HACCP

Translations of the first edition of this title are available in Spanish and French

H A C C P : Enfoque practico Editorial Acribia SA Royo.Num23 50006 Zaragoza Spain

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HACCP A practical approach

Sara Mortimore

and

Carol Wallace

Springer-Science+Business M e d i a , B . V .

Copyright © 1998 by Springer Science+Business Media Dordrecht Originally published by Chapman & HalI in 1998

AII rights reserved.

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Editorial Services: Rose Gilliver Library of Congress Catalog Card Number: 98-70684

ISBN 978-1-4613-7648-4 ISBN 978-1-4615-5781-4 (eBook) DOI 10.1007/978-1-4615-5781-4

2 3 4 5

To Bill for continued inspiration, and to Lawrence and Christopher for their unfailing support and encouragement.

Contents

Authors' introduction to the second edition xi Foreword xiii Acknowledgements xv Disclaimer xvii About this book xix

1 An introduction to HACCP 1 1.1 Where did HACCP come from? 2 1.2 Why should I use HACCP? 2 1.3 How does HACCP help? 3 1.4 What are the benefits? 3 1.5 Are there any drawbacks? 4 1.6 What are the Principles of HACCP? 4 1.7 Is HACCP applicable to everyone? 6

2 Why use HACCP? 13 2.1 Management of product safety 13 2.2 Examples of food safety incidents 15 2.3 Limitations of inspection and testing 20 2.4 External pressures 22 2.5 Prioritization for improvement 28 2.6 Meeting food safety objectives 29 2.7 The benefits 29

3 Preparing for HACCP 31 3.1 Preparing the way - personnel and training 32 3.2 What is our current status? - baseline audit and

gap analysis 47 3.3 How do we get there? 59 3.4 Summary 67

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Contents

4 An introduction to hazards, their significance and control 69 4.1 Hazards and their significance 69 4.2 Hazard types 70 4.3 Understanding control measures and control

points 90 4.4 Practical hazard control 94

5 Designing safety into products and processes - can it be made safely? 101 5.1 Intrinsic factors 102 5.2 Raw materials 106 5.3 Process technologies 108 5.4 Establishing a safe and achievable shelf-life 110 5.5 Product safety assessment 112

6 How to do a HACCP Study 125 6.1 What is the HACCP Plan? 125 6.2 Define your terms of reference 126 6.3 Describe the products and their intended use 130 6.4 Constructing a Process Flow Diagram 132 6.5 Carrying out the hazard analysis 133 6.6 Where are the Critical Control Points? 160 6.7 Building up the HACCP Control Chart 166 6.8 Process capability - can the Critical Limits

be met? 191 6.9 Challenging your controls 202 6.10 Validation of the HACCP Plan 204

7 Putting the HACCP Plan into practice 205 7.1 Implementation requirements 205 7.2 Implementation Team 208 7.3 Training 209 7.4 Set up monitoring systems 212 7.5 Record keeping 217 7.6 Facilities and equipment 220 7.7 Implementing the Plan 221 7.8 Confirm and verify that implementation

is complete 221

8 HACCP as a way of life - maintaining your HACCP System 223 8.1 Initial and ongoing verification through audit 226 8.2 Analysis of data 237 8.3 Keeping abreast of emerging hazards 241

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Contents

8.4 Updating and amending your HACCP Plan 242 8.5 Ongoing training requirements 253 8.6 Summary of maintenance requirements 255

9 Broader applications - linking HACCP with other Quality Management techniques 257 9.1 HACCP and Quality Management Systems 257 9.2 Laboratory accreditation 268 9.3 Broader applications of HACCP 270 9.4 Using HACCP in targeting resource - a

strategy for continuous improvement 278

10 Epilogue 283 10.1 Introduction 283 10.2 Integrated food safety management system 286 10.3 Education and training 287 10.4 Closing thoughts from the authors 288

References, further reading and resource material 291 References 291 Further reading 295 Computer software 296 Databases 296 Videos 296 Links to food safety and HACCP Internet and Wordwide Web sites of interest 297

Appendices 305 A Case studies 305 B Pathogen profiles 379 C Glossary 393 o Abbreviations and definitions 397

Index 399

ix

Authors' introduction to the second edition

When we wrote the first edition of HACCP: A practical approach, we did not dream that it would be so successful. Its popularity related mainly to the easy-to-read style, and step-by-step approach to plan­ning, developing, implementing and maintaining an effective HACCP system.

There have been a number of changes in the HACCP field in the past four years, which this new book takes into account. The Codex HACCP system and guidelines, the international HACCP 'standard', has been updated and republished (Codex, 1997), and increased experience in the practicalities of HACCP worldwide has led to changes in the way it is applied. Specifically, this has led to the use of more modular HACCP systems and even generic HACCP being favoured in some sectors. There has been much focus in parts of the world on the use of prerequisite systems which 'design out' hazards and allow the HACCP Plan to control those hazards that are specific to the process. All of these issues (and more!) will be discussed.

We have set out in this second edition, using the same straight­forward formula, to update and extend our practical advice on the use of HACCP systems.

An example HACCP study is again used to illustrate the theory in Chapter 6, but this time the modular approach, which is now more commonly used, is illustrated. A completely new set of HACCP case studies has been added to Appendix A, giving up-to­date ideas from HACCP practitioners.

Some of the changes have been stimulated by feedback from

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Author's introduction to the second edition

xii

readers. We welcome this input and would encourage readers of this edition to advise on any improvements for the future.

For those of you who have read and enjoyed the first edition, we hope that the second edition will not only bring you up to date with developments since 1994, but also provide food for thought and stimulate your ideas on HACCP as a major part of global food control. For those who are new to HACCP and this book, we trust that it will help you find your way to a successful HACCP system.

Sara Mortimore and Carol Wallace

Foreword

Since the 1994 publication of HACCP: A practical approach, many changes have occurred in the world of food safety. A number of driving forces have converged, focusing more attention on the proper management of food safety. These forces have prompted a revision and expansion of HACCP: A practical approach. Fortunately, the authors have been able to come forth with this timely revision of their most useful and excellent work.

Unquestionably, the most significant driving force for increased attention to food safety has been the continued surge in new food­borne pathogens and the related illness outbreaks. Micro-organisms such as Salmonella typhimurium OTl04, antibiotic-resistant Campylobacter jejuni, Cryptosporidium parvum and Cyclospora cayeta­nensis were practically unknown in foods before 1994. However, most important in this regard has been the surge in major outbreaks of illness caused by Escherichia coli 0157:H7 around the world. While it was originally found to be associated with dairy cattle, the ecological range of this pathogen is expanding. It is now a more frequent contaminant of raw animal foods and raw produce.

The surge in new foodborne pathogens and illnesses has led to unprecedented media attention to the safety of the global food supply. As a result, consumers are more aware of the potential prob­lems and are demanding safer foods. Government regulatory agen­cies in many countries have responded by developing regulations for food safety. Many of these regulations require that the HACCP system of food safety be used in the production of food.

The remaining driving forces for food safety are not as obvious. As HACCP systems are implemented in food plants worldwide, it is important that these be done uniformly to facilitate the global sourc­ing of raw materials and the global distribution of foods. The need

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Foreword

xiv

for a common understanding of HACCP principles and procedures is clear. Global companies are now requiring a uniform application of HACCP. New process technologies for the destruction of micro­organisms - high pressure, irradiation, pulsed electric fields, etc. -will need to be validated for their effectiveness in controlling micro­bial hazards. The revolutions in information technology and biotechnology are also beginning to impact food safety manage­ment. Some companies are beginning to monitor Critical Control Points electronically. The development of polymerase chain reaction technology may provide real-time monitoring for specific micro­organisms in a process.

The need for prerequisite programmes to support HACCP has also become apparent since 1994. Many of the procedures used for the management of HACCp, such as documentation, maintenance, and training, can also be used for the management of prerequisite programmes.

The purpose of this book is to provide the information necessary to establish and maintain a HACCP system. The authors have succeeded admirably in describing the application of the HACCP principles by using many examples, including a number of well­developed HACCP case studies.

HACCP: A practical approach has proved to be a valuable resource and has been very widely used in the four years since its publica­tion. The revisions and expansion in this second edition, and its availability in three languages, will make it even more useful as a resource to help satisfy the global demands for improved food safety management. HACCP: A practical approach, second edition, will be equally helpful to food producers and regulators word wide.

William H. Sperber Senior Corporate Microbiologist

Corporate Food Safety Cargill

Minneapolis, MN, USA

Acknowledgements

We are indebted to the following people for input into this book:

Dr W. H. Sperber (Cargill Inc.) Mr D. J. Phillips (Pillsbury Europe) Dr R. Evans (Reading Scientific Services Ltd.) Mrs S. Leaper (CCFRA) Mr A. P. Williams (Williams & Neaves)

HACCP Case Study Authors:

Dr D. Worsfold Ms P. Nugent MsA. Sloan Mr K. Y. Chong MrA. Mak Mr P. de Jongh G.

(Cardiff Business School) (Cadbury Chocolate Canada Inc.) (Foyle Meats) (Singapore Productivity and Standards Board) (Cargill Venezuela)

Special thanks are extended to Ray Gibson and Colin Gutteridge at RSSL and Bill Newman at The Pillsbury Company for support throughout the project, and also to Di Amor (information support) and Mary Morris (typing).

Finally, we remain grateful to the following for their contribu­tions to the first edition of HACCP: a practical approach, many of which remain in this second edition.

Mr A. L. K yriakides Mr P. Catchpole Mr P. Socket Mr A. W. Roberts, cartoonist Mr L. Cosslett Dr M. C. Easter Mr D. B. Rudge

0. Sainsbury pIc) (Waterford Foods) (CDSC)

(Britvic Soft Drinks) (Celsis International) (Kerry Foods)

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Disclaimer

The material in this book is presented after the exercise of care in its compilation, preparation and issue. However, it is provided with­out any liability whatsoever in its application and use.

The contents reflect the personal views of the authors and are not intended to represent those of The Pillsbury Company, Reading Scientific Services Limited, or their affiliates.

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About this book

The purpose of this book is to explain what HACCP really is and what it can do for any food business. It will lead you through the accepted international approach to HACCP and will show you how to do it, from start to finish of the initial study, through to continu­ous maintenance of your system. The information given within the book may also be used as a basis for developing a HACCP training programme*.

You may have a number of reasons for wanting to know more about HACCP. If you are running a food business, you may already have decided that HACCP is the best control option available or you may have been asked to implement it by customers or regula­tory authorities. You may be a regulatory authority and wish to enhance your understanding of the techniques. Alternatively, you may be studying the system as part of a broader course on food control or have noted the increasing recommendation for HACCP in legislation and guidelines.

Whatever your motivation for reading this book, there are a number of questions you will probably want to ask:

• What is HACCP? • Where did it come from? • Why should I use HACCP? • Is HACCP available to everyone? • How does HACCP help? • What are the benefits? • Are there any drawbacks?

* The contents of the book cover the requirements of the Royal Institute of Public Health and Hygiene HACCP Training Standard (RlPHH, 1995b). The book can there­fore be used as the basis of a training programme designed to meet this standard.

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About this book

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• What are the principles of HACCP? • Is it difficult? • How do I do it?

You will find some brief answers in Chapter 1, with full explana­tions and examples showing 'how to do it' throughout the rest of the book.

The book has been designed to lead you through to a successful HACCP programme. It is based upon the international HACCP approach advocated by the Codex Alirnentarius Committee on Food Hygiene (1993, 1997) and the National Advisory Committee on Microbiological Criteria for Foods (NACMCF, 1992, 1997) in the United States of America. The former is a committee of the WHO/FAO Codex Alirnentarius commission.

It is recommended that you read the book from start to finish before going back over the 'doing' sections as you begin the HACCP process. As each of the HACCP techniques is explained, completed examples have been provided and there are additional case studies in Appendix A which can be used to look at different styles of application and documentation. Useful reference informa­tion on hazards and their control can be found in Chapter 4 and Appendix B.