Milk Plant, Receiving Station or Transfer Station NCIMS HACCP SYSTEM AUDIT REPORT

ITEMS MARKED DID NOT MEET THE NCIMS HACCP PROGRAM CRITERIA DESCRIBED BELOW
Starred ** Items are Critical Listing Elements
*Note: This regulatory NCIMS System Audit Report of your plant serves as a notification of the intent to suspend your permit if items marked on this audit report are not in compliance at the time of the next regulatory audit or within established timelines. (Refer to PMO Sections 3 and 6 and Appendix K. for details).

Section 1 HAZARD ANALYSIS

1. A. Flow Diagram and Hazard Analysis conducted and written for each kind of group of milk or milk product processed. **
   1. 1. Appendix K. II. PRELIMINARY STEPS (pg. 301)
         1. Preliminary steps as listed in the NACMCF document should be followed when producing a HACCP Plan. Complete, up-to-date process flow diagrams are required for all milk and milk products manufactured. Flow diagrams may be combined when processes, products and hazards are similar.
      2. Appendix K. II. HAZARD ANALYSIS (pg. 303)
         1. Each milk plant, receiving station or transfer station shall develop, or have developed for it, a written hazard analysis to determine whether there are milk or milk product hazards that are reasonably likely to occur for each type of milk or milk product processed or handled by the milk plant, receiving station or transfer station and to identify the control measures that the milk plant, receiving station or transfer station can apply to control those hazards.
      3. Appendix K. II. HACCP PLAN (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum: a. Include complete up-to-date process flow diagrams for all milk and milk products manufactured. Flow diagrams may be combined when processes, milk and milk products and hazards are similar.
      4. Appendix K. III. TRAINING AND STANDARDIZATION (pg. 309)
         2. Industry Personnel: Only industry individuals who have met the requirements of Part 1 of this Section shall be responsible for the following functions: a) Developing the hazard analysis, including delineating control measures, as required; Note: Job experience may qualify an individual to perform these functions if the experience has provided knowledge at least equivalent to that provided through the standardized curriculum. Standardization Note: job experience of the person(s) developing the hazard analysis will be judged based on the adequacy of the hazard analysis.
2. B. Written Hazard analysis identifies all potential milk or milk product safety hazards & determines those that are reasonably likely to occur (including hazards within & outside the processing plant environment).
   1. Appendix K. II. Hazard Analysis (pg. 303)
      1. The hazard analysis shall include hazards that can be introduced both within and outside the milk plant, receiving station or transfer station environment, including hazards that can occur during handling, transportation, processing and distribution.
      2. A hazard that is reasonably likely to occur is one for which a prudent milk plant, receiving station or transfer station operator would establish controls because experience, illness data, scientific reports, or other information provide a basis to conclude that there is a reasonable possibility that, in the absence of these controls, the hazard will occur in the particular type of milk or milk product being processed.  The hazard analysis shall be developed by an individual(s) trained in accordance with this Appendix and shall be subject to the record keeping requirements as described in this Appendix.
         1. In evaluating what milk or milk product hazards are reasonably likely to occur, at a minimum, consideration should be given to the following:
            1. Microbiological contamination;
            2. Parasites;
            3. Chemical contamination;
            4. Unlawful drug and pesticide residues;
            5. Natural toxins;
            6. Unapproved use of food or color additives;
            7. Presence of undeclared ingredients that may be allergens; and
            8. Physical hazards.
         2. Milk plant, receiving station or transfer station operators should evaluate product ingredients, processing procedures, packaging, storage, and intended use; facility and equipment function and design; and milk plant sanitation, including employee hygiene, to determine the potential effect of each on the safety of the finished milk or milk product for the intended consumer.
3. C. Written Hazard analysis reassessed after changes in raw materials, formulations, processing methods/systems, distribution, intended use or consumers.
   1. 1. Appendix K. II Verification and Validation (pg. 306)
         Editorial Note: If a HACCP plan exists, evaluate under 7C 2.
         3. Validation of the Hazard Analysis: Whenever a milk plant, receiving station or transfer station does not have a HACCP Plan, because a hazard analysis has revealed no hazards that are reasonably likely to occur, the milk plant, receiving station or transfer station shall reassess the adequacy of the hazard analysis whenever there are any changes in the process that could reasonably affect whether a hazard exists. Such changes may include changes in the following:
            1. Raw materials or source of raw materials;
            2. Product formulation;
            3. Processing methods or systems, including computers and their software;
            4. Packaging;
            5. Finished product distribution systems; or
            6. The intended use or intended consumers of the finished product; and
            7. Consumer complaints.
            A qualified individual(s) trained in accordance with the training requirements of this Appendix shall perform the validation.
4. D. Written Hazard analysis signed and dated as required.
   1. 1. Appendix K. II. Records (pg. 307)
         1. Required Records:  . . . A milk plant, receiving station or transfer station shall maintain the following records documenting the milk plant, receiving station or transfer station's HACCP System:
            1. Records documenting the ongoing application of the PP, including a brief written description, monitoring and correction records;
            2. The written hazard analysis;
            3. The written HACCP Plan . . .
         3. Documentation:
            1. The records in paragraphs 1.a. through c. of this Section shall be signed and dated by the most responsible individual onsite at the milk plant, receiving station or transfer station.  This signature shall signify that these records have been accepted by the firm.
            2. The records in paragraphs 1.a. through c. of this Section shall be signed and dated:
               1. (1) Upon initial acceptance;
               2. (2) Upon any modifications; and
               3. (3) Upon verification and validation in accordance with the requirements cited above

Section 6 HACCP PLAN CORRECTIVE ACTION

1. A. Corrective actions when defined in the HACCP plan were followed when deviations occurred.
   1. Appendix K. II. HACCP PLAN (pg. 304)
      2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
         1.  . . . e. Include any corrective action plans that have been developed in accordance with the corrective action requirements as described in this Appendix, and that are to be followed in response to deviations from CLs at CCPs;
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.
2. B. Predetermined corrective actions defined in the HACCP plan ensure the cause of the deviation is corrected.
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.
3. C. Corrective action taken for products produced during a deviation from CL(s) defined in the HACCP plan. **
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.
4. D. Affected milk or milk product produced during the deviation segregated and held, AND a review to determine product acceptability performed, AND corrective action taken to ensure that no adulterated milk and/or milk product that is injurious to health enters commerce.
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.
5. E. Cause of deviation was corrected.
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.
6. F. Reassessment of HACCP Plan performed and modified accordingly.
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.
7. G. Corrective actions documented.
   1. Appendix K. II. CORRECTIVE ACTIONS (pp. 304-305)

      Whenever a deviation from a CL occurs, a milk plant, receiving station or transfer station shall take corrective action by following the procedures set forth in 1. or 2. of this section.

      1. Milk plants, receiving stations or transfer stations may develop written corrective action plans, which become a part of their HACCP Plan(s), in accordance with this Appendix. These corrective action plans may predetermine the corrective actions that milk plants, receiving stations and transfer stations will take whenever there is a deviation from a CL.  A corrective action plan that is appropriate for a particular deviation is one (1) that describes the steps to be taken and assigns responsibility for taking those steps, to ensure that:
         1. No milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation; or
         2. If such milk or milk product has entered commerce, it is expeditiously removed; and
         3. The cause of the deviation is corrected.
      2. When a deviation from a CL occurs, and the milk plant, receiving station or transfer station does not have a corrective action plan that is appropriate for that deviation, the milk plant, receiving station or transfer station shall:
         1. Segregate and hold the affected milk or milk product, at least until the requirements of paragraphs 2.b and 2.c of this Section are met;
         2. Perform or obtain a review to determine the acceptability of the affected milk or milk product for distribution.  The review shall be performed by an individual or individuals qualified by training or experience to perform such a review;
         3. Take corrective action, when necessary, with respect to the affected milk or milk product to ensure that no milk or milk product is allowed to enter commerce that is either injurious to health or is otherwise adulterated as a result of the deviation;
         4. Take corrective action, when necessary, to correct the cause of the deviation; and
         5. Perform or obtain timely validation by a qualified individual(s), as required in this Appendix, to determine whether modification of the HACCP Plan is required to reduce the risk of recurrence of the deviation, and modify the HACCP Plan as necessary.
      3. All corrective actions taken in accordance with this Section shall be fully documented in records that are subject to verification.

Section 2 HACCP PLAN

1. A. Written HACCP plan prepared for each kind or group of milk or milk product processed. **
   1. 1. Appendix K. II. HACCP Plan (pp. 303-304)
         1. HACCP Plan: Every milk plant, receiving station or transfer station shall have and implement a written HACCP Plan whenever a hazard analysis reveals one (1) or more hazards that are reasonably likely to occur. The HACCP Plan shall be developed by an individual(s) who has been trained and shall be subject to record keeping requirements in accordance with this Appendix. A HACCP Plan shall be specific to each location and milk or milk product. The plan may group similar types of milk and milk products together, or similar types of production methods together, if the hazards, CCPs, CLs, and procedures required to be identified and performed by 2. of this Section are essentially identical, provided that any required features of the plan that are unique to a specific milk or milk product or method are clearly delineated in the plan and are observed in practice
      2. Appendix K. III.  TRAINING AND STANDARDIZATION (pg. 309)
         1. 2. Industry Personnel: Only industry individuals who have met the requirements of Part 1 of this Section shall be responsible for the following functions: b.  Developing a HACCP Plan that is appropriate for the specific milk plant, receiving station or transfer station, in order to meet these requirements; Note:  Job experience may qualify an individual to perform these functions if the experience has provided knowledge at least equivalent to that provided through the standardized curriculum.  Standardization Note:  job experience of the person(s) developing the HACCP Plan will be judged based on the adequacy of the hazard analysis.
2. B. Written HACCP plan implemented.
   1. 1. Appendix K. II. HACCP PLAN (pg. 303)
         1. HACCP Plan: Every milk plant, receiving station or transfer station shall have and implement a written HACCP Plan whenever a hazard analysis reveals one (1) or more hazards that are reasonably likely to occur.
3. C. Written HACCP plan identifies all milk or milk product safety hazards that are reasonably likely to occur.
   1. 1. Appendix K. II. HACCP Plan (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            2. List all hazards that are reasonably likely to occur as identified in the hazard analysis specified above, and that must be controlled for each type of milk or milk product . . .
         3. Sanitation: Sanitation controls may be included in the HACCP Plan. However, to the extent that they are monitored in accordance with the PPs, they need not be included in the HACCP Plan.
4. D. Written HACCP plan signed and dated as required.
   1. 1. Appendix K. II. Records (pg. 306-307):
         1. Required Records: A milk plant, receiving station or transfer station shall maintain the following records documenting the milk plant, receiving station or transfer station's HACCP System:
            1. Records documenting the ongoing application of the PP, including a brief written description, monitoring and correction records;
            2. The written hazard analysis;
            3. The written HACCP Plan . . .
         3. Documentation:
            1. The records in paragraphs 1.a. through c. of this Section shall be signed and dated by the most responsible individual onsite at the milk plant, receiving station or transfer station.  This signature shall signify that these records have been accepted by the firm.
            2. The records in paragraphs 1.a. through c. of this Section shall be signed and dated:
               1. (1) Upon initial acceptance;
               2. (2) Upon any modifications; and
               3. (3) Upon verification and validation in accordance with the requirements cited above

Section 3 HACCP PLAN CRITICAL CONTROL POINTS (CCP)

1. A. HACCP plan lists CCP(s) for each milk or milk product safety hazard identified as reasonably likely to occur.
   1. 1. Appendix K.II. HACCP PLAN (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan at a minimum: . . .
            3. List the CCPs for each of the identified hazards, including the appropriate:
               1. (1) CCPs designed to control hazards that could occur or could be introduced in the milk plant, receiving station or transfer station environment;
               2. (2) CCPs designed to control hazards introduced outside the milk plant, receiving station or transfer station environment, including hazards that occur before arriving at the milk plant, receiving station and/or transfer station; and . . .
2. B. CCP(s) identified are adequate control measures for the milk or milk product safety hazard(s) identified.
   1. 1. Appendix K.II. HACCP PLAN (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan at a minimum: . . .
            3. List the CCPs for each of the identified hazards, including the appropriate:
               1. (1) CCPs designed to control hazards that could occur or could be introduced in the milk plant, receiving station or transfer station environment;
               2. (2) CCPs designed to control hazards introduced outside the milk plant, receiving station or transfer station environment, including hazards that occur before arriving at the milk plant, receiving station and/or transfer station; and . . .
3. C. Control measures associated with CCP(s) listed are appropriate at the processing step identified.
   1. 1. Appendix K.II. HACCP PLAN (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan at a minimum: . . .
            3. List the CCPs for each of the identified hazards, including the appropriate:
               1. (1) CCPs designed to control hazards that could occur or could be introduced in the milk plant, receiving station or transfer station environment;
               2. (2) CCPs designed to control hazards introduced outside the milk plant, receiving station or transfer station environment, including hazards that occur before arriving at the milk plant, receiving station and/or transfer station; and . . .

Section 7 HACCP PLAN VERIFICATION & VALIDATION

1. A. HACCP plan defines verification procedures, including frequency.
   1. 1. Appendix K. II. HACCP PLAN (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
             . . .
            6. List the verification and validation procedures, and the frequency with which they are to be performed, that the milk plant, receiving station or transfer station will use in accordance with verification and validation requirements as described in this Appendix; and  . . .
2. B. Verification activities are conducted & comply with HACCP Plan.
   1. 1. Appendix K. II. Verification and Validation (pp. 305-306)
         1. Every milk plant, receiving station or transfer station shall verify that the HACCP System is being implemented according to design, except that critical factors for aseptically processed Grade "A" milk and milk products, as determined by the process authority and listed on the scheduled process under 21 CFR 113 shall be managed separately from the NCIMS HACCP System, even if identified as a CCP in the hazard analysis. Critical factors shall be monitored under the operating supervision of an individual who has successfully completed an approved course of instruction in low-acid canned foods as required under 21 CFR 108.35.  Compliance with the provisions of 21 CFR 113 shall satisfy the requirements of this Section, regardless of whether a critical factor has also been designated as a CCP.
            1. Verification activities shall include:
               1. (1) The calibration of CCP process-monitoring instruments, i.e., pasteurization tests, etc.;
               2. (2) At the option of the milk plant, receiving station or transfer station, the performance of periodic end-product or in-process testing;
               3. (3) A review, including signing and dating, by an individual who has been trained in accordance with the training requirements of this Appendix, of the records that document:
                  1. i) The Monitoring of CCPs: The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that the recorded document values are within the CLs.  This review shall occur at a frequency that is appropriate to the importance of the record and as specified in the HACCP Plan
                  2. ii) The Taking of Corrective Action: The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that appropriate corrective action(s) was taken in accordance with the corrective action requirements cited before.  This review shall occur at a frequency that is appropriate to the importance of the record. A centralized deviation log is required; and
                  3. iii) The calibrating of any process monitoring instruments used at CCPs and the performance of any periodic end-product or in-process testing that is part of the milk plant, receiving station or transfer station's verification activities.

                     The purpose of these reviews shall be, at a minimum, to ensure that the records are complete and that these activities occurred in accordance with the milk plant's, receiving station's or transfer station's written procedures. These reviews shall occur within a reasonable time after the records are made.

               4. (4) The taking of corrective action procedures whenever any verification procedure establishes the need to take a corrective action.
3. C. Reassessment of HACCP plan conducted annually, OR
   1. 1. Editorial Note: Validation of a HACCP plan starts with the flow diagram and hazard analysis
      2. Appendix K. II. Verification and Validation (pg. 306)
         2. Validation of the HACCP Plan:  Every milk plant, receiving station or transfer station shall validate that the HACCP Plan is adequate to control hazards that are reasonably likely to occur.  This validation shall occur at least once within twelve (12) months after implementation and at least annually thereafter or whenever any changes in the process occur that could affect the hazard analysis or alter the HACCP Plan.  Such changes may include changes in the following:
            1. Raw materials or source of raw materials; product formulation; processing methods or systems, including computers and their software; packaging; finished product distribution systems; or the intended use or intended consumers of the finished product and consumer complaints.

            The validation shall be performed by a qualified individual(s) trained in accordance with the requirements described in this Appendix and shall be subject to the record keeping requirements cited below.  The HACCP Plan shall be modified immediately whenever a validation reveals that the plan is no longer adequate to fully meet the requirements of this document.

   1. 1. After changes that could affect the hazard analysis, OR
   2. 2. After significant changes in the operation including raw materials and/or source, product formulation, processing methods/systems, distribution intended use or intended consumer.
4. D. Calibration of CCP process monitoring instruments performed as required and at the frequency defined in the HACCP plan. **
   1. 1. Standardization Note: Includes PMO required equipment testing.
         Appendix K. II. Verification and Validation (pg. 306)
         1. Verification . . .
            2. The calibration of CCP process-monitoring instruments, and the performance of any periodic end-product and in-process testing, in accordance with 1.a.(3) ii) and 1.a.(3)iii) of this Section, shall be documented in records that are subject to the record keeping requirements in this Appendix.
5. E. CCP monitoring records reviewed and document that values are within CL(s) as required.
   1. 1. Standardization Note: Required Pasteurizer Charts Evaluated here
         Appendix K. II. Verification and Validation (pp. 305-306)
         1. a. (3) A review, including signing and dating, by an individual who has been trained in accordance with the training requirements of this Appendix, of the records that document:
            1. i) The Monitoring of CCPs: The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that the recorded document values are within the CLs.  This review shall occur at a frequency that is appropriate to the importance of the record and as specified in the HACCP Plan
            2. ii) The Taking of Corrective Action:  The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that appropriate corrective action(s) was taken in accordance with the corrective action requirements cited before.  This review shall occur at a frequency that is appropriate to the importance of the record. A centralized deviation log is required; and
            3. iii) The calibrating of any process monitoring instruments used at CCPs and the performance of any periodic end-product or in-process testing that is part of the milk plant, receiving station or transfer station's verification activities.

               The purpose of these reviews shall be, at a minimum, to ensure that the records are complete and that these activities occurred in accordance with the milk plant's, receiving station's or transfer station's written procedures.  These reviews shall occur within a reasonable time after the records are made.

6. F. Corrective action record reviewed as required.
   1. 1. Appendix K. II. Verification and Validation (pp. 305-306)
         1. a. (3) A review, including signing and dating, by an individual who has been trained in accordance with the training requirements of this Appendix, of the records that document:
            1. i) The Monitoring of CCPs: The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that the recorded document values are within the CLs.  This review shall occur at a frequency that is appropriate to the importance of the record and as specified in the HACCP Plan
            2. ii) The Taking of Corrective Action:  The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that appropriate corrective action(s) was taken in accordance with the corrective action requirements cited before.  This review shall occur at a frequency that is appropriate to the importance of the record. A centralized deviation log is required; and
            3. iii) The calibrating of any process monitoring instruments used at CCPs and the performance of any periodic end-product or in-process testing that is part of the milk plant, receiving station or transfer station's verification activities.

               The purpose of these reviews shall be, at a minimum, to ensure that the records are complete and that these activities occurred in accordance with the milk plant's, receiving station's or transfer station's written procedures.  These reviews shall occur within a reasonable time after the records are made.

7. G. Calibration records and end product or in process testing results defined in HACCP Plan reviewed as required.
   1. 1. Appendix K. II. Verification and Validation (pp. 305-306)
         1. a. (3) A review, including signing and dating, by an individual who has been trained in accordance with the training requirements of this Appendix, of the records that document:
            1. i) The Monitoring of CCPs: The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that the recorded document values are within the CLs.  This review shall occur at a frequency that is appropriate to the importance of the record and as specified in the HACCP Plan
            2. ii) The Taking of Corrective Action:  The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that appropriate corrective action(s) was taken in accordance with the corrective action requirements cited before.  This review shall occur at a frequency that is appropriate to the importance of the record. A centralized deviation log is required; and
            3. iii) The calibrating of any process monitoring instruments used at CCPs and the performance of any periodic end-product or in-process testing that is part of the milk plant, receiving station or transfer station's verification activities.

               The purpose of these reviews shall be, at a minimum, to ensure that the records are complete and that these activities occurred in accordance with the milk plant's, receiving station's or transfer station's written procedures.  These reviews shall occur within a reasonable time after the records are made.

8. H. Records reviewed as required - including date and signature.
   1. 1. Appendix K. II. Verification and Validation (pp. 305-306)
         1. a. (3) A review, including signing and dating, by an individual who has been trained in accordance with the training requirements of this Appendix, of the records that document:
            1. i) The Monitoring of CCPs: The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that the recorded document values are within the CLs.  This review shall occur at a frequency that is appropriate to the importance of the record and as specified in the HACCP Plan
            2. ii) The Taking of Corrective Action:  The purpose of this review shall be, at a minimum, to ensure that the records are complete and to verify that appropriate corrective action(s) was taken in accordance with the corrective action requirements cited before.  This review shall occur at a frequency that is appropriate to the importance of the record. A centralized deviation log is required; and
            3. iii) The calibrating of any process monitoring instruments used at CCPs and the performance of any periodic end-product or in-process testing that is part of the milk plant, receiving station or transfer station's verification activities.

               The purpose of these reviews shall be, at a minimum, to ensure that the records are complete and that these activities occurred in accordance with the milk plant's, receiving station's or transfer station's written procedures.  These reviews shall occur within a reasonable time after the records are made.

Section 4 HACCP PLAN CRITICAL LIMITS (CL)

1. A. HACCP plan lists critical limits for each CCP.
   1. 1. Appendix K.II. HACCP PLAN (pg. 304)
         1. 2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . c. (3) List the CLs that shall be met at each of the CCPs.
2. B. CL(s) are adequate to control the hazard identified. **
   1. 1. PMO. Sec 1.Q-7 (pg. 4)

         CRITICAL LIMIT (CL): Critical a maximum or minimum value to which a biological, chemical or physical parameter must be controlled at a CCP to prevent, eliminate, or reduce to an acceptable level the occurrence of a milk or milk product safety hazard.

3. C. CL(s) are achievable with existing monitoring instruments or procedures.
   1. 1. Appendix K.II. HACCP PLAN (pg. 304)
         1. 2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . d. List the procedures and the frequency with which they are to be performed that will be used to monitor each of the CCPs to ensure compliance with the CLs
4. D. CL(s) are met.
   1. 1. Appendix K.II. HACCP PLAN (pg. 304)
         1. 2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . c. (3) List the CLs that shall be met at each of the CCPs.

Section 5 HACCP PLAN MONITORING

1. A. HACCP plan defines monitoring procedures for each CCP.
   ( what, how, frequency, whom)
   1. 1. Appendix K. II. HACCP PLAN (pg. 304)
         1. 2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . d. List the procedures (standardization note:  what, how, whom) and the frequency with which they are to be performed that will be used to monitor each of the CCPs to ensure compliance with the CLs;
2. B. Monitoring procedures as defined in the HACCP plan followed.
   1. 1. Appendix K. II. HACCP PLAN (pg. 304)
         1. 2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . g. Provide a record keeping system that documents the monitoring of the CCPs in accordance with the record requirements as described in this Appendix.  The records shall contain the actual values and observations obtained during monitoring.
3. C. Monitoring procedures as defined in the HACCP plan adequately measure CL(s) at each CCP.
   1. 1. Appendix K. II. HACCP PLAN (pg. 304)
         1. 2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . d. List the procedures (standardization note:  what, how, whom) and the frequency with which they are to be performed that will be used to monitor each of the CCPs to ensure compliance with the CLs;
4. D. Monitoring record data consistent with the actual value(s) observed during the audit.
   1. 1. Appendix K. II. HACCP PLAN (pg. 304)
         2. Contents of the HACCP Plan: The HACCP Plan shall, at a minimum:
            1.  . . . g. Provide a record keeping system that documents the monitoring of the CCPs in accordance with the record requirements as described in this Appendix.  The records shall contain the actual values and observations obtained during monitoring.
         Appendix K. II.  RECORDS (pg. 307)
         1. Required Records: . . .
            1. g. Records documenting the ongoing application of the HACCP Plan that include:
               1. (1) Monitoring of CCPs and their CLs, including the recording of actual times, temperatures, or other measurements, as prescribed in the milk plant’s, receiving station’s or transfer station’s HACCP Plan;

ITEMS MARKED DID NOT MEET THE NCIMS HACCP PROGRAM CRITERIA DESCRIBED BELOW

Starred ** are Critical Listing Elements

Section 8 HACCP SYSTEM RECORDS

1. A. Required information included in the record - e.g. name/location of processor and/or date/time of activity and/or signature/initials of person performing operation and/or identity of product/product code.
   1. 1. Appendix K. II. RECORDS  (pg. 307)
         1. Required Records:  . . . d. Required HACCP documents and forms specified in 1.a. through c. of this Section shall be dated or identified with a version number.  Each page shall be marked with a new date or version number whenever that page is updated;
            1. e. A Table of Contents and centralized list of the HACCP program records, by title, documenting the ongoing application of the HACCP System shall be maintained and provided for review;
            2. f. A document change log;
            3. g. Records documenting the ongoing application of the HACCP Plan that include:
               1. (1) Monitoring of CCPs and their CLs, including the recording of actual times, temperatures, or other measurements, as prescribed in the milk plant’s, receiving station’s or transfer station’s HACCP Plan;
               2. (2) Corrective actions, including all actions taken in response to a deviation;
               3. (3) A centralized deviation log is required; and
               4. (4) Plan validation dates.
            4. h. Records documenting verification and validation of the HACCP System, including the HACCP Plan, hazard analysis and PPs.
         2. General Requirements: Records required by this Section shall include:
            1. The identity and location of the milk plant, receiving station or transfer station;
            2. The date and time of the activity that the record reflects;
            3. The signature or initials of the person(s) performing the operation or creating the record; and
            4. Where appropriate, the identity of the milk or milk product and the production code, if any.  Processing and other information shall be entered on records at the time that it is observed.  The records shall contain the actual values and observations obtained during monitoring.
2. B. Processing/other information entered on record at time observed.
   1. 1. Appendix K. II. RECORDS (pg. 307)
         1. 2. General Requirements: Records required by this Section shall include: d.  . . . Processing and other information shall be entered on records at the time that it is observed.   . . .
3. C. Records retained as required - e.g. one year for refrigerated products and two years for preserved, shelf-stable or frozen products.
   1. 1. Appendix K. II. RECORDS (pg. 307)
         1. 4. Record Retention a. All records, required by this Section, shall be retained at the milk plant, receiving station or transfer station for perishable or refrigerated products, for at least one (1) year after the date that such products were prepared, and in the case of frozen, preserved, or shelf-stable products, for two (2) years after the date that the products were prepared or the shelf-life of the product, whichever is greater, unless longer retention time is required by other regulations.
4. D. Records relating to adequacy of equipment or processes retained for 2 years.
   1. 1. Appendix K. II. RECORDS (pp. 307-308)
         1. 4. Record Retention b. Records that relate to the adequacy of equipment or processes used, such as commissioning or process validation records, including the results of scientific studies and evaluations, shall be retained at the milk plant, receiving station or transfer station facility for at least two (2) years after the date that the milk plant, receiving station or transfer station last used such equipment or process.
5. E. HACCP records correct, complete and available for official review
   1. 1. Appendix K. II. RECORDS (pp. 307-308)
         1. 1. Required Records: It is essential that milk plants, receiving stations and transfer stations use consistent terminology to identify each piece of equipment, record, document, or other program throughout their written HACCP System.
         2. 4. Record Retention c. Off-site storage of processing records is permitted after six (6) months following the date that the monitoring occurred, if such records can be retrieved and provided on-site within twenty-four (24) hours of a request for official review. Electronic records are considered to be on-site if they are accessible from an on-site location.
            1. d. If the processing facility is closed for a prolonged period, the records may be transferred to some other reasonably accessible location(s) but shall be immediately returned to the processing facility for official review upon request.
         3. 5. Official Review: All records required by this Section shall be available for official review at reasonable times.
         4. 6. Records Maintained on Computers: the maintenance of records on computers, in accordance with the requirements cited above, is acceptable.
6. F. Information on HACCP records not falsified. **
   1. 1. Appendix K. II. RECORDS

         (applies to all records required under Appendix K)

Section 10 OTHER NCIMS REQUIREMENTS

1. A. Incoming milk supply from NCIMS listed source(s) with sanitation scores of 90 or better or acceptable HACCP Listing. **
   1. 1. See PMO Section 11
2. B. Drug residue control program implemented. **
   1. 1. See PMO Section 7 Table 1 and Appendix N
3. C. Drug residue control program records complete.
   1. 1. See PMO Appendix N
4. D. Labeling compliance as required.
   1. 1. See PMO Section 4
5. E. Prevention of adulteration of milk products.
   1. 1. See PMO Sections 2 and 5 specifically critical processing element violations #1, 2, and 3.
6. F. Regulatory samples comply with standards.
   1. 1. See PMO Section 7 Table 1 and Section 6 specifically: "Each milk plant regulated under the NCIMS HACCP Program shall adequately document it’s response to each regulatory sample test result that exceeds any maximum level specified in Section 7 of this Ordinance."
7. G. Pasteurization Equipment design and construction.
   1. 1. See PMO Section 7 16p, and Appendix H
8. H. Approved Laboratory Utilized - (if not, Rating not conducted)
   1. 1. See PMO Section 6.  Note:  " . . . samples shall be analyzed at an appropriate official or officially designated laboratory."  See Appendix N. III,
9. I. Other items as noted.
   1. 1. PMO various and Appendix K. II. PREREQUISITE PROGRAMS (pg. 302)

         "HACCP may be implemented only in a facility that is constructed and operated to provide a sanitary environment.  Milk plant, receiving station or transfer premises, building construction, maintenance, and housekeeping shall be maintained in a manner sufficient to provide such an environment.  These factors shall be controlled by effective milk plant, receiving station or transfer station chooses."

         Appendix K. IV. HACCP AUDITS AND FOLLOW-UP ACTIONS (pg. 310)
         AUDITING PROCEDURES:

         *NOTE: Examples of Other Applicable NCIMS Requirements:

         1. Raw Milk Supply Source;
         2. Labeling Compliance;
         3. Adulteration;
         4. Licensing Requirements;
         5. Drug Residue Testing and Traceback Requirements;
         6. Regulatory Samples in Compliance;
         7. Approved Laboratory Utilized for the Required Regulatory Tests; and
         8. Pasteurization Equipment Design and Installation.

Section 9 HACCP SYSTEM PREREQUISITE PROGRAMS (PPs)

1. A. Required PP written, implemented and in substantial compliance by firm.
   1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
         1. Required PPs: The following required PPs shall have a brief written description or checklist that the PPs can be audited against to ensure compliance. PPs shall include procedures that can be monitored; records that specify what is monitored; and how often it will be monitored. Each milk plant, receiving station or transfer station shall have and implement PPs that address conditions and practices before, during, and after processing.
   1. 1. Safety of the water that comes into contact with milk or milk contact surfaces (including steam and ice);
      1. 1. Appendix K .II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:  . . . The PPs shall address:
               1. Safety of the water that comes into contact with milk or milk products or product-contact surfaces, including steam and ice; . . .
   2. 2. Condition and cleanliness of equipment milk contact surface.
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:  . . . The PPs shall address:
               1. b.  Condition and cleanliness of equipment product-contact surface;
   3. 3. Prevention of cross contamination from unsanitary objects and/or practices to milk and milk products, packaging material and other milk contact surfaces, including utensils, gloves, outer garments, etc, and from raw product to processed product;
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:   . . . The PPs shall address:
               1. c. Prevention of cross-contamination from insanitary objects and or practices to milk or milk products or product-contact surfaces, packaging material and other food-contact surfaces, including utensils, gloves, outer garments, etc., and from raw product to processed product;
   4. 4. Maintenance of hand washing, hand sanitizing, and toilet facilities;
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:  . . . The PPs shall address:
               1. d. Maintenance of handwashing, hand sanitizing, and toilet facilities;
   5. 5. Protection of milk and milk product, milk packaging material, and milk contact surfaces from adulteration with lubricants, fuel, pesticides, cleaning compounds, sanitizing agents, condensate and other chemical, physical and biological contaminants;
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:  . . . The PPs shall address:
               1. e.  Protection of milk or milk product, packaging material, and product-contact surfaces from adulteration with lubricants, fuel, pesticides, cleaning compounds, sanitizing agents, condensate and other chemical, physical and biological contaminants;
   6. 6. Proper labeling, storage, and use of toxic compounds.
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:  . . . The PPs shall address:
               1. f.  Proper labeling, storage, and use of toxic compounds;
   7. 7. Control of employee health conditions that could result in the microbiological contamination of milk and milk products, milk packaging materials, and milk contact surfaces; and
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:  . . . The PPs shall address:
               1. g. Control of employee health conditions, including employee exposure to high risk situations, that could result in the microbiological contamination of milk or milk products, packaging materials, and product-contact surfaces; and
   8. 8. Pest exclusion from the milk plant, receiving station, or transfer station.
      1. 1. Appendix K. II. PREREQUISITE PROGRAM (pg. 302)
            1. Required PPs:   . . . The PPs shall address:
               1. h.  Pest exclusion from the milk plant.
2. B. Additional PP's required or justified by the hazard analysis are written and implemented by firm.
   1. 1. Appendix K. II. Prerequisite Program (pg. 302)
         1. Required PPs:  . . . In addition to the required PPs specified above, any other PPs that are being relied upon in the Hazard Analysis to reduce the likelihood of hazards such that they are not reasonably likely to occur, shall also be monitored, audited, and documented as required PPs.
3. C. PP conditions and practices monitored as required
   1. 1. Appendix K. II. Prerequisite Program (pg. 302-303)
         2. Monitoring and Correction: The milk plant, receiving station or transfer station shall monitor the conditions and practices of all required PPs with sufficient frequency to ensure conformance with those conditions and that are appropriate both to the milk plant, receiving station or transfer station and to the safety of the milk or milk product being processed.  Each milk plant, receiving station or transfer station shall document the correction of those conditions and practices that are not in conformance. Devices, such as indicating and recording thermometers that are used to monitor PPs shall be calibrated to assure accuracy at a frequency determined by the milk plant, receiving station, or transfer station.
         3. Required Records: Each milk plant, receiving station or transfer station shall maintain records that document the monitoring and corrections required by this Appendix. These records are subject to the record keeping requirements of this Appendix.
4. D. PP monitoring performed at a frequency to ensure conformance.
   1. 1. Appendix K. II. Prerequisite Program (pg. 302-303)
         2. Monitoring and Correction: The milk plant, receiving station or transfer station shall monitor the conditions and practices of all required PPs with sufficient frequency to ensure conformance with those conditions and that are appropriate both to the milk plant, receiving station or transfer station and to the safety of the milk or milk product being processed.  Each milk plant, receiving station or transfer station shall document the correction of those conditions and practices that are not in conformance. Devices, such as indicating and recording thermometers that are used to monitor PPs shall be calibrated to assure accuracy at a frequency determined by the milk plant, receiving station, or transfer station.
5. E. Corrections performed in a timely manner when PP monitoring records reflect deficiencies or non-conformities.
   1. 1. Appendix K. II. Prerequisite Program (pg. 302-303)
         2. Monitoring and Correction: The milk plant, receiving station or transfer station shall monitor the conditions and practices of all required PPs with sufficient frequency to ensure conformance with those conditions and that are appropriate both to the milk plant, receiving station or transfer station and to the safety of the milk or milk product being processed. Each milk plant, receiving station or transfer station shall document the correction of those conditions and practices that are not in conformance. Devices, such as indicating and recording thermometers that are used to monitor PPs shall be calibrated to assure accuracy at a frequency determined by the milk plant, receiving station, or transfer station.
         3. Required Records: Each milk plant, receiving station or transfer station shall maintain records that document the monitoring and corrections required by this Appendix. These records are subject to the record keeping requirements of this Appendix.
6. F. PP audited by firm.
   1. 1. Appendix K. II. Prerequisite Program (pg. 302 third paragraph in introductory text)
         1.  . . . The exact set of PPs will vary  . . . PPs should be documented and regularly audited. An audit review consists of verifying that the company has a program implemented that indicates how the company monitors and controls each of the PPs.   . . .
7. G. PP monitoring records adequately reflect conditions observed.
   1. 1. Appendix K. II. RECORDS (pg. 307)
         1. 2. General Requirements: Records required by this Section shall include:  d.  . . . The records shall contain the actual values and observations obtained during monitoring.
8. H. Prerequisite program signed and dated as required.
   1. 1. Appendix K.  II. Records (pp. 306-307)
         1. Required Records:  . . . A milk plant, receiving station or transfer station shall maintain the following records documenting the milk plant, receiving station or transfer station's HACCP System:
            1. Records documenting the ongoing application of the PP, including a brief written description, monitoring and correction records;
            2. The written hazard analysis;
            3. The written HACCP Plan . . .
         3. Documentation:
            1. The records in paragraphs 1.a. through c. of this Section shall be signed and dated by the most responsible individual onsite at the milk plant, receiving station or transfer station.  This signature shall signify that these records have been accepted by the firm.
            2. The records in paragraphs 1.a. through c. of this Section shall be signed and dated:
               1. (1) Upon initial acceptance;
               2. (2) Upon any modifications; and
               3. (3) Upon verification and validation in accordance with the requirements cited above.

Section 11 HACCP SYSTEM TRAINING

1. A. Employees trained in monitoring operations.
   1. 1. Appendix K. III. TRAINING AND STANDARIZATION (pg. 308)

         Employee Education and Training: The success of a HACCP system depends on educating and training management and employees in the importance for their role in producing safe milk and milk products. This should also include information in the control of milk borne hazards related to all stages of dairy production and processing.  Specific training activities should include working instructions and procedures that outline the tasks of employees monitoring specific CCPs and PPs.

         Appendix K. IV. TRAINING AND STANDARIZATION (pg. 308)

         HACCP training for industry and regulatory personnel will be based on the current "Hazard Analysis and Critical Control Point Principles and Application Guidelines" of NACMCF, the current FDA HACCP recommendations, and the regulatory requirements of this Appendix and related Sections of this Ordinance. 

2. B. HACCP plan reassessment performed by trained individual.
   1. 1. Appendix K. II. Verification and Validation (pg. 306)
         1. 2. Validation of the HACCP Plan:  . . . The validation shall be performed by a qualified individual(s) trained in accordance with the requirements described in this Appendix and shall be subject to the record keeping requirements cited below.   . . .
         2. 3.  Validation of the Hazard Analysis:   . . . a qualified individual(s) trained in accordance with the requirements described of this Appendix and shall perform the validation.
         Appendix K . IV. Training and Standardization (pg. 309)

         HACCP TRAINING:  . . . 2. Industry Personnel:  . . . c. Validating and modifying the HACCP Plan in accordance with the corrective action procedures and the validation activities as specified;  . . .

3. C. Records review performed by trained individual.
   1. 1. Appendix K. II. Verification and Validation (pg. 305)
         1. Verification:  . . . a. Verification activities shall include:  . . . (3) A review, including signing and dating, by an individual who has been trained in accordance with the training requirements of this Appendix, of the records that document:  . . .
         Appendix K. IV. Training and Standardization (pg. 309)

         HACCP TRAINING:  . . . 2. Industry Personnel:  . . . d. Performing required HACCP Plan records reviews.

4. D. Employees trained in PP operations.
   1. 1. Appendix K.  III. TRAINING AND STANDARIZATION (pg. 308)

         Employee Education and Training: The success of a HACCP system depends on educating and training management and employees in the importance for their role in producing safe milk and milk products.  This should also include information in the control of foodborne hazards related to all stages of dairy production.  Specific training activities should include working instructions and procedures that outline the tasks of employees monitoring specific CCPs and PPs.

Section 12 HACCP SYSTEM AUDIT FOLLOW-UP ACTION

1. A. Previous audit findings corrected.
   1. 1. Appendix K. IV. HACCP AUDITS AND FOLLOW-UP ACTIONS (pg. 310)

         State Regulatory Enforcement Action/Follow-Up:  The State Regulatory Agency shall:

         1.  . . . 3.  Follow-up to ensure corrections are made as a result of the issuance of the AR;  . . .
2. B. Previous audit findings remain corrected at time of this audit.
   1. 1. Appendix K. IV. HACCP AUDITS AND FOLLOW-UP ACTIONS (pg. 310)

         State Regulatory Enforcement Action/Follow-Up:  The State Regulatory Agency shall:

         1.  . . . 5.  Initiate regulatory enforcement action, such as permit suspension, revocation, hearings, court actions, and/or other equivalent measures when the milk plant, receiving station or transfer station has failed to recognize or correct a deficiencies(ies) or non-conformity(ies).
3. C. State Milk Plant, Receiving Station or Transfer Station HACCP SYSTEM AUDIT REPORT issued and follow- up conducted as required (HACCP Listing Audits & FDA Audits only).
   1. 1. Appendix K.  III. TRAINING AND STANDARDIZATION (pg. 309)

         HACCP TRAINING:

         3. Regulatory Personnel: Regulatory personnel performing HACCP audits shall have successfully completed appropriate training in the application of HACCP principles for milk and milk product processing at least equivalent to that received under the Dairy HACCP Core Curriculum.
      2. Appendix K. IV. HACCP AUDITS AND FOLLOW-UP ACTIONS (pp. 309-311)

         STATE REGULATORY AUDITS, ENFORCEMENT AUDITS, ACTIONS AND FOLLOW-UP: Audits shall be conducted of the milk plant, receiving station, or transfer station facility, and NCIMS HACCP Program to ensure compliance with the HACCP System and other associated NCIMS regulatory requirements.

         The audit may be announced at the discretion of the auditor under certain circumstances, i.e., initial audit, follow-up audit, new construction, pasteurizer checks, etc. When unannounced audits are conducted, the audits shall not be completed until appropriate milk plant personnel have had an opportunity to make all pertinent records available for review by the auditor.

         AUDITING PROCEDURES:

         1. Pre-Audit Management Interview: Review and discuss the milk plant HACCP System including:
            1. Changes in the management structure;
            2. The Hazard Analysis - Ensure that all milk or milk product hazards are addressed;
            3. Changes in the HACCP Plan;
            4. Changes in the PPs;
            5. Changes in the flow diagram; and
            6. Changes in milk or milk products or processes.
         2. Review past Audit Reports (AR) and corrections of deficiencies and non-conformities, if any;
         3. In-milk plant review of the implementation and verification of the HACCP System;
         4. Review records of the HACCP System;
         5. Review compliance with other applicable NCIMS regulatory requirements*;
         6. Discuss findings and observations;
         7. Prepare and issue an AR based on findings of deficiencies and non-conformities. The AR shall include timelines for the correction of all identified deficiencies and non-conformities; and
         8. Conduct the exit interview.

         *NOTE: Examples of Other Applicable NCIMS Requirements:

         1. Raw Milk Supply Source;
         2. Labeling Compliance;
         3. Adulteration;
         4. Licensing Requirements;
         5. Drug Residue Testing and Traceback Requirements;
         6. Regulatory Samples in Compliance;
         7. Approved Laboratory Utilized for the Required Regulatory Tests; and
         8. Pasteurization Equipment Design and Installation.

         State Regulatory Enforcement Action/Follow-Up: The State Regulatory Agency shall:

         1. Prepare and issue ARs based on findings of deficiencies and non-conformities and other NCIMS requirements;
         2. Review the AR with the milk plant and establish time lines for the correction of all identified deficiencies and non-conformities and other NCIMS requirements;
         3. Follow-up to ensure corrections are made as a result of the issuance of the AR;
         4. Take immediate action when an imminent health hazard is observed to prevent further movement of milk and milk products until such hazards have been eliminated; and
         5. Initiate regulatory enforcement action, such as permit suspension, revocation, hearings, court actions, and/or other equivalent measures when the milk plant, receiving station or transfer station has failed to recognize or correct a deficiency(ies) or nonconformity(ies).

         Audit Timeframes

         Audits	Frequency Minimums
         First Year after Initial Regulatory Audit:	Initial audit; Next audit in thirty (30) to forty-five (45) days; and four (4) month intervals thereafter, unless the Regulatory Agency determines that a greater frequency is warranted.
         Subsequent Audits	Every six (6) months unless the Regulatory Agency determines that a greater frequency is warranted*.
         Compliance Follow-Ups	Compliance follow-ups shall be made as frequently as necessary to assure that problems observed by the Regulatory Agency have been resolved.

         *The Regulatory Agency may elect to extend the minimum audit frequency from four (4) to six (6) months as long as the following conditions exist:

         1. Item 12b of the MILK PLANT, RECEIVING STATION OR TRANSFER STATION NCIMS HACCP SYSTEM AUDIT REPORT is not marked on the regulatory audit for the current HACCP audit;
         2. No current two (2) out of four (4) warning letter(s) or three (3) out of five (5) violation letter(s) for finished milk or milk product, or violative water sample results; and
         3. No CLEs on the current or prior audit.
4. D. A series of observations that lead to a finding of a potential HACCP System failure that is likely to result in a compromise to milk or milk product safety. **
   1. 1. PROCEDURES GOVERNING THE COOPERATIVE STATE-PUBLIC HEALTH SERVICE/FOOD AND DRUG ADMINISTRATION PROGRAM OF THE NATIONAL CONFERENCE ON INTERSTATE MILK SHIPMENTS, SECTION VIII. PROCEDURES GOVERNING THE CERTIFICATION OF MILK PLANT, RECEIVING STATION AND TRANSFER STATION NCIMS HACCP SYSTEMS FOR IMS LISTED SHIPPERS, D. STATE HACCP RESPONSIBILITIES, 6. Challenges and Remedies, c. Action to be Taken if the PHS/FDA HACCP Audit Indicates the Listing is Not Justified, 2.) Milk Plants, Receiving Stations and/or Transfer Stations, C.) Withdrawal of Certification, ii.) Significant deficiencies involving one (1) or more CLE’s . . .
         1. 8. HACCP SYSTEM AUDIT FOLLOW-UP ACTIONS: A series of observations that lead to a finding of a potential HACCP System failure that is likely to result in a compromise to milk or milk product safety.

EXPLANATION OF DEVIATIONS/DEFICIENCIES/NON-CONFORMITIES THAT DID NOT MEET THE NCIMS HACCP PROGRAM CRITERIA.

(Use additional sheets as necessary.)