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ServSafe. Chapter 9 Principles of a HACCP System. GOALS. TO FOCUS ON: What is HACCP? Developing a HACCP Plan. OBJECTIVES. After completing this chapter, you should be able to: Identify the flow of a food through an establishment.

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Chapter 9

Principles of a HACCP System



  • What is HACCP?

  • Developing a HACCP Plan


After completing this chapter, you

should be able to:

  • Identify the flow of a food through an establishment.

  • Discuss the importance of prerequisite programs for a Hazard Analysis Critical Control Point (HACCP) system.

  • Define HACCP


Key terms
Key Terms

  • Hazards

  • Hazard Analysis Critical Control Point (HACCP)

  • HACCP plan

  • Prerequisite programs

  • Hazard analysis

  • Control point (CP)

  • Critical Control Point (CCP)

  • Critical limit

  • Monitoring

  • Corrective action

  • Verification


Hazards (biological, chemical, or physical

agents that may cause illness or injury if not

controlled) throughout the flow of food.

Hazard Analysis Critical Control Point (HACCP)

This system is a dynamic process that uses a

combination of proper foodhandling procedures,

monitoring techniques, and record keeping to

help ensure that the food you serve is safe.


HACCP Plana written document, based on

HACCP principles, which describes the

procedures a particular establishment will


What is haccp
What is HACCP?

Developed by the Pillsbury Company in the

early 1960s for the National Aeronautics

and Space Administration (NASA).

Based on the ides that if biological,

chemical. Or physical hazards are identified

at specific points within the flow of food,

they can be prevented, eliminated, or

reduced to safe levels.


The National Restaurant Association and the

Food and Drug Administration recommend

that all foodservice facilities, no matter how

large or small, develop a HACCP system.


A HACCP system helps you to do the


  • Identify the foods and procedures that are most likely to cause foodborne illness.

  • Develop procedures that will reduce the risk of a foodborne illness outbreak.

  • Monitor procedures to keep food safe.

  • Verify that the food you serve is consistently safe.


Prerequisite programssupport your

HACCP plan and are the basic operating

conditions for producing safe food.

Prerequisite programs are standard

operating procedures (SOPs) which protect

your food from contamination, minimize

microbial growth, and ensure the proper

functioning of equipment.


A prerequisite program may include the


  • Proper personal hygiene

  • Proper facility design

  • Choosing good suppliers

  • Creating supplier specifications

  • Proper cleaning and sanitation

  • Appropriate equipment maintenance

Developing a haccp plan
Developing a HACCP Plan

A HACCP plan is a written document that

describes the procedures a particular

establishment will follow.

A HACCP plan is developed using the

HACCP principles and is specific to the

facility, its menu, its equipment, its

processes, and its operations.

Haccp principles
HACCP Principles

Each HACCP principle builds upon the

information gained from the previous principle.

For the plan to be complete, you must consider

all seven principles in order.

The plan you develop will be based on the

seven basic HACCP principles.

  • Principles one,two, and three help you

    design your system.

  • Principles four and five help you implement it.

  • Principles six and seven help you maintain the system and verify its effectiveness.

Hazard analysis principle 1
Hazard Analysis (Principle 1)

Conduct a Hazard Analysis by identifying and assessing potential hazards in the

food service (biological, chemical, and physical).

Hazard analysis is the process of identifying and evaluating potential hazards associated with foods, in order to decide which must be addressed in a HACCP plan.

The hazard analysis is key to developing where hazards may occur in the flow of food if care is not taken to prevent or

control them.


Key Steps to follow to identify all potential hazards in your establishment*Identify potential food hazards.Exhibit9b*Determine where hazards can occur in the flow of foods.Exhibit 9c


* your establishmentGroup foods by processes.Exhibit 9d

  • Foods that are prepared and served without cooking(salads, raw oysters, cheeses, and sandwich meats).

  • Foods that are prepared and cooked for immediate service(hamburgers, scrambled eggs, and hot sandwiches).

  • Foods that will be prepared, cooked, held, cooled, reheated, and served(chili, soups, and sauces).


* your establishmentIdentify your customers.

  • Very young

  • elderly

  • people who are ill


Determine Critical Control Points (Principle 2) your establishment

Control point (CP) is any step in the

flow of food where a physical,

chemical, or biological hazard can

be controlled.

Critical Control Point (CCP) is the

last step where you can intervene

to prevent, control, or eliminate the

growth of microorganisms before

the food is served to customers.

Exhibit 9e


Establish Critical Limits (Principle 3) your establishment

Critical limits are minimum and maximum

limits that the CCP must meet in order to

prevent, eliminate, or reduce a hazard to

an acceptable limit. The limits must be:

  • Measurable (such as a time or a temperature)

  • Based on scientific data, such as (FDA Model Food Code)

  • Appropriate for the food and equipment

    when prepared under normal conditions,

    and specific to your establishment

  • Clear and easy to follow


Monitoring Critical Control Points (Principle 4) your establishment

Monitoring lets you know that critical

limits are being met. To develop a

successful monitoring program, you need

to consider the following. Establish clear

directions that will determine the following:

  • How to monitor the CCP.

  • When and how often to monitor the CCP.

  • Who will monitor the CCP.

  • Equipment, materials, or tools needed to monitor the CCP.Exhibit 9g

Taking corrective action principle 5
Taking Corrective Action (Principle 5) your establishment

Corrective actions are predetermined

steps taken when food doesn’t meet

a critical limit. The last opportunity

you have to ensure the safety of the

food served. Corrective actions may

be: Exhibit 9h

  • Cook the food

  • Throw food away

  • Rejecting a shipment

Verify that the system works principle 6
Verify that the System Works (Principle 6) your establishment

Verification confirms that the

system you developed works

according to the plan. Verify that


  • CCPs and critical limits are appropriate

  • Monitoring alerts you to hazards

  • Corrective actions are adequate

  • Employees are following established procedures.

Record keeping and documentation principle 7
Record Keeping and Documentation (Principle 7) your establishment

Proper records allow you to document that

you are continuously preparing and

serving safe food. Examples of records


  • Time-temperature logs

  • Procedures for taking temperatures

  • Standard operating procedures (SOPs)

  • Calibration records

  • Corrective actions

  • Monitoring schedules

  • Product specifications

Training your establishment

Training is critical in making a HACCP plan

successful. To do this effectively, consider the


  • Help management staff understand the importance of food safety and the benefits of HACCP.

  • Train staff (management and employees)to perform specific tasks required by the HACCP plan.


A good training program should: your establishment

  • Explain the importance of what the staff is learning.

  • Demonstrate steps and procedures.

  • Let employees practice.

  • Give feedback on their performance.

  • Review materials.

  • Test employees on their knowledge.

  • Retrain if needed.

  • Evaluate employees on job performance as well as their food-safety practices.

  • Encourage employee involvement regarding food-safety issues.