What is HACCP? Definition, 7 Principles and Food Safety Requirements

HACCP stands for Hazard Analysis and Critical Control Points. It is a systematic, preventive approach to food safety that identifies, evaluates, and controls significant biological, chemical, and physical hazards throughout food production, processing, handling, and distribution.

The HACCP system focuses on identifying potential food safety hazards, determining where essential controls are needed, establishing measurable limits, and monitoring those controls to maintain safe operating conditions.

HACCP is widely applied in the food industry, including food manufacturing, meat and seafood processing, dairy production, beverage manufacturing, catering, and food service operations. Its principles are recognized internationally through the Codex Alimentarius General Principles of Food Hygiene.

An effective HACCP plan establishes clear responsibilities, documented procedures, monitoring requirements, corrective actions, and verification activities. These controls help organizations manage significant food safety hazards and maintain evidence that their processes operate within established safety requirements.

What is HACCP in the Food Industry?

HACCP is a food safety management approach that systematically evaluates hazards associated with food products and manufacturing processes.

The system identifies where hazards may arise, assesses their significance, and establishes appropriate control measures.

Food safety hazards may originate from raw materials, processing equipment, production environments, employee handling practices, storage conditions, or transportation activities.

For example, a food processing facility may identify the presence of pathogenic microorganisms as a significant hazard. The HACCP plan may establish a validated heat treatment step with defined temperature and time requirements to control that hazard.

Monitoring records provide evidence that the required processing conditions have been achieved.

HACCP principles can be applied across different food operations, although the specific hazards, control measures, and monitoring procedures vary according to the products and processes involved.

What Does HACCP Stand For?

HACCP is an abbreviation for Hazard Analysis and Critical Control Points.

The two main components describe the fundamental activities involved in the system.

Hazard Analysis involves identifying potential food safety hazards, evaluating their significance, and determining appropriate control measures.

Critical Control Points (CCPs) are steps where control measures are essential for preventing or reducing significant food safety hazards to acceptable levels.

Together, these activities provide the foundation for a structured food safety control system.

What is the Purpose of HACCP?

The primary purpose of HACCP is to prevent or reduce significant food safety hazards to acceptable levels through planned and monitored control measures.

The system establishes a consistent method for evaluating food safety risks and determining where preventive controls are necessary.

Its main functions include:

• Identifying biological, chemical, and physical hazards
• Evaluating the significance of identified hazards
• Determining appropriate control measures
• Identifying Critical Control Points
• Establishing validated critical limits
• Monitoring critical operating conditions
• Defining corrective actions for deviations
• Verifying the effectiveness of the HACCP system
• Maintaining food safety documentation and records

These activities help ensure that important food safety controls are incorporated into routine operations.

Why Is HACCP Important for Food Safety?

Food safety hazards can arise at different stages of the supply chain.

Contaminated ingredients, inadequate processing temperatures, poor sanitation, allergen cross-contact, and foreign materials may affect product safety.

HACCP provides a structured approach for identifying these hazards and controlling them at relevant stages.

A properly implemented HACCP system can support:

• More consistent food safety controls
• Earlier identification of process deviations
• Improved production monitoring
• Clearer responsibilities for corrective actions
• Better documentation and traceability
• Compliance with applicable food safety requirements
• More effective communication of food safety controls

The effectiveness of HACCP depends on accurate hazard analysis, suitable control measures, competent personnel, and consistent implementation.

The Seven Principles of HACCP

The seven HACCP principles establish the core requirements for developing and maintaining a hazard control system.

These principles are described in the Codex Alimentarius General Principles of Food Hygiene (CXC 1-1969).

Principle 1: Conduct a Hazard Analysis

Hazard analysis identifies food safety hazards that may reasonably occur during the production, processing, storage, and distribution of food.

The assessment considers the characteristics of raw materials, ingredients, equipment, processing methods, environmental conditions, and intended product use.

Hazards are evaluated to determine their significance and the need for control.

Examples include:

• Pathogenic microorganisms in raw food materials
• Undeclared allergens caused by cross-contact
• Chemical contamination from cleaning agents
• Foreign materials introduced during processing
• Inadequate temperature control during storage

A hazard analysis should reflect the actual production process and available scientific or technical information.

The assessment provides the basis for selecting appropriate control measures.

Principle 2: Determine Critical Control Points (CCPs)

A Critical Control Point is a step at which a control measure or combination of control measures is applied to prevent or reduce a significant food safety hazard to an acceptable level.

CCPs are identified through the hazard analysis and decision-making process.

Potential examples include:

• Heat treatment to control pathogenic microorganisms
• Pasteurization under validated conditions
• A validated metal detection step where essential to control a significant physical hazard
• Other processing steps identified as essential through hazard analysis

The identification of a CCP depends on the specific hazard, process, and available control measures.

For example, a cooking step may be classified as a CCP when the required heat treatment is essential for controlling a significant biological hazard.

Principle 3: Establish Validated Critical Limits

Critical limits define the measurable or observable criteria that distinguish acceptable from unacceptable operation at a CCP.

Critical limits must be scientifically or technically validated.

Depending on the process, they may involve:

• Temperature
• Processing time
• pH
• Water activity
• Other measurable or observable parameters relevant to the hazard

For example, a heat treatment CCP may require a specified minimum temperature for a defined period.

The exact values must be established using appropriate scientific evidence, regulatory requirements, or validated processing information.

Critical limits should be clearly documented in the HACCP plan.

Principle 4: Establish Monitoring Procedures

Monitoring determines whether a CCP remains under control.

Monitoring procedures must be capable of detecting deviations from critical limits in time for appropriate action to be taken.

A monitoring procedure should specify:

• What parameter is monitored
• How monitoring is performed
• How frequently monitoring occurs
• Who is responsible
• How results are recorded

For example, a heat treatment process may use temperature monitoring equipment to record processing conditions.

Monitoring records help demonstrate whether the process has operated within established critical limits.

Principle 5: Establish Corrective Actions

Corrective actions are required when monitoring indicates that a critical limit has been exceeded or otherwise not met.

The HACCP plan should define how deviations are handled and how potentially affected products are controlled.

Actions may include:

• Identifying and controlling affected products
• Investigating the cause of the deviation
• Restoring control of the process
• Evaluating product safety
• Determining appropriate product disposition
• Preventing recurrence
• Documenting the incident and actions taken

For example, if a cooking process fails to reach its validated critical limit, affected products must be appropriately controlled and evaluated before any release decision.

Corrective actions should address both the immediate deviation and its underlying cause where necessary.

Principle 6: Validate the HACCP Plan and Establish Verification Procedures

Validation and verification provide evidence concerning the suitability and effectiveness of HACCP controls.

Validation establishes that the HACCP plan and its control measures are capable of controlling the identified significant hazards.

Verification evaluates whether the HACCP system is being implemented as intended and continues to function effectively.

Verification activities may include:

• Reviewing monitoring records
• Checking corrective action records
• Conducting internal audits
• Evaluating equipment calibration
• Reviewing process performance
• Conducting appropriate sampling and testing
• Reassessing the HACCP plan when necessary

Verification should be conducted at planned intervals and following relevant changes.

Principle 7: Establish Documentation and Record Keeping

HACCP documentation provides evidence that hazards have been evaluated and the required controls have been implemented.

Typical documents and records include:

• Hazard analysis
• Process flow diagrams
• CCP identification and justification
• Critical limits
• Monitoring procedures
• Monitoring results
• Corrective action records
• Validation evidence
• Verification records
• HACCP plan reviews

Documentation should be appropriate to the nature and complexity of the food operation.

Records must be maintained according to applicable requirements and established procedures.

What Are the Main Food Safety Hazards in HACCP?

HACCP addresses significant hazards that may affect food safety.

Hazards are generally categorized as biological, chemical, and physical.

Biological Hazards

Biological hazards include microorganisms and other biological agents capable of causing foodborne illness.

Examples include:

• Salmonella
• Pathogenic Escherichia coli
• Listeria monocytogenes
• Norovirus
• Certain parasites

Relevant controls may include validated heat treatment, hygienic handling, sanitation, and suitable temperature management.

The appropriate measures depend on the food product and hazard assessment.

Chemical Hazards

Chemical hazards may arise from raw materials, processing activities, environmental contamination, or substances introduced during food handling.

Examples include:

• Pesticide residues
• Cleaning chemical residues
• Allergens
• Mycotoxins
• Heavy metals
• Chemical contaminants from food contact materials

Control measures may involve supplier specifications, ingredient management, segregation, cleaning procedures, and appropriate testing.

Physical Hazards

Physical hazards include foreign materials capable of causing injury.

Examples include:

• Glass fragments
• Metal particles
• Hard plastic pieces
• Stones
• Other hazardous foreign objects

Controls may include equipment maintenance, foreign material prevention, screening, filtration, and detection systems where appropriate.

What is a HACCP Plan?

A HACCP plan is a documented set of procedures and controls established to manage significant food safety hazards within a defined food operation.

The plan is developed using information about the product, ingredients, intended use, processing steps, and identified hazards.

A typical HACCP plan includes:

Component	Description
Product description	Relevant characteristics, ingredients, packaging, and intended use
Process flow diagram	Sequence of production and handling steps
Hazard analysis	Identified hazards and evaluation of their significance
Critical Control Points	Steps requiring essential hazard controls
Critical limits	Validated criteria for each CCP
Monitoring procedures	Methods, frequency, and responsibilities
Corrective actions	Required responses when deviations occur
Verification procedures	Activities confirming implementation and effectiveness
Records	Evidence supporting HACCP implementation

The plan must reflect actual operating conditions.

Changes in ingredients, equipment, processing methods, product formulation, or intended use may require reassessment.

Example of a HACCP Control Plan

Consider a food processing operation that uses a validated cooking step to control a significant biological hazard.

HACCP Element	Example
Identified hazard	Survival of relevant pathogenic microorganisms
Process step	Cooking
CCP	Validated heat treatment
Critical limit	Specified time and temperature established through validation
Monitoring	Measurement and recording of processing conditions
Corrective action	Control affected products, investigate deviation, and determine appropriate disposition
Verification	Review records, assess monitoring equipment, and verify control effectiveness

This example illustrates how HACCP principles can be applied to a defined processing step.

Actual critical limits and procedures must be established according to the product, hazard, process, and applicable requirements.

Prerequisite Programs and HACCP

Prerequisite programs (PRPs) establish the basic conditions necessary for hygienic food production and handling.

These programs support the effective implementation of HACCP.

Common prerequisite programs include:

• Good Manufacturing Practices (GMP)
• Good Hygiene Practices (GHP)
• Cleaning and sanitation
• Personnel hygiene
• Pest management
• Equipment maintenance
• Water quality management
• Supplier management
• Waste handling
• Prevention of cross-contamination

For example, routine cleaning and equipment maintenance help establish suitable production conditions.

HACCP hazard analysis can then identify significant hazards requiring specific control measures within the process.

Prerequisite programs should be established and functioning before HACCP implementation.

Who Needs HACCP?

HACCP principles are applicable across the food supply chain.

Common applications include:

Food Industry	HACCP Application
Food manufacturing	Control of hazards during production and processing
Meat and poultry processing	Biological hazard control and processing conditions
Seafood processing	Product-specific biological, chemical, and physical hazard controls
Dairy production	Pasteurization and other relevant process controls
Beverage manufacturing	Ingredient safety, processing, and hygiene
Bakery production	Allergen management and processing controls
Food packaging	Relevant food safety hazards associated with packaging operations
Catering and food service	Food preparation, cooking, storage, and handling
Cold storage and distribution	Temperature management and contamination prevention

The applicable food safety obligations depend on the product, activity, and destination market.

Is HACCP Mandatory?

HACCP-related requirements vary by country, food sector, and regulatory framework.

Some jurisdictions require food businesses to establish procedures based on HACCP principles.

Others establish sector-specific HACCP requirements.

For example, the European Union’s Regulation (EC) No 852/2004 on the hygiene of foodstuffs requires relevant food business operators to put in place, implement, and maintain permanent procedures based on HACCP principles, subject to the regulation’s scope and provisions.

In the United States, HACCP requirements apply to certain sectors, including seafood and juice processing, while other food operations may be subject to different preventive control or sector-specific regulatory requirements.

Organizations should determine the food safety requirements applicable to their products, processes, and markets.

HACCP Certification and Compliance Requirements

HACCP compliance generally refers to implementing the applicable HACCP principles and meeting relevant regulatory, contractual, or program requirements.

HACCP certification refers to an independent assessment against a defined HACCP certification standard or scheme.

The scope and requirements of certification depend on the certification program.

What Is HACCP Certification?

HACCP certification may be offered under specific third-party certification schemes.

An assessment may evaluate:

• Hazard analysis
• HACCP plan documentation
• Critical Control Points
• Critical limits
• Monitoring records
• Corrective actions
• Verification procedures
• Prerequisite programs
• Implementation effectiveness

Certification requirements and recognition vary by scheme and market.

A HACCP certificate does not automatically establish compliance with every applicable food safety regulation.

How to Prepare for a HACCP Audit

A HACCP audit typically evaluates whether the documented hazard control arrangements are suitable and have been implemented.

Preparation may include:

• Reviewing the current HACCP plan
• Confirming process flow diagrams
• Reviewing hazard analysis records
• Verifying critical limits
• Checking monitoring records
• Evaluating corrective actions
• Reviewing validation and verification evidence
• Confirming relevant personnel competence
• Assessing prerequisite programs

Audit criteria should be established according to the applicable regulatory, customer, or certification requirements.

HACCP vs ISO 22000

HACCP and ISO 22000 are closely related food safety frameworks.

HACCP provides principles for identifying and controlling significant food safety hazards.

ISO 22000 incorporates HACCP principles within an international Food Safety Management System standard.

Feature	HACCP	ISO 22000
Primary focus	Hazard analysis and control	Food Safety Management System
Hazard analysis	Core requirement	Required
Critical Control Points	Core principle	Included where identified
Prerequisite programs	Foundational to HACCP implementation	Explicit operational requirements
Organizational management requirements	Depend on the applicable program	Defined by ISO 22000
Certification	Available under specific schemes	Certification against ISO 22000

ISO 22000 also establishes requirements for leadership, communication, organizational planning, performance evaluation, and continual improvement.

For detailed requirements, see ISO 22000 Explained: Requirements and Certification.

Food Safety Audits and Testing in HACCP Verification

Food safety audits and appropriate testing can support HACCP verification.

These activities provide evidence concerning the implementation and performance of selected food safety controls.

Food Safety Audits

Audits may examine:

• Facility hygiene
• Sanitation procedures
• Raw material handling
• Production practices
• CCP monitoring records
• Corrective action procedures
• Traceability arrangements
• Equipment maintenance
• Personnel training
• Documentation and record control

The audit scope should reflect the operation and applicable requirements.

Food Product Testing

Laboratory testing may be used to verify specific food safety characteristics.

Depending on the product and hazard assessment, testing may include:

• Microbiological analysis
• Chemical contaminant testing
• Allergen testing
• Water quality testing
• Other relevant product-specific examinations

Testing methods and acceptance criteria should be selected according to the identified hazards, product characteristics, and applicable regulations or specifications.

Testing results should be evaluated together with relevant process controls and monitoring information.

Common HACCP Implementation Challenges

Incomplete Hazard Identification

Hazards may be overlooked when the assessment does not reflect actual ingredients, equipment, processes, or operating conditions.

Hazard analysis should be reviewed when relevant changes occur.

Incorrect CCP Identification

Identifying too many or too few CCPs can affect the effectiveness and practicality of the HACCP plan.

CCPs should be determined through a documented hazard analysis and appropriate decision-making process.

Inadequate Critical Limits

Critical limits must be supported by suitable validation evidence.

Unverified operating targets may provide insufficient assurance that significant hazards are adequately controlled.

Inconsistent Monitoring

Missing measurements, incomplete records, or unclear responsibilities can make deviations difficult to detect.

Monitoring procedures should be practical, clearly defined, and consistently implemented.

Ineffective Corrective Actions

Corrective actions should address affected products, restore process control, and investigate the causes of deviations where appropriate.

Failure to Review the HACCP Plan

Changes in ingredients, suppliers, equipment, processing conditions, or product specifications may affect existing hazard controls.

The HACCP plan should be reassessed when relevant changes occur.

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HACCP provides a systematic approach to managing significant food safety hazards through preventive controls, monitoring, and verification. Effective implementation requires accurate hazard analysis, validated critical limits, reliable records, and regular review. Food operations should evaluate their existing processes and establish HACCP controls appropriate to their products and identified hazards.