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properties of the pure system at low shear rates

become more rate-dependent on increasing par-

ticulate concentration – the so-called power-law

behavior.

0018 The flow data have been fitted to mathematical

equations, which incorporate parameters that de-

scribe the shear-thinning nature of guar gum and the

increasing solid-like behavior of these filled systems.

The model also seems to work well with a more

heterogeneous food material containing wheat starch.

The extrapolation of such models to real food systems

and even digesta is fraught with difficulty, however.

The inherent problems with studying digesta have

been mentioned already, but to make any real pro-

gress in this area, at the very least, information is

needed on the fractional volume of particulate mater-

ial at different sites of the gastrointestinal tract. These

data could be obtained by recovering ileal effluent

from ileostomy patients and by the recovery of

digesta from cannulated animals at appropriate sites

of the gut. Further work on the development of more

heterogeneous models and techniques to study such

systems is crucial if we are to increase our under-

standing of how guar behaves in the gut environment.

0019 The mechanism by which guar gum reduces plasma

cholesterol is still uncertain but, again, the discussion

about the effects of guar gum on digesta viscosity and

glucose absorption is important here also. The level of

viscosity generated in the gut has been suggested as an

important determinant of the hypocholesterolemic

effect of guar gum in animal studies. The ingestion

of guar gum appears to enhance fecal bile acid and

neutral sterol excretion, reduce the rate of digestion

and absorption of lipids, and inhibit synthesis of

cholesterol. In vitro, guar gum has been shown to

reduce lipid emulsification and the rate of lipolysis

of emulsified triacylglycerols, although these effects

have not been substantiated in vivo. Also, guar gum

has been shown to inhibit both the rate of diffusion of

cholesterol mixed micelles and hepatic cholesterol

synthesis; the latter has been attributed to propionic

acid, one of the products of guar fermentation in the

large intestine. However, the inconsistency between

in vivo and in vitro studies prevents any conclusive

statements being made about the precise mode of

action of guar gum.

Dietary Management of Disease

0020Although guar gum has frequently been used in clin-

ical trials, interpretation of the results can be prob-

lematic. There are problems resulting from variable

study design, lack of adequate controls, and hetero-

geneity of subject groups. Furthermore, many nutri-

tional studies reporting the therapeutic effects of guar

gum provide very limited information about the type

and physicochemical properties of the sample tested,

e.g., molecular weight and particle size. Moreover,

sometimes it is not even known whether the guar

was administered as a pre-meal supplement or in-

corporated directly into the subjects’ meal. Despite

these problems, there is sufficient evidence to show

that guar gum can be used effectively in the treatment

of diabetes and hyperlipidemia, although its role in

weight control management has yet to be defined.

Diabetes Mellitus and Hyperlipidemia

0021The plasma cholesterol-lowering properties of guar

gum have been known since the 1960s. Most of the

numerous clinical trials published since then have

shown reductions in plasma concentrations of choles-

terol, mainly the low-density lipoprotein (LDL) frac-

tion, and occasionally triacylglycerols, in both

healthy and hyperlipidemic individuals, in some stud-

ies for periods of up to 1–2 years. Similar results have

been reported in people with diabetes, who are also

likely to benefit from any improvements in lipid me-

tabolism given their increased risk for CHD. Cur-

rently, although some pharmaceutical preparations

are available in the UK, for the management of dia-

betes, no such products are available for the treat-

ment of hyperlipidemia. In addition to evidence

showing the blood glucose-lowering effect of guar

gum in response to a starchy meal, long-term im-

provements have been demonstrated in patients with

0.01

0.1

100

1000

Shear rate (s

−1

)

Viscosity (Pa

17%

26%

33%

41%

fig0006 Figure 6 Effect of increasing rice starch concentration on the

viscosity–shear rate flow curve of a 1% guar galactomannan

solution. Data taken from Rayment P (1996) PhD thesis, University

of London.

3018 GUMS/Nutritional Role of Guar Gum

type 1 and type 2 diabetes. In one study of a group of

type 2 diabetic patients, a 7-g daily dose of guar gum,

which had been incorporated into wheat bread, im-

proved glycemic control (as seen by a significant re-

duction in glycated hemoglobin) and lowered plasma

total and LDL-cholesterol levels (Table 2).

0022 As discussed previously, some of the pharmaceut-

ical preparations of guar gum, usually taken as a

premeal drink, have been shown to be clinically inef-

fective due to impaired hydration. Moreover, when

guar gum flour is incorporated directly into a meal,

the clinically effective dose seems to be significantly

lower than that recommended for the pharmaceutical

preparations. This has led to the development of a

number of everyday foods enriched with guar gum,

such as bread, pasta, biscuits, and breakfast cereals.

The recommended dose for pharmaceutical prepar-

ations of guar gum in diabetes therapy is usually 5 g

with each meal (i.e., 15 g day

1

). However, it is not

known what the precise dose and molecular weight of

guar gum should be used in the diet to optimize

clinical benefits. A lower and upper daily dose range

of 6–15 g of native guar gum has been suggested for

use in diabetes therapy. This has been suggested on

the basis that doses of guar gum above 15 g day

1

may cause side-effects, such as flatulence, and there

is a lack of reliable long-term studies at doses of less

than 6 g day

1

. The average molecular weights of

guar galactomannan samples used in nutritional stud-

ies are in the range of 2.0–3.0 million. However, more

recent studies have shown therapeutic benefits with

samples of lower molecular weight (0.5–1 million),

produced commercially by partial depolymerization.

For example, one such product of approximately

1 million molecular weight has been used to lower

plasma cholesterol levels in hypercholesterolemic

human subjects (Table 3). Further work is required

to define the lowest molecular weight and optimum

dose that can be used without a loss in clinical effi-

cacy. Such knowledge would have a number of ad-

vantages for any future product development, since

low-molecular-weight grades are easier to incorpor-

ate into foods and are more palatable.

Obesity

0023Obesity is associated with an increased risk of dia-

betes, insulin resistance, CHD, and hypertension.

Most short-term studies (often single-meal tests)

have shown that guar gum reduces feelings of hunger

tbl0003 Table 3 Mean values (+ SEM) of plasma lipid concentrations in 11 moderately hypercholesterolemic humans after consuming

control wheat bread and bread containing depolymerized guar gum for two 3-week periods, respectively. Control and guar bread were

taken by each patient in randomized order

Controlperiod Guar bread period

Start (0 weeks) End (3 weeks) Start (0 weeks) End (3 weeks)

Total cholesterol (mmol l

1

) 6.37 + 0.21 6.53 + 0.16 6.52 + 0.17 5.89

+ 0.8

LDL-cholesterol (mmol l

1

) 4.18 + 0.15 4.31 + 0.14 4.28 + 0.19 3.81

+ 0.12

HDL-cholesterol (mmol l

1

) 1.26 + 0.05 1.31 + 0.06 1.33 + 0.05 1.23 + 0.05

Triacylglycerols (mmol l

1

) 1.84 + 0.25 1.86 + 0.32 1.96 + 0.27 1.85 + 0.25

Values after 3 weeks significantly different from control and baseline (start) values at P < 0.001.

LDL, low-density lipoprotein; HDL, high-density lipoprotein.

Data taken from Blake DE, Hamblett CJ, Frost PG et al. (1997) Wheat bread supplemented with depolymerised guar gum reduces plasma cholesterol

concentration in hypercholesterolaemic human subjects. American Journal of Clinical Nutrition 65: 107–113.

tbl0002 Table 2 Mean values (+ SEM) of fasting plasma glucose, glycated hemoglobin (HbA

), and plasma lipid concentrations in 16

patients with type 2 (noninsulin-dependent) diabetes after consuming control wheat bread and bread containing guar gum flour for two

6-week periods, respectively. Control and guar bread were taken by each patient in randomized order

Controlperiod Guar bread period

Start (0 weeks) End (6 weeks) Start (0 weeks) End (6 weeks)

Fasting glucose (mmol l

1

) 9.7 + 0.8 9.4 + 0.7 9.7 + 1.0 9.1 + 0.8

HbA

(%) 11.3 + 0.8 11.2 + 0.8 11.5 + 0.8 10.7

+ 0.8

Total cholesterol (mmol l

1

) 5.7 + 0.3 5.8 + 0.3 5.9 + 0.3 5.4

+ 0.2

LDL-cholesterol (mmol l

1

) 3.8 + 0.3 3.9 + 0.2 3.9 + 0.2 3.5

+ 0.2

HDL-cholesterol (mmol l

1

) 1.2 + 0.1 1.2 + 0.1 1.2 + 0.1 1.2 + 0.1

Triacylglycerols (mmol l

1

) 1.7 + 0.3 1.7 + 0.3 1.8 + 0.3 1.6 + 0.2

a,b,c

Values after 6 weeks significantly different from control at P < 0.05, P < 0.02 and P < 0.01, respectively.

LDL, low-density lipoprotein; HDL, high-density lipoprotein.

Data taken from Peterson DB, Ellis PR, Baylis JM et al. (1987) Low dose guar in a novel food product: improved metabolic control in non-insulin-

dependent diabetes. Diabetic Medicine 4: 111–115.

GUMS/Nutritional Role of Guar Gum 3019

and appetite and increases feelings of satiety and

satiation in all subjects, whether they be normal-

weight, overweight, or obese. However, there are

problems in designing experiments to investigate

feeding behavior, since it is very difficult to make the

control food (placebo) look and taste like the test

food. One study showed that breads containing high

concentrations of guar gum were significantly less

palatable than the control breads and this may ex-

plain why the subjects were less hungry after consum-

ing the guar-containing bread meal. The energy value

of the control and test meals should also be identical

in such experiments. Despite the positive effects of

guar gum in the short term, many of the long-term

intervention studies are contradictory and suggest

that a therapeutic role for guar gum in weight control

management has yet to be established.

Conclusions and Final Comments

0024 There is now overwhelming evidence to indicate that

guar gum has therapeutic benefits for a range of

metabolic disorders. At doses of guar gum that are

likely to be consumed for therapeutic purposes, there

is little evidence that it adversely affects human

health. On the contrary, the cholesterol-lowering

property of guar gum is of benefit to those who are

at an increased risk of CHD, including people with

hyperlipidemia and diabetes. Furthermore, the use of

guar gum in decreasing postprandial glycemia and

insulinemia and in improving long-term glycemic

control in diabetic patients is now well established.

Any improvement in glycemic control is likely to

reduce the risk of microvascular complications (e.g.,

nephropathy), which are common in people with dia-

betes, and develop over a number of years.

0025 Recent epidemiological studies have also indicated

that diets comprising low-glycemic-index foods may

have a protective effect in the development of type 2

diabetes. Guar-containing foods could play an im-

portant role in such diets and should be tested in the

future for their possible prophylactic benefits. In view

of possible beneficial effects of guar gum on insulin

resistance, which in itself is a risk factor for both

CHD and type 2 diabetes, the role of guar foods

needs to be evaluated here also. The effects of guar

gum on weight reduction in the long term have yet to

be demonstrated, although its use in maintaining

weight in weight-reduced subjects merits further

study. Obese individuals are likely to benefit however

from the consumption of guar gum in terms of im-

provements in glycemic control, insulin sensitivity,

and lipid metabolism.

0026 To assist in the development of new low-glycemic-

index foods using guar gum as a major ingredient, it

would be advantageous to have a detailed under-

standing of its behavior in the gut environment. Fun-

damental information about the way in which guar

galactomannan influences the rheological behavior of

digesta, through its effects in solution, as an entangled

network, or on the swelling of food particles, is of

paramount importance. This would need to be closely

linked to the effects of galactomannan on nutrient

digestion and absorption, including, for example,

starch and lipids.

0027The initial attempts to produce palatable guar foods

for the management of diabetes and hyperlipidemia

were disappointing. However, the technological diffi-

culties were exacerbated by the perceived need to use

high doses of guar gum (15–30 g day

1

), since the

results of early clinical trials suggested that such

doses were needed to elicit metabolic benefits. More

recent studies have shown that much lower doses (6–

12 g day

1

) and partially depolymerized guar gum are

not only clinically effective, but have significantly less

detrimental effects on sensory qualities of food. From

a food technology perspective, it is now possible to

produce guar-enriched foods that are both clinically

effective and palatable.

See also: Carbohydrates: Classification and Properties;

Cholesterol: Factors Determining Blood Cholesterol

Levels; Coronary Heart Disease: Prevention; Diabetes

Mellitus: Treatment and Management; Dietary Fiber:

Properties and Sources; Determination; Physiological

Effects; Effects of Fiber on Absorption; Glucose:

Maintenance of Blood Glucose Level; Glucose Tolerance

and the Glycemic (Glycaemic) Index; Gums: Properties of

Individual Gums; Food Uses; Dietary Importance

Further Reading

Edwards CA and Read NW (1990) Fibre and small intes-

tinal function. In: Leeds AR (ed.) Dietary Fibre Perspec-

tives, vol. 2, pp. 52–75. London: John Libbey.

Ellis PR (1999) The effect of fibre on diabetes. In: Hill M

(ed.) The Right Fibre for the Right Disease, pp. 33–42.

London: Royal Society of Medicine Press.

Ellis PR, Rayment P and Wang Q (1996) A physico-

chemical perspective of plant polysaccharides in relation

to glucose absorption, insulin secretion and the entero-

insular axis. Proceedings of Nutrition Society 55:

881–898.

Ellis PR, Wang Q, Rayment P, Ren Y and Ross-Murphy SB

(2001) Guar gum: agricultural and botanical aspects,

physicochemical and nutritional properties, and its use

in the development of functional foods. In: Cho SS and

Dreher M (eds) Handbook of Dietary Fiber, pp.

613–657. New York: Marcel Dekker.

Flourie B (1992) The influence of dietary fibre on carbo-

hydrate digestion and absorption. In: Schweizer TF

and Edwards CA (eds) Dietary Fibre – A Component

3020 GUMS/Nutritional Role of Guar Gum

of Food. Nutritional Function in Health and Disease,

pp. 295–332. London: Springer-Verlag.

Gallaher DD and Hassel CA (1995) The role of viscosity in

the cholesterol-lowering effect of dietary fiber. In:

Kritchevsky D and Bonfield C (eds) Dietary Fiber,

Health and Disease, pp. 106–114. St Paul, USA: Eagan

Press.

Leeds AR (1999) The effect of fibre on coronary heart

disease and cholesterol. In: Hill M (ed.) The Right

Fibre for the Right Disease, pp. 33–42. London: Royal

Society of Medicine Press.

Low AG (1990) Nutritional regulation of gastric secretion,

digestion and emptying. Nutrition Research Reviews 3:

229–252.

Maier H, Anderson M, Karl C, Magnuson K and Whistler

RL (1993) Guar, locust bean, tara and fenugreek gums.

In: Whistler RN and BeMiller JN (eds) Industrial Gums:

Polysaccharides and their Derivatives, 3rd edn, pp.

181–226. London: Academic Press.

Morgan LM (1992) Insulin secretion and the entero-insular

axis. In: Flatt PR (ed.) Nutrient Regulation of Insulin

Secretion, pp. 1–22. London: Portland Press.

Read NW and Eastwood M (1992) Gastro-intestinal physi-

ology and function. In: Schweizer TF and Edwards CA

(eds) Dietary Fibre – A Component of Food. Nutritional

Function in Health and Disease, pp. 103–117. London:

Springer-Verlag.

Reid JSV and Edwards ME (1995) Galactomannans and

other cell wall storage polysaccharides in seeds. In:

Stephen AM (ed.) Food Polysaccharides and their Appli-

cations, pp. 155–186. New York: Marcel Dekker.

Ross-Murphy SB (1994) Rheological methods. In: Ross-

Murphy SB (ed.) Physical Techniques for the Study of

Food Biopolymers, pp. 343–392. London: Blackie Aca-

demic & Professional.

Todd PA, Benfield P and Goa KL (1990) Guar gum: a review

of its pharmacological properties, and use as a dietary

adjunct in hypercholesterolaemia. Drugs 39: 917–928.

Truswell AS and Beynen AC (1992) Dietary fibre and

plasma lipids: potential for prevention and treatment of

hyperlipidaemias. In: Schweizer TF and Edwards CA

(eds) Dietary Fibre – A Component of Food. Nutritional

Function in Health and Disease, pp. 295–332. London:

Springer-Verlag.

Gut Hormones See Hormones: Adrenal Hormones; Thyroid Hormones; Gut Hormones; Pancreatic

Hormones; Pituitary Hormones; Steroid Hormones

GUMS/Nutritional Role of Guar Gum 3021

Hard Cider See Cider (Cyder; Hard Cider): The Product and its Manufacture; Chemistry and Microbiology of

Cidermaking

HAZARD ANALYSIS CRITICAL CONTROL

POINT

J Slatter, RSSL, Reading, Berks, UK

Introduction

0001 The Hazard Analysis Critical Control Point (HACCP)

system is a program of preventative food safety

assurance originally developed in the USA by the

Pillsbury Company working with the National Aero-

nautics and Space Administration (NASA) and the US

army laboratories at Natick in order to insure the

safety of astronauts’ food. In the three decades since

then, HACCP has been internationally recognized

and accepted as a proven method for food safety

assurance. Its original purpose was to insure micro-

biological safety of foodstuffs; it has since been

further broadened to include physical and chemical

hazards for a wide variety of food and associated

industries.

0002 The role of HACCP in food production and quality

management systems is described and legal and

training aspects are discussed in this article.

Definition of Hazard Analysis and Critical

Control Point

0003 HACCP is a systematic approach to the problems and

food safety issues associated with all points of food

production, from raw material through to end use by

the consumer. HACCP aims to identify the source and

potential risk of a hazard occurring at these points

and put controls or preventative actions in place, so

eliminating the problem before it occurs or reducing it

to a safe level and more effectively protecting the

consumer from harm.

0004The HACCP Principles have international accept-

ance and have been published by the Codex Ali-

mentarius Commission and National Advisory

Committee on Microbiological Criteria for Foods

(NACMCF). The system of Hazard Analysis, of

which HACCP is one method, is part of legislation,

through the European Community (EC) directive

93/43/EEC which was implemented in the UK in

1995 through the Food Safety (General Food Hy-

giene) Regulations. Several industry guides exist

which help suppliers and manufacturers to apply the

legislation and to comply with the requirements of

HACCP.

Principles of the HACCP System

0005Different food processes are vulnerable to different

hazards. There is no single hazard analysis which

covers all cases. Each HACCP program must be

specific to the operation and take into account every

factor that might affect food safety. Although details

vary, there is a general sequence of events involved in

completing a HACCP program (Table 1).

What are the Principles of HACCP?

0006The HACCP system consists of seven principles

which outline how to establish, implement, and main-

tain a HACCP plan (Table 2). These principles make

up the Codex standard (See Legislation: Codex),

which has become the reference for international

food safety and identified as the baseline for con-

sumer protection under the Agreement on Sanitary

and Phytosanitary Measures agreed at the General

Agreement on Tariffs and Trade (GATT) negotiations

in 1995.

0007 These seven principles can be broken down into

12 different stages, which can logically be used to

develop the HACCP Plan.

Stages in a HACCP study (Table 3)

Assemble the HACCP Team

0008 The HACCP study is best carried out by a multi-

disciplinary team. This usually comprises individuals

covering all aspects of production, e.g., manufactur-

ing, buying, quality assurance, technical, and engin-

eering. Occasionally it may be necessary to enlist the

help of an expert to cover specialist topics such as

microbiology or toxicology. A person experienced in

the HACCP technique should be responsible for

leading the team and for managing the study.

Describe the Product

0009 A full description of the product should be drawn up,

including any relevant safety information such as

composition, processing, durability, storage condi-

tions, and method of distribution.

Identify the Intended Use

0010 The intended use should identify the potential con-

sumer. In some cases, at-risk groups may have to be

considered, such as the elderly.

Construct a Flow Diagram

0011The process must be accurately defined from start to

finish and this is normally done in the form of a flow

diagram. This a simple stepwise sequence of events,

which enables the HACCP team to understand the

process.

Carry Out On-site Confirmation of Flow Diagram

0012It is important to check that the flow diagram is

accurate by physically checking it against activities

and that it includes exceptional items such as break-

downs, rework, and cleaning. The team should also

check that the flow diagram is correct for any shift

patterns.

Carry out Hazard Analysis

0013The terms of reference or scope for the HACCP study

need to be set. Ultimately all types of hazards (bio-

logical, physical, and chemical) will be examined but

in the initial stages it may be useful to examine only

one category of hazards or even to concentrate on one

type of hazard such as glass or Salmonella. The

HACCP team will have to consider whether to cover

the whole of the process or just part of it and if the

process is common for a number of products, then

these products must be included in the scope.

tbl0002 Table 2 The seven principles comprising the Hazard Analysis

Critical Control Point (HACCP) system

1 Conduct a hazard analysis

2 Determine the critical control points (CCPs)

3 Establish critical limit(s)

4 Establish a system to monitor control of the CCP

5 Establish corrective action to be taken when monitoring

indicates that a particular CCP is not under control

6 Establish procedures for verification to confirm that the

HACCP is working effectively

7 Establish documentation concerning all procedures and

records appropriate to these principles and their application

tbl0001 Table 1 Glossary of HACCP Terminology

Hazard A biological, chemical or physical agent in, or condition of, food with the potential to cause an adverse

health effect

Risk The probability that a given hazard will occur and cause an adverse health effect

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 and unacceptability

Monitor The act of conducting a planned sequence of observations or measurements of control parameters to

assess whether a CCP is under control

Corrective action Any action to be taken when the results of monitoring at the CCP indicate a loss of control

Control measures Any action and activity that can be used to prevent or eliminate a food safety hazard or reduce it to an

acceptable level. These were previously known as preventive measures

tbl0003Table 3 The 12 stages of a Hazard Analysis Critical Control

Point (HACCP) study

1 Assemble the HACCP team

2 Describe the product

3 Identify the intended use

4 Construct a flow diagram

5 Carry out on-site confirmation of flow diagram

6 Carry out hazard analysis

7 Determine critical control points (CCPs)

8 Establish critical limits for each CCP

9 Establish a monitoring system

10 Establish corrective action

11 Establish verification procedures

12 Establish documentation and record keeping

3024 HAZARD ANALYSIS CRITICAL CONTROL POINT

0014 The next stage of hazard analysis is not easy, but it

can be carried out in a structured way.

0015 Hazard analysis consists of an evaluation of all

procedures and raw materials to:

0016 identify potential hazardous materials or patho-

gens and their severity

0017 identify potential sources and points of contamin-

ation at each stage of the food chain

0018 determine the potential for microorganisms to

survive or multiply in the food

0019 assess the likelihood of the hazards occurring

0020 A hazard may be biological (e.g., microorganisms),

chemical (e.g., pesticides, cleaning chemicals) or

physical (e.g., metal, glass, stones). In order to

identify correctly the control for the hazard, the

source or cause of the hazard must also be examined.

For example, glass from a light fitting would be

controlled in a different way to glass from a broken

bottle on the filling line. In terms of microorganisms,

the hazard may be more adequately explained by

identifying either the named organism (e.g., Salmon-

ella) or group of organisms (e.g., spore formers)

and whether they will be present, survive, or grow

at the stage.

0021 There are many ways of identifying hazards based

on previous knowledge of the product or process,

customer complaints, and information from literature

or experts. The team must take care to include not

just problems which have previously occurred but

also new potential hazards, which can be identified

by brainstorming.

0022 Obvious sources of hazards are:

0023 raw materials

0024 plant and equipment design

0025 formulation

0026 processing

0027 personnel

0028 packaging

0029 storage and distribution

0030 Once the potential hazards have been identified,

the severity and possibility of the hazard occurring,

i.e., the risk, should be assessed. This will identify the

significant hazards. The risk assessment is often a

judgment by the HACCP team based on knowledge

and information; however, some risk assessment

schemes have a scoring system or a weighting of

high, medium, or low.

0031 When all significant hazards have been identified,

the associated controls for each hazard can be

assigned. Controls are the factors that are required

to prevent, eliminate, or reduce the occurrence of

hazards to an acceptable level. These may be controls

that are already in place or it may be that new con-

trols will need to be devised. Also, more than one

control may be needed for effective reduction of

each hazard.

Determine CCPs

0032For each step (where a hazard exists) CCPs must be

evaluated. A CCP is a stage in a process where food

safety hazards must be controlled. They are essential

to prevent, eliminate, or reduce hazards to an accept-

able level. There may be previous stages where the

hazard is controlled or reduced and these are some-

times called control points, but the CCP will be the

point where, if control is lost, a health hazard will

occur.

0033Understanding the CCPs can help to focus on the

efforts and finances on the key areas of food safety

and save money by preventing effort in exercising

control at a point of less importance.

0034Information established by the HACCP team may

be sufficient to identify a CCP using judgment and

prior knowledge; however, to assist in finding where

the CCPs may be, a decision tree is a useful tool

(Figure 1).

Establish Critical Limits for each CCP

0035Once the CCPs have been identified, the critical or

safety limits need to be established. These define the

difference between safe and potentially unsafe foods

and of acceptable and unacceptable products.

0036In the work place, target limits may be required to

provide a buffer zone to allow the hazard to be

brought back under control before it exceeds the

critical limit.

Establish a Monitoring System

0037The means of testing to insure that the control is

adequate must be established for each CCP. This

assessment may be chemical, physical, sensory or,

rarely, microbiological. Criteria usually include meas-

urements of time, temperature, moisture level, water

activity, available chlorine or sensory parameters

such as visual appearance, flavor or texture.

0038Monitoring is a scheduled measurement or obser-

vation of a CCP. The monitoring procedure will assess

whether there is a loss of control from the critical

limits, in which case corrective action will be needed.

Establish Corrective Action

0039Specific corrective actions are required for each CCP.

The actions must insure that the consumer is pro-

tected and the CCP is brought back under control. It

is effective also to assign responsibilities to individual

members of staff for the corrective actions in the

HAZARD ANALYSIS CRITICAL CONTROL POINT 3025

HACCP plan. All corrective actions should be

recorded and reviewed by the HACCP team as part

of the verification process.

Establish Verification Procedures

0040 The verification process checks that the HACCP Plan

is an accurate record of the activities taking place.

The main method of verification is by audit, but other

methods may also be used, such as document review

and analysis of data.

Establish Documentation and Record Keeping

0041Documentation and record keeping should be appro-

priate to the size of the operation. The HACCP will

incorporate documents such as the following:

0042the HACCP Plan

0043hazard analysis

0044CCP determinations

0045CCP monitoring sheets

0046corrective actions

0047audit records

Do control measures exist?

Yes

Stop*

Is control at this step

necessary for safety?

Modify steps in the

process or product

Not a CCP

Is the step specifically designed to eliminate

or reduce the likely occurrence of a hazard

to an acceptable level?

Could contamination with identified

hazard(s) occur in excess of acceptable

level(s) or could these increase to

unacceptable level(s)?

Will a subsequent step eliminate identified

hazard(s) or reduce likely occurrence to

acceptable level(s)?

Critical control point

(CCP)

fig0001 Figure 1 Example of a decision tree for identifying critical control points (CCPs). Reproduced from Codex Alimentarius Food Hygiene

Basic Texts. (1997).

3026 HAZARD ANALYSIS CRITICAL CONTROL POINT

.0048 HACCP team meeting minutes

0049 calibration records

0050 Figure 2 shows a HACCP plan format recom-

mended by Codex Alimentarius. It can be adapted

for different operations and size of business and easily

facilitates verification.

Implementation

0051 Once developed, the HACCP Plan must be imple-

mented and established in the work place. To be

successful the plan must be absorbed into the day-

to-day running of the operation with effective training

of all personnel, especially those directly involved in

the HACCP Plan. The Plan must also stay current and

up-to-date if it is to be used as an effective manage-

ment tool.

Maintenance

0052 Any changes in the product or process which may

affect the HACCP system must be identified and the

HACCP changed accordingly. This may mean a

change in raw material supply, change in process or

factory layout, or emergence of further information

indicating a health risk associated with the product.

Otherwise, the HACCP should be routinely checked

annually to ascertain that it is still an accurate reflec-

tion of the working environment. This may be done

by auditing the HACCP Plan and flow diagrams but

can also be carried out by checking process control

documents, hygiene audit reports, and customer

complaints.

0053 It is also important that the HACCP team remain

up-to-date with issues of hygiene and safety affecting

other food companies from information in the news-

papers, trade press, and membership of trade associ-

ations. New technologies may also emerge, providing

better controls, and these should be reviewed by the

HACCP team.

Prerequisite Programs

0054The HACCP system will incorporate other existing

management systems into its procedures. Typical

areas are personal hygiene, good manufacturing prac-

tice, supplier quality assurance, and maintenance

schedules. These have been given the term ‘Prerequis-

ite Programmes’ and are normally in place before the

HACCP Plan is developed (Figure 3). Prerequisites

are systems in their own right and will support the

HACCP by taking the control of the general hygiene

and good manufacturing practice out of the HACCP

Plan.

HACCP and International Quality Systems

0055Many food companies are using standards such as

the ISO 9000 series. There are many similarities

between the two systems. Both HACCP and ISO

9000 are concerned with prevention and detection

of food safety problems in areas such as calibra-

tion, training, document control, control of noncon-

forming product, and verification through internal

audit.

0056The ISO 9000 standard was updated in March

2001, to ISO 9000:2000 and has guidance notes for

the food and drink industries (BS ISO 15161). This

includes a requirement for HACCP and provides as-

sistance for incorporating the principles of HACCP

into the ISO system.

1. Describe product

2. Diagram process flow

Step Hazards(s)

Control

measures

CCPs

Critical

limits

Monitoring

procedures

Corrective

actions

Records

4. Verification

3. HACCP Plan

fig0002 Figure 2 Example of a Hazard Analysis Critical Control Point (HACCP) worksheet. CCPs, critical control points.

HAZARD ANALYSIS CRITICAL CONTROL POINT 3027

HACCP Training

0057 Training is essential for the effective implementation

of HACCP. Staff must understand why the HACCP

plan was developed, as well as their role within

HACCP, and should be encouraged to suggest any

modifications to the HACCP team.

0058 Staff should have an understanding of:

0059 what hazards are and their importance in food

safety

0060 CCPs and their role in the assurance of product

safety

0061 critical limits which must be met

0062 corrective actions and responsibilities

0063 record-keeping requirements

0064 the objective of verification procedures

0065 It may be necessary to give more specific training to

staff involved in CCP monitoring.

0066 Formal training qualifications exist, with examin-

ations introduced by the Royal Society of Health

(RSH), the Chartered Institute of Environmental

Health Officers (CIEH) and the Royal Institute of

Public Health (RIPH). These courses are run by

training organizations registered by the above bodies

at levels 1, 2 and 3.

0067 A training standard is available from the RIPH

steering group to provide a syllabus for training to

an advanced level in the principles of HACCP.

Training programs have been specified by the World

Health Organization to cover the recommended skills

and problem encountered in training for HACCP,

together with proposed programs for food-processing

and manufacturing industries, small food enterprises,

and small operations.