Haccp

Food Industry Briefing Series: HACCP
Sara Mortimore, Carol Wallace

Copyright 2001 by Blackwell Publishing Ltd
Appendix A
Case study: frozen cheesecake
7
Introduction
This case study is provided to illustrate the application of the HACCP

principles as discussed in the main text (Sections 2 and 3). It is laid out in
the format of a HACCP study, initially giving general information such as
HACCP team details, terms of reference and product description, and then
progresses through the process flow diagrams, hazard analysis and CCP
determination to the hazard control chart.
This case study is a fictional example and is not intended as a generic
HACCP plan. It is provided without any liability whatsoever in its application
and use.
The company
The company is a medium-sized frozen foods company producing a range of

desserts. Production is mainly automated but manual processes are used
for decorating/finishing of products.
0
0
HACCP team members

Technical/QA manager
Production manager
Line supervisor
QC supervisor
Maintenance manager
95
96
0
0
d
4
0
0
0
Terms of reference
The HACCP study covers all types of food safety hazards: biological,
chemical and physical.
The HACCP system is supported by prerequisite good manufacturing
practices throughout the factory. This includes a high care area for
post-baking activities where different colour clothing is worn and
tight hygiene controls are practised.
This study covers a range of frozen cheesecakes.
In this study the entire process is divided into six modules.
5 f roduct description
General
0
Frozen ready-to-eat products to be consumed after thawing at

ambient temperature for 4 hours or in a refrigerator overnight.
After thawing the product must be kept chilled and consumed within
24 hours, so temperature and/or time abuse is potentially high.
The product is targeted at the general public and may be consumed
by high risk individuals, e.g. children and elderly people.
The range comprises the following flavours: vanilla, chocolate, chocolate and hazelnut, strawberry and blackcurrant.
Raw materials
The raw materials used are as follows.
Chilled
0
Dairy ingredients: soft cheese in plastic buckets; cream in stainless

steel, mobile, returnable tanks.
Egg (whole, liquid, pasteurised, sugared) in blue-coloured plastic
bags inside buckets.
Margarine (sunflower-oil based) in blue plastic-lined cardboard boxes.
Ambient
0
Chocolate (chips and flakes) and biscuit crumb in blue plastic-lined

cardboard boxes, delivered ambient but stored chilled to protect
quality and prevent temperature rise of product during production.
97
0
0
0
Chopped hazelnuts in plastic-lined cardboard boxes, stored in

separate area to minimise the risk of cross-contamination.
Dry powders, sugar, flour and starch, in paper sacks.
Fruit toppings, in plastic buckets, aseptically packed, low pH.
Various liquid flavourings, in plastic containers.
Intrinsic factors
0
0
0
pH of cheese layer = <5.5.

Water activity (a,)of cheesecake layer = >0.90.
No chemical preservatives are used.
This is a frozen product which does not rely on intrinsic factors for stability.
It is not intended to be ambient stable or to be stored refrigerated for long
periods after defrosting and will carry instructions to store chilled and
consume within 24 hours of defrosting.
Key processes
0
0
0
0
0
0
0
Mixing - automated and manual.

Assembly - automated.
Baking - in double-entry rack ovens.
Cooling - on racks in blast chiller.
Decorating - by hand.
Batch freezing - on racks.
Packing - automated and manual.
Main hazards to be considered

0
0
0
0
Pathogens in raw materials added after baking.

Survival and growth of spore formers.
Allergen control (hazelnuts).
Hazardous foreign material, e.g. metal.
Main control measures

0
0
0
0
Supplier control and raw material certification.

Temperature control (cooking and chilling).
Cross-contamination prevention.
Sieving and metal detection.
98
Process flow diagram
The overall process is shown on Fig, 18 (modular system structure) and

divided into six modules which are shown in detail in Figs 19-24 as
follows.
Fig,
Fig,
Fig,
Fig,
19
20
21
22
Module 1:Ingredients and packaging intake/storage/preparation

Module 2: Base manufacture
Module 3: Filling manufacture
Module 4: Assembly, cooking/cooling, finishing/decorating,
freezing
Fig, 23 Module 5 : Packing
Fig, 24 Module 6 : Storage and despatch
Fig. 18 Frozen cheesecake: modular system structure.
100
Fig. 19 Module 1:ingredients & packaging intake/storage/preparation.
101
Fig. 20
Module 2: base manufacture.
102
Fig. 21 Module 3: filling manufacture.
Fig. 22 Module 4: assembly, cooki ng/cool i ng, fi nishi ng/decorati ng, freezing.
104
Fig. 23 Module 5 : Packing.
Fig. 24 Module 6: Storage and despatch.
Approved supplier,
agreed specification,
effective cooking
Approved supplier,
effective cooking
Approved supplier,
effective cooking
Approved supplier,
agreed specification
Vegetative
pathogens, e.g.
Salmonella,
Listeria
Salmonella
Salmonella
Salmonella
Double cream
(pasteurised)
Whole egg (liquid

pasteurised,
contains sugar
10%)
Chocolate chips
Chocolate flakes
Approved supplier,
agreed specification, pH
4.4, effective cooking
Vegetative
pathogens, e.g.
Salmonella,
Listeria
Low fat soft

cheese
(pasteurised)
Control measures
Hazard
Yes
No
Yes
No
Yes
No
No
Yes
No
CCP
No
44
No
43
No
42
No
Q1 Q l a
No
Significant
hazard?
Although the chance of

Salmonella contamination in
chocolate flakes is considered
to be low, the team was aware
of historical evidence of
Salmonella in chocolate and
therefore decided that it was a
significant hazard since the
flakes are added after cooking.
Supplier audited on a regular

basis. Product will be cooked.

basis. Vegetative pathogens
destroyed by cooking.

basis. Vegetative pathogens
destroyed by cooking.

basis. Product will be cooked.
Justification
Cheesecake manufacture: hazard analysis and CCP identification for raw materials and process steps.
Raw material
Table 8
7 Hazard analysis and CCP identification
No hazard
identified
Vomitoxin
Sugar
Flour
Supplier control,
supplier audit,
certificate of analysis.
No
No
No
Yes
Yes
No
No
High fat content, salt. Material

does not support growth of
pathogens.
Supplier control, supplier audit,
visual check on debagging,
sieving.
No
No
A P P E N D I X A 1
Contd
Supplier control, supplier audit

and certification, visual check
on debagging, sieving.

sieving. (Sunflower-basedfat.)
No
No
Not a significant hazard.
This is considered a significant

hazard by the team. Effective
supplier assurance is essential
to assure control by the
supplier.
Controlled by supplier.
No
Yes
Yes
4 1 . Do control measures exist? Q l a . Is control at this step necessary for safety?

42. Is the step specifically designed to eliminate or reduce the likely occurrence of a hazard to an unacceptable level?
43. Could contamination with identified hazard(s) occur in excess of acceptable level(s) or could these increase to unacceptable levels?
44. Will a subsequent step eliminate identified hazards or reduce the likely occurrence of a hazard to acceptable level(s)?
No hazard
identified
No
Supplier control,
supplier audit, visual
check on debagging and
depositing
Margarine
Yes
Yes
Supplier control,
supplier audit
Allergens from
other nuts at
suppliers
premises
Shell fragments
No hazard
identified
Yes
Yes
Approved supplier,
certificate of analysis
Afl atoxin
Biscuit crumb
Chopped
hazeI nuts
-.,
0
No
No
No
No hazard
identified
No hazards
identified
Waxed cardboard
lids
Boxes, outers
No
No hazard
identified
No
Foil bases
Packaging
Supplier control,
supplier audit, visual
check on debagging.
Foreign material,
stalks, leaves,
stones/pips
Fruit toppings
CCP
No
44
No hazard
identified
43
Flavours
42
No
Q1 Q l a
No hazard
identified
Significant
hazard?
Starch
Control measures
Hazard
Contd.
Raw materials
Table 8
No contact with woduct.
Food grade material.
Food grade material.
Material does not support

growth of pathogens.

sieving.
Justification
Intact packaging
No
Yes
No
Vehicle engines
switched off during
intake
Time/temperature
control
No
Yes
Significant
hazard?
Intact packaging
Temperature control
Control measures
Yes
Yes
Q1
Qla
No
No
42
Yes
Yes
43
Yes
Yes
44
No
No
No
No
No
No
No
CCP
Contd
Food hygiene practices are

observed - prerequisite
programme. Nut packaging
intact.

programme.
Controlled by site rules prerequisite programme.
Visual check.
Temperature of delivery must

be <5T.
Justification
A P P E N D I X A 1

Crosscontamination to
other materials
No hazard
identified
1.4 Transfer to
ambient store
1.5 Transfer to
nut storage area
Microbiological
growth
No hazard
identified
Microbiological
growth (chilled
ingredients)
Physical
contamination
Chemical
contamination
from exhaust
fumes
Hazard
1.3 Transfer to
chiller
packaging
1.2 Intake of
ingredients
1.1 Intake of
Process step
No hazard
identified
Physical
contamination
Microbiological
growth within
chilled
ingredients
1.9 Storage of
packaging
1.10 Transfer to
ingredient
preparation area
Microbiological
contamination if
not properly
control led
Time/temperature
control
Physical
contamination
Microbiological
growth
1.8 Ambient
storage
1.11Sanitising
of creamtank
outlets and fruit
filling containers
Covered containers
Microbiological
growth
1.7 Chilled
storage
Validated effective
cleaning programme
Clean, dry store. Use

within shelf life
Temperature control.
Use within shelf life
No hazard
identified
1.6 Transfer to
packaging store
Control measures
Hazard
Contd.
Process step
Table 8
No
Yes
No
No
Yes
Significant
hazard?
Yes
Yes
Q1
Qla
No
No
42
Yes
Yes
43
Yes
Yes
44
No
No
No
No
No
No
No
CCP
Prerequisite programme

programme.
Product will be cooked, storage
time insufficient for toxin
formation.
No contamination risk - GMP

and pest control in place.
Prerequisite programme.

programme.
Justification
H A C C P
No hazard
identified
No hazard
identified
Microbiological
growth within
chilled
ingredients
No hazard
identified
Mlcrobiological
contamination to
other ingredients.
Nut
contamination to
other ingredients/
process
1.13 Sieving
1.14 Weighing
1.15 Transfer to
fi I ling
manufacture area
1.16 Transfer to
base manufacture
area
1.17 Transfer to
finishing (high
care) area
Debox in low risk. Spray

containers with
sanitiser
Use lidded nut only
colour-coded(red
plastic) containers. At
this stage nuts are still
in sealed bags
Time/temperature
control
Yes
No
No
No
Yes
No
No
No
Yes
No
Yes
No
No
No
Contd

programme.
Ingredients will be cooked.

Storage time insufficient for
toxin format ion.

programme.
Food hygiene and equipment

maintenance in place prerequisite programmes.

programme.
A P P E N D I X A 1

43.Could contamination with identified hazard(s) occur in excess of acceptable level(s) or could these increase to unacceptable levels?
No hazard
identified
1.12 Debox/
debag/del id
No
No
No
No
No hazard
identified
No hazard
identified
No hazard
identified
No hazard
identified
2.3 Manual
transfer to biscuit
crumb to mixer
bowl.
2.4 Manual
mixing of biscuit
base using
stainless steel
paddle
2.5 Tipping of
biscuit base into
bin, transfer to
depositor hopper
CCP
2.2 Heat
margarine to melt
44
No
43
No hazard
identified
42
2.1 Manual
transfer of
margarine to pan
Qla
No
Q1
No hazard
identified
Significant
hazard?
1.18 Transfer of
packaging to
packing area
Control measures
Hazard
Contd.
Process step
Table 8

programme.

programme.

programme.

programme.

programme.
Justification
No
No
No hazard
identified
3.6 Manual
slurlying of egg,
starch and flavour
Contd

programme.

programme.
Mixing time not long enough to

allow toxin formation.

programme.

observed.

programme.

programme.
A P P E N D I X A 1

No
No hazard
identified
Yes
3.5 Manual
premixing of
sugar and flour
Yes
Microbiological
growth
3.4 Mixingof
filling
No
No
No hazard
identified
3.3 Manual
decanting of
liquid ingredients
Yes
No
No hazard
identified
3.2 Manual
tipping of solid
ingredients
Yes
No
No hazard
identified
3.1 Manual
tipping of soft
cheese to mixing
bowl
Time/temperature
control. Cooking at later
stage
No
No hazard
identified
2.6 Transfer to
depositor hopper
~3

programme.
programme.
programme.
programme.
No
No
No
No
No
No
No hazard
identified
No hazard
identified
No hazard
identified
No hazard
identified
No hazard
identified
No hazard
identified
4.1 Transfer of
foil bases to
magazine
4.2 Placing of foil

bases onto line
4.3 Depositing of
biscuit base
4.4 Blocking of
biscuit base
4.5 Depositing of
fi I I ing
4.6 Transfer to
baking racks
Justification

programme.
CCP
No
44
No hazard
identified
43
3.8 Pumping of
filling to depositor
hopper
42

programme.
Qla
No
Q1
No hazard
identified
Significant
hazard?
3.7 Decanting of
mixed filling into
tubs
Control measures
Hazard
Contd.
Process step
Table 8
H A C C P
I
e
Contd
A P P E N D I X A 1


programme.
No
No hazard
identified
4.12 Tipping of
fruit filling to
depositor hopper
No subsequent step to remove

hazard.

programme.
Yes
No
No
Yes
No hazard
identified
4.11 Manual
transfer to
conveyer be1t
Time/temperature
control
Yes
Cooling trials demonstrate

reduction to 10C in 90
minutes, therefore spore
formation not significant.
Growth of
surviving spore
formers
4.10 Cooling in
blast chiller
Yes
No
No hazard
identified
4.9 Standing of
racks under
extractor (30
minutes)
Correct heat process

programme.

programme. Time would not
allow micro hazard to develop.
This step allows initial heat loss
and prevents condensation
problems in the blast chiller.
Survival of
vegetative
pathogens
4.8 Baking
No
No
No hazard
identified
4.7 Transfer of
racks to oven
St, aureus
transfer from
operators hands
Allergen crosscontamination
No hazard
identified
Micro growth
4.15 (3) Manual

decorating
chopped
hazeI nuts
4.16 Transfer to
freezing tunnel
4.17 Freezing
Temperature control
Product containing nuts

packed last. Effective
cleaning after packing.
Dedicated equipment
Effective handwashing
No
No
No

programme.
Growth unlikely in a freezing
process.
No
Allergen control essential.

Special deep cleaning
procedure to be used for the
line. Validated cleaning is part
of prerequisite programmes.

programme.

programme.

Special deep cleaning
procedure to be used for trays.
Validated cleaning is part of
prerequisite programmes.

programme.
Justification
No
No
No
No
4.15 (2)Manual
decorating with
choco I ate flakes
No
No hazard
identified
Nut only colour-coded

trays used. No
debagging while other
products exposed
4.15 (1)
Depositing of fruit
filling
CCP
No
44
Contamination to
other materials
43
4.14 Debagging
of chopped
hazelnuts onto
tray
42
No
Q1 Q l a
No hazard
identified
Significant
hazard?
4.13 Debagging
of chocolate
flakes onto tray
Control measures
Hazard
Contd.
Process step
Table 8
Subsequent
microbiological
and physical
contamination
Allergencontaining
product placed in
wrong container
where allergen
unlabe I led
5.5 Sealing of
cartons
5.6 Scanning of
sealed cartons
Yes
No
Yes
Correct cartons for

hazelnut with allergen
warning
Adequate seal
All product passes

through functioning
scanner device
Yes
Yes
Yes
No
Yes
Yes
Yes
No
No
No
No
No
No
Contd

Scanner will pick up wrong
cartons that may be received in
stack from Drinter.
Product is already lidded. GMP

used.
There is a scanner further down

the line.

programme.

programme.
A P P E N D I X A 1

Allergen hazelnut product

packed in wrong
carton
identified
No hazard
identified
No hazard
identified
No hazard
identified
No hazard
5.4 Packing into

pre-formed
cartons
5.3 Erection of
cartons
5.2 Application
of lids
5.1 Transfer of
lids to applicator
4.18 Transfer of
frozen product to
packing
-.,
No
No
No
No hazard
identified
No hazard
identified
No hazard
identified
5.11 Packing
into outers
5.12 Coding and

labelling of outers
5.13 Palletisation
Yes
No
Yes
No hazard
identified
Yes
All product passes

through a functioning
metal detector
Yes
No
5.10 Erection of
outers
No
Correct coding
No
CCP
No hazard
identified
44
5.9 Check
weighing
43
Presence of metal
not identified
42
5.8 Metal
detection
Q1 Q l a
Loss of
traceabiI ity
Significant
hazard?
5.7 Codingof
cartons
Control measures
Hazard
Contd.
Process step
Table 8
Legal requirement i.e. to meet

declared weight and may be
managed as a CP.
No subsequent step to remove

hazard.
Legal control measure.
Justification
No
No hazard
identified
No
No
No
identified
No hazard
identified
No hazard
identified
No hazard
A P P E N D I X A 1

6.3 Load onto

transport
6.2 Transfer to
loading bay
6.1 Storage in
freezer
5.14 Transfer to
freezer
l/
Hazard to be
controlled
Salmonella
Contamination
with other nut
CCP
no
Approved
supplier
Agreed
wecification
Approved
supplier
Control
measure
Buy only from

approved
Buy only from

approved
supplier
Absent/25g
Critical limits
heesecake manufacture: HACCP control chart.
CP control chart
Check
approved
Check
approved
supplier list
Check C of A
for evidence of
compliance
Procedure
Each
delivery
Each
delivery
Each
delivery
Frequency
Monitoring
Stores
supervisor
Stores
supervisor
Stores
supervisor
Responsibi I ity
Reject delivery
Reject delivery
Reject delivery
Procedure
Stores
supervisor
Stores
supervisor
Stores
supervisor
Responsibility
Corrective action
Survival of
vegetative
pathogens
Allergen
containing
product in
unlabelled
packaging
Ferrous metal
contamination
Absence of all
ferrous metal
above 2.5mm
Correctly
calibrated
metal detector
working
continuously
Scanner
functioning at
all times
All product
passes
through
suitable
scanner
Effective metal
detection and
rejection
Core
temperature
72C
minimum
Correct heat
process
140C for
55mins
Must reject
2.5mm ferrous
test strip when
placed at
centre of
woduct
Check with
packaging
samDles
Calibrated
oven chart
recorder visual
check and sign
Off
Start up,
every 60
minutes
and end of
woduction
Start-up
and halfhourly on
hazelnut
product
runs
Each batch
Re-check
product since
previous
satisfactory
check
Re-check
product since
previous
satisfactory
check
Line oDerator
Quarantine
batch
Inform line
manager
Continue
cooking or recook until
72C is
achieved
Line operator
QC operator
Line manager
Line manager
Production
operator
122
0
0
d
9 Implementation and maintenance

Validation of HACCP plan elements was carried out prior to implementation.
Heat penetration studies were carried out on the batch oven to ensure that
the required product centre temperature would be achieved. In addition,
validation studies were carried out on the scanner to ensure that it was
capable of operating at the line speed.
A phased implementation plan starting with module 1and following the
process through to module 6 was then carried out on a departmental basis.
The maintenance plan includes:
0
0
0
0
0
Monthly HACCP team meetings to discuss:

1. Verification activities such as deviations at a CCP, corrective
actions, consumer complaints, audit results, micro results.
2. Changes to the system such as new ingredients/varieties/process changes which would result in alterations to the HACCP
plan.
6-monthly verification (internal) audits.
Annual third-party verification by expert consultant.
HACCP plan revalidation on an annual basis.
The requirement for an annual training plan.

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Food Industry Briefing Series: HACCP

Sara Mortimore, Carol Wallace

This case study is provided to illustrate the application of the HACCP

The company is a medium-sized frozen foods company producing a range of

HACCP team members

Frozen ready-to-eat products to be consumed after thawing at

Dairy ingredients: soft cheese in plastic buckets; cream in stainless

Chocolate (chips and flakes) and biscuit crumb in blue plastic-lined

Chopped hazelnuts in plastic-lined cardboard boxes, stored in

pH of cheese layer = <5.5.

Mixing - automated and manual.

Main hazards to be considered

Pathogens in raw materials added after baking.

Main control measures

Supplier control and raw material certification.

Process flow diagram

The overall process is shown on Fig, 18 (modular system structure) and

Module 1:Ingredients and packaging intake/storage/preparation

Fig. 18 Frozen cheesecake: modular system structure.

Fig. 19 Module 1:ingredients & packaging intake/storage/preparation.

Module 2: base manufacture.

Fig. 21 Module 3: filling manufacture.

Fig. 23 Module 5 : Packing.

Fig. 24 Module 6: Storage and despatch.

Whole egg (liquid

Low fat soft

Although the chance of

Supplier audited on a regular

Supplier audited on a regular

Supplier audited on a regular

Supplier audited on a regular

7 Hazard analysis and CCP identification

High fat content, salt. Material

Supplier control, supplier audit

Supplier control, supplier audit,

Not a significant hazard.

This is considered a significant

4 1 . Do control measures exist? Q l a . Is control at this step necessary for safety?

No contact with woduct.

Food grade material.

Food grade material.

Material does not support

Supplier control, supplier audit,

Food hygiene practices are

Food hygiene practices are

Controlled by site rules prerequisite programme.

Temperature of delivery must

4 1 . Do control measures exist? Q l a . Is control at this step necessary for safety?

Clean, dry store. Use

Food hygiene practices are

No contamination risk - GMP

Food hygiene practices are

Debox in low risk. Spray

Food hygiene practices are

Ingredients will be cooked.

Food hygiene practices are

Food hygiene and equipment

Food hygiene practices are

4 1 . Do control measures exist? Q l a . Is control at this step necessary for safety?

Food hygiene practices are

Food hygiene practices are

Food hygiene practices are

Food hygiene practices are