A successful HACCP food safety system depends on more than identifying critical control points. Before a HACCP plan can effectively control significant food safety hazards, a food business needs foundational programs that create the conditions necessary to produce safe food.
These foundational controls are commonly called HACCP prerequisite programs (PRPs).
Prerequisite programs address the general conditions and practices surrounding food production, including sanitation, personal hygiene, pest control, equipment maintenance, supplier controls, allergen management, water quality, waste management, and employee training.
When properly designed and implemented, PRPs help prevent contamination and allow the HACCP plan to focus on hazards that require specific process controls.
At Arnika, we help food manufacturers, processors, importers, distributors, and food service businesses develop and implement HACCP prerequisite programs, HACCP plans, GMP systems, Preventive Control Plans (PCPs), and food safety management systems across Canada.
Reviewed by Reza Eslami
CEO & Co-Founder, Arnika | 25+ years of experience in food safety, quality assurance, HACCP, GMP, SFCR, SQF, BRCGS, and food safety management systems.
What Are HACCP Prerequisite Programs?
HACCP prerequisite programs are the basic food safety and operational programs that establish a suitable environment for producing, handling, storing, and distributing safe food.
They generally control hazards associated with the overall operating environment rather than hazards specific to a particular critical control point.
For example, a sanitation program may control general contamination risks throughout a facility, while a HACCP plan may establish a specific critical limit for cooking a product to control a particular biological hazard.
CFIA’s HACCP-based guidance identifies prerequisite programs addressing areas such as premises, food conveyances and storage, equipment, personnel, sanitation, pest control, recall, and operational prerequisite programs.
The exact PRPs required are not identical for every business. A food manufacturer producing ready-to-eat products may require a more extensive system than a low-risk operation, and the programs should be based on the business’s products, processes, facility, hazards, and applicable regulatory or customer requirements.
Why Are Prerequisite Programs Important for HACCP?
A HACCP plan is designed to identify and control significant food safety hazards.
However, HACCP cannot effectively address every routine sanitation, hygiene, maintenance, pest-control, and operational issue at every process step.
This is where prerequisite programs become important.
A strong PRP system helps establish:
- A hygienic production environment
- Proper employee hygiene
- Effective cleaning and sanitation
- Prevention of pest activity
- Control of allergens
- Appropriate equipment maintenance
- Safe water and utilities
- Control of chemicals
- Supplier and incoming-material controls
- Appropriate storage conditions
- Traceability and recall systems
- Employee training
- Documented monitoring and verification
These programs create the foundation on which the HACCP system operates.
You can learn more about the overall HACCP process in Arnika’s HACCP in Canada: Complete Guide to HACCP Plans & Food Safety.
HACCP Prerequisite Programs vs. HACCP Plan
One of the most common questions is whether prerequisite programs and HACCP plans are the same thing.
They are not.
Prerequisite Programs
PRPs establish the general conditions necessary for safe food production.
Examples include:
- Cleaning and sanitation
- Personal hygiene
- Pest control
- Preventive maintenance
- Supplier approval
- Allergen control
- Chemical control
- Employee training
HACCP Plan
The HACCP plan focuses on significant hazards associated with specific products and processes and determines how those hazards are controlled.
Depending on the process, this may include:
- Hazard analysis
- Identification of control measures
- Critical Control Points (CCPs)
- Critical limits
- Monitoring procedures
- Corrective actions
- Verification procedures
- Records
In other words:
PRPs establish the food safety foundation, while the HACCP plan addresses significant hazards requiring specific process controls.
CFIA’s preventive control guidance similarly separates prerequisite-type controls from hazard analysis, CCPs, monitoring, corrective actions, verification, and supporting records.
What Are the Main HACCP Prerequisite Programs?
There is no single universal list that applies identically to every food business. The appropriate PRPs should be determined according to the operation and applicable requirements.
However, common HACCP prerequisite programs include the following.
1. Good Manufacturing Practices (GMP)
Good Manufacturing Practices (GMP) establish basic requirements for hygienic and controlled food production.
A GMP program may address:
- Facility hygiene
- Employee practices
- Equipment condition
- Food handling
- Storage
- Production practices
- Prevention of cross-contamination
- Personal hygiene
- Process controls
GMPs provide the day-to-day operating framework needed to maintain a safe food environment.
For businesses developing a broader food safety system, Arnika can also provide food safety consulting services covering GMP, HACCP, PCPs, prerequisite programs, audits, and regulatory compliance.
2. Cleaning and Sanitation Program
A documented sanitation program is one of the most important prerequisite programs in a food facility.
It should define:
- What must be cleaned
- How it is cleaned
- Which cleaning chemicals are used
- Chemical concentrations where applicable
- Cleaning frequency
- Responsible personnel
- Cleaning procedures
- Inspection requirements
- Verification activities
- Corrective actions
The program should cover relevant food-contact surfaces, equipment, utensils, production areas, storage areas, and other areas where contamination could affect food safety.
3. Personal Hygiene Program
Employees can introduce biological, physical, and other contamination hazards into a food operation.
A personal hygiene program should establish requirements for:
- Handwashing
- Protective clothing
- Hair restraints
- Gloves where appropriate
- Personal belongings
- Jewelry
- Eating and drinking
- Illness reporting
- Cuts and wounds
- Employee movement
- Visitor and contractor hygiene
Employees should also receive appropriate food safety and hygiene training.
4. Pest Control Program
Pests can introduce biological and physical contamination into food facilities.
A pest control program should address:
- Prevention of pest entry
- Facility inspection
- Monitoring devices
- Pest activity
- Corrective actions
- Pest-control service providers
- Documentation
- Trend analysis
- Verification
The objective is not simply to eliminate pests after they appear, but to establish controls that reduce the likelihood of pest infestation.
5. Preventive Maintenance Program
Poorly maintained equipment and facilities can create food safety hazards.
A preventive maintenance program may include:
- Production equipment
- Refrigeration systems
- Freezers
- HVAC systems
- Doors and windows
- Floors and walls
- Drains
- Lighting
- Water systems
- Food-contact equipment
The program should identify maintenance requirements, responsibilities, schedules, corrective actions, and records.
Maintenance activities should also be controlled so that they do not introduce contamination into food or food-contact areas.
6. Equipment Calibration Program
Certain measuring devices are important to food safety decisions.
Examples include:
- Thermometers
- Temperature probes
- Scales
- pH meters
- Water activity meters
- Pressure gauges
- Other monitoring equipment
A calibration or verification program should establish:
- Which devices require calibration or verification
- Frequency
- Acceptable tolerances
- Methods
- Responsibilities
- Records
- Corrective actions when equipment is found to be inaccurate
If an instrument is found to be outside its acceptable range, the business should evaluate whether previously produced or released food could have been affected.
7. Allergen Control Program
For businesses handling allergenic ingredients, an effective allergen control program is essential.
It may include:
- Identification of allergens
- Supplier controls
- Ingredient receiving
- Storage
- Production scheduling
- Segregation
- Label verification
- Changeover procedures
- Cleaning
- Employee training
- Rework controls
- Prevention of cross-contact
Allergen management should be integrated into both the prerequisite programs and the applicable hazard analysis.
8. Supplier Approval and Incoming Materials Program
Food safety hazards can enter a facility through ingredients, packaging materials, chemicals, and other incoming materials.
A supplier control program may include:
- Supplier approval
- Supplier questionnaires
- Specifications
- Certificates or documentation
- Certificates of analysis where appropriate
- Supplier audits
- Incoming inspection
- Receiving requirements
- Temperature requirements
- Lot identification
- Corrective actions
For importers, supplier verification is particularly important because the importer may have limited direct control over the foreign supplier’s operation.
Arnika also assists food businesses with Preventive Control Plans (PCPs) and food safety compliance under Canada’s Safe Food for Canadians Regulations.
9. Chemical Control Program
Cleaning chemicals, sanitizers, lubricants, pesticides, and other chemicals should be controlled to prevent chemical contamination.
A chemical control program may specify:
- Approved chemicals
- Identification and labeling
- Storage requirements
- Concentrations
- Usage instructions
- Access restrictions
- Safety data sheets
- Handling procedures
- Employee training
Chemicals should be stored and handled in a way that prevents contamination of food, ingredients, packaging, and food-contact surfaces.
10. Glass and Brittle Plastic Control Program
Broken glass or brittle plastic can create physical hazards.
A control program may address:
- Identification of glass and brittle plastic
- Facility inspections
- Protective measures
- Breakage procedures
- Cleanup requirements
- Product disposition
- Documentation
- Periodic verification
Businesses may also establish controls for other fragile materials that could create physical contamination risks.
11. Water and Ice Quality Program
Water and ice can directly or indirectly affect food safety.
Depending on the operation, the program may address:
- Potable water
- Water sources
- Water treatment
- Ice production
- Water testing
- Distribution systems
- Backflow prevention
- Maintenance
- Corrective actions
The level of control should reflect how water and ice are used within the operation.
12. Waste Management Program
Waste should be managed so that it does not become a source of contamination or attract pests.
Controls may include:
- Waste containers
- Waste storage
- Removal frequency
- Cleaning
- Waste segregation
- Handling procedures
- External waste areas
- Pest prevention
Waste-management controls should be integrated with sanitation and pest-control programs.
13. Storage and Temperature Control
Food must be stored under conditions that protect it from contamination and, where applicable, control microbial growth.
A storage and temperature-control program may include:
- Refrigerated storage
- Frozen storage
- Dry storage
- Temperature monitoring
- Temperature limits
- Product segregation
- Stock rotation
- FIFO/FEFO
- Corrective actions
- Equipment monitoring
Temperature controls may also form part of the HACCP plan when temperature is used as a specific control measure for a significant hazard.
14. Transportation Program
Food can become contaminated or unsafe during transportation.
A transportation program may establish requirements for:
- Vehicle cleanliness
- Temperature control
- Product protection
- Loading procedures
- Segregation
- Transportation records
- Security
- Delivery conditions
The requirements should reflect the type of food being transported and its food safety risks.
15. Traceability Program
Traceability allows a food business to identify where ingredients and materials came from and where finished products were distributed.
A traceability system may include:
- Supplier identification
- Ingredient lot numbers
- Production records
- Finished-product lot codes
- Customer records
- Distribution records
- One-step-back and one-step-forward traceability
- Record retention
Traceability is also an important component of an effective recall system.
16. Recall Program
A food business should have procedures for responding to situations where food may present a safety risk.
A recall program may define:
- Recall responsibilities
- Product identification
- Traceability
- Customer notification
- Regulatory notification where applicable
- Product recovery
- Product disposition
- Effectiveness checks
- Mock recalls
- Recall records
CFIA’s preventive control guidance specifically includes recall systems among the prerequisite-program areas used in HACCP-based systems.
Arnika can also help businesses develop and test their food recall and traceability systems.
17. Employee Training Program
Even well-designed food safety programs will not work if employees do not understand how to implement them.
Training should be appropriate to the employee’s responsibilities and may include:
- Personal hygiene
- GMP
- Sanitation
- Allergen control
- HACCP principles
- CCP monitoring
- Corrective actions
- Recordkeeping
- Chemical handling
- Pest prevention
- Traceability
- Recall procedures
Training records should demonstrate who was trained, what training was provided, and when it occurred.
18. Supplier and Contractor Management
Food businesses may rely on external companies for services such as:
- Pest control
- Cleaning
- Equipment maintenance
- Transportation
- Calibration
- Laboratory testing
- Warehousing
These service providers can affect food safety and should therefore be appropriately controlled.
Depending on the service, controls may include qualification, contracts, specifications, service reports, verification, and corrective actions.
How Do Prerequisite Programs Support HACCP?
The relationship between PRPs and HACCP can be illustrated simply:
Prerequisite Programs
↓
Create safe and hygienic operating conditions
↓
Hazard Analysis
↓
Identify significant food safety hazards
↓
Control Measures
↓
Determine how significant hazards are controlled
↓
Critical Control Points (where applicable)
↓
Establish critical limits and monitoring
↓
Corrective Actions + Verification + Records
↓
Effective HACCP Food Safety System
This relationship is consistent with CFIA’s HACCP-based preventive control approach, which incorporates prerequisite programs alongside hazard analysis, control measures, CCP procedures, verification and records.
How to Develop HACCP Prerequisite Programs
Developing PRPs should be a systematic process rather than simply downloading generic templates.
Step 1: Understand Your Business
Identify:
- Products
- Ingredients
- Processes
- Facility
- Equipment
- Employees
- Storage
- Transportation
- Suppliers
- Customers
- Regulatory requirements
Step 2: Identify Potential Sources of Contamination
Consider:
- Biological hazards
- Chemical hazards
- Physical hazards
- Allergens
- Cross-contamination
- Environmental contamination
- Employee practices
- Equipment and facility conditions
Step 3: Determine the Required PRPs
Not every business needs exactly the same programs.
For example, a food manufacturer may require extensive programs covering sanitation, maintenance, allergens, suppliers, water, chemicals, pest control, traceability, recall and employee training.
The PRPs should be appropriate to the products, processes and hazards.
Step 4: Write the Procedures
Each program should clearly explain:
Who performs the activity?
What is being controlled?
How is it controlled?
When is it performed?
How often is it performed?
What records are required?
What happens if something goes wrong?
Step 5: Implement the Programs
Written procedures alone do not create an effective food safety system.
Employees need to understand and follow the procedures in actual operations.
Step 6: Monitor and Verify
The business should determine how it will verify that the PRPs are being implemented effectively.
Depending on the program, verification may include:
- Record review
- Facility inspections
- Environmental or product testing where appropriate
- Calibration checks
- Observation
- Internal audits
- Supplier performance review
- Trend analysis
CFIA guidance emphasizes maintaining evidence that preventive controls have been implemented and verifying that control measures are effective.
HACCP Prerequisite Programs and Preventive Control Plans in Canada
For Canadian food businesses, prerequisite programs can also form an important part of a broader Preventive Control Plan (PCP).
Under the Safe Food for Canadians Regulations (SFCR), certain businesses are required to develop and maintain a written PCP.
CFIA describes a PCP as a written plan explaining how a business ensures that food is safe and fit for consumption and meets applicable requirements. The PCP includes hazard analysis, control measures, CCPs where applicable, monitoring, corrective actions, verification, supporting documentation and evidence of implementation.
CFIA also identifies prerequisite-program areas such as premises, equipment, personnel, sanitation, pest control, recall and operational prerequisite programs in its HACCP-based guidance.
If you need help developing a PCP, see Arnika’s Preventive Control Plan consulting services.
Are Prerequisite Programs Required for HACCP?
Prerequisite programs are a fundamental part of a properly designed HACCP-based food safety system.
However, it is important to understand that there is no single universal list of PRPs that applies identically to every food business.
The required programs depend on:
- Type of food
- Processing activities
- Facility design
- Equipment
- Employees
- Suppliers
- Intended use
- Distribution
- Regulatory requirements
- Customer requirements
- Identified hazards
The appropriate PRPs should therefore be established based on the specific operation rather than simply copying a generic checklist.
Common HACCP Prerequisite Program Checklist
A typical food manufacturing or processing operation may consider the following:
| Prerequisite Program | Typical Purpose |
|---|---|
| GMP | Establish hygienic operating practices |
| Personal hygiene | Prevent employee-related contamination |
| Cleaning and sanitation | Control environmental and equipment contamination |
| Pest control | Prevent pest-related contamination |
| Preventive maintenance | Keep facilities and equipment suitable for food production |
| Calibration | Ensure monitoring equipment is accurate |
| Allergen control | Prevent allergen cross-contact and labeling errors |
| Supplier control | Control risks from incoming materials |
| Chemical control | Prevent chemical contamination |
| Glass & brittle plastic | Control physical contamination |
| Water & ice | Ensure appropriate water quality |
| Waste management | Prevent contamination and pest attraction |
| Storage & temperature | Protect food and control temperature-related risks |
| Transportation | Protect food during distribution |
| Traceability | Track ingredients and finished products |
| Recall | Enable effective product withdrawal |
| Employee training | Ensure employees can implement food safety procedures |
Important: This table is a practical example, not a universal regulatory checklist. Your PRP structure should be tailored to your operation and applicable requirements.
Common Mistakes When Developing HACCP Prerequisite Programs
Using Generic Templates Without Customization
A generic PRP template may not reflect your actual facility, processes, equipment or hazards.
Your programs should describe what your business actually does.
Creating Procedures That Employees Do Not Follow
A program is only effective when it is implemented.
Auditors and inspectors may compare written procedures with actual practices and records.
Missing Monitoring Records
If a procedure requires monitoring, there should normally be appropriate records demonstrating that the monitoring occurred.
Failing to Define Corrective Actions
Programs should explain what happens when a requirement is not met.
Not Verifying the Programs
Verification helps determine whether the programs are implemented and effective.
Treating PRPs as Separate From HACCP
PRPs and HACCP should work together as components of the overall food safety system.
HACCP Prerequisite Programs for GFSI Certification
Strong prerequisite programs are also important when preparing for a GFSI-recognized certification scheme.
Depending on the applicable certification program, food businesses may need documented controls covering areas such as:
- GMP
- Sanitation
- Personnel hygiene
- Allergen management
- Pest control
- Supplier management
- Maintenance
- Calibration
- Traceability
- Recall
- Food defense
- Food fraud
- Internal audits
- Training
The exact requirements depend on the certification scheme and applicable standard.
If your business is preparing for certification, Arnika provides GFSI certification and audit preparation support, including support for SQF, BRCGS and FSSC 22000 systems.
How Arnika Can Help With HACCP Prerequisite Programs
Developing effective prerequisite programs can be challenging, particularly for food manufacturers and processors preparing for regulatory inspections, customer audits or GFSI certification.
Arnika provides practical food safety consulting support for:
- HACCP prerequisite programs
- GMP programs
- Sanitation programs
- Pest control programs
- Allergen control
- Supplier approval programs
- Preventive maintenance
- Chemical control
- Glass and brittle plastic
- Traceability
- Recall systems
- Employee training
- Preventive Control Plans
- HACCP plans
- GFSI certification preparation
- Internal audits and gap assessments
Our food safety consulting services can help you develop, implement, review and improve your food safety system based on your products, processes, facility and regulatory requirements.
When Should HACCP Prerequisite Programs Be Reviewed?
PRPs should not be treated as documents that are created once and never updated.
They should be reviewed when there are significant changes to:
- Products
- Ingredients
- Suppliers
- Equipment
- Facility layout
- Production processes
- Production volume
- Cleaning procedures
- Regulations
- Customer requirements
- Food safety incidents
- Complaints
- Recalls
- Audit findings
CFIA recommends reassessing HACCP-based systems when changes or situations could affect food safety controls, including reviewing prerequisite programs, HACCP plans, records and control measures.
Frequently Asked Questions About HACCP Prerequisite Programs
What are prerequisite programs in HACCP?
Prerequisite programs are foundational food safety and operational programs that establish the conditions needed for safe food production. Examples include sanitation, personal hygiene, pest control, maintenance, supplier controls and employee training.
What is the difference between PRPs and HACCP?
PRPs control general conditions surrounding food production, while HACCP focuses on identifying and controlling significant hazards associated with specific products and processes.
How many prerequisite programs are required for HACCP?
There is no universal number that applies to every food business. The appropriate PRPs depend on the products, processes, facility, hazards and applicable regulatory or certification requirements.
Are GMPs a prerequisite program for HACCP?
GMPs are commonly used as part of the prerequisite foundation supporting HACCP. The exact structure and scope of the GMP program should reflect the operation.
Do prerequisite programs need to be documented?
For a professional food safety system, programs should be appropriately documented, implemented, monitored where applicable, and supported by records. Specific documentation requirements depend on the applicable regulatory and certification framework.
Can HACCP work without prerequisite programs?
HACCP should operate on top of an appropriate foundation of prerequisite controls. Without effective foundational programs, the HACCP system can become overloaded with general sanitation and operational issues that should be controlled through prerequisite programs.
Are prerequisite programs required under SFCR?
Canadian businesses subject to the SFCR must meet applicable preventive control requirements. CFIA guidance includes prerequisite-program areas within HACCP-based preventive control approaches, while the exact written PCP requirements depend on the business and its activities.
Can Arnika help develop HACCP prerequisite programs?
Yes. Arnika provides food safety consulting support for developing, reviewing and implementing prerequisite programs, HACCP systems, Preventive Control Plans, GMP programs and GFSI certification systems across Canada.
Conclusion: PRPs Are the Foundation of an Effective HACCP System
HACCP prerequisite programs provide the foundation for a functioning food safety management system.
They establish the environmental, operational and organizational controls needed to produce safe food and allow the HACCP plan to concentrate on significant hazards requiring specific control measures.
A strong PRP system should be:
- Appropriate for the business
- Based on actual food safety risks
- Clearly documented
- Properly implemented
- Monitored where applicable
- Verified
- Supported by records
- Regularly reviewed and updated
If your business is developing a new HACCP system, preparing for an audit, responding to inspection findings, or working toward GFSI certification, contact Arnika for food safety consulting support.