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Standard Location/ Examples of Evidence of Compliance Examples of Evidence of Compliance Audit guidelines
Facility
in market exporter
Abattoir
Feedlot
1. Trained, X X Contractual arrangements are in place Contractual arrangements are in place Exporter
competent staff between importers, feedlots and abattoirs between exporters and importers The auditor should review
are responsible for requiring facility operators to have trained, requiring facility operators to have documentation and evidence
overseeing and competent staff responsible for overseeing trained, competent staff responsible for demonstrating there are trained,
verifying and verifying traceability at critical control overseeing and verifying traceability at competent staff responsible for
traceability at points including a dedicated animal welfare critical control points. overseeing and verifying traceability at
critical control officer or an equivalent person who There is a flow chart or list of the roles, critical control points for at least:
points. performs such duties. responsibilities and training / capability of o 10% of feedlots
There is a documented list outlining the staff responsible for overseeing and o 10% of abattoirs
roles, responsibilities of staff responsible for verifying traceability at critical control
overseeing and verifying traceability at points. Critical Control Points
critical control points. The exporter has a process for confirming Critical control points are arrival, dispatch
Staff with identified responsibility for the presence and capability of staff and point of slaughter.
overseeing and verifying traceability at responsible for overseeing and verifying
critical control points are trained / capable traceability at critical control points. The Note
and exhibit an understanding of their roles exporter has a dedicated Supply Chain Within a facility, a single person may be
and responsibilities. Officer responsible for verifying all responsible across multiple critical control
Any changes to the roles, responsibilities or livestock movements and reconciliations points to oversee and verify traceability.
identity of staff responsible for overseeing at least weekly, undertaking internal
and verifying traceability at critical control audits of facilities and maintaining and
points are communicated to the exporter. monitoring of CCTVs and associated
footage.
4. Missing, X X Contractual arrangements are in place Contractual arrangements are in place Exporter
damaged and between importers, feedlots and abattoirs between the exporter and supply chain Exporters should produce end of
ineffective tags are that require missing, damaged or participants that require missing, processing (EOP) reports for each
replaced at the ineffective identifying tags to be replaced at damaged or ineffective identifying tags to consignment (finalised on its
first reasonable the first reasonable opportunity. be replaced at the first reasonable completion). The EOP should clearly
opportunity. Employees at facilities routinely inspect opportunity. identify any changes to tag numbers
cattle / buffalo for missing, damaged or The exporter receives and records during the movement of cattle / buffalo
ineffective tags. notifications that tags have been replaced, through the supply chain.
Missing, damaged and ineffective tags are the reasons for the replacement and the
replaced or, where tags are missing at point updated tag numbers at least weekly.
of slaughter it is reported to the importer / The exporter has a process to reconcile
exporter to allow reconciliation against changes to tag numbers.
movement and slaughter records. Sampling under Standard 3.
Changes to tag numbers and tag
replacements are recorded and reported to
the importer/exporter within 48 hours.
Trained staff at the facility are aware of the
reporting requirements if a tag is replaced.
5. Individual animal X X A data list exists identifying each animal to A data list exists identifying each animal to Exporter
identification is a specific consignment number. a specific consignment number and to the The auditor should review consignment
linked to the Staff have knowledge and awareness of exporters nominated supply chain. data since the previous audit
exporter cattle in each consignment and their EOP Reports identify cattle and buffalo to
consignment and location within the facility. consignment.
supply chain.
6. Individual cattle X X Contractual arrangements are in place Contractual arrangements are in place Exporter
and buffalo between importers, feedlots and abattoirs between the exporter and relevant supply The auditor should sample the
identification is that require the identification and chain participants that require the movement and processing data received
recorded at the movement of animals to be recorded and identification and movement of animals to for at least the following:
time of departure reported to the nominated supply chain be recorded and reported to the
from each facility officer. nominated supply chain officer.
Version 2 FINAL 5 November 2015
(including point of There are records of the movement of Records of the movement and processing o 10% of the exporters feedlots in
slaughter). cattle / buffalo from a facility or processing of cattle and buffalo are received from each country exported to since the
at an abattoir. These records include the feedlots and abattoirs at least weekly last audit date.
individual identification of the cattle / Exporters reconcile data received on o 10% of exporters abattoirs in each
buffalo and their destination. movements and processing with country exported to since the last
Records of cattle / buffalo movements are consignment lists and previous movement audit date.
sent to exporters at an agreed frequency, at data. Facility
least weekly. The exporter monitors the receipt of The auditor should, at a minimum
The record of the each days slaughter information against the required review the data provided to the exporter
number is sent to the supply chain officer frequency and investigates and records on movement and processing of cattle /
nightly. failures by importers or facilities to report buffalo on at least:
to the exporter within the specified o 7 randomly selected dates since
frequency. the last audit.
The exporter conducts routine, Note:
documented due diligence activities to If movement or processing data is being
reconcile the accuracy and factualness of sent to the exporter only by a third party
the data received from supply chains. (e.g. the feedlot provides abattoir data,
or the importer provides all data) then a
suitable system for checking and
confirming the validity of the data
should be in place.
7. Cattle and X X Animals identified as pregnant, breeders or A data file exists that identifies all animals Exporter
buffalo that leave a mortalities are recorded with identification that have been removed from the Exporter systems for verifying reports of
consignment due sent to exporters within one week. consignment through pregnancy, mortalities, pregnant cattle or breeder
to mortality, mortality, breeding or non-shipment. transfers particularly where the reports are
pregnancy or Exporters have a system for verifying (e.g. outside of expected or historical ranges
breeding are through sampling) reports of mortalities, may include:
recorded and pregnant cattle / buffalo or breeders Review or report from Supply Chain
reconciled. particularly where the reported numbers Officer, Animal Welfare Officer or other
exceed expected /historical ranges. suitable employee;
Review of end of processing (EOP)
reports;
Photographs of mortalities or
pregnancies.
Note:
8. Essential X X Contractual arrangements are in place Contractual arrangements are in place Essential traceability equipment is:
traceability between importers, feedlots and abattoirs between exporters and importers Abattoir
equipment is at the ensuring facility operators supply and requiring that facility operators supply At least one RFID scanner
facility, maintained maintain essential traceability equipment. and maintain essential animal traceability Feedlot
and in use. Essential traceability equipment is equipment. At least one RFID scanner
physically present, in use and in working A list exists of the essential traceability
order at each facility. equipment within each supply chain
A current maintenance and repair logbook facility.
is onsite. The logbook should also identify The exporter has a process to confirm the
the employee responsible for maintenance. presence and use of essential traceability
Problems with essential traceability equipment on the documented list.
equipment are recorded and reported to The exporter regularly reviews the
the exporter. traceability equipment and maintenance
log book.
Any traceability equipment issues are
identified and reported to facility owners
and importers and where necessary
corrective action has taken place.
9. A process exists X X The exporter representative is notified An SOP is in place through the supply There may be varying SOPs within supply
for recording immediately that there is equipment chain that indicates the process and chains however examples could include:
individual failure. procedures for ensuring identification Movement or processing of animals
identification in An SOP is in place that indicates the process continues to be recorded in the event of ceases until the issues is fixed.
the event of and procedures to be undertaken in the an equipment failure. The movement and processing reverts to
equipment failure. event of an equipment failure. A log is maintained by the exporter of a manual system until the issues are
Facility operators are aware and have an reported equipment failures and where fixed.
understanding of the SOP in the event of necessary corrective action is taken to
electronic equipment failure.
Version 2 FINAL 5 November 2015
resolve issues and verify the
implementation of the appropriate SOP.
10. Auditors and X X Contractual arrangements are in place Contractual arrangements are in place The auditor should immediately report
exporters can between importers, feedlots and abattoirs between the exporter and supply chain to the exporter any incidence of a facility
obtain information that require relevant information to be participants which require relevant resisting providing information during an
from facilities and provided to exporters and auditors upon information be provided to exporters and audit.
supply chains in a request. auditors upon request.
regular, timely and Auditors are able to access information and Failures of facilities / importers to provide
effective manner. are not prevented from viewing relevant access to information for exporters or
information or areas. auditors is recorded and investigated,
with appropriate corrective action taken.
11. Exporter X X Contractual arrangements are in place Contractual arrangements are in place The auditor should immediately report
representatives between importers, feedlots and abattoirs between exporters and supply chain to the exporter any incidence of resisting
have access to to provide agreed access for exporter participants to allow access to agreed access.
facilities within representatives. supply chain exporter representatives.
their supply chain Any incidence of agreed exporter
(by seeking representatives not having access to the
permission in supply chain in accordance with agreed
accordance with access arrangements is logged and
the agreed access recorded.
arrangements).
12. Exporters are X X The facility has records of cattle and buffalo Movement and processing data received Exporter
able to identify the held or slaughtered which can be correlated from facilities is reconciled at least weekly The auditor should review the ability for
location of with those records held by the exporter. and a final report (EOP) is prepared on individual animals to be located through
individual animals completion of the consignment. the supply chain by identifying and
within a supply The exporter has systems in place to having the exporter prove the location
chain through an identify the location of all individual of:
electronic and animals in a supply chain to within, at a o 25 random animals per
visual traceability minimum, a weeks accuracy. consignment at the time of the
system Exporters have systems for confirming the audit.
accuracy of electronic data / Facility
reconciliations with physical cattle and The auditor should correlate the
buffalo locations. identification and location of cattle and
buffalo recorded at the facility with
records held by the exporter. This
should sample a minimum of:
Alternative A separate system that individually identifies the animal other than an electronic system.
identifying tag
Consignment A physical map of the facility showing the location of separate consignments.
facility plans
Consignment Identifying number that separates consignments this could be the LNC number or agreed importer/exporter identification system.
number
Confirmation of Cessation of pulsatile bleeding and rhythmic breathing at the point of slaughter.
death.
Contractual A signed document that outlines the guidelines that meets the standard.
arrangements
Corrective actions A process that corrects an identified issue and/or breach of a standard.
Individually Each animal is manually and or electronically recorded at the point in time relating to the standard.
checked
Operational Currently functioning to meet the standard.
Recorded Manually or electronic information that is documented and stored to support the standard.
SOPs Standard Operating Procedure a document describing the activities and tasks that must be completed