Desalination 210 (2007) 138145

Application of HACCP principles in drinking water treatment

I. Damikoukaa*, A. Katsirib, C. Tziac
a

National School of Public Health, Department of Sanitary Engineering and Environmental Health, Athens, Greece
Tel. +30 (210) 6466064; Fax+30 (210) 6400198; email: skoyz2002@yahoo.gr
b
School of Civil Engineering, cSchool of Chemical Engineering,National Technical University of Athens, Greece

Received 30 November 2005; revised 13 April 2006; accepted 11 May 2006

Abstract
One of the most important tasks at any water treatment plant is safeguarding the quality of drinking water.
Worldwide, the drinking-water sector is increasingly aware of the limitations of end-product testing for ensuring
safety. One limitation is the steady increase in the number of potentially occurring pathogens and chemicals that
need to be monitored. A further limitation is the delayed availability of results in relation to the timing of interventions
needed to maintain the safety of a supply. Ensuring the safety of a supply requires monitoring not only of the
finished drinking-water, but particularly of parameters which indicate whether the key control measures in a given
process are functioning correctly. Preventative measures have therefore become very important. The Hazard Analysis
Critical Control Points system (HACCP) is a food safety management system which uses the approach of controlling
critical points in food and drink production, and the framework of its concept consists of 7 principles. According to
the Council Directive 93/43/EEC and the recent Regulation (EC) No 852/2004 on the hygiene of foodstuffs, the
application of HACCP in food production is obligatory. In the present work, the HACCP principles were applied to
the Aspropyrgos Water Treatment Plant. The critical control points identified include filtration and chemical
disinfection.
Keywords: HACCP; Drinking water

1. Introduction
Drinking water may be produced from a variety of sources, for instance, surface or groundwa*Corresponding author.

ter. The qualitative characteristics of drinking

water are described in the Council Directive 98/
83/EC on the Quality of Water intended for human consumption [1]. This specifies that water
should be free from any substances constituting a

Presented at the 9th Environmental Science and Technology Symposium, September 13, 2005, Rhodes, Greece.
Organized by the Global NEST organization and prepared with the editorial help of the University of Aegean,
Mytilene, Greece and the University of Salerno, Fisciano (SA), Italy.
0011-9164/07/$ See front matter 2007 Published by Elsevier B.V.
doi:10.1016/j.desal.2006.05.039

I. Damikouka et al. / Desalination 210 (2007) 138145

potential danger to human health and should be

aesthetically acceptable.
Drinking water should not contain any microorganisms known to be pathogenic capable of
causing disease or any bacteria indicative of
faecal pollution [2]. Major groups of interest include
bacteria (total coliforms, Escherichia coli, Salmonella, Shigella, Yersinia, Vibrio), viruses (hepatitis A, enteric viruses), algae, fungi, protozoa (Giardia lamblia, Entamoeba histolytica, Crypto-sporidium parvum) and worms.
As far as the inorganic and organic contaminants are concerned the most important with regard to health are heavy metals (arsenic, lead,
chromium, mercury, cadmium, etc.), turbidity, organochlorine and organophosphorus pesticides,
polynuclear aromatic hydrocarbons (PAHs), polychlorinated biphenyls (PCBs) and disinfection byproducts [2].
Each type of raw water has a characteristic
pollution pattern, and treatment must be related

139

to the source water quality and the desired end

product standards [3,4]. A conventional water
treatment plant as the one depicted in Fig. 1 consists of the following steps/ procedures: screening, coagulation, flocculation, sedimentation,
clarification, filtration and disinfection.
In order to be able to achieve the quality goals
on the basis of legal requirements, the water treatment plants already carry out comprehensive quality control, which involves periodic tests of
samples, in combination with various on-line
measurements [5]. A process technical control of
possible risks and the monitoring of critical points
provide a solution for preventing the occurrence
of quality or safety defects. Such a procedure for
the determination of hazards and for their avoidance is presented by the HACCP method. In principle, it involves the control of the processes and
signals a shift in emphasis from resource-intensive end product inspection and testing to preventive control of hazards at all stages of food pro-

Fig. 1. Process flow diagram for Aspropyrgos Water Treatment Plant.

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duction. HACCP is a tool to assess hazards and

establish control systems that focus on prevention rather than relying mainly on end-product
testing [6].
The HACCP system was developed in the
1970s as a universal, scientifically based framework to assure safe food production. It has been
expanded and improved since then and has now
become a universally accepted system which is
increasingly being used by food producers, regulatory authorities and inspection services alike.
An internationally valid explanation of the
HACCP concept has been laid down by the FAO/
WHO Codex Alimentarius Commission in an annex to its General Principles of Food Hygiene [6
8]. According to this, the HACCP concept is a
system for the identification, evaluation and control of significant health hazards from food. Thus,
specific health hazards (of chemical, physical and
microbiological origin) for the consumer should
be identified and the probability and significance
of their occurrence assessed. In general, HACCP
aims to eliminate influences that result in food
borne diseases in humans from the production,
handling, treatment, transportation and storage of
foods.
According to the Council Directive 93/43/EEC
[9] and the recent Regulation (EC) No 852/2004
[10] on the hygiene of foodstuffs, the application
of HACCP in food production is obligatory.
The HACCP system is a useful framework.
However, as presently used in food microbiology,
the system is mainly qualitative and may be subjective, because the opinions of experts are relied
upon when defining critical limits for CCPs. In
order to make the assessment of drinking water
supply more objective, QRA (Quantitative Risk
Assessment) has been employed [11]. HACCP is
in its infancy for the water industry. The identification of hazards and key control measures dealing with hazards is applied as part of standard good
water supply practice. What is not applied generally is the discipline of the formal HACCP procedure [5]. However, adoption of the approach of

HACCP in the field of drinking water has begun

in Australia and France. HACCP adds value by
providing a structured approach to risk assessment
and by focusing management and operatives attention on the key control measures.
In the present work, the method of HACCP
and its 7 general principles, the necessary legislation for drinking water, the microbiological and
chemical parameters as well as the essential steps
of treatment for the production of drinking water
are examined. The HACCP principles were applied to the Aspropyrgos Water Treatment Plant.
This analysis started with the identification and
evaluation of significant health hazards of water
from the catchment area, treatment processes, storage, distribution to the consumers tap and resulted
in the construction of the HACCP plan (principles 15) for the production of drinking water
for this particular plant.
2. Materials and methods
The proper identification of CCPs is a key issue in HACCP, because the major efforts in process control will be directed towards these steps.
Surface water is subject to a diversity of pollutants and it is necessary to control the extent to
which this occurs.
For the practical application of the HACCP
concept according to Codex Alimentarius [6], 7
rules have to be followed which are laid down in
7 main principles and constitute the basis for the
establishment of a HACCP plan [8,12].
Principle 1: Perform a hazard analysis
The objective of this step is to obtain a comprehensive list of all biological, chemical and
physical agents or conditions which have the
potential to cause harm, the assessment and
the severity of the risk associated with these
hazards as well as the possible control measures for each hazard.
Principle 2: Determine the Critical Control
Points (CCPs): Codex describes a CCP as: A
step at which control can be applied and is es-

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sential to prevent or eliminate a food safety

hazard or reduce it to an acceptable level. The
intent of the HACCP system is to focus control at CCPs.
Principle 3: Establish one or several critical
limit(s)
Principle 4: Establish a CCP monitoring system
Principle 5: Establish corrective action to be
taken if monitoring indicates that a specific
CCP is no longer under control
Principle 6: Establish procedures of verification to confirm a successful working of the
HACCP system
Principle 7: Introduce a documentation system taking into account all processes and
records in accordance with the principles and
their application

Furthermore, there are 5 preparatory steps in

the application of HACCP which are:
Step 1: the assembly of the HACCP team
Step 2: the description of the product
Step 3: identification of its intended use
Steps 4 and 5: the construction and confirmation of a flow diagram. This makes documentation more accessible and makes it easier to
introduce changes.
The application of preparatory activities and
the principles of HACCP resulted in the HACCP
plan, part of which, is described in Table 3. The
CCPs are determined going through the decision
tree of the method [7,12]. The conceptual approach is shown in Fig. 2. Codex provides this
decision tree to assist with a logical procedure for
this but the use of this decision tree is not mandatory [6]. The created HACCP plan (principles 1
5) could be used as a supplementary system in
the factory, if the treatment plant intends to implement HACCP as a working system. The HACCP
plan includes the process steps of the treatment,
the identified hazards, the preventative measures,
the determined critical control points, a monitor-

141

ing system, the critical limits of CCPs monitoring parameters as well as the necessary corrective actions.
Critical limits have been set according to legislation (The Council Directive on the Quality of
Surface Water intended for the abstraction of
drinking water 75/440/EEC [13] and the Current
Drinking Water Directive 98/83/EC [1]), operating procedures and performance targets of the
plant.
3. Results and discussion
In hazard analysis emphasis was given to
events, incidents or situations that could lead to
hazards being introduced into or not being removed from the water [5]. Risk assessment is the
key to the entire process -identifying risks, assessing their significance and the controls in the
system that manage those risks in a systematic
fashion- starting from the catchment and working down. A flow diagram of the Aspropyrgos
Water Treatment Plant was drawn up as depicted
in Fig. 1 [14]. At each step in the process, the
potential hazard to water quality and the controls
to prevent the hazard entering the water were identified [15]. A semi-qualitative risk assessment of
Aspropyrgos Water Treatment Plant was applied
and a simplified example is given in Table 1. It is
noted that the water treatment plant is not responsible for the quality of water coming from the
catchment area. The CCPs are determined going
through the decision tree of the method [15]. The
conceptual approach is shown in Fig. 2. An application of the CCP decision tree on the catchment area and the post-chlorination process is
depicted in Table 2.
The application of preparatory activities and
the principles of HACCP resulted in the HACCP
plan, part of which is described in Table 3 [15].
The HACCP plan includes the process steps of
the treatment, the identified hazards, the preventative measures, the determined critical control
points, a monitoring system, the critical limits of

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I. Damikouka et al. / Desalination 210 (2007) 138145

Fig. 2. The CCP decision tree.

CCPs monitoring parameters as well as the necessary corrective actions. In this case only the
CCPs are examined.
The catchment area, Mornos Lake, is itself
considered a CCP, in spite of the existence of preventative measures, for those microbiological and
chemical hazards which the plant cannot manage

[15]. During the pre-chlorination procedure, optimization of the dose of chlorine is necessary so
as to avoid the formation of THMs, without affecting the disinfectant efficiency. This is achieved
when trace levels of residual chlorine are present
at the filters outlet. Filtration is a CCP, because it
is the last step for the removal of inorganic sub-

I. Damikouka et al. / Desalination 210 (2007) 138145

143

Table 1
Example of risk assessment
Microbiological
hazards from
catchments

D Controls in
catchment

Bacteria, viruses,
protozoa

D Risk

E.g. security of
protected
catchments

D Controls in water
supply system

High (likelyhood and consequence)

D Residual risk

Coagulation/ filtration
(CCP) disinfection
(CCP)

Must be acceptable
prior to
consumption

Table 2
Application of CCP decision tree

Process step

Hazard

Q1

Q2

Q3

Q4

CCP

Catchment area
Post-chlorination

Microbiological
Microbiological

Yes
Yes

No
Yes

Yes

No

Yes
Yes

stances and small flocs, and since efficient filtration is dependent upon the procedures which precede it, in assessing the efficiency of the filtration process it is requisite/ desirable that the turbidity at the sedimentation tank outlet be no
greater than 1.5 NTU and at the filters outlet no
greater than 0.2 NTU. Post-chlorination is the last
step for the elimination of microorganisms and is
a preventative measure against recontamination
in the distribution network. The storage of treated
water and the distribution system are CCPs due
to the risk of recontamination and regrowth. Recontamination must be prevented by adequate
construction, by maintaining positive hydrostatic
pressure at all times and by hygiene precautions
due to the possibility of chemical and microbiological recontamination. During treatment and
storage, there are many on-line sensors with remote monitoring in a control room working continuously.
4. Conclusions
The HACCP system provides a mechanism for
ensuring that the appropriate corrective action is
taken in the event of any failure. This could range

from simple spot dosing to providing alternative

supplies and public notification, depending on the
event. The structured approach of HACCP to analyzing hazards provides a means of assessing the
existing barriers to contamination and improving
upon their operation. In relation to the
Aspropyrgos Water Treatment Plant, there is no
need to introduce new infrastructure (e.g. treatment), but rather a number of procedural improvements could be implemented. The most important CCPs identified are flocculation, filtration and
chlorination. The created HACCP plan could be
used as a supplementary system by the factory, if
the treatment plant intends to implement it as a
working system. The process of preparing a
HACCP plan in itself highlights possible areas
for improvement, which could be addressed,
whether or not the entire HACCP plan is enforced.
References
[1] Council Directive 98/83/EC on the Quality of Water
intended for human consumption.
[2] WHO, Guidelines for Drinking-water Quality, 3rd
ed., WHO, Geneva, 2004.
[3] WHO, Guidelines for Drinking-water Quality, 2nd
ed., WHO, Geneva, 1993.

Distribution

Storage of treated
water

Post-chlorination

Filtration

Coagulation/
flocculation/
sedimentation

Chemical

Microbiological
Regrowth, re-contamination

Chemical
Overdose, formation of THMs
Microbiological
Recontamination

Chemical
Poor floc formation and
removal of inorganic
substances
Chemical
Inorganic constituents, filter
defects
Microbiological
Survival of pathogens

Microbiological
Algae growth, pathogens,
bacteria, viruses, protozoa
Chemical
Heavy metals, pesticides,
PAHs, PCBs, solvents,
fertilizers
Chemical
Overdose, formation of
disinfection by-products
(THMs)
Microbiological
Viruses, protozoan oocysts

Catchment area
(Mornos Lake)

Pre-chlorination

Hazards

Process step
In accordance with
75/440/EEC
In accordance with
75/440/EEC

Define protection zone- Acute

toxicity detectors
Define protection zone- Acute
toxicity detectors

Integrity of tank construction.

Air filtration
Reduce residence time
Positive pressure.
Reduce biofilm potential.
Residual chlorine, replacement
and flushing programs
Reduce residence time
Integrity of pipe construction
Replacement

Total coliforms
Residual chlorine Height of
water
Total coliforms Pressure in
system POPER >1bar
In accordance with
98/83/EEC
In accordance with
98/83/EEC

Rechlorination-Isolate part
of system
Isolate part of system
Replacement

Chemical analysis

Change of dose
Dilution
Isolate reservoir
Rechlorination

Optimization of
coagulation/ sedimentation
procedure
Emergency chlorination
after storage tank

Inspection

Daily analysis of index

bacteria

On-line measurements
Turbidity < 0,2 NTU at
filters outlet
Particle counts Pressure loss
On-line monitoring
Optimize dose and contact time Residual concentration of
chlorine: 0.45-0,6ppm
Bacteriological indicator
organisms
Careful chlorination
THMs < 100g/l
Frequent analysis

On-line measurements of
turbidity and pH

Turbidity < 1 -1,5 NTU

Optimizing coagulant,
coagulant-aid dose and mixing
conditions

Changes of coagulant dose

and mixing conditions or
even pH
Increase disinfection
Changes of coagulant dose
and mixing conditions or
even pH

Post chlorination

Measurement of flow
On-line residual chlorine at
filters outlet
On-line measurements of
turbidity and pH

Increase treatment, use of

PAC, alternative supply

Frequent chemical analysis

Turbidity < 1 -1,5 NTU at

sedimentation tank outlet

Regular backwashing and

cleaning

Corrective actions

Faecal index bacteria

Increase treatment,
Specific pathogens turbidity alternative supply

Monitoring procedure

Optimizing coagulant,
coagulant-aid dose and mixing
conditions

Optimize dose and contact time Chlorine dose 1,8-2,5ppm

of disinfectant
Trace levels of residual
chlorine at filters outlet

CCP parameters/ limits

Preventive measures

Table 3
Principles of HACCP applied to Water Treatment Plant in Aspropyrgos

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[4] American Water Works Association, Water Quality
and Treatment, A Handbook of Community Water
Supplies, 4th ed., McGraw-Hill, Inc., USA, 1990.
[5] Umweltbundesamt, Federal Environmental Agency,
Water Safety, Conference Abstracts, Berlin, 2830
April 2003.
[6] FAO/ WHO Codex Alimentarius Commission,
Hazard Analysis and Critical Control Point
(HACCP) System and Guidelines for its Application,
Annex to the Recommended International Code of
Practice General Principle of Food Hygiene,
CAC/RCP 1-1969, Rev. 3, 1997.
[7] D.A. Corlett, Jr., HACCP Users Manual, Aspen
Publication, Maryland,1998.
[8] S. Mortimore and C. Wallace, HACCP, A Practical
Approach, Chapman & Hall, 1995.
[9] Council Directive 93/43/EEC on the Hygiene of
Foodstuff, Official Journal of the European Commu-

145

nities, July 19, 1993.

[10] Regulation (EC) No 852/2004 of the European Parliament and of the Council of 29 April 2004 on the
Hygiene of Foodstuffs.
[11] A.H. Havelaar, Application of HACCP to drinking
water supply, Food Control, 5(3) (1994) 145152.
[12] C. Tzia and A. Tsiapouris, Application of the Hazard
Analysis Critical Control Point (HACCP) System
in the Food Industry, Papasotiriou, Athens, 1996,
(in Greek).
[13] Council Directive 75/440/EEC on the Quality of
Surface Water Intended for the Abstraction of
Drinking Water.
[14] Operational booklet of Aspropyrgos Water Treatment Plan, (in Greek).
[15] I. Damikouka, Postgraduate Diploma Thesis:
Application of HACCP principles in drinking water
treatment, NTUA, Athens, 2004, (in Greek).