unacceptable level should be prevented. If an agent is present in a food at a high, unacceptable
level, its reduction to an acceptable level should be assured.
 Control – It means having things under control (noun) or to direct, regulate, or command (verb).

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 Hazard Control – Hazards are controlled through the prevention of contamination, prevention of
increase in its level, assurance of its adequate reduction, prevention of its recontamination, and the
prevention of its dissemination or spread.
 Critical Limit (CL) – This criterion separates acceptability from unacceptability. It may refer to
temperature, time, pH level (i.e., acidity or alkalinity), water activity, and level of cleanliness.
 Critical Control Point (CCP) – It is a step in the food chain where activities are carried out or conditions
prevail which can influence the safety of the product and where control can be exercised over one or
more factors to prevent or eliminate a food safety hazard or reduce it to an acceptable level.
 Monitoring – It is checking by testing, measuring, or observing whether a critical control point is under
control.
 Verification – It involves checking the implementation and effectiveness of the HACCP system.

Application of HACCP System

The Flow of Food
Preparing food in foodservice facilities is frequently the last link in the food chain before food is consumed.
This link presents challenges in managing food safety
Figure 1
risks, so safe food handling at this point is critical in The Flow of Food
preventing foodborne illnesses (Desmarchelier, 2014).
Receive Store Prepare
The flow of food, which is the path that food follows
from receiving through serving, is important for
determining where potentially significant food safety
hazards may occur (US FDA, 2006). It is crucial to Reheat Cool Cook
understand how food flows through the kitchen. It helps
in analyzing hazards and critical points, identifying
where to set up control measures, and protecting food
at each stage of the food production process. Figure 1 Hot Hold Serve
shows the flow of food in a standard commercial
kitchen.
Not all commercial kitchens have the same food flow. Some may miss a few steps and repeat specific steps
multiple times compared to Figure 1.
The HACCP Principles (University of Nebraska – Lincoln, n.d.)
The 1992 and 1997 reports of the US National Advisory Committee on Microbiological Criteria for Foods
(NACMCF) described the seven (7) current HACCP principles:
 Principle 1 – Conduct a Hazard Analysis
Applying this principle involves listing the steps in the process and identifying where significant
hazards are likely to occur. The HACCP team will focus on hazards that can be prevented, eliminated,
or controlled by the HACCP plan. A justification for including or excluding the hazard is reported, and
control measures are identified.
 Principle 2 – Identify the Critical Control Points
A critical control point (CCP) is a point, step, or procedure at which control can be applied, and a food
safety hazard can be prevented, eliminated, or reduced to acceptable levels. A critical control point
may control more than one (1) food safety hazard, or in some cases, more than one (1) CCP is needed

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to control a single hazard. The number of CCPs needed depends on the processing steps and the
necessary control to ensure food safety.
 Principle 3 – Establish Critical Limits
A critical limit is the maximum and/or minimum value to which a biological, chemical, or physical
parameter must be controlled at a CCP to prevent, eliminate, or reduce the occurrence of a food safety
hazard to an acceptable level. The critical limit is usually a measure such as time, temperature, water
activity, pH, weight, or other criteria based on scientific literature and/or regulatory standards.
 Principle 4 – Monitor Critical Control Points
The HACCP team will describe monitoring procedures for measuring the critical limit at each critical
control point. Monitoring procedures should explain how the measurement will be taken, when the
measurement is taken, who is responsible for the measurement, and how frequently the
measurement is taken during production.
 Principle 5 – Establish Corrective Action
Corrective actions are the procedures followed when a deviation in a critical limit occurs. The HACCP
team will identify the steps to prevent potentially hazardous food from entering the food chain and
the steps needed to correct the process. It usually includes identifying the problems and the steps
taken to ensure that the problem will not occur again.
 Principle 6 – Verification
These are activities other than monitoring that determine the validity of the HACCP plan and if the
system is operating according to the plan. The HACCP team may identify activities such as auditing
CCPs, record review, prior shipment review, instrument calibration, and product testing as part of the
verification activities.
 Principle 7 – Recordkeeping
A key component of the HACCP plan is recording information that can be used to prove that food was
produced safely. The records also need to include information about the HACCP plan. A record should
include information on the HACCP team, product description, flow diagrams, hazard analysis,
identified CCPs, critical limits, monitoring systems, corrective actions, recordkeeping procedures, and
verification procedures.
An example of how HACCP can be applied is shown in Table 1.
Table 1
Example of a Simple HACCP Application
Product: Chicken Adobo
Hazard: Improper temperature during transport
Critical Control Point: Receiving of supply
Critical Limit: The temperature of poultry should be 4°C/39°F or lower.
Monitoring: Check the temperature of the poultry and delivery vehicle.
Corrective Action/s: Refuse delivery if the temperature is above 4°C/39°F.
Hazard: Cross-contamination during storage
Critical Control Point: Storing supplies
Critical Limit: Raw poultry should be stored below ready-to-use or prepared food.
Monitoring: Place a label inside the cooler and storage instructions on the cooler door. Monitor the storage location
in the cooler.
Corrective Action/s: If raw poultry is stored above ready-to-use or prepared food, place the raw poultry back in a
lower location and discard any food items that might have been contaminated.

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Product: Chicken Adobo

Hazard: Cross-contamination during preparation
Critical Control Point: Poultry Fabrication
Critical Limit: Tools and other kitchenware used on raw poultry must not be used on ready-to-use or prepared food.
Monitoring: Visual observation. Use sanitized tools and kitchenware when preparing food. Use assigned tools and
kitchenware for raw poultry use.
Corrective Action/s: Discard any food items that might have been contaminated.
Hazard: Survival of pathogens during the cooking process
Critical Control Point: Cooking
Critical Limit: Chicken should reach a minimum internal temperature of 73.8°C/165°F for 30 seconds.
Monitoring: Use a probe thermometer and check the internal temperature on the thickest part of the chicken.
Corrective Action/s: If the chicken has not reached 73.8°C/165°F, continue cooking until it reaches the minimum
internal temperature.
Hazard: Bacterial growth following the cooking process
Critical Control Point: Holding before service
Critical Limit: Chicken adobo must be hotter than 60°C/140°F while holding.
Monitoring: Keep dish covered and in food warmers above 60°C/140°F.
Corrective Action/s: If food is held below the holding temperature for less than two (2) hours, reheat to 74°C/165°F.
If food is held below the holding temperature for more than two (2) hours, discard the food.

Developing a Food Safety Program

Manufacturers and foodservice operators employ a food safety program, a multi-faceted approach to food
safety management and consumer health protection (Mortimore, Sperber, & Wallace, 2018). Figure 2 shows
the elements of a food safety program and how they interact with each other.
Figure 2
Elements of a Food Safety Program

Adapted from Food safety for the 21st century: Managing HACCP and food safety throughout the global supply chain (2 nd ed.,
2018) by C.A. Wallaca, W.H. Sperber, and S.E. Mortimore (p. 154). Copyright 2018 by Wiley

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Safe Design of Product and/or Process – Mortajemi & Lelieveld (2014) mentioned the essential notions of
food safety definition: “preparation and/or use of food product should be considered in the product design.”
A safe design relies on understanding and controlling hazards, minimizing contamination, and evaluating the
effectiveness of control measures before being incorporated into the food product or production processes.
An example is evaluating whether to use straws made from paper or starch and whether these straws
deteriorate inside the drink.

Prerequisite Programs (PRPs) – These are the practices and conditions needed before and during the
implementation of HACCP (World Health Organization [WHO], 1999). They provide a hygienic foundation for
the HACCP system (NACMCF, 1997) by enabling favorable environmental conditions for producing safe food
(Canadian Food Inspection Agency [CFIA], 2015). PRPs work alongside HACCP as a preventative control system
(Mortimore, Sperber, & Wallace, 2018). It is not standardized like the HACCP principles, so approaches and
practices of prerequisite programs differ among food manufacturers and foodservice operators.

PRPs in the primary food production area should be based on appropriate hygienic practices, control of
contaminants, pests, and diseases, and the assurance that there are no environmental threats present in areas
where food is prepared (CAC, 2009). An example of a PRP is having kitchen employees change into clean and
complete work clothes (chef’s jacket, hairnet, apron, pants, and clogs) and washing hands before entering the
kitchen.

Food Fraud, Terrorism, and Defence/Defense - Food fraud is the deliberate adulteration or misrepresentation
of food or food ingredients for economic gain (HM Government, 2014). One major food fraud incident was
the Chinese Milk Scandal in 2008, when melamine, a chemical compound used in plastic products, was
deliberately added to infant formula to cheat on quality control testing. It led to kidney damage in thousands
of infants, and six (6) died from it (Ramzy & Yang, 2008). Food defence/defense is defined as the effort to
protect food from food terrorism or the intentional acts of adulteration where there is an intent to cause wide-
scale public health harm (Food and Drug Administration [FDA], 2016). Activities associated with food defense
and preventative measures against food fraud are done by managing the global supply chain.

Management practices ensure accountability and responsibility throughout the company structure and that
the resources supporting the fundamental elements of the food safety program are appropriately
administered, supervised, and controlled. Management practices include, and are not limited to, management
commitment, training and education, resource management, and supplier-customer partnerships.

Food safety culture within the company is critical to the effective operation of the food safety program. Food
safety programs only work if people in the organization have the understanding necessary to want to work
hygienically and operate in a culture where they believe that following procedures is the right thing to do and
the normal way to do things (Mortimore, Sperber, & Wallace, 2018).

References:
Desmarchelier, P. (2014). Safe handling of food in homes and food services. Food safety management: A practical guide for the food
industry. Academic Press, Inc.
Joint FAO/WHO Codex Alimentarius Commission. (2003). Codex Alimentarius: General Principles of Food Hygiene. World Health
Organization & Food and Agriculture Organization of the United Nations/World Health Organization
Joint FAO/WHO Codex Alimentarius Commission. (2009). Recommended International Code of Practice, General Principles of Food
Hygiene CAC/RCP 1-1969, Rev 4 (2003), Codex Alimentarius Commission Food Hygiene Basic Texts. World Health Organization
& Food and Agriculture Organization of the United Nations/World Health Organization

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Motarjemi, Y. & Van Schothorst, M. (1999). HACCP principles and practice: Teacher’s handbook. World Health Organization
Motarjemi, Y. and Lelieveld, H. (Eds.). (2014). Food safety management: A practical guide for the food industry. Academic Press
University of Nebraska – Lincoln Extension. (n.d.). The seven principles of HACCP. University of Nebraska – Lincoln Website. Retrieved
April 21, 2020, from https://food.unl.edu/seven-principles-haccp
Wallace, C.A., Sperber, W.H., & Mortimore, S.E. (2018). Food safety for the 21st century: Managing HACCP and food safety throughout
the global supply chain (2nd Ed.). John Wiley and Sons
US Food and Drug Administration. (April 2006). Managing food safety: A manual for the voluntary use of HACCP principles for operators
of food service and retail establishments. https://www.fda.gov/food/hazard-analysis-critical-control-point-haccp/managing-
food-safety-manual-voluntary-use-haccp-principles-operators-food-service-and-retail
US Food and Drug Administration. (2016). Mitigation strategies to protect food against intentional adulteration – Final rule. Federal
Register, 81 (103), 34219.
BC Cook Articulation Committee. (2015). Food safety, sanitation, and personal hygiene. https://opentextbc.ca/foodsafety/
World Health Organization (WHO). (1999) Strategies for implementing HACCP in small and/or less developed businesses.
WHO/SDE/FOS/99.7.
National Advisory Committee on Microbiological Criteria for Foods (NACMCF). (1997). Hazard analysis and critical control point
principles and application guidelines. Journal of Food Protection, 61 (6), 762–775
Canadian Food Inspection Agency (CFIA). (2015). Food safety enhancement program manual. Section 3.1 Prerequisite programmes.
Retrieved September 20, 2022, from https://inspection.canada.ca/food-safety-for-industry/archived-food-guidance/safe-
food-production-systems/food-safety-enhancement-program/program-
manual/eng/1345821469459/1345821716482?chap=4#s6c4
HM Government. (2014). The Elliott review into the integrity and assurance of food supply networks – Final report. A National Food
Crime Prevention Framework. Retrieved September 20, 2022, from
https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/350726/elliot-
review-final-report-july2014.pdf
Ramzy, A. & Yang, L. (September 16, 2008). Tainted-baby-milk scandal in China. In Time. Retrieved September 22, 2022, from
http://content.time.com/time/world/article/0,8599,1841535,00.html

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