Ohio State University Extension Bulletin

Ensuring Safe Food — A HACCP-Based Plan for Ensuring Food Safety in Retail Establishments

Bulletin 901


Chapter 7 — Creating a HACCP Plan

The seven HACCP Principles:
  1. Conduct a Hazard Analysis.
  2. Identify Critical Control Points.
  3. Establish Critical Limits.
  4. Establish Monitoring Procedures.
  5. Establish Corrective Actions.
  6. Establish Verification Procedures.
  7. Establish Record-Keeping Procedures.

Principle 1
Conduct a Hazard Analysis
HACCP Principle No. 1 States:
Conduct a hazard analysis. Prepare a list of steps in the process where significant hazards occur and describe the preventive measures.

The 2001 Food Code defines a potentially hazardous food as “a food that is natural or synthetic and that requires temperature control because it is in a form capable of supporting the rapid and progressive growth of infections or toxigenic microorganisms.” Further, “hazard” means a biological, chemical, or physical property that may cause an unacceptable consumer health risk.

The hazard analysis shall include ONLY food safety hazards.

Step 1

See Appendix 8: HACCP Plans — Process Flow Diagram. (PDF link)

Step 2

Add each Process Step from the Process Flow Diagram (page 21 (PDF link)) onto the Hazard Analysis and CCP form (see page 22 (PDF link)).

See Appendix 8: HACCP Plans — Hazard Analysis and CCP.

Step 3

For each Process Step and each Potential Hazard (Biological, Chemical, and Physical), complete the Hazard Analysis and CCP (PDF link) form shown on page 22 for:
  1. Potential Hazards introduced, controlled, or enhanced at this step.
  2. Does this potential hazard need to be addressed in the HACCP plan?
  3. Why? (Justification for the decision made in the previous column.)
  4. What measures can be applied to prevent, eliminate, or reduce the hazards being addressed in the HACCP plan?

See Appendix 8: HACCP Plans — Hazard Analysis and CCP. (PDF link)


Principle 2
Identify Critical Control Points
HACCP Principle No. 2 States:
Identify the Critical Control Points (CCP) in the process.

Step 4

For each Process Step and each Potential Hazard (Biological, Chemical, and Physical), complete the Hazard Analysis and CCP form shown on page 22 for:

Each CCP is to be separately identified as CCP 1, CCP 2, and so forth.

See Appendix 8: HACCP Plans — Hazard Analysis and CCP.


Principle 3
Establish Critical Limits
HACCP Principle No. 3 States:
Establish critical limits for preventive measures associated with each identified CCP.

The regulation defines critical limit as “the maximum or minimum value to which a physical, biological, or chemical hazard must be controlled at a Critical Control Point to prevent, eliminate, or reduce to an acceptable level the occurrence of the identified food safety hazard.”

Critical limits are expressed as numbers or specific parameters based on visual observation, such as:

Step 5

For each Process Step/CCP identified from the Hazard Analysis and CCP form as a Critical Control Point, enter the Process Step/CCP on the Critical Limits, Monitoring, and Corrective Actions form on page 25.

For each Process Step/CCP on the Critical Limits, Monitoring, and Corrective Actions form, enter the Critical Limits. Scientific review may be necessary for this input. Remember, the Critical Limit entered must be a measurable value.

See Appendix 8: HACCP Plans — Critical Limits, Monitoring, and Corrective Actions.


Principle 4
Establish Monitoring Procedures
HACCP Principle No. 4 States:
Establish CCP monitoring requirements. Establish procedures for using the results of monitoring to adjust the process and maintain control.

Monitoring is a planned sequence of observations or measurements to assess whether a CCP is under control and to produce an accurate record for future use in verification.

Step 6

For each Critical Limit, enter on the Critical Limits, Monitoring, and Corrective Actions form:

Critical Limit Values need to be developed for each Critical Limit. These Critical Limit Values are to be reviewed and approved and will prove valuable in documenting your food safety record-keeping.

See Appendix 8: HACCP Plans — Critical Limits, Monitoring, and Corrective Actions.


Principle 5
Establish Corrective Actions
HACCP Principle No. 5 States:
Establish corrective action to be taken when monitoring indicates that there is a deviation from an established critical limit.

The regulation defines corrective action as “procedures to be followed when a deviation occurs.” A deviation is a failure to meet a Critical Limit Value.

HACCP is a preventive system to correct problems before they affect the safety of the food.

Step 7

For each Critical Limit, enter the corrective actions on the Critical Limits, Monitoring, and Corrective Actions form (see page 25 (PDF link)).

Since all failures for Critical Limits cannot be anticipated, enter under Corrective Actions:
  1. CCP under control.
  2. Disposition of noncomplying product determined.
  3. Cause corrected to prevent recurrence.
  4. Maintain records.
Corrective Actions forms (see page 31) may be created to address:
  1. Identification and elimination of the cause of the deviation.
  2. Assurance that the CCP will be under control after the corrective action is taken.
  3. Establishment of measures to prevent recurrence.
  4. Procedures to prevent the introduction into commerce of any product that is injurious to health or otherwise adulterated as a result of the deviation.
  5. Provisions for the signature of the person approving the Corrective Action. Each Corrective Action should be entered onto a separate form to be available for review by management and any regulatory agency.

These Corrective Actions forms will prove valuable in documenting your food safety actions.

See Appendix 8: HACCP Plans — Critical Limits, Monitoring, and Corrective Actions. (PDF link)


Principle 6
Establish Verification Procedures
HACCP Principle No. 6 States:
Establish procedures to verify that the HACCP system is working correctly.

Validation — Test that the process with the Critical Limits eliminates the hazard.

If a hot deli serving table is to maintain food above 140°F, then validate that it does.

Verification — Assure that all required information is written down and documented.

If cleaning of equipment is stated in the Hazard Analysis, then check that cleaning is done. Do what you say and say what you do. Verify the written statements.

Step 8

For each Process Step identified from the Hazard Analysis and CCP form (see page 22 (PDF link)), enter that Process Step on the Verification and Record-Keeping form shown on page 34 (PDF link).

For each Process Step, enter all the Validation and Verification activities. This is part of the needed documentation.

Whenever a Reassessment occurs, fully document the reason for the reassessment and the results.

See Appendix 8: HACCP Plans — Verification and Record Keeping. (PDF link)


Principle 7
Establish Verification Procedures
HACCP Principle No. 7 States:
Establish effective record-keeping procedures that document the HACCP system.

Maintaining proper HACCP records is an essential part of the HACCP system. Good HACCP records — meaning that the records are accurate and complete — can be very helpful because:


Records
Three Types of Records
  1. In the Hazard Analysis, records of practices that keep hazards from likely occurring, i.e.:
    • Cleaning procedures
    • Employee training
  2. HACCP plan and reassessments:
    • Validations
    • Verifications
  3. Operating records (such as):
    • Operating Records of Critical Limits
    • Calibrations

Step 9

On each Process Step/CCP, enter all the Record-Keeping Procedures on the Verification and Record Keeping form (see page 34 (PDF link)). This is part of the needed documentation.

See Appendix 8: HACCP Plans — Verification and Record Keeping. (PDF link)

Step 10

For each Process Step/CCP identified from the Critical Limits, Monitoring, and Corrective Action form, enter the information listed here on the HACCP Plan Summary form on page 38 (PDF link):

See Appendix 8: HACCP Plans — HACCP Plan Summary. (PDF link)

Step 11

All forms are to be reviewed for correctness, signed, and dated.


Chapter 6 | Chapter 8 | Table of Contents