The five preliminary steps: before the seven principles
The Codex Alimentarius HACCP methodology identifies five preliminary steps that must be completed before applying the seven principles. These are often skipped in generic templates, and their omission is one of the most common reasons for poorly constructed Food Safety Programs.
Preliminary Step 1: Assemble the HACCP team
For a food service business: the business owner or manager, the head chef or kitchen manager, the Food Safety Supervisor, and where available, a food safety consultant. Document the team in the HACCP plan with each member's role and relevant expertise noted.
Preliminary Step 2: Describe the product and intended use
For each category of food your business produces or serves: the type of food, key ingredients, the intended consumer (any special considerations for vulnerable populations?), how the food will be used, and expected shelf life and storage conditions. This is the foundation of the hazard analysis.
Preliminary Step 3: Construct a process flow diagram
Map every step in the food handling process from receiving through to service to the customer. The diagram must be specific to your operation — include only the steps that actually occur in your business.
Preliminary Step 4: Verify the process flow diagram on-site
After the initial diagram is constructed, walk through the actual food handling process in the kitchen to verify accuracy. This on-site verification frequently identifies missed steps, missequenced operations, or cross-traffic patterns between raw and cooked product areas that represent hazard risks.
Preliminary Step 5: List all potential hazards
Before formally conducting the hazard analysis, list all potential biological, chemical, and physical hazards associated with each step in the verified process flow diagram.
Applying the seven principles: the HACCP plan table
| HACCP Plan Element | What to Document | Example (Cooking CCP) |
|---|---|---|
| CCP and hazard | Process step name, specific hazard being controlled | CCP 1 — Cooking. Hazard: Salmonella in raw poultry. |
| Critical limit | Specific, measurable limit with validation basis | Core temperature ≥75°C for ≥15 seconds. Validated against FSANZ Standard 3.2.2. |
| Monitoring procedure | What, how, when, who | Core temperature measured with calibrated thermocouple probe at thickest point by head chef. Recorded on Cook Temperature Log. |
| Corrective action | Product disposition, root cause, prevention of recurrence | Return product to oven, re-cook until 75°C achieved. Re-measure and record. If re-cooking not possible, quarantine and discard. |
| Verification | How the CCP effectiveness is confirmed | Monthly calibration check of probe thermometer. Monthly review of Cook Temperature Logs by Food Safety Supervisor. Annual internal HACCP audit. |
| Records | What records are generated and retention period | Cook Temperature Log. Calibration Log. Corrective Action Record. Retained minimum 2 years. |
After writing: implementing and maintaining the plan
- Brief all food handling staff on the CCPs relevant to their role and the monitoring procedures.
- Set up monitoring systems: Print forms, calibrate thermometers, confirm all equipment is available.
- Complete the first full monitoring cycle and review for any practical issues with the monitoring procedures.
- Schedule the annual review and identify triggers that would require an interim review.
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