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SCHEME MANUALVERSION 6.0

Scheme Manual

Effective from: 1st April 2015

GTAS Scheme Manual.Published by Gafta: GTAS © Version 6.0

effective from 1st April 2015

SCHEME MANUAL

SCHEME MANUAL

CONTENTS

GAFTA TRADE ASSURANCE SCHEME 1

2 Introduction2 Trading and Merchanting2 Supervision, Sampling and Weighing3 Analysis and Testing3 Fumigation and Pest Control3 Bulk Storage and Handling3 Transport of Goods by Road3 Sanitary and Phytosanitary Controls3 Contaminants3 Introduction to HACCP4 EU Renewable Energy Directive4 International Database Transport of Feed4 Traceability and Labelling4 EU Legislative Requirements5 Recall and Withdrawal5 GTAS Rules, Regulations and Codes of Conduct5 Arbitration and Dispute Resolution5 Certification5 Mutual Recognition of Schemes5 Complaints Procedure6 Reference Materials8 Scheme Operating Protocols

13 Appendix 1: General Definitions15 Appendix 2: Introduction to HACCP

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1.0 Introduction The Grain and Feed Trade Association (Gafta) is the international Association representing trading companies supplying grain, animal feed materials, pulses and rice world-wide (the ‘trade’). The international commodities' chain of supply starts with the grower, whose crops are processed and consumed in a wide range of products. At every link of the supply and demand chain there are prospective sellers and buyers (traders) whose commercial interaction creates the international food and feed markets.

The objective of the trade is to deliver safe and wholesome goods to satisfy its customers, and to assure that goods are being traded, handled and transported according to the best professional practices, to maintain consumer confidence.

The GAFTA Trade Assurance Scheme (GTAS) which comprises the Gafta International Standard of Best Trade Practice, supported by best practice Manuals (in six separate modules) and Certification (audit) process, covers each stage in the supply chain from farm in country of origin to the final delivery to end-user in the country of destination.

The central pillar of the Gafta Trade Assurance Scheme is the requirement to apply HACCP principles at all stages of the trading, handling and transportation of goods (see 10.0 introduction to HACCP).

The stages of the trading and supply chain are reflected in the following Manuals:

• Trading and Merchanting (including Brokerage) • Bulk Storage and Handling • Transport of Goods by Road • Analysis and Testing • Supervision, Sampling and Weighing • Fumigation and Pest Control

2.0 Trading and Merchanting The Gafta Trade Assurance Scheme includes best practice guidance comprising a set of minimum standards of best practice for companies and individuals operating as Traders or Merchants, who trade and handle goods, including imports and exports intended for use as food or feed.

Traders are required to buy on written contract forms and only from suppliers operating under this standard or an equivalent standard approved by Gafta.

2.1 Transport by sea, waterway, rail or container Responsibility for the arrangement of the required transport by waterway, sea or rail is set out in the contract for the supply of goods.

It is essential for the safety of the goods that a Loading Compartment Inspection (LCI) of the cargo hold be undertaken prior to the commencement of loading and security must be constantly maintained during the loading process.

Traders will be audited to ensure that procedures are in place to ensure that the required standard of transport is arranged and that the correct procedures are followed to ensure the suitability of the modes of transport before commencing transport operations.

2.2 Brokerage The Gafta Trade Assurance Scheme includes best practice guidance on the operations and conduct of brokerage companies in accordance with the contracting parties’ instructions and the GTAS Rules and Code of Conduct for Brokers.

For full details please see the Trading and Merchanting Manual

3.0 Supervision, Sampling and Weighing The Gafta Trade Assurance Scheme provides best practice guidance on loading and discharge supervision operations to ensure that the quality and integrity of the goods are maintained throughout these operations under the supervisory role of the Gafta Approved/GTAS Certified Superintendent.

Traders are required to appoint Superintendents in accordance with their contractual obligations. Where Gafta contracts apply this must be from the Gafta Register of Approved Superintendents. Where other types of contract apply this must be from the list of GTAS Certified Superintendents and/or from the Gafta Register of Approved Superintendents. Superintending operations must be undertaken in accordance with the applicable contract and any instructions given by the contracting parties.

Written procedures must exist for sampling, testing and weighing operations.

For full details please see the Supervision, Sampling and Weighing manual.


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4.0 Analysis and Testing Stores, silos and other handling places that have quality testing facilities must comply with the Code of Practice for Analysis and Testing Facilities that forms part of the Gafta Trade Assurance Scheme.

The key points of control are the requirement for regular proficiency testing and the application of Rules and Code of Conduct concerning independence, neutrality, sub-contracting, sample retention and the issuing of reports/certificates.

For full details please see the Analysis and Testing Manual

5.0 Fumigation and Pest Control The Gafta Trade Assurance Scheme provides best practice guidance for the implementation and management of a critical control programme necessary to protect against, monitor, and treat the ingress of pests into stores and stored commodities. In addition, the specialised area of fumigation is covered both in-ship and in-store or silo, where the best practice requires the use of fully trained GTAS certified fumigation experts.

For full details please see the Fumigation and Pest Control Manual

6.0 Bulk Storage and Handling The Gafta Trade Assurance Scheme Manual of best practice must be followed for the storage and handling of combinable crops and dry, moist and liquid feed materials. It endeavours to ensure that the quality and condition of the goods when placed in store will be maintained throughout the storage period by the storekeeper in accordance with HACCP principles. Handling and storage must be performed by operators with clear management systems and rules as laid down in the Gafta Trade Assurance Scheme, or in accordance with an equivalent scheme recognised by Gafta that takes into consideration the legal requirements of competent authorities.

For full details please see the Bulk Storage and Handling Manual

7.0 Transport of Goods by Road Transport must be performed by operators with clear management systems and rules as laid down in the Gafta Trade Assurance Scheme or in accordance with an equivalent scheme recognised by Gafta that takes into consideration the legal requirements of the competent authorities.

The best practice is provided on the transport of combinable crops and dry, moist and liquid feed materials to ensure that the quality and condition of the goods will be maintained and that the risk of contamination is eliminated, and where this is not possible, minimised and controlled.

For full details please see the Transport of goods by Road Manual

8.0 Sanitary and Phytosanitary Controls Cross-border movements may require compliance with the importing country’s Sanitary and/or Phytosanitary controls. Identifying the importing country’s requirements is part of the Gafta Trade Assurance Scheme, to ensure that the trader can comply with the Sanitary/Phytosanitary controls for any importing country. The best practice is intended to ensure that significant costs and delays do not occur as a result of the refusal of import entry due to non-compliance with these rules.

See Part 3 Guidance Notes

9.0 Contaminants Monitoring and control procedures for biological, physical and chemical contamination must be established. Biological, physical and chemical contamination must be in accordance with Maximum Residue Limits fixed by the legislation in country of destination. Where no national limits have been set the Maximum Residue Limits set by the Codex Alimentarius Commission shall apply.

10.0 Introduction to HACCP The application of a HACCP risk assessed approach is central to the Gafta Trade Assurance Scheme with the aim of minimising losses, damage and contaminant risks.

The HACCP system is a science-based systematic tool which identifies specific hazards and measures for their control to ensure the safety of food and feed. HACCP is a tool to assess hazards and establish control systems that focus on prevention rather than relying mainly on end-product testing. Any HACCP system is capable of accommodating change, for example in technological developments. A formal risk assessment must be carried out with the aim of identifying and controlling any hazards that might adversely affect the integrity of goods. The application of HACCP is a statutory requirement established under EU food and feed legislation. GTAS is a HACCP based Assurance Scheme and a comprehensive set of guidance notes for HACCP can be found in Appendix 2 of this manual and in all GTAS manuals.

See Appendix 2

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11.0 EU Renewable Energy Directive The EU Renewable Energy Directive 2009/28/EC came into effect on 5th December 2010. This legislation introduced targets for renewable energy in EU member states and enables the supply of feedstocks for biofuels and bioliquids. The legislation applies to all goods intended to be classified as “sustainable”, for use as biofuel and bioliquid in the EU which are intended to count towards national renewable energy targets.

Traders who procure and deliver goods for biofuels or bioliquids must be able to provide evidence that the requirements of RED are being met, by production of a proof of sustainability certificate or equivalent, issued under an EU approved certification scheme, for each consignment of goods supplied.

RED compliance is demonstrated by a chain of custody, evidenced by clearly annotated documentation accompanying goods in transit and by cross checking compliance status with on-line databases.

For detailed information about obtaining certification for compliance with the requirements of RED see Trading and Storage Manuals.

12.0 International Database for Transport of Feed (IDTF). The International Committee for Road Transport (ICRT) is a Committee of European Food/Feed Assurance Scheme owners that operates the International Database for Transport of Feed (IDTF).

The Committee adopts a harmonised view on types of materials that can be transported and stored under the codes of practice and agrees on suitable cleaning regimes. Where an agreement cannot be reached concerning the acceptability and appropriate cleaning regime of a material then these are recorded on a List of Differences. The IDTF is a database of over 3300 materials. www.icrt-idtf.com

GTAS includes the IDTF which replaces the Exclusion List and Contaminant Sensitive List in previous versions of the scheme.

The IDTF includes 6 categories under the heading of cleaning regimes which are: (A) dry cleaning. (B) cleaning with water. (C) cleaning with water and a cleansing agent. (D) cleaning and disinfection. Forbidden. List of Differences.

In addition to those items that are classified on the database as being forbidden, any materials not classified in the IDTF are prohibited for storage or carriage.

13.0 Traceability and Labelling Traceability is a way to retrospectively detect where problems occurred in the supply chain. Traceability is not the same as Identity Preservation (IP). Bulk commodities are produced in various production locations all over the world. Following production, commodities are transported either directly from the various production points to their destination or to a delivery or export point where they are loaded or stored awaiting shipment to their destination. In the case of fungible goods commodities from various production locations are co-mingled at the delivery or export point. In the case of single source goods, no co-mingling must take place.

Each individual operator must maintain clear administrative records with relevant data for effective tracing of the goods from the delivery or export point to the point of destination.

Labelling must be in accordance with labelling requirements in force in legislation and/or as required by the terms of the contract.

12.0 EU Legislative Requirements The Gafta Trade Assurance Scheme includes guidance notes for European Union (EU) importers of food and feed and exporters of these commodities located outside the EU. Traders need to be aware of their legislative requirements prior to entering into contract negotiations leading to a binding contract with a buyer or seller for goods to be imported into or exported from the EU.

Implementing Codes of Practice such as GTAS help to ensure that safe food and feed is placed on the EU market and it is a requirement of GTAS that all the relevant national or international legislative requirements are met. Responsibilities under the contract terms need to be followed as well as those set out under EU law.

The responsibilities of parties operating in the grain and feed trade are outlined and explained in these guidance notes as stipulated under EU law. All items of interest to the trade are covered including responsibilities and obligations, quality standards, labelling, hygiene requirements, trading GM food and feed, sampling and analysis etc.

See Part 3 EU Manual

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13.0 Recall and Withdrawal Although every effort is made to minimise the risk of the production or placing on the market of unsafe goods, there are occasions when an accident or mistake occurs which may require the withdrawal or recall of goods in the market where the risk to the consumer is considered to be high. Under EU General Food Law, food and feed business operators that consider (or have reason to believe) that a food/feed which they have imported, produced, processed, manufactured or distributed does not comply with food/feed safety requirements, must immediately initiate procedures to withdraw the goods in question and must inform the competent authority. A product withdrawal or recall system is a fundamental component of a company’s safety management system.

14.0 GTAS Rules, Regulations and Codes of Conduct Professional conduct must be guided by basic rules of professional ethics and the adherence to all applicable laws and regulations, in order to uphold the integrity, honour, and dignity of the trading profession. GTAS Members are committed to ethical professional conduct and operate in good faith.

The Gafta Trade Assurance Scheme sets out the required standard of professional conduct with detailed provisions made on conduct, the complaints procedure and disciplinary regulations.

15.0 Arbitration and Dispute Resolution The Gafta Trade Assurance Scheme aims to minimise disputes, however if a dispute does arise, all the relevant information on the procedure for arbitration and dispute resolution – Gafta Rules, Code of Practice, Criteria for Qualified Arbitrators and Mediators, is available from Gafta.

16.0 Certification Companies involved in the trade are able to seek certification for compliance with the requirements of the Gafta Trade Assurance Scheme. Gafta may recognise other Schemes, verifications, and audits that satisfy the requirements of this Code of Practice (see 17.0).

The provision of certification against the scope of this scheme can only be carried out by an independent certification organisation that has been approved by Gafta for the purpose of so doing and where appropriate has achieved the appropriate accreditation for the provision of said certification.

After the issuance to the applicant of the certificate of compliance and unique identification/registration number by the appointed auditing company, the applicant is entitled to use the GTAS Assured logo. Gafta will retain for its own records a list of companies attaining certification under the scheme.

A database of GTAS Assured companies is available on the Gafta website, www.gafta.com. At the home page select the GTAS tab then click on GTAS Search, then follow the search instructions.

For each scheme member the database will show the company name and address, identification of the scope of the certification (for which a company has been audited and certificated), the expiry date of its current certificate and the status of the certification.

The applicant may not consider themselves as being ‘GTAS Assured’ until they have received their Certificate of Conformity and their unique identification/registration number. The auditing/certification procedure must be repeated annually.

17.0 Recognition and Equivalence of Assurance Schemes Gafta recognises other trade assurance schemes that have equivalent system requirements and standards to GTAS, and which are considered to provide the same levels of food and feed safety control. Agreements of equivalence allow the flow of goods into and from other certified chains.

Gafta recognises the following schemes in accordance with the relevant scopes per signed mutual recognition agreements:

Agricultural Industries Confederation (AIC): UFAS (Universal Feed Assurance Scheme) Merchants; TASCC (Trade Assurance Scheme for Combinable Crops) Merchants, Road Haulage, Storage, Testing. www.agindustries.org.uk Belgian Feed Chain Platform (OVOCOM); GMP Animal Feed Scheme; Trading, Storage, Transport by Road, Waterway and Sea. www.ovocom.be

GMP+ International B.V.: GMP+ Feed Certification (GMP + FC) Scheme; Trading, Storage, Transport by Road, Waterway and Sea. www.gmpplus.org

18.0 Complaints Procedure In case of a complaint against a GTAS certified company an initial investigation by the auditing company will be undertaken. Thereafter the Council of Gafta may elect to carry out an independent audit by a qualified audit company at its choice and expense. After receipt of the results of the audit, the Council of Gafta - operating under the Gafta disciplinary procedures - may in its absolute discretion decide the appropriate action to be taken, which may include the withdrawal of certification, removal from the GTAS database register and withdrawal of permission to use the GTAS Assured logo.

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19.0 Reference Material Within any best practice operation the use of reference material can prove invaluable for personnel. The Gafta Trade Assurance Scheme provides supporting reference material covering many aspects of the international grain and feed trades. The use of this supplementary information can enhance the best practice operations, and the skills and knowledge of the company.


Scheme Operating Protocols

Effective from:

GTAS Scheme Manual.Published by Gafta: GTAS © Version 6.0

effective from

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1.0 Introduction The Gafta Standards offer the general public and consumers genuine assurance about the operation of the international grain and feed trade in relation to food and feed safety and the environment. These standards require the maintenance of comprehensive records of companies’ activities and this is monitored by an independent certification company to verify compliance. Companies will only be certified if they can meet the appropriate standards.

Certification to these standards is therefore conditional on a successful initial audit assessment and annual audit assessments thereafter. The certification system is an independent third party system for determining a company’s conformity to the GTAS standards for trading and logistical services provided within the scope of the scheme manuals. The certification system requires examination of the trading process, the storage, handling, inspection, analysis and transport of traded goods, and assessment of the quality management system. Acceptance after initial assessment is followed by ongoing annual audits. Details of all applicants and their certification status will be forwarded to Gafta. The certification system is linked to a Certificate of Conformity and approved trade marks. The mark is the property of the scheme owners, the Grain and Feed Trade Association and is issued, under licence, through approved Certification Bodies (hereinafter CB).

Gafta has granted approval to audit and certify GTAS and issue trade marks to: NSF Certification Ltd - for all certifications. www.nsf.org

TUV Rheinland Ukraine LLC - audits and certifications in Russian speaking areas including Ukraine, Baltic and Black Sea and Caspian Sea regions. www.tuv.ua

From time to time, other Certification Bodies (CB) may be approved to audit and certify the GTAS scheme and be licensed to issue scheme marks. Certification Bodies appointed by Gafta are required to be accredited by a national body affiliated to IAF.

2.0 Application

2.1 The CB will send companies wishing to be certified an application pack and supporting literature (schemes overview, operating protocol and manuals as appropriate).

2.2 Companies should make an application in respect of the manuals for which they wish to be audited for compliance.

2.3 Companies should complete the relevant form in full and submit to the CB together with the appropriate fee. The owner of the business or a duly authorised employee must sign the form(s).

By signing and returning an application form companies agree to be bound by the Scheme standards and operating protocols. Gafta reserves the right to alter the standards and operating protocols for schemes where, at their absolute discretion, they consider it necessary to do so and changes will be notified.

3.0 Membership

3.1 New Applicants - Applications will be received at any time of the year and assessments will be carried out against the standards in force at that time.

Renewal for Existing Members – Renewal of Certification will be conditional upon the receipt of the appropriate fee on or before the anniversary date of the scheme membership. Receipt of payment and signed renewal paperwork will be confirmation that the member will operate to the current scheme standards and operating procedures.

4.0 Independent Assessment

4.1 Routine surveillance assessment will be carried out by the CB annually at any time during the year.

4.2 Once the application or renewal form has been accepted, arrangements will be made for an assessment visit by the CB.

4.3 Assessment visits will normally be by appointment with the company, however, the CB reserves the right to make short notice or unannounced visits.

4.4 All participants agree to give employees and agents of the CB reasonable access to their business and relevant sites to carry out the assessment visits required. Failure to do so will result in the suspension of membership. Reasonable notice will be given of any routine assessment visit.

4.5 Renewable Energy Directive (RED) Whilst undertaking assessments of compliance with the RED Appendix of GTAS, scheme assessors shall establish at least a “limited assurance level” as defined in the ISAE 3000 standard.

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4.6 Once the assessment visit has been completed the CB will either issue the applicant with a ‘notice to remedy’ for non-conformances or forward the assessment report for certification. Non-conformances will be graded as Major or Minor, defined as follows:

Major - a substantial failure to meet any clause of the Standard

Minor - a clause has not been fully met The level of non-conformity assigned by an evaluator against a requirement of the Standard is based upon evidence and observations made during the evaluation.

4.7 Key/other standards Standards marked “K” indicate a “key” standard. If the assessor finds a major non-conformance against one of the key standards it will result in suspension of certification until it is put right. Non-conformances against “other standards” should not result in suspension provided they are corrected within the agreed timescale with the assessor (see 4.8). The CB also reserves the right to suspend certification in the case of a large number of non-conformances or in the event that the same non-conformances are found on successive assessment visits. Summary table:

4.8 Certificates may be granted to participants who have had an assessment against the appropriate GTAS Standard and have closed any non-conformances identified at the assessment. Non-conformances may be closed by submission of documentary evidence or by revisit. Non-conformances must be closed within 3 months of an initial audit assessment or 28 days for any subsequent audit assessment.

4.9 The company should inform the CB once any non-conformance(s) has been remedied and submit documentary evidence. The CB may then arrange for a site revisit in circumstances where product integrity may be compromised. The costs associated with these procedures, including any additional visits will be borne by the company, but will be kept as low as reasonably possible.

4.10 Assessors may refuse to carry out an assessment in the presence of a third party who they believe will, intentionally or otherwise, influence its outcome in an inappropriate manner.

4.11 Certificates will be issued when the company meets the certification requirements. Certificates are not transferable and remain the property of issuing CB. Once a Certificate has been issued, a company may promote themselves as being ‘GTAS Assured’.

5.0 Suspension/Termination of Membership

5.1 Failure to supply satisfactory documentary evidence within 28 days of a surveillance assessment or pass a revisit where necessary will result in the company being suspended, and the database altered accordingly. All revisit costs will be bourne by the company.

5.2 Gafta as scheme owners and the approved CB reserves the right to suspend or withdraw certification when it considers that it is necessary to do so to prevent the Scheme from being brought into disrepute. Failure to reinstate from ‘suspended’ status within 28 days will result in withdrawal from the scheme.

6.0 Appeals

6.1 In the event that a company feels they have been incorrectly assessed during an assessment visit, they have the option to ask, within 14 days, for a re-assessment by another assessor appointed by the CB. If the company’s complaint is upheld, there may be no cost for this and any suspension of membership that may have been imposed will immediately be lifted. If the findings of the original assessment are corroborated, or if it is clear that the company has taken action in the interim that will materially affect the outcome of the re-assessment, the cost of the visit will be borne by the company. Any requests for re-assessment visits will be undertaken as soon as possible by the CB.

6.2 If a company still feels that they have been incorrectly assessed following the procedure outlined in 6.1 above, they will have the option of having their appeal heard by a panel convened for this purpose by the CB. This panel will consist of at least three persons and will normally include one person involved in grain and feed trade management, one person involved at another stage in the grain and feed industry and one person not directly

Assessment outcome Conforms Major N/C Minor N/C

Key Standards Certified Certificate suspended Certificate not suspended until rectified but must be rectified

Assessment outcome Conforms Non-conformance

Other Standards Certified Certificate not suspended but must be rectified

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involved in the areas covered by the Scheme. A company may either put their own appeal to the panel or nominate someone to do so on their behalf. In the latter case the Company will still be expected to attend the panel session. Both sides will endeavour to keep costs to a minimum. In the event that an appeal to the panel is upheld, all costs reasonably incurred by the appellant will be met by the CB. If an appeal is turned down, any costs reasonably incurred through the operation of the panel will be borne by the Company.

7.0 Use of Trade Mark and Logo

7.1 Companies certified to the standards shall be permitted to indicate that they hold a certificate and, for that purpose only, shall be permitted to use on stationery, publicity materials, exhibition stands and signage, the Trade Mark and the Logo in accordance with directions from Gafta with regard to the use of the Trade Mark and the Logo. Certified participants agree to observe all such directions.

7.2 The above consent, in so far as it applies to use of the Trade Mark, is limited to using the entire designation “GTAS Assured” and, in so far as it applies to using the Logo, is limited to using the Logo in an identical form to that used by Gafta. The consent is personal to the certified participant and may not be transferred or licensed to any other business.

7.3 Certified participants shall not use (or authorise or license others to use) the Trade Mark and the Logo in any way outside the scope of the above consent and they shall not use or authorise or license others to use any name, mark, sign or device confusingly similar to the Trade Mark and the Logo nor file or cause to be filed any trade mark or company name registration applications containing or confusingly similar to the Trade Mark and the Logo. The certified participant will not oppose or cause any opposition to be filed to any trade mark applications filed by the Grain and Feed Trade Association, register the Trade Mark and the Logo anywhere in the world nor otherwise cause any question to be raised concerning the company’s ownership of the Trade Mark and the Logo.

7.4 Gafta reserves the right, after giving one months notice or upon immediate notice if the certified participant fails to observe the directions of the Company with regard to the use of the Trade Mark and Logo or if certification is suspended or terminated for whatever reason, to withdraw permission to use its Trade Mark and Logo to any certified participant.

8.0 Certification Rules The Grain and Feed Trade Association as owners of the Gafta Trade Assurance Scheme may contract with Certification Bodies (CB) to undertake assessments and certifications under the Scheme. Such agreements shall be set down in a contract to be retained by Gafta and the appointed Certification Body. Certification Bodies agree to meet certain requirements regarding administration and performance. These must include:

• Assessor competency The CB may only utilise assessors for audits under the Gafta Trade Assurance Scheme that meet the following minimum set of criteria:

Education and Technical Requirements: 1. Assessors must have had a minimum of 3 years work experience within the scope to be assessed and/or training within the scope of the scheme. 2. Have had formal recognized HACCP training. 3. Possess a formal qualification in agriculture, food or related biosciences. 4. Possess NPTC farm inspection or lead assessor qualification. 5. Demonstrable competency within the module of the standard to be assessed. 6. For RED assessments the Assessors must be competent in Green House Gas (GHG) assessments, Mass Balancing (MB) and Chain of Custody (C of C) systems. 7. Have evidence of, and undertake ongoing training as required.

• Training and evaluation of assessors Assessors must receive the appropriate training and evaluations in accordance with approved written procedures.

• Rights of Scheme owner to perform audits at CB office Gafta has the right after giving reasonable notice, to attend at the offices of the Certification Body with the express purpose of auditing scheme assessments and certifications. The Certification Body shall provide its full cooperation and reasonable access to all scheme related documents for this purpose.

• Rights of Scheme owner to supervision visits of CB Gafta has the right after giving reasonable notice to perform supervision visits of the Certification Body and/or undertake any witnessed audits it feels is appropriate.

• Minimum number of audits per year per assessor Scheme assessors are required to undertake a minimum of 5 assessments per annum. Where an assessor does not meet the minimum requirement they are required to undertake further training before continuing with assessments under the scheme.

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• Minimum number of auditor training hours Training of assessors should be appropriate to the standard and meet UKAS requirements. It is envisaged that regular training seminars should be held by the CB. Assessors undertaking a minimum of 5 audits per annum are expected to participate in a minimum of 5 training hours per year.

• Independence of auditor and audited company In order to prevent excessive familiarity with any single audited company, scheme assessors may not audit a company more than 5 times in succession. After a maximum period of 5 years the CB is obligated to instruct a different assessor to undertake these scheme audits.

• Average audit times Scheme assessors are not constrained by any time limits for conducting assessments under the Gafta Trade Assurance Scheme. Assessors are required to take any reasonable time to complete scheme audits in accordance with scheme requirements and charge for this service accordingly. Assessments for compliance with the scheme protocols vary on a site to site basis. As an indication for planning purposes, under normal conditions (which assume an average standard of working practices and written procedures) the following times taken per assessment visit may be expected to apply:

Trading and Merchanting Manual – 3 hours Transport by Road (medium/large operation) - 2-3 hrs Transport by Road (owner/driver, small operation) – 1-2 hours Storage and Handling (small store) – 2-3 hours Storage and Handling (large store) – 3-4 hours Analysis and Testing (small laboratory facility linked to store) – 1 hour. Analysis and Testing – (full laboratory facility) – 3 hours Supervision Manual – 3 hours Fumigation Manual – 2 hours

9.0 Where a CB demonstrably does not meet its scheme delivery requirements the Council of Gafta may elect to carry out an independent audit by a qualified audit company at its choice and expense. After receipt of the results of the audit, the Council of Gafta - operating under the Gafta disciplinary procedures - may in its absolute discretion decide the appropriate action to be taken, which may include the withdrawal of the rights to conduct assessments and issue certification under the scheme.

10.0 Confidentiality All references to agents of Gafta refer only to those persons appointed, employed or contracted by Gafta to provide computing and/or database services or in connection with such services as are required to maintain the database.

10.1 Details of registered participants are held on a database. Where an enquirer is able to quote the name and address or name and registration number of a certified participant The Grain and Feed Trade Association or its agents will confirm the member's certification status, and the GTAS Manuals to which they refer. No other specific information will be given without the permission of the certified participant.

10.2 The Grain and Feed Trade Association and its agents reserve the right to also release information from its database about the certification status of a participant to a person or organisation or agency (for example such as The Food Standards Agency) with a legitimate interest in knowing that information. The member accepts that information about his certification status may be revealed under the provisions of this paragraph.

10.3 The Grain and Feed Trade Association may produce and publish statistical reports drawing upon aggregated Scheme data so that individual data cannot be traced back to individual applicants or members.

10.4 Participant data may be retained on the above mentioned databases and will be treated as specified above for up to 5 years after a person has ceased to be a member of The Grain and Feed Trade Association Scheme.

11.0 Disclaimer

11.1 Under no circumstances will The Grain and Feed Trade Association or its employees or agents (e.g. NSF Certification Ltd. or other approved CB) be liable for any losses, damage, charges, costs or expenses of whatever nature (including consequential loss) which any producer may suffer or incur by reason of or arising directly or indirectly out of the administration by The Grain and Feed Trade Association or its employees or agents or the performance of their respective obligations in connection with the standards save to the extent that such, loss, damage, charges, costs and, or, expenses arise as a result of the finally and judicially determined gross negligence or wilful default of such person.

11.2 If any competent authority considers that any of the operating protocols are unreasonable, then the operating protocols shall be taken to be varied in such a way as shall make them reasonable but no other part of the operating protocols shall be affected.

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11.3 These operating protocols represent the entire understanding between companies operating in the grain and feed trades and The Grain and Feed Trade Association and each company acknowledges that they have not relied upon any other statement (written or oral) in applying to be certified to the standards.

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GAFTA TRADE ASSURANCE SCHEME 17GAFTA TRADE ASSURANCE SCHEME 13

For the purposes of this Code the following definitions shall apply: • Animal Feed Materials: shall mean raw materials and straight feeds, feed additives, etc., (as defined under the applicable Feedingstuffs Regulations) intended as an animal feed material.

• Biodiesel: a transport fuel usually made from vegetable oils used as a diesel replacer.

• Bio ethanol: a transport fuel made from sugar and cereal crops used as a petrol replacer.

• Biofuels: liquid or gaseous fuel for transport produced from biomass.

• Bioliquids: liquid fuel for energy purposes other than for transport, including electricity and heating and cooling, produced from biomass.

• Biomass: the biodegradable fraction of products, waste and residues from biological origin from agriculture (including vegetal and animal substances), forestry and related industries including fisheries and aquaculture, as well as the biodegradable fraction of industrial and municipal waste.

• Broker: - shall mean a person or company acting as an intermediary between buyer and seller and drawing an agreed commission for services rendered. A Broker does not act as a principal in the transaction.

• COSHH: - shall mean Control of Substances Hazardous to Health Regulations.

• Carrier: – shall mean the shipping company, haulage company or operator of any vessel under this code.

• Codex Alimentarius: – Latin, meaning Food Law or Code, is a collection of Internationally adopted Food and/or Feed Standards presented in a uniform manner.

• Combinable Crops: shall mean grain, pulses (peas and beans) and oilseeds (rapeseed and linseed, as-grown cereal seeds and herbage seeds (grass, clover, etc.), pulse seeds and oilseeds for seed processing.

• The Code Of Practice For The Control Of Salmonella: - shall mean the Code of Practice for the Control of Salmonella during the storage, handling and transport of raw materials intended for incorporation into, or direct use as, animal feedingstuffs, current in the country where the code is being applied. In the absence of any such national code, the Gafta Code of Practice for Salmonella shall apply.

• The Company: - shall mean any company who is a principal in a transaction or for whom a service is being provided.

• Contamination: – shall mean the undesired introduction of impurities of a chemical or microbiological nature or of foreign matter during production, sampling, packaging, storage or transport.

• Control (verb): To take all necessary actions to ensure and maintain compliance with criteria established in the HACCP plan.

• Control (noun): The state wherein correct procedures are being followed and criteria are being met.

• Control Measure: Any action and activity that can be used to prevent or eliminate a food safety hazard or reduce it to an acceptable level.

• Corrective Action: Any action to be taken when the results of monitoring at the CCP indicate a loss of control.

• Critical Control Point (CCP): A step at which control should be applied and is essential to prevent or eliminate a food safety hazard or reduce it to an acceptable level.

• Critical Limit: A criterion which separates acceptability from unacceptability.

• Derogated Protein:- shall mean fishmeal, dicalcium phosphate or tricalcium phosphate of animal origin or hydrolysed protein (as defined in the EU Transmissible Spongiform Encephalopathies [TSE] Regulations) which are prohibited in farmed animal feeds intended for ruminants but permitted in such feeds intended for non-ruminants;

• Desk Trader: - shall mean any trader, whether or not employing staff, but with no owned storage, laboratory or transport facilities.

• Deviation: Failure to meet a critical limit.

• Farmed Animals: - shall mean cattle, sheep, goats, deer, pigs, poultry, rabbits, horses, fish or any other animals which may be used for human consumption;

• Farmed Ruminants: - shall mean cattle, sheep, goats or deer.

• Feed” Or “Animal Feed: – shall mean any substance or product, including additives, whether processed, partly processed or unprocessed, intended to be used for oral feeding to animals.

• Food: – shall mean any substance or product, whether processed, partially processed, intended to be, or reasonably expected to be ingested by humans.

• Forbidden Materials: – shall mean materials classified in the International Database for Transport of Feed (IDTF) as being forbidden or materials that are not classified in the IDTF.

• Fumigants: – shall mean gases which are toxic to target infestations.

• Fumigator: – shall mean a contractor whose business it is to apply fumigants to eradicate infestations.

• Gafta Approved Analyst: – shall mean a laboratory engaged in the profession of sample analysis providing certificates of quality at loadports. They carry out analysis in accordance with the Methods of Analysis Form No. 130, the Gafta Rules and Code of Conduct for Approved Registered Analysts for commodities traded on Gafta contracts. They are members of GAFTA.

A P P E N D I X 1

General Definitions

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• Gafta Approved Superintendent: – shall mean a company engaged in the profession of inspection. They carry out their duties in accordance with the respective contract terms, sampling rules and Code of Practice, inspection, verifications, examinations, quality and condition assessment, sampling measurements. They are members of GAFTA.

• Goods: - shall mean all animal feed materials, combinable crops, finished products and processed materials for food and/or feed purposes.

• Grower: - shall mean the farmer producer of the raw materials.

• HACCP: A system which identifies, evaluates, and controls hazards which are significant for food and feed safety.

• HACCP Plan: A document prepared in accordance with the principles of HACCP to ensure control of hazards which are significant for food and feed safety in the segment of the supply chain under consideration.

• Haulier: – shall mean the operator of any vehicle engaged in the transport of goods by road.

• Hazard: A biological, chemical or physical agent in, or condition of, food or feed with the potential to cause an adverse health effect to humans or animals.

• Hazard analysis: The process of collecting and evaluating information on hazards and conditions leading to their presence to decide which are significant for food and feed safety and therefore should be addressed in the HACCP plan.

• ICRT: - shall mean the International Committee (for) Road Transport

• IDTF: - shall mean the International Database (for the) Transport of Feed

• Load Compartment: – shall mean the sub-divided part of the load carrying area of a bulk vehicle or vessel into which goods are loaded and transported.

• Loading Inspector: – shall mean a person in a quality system who on the basis of training and experience has sufficient knowledge and expertise to inspect cargo spaces for suitability for loading the goods. The appointed person shall have certification or accreditation to perform this role.

• Merchant: - shall mean a trading business, employing staff operating with a combination of storage and/or laboratory and/or transport facilities.

• Monitor: The act of conducting a planned sequence of observations or measurements of control parameters to assess whether a CCP is under control.

• Principal: – shall mean the buyer or seller in a transaction.

• Processed Animal Protein: – shall mean meat and bone meal*, meat meal*, bone meal*, blood meal*, dried plasma* and other blood products*, hydrolysed protein, hoof meal, horn meal, poultry offal meal, feather meal, dry greaves, fishmeal, dicalcium phosphate and tricalcium phosphate of animal origin, gelatin and any other similar products including mixtures, feedingstuffs, feed additives and premixtures, containing these products.*whether of mammalian or non-mammalian origin;

• Producer: - shall mean a farmer, grower, processor or manufacturer of food or feed.

• [R]: - the symbol [R] in the text indicates the requirement to keep a record.

• Recall: the process by which the removal of an unsafe or illegal goods/product in the possession of the consumer is made.

• Risk: – shall mean a function of the probability of damage to goods or an adverse health effect and the severity of that damage or effect, consequential to a hazard.

• Road Haulage: – shall mean all appropriate forms of transport including bulk tippers, bulk blowers, flat-beds, walking floor and bulk tanker vehicles used for any movement of goods by road.

• Step: A point, procedure, operation or stage in the supply chain including raw materials, from country of origin to country of destination.

• Store: shall include any building, shed, silo, bin, tank or other container used to store goods;

• Storekeeper: - shall mean the operator of any store used to store goods.

• Sustainability: an integrated approach to environmental, social and economic impact issues (both internal and external) leading to long term sustainable profit and growth without compromising the ability of future generations to meet their own needs.

• Testing Facility: – shall mean any facility that operates testing or analytical apparatus for the purpose of establishing quality criteria not relating to Gafta contracts.

• Trade Mark: shall mean the GTAS Trade Mark and Logo owned by Gafta.

• Trader: - shall mean a desk trader or a merchant.

• Transport: – shall mean any movement of goods by road, rail, inland waterway, shipment by sea or by container.

• Undesirable Substance: – shall mean any substance or product, with the exception of pathogenic agents, which is present in and/or on the product intended for animal feed and which presents a potential danger to animal or human health or could adversely affect livestock production.

• Validation: Obtaining evidence that the elements of the HACCP plan are effective.

• Vehicle: – shall include trailers or other containers used to transport goods by road.

• Verification: The application of methods, procedures, tests and other evaluations, in addition to monitoring to determine compliance with the HACCP plan.

• Vessel: – shall mean ship, barge or coaster.

• Withdrawal: - The process by which the removal of an unsafe or illegal product from the supply chain is made, but does not involve the removal of product in the consumer’s possession.

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A. Introduction When trading goods into certain markets, suppliers are often requested to implement quality assurance systems to their trading operations, many of which call for HACCP-based systems. Such markets will in addition seek the quality assurance operations to be independently audited/verified. This section aims to introduce the concept of HACCP.

The first section of this document sets out the principles of the Hazard Analysis and Critical Control Point (HACCP) system adopted by the Codex Alimentarius Commission. Codex Alimentarius Commission Code of Practice - General Principles of Food Hygiene. CAC/RCP 1 1969 Rev.4 - 2003 www.codexalimentarius.net

The section from “Guidelines for the Application of the HACCP System” onwards provides general guidance for the application of the system while recognizing that the details of application may vary depending on the circumstances of the logistics operation. It is this application that a trading company would be independently audited/verified against.

The HACCP system, which is science-based and systematic, identifies specific hazards and measures for their control to ensure the safety of food and feed products. HACCP is a tool to assess hazards and establish control systems that focus on prevention rather than relying mainly on end product testing. Any HACCP system is capable of accommodating change, such as advances in equipment design, processing procedures or technological developments.

HACCP can be applied throughout the food and feed chain from primary production to final consumption and its implementation should be guided by scientific evidence of risks to human and animal health.

The successful application of HACCP requires the full commitment and involvement of management and the work force. It also requires a multidisciplinary approach; this multidisciplinary approach should include, when appropriate, expertise in storage, transport, inspection, and analysis. The application of HACCP is compatible with the implementation of quality management systems, such as the ISO 9000 series, and is the system of choice in the management of food safety within such systems.

A P P E N D I X 2

Introduction to HACCP -Hazard Analysis And Critical Control Point System

Principles of the HACCP SystemThe HACCP system consists of the following seven principles:

• PRINCIPLE 1 Conduct a hazard analysis.

• PRINCIPLE 2 Determine the Critical Control Points (CCPs).

• PRINCIPLE 3 Establish critical limit(s).

• PRINCIPLE 4 Establish a system to monitor control of the CCP.

• PRINCIPLE 5 Establish the corrective action to be taken when monitoringindicates that a particular CCP is not under control.

• PRINCIPLE 6 Establish procedures for verification to confirm that theHACCP system is working effectively.

• PRINCIPLE 7 Establish documentation concerning all procedures and records appropriate to these principles and their application.

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Guidelines for the Application of the HACCP SystemPrior to application of HACCP to any sector of the food and feed chain, that sector should be operating according to theGeneral Principles of Food Hygiene, the appropriate Codex Codes of Practice, and appropriate food safety legislation.Management commitment is necessary for implementation of an effective HACCP system. During hazard identification,evaluation, and subsequent operations in designing and applying HACCP systems, consideration must be given to theimpact of raw materials, ingredients, food manufacturing practices, role of manufacturing processes to control hazards,likely end use of the product, categories of consumers of concern, and epidemiological evidence relative to food safety.

The intent of the HACCP system is to focus control at CCPs. Redesign of the operation should be considered if a hazardwhich must be controlled is identified but no CCPs are found.

The HACCP application should be reviewed and necessary changes made when any modification is made in the product,process, or any step.

It is important when applying HACCP to be flexible where appropriate, given the context of the application taking intoaccount the nature and the size of the operation.

ApplicationThe application of HACCP principles consists of the following tasks as identified in the Logic Sequence for Application ofHACCP (Diagram 1).

I. ASSEMBLE HACCP TEAM The supply operation should assure that the appropriate commodity knowledge and expertise is available for the development of an effective HACCP plan. Ideally, this may be accomplished by assembling a multidisciplinary team. Where such expertise is not available on site, expert advice should be obtained from other sources. The scope of the HACCP plan should be identified. The scope should describe which segment of the supply chain is involved and the general classes of hazards to be addressed (e.g. does it cover all classes of hazards or only selected classes).

II. DESCRIBE PRODUCT A full description of the commodity should be drawn up, including relevant safety information such as: composition, physical/chemical structure, microcidal/static treatments (heat treatment, antioxidants, fumigation etc.), packaging, durability and storage conditions and method of distribution.

III. IDENTIFY INTENDED USE The intended use should be based on the expected uses of the product by the end user or consumer.

IV. CONSTRUCT FLOW DIAGRAM The flow diagram should be constructed by the HACCP team. The flow diagram should cover all steps in the supply operation. When applying HACCP to a given operation, consideration should be given to steps preceding and following the specified operation.

V. ON SITE CONFIRMATION OF FLOW DIAGRAM The HACCP team should confirm the actual supply operation against the flow diagram during all stages and amend the flow diagram where appropriate.

VI. LIST ALL POTENTIAL HAZARDS ASSOCIATED WITH EACH STEP, CONDUCT A HAZARD ANALYSIS, AND CONSIDER ANY MEASURES TO CONTROL IDENTIFIED HAZARDS (SEE PRINCIPLE 1) The HACCP team should list all of the hazards that may be reasonably expected to occur at each step in the supply chain from country of origin to the final country of destination.

The HACCP team should next conduct a hazard analysis to identify for the HACCP plan which hazards are of such a nature that their elimination or reduction to acceptable levels is essential to the supply of a safe food or feed material.

In conducting the hazard analysis, wherever possible the following should be included: • the likely occurrence of hazards and severity of their adverse health effects; • the qualitative and/or quantitative evaluation of the presence of hazards; • survival or multiplication of microorganisms of concern; • production or persistence of toxins, chemicals or physical agents; and, • conditions leading to the above.

The HACCP team must then consider what control measures, if any, exist which can be applied for each hazard. More than one control measure may be required to control a specific hazard(s) and more than one hazard may be controlled by a specified control measure.

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B. DETERMINE CRITICAL CONTROL POINTS (SEE PRINCIPLE 2) There may be more than one CCP at which control is applied to address the same hazard. The determination of a CCP in the HACCP system can be facilitated by the application of a decision tree (e.g. Diagram 2), which indicates a logic reasoning approach. Application of a decision tree should be flexible, given whether the operation is for storage, loading, discharge, sampling, analysis, transport or other. It should be used for guidance when determining CCPs. This example of a decision tree may not be applicable to all situations. Other approaches may be used. Training in the application of the decision tree is recommended.

If a hazard has been identified at a step where control is necessary for safety, and no control measure exists at that step, or any other, then the operation or process should be modified at that step, or at any earlier or later stage, to include a control measure.

C. ESTABLISH CRITICAL LIMITS FOR EACH CCP (SEE PRINCIPLE 3) Critical limits must be specified and validated if possible for each Critical Control Point. In some cases more than one critical limit will be elaborated at a particular step. Criteria often used include measurements of temperature, quality and condition, undesirable substances and sensory parameters such as visual appearance, smell or odour.

D. ESTABLISH A MONITORING SYSTEM FOR EACH CCP (SEE PRINCIPLE 4) Monitoring is the scheduled measurement or observation of a CCP relative to its critical limits. The monitoring procedures must be able to detect loss of control at the CCP. Further, monitoring should ideally provide this information in time to make adjustments to ensure control of the process to prevent violating the critical limits. Where possible, process adjustments should be made when monitoring results indicate a trend towards loss of control at a CCP. The adjustments should be taken before a deviation occurs. Data derived from monitoring must be evaluated by a designated person with knowledge and authority to carry out corrective actions when indicated. If monitoring is not continuous, then the amount or frequency of monitoring must be sufficient to guarantee the CCP is in control i.e. undesirable substances monitoring. All records and documents associated with monitoring CCPs must be signed by the person(s) doing the monitoring and by a responsible reviewing official(s) of the company.

E. Monitoring of undesirable substances based on HACCP/Risk Assessment principles. Operators should implement a sampling and analysis plan within the HACCP framework for the testing for undesirable substances. The operator should determine the frequency of sampling and analysis for goods that are handled and stored in accordance with customer requirements. The Gafta Sampling Rules No. 124 are applicable where the goods are traded on Gafta contracts, otherwise sampling should be in accordance with another agreed internationally recognised method.

The principle of sampling and analysis frequency is related to quantity of goods handled. As the quantity increases the number of samples taken per tonne of goods decreases. The number of samples to be drawn and inspected over a period in which the goods are examined for presence of undesirable substances may be calculated using the formula:

Frequency = Volume x Chance x Seriousness 100

The standard value for chance is 1. The operator may raise or lower this value if valid reasons are given. Considerations that may affect the standard value for chance include: • History • Seasonal influences • Chances of re-contamination (eg microbiological parameters) • New source/new suppliers • Recent incidents

Operators may only select a chance value that is below 1 on the basis of supporting historical analysis data. Seriousness is an expression of the perceived degree of harmfulness of an undesirable substance. Where the level of seriousness is deemed to be high or very high a factor of 5 is used. Where the level of seriousness is deemed moderate then factor 3 should be used. If the seriousness level is judged to be low or small then a factor of 1 should be used. Where food and feed goods are concerned undesirable substances such as heavy metals, pesticies or mycotoxins should apply a minimum value of 3 but more likely 5. Operators must have a written down monitoring protocol with a documented system for the keeping of records.

The analysis of samples drawn under the monitoring protocol should be tested by analysts in accordance with contract requirements, ie analysts listed on the Gafta Register of Approved Analysts and/or GTAS certified Analysts and/or analysts accredited under ISO/IEC 17025 using officially recognised methods covered by the scope of the accreditation.

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HACCP Scoring This is a simple means of assigning scores for • the likelihood of occurrence • the severity for each hazard that could be encountered in a Raw Material Haulage, or Raw Material Storage operation.

The HACCP team should assess each and every possible hazard that could be encountered.

The likelihood of occurrence is based on measurements and observations of previous situations and is assigned a score of 1 – 3 as per the table below.

A score of 1 would be a low risk of occurrence (practically impossible or not probable), 2 would be a medium risk (may occur, has been known to occur) and 3 is a high risk of occurrence (occurs regularly).

Similarly the severity of occurrence is based on the consequence of the hazard occurring and its likely impact is also assigned a score of 1 – 3. A score of 1 would be small(leading to minor injury or illness) 2 would be medium (leading to substantial injury) and 3 is high (leading to fatal consequences).

These two scores are then multiplied together to give an overall Hazard score for that Hazard.

It is suggested that Hazard scores of 5 or below should be considered within the pre-requisite programme.

Hazard scores of 6 or above should be considered as significant hazards and should be dealt with by Critical Control Points.

Nevertheless it is the responsibility of the HACCP team to consider and evaluate each hazard in the light of the business concerned.

F. ESTABLISH CORRECTIVE ACTIONS (SEE PRINCIPLE 5) Specific corrective actions must be developed for each CCP in the HACCP system in order to deal with deviations when they occur.

The actions must ensure that the CCP has been brought under control. Actions taken must also include proper disposition of the affected food or feed material. Deviation and material disposition procedures must be documented in the HACCP record keeping.

Definite (3) 3 6 9

Probable (2) 2 4 6

Possible (1) 1 2 3

Negligible (1) Major (2) Critical (3)

HACCP Scoring System

Like

liho

od

of

occ

urre

nce

Severity if it occurs

G. ESTABLISH VERIFICATION PROCEDURES (SEE PRINCIPLE 6) Establish procedures for verification. Verification and auditing methods, procedures and tests, including random sampling and analysis, can be used to determine if the HACCP system is working correctly. The frequency of verification should be sufficient to confirm that the HACCP system is working effectively. Examples of verification activities include:

• Review of the HACCP system and its records; • Review of deviations and material dispositions; • Confirmation that CCPs are kept under control. Where possible, validation activities should include actions to confirm the efficacy of all elements of the HACCP plan.

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H. ESTABLISH DOCUMENTATION AND RECORD KEEPING (SEE PRINCIPLE 7) Efficient and accurate record keeping is essential to the application of a HACCP system. HACCP procedures should be documented. Documentation and record keeping should be appropriate to the nature and size of the operation.

Documentation examples are: Record examples are: • Hazard analysis; • CCP monitoring activities; • CCP determination; • Deviations and associated corrective actions; • Critical limit determination. • Modifications to the HACCP system.

An example of a HACCP worksheet is attached as Diagram 3.

Assemble HACCP Team

a. Diagram 1. Sequence For Application Of HACCP

1

Describe Product2

Identify Intended Use3

Construct Flow Diagram4

On site Confirmation of Flow Diagram5

List all Potential HazardsConduct a Hazard Analysis • Consider Control Measures

6

Determine CCPs (See Diagram 2)7

Establish Critical Limits for each CCP8

Establish a Monitoring System for each CCP9

Establish Corrective Actions10

Establish Verification Procedures11

Establish Documentation and Record Keeping12

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Do control preventative measure(s) exist ?

Is the step specifically designed toeliminate or reduce the likely occurrence

of a hazard to an acceptable level ?

Could contamination with identified hazard(s) occur inexcess of acceptable level(s) or could these increase to

unacceptable levels ?

Will a subsequent step eliminate identified hazard(s) orreduce likely occurrence to an acceptable level ?

Is control at this stepnecessary for safety ?

Yes

Yes

Yes

Not a CCP

No Critical Control Point

Stop

No StopNot aCCP

Yes

Yes

No

No

No

Not a CCP Stop

Modify step, processor product

Q1

Q2

Q3

Q4

b. Diagram 2. Example Of Decision Tree To Identify CCPs (answer questions in sequence)

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Describe Product1

Verification4

Diagram Process Flow2

List (example below)

Step Hazard(s) Control CCPs Critical Monitoring Corrective Record(s) Measure(s) Limit(s) Procedure(s) Action(s)

3

c. Diagram 3 Example Of A HACCP Worksheet

LONDON9 Lincoln's Inn Fields,London WC2A 3BPUNITED KINGDOM

T: +44 20 7814 9666F: +44 20 7814 8383E: [email protected]: www.gafta.com

BEIJINGLeading International Center,No.1 Guang Qu Men NanXiao Jie, ChongWen District,100061, BeijingCHINA

T: +86 10 6712 1741F: +86 10 6712 1742E: [email protected]: www.gafta.com.cn

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T: +41 22 715 24 30F: +41 22 731 72 79E: [email protected]: www.gafta.com

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T: +380 44 524 0329F: +380 44 524 0231E: [email protected] W: www.gaftakyiv.com

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