5 Preliminary Steps Of HACCP

Ensuring the safety of food from farm to fork is not only a regulatory requirement—it’s a moral and operational imperative. Whether you’re managing a large-scale food processing facility or running a small catering business, implementing HACCP (Hazard Analysis and Critical Control Points) effectively can be the difference between consumer trust and a costly foodborne illness outbreak.

But here’s the catch—many businesses rush into identifying hazards and setting critical control points without laying the right groundwork. That’s where the 5 Preliminary Steps of HACCP come in.

These five essential steps serve as the foundation for a fully functional and compliant food safety system. Skipping them or doing them poorly can lead to ineffective hazard control and serious legal or public health consequences.

In this practical article, we’ll explore the 5 Preliminary Steps of HACCP, why each is crucial, and how to implement them using recognized international standards from sources like the World Health Organization (WHO), Codex Alimentarius, U.S. Food and Drug Administration (FDA), and Health and Safety Executive (HSE UK).

Let’s break it down—step by step.

Preliminary Steps Of HACCP

Step 1: Assemble the HACCP Team

Before any hazard analysis or food safety plan can be developed, it all starts with people—the right people.

This first preliminary step is to assemble a competent and multidisciplinary HACCP team. According to Codex Alimentarius, a HACCP system should be developed by a team with appropriate knowledge and expertise [Codex, 2020].

Why this matters:

The complexity of your food operation dictates the expertise needed. For example, a meat processing facility might require microbiologists, quality assurance officers, and production supervisors, while a small bakery may only need a manager and a trained food handler.

Without a proper team, your HACCP plan becomes guesswork, missing critical hazards or failing to address process-specific risks.

What to do:

• Include a range of disciplines: Ideally, your team should include personnel from operations, quality assurance, sanitation, engineering, and procurement. If the required expertise isn’t available in-house, consult external food safety experts.

• Define roles and responsibilities: Assign who leads the team, who gathers technical data, who documents procedures, and who manages implementation and training.

• Train the team: All members should be trained in HACCP principles (often covered under ISO 22000:2018 or GFSI schemes) and food safety requirements. Organizations like the FDA and IOSH recommend ongoing food safety and HACCP training [FDA, 2023].

Expert tip:

Don’t forget to include someone familiar with regulatory requirements and someone involved in daily production. They offer valuable on-the-ground insight.

Common mistake:

Relying solely on quality assurance staff. HACCP isn’t just a QA function—it requires cross-functional collaboration for practical success.

Step 2: Describe the Product

Once your team is in place, the next move is to clearly describe the product being analyzed. This seems simple, but an unclear or incomplete product description can lead to ineffective hazard control down the line.

Why this matters:

According to the World Health Organization, product specifications provide a foundation for determining potential hazards associated with ingredients, processing methods, and packaging [WHO, 2021].

A thorough product description ensures your HACCP team understands:

• What the product is

• How it’s made

• What is it made of

• Its intended use

What to include in your product description:

• Product name and composition: List all ingredients and additives, including allergens.

• Processing methods: Outline cooking, freezing, drying, or other steps.

• Packaging: Include materials (e.g., plastic, vacuum-sealed, cans).

• Shelf life: State the expected storage time under normal conditions.

• Storage conditions: Ambient, chilled, or frozen?

• Distribution method: Is it transported refrigerated? How is it handled?

Example:

For a ready-to-eat tuna sandwich, your description might include:

• Bread, tuna (cooked), mayonnaise, lettuce

• Assembled cold

• Wrapped in cling film

• Stored at 4°C

• Distributed via refrigerated trucks

• Consumed without further cooking

Expert insight:

According to Safe Food Canada, accurate descriptions also help verify the adequacy of control measures in later HACCP steps, especially if your product is subject to export inspection.

Common mistake:

Failing to mention allergens or ignoring special storage requirements. This omission can result in consumer harm or product recalls.

Step 3: Identify the Intended Use

After describing your product, the third step is to identify how the product is intended to be used by the end-user.

This helps in determining hazards based on consumer handling practices.

Why this matters:

A product consumed raw has a very different risk profile than one that’s cooked. The UK Food Standards Agency (FSA) stresses that understanding the consumer’s use of food is critical for proper hazard identification [FSA, 2022].

Considerations for intended use:

• Who is the end-user? Is the product for the general public, hospitals, children, or the elderly?

• Will it be cooked or eaten raw? This changes the types of biological hazards that matter.

• How is it likely to be handled? Microwaved, reheated, or eaten from the package?

• Is it for immediate consumption or long-term storage?

Examples:

• Pasteurized milk: Intended for refrigeration and direct consumption

• Frozen chicken: Must be thawed and fully cooked before eating

• Baby food: Ready to eat; must be free from pathogens and toxins

Regulatory insight:

The U.S. FDA’s HACCP guidelines for seafood and juice processing emphasize this step, especially when targeting vulnerable populations such as pregnant women, infants, or immunocompromised individuals [FDA, 2023].

Common mistake:

Assuming all consumers use food in the same way. Misunderstanding usage leads to missed hazards.

Step 4: Construct a Flow Diagram

With the product and usage clarified, your next task is to create a detailed flow diagram of the entire process, from receiving raw materials to final product delivery.

Why this matters:

Flow diagrams visualize every step of the process where a hazard could occur. According to Codex Alimentarius, a clear diagram is essential for performing a valid hazard analysis and identifying Critical Control Points (CCPs) [Codex, 2020].

This step often reveals overlooked hazards or areas where controls need to be tightened.

What to include in a flow diagram:

• Receiving: Ingredients, packaging, raw materials

• Storage: Dry, refrigerated, frozen

• Processing steps: Cutting, mixing, cooking, cooling

• Packaging and labeling

• Distribution and delivery

Tips for building a useful flow diagram:

• Use arrows to show process flow

• Include decision points or rework steps

• Show where ingredients enter or exit the process

• Use consistent symbols (e.g., rectangles for processes, diamonds for decisions)

Example:

For a meat pie production process:

1. Receive raw beef and flour

2. Store beef at 4°C, flour at room temp

3. Cook beef at 75°C for 30 mins

4. Prepare dough

5. Assemble pies

6. Bake at 180°C for 25 mins

7. Cool to 5°C within 2 hours

8. Pack and label

9. Store at 4°C

10. Distribute refrigerated

Expert insight:

OSHA and the UK’s Health and Safety Executive recommend flow diagrams as part of broader risk assessments in food production facilities, helping to comply with health and safety law [HSE UK, 2021].

Common mistake:

Leaving out storage or holding steps, especially in multi-ingredient or multi-location processes. This results in an incomplete hazard analysis.

Step 5: On-Site Verification of Flow Diagram

The fifth preliminary step—and often the most skipped—is verifying the flow diagram on-site.

Why this matters:

Even the most carefully drafted flow diagram can be inaccurate or incomplete if not verified against actual operations.

As per Codex and WHO guidance, a site walk-through must be conducted by the HACCP team to ensure all steps, inputs, outputs, and variations are captured accurately [WHO, 2021].

What to do:

• Walk through the entire process in the correct sequence

• Verify times, temperatures, and handling procedures

• Identify informal practices not reflected in documentation (e.g., staff shortcuts or manual adjustments)

• Update the diagram based on real-world observation

Common discoveries during verification:

• Equipment that operates differently than documented

• Manual steps skipped during high production volumes

• Cross-contamination risks not previously considered

• Unlisted rework loops or alternative processes

Regulatory insight:

According to the Safe Quality Food Institute (SQFI), real-time verification helps ensure HACCP systems meet Global Food Safety Initiative (GFSI) requirements and prevent failures during third-party audits.

Expert advice:

Use a checklist or audit tool during the walkthrough. Involve both line workers and managers—they know where the process deviates under pressure.

Common mistake:

Failing to update the flow diagram after discovering discrepancies. An unverified or outdated diagram can invalidate your entire HACCP plan.

Conclusion

The 5 Preliminary Steps of HACCP are more than just prep work—they are essential to building a food safety system that works. Skipping them or treating them as a formality can lead to blind spots, missed hazards, and ultimately, unsafe food.

From building the right team to walking the production floor, each step ensures that your HACCP plan is rooted in reality, not assumptions.

Whether you’re pursuing GFSI certification, complying with FDA regulations, or simply safeguarding your brand, these steps form the bedrock of effective hazard control.

If you want to create a food safety system that not only meets the audit checklist but also protects lives, start with these five steps—and do them right.

References:

1. Codex Alimentarius Commission. (2020). General Principles of Food Hygiene CXC 1-1969. https://www.fao.org/fao-who-codexalimentarius

2. World Health Organization (WHO). (2021). Food safety: HACCP and other food safety management systems. https://www.who.int

3. U.S. Food and Drug Administration (FDA). (2023). Hazard Analysis and Critical Control Point (HACCP). https://www.fda.gov

4. UK Food Standards Agency (FSA). (2022). Developing a HACCP-Based System. https://www.food.gov.uk

5. Health and Safety Executive (HSE UK). (2021). Managing food safety and hygiene. https://www.hse.gov.uk

READ: How Long Does HACCP Certification Last