CMX1 is built on a fundamental belief that Quality and Operational Excellence should be attainable to all brands, regardless of size.
No matter your role, you know the key to winning and maintaining customer trust is consistency in execution. It's definitely a challenge, but we believe everyone can be a hero of quality and product safety.
CMX exists to help organizations of all sizes achieve and maintain Quality and Operational Excellence. We have the tools, people, know-how, and experience to get your business to where it needs to be.
When you choose CMX and CMX1, you're gaining a partner completely invested in your success, and a proven Quality Management solution used by some of the world's greatest brands.
Hazard Analysis and Critical Control Point, better known as HACCP, is a set of preventative guidelines, procedures, and principles that businesses within the Food, Beverage, and Hospitality industries follow to ensure food safety during the food production process. HACCP is applicable at all stages of the food chain - from food manufacturing to preparation processes including packaging, distribution, selling to customers, or serving to guests.
While HACCP is not the only method in ensuring safe food production - its mission is simple: to provide a systematic approach to food safety in the prevention and elimination of any physical, biological, chemical, or radiological food safety hazard — any of which could cause harm to customers, and irreparable damage to a brand and the loss of customer trust.
The 7 principles of HACCP were established in the 1990s, and although the Food & Beverage, and Hospitality industries have dramatically changed over the last two decades, these principles remain just as relevant as ever. Below, we’ll review them in detail and explain why each one is essential, so that you can prepare and implement your own HACCP plan and Food Safety System.
Before we dive into the underlying 7 principles of HACCP, it’s important to note a few necessary elements in order to apply them successfully. This is especially imperative since the fundamentals of HACCP apply broadly across the entire food chain, including:
“HACCP is designed for use in all segments of the food industry from growing, harvesting, processing, manufacturing, distributing, and merchandising to preparing food for consumption. Prerequisite programs such as current Good Manufacturing Practices (cGMPs) are an essential foundation for the development and implementation of successful HACCP plans. Food safety systems based on the HACCP principles have been successfully applied in food processing plants, retail food stores, and food service operations.”
Due to its extensive reach, the success of your HACCP plan hinges upon the active involvement of management and commitment from all employees. If it’s to be maintained from start to finish, there must be a concerted company-wide effort with an intensive focus on food safety and quality. For that to occur, it has to start from the top. Once management (at all levels) is firmly committed to the importance of the HACCP principles, company employees will become more aware of the seriousness of food safety and quality.
One of the ways senior management can instill such virtues in their employees, is to provide them with training of essential topics such as:
- Employee roles in the HACCP program
- Sanitation Standard Operating Procedures (SSOPs)
- Recognizing and identifying high risk TCS (temperature control for safety) foods
- Pest prevention
- Allergen programs
- Individual cleanliness (and the importance of protective clothing)
- Best practices for handling materials and ingredients
- Proper storage methods and correct labeling
- Product tracing and recovery
- Proper transportation methods
- Correct chemical application
- Verification procedures (suppliers, equipment, etc.)
To implement your HACCP plan successfully, you need to take a few preliminary steps:
A. Assemble your HACCP team – It’s important to inform your entire staff about your intention to implement HACCP in your establishment. For the plan to be successful, you need the commitment from all employees, not just the ones in your HACCP team.
The first step in the process involves gathering a multidisciplinary group of team members who have special knowledge and expertise relating to the food being manufactured, prepared, and/or being served. This will include employees from various fields and departments, and can vary depending on the type of operation or where you sit within the food chain. These can include:
One of the team members will be a designated supervisor or coordinator, making sure the entire team understands their roles and responsibilities. Naturally, you may need to enlist the services of outside experts who have specific knowledge on a process or facet of the operations. Regardless, all the core members have to work in unison towards the same goal.
B. Identify the products, foods, and processes that are to be covered by the HACCP plan – It’s vital to have a clear understanding and description of each food product including related ingredients, packaging materials, equipment used, and preparation processes in order to identify any potential food safety hazards. It’s important to cover all aspects related to the food production process. These can include (but are not limited to):
Raw materials and ingredients (how ingredients are prepared to ensure optimal food safety);
Formulations or recipes (identify TCS foods);
Processing methods and finished product standards (identify temperature, pH, or water activity which can support microbial growth);
Materials and equipment to be used in preparation (ensuring equipment is clean and in working order);
All methods and control measures for food safety.
C. Elaborate on the food product’s intended use and consumers – It’s important to identify the target market of the food product/s you’re providing. Some foods may be meant for the general public, while others are for high-risk segments of the population (e.g. infants, hospital patients, or the elderly). Ready-to-eat foods (foods that won’t undergo an additional cooking step by the consumer) are also considered high-risk. You need to identify who will be using the food product and how you expect it to be prepared and consumed. An example of such a food product description will look like this:
PRODUCT DESCRIPTION AND INTENDED USE
Product name Descriptive product name (as it will be displayed on packaging/menu). |
Cheddar Cheese |
Important product characteristics of end product (e.g. aw, pH, etc.) Do any of these characteristics support or inhibit the growth of microorganisms? |
Moisture content: 38% - 40% pH: 5.2-5.4 Salt content: 1.5 - 2.5% Light yellow in color Firm, smooth, uniform texture |
How the product is to be used Will the product be eaten raw (ready-to-eat) or is there another cooking step? |
Cheese is ready to eat once sliced, grated or used in cooked meals. |
Packaging Is the product packaged in cartons, polypropylene bags, or cans? |
Vacuum-packed in plastic vacuum packaging bags. |
Shelf-life Should the product be consumed immediately? |
Unopened: 1-2 months in fridge; 6-8 months in freezer |
Where it will be sold Is the product to be sold at retail level, restaurants, or high-risk institutions (to infants, hospital patients, or the elderly)? |
Restaurant delicatessen |
Labeling instruction If there are any allergens, it needs to be mentioned here |
A sticker is placed on the vacuum packed product with ingredients in descending order. Allergens include cow’s milk. Keep refrigerated below 5°C |
Special distribution control Do the food products need to be transported at refrigeration/freezing temperatures? |
Distributed using refrigerated transport at (≤5°C) to wholesale and retail outlets |
D. List ingredients and raw materials – You need to include all the ingredients and raw materials that go into each food product (or meal) you produce. It's important to list every single ingredient. Considering that spices have been implicated in numerous recalls and outbreaks over the past few years, you do not want to leave out a seemingly insignificant ingredient.
It’s also vital to know the origin of each ingredient you use. As part of your prerequisite program, each vendor needs to provide you with a certificate of analysis (CoA) of every ingredient they supply you with. Ensuring that your suppliers have effective food safety programs and GMPs in place, will ultimately strengthen your own HACCP plan.
E. Create a procedural flow diagram – The flow diagram includes all the steps necessary to produce a final product, from the reception of raw materials, preparation of the food, and even packaging. If the specific process is within the control of your establishment, it should be included. The flow diagram should also be detailed enough as to identify all potential food safety hazards, but simple enough to follow and understand. In other words, do not add unnecessary information that might clutter the important steps. With a flow diagram in place, it’s easier to identify areas where contamination can potentially occur and where control can be applied.
F. Perform on-site validation of the flow diagram – While drawing up your flow diagram, you might think you’ve covered every process, but it’s essential to double-check that the whole production process is indeed included in the flow diagram. It’s therefore crucial for the HACCP system to be verified either by the core team, a 3rd party inspector, or even an auditor to ensure the accuracy of the flow diagram. This helps identify any modifications or amendments that may be necessary, which helps optimize and streamline the process.
Once this rigorous process and assessment is complete, you’re finally ready to apply the 7 principles of HACCP.
Now let's delve into the 7 HACCP Principles and how they can be successfully implemented.
The first principle of HACCP involves conducting a hazard analysis: preparing a list of steps in the process where significant food safety hazards occur and describing the preventive measures you plan to put in place. Thus, the goal of this principle is two-fold:
- Identify potential food safety hazards that might harm consumers;
- Define preventative measures you can employ to reasonably control these hazards
The first step in creating a HACCP plan involves performing a hazard analysis and then identifying the suitable control responses. The FDA defines a hazard as a “Biological, chemical or physical agent that is reasonably likely to cause illness or injury in the absence of its control.” It’s crucial to distinguish between safety and quality; since, in this process, hazard is linked to safety concerns and not quality concerns. This principle focuses on hazards that are reasonably likely to occur in any of the following:
A comprehensive hazard analysis is imperative for any effective HACCP plan, especially since a hazard in one retail location or facility may not be significant in another. Failure to identify potential hazards could render the entire HACCP system useless, regardless of how rigorously it is adhered to, seeing as there will be gaps or dark spots it fails to cover.
Furthermore, the second step requires that you determine the severity/likelihood of the potential hazards. The more severe and/or the more likely the hazard, the more the HACCP plan should focus on addressing it.
According to the FDA, a Critical Control Point (CCP) is: “a point, step, or procedure in a food process at which control can be applied and is essential to prevent or eliminate a food safety hazard or reduce such hazard to an acceptable level”
In order to identify each CCP, you want to use a CCP decision tree, such as the following:
There are different types of CCPs within a process, but they all have the same purpose: eliminate the risk, or reduce it to an acceptable level. According to the FDA, examples of CCPs can include:
Going through the process, many find it difficult to determine whether a step is a critical control point or not. If a food safety hazard is likely to occur once control is lost at that step, then it is likely a CCP.
After CCPs have been identified, your team needs to establish critical limits (maximum or minimum values) that are necessary to maintain a safe environment and prevent, eliminate, or reduce food safety hazards to an acceptable level. These are used to discriminate between an unsafe and safe operating condition—at any given CCP—and shouldn’t be confused with operational limits that are established for reasons beyond food safety.
Critical limits must be based on scientific factors, guidelines, regulatory standards, experts, or experimental results.
They include factors such as:
In order to maintain Critical Control Points, you need to regularly monitor them, making sure that the critical limits are indeed adhered to. Ideally, the monitoring procedures are continuous and done electronically. Doing this will ensure increased accuracy, control, and visibility over the process as opposed to doing it intermittently and manually (see our blog post on this for more information).
Establishing monitoring procedures serves three essential purposes:
- Helps you to keep track of the specific operation. It provides you with an early warning if your process trends towards loss of control. If so, you can apply the proper remedying actions to course correct before you reach the critical limit. If this trend persists, it’s perhaps necessary to rethink the layout of the production process;
- Assists in determining when a deviation occurs;
- Provides documentation that can be used later for verification purposes.
Monitoring a CCP is an important responsibility. Employees should be properly trained on the “why” and the “how”. Once employees understand the impact of food safety hazards (e.g. outbreaks, product recalls, business closure, job losses, etc.), they are more likely to get on board with the HACCP plan. Make sure that all employees (including senior management) are clear on:
To make sure that the critical limits are accurately monitored, equipment and instruments need to be calibrated and validated on a regular basis.
When deviations do inevitably occur, it’s vital that corrective actions be taken immediately. This involves the following steps:
It’s crucial that you outline unique corrective actions for each CCP in advance, and list those in your HACCP plan. Instructions can include:
- What is to be done after a deviation happens;
- Who will be responsible for applying corrective actions;
- How and where the corrective actions will be documented;
Once you have your HACCP plan in place, you need to make sure it works correctly. Verification can involve any activity, besides monitoring, that tests the efficacy of the HACCP plan and ensures that it's working as intended. This verification involves two primary aspects:
According to the UK Food Standards Agency, there are several ways to verify your HACCP procedures. These can include:
- Taking temperature measurements at different steps of the process, ensuring that it is at the level you expect it to be;
- Testing product samples during and after production, to ensure microbiological and chemical safety.
- Ensuring that suppliers of raw material adhere to food safety principles by means of external audits.
For restaurants, hotels, ghost kitchens, and other retail food service establishments it’s critical to establish a checklist and operational routines for each day part and shift throughout the week to ensure your HACCP system and procedures are being followed. Continually verifying your HACCP system establishes and maintains “Active Managerial Control” and a culture of “Operational and Quality Excellence” that reinforces expected behaviors.
Examples for verifying HACCP procedures may include:
- Completeness of the HACCP plan;
- Accuracy of the flow diagram(s);
- Whether the location is operating according to the HACCP plan;
- Review and completeness of activities;
- Evidence and accuracy of monitoring data, logs, corrective action documentation, and overall record keeping;
- Any evidence of review or modifications to the plan;
- Training and knowledge of employees for procedures and monitoring of CCPs.
It’s of vital importance to maintain proper records for all aspects of the HACCP system, particularly for auditing purposes. It allows you to keep track of raw materials, process operations, and finished products in your establishment. You will also be able to identify potential problem areas where deviations might occur. You should keep a record of the following:
1. A written hazard analysis summary;
2. The HACCP plan including:
3. Secondary or support documentation
4. Documentation that occurs during plan’s implementation and continued execution
Successfully applying the 7 principles of HACCP is a significant process for any business operating within the Food, Beverage, and Hospitality industries. And, as we’ve written about previously (How to improve HACCP Food Safety Systems in your Restaurants), an industry-wide trend is occurring where brands are ditching pen and paper-based HACCP plans in favor of going digital.
At CMX, the CMX1 platform helps you take your operational routines, quality, and HACCP-related procedures out of the Stone Age and bring them into the 21st century. Our digital operational execution platform utilizes modern technology and tools to:
Are you interested in embracing the future of digital HACCP? If so, reach out to us today and one of our experts can show you how.
Did you know that CMX1 isn't just for HACCP? Interested in learning more about why you should be ditching your paper checklists and automating all your operational routines? Visit our blog on the topic here or better yet download our eBook on the topic here.
Sources:
Ciri Science. HACCP Summary. https://www.ciriscience.org/a_42-HACCP-Summary
FDA. Hazard Analysis and Risk-Based Preventive Controls for Human Food: Draft Guidance for Industry. https://www.fda.gov/media/99558/download
Small Business Chronicle. How to Identify Critical Control Points. https://smallbusiness.chron.com/identify-critical-control-points-65347.html
FDA. HACCP Principles & Application Guidelines. https://www.fda.gov/food/hazard-analysis-critical-control-point-haccp/haccp-principles-application-guidelines
UK Food Standards Agency. My HACCP. https://myhaccp.food.gov.uk/help/guidance/principle-6-verification
FDA. Sauer Brands, Inc. Voluntarily Recalls Certain The Spice Hunter Products Because of Potential Salmonella Contamination.https://www.fda.gov/safety/recalls-market-withdrawals-safety-alerts/sauer-brands-inc-voluntarily-recalls-certain-spice-hunter-products-because-potential-salmonella
Swainson's Handbook of Technical and Quality Management for the Food Manufacturing Sector. Product control and hazard analysis and critical control point (HACCP) considerations. Woodhead Publishing Series in Food Science, Technology and Nutrition 2019, Pages 123-163
We’re here to answer your questions, big and small. And we’d love to show you how CMX1 can help solve your quality, risk and compliance challenges.
Message Received!
Your message took a scenic V.I.P tour around the planet and has arrived safely in our CMX team inbox ready for our experts to gather together and craft a response that you'll be inspired to talk about at your next office party.
(We're on the case and will be back to you within 1 business day, but please call us on 858 8668888 if it's urgent)
© 2020 CMX Enterprise Quality Management Software. All Rights Reserved.