HACCP

INFORMATION
GUIDE
The HACCP (Hazard Analysis Critical Control Point)
system is used globally by food businesses to
ensure the food that they produce or serve is fit for
human consumption.

This guide explains the HACCP steps and princi-

ples and provides guidance on how to implement
the HACCP system in your food business.

FOOD
SAFETY
F RST Version: 1.0
Last Modified: 16.12.2014
HACCP is used by many different
types of food businesses – bakers,
butchers, farmers, restaurants,
hospitals, factories and more…
CONTENT

05 About HACCP

06 Overview of the HACCP Framework

07 HACCP Framework Chart

09 HACCP Application

10 Step 1 Assemble a HACCP Team

11 Step 2 Describe the Product and its Distribution

12 Step 3 Describe Intended Use & Consumers of the Product

13 Step 4 Develop Flow Diagram

14 Step 5 Verification of Flow Diagram

16 Principle 1 Conduct a Hazard Analysis

18 Principle 2 Determine Critical Control Points (CCPs)

19 Principle 3 Establish Critical Limits

20 Principle 4 Establish Monitoring Procedures

21 Principle 5 Establish Corrective Actions

22 Principle 6 Establish Verification Procedures

23 Principle 7 Establish Documentation & Record-Keeping

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USEFUL TIPS
How to use this guide Icons used:

This guide is designed for food businesses who need to Important

implement a HACCP plan in their organisation. For many food
businesses it is a legal requirement to do so. This document
takes you step by step through developing your HACCP plan
! Important HACCP information for you to
bear in mind.

and provides examples along the way.

Example
If you are already familiar with the HACCP system or don’t have Real-life HACCP Plan examples for your
much time, we’ve made it easy to navigate to the information reference.
you really need to know. Look out for the icons showing
important information or examples to get a quick overview of the
most important points in this document.

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ABOUT HACCP
Overview we know today was defined by the physical and chemical hazards
Codex Alimentarus Commission. This associated with food safety are reduced
HACCP (pronounced ‘hasup’) is a food Commission implements the Joint to an acceptable level. The HACCP
safety monitoring and management Food and Agriculture Organisation (the system tries to prevent issues before
system used by food businesses around FAO) of the United Nations as well as they occur, not after things have gone
the world. In many countries it is a legal the World Health Organisation Food wrong.
requirement for food businesses to have Standards Programme.
a HACCP plan. HACCP applies to all types of food
International Standard businesses, from those involved with
History of HACCP primary production (such as farmers)
In 2005 HACCP became an international to those involved in final consumption
HACCP was formed in the 1960s standard when it was incorporated (such as restaurants and cafes), as well
when a company called the Pillsbury into the ISO 22000- 2005 Food as everything in between. The success
Corporation was asked by NASA Safety Management System. It is also of a HACCP plan often depends on the
(National Aeronautics and Space compatible with quality management management of an organisation and the
Administration) to develop safe food for systems such as the ISO 9000 series. importance that they place on HACCP
astronauts. The original HACCP system and food safety.
was based on just three principles – Steps & Principles
which we will cover in this document.
The HACCP system is based on 12
The system continued to be developed steps and 7 principles which are
and, in 1997, the HACCP system that designed to ensure that biological,

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HACCP FRAMEWORK

On the next page you can see a Objective

diagram of the HACCP system. It is
based on 12 steps and 7 principles. The primary objective of HACCP is to identify specific points in a process where a food
safety hazard exists and to take steps to minimise the risk of a hazard occurring.
The first 5 steps are “preliminary
steps” and are not associated with the By following a HACCP system, employees of an organisation are expected to monitor,
principles. The next 7 steps align with verify and validate their daily work - always checking that food is fit for human
the principles. consumption.

Four Parts The HACCP Framework

The system can further be considered Identify / Implement / Monitor / Review

as four parts:

1. identify any steps in the food

processes which are critical to the
safety of food;

2. implement effective control

procedures at those steps;

3. monitor control procedures

to ensure their continuing
effectiveness; and

4. review control procedures HACCP

periodically, and whenever
operations change

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FRAMEWORK CHART
Preliminary Tasks

Step 1: Assemble the HACCP team

Step 2: Describe the food and its distribution

Step 3: Describe intended use & consumers of the food

Step 4: Develop flow diagram

Step 5: Verify flow diagram

Principles

Step 6: Conduct a hazard analysis PRINCIPLE 1

Step 7: Determine Critical Control Points (CCPs) PRINCIPLE 2

Step 8: Establish Critical Limits PRINCIPLE 3

Step 9: Establish monitoring procedures PRINCIPLE 4

Step 10: Establish corrective actions PRINCIPLE 5

Step 11: Establish verification procedures PRINCIPLE 6

Step 12: Establish record-keeping & document process PRINCIPLE 7

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Importance placed on the HACCP
system by management and
good staff training is the key to a
successful HACCP plan.
HACCP
APPLICATION
Implementing a HACCP system is a 12-step process. You develop the
documents for your HACCP Plan by following all twelve steps in order.

The next section of this document can help you to develop a HACCP
Plan for your organisation. Follow the examples to understand what
documents are needed.

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Step 1
Assemble a HACCP Team

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

The first step is to put together a HACCP team and to decide You might even have people outside of the company on your
on the scope of the HACCP Plan. team. Some companies employ external Food Safety Advisors
to help with their HACCP Plan.
The team members should come from all parts of the business.
For example, if you are a food factory your team might have The scope of the HACCP plan includes all of the products and
people from: processes for which you need to plan.

• Production

• Quality Control
It’s important that the HACCP team understand
• Cleaning all parts of the business that could have an ef-
fect on food safety – don’t be scared of a large
• Packaging
HACCP team!
• Management

Example:

In the simple example below, we look at a company that supplies frozen berries to supermarkets.

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Step 2
Describe the Product & its Distribution

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

The Product Description is part of the Example:

HACCP Plan and is required for every
food produced by the organisation. The The table below shows a very simple Product Description – continuing on
description should include a list of raw with our earlier example of Ferguson Frozen Berries.
materials, any other ingredients used
and any processing methods.

It should also include any relevant

safety information such as pH levels,
packaging, storage conditions and
method of distribution.

Multiple Products

It may be useful for companies with

multiple similar products - such as
catering operations - to group products
with similar characteristics or processing
steps for the purpose of development of
the HACCP plan.

IMPORTANT

! All products to be covered

by the HACCP plan
should be described.

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Step 3
Describe Intended Use & Consumers of the Product

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

Step 3 is about how the food will be

used normally.

We need to consider how will the food

normally be used, and who will normally
consume the food.

The typical user or consumer may

be the general public or a particular
segment of the population.

High Risk Groups

Some segments of the population

may be classed as ‘high risk
customer groups’ and require special
consideration in regards to food safety.
If someone from a high risk group
gets food poisoning, the potential
consequences are much more serious.

Step 3 is about the “normal”

use and “normal” consumers
of the food product.
High Risk Customer Groups

Documentation

The normal use and consumers of the

food need to be documented. This is
often included as part of the Product
Description (see Step 2). It is likely that
the use and consumers will be different Elderly Children Under 5 Unborn Children
for different products.

Did you know...

Some businesses conduct
market research to find out how
their products are being used
by consumers – the results can Sick People Immune Pregnant Women
often be surprising! Compromised
People

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Step 4
Develop Flow Diagram

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

A HACCP Flow Diagram is another document that is part of IMPORTANT

the HACCP Plan. It is normally created by the HACCP team.
HACCP Flow Diagrams are produced for all products or product
groups – one Flow Diagram may be used for many products
! A very detailed flow diagram is necessary to
identify food safety hazards at all parts of the
process.
that have similar processing steps.

Clear & Simple

The HACCP Flow Diagram(s) should provide a clear and Sometimes steps performed by other compa-
simple outline of the steps taken in each process – yet enough nies are found in the Flow Diagram. These are
detail should be provided so that hazards can be identified. included if these actions may have an effect on
Sometimes it may be necessary to put in “before” and “after” food safety within your food business.
steps if they give more meaning to the diagram.

Example:
Let’s take a look at the Flow Diagram for our frozen berries example. For many businesses the Flow Diagram will be more
complex than this.

Receive Delivery

Sort & Grade

Discard Wash Send to ABC Jam Co.

Chill

Weigh

Package & Label

Freeze

Store

Despatch

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Step 5
Verification of Flow Diagram

Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

The Flow Diagram needs to be checked and confirmed by someone with good
knowledge of the process(es). It may be necessary to have different people checking Did you know...
different Flow Diagrams.
Many food safety incidents
IMPORTANT occur outside of the food

! All stages should be checked carefully and the Flow Diagram changed as
needed.
handling steps. For example,
incorrect packaging, storage
or distribution can all lead to
contamination which poses a
danger to human health.
Any changes made to the Flow Diagram should be checked by
everyone in the HACCP team. Often many versions of the Flow
Diagram are produced before the final version is agreed upon.

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Identifying all potential hazards is
very important in a HACCP system.
There are many hazards that can
occur outside of the cooking
process.
Step 6
Conduct a Hazard Analysis Principle 1
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

To conduct a Hazard Analysis you need

to use the HACCP Flow Diagram(s) Types of Hazards
that you created in Step 4. For each
step in the Flow Diagram consider all Food becomes hazardous when something contaminates it. There are 3 types of
food hazards.
of the food safety hazards that could
reasonably occur.

Reasonable Probability

A food safety hazard is a biological,

physical or chemical property that may
cause a food to be unsafe for human
consumption. Only include hazards that
have a reasonable probability of causing Biological Chemical Physical
illness or injury if they do occur.
Microorganisms such Chemical substances Foreign particles such
as bacteria, viruses such as cleaning as glass or metal
As well as identifying hazards, and parasites fluids or pest control
you will need to decide how solutions
you will control the hazards if
they do occur.

The Hazard Analysis should be Hazard Identification Considerations

performed by the HACCP team. Often
there are many hazards for each step
Microbial Content

in the Flow Diagram. Performing a

thorough Hazard Analysis is the key to
the success of the HACCP plan.
Packaging
Storage
Intended

Sanitation Consumers
& Use

Equipment Design
Used
Ingredients

& Use
Facility Design

Physical
Characteristics

Processes & Procedures

Employee Health, Hygiene &
Education

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Step 6 Cont.
Conduct a Hazard Analysis Principle 1
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

Documentation

Once hazards are identified they should

be recorded along with:

1. The type of hazard (biological /

physical / chemical)

2. Severity i.e. seriousness of

exposure to the hazard

3. Likelihood of hazard to occur

IMPORTANT
4. What control measure(s) can be
applied to control the hazard? ! A control measure is the method by which a hazard should be controlled
e.g. cooking food to a certain temperature.

Example - Hazard Analysis:

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Step 7
Determine Critical Control Points (CCPs) Principle 2
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

A Critical Control Point - or CCP - is the point in the process at

which action can be taken to remove, prevent or minimise the
impact of a hazard.

How Many CCPs?

There is no limit to the number of CCPs that can be identified for

a process or for a single step within a process.

The number can vary depending on the complexity of the

process and equipment, the type of raw materials/ingredients
used and the finished product.

Examples of Critical Control Points (CCPs)

• Receiving goods • Pre-operational inspections • Packaging

• Putting goods into storage • Cooking • Re-heating
• Chilling

Example - Critical Control Points:

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Step 8
Establish Critical Limits Principle 3
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

Critical Limits are the minimum and maximum values that should Every Critical Control Point must have at least one Critical Limit
be applied at Critical Control Points (CCPs). If a hazard exceeds – often there are many. For example, a Critical Control Point of
its Critical Limits it means that it is unsafe and may pose a “cooking a steak” may have critical limits related to:
danger to human health.
• time to cook
Critical Limits should always be measurable and scientifically
based. They often include measurements of temperature, time, • temperature
moisture level, pH and sensory parameters such as visual
appearance, aroma and texture. • visual appearance

An example Critical Limit: Food must be refriger-

ated between 0C and 5C.

Example - Critical Limits:

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Step 9
Establish Monitoring Procedures Principle 4
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

Monitoring is the measurement of Frequency

Critical Limits to find out whether a
hazard is under control or not. Monitoring should always be done at
a frequency that allows time to make
The monitoring procedures outlined in changes if it looks like the Critical Limits
the HACCP Plan should define: may be exceeded. Some companies
run continuous monitoring – for
• what is being monitored example, factories often continuously
monitor the temperature of food being
• how the monitoring is done produced.

• the frequency of the monitoring Responsibility

• where the monitoring is to be The person doing the monitoring should

undertaken be well trained and there should be
no way for him/her to alter results.
• who is responsible for undertaking Monitoring should be recorded and
the monitoring reviewed by a supervisor or other
responsible person.

Example - Monitoring:

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Step 10
Establish Corrective Actions Principle 5
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

Unfortunately, things sometimes go There are 3 parts to Corrective Actions: By performing a Corrective
wrong and Critical Limits are exceeded Action, the Critical Control
from time to time. 1. Determine and correct the cause of
Point is brought back under
non-compliance
Corrective Actions
control after Critical Limits
2. Determine what to do with the non-
have been exceeded.
Corrective Actions are what you need compliant product
to do if Critical Limits are exceeded.
The purpose of Corrective Actions is to 3. Record Corrective Actions that
make sure that no harmful or hazardous have been taken
products enter the food chain or are
consumed by users.

Example - Corrective Actions:

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Step 11
Establish Verification Procedures Principle 6
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

Principle 6 – Verification - is designed • Checking Corrective Action records should be audited internally at least
to ensure that the HACCP Plan is once per year.
adequate and working as intended. • Microbial sampling and analysis
It is important to document the findings
Procedures Verification should be carried out of internal audits.
frequently. It may be carried out by
Verification procedures may include: employees of a company, third party
experts or regulatory agencies - or a
• Reviewing HACCP plans combinationof any of these. Did you know...
In some countries the
• Reviewing CCP records Auditing
Verification step is performed
by a representative of a
• Reviewing Critical Limits The entire HACCP Food Safety System government organisation to
implemented by an organisation ensure that the HACCP Plan is
adequate for the business.

Example - Verification:

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Step 12
Establish Documentation and Record Keeping Principle 7
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

The HACCP food safety system requires that certain

documents are created and maintained. These include the
HACCP Team document, the Product Description, the Hazard
Analysis document and the Critical Limits & Corrective Actions
document.

Ongoing documentation is also needed. Efficient and accurate

record keeping of day-to-day activities is essential to ensure that
the HACCP system runs successfully.

IMPORTANT
Records should be kept for at least 12 months,

! or for the lifecycle of the product, whichever is

greater.

Use the HACCP Control Checklist on the next page to ensure

that you have all of the required documents in place.

Example - Record Keeping:

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Step 12 Cont.
Establish Documentation and Record Keeping Principle 7
Step 1 Step 2 Step 3 Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12
Principle 1 Principle 2 Principle 3 Principle 4 Principle 5 Principle 6 Principle 7

HACCP Control Checklist

HACCP Team List

Product Description – including intended use and customers
Verified Flow Diagrams

Hazard Plan Tables including:

Hazard List (including Type, Likelihood, Severity)
Control Measures
Critical Control Points (CCPs)
Critical Limits
Monitoring Procedures
Corrective Actions
Verification Activities
Record-keeping Procedures

Operational Rvecords e.g.

Monitoring records
Corrective Action records
Training Records
Delivery Records
Cleaning & Sanitisation Records

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The HACCP Food Safety System
doesn’t stop once the HACCP
Plan is created. It is used and
documented every single day the
business operates.
Food Safety First, foodsafetyfirst.com.au and the Food Safety First logo are trademarks of Industry Education Australia Pty Ltd.
All other trademarks are the property of their respective owners.

Food safety advice and reccommendations should be considered a guide only.

For authoratative guidance on food safety related issues please consult your local government agency or Food Standards Australia New Zealand.

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