Do restaurants need a HACCP plan? What the rules require and when you need one anyway

Do restaurants need a HACCP plan? In the United States, most are not required to have a written HACCP plan. The FDA Food Code, which states base their rules on, asks for one only when a restaurant runs certain specialized processes, such as vacuum packing, curing, smoking food to preserve it, or keeping live shellfish in a tank [1]. Meat and seafood processors, and food manufacturers, are under different rules that do require one. Even so, many restaurants write a plan because a buyer, insurer or inspector asks for it.

This guide sorts out which rules apply to you, which processes trigger a plan, who asks for one anyway and what to keep when you do not need one. If you only need the records, the free finished logs are on the logs page.

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Do restaurants need a HACCP plan? Three rule systems

Who you are	Rule	HACCP plan required?
Restaurant, cafe, food truck, caterer (retail food establishment)	State or local food code, usually based on the FDA Food Code	Only for specialized processes, and where the code says so [1]
Meat or poultry slaughter or processing plant	USDA FSIS, 9 CFR Part 417	Yes, every plant [2]
Seafood processor or importer	FDA, 21 CFR Part 123	Yes, for each product with a significant hazard [3]
Juice processor	FDA, 21 CFR Part 120	Yes, with a limited retail exception
Food manufacturer registered with FDA	FDA, 21 CFR Part 117 (a food safety plan)	Yes, a written food safety plan, with exemptions for some small and retail businesses [4]

A restaurant that also makes products for wholesale, such as bottled sauces sold to stores, can step into the manufacturing or processing rules. That is the case where a plan stops being optional. Check with both your health department and the state agency that licenses food manufacturing.

Other countries differ: in the EU, UK and Canada food businesses must run HACCP-based procedures by law. This site covers the US.

The specialized processes that usually need a plan

The Food Code lists processes for which the regulator requires a HACCP plan, often with a variance or approval, before you start [1]. The wording differs by state; the usual list is:

Reduced oxygen packaging (vacuum packing, modified atmosphere, many sous vide and cook-chill setups when the food is held in the bag). See HACCP plan for vacuum sealing and sous vide HACCP plan.
Smoking food as a way to preserve it (not for flavor), and curing food. See smoked and cured meats and dry aging beef.
Using food additives or adding components to preserve food, or to render it shelf-stable, such as acidifying sushi rice or pickling for storage. See sushi restaurant and fermented foods.
Live molluscan shellfish stored in a tank for sale or service.
Custom processing of animals for personal use, such as a butcher or game processor.
Sprouting seeds or beans.
Any process your regulator names in its own code, for example dry-cured jerky in some states: beef jerky.

If you do none of these, the Food Code does not ask for a plan. It still asks for the controls a plan would contain: holding limits, cooling, reheating, date marking, handwashing, sanitizing [1].

A quick yes or no

You do this	Plan needed?
Cook, hold, cool and serve in the usual way	No, by the Food Code. Keep the logs.
Vacuum-pack or sous vide food and hold it	Yes in most states; ask for the approval steps first
Cure or smoke to preserve	Yes in most states
Serve raw fish or oysters	Not a plan on its own, but source records, freezing proof and tags are required; see raw oysters
Sell packaged food to stores or online	Probably, under manufacturing or cottage food rules. Ask your state.
Run a food truck or catering	Same as a restaurant, plus the commissary and transport rules; see food truck HACCP plan

When in doubt, call the health department and ask: "Do I need a HACCP plan or a variance for this process?" Write down the name, the date and the answer.

Who asks for a plan even when the law does not

Your health department. After repeat citations an inspector may ask for a written plan or corrective-action records.
Insurers. Some ask for a written food safety program for coverage or a lower premium.
Corporate or institutional buyers. School districts, hospitals, hotels and large catering clients often want a plan or an audit before they buy.
Franchisors and landlords. Some require a program as a lease or franchise term.
Licence applications. Some jurisdictions ask new places for a written food safety plan when they apply.
Third-party audits. A certificate for a supplier or event may need a documented system [5].

If one of these is your reason, ask them what format they want. A short plan in their format beats a long one they cannot use.

What to keep if you do not need a plan

Even without a plan, an inspector expects to see that you control the same hazards. The least you can keep:

A thermometer on the line that you check in ice water, with a calibration log.
Temperature logs for cold units and hot food: restaurant temperature log sheet, cold holding, hot holding.
A cooling log if you cool batches.
Sanitizer checks and a cleaning schedule.
Delivery checks: receiving temperature log.
A one-page statement of who is in charge and what is done when a limit is missed. The parts of a short written program are in the food safety plan template guide.

Ready to see how this compares in dollars? HACCP plan cost covers a consultant, software and writing it yourself.

Plan, certificate and training are different things

Owners often mix these up. A plan is a document for a place. A manager certificate belongs to a person. Training is what your staff have done. Whether you need a plan has no bearing on whether you need a certified manager on shift, which many codes require. See ServSafe vs HACCP and HACCP certification for a restaurant.

How to ask your health department

The answer to "do I need a plan" sits with your local regulator, so ask in a way that gets a usable reply. Call or email the environmental health office that inspects you and say exactly what you plan to do: "We want to vacuum-pack cooked pork shoulder and hold it refrigerated for up to five days. Do we need a HACCP plan or a variance, and what do you need to see?" A vague question gets a vague answer.

Name the process, the food and the holding time.
Ask what format they want the plan in, and whether they have a template.
Ask whether the plan must be approved before you begin, and how long approval takes.
Ask which records they will want to see at the first inspection after approval.
Write down the name, date and answer, and keep it with the plan.

Approval can take weeks, so ask before you buy the equipment, not after.

What changes when you add a process later

A restaurant with no plan today can need one tomorrow. The usual triggers are a new piece of equipment (a vacuum chamber, a smoker, a sous vide circulator), a new product (house-cured bacon, fermented hot sauce) or a new channel (selling jars at a farmers market). Make it a habit: before any new item goes on the menu, ask whether it is made by one of the specialized processes above. If it is, the plan comes first, then the product.

Questions

Is HACCP mandatory for restaurants in the US?

Not as a general rule. It is required for meat, poultry, seafood and juice processing, and for specialized processes in restaurants under the Food Code. Check your state code.

Do I need a HACCP plan for sous vide?

Often yes if food is held in the bag. Many health departments want a plan or variance for reduced oxygen packaging. Ask before you start.

Do food trucks need a HACCP plan?

Under the same rules as restaurants: usually only for specialized processes. Many jurisdictions ask a truck to submit a written menu and procedures as part of the permit.

Do cafes and bakeries need one?

Usually not, unless a specialized process or wholesale is involved. See cafe and bakery.

What happens if I need a plan and do not have one?

Your health department can refuse the process or the permit, or order you to stop. Penalties differ by state. Get the plan approved first.

Can I write the plan myself?

Yes. There is no licence to write a retail HACCP plan, though some departments expect it to follow their format. See HACCP plan template free for a start.

Start the record today: find your restaurant and print the finished log, free.