MONTANA WHOLESALE FOOD

FISH HACCP PLAN GUIDELINES

Rev 11.14.14
The purpose of this document is to assist fish processors in developing a hazard analysis of critical control points
plan (HACCP). A fish HACCP plan is a written document to help ensure that fish and fish products are safe for
consumers.

Montana Wholesale Food Program Telephone: 406.444.2837

1400 Broadway Street, C-214 Fax: 406.444.5055
P.O. Box 202951 E-mail: [email protected]
Helena, MT 59620-2951
Fish HACCP plans are required by Montana rule ARM 37.110.101 (1) (x)/21 CFR 123.6. Failure of a processor to
have and implement a fish HACCP plan shall render the fish and fish products adulterated, and subject to embargo
or destruction, under the aforementioned state rule and state statutes MCA 50-31-509 or MCA 50-31-510.

The following criteria must be part of creating a fish HACCP plan:

• Hazard Identification
• Critical Control Points List
• Critical Limits List
• Monitoring Procedures
• Corrective Action Procedures
• Verification Procedures
• Records
• Sign and Date Plan
Hazard Identification
The plan must include identification of physical, chemical and biological hazards that are
reasonably likely to occur within the product.
Some hazards associated with fish include, but are not limited to:
• Parasites inherent to the ingredient
• Toxins (botulism, ciguatera, histamine, etc.) that occur in fish
• Hazards that are introduced during processing procedures (e.g. temperature abuse, cross-contamination,
etc.)

Typically, it’s easier to identify hazards if a food flow diagram or food flow description is created to illustrate food
processing steps, from receiving ingredients to shipment of finished products, and all major steps or actions.

Critical Control Points List

Create a complete list that identifies specific steps in the food processing procedure that
are critical in controlling the identified hazards.
Examples of critical points in need of control for fish are:
• Parasite destruction records from supplier of raw fish
• Shellstock tags or labels from supplier of raw shellstock
• Storage cold-holding temperature
• Transport cold-holding temperature
 • Final cooking temperature
• Final water activity level or water phase-salt concentration
• Cooling parameters for time and temperature
• Major allergen labeling
• Brine (salt) concentration
• Brine immersion holding time for product
• Brine holding temperature for product to prevent histamine formation from fish that are from the
scombroid toxin-forming species (e.g. tuna, herring, mackerel, sailfish, sardine, mahi-mahi, bluefish,
yellowtail)

Critical Limits List

Create a complete list that details the safety limit at which the process is still under
control. In other words, if the limit is exceeded, the process is not under control and action
needs to be taken to regain control.
Examples of critical safety limits for fish include:
• Cold-holding temperature: 38 degrees Fahrenheit or less
• Final cooking temperature: 145 degrees Fahrenheit or greater
• Cooling parameters from 135 degrees Fahrenheit to 70 degrees Fahrenheit in 2 hours or less, and; from 70
degrees Fahrenheit to 38 degrees Fahrenheit in 4 hours or less
• Packaging labels for products have all ingredients listed and major allergens declared in proper format
• Water phase-salt concentration in the fish product of 20 percent or greater (0.85 water activity or less)
• Internal water activity of dried fish to 0.85 or less

Monitoring Procedures
Create a complete list that details the procedures and frequency used to monitor the
critical points and critical limits.
Examples of monitoring procedures for fish are:
• Visually checking for shellstock tags every time shellstock is received from supplier
• Visually inspecting a representative sample of each batch for correct package labeling
• Checking brine salt concentration for each batch of product with salometer, and recording the
concentration in a log
• Visually checking thermometers in refrigeration units each day for air temperature of unit, and recording
the results in a log
• Using a calibrated thermometer to check the final internal product cooking temperature for each batch,
and recording the results in a log
• Using a calibrated, automatic data-logging probe thermometer to record the cooling process for each batch
of product, and keeping a log of the results
• Checking internal water activity of a product by testing each batch with a calibrated meter, and recording
the results in a log

Corrective Action Procedures

Create a complete list that details the actions needed to correct exceedance of the limits.
Examples of corrective actions for fish are:
• Rejecting shellstock that were delivered without proper tags or labels
• Correctly re-labeling packages that were previously not properly labeled
• Mixing a new brine solution
• Destruction of products that were held in a refrigeration unit that was not properly functioning, or re-
directing products to a properly functioning refrigeration unit
• Destruction of products that were not properly cooked, or re-cooking the product, if possible
• Destruction of products that were not properly cooled, or re-heating batch to 165 degrees Fahrenheit, and
 then properly re-cooling the product, if possible
• Destruction of improperly brined fish, or re-brine to correct salt concentration, if possible
• Destruction of improperly dried fish, or re-dry to correct water activity, if possible
• Diverting any and all improperly handled product to non-human consumption use, if possible (e.g.
livestock feed, etc.)

Verification Procedures
Create a complete list that details procedures used to verify action was taken to address
the limits exceedance.
Examples of verification procedures for fish are:
• Daily records check by management of food processing logs, equipment calibration logs and data
recording logs
• Reassessment of entire HACCP plan
• Daily review of product complaint log from consumers, carriers and vendors to determine whether the
complaints relate to processes that are not in control (a consumer complaint or patterns of consumer
complaints may indicate the need for a recall)
• Calibration of testing equipment used for processing food

Records
HACCP monitoring records must document the actual values and observations that were
obtained during the monitoring procedures.
The following list is required for fish processors that require a HACCP plan:
• Name and location of the processor
• Date and time of the activity
• Signature or initials of the person performing the activity
• Documentation of the value or observation shall be done at the time the activity was monitored
• Identity of the product and production code shall be on the record when appropriate
• If the product needs refrigeration , keep records at the processing facility for at least 1 year after the date
of processing
• If the product is frozen or is shelf-stable, keep records at the processing facility for at least 2 years after
the date of processing
• All records and plans shall be available for inspection purposes by authorized USFDA officials at
reasonable times

Sign and Date Plan

The HACCP plan must be signed and dated.
The HACCP plan must be signed and dated by either or both of the following:
• The most responsible person onsite at the processing facility, and/or
• Higher level official of the processor

Signing the plan means it has been accepted for implementation. Also, the plan shall be signed and dated whenever
the following applies:
• Upon initial acceptance
• Whenever the plan is modified
• Whenever the plan is reassessed during the verification procedure
 Sushi Fish HACCP Plan EXAMPLE
PRODUCT
Product Name Salmon sushi roll
Ingredients Rice, salmon, rice wine vinegar, seaweed, cucumber, avocado, wasabi paste
Packaging Plastic trays, dome covers (sufficient oxygen transmission rate)
Distribution
Consumer use Ready-to-eat product
Firm Name
Firm Address
Signature
Date

FOOD FLOW
STEP FOOD DESCRIPTION
Receiving Raw salmon (genus Vacuumed packaged with oxygen transmission rate of
Oncorhynchus) 10,000 cubic centimeters per square meter every 24
hours or less. Package received in frozen state.
Supplier provides parasite destruction record.

Raw cucumbers, rice, avocado

Vegetables
Seaweed, wasabi paste, rice wine vinegar
Prepackaged shelf-stable foods
Ingredient storage Raw salmon Freezer (at or below 0 degrees Fahrenheit) until
thawing
Raw salmon
 Cut open salmon package
Raw salmon
Thaw in refrigerator.
Vegetables
Dry storage area or refrigerator
Prepackaged shelf-stable foods
Dry storage area
Food processing Rice Cook and acidify to pH 4.1with vinegar. Acidify rice
within 30 minutes of removing from cooking unit. A
standardized acidified rice recipe will be used to
ensure pH 4.1.
Vegetables
Wash and cut vegetables on designated vegetable
cutting board. Incorporate cut vegetables into product.
Prepackaged shelf-stable foods
Remove from packaging and incorporate into product.
Seaweed roll
Incorporate all ingredients into seaweed roll.
All ingredients
Cut roll into individual pieces.
Product packaging Finished product Package cut pieces using gloved hands.
Product processing Finished product Properly cooling product to 38 degrees Fahrenheit
within 3 hours or less after mixing ingredients.
Validate standard operating cooling procedure through
documentation.
Package labeling Finished product Affix label to package
Product storage Finished product Storage in refrigerator at or below 38 degrees
Fahrenheit immediately after packaging
Product shipment Finished product Shipment in insulated cooler with electronic control or
under mechanical refrigeration. Product will be at or
below 38 degrees Fahrenheit

HAZARD IDENTIFICATION (of likely risks)

STEP HAZARD PREVENTION CRITICAL
POINT
Receiving Biological-parasites-raw salmon Parasite destruction record from Yes
supplier (record must state method
of freezing: e.g. -4 degrees
Fahrenheit for 7 days, etc.)
Ingredient storage Biological- toxin from C. Store frozen salmon in freezer Yes
botulinum bacteria until thawed.

Biological- toxin from C. Thaw frozen salmon in refrigerator Yes

botulinum bacteria after cutting open packaging to
allow air flow
Biological- various bacteria Yes
from time/temperature abuse Thawing salmon in refrigerator
with air temperature of 38 degrees
Fahrenheit or less.
Ingredient Biological-enterotoxin from B. Acidify cooked rice to pH 4.1 after Yes
processing cereus bacteria cooking. Acidification to be
completed within 30 minutes of
removing from cooking unit, and
 before the cooked rice is135
degrees Fahrenheit during the
cooling process.

A laboratory validated acidified

rice recipe will be used to ensure
pH 4.1.

Each batch will be tested using a

calibrated pH meter with
automatic temperature adjustment.
Calibration of meter will be done
Biological-various bacteria from using two buffer solutions. Yes
time/temperature abuse
Cut avocado is used, discarded or
Biological-various bacteria from refrigerated within 60 minutes Yes
time/temperature abuse
Assembly of finished product
within 60 minutes of removing
salmon from refrigerator or cutting
avocado.
Package labeling Biochemical-major allergens Verify that labels properly disclose Yes
major allergens that are in the
product.
Product processing Biological-various bacteria from Cool product to 38 degrees Yes
time/temperature abuse Fahrenheit or less within 3 hours
after mixing ingredients
Product storage Biological-various bacteria from Keep product at or below 38 Yes
time/temperature abuse degrees Fahrenheit
Product shipment Biological-various bacteria from Carrier must keep product at or Yes
from firm to time/temperature abuse during below 38 degrees Fahrenheit
recipient delivery during transport.

HAZARD CONTROLS
CRITICAL CRITICAL MONITORING CORRECTIVE VERIFICATION RECORDS
POINT LIMIT ACTIONS
Receiving: Parasite By receiving Reject shipment Visual inspection Receiving log
raw salmon destruction manager for each
record from delivery
supplier
Storage: raw At or less than By quality Use immediately Visual inspection Freezer log
salmon 0 degrees manager each day or discard,
Fahrenheit depending on
ingredient
 temperature.
Storage: Cut open By quality Cut open package Visual inspection Thawing log
thawing reduced manager each within 24 hours
salmon oxygen time package is of removal from
package thawed frozen state or
discard

Storage: At or less than By quality Use immediately Visual inspection Refrigerator log
thawing 38 degrees manager each day or discard,
salmon Fahrenheit depending on
ingredient
temperature and
elapsed time.
Processing: pH 4.1 within By quality Discard or add Visual inspection Acidified rice
acidified rice 30 minutes of manager for each vinegar to lower log
removing batch pH
from cooking Recipe
unit validation test
results
Processing: Within 60 By quality Discard Visual inspection Assembly log
cut avocado minutes of manager for each ingredients or
raw salmon removing batch product
product salmon from
assembly refrigerator
and cutting
avocado
Labeling: Failure to By quality Re-label package Visual inspection Copy of label on
disclose all manager for each or recall file
major batch
allergens Documentation
of incidents
Processing: At or less than By quality Discard or divert Visual inspection Refrigerator log
cooling 38 degrees manager for each to non-human
product Fahrenheit batch consumption use Documented
within 3 hours validation of
for mixing standard cooling
ingredients procedure
Storage: At or less than By quality Discard or divert Visual inspection Refrigerator log
38 degrees manager for each to non-human
Fahrenheit batch consumption use
Shipping: At or less than By shipping Discard or divert Visual inspection Shipping log or
38 degrees manager for each to non-human data-logging
Fahrenheit shipment consumption use temperature
probe
 HACCP Plan TEMPLATE
PRODUCT
Product Name
Ingredients
Packaging
Distribution
Consumer use
Firm Name
Firm Address
Signature
Date

FOOD FLOW
STEP FOOD DESCRIPTION
Receiving
Ingredient storage
Food processing
Food packaging
Package labeling
Product storage
Product shipment

HAZARD IDENTIFICATION (of likely risks)

STEP HAZARD PREVENTION CRITICAL
POINT
Receiving
Ingredient storage
Food processing
Package labeling
Product storage
Product shipment

HAZARD CONTROLS
CRITICAL CRITICAL MONITORING CORRECTIVE VERIFICATION RECORDS
POINT LIMIT ACTIONS
Receiving:
Ingredient
Storage:
Processing:

Packaging:
Product
Storage:
Shipping:
MONTH Shipping/Receiving Log
DATE TIME INITIAL FOOD COMPANY TEMP ACTIONS
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Refrigerator/Freezer Log Location
MONTH
DATE TIME INITIAL REFRIGERATOR TEMP FREEZER TEMP ACTIONS
1
2
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Cooling Validation Test
FOOD DATE
GOALS
• Lower temperature of item from 135° Fahrenheit to at 70° Fahrenheit within 2 hours or
less AND/OR
• Lower temperature of item from 70° Fahrenheit to at 38° Fahrenheit within 4 hours or
less

INSTRUCTIONS
• Record internal product temperature AT LEAST every 30 minutes during the cooling
cycle
• If the goal times and temperatures are met, keep this document as part of your standard
operating procedures
• If the goal times and temperatures are not met, develop a new cooling procedure until
the goals are achieved

Cooling from 135° F to 70°F within 2 hours

Time Temp Method description Initials

 Cooling from 70° F to 38° F within 4 hours

Time Temp Method description Initials

GOAL YES NO
ACHEIVED

Assembly Temperature Log

MONTH
Date Food Start End Corrective Action
Time Temp Initials Time Temp Initials
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Thermometer Calibration Log

MONTH
Date Time Initials Corrective Action
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pH Meter Calibration Log

MONTH
Date Time Initials Corrective Action
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