Clause

Opening Meeting

Closing Meeting

Facility Description

Auditor Recommendation

2.1
2.1.1
2.1.1.1

2.1.1.2
2.1.1.3

2.1.1.4

2.1.1.5

2.1.1.6

2.1.1.7

2.1.1.8

2.1.2
2.1.2.1

2.1.2.2

2.1.3
2.1.3.1

2.1.3.2

2.1.3.3

2.2
2.2.1
2.2.1.1
2.2.1.2

2.2.2
2.2.2.1

2.2.3
2.2.3.1

2.2.3.2

2.3
2.3.1
2.3.1.1

2.3.1.2

2.3.1.3

2.3.1.4

2.3.2
2.3.2.1

2.3.2.2

2.3.2.3

2.3.2.4

2.3.2.5

2.3.3
2.3.3.1

2.3.3.2

2.3.3.3

2.4
2.4.1
2.4.1.1

2.4.1.2

2.4.1.3
2.4.2
2.4.2.1

2.4.3
2.4.3.1

2.4.3.2

2.4.3.3

2.4.3.4
2.4.3.5

2.4.3.6

2.4.3.7

2.4.3.8

2.4.3.9

2.4.3.10

2.4.3.11

2.4.3.12
2.4.3.13

2.4.3.14

2.4.3.15

2.4.3.16

2.4.3.17

2.4.4
2.4.4.1
2.4.4.2

2.4.5
2.4.5.1

2.4.6
2.4.6.1

2.4.7
2.4.7.1

2.4.8
2.4.8.1

2.4.8.2

2.4.8.3

2.5
2.5.1
2.5.1.1

2.5.2
2.5.2.1

2.5.2.2

2.5.3
2.5.3.1

2.5.4
2.5.4.1
2.5.4.2

2.5.4.3

2.6
2.6.1
2.6.1.1

2.6.1.2

2.6.2
2.6.2.1

2.6.2.2

2.6.2.3

2.6.3
2.6.3.1

2.6.3.2

2.7
2.7.1
2.7.1.1
2.7.1.2

2.7.1.3

2.7.1.4

2.7.2
2.7.2.1

2.7.2.2

2.7.2.3

2.8
2.8.1
2.8.1.1

2.8.1.2

2.9
2.9.1
2.9.1.1

2.9.1.2

2.9.2
2.9.2.1
2.9.2.2

2.9.2.3
 Primary Plant Production Edit
Item
People Present at the Opening Meeting (Please list names and roles in the following format Name: Role separated
by comas)
People Present at the Closing Meeting (Please list names and roles in the following format Name: Role separated
by comas)
Auditor Description of Facility (Please provide facility description include # of employees, size, production
schedule, general layout, and any additional pertinent details

Auditor Recommendation

SQF System Elements for Food Manufacturing

Management Commitment
Management Responsibility (Mandatory)
Senior site management shall prepare and implement a policy statement that outlines at a minimum the
commitment of all site management to:
i. Supply safe food;
ii. Establish and maintain a food safety culture within the site;
iii. Establish and continually improve the site’s food safety management system; and
iv. Comply with customer and regulatory requirements to supply safe food.
The policy statement shall be:
v. Signed by the senior site manager and displayed in prominent positions; and
vi. Effectively communicated to site personnel in language(s) understood by all staff.

Senior site management shall lead and support a food safety culture within the site that ensures at a minimum:
i. The establishment and documentation of clear and concise food safety objectives and performance measures
and their communication to all relevant staff;
ii. Adequate resources are available to meet food safety objectives and performance measures;
iii. Food safety practices and all applicable requirements of the SQF System are adopted and maintained;
iv. Staff are informed and are aware of their food safety and regulatory responsibilities;
v. Staff are informed and held accountable for their food safety and regulatory responsibilities;
vi. Staff are positively encouraged and required to notify management of actual or potential food safety issues;
and
vii. Staff are empowered to act to resolve food safety issues within their scope of work.
The reporting structure shall identify and describe the site personnel with specific responsibilities for tasks within
the food safety management system and identify backup for absence of key personnel. Job descriptions for the
key personnel shall be documented.

Senior site management shall designate a primary and substitute SQF practitioner for each site with responsibility
and authority to:
i. Oversee the development, implementation, review, and maintenance of the SQF System, including Good
Agricultural/Operating Practices outlined in 2.4.2, and the food safety plan outlined in 2.4.3.
ii. Take appropriate action to ensure the integrity of the SQF System; and
iii. Communicate to relevant personnel all information essential to ensure the effective implementation and
maintenance of the SQF System

The primary and substitute SQF practitioner shall:

i. Be employed by the site;
ii. Hold a position of responsibility in relation to the management of the site’s SQF System;
iii. Be competent to implement and maintain HACCP-based food safety plans; and
iv. Have an understanding of the SQF Food Safety Code: Primary Plant Production and the
requirements to implement and maintain an SQF System relevant to the site’s scope of
certification.

Senior site management shall ensure the training needs of the site are resourced, implemented, and meet the
requirements outlined in system elements 2.9 and that site personnel have met the required competencies to carry
out those functions affecting the legality and safety of food products.

Senior site management shall ensure the integrity and continued operation of the food safety system in the event
of organizational or personnel changes within the company or associated facilities.

Senior site management shall designate defined blackout periods that prevent unannounced re-certification audits
from occurring out of season or when the site is not operating for legitimate business reasons. The list of blackout
dates and their justification shall be submitted to the certification body a minimum of one (1) month before the
sixty (60) day re-certification window for the agreed-upon unannounced audit.

Management Review (Mandatory)

The SQF system shall be reviewed by senior site management at least annually and include:
i. Changes to food safety management system documentation (policies, procedures, specifications, food safety
plan);
ii. Food safety culture performance;
iii. Food safety objectives and performance measures;
iv. Corrective and preventative actions and trends in findings from internal and external audits, customer
complaints, and verification and validation activities;
v. The hazard and risk management system; and
vi. Follow-up action items from previous management review.

Records of all management reviews and updates shall be maintained.

The SQF Practitioner(s) shall update senior site management on at least a monthly basis on matters impacting the
implementation and maintenance of the SQF System. The updates and management responses shall be
documented.
Complaint Management (Mandatory)
The methods and responsibility for handling, investigating, and resolving complaints from commercial
customers, consumers, and authorities arising from products grown or handled on-site, shall be documented and
implemented.
Adverse trends of customer complaint data shall be investigated and analyzed, and root cause established by
personnel knowledgeable about the incidents.
Corrective and preventative action shall be implemented based on the seriousness of the incident and the root
cause analysis as outlined in 2.5.3.
Records of customer complaints, their investigation and resolution shall be maintained.
Document Control and Records
Food Safety Management System (Mandatory)
The methods the site uses to meet the requirements of the SQF Food Safety Code: Primary Plant Production shall
be maintained in electronic and/or hard copy documentation. They will be made available to relevant staff and
include:

i. Food safety policies and organization chart;

ii. Products covered under the scope of certification;
iii. Food safety regulations that apply to the site and to the country of sale if known;
iv. Agricultural inputs/materials, packaging materials, and finished product specifications; and
v. Written procedures and programs (Good Agricultural Practices and/or Good Operational Practices) and other
documentation necessary to support the development, implementation, maintenance, and control of the SQF
System (e.g., food safety plans, validation, and verification).
Food safety plans, Good Agricultural/Operating Practices, and all relevant aspects of the SQF System shall be
reviewed, updated, and communicated as needed when any potential changes implemented have an impact on the
site’s ability to deliver safe food. The reason for the change shall be documented.

Document Control (Mandatory)

The methods and responsibility for maintaining document control, including records, shall be documented and
implemented. They shall ensure that documents and records are

i. Controlled;
ii. Current;
iii. Safely stored to prevent unauthorized access, loss, damage, and deterioration;
iv. Organized in a registry or listing form; and
v. Readily accessible in a manner that ensures employees use up-to-date and current policies, procedures (work
instructions/task lists), and forms when documenting food safety related activities.

Records (Mandatory)
All manual or electronic/digital records shall be legible, suitably authorized, and/or signed by those undertaking
activities to demonstrate that inspections, supervisory reviews, testing, and other essential activities have been
completed.
Records shall be retained in accordance with periods specified by a customer or regulations or at a minimum no
less than product shelf life.
Specifications, Product/Hybrid Development, and Supplier Approval
Plant Variety/Hybrid or Product Development
The methods and responsibility for designing, developing, and converting product concepts (e.g. new varieties,
hybridization, crops, species) to commercial realization shall be documented and implemented and comply with
regulatory and customer requirements.

Records for new products testing, shelf life, and final approvals shall be maintained.

The food safety plan shall be reviewed and revised accordingly for each new product and its associated process
through conversion to commercial production and distribution, or where a change to inputs, process, or packaging
occurs that may impact food safety.

New products shall be tested and inspected to ensure they meet stated shelf life, maximum residue limits (MRLs),
and other regulatory and customer requirements (e.g., potency, strength, purity).

The process flows for all new and existing processes shall be designed to ensure that products meet specifications
and to prevent cross-contamination.
Specifications (Agricultural Inputs, Packaging, Harvested Product, and Contract Services)
Specifications and/or descriptions for seeds, agricultural inputs, packaging, and contract services that impact
finished product safety shall be documented, approved, comply with relevant legislation, and kept current through
a review process.
Food contact packaging, seeds, and agricultural inputs shall be verified to ensure product safety is not
compromised and the material is fit for its intended purpose. Verification shall include certificates of
conformance, certificate of analysis, or sampling and testing (refer to 2.4.4.1).

Finished product specifications shall be documented, approved by the site and its customer where applicable,
accessible to relevant staff, and kept current through a review process. Specifications shall include, where
applicable:

i. Microbiological, purity, strength, composition, and agricultural chemical limits;

ii. Maximum residue limits (MRLs) for pesticides; and
iii. Labeling and packaging regulatory and customer requirements.

The methods and responsibilities for managing contract farms, services (e.g., spraying), packers, or storage and
distribution facilities shall be documented and implemented to ensure the following are being met:

i. Contract farms and services shall comply with the SQF Food Safety Code: Primary Plant Production and
relevant regulatory and customer requirements;
ii. Changes to contractual agreements are approved by both parties and communicated to relevant personnel;
and
iii. Records of all contract reviews and changes to contractual agreements and their approvals are maintained.

A register or listing of all specifications and/or descriptions for seeds, agricultural inputs, packaging, and labels,
finished products, and contract services shall be maintained and kept current.

Approved Supplier/Input Purchasing Program (Mandatory)

Seeds, agricultural inputs, harvested product, market-ready product, and packaging materials that impact finished
product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting,
evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The
approved supplier program shall contain at a minimum:

i. A risk level assigned to each supplier that is based on the past performance of the supplier, criticality to the
site, food safety risk, and other relevant factors determined by the site;
ii. Agreed specifications;
iii. A summary of the food safety controls implemented by the approved supplier, including regulatory
compliance and licensing where applicable;
iv. Methods for granting approved supplier status;
v. Methods and frequency of monitoring approved suppliers, which may include testing, receiving inspection,
and/or supplier audits;
vi. Methods and frequency of reviewing approved supplier performance and status.

Where supplier audits are used as a monitoring tool, they shall be based on risk and conducted by individuals
knowledgeable of applicable regulatory and food safety requirements and trained in auditing techniques.

A register or list of approved suppliers and records of monitoring activities shall be maintained.

The receipt of seeds, agricultural inputs, harvested product, market-ready product, and packaging materials from
non-approved suppliers shall be acceptable in an emergency situation, provided they are inspected or analyzed
before use.
Agricultural inputs, harvested product, market-ready product, and packaging materials received from other sites
under the same corporate ownership shall be subject to the same specification requirements (refer to 2.3.2),
approved supplier requirements, and receiving inspections as all other material providers.

Food Safety System

Food Legislation (Mandatory)
The owner/senior site manager shall ensure that, at the time of delivery to its customer, the food supplied shall
comply with food safety and production legislation applicable in the country of use and sale, if known. Any
specific licensing requirements or commodity-specific regulations shall be maintained and kept current.

The methods and responsibility for ensuring the organization is kept informed of changes to relevant legislation,
scientific and technical developments, emerging food safety issues, and relevant industry codes of practice shall
be documented and implemented.
SQFI and the certification body shall be notified in writing within twenty-four (24) hours as a result of a
regulatory warning or event. Notification to SQFI shall be by email to [email protected].
Good Agricultural/Operating Practices (Mandatory)
The site shall ensure the applicable Good Agricultural Practices described in modules 7, 8, or 18 and the Good
Operating Practices described in module 10 of this Food Safety Code are documented and implemented (refer to
2.2.1.1), or exempted according to a written risk analysis outlining the justification for exemption or evidence of
the effectiveness of alternative control measures to ensure that food safety is not compromised.

Food Safety Plan (Mandatory)

A HACCP-based referenced food safety plan, developed by a responsible authority, shall be implemented in the
absence of a specifically developed food safety plan for the site. The site shall:

i. Maintain current records indicating that the food safety plan has been reviewed and its scope of hazard
analysis, risk assessments, and control measures, such as Good Agricultural or Operational Practices, cover all
products produced and sold by the site and are within the scope of certification; and
ii. Document when changes in the food safety plan have impacted their Good Agricultural or Operational
Practices.

Note: Sites shall choose either 2.4.3.1 or 2.4.3.2 with the subsequent 2.4.3 requirements as the mandatory
element.

Where a site has developed its own food safety plan, either by choice or due to product(s) not included within the
scope of a HACCP-based model as per 2.4.3.1, it shall be implemented and maintained and outline how the
organization controls and assures food safety of the products or product groups and their associated processes
that are included in the scope of the SQF certification.

More than one HACCP food safety plan may be required to cover all products included in the scope of
certification.

The food safety plan(s) shall be developed and maintained by a team that includes the SQF practitioner and those
site personnel with agricultural, technical, and/or machinery knowledge relevant to the commodities and
products.

Where the relevant expertise is not available on-site, advice may be obtained from other sources to assist the food
safety team.

The scope of each food safety plan shall be developed and documented including the start and endpoints of the
processes under consideration and all relevant inputs and outputs.
Product descriptions shall be developed and documented for all products included in the scope of the food safety
plans. These shall reference and/or include:

i. The finished product specifications;

ii. Information relevant to product safety, such as it is ready-to-eat, requires further processing, and/or storage
conditions; and
iii. The intended use of each product, which includes target consumer groups, the potential for consumption by
vulnerable groups of the population, requirements for further processing if applicable, and potential alternative
use of the product.

The food safety team shall develop and document a flow diagram covering the scope of each food safety plan.
The flow diagram shall include every step in the process of primary production, all agricultural inputs, packaging
material, service inputs (e.g., water, steam, gasses as appropriate), process delays, and all process outputs,
including feed, waste, and rework. Each flow diagram shall be confirmed by the food safety team to cover all
stages and hours of operation.

The food safety team shall identify and document all food safety hazards that can reasonably be expected to occur
at each step in the processes, including agricultural inputs.

The food safety team shall conduct a hazard analysis for every identified hazard to determine which hazards are
significant, i.e., their elimination or reduction to an acceptable level is necessary to control food safety. The
methodology for determining hazard significance shall be documented and used consistently to assess all
potential hazards.

The food safety team shall determine and document the control measures that must be applied to all significant
hazards. More than one control measure may be required to control an identified hazard, and more than one
significant hazard may be controlled by a specific control measure.

Based on the results of the hazard analysis (refer to 2.4.3.8), the food safety team shall identify the steps in the
process where control must be applied to eliminate a significant hazard or reduce it to an acceptable level (a
critical control point or CCP). In instances where a significant hazard has been identified at a step in the process,
but no control measure exists, the food safety team shall modify the process to include an appropriate control
measure.

For each identified CCP, the food safety team shall identify and document the critical limits that separate safe
from unsafe product. The food safety team shall validate all of the critical limits to ensure the level of control of
the identified food safety hazard(s) and that all critical limits and control measures, individually or in
combination, effectively provide the level of control required (refer to 2.5.2.1).

The food safety team shall develop and document procedures to monitor CCPs to ensure they remain within the
established limits (refer to 2.4.3.11). Monitoring procedures shall identify the personnel assigned to conduct
testing, the sampling and test methods, and the test frequency.
The food safety team shall develop and document deviation procedures that identify the disposition of affected
product when monitoring indicates a loss of control at a CCP. The procedures shall also prescribe actions to
correct the process step to prevent recurrence of the safety failure.

The documented and approved food safety plan(s) shall be implemented in full. The effective implementation
shall be monitored by the food safety team, and a full review of the documented and implemented plans shall be
conducted at least annually, or when changes to the process, equipment, inputs, or other changes affecting
product safety occur.

Procedures shall be in place to verify that critical control points are effectively monitored and appropriate
corrective actions are applied. Implemented food safety plans shall be verified as part of SQF System verification
(refer to 2.5).
Critical control point monitoring, corrective action, and verification records shall be maintained and appropriately
used.
Where food safety regulations in the country of production and destination (if known) prescribe a food safety
control methodology other than the Codex Alimentarius Commission HACCP guidelines, the food safety team
shall implement food safety plans that meet both Codex and food regulatory requirements.

Product Sampling, Inspection and Analysis

The sampling, inspecting, and/or analyzing of agricultural inputs and finished product shall be documented and
implemented. The procedures applied shall ensure:

i. Inspections and analyses are completed at regular intervals as required and to agreed specifications (e.g.,
MRLs, purity, strength, composition as per 2.3.2) and regulatory and labeling requirements;
ii. Records of all inspections and analyses are maintained; and
iii. All analyses are conducted to nationally recognized methods or alternative methods which are validated as
equivalent to the nationally recognized methods.

Where external laboratories are used to conduct input or product analyses, the laboratories shall be accredited to
ISO 17025 or an equivalent national standard, licensed or recognized by a regulatory authority if required, and
shall be included on the site’s contract service specifications register (refer to 2.3.2.1).

Where internal laboratories are used to conduct input or product analyses, sampling and testing methods shall be
used in accordance with the applicable requirements of ISO/IEC 17025 or an equivalent national standard,
including annual proficiency testing for personnel conducting analyses.
On-site laboratories conducting chemical and microbiological analyses that may pose a risk to product safety
shall ensure the following:

i. Be located separate from any food handling or packaging activity and designed to limit access only to
authorized personnel;
ii. Provisions shall be made to isolate and contain all laboratory waste and to manage laboratory waste
separately from food waste;
iii. Laboratory wastewater outlets shall at a minimum be downstream of drains that service food processing and
handling areas; and
iv. Signage is displayed that identifies the laboratory area as a restricted area, accessible only by authorized
personnel.

Non-conforming Agricultural Inputs and Products

The methods and responsibility for how to control non-conforming products, agricultural inputs, and packaging
shall be documented and implemented. The procedures shall ensure:

i. Items are quarantined (held), identified, handled, re-worked, and/or disposed of in a manner that minimizes
the risk of inadvertent use, improper use, or risk to the integrity of finished product;
ii. All relevant personnel are aware of the site’s hold and release instructions and approvals; and
iii. Records of non-conforming product holds, release, and dispositions are maintained.

Product Rework
The responsibility and methods outlining how harvested or packaged product or packaging are reworked shall be
documented and implemented. The methods applied shall ensure:

i. Reworking operations are supervised by qualified personnel;

ii. Reworked product is clearly identified and traceable;
iii. Each batch/lot of reworked product is inspected or analyzed as required before release;
iv. Inspections and analyses conform to the requirements outlined in element 2.4.4.1; and
v. Records of all reworking operations are maintained.

Product Release (Mandatory)

The methods and responsibility for releasing finished products shall be documented and implemented. The
methods applied shall ensure:

i. The product is released by authorized personnel;

ii. The product is released only after all inspections and analyses have been successfully completed, reviewed,
and documented; and
iii. The product meets regulatory and other established food safety controls. Records of all product releases shall
be maintained.

Environmental Monitoring
A risk-based environmental monitoring program shall be in place for all products grown indoors and packhouse
operations and include all processes and immediate surrounding areas.

The methods and responsibility for the environmental monitoring program shall be documented and
implemented.

An environmental sampling and testing schedule shall be prepared. It shall at a minimum:

i. Detail the applicable pathogens or indicator organisms to test for in that industry;
ii. List the number of samples to be taken and the frequency of sampling;
iii. Outline the locations in which samples are to be taken and the rotation of locations as needed; and
iv. Describe the methods to handle elevated or undesirable results.

Environmental testing results shall be monitored, tracked, and trended, and preventative actions (refer to 2.5.3.1)
implemented where unsatisfactory trends are observed.

SQF System Verification

Validation and Effectiveness (Mandatory)
The methods, responsibility, and criteria for ensuring the effectiveness of all applicable elements of the SQF
Program shall be documented and implemented. The methods applied shall ensure that:

i. Good Agricultural/Operating Practices are confirmed to ensure they achieve the required results;
ii. Critical food safety limits are reviewed annually and re-validated or justified by regulatory standards when
changes occur; and
iii. Changes to the processes or procedures are assessed to ensure the controls are still effective.

Records of all validation activities shall be maintained.

Verification Activities (Mandatory)

The methods, responsibility, and criteria for verifying monitoring of Good Agricultural/ Operating Practices,
critical control points, other food safety controls, and the legality of certified products shall be documented and
implemented. The methods applied shall ensure that personnel with responsibility for verifying monitoring
activities authorize each verified record.

A verification schedule outlining the verification activities, their frequency of completion, and the person
responsible for each activity shall be prepared and implemented.

Records of the verification of monitoring activities shall be maintained.

Corrective and Preventative Action (Mandatory)

The methods and responsibility for outlining how corrective and preventative actions are determined,
implemented, and verified shall be documented and implemented. The procedures shall include:

i. The identification of the root cause, and

ii. Resolution of non-compliances of critical food safety limits and deviations from food safety requirements
that are deemed significant.

Records of all investigation and resolution of non-conformities, including their corrections and preventative
actions, shall be maintained.

Internal Audits and Inspections (Mandatory)

The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the
SQF System shall be documented and implemented. Internal audits shall be conducted in full and at least
annually. The methods applied shall ensure:

i. All applicable requirements of the SQF Food Safety Code: Primary Plant Production are audited per the SQF
audit checklist or a similar tool, and objective evidence is recorded to verify compliance and/or non-compliance;
ii. Corrective and preventative actions of deficiencies identified during the internal audits are undertaken (refer
to 2.5.3);
iii. Audit results are communicated to relevant management personnel and personnel responsible for
implementing and verifying corrective and preventive actions; and
iv. Changes implemented from the internal audit that have an impact on the site’s ability to deliver safe food
result in a review of applicable aspects of the SQF System (refer to 2.3.1.3).

Records of internal audits and any corrections and corrective action taken as a result of internal audits are
maintained.
Personnel conducting internal audits shall be trained and competent in internal audit procedures. Where practical,
personnel conducting internal audits shall be independent of the function being audited.

Regular inspections during growing and harvesting of products, packing of products, plant production, and/or
equipment used shall be planned and carried out to verify Good Agricultural/Operating Practices and
building/equipment maintenance are compliant to the applicable SQF Food Safety Code. The site shall:

i. Take corrections or corrective and preventative actions; and

ii. Maintain records of inspections and any corrective actions taken.

Product Traceability and Crisis Management

Product Identification (Mandatory)
The methods and responsibilities for the product identification system shall be documented and implemented to
ensure:

i. Agricultural inputs, work-in-progress, and finished product are clearly identified during all stages of receipt,
operations, storage, shipping, and transportation;
ii. Finished product is labeled to the customer specification and/or regulatory requirements; and
iii. Product identification records are maintained.

The responsibility and methods used to trace product shall be documented and implemented to ensure:

i. Finished product is traceable to the customer (one up) and provides traceability through the process to the
agricultural input supplier and date of receipt of inputs, food contact packaging and materials, and other inputs
(one back);
ii. Traceability is maintained where product is reworked (refer to 2.4.3); and
iii. The effectiveness of the product trace system is reviewed at least annually as part of the product recall and
withdrawal review (refer to 2.6.2.1).

Records for the receipt and use of agricultural inputs and packaging material and for finished product dispatch
and destination are maintained.

Product Withdrawal and Recall (Mandatory)

The methods and responsibility to withdraw or recall product shall be documented and implemented. The
procedure shall:

i. Identify those responsible for initiating, managing, and investigating a product withdrawal or recall;
ii. Describe the procedures to be implemented by site management;
iii. Outline a communication plan to inform customers, consumers, authorities, and other essential bodies in a
timely manner appropriate to the nature of the incident;
iv. Describe how the withdrawal and recall system is reviewed, tested, and verified least annually (mock recall);
and
v. Ensure that SQFI, the certification body, and the appropriate regulatory authority are listed as essential
organizations and are notified in instances of a food safety incident of a public nature or product recall.

Records of all product withdrawals, recalls, and mock recalls shall be maintained.

Investigation shall be undertaken to determine the cause of a withdrawal or recall, and details of investigations
and any actions taken shall be documented and recorded.
SQFI and the certification body shall be notified in writing within twenty-four (24) hours upon identification of a
food safety event that requires public notification. SQFI shall be notified at [email protected].

Crisis Management Planning

The methods and responsibility for execution of a crisis management plan shall be documented and implemented.
The plan shall include:

i. A list of known potential dangers (e.g., flood, drought, fire, tsunami, or other severe weather or regional
events such as pandemic, warfare, or civil unrest) that can impact the site’s ability to deliver safe food;
ii. Designated site management responsible for decision making, oversight, communications, and management
of the crisis management plan; and
iii. Control measures to ensure any affected product is identified, isolated, and dispositioned appropriately.

The crisis management plan shall be reviewed, tested, and verified at least annually with gaps and appropriate
corrective actions documented.

Records of reviews of the crisis management plan shall be maintained.

Food Defense and Food Fraud

Food Defense Plan (Mandatory)
A food defense threat assessment shall be conducted to identify potential threats caused by a deliberate act of
sabotage or terrorist-like incident.
A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to
2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum:

i. The methods, responsibility, and criteria for preventing food adulteration caused by a deliberate act of
sabotage or terrorist-like incident;
ii. The name of the senior site management person responsible for food defense;
iii. The methods implemented to ensure only authorized personnel have access to production equipment and
vehicles, manufacturing, and storage areas through designated access points;
iv. The methods implemented to protect sensitive processing points from intentional adulteration;
v. The measures taken to ensure the secure receipt and storage of raw materials, ingredients, packaging,
equipment, and hazardous chemicals to protect them from deliberate acts of sabotage or terrorist-like incidents;
vi. The measures implemented to ensure raw materials, ingredients, packaging (including labels), work-in-
progress, process inputs, and finished products are held under secure storage and transportation conditions; and
vii. The methods implemented to record and control access to the premises by personnel, contractors, and
visitors.

Instruction shall be provided to all relevant personnel on the effective implementation of the food defense plan
(refer to 2.9.2.1).
The food defense threat assessment and prevention plan shall be reviewed and tested at least annually or when the
threat level as defined in the threat assessment changes.

Records of reviews of the food defense plan shall be maintained.

Food Fraud (Mandatory)

The methods, responsibility, and criteria for identifying the site’s vulnerability to food fraud shall be documented,
implemented, and maintained. The food fraud vulnerability assessment shall include the site’s susceptibility to
product substitution, mislabeling, dilution, and counterfeiting or stolen goods that may adversely impact food
safety.

A food fraud mitigation plan shall be developed and implemented, which specifies the methods by which the
identified food fraud vulnerabilities shall be controlled and how the plan is communicated to relevant personnel
to ensure effective implementation.
The food fraud vulnerability assessment and mitigation plan shall be reviewed and verified at least annually with
gaps and corrective actions documented.

Records of reviews shall be maintained.

Allergen Management
Allergen Management (Mandatory)
The methods and responsibility for the control of allergens and to prevent sources of allergens from
contaminating product shall be documented and implemented. The allergen management program shall include:

i. A hazard and risk analysis and control measures of those agricultural inputs and processing aids, including
food grade lubricants, that contain food allergens (refer to food safety plan 2.4.3);
ii. An assessment of workplace-related food allergens that may originate from change rooms, vending
machines, lunchrooms, and visitors;
iii. A list of allergens that is applicable in the country of production and the country (ies) of destination if
known;
iv. A list of allergens that is accessible by relevant personnel; and
v. Individual management plans for control of the identified allergens.

Product labeling, in accordance with regulatory requirements, shall include allergens where risks from cross-
contamination have been documented.
Training
Training Requirements
The responsibility for establishing and implementing the training needs of the organization’s personnel to ensure
they have the required competencies to carry out those functions affecting products, legality, and safety shall be
defined and documented (refer to 2.1.1.6).

Appropriate training shall be provided for personnel carrying out the tasks essential to the effective
implementation of the SQF System and the maintenance of food safety and regulatory requirements.

Training Program (Mandatory)

A training program shall be documented and implemented. It shall outline the necessary competencies for
specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing
refresher training. The training program shall include at a minimum:

i. Appropriate HACCP training for personnel involved in developing and maintaining food safety plans;
ii. Monitoring and corrective action procedures for all personnel engaged in operating critical control points
(CCPs);
iii. Personal hygiene training for all personnel involved in the handling of food products and food contact
surfaces;
iv. Good Agricultural/Operating Practices for all personnel engaged in food handling operations;
v. Allergen management, food defense and food fraud for all relevant on-site personnel; and
vi. Identification and implementation of refresher training.
Training materials, the delivery of training, and work instructions on all tasks critical to meeting regulatory
compliance and the maintenance of food safety shall be provided in language(s) understood by personnel.

Training records shall be maintained and include:

i. Participant name;
ii. Skills description;
iii. Description of the training provided;
iv. Date training completed;
v. Trainer or training provider; and
vi. Verification that the trainee is competent to complete the required tasks.
Edition 9 Checklist
Primary Response Evidence
Supplier Onsite Correction/ Corrective Action
Need to identify a back-up practioner.
 Clause
7.1
7.1.1
7.1.1.1

7.1.1.2

7.2
7.2.1
7.2.1.1

7.2.1.2

7.2.1.3

7.2.2
7.2.2.1
7.2.2.2

7.2.2.3

7.2.3
7.2.3.1

7.2.3.2

7.2.3.3

7.2.3.4

7.2.3.5
7.2.4
7.2.4.1

7.2.4.2

7.2.4.3

7.3
7.3.1
7.3.1.1

7.3.1.2

7.3.1.3

7.3.2
7.3.2.1
7.3.2.2

7.3.3
7.3.3.1

7.3.3.2

7.3.4
7.3.4.1

7.3.4.2

7.4
7.4.1
7.4.1.1

7.4.1.2

7.4.1.3

7.4.1.4

7.4.1.5

7.42
7.4.2.1
7.4.2.2

7.4.3
7.4.3.1

7.4.3.2

7.4.3.3

7.4.4
7.4.4.1

7.4.4.2

7.4.4.3
7.4.5
7.4.5.1

7.4.5.2

7.5
7.5.1
7.5.1.1

7.5.2
7.5.2.1

7.5.3
7.5.3.1

7.5.3.2

7.5.3.3

7.5.4
7.5.4.1

7.6
7.6.1
7.6.1.1

7.6.1.2

7.6.1.3

7.6.2
7.6.2.1

7.6.2.2

7.6.3
7.6.3.1
7.6.3.2

7.6.3.3

7.7
7.7.1
7.7.1.1

7.7.1.2

7.7.1.3

7.7.2
7.7.2.1

7.7.2.2

7.7.3
7.7.3.1

7.7.3.2

7.8
7.8.1.1

7.8.1.2

7.8.1.3
 Primary Plant Production E
Item
Site Requirements
Property Location
Production and growing sites shall conduct a risk assessment to evaluate and document the risk to crops due to prior l
adjacent land use, and other environmental factors, including structures and equipment. Consideration shall be given

i. History of land use;

ii. Topography;
iii. Adjacent land use; and
iv. Other factors that may impact the ability to supply safe product.

Where risks are identified, control measures shall be implemented to reduce the identified hazards to an acceptable le
risks shall be re-evaluated in the event of any circumstances or changes that may impact the production of safe produc

Records shall be maintained for each production site listing what crops have been planted and harvested on the site.

Buildings, Storage, and Equipment

Field and Storage Buildings
All buildings used to store equipment, field chemicals, field packaging materials, and/ or field products shall be desig
constructed to enable compliance with good hygiene practices, avoid product contamination, and in a manner that doe
purity, strength, and composition of final products.

Buildings designated to store field product or packaging shall be of durable

construction. Internal surfaces shall be smooth and impervious with a light-colored
finish and shall be kept clean.
Storage rooms shall be designed and constructed to allow for the separate, hygienic
storage of harvesting and packing utensils away from farm machinery and hazardous
chemicals and toxic substances.
Controlled Temperature and Atmosphere Storage
The producer shall ensure any chilling, cold storage and controlled atmosphere facility is of suitable size, design, and
and is capable of effective operational performance, which includes sufficient refrigeration and controlled atmosphere
chilling or storing the maximum anticipated throughput of products with allowance for periodic cleaning of storage.
Chilling, cold storage, and controlled atmosphere storage facilities shall ensure the following design and construction
being maintained:
i. Floors are constructed of smooth, dense, impact-resistant material that is impervious to liquid and easily cleaned;
ii. Floors are effectively graded to allow the effective removal of all overflow or wastewater under normal condition
iii. Walls, ceilings, doors, frames, and hatches are of solid construction, and internal surfaces are smooth, impervious
light-colored finish;
iv. Lighting is shatter-proof, non-breakable, or provided with protective covers;
v. Discharge from defrosting and condensate lines is controlled and discharged to the drainage system; and
vi. Loading dock areas are appropriately sealed, drained, and graded.

Chilling, cold storage, and controlled atmosphere facilities shall be fitted with temperature monitoring equipment or a
temperature monitoring device that is properly located to monitor the warmest part of the room and is fitted with a tem
that is easily read and accessible.
Storage of Agricultural Chemicals, Soil Amendments, and Toxic Substances
Agriculture chemicals, fertilizers, manure, soil amendments, and other toxic substances shall be stored so as not to pr
personnel, product, product handling equipment, or areas in which product is handled, stored, or transported. Specific
not be stored inside food handling areas and product and packaging storage rooms.

Chemical storage locations shall:

i. Be compliant with national and local legislation;

ii. Be designed to ensure there is no cross-contamination between chemicals, proper ventilation to the exterior, and s
containment (including tank capacity);
iii. Be equipped with details of purchase, appropriate and compliant labels, vendor approval, and an up-to-date inven
chemicals contained within and removed from the storage location; and
iv. Be equipped with personnel health and safety requirements, such as signage, safety data sheets, instruction, emer
facilities, and other labor law requirements.

Product contact chemicals such as pesticides, herbicides, rodenticides, fumigants, insecticides, sanitizers, and deterge
stored separately and in their original containers.
Soil amendments shall be stored separately from crop, field, or irrigation water sources, so that contamination from ru
either by locating the soil amendments a reasonable distance from the crop or through the use of other physical barrie

The site shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure

i. Empty chemical containers are not re-used;

ii. Empty containers are labeled or rendered unusable, isolated, and securely stored while awaiting collection; and
iii. Unused and obsolete chemicals are stored under secure conditions while awaiting authorized disposal by an appro
Farm Machinery, Product Handling Equipment, and Utensils
The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, harvest containe
items or materials used in farming operations that may contact produce do not pose a risk to product safety, shall be d
implemented. Procedures shall ensure that these items are:

i. Designed and constructed to allow for the efficient handling of product and that surfaces in direct contact with pr
constructed of materials that will not contribute a food safety risk;
ii. Identified and included in preventive maintenance and cleaning schedules;
iii. Stored to avoid contamination of inputs or products; and
iv. Not used for non-harvest purposes, unless this is clearly identified, and the items or materials are not returned to u

Vehicles used for the transport of produce shall be adequate for that purpose and shall not be used to carry waste mate
chemicals, or other hazardous substances that could cause produce contamination without thorough cleaning and insp

Tractors, harvesters, field packing equipment, and machinery driven over ground crops shall be fitted with drip trays
contamination of the crop by lubricants and oils.
Farm Maintenance, Cleaning, and Pest/Animal Control
Equipment Maintenance and Calibration
The maintenance of equipment and buildings shall be planned, scheduled, and carried out in a manner that prevents a
contamination of product or equipment.

Maintenance and calibration records shall be maintained.

The calibration and re-calibration of chemical application, measuring, testing, and inspection equipment used in the g
harvesting process shall be documented and implemented.
Equipment shall be calibrated against manufacturer, national or international reference standards, methods, and sched
where such standards are not available, the site shall indicate this and provide evidence to support the calibration refe
used.
Pest Prevention
The property adjacent to buildings, storage facilities, machinery, and equipment shall be kept free of waste or accumu
it does not attract pests and vermin. Harvested products and food contact packaging materials shall be free of evidenc
vermin infestation.
The pest prevention program shall:

i. Describe the methods and responsibility for the development, implementation, and maintenance of the pest preve
ii. Record pest sightings and trend the frequency of pest activity to target pesticide applications;
iii. Outline the methods used to prevent pest problems;
iv. Outline the methods used to eliminate pests when found;
v. Outline the frequency with which pest status is to be checked;
vi. Include on a site map the identification, location, number, and type of bait stations set; and
vii. List the chemicals used. Chemicals are required to be approved by the relevant authority and their Safety Data Sh
made available.

Records of pest inspections and pest applications shall be maintained.

Animal Control
The operation shall have a written risk assessment on animal activity in and around the production of produce that has
implemented and monitored.
Measures shall be in place to control domestic and wild animals in the growing fields and to prevent the presence of d
animals in storage and product handling areas.
Cleaning
The cleaning of product contact surfaces, field harvesting equipment, and sanitary facilities shall be documented and
Cleaning procedures and schedules shall include:

i. A list of equipment, harvesting tools, sanitary facilities, and storage areas that require periodic cleaning;
ii. Instructions on how cleaning is to be performed for the various areas and equipment;
iii. The frequency of when cleaning is to be completed;
iv. Personnel responsible for performing and evaluating the cleaning; and
v. Records of cleaning activities.

A schedule shall be prepared that indicates the frequency of verifying the effectiveness of cleaning product contact su
harvesting equipment, and sanitary facilities, and who is responsible for completing verification activities.

Personal Hygiene
Personnel Practices
A documented and implemented procedure for personal hygiene and personnel practices shall ensure that personnel e
handling of product use appropriate personal hygiene practices. The procedure shall include instructions that:

i. Jewelry and other loose objects that pose a threat to the safety of the product are not worn or taken onto any grow
handling, or storage operations;
ii. Fingernail polish, artificial nails, and long nails are not permitted where product is handled with bare hands;
iii. False eyelashes and eyelash extensions are not permitted; and
iv. Smoking, chewing, eating, drinking (except for water which shall be available to all personnel), or spitting is not
growing areas including on field harvesting rigs and during harvesting and packing operations.

Personnel and visitor practices shall be routinely monitored for compliance, and any resulting corrective actions shall
and recorded for personnel who violate food safety practices (refer to 7.5.3.3).

Personnel who are suffering from or are carriers of an infectious disease that can be transferred through food shall no
growing, product handling, or field harvesting operations.
A medical screening procedure shall be in place for all personnel who handle product or food contact materials and sh
all visitors and contractors.
Procedures, including methods and responsibilities, shall be in place that specify the handling of product and/or produ
surfaces that have been in contact with or exposed to blood or other bodily fluids.

Personnel with exposed cuts, sores, or lesions shall not engage in handling product or product contact surfaces. Mino
abrasions on exposed parts of the body shall be covered with a suitable waterproof and colored dressing.

Sanitary Facilities and Handwashing

Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk
contamination.

i. There shall be sufficient toilet facilities for the maximum number of personnel, and they shall be constructed so t
easily cleaned and maintained;
ii. Handwash basins with clean and potable water, hand soap, disposable towels or effective hand drying devices, w
tank that captures used handwash water for disposal (if not connected to drains) shall be provided inside or adjacent t
iii. Signage in appropriate languages shall be provided adjacent to handwash basins instructing personnel to wash the
each toilet visit;
iv. Racks for protective clothing used by personnel shall be provided;
v. Toilets shall be located to provide easy access for farmworkers; and
vi. Toilet and wash stations shall be maintained in clean and sanitary conditions.

Tools/equipment used for cleaning toilet rooms shall not be used to clean operational areas.
Personnel shall have clean hands, and hands shall be washed by all personnel:

i. Before handling product;

ii. Before putting on gloves;
iii. After each visit to a toilet;
iv. After using a handkerchief, handling dirty or contaminated material; and
v. After smoking, eating, or drinking.

Protective Clothing
Protective clothing (e.g., uniforms and smocks) shall be effectively maintained, stored, laundered, and worn to protec
the risk of contamination.
Where applicable, clothing (i.e., any outer garment), including footwear, shall be in good condition, cleaned, and wor
product from the risk of contamination.
If rubber or disposable gloves are used, the operation shall have a glove-use policy in place, and personnel shall still a
handwashing practices outlined above.
Visitors
All visitors, including management and maintenance personnel, shall follow all personnel practices designated by the
entering or close to fields, sheds, packing facilities, or storage locations. These practices include, but are not limited to
of jewelry and other loose objects and wearing suitable protective clothing.

Visitors who are exhibiting visible signs of illness or have been in recent direct contact with other sites, animals, or ag
commodities, shall be prohibited from entering any growing or product handling or field harvesting operation.

Unsupervised children shall not be permitted to enter any harvesting, packing, or food storage areas.
Personnel Food, Drink, and Personal Storage
Provision shall be made to store personal belongings away from crops, harvesting, field and packing operations, and h
equipment.
Areas for meal breaks shall be designated and located away from food contact/ handling zones and harvesting equipm

Harvesting, Field Packaging, Product Handling Practices, and Transport

Growing and Harvesting Inspection
The methods and responsibility for conducting inspections to assess biological, chemical, and physical hazards and th
products being harvested shall be documented and implemented. Inspections shall occur prior to and during harvestin
the transport of product to its next destination (refer to 7.5.2 and 2.5.4.3).

Records of field and harvesting inspections shall be maintained.

Foreign Matter and Glass Hazard Control

The methods and responsibility for the prevention of foreign matter and glass contamination shall be documented and
Procedures shall ensure:
i. Containers, equipment, and other utensils made of glass, porcelain, ceramic, brittle plastic, or similar materials ar
where exposed product is handled unless clearly identified, required for effective operational controls, and regularly i
ii. Regular inspections are conducted to ensure food handling/contact zones areas are free of glass and brittle plastic
made from the previously identified materials are in good repair;
iii. Product harvesting and handling areas are routinely inspected to remove risks from foreign materials such as deb
stones, metal, and other physical hazards; and
iv. Personnel are made aware of their responsibility to adhere to the site’s foreign matter and glass controls.

Records of foreign material and glass inspections shall be maintained.

Harvesting and Field Packing Practices

Personnel conducting activities where harvested product is being packaged in the field shall ensure that utensils, perso
inputs/materials used during field packaging do not pose a food safety risk to products. These can include:

i. Aprons and gloves are kept clean and not left on product, work surfaces, equipment, or packaging material but hu
and glove racks provided;
ii. Harvest containers, if used, are inspected prior to use to ensure they are clean and free from physical debris or ma
iii. Knives and cutting instruments where used are approved for use, controlled, and kept clean and well maintained;
iv. Cloths, towels, or other cleaning materials that pose a risk of cross-contamination are not used to wipe produce; v
materials are appropriate for their intended use, kept off the ground out in the fields and off the floor of transport vehi
Non-food waste is contained in bins identified for this purpose. Waste does not come into contact with produce and is
regularly and not allowed to accumulate (refer to 7.8).

Personnel conducting harvesting activities shall ensure product is not contaminated during the harvesting process. Wo
and training shall include the following practices:

i. Commodity specific handling and harvesting instructions;

ii. Personnel access and controls on movement/traffic flow;
iii. Ensuring damaged or decayed product is not harvested or culled; and
iv. Ensuring product that contacts the ground is not harvested (unless that product typically contacts the ground).

Personnel practices and activities, including those listed in 7.5, shall be routinely monitored for compliance, and any r
corrective actions implemented and recorded for personnel who violate food safety practices.

Transport
Personnel conducting loading and transporting of harvested and/or packaged product shall ensure that product integri
Work instructions and training shall include the following practices:

i. Inspections for ensuring vehicles are clean, in good repair, suitable for the purpose, and free from odors or other c
may impact negatively on products;
ii. Securing vehicles (e.g., trucks/vans/containers) from tampering using a seal or other agreed upon and acceptable
system;
iii. Verification that appropriate storage conditions are maintained during transportation to final destinations;
iv. Prevention of cross-contamination with other hazards and potential spoilage;
v. Use of appropriate stock rotation practices; and
vi. Recording and maintaining documents for vehicle inspection, transport conditions, and stock rotation.

Water Management
Water Systems
A water description plan shall be prepared that describes the water sources and the production blocks they serve, and
one or more of the following: maps, photographs, drawings, or other means to communicate the location of the water
permanent fixtures, and the flow of the water system. The plan shall be kept current and revised when changes occur.

Agricultural water shall be sourced from a location and in a manner that is compliant with applicable regulations.

Water system intended to convey untreated human or animal waste shall be separated from conveyances utilized to de
agricultural water.
Irrigation Water
Agricultural water shall be drawn from a known clean source or treated to make it suitable for use. Irrigation during g
harvesting periods shall be conducted so that it does not contaminate the crop and shall include documentation of the
and timing for each commodity and field or plot location. Hazards and risk associated with irrigation water, including
storage, proximity to concentrated animal feeding operations (CAFOs), untreated soil amendments, wildlife, pre-harv
and resulting preventive controls will be in accordance with the water management plan outlined in 7.6.3.

In circumstances where irrigation water is treated to render it acceptable, the water after treatment shall conform to th
microbiological standards as outlined in element 7.6.3.
Water Management Plan
The water description plan described in 7.6.1.1 shall have a documented hazard analysis conducted annually and whe
occur to its sources, methods of transportation, storage conditions, or environmental conditions impacting it (refer to
methods applied to minimize risks associated with the hazards shall be included in the water management plan (refer
A water management plan describing the methods and responsibilities for managing the different types and uses of w
(farm) shall be documented and implemented. The plan shall include:

i. Description of where and how water is used (e.g., washing and treating products, irrigation, pesticide application,
ii. Maintenance and cleaning of the water system (refer to 7.3.1 and 7.3.4);
iii. The hazard analysis and preventive controls that are to be applied for the use of water during growing and harves
monitoring, corrective action, and verification for each control measure; and
iv. Documentation and records referenced.

Control measures may include:

i. Water treatment and/or testing;

ii. Water temperature;
iii. Re-circulation, aeration;
iv. Source alteration or change scheduling;
v. Timing of use or application; and
vi. Temporary or permanent protection of water sources from possible contamination (e.g., livestock [CAFO], sewag
human habitation, heavy rains, flooding).

Water used for washing and treating product, cleaning of product contact surfaces, and handwashing shall be monitor
complies with potable water microbiological and chemical standards or criteria established in the country of productio
destination. The monitoring procedures shall include:

i. A schedule indicating the location and frequency of monitoring (refer to 7.6.3.2), which shall be decided by the r
best practices within the country of production, or applicable legislation;
ii. Reference to the potable water criteria or standards;
iii. List of microbiological and/or chemical testing being conducted;
iv. Reference to the approved laboratory that is accredited to ISO 17025 or equivalent;
v. Corrective actions that will be taken if water and/or ice do not meet established criteria or standards including fur
treatment, other source possibilities, non-conforming products that might be affected, or other alternative actions; and
vi. Records maintained for monitoring and/or corrective actions.

Where ice is purchased and/or made on-site, it shall meet the microbiological and quality standards stated above.

Fertilizers, Agriculture Chemicals, and Soil Amendments

Purchasing Chemicals
Purchased fertilizers, agricultural chemicals, and soil amendments shall be approved for use in the country of product
location), the country of destination, and for the specific commodity. Purchased chemicals, where required by regulat
labeled with the active ingredient(s), applicable dosage rates, and application instructions.

Where no regulations or partial regulations govern the use of chemicals, the grower/ producer shall have a documente
assessment on the justification for use of nonregulated chemicals.

Chemicals that are specifically banned for use in the country of production or the country of destination shall not be p
stored.
Suppliers of chemicals shall be included in the approved supplier program (refer to 2.3.4), and a current inventory of
purchased and used shall be maintained (refer to7.2.3).
Soil Amendments
The methods and responsibility for soil amendment preparation and/or treatment shall be documented, implemented,
prevent contamination of product. The procedures or work instructions shall outline how to treat manure and other un
fertilizers ensuring:

i. Treatments and application methods are verified as being in compliance with the approved or recommended meth
do not pose a hazard to the soil amendment;
ii. Treatment methods applied are validated as being appropriate and effective at inactivating pathogens in organic s
iii. No raw untreated manure is used; and
iv. Records of the approvals, validation, and verification of organic soil amendment treatments are maintained.

The methods and responsibility for soil amendment applications shall be documented and implemented to ensure orga
amendment applications are timed to pose minimum risk to product safety including:

i. All applications of soil amendments are in accordance with national or local guidelines best practices and codes o
Agricultural Practice;
ii. Equipment used for soil amendment application is maintained in good condition and calibrated to ensure accurate
(refer to 7.3.1);
iii. Records of all equipment maintenance and calibration are maintained;
iv. Signage complies with national and local codes of practice; and
v. Records of soil amendment applications are maintained and contain sufficient detailed data.

Agricultural Chemicals
A spray or crop protection program indicating the applications used for a target pest or disease and the threshold leve
application shall be documented and implemented.

Records of all chemical applications include:

i. The chemical used;

ii. Crop information;
iii. Date, method, concentration, and frequency of application; and
iv. Evidence that the timing between chemical application and harvest complies with the approved harvest interval fo
application.

The person making decisions on chemical applications shall:

i. Demonstrate knowledge of and access to information regarding chemical applications and the maximum residue
in destination markets;
ii. Use only chemicals approved for cultivation of the specified products and approved for use in the intended marke
iii. Demonstrate competence and knowledge of chemical applications and crop withholding periods.

Waste Disposal
The methods and responsibility that describes the effective and efficient disposal of all waste shall be documented and
Waste includes:

i. Inedible material;
ii. Unusable packaging, including trademarked material; and
iii. Liquid and unsanitary waste from the farm.

Waste systems shall be designed and constructed, and waste shall be regularly removed from the farm, field, and pack
that it does not become a food safety risk to finished product, growing, harvesting, and packing operations and adjoin
waterways and fields.
Inedible waste designated for animal feed shall be stored and handled so it does not cause a risk to the animal or furth
for human consumption.
dition 9 Checklist
Primary Response Evidence
list
Supplier Onsite Correction
 Clause
8.1
8.1.1
8.1.1.1

8.1.1.2

8.2
8.2.1
8.2.1.1

8.2.1.2

8.2.1.3

8.2.1.4

8.2.2
8.2.2.1
8.2.2.2

8.2.2.3

8.2.2.4

8.2.2.5

8.2.3
8.2.3.1

8.2.3.2

8.2.3.3

8.3
8.3.1
8.3.1.1

8.3.1.2

8.3.1.3

8.3.2
8.3.2.1

8.3.2.2

8.3.3
8.3.3.1

8.3.3.2

8.3.4
8.3.4.1
8.3.4.2

8.4
8.4.1
8.4.1.1

8.4.1.2

8.4.1.3

8.4.1.4

8.4.1.5

8.4.2
8.4.2.1

8.4.2.2

8.4.3
8.4.3.1

8.4.3.2

8.4.3.3

8.4.4
8.4.4.1

8.4.4.2

8.4.4.3
8.4.5
8.4.5.1

8.4.5.2
8.5
8.5.1
8.5.1.1

8.5.1.2

8.5.1.3

8.6
8.6.1
8.6.1.1

8.6.1.2

8.6.1.3

8.6.2
8.6.2.1
8.6.2.2

8.6.3
8.6.3.1

8.6.3.2
8.6.3.3

8.7
8.7.1
8.7.1.1

8.7.1.2

8.7.1.3

8.7.2
8.7.2.1
8.7.2.2

8.7.3
8.7.3.1

8.7.3.2

8.8
8.8.1
8.8.1.1

8.8.1.2

8.8.1.3
 Primary Plant Production E
Item
Site Requirements
Property Location
Production and growing sites shall conduct a risk assessment to evaluate and document the risk to crops due to prior l
adjacent land use, and other environmental factors, including structures and equipment. Consideration shall be given

i. History of land use;

ii. Topography;
iii. Adjacent land use; and
iv. Other factors that may impact the ability to supply safe product.

Where risks are identified, control measures shall be implemented to reduce the identified hazards to an acceptable le
risks shall be re-evaluated in the event of any circumstances or changes that may impact the production of safe produc

Records shall be maintained for each production site listing what crops have been planted and harvested on the site.

Buildings, Storage, and Equipment

Silos, Bins, and Storage Buildings
All buildings used to store equipment, field chemicals, and/or field products shall be designed and constructed to enab
with good hygiene practices and avoid product contamination.
Buildings designated to store field product or packaging shall be of durable construction. Internal surfaces shall be sm
impervious with a light-colored finish and shall be kept clean.
Silos or bins used to store seed or food crops shall be constructed of approved materials and designed to remain dry, c
from any dirt residues, enable safe fumigation practices, and prevent the invasion of pests, so the stored products rem
purpose and in an acceptable condition.
Storage rooms shall be designed and constructed to allow for the separate, hygienic storage of harvesting and packing
packing materials (e.g., bulk bags) away from farm machinery and hazardous chemicals and toxic substances.

Storage of Agricultural Chemicals, Soil Amendments, and Toxic Substances

Agriculture chemicals, fertilizers, manure, soil amendment, and other toxic substances shall be stored so as not to pre
personnel, product, product handling equipment, or areas in which product is handled, stored, or transported. Specific
not be stored inside product handling areas and product and packaging storage rooms.
Chemical storage locations shall be:
i. Compliant with national and local legislation;
ii. Designed to ensure there is no cross-contamination between chemicals, proper ventilation to the exterior, and spil
containment (including tank capacity);
iii. Equipped with details of purchase, appropriate and compliant labels, vendor approval, and an up-to-date invento
chemicals contained within and removed from the storage location; and
iv. Equipped with personnel health and safety requirements, such as signage, safety data sheets, instruction, emergen
facilities, and other labor law requirements.

Product contact chemicals, such as pesticides, herbicides, rodenticides, fumigants, insecticides, sanitizers, and deterge
stored separately and in their original containers.
Soil amendments shall be stored separately from crop, field, or irrigation water sources so that contamination from ru
either by locating the soil amendment a reasonable distance from the crop or through the use of other physical barrier

The site shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure

i. Empty chemical containers are not re-used;

ii. Empty containers are labeled or rendered unusable, isolated, and securely stored while awaiting collection; and
iii. Unused and obsolete chemicals are stored under secure conditions while awaiting authorized disposal by an appro

Farm Machinery, Product Handling Equipment, and Utensils

The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, harvest containe
items or materials used in farming operations that may contact product, do not pose a risk to product safety, shall be d
implemented. Procedures shall ensure that these items are:

i. Designed and constructed to allow for the efficient handling of product, and that surfaces in direct contact with pr
constructed of materials that will not contribute a food safety risk;
ii. Identified and included in preventive maintenance and cleaning schedules;
iii. Stored to avoid contamination of inputs or products; and
iv. Not used for non-harvest purposes unless this is clearly identified and the items or materials are not returned to us

Vehicles used for the transport of product shall be adequate for that purpose and not used to carry waste materials, ma
chemicals, or other hazardous substances that could cause product contamination without thorough cleaning and insp

Tractors, harvesters, and machinery driven over ground crops shall be fitted with drip trays to prevent contamination
lubricants and oils.
Farm Maintenance, Cleaning, and Pest/Animal Control
Equipment Maintenance and Calibration
The maintenance of equipment and buildings shall be planned, scheduled, and carried out in a manner that prevents a
contamination of product or equipment.

Maintenance and calibration records shall be maintained.

The calibration and re-calibration of chemical application, measuring, testing, and inspection equipment used in the g
harvesting process shall be documented and implemented.
Equipment shall be calibrated against manufacturer, national or international reference standards, methods, and sched
where such standards are not available, the site shall indicate this and provide evidence to support the calibration refe
used.
Pest Prevention
The property adjacent to buildings, storage facilities, machinery, and equipment shall be kept free of waste or accumu
it does not attract pests and vermin. Harvested products and food contact packaging materials shall be free of evidenc
vermin infestation.
The pest prevention program shall:

i. Describe the methods and responsibility for the development, implementation, and maintenance of the pest preve
ii. Record pest sightings and trend the frequency of pest activity to target pesticide applications;
iii. Outline the methods used to prevent pest problems;
iv. Outline the methods used to eliminate pests when found;
v. Outline the frequency with which pest status is to be checked;
vi. Include on a site map the identification, location, number, and type of bait stations set; and
vii. List the chemicals used. Chemicals are required to be approved by the relevant authority and their Safety Data Sh
made available.

Records of pest inspections and pest applications shall be maintained.

Animal Control
The operation shall have a written risk assessment on animal activity in and around the production of produce that has
implemented and monitored.
Measures shall be in place to control domestic and wild animals in the growing fields and to prevent the presence of d
animals in storage and product handling areas.
Cleaning
The cleaning of product contact surfaces, field harvesting equipment, and sanitary facilities shall be documented and
Cleaning procedures and schedules shall include:

i. A list of equipment, harvesting tools, sanitary facilities, and storage areas that require periodic cleaning;
ii. Instructions on how cleaning is to be performed for the various areas and equipment;
iii. The frequency of when cleaning is to be completed;
iv. Personnel responsible for performing and evaluating the cleaning; and
v. Records of cleaning activities.
A schedule shall be prepared that indicates the frequency of verifying the effectiveness of cleaning product contact su
harvesting equipment, and sanitary facilities, and who is responsible for completing verification activities.

Personal Hygiene
Personnel Practices
A documented and implemented procedure for personal hygiene and personnel practices shall ensure that personnel e
handling of product use appropriate personal hygiene practices. The procedure shall include instructions that:

i. Jewelry and other loose objects that pose a threat to the safety of the product shall not be worn or taken onto any
handling or storage operations.
ii. Smoking, chewing, eating, drinking (except for water which shall be available to all personnel), or spitting is not
growing areas including on field harvesting rigs and during harvesting and packing operations.

Personnel and visitor practices shall be routinely monitored for compliance, and any resulting corrective actions impl
recorded for personnel who violate food safety practices.

Note: The wearing of plain bands with no stones or jewelry accepted for religious or cultural reasons and prescribed
bracelets can be permitted; however, the site will need to consider its customer requirements and the applicable food l

Personnel who are suffering from or are carriers of an infectious disease that can be transferred through food shall no
growing, product handling, or field harvesting operations.
A medical screening procedure shall be in place for all personnel who handle product or food contact materials and sh
all visitors and contractors.
Procedures, including methods and responsibilities, shall be in place that specify the handling of product and/or produ
surfaces that have been in contact with or exposed to blood or other bodily fluids.

Personnel with exposed cuts, sores, or lesions shall not engage in handling product or product contact surfaces. Mino
abrasions on exposed parts of the body shall be covered with a suitable waterproof and colored dressing.

Sanitary Facilities and Handwashing

Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk
contamination.

i. There shall be sufficient toilet facilities for the maximum number of personnel, and they shall be constructed so t
easily cleaned and maintained;
ii. Handwash basins with clean and potable water, hand soap, disposable towels or effective hand drying devices, w
tank that captures used handwash water for disposal (if not connected to drains) shall be provided inside or adjacent t
iii. Signage in appropriate languages shall be provided adjacent to handwash basins instructing personnel to wash the
each toilet visit;
iv. Racks for protective clothing used by personnel shall be provided;
v. Toilets shall be located to provide easy access for farmworkers; and
vi. Toilet and wash stations shall be maintained in clean and sanitary conditions.

Tools/equipment used for cleaning toilet rooms shall not be used to clean operational areas.

Personnel shall have clean hands, and hands shall be washed by all personnel:
i. Before handling product;
ii. Before putting on gloves;
iii. After each visit to a toilet;
iv. After using a handkerchief, handling dirty or contaminated material; and
v. After smoking, eating, or drinking.

Protective Clothing
Protective clothing (e.g., uniforms and smocks) shall be effectively maintained, stored, laundered, and worn to protec
the risk of contamination.
Where applicable, clothing, including outer garments and footwear, shall be in good condition, cleaned and sanitized,
protect product from the risk of contamination.
If rubber or disposable gloves are used, the operation shall have a glove-use policy in place, and personnel shall still a
handwashing practices outlined above.
Visitors
All visitors, including management and maintenance personnel, shall follow all personnel practices designated by the
entering or close to fields, sheds, packing facilities, or storage locations. These practices include, but are not limited to
of jewelry and other loose objects and wearing suitable protective clothing.

Visitors who are exhibiting visible signs of illness or have been in recent direct contact with other sites, animals, or ag
commodities, shall be prohibited from entering any growing or product handling or field harvesting operation.

Unsupervised children shall not be permitted to enter any harvesting, packing, or food storage areas.
Personnel Food, Drink, and Personal Storage
Provision shall be made to store personal belongings away from crops, harvesting, field and packing operations, and h
equipment.
Areas for meal breaks shall be designated and located away from food contact/ handling zones and harvesting equipm
Harvesting, Field Packaging, Product Handling Practices, and Transport
Harvesting Inspection, Product Handling, and Transport
The methods and responsibility for conducting inspections to assess biological, chemical, and physical hazards and th
products being harvested shall be documented and implemented. Inspections shall occur prior to and during harvestin
the transport of product to its next destination (refer to 2.5.4.3).

Records of field and harvesting inspections shall be maintained.

The methods and responsibilities for the handling and packaging of crops, where applicable, shall be documented and
It shall ensure:

i. Inspection and removal of physical hazards;

ii. Damaged or decayed product is not harvested or culled;
iii. Personnel access and controls on movement;
iv. Materials that come into contact with products are clean and in good repair; and
v. Packaging materials are used and stored during use in a manner that prevents product contamination.

The methods and responsibilities for loading, transport, and unloading of crops to ensure product integrity is maintain
documented and implemented. Training and supervised personnel practices shall include:

i. The inspection of vehicles or other modes of transport to ensure they are clean and functional;
ii. Verification that appropriate storage conditions are maintained during transportation to final destinations;
iii. Prevention of cross-contamination with other hazards and potential spoilage;
iv. Use of appropriate stock rotation practices; and Recording and maintaining documents for vehicle inspection, tran
conditions, and stock rotation.

Water Management
Water Systems
A water description plan shall be prepared that describes the water sources and the production blocks they serve and s
or more of the following: maps, photographs, drawings, or other means to communicate the location of the water sour
fixtures, and the flow of the water system. The plan shall be kept current and revised when changes occur.

Agricultural water shall be sourced from a location and in a manner that is compliant with applicable regulations.

Water system intended to convey untreated human or animal waste shall be separated from conveyances utilized to de
agricultural water.
Irrigation Water
Agricultural water shall be drawn from a known clean source or treated to make it suitable for use. The producer shal
analysis of the hazards to the irrigation water supply from its source through to application, establish acceptance crite
monitoring of water, and validate and verify the integrity of the water used to ensure it is fit for the purpose. Records
maintained as per 8.6.3.3.
In circumstances where irrigation water is treated to render it acceptable, the water after treatment shall conform to th
microbiological standards as outlined in element 8.6.3.
Water Management Plan
The water system plan described in 8.6.1.1. shall have a documented hazard analysis conducted annually and whenev
occur to its sources, methods of transportation, storage conditions, or environmental conditions impacting it (refer to
methods applied to minimize risks associated with the hazards shall be included in the water management plan (refer

A water management plan describing the methods, responsibilities, and procedures for managing the different types a
at the site (farm) shall be documented and implemented. The plan shall include:
i. Description of where and how water is used (e.g., washing and treating products, irrigation, pesticide application,
ii. Maintenance and cleaning of the water system (refer to 8.3.1 and 8.3.4);
iii. The hazard analysis and preventive controls that are to be applied for the use of water during growing and harves
monitoring, corrective action, and verification for each control measure; and
iv. Documentation and records referenced.

Control measures may include:

i. Water treatment and/or testing;
ii. Water temperature;
iii. Re-circulation, aeration;
iv. Source alteration or change scheduling;
v. Timing of use or application; and
vi. Temporary or permanent protection of water sources from possible contamination (e.g., livestock [CAFO], sewag
human habitation, heavy rains, flooding).
Water used for washing and treating product, cleaning of product contact surfaces, and handwashing shall be monitor
complies with potable water microbiological and chemical standards or criteria established in the country of productio
destination. The monitoring procedures shall include:

i. A schedule indicating the location and frequency of monitoring (refer to 8.6.3.2), which shall be decided by the r
best practices within the country of production, or applicable legislation;
ii. Reference to the potable water criteria or standards;
iii. List of microbiological and/or chemical testing being conducted;
iv. Reference to the approved laboratory that is accredited to ISO 17025 or equivalent;
v. Corrective actions that will be taken if water and/or ice do not meet established criteria or standards including fur
treatment, other source possibilities, non-conforming products that might be affected, or other alternative actions; and
vi. Records maintained for monitoring and/or corrective actions.

Where ice is purchased and/or made on-site, it shall meet the microbiological and quality standards stated above.

Soil Management
Purchasing Chemicals
Purchased fertilizers, agricultural chemicals, and soil amendments shall be approved for use in the country of product
location), the country of destination, and for the specific commodity. Purchased chemicals, where required by regulat
labeled with the active ingredient(s), applicable dosage rates, and application instructions. Where no regulations or pa
govern the use of chemicals, the grower/producer shall have a documented risk assessment on the justification for use
regulated chemicals.

Chemicals that are specifically banned for use in the country of production or the country of destination shall not be p
stored.
Suppliers of chemicals shall be included in the approved supplier program (refer to 2.3.4), and a current inventory of
purchased and used shall be maintained (refer to 8.2.2).
Soil Amendments
The methods and responsibility for soil amendment preparation and/or treatment shall be documented, implemented,
prevent contamination of product. The procedures or work instructions shall outline how to treat manure and other un
fertilizers ensuring:

i. Treatments and application methods are verified as being compliant with the approved or recommended methods
not pose a hazard to the soil amendment;
ii. Treatment methods applied are validated as being appropriate and effective at inactivating pathogens in organic s
iii. No raw untreated manure is used; and
iv. Records of the approvals, validation, and verification, of organic soil amendment treatments are maintained.
The methods and responsibility for soil amendment applications shall be documented and implemented to ensure orga
amendment applications are timed to pose minimum risk to product safety including:

i. All applications of soil amendments are in accordance with national or local guidelines best practices and codes o
Agricultural Practice;
ii. Equipment used for soil amendment application is maintained in good condition and calibrated to ensure accurate
(refer to 8.3.1);
iii. Records of all equipment maintenance and calibration are maintained;
iv. Signage complies with national and local codes of practice; and
v. Records of soil amendment applications are maintained and contain sufficient detailed data.

Agricultural Chemicals
A spray or crop protection program indicating the applications used for a target pest or disease and the threshold leve
application shall be documented and implemented.

Records of all chemical applications include:

i. The chemical used;

ii. Crop information;
iii. Date, method, concentration, and frequency of application; and
iv. Evidence that the timing between chemical application and harvest complies with the approved harvest interval fo
application.

The person making decisions on chemical applications shall:

i. Demonstrate knowledge of and access to information regarding chemical applications and the maximum residue
in destination markets;
ii. Use only chemicals approved for cultivation of the specified products and approved for use in the intended marke
iii. Demonstrate competence and knowledge of chemical applications and crop withholding periods.

Waste Disposal
Waste Handling and Disposal
The methods and responsibility (procedure) that describes the effective and efficient disposal of all waste shall be doc
implemented. Waste includes:

i. Inedible material;
ii. Unusable packaging, including trademarked material; and
iii. Liquid and unsanitary waste from the farm.

Waste systems shall be designed and constructed and waste shall be regularly removed from the farm so they do not b
safety risks to finished product, growing, harvesting, and packing operations and to adjoining or adjacent waterways a

Inedible waste designated for animal feed shall be stored and handled so it does not cause a risk to the animal.
dition 9 Checklist
Primary Response Evidence Supplier Onsite Correction
 Clause
10.1
10.1.1
10.1.1.1

10.1.1.2

10.1.2
10.1.2.1

10.1.2.2

10.1.2.3

10.1.2.4
10.1.2.5

10.1.2.6

10.1.2.7

10.1.2.8

10.1.2.9

10.1.2.10

10.1.3
10.1.3.1
10.1.3.2

10.1.3.3

10.2
10.2.1
10.2.1.1

10.2.1.2

10.2.1.3

10.2.1.4

10.2.1.5

10.2.1.6

10.2.2
10.2.2.1

10.2.2.2

10.2.2.3

10.2.2.4

10.2.2.5

10.2.2.6

10.2.3
10.2.3.1

10.2.3.2

10.2.3.3

10.2.4
10.2.4.1

10.2.4.2

10.3
10.3.1
10.3.1.1
10.3.1.2

10.3.1.3

10.3.1.4

10.3.1.5
10.3.2
10.3.2.1

10.3.2.2

10.3.2.3
10.3.2.4

10.3.2.5

10.3.2.6

10.3.2.7

10.4
10.4.1
10.4.1.1

10.4.1.2

10.4.1.3
10.4.1.4

10.4.2
10.4.2.1

10.4.2.2

10.4.2.3

10.4.3
10.4.3.1

10.4.3.2
10.4.3.3

10.4.4
10.4.4.1

10.4.4.2

10.4.5
10.4.5.1

10.4.5.2

10.4.5.3

10.5
10.5.1
10.5.1.1

10.5.1.2

10.5.1.3

10.5.1.4

10.5.2
10.5.2.1

10.5.2.2

10.5.2.3

10.5.3
10.5.3.1

10.5.3.2

10.5.3.3

10.5.3.4

10.5.3.5

10.5.4
10.5.4.1

10.5.4.2

10.6
10.6.1
10.6.1.1

10.6.1.2
10.6.1.3

10.6.1.4

10.6.1.5

10.6.2
10.6.2.1

10.6.2.2

10.6.2.3

10.6.3
10.6.3.1

10.6.3.2

10.6.3.3
10.6.4
10.6.4.1
10.6.4.2

10.6.4.3

10.6.5
10.6.5.1

10.6.5.2

10.6.5.3
10.7
10.7.1
10.7.1.1

10.7.1.2

10.7.1.3

10.7.2
10.7.2.1

10.7.2.2

10.7.2.3
10.7.2.4

10.8
10.8.1
10.8.1.1

10.8.1.2

10.8.1.3

10.8.1.4

10.8.1.5

10.9
10.9.1
10.9.1.1

10.9.1.2

10.9.1.3

10.9.1.4

10.9.1.5
 Primary Plant Production E
Item
Premises - Exterior, Buildings, and Interior
Premises Exterior
The location and construction of the premises and building shall ensure that:

i. Adjacent and adjoining buildings, operations, and land use do not interfere with safe and hygienic operations; and
ii. Relevant regulatory authority approval has been obtained and is on file.

The methods and responsibilities applied to maintain a suitable exterior environment shall be documented and implem
include:

i. Effective, periodic monitoring and/or inspection of the premises, the surrounding areas, storage facilities, machin
equipment;
ii. Controls to ensure that the exterior is kept free of waste and/or accumulated debris to prevent the attraction of pes
iii. Paths, roadways, loading and unloading areas are adequately drained and maintained; and
iv. Records of inspections and correction actions are maintained.

Building Interior
Floors shall be constructed of smooth, dense, impact-resistant material that can be effectively graded, drained, easily
impervious to liquid. Floors shall be suitably sloped toward the floor drains at gradients to allow the effective remova
or wastewater under normal working conditions. Where floor drainage is not possible, plumbed options or other contr
shall be in place to handle overflow or wastewater.

Drains and waste/material trap systems shall be constructed and located so that they can be easily cleaned and not pre
products.
Walls, partitions, ceilings, and doors shall be of durable construction. Internal surfaces shall have even, smooth light-
be impervious to liquids, and shall be kept clean (refer to 10.2.5).

Wall-to-wall and wall-to-floor junctions shall be designed to be easily cleaned and sealed to prevent the accumulation

Drop ceilings, where present, shall be constructed to enable monitoring for pest activity, facilitate cleaning, and provi
utilities.

Ducting, conduit, and pipes that convey products or services, such as steam or water, shall be designed and constructe
contamination of food, ingredients, and food contact surfaces and allow ease of cleaning (refer to 10.3.2).
Adequate ventilation shall be provided in enclosed product handling and storage areas and meet commodity-specific r
where applicable. All ventilation equipment and devices shall be adequately cleaned per the cleaning and sanitation p

Pipes carrying sanitary waste or wastewater that are located directly over product lines or storage areas shall be desig
constructed to prevent the contamination of food, materials, ingredients, and food contact surfaces, and shall allow ea

Doors, hatches, and windows and their frames in food handling or storage areas shall be of a material and constructio
same functional requirements for internal walls and partitions. Doors and hatches shall be of solid construction, and w
made of shatterproof glass or similar material.

Stairs, catwalks, and platforms in food processing and handling areas shall be designed and constructed so they do no
product-contamination risk and with no open grates directly above exposed food product surfaces. They shall be kept
10.3.2).
The inspection/quality control area shall be provided with facilities that are suitable for examination and testing of the
being handled/packed (refer to 2.4.4 for internal lab requirements). The inspection area shall:

i. Have easy access to handwashing facilities;

ii. Have appropriate waste handling and removal; and
iii. Be kept clean to prevent product contamination.

Lighting and light fixtures in product handling areas, inspection stations, ingredient/ input and packaging storage area
where the product is exposed shall be:

i. Of appropriate intensity to enable personnel to carry out tasks efficiently and effectively; and
ii. Shatterproof, manufactured with a shatterproof covering, or fitted with protective covers. Where fixtures cannot b
including in warehouses, structures must be protected from accidental breakage, manufactured from cleanable materia
addressed in the cleaning and sanitation program.

Dust, Insect, and Pest Proofing

All external windows, ventilation openings, doors, and other openings shall be effectively sealed when closed and pro
dust, vermin, and other pests.

External personnel access doors shall be provided. They shall be effectively insect-proofed and fitted with a self-closi
proper seals to protect against ingress of dust, vermin, and other pests.
External doors, including overhead dock doors in food handling areas used for product, pedestrian, or truck access, sh
and maintained to prevent pest entry by at least one or a combination of the following methods:

i. A self-closing device;
ii. An effective air curtain;
iii. A pest-proof screen;
iv. A pest-proof annex; and
v. Adequate sealing around trucks in docking areas.

Electric insect control devices, pheromone, or other traps and baits shall be located and operated so they do not presen
contamination risk to the product, packaging, containers, or operating equipment.

Poison rodenticide bait shall not be used inside packing rooms, product storage areas, or food handling areas.

Equipment and Maintenance

Equipment and Utensils
The methods and responsibility for purchasing and specifications development for equipment and utensils shall be do
implemented. The methods shall ensure that equipment and utensils:

i. Are designed, constructed, installed, and operated so as not to pose a threat to products; and
ii. Meet any applicable regulatory requirements.

Product contact surfaces and those surfaces not in direct contact with product in product handling areas, raw material
packaging material storage, and cold storage areas shall be constructed of materials that will not contribute to a food s

Benches, tables, conveyors, shellers, graders, packers, and other mechanical equipment shall be hygienically designed
appropriate cleaning. Equipment surfaces shall be smooth, impervious, and free from cracks or crevices.

Product containers, tubs, and bins used for edible and inedible material shall be constructed of materials that are non-
impervious, and readily cleaned per the cleaning and sanitation program. Bins used for inedible material shall be clea

All equipment and utensils shall be cleaned after use and be stored in a clean and serviceable condition to prevent mic
cross-contact allergen contamination.
Vehicles and/or other devices used to transport and move products in food contact, handling, or processing zones, or
rooms shall be designed and operated so as not to present a food safety hazard.

Equipment Maintenance and Repair

The methods and responsibility for the maintenance and repair of equipment and buildings and facilities shall be docu
planned, and implemented in a manner that minimizes the risk of product, packaging, or equipment contamination. Th
include procedures to ensure:

i. Routine preventive maintenance of facilities and equipment in any food handling or storage area is performed acc
maintenance control schedule;
ii. Preventive maintenance and repair of items identified as impacting food safety controls and practices are prioritiz
completion according to defined schedules or immediately when they are not properly functioning; and
iii. Records are maintained for all preventive maintenance and equipment failure/immediate repair activities and corr

The maintenance schedule shall cover buildings, equipment, and other areas of the premises critical to the maintenan
safety and quality.

The maintenance supervisor and/or site supervisor shall be informed when repairs or maintenance are undertaken in p
or storage areas and when the activities pose a potential threat to product safety (e.g., pieces of electrical wire, damag
and loose overhead fittings). When possible, maintenance is to be conducted outside operating times.

Temporary repairs, where required, shall not pose a food safety risk, and shall be included in the cleaning program an
inspections. There shall be a plan in place to address the completion of temporary repairs to ensure they do not becom
solutions.
Equipment located over product or product conveyors shall be lubricated with food-grade lubricants, and their use sha
to minimize the contamination of the product.
Paint used in a food handling or contact zone shall be suitable for use, in good condition, and shall not be used on any
surface.
Compressed air systems, and systems used to store or dispense other gases used in the operational process that come
food or food contact surfaces, shall be maintained and regularly monitored for quality and applicable food safety haza

Maintenance Personnel and Contractors

Maintenance personnel and contractors shall comply with the site’s personnel and operational hygiene requirements (

All maintenance and other engineering contractors required to work on-site shall be trained in the site’s food safety an
procedures or shall be escorted at all times until their work is completed.
Maintenance personnel and contractors shall remove all tools and debris from any maintenance activity once it has be
and inform the area supervisor and maintenance supervisor so appropriate hygiene and sanitation can be conducted an
operational inspection completed prior to the restarting of site operations. Maintenance, operations, and/or sanitation
communications.

Calibration
The methods and responsibility for calibration and re-calibration of measuring, testing, and inspection equipment use
activities outlined in Good Operating Practices, food safety plans, and other process controls or to demonstrate compl
customer specifications shall be documented and implemented. The procedures shall ensure:

i. Calibration is performed according to regulatory requirements and/or the equipment manufacturer’s recommende
ii. Calibrated measuring, testing, and inspection equipment is protected from damage and unauthorized adjustment;
iii. Affected product is handled according to non-conforming product procedures when equipment is found to be out
iv. Software used for calibration activities is effective and appropriate; and
v. Records of calibration activities are maintained.

Equipment shall be calibrated against manufacturer, national or international reference standards and methods, or to a
appropriate to its use. In cases where standards are not available, the site shall provide evidence to support the calibra
method applied.
Cleaning and Sanitation and Pest Prevention
Pest Prevention
The methods and responsibility for pest prevention shall be documented and effectively implemented. The pest preve
shall:

i. Describe the methods and responsibility for the development, implementation, and maintenance of the pest preve
ii. Record pest sightings and trend the frequency of pest activity so as to target pesticide applications;
iii. Outline the methods used to prevent pest problems;
iv. Outline the pest elimination methods and the appropriate documentation for each inspection;
v. Outline the frequency with which pest status is to be checked;
vi. Include the identification, location, number, and type of bait stations set on a site map;
vii. List the chemicals used. They are required to be approved by the relevant authority, and their Safety Data Sheets
available;
viii. Outline the methods used to make personnel aware of the bait control program and the measures to take when the
contact with a bait station;
ix. Outline the requirements for personnel awareness and training in the use of pest and vermin control chemicals an
x. Measure the effectiveness of the program to verify the elimination of applicable pests and to identify trends.
Pest contractors and/or internal pest controllers shall:

i. Be licensed and approved by the local relevant authority;

ii. Use only trained and qualified operators, who comply with regulatory requirements;
iii. Use only approved chemicals;
iv. Maintain a site map indicating the location of bait stations, traps, and other applicable pest control/monitoring dev
Report to a responsible authorized person on entering the premises and after the completion of inspections or treatmen

Inspections for pest activity shall be conducted on a regular basis by trained personnel and the appropriate action take
present. Identified pest activity shall not present a risk of contamination to food products, raw materials, or packaging

Records of pest activity inspections and pest control devices shall be maintained.

Food products, raw materials, or packaging that are found to be contaminated by pest activity shall be effectively disp
source of pest infestation shall be investigated and resolved. Records shall be kept of the disposal, investigation, and r

No domestic animals shall be permitted on the site in food handling or storage areas
Cleaning and Sanitation
The methods and responsibility for cleaning of the product handling equipment and environment shall be documented
implemented. Cleaning procedures and schedules shall include:

i. A list of equipment, utensils, and storage areas that require periodic cleaning;
ii. Instructions on how cleaning is performed for the various areas and equipment;
iii. The frequency of when cleaning is to be completed;
iv. Personnel responsible and the methods used to verify the effectiveness of the cleaning and sanitation program (e.
procedures, concentration of detergents and sanitizers); and
v. Records of cleaning activities and effectiveness reviews/inspections are maintained.

Detergents and sanitizers shall be suitable for use in a food handling environment, labeled according to regulatory req
purchased in accordance with applicable legislation. The organization shall ensure:

i. The site maintains a list of chemicals approved for use;

ii. An inventory of all purchased and used chemicals is maintained;
iii. Detergents and sanitizers are properly stored as per the storage program;
iv. Safety Data Sheets (SDS) are provided for all detergents and sanitizers purchased; and
v. Only trained personnel handle sanitizers and detergents.

Detergents and sanitizers that are mixed for use shall be correctly mixed according to the manufacturer’s instructions,
containers that are suitable for use, and clearly identified. Mix concentrations shall be verified, and records maintaine
Suitably equipped areas shall be designated for cleaning product containers, knives, cutting boards, and other utensils
containers for storing cleaned utensils and protective clothing shall be clearly identified and maintained in a manner t
contamination of products, equipment, or storage areas.

Pre-operational inspections shall be conducted following cleaning and sanitation operations to ensure food handling a
contact surfaces, equipment, personnel amenities, sanitary facilities, and other essential areas are clean before the star

Pre-operational inspections shall be conducted by qualified personnel and records maintained.

Staff amenities, sanitary facilities, and other essential areas shall be inspected by qualified personnel at a defined freq
the areas are clean.
The responsibility and methods used to verify the effectiveness of the cleaning procedures shall be documented and im
verification schedule shall be prepared. A record of pre-operational hygiene inspections, cleaning and sanitation activ
verification activities shall be maintained.
Personnel Practices, Hygiene, and Welfare
Personnel Practices
A documented and implemented procedure for personal hygiene and personnel practices shall ensure that personnel e
handling of product use appropriate personal hygiene practices. The procedure shall include instructions that:

i. Jewelry and other loose objects that pose a threat to the safety of the product are not worn or taken into any produ
storage operations.
ii. Fingernail polish, artificial nails, and long nails are not permitted where product is handled with bare hands;
iii. False eyelashes and eyelash extensions are not permitted;
iv. Hair restraints are used where product is exposed; and
v. Smoking, chewing, eating, drinking (except for water which shall be available to all personnel), or spitting are no
any packing or storage areas.

Note: The wearing of plain bands with no stones or jewelry accepted for religious or cultural reasons and prescribed m
bracelets can be permitted; however, the site will need to consider its customer requirements and the applicable food l

Personnel and visitor practices, including all those listed in 10.4.1, shall be routinely monitored for compliance, and a
corrective actions implemented and recorded for personnel who violate food safety practices.

Personnel who are known to be carriers of infectious diseases that present a health risk to others through the packing
processes shall not engage in packhouse operations.
Procedures and responsibilities shall be in place that specify the handling of product and/or product contact surfaces t
contact with or exposed to blood or other bodily fluids.
Personnel with exposed cuts, sores, or lesions shall not be engaged in handling product or product contact surfaces. M
abrasions on exposed parts of the body shall be covered with a suitable waterproof and colored dressing.

Sanitary Facilities and Handwashing

Toilet and handwashing facilities shall be provided and designed, constructed, and located in a manner that minimize
risk for product contamination. The following shall be considered:
i. There shall be sufficient toilet facilities for the maximum number of personnel, and they shall be constructed so t
easily cleaned and maintained;
ii. Handwash basins with clean and potable water, hand soap, disposable towels or effective hand drying devices, w
tank that captures used handwash water for disposal (if not connected to drains) shall be provided inside or adjacent t
and in accessible locations throughout food handling areas as required;
iii. Signage in appropriate languages shall be provided adjacent to handwash basins instructing personnel to wash the
each toilet visit;
iv. Racks for protective clothing used by personnel and visitors shall be provided; and
v. Toilet and wash stations shall be maintained in clean and sanitary conditions.

Tools/equipment used for cleaning toilet rooms shall not be used to clean operational areas.

Personnel shall have clean hands, and hands shall be washed by all personnel, contractors, and visitors:

i. On entering food handling areas, and before putting on gloves;

ii. After each visit to a toilet;
iii. After using a handkerchief;
iv. After smoking, eating, or drinking; and
v. After handling wash down hoses, cleaning materials, dropped products, or contaminated material.

Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to a septic tank
system as per regulations.
Protective Clothing
Protective clothing (e.g., uniforms and smocks) shall not pose a food safety threat or be a risk to product contaminatio
clothing shall be:

i. Manufactured from material that can be effectively maintained, stored, and laundered after use or at a frequency t
create risks of cross-contact with products. Excessively soiled uniforms shall be changed or replaced where they beco
contamination risk; and
ii. Temporarily stored on racks, when personnel leave operating areas or use toilet facilities and the clothing can be
(e.g., smocks and aprons).

Where applicable, clothing (i.e., any outer garment), including footwear, shall be in good condition, cleaned, and wor
product from the risk of contamination.
Disposable gloves and aprons shall be changed after each break, upon re-entry into the processing area, and when dam

Non-disposable aprons and gloves shall be cleaned and sanitized as required and, when not in use, stored on racks pro
processing area or designated sealed containers in personnel lockers and not on packaging, ingredients, product, or eq

Visitors
All visitors, including management, shall be required to adhere to site personnel practices and specifically:

i. Remove jewelry and other loose objects as per 10.4.1.1;

ii. Wash hands as per 10.4.2.2;
iii. Wear suitable clothing and footwear when entering any operational or food handling area; and
iv. Enter and exit food handling areas through the proper entrance points.

Visitors who are exhibiting visible signs of illness or have been in recent direct contact with other sites, animals, or pr
prohibited from entering any growing or product handling or harvesting operation.

Personnel Amenities (change rooms, toilets, lunchrooms/breakrooms)

Staff facilities shall be supplied with appropriate lighting and ventilation and provided to enable staff and visitors to:

i. Change into and out of protective clothing, if applicable;

ii. Store street clothing, footwear, and personal items separate from food handling, packing, and storage areas.

Separate lunchroom and/or breakroom facilities shall be provided away from product contact/handling zones.
Lunchrooms/breakrooms shall be:

i. Ventilated and well lit;

ii. Provided with adequate tables and seating to accommodate the maximum number of personnel at one sitting;
iii. Equipped with a sink serviced with hot and cold potable water for washing utensils;
iv. Equipped with refrigeration and heating facilities, enabling personnel to store or heat food and prepare non-alcoh
required; and
v. Kept clean and free from waste materials and pests.

Where outside eating areas are provided, they should be kept clean and free from waste materials and maintained in a
minimizes the potential for the introduction of contamination, including pests, to the site.

Personnel Product Handling Practices

Product Handling and Packaging Operations
All personnel engaged in any food handling operations shall ensure that products and
materials are handled and stored to prevent damage or product contamination. They
shall comply with the following operational practices:
i. No eating or tasting any product in the food handling/contact zone, except as noted in element
10.5.1.2;
ii. Entry into operational areas is only through the personnel access doors;
iii. All doors are kept closed. Doors are not open for extended periods when access is required for
waste removal, or receiving and/or shipping of products, ingredient, or packaging.
iv. Packaging, product, and ingredients are kept in appropriate containers as required and off the
floor;
v. Waste is contained in the bins identified for this purpose, removed from operational areas
regularly, and not left to accumulate; and
vi. All wash down and compressed air hoses are stored on hose racks after use and not left on the
floor.

In circumstances where it is necessary to undertake sensory evaluations in a food

handling/contact zone, the site shall implement proper controls and procedures to
ensure:
i. Food safety is not compromised;
ii. Sensory evaluations are conducted by authorized personnel only;
iii. A high standard of personal hygiene is practiced by personnel conducting sensory evaluations;
iv. Sensory evaluations are conducted in areas equipped for the purpose; and
v. Equipment used for sensory evaluations is sanitized, maintained, and stored separately from
operational equipment.

The flow of personnel in food handling areas shall be managed so that the potential
for contamination is minimized.
Personnel practices and activities, including those listed in 10.5, shall be routinely monitored for compliance, and any
corrective actions implemented and recorded for personnel who violate food safety practices.

Control of Foreign Matter Contamination Operations

The methods and responsibility for the prevention of foreign matter and glass contamination shall be documented and
Procedures and resulting records shall ensure:

i. Containers, equipment, and other utensils made of glass, porcelain, ceramics, brittle plastic, or similar materials a
where exposed product is handled, unless clearly identified, required for effective operational controls, and regularly
ii. Regular inspections are conducted to ensure food handling/contact zones areas are free of glass and brittle plastic
made from the previously identified materials are in good repair;
iii. Wooden pallets and other wooden utensils or tools used in food handling/contact zones are dedicated for that pur
condition is subject to regular inspection, and they are cleaned and maintained in good order;
iv. Product handling areas are routinely inspected to remove risks from foreign material, such as debris, wood, stone
detached/deteriorated equipment, and other physical hazards; and
v. Personnel are to be made aware of their responsibility to adhere to the site’s foreign matter and glass controls.

Knives and cutting instruments used in product handling and packaging operations shall be controlled, kept clean, and
maintained. Snap-off blades shall not be used in manufacturing or storage areas.
Gaskets and other equipment made of materials that can wear or deteriorate over time shall be inspected on a regular
to 2.5.4.3).
Detection of Foreign Objects
The responsibility, methods, and frequency for monitoring, maintaining, calibrating, and using screens, sieves, filters,
technologies to remove or detect foreign matter shall be documented and implemented.

Metal detectors or other physical contaminant detection technologies shall be routinely monitored, validated, and veri
operational effectiveness. The equipment shall be designed to isolate defective product and indicate when it is rejecte

Records shall be maintained of the inspection of foreign object detection devices and any products rejected or remove
Records shall include any corrective and preventative actions resulting from the inspections.

In all cases of foreign matter contamination, the affected batch or item shall be isolated, inspected, reworked, or dispo
shall be maintained of the disposition.
In circumstances where glass or similar material breakage occurs, the affected area shall be isolated, cleaned, and tho
inspected (including cleaning equipment and footwear), and the completed actions approved by a suitably responsible
restarting operations.
Receiving and Shipping
Personnel conducting receiving activities shall ensure agricultural inputs, packaging materials, and product are not co
during the unloading process. Work instructions and training shall include the following practices:

i. Vehicles are clean, in good repair, suitable for the purpose, and free from odors or other conditions that may impa
the agricultural input, packaging, or product;
ii. Vehicles (e.g., trucks/vans/containers) are secured from tampering using a seal or other agreed-upon and acceptab
system;
iii. Unloading docks are designed to protect the product and in good operating condition (refer to 10.1.2.7); and
iv. Where temperature control is required, the refrigeration unit’s storage temperature settings and operating tempera
checked and recorded before opening the doors. Unloading is completed efficiently, and product temperatures are rec
of unloading and at regular intervals during unloading.

Recording documents for vehicle inspection, identification of approved suppliers, and temperature checks shall be m

Personnel conducting loading and transporting of harvested and/or packaged

product shall ensure that product integrity is maintained. Work instructions and
training shall include the following practices:
v. Inspections for ensuring vehicles are clean, in good repair, suitable for the purpose, and free
from odors or other conditions that may impact negatively on products;
vi. Securing vehicles (e.g., trucks/vans/containers) from tampering using a seal or other agreedupon and acceptable de
vii. Loading docks are designed to protect the product and in good operating condition (refer to
10.1.2.7);
viii. Verification that appropriate storage conditions are maintained during transportation to final
destinations;
ix. Prevention of cross-contamination with other hazards and potential spoilage;
x. Use of appropriate stock rotation practices; and
xi. Recording and maintaining documents for vehicle inspection, transport conditions, and stock
rotation.

Water, Ice, and Air Supply

Water Supply
A water supply plan shall be prepared that describes the water sources and the operational areas they serve and shall i
location of water sources, permanent fixtures, and the flow of the water system. The plan shall be kept current and rev
changes occur.

Contingency plans shall be in place for instances when the potable water supply is deemed to be contaminated or othe
inappropriate for use.

Adequate supplies of potable water drawn from a known clean source shall be provided for use during operations, cle
premises and equipment, and handwashing.
Supplies of hot and cold water shall be provided, as required, to enable the effective cleaning of the premises and equ

The use of non-potable water shall be controlled so that:

i. There is no cross-contamination between potable and non-potable water lines;

ii. Non-potable water piping and outlets are clearly identified;
iii. Hoses, taps, and other similar sources of possible contamination are designed to prevent backflow or back siphon
iv. Testing of the backflow system, where possible, is conducted at least annually and records are maintained.

Where water is stored on-site, storage facilities shall be adequately designed, constructed, and routinely cleaned to pre
contamination.
Water Treatment
Water treatment methods, equipment, and materials if required, shall be designed, installed, and operated to ensure w
effective treatment.

Water treatment equipment shall be monitored regularly to ensure it remains serviceable.

Water used as an aid to operations (e.g., fluming, final product spray) or for cleaning and sanitizing equipment, shall
required, treated to maintain potability (refer to 10.6.2.1).
Treated water shall be regularly monitored to ensure it meets the specified indicators. Water treatment chemical usage
monitored to ensure chemical residues are within acceptable limits. Records of testing results shall be kept.

Water Quality
Water shall comply with local, national, or internationally recognized potable water microbiological and quality stand
required, when used for:

i. Washing, thawing, and treating food;

ii. Handwashing;
iii. Conveying food;
iv. An ingredient or operational aid;
v. Cleaning food contact surfaces and equipment;
vi. The manufacture of ice; or
vii. The manufacture of steam that will come into contact with food or be used to heat water that will come into conta

Microbiological analysis of the water and ice supply shall be conducted to verify the cleanliness of the supply, the mo
activities, and the effectiveness of the treatment measures implemented. Samples for analysis shall be taken at source
water for the process, cleaning, or from within the site. The frequency of analysis shall be risk-based, and at a minimu

Water and ice shall be analyzed using reference standards and methods.
Ice Supply
Ice provided for use during operations, as a processing aid, or an ingredient shall comply with 10.5.3.1.
Ice that is purchased shall be from an approved supplier and included in the site’s food safety risk assessment. Ice sha
containers that are appropriate for use, cleanable if reused, and be tested as appropriate (refer to 2.3.3).

Ice rooms and receptacles shall be constructed of materials as outlined in 10.1 and designed to minimize contaminatio
during storage, retrieval, and distribution.
Air and Other Gasses
Compressed air or other gases (e.g., nitrogen or carbon dioxide) that contact food or food contact surfaces shall be cle
no risk to food safety.
Compressed air systems and systems used to store or dispense other gases used in the operational process that come i
food or food contact surfaces shall be maintained and regularly monitored for quality and applicable food safety haza
frequency of analysis shall be risk-based and at a minimum annually.

Ambient air shall be tested at least annually to confirm that it does not pose a risk to food safety.
Storage
Ambient/Dry Storage
The responsibility and methods for ensuring proper storage of inputs, packaging, and finished product shall be docum
implemented. The methods shall ensure:

i. Effective stock rotation;

ii. Utilization of inputs, work-in-progress, and finished product within their shelf life;
iii. Risks to temporarily stored materials and/or products are analyzed, and controls are applied if necessary;
iv. Rooms used for the storage of product ingredients, packaging, and other dry goods are located away from wet are
10.1.2); and
v. Records are maintained to control storage and stock rotation.

Dry ingredients and packaging shall be received and stored separately from field product or chilled materials to ensur
cross-contamination. Unprocessed field products shall be received and segregated to ensure there is no cross-contami

Racks provided for the storage of packaging shall be constructed of impervious materials and designed to enable clea
inspection of the floors and areas behind the racks. Storage areas shall be cleaned at a predetermined frequency (refer
designed and constructed to prevent packaging from becoming a harborage for pests or vermin.

Cold Storage, Controlled Atmosphere Storage, and Chilling of Foods

The site shall provide confirmation of the effective operational performance of coolers, controlled atmosphere faciliti
rooms. They shall be designed and constructed to allow for the hygienic and efficient refrigeration and storage of foo
accessible for inspection and cleaning.
Sufficient refrigeration and controlled atmosphere capacity shall be available to chill or store the maximum anticipate
products with allowance for periodic cleaning of storage rooms.
Discharge from defrost and condensate lines shall be controlled and discharged into the drainage system.
Cool and controlled atmosphere rooms shall be fitted with temperature and atmosphere monitoring equipment and loc
the warmest part of the room and fitted with measurement devices that are easily read and accessible.

Chemical Control
Storage of Hazardous Chemicals and Toxic Substances
Hazardous chemicals and toxic substances with the potential for food contamination shall be stored so as not to prese
personnel, product, packaging, product handling equipment, or areas in which product is handled, stored, or transport
they shall not be stored inside food handling areas and product and packaging storage rooms.

Daily supplies of chemicals used for continuous sanitizing of water, as a processing aid, or for emergency cleaning of
equipment and surfaces in food contact zones may be stored within or in close proximity to a food handling area, prov
to the chemical storage facility is restricted to authorized personnel.

Hazardous chemical and toxic substance storage facilities shall:

i. Be compliant with national and local legislation and designed so there is no cross-contamination between chemic
ii. Be adequately ventilated;
iii. Be provided with appropriate signage indicating the area is a hazardous storage area;
iv. Be secure and lockable to restrict access only to personnel with formal training in handling and use of hazardous
toxic substances;
v. Have instructions, including up-to-date Safety Data Sheets (SDS), on the safe handling of hazardous chemicals a
substances, readily accessible to personnel;
vi. Be equipped with a detailed and up-to-date inventory of all chemicals contained in the storage facility;
vii. Have suitable first aid equipment and protective clothing available close to the storage area;
viii. In the event of a hazardous spill, be designed such that spillage and drainage from the area is contained; and
ix. Be equipped with spillage kits and cleaning equipment.

Hazardous chemical and toxic substances shall be handled and applied by properly trained personnel. These materials
by, or under the direct supervision of, trained personnel with a thorough understanding of the hazards involved, includ
potential for the contamination of food and food contact surfaces.

The site shall dispose of unused chemicals and empty containers in accordance with regulatory requirements and ensu

i. Empty chemical containers are not reused;

ii. Empty containers are labeled, isolated, and securely stored while awaiting collection; and
iii. Unused and obsolete chemicals are stored under secure conditions while awaiting authorized disposal by an appro

Waste Disposal
Waste Management
The methods and responsibilities that describe the effective and efficient disposal of dry, wet, liquid, and solid waste,
inedible material, unusable packaging, and trademarked materials, from the premises shall be documented and implem

Reviews of the effectiveness of waste management will be part of the site’s daily inspections, and the results of these
shall be included in the relevant reports.

Waste shall be regularly removed from food handling or processing areas so it does not create food safety risks for fin
and packing operations.

Designated waste accumulation areas shall be maintained in a clean, tidy conditions until external waste collection oc

Waste and overflow water from tubs, tanks, and other equipment shall be discharged directly to the floor drainage sys
local regulatory requirements.
Trolleys, vehicles waste disposal equipment, collection bins, and storage areas shall be maintained in a serviceable co
cleaned and sanitized regularly so they do not attract pests and other vermin.

Inedible waste designated for animal feed shall be stored and handled so it does not cause a risk to the animals or to f
processing.
dition 9 Checklist
Primary Response Evidence Supplier Onsite Correction
 Clause
18.1
18.1.1
18.1.1.1

18.1.1.2

18.1.2
18.1.2.1

18.1.2.2

18.1.2.3
18.1.2.4

18.1.2.5

18.1.2.6

18.1.2.7

18.1.2.8

18.1.2.9

18.1.2.10

18.1.3
18.1.3.1
18.1.3.2

18.1.3.3

18.2
18.2.1
18.2.1.1

18.2.1.2

18.2.1.3

18.2.1.4

18.2.1.5

18.2.1.6

18.2.2
18.2.2.1

18.2.2.2

18.2.2.3

18.2.2.4

18.2.2.5

18.2.3
18.2.3.1

18.2.3.2

18.2.3.3

18.2.4
18.2.4.1

18.2.4.2

18.3
18.3.1
18.3.1.1
18.3.1.2

18.3.1.3

18.3.1.4

18.3.1.5
18.3.2
18.3.2.1

18.3.2.2

18.3.2.3
18.3.2.4

18.3.2.5

18.4
18.4.1
18.4.1.1

18.4.1.2

18.4.1.3

18.4.1.4

18.4.2
18.4.2.1

18.4.2.2

18.4.2.3

18.4.3
18.4.3.1

18.4.3.2

18.4.3.3

18.4.4
18.4.4.1
18.4.4.2

18.4.5
18.4.5.1

18.4.5.2

18.4.5.3

18.5
18.5.1
18.5.1.1
18.5.1.2

18.5.1.3

18.5.1.4

18.5.2
18.5.2.1
18.5.2.2

18.5.3
18.5.3.1

18.5.3.2

18.6
18.6.1
18.6.1.1
18.6.1.2

18.6.1.3

18.6.1.4

18.6.1.5

18.6.2
18.6.2.1

18.6.2.2
18.6.2.3

18.6.2.4

18.7
18.7.1
18.7.1.1

18.7.1.2

18.7.1.3

18.7.2
18.7.2.1

18.7.2.2

18.7.2.3

18.8
18.8.1
18.8.1.1

18.8.1.2

18.8.1.3

18.8.1.4

18.8.2
18.8.2.1

18.8.2.2

18.8.2.3

18.8.3
18.8.3.1

18.8.3.2

18.8.4
18.8.4.1
18.8.4.2

18.8.4.3

18.8.4.4

18.9
18.9.1
18.9.1.1

18.9.1.2

18.9.1.3

18.9.1.4

18.9.1.5
 Primary Plant Production E
Item
Premises - Exterior, Buildings, and Interior
Premises Exterior
The location and construction of the premises and building shall ensure that:

i. Adjacent and adjoining buildings, operations, and land use do not interfere with safe and hygienic operations; and
ii. Relevant regulatory authority approval has been obtained and is on file.

The methods and responsibilities to maintain a suitable exterior environment shall be documented and implemented. T

i. Effective, periodic monitoring and/or inspection of the premises, the surrounding areas, storage facilities, machin
equipment;
ii. Controls to ensure that the exterior is kept free of waste and/or accumulated debris to prevent the attraction of pes
iii. Paths, roadways, loading and unloading areas are adequately drained and maintained; and
iv. Records of inspections and correction actions are maintained.

Growing Areas
Walkways and floors shall be constructed of smooth, dense, impact-resistant material that can be effectively graded, d
cleaned, and is impervious to liquid. Floors shall be suitably sloped toward the drains at gradients to allow the effectiv
overflow or wastewater under normal working conditions. Where floor drainage is not possible, plumbed options or o
measures shall be in place to handle overflow or wastewater.

Drains and waste/material trap systems shall be constructed and located so they can be easily cleaned and not present
harvested products.
Walls, partitions, ceilings, and doors shall be of durable construction and/or easily replaced. Internal surfaces shall ha
colored finishes, be impervious to liquids, and shall be kept clean (refer to 18.3.3).

Wall-to-wall and wall-to-floor junctions shall be designed to be easily cleaned and sealed to prevent the accumulatio
product waste.

Drop ceilings, where present, shall be constructed to enable monitoring for pest activity, facilitate cleaning, and prov
utilities.

Greenhouse glass or plastic for roof or wall construction shall be kept in good repair, clean, and designed and installe
pest management.
Ducting, conduit, and pipes that convey products or services, such as air, steam, water, sanitary waste, or wastewater,
designed and constructed to prevent the contamination of food, ingredients, and food contact surfaces, and allow ease
(refer to 18.3.3).
Adequate ventilation shall be provided in enclosed product handling and storage areas and meet commodity-specific r
where applicable. All ventilation equipment and devices shall be adequately cleaned per 18.3.3.

Pipes carrying sanitary waste or wastewater that are located directly over product lines or storage areas shall be desig
constructed to prevent the contamination of food, inputs, and food contact surfaces, and shall allow ease of cleaning.

Doors, hatches, and windows and their frames in food handling or storage areas shall be of a material and constructio
same functional requirements as for internal walls and partitions. Doors and hatches shall be of solid construction, an
be made of shatterproof glass or similar material.

Stairs, catwalks, and platforms in food handling areas shall be designed, constructed, and cleaned so they do not prese
contamination risk, and have no open grates directly above exposed food product surfaces.

The inspection/quality control area shall be provided with facilities that are suitable for examination and testing of the
being handled/packed (refer to 2.4.4 for internal lab requirements). The inspection area shall:

i. Have easy access to handwashing facilities;

ii. Have appropriate waste handling and removal; and
iii. Be kept clean to prevent product contamination.

Lighting and light fixtures in product handling areas, inspection stations, ingredient/ input and packaging storage area
where the product is exposed shall be:

i. Of appropriate intensity to enable personnel to carry out tasks efficiently and effectively; and
ii. Shatterproof, manufactured with a shatterproof covering, or fitted with protective covers. Where fixtures cannot b
including in warehouses, structures must be protected from accidental breakage, manufactured from cleanable materia
addressed in the cleaning and sanitation program.

Insect and Pest Proofing

All external windows, ventilation openings, doors, and other openings shall be effectively sealed when closed and pro
dust, vermin, and other pests.

External personnel access doors shall be provided. They shall be effectively insect-proofed and fitted with a self-closi
proper seals to protect against ingress of dust, vermin, and other pests.
External doors, including overhead dock doors in food handling areas used for product, pedestrian, or truck access, sh
and maintained to prevent pest entry by at least one or a combination of the following methods:

i. A self-closing device;
ii. An effective air curtain;
iii. A pest-proof screen;
iv. A pest-proof annex; and
v. Adequate sealing around trucks in docking areas.

Electric insect control devices, pheromone, or other traps and baits shall be located and operated so they do not presen
contamination risk to the product, packaging, containers, or operating equipment. Poison rodenticide bait shall not be
growing rooms, product storage areas, or other food handling areas.

Equipment and Maintenance

Product Handling Equipment and Utensils
The methods and responsibility for purchasing and specifications development for equipment and utensils shall be do
implemented. The methods shall ensure that equipment and utensils:

i. Are designed, constructed, installed, and operated so as not to pose a threat to products; and
ii. Meet any applicable regulatory requirements.

Product contact surfaces and those surfaces not in direct contact with product in product handling areas, raw material
packaging material storage, and cold storage areas shall be constructed of materials that will not contribute a food saf

Paint used in a food handling or contact zone shall be suitable for use, in good condition, and shall not be used on any
surface.

Benches, tables, conveyors, packers, and other mechanical equipment shall be hygienically designed and located for a
cleaning. Equipment surfaces shall be smooth, impervious, and free from cracks or crevices.

Product containers, tubs, and bins used for edible and inedible material shall be constructed of materials that are non-
impervious, and readily cleaned per the cleaning and sanitation program. Bins used for inedible material shall be clea

All equipment and utensils shall be cleaned after use (refer to the cleaning and sanitation program) and be stored in a
serviceable condition to prevent microbiological or cross-contact allergen contamination.

Vehicles and/or other devices used to transport and move products in food contact, handling, or processing zones, or
rooms shall be designed and operated so as not to present a food safety hazard.

Site-owned and operated shipping vehicles shall be maintained and clean so they do not impact the safety of shipped

Equipment Maintenance and Repair

The methods and responsibility for the maintenance and repair of equipment and buildings and facilities shall be docu
planned, and implemented in a manner that minimizes the risk of product, packaging, or equipment contamination. Th
ensure:

i. Routine preventive maintenance of facilities and equipment in any food handling or storage area is performed acc
maintenance control schedule;
ii. Preventive maintenance and repair of items identified as impacting food safety controls and practices are prioritiz
completion according to defined schedules or immediately when they are not properly functioning; and
iii. Records are maintained for all preventive maintenance and equipment failure/immediate repair activities and corr

The maintenance schedule shall cover buildings, equipment, and other areas of the premises critical to product safety

The maintenance supervisor and/or site supervisor shall be informed when repairs or maintenance are undertaken in p
or storage areas and when the activities pose a potential threat to product safety (e.g., pieces of electrical wire, damag
and loose overhead fittings). When possible, maintenance is to be conducted outside operating times.

Temporary repairs, where required, shall not pose a food safety risk and shall be included in the cleaning program and
inspections. There shall be a plan in place to address the completion of temporary repairs to ensure they do not becom
solutions.
Equipment located over product or product conveyors shall be lubricated with food-grade lubricants, and its use shall
minimize the contamination of the product.
Compressed air systems, and systems used to store or dispense other gases used in the operational process that come
food or food contact surfaces, shall be maintained and regularly monitored for quality and applicable food safety haza

Maintenance Personnel and Contractors

Maintenance personnel and contractors shall comply with the site’s personnel and operational hygiene requirements (

All maintenance and other engineering contractors required to work on-site shall be trained in the site’s food safety an
procedures or shall be escorted at all times until their work is completed.
Maintenance personnel and contractors shall remove all tools and debris from any maintenance activity, once it has b
and inform the area supervisor and maintenance supervisor, so appropriate hygiene and sanitation can be conducted a
operational inspection completed prior to restarting site operations. Maintenance, operations, and/or sanitation shall s
communications.

Calibration
The methods and responsibility for calibration and re-calibration of chemical application, measuring, testing, and insp
equipment used in growing and harvesting processes or to demonstrate compliance with customer specifications shall
and implemented. The methods shall ensure:

i. Calibration is performed according to regulatory requirements and/or the equipment manufacturer’s recommende
ii. Calibrated measuring, testing, and inspection equipment is protected from damage and unauthorized adjustment;
iii. Affected product is handled per non-conforming product procedures when equipment is found to be out of calibra
iv. Software used for calibration activities is effective and appropriate; and
v. Records of calibration activities are maintained.

Equipment shall be calibrated against manufacturer, national or international reference standards, methods, and sched
where such standards are not available, the site shall provide evidence to support the calibration reference method app

Cleaning and Pest Prevention

Pest Prevention
The methods and responsibility for pest prevention shall be documented and effectively implemented. The pest preve
shall:

i. Describe the methods and responsibility for the development, implementation, and maintenance of the pest preve
ii. Record pest sightings and trend the frequency of pest activity so as to target pesticide applications;
iii. Outline the methods used to prevent pest problems;
iv. Outline the pest elimination methods and the appropriate documentation for each inspection;
v. Outline the frequency with which pest status is to be checked;
vi. Include the identification, location, number, and type of bait stations set on a site map;
vii. List the chemicals used. They are required to be approved by the relevant authority, and their Safety Data Sheets
available;
viii. Outline the methods used to make personnel aware of the bait control program and the measures to take when the
contact with a bait station;
ix. Outline the requirements for personnel awareness and training in the use of pest and vermin control chemicals an
x. Measure the effectiveness of the program to verify the elimination of applicable pests and to identify trends.
Pest contractors and/or internal pest controllers shall:

i. Be licensed and approved by the local relevant authority;

ii. Use only trained and qualified operators, who comply with regulatory requirements;
iii. Use only approved chemicals;
iv. Maintain a site map indicating the location of bait stations, traps, and other applicable pest control/monitoring dev
v. Report to a responsible authorized person on entering the premises and after the completion of inspections or trea

Inspections for pest activity shall be conducted on a regular basis by trained personnel and the appropriate action take
present. Identified pest activity shall not present a risk of contamination to food products, raw materials, or packaging

Records of pest activity inspections and pest control devices shall be maintained.

Food products, raw materials, or packaging that are found to be contaminated by pest activity shall be effectively disp
source of pest infestation shall be investigated and resolved. Records shall be kept of the disposal, investigation, and r

No domestic animals shall be permitted on the site in food handling or storage areas
Cleaning
The methods and responsibility for cleaning of the product handling equipment and environment shall be documented
implemented. Cleaning procedures and schedules shall include:

i. A list of equipment, utensils, and storage areas that require periodic cleaning;
ii. Instructions on how cleaning is performed for the various areas and equipment;
iii. The frequency of when cleaning is to be completed;
iv. Personnel responsible and the methods used to verify the effectiveness of the cleaning and sanitation program (e.
procedures, concentration of detergents and sanitizers); and
v. Records of cleaning activities and effectiveness reviews/inspections are maintained.

Detergents and sanitizers shall be suitable for use in a food handling environment, labeled according to regulatory req
purchased in accordance with applicable legislation. The organization shall ensure:

i. The site maintains a list of chemicals approved for use;

ii. An inventory of all purchased and used chemicals is maintained;
iii. Detergents and sanitizers are properly stored per the storage program;
iv. Safety Data Sheets (SDS) are provided for all detergents and sanitizers purchased; and
v. Only trained personnel handle sanitizers and detergents.

Detergents and sanitizers that are mixed for use shall be correctly mixed according to the manufacturer’s instructions,
containers that are suitable for use, and clearly identified.

Mix concentrations shall be verified and records maintained.

Suitably equipped areas shall be designated for cleaning product containers, knives, cutting boards, and other utensils
containers for storing cleaned utensils and protective clothing shall be clearly identified and maintained in a manner t
contamination of products, equipment, or storage areas.

Pre-operational inspections shall be conducted following cleaning and sanitation operations to ensure food handling a
contact surfaces, equipment, personnel amenities, sanitary facilities, and other essential areas are clean before the star

Pre-operational inspections shall be conducted by qualified personnel and records maintained.

Personnel Practices, Hygiene, and Welfare

Personnel Practices
A documented and implemented procedure for personal hygiene and personnel practices shall ensure that personnel e
handling of product use appropriate personal hygiene practices. The procedure shall include instructions that:

i. Jewelry and other loose objects that pose a threat to the safety of the product are not worn or taken onto any grow
handling, or storage operations.
ii. Fingernail polish, artificial nails, and long nails are not permitted where product is handled with bare hands;
iii. False eyelashes and eyelash extensions are not permitted;
iv. Hair restraints are used where product is exposed; and
v. Smoking, chewing, eating, drinking (except for water which shall be available to all personnel), or spitting is not
growing areas, during harvesting, and in packing operations.

Personnel and visitor practices, including those listed in 18.4, shall be routinely monitored for compliance, and any re
corrective actions implemented and recorded for personnel who violate food safety practices.

Note: The wearing of plain bands with no stones or jewelry accepted for religious or cultural reasons and prescribed m
bracelets can be permitted; however, the site will need to consider its customer requirements and the applicable food l

Personnel who are known to be carriers of infectious diseases that present a health risk to others through the packing
processes shall not engage in growing, product handling, or harvesting and packaging operations.

Procedures and responsibilities shall be in place that specify the handling of product and/or product contact surfaces t
contact with or exposed to blood or other bodily fluids.
Personnel with exposed cuts, sores, or lesions shall not be engaged in handling product or product contact surfaces. M
abrasions on exposed parts of the body shall be covered with a suitable waterproof and colored dressing.

Sanitary Facilities and Handwashing

Toilet and handwashing facilities shall be provided and designed, constructed, and located in a manner that minimize
risk for product contamination. The following shall be considered:

i. There shall be sufficient toilet facilities for the maximum number of personnel, and they shall be constructed so t
easily cleaned and maintained;
ii. Handwash basins with clean and potable water, hand soap, disposable towels or effective hand drying devices, w
tank that captures used handwash water for disposal (if not connected to drains) shall be provided inside or adjacent t
and in accessible locations throughout food handling areas as required;
iii. Signage in appropriate languages shall be provided adjacent to handwash basins instructing personnel to wash the
each toilet visit;
iv. Racks for protective clothing used by personnel and visitors shall be provided; and
v. Toilet and wash stations shall be maintained in clean and sanitary conditions. Tools/equipment used for cleaning
shall not be used to clean operational areas.

Personnel shall have clean hands, and hands shall be washed by all personnel, contractors, and visitors:

i. On entering food handling areas, and before putting on gloves;

ii. After each visit to a toilet;
iii. After using a handkerchief;
iv. After smoking, eating, or drinking; and
v. After handling wash down hoses, cleaning materials, dropped products, or contaminated material.

Sanitary drainage shall not be connected to any other drains within the premises and shall be directed to a septic tank
system as per regulations.
Protective Clothing
Protective clothing (e.g., uniforms and smocks) shall be effectively maintained, stored, laundered, and worn to protec
the risk of contamination.
Where applicable, clothing (i.e., any outer garment), including footwear, shall be in good condition, cleaned, and wor
product from the risk of contamination.
Disposable gloves and aprons shall be changed after each break, upon re-entry into the processing area, and when dam
Non-disposable aprons and gloves shall be cleaned and sanitized as required and when not in use stored on racks prov
processing area or designated sealed containers in personnel lockers and not on packaging, ingredients, product, or eq

Visitors
All visitors, including management personnel, shall be required to adhere to site personnel practices and specifically:

i. Remove jewelry and other loose objects as per 18.4.1.1;

ii. Wash hands as per 18.4.2.2;
iii. Wear suitable clothing and footwear when entering growing and packing areas; and
iv. Enter and exit operational areas through the proper personnel entrance points.
Visitors who are exhibiting visible signs of illness or have been in recent direct contact with other sites, animals, or pr
prohibited from entering any growing, product handling, or harvesting operation.

Personnel Amenities (change rooms, toilets, lunchrooms/breakrooms)

Personnel facilities shall be supplied with appropriate lighting and ventilation and provided to enable personnel and v

i. Change into and out of protective clothing, if applicable;

ii. Store street clothing, footwear, and personal items separate from food handling, packing, and storage areas.

Areas for meal breaks shall be designated and located away from food contact/ handling zones and harvesting equipm
shall be:

i. Ventilated and well lit;

ii. ii. Provided with adequate tables and seating to accommodate the maximum number of personnel at one sitting;
iii. Equipped with a sink serviced with hot and cold potable water for washing utensils;
iv. Equipped with signage in appropriate languages instructing personnel to wash their hands before entering the gro
handling areas;
v. Equipped with refrigeration and heating facilities, enabling personnel to store or heat food and prepare non-alcoh
required; and
vi. Kept clean and free from waste materials and pests.

Where outside eating areas are provided, they should be kept clean and free from waste materials and maintained in a
minimizes the potential for the introduction of contamination, including pests, to the site.

Harvesting and Packaging Practices

Growing and Harvesting Operations
All personnel engaged in any food handling operations shall ensure that products and materials are handled and stored
damage or product contamination. They shall comply with the following operational practices:

i. No eating or tasting any product in the food handling/contact zone, except as noted in element 18.5.1.2;
ii. Entry to operational areas is only through the personnel access doors;
iii. All doors are kept closed. Doors are not open for extended periods when access is required for waste removal, or
shipping of products, ingredient, or packaging;
iv. Packaging material, product, and ingredients are kept in appropriate containers as required and off the floor;
v. Waste is contained in the bins identified for this purpose, removed from operational areas regularly, and not left t
and
vi. All wash down and compressed air hoses are stored on hose racks after use and not left on the floor.
Personnel conducting harvesting and packaging activities shall ensure that utensils, personal effects, and inputs/mater
pose a food safety risk to products. These can include procedures that:

i. Aprons and gloves are kept clean and not left on product, work surfaces, equipment, or packaging material but hu
and glove racks provided;
ii. Harvest containers, if used, are inspected prior to use to ensure they are clean and free of physical debris or mater
iii. Knives and cutting instruments, where used, are approved for use, controlled, and kept clean and well maintained
iv. Cloths, towels, or other cleaning materials that pose a risk of cross-contamination are not used to wipe products o
containers;
v. All packaging materials are appropriate for their intended use and kept off the floor; and
vi. Non-food waste is contained in the bins identified for this purpose. Waste does not come into contact with produc
regularly, and not left to accumulate (refer to 18.8).

Personnel conducting harvesting activities shall ensure product is not contaminated during the harvesting process. Wo
and training shall include the following practices:

i. Commodity-specific handling and harvesting instructions;

ii. Employee access and controls on movement;
iii. Damaged or decayed product is not harvested or culled; and
iv. Product that contacts the ground or floor is not harvested.

Employee practices and activities, including those listed in 18.5, shall be routinely monitored for compliance, and any
corrective actions implemented and recorded for personnel who violate food safety practices.

Foreign Material, Glass, and Other Hazard Control

The methods and responsibility for prevention of foreign matter and glass contamination shall be documented and im
Procedures and resulting records shall ensure:

i. Containers, equipment, and other utensils made of glass, porcelain, ceramics, brittle plastic, or similar materials a
where exposed product is handled unless clearly identified, required for effective operational control, and regularly in
ii. Regular inspections are conducted to ensure food handling/contact zones areas are free of glass and brittle plastic
made from the previously identified materials are in good repair;
iii. Wooden pallets and other wooden utensils or tools used in food handling/contact zones are dedicated for that pur
condition is subject to regular inspection, and they are kept clean and maintained in good order;
iv. Product harvesting and handling areas are routinely inspected to remove risks from foreign materials, such as deb
stones, metal, and other physical hazards; and
v. Personnel are made aware of their responsibility to adhere to the site’s foreign matter and glass controls.
The methods and responsibility for conducting inspections to assess biological, chemical, and physical hazards and th
products being harvested shall be documented and implemented. Inspections shall occur before and during harvesting
the transport of product to its next destination (refer to 2.5.4.3).

Receiving and Shipping

Personnel conducting receiving activities shall ensure agricultural inputs, packaging materials, and product are not co
during the unloading process. Work instructions and training shall include the following:

i. Vehicles are clean, in good repair, suitable for the purpose, and free from odors or other conditions that may impa
the agricultural input, packaging, or product;
ii. Vehicles (e.g., trucks/vans/containers) are secured from tampering using a seal or other agreed-upon and acceptab
system; and
iii. Where temperature control is required, the refrigeration unit’s storage temperature settings and operating tempera
checked and recorded before opening the doors. Unloading is completed efficiently, and product temperatures are rec
of unloading and at regular intervals during unloading.

Records for vehicle inspection, identification of approved suppliers, and temperature checks shall be maintained.

Personnel conducting loading and transporting of harvested product shall ensure that product integrity is maintained.
instructions and training shall include the following:

i. Inspections for ensuring vehicles are clean, in good repair, suitable for the purpose, and free from odors or other c
may impact negatively on products;
ii. Securing vehicles (e.g., trucks/vans/containers) from tampering using a seal or other agreed upon and acceptable
system;
iii. Verification that appropriate storage conditions are maintained during transportation to final destinations;
iv. Prevention of cross-contamination with other hazards and potential spoilage;
v. Use of appropriate stock rotation practices; and
vi. Recording and maintaining documents for vehicle inspection, transport conditions, and stock rotation.

Water Management
Water Supply
A water supply plan shall be prepared that describes the water sources and the operational areas they serve and shall i
location of water sources, permanent fixtures, and the flow of the water system. The plan shall be kept current and rev
changes occur.

Contingency plans shall be in place for instances when the potable water supply is deemed to be contaminated or othe
inappropriate for use.
Adequate supplies of potable water drawn from a known clean source shall be provided for use during operations, cle
premises and equipment, and handwashing.

Supplies of hot and cold water shall be provided, as required, to enable the effective cleaning of the premises and equ

The use of non-potable water shall be controlled so that:

i. There is no cross-contamination between potable and non-potable water lines;

ii. Non-potable water piping and outlets are clearly identified;
iii. Hoses, taps, and other similar sources of possible contamination are designed to prevent backflow or back siphon
iv. Testing of the backflow system, where possible, is conducted at least annually and records are maintained.

Where water is stored on-site, storage facilities shall be adequately designed, constructed, and routinely cleaned to pre
contamination.
Water Management Plan
The water system plan described in 18.6.1.1 shall have a documented hazard analysis conducted annually and whenev
occur to its sources, storage, methods of transportation, storage conditions, or environmental conditions (refer to 2.4.3
methods applied to minimize risks associated with the hazards shall be included in the water management plan (refer

A water management plan describing the methods and responsibilities for managing the different types and uses of w
shall be documented and implemented. The plan shall include:

i. Description of where and how water is used (e.g., washing and treating products, irrigation, recirculation, pesticid
etc.);
ii. Maintenance and cleaning of the water system (refer to 18.3.1 and 18.3.2);
iii. The hazard analysis and preventive controls that are to be applied for the use of water during growing and harves
monitoring, corrective action, and verification for each control measure that ensures water is safe and of adequate san
and
iv. Documentation and records referenced.

Control measures may include:

i. Water treatment and/or testing;

ii. Water temperature;
iii. Re-circulation, aeration;
iv. Spent irrigation water;
v. Source alteration or change scheduling; and
vi. Timing of use or application.
Water used for washing and treating product, cleaning of product contact surfaces, and handwashing shall be monitor
complies with potable water microbiological and chemical standards or criteria established in the country of productio
destination. The monitoring procedures shall include:

i. A schedule indicating the location and frequency of monitoring (refer to 18.6.2.2), which shall be decided by the
best practices within the country of production, or applicable legislation;
ii. Reference to the potable water criteria or standards;
iii. List of microbiological and/or chemical testing being conducted;
iv. Reference to the approved laboratory that is accredited to ISO 17025 or equivalent;
v. Corrective actions that will be taken if water and/or ice does not meet established criteria or standards, including
treatment, other source possibilities, non-conforming products that might be affected, or other alternative actions; and
vi. Records maintained for monitoring and/or corrective actions.

Water testing and monitoring for uses such as irrigating (before and spent), fluming, and flooding shall comply with
and the water quality criteria defined by regulations in the country of production and destination.

The producer shall verify that any ice used is made from water that meets the microbiological and quality standards a
element 18.6.2.3.
Storage
Ambient/Dry Storage
The responsibility and methods for ensuring proper storage of inputs, packaging, and finished product shall be docum
implemented. The methods shall ensure:

i. Effective stock rotation;

ii. Utilization of inputs, work-in-progress, and finished product within their shelf life;
iii. Risks to temporarily stored materials and/or products are analyzed, and controls are applied if necessary;
iv. Rooms used for the storage of inputs, packaging, and other dry goods shall be located away from wet/growing ar
18.1.2 for construction requirements).

Records to control storage and stock rotation shall be maintained.

Inputs and packaging shall be received and stored separately from indoor farmed grown products or chilled materials
is no cross-contamination. When sourced externally, products shall be received and segregated to ensure there is no c
contamination.
Racks provided for the storage of packaging shall be constructed of impervious materials and designed to enable clea
inspection of the floors and areas behind the racks. Storage areas shall be cleaned at a predetermined frequency (refer
designed and constructed to prevent packaging from becoming a harborage for pests or vermin.

Controlled Temperature and Atmosphere Storage

The producer/grower shall ensure any chilling, cold storage, and controlled atmosphere facility is of suitable size, des
construction, and is capable of effective operational performance, which includes sufficient refrigeration and controlle
capacity for chilling or storing the maximum anticipated throughput of products with allowance for periodic cleaning

Chilling, cold storage, and controlled atmosphere storage facilities shall ensure the following design and construction
maintained:

i. Storage facility meets the requirements of 18 2.1;

ii. Discharge from defrosting and condensate lines is controlled and discharged to the drainage system; and
iii. Loading dock areas in controlled temperature areas are appropriately sealed, drained, and graded.

Chilling, cold storage, and controlled atmosphere facilities shall be fitted with temperature monitoring equipment or a
temperature monitoring device that is properly located to monitor the warmest part of the room and is fitted with a tem
that is easily read and accessible.
Fertilizers, Agriculture and Hazardous Chemicals, and Soil Amendments
Storage of Agricultural Chemicals, Soil Amendments, and Toxic Substances
Agriculture chemicals, fertilizers, soil amendments, and other toxic substances shall be stored so as not to present a h
personnel, product, product handling equipment, or areas in which product is handled, stored, or transported. Specific
not be stored inside food handling areas and product and packaging storage rooms.

Chemical storage locations shall:

i. Be compliant with national and local legislation;

ii. Be designed to ensure there is no cross-contamination between chemicals, proper ventilation to the exterior, and s
containment (including tank capacity);
iii. Be equipped with details of purchase, appropriate and compliant labels, vendor approval, and an up-to-date inven
chemicals contained within and removed from the storage location; and
iv. Be equipped with employee health and safety requirements, such as signage, safety data sheets, instruction, emer
facilities, and other labor law requirements.

Hazardous chemicals and toxic substances shall be handled and applied by properly trained personnel. These material
by or under the direct supervision of trained personnel who have a thorough understanding of the hazards involved, in
potential for the contamination of food and food contact surfaces.

The site shall dispose of unused chemicals and empty containers in accordance with regulatory requirements and ensu

i. Empty chemical containers are not reused;

ii. Empty containers are labeled, isolated, and securely stored while awaiting collection; and
iii. Unused and obsolete chemicals are stored under secure conditions while awaiting authorized disposal by an appro

Purchasing Chemicals
Purchased fertilizers, agricultural chemicals, and soil amendments shall be approved for use in the country of product
location), the country of destination, and for the specific commodity. Purchased chemicals, where required by regulat
labeled with the active ingredient(s), applicable dosage rates, and application instructions. Where no regulations or pa
govern the use of chemicals, the grower/producer shall have a documented risk assessment on the justification for use
regulated chemicals.

Chemicals that are specifically banned for use in the country of production or the country of destination shall not be p
stored.
Suppliers of chemicals shall be included in the approved supplier program (refer to 2.3.4), and a current inventory of
purchased and used shall be maintained.
Soil Amendments
The methods and responsibilities for soil amendment preparation and/or treatment shall be documented, implemented
to prevent contamination of product. The procedures or work instructions shall outline how to treat manure and other
organic fertilizers ensuring:

i. Treatments and application methods are verified as being in compliance with the approved or recommended meth
do not pose a hazard to the soil amendments;
ii. Treatment methods applied are validated as being appropriate and effective at inactivating pathogens in organic s
iii. No raw untreated manure is used; and
iv. Records of the approvals, validation, and verification, of organic soil amendment treatments are maintained.

The methods and responsibility for soil amendment applications shall be documented and implemented to ensure orga
amendment applications are timed to pose minimum risk to product safety including:

i. All applications of soil amendments are in accordance with national or local guidelines, best practices, and codes
Agricultural Practice;
ii. Equipment used for soil amendment application is maintained in good condition and calibrated to ensure accurate
(refer to 18.2.2);
iii. Records of all equipment maintenance and calibration are maintained;
iv. Signage complies with national and local codes of practice; and
v. Sufficient data is recorded to provide a detailed record of soil amendment applications.

Agricultural Chemicals
The methods and responsibility for the spray or crop protection program, indicating the applications used for a target
and the threshold levels that initiate the application, shall be documented and implemented.
The person making decisions on chemical applications shall:

i. Demonstrate knowledge of and access to information regarding chemical applications and the maximum residue
in destination markets;
ii. Use only chemicals approved for cultivation of the specified products and approved for use in the intended marke
iii. Demonstrate competence and knowledge of chemical applications and crop withholding periods.

Records of all chemical applications shall be maintained and include:

i. The chemicals used;

ii. Crop information;
iii. Date, method, concentration, and frequency of application; and
iv. Evidence that the timing between chemical application and harvest complies with the approved harvest interval fo
application.

Biological controls that are approved for the cultivation of the specified products shall be used according to instructio
recommendations.
Waste Disposal
Waste Management
The methods and responsibility for the effective and efficient disposal of all solid waste, such as inedible material, un
packaging including trademarked material, and liquid and unsanitary waste from the farm, shall be documented and im

Reviews of the effectiveness of waste management shall be part of the site’s daily inspections, and the results of these
shall be included in the relevant reports.

Waste systems shall be designed and constructed and waste shall be regularly removed from the growing areas and pa
so they do not become food safety risks to finished product, growing, harvesting, and packing operations.

Waste and overflow water from tubs, tanks, and other equipment shall be discharged directly to the floor drainage sys
local regulatory requirements.
Trolleys, vehicles, waste disposal equipment, collection bins, and storage areas shall be maintained in a serviceable co
cleaned and sanitized regularly so they do not attract pests and other vermin.

Inedible waste designated for animal feed shall be stored and handled so it does not cause a risk to the animal or furth
for human consumption.
dition 9 Checklist
Primary Response Evidence Supplier Onsite Correction