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Hazard Analysis and Critical Control Point (HACCP) and Food Safety Management
FOOD 512
Section: 002
Instructor: Nancy Ross
Office Hours:
Class Schedule: Tuesday and Thursday 2-3:30 PM
Classroom: EOSM Rm 135
Important Course Pages
Lecture Notes
Course Discussion

Course Description

This course focuses on the application of the scientific principles of HACCP (Hazard Analysis and Critical Control Point) for food safety programs at an advanced level. Undergraduate courses in microbiology, food processing, food plant hygiene and HACCP principles are required, although these prerequisites may be waved in discretion of the instructor.

These food science concepts will be reviewed in the first 8 hours of class by developing a HACCP plan for a food product using the Canadian Food Safety Enhancement Program (FSEP) procedure as a guideline. Good Manufacturing Practices (GMP) as a means to control food safety hazards will be reviewed in this exercise. Students will prepare Standard Operating Procedures for the control of hazards.

Students attending this course should be familiar with basic statistical concepts such as:

  1. data and data collection methods,
  2. statistical variables and their types (e.g., nominal, ordinal, continuous, discrete),
  3. descriptive statistics for summarizing the distribution of statistical variables (e.g., mean, median, mode, standard deviation, variance, percentiles, minimum, maximum),
  4. statistical graphics for data visualization (e.g., histograms, scatterplots),
  5. experimental design (e.g., principles and types of experimental designs, regression and analysis of variance methods) and
  6. statistical quality control (e.g., sampling procedures, control charts, operating characteristic curves). The 7 Quality Tools will be reviewed and their use in a HACCP plan will be demonstrated.

To brush up on these statistical concepts prior to attending the course, students can the following references that is available as an e-book through the UBC Library:

Pripp, A.H. 2013. “Statistics in Food Science and Nutrition,” Springer, New York.

Students will apply Statistical Process Control (SPC) techniques to a typical HACCP implementation situation. A case study format will encourage the students to function as a HACCP team. In the case study students will prepare a quantitative hazard analysis and determine the CCP and establish the critical limits. Previous use of excel in preparation of control charts is an asset although not necessary. A supplemental tutorial will be available for required excel applications.

Verification of HACCP plans will be learned using a case study that also reviews and applies statistical sampling techniques. This exercise will involve a discussion of emerging food safety issues with microbial safety of spices as the case study. The role of environmental sampling procedures as an alternative to finished product sampling will also be evaluated.

A final module of the course will discuss validation of HACCP programs. Regulatory audits and 3rd party audits will be compared. The role of member organizations such as the American Society for Quality (ASQ) and its programs such as the ASQ Certified HACCP Auditor will be assessed.

Students will have to opportunity to complete the Preventive Controls for Human Food course that is part of the FDA Food Safety Modernization Act and attain status as a Preventive Controls Qualified Individual. A $50 USD certification fee will be paid by individual student. (Information will be given in class on registration procedure).

Learning Outcomes

At the end of this course students will be able to:

  • Explain the Principles of HACCP and demonstrate their effectiveness in the prevention of food safety hazards.
  • Prepare HACCP program documentation for a food process that contains hazards controlled by good manufacturing practices, one or more CCPs (Critical Control Point) and/or uncontrolled hazards.
  • Conduct a quantitative hazard analysis for the determination of a Critical Control Point.
  • Apply statistical process control (SPC) techniques for hazard control.
  • Analyze data from a food processing plant and construct sampling plans suitable for use in a HACCP plan.
  • Outline the process for validation of a HACCP program.
  • Enhance decision-making skills and develop an ability to apply analytical tools in true-to-life situations through preparing solutions to different case studies.

Detailed Description of Topics

The activities in this course prepare the student to participate in a HACCP team in a food plant. A major project for the course is to prepare a selection of typical documents that are standard requirements for preparation of HACCP documentation. This HACCP document binder is a compilation of the projects listed below.

Students will prepare this HACCP binder in groups. Groups are self-selected with a maximum of five (5) students per group. Group assignments will earn an overall group mark which may be adjusted to reflect individual contributions to the group. A group evaluation form is available on Connect and must be submitted to the instructor by the last day of classes.

The topics are described below.

1. HACCP Team Formation


GOAL/QPC. 2010. Team Guidelines. Chpt. in “The Memory Jogger,” 2nd ed., GOAL/QPC pp. 194-200. GOAL/QPC, Salem.

HACCP is a team concept. The first step for a successful HACCP program is garnering management commitment. A letter of management commitment is a requirement in HACCP documentation. In this session students will prepare a group charter for their HACCP team activities and prepare the HACCP commitment letter for their team binder.

2. Team Decision of Document Format

A HACCP Plan is a written document designed in accordance with the following steps to ensure control of food safety hazards within an establishment. There are 12 steps to developing each HACCP plan. These steps are as follows:

  1. Assemble the HACCP team
  2. Describe the product and identify its intended use
  3. List product ingredients and incoming material
  4. Construct a process flow diagram and confirm its accuracy
  5. Construct a plant schematic and confirm its accuracy
  6. Identify and analyze hazards (Principle 1)
  7. Determine critical control point(s) (CCP) and other control measures i.e. process control (PC) and prerequisite programs (PP) (Principle 2)
  8. Establish critical limits for CCP (Principle 3)
  9. Establish monitoring procedures for CCP (Principle 4)
  10. Establish deviation procedures for CCP (Principle 5)
  11. Establish verification procedures for CCP (Principle 6)
  12. Establish record keeping for CCP (Principle 7)

Steps 1 to 5 are preliminary steps to enable hazard analysis. Steps 6 to 12 incorporate the 7 principles of HACCP developed by the Codex Alimentarius Commission. There are 10 specific forms that can be used for the documentation of a HACCP plan. These have been developed under the FSEP (Food Safety Enhancement Program) by CFIA (Canadian Food Inspection Agency). An establishment may use other forms as long as the content is equivalent and provides sufficient detail.

In this module the group will evaluate and select a format for use in their HACCP documentation preparation. Other examples are available on Connect for this evaluation. (Codex and FSEP).

Groups will prepare the basic product information and hazard analysis and control for a typical food process. The food process will be a RTE (Ready to Eat) assembled food product. The case study is available in Connect. (Preparing the Basic Product Information for a HACCP Plan).

3. Raw Material Hazard Analysis

Reading: (available on Connect).

Ross, N. 2012. Designing Safety into Products and Processes. Adapted from Mortimore, S. and Wallace, C. 2001. “HACCP A Practical Approach,” 2nd ed. Aspen Publishers, Gaithersburg, and Surak, J. G. and Wilson S. 2007. “The Certified HACCP Auditor Handbook,” 2nd ed. ASQ Quality Press, Milwaukee.


Mortimore S. and Wallace C. 2013. “HACCP: A Practical Approach,” 3rd ed. Springer, New York.

Mortimore S. and Wallace C. 2015. “HACCP: A Food Industry Briefing,” 2nd ed. Wiley Blackwell, UK.

Downes, F and Ito, K. 2001. “Compendium of Methods for the Microbial Examination of Foods”. 4th ed. American Public Health Association. Washington, DC.

Surak, J. G. and Wilson S. 2007. “The Certified HACCP Auditor Handbook,” 2nd ed. ASQ Quality Press, Milwaukee.

Each group will choose a category of raw materials from the case study of RTE Assembled Food Product. FSEP Form 2, Form 5, 6 and 7 will be completed. A literature review of the raw material category must be included.

You must demonstrate that you researched the literature in preparation for writing the report. The bibliography for your report may include some review articles and information from credible websites, but the majority of references must be from primary, peer-reviewed sources (scientific journals, textbooks).

4. Mission Impossible: Use of Control Charts in Hazard Control

Readings and Materials:

GOAL/QPC. 2010. Control Charts Chpt. in “The Memory Jogger,” 2nd ed., GOAL/QPC pp. 54-200. GOAL/QPC, Salem.

Control Chart Problem Set, Control Chart Data, Case Study- Mission Impossible


Surak, J. G. 1998. Integrating SPC and HACCP. Food Quality. May/April 1998.

Surak, J. G., Cawley, J. L. and Hussain, S. 2012, Integrating HACCP and SPC. Food Safety Tech. Feb 07, 2012

5. Validation of Food Safety Control Measures


CAC. 2008. Guidelines for the Validation of Food Safety Control Measures. Codex Alimentarius CAC/GL 69 - 2008

Every food establishment must demonstrate that the critical control points (CCP) are capable, on a consistent basis, of achieving the intended level of hazard control. Validation is performed at the time the CCP is designed, or when changes indicate the need for re-validation. Validation of a CCP is, whenever possible, performed before it is fully implemented.

Depending on the CCP that is being validated, the validation documentation may include:

  • Scientific, technical or regulatory support to demonstrate that the selected critical limit is effective for control of the hazard;
  • Commissioned testing data specific for a piece of equipment (e.g. pasteurizer) to demonstrate that the equipment is capable of meeting the selected critical limit;
  • Supporting data to demonstrate that the monitoring procedures are effective enough to detect loss of control at a CCP before the finished product leaves the control of the producing establishment.

Validation is also required for control measures covered by prerequisite programs that have an immediate impact on food safety (e.g., new technology for water treatment).

Using the HACCP program at a RTE assembled food product establishment as a model the class will prepare a proposed validation study for a control measure in the program. See Example 6: Validation of a Safe-handling Label for Table Eggs as an Example (CAC/GL 69-2008).

6. Hazard Analysis Challenges

Each group will prepare a 10-15 minute presentation for the class selected from the following list.

  • Use of checklists in record keeping
  • Controlling HEM (hazardous extraneous material) in food processing using Metal Detection and X-ray techniques
  • Use of environmental swabbing programs in hazard control
  • Allergen Control in food establishments and use of precautionary labelling statements
  • Development of recall program

Use the list of learning outcomes available in Connect module. Please provide a list of the learning outcomes that will be covered in your presentation during week 5 of course. Presentations will be done in class during last two weeks of course.

Each group will make a presentation using visual aids such as PowerPoint. The presentation will be published on Connect. The presentation will be assessed on the following criteria:

  • Development of learning outcomes for topic – suitability and coverage of topic.
  • Presentation – delivery (pace, adherence to time limit), knowledge and content, and discussion post presentation (handling of questions and debate).
  • References – credible sources of information

7. Introduction to Attribute Sampling


ASQ 2005. American National Standard – Introduction to Attribute Sampling. American Society for Quality Control. ANSCI/ASQC S2-1995

A number of well publicized salmonella outbreaks traced to food have heightened public awareness of the need to ensure food safety programs are in place. This module looks at the role microbiological testing can play.

8. Auditing and GFSI (Global Food Safety Initiative)

Assignment: Selection of Audit Scheme by a Food Establishment - GFSI Recognized Schemes

The selection of an audit standard to be used by a food establishment is an important business decision. In this module the GFSI auditing standards will be examined. This module includes a guest lecture from a 3rd party auditor.

9. Preparation of HACCP Coordinator Job Description

The Food Processing Human Resource Council of Canada (FPHRC) has developed a National Occupational Standard for a HACCP Coordinator. In this final module course participants will prepare a job description for this important HACCP job. Job descriptions are an important component of the Personnel Training Prerequisite program.

List of Course References

All students will purchase a copy of The Memory Jogger 2, Tools for Continuous Improvement and Effective Planning. This book is available through ASQ and is published by GOAL/QPC.

Hazard Analysis and Critical Control Point/Food Safety Enhancement Program. Canadian Food Inspection Agency.

IFT. 2002. IFT Expert Report on Emerging Microbiological Food Safety Issues. Implications for the 21st century. Institute of Food Technologists, Chicago,

Codex Alimentarius Background Documents in Food Safety (

Codex Alimentarius Commission. Procedural Manual. 19th Edition

  • General Principles of Food Hygiene
  • Guidelines for the Validation of Food Safety Control Measures
  • Guidelines On The Application Of General Principles Of Food Hygiene to the Control Of Listeria monocytogenes in Foods
  • Guidelines on the Judgment of Equivalence of Sanitary Measures Associated with Food Inspection and Certification Systems
  • Principles for the establishment and application of microbiological criteria in food
  • Working Principles For Risk Analysis For Food Safety For Application By Governments.

Suggested References:

Besterfield, D.H. 2004. “Quality Control,” 7th ed. Pearson Prentice Hall, Columbus.

Mortimore S. and Wallace C. 2013. “HACCP: A Practical Approach,” 3rd ed. Springer, New York.

Mortimore S. and Wallace C. 2015. “HACCP: A Food Industry Briefing,” 2nd ed. Wiley Blackwell, UK.

Surak, J. G. and Wilson S. 2007. “The Certified HACCP Auditor Handbook,” 2nd ed. ASQ Quality Press, Milwaukee.

Evaluation Profile

The final course grade will be made up of the following:

Midterm 1 Exam 20%
Midterm 2 Exam 30%
Group Projects (Preparation of HACCP documentation binder) 40%
Individual Paper 10%


There will be a first midterm exam after the first 4 weeks of classes and a second midterm after 8 weeks. There will be no final exam. The format of the exams includes short answer questions, multiple choice and short case studies. The case study questions involve completion of HACCP documentation forms such as hazard analysis forms, HACCP plan (Principles 1 to 7) and preparation of an audit report.

Group Project:

The evaluation of the binder is done to simulate the type of audit that would be done on these materials in a food processing establishment by a 3rd party auditor.

The binder will be given a mark out of 40 and will be evaluated as outlined in the following HACCP Documentation Binder Learning and Grading Rubric.

Students are encouraged to function as a HACCP team and include HACCP team meeting notes and HACCP amendment logs throughout the course and development of their group binder. Group marks will be assigned to the group as a whole.

Individual Paper:

Paper topics will be provided in class

Academic Honesty:

Academic honesty is a core value of scholarship. Cheating and plagiarism (including both presenting the work of others as your own and self-plagiarism), are serious academic offences that are taken very seriously in Land & Food Systems. By registering for courses at UBC, students have initiated a contract with the university that they will abide by the rules of the institution. It is the student’s responsibility to inform themselves of the University regulations. Definitions of Academic Misconduct can be found on the following website:,54,111,959#10894