OVERVIEW & GUIDE OF THE HACCP WORKSHEETS

Supplementary
Main Worksheets Comments
Worksheets

WS 1 Registration and approval of the HACCP

MANAGEMENT SHEET Study

Product and process description, including

WS 2
raw material and end product
PRODUCT DESCRIPTIONS
characteristics

WS 3 Simplified process flow diagram with

FLOW DIAGRAM OPRP and CCP location

WS A Guidance for Food Safety/ HACCP team

HAZARDOUS AGENT CODES for assessing hazards controlled by
AND CLASSIFICATION HACCP system

Each potential hazard is listed and

WS 4
significance is determined with help of
HAZARD IDENTIFICATION
severity of health effect and likelihood of
AND DESCRIPTION
appearance

WS B Coding and classifying of the potentially

HAZARD ASSESSMENT hazardous agents that need to be
TABLE considered during the study

WS 5
With help of the decision tree the control
CONTROL MEASURE
measures are categorized to CCP, OPRP
SELECTION AND
or Modification
CATEGORIZATION

WS 6
Evidence that the control measure can
VALIDATION OF CONTROL
achieve the targeted limits
MEASURES

WS 7 List and Overview of all identified CCPs

HACCP PLAN INCLUDING and OPRPs with control measures, limits,
OPRPs corrective actions and responsibilities

Overview of verification activities that

WS 8
shows that the CCP's and OPRPs have
VERIFICATION PLAN
been implemented properly

WS 9
MODIFICATION(S) AND List of modifications with all details
FOLLOW-UP

WS 10 Recording meetings, attendances and

MEETING ACTIVITY LOG decisions made by the team
 WS C (Optional)
LIST OF SUPPORTING Recording and filing supporting information
DOCUMENTS
 [WS 1] MANAGEMENT SHEET

Complete the first section (below) at the start of the HACCP study

HACCP Study N°: Version N°: HACCP Study Scope

Factory
HACCP study details Tick as appropriate Plant/line
New HACCP study Brand
Scheduled review Product name
Unscheduled review Product code
Study started FSMS reference

Description of scope of study (e.g. module (start and end point) or products included)

Scheduled or unscheduled review: Main changes / reasons / causes

HACCP Team Members

Name Responsibility / Role / Expertise Department / Company

Authorisation for new HACCP study or update to new version

Responsibility / Role Date: 1

Complete the section below on completion of the HACCP study

Planned Modification(s) according to HACCP study

Provisional Control Measure(s) for immediate
Modification N° Dead-line
application
Date:
Date:
Date:

HACCP study review HACCP study issue date

Next scheduled review - Date: Study issued Date:

Authorisation of finished study

Date:

Date:

Date:
 [WS 1] MANAGEMENT SHEET

Complete the first section (below) at the start of the HACCP study
 [WS 2] PRODUCT/INGREDIENT DESCRIPTIONS

End- product Characteristics

Name (product(s), product group(s),
line)

Composition

Type (e.g. raw, cooked, ready to eat)

Chemical Parameters:

Key physical, biological and chemical

Biological Parameters:
characteristics

Physical Parameters:

Key processing steps (e.g. drying,

heat treatments, freezing)

Other

Specifications and Regulatory requirements (food safety related)

Product specifications

Product specific regulatory

requirements

Filling and Packing

Packaging description (e.g. size)

Packaging system (e.g. modified

atmosphere)

Claims and Label Information

Instruction for use by consumers (incl.
use or storage after opening)
Statements for safe use (e.g. allergen
info, special instructionfor safe
handling)

Other

Distribution / Storage / Description

Distribution instructions (e.g. ambient,
chilled, frozen)
Storage instructions (e.g. ambient,
chilled, frozen)

Shelf life conditions

Other
 [WS 2] PRODUCT/INGREDIENT DESCRIPTIONS

Use by Consumers

Intended use

Target group of users and special

consumer considerations (e.g. infants,
elderly)
Reasonably expected mishandling
and misuse

Incoming Material Characteristics

Name of raw materials, ingredients

Composition

High-risk ingredients

Chemical Parameters:

Key physical, biological and chemical

Biological Parameters:
characteristics

Physical Parameters:

Supplier

Processing main steps and conditions

(production method);

Packing and transportation containers

Storage conditions and shelf life

Preparation and
/ or processing before use

Acceptance criteria related to safety

Other (e.g preservatives, processing

aids, sevices)
 [WS 3] Flow Diagram

Construct a flow diagram of the process

Number each step in the process

Indicate CCP when study is finished

Indicate OPRP when study is finished

Record on-site verification on flow-diagram

 [WS 4] HAZARD IDENTIFICATION and DESCRIPTION

Justification
Location of potential hazard Hazard description Hazard assessment
for selection of Hazards and Assesment

Indicate the step (e.g. raw mtrl, processing or Q1: Based on the hazard description, likelihood of occurrence (before
Provide supporting data/references on likelihood of occurrence, information on severity
distribution) at which the hazard may be Describe clearly and specifically the hazards that are "reasonably expected" to occur at each step: Class (M, P, C or A), agent, size, origin, nature, etc. applying the control measure) and severity of health effects, does this
of health effects and acceptabel level in end product.
introduced. hazard needs to be controlled, i.e. is it a significant hazard?

Nature of the
hazard (e.g. Significant hazard?
For each hazard, document why it is or why it is not likely to occur or causing adverse
presense, ability to (Yes/No)
Origin or source of the hazard (e.g. health effects. For non significant hazards document if it is manged e.g. by a PRP,
grow, survive, Acceptable level in end Likelihood of Severity of adverse health For significant hazard,
Step No: Step (description) H# Hazard Class where and how it can be introduced into through a specification or Major Allergen Declaration (MAD).
formation of toxins product occurrence effect select and categorize
the product or its environment) Make sure that all hazards likely to occur are considered.
or toxic chemicals, control measure(s) on
Justify why a certain hazard has been disregarded.
migration of WS 5
chemicals)
 [WS 5] CONTROL MEASURE SELECTION and CATEGORIZATION

Step and Hazard Control Measures Categorization of control measures in OPRPs and CCPs. Answer questions Q1 to Q5 as necessary.

Q1: Based on the likelihood of occurrence (before applying the control measure) and the severity of adverse health effects (WS 4), is this hazard significant (needs to be controlled)? YES: This is a
Select and describe a control measure or combination of significant hazard. Go to Q2. NO: This is not a significant hazard.
control measures capable of preventing, eliminating or
reducing the hazard to an acceptable level. Q2: Will a subsequent processing step, including expected use by consumer, guarantee the removal of this Significant Hazard, or its reduction to
an acceptable level? YES: Identify and name subsequent step. NO: Go to Q3.

Transfer hazards considered significant in the hazard assessment in WS Q3: Are control measures or practices in place at this step, and do they exclude, reduce or maintain this Significant Hazard to/at an acceptable level?
4 to this worksheet (WS 5). YES: Go to Q4. NO: Modify the process or product and go to Q1.
Document the rationale for the selection, e.g. effectiveness of
Q4: Is it possible to establish critical limits for the control measure at this step?
applied control measures alone or in combination against YES: Go to Q5. NO: This hazard is managed by an OPRP.
identified hazard (refer to documents if possible)?
Q5: Is it possible to monitor the control measure in such a way that corrective actions can be taken immediately when there is a loss of control?
YES: This hazard is managed by the HACCP-plan (CCP). NO: This hazard is managed by an OPRP.

Step Justification Provide supporting evidence that that slelected control measure(s) and target/critical limits will
Step # H# Hazard Description of control measures Q1 Q2 Q3 Q4 Q5 CCP / OPRP / MOD
description adequately control the hazard.
 [WS 6] VALIDATION OF CONTROL MEASURES

The HACCP team has to provide, or ask for, evidence that selected control measures are capable of achieving the intended control for identified hazards.
The HACCP Team Leader shall provide answers to the following questions:
- Have potential hazards been correctly identified as significant or not?
- Are applied control measures capable of reducing the significant hazards to acceptable level?
- Are Critical limits correct and appropriate?
- Will the Corrections restore product’s safety control?

CCP N° Checking Control Measure Critical Limits (for CCP Justification for the
Step Hazardous agent Control measure Justification for the Selection of Control Measures Corrections
OPRP N° Effectiveness only) Selection of Critical Limits
 [WS 7] HACCP PLAN INCLUDING OPRPs

CCP N° Critical Limits / Verification

Step Step Monitoring Corrections, Corrective actions
OPRP N° H# Hazard description Control measure(s) Targets Records (details in
# description How, frequency, who? Responsibilities Responsibilities
(or Limits if applicable) WS 8)
 [WS 8] VERIFICATION PLAN

CCP No: Verification procedure

Verification activity Frequency Responsible
(e.g. methods or procedures to use, observations Records
or O-PRP (e.g of CCP monitoring or OPRP functioning, to be made or measurements to be taken, actions if (how often is the task to be (who is responsible for
(which records should be used)
No: corrective actions) performed) the task)
there is a deviation or follow-up)
 [WS 9] MODIFICATION(s) AND FOLLOW-UP
Production process Step Hazard description Modification Provisional Control Measure(s)
Hazardous Modificati
Immediate measures to be applied while modifications are not yet
Step # Step Description Hazard # Agent on Recommended modification and confirmation of transfer to for action. Limit date
implemented.
Description N°
 [WS 10] MEETING ACTIVITY LOG

Outcome
Date Partcipants Purpose Responsibility Performed
(decisions/actions)
 [WS A] HAZARDOUS AGENT CODES AND CLASSIFICATION (Optional)

Ingredient or Process H# Hazard Class Hazardous Agent Description

 [WS B]
Hazard Assessment Table
Severity of Health
Effect

Can cause fatality 5

Significant
(controlled by OPRPs or CCPs)
Can lead to serious
4
illness

Can cause illness 3

Can cause
2
inconvenience
Insignificant
(controlled by PRPs)
Almost no significance 1

Score 1 2 3 4 5
Rare Could occur Likely Frequent very Frequent
(1 year) (1 / 6 (1 / month) (1 / week) (1 / day)
month)

Likelihood of Occurrence

The Hazard Assessment Table helps to separate significant from non-significant hazards and
to document the decision:
 [WS C] List of Supporting Documents

Document Title and Status and Issue of the

No. Document Developer Filing Location
Designation Document