Guidance Document. A guide to HACCP systems in the Meat Industry. Volume March 2017

Transcription

1 Guidance Document A guide to HACCP systems in the Meat Industry Volume 2 This version contains no change in technical content from the version issued in August 2004, but is issued with MPI branding, and formatting. A guidance document issued by the Ministry for Primary Industries

2 Title Guidance Document: A guide to HACCP systems in the Meat Industry About this document This guidance document provides information to assist meat processors in the development of their Hazard Analysis Critical Control Point (HACCP) systems. Related Requirements Animal Products tice: Specification for Products Intended for Human Consumption Animal Products tice: Specification for Products Intended for Animal Consumption Document history. Current Version Date 1 August 2004 Section Changed Change(s) Description 2 All New format and branding only. Content not reviewed Contact Details Contact for further information: Ministry for Primary Industries (MPI) Regulation & Assurance Branch Animal Products PO Box 2526 Wellington animal.products@mpi.govt.nz Disclaimer This guidance does not constitute, and should not be regarded as, legal advice. While every effort has been made to ensure the information in this guidance is accurate, the Ministry for Primary Industries does not accept any responsibility or liability whatsoever for any error of fact, omission, interpretation or opinion that may be present, however it may have occurred. Copyright Crown copyright. This copyright work is licensed under the Creative Commons Attribution 3.0 New Zealand licence. In essence, you are free to copy, distribute and adapt the work, as long as you attribute the work to the Ministry for Primary Industries and abide by the other licence terms. To view a copy of this licence, visit Please note that no governmental emblem, logo or Coat of Arms may be used in any way which infringes any provision of the Flags, Emblems, and Names Protection Act 1981 or would infringe such provision if the relevant use occurred within New Zealand. Attribution to the Ministry for Primary Industries should be in written form and not by reproduction of any such emblem, logo or Coat of Arms. Ministry for Primary Industries Page 1 of 233

3 Contents Page 1 Purpose 6 2 Background 6 3 Definitions 6 4 Template for Establishing a HACCP Plan for Slaughter and Dressing Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Setting Initial Food Safety Objectives for the Process Constructing a Process Flow Diagram Job Descriptions Raw Material Hazard Identification Process Step Hazard Identification Hazard Responsibilities Confirmed Food Safety Objectives (FSOs) Critical Control Point (CCP) Determination Establishing Critical Limits Monitoring CCPs Setting Corrective Actions Verification of the HACCP Plan Documentation and Recordkeeping 17 5 Template for Establishing a HACCP Plan for Further Processing of Meat and Meat Products Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Setting Initial Food Safety Objectives for the Process Constructing a Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Establishing Critical Limits Monitoring CCPs Setting Corrective Actions Verification of the HACCP Plan Documentation and Recordkeeping 25 6 Generic HACCP Plan for Slaughter and Dressing of Cattle Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Raw Material Hazard Identification Process Step Hazard Identification Hazard Responsibilities Confirmed Food Safety Objectives (FSOs) 34 Ministry for Primary Industries Page 2 of 233

4 6.11 Critical Control Point (CCP) Determination Completion of the HACCP Plan Verification of the HACCP Plan Background Information References 49 7 Generic HACCP Plan for Cooling and Boning of Beef Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan Background Information References 76 8 Generic HACCP Plan for the Manufacture of Raw Beef Patties Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan Background Information References 99 9 Generic HACCP Plan for the Manufacture of Beef Jerky Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan Background Information References Generic HACCP Plan for Canning (Corned Beef) Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions 129 Ministry for Primary Industries Page 3 of 233

5 10.7 Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan References Generic HACCP Plan for Slaughter and Dressing of Sheep and Lambs Generic HACCP Plan for the Processing of Edible Sheep and Lamb Casings Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan Background Information References Generic HACCP Plan for Slaughter, Dressing, Portioning and Deboning of Chicken (Broilers) Supporting Systems Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan Background Information References Generic HACCP Plan for Slaughter and Traditional Dressing of Farmed Deer Prerequisite Requirements Scope of HACCP Plan Product Description and Intended Use Initial Food Safety Objectives Process Flow Diagram Job Descriptions Hazard Analysis and CCP Determination Hazard Responsibilities Confirmed Food Safety Objectives (FSOs) Completion of the HACCP Plan Verification of the HACCP Plan Background Information References Generic Model for Potable Water Prerequisite Requirements Scope of HACCP Plan 229 Ministry for Primary Industries Page 4 of 233

6 15.3 Product Description and Intended Use Food Safety Objectives Process Flow Diagram Job Descriptions Raw Material Hazard Identification Process Step Hazard Identification Confirmation of food safety objectives Completion of the HACCP plan Validation of the HACCP plan 232 Ministry for Primary Industries Page 5 of 233

7 1 Purpose The purpose of this document is to assist meat processors in the development of their Hazard Analysis Critical Control Point (HACCP) systems. 2 Background The Guide to HACCP Systems in the Meat Industry was produced by the Ministry for Primary Industries (MPI) in association with the HACCP Steering Group (MPI, a number of food producing industries and the Ministry of Health) to: Volume 1 explains the concepts and principles of HACCP and provides guidance on HACCP development and implementation, auditing HACCP plans, and HACCP training. Volume 2 (this document) provides templates and generic HACCP plans for a range of meat processing systems. HACCP will continuously evolve, and the contents of this document will be updated as new information from both national and international sources becomes available. 3 Definitions Refer Guide to HACCP Systems in the Meat Industry Volume 1, Section 3. Ministry for Primary Industries Page 6 of 233

8 4 Template for Establishing a HACCP Plan for Slaughter and Dressing Previously Appendix VIII Prerequisite Requirements List all documented prerequisite programmes/sanitation standard operating procedures (SSOPs) which are relevant to the HACCP plan. Prior to starting the HACCP plan, the HACCP team should ensure that all relevant prerequisite programmes are covered by separate documented systems and that they are substantially in compliance with regulatory requirements/specifications for good manufacturing practice (GMP). Development of documented systems for prerequisite programmes may benefit from the application of HACCP principles. For slaughter and dressing, examples of prerequisite programmes are: sanitary design; potable water quality; sanitation and clean-up procedures for edible areas and food contact surfaces (preoperational and operational); hygiene of personnel (protective clothing requirements, personal equipment and use of amenities); training; hygienic dressing (dressing techniques and procedures, personnel, equipment, dropped meat); food contact materials (specifications, handling and storage); repairs and maintenance of equipment; control of chemicals; vermin control; waste disposal; condition of stock (cleanliness of animals). 4.2 Scope of HACCP Plan Establish the scope of the HACCP plan HACCP application: Product: Process: Food safety Enter species Enter process, including segment of food chain 4.3 Product Description and Intended Use Describe the final product and its intended use. te any particular food safety requirements for this final product. Table 1 provides a template for this purpose. te any sections that are not applicable. This can be used for the overall product description, i.e. it is not necessarily restricted to food safety aspects. Ministry for Primary Industries Page 7 of 233

9 Table 1: Product description and intended use Product 1 Product name(s) 2 Important product characteristics 3 How is it to be used: (a) By a further processor or retailer (b) By the consumer 4 Intended consumer 5 Packaging 6 Shelf life and storage requirements 7 Where it will be sold (a) Export market (b) Local market 8 Labelling instructions 9 Special distribution controls required Intended Use 4.4 Setting Initial Food Safety Objectives for the Process List the initial food safety objectives (FSOs) for the process. Food safety objectives describe the expectations of hygiene measures that are applied during a particular segment of a food production process. These objectives should include measurable outcomes expected for the final product and may relate specifically to a HACCP plan, to activities outside the scope of a HACCP plan (i.e. prerequisite programmes), or to both. The processor should initially formulate food safety objectives when discussing and documenting the desired/expected levels of control of hazards in the final product, considering its intended use. These objectives should be confirmed as appropriate in Section 4.10, after the hazard identification and determination of hazard responsibilities are completed. This ensures that control of all identified hazards which are the responsibility of the processor are properly addressed, either directly or by association with other measures (e.g. indicator organisms, on-line physical parameters). The appropriate level of control may be achieved by the implementation of a HACCP plan and/or by prerequisite (GMP) programmes. 4.5 Constructing a Process Flow Diagram Construct and confirm the process flow diagram. Show the relevant inputs and edible outputs for each process step. Inputs are defined as materials, such as consumable or non-consumable items, added to the product during the process. These inputs and their hazards must be addressed by a prerequisite programme/ssop, or carried through to hazard identification within the HACCP plan. Tables 2 and 3 provide templates for information on raw materials, other inputs and the process flow diagram. Ministry for Primary Industries Page 8 of 233

10 Table 2: Raw materials / other inputs Product names Raw material / other inputs Description/specification Table 3: Process flow diagram Process Inputs Process steps Edible outputs Ministry for Primary Industries Page 9 of 233

11 4.6 Job Descriptions Write a job description for each process step. Table 4 can be used as a template for this information and provides for a summary of food safety responsibilities. There is flexibility as to when job descriptions are confirmed. This may be left until after the hazard analysis and critical control point determination is completed. Table 4: Example template for job description Process step no: Job description Summary list of food safety responsibilities of operator: (confirm after HACCP plan completed) Reference: Ministry for Primary Industries Page 10 of 233

12 4.7 Raw Material Hazard Identification Identify biological, chemical and physical hazards relating to raw material and other inputs at each process step. Hazards may be specifically defined where appropriate (e.g. Cysticercus bovis) or presented as a class (e.g. microbiological hazards associated with faeces and ingesta) Raw material hazards Raw material consists of the following components: carcass/head/offals; gastrointestinal tract (GIT); fleece/hide/pelt. Identify the hazards associated with each raw material component. These are summarised in a generic table in Table 5A Other input hazards Identify any hazards associated with inputs other than the raw material, for each process step. Generally, these hazards are addressed by appropriate prerequisite programmes/ssops. If not, these hazards should be shown in Table 5B. Table 5A: Hazard identification for raw materials Raw material Biological hazard Chemical hazard Physical hazard The example below shows the range of hazards associated with livestock as a raw material. Table 5A: Hazard identification for raw material (delete those hazards not applicable to the species selected) Raw material Biological hazard Chemical hazard Physical hazard Carcass/head/offals B1 Microbiological hazards associated with grosslydetectable abnormalities, i.e. fever, abscesses B2 Microbiological hazards not grossly detectable, e.g. Toxoplasma gondii within the musculature; bacteraemia B3 Visible parasites C1 Chemical hazards associated with identified chemical residues, e.g. suspect lines, injection site lesions (ISLs) C2 Chemical hazards associated with unidentified chemical residues, e.g. anthelmintics, antibiotics, environmental contaminants. P1 (As applicable to species) Ministry for Primary Industries Page 11 of 233

13 Raw material Biological hazard Chemical hazard Physical hazard Gastrointestinal tract B4 Microbiological hazards 1 associated with faeces and ingesta, e.g. Salmonella spp., E. coli O157:H7 Fleece/hide/pelt B5 Microbiological hazards 1 associated with contamination of fleece/ hide /pelt, with faeces, dirt, e.g. Salmonella spp., E. coli O157:H7 t applicable t applicable t applicable t applicable 1 Hazard may be transferred from one raw material component to another as either unseen or grossly detectable contamination. Hazard may be redistributed on a raw material component as either unseen or grossly-detectable contamination. 4.8 Process Step Hazard Identification Identify hazards that can be reasonably expected to occur for each process step shown in the process flow diagram, considering raw material and other input hazards. te any transfer or redistribution of raw material hazards at a particular step. Record the findings in Table 5B. Table 5B: Hazard identification information for slaughter and dressing Process step Raw material Transfer 2 of hazards to product Redistribution 2 of hazards on product Other inputs Components Hazards 1 Components Hazards 1 The following codes have been used in the generic HACCP plans: B - Biological C - Chemical B1 to B5 apply to raw material B1 Microbiological hazards associated with grossly-detectable abnormalities B2 Microbiological hazards not grossly detectable B3 Visible parasites B4 Microbiological hazards associated with faeces and ingesta from GIT B5 Microbiological hazards associated with fleece/hide/pelt B6 Microbiological hazards associated with other inputs C1 to C2 apply to raw material C1 Chemical hazards associated with identified chemical residues Ministry for Primary Industries Page 12 of 233

14 P - Physical C2 Chemical hazards associated with unidentified chemical residues C3 Chemical hazards associated with other inputs P1 Physical hazards associated with raw material P2 Physical hazards associated with other inputs 2 This is an additive effect through the process. 4.9 Hazard Responsibilities Identify the processor s and regulator s responsibilities relating to control of identified hazards associated with the carcass in Table 5C. Indicate the process step/s at which the identified hazard is expected to be controlled. Some hazards will remain unaddressed at the end of the process and they should be highlighted for consideration elsewhere in the food chain, e.g. at the farm (pre-harvest segment). Table 5C: Processor and regulator responsibilities for control of hazards associated with the carcass Identified Hazard Processor responsibility Regulator responsibility Unaddressed hazard 4.10 Confirmed Food Safety Objectives (FSOs) List the confirmed food safety objectives. Food safety objectives that reflect the processor s responsibilities should be confirmed as appropriate for the product. These objectives should cover all the identified hazards to be controlled by the processor Critical Control Point (CCP) Determination Determine the CCPs using the decision tree (see Figure 1 and Table 6), considering only those identified hazards that the processor is primarily responsible for controlling. Apply the decision tree to each identified hazard at each step. The rationale for the answers given to the questions in the decision tree should be documented as part of the HACCP plan. For Question 1 (i.e. whether the hazard could be present in or on the product at unacceptable levels), reference to the scientific literature, surveys, company experience and/or historical data would be helpful as supporting information. Ministry for Primary Industries Page 13 of 233

15 Figure 1. CCP Decision tree Answer each question in sequence at each process step for each identified hazard Q1. Could the hazard be present in or on the product 1 at unacceptable 2 levels at this step? Yes give reasons and go to Q2 not a CCP. Proceed to next identified hazard Q2. Is there a control measure available at this step that would prevent unacceptable 2 levels of the hazard? Yes this step is a CCP. Answer Q3 not a CCP. Answer Q3 Q3. Is there a control measure available at a previous step which would significantly contribute to preventing unacceptable 2 levels of the hazard at this step? Yes retrospectively assign the previous step as a CCP Proceed to next identified hazard If the answer to Q2 was also "no", consider the previous step as a CCP whether any subsequent steps can control the hazard or whether redesign of the process/product is necessary to ensure a control measure is available 1 Product is defined as the edible component of final product. 2 Unacceptable as demonstrated by data (scientific literature, applied research or on-site experience, National Microbiological Database) associated with achieving the food safety objectives established for the process. In the determination of unacceptability, hazards should be considered in terms of: level; frequency; transfer and redistribution; severity of effect on consumer. Ministry for Primary Industries Page 14 of 233

16 Table 6: CCP determination for a slaughter and dressing process Process step Identified hazard Q1. Could the hazard be present in or on the product 1 at unacceptable 2 levels at this step? If Yes give reasons and go to Q2 If not a CCP. Proceed to next identified hazard Q2. Is there a control measure available at this step that would prevent unacceptable 2 levels of the hazard? If Yes this step is a CCP. Go to Q3 If not a CCP. Go to Q3. Q3. Is there a control measure available at a previous step which would significantly contribute to preventing unacceptable 2 levels of the hazard at this step? If Yes retrospectively assign that step as a CCP If and if the answer to Q2 was, consider whether any subsequent steps can control the hazard or whether redesign of the process / product is necessary to ensure a control measure is available Proceed to next identified hazard CCP no: 1 Product is defined as the edible component of final product. 2 Unacceptable as demonstrated by data (scientific literature, applied research or on-site experience, National Microbiological Database) associated with achieving the FSOs established for the process. In the determination of unacceptability, hazards should be considered in terms of: level; frequency; transfer and redistribution; severity of effect on consumer. Ministry for Primary Industries Page 15 of 233

17 4.12 Establishing Critical Limits Determine clearly defined and measurable critical limits for each hazard at each CCP. Visual observations will provide the most useful critical limits for slaughter and dressing. The rationale for the critical limits should be fully documented as part of the HACCP plan. Summarise the critical limits in Table Monitoring CCPs Establish monitoring parameters for each CCP. Monitoring will rarely be continuous for slaughter and dressing systems. Statistically based sampling plans are useful for providing a meaningful basis for a monitoring programme. Monitoring procedures should be fully documented as part of the HACCP plan. Monitoring parameters should include information on what method is to be used, who is responsible for monitoring, where monitoring is done and how frequently it should be performed. Summarise the monitoring parameters in Table Setting Corrective Actions Establish specific corrective actions for each CCP to be used when the critical limits are exceeded. These corrective actions must be designed to rapidly regain control at the CCP and should also have the objective of preventing re-occurrence. In addition, corrective action may mean retaining product on the slaughter line and, if necessary, altering its disposition. Corrective action responsibilities and procedures should be fully documented as part of the HACCP plan. Summarise the corrective action responsibilities and procedures in Table Verification of the HACCP Plan Establish verification activities that will confirm whether the HACCP plan is operating effectively and according to documented procedures. Verification procedures should include the following: Validation of the HACCP plan. This involves the initial confirmation that the HACCP plan is complete and will achieve each of the food safety objectives. Validation should demonstrate that the HACCP plan is at least equivalent to GMP-based controls at the premises, for all food safety objectives. Identified CCPs should be evaluated to ensure that the control measure applied at that particular process step will achieve or contribute to the achievement of the relevant food safety objective (FSO). Validation should use standard techniques that allow in-house comparisons and also comparison with national performance, e.g. the National Microbiological Database and national targets that are obtained according to standard techniques. Ongoing independent review of all components of the HACCP system, its documentation and records, including corrective actions taken. This includes extrinsic review by customers and regulators. All reviews (both internal and extrinsic) should be done under a formal audit procedure with appropriate follow up for non-conformances to the HACCP plan. Ministry for Primary Industries Page 16 of 233

18 Product tests where appropriate, e.g. microbiological, visual. Revalidation of the HACCP plan whenever changes are made (e.g. changes to premises product, process, intended use of the product). Verification responsibilities and procedures should be fully documented as part of the HACCP plan. Summarise verification activities in Table Documentation and Recordkeeping The need for appropriate documentation for the HACCP plan has been emphasised throughout this template. Records also need to be kept for monitoring, corrective actions and verification results. Summarise the types of records required to support the HACCP plan in Table 7. Table 7: HACCP plan summary spreadsheet Process step Hazard ID CCP no. Critical limits Monitoring procedures/tools (consider Who, What, When and How) Corrective actions Verification procedures HACCP records Ministry for Primary Industries Page 17 of 233

19 5 Template for Establishing a HACCP Plan for Further Processing of Meat and Meat Products Previously Appendix VIII Prerequisite Requirements List all documented prerequisite programmes/sanitation standard operating procedures (SSOPs) which are relevant to the HACCP plan. Prior to starting the HACCP plan, the HACCP team should ensure that all relevant prerequisite programmes are covered by separate documented systems and that they are substantially in compliance with regulatory requirements/specifications for good manufacturing practice (GMP). Development of documented systems for prerequisite programmes may benefit from the application of HACCP principles. For slaughter and dressing, examples of prerequisite programmes are: sanitary design; potable water quality; sanitation and clean-up procedures for edible areas and food contact surfaces (preoperational and operational); hygiene of personnel (protective clothing requirements, personal equipment and use of amenities); training; hygienic processing (processing techniques and procedures, dropped meat); food contact materials (specifications, handling and storage); repairs and maintenance of equipment; control of chemicals; vermin control; waste disposal; refrigeration management; handling and disposition of detained and nonconforming products. 5.2 Scope of HACCP Plan Establish the scope of the HACCP plan HACCP application: Product: Process: Food safety Enter species Enter process, including segment of food chain 5.3 Product Description and Intended Use Describe the final product and its intended use. te any particular food safety requirements for this final product. Table 1 provides a template for this purpose. te any sections that are not applicable. This can be used for the overall product description, i.e. it is not necessarily restricted to food safety aspects. Ministry for Primary Industries Page 18 of 233

20 Table 1: Product description and intended use Product 1 Product name(s) 2 Important product characteristics 3 How is it to be used: (a) By a further processor or retailer (b) By the consumer 4 Intended consumer 5 Packaging 6 Shelf life and storage requirements 7 Where it will be sold (a) Export market (b) Local market 8 Labelling instructions 9 Special distribution controls required Intended Use 5.4 Setting Initial Food Safety Objectives for the Process List the initial food safety objectives (FSOs) for the process. Food safety objectives represent a relatively new concept that is continuing to evolve. An FSO describes the expected outcomes of hygiene measures that are applied during a particular segment of a food production process and can be defined by a working definition as: "A statement, in the ideal situation based on a risk analysis process, which expresses the level of a hazard in a food that is tolerable in relation to an appropriate level of consumer protection. When justified by either a qualitative or quantitative risk assessment, the FSO should express the level of the hazard as its maximum tolerable frequency and/or concentration". Thus an FSO should wherever possible include measurable levels of hazards in the final product that are tolerable in terms of the validated outcome of a HACCP plan, prerequisite programmes, or both. This provides an effective "target" for validation of the HACCP plan and/or prerequisite programmes, and ongoing hygiene performance. In some cases, the "target" may already be specified in an industry-agreed standard, e.g. the National Microbiological Database, or as a particular market access requirement, e.g. zero Listeria monocytogenes tolerance in ready-to-eat foods. The processor should initially formulate FSOs for the product relative to its intended end-use when discussing the expected outcome of the particular food control programme. These FSOs should be confirmed as appropriate in Section 5.8, after the hazard analysis has been completed. This allows due consideration to be given to those hazards found to be unacceptable during the analysis process and additional FSOs to be set where necessary. 5.5 Constructing a Process Flow Diagram Construct and confirm the process flow diagram. Show the relevant inputs and edible outputs for each process step. These inputs and their hazards must be addressed by a prerequisite programme/ssop, or specifically considered during hazard identification in the HACCP plan. Tables 2 and 3 provide templates for information on raw materials, other inputs and the process flow diagram. Ministry for Primary Industries Page 19 of 233

21 Table 2: Raw materials / other inputs Product names Raw material / other inputs Description/specification Table 3: Process flow diagram Process Inputs Process steps Edible outputs Ministry for Primary Industries Page 20 of 233

22 5.6 Job Descriptions Write a job description for each process step. Table 4 can be used as a template for this information and provides for a summary of food safety responsibilities. There is flexibility as to when job descriptions are confirmed. This may be left until after the hazard analysis and critical control point determination is completed. Table 4: Job description Process step no: Job description Summary list of food safety responsibilities of operator: (confirm after HACCP plan completed) Reference: Ministry for Primary Industries Page 21 of 233

23 5.7 Hazard Analysis and CCP Determination Raw material hazard identification Identify biological, chemical and physical hazards that are reasonably likely to occur in the raw material. Raw material may include meat (e.g. chilled beef carcass, trimmings) and non-meat ingredients (e.g. spices, vegetables, food additives). Hazards need to be specifically defined (e.g. Taenia saginata, Clostridium botulinum, shotgun pellets) or may be identified as a class, based on their characteristics, when this is appropriate (e.g. enteric, spore forming organisms, metal objects). To avoid repetition and simplify hazard identification and analysis, codes may be assigned to the different hazard categories. For example, hazards may be categorised by source (e.g. microbiological hazards from non-meat ingredients) as well as by type (i.e. biological, chemical, physical). Codes may be carried forward from a previous plan, particularly when this helps demonstrate continuity of the process and carry over of the relevant hazards (e.g. slaughter and dressing to cooling and boning). Codes must be clearly defined in the plan when used. Identified raw material hazards are summarised in a generic table in Table 5A. Table 5A: Hazard identification for raw materials Raw material Biological hazard Chemical hazard Physical hazard Hazard analysis and CCP determination (raw material, other inputs and process steps) Record the identified raw material hazards from Section in the appropriate column in Table 5B. Identify any biological, chemical or physical hazards resulting from a process step requirement not being met (e.g. metal from equipment). Process step hazards are expected to be a sporadic occurrence. Frequent occurrence could indicate that a prerequisite programme is ineffective and needs to be improved. Process step hazards may be controlled under effective prerequisite programmes and/or dealt with at CCPs in the HACCP plan. te that once these hazards are identified, they may become part of the raw material hazards at subsequent steps if immediate control is unavailable. Identify any biological, chemical or physical hazards that are reasonably likely to occur in association with other inputs at each process step (e.g. packaging, processing aids). Generally, these hazards will be addressed by appropriate prerequisite programmes (e.g. Supplier Quality Assurance (SQA) programme, food contact materials). For more complex processes, such as those with multiple ingredients, a separate hazard identification for each input may be essential. Hazards must be analysed for each process step. Record comments on the potential impact of a process step on hazards that are reasonably likely to occur (e.g. transfer or redistribution of raw material hazards, pathogen growth). These comments can be recorded in the same column as process step hazards (see Table 5B for the presentation). Careful consideration should be given to the effectiveness of the prerequisite programmes when evaluating the impact of a process step. Ministry for Primary Industries Page 22 of 233

24 Hazard analysis may result in changes to the initial food safety objectives set in Section 5.4. See Section 5.8 for confirmed objectives. Consider whether each hazard could be present at an unacceptable level in relation to achieving the FSOs for the process (Question 1, Table 5B) and provide justification. Reference to the scientific literature, surveys, company experience and/or historical data will be helpful as supporting information. Record the outcomes of the hazard analysis. When Question 1 is answered yes (i.e. a hazard could be present at an unacceptable level), then answer both questions 2 and 3 relating to control measures. Even when there are control measures available at the step at which the hazard(s) is being analysed, previous process steps should also be considered for control of the hazard. The absence of adequate control measures at any step in the process means that redesign of the process/product should be undertaken so that the FSO can be achieved. If redesign is impossible, the hazard must be identified as unaddressed within the HACCP plan (or under GMP where it is the only identified hazard) for this product and process. 5.8 Confirmed Food Safety Objectives (FSOs) List the confirmed FSOs. FSOs relating to hazards identified as reasonably likely to occur may be controlled by both the HACCP plan and/or prerequisite programmes. The confirmed FSOs may differ from those initially recorded, as a result of the hazard analysis and CCP determination process. 5.9 Establishing Critical Limits Determine clearly defined and measurable critical limits for control of unacceptable hazard(s) at each CCP. The critical limits may be parameters that are indirectly related to these hazards, e.g. job descriptions. The rationale for the critical limits should be fully documented as part of the HACCP plan Summarise the critical limits in Table Monitoring CCPs Establish monitoring parameters for each CCP. Monitoring may be continuous (e.g. CATR monitoring) or intermittent (e.g. teardown procedure) for further processing. Statistically based sampling plans are useful for providing a meaningful basis for a monitoring programme. Monitoring procedures should be fully documented as part of the HACCP plan. Monitoring procedures shall include information on who is responsible for monitoring, what method is to be used, where monitoring is to be done and how frequently it is to be performed. Ministry for Primary Industries Page 23 of 233

25 Table 5B: Hazard analysis and CCP determination (raw material, other inputs and process steps) Process steps Inputs raw materials and other inputs i) Process step hazards ii) Potential impact of process step on existing hazards Component Hazards Yes/ Justification Q1. Could the hazard be present in or on the product 1 at unacceptable levels 2 at this step? If yes, answer Q2 and Q3. Q2. Is there a control measure at this step that would prevent unacceptable levels of the hazard? If yes, this step is a CCP. If no, not a CCP. Q3. Is there a control measure available at a previous step that would prevent unacceptable levels of the hazard? If yes, retrospectively assign the previous step as a CCP. CCP. 1 Product is defined as the edible component of final product. 2 Unacceptable as demonstrated by data (scientific literature, applied research or on-site experience) associated with achieving the FSOs established for the process. In the determination of unacceptability, hazards should be considered in terms of: level; frequency; transfer and redistribution; severity of effect on consumer. Ministry for Primary Industries Page 24 of 233

26 5.11 Setting Corrective Actions For each CCP, establish corrective actions to be used when the critical limits are exceeded. These corrective actions must be designed to rapidly regain control at the CCP and shall also have the objective of preventing re-occurrence wherever possible. Disposition of affected product is an important component of corrective action procedures. Corrective action responsibilities and procedures should be fully documented as part of the HACCP plan. Summarise the critical limits in Table Verification of the HACCP Plan Establish verification activities that will confirm whether the HACCP plan is operating effectively and according to documented procedures. Verification procedures shall include the following: Validation of the HACCP plan. This involves the initial confirmation that the HACCP plan is complete and will achieve each of the FSOs. Identified CCPs should be evaluated to ensure that the control measure applied at that particular process step will achieve or contribute to the achievement of the relevant FSO. Validation should use standard techniques (where appropriate) that allow in-house comparisons and also comparison with national performance, e.g. the National Microbiological Database and national "targets". Ongoing independent review of all components of the HACCP system, its documentation and records, including corrective actions taken. This includes extrinsic review by customers and regulators. All reviews (both internal and extrinsic) should be done under a formal audit procedure with appropriate follow up for non-conformances to the HACCP plan. Product tests where appropriate, e.g. microbiological, visual. Revalidation of the HACCP plan whenever changes are made (e.g. changes to premises, product, process, intended use of the product) or when process failure that may compromise product safety, has been identified. Verification responsibilities and procedures should be fully documented as part of the HACCP plan. Summarise verification activities in Table Documentation and Recordkeeping The need for appropriate documentation for the HACCP plan has been emphasised throughout this template. Records also need to be kept for monitoring, corrective actions and verification results. Summarise the types of records required to support the HACCP plan in Table 6. Ministry for Primary Industries Page 25 of 233

27 Table 6: HACCP plan summary spreadsheet Process step Hazard ID CCP no. Critical limits Monitoring procedures/tools (consider Who, What, When and How) Corrective actions Verification procedures HACCP records Ministry for Primary Industries Page 26 of 233

28 6 Generic HACCP Plan for Slaughter and Dressing of Cattle Previously Appendix IX Prerequisite Requirements The following are documented prerequisite programmes: sanitary design; potable water quality; sanitation and clean-up procedures for edible areas and food contact surfaces (preoperational and operational); personnel hygiene (protective clothing requirements, personal equipment and use of amenities); training; hygienic dressing (dressing techniques and procedures, personnel, equipment, dropped meat); food contact materials (specifications, handling and storage); repairs and maintenance of equipment; control of chemicals; vermin control; waste disposal; condition of stock (cleanliness of animals). 6.2 Scope of HACCP Plan HACCP application: Product: Process: Food safety Bovine (excluding bobby calf) Slaughter and dressing of cattle, from receipt of livestock through to carcass leaving slaughter floor. 6.3 Product Description and Intended Use Table 1: Product description and intended use Product Intended Use 1 Product name(s) Beef carcass 2 Important product characteristics Passed ante- and post-mortem inspection Product meeting microbiological targets set by company 3 How is it to be used: (a) By a further processor or retailer (b) By the consumer (a) Chilled/hot boned (b) Raw or cooked 4 Intended consumer General public ("high-risk" groups not specified for this plan) 5 Packaging t applicable 6 Shelf life and storage requirements t applicable 7 Where it will be sold (a) Export market List countries, if applicable Ministry for Primary Industries Page 27 of 233

29 (b) Local market 8 Labelling instructions Branded Carcass ticket 9 Special distribution controls required Immediate dispatch to chiller or boning room 6.4 Initial Food Safety Objectives (To be confirmed after hazard identification and determination of hazard responsibilities. See Section 6.10 for confirmed objectives). To minimise transfer and redistribution of microbiological hazards from the gastrointestinal tract and the hide to the carcass, including control of grossly-detectable contaminants, to within specified microbiological targets. To remove all grossly-detectable abnormalities from carcasses that are retained at post mortem inspection. To identify all chemical "suspect" lines of livestock that are presented for slaughter, for subsequent regulatory action. 6.5 Process Flow Diagram Table 2: Raw materials / other inputs Product names Inputs Raw Material Live animals Other Inputs 1 Carcass tickets Branding ink Beef carcass Description/specification Components carcass/head/offals gastrointestinal tract (GIT) hide Suitable for use as food contact materials. Suitable for use as food contact materials. 1 Inputs are defined as incoming materials, such as consumable or non-consumable items, added to the product during the process. These inputs and their hazards must be addressed by a prerequisite programme/ssop, or carried through to hazard identification within the HACCP plan. 2 Specifications and hygienic handling of these materials are covered by specific premises prerequisite programmes for food contact materials. Ministry for Primary Industries Page 28 of 233

30 Table 3: Process flow diagram Process Slaughter and dressing of cattle Inputs Process steps Edible outputs Livestock Carcass ticket / ink 1. Receive 2. Wash 3. Pen 4. Ante-mortem Suspects 5. Pre-stun shower 6. Stun 7. Anal wash / shackle 8. a Thoracic stick 1 8. b Halal stick 1,2 9. Rod 10. Head removal 11. Hind leg 12. Ring 13. Hide removal 14. Brisket cut 15. Evisceration 16. Carcass split 17. Post-mortem inspection 18 a Retain 18 b Reinspect 19. Trim 20. Grade 21. Final wash Head Offals Beef carcass 1 Process options. Ministry for Primary Industries Page 29 of 233

31 2. For halal slaughter, regulations to ensure humane slaughter require that sticking of the animal is done before shackling. 6.6 Job Descriptions Table 4 should be completed and confirmed for each step in the particular process. Table 4: Example template for job description Process step no: Job description Summary list of food safety responsibilities of operator: (confirm after HACCP plan completed) Reference: 6.7 Raw Material Hazard Identification Table 5A: Hazard identification for cattle Raw material Biological hazard Chemical hazard Physical hazard Carcass/head/ offals B1 - Microbiological hazards associated with grosslydetectable abnormalities, i.e. fever, abscesses B2 - Microbiological hazards not grossly detectable, e.g. bacteraemia, Toxoplasma gondii C1 - Chemical hazards associated with identified chemical residues, e.g. suspect lines, injection site lesions (ISLs) C2 - Chemical hazards associated with unidentified chemical residues, e.g. P1 - Shotgun pellets Ministry for Primary Industries Page 30 of 233

32 Raw material Biological hazard Chemical hazard Physical hazard Gastrointestinal tract B3 - Visible parasites, e.g. Taenia saginata (Cysticercus bovis) B4 - Microbiological hazards 1 associated with faeces and ingesta, e.g. Salmonella spp., E. coli O157:H7, Clostridium spp., Campylobacter jejuni Hide B5 - Microbiological hazards 1 associated with contamination of hide with faeces and dirt, e.g. Salmonella spp., E. coli O157:H7, Clostridium spp., Campylobacter jejuni Udder (for cows) B7 2 - Microbiological hazards associated with contamination from mastitic milk, e.g. Staphylococcus aureus anthelmintics, antibiotics, environmental contaminants. t applicable t applicable t applicable t applicable t applicable t applicable 1 Hazards may be transferred from one raw material component to another as either unseen or gross contamination. Hazards may be redistributed on a raw material component as either unseen or gross contamination. 2 B6 has already been allocated in Section 6.8 for slaughter and dressing as: "biological hazards associated with other inputs"; hence B7 refers to contamination with mastitic milk 6.8 Process Step Hazard Identification Table 5B: Process step hazard identification for slaughter and dressing of cattle Process Step Raw material Transfer of Redistribution Other inputs hazards to of hazards on Components Hazards 1 product 2,3 product 2 Components Hazards 1. Receive Carcass/head/ offals GIT Hide Udder (for cows) 2. Wash Carcass/head/ offals GIT Hide Udder (for cows) 3. Pen Carcass/head/ offals GIT Hide Udder (for cows) 4. Antemortem Carcass/head/ offals GIT B1, B2, B3, C1, C2, P1 B4 B5 B7 B1, B2, B3, C1, C2, P1 B4 B5 B7 B1, B2, B3, C1, C2, P1 B4 B5 B7 B1, B2, B3, C1, C2, P1 B4 Ministry for Primary Industries Page 31 of 233

33 Process Step Raw material Transfer of Redistribution Other inputs hazards to of hazards on Components Hazards 1 product 2,3 product 2 Components Hazards 5. Prestun shower Hide Udder (for cows) Carcass/head/ offals GIT Hide Udder (for cows) 6. Stun Carcass/head/ offals GIT Hide Udder (for cows) 7. Anal wash/ shackle 8a. Thoracic stick 8b. Halal stick Carcass/head/ offals GIT Hide Udder (for cows) Carcass/head/ offals GIT Hide Udder (for cows) Carcass/head/ offals GIT Hide Udder (for cows) 9. Rod Carcass/head/ offals GIT Hide Udder (for cows) 10. Head removal 11. Hind leg Carcass/head/ offals GIT Hide Udder (for cows) Carcass/head/ offals GIT Hide Udder (for cows) 12. Ring Carcass/offals GIT Hide B5 B7 B1, B2, B3, C1, C2, P1 B4 B5 B7 B1, B2, B3, C1, C2, P1 B4 B5 B7 B1, B2, B3, C1, C2, P1 B4 B5 B7 B1, B2, B3, B5, C1, C2, P1 B4 B5 B7 B1, B2, B3, B5, C1, C2, P1 B4 B5 B7 B1, B2, B3, B4, B5, C1, C2, P1 B4 B5 B7 B1, B2, B3, B4, B5, C1, C2, P1 B4 B5 B7 B1, B2, B3, B4, B5, C1, C2, P1 B4 B5 B7 B1, B2, B3, B4, B5, C1, C2, P1 B4 B5 B5 B5 B4, B5 B4 B4, B5 B5, B7 4 B4, B5 Ministry for Primary Industries Page 32 of 233

34 Process Step Raw material Transfer of Redistribution Other inputs hazards to of hazards on Components Hazards 1 product 2,3 product 2 Components Hazards 13. Hide removal Carcass/offals GIT Hide B1, B2, B3, B4, B5, C1, C2, P1 B4 B5 B5 14. Brisket cut Carcass/offals GIT B1, B2, B3, B4, B5, C1, C2, P1 B4 15. Evis-- ceration Carcass/offals GIT B1, B2, B3, B4, B5, C1, C2, P1 B4 B4, B C/C split Carcass B1, B2, B3, B4, B5, C1, C2, P1 B4, B5 17. Postmortem Carcass B1, B2, B3, B4, B5, C1, C2, P1 B4, B5 18a. Retain Carcass B1, B2, B4, B5, C16, C2, P1 B4, B5 18b. Reinspect Carcass B2, B4, B5, C1, C2, P1 B4, B5 Carcasses able to contact each other after step 17 on main chain and after step 18b if retained 19. Trim Carcass B2, B4, B5, C1, C2, P1 B4, B5 B4, B5 20. Grade Carcass B2, B4, B5, C1, C2, P1 B4, B5 Tickets Ink Nil Nil 21. Final wash Carcass B2, B4, B5, C1, C2, P1 B4, B5 1 The following codes have been used in the generic HACCP plan: B - Biological C - Chemical P - Physical B1 Microbiological hazards associated with grossly-detectable abnormalities B2 Microbiological hazards not grossly detectable B3 Visible parasites B4 Microbiological hazards associated with faeces and ingesta from the GIT B5 Microbiological hazards associated with the hide B6 Microbiological hazards associated with other inputs B7 Microbiological hazards associated with mastitic milk C1 Chemical hazards associated with identified chemical residues C2 Chemical hazards associated with unidentified chemical residues P1 Physical hazards associated with shotgun pellets 2 There is an additive effect through the process. 3 Product is defined as the edible component of the final product. 4 With certain cows, B7 may be transferred during removal of the udder. If this hazard is relevant to the company s process, then its transfer and redistribution at subsequent steps should be considered. However, for the purpose of this generic model, this hazard will not be considered any further through succeeding sections of the HACCP plan. Ministry for Primary Industries Page 33 of 233