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CFSAN/Retail Food Safety Team
DRAFT: February 28, 1998;
DRAFT: April 24, 2001;
DRAFT: June 28, 2001;
DRAFT: April 2003; DRAFT: January 2005
Draft Voluntary National
Retail Food Regulatory Program Standards
STANDARD NO. 3
INSPECTION PROGRAM BASED ON HACCP PRINCIPLES
This standard applies to the utilization of HACCP principles to control risk factors in a retail food inspection
program.
Requirement Summary
An inspection program that focuses on the status of risk factors, determines and documents compliance, and targets
immediate- and long-term correction of out-of-control risk factors through active managerial control.
Description of Requirement
Program management:
- Implements the use of an inspection form that is designed for the identification of risk factors and intervention,
documentation of the compliance status of each risk factor and intervention (i.e. in compliance, out of compliance, not
observed, or not applicable for risk factors), and documentation of all compliance and enforcement activities.
- Develops and uses a process that groups food establishments into at least three categories based on potential and
inherent food safety risks.
- Assigns the inspection frequency based on the risk categories to focus program resources on food operations with the
greatest food safety risk.
- Develops and implements a program policy that requires:
- On-site corrective actions* as appropriate to the type of violation.
- Discussion of long-term control** of risk factor options, and
- Follow-up activities.
- Establishes and implements written polices addressing code variance requests related to risk factors and
interventions.
- Establishes written polices regarding the verification and validation of HACCP plans when a plan is required by the
code.
Outcome
The desired outcome of this standard is a regulatory inspection system that uses HACCP principles to identify risk
factors and to obtain immediate- and long-term corrective action for recurring risk factors.
Documentation
The quality records needed for this standard include:
- Inspection form,
- Written process used for grouping establishments based on food safety risk and the inspection frequency assigned to
each category,
- Policy for on-site correction and follow-up activities,
- Policy for addressing code variance requests related to risk factors and interventions,
- Policy for verification and validation of HACCP plans required by code, and
- Policy requiring the discussion of food safety control systems with management when out of control risk factors are
recorded on subsequent inspections.
*Note: On-site corrective action as appropriate to the violation would include such things as:
- Destruction of foods that have experienced extreme temperature abuse,
- Embargo or destruction of foods from unapproved sources,
- Accelerated cooling of foods when cooling time limits can still be met,
- Reheating when small deviations from hot holding have occurred,
- Continued cooking when proper cooking temperatures have not been met.
- Initiated use of gloves, tongs, or utensils to prevent hand contact with ready-to-eat foods, or
- Required hand washing when potential contamination is observed.
**Note: Long-term control of risk factors requires a commitment by managers of food establishments to develop
effective monitoring and control measures or system changes to address those risk factors most often responsible for
foodborne illness. Risk control plans, standard operating procedures, buyer specifications, menu modification, HACCP
plans and equipment or facility modification may be discussed as options to achieve the long-term control of risk factors.