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MODULE X - PRINCIPLE OF HACCPWITH RESPECT TO CANNING

Associate Professor Richard Mason School of Land and Food Sciences The University of Queensland

CONTENT OF THIS MODULE:..................................................................................2 LEARNING OUTCOMES:...........................................................................................2 INTRODUCTION .........................................................................................................2 DEFINITIONS...............................................................................................................3 GUIEDLINES FOR HACCP APPLICATION .............................................................5 STEP 1 HACCP CHAMPION/TEAM/SCOPE.............................................................6 STEPS 2&3PRODUCT DESCRIPTION AND INTENDED USE...............................6 STEP4 FLOW CHART .................................................................................................7 STEP 5 ON-SITE VERIFICATION OF FLOW CHART.............................................8 STEP 6 PRINCIPLE 1 HAZARD ANALYSIS.............................................................8 STEP 7 PRINCIPLE 2 DETERMINE CRITICAL CONTROL POINTS (CCP’S)....13 STEP 8 PRINCIPLE 3 ESTABLISH LIMITS FOR CCP’S .......................................15 STEP 9 PRINCIPLE 4 ESTABLISH A MONITORING SYSTEM FOR CCP’S ......15 STEP 10 PRINCIPLE 5 ESTABLISH CORRECTIVE ACTION PLANS.................16 STEP 11 PRINCIPLE 6 ESTABLISH VERIFICATION PROCEDURES ................17 STEP 12PRINCIPLE 7 ESTABLISH RECORD KEEPING AND DOCUMENTATION ..................................................................................................17 SUPPORT PROGRAMS.............................................................................................18 APPROVED SUPPLIER.............................................................................................19 DOCUMENT CONTROL...........................................................................................19 PREVENTATIVE MAINTENANCE .........................................................................19 AUDITING..................................................................................................................20 REFERENCES ............................................................................................................20

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CONTENT OF THIS MODULE: This module provides the learner with the basic knowledge of the operation and application of Hazard Analysis and Critical Control Points (HACCP) with an emphasis on the role of HACCP in the canning industry. The module describes the CODEX system of HACCP as part of a Food Safety Program. LEARNING OUTCOMES: On completion of this module, the learner will be able to: 1. Explain the function of HACCP in the canning industry 2. Discuss the 12 steps involved in implementing a HACCP plan 3. Explain what is meant by the terms

• HACCP • Hazard Analysis • Critical Control Points • Monitoring • Verification • Validation

4. Describe the operation and structure of a flow chart for canning 5. Describe the use of a Hazard Analysis Table 6. Describe the use of a HACCP Audit Table 7. The importance of control measures INTRODUCTION HACCP is a tool used as part of a Total Quality Management system to reduce the risk of consumers becoming injured by the consumption of food products. The system was introduced by NASA to reduce the likelihood of astronauts becoming ill due to food poisoning while in space. The concept introduced the term “Zero Defects”. The system was mainly introduced to deal with microbiological issues but its application has broadened to include all other possible hazards as well as quality issues. The importance of HACCP has increased as a result of legislation by Food Standards Australia and New Zealand (ANZFA) as part of the revised Food Standards Code. Chapter 3 - Food Safety Standards ( Australia only ) [ pdf 83 kb ] PART 3.1 Preliminary Standard 3.1.1 Interpretation and Application PART 3.2 Food Safety Requirements Standard 3.2.1 Food Safety Programs Standard 3.2.2 Food Safety Practices and General Requirements Standard 3.2.3 Food Premises and Equipment

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While 3.2.1 is currently only mandatory in Victoria the other states are considering various options in terms of its adoption. However, irrespective of this many food companies, manufactures, retailers, and food outlets have quality systems in place that requires the mandatory use of a Food Safety Program in order to operate with that company or organisation. 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. Flow 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 adverse 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.

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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.

FOOD SAFETY PROGRAM A Food Safety Program should include the following elements:

• codex HACCP system

• support programs cleaning procedures pest control calibration training GHP preventative maintenance programs approved suppliers

A Food Safety Program may be presented in a variety of forms • HACCP Plans (most processors) • Quality Manuals (most processors) • Guidelines (food service/small business) • Codes of Practice (food service/small business) HACCP is no guarantee of product safety an its effectiveness depends on:

• Skill/knowledge of HACCP team • Hazard identification • Effectiveness of control measures • Level of implementation • Commitment by management • Awareness of employees

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GUIEDLINES FOR HACCP APPLICATION

There are 12 steps based on application of 7 key principles of codex.

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The key elements for the successful application of a HACCP Plan are:

• commonsense • knowledge of product process • understanding of HACCP

STEP 1 HACCP CHAMPION/TEAM/SCOPE

This step is important as it defines the range of skills to be used in developing the HACCP Plan. There needs to be an appointed CHAMPION or TEAM LEADER who is in charge and will drive the process. The HACCP Team require a mix of team skills to cover all the aspects associated with the process. The HACCP could include the following:

• HACCP Expert (consultant?) • Quality Assurance • Production • Purchasing • Maintenance

The scope of food safety plan must be clearly defined. (food safety, quality ,products) in order that the aim of the Food Safety Plan can be achieved. STEPS 2&3PRODUCT DESCRIPTION AND INTENDED USE It is necessary to define the product description and intended use so that the product is adequately defined and to give a summary of the main characteristics for identification of the main requirements for assessment during hazard analysis. The main factors to consider are: • Product description • Composition • Method(s) of preservation • Packaging-primary, secondary, tertiary • Storage requirements • Distribution requirements • Shelf life • Labelling • Customer Preparation • Sensitive populations (potential risk eg msg,SO2,etc) • Safety and quality criteria (specifications)

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STEP4 FLOW CHART Flow charts are used to

• summarise all the main steps in the process • identify all unit activities such as packing, cooking, grading, cooling • identify all process inputs such as water, packaging, dry ingredients • show the steps in product manufacture • be tool for hazard analysis

Flow charts are based on the use of 5 standard symbols as follows:

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STEP 5 ON-SITE VERIFICATION OF FLOW CHART The accuracy of the flow chart should be verified by the HACCP team to:

• ensure all steps are included • ensure the process is correctly described • ensure any delays are included • ensure “alternatives” are included (equipment used when usual is broken)

This is done by taking the draft flow chart and walking around the plant and checking that what has been recorded is what is actually happening. Observation and interviews of staff are the essential aspects of this process. STEP 6 PRINCIPLE 1 HAZARD ANALYSIS There are 4 key steps in hazard analysis : 1. identifying potential hazards 2. determining the cause of the hazard 3. assessing the significance of the hazard 4. determining and establishing control measures as needed for the hazard HAZARD ANALYSIS TABLE

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1. Identifying potential hazards • A hazard is any biological, chemical or physical agent in, or condition of, food

with the potential to cause an adverse health effect. (codex) • Potential hazards are anything that will result in product spec. not being achieved. • Hazards may relate to the 5 P’s

products raw materials, ingredients, packaging, water finished product plant/equipment metal premises dust, rodents procedures methods, processes people hygiene, training

• Hazards are categorised by how they affect product integrity.

food safety product quality environmental legal OH&S

The scope defines which ones apply. Food safety hazards may be: 1. Biological hazards :

Bacteria e.g. salmonella sp. clostridium sp. fungal e.g. aspergillus spp. viral eg hepatitus parasitic eg liverfluke, giardia

2. Chemical hazards\

naturally occuring mycotoxins shellfish toxins oxalic acid solanine

added chemicals pesticides food additives and preservatives fertilizers cleaning chemicals heavy metals

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3. Physical hazards

glass dirt wood metal, plastic jewelry human particles eg hair, fingernails, false teeth

4. Quality hazards Quality hazards are those hazards that prevent the product from meeting specified customer requirements.

• Customer size shape colour weight

• Legislation which may affect ingredient or additive composition and level

2. Determining the cause of hazards It is important to distinguish between the hazard and its cause.eg. microbial growth is a hazard and high product temperature may be the cause. Control measures and critical limits usually address the cause. The cause of a hazard may be related to :

defective raw material defective equipment incorrect storage conditions inappropriate handling practices incorrect packaging materials unsuitable environmental conditions

3. Assessing the significance of the hazard. This is a subjective assessment based on the knowledge and experience of the HACCP team. To determine the significance consider:

• Severity – what are the consequences if the hazard occurs • Likelihood – of the hazard occurring

Severity and likelihood can be rated as :

• high • medium • low

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or by the Work Risk Assessment Classification (WRAC) system for risk management. Results of the hazard analysis are recorded in the Hazard Analysis Table/report using the checklist. 4. Control measures The purpose of a control measure is to : • prevent a hazard from occurring • eliminate the hazard when it occurs • reduce the hazard to an acceptable level

Where a significant hazard has been identified, a control measure must be developed and implemented. The control measure may occur at an earlier or later step eg metal detectors at end pasteurisation after receival There may be more than one control measure eg source from approved supplier and store ,5°c. Control measures include : For product :

• heating (cooking, pasteurisation, retorting, baking, frying) • cooling (freezing, refrigeration) • acidification • chemicals ( preservatives) • gases (map and cap )

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For process

• training • calibration • cleaning

Control measures need to be documented in the HACCP plan or the support programs such as :

• cleaning • calibration • pest control • hygiene

Control measures must be measurable otherwise they cannot be controlled. STEP 7 PRINCIPLE 2 DETERMINE CRITICAL CONTROL POINTS (CCP’S) A CCP is: • 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. ( codex ) • a point where a food safety hazard of high significance can occur ( 1-10 ) • for each significant hazard there must be at least one ccp A CP (control point) is : • a point where a food safety hazard of moderate significance can occur • control of the hazard is needed but not critical A CQP (critical quality point) is: • a point where a quality hazard of high significance can occur • control of the hazard is essential A QP (quality point) is • a point where a quality hazard of moderate significance can occur • control of the hazard is needed but not critical

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CCP’S are recorded on a HACCP Audit Table

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STEP 8 PRINCIPLE 3 ESTABLISH LIMITS FOR CCP’S A critical limit is a criterion, which separates acceptability from unacceptability (codex). Limits must be established for each CCP and each CQP. Limits may also be set for CP and QP. Limits must : • have a scientific basis (validated) • be objective • be easy to monitor • be related to the control measure • justified STEP 9 PRINCIPLE 4 ESTABLISH A MONITORING SYSTEM FOR CCP’S Monitoring is the act of conducting a planned sequence of observations or measurements of control parameters to assess whether a ccp is under control (CODEX). Monitoring ensures that the control measure is carried out correctly and that the critical limits have not been exceeded. Monitoring may be continuous (on-line) or non-continuous (sampling) Monitoring procedure The 5 key steps in monitoring are: • What • Who • How • Where • When

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STEP 10 PRINCIPLE 5 ESTABLISH CORRECTIVE ACTION PLANS Corrective action is any action to be taken when the results of monitoring at the ccp indicate a loss of control (CODEX). The steps in establishing corrective actions are : • address the impact of what has gone wrong

stop the process isolate the product assess the extent of the problem correct the problem

• correct the fault in the system

fix the direct cause of the problem repair equipment re-calibrate equipment

• prevent it from happening again

retrain staff installing or changing equipment additional inspection maintenance and calibration programs keep records

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STEP 11 PRINCIPLE 6 ESTABLISH VERIFICATION PROCEDURES Verification is the application of methods, procedures, tests and other evaluations, in addition to monitoring to determine compliance with the HACCP plan (CODEX). Verification is making sure that the HACCP plan is working effectively to control the hazards identified within the system. Validation is the scientific basis for ccp limits eg legislation states store product at <5°c Monitoring is the process which tests that limits are being achieved eg measure Temp to determine <5°c Verification is the process which tests that the process is effective eg test product to determine no bug growth Verification frequency should ensure HACCP system is working. Categories of verification include : 1. Overall HACCP plan 2. Hazard review 3. CCP’S 4. Critical limit review 5. Audits (internal and external) STEP 12PRINCIPLE 7 ESTABLISH RECORD KEEPING AND DOCUMENTATION Efficient and accurate record keeping is essential to the application of a HACCP system. All HACCP procedures should be documented. Documents and records should be appropriate to nature and size of operation (CODEX) Records and documentation demonstrate: 1. process is under control 2. product safety

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Documents and records need to be controlled to : • keep in good condition • readily accessible • legal requirements A record system should state: • where documents and records are stored. • who is responsible • date and length of storage SUPPORT PROGRAMS Support programs are necessary to ensure the effectiveness of a HACCP plan. Support programs can be linked to Food Safety Standards

• calibration 3.2.2.21 • cleaning 3.2.2.18-19 • GHP 3.2.2.2.13-17 • pest control 3.2.2.23 • training 3.2.2.3 • approved supplier 3.2.2.5 • document control 3.2.2.3(c)&4(e) • preventative maintenance 3.2.2.20

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APPROVED SUPPLIER These are suppliers approved on their ability to supply safe material. Company should have records of approved suppliers. • companies • inspection data • audit reports • corrective action Approved suppliers are monitored by: • certificates of analysis • audits • receival inspection • testing ( chemical, micro, physical)

DOCUMENT CONTROL The actual procedure for control of documents can be a support program. PREVENTATIVE MAINTENANCE Engineering staff part of HACCP team Sub-contractors need to be controlled and need to have a schedule of activities eg • lubrication (food grade grease) • bearing changes • oil changes • blade sharpening ( count tools in/out) Unscheduled activities such as breakdowns require a job request

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AUDITING Auditing provides confidence that the food safety program: • meets the requirements of the standard (ANZFA, SQF, Woolworths) • has been effectively implemented • appropriate • effective Types of audit include • internal ( first party )( us on us ) • external ( second party )( us on them ) • extrinsic ( third party )( them on us ) External and extrinsic auditors must be certified.

REFERENCES Anon (1997) A Guide to the implementation and auditing of HACCP. SCARM Report : no 60. Standing Committee on Agriculture and Resource Management. CSIRO Publishing Vic. http://courses.che.umn.edu/01fscn1102-1s/topics.html http://www.fao.org/docrep/W6419E/w6419e03.htm#principles%20of%20the%20haccp%20system http://www.fao.org/docrep/W8088E/w8088e05.htm http://www.foodstandards.gov.au/foodstandardscode/