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Module 4: Canning Regulations— 

An Overview 

Thermal Processing for Meat and Poultry 

Products Training 

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Purpose and Objectives 

 Purpose of Module 4 

• Provide an understanding of key sections of 

FSIS canning regulations 

 Performance Objectives 

• Become familiar with main sections of 

regulations 

• Familiarization with and effective use of 

current FSIS Directive 7530.2 

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Subpart G - Canning and Canned 

Products 

 Regulations for canning and canned products 

are contained in: 

• 9 CFR 431.1 through 431.12 

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§431.1 - Definitions 

 Canned Product: meat or poultry product with 

water activity >0.85 which receives a thermal 

process either before or packaging in 

hermetically sealed container 

 Thermal Process: Heat treatment necessary to 

achieve shelf stability as determined by 

Processing Authority 

 Abnormal Container: Container with any sign 

of swelling, product leakage, or any evidence 

that contents of unopened container may be 

spoiled 

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Definitions (con’t.)

 Initial Temperature (I.T.): measured in 

coldest container at start of thermal process 

 Process Temperature (PT): minimum 

maintained temperature of heating medium 

 Process Time (Bb): intended time containers 

exposed to heating medium in retort while at 

or above PT 

 Come-up Time (CUT): elapsed time in 

minutes at start of Bb until retort reaches 

required PT 

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Examinations of Empty Containers 

and Closures 

 §431.2 Examination and Cleaning of Empty 

Containers 

• Closure examinations for rigid containers 

(cans) 

• Visual examinations 

• Teardown examinations 

• Closure examinations for glass containers 

• Visual examination 

• Closure examination and tests 

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Examinations of Empty Containers 

and Closures (con’t.)

• Closure examinations for semirigid and 

flexible containers 

• Visual examination 

• Physical tests 

• Container coding 

• Handling of containers after closure 

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Thermal Processing 

 §431.3 Thermal Processing 

• Process Schedules (PS) 

• Developed by a Processing Authority (PA) 

• Source of process schedules 

• Submittal of process information 

• Any changes to PS evaluated by PA 

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Critical Factors 

 §431.4 Critical Factors 

• Container orientation 

• Product formulation 

• Maximum thickness of flexible containers 

• Retort reel speeds 

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Operations in the Thermal 

Processing Room 

 §431.5 Operations in the Thermal 

Processing Room 

• Posting of processes 

• Process indicators and traffic control 

• Initial temperatures 

• Timing devices 

• Measurement of pH 

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Equipment and Procedures for 

Heat Processing Systems 

 §431.6 Equipment and Procedures for Heat 

Processing Systems 

• Instruments and controls common to 

different systems 

• Indicating temperature devices 

• Mercury-in-glass thermometers 

• Other devices 

• Temperature recording devices 

• Chart-type devices 

• Steam controllers 

• Air valves/water valves 

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Equipment and Procedures for 

Heat Processing Systems (con’t.)

• Instruments and controls common to 

different systems (con't.) 

• Pressure processing in steam 

– Batch still retorts 

» Recommended venting schedules 

– Batch agitating retorts 

– Continuous rotary retorts 

– Hydrostatic retorts 

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Equipment and Procedures for 

Heat Processing Systems (con’t.)

• Pressure processing in water 

– Batch still retorts 

– Batch agitating retorts 

• Pressure processing in steam-air mixtures 

• Atmospheric cookers (batch, continuous) 

• Other systems 

• Equipment maintenance 

• Container cooling and cooling water 

• Post-process container handling 

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Processing and Production 

Records 

 §431.7 Processing and Production 

Records 

• Processing in steam 

• Batch still retorts 

• Batch agitating 

• Continuous rotary 

• Hydrostatic retorts 

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Processing and Production 

Records (con’t.)

• Processing in water 

• Batch still retorts 

• Batch agitating 

• Processing in steam-air mixtures 

• Processing in other systems (e.g., cascade 

or water spray) 

• Atmospheric cookers (batch, continuous) 

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Record Review and Maintenance 

 §431.8 Record Review and Maintenance 

• Process records 

• Automated process monitoring and 

recordkeeping 

• Container closure records 

• Distribution of product 

• Retention of records 

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Deviations in Processing 

 §431.9 Deviations in Processing 

• HACCP plan that addresses microbial 

hazards 

• Procedures for handling deviations if 

microbial hazards occur 

• Deviations identified in-process 

• Deviations identified through record review 

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Finished Product Inspection 

 §431.10 Finished Product Inspection 

• Incubation of shelf stable canned product (if 

applicable) 

• Incubator 

• Incubation temperature 

• Product requiring incubation 

• Incubation samples 

• Incubation time 

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Finished Product Inspection 

(con’t.)

• Incubation checks and records 

• Abnormal containers 

• Shipping 

• Container condition 

• Normal containers 

• Abnormal containers 

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Additional Parts 

 §431.11 Personnel and Training 

 §431.12 Recall Procedure 

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FSIS Directive 7530.2 

Verification Activities in 

Canning Operations That 

Choose to Follow the Canning 

Regulations 

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FSIS Directive 7530.2 (con’t.)

 If the establishment elects not to address 

hazards associated with microbiological 

contamination in its HACCP plan, the decision 

is the hazard is NRLTO 

 Any records required by regulations in 9 CFR 

431 and establishment’s associated process 

documentation would be required to be kept 

under 9 CFR 417.5(a)(1) 

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HACCP Verification Task 

 Select specific production 

 Use RK, RO, or both components 

 Verify monitoring, corrective action, 

verification, and recordkeeping requirements 

at all CCPs (if any) and execution of any 

prerequisite programs 

 Verify canning regulations relevant to the 

specific production (see Dir. 7530.2, IV) 

 Verify 1 or more other canning regulations 

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HACCP Verification Task (con’t.)

Verify that: 

• Process schedule posted 

• Correct process schedule used 

• No formulation, equipment, or treatment 

changes 

• I.T. measured and recorded 

• All critical factors met 

• Deviations appropriately handled 

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HACCP Verification Task (con’t.)

Verify that: 

• Required processing information recorded 

• Only normal containers selected for incubation 

(if applicable) 

 Establishment reviewed all processing and 

production records no later than one working 

day after actual process 

 §417.5(a)(3) requirements met if HACCP plan 

addresses any chemical or physical hazards 

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Corrective Actions 

 If microbial hazards are addressed with 

canning regulations, corrective actions must 

meet per §431.9 

 If a deviation is not handled according to 

§431.9, it is a regulatory noncompliance 

 Unforeseen hazards must be addressed 

according to §417.3(b) 

 If chemical or physical hazards are addressed 

as CCPs, corrective actions for deviations 

from critical limits must meet §417.3(a) 

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Corrective Actions (con’t.)

 If inspection personnel have concerns about 

the establishment’s corrective actions, they 

should contact their supervisor and request 

assistance. 

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Documentation 

 Noncompliance with Part 431 canning 

regulations should be addressed by issuance 

of Noncompliance Record (NRs) and/or 

retention of suspect product 

 When an establishment addresses 

microbiological hazards using the canning 

regulations, IPP document noncompliance 

with applicable canning regulation and also 

§417.5(a)(1) 

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Key Points 

 Must = requirement 

 Should = recommendation 

 Part 431 sections include definitions and 

address requirements for: 

• Containers and closures 

• Thermal processing 

• Critical factors 

• Operations in the thermal processing area 

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Key Points (con’t.)

 Part 431 also addresses requirements for: 

• Equipment and procedures for heat 

processing systems 

• Processing and production records 

• Record review and maintenance 

• Deviations in processing 

• Finish product inspection 

• Personnel and training 

• Recall procedures 

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Key Points (con’t.) 

 IPP must ensure that their assigned facility 

complies with applicable sections of 

regulations 

 Design and application of recommended 

thermal process is critical to finished product 

safety 

 Installation, operation, instrumentation, 

maintenance, and validation of thermal 

processing systems is critical to finished 

product safety 

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Key Points (con’t.)

 Proper handling of thermal process deviations 

and affected product is critical to finished 

product safety 

 Proper handling of abnormal containers (e.g., 

swollen, leaking, evidence of spoilage), 

whether in incubation or found elsewhere, is 

critically important 

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Key Points (con’t.)

 When performing HACCP Verification tasks 

for specific production of canned foods, IPP 

verify HACCP plan implementation (Directive 

5000.1) AND 

 Verify compliance with canning regulations 

relevant to specific production and one or 

more general canning regulations (Directive 

7530.2) 

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Questions?