Attachment_5_-_TE-01_GAP_and_GHP_Audit_Checklist.pdf

For Official Government Use Only USDA, AMS, FV, Specialty Crops Inspection Division

September 18, 2014 Version 1.2

TE-01

USDA Good Agricultural Practices Good Handling Practices

Audit Verification Checklist

Firm Name:

Contact Person:

Audit Site Address:

City: State: Zip:

Mailing Address:

City: State: Zip:

Telephone No: Fax:

E-mail:

Auditor(s) (list all auditors with the lead listed first):

USDA or Fed-State Office performing audit:

Arrival Date:

Departure Date:

Time:

Time:

Travel Time (hours)

Person(s) Interviewed:

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh fruits, vegetables, nuts and miscellaneous commodities by microbial pathogens based on the U.S. Food and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables,” and generally recognized good agricultural practices.

Attachment 5 - SP3300-17-R-5001

September 18, 2014 Version 1.2

Did the auditee participate in GAP & GHP training?

Yes No

Is there a map that accurately represents the farm operations?

Yes No N/A

Legal Description/GPS/Lat.&Long. of Location:

Are all crop production areas located on this audit site?

Total acres farmed (Owned, leased/rented, contracted, consigned):

Does the company have more than one packing facility?

Is there a floor plan of the packing house facility(s) indicating flow of product, storage areas, cull areas, employee break rooms, restrooms, offices?

Is any product commingled prior to packing?

Yes No

Audit Scope: (Please check all scopes audited)

General Questions (All audits must begin with and pass this portion)

Part 1 – Farm Review………………………………………………………………………….

Part 2 - Field Harvest and Field Packing Activities…………………………………...…

Part 3 - House Packing Facility………………………………………………………………

Part 4 – Storage and Transportation…………………………………………………...……

Part 5 – (Not Used)

Part 6 – Wholesale Distribution Center/Terminal Warehouse.…………………………

Part 7 – Preventive Food Defense Procedures.………………………….…………...….

Commodities:

Conditions Under Which an Automatic "Unsatisfactory" Will be Assessed

• An immediate food safety risk is present when produce is grown, processed, packed or held under conditions that promote or cause the produce to become contaminated.

• The presence or evidence of rodents, an excessive amount of insects or other pests in the produce during packing, processing or storage.

• Observation of employee practices (personal or hygienic) that have jeopardized or may jeopardize the safety of the produce.

• Falsification of records.

• Answering of Questions P1 or P2 as “NO”.

Auditor Completion Instructions

• For clarification and guidance in answering these questions, please refer to the Good Agricultural Practices & Good Handling Practices Audit Verification Program Policy and Instruction Guide.

• Place the point value for each question in the proper column (Yes, No, or N/A).

• Gray boxes in the “N/A” column indicate that question cannot be answered “N/A”.

• Any “N/A” or “No” designation must be explained in the comments section.

• The "Doc" column:

• A "D" indicates that a document(s) is required to show conformance to the question. A document may be a combination of standard operating procedures outlining company policy as well as a record indicating that a particular action was taken.

• A "R" indicates that a record is required to be kept showing an action was taken.

• A "P" indicates that a policy/standard operating procedure (SOP) must be documented in the food safety plan in order to show conformance to the question.

September 18, 2014 Version 1.2

USDA Good Agricultural Practices and Good Handling Practices Audit Verification Checklist

General Questions Implementation of a Food Safety Program

Questions Points Yes NO N/A Doc P-1 A documented food safety program that incorporates GAP and/or GHP has been implemented.

D

P-2 The operation has designated someone to implement and oversee an established food safety program.

Name

Traceability

G-1 A documented traceability program has been established. 15 D

G-2 The operation has performed a "mock recall" that was proven to be effective. 10 R

Worker Health & Hygiene

G-3 Potable water is available to all workers. 10 R G-4 All employees and all visitors to the location are required to follow proper sanitation and hygiene practices.

P

G-5 Training on proper sanitation and hygiene practices is provided to all staff. 15 D

G-6 Employees and visitors are following good hygiene/sanitation practices. 15

G-7 Employees who handle or package produce are washing their hands before beginning or returning to work.

G-8 Readily understandable signs are posted to instruct employees to wash their hands before beginning or returning to work.

G-9 All toilet/restroom/field sanitation facilities are clean. They are properly supplied with single use towels, toilet paper, hand soap or anti-bacterial soap, and potable water for hand washing.

G-10 All toilet/restroom/field sanitation facilities are serviced and cleaned on a scheduled basis. 10 R

FORM APPROVED BY OMB No. 0581-0125

UNITED STATES DEPARTMENT OF AGRICULTURE

AGRICULTURAL MARKETING SERVICE, FRUIT AND VEGETABLE PROGRAM

REQUEST FOR AUDIT SERVICES

(This is the only acceptable form for fax or electronic submission to USDA for audit requests) NOTE: Fill in all appropriate blocks. Requested services may be delayed because of incomplete information. Type of service requested must be selected below.

Services will be declined if the request is beyond our scope of certification. Once a request has been received, a USDA representative will make contact within 48 hours of receipt to schedule the audit.

DATE OF REQUEST: ANTICIPATED DATE OF AUDIT:

AUDITEE INFORMATION FARM / FACILITY INFORMATION

Company Name:

Location:

Street Address:

City, State & Zip: Total Acres / Total Sq Feet to be audited:

Phone Number:

Contact Person:

APPLICANT INFORMATION COMMODITIES TO BE COVERED BY AUDIT (Please List)

Company Name

Fax Number:

E-mail:

TYPE OF AUDIT SERVICES REQUESTED (Please choose at least one)

□ Produce GAPs Harmonized Audit - Field Operations & Harvesting w/ Global Markets Primary Production Addendum

□ Produce GAPs Harmonized Audit - Post Harvest

□ Produce GAPs Harmonized Audit – Post Harvest w/ Global Markets Primary Production Addendum

□ Mushroom Specific GAP Audit (M-GAP)

□ Tomato Audit Protocol - Open Field Production, Harvest & Field Packing

□ Tomato Audit Protocol - Packinghouse

□ Tomato Audit Protocol - Greenhouse

□ Tomato Audit Protocol – Repacking and Distribution

□ Plant Systems Audit (PSA)

□ USDA Good Agricultural Practices and Good Handling Practices (GAP&GHP) Audit (choose scopes below)

□ Part 1 – Farm Review

□ Part 2 – Field Harvest & Field Packing Activities

□ Part 3 – House Packing Facility

□ Part 4 – Storage & Transportation

□ Part 6 – Wholesale Distribution Center / Terminal Warehouse

□ Part 7 – Preventative Food Defense Procedures

□ Food Defense

□ Other:

ADDITIONAL

REMARKS

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0581-0125. The time required to complete this information collection is estimated average 2 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status, familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal or because all or part of an individual’s income is derived from any public assistance program. (Not all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for communication of program information (Braille, large print, audiotape, etc.)

should contact USDA’s TARGET Center at (202)720-2600 (voice and TDD). To file a complaint of discrimination, write to USDA, Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, or call (800)795-3272 (voice) or (202)720-6382 (TDD). USDA is an equal opportunity provider and employer.

FV-237A (04-14) (Previous editions are to be destroyed)

September 18, 2014 Version 1.2

G-11 Smoking and eating are confined to designated areas separate from where product is handled. 10 P

G-12 Workers with diarrheal disease or symptoms of other infectious diseases are prohibited from handling fresh produce.

G-13 There is a policy describing procedures which specify handling/disposition of produce or food contact surfaces that have come into contact with blood or other bodily fluids.

G-14 Workers are instructed to seek prompt treatment with clean first aid supplies for cuts, abrasions and other injuries.

G-15 Company personnel or contracted personnel that apply regulated pre-harvest and/or post harvest materials are licensed. Company personnel or contracted personnel applying non-regulated materials have been trained on its proper use.

R

COMMENTS:

September 18, 2014 Version 1.2

Total Points earned for General Questions =

Total Possible

Subtract "N/A"

Adjusted Total

X .8 (80%)

Passing Score

= 180

The total number of points possible for this section.

Enter the additive number of N/A points (+points) here.

Subtract the N/A points from the Total possible points

Multiply the Adjusted Total by .8 and show it as the

Pass Fail (please mark one)

For further information regarding the USDA GAP & GHP Audit Program, please contact:

USDA Fruit and Vegetable Program, Specialty Crops Inspection Division, Audit Services Branch at 202-720-5021, or FVAudits@ams.usda.gov

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh fruits, vegetables, nuts and miscellaneous commodities by microbial pathogens based on the U.S. Food and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables,” and generally recognized good agricultural practices.

mailto:FVAudits@ams.usda.gov

September 18, 2014 Version 1.2

(1-1)

Part 1 - Farm Review Water Usage

What is the source of irrigation water? (Pond, Stream, Well, Municipal, Other) Please specify:

(1-2) How are crops irrigated? (Flood, Drip, Sprinkler, Other) Please specify:

1-3 A water quality assessment has been performed to determine the quality of water used for irrigation purpose on the crop(s) being applied.

1-4 A water quality assessment has been performed to determine the quality of water use for chemical application or fertigation method.

1-5 If necessary, steps are taken to protect irrigation water from potential direct and non-point source contamination.

Sewage Treatment

1-6 The farm sewage treatment system/septic system is functioning properly and there is no evidence of leaking or runoff.

1-7 There is no municipal/commercial sewage treatment facility or waste material landfill adjacent to the farm.

Animals/Wildlife/Livestock

1-8 Crop production areas are not located near or adjacent to dairy, livestock, or fowl production facilities unless adequate barriers exist.

1-9 Manure lagoons located near or adjacent to crop production areas are maintained to prevent leaking/overflowing, or measures have been taken to stop runoff from contaminating the crop production areas.

September 18, 2014 Version 1.2

1-10 Manure stored near or adjacent to crop production areas is contained to prevent contamination of crops.

1-11 Measures are taken to restrict access of livestock to the source or delivery system of crop irrigation water.

1-12 Crop production areas are monitored for the presence or signs of wild or domestic animals the entering the land.

1-13 Measures are taken to reduce the opportunity for wild and/or domestic animals from entering crop production areas.

Manure and Municipal Biosolids Please choose one of the following options as it relates to the farm operations:

Option A. Raw manure or a combination of raw and composed manure is used as a soil amendment.

Option B. Only composted manure/treated municipal biosolids are used as soil amendments.

Option C. No manure or municipal biosolids of any kind are used as soil amendments.

Only answer the following manure questions (questions 1-14 to 1-22) that are assigned to the Option chosen above. DO NOT answer the questions from the other two options. The points from the manure and municipal biosolids are worth 35 of a total 190 points, and answering questions from the other two options will cause the points to calculate incorrectly.

Option A: Raw Manure Points Yes NO N/A Doc 1-14 When raw manure is applied, it is incorporated at least 2 weeks prior to planting or a minimum of 120 days prior to harvest.

1-15 Raw manure is not used on commodities that are harvested within 120 days of planting. 10 R

1-16 If both raw and treated manure are used, the treated manure is properly treated, composted or exposed to reduce the expected levels of pathogens.

1-17 Manure is properly stored prior to use. 5

September 18, 2014 Version 1.2

Option B: Composted Manure Points Yes NO N/A Doc

1-18 Only composted manure and/or treated biosolids are used as a soil amendment. 10 R

1-19 Composted manure and/or treated biosolids are properly treated, composted, or exposed to environmental conditions that would lower the expected level of pathogens.

1-20 Composted manure and/or treated biosolids are properly stored and are protected to minimize recontamination.

1-21 Analysis reports are available for composted manure/treated biosolids. 5 R

Option C: No Manure/Biosolids Used Points Yes NO N/A Doc 1-22 No animal manure or municipal biosolids are used. 35 P

Soils

1-23 A previous land use risk assessment has been performed. 5 R

1-24 When previous land use history indicates a possibility of contamination, preventative measures have been taken to mitigate the known risks and soils have been tested for contaminants and the land use is commensurate with test results.

1-25 Crop production areas that have been subjected to flooding are tested for potential microbial hazards.

1-26 Each production area is identified or coded to enable traceability in the event of a recall. 10 R

September 18, 2014 Version 1.2

Total Points earned for Farm Review =

= 190

Enter the additive number of N/A points (+points) here.

Subtract the N/A points from the Total possible points

X .8 (80%) Multiply the Adjusted Total by .8 and show it as the

Passing Score =

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh fruits, vegetables, nuts and miscellaneous commodities by microbial pathogens based on the U.S. Food and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables,” and generally recognized good agricultural practices.

September 18, 2014 Version 1.2

Part 2 - Field Harvest and Field Packing Activities

Field Sanitation and Hygiene

2-1 A documented pre-harvest assessment is made on the crop production areas. Risks and possible sources of crop contamination are noted and assessed.

2-2 The number, condition, and placement of field sanitation units comply with applicable state and/or federal regulations.

2-3 When question 2-2 is answered "N/A" (sanitation units are not required), a toilet facility is readily available for all workers.

2-4 Field sanitation units are located in a location that minimizes the potential risk for product contamination and are directly accessible for servicing.

2-5 A response plan is in place for the event of a major spill or leak of field sanitation units or toilet facilities.

Field Harvesting and Transportation

2-6 All harvesting containers and bulk hauling vehicles that come in direct contact with product are cleaned and/or sanitized on a scheduled basis and kept as clean as practicable.

2-7 All hand harvesting equipment and implements (knives, pruners machetes, etc.) are kept as clean as practical and are disinfected on a scheduled basis.

2-8 Damaged containers are properly repaired or disposed of. 5

2-9 Harvesting equipment and/or machinery which comes into contact with product is in good repair.

2-10 Light bulbs and glass on harvesting equipment are protected so as not to contaminate produce or fields in the case of breakage.

September 18, 2014 Version 1.2

2-11 There is a standard operating procedure or instructions on what measures should be taken in the case of glass/plastic breakage and possible contamination during harvesting operations.

2-12 There is a standard operating procedure or instructions on what measures should be taken in the case of product contamination by chemicals, petroleum, pesticides or other contaminating factors.

2-13 For mechanically harvested product, measures are taken during harvest to inspect for and remove foreign objects such as glass, metal, rocks, or other dangerous/toxic items.

2-14 Harvesting containers, totes, etc. are not used for carrying or storing non- produce items during the harvest season, and farm workers are instructed in this policy.

2-15 Water applied to harvested product is microbially safe. 15 R

2-16 Efforts have been made to remove excessive dirt and mud from product and/or containers during harvest.

2-17 Transportation equipment used to move product from field to storage areas or storage areas to processing plant which comes into contact with product is clean and in good repair.

2-18 There is a policy in place and has been implemented that harvested product being moved from field to storage areas or processing plants are covered during transportation.

2-19 In ranch or field pack operations, only new or sanitized containers are used for packing the product.

2-20 Packing materials used in ranch or field pack operations are properly stored and protected from contamination.

2-21 Product moving out of the field is uniquely identified to enable traceability in the event of a recall.

September 18, 2014 Version 1.2

Total Points earned for Field Harvesting & Field Packaging =

Total Possible

Subtract "N/A"

= 185

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and

September 18, 2014 Version 1.2

USDA Good Agricultural Practices Good Handling Practices

Part 3 - HOUSE PACKING FACILITY

Receiving

3-1 Product delivered from the field which is held in a staging area prior to packing or processing is protected from possible contamination.

3-2 Prior to packing, product is properly stored and/or handled in order to reduce possible contamination.

Washing/Packing Line

3-3 Source water used in the packing operation is potable. 15 R

3-4 If applicable, the temperature of processing water used in dump tanks, flumes, etc., is monitored and is kept at temperatures appropriate for the commodity.

3-5 Processing water is sufficiently treated to reduce microbial contamination. 10 D

3-6 Water-contact surfaces, such as dump tanks, flumes, wash tanks and hydro coolers, are cleaned and/or sanitized on a scheduled basis.

3-7 Water treatment (strength levels and pH) and exposure time is monitored and the facility has demonstrated it is appropriate for the product.

3-8 Food contact surfaces are in good condition;

cleaned and/or sanitized prior to use and cleaning logs are maintained.

3-9 Product flow zones are protected from sources of contamination. 10

3-10 The water used for cooling and/or making ice is potable. 15 R

3-11 Any ice used for cooling produce is manufactured, transported and stored under sanitary conditions.

September 18, 2014 Version 1.2

Packing House Worker Health & Hygiene

3-12 Employee facilities (locker rooms, lunch and break areas, etc.) are clean and located away from packing area.

3-13 When there is a written policy regarding the use of hair nets/beard nets in the production area, it is being followed by all employees and visitors.

3-14 When there is a written policy regarding the wearing of jewelry in the production area, it is being followed by all employees and visitors.

Packing House General Housekeeping

3-15 Only food grade approved and labeled lubricants are used in the packing equipment/machinery.

3-16 Chemicals not approved for use on product are stored and segregated away from packing area. 10

3-17 The plant grounds are reasonably free of litter and debris. 5

3-18 The plant grounds are reasonably free of standing water. 5

3-19 Outside garbage receptacles/dumpsters are closed or are located away from packing facility entrances and the area around such sites is reasonably clean.

3-20 Packing facilities are enclosed. 5 3-21 The packing facility interior is clean and maintained in an orderly manner. 5

3-22 Floor drains appear to be free of obstructions. 5 3-23 Pipes, ducts, fans and ceilings which are over food handling operations, are clean. 5

3-24 Glass materials above product flow zones are contained in case of breakage. 10

3-25 Possible wastewater spillage is prevented from contaminating any food handling area by barriers, drains, or a sufficient distance.

3-26 There is a policy describing procedures which specify handling/disposition of finished product that is opened, spilled, or comes into contact with the floor.

September 18, 2014 Version 1.2

3-27 Only new or sanitized containers are used for packing the product. 10 D

3-28 Pallets and containers are clean and in good condition. 5

3-29 Packing containers are properly stored and protected from contamination (birds, rodents, and other pests).

Pest Control

3-30 Measures are taken to exclude animals or pests from packing and storage facilities. 10 D

3-31 There is an established pest control program for the facility. 10 D

3-32 Service reports for the pest control program are available for review. 5 R

3-33 Interior walls, floors and ceilings are well maintained and are free of major cracks and crevices.

3-34 Records are kept recording the source of incoming product and the destination of outgoing product which is uniquely identified to enable traceability.

September 18, 2014 Version 1.2

Total Points earned for House Packing Facility =

= 290

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and

September 18, 2014 Version 1.2

Part 4 - STORAGE AND TRANSPORTATION Product, Containers & Pallets

4-1 The storage facility is cleaned and maintained in an orderly manner. 5

4-2 Bulk storage facilities are inspected for foreign material prior to use and records are maintained. 5 R

4-3 Storage rooms, buildings, and/or facilities are maintained and sufficiently sealed or isolated and are protected from external contamination.

4-4 Storage grounds are reasonably free of litter and debris. 5

4-5 Floors in storage areas are reasonably free of standing water. 5

4-6 Possible wastewater spillage is prevented from contaminating any food handling area by barriers, drains, or sufficient distance.

4-7 There is a policy describing procedures which specify handling/disposition of finished product which is opened, spilled, or comes into contact

4-8 Packing containers are properly stored and sufficiently sealed, to be protected from contamination (birds, rodents, pests, and other contaminants).

4-9 Pallets, pallet boxes, tote bags, and portable bins, etc. are clean, in good condition and do not contribute foreign material to the product.

4-10 Product stored outside in totes, trucks, bins, other containers or on the ground in bulk is covered and protected from contamination.

4-11 Non-food grade substances such as paints, lubricants, pesticides, etc., are not stored in close proximity to the product.

4-12 Mechanical equipment used during the storage process is clean and maintained to prevent contamination of the product.

September 18, 2014 Version 1.2

4-13 Measures are taken to exclude animals or pests from storage facilities. 10 D

4-14 There is an established pest control program for the facility. 10 D

4-15 Service reports for the pest control program are available for review. 5 R

4-16 Interior walls, floors, and ceilings are well-maintained and are free of major cracks and

Ice & Refrigeration

4-17 The water used for cooling and/or making ice is potable. 15 R

4-18 Manufacturing, storage, and transportation facilities used in making and delivering ice used for cooling the product have been sanitized.

4-19 Climate-controlled rooms are monitored for temperature and logs are maintained. 5 D

4-20 Thermometer(s) are checked for accuracy and records are available for review. 5 D

4-21 Refrigeration system condensation does not come in contact with produce. 10

4-22 Refrigeration equipment (condensers, fans, etc.)

is cleaned on a scheduled basis. 10 D

4-23 Iced product does not drip on pallets of produce stored below. 10

Transportation

4-24 Prior to the loading process, conveyances are required to be clean, in good physical condition, free from disagreeable odors, and from obvious dirt/debris.

4-25 Produce items are not loaded with potentially contaminating products. 10 P

4-26 Company has a written policy for transporters and conveyances to maintain a specified temperature(s) during transit.

4-27 Conveyances are loaded to minimize damage to product. 5 P

September 18, 2014 Version 1.2

Worker Health and Personal Hygiene

4-28 Employee facilities (locker rooms, lunch and from storage, shipping, and receiving areas.

4-29 When there is a written policy regarding the use of hair/beard nets in the storage and transportation areas, it is being followed by all affected employees and visitors.

4-30 When there is a written policy restricting the wearing of jewelry in the storage and transportation areas, it is being followed by all affected employees and visitors.

4-31 Records are kept regarding the source of incoming product and the destination of outgoing product which is uniquely identified to enable traceability.

September 18, 2014 Version 1.2

Total Points earned for Storage & Transportation =

= 255

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and

September 18, 2014 Version 1.2

Part 6-Wholesale Distribution Center/Terminal Warehouses Receiving

Storage Facility/Temperature Control

6-6 The facility is clean and maintained in an orderly manner. 5

6-7 Refrigerated rooms are monitored for temperature and logs are maintained. 5 D

6-8 Thermometer(s) are checked for accuracy and records are available for review. 5 D

6-9 Refrigeration system condensation does not come into contact with produce. 10

6-10 Refrigeration equipment (condensers, fans, etc.) is cleaned on a scheduled basis. 10 D

6-11 Iced product does not drip on pallets of produce stored below. 10

6-12 The water used for cooling/ice is potable. 10 R 6-13 Manufacturing, storage, and transportation facilities used in making and delivering ice used for cooling the product are sanitized on a scheduled basis.

6-14 There is a policy describing procedures which specify handling/disposition of finished product which is opened, spilled, or comes into contact

6-1 All companies that supply fresh produce are required to have passed a third party audit verification of GAP and/or GHP.

6-2 Upon receiving, conveyances are required to be clean, in good physical condition and free from obvious objectionable odors, dirt and/or debris at time of unloading.

6-3 Company does not accept produce items that are loaded with or are not protected from potentially contaminating products.

6-4 Refrigerated commodities are monitored for temperatures at the time of receiving. 5 R

6-5 The company has a written policy regarding the disposition of product when temperatures are not within the company's guidelines at the time of receiving.

September 18, 2014 Version 1.2

6-15 Product flow zones are protected from sources of contamination. 10

6-16 Glass materials above product flow zones are contained in case of breakage. 10

6-17 The grounds are reasonably free of litter and debris. 5

6-18 The grounds are reasonably free of standing water. 5

6-19 Outside garbage receptacles/dumpsters are closed or are located away from facility entrances and the area around such sites is reasonably clean.

6-20 The facility is enclosed. 5 6-21 Floor drains appear to be free of obstructions. 5 6-22 Pipes, ducts, fans, and ceilings in the facility are reasonably clean. 5

6-23 Possible wastewater spillage is prevented from contaminating any food storage or handling area by barriers, drains, or a sufficient distance.

6-24 Non-food grade substances such as paints, lubricants, pesticides, etc., are not stored in close proximity to the product.

6-25 Measures are taken to exclude animals or pests from the facility. 10 D

6-26 There is an established pest control program for the facility. 10 D

6-27 Service reports for the pest control program are available for review. 5 R

6-28 Interior walls, floors and ceilings are well-maintained and free of major cracks and

Repacking/Reconditioning (6-29) Does the facility repack and/or recondition product?

YES NO (please mark one) If the answer to question 6-29 is YES, answer questions 6-30 through 6-41. If the answer for question 6-29 is NO, then questions 6-30 through 6-41 are answered N/A.

September 18, 2014 Version 1.2

6-30 Repacking/reconditioning processes are confined to an established location in the facility.

6-31 Food contact surfaces are in good condition;

cleaned and/or sanitized prior to use and cleaning logs are maintained.

6-32 Source water used in the repacking operation is potable. 15 R

6-33 Processing water is sufficiently treated to reduce microbial contamination. 10 D

6-34 Water treatment (strength levels and pH) and exposure time is monitored and is appropriate for product.

6-35 If applicable, the temperature of processing water used in dump tanks, flumes, etc., is monitored and is kept at temperatures appropriate for the commodity.

6-36 Any ice used for cooling produce is manufactured, transported and stored under sanitary conditions.

6-37 Water used for chilling and/or to make ice is potable. 15 R

6-38 Only food grade approved and labeled lubricants are used in the repacking equipment/machinery.

6-39 Only new or sanitized containers are used for product repacking. 10 P

6-40 Pallets and other containers are clean and in good condition. 5

6-41 Packing containers are properly stored and protected from contamination (birds, rodents, and other pests, etc.).

Worker Health and Personal Hygiene

6-42 Employee facilities (locker rooms, lunch and from repack and storage area.

6-43 When there is a written policy regarding the use of hair nets/beard nets in the facility, it is being followed by all affected employees and visitors.

September 18, 2014 Version 1.2

6-44 When there is a written policy restricting the wearing of jewelry in the facility, it is being followed by all affected employees and visitors.

Shipping/Transportation

6-45 Prior to the loading process, conveyances are required to be clean, in good physical condition, free from disagreeable odors and from obvious dirt/debris.

6-46 Produce items are not loaded with potentially contaminating products. 10 P

6-47 Company has a written policy for transporters and conveyances to maintain a specified temperature(s) range during transit.

6-48 Records are kept recording the source of incoming product and the destination of outgoing product which is uniquely identified to enable traceability.

September 18, 2014 Version 1.2

Total Points earned for Wholesale Distribution Center/Terminal Warehouse =

= 410

This program is intended to assess a participant’s efforts to minimize the risk of contamination of fresh and Drug Administration’s “Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and

September 18, 2014 Version 1.2

Part 7 - Preventive Food Defense Procedures Based on the U.S. Food and Drug Administration’s Food Producers, Processors, and Transporters:

Food Security Preventive Measure Guidance for Industry.

Secure Employee/Visitor Procedures

7-1 The company has a documented food defense plan and a person has been designated to oversee it.

Name:

7-2 Food defense training has been provided to all employees. 5 D

7-3 Employees are aware of whom in management they should contact about potential security problems/issues.

Name of management representative:

7-4 Visitors are required to check in (showing proof of identity) and out, when entering/leaving the facility.

7-5 The purpose of visitation to site is verified before admittance to the facility. 5 D

7-6 Visitors are prohibited from the packing/storage areas unless accompanied by an employee.

7-7 Incoming and outgoing employee and visitor vehicles to and from the site are subject to inspection.

7-8 Parked vehicles belonging to employees and visitors display a decal or placard issued by the facility.

7-9 Staff is prohibited from bringing personal items into the handling or storage areas. 5 D

7-10 Staff access in the facility is limited to the area of their job function and unrestricted areas. 5 D

7-11 Management is aware of which employee should be on the premises, and the area they are assigned to.

7-12 A system of positive identification of employees has been established and is enforced.

September 18, 2014 Version 1.2

Secure Facility Procedures

7-13 Uniforms, name tags, or identification badges are collected from employees prior to the termination of employment.

7-14 The mailroom is located away from the packing/storage facilities. 5

7-15 Computer access is restricted to specific personnel. 5 D

7-16 A system of traceability of computer transactions has been established. 5

7-17 A minimum level of background checks has been established for all employees. 5 D

7-18 Routine security checks of the premises are performed for signs of tampering, criminal or terrorist activity.

7-19 Perimeter of facility is secured by fencing or other deterrent. 5

7-20 Checklists are used to verify the security of doors, windows, and other points of entry. 5 D

7-21 All keys to the establishment are accounted for. 5 D

7-22 The facility has an emergency lighting system. 5 7-23 The facility is enclosed. 5 7-24 Storage or vehicles/containers/trailers/railcars that are not being used are kept locked. 5

7-25 Delivery schedules have been established. 5 7-26 The off-loading of incoming materials is supervised. 5

7-27 The organization has an established policy for rejecting deliveries. 5 D

7-28 Unauthorized deliveries are not accepted. 5 D 7-29 The company does not accept returned

(empty) containers for packing of product unless they are sanitized containers intended for reuse.

7-30 The facility has a program in place to inspect product returned to the facility for tampering. 5 D

7-31 The company has identified the individual(s), with at least one backup, who are responsible for recalling the product.

7-32 The company has performed a successful mock recall of product to the facility. 5 D

September 18, 2014 Version 1.2

7-33 Product imported from outside the United States is segregated from domestic product. 5 D

7-34 Allergens handled by the facility are segregated from products to avoid cross contamination.

7-35 Floor plans, product flow plans, and/or segregation charts are in a secure location. 5 D

7-36 The organization has registered with the FDA and has been issued a registration number (do not record the number on checklist).

September 18, 2014 Version 1.2

Total Points earned for Preventative Food Defense Procedures =

= 180

United States Department of Agriculture Good Agricultural Practices & Good Handling Practices Agricultural Marketing Services

Specialty Crops Inspection Division Audit Verification Program Scoresheet www.ams.usda.gov/gapghp

EVALUATION ELEMENTS

Scopes Requested

Element Possible

Points Less N/A

Points Adjusted

Points Passing Score*

Facility Score

Pass Fail

Date Passed

General Questions

Reviewing Official

Unannounced

X General Questions 180 Part 1 – Farm Review 190 Part 2 – Field Harvesting & Field

Packing Activities

Part 3 – House Packing Facility 290 Part 4 – Storage and

Transportation

Part 6 – Wholesale Distribution Center/ Warehouses

Part 7 – Preventative Food Defense Procedures

*A Passing Score is 80% of the Possible Points, or the Adjusted Points if adjustments are necessary, with no "automatic unsatisfactory" conditions.

Commodities:

Send completed GAP&GHP Certificate to: (choose one) Inspection office: (list office) Directly to auditee above:

Lead Auditor Name (Print):

Signature & Date:

Duty Station: All Scopes Completed:

For USDA HQ use:

Reviewing Official Name (Print):

Signature & Date:

To verify a company's continued good standing in the USDA GAP&GHP Program please visit http://www.ams.usda.gov/gapghp

Facility Name (Print) as it should appear on Certificate:

Street Address (Print): City (Print): State (Print): Zip (Print):

e-mail Address (Print): fax number: Date Audit Requested:

Date of Previous Audit :

Date Audit Began: Date Audit Completed: USDA Commodity Procurement Audit?

Check One Yes No Time Audit Began: Time Audit Completed:

http://www.ams.usda.gov/gapghp http://www.ams.usda.gov/gapghp

USDA Checklist

USDA, AMS, Fruit and Vegetable Program Good Agricultural Practice & Good Handling Practices

CORRECTIVE ACTION REPORT

Report #:

of

Company Name/Farm: Date:

Lead Auditor:

Crops(s):

Description of Non Conformity:

Notified company staff at time of finding non-conformity (Yes or No):

Checklist question number and/or section of auditee food safety plan associated with non-conformity:

Corrective Action Proposed and Time Frame for Implementation: (Attach separate sheet if necessary)

Company Representative Signature:

Signature affirms statements concerning Non‐Conformity, Corrective Action, and Implementation are correct.

Auditor signature for acceptance of proposed corrective action and timetable for implementation:

Top portion for AUDITOR USE ONLY; bottom portion for Company and Auditor use.

AGREEMENT FOR PARTICIPATION IN AUDIT VERIFICATION PROGRAMS

Good Agricultural Practices & Good Handling Practices Audit Program (GAP&GHP) Identity Preservation Program (IP)

Partners in Quality Audit Program (PIQ)

Company Information

I a duly authorized representative of (Insert Name)

(Name of Company) (Street Address, City, State, and Zip Code) hereinafter referred to as the applicant, do hereby agree to be audited under a voluntary USDA, AMS, Specialty Crops Inspection Division audit program. The audit shall include verification of the company’s farm(s), packing facilities, storage facilities, wholesale distribution centers or other locations as applicable to the audit scope(s).

1. The applicant agrees that with respect to:

a. Laws, Regulation, Statutes - To conform with all applicable Federal, State, and local government laws, regulations, or statutes, including, but not limited to: Regulations Governing Inspection and Certification of Fruits and Vegetables and Related Products (7 CFR, Part 51), any other pertinent regulations, and any such instructions covering inspection and certification of the products and verification of the processes as may be issued by AMS.

b. Audit Request - To contact and schedule the audit with the appropriate federal or federal-state inspection office (using the FV-237A form). The request for the initial audit will be made no later than two (2) weeks prior to the end of the growing/harvesting/packing season.

c. Records - To maintain all records required by the specific audit program including, but not limited to, quality manual, food safety manual, water test results, employee training records, manure use records, laboratory testing results and other records as required by the quality manual, food safety manual or specific audit program requirements. The applicant shall make these records available to USDA federal and/or federal-state auditors.

d. Access to Facilities - To grant permission for AMS authorized personnel to enter any and all farms and/or facilities covered by the specific audit program for the purposes of conducting the audit. This includes the initial audit and any unannounced audits as may be required by the program.

e. Payment - To pay by credit card, check, draft, or money order drawn to the order of the appropriate federal or federal-state agency for the services covered herein on or before the due date specified on the billing statement. Charges for GAP&GHP audits include, but are not limited to, the audit fee as listed in the fee schedule or Federal Register and travel expenses for the initial audit and any unannounced audits as may be required by the program. Failure to pay for services will result in decertification.

2. AMS agrees that with respect to:

a. Perform Audit – To provide objective third-party verification of the applicant’s specific audit program using internationally recognized audit principles.

b. Opening & Exit Interviews - To discuss the audit prior to and report the results and observations with the applicant after each audit and provide a timeframe in which a copy of the completed audit report or checklist will be provided.

c. Reports - To issue to the applicant reports of all audits and evaluations of the applicant’s specific audit program and provide written notification of any deficiencies found, if any.

d. Confidentiality - To consider and treat any trade secrets or confidential information as proprietary and confidential.

To consider any records and related information provided to AMS as information that is voluntarily submitted to AMS because of their participation in the specific audit program.

e. Issuance of Certificate, Posting and Sharing Audit Results - To issue a certificate to the applicant and to post audit results to the USDA website, only when the applicant meets the USDA acceptance criteria for each scope being audited. NOTE: If an applicant does not want their company to be posted on the USDA website they must put their request in writing. To provide the specific applicant checklist and results of individual questions to other parties or web-based systems only at the written request of the applicant (See the Optional section on page 2 of this form).

NOTE: Reports containing a compilation of audit information can be shared with the Food and Drug Administration.

In addition, AMS will notify FDA in the event of an imminent food safety risk.

FV-651 (04-14) Page 1 of 2

3. It is mutually agreed that with respect to:

a. Length of Service - That the audit results for GAP&GHP audits are valid for one year from the date of the initial audit, provided that the USDA acceptance criteria is met on both the initial audit and any unannounced audits that may be required by the program. For all other audit programs, the length of service is outlined in the specific audit program policy guide. This agreement shall remain in effect for the length of time the auditee remains a participant in the specific audit program.

b. Maintaining Certification - That a company’s information will only remain on the USDA website if any and all unannounced audits show satisfactory adherence to the program. If the minimum passing score is not achieved, the company’s information will be removed from the website until a follow-up audit is conducted by AMS verifying that effective corrective actions have been taken and the company attains the minimum score on all appropriate scopes of the audit.

Approved By:

Name of Applicant (Print): Title:

Signature: Date:

USDA Agricultural Marketing Service, Fruit & Vegetable Program/ Federal or Federal-State Inspection Program Supervisor

Name of Representative (Print): Title:

Signature: Date:

(OPTIONAL) The applicant request AMS to release audit results to:

a. Web-based Systems- The auditee designates the audit report is loaded into the following database (check all that apply):

___ icix ___ Azzule Systems ___ FoodLogiQ

b. Other Parties- The auditee designates the specific applicant checklist and results of individual questions be sent to:

(Name of Company/Representative) (Email Address) (Phone)

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0581-0125. The time required to complete this information collection is estimated to average 2 minutes/hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status, familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal, or because all or part of an individual’s income is derived from any public assistance program. (Not all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for communication of program information (Braille, large print, audiotape, etc.) should contact USDA’s TARGET Center at (202) 720-2600 (voice and TDD). To file a complaint of discrimination, write to USDA, Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, or call (800) 795-3272 (voice) or (202) 720-6382 (TDD). USDA is an equal opportunity provider and employer.

FV-651 (04-14) (Previous editions are to be destroyed) Page 2 of 2

REQUEST FOR AUDIT SERVICES

(This is the only acceptable form for fax or electronic submission to USDA for audit requests) NOTE: Fill in all appropriate blocks. Requested services may be delayed because of incomplete information. Type of service requested must be selected below.

Services will be declined if the request is beyond our scope of certification. Once a request has been received, a USDA representative will make contact within 48 hours of receipt to schedule the audit.

DATE OF REQUEST: ANTICIPATED DATE OF AUDIT:

AUDITEE INFORMATION FARM / FACILITY INFORMATION

Company Name:

Location:

Street Address:

City, State & Zip: Total Acres / Total Sq Feet to be audited:

APPLICANT INFORMATION COMMODITIES TO BE COVERED BY AUDIT (Please List)

Company Name

Fax Number:

E-mail:

TYPE OF AUDIT SERVICES REQUESTED (Please choose at least one) w/ Global Markets Primary Production Addendum

□ Produce GAPs Harmonized Audit - Post Harvest

□ Produce GAPs Harmonized Audit – Post Harvest w/ Global Markets Primary Production Addendum

□ Mushroom Specific GAP Audit (M-GAP)

□ Tomato Audit Protocol - Open Field Production, Harvest & Field Packing

□ Tomato Audit Protocol - Packinghouse

□ Tomato Audit Protocol - Greenhouse

□ Tomato Audit Protocol – Repacking and Distribution

□ Plant Systems Audit (PSA)

□ USDA Good Agricultural Practices and Good Handling Practices (GAP&GHP) Audit (choose scopes below)

□ Part 1 – Farm Review

□ Part 2 – Field Harvest & Field Packing Activities

□ Part 3 – House Packing Facility

□ Part 4 – Storage & Transportation

□ Part 6 – Wholesale Distribution Center / Terminal Warehouse

□ Part 7 – Preventative Food Defense Procedures

□ Food Defense

□ Other:

ADDITIONAL

REMARKS

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0581-0125. The time required to complete this information collection is estimated average 2 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

The U.S. Department of Agriculture (USDA) prohibits discrimination in all its programs and activities on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status, familial status, parental status, religion, sexual orientation, genetic information, political beliefs, reprisal or because all or part of an individual’s income is derived from any public assistance program. (Not all prohibited bases apply to all programs.) Persons with disabilities who require alternative means for communication of program information (Braille, large print, audiotape, etc.)

should contact USDA’s TARGET Center at (202)720-2600 (voice and TDD). To file a complaint of discrimination, write to USDA, Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410, or call (800)795-3272 (voice) or (202)720-6382 (TDD). USDA is an equal opportunity provider and employer.

FV-237A (04-14) (Previous editions are to be destroyed)

For further information regarding the USDA GAP & GHP Audit Program, please contact: