Clause

Opening Meeting

Closing Meeting

Facility Description

Auditor Recommendation

2.1.1.1 Management Policy (M)

2.1.2.1 Management Responsibility (M)

2.1.2.4 Management Responsibility (M)

2.1.2.5 Management Responsibility (M)

2.1.2.6 Management Responsibility (M)

2.1.3.1 Food Safety Management System (M)

2.1.4.1 Management Review (M)

2.1.4.4 Management Review (M)

2.1.5.1 Complaint Management

2.1.6.1 Business Continuity Planning

2.2.1.1 Document Control (M)

2.2.1.2 Document Control (M)

2.2.2.1 Records (M)

2.3.2.1 Raw and Packaging Materials

2.3.5.1 Finished Product

2.4.1.1 Food Legislation (M)

2.4.2.2 Food Safety Fundamentals (M)

2.4.5.3 Incoming Goods and Services

2.4.6.1 Non-conforming Product or Equipment

2.4.7.1 Product Rework

2.4.9.1 Stock Rotation

2.5.1.2 Responsibility Frequency and Methods

2.5.2.1 Validation and Effectiveness (M)

2.5.3.1 Verification Schedule

2.5.4.1 Verification of Monitoring Activities (M)

2.5.5.1 Corrective and Preventative Action (M)

2.5.7.1 Internal Audits (M)

2.6.1.1 Product Identification (M)

2.6.2.1 Product Trace (M)

2.6.3.1 Product Withdrawal and Recall (M)

2.7.1.1 Food Defense (M)

2.7.1.2 Food Defense (M)

2.9.2.1 Training Program (M)

2.9.6.1 Refresher Training

2.9.7.1 Training Skills Register

 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

Senior management shall prepare and implement a policy

statement that outlines as a minimum: the organization's
commitment to supply safe food; the methods used to comply
with its customer and regulatory requirements and continually
improve its food safety management system; and the
organization's commitment to establish and review food safety
objectives.

The organizational reporting structure describing those who

have responsibility for food safety shall be defined and
communicated within the organization.

The senior management shall designate an SQF practitioner for

each site with responsibility and authority to oversee the
development, implementation, review and maintenance of the
SQF System, including food safety fundamentals outlined in
2.4.2, and the food safety plan outlined in 2.4.3, to take
appropriate action to ensure the integrity of the SQF System,
communicate to relevant personnel all information essential to
ensure the effective implementation and maintenance
The SQF practitioner shall be employed by the supplier as a
company employee on a full-time basis, hold a position of
responsibility in relation to the management of the supplier's
SQF System, have completed a HACCP-based training course
and be competent to implement and maintain HACCP-based
food safety plans, have an understanding of the SQF Code level
2 and the requirements to implement and maintain SQF
Systems relevant to the supplier scope of certification.

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.

A food safety manual shall be documented and maintained in

either electronic and/or hard copy form. It shall outline the
methods the organization will use to meet the requirements of
this Standard, be made available to staff and include a summary
of the organization's food safety policies and the methods it will
apply to meet the requirements of this standard, policy
statement and organization chart, the scope of the certification,
include a list of the products covered under the scope of
certification.

The senior management shall be responsible for reviewing the

SQF System and documenting the review procedure. Reviews
shall include the policy manual, internal and external audit
findings, corrective actions and their investigations and
resolution, customer complaints and their resolution and
investigation.
The SQF practitioner shall be responsible for validating changes
to food safety fundamentals and/or food safety/quality plans
that have an impact on the supplier's ability to deliver safe food
are to be validated.

The methods and responsibility for handling and investigating

the cause and resolution of complaints from customers and
authorities shall be documented and implemented.

A business continuity plan based on the understanding of

known food safety threats to a business shall be prepared by
senior management outlining the methods and responsibility
the organization will implement to cope with a business crisis
that may impact on the ability of the supplier to deliver safe
food.

The methods and responsibility for maintaining document

control and ensuring staff have access to current documents
shall be documented and implemented.

A register of current SQF System documents and amendments

to documents shall be maintained.
The methods and responsibility for undertaking monitoring
activities, verifying, maintaining and retaining records shall be
documented and implemented.

Specifications for all raw and packaging materials, including, but

not limited to ingredients, additives, hazardous chemicals and
processing aids that impact on finished product safety shall be
documented and kept current.

Finished product specifications shall be documented, current,

approved by the supplier and their customer, accessible to
relevant staff and may include microbiological and chemical
limits, labeling and packaging requirements.

The organization shall ensure that, at the time of delivery to its

customer, the food supplied shall comply with the legislation
that applies to the food and its production in the country of its
origin and destination. This includes compliance with legislative
requirements applicable to maximum residue limits, food safety,
packaging, product description, nutritional, allergen and
additive labeling, and to relevant established industry codes of
practice.
The supplier shall ensure the food safety fundamentals
described in the relevant subsequent modules of this Code (i.e.
modules 3 – 15) are applied or exempted according to a
detailed risk analysis outlining the justification for exclusion or
evidence of the effectiveness of alternative control measures to
ensure that food safety and quality are not compromised.

The responsibility for selecting, evaluating, approving and

monitoring an approved supplier shall be documented and
implemented.

The responsibility and methods outlining how non-conforming

product, raw material, ingredient, work-in-progress, packaging
or equipment detected during receipt, storage, processing,
handling or delivery is handled shall be documented and
implemented. The methods applied shall ensure: Non-
conforming product is quarantined, identified, handled and
disposed of in a manner that minimizes the risk of inadvertent
use, improper use or risk to the integrity of finished product;
and Non-conforming equipment is effectively repaired or
disposed of in a manner that minimizes the risk of inadvertent
use, improper use or risk to the integrity of finished product; All
relevant staff is aware of the organization's quarantine and
release requirements applicable to equipment or product
placed under quarantine status. For producers, the procedure
must document the grower, field name, quantity and final
disposition of the unacceptable materials when applicable.

The responsibility and methods outlining how the product is

reworked (recycled or recouped) 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 of reworked product is inspected or analyzed as
required before release;
iv. Inspections and analyses shall conform to the requirements
outlined in element 2.5.6; and
v. Release of reworked product shall conform to element 2.4.8.
The responsibility and methods for ensuring effective stock
rotation principles are applied shall be documented and
implemented.

The frequency and methods used to validate and verify food

safety fundamentals, critical limits, and other food safety
controls identified in food safety plans shall be documented and
implemented and meet their intended purpose.

The methods, responsibility and criteria for ensuring the

effectiveness of pre-requisite programs, and validating critical
food safety limits to ensure they achieve their intended purpose
shall be documented and implemented. The methods applied
shall ensure that pre-requisite programs are confirmed to
ensure they achieve the required result, that critical limits are
selected to achieve the designated level of control of the
identified food safety hazard(s), all critical limits and control
measures individually or in combination effectively provide the
level of control required, all critical limits and control measures
individually or in combination effectively provide the level of
control required, changes to the processes or procedures are
assessed to ensure controls are still effective, ensure that critical
food safety limits are re-validated at least annually.

A verification schedule outlining the verification activities, their

frequency of completion and the person responsible for each
activity shall be prepared and implemented.

The methods, responsibility and criteria for verifying the

effectiveness of monitoring pre-requisite programs critical
control points and other food safety controls identified shall be
documented and implemented. The methods applied shall
ensure that personnel with responsibility for verifying
monitoring activities authorize each record verified.
The responsibility and methods outlining how corrections and
corrective actions are investigated, resolved, managed and
controlled, including the identification of the root cause and
resolution of non-compliance of critical food safety limits, and
deviations from food safety requirements, shall be documented
and implemented.

The methods and responsibility for scheduling and conducting

internal audits to verify the effectiveness of the SQF System
including facility and equipment inspections, pre-requisite
programs, food safety plans and legislative controls shall be
documented and implemented. The methods applied shall
ensure an internal audit schedule is prepared detailing the
scope and frequency of internal audits, ensure correction and
corrective action of deficiencies identified during the internal
audits are undertaken, audit results are communicated to
relevant management personnel and staff responsible for
implementing and verifying corrective actions; and Audit results
are communicated to relevant management personnel and staff
responsible for implementing and verifying corrective actions

The methods and responsibility for identifying products during

all stages of production and storage shall be documented and
implemented. The product identification system shall be
implemented to ensure raw materials, work in progress and
finished product are clearly identified during all stages of
receipt, production, storage and dispatch, finished product is
labeled to the customer specification and/or regulatory
requirements.

The responsibility and methods used to trace product shall be

documented and implemented to ensure finished product is
traceable to the customer (one up) and provides traceability
through the process to the supplier and date of receipt of raw
materials, food contact packaging and materials and other
inputs (one back),; traceability is maintained where product is
reworked; the effectiveness of the product trace system shall be
tested at least annually.
The responsibility and methods used 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 management procedures to be implemented
including sources of legal and expert advice; and
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. SQFI and the certification body shall be listed as an essential
body and notified in instances of a food safety incident of a
public nature
, or product recall for any reason.

The methods, responsibility and criteria for preventing food

adulteration caused by a deliberate act of sabotage or terrorist-
like incident shall be documented, implemented and
maintained.

A food defense protocol shall be prepared and include: The

name of the senior management person responsible for food
defense; The methods implemented to ensure only authorized
personnel have access to crops, production equipment and
vehicles, manufacturing and storage areas through designated
access points; The methods implemented to protect sensitive
processing points from intentional adulteration; The measures
taken to ensure the secure storage of raw materials, packaging,
equipment and hazardous chemicals; The measures
implemented to ensure harvested crop and/or finished product
is held under secure storage and transportation conditions; and
The methods implemented to record and control access to the
premises by employees, contractors, and visitors.
An employee training program shall be documented and
implemented. It shall outline the necessary competencies for
specific duties and the training methods to be applied for those
staff carrying out tasks associated with: Developing and applying
Good Agricultural Practices, Good Aquaculture Practices, or
Good Manufacturing Practices (as appropriate). Applying food
regulatory requirements; Steps identified by the hazard analysis
and/or other instructions as critical to effective implementation
of the food safety plan and the maintenance of food safety; and
Tasks identified as critical to meeting the effective
implementation and maintenance of the SQF System.

The training program shall include provision for identifying and

implementing the refresher training needs of the organization.

A training skills register describing who has been trained in

relevant skills shall be maintained. The register shall indicate
the participant name, skills description, description of the
training provided, date training completed, the trainer or
training provider, and the supervisor's verification the training
was completed and that the trainee is competent to complete
the required tasks.
 Secondary Response Primary Response

(0) Suspend Certification

(0) Withdraw Certification
(0) Proceed with facility audit
(0) Delay facility audit until non-conformances are
corrected and verified

(M) There is no evidence that the policy statement

has been implemented

(M) No organizational reporting structure

(m) Those responsible for food safety not identified

(M) There is no designated SQF Practitioner

(M) SQF Practitioner does not work for the
operation
(M) SQF Practitioner does not have HACCP training

(m) Responsibility for establishing the training needs

of the organization has not been defined and
documented
(m) Responsibility for implementing the training
needs of the organization has not been defined and
documented

(M) No documented Food Safety Manual

(m) The summary of the food safety policies does
not include the methods applied to meet the
requirements of the standard
(m) Policy Statement is not included
(m) Organizational chart is not available or updated
(m) A list of the products covered under the Scope
of Certification is not included
(M) The FSM does not include or reference the
written procedures
(M) The FSM does not include or reference the pre-
requisite programs
(m) Other procedures and documentation necessary
to support the development, implementation,
maintenance and control of the SQF System is not
included

(m) The senior management is not involved in

reviewing the SQF system in its entirety
(m) The reviewing procedure is not documented
(m) The policy manual is not reviewed
(m) Audit findings are not reviewed
(m) Customer complaints are not reviewed
(m) Major changes to Food Safety Fundamentals are
not validated by an SQF Practitioner
(m) Major changes to the Food Safety Plan are not
validated by an SQF Practitioner
(m) Small, or minor changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Small or minor changes to the Food Safety Plan
are not validated by an SQF Practitioner

(m) Methods for investigating customer complaints

are not documented
(m) Methods for handling customer complaints are
not documented

(M) There is no business continuity plan

(m) The business continuity plan does not address
the known threats relevant to the facility
(m) The business continuity plan was not prepared
by senior management
(m) The business continuity plan does not include
the methods and responsibilities the organization
will implement to cope with a business crisis that
may impact the ability of the supplier to deliver safe
food

(m) Methods for maintaining document control are

not documented
(m) Methods for maintaining document control are
not implemented
(m) Responsibilities for maintaining document
control are not documented

(m) No register of SQF system documents is

available
(M) Methods for undertaking monitoring activities
are not documented
(m) Responsibilities for undertaking monitoring
activities are not documented
(m) Methods for verifying records are not
documented
(m) Responsibilities for verifying records are not
documented
(m) Responsibilities for maintaining records are not
documented
(m) Methods for maintaining records are not
documented

(m) Specifications for raw materials that impact

food safety are not documented
(m) Specifications for raw materials that impact
food safety are not kept current
(m) Specifications for raw materials that impact
food safety do not comply with relevant legislation
(m) Specifications for packaging materials that
impact food safety are not documented
(m) Specifications for packaging materials that
impact food safety are not kept current
(m) Specifications for packaging materials that
impact food safety do not comply with relevant
legislation

(m) A register of finished product specifications is

not maintained
(m) A register of finished product specifications is
not current
(m) Finished product specifications are found to be
not current
(M) Product specifications are not being followed

(M) Organization does not ensure food supplied

complies with the food safety legislation that
applies to the food and its production in the country
of its origin
(M) Organization does not ensure food supplied
complies with the food safety legislation that
applies to the food and its production in the country
of destination
(m) A risk analysis was not conducted to exclude or
provide alternative control to elements in the food
safety fundamentals

(M) No approved supplier program is documented

(M) Responsibilities or methods for handling non-

conforming materials is not documented
(m) Identification of product does not minimize risk
of inadvertent use
(m) Identification of product does not minimize risk
of integrity of finished product
(m) Staff is not aware of product isolation and
release policy
(m) Handling does not minimize the risk of
inadvertent use
(m) Handling does not minimize the risk of improper
use
(m) Disposal does not minimize the risk of
inadvertent use
(m) Disposal does not minimize the risk of improper
use
(m) Disposal does not minimize the risk to the
integrity of finished product
(M) The producer did not document the grower,
field name, quantity

(M) Responsibility and methods are not

documented
(m) Reworked product is not identified
(m) Reworked product is not traceable
(m) Reworking operations are not supervised by
qualified personnel
(m) Rework product is not inspected or analyzed
prior to release
(m) Inspections do not conform to section 2.5.6
(m) Release of reworked product does not conform
to section 2.4.8
(m) Stock rotation principles have not been
documented

(M) Frequency and methods used to validate food

safety fundamentals are not documented
(M) Frequency and methods used to validate food
safety fundamentals do not meet their intended
purpose

(M) The methods and responsibility and criteria for

ensuring the effectiveness of the pre-requisite
programs are not documented
(M) Pre-requisite programs do not achieve their
intended purpose
(M) Critical food safety limits are not validated
(m) Methods do not confirm that the required result
is achieved
(m) Critical limits do not effectively provide the
designated level of control
(m) Critical limits and control measures do not
effectively provide the required level of control
(m) Critical limits are not re-validated at least
annually

(m) Verification schedule is not prepared

(m) Verification schedule is not complete and
outline the frequency or person responsible

(m) Methods for verifying the effectiveness of the

monitoring pre-requisite programs and CCPs are not
documented
(m) Records were not authorized
(M) Responsibilities and methods outlining how
corrections and corrective actions are investigated/
resolved/ managed/ controlled are not documented
(m) Root cause analysis for non-compliance to
critical food safety limits has not been identified
(m) Root cause analysis and resolution for non-
compliance to critical food safety limits has not
been identified

(M) Inspections of the facility and equipment are

not planned
(M) Inspections of the facility are not carried out
(m) The supplier did not take correction and
corrective action
(m) Audit schedule does not include scope and
frequency
(m) Audit results were not communicated to
relevant management personnel or staff(m) Records
were not maintained

(M) Methods for identifying products during all

stages of the process is not documented
(M) Product is not clearly identified during all stages
of the process
(m) Finished product is not labeled to the customer
or regulatory requirements

(M) Product trace system is not documented

(M) Product trace system is not traceable one up
and one back
(M) Traceability is not maintained where product is
reworked
(m) The effectiveness of the product trace system is
not tested annually
(M) Methods and responsibility for notifying
customer and other essential bodies are not
documented
(M) SQFI was not notified of a product recall

(m) No responsibility for food defense have been

assigned
(m) No methods for food defense have been
developed

(m) No methods to ensure only authorized vehicles

have access
(m) No methods to identify authorized personal
who have access
(m) No methods identified to secure hazardous
chemicals
(m) No methods identified to secure packaging and
harvesting equipment
(m) No methods identified to protect crop from
intention adulteration
(m) No measure taken to secure storage areas for
harvested crops
(m) No methods in place to record visitors or
contractors to the facility
(m) No methods in place to record access of
employees to the premises
(m) Employee training program does not include
good manufacturing/ agricultural practices (as
appropriate)
(m) Employee training program does not include
pre-requisite programs
(m) Employee training program does not include
food regulatory requirements
(m) Employee training program does not include
hazard analysis
(m) Employee training program does not include
maintenance of food safety plan
(m) Employee training program does not include
customer specifications
(m) There are no specific work instructions for
adherence to customer specifications
(m) There are no specific work instructions for
maintenance of food safety plan
(m) There are not specific work instructions for
maintenance of quality or process

(m) Training program does not define refresher

training requirement
(m) Training program does not identify means for
achieving refresher training requirement

(m) Training skills register does not include

participant name
(m) Training skills register does not include skills
description
(m) Training skills register does not include
description of training provided
(m) Training skills register does not include date of
the training
(m) Training skills register does not include trainer
or training provider
(m) Training skills register does not include
supervisor verification that training was effective
Evidence
Supplier Onsite Correction
 Clause
Opening Meeting
Closing Meeting
Facility Description
Auditor Recommendation
2.1.1.1 Management Policy (M)
2.1.1.2 Management Policy (M)
2.1.2.1 Management Responsibility (M)
2.1.2.4 Management Responsibility (M)
2.1.2.5 Management Responsibility (2D) (M)
2.1.2.6 Management Responsibility (M)
2.1.2.8 Management Responsibility (M)
2.1.3.1 Food Safety Management System (M)
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
Senior management shall prepare and implement a policy
statement that outlines as a minimum: the organization's
commitment to supply safe food; the methods used to comply
with its customer and regulatory requirements and continually
improve its food safety management system; and the
organization's commitment to establish and review food safety
objectives.
The policy statement shall be: signed by senior management;
made available in language understood by all staff; and
displayed in a prominent position and effectively communicated
to all staff
The organizational reporting structure describing those who
have responsibility for food safety shall be defined and
communicated within the organization.
The senior management shall designate an SQF practitioner for
each site with responsibility and authority to oversee the
development, implementation, review and maintenance of the
SQF System, including food safety fundamentals outlined in
2.4.2, and the food safety plan outlined in 2.4.3, to take
appropriate action to ensure the integrity of the SQF System,
communicate to relevant personnel all information essential to
ensure the effective implementation and maintenance
The SQF practitioner shall be employed by the supplier as a (M) SQF Practitioner does not work for the
company employee on a full-time basis, hold a position of operation
responsibility in relation to the management of the supplier's (M) SQF Practitioner does not have HACCP training
SQF System, have completed a HACCP-based training course
and be competent to implement and maintain HACCP-based
food safety plans, have an understanding of the SQF Code level
2 and the requirements to implement and maintain SQF
Systems relevant to the supplier scope of certification.
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.
Job descriptions for those responsible for food safety shall be
documented and include provision to cover for the absence of
key personnel.
A food safety manual shall be documented and maintained in
either electronic and/or hard copy form. It shall outline the
methods the organization will use to meet the requirements of
this Standard, be made available to staff and include a summary
of the organization's food safety policies and the methods it will
apply to meet the requirements of this standard, policy
statement and organization chart, the scope of the certification,
include a list of the products covered under the scope of
certification.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(0) Suspend Certification
(0) Withdraw Certification
(0) Proceed with facility audit
(0) Delay facility audit until non-conformances are
corrected and verified
(M) There is no evidence that the policy statement
has been implemented
(m) Policy Statement not made available in
language understood by all staff
(m) Policy Statement not displayed in a prominent
position
(m) Policy Statement not communicated to all staff
(M) No organizational reporting structure
(m) Those responsible for food safety not identified
(M) There is no designated SQF Practitioner
(m) Responsibility for establishing the training needs
of the organization has not been defined and
documented
(m) Responsibility for implementing the training
needs of the organization has not been defined and
documented
(M) Job descriptions for those responsible for food
safety are not documented
(m) Job descriptions do not include provision to
cover for the absence of key personnel
(M) No documented Food Safety Manual
(m) The summary of the food safety policies does
not include the methods applied to meet the
requirements of the standard
(m) Policy Statement is not included
(m) Organizational chart is not available or updated
(m) A list of the products covered under the Scope
of Certification is not included
(M) The FSM does not include or reference the
written procedures
(M) The FSM does not include or reference the pre-
requisite programs
(m) Other procedures and documentation necessary
to support the development, implementation,
maintenance and control of the SQF System is not
included
 Clause
2.1.3.2 Food Safety Management System (M)
2.1.4.1 Management Review (M)
2.1.4.4 Management Review (M)
2.1.5.1 Complaint Management
2.1.5.2 Complaint Management
2.1.6.1 Business Continuity Planning
Item
A food safety manual shall be documented, maintained, made
available to relevant staff and include or reference the written
procedures, pre-requisite programs, food safety plans and other
documentation necessary to support the development and the
implementation, maintenance and control of the SQF System.
The senior management shall be responsible for reviewing the
SQF System and documenting the review procedure. Reviews
shall include the policy manual, internal and external audit
findings, corrective actions and their investigations and
resolution, customer complaints and their resolution and
investigation.
The SQF practitioner shall be responsible for validating changes
to food safety fundamentals and/or food safety/quality plans
that have an impact on the supplier's ability to deliver safe food
are to be validated.
The methods and responsibility for handling and investigating
the cause and resolution of complaints from customers and
authorities shall be documented and implemented.
Trends of customer complaint data shall be investigated and
analyzed by personnel knowledgeable about the incidents.
A business continuity plan based on the understanding of
known food safety threats to a business shall be prepared by
senior management outlining the methods and responsibility
the organization will implement to cope with a business crisis
that may impact on the ability of the supplier to deliver safe
food.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) The FSM does not include or reference the pre-
requisite programs
(M) The FSM does not include or reference the Food
Safety Plans
(m) Other procedures and documentation necessary
to support the development, implementation,
maintenance and control of the SQF System are not
included
(M) No food safety manual has been created
(m) The food safety manual is not complete, several
key programs are not included
(m) The food safety manual is not current, some
documented programs are not up to date
(m) The senior management is not involved in
reviewing the SQF system in its entirety
(m) The reviewing procedure is not documented
(m) The policy manual is not reviewed
(m) Audit findings are not reviewed
(m) Customer complaints are not reviewed
(m) Major changes to Food Safety Fundamentals are
not validated by an SQF Practitioner
(m) Major changes to the Food Safety Plan are not
validated by an SQF Practitioner
(m) Small, or minor changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Small or minor changes to the Food Safety Plan
are not validated by an SQF Practitioner
(m) Methods for investigating customer complaints
are not documented
(m) Methods for handling customer complaints are
not documented
(m) Customer complaint data has not been invest
aged and analyzed by personnel knowledgeable
about the incident
(m) Trends of the customer complaint data has not
been analyzed
(M) There is no business continuity plan
(m) The business continuity plan does not address
the known threats relevant to the facility
(m) The business continuity plan was not prepared
by senior management
(m) The business continuity plan does not include
the methods and responsibilities the organization
will implement to cope with a business crisis that
may impact the ability of the supplier to deliver safe
food
 Clause
2.1.6.2 Business Continuity Planning
2.1.6.3 Business Continuity Planning
2.2.1.1 Document Control (M)
2.2.1.2 Document Control (M)
2.2.2.1 Records (M)
2.3.1.1 Specification and Product Development
2.3.1.2 Specification and Product Development
2.3.1.3 Specification and Product Development
2.3.1.4 Specification and Product Development
Item
The business continuity plan shall include as a minimum a senior
manager responsible for decision making, oversight and
initiating actions arising from a crisis management incident; the
nomination and training of a crisis management team; controls
implemented to ensure a response to a crisis does not
compromise product safety; measures to isolate and identify
product affected by a response to a crisis; the preparation and
maintenance of a current crisis alert contact list; the
responsibility for internal communications and communicating
with authorities, external organizations and media. The business
continuity plan shall include as a minimum sources of legal and
expert advice.
The business continuity plan shall be reviewed, tested and
verified at least annually.
The methods and responsibility for maintaining document
control and ensuring staff have access to current documents
shall be documented and implemented.
A register of current SQF System documents and amendments
to documents shall be maintained.
The methods and responsibility for undertaking monitoring
activities, verifying, maintaining and retaining records shall be
documented and implemented.
The methods and responsibility for designing, developing and
converting product concepts to commercial realization shall be
documented and implemented.
Product formulation, manufacturing processes and the
fulfillment of product requirements shall be validated by facility by facility trials
trials, shelf life trials and product testing.
Shelf life trials where necessary shall be conducted to establish
and validate a product's handling, storage requirements,
including the establishment of "use by" or "best before" dates,
microbiological criteria, consumer preparation, storage and
handling requirements.
A food safety plan shall be validated and verified for each new
product and its associated process through conversion to
commercial production and distribution, or where a change to
ingredients, process, or packaging occurs that may impact food
safety.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) The business continuity plan does not designate
a senior manager responsible for making decisions,
oversight and initiating actions arising from a crisis
management incident
(m) The business continuity plan does not include
the nomination and training of a crisis management
team
(m) The business continuity plan does not ensure a
response to a crisis does not compromise product
safety, measure to isolate and identify product
affected by the crisis response
(m) The business continuity plan does not include
the preparation and maintenance of a current crisis
alert contact list
(m) The crisis alert contact list does not include the
CB or SQFI
(m) The business continuity plan does not designate
responsibility for internal communications and
communicating with authorities, external
organizations and media
(m) The business continuity plan does not include
controls that when implemented would not
compromise product safety and quality
(m) The business continuity plan does not include
measures taken to verify the acceptability of food
prior to release
(m) The business continuity plan does not include
legal and expert advice
(m) The business continuity plan has not been
tested and verified annually
(m) Methods for maintaining document control are
not documented
(m) Methods for maintaining document control are
not implemented
(m) Responsibilities for maintaining document
control are not documented
(m) No register of SQF system documents is
available
(M) Methods for undertaking monitoring activities
are not documented
(m) Responsibilities for undertaking monitoring
activities are not documented
(m) Methods for verifying records are not
documented
(m) Responsibilities for verifying records are not
documented
(m) Responsibilities for maintaining records are not
documented
(m) Methods for maintaining records are not
documented
(M) Product development procedures are not
documented
(m) The product formulation has not been validated
(m) The product formulation has not been validated
by shelf life trials
(m) The product formulation has not been validated
by product testing
(m) Shelf life trials have not been conducted of
establish the products 'use by' or 'best before' date
(M) A food safety plan has not been validated and
verified for each new product
(M) When changes to the process, ingredients or
packaging occurred, the food safety plan has not
been validated or verified
 Clause
2.3.2.1 Raw and Packaging Materials
2.3.2.2 Raw and Packaging Materials
2.3.2.3 Raw and Packaging Materials
2.3.2.4 Raw and Packaging Materials
2.3.2.5 Raw and Packaging Materials
2.3.2.7 Raw and Packaging Materials
2.3.3.1 Contract Service Providers
2.3.3.2 Contract Service Providers
2.3.4.1 Contract Manufacturers
Item
Specifications for all raw and packaging materials, including, but
not limited to ingredients, additives, hazardous chemicals and
processing aids that impact on finished product safety shall be
documented and kept current.
All raw and packaging materials and ingredients shall comply
with the relevant legislation.
The methods and responsibility for developing and approving
detailed raw material, ingredient, and packaging specifications
shall be documented.
Raw and packaging materials and ingredients shall be validated
to ensure product safety is not compromised and the material is
fit for its intended purpose. Validation of raw materials and
ingredients shall include certificate of conformance; or
certificate of analysis; or sampling and testing.
Validation of packaging materials shall include certification that
all packaging that comes into direct contact with food meets
either regulatory acceptance or approval criteria.
Documentation shall either be in the form of a declaration of
continued guarantee of compliance, a certificate of
conformance, or a certificate from the applicable regulatory
agency. absence of a certificate of conformance, certificate of
analysis, or letter of guarantee, tests and analyses to confirm
the absence of potential chemical migration from the packaging
to the food contents shall be conducted and records
maintained.
A register of raw and packaging material specifications and
labels shall be maintained and kept current.
Specifications for contract services that have an impact on
finished product safety shall be documented, current, include a
full description of the service to be provided and detail relevant
training requirements of contract personnel.
A register of all contract service specifications shall be
maintained.
The methods and responsibility for ensuring all agreements
relating food safety, customers product requirements and its
realization and delivery are specified and agreed shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Specifications for raw materials that impact
food safety are not documented
(m) Specifications for raw materials that impact
food safety are not kept current
(m) Specifications for raw materials that impact
food safety do not comply with relevant legislation
(m) Specifications for packaging materials that
impact food safety are not documented
(m) Specifications for packaging materials that
impact food safety are not kept current
(m) Specifications for packaging materials that
impact food safety do not comply with relevant
legislation
(M) Raw materials do not comply with relevant
legislation
(m) Packaging materials do not comply with
relevant legislation
(m) Methods for developing specifications are not
documented
(m) Responsibility for developing specifications is
not documented
(m) Methods for approving specifications are not
documented
(m) Responsibility for approving specifications is not
documented
(m) Raw materials are not validated to ensure
product safety is not compromised
(m) Packaging materials are not validated to ensure
product safety is not compromised
(m) Validating methods do not include certificate of
conformance, analysis or sampling or testing
(m) Packaging material validation activities do not
include certification that product meets regulatory
acceptance or approval criteria
(m) Packaging material validation is not
documented
(m) Register of raw material specifications and
labels is not maintained
(m) Register of packaging material specifications
and labels is not maintained
(m) Register of raw material specifications and
labels is not kept current
(m) Register of packaging material specifications
and labels is not kept current
0
(m) There are no documented specifications for
contract services that impact finished product
safety
(m) The specifications for contract services that
impact finished product safety are not current
(m) The specifications for contract services that
impact finished product safety do not have a
description of the service
(m) Specifications for contract personnel do not
include training requirements
0
(m) A register of contract service specifications has
not been maintained
(m) The Register for contract services is not current
0
(m) Methods for ensuring customer product
requirements are not documented
(m) Responsibility for ensuring customer product
requirements is not documented
0
 Clause
2.3.5.1 Finished Product
2.3.5.2 Finished Product
2.4.1.1 Food Legislation (M)
2.4.1.2 Food Legislation (M)
2.4.1.3 Food Legislation (M)
2.4.2.2 Food Safety Fundamentals (M)
2.4.2.3 Food Safety Fundamentals (M)
2.4.2.4 Food Safety Fundamentals (M)
2.4.3.1 Food Safety Plan (M)
2.4.5.3 Incoming Goods and Services
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Finished product specifications shall be documented, current, (m) A register of finished product specifications is
approved by the supplier and their customer, accessible to not maintained
relevant staff and may include microbiological and chemical (m) A register of finished product specifications is
limits, labeling and packaging requirements. not current
(m) Finished product specifications are found to be
not current
(M) Product specifications are not being followed
A register of finished product specifications shall be maintained. (m) A register for finished product specifications is
not maintained
The organization shall ensure that, at the time of delivery to its (M) Organization does not ensure food supplied
customer, the food supplied shall comply with the legislation complies with the food safety legislation that
that applies to the food and its production in the country of its applies to the food and its production in the country
origin and destination. This includes compliance with legislative of its origin
requirements applicable to maximum residue limits, food safety, (M) Organization does not ensure food supplied
packaging, product description, nutritional, allergen and complies with the food safety legislation that
additive labeling, and to relevant established industry codes of applies to the food and its production in the country
practice. of destination
The methods and responsibility for ensuring the organization is (m) Organization does not have a method to keep
kept informed of changes to relevant legislation, scientific and informed of changes to relevant legislation or
technical developments and relevant industry codes of practice scientific or technical development
shall be documented and implemented.
SQFI and the certification body shall be notified in wirting within
24 hours upon identification of a food safety event that requires
public notification (e.g. receipt of a regulatory warning letter).
The supplier shall ensure the food safety fundamentals (m) A risk analysis was not conducted to exclude or
described in the relevant subsequent modules of this Code (i.e. provide alternative control to elements in the food
modules 3 – 15) are applied or exempted according to a safety fundamentals
detailed risk analysis outlining the justification for exclusion or
evidence of the effectiveness of alternative control measures to
ensure that food safety and quality are not compromised.
Those pre-requisite programs applicable to the scope of (M) Pre-requisite programs were not documented
certification that outline the means by which food safety is
controlled and assured shall be documented and implemented.
The effectiveness of the pre-requisite programs shall be verified (M) Pre-requisite programs were not verified
as described in 2.5.4.
A food safety plan shall be developed, effectively implemented, (M) No Food Safety plan
and maintained and outline the means by which the (M) Food safety plan is not current
organization controls and assures food safety. The food safety (M) Food safety plan has not been maintained
plan shall: (m) Food safety plan does not follow HACCP method
i. Be prepared in accordance with the steps identified in the (m) Food safety plan does not have the
Codex Alimentarius Commission or NACMCF HACCP guidelines. methodology and results of the hazard analysis
Primary producers and feed manufacturers may utilize a HACCP- (M) Food safety plan does not include controls
based reference food safety plan developed by a responsible critical to food safety
authority. (m) Work instructions have not been documented
ii. Cover a product or product group and the associated
processes.
iii. Describe the methodology and results of a hazard analysis
conducted to identify food safety hazards associated with all
inputs and process steps including rework. Animal feed and pet
food safety plans must include hazards associated with animal
safety as well as the safety of consumers of animal products.
iv. Prescribe those measures taken to apply the controls
implemented that are critical to assuring, monitoring and
maintaining food safety.
v. Include process controls at control points in production to
monitor product safety, identify when a process is deviating
from set parameters and make corrections to keep a process
under control; and
vi. Include documented Standard Operating Procedures (SOPs)
and Work Instructions (WI) applicable to the organization’s
scope of certification.
The responsibility for selecting, evaluating, approving and (M) No approved supplier program is documented
monitoring an approved supplier shall be documented and
implemented.
 Clause
2.4.5.4 Incoming Goods and Services
2.4.5.5 Incoming Goods and Services
2.4.6.1 Non-conforming Product or Equipment
2.4.7.1 Product Rework
2.4.8.1 Product Release (M)
2.4.9.1 Stock Rotation
2.5.1.2 Responsibility Frequency and Methods
Item
The approved supplier program shall be based on the prior
performance of a supplier and the risk level of the raw materials
ingredients, packaging materials, and services supplied, and
shall contain as a minimum agreed specifications, reference to
the rating of the level of risk applied to a raw material's
ingredients, packaging materials and services and the approved
supplier, a summary of the food safety controls implemented by
the approved supplier, methods for granting approved supplier
status, methods and frequency of monitoring approved
suppliers, details of the certificates of conformance if required,
methods and frequency of reviewing approved supplier
performance and status.
A register of approved supplier and records of inspections and
audits of approved suppliers shall be maintained.
The responsibility and methods outlining how non-conforming
product, raw material, ingredient, work-in-progress, packaging
or equipment detected during receipt, storage, processing,
handling or delivery is handled shall be documented and
implemented. The methods applied shall ensure: Non-
conforming product is quarantined, identified, handled and
disposed of in a manner that minimizes the risk of inadvertent
use, improper use or risk to the integrity of finished product;
and Non-conforming equipment is effectively repaired or
disposed of in a manner that minimizes the risk of inadvertent
use, improper use or risk to the integrity of finished product; All
relevant staff is aware of the organization's quarantine and
release requirements applicable to equipment or product
placed under quarantine status. For producers, the procedure
must document the grower, field name, quantity and final
disposition of the unacceptable materials when applicable.
The responsibility and methods outlining how the product is
reworked (recycled or recouped) 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 of reworked product is inspected or analyzed as
required before release;
iv. Inspections and analyses shall conform to the requirements
outlined in element 2.5.6; and
v. Release of reworked product shall conform to element 2.4.8.
The responsibility and methods for releasing products shall be
documented and implemented. The methods applied shall
ensure the product is released by authorized personnel, once all
inspections and analyses are successfully completed and
documented to verify legislative and other established food
safety controls have been met.
The responsibility and methods for ensuring effective stock
rotation principles are applied shall be documented and
implemented.
The frequency and methods used to validate and verify food
safety fundamentals, critical limits, and other food safety
controls identified in food safety plans shall be documented and
implemented and meet their intended purpose.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Methods used for selecting an approved
supplier have not been documented
(m) Methods used for evaluating an approved
supplier have not been documented
(m) Methods used for approving an approved
supplier have not been documented
(m) Methods used for monitoring an approved
supplier have not been documented
(m) The program does not contain agreed
specifications
(m) The program does not contain a summary of the
food safety controls implemented by the supplier
(m) The program does not contain a summary of the
quality controls implemented by the supplier
(m) The program does not contain methods for
monitoring the suppliers
(m) The program does not contain the frequency of
monitoring the suppliers
(m) The program does not contain the details of the
certificates of conformance if required
(m) The program does not include the frequency for
reviewing supplier performance
(m) A register of approved suppliers are not
maintained
(m) Records of inspections are not maintained
(M) Responsibilities or methods for handling non-
conforming materials is not documented
(m) Identification of product does not minimize risk
of inadvertent use
(m) Identification of product does not minimize risk
of integrity of finished product
(m) Staff is not aware of product isolation and
release policy
(m) Handling does not minimize the risk of
inadvertent use
(m) Handling does not minimize the risk of improper
use
(m) Disposal does not minimize the risk of
inadvertent use
(m) Disposal does not minimize the risk of improper
use
(m) Disposal does not minimize the risk to the
integrity of finished product
(M) The producer did not document the grower,
field name, quantity
(M) Responsibility and methods are not
documented
(m) Reworked product is not identified
(m) Reworked product is not traceable
(m) Reworking operations are not supervised by
qualified personnel
(m) Rework product is not inspected or analyzed
prior to release
(m) Inspections do not conform to section 2.5.6
(m) Release of reworked product does not conform
to section 2.4.8
(M) No documented methods for releasing products
(M) Responsibilities for releasing products are not
identified
(m) Authorized personnel are not used to release
product
(m) Verification that legislative food safety controls
have been met have not been completed
(m) Stock rotation principles have not been
documented
(M) Frequency and methods used to validate food
safety fundamentals are not documented
(M) Frequency and methods used to validate food
safety fundamentals do not meet their intended
purpose
 Clause Item
2.5.2.1 Validation and Effectiveness (M) The methods, responsibility and criteria for ensuring the
effectiveness of pre-requisite programs, and validating critical
food safety limits to ensure they achieve their intended purpose
shall be documented and implemented. The methods applied
shall ensure that pre-requisite programs are confirmed to
ensure they achieve the required result, that critical limits are
selected to achieve the designated level of control of the
identified food safety hazard(s), all critical limits and control
measures individually or in combination effectively provide the
level of control required, all critical limits and control measures
individually or in combination effectively provide the level of
control required, changes to the processes or procedures are
assessed to ensure controls are still effective, ensure that critical
food safety limits are re-validated at least annually.
2.5.3.1 Verification Schedule A verification schedule outlining the verification activities, their
frequency of completion and the person responsible for each
activity shall be prepared and implemented.
2.5.4.1 Verification of Monitoring Activities (M) The methods, responsibility and criteria for verifying the
effectiveness of monitoring pre-requisite programs critical
control points and other food safety controls identified shall be
documented and implemented. The methods applied shall
ensure that personnel with responsibility for verifying
monitoring activities authorize each record verified.
2.5.5.1 Corrective and Preventative Action (M) The responsibility and methods outlining how corrections and
corrective actions are investigated, resolved, managed and
controlled, including the identification of the root cause and
resolution of non-compliance of critical food safety limits, and
deviations from food safety requirements, shall be documented
and implemented.
2.5.6.1 Product Sampling, Inspection and The methods, responsibility and criteria for sampling, inspecting
Analysis and/or analyzing raw materials, finished product and work in
progress shall be documented and implemented. The methods
applied shall ensure: Inspections and analyses are completed at
regular intervals as required and to agreed specification and
legal requirements; Inspections are conducted to ensure raw
materials, work in process and finished products comply with
the relevant specification, regulatory requirements and are true
to label; and 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 utilized to conduct input or product
analysis, the laboratories shall be accredited to ISO 17025 or an
equivalent national standard.
2.5.7.1 Internal Audits (M) The methods and responsibility for scheduling and conducting
internal audits to verify the effectiveness of the SQF System
including facility and equipment inspections, pre-requisite
programs, food safety plans and legislative controls shall be
documented and implemented. The methods applied shall
ensure an internal audit schedule is prepared detailing the
scope and frequency of internal audits, ensure correction and
corrective action of deficiencies identified during the internal
audits are undertaken, audit results are communicated to
relevant management personnel and staff responsible for
implementing and verifying corrective actions; and Audit results
are communicated to relevant management personnel and staff
responsible for implementing and verifying corrective actions
2.6.1.1 Product Identification (M) The methods and responsibility for identifying products during
all stages of production and storage shall be documented and
implemented. The product identification system shall be
implemented to ensure raw materials, work in progress and
finished product are clearly identified during all stages of
receipt, production, storage and dispatch, finished product is
labeled to the customer specification and/or regulatory
requirements.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) The methods and responsibility and criteria for
ensuring the effectiveness of the pre-requisite
programs are not documented
(M) Pre-requisite programs do not achieve their
intended purpose
(M) Critical food safety limits are not validated
(m) Methods do not confirm that the required result
is achieved
(m) Critical limits do not effectively provide the
designated level of control
(m) Critical limits and control measures do not
effectively provide the required level of control
(m) Critical limits are not re-validated at least
annually
(m) Verification schedule is not prepared
(m) Verification schedule is not complete and
outline the frequency or person responsible
(m) Methods for verifying the effectiveness of the
monitoring pre-requisite programs and CCPs are not
documented
(m) Records were not authorized
(M) Responsibilities and methods outlining how
corrections and corrective actions are investigated/
resolved/ managed/ controlled are not documented
(m) Root cause analysis for non-compliance to
critical food safety limits has not been identified
(m) Root cause analysis and resolution for non-
compliance to critical food safety limits has not
been identified
(M) Methods for sampling, inspecting, and/or
analyzing raw materials, finished product and work
in progress are not documented
(m) Inspections are not completed at regular
intervals
(M) Inspections do not ensure materials comply
with relevant specifications
(M) Analyses are not conducted to nationally
recognized methods
(m) Alternative methods used are not validated as
equivalent to the national standard methods
(m) External laboratories are not accredited to ISO
17025 or equivalent standard
(M) Inspections of the facility and equipment are
not planned
(M) Inspections of the facility are not carried out
(m) The supplier did not take correction and
corrective action
(m) Audit schedule does not include scope and
frequency
(m) Audit results were not communicated to
relevant management personnel or staff(m) Records
were not maintained
(M) Methods for identifying products during all
stages of the process is not documented
(M) Product is not clearly identified during all stages
of the process
(m) Finished product is not labeled to the customer
or regulatory requirements
 Clause
2.6.2.1 Product Trace (M)
2.6.3.1 Product Withdrawal and Recall (M)
2.6.3.2 Product Withdrawal and Recall (M)
2.6.3.3 Product Withdrawal and Recall (M)
2.7.1.1 Food Defense (M)
2.7.1.2 Food Defense (M)
2.8.2.1 Allergen Management
Item
The responsibility and methods used to trace product shall be
documented and implemented to ensure finished product is
traceable to the customer (one up) and provides traceability
through the process to the supplier and date of receipt of raw
materials, food contact packaging and materials and other
inputs (one back),; traceability is maintained where product is
reworked; the effectiveness of the product trace system shall be
tested at least annually.
The responsibility and methods used 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 management procedures to be implemented
including sources of legal and expert advice; and
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. SQFI and the certification body shall be listed as an essential
body and notified in instances of a food safety incident of a
public nature
, or product recall for any reason.
Investigation shall be undertaken to determine the root cause of (m) Documentation from investigations and action
a withdrawal or recall and details of investigations and any taken has not been documented
action taken shall be documented.
The product withdrawal and recall system shall be reviewed,
tested and verified as effective at least annually.
The methods, responsibility and criteria for preventing food
adulteration caused by a deliberate act of sabotage or terrorist-
like incident shall be documented, implemented and
maintained.
A food defense protocol shall be prepared and include: The
name of the senior management person responsible for food
defense; The methods implemented to ensure only authorized
personnel have access to crops, production equipment and
vehicles, manufacturing and storage areas through designated
access points; The methods implemented to protect sensitive
processing points from intentional adulteration; The measures
taken to ensure the secure storage of raw materials, packaging,
equipment and hazardous chemicals; The measures
implemented to ensure harvested crop and/or finished product
is held under secure storage and transportation conditions; and
The methods implemented to record and control access to the
premises by employees, contractors, and visitors.
The responsibility and methods used to control allergens and to
prevent sources of allergens from contaminating product shall
be documented and implemented. The allergen management
program shall include the hazards associated with allergens and
their control incorporated into the food safety plan, include
cleaning and sanitation of product contact surfaces between
line changeovers shall be effective, appropriate to the risk and
legal requirements, and sufficient to remove all potential target
allergens from product contact surfaces, including aerosols as
appropriate, to prevent cross contact.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Product trace system is not documented
(M) Product trace system is not traceable one up
and one back
(M) Traceability is not maintained where product is
reworked
(m) The effectiveness of the product trace system is
not tested annually
(M) Methods and responsibility for notifying
customer and other essential bodies are not
documented
(M) SQFI was not notified of a product recall
(m) Recall system has not been tested at least
annually
(m) No responsibility for food defense have been
assigned
(m) No methods for food defense have been
developed
(m) No methods to ensure only authorized vehicles
have access
(m) No methods to identify authorized personal
who have access
(m) No methods identified to secure hazardous
chemicals
(m) No methods identified to secure packaging and
harvesting equipment
(m) No methods identified to protect crop from
intention adulteration
(m) No measure taken to secure storage areas for
harvested crops
(m) No methods in place to record visitors or
contractors to the facility
(m) No methods in place to record access of
employees to the premises
(M) No methods to control allergens developed
(M) Methods developed to control allergens are not
sufficient
(M) No risk assessment for raw materials containing
allergens have been conducted
(m) Not all ingredients with allergens included in risk
assessment
(m) No list of ingredients with allergens has been
developed
(M) Controls for the allergens identified in risk
assessment not included in food safety plan
(M) Controls are not developed to segregated
products with allergen causing agents
(M) Cleaning of equipment containing allergens is
not verified prior to product changeover
(m) Verification of sanitation effectiveness is not
implemented
(M) Equipment segregation for allergen control is
not conducted
 Clause
2.9.2.1 Training Program (M)
2.9.6.1 Refresher Training
2.9.7.1 Training Skills Register
Item
An employee training program shall be documented and
implemented. It shall outline the necessary competencies for
specific duties and the training methods to be applied for those
staff carrying out tasks associated with: Developing and applying
Good Agricultural Practices, Good Aquaculture Practices, or
Good Manufacturing Practices (as appropriate). Applying food
regulatory requirements; Steps identified by the hazard analysis
and/or other instructions as critical to effective implementation
of the food safety plan and the maintenance of food safety; and
Tasks identified as critical to meeting the effective
implementation and maintenance of the SQF System.
The training program shall include provision for identifying and
implementing the refresher training needs of the organization.
A training skills register describing who has been trained in
relevant skills shall be maintained. The register shall indicate
the participant name, skills description, description of the
training provided, date training completed, the trainer or
training provider, and the supervisor's verification the training
was completed and that the trainee is competent to complete
the required tasks.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Employee training program does not include
good manufacturing/ agricultural practices (as
appropriate)
(m) Employee training program does not include
pre-requisite programs
(m) Employee training program does not include
food regulatory requirements
(m) Employee training program does not include
hazard analysis
(m) Employee training program does not include
maintenance of food safety plan
(m) Employee training program does not include
customer specifications
(m) There are no specific work instructions for
adherence to customer specifications
(m) There are no specific work instructions for
maintenance of food safety plan
(m) There are not specific work instructions for
maintenance of quality or process
(m) Training program does not define refresher
training requirement
(m) Training program does not identify means for
achieving refresher training requirement
(m) Training skills register does not include
participant name
(m) Training skills register does not include skills
description
(m) Training skills register does not include
description of training provided
(m) Training skills register does not include date of
the training
(m) Training skills register does not include trainer
or training provider
(m) Training skills register does not include
supervisor verification that training was effective
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Opening Meeting People Present at the Opening Meeting (Please list names
and roles in the following format Name: Role separated by
comas)

Closing Meeting People Present at the Closing Meeting (Please list names
and roles in the following format Name: Role separated by
comas)

Facility Description Auditor Description of Facility (Please provide facility

description include # of employees, size, production
schedule, general layout, and any additional pertinent
details

Auditor Recommendation Auditor Recommendation (0) Suspend Certification

(0) Withdraw Certification
(0) Proceed with facility audit
(0) Delay facility audit until non-
conformances are corrected and verified

2.1.1.1 Management Policy (3D) (M)
Senior management shall prepare and implement a policy (M) There is no evidence that the policy
statement that outlines as a minimum: the organization’s statement has been implemented
commitment to supply safe food; the methods used to
comply with its customer and regulatory requirements and
continually improve its food safety management system;.
The organization's commitment to establish and review food
safety and quality objectives.

2.1.1.2 Management Policy (2D, 3D) (M)
The policy statement shall be: signed by senior
management; made available in language understood by all
staff; and displayed in a prominent position and effectively
communicated to all staff
(m) Policy Statement not made available in
language understood by all staff
(m) Policy Statement not displayed in a
prominent position
(m) Policy Statement not communicated to
all staff

2.1.2.1 Management Responsibility (3D) (M)
The organizational reporting structure describing those who
have responsibility for food safety and quality and their
interrelationship shall be defined and communicated within
the organization.
(M) No organizational reporting structure
(m) Those responsible for food safety not
identified
(m) Those responsible for quality not
identified
(m) Interrelationship for food safety and
quality not defined

2.1.2.4 Management Responsibility (3D) (M)
The senior management shall designate an SQF practitioner (M) There is no designated SQF Practitioner
for each site with responsibility and authority to oversee the
development, implementation, review and maintenance of
the SQF System, including food safety fundamentals
outlined in 2.4.2, the food safety plan outlined in 2.4.3 and
the food quality plan outlined in 2.4.4. take appropriate
action to maintain the integrity of the SQF System.
communicate to relevant personnel all information essential
to ensure the effective implementation and maintenance

2.1.2.5 Management Responsibility (3D) (M)
The SQF practitioner shall be employed by the supplier as a (M) SQF Practitioner does not work for the
company employee on a full-time basis, hold a position of operation
responsibility in relation to the management of the (M) SQF Practitioner does not have HACCP
supplier’s SQF System, have completed a HACCP-based training
training course, be competent to implement and maintain
HACCP-based food safety plans and food quality plans, have
an understanding of the SQF Code Level 3 and the
requirements to implement and maintain SQF Systems
relevant to the supplier scope of certification.
 Clause
2.1.2.6 Management Responsibility (3D) (M)
2.1.2.8 Management Responsibility (3D) (M)
2.1.3.1 Food Safety Management System (3D) (M)
2.1.3.2 Food Safety Management System (2D, 3D) (M)
2.1.3.3 Food Safety Management System (3D) (M)
2.1.4.1 Management Review (2D, 3D) (M)
Item
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 product, legality, safety, and quality shall
be defined and documented.
Job descriptions for those responsible for food safety and
quality shall be documented and include provision to cover
for the absence of key personnel.
A food safety and quality manual shall be documented and
maintained in either electronic and/or hard copy form. It
shall outline the methods the organization will use to meet
the requirements of this standard, be made available to staff
and include a summary of the organization’s food safety and
quality policies and the methods it will apply to meet the
requirements of this standard, include the policy statement
and organization chart, and the scope of the certification,
and include a list of the products covered under the scope of
certification.
A food safety manual shall be documented, maintained,
made available to relevant staff and include or reference the
written procedures, pre-requisite programs, food safety
plans and other documentation necessary to support the
development and the implementation, maintenance and
control of the SQF System.
A quality manual shall be documented, maintained, made
available to relevant staff and include or reference the
written procedures, standard operating practices, work
instructions, and food quality plans and other
documentation necessary to support the development and
the implementation, maintenance and control of the SQF
System. The quality manual may be combined and
integrated with the food safety manual.
The senior management shall be responsible for reviewing
the SQF System and documenting the review procedure.
Reviews shall include the policy manual, internal and
external audit findings, corrective actions and their
investigations and resolution, customer complaints and their
resolution and investigation.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Responsibility for establishing the
training needs of the organization has not
been defined and documented
(m) Responsibility for implementing the
training needs of the organization has not
been defined and documented
(M) Job descriptions for those responsible
for food safety are not documented
(M) Job descriptions for those responsible
for quality are not documented
(m) Job descriptions do not include provision
to cover for the absence of key personnel
(M) No documented Food Safety Manual
(M) No documented Food Quality Manual
(m) The summary of the food safety policies
does not include the methods applied to
meet the requirements of the standard
(m) Policy Statement is not included
(m) Organizational chart is not available or
updated
(m) A list of the products covered under the
Scope of Certification is not included
(M) The FSM does not include or reference
the written procedures
(M) The FSM does not include or reference
the pre-requisite programs
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System is not included
(M) The FSM does not include or reference
the pre-requisite programs
(M) The FSM does not include or reference
the Food Safety Plans
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System are not included
(M) No food safety manual has been created
(m) The food safety manual is not complete,
several key programs are not included
(m) The food safety manual is not current,
some documented programs are not up to
date
(M) The Quality Manual does not include or
reference written procedures
(M) The Quality Manual does not include or
reference the standard operating practices
required to control quality
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System are not included
(m) The senior management is not involved
in reviewing the SQF system in its entirety
(m) The reviewing procedure is not
documented
(m) The policy manual is not reviewed
(m) Audit findings are not reviewed
(m) Customer complaints are not reviewed
 Clause
2.1.4.4 Management Review (3D) (M)
2.1.5.1 Complaint Management (2D, 3D)
2.1.5.2 Complaint Management (2D, 3D)
2.1.6.1 Business Continuity Planning (3D)
2.1.6.2 Business Continuity Planning (2D, 3D)
2.1.6.3 Business Continuity Planning (2D, 3D)
Item
The SQF practitioner shall be responsible for validating
changes to food safety fundamentals and/or food
safety/quality plans that have an impact on the supplier's
ability to deliver safe food are to be validated.
The methods and responsibility for handling and
investigating the cause and resolution of complaints from
customers and authorities shall be documented and
implemented.
Trends of customer complaint data shall be investigated and (m) Customer complaint data has not been
analyzed by personnel knowledgeable about the incidents. invest aged and analyzed by personnel
knowledgeable about the incident
(m) Trends of the customer complaint data
has not been analyzed
A business continuity plan based on the understanding of
known threats to a business shall be prepared by senior
management outlining the methods and responsibility the
organization will implement to cope with a business crisis
that may impact on the ability of the supplier to deliver safe,
quality food.
The business continuity plan shall include as a minimum a
senior manager responsible for decision making, oversight
and initiating actions arising from a crisis management
incident; the nomination and training of a crisis
management team; controls implemented to ensure a
response to a crisis does not compromise product safety;
measures to isolate and identify product affected by a
response to a crisis; the preparation and maintenance of a
current crisis alert contact list; the responsibility for internal
communications and communicating with authorities,
external organizations and media. The business continuity
plan shall include as a minimum sources of legal and expert
advice.
The business continuity plan shall be reviewed, tested and
verified at least annually.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Major changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(M) Major changes to the Food Safety Plan
are not validated by an SQF Practitioner
(M) Major changes to the Food Quality Plan
are not validated by an SQF Practitioner
(m) Small, or minor changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Small or minor changes to the Food
Safety Plan are not validated by an SQF
Practitioner
(m) Small or minor changes to the Food
Quality Plan are not validated by an SQF
Practitioner
(m) Methods for investigating customer
complaints are not documented
(m) Methods for handling customer
complaints are not documented
(M) There is no business continuity plan
(m) The business continuity plan does not
address the known threats relevant to the
facility
(m) The business continuity plan was not
prepared by senior management
(m) The business continuity plan does not
include the methods and responsibilities the
organization will implement to cope with a
business crisis that may impact the ability of
the supplier to deliver safe, quality food
(m) The business continuity plan does not
designate a senior manager responsible for
making decisions, oversight and initiating
actions arising from a crisis management
incident
(m) The business continuity plan does not
include the nomination and training of a
crisis management team
(m) The business continuity plan does not
ensure a response to a crisis does not
compromise product safety, measure to
isolate and identify product affected by the
crisis response
(m) The business continuity plan does not
include the preparation and maintenance of
a current crisis alert contact list
(m) The crisis alert contact list does not
include the CB or SQFI
(m) The business continuity plan does not
designate responsibility for internal
communications and communicating with
authorities, external organizations and
media
(m) The business continuity plan does not
include controls that when implemented
would not compromise product safety and
quality
(m) The business continuity plan does not
include measures taken to verify the
acceptability of food prior to release
(m) The business continuity plan does not
include legal and expert advice
(m) The business continuity plan has not
been tested and verified annually
 Clause
2.2.1.1 Document Control (2D, 3D) (M)
2.2.1.2 Document Control (2D, 3D) (M)
2.2.2.1 Records (2D, 3D) (M)
2.3.1.1 Specification and Product Development (2D, 3D)
2.3.1.2 Specification and Product Development (2D, 3D)
2.3.1.3 Specification and Product Development (2D, 3D)
2.3.1.4 Specification and Product Development (3D)
Item
The methods and responsibility for maintaining document
control and ensuring staff have access to current documents control are not documented
shall be documented and implemented.
A register of current SQF System documents and
amendments to documents shall be maintained.
The methods and responsibility for undertaking monitoring
activities, verifying, maintaining and retaining records shall
be documented and implemented.
The methods and responsibility for designing, developing
and converting product concepts to commercial realization
shall be documented and implemented.
Product formulation, manufacturing processes and the
fulfillment of product requirements shall be validated by
facility trials, shelf life trials and product testing.
Shelf life trials where necessary shall be conducted to
establish and validate a product's handling, storage
requirements, including the establishment of "use by" or
"best before" dates, microbiological criteria, consumer
preparation, storage and handling requirements.
A food safety plan and food quality plan shall be validated
and verified for each new product and its associated process
through conversion to commercial production and
distribution, or where a change to ingredients, process, or
packaging occurs that may impact food safety or quality.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Methods for maintaining document
(m) Methods for maintaining document
control are not implemented
(m) Responsibilities for maintaining
document control are not documented
(m) No register of SQF system documents is
available
(M) Methods for undertaking monitoring
activities are not documented
(m) Responsibilities for undertaking
monitoring activities are not documented
(m) Methods for verifying records are not
documented
(m) Responsibilities for verifying records are
not documented
(m) Responsibilities for maintaining records
are not documented
(m) Methods for maintaining records are not
documented
(M) Product development procedures are
not documented
(m) The product formulation has not been
validated by facility trials
(m) The product formulation has not been
validated by shelf life trials
(m) The product formulation has not been
validated by product testing
(m) Shelf life trials have not been conducted
of establish the products 'use by' or 'best
before' date
(M) A food safety plan has have not been
validated and verified for each new product
(M) When changes to the process,
ingredients or packaging occurred, the food
safety plan has not been validated or verified
(M) A food quality plan has not been
validated and verified for each new product
(M) When changes to the process,
ingredients or packaging occurred, the food
quality plan has not been validated or
verified
 Clause
2.3.2.1 Raw and Packaging Materials (3D)
2.3.2.2 Raw and Packaging Materials (2D, 3D)
2.3.2.3 Raw and Packaging Materials (2D, 3D)
2.3.2.4 Raw and Packaging Materials (3D)
2.3.2.5 Raw and Packaging Materials (2D, 3D)
2.3.2.7 Raw and Packaging Materials (2D, 3D)
2.3.3.1 Contract Service Providers (3D)
2.3.3.2 Contract Service Providers (2D, 3D)
Item
Specifications for all raw and packaging materials, including,
but not limited to ingredients, additives, hazardous
chemicals and processing aids that impact on finished
product safety and quality shall be documented and kept
current.
All raw and packaging materials and ingredients shall comply (M) Raw materials do not comply with
with the relevant legislation.
The methods and responsibility for developing and
approving detailed raw material, ingredient, and packaging
specifications shall be documented.
Raw and packaging materials and ingredients shall be
validated to ensure product safety and quality is not
compromised and the material is fit for its intended
purpose. Validation of raw materials and ingredients shall
include certificate of conformance; or certificate of analysis;
or sampling and testing.
Validation of packaging materials shall include certification
that all packaging that comes into direct contact with food
meets either regulatory acceptance or approval criteria.
Documentation shall either be in the form of a declaration
of continued guarantee of compliance, a certificate of
conformance, or a certificate from the applicable regulatory
agency. absence of a certificate of conformance, certificate
of analysis, or letter of guarantee, tests and analyses to
confirm the absence of potential chemical migration from
the packaging to the food contents shall be conducted and
records maintained.
A register of raw and packaging material specifications and
labels shall be maintained and kept current.
Specifications for contract services that have an impact on
finished product safety and quality shall be documented,
current, include a full description of the service to be
provided and detail relevant training requirements of
contract personnel.
A register of all contract service specifications shall be
maintained.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Specifications for raw materials that
impact food safety and quality are not
documented
(m) Specifications for raw materials that
impact food safety and quality are not kept
current
(m) Specifications for raw materials that
impact food safety and quality do not
comply with relevant legislation
(m) Specifications for packaging materials
that impact food safety and quality are not
documented
(m) Specifications for packaging materials
that impact food safety and quality are not
kept current
(m) Specifications for packaging materials
that impact food safety and quality do not
comply with relevant legislation
relevant legislation
(m) Packaging materials do not comply with
relevant legislation
(m) Methods for developing specifications
are not documented
(m) Responsibility for developing
specifications is not documented
(m) Methods for approving specifications are
not documented
(m) Responsibility for approving
specifications is not documented
(m) Raw materials are not validated to
ensure product safety is not compromised
(m) Packaging materials are not validated to
ensure product safety is not compromised
(m) Validating methods do not include
certificate of conformance, analysis or
sampling or testing
(m) Packaging material validation activities
do not include certification that product
meets regulatory acceptance or approval
criteria
(m) Packaging material validation is not
documented
(m) Register of raw material specifications
and labels is not maintained
(m) Register of packaging material
specifications and labels is not maintained
(m) Register of raw material specifications
and labels is not kept current
(m) Register of packaging material
specifications and labels is not kept current
(m) There are no documented specifications
for contract services that impact finished
product safety
(m) The specifications for contract services
that impact finished product safety are not
current
(m) The specifications for contract services
that impact finished product safety do not
have a description of the service
(m) Specifications for contract personnel do
not include training requirements
(m) A register of contract service
specifications has not been maintained
(m) The Register for contract services is not
current
 Clause
2.3.4.1 Contract Manufacturers (2D, 3D)
2.3.5.1 Finished Product (3D)
2.3.5.2 Finished Product (2D, 3D)
2.4.1.1 Food Legislation (3D) (M)
2.4.1.2 Food Legislation (2D, 3D) (M)
2.4.1.3 Food Legislation (M)
2.4.2.2 Food Safety Fundamentals (3D) (M)
2.4.2.3 Food Safety Fundamentals (2D, 3D) (M)
2.4.2.4 Food Safety Fundamentals (2D, 3D) (M)
Item
The methods and responsibility for ensuring all agreements
relating food safety and quality, customers product
requirements and its realization and delivery are specified
and agreed shall be documented and implemented.
Finished product specifications shall be documented,
current, approved by the supplier and their customer,
accessible to relevant staff and may include microbiological
and chemical limits, labeling and packaging requirements,
and product quality attributes.
A register of finished product specifications shall be
maintained.
The organization shall ensure that, at the time of delivery to
its customer, the food supplied shall comply with the
legislation that applies to the food and its production in the
country of its origin and destination. This includes
compliance with legislative requirements applicable to
maximum residue limits, food safety, trade weights and
measures, packaging, product description, nutritional,
allergen and additive labeling, and to relevant established
Industry codes of practice.
The methods and responsibility for ensuring the
organization is kept informed of changes to relevant
legislation, scientific and technical developments and
relevant industry codes of practice shall be documented and
implemented.
SQFI and the certification body shall be notified in wirting
within 24 hours upon identification of a food safety event
that requires public notification (e.g. receipt of a regulatory
warning letter).
The supplier shall ensure the food safety fundamentals
described in the relevant subsequent modules of this Code exclude or provide alternative control to
(i.e. modules 3 – 15) are applied or exempted according to a elements in the food safety fundamentals
detailed risk analysis outlining the justification for exclusion
or evidence of the effectiveness of alternative control
measures to ensure that food safety and quality are not
compromised.
Those pre-requisite programs applicable to the scope of
certification that outline the means by which food safety is
controlled and assured shall be documented and
implemented.
The effectiveness of the pre-requisite programs shall be
verified as described in 2.5.4.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Methods for ensuring customer product
requirements are not documented
(m) Responsibility for ensuring customer
product requirements is not documented
(m) A register of finished product
specifications is not maintained
(m) A register of finished product
specifications is not current
(m) Finished product specifications are found
to be not current
(M) Product specifications are not being
followed
(m) A register for finished product
specifications is not maintained
(M) Organization does not ensure food
supplied complies with the food safety, trade
weights, packaging, product description,
nutritional, allergen and additive legislation
that applies to the food and its production in
the country of its origin
(M) Organization does not ensure food
supplied complies with the food safety trade
weights, packaging, product description,
nutritional, allergen and additive legislation
that applies to the food and its production in
the country of destination
(m) Organization does not have a method to
keep informed of changes to relevant
legislation or scientific or technical
development
(m) A risk analysis was not conducted to
(M) Pre-requisite programs were not
documented
(M) Pre-requisite programs were not verified
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
2.4.3.1 Food Safety Plan (2D, 3D) (M) A food safety plan shall be developed, effectively (M) No Food Safety plan
implemented, and maintained and outline the means by (M) Food safety plan is not current
which the organization controls and assures food safety. The (M) Food safety plan has not been
food safety plan shall: maintained
i. Be prepared in accordance with the steps identified in the (m) Food safety plan does not follow HACCP
Codex Alimentarius Commission or NACMCF HACCP method
guidelines. Primary producers and feed manufacturers may (m) Food safety plan does not have the
utilize a HACCP-based reference food safety plan developed methodology and results of the hazard
by a responsible authority. analysis
ii. Cover a product or product group and the associated (M) Food safety plan does not include
processes. controls critical to food safety
iii. Describe the methodology and results of a hazard (m) Work instructions have not been
analysis conducted to identify food safety hazards documented
associated with all inputs and process steps including
rework. Animal feed and pet food safety plans must include
hazards associated with animal safety as well as the safety
of consumers of animal products.
iv. Prescribe those measures taken to apply the controls
implemented that are critical to assuring, monitoring and
maintaining food safety.
v. Include process controls at control points in production to
monitor product safety, identify when a process is deviating
from set parameters and make corrections to keep a process
under control; and
vi. Include documented Standard Operating Procedures
(SOPs) and Work Instructions (WI) applicable to the
organization’s scope of certification.

2.4.4.1 Food Quality Plan (3D) (M)
A food quality plan shall be developed, effectively
implemented, and maintained in accordance with the
HACCP method to outline the means by which the
organization controls and assures food quality and legality.
The food quality plan shall outline the results of a food
quality risk analysis conducted to identify threats to
achieving and maintaining product and process quality,
prescribe those measures taken to apply the controls
implemented that are critical to assuring, monitoring and
maintaining food quality, include process controls at quality
points in production to monitor product quality, identify
when a process is deviating from set parameters and make
corrections to keep a process under control, cover a food or
food group and the associated processes, include
documented Standard Operating Procedures (SOPs) and
Work Instructions (WI) applicable to the organization's
scope of certification.
(M) No Food Quality Plan
(m) Food quality plan is not current
(M) Food quality plan is not maintained
(M) Food quality plan was not developed
following the HACCP method
(m) Threats to achieving product and process
quality has not been identified
(M) Food quality plan does not include
controls critical to food safety
(m) Work instructions have not been
documented

2.4.4.2 Food Quality Plan (3D) Use of the SQF quality shield shall follow the requirements
outlined in Appendix 3: SQF Quality Shield and Logo Rules of
Use.

2.4.5.3 Incoming Goods and Services (2D, 3D) The responsibility for selecting, evaluating, approving and (M) No approved supplier program is
monitoring an approved supplier shall be documented and documented
implemented.
 Clause
2.4.5.4 Incoming Goods and Services (3D)
2.4.5.5 Incoming Goods and Services (2D, 3D)
2.4.6.1 Non-conforming Product or Equipment (2D, 3D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The approved supplier program shall be based on the prior (m) Methods used for selecting an approved
performance of a supplier and the risk level of the raw supplier have not been documented
materials ingredients, packaging materials, and services (m) Methods used for evaluating an
supplied, and shall contain as a minimum agreed approved supplier have not been
specifications, reference to the rating of the level of risk documented
applied to a raw material’s ingredients, packaging materials (m) Methods used for approving an
and services and the approved supplier, a summary of the approved supplier have not been
food safety and quality controls implemented by the documented
approved supplier, methods for granting approved supplier (m) Methods used for monitoring an
status, methods and frequency of monitoring approved approved supplier have not been
suppliers, details of the certificates of conformance if documented
required, methods and frequency of reviewing approved (m) The program does not contain agreed
supplier performance and status. specifications
(m) The program does not contain a
summary of the food safety controls
implemented by the supplier
(m) The program does not contain a
summary of the quality controls
implemented by the supplier
(m) The program does not contain methods
for monitoring the suppliers
(m) The program does not contain the
frequency of monitoring the suppliers
(m) The program does not contain the
details of the certificates of conformance if
required
(m) The program does not include the
frequency for reviewing supplier
performance
(m) The program does not contain a
A register of approved supplier and records of inspections (m) A register
summary of food
of the approved suppliers
quality controlsare not
and audits of approved suppliers shall be maintained. maintained
implemented by the supplier
(m) Records of inspections are not
maintained
The responsibility and methods outlining how non- (M) Responsibilities or methods for handling
conforming product, raw material, ingredient, work-in- non-conforming materials is not
progress, packaging or equipment detected during receipt, documented
storage, processing, handling or delivery is handled shall be (m) Identification of product does not
documented and implemented. The methods applied shall minimize risk of inadvertent use
ensure: Non-conforming product is quarantined, identified, (m) Identification of product does not
handled and disposed of in a manner that minimizes the risk minimize risk of integrity of finished product
of inadvertent use, improper use or risk to the integrity of (m) Staff is not aware of product isolation
finished product; and Non-conforming equipment is and release policy
effectively repaired or disposed of in a manner that (m) Handling does not minimize the risk of
minimizes the risk of inadvertent use, improper use or risk to inadvertent use
the integrity of finished product; All relevant staff is aware (m) Handling does not minimize the risk of
of the organization’s quarantine and release requirements improper use
applicable to equipment or product placed under quarantine (m) Disposal does not minimize the risk of
status. For producers, the procedure must document the inadvertent use
grower, field name, quantity and final disposition of the (m) Disposal does not minimize the risk of
unacceptable materials when applicable. improper use
(m) Disposal does not minimize the risk to
the integrity of finished product
(M) The producer did not document the
grower, field name, quantity

2.4.7.1 Product Rework (2D, 3D)
The responsibility and methods outlining how the product is
reworked (recycled or recouped) 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 of reworked product is inspected or analyzed
as required before release;
iv. Inspections and analyses shall conform to the
requirements for verification outlined in element 2.5.6; and
v. Release of reworked product shall conform to element
2.4.8.
(M) Responsibility and methods are not
documented
(m) Reworked product is not identified
(m) Reworked product is not traceable
(m) Reworking operations are not supervised
by qualified personnel
(m) Rework product is not inspected or
analyzed prior to release
(m) Inspections do not conform to section
2.5.6
(m) Release of reworked product does not
conform to section 2.4.8
 Clause
2.4.8.1 Product Release (2D, 3D) (M)
2.4.9.1 Stock Rotation (2D, 3D)
2.5.1.2 Responsibility Frequency and Methods (3D)
2.5.2.1 Validation and Effectiveness (3D) (M)
2.5.3.1 Verification Schedule (1D, 2D, 3D)
Item
The responsibility and methods for releasing products shall
be documented and implemented. The methods applied
shall ensure the product is released by authorized
personnel, once all inspections and analyses are successfully
completed and documented to verify legislative and other
established food safety controls have been met.
The responsibility and methods for ensuring effective stock
rotation principles are applied shall be documented and
implemented.
The frequency and methods used to validate and verify food
safety fundamentals, critical limits, and other food safety
and quality controls identified in food safety plans and food
quality plans shall be documented and implemented and
meet their intended purpose.
The methods, responsibility and criteria for ensuring the
effectiveness of pre-requisite programs, and validating
critical food safety and quality limits to ensure they achieve
their intended purpose shall be documented and
implemented. The methods applied shall ensure that pre-
requisite programs are confirmed to ensure they achieve the
required result, critical limits are selected to achieve the
designated level of control of the identified food safety
hazard(s) or threat to the achievement of food quality, all
critical limits and control measures individually or in
combination effectively provide the level of control
required, that changes to the processes or procedures are
assessed to ensure controls are still effective, that critical
food safety and quality limits are re-validated at least
annually.
A verification schedule outlining the verification activities,
their frequency of completion and the person responsible
for each activity shall be prepared and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No documented methods for releasing
products
(M) Responsibilities for releasing products
are not identified
(m) Authorized personnel are not used to
release product
(m) Verification that legislative food safety
controls have been met have not been
completed
(m) Stock rotation principles have not been
documented
(M) The methods and responsibility and
criteria for ensuring the effectiveness of the
pre-requisite programs are not documented
(M) Pre-requisite programs do not achieve
their intended purpose
(M) Critical food safety limits are not
validated
(m) Methods do not confirm that the
required result is achieved
(m) Critical limits do not effectively provide
the designated level of control
(m) Critical limits and control measures do
not effectively provide the required level of
control
(m) Critical limits are not re-validated at least
annually
(m) Verification schedule is not prepared
(m) Verification schedule is not complete
and outline the frequency or person
responsible
 Clause
2.5.4.1 Verification of Monitoring Activities (3D) (M)
2.5.5.1 Corrective and Preventative Action (3D) (M)
2.5.6.1 Product Sampling, Inspection and Analysis (3D)
Item
The methods, responsibility and criteria for verifying the
effectiveness of monitoring pre-requisite programs, critical
control points, critical quality points and other food safety
and quality controls identified shall be documented and
implemented. The methods applied shall ensure that
personnel with responsibility for verifying monitoring
activities authorize each record verified.
The responsibility and methods outlining how corrections
and corrective actions are investigated, resolved, managed
and controlled, including the identification of the root cause
and resolution of non-compliance of critical food safety and
quality limits, and deviations from food safety and quality
requirements, shall be documented and implemented.
The methods, responsibility and criteria for sampling,
inspecting and/or analyzing raw materials, finished product
and work in progress, and for analyzing and assessing
product quality and sensory attributes shall be documented
and implemented. The methods applied shall ensure:
Inspections and analyses are completed at regular intervals
as required and to agreed specification and legal
requirements; Inspections are conducted to ensure raw
materials, work in process and finished products comply
with the relevant specification, regulatory requirements, are
true to label and comply with weights and measure
requirements after shelf life trials are completed; and 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 utilized to conduct input or product analysis, the
laboratories shall be accredited to ISO 17025 or an
equivalent national standard. Sensory analysis and
evaluations are completed after shelf life trials, as
appropriate, and at intervals designed to demonstrate the
products sensory characteristics are consistently being
achieved; Sensory evaluations comply with the relevant
product sensory attributes specified by the customer; and
Sensory evaluations are conducted by trained personnel in
accordance with established methods or as specified by the
customer.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Responsibilities and methods outlining
how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not documented
(m) Root cause analysis for non-compliance
to critical food safety limits has not been
identified
(m) Root cause analysis and resolution for
non-compliance to critical food safety limits
has not been identified
(m) Root cause analysis and resolution for
non-compliance to critical food quality limits
has not been identified
(M) Methods for sampling, inspecting,
and/or analyzing raw materials, finished
product and work in progress are not
documented
(m) Inspections are not completed at regular
intervals
(M) Inspections do not ensure materials
comply with relevant specifications
(M) Analyses are not conducted to nationally
recognized methods
(m) Alternative methods used are not
validated as equivalent to the national
standard methods
(m) External laboratories are not accredited
to ISO 17025 or equivalent standard
(m) sensory evaluations are not completed
(m) Sensory evaluations are not consistently
being achieved
(m) Sensory evaluations do not comply with
the customer attributes
(m) Sensory evaluations are not conducted
in accordance with customer specifications
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
2.5.7.1 Internal Audits (3D) (M) The methods and responsibility for scheduling and (M) Inspections of the facility and equipment
conducting internal audits to verify the effectiveness of the are not planned
SQF System including facility and equipment inspections, (m) The supplier did not take correction and
pre-requisite programs, food safety plans, food quality plans corrective action
and legislative controls shall be documented and (m) Audit schedule does not include scope
implemented. The methods applied shall ensure an internal and frequency
audit schedule is prepared detailing the scope and (m) Records were not maintained
frequency of internal audits, ensure audit results are
communicated to relevant management personnel and staff
responsible for implementing and verifying corrective
actions; and Audit results are communicated to relevant
management personnel and staff responsible for
implementing and verifying corrective actions

2.6.1.1 Product Identification (2D, 3D) (M)
The methods and responsibility for identifying products
during all stages of production and storage shall be
documented and implemented. The product identification
system shall be implemented to ensure raw materials, work
in progress and finished product are clearly identified during
all stages of receipt, production, storage and dispatch,
finished product is labeled to the customer specification
and/or regulatory requirements.
(M) Methods for identifying products during
all stages of the process is not documented
(M) Product is not clearly identified during all
stages of the process
(m) Finished product is not labeled to the
customer or regulatory requirements

2.6.2.1 Product Trace (2D, 3D) (M)
The responsibility and methods used to trace product shall
be documented and implemented to ensure finished
product is traceable to the customer (one up) and provides
traceability through the process to the supplier and date of
receipt of raw materials, food contact packaging and
materials and other inputs (one back),; traceability is
maintained where product is reworked; the effectiveness of
the product trace system shall be tested at least annually.
(M) Product trace system is not documented
(M) Product trace system is not traceable
one up and one back
(M) Traceability is not maintained where
product is reworked
(m) The effectiveness of the product trace
system is not tested annually

2.6.3.1 Product Withdrawal and Recall (2D, 3D) (M)
The responsibility and methods used to withdraw or recall (M) Methods and responsibility for notifying
product shall be documented and implemented. The customer and other essential bodies are not
procedure shall: documented
i. Identify those responsible for initiating, managing and (M) SQFI was not notified of a product recall
investigating a product withdrawal or recall;
ii. Describe the management procedures to be implemented
including sources of legal and expert advice; and
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. SQFI and the certification body shall be listed as an
essential body and notified in instances of a food safety
incident of a public nature
, or product recall for any reason.

2.6.3.2 Product Withdrawal and Recall (2D, 3D) (M) Investigation shall be undertaken to determine the root (m) Documentation from investigations and
cause of a withdrawal or recall and details of investigations action taken has not been documented
and any action taken shall be documented.
 Clause Item
2.6.3.3 Product Withdrawal and Recall (2D, 3D) (M) The product withdrawal and recall system shall be reviewed, (m) Recall system has not been tested at
tested and verified as effective at least annually. least annually
2.7.1.1 Food Defense (1D, 2D, 3D) (M) The methods, responsibility and criteria for preventing food
adulteration caused by a deliberate act of sabotage or
terrorist-like incident shall be documented, implemented
and maintained.
2.7.1.2 Food Defense (2D, 3D) (M) A food defense protocol shall be prepared and include: The
name of the senior management person responsible for
food defense; The methods implemented to ensure only
authorized personnel have access to crops, production
equipment and vehicles, manufacturing and storage areas
through designated access points; The methods
implemented to protect sensitive processing points from
intentional adulteration; The measures taken to ensure the
secure storage of raw materials, packaging, equipment and
hazardous chemicals; The measures implemented to ensure
harvested crop and/or finished product is held under secure
storage and transportation conditions; and The methods
implemented to record and control access to the premises
by employees, contractors, and visitors.
2.8.1.1 General Requirements for Identity Preserved Foods (3D) The methods and responsibility for the identification and
processing of Kosher, HALAL, organic, Genetically Modified
Organisms (GMO) food and other products requiring the
preservation of their identity preserved status shall be
documented and implemented.
2.8.1.2 General Requirements for Identity Preserved Foods (3D) Identification shall include a statement of the product’s
identity preserved status of all ingredients, including
additives, preservatives, processing aids and flavorings.
2.8.1.3 General Requirements for Identity Preserved Foods (3D) Raw material and ingredient specifications to identity
preserved foods shall include requirements for their
handling, transport, storage and delivery prior to use.
2.8.1.8 General Requirements for Identity Preserved Foods (3D) Customer requirements concerning identity preserved foods (m) Customer requirements are not
shall be included in the finished product specification
described in 2.3.5, or label register, and implemented by the
supplier.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No responsibility for food defense have
been assigned
(m) No methods for food defense have been
developed
(m) No methods to ensure only authorized
vehicles have access
(m) No methods to identify authorized
personal who have access
(m) No methods identified to secure
hazardous chemicals
(m) No methods identified to secure
packaging and harvesting equipment
(m) No methods identified to protect crop
from intention adulteration
(m) No measure taken to secure storage
areas for harvested crops
(m) No methods in place to record visitors or
contractors to the facility
(m) No methods in place to record access of
employees to the premises
(m) No responsibility assigned for program of
foods requiring preservation of their identity
(M) No methods developed for foods
requiring preservation of their identity
(m) No statement of the product's identify
(m) Requirements are not developed
included in the finished product specification
 Clause Item
2.8.2.1 Allergen Management (2D, 3D) The responsibility and methods used to control allergens
and to prevent sources of allergens from contaminating
product shall be documented and implemented. The
allergen management program shall include the hazards
associated with allergens and their control incorporated into
the food safety plan, include cleaning and sanitation of
product contact surfaces between line changeovers shall be
effective, appropriate to the risk and legal requirements,
and sufficient to remove all potential target allergens from
product contact surfaces, including aerosols as appropriate,
to prevent cross contact.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No methods to control allergens
developed
(M) Methods developed to control allergens
are not sufficient
(M) No risk assessment for raw materials
containing allergens have been conducted
(m) Not all ingredients with allergens
included in risk assessment
(m) No list of ingredients with allergens has
been developed
(M) Controls for the allergens identified in
risk assessment not included in food safety
plan
(M) Controls are not developed to
segregated products with allergen causing
agents
(M) Cleaning of equipment containing
allergens is not verified prior to product
changeover
(m) Verification of sanitation effectiveness is
not implemented
(M) Equipment segregation for allergen
control is not conducted

2.9.2.1 Training Program (3D) (M)
An employee training program shall be documented and
implemented. It shall outline the necessary competencies
for specific duties and the training methods to be applied for
those staff carrying out tasks associated with: Developing
and applying Good Agricultural Practices, Good Aquaculture
Practices, or Good Manufacturing Practices (as appropriate).
Applying food regulatory requirements; Steps identified by
the hazard analysis and other instructions as critical to
effective implementation of the food safety plan and the
maintenance of food safety; Steps identified as critical to
effective implementation of the food quality plan and the
maintenance of food quality; and Tasks identified as critical
to meeting the effective implementation and maintenance
of the SQF System.
(m) Employee training program does not
include good manufacturing/ agricultural
practices (as appropriate)
(m) Employee training program does not
include pre-requisite programs
(m) Employee training program does not
include food regulatory requirements
(m) Employee training program does not
include hazard analysis
(m) Employee training program does not
include maintenance of food safety plan
(m) Employee training program does not
include customer specifications

2.9.6.1 Refresher Training (1D, 2D, 3D)
The training program shall include provision for identifying
and implementing the refresher training needs of the
organization.
(m) Training program does not define
refresher training requirement
(m) Training program does not identify
means for achieving refresher training
requirement

2.9.7.1 Training Skills Register (2D, 3D)
A training skills register describing who has been trained in
relevant skills shall be maintained. The register shall
indicate the participant name, skills description, description
of the training provided, date training completed, the trainer
or training provider, and the supervisor’s verification the
training was completed and that the trainee is competent to
complete the required tasks.
(m) Training skills register does not include
participant name
(m) Training skills register does not include
skills description
(m) Training skills register does not include
description of training provided
(m) Training skills register does not include
date of the training
(m) Training skills register does not include
trainer or training provider
(m) Training skills register does not include
supervisor verification that training was
effective

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
 Clause Item Secondary responses Primary Response Evidence Supplier Onsite Correction
3.2.9.1 Premises and Equipment The methods and responsibility for the maintenance and repair of
Maintenance (D) plant, equipment and buildings shall be documented, planned and
carried out in a manner that minimizes the risk of product,
packaging or equipment contamination.

3.2.10.1 Calibration (D)
The methods and responsibility for the calibration and re-
calibration of measuring, test and inspection equipment used for
monitoring activities outlined in pre-requisite program, feed safety
plans and feed quality plans and other process controls, or to
demonstrate compliance with customer specifications shall be
documented and implemented.

3.2.10.2 Calibration (D) Procedures shall be documented and implemented to address the
disposition of potentially affected products should measuring, test
and inspection equipment be found to be out of calibration state.

3.2.10.4 Calibration (D) Equipment shall be calibrated against national or international

reference standards and methods or to accuracy appropriate to its
use. In cases where standards are not available, the supplier shall
provide evidence to support the calibration reference method
applied.

3.2.11.1 Management of Pests and Vermin(D) The methods and responsibility for integrated pest management
shall be documented and effectively implemented. The premises,
its surrounding areas, storage facilities, machinery and equipment
shall be kept free of waste or accumulated debris so as not to
attract pests and vermin.

3.2.11.2 Management of Pests and Vermin The pest and vermin management program shall:
(D) Describe the methods and responsibility for the development,
implementation and maintenance of the pest and vermin
management program;
Identify the target pests for each pesticide application;
Outline the methods used to prevent pest problems;
Outline the pest elimination methods;
Outline the frequency with which pest status is to be checked;
Include on a site map the identification, location, number and type
of bait stations set;
List the chemicals used (they are required to be approved by the
relevant authority and their Safety Data Sheets (SDS) made
available);
Outline the methods used to make staff aware of the bait control
program and the measures to take when they come in contact with
a bait station;
Outline the requirements for staff awareness and training in the
use of pest and vermin control chemicals and baits; and
Measure the effectiveness of the program to verify the elimination
of applicable pests.
 Clause
3.2.13.1 Cleaning and Sanitation (D)
3.2.13.4 Cleaning and Sanitation (D)
3.4.2.2 Product Formulation (D)
3.7.4.1 Control of Foreign Matter ContaminatioThe responsibility and methods used to prevent foreign matter
3.7.5.1 Detection of Foreign Objects (D)
Item Secondary responses Primary Response Evidence Supplier Onsite Correction
The methods and responsibility for the cleaning of feed handling
and processing equipment and environment, storage areas, staff
amenities and toilet facilities shall be documented and
implemented. Consideration shall be given to:
What is to be cleaned;
How it is to be cleaned;
When it is to be cleaned;
Who is responsible for the cleaning;
Methods used to confirm the correct concentrations of detergents
and sanitizers, and
The responsibility and methods used to verify the effectiveness of
the cleaning and sanitation program.
The responsibility and methods used to verify the effectiveness of
the cleaning procedures shall be documented and implemented. A
verification schedule shall be prepared.
Procedures shall be documented and implemented to ensure that
feed is manufactured to approved product formulations, and uses
only materials and ingredients that are fit for purpose. Attention
shall be paid to assuring raw materials prohibited from use in the
manufacture of animal feed are not introduced into the product.
contamination of the feed shall be documented, implemented and
communicated to all staff.
The responsibility, methods and frequency for monitoring,
maintaining, calibrating and using screens, sieves, filters or other
technologies to remove or detect foreign matter shall be
documented and implemented.

Clause
4.2.9.1 Premises and Equipment Maintenance (D)
Secondary
Item responses Primary Response Evidence Supplier Onsite Correction
The methods and responsibility for the
maintenance and repair of plant, equipment and
buildings shall be documented, planned and
carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.

4.2.10.1 Calibration (D) The methods and responsibility for the calibration
and re-calibration of measuring, test and
inspection equipment used for monitoring
activities outlined in pre-requisite program, pet
food safety plans and pet food quality plans and
other process controls, or to demonstrate
compliance with customer specifications shall be
documented and implemented.

4.2.10.2 Calibration (D) Procedures shall be documented and implemented

to address the disposition of potentially affected
products should measuring, test and inspection
equipment be found to be out of calibration state.

4.2.10.4 Calibration (D) Equipment shall be calibrated against national or

international reference standards and methods or
to accuracy appropriate to its use. In cases where
standards are not available, the supplier shall
provide evidence to support the calibration
reference method applied.

4.2.10.5 Calibration (D) Calibration shall be performed according to

regulatory requirements and/or to the equipment
manufacturers recommended schedule.

4.2.11.1 Management of Pests and Vermin (D)
The methods and responsibility for integrated pest
management shall be documented and effectively
implemented. The premises, its surrounding areas,
storage facilities, machinery and equipment shall
be kept free of waste or accumulated debris so as
not to attract pests and vermin.

Clause
4.2.11.2 Management of Pests and Vermin (D)
4.2.11.3 Management of Pests and Vermin (D)
4.2.13.1 Cleaning and Sanitation (D)
4.2.13.5 Cleaning and Sanitation (D)
Secondary
Item responses Primary Response Evidence Supplier Onsite Correction
The pest and vermin management program shall:
Describe the methods and responsibility for the
development, implementation and maintenance of
the pest and vermin management program;
Identify the target pests for each pesticide
application;
Outline the methods used to prevent pest
problems;
Outline the pest elimination methods;
Outline the frequency with which pest status is to
be checked;
Include on a site map the identification, location,
number and type of bait stations set;
List the chemicals used (they are required to be
approved by the relevant authority and their Safety
Data Sheets, SDS, made available);
Outline the methods used to make staff aware of
the bait control program and the measures to take
when they come in contact with a bait station;
Outline the requirements for staff awareness and
training in the use of pest and vermin control
chemicals and baits; and
Measure the effectiveness of the program to verify
the elimination of applicable pests.
Inspections for pest activity shall be undertaken on
a regular basis by trained personnel and the
appropriate action taken if pests are present.
The methods and responsibility for the cleaning of
the pet food handling and processing equipment
and environment, storage areas, staff amenities
and toilet facilities shall be documented and
implemented. Consideration shall be given to:
What is to be cleaned;
How it is to be cleaned;
When it is to be cleaned;
Who is responsible for the cleaning;
Methods used to confirm the correct
concentrations of detergents and sanitizers, and
The responsibility and methods used to verify the
effectiveness of the cleaning and sanitation
program.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
 Secondary
Clause Item responses Primary Response Evidence Supplier Onsite Correction
4.4.1.2 Staff Engaged in Pet food Handling and In circumstances where it is necessary to
Processing Operations (D) undertake sensory evaluations in a pet food
handling/contact zone the staff shall implement
proper controls and procedures to ensure:
Pet food safety is not compromised;
Sensory evaluations are conducted by authorized
personnel;
4.4.1.3 Staff Engaged in Pet food Handling and All hoses
A high shall beofstored
standard on hose
personal racks
hygiene after use by
is practiced
Processing Operations (D) and not leftconducting
personnel on the floor.
sensory evaluations;
Sensory evaluations are conducted in areas
equipped for the purpose; and
Equipment used for sensory evaluations is
sanitized, maintained and stored separate from
4.4.2.2 Product Formulation (D) processing
Proceduresequipment.
shall be documented and implemented
to ensure that pet food is manufactured to
approved product formulations, and uses only
materials and ingredients that are fit for purpose.

4.7.5.1 Control of Foreign Matter Contamination (D) The responsibility and methods used to prevent
foreign matter contamination of the product shall
be documented, implemented and communicated
to all staff.

4.7.6.1 Detection of Foreign Objects (D)
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.
 Secondary
Clause Item responses Primary Response Evidence Supplier Onsite Correction

0
0
0
0
0
0
0
 Clause
5.1.1.2 Property Location (D)
5.2.7.5 Vehicles, Equipment and Utensils (D)
5.2.8.1 Maintenance Protocol (D)
5.2.9.1 Calibration of Equipment (D)
5.2.10.1 Pest and Vermin Management (D)
5.2.10.2 Pest and Vermin Management (D)
5.2.11.1 Animal Control (D)
5.2.11.2 Animal Control (D)
5.2.12.1 Cleaning and Sanitation (D)
5.3.1.1 Personnel Practices (D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
A soil map shall be prepared and risk assessment conducted (M) Risk assessment has not been conducted
to evaluate and document the risk to forage or livestock (M) Analysis of the hazards associated with the farm/ranch or plot
associated with prior land use, adjacent land use, and other location has not been done
environmental factors including structures and equipment. (m) History of land use not considered
Consideration shall be given to history of land use, (m) Topography not considered
topography, adjacent land use, other factors that may (m) Adjacent land use not considered
impact on the ability to supply safe products. (m) Other factors that may impact on the ability of the Producer to
supply safe product not considered
A documented procedure regarding the inspection of forage (m) Procedure does not include the type and construction
harvest containers and pallets shall be implemented. The (m) Procedure does not include packaging materials
procedure shall include the type and construction of harvest
containers and packing materials.
The methods and responsibility for maintenance of (M) Lubricants used on or near product contact equipment is not
equipment and buildings shall be planned, scheduled and food grade
carried out in a manner that prevents any risk of (m) Excessive lubrication is observed on the equipment
contamination of products or equipment. (m) Lubricant used is made out of allergenic ingredients that is not
identified in the allergen management program
The methods and responsibility for the calibration of (M) Calibration methods are not documented
application, measuring, test and inspection equipment used (m) Responsibility for calibration methods are not documented
for feed application, chemical application, and veterinary
medicines shall be documented and implemented.
The methods for controlling pest and vermin infestation on (M) There is no documented program outlining how to control pest
the site or facilities shall be documented and implemented. and vermin
The property, animal housing facilities, storage facilities,
machinery and equipment shall be kept free of waste or
accumulated debris so as not to attract pests and vermin.
The pest and vermin management program shall describe (M) The program does not describe the methods and responsibility
the methods and responsibility for the development, for the maintenance of the program
implementation and maintenance of the pest and vermin (m) The program does not identify the target pests for each
management program, identify the target pests for each pesticide application
pesticide application, outline the methods used to prevent (m) The program does not outline preventive methods
pest problems, outline the methods used to eliminate pests (m) The program does not outline the frequency
when found, and outline the frequency with which pest (m) The program does not include a site identification map
status is to be checked, include on a site map the (m) The program does not list the chemicals
identification, location, number and type of bait stations set,
outline the methods used to make employees aware of the
bait control program and the measures to take when they
come in contact with a bait station, outline the requirements
for employee awareness and training in the use of pest and
vermin control chemicals and baits.
The operation shall have a written risk assessment on animal (M) There is no written risk assessment for animal activity
activity in and around the production of feed or food crops (m) The risk assessment has not been monitored
that has been implemented and monitored.
Measures shall be in place to exclude domestic and wild (m) There are no measures in place to exclude wild and domestic
animals from feed cultivation and from production animals. animals
The methods and responsibility for the cleaning of animal (M) There is no documented cleaning methods
housing, pens, yards, lairages, feed contact equipment, (m) There is no responsibility for cleaning protocol
animal health equipment, and sanitary facilities shall be (m) Documented protocol is incomplete
documented and implemented. Consideration shall be given
to what is to be cleaned, when it is to be cleaned, who is
responsible for the evaluation of cleaning, indicating who is
responsible for completing the verification activities.
Personnel engaged in the handling of livestock and (M) Personnel engaged in product handling is not observing
feedstuffs shall observe appropriate personal practices. appropriate personal practices
Corrective actions shall be implemented for personnel who (m) Corrective actions were not taken for employees that violated
violate food safety practices. food safety practices
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
5.3.1.3 Personnel Practices (D) A medical screening procedure shall be in place for all (M) Medical screening procedure is not in place
employees, and will also be applicable to all visitors and (M) Medical screening does not include visitors and contractors
contractors.

5.3.1.4 Personnel Practices (D) A written policy shall be in place that specifies the (M) No written procedure in place
procedures for handling livestock feed, and feed contact
surfaces that have been in contact with blood or other
bodily fluids.

5.4.1.1 Field Handling Practices (D)
Appropriate personnel practices shall be employed by field
packing employees which include: aprons and gloves shall be
kept clean, aprons and gloves shall not be left on products,
work surfaces, equipment or packaging material but hung on
apron and glove racks provided, all products and packaging
material shall be kept off the ground and the floor of the
transport vehicle, waste shall be contained in the bins
identified for this purpose. Waste shall not come in contact
with livestock or feed and be removed on a regular basis and
not left to accumulate.
(m) Evidence of fingernail polish being worn where product is
handled with bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work surfaces, equipment or
packaging surfaces
(m) Gloves are left on product, work surfaces, equipment or
packaging surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the ground
(M) Waste is not contained in the bins identified for this purpose
(M) Waste is not removed on a regular basis(M) Waste is left to
accumulate
(m) No provision made for the storage of personal belongings away
from field packing operations

5.4.1.2 Field Handling Practices (D) Measures shall be implemented to prevent cross- (M) No measures in place to prevent cross-contamination
contamination of livestock or feed product from chemicals,
oils and lubricants, and /or personnel.

5.4.2.1 Animal Husbandry Practices (D)
The producer shall apply good animal husbandry practices (M) Good animal husbandry practices are not applied for the type
for the type of animal under their care and shall ensure that of animal
the basic needs of animals, whether held under an extensive (M) Practices do not ensure the basic needs of the animal
grazing, close confinement or intensive housing conditions,
are maintained.

5.4.2.3 Animal Husbandry Practices (D)
A written procedure regarding the handling of livestock shall
be implemented and maintained. The policy shall assure that
employees handling livestock ensure that animals have an
adequate source of clean feed and uncontaminated water at
all times, are herded and housed in such a way as to avoid
damage or stress to the animals, manure and contaminated
yard water is regularly removed and stored, diseased or
medicated animals are segregated from healthy animals,
personnel dealing with or treating diseased animals do not
come into contact with healthy animals.
(M) No written procedure in place
(m) Policy does not include methods for recognizing the early signs
of distress
(m) Policy does not include methods for recognizing the early signs
of disease
(m) Policy does not include methods that stress to animals is
minimized

5.5.1.2 Water for Livestock Production (D)
The producer shall conduct an analysis of the hazards to the (M) No analysis of the hazards to the water supply was conducted
water supply from source through to application, establish (m) Acceptance criteria was not determined
acceptance criteria for the monitoring of water and validate
and verify the integrity of the water used to ensure it is fit
for the purpose.
 Clause
5.5.3.1 Water Management Plan (D)
5.7.2.1 Application of Animal Medicines (D)
5.7.3.2 Feed Management Plan (D)
5.7.4.2 Soil Amendment (D)
Item
Water used for livestock production, mixing feeds, cleaning
feed and veterinary equipment, and mixing sanitizer
solutions shall comply with potable water microbiological
and chemical standards in the country of production.
Separate criteria shall be established for irrigation and other
agricultural water, as applicable, based on the hazard
analysis and any application legislation, if applicable. The
water management plan shall include the following:
preventive controls, monitoring and verification procedures,
corrective actions, documentation,
An animal health plan indicating the use of a vaccine or
medication for a target disease shall be prepared and
implemented. All vaccines and medicines must be used in
accordance to label instructions, including withholding
periods.
The producer shall implement a feed management plan to
maintain the safety and integrity of all animal feed, whether
purchased, or produced on site. Animal feed shall meet
regulatory requirements and be managed to minimize the
potential for microbiological or chemical contamination.
The feed management plan shall include the following:
monitoring and verification procedures, preventive controls,
corrective actions, documentation, Feed quality shall be
tested to verify that it complies with the established
microbiological and chemical standard or criteria. Feed
analysis shall be undertaken by an approved laboratory
accredited to ISO 17025 or equivalent.
Soil amendment protocol shall outline the methods used to
treat manure and other untreated organic fertilizers
ensuring: The treatment methods applied inactivate
pathogens in organic soil amendments; A hazard analysis of
organic soil amendments treatment methods is conducted
before use; Treatment methods are validated and
treatments of organic soil amendments are verified as being
in compliance with the method applied; Records of the
validation and verification of organic soil amendment
treatments are maintained.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Water used for livestock production, mixing sanitizer solutions
does not comply with potable water microbiological standards
(m) Water used for cleaning food contact surfaces does not comply
with potable water microbiological standards
(M) Water used for mixing sanitizer solutions does not comply with
potable water microbiological standards
(m) No separate criteria has been established
(m) Criteria was not established based on a hazard analysis or best
practices
(M) Water used for washing and treating product does not comply
with potable water microbiological standards
(M) Water used for cleaning food contact surfaces does not comply
with potable water microbiological standards
(M) Water used for mixing sanitizer solutions does not comply with
potable water microbiological standards
(M) There is no animal health plan prepared
(M) There is no animal health plan implemented
(m) Plan does not indicate the vaccine or medication used for a
target disease
(m) Off label use of medications is not been approved by a
registered veterinarian
(M) No feed management plan in place
(M) Feed does not meet regulatory requirements
(m) Feed management plan does not include preventive controls
(m) Feed management plan does not include corrective actions
(m) Feed management plan does not include documentation
(m) Feed quality is not tested
(m) Testing is not undertaken by an ISO 17025 laboratory
#VALUE!
(M) Soil amendment protocol does not outline the methods used to
treat manure
(M) Soil amendment protocol does not outline the methods used to
treat untreated organic fertilizers
(M) Treatment methods applied do not inactivate pathogens in
organic soil amendments
(M) No hazard analysis of organic soil amendments treatment
methods is conducted before use
(M) Treatment methods are not validated
(M) Treatments of organic soil amendments are not verified
(m) Validation records not maintained
(m) Verification records not maintained
 Clause
5.7.4.3 Soil Amendment (D)
5.9.1.2 Dry, Liquid Waste Disposal (D)
Item
Soil amendment protocol shall outline the methods to
ensure organic soil amendment applications are timed to
pose minimum risk to product safety and human health
including: all applications of soil amendments are in
accordance with national or local guidelines, best practices
and codes of Good Agricultural Practices, equipment used
for soil amendment application is maintained in good
condition and calibrated to ensure accurate application,
records of all equipment maintenance and calibration are
maintained, signage complies with national & local codes of
practice, sufficient data is recorded to provide a detailed
record of soil amendment applications.
The responsibility and methods for the effective and efficient (M) Methods for disposal of solid was is not documented
disposal of all solid waste including inedible material and
disused packaging, and liquid and unsanitary waste shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Application methods are not timed to pose minimum risk to
product safety
(M) Application methods are not timed to pose minimum risk to
human health
(M) Applications of soil amendments are not in accordance with
National or Local Guidelines and Codes of Good Agricultural
Practice
(m) Equipment used for soil amendment application is not
maintained in good condition
(m) Equipment used for soil amendment application is not
calibrated to ensure accurate application
(m) Records of all equipment maintenance are not maintained
(m) Records of all equipment calibration are not maintained
(m) Signage does not comply with National & Local Codes of
Practice
(m) Sufficient data is not recorded to provide a detailed record of
soil amendment applications
 Clause Item
6.1.1.3 Aquaculture Sites (D) A risk assessment shall be conducted to evaluate and
document the risk to products associated with prior land
use, adjacent land use, and other environmental factors
including structures and equipment. Consideration shall be
given to the following: history of land use, topography,
adjacent land use, soil permeability, and other factors that
may impact the ability to supply safe products.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Risk assessment has not been conducted
(M) Analysis of the hazards associated with the farm/ranch or plot
location has not been done
(m) History of land use not considered
(m) Topography not considered
(m) Adjacent land use not considered
(m) Soil permeability has not been considered
(m) Other factors that may impact on the ability of the Producer to
supply safe product not considered

6.2.5.1 Maintenance Protocol (D) The methods and responsibility for maintenance of (M) Lubricants used on or near product contact equipment is not
vessels, equipment and buildings shall be planned, food grade
scheduled and carried out in a manner that prevents any (m) Lubricant used is made out of allergenic ingredients that is not
risk of contamination of products or equipment. identified in the allergen management program

6.2.6.1 Calibration of Equipment (D)
The methods and responsibility for the calibration and re- (M) Calibration methods are not documented
calibration of application, measuring, test and inspection (m) Responsibility for calibration methods are not documented
equipment used for measuring and monitoring feed (M) Calibration activities are not taken
application, chemical application, and veterinary medicines
shall be documented and implemented.

6.2.7.1 Pest and Vermin Management (D)
The methods for controlling pest and vermin infestation on (M) There is no documented program outlining how to control pest
the vessel, site or facilities shall be documented and and vermin
implemented. The property, storage facilities, machinery
and equipment shall be kept free of waste or accumulated
debris so as not to attract pests and vermin.

6.2.7.2 Pest and Vermin Management (D)
The pest and vermin management program shall describe (M) The program does not describe the methods and responsibility
the methods and responsibility for the development, for the maintenance of the program
implementation and maintenance of the pest and vermin (m) The program does not identify the target pests for each
management program, identify the target pests for each pesticide application
pesticide application, outline the methods used to prevent (m) The program does not outline preventive methods
pest problems, outline the methods used to eliminate (m) The program does not outline the frequency
pests when found, outline the frequency with which pest (m) The program does not include a site identification map
status is to be checked, include on a site map the (m) The program does not list the chemicals
identification, location, number and type of bait stations (m) Employees are not aware of bait control program
set, list the chemicals used (they are required to be
approved by the relevant authority and their Safety Data
Sheets (SDS) made available), outline the methods used to
make employees aware of the bait control program and
the measures to take when they come in contact with a
bait station, outline the requirements for employees'
awareness and training in the use of pest and vermin
control chemicals and baits.

6.2.8.1 Animal Control (D) The operation shall have a written risk assessment on (M) There is no written risk assessment for animal activity
animal activity in and around the production of feed, living (m) The risk assessment has not been monitored
stock, or wild catch that has been implemented and
monitored.

6.2.9.1 Cleaning and Sanitation (D)
The methods and responsibility for the cleaning of vessels, (M) There is no documented cleaning methods
containers, fish contact equipment, animal health (m) There is no responsibility for cleaning protocol
equipment, and sanitary facilities shall be documented and (m) Documented protocol is incomplete
implemented. Consideration shall be given to what is to
be cleaned, how it is to be cleaned, when it is to be
cleaned, who is responsible for the cleaning. who is
responsible for the evaluation of the cleaning.

6.3.1.3 Personnel Practices (D) A medical screening procedure shall be in place for all (M) Medical screening procedure is not in place
employees, and will also be applicable to all visitors and (M) Medical screening does not include visitors and contractors
contractors.

6.3.1.5 Personnel Practices (D) A written policy shall be in place that specifies the (M) No written procedure in place
procedures for handling living stock, wild catch, feed and
product contact surfaces.
 Clause
6.4.1.1 Product Handling Practices (D)
6.4.2.3 Aquaculture Practices (D)
6.5.1.1 Water for Aquaculture (D)
6.5.1.3 Water for Aquaculture (D)
6.5.5.1 Water/Ice used In Cleaning, Storage, and Standard Operating Procedures (SOPs) shall be developed (M) No SOPs developed
Transport (D)
6.6.3.1 Transport (D)
6.7.2.1 Application of Aquaculture Medicines (D) A plan indicating the use of a medication for a target
Item
Appropriate personnel practices shall be employed by
employees working in feed handling, living stock or wild
catch areas which include: aprons and gloves shall be kept
clean, aprons and gloves shall not be left on product, work
surfaces, equipment or packaging material but hung on
apron and glove racks provided, all product and packaging
material shall be kept off the ground and the floor of the
vessel, holding area or transport vehicle, all product and
packaging material shall be kept off the ground and the
floor of the vessel, holding area or transport vehicle, waste
shall be contained in the bins identified for this purpose.
Waste shall not come in contact with product and be
removed on a regular basis and not left to accumulate.
A written procedure regarding the handling of living stock
shall be implemented and maintained. The policy shall
assure that employees handling living stock ensure that:
Living stock has an adequate source of clean feed and
uncontaminated water at all times; Measures to inspect
for physical hazards and procedures to remove physical
hazards are in place; Diseased or medicated stock is
segregated from healthy living stock; Personnel dealing
with or treating diseased stock do not come into contact
with healthy stock staff is not trained to handle animals
Water for production of living stock shall be drawn from a (C) Water is not from a clean source
known clean source or treated to make it suitable for use.
The producer shall conduct an analysis of the hazards to
the water supply from source through to application,
establish acceptance criteria for the monitoring of water
and validate and verify the integrity of the water used to
ensure it is fit for the purpose.
for all uses of water during wild catch, cleaning, and ice
production. The SOPs shall address the microbial quality
of water or ice that directly contacts the product, is used
on product contact surfaces, treatment of re-circulated
water, if used, condition and maintenance of water-
delivery system, control of wash water temperature.
The practices applied during loading, transport and
unloading of harvested stock shall be documented and
implemented.
disease shall be prepared and implemented. All vaccines
and medicines must be used in accordance to label
instructions, including withholding periods.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Evidence of fingernail polish being worn where product is
handled with bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work surfaces, equipment or
packaging surfaces
(m) Gloves are left on product, work surfaces, equipment or
packaging surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the ground
(M) Waste is not contained in the bins identified for this purpose
(M) Waste is not removed on a regular basis
(M) Waste is left to accumulate
(m) No provision made for the storage of personal belongings away
from field packing operations
(M) No policy to handle animals
(m) Policy does not include methods to recognize the early signs of
distress
(m) Policy does not include methods to recognize the early signs of
disease
(m) Policy does not include methods to ensure stress to animals is
minimized
(M) Water supply is not drawn from a known clean source
(C) Water supply not treated to make it suitable for use
(M) No analysis of the hazards to the water supply from source
through to application has been conducted
(M) Integrity of water used has not been validated
(M) Integrity of water used has not been verified
(m) Practices applied during loading not documented
(m) Practices applied during loading, transport and unloading of
animals is not documented to maintain appropriate storage
conditions and product integrity
(m) Practices applied during loading, transport and unloading of
crops is not documented to maintain appropriate storage conditions
and product integrity
(M) There is no animal health plan prepared
(m) Plan does not indicate the vaccine or medication used for a
target disease
(m) Off label use of medications is not been approved by a
registered veterinarian
 Clause
6.7.3.2 Feed Management Plan (D)
6.9.1.2 Dry Waste Disposal (D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The producer shall implement a feed management plan to (M) No feed management plan n place
maintain the safety and integrity of all aquaculture feed, (M) Feed does not meet regulatory requirements
whether purchased, or produced on site. Aquaculture (m) Feed management plan does not include preventive controls
feed shall meet regulatory requirements and be managed (m) Feed management plan does not include corrective actions
to minimize the potential for microbiological or chemical (m) Feed management plan does not include documentation
contamination. The feed management plan shall include (m) Feed quality is not tested
the following: preventive controls, corrective actions, (m) Testing is not undertaken by an ISO 17025 laboratory
monitoring and verification procedures, corrective actions,
documentation, Feed quality shall be tested to verify that
it complies with the established microbiological and
chemical standard or criteria. Feed analysis shall be
undertaken by an approved laboratory accredited to ISO
17025 or equivalent.
The responsibility and methods for the effective and (M) No documented plan for the methods to dispose of waste
efficient disposal of all solid waste including inedible
material and disused packaging, and liquid and unsanitary
waste shall be documented and implemented.
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
7.1.1.1 Property Location (D) The farm and facilities shall be such that adjacent and adjoining (m) Adjacent and adjoining buildings interfere with
buildings, operations and land use do not interfere with the the safe and hygienic operations on the property
safe and hygienic operations on the property. (m) Adjacent operations interfere with the safe
and hygienic operations on the property
(m) Adjacent land use interferes with the safe and
hygienic operations on the property
(m) Analysis of the hazards associated with the
farm/ranch or plot location has not been done

7.2.2.2 Glasshouses, Hydroponics (D) A procedure for handling of glass or hard plastic breakages in (m) Glasshouses are not included in the glass/
glasshouses shall be documented and implemented (refer also hard plastic procedure
7.8.2). (m) Incidents were not documented

7.2.6.3 Vehicles, Equipment and Utensils (D)
7.2.7.1 Maintenance Protocol (D)
A documented procedure regarding the inspection of food
contact harvest containers and pallets shall be implemented.
The procedure shall include the type and construction of
harvest containers and packing materials.
The methods and responsibility for maintenance of equipment
and buildings shall be planned, scheduled and carried out in a
manner that prevents any risk of contamination of product or
equipment.
(M) No documented procedure for inspecting
harvest containers and pallets
(m) Procedure does not include the type and
construction
(m) Procedure does not include packaging
materials
(M) Lubricants used on or near product contact
equipment is not food grade
(m) Excessive lubrication is observed on the
equipment
(m) Lubricant used is made out of allergenic
ingredients that is not identified in the allergen
management program

7.2.8.1 Calibration of Equipment (D)
The methods and responsibility for the calibration and re-
calibration of chemical application, measuring, test and
inspection equipment used for monitoring pre-requisite
program and other process controls shall be documented and
implemented.
(M) Calibration methods are not documented
(m) Responsibility for calibration methods are not
documented
(M) Calibration activities are not taken

7.2.9.1 Pest and Vermin Management (D)
The methods for controlling pest and vermin infestation on the (M) There is no documented program outlining
site or facilities shall be documented and implemented. The how to control pest and vermin
property, storage facilities, machinery and equipment shall be
kept free of waste or accumulated debris so as not to attract
pests and vermin.

7.2.9.2 Pest and Vermin Management (D)
The pest and vermin management program shall describe the
methods and responsibility for the development,
implementation and maintenance of the pest and vermin
management program, identify the target pests for each
pesticide application, outline the methods used to prevent pest
problems, outline the methods used to eliminate pests when
found, outline the frequency with which pest status is to be
checked, include on a site map the identification, location,
number and type of bait stations set, list the chemicals used
(they are required to be approved by the relevant authority
and their Safety Data Sheets (SDS) made available), outline the
methods used to make employees aware of the bait control
program and the measures to take when they come into
contact with a bait station, outline the requirements for
employee awareness and training in the use of pest and vermin
control chemicals and baits.
(M) The program does not describe the methods
and responsibility for the maintenance of the
program
(m) The program does not identify the target
pests for each pesticide application
(m) The program does not outline preventive
methods
(m) The program does not outline the frequency
(m) The program does not include a site
identification map
(m) The program does not list the chemicals
(m) Employees are not aware of bait control
program

7.2.10.1 Animal Control (D) The operation shall have a written risk assessment on animal (M) There is no written risk assessment for animal
activity in and around the production of food or feed crops that activity
has been implemented and monitored. (m) The risk assessment has not been monitored

7.2.11.1 Cleaning and Sanitation (D)
The methods and responsibility for the cleaning of product (M) There is no documented cleaning methods
contact surfaces, field processing equipment and sanitary (m) There is no responsibility for cleaning protocol
facilities shall be documented and implemented. Consideration (m) Documented protocol is incomplete
shall be given to what is to be cleaned, how it is to be cleaned,
when it is to be cleaned, who is responsible for the cleaning,
who is responsible for the evaluation of the cleaning
 Clause
7.3.1.3 Personnel Practices (D)
7.3.1.5 Personnel Practices (D)
7.4.1.2 Field Packing Personal Practices (D)
7.5.1.1 Water System Description (D)
7.5.4.1 Water System Risk Assessment (D)
7.5.8.1 Harvest Assessment Water/Ice (D)
7.5.8.2 Harvest Assessment Water/Ice (D)
7.6.2.1 Transport (D)
7.6.3.1 Transport from Field to Packhouse (D)
7.6.3.2 Transport from Field to Packhouse (D)
Item
A medical screening procedure shall be in place for all
employees, and will also be applicable to all visitors and
contractors.
A written policy shall be in place that specifies the procedures
for handling product or product contact surfaces that have
been in contact with blood or other bodily fluids.
A written policy regarding the handling and field packaging of
produce, specific to the commodity, shall be implemented and
maintained. The policy shall assure that damaged or decayed
produce is not harvested or culled, produce that contacts the
ground shall not be harvested (unless that product typically
contacts the ground), measures to inspect for physical hazards
and procedures to remove physical hazards are in place, cloths,
towels, or other cleaning materials that pose a risk of cross-
contamination shall not be used to wipe produce.
A water description plan shall be prepared that describes the
water sources and the production blocks they serve, and shall
include one or more of the following: maps, photographs,
drawings, or other means to communicate the location of the
water sources, permanent fixtures and the flow of the water
system.
An initial risk assessment shall be performed and documented
that takes into consideration the historical testing results of the
water source, the characteristics of the crop, the stage of the
crop, and the method of application.
Standard Operating Procedures (SOPs) shall be developed for (M) SOPs are not developed
all uses of water during harvesting of food or feed products.
The SOPs shall address the microbial quality of water or ice that
directly contacts the harvested crop, is used on food contact
surfaces or used to deliver agricultural chemicals, treatment of
re-circulated water, if used, the condition and maintenance of
water-delivery system, address the control of wash water
temperature.
An SOP that includes water-change schedules shall be
developed for all uses of water during harvesting.
The practices applied during loading, transport and unloading (m) Practices applied during loading, transport
of crops shall be documented, implemented and designed to and unloading of animals is not implemented to
maintain appropriate storage conditions and product integrity. maintain appropriate storage conditions and
A written procedure and checklist to verify cleanliness and
functionality of shipping units shall be implemented.
Loading and unloading procedures shall include provisions to
minimize damage and prevent contamination to produce.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Medical screening procedure is not in place
(M) Medical screening does not include visitors
and contractors
(M) No written procedure in place
(M) A written policy for handling and field packing
of produce specific to the commodity is not
provided
(M) The written policy was not maintained
(M) Written procedure does not include how to
remove physical hazards
(C) Damaged product or product that contacted
the ground was harvested
(C) Contaminated cloths were used to wipe
produce
(M) No inspection conducted for physical hazards
(M) No water description plan
(m) Water description plan does not include
maps, photographs or drawings of water sources
(m) Permanent fixtures are not identified
(m) Risk assessment is incomplete and does not
take into consideration the historical testing
results
(m) Risk assessment is incomplete and does not
take into consideration the characteristics of the
crop
(m) Risk assessment is incomplete and does not
take into consideration the stage of the crop
(m) Risk assessment is incomplete and does not
take into consideration the method of application
(M) SOPs do not include microbial requirements
(M) SOP does not include water change
schedules
product integrity
(m) Practices applied during loading, transport
and unloading of crops is not implemented to
maintain appropriate storage conditions and
product integrity
(M) Written procedure is not used to verify
cleanliness and functionality
(M) Checklist is not used
(M) There are no loading procedures
(m) Loading practices damage product
 Clause
7.7.2.2 Soil Amendment (D)
7.7.2.3 Soil Amendment (D)
7.7.4.1 Agricultural Chemicals (D)
7.8.1.1 Pre-harvest Assessment (D)
7.8.1.3 Pre-harvest Assessment (D)
7.8.2.1 Foreign Matter and Glass Procedures (D)
7.9.1.2 Dry, Liquid and Unsanitary Waste Disposal (D)
Item
Soil amendment protocol shall outline the methods used to
treat manure and other untreated organic fertilizers ensuring
the treatment methods applied inactivate pathogens in organic
soil amendments, a hazard analysis of organic soil amendments
treatment methods is conducted before use, treatment
methods are validated and treatments of organic soil
amendments are verified as being in compliance with the
method applied, reat manure and other untreated organic
fertilizers ensuring records of the validation and verification of
organic soil amendment treatments are maintained.
Soil amendment protocol shall outline the methods to ensure
organic soil amendment applications are timed to pose
minimum risk to product safety and human health including: all
applications of soil amendments are in accordance with
national or local guidelines, best practices and codes of Good
Agricultural Practice, equipment used for soil amendment
application is maintained in good condition and calibrated to
ensure accurate application, records of all equipment
maintenance and calibration are maintained, signage complies
with national and local codes of practice, sufficient data is
recorded to provide a detailed record of soil amendment
applications.
A crop protection action plan indicating the applications used (M) No crop protection action plan
for a target pest or disease and the threshold levels that initiate (m) Plan does not indicate the applications used
application shall be prepared and implemented.
A pre-harvest risk assessment procedure shall be in place that
describes when the assessments performed and identifies
those conditions that may be reasonably likely to result in
physical, chemical, or biological contamination.
A written policy regarding the storage of harvesting containers (M) No policy in place
shall be implemented and maintained.
The methods used to prevent foreign matter and glass
contamination of product shall be documented and
implemented.
The responsibility and methods for the effective and efficient
disposal of all solid waste including inedible material and
disused packaging, and liquid and unsanitary waste shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Soil amendment protocol does not outline the
methods used to treat manure
(M) Soil amendment protocol does not outline the
methods used to treat untreated organic fertilizers
(M) Treatment methods applied do not inactivate
pathogens in organic soil amendments
(M) No hazard analysis of organic soil
amendments treatment methods is conducted
before use
(M) Treatment methods are not validated
(M) Treatments of organic soil amendments are
not verified
(m) Validation records not maintained
(m) Verification records not maintained
(M) Application methods are not timed to pose
minimum risk to product safety
(M) Application methods are not timed to pose
minimum risk to human health
(M) Applications of soil amendments are not in
accordance with National or Local Guidelines and
Codes of Good Agricultural Practice
(m) Equipment used for soil amendment
application is not maintained in good condition
(m) Equipment used for soil amendment
application is not calibrated to ensure accurate
application
(m) Records of all equipment maintenance are
not maintained
(m) Records of all equipment calibration are not
maintained
(m) Signage does not comply with National &
Local Codes of Practice
(m) Sufficient data is not recorded to provide a
detailed record of soil amendment applications
for a target pest or disease
(m) Threshold levels that initiate application are
not prepared
(m) Plan does not indicate the vaccine or
medication used for a target disease
(M) Crop protection action plan is not
implemented
(M) Pre-harvest risk assessment not conducted
(M) Risk assessment does not identify conditions
likely to result in contamination
(m) Methods used to prevent foreign matter and
glass contamination of product not documented
(M) No documented plan for the methods to
dispose of waste
Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
 Clause
7H.1.1 .1 Field History and Assessment
7H.1.1 .3 Field History and Assessment
7H.1.1 .4 Field History and Assessment
7H.1.1 .5 Field History and Assessment
7H.1.2.1 Cold Storage and Air
7H.1.2.2 Cold Storage and Air
7H.1.2.3 Cold Storage and Air
7H.1.3.1 Toilet/Handwashing Facilities
7H.1.3.2 Toilet/Handwashing Facilities
7H.1.3.3 Toilet/Handwashing Facilities
7H.1.3.4 Toilet/Handwashing Facilities
7H.1.3.5 Toilet/Handwashing Facilities
7H.1.3.6 Toilet/Handwashing Facilities
7H.1.3.7 Toilet/Handwashing Facilities
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The food safety plan shall, initially and at least annually
thereafter, evaluate and document the risks associated with land
use history and adjacent land use including equipment and
structures.
The assessment is re-performed, and documented, at least
annually for environmental conditions or risk awareness that has
changed since the last assessment. The assessment shall include
indoor growing facilities and structures such as green houses and
hydroponics.
For indoor growing and field storage facilities, facility shall be
designed, constructed and maintained in a manner that prevents
contamination of produce
Facility and equipment structures and surfaces (floors, walls,
ceilings, doors, frames, hatches, etc) shall be constructed in a
manner that facilitates cleaning and sanitation and does not serve
as harborage for contaminants or pests.
Chill and cold storage loading dock areas shall be appropriately
sealed, drained and graded. Fixtures, ducts, pipes and overhead
structures shall be installed and maintained so that drips and
condensation do not contaminate produce, raw materials or food
contact surfaces. Water from refrigeration drip pans shall be
drained and disposed of away from product and product contact
surfaces.
Drip pans and drains shall be designed to assure condensate does
not become a source of contamination.
Air intakes shall not be located near potential sources of
contamination.
Operation shall have a policy for toilet, hygiene, and health. Each
operation shall establish written policies for their specific
operations, which shall be compliance with prevailing regulations
for Worker Health and Hygiene Practices.
Employees and visitors shall follow all personal hygiene practices
as designated by the operation.
Operation’s hygiene policies shall apply to all employees,
contractors, visitors, buyers, product inspectors, auditors, and
other personnel in the field.
The operation shall designate competent supervisory personnel to
ensure compliance by all workers, visitors, and field personnel
with the requirements in this section.
Toilet facilities shall be designed, constructed, and located in a
manner that minimizes the potential risk for product
contamination and are directly accessible for servicing.
Toilet and handwashing facilities are situated during operation
and servicing, and maintained so as not to pose a hazard to the
produce or other opportunity for contamination.
Toilet facilities shall be of adequate number, easily accessible to
employees and in compliance with applicable regulation. The
operation will have verification that the number of toilet facilities
and their location relative to employees meets the more stringent
of federal, state or local regulations.
 Clause
7H.1.3.8 Toilet/Handwashing Facilities
7H.1.3.9 Toilet/Handwashing Facilities
7H.1.3.10 Toilet/Handwashing Facilities
7H.2.1.1 Protective Clothing
7H.2.1.2 Protective Clothing
7H.2.1.3 Protective Clothing
7H.2.1.4 Protective Clothing
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Toilet and wash stations shall be maintained in a clean and
sanitary condition. Toilet paper shall be available in toilet facility.
Wash stations shall be located with the field sanitation units and
include:
i. Hand wash facilities with water that meets the microbial
standard for drinking water,
ii. Hand soap, disposable towels or other hand drying device,
iii. Towel disposal container, and
iv. A tank that captures used hand wash water for disposal.
These stations shall be provided inside or adjacent to toilet
facilities.
Personnel shall wash their hands at any time when their hands
may be a source of contamination. Personnel shall wash their
hands: Prior to start of work, After each visit to a toilet, After using
a handkerchief/tissue After handling contaminated material,
After smoking, eating, or drinking, After breaks and prior to
returning to work, and Any other time when their hands may have
become a source of contamination.
Signage requiring handwashing is posted. Signage in applicable
languages and/or pictures shall be provided adjacent to hand
wash facilities requiring people to wash their hands after each
toilet visit.
Clothing, including footwear, shall be effectively maintained and
worn so as to protect product from risk of contamination.
Operation shall have a policy that employee clothing shall be
clean at the start of the day and appropriate for the operation.
If gloves are used, the operation shall have a glove use policy. If
rubber, disposable, cloth or other gloves are used in contact with
product, the operation shall have a glove use policy that specifies
how and when gloves are to be used, cleaned, replaced and
stored. Policy shall be in compliance with current industry
practices or regulatory requirements for that commodity.
Protective clothing, when required, shall be maintained, stored,
laundered and worn so as to protect product from risk of
contamination. If protective clothing is used in proximity to
product, the operation shall have a policy or procedures for how
and when protective clothing are to be used, cleaned, replaced
and stored. Policy shall be in compliance with current industry
practices or regulatory requirements for that commodity.
When appropriate, racks and/or storage containers or designated
storage areas for protective clothing and tools used by employees
shall be provided. When employees wear protective clothing, such
as aprons and gloves, the Operation shall have a policy for how
the clothing and tool shall be stored when not in use so as to
avoid potential contamination.
 Clause
7H.2.2.1 Jewelry and Personnel Effects
7H.2.2.2 Jewelry and Personnel Effects
7H.2.2.3 Jewelry and Personnel Effects
7H.2.2.4 Jewelry and Personnel Effects
7H.2.2.5 Jewelry and Personnel Effects
7H.2.2.6 Jewelry and Personnel Effects
7H.2.2.7 Jewelry and Personnel Effects
7H.2.3.1 Amenities
7H.2.3.2 Amenities
7H.2.3.3 Amenities
7H.2.3.4 Amenities
7H.2.4.1 Personnel Practices
7H.2.4.2 Personnel Practices
7H.2.4.3 Personnel Practices
7H.2.4.4 Personnel Practices
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The wearing of jewelry, body piercing and other loose objects
(e.g. false nails) shall be in compliance to company policy and
applicable regulation. Operation shall have a policy that personal
effects such as jewelry, watches or other items shall not be worn
or brought into fresh fruit and vegetable production areas if they
pose a threat to the safety and suitability of the food. Policy shall
be in compliance with current industry practices or regulatory
requirements for that commodity.
The use of hair coverings shall be in compliance to company policy
and applicable regulation.
The Operation shall have a policy that addresses use of hair
coverings (e.g., hair nets, beard nets, caps), which is in compliance
with prevailing regulation.
Employee’s personal belongings shall be stored in designated
areas. Operation shall have a policy for when and how employee’s
personal belongings shall be stored so as not to be a source of
product contamination.
Smoking, chewing, eating, drinking (other than water), urinating,
defecating or spitting is not permitted in any growing areas.
Operation shall have policy prohibiting smoking, eating, chewing
gum or tobacco, drinking other than water except in designated
areas. Such areas shall be designated so as not to provide a source
of contamination.
Operation shall have policy prohibiting urinating or defecating in
any growing area.
Operation shall have a written policy that break areas are located
so as not to be a source of product contamination.
Break areas shall be designated and located away from food
contact/handling zones and production equipment.
Drinking water shall be available to all field employees. Drinking
water, which meets drinking water standards, shall be easily
accessible to field personnel and in compliance with applicable
regulation.
Bottled water or potable drinking water stations with single-use
cups and a trash receptacle shall be available to all field
employees.
Workers and field personnel who show signs of illness shall be
restricted from direct contact with product of food contact
surfaces. Operation shall have a written policy that restricts
personnel who show signs of illness (e.g., vomiting, jaundice, and
diarrhea) from contact with product or food contact surfaces.
Policy shall require that any person so affected immediately
report illness or symptoms of illness to the management.
Personnel with exposed cuts, sores or lesions shall not be engaged
in handling product.
Minor cuts or abrasions on exposed parts of the body are
acceptable if covered with a non-permeable covering, bandage or
glove. Bandages on hands shall be covered with gloves in
compliance with operation’s glove policy.
Operation shall have a blood and bodily fluids policy. There shall
be a written policy specifying the procedures for the
handling/disposition of food or product contact surfaces that have
been in contact with blood or other bodily fluids.
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
7H.2.5.1 First Aid First aid kits shall be accessible to all personnel. The kits shall be
readily available in the vicinity of field work and maintained in
accordance with prevailing regulation. The kit materials shall be
kept in a sanitary and usable condition.

7H.3.1.1 Agricultural Chemicals/Plant Protection
Products
Use of agricultural chemicals shall comply with label directions
and prevailing regulation. Agricultural chemicals, including post-
harvest chemicals such as biocides, waxes and plant protection
products, must be registered for such use as required by
prevailing regulation, and used in accordance with label directions
including application rates, worker protection standards, personal
protection equipment, container disposal, storage, and all
requirements specified for the chemical or compound.
Records of agricultural use are maintained.

7H.3.1.2 Agricultural Chemicals/Plant Protection
Products
If product is intended for export, agricultural chemical use,
including post-harvest chemicals, shall consider requirements in
the intended country of destination. The operation shall have
procedures, such as pre-harvest interval and application rate,
sufficient to meet the MRL entry requirements of the country (ies)
in which the product is intended to be traded, if known during
production.

7H.3.1.3 Agricultural Chemicals/Plant Protection Agricultural chemicals shall be applied by trained, licensed or
Products certified application personnel, as required by prevailing
regulation.

7H.3.1.4 Agricultural Chemicals/Plant Protection Operation maintains records demonstrating that all personnel
Products responsible for chemical applications are trained and/or licensed
personnel, in compliance with prevailing regulation.

7H.3.1.5 Agricultural Chemicals/Plant Protection
Products
Water used with agricultural chemicals shall not be a source of
product or field contamination. Water used to dilute or deliver
agricultural chemicals shall be from a source in compliance with
the water system risk assessment and water management plan,
consistent with current industry practices or regulatory
requirements for that commodity.

7H.3.1.6 Agricultural Chemicals/Plant Protection
Products
Agricultural chemical disposal shall not be a source of product or
field contamination. Operation shall have procedures for disposal
of waste agricultural chemicals and for cleaning of application
equipment that protects against contamination of product and
growing areas.

7H.3.2.1 Animal Control The operation has a written risk assessment on animal activity in
and around the production area. There shall be a written
assessment of the growing fields and adjacent land, prior to each
growing season, focusing on domestic and wild animal activity
including grazing and feeding operations, noting crop
characteristics, type and approximate number of animals,
proximity to the growing field, water sources, and other relevant
factors.

7H.3.2.2 Animal Control The operation routinely monitors for animal activity in and around
the growing area during the growing season.
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
7H.3.2.3 Animal Control There shall be scheduled monitoring of growing fields and
adjacent land for evidence of animal activity. A frequency of
monitoring and assessment shall be established based on
production factors, such as the crop, geography, and other
conditions.

7H.3.2.4 Animal Control Based on the risk assessment, there shall be measures to prevent
or minimize the potential for contamination from animals,
including domestic animals used in farming operation. The
operation shall have risk-appropriate actions to prevent or
minimize the potential for contamination of produce with
pathogens from animal feces, including from domestic animals
used in farming operations

7H.3.2.5 Animal Control There shall be a written record of any mitigation or corrective
actions. Preventive measures and corrective actions shall comply
with all local, state and federal regulations concerning animal
control and natural resource conservation.

7H.3.3.1 Soil Amendments The food safety plan shall address soil amendment risk,
preparation use, and storage.

7H.3.3.2 Soil Amendments If animal-based soil amendments or bio solids are used, records of
composition, dates of treatment, methods utilized and application
dates must be documented. Evidence of processing adequate to
eliminate pathogens of human concern shall be documented,
such as a Letter of guarantee,
Certificate of analysis (COA) or any test results, or Verification
data (e.g., time and temperature) demonstrating compliance with
process, or Microbial standards.
Such soil amendments must be produced and applied in
accordance with applicable federal, state, or local regulations.

7H.3.3.3 Soil Amendments If a soil amendment containing raw or incompletely treated

manure is used, it shall be used in a manner so as not to serve as a
source of contamination of produce. If such a product is used,
there shall be documentation of the composition, and time and
method of application. Such use will be consistent with current
industry practices or regulatory restrictions for that commodity.

7H.3.4.1 Vehicles, Equipment, Tools and Utensils
Equipment, vehicles, tools utensils and other items or materials
used in farming operations that may contact produce are
identified. Operation maintains a list of equipment, vehicles, tools,
utensils and other items or materials that may pose a risk of
produce contamination during normal use.

7H.3.4.2 Vehicles, Equipment, Tools and Utensils
Equipment, vehicles, tools and utensils used in farming operations
which come into contact with product are in good repair, and are
not a source of contamination of produce. The operation shall
develop, implement, and schedule repair, cleaning, sanitizing,
storage and handling procedures of all food contact surfaces to
reduce and control the potential for contamination. As necessary
for food safety, vehicles and equipment shall be properly
calibrated, operated, maintained, and used as intended.
 Clause
7H.3.4.3 Vehicles, Equipment, Tools and Utensils
7H.3.4.4 Vehicles, Equipment, Tools and Utensils
7H.3.4.5 Vehicles, Equipment, Tools and Utensils
7H.3.4.6 Vehicles, Equipment, Tools and Utensils
7H.3.5.1 Cleaning and Sanitation
7H.3.5.2 Cleaning and Sanitation
7H.3.5.3 Cleaning and Sanitation
7H.3.5.4 Cleaning and Sanitation
7H.4.1.1 Water System Description
7H.4.1.2 Water System Description
7H.4.1.3 Water System Description
7H.4.1.4 Water System Description
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Equipment traffic flow is prevented from traveling through an
untreated manure area into the harvesting field. These
procedures shall be documented.
Product contact tools, utensils and equipment shall be made of
materials that can be cleaned and sanitized. Procedures include
equipment and vehicles that are in the field infrequently.
Vehicles, equipment, tools and utensils shall be controlled so as
not to be A source of chemical hazards, and/or A source of
physical hazards.
Operation shall have a written procedure to address the spills and
leaks (fuel, oil, hydraulic fluids) which might occur during
equipment operation in the field, and/or a glass and brittle plastic
policy that addresses glass on production equipment and in
growing area.
Inspections performed in compliance with the policy shall be
documented.
Cleaning and sanitizing procedures do not pose a risk of product
contamination.
Equipment cleaning and sanitizing operations shall be conducted
away from the product and other equipment to reduce the
potential for contamination.
Water used for cleaning and sanitizing shall meet the microbial
standards for drinking water
Water tanks are cleaned at a sufficient frequency so as not to be a
source of contamination. There shall be a written procedure for
cleaning water tanks, such as those used for dust control, the
water from which may contact produce in the field.
A water system description shall be available for review.
Water sources and the production blocks they may serve shall be
documented and current. The description shall include one or
more of the following: Maps, Photographs, Drawings (hand
drawings are acceptable), or other means to communicate the
location of water sources, Permanent fixtures and the flow of the
water system (including holding systems, reservoirs or any water
captured for re-use). Permanent fixtures include wells, gates,
reservoirs, valves returns and other above ground features that
make up a complete irrigation system shall be documented in
such a manner as to enable location in the field.
The water source shall be in compliance with prevailing
regulations. Agricultural water shall be sourced from a location
and in a manner that is compliant with prevailing regulations.
Agricultural water systems shall not be cross-connected with
human or animal waste systems.
 Clause
7H.4.1.5 Water System Description
7H.4.2.1 Water System Risk Assessment
7H.4.2.2 Water System Risk Assessment
7H.4.3.1 Water Management Plan
7H.4.3.2 Water Management Plan
7H.4.3.3 Water Management Plan
7H.4.3.4 Water Management Plan
7H.4.3.5 Water Management Plan
7H.4.3.6 Water Management Plan
7H.5.1.1 Preharvest Assessment
7H.5.1.2 Preharvest Assessment
7H.5.2.1 Water/Ice
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Water systems intended to convey untreated human or animal
waste shall be separated from conveyances utilized to deliver
agricultural water.
An initial risk assessment shall be performed and documented
that takes into consideration the historical testing results of the
water source, the characteristics of the crop, the stage of the
crop, and the method of application.
A review or new assessment shall be conducted seasonally and
any time there is a change made to the system or a saturation
occurs that could introduce an opportunity to contaminate the
system. The risk assessment shall address potential physical,
chemical, and biological hazards and hazard control procedures
for the water distribution system.
There shall be a water management plan to mitigate risks
associated with the water system on an ongoing basis. The water
management plan shall include the following:
Preventive controls,Monitoring and verification procedures,
Corrective actions, and Documentation.
The plan shall be reviewed following any changes made to the
water system risk assessment and adjusted accordingly to
incorporate such changes.
Training and/or retraining of personnel having oversight or
performance duties shall be documented.
Water testing shall be part of the water management plan, as
directed by the water risk assessment and current industry
standards or prevailing regulations for the commodities being
grown.
As required, there shall be a written procedure for water testing
during the production and harvest season, which includes
frequency of sampling, who is taking the samples, where samples
is taken, how the sample is collected, type of test and acceptance
criteria.
If all agricultural water is sourced from a municipal source, the
municipal testing shall suffice. The frequency of testing and point
of water sampling shall be determined based on the risk
assessment and current industry standards for commodities being
produced.
The testing program shall be implemented consistent with the
water management plan. Testing shall be performed and
documented according to procedures described in the water
management plan.
A preharvest risk assessment shall be performed. The Operation
shall have a preharvest assessment procedure, which describes
when the assessment is performed and that it includes an
evaluation of conditions that may be reasonably likely to result in
physical, chemical, or biological contamination of the produce,
and demonstrates that the operation is in compliance with the
food safety plan.
Results of the evaluation shall be documented.
Operation has procedures for water used in contact with product
of food contact surfaces. Standard Operating Procedures (SOPs),
including water-change schedules, shall be developed for all uses
of water.
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
7H.5.2.2 Water/Ice Microbial and/or physical/chemical (e.g., test strips) testing shall
be performed, as appropriate to the specific operation, to
demonstrate that acceptance criteria have been met.

7H.5.2.3 Water/Ice Water use SOPs address the microbial quality of water or ice that
directly contacts the harvested crop or is used on food-contact
surfaces. If water or ice directly contacts the harvested crop or is
used on food-contact surfaces, such as in the field, as the final
wash step prior to consumer packaging, or as a cooling aid in a
consumer package, operation’s water use SOP requires that water
or ice when applied meets the microbial standards meets the
microbial standards for drinking water, as defined by prevailing
regulation.

7H.5.2.4 Water/Ice Water may be treated (e.g., with chlorine) to achieve the
microbial standards or to prevent cross-contamination. Ice and
water shall be sourced/manufactured, transported, and stored
under sanitary conditions.

7H.5.2.5 Water/Ice Special considerations or variances may be appropriate for some

crops, e.g. cranberries and watercress, where deliberate flooding
of the field is part of production and harvest practices.

7H.5.2.6 Water/Ice Water use SOPs shall: Address treatment of re-circulated water, if
used; Require re-circulated water to be treated using an approved
antimicrobial to prevent it from becoming a source of
contamination, according to prevailing regulation or industry
specific standards for the commodity; Address condition and
maintenance of water-delivery system, which shall be maintained
so as not to serve as a source of contamination of produce, water
suppliers or equipment with pathogens, or to create an unsanitary
condition; Control of wash water temperature, if applicable.

7H.5.2.7 Water/Ice For produce demonstrated as being susceptible to microbial

infiltration from wash water, wash water temperature
differentials during immersion shall be considered.

7H.5.3.1 Container, Bins and Packaging Materials Operation has written policy regarding: Storage of harvesting
containers; Inspection of food contact containers prior to use;
Acceptable harvesting containers and; Prohibiting use of harvest
containers for non-harvest purpose

7H.5.3.2 Container, Bins and Packaging Materials Harvesting containers shall be stored in a manner so as not to
serve as a source of contamination to the extent feasible and
appropriate

7H.5.3.3 Container, Bins and Packaging Materials
Food-contact totes, bins, packing materials, other harvest
containers, and pallets shall be visually inspected, clean, intact
and free of any foreign materials prior to use. Containers shall be
sufficiently maintained so as not to become a source of
contamination.

7H.5.3.4 Container, Bins and Packaging Materials Food-contact totes, bins and other harvest containers designated
for harvesting shall not be used for other purposes unless clearly
marked or labeled for that purpose.
 Clause
7H.5.3.5 Container, Bins and Packaging Materials
7H.5.4.1 Field Packaging and Handling
7H.5.4.2 Field Packaging and Handling
7H.5.4.3 Field Packaging and Handling
7H.5.4.4 Field Packaging and Handling
7H.5.4.5 Field Packaging and Handling
7H.5.4.6 Field Packaging and Handling
7H.5.4.7 Field Packaging and Handling
7H.5.4.8 Field Packaging and Handling
7H.5.6.1 Postharvest Handling and Storage
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The types and construction of harvest containers and packing
materials shall be appropriate to the commodity being harvested
and suited for their intended purpose.
Operation shall have a written policy that damaged or decayed
produce is not harvested, or is culled.
Employees are trained that only sound produce appropriate for
the intended use is harvested, and that produce that has been
damaged to an extent that it poses a microbial food safety hazard
is not harvested or is culled.
Product that contacts the ground shall not be harvested unless
the product normally grows in contact with the ground. Operation
has considered and developed written policies regarding produce
that comes in contact with the soil (e.g., drops). Policy shall be
consistent with industry standards or prevailing regulations.
Harvest procedures shall include measures to inspect for and
remove physical hazards. Operation shall have procedure to
detect glass/plastic breakage and remove possible physical
contamination such as glass, metal, rocks, or other hazardous
items, during harvesting operations.
Cloths, towels, or other cleaning materials that pose a risk of
cross-contamination shall not be used to wipe product. Operation
shall not use cloths or other cleaning materials to clean produce,
unless there is a procedure to prevent cross-contamination.
Packaging materials shall be appropriate for their intended use.
The product contact packaging shall be: Appropriate to the
commodity being harvested and suited for its intended purpose;
Stored in a manner that prevents contamination.
Packaging storage shall be designed to maintain packaging dry,
clean and free from dirt or residues so it remains fit for the
purpose.
Particular care shall be taken to prevent packaging from becoming
a harborage for rodents and other vermin. Packaging shall be
stored separately from hazardous chemicals, toxic substances and
other sources of contamination.
Operation has written policy regarding whether packing materials
are permitted in direct contact with the soil. If produce is packed
in field, operation has considered and developed written policies
regarding placement of packing materials directly on the soil, or
whether a physical buffer (e.g., buffer bin or slip sheet) is
required. Policy shall be consistent with industry standards.
Harvested produce is handled in a manner such that it is not likely
to become contaminated. Operation has a policy, in compliance
with current industry practices or regulatory requirements for
that commodity, regarding handling, walking, stepping, or lying on
harvested produce, food contact surfaces or packaging materials,
that may result in contamination.
 Clause
7H.5.6.2 Postharvest Handling and Storage
7H.5.6.3 Postharvest Handling and Storage
7H.6.1.1 Equipment Sanitation and Maintenance
7H.6.1.2 Equipment Sanitation and Maintenance
7H.6.1.3 Equipment Sanitation and Maintenance
7H.6.2.1 Loading/Unloading
7H.6.2.2 Loading/Unloading
7H.6.2.3 Loading/Unloading
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Materials that come in contact with the produce shall be clean
and in good repair. Operation has a policy that pallets, produce
bins, totes and materials that come in contact with the produce or
the containers during handling or storage shall be cleaned, if
practicable, sanitized sufficient so as not to be a source of
contamination.
Harvested produce shall be stored separately from chemicals
which may post a food safety hazard. Chemicals, including
cleaning and maintenance compounds shall be stored in an area
separate from harvested produce.
The operation shall have a policy, written procedures, and a
checklist to verify cleanliness and functionality of shipping units
(e.g., trailer).
Shipping units shall be clean, functional and free of objectionable
odors before loading, in compliance with current industry
practices or regulatory requirements for that commodity.
Refrigeration units, if used, must be in working order.
Loading/unloading procedures and equipment shall minimize
damage to and prevent contamination of produce. Personnel
responsible for the loading and unloading of produce shall take
steps to minimize the potential of physical damage to produce,
which can introduce and/or promote the growth of pathogens.
Loading/unloading equipment shall be clean and well maintained
and of suitable type to avoid contamination of produce.
Trash shall not come in contact with produce. The operation shall
have a procedure describing how trash shall be handled and
transported out of the field in a manner that does not pose a food
safety risk.

Clause
8.1.1.2 Property Location (D)
8.2.4.3 Vehicles, Equipment and Utensils (D)
8.2.5.1 Maintenance Protocol (D)
8.2.6.1 Calibration of Equipment (D)
8.2.7.1 Pest and Vermin Management (D)
8.2.7.2 Pest and Vermin Management (D)
8.2.8.1 Animal Control (D)
8.2.9.1 Cleaning and Sanitation (D)
8.3.1.3 Personnel Practices (D)
8.3.1.5 Personnel Practices (D)
Item
A soil map shall be prepared and risk assessment conducted to
evaluate and document the risk to crops due to prior land use,
adjacent land use, and other environmental factors including
structures and equipment. Consideration shall be given to the
following: history of land use, topography, adjacent land use, other
factors that may impact on the ability to supply safe product.
A documented procedure regarding the inspection of food contact
harvest containers and pallets shall be implemented. The procedure
shall include the type and construction of harvest containers and
packing materials.
The methods and responsibility for maintenance of equipment and
buildings shall be planned, scheduled and carried out in a manner that equipment is not food grade
prevents any risk of contamination of product or equipment.
The methods and responsibility for the calibration and re-calibration
of chemical application, measuring, test and inspection equipment
used for monitoring pre-requisite program and other process controls
shall be documented and implemented.
The methods for controlling pest and vermin infestation on the site or
facilities shall be documented and implemented. The property,
storage facilities, machinery and equipment shall be kept free of
waste or accumulated debris so as not to attract pests and vermin.
The pest and vermin management program shall describe the
methods and responsibility for the development, implementation and
maintenance of the pest and vermin management program, identify
the target pests for each pesticide application, outline the methods
used to prevent pest problems, outline the methods used to eliminate
pests when found, outline the frequency with which pest status is to
be checked, include on a site map the identification, location, number
and type of bait stations set, list the chemicals used (they are required
to be approved by the relevant authority and their Safety Data Sheets
(SDS) made available), outline the methods used to make employees
aware of the bait control program and the measures to take when
they come in contact with a bait station, outline the requirements for
employees' awareness and training in the use of pest and vermin
control chemicals and baits.
The operation shall have a written risk assessment on animal activity
in and around the production of food or feed crops that has been
implemented and monitored.
The methods and responsibility for the cleaning of product contact
surfaces, field processing equipment and sanitary facilities shall be
documented and implemented. Consideration shall be given to what (m) Documented protocol is incomplete
is to be cleaned, how it is to be cleaned, when it is to be cleaned, who
is responsible for the cleaning, who is responsible for the evaluation
of the cleaning.
A medical screening procedure shall be in place for all employees, and (M) Medical screening procedure is not in place
will also be applicable to all visitors and contractors.
A written policy shall be in place that specifies the procedures for
handling product or product contact surfaces that have been in
contact with blood or other bodily fluids.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) Risk assessment has not been conducted
(M) Analysis of the hazards associated with the
farm/ranch or plot location has not been done
(m) History of land use not considered
(m) Topography not considered
(m) Adjacent land use not considered
(m) Other factors that may impact on the ability of
the Producer to supply safe product not considered
(M) No documented procedure for inspecting
harvest containers and pallets
(m) Procedure does not include the type and
construction
(m) Procedure does not include packaging materials
(M) Lubricants used on or near product contact
(m) Lubricant used is made out of allergenic
ingredients that is not identified in the allergen
management program
(M) Calibration methods are not documented
(m) Responsibility for calibration methods are not
documented
(M) Calibration activities are not taken
(M) There is no documented program outlining how
to control pest and vermin
(M) Conditions are attracting Pest and vermin to the
property
(M) The program does not describe the methods
and responsibility for the maintenance of the
program
(m) The program does not identify the target pests
for each pesticide application
(m) The program does not outline preventive
methods
(m) The program does not outline the frequency
(m) The program does not include a site
identification map
(m) The program does not list the chemicals
(m) Employees are not aware of bait control
program
(M) There is no written risk assessment for animal
activity
(m) The risk assessment has not been monitored
(M) There is no documented cleaning methods
(m) There is no responsibility for cleaning protocol
(M) Medical screening does not include visitors and
contractors
(M) No written procedure in place

Clause
8.4.1.1 Field Packing Personal Practices (D)
8.4.1.2 Field Packing Personal Practices (D)
8.5.1.1 Water System Description (D)
8.5.4.1 Water System Risk Assessment (D)
8.6.3.1 Transport from Field (D)
8.6.3.2 Transport from Field (D)
8.7.2.2 Soil Amendment (D)
Item
Appropriate personnel practices shall be employed by field packing
employees which include: aprons and gloves shall be kept clean,
aprons and gloves shall not be left on product, work surfaces,
equipment or packaging material but hung on apron and glove racks
provided, all product and packaging material shall be kept off the
ground and the floor of the transport vehicle, waste shall be
contained in the bins identified for this purpose. Waste shall not
come in contact with produce and be removed on a regular basis and
not left to accumulate.
A written policy regarding the handling and field packaging of
produce, specific to the commodity, shall be implemented and
maintained. The policy shall assure that: damaged or decayed
produce is not harvested or culled, measures to inspect for physical
hazards and procedures to remove physical hazards are in place,
cloths, towels, or other cleaning materials that pose a risk of cross-
contamination shall not be used to wipe produce.
A water description plan shall be prepared that describes the water
sources and the production blocks they serve, and shall include one or
more of the following: maps, photographs, drawings, or other means
to communicate the location of the water sources, permanent fixtures
and the flow of the water system.
An initial risk assessment shall be performed and documented that
takes into consideration the historical testing results of the water
source, the characteristics of the crop, the stage of the crop, and the
method of application.
A written procedure and checklist to verify cleanliness and
functionality of transport units shall be implemented.
Loading and unloading procedures shall include provisions to
minimize damage and prevent contamination to produce.
Soil amendment protocol shall outline the methods used to treat
manure and other untreated organic fertilizers ensuring: The
treatment methods applied inactivate pathogens in organic soil
amendments; A hazard analysis of organic soil amendments
treatment methods is conducted before use; Treatment methods are
validated and treatments of organic soil amendments are verified as
being in compliance with the method applied; Records of the
validation and verification of organic soil amendment treatments are
maintained.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(m) Evidence of fingernail polish being worn where
product is handled with bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work surfaces,
equipment or packaging surfaces
(m) Gloves are left on product, work surfaces,
equipment or packaging surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the ground
(M) Waste is not contained in the bins identified for
this purpose
(M) Waste is not removed on a regular basis
(M) Waste is left to accumulate
(m) No provision made for the storage of personal
belongings away from field packing operations
(M) A written policy for handling and field packing of
produce specific to the commodity is not provided
(M) The written policy was not implemented
(M) The written policy was not maintained
(M) Written procedure does not include how to
remove physical hazards
(C) Damaged product or product that contacted the
ground was harvested
(C) Contaminated cloths were used to wipe produce
(M) No inspection conducted for physical hazards
(M) No water description plan
(m) Water description plan does not include maps,
photographs or drawings of water sources
(m) Permanent fixtures are not identified
(m) Risk assessment is incomplete and does not
take into consideration the historical testing results
(m) Risk assessment is incomplete and does not
take into consideration the characteristics of the
crop
(m) Risk assessment is incomplete and does not
take into consideration the stage of the crop
(m) Risk assessment is incomplete and does not
take into consideration the method of application
(M) Written procedure is not used to verify
cleanliness and functionality
(M) Checklist is not used
(M) There are no loading procedures
(M) Application methods are not timed to pose
minimum risk to product safety
(M) Application methods are not timed to pose
minimum risk to human health
(M) Applications of soil amendments are not in
accordance with National or Local Guidelines and
Codes of Good Agricultural Practice
(M) Soil amendment protocol does not outline the
methods used to treat manure
(M) Soil amendment protocol does not outline the
methods used to treat untreated organic fertilizers
(M) No hazard analysis of organic soil amendments
treatment methods is conducted before use
(M) Treatment methods are not validated
(M) Treatments of organic soil amendments are not
verified

Clause
8.7.2.3 Soil Amendment (D)
8.8.1.1 Pre-harvest Assessment (D)
8.8.1.3 Pre-harvest Assessment (D)
8.8.2.1 Foreign Matter and Glass Procedures
(D)
8.9.1.2 Dry, Liquid and Unsanitary Waste
Disposal (D)
Item
Soil amendment protocol shall outline the methods to ensure organic
soil amendment applications are timed to pose minimum risk to
product safety and human health including: All applications of soil
amendments are in accordance with national or local guidelines, best
practices and codes of Good Agricultural Practice; Equipment used for
soil amendment application is maintained in good condition and
calibrated to ensure accurate application; Records of all equipment
maintenance and calibration are maintained; Signage complies with
national and local codes of practice; and Sufficient data is recorded to
provide a detailed record of soil amendment applications.
A pre-harvest risk assessment procedure shall be in place that
describes when the assessments performed and identifies those
conditions that may be reasonably likely to result in physical,
chemical, or biological contamination.
A written policy regarding the storage of harvesting containers shall
be implemented and maintained
The methods used to prevent foreign matter and glass contamination (m) Methods used to prevent foreign matter and
of product shall be documented and implemented. glass contamination of product not documented
The responsibility and methods for the effective and efficient disposal
of all solid waste including inedible material and disused packaging,
and liquid and unsanitary waste shall be documented and
implemented.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) Soil amendment protocol does not outline the
methods used to treat manure
(M) Soil amendment protocol does not outline the
methods used to treat untreated organic fertilizers
(M) Treatment methods applied do not inactivate
pathogens in organic soil amendments
(M) No hazard analysis of organic soil amendments
treatment methods is conducted before use
(M) Treatment methods are not validated
(M) Treatments of organic soil amendments are not
verified
(m) Validation records not maintained
(m) Verification records not maintained
(M) Pre-harvest risk assessment not conducted
(M) Risk assessment does not identify conditions
likely to result in contamination
(M) No policy in place
(M) Waste is not managed and is allowed to
accumulate
(M) No documented plan for the methods to dispose
of waste
 Clause
9.2.10.1 Premises and Equipment Maintenance (D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The methods and responsibility for the maintenance (m) There are no planned
and repair of plant, equipment and buildings shall be maintenance schedule
documented planned and carried out in a manner (M) Maintenance practices risk
that minimizes the risk of product, packaging or product safety and integrity
equipment contamination.

9.2.10.3 Premises and Equipment Maintenance (D)
9.2.11.1 Calibration (D)
The maintenance schedule shall be prepared to cover (m) Maintenance schedule does
building, equipment and other areas of the premises not include critical areas of
critical to the maintenance if product safety and facility
quality. (m) Maintenance schedule does
not include critical areas of
equipment
The methods and responsibility for the calibration (M) Calibration methods for
and re-calibration of measuring, test and inspection monitoring equipment are not
equipment used for monitoring activities outlined in documented
the pre-requisite program, food safety plans and (m) Methods for calibration of
food quality plans and other process controls, or to equipment do not include
demonstrate compliance with customer responsibility
specifications shall be documented and (m) Methods for calibration of
implemented. equipment do not include all
necessary equipment

9.2.11.2 Calibration (D) Procedures shall be documented and implemented
to address the disposition of potentially affected
Product should measuring, test and inspection
equipment be found to be out of calibration state.
(m) There are no procedures in
place to address disposition of
potentially affected product
(M) Potentially affected product
is not adequately disposed

9.2.12.1 Management of Pests and Vermin (D)
The methods and responsibility for integrated pest (M) No methods for integrated
management shall be documented and effectively pest management documented
implemented. The premises, its surrounds, storage (m) Responsibility of integrated
facilities, machinery and equipment shall be kept free pest management not included
of waste or accumulated debris so as not to attract in program
pests and vermin. (m) Pest management program
does not include exterior or
surrounding areas of facility
(m) Facility has pest harborage
areas observed
(m) Exterior of facility has pest
harborage areas observed
 Clause
9.2.12.2 Management of Pests and Vermin (D)
9.2.14.1 Cleaning and Sanitation (D)
9.2.14.5 Cleaning and Sanitation (D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The pest and vermin management program shall (M) Methods for the pest
describe the methods and responsibility for the management program are not
development, implementation and maintenance of developed
the pest and vermin management program, identify (m) Target pests are not
the target pests for each pesticide application, included in program
outline the methods used to prevent pest problems, (m) Methods used to prevent
outline the pest elimination methods, outline the pest problems are not defined
frequency with which pest status is to be checked, (m) Methods used to eliminate
include on a site map the identification, location, pests are not defined
number and type of bait stations set, list the (m) No frequency for the
chemicals used (they are required to be approved by checking of pest status is
the relevant authority and their Safety Data Sheets developed
(SDS) made available), outline the methods used to (m) Frequency not followed by
make staff aware of the bait control program and the responsible personnel in the
measures to take when they come in contact with a checking of pest control devices
bait station, outline the requirements for staff (m) Site map of pest control
awareness and training in the use of pest and vermin devices is not available
control chemicals and baits, measure the (m) Site map of pest control
effectiveness of the program to verify the elimination devices is not complete
of applicable pests. (M) List of chemicals used for
pest control is not available
(m) List of chemical used for
pest control is not complete
(M) Unapproved chemicals for
pest control used in the facility
(m) No SDS sheet available for
one chemical used in facility
(M) No SDS sheets available for
any chemical used in facility
(m) No methods available for
staff awareness of pest control
devices
(m) No methods available for
staff awareness of pest control
chemicals and baits
(m) No measures of the
effectiveness of the pest
The methods and responsibility for the cleaning of (M) Facility does not have a
the product handling equipment and environment, cleaning program developed
storage areas, staff amenities and toilet facilities shall (M) Critical equipment and
be documented and implemented. Consideration areas of the facility are not
shall be given to what is to be cleaned, how it is to be covered in cleaning program
cleaned, when it is to be cleaned, who is responsible (m) Cleaning methods do not
for the cleaning, methods used to confirm the correct include what is to be cleaned
concentrations of detergents and sanitizers, the (m) Cleaning methods do not
responsibility and methods used to verify the include how items are to be
effectiveness of the cleaning and sanitation program. cleaned
(m) Cleaning methods do not
include frequency of cleaning
(m) Cleaning methods do not
include responsibility for
cleaning
(m) Cleaning program does not
include method for verification
of effectiveness of sanitation
The responsibility and methods used to verify the (m) No sanitation verification
effectiveness of the cleaning procedures shall be schedule is available
documented and implemented. A verification (m) No methods established for
schedule shall be prepared. verification of sanitation
(m) No responsibility is
established for verification of
sanitation
 Clause
9.4.2.5 Slaughtering and Butchering (D)
9.4.2.6 Slaughtering and Butchering (D)
9.4.2.8 Slaughtering and Butchering (D)
9.6.8.1 Loading, Transport and Unloading Practices
(D)
9.7.3.1. High Risk Areas (D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Procedures shall be documented and implemented (M) No procedure in place to
to maintain the hygienic condition of the carcass and maintain the condition of the
avoid contamination. Fecal matter shall be removed carcass
at the slaughter floor and the carcass shall be (M) Fecal matter is not removed
inspected by an authorized person post mortem for (M) Carcass is not inspected
signs of disease or contamination.
Where applicable, procedures shall be in place for (m) No procedure in place to
the grading of carcasses. grade carcass
Procedures shall be in place for the safe and hygienic (M) No procedure in place for
evisceration and primal cutting of the carcass and the evisceration and primal cutting
identification of edible and non-edible parts.
The practices applied during loading, transport and (m) Methods for loading of
unloading of food shall be documented, products are not documented
implemented and designed to maintain appropriate (m) Methods for the
storage conditions and product integrity. Product transportation of products are
shall be loaded, transported and unloaded under not documented
conditions suitable to prevent cross contamination. (M) Methods developed for
product loading and transport
do not adequately protect
product
(M) Cross contamination to
product potentially exists during
transport and loading
(M) Product contamination
observed during transportation
and/or loading (Potential
Critical)
The processing of high risk food shall be conducted (M) No environmental
under controlled conditions such that high risk areas monitoring program in place
are protected/segregated from other processes, raw (m) Procedure does not include
materials or staff who handle raw materials to ensure the applicable pathogens or
cross contamination is minimized, are only serviced indicator organisms
by staff dedicated to that function, access points are (M) Organisms are not
located, designed and equipped to enable staff to appropriate to the commodity
don distinctive protective clothing and to practice a (m) Number of samples are not
high standard of personal hygiene to prevent product defined
contamination, product transfer points are located (m) Frequency is not defined
and designed so as not to compromise high risk (m) Corrective action is not
segregation and to minimize the risk of cross defined
contamination, an environmental monitoring (M) Corrective action is not
program shall be in place for high risk areas. As a taken
minimum, a written procedure detailing the
applicable pathogens or indicator organisms to test
for (for that industry), the number of samples to be
taken, and the frequency of sampling and corrective
actions shall be documented. The responsibility and
methods shall be documented and implemented. A
sampling schedule shall be prepared.
 Clause
9.7.4.1 Control of Foreign Matter Contamination (D)
9.7.5.1 Detection of Foreign Objects (D)
9.9.1.1 Dry and Liquid Waste Disposal (D)
9.9.1.2 Dry and Liquid Waste Disposal (D)
Item
The responsibility and methods used to prevent
foreign matter contamination of product shall be
documented, implemented and communicated to all
staff.
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.
Procedures shall be documented and implemented
for the collection and removal of animal waste
materials via authorized waste disposal contractors.
The responsibility and methods used to collect and
handle dry, wet and liquid waste (other than animal
waste) and store prior to removal from the premises
shall be documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Foreign material prevention
methods are not developed
(m) No responsibility for the
prevention of foreign material
have been defined
(m) Foreign material prevention
controls are not communicated
to staff
(M) Foreign material prevention
controls are not implemented
(M) No methods developed for
the monitoring, maintenance, or
calibration of filters and screens
(m) No responsibility assigned
for the monitoring,
maintenance, or calibration of
filters and screens
(m) There are no methods for
handling waste documented
(m) The methods for handling
waste within premises are not
adequate to control all waste
(m) Methods do not include
proper storage of waste prior to
disposal
(m) Waste is not regularly
removed from processing areas
(m) Waste collection areas are
not maintained and not cleaned
 Clause
10.2.9.1 Premises and Equipment Maintenance (D)
10.2.10.1 Calibration (D)
10.2.10.2 Calibration (D)
10.2.11.1 Management of Pests and Vermin (D)
10.2.11.2 Management of Pests and Vermin (D)
10.2.13.1 Cleaning and Sanitation (D)
Item
The methods and responsibility for the
maintenance and repair of plant, equipment and (M) Actual maintenance practices risk product safety
buildings shall be documented planned and
carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in pre-requisite program, food
safety plans and food quality plans and other
process controls, or to demonstrate compliance
with customer specifications shall be
documented and implemented.
Benches, tables, conveyors, graders, packers and
other mechanical equipment shall be hygienically
designed and located for appropriate cleaning.
Equipment surfaces shall be smooth, impervious
and free from cracks or crevices.
The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounds, storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, include on a site map the
identification, location, number and type of bait
stations set, list the chemicals used (they are
required to be approved by the relevant
authority and their Safety Data Sheets (SDS)
made available), outline the methods used to
make staff aware of the bait control program and
the measures to take when they come in contact
with a bait station, outline the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits, measure
the effectiveness of the program to verify the
elimination of applicable pests.
The methods and responsibility for the cleaning
of the product handling equipment and
environment, storage areas, staff amenities and
toilet facilities shall be documented and
implemented. Consideration shall be given to
how it is to be cleaned, when it is to be cleaned,
who is responsible for the cleaning, methods
used to confirm the correct concentrations of
detergents and sanitizers, responsibility and
methods used to verify the effectiveness of the
cleaning and sanitation program.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) There are no planned maintenance schedule
and integrity
(M) Calibration methods for monitoring equipment
are not documented
(m) Methods for calibration of equipment do not
include responsibility
(m) Methods for calibration of equipment do not
include all necessary equipment
(m) There are no procedures in place to address
disposition of potentially affected product
(M) Potentially affected product is not adequately
disposed
(M) No methods for integrated pest management
documented
(m) Responsibility of integrated pest management
not included in program
(m) Pest management program does not include
exterior or surrounding areas of facility
(M) Methods for the pest management program are
not developed
(m) Target pests are not included in program
(m) Methods used to prevent pest problems are not
defined
(m) Methods used to eliminate pests are not defined
(m) No frequency for the checking of pest status is
developed
(M) Facility does not have a cleaning program
developed
(M) Critical equipment and areas of the facility are
not covered in cleaning program
(m) Cleaning methods do not include what is to be
cleaned
(m) Cleaning methods do not include how items are
to be cleaned
(m) Cleaning methods do not include frequency of
cleaning
(m) Cleaning methods do not include responsibility
for cleaning
(m) Cleaning program does not include method for
verification of effectiveness of sanitation
 Clause
10.2.13.5 Cleaning and Sanitation (D)
10.6.6.1 Loading, Transport and Unloading Practices (D)
10.7.3.1 High Risk Processes (D)
10.7.5.1 Detection of Foreign Objects (D)
10.9.1.1 Dry and Liquid Waste Disposal (D)
Item
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
The practices applied during loading, transport
and unloading of food shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity. Products shall be loaded, transported
and unloaded under conditions suitable to
prevent cross contamination.
The processing of high risk food shall be
conducted under controlled conditions such that
sensitive areas in which high risk food has
undergone a "kill" step, a "food safety
intervention or is subject to post process
handling, are protected/segregated from other
processes, raw materials or staff who handle raw
materials to ensure cross contamination is
minimized, areas in which high risk processes are
conducted are only serviced by staff dedicated to
that function, staff access points are located,
designed and equipped to enable staff to wear
distinctive protective clothing and to practice a
high standard of personal hygiene to prevent
product contamination, product transfer points
are located and designed so as not to
compromise high risk segregation and to
minimize the risk of cross contamination,
environmental monitoring program shall be in
place for high risk areas. As a minimum, a written
procedure detailing the applicable pathogens or
indicator organisms to test for (for that industry),
the number of samples to be taken, and the
frequency of sampling and corrective actions
shall be documented. The responsibility and
methods shall be documented and implemented.
A sampling schedule shall be prepared.
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No sanitation verification schedule is available
(m) No methods established for verification of
sanitation
(m) No responsibility is established for verification of
sanitation
(m) Methods for loading of products are not
documented
(m) Methods for the transportation of products are
not documented
(M) Methods developed for product loading and
transport do not adequately protect product
(M) Cross contamination to product potentially exists
during transport and loading
(M) No environmental monitoring program in place
(m) Procedure does not include the applicable
pathogens or indicator organisms
(M) Organisms are not appropriate to the commodity
(m) Number of samples are not defined
(m) Frequency is not defined
(m) Corrective action is not defined
(M) Corrective action is not taken
(M) No methods developed for the monitoring,
maintenance, or calibration of filters and screens
(m) No responsibility assigned for the monitoring,
maintenance, or calibration of filters and screens
(m) There are no methods for handling waste
documented
(m) The methods for handling waste within premises
are not adequate to control all waste
(m) Methods do not include proper storage of waste
prior to disposal
Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
11.2.9.1 Premises and Equipment Maintenance (D) The methods and responsibility for the maintenance and repair (m) There are no planned maintenance
of plant, equipment and buildings shall be documented, schedule
planned and carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.

11.2.10.1 Calibration (D)
The methods and responsibility for the calibration and re- (M) Calibration methods for monitoring
calibration of measuring, test and inspection equipment used equipment are not documented
for monitoring activities outlined in pre-requisite program, (m) Methods for calibration of
food safety plans and food quality plans and other process equipment do not include responsibility
controls, or to demonstrate compliance with customer (m) Methods for calibration of
specifications shall be documented and implemented. equipment do not include all necessary
equipment

11.2.10.2 Calibration (D)
Benches, tables, conveyors, graders, packers and other
mechanical equipment shall be hygienically designed and
located for appropriate cleaning. Equipment surfaces shall be
smooth, impervious and free from cracks or crevices.
(m) There are no procedures in place
to address disposition of potentially
affected product
(M) Potentially affected product is not
adequately disposed

11.2.10.4 Calibration (D)
Equipment shall be calibrated against national or international (M) The calibration standards are not
reference standards and methods or to accuracy appropriate known
to its use. In cases where standards are not available, the (M) Calibration standards are known
supplier shall provide evidence to support the calibration but not followed
reference method applied.

11.2.11.1 Management of Pests and Vermin (D)
The methods and responsibility for integrated pest
management shall be documented and effectively
implemented. The premises, its surrounding areas, storage
facilities, machinery and equipment shall be kept free of waste
or accumulated debris so as not to attract pests and vermin.
(M) No methods for integrated pest
management documented
(m) Responsibility of integrated pest
management not included in program
(m) Pest management program does
not include exterior or surrounding
areas of facility
 Clause
11.2.11.2 Management of Pests and Vermin (D)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The pest and vermin management program shall describe the (M) Methods for the pest management
methods and responsibility for the development, program are not developed
implementation and maintenance of the pest and vermin (m) Target pests are not included in
management program, identify the target pests for each program
pesticide application, outline the methods used to prevent pest (m) Methods used to prevent pest
problems, outline the pest elimination methods, outline the problems are not defined
frequency with which pest status is to be checked, include on (m) Methods used to eliminate pests
a site map the identification, location, number and type of bait are not defined
stations set, list the chemicals used (they are required to be (m) No frequency for the checking of
approved by the relevant authority and their Safety Data pest status is developed
Sheets (SDS) made available). outline the methods used to (m) Frequency not followed by
make staff aware of the bait control program and the measures responsible personnel in the checking
to take when they come in contact with a bait station, outline of pest control devices
the requirements for staff awareness and training in the use of (m) Site map of pest control devices is
pest and vermin control chemicals and baits, and shall measure not available
the effectiveness of the program to verify the elimination of (m) Site map of pest control devices is
applicable pests. not complete
(M) List of chemicals used for pest
control is not available
(m) List of chemical used for pest
control is not complete
(M) Unapproved chemicals for pest
control used in the facility
(m) No SDS sheet available for one
chemical used in facility
(M) No SDS sheets available for any
chemical used in facility
(m) No methods available for staff
awareness of pest control devices
(m) No methods available for staff
awareness of pest control chemicals
and baits
(m) No measures of the effectiveness
of the pest program are in place

11.2.13.1 Cleaning and Sanitation (D)
The methods and responsibility for the cleaning of the food
handling and processing equipment and environment, storage
areas, staff amenities and toilet facilities shall be documented
and implemented. Consideration shall be given to what is to
be cleaned, how it is to be cleaned, when it is to be cleaned,
who is responsible for the cleaning, methods used to confirm
the correct concentrations of detergents and sanitizers, the
responsibility and methods used to verify the effectiveness of
the cleaning and sanitation program.
(M) Facility does not have a cleaning
program developed
(M) Critical equipment and areas of the
facility are not covered in cleaning
program
(m) Cleaning methods do not include
what is to be cleaned
(m) Cleaning methods do not include
how items are to be cleaned
(m) Cleaning methods do not include
frequency of cleaning
(m) Cleaning methods do not include
responsibility for cleaning
(m) Cleaning program does not include
method for verification of effectiveness
of sanitation

11.2.13.5 Cleaning and Sanitation (D)
The responsibility and methods used to verify the effectiveness (m) No sanitation verification schedule
of the cleaning procedures shall be documented and is available
implemented. A verification schedule shall be prepared. (m) No methods established for
verification of sanitation
(m) No responsibility is established for
verification of sanitation
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
11.7.4.1 High Risk Processes (D) The Processing of high risk food shall be conducted under (M No environmental monitoring
controlled conditions such that sensitive areas in which high program in place
risk food has undergone a "kill" step, a "food safety (m) Procedure does not include the
intervention" or is subject to post process handling, are applicable pathogens or indicator
protected/segregated from other processes, raw materials or organisms
staff who handle raw materials to ensure cross contamination (M) Organisms are not appropriate to
is minimized, that areas in which high risk processes are the commodity
conducted are only serviced by staff dedicated to that function, (m) Number of samples are not
staff access points are located, designed and equipped to defined
enable staff to don distinctive protective clothing and to (m) Frequency is not defined
practice a high standard of personal hygiene to prevent (m) Corrective action is not defined
product contamination, product transfer points are located (M) Corrective action is not taken
and designed so as not to compromise high risk segregation
and to minimize the risk of cross contamination, an
environmental monitoring program shall be in place for high
risk areas. At a minimum, a written procedure detailing the
applicable pathogens or indicator organisms to test for that
industry, the number of samples to be taken and the frequency
of sampling and corrective actions shall be documented. The
responsibility and methods shall be documented and
implemented. A sampling schedule shall be prepared.

11.7.5.1 Control of Foreign Matter Contamination (D)
The responsibility and methods used to prevent foreign matter (M) Foreign material prevention
contamination of the product shall be documented, methods are not developed
implemented and communicated to all staff. (m) No responsibility for the prevention
of foreign material have been defined
(m) Foreign material prevention
controls are not communicated to staff
(M) Foreign material prevention
controls are not implemented

11.7.6.1 Detection of Foreign Objects (D)
The responsibility, methods and frequency for monitoring,
maintaining, calibrating and using screens, sieves, filters or
other technologies to remove or detect foreign matter shall be
documented and implemented.
(M) No methods developed for the
monitoring, maintenance, or calibration
of filters and screens
(m) No responsibility assigned for the
monitoring, maintenance, or calibration
of filters and screens
(M) No methods implemented for the
monitoring, maintenance, or calibration
of filters and screens

11.9.1.1 Dry and Liquid Waste Disposal (D)
The responsibility and methods used to collect and handle dry, (m) There are no methods for handling
wet and liquid waste and store prior to removal from the waste documented
premises shall be documented and implemented. (m) The methods for handling waste
within premises are not adequate to
control all waste
(m) Methods do not include proper
storage of waste prior to disposal

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
 Clause
12.2.7.1 Premises and Equipment Maintenance (D)
12.2.8.1 Calibration (D)
12.2.8.2 Calibration (D)
12.2.9.1 Management of Pests and Vermin (D)
12.2.9.2 Management of Pests and Vermin (D)
12.2.11.5 Cleaning and Sanitation (D)
12.6.5.1 Alternative Storage and Handling of Goods (D)
12.6.6.1 Loading, Transport and Unloading Practices (D)
12.7.1.1 Control of Foreign Matter (D)
12.8.1.1 Dry and Liquid Waste Disposal (D)
Item
The methods and responsibility for the
maintenance and repair of food storage areas,
equipment and buildings shall be documented
planned and carried out in a manner that
minimizes the risk of product, packaging or
equipment contamination.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in the pre-requisite program,
food safety plans and food quality plans and
other process controls, or to demonstrate
compliance with customer specifications shall be
documented and implemented.
Procedures shall be documented and
implemented to address the disposition of
potentially affected product should measuring,
test and inspection equipment be found to be
out of calibration state.
The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounds, storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, outline the frequency
with which pest status is to be checked, include
on a site map the identification, location, number
and type of bait stations set, list the chemicals
used (they are required to be approved by the
relevant authority and their Safety Data Sheets
(SDS) made available), outline the methods used
to make staff aware of the bait control program
and the measures to take when they come in
contact with a bait station, the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits, measure
the effectiveness of the program to verify the
elimination of applicable pests.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Where goods described in 12.5.1 to 12.5.4 are
held under temporary or overflow conditions
that are not designed for the safe storage of
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on food
safety and quality.
The practices applied during loading, transport
and unloading of food shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity. Foods shall be loaded, transported and
unloaded under conditions suitable to prevent
cross contamination.
The responsibility and methods used to prevent
foreign matter contamination of product shall be
documented, implemented and communicated
to all staff.
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) There are no planned maintenance
schedule
(M) Actual maintenance practices risk product
safety and integrity
(M) Calibration methods for monitoring
equipment are not documented
(m) Methods for calibration of equipment do
not include responsibility
(m) Methods for calibration of equipment do
not include all necessary equipment
(m) There are no procedures in place to
address disposition of potentially affected
product
(M) Potentially affected product is not
adequately disposed
(M) No methods for integrated pest
management documented
(m) Responsibility of integrated pest
management not included in program
(m) Pest management program does not
include exterior or surrounding areas of
facility
(M) Methods for the pest management
program are not developed
(m) Target pests are not included in program
(m) Methods used to prevent pest problems
are not defined
(m) Methods used to eliminate pests are not
defined
(m) No frequency for the checking of pest
status is developed
(m) Frequency not followed by responsible
personnel in the checking of pest control
devices
(m) Site map of pest control devices is not
available
(m) Site map of pest control devices is not
complete
(M) List of chemicals used for pest control is
not available
(m) List of chemical used for pest control is not
complete
(m) No SDS sheet available for one chemical
used in facility
(M) No SDS sheets available for any chemical
used in facility
(m) No methods available for staff awareness
of pest control devices
(m) No methods available for staff awareness
of pest control chemicals and baits
(m) No measures of the effectiveness of the
pest program are in place
(m) No sanitation verification schedule is
available
(m) No methods established for verification of
sanitation
(m) No responsibility is established for
verification of sanitation
(m) No risk analysis conducted for alternative
storage and handling of goods
(m) Methods for loading of products are not
documented
(m) Methods for the transportation of
products are not documented
(M) Methods developed for product loading
and transport do not adequately protect
product
(M) Foreign material prevention methods are
not developed
(m) No responsibility for the prevention of
foreign material have been defined
(m) Foreign material prevention controls are
not communicated to staff
(m) There are no methods for handling waste
documented
(m) The methods for handling waste within
premises are not adequate to control all waste
(m) Methods do not include proper storage of
waste prior to disposal
 Clause
13.2.7.1 Premises and Equipment Maintenance (D)
13.2.8.1 Calibration (D)
13.2.8.2 Calibration (D)
13.2.9.1 Management of Pests and Vermin (D)
13.2.9.2 Management of Pests and Vermin (D)
13.2.11.1 Cleaning and Sanitation (D)
13.2.11.5 Cleaning and Sanitation (D)
Item
The methods and responsibility for the
maintenance and repair of plant, equipment and
buildings shall be documented planned and
carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in the pre-requisite program,
food safety plans and food quality plans and
other process controls, or to demonstrate
compliance with customer specifications shall be
documented and implemented.
Procedures shall be documented and
implemented to address the disposition of
potentially affected Product should measuring,
test and inspection equipment be found to be
out of calibration state.
The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounds, storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, include on a site map the
identification, location, number and type of bait
stations set, list the chemicals used (they are
required to be approved by the relevant
authority and their Safety Data Sheets (SDS)
made available). outline the methods used to
make staff aware of the bait control program and
the measures to take when they come in contact
with a bait station. outline the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits. measure
the effectiveness of the program to verify the
elimination of applicable pests.
The methods and responsibility for the cleaning
of manufacturing and storage areas, staff
amenities and toilet facilities shall be
documented and implemented.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) There are no planned maintenance
schedule
(M) Actual maintenance practices risk product
safety and integrity
(M) Calibration methods for monitoring
equipment are not documented
(m) Methods for calibration of equipment do not
include responsibility
(m) Methods for calibration of equipment do not
include all necessary equipment
(m) There are no procedures in place to address
disposition of potentially affected product
(M) No methods for integrated pest
management documented
(m) Responsibility of integrated pest
management not included in program
(m) Pest management program does not include
exterior or surrounding areas of facility
(M) Methods for the pest management program
are not developed
(m) Target pests are not included in program
(m) Methods used to prevent pest problems are
not defined
(m) Methods used to eliminate pests are not
defined
(m) No frequency for the checking of pest status
is developed
(m) Frequency not followed by responsible
personnel in the checking of pest control
devices
(m) Site map of pest control devices is not
available
(m) Site map of pest control devices is not
complete
(M) List of chemicals used for pest control is not
available
(m) List of chemical used for pest control is not
complete
(M) Unapproved chemicals for pest control used
in the facility
(m) No methods available for staff awareness of
pest control devices
(m) No methods available for staff awareness of
pest control chemicals and baits
(m) No measures of the effectiveness of the
pest program arte in place
(M) Facility does not have a cleaning program
developed
(m) Cleaning methods do not include what is to
be cleaned
(m) Cleaning methods do not include how items
are to be cleaned
(m) Cleaning methods do not include
responsibility for cleaning
(m) No sanitation verification schedule is
available
(m) No methods established for verification of
sanitation
(m) No responsibility is established for
verification of sanitation
 Clause
13.4.1.2 Staff Engaged in Handling of Food Contact
Packaging (D)
13.6.4.1 Alternative Storage and Handling of Goods (D)
13.6.5.1 Loading, Transport and Unloading Practices (D)
13.7.2.1 Control of Foreign Matter (D)
13.8.1.1 Dry and Liquid Waste Disposal (D)
13.8.1.4 Dry and Liquid Waste Disposal (D)
Item
The manufacturing process shall be controlled
such that the packaging material produced is
food safe and free from contamination.
Procedures shall be in place to prevent cross
contamination of food contact packaging from
raw materials, recycled materials, or chemicals.
Where goods described in 13.6.1 to 13.6.3 are
held under temporary or overflow conditions
that are not designed for the safe storage of
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on food
safety and quality.
The practices applied during loading, transport
and unloading of food contact packaging shall be
documented, implemented and designed to
maintain appropriate storage conditions and
product integrity. Packaging shall be loaded,
transported and unloaded under conditions
suitable to prevent cross contamination.
The responsibility and methods used to prevent
foreign matter contamination of product shall be
documented, implemented and communicated
to all staff.
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
A documented procedure shall be in place for the (M) No process is in place for the disposal of
controlled disposal of trademarked or other
printed materials. Where a contracted disposal
service is used, the disposal process shall be
reviewed regularly to confirm compliance.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Packaging material is not produced if a food
safe environment
(M) No procedures in place to prevent cross
contamination
(m) No risk analysis conducted for alternative
storage and handling of goods
(m) Methods for loading of products are not
documented
(m) Methods for the transportation of products
are not documented
(M) Methods developed for product loading and
transport do not adequately protect product
(M) Foreign material prevention methods are not
developed
(m) No responsibility for the prevention of
foreign material have been defined
(m) Foreign material prevention controls are not
communicated to staff
(M) Foreign material prevention controls are not
implemented
(m) There are no methods for handling waste
documented
(m) The methods for handling waste within
premises are not adequate to control all waste
(m) Methods do not include proper storage of
waste prior to disposal
printed materials
Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
 Clause Item
14.2.8.1 Premises and Equipment Maintenance (D) The broker shall ensure that the methods and responsibility for
the maintenance and repair of food storage areas, equipment
and buildings used to store, handle, recoup, process or pack
food or feed products that are included within their scope of
certification, are documented, planned and carried out in a
manner that minimizes the risk to product safety.
14.2.9.1 Calibration (D) The broker shall ensure that the methods and responsibility for
the calibration and re-calibration of measuring, test and
inspection equipment used for monitoring safety and quality
activities, food safety plans and food quality plans for products
included within the scope of certification, shall be documented
and implemented.
14.2.9.2 Calibration (D) The broker shall ensure that procedures are documented and
implemented at contracted sites to address the disposition of
potentially affected product should measuring, test and
inspection equipment be found to be out of calibration state.
14.2.9.4 Calibration (D) The broker shall ensure that equipment at contracted sites is
calibrated against national or international reference standards standards are known at the contracted site
and methods or to accuracy appropriate to its use.
14.2.10.1 Management of Pests and Vermin (D) The broker shall ensure that the methods and responsibility
for integrated pest management of food storage areas,
equipment and buildings used to store, handle, recoup,
process or pack food, feed, or food packaging shall be
documented and effectively implemented. The premises, its
surrounds, storage facilities, machinery and equipment shall be
kept free of waste or accumulated debris so as not to attract
pests and vermin.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) The broker does not ensure that there is a
planned maintenance schedule at the contracted
site
(M) The broker does not ensure that maintenance
activities at the contract site does not pose risk
product safety and integrity
(M) The broker does not ensure that the calibration
methods for monitoring equipment are documented
at the contracted site
(m) The broker does not ensure that methods for
calibration of equipment include responsibilities for
calibration methods at the contracted site
(m) The broker does not ensure that procedures are
in place address disposition of potentially affected
product at the contracted site
(M) The broker does not ensure that potentially
affected product is adequately disposed at the
contracted site
(M) The broker does not ensure that calibration
(M) The broker does not ensure that calibration
standards are followed at the contracted site
(M) The broker does not ensure that methods for
integrated pest management are documented at the
contracted site
(m) The broker does not ensure that the
responsibility of integrated pest management is
identified at the contracted site
(m) The broker does not ensure that the pest
management program includes exterior or
surrounding areas at the contracted site
 Clause
14.2.10.2 Management of Pests and Vermin (D)
14.2.12.1 Cleaning and Sanitation (D)
14.2.12.5 Cleaning and Sanitation (D)
Item
The broker shall ensure that the pest and vermin management
program at contracted sites complies with the following:
i. Describe the methods and responsibility for the
development, implementation and maintenance of the pest
and vermin management program;
ii. Identify the target pests for each pesticide application;
iii. Outline the methods used to prevent pest problems;
iv. Outline the pest elimination methods;
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;
vii. List the chemicals used (they are required to be approved
by the relevant authority and their or Safety Data Sheets (SDS) contracted site
made available);
viii. Outline the methods used to make staff aware of the bait
control program and the measures to take when they come in
contact with a bait station;
ix. Outline the requirements for staff awareness and training in pest control devices is available at the contracted
the use of pest and vermin control chemicals and baits; and
x. Measure the effectiveness of the program to verify the
elimination of applicable pests.
The broker shall ensure that the methods and responsibility
for the cleaning of areas used to store, handle, recoup, process site has a documented cleaning program
or pack products, staff amenities and toilet facilities shall be (M)
documented and implemented. Consideration shall be given
to:
i. What is to be cleaned;
ii. How it is to be cleaned;
iii. When it is to be cleaned;
iv. Who is responsible for the cleaning; and
v. The responsibility and methods used to verify the
effectiveness of the cleaning and sanitation program.
The broker shall ensure that the responsibility and methods
used to verify the effectiveness of the cleaning procedures in
contracted facilities is documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) The broker does not ensure that the methods
for the pest management program are developed at
the contracted site
(m) The broker does not ensure that target pests
are included in program at the contracted site
(m)The broker does not ensure that the methods
used to prevent pest problems are defined at the
contracted site
(m) The broker does not ensure that the methods
used to eliminate pests are defined at the
contracted site
(m) The broker does not ensure that the frequency
for checking of pest status is developed at the
(m) The broker does not ensure that the frequency
of checking pest control devices is followed by
responsible personnel at the contracted site
(m) The broker does not ensure that a site map of
site
(M)The broker does not ensure that a list of
chemicals used for pest control is available at the
contracted site
(m) The broker does not ensure that a list of
chemical used for pest control is complete at the
contracted site
(M)The broker does not ensure that all pest control
chemicals used at the contracted site are approved
(m) The broker does not ensure that MSDS are
available for one pest control chemical used at the
contracted site
(M) The broker does not ensure that MSDS are
available for any pest control chemical used at the
contracted site
(m) The broker does not ensure that staff
awareness of pest control devices is not evident at
the contracted site
(M) Thebroker
brokerdoes
doesnotnotensure
ensurethat
that the
staffcontracted
(m) The
awareness of pest control chemicals and baits iws
The broker does not ensure that critical
not evident at the contracted site
equipment and does
areasnot
of the contracted site are for
(m) The broker ensure that measures
covered in the cleaning
the effectiveness of the program
pest program are in place at
(m) The brokersite
does not ensure that cleaning
the contracted
methods include what is to be cleaned at the
contracted site
(m) The broker does not ensure that cleaning
methods include how items are to be cleaned at the
contracted site
(m) The broker does not ensure that cleaning
methods include frequency of cleaning at the
contracted site
(m) The broker does not ensure that cleaning
methods include the responsibility for cleaning at
the contracted site
(m) The broker does not ensure that the cleaning
program includes method for verification of the
effectiveness of sanitation at the contracted site
(m) The broker does not ensure that a sanitation
verification schedule is available at the contracted
site
(m) The broker does not ensure that methods are
established for verification of sanitation at the
contracted site
(m) The broker does not ensure that the
responsibility for verification of sanitation
procedures is established at the contracted site
 Clause Item
14.7.4.1 High Risk Processes (D) The broker shall ensure that the processing of high risk food at
contracted sites is conducted under controlled conditions such
that:
i. Sensitive areas in which high risk food has undergone a “kill”
step, a “food safety intervention” or is subject to post process
handling, are protected/segregated from other processes, raw
materials or staff who handle raw materials to ensure cross
contamination is minimized;
ii. Areas in which high risk processes are conducted are only
serviced by staff dedicated to that function;
iii. Staff access points are located, designed and equipped to
enable staff to don distinctive protective clothing and to
practice a high standard of personal hygiene to prevent
product contamination;
iv. Product transfer points are located and designed so as not
to compromise high risk segregation and to minimize the risk
of cross contamination; and
v. An environmental monitoring program shall be in place for
high risk areas. At a minimum, a written procedure detailing
the applicable pathogens or indicator organisms to test for that
industry, the number of samples to be taken and the frequency
of sampling and corrective actions shall be documented. The
responsibility and methods shall be documented and
implemented. A sampling schedule shall be prepared.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) The broker does not ensure that an
environmental monitoring program in place for high
risk food at the contracted site
(m) The broker does not ensure that the EM
procedure includes the applicable pathogens or
indicator organisms at the contracted site
(M) The broker does not ensure that EM procedures
include appropriate organisms for the commodity at
the contracted site
(m)The broker does not ensure that number of
samples are defined for the EMP at the contracted
site
(m) The broker does not ensure that the EMP
sampling frequency is defined at the contracted site
(m) The broker does not ensure that the EMP
defines corrective action at the contracted site
(M) The broker does not ensure that appropriate
corrective action is taken at the contracted site

14.7.5.1 Control of Foreign Matter Contamination The broker shall ensure that the responsibility and methods (M) The broker does not ensure that foreign material
(D) used to prevent foreign matter contamination of the broker’s prevention methods are developed at the contracted
product within contracted sites is documented, implemented site
and communicated to all staff within that facility. (m) The broker does not ensure that the
responsibility for the prevention of foreign material
has been identified at the contracted site
(m) The broker does not ensure that foreign material
prevention controls are communicated to staff at the
contracted site
(M) The broker does not ensure that foreign material
prevention controls are implemented at the
14.7.6.1 Detection of Foreign Objects (D) The broker shall ensure that the responsibility, methods and contracted
(M) site does not ensure that methods are
The broker
frequency for monitoring, maintaining, calibrating and using developed for the monitoring, maintenance, or
screens, sieves, filters or other technologies to remove or calibration of filters and screens at the contracted
detect foreign matter at contracted sites are documented and site
implemented. (m) The broker does not ensure that the
responsibility is assigned for the monitoring,
maintenance, or calibration of filters and screens at
the contracted site
(M) The broker does not ensure that methods are
implemented for the monitoring, maintenance, or
14.9.1.1 Dry and Liquid Waste Disposal (D) The broker shall ensure that the responsibility and methods calibration of filters
(m) The broker doesand
notscreens
ensure at the
that contracted
there are
used to collect and handle dry, wet and liquid waste and store site
methods for handling waste documented at the
prior to removal from contracted sites shall be documented contracted site
and implemented. (m) The broker does not ensure that the methods
for handling waste within the contracted site are
adequate to control all waste
(m) The broker does not ensure that methods
include proper storage of waste prior to disposal
from the contracted site
Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
 Clause
Opening Meeting

Closing Meeting

Facility Description

Auditor Recommendation

2.1.1.1 Management Policy (M)

2.1.2.1 Management Responsibility (M)

2.1.2.2 Management Responsibility (M)

2.1.2.3 Management Responsibility (M)

2.1.2.4 Management Responsibility (M)

2.1.2.5 Management Responsibility (M)

2.1.2.6 Management Responsibility (M)

2.1.2.7 Management Responsibility (M)

2.1.3.1 Food Safety Management System (M)

2.1.4.1 Management Review (M)

2.1.4.2 Management Review (M)

2.1.4.3 Management Review (M)

2.1.4.4 Management Review (M)

2.1.4.5 Management Review (M)

2.2.1.1 Document Control (M)

2.2.1.2 Document Control (M)

2.2.2.1 Records (M)

2.2.2.2 Records (M)

2.3.2.1 Raw and Packaging Materials

2.3.3.1 Contract Service Providers

2.3.5.1 Finished Product

2.4.1.1 Food Legislation (M)

2.4.2.1 Food Safety Fundamentals (M)

2.4.2.2 Food Safety Fundamentals (M)

2.4.5.1 Incoming Goods and Services

2.4.5.2 Incoming Goods and Services

2.4.5.3 Incoming Goods and Services

2.4.6.1 Non-conforming Product or Equipment

2.4.6.2 Non-conforming Product or Equipment

2.4.7.1 Product Rework

2.4.9.1 Stock Rotation

2.5.1.1 Responsibility Frequency and Methods

2.5.1.2 Responsibility Frequency and Methods

2.5.1.3 Responsibility Frequency and Methods

2.5.2.1 Validation and Effectiveness (M)

2.5.3.1 Verification Schedule

2.5.4.1 Verification of Monitoring Activities (M)

2.5.5.1 Corrective and Preventative Action (M)

2.5.5.2 Corrective and Preventative Action (M)

2.5.7.1 Internal Audits (M)

2.6.1.1 Product Identification (M)

2.6.1.2 Product Identification (M)

2.6.2.1 Product Trace (M)

2.6.2.2 Product Trace (M)

2.6.3.1 Product Withdrawal and Recall (M)

2.7.1.1 Food Defense (M)

2.7.1.2 Food Defense (M)

2.8.2.1 Allergen Management

2.8.2.2 Allergen Management

2.8.2.3 Allergen Management

2.8.2.4 Allergen Management

2.9.1.1 Training Requirements

2.9.2.1 Training Program (M)

2.9.3.1 Instructions

2.9.5.1 Language

2.9.6.1 Refresher Training

2.9.7.1 Training Skills Register

 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

Senior management shall prepare and implement a policy statement that

outlines as a minimum: the organization's commitment to supply safe food;
the methods used to comply with its customer and regulatory
requirements and continually improve its food safety management system;
and the organization's commitment to establish and review food safety
objectives.

The organizational reporting structure describing those who have

responsibility for food safety shall be defined and communicated within
the organization.

The senior management shall make provision to ensure fundamental food

safety practices are adopted and maintained.

The senior management shall ensure adequate resources are available to

achieve food safety objectives and support the development,
implementation, maintenance and ongoing improvement of the SQF
System.
The senior management shall designate an SQF practitioner for each site
with responsibility and authority to oversee the development,
implementation, review and maintenance of the SQF System, including
food safety fundamentals outlined in 2.4.2, and the food safety plan
outlined in 2.4.3, to take appropriate action to ensure the integrity of the
SQF System, communicate to relevant personnel all information essential
to ensure the effective implementation and maintenance

The SQF practitioner shall be employed by the supplier as a company

employee on a full-time basis, hold a position of responsibility in relation to
the management of the supplier's SQF System, have completed a HACCP-
based training course and be competent to implement and maintain
HACCP-based food safety plans, have an understanding of the SQF Code
level 2 and the requirements to implement and maintain SQF Systems
relevant to the supplier scope of certification.

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.

All staff shall be informed of their responsibility to report food safety

problems to personnel with authority to initiate action.
A food safety manual shall be documented and maintained in either
electronic and/or hard copy form. It shall outline the methods the
organization will use to meet the requirements of this Standard, be made
available to staff and include a summary of the organization's food safety
policies and the methods it will apply to meet the requirements of this
standard, policy statement and organization chart, the scope of the
certification, include a list of the products covered under the scope of
certification.

The senior management shall be responsible for reviewing the SQF System
and documenting the review procedure. Reviews shall include the policy
manual, internal and external audit findings, corrective actions and their
investigations and resolution, customer complaints and their resolution
and investigation.

The SQF System in its entirety shall be reviewed at least annually.

Food safety fundamentals and food safety plans shall be reviewed when
any changes implemented have an impact on the supplier's ability to
deliver safe food.
The SQF practitioner shall be responsible for validating changes to food
safety fundamentals and/or food safety/quality plans that have an impact
on the supplier's ability to deliver safe food are to be vlaidated.

Records of all reviews and reasons for amending documents, validations

and changes to the SQF System shall be maintained.

The methods and responsibility for maintaining document control and

ensuring staff have access to current documents shall be documented and
implemented.

A register of current SQF System documents and amendments to

documents shall be maintained.
The methods and responsibility for undertaking monitoring activities,
verifying, maintaining and retaining records shall be documented and
implemented.

All records shall be legible and suitably authorized by those undertaking

monitoring activities that demonstrate inspections, analyses and other
essential activities have been completed.

Specifications for all raw and packaging materials, including, but not limited
to ingredients, additives, hazardous chemicals and processing aids that
impact on finished product safety shall be documented and kept current.
Specifications for contract services that have an impact on finished product
safety shall be documented, current, include a full description of the
service to be provided and detail relevant training requirements of
contract personnel.

Finished product specifications shall be documented, current, approved by

the supplier and their customer, accessible to relevant staff and may
include microbiological and chemical limits, labeling and packaging
requirements.

The organization shall ensure that, at the time of delivery to its customer,
the food supplied shall comply with the legislation that applies to the food
and its production in the country of its origin and destination. This includes
compliance with legislative requirements applicable to maximum residue
limits, food safety, packaging, product description, nutritional, allergen and
additive labeling, and to relevant established industry codes of practice.

The property, buildings and equipment shall be located, constructed,

designed and maintained to facilitate the hygienic production,
manufacture, handling, storage and/or delivery of safe food.

The supplier shall ensure the food safety fundamentals described in the
relevant subsequent modules of this Code (i.e. modules 3 – 15) are applied
or exempted according to a detailed risk analysis outlining the justification
for exclusion or evidence of the effectiveness of alternative control
measures to ensure that food safety and quality are not compromised.

Raw materials, ingredients, packaging materials and services that impact

on finished product safety shall be supplied by an approved supplier.
The receipt of raw materials, ingredients, and packaging materials received
from non-approved supplier shall be acceptable in an emergency situation
provided they are inspected or analyzed before use.

The responsibility for selecting, evaluating, approving and monitoring an

approved supplier shall be documented and implemented.

The responsibility and methods outlining how non-conforming product,

raw material, ingredient, work-in-progress, packaging or equipment
detected during receipt, storage, processing, handling or delivery is
handled shall be documented and implemented. The methods applied
shall ensure: Non-conforming product is quarantined, identified, handled
and disposed of in a manner that minimizes the risk of inadvertent use,
improper use or risk to the integrity of finished product; and Non-
conforming equipment is effectively repaired or disposed of in a manner
that minimizes the risk of inadvertent use, improper use or risk to the
integrity of finished product; All relevant staff is aware of the organization's
quarantine and release requirements applicable to equipment or product
placed under quarantine status. For producers, the procedure must
document the grower, field name, quantity and final disposition of the
unacceptable materials when applicable.

Quarantine records, and records of the handling, corrective action, or

disposal of non-conforming product or equipment shall be maintained.
The responsibility and methods outlining how the product is reworked
(recycled or recouped) 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 of reworked product is inspected or analyzed as required
before release;
iv. Inspections and analyses shall conform to the requirements outlined in
element 2.5.6; and
v. Release of reworked product shall conform to element 2.4.8.

The responsibility and methods for ensuring effective stock rotation

principles are applied shall be documented and implemented.

Validation and verification activities shall be conducted.

The frequency and methods used to validate and verify food safety
fundamentals, critical limits, and other food safety controls identified in
food safety plans shall be documented and implemented and meet their
intended purpose.

Records of all verification activities shall be maintained.

The methods, responsibility and criteria for ensuring the effectiveness of

pre-requisite programs, and validating critical food safety limits to ensure
they achieve their intended purpose shall be documented and
implemented. The methods applied shall ensure that pre-requisite
programs are confirmed to ensure they achieve the required result, that
critical limits are selected to achieve the designated level of control of the
identified food safety hazard(s), all critical limits and control measures
individually or in combination effectively provide the level of control
required, all critical limits and control measures individually or in
combination effectively provide the level of control required, changes to
the processes or procedures are assessed to ensure controls are still
effective, ensure that critical food safety limits are re-validated at least
annually.
A verification schedule outlining the verification activities, their frequency
of completion and the person responsible for each activity shall be
prepared and implemented.

The methods, responsibility and criteria for verifying the effectiveness of

monitoring pre-requisite programs critical control points and other food
safety controls identified shall be documented and implemented. The
methods applied shall ensure that personnel with responsibility for
verifying monitoring activities authorize each record verified.

The responsibility and methods outlining how corrections and corrective

actions are investigated, resolved, managed and controlled, including the
identification of the root cause and resolution of non-compliance of critical
food safety limits, and deviations from food safety requirements, shall be
documented and implemented.

Records of all investigation and resolution of corrections and corrective

action shall be maintained.
The methods and responsibility for scheduling and conducting internal
audits to verify the effectiveness of the SQF System including facility and
equipment inspections, pre-requisite programs, food safety plans and
legislative controls shall be documented and implemented. The methods
applied shall ensure an internal audit schedule is prepared detailing the
scope and frequency of internal audits, ensure correction and corrective
action of deficiencies identified during the internal audits are undertaken,
audit results are communicated to relevant management personnel and
staff responsible for implementing and verifying corrective actions; and
Audit results are communicated to relevant management personnel and
staff responsible for implementing and verifying corrective actions
The methods and responsibility for identifying products during all stages of
production and storage shall be documented and implemented. The
product identification system shall be implemented to ensure raw
materials, work in progress and finished product are clearly identified
during all stages of receipt, production, storage and dispatch, finished
product is labeled to the customer specification and/or regulatory
requirements.

Product identification records shall be maintained.

The responsibility and methods used to trace product shall be documented
and implemented to ensure finished product is traceable to the customer
(one up) and provides traceability through the process to the supplier and
date of receipt of raw materials, food contact packaging and materials and
other inputs (one back),; traceability is maintained where product is
reworked; the effectiveness of the product trace system shall be tested at
least annually.

Records of raw and packaging material receipt and use, and product
dispatch and destination shall be maintained.
The responsibility and methods used 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 management procedures to be implemented including
sources of legal and expert advice; and
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. SQFI and the certification body shall be listed as an essential body and
notified in instances of a food safety incident of a public nature
, or product recall for any reason.

The methods, responsibility and criteria for preventing food adulteration

caused by a deliberate act of sabotage or terrorist-like incident shall be
documented, implemented and maintained.
A food defense protocol shall be prepared and include: The name of the
senior management person responsible for food defense; The methods
implemented to ensure only authorized personnel have access to crops,
production equipment and vehicles, manufacturing and storage areas
through designated access points; The methods implemented to protect
sensitive processing points from intentional adulteration; The measures
taken to ensure the secure storage of raw materials, packaging, equipment
and hazardous chemicals; The measures implemented to ensure harvested
crop and/or finished product is held under secure storage and
transportation conditions; and The methods implemented to record and
control access to the premises by employees, contractors, and visitors.

The responsibility and methods used to control allergens and to prevent

sources of allergens from contaminating product shall be documented and
implemented. The allergen management program shall include the
hazards associated with allergens and their control incorporated into the
food safety plan, include cleaning and sanitation of product contact
surfaces between line changeovers shall be effective, appropriate to the
risk and legal requirements, and sufficient to remove all potential target
allergens from product contact surfaces, including aerosols as appropriate,
to prevent cross contact.
The product identification system shall make provision for clear
identification and labeling in accordance with regulatory requirements of
those products produced on production lines and equipment on which
foods containing allergens were manufactured.

The product trace system shall take into consideration the conditions
under which allergen containing foods are manufactured and ensure full
trace back of all ingredients used.

Re-working of product containing allergen causing agents shall be

conducted under conditions that ensure product safety and integrity is
maintained. Re-worked product containing allergens shall be clearly
identified and traceable.

Appropriate training shall be provided for personnel carrying out the tasks
critical to the effective implementation of the SQF level 2 system and the
maintenance of food safety and regulatory requirements.

An employee training program shall be documented and implemented. It

shall outline the necessary competencies for specific duties and the
training methods to be applied for those staff carrying out tasks associated
with: Developing and applying Good Agricultural Practices, Good
Aquaculture Practices, or Good Manufacturing Practices (as appropriate).
Applying food regulatory requirements; Steps identified by the hazard
analysis and/or other instructions as critical to effective implementation of
the food safety plan and the maintenance of food safety; and
Tasks identified as critical to meeting the effective implementation and
maintenance of the SQF System.
Instructions shall be available explaining how all tasks critical to meeting
regulatory compliance, the maintenance of food safety and process
efficiency are to be performed.

Training materials and the delivery of training shall be provided in language

understood by staff.
The training program shall include provision for identifying and
implementing the refresher training needs of the organization.

A training skills register describing who has been trained in relevant skills
shall be maintained. The register shall indicate the participant name, skills
description, description of the training provided, date training completed,
the trainer or training provider, and the supervisor's verification the
training was completed and that the trainee is competent to complete the
required tasks.
 Secondary Response Primary Response

(0) Issue of Certification of Registration

recommended once deficiencies rectified
(0) Grant New Certification
(0) Maintain Certification
(0) Suspend Certification
(0) Withdraw Certification

(M) There is no policy statement

(m) Policy Statement does not include the
organizations commitment to supply safe
food
(m) Policy Statement does not include
requirements to comply with customer or
regulatory expectations
(m) Policy statement does not include the
organization's commitment to establish and
review food safety objectives

(m) Not communicated within the

organization

(M) Senior management has not ensured

that food safety practices have been adopted

(M) The senior management has not

provided sufficient resources to support the
documentation, implementation, and
improvement of the SQF system
(m) The senior management has not
provided sufficient resources to achieve the
food safety objectives
(m) The senior management has not
provided sufficient resources to support the
on-going maintenance and improvement of
the SQF System
(M) There is no designated SQF Practitioner
(m) SQF Practitioner does not have
responsibility and authority to lead the
development and implementation of the
Food Safety Fundamentals outlined in 2.4.2
(m) SQF Practitioner does not have
responsibility and authority to lead the
development and implementation of the
Food Safety Plan outlined in 2.4.3
(m) SQF Practitioner does not have
responsibility and authority to oversee the
development implementation, review and
maintenance of the SQF System
(m) SQF Practitioner does not have the
responsibility or authority to take appropriate
action to ensure the integrity of the SQF
System

(M) SQF Practitioner does not work for the

operation
(M) SQF Practitioner does not have HACCP
training
(M) SQF Practitioner does not have a
demonstrable knowledge of HACCP relative
to the operation
(M) SQF Practitioner is not able to
demonstrate a thorough knowledge of the
SQF code
(m) SQF Practitioner's knowledge of relevant
sections of the SQF code (i.e. modules
relevant to the sites food sector categories)
is incomplete

(m) Responsibility for establishing the

training needs of the organization has not
been implemented
(m) Responsibility for implementing the
training needs of the organization has not
been implemented
(M) Staff do not have the competencies to
carry out the functions affecting product
legality, or safety

(M) Staff have not been informed of their

responsibility to report food safety problems
to personnel with the authority to initiate
action
(m) Staff do not know who the responsible
person is that they should report food safety
problems to
(m) Staff are aware of their responsibility but
do not report food safety problems
(M) No documented Food Safety Manual
(m) The summary of the food safety policies
does not include the methods applied to
meet the requirements of the standard
(m) Policy Statement is not included
(m) Organizational chart is not available or
updated
(m) A list of the products covered under the
Scope of Certification is not included
(M) The FSM does not include or reference
the written procedures
(M) The FSM does not include or reference
the pre-requisite programs
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System is not included
(M) Food Safety Manual is not maintained
(m) Food Safety Manual is not available to
relevant staff
(m) Organizational chart is out of date
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System is not included

(m) The senior management is not involved

in reviewing the SQF system in its entirety
(M) The reviewing procedure is not
implemented
(m) Audit findings are not reviewed
(m) Customer complaints are not reviewed

(M) The entire SQF System is not reviewed

annually by senior management
(M) Changes which have major impact on
the ability to deliver safe food do not trigger a
review of the Food Safety Fundamentals
(M) Changes which have major impact on
the ability to deliver safe food do not trigger a
review of the Food Safety Plans
(m) Major changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Major changes to the Food Safety Plan
are not validated by an SQF Practitioner
(m) Small, or minor changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Small or minor changes to the Food
Safety Plan are not validated by an SQF
Practitioner

(m) Records of all reviews of the SQF

System are not maintained
(m) Records and reasons for amending
documents are not maintained
(m) Validation records of the SQF System
are not maintained
(m) Records of all changes to the SQF
System are not maintained

(m) Methods for maintaining document

control are not documented
(m) Methods for maintaining document
control are not implemented
(m) Responsibilities for maintaining
document control are not documented
(m) Responsibilities for maintaining
document control are not implemented
(M) Staff do not have access to current
documents

(m) No register of SQF system documents is

available
(m) Register of SQF system documents is
not easily accessible
(M) Methods for undertaking monitoring
activities are not documented
(M) Methods for undertaking monitoring
activities are not implemented
(m) Responsibilities for undertaking
monitoring activities are not documented
(m) Responsibilities for undertaking
monitoring activities are not implemented
(m) Methods for verifying records are not
documented
(M) Methods for verifying records are not
implemented
(m) Responsibilities for verifying records are
not documented
(m) Responsibilities for maintaining records
are not documented
(m) Responsibilities for maintaining records
are not implemented
(m) Methods for maintaining records are not
documented
(m) Methods for maintaining records are not
implemented

(m) Records are not legible

(m) Records are not signed or otherwise
authorized by those undertaking monitoring
activities
(m) Specifications for raw materials that
impact food safety are not documented
(m) Specifications for raw materials that
impact food safety are not kept current
(m) Specifications for raw materials that
impact food safety do not comply with
relevant legislation
(m) Specifications for packaging materials
that impact food safety are not documented
(m) Specifications for packaging materials
that impact food safety are not kept current
(m) Specifications for packaging materials
that impact food safety do not comply with
relevant legislation

OIP
(m) There are no documented specifications
for contract services that impact finished
product safety
(m) The specifications for contract services
that impact finished product safety are not
current
(m) The specifications for contract services
that impact finished product safety do not
have a description of the service
(m) Specifications for contract personnel do
not include training requirements

(m) A register of finished product

specifications is not maintained
(m) A register of finished product
specifications is not current
(m) Finished product specifications are found
to be not current
(M) Product specifications are not being
followed

(M) Organization does not ensure food

supplied complies with the food safety
legislation that applies to the food and its
production in the country of its origin
(M) Organization does not ensure food
supplied complies with the food safety
legislation that applies to the food and its
production in the country of destination

(M) Facility is not designed to manufacture

safe food
(M) Equipment is not designed to
manufacture safe food

(M) The food safety fundamentals were not

followed
(m) A risk analysis was not conducted to
exclude or provide alternative control to
elements in the food safety fundamentals

(M) Raw materials are not from an approved

supplier
(M) Packing materials are not from an
approved supplier
(M) Ingredients materials are not from an
approved supplier
(m) Services rendered do not come from an
approved supplier
(m) Raw materials from non approved
suppliers do not undergo inspection prior to
use
(m) Raw materials were accepted from non-
approved suppliers in non-emergency
situations

(M) No approved supplier program is

documented
(M) Supplier approval program is not
implemented
(M) Responsibilities or methods for handling
non-conforming materials is not documented
(M) Responsibilities or methods for handling
non-conforming materials is not implemented
(m) Identification of product does not
minimize risk of inadvertent use
(m) Identification of product does not
minimize risk of integrity of finished product
(m) Staff is not aware of product isolation
and release policy
(m) Handling does not minimize the risk of
inadvertent use
(m) Handling does not minimize the risk of
improper use
(m) Disposal does not minimize the risk of
inadvertent use
(m) Disposal does not minimize the risk of
improper use
(m) Disposal does not minimize the risk to
the integrity of finished product
(M) The producer did not document the
grower, field name, quantity

(m) Records of non-conforming product are

not maintained
(M) Responsibility and methods are not
documented
(M) Responsibility and methods are not
implemented
(m) Reworked product is not identified
(m) Reworked product is not traceable
(m) Reworking operations are not supervised
by qualified personnel
(m) Rework product is not inspected or
analyzed prior to release
(m) Inspections do not conform to section
2.5.6
(m) Release of reworked product does not
conform to section 2.4.8

(m) Stock rotation principles have not been

documented
(m) Stock rotation principles have not been
implemented
(M) Validation activities are not conducted
(M) Verification activities are not conducted

(M) Frequency and methods used to validate

food safety fundamentals are not
documented
(M) Frequency and methods used to validate
food safety fundamentals are not
implemented
(M) Frequency and methods used to validate
food safety fundamentals do not meet their
intended purpose

(m) Records of activities are not maintained

(M) The methods and responsibility and

criteria for ensuring the effectiveness of the
pre-requisite programs are not documented
(M) The methods and responsibility and
criteria for ensuring the effectiveness of the
pre-requisite programs are not implemented
(M) Pre-requisite programs do not achieve
their intended purpose
(M) Critical food safety limits are not
validated
(m) Methods do not confirm that the required
result is achieved
(m) Critical limits do not effectively provide
the designated level of control
(m) Critical limits and control measures do
not effectively provide the required level of
control
(m) Critical limits are not re-validated at least
annually
(m) Verification schedule is not prepared
(m) Verification schedule is not implemented
(m) Verification schedule is not complete and
outline the frequency or person responsible

(m) Methods for verifying the effectiveness of

the monitoring pre-requisite programs and
CCPs are not documented
(M) Methods for verifying the effectiveness of
the monitoring pre-requisite programs and
CCPs are not implemented
(m) Records were not authorized

(M) Responsibilities and methods outlining

how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not documented
(M) Responsibilities and methods outlining
how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not implemented
(m) Root cause analysis for non-compliance
to critical food safety limits has not been
identified
(m) Root cause analysis and resolution for
non-compliance to critical food safety limits
has not been identified

(m) Records of corrective actions are not

maintained
(M) Inspections of the facility and equipment
are not planned
(M) Inspections of the facility are not carried
out
(m) The supplier did not take correction and
corrective action
(m) Audit schedule does not include scope
and frequency
(m) Audit results were not communicated to
relevant management personnel or staff(m)
Records were not maintained
(M) Methods for identifying products during
all stages of the process is not documented
(M) A product identification system is not
implemented
(M) Product is not clearly identified during all
stages of the process
(m) Finished product is not labeled to the
customer or regulatory requirements

(m) Records are not maintained

(M) Product trace system is not documented
(M) Product trace system is not implemented
(M) Product trace system is not traceable
one up and one back
(M) Traceability is not maintained where
product is reworked
(m) The effectiveness of the product trace
system is not tested annually

(m) Records are not maintained

(M) Methods and responsibility for notifying

customer and other essential bodies are not
documented
(M) Methods and responsibility for notifying
customer and other essential bodies are not
implemented
(M) SQFI was not notified of a product recall

(m) No responsibility for food defense have

been assigned
(m) No methods for food defense have been
developed
(m) Food defense plan has not been
implemented
(m) No methods to ensure only authorized
vehicles have access
(m) No methods to identify authorized
personal who have access
(m) No methods identified to secure
hazardous chemicals
(m) No methods identified to secure
packaging and harvesting equipment
(m) No methods identified to protect crop
from intention adulteration
(m) No measure taken to secure storage
areas for harvested crops
(m) No methods in place to record visitors or
contractors to the facility
(m) No methods in place to record access of
employees to the premises

(M) No methods to control allergens

developed
(M) Methods developed to control allergens
are not sufficient
(M) No risk assessment for raw materials
containing allergens have been conducted
(m) Not all ingredients with allergens
included in risk assessment
(m) No list of ingredients with allergens has
been developed
(M) Controls for the allergens identified in
risk assessment not included in food safety
plan
(M) Cleaning and sanitation of equipment is
not completed prior to changeover of
allergen products
(M) Controls are not developed to
segregated products with allergen causing
agents
(C) Conditions are observed in which
products are comingled with products
containing allergens
(M) Cleaning of equipment containing
allergens is not verified prior to product
changeover
(m) Verification of sanitation effectiveness is
not implemented
(M) Equipment segregation for allergen
control is not conducted
(M) Equipment segregation for allergen
control does not minimize potentially for
cross-contact
(m) Specific procedures for the storage of
allergen containing ingredients has not been
developed
(M) Conditions exist within storage area of
potential cross contact between allergen and
non-allergen ingredients
(M) Equipment segregation for allergen
control does not minimize potentially for
cross-contact

(M) Product identification system does not

address allergens
(M) Products containing allergens are not
properly labeled to identify them as allergens
(M) Product trace system does not address
products and ingredients with allergens
(M) Product traces system does not capture
all ingredients with allergens

(M) Product reworked is not adequately from

product which contains allergens
(M) Product reworked is not properly labeled
(M) Product trace does not include reworked
product with allergens

(m) Adequate training in the SQF system

was not provided to staff
(m) Employees with assigned tasks in SQF
have no training on SQF systems

(m) Employee training program does not

include good manufacturing/ agricultural
practices (as appropriate)
(m) Employee training program does not
include pre-requisite programs
(m) Employee training program does not
include food regulatory requirements
(m) Employee training program does not
include hazard analysis
(m) Employee training program does not
include maintenance of food safety plan
(m) Employee training program does not
include customer specifications
(m) There are no specific work instructions
for adherence to customer specifications
(m) There are no specific work instructions
for maintenance of food safety plan
(m) There are not specific work instructions
for maintenance of quality or process
(m) There are no specific work instructions
for adherence to regulatory compliance
(m) There are no specific work instructions
for maintenance of food safety plan
(m) There are not specific work instructions
for maintenance of quality or process

(m) Training was not provided in necessary

languages to be understood by staff
(m) Training program does not define
refresher training requirement
(m) Training program does not identify
means for achieving refresher training
requirement

(m) Training skills register does not include

participant name
(m) Training skills register does not include
skills description
(m) Training skills register does not include
description of training provided
(m) Training skills register does not include
date of the training
(m) Training skills register does not include
trainer or training provider
(m) Training skills register does not include
supervisor verification that training was
effective
Evidence Supplier Onsite Correction
0
 Clause
Opening Meeting
Closing Meeting
Facility Description
Auditor Recommendation
2.1.1.1 Management Policy (M)
2.1.1.2 Management Policy (M)
2.1.2.1 Management Responsibility (M)
2.1.2.2 Management Responsibility (M)
2.1.2.3 Management Responsibility (M)
2.1.2.4 Management Responsibility (M)
2.1.2.5 Management Responsibility (M)
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
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 (0) Issue of Certification of Registration
recommended once deficiencies rectified
(0) Grant New Certification
(0) Maintain Certification
(0) Suspend Certification
(0) Withdraw Certification
Senior management shall prepare and implement a policy statement that (M) There is no policy statement
outlines as a minimum: the organization's commitment to supply safe food; (m) Policy Statement does not include the
the methods used to comply with its customer and regulatory organizations commitment to supply safe
requirements and continually improve its food safety management system; food
and the organization's commitment to establish and review food safety (m) Policy Statement does not include
objectives. requirements to comply with customer or
regulatory expectations
(m) Policy statement does not include the
organization's commitment to establish and
review food safety objectives
The policy statement shall be: signed by senior management; made (m) Policy statement not signed by senior
available in language understood by all staff; and displayed in a prominent manager
position and effectively communicated to all staff (m) Policy Statement not made available in
language understood by all staff
The organizational reporting structure describing those who have (m) Not communicated within the
responsibility for food safety shall be defined and communicated within organization
the organization.
The senior management shall make provision to ensure fundamental food (M) Senior management has not ensured
safety practices are adopted and maintained. that food safety practices have been adopted
The senior management shall ensure adequate resources are available to (M) The senior management has not
achieve food safety objectives and support the development, provided sufficient resources to support the
implementation, maintenance and ongoing improvement of the SQF documentation, implementation, and
System. improvement of the SQF system
(m) The senior management has not
provided sufficient resources to achieve the
food safety objectives
(m) The senior management has not
provided sufficient resources to support the
on-going maintenance and improvement of
the SQF System
The senior management shall designate an SQF practitioner for each site (M) There is no designated SQF Practitioner
with responsibility and authority to oversee the development, (m) SQF Practitioner does not have
implementation, review and maintenance of the SQF System, including responsibility and authority to lead the
food safety fundamentals outlined in 2.4.2, and the food safety plan development and implementation of the
outlined in 2.4.3, to take appropriate action to ensure the integrity of the Food Safety Fundamentals outlined in 2.4.2
SQF System, communicate to relevant personnel all information essential (m) SQF Practitioner does not have
to ensure the effective implementation and maintenance responsibility and authority to lead the
development and implementation of the
Food Safety Plan outlined in 2.4.3
(m) SQF Practitioner does not have
responsibility and authority to oversee the
development implementation, review and
maintenance of the SQF System
(m) SQF Practitioner does not have the
responsibility or authority to take appropriate
action to ensure the integrity of the SQF
System
The SQF practitioner shall be employed by the supplier as a company (M) SQF Practitioner does not work for the
employee on a full-time basis, hold a position of responsibility in relation to operation
the management of the supplier's SQF System, have completed a HACCP- (M) SQF Practitioner does not have HACCP
based training course and be competent to implement and maintain training
HACCP-based food safety plans, have an understanding of the SQF Code (M) SQF Practitioner does not have a
level 2 and the requirements to implement and maintain SQF Systems demonstrable knowledge of HACCP relative
relevant to the supplier scope of certification. to the operation
(M) SQF Practitioner is not able to
demonstrate a thorough knowledge of the
SQF code
(m) SQF Practitioner's knowledge of relevant
sections of the SQF code (i.e. modules
relevant to the sites food sector categories)
is incomplete
2.1.2.6 Management Responsibility (M)
2.1.2.7 Management Responsibility (M)
2.1.2.8 Management Responsibility (M)
2.1.2.9 Management Responsibility (M)
2.1.3.1 Food Safety Management System (M)
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.
All staff shall be informed of their responsibility to report food safety
problems to personnel with authority to initiate action.
Job descriptions for those responsible for food safety shall be documented (M) Job descriptions for those responsible for
and include provision to cover for the absence of key personnel. food safety are not documented
The senior management shall establish processes to improve the (m) Senior management has not established
effectiveness of the SQF System to demonstrate continuous improvement. processes to demonstrate continuous
A food safety manual shall be documented and maintained in either
electronic and/or hard copy form. It shall outline the methods the
organization will use to meet the requirements of this Standard, be made
available to staff and include a summary of the organization's food safety
policies and the methods it will apply to meet the requirements of this
standard, policy statement and organization chart, the scope of the
certification, include a list of the products covered under the scope of
certification.
(m) Responsibility for establishing the
training needs of the organization has not
been implemented
(m) Responsibility for implementing the
training needs of the organization has not
been implemented
(M) Staff do not have the competencies to
carry out the functions affecting product
legality, or safety
(M) Staff have not been informed of their
responsibility to report food safety problems
to personnel with the authority to initiate
action
(m) Staff do not know who the responsible
person is that they should report food safety
problems to
(m) Staff are aware of their responsibility but
do not report food safety problems
(m) Job descriptions do not include provision
to cover for the absence of key personnel
improvement
(m) Continuous improvement processes are
documented but have not been implemented
(M) No documented Food Safety Manual
(m) The summary of the food safety policies
does not include the methods applied to
meet the requirements of the standard
(m) Policy Statement is not included
(m) Organizational chart is not available or
updated
(m) A list of the products covered under the
Scope of Certification is not included
(M) The FSM does not include or reference
the written procedures
(M) The FSM does not include or reference
the pre-requisite programs
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System is not included
(M) Food Safety Manual is not maintained
(m) Food Safety Manual is not available to
relevant staff
(m) Organizational chart is out of date
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System is not included
2.1.3.2 Food Safety Management System (M) A food safety manual shall be documented, maintained, made available to (M) The FSM does not include or reference
relevant staff and include or reference the written procedures, pre- the pre-requisite programs
requisite programs, food safety plans and other documentation necessary (M) The FSM does not include or reference
to support the development and the implementation, maintenance and the Food Safety Plans
control of the SQF System. (m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System are not included
(M) No food safety manual has been created
(m) The food safety manual is not complete,
several key programs are not included
(m) The food safety manual is not current,
some documented programs are not up to
date
(m) The food safety manual does not support
the implementation of the SQF system
(m) The food safety manual does not support
the maintenance of the SQF system
(m) The food safety manual does not support
the control of the SQF system
(M) The FSM does not include or reference
the pre-requisite programs
(M) The FSM does not include or reference
the Food Safety Plans
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control of
the SQF System are not included
(M) No food safety manual has been created
(m) The food safety manual is not complete,
several key programs are not included
(m) The food safety manual is not current,
some documented programs are not up to
date

2.1.4.1 Management Review (M)
2.1.4.2 Management Review (M)
2.1.4.3 Management Review (M)
The senior management shall be responsible for reviewing the SQF System (m) The senior management is not involved
and documenting the review procedure. Reviews shall include the policy in reviewing the SQF system in its entirety
manual, internal and external audit findings, corrective actions and their (M) The reviewing procedure is not
investigations and resolution, customer complaints and their resolution implemented
and investigation. (m) Audit findings are not reviewed
(m) Customer complaints are not reviewed
The SQF System in its entirety shall be reviewed at least annually. (M) The entire SQF System is not reviewed
annually by senior management
Food safety fundamentals and food safety plans shall be reviewed when (M) Changes which have major impact on
any changes implemented have an impact on the supplier's ability to the ability to deliver safe food do not trigger a
deliver safe food. review of the Food Safety Fundamentals
(M) Changes which have major impact on
the ability to deliver safe food do not trigger a
review of the Food Safety Plans

2.1.4.4 Management Review (M)
The SQF practitioner shall be responsible for validating changes to food
safety fundamentals and/or food safety/quality plans that have an impact
on the supplier's ability to deliver safe food are to be vlaidated.
(m) Major changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Major changes to the Food Safety Plan
are not validated by an SQF Practitioner
(m) Small, or minor changes to Food Safety
Fundamentals are not validated by an SQF
Practitioner
(m) Small or minor changes to the Food
Safety Plan are not validated by an SQF
Practitioner

2.1.4.5 Management Review (M)
Records of all reviews and reasons for amending documents, validations (m) Records of all reviews of the SQF
and changes to the SQF System shall be maintained. System are not maintained
(m) Records and reasons for amending
documents are not maintained
(m) Validation records of the SQF System
are not maintained
(m) Records of all changes to the SQF
System are not maintained

2.1.5.1 Complaint Management
2.1.5.2 Complaint Management
The methods and responsibility for handling and investigating the cause (m) Methods for investigating customer
and resolution of complaints from customers and authorities shall be complaints are not implemented
documented and implemented. (m) Methods for handling customer
complaints are not implemented
Trends of customer complaint data shall be investigated and analyzed by (m) Customer complaint data has not been
personnel knowledgeable about the incidents. invest aged and analyzed by personnel
knowledgeable about the incident
(m) Trends of the customer complaint data
has not been analyzed

2.1.5.3 Complaint Management
2.1.5.4 Complaint Management
Corrective action shall be implemented commensurate with the (m) Corrective action not implemented
seriousness of the incident and as outlined under 2.5.5. (m) Records of the corrective action are not
maintained
Records of customer complaints and their investigations shall be (m) Records of complaints are not
maintained. maintained
(m) Records of investigation are not
maintained
2.1.6.1 Business Continuity Planning
2.1.6.2 Business Continuity Planning
2.1.6.3 Business Continuity Planning
2.1.6.4 Business Continuity Planning
2.2.1.1 Document Control (M)
2.2.1.2 Document Control (M)
2.2.1.3 Document Control (M)
A business continuity plan based on the understanding of known food
safety threats to a business shall be prepared by senior management
outlining the methods and responsibility the organization will implement to
cope with a business crisis that may impact on the ability of the supplier to
deliver safe food.
The business continuity plan shall include as a minimum a senior manager
responsible for decision making, oversight and initiating actions arising
from a crisis management incident; the nomination and training of a crisis
management team; controls implemented to ensure a response to a crisis
does not compromise product safety; measures to isolate and identify
product affected by a response to a crisis; the preparation and
maintenance of a current crisis alert contact list; the responsibility for
internal communications and communicating with authorities, external
organizations and media. The business continuity plan shall include as a
minimum sources of legal and expert advice.
The business continuity plan shall be reviewed, tested and verified at least (m) The business continuity plan has not
annually.
Records of reviews and verification of the business continuity plan shall be (m) Records of the business continuity plan
maintained.
The methods and responsibility for maintaining document control and (m) Methods for maintaining document
ensuring staff have access to current documents shall be documented and control are not documented
implemented. (m) Methods for maintaining document
A register of current SQF System documents and amendments to
documents shall be maintained.
Documents shall be safely stored and readily accessible.
(M) There is no business continuity plan
(m) The business continuity plan does not
address the known threats relevant to the
facility
(m) The business continuity plan was not
prepared by senior management
(m) The business continuity plan does not
include the methods and responsibilities the
organization will implement to cope with a
business crisis that may impact the ability of
the supplier to deliver safe food
(m) The business continuity plan does not
designate a senior manager responsible for
making decisions, oversight and initiating
actions arising from a crisis management
incident
(m) The business continuity plan does not
include the nomination and training of a crisis
management team
(m) The business continuity plan does not
ensure a response to a crisis does not
compromise product safety, measure to
isolate and identify product affected by the
crisis response
(m) The business continuity plan does not
include the preparation and maintenance of
a current crisis alert contact list
(m) The crisis alert contact list does not
include the CB or SQFI
(m) The business continuity plan does not
designate responsibility for internal
communications and communicating with
authorities, external organizations and media
(m) The business continuity plan does not
include controls that when implemented
would not compromise product safety and
quality
(m) The business continuity plan does not
include measures taken to verify the
acceptability of food prior to release
(m) The business continuity
plan does not include legal and expert advice
been tested and verified annually
are not maintained
control are not implemented
(m) Responsibilities for maintaining
document control are not documented
(m) Responsibilities for maintaining
document control are not implemented
(M) Staff do not have access to current
documents
(m) No register of SQF system documents is
available
(m) Register of SQF system documents is
not easily accessible
(m) Documents are not safety stored
(m) Documents are not readily accessible
2.2.2.1 Records (M)
2.2.2.2 Records (M)
2.2.2.3 Records (M)
2.3.1.1 Specification and Product Development
2.3.1.2 Specification and Product Development
2.3.1.3 Specification and Product Development
2.3.1.4 Specification and Product Development
2.3.1.5 Specification and Product Development
2.3.2.1 Raw and Packaging Materials
2.3.2.2 Raw and Packaging Materials
The methods and responsibility for undertaking monitoring activities, (M) Methods for undertaking monitoring
verifying, maintaining and retaining records shall be documented and activities are not documented
implemented. (M) Methods for undertaking monitoring
activities are not implemented
(m) Responsibilities for undertaking
monitoring activities are not documented
(m) Responsibilities for undertaking
monitoring activities are not implemented
(m) Methods for verifying records are not
documented
(M) Methods for verifying records are not
implemented
(m) Responsibilities for verifying records are
not documented
(m) Responsibilities for maintaining records
are not documented
(m) Responsibilities for maintaining records
are not implemented
(m) Methods for maintaining records are not
documented
(m) Methods for maintaining records are not
implemented
All records shall be legible and suitably authorized by those undertaking (m) Records are not legible
monitoring activities that demonstrate inspections, analyses and other (m) Records are not signed or otherwise
essential activities have been completed. authorized by those undertaking monitoring
activities
Records shall be readily accessible, retrievable, securely stored to prevent (M) Records are not available
damage and deterioration and shall be retained in accordance with periods (m) Records are not completed
specified by a customer or regulations. (m) Records are not dated
(m) Records are not securely stored to
prevent damage and deterioration
(m) Records are not retained in accordance
with periods specified by a customer or
legislation (regulation)
The methods and responsibility for designing, developing and converting (M) Product development procedures are not
product concepts to commercial realization shall be documented and documented
implemented. (M) Product development procedures are not
implemented
Product formulation, manufacturing processes and the fulfillment of (m) The product formulation has not been
product requirements shall be validated by facility trials, shelf life trials and validated by facility trials
product testing. (m) The product formulation has not been
validated by shelf life trials
(m) The product formulation has not been
validated by product testing
Shelf life trials where necessary shall be conducted to establish and (m) Shelf life trials have not been conducted
validate a product's handling, storage requirements, including the of establish the products 'use by' or 'best
establishment of "use by" or "best before" dates, microbiological criteria, before' date
consumer preparation, storage and handling requirements.
A food safety plan shall be validated and verified for each new product and (M) A food safety plan has not been
its associated process through conversion to commercial production and validated and verified for each new product
distribution, or where a change to ingredients, process, or packaging occurs (M) When changes to the process,
that may impact food safety. ingredients or packaging occurred, the food
safety plan has not been validated or verified
Records of all product design, process development, shelf life trials and (m) There are no records of shelf life trials
approvals shall be maintained. (m) There are no records of product designs
(m) There are no records of process
developments
(m) There are no records of approvals
Specifications for all raw and packaging materials, including, but not limited (m) Specifications for raw materials that
to ingredients, additives, hazardous chemicals and processing aids that impact food safety are not documented
impact on finished product safety shall be documented and kept current. (m) Specifications for raw materials that
impact food safety are not kept current
(m) Specifications for raw materials that
impact food safety do not comply with
relevant legislation
(m) Specifications for packaging materials
that impact food safety are not documented
(m) Specifications for packaging materials
that impact food safety are not kept current
(m) Specifications for packaging materials
that impact food safety do not comply with
relevant legislation
OIP 0
All raw and packaging materials and ingredients shall comply with the (M) Raw materials do not comply with
relevant legislation. relevant legislation
(m) Packaging materials do not comply with
relevant legislation Excempt 0
2.3.2.3 Raw and Packaging Materials
2.3.2.4 Raw and Packaging Materials
The methods and responsibility for developing and approving detailed raw (m) Methods for developing specifications
material, ingredient, and packaging specifications shall be documented. are not documented
(m) Responsibility for developing
specifications is not documented
(m) Methods for approving specifications are
not documented
(m) Responsibility for approving
specifications is not documented
N/A 0
Raw and packaging materials and ingredients shall be validated to ensure (m) Raw materials are not validated to
product safety is not compromised and the material is fit for its intended ensure product safety is not compromised
purpose. Validation of raw materials and ingredients shall include (m) Packaging materials are not validated to
certificate of conformance; or certificate of analysis; or sampling and ensure product safety is not compromised
testing. (m) Validating methods do not include
certificate of conformance, analysis or
sampling or testing

2.3.2.5 Raw and Packaging Materials
Validation of packaging materials shall include certification that all (m) Packaging material validation activities
packaging that comes into direct contact with food meets either regulatory do not include certification that product
acceptance or approval criteria. Documentation shall either be in the form meets regulatory acceptance or approval
of a declaration of continued guarantee of compliance, a certificate of criteria
conformance, or a certificate from the applicable regulatory agency. (m) Packaging material validation is not
absence of a certificate of conformance, certificate of analysis, or letter of documented
guarantee, tests and analyses to confirm the absence of potential chemical
migration from the packaging to the food contents shall be conducted and
records maintained.

2.3.2.6 Raw and Packaging Materials
2.3.2.7 Raw and Packaging Materials
Product labels shall be accurate, comply with the relevant legislation and (m) Product labels are not accurate
be approved by qualified company personnel. (m) Product labels do not comply with
relevant legislation
(m) Product labels are not approved by
qualified company personnel
A register of raw and packaging material specifications and labels shall be (m) Register of raw material specifications
maintained and kept current. and labels is not maintained
(m) Register of packaging material
specifications and labels is not maintained
(m) Register of raw material specifications
and labels is not kept current
(m) Register of packaging material
specifications and labels is not kept current

2.3.3.1 Contract Service Providers
Specifications for contract services that have an impact on finished product
safety shall be documented, current, include a full description of the
service to be provided and detail relevant training requirements of
contract personnel.
(m) There are no documented specifications
for contract services that impact finished
product safety
(m) The specifications for contract services
that impact finished product safety are not
current
(m) The specifications for contract services
that impact finished product safety do not
have a description of the service
(m) Specifications for contract personnel do
not include training requirements

2.3.3.2 Contract Service Providers
2.3.4.1 Contract Manufacturers
A register of all contract service specifications shall be maintained. (m) A register of contract service
specifications has not been maintained
(m) The Register for contract services is not
current
The methods and responsibility for ensuring all agreements relating to food (m) methods for ensuring customer product
safety, customers product requirements and its realization and delivery are requirements are not documented
specified and agreed shall be documented and implemented. (m) responsibility for ensuring customer
product requirements is not documented
(M) methods for ensuring customer product
requirements are not implemented
(M) responsibility for ensuring customer
product requirements is not implemented

2.3.4.2 Contract Manufacturers
The supplier shall: (M) Customer requirements are not being
i. Verify compliance with the SQF Code and that all customer requirements met
are being met at all times. Products and/or processes of co-manufactures (m) Changes to contractual agreements are
that are considred high risk shall be required to under go an audit by the not approved by both supplier and customer
supplier or other third party agency to confirm compliance to the SQF code (m) Changes to contractual agreements are
and agreed arrangements; and not communicated to relevant personnel
ii. Ensure changes to contractual agreements are
approved by both parties and communicated
to relevant personnel

2.3.4.3 Contract Manufacturers
Records of all contract reviews and changes to contractual agreements and (m) Records of all contract reviews are not
their approvals shall be maintained. maintained
(m) Records of all changes to contract
reviews are not maintained
(m) Approvals to all changes are not
maintained
2.3.5.1 Finished Product
2.3.5.2 Finished Product
2.4.1.1 Food Legislation (M)
2.4.1.2 Food Legislation (M)
2.4.1.3 Food Legislation (M)
2.4.2.1 Food Safety Fundamentals (M)
2.4.2.2 Food Safety Fundamentals (M)
2.4.2.3 Food Safety Fundamentals (M)
2.4.2.4 Food Safety Fundamentals (M)
2.4.3.1 Food Safety Plan (M)
2.4.5.1 Incoming Goods and Services
Finished product specifications shall be documented, current, approved by (m) A register of finished product
the supplier and their customer, accessible to relevant staff and may specifications is not maintained
include microbiological and chemical limits, labeling and packaging (m) A register of finished product
requirements. specifications is not current
(m) Finished product specifications are found
to be not current
(M) Product specifications are not being
followed
A register of finished product specifications shall be maintained. (m) A register for finished product
specifications is not maintained
The organization shall ensure that, at the time of delivery to its customer, (M) Organization does not ensure food
the food supplied shall comply with the legislation that applies to the food supplied complies with the food safety
and its production in the country of its origin and destination. This includes legislation that applies to the food and its
compliance with legislative requirements applicable to maximum residue production in the country of its origin
limits, food safety, packaging, product description, nutritional, allergen and (M) Organization does not ensure food
additive labeling, and to relevant established industry codes of practice. supplied complies with the food safety
legislation that applies to the food and its
production in the country of destination
The methods and responsibility for ensuring the organization is kept (m) Organization does not have a method to
informed of changes to relevant legislation, scientific and technical keep informed of changes to relevant
developments and relevant industry codes of practice shall be documented legislation or scientific or technical
and implemented. development
(M) Method is not implemented
SQFI and the certification body shall be notified in wirting within 24 hours
upon identification of a food safety event that requires public notification
(e.g. receipt of a regulatory warning letter).
The property, buildings and equipment shall be located, constructed, (M) Facility is not designed to manufacture
designed and maintained to facilitate the hygienic production, safe food
manufacture, handling, storage and/or delivery of safe food. (M) Equipment is not designed to
manufacture safe food
The supplier shall ensure the food safety fundamentals described in the (M) The food safety fundamentals were not
relevant subsequent modules of this Code (i.e. modules 3 – 15) are applied followed
or exempted according to a detailed risk analysis outlining the justification (m) A risk analysis was not conducted to
for exclusion or evidence of the effectiveness of alternative control exclude or provide alternative control to
measures to ensure that food safety and quality are not compromised. elements in the food safety fundamentals
Those pre-requisite programs applicable to the scope of certification that (M) Pre-requisite programs were not
outline the means by which food safety is controlled and assured shall be documented
documented and implemented. (M) Pre-requisite programs were not
implemented
The effectiveness of the pre-requisite programs shall be verified as (M) Pre-requisite programs were not verified
described in 2.5.4.
A food safety plan shall be developed, effectively implemented, and (M) No Food Safety plan
maintained and outline the means by which the organization controls and (M) Food safety plan is not current
assures food safety. The food safety plan shall: (C) Food Safety plan has not been
i. Be prepared in accordance with the steps identified in the Codex implemented
Alimentarius Commission or NACMCF HACCP guidelines. Primary (M) Food safety plan has not been
producers and feed manufacturers may utilize a HACCP-based reference maintained
food safety plan developed by a responsible authority. (m) Food safety plan does not follow HACCP
ii. Cover a product or product group and the associated processes. method
iii. Describe the methodology and results of a hazard analysis conducted to (m) Food safety plan does not have the
identify food safety hazards associated with all inputs and process steps methodology and results of the hazard
including rework. Animal feed and pet food safety plans must include analysis
hazards associated with animal safety as well as the safety of consumers of (M) Food safety plan does not include
animal products. controls critical to food safety
iv. Prescribe those measures taken to apply the controls implemented that (M) Corrective actions have not been
are critical to assuring, monitoring and maintaining food safety. implemented when process controls deviated
v. Include process controls at control points in production to monitor from set parameters
product safety, identify when a process is deviating from set parameters (m) Work instructions have not been
and make corrections to keep a process under control; and documented
vi. Include documented Standard Operating Procedures (SOPs) and Work
Instructions (WI) applicable to the organization’s scope of certification.
Raw materials, ingredients, packaging materials and services that impact (M) Raw materials are not from an approved
on finished product safety shall be supplied by an approved supplier. supplier
(M) Packing materials are not from an
approved supplier
(M) Ingredients materials are not from an
approved supplier
(m) Services rendered do not come from an
approved supplier
2.4.5.2 Incoming Goods and Services
2.4.5.3 Incoming Goods and Services
2.4.5.4 Incoming Goods and Services
2.4.5.5 Incoming Goods and Services
2.4.6.1 Non-conforming Product or Equipment
2.4.6.2 Non-conforming Product or Equipment
The receipt of raw materials, ingredients, and packaging materials received (m) Raw materials from non approved
from non-approved supplier shall be acceptable in an emergency situation suppliers do not undergo inspection prior to
provided they are inspected or analyzed before use. use
(m) Raw materials were accepted from non-
approved suppliers in non-emergency
situations
The responsibility for selecting, evaluating, approving and monitoring an (M) No approved supplier program is
approved supplier shall be documented and implemented. documented
(M) Supplier approval program is not
implemented
The approved supplier program shall be based on the prior performance of (m) Methods used for selecting an approved
a supplier and the risk level of the raw materials ingredients, packaging supplier have not been documented
materials, and services supplied, and shall contain as a minimum agreed (m) Methods used for evaluating an
specifications, reference to the rating of the level of risk applied to a raw approved supplier have not been
material's ingredients, packaging materials and services and the approved documented
supplier, a summary of the food safety controls implemented by the (m) Methods used for approving an
approved supplier, methods for granting approved supplier status, approved supplier have not been
methods and frequency of monitoring approved suppliers, details of the documented
certificates of conformance if required, methods and frequency of (m) Methods used for monitoring an
reviewing approved supplier performance and status. approved supplier have not been
documented
(m) The program does not contain agreed
specifications
(m) The program does not contain a
summary of the food safety controls
implemented by the supplier
(m) The program does not contain a
summary of the quality controls implemented
by the supplier
(m) The program does not contain methods
for monitoring the suppliers
(m) The program does not contain the
frequency of monitoring the suppliers
(m) The program does not contain the
details of the certificates of conformance if
required
(m) The program does not include the
frequency for reviewing supplier performance
A register of approved supplier and records of inspections and audits of (m) A register of approved suppliers are not
approved suppliers shall be maintained. maintained
(m) Records of inspections are not
maintained
The responsibility and methods outlining how non-conforming product, (M) Responsibilities or methods for handling
raw material, ingredient, work-in-progress, packaging or equipment non-conforming materials is not documented
detected during receipt, storage, processing, handling or delivery is (M) Responsibilities or methods for handling
handled shall be documented and implemented. The methods applied non-conforming materials is not implemented
shall ensure: Non-conforming product is quarantined, identified, handled (m) Identification of product does not
and disposed of in a manner that minimizes the risk of inadvertent use, minimize risk of inadvertent use
improper use or risk to the integrity of finished product; and Non- (m) Identification of product does not
conforming equipment is effectively repaired or disposed of in a manner minimize risk of integrity of finished product
that minimizes the risk of inadvertent use, improper use or risk to the (m) Staff is not aware of product isolation
integrity of finished product; All relevant staff is aware of the organization's and release policy
quarantine and release requirements applicable to equipment or product (m) Handling does not minimize the risk of
placed under quarantine status. For producers, the procedure must inadvertent use
document the grower, field name, quantity and final disposition of the (m) Handling does not minimize the risk of
unacceptable materials when applicable. improper use
(m) Disposal does not minimize the risk of
inadvertent use
(m) Disposal does not minimize the risk of
improper use
(m) Disposal does not minimize the risk to
the integrity of finished product
(M) The producer did not document the
grower, field name, quantity
Quarantine records, and records of the handling, corrective action, or (m) Records of non-conforming product are
disposal of non-conforming product or equipment shall be maintained. not maintained
2.4.7.1 Product Rework The responsibility and methods outlining how the product is reworked (M) Responsibility and methods are not
(recycled or recouped) shall be documented and implemented. The documented
methods applied shall ensure: (M) Responsibility and methods are not
i. Reworking operations are supervised by qualified personnel; implemented
ii. Reworked product is clearly identified and traceable; (m) Reworked product is not identified
iii. Each batch of reworked product is inspected or analyzed as required (m) Reworked product is not traceable
before release; (m) Reworking operations are not supervised
iv. Inspections and analyses shall conform to the requirements outlined in by qualified personnel
element 2.5.6; and (m) Rework product is not inspected or
v. Release of reworked product shall conform to element 2.4.8. analyzed prior to release
(m) Inspections do not conform to section
2.5.6
(m) Release of reworked product does not
conform to section 2.4.8

2.4.7.2 Product Rework
2.4.8.1 Product Release (M)
Records of all reworking operations shall be maintained. (m) No records of reworking operations are
maintained
The responsibility and methods for releasing products shall be documented (M) No documented methods for releasing
and implemented. The methods applied shall ensure the product is products
released by authorized personnel, once all inspections and analyses are (M) Responsibilities for releasing products
successfully completed and documented to verify legislative and other are not identified
established food safety controls have been met. (M) The methods for releasing products are
not implemented
(m) Authorized personnel are not used to
release product
(m) Verification that legislative food safety
controls have been met have not been
completed

2.4.8.2 Product Release (M) Records of all product release shall be maintained. (m) Records of releases have not been
maintained
2.4.9.1 Stock Rotation The responsibility and methods for ensuring effective stock rotation (m) Stock rotation principles have not been
principles are applied shall be documented and implemented. documented
(m) Stock rotation principles have not been
implemented
2.4.9.2 Stock Rotation Procedures are in place to ensure that all ingredients, materials, work-in-
progress, and finished product are utilized within their designated shelf-
life.

2.5.1.1 Responsibility Frequency and Methods Validation and verification activities shall be conducted. (M) Validation activities are not conducted
(M) Verification activities are not conducted

2.5.1.2 Responsibility Frequency and Methods
The frequency and methods used to validate and verify food safety (M) Frequency and methods used to validate
fundamentals, critical limits, and other food safety controls identified in food safety fundamentals are not
food safety plans shall be documented and implemented and meet their documented
intended purpose. (M) Frequency and methods used to validate
food safety fundamentals are not
implemented
(M) Frequency and methods used to validate
food safety fundamentals do not meet their
intended purpose

2.5.1.3 Responsibility Frequency and Methods Records of all verification activities shall be maintained. (m) Records of activities are not maintained

2.5.2.1 Validation and Effectiveness (M)
The methods, responsibility and criteria for ensuring the effectiveness of
pre-requisite programs, and validating critical food safety limits to ensure
they achieve their intended purpose shall be documented and
implemented. The methods applied shall ensure that pre-requisite
programs are confirmed to ensure they achieve the required result, that
critical limits are selected to achieve the designated level of control of the
identified food safety hazard(s), all critical limits and control measures
individually or in combination effectively provide the level of control
required, all critical limits and control measures individually or in
combination effectively provide the level of control required, changes to
the processes or procedures are assessed to ensure controls are still
effective, ensure that critical food safety limits are re-validated at least
annually.
(M) The methods and responsibility and
criteria for ensuring the effectiveness of the
pre-requisite programs are not documented
(M) The methods and responsibility and
criteria for ensuring the effectiveness of the
pre-requisite programs are not implemented
(M) Pre-requisite programs do not achieve
their intended purpose
(M) Critical food safety limits are not
validated
(m) Methods do not confirm that the required
result is achieved
(m) Critical limits do not effectively provide
the designated level of control
(m) Critical limits and control measures do
not effectively provide the required level of
control
(m) Critical limits are not re-validated at least
annually

2.5.2.2 Validation and Effectiveness (M)
2.5.3.1 Verification Schedule
Records of all validation activities shall be maintained.
A verification schedule outlining the verification activities, their frequency
of completion and the person responsible for each activity shall be
prepared and implemented.
(m) Validation records are not maintained
(m) Verification schedule is not prepared
(m) Verification schedule is not implemented
(m) Verification schedule is not complete and
outline the frequency or person responsible
2.5.4.1 Verification of Monitoring Activities (M) The methods, responsibility and criteria for verifying the effectiveness of
monitoring pre-requisite programs critical control points and other food
safety controls identified shall be documented and implemented. The
methods applied shall ensure that personnel with responsibility for
verifying monitoring activities authorize each record verified.
2.5.4.2 Verification of Monitoring Activities (M) Records of the verification of monitoring activities shall be maintained.
2.5.5.1 Corrective and Preventative Action (M) The responsibility and methods outlining how corrections and corrective
actions are investigated, resolved, managed and controlled, including the
identification of the root cause and resolution of non-compliance of critical
food safety limits, and deviations from food safety requirements, shall be
documented and implemented.
2.5.5.2 Corrective and Preventative Action (M) Records of all investigation and resolution of corrections and corrective
action shall be maintained.
2.5.6.1 Product Sampling, Inspection and Analysis The methods, responsibility and criteria for sampling, inspecting and/or
analyzing raw materials, finished product and work in progress shall be
documented and implemented. The methods applied shall ensure:
Inspections and analyses are completed at regular intervals as required and
to agreed specification and legal requirements; Inspections are conducted
to ensure raw materials, work in process and finished products comply
with the relevant specification, regulatory requirements and are true to
label; and 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 utilized to conduct
input or product analysis, the laboratories shall be accredited to ISO 17025
or an equivalent national standard.
2.5.6.2 Product Sampling, Inspection and Analysis Records of all inspections and analyses shall be maintained.
2.5.7.1 Internal Audits (M) The methods and responsibility for scheduling and conducting internal
audits to verify the effectiveness of the SQF System including facility and
equipment inspections, pre-requisite programs, food safety plans and
legislative controls shall be documented and implemented. The methods
applied shall ensure an internal audit schedule is prepared detailing the
scope and frequency of internal audits, ensure correction and corrective
action of deficiencies identified during the internal audits are undertaken,
audit results are communicated to relevant management personnel and
staff responsible for implementing and verifying corrective actions; and
Audit results are communicated to relevant management personnel and
staff responsible for implementing and verifying corrective actions
2.5.7.2 Internal Audits (M) Staff conducting internal audits shall be trained in internal audit
procedures.
2.5.7.3 Internal Audits (M) Where possible staff conducting internal audits shall be independent of the (m) Staff is not independent of the function
function being audited. being audited
2.6.1.1 Product Identification (M) The methods and responsibility for identifying products during all stages of
production and storage shall be documented and implemented. The
product identification system shall be implemented to ensure raw
materials, work in progress and finished product are clearly identified
during all stages of receipt, production, storage and dispatch, finished
product is labeled to the customer specification and/or regulatory
requirements.
2.6.1.2 Product Identification (M) Product identification records shall be maintained.
(m) Methods for verifying the effectiveness of
the monitoring pre-requisite programs and
CCPs are not documented
(M) Methods for verifying the effectiveness of
the monitoring pre-requisite programs and
CCPs are not implemented
(m) Records were not authorized
(m) Records were not maintained
(M) Responsibilities and methods outlining
how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not documented
(M) Responsibilities and methods outlining
how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not implemented
(m) Root cause analysis for non-compliance
to critical food safety limits has not been
identified
(m) Root cause analysis and resolution for
non-compliance to critical food safety limits
has not been identified
(m) Records of corrective actions are not
maintained
(M) Methods for sampling, inspecting, and/or
analyzing raw materials, finished product and
work in progress are not documented
(M) Methods for sampling, inspecting, and/or
analyzing raw materials, finished product and
work in progress are not documented
(m) Inspections are not completed at regular
intervals
(M) Inspections do not ensure materials
comply with relevant specifications
(M) Analyses are not conducted to nationally
recognized methods
(m) Alternative methods used are not
validated as equivalent to the national
standard methods
(m) External laboratories are not accredited
to ISO 17025 or equivalent standard
(m) Records are not maintained
(M) Inspections of the facility and equipment
are not planned
(M) Inspections of the facility are not carried
out
(m) The supplier did not take correction and
corrective action
(m) Audit schedule does not include scope
and frequency
(m) Audit results were not communicated to
relevant management personnel or staff(m)
Records were not maintained
(m) Staff conducting internal audits have not
been trained
(M) Methods for identifying products during
all stages of the process is not documented
(M) A product identification system is not
implemented
(M) Product is not clearly identified during all
stages of the process
(m) Finished product is not labeled to the
customer or regulatory requirements
(m) Records are not maintained
2.6.2.1 Product Trace (M) The responsibility and methods used to trace product shall be documented
and implemented to ensure finished product is traceable to the customer
(one up) and provides traceability through the process to the supplier and
date of receipt of raw materials, food contact packaging and materials and
other inputs (one back),; traceability is maintained where product is
reworked; the effectiveness of the product trace system shall be tested at
least annually.
(M) Product trace system is not documented
(M) Product trace system is not implemented
(M) Product trace system is not traceable
one up and one back
(M) Traceability is not maintained where
product is reworked
(m) The effectiveness of the product trace
system is not tested annually

2.6.2.2 Product Trace (M)
2.6.3.1 Product Withdrawal and Recall (M)
Records of raw and packaging material receipt and use, and product (m) Records are not maintained
dispatch and destination shall be maintained.
The responsibility and methods used to withdraw or recall (M) Methods and responsibility for notifying
product shall be documented and implemented. The procedure shall: customer and other essential bodies are not
i. Identify those responsible for initiating, managing and investigating a documented
product withdrawal or recall; (M) Methods and responsibility for notifying
ii. Describe the management procedures to be implemented including customer and other essential bodies are not
sources of legal and expert advice; and implemented
iii. Outline a communication plan to inform customers, consumers, (M) SQFI was not notified of a product recall
authorities and other essential bodies in a timely manner appropriate to
the nature of the incident.
iv. SQFI and the certification body shall be listed as an essential body and
notified in instances of a food safety incident of a public nature
, or product recall for any reason.

2.6.3.2 Product Withdrawal and Recall (M)
2.6.3.3 Product Withdrawal and Recall (M)
2.6.3.4 Product Withdrawal and Recall (M)
2.7.1.1 Food Defense (M)
Investigation shall be undertaken to determine the root cause of a (M) Investigations from product recalls have
withdrawal or recall and details of investigations and any action taken shall not been conducted
be documented. (m) Documentation from investigations and
action taken has not been documented
The product withdrawal and recall system shall be reviewed, tested and (m) Recall system has not been tested at
verified as effective at least annually. least annually
Records of all product withdrawals, recalls and mock exerises shall be (m) Records are not maintained
maintained.
The methods, responsibility and criteria for preventing food adulteration (m) No responsibility for food defense have
caused by a deliberate act of sabotage or terrorist-like incident shall be been assigned
documented, implemented and maintained. (m) No methods for food defense have been
developed
(m) Food defense plan has not been
implemented

2.7.1.2 Food Defense (M)
A food defense protocol shall be prepared and include: The name of the (m) No methods to ensure only authorized
senior management person responsible for food defense; The methods vehicles have access
implemented to ensure only authorized personnel have access to crops, (m) No methods to identify authorized
production equipment and vehicles, manufacturing and storage areas personal who have access
through designated access points; The methods implemented to protect (m) No methods identified to secure
sensitive processing points from intentional adulteration; The measures hazardous chemicals
taken to ensure the secure storage of raw materials, packaging, equipment (m) No methods identified to secure
and hazardous chemicals; The measures implemented to ensure harvested packaging and harvesting equipment
crop and/or finished product is held under secure storage and (m) No methods identified to protect crop
transportation conditions; and The methods implemented to record and from intention adulteration
control access to the premises by employees, contractors, and visitors. (m) No measure taken to secure storage
areas for harvested crops
(m) No methods in place to record visitors or
contractors to the facility
(m) No methods in place to record access of
employees to the premises
2.8.2.1 Allergen Management
2.8.2.2 Allergen Management
2.8.2.3 Allergen Management
2.8.2.4 Allergen Management
2.9.1.1 Training Requirements
2.9.2.1 Training Program (M)
The responsibility and methods used to control allergens and to prevent
sources of allergens from contaminating product shall be documented and
implemented. The allergen management program shall include the
hazards associated with allergens and their control incorporated into the
food safety plan, include cleaning and sanitation of product contact
surfaces between line changeovers shall be effective, appropriate to the
risk and legal requirements, and sufficient to remove all potential target
allergens from product contact surfaces, including aerosols as appropriate,
to prevent cross contact.
The product identification system shall make provision for clear
identification and labeling in accordance with regulatory requirements of
those products produced on production lines and equipment on which
foods containing allergens were manufactured.
The product trace system shall take into consideration the conditions
under which allergen containing foods are manufactured and ensure full
trace back of all ingredients used.
Re-working of product containing allergen causing agents shall be
conducted under conditions that ensure product safety and integrity is
maintained. Re-worked product containing allergens shall be clearly
identified and traceable.
Appropriate training shall be provided for personnel carrying out the tasks (m) Adequate training in the SQF system
critical to the effective implementation of the SQF level 2 system and the was not provided to staff
maintenance of food safety and regulatory requirements.
An employee training program shall be documented and implemented. It
shall outline the necessary competencies for specific duties and the
training methods to be applied for those staff carrying out tasks associated
with: Developing and applying Good Agricultural Practices, Good
Aquaculture Practices, or Good Manufacturing Practices (as appropriate).
Applying food regulatory requirements; Steps identified by the hazard
analysis and/or other instructions as critical to effective implementation of
the food safety plan and the maintenance of food safety; and
Tasks identified as critical to meeting the effective implementation and
maintenance of the SQF System.
(M) No methods to control allergens
developed
(M) Methods developed to control allergens
are not sufficient
(M) No risk assessment for raw materials
containing allergens have been conducted
(m) Not all ingredients with allergens
included in risk assessment
(m) No list of ingredients with allergens has
been developed
(M) Controls for the allergens identified in
risk assessment not included in food safety
plan
(M) Cleaning and sanitation of equipment is
not completed prior to changeover of
allergen products
(M) Controls are not developed to
segregated products with allergen causing
agents
(C) Conditions are observed in which
products are comingled with products
containing allergens
(M) Cleaning of equipment containing
allergens is not verified prior to product
changeover
(m) Verification of sanitation effectiveness is
not implemented
(M) Equipment segregation for allergen
control is not conducted
(M) Equipment segregation for allergen
control does not minimize potentially for
cross-contact
(m) Specific procedures for the storage of
allergen containing ingredients has not been
developed
(M) Conditions exist within storage area of
potential cross contact between allergen and
non-allergen ingredients
(M) Equipment segregation for allergen
control does not minimize potentially for
cross-contact
(M) Product identification system does not
address allergens
(M) Products containing allergens are not
properly labeled to identify them as allergens
(M) Product trace system does not address
products and ingredients with allergens
(M) Product traces system does not capture
all ingredients with allergens
(M) Product reworked is not adequately from
product which contains allergens
(M) Product reworked is not properly labeled
(M) Product trace does not include reworked
product with allergens
(m) Employees with assigned tasks in SQF
have no training on SQF systems
(m) Employee training program does not
include good manufacturing/ agricultural
practices (as appropriate)
(m) Employee training program does not
include pre-requisite programs
(m) Employee training program does not
include food regulatory requirements
(m) Employee training program does not
include hazard analysis
(m) Employee training program does not
include maintenance of food safety plan
(m) Employee training program does not
include customer specifications
(m) There are no specific work instructions
for adherence to customer specifications
(m) There are no specific work instructions
for maintenance of food safety plan
(m) There are not specific work instructions
for maintenance of quality or process
2.9.3.1 Instructions Instructions shall be available explaining how all tasks critical to meeting
regulatory compliance, the maintenance of food safety and process
efficiency are to be performed.
(m) There are no specific work instructions
for adherence to regulatory compliance
(m) There are no specific work instructions
for maintenance of food safety plan
(m) There are not specific work instructions
for maintenance of quality or process

2.9.4.1 HACCP Training Requirement HACCP training shall be provided for staff involved in developing and (m) There is no HACCP training for staff
maintaining food safety plans. maintaining food safety plan
(m) HACCP training for staff maintaining food
safety and quality plans was not sufficient

2.9.5.1 Language
2.9.6.1 Refresher Training
Training materials and the delivery of training shall be provided in language (m) Training was not provided in necessary
understood by staff. languages to be understood by staff
The training program shall include provision for identifying and (m) Training program does not define
implementing the refresher training needs of the organization. refresher training requirement
(m) Training program does not identify
means for achieving refresher training
requirement

2.9.7.1 Training Skills Register
A training skills register describing who has been trained in relevant skills
shall be maintained. The register shall indicate the participant name, skills
description, description of the training provided, date training completed,
the trainer or training provider, and the supervisor's verification the
training was completed and that the trainee is competent to complete the
required tasks.
(m) Training skills register does not include
participant name
(m) Training skills register does not include
skills description
(m) Training skills register does not include
description of training provided
(m) Training skills register does not include
date of the training
(m) Training skills register does not include
trainer or training provider
(m) Training skills register does not include
supervisor verification that training was
effective

Clause
Opening Meeting
Closing Meeting
Facility Description
Auditor Recommendation
2.1.1.1 Management Policy (M)
2.1.1.2 Management Policy (M)
2.1.2.1 Management Responsibility (M)
2.1.2.2 Management Responsibility (M)
2.1.2.3 Management Responsibility (M)
Primary
Item Secondary Response Response Evidence Supplier Onsite Correction
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 (0) Issue of Certification of Registration
recommended once deficiencies rectified
(0) Grant New Certification
(0) Maintain Certification
(0) Suspend Certification
(0) Withdraw Certification
Senior management shall prepare and implement a policy (M) There is no policy statement
statement that outlines as a minimum: the organization's (m) Policy Statement does not include the
commitment to supply safe and quality food; the methods used to organizations commitment to supply safe
comply with its customer and regulatory requirements and food
continually improve its food safety and quality and quality (m) Policy Statement does not include
management system; and the organization's commitment to requirements to comply with customer or
establish and review food safety and quality and quality regulatory expectations
objectives. (m) Policy statement does not include the
organization's commitment to establish and
review food safety and quality objectives
The policy statement shall be: signed by senior management; (m) Policy statement not signed by senior
made available in language understood by all staff; and displayed manager
in a prominent position and effectively communicated to all staff (m) Policy Statement not made available in
language understood by all staff
The organizational reporting structure describing those who have (m) Not communicated within the
responsibility for food safety and quality shall be defined and organization
communicated within the organization.
The senior management shall make provision to ensure (M) Senior management has not ensured
fundamental food safety and quality and quality practices are that food safety and quality practices have
adopted and maintained. been adopted
The senior management shall ensure adequate resources are (M) The senior management has not
available to achieve food safety and quality and quality objectives provided sufficient resources to support the
and support the development, implementation, maintenance and documentation, implementation, and
ongoing improvement of the SQF System. improvement of the SQF system
(m) The senior management has not
provided sufficient resources to achieve the
food safety and quality objectives
(m) The senior management has not
provided sufficient resources to support the
on-going maintenance and improvement of
the SQF System

Clause
2.1.2.4 Management Responsibility (M)
2.1.2.5 Management Responsibility (M)
2.1.2.6 Management Responsibility (M)
2.1.2.7 Management Responsibility (M)
2.1.2.8 Management Responsibility (M)
2.1.2.9 Management Responsibility (M)
Item
The senior management shall designate an SQF practitioner for
each site with responsibility and authority to oversee the
development, implementation, review and maintenance of the
SQF System, including food safety and quality and quality
fundamentals outlined in 2.4.2, and the food safety and quality
plan outlined in 2.4.3, to take appropriate action to ensure the
integrity of the SQF System, communicate to relevant personnel
all information essential to ensure the effective implementation
and maintenance
The SQF practitioner shall be employed by the supplier as a
company employee on a full-time basis, hold a position of
responsibility in relation to the management of the supplier's SQF
System, have completed a HACCP-based training course and be
competent to implement and maintain HACCP-based food safety
and quality plans, have an understanding of the SQF Code level 3
and the requirements to implement and maintain SQF Systems
relevant to the supplier scope of certification.
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.
All staff shall be informed of their responsibility to report food
safety and quality and quality problems to personnel with
authority to initiate action.
Job descriptions for those responsible for food safety and quality
and quality shall be documented and include provision to cover
for the absence of key personnel.
The senior management shall establish processes to improve the
effectiveness of the SQF System to demonstrate continuous
improvement.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) There is no designated SQF Practitioner
(m) SQF Practitioner does not have
responsibility and authority to lead the
development and implementation of the
food safety and quality Fundamentals
outlined in 2.4.2
(m) SQF Practitioner does not have
responsibility and authority to lead the
development and implementation of the
food safety and quality Plan outlined in 2.4.3
(m) SQF Practitioner does not have
responsibility and authority to oversee the
development implementation, review and
maintenance of the SQF System
(m) SQF Practitioner does not have the
responsibility or authority to take
appropriate action to ensure the integrity of
the SQF System
(M) SQF Practitioner does not work for the
operation
(M) SQF Practitioner does not have HACCP
training
(M) SQF Practitioner does not have a
demonstrable knowledge of HACCP relative
to the operation
(M) SQF Practitioner is not able to
demonstrate a thorough knowledge of the
SQF code
(m) SQF Practitioner's knowledge of relevant
sections of the SQF code (i.e. modules
relevant to the sites food sector categories)
is incomplete
(m) Responsibility for establishing the
training needs of the organization has not
been implemented
(m) Responsibility for implementing the
training needs of the organization has not
been implemented
(M) Staff do not have the competencies to
carry out the functions affecting product
legality, or safety
(M) Staff have not been informed of their
responsibility to report food safety and
quality and quality problems to personnel
with the authority to initiate action
(m) Staff do not know who the responsible
person is that they should report food safety
and quality and quality problems to
(m) Staff are aware of their responsibility
but do not report food safety and quality
and quality problems
(M) Job descriptions for those responsible
for food safety and quality and quality are
not documented
(m) Job descriptions do not include provision
to cover for the absence of key personnel
(m) Senior management has not established
processes to demonstrate continuous
improvement
(m) Continuous improvement processes are
documented but have not been
implemented

Clause Item
2.1.3.1 Food Safety and Quality Management A food safety and quality and quality manual shall be documented
System (M) and maintained in either electronic and/or hard copy form. It
shall outline the methods the organization will use to meet the
requirements of this Standard, be made available to staff and
include a summary of the organization's food safety and quality
and quality policies and the methods it will apply to meet the
requirements of this standard, policy statement and organization
chart, the scope of the certification, include a list of the products
covered under the scope of certification.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) No documented food safety and quality
and quality Manual
(m) The summary of the food safety and
quality and quality policies does not include
the methods applied to meet the
requirements of the standard
(m) Policy Statement is not included
(m) Organizational chart is not available or
updated
(m) A list of the products covered under the
Scope of Certification is not included
(M) The FSM does not include or reference
the written procedures
(M) The FSM does not include or reference
the pre-requisite programs
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control
of the SQF System is not included
(M) food safety and quality and quality
Manual is not maintained
(m) food safety and quality and quality
Manual is not available to relevant staff
(m) Organizational chart is out of date
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control
of the SQF System is not included

2.1.3.2 Food Safety and Quality Management
System (M)
2.1.3.3 Food Safety and Quality Management
System (M)
A food safety and quality manual shall be documented,
maintained, made available to relevant staff and include or
reference the written procedures, pre-requisite programs, food
safety and quality plans and other documentation necessary to
support the development and the implementation, maintenance
and control of the SQF System.
A quality manual shall be documented, maintained, made
available to relevant staff and include or reference the written reference written procedures
procedures, standard operating practices, work instructions, and (M) The Quality Manual does not include or
food quality plans and other documentation necessary to support reference the standard operating practices
the development and the implementation, maintenance and
control of the SQF System. The quality manual may be combined (m) Other procedures and documentation
and integrated with the food safety and quality manual.
(M) The FSM does not include or reference
the pre-requisite programs
(M) The FSM does not include or reference
the food safety and quality Plans
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control
of the SQF System are not included
(M) No food safety and quality manual has
been created
(m) The food safety and quality manual is
not complete, several key programs are not
included
(m) The food safety and quality manual is
not current, some documented programs
are not up to date
(m) The food safety and quality manual does
not support the implementation of the SQF
system
(m) The food safety and quality manual does
not support the maintenance of the SQF
system
(m) The food safety and quality manual does
not support the control of the SQF system
(M) The FSM does not include or reference
the pre-requisite programs
(M) The FSM does not include or reference
the food safety and quality Plans
(m) Other procedures and documentation
necessary to support the development,
implementation, maintenance and control
of the SQF System are not included
(M) No food safety and quality manual has
been created
(m) The food safety and quality manual is
not complete, several key programs are not
included
(M) The Quality Manual does not include or
required to control quality
necessary to support the development,
implementation, maintenance and control
of the SQF System are not included.

Clause
2.1.4.1 Management Review (M)
2.1.4.2 Management Review (M)
2.1.4.3 Management Review (M)
2.1.4.4 Management Review (M)
2.1.4.5 Management Review (M)
2.1.5.1 Complaint Management
2.1.5.2 Complaint Management
2.1.5.3 Complaint Management
2.1.5.4 Complaint Management
2.1.6.1 Business Continuity Planning
Item
The senior management shall be responsible for reviewing the
SQF System and documenting the review procedure. Reviews shall
include the policy manual, internal and external audit findings,
corrective actions and their investigations and resolution,
customer complaints and their resolution and investigation.
The SQF System in its entirety shall be reviewed at least annually.
food safety and quality fundamentals and food safety and quality
plans shall be reviewed when any changes implemented have an
impact on the supplier's ability to deliver safe food.
The SQF practitioner shall be responsible for validating changes to
food safety and quality fundamentals and/or food safety and
quality/quality plans that have an impact on the supplier's ability
to deliver safe food are to be vlaidated.
Records of all reviews and reasons for amending documents,
validations and changes to the SQF System shall be maintained.
The methods and responsibility for handling and investigating the (m) Methods for investigating customer
cause and resolution of complaints from customers and complaints are not implemented
authorities shall be documented and implemented. (m) Methods for handling customer
complaints are not implemented
Trends of customer complaint data shall be investigated and
analyzed by personnel knowledgeable about the incidents.
Corrective action shall be implemented commensurate with the
seriousness of the incident and as outlined under 2.5.5.
Records of customer complaints and their investigations shall be
maintained.
A business continuity plan based on the understanding of known
food safety and quality threats to a business shall be prepared by
senior management outlining the methods and responsibility the
organization will implement to cope with a business crisis that
may impact on the ability of the supplier to deliver safe food.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(m) The senior management is not involved
in reviewing the SQF system in its entirety
(M) The reviewing procedure is not
implemented
(m) Audit findings are not reviewed
(m) Customer complaints are not reviewed
(M) The entire SQF System is not reviewed
annually by senior management
(M) Changes which have major impact on
the ability to deliver safe food do not trigger
a review of the food safety and quality
Fundamentals
(M) Changes which have major impact on
the ability to deliver safe food do not trigger
a review of the food safety and quality Plans
(m) Major changes to food safety and
quality Fundamentals are not validated by
an SQF Practitioner
(m) Major changes to the food safety and
quality Plan are not validated by an SQF
Practitioner
(m) Small, or minor changes to food safety
and quality Fundamentals are not validated
by an SQF Practitioner
(m) Small or minor changes to the food
safety and quality Plan are not validated by
an SQF Practitioner
(m) Records of all reviews of the SQF System
are not maintained
(m) Records and reasons for amending
documents are not maintained
(m) Validation records of the SQF System are
not maintained
(m) Records of all changes to the SQF
System are not maintained
(m) Customer complaint data has not been
invest aged and analyzed by personnel
knowledgeable about the incident
(m) Trends of the customer complaint data
has not been analyzed
(m) Corrective action not implemented
(m) Records of the corrective action are not
maintained
(m) Records of complaints are not
maintained
(m) Records of investigation are not
maintained
(M) There is no business continuity plan
(m) The business continuity plan does not
address the known threats relevant to the
facility
(m) The business continuity plan was not
prepared by senior management
(m) The business continuity plan does not
include the methods and responsibilities the
organization will implement to cope with a
business crisis that may impact the ability of
the supplier to deliver safe food

Clause
2.1.6.2 Business Continuity Planning
Item
The business continuity plan shall include as a minimum a senior
manager responsible for decision making, oversight and initiating
actions arising from a crisis management incident; the nomination
and training of a crisis management team; controls implemented
to ensure a response to a crisis does not compromise product
safety; measures to isolate and identify product affected by a
response to a crisis; the preparation and maintenance of a
current crisis alert contact list; the responsibility for internal
communications and communicating with authorities, external
organizations and media. The business continuity plan shall
include as a minimum sources of legal and expert advice.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(m) The business continuity plan does not
designate a senior manager responsible for
making decisions, oversight and initiating
actions arising from a crisis management
incident
(m) The business continuity plan does not
include the nomination and training of a
crisis management team
(m) The business continuity plan does not
ensure a response to a crisis does not
compromise product safety, measure to
isolate and identify product affected by the
crisis response
(m) The business continuity plan does not
include the preparation and maintenance of
a current crisis alert contact list
(m) The crisis alert contact list does not
include the CB or SQFI
(m) The business continuity plan does not
designate responsibility for internal
communications and communicating with
authorities, external organizations and
media
(m) The business continuity plan does not
include controls that when implemented
would not compromise product safety and
quality
(m) The business continuity plan does not
include measures taken to verify the
acceptability of food prior to release

(m) The business continuity plan

does not include legal and expert advice

2.1.6.3 Business Continuity Planning
2.1.6.4 Business Continuity Planning
2.2.1.1 Document Control (M)
The business continuity plan shall be reviewed, tested and verified (m) The business continuity plan has not
at least annually. been tested and verified annually
Records of reviews and verification of the business continuity plan (m) Records of the business continuity plan
shall be maintained. are not maintained
The methods and responsibility for maintaining document control (m) Methods for maintaining document
and ensuring staff have access to current documents shall be control are not documented
documented and implemented. (m) Methods for maintaining document
control are not implemented
(m) Responsibilities for maintaining
document control are not documented
(m) Responsibilities for maintaining
document control are not implemented
(M) Staff do not have access to current
documents

2.2.1.2 Document Control (M) A register of current SQF System documents and amendments to (m) No register of SQF system documents is
documents shall be maintained. available
(m) Register of SQF system documents is not
easily accessible

2.2.1.3 Document Control (M) Documents shall be safely stored and readily accessible. (m) Documents are not safety stored
(m) Documents are not readily accessible

Clause
2.2.2.1 Records (M)
2.2.2.2 Records (M)
2.2.2.3 Records (M)
2.3.1.1 Specification and Product Development
2.3.1.2 Specification and Product Development
2.3.1.3 Specification and Product Development
2.3.1.4 Specification and Product Development
2.3.1.5 Specification and Product Development
Item
The methods and responsibility for undertaking monitoring
activities, verifying, maintaining and retaining records shall be
documented and implemented.
All records shall be legible and suitably authorized by those
undertaking monitoring activities that demonstrate inspections,
analyses and other essential activities have been completed.
Records shall be readily accessible, retrievable, securely stored to (M) Records are not available
prevent damage and deterioration and shall be retained in
accordance with periods specified by a customer or regulations.
The methods and responsibility for designing, developing and
converting product concepts to commercial realization shall be
documented and implemented.
Product formulation, manufacturing processes and the fulfillment (m) The product formulation has not been
of product requirements shall be validated by facility trials, shelf validated by facility trials
life trials and product testing.
Shelf life trials where necessary shall be conducted to establish (m) Shelf life trials have not been conducted
and validate a product's handling, storage requirements, including of establish the products 'use by' or 'best
the establishment of "use by" or "best before" dates,
microbiological criteria, consumer preparation, storage and
handling requirements.
A food safety and quality plan shall be validated and verified for
each new product and its associated process through conversion
to commercial production and distribution, or where a change to
ingredients, process, or packaging occurs that may impact food
safety and quality.
Records of all product design, process development, shelf life
trials and approvals shall be maintained.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) Methods for undertaking monitoring
activities are not documented
(M) Methods for undertaking monitoring
activities are not implemented
(m) Responsibilities for undertaking
monitoring activities are not documented
(m) Responsibilities for undertaking
monitoring activities are not implemented
(m) Methods for verifying records are not
documented
(M) Methods for verifying records are not
implemented
(m) Responsibilities for verifying records are
not documented
(m) Responsibilities for maintaining records
are not documented
(m) Responsibilities for maintaining records
are not implemented
(m) Methods for maintaining records are not
documented
(m) Methods for maintaining records are not
implemented
(m) Records are not legible
(m) Records are not signed or otherwise
authorized by those undertaking monitoring
activities
(m) Records are not completed
(m) Records are not dated
(m) Records are not securely stored to
prevent damage and deterioration
(m) Records are not retained in accordance
with periods specified by a customer or
legislation (regulation)
(M) Product development procedures are
not documented
(M) Product development procedures are
not implemented
(m) The product formulation has not been
validated by shelf life trials
(m) The product formulation has not been
validated by product testing
before' date
(M) A food safety and quality plan has not
been validated and verified for each new
product
(M) When changes to the process,
ingredients or packaging occurred, the food
safety and quality plan has not been
validated or verified
(m) There are no records of shelf life trials
(m) There are no records of product designs
(m) There are no records of process
developments
(m) There are no records of approvals

Clause
2.3.2.1 Raw and Packaging Materials
Item
Specifications for all raw and packaging materials, including, but
not limited to ingredients, additives, hazardous chemicals and
processing aids that impact on finished product safety shall be
documented and kept current.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(m) Specifications for raw materials that
impact food safety and quality are not
documented
(m) Specifications for raw materials that
impact food safety and quality are not kept
current
(m) Specifications for raw materials that
impact food safety and quality do not
comply with relevant legislation
(m) Specifications for packaging materials
that impact food safety and quality are not
documented
(m) Specifications for packaging materials
that impact food safety and quality are not
kept current
(m) Specifications for packaging materials
that impact food safety and quality do not
comply with relevant legislation

2.3.2.2 Raw and Packaging Materials
2.3.2.3 Raw and Packaging Materials
0
All raw and packaging materials and ingredients shall comply with (M) Raw materials do not comply with
the relevant legislation. relevant legislation
(m) Packaging materials do not comply with
relevant legislation
0
The methods and responsibility for developing and approving (m) Methods for developing specifications
detailed raw material, ingredient, and packaging specifications are not documented
shall be documented. (m) Responsibility for developing
specifications is not documented
(m) Methods for approving specifications
are not documented
(m) Responsibility for approving
specifications is not documented

2.3.2.4 Raw and Packaging Materials
Raw and packaging materials and ingredients shall be validated to
ensure product safety is not compromised and the material is fit
for its intended purpose. Validation of raw materials and
ingredients shall include certificate of conformance; or certificate
of analysis; or sampling and testing.
0
(m) Raw materials are not validated to
ensure product safety is not compromised
(m) Packaging materials are not validated to
ensure product safety is not compromised
(m) Validating methods do not include
certificate of conformance, analysis or
sampling or testing

2.3.2.5 Raw and Packaging Materials
Validation of packaging materials shall include certification that all
packaging that comes into direct contact with food meets either
regulatory acceptance or approval criteria. Documentation shall
either be in the form of a declaration of continued guarantee of
compliance, a certificate of conformance, or a certificate from the
applicable regulatory agency. absence of a certificate of
conformance, certificate of analysis, or letter of guarantee, tests
and analyses to confirm the absence of potential chemical
migration from the packaging to the food contents shall be
conducted and records maintained.
(m) Packaging material validation activities
do not include certification that product
meets regulatory acceptance or approval
criteria
(m) Packaging material validation is not
documented

2.3.2.6 Raw and Packaging Materials
Product labels shall be accurate, comply with the relevant (m) Product labels are not accurate
legislation and be approved by qualified company personnel. (m) Product labels do not comply with
relevant legislation
(m) Product labels are not approved by
qualified company personnel

2.3.2.7 Raw and Packaging Materials
A register of raw and packaging material specifications and labels
shall be maintained and kept current.
(m) Register of raw material specifications
and labels is not maintained
(m) Register of packaging material
specifications and labels is not maintained
(m) Register of raw material specifications
and labels is not kept current
(m) Register of packaging material
specifications and labels is not kept current

Clause
2.3.3.1 Contract Service Providers
2.3.3.2 Contract Service Providers
2.3.4.1 Contract Manufacturers
2.3.4.2 Contract Manufacturers
2.3.4.3 Contract Manufacturers
2.3.5.1 Finished Product
2.3.5.2 Finished Product
2.4.1.1 Food Legislation (M)
Item
Specifications for contract services that have an impact on
finished product safety shall be documented, current, include a
full description of the service to be provided and detail relevant
training requirements of contract personnel.
A register of all contract service specifications shall be maintained.
The methods and responsibility for ensuring all agreements
relating to food safety and quality and quality, customers product
requirements and its realization and delivery are specified and
agreed shall be documented and implemented.
The supplier shall:
i. Verify compliance with the SQF Code and that all customer
requirements are being met at all times. Products and/or
processes of co-manufactures that are considred high risk shall be
required to under go an audit by the supplier or other third party
agency to confirm compliance to the SQF code and agreed
arrangements; and
ii. Ensure changes to contractual agreements are
approved by both parties and communicated
to relevant personnel
Records of all contract reviews and changes to contractual
agreements and their approvals shall be maintained.
Finished product specifications shall be documented, current,
approved by the supplier and their customer, accessible to
relevant staff and may include microbiological and chemical limits,
labeling and packaging requirements.
A register of finished product specifications shall be maintained.
The organization shall ensure that, at the time of delivery to its
customer, the food supplied shall comply with the legislation that
applies to the food and its production in the country of its origin
and destination. This includes compliance with legislative
requirements applicable to maximum residue limits, food safety,
packaging, product description, nutritional, allergen and additive
labeling, and to relevant established industry codes of practice.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(m) There are no documented specifications
for contract services that impact finished
product safety
(m) The specifications for contract services
that impact finished product safety are not
current
(m) The specifications for contract services
that impact finished product safety do not
have a description of the service
(m) Specifications for contract personnel do
not include training requirements
(m) A register of contract service
specifications has not been maintained
(m) The Register for contract services is not
current
(m) methods for ensuring customer product
requirements are not documented
(m) responsibility for ensuring customer
product requirements is not documented
(M) methods for ensuring customer product
requirements are not implemented
(M) responsibility for ensuring customer
product requirements is not implemented
(M) Customer requirements are not being
met
(m) Changes to contractual agreements are
not approved by both supplier and customer
(m) Changes to contractual agreements are
not communicated to relevant personnel
(m) Records of all contract reviews are not
maintained
(m) Records of all changes to contract
reviews are not maintained
(m) Approvals to all changes are not
maintained
(m) A register of finished product
specifications is not maintained
(m) A register of finished product
specifications is not current
(m) Finished product specifications are
found to be not current
(M) Product specifications are not being
followed
(m) A register for finished product
specifications is not maintained
(M) Organization does not ensure food
supplied complies with the food safety
legislation that applies to the food and its
production in the country of its origin
(M) Organization does not ensure food
supplied complies with the food safety
legislation that applies to the food and its
production in the country of destination

Clause
2.4.1.2 Food Legislation (M)
2.4.1.3 Food Legislation (M)
2.4.2.1 Food Safety Fundamentals (M)
2.4.2.2 Food Safety Fundamentals (M)
2.4.2.3 Food Safety Fundamentals (M)
2.4.2.4 Food Safety Fundamentals (M)
2.4.3.1 Food Safety Plan (M)
Primary
Item Secondary Response Response Evidence Supplier Onsite Correction
The methods and responsibility for ensuring the organization is (m) Organization does not have a method to
kept informed of changes to relevant legislation, scientific and keep informed of changes to relevant
technical developments and relevant industry codes of practice legislation or scientific or technical
shall be documented and implemented. development
(M) Method is not implemented
SQFI and the certification body shall be notified in wirting within
24 hours upon identification of a food safety event that requires
public notification (e.g. receipt of a regulatory warning letter).
The property, buildings and equipment shall be located, (M) Facility is not designed to manufacture
constructed, designed and maintained to facilitate the hygienic safe food
production, manufacture, handling, storage and/or delivery of (M) Equipment is not designed to
safe food. manufacture safe food
The supplier shall ensure the food safety fundamentals described (M) The food safety fundamentals were not
in the relevant subsequent modules of this Code (i.e. modules 3 – followed
15) are applied or exempted according to a detailed risk analysis (m) A risk analysis was not conducted to
outlining the justification for exclusion or evidence of the exclude or provide alternative control to
effectiveness of alternative control measures to ensure that food elements in the food safety fundamentals
safety and quality are not compromised.
Those pre-requisite programs applicable to the scope of (M) Pre-requisite programs were not
certification that outline the means by which food safety is documented
controlled and assured shall be documented and implemented. (M) Pre-requisite programs were not
implemented
The effectiveness of the pre-requisite programs shall be verified as (M) Pre-requisite programs were not verified
described in 2.5.4.
A food safety plan shall be developed, effectively implemented, (M) No Food Safety plan
and maintained and outline the means by which the organization (M) Food safety plan is not current
controls and assures food safety. The food safety plan shall: (C) Food Safety plan has not been
i. Be prepared in accordance with the steps identified in the Codex implemented
Alimentarius Commission or NACMCF HACCP guidelines. Primary (M) Food safety plan has not been
producers and feed manufacturers may utilize a HACCP-based maintained
reference food safety plan developed by a responsible authority. (m) Food safety plan does not follow HACCP
ii. Cover a product or product group and the associated processes. method
iii. Describe the methodology and results of a hazard analysis (m) Food safety plan does not have the
conducted to identify food safety hazards associated with all methodology and results of the hazard
inputs and process steps including rework. Animal feed and pet analysis
food safety plans must include hazards associated with animal (M) Food safety plan does not include
safety as well as the safety of consumers of animal products. controls critical to food safety
iv. Prescribe those measures taken to apply the controls (M) Corrective actions have not been
implemented that are critical to assuring, monitoring and implemented when process controls
maintaining food safety. deviated from set parameters
v. Include process controls at control points in production to (m) Work instructions have not been
monitor product safety, identify when a process is deviating from documented
set parameters and make corrections to keep a process under
control; and
vi. Include documented Standard Operating Procedures (SOPs)
and Work Instructions (WI) applicable to the organization’s scope
of certification.

Clause
2.4.4.1 Food Quality Plan (M)
2.4.4.2 Food Quality Plan
2.4.5.1 Incoming Goods and Services
2.4.5.2 Incoming Goods and Services
2.4.5.3 Incoming Goods and Services
2.4.5.4 Incoming Goods and Services
Primary
Item Secondary Response Response Evidence Supplier Onsite Correction
A food quality plan shall be developed, effectively implemented,
and maintained in accordance with the HACCP method to outline
the means by which the organization controls and assures food
quality and legality. The food quality plan shall:
i. Outline the results of a food quality risk analysis conducted to
identify threats to achieving and maintaining product and process
quality.
ii. Prescribe those measures taken to apply the controls
implemented that are critical to assuring, monitoring and
maintaining food quality.
iii. Include process controls at quality points in production to
monitor product quality, identify when a process is deviating from
set parameters and make corrections to keep a process under
control;
iv. Cover a food or food group and the associated processes; and
v. Include documented Standard Operating Procedures (SOPs) and
Work Instructions (WI) applicable to the organizations scope of
certification.
Use of the SQF quality shield shall follow the requirements
outlined in Appendix 3: SQF Quality Shield and Logo Rules of Use.
Raw materials, ingredients, packaging materials and services that (M) Raw materials are not from an approved
impact on finished product safety shall be supplied by an supplier
approved supplier. (M) Packing materials are not from an
approved supplier
(M) Ingredients materials are not from an
approved supplier
(m) Services rendered do not come from an
approved supplier
The receipt of raw materials, ingredients, and packaging materials (m) Raw materials from non approved
received from non-approved supplier shall be acceptable in an suppliers do not undergo inspection prior to
emergency situation provided they are inspected or analyzed use
before use. (m) Raw materials were accepted from non-
approved suppliers in non-emergency
situations
The responsibility for selecting, evaluating, approving and (M) No approved supplier program is
monitoring an approved supplier shall be documented and documented
implemented. (M) Supplier approval program is not
implemented
The approved supplier program shall be based on the prior (m) Methods used for selecting an approved
performance of a supplier and the risk level of the raw materials supplier have not been documented
ingredients, packaging materials, and services supplied, and shall (m) Methods used for evaluating an
contain as a minimum agreed specifications, reference to the approved supplier have not been
rating of the level of risk applied to a raw material's ingredients, documented
packaging materials and services and the approved supplier, a (m) Methods used for approving an
summary of the food safety controls implemented by the approved supplier have not been
approved supplier, methods for granting approved supplier status, documented
methods and frequency of monitoring approved suppliers, details (m) Methods used for monitoring an
of the certificates of conformance if required, methods and approved supplier have not been
frequency of reviewing approved supplier performance and documented
status. (m) The program does not contain agreed
specifications
(m) The program does not contain a
summary of the food safety controls
implemented by the supplier
(m) The program does not contain a
summary of the quality controls
implemented by the supplier
(m) The program does not contain methods
for monitoring the suppliers
(m) The program does not contain the
frequency of monitoring the suppliers
(m) The program does not contain the
details of the certificates of conformance if
required
(m) The program does not include the
frequency for reviewing supplier
performance
 Primary
Clause Item Secondary Response Response Evidence Supplier Onsite Correction
2.4.5.5 Incoming Goods and Services A register of approved supplier and records of inspections and (m) A register of approved suppliers are not
audits of approved suppliers shall be maintained. maintained
(m) Records of inspections are not
maintained

2.4.6.1 Non-conforming Product or Equipment
The responsibility and methods outlining how non-conforming
product, raw material, ingredient, work-in-progress, packaging or
equipment detected during receipt, storage, processing, handling
or delivery is handled shall be documented and implemented.
The methods applied shall ensure: Non-conforming product is
quarantined, identified, handled and disposed of in a manner that
minimizes the risk of inadvertent use, improper use or risk to the
integrity of finished product; and Non-conforming equipment is
effectively repaired or disposed of in a manner that minimizes the
risk of inadvertent use, improper use or risk to the integrity of
finished product; All relevant staff is aware of the organization's
quarantine and release requirements applicable to equipment or
product placed under quarantine status. For producers, the
procedure must document the grower, field name, quantity and
final disposition of the unacceptable materials when applicable.
(M) Responsibilities or methods for handling
non-conforming materials is not
documented
(M) Responsibilities or methods for handling
non-conforming materials is not
implemented
(m) Identification of product does not
minimize risk of inadvertent use
(m) Identification of product does not
minimize risk of integrity of finished product
(m) Staff is not aware of product isolation
and release policy
(m) Handling does not minimize the risk of
inadvertent use
(m) Handling does not minimize the risk of
improper use
(m) Disposal does not minimize the risk of
inadvertent use
(m) Disposal does not minimize the risk of
improper use
(m) Disposal does not minimize the risk to
the integrity of finished product
(M) The producer did not document the
grower, field name, quantity

2.4.6.2 Non-conforming Product or Equipment Quarantine records, and records of the handling, corrective action, (m) Records of non-conforming product are
or disposal of non-conforming product or equipment shall be not maintained
maintained.

2.4.7.1 Product Rework The responsibility and methods outlining how the product is
reworked (recycled or recouped) 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 of reworked product is inspected or analyzed as
required before release;
iv. Inspections and analyses shall conform to the requirements for
verification outlined in element 2.5.6; and
v. Release of reworked product shall conform to element 2.4.8.
(M) Responsibility and methods are not
documented
(M) Responsibility and methods are not
implemented
(m) Reworked product is not identified
(m) Reworked product is not traceable
(m) Reworking operations are not
supervised by qualified personnel
(m) Rework product is not inspected or
analyzed prior to release
(m) Inspections do not conform to section
2.5.6
(m) Release of reworked product does not
conform to section 2.4.8

2.4.7.2 Product Rework
2.4.8.1 Product Release (M)
Records of all reworking operations shall be maintained.
The responsibility and methods for releasing products shall be
documented and implemented. The methods applied shall ensure
the product is released by authorized personnel, once all
inspections and analyses are successfully completed and
documented to verify legislative and other established food safety
controls have been met.
(m) No records of reworking operations are
maintained
(M) No documented methods for releasing
products
(M) Responsibilities for releasing products
are not identified
(M) The methods for releasing products are
not implemented
(m) Authorized personnel are not used to
release product
(m) Verification that legislative food safety
controls have been met have not been
completed

2.4.8.2 Product Release (M)
2.4.9.1 Stock Rotation
Records of all product release shall be maintained. (m) Records of releases have not been
maintained
The responsibility and methods for ensuring effective stock (m) Stock rotation principles have not been
rotation principles are applied shall be documented and documented
implemented. (m) Stock rotation principles have not been
implemented

2.4.9.2 Stock Rotation Procedures are in place to ensure that all ingredients, materials,
work-in-progress, and finished product are utilized within their
designated shelf-life.

2.5.1.1 Responsibility Frequency and Methods Validation and verification activities shall be conducted. (M) Validation activities are not conducted
(M) Verification activities are not conducted

Clause
2.5.1.2 Responsibility Frequency and Methods
2.5.1.3 Responsibility Frequency and Methods
2.5.2.1 Validation and Effectiveness (M)
2.5.2.2 Validation and Effectiveness (M)
2.5.3.1 Verification Schedule
2.5.4.1 Verification of Monitoring Activities (M)
2.5.4.2 Verification of Monitoring Activities (M)
2.5.5.1 Corrective and Preventative Action (M)
Item
The frequency and methods used to validate and verify food
safety and quality fundamentals, critical limits, and other food
safety and quality controls identified in food safety and quality
plans shall be documented and implemented and meet their
intended purpose.
Records of all verification activities shall be maintained.
The methods, responsibility and criteria for ensuring the
effectiveness of pre-requisite programs, and validating critical
food safety and quality limits to ensure they achieve their
intended purpose shall be documented and implemented. The
methods applied shall ensure that pre-requisite programs are
confirmed to ensure they achieve the required result, that critical
limits are selected to achieve the designated level of control of the
identified food safety and quality hazard(s), all critical limits and
control measures individually or in combination effectively provide
the level of control required, all critical limits and control
measures individually or in combination effectively provide the
level of control required, changes to the processes or procedures
are assessed to ensure controls are still effective, ensure that
critical food safety and quality limits are re-validated at least
annually.
Records of all validation activities shall be maintained.
A verification schedule outlining the verification activities, their
frequency of completion and the person responsible for each
activity shall be prepared and implemented.
The methods, responsibility and criteria for verifying the
effectiveness of monitoring pre-requisite programs critical control
points and other food safety and quality controls identified shall
be documented and implemented. The methods applied shall
ensure that personnel with responsibility for verifying monitoring
activities authorize each record verified.
Records of the verification of monitoring activities shall be
maintained.
The responsibility and methods outlining how corrections and
corrective actions are investigated, resolved, managed and
controlled, including the identification of the root cause and
resolution of non-compliance of critical food safety and quality
limits, and deviations from food safety and quality requirements,
shall be documented and implemented.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) Frequency and methods used to validate
food safety and quality fundamentals are
not documented
(M) Frequency and methods used to validate
food safety and quality fundamentals are
not implemented
(M) Frequency and methods used to validate
food safety and quality fundamentals do not
meet their intended purpose
(m) Records of activities are not maintained
(M) The methods and responsibility and
criteria for ensuring the effectiveness of the
pre-requisite programs are not documented
(M) The methods and responsibility and
criteria for ensuring the effectiveness of the
pre-requisite programs are not implemented
(M) Pre-requisite programs do not achieve
their intended purpose
(M) Critical food safety and quality limits are
not validated
(m) Methods do not confirm that the
required result is achieved
(m) Critical limits do not effectively provide
the designated level of control
(m) Critical limits and control measures do
not effectively provide the required level of
control
(m) Critical limits are not re-validated at
least annually
(m) Validation records are not maintained
(m) Verification schedule is not prepared
(m) Verification schedule is not
implemented
(m) Verification schedule is not complete
and outline the frequency or person
responsible
(m) Methods for verifying the effectiveness
of the monitoring pre-requisite programs
and CCPs are not documented
(M) Methods for verifying the effectiveness
of the monitoring pre-requisite programs
and CCPs are not implemented
(m) Records were not authorized
(m) Records were not maintained
(M) Responsibilities and methods outlining
how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not documented
(M) Responsibilities and methods outlining
how corrections and corrective actions are
investigated/ resolved/ managed/ controlled
are not implemented
(m) Root cause analysis for non-compliance
to critical food safety and quality limits has
not been identified
(m) Root cause analysis and resolution for
non-compliance to critical food safety and
quality limits has not been identified
 Primary
Clause Item Secondary Response Response Evidence Supplier Onsite Correction
2.5.5.2 Corrective and Preventative Action (M) Records of all investigation and resolution of corrections and (m) Records of corrective actions are not
corrective action shall be maintained. maintained
2.5.6.1 Product Sampling, Inspection and Analysis The methods, responsibility and criteria for sampling, inspecting (M) Methods for sampling, inspecting,
and/or analyzing raw materials, finished product and work in and/or analyzing raw materials, finished
progress shall be documented and implemented. The methods product and work in progress are not
applied shall ensure: Inspections and analyses are completed at documented
regular intervals as required and to agreed specification and legal (M) Methods for sampling, inspecting,
requirements; Inspections are conducted to ensure raw materials, and/or analyzing raw materials, finished
work in process and finished products comply with the relevant product and work in progress are not
specification, regulatory requirements and are true to label; and documented
All analyses are conducted to nationally recognized methods or (m) Inspections are not completed at regular
alternative methods which are validated as equivalent to the intervals
nationally recognized methods. Where external laboratories are (M) Inspections do not ensure materials
utilized to conduct input or product analysis, the laboratories shall comply with relevant specifications
be accredited to ISO 17025 or an equivalent national standard. (M) Analyses are not conducted to nationally
recognized methods
(m) Alternative methods used are not
validated as equivalent to the national
standard methods
(m) External laboratories are not accredited
to ISO 17025 or equivalent standard

2.5.6.2 Product Sampling, Inspection and Analysis Records of all inspections and analyses shall be maintained. (m) Records are not maintained

2.5.7.1 Internal Audits (M)
The methods and responsibility for scheduling and conducting (M) Inspections of the facility and
internal audits to verify the effectiveness of the SQF System equipment are not planned
including facility and equipment inspections, pre-requisite (M) Inspections of the facility are not carried
programs, food safety and quality plans and legislative controls out
shall be documented and implemented. The methods applied (m) The supplier did not take correction and
shall ensure an internal audit schedule is prepared detailing the corrective action
scope and frequency of internal audits, ensure correction and (m) Audit schedule does not include scope
corrective action of deficiencies identified during the internal and frequency
audits are undertaken, audit results are communicated to relevant (m) Audit results were not communicated to
management personnel and staff responsible for implementing relevant management personnel or staff(m)
and verifying corrective actions; and Audit results are Records were not maintained
communicated to relevant management personnel and staff
responsible for implementing and verifying corrective actions

2.5.7.2 Internal Audits (M)
2.5.7.3 Internal Audits (M)
2.6.1.1 Product Identification (M)
Staff conducting internal audits shall be trained in internal audit
procedures.
Where possible staff conducting internal audits shall be
independent of the function being audited.
The methods and responsibility for identifying products during all
stages of production and storage shall be documented and
implemented. The product identification system shall be
implemented to ensure raw materials, work in progress and
finished product are clearly identified during all stages of receipt,
production, storage and dispatch, finished product is labeled to
the customer specification and/or regulatory requirements.
(m) Staff conducting internal audits have not
been trained
(m) Staff is not independent of the function
being audited
(M) Methods for identifying products during
all stages of the process is not documented
(M) A product identification system is not
implemented
(M) Product is not clearly identified during
all stages of the process
(m) Finished product is not labeled to the
customer or regulatory requirements

2.6.1.2 Product Identification (M)
2.6.2.1 Product Trace (M)
Product identification records shall be maintained. (m) Records are not maintained
The responsibility and methods used to trace product shall be (M) Product trace system is not documented
documented and implemented to ensure finished product is (M) Product trace system is not
traceable to the customer (one up) and provides traceability implemented
through the process to the supplier and date of receipt of raw (M) Product trace system is not traceable
materials, food contact packaging and materials and other inputs one up and one back
(one back),; traceability is maintained where product is reworked; (M) Traceability is not maintained where
the effectiveness of the product trace system shall be tested at product is reworked
least annually. (m) The effectiveness of the product trace
system is not tested annually

2.6.2.2 Product Trace (M) Records of raw and packaging material receipt and use, and (m) Records are not maintained
product dispatch and destination shall be maintained.

Clause
2.6.3.1 Product Withdrawal and Recall (M)
2.6.3.2 Product Withdrawal and Recall (M)
2.6.3.3 Product Withdrawal and Recall (M)
2.6.3.4 Product Withdrawal and Recall (M)
2.7.1.1 Food Defense (M)
2.7.1.2 Food Defense (M)
2.8.1.1 General Requirements for Identity
Preserved Foods
2.8.1.2 General Requirements for Identity
Preserved Foods
2.8.1.3 General Requirements for Identity
Preserved Foods
2.8.1.4 General Requirements for Identity
Preserved Foods
2.8.1.5 General Requirements for Identity
Preserved Foods
2.8.1.6 General Requirements for Identity
Preserved Foods
Primary
Item Secondary Response Response Evidence Supplier Onsite Correction
The responsibility and methods used to withdraw or recall (M) Methods and responsibility for notifying
product shall be documented and implemented. The procedure customer and other essential bodies are not
shall: documented
i. Identify those responsible for initiating, managing and (M) Methods and responsibility for notifying
investigating a product withdrawal or recall; customer and other essential bodies are not
ii. Describe the management procedures to be implemented implemented
including sources of legal and expert advice; and (M) SQFI was not notified of a product recall
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. SQFI and the certification body shall be listed as an essential
body and notified in instances of a food safety incident of a public
nature
, or product recall for any reason.
Investigation shall be undertaken to determine the root cause of a (M) Investigations from product recalls have
withdrawal or recall and details of investigations and any action not been conducted
taken shall be documented. (m) Documentation from investigations and
action taken has not been documented
The product withdrawal and recall system shall be reviewed, (m) Recall system has not been tested at
tested and verified as effective at least annually. least annually
Records of all product withdrawals, recalls and mock exerises shall (m) Records are not maintained
be maintained.
The methods, responsibility and criteria for preventing food (m) No responsibility for food defense have
adulteration caused by a deliberate act of sabotage or terrorist- been assigned
like incident shall be documented, implemented and maintained. (m) No methods for food defense have been
developed
(m) Food defense plan has not been
implemented
A food defense protocol shall be prepared and include: The name (m) No methods to ensure only authorized
of the senior management person responsible for food defense; vehicles have access
The methods implemented to ensure only authorized personnel (m) No methods to identify authorized
have access to crops, production equipment and vehicles, personal who have access
manufacturing and storage areas through designated access (m) No methods identified to secure
points; The methods implemented to protect sensitive processing hazardous chemicals
points from intentional adulteration; The measures taken to (m) No methods identified to secure
ensure the secure storage of raw materials, packaging, equipment packaging and harvesting equipment
and hazardous chemicals; The measures implemented to ensure (m) No methods identified to protect crop
harvested crop and/or finished product is held under secure from intention adulteration
storage and transportation conditions; and The methods (m) No measure taken to secure storage
implemented to record and control access to the premises by areas for harvested crops
employees, contractors, and visitors. (m) No methods in place to record visitors or
contractors to the facility
(m) No methods in place to record access of
employees to the premises
The methods and responsibility for the identification and
processing of Kisher, HALAL, organic, Genetically Modified
Organisms (GMO) food and other products requiring the
preservation of their identity preserved status shall be
documented and implemented.
Identification shall include a statement of the product's identity
preserved status of all ingredients, including additives,
preservatives, processing aids, and flavorings.
Raw Material and ingredient specifications to identity preserved
foods shall include requirements for their handling, transport,
storage, and delivery prior to use.
Assurances concerning the raw material or ingredient's identity
preserved status shall be by agreement with the supplier.
The process description shall allow for a product's identity
preserved status to be maintained during manufacturing.
The processing of identity preserved foods shall be conducted
under controlled conditions such that: ingredients are physically
separated from ingredients identified as incompatible with the
identity preserved food, processing is completed separately, and
the finished products are stored and transported separately.

Clause
2.8.1.7 General Requirements for Identity
Preserved Foods
2.8.1.8 General Requirements for Identity
Preserved Foods
2.8.2.1 Allergen Management
2.8.2.2 Allergen Management
2.8.2.3 Allergen Management
2.8.2.4 Allergen Management
2.9.1.1 Training Requirements
Item
The identity preserved status shall be declared in acordance with
current legal requirements.
Customer requirements concerning identity preserved foods shall
be included in the finished product specification described in
2.3.5, or label register, and implemented by the supplier.
The responsibility and methods used to control allergens and to
prevent sources of allergens from contaminating product shall be
documented and implemented. The allergen management
program shall include the hazards associated with allergens and
their control incorporated into the food safety plan, include
cleaning and sanitation of product contact surfaces between line
changeovers shall be effective, appropriate to the risk and legal
requirements, and sufficient to remove all potential target
allergens from product contact surfaces, including aerosols as
appropriate, to prevent cross contact.
The product identification system shall make provision for clear
identification and labeling in accordance with regulatory
requirements of those products produced on production lines and
equipment on which foods containing allergens were
manufactured.
The product trace system shall take into consideration the
conditions under which allergen containing foods are
manufactured and ensure full trace back of all ingredients used.
Re-working of product containing allergen causing agents shall be
conducted under conditions that ensure product safety and
integrity is maintained. Re-worked product containing allergens
shall be clearly identified and traceable.
Appropriate training shall be provided for personnel carrying out
the tasks critical to the effective implementation of the SQF level 3
system and the maintenance of food safety and quality and
regulatory requirements.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(M) No methods to control allergens
developed
(M) Methods developed to control allergens
are not sufficient
(M) No risk assessment for raw materials
containing allergens have been conducted
(m) Not all ingredients with allergens
included in risk assessment
(m) No list of ingredients with allergens has
been developed
(M) Controls for the allergens identified in
risk assessment not included in food safety
plan
(M) Cleaning and sanitation of equipment is
not completed prior to changeover of
allergen products
(M) Controls are not developed to
segregated products with allergen causing
agents
(C) Conditions are observed in which
products are comingled with products
containing allergens
(M) Cleaning of equipment containing
allergens is not verified prior to product
changeover
(m) Verification of sanitation effectiveness is
not implemented
(M) Equipment segregation for allergen
control is not conducted
(M) Equipment segregation for allergen
control does not minimize potentially for
cross-contact
(m) Specific procedures for the storage of
allergen containing ingredients has not been
developed
(M) Conditions exist within storage area of
potential cross contact between allergen
and non-allergen ingredients
(M) Equipment segregation for allergen
control does not minimize potentially for
cross-contact
(M) Product identification system does not
address allergens
(M) Products containing allergens are not
properly labeled to identify them as
allergens
(M) Product trace system does not address
products and ingredients with allergens
(M) Product traces system does not capture
all ingredients with allergens
(M) Product reworked is not adequately
from product which contains allergens
(M) Product reworked is not properly
labeled
(M) Product trace does not include
reworked product with allergens
(m) Adequate training in the SQF system
was not provided to staff
(m) Employees with assigned tasks in SQF
have no training on SQF systems

Clause
2.9.2.1 Training Program (M)
2.9.3.1 Instructions
2.9.4.1 HACCP Training Requirement
2.9.5.1 Language
2.9.6.1 Refresher Training
2.9.7.1 Training Skills Register
Item
An employee training program shall be documented and
implemented. It shall outline the necessary competencies for
specific duties and the training methods to be applied for those
staff carrying out tasks associated with: Developing and applying
Good Agricultural Practices, Good Aquaculture Practices, or Good
Manufacturing Practices (as appropriate). Applying food
regulatory requirements; Steps identified by the hazard analysis
and/or other instructions as critical to effective implementation
of the food safety and quality plan and the maintenance of food
safety and quality; and
Tasks identified as critical to meeting the effective implementation
and maintenance of the SQF System.
Instructions shall be available explaining how all tasks critical to
meeting regulatory compliance, the maintenance of food safety
and quality and process efficiency are to be performed.
HACCP training shall be provided for staff involved in developing
and maintaining food safety and quality plans.
Training materials and the delivery of training shall be provided in (m) Training was not provided in necessary
language understood by staff.
The training program shall include provision for identifying and
implementing the refresher training needs of the organization.
A training skills register describing who has been trained in
relevant skills shall be maintained. The register shall indicate the
participant name, skills description, description of the training
provided, date training completed, the trainer or training provider,
and the supervisor's verification the training was completed and
that the trainee is competent to complete the required tasks.
Primary
Secondary Response Response Evidence Supplier Onsite Correction
(m) Employee training program does not
include good manufacturing/ agricultural
practices (as appropriate)
(m) Employee training program does not
include pre-requisite programs
(m) Employee training program does not
include food regulatory requirements
(m) Employee training program does not
include hazard analysis
(m) Employee training program does not
include maintenance of food safety and
quality plan
(m) Employee training program does not
include customer specifications
(m) There are no specific work instructions
for adherence to customer specifications
(m) There are no specific work instructions
for maintenance of food safety and quality
plan
(m) There are not specific work instructions
for maintenance of quality or process
(m) There are no specific work instructions
for adherence to regulatory compliance
(m) There are no specific work instructions
for maintenance of food safety and quality
plan
(m) There are not specific work instructions
for maintenance of quality or process
(m) There is no HACCP training for staff
maintaining food safety and quality plan
(m) HACCP training for staff maintaining
food safety and quality and quality plans
was not sufficient
languages to be understood by staff
(m) Training program does not define
refresher training requirement
(m) Training program does not identify
means for achieving refresher training
requirement
(m) Training skills register does not include
participant name
(m) Training skills register does not include
skills description
(m) Training skills register does not include
description of training provided
(m) Training skills register does not include
date of the training
(m) Training skills register does not include
trainer or training provider
(m) Training skills register does not include
supervisor verification that training was
effective
Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
 Clause
3.1.1.1 Premises Location
3.1.1.2 Premises Location
3.1.2.1 Construction and Operational
Approval
3.2.1.1 Materials and Surfaces
3.2.2.1 Floors, Drains and Waste Traps
3.2.2.2 Floors, Drains and Waste Traps
3.2.2.3 Floors, Drains and Waste Traps
3.2.2.4 Floors, Drains and Waste Traps
3.2.3.1 Walls, Partitions, Doors and Ceilings Walls, partitions, ceilings and doors shall be of
3.2.3.2 Walls, Partitions, Doors and Ceilings Wall to wall and wall to floor junctions shall be
3.2.3.3 Walls, Partitions, Doors and Ceilings Ducting, conduit and pipes that convey services
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
The location of the premises shall be such that
adjacent and adjoining buildings, operations
and land use do not interfere with safe and
hygienic operations.
Measures shall be established to maintain a
suitable external environment, and the
effectiveness of the established measures shall
be monitored and periodically reviewed.
The construction and ongoing operation of the
premises on the site shall be approved by the
relevant authority.
Product contact surfaces and those surfaces
not in direct contact with feed in feed handling
areas, raw material storage, and packaging
material storage, shall be constructed of
materials that will not contribute a feed safety
risk.
Floors shall be constructed of smooth, dense
impact resistant material that can be effectively
graded, drained, impervious to liquid and easily
cleaned.
When water is used, floors shall be sloped to
floor drains at gradients suitable to allow the
effective removal of all overflow or waste
water under normal working conditions.
Drains shall be constructed and located so they
can be easily cleaned and not present a hazard.
Waste trap System shall be located away from
any feed handling area or entrance to the
premises.
durable construction. Internal surfaces shall be
impervious and shall be kept clean (refer to
element 3.2.13.1)
designed to be cleaned and sealed to prevent
the accumulation of debris.
such as steam or water shall be designed and
constructed so as to allow ease of cleaning.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.2.3.4 Walls, Partitions, Doors and Ceilings Doors, hatches and windows and their frames
shall be of a material and construction which
meets the same functional requirements for
internal walls and partitions. Doors and hatches
shall be of solid construction; and
Windows shall be made of shatterproof glass or
similar material.

3.2.3.5 Walls, Partitions, Doors and Ceilings Feed shall be processed and handled in areas
that are fitted with a ceiling or other
acceptable structure that is constructed and
maintained to prevent the contamination of
products.

3.2.3.6 Walls, Partitions, Doors and Ceilings Drop ceilings shall be additionally constructed
to enable monitoring for pest activity, facilitate
cleaning and provide access to utilities.

3.2.4.1 Stairs, Catwalks and Platforms
Stairs, catwalks and platforms in feed
processing and handling areas shall be
designed and constructed so as not to present
a product contamination risk, and shall be kept
clean (refer to element 3.2.13.1).

3.2.5.1 Lighting and Light Fittings Lighting in feed manufacturing and handling
areas and at inspection stations shall be of
appropriate intensity to enable the staff to
carry out their tasks efficiently and effectively.

3.2.5.2 Lighting and Light Fittings
Light fittings in processing areas, inspection
stations, ingredient and packaging storage
areas, and all areas where the product is
exposed shall be shatterproof, manufactured
with a shatterproof covering or fitted with
protective covers.

3.2.5.3 Lighting and Light Fittings Light fittings in warehouses and other areas
where the product is protected shall be
designed such as to prevent breakage and
product contamination.

3.2.6.1 Inspection Area A suitable area with sufficient lighting and

access to hand washing facilities shall be
provided for the inspection of the product if
required.

3.2.7.1 Dust, Fly and Vermin Prevention All external windows, ventilation openings,
doors and other openings shall be effectively
sealed when closed
 Clause
3.2.7.2 Dust, Fly and Vermin Prevention
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
Electric insect control devices, pheromone or
other traps and baits shall be located so as not
to present a contamination risk to the product,
packaging, containers or processing
equipment. Poison shall not be used inside
ingredient or feed storage areas or processing
areas.

3.2.8.1 Ventilation Adequate ventilation shall be provided in

enclosed manufacturing and feed handling
areas.

3.2.8.2 Ventilation Extractor fans and/or canopies shall be

provided in areas where cooking operations are
carried out or a large amount of steam is
generated.

3.2.9.1 Premises and Equipment The methods and responsibility for the
Maintenance maintenance and repair of plant, equipment
and buildings shall be documented, planned
and carried out in a manner that minimizes the
risk of product, packaging or equipment
contamination.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.2.9.2 Premises and Equipment Maintenance staff and contractors shall
Maintenance observe the following practices when
undertaking maintenance and repairs in any
feed processing, handling or storage area:
Routine maintenance of plant and equipment
shall be performed according to a
maintenance-control schedule and recorded;
Failures of plant and equipment shall be
documented, reviewed and their repair
incorporated into the maintenance control
schedule;
Compliance with the personnel and process
hygiene requirements (refer 3.3.1, 3.3.2, 3.3.3,
3.3.4) by maintenance staff and contractors;
Ensure facility supervisors are notified when
maintenance or repairs are to be undertaken in
any feed handling area; Inform the
maintenance supervisor and the facility
supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of
electrical wire, damaged light fittings, and loose
overhead fittings). When possible,
maintenance is to be conducted outside
processing times; Remove all tools and debris
from any maintenance activity once it has been
completed and inform the area supervisor and
maintenance supervisor so appropriate hygiene
and sanitation can be completed prior to the
commencement of facility operations.

3.2.9.3 Premises and Equipment The maintenance schedule shall be prepared to

Maintenance cover building, equipment and other areas of
the premises critical to the maintenance of
product safety and quality.

3.2.9.4 Premises and Equipment Lubricants shall be fit for purpose, meet
Maintenance regulatory requirements, and be food grade
where there is potential of direct contact with
animal feed.

3.2.9.5 Premises and Equipment Paint used in a feed handling or contact zone
Maintenance shall be suitable for use and in good condition
and shall not be used on any product contact
surface.

3.2.10.1 Calibration The methods and responsibility for the

calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in pre-requisite program,
feed safety plans and feed quality plans and
other process controls, or to demonstrate
compliance with customer specifications shall
be documented and implemented.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.2.10.2 Calibration Procedures shall be documented and
implemented to address the disposition of
potentially affected products should
measuring, test and inspection equipment be
found to be out of calibration state.

3.2.10.3 Calibration Calibrated measuring, test and inspected

equipment shall be protected from damage
and unauthorized adjustment.

3.2.10.4 Calibration Equipment shall be calibrated against national

or international reference standards and
methods or to accuracy appropriate to its use.
In cases where standards are not available, the
supplier shall provide evidence to support the
calibration reference method applied.

3.2.10.5 Calibration Calibration shall be performed according to

regulatory requirements and/or to the
equipment manufacturers recommended
schedule.

3.2.10.6 Calibration Calibration records shall be maintained.

3.2.11.1 Management of Pests and Vermin
The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounding areas, storage facilities, machinery
and equipment shall be kept free of waste or
accumulated debris so as not to attract pests
and vermin.
 Clause
3.2.11.2 Management of Pests and Vermin
3.2.11.3 Management of Pests and Vermin
3.2.11.4 Management of Pests and Vermin
3.2.11.5 Management of Pests and Vermin
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
The pest and vermin management program
shall:
Describe the methods and responsibility for the
development, implementation and
maintenance of the pest and vermin
management program;
Identify the target pests for each pesticide
application;
Outline the methods used to prevent pest
problems;
Outline the pest elimination methods;
Outline the frequency with which pest status is
to be checked;
Include on a site map the identification,
location, number and type of bait stations set;
List the chemicals used (they are required to be
approved by the relevant authority and their
Safety Data Sheets (SDS) made available);
Outline the methods used to make staff aware
of the bait control program and the measures
to take when they come in contact with a bait
station;
Outline the requirements for staff awareness
and training in the use of pest and vermin
control chemicals and baits; and
Measure the effectiveness of the program to
verify the elimination of applicable pests.
Inspections for pest activity shall be
undertaken on a regular basis by trained
personnel and the appropriate action taken if
pests are present.
Records of all pest control applications shall be
maintained.
Pesticides and other toxic chemicals shall be
clearly labeled and stored as described in
element 3.6.4 and handled and applied by
properly trained personnel. They shall be used
by or under the direct supervision of trained
personnel with a thorough understanding of
the hazards involved, including the potential
for the contamination of feed and feed contact
surfaces.
 Clause
3.2.11.6 Management of Pests and Vermin
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
Pest control contractors shall be:
Licensed and approved by the local relevant
authority;
Use only trained and qualified operators who
comply with regulatory requirements;
Use only approved chemicals;
Provide a pest control management plan (see
Contract Services 2.3.3) which will include a
site map indicating the location of bait stations
and traps;
Report to a responsible authorized person on
entering the premises and after the completion
of inspections or treatments; and
Provide a written report of their findings and
the inspections and treatments applied.

3.2.11.7 Management of Pests and Vermin
The supplier shall dispose of unused pest
control chemicals and empty containers in
accordance with regulatory requirements and
ensure that:
Empty chemical containers are not reused;
Empty containers are labeled, isolated and
securely stored while awaiting collection; and
Unused and obsolete chemicals are stored
under secure conditions while waiting
authorized disposal by an approved vendor.

3.2.12.1 Equipment, Utensils and Protective Equipment and utensils shall be designed,
Clothing constructed, installed, operated and operated
so as to be fit for purpose, constructed to
facilitate cleaning and maintenance, and not
pose a contamination threat to feed products.

3.2.12.2 Equipment, Utensils and Protective Waste and overflow water from tubs, tanks and
Clothing other equipment shall be discharged direct to
the floor drainage system.

3.2.12.3 Equipment, Utensils and Protective Protective clothing, where used, shall be
Clothing manufactured from material that is not likely to
contaminate feed and easily cleaned.
 Clause
3.2.12.4 Equipment, Utensils and Protective When protective clothing is used, racks shall be
Clothing
3.2.13.1 Cleaning and Sanitation
3.2.13.2 Cleaning and Sanitation
3.2.13.3 Cleaning and Sanitation
3.2.13.4 Cleaning and Sanitation
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
provided for the temporary storage of
protective clothing when staff leaves the
processing area and shall be provided in close
proximity or adjacent to the hand washing
facilities.
The methods and responsibility for the cleaning
of feed handling and processing equipment and
environment, storage areas, staff amenities
and toilet facilities shall be documented and
implemented. Consideration shall be given to:
What is to be cleaned;
How it is to be cleaned;
When it is to be cleaned;
Who is responsible for the cleaning;
Methods used to confirm the correct
concentrations of detergents and sanitizers,
and
The responsibility and methods used to verify
the effectiveness of the cleaning and sanitation
program.
Provision shall be made for the effective
cleaning of processing equipment, utensils and
protective clothing.
Suitably equipped areas shall be designated for
cleaning product containers, knives, and other
utensils and for cleaning of protective clothing
used by staff. These cleaning operations shall
be controlled so as not to interfere with
manufacturing operations, equipment or
product. Racks and containers for storing
cleaned utensils and protective clothing shall
be provided as required.
The responsibility and methods used to verify
the effectiveness of the cleaning procedures
shall be documented and implemented. A
verification schedule shall be prepared.
 Clause
3.2.13.5 Cleaning and Sanitation
3.2.13.6 Cleaning and Sanitation
3.2.13.7 Cleaning and Sanitation
3.3.1.1 Personnel
3.3.1.2 Personnel
3.3.1.3 Personnel
3.3.2.1 Hand Washing
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
Detergents and sanitizers shall be suitable for
use in a feed manufacturing environment, and
purchased in accordance with applicable
legislation. The organization shall ensure:
An inventory of all chemicals purchased and
used shall be maintained;
Detergents and sanitizers are stored as
outlined in element 3.6.4;
Material Safety Data Sheets (MSDS) are
provided for all detergents and sanitizers
purchased; and
Only trained staff handles sanitizers and
detergents.
The supplier shall dispose of unused detergents
and sanitizers and empty containers in
accordance with regulatory requirements and
ensure that:
Empty detergent and sanitizer containers are
appropriately cleaned, treated and labeled
before use;
Empty detergent and sanitizer containers are
labeled, isolated and securely stored while
awaiting collection; and
Unused and obsolete detergents and sanitizers
are stored under secure conditions while
waiting authorized disposal by an approved
vendor.
A record of hygiene inspections, cleaning and
sanitation activities, and verification activities
shall be maintained.
Personnel suffering from infectious diseases or
are carriers of any infectious disease shall not
engage in product handling or processing
operation.
Personnel with exposed cuts, sores or lesions
shall not be engaged in handling or processing
feed or handling primary packaging materials
or feed contact surfaces. Minor cuts or
abrasions on exposed parts of the body shall be
covered with a or an alternative suitable
waterproof and dressing.
Smoking, chewing, eating, drinking or spitting is
not permitted in any feed processing or feed
handling areas.
Hand wash basins shall be provided.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.3.2.2 Hand Washing Hand wash basins shall be constructed of
stainless steel or similar non-corrosive material
and as a minimum supplied with:
A potable water supply at an appropriate
temperature;
Liquid soap contained within a fixed dispenser;
Paper towels in a hands free cleanable
dispenser; and
A means of containing used paper towels.

3.3.2.3 Hand Washing A sign advising people to wash their hands, and
in appropriate languages, shall be provided in a
prominent position.

3.3.2.4 Hand Washing Hands shall be washed by all personnel,

including staff, contractors and visitors:
On entering feed handling or processing areas;
After each visit to a toilet;
After using a handkerchief;
After smoking, eating or drinking; and
After handling contaminated material.

3.3.2.5 Hand Washing When gloves are used, personnel shall maintain
the hand washing practices outlined above.

3.3.3.1 Clothing Clothing worn by staff engaged in handling

feed shall be maintained, stored, laundered
and worn so as not to present a contamination
risk to products.

3.3.4.1 Jewelry and Personal Effects
Jewelry and other loose objects shall not be
worn or taken into a feed handling or
processing operation or any area where feed is
exposed. The wearing of plain bands with no
stones and medical alert bracelets that cannot
be removed can be permitted.

3.3.5.1 Visitors All visitors, including management and

maintenance staff, shall wear suitable clothing
and footwear when entering any feed
processing or handling area.

3.3.5.2 Visitors All visitors shall be required to remove jewelry

and other loose objects.
3.3.5.3 Visitors Visitors exhibiting visible signs of illness shall be
prevented from entering areas in which feed is
handled or processed.

3.3.5.4 Visitors Visitors shall enter and exit feed handling areas
through the proper staff entrance points and
comply with all hand washing and personnel
practice requirements.
 Clause
3.3.6.1 Staff Amenities
3.3.7.1 Change Rooms
3.3.7.2 Change Rooms
3.3.7.3 Change Rooms
3.3.7.4 Change Rooms
3.3.8.1 Sanitary Facilities
3.3.8.2 Sanitary Facilities
3.3.8.3 Sanitary Facilities
3.3.9.1 Lunch Rooms
3.3.9.2 Lunch Rooms
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
Staff amenities supplied with appropriate
lighting and ventilation shall be made available
for the use of all persons engaged in the
handling and processing of feed.
Facilities shall be provided to enable staff and
visitors to change into and out of protective
clothing as required.
Change rooms shall be provided for staff
engaged in the processing of feeds or
processing operations in which clothing can be
soiled.
Provision shall be made for staff to store their
street clothing and personal items separate
from feed contact zones and feed and
packaging storage areas.
Where required, a sufficient number of
showers shall be provided for use by staff.
Toilet rooms shall be:
Designed and constructed so that they are
accessible to staff and separate from any feed
processing and handling operations;
Sufficient in number for the maximum number
of staff;
Constructed so that they can be easily cleaned
and maintained; and
Kept clean and tidy.
Sanitary drainage shall not be connected to any
other drains within the premises and shall be
directed to a septic tank or a sewerage system.
Hand wash basins shall be provided
immediately outside or inside the toilet room
and designed as outlined in 3.3.2.2.
Separate lunch room facilities shall be provided
away from a feed contact/handling zone.
Lunch room facilities shall be:
Ventilated and well lit;
Provided with adequate tables and seating;
Equipped with a sink serviced with hot and cold
potable water for washing utensils; and
Kept clean and free from waste materials and
pests.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.3.9.3 Lunch Rooms Signage in appropriate languages instructing
people to wash their hands before entering the
feed processing areas shall be provided in a
prominent position in lunch rooms and at lunch
room exits.

3.3.10.1 First Aid First aid facilities shall be provided to treat

minor injuries and suitable arrangements shall
be provided in circumstances when a patient
requires more specialized care.

3.4.1.1 Staff Engaged in Feed Handling and All personnel engaged in any feed handling,
Processing Operations preparation or processing operations shall
ensure that products and materials are handled
and stored in such a way as to prevent damage
or product contamination. They shall comply
with the following processing practices:
Personnel entry to processing areas shall be
3.4.2.1 Product Formulation Feed
throughproduct formulations
the personnel shall
access be developed
doors only;
by authorized
Packaging persons
material, to ensure
product, andthat they
ingredients
meet the designated need. The formulations
shall be kept in appropriate containers as
should
required include
and offallthe
manufacturing
floor; instructions
with
Waste regard to flushing,
shall be contained sequencing,
in the bins special
identified
instructions and
for this purpose cleanout procedures.
3.4.2.2 Product Formulation Procedures shalland removed from
be documented andthe
processing
implemented to ensure that feed is not left
area on a regular basis and
to accumulate.to approved product
manufactured
formulations, and uses only materials and
ingredients that are fit for purpose. Attention
shall be paid to assuring raw materials
prohibited from use in the manufacture of
animal feed are not introduced into the
product.

3.4.3.1 Application of Medicines Medication shall be purchased from an

approved supplier in accordance with
applicable legislation, and be correctly labeled
by the manufacturer.

3.4.3.2 Application of Medicines All medicines included in animal feed must be

added in accordance with label instructions.

3.4.3.3 Application of Medicines Access to medications shall be restricted to

3.4.3.4 Application of Medicines
trained and authorized personnel.
An inventory of all animal medications
purchased and used shall be maintained. The
supplier shall provide proof of purchase for all
animal medications included in the inventory
and used within the facility. Animal
medications shall be subject to proper rotation
based on expiration date. Expired medications
shall not be used.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.4.3.5 Application of Medicines The supplier shall dispose of unused animal
medications, expired medications, and empty
containers in accordance with regulatory
requirements and ensure that empty
containers are not re-used; and are isolated
and securely stored while awaiting disposal.

3.5.1.1 Water Supply Adequate supplies of potable water drawn

from a known clean source shall be provided
for use during processing operations, as an
ingredient and for cleaning the premises and
equipment.

3.5.1.2 Water Supply Supplies of hot and cold water shall be

provided as required to enable the effective
cleaning of the premises and equipment.

3.5.2.1 Monitoring Water Microbiology and QWater used for

washing and treating feed;
an ingredient or feed processing aid;
cleaning feed contact surfaces, and
the manufacture of steam that will come in
contact with feed or used to heat water that
will come in contact with feed
shall comply with local, national or
internationally recognized potable water
microbiological and quality standards as
required.

3.5.3.1 Water Delivery The delivery of water within the premises shall
ensure potable water is not contaminated.

3.5.3.2 Water Delivery The use of non-potable water shall be

controlled such that:
There is no cross contamination between
potable and non-potable water lines;
Non-potable water piping and outlets are
clearly identified.

3.5.4.1 Water Treatment Where appropriate, water treatment methods,

equipment and materials shall be designed,
installed and operated to ensure water
receives an effective treatment.

3.5.4.2 Water Treatment Water treatment equipment shall be

monitored regularly to ensure it remains
serviceable.

3.5.4.3 Water Treatment Treated water shall be regularly monitored to

ensure it meets the indicators specified.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.5.5.1 Analysis Microbiological analysis of water used in
manufacturing shall be conducted to verify the
cleanliness of the supply, the monitoring
activities and the effectiveness of the
treatment measures implemented.

3.5.5.2 Analysis Water shall be analyzed using reference

standards and methods.
3.5.6.1 Air Quality Compressed air that comes into contact with
animal feed shall be clean and present no risk
to feed safety.

3.5.6.2 Air Quality Compressed air that comes into contact with
animal feed shall be regularly monitored for
purity

3.6.1.1 Cold Storage, Freezing and Chilling
The supplier shall provide confirmation of the
effective operational performance of freezing,
chilling and cold storage facilities. Chillers,
blast freezers and cold storage rooms shall be:
Designed and constructed to allow for the
hygienic and efficient refrigeration of feed; and
Easily accessible for inspection and cleaning.

3.6.1.2 Cold Storage, Freezing and Chilling
Sufficient refrigeration capacity shall be
available to chill, freeze, store chilled or store
frozen the maximum anticipated throughput of
product with allowance for periodic cleaning of
refrigerated areas.

3.6.1.3 Cold Storage, Freezing and Chilling Discharge from defrost and condensate lines
shall be controlled and discharged to the
drainage system.

3.6.1.4 Cold Storage, Freezing and Chilling
Freezing, chilling and cold storage rooms shall
be fitted with temperature monitoring
equipment and located so as to monitor the
warmest part of the room and be fitted with a
temperature measurement device that is easily
readable and accessible.

3.6.2.1 Storage of Dry Ingredients, Packaging Rooms used for the storage of product
ingredients, packaging, and other dry goods
shall be designed and constructed to protect
the product from contamination and
deterioration.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.6.2.2 Storage of Dry Ingredients, Packaging Racks provided for the storage of packaging
shall be constructed of impervious materials
and designed to enable cleaning of the floors
and the storage room. Storage areas shall be
constructed to prevent packaging from
becoming a harborage for pests or vermin.

3.6.2.3 Storage of Dry Ingredients, Packaging Vehicles used in feed contact, handling or
processing zones or in cold storage rooms shall
be designed and operated so as not to present
a feed safety hazard.

3.6.2.4 Storage of Dry Ingredients, Packaging Medications for use in feed manufacture shall
be stored in securable, dedicated storage, or
area dedicated for such purpose, and in
accordance with regulatory requirements or in
the absence of regulatory requirements,
manufacturers’ instructions.

3.6.3.1 Storage of Equipment and Storage rooms shall be designed and

Containers constructed to allow for the hygienic and
efficient storage of equipment and containers.

3.6.4.1 Storage of Hazardous Chemicals and Hazardous chemicals and toxic substances with
Toxic Substances the potential for feed contamination shall be
stored so as not to present a hazard to staff,
product, packaging, product handling
equipment or areas in which the product is
handled, stored or transported.

3.6.4.2 Storage of Hazardous Chemicals and Processing utensils and packaging shall not be
Toxic Substances stored in areas used to store hazardous
chemicals and toxic substances.

3.6.4.3 Storage of Hazardous Chemicals and Daily supplies of chemical used for continuous
Toxic Substances sanitizing of water or as a processing aid, or for
emergency cleaning of feed processing
equipment or surfaces in feed contact zones,
may be stored within or in close proximity to a
processing area provided access to the
chemical storage facility is restricted to
authorized personnel.

3.6.4.4 Storage of Hazardous Chemicals and Pesticides, rodenticides, fumigants and

Toxic Substances insecticides shall be stored separate from
sanitizers and detergents. All chemicals shall be
stored in their original containers.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.6.4.5 Storage of Hazardous Chemicals and Hazardous chemical and toxic substance
Toxic Substances storage areas shall:
Be compliant with national and local legislation
and designed such that there is no cross-
contamination between chemicals;
Be adequately ventilated;
Be provided with appropriate signage
indicating the area is a hazardous storage area;
Be designated and restrict access only to those
personnel with formal training in the handling
and use of hazardous chemicals and toxic
substances;
Have instructions on the safe handling of
hazardous chemicals and toxic substances
readily accessible to staff;
Be equipped with a detailed and up-to-date
inventory of all chemicals contained in the
storage facility;
Have suitable first aid equipment and
protective clothing available in close proximity
to the storage area;
In the event of a hazardous spill, be designed
such that spillage and drainage from the area is
contained; and
Be equipped with spillage kits and cleaning
equipment.

3.6.5.1 Alternative Storage and Handling of Where goods described in 3.6.1 to 3.6.4 are
Goods held under temporary or overflow conditions
that are not designed for the safe storage of
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on
feed safety and quality.

3.6.6.1 Loading, Transport and Unloading
Practices
The practices applied during loading, transport
and unloading of feed shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity. Feed shall be loaded, transported
and unloaded under conditions suitable to
prevent cross contamination.

3.6.7.1 Loading Vehicles (trucks/vans/containers) used for

transporting feed shall be inspected prior to
loading to ensure they are clean, in good
repair, suitable for the purpose and free from
conditions that may impact negatively on the
safety of the product.
 Clause
3.6.7.2 Loading
3.6.8.1 Unloading
3.7.1.1 Process Flow
3.7.2.1 Receipt of Raw and Packaging
Materials and Ingredients
3.7.3.1 Thawing of Product
3.7.3.2 Thawing of Product
3.7.3.3 Thawing of Product
3.7.3.4 Thawing of Product
3.7.4.1 Control of Foreign Matter Contaminat The responsibility and methods used to
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
Loading practices shall be designed to minimize
unnecessary exposure of the product to
conditions detrimental to maintaining the
product and package integrity.
Unloading practices shall be designed to
minimize unnecessary exposure of the product
to conditions detrimental to maintaining the
product and package integrity.
The process flow shall be designed to prevent
cross contamination and organized so there is a
continuous flow of product through the
process. The flow of personnel shall be
managed such that the potential for
contamination is minimized
Dry ingredients and packaging shall be received
and stored separately from frozen and chilled
raw materials to ensure there is no cross
contamination. Unprocessed raw materials
shall be received and segregated to ensure
there is no cross contamination.
Thawing of materials and ingredients shall be
undertaken in equipment and rooms
appropriate for the purpose.
Equipment for water thawing shall be
continuous flow to ensure the water exchange
rate and temperature does not contribute to
product deterioration or contamination. Water
overflow shall be directed into the floor
drainage system and not onto the floor.
Air thawing facilities shall be designed to thaw
the product under controlled conditions at a
rate and temperature that does not contribute
to product deterioration or contamination.
Provision is to be made for the containment
and regular disposal of used cartons and
packaging from thawed product so that there is
no risk to the product.
prevent foreign matter contamination of the
feed shall be documented, implemented and
communicated to all staff.
 Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
3.7.4.2 Control of Foreign Matter Contaminat Inspections shall be performed to ensure plant
and equipment remains in good condition and
is effective in preventing foreign matter
contamination.

3.7.4.3 Control of Foreign Matter Contaminat The use of temporary fasteners such as string,
wire or tape to fix or hold equipment shall not
be permitted.

3.7.4.4 Control of Foreign Matter Contaminat Preventative measures shall be implemented

to prevent glass contamination

3.7.4.5 Control of Foreign Matter Contaminat Wooden pallets and other wooden utensils
used in feed handling/contact zones shall be
dedicated for that purpose, clean, maintained
in good order. Their condition is subject to
regular inspection.

3.7.4.6 Control of Foreign Matter Contaminat Loose metal objects on equipment, equipment
covers and overhead structures shall be
removed or tightly fixed so as not to present a
hazard.

3.7.4.7 Control of Foreign Matter Contaminat Knives and cutting instruments used in
processing and packaging operations shall be
controlled, and kept clean and well maintained.

3.7.5.1 Detection of Foreign Objects
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.

3.7.5.2 Detection of Foreign Objects Metal detectors or other physical contaminant

detection technologies shall be routinely
monitored, validated and verified for
operational effectiveness. The equipment shall
be designed to isolate defective product and
indicate when it is rejected.

3.7.5.3 Detection of Foreign Objects Records shall be maintained of the inspection

by foreign object detection devices, and their
verification.

3.7.6.1 Managing Foreign Matter In cases of foreign matter contamination the

Contamination Incidents affected batch or item shall be evaluated,
inspected and appropriately disposed of.

3.7.6.2 Managing Foreign Matter In circumstances where glass or similar

Contamination Incidents
material breakage occurs, the affected area is
to be isolated, cleaned and thoroughly
inspected (including cleaning equipment and
footwear) and cleared by a suitably responsible
person prior to the commencement of
operations.
 Clause
3.8.1.1 Location
3.8.1.2 Location
3.8.1.3 Location
3.9.1.1 Dry and Liquid Waste Disposal
3.9.1.2 Dry and Liquid Waste Disposal
3.9.1.3 Dry and Liquid Waste Disposal
3.9.1.4 Dry and Liquid Waste Disposal
3.9.1.5 Dry and Liquid Waste Disposal
3.9.1.6 Dry and Liquid Waste Disposal
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
On site laboratories shall be located separate
from any feed processing or handling activity
and designed to limit access only to authorized
personnel.
Provisions shall be made to isolate and contain
all laboratory waste held on the premises and
manage it separately from feed waste.
Laboratory waste water outlet shall as a
minimum be down stream of drains that
service feed processing and handling areas.
Signage shall be displayed identifying the
laboratory area as a restricted area accessible
only by authorized personnel.
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
Waste shall be removed on a regular basis and
not build up in feed handling or processing
areas. Designated waste accumulation areas
shall be maintained in a clean and tidy
condition until such time as external waste
collection is undertaken.
Trolleys, vehicles waste disposal equipment,
collection bins and storage areas shall be
maintained in a serviceable condition and
cleaned and sanitized regularly so as not to
attract pests and other vermin.
Adequate provision shall be made for the
disposal of all solid processing waste including
trimmings, and used packaging. Waste held on
site prior to disposal shall be stored so as not to
present a hazard.
Adequate provision shall be made for the
disposal of all liquid waste from processing and
feed handling areas. Liquid waste shall be
either removed from the processing
environment continuously or held in a
designated storage area in lidded containers
prior to disposal so as not to present a hazard.
Reviews of the effectiveness of waste
management will form part of routine hygiene
inspections and the results of these inspections
shall be included in the relevant hygiene
reports.
 Clause
3.10.1.1 Grounds and Roadways
3.10.1.2 Grounds and Roadways
Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
The grounds and area surrounding the
premises shall be maintained and kept free of
waste or accumulated debris so as not to
attract pests and vermin.
Paths, roadways and loading and unloading
areas shall be maintained so as not to present a
hazard to the feed safety operation of the
premises.
Compliant 0
Minor 0
Clause Item Secondary Responses Primary Response Evidence Supplier Onsite Correction
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

Clause
4.1.1.1 Premises Location
4.1.1.2 Premises Location
4.1.2.1 Construction and Operational Approval
4.2.1.1 Materials and Surfaces
4.2.2.1 Floors, Drains and Waste Traps
4.2.2.2 Floors, Drains and Waste Traps
4.2.2.3 Floors, Drains and Waste Traps
4.2.2.4 Floors, Drains and Waste Traps
4.2.3.1 Walls, Partitions, Doors and Ceilings
4.2.3.2 Walls, Partitions, Doors and Ceilings
4.2.3.3 Walls, Partitions, Doors and Ceilings
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
The location of the premises shall be such that
adjacent and adjoining buildings, operations
and land use do not interfere with safe and
hygienic operations.
Measures shall be established to maintain a
suitable external environment, and the
effectiveness of the established measures shall
be monitored and periodically reviewed.
The construction and ongoing operation of the
premises on the site shall be approved by the
relevant authority.
Product contact surfaces and those surfaces
not in direct contact with pet food in pet food
handling areas, raw material storage,
packaging material storage, and cold storage
areas shall be constructed of materials that
will not contribute a food safety risk.
Floors shall be constructed of smooth, dense
impact resistant material that can be
effectively graded, drained, impervious to
liquid and easily cleaned.
Floors shall be sloped to floor drains at
gradients suitable to allow the effective
removal of all overflow or waste water under
normal working conditions.
Drains shall be constructed and located so
they can be easily cleaned and not present a
hazard.
Waste trap systems shall be located away from
any pet food handling area or entrance to the
premises.
Walls, partitions, ceilings and doors shall be of
durable construction. Internal surfaces shall
be smooth and impervious with a light colored
finish, and shall be kept clean (refer to element
4.2.13.1)
Wall to wall and wall to floor junctions shall be
designed to be easily cleaned and sealed to
prevent the accumulation of pet food debris.
Ducting, conduit and pipes that convey
services such as steam or water shall be
designed and constructed so as to allow ease
of cleaning.

Clause
4.2.3.4 Walls, Partitions, Doors and Ceilings
4.2.3.5 Walls, Partitions, Doors and Ceilings
4.2.3.6 Walls, Partitions, Doors and Ceilings
4.2.4.1 Stairs, Catwalks and Platforms
4.2.5.1 Lighting and Light Fittings
4.2.5.2 Lighting and Light Fittings
4.2.5.3 Lighting and Light Fittings
4.2.6.1 Inspection Area
4.2.7.1 Dust, Fly and Vermin Prevention
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Doors, hatches and windows and their frames
shall be of a material and construction which
meets the same functional requirements for
internal walls and partitions.
Doors and hatches shall be of solid
construction; and
Windows in product zones shall be made of
shatterproof glass or similar material
Pet food shall be processed and handled in
areas that are fitted with a ceiling or other
acceptable structure that is constructed and
maintained to prevent the contamination of
products.
Drop ceilings, where present, shall be
additionally constructed to enable monitoring
for pest activity, facilitate cleaning and provide
access to utilities.
Stairs, catwalks and platforms in pet food
processing and handling areas shall be
designed and constructed so as not to present
a product contamination risk, and shall be kept
clean (refer to element 4.2.13.1).
Lighting in pet food processing and handling
areas and at inspection stations shall be of
appropriate intensity to enable the staff to
carry out their tasks efficiently and effectively.
Where product, ingredients or packaging is
exposed in processing areas, inspection
stations, ingredients and packaging storage
areas, light fittings shall be manufactured with
a shatterproof covering or fitted with
protective covers
Light fittings in warehouses and other areas
where the product is protected shall be
designed such as to prevent breakage and
product contamination.
A suitable area with sufficient lighting and easy
access to hand cleaning/sanitizing stations
shall be provided for the inspection of the
product if required.
All external windows, ventilation openings,
doors and other openings shall be effectively
sealed when closed and proofed against dust,
vermin and flies.

Clause
4.2.7.2 Dust, Fly and Vermin Prevention
4.2.7.3 Dust, Fly and Vermin Prevention
4.2.7.4 Dust, Fly and Vermin Prevention
4.2.8.1 Ventilation
4.2.9.1 Premises and Equipment Maintenance
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Personnel access doors shall be provided.
They shall be effectively fly-proofed and fitted
with a self-closing device.
External doors, including overhead dock doors
in pet food handling areas, used for product,
pedestrian or truck access shall be fly-proofed
by at least one or a combination of the
following methods:
A self-closing device;
An effective air curtain;
A fly-proof screen;
A fly-proof annex.
Adequate sealing around trucks in docking
areas
Electric insect control devices, pheromone or
other traps and baits shall be located so as not
to present a contamination risk to the product,
packaging, containers or processing
equipment. Poison bait shall not be used
inside ingredient or pet food storage areas or
processing areas.
Adequate ventilation shall be provided in
enclosed processing and pet food handling
areas. Extractor fans and/or canopies shall be
provided in areas where cooking operations
are carried out or a large amount of steam is
generated.
The methods and responsibility for the
maintenance and repair of plant, equipment
and buildings shall be documented, planned
and carried out in a manner that minimizes the
risk of product, packaging or equipment
contamination.

Clause
4.2.9.2 Premises and Equipment Maintenance
4.2.9.3 Premises and Equipment Maintenance
4.2.9.4 Premises and Equipment Maintenance
4.2.9.5 Premises and Equipment Maintenance
4.2.10.1 Calibration
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Maintenance staff and contractors shall
observe the following practices when
undertaking maintenance and repairs in any
pet food processing, handling or storage area:
Routine maintenance of plant and equipment
shall be performed according to a
maintenance-control schedule and recorded;
Failures of plant and equipment shall be
documented, reviewed and their repair
incorporated into the maintenance control
schedule;
Compliance with the personnel and process
hygiene requirements (refer 4.3.1, 4.3.2, 4.3.3,
4.3.4) by maintenance staff and contractors;
iv. Ensure facility supervisors are notified when
maintenance or repairs are to be undertaken
in any pet food handling area;
Inform the maintenance supervisor and the
facility supervisor if any repairs or
maintenance pose a potential threat to
product safety (i.e. pieces of electrical wire,
damaged light fittings, and loose overhead
fittings). When possible, maintenance is to be
conducted outside processing times;
Remove all tools and debris from any
maintenance activity once it has been
completed and inform the area supervisor and
maintenance supervisor so appropriate
hygiene and sanitation can be completed prior
to the commencement of facility operations.
The maintenance schedule shall be prepared
to cover building, equipment and other areas
of the premises critical to the maintenance of
product safety and quality
Lubricants shall be fit for purpose, meet
regulatory requirements, and be food grade
where there is potential of direct contact with
pet food.
Paint used in a pet food handling or contact
zone shall be in good condition and shall not
be used on any product contact surface.
The methods and responsibility for the
calibration and re-calibration of measuring,
test and inspection equipment used for
monitoring activities outlined in pre-requisite
program, pet food safety plans and pet food
quality plans and other process controls, or to
demonstrate compliance with customer
specifications shall be documented and
implemented.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.2.10.2 Calibration Procedures shall be documented and
implemented to address the disposition of
potentially affected products should
measuring, test and inspection equipment be
found to be out of calibration state.

4.2.10.3 Calibration Calibrated measuring, test and inspected

equipment shall be protected from damage
and unauthorized adjustment.

4.2.10.4 Calibration Equipment shall be calibrated against national

or international reference standards and
methods or to accuracy appropriate to its use.
In cases where standards are not available, the
supplier shall provide evidence to support the
calibration reference method applied.

4.2.10.5 Calibration Calibration shall be performed according to

regulatory requirements and/or to the
equipment manufacturers recommended
schedule.

4.2.10.6 Calibration Calibration records shall be maintained.

4.2.11.1 Management of Pests and Vermin
The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounding areas, storage facilities,
machinery and equipment shall be kept free of
waste or accumulated debris so as not to
attract pests and vermin.

Clause
4.2.11.2 Management of Pests and Vermin
4.2.11.3 Management of Pests and Vermin
4.2.11.4 Management of Pests and Vermin
4.2.11.5 Management of Pests and Vermin
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
The pest and vermin management program
shall:
Describe the methods and responsibility for
the development, implementation and
maintenance of the pest and vermin
management program;
Identify the target pests for each pesticide
application;
Outline the methods used to prevent pest
problems;
Outline the pest elimination methods;
Outline the frequency with which pest status is
to be checked;
Include on a site map the identification,
location, number and type of bait stations set;
List the chemicals used (they are required to
be approved by the relevant authority and
their Safety Data Sheets, SDS, made available);
Outline the methods used to make staff aware
of the bait control program and the measures
to take when they come in contact with a bait
station;
Outline the requirements for staff awareness
and training in the use of pest and vermin
control chemicals and baits; and
Measure the effectiveness of the program to
verify the elimination of applicable pests.
Inspections for pest activity shall be
undertaken on a regular basis by trained
personnel and the appropriate action taken if
pests are present.
Records of all pest control applications shall be
maintained.
Pesticides and other toxic chemicals shall be
clearly labeled and stored as described in
element 4.6.4 and handled and applied by
properly trained personnel. They shall be used
by or under the direct supervision of trained
personnel with a thorough understanding of
the hazards involved, including the potential
for the contamination of pet food and pet food
contact surfaces.

Clause
4.2.11.6 Management of Pests and Vermin
4.2.11.7 Management of Pests and Vermin
4.2.12.1 Equipment, Utensils and Protective
Clothing
4.2.12.2 Equipment, Utensils and Protective
Clothing
4.2.12.3 Equipment, Utensils and Protective
Clothing
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Certified pest control personnel shall be:
Licensed and approved by the local relevant
authority;
Use only trained and qualified operators who
comply with regulatory requirements;
Use only approved chemicals;
Provide a pest control management plan (see
Contract Services 2.3.3) which will include a
site map indicating the location of bait stations
and traps;
Report to a responsible authorized person on
entering the premises and after the
completion of inspections or treatments; and
Provide a written report of their findings and
the inspections and treatments applied.
The supplier shall dispose of unused pest
control chemicals and empty containers in
accordance with regulatory requirements and
ensure that:
Empty chemical containers are not reused;
Empty containers are labeled, isolated and
securely stored while awaiting collection; and
Unused and obsolete chemicals are stored
under secure conditions while waiting
authorized disposal by an approved vendor.
Equipment and utensils shall be designed,
constructed, installed, operated and
maintained so as not to pose a contamination
threat to products.
Benches, tables, conveyors, mixers, minces,
graders and other mechanical processing
equipment shall be hygienically designed and
located for appropriate cleaning.
Product containers, tubs, bins for edible and
inedible material shall be constructed of
materials that are non-toxic, smooth,
impervious and readily cleaned. Bins used for
inedible material shall be clearly identified.

Clause
4.2.12.4 Equipment, Utensils and Protective
Clothing
4.2.12.5 Equipment, Utensils and Protective
Clothing
4.2.12.6 Equipment, Utensils and Protective
Clothing
4.2.13.1 Cleaning and Sanitation
4.2.13.2 Cleaning and Sanitation
4.2.13.3 Cleaning and Sanitation
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Waste and overflow water from tubs, tanks
and other equipment shall be discharged
direct to the floor drainage system.
Protective clothing shall be manufactured from
material that is not liable to contaminate pet
food and easily cleaned.
Racks shall be provided for the temporary
storage of protective clothing when staff
leaves the processing area and shall be
provided in close proximity or adjacent to the
personnel access doorways and hand washing
facilities.
The methods and responsibility for the
cleaning of the pet food handling and
processing equipment and environment,
storage areas, staff amenities and toilet
facilities shall be documented and
implemented. Consideration shall be given to:
What is to be cleaned;
How it is to be cleaned;
When it is to be cleaned;
Who is responsible for the cleaning;
Methods used to confirm the correct
concentrations of detergents and sanitizers,
and
The responsibility and methods used to verify
the effectiveness of the cleaning and
sanitation program.
Provision shall be made for the effective
cleaning of processing equipment, utensils and
protective clothing.
Suitably equipped areas shall be designated for
cleaning product containers, knives, cutting
boards and other utensils and for cleaning of
protective clothing used by staff. These
cleaning operations shall be controlled so as
not to interfere with manufacturing
operations, equipment or product. Racks and
containers for storing cleaned utensils and
protective clothing shall be provided as
required

Clause
4.2.13.4 Cleaning and Sanitation
4.2.13.5 Cleaning and Sanitation
4.2.13.6 Cleaning and Sanitation
4.2.13.7 Cleaning and Sanitation
4.2.13.8 Cleaning and Sanitation
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Pre-operational hygiene and sanitation
inspections shall be conducted by qualified
personnel to ensure pet food processing areas,
product contact surfaces, equipment, staff
amenities and sanitary facilities and other
essential areas are clean before the
commencement of production.
The responsibility and methods used to verify
the effectiveness of the cleaning procedures
shall be documented and implemented. A
verification schedule shall be prepared.
Detergents and sanitizers shall be suitable for
use in a pet food manufacturing environment,
and purchased in accordance with applicable
legislation. The organization shall ensure:
An inventory of all chemicals purchased and
used shall be maintained;
Detergents and sanitizers are stored as
outlined in element 4.6.4;
Safety Data Sheets (SDS) are provided for all
detergents and sanitizers purchased; and
Only trained staff handles sanitizers and
detergents.
The supplier shall dispose of unused
detergents and sanitizers and empty
containers in accordance with regulatory
requirements and ensure that:
Empty detergent and sanitizer containers are
appropriately cleaned, treated and labeled
before use;
Empty detergent and sanitizer containers are
labeled, isolated and securely stored while
awaiting collection; and
Unused and obsolete detergents and sanitizers
are stored under secure conditions while
waiting authorized disposal by an approved
vendor.
A record of pre-operational hygiene
inspections, cleaning and sanitation activities,
and verification activities shall be maintained.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.3.1.1 Personnel Personnel suffering from infectious diseases or
are carriers of any infectious disease shall not
engage in product handling or processing
operation.

4.3.1.2 Personnel Personnel with exposed cuts, sores or lesions

shall not be engaged in handling or processing
products or handling primary packaging
materials or pet food contact surfaces. Minor
cuts or abrasions on exposed parts of the body
shall be covered with a colored bandage
containing a metal strip or an alternative
suitable waterproof and colored dressing.

4.3.1.3 Personnel Smoking, chewing, eating, drinking or spitting

is not permitted in any pet food processing or
pet food handling areas.

4.3.2.1 Hand Washing Hand wash basins shall be provided adjacent

to all personnel access points and in accessible
locations throughout pet food handling and
processing areas as required.

4.3.2.2 Hand Washing Hand wash basins shall be constructed of

stainless steel or similar non-corrosive material
and as a minimum supplied with:
A potable water supply at an appropriate
temperature;
Liquid soap contained within a fixed dispenser;
Paper towels in a hands free cleanable
dispenser;
A means of containing used paper towels; and
Hand sanitizers.

4.3.2.3 Hand Washing A sign advising people to wash their hands,

and in appropriate languages, shall be
provided in a prominent position.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.3.2.4 Hand Washing Hands shall be cleaned by all personnel,
including staff, contractors and visitors:
On entering pet food handling or processing
areas;
After each visit to a toilet;
After using a handkerchief;
After smoking, eating or drinking; and
After handling wash down hoses, dropped
product or contaminated material.

4.3.2.5 Hand Washing When gloves are used, personnel shall

maintain the hand washing practices outlined
above.

4.3.3.1 Clothing Clothing worn by staff engaged in handling

feed shall be maintained, stored, laundered
and worn so as not to present a contamination
risk to products.

4.3.3.2 Clothing Disposable gloves and aprons shall be changed

after each break, upon re-entry into the
processing area and when damaged. Non-
disposable aprons and gloves shall be cleaned
and sanitized as required and when not in use
stored on racks provided in the processing
area and not on packaging, ingredients,
product or equipment.

4.3.4.1 Jewelry and Personal Effects
Jewelry and other loose objects shall not be
worn or taken into a pet food handling or
processing operation or any area where pet
food is exposed. The wearing of plain bands
with no stones and medical alert bracelets that
cannot be removed can be permitted.

4.3.5.1 Visitors All visitors, including management and

maintenance staff, shall wear suitable clothing
and footwear when entering any pet food
processing or handling area.

4.3.5.2 Visitors All visitors shall be required to remove jewelry

and other loose objects.
4.3.5.3 Visitors Visitors exhibiting visible signs of illness shall
be prevented from entering areas in which pet
food is handled or processed.

4.3.5.4 Visitors Visitors shall enter and exit pet food handling
areas through the proper staff entrance points
and comply with all hand washing and
personnel practice requirements.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.3.6.1 Staff Amenities Staff amenities supplied with appropriate
lighting and ventilation shall be made available
for the use of all persons engaged in the
handling and processing of product.

4.3.7.1 Change Rooms Facilities shall be provided to enable staff and

visitors to change into and out of protective
clothing as appropriate.

4.3.7.2 Change Rooms Change rooms shall be provided for staff

engaged in the processing of high risk pet
foods or processing operations in which
clothing can be soiled.

4.3.7.3 Change Rooms Provision shall be made for staff to store their
street clothing and personal items separate
from pet food contact zones and pet food and
packaging storage areas

4.3.7.4 Change Rooms Where appropriate, a sufficient number of

showers shall be provided for use by staff

4.3.8.1 Laundry Provision shall be made for the laundering and

storage of clothing working by staff engaged in
high risk processes in which clothing can be
heavily soiled.

4.3.9.1 Sanitary Facilities Toilet rooms shall be:

Designed and constructed so that they are
accessible to staff and separate from any
processing and pet food handling operations;
Accessed from the processing area via an
airlock vented to the exterior or through an
adjoining room;
Sufficient for the maximum number of staff;
Constructed so that they can be easily cleaned
and maintained; and
Kept clean and tidy.

4.3.9.2 Sanitary Facilities Sanitary drainage shall not be connected to

any other drains within the premises and shall
be directed to a septic tank or a sewerage
system in accordance with regulations.

4.3.9.3 Sanitary Facilities Hand wash basins shall be provided

immediately outside or inside the toilet room
and designed as outlined in 4.3.2.2.

4.3.10.1 Lunch Rooms Separate lunch room facilities shall be

provided away from a pet food contact or
handling zone.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.3.10.2 Lunch Rooms Lunch room facilities shall be:
Ventilated and well lit;
Provided with adequate tables and seating;
Equipped with a sink serviced with hot and
cold potable water for washing utensils;
Kept clean and free from waste materials and
pests.

4.3.10.3 Lunch Rooms Signage in appropriate languages instructing

people to wash their hands before entering
the pet food processing areas shall be
provided in a prominent position in lunch
rooms and at lunch room exits.

4.3.11.1 First Aid First aid facilities shall be provided to treat

minor injuries and suitable arrangements shall
be provided in circumstances when a patient
requires more specialized care.

4.4.1.1 Staff Engaged in Pet food Handling and All personnel engaged in any pet food
Processing Operations handling, preparation or processing operations
shall ensure that products and materials are
handled and stored in such a way as to prevent
damage or product contamination. They shall
comply with the following processing
practices:
4.4.1.2 Staff Engaged in Pet food Handling and In circumstances
Personnel entry to where it is necessary
processing areas shall to be
Processing Operations undertake
through thesensory
personnel evaluations in a pet
access doors only;food
handling/contact
All doors are to bezone keptthe supplier
closed. Doors shallshall not
implement proper controls and procedures
be left open for extended periods when access to
ensure:
for waste removal or receiving of
Pet food safety is not compromised;
product/ingredient/packaging is required;
Sensory
The evaluations
wearing ofbefalse are conducted
fingernails by
4.4.1.3 Staff Engaged in Pet food Handling and All hoses
authorized shall stored
personnel; on hoseorracks
fingernail
after
Processing Operations polish
use andis not
not left
permitted
on the when handling pet
floor.hygiene
A high
food; standard of personal is
practiced by personnel
Writing instruments conducting
and other losesensory
items are
evaluations;
not permitted in outer garments where they
Sensory evaluations
could contaminate product; are conducted in areas
equipped
Packaging for the purpose;
material, product, andand ingredients
4.4.2.1 Product Formulation Equipment
shallfood
Pet be kept used for sensorycontainers
in appropriate
product formulations evaluations
shall be asis
sanitized,
required and
developed maintained
byoff andpersons
the floor;
authorized stored separate
to ensure
from
Waste
that processing
shall
they meet equipment.
be contained
the intended in the
use.bins identified
for this purpose and removed from the
processing area on a regular basis and not left
to accumulate;
4.4.2.2 Product Formulation Procedures
Staff shall notshall
eatbe ordocumented and being
taste any product
implemented
processed in the to ensure
pet food that pet food is
handling/contact
manufactured
zone, except astonoted approved product
in section 4.4.1.2.
formulations, and uses only materials and
ingredients that are fit for purpose.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.4.2.3 Product Formulation Raw and finished product grain and mineral
specifications shall meet the appropriate state
and federal requirements and regulatory limits
for mycotoxins, pesticides or industrial
contaminants such as heavy metals

4.4.2.4 Product Formulation Approved raw materials suppliers shall notify

changes in product composition where it could
have an impact on product formulation
(examples include protein content, moisture,
amino acid profiles, contaminant levels and/or
other parameters that may be variable by crop
or by season)

4.5.1.1 Water Supply Adequate supplies of potable water drawn

from a known clean source shall be provided
for use during processing operations, as an
ingredient and for cleaning the premises and
equipment.

4.5.1.2 Water Supply Supplies of hot and cold water shall be

provided as required to enable the effective
cleaning of the premises and equipment.

4.5.2.1 Monitoring Water Microbiology and Quali Water used for

washing, thawing and treating pet food;
an ingredient or pet food processing aid;
cleaning pet food contact surfaces;
the manufacture of steam that will come in
contact with pet food or used to heat water
that will come in contact with pet food
shall comply with national or internationally
recognized potable water microbiological and
quality standards as required.

4.5.3.1 Water Delivery The delivery of water within the premises shall
ensure potable water is not contaminated.

4.5.3.2 Water Delivery The use of non-potable water shall be

controlled such that:
There is no cross contamination between
potable and non-potable water lines;
Non-potable water piping and outlets are
clearly identified.

4.5.4.1 Water Treatment Water treatment methods, equipment and

materials shall be designed, installed and
operated to ensure water receives an effective
treatment.

Clause
4.5.4.2 Water Treatment
4.5.4.3 Water Treatment
4.5.5.1 Analysis
4.5.5.2 Analysis
4.5.6.1 Air Quality
4.5.6.2 Air Quality
4.6.1.1 Cold Storage, Freezing and Chilling
4.6.1.2 Cold Storage, Freezing and Chilling
4.6.1.3 Cold Storage, Freezing and Chilling
4.6.1.4 Cold Storage, Freezing and Chilling
4.6.1.5 Cold Storage, Freezing and Chilling
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Water treatment equipment shall be
monitored regularly to ensure it remains
serviceable.
Treated water shall be regularly monitored to
ensure it meets the indicators specified.
Microbiological analysis of the water and ice, if
used, supply shall be conducted to verify the
cleanliness of the supply, the monitoring
activities and the effectiveness of the
treatment measures implemented.
Water shall be analyzed using reference
standards and methods.
Compressed air used in the manufacturing
process shall be clean and present no risk to
pet food safety;
Compressed air used in the manufacturing
process shall be regularly monitored for purity.
The supplier shall provide confirmation of the
effective operational performance of freezing,
chilling and cold storage facilities. Chillers,
blast freezers and cold storage rooms shall be:
i. Designed and constructed to allow for the
hygienic and efficient refrigeration of pet food;
and
ii. Easily accessible for inspection and cleaning.
Sufficient refrigeration capacity shall be
available to chill, freeze, store chilled or store
frozen the maximum anticipated throughput
of product with allowance for periodic cleaning
of refrigerated areas.
Discharge from defrost and condensate lines
shall be controlled and discharged to the
drainage system.
Freezing, chilling and cold storage rooms shall
be fitted with temperature monitoring
equipment and located so as to monitor the
warmest part of the room and be fitted with a
temperature measurement device that is
easily readable and accessible.
Loading and unloading docks shall be designed
to protect the product during loading and
unloading.

Clause
4.6.2.1 Storage of Dry Ingredients, Packaging, an Rooms used for the storage of product
4.6.2.2 Storage of Dry Ingredients, Packaging, an Racks provided for the storage of packaging
4.6.2.3 Storage of Dry Ingredients, Packaging, an Vehicles used in pet food contact, handling or
4.6.3.1 Storage of Equipment and Containers
4.6.4.1 Storage of Hazardous Chemicals and
Toxic Substances
4.6.4.2 Storage of Hazardous Chemicals and
Toxic Substances
4.6.4.3 Storage of Hazardous Chemicals and
Toxic Substances
4.6.4.4 Storage of Hazardous Chemicals and
Toxic Substances
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
ingredients, packaging, and other dry goods
shall be located away from wet areas and
constructed to protect the product from
contamination and deterioration.
shall be constructed of impervious materials
and designed to enable cleaning of the floors
and the storage room. Storage areas shall be
constructed to prevent packaging from
becoming a harborage for pests or vermin.
processing zones or in storage rooms shall be
designed and operated so as not to present a
pet food safety hazard.
Storage rooms shall be designed and
constructed to allow for the hygienic and
efficient storage of equipment and containers.
Hazardous chemicals and toxic substances
with the potential for pet food contamination
shall be stored so as not to present a hazard to
staff, product, packaging, product handling
equipment or areas in which the product is
handled, stored or transported.
Processing utensils and packaging shall not be
stored in areas used to store hazardous
chemicals and toxic substances.
Daily supplies of chemical used for continuous
sanitizing of water or as a processing aid, or for
emergency cleaning of pet food processing
equipment or surfaces in pet food contact
zones, may be stored within or in close
proximity to a processing area provided access
to the chemical storage facility is restricted to
authorized personnel.
Pesticides, rodenticides, fumigants and
insecticides shall be stored separate from
sanitizers and detergents. All chemicals shall
be stored in their original containers.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.6.4.5 Storage of Hazardous Chemicals and Hazardous chemical and toxic substance
Toxic Substances storage facilities shall:
Be compliant with national and local legislation
and designed such that there is no cross-
contamination between chemicals;
Be adequately ventilated;
Be provided with appropriate signage
indicating the area is a hazardous storage area;
Be secure and lockable to restrict access only
to those personnel with formal training in the
handling and use of hazardous chemicals and
toxic substances;
Have instructions on the safe handling of
hazardous chemicals and toxic substances
readily accessible to staff;
Be equipped with a detailed and up-to-date
inventory of all chemicals contained in the
storage facility;
Have suitable first aid equipment and
protective clothing available in close proximity
to the storage area;
In the event of a hazardous spill, be designed
such that spillage and drainage from the area
is contained; and
Be equipped with spillage kits and cleaning
equipment.

4.6.5.1 Alternative Storage and Handling of
Goods
Where goods described in 4.6.1 to 4.6.4 are
held under temporary or overflow conditions
that are not designed for the safe storage of
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on
pet food safety and quality.

4.6.6.1 Loading, Transport and Unloading
Practices
The practices applied during loading, transport
and unloading of pet food shall be
documented, implemented and designed to
maintain appropriate storage conditions and
product integrity. Pet food shall be loaded,
transported and unloaded under conditions
suitable to prevent cross contamination.

4.6.6.2 Loading, Transport and Unloading Raw materials and ingredient suppliers shall
Practices provide documentation on transportation
equipment controls utilized to prevent cross
contamination
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.6.7.1 Loading Vehicles (trucks/vans/containers) used for
transporting pet food shall be inspected prior
to loading to ensure they are clean, in good
repair, suitable for the purpose and free from
odors or other conditions that may impact
negatively on the product.

4.6.7.2 Loading Loading practices shall be designed to

minimize unnecessary exposure of the product
to conditions detrimental to maintaining the
product and package integrity.

4.6.7.3 Loading Vehicles/containers shall be secured from

tampering using a seal or other agreed upon,
acceptable device or system.

4.6.8.1 Transport Refrigerated units shall maintain the pet food

at required temperatures and the unit’s
temperature settings shall be set, checked and
recorded before loading and core product
temperatures recorded at regular intervals
during loading as appropriate.

4.6.8.2 Transport The refrigeration unit shall be operational at all

times and checks completed of the unit’s
operation, the door seals and the storage
temperature checked at regular intervals
during transit.

4.6.9.1 Unloading Prior to opening the doors, the refrigeration

unit’s storage temperature settings and
operating temperature shall be checked and
recorded.

4.6.9.2 Unloading Unloading shall be completed efficiently and

product temperatures shall be recorded at the
commencement of unloading and at regular
intervals during unloading

4.6.9.3 Unloading Unloading practices shall be designed to

minimize unnecessary exposure of the product
to conditions detrimental to maintaining the
product and package integrity.

4.7.1.1 Process Flow and Performance
The process flow shall be designed to prevent
cross contamination and organized so there is
a continuous flow of product through the
process. The flow of personnel shall be
managed such that the potential for
contamination is minimized.

Clause
4.7.1.2 Process Flow and Performance
4.7.2.1 Receipt of Raw and Packaging Materials Dry ingredients and packaging shall be
and Ingredients
4.7.3.1 Thawing of Ingredients and Product
4.7.3.2 Thawing of Ingredients and Product
4.7.3.3 Thawing of Ingredients and Product
4.7.3.4 Thawing of Ingredients and Product
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Mixing and blending equipment, where
appropriate, shall be operated in manner as to
produce a homogenous product that prevents,
eliminates, or reduces identified food safety
hazards related to process variation.
received and stored separately from frozen
and chilled raw materials to ensure there is no
cross contamination. Unprocessed raw
materials shall be received and segregated to
ensure there is no cross contamination.
Thawing of ingredients and product shall be
undertaken in equipment and rooms
appropriate for the purpose.
Equipment for water thawing shall be
continuous flow to ensure the water exchange
rate and temperature does not contribute to
product deterioration or contamination. Water
overflow shall be directed into the floor
drainage system and not onto the floor
Air thawing facilities shall be designed to thaw
the product and ingredients under controlled
conditions at a rate and temperature that does
not contribute to product deterioration or
contamination.
Provision is to be made for the containment
and regular disposal of used cartons and
packaging from thawed product and
ingredients so that there is no risk to the
product.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.7.4.1 High Risk Processes The Processing of high risk pet food shall be
conducted under controlled conditions such
that:
Sensitive areas in which high risk pet food has
undergone a “kill” step, a “pet food safety
intervention” or is subject to post process
handling, are protected/segregated from other
processes, raw materials or staff who handle
raw materials to ensure cross contamination is
minimized;
An environmental monitoring program shall be
in place for high risk areas. At a minimum, a
written procedure detailing the applicable
pathogens or indicator organisms to test for
that industry, the number of samples to be
taken and the frequency of sampling and
corrective actions shall be documented. The
responsibility and methods shall be
documented and implemented. A sampling
schedule shall be prepared

4.7.5.1 Control of Foreign Matter Contamination The responsibility and methods used to
prevent foreign matter contamination of the
product shall be documented, implemented
and communicated to all staff.

4.7.5.2 Control of Foreign Matter Contamination Inspections shall be performed to ensure plant
and equipment remains in good condition and
potential contaminants have not detached or
become damaged or deteriorated.

4.7.5.3 Control of Foreign Matter Contamination The use of temporary fasteners such as string,
wire or tape to fix or hold equipment shall not
be permitted.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.7.5.4 Control of Foreign Matter Contamination The following preventative measures shall be
implemented where applicable to prevent
glass contamination:
All glass or similar material in pet food
handling or contact zones shall be listed in a
foreign matter register including details of
their location;
Containers, equipment and other utensils
made of glass, porcelain, ceramics, laboratory
glassware or other like material (except where
the product is contained in packaging made
from these materials, or measurement
instruments with glass dial covers or MIG
thermometers required under regulation) shall
not be permitted in pet food processing
/contact zones;
Conduct regular inspections of pet food
handling/contact zones to ensure they are free
of glass or other like material and to establish
no changes to the condition of the objects
listed in the glass register; and
Inspect glass instrument dial covers on
processing equipment and MIG thermometers
at the start and finish of each shift to confirm
they have not been damaged.

4.7.5.5 Control of Foreign Matter Contamination Wooden pallets and other wooden utensils
used in pet food handling/contact zones shall
be dedicated for that purpose, clean,
maintained in good order. Their condition is
subject to regular inspection.

4.7.5.6 Control of Foreign Matter Contamination Loose metal objects on equipment, equipment
covers and overhead structures shall be
removed or tightly fixed so as not to present a
hazard.

4.7.5.7 Control of Foreign Matter Contamination Knives and cutting instruments used in
processing and packaging operations shall be
controlled, and kept clean and well
maintained.

4.7.6.1 Detection of Foreign Objects
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction
4.7.6.2 Detection of Foreign Objects Metal detectors or other physical contaminant
detection technologies shall be routinely
monitored, validated and verified for
operational effectiveness. The equipment
shall be designed to isolate defective product
and indicate when it is rejected.

4.7.6.3 Detection of Foreign Objects Records shall be maintained of the inspection

by foreign object detection devices, and their
verification.

4.7.7.1 Managing Foreign Matter Contamination In suspect cases of foreign matter

Incidents contamination the affected batch or item shall
be evaluated, inspected and appropriately
disposed of.

4.7.7.2 Managing Foreign Matter Contamination In circumstances where glass or similar

Incidents material breakage occurs, the affected area is
to be isolated, cleaned and thoroughly
inspected (including cleaning equipment and
footwear) and cleared by a suitably
responsible person prior to the
commencement of operations.

4.8.1.1 Location On site laboratories shall be located separate

from any pet food processing or handling
activity and designed to limit access only to
authorized personnel.

4.8.1.2 Location Provisions shall be made to isolate and contain

all laboratory waste held on the premises and
manage it separately from pet food waste.
Laboratory waste water outlet shall as a
minimum be down stream of drains that
service pet food processing and handling
areas.

4.8.1.3 Location Signage shall be displayed identifying the

laboratory area as a restricted area accessible
only by authorized personnel.

4.9.1.1 Dry and Liquid Waste Disposal The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.

4.9.1.2 Dry and Liquid Waste Disposal
Waste shall be removed on a regular basis and
not build up in pet food handling or processing
areas. Designated waste accumulation areas
shall be maintained in a clean and tidy
condition until such time as external waste
collection is undertaken.

Clause
4.9.1.3 Dry and Liquid Waste Disposal
4.9.1.4 Dry and Liquid Waste Disposal
4.9.1.5 Dry and Liquid Waste Disposal
4.9.1.6 Dry and Liquid Waste Disposal
4.10.1.1 Grounds and Roadways
4.10.1.2 Grounds and Roadways
4.10.1.3 Grounds and Roadways
Secondary
Item Responses Primary Response Evidence Supplier Onsite Correction
Trolleys, vehicles waste disposal equipment,
collection bins and storage areas shall be
maintained in a serviceable condition and
cleaned and sanitized regularly so as not to
attract pests and other vermin.
Adequate provision shall be made for the
disposal of all solid processing waste including
trimmings, inedible material and used
packaging. Waste held on site prior to disposal
shall be stored in a separate storage area and
contained so as not to present a hazard.
Adequate provision shall be made for the
disposal of all liquid waste from processing and
pet food handling areas. Liquid waste shall be
either removed from the processing
environment continuously or held in a
designated storage area in lidded containers
prior to disposal so as not to present a hazard.
Reviews of the effectiveness of waste
management will form part of daily hygiene
inspections and the results of these
inspections shall be included in the relevant
hygiene reports.
The grounds and area surrounding the
premises shall be maintained to minimize dust
and be kept free of waste or accumulated
debris so as not to attract pests and vermin
Paths, roadways and loading and unloading
areas shall be maintained so as not to present
a hazard to the pet food safety operation of
the premises.
Surroundings shall be kept neat and tidy and
not present a hazard to the hygienic and
sanitary operation of the premises.
 Secondary
Clause Item Responses Primary Response Evidence Supplier Onsite Correction

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
 Clause
5.1.1.1 Property Location
5.1.1.2 Property Location
5.1.1.3 Property Location
5.1.1.4 Property Location
5.2.1.1 Site Access and Security
5.2.1.2 Site Access and Security
5.2.2.1 Pens and Yards
5.2.2.2 Pens and Yards
5.2.2.3 Pens and Yards
5.2.3.1 Intensive Housing Systems
5.2.3.2 Intensive Housing Systems
5.2.3.3 Intensive Housing Systems
Item
The farm and facilities shall be such that adjacent and
adjoining buildings, operations and land use do not
interfere with safe and hygienic operations on the
property.
A soil map shall be prepared and risk assessment
conducted to evaluate and document the risk to forage or
livestock associated with prior land use, adjacent land use,
and other environmental factors including structures and
equipment. Consideration shall be given to history of land
use, topography, adjacent land use, other factors that may
impact on the ability to supply safe products.
The analysis shall be re-evaluated in the event of any
circumstance or change that may impact on the
production of safe products.
Where risks are identified, control measures shall be
implemented to reduce the identified hazards to an
acceptable level.
Fields, yards, and other open areas where livestock are
housed shall be fenced. The site entry point shall be
controlled by a lockable gate.
Where electric fences are employed, they shall be
controlled to avoid stress or discomfort to fenced
livestock.
Pens, yards and lairage shall be designed, located,
constructed and maintained so as to minimize stress,
injury or disease and have minimal impact on the
surrounding area and natural resources.
Where animals are held for extended periods in pens and
yards, adequate supplies of water and food shall be
provided.
Fences, gates, and other surfaces in pens and yards shall
be free from paints, dips, sanitizers and other materials
that are likely to cause contamination through ingestion,
inhalation, or contact.
The design, location and construction of intensive housing
systems shall be fit for purpose, protect the animals in
expected extremes of climate, and provide sufficient space
to enable the animals to lie down and allow freedom of
movement and have minimal impact on the surrounding
area and natural resources.
Buildings used to house animals shall be signed as such,
and forbid entry of unauthorized persons.
Buildings used to house animals shall be adequately
ventilated to promote a satisfactory living environment
and designed to enable effective drainage and a firm
footing.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Adjacent and adjoining buildings interfere with the
safe and hygienic operations on the property
(m) Adjacent operations interfere with the safe and
hygienic operations on the property
(m) Adjacent land use interferes with the safe and
hygienic operations on the property
(m) Analysis of the hazards associated with the
farm/ranch or plot location has not been done
(M) Risk assessment has not been conducted
(M) Analysis of the hazards associated with the
farm/ranch or plot location has not been done
(m) History of land use not considered
(m) Topography not considered
(m) Adjacent land use not considered
(m) Other factors that may impact on the ability of the
Producer to supply safe product not considered
(M) Change was noted and the analysis to produce
safe product was not re-evaluated
(M) Control measures were not implemented
(C) Control Measures implemented did not reduce to
acceptable levels
(M) No fencing in livestock area
(m) Gate is not locked
(M) Stress to the animals was noted
(m) Pens are not designed so as to minimize stress,
injury or disease
(m) Pens are not located so as to minimize stress,
injury or disease
(m) Pens are not constructed so as to minimize stress,
injury or disease
(m) Pens are not maintained so as to minimize stress,
injury or disease
(m) Yards are not designed so as to minimize stress,
injury or disease
(m) Yards are not located so as to minimize stress,
injury or disease
(m) Yards are not constructed so as to minimize stress,
injury or disease
(m) Yards are not maintained so as to minimize stress,
injury or disease
(m) Pens have minimal impact on the surrounding area
(m) Pens have minimal impact on natural resources
(m) Pens have minimal impact on the surrounding area
(m) Pens have minimal impact on natural resources
(m) Provision is not made for sufficient supplies of water
(m) Provision is not made for sufficient fodder
(m) Provision is not made for sufficient cleaning
(m) Provision is not made for sufficient waste removal
(M) Contaminants present
(m) Intensive housing systems are not adequately
ventilated
(m) Intensive housing systems are not designed to
enable effective drainage
(m) Intensive housing systems are not designed for a
firm footing
(m) Building design allows for unauthorized access
(m) Intensive housing systems are not adequately
ventilated
(m) Intensive housing systems are not designed to
enable effective drainage
(m) Intensive housing systems are not designed for a
firm footing
 Clause
5.2.3.4 Intensive Housing Systems
5.2.3.5 Intensive Housing Systems
5.2.4.1 Laneways, Races, Entrances, Exits and
Loading/Unloading Ramps
5.2.4.2 Laneways, Races, Entrances, Exits and
Loading/Unloading Ramps
5.2.5.1 Buildings for Storage of Feed, Agricultural All buildings used to store equipment, veterinary and
Chemicals, and Equipment
5.2.5.2 Buildings for Storage of Feed, Agricultural Silos used to store feed shall be constructed of approved
Chemicals, and Equipment
5.2.5.3 Buildings for Storage of Feed, Agricultural Storage rooms shall be designed and constructed to allow
Chemicals, and Equipment
5.2.5.4 Buildings for Storage of Feed, Agricultural Veterinary medicines and medical equipment shall be
Chemicals, and Equipment
5.2.6.1 Farm Machinery, Conveyors, Harvesting
and Processing Rigs Construction and Storage
5.2.6.2 Farm Machinery, Conveyors, Harvesting
and Processing Rigs Construction and Storage
5.2.6.3 Farm Machinery, Conveyors, Harvesting
and Processing Rigs Construction and Storage
5.2.7.1 Vehicles, Equipment and Utensils
Item
Provisions shall be made for sufficient supplies of water
and food and for cleaning and waste removal.
Animal housing shall be maintained in a clean and sanitary (M) Housing is not clean
condition.
Laneways, races, entrances, exits and loading/unloading
ramps shall be designed to take advantage of the social
behavior and movement of the species and be designed
and maintained to prevent any potential injury points to
animals. All flooring in laneways, races, exits and
loading/unloading ramps shall be non-slip to prevent slips
and falls. All facilities must be well maintained.
Laneways, races, entrances, exits, and loading/unloading
ramps shall be designed, constructed, and maintained of
materials that do not contaminate animals through
ingestion, inhalation, or contact, and shall be free from
sharp objects that may damage animals.
agricultural chemicals, or animal feed shall be designed
and constructed so as to permit compliance to good
hygiene practices and avoid product contamination. They
shall be kept clean.
materials and designed to remain dry, clean and free from
any dirt residues, so they remain fit for purpose, in an
acceptable condition, enable safe fumigation practices and
prevent the invasion of pests.
for the separate, hygienic storage of feedstuffs, veterinary
chemicals, and containers and equipment used to dispense
feed and veterinary chemicals, away from farm machinery,
hazardous chemicals and other toxic substances.
stored in a secure area and accessed only by authorized
personnel.
Product contact surfaces on conveyors, harvesting and
processing rigs shall be designed and constructed to allow
for the efficient handling of products and those surfaces in
direct contact with products shall be constructed of
materials that will not contribute a food or feed safety risk.
Provisions shall be made for the washing and storage of
processing rigs, equipment, conveyors, totes, trays
containers and utensils.
Provisions shall be made to store farm machinery separate (m) Farm machinery is not separate from food
from feed conveyors, harvesting and processing rigs. conveyors
Equipment, tools, utensils used for animal health shall be
suitable for use, non-toxic, kept clean and sanitized, and
stored in such a way as to avoid contamination.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Provision is not made for sufficient supplies of water
(m) Provision is not made for sufficient fodder
(m) Provision is not made for sufficient cleaning
(m) Provision is not made for sufficient waste removal
(m) Laneways are not designed to take advantage of
social behavior
(m) Races are not designed to take advantage of social
behavior
(m) Entrances are not designed to take advantage of
social behavior
(m) Exits are not designed to take advantage of social
behavior
(m) Loading/unloading ramps are not designed to take
advantage of social behavior
(m) Laneways are not designed to take advantage of
the movement patterns of the species
(m) Races are not designed to take advantage of the
movement patterns of the species(m) Entrances are not
designed to take advantage of the movement patterns
of the species
(m) Exits are not designed to take advantage of the
movement patterns of the species
(m) Loading/unloading ramps are not designed to take
advantage of the movement patterns of the species
(m) Materials were present that may damage the
animals
(m) Contaminants present
(m) Building is not made of durable construction
(m) Internal surfaces are not smooth
(M) Internal surfaces are constructed of materials that
does not lead to effective cleaning
(M) Silos not constructed of approved materials
(M) Silos not designed to maintain dry goods in an
acceptable condition
(M) Silos not designed to enable safe fumigation
practices
(M) Silos not designed to prevent the invasion of pests
(m) Harvesting and packing utensils are stored near
farm machinery
(m) Harvesting and packing utensils are stored near
hazardous chemicals and toxic substances
(m) Storage rooms do not allow for separate and
hygienic storing of harvesting and packing utensils
(m) Product contact surfaces are designed for improper
handling of product
(M) Product contact surfaces are constructed with
materials that would contribute to a food safety risk
(m) There are no provisions made for the washing and
storage of processing equipment
(m) Tools are not suitable for the job
(M) Equipment is not clean and sanitized
(m) Equipment is not stored in designated areas
 Clause
5.2.7.2 Vehicles, Equipment and Utensils
5.2.7.3 Vehicles, Equipment and Utensils
5.2.7.4 Vehicles, Equipment and Utensils
5.2.7.5 Vehicles, Equipment and Utensils
5.2.7.6 Vehicles, Equipment and Utensils
5.2.7.7 Vehicles, Equipment and Utensils
5.2.7.8 Vehicles, Equipment and Utensils
5.2.8.1 Maintenance Protocol
5.2.9.1 Calibration of Equipment
5.2.9.2 Calibration of Equipment
5.2.9.3 Calibration of Equipment
5.2.9.4 Calibration of Equipment
5.2.10.1 Pest and Vermin Management
Item
Equipment, tools, utensils and other items or materials
that are used for feeding of livestock or animal health shall
be kept in good repair, kept clean, and stored in such a
way as to avoid contamination.
Veterinary equipment, including disposable medical items, (M) Equipment is not maintained
shall be fit for purpose and maintained in a clean and (M) Equipment is not fit for it's intended purpose
serviceable condition, and stored in a clean, safe, and (M) Equipment is not stored safe
secure store.
Water tanks and troughs shall be cleaned at a sufficient
frequency so as not be a source of contamination.
A documented procedure regarding the inspection of
forage harvest containers and pallets shall be
implemented. The procedure shall include the type and
construction of harvest containers and packing materials.
The use of harvest containers for non-harvest purposes
shall be clearly identified and not returned to use for
harvest without thorough cleaning and inspection.
Vehicles used for the transport of feedstuffs shall be fit for (M) Vehicles used for transportation of foodstuffs are
purpose and shall not be used to carry waste materials,
manure, chemicals or other hazardous substances that
could cause feed contamination without thorough cleaning
and inspection.
Entry and exit points to the site shall be equipped for
cleaning and sanitizing of vehicle wheels.
The methods and responsibility for maintenance of
equipment and buildings shall be planned, scheduled and
carried out in a manner that prevents any risk of
contamination of products or equipment.
The methods and responsibility for the calibration of
application, measuring, test and inspection equipment
used for feed application, chemical application, and
veterinary medicines shall be documented and
implemented.
Such equipment shall be calibrated against national or
international reference standards and methods. In cases
where such standards are not available, the producer shall
indicate and provide evidence to support the calibration
reference method applied.
Calibration shall be undertaken to an established schedule, (M) Calibration is not being conducted
to recognized standards or to accuracy appropriate to use. (m) There is no calibration schedule
Calibration records shall be maintained.
The methods for controlling pest and vermin infestation on
the site or facilities shall be documented and
implemented. The property, animal housing facilities,
storage facilities, machinery and equipment shall be kept
free of waste or accumulated debris so as not to attract
pests and vermin.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Knives and tools used on product and product
contact surfaces are not specifically designated for that
purpose
(m) Tools used on product and product contact
surfaces are not specifically designated for that purpose
(m) Knives and trimming tools come in contact with
non-product contact surfaces
(M) Knives and tools are not cleaned and sanitized prior
to use
(m) Knives and tools are not cleaned at a specified
frequency
(m) Knives and tools are taken to employee vehicles
during break
(m) Knives and tools are stored with employee personal
possessions during harvesting
(M) Water tanks are not cleaned
(C) Water tanks are contaminated
(M) No documented procedure for inspecting harvest
containers and pallets
(m) Procedure does not include the type and
construction
(m) Procedure does not include packaging materials
(M) Non-harvest containers are not clearly identified
(C) Non-harvest containers are returned for use for
harvest
also used for other purposes
(M) Lubricants used on or near product contact
equipment is not food grade
(m) Excessive lubrication is observed on the equipment
(m) Lubricant used is made out of allergenic ingredients
that is not identified in the allergen management
program
(M) Calibration methods are not documented
(m) Responsibility for calibration methods are not
documented
(M) Calibration activities are not taken
(m) Methods for calibration do not reference a national
or international standard
(m) Evidence to support calibration methods are not
available
(m) Calibration methods are not appropriate to the use
of the equipment
(m) Records are not maintained
(M) There is no documented program outlining how to
control pest and vermin
(M) Conditions are attracting Pest and vermin to the
property
 Clause
5.2.10.2 Pest and Vermin Management
5.2.10.3 Pest and Vermin Management
5.2.11.1 Animal Control
5.2.11.2 Animal Control
5.2.11.3 Animal Control
5.2.12.1 Cleaning and Sanitation
5.2.12.3 Cleaning and Sanitation
5.2.12.4 Cleaning and Sanitation
5.3.1.1 Personnel Practices
5.3.1.2 Personnel Practices
5.3.1.3 Personnel Practices
5.3.1.4 Personnel Practices
Item
The pest and vermin management program shall describe
the methods and responsibility for the development,
implementation and maintenance of the pest and vermin
management program, identify the target pests for each
pesticide application, outline the methods used to prevent
pest problems, outline the methods used to eliminate
pests when found, and outline the frequency with which
pest status is to be checked, include on a site map the
identification, location, number and type of bait stations
set, outline the methods used to make employees aware
of the bait control program and the measures to take
when they come in contact with a bait station, outline the
requirements for employee awareness and training in the
use of pest and vermin control chemicals and baits.
Records of pest inspections and pest applications shall be
maintained.
The operation shall have a written risk assessment on
animal activity in and around the production of feed or
food crops that has been implemented and monitored.
Measures shall be in place to exclude domestic and wild
animals from feed cultivation and from production
animals.
Where working dogs are used to muster production
animals, the producer shall maintain and monitor the
health of the working dogs.
The methods and responsibility for the cleaning of animal
housing, pens, yards, lairages, feed contact equipment,
animal health equipment, and sanitary facilities shall be
documented and implemented. Consideration shall be
given to what is to be cleaned, when it is to be cleaned,
who is responsible for the evaluation of cleaning,
indicating who is responsible for completing the
verification activities.
The effectiveness of cleaning and sanitation programs shall (m) The cleaning and sanitation program is not
be regularly reviewed and adapted as needed based on
environmental factors or disease risk.
A record of cleaning and sanitation activities shall be
maintained.
Personnel engaged in the handling of livestock and
feedstuffs shall observe appropriate personal practices.
Corrective actions shall be implemented for personnel who
violate food safety practices.
Personnel suffering from, or are carriers of, an infectious
zoonotic disease shall not engage in handling of livestock
or feedstuffs.
A medical screening procedure shall be in place for all
employees, and will also be applicable to all visitors and
contractors.
A written policy shall be in place that specifies the
procedures for handling livestock feed, and feed contact
surfaces that have been in contact with blood or other
bodily fluids.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) The program does not describe the methods and
responsibility for the maintenance of the program
(m) The program does not identify the target pests for
each pesticide application
(m) The program does not outline preventive methods
(m) The program does not outline the frequency(m) The
program does not include a site identification map
(m) The program does not list the chemicals
(m) Employees are not aware of bait control program
(m) There are no records of pest inspections and
application
(M) There is no written risk assessment for animal
activity
(m) The risk assessment has not been implemented
(m) The risk assessment has not been monitored
(m) There are no measures in place to exclude wild and
domestic animals
(m) Health of the working dogs are not maintained
(M) There is no documented cleaning methods
(m) There is no responsibility for cleaning protocol
(m) Documented protocol is incomplete
reviewed for effectiveness
(M) Changes are not made based off results
(m) Sanitation activities are not maintained
(M) Personnel engaged in product handling is not
observing appropriate personal practices
(m) Corrective actions were not taken for employees
that violated food safety practices
(C) Personnel who are engaged in growing or product
handling or field processing operation are carriers of an
infectious disease
(M) Medical screening procedure is not in place
(M) Medical screening does not include visitors and
contractors
(M) No written procedure in place
 Clause
5.3.2.1 Sanitary Facilities and Hand Washing
Item
Toilet facilities shall be provided and designed, constructed
and located in a manner that minimizes the potential risk
for product contamination.
i. Toilets shall cater for the maximum number of
employees and be constructed so that they can be easily
cleaned and maintained.
ii. Hand wash basins with clean water, hand soap,
disposable towels or effective hand drying device, waste
bins and a tank that captures used hand wash water for
disposal shall be provided inside or adjacent to toilet
facilities;
iii. Signage in appropriate languages shall be provided
adjacent to hand wash basins instructing people to wash
their hands after each toilet visit.
iv. Racks for protective clothing used by farm employees
shall be provided;
v. Toilets shall be located so as to provide easy access for
farm workers;
vi. Toilet and wash stations shall be maintained in a clean
and sanitary condition.
5.3.2.2 Personnel shall have clean hands and hands shall
be washed by all personnel:
i. After each visit to a toilet;
ii. After handling dirty or contaminated material; and
iii. After smoking, eating or drinking.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(C) Toilet facilities not provided
(C) Design of toilet facilities present a food safety
hazard
(C) Construction of toilet facilities present a food safety
hazard
(C) Location of toilet facilities present a food safety
hazard
(M) Toilet facilities not easily accessible to staff
(M) Toilet facilities do not cater for the maximum
number of staff
(M) Toilet facilities not constructed so that they can be
easily cleaned
(M) Toilet facilities not constructed so that they can be
easily maintained
(C) No hand wash basins provided inside or adjacent to
toilet facilities
(M) Signage not in appropriate languages advising
people to wash their hands after each toilet visit
(M) Signage not adjacent to hand wash basins
(M) No racks for field packing staff's protective clothing
provided

5.3.2.2 Sanitary Facilities and Hand Washing
Personnel shall have clean hands and hands shall be
washed by all personnel after each visit to a toilet, after
handling dirty or contaminated material, after smoking,
eating or drinking.
(M) Personnel observed in food handling area with dirty
hands
(M) Personnel observed not washing hands upon
entering processing area
(M) Personnel observed not washing hands after using
the toilet
(M) Personnel observed not washing hands after using
a handkerchief
(M) Personnel observed not washing hands after
handling hoses or trash
(M) Personnel observed not washing hands after
eating, drinking, or smoking

5.3.3.1 Protective Clothing
Protective clothing shall be effectively, maintained, stored, (m) Clothing is not effectively maintained to protect
laundered and worn so as to protect products from risk of product from risk of contamination
contamination. (m) Clothing is not effectively worn so as to protect
product from risk of contamination
(m) Clothing is not effectively stored to protect product
from risk of contamination
(m) Clothing is not effectively laundered so as to protect
product from risk of contamination

5.3.3.2 Protective Clothing Where applicable, clothing, including footwear, shall be (m) Clothing is not effectively laundered so as to protect
effectively cleaned and sanitized, and worn so as to protect product from risk of contamination
products from risk of contamination.

5.3.3.3 Protective Clothing If rubber or disposable gloves are used, the operation shall (M) Hand washing practices not followed if rubber or
have a glove use policy and personnel shall adhere to the disposable gloves are used
hand washing practices outlined above.

5.3.3.4 Protective Clothing Entry annex points of the buildings shall be equipped with
materials for cleaning and sanitizing footwear.

5.3.4.1 Jewelry and Personal Effects
5.3.5.1 Visitors
Jewelry and other loose objects that pose a threat to
livestock safety shall not be worn or taken onto any
livestock handling or feed storage operations.
All visitors (including management and maintenance
employees) shall be required to remove jewelry and other personnel wearing jewelry
loose objects and wear suitable protective clothing.
(m) Staff in growing, product handling or storage
operations observed wearing jewelry
(m) Evidence of loose objects taken into growing,
product handling or storage operations
(m) Evidence of visitors, management or maintenance
(m) Evidence of visitors, management or maintenance
personnel carrying lose objects
(m) Evidence of visitors, management or maintenance
personnel wearing unsuitable clothing
(m) Management are required to remove jewelry
(m) Management are required to remove other loose
objects
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
5.3.5.2 Visitors Visitors exhibiting visible signs of illness shall be prevented (m) Visitors exhibiting visible signs of illness are not
from entering any livestock handling, feed storage, or field prevented from entering any growing, product handling
operations. or processing operation
(m) Visitors exhibiting visible signs of illness are not
prevented from entering any product handling operation

5.3.5.3 Visitors Visitors must follow all personnel practices as designated (m) Evidence of visitors not following the company's
by company for employees within fields, pens, yards, personnel practices
sheds, or storage locations.

5.3.5.4 Visitors Children shall not be permitted to enter any animal (m) Children are permitted to enter packing or storage
handling or storage area and must be supervised at all areas
times while on site. (m) Children are not supervised when in fields

5.3.6.1 Amenities Provisions shall be made to store employee personal (m) No provision made for the storage of personal
belongings away from livestock, crops, harvesting and field belongings away from crops
processing operations, and processing equipment. (m) No provision made for the storage of personal
belongings away from harvesting operations
(m) No provision made for the storage of personal
belongings away from field processing operations
(m) No provision made for the storage of personal
belongings away from field packing operations

5.3.6.2 Amenities Areas for meal breaks shall be designated and located
away from animal or feed contact/handling zones and
processing equipment.
5.3.6.3 Amenities Potable drinking water shall be available to all field
employees.
5.3.7.1 First Aid First aid facilities shall be available and maintained to treat
minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized
care.
(m) No designated areas for meal breaks
(m) Areas for meal breaks not located away from a food
contact/handling zones
(m) Areas for meal breaks not located away from
processing equipment
(m) Potable water is not provided to all employees
(m) No first aid facilities
(m) No suitable arrangements provided in
circumstances when a patient requires more
specialized care

5.3.7.2 First Aid
5.4.1.1 Field Handling Practices
First aid kits shall be kept in a sanitary and usable
condition.
Appropriate personnel practices shall be employed by field
packing employees which include: aprons and gloves shall
be kept clean, aprons and gloves shall not be left on
products, work surfaces, equipment or packaging material
but hung on apron and glove racks provided, all products
and packaging material shall be kept off the ground and
the floor of the transport vehicle, waste shall be contained
in the bins identified for this purpose. Waste shall not
come in contact with livestock or feed and be removed on
a regular basis and not left to accumulate.
(m) First aid kits are not clean
(m) First aid kits do not have appropriate contents
(m) Evidence of fingernail polish being worn where
product is handled with bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work surfaces,
equipment or packaging surfaces
(m) Gloves are left on product, work surfaces,
equipment or packaging surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the ground
(M) Waste is not contained in the bins identified for this
purpose
(M) Waste is not removed on a regular basis(M) Waste
is left to accumulate
(m) No provision made for the storage of personal
belongings away from field packing operations

5.4.1.2 Field Handling Practices Measures shall be implemented to prevent cross- (M) No measures in place to prevent cross-
contamination of livestock or feed product from chemicals, contamination
oils and lubricants, and /or personnel.

5.4.2.1 Animal Husbandry Practices
The producer shall apply good animal husbandry practices (M) Good animal husbandry practices are not applied
for the type of animal under their care and shall ensure for the type of animal
that the basic needs of animals, whether held under an
extensive grazing, close confinement or intensive housing
conditions, are maintained.

5.4.2.2 Animal Husbandry Practices
Employees responsible for the care and management of
animals shall be trained and competent in animal handling
and welfare. They shall be able to recognize the early signs
of distress and disease and ensure stress to animals is
minimized.
(m) Staff is not trained to handle living stock
(M) Staff is not competent to handle living stock
(m) Staff cannot recognize the early signs of distress
(m) Staff cannot recognize the early signs of disease
(m) Staff cannot ensure stress to living stock is
minimized
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
5.4.2.3 Animal Husbandry Practices A written procedure regarding the handling of livestock (M) Staff is not competent to handle animals
shall be implemented and maintained. The policy shall (m) Staff cannot recognize the early signs of distress
assure that employees handling livestock ensure that (m) Staff cannot recognize the early signs of disease
animals have an adequate source of clean feed and (m) Staff cannot ensure stress to animals is minimized
uncontaminated water at all times, are herded and housed
in such a way as to avoid damage or stress to the animals,
manure and contaminated yard water is regularly removed
and stored, diseased or medicated animals are segregated
from healthy animals, personnel dealing with or treating
diseased animals do not come into contact with healthy
animals.

5.4.2.4 Animal Husbandry Practices Materials and equipment that comes in contact with (M) Material not in good repair
production animals shall be clean and in good repair.

5.5.1.1 Water for Livestock Production Water for livestock production shall be drawn from a (C) Water is drawn from an unknown source
known clean source or treated to make it suitable for use. (M) Water is not treated

5.5.1.2 Water for Livestock Production
The producer shall conduct an analysis of the hazards to
the water supply from source through to application,
establish acceptance criteria for the monitoring of water
and validate and verify the integrity of the water used to
ensure it is fit for the purpose.
(M) No analysis of the hazards to the water supply was
conducted
(m) Acceptance criteria was not determined

5.5.1.3 Water for Livestock Production Where water for livestock production is stored in tanks or (C) Water from tanks and troughs are a source of
troughs, the producer shall ensure that the tanks or contamination
troughs are not a source of contamination.

5.5.1.4 Water for Livestock Production Waste systems intended to convey human or animal waste (C) Waste water system is not separated from water for
shall be separated from conveyances utilized to deliver livestock production
water for livestock production.

5.5.2.1 Treatment of Water for Livestock In circumstances where water for livestock production is (M) Treated irrigation water did not follow required
Production treated to render it acceptable, the water, after treatment standards
shall conform to the microbiological standards as outlined
in element 5.5.3.

5.5.3.1 Water Management Plan
Water used for livestock production, mixing feeds, cleaning
feed and veterinary equipment, and mixing sanitizer
solutions shall comply with potable water microbiological
and chemical standards in the country of production.
Separate criteria shall be established for irrigation and
other agricultural water, as applicable, based on the
hazard analysis and any application legislation, if
applicable. The water management plan shall include the
following: preventive controls, monitoring and verification
procedures, corrective actions, documentation,
(m) Water used for livestock production, mixing
sanitizer solutions does not comply with potable water
microbiological standards
(m) Water used for cleaning food contact surfaces does
not comply with potable water microbiological standards
(M) Water used for mixing sanitizer solutions does not
comply with potable water microbiological standards
(m) No separate criteria has been established
(m) Criteria was not established based on a hazard
analysis or best practices
(M) Water used for washing and treating product does
not comply with potable water microbiological standards
(M) Water used for cleaning food contact surfaces does
not comply with potable water microbiological standards
(M) Water used for mixing sanitizer solutions does not
comply with potable water microbiological standards

5.5.3.2 Water Management Plan
Where necessary, water testing shall be part of the water (M) Water testing is not a part of the management plan
management plan, as directed by the water risk (m) Water analysis is not conducted by an 17025
assessment and current industry standards or regulations accredited lab
for the commodity being produced. Water analysis, if
applicable, shall be undertaken by an approved laboratory
accredited to ISO 17025 or equivalent.

5.5.3.3 Water Management Plan
Water quality shall be monitored to verify it complies with
the established standard or criteria. A verification
schedule shall be prepared indicating the location and
frequency of monitoring, which shall be decided by the
hazard analysis, or applicable legislation.
(m) Water quality is not monitored
(m) A verification has not been prepared
(m) Frequency of monitoring not determined by the
hazard analysis
(m) Water quality is not monitored to verify it complies
with the microbiological standard
(m) No verification schedule indicating the frequency of
monitoring
(m) Water analysis is not conducted by an 17025
accredited lab
 Clause
5.5.4.1 Corrective Actions
5.6.1.1 Storage of Livestock, Animal Feed and
Veterinary Medicines
5.6.1.2 Storage of Livestock, Animal Feed and
Veterinary Medicines
5.6.1.3 Storage of Livestock, Animal Feed and
Veterinary Medicines
5.6.1.4 Storage of Livestock, Animal Feed and
Veterinary Medicines
5.6.1.5 Storage of Livestock, Animal Feed and
Veterinary Medicines
5.6.1.6 Storage of Livestock, Animal Feed and
Veterinary Medicines
5.6.2.1 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
5.6.2.2 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
Item
When monitoring shows that water for livestock
production (or other uses identified under element 5.5.3.1) (C) Corrective actions are not appropriate
does not meet established criteria or standard, the
producer shall have a corrective action plan developed
which may include additional treatment for water,
additional sources for water, livestock identification and
disposition or other alternative actions to adequately
control the identified hazards.
Livestock shall be housed and transported under
conditions that minimize the risk of microbiological or
chemical contamination, physical damage, or distress.
The producer shall implement measures to prevent cross- (M) There are no measures implemented
contamination of livestock, animal feed or feeding utensils
from agricultural chemicals, cleaning agents, waste
materials, or personnel.
Animal feed shall be stored securely in clean, dry silos or
sheds and handled separately from waste materials,
animal medication, and hazardous chemicals.
Animal feed sourced from different species, growers or (M) Animal feed is cross contaminated
manufacturers shall be stored separately by using separate
silos or storage areas.
Animal feed shall be checked regularly for cleanliness,
temperature, suitability, and freedom from molds and
fungus. A record shall be maintained of feed checks.
Veterinary vaccines and medications shall be stored in
secure, lockable storage, and in accordance with
regulatory requirements or, in the absence of regulatory
requirements, manufacturer's instructions.
Hazardous chemicals, toxic substances, and petroleum
products shall be specifically identified and stored so as
not to present a hazard to employees, products, product
handling equipment or areas in which livestock is handled,
stored or transported.
Product contact chemicals such as pesticides and
herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in containers
their original containers.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Corrective actions are not established
(M) Livestock is transported under stressful conditions
(M) Livestock is housed in conditions that pose a risk to
the animal
(M) Animal feed is not stored securely
(M) Silos not constructed of approved materials
(M) Silos or sheds not designed to maintain dry goods
in an acceptable condition
(M) Silos or sheds not designed to enable safe
fumigation practices
(M) Silos or sheds not designed to prevent the invasion
of pests
(m) Animal feed is not regularly checked
(m) No record maintained
(M) Medicines are not stored in a secure location
(m) Storage facility is not locked
(m) Hazardous chemicals, toxic substance, animal
medicines and petroleum products are stored in manner
hazardous to staff
(m) Hazardous chemicals, toxic substances, animal
medicines and petroleum products are stored in a
manner hazardous to product or product handling
equipment
(m) Hazardous chemicals, toxic substances, animal
medicines and petroleum products are stored in areas
in which product is handled, stored or transported
(m) Product contact chemicals are not stored separately
(m) Product contact chemicals are not stored separately
(m) Product contact chemicals are not in their original
 Clause
5.6.2.3 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
5.6.2.4 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
5.6.2.5 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
5.6.3.1 Transport
5.6.3.2 Transport
5.7.1.1 Purchasing Vaccines and Medications
Item
Chemical storage sheds shall be compliant with national
and local legislation and designed such that there is no
cross-contamination between chemicals, ventilated to the
exterior, provided with appropriate signage indicating the
area is a hazardous storage area, secure and lockable to
restrict access only to those personnel with formal training
in the handling and use of chemicals, have instructions on
the safe handling of hazardous chemicals readily accessible
to employees, be equipped with a detailed and up-to-date
inventory of all chemicals contained in the storage facility,
have suitable first aid equipment and protective clothing
available in the storage area, have emergency shower
and/or wash facilities available in the event of an
accidental spill, shall in the event of a hazardous spill, be
designed such that spillage and drainage from the area is
contained, equipped with spillage kits and cleaning
equipment.
Petroleum fuels, oils, grease and other lubricants shall be
stored separate from other storage areas.
The storage of hazardous chemicals, toxic substances and
petroleum products in areas (separate lockable or
otherwise contained) inside feed handling areas, or
livestock holding areas is not acceptable.
The practices applied during loading, transport and (m) Practices applied during loading not implemented
unloading of livestock shall be documented, implemented (m) Practices applied during loading, transport and
and designed to minimize damage and distress. unloading of animals is not implemented to maintain
Employees involved in loading, transport and unloading
livestock shall be appropriately trained.
Vaccines, medications vitamins and dietary suppliments
shall be purchased from an approved supplier in
accordance with applicable legislation, and be correctly
labeled by the manufacturer.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Chemical storage sheds not compliant with national
and local legislation
(M) Chemical storage sheds not designed such that
there is no cross-contamination between chemicals
(m) Chemical storage sheds are not ventilated to the
exterior
(m) Chemical storage sheds are not provide with
appropriate signage indicating the area is a hazardous
storage area
(M) Chemical storage sheds not secure and lockable to
restrict access only to those personnel with formal
training in the handling and use of chemicals
(m) Instructions on the safe handling of hazardous
chemicals not readily accessible to staff
(m) Chemical storage sheds not equipped with a
detailed and up-to-date inventory of all chemicals
contained in the storage facility
(M) No suitable first aid equipment available in the
storage area
(M) No protective clothing available in the storage area
(m) No emergency shower and wash facilities available
in the event of spills
(m) Not designed such that spillage and drainage from
the area is contained
(m) Not equipped with spillage kits
(m) Not equipped with cleaning equipment
(m) Chemical storage sheds not compliant with national
and local legislation
(m) Petroleum fuels not stored separately from other
storage areas
(m) Oils not stored separately from other storage areas
(m) Grease not stored separately from other storage
areas
(m) Other lubricants not stored separately from other
storage areas
(m) No provision to ensure hazardous chemicals are
not stored in inside food handling areas
(m) No provision to ensure hazardous chemicals are
not stored in inside product storage rooms
(m) No provision to ensure hazardous chemicals are
not stored in inside ingredient storage rooms
(m) No provision to ensure hazardous chemicals are
not stored in inside packaging storage rooms
(m) No provision to ensure toxic substances are not
stored in inside food handling areas
(m) No provision to ensure toxic substances are not
stored in inside product storage rooms
(m) No provision to ensure toxic substances are not
stored in inside ingredient storage rooms
(m) No provision to ensure toxic substances are not
stored in inside packaging storage rooms
(m) No provision to ensure petroleum products are not
stored in inside food handling areas
(m) No provision to ensure petroleum products are not
stored in inside product storage rooms
(m) No provision to ensure petroleum products are not
stored in inside ingredient storage rooms
(m) No provision to ensure petroleum products are not
stored in inside packaging storage rooms
appropriate storage conditions and product integrity
(m) Practices applied during loading, transport and
unloading of crops is not implemented to maintain
appropriate storage conditions and product integrity
(M) Employees involved in loading, transport and
unloading are not trained appropriately
(m) Vaccines are not been purchased from an
Approved Supplier
(m) Medications are not been purchased from an
Approved Supplier
(M) Vaccines are not been purchased in accordance
with applicable legislation
(M) Medications are not been purchased in accordance
with applicable legislation
 Clause
5.7.1.2 Purchasing Vaccines and Medications
5.7.2.1 Application of Animal Medicines (D)
5.7.2.1 Application of Animal Medicines
5.7.2.2 Application of Animal Medicines
5.7.2.3 Application of Animal Medicines
5.7.2.4 Application of Animal Medicines
5.7.2.5 Application of Animal Medicines
5.7.2.6 Application of Animal Medicines
5.7.2.7 Application of Animal Medicines
Item
An inventory of all animal vaccines, medications vitamins
and dietary suppliments purchased and used shall be
maintained, including in-feed medications. The producer
shall provide proof of purchase for all animal medications
included in the inventory and used within the facility.
An animal health plan indicating the use of a vaccine or
medication for a target disease shall be prepared and
implemented. All vaccines and medicines must be used in
accordance to label instructions, including withholding
periods.
An animal health plan indicating the use of a vaccine or
medication for a target disease shall be prepared and
implemented. All vaccines and medicines must be used in
accordance to label instructions, including withholding
periods.
Off label use of medications shall be approved by a
registered veterinarian.
The person making decisions on administering a
vaccination medication shall demonstrate knowledge of,
and access to, information regarding medications and the
maximum residue levels allowable in destination markets,
demonstrate competence and knowledge of the various
methods of administering medications and compliance
with withholding periods, maintain a current medication
register and keep records of all medication purchased and
used.
Where veterinary medication is required to be dispensed
in feed, medicated feed shall be separately identified and
stored.
Where veterinary medication is required to be dispensed
in water, medicated water shall be separately identified
and stored.
The producer shall dispose of unused animal medications,
expired medications, empty containers and disposable
instruments in accordance with regulatory requirements
and ensure that empty containers, used needles and
disposable instruments are not re-used; and are isolated
and securely stored while awaiting disposal.
Where some or all of the living stock are found to be
infected with a noticeable disease, the producer shall have (M) Action not taken to treat and/or dispose of stock
a system in place to quarantine the affected stock and take
appropriate action to treat or dispose of the affected
stock.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) There is no inventory of all animal medications
purchased and used
(m) The inventory of animal medications is not
maintained
(m) There is no proof of purchase
(M) There is no animal health plan prepared
(M) There is no animal health plan implemented
(m) Plan does not indicate the vaccine or medication
used for a target disease
(m) Off label use of medications is not been approved
by a registered veterinarian
(M) There is no animal health plan prepared
(M) There is no animal health plan implemented
(m) Plan does not indicate the vaccine or medication
used for a target disease
(m) Off label use of medications is not been approved
by a registered veterinarian
(M) The animal health plan has not been implemented
Compliant 0
(M) Off label medications are not approved
Minor 0
(m) Knowledge of information regarding chemical
application not demonstrated
(m) Access to information regarding chemical
application not demonstrated
(m) Access to maximum Allowable Levels in destination
markets not demonstrated
(m) No assurance that only chemicals approved for use
in the intended market are used
(m) Competence not demonstrated
(m) Knowledge of chemical application not
demonstrated
(m) Knowledge of crop withholding periods not
demonstrated
(m) Applications for target pests and diseases do not
comply with label recommendations
(m) Application rates for target pests and diseases do
not comply with label recommendations
(m) Timing between chemical application and harvest
does not comply with the approved harvest interval for
the chemical applied
(m) No chemical register
(m) Chemical register not current
(m) Chemical register not maintained
(m) No records of all chemicals used
Major 0
(m) Feed is not separately identified when dispensed
with medication
Critical 0
(m) Water is not separately identified when dispensed
with medication
OIP 0
(M) Chemical waste disposal not in accordance with
regulatory requirements
(M) Empty chemical container disposal not in
accordance with regulatory requirements
(m) No assurance that empty chemical containers are
not re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely stored while
awaiting collection
(m) Unused chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) Obsolete chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) No approved vendor for disposal of unused
chemicals
(m) No approved vendor for disposal of obsolete
chemicals
Excempt 0
(M) No system in place to quarantine stock
N/A 0
 Clause
5.7.3.1 Feed Management Plan
5.7.3.2 Feed Management Plan
5.7.3.3 Feed Management Plan
5.7.4.1 Soil Amendment
5.7.4.2 Soil Amendment
5.7.4.3 Soil Amendment
Item
When the producer selects to purchase animal feed, it
shall be purchased from an approved supplier in
accordance with applicable legislation and an agreed
specification. A record of all animal feed purchased shall
be maintained.
The producer shall implement a feed management plan to
maintain the safety and integrity of all animal feed,
whether purchased, or produced on site. Animal feed shall
meet regulatory requirements and be managed to
minimize the potential for microbiological or chemical
contamination. The feed management plan shall include
the following: monitoring and verification procedures,
preventive controls, corrective actions, documentation,
Feed quality shall be tested to verify that it complies with
the established microbiological and chemical standard or
criteria. Feed analysis shall be undertaken by an approved
laboratory accredited to ISO 17025 or equivalent.
Where animal feed is found to be contaminated or
otherwise unsuitable for use, the producer shall have a
process in place to contain and remove the contaminated
feed so as not to pose a food safety risk to livestock and
other farm products, and to clean and sanitize
contaminated silos and equipment.
No raw untreated manure shall be used. Soil amendment
treatment and application methods shall be documented
and implemented and designed to prevent contamination
of products.
Soil amendment protocol shall outline the methods used
to treat manure and other untreated organic fertilizers
ensuring: The treatment methods applied inactivate
pathogens in organic soil amendments; A hazard analysis
of organic soil amendments treatment methods is
conducted before use; Treatment methods are validated
and treatments of organic soil amendments are verified as
being in compliance with the method applied; Records of
the validation and verification of organic soil amendment
treatments are maintained.
Soil amendment protocol shall outline the methods to
ensure organic soil amendment applications are timed to
pose minimum risk to product safety and human health
including: all applications of soil amendments are in
accordance with national or local guidelines, best practices
and codes of Good Agricultural Practices, equipment used
for soil amendment application is maintained in good
condition and calibrated to ensure accurate application,
records of all equipment maintenance and calibration are
maintained, signage complies with national & local codes
of practice, sufficient data is recorded to provide a detailed
record of soil amendment applications.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Animal feed is not in accordance with applicable
legislation
(m) Animal feed not purchased from an Approved
Supplier
(m) Inventory of all animal feed purchased is not
maintained
(m) Inventory of all animal feed used is not maintained
(M) No feed management plan in place
(M) Feed does not meet regulatory requirements
(m) Feed management plan does not include
preventive controls
(m) Feed management plan does not include corrective
actions
(m) Feed management plan does not include
documentation
(m) Feed quality is not tested
(m) Testing is not undertaken by an ISO 17025
laboratory
(M) Contaminated feed is not segregated
(M) Contaminated equipment is not cleaned
(C) Use of raw untreated human sewage not prohibited
(M) Soil amendment treatment methods not
implemented
(M) Soil amendment application methods not
implemented
(M) Treatment methods not designed to prevent
contamination of product
(M) Application methods not designed to prevent
contamination of product
(m) Soil amendment treatment methods not
documented
(m) Soil amendment application methods not
documented
(M) Soil amendment protocol does not outline the
methods used to treat manure
(M) Soil amendment protocol does not outline the
methods used to treat untreated organic fertilizers
(M) Treatment methods applied do not inactivate
pathogens in organic soil amendments
(M) No hazard analysis of organic soil amendments
treatment methods is conducted before use
(M) Treatment methods are not validated
(M) Treatments of organic soil amendments are not
verified
(m) Validation records not maintained
(m) Verification records not maintained
(M) Application methods are not timed to pose minimum
risk to product safety
(M) Application methods are not timed to pose minimum
risk to human health
(M) Applications of soil amendments are not in
accordance with National or Local Guidelines and
Codes of Good Agricultural Practice
(m) Equipment used for soil amendment application is
not maintained in good condition
(m) Equipment used for soil amendment application is
not calibrated to ensure accurate application
(m) Records of all equipment maintenance are not
maintained
(m) Records of all equipment calibration are not
maintained
(m) Signage does not comply with National & Local
Codes of Practice
(m) Sufficient data is not recorded to provide a detailed
record of soil amendment applications
 Clause
5.7.5.1 Agricultural Chemicals
5.7.5.2 Agricultural Chemicals
5.7.5.3 Agricultural Chemicals
5.7.5.4 Agricultural Chemicals
5.7.5.5 Agricultural Chemicals
5.8.1.1 Living Stock Records
Item
Chemicals shall be purchased from an approved supplier in (M) Chemical waste disposal not in accordance with
accordance with applicable legislation. An inventory of all regulatory requirements
chemicals purchased and used shall be maintained.
A feed crop protection action plan indicating the
applications used for a target pest or disease and the
threshold levels that initiate application shall be prepared
and implemented.
If the product is intended for export, agricultural chemical (M) Chemicals of the country for export are not
use shall consider requirements in the intended country of considered
destination.
The person making decisions on chemical application shall
demonstrate knowledge of, and access to, information
regarding chemical applications and the maximum residue
limits allowable in destination markets, use only chemicals
approved for use in the intended market, demonstrate
competence and knowledge of chemical application and
crop withholding periods, ensure crop applications and
application rates for target pests and diseases comply with
label recommendations, demonstrate the timing between
chemical application and harvest complies with the
approved harvest interval for the chemical applied,
maintain a current chemical register and keep records of
all chemicals use.
The producer shall dispose of chemical waste and empty
containers in accordance with regulatory requirements
and ensure that empty chemical containers are not re-
used, labeled, isolated and securely stored while awaiting
collection, in accordance with regulatory requirements and
ensure that unused and obsolete chemicals are stored
under secure conditions while waiting authorized disposal
by an approved vendor.
All livestock shall be identified by an individual or batch (M) Trace back system does not trace animal back to
identification system, and be traceable back to the farm of farm of birth
birth.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Empty chemical container disposal not in
accordance with regulatory requirements
(m) No assurance that empty chemical containers are
not re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely stored while
awaiting collection
(m) Unused chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) Obsolete chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) No approved vendor for disposal of unused
chemicals
(m) No approved vendor for disposal of obsolete
chemicals
(M) No crop protection action plan
(m) Plan does not indicate the applications used for a
target pest or disease
(m) Threshold levels that initiate application are not
prepared
(m) Threshold levels that initiate application are not
implemented
(m) Plan does not indicate the vaccine or medication
used for a target disease
(M) Crop protection action plan is not implemented
(m) Knowledge of information regarding chemical
application not demonstrated
(m) Access to information regarding chemical
application not demonstrated
(m) Access to maximum Allowable Levels in destination
markets not demonstrated
(m) No assurance that only chemicals approved for use
in the intended market are used
(m) Competence not demonstrated
(m) Knowledge of chemical application not
demonstrated
(m) Knowledge of crop withholding periods not
demonstrated
(m) Applications for target pests and diseases do not
comply with label recommendations
(m) Application rates for target pests and diseases do
not comply with label recommendations
(m) Timing between chemical application and harvest
does not comply with the approved harvest interval for
the chemical applied
(m) No chemical register
(m) Chemical register not current
(m) Chemical register not maintained
(m) No records of all chemicals used
(M) Chemical waste disposal not in accordance with
regulatory requirements
(M) Empty chemical container disposal not in
accordance with regulatory requirements
(m) No assurance that empty chemical containers are
not re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely stored while
awaiting collection
(m) Unused chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) Obsolete chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) No approved vendor for disposal of unused
chemicals
(m) No approved vendor for disposal of obsolete
chemicals
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
5.8.1.2 Living Stock Records The producer shall maintain a living stock record which (M) Living stock record is not maintained
includes current living stock on farm, stock movement, (m) Living stock record does not include farm
stock transactions, and stock losses. (m) Living stock record does not include stock
movement
(m) Living stock record does not include stock
transactions
(m) Living stock record does not include stock losses

5.8.1.3 Living Stock Records Records shall be maintained of living stock treated with (M) Records are not maintained
approved veterinary medications and shall include the (m) Records do not include application date
application date and the withholding period for that (m) Records do not include withholding period
medication.

5.8.2.1 Feed Identification and Traceability
All animal feed and feed additives shall be identified by a
batch identification system and be traceable back to the
source, including name and address of the supplier and the
batch number or manufacturer's identification mark.
(M) Animal feed is not identified by a batch identification
system
(m) Trace back system does not trace back to the
source
(m) Trace back system does not include name and
address of supplier
(m) Trace back system does not include batch number

5.8.2.2 Feed Identification and Traceability
5.9.1.1 Dry, Liquid Waste Disposal
5.9.1.2 Dry, Liquid Waste Disposal
The producer shall maintain records of the use of feed and (m) No records are maintained
feed additives.
Waste materials shall be regularly removed from the farm,
field, pens, yards, livestock housing sheds and the
surrounding areas so as not to pose a food safety risk to
livestock and other farm products.
The responsibility and methods for the effective and
efficient disposal of all solid waste including inedible
material and disused packaging, and liquid and unsanitary
waste shall be documented and implemented.
(m) Responsibility for the effective and efficient disposal
of all solid waste and liquid and unsanitary waste not
implemented
(M) Waste is not managed and is allowed to
accumulate
(M) Methods for disposal of solid was is not
documented
(M) Methods for disposal of solid waste is not
implemented

5.9.1.3 Dry, Liquid Waste Disposal
5.9.1.4 Dry, Liquid Waste Disposal
Areas where solid farm waste materials are stored shall be (m) Areas are not kept clean
kept clean.
Animal carcasses for disposal shall be stored outside (C) Animal carcasses for disposal are stored in
production areas. Carcass disposal companies shall not production(M) Carcass disposal companies cross
pass through the production facilities to remove carcasses. through production

5.9.2.1 Liquid Waste Drainage and waste disposal areas shall be designed and (m) Drainage and waste disposal areas contaminate
constructed so as to avoid contamination of water courses neighboring properties
and neighboring properties.

5.9.2.2 Liquid Waste Untreated waste water and slurry from sewage plants shall (C) Water is not contained
be contained so that it does not contaminate animal
holding areas, pasture, crop cultivation, and water courses.

5.9.2.3 Liquid Waste Liquid manure shall be stored in specially designed and (M) Liquid manure was not stored in watertight
constructed watertight containers, so as not to pose a food containers
safety risk to livestock and other farm products.
 Clause
6.1.1.1 Aquaculture Sites
6.1.1.2 Aquaculture Sites
6.1.1.3 Aquaculture Sites
6.1.1.4 Aquaculture Sites
6.1.1.5 Aquaculture Sites
6.1.2.1 Vessels and Structures
6.1.2.2 Vessels and Structures
6.2.1.1 Site Access and Security
6.2.1.2 Site Access and Security
Item
Aquaculture farms shall comply with local and national
regulations and demonstrate legal authority for land use,
water use and effluent discharge.
Aquaculture farms shall be such that adjacent and
adjoining buildings, operations and land use do not
interfere with the safe and hygienic operations on the
property.
A risk assessment shall be conducted to evaluate and
document the risk to products associated with prior land
use, adjacent land use, and other environmental factors
including structures and equipment. Consideration shall be
given to the following: history of land use, topography,
adjacent land use, soil permeability, and other factors that
may impact the ability to supply safe products.
The analysis shall be re-evaluated in the event of any
circumstance or change that may impact on the
production of safe products.
Where risks are identified, control measures shall be
implemented to reduce the identified hazards to an
acceptable level.
Vessels, catch landing areas and land structures shall be
designed and constructed to ensure that adjacent
buildings or operations do not interfere with their safe and
hygienic operation.
Vessels, catch landing areas and land structures shall be
designed and constructed so as to facilitate cleaning and
pest control, and be free of oil, grease or other
contaminants.
Aquaculture farms shall be fenced and the entry points
controlled by lockable gates. Only authorized persons may
gain entry to aquaculture farms and access to products,
feedstock, and water supply.
Wild catch harvest, both on vessel and landed, are to be
held in clean containers and protected from unauthorized
access or contamination sources.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Farm does not comply with the
local or national regulations
(m) water and land use does not have
legal authority
(m) Adjacent and adjoining buildings
interfere with the safe and hygienic
operations on the property
(m) Adjacent operations interfere with
the safe and hygienic operations on
the property
(m) Adjacent land use interferes with
the safe and hygienic operations on
the property
(m) Analysis of the hazards associated
with the farm/ranch or plot location has
not been done
(M) Risk assessment has not been
conducted
(M) Analysis of the hazards associated
with the farm/ranch or plot location has
not been done
(m) History of land use not considered
(m) Topography not considered
(m) Adjacent land use not considered
(m) Soil permeability has not been
considered
(m) Other factors that may impact on
the ability of the Producer to supply
safe product not considered
(M) Change was noted and the
analysis to produce safe product was
not re-evaluated
(M) Control measures were not
implemented
(C) Control Measures implemented did
not reduce to acceptable levels
(m) Adjacent and adjoining buildings
interfere with the safe and hygienic
operations on the property
(m) Adjacent operations interfere with
the safe and hygienic operations on
the property
(m) Adjacent land use interferes with
the safe and hygienic operations on
the property
(m) Analysis of the hazards associated
with the farm/ranch or plot location has
not been done
(M) Vessels and catch landing areas
are poorly designed
(m) Farm design allows for
unauthorized access
(M) No fencing in livestock area
(m) Gate is not locked
(M) Wild catch is not held in clean
containers
(m) Catch is not protected by
unauthorized access
6.2.2.1 Buildings used for Storage of Feed,
Chemicals, and Equipment
6.2.2.2 Buildings used for Storage of Feed,
Chemicals, and Equipment
6.2.2.3 Buildings used for Storage of Feed,
Chemicals, and Equipment
6.2.2.4 Buildings used for Storage of Feed,
Chemicals, and Equipment
6.2.2.5 Buildings used for Storage of Feed,
Chemicals, and Equipment
6.2.3.1 Machinery, Conveyors, Harvesting and
Processing Equipment Construction and Storage
6.2.3.2 Machinery, Conveyors, Harvesting and
Processing Equipment Construction and Storage
6.2.3.3 Machinery, Conveyors, Harvesting and
Processing Equipment Construction and Storage
6.2.4.1 Vehicles, Equipment and Utensils
6.2.4.2 Vehicles, Equipment and Utensils
6.2.4.3 Vehicles, Equipment and Utensils
All buildings used to store equipment, veterinary and
aquaculture chemicals, or feedstock shall be designed and
constructed so as to permit compliance to good hygiene
practices and avoid product contamination.
Buildings designated to store equipment, veterinary and
aquaculture chemicals, or feedstock shall be kept clean.
Silos used to store feed shall be constructed of approved
materials and designed to remain dry, clean and free from
any dirt residues, so they remain fit for the purpose, in an
acceptable condition, enable safe fumigation practices and
prevent the invasion of pests.
Storage rooms shall be designed and constructed to allow
for the separate, hygienic storage of feedstuffs, veterinary
chemicals, and containers and equipment used to dispense
feed and veterinary chemicals, away from machinery,
hazardous chemicals and other toxic substances.
Veterinary medicines and medical equipment shall be
stored in a secure area and accessed only by authorized
personnel.
Product contact surfaces on conveyors, harvesting and
processing equipment on vessels or on aquaculture farms
shall be designed and constructed to allow for the efficient
handling of products and those surfaces in direct contact
with products shall be constructed of materials that will
not contribute a food or feed safety risk.
Provisions shall be made for the washing and storage of
harvesting and processing equipment, conveyors, totes,
trays containers and utensils.
Provisions shall be made to store nonfood-contact
equipment separately from harvesting and processing
equipment.
Feed processing equipment including knives, totes, trays,
conveyors, containers and other equipment, including
equipment used for animal health, shall be suitable for use
and constructed from materials that are non-toxic,
smooth, impervious and easily cleaned and sanitized.
Equipment, tools, utensils and other items or materials
that are used for feeding of fish stock or fish health shall
be kept in good repair, kept clean and sanitized, and stored
in such a way as to avoid contamination.
Veterinary equipment, including disposable medical items,
shall be fit for purpose and maintained in a clean and
serviceable condition, and stored in a clean, safe, and
secure store.
(M) Buildings used to store equipment
are not designed to permit good
hygiene practices
(C) Building design leads to product
contamination
(m) Building is not made of durable
construction
(m) Internal surfaces are not smooth
(M) Internal surfaces are constructed of
materials that does not lead to effective
cleaning
(M) Silos not constructed of approved
materials
(M) Silos not designed to maintain dry
goods in an acceptable condition
(M) Silos not designed to enable safe
fumigation practices
(M) Silos not designed to prevent the
invasion of pests
(m) Harvesting and packing utensils
are stored near farm machinery
(m) Harvesting and packing utensils
are stored near hazardous chemicals
and toxic substances
(m) Storage rooms do not allow for
separate and hygienic storing of
harvesting and packing utensils
(m) Medicines and medical equipment
are not stored in a secured area
(m) Unauthorized personnel have
access to medicines and medical
equipment
(m) Product contact surfaces are
designed for improper handling of
product
(M) Product contact surfaces are
constructed with materials that would
contribute to a food safety risk
(m) There are no provisions made for
the washing and storage of processing
equipment
(m) Farm machinery is not separate
from food conveyors
(m) Processing equipment is
constructed from materials that are not
easily cleaned
(M) Processing equipment is made of
material that are hazardous to product
safety
(M) Materials are stored in a way that
would lead to contamination
(m) Tools are in poor condition
(m) Tools are not clean
(M) Utensils directly contacting fish
feeding material are not cleaned or
sanitized
(m) Veterinary equipment is not clean
(m) Veterinary equipment used is not
appropriate for the purpose
(m) Equipment is not stored in a clean,
safe and secured area
6.2.4.4 Vehicles, Equipment and Utensils
6.2.4.5 Vehicles, Equipment and Utensils
6.2.5.1 Maintenance Protocol
6.2.6.1 Calibration of Equipment
6.2.6.2 Calibration of Equipment
6.2.6.3 Calibration of Equipment
6.2.6.4 Calibration of Equipment
6.2.7.1 Pest and Vermin Management
6.2.7.2 Pest and Vermin Management
6.2.7.3 Pest and Vermin Management
Water tanks shall be cleaned at a sufficient frequency so as (M) Water tanks are not cleaned
not be a source of contamination.
Vehicles used for the transport of fish stock, feedstuffs,
and ice shall be fit for purpose and shall not be used to
carry waste materials, chemicals or other hazardous
substances that could cause contamination without
thorough cleaning and inspection.
The methods and responsibility for maintenance of
vessels, equipment and buildings shall be planned,
scheduled and carried out in a manner that prevents any
risk of contamination of products or equipment.
The methods and responsibility for the calibration and re-
calibration of application, measuring, test and inspection
equipment used for measuring and monitoring feed
application, chemical application, and veterinary medicines
shall be documented and implemented.
Equipment shall be calibrated against national or
international reference standards and methods. In cases
where such standards are not available, the producer shall
indicate and provide evidence to support the calibration
reference method applied.
Calibration shall be undertaken to an established schedule, (M) Calibration is not being conducted
to recognized standards or to accuracy appropriate to use. (m) There is no calibration schedule
Calibration records shall be maintained.
The methods for controlling pest and vermin infestation on
the vessel, site or facilities shall be documented and
implemented. The property, storage facilities, machinery
and equipment shall be kept free of waste or accumulated
debris so as not to attract pests and vermin.
The pest and vermin management program shall describe
the methods and responsibility for the development,
implementation and maintenance of the pest and vermin
management program, identify the target pests for each
pesticide application, outline the methods used to prevent
pest problems, outline the methods used to eliminate
pests when found, outline the frequency with which pest
status is to be checked, include on a site map the
identification, location, number and type of bait stations
set, list the chemicals used (they are required to be
approved by the relevant authority and their Safety Data
Sheets (SDS) made available), outline the methods used to
make employees aware of the bait control program and
the measures to take when they come in contact with a
bait station, outline the requirements for employees'
awareness and training in the use of pest and vermin
control chemicals and baits.
Records of pest inspections and pest applications shall be
maintained.
(C) Water tanks are contaminated
(M) Vehicles used for transportation of
foodstuffs are also used for other
purposes
(M) Lubricants used on or near product
contact equipment is not food grade
(m) Excessive lubrication is observed
on the equipment
(m) Lubricant used is made out of
allergenic ingredients that is not
identified in the allergen management
program
(M) Calibration methods are not
documented
(m) Responsibility for calibration
methods are not documented
(M) Calibration activities are not taken
(m) Methods for calibration do not
reference a national or international
standard
(m) Evidence to support calibration
methods are not available
(m) Calibration methods are not
appropriate to the use of the
equipment
(m) Records are not maintained
(M) There is no documented program
outlining how to control pest and
vermin
(M) Conditions are attracting Pest and
vermin to the property
(M) The program does not describe the
methods and responsibility for the
maintenance of the program
(m) The program does not identify the
target pests for each pesticide
application
(m) The program does not outline
preventive methods
(m) The program does not outline the
frequency
(m) The program does not include a
site identification map
(m) The program does not list the
chemicals
(m) Employees are not aware of bait
control program
(m) There are no records of pest
inspections and application
6.2.8.1 Animal Control
6.2.9.1 Cleaning and Sanitation
6.2.9.2 Cleaning and Sanitation
6.2.9.3 Cleaning and Sanitation
6.2.9.4 Cleaning and Sanitation
6.3.1.1 Personnel Practices
6.3.1.2 Personnel Practices
6.3.1.3 Personnel Practices
6.3.1.4 Personnel Practices
6.3.1.5 Personnel Practices
6.3.1.6 Personnel Practices
The operation shall have a written risk assessment on
animal activity in and around the production of feed, living
stock, or wild catch that has been implemented and
monitored.
The methods and responsibility for the cleaning of vessels,
containers, fish contact equipment, animal health
equipment, and sanitary facilities shall be documented and
implemented. Consideration shall be given to what is to
be cleaned, how it is to be cleaned, when it is to be
cleaned, who is responsible for the cleaning. who is
responsible for the evaluation of the cleaning.
A verification schedule shall be prepared indicating the
frequency of verifying the effectiveness the cleaning of
vessels, containers, fish contact equipment, animal health
equipment, and sanitary facilities, and indicating who is
responsible for completing verification activities.
The effectiveness of cleaning and sanitation programs shall (m) The cleaning and sanitation
be regularly reviewed and adapted as needed based on
environmental factors or disease risk.
A record of cleaning and sanitation activities shall be
maintained.
Personnel engaged in the handling of living stock, wild
catch and feedstuffs shall observe appropriate personal
practices. Corrective actions shall be implemented for
personnel who violate food safety practices.
Personnel suffering from, or are carriers of, an infectious
disease which can be carried with food as a vehicle shall
not engage in handling of living stock, wild catch and
feedstuffs.
A medical screening procedure shall be in place for all
employees, and will also be applicable to all visitors and
contractors.
Personnel with exposed cuts, sores or lesions shall not be
engaged in handling or processing of product. Minor cuts
or abrasions on exposed parts of the body shall be covered
with a suitable waterproof dressing.
A written policy shall be in place that specifies the
procedures for handling living stock, wild catch, feed and
product contact surfaces.
Smoking, chewing, eating, drinking (except for water),
spitting is not permitted in any product or feed handling
areas.
(M) There is no written risk assessment
for animal activity
(m) The risk assessment has not been
implemented
(m) The risk assessment has not been
monitored
(M) There is no documented cleaning
methods
(m) There is no responsibility for
cleaning protocol
(m) Documented protocol is incomplete
(m) Schedule for verifying the
effectiveness of the cleaning of product
contact surfaces
(m) Schedule does not designate
responsibility for completing verification
activities
program is not reviewed for
effectiveness
(M) Changes are not made based off
results
(m) Sanitation activities are not
maintained
(M) Personnel engaged in product
handling is not observing appropriate
personal practices
(m) Corrective actions were not taken
for employees that violated food safety
practices
(C) Personnel who are engaged in
growing or product handling or field
processing operation are carriers of an
infectious disease
(M) Medical screening procedure is not
in place
(M) Medical screening does not include
visitors and contractors
(C) Personnel with exposed cuts, sores
or lesions are engaged in product
handling or processing product
(m) Minor cuts and abrasions on
exposed parts of the body are not
covered with a suitable waterproof
dressing
(M) No written procedure in place
(m) Evidence of smoking, chewing,
eating, drinking observed in growing
areas, product handling or feed areas
6.3.2.1 Sanitary Facilities and Hand Washing Toilet facilities shall be provided and designed, constructed
and located in a manner that minimizes the potential risk
for product contamination.
i. Toilets shall cater for the maximum number of
employees and be constructed so that they can be easily
cleaned and maintained.
ii. Hand wash basins with clean water, hand soap,
disposable towels or effective hand drying device, waste
bins and a tank that captures used hand wash water for
disposal shall be provided inside or adjacent to toilet
facilities;
iii. Signage in appropriate languages shall be provided
adjacent to hand wash basins instructing people to wash
their hands after each toilet visit.
iv. Racks for protective clothing used by farm employees
shall be provided;
v. Toilets shall be located so as to provide easy access for
farm workers;
vi. Toilet and wash stations shall be maintained in a clean
and sanitary condition.
5.3.2.2 Personnel shall have clean hands and hands shall
be washed by all personnel:
i. After each visit to a toilet;
ii. After handling dirty or contaminated material; and
iii. After smoking, eating or drinking.
(C) Toilet facilities not provided
(C) Design of toilet facilities present a
food safety hazard
(C) Construction of toilet facilities
present a food safety hazard
(C) Location of toilet facilities present a
food safety hazard
(M) Toilet facilities not easily
accessible to staff
(M) Toilet facilities do not cater for the
maximum number of staff
(M) Toilet facilities not constructed so
that they can be easily cleaned
(M) Toilet facilities not constructed so
that they can be easily maintained
(C) No hand wash basins provided
inside or adjacent to toilet facilities
(M) Signage not in appropriate
languages advising people to wash
their hands after each toilet visit
(M) Signage not adjacent to hand wash
basins
(M) No racks for field packing staff's
protective clothing provided

6.3.2.2 Sanitary Facilities and Hand Washing
Personnel shall have clean hands and hands shall be
washed by all personnel before handling living stock, wild
catch or feed, after each visit to a toilet, after using a
handkerchief, after handling dirty or contaminated
material, after smoking, eating or drinking,
(M) Personnel observed in food
handling area with dirty hands
(M) Personnel observed not washing
hands upon entering processing area
(M) Personnel observed not washing
hands after using the toilet
(M) Personnel observed not washing
hands after using a handkerchief
(M) Personnel observed not washing
hands after handling hoses or trash
(M) Personnel observed not washing
hands after eating, drinking, or
smoking

6.3.3.1 Protective Clothing
Protective clothing shall be effectively maintained, stored, (m) Clothing is not effectively
laundered and worn so as to protect product from risk of maintained to protect product from risk
contamination. of contamination
(m) Clothing is not effectively worn so
as to protect product from risk of
contamination
(m) Clothing is not effectively stored to
protect product from risk of
contamination
(m) Clothing is not effectively
laundered so as to protect product
from risk of contamination

6.3.3.2 Protective Clothing Where applicable, clothing including footwear shall be (m) Clothing is not effectively
effectively maintained, cleaned and sanitized, and worn so laundered so as to protect product
as to protect product from risk of contamination. from risk of contamination

6.3.3.3 Protective Clothing If rubber or disposable gloves are used, the operation shall (M) Hand washing practices not
have a glove use policy and personnel shall adhere to the followed if rubber or disposable gloves
hand washing practices outlined above. are used

6.3.4.1 Jewelry and Personal Effects
Jewelry and other loose objects that pose a threat to the (m) Staff in growing, product handling
safety of living stock shall not be worn or taken onto any or storage operations observed
product handling or feed storage operations. wearing jewelry
(m) Evidence of loose objects taken
into growing, product handling or
storage operations
6.3.5.1 Visitors All visitors (including management and maintenance
employees) shall be required to remove jewelry and other or maintenance personnel wearing
loose objects and wear suitable protective clothing.
(m) Evidence of visitors, management
jewelry
(m) Evidence of visitors, management
or maintenance personnel carrying
lose objects
(m) Evidence of visitors, management
or maintenance personnel wearing
unsuitable clothing
(m) Management are required to
remove jewelry
(m) Management are required to
remove other loose objects

6.3.5.2 Visitors Visitors exhibiting visible signs of illness shall be prevented (m) Visitors exhibiting visible signs of
from entering any living stock, wild catch or feed handling illness are not prevented from entering
areas. any growing, product handling or
processing operation
(m) Visitors exhibiting visible signs of
illness are not prevented from entering
any product handling operation

6.3.5.3 Visitors Visitors must follow all personnel practices as designated (m) Evidence of visitors not following
by company for employees within aquaculture farms and the company's personnel practices
or wild catch landing, storage and or handling areas.

6.3.6.1 Amenities Provision shall be made to store employee personal
belongings away from living stock, wild catch or feed
handling areas.
(m) No provision made for the storage
of personal belongings away from
crops
(m) No provision made for the storage
of personal belongings away from
harvesting operations
(m) No provision made for the storage
of personal belongings away from field
processing operations
(m) No provision made for the storage
of personal belongings away from field
packing operations

6.3.6.2 Amenities On-board accommodation for vessel employees shall meet (M) Accommodations for employees
regulatory requirements (where applicable) and shall be don't meet regulatory requirements
clean and dry. (m) Vessel accommodations are not
clean
6.3.6.3 Amenities Areas for meal breaks shall be designated and located (m) No designated areas for meal
away from living stock, wild catch or feed handling areas. breaks
(m) Areas for meal breaks not located
away from a food contact/handling
zones
(m) Areas for meal breaks not located
away from processing equipment

6.3.6.4 Amenities Potable drinking water shall be available to all employees. (m) Potable water is not provided to all
employees
6.3.7.1 First Aid First aid facilities shall be available and maintained to treat (m) No first aid facilities
minor injuries and suitable arrangements shall be provided (m) No suitable arrangements provided
in circumstances when a patient requires more specialized in circumstances when a patient
care. requires more specialized care

6.3.7.2 First Aid First aid kits shall be kept in a sanitary and usable (m) First aid kits are not clean
condition. (m) First aid kits do not have
appropriate contents
6.4.1.1 Product Handling Practices
6.4.1.2 Product Handling Practices
6.4.2.1 Aquaculture Practices
6.4.2.2 Aquaculture Practices
6.4.2.3 Aquaculture Practices
6.4.2.4 Aquaculture Practices
6.5.1.1 Water for Aquaculture
6.5.1.2 Water for Aquaculture
Appropriate personnel practices shall be employed by
employees working in feed handling, living stock or wild
catch areas which include: aprons and gloves shall be kept
clean, aprons and gloves shall not be left on product, work
surfaces, equipment or packaging material but hung on
apron and glove racks provided, all product and packaging
material shall be kept off the ground and the floor of the
vessel, holding area or transport vehicle, all product and
packaging material shall be kept off the ground and the
floor of the vessel, holding area or transport vehicle, waste
shall be contained in the bins identified for this purpose.
Waste shall not come in contact with product and be
removed on a regular basis and not left to accumulate.
Measures shall be implemented to prevent cross-
contamination of living or harvested product from feed,
chemicals, oils and lubricants, and /or personnel.
The producer shall apply good husbandry practices for the (M) Good animal husbandry practices
living stock under their care and shall ensure that the basic are not applied for the type of species
needs of the species under their control are maintained.
Employees responsible for the care and management of
living stock shall be trained and competent in aquaculture
practices. They shall be able to recognize the early signs of
distress and disease and ensure stress to living stock is
minimized.
A written procedure regarding the handling of living stock
shall be implemented and maintained. The policy shall
assure that employees handling living stock ensure that:
Living stock has an adequate source of clean feed and
uncontaminated water at all times; Measures to inspect
for physical hazards and procedures to remove physical
hazards are in place; Diseased or medicated stock is
segregated from healthy living stock; Personnel dealing
with or treating diseased stock do not come into contact
with healthy stock staff is not trained to handle animals
Materials and equipment that comes in contact with living (M) Material not in good repair
stock shall be clean and in good repair.
Water for production of living stock shall be drawn from a
known clean source or treated to make it suitable for use.
Water for aquaculture shall be sourced from a location and (M) Water source does not comply with
in a manner that is compliant with prevailing regulations. prevailing regulations
(m) Evidence of fingernail polish being
worn where product is handled with
bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work
surfaces, equipment or packaging
surfaces
(m) Gloves are left on product, work
surfaces, equipment or packaging
surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the
ground
(M) Waste is not contained in the bins
identified for this purpose
(M) Waste is not removed on a regular
basis
(M) Waste is left to accumulate
(m) No provision made for the storage
of personal belongings away from field
packing operations
(M) No measures in place to prevent
cross-contamination
(M) The basic needs of the species are
not ensured
(m) Staff is not trained to handle living
stock
(M) Staff is not competent to handle
living stock
(m) Staff cannot recognize the early
signs of distress
(m) Staff cannot recognize the early
signs of disease
(m) Staff cannot ensure stress to living
stock is minimized
(M) Staff is not competent to handle
animals
(m) Staff cannot recognize the early
signs of distress
(m) Staff cannot recognize the early
signs of disease
(m) Staff cannot ensure stress to
animals is minimized
(C) Water is not from a clean source
6.5.1.3 Water for Aquaculture The producer shall conduct an analysis of the hazards to
the water supply from source through to application,
establish acceptance criteria for the monitoring of water
and validate and verify the integrity of the water used to
ensure it is fit for the purpose.
(M) Water supply is not drawn from a
known clean source
(C) Water supply not treated to make it
suitable for use
(M) No analysis of the hazards to the
water supply from source through to
application has been conducted
(M) Integrity of water used has not
been validated
(M) Integrity of water used has not
been verified

6.5.1.4 Water for Aquaculture Where water for production of living stock is stored in (C) Tanks are a source of
tanks, the producer shall ensure that the tanks are not a contamination
source of contamination.

6.5.1.5 Water for Aquaculture Waste systems intended to convey human or animal waste (C) Waste water system is not
shall be separated from conveyances utilized to deliver separated from supply water
water for the production of living stock, cleaning of
equipment, or ice production.

6.5.2.1 Water Treatment In circumstances where water for production of living (M) Treated water did not follow
stock is treated to render it acceptable, the water, after required standards
treatment shall conform to the microbiological standards
as outlined in element 6.5.3.

6.5.3.1 Water Management Plan
Water used for production of living stock, mixing feeds, (m) Water is not tested for heavy
cleaning feed and veterinary equipment, and production of metals and PCBs
ice shall comply with potable water microbiological and
chemical standards in the country of production. Where
necessary, water used for aquaculture shall also be tested
for heavy metals and polychlorinated biphenyls (PCBs).
The water management plan shall include the following:
preventive controls, monitoring and verification
procedures, corrective actions, documentation.

6.5.3.2 Water Management Plan
Water and ice testing shall be part of the water (M) Water and ice testing is not part of
management plan, as directed by the water risk the plan
assessment and current industry standards or regulations
for the commodity being produced. Water analysis shall
be undertaken by an approved laboratory accredited to
ISO 17025 or equivalent.

6.5.3.3 Water Management Plan
Water and ice quality shall be monitored to verify it (M) Water and ice quality is not
complies with the established water microbiological and monitored
chemical standard or criteria established. A verification
schedule shall be prepared indicating the location and
frequency of monitoring, which shall be decided by the
hazard analysis, best practices within country of
production, or applicable legislation.

6.5.4.1 Corrective Actions
When monitoring shows that water for the production of (M) Corrective actions are not
living stock (or other uses identified under 6.5.3.1) does established
not meet established criteria or standard, the producer (C) Corrective actions are not
shall have a corrective action plan developed which may appropriate
include additional treatment for water, additional sources
for water, livestock identification and disposition or other
alternative actions to adequately control the identified
hazards.
6.5.5.1 Water/Ice used In Cleaning, Storage, and Standard Operating Procedures (SOPs) shall be developed
Transport
6.5.5.2 Water/Ice used In Cleaning, Storage, and A Standard Operating Procedure that includes water-
Transport
6.6.1.1 Storage of Harvested Stock, Feed and
Veterinary Medicines
6.6.1.2 Storage of Harvested Stock, Feed and
Veterinary Medicines
6.6.1.3 Storage of Harvested Stock, Feed and
Veterinary Medicines
6.6.1.4 Storage of Harvested Stock, Feed and
Veterinary Medicines
6.6.1.5 Storage of Harvested Stock, Feed and
Veterinary Medicines
6.6.1.6 Storage of Harvested Stock, Feed and
Veterinary Medicines
6.6.2.1 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
6.6.2.2 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
for all uses of water during wild catch, cleaning, and ice
production. The SOPs shall address the microbial quality
of water or ice that directly contacts the product, is used
on product contact surfaces, treatment of re-circulated
water, if used, condition and maintenance of water-
delivery system, control of wash water temperature.
change schedules shall be developed for all uses of water
during harvesting.
Harvested stock shall be housed and transported under
conditions that minimize the risk of microbiological or
chemical contamination or physical damage.
The producer shall implement measures to prevent cross- (M) measures to prevent cross-
contamination of living stock, wild catch, or feedstock from contamination of living stock were not
chemicals, cleaning agents, oils and grease, other
chemicals, waste materials, or personnel.
Feed shall be stored securely in clean, dry silos or
containers and handled separately from waste materials,
animal medication, and hazardous chemicals.
Feed sourced from different species, growers or
manufacturers shall be stored separately by using separate
silos or storage areas.
Aquaculture feed shall be checked regularly for cleanliness, (m) Animal feed is not regularly
temperature, suitability, and freedom from molds and
fungus. A record shall be maintained of feed checks.
Veterinary vaccines and medications shall be stored in
secure, lockable storage, and in accordance with
regulatory requirements or, in the absence of regulatory
requirements, manufacturer's instructions.
Hazardous chemicals, toxic substances, and petroleum
products shall be specifically identified and stored so as
not to present a hazard to employees, product, product
handling equipment or areas in which harvested product is
handled, stored or transported.
Product contact chemicals such as pesticides and
herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in
their original containers.
(M) No SOPs developed
(M) SOP does not include change
schedules
(M) Stock is transported in poor
conditions
implemented
(M) Silos not constructed of approved
materials
(M) Silos not designed to maintain dry
goods in an acceptable condition
(M) Silos not designed to enable safe
fumigation practices
(M) Silos not designed to prevent the
invasion of pests
(M) Animal feed is cross contaminated
checked
(m) No record maintained
(M) Medicines are not stored in a
secure location
(m) Storage facility is not locked
(m) Hazardous chemicals, toxic
substance, animal medicines and
petroleum products are stored in
manner hazardous to staff
(m) Hazardous chemicals, toxic
substances, animal medicines and
petroleum products are stored in a
manner hazardous to product or
product handling equipment
(m) Hazardous chemicals, toxic
substances, animal medicines and
petroleum products are stored in areas
in which product is handled, stored or
transported
(m) Product contact chemicals are not
stored separately
(m) Product contact chemicals are not
stored separately
(m) Product contact chemicals are not
in their original containers
6.6.2.3 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
6.6.2.4 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
Chemical storage rooms or sheds shall be compliant with
national and local legislation and designed such that there
is no cross-contamination between chemicals, ventilated
to the exterior, provided with appropriate signage
indicating the area is a hazardous storage area, secure and
lockable to restrict access only to those personnel with
formal training in the handling and use of chemicals,
equipped with a detailed and up-to-date inventory of all
chemicals contained in the storage facility, have
instructions on the safe handling of hazardous chemicals
readily accessible to employees. equipped with a detailed
and up-to-date inventory of all chemicals contained in the
storage facility, have suitable first aid equipment and
protective clothing available in the storage area,
emergency shower and/or wash facilities available in the
event of an accidental spill, be designed such that spillage
and drainage from the area is contained.
Petroleum fuels, oils, grease and other lubricants shall be
stored separate from other storage areas.
(M) Chemical storage sheds not
compliant with national and local
legislation
(M) Chemical storage sheds not
designed such that there is no cross-
contamination between chemicals
(m) Chemical storage sheds are not
ventilated to the exterior
(m) Chemical storage sheds are not
provide with appropriate signage
indicating the area is a hazardous
storage area
(M) Chemical storage sheds not secure
and lockable to restrict access only to
those personnel with formal training in
the handling and use of chemicals
(m) Instructions on the safe handling of
hazardous chemicals not readily
accessible to staff
(m) Chemical storage sheds not
equipped with a detailed and up-to-
date inventory of all chemicals
contained in the storage facility
(M) No suitable first aid equipment
available in the storage area
(M) No protective clothing available in
the storage area
(m) No emergency shower and wash
facilities available in the event of spills
(m) Not designed such that spillage
and drainage from the area is
contained
(m) Not equipped with spillage kits
(m) Not equipped with cleaning
equipment
(m) Chemical storage sheds not
compliant with national and local
legislation
(m) Petroleum fuels not stored
separately from other storage areas
(m) Oils not stored separately from
other storage areas
(m) Grease not stored separately from
other storage areas
(m) Other lubricants not stored
separately from other storage areas
6.6.2.5 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
6.6.3.1 Transport
6.6.3.2 Transport
6.7.1.1 Purchasing Medications
6.7.1.2 Purchasing Medications
6.7.1.3 Purchasing Medications
The storage of hazardous chemicals, toxic substances and
petroleum products in areas (separate lockable or
otherwise contained) inside product holding areas is not
acceptable.
The practices applied during loading, transport and
unloading of harvested stock shall be documented and
implemented.
Employees involved in loading, transport and unloading of (M) Employees involved in loading,
harvested stock shall be appropriately trained.
Vaccines and medications shall be purchased from an
approved supplier in accordance with applicable
legislation, and be correctly labeled by the manufacturer.
No medications shall be purchased or used with the
purpose of promoting growth.
An inventory of all aquaculture medications purchased and
used shall be maintained, including in-feed medications.
The producer shall provide proof of purchase for all
medications included in the inventory and used within the
facility.
(m) No provision to ensure hazardous
chemicals are not stored in inside food
handling areas
(m) No provision to ensure hazardous
chemicals are not stored in inside
product storage rooms
(m) No provision to ensure hazardous
chemicals are not stored in inside
ingredient storage rooms
(m) No provision to ensure hazardous
chemicals are not stored in inside
packaging storage rooms
(m) No provision to ensure toxic
substances are not stored in inside
food handling areas
(m) No provision to ensure toxic
substances are not stored in inside
product storage rooms
(m) No provision to ensure toxic
substances are not stored in inside
ingredient storage rooms
(m) No provision to ensure toxic
substances are not stored in inside
packaging storage rooms
(m) No provision to ensure petroleum
products are not stored in inside food
handling areas
(m) No provision to ensure petroleum
products are not stored in inside
product storage rooms
(m) No provision to ensure petroleum
products are not stored in inside
ingredient storage rooms
(m) No provision to ensure petroleum
products are not stored in inside
packaging storage rooms
(m) Practices applied during loading
not implemented
(m) Practices applied during loading,
transport and unloading of animals is
not implemented to maintain
appropriate storage conditions and
product integrity
(m) Practices applied during loading,
transport and unloading of crops is not
implemented to maintain appropriate
storage conditions and product
integrity
transport and unloading are not trained
appropriately
(m) Vaccines are not been purchased
from an Approved Supplier
(m) Medications are not been
purchased from an Approved Supplier
(M) Vaccines are not been purchased
in accordance with applicable
legislation
(M) Medications are not been
purchased in accordance with
applicable legislation
(M) Medicine is used for the purpose of
promoting growth
(m) Medicine was purchased for the
purpose of promoting growth
(m) There is no inventory of all animal
medications purchased and used
(m) The inventory of animal
medications is not maintained
(m) There is no proof of purchase
6.7.2.1 Application of Aquaculture Medicines
6.7.2.2 Application of Aquaculture Medicines
6.7.2.3 Application of Aquaculture Medicines
6.7.2.4 Application of Aquaculture Medicines
6.7.2.5 Application of Aquaculture Medicines
A plan indicating the use of a medication for a target
disease shall be prepared and implemented. All vaccines
and medicines must be used in accordance to label
instructions, including withholding periods.
Off label use of medications shall be approved by a
registered veterinarian.
The person making decisions on administering a
vaccination medication shall demonstrate knowledge of,
and access to, information regarding medications and the
maximum residue levels allowable in destination markets,
competence and knowledge of the various methods of
administering medications and compliance with
withholding periods, maintain a current medication
register and keep records of all medication purchased and
used.
Where veterinary medication is required to be dispensed
in feed, feed shall be separately identified and stored.
Where veterinary medication is required to be dispensed
in water, medicated water shall be separately identified
and stored.
(M) There is no animal health plan
prepared
(M) There is no animal health plan
implemented
(m) Plan does not indicate the vaccine
or medication used for a target disease
(m) Off label use of medications is not
been approved by a registered
veterinarian
(M) The animal health plan has not
been implemented
(M) Off label medications are not
approved
(m) Knowledge of information
regarding chemical application not
demonstrated
(m) Access to information regarding
chemical application not demonstrated
(m) Access to maximum Allowable
Levels in destination markets not
demonstrated
(m) No assurance that only chemicals
approved for use in the intended
market are used
(m) Competence not demonstrated
(m) Knowledge of chemical application
not demonstrated
(m) Knowledge of crop withholding
periods not demonstrated
(m) Applications for target pests and
diseases do not comply with label
recommendations
(m) Application rates for target pests
and diseases do not comply with label
recommendations
(m) Timing between chemical
application and harvest does not
comply with the approved harvest
interval for the chemical applied
(m) No chemical register
(m) Chemical register not current
(m) Chemical register not maintained
(m) No records of all chemicals used
(m) Feed is not separately identified
when dispensed with medication
(m) Water is not separately identified
when dispensed with medication
6.7.2.6 Application of Aquaculture Medicines
6.7.2.7 Application of Aquaculture Medicines
6.7.3.1 Feed Management Plan
6.7.3.2 Feed Management Plan
6.7.3.3 Feed Management Plan
The producer shall dispose of unused animal medications,
expired medications, empty containers and disposable
instruments in accordance with regulatory requirements
and ensure that they are not re-used; and are isolated and
securely stored while awaiting disposal.
Where some or all of the living stock is found to be
infected with a notable disease, the producer shall have a
system in place to quarantine the affected stock and take
appropriate action to treat or dispose of the affected
stock.
Where the producer selects to purchase aquaculture feed,
it shall be purchased from an approved supplier in
accordance with applicable legislation and an agreed
specification. An inventory of all aquaculture feed
purchased and used shall be maintained.
The producer shall implement a feed management plan to
maintain the safety and integrity of all aquaculture feed,
whether purchased, or produced on site. Aquaculture
feed shall meet regulatory requirements and be managed
to minimize the potential for microbiological or chemical
contamination. The feed management plan shall include
the following: preventive controls, corrective actions,
monitoring and verification procedures, corrective actions,
documentation, Feed quality shall be tested to verify that
it complies with the established microbiological and
chemical standard or criteria. Feed analysis shall be
undertaken by an approved laboratory accredited to ISO
17025 or equivalent.
Where aquaculture feed is found to be contaminated or
otherwise unsuitable for use, the producer shall have a
process in place to contain and remove the contaminated
feed so as not to pose a food safety risk to living or
harvested stock, and to clean and sanitize contaminated
silos and equipment.
(M) Chemical waste disposal not in
accordance with regulatory
requirements
(M) Empty chemical container disposal
not in accordance with regulatory
requirements
(m) No assurance that empty chemical
containers are not re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely
stored while awaiting collection
(m) Unused chemicals are not stored
under secure conditions while waiting
authorized disposal by an approved
vendor
(m) Obsolete chemicals are not stored
under secure conditions while waiting
authorized disposal by an approved
vendor
(m) No approved vendor for disposal of
unused chemicals
(m) No approved vendor for disposal of
obsolete chemicals
(M) No system in place to quarantine
stock
(M) Action not taken to treat and/or
dispose of stock
(M) Animal feed is not in accordance
with applicable legislation
(m) Animal feed not purchased from an
Approved Supplier
(m) Inventory of all animal feed
purchased is not maintained
(m) Inventory of all animal feed used is
not maintained
(M) No feed management plan n place
(M) Feed does not meet regulatory
requirements
(m) Feed management plan does not
include preventive controls
(m) Feed management plan does not
include corrective actions
(m) Feed management plan does not
include documentation
(m) Feed quality is not tested
(m) Testing is not undertaken by an
ISO 17025 laboratory
(M) Contaminated feed is not
segregated
(M) Contaminated equipment is not
cleaned
6.7.4.1 Purchase and Use of Chemicals
6.7.4.2 Purchase and Use of Chemicals
6.8.1.1 Living Stock Records
6.8.1.2 Living Stock Records
6.8.1.3 Living Stock Records
6.8.2.1 Feed Identification and Traceability
6.8.2.2 Feed Identification and Traceability
6.8.3.1 Harvested Stock Records
Chemicals shall be purchased from an approved supplier in (M) Chemicals not in accordance with
accordance with applicable legislation. An inventory of all applicable legislation
chemicals purchased and used shall be maintained.
The producer shall dispose of chemical waste and empty
containers in accordance with regulatory requirements
and ensure that empty chemical containers are not re-
used, labeled, isolated and securely stored while awaiting
collection, ensure that unused and obsolete chemicals are
stored under secure conditions while waiting authorized
disposal by an approved vendor.
The aquaculture producer shall maintain a living stock
record which includes current living stock on farm, stock
movement, stock transactions, and stock losses.
Records shall be maintained of living stock purchased and
sold by the producer.
Records shall be maintained of living stock treated with
approved veterinary medications and shall include the
application date and the withholding period for that
medication.
All animal feed and feed additives shall be identified by a
batch identification system and be traceable back to the
source, including name and address of the supplier and the
batch number or manufacturer's identification mark.
The producer shall maintain records of the use of feed and (m) No records are maintained
feed additives.
Records shall be maintained of all harvested fishery
products, including the delivery destination, vendor,
species, lot or batch number, and date of production.
(m) Chemicals not purchased from an
Approved Supplier
(m) Inventory of all chemicals
purchased is not maintained
(m) Inventory of all chemicals used is
not maintained
(M) Chemical waste disposal not in
accordance with regulatory
requirements
(M) Empty chemical container disposal
not in accordance with regulatory
requirements
(m) No assurance that empty chemical
containers are not re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely
stored while awaiting collection
(m) Unused chemicals are not stored
under secure conditions while waiting
authorized disposal by an approved
vendor
(m) Obsolete chemicals are not stored
under secure conditions while waiting
authorized disposal by an approved
vendor
(m) No approved vendor for disposal of
unused chemicals
(m) No approved vendor for disposal of
obsolete chemicals
(M) Living stock record is not
maintained
(m) Living stock record does not
include farm
(m) Living stock record does not
include stock movement
(m) Living stock record does not
include stock transactions
(m) Living stock record does not
include stock losses
(M) Records are not maintained
(M) Records are not maintained
(m) Records do not include application
date
(m) Records do not include withholding
period
(M) Animal feed is not identified by a
batch identification system
(m) Trace back system does not trace
back to the source
(m) Trace back system does not
include name and address of supplier
(m) Trace back system does not
include batch number
(M) Records are not maintained
6.9.1.1 Dry Waste Disposal Waste materials shall be regularly removed from the farm, (m) Responsibility for the effective and
vessel, catch landing areas, fishery storage areas surrounds efficient disposal of all solid waste and
so as not to pose a food safety risk to livestock and other liquid and unsanitary waste not
farm products. implemented
(M) Waste is not managed and is
allowed to accumulate

6.9.1.2 Dry Waste Disposal The responsibility and methods for the effective and (M) Waste is not managed and is
efficient disposal of all solid waste including inedible allowed to accumulate
material and disused packaging, and liquid and unsanitary (M) No documented plan for the
waste shall be documented and implemented. methods to dispose of waste

6.9.1.3 Dry Waste Disposal Areas where solid waste materials are stored shall be kept (m) Areas are not kept clean
clean.
6.9.1.4 Dry Waste Disposal Dead fish shall be stored outside production areas. (C) Animal carcasses for disposal are
Disposal companies shall not pass through the production stored in production
facilities to remove carcasses. (M) Carcass disposal companies cross
through production
6.9.2.1 Liquid Waste Waste water and slurry from ponds shall be disposed of (m) Drainage and waste disposal areas
legally and so as to avoid contamination of water courses contaminate neighboring properties
and neighboring properties.

6.9.2.2 Liquid Waste Untreated waste water and slurry from sewage plants shall (C) Water is not contained
be contained so that it does not contaminate farm ponds
and water courses.

6.9.2.3 Liquid Waste Liquid waste shall be stored in specially designed and (M) Liquid manure was not stored in
constructed watertight containers, so as not to pose a food watertight containers
safety risk to living stock and other farm products.
 Clause
7.1.1.1 Property Location
7.1.1.2 Property Location
7.1.1.3 Property Location
7.1.1.4 Property Location
7.2.1.1 Field and Storage Buildings
7.2.1.2 Field and Storage Buildings
7.2.1.3 Field and Storage Buildings
7.2.2.1 Glasshouses, Hydroponics
7.2.2.2 Glasshouses, Hydroponics
7.2.3.1 Chillers and Cold Storage
7.2.3.2 Chillers and Cold Storage
7.2.3.3 Chillers and Cold Storage
7.2.3.4 Chillers and Cold Storage
7.2.3.5 Chillers and Cold Storage
7.2.3.6 Chillers and Cold Storage
Item
The farm and facilities shall be such that adjacent and
adjoining buildings, operations and land use do not
interfere with the safe and hygienic operations on the
property.
A soil map shall be prepared and risk assessment
conducted to evaluate and document the risk to crops due
to prior land use, adjacent land use, and other
environmental factors including structures and equipment.
Consideration shall be given to the following: history of
land use, topography, adjacent land use, other factors that
may impact on the ability to supply safe product.
The analysis shall be re-evaluated in the event of any
circumstance or change that may impact on the
production of safe product.
Where risks are identified, control measures shall be
implemented to reduce the identified hazards to an
acceptable level.
All buildings used to store equipment, field chemicals, field (M) Buildings used to store equipment are not
packing materials, or field product shall be designed and
constructed so as to permit compliance to good hygiene
practices and avoid product contamination.
Buildings designated to store field product or field product
packing materials shall be of durable construction.
Internal surfaces shall be smooth and impervious with a
light colored finish and shall be kept clean.
Field product contact surfaces shall be constructed of
materials that do not constitute a food safety risk.
Facilities that grow produce indoors shall be designed so
that there is no food safety risk to the product.
A procedure for handling of glass or hard plastic breakages (m) Glasshouses are not included in the glass/ hard
in glasshouses shall be documented and implemented
(refer also 7.8.2).
The producer shall provide confirmation of construction
approvals and the effective operational performance of
any chilling and chill storage facility.
Floors shall be constructed of smooth, dense impact
resistant material that is impervious to liquid and easily
cleaned. Floors shall be effectively graded, to allow the
effective removal of all overflow or waste water under
normal conditions.
Wall, ceilings, doors, frames and hatches shall be of a solid (m) Floors not smooth
construction. Internal surfaces shall be smooth and
impervious with a light colored finish.
Lighting shall be shatter-proof or provided with protective (m) Light fittings are not shatterproof where food is
covers.
Sufficient refrigeration and controlled atmosphere capacity (m) There is not sufficient refrigeration capacity
shall be available to chill or store the maximum anticipated (m) Storage rooms are not cleaned
throughput of product with allowance for periodic cleaning
of storage rooms.
Discharge from defrost and condensate lines shall be
controlled and discharged to the drainage system.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Adjacent and adjoining buildings interfere with the
safe and hygienic operations on the property
(m) Adjacent operations interfere with the safe and
hygienic operations on the property
(m) Adjacent land use interferes with the safe and
hygienic operations on the property
(m) Analysis of the hazards associated with the
farm/ranch or plot location has not been done
(M) Risk assessment has not been conducted
(M) Analysis of the hazards associated with the
farm/ranch or plot location has not been done
(m) History of land use not considered
(m) Topography not considered
(m) Adjacent land use not considered
(m) Other factors that may impact on the ability of the
Producer to supply safe product not considered
(M) Change was noted and the analysis to produce
safe product was not re-evaluated
(M) Control measures were not implemented
(C) Control Measures implemented did not reduce to
acceptable levels
designed to permit good hygiene practices
(C) Building design leads to product contamination
(m) Building is not made of durable construction
(m) Internal surfaces are not smooth
(M) Internal surfaces are constructed of materials that
does not lead to effective cleaning
(m) Product contact surfaces used in the field are
made of materials that could lead to a food safety
incident
(m) Indoor facilities are not adequately designed
(M) Indoor facilities are designed so that a food safety
risk is likely to happen
plastic procedure
(m) Incidents were not documented
(m) Procedure is not implemented
(m) Construction approvals were not available
(m) No confirmation of the effective operational
performance of any chilling and chill storage facility
(m) Floors are not properly constructed
(m) Floors are constructed in a manner that allows
collection of waste water
(m) Floors not dense
(m) Floors not impact resistant
(m) Floors not impervious to liquid
(M) Floors cannot be easily cleaned
(M) Floors cannot be effectively graded
(M) Walls not of a solid construction
(M) Ceilings not of a solid construction
(M) Doors not of a solid construction
(M) Frames not of solid construction
(M) Hatches not of a solid construction
(M) Internal surfaces not smooth
(M) Internal surfaces not impervious
(M) Internal surfaces not with a light colored finish
exposed
(m) Discharge is not controlled
(m) Discharge does not flow to the drainage system
 Clause
7.2.3.7 Chillers and Cold Storage
7.2.3.8 Chillers and Cold Storage
7.2.4.1 Storage of Dry Ingredients, Packaging and Silos used to store seed or food crops shall be constructed
Utensils
7.2.4.2 Storage of Dry Ingredients, Packaging and Storage rooms shall be designed and constructed to allow
Utensils
7.2.5.1 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
7.2.5.2 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
7.2.5.3 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
7.2.5.4 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
7.2.6.1 Vehicles, Equipment and Utensils
7.2.6.2 Vehicles, Equipment and Utensils
7.2.6.3 Vehicles, Equipment and Utensils
7.2.6.4 Vehicles, Equipment and Utensils
7.2.6.5 Vehicles, Equipment and Utensils
7.2.6.6 Vehicles, Equipment and Utensils
Item
Chilling and cold storage facilities shall be fitted with
temperature monitoring equipment or suitable
temperature monitoring device that is located so as to
monitor the warmest part of the room and is fitted with a
temperature gauge that is easily readable and accessible.
Chill and cold storage loading dock areas shall be
appropriately sealed, drained and graded.
of approved materials and designed to remain dry, clean
and free from any dirt residues, so they remain fit for the
purpose, in an acceptable condition, enable safe
fumigation practices and prevent the invasion of pests.
for the separate, hygienic storage of harvesting and
packing utensils away from farm machinery and hazardous
chemicals and toxic substances.
Product contact surfaces on conveyors, harvesting and
processing rigs shall be designed and constructed to allow
for the efficient handling of product and those surfaces in
direct contact with product shall be constructed of
materials that will not contribute a food or feed safety risk.
Food processing equipment including knives, totes, trays,
conveyors, containers and other equipment shall be
constructed of materials that are non-toxic, smooth,
impervious and easily cleaned.
Provision shall be made for the washing and storage of
processing rigs, equipment, conveyors, totes, trays
containers and utensils.
Provision shall be made to store farm machinery separate
from food conveyors, harvesting and processing rigs.
Equipment, vehicles, tools, utensils and other items or
materials used in farming operations that may contact
produce are identified and are in good repair, kept clean
and sanitized, and stored in such a way as to avoid
contamination.
Water tanks shall be cleaned at a sufficient frequency so as (M) Water tanks are not cleaned
not be a source of contamination.
A documented procedure regarding the inspection of food
contact harvest containers and pallets shall be
implemented. The procedure shall include the type and
construction of harvest containers and packing materials.
The use of harvest containers for non-harvest purposes
will be clearly identified and not returned to use for
harvest.  harvest
Vehicles used for the transport of foodstuffs shall be fit for (M) Vehicles used for transportation of foodstuffs are
purpose and shall not be used to carry waste materials,
manure, chemicals or other hazardous substances that
could cause feed contamination without thorough cleaning
and inspection.
Tractors, harvesters, field packing equipment and
machinery driven over ground crops shall be fitted with
drip trays to prevent contamination of the crop by
lubricants and oils.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No temperature monitoring equipment is in place
(m) Temperature monitoring equipment is not located
in the warmest part of the room
(m) Temperature gage is not easily accessible
(m) Storage areas are not appropriate sealed
(m) Storage areas are not graded
(M) Silos not constructed of approved materials
(M) Silos not designed to maintain dry goods in an
acceptable condition
(M) Silos not designed to enable safe fumigation
practices
(M) Silos not designed to prevent the invasion of pests
(m) Harvesting and packing utensils are stored near
farm machinery
(m) Harvesting and packing utensils are stored near
hazardous chemicals and toxic substances
(m) Storage rooms do not allow for separate and
hygienic storing of harvesting and packing utensils
(m) Product contact surfaces are designed for improper
handling of product
(M) Product contact surfaces are constructed with
materials that would contribute to a food safety risk
(m) Processing equipment is constructed from
materials that are not easily cleaned
(M) Processing equipment is made of material that are
hazardous to product safety
(m) There are no provisions made for the washing and
storage of processing equipment
(m) Farm machinery is not separate from food
conveyors
(m) Knives and tools used on produce and product
contact surfaces are not specifically designated for that
purpose
(m) Tools used on produce and product contact
surfaces are not specifically designated for that
purpose
(m) Knives and trimming tools come in contact with
non-produce and/or product contact surfaces
(M) Knives and tools are not cleaned and sanitized
prior to use
(m) Knives and tools are not cleaned at a specified
frequency
(m) Knives and tools are taken to employee vehicles
during break
(m) Knives and tools are stored with employee
personal possessions during harvesting
(C) Water tanks are contaminated
(M) No documented procedure for inspecting harvest
containers and pallets
(m) Procedure does not include the type and
construction
(m) Procedure does not include packaging materials
(M) Non-harvest containers are not clearly identified
(C) Non-harvest containers are returned for use for
also used for other purposes
(M) Equipment and machinery do not protect the
product of the ground crops
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
7.2.7.1 Maintenance Protocol The methods and responsibility for maintenance of (M) Lubricants used on or near product contact
equipment and buildings shall be planned, scheduled and equipment is not food grade
carried out in a manner that prevents any risk of (m) Excessive lubrication is observed on the equipment
contamination of product or equipment. (m) Lubricant used is made out of allergenic
ingredients that is not identified in the allergen
management program

7.2.8.1 Calibration of Equipment
The methods and responsibility for the calibration and re-
calibration of chemical application, measuring, test and
inspection equipment used for monitoring pre-requisite
program and other process controls shall be documented
and implemented.
(M) Calibration methods are not documented
(m) Responsibility for calibration methods are not
documented
(M) Calibration activities are not taken

7.2.8.2 Calibration of Equipment
Equipment shall be calibrated against national or
international reference standards and methods. In cases
where such standards are not available the producer shall
indicate and provide evidence to support the calibration
reference method applied.
(m) Methods for calibration do not reference a national
or international standard
(m) Evidence to support calibration methods are not
available

7.2.8.3 Calibration of Equipment
7.2.8.4 Calibration of Equipment
7.2.9.1 Pest and Vermin Management
Calibration shall be undertaken to an established schedule, (M) Calibration is not being conducted
to recognized standards or to accuracy appropriate to use. (m) There is no calibration schedule
(m) Calibration methods are not appropriate to the use
of the equipment
Calibration records shall be maintained. (m) Records are not maintained
The methods for controlling pest and vermin infestation on (M) There is no documented program outlining how to
the site or facilities shall be documented and control pest and vermin
implemented. The property, storage facilities, machinery (M) Conditions are attracting Pest and vermin to the
and equipment shall be kept free of waste or accumulated property
debris so as not to attract pests and vermin.

7.2.9.2 Pest and Vermin Management
The pest and vermin management program shall describe (M) The program does not describe the methods and
the methods and responsibility for the development, responsibility for the maintenance of the program
implementation and maintenance of the pest and vermin (m) The program does not identify the target pests for
management program, identify the target pests for each each pesticide application
pesticide application, outline the methods used to prevent (m) The program does not outline preventive methods
pest problems, outline the methods used to eliminate (m) The program does not outline the frequency
pests when found, outline the frequency with which pest (m) The program does not include a site identification
status is to be checked, include on a site map the map
identification, location, number and type of bait stations (m) The program does not list the chemicals
set, list the chemicals used (they are required to be (m) Employees are not aware of bait control program
approved by the relevant authority and their Safety Data
Sheets (SDS) made available), outline the methods used to
make employees aware of the bait control program and
the measures to take when they come into contact with a
bait station, outline the requirements for employee
awareness and training in the use of pest and vermin
control chemicals and baits.

7.2.9.3 Pest and Vermin Management
7.2.10.1 Animal Control
Records of pest inspections and pest applications shall be
maintained.
The operation shall have a written risk assessment on
animal activity in and around the production of food or
feed crops that has been implemented and monitored.
(m) There are no records of pest inspections and
application
(M) There is no written risk assessment for animal
activity
(m) The risk assessment has not been implemented
(m) The risk assessment has not been monitored

7.2.10.2 Animal Control Measures shall be in place that excludes domestic and wild (m) There are no measures in place to exclude wild
animals from growing fields, glasshouses, pack houses and and domestic animals
all storage areas.

7.2.11.1 Cleaning and Sanitation
The methods and responsibility for the cleaning of product (M) There is no documented cleaning methods
contact surfaces, field processing equipment and sanitary (m) There is no responsibility for cleaning protocol
facilities shall be documented and implemented. (m) Documented protocol is incomplete
Consideration shall be given to what is to be cleaned, how
it is to be cleaned, when it is to be cleaned, who is
responsible for the cleaning, who is responsible for the
evaluation of the cleaning

7.2.11.2 Cleaning and Sanitation
A schedule shall be prepared indicating the frequency of
verifying the effectiveness of the cleaning of product
contact surfaces, field processing equipment and sanitary
facilities and indicating who is responsible for completing
verification activities.
(m) Schedule for verifying the effectiveness of the
cleaning of product contact surfaces
(m) Schedule does not designate responsibility for
completing verification activities

7.2.11.3 Cleaning and Sanitation A record of cleaning and sanitation activities shall be (m) Sanitation activities are not maintained
maintained.
 Clause
7.3.1.1 Personnel Practices
7.3.1.2 Personnel Practices
7.3.1.3 Personnel Practices
7.3.1.4 Personnel Practices
7.3.1.5 Personnel Practices
7.3.1.6 Personnel Practices
7.3.2.1 Sanitary Facilities and Hand Washing
7.3.2.2 Sanitary Facilities and Hand Washing
7.3.3.1 Protective Clothing
7.3.3.2 Protective Clothing
Item
Personnel engaged in the handling of product shall (M) Personnel engaged in product handling is not
observe appropriate personal practices. Corrective actions observing appropriate personal practices
shall be implemented for personnel who violate food
safety practices.
Personnel suffering from, or are carriers of, an infectious
disease which can be carried with food as a vehicle shall
not engage in growing or product handling or field
processing operation.
A medical screening procedure shall be in place for all
employees, and will also be applicable to all visitors and
contractors.
Personnel with exposed cuts, sores or lesions shall not be
engaged in handling or processing product. Minor cuts or
abrasions on exposed parts of the body shall be covered
with a suitable waterproof dressing.
A written policy shall be in place that specifies the
procedures for handling product or product contact
surfaces that have been in contact with blood or other
bodily fluids.
Smoking, chewing, eating, drinking (except for water) or
spitting is not permitted in any growing areas including on
field processing rigs and during harvesting and packing
operations.
Toilet facilities shall be provided and designed, constructed
and located in a manner that minimizes the potential risk
for product contamination.
i. Toilets shall cater for the maximum number of
employees and be constructed so that they can be easily
cleaned and maintained.
ii. Hand wash basins with clean water, hand soap,
disposable towels or effective hand drying device, waste
bins and a tank that captures used hand wash water for
disposal shall be provided inside or adjacent to toilet
facilities;
iii. Signage in appropriate languages shall be provided
adjacent to hand wash basins instructing people to wash
their hands after each toilet visit.
iv. Racks for protective clothing used by farm employees
shall be provided;
v. Toilets shall be located so as to provide easy access for
farm workers;
vi. Toilet and wash stations shall be maintained in a clean
and sanitary condition.
Personnel shall have clean hands and hands shall be
washed by all personnel before handling product, after
each visit to a toilet, after using a handkerchief, handling
dirty or contaminated material, after smoking, eating or
drinking.
Protective clothing shall be effectively maintained, stored, (m) Clothing is not effectively maintained to protect
laundered and worn so as to protect product from risk of product from risk of contamination
contamination.
Where applicable, clothing, including footwear, shall be (m) Clothing is not effectively laundered so as to
effectively maintained, cleaned and sanitized, and worn so protect product from risk of contamination
as to protect product from risk of contamination.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(C) Personnel who are engaged in growing or product
handling or field processing operation are carriers of an
infectious disease
(M) Medical screening procedure is not in place
(M) Medical screening does not include visitors and
contractors
(C) Personnel with exposed cuts, sores or lesions are
engaged in growing, product handling or processing
product
(m) Minor cuts and abrasions on exposed parts of the
body are not covered with a suitable waterproof
dressing
(M) No written procedure in place
(m) Evidence of smoking, chewing, eating, drinking
observed in growing areas, on processing rigs or
during harvesting and packing operations
(m) Evidence of smoking, chewing, eating, drinking
observed on processing rigs
(m) Evidence of smoking, chewing, eating, drinking
observed during harvesting and packing operations
(C) Toilet facilities not provided
(C) Design of toilet facilities present a food safety
hazard
(C) Construction of toilet facilities present a food safety
hazard
(C) Location of toilet facilities present a food safety
hazard
(M) Toilet facilities not easily accessible to staff
(M) Toilet facilities do not cater for the maximum
number of staff
(M) Toilet facilities not constructed so that they can be
easily cleaned
(M) Toilet facilities not constructed so that they can be
easily maintained
(C) No hand wash basins provided inside or adjacent
to toilet facilities
(M) Signage not in appropriate languages advising
people to wash their hands after each toilet visit
(M) Signage not adjacent to hand wash basins
(M) No racks for field packing staff's protective clothing
provided
(M) Personnel observed in food handling area with dirty
hands
(M) Personnel observed not washing hands upon
entering processing area
(M) Personnel observed not washing hands after using
the toilet
(M) Personnel observed not washing hands after using
a handkerchief
(M) Personnel observed not washing hands after
handling hoses or trash
(M) Personnel observed not washing hands after
eating, drinking, or smoking
(m) Clothing is not effectively worn so as to protect
product from risk of contamination
(m) Clothing is not effectively stored to protect product
from risk of contamination
(m) Clothing is not effectively laundered so as to
protect product from risk of contamination
 Clause Item
7.3.3.3 Protective Clothing If rubber or disposable gloves are used, the operation shall (M) Hand washing practices not followed if rubber or
have a glove use policy and personnel shall adhere to the disposable gloves are used
hand washing practices outlined above.
7.3.4.1 Jewelry and Personal Effects Jewelry and other loose objects that pose a threat to the
safety of the product shall not be worn or taken onto any
growing, product handling or storage operations.
7.3.5.1 Visitors All visitors (including management and maintenance
employees) shall be required to remove jewelry and other
loose objects and wear suitable protective clothing around
product growing, harvesting, or storage areas.
7.3.5.2 Visitors Visitors exhibiting visible signs of illness shall be prevented (m) Visitors exhibiting visible signs of illness are not
from entering any growing or product handling or field
processing operation.
7.3.5.3 Visitors Visitors must follow all personnel practices as designated
by company for employees within various areas of fields,
sheds, packing facilities or storage locations.
7.3.5.4 Visitors Unsupervised children shall not be permitted to enter any (m) Children are permitted to enter packing or storage
harvesting, packing, or food storage areas. areas
7.3.6.1 Amenities Provision shall be made to store employee personal
belongings away from crops, harvesting and field
processing and packing operations, and processing
equipment.
7.3.6.2 Amenities Areas for meal breaks shall be designated and located
away from a food contact/handling zones and processing
equipment.
7.3.6.3 Amenities Drinking water shall be available to all field employees.
7.3.7.1 First Aid First aid facilities shall be available and maintained to treat
minor injuries and suitable arrangements shall be provided
in circumstances when a patient requires more specialized
care.
7.3.7.2 First Aid First aid kits shall be kept in a sanitary and usable
condition.
7.4.1.1 Field Packing Personal Practices Appropriate personnel practices shall be employed by field
packing employees which include: fingernail polish shall
not be permitted where product is handled with bare
hands, aprons and gloves shall be kept clean, aprons and
gloves shall not be left on product, work surfaces,
equipment or packaging material but hung on apron and
glove racks provided, all product and packaging material
shall be kept off the ground and the floor of the transport
vehicle, waste shall be contained in the bins identified for
this purpose. Waste shall not come in contact with
produce and be removed on a regular basis and not left to
accumulate.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Staff in growing, product handling or storage
operations observed wearing jewelry
(m) Evidence of loose objects taken into growing,
product handling or storage operations
(m) Evidence of visitors, management or maintenance
personnel wearing jewelry
(m) Evidence of visitors, management or maintenance
personnel carrying lose objects
(m) Evidence of visitors, management or maintenance
personnel wearing unsuitable clothing
(m) Management are required to remove jewelry
(m) Management are required to remove other loose
objects
prevented from entering any growing, product handling
or processing operation
(m) Visitors exhibiting visible signs of illness are not
prevented from entering any product handling
operation
(m) Evidence of visitors not following the company's
personnel practices
(m) Children are not supervised when in fields
(m) No provision made for the storage of personal
belongings away from crops
(m) No provision made for the storage of personal
belongings away from harvesting operations
(m) No provision made for the storage of personal
belongings away from field processing operations
(m) No provision made for the storage of personal
belongings away from field packing operations
(m) No designated areas for meal breaks
(m) Areas for meal breaks not located away from a
food contact/handling zones
(m) Areas for meal breaks not located away from
processing equipment
(m) Drinking water is not provided to all employees
(m) No first aid facilities
(m) No suitable arrangements provided in
circumstances when a patient requires more
specialized care.
(m) First aid kits are not clean
(m) First aid kits do not have appropriate contents
(m) Evidence of fingernail polish being worn where
product is handled with bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work surfaces,
equipment or packaging surfaces
(m) Gloves are left on product, work surfaces,
equipment or packaging surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the ground
(M) Waste is not contained in the bins identified for this
purpose
(M) Waste is not removed on a regular basis
(M) Waste is left to accumulate
(m) No provision made for the storage of personal
belongings away from field packing operations
 Clause
7.4.1.2 Field Packing Personal Practices
7.4.1.3 Field Packing Personal Practices
7.4.1.4 Field Packing Personal Practices
7.5.1.1 Water System Description
7.5.1.2 Water System Description
7.5.1.3 Water System Description
7.5.2.1 Irrigation Water
7.5.3.1 Treatment of Irrigation Water
7.5.4.1 Water System Risk Assessment
7.5.5.1 Water Management Plan
Item
A written policy regarding the handling and field packaging
of produce, specific to the commodity, shall be
implemented and maintained. The policy shall assure that
damaged or decayed produce is not harvested or culled,
produce that contacts the ground shall not be harvested
(unless that product typically contacts the ground),
measures to inspect for physical hazards and procedures
to remove physical hazards are in place, cloths, towels, or
other cleaning materials that pose a risk of cross-
contamination shall not be used to wipe produce.
Packaging materials shall be appropriate for their intended (M) Packaging materials is contaminated
used and stored in a manner that prevents contamination. (M) Material not designated for packaging was used
A written policy shall be in place that identifies how
packing materials are permitted in direct contact with soil.
Materials that come in contact with the produce shall be
clean and in good repair.
A water description plan shall be prepared that describes
the water sources and the production blocks they serve,
and shall include one or more of the following: maps,
photographs, drawings, or other means to communicate
the location of the water sources, permanent fixtures and
the flow of the water system.
Agricultural water shall be sourced from a location and in a (M) Water source does not comply with prevailing
manner that is compliant with prevailing regulations.
Water System intended to convey untreated human or (C) Waste water system is not separated from
animal waste shall be separated from conveyances utilized agricultural water
to deliver agricultural water.
Agricultural water shall be drawn from a known clean
source or treated to make it suitable for use. The producer
shall conduct an analysis of the hazards to the irrigation
water supply from source through to application, establish
acceptance criteria for the monitoring of water and
validate and verify the integrity of the water used to
ensure it is fit for the purpose.
In circumstances where irrigation water is treated to
render it acceptable, the water, after treatment shall
conform to the microbiological standards as outlined in
element 7.5.5.
An initial risk assessment shall be performed and
documented that takes into consideration the historical
testing results of the water source, the characteristics of
the crop, the stage of the crop, and the method of
application.
Water used for washing and treating product, cleaning
food contact surfaces and mixing sanitizer solutions shall
comply with potable water microbiological and chemical
standards in the country of production. Separate criteria
will be established for irrigation water, frost control,
humidifying, pesticide application, etc. as applicable, based
on the hazard analysis, best practices within country of
production and any applicable legislation. The water
management plan shall include the following: preventive
controls, monitoring and verification procedures,
corrective actions, documentation, Water testing shall be
part of the water management plan, as directed by the
water risk assessment and current industry standards or
regulations for the commodity being grown.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) A written policy for handling and field packing of
produce specific to the commodity is not provided
(M) The written policy was not implemented
(M) The written policy was not maintained
(M) Written procedure does not include how to remove
physical hazards
(C) Damaged product or product that contacted the
ground was harvested
(C) Contaminated cloths were used to wipe produce
(M) No inspection conducted for physical hazards
(M) Materials not clean
(M) Materials not in good repair
(M) No water description plan
(m) Water description plan does not include maps,
photographs or drawings of water sources
(m) Permanent fixtures are not identified
regulations
(M) Irrigation water not drawn from a known clean
source
(C) Irrigation water not treated to make it suitable for
use
(M) No analysis of the hazards to the water supply from
source through to application has been conducted
(M) Integrity of water used has not been validated
(M) Integrity of water used has not been verified
(M) Treated irrigation water did not follow required
standards
(m) Risk assessment is incomplete and does not take
into consideration the historical testing results
(m) Risk assessment is incomplete and does not take
into consideration the characteristics of the crop
(m) Risk assessment is incomplete and does not take
into consideration the stage of the crop
(m) Risk assessment is incomplete and does not take
into consideration the method of application
(m) Water used for washing and treating product does
not comply with potable water microbiological
standards
(m) Water used for cleaning food contact surfaces
does not comply with potable water microbiological
standards
(M) Water used for mixing sanitizer solutions does not
comply with potable water microbiological standards
(m) No separate criteria has been established
(m) Criteria was not established based on a hazard
analysis or best practices
(M) Water used for washing and treating product does
not comply with potable water microbiological
standards
(M) Water used for cleaning food contact surfaces
does not comply with potable water microbiological
standards
(M) Water used for mixing sanitizer solutions does not
comply with potable water microbiological standards
 Clause
7.5.5.2 Water Management Plan
7.5.5.3 Water Management Plan
7.5.6.1 Corrective Actions
7.5.7.1 Ice
7.5.8.1 Harvest Assessment Water/Ice
7.5.8.2 Harvest Assessment Water/Ice
7.6.1.1 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
7.6.1.2 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
Item
Water quality shall be monitored to verify it complies with
the established water microbiological and chemical
standard or criteria established. A verification schedule
shall be prepared indicating the location and frequency of
monitoring, which shall be decided by the hazard analysis,
best practices within country of production, or applicable
legislation. Water analysis shall be undertaken by an
approved laboratory accredited to ISO 17025 or
equivalent.
Water used for hydroponics culture shall be frequently
changed and procedures shall be implemented that
minimizes microbial or chemical contamination. Delivery
systems shall be designed so they can be maintained and
cleaned.
When monitoring shows that water does not meet
established criteria or standard, producer will have a
corrective action plan developed which could include
additional treatment for water, additional sources for
water, product identification and disposition or other
alternative actions to adequately control the identified
hazards.
The producer shall verify that any ice used is made from (M) Ice not made from potable water
water that meets the microbiological and quality standards
as specified in element 7.5.5.
Standard Operating Procedures (SOPs) shall be developed (M) SOPs are not developed
for all uses of water during harvesting of food or feed
products. The SOPs shall address the microbial quality of
water or ice that directly contacts the harvested crop, is
used on food contact surfaces or used to deliver
agricultural chemicals, treatment of re-circulated water, if
used, the condition and maintenance of water-delivery
system, address the control of wash water temperature.
An SOP that includes water-change schedules shall be
developed for all uses of water during harvesting.
Hazardous chemicals, toxic substances, and petroleum
products shall be stored so as not to present a hazard to
employees, product, product handling equipment or areas
in which product is handled, stored or transported.
Product contact chemicals such as pesticides and
herbicides; rodenticides, fumigants and insecticides;
sanitizers and detergents shall be stored separately and in
their original containers.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Water quality is not monitored
(m) A verification has not been prepared
(m) Frequency of monitoring not determined by the
hazard analysis
(m) Water quality is not monitored to verify it complies
with the microbiological standard
(m) No verification schedule indicating the frequency of
monitoring
(m) Water analysis is not conducted by an 17025
accredited lab
(M) Water is not changed
(M) Improper delivery system
(M) Corrective actions are not established
(C) Corrective actions are not appropriate
(M) SOPs do not include microbial requirements
(M) SOP does not include water change schedules
(m) Hazardous chemicals, toxic substance, animal
medicines and petroleum products are stored in
manner hazardous to staff
(m) Hazardous chemicals, toxic substances, animal
medicines and petroleum products are stored in a
manner hazardous to product or product handling
equipment
(m) Hazardous chemicals, toxic substances, animal
medicines and petroleum products are stored in areas
in which product is handled, stored or transported
(m) Product contact chemicals are not stored
separately
(m) Product contact chemicals are in their original
containers
(m) Product contact chemicals are not stored
separately
(m) Product contact chemicals are not in their original
containers
 Clause
7.6.1.3 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
7.6.1.4 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
7.6.1.5 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
7.6.2.1 Transport
7.6.2.2 Transport
7.6.2.3 Transport
7.6.3.1 Transport from Field to Packhouse
7.6.3.2 Transport from Field to Packhouse
Item
Chemical storage sheds shall be compliant with national
and local legislation and designed such that there is no
cross-contamination between chemicals, ventilated to the
exterior, provided with appropriate signage indicating the
area is a hazardous storage area, be secure and lockable to
restrict access only to those personnel with formal training
in the handling and use of chemicals, have instructions on
the safe handling of hazardous chemicals readily accessible
to employees, be equipped with a detailed and up-to-date
inventory of all chemicals contained in the storage facility,
have suitable first aid equipment and protective clothing
available in the storage area, have emergency shower
and/or wash facilities available in the event of an
accidental spill, in the event of a hazardous spill, be
designed such that spillage and drainage from the area is
contained, be equipped with spillage kits and cleaning
equipment.
Petroleum fuels, oils, grease and other lubricants shall be
stored separate from other storage areas.
The storage of hazardous chemicals, toxic substances and
petroleum products in areas (separate lockable or
otherwise contained) inside food handling areas, product
and ingredient and packaging storage rooms is not
acceptable.
The practices applied during loading, transport and
unloading of crops shall be documented, implemented and
designed to maintain appropriate storage conditions and
product integrity.
Crops shall be transported under conditions suitable to (C) Crops are not transported under suitable conditions
maintain integrity and to prevent cross contamination and in order to maintain integrity and prevent cross
spoilage. contamination and spoilage
Employees involved in loading, transport and unloading
events shall be appropriately trained.
A written procedure and checklist to verify cleanliness and (M) Written procedure is not used to verify cleanliness
functionality of shipping units shall be implemented. and functionality
Loading and unloading procedures shall include provisions (M) There are no loading procedures
to minimize damage and prevent contamination to (m) Loading practices damage product
produce.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Chemical storage sheds not compliant with national
and local legislation
(M) Chemical storage sheds not designed such that
there is no cross-contamination between chemicals
(m) Chemical storage sheds are not ventilated to the
exterior
(m) Chemical storage sheds are not provide with
appropriate signage indicating the area is a hazardous
storage area
(M) Chemical storage sheds not secure and lockable to
restrict access only to those personnel with formal
training in the handling and use of chemicals
(m) Instructions on the safe handling of hazardous
chemicals not readily accessible to staff
(m) Chemical storage sheds not equipped with a
detailed and up-to-date inventory of all chemicals
contained in the storage facility
(M) No suitable first aid equipment available in the
storage area
(M) No protective clothing available in the storage area
(m) No emergency shower and wash facilities available
in the event of spills
(m) Not designed such that spillage and drainage from
the area is contained
(m) Not equipped with spillage kits
(m) Not equipped with cleaning equipment
(m) Chemical storage sheds not compliant with national
and local legislation
(m) Petroleum fuels not stored separately from other
storage areas
(m)Oils not stored separately from other storage areas
(m)Grease not stored separately from other storage
areas
(m)Other lubricants not stored separately from other
storage areas
(m) No provision to ensure hazardous chemicals are
not stored in inside food handling areas
(m) No provision to ensure hazardous chemicals are
not stored in inside product storage rooms
(m) No provision to ensure hazardous chemicals are
not stored in inside ingredient storage rooms
(m) No provision to ensure hazardous chemicals are
not stored in inside packaging storage rooms
(m) No provision to ensure toxic substances are not
stored in inside food handling areas
(m) No provision to ensure toxic substances are not
stored in inside product storage rooms
(m) No provision to ensure toxic substances are not
stored in inside ingredient storage rooms
(m) No provision to ensure toxic substances are not
stored in inside packaging storage rooms
(m) No provision to ensure petroleum products are not
stored in inside food handling areas
(m) No provision to ensure petroleum products are not
stored in inside product storage rooms
(m) No provision to ensure petroleum products are not
stored in inside ingredient storage rooms
(m) No provision to ensure petroleum products are not
stored in inside packaging storage rooms
(m) Practices applied during loading not implemented
(m) Practices applied during loading, transport and
unloading of animals is not implemented to maintain
appropriate storage conditions and product integrity
(m) Practices applied during loading, transport and
unloading of crops is not implemented to maintain
appropriate storage conditions and product integrity
(M) Employees involved in loading, transport and
unloading are not trained appropriately
(M) Checklist is not used
 Clause
7.7.1.1 Use of Fertilizers (Soil Amendments)
7.7.1.2 Use of Fertilizers (Soil Amendments)
7.7.1.3 Use of Fertilizers (Soil Amendments)
7.7.1.4 Use of Fertilizers (Soil Amendments)
7.7.2.1 Soil Amendment
7.7.2.2 Soil Amendment
7.7.2.3 Soil Amendment
7.7.3.1 Purchasing Chemicals
Item
Inorganic (chemical) and organic (manure) soil
amendments shall be isolated and stored separately so as
not to pose a food safety risk.
Provision shall be made for the storage of concentrated
and diluted liquid soil amendments in bunded tanks
designed to retain at least 110% of total volume.
Soil amendments shall be stored separate from crop, field (m) Stored soil amendments pose run-off
or irrigation water sources such that contamination from contamination to irrigation water
run off is avoided either by locating of the soil amendment
a suitable distance from the crop or by the utilization of
other physical barriers.
An inventory of all organic and inorganic soil amendment
storage and use shall be maintained.
No raw untreated manure shall be used. Soil amendment
treatment and application methods shall be documented
and implemented and designed to prevent contamination
of product.
Soil amendment protocol shall outline the methods used
to treat manure and other untreated organic fertilizers
ensuring the treatment methods applied inactivate
pathogens in organic soil amendments, a hazard analysis
of organic soil amendments treatment methods is
conducted before use, treatment methods are validated
and treatments of organic soil amendments are verified as
being in compliance with the method applied, reat manure
and other untreated organic fertilizers ensuring records of
the validation and verification of organic soil amendment
treatments are maintained.
Soil amendment protocol shall outline the methods to
ensure organic soil amendment applications are timed to
pose minimum risk to product safety and human health
including: all applications of soil amendments are in
accordance with national or local guidelines, best practices
and codes of Good Agricultural Practice, equipment used
for soil amendment application is maintained in good
condition and calibrated to ensure accurate application,
records of all equipment maintenance and calibration are
maintained, signage complies with national and local codes
of practice, sufficient data is recorded to provide a detailed
record of soil amendment applications.
Only checmicals approved for use in the country of
production and the country of destination shall be
purchased. Purchased chemicals shall be labeled with the
active ingredient (s), applicable dosage rates, and
application instructions. Where no regulations or partial
regulations government the use of chemicals. the supplier
shall have a documented risk assessment on the
justification for use of non-regulated chemicals.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Inorganic soil amendments not isolated
(m) Inorganic soil amendments not stored separately
(m) Organic soil amendments not isolated
(m) Organic soil amendments not stored separately
(m) Inorganic soil amendments pose food safety risk
(m) Organic soil amendments pose food safety risk
(M) No provision for the storage of concentrated and
diluted liquid soil amendments in tanks designed to
retain at least 110% of total volume
(m) No inventory of organic soil amendments stored is
maintained
(m) No inventory of organic soil amendments used is
maintained
(m) No inventory of inorganic soil amendments stored
is maintained
(m) No inventory of inorganic soil amendments used is
maintained
(C) Use of raw untreated human sewage not prohibited
(M) Soil amendment treatment methods not
implemented
(M) Soil amendment application methods not
implemented
(M) Treatment methods not designed to prevent
contamination of product
(M) Application methods not designed to prevent
contamination of product
(m) Soil amendment treatment methods not
documented
(m) Soil amendment application methods not
documented
(M) Soil amendment protocol does not outline the
methods used to treat manure
(M) Soil amendment protocol does not outline the
methods used to treat untreated organic fertilizers
(M) Treatment methods applied do not inactivate
pathogens in organic soil amendments
(M) No hazard analysis of organic soil amendments
treatment methods is conducted before use
(M) Treatment methods are not validated
(M) Treatments of organic soil amendments are not
verified
(m) Validation records not maintained
(m) Verification records not maintained
(M) Application methods are not timed to pose
minimum risk to product safety
(M) Application methods are not timed to pose
minimum risk to human health
(M) Applications of soil amendments are not in
accordance with National or Local Guidelines and
Codes of Good Agricultural Practice
(m) Equipment used for soil amendment application is
not maintained in good condition
(m) Equipment used for soil amendment application is
not calibrated to ensure accurate application
(m) Records of all equipment maintenance are not
maintained
(m) Records of all equipment calibration are not
maintained
(m) Signage does not comply with National & Local
Codes of Practice
(m) Sufficient data is not recorded to provide a detailed
record of soil amendment applications
(M) Chemicals not in accordance with applicable
legislation
(m) Chemicals not purchased from an Approved
Supplier
(m) Inventory of all chemicals purchased is not
maintained
(m) Inventory of all chemicals used is not maintained
 Clause
7.7.3.2 Purchasing Chemicals
7.7.3.3 Purchasing Chemicals
7.7.4.1 Agricultural Chemicals
7.7.4.2 Agricultural Chemicals
7.7.4.3 Agricultural Chemicals
7.7.4.4 Agricultural Chemicals
7.7.4.5 Agricultural Chemicals
7.8.1.1 Pre-harvest Assessment
7.8.1.2 Pre-harvest Assessment
Item
Chemicals that are specifically banned for use in the
country of production or the country of destination shall
not be purchased or stored.
An inventory of all chemicals purchased and used shall be
maintained.
A crop protection action plan indicating the applications
used for a target pest or disease and the threshold levels
that initiate application shall be prepared and
implemented.
If product is intended for export, agricultural chemical use (M) Chemicals of the country for export are not
shall consider requirements in the intended country of
destination.
The person making decisions on chemical application shall
demonstrate knowledge of, and access to, information
regarding chemical applications and the maximum residue
limits allowable in destination markets, use only chemicals
approved for cultivation of specific fruits and vegetables,
and approved for use in the intended market, demonstrate
competence and knowledge of chemical application and
crop withholding periods, ensure crop applications and
application rates for target pests and diseases comply with
label recommendations, demonstrate the timing between
chemical application and harvest complies with the
approved harvest interval for the chemical applied,
maintain a current chemical register and keep records of
all chemicals use. Records of chemical use shall include
the date of application, the chemical used, the crop
sprayed, the concentration, method and frequency of
application.
Only biological controls that are authorized for the
cultivation of the specific fruit or vegetable shall be used,
and in accordance with label instructions.
The producer shall dispose of chemical waste and empty
containers in accordance with regulatory requirements
and ensure that empty chemical containers are not re-
used, labeled, isolated and securely stored while awaiting
collection, unused and obsolete chemicals are stored
under secure conditions while waiting authorized disposal
by an approved vendor.
A pre-harvest risk assessment procedure shall be in place (M) Pre-harvest risk assessment not conducted
that describes when the assessments performed and
identifies those conditions that may be reasonably likely to to result in contamination
result in physical, chemical, or biological contamination.
Knives and cutting instruments used in harvesting
operations shall be controlled, and kept clean and well
maintained.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No crop protection action plan
(m) Plan does not indicate the applications used for a
target pest or disease
(m) Threshold levels that initiate application are not
prepared
(m) Threshold levels that initiate application are not
implemented
(m) Plan does not indicate the vaccine or medication
used for a target disease
(M) Crop protection action plan is not implemented
considered
(m) Knowledge of information regarding chemical
application not demonstrated
(m) Access to information regarding chemical
application not demonstrated
(m) Access to maximum Allowable Levels in
destination markets not demonstrated
(m) No assurance that only chemicals approved for use
in the intended market are used
(m) Competence not demonstrated
(m) Knowledge of chemical application not
demonstrated
(m) Knowledge of crop withholding periods not
demonstrated
(m) Applications for target pests and diseases do not
comply with label recommendations
(m) Application rates for target pests and diseases do
not comply with label recommendations
(m) Timing between chemical application and harvest
does not comply with the approved harvest interval for
the chemical applied
(m) No chemical register
(m) Chemical register not current
(m) Chemical register not maintained
(m) No records of all chemicals used
(M) Biological controls not used for the specific
commodity
(M) Label instructions are not being followed
(M) Chemical waste disposal not in accordance with
regulatory requirements
(M) Empty chemical container disposal not in
accordance with regulatory requirements
(m) No assurance that empty chemical containers are
not re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely stored while
awaiting collection
(m) Unused chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) Obsolete chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) No approved vendor for disposal of unused
chemicals
(m) No approved vendor for disposal of obsolete
chemicals
(M) Risk assessment does not identify conditions likely
(m) Knives and tools used on produce and product
contact surfaces are not specifically designated for that
purpose
(m) Tools used on produce and product contact
surfaces are not specifically designated for that
purpose
(m) Knives and trimming tools come in contact with
non-produce and/or product contact surfaces
(M) Knives and tools are not cleaned and sanitized
prior to use
(m) Knives and tools are not cleaned at a specified
frequency
 Clause
7.8.1.3 Pre-harvest Assessment
7.8.2.1 Foreign Matter and Glass Procedures
Item
A written policy regarding the storage of harvesting
containers shall be implemented and maintained.
The methods used to prevent foreign matter and glass
contamination of product shall be documented and
implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No policy in place
(M) Methods used to prevent foreign matter and glass
contamination of product not implemented
(M) Methods used to prevent foreign matter and glass
contamination of product not implemented
(m) Methods used to prevent foreign matter and glass
contamination of product not documented

7.8.2.2 Foreign Matter and Glass Procedures
Containers, equipment and other utensils made of glass,
porcelain, ceramics, brittle plastic or other like material
shall not be permitted where exposed product is handled
unless an effective foreign material and glass protocol is
documented and implemented.
(M) Evidence of equipment made of glass, porcelain,
ceramics, brittle plastic or other like material in areas
where exposed product is handled
(M) Evidence of containers made of glass, porcelain,
ceramics, brittle plastic or other like material in areas
where exposed product is handled

7.8.2.3 Foreign Matter and Glass Procedures
Regular inspections shall be conducted to ensure food
handling/contact zones areas are free of glass and brittle
plastic and employees are to be made aware of their
responsibility to adhere to the organization's Foreign
Matter and Glass Protocol.
(M) No regular inspections conducted to ensure food
handling/contact zones areas are free of glass and
brittle plastic
(M) Staff is not made aware of their responsibility to
adhere to the company Foreign Matter and Glass
Protocol

7.8.2.4 Foreign Matter and Glass Procedures
Glass covered instrument dial covers shall be checked at
the start and finish of each shift to ensure their covers
have not been damaged.
(m) Glass instrument covers are not checked at the
start of each shift to ensure glass has not been
damaged
(m) Glass instrument covers are not checked at the
end of each shift to ensure glass has not been
damaged

7.9.1.1 Dry, Liquid and Unsanitary Waste Disposal Waste shall be regularly removed from the farm, field,
packing facility and the surrounds so as not to pose a food
safety risk to finished product or growing, harvesting and
packing operations.
(m) Responsibility for the effective and efficient
disposal of all solid waste and liquid and unsanitary
waste not implemented
(M) Waste is not managed and is allowed to
accumulate

7.9.1.2 Dry, Liquid and Unsanitary Waste Disposal The responsibility and methods for the effective and (M) Waste is not managed and is allowed to
efficient disposal of all solid waste including inedible accumulate
material and disused packaging, and liquid and unsanitary (M) No documented plan for the methods to dispose of
waste shall be documented and implemented. waste

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100

Clause
7H.1.1 .1 Field History and Assessment
7H.1.1 .2 Field History and Assessment
7H.1.1 .3 Field History and Assessment
7H.1.1 .4 Field History and Assessment
7H.1.1 .5 Field History and Assessment
7H.1.2.1 Cold Storage and Air
7H.1.2.2 Cold Storage and Air
7H.1.2.3 Cold Storage and Air
7H.1.3.1 Toilet/Handwashing Facilities
7H.1.3.2 Toilet/Handwashing Facilities
7H.1.3.3 Toilet/Handwashing Facilities
7H.1.3.4 Toilet/Handwashing Facilities
7H.1.3.5 Toilet/Handwashing Facilities
7H.1.3.6 Toilet/Handwashing Facilities
7H.1.3.7 Toilet/Handwashing Facilities
7H.1.3.8 Toilet/Handwashing Facilities
Primary
Item Secondary Responses Response Evidence Supplier Onsite Correction
The food safety plan shall, initially and at least annually thereafter,
evaluate and document the risks associated with land use history and
adjacent land use including equipment and structures.
When land use history or adjacent land use indicates a possibility of
physical, chemical or biological contamination, preventive controls shall
be performed and documented to mitigate food safety risk.
The assessment is re-performed, and documented, at least annually for
environmental conditions or risk awareness that has changed since the
last assessment. The assessment shall include indoor growing facilities
and structures such as green houses and hydroponics.
For indoor growing and field storage facilities, facility shall be designed,
constructed and maintained in a manner that prevents contamination
of produce
Facility and equipment structures and surfaces (floors, walls, ceilings,
doors, frames, hatches, etc) shall be constructed in a manner that
facilitates cleaning and sanitation and does not serve as harborage for
contaminants or pests.
Chill and cold storage loading dock areas shall be appropriately sealed,
drained and graded. Fixtures, ducts, pipes and overhead structures shall
be installed and maintained so that drips and condensation do not
contaminate produce, raw materials or food contact surfaces. Water
from refrigeration drip pans shall be drained and disposed of away from
product and product contact surfaces.
Drip pans and drains shall be designed to assure condensate does not
become a source of contamination.
Air intakes shall not be located near potential sources of contamination.
Operation shall have a policy for toilet, hygiene, and health. Each
operation shall establish written policies for their specific operations,
which shall be compliance with prevailing regulations for Worker
Health and Hygiene Practices.
Employees and visitors shall follow all personal hygiene practices as
designated by the operation.
Operation’s hygiene policies shall apply to all employees, contractors,
visitors, buyers, product inspectors, auditors, and other personnel in
the field.
The operation shall designate competent supervisory personnel to
ensure compliance by all workers, visitors, and field personnel with the
requirements in this section.
Toilet facilities shall be designed, constructed, and located in a manner
that minimizes the potential risk for product contamination and are
directly accessible for servicing.
Toilet and handwashing facilities are situated during operation and
servicing, and maintained so as not to pose a hazard to the produce or
other opportunity for contamination.
Toilet facilities shall be of adequate number, easily accessible to
employees and in compliance with applicable regulation. The operation
will have verification that the number of toilet facilities and their
location relative to employees meets the more stringent of federal,
state or local regulations.
Toilet and wash stations shall be maintained in a clean and sanitary
condition. Toilet paper shall be available in toilet facility. Wash stations
shall be located with the field sanitation units and include:
i. Hand wash facilities with water that meets the microbial standard for
drinking water,
ii. Hand soap, disposable towels or other hand drying device,
iii. Towel disposal container, and
iv. A tank that captures used hand wash water for disposal.
These stations shall be provided inside or adjacent to toilet facilities.

Clause
7H.1.3.9 Toilet/Handwashing Facilities
7H.1.3.10 Toilet/Handwashing Facilities
7H.2.1.1 Protective Clothing
7H.2.1.2 Protective Clothing
7H.2.1.3 Protective Clothing
7H.2.1.4 Protective Clothing
7H.2.2.1 Jewelry and Personnel Effects
7H.2.2.2 Jewelry and Personnel Effects
7H.2.2.3 Jewelry and Personnel Effects
7H.2.2.4 Jewelry and Personnel Effects
7H.2.2.5 Jewelry and Personnel Effects
7H.2.2.6 Jewelry and Personnel Effects
7H.2.2.7 Jewelry and Personnel Effects
7H.2.3.1 Amenities
7H.2.3.2 Amenities
Primary
Item Secondary Responses Response Evidence Supplier Onsite Correction
Personnel shall wash their hands at any time when their hands may be
a source of contamination. Personnel shall wash their hands: Prior to
start of work, After each visit to a toilet, After using a
handkerchief/tissue After handling contaminated material, After
smoking, eating, or drinking, After breaks and prior to returning to
work, and Any other time when their hands may have become a source
of contamination.
Signage requiring handwashing is posted. Signage in applicable
languages and/or pictures shall be provided adjacent to hand wash
facilities requiring people to wash their hands after each toilet visit.
Clothing, including footwear, shall be effectively maintained and worn
so as to protect product from risk of contamination. Operation shall
have a policy that employee clothing shall be clean at the start of the
day and appropriate for the operation.
If gloves are used, the operation shall have a glove use policy. If rubber,
disposable, cloth or other gloves are used in contact with product, the
operation shall have a glove use policy that specifies how and when
gloves are to be used, cleaned, replaced and stored. Policy shall be in
compliance with current industry practices or regulatory requirements
for that commodity.
Protective clothing, when required, shall be maintained, stored,
laundered and worn so as to protect product from risk of
contamination. If protective clothing is used in proximity to product,
the operation shall have a policy or procedures for how and when
protective clothing are to be used, cleaned, replaced and stored. Policy
shall be in compliance with current industry practices or regulatory
requirements for that commodity.
When appropriate, racks and/or storage containers or designated
storage areas for protective clothing and tools used by employees shall
be provided. When employees wear protective clothing, such as aprons
and gloves, the Operation shall have a policy for how the clothing and
tool shall be stored when not in use so as to avoid potential
contamination.
The wearing of jewelry, body piercing and other loose objects (e.g. false
nails) shall be in compliance to company policy and applicable
regulation. Operation shall have a policy that personal effects such as
jewelry, watches or other items shall not be worn or brought into fresh
fruit and vegetable production areas if they pose a threat to the safety
and suitability of the food. Policy shall be in compliance with current
industry practices or regulatory requirements for that commodity.
The use of hair coverings shall be in compliance to company policy and
applicable regulation.
The Operation shall have a policy that addresses use of hair coverings
(e.g., hair nets, beard nets, caps), which is in compliance with prevailing
regulation.
Employee’s personal belongings shall be stored in designated areas.
Operation shall have a policy for when and how employee’s personal
belongings shall be stored so as not to be a source of product
contamination.
Smoking, chewing, eating, drinking (other than water), urinating,
defecating or spitting is not permitted in any growing areas.
Operation shall have policy prohibiting smoking, eating, chewing gum
or tobacco, drinking other than water except in designated areas. Such
areas shall be designated so as not to provide a source of
contamination.
Operation shall have policy prohibiting urinating or defecating in any
growing area.
Operation shall have a written policy that break areas are located so as
not to be a source of product contamination.
Break areas shall be designated and located away from food
contact/handling zones and production equipment.
 Primary
Clause Item Secondary Responses Response Evidence Supplier Onsite Correction
7H.2.3.3 Amenities Drinking water shall be available to all field employees. Drinking water,
which meets drinking water standards, shall be easily accessible to field
personnel and in compliance with applicable regulation.

7H.2.3.4 Amenities Bottled water or potable drinking water stations with single-use cups
and a trash receptacle shall be available to all field employees.

7H.2.4.1 Personnel Practices
Workers and field personnel who show signs of illness shall be
restricted from direct contact with product of food contact surfaces.
Operation shall have a written policy that restricts personnel who show
signs of illness (e.g., vomiting, jaundice, and diarrhea) from contact with
product or food contact surfaces. Policy shall require that any person so
affected immediately report illness or symptoms of illness to the
management.

7H.2.4.2 Personnel Practices
7H.2.4.3 Personnel Practices
Personnel with exposed cuts, sores or lesions shall not be engaged in
handling product.
Minor cuts or abrasions on exposed parts of the body are acceptable if
covered with a non-permeable covering, bandage or glove. Bandages
on hands shall be covered with gloves in compliance with operation’s
glove policy.

7H.2.4.4 Personnel Practices Operation shall have a blood and bodily fluids policy. There shall be a
written policy specifying the procedures for the handling/disposition of
food or product contact surfaces that have been in contact with blood
or other bodily fluids.

7H.2.5.1 First Aid First aid kits shall be accessible to all personnel. The kits shall be readily
available in the vicinity of field work and maintained in accordance with
prevailing regulation. The kit materials shall be kept in a sanitary and
usable condition.

7H.3.1.1 Agricultural Chemicals/Plant Protection
Products
Use of agricultural chemicals shall comply with label directions and
prevailing regulation. Agricultural chemicals, including post-harvest
chemicals such as biocides, waxes and plant protection products, must
be registered for such use as required by prevailing regulation, and
used in accordance with label directions including application rates,
worker protection standards, personal protection equipment, container
disposal, storage, and all requirements specified for the chemical or
compound.
Records of agricultural use are maintained.

7H.3.1.2 Agricultural Chemicals/Plant Protection
Products
If product is intended for export, agricultural chemical use, including
post-harvest chemicals, shall consider requirements in the intended
country of destination. The operation shall have procedures, such as
pre-harvest interval and application rate, sufficient to meet the MRL
entry requirements of the country (ies) in which the product is intended
to be traded, if known during production.

7H.3.1.3 Agricultural Chemicals/Plant Protection Agricultural chemicals shall be applied by trained, licensed or certified
Products application personnel, as required by prevailing regulation.

7H.3.1.4 Agricultural Chemicals/Plant Protection Operation maintains records demonstrating that all personnel
Products responsible for chemical applications are trained and/or licensed
personnel, in compliance with prevailing regulation.

7H.3.1.5 Agricultural Chemicals/Plant Protection
Products
Water used with agricultural chemicals shall not be a source of product
or field contamination. Water used to dilute or deliver agricultural
chemicals shall be from a source in compliance with the water system
risk assessment and water management plan, consistent with current
industry practices or regulatory requirements for that commodity.

7H.3.1.6 Agricultural Chemicals/Plant Protection Agricultural chemical disposal shall not be a source of product or field
Products contamination. Operation shall have procedures for disposal of waste
agricultural chemicals and for cleaning of application equipment that
protects against contamination of product and growing areas.
 Primary
Clause Item Secondary Responses Response Evidence Supplier Onsite Correction
7H.3.2.1 Animal Control The operation has a written risk assessment on animal activity in and
around the production area. There shall be a written assessment of the
growing fields and adjacent land, prior to each growing season,
focusing on domestic and wild animal activity including grazing and
feeding operations, noting crop characteristics, type and approximate
number of animals, proximity to the growing field, water sources, and
other relevant factors.

7H.3.2.2 Animal Control The operation routinely monitors for animal activity in and around the
growing area during the growing season.
7H.3.2.3 Animal Control There shall be scheduled monitoring of growing fields and adjacent land
for evidence of animal activity. A frequency of monitoring and
assessment shall be established based on production factors, such as
the crop, geography, and other conditions.

7H.3.2.4 Animal Control Based on the risk assessment, there shall be measures to prevent or
minimize the potential for contamination from animals, including
domestic animals used in farming operation. The operation shall have
risk-appropriate actions to prevent or minimize the potential for
contamination of produce with pathogens from animal feces, including
from domestic animals used in farming operations

7H.3.2.5 Animal Control There shall be a written record of any mitigation or corrective actions.
Preventive measures and corrective actions shall comply with all local,
state and federal regulations concerning animal control and natural
resource conservation.

7H.3.3.1 Soil Amendments The food safety plan shall address soil amendment risk, preparation
use, and storage.

7H.3.3.2 Soil Amendments If animal-based soil amendments or bio solids are used, records of
composition, dates of treatment, methods utilized and application
dates must be documented. Evidence of processing adequate to
eliminate pathogens of human concern shall be documented, such as a
Letter of guarantee,
Certificate of analysis (COA) or any test results, or Verification data
(e.g., time and temperature) demonstrating compliance with process,
or Microbial standards.
Such soil amendments must be produced and applied in accordance
with applicable federal, state, or local regulations.

7H.3.3.3 Soil Amendments If a soil amendment containing raw or incompletely treated manure is
used, it shall be used in a manner so as not to serve as a source of
contamination of produce. If such a product is used, there shall be
documentation of the composition, and time and method of
application. Such use will be consistent with current industry practices
or regulatory restrictions for that commodity.

7H.3.4.1 Vehicles, Equipment, Tools and Utensils
Equipment, vehicles, tools utensils and other items or materials used in
farming operations that may contact produce are identified. Operation
maintains a list of equipment, vehicles, tools, utensils and other items
or materials that may pose a risk of produce contamination during
normal use.

7H.3.4.2 Vehicles, Equipment, Tools and Utensils
Equipment, vehicles, tools and utensils used in farming operations
which come into contact with product are in good repair, and are not a
source of contamination of produce. The operation shall develop,
implement, and schedule repair, cleaning, sanitizing, storage and
handling procedures of all food contact surfaces to reduce and control
the potential for contamination. As necessary for food safety, vehicles
and equipment shall be properly calibrated, operated, maintained, and
used as intended.

7H.3.4.3 Vehicles, Equipment, Tools and Utensils Equipment traffic flow is prevented from traveling through an
untreated manure area into the harvesting field. These procedures shall
be documented.

Clause
7H.3.4.4 Vehicles, Equipment, Tools and Utensils
7H.3.4.5 Vehicles, Equipment, Tools and Utensils
7H.3.4.6 Vehicles, Equipment, Tools and Utensils
7H.3.5.1 Cleaning and Sanitation
7H.3.5.2 Cleaning and Sanitation
7H.3.5.3 Cleaning and Sanitation
7H.3.5.4 Cleaning and Sanitation
7H.4.1.1 Water System Description
7H.4.1.2 Water System Description
7H.4.1.3 Water System Description
7H.4.1.4 Water System Description
7H.4.1.5 Water System Description
7H.4.2.1 Water System Risk Assessment
7H.4.2.2 Water System Risk Assessment
Primary
Item Secondary Responses Response Evidence Supplier Onsite Correction
Product contact tools, utensils and equipment shall be made of
materials that can be cleaned and sanitized. Procedures include
equipment and vehicles that are in the field infrequently.
Vehicles, equipment, tools and utensils shall be controlled so as not to
be A source of chemical hazards, and/or A source of physical hazards.
Operation shall have a written procedure to address the spills and leaks
(fuel, oil, hydraulic fluids) which might occur during equipment
operation in the field, and/or a glass and brittle plastic policy that
addresses glass on production equipment and in growing area.
Inspections performed in compliance with the policy shall be
documented.
Cleaning and sanitizing procedures do not pose a risk of product
contamination.
Equipment cleaning and sanitizing operations shall be conducted away
from the product and other equipment to reduce the potential for
contamination.
Water used for cleaning and sanitizing shall meet the microbial
standards for drinking water
Water tanks are cleaned at a sufficient frequency so as not to be a
source of contamination. There shall be a written procedure for
cleaning water tanks, such as those used for dust control, the water
from which may contact produce in the field.
A water system description shall be available for review.
Water sources and the production blocks they may serve shall be
documented and current. The description shall include one or more of
the following: Maps, Photographs, Drawings (hand drawings are
acceptable), or other means to communicate the location of water
sources, Permanent fixtures and the flow of the water system
(including holding systems, reservoirs or any water captured for re-use).
Permanent fixtures include wells, gates, reservoirs, valves returns and
other above ground features that make up a complete irrigation system
shall be documented in such a manner as to enable location in the field.
The water source shall be in compliance with prevailing regulations.
Agricultural water shall be sourced from a location and in a manner
that is compliant with prevailing regulations.
Agricultural water systems shall not be cross-connected with human or
animal waste systems.
Water systems intended to convey untreated human or animal waste
shall be separated from conveyances utilized to deliver agricultural
water.
An initial risk assessment shall be performed and documented that
takes into consideration the historical testing results of the water
source, the characteristics of the crop, the stage of the crop, and the
method of application.
A review or new assessment shall be conducted seasonally and any
time there is a change made to the system or a saturation occurs that
could introduce an opportunity to contaminate the system. The risk
assessment shall address potential physical, chemical, and biological
hazards and hazard control procedures for the water distribution
system.

Clause
7H.4.3.1 Water Management Plan
7H.4.3.2 Water Management Plan
7H.4.3.3 Water Management Plan
7H.4.3.4 Water Management Plan
7H.4.3.5 Water Management Plan
7H.4.3.6 Water Management Plan
7H.5.1.1 Preharvest Assessment
7H.5.1.2 Preharvest Assessment
7H.5.2.1 Water/Ice
7H.5.2.2 Water/Ice
7H.5.2.3 Water/Ice
7H.5.2.4 Water/Ice
7H.5.2.5 Water/Ice
Primary
Item Secondary Responses Response Evidence Supplier Onsite Correction
There shall be a water management plan to mitigate risks associated
with the water system on an ongoing basis. The water management
plan shall include the following:
Preventive controls,Monitoring and verification procedures, Corrective
actions, and Documentation.
The plan shall be reviewed following any changes made to the water
system risk assessment and adjusted accordingly to incorporate such
changes.
Training and/or retraining of personnel having oversight or
performance duties shall be documented.
Water testing shall be part of the water management plan, as directed
by the water risk assessment and current industry standards or
prevailing regulations for the commodities being grown.
As required, there shall be a written procedure for water testing during
the production and harvest season, which includes frequency of
sampling, who is taking the samples, where samples is taken, how the
sample is collected, type of test and acceptance criteria.
If all agricultural water is sourced from a municipal source, the
municipal testing shall suffice. The frequency of testing and point of
water sampling shall be determined based on the risk assessment and
current industry standards for commodities being produced.
The testing program shall be implemented consistent with the water
management plan. Testing shall be performed and documented
according to procedures described in the water management plan.
A preharvest risk assessment shall be performed. The Operation shall
have a preharvest assessment procedure, which describes when the
assessment is performed and that it includes an evaluation of
conditions that may be reasonably likely to result in physical, chemical,
or biological contamination of the produce, and demonstrates that the
operation is in compliance with the food safety plan.
Results of the evaluation shall be documented.
Operation has procedures for water used in contact with product of
food contact surfaces. Standard Operating Procedures (SOPs), including
water-change schedules, shall be developed for all uses of water.
Microbial and/or physical/chemical (e.g., test strips) testing shall be
performed, as appropriate to the specific operation, to demonstrate
that acceptance criteria have been met.
Water use SOPs address the microbial quality of water or ice that
directly contacts the harvested crop or is used on food-contact
surfaces. If water or ice directly contacts the harvested crop or is used
on food-contact surfaces, such as in the field, as the final wash step
prior to consumer packaging, or as a cooling aid in a consumer package,
operation’s water use SOP requires that water or ice when applied
meets the microbial standards meets the microbial standards for
drinking water, as defined by prevailing regulation.
Water may be treated (e.g., with chlorine) to achieve the microbial
standards or to prevent cross-contamination. Ice and water shall be
sourced/manufactured, transported, and stored under sanitary
conditions.
Special considerations or variances may be appropriate for some crops,
e.g. cranberries and watercress, where deliberate flooding of the field is
part of production and harvest practices.

Clause
7H.5.2.6 Water/Ice
7H.5.2.7 Water/Ice
7H.5.3.1 Container, Bins and Packaging Materials
7H.5.3.2 Container, Bins and Packaging Materials
7H.5.3.3 Container, Bins and Packaging Materials
7H.5.3.4 Container, Bins and Packaging Materials
7H.5.3.5 Container, Bins and Packaging Materials
7H.5.4.1 Field Packaging and Handling
7H.5.4.2 Field Packaging and Handling
7H.5.4.3 Field Packaging and Handling
7H.5.4.4 Field Packaging and Handling
7H.5.4.5 Field Packaging and Handling
7H.5.4.6 Field Packaging and Handling
7H.5.4.7 Field Packaging and Handling
Primary
Item Secondary Responses Response Evidence Supplier Onsite Correction
Water use SOPs shall: Address treatment of re-circulated water, if used;
Require re-circulated water to be treated using an approved
antimicrobial to prevent it from becoming a source of contamination,
according to prevailing regulation or industry specific standards for the
commodity; Address condition and maintenance of water-delivery
system, which shall be maintained so as not to serve as a source of
contamination of produce, water suppliers or equipment with
pathogens, or to create an unsanitary condition; Control of wash water
temperature, if applicable.
For produce demonstrated as being susceptible to microbial infiltration
from wash water, wash water temperature differentials during
immersion shall be considered.
Operation has written policy regarding: Storage of harvesting
containers; Inspection of food contact containers prior to use;
Acceptable harvesting containers and; Prohibiting use of harvest
containers for non-harvest purpose
Harvesting containers shall be stored in a manner so as not to serve as
a source of contamination to the extent feasible and appropriate
Food-contact totes, bins, packing materials, other harvest containers,
and pallets shall be visually inspected, clean, intact and free of any
foreign materials prior to use. Containers shall be sufficiently
maintained so as not to become a source of contamination.
Food-contact totes, bins and other harvest containers designated for
harvesting shall not be used for other purposes unless clearly marked
or labeled for that purpose.
The types and construction of harvest containers and packing materials
shall be appropriate to the commodity being harvested and suited for
their intended purpose.
Operation shall have a written policy that damaged or decayed produce
is not harvested, or is culled.
Employees are trained that only sound produce appropriate for the
intended use is harvested, and that produce that has been damaged to
an extent that it poses a microbial food safety hazard is not harvested
or is culled.
Product that contacts the ground shall not be harvested unless the
product normally grows in contact with the ground. Operation has
considered and developed written policies regarding produce that
comes in contact with the soil (e.g., drops). Policy shall be consistent
with industry standards or prevailing regulations.
Harvest procedures shall include measures to inspect for and remove
physical hazards. Operation shall have procedure to detect glass/plastic
breakage and remove possible physical contamination such as glass,
metal, rocks, or other hazardous items, during harvesting operations.
Cloths, towels, or other cleaning materials that pose a risk of cross-
contamination shall not be used to wipe product. Operation shall not
use cloths or other cleaning materials to clean produce, unless there is
a procedure to prevent cross-contamination.
Packaging materials shall be appropriate for their intended use. The
product contact packaging shall be: Appropriate to the commodity
being harvested and suited for its intended purpose; Stored in a
manner that prevents contamination.
Packaging storage shall be designed to maintain packaging dry, clean
and free from dirt or residues so it remains fit for the purpose.
Particular care shall be taken to prevent packaging from becoming a
harborage for rodents and other vermin. Packaging shall be stored
separately from hazardous chemicals, toxic substances and other
sources of contamination.

Clause
7H.5.4.8 Field Packaging and Handling
7H.5.6.1 Postharvest Handling and Storage
7H.5.6.2 Postharvest Handling and Storage
7H.5.6.3 Postharvest Handling and Storage
7H.6.1.1 Equipment Sanitation and Maintenance
7H.6.1.2 Equipment Sanitation and Maintenance
7H.6.1.3 Equipment Sanitation and Maintenance
7H.6.2.1 Loading/Unloading
7H.6.2.2 Loading/Unloading
7H.6.2.3 Loading/Unloading
Primary
Item Secondary Responses Response Evidence Supplier Onsite Correction
Operation has written policy regarding whether packing materials are
permitted in direct contact with the soil. If produce is packed in field,
operation has considered and developed written policies regarding
placement of packing materials directly on the soil, or whether a
physical buffer (e.g., buffer bin or slip sheet) is required. Policy shall be
consistent with industry standards.
Harvested produce is handled in a manner such that it is not likely to
become contaminated. Operation has a policy, in compliance with
current industry practices or regulatory requirements for that
commodity, regarding handling, walking, stepping, or lying on
harvested produce, food contact surfaces or packaging materials, that
may result in contamination.
Materials that come in contact with the produce shall be clean and in
good repair. Operation has a policy that pallets, produce bins, totes and
materials that come in contact with the produce or the containers
during handling or storage shall be cleaned, if practicable, sanitized
sufficient so as not to be a source of contamination.
Harvested produce shall be stored separately from chemicals which
may post a food safety hazard. Chemicals, including cleaning and
maintenance compounds shall be stored in an area separate from
harvested produce.
The operation shall have a policy, written procedures, and a checklist to
verify cleanliness and functionality of shipping units (e.g., trailer).
Shipping units shall be clean, functional and free of objectionable odors
before loading, in compliance with current industry practices or
regulatory requirements for that commodity.
Refrigeration units, if used, must be in working order.
Loading/unloading procedures and equipment shall minimize damage
to and prevent contamination of produce. Personnel responsible for
the loading and unloading of produce shall take steps to minimize the
potential of physical damage to produce, which can introduce and/or
promote the growth of pathogens.
Loading/unloading equipment shall be clean and well maintained and
of suitable type to avoid contamination of produce.
Trash shall not come in contact with produce. The operation shall have
a procedure describing how trash shall be handled and transported out
of the field in a manner that does not pose a food safety risk.
Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0
100

Clause
8.1.1.1 Property Location
8.1.1.2 Property Location
8.1.1.3 Property Location
8.1.1.4 Property Location
8.2.1.1 Field and Storage Buildings
8.2.1.2 Field and Storage Buildings
8.2.1.3 Field and Storage Buildings
8.2.2.1 Storage of Dry Ingredient, Packaging and
Utensils
8.2.2.2 Storage of Dry Ingredient, Packaging and
Utensils
8.2.3.1 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
8.2.3.2 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
8.2.3.3 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
8.2.3.4 Farm Machinery, Conveyors, Harvesting
and Processing Rigs, Construction and Storage
8.2.4.1 Vehicles, Equipment and Utensils
8.2.4.2 Vehicles, Equipment and Utensils
8.2.4.3 Vehicles, Equipment and Utensils
8.2.4.4 Vehicles, Equipment and Utensils
8.2.4.5 Vehicles, Equipment and Utensils
8.2.4.6 Vehicles, Equipment and Utensils
8.2.5.1 Maintenance Protocol
8.2.6.1 Calibration of Equipment
8.2.6.2 Calibration of Equipment
8.2.6.3 Calibration of Equipment
8.2.6.4 Calibration of Equipment
Item
The farm and facilities shall be such that adjacent
and adjoining buildings, operations and land use do
not interfere with the safe and hygienic operations
on the property.
A soil map shall be prepared and risk assessment
conducted to evaluate and document the risk to
crops due to prior land use, adjacent land use, and
other environmental factors including structures
and equipment. Consideration shall be given to the
following: history of land use, topography, adjacent
land use, other factors that may impact on the
ability to supply safe product.
The analysis shall be re-evaluated in the event of
any circumstance or change that may impact on
the production of safe product.
Where risks are identified, control measures shall
be implemented to reduce the identified hazards
to an acceptable level.
All buildings used to store equipment, field
chemicals, field packing materials, or field product permit good hygiene practices
shall be designed and constructed so as to permit (C) Building design leads to product contamination
compliance to good hygiene practices and avoid
product contamination.
Buildings designated to store field product or field
product packing materials shall be of durable
construction. Internal surfaces shall be smooth
and impervious with a light colored finish and shall
be kept clean.
Field product contact surfaces shall be constructed (m) Product contact surfaces used in the field are made of
of materials that do not constitute a food safety materials that could lead to a food safety incident
risk.
Silos used to store seed or food crops shall be
constructed of approved materials and designed to
remain dry, clean and free from any dirt residues,
so they remain fit for the purpose, in an acceptable
condition, enable safe fumigation practices and
prevent the invasion of pests.
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.
Product contact surfaces on conveyors, harvesting
and processing rigs shall be designed and
constructed to allow for the efficient handling of
product and those surfaces in direct contact with
product shall be constructed of materials that will
not contribute a food or feed safety risk.
Processing equipment including knives, totes,
trays, conveyors, containers and other equipment
shall be constructed of materials that are non-
toxic, smooth, impervious and easily cleaned.
Provision shall be made for the washing and
storage of processing rigs, equipment, conveyors,
totes, trays containers and utensils.
Provision shall be made to store farm machinery
separate from food conveyors, harvesting and
processing rigs.
Equipment, vehicles, tools, utensils and other
items or materials used in farming operations that
may contact produce are identified and are in good
repair, kept clean and sanitized, and stored in such
a way as to avoid contamination.
Water tanks shall be cleaned at a sufficient (M) Water tanks are not cleaned
frequency so as not be a source of contamination. (C) Water tanks are contaminated
A documented procedure regarding the inspection
of food contact harvest containers and pallets shall
be implemented. The procedure shall include the
type and construction of harvest containers and
packing materials.
The use of harvest containers for non-harvest
purposes will be clearly identified and not returned (C) Non-harvest containers are returned for use for
to use for harvest.
Vehicles used for the transport of seed or
foodstuffs shall be fit for purpose and shall not be
used to carry waste materials, manure, chemicals
or other hazardous substances that could cause
feed or food contamination without thorough
cleaning and inspection.   
Tractors, harvesters, field packing equipment and (M) Equipment and machinery do not protect the product
machinery driven over ground crops shall be fitted of the ground crops
with drip trays to prevent contamination of the
crop by lubricants and oils.
The methods and responsibility for maintenance of
equipment and buildings shall be planned,
scheduled and carried out in a manner that
prevents any risk of contamination of product or
equipment.
The methods and responsibility for the calibration
and re-calibration of chemical application,
measuring, test and inspection equipment used for
monitoring pre-requisite program and other
process controls shall be documented and
implemented.
Equipment shall be calibrated against national or
international reference standards and methods. In
cases where such standards are not available the
producer shall indicate and provide evidence to
support the calibration reference method applied.
Calibration shall be undertaken to an established
schedule, to recognized standards or to accuracy
appropriate to use.
Calibration records shall be maintained.
Primary
Secondary Response Response Evidence
(m) Adjacent and adjoining buildings interfere with the safe
and hygienic operations on the property
(m) Adjacent operations interfere with the safe and
hygienic operations on the property
(m) Adjacent land use interferes with the safe and hygienic
operations on the property
(m) Analysis of the hazards associated with the farm/ranch
or plot location has not been done
(M) Risk assessment has not been conducted
(M) Analysis of the hazards associated with the farm/ranch
or plot location has not been done
(m) History of land use not considered
(m) Topography not considered
(m) Adjacent land use not considered
(m) Other factors that may impact on the ability of the
Producer to supply safe product not considered
(M) Change was noted and the analysis to produce safe
product was not re-evaluated
(M) Control measures were not implemented
(C) Control Measures implemented did not reduce to
acceptable levels
(M) Buildings used to store equipment are not designed to
(m) Building is not made of durable construction
(m) Internal surfaces are not smooth
(M) Internal surfaces are constructed of materials that
does not lead to effective cleaning
(M) Silos not constructed of approved materials
(M) Silos not designed to maintain dry goods in an
acceptable condition
(M) Silos not designed to enable safe fumigation practices
(M) Silos not designed to prevent the invasion of pests
(m) Harvesting and packing utensils are stored near farm
machinery
(m) Harvesting and packing utensils are stored near
hazardous chemicals and toxic substances
(m) Storage rooms do not allow for separate and hygienic
storing of harvesting and packing utensils
(m) Product contact surfaces are designed for improper
handling of product
(M) Product contact surfaces are constructed with
materials that would contribute to a food safety risk.
(m) Processing equipment is constructed from materials
that are not easily cleaned
(M) Processing equipment is made of material that are
hazardous to product safety
(m) There are no provisions made for the washing and
storage of processing equipment
(m) Farm machinery is not separate from food conveyors
Equipment, vehicles, tools, utensils and other items or
materials used in farming operations that may contact
produce are identified and are in good repair, kept clean
and sanitized, and stored in such a way as to avoid
contamination
(M) No documented procedure for inspecting harvest
containers and pallets
(m) Procedure does not include the type and construction
(m) Procedure does not include packaging materials
(M) Non-harvest containers are not clearly identified
harvest
(M) Vehicles used for transportation of foodstuffs are also
used for other purposes
(M) Lubricants used on or near product contact equipment
is not food grade
(m) Excessive lubrication is observed on the equipment
(m) Lubricant used is made out of allergenic ingredients
that is not identified in the allergen management program
(M) Calibration methods are not documented
(m) Responsibility for calibration methods are not
documented
(M) Calibration activities are not taken
(m) Methods for calibration do not reference a national or
international standard
(m) Evidence to support calibration methods are not
available
(M) Calibration is not being conducted
(m) There is no calibration schedule
(m) Calibration methods are not appropriate to the use of
the equipment
(m) Records are not maintained
 Primary
Clause Item Secondary Response Response Evidence
8.2.7.1 Pest and Vermin Management The methods for controlling pest and vermin (M) There is no documented program outlining how to
infestation on the site or facilities shall be control pest and vermin
documented and implemented. The property, (M) Conditions are attracting Pest and vermin to the
storage facilities, machinery and equipment shall property
be kept free of waste or accumulated debris so as
not to attract pests and vermin.

8.2.7.2 Pest and Vermin Management
The pest and vermin management program shall (M) The program does not describe the methods and
describe the methods and responsibility for the responsibility for the maintenance of the program
development, implementation and maintenance of (m) The program does not identify the target pests for
the pest and vermin management program, each pesticide application
identify the target pests for each pesticide (m) The program does not outline preventive methods
application, outline the methods used to prevent (m) The program does not outline the frequency
pest problems, outline the methods used to (m) The program does not include a site identification map
eliminate pests when found, outline the frequency (m) The program does not list the chemicals
with which pest status is to be checked, include on (m) Employees are not aware of bait control program
a site map the identification, location, number and
type of bait stations set, list the chemicals used
(they are required to be approved by the relevant
authority and their Safety Data Sheets (SDS) made
available), outline the methods used to make
employees aware of the bait control program and
the measures to take when they come in contact
with a bait station, outline the requirements for
employees' awareness and training in the use of
pest and vermin control chemicals and baits.

8.2.7.3 Pest and Vermin Management
8.2.8.1 Animal Control
Records of pest inspections and pest applications (m) There are no records of pest inspections and
shall be maintained. application
The operation shall have a written risk assessment (M) There is no written risk assessment for animal activity
on animal activity in and around the production of (m) The risk assessment has not been implemented
food or feed crops that has been implemented and (m) The risk assessment has not been monitored
monitored.

8.2.8.2 Animal Control Measures shall be in place that excludes domestic (m) There are no measures in place to exclude wild and
and wild animals from crop fields, and all storage domestic animals
areas.

8.2.9.1 Cleaning and Sanitation
The methods and responsibility for the cleaning of (M) There is no documented cleaning methods
product contact surfaces, field processing (m) There is no responsibility for cleaning protocol
equipment and sanitary facilities shall be (m) Documented protocol is incomplete
documented and implemented. Consideration
shall be given to what is to be cleaned, how it is to
be cleaned, when it is to be cleaned, who is
responsible for the cleaning, who is responsible for
the evaluation of the cleaning.

8.2.9.2 Cleaning and Sanitation
A schedule shall be prepared indicating the
frequency of verifying the effectiveness the
cleaning of product contact surfaces, field
processing equipment and sanitary facilities and
indicating who is responsible for completing
verification activities.
(m) Schedule for verifying the effectiveness of the cleaning
of product contact surfaces
(m) Schedule does not designate responsibility for
completing verification activities

8.2.9.3 Cleaning and Sanitation
8.3.1.1 Personnel Practices
A record of cleaning and sanitation activities shall
be maintained.
Personnel engaged in the handling of product shall
observe appropriate personal practices. Corrective
actions shall be implemented for personnel who
violate food safety practices.
(m) Sanitation activities are not maintained
(M) Personnel engaged in product handling is not
observing appropriate personal practices
(m) Corrective actions were not taken for employees that
violated food safety practices

8.3.1.2 Personnel Practices Personnel suffering from, or are carriers of, an (C) Personnel who are engaged in growing or product
infectious disease which can be transmitted by handling or field processing operation are carriers of an
food shall not engage in growing or product infectious disease
handling or field processing operation.

8.3.1.3 Personnel Practices A medical screening procedure shall be in place for (M) Medical screening procedure is not in place
all employees, and will also be applicable to all (M) Medical screening does not include visitors and
visitors and contractors. contractors

8.3.1.4 Personnel Practices
Personnel with exposed cuts, sores or lesions shall
not be engaged in handling or processing product.
Minor cuts or abrasions on exposed parts of the
body shall be covered with a suitable waterproof
dressing.
(C) Personnel with exposed cuts, sores or lesions are
engaged in growing, product handling or processing
product
(m) Minor cuts and abrasions on exposed parts of the
body are not covered with a suitable waterproof dressing

8.3.1.5 Personnel Practices A written policy shall be in place that specifies the (M) No written procedure in place
procedures for handling product or product
contact surfaces that have been in contact with
blood or other bodily fluids.

8.3.1.6 Personnel Practices
Smoking, chewing, eating, drinking (except for
water), spitting is not permitted in any growing
areas including on field processing rigs and during
harvesting and packing operations.
(m) Evidence of smoking, chewing, eating, drinking
observed in growing areas, on processing rigs or during
harvesting and packing operations
(m) Evidence of smoking, chewing, eating, drinking
observed on processing rigs
(m) Evidence of smoking, chewing, eating, drinking
observed during harvesting and packing operations

8.3.2.1 Sanitary Facilities and Hand Washing
Toilet facilities shall be provided and designed,
constructed and located in a manner that
minimizes the potential risk for product
contamination.
i. Toilets shall cater for the maximum number of
employees and be constructed so that they can be
easily cleaned and maintained.
ii. Hand wash basins with clean water, hand soap,
disposable towels or effective hand drying device,
waste bins and a tank that captures used hand
wash water for disposal shall be provided inside or
adjacent to toilet facilities;
iii. Signage in appropriate languages shall be
provided adjacent to hand wash basins instructing
people to wash their hands after each toilet visit.
iv. Racks for protective clothing used by farm
employees shall be provided;
v. Toilets shall be located so as to provide easy
access for farm workers;
vi. Toilet and wash stations shall be maintained in a
clean and sanitary condition.
5.3.2.2 Personnel shall have clean hands and hands
shall be washed by all personnel:
i. After each visit to a toilet;
ii. After handling dirty or contaminated material;
and
iii. After smoking, eating or drinking.
(C) Toilet facilities not provided
(C) Design of toilet facilities present a food safety hazard
(C) Construction of toilet facilities present a food safety
hazard
(C) Location of toilet facilities present a food safety hazard
(M) Toilet facilities not easily accessible to staff
(M) Toilet facilities do not cater for the maximum number
of staff
(M) Toilet facilities not constructed so that they can be
easily cleaned
(M) Toilet facilities not constructed so that they can be
easily maintained
(C) No hand wash basins provided inside or adjacent to
toilet facilities
(M) Signage not in appropriate languages advising people
to wash their hands after each toilet visit
(M) Signage not adjacent to hand wash basins
(M) No racks for field packing staff's protective clothing
provided

Clause
8.3.2.2 Sanitary Facilities and Hand Washing
8.3.3.1 Protective Clothing
8.3.3.2 Protective Clothing
8.3.3.3 Protective Clothing
8.3.4.1 Jewelry and Personal Effects
8.3.5.1 Visitors
8.3.5.2 Visitors
8.3.5.3 Visitors
8.3.5.4 Visitors
8.3.6.1 Amenities
8.3.6.2 Amenities
8.3.6.3 Amenities
8.3.7.1 First Aid
8.3.7.2 First Aid
8.4.1.1 Field Packing Personal Practices
8.4.1.2 Field Packing Personal Practices
8.4.1.3 Field Packing Personal Practices
8.4.1.4 Field Packing Personal Practices
8.5.1.1 Water System Description
8.5.1.2 Water System Description
8.5.1.3 Water System Description
Item
Personnel shall have clean hands and hands shall
be washed by all personnel before handling
product, after each visit to a toilet, after using a
handkerchief, after handling dirty or contaminated
material, after smoking, eating or drinking, after
smoking, eating or drinking.
Protective clothing shall be effectively, maintained, (m) Clothing is not effectively maintained to protect
stored, laundered and worn so as to protect
product from risk of contamination.
Where applicable, clothing, including footwear,
shall be effectively maintained, cleaned and
sanitized, and worn so as to protect product from
risk of contamination.
If rubber or disposable gloves are used, the
operation shall have a glove use policy and
personnel shall adhere to the hand washing
practices outlined above.
Jewelry and other loose objects that pose a threat
to the safety of the product shall not be worn or
taken onto any growing, product handling or
storage operations.
All visitors (including management and
maintenance employees) shall be required to
remove jewelry and other loose objects and wear
suitable protective clothing around product
growing, harvesting, or storage areas.
Visitors exhibiting visible signs of illness shall be
prevented from entering any growing or product
handling or field processing operation.
Visitors must follow all personnel practices as
designated by company for employees within
various areas of fields, sheds, packing facilities or
storage locations.
Unsupervised children shall not be permitted to
enter any harvesting, packing, or food storage
areas.
Provision shall be made to store employee
personal belongings away from crops, harvesting
and field processing and packing operations, and
processing equipment.
Areas for meal breaks shall be designated and
located away from a food contact/handling zones
and processing equipment.
Drinking water shall be available to all field
employees.
First aid facilities shall be available and maintained (m) No first aid facilities
to treat minor injuries and suitable arrangements (m) No suitable arrangements provided in circumstances
shall be provided in circumstances when a patient when a patient requires more specialized care
requires more specialized care.
First aid kits shall be kept in a sanitary and usable
condition.
Appropriate personnel practices shall be employed
by field packing employees which include: aprons
and gloves shall be kept clean, aprons and gloves
shall not be left on product, work surfaces,
equipment or packaging material but hung on
apron and glove racks provided, all product and
packaging material shall be kept off the ground and
the floor of the transport vehicle, waste shall be
contained in the bins identified for this purpose.
Waste shall not come in contact with produce and
be removed on a regular basis and not left to
accumulate.
A written policy regarding the handling and field
packaging of produce, specific to the commodity,
shall be implemented and maintained. The policy
shall assure that: damaged or decayed produce is
not harvested or culled, measures to inspect for
physical hazards and procedures to remove
physical hazards are in place, cloths, towels, or
other cleaning materials that pose a risk of cross-
contamination shall not be used to wipe produce.
Packaging materials shall be appropriate for their (M) Packaging materials is contaminated
intended used and stored in a manner that (M) Material not designated for packaging was used
prevents contamination. A written policy shall be in
place that identifies how packing materials are
permitted in direct contact with soil.
Materials that come in contact with the produce
shall be clean and in good repair.
A water description plan shall be prepared that
describes the water sources and the production
blocks they serve, and shall include one or more of
the following: maps, photographs, drawings, or
other means to communicate the location of the
water sources, permanent fixtures and the flow of
the water system.
Agricultural water shall be sourced from a location (M) Water source does not comply with prevailing
and in a manner that is compliant with prevailing regulations
regulations.
Waste systems intended to convey untreated
human or animal waste shall be separated from
conveyances utilized to deliver agricultural water.
Primary
Secondary Response Response Evidence
(M) Personnel observed in food handling area with dirty
hands
(M) Personnel observed not washing hands upon entering
processing area
(M) Personnel observed not washing hands after using the
toilet
(M) Personnel observed not washing hands after using a
handkerchief
(M) Personnel observed not washing hands after handling
hoses or trash
(M) Personnel observed not washing hands after eating,
drinking, or smoking
product from risk of contamination
(m) Clothing is not effectively worn so as to protect
product from risk of contamination
(m) Clothing is not effectively stored to protect product
from risk of contamination
(m) Clothing is not effectively laundered so as to protect
product from risk of contamination
(m) Clothing is not effectively laundered so as to protect
product from risk of contamination
(M) Hand washing practices not followed if rubber or
disposable gloves are used
(m) Staff in growing, product handling or storage
operations observed wearing jewelry
(m) Evidence of loose objects taken into growing, product
handling or storage operations
(m) Evidence of visitors, management or maintenance
personnel wearing jewelry
(m) Evidence of visitors, management or maintenance
personnel carrying lose objects
(m) Evidence of visitors, management or maintenance
personnel wearing unsuitable clothing
(m) Management are required to remove jewelry
(m) Management are required to remove other loose
objects
(m) Visitors exhibiting visible signs of illness are not
prevented from entering any growing, product handling or
processing operation
(m) Visitors exhibiting visible signs of illness are not
prevented from entering any product handling operation
(m) Evidence of visitors not following the company's
personnel practices
(m) Children are permitted to enter packing or storage
areas
(m) Children are not supervised when in fields
(m) No provision made for the storage of personal
belongings away from crops
(m) No provision made for the storage of personal
belongings away from harvesting operations
(m) No provision made for the storage of personal
belongings away from field processing operations
(m) No provision made for the storage of personal
belongings away from field packing operations
(m) No designated areas for meal breaks
(m) Areas for meal breaks not located away from a food
contact/handling zones
(m) Areas for meal breaks not located away from
processing equipment
(m) Drinking water is not provided to all employees
(m) First aid kits are not clean
(m) First aid kits do not have appropriate contents
(m) Evidence of fingernail polish being worn where
product is handled with bare hands
(m) Staff aprons are not kept clean
(m) Staff gloves are not kept clean
(m) Aprons are left on product, work surfaces, equipment
or packaging surfaces
(m) Gloves are left on product, work surfaces, equipment
or packaging surfaces
(m) Gloves are left on work surfaces
(m) No apron racks provided
(m) No glove racks provided
(m) Product not kept off the ground
(m) Packaging material not kept off the ground
(M) Waste is not contained in the bins identified for this
purpose
(M) Waste is not removed on a regular basis
(M) Waste is left to accumulate
(m) No provision made for the storage of personal
belongings away from field packing operations
(M) A written policy for handling and field packing of
produce specific to the commodity is not provided
(M) The written policy was not implemented
(M) The written policy was not maintained
(M) Written procedure does not include how to remove
physical hazards
(C) Damaged product or product that contacted the
ground was harvested
(C) Contaminated cloths were used to wipe produce
(M) No inspection conducted for physical hazards
(M) Materials not clean
(M) Materials not in good repair
(M) No water description plan
(m) Water description plan does not include maps,
photographs or drawings of water sources
(m) Permanent fixtures are not identified
(C) Waste water system is not separated from agricultural
water

Clause
8.5.2.1 Irrigation Water
8.5.3.1 Treatment of Irrigation Water
8.5.4.1 Water System Risk Assessment
8.5.5.1 Water Management Plan
8.5.5.2 Water Management Plan
8.5.6.1 Corrective Actions
8.6.1.1 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
8.6.1.2 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
8.6.1.3 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
8.6.1.4 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
Item
Agricultural water shall be drawn from a known
clean source or treated to make it suitable for use.
The producer shall conduct an analysis of the
hazards to the irrigation water supply from source
through to application, establish acceptance
criteria for the monitoring of water and validate
and verify the integrity of the water used to ensure
it is fit for the purpose.
In circumstances where irrigation water is treated (M) Treated irrigation water did not follow required
to render it acceptable, the water, after treatment standards
shall conform to the microbiological standards as
outlined in element 8.5.5.
An initial risk assessment shall be performed and
documented that takes into consideration the
historical testing results of the water source, the
characteristics of the crop, the stage of the crop,
and the method of application.
Water used for washing and treating product,
cleaning food contact surfaces and mixing sanitizer
solutions shall comply with potable water
microbiological and chemical standards in the
country of production. Separate criteria will be
established for irrigation water, frost control,
humidifying, pesticide application, etc. as
applicable, based on the hazard analysis, best
practices within country of production and any
applicable legislation. The water management
plan shall include the following: Preventive
controls; Monitoring and verification procedures;
Corrective actions; and Documentation. Water
testing shall be part of the water management
plan, as directed by the water risk assessment and
current industry standards or regulations for the
commodity being grown.
Water quality shall be monitored to verify it
complies with the established water
microbiological and chemical standard or criteria
established. A verification schedule shall be
prepared indicating the location and frequency of
monitoring, which shall be decided by the hazard
analysis, best practices within country of
production, or applicable legislation. Water
analysis shall be undertaken by an approved
laboratory accredited to ISO 17025 or equivalent.
When monitoring shows that water does not meet (M) Corrective actions are not established
established criteria or standard, the producer will (C) Corrective actions are not appropriate
have a corrective action plan developed which
could include additional treatment for water,
additional sources for water, product identification
and disposition or other alternative actions to
adequately control the identified hazards.
Hazardous chemicals, toxic substances, and
petroleum products shall be stored so as not to
present a hazard to employees, product, product
handling equipment or areas in which product is
handled, stored or transported.
Product contact chemicals such as pesticides and
herbicides; rodenticides, fumigants and
insecticides; sanitizers and detergents shall be
stored separately and in their original containers.
Chemical storage sheds shall be compliant with
national and local legislation and designed such
that there is no cross-contamination between
chemicals, shall be ventilated to the exterior, be
provided with appropriate signage indicating the
area is a hazardous storage area, be secure and
lockable to restrict access only to those personnel
with formal training in the handling and use of
chemicals, have instructions on the safe handling
of hazardous chemicals readily accessible to
employees, be equipped with a detailed and up-to-
date inventory of all chemicals contained in the
storage facility, have suitable first aid equipment
and protective clothing available in the storage
area, have emergency shower and/or wash
facilities available in the event of an accidental
spill, in the event of a hazardous spill, be designed
such that spillage and drainage from the area is
contained, be equipped with spillage kits and
cleaning equipment.
Petroleum fuels, oils, grease and other lubricants (m) Chemical storage sheds not compliant with national
shall be stored separate from other storage areas. and local legislation
Primary
Secondary Response Response Evidence
(M) Irrigation water not drawn from a known clean source
(C) Irrigation water not treated to make it suitable for use
(M) No analysis of the hazards to the water supply from
source through to application has been conducted
(M) Integrity of water used has not been validated
(M) Integrity of water used has not been verified
(m) Risk assessment is incomplete and does not take into
consideration the historical testing results
(m) Risk assessment is incomplete and does not take into
consideration the characteristics of the crop
(m) Risk assessment is incomplete and does not take into
consideration the stage of the crop
(m) Risk assessment is incomplete and does not take into
consideration the method of application
(m) Water used for washing and treating product does not
comply with potable water microbiological standards
(m) Water used for cleaning food contact surfaces does
not comply with potable water microbiological standards
(M) Water used for mixing sanitizer solutions does not
comply with potable water microbiological standards
(m) No separate criteria has been established
(m) Criteria was not established based on a hazard
analysis or best practices
(M) Water used for washing and treating product does not
comply with potable water microbiological standards
(M) Water used for cleaning food contact surfaces does
not comply with potable water microbiological standards
(M) Water used for mixing sanitizer solutions does not
comply with potable water microbiological standards
(m) Water quality is not monitored
(m) A verification has not been prepared
(m) Frequency of monitoring not determined by the hazard
analysis
(m) Water quality is not monitored to verify it complies with
the microbiological standard
(m) No verification schedule indicating the frequency of
monitoring
(m) Water analysis is not conducted by an 17025
accredited lab
(m) Hazardous chemicals, toxic substance, animal
medicines and petroleum products are stored in manner
hazardous to staff
(m) Hazardous chemicals, toxic substances, animal
medicines and petroleum products are stored in a manner
hazardous to product or product handling equipment
(m) Hazardous chemicals, toxic substances, animal
medicines and petroleum products are stored in areas in
which product is handled, stored or transported
(m) Product contact chemicals are not stored separately
(m) Product contact chemicals are in their original
containers
(m) Product contact chemicals are not stored separately
(m) Product contact chemicals are not in their original
containers
(M) Chemical storage sheds not compliant with national
and local legislation
(M) Chemical storage sheds not designed such that there
is no cross-contamination between chemicals
(m) Chemical storage sheds are not ventilated to the
exterior
(m) Chemical storage sheds are not provide with
appropriate signage indicating the area is a hazardous
storage area
(M) Chemical storage sheds not secure and lockable to
restrict access only to those personnel with formal training
in the handling and use of chemicals
(m) Instructions on the safe handling of hazardous
chemicals not readily accessible to staff
(m) Chemical storage sheds not equipped with a detailed
and up-to-date inventory of all chemicals contained in the
storage facility
(M) No suitable first aid equipment available in the storage
area
(M) No protective clothing available in the storage area
(m) No emergency shower and wash facilities available in
the event of spills
(m) Not designed such that spillage and drainage from the
area is contained
(m) Not equipped with spillage kits
(m) Not equipped with cleaning equipment
(m) Petroleum fuels not stored separately from other
storage areas
(m) Oils not stored separately from other storage areas
(m) Grease not stored separately from other storage areas
(m) Other lubricants not stored separately from other
storage areas

Clause
8.6.1.5 Storage of Hazardous Chemicals, Toxic
Substances, and Petroleum Products
8.6.2.1 Transport
8.6.2.2 Transport
8.6.2.3 Transport
8.6.3.1 Transport from Field
8.6.3.2 Transport from Field
8.7.1.1 Use of Fertilizers (Soil Amendments)
8.7.1.2 Use of Fertilizers (Soil Amendments)
8.7.1.3 Use of Fertilizers (Soil Amendments)
8.7.1.4 Use of Fertilizers (Soil Amendments)
8.7.2.1 Soil Amendment
8.7.2.2 Soil Amendment
8.7.2.3 Soil Amendment
8.7.3.1 Purchasing Chemicals
8.7.4.1 Agricultural Chemicals
Item
The storage of hazardous chemicals, toxic
substances and petroleum products in areas
(separate lockable or otherwise contained) inside
food handling areas, product and ingredient and
packaging storage rooms is not acceptable.
The practices applied during loading, transport and
unloading of crops shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity.
Crop shall be transported under conditions suitable (C) Crops are not transported under suitable conditions in
to maintain integrity and to prevent cross
contamination and spoilage.
Employees involved in loading, transport and
unloading events shall be appropriately trained.
A written procedure and checklist to verify
cleanliness and functionality of transport units
shall be implemented.
Loading and unloading procedures shall include
provisions to minimize damage and prevent
contamination to produce.
Inorganic (chemical) and organic (manure) soil
amendments shall be isolated and stored
separately so as not to pose a food safety risk.
Provision shall be made for the storage of
concentrated and diluted liquid soil amendments diluted liquid soil amendments in tanks designed to retain
in bunded tanks designed to retain at least 110% of at least 110% of total volume
total volume.
Soil amendments shall be stored separate from
crop, field or irrigation water sources such that
contamination from run off is avoided either by
locating of the soil amendment a suitable distance
from the crop or by the utilization of other physical
barriers.
An inventory of all organic and inorganic soil
amendment storage and use shall be maintained.
No raw untreated manure shall be used. Soil
amendment treatment and application methods
shall be documented and implemented and
designed to prevent contamination of product.
Soil amendment protocol shall outline the methods
used to treat manure and other untreated organic
fertilizers ensuring: The treatment methods
applied inactivate pathogens in organic soil
amendments; A hazard analysis of organic soil
amendments treatment methods is conducted
before use; Treatment methods are validated and
treatments of organic soil amendments are verified
as being in compliance with the method applied;
Records of the validation and verification of
organic soil amendment treatments are
maintained.
Soil amendment protocol shall outline the methods
to ensure organic soil amendment applications are
timed to pose minimum risk to product safety and
human health including: All applications of soil
amendments are in accordance with national or
local guidelines, best practices and codes of Good
Agricultural Practice; Equipment used for soil
amendment application is maintained in good
condition and calibrated to ensure accurate
application; Records of all equipment maintenance
and calibration are maintained; Signage complies
with national and local codes of practice; and
Sufficient data is recorded to provide a detailed
record of soil amendment applications.
Chemicals shall be purchased from an approved
supplier in accordance with applicable legislation.
An inventory of all chemicals purchased and used
shall be maintained.
A crop protection action plan indicating the
applications used for a target pest or disease and
the threshold levels that initiate application shall
be prepared and implemented.
Primary
Secondary Response Response Evidence
(m) No provision to ensure hazardous chemicals are not
stored in inside food handling areas
(m) No provision to ensure hazardous chemicals are not
stored in inside product storage rooms
(m) No provision to ensure hazardous chemicals are not
stored in inside ingredient storage rooms
(m) No provision to ensure hazardous chemicals are not
stored in inside packaging storage rooms
(m) No provision to ensure toxic substances are not stored
in inside food handling areas
(m) No provision to ensure toxic substances are not stored
in inside product storage rooms
(m) No provision to ensure toxic substances are not stored
in inside ingredient storage rooms
(m) No provision to ensure toxic substances are not stored
in inside packaging storage rooms
(m) No provision to ensure petroleum products are not
stored in inside food handling areas
(m) No provision to ensure petroleum products are not
stored in inside product storage rooms
(m) No provision to ensure petroleum products are not
stored in inside ingredient storage rooms
(m) No provision to ensure petroleum products are not
stored in inside packaging storage rooms
(m) Practices applied during loading not implemented
(m) Practices applied during loading, transport and
unloading of animals is not implemented to maintain
appropriate storage conditions and product integrity
(m) Practices applied during loading, transport and
unloading of crops is not implemented to maintain
appropriate storage conditions and product integrity
order to maintain integrity and prevent cross
contamination and spoilage
(M) Employees involved in loading, transport and
unloading are not trained appropriately
(M) Written procedure is not used to verify cleanliness and
functionality
(M) Checklist is not used
(M) There are no loading procedures
(m) Loading practices damage product
(m) Inorganic soil amendments not isolated
(m) Inorganic soil amendments not stored separately
(m) Organic soil amendments not isolated
(m) Organic soil amendments not stored separately
(m) Inorganic soil amendments pose food safety risk
(m) Organic soil amendments pose food safety risk
(M) No provision for the storage of concentrated and
(m) Stored soil amendments pose run-off contamination to
irrigation water
(m) No inventory of organic soil amendments stored is
maintained
(m) No inventory of organic soil amendments used is
maintained
(m) No inventory of inorganic soil amendments stored is
maintained
(m) No inventory of inorganic soil amendments used is
maintained
(C) Use of raw untreated human sewage not prohibited
(M) Soil amendment treatment methods not implemented
(M) Soil amendment application methods not implemented
(M) Treatment methods not designed to prevent
contamination of product
(M) Application methods not designed to prevent
contamination of product
(m) Soil amendment treatment methods not documented
(m) Soil amendment application methods not documented
(M) Application methods are not timed to pose minimum
risk to product safety
(M) Application methods are not timed to pose minimum
risk to human health
(M) Applications of soil amendments are not in
accordance with National or Local Guidelines and Codes
of Good Agricultural Practice
(m) Equipment used for soil amendment application is not
maintained in good condition
(m) Equipment used for soil amendment application is not
calibrated to ensure accurate application
(m) Records of all equipment maintenance are not
maintained
(m) Records of all equipment calibration are not
maintained
(m) Signage does not comply with National & Local Codes
of Practice
(m) Sufficient data is not recorded to provide a detailed
record of soil amendment applications
(M) Application methods are not timed to pose minimum
risk to product safety
(M) Application methods are not timed to pose minimum
risk to human health
(M) Applications of soil amendments are not in
accordance with National or Local Guidelines and Codes
of Good Agricultural Practice
(m) Equipment used for soil amendment application is not
maintained in good condition
(m) Equipment used for soil amendment application is not
calibrated to ensure accurate application
(m) Records of all equipment maintenance are not
maintained
(m) Records of all equipment calibration are not
maintained
(m) Signage does not comply with National & Local Codes
of Practice
(m) Sufficient data is not recorded to provide a detailed
record of soil amendment applications
(M) Chemicals not in accordance with applicable
legislation
(m) Chemicals not purchased from an Approved Supplier
(m) Inventory of all chemicals purchased is not maintained
(m) Inventory of all chemicals used is not maintained
(M) No crop protection action plan
(m) Plan does not indicate the applications used for a
target pest or disease
(m) Threshold levels that initiate application are not
prepared
(m) Threshold levels that initiate application are not
implemented
(m) Plan does not indicate the vaccine or medication used
for a target disease
(M) Crop protection action plan is not implemented

Clause
8.7.4.2 Agricultural Chemicals
8.7.4.3 Agricultural Chemicals
8.7.4.4 Agricultural Chemicals
8.7.4.5 Agricultural Chemicals
8.8.1.1 Pre-harvest Assessment
8.8.1.2 Pre-harvest Assessment
8.8.1.3 Pre-harvest Assessment
8.8.2.1 Foreign Matter and Glass Procedures
8.8.2.2 Foreign Matter and Glass Procedures
8.8.2.3 Foreign Matter and Glass Procedures
8.8.2.4 Foreign Matter and Glass Procedures
8.9.1.1 Dry, Liquid and Unsanitary Waste Disposal Waste shall be regularly removed from the farm,
field, packing facility and the surrounds so as not to
pose a food safety risk to finished product or
growing, harvesting and packing operations.
8.9.1.2 Dry, Liquid and Unsanitary Waste Disposal The responsibility and methods for the effective
and efficient disposal of all solid waste including (M) No documented plan for the methods to dispose of
inedible material and disused packaging, and liquid waste
and unsanitary waste shall be documented and
implemented.
Item
If product is intended for export, agricultural
chemical use shall consider requirements in the
intended country of destination.
The person making decisions on chemical
application shall: Demonstrate knowledge of, and
access to, information regarding chemical
applications and the maximum residue limits
allowable in destination markets; Use only
chemicals approved for cultivation of specific
grains or pulses, and approved for use in the
intended market; Demonstrate competence and
knowledge of chemical application and crop
withholding periods; Ensure crop applications and
application rates for target pests and diseases
comply with label recommendations; Demonstrate
the timing between chemical application and
harvest complies with the approved harvest
interval for the chemical applied. Maintain a
current chemical register and keep records of all
chemicals use. Maintain a current chemical
register and keep records of all chemicals use.
Records of chemical use shall include the date of
application, the chemical used, the crop sprayed,
the concentration, method and frequency of
application.
Only biological controls that are authorized for the (M) Biological controls not used for the specific commodity
cultivation of the specific grains or pulses shall be (M) Label instructions are not being followed
used, and in accordance with label instructions.
The producer shall dispose of chemical waste and
empty containers in accordance with regulatory
requirements and ensure that empty chemical
containers are not re-used, are labeled, isolated
and securely stored while awaiting collection, that
unused and obsolete chemicals are stored under
secure conditions while waiting authorized disposal
by an approved vendor.
A pre-harvest risk assessment procedure shall be in (M) Pre-harvest risk assessment not conducted
place that describes when the assessments
performed and identifies those conditions that
may be reasonably likely to result in physical,
chemical, or biological contamination.
Knives and cutting instruments used in harvesting (m) Knives and tools used on produce and product contact
operations shall be controlled, and kept clean and surfaces are not specifically designated for that purpose
well maintained. (m) Tools used on produce and product contact surfaces
A written policy regarding the storage of harvesting (M) No policy in place
containers shall be implemented and maintained
The methods used to prevent foreign matter and
glass contamination of product shall be
documented and implemented.
Containers, equipment and other utensils made of
glass, porcelain, ceramics, brittle plastic or other
like material shall not be permitted where exposed
product is handled unless an effective foreign
material and glass protocol is documented and
implemented.
Regular inspections shall be conducted to ensure
food handling/contact zones areas are free of glass
and brittle plastic and employees is to be made
aware of their responsibility to adhere to the
organization's Foreign Matter and Glass Protocol.
Glass covered instrument dial covers shall be
checked at the start and finish of each shift to
ensure their covers have not been damaged.
(M) Waste is not managed and is allowed to accumulate
Primary
Secondary Response Response Evidence
(M) Chemicals of the country for export are not considered
(m) Knowledge of information regarding chemical
application not demonstrated
(m) Access to information regarding chemical application
not demonstrated
(m) Access to maximum Allowable Levels in destination
markets not demonstrated
(m) No assurance that only chemicals approved for use in
the intended market are used
(m) Competence not demonstrated
(m) Knowledge of chemical application not demonstrated
(m) Knowledge of crop withholding periods not
demonstrated
(m) Applications for target pests and diseases do not
comply with label recommendations
(m) Application rates for target pests and diseases do not
comply with label recommendations
(m) Timing between chemical application and harvest
does not comply with the approved harvest interval for the
chemical applied
(m) No chemical register
(m) Chemical register not current
(m) Chemical register not maintained
(m) No records of all chemicals used
(M) Chemical waste disposal not in accordance with
regulatory requirements
(M) Empty chemical container disposal not in accordance
with regulatory requirements
(m) No assurance that empty chemical containers are not
re-used
(m) Empty containers are not labeled
(m) Empty containers are not isolated
(m) Empty containers are not securely stored while
awaiting collection
(m) Unused chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) Obsolete chemicals are not stored under secure
conditions while waiting authorized disposal by an
approved vendor
(m) No approved vendor for disposal of unused chemicals
(m) No approved vendor for disposal of obsolete
chemicals
(M) Risk assessment does not identify conditions likely to
result in contamination
are not specifically designated for that purpose
(m) Knives and trimming tools come in contact with non-
produce and/or product contact surfaces
(M) Knives and tools are not cleaned and sanitized prior to
use
(m) Knives and tools are not cleaned at a specified
frequency
(M) Methods used to prevent foreign matter and glass
contamination of product not implemented
(M) Methods used to prevent foreign matter and glass
contamination of product not implemented
(m) Methods used to prevent foreign matter and glass
contamination of product not documented
(M) Evidence of equipment made of glass, porcelain,
ceramics, brittle plastic or other like material in areas
where exposed product is handled
(M) Evidence of containers made of glass, porcelain,
ceramics, brittle plastic or other like material in areas
where exposed product is handled
(M) No regular inspections conducted to ensure food
handling/contact zones areas are free of glass and brittle
plastic
(M) Staff is not made aware of their responsibility to
adhere to the company Foreign Matter and Glass Protocol
(m) Glass instrument covers are not checked at the start
of each shift to ensure glass has not been damaged
(m) Glass instrument covers are not checked at the end of
each shift to ensure glass has not been damaged
(m) Responsibility for the effective and efficient disposal of
all solid waste and liquid and unsanitary waste not
implemented
(M) Waste is not managed and is allowed to accumulate
Supplier Onsite Correction
 Clause
9.1.1.1 Premises Location
9.1.1.2 Premises Location
9.1.2.1 Construction and Operational
Approval
9.2.1.1 Housing of Livestock
9.2.1.2 Housing of Livestock
9.2.1.3 Housing of Livestock
Item
The location of the premises shall be such that
adjacent and adjoining buildings, operations and land interfere with the safe and hygienic
use do not interfere with safe and hygienic operations. operations on the property
Measures shall be established to maintain a suitable
external environment, and the effectiveness of the
established measures shall be monitored and
periodically reviewed.
The construction and on-going operation of the
premises on the Site shall be approved by the relevant authorities
authority.
Pens, yards and lairage shall be designed, located,
constructed and maintained so as to minimize stress,
injury or disease and have minimal impact on the
surrounding area and natural resources.
Fences, gates, and other surfaces in pens and yards
shall be free from paints, dips, sanitizers and other
materials that are likely to cause contamination
through ingestion, inhalation, or contact.
Animal housing shall be maintained in a clean and
sanitary condition.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Adjacent and adjoining buildings
(m) Adjacent operations interfere with the
safe and hygienic operations on the
property
(m) Adjacent land use interferes with the
safe and hygienic operations on the
property
(m) Analysis of the hazards associated with
the farm/ranch or plot location has not
been done
(m) Methods to manage exterior
environmental risks have not been
monitored
(m) Methods to manage exterior
environmental risks have not been
reviewed
(m) Site has not been approved by local
(m) Pens are not designed so as to
minimize stress, injury or disease
(m) Pens are not located so as to minimize
stress, injury or disease
(m) Pens are not constructed so as to
minimize stress, injury or disease
(m) Pens are not maintained so as to
minimize stress, injury or disease
(m) Yards are not designed so as to
minimize stress, injury or disease
(m) Yards are not located so as to minimize
stress, injury or disease
(m) Yards are not constructed so as to
minimize stress, injury or disease
(m) Yards are not maintained so as to
minimize stress, injury or disease
(m) Pens have minimal impact on the
surrounding area
(m) Pens have minimal impact on natural
resources
(m) Pens have minimal impact on the
surrounding area
(m) Pens have minimal impact on natural
resources
(M) Contaminants present
(M) Housing is not in a clean condition
 Clause
9.2.1.4 Housing of Livestock
9.2.1.5 Housing of Livestock
9.2.2.1 Facility Materials and Surfaces
9.2.3.1 Floors, Drains and Waste Traps
9.2.3.2 Floors, Drains and Waste Traps
9.2.3.3 Floors, Drains and Waste Traps
9.2.3.4 Floors, Drains and Waste Traps
9.2.4.1 Walls, Partitions, Doors and Ceilings
9.2.4.2 Walls, Partitions, Doors and Ceilings
Item
Laneways, races, entrances, exits and
loading/unloading ramps shall be designed to take
advantage of the social behavior and movement of the
species and be designed and maintained to prevent
any potential injury points to animals.
Laneways, races, entrances, exits, and
loading/unloading ramps shall be free from sharp
objects that may damage animals, and shall be free
from chemicals other than those approved by the
relevant authority for use on livestock.
Product contact surfaces and those surfaces not in
direct contact with product in product handling areas,
raw material storage, packaging material storage, and
cold storage areas shall be constructed of materials
that will not contribute a food safety risk.
Floors shall be constructed of smooth, dense impact
resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
Floors shall be sloped to floor drains at gradients
suitable to allow the effective removal of all overflow
or waste water under normal working conditions.
Drains shall be constructed and located so they can be (m) Drain construction poses a food safety
easily cleaned and not present a hazard.
Waste trap systems shall be located away from any
food handling area or entrance to the premises.
Walls, partitions, ceilings and doors shall be of durable
construction. Internal surfaces shall be smooth and
impervious with a light colored finish, and shall be
kept clean (refer to element 9.2.14.1)
Wall to wall and wall to floor junctions shall be
designed to be easily cleaned and sealed to prevent
the accumulation of food debris.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Laneways are not designed to take
advantage of social behavior
(m) Races are not designed to take
advantage of social behavior
(m) Entrances are not designed to take
advantage of social behavior
(m) Exits are not designed to take
advantage of social behavior
(m) Loading/unloading ramps are not
designed to take advantage of social
behavior
(m) Laneways are not designed to take
advantage of the movement patterns of
the species
(m) Races are not designed to take
advantage of the movement patterns of
the species
(m) Entrances are not designed to take
advantage of the movement patterns of
the species
(m) Exits are not designed to take
advantage of the movement patterns of
the species
(m) Loading/unloading ramps are not
designed to take advantage of the
movement patterns of the species
(m) Materials were present that may
damage the animals
(m) Contaminants present
(M) Product contact surfaces are
constructed of materials that pose a food
safety risk
(m) Non-food contact surfaces are
constructed of materials that pose a food
safety risk
(m) Floors are non smooth and easily
cleanable
(m) Floors do not graded properly
(m) Floors are made of an inappropriate
material
(m) Floors do not drain properly
(m) Areas of floors have excessive water
buildup
risk
(m) Drain location poses a food safety risk
(m) Waste traps are located close to food
handling areas or entrance to the facility
(m) Walls are not of sound construction
(m) Partitions are not of sound
construction
(m) Doors are not of sound construction
(m) Ceilings are not of sound construction
(m) Walls, partitions, ceilings, and doors
are not kept clean
(M) The condition of walls, partitions,
doors, ceilings, pose a food safety risk
(m) Wall to wall junctions are not
constructed properly
(m) Floor to wall junctions are not
constructed properly
 Clause
9.2.4.3 Walls, Partitions, Doors and Ceilings
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Ducting, conduit and pipes that convey services such (m) Ducting is constructed to pose
as steam or water shall be designed and constructed difficulty in cleaning
so as to allow ease of cleaning. (m) Conduits are constructed to pose
difficultly in cleaning
(m) Pipes are constructed to pose a
difficultly in cleaning

9.2.4.4 Walls, Partitions, Doors and Ceilings
Doors, hatches and windows and their frames shall be
of a material and construction which meets the same
functional requirements for internal walls and
partitions; doors and hatches shall be of solid
construction, windows shall be made of shatterproof
glass or similar material.
(m) Door are not of solid construction
(m) Windows are not of solid construction
(M) Windows are not made of shatterproof
glass in product contact areas
(m) Windows are not made of shatterproof
glass in non-product contact areas

9.2.4.5 Walls, Partitions, Doors and Ceilings Products shall be handled and stored in areas that are (m) Ceilings are not of sound construction
fitted with a ceiling or other acceptable structure that (M) Ceiling construction poses a food
is constructed and maintained to prevent the safety hazard to the product
contamination of products.

9.2.4.6 Walls, Partitions, Doors and Ceilings
Drop ceilings shall be additionally constructed to
enable monitoring for pest activity, facilitate cleaning
and provide access to utilities.
(m) Drop ceilings are not constructed to
enable monitoring of pest activity
(m) Drop ceilings are not constructed to
enable cleaning
(m) Drop ceilings are not constructed to
facilitate access to utilities

9.2.5.1 Stairs, Catwalks and Platforms
Stairs, catwalks and platforms in produce storage and
handling areas shall be designed and constructed so as
not to present a product contamination risk, and shall
be kept clean (refer to element 9.2.14.1).
(M) Stair construction poses a food safety
hazard to the product
(M) Catwalk construction poses a food
safety hazard to the product
(m) Stair and/or catwalk is not of sound
construction in non-product contact zones

9.2.6.1 Lighting and Light Fittings Lighting in product processing and packing, storage (m) Lighting intensity is not sufficient in
and handling areas and at inspection stations shall be food processing areas
of appropriate intensity to enable the staff to carry out (m) Lighting intensity is not sufficient at
their tasks efficiently and effectively. inspection stations

9.2.6.2 Lighting and Light Fittings
Light fittings in processing areas, inspection stations, (m) A light fitting was found unprotected
and all areas where product is exposed shall be (M) Majority of light fixtures are not
shatterproof, manufactured with a shatterproof shatterproof or protected, and pose a
covering or fitted with protective covers and recessed threat to product safety
into or fitted flush with the ceiling. Where fittings
cannot be recessed, structures must be protected
from accidental breakage, manufactured from
cleanable materials and addressed in the cleaning and
sanitation program.

9.2.6.3 Lighting and Light Fittings Light fittings in warehouses and other areas where (m) Light fittings in warehouse areas pose a
product is protected shall be designed such as to risk to product safety
prevent breakage and product contamination.

9.2.7.1 Inspection Area A suitable area within the processing and packing area (m) No area is designated as product
shall be provided for the inspection of products if inspection area
required. (m) Area designated as product inspection
is not suitable

9.2.7.2 Inspection Area The inspection area shall be provided with facilities
that are suitable for examination of the style of
product being processed. The inspection area shall
have easy access to hand washing facilities and
sufficient lighting intensity to enable as thorough
inspection of the product as required.
(m) Product inspection area does not have
easy access to hand washing facilities
(m) Product inspection area does not have
sufficient lighting

9.2.8.1 Dust, Fly and Vermin Proofing
All external windows, ventilation openings, doors and (m) Windows are not protected and sealed
other openings shall be effectively sealed when closed against dust or pests
and proofed against dust, vermin and flies. (m) Doors are not adequately protected
against dust or pests
(M) There is a risk of dust or pest
contamination of product

9.2.8.2 Dust, Fly and Vermin Proofing Personnel access doors shall be provided. They shall (m) Personnel doors are not self closing
be effectively fly proofed and fitted with a self-closing
device.
 Clause
9.2.8.3 Dust, Fly and Vermin Proofing
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
External doors, including overhead dock doors in food (m) External door(s) are not adequately fly-
handling areas, used for product, pedestrian or truck proofed
access shall be fly-proofed by at least one or a (m) Sealing around trucks in docking areas
combination of the following methods: a self-closing is not adequate
device, an effective air curtain, a fly-proof screen, a
fly-proof annex, adequate sealing around trucks in
docking areas.

9.2.8.4 Dust, Fly and Vermin Proofing
Electric insect control devices, pheromone or other
traps and baits shall be located so as not to present a
contamination risk to product, packaging, containers
or processing equipment. Poison bait shall not be
used inside ingredient or food storage areas or
processing areas.
(m) Insect devices are located so as to pose
a threat to product
(m) Insect devices are located so as to pose
a threat to equipment
(m) Bait is used inside food storage areas
or processing areas

9.2.9.1 Ventilation Adequate ventilation shall be provided in enclosed (m) Food processing areas do not have
processing and product storage and handling areas. adequate ventilation

9.2.9.2 Ventilation Product and product contact equipment shall be (m) Condensation is present in cooker
protected to avoid contamination from condensation. areas
(m) Exhaust vents are not adequately fly
proofed
(M) Positive air pressure is not available in
high risk processing areas
(m) Cooking areas are not adequately
exhausted

9.2.10.1 Premises and Equipment
Maintenance
The methods and responsibility for the maintenance
and repair of plant, equipment and buildings shall be
documented planned and carried out in a manner that
minimizes the risk of product, packaging or equipment
contamination.
(m) There are no planned maintenance
schedule
(M) Actual maintenance practices risk
product safety and integrity

9.2.10.2 Premises and Equipment
Maintenance
Maintenance staff and contractors shall observe the
following practices when undertaking maintenance
and repairs in any product processing, packaging,
handling or storage area: routine maintenance of
plant and equipment shall be performed according to
a maintenance-control schedule and recorded, failures
of plant and equipment shall be documented,
reviewed and their repair incorporated into the
maintenance control schedule, compliance with the
personnel and process hygiene requirements (refer to
elements 9.3.1, 9.3.2, 9.3.3, 9.3.4) by maintenance
staff and contractors, ensure facility supervisors are
notified when maintenance or repairs are to be
undertaken in any product handling area, inform the
maintenance supervisor and the facility supervisor if
any repairs or maintenance pose a potential threat to
product safety (i.e. pieces of electrical wire, damaged
light fittings, and loose overhead fittings). When
possible, maintenance is to be conducted outside
processing times, remove all tools and debris from any
maintenance activity once it has been completed and
inform the area supervisor and maintenance
supervisor so appropriate hygiene and sanitation can
be completed prior to the commencement of facility
operations.
(M) Maintenance staff do not follow food
safety and hygiene practices
(M) Maintenance contractors do not follow
food safety and hygiene practices
(m) Activities from preventative
maintenance schedule are not
documented
(m) Plant failures are not documented
(m) Equipment failures are not
documented
(m) Failures are not incorporated into
maintenance control schedule
(m) There are no personal hygiene
practices developed for main
(m) Supervisors are not notified when
repairs made in food handling area
(m) All tools, parts and debris not removed
from repair areas
(M) No sanitation activity occurs after
maintenance repair in food processing area
(M) No notification occurs when potential
risk to product is evident

9.2.10.3 Premises and Equipment The maintenance schedule shall be prepared to cover (m) Maintenance schedule does not
Maintenance building, equipment and other areas of the premises include critical areas of facility
critical to the maintenance if product safety and (m) Maintenance schedule does not
quality. include critical areas of equipment

9.2.10.4 Premises and Equipment
Maintenance
Equipment located over product or product conveyors
shall be lubricated with food grade lubricants and their
use controlled so as to minimize the contamination of
product.
(M) Non-food grade lubricant is used in
food contact zones
(m) Non-food grade lubricant is used on
food handling conveyors
(m) Food grade lubricant is used, but is
likely to contact product
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
9.2.10.5 Premises and Equipment Paint used in a product handling or contact zone shall (M) Paint is used on product contact
Maintenance be suitable for use and in good condition and shall not surfaces
be used on any product contact surface.

9.2.11.1 Calibration The methods and responsibility for the calibration and
re-calibration of measuring, test and inspection
equipment used for monitoring activities outlined in
the pre-requisite program, food safety plans and food
quality plans and other process controls, or to
demonstrate compliance with customer specifications
shall be documented and implemented.
(M) Calibration methods for monitoring
equipment are not documented
(m) Methods for calibration of equipment
do not include responsibility
(m) Methods for calibration of equipment
do not include all necessary equipment

9.2.11.2 Calibration Procedures shall be documented and implemented to
address the disposition of potentially affected Product
should measuring, test and inspection equipment be
found to be out of calibration state.
(m) There are no procedures in place to
address disposition of potentially affected
product
(M) Potentially affected product is not
adequately disposed

9.2.11.3 Calibration Calibrated measuring, test and inspected equipment (m) Calibrated equipment is not protected
shall be protected from damage and unauthorized from damage
adjustment. (m) Calibrated equipment is subject to
unauthorized adjustment

9.2.11.4 Calibration Equipment shall be calibrated against national or (M) The calibration standards are not
international reference standards and methods or to known
accuracy appropriate to its use. In cases where (M) Calibration standards are known but
standards are not available, the supplier shall provide not followed
evidence to support the calibration reference method
applied.

9.2.11.5 Calibration Calibration shall be performed according to regulatory (m) Calibration schedule does not meet
requirements and/or to the equipment manufacturers regulatory requirements
recommended schedule. (m) Calibration schedule has not been
developed
(m) Calibration schedule doe not follow
recommended frequency

9.2.11.6 Calibration Calibration records shall be maintained. (M) No calibration records are maintained
(m) Calibrations records are not complete

9.2.12.1 Management of Pests and Vermin
The methods and responsibility for integrated pest
management shall be documented and effectively
implemented. The premises, its surrounds, storage
facilities, machinery and equipment shall be kept free
of waste or accumulated debris so as not to attract
pests and vermin.
(M) No methods for integrated pest
management documented
(m) Responsibility of integrated pest
management not included in program
(m) Pest management program does not
include exterior or surrounding areas of
facility
(m) Facility has pest harborage areas
observed
(m) Exterior of facility has pest harborage
areas observed
 Clause
9.2.12.2 Management of Pests and Vermin
9.2.12.3 Management of Pests and Vermin
9.2.12.4 Management of Pests and Vermin
9.2.12.5 Management of Pests and Vermin
9.2.12.6 Management of Pests and Vermin
Item
The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance of
the pest and vermin management program, identify
the target pests for each pesticide application, outline
the methods used to prevent pest problems, outline
the pest elimination methods, outline the frequency
with which pest status is to be checked, include on a
site map the identification, location, number and type
of bait stations set, list the chemicals used (they are
required to be approved by the relevant authority and
their Safety Data Sheets (SDS) made available),
outline the methods used to make staff aware of the
bait control program and the measures to take when
they come in contact with a bait station, outline the
requirements for staff awareness and training in the
use of pest and vermin control chemicals and baits,
measure the effectiveness of the program to verify the
elimination of applicable pests.
Inspections for pest activity shall be undertaken on a (M) No inspections are made of pest
regular basis by trained personnel and the appropriate control devices
action taken if pests are present.
Records of all pest control applications shall be
maintained.
Pesticides and other toxic chemicals shall be clearly
labeled and stored as described in element 9.6.6 and
handled and applied by properly trained personnel.
They shall be used by or under the direct supervision
of trained personnel with a thorough understanding of
the hazards involved, including the potential for the
contamination of food and food contact surfaces.
Pest control contractors shall be licensed and
approved by the local relevant authority, use only
trained and qualified operators who comply with
regulatory requirements, use only approved
chemicals, provide a pest control management plan
(see Contract Services 2.3.3) which will include a site
map indicating the location of bait stations and traps,
report to a responsible senior management person on
entering the premises and after the completion of
inspections or treatments, provide a written report of
their findings and the inspections and treatments
applied.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Methods for the pest management
program are not developed
(m) Target pests are not included in
program
(m) Methods used to prevent pest
problems are not defined
(m) Methods used to eliminate pests are
not defined
(m) No frequency for the checking of pest
status is developed
(m) Frequency not followed by responsible
personnel in the checking of pest control
devices
(m) Site map of pest control devices is not
available
(m) Site map of pest control devices is not
complete
(M) List of chemicals used for pest control
is not available
(m) List of chemical used for pest control is
not complete
(M) Unapproved chemicals for pest control
used in the facility
(m) No SDS sheet available for one
chemical used in facility
(M) No SDS sheets available for any
chemical used in facility
(m) No methods available for staff
awareness of pest control devices
(m) No methods available for staff
awareness of pest control chemicals and
baits
(m) No measures of the effectiveness of
the pest program arte in place
(m) Inspections of pest control devices are
made by untrained personnel
(m) No appropriate action taken when
issues are noted on pest control inspection
(m) Pest control records are not
maintained
(m) Pest control records are not complete
(m) Pesticides are not properly labeled
(m) Pesticides are not properly stored
(m) Pesticides are applied by non-trained
personnel
(M) Pest control operator is not licensed
(M) Pest control operator is not approved
by local relevant authority
(m) Pest control operator does not report
to facility management upon entry into
facility
(m) Pest control operator is not properly
trained
(m) Pest control operator does not have a
pest control management plan
(m) Pest control operator does not leave
written findings of inspection
(m) Final report left by Pest control
operator does not include chemicals
applied
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
9.2.12.7 Management of Pests and Vermin The supplier shall dispose of unused pest control (m) Empty pest control chemical
chemicals and empty containers in accordance with containers not properly disposed
regulatory requirements and ensure that empty (m) Unused pest control chemicals are not
chemical containers are not reused, are labeled, properly disposed
isolated and securely stored while awaiting collection, (m) Empty containers are not properly
unused and obsolete chemicals are stored under labeled
secure conditions while waiting authorized disposal by (m) Empty containers are not properly
an approved vendor. contained
(m) Unused and obsolete chemicals are not
stored secured

9.2.13.1 Equipment, Utensils and Protective
Clothing
Equipment and utensils shall be designed,
constructed, installed, operated and maintained so as construction, or maintenance poses a food
not to pose a contamination threat to product.
(M) Food contact equipment's design,
safety risk
(M) Food contact utensil's design,
construction, or maintenance poses a food
safety risk
(m) Non food contact equipment or utensil
is not maintained
(m) Non food contact equipment or utensil
is not properly designed

9.2.13.2 Equipment, Utensils and Protective
Clothing
Stunning, killing equipment, benches, tables, (M) Cleaning equipment is not dismantled
conveyors, and other mechanical equipment shall be (M) Cleaning is not able to be conducted
easily dismantled for cleaning where appropriate or (m) Equipment surfaces are not smooth
per manufacturer's recommendations, and located so (M) Large cracks in the equipment
as not pose a hindrance to the cleaning of the
premises. Equipment surfaces shall be smooth,
impervious and free from cracks or crevices.

9.2.13.3 Equipment, Utensils and Protective
Clothing
Product containers, knives, tubs, bins for edible and
inedible material shall be constructed of materials that
are non-toxic, smooth, impervious and readily
cleaned. Bins used for inedible material shall be
clearly identified.
(m) Food contact utensils are not properly
maintained
(m) Food contact utensils are not properly
designed
(M) Containers for inedible materials are
not properly labeled

9.2.13.4 Equipment, Utensils and Protective Waste and overflow water from tubs, tanks and other (m) Waste water is discharged on floor
Clothing equipment shall be discharged direct to the floor (m) Waste water is not properly drained
drainage system.

9.2.13.5 Equipment, Utensils and Protective Protective clothing shall be manufactured from (m) Protective clothing is not easily cleaned
Clothing material that is not liable to contaminate food and
easily cleaned.

9.2.13.6 Equipment, Utensils and Protective
Clothing
Racks shall be provided for the temporary storage of (M) Racks are not provided
protective clothing when staff leaves the processing or (m) Racks are not poorly designed
packing areas and shall be provided in close proximity (m) Racks are not located near access
or adjacent to the personnel access doorways and doorways
hand washing facilities.

9.2.14.1 Cleaning and Sanitation
The methods and responsibility for the cleaning of the
product handling equipment and environment,
storage areas, staff amenities and toilet facilities shall
be documented and implemented. Consideration shall
be given to what is to be cleaned, how it is to be
cleaned, when it is to be cleaned, who is responsible
for the cleaning, methods used to confirm the correct
concentrations of detergents and sanitizers, the
responsibility and methods used to verify the
effectiveness of the cleaning and sanitation program.
(M) Facility does not have a cleaning
program developed
(M) Critical equipment and areas of the
facility are not covered in cleaning program
(m) Cleaning methods do not include what
is to be cleaned
(m) Cleaning methods do not include how
items are to be cleaned
(m) Cleaning methods do not include
frequency of cleaning
(m) Cleaning methods do not include
responsibility for cleaning
(m) Cleaning program does not include
method for verification of effectiveness of
sanitation

9.2.14.2 Cleaning and Sanitation
Provision shall be made for the effective cleaning of
processing equipment, utensils and protective
clothing.
(M) The cleaning of processing equipment
is ineffective
(M) The cleaning of utensils is ineffective
(m) The cleaning of protective clothing is
ineffective
 Clause
9.2.14.3 Cleaning and Sanitation
9.2.14.4 Cleaning and Sanitation
9.2.14.5 Cleaning and Sanitation
9.2.14.6 Cleaning and Sanitation
9.2.14.7 Cleaning and Sanitation
9.2.14.8 Cleaning and Sanitation
9.2.14.9 Cleaning and Sanitation
9.3.1.1 Personnel
Item
Suitably equipped areas shall be designated for
cleaning product containers, knives, cutting boards
and other utensils and for protective clothing used by
cleaning staff. These cleaning operations shall be
controlled so as not to interfere with manufacturing
operations, equipment or product. Racks and
containers for storing cleaned utensils and protective
clothing shall be provided as required.
Pre-operational hygiene and sanitation inspections
shall be conducted by qualified personnel to ensure
food processing areas, product contact surfaces,
equipment, staff amenities and sanitary facilities and
other essential areas are clean before the
commencement of production.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Detergents and sanitizers shall be suitable for use in a
food manufacturing environment, and purchased in
accordance with applicable legislation. The
organization shall ensure an inventory of all chemicals
purchased and used shall be maintained, detergents
and sanitizers are stored as outlined in element 9.6.6,
Safety Data Sheets (SDS) are provided for all
detergents and sanitizers purchased, only trained staff
handles sanitizers and detergents, empty detergent
and sanitizer containers are appropriately cleaned,
treated and labeled before use, empty detergent and
sanitizer containers are labeled, isolated and securely
stored while awaiting collection, unused and obsolete
detergents and sanitizers are stored under secure
conditions while waiting authorized disposal by an
approved vendor.
The suppliershall dispose of unused detergents and
sanitizers and empty containers in accordance with
regulatory requirements and ensure that: Empty
detergent and sanitizer containers are appropriately
cleaned, treated and labeled before use; Empty
detergent and sanitizer containers are labeled,
isolated and securely stored while awaiting collection;
and Unused and obsolete detergents and sanitizers
are stored under secure conditions while waiting
authorized disposal by
an approved vendor.
Where automated equipment is used to sterilize
knives and tools, the temperature must be
documented.
A record of pre-operational hygiene inspections,
cleaning and sanitation activities, and verification
activities shall be maintained.
Personnel suffering from infectious diseases or who
are carriers of any infectious disease shall not engage
in product handling or processing operation.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Cleaning of utensils is carried out close
to processing operations
(m) Control of cleaning operations so as
not to contaminate product is ineffective
(m) Racks and areas for storing cleaned
utensils are not provided
(m) Racks and areas for storing cleaned
utensils are ineffective
(M) No pre-operational inspections are
completed to ensure cleanliness
(m) Not all critical areas of the facility are
include in pre-operational inspections
(m) Personnel conducting pre-operational
inspections are not qualified
(m) No sanitation verification schedule is
available
(m) No methods established for verification
of sanitation
(m) No responsibility is established for
verification of sanitation
(m) Detergents or sanitizers do not meet
local regulatory requirements
(m) No inventory of chemicals purchased is
available
(m) The inventory of chemicals purchased
is not current and up to date
(m) Detergents and/or sanitizers are not
stored per section 11.6.4
(M) SDS sheets are not available for
detergents or sanitizers purchased
(m) One detergent or sanitizer does not
have SDS sheet
(m) Personnel handling cleaning chemicals
are not properly trained
(m) Temperature is not documented
(M) Temperature does not meet
specification
(m) Records of cleaning and sanitation
activities are not maintained
(m) Records of cleaning and sanitation
activities are not complete
(m) Records of hygiene inspections are not
maintained
(m) Records of cleaning and hygiene
inspections are not complete
(M) Personnel who are engaged in product
handling exhibit signs of illness (Potential
Critical)
(M) Personnel who have been ill with an
infectious illness are involved in food
processing (Potential Critical)
 Clause Item
9.3.1.2 Personnel Personnel with exposed cuts, sores or lesions shall not
be engaged in handling or processing products or
handling primary packaging materials or food contact
surfaces.
9.3.1.3 Personnel Minor cuts or abrasions on exposed parts of the body
shall be covered with a colored bandage containing a
metal strip or an alternative suitable waterproof and
colored dressing.
9.3.1.4 Personnel Smoking, chewing, eating, drinking or spitting is not
permitted in any food processing or food handling
areas.
9.3.2.1 Hand Washing Hand wash basins shall be provided adjacent to all
personnel access points and in accessible locations
throughout product handling, processing and
packaging areas as required.
9.3.2.2 Hand Washing Hand wash basins shall be constructed of stainless
steel or similar non-corrosive material and as a
minimum supplied with a potable water supply at an
appropriate temperature, liquid soap contained within
a fixed dispenser, paper towels in a hands-free
cleanable dispenser, a means of containing used paper
towels.
9.3.2.3 Hand Washing The following additional facilities shall be provided in
high risk areas: hands-free operated taps, hand
sanitizers.
9.3.2.4 Hand Washing A sign instructing people to wash their hands, and in
appropriate languages, shall be provided in a
prominent position.
9.3.2.5 Hand Washing Personnel shall have clean hands and hands shall be
washed by all personnel, including staff, contractors
and visitors on entering food handling or processing
areas, after each visit to the toilet, after using a
handkerchief, after smoking, eating or drinking,
handling wash down hoses, dropped products or
contaminated material.
9.3.2.6 Hand Washing When gloves are used, personnel shall maintain the
hand washing practices outlined above.
9.3.3.1 Clothing Clothing worn by staff engaged in handling products
shall be maintained, stored, laundered and worn so as maintained
not to present a contamination risk to the products. (m) Staff clothing in processing area is not
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Personnel observed handling food
products with sores or cuts on hands with
no controls (Potential Critical)
(M) Controls for personnel injuries to
hands do not include appropriate alert
controls
(m) Bandages provided for cuts are
inadequate
(M) Controls for personnel injuries to
hands do not include appropriate alert
controls
(m) Bandages provided for cuts are
inadequate
(M) Evidence of smoking, eating, drinking
observed in food processing areas
(m) Evidence of smoking, eating, drinking
observed in food handling areas
(M) Employees observed smoking, eating
or drinking in food processing or handling
areas
(M) No hand wash basins available for
personnel
(m) Hand wash basins not located at
accessible points
(m) Hand wash basins not located at
personnel access points
(m) Hand was basin not constructed of
appropriate material
(m) Hand wash basin does not have water
at appropriate temperature
(m) No liquid soap available at hand wash
station
(m) No paper towels available at hand
wash station
(m) No means to contain used paper
towels available at hand wash station
(m) No hands free taps used at hand wash
stations in high risk areas
(m) No hand sanitizer used at hand wash
stations in high risk areas
(m) No signage available for personnel to
wash their hands
(m) Signage for hand washing is not
located in prominent position
(M) Personnel observed in food handling
area with dirty hands
(M) Personnel observed not washing hands
upon entering processing area
(M) Personnel observed not washing hands
upon leaving restroom
(M) Personnel observed not washing hands
after handling hoses or trash
(M) Personnel observed not washing hands
after eating, drinking, or smoking
(m) Personnel seen using gloves instead of
following hand washing requirements
(m) Facility policy on gloves does not
require proper hand washing protocols
(m) Clothing worn by staff is not properly
clean
(m) Staff clothing used in high risk
processing areas is worn off site
(M) Staff clothing presents a hazard to
product
 Clause Item
9.3.3.2 Clothing Staff engaged in high risk areas shall change into clean (M) there is no clean or temporary clothing
clothing when entering high risk areas.
9.3.3.3 Clothing Clothing shall be clean at the commencement of each
shift and maintained in a serviceable condition.
Excessively soiled uniforms shall be changed where
they present a product contamination risk.
9.3.3.4 Clothing Disposable gloves and aprons shall be changed after
each break, upon re-entry into the processing area and (m) Disposable gloves and aprons not
when damaged.
9.3.3.5 Clothing Non-disposable aprons and gloves shall be cleaned
and sanitized as required and when not in use stored
on racks provided in the processing area and not on
packaging, ingredients, product or equipment.
9.3.4.1 Jewelry and Personal Effects Jewelry and other loose objects shall not be worn or
taken into a product handling or processing operation
or any area where food is exposed. The wearing of
plain bands with no stones and medical alert bracelets
that cannot be removed can be permitted, however
the supplier will need to consider their customer
requirements and the applicable food legislation.
9.3.5.1 Visitors All visitors, including management and maintenance
staff, shall wear suitable clothing and footwear when
entering any food processing or handling area.
9.3.5.2 Visitors All visitors shall be required to remove jewelry and
other loose objects.
9.3.5.3 Visitors Visitors exhibiting visible signs of illness shall be
prevented from entering areas in which food is
handled or processed.
9.3.5.4 Visitors Visitors shall enter and exit food handling areas
through the proper staff entrance points and comply
with all hand washing and personal practice
requirements.
9.3.6.1 Staff Amenities Staff amenities supplied with appropriate lighting and
ventilation shall be made available for the use of all
persons engaged in the handling and processing of
products.
9.3.7.1 Change Rooms Facilities shall be provided to enable staff and visitors
to change into and out of protective clothing as
required.
9.3.7.2 Change Rooms Change rooms shall be provided for staff engaged in
the processing or packaging operations.
9.3.7.3 Change Rooms Provision shall be made for staff to store their street
clothing and personal items separate from product
contact zones and product and packaging storage
areas.
9.3.7.4 Change Rooms Where required a sufficient number of showers shall
be provided for use by staff.
Secondary Response Primary Response Evidence Supplier Onsite Correction
available for staff in high risk areas
(M) Staff observed in high risk areas in
incorrect clothing
(m) Staff clothing not clean at the start of
each shift
(m) Excessive dirty uniforms not changed
as necessary
(m) Disposable gloves reused by staff
changed upon re-entry into processing
area
(m) Non-disposable gloves and/or aprons
not properly cleaned between usage
(m) Non-disposable gloves and/or aprons
are not stored in their designated area
(m) Staff in processing area observed
wearing jewelry
(m) Staff in processing areas observed
wearing loose objects
(m) No control process in place for
addressing jewelry for employees and
visitors
(m) Visitors observed wearing unsuitable
footwear or clothing in processing areas
(m) Management observed not following
company protocol on clothing or footwear
(m) Visitors observed wearing jewelry in
processing or handling areas
(m) Visitors observed wearing unsuitable
loose items in processing or handling areas
(M) Visitors observed with illness are
allowed in processing areas
(m) Visitors observed not following facility
protocols on hygiene
(m) Visitors observed not following facility
protocols on access to processing and
handling areas
(m) Staff amenities do not have adequate
lighting
(m) Staff amenities do not have adequate
ventilation
(m) Staff amenities are not available to all
staff who handle product
(m) No adequate amenities for visitors and
staff
(m) Amenities are not available to change
into protective clothing
(m) No change rooms provided for high risk
personnel
(m) No change rooms provided for
personnel engaged in highly soiled
processing
(m) No amenities available for the storage
of staff personal items
(m) Storage of personal items is not
separated from processing areas
(m) There are not enough showers where
they are required
(m) No showers are available where they
are required
 Clause Item
9.3.8.1 Laundry Provision shall be made for the laundering and storage
of clothing worn by staff engaged in high risk
processes and for staff engaged in processing
operations in which clothing can be heavily soiled.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No provisions are made for laundering
of protective clothing worn by staff
(M) No provisions are available for
laundering of high risk protective clothing

9.3.9.1 Sanitary Facilities
Toilet rooms shall be designed and constructed so that
they are accessible to staff and separate from any
processing and food handling operations, be accessed
from the processing area via an airlock vented to the
exterior or through an adjoining room, be sufficient in
number for the maximum number of staff,
constructed so that they can be easily cleaned and
maintained, be kept clean and tidy.
(M) Toilets open directly into processing
areas with no other controls in place
(m) Toilets are not adequate in number for
the maximum number of staff
(m) Toilets can not be easily cleaned
(m) Toilets are not constructed so that they
can be easily maintained
(m) Toilets are untidy and/or dirty

9.3.9.2 Sanitary Facilities Sanitary drainage shall not be connected to any other (m) Sanitary drainage is connected to
drains within the premises and shall be directed to a drains within processing facility
septic tank or a sewer system.

9.3.9.3 Sanitary Facilities Hand wash basins shall be provided immediately (M) No hand was basins are available near
outside or inside the toilet room and designed as the toilets
outlined in element 9.3.2.2. (m) Hand wash basin near the toilets do
not meet section 11.3.2.2

9.3.10.1 Lunch Rooms Separate lunch room facilities shall be provided away (m) Lunch facilities are not separated from
from a product contact/handling zone. processing areas
(m) Lunch facilities are not separated from
product storage or handling area

9.3.10.2 Lunch Rooms
Lunch room facilities shall be ventilated and well lit,
provided with adequate tables and seating to cater for
the maximum number of staff at one sitting, equipped
with a sink serviced with hot and cold potable water
for washing utensils, equipped with refrigeration and
heating facilities enabling them to store or heat food
and to prepare non-alcoholic beverages if required,
kept clean and free from waste materials and pests.
(m) Lunch room facility are not properly
ventilated
(m) Lunch room facility is not well lit
(m) Lunch room facility does not
adequately fit staff
(m) No sink with hot and cold water is
available in lunch facility
(m) The lunch room is not kept clean and
tidy
(m) Proper heating or cooling facilities are
not provided in lunch facility

9.3.10.3 Lunch Rooms Signage in appropriate languages instructing people to (m) No hand wash sign available at the exit
wash their hands before entering the food processing of the lunch facility
areas shall be provided in a prominent position in (m) Signage at the exit of the lunch facility
break rooms and at break room exits. is not in correct languages

9.3.11.1 First Aid First aid facilities shall be provided to treat minor (m) No first aid facilities are available
injuries and suitable arrangements shall be provided in (m) No arrangements have been made to
circumstances when a patient requires more provide for more specialized care as
specialized care. required

9.4.1.1 Animal Husbandry
Ante mortem inspections by a qualified person shall be (M) Ante mortem inspections are not
carried out to ensure animals are free from disease carried out
and fit for human consumption. (m) Persons carrying out the inspections
are not qualified
(M) Inspections do not look for animals
that are free from disease

9.4.1.2 Animal Husbandry Animals that are subject to the control of prohibited
substances such as veterinary medicine, heavy metals,
or pesticides, shall be identified, and procedures
implemented for their segregation and processing.

9.4.1.3 Animal Husbandry Animals for slaughter shall have uncontaminated (m) Water used is not checked for
water at all times, and clean feed if held in lairage for contaminations
extended periods. (m) Clean feed is not provided

9.4.1.4 Animal Husbandry
Employees responsible for the care and management
of animals ante mortem shall be trained and
competent in animal handling and welfare. They shall
be able to recognize the early signs of distress and
disease and ensure pain and stress to animals is
minimized.
(m) Staff is not trained to handle animals
(M) Staff is not competent to handle
animals
(m) Staff cannot recognize the early signs
of distress
(m) Staff cannot recognize the early signs
of disease
(m) Staff cannot ensure stress to animals is
minimized
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
9.4.1.5 Animal Husbandry Animals deemed to be diseased or otherwise unfit for (M) Animals unfit for human consumption
human consumption must be segregated from healthy are not segregated
animals and condemned or otherwise excluded from (M) Animals are not excluded from
processing. processing

9.4.1.6 Animal Husbandry The supplier shall implement measures to prevent (M) There are no measures implemented
cross contamination of animals for slaughter from
agricultural or cleaning chemicals, waste materials, or
other materials that could contaminate the animals.

9.4.2.1 Slaughtering and Butchering Only slaughtering methods that are humane and (M) Slaughter methods do not follow
approved for use for a given species by national or national or international regulations
international regulations shall be used. (M) Slaughter methods are not humane

9.4.2.2 Slaughtering and Butchering Where a two stage process is used, the time interval (M) Stunning and killing process does not
between stunning and killing shall not exceed follow regulatory requirements
regulatory requirements. The use of direct air
injection is not permitted.

9.4.2.3 Slaughtering and Butchering
The facility shall have a pathogen control program that (M) No pathogen control program in place
addresses known biological hazards and demonstrates (m) Program does not address all known
compliance to regulations or customer standards. biological hazards
(m) Program does is not in compliance with
customer standards
(M) Program is not compliance with
regulatory standards

9.4.2.4 Slaughtering and Butchering Knives and tools used for skinning shall be cleaned and (m) Tools used for skinning are not cleaned
sterilized between each carcass. Knives and tools that and sanitized between each carcass
become contaminated shall be cleaned and sterilized (m) Knives are not cleaned prior to the use
prior to use on edible tissue. on edible tissue

9.4.2.5 Slaughtering and Butchering
Procedures shall be documented and implemented to
maintain the hygienic condition of the carcass and
avoid contamination. Fecal matter shall be removed
at the slaughter floor and the carcass shall be
inspected by an authorized person post mortem for
signs of disease or contamination.
(M) No procedure in place to maintain the
condition of the carcass
(M) Procedure is not implemented
(M) Fecal matter is not removed
(M) Carcass is not inspected

9.4.2.6 Slaughtering and Butchering
9.4.2.7 Slaughtering and Butchering
Where applicable, procedures shall be in place for the (m) No procedure in place to grade carcass
grading of carcasses.
Cooling processes shall have defined time and (m) Cooling processes do not have defined
temperature requirements and be regularly monitored time and temperature requirements
and recorded. (M) Time and temperature requirements
are not appropriate
(m) Time and temperature requirements
are not being monitored

9.4.2.8 Slaughtering and Butchering Procedures shall be in place for the safe and hygienic (M) No procedure in place for evisceration
evisceration and primal cutting of the carcass and the and primal cutting
identification of edible and non-edible parts.

9.4.2.9 Slaughtering and Butchering Edible parts of the carcass shall be processed, and (M) Edible parts of the carcass are
stored using clean, sanitized tools and containers and processed using unclean tools
protected from contamination. They shall be covered (m) Edible parts are not covered when not
when not in process. in process

9.4.2.10 Slaughtering and Butchering All edible parts of the carcass shall be identified (M) Edible parts of the carcass are not
through the post mortem inspection process and identified
traceable back to the animal and date and time of (m) Parts are not traceable back to the
slaughter. date and time of slaughter

9.4.2.11 Slaughtering and Butchering
Slaughter and butchering hygiene shall be regularly
monitored for, at minimum, fecal pathogens. Testing
shall include swabbing of tables, benches, and tools,
and product microbiological analysis. Risk-based
species-specific microbiological analysis shall also be in
place.
(M) Operation is not monitored for fecal
pathogens
(m) Test does not include swabbing of
tables
(m) Test does not include swabbing of
benches
(m) Test does not include swabbing of
tools
(M) Microbiological analysis is not in place
 Clause
9.4.2.12 Slaughtering and Butchering
9.4.3.1 Staff Engaged in Product Handling,
Processing and Packaging Operations
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
All wash down hoses shall be stored on hose racks (m) Wash down hose found stored on floor
after use and not left on the floor.
All personnel engaged in any product handling, (m) Handling of product caused damage to
processing or packaging operations shall ensure that the product
products and materials are handled and stored in such
a way as to prevent damage or product
contamination.

9.4.3.2 Staff Engaged in Product Handling,
Processing and Packaging Operations
All personnel engaged in any product handling,
processing or packaging operations shall comply with
the following processing practices: personnel entry to
processing areas shall be through the personnel access
doors only, all doors are to be kept closed. Doors shall
not be left open for extended periods when access for
waste removal or receiving of
product/ingredient/packaging is required, packaging
material, product, and ingredients shall be kept in
appropriate containers as required and off the floor,
Waste shall be contained in the bins identified for this
purpose and removed from the processing area on a
regular basis and not left to accumulate.
(m) Personnel observed not following
facility protocols on access to processing
and handling areas
(m) Exterior doors open with no protective
controls in place
(M) Exterior doors directly into processing
areas or handling areas left open with no
controls in place
(M) Employees observed not washing
hands upon entering processing area
(m) Employees observed not following
hand washing protocols upon entering
processing areas
(m) Employees observed wearing false
fingernails in food handling areas
(m) Employees observed wearing fingernail
polish in food handling areas
(M) Food product or ingredients found on
floor
(m) Food product or ingredients stored in
non-appropriate containers
(M) Packaging material that will directly
contact food is stored on floor
(m) Waste containers not properly
identified
(m) Waste containers in processing or
handling areas found overflowing
(m) Employees seen eating in processing or
handling areas

9.5.1.1 Water Supply Adequate supplies of potable water drawn from a (M) Water used in processing not from a
known clean source shall be provided for use during potable source
processing operations, and for cleaning the premises (m) Water used in processing does not
and equipment. have adequate quantities available

9.5.1.2 Water Supply Supplies of hot and cold water shall be provided as
required to enable the effective cleaning of the
premises and equipment.
(M) No hot water available to clean
equipment
(M) No water available to clean equipment
(m) Water supply to clean facility is not
adequate to properly clean

9.5.2.1 Monitoring Water Microbiology and
Quality
Water used for
i. washing, thawing and treating food;;
ii. an ingredient or food processing
aid;;
iii. cleaning food contact surfaces;;
iv. the m anufacture of ice;; and
v. the manufacture of steam that will come in
contact with food or used to heat water that will
come in contact with food
shall comply with local,
national or internationally recognized potable water
microbiological and quality
standards as required.
(M) Non potable water used to treat or
rinse product (Potential Critical)
(m) Water used as an ingredient does not
meet quality requirements
(M) Non-potable water used to clean food
contact surfaces
(M) Non-potable water used to make ice
(m) Ice is made from water that does not
meet quality requirements
(m) Non-potable water used to create
steam that will come in contact with food

9.5.3.1 Water Delivery The delivery of water within the premises shall ensure (M) Water supply is not adequately
potable water is not contaminated. protected
(m) A cross connection exists that could
result in a back flow of water

9.5.3.2 Water Delivery The use of non-potable water shall be controlled such (m) There is a possible cross contamination
that there is no cross contamination between potable between potable and non-potable water
and non-potable water lines. lines
(M) Potable water has been contaminated
by non-potable water
(m) Non-potable water pipes and outlets
are not labeled
(m) No non-return devices are installed on
non-potable water lines
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
9.5.4.1 Water Treatment Water treatment methods, equipment and materials (M) Water treatment is required, but is not
shall be designed, installed and operated to ensure available
water receives an effective treatment. (M) Water treatment is incorrectly
designed

9.5.4.2 Water Treatment Water treatment equipment shall be monitored (M) Water treatment equipment is not
regularly to ensure it remains serviceable. monitored
(m) Water treatment equipment is not
regularly monitored

9.5.4.3 Water Treatment Treated water shall be regularly monitored to ensure it (M) Treated water is not monitored
meets the indicators specified. (m) Treated water is not regularly
monitored

9.5.5.1 Ice Supply Where ice is required, adequate supplies of ice derived
from water that complies with element 9.5.2.1 shall be
provided for use during processing operations or as a
processing aid or an ingredient.
(M) Ice made from non-potable water
(m) Required supplies of potable ice are
not available
(m) Ice not properly protected during use
(M) Ice in contact with food product does
not comply with national standards

9.5.5.2 Ice Supply Ice rooms and receptacles shall be constructed of
materials as outlined in elements 9.2.2, 9.2.3, and
9.2.4 and designed to minimize contamination of the
ice during storage and distribution.
(m) Ice storage areas could potentially
contaminate ice
(m) Ice storage areas not properly designed
(m) Ice storage areas are constructed from
inappropriate materials

9.5.6.1 Analysis Microbiological analysis of the water and ice supply
shall be conducted to verify the cleanliness of the
supply, the monitoring activities and the effectiveness
of the treatment measures implemented.
(M) Water and ice are not microbiologically
tested to verify cleanliness of the supply
(m) Water and ice are not regularly tested
to verify the effectiveness of treatment
methods

9.5.6.2 Analysis Water and ice shall be analyzed using reference (m) Appropriate standards are not used to
standards and methods. analyze water or ice
9.5.7.1 Air Quality Compressed air that contacts food or food contact (M) Compressed air that is in contact with
surfaces shall be clean and present no risk to food food is not filtered or otherwise treated
safety (m) Filters are not checked or changed
(m) The facility does not have a standard
for microbiological purity of compressed
air that contacts food

9.5.7.2 Air Quality Compressed air systems (M) Compressed air that is in contact with
used in the production process shall be food is not checked for purity
maintained and regularly monitored for
purity

9.6.1.1 Animal Transport Vehicles used for transport of animals for slaughter
shall be fit for purpose and clean. Vehicles shall be
inspected and a record kept of the inspection.
(M) Improper vehicles are used to
transport animals for slaughter
(m) Vehicles are not clean
(m) Vehicles are not inspected
(m) No record of inspections

9.6.1.2 Animal Transport Transport times for animals for slaughter shall be kept (m) Transportation times are not recorded
to a minimum and times recorded. (m) Transportation times are excessive

9.6.2.1 Pens and Yards Where animals are held for extended periods in pens (m) Provision is not made for sufficient
and yards, adequate supplies of water and fodder shall supplies of water
be provided. (m) Provision is not made for sufficient
fodder
(m) Provision is not made for sufficient
cleaning
(m) Provision is not made for sufficient
waste removal

9.6.3.1 Chilling of Product, Cool Storage, and
Cold Storage
The supplier shall provide confirmation of the effective
operational performance of freezing, chilling, and cold
storage facilities, and cool rooms. Chillers, blast
freezers, and cold storage rooms shall be designed and
constructed to allow for the hygienic and efficient
refrigeration and storage of food, easily accessible for
inspection and cleaning.
(m) Supplier has not confirmed effective
operation of cold storage areas
(m) Cold storage rooms are not properly
designed
(m) Cold storage rooms are not properly
constructed for easy cleaning
(m) Cold storage areas are not easily
accessible for inspection
 Clause
9.6.3.2 Chilling of Product, Cool Storage, and
Cold Storage
9.6.3.3 Chilling of Product, Cool Storage, and
Cold Storage
9.6.3.4 Chilling of Product, Cool Storage, and
Cold Storage
9.6.3.5 Chilling of Product, Cool Storage, and
Cold Storage
9.6.4.1 Storage of Dry Ingredient, Packaging,
and Shelf Stable Packaged Goods
9.6.4.2 Storage of Dry Ingredient, Packaging,
and Shelf Stable Packaged Goods
9.6.4.3 Storage of Dry Ingredient, Packaging,
and Shelf Stable Packaged Goods
9.6.5.1 Storage of Equipment and Containers Storage rooms shall be designed and constructed to
allow for the hygienic and efficient storage of
equipment and containers.
9.6.6.1 Storage of Hazardous Chemicals and
Toxic Substances
9.6.6.2 Storage of Hazardous Chemicals and
Toxic Substances
9.6.6.3 Storage of Hazardous Chemicals and
Toxic Substances
9.6.6.4 Storage of Hazardous Chemicals and
Toxic Substances
Item
Sufficient refrigeration capacity shall be available to
chill, freeze, store chilled, or store frozen product at
the maximum anticipated throughput with allowance
for periodic cleaning of storage rooms.
Discharge from defrost and condensate lines shall be
controlled and discharged to the drainage system.
Freezing, chilling, and cold storage rooms shall be
fitted with temperature monitoring equipment and
located so as to monitor the warmest part of the room
and be fitted with measurement devices that are
easily readable and accessible.
Loading and unloading docks shall be designed to
protect product during loading and unloading.
Rooms used for the storage of product ingredients,
packaging, and other dry goods shall be located away
from wet areas and constructed to protect the
product from contamination and deterioration.
Racks provided for the storage of packaging shall be
constructed of impervious materials and designed to
enable cleaning of the floors and the storage room.
Storage areas shall be constructed to prevent
packaging becoming a harborage for pests or vermin.
Vehicles used in food contact, handling or processing
zones or in cool storage rooms shall be designed and
operated so as not to present a food safety hazard.
Hazardous chemicals and toxic substances with the
potential for food contamination shall be stored so as
not to present a hazard to staff, product, packaging,
product handling equipment or areas in which product
is handled, stored or transported.
Utensils and packaging shall not be stored in areas
used to store hazardous chemicals and toxic
substances.
Daily supplies of chemical used for continuous
sanitizing of water or as a processing aid, or for
emergency cleaning of equipment or surfaces in
product contact zones, may be stored within or in
close proximity to a processing or packaging area
provided access to the chemical storage facility is
restricted to authorized personnel.
Pesticides, rodenticides, fumigants and insecticides
shall be stored separate from sanitizers and
detergents. All chemicals shall be stored in their
original containers.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Facility does not have adequate
refrigeration capacity
(m) Facility does not have the adequate
freezer capacity
(m) Excessive condensation found in cold
storage area
(m) Water discharge in cold storage area
poses a risk to contaminate product
(M) Water discharge in cold storage area is
directly on stored product
(m) Excessive frost in freezer on ceiling and
walls
(M) Excessive frost in freezer on stored
product
(M) Cold storage areas do not have
temperature monitoring equipment
(m) Temperature monitoring devices is not
located near the warmest part of cold
storage area
(m) Temperature monitoring devices are
not easily accessible
(m) Docks are not designed to adequately
protect product
(m) Docks areas are not adequately
maintained
(m) Product storage rooms are located
near wet processing which creates the
potential for water contamination
(m) Storage rooms are not adequately
designed to protect product
(m) Packaging racks are made of material
that is not easily cleanable
(m) Packaging racks do not allow access to
floor / wall junction for cleaning
(M) Packaging storage areas is found to be
a pest harborage area
(M) Vehicle used in food processing,
storage, or cold storage areas release
hydrocarbon emissions
(M) Vehicles used present a hazard to the
food product
(m) Equipment storage area does not allow
access for cleaning
(m) Equipment storage area does not
protect equipment during storage
(m) Chemicals present a hazard to staff due
to improper storage
(M) Chemicals are stored next to or directly
over product
(m) Processing utensils are stored in areas
used to store hazardous chemicals
(m) Packaging is stored in an area used to
store hazardous chemicals
(M) Daily supplies of chemicals present a
potential hazard to food products
(m) Daily supplies of chemicals are not
stored correctly
(m) Sanitizers and detergents are stored
with pesticides or other toxic chemicals
(m) Chemicals are not stored in original
container
 Clause Item
9.6.6.5 Storage of Hazardous Chemicals and Hazardous chemical and toxic substance storage
Toxic Substances facilities shall be compliant with national and local
legislation and designed such that there is no cross-
contamination between chemicals, adequately
ventilated, provided with appropriate signage
indicating the area is a hazardous storage area, secure
and lockable to restrict access only to those personnel
with formal training in the handling and use of
hazardous chemicals and toxic substances, have
instructions on the safe handling of hazardous
chemicals and toxic substances readily accessible to
staff, be equipped with a detailed and up-to-date
inventory of all chemicals contained in the storage
facility, have suitable first aid equipment and
protective clothing available in close proximity to the
storage area, in the event of a hazardous spill, be
designed such that spillage and drainage from the area
is contained, be equipped with spillage kits and
cleaning equipment.
9.6.7.1 Alternative Storage and Handling of Where goods described in elements 9.6.1 to 9.6.6 are (m) No risk analysis conducted for
Goods held under temporary or overflow conditions that are alternative storage and handling of goods
not designed for the safe storage of goods, a risk
analysis shall be undertaken to ensure there is no risk
to the integrity of those goods or contamination or
adverse effect on food safety and quality.
9.6.8.1 Loading, Transport and Unloading The practices applied during loading, transport and
Practices unloading of food shall be documented, implemented
and designed to maintain appropriate storage
conditions and product integrity. Product shall be
loaded, transported and unloaded under conditions
suitable to prevent cross contamination.
9.6.9.1 Loading Vehicles (trucks/vans/containers) used for
transporting products shall be inspected prior to
loading to ensure they are clean, in good repair,
suitable for the purpose and free from odors or other
conditions that may impact negatively on the
products.
9.6.9.2 Loading Loading practices shall be designed to minimize
unnecessary exposure of product to conditions
detrimental to maintaining Product and package
integrity.
9.6.10.1 Transport Refrigerated units shall maintain the product at
required temperatures and the unit's temperature
settings shall be set, checked and recorded before
loading and core product temperatures recorded at
regular intervals during loading as appropriate.
9.6.10.2 Transport The refrigeration unit shall be operational at all times
and checks completed of the units operation, the door
seals and the storage temperature checked at regular
intervals during transit.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Chemical storage rooms do not meet
local regulations
(m) Chemical storage rooms are not
properly ventilated
(m) Chemical storage room is not properly
signed
(m) Chemical storage room is not secured
(m) There are no instructions on safe
handling of chemicals available
(m) There are no spillage kits, spillage
instructions,. or facilities to deal with spills
(m) There is no inventory of stored
chemicals
(m) The inventory does not agree with the
actual chemical stock
(M) Cross contamination observed
between chemicals
(m) Methods for loading of products are
not documented
(m) Methods for the transportation of
products are not documented
(M) Methods developed for product
loading and transport do not adequately
protect product
(M) Cross contamination to product
potentially exists during transport and
loading
(M) Product contamination observed
during transportation and/or loading
(Potential Critical)
(m) No pre-shipment review is conducted
on transportation vehicles
(m) Vehicles used to transport product are
not clean
(m) Vehicles used to transport product are
not properly maintained
(M) Loading and staging of product
exposed product to potential abuse
(m) Loading and/or staging practices are
potentially detrimental to product
(m) Pre-ship review of refrigerated
transport vehicle ds not include
temperature check
(m) Loading and staging of refrigerated
product do not include monitoring product
temperatures
(M) Refrigerated vehicles are not capable
of maintaining the product at the correct
temperature
(M) Refrigerated vehicles refrigeration unit
is not operated at all times when product is
transported
(m) Refrigerated vehicles are not inspected
during transit
 Clause
9.6.11.1 Unloading
9.6.11.2 Unloading
9.7.1.1 Process Flow
9.7.2.1 Receipt of Raw and Packaging
Materials and Ingredients
9.7.3.1. High Risk Areas
9.7.4.1 Control of Foreign Matter
Contamination
9.7.4.2 Control of Foreign Matter
Contamination
Item
Prior to opening the doors the refrigeration unit's
storage temperature settings and operating
temperature shall be checked and recorded.
Unloading shall be completed efficiently and product
temperatures shall be recorded at the commencement
of unloading and at regular intervals during unloading.
Unloading practices shall be designed to minimize
unnecessary exposure of product to conditions
detrimental to maintaining product and package
integrity.
The process flow shall be designed to prevent cross
contamination and organized so there is a continuous
flow of product through the processing and packaging
area. The flow of personnel shall be managed such
that the potential for contamination is minimized.
Dry ingredients and packaging shall be received and
stored separately from chilled raw materials to ensure
there is no cross contamination. Product shall be
received and stored separately to ensure there is no
cross contamination.
The processing of high risk food shall be conducted
under controlled conditions such that high risk areas
are protected/segregated from other processes, raw
materials or staff who handle raw materials to ensure
cross contamination is minimized, are only serviced by
staff dedicated to that function, access points are
located, designed and equipped to enable staff to don
distinctive protective clothing and to practice a high
standard of personal hygiene to prevent product
contamination, product transfer points are located
and designed so as not to compromise high risk
segregation and to minimize the risk of cross
contamination, an environmental monitoring program
shall be in place for high risk areas. As a minimum, a
written procedure detailing the applicable pathogens
or indicator organisms to test for (for that industry),
the number of samples to be taken, and the frequency
of sampling and corrective actions shall be
documented. The responsibility and methods shall be
documented and implemented. A sampling schedule
shall be prepared.
The responsibility and methods used to prevent
foreign matter contamination of product shall be
documented, implemented and communicated to all
staff.
Inspections shall be performed to ensure plant and (M) No inspections conducted to prevent
equipment remains in good condition and potential foreign material contamination of product
contaminants have not detached or become damaged
or deteriorated.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Temperatures of perishable product
are not checked prior to unloading of
product
(m) Temperatures of unit are not checked
prior to unloading of perishable product
(m) Temperatures of perishable product
are not monitored or controlled during
unloading
(M) Unloading, staging and cross-docking
of product exposed product to potential
abuse
(m) Unloading practices are potentially
detrimental to product
(m) Design of process flow may allow for
cross contamination
(M) Design of process flow creates direct
opportunity for cross contamination
(m) Packaging receiving is not separated
from raw materials
(M) Raw material and finished product
received and handled at same location
with no prevention steps taken
(m) Dry materials received in area where
potential for contamination exists
(M) High risk areas of facility are not
adequately segregated from raw material
handling areas
(M) High risk areas of facility are in direct
contact with raw material handling areas
(Potential Critical)
(M) High risk product is at risk due to
potential contact with raw materials
(M) Staff pass between high risk and raw
handling areas with no hygiene step
(M) Staff in high risk areas are not
dedicated and adequate controls are not in
place
(M) High risk areas have no controlled
access to ensure adequate staff hygiene
(m) No personal protective clothing is
required in high risk areas
(M) Staff observed not following company
policy on entering high risk areas
(M) Product transfer between high risk
areas and other areas poses risk to product
(M) Staff observed not following company
policy on product transfer policies
(M) There is no environmental monitoring
program in place
(M) Foreign material prevention methods
are not developed
(m) No responsibility for the prevention of
foreign material have been defined
(m) Foreign material prevention controls
are not communicated to staff
(M) Foreign material prevention controls
are not implemented
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
9.7.4.3 Control of Foreign Matter The use of temporary fasteners such as string, wire or (m) Temporary repairs are used in the
Contamination tape to fix or hold equipment shall not be permitted. facility

9.7.4.4 Control of Foreign Matter
Contamination
The following preventative measures shall be
implemented where applicable to prevent glass
contamination: All glass objects or similar material in
food handling/contact zones shall be listed in a glass
register including details of their location, containers,
equipment and other utensils made of glass, porcelain,
ceramics, laboratory glassware or other like material
(except where product is contained in packaging made
from these materials, or measurement instruments
with glass dial covers or MIG thermometers required
under regulation) shall not be permitted in food
processing/contact zones, conduct regular inspections
of food handling/contact zones to ensure they are free
of glass or other like material and to establish no
changes to the condition of the objects listed in the
glass register, inspect glass instrument dial covers on
processing equipment and MIG thermometers at the
start and finish of each shift to confirm they have not
been damaged.
(M) No glass register is developed
(m) Glass register is not complete, glass
objects missing in register
(m) Unapproved glass and brittle materials
found in processing area
(m) No glass objective inspections of
processing areas conducted
(m) Glass object inspections are not
conducted regularly
(m) No inspection of glass instrument dial
covers or thermometers conducted at start
of each shift

9.7.4.5 Control of Foreign Matter
Contamination
Wooden pallets and other wooden utensils used in
food handling/contact zones shall be dedicated for
that purpose, clean, maintained in good order and
their condition subject to regular inspection.
(m) Wood used in processing/handling
area is dirty
(m) Wood used in processing/handling
area is not maintained
(m) Wood used in processing areas is not
designed for the current use

9.7.4.6 Control of Foreign Matter
Contamination
Loose metal objects on equipment, equipment covers (m) Loose materials found on processing
and overhead structures shall be removed or tightly equipment
fixed so as not to present a hazard. (M) Loose materials observed in food
contact zones that present a hazard to
product

9.7.4.7 Control of Foreign Matter
Contamination
Knives and cutting instruments used in processing and (M) Dirty knives found in the processing
packaging operations shall be controlled, and kept area
clean and well maintained. (m) Knives incorrectly stored
(M) No cleaning/sanitizing procedures ion
place for knives and cutting instruments
(M) Cleaning/sanitizing protocol not being
followed

9.7.5.1 Detection of Foreign Objects
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using screens,
sieves, filters or other technologies to remove or
detect foreign matter shall be documented and
implemented.
(M) No methods developed for the
monitoring, maintenance, or calibration of
filters and screens
(m) No responsibility assigned for the
monitoring, maintenance, or calibration of
filters and screens
(M) No methods implemented for the
monitoring, maintenance, or calibration of
filters and screens

9.7.5.2 Detection of Foreign Objects
Metal detectors or other physical contaminant
detection technologies shall be routinely monitored,
validated and verified for operational effectiveness.
The equipment shall be designed to isolate defective
products and indicate when it is rejected.
(M) Physical contaminant detection
technology is not routinely monitored
(m) Physical contaminant detection
technology is not validated
(M) Physical contaminant detection
technology does not isolate defective
product
(m) Physical contaminant detection
technology does not indicate when
defective product identified

9.7.5.3 Detection of Foreign Objects
Records shall be maintained of the inspection by (M) Records are not maintained of foreign
foreign object detection devices, and their verification. body inspection
(M) Records are not maintained of the
verification of foreign body detection
equipment
 Clause
9.7.6.1 Managing Foreign Matter
Contamination Incidents
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
In all cases of foreign matter contamination the (M) Item or batch of product affected by
affected batch or item shall be isolated, inspected, foreign material contamination is not
reworked or disposed of. properly reworked
(M) Item or batch of product affected by
foreign material contamination is not
properly destroyed

9.7.6.2 Managing Foreign Matter
Contamination Incidents
In circumstances where glass or similar material
breakage occurs the affected area is to be isolated,
cleaned and thoroughly inspected (including cleaning
equipment and footwear) and cleared by a suitably
responsible person prior to the commencement of
operations.
(M) Area of glass breakage was not
properly isolated and cleaned prior to start
up of operations
(m) Area of glass breakage was not
properly inspected prior to start up of
operations

9.8.1.1 Location On site laboratories shall be located separate from any (m) On-site laboratory is not separated
food processing or handling activity and designed to from food processing area
limit access only to authorized personnel. (m) Laboratory access is not restricted to
only authorized personnel

9.8.1.2 Location Provision shall be made to isolate and contain all
laboratory waste held on the premises and manage it
separately from food waste. Laboratory waste water
outlet shall as a minimum be down stream of drains
that service food processing and handling areas.
(m) Laboratory waste is not properly
treated prior to disposal
(m) Laboratory waste is not adequately
contained and separated from facility
waste

9.8.1.3 Location Signage shall be displayed identifying the laboratory (m) Adequate signage is not available for
area as a restricted area accessible only by authorized the laboratory
personnel. (m) Signage does not state that only
authorized personnel allowed in laboratory

9.9.1.1 Dry and Liquid Waste Disposal
Procedures shall be documented and implemented for (m) There are no methods for handling
the collection and removal of animal waste materials waste documented
via authorized waste disposal contractors. (m) The methods for handling waste within
premises are not adequate to control all
waste
(m) Methods do not include proper storage
of waste prior to disposal

9.9.1.2 Dry and Liquid Waste Disposal The responsibility and methods used to collect and (m) Waste is not regularly removed from
handle dry, wet and liquid waste (other than animal processing areas
waste) and store prior to removal from the premises (m) Waste collection areas are not
shall be documented and implemented. maintained and not cleaned

9.9.1.3 Dry and Liquid Waste Disposal
Waste shall be removed on a regular basis and not
build up in food handling areas. Designated waste
accumulation areas shall be maintained in a clean and
tidy condition until such time as external waste
collection is undertaken.
(m) Containers for waste are not properly
maintained
(m) Trolleys, vehicles and equipment used
for waste are not properly cleaned

9.9.1.4 Dry and Liquid Waste Disposal
Waste disposal equipment, collection bins and storage
areas shall be maintained in a serviceable condition
and cleaned and sanitized regularly so as not to attract
pests and other vermin.
(m) Solid processing waste is not
adequately contained
(m) Solid processing waste is not properly
held in a separate facility
(m) Solid processing waste is not
adequately disposed

9.9.1.5 Dry and Liquid Waste Disposal
Adequate provision shall be made for the disposal of (m) Liquid waste is not adequately
all liquid waste from processing and food handling contained
areas. Liquid waste shall be either removed from the (m) Liquid waste is not properly held in a
processing environment continuously or held in a separate facility
designated storage area in lidded containers prior to (m) Liquid waste is not adequately
disposal so as not to present a hazard. disposed

9.9.1.6 Dry and Liquid Waste Disposal Reviews of the effectiveness of waste management (m) Daily inspections are not conducted to
shall form part of daily hygiene inspections and the monitoring handling of waste
results of these inspections shall be included in the (m) Daily inspection to review waste
relevant hygiene reports. handling are not documented

9.10.1.1 Grounds and Roadways
The grounds and area surrounding the premises shall
be maintained to minimize dust and be kept free of
waste or accumulated debris so as not to attract pests
and vermin.
(m) Exterior grounds are not maintained
and provide pest harborage areas
(m) Exterior grounds are not managed to
minimize dust or other hazards
(m) Exterior grounds are not kept free of
waste
 Clause
9.10.1.2 Grounds and Roadways
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Paths, roadways and loading and unloading areas shall (m) Exterior paths and roadways are not
be maintained so as not to present a hazard to the managed to minimize dust or other
food safety operation of the premises. hazards
(m) Exterior loading and unloading areas
are not maintained to minimize hazards

9.10.1.3 Grounds and Roadways
Surroundings shall be kept neat and tidy and not
present a hazard to the hygienic and sanitary
operation of the premises.
(m) Surroundings are cluttered and untidy
(m) Grass and vegetation ids not kept
under control in surrounding areas
(m) Equipment is stored outside and
unprotected from the weather

9.10.1.4 Grounds and Roadways Paths from amenities leading to facility entrances are (m) External paths from amenities to the
required to be effectively sealed. facility are not sealed

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
 Clause
10.1.1.1 Premises Location
10.1.1.2 Premises Location
10.1.2.1 Construction and Operational Approval
10.2.1.1 Materials and Surfaces
10.2.2.1 Floors, Drains and Waste Traps
10.2.2.2 Floors, Drains and Waste Traps
10.2.2.3 Floors, Drains and Waste Traps
10.2.2.4 Floors, Drains and Waste Traps
10.2.3.1 Walls, Partitions, Doors and Ceilings
10.2.3.2 Walls, Partitions, Doors and Ceilings
Item
The location of the premises shall be such that
adjacent and adjoining buildings, operations and
land use do not interfere with safe and hygienic
operations.
Measures shall be established to maintain a
suitable external environment, and the
effectiveness of the established measures shall
be monitored and periodically reviewed.
The construction and on-going operation of the
premises on the site shall be approved by the
relevant authority.
Product contact surfaces and those surfaces not
in direct contact with produce in produce
handling areas, raw material storage, packaging
material storage, and cold storage areas shall be
constructed of materials that will not contribute
a food safety risk.
Floors shall be constructed of smooth, dense
impact resistant material that can be effectively
graded, drained, impervious to liquid and easily
cleaned.
Floors shall be sloped to floor drains at gradients (m) Floors do not drain properly
suitable to allow the effective removal of all
overflow or waste water under normal working buildup
conditions.
Drains shall be constructed and located so they
can be easily cleaned and not present a hazard.
Waste trap systems shall be located away from
any food handling area or entrance to the
premises.
Walls, partitions, ceilings and doors shall be of
durable construction. Internal surfaces shall be
smooth and impervious with a light colored
finish, and shall be kept clean (refer to element
10.2.13.1).
Wall to wall and wall to floor junctions shall be
designed to be easily cleaned and sealed to
prevent the accumulation of food debris.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Location of premises poses a hygienic
risk
(m) Location of premises poses a food
safety risk
(m) Methods to manage exterior
environmental risks have not been
monitored
(m) Methods to manage exterior
environmental risks have not been
reviewed
(m) Site has not been approved by local
authorities
(M) Product contact surfaces are
constructed of materials that pose a food
safety risk
(m) Non-food contact surfaces are
constructed of materials that pose a food
safety risk
(m) Floors are non smooth and easily
cleanable
(m) Floors do not graded properly
(m) Floors are made of an inappropriate
material
(m) Areas of floors have excessive water
(m) Drain construction poses a food
safety risk
(m) Drain location poses a food safety risk
(m) Waste traps are located close to food
handling areas or entrance to the facility
(m) Walls are not of sound construction
(m) Partitions are not of sound
construction
(m) Doors are not of sound construction
(m) Ceilings are not of sound construction
(m) Walls, partitions, ceilings, and doors
are not kept clean
(M) The condition of walls, partitions,
doors, ceilings, pose a food safety risk
(m) Wall to wall junctions are not
constructed properly
(m) Floor to wall junctions are not
constructed properly
 Clause
10.2.3.3 Walls, Partitions, Doors and Ceilings
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Ducting, conduit and pipes that convey services (m) Ducting is constructed to pose
such as steam or water shall be designed and difficulty in cleaning
constructed so as to allow ease of cleaning. (m) Conduits are constructed to pose
difficultly in cleaning
(m) Pipes are constructed to pose a
difficultly in cleaning

10.2.3.4 Walls, Partitions, Doors and Ceilings
Doors, hatches and windows and their frames (m) Door are not of solid construction
shall be of a material and construction which (m) Windows are not of solid
meets the same functional requirements for construction
internal walls and partitions; doors and hatches (M) Windows are not made of
shall be of solid construction, windows shall be shatterproof glass in product contact
made of shatterproof glass or similar material. areas
(m) Windows are not made of
shatterproof glass in non-product contact
areas

10.2.3.5 Walls, Partitions, Doors and Ceilings Produce shall be handled and stored in areas that (m) Ceilings are not of sound construction
are fitted with a ceiling or other acceptable (M) Ceiling construction poses a food
structure that is constructed and maintained to safety hazard to the product
prevent the contamination of product.

10.2.3.6 Walls, Partitions, Doors and Ceilings
Drop ceilings shall be additionally constructed to (m) Drop ceilings are not constructed to
enable monitoring for pest activity, facilitate enable monitoring of pest activity
cleaning and provide access to utilities. (m) Drop ceilings are not constructed to
enable cleaning
(m) Drop ceilings are not constructed to
facilitate access to utilities

10.2.4.1 Stairs, Catwalks and Platforms
Stairs, catwalks and platforms in produce storage
and handling areas shall be designed and
constructed so as not to present a product
contamination risk, and shall be kept clean (refer
to element 10.2.13.1)
(M) Stair construction poses a food safety
hazard to the product
(M) Catwalk construction poses a food
safety hazard to the product
(m) Stair and/or catwalk is not of sound
construction in non-product contact
zones

10.2.5.1 Lighting and Light Fittings
Lighting in produce processing and packing,
storage and handling areas and at inspection
stations shall be of appropriate intensity to
enable the staff to carry out their tasks efficiently
and effectively.
(m) Lighting intensity is not sufficient in
food processing areas
(m) Lighting intensity is not sufficient at
inspection stations

10.2.5.2 Lighting and Light Fittings
Light fittings in processing areas, inspection (m) A light fitting was found unprotected
stations, and all areas where product is exposed, (M) Majority of light fixtures are not
shall be shatterproof, manufactured with a shatterproof or protected, and pose a
shatterproof covering or fitted with protective threat to product safety
covers and recessed into or fitted flush with the
ceiling. Where fittings cannot be recessed,
structures must be protected from accidental
breakage, manufactured from cleanable
materials and addressed in the cleaning and
sanitation program.

10.2.5.3 Lighting and Light Fittings Light fittings in warehouses and other areas (m) Light fittings in warehouse areas pose
where product is protected shall be designed a risk to product safety
such as to prevent breakage and product
contamination.

10.2.6.1 Inspection Area A suitable area within the processing and packing (m) No area is designated as product
area shall be provided for the inspection of inspection area
product if required. (m) Area designated as product
inspection is not suitable
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
10.2.6.2 Inspection Area The inspection area shall be provided with (m) Product inspection area does not
facilities that are suitable for examination of the have easy access to hand washing
style of product being processed. The inspection facilities
area shall have easy access to hand washing (m) Product inspection area does not
facilities, sufficient lighting intensity to enable as have sufficient lighting
thorough inspection of the product as required.

10.2.7.1 Dust, Fly and Vermin Proofing
All external windows, ventilation openings, doors
and other openings shall be effectively sealed
when closed and proofed against dust, vermin
and flies.
(m) Windows are not protected and
sealed against dust or pests
(m) Doors are not adequately protected
against dust or pests
(M) There is a risk of dust or pest
contamination of product

10.2.7.2 Dust, Fly and Vermin Proofing Personnel access doors shall be provided. They (m) Personnel doors are not self closing
shall be effectively fly-proofed and fitted with a
self-closing device.

10.2.7.3 Dust, Fly and Vermin Proofing
External doors, including overhead dock doors in (m) External door (s) are not adequately
food handling areas, used for product, pedestrian fly-proofed
or truck access shall be fly-proofed by at least (m) Sealing around trucks in docking
one or a combination of the following methods: a areas is not adequate
self-closing device, an effective air curtain, a fly-
proof screen, a fly-proof annex, adequate sealing
around trucks in docking areas,

10.2.7.4 Dust, Fly and Vermin Proofing
Electric insect control devices, pheromone or
other traps and baits shall be located so as not to
present a contamination risk to product,
packaging, containers or processing equipment.
Poison bait shall not be used inside ingredient or
food storage areas or processing areas.
(m) Insect devices are located so as to
pose a threat to product
(m) Insect devices are located so as to
pose a threat to equipment
(m) Bait is used inside food storage areas
or processing areas

10.2.8.1 Ventilation Adequate ventilation shall be provided in (m) Food processing areas do not have
enclosed processing and product storage and adequate ventilation
handling areas.

10.2.9.1 Premises and Equipment Maintenance
The methods and responsibility for the
maintenance and repair of plant, equipment and
buildings shall be documented planned and
carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.
(m) There are no planned maintenance
schedule
(M) Actual maintenance practices risk
product safety and integrity
 Clause
10.2.9.2 Premises and Equipment Maintenance
10.2.9.3 Premises and Equipment Maintenance
10.2.9.4 Premises and Equipment Maintenance
10.2.9.5 Premises and Equipment Maintenance
10.2.10.1 Calibration
10.2.10.2 Calibration
Item
Maintenance staff and contractors shall observe
the following practices when undertaking
maintenance and repairs in any product
processing, packaging, handling or storage area:
routine maintenance of plant and equipment
shall be performed according to a maintenance-
control schedule and recorded, failures of plant
and equipment shall be documented, reviewed
and their repair incorporated into the
maintenance control schedule, compliance with
the personnel and process hygiene requirements
(refer to elements 10.3.1, 10.3.2, 10.3.3, 10.3.4)
by maintenance staff and contractors, ensure
facility supervisors are notified when
maintenance or repairs are to be undertaken in
any food handling area, inform the maintenance
supervisor and the facility supervisor if any
repairs or maintenance pose a potential threat to
product safety (i.e. pieces of electrical wire,
damaged light fittings, and loose overhead
fittings). When possible, maintenance is to be
conducted outside processing times, remove all
tools and debris from any maintenance activity
once it has been completed and inform the area
supervisor and maintenance supervisor so
appropriate hygiene and sanitation can be
completed prior to the commencement of facility
operations.
The maintenance schedule shall be prepared to
cover building, equipment and other areas of the
premises critical to the maintenance if product
safety and quality.
Equipment located over product or product
conveyors shall be lubricated with food grade
lubricants and their use controlled so as to
minimize the contamination of product.
Paint used in a product handling or contact zone (M) Paint is used on product contact
shall be suitable for use and in good condition surfaces
and shall not be used on any product contact
surface.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in pre-requisite program, food
safety plans and food quality plans and other
process controls, or to demonstrate compliance
with customer specifications shall be
documented and implemented.
Procedures shall be documented and
implemented to address the disposition of
potentially affected product should measuring ,
test and inspection equipment be found to be
out of calibration state.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Maintenance staff do not follow food
safety and hygiene practices
(M) Maintenance contractors do not
follow food safety and hygiene practices
(m) Activities from preventative
maintenance schedule are not
documented
(m) Plant failures are not documented
(m) Equipment failures are not
documented
(m) Failures are not incorporated into
maintenance control schedule
(m) There are no personal hygiene
practices developed for main
(m) Supervisors are not notified when
repairs made in food handling area
(m) All tools, parts and debris not
removed from repair areas
(M) No sanitation activity occurs after
maintenance repair in food processing
area
(M) No notification occurs when potential
risk to product is evident
(m) Maintenance schedule does not
include critical areas of facility
(m) Maintenance schedule does not
include critical areas of equipment
(M) Non-food grade lubricant is used in
food contact zones
(m) Non-food grade lubricant is used on
food handling conveyors
(m) Food grade lubricant is used, but is
likely to contact product
(M) Calibration methods for monitoring
equipment are not documented
(m) Methods for calibration of equipment
do not include responsibility
(m) Methods for calibration of equipment
do not include all necessary equipment
(m) There are no procedures in place to
address disposition of potentially affected
product
(M) Potentially affected product is not
adequately disposed
 Clause Item
10.2.10.3 Calibration Calibrated measuring, test and inspected
equipment shall be protected from damage and
unauthorized adjustment.
10.2.10.4 Calibration Equipment shall be calibrated against national or
international reference standards and methods
or to accuracy appropriate to its use. In cases
where standards are not available, the supplier
shall provide evidence to support the calibration
reference method applied.
10.2.10.5 Calibration Calibration shall be performed according to
regulatory requirements and/or to the
equipment manufacturers recommended
schedule.
10.2.10.6 Calibration Calibration records shall be maintained.
10.2.11.1 Management of Pests and Vermin The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounds, storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
10.2.11.2 Management of Pests and Vermin The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, include on a site map the
identification, location, number and type of bait
stations set, list the chemicals used (they are
required to be approved by the relevant
authority and their Safety Data Sheets (SDS)
made available), outline the methods used to
make staff aware of the bait control program and
the measures to take when they come in contact
with a bait station, outline the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits, measure
the effectiveness of the program to verify the
elimination of applicable pests.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Calibrated equipment is not
protected from damage
(m) Calibrated equipment is subject to
unauthorized adjustment
(M) The calibration standards are not
known
(M) Calibration standards are known but
not followed
(m) Calibration schedule does not meet
regulatory requirements
(m) Calibration schedule has not been
developed
(m) Calibration schedule doe not follow
recommended frequency
(M) No calibration records are maintained
(m) Calibrations records are not complete
(M) No methods for integrated pest
management documented
(m) Responsibility of integrated pest
management not included in program
(m) Pest management program does not
include exterior or surrounding areas of
facility
(m) Facility has pest harborage areas
observed
(m) Exterior of facility has pest harborage
areas observed
(M) Methods for the pest management
program are not developed
(m) Target pests are not included in
program
(m) Methods used to prevent pest
problems are not defined
(m) Methods used to eliminate pests are
not defined
(m) No frequency for the checking of pest
status is developed
 Clause
10.2.11.3 Management of Pests and Vermin
10.2.11.4 Management of Pests and Vermin
10.2.11.5 Management of Pests and Vermin
10.2.11.6 Management of Pests and Vermin
10.2.11.7 Management of Pests and Vermin
Item
Inspections for pest activity shall be undertaken
on a regular basis by trained personnel and the
appropriate action taken if pests are present.
Records of all pest control applications shall be
maintained.
Pesticides and other toxic chemicals shall be
clearly labeled and stored as described in 10.6.4
and handled and applied by properly trained
personnel. They shall be used by or under the
direct supervision of trained personnel with a
thorough understanding of the hazards involved,
including the potential for the contamination of
food and food contact surfaces.
Pest control contractors shall be licensed and
approved by the local relevant authority, use
only trained and qualified operators who comply
with regulatory requirements, use only approved
chemicals, provide a pest control management
plan (see contract services in section 2.3.3) which
will include a site map indicating the location of
bait stations and traps, report to a responsible
senior management person on entering the
premises and after the completion of inspections
or treatments, provide a written report of their
findings and the inspections and treatments
applied, dispose of unused pest control chemicals
and empty containers in accordance with
regulatory requirements and ensure that empty
chemical containers are not reused.
The supplier shall dispose of unused pest control
chemicals and empty containers in accordance
with regulatory requirements and ensure that
empty chemical containers are not reused,
labeled, isolated and securely stored while
awaiting collection, are stored under secure
conditions while waiting authorized disposal by
an approved vendor.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No inspections are made of pest
control devices
(m) Inspections of pest control devices
are made by untrained personnel
(m) No appropriate action taken when
issues are noted on pest control
inspection
(m) Pest control records are not
maintained
(m) pest control records are not complete
(m) Pesticides are not properly labeled
(m) Pesticides are not properly stored
(m) Pesticides are applied by non-trained
personnel
(M) Pest control operator is not licensed
(M) Pest control operator is not approved
by local relevant authority
(m) Pest control operator does not report
to facility management upon entry into
facility
(m) Pest control operator is not properly
trained
(m) Pest control operator does not have a
pest control management plan
(m) Pest control operator does not leave
written findings of inspection
(m) Final report left by Pest control
operator does not include chemicals
applied
(m) Empty pest control chemical
containers not properly disposed
(m) Unused pest control chemicals are
not properly disposed
(m) Empty containers are not properly
labeled
(m) Empty containers are not properly
contained
(m) Unused and obsolete chemicals are
not stored secured
 Clause
10.2.12.1 Equipment, Utensils and Protective Clothing
10.2.12.2 Equipment, Utensils and Protective Clothing
10.2.12.3 Equipment, Utensils and Protective Clothing
10.2.12.4 Equipment, Utensils and Protective Clothing
10.2.12.5 Equipment, Utensils and Protective Clothing
10.2.12.6 Equipment, Utensils and Protective Clothing
10.2.13.1 Cleaning and Sanitation
10.2.13.2 Cleaning and Sanitation
Item
Equipment and utensils shall be designed,
constructed, installed, operated and maintained
so as not to pose a contamination threat to
products.
Benches, tables, conveyors, graders, packers and
other mechanical equipment shall be hygienically
designed and located for appropirate cleaning.
Equipment surfaces shall be smooth, impervious
and free from cracks or crevices.
Product containers, tubs, bins for edible and
inedible material shall be constructed of
materials that are non-toxic, smooth, impervious
and readily cleaned. Bins used for inedible
material shall be clearly identified.
Waste and overflow water from tubs, tanks and (m) Waste water is discharged on floor
other equipment shall be discharged direct to the (m) Waste water is not properly drained
floor drainage system.
Protective clothing shall be manufactured from
material that is not liable to contaminate food
and easily cleaned.
Racks shall be provided for the temporary
storage of protective clothing when staff leaves
the processing or packing areas and shall be
provided in close proximity or adjacent to the
personnel access doorways and hand washing
facilities.
The methods and responsibility for the cleaning
of the product handling equipment and
environment, storage areas, staff amenities and
toilet facilities shall be documented and
implemented. Consideration shall be given to
how it is to be cleaned, when it is to be cleaned,
who is responsible for the cleaning, methods
used to confirm the correct concentrations of
detergents and sanitizers, responsibility and
methods used to verify the effectiveness of the
cleaning and sanitation program.
Provision shall be made for the effective cleaning (M) The cleaning of processing
of processing equipment, utensils and protective equipment is ineffective
clothing.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Food contact equipment's design,
construction, or maintenance poses a
food safety risk
(M) Food contact utensil's design,
construction, or maintenance poses a
food safety risk
(m) Non food contact equipment or
utensil is not maintained
(m) Non food contact equipment or
utensil is not properly designed
(m) Food processing equipment is not
properly maintained
(m) Food processing equipment is not
properly designed
(m) Food contact utensils are not
properly maintained
(m) Food contact utensils are not
properly designed
(M) Containers for inedible materials are
not properly labeled
(m) Protective clothing is not easily
cleaned
(M) Racks are not provided
(m) Racks are not poorly designed
(m) Racks are not located near access
doorways
(M) Facility does not have a cleaning
program developed
(M) Critical equipment and areas of the
facility are not covered in cleaning
program
(m) Cleaning methods do not include
what is to be cleaned
(m) Cleaning methods do not include how
items are to be cleaned
(m) Cleaning methods do not include
frequency of cleaning
(m) Cleaning methods do not include
responsibility for cleaning
(m) Cleaning program does not include
method for verification of effectiveness of
sanitation
(M) The cleaning of utensils is ineffective
(m) The cleaning of protective clothing is
ineffective
 Clause
10.2.13.3 Cleaning and Sanitation
10.2.13.4 Cleaning and Sanitation
10.2.13.5 Cleaning and Sanitation
10.2.13.6 Cleaning and Sanitation
10.2.13.7 Cleaning and Sanitation
Item
Suitably equipped areas shall be designated for
cleaning product containers, knives, cutting
boards and other utensils and for protective
clothing used by cleaning staff. These cleaning
operations shall be controlled so as not to
interfere with manufacturing operations,
equipment or products. Racks and containers for
storing cleaned utensils and protective clothing
shall be provided as required.
Pre-operational hygiene and sanitation
inspections shall be conducted by qualified
personnel to ensure food processing areas,
product contact surfaces, equipment, staff
amenities and sanitary facilities and other
essential areas are clean before the
commencement of production.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Detergents and sanitizers shall be suitable for use
in a food manufacturing environment, and
purchased in accordance with applicable
legislation. The organization shall ensure an
inventory of all chemicals purchased and used
shall be maintained, detergents and sanitizers are
stored as outlined in 10.6.4, Safety Data Sheets
(SDS) are provided for all detergents and
sanitizers purchased, only trained staff handles
sanitizers and detergents, empty detergent and
sanitizer containers are appropriately cleaned,
treated and labeled before use.
The supplier shall dispose of unused detergents
and sanitizers and empty containers in
accordance with regulatory requirements and
ensure that empty detergent and sanitizer
containers are appropriately cleaned, treated
and labeled before use, labeled, isolated and
securely stored while awaiting collection, that
unused and obsolete detergents and sanitizers
are stored under secure conditions while waiting
authorized disposal by an approved vendor.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Cleaning of utensils is carried out
close to processing operations
(m) Control of cleaning operations so as
not to contaminate product is ineffective
(m) Racks and areas for storing cleaned
utensils are not provided
(m) Racks and areas for storing cleaned
utensils are ineffective
(M) No pre-operational inspections are
completed to ensure cleanliness
(m) Not all critical areas of the facility are
include in pre-operational inspections
(m) Personnel conducting pre-operational
inspections are not qualified
(m) No sanitation verification schedule is
available
(m) No methods established for
verification of sanitation
(m) No responsibility is established for
verification of sanitation
(m) Detergents or sanitizers do not meet
local regulatory requirements
(m) No inventory of chemicals purchased
is available
(m) The inventory of chemicals purchased
is not current and up to date
(m) Detergents and/or sanitizers are not
stored per section 11.6.4
(M) SDS sheets are not available for
detergents or sanitizers purchased
(m) One detergent or sanitizer does not
have SDS sheet
(m) Personnel handling cleaning
chemicals are not properly trained
(M) Cleaning chemicals are not disposed
of per regulatory requirements
(m) Empty cleaning chemical containers
are not labeled or properly treated
(m) Empty cleaning chemical containers
are not properly isolated or secured
(m) Obsolete cleaning chemicals are not
properly secured awaiting disposal
 Clause
10.2.13.8 Cleaning and Sanitation
10.3.1.1 Personnel
10.3.1.2 Personnel
10.3.1.3 Personnel
10.3.2.1 Hand Washing
10.3.2.2 Hand Washing
10.3.2.3 Hand Washing
Item
A record of pre-operational hygiene inspections, (m) Records of cleaning and sanitation
cleaning and sanitation activities, and verification activities are not maintained
activities shall be maintained.
Personnel suffering from infectious diseases or
are carriers of, any infectious disease shall not
engage in product handling or processing
operation.
Personnel with exposed cuts, sores or lesions
shall not be engaged in handling or processing
products or handling primary packaging materials
or food contact surfaces. Minor cuts or abrasions
on exposed parts of the body shall be covered
with colored bandage containing a metal strip or
an alternative suitable waterproof and colored
dressing.
Smoking, chewing, eating, drinking or spitting is
not permitted in any food processing or food
handling areas.
Hand wash basins shall be provided adjacent to
all personnel access points and in accessible
locations throughout product handling,
processing and packaging areas as required.
Hand wash basins shall be constructed of
stainless steel or similar non-corrosive material
and as a minimum supplied with potable water
supply at an appropriate temperature, liquid
soap contained within a fixed dispenser, paper
towels in a hands-free cleanable dispenser,
means of containing used paper towels.
The following additional facilities shall be
provided in high risk areas: hands-free operated
taps, hand-sanitizers,
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Records of cleaning and sanitation
activities are not complete
(m) Records of hygiene inspections are
not maintained
(m) Records of cleaning and hygiene
inspections are not complete
(M) Personnel who are engaged in
product handling exhibit signs of illness
(Potential Critical)
(M) Personnel who have been ill with an
infectious illness are involved in food
processing (Potential Critical)
(M) Personnel observed handling food
products with sores or cuts on hands with
no controls (Potential Critical)
(M) Controls for personnel injuries to
hands do not include appropriate alert
controls
(m) Bandages provided for cuts are
inadequate
(M) Evidence of smoking, eating, drinking
observed in food processing areas
(m) Evidence of smoking, eating, drinking
observed in food handling areas
(M) Employees observed smoking, eating
or drinking in food processing or handling
areas
(M) No hand wash basins available for
personnel
(m) Hand wash basins not located at
accessible points
(m) Hand wash basins not located at
personnel access points
(m) Hand was basin not constructed of
appropriate material
(m) Hand wash basin does not have water
at appropriate temperature
(m) No liquid soap available at hand wash
station
(m) No paper towels available at hand
wash station
(m) No means to contain used paper
towels available at hand wash station
(m) No hands free taps used at hand
wash stations in high risk areas
(m) No hand sanitizer used at hand wash
stations in high risk areas
 Clause
10.3.2.4 Hand Washing
10.3.2.5 Hand Washing
10.3.2.6 Hand Washing
10.3.3.1 Clothing
10.3.3.2 Clothing
10.3.3.3 Clothing
10.3.3.4 Clothing
Item
A sign instructing people to wash their hands,
and in appropriate languages, shall be provided
in a prominent position.
Personnel shall have clean hands and hands shall
be washed by all personnel, including staff,
contractors and visitors on entering food
handling or processing areas, after each visit to
the toilet, after using a handkerchief, after
smoking, eating or drinking, handling wash down
hoses, dropped products or contaminated
materials.
When gloves are used, personnel shall maintain
the hand washing practices outlined above.
Clothing worn by staff engaged in handling
products shall be maintained, stored, laundered
and worn so as not to present a contamination
risk to products.
Staff engaged in high risk areas shall change into (M) There is no clean or temporary
clean clothing when entering high risk areas.
Clothing shall be clean at the commencement of
each shift and maintained in a serviceable
condition. Excessively soiled uniforms shall be
changed where they present a product
contamination risk.
Disposable gloves and aprons shall be changed
after each break, upon re-entry into the
processing area and when damaged. Non-
disposable aprons and gloves shall be cleaned
and sanitized as required and when not in use
stored on racks provided in the processing area
and not on packaging, ingredients, products or
equipment.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No signage available for personnel to
wash their hands
(m) Signage for hand washing is not
located in prominent position
(M) Personnel observed in food handling
area with dirty hands
(M) Personnel observed not washing
hands upon entering processing area
(M) Personnel observed not washing
hands upon leaving restroom
(M) Personnel observed not washing
hands after handling hoses or trash
(M) Personnel observed not washing
hands after eating, drinking, or smoking
(m) Personnel seen using gloves instead
of following hand washing requirements
(m) Facility policy on gloves does not
require proper hand washing protocols
(m) Clothing worn by staff is not properly
maintained
(m) Staff clothing in processing area is not
clean
(m) Staff clothing used in high risk
processing areas is worn off site
(M) Staff clothing presents a hazard to
product
clothing available for staff in high risk
areas
(M) Staff observed in high risk areas in
incorrect clothing
(m) Staff clothing not clean at the start of
each shift
(m) Excessive dirty uniforms not changed
as necessary
(m) Disposable gloves reused by staff
(m) Non-disposable gloves and/or aprons
not properly cleaned between usage
(m) Disposable gloves and aprons not
changed upon re-entry into processing
area
 Clause Item
10.3.4.1 Jewelry and Personal Effects Jewelry and other loose objects shall not be worn
or taken into a product handling or processing
operation or any area where food is exposed. The
wearing of plain bands with no stones and
medical alert bracelets that cannot be removed
can be permitted, however the supplier will need
to consider their customer requirements and the
applicable food legislation.
10.3.5.1 Visitors All visitors, including management and
maintenance staff, shall wear suitable clothing
and footwear when entering any food processing
or handling area.
10.3.5.2 Visitors All visitors shall be required to remove jewelry
and other loose objects.
10.3.5.3 Visitors Visitors exhibiting visible signs of illness shall be
prevented from entering areas in which food is
handled or processed.
10.3.5.4 Visitors Visitors shall enter and exit food handling areas
through the proper staff entrance points and
comply with all hand washing and personal
practice requirements.
10.3.6.1 Staff Amenities Staff amenities supplied with appropriate lighting
and ventilation shall be made available for the
use of all persons engaged in the handling and
processing of product.
10.3.7.1 Change Rooms Facilities shall be provided to enable staff and
visitors to change into and out of protective
clothing as required.
10.3.7.2 Change Rooms Change rooms shall be provided for staff engaged
in the processing or packaging of high risk foods
or processing or packaging operations in which
clothing can be soiled.
10.3.7.3 Change Rooms Provision shall be made for staff to store their
street clothing and personal items separate from
product contact zones and product and
packaging storage areas.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Staff in processing area observed
wearing jewelry
(m) Staff in processing areas observed
wearing loose objects
(m) No control process in place for
addressing jewelry for employees and
visitors
(m) Visitors observed wearing unsuitable
footwear or clothing in processing areas
(m) Management observed not following
company protocol on clothing or
footwear
(m) Visitors observed wearing jewelry in
processing or handling areas
(m) Visitors observed wearing unsuitable
loose items in processing or handling
areas
(M) Visitors observed with illness are
allowed in processing areas
(m) Visitors observed not following
facility protocols on hygiene
(m) Visitors observed not following
facility protocols on access to processing
and handling areas
(m) Staff amenities do not have adequate
lighting
(m) Staff amenities do not have adequate
ventilation
(m) Staff amenities are not available to all
staff who handle product
(m) No adequate amenities for visitors
and staff
(m) Amenities are not available to change
into protective clothing
(m) No adequate amenities for visitors
and staff
(m) Amenities are not available to change
into protective clothing
(m) No amenities available for the storage
of staff personal items
(m) Storage of personal items is not
separated from processing areas
 Clause
10.3.7.4 Change Rooms
10.3.8.1 Laundry
10.3.9.1 Sanitary Facilities
10.3.9.2 Sanitary Facilities
10.3.9.3 Sanitary Facilities
10.3.10.1 Lunch Rooms
10.3.10.2 Lunch Rooms
10.3.10.3 Lunch Rooms
10.3.11.1 First Aid
Item
Where required a sufficient number of showers
shall be provided for use by staff.
Provision shall be made for the laundering and
storage of clothing worn by staff engaged in high
risk processes and for staff engaged in processing
operations in which clothing can be heavily
soiled.
Toilet rooms shall be designed and constructed
so that they are accessible to staff and separate
from any processing and food handling
operations, accessed from the processing area
via an airlock vented to the exterior or through
an adjoining room, sufficient in number for the
maximum number of staff, constructed so that
they can be easily cleaned and maintained, kept
clean and tidy.
Sanitary drainage shall not be connected to any
other drains within the premises and shall be
directed to a septic tank or a sewerage system.
Hand wash basins shall be provided immediately (M) No hand was basins are available
outside or inside the toilet room and designed as near the toilets
outlined in 10.3.2.2. (m) Hand wash basin near the toilets do
not meet section 11.3.2.2
Separate lunch room facilities shall be provided
away from a product contact/handling zone.
Lunch room facilities shall be ventilated and well
lit, provided with adequate tables and seating to
cater for the maximum number of staff at one
sitting, equipped with a sink serviced with hot
and cold potable water for washing utensils,
equipped with refrigeration and heating facilities
enabling them to store or heat food and to
prepare non-alcoholic beverages if required, kept
clean and free from waste materials and pests.
Signage in appropriate languages instructing
people to wash their hands before entering the
food processing areas shall be provided in a
prominent position in break rooms and at break
room exits.
First aid facilities shall be provided to treat minor
injuries and suitable arrangements shall be
provided in circumstances when a patient
requires more specialized care.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) There are not enough showers where
they are required
(m) No showers are available where they
are required
(m) No provisions are made for
laundering of protective clothing worn by
staff
(M) No provisions are available for
laundering of high risk protective clothing
(M) Toilets open directly into processing
areas with no other controls in place
(m) Toilets are not adequate in number
for the maximum number of staff
(m) Toilets can not be easily cleaned
(m) Toilets are not constructed so that
they can be easily maintained
(m) Toilets are untidy and/or dirty
(m) Sanitary drainage is connected to
drains within processing facility
(m) Lunch facilities are not separated
from processing areas
(m) Lunch facilities are not separated
from product storage or handling area
(m) Lunch room facility are not properly
ventilated
(m) Lunch room facility is not well lit
(m) Lunch room facility does not
adequately fit staff
(m) No sink with hot and cold water is
available in lunch facility
(m) The lunch room is not kept clean and
tidy
(m) Proper heating or cooling facilities are
not provided in lunch facility
(m) No hand wash sign available at the
exit of the lunch facility
(m) Signage at the exit of the lunch
facility is not in correct languages
(m) No first aid facilities are available
(m) No arrangements have been made to
provide for more specialized care as
required
 Clause Item
10.4.1.1 Staff Engaged in Product Handling, Processing All personnel engaged in any food handling,
and Packaging Operations preparation or processing operations shall ensure
that products and materials are handled and
stored in such a way as to prevent damage or
product contamination. They comply with the
following processing practices: personnel entry
to processing areas shall be through the
personnel access doors only, all doors are to be
kept closed. Doors shall not be left open for
extended periods when access for waste removal
or receiving of product/ingredient/packaging is
required, the wearing of false fingernails or
fingernail polish is not permitted when handling
food, packaging material, products, and
ingredients shall be kept in appropriate
containers as required and off the floor, waste
shall be contained in the bins identified for this
purpose and removed from the processing area
on a regular basis and not left to accumulate,
staff shall not eat or taste any product being
processed in the food handling/contact zone,
except as noted in section 10.4.1.2.
10.4.1.2 Staff Engaged in Product Handling, Processing In circumstances where it is necessary to
and Packaging Operations undertake sensory evaluations in a product
handling/contact zone, the supplier shall
implement proper controls and procedures to
ensure food safety is not compromised, sensory
evaluations are conducted by authorized
personnel, a high standard of personal hygiene is
practiced by personnel conducting sensory
evaluations, in areas equipped for the purpose,
equipment used for sensory evaluations is
sanitized, maintained and stored separate from
processing equipment.
10.4.1.3 Staff Engaged in Product Handling, Processing All wash down hoses shall be stored on hose
and Packaging Operations racks after use and not left on the floor.
10.5.1.1 Water Supply Adequate supplies of potable water drawn from
a known clean source shall be provided for use
during processing operations, as an ingredient
and for cleaning the premises and equipment.
10.5.1.2 Water Supply Supplies of hot and cold water shall be provided
as required to enable the effective cleaning of
the premises and equipment.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Personnel observed not following
facility protocols on access to processing
and handling areas
(m) Exterior doors open with no
protective controls in place
(M) Exterior doors directly into processing
areas or handling areas left open with no
controls in place
(M) Employees observed not washing
hands upon entering processing area
(m) Employees observed not following
hand washing protocols upon entering
processing areas
(m) Employees observed wearing false
fingernails in food handling areas
(m) Employees observed wearing
fingernail polish in food handling areas
(M) Food product or ingredients found on
floor
(m) Food product or ingredients stored in
non-appropriate containers
(M) Packaging material that will directly
contact food is stored on floor
(m) Waste containers not properly
identified
(m) Waste containers in processing or
handling areas found overflowing
(m) Employees seen eating in processing
or handling areas
(m) Sensory evaluations not conducted
per company protocols
(M) Sensory evaluations of product
potentially compromise food safety of
product
(m) Sensory evaluation equipment is not
cleaned and sanitized after use
(m) Wash down hose found stored on
floor
(M) Water used in processing not from a
potable source
(m) Water used in processing does not
have adequate quantities available
(M) No hot water available to clean
equipment
(M) No water available to clean
equipment
(m) Water supply to clean facility is not
adequate to properly clean
 Clause Item
10.5.2.1 Monitoring Water Microbiology and Quality Water used for
i. washing, thawing and treating food;;
ii. an ingredient or food processing
aid;;
iii. cleaning food contact surfaces;;
iv. the m anufacture of ice;; and
v. the manufacture of steam that will come in
contact with food or used to heat water that
will come in contact with food
shall comply with local,
national or internationally recognized potable
water microbiological and quality
standards as required.
10.5.3.1 Water Delivery The delivery of water within the premises shall
ensure potable water is not contaminated.
10.5.3.2 Water Delivery The use of non-potable water shall be controlled
such that there is no cross contamination
between potable and non-potable water lines,
non-potable water piping and outlets are clearly
identified.
10.5.4.1 Water Treatment Water treatment methods, equipment and
materials shall be designed, installed and
operated to ensure water receives an effective
treatment.
10.5.4.2 Water Treatment Water treatment equipment shall be monitored
regularly to ensure it remains serviceable.
10.5.4.3 Water Treatment Treated water shall be regularly monitored to
ensure it meets the indicators specified.
10.5.5.1 Ice Supply Where ice is required, adequate supplies of ice
derived from water that complies with element
10.5.2.1 shall be provided for use during
processing operations or as a processing aid or an
ingredient.
10.5.5.2 Ice Supply Ice rooms and receptacles shall be constructed of
materials as outlined in elements 10.2.1. 10.2.2,
and 10.2.3, and designed to minimize
contamination of the ice during storage and
distribution.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Non potable water used to treat or
rinse product (Potential Critical)
(m) Water used as an ingredient does not
meet quality requirements
(M) Non-potable water used to clean
food contact surfaces
(M) Non-potable water used to make ice
(m) Ice is made from water that does not
meet quality requirements
(m) Non-potable water used to create
steam that will come in contact with food
(M) Water supply is not adequately
protected
(m) A cross connection exists that could
result in a back flow of water
(m) There is a possible cross
contamination between potable and non-
potable water lines
(M) Potable water has been
contaminated by non-potable water
(m) Non-potable water pipes and outlets
are not labeled
(m) No non-return devices are installed
on non-potable water lines
(M) Water treatment is required, but is
not available
(M) Water treatment is incorrectly
designed
(M) Water treatment equipment is not
monitored
(m) Water treatment equipment is not
regularly monitored
(M) Treated water is not monitored
(m) Treated water is not regularly
monitored
(M) Ice made from non-potable water
(m) Required supplies of potable ice are
not available
(m) Ice not properly protected during use
(M) Ice in contact with food product does
not comply with national standards
(m) Ice storage areas could potentially
contaminate ice
(m) Ice storage areas not properly
designed
(m) Ice storage areas are constructed
from inappropriate materials
 Clause Item
10.5.6.1 Analysis Microbiological analysis of the water and ice
supply shall be conducted to verify the
cleanliness of the supply, the monitoring
activities and the effectiveness of the treatment
measures implemented.
10.5.6.2 Analysis Water and ice shall be analyzed using reference
standards and methods.
10.5.7.1 Air Quality Compressed air that contacts food or food
contact surfaces shall be clean and present no
risk to food safety
10.5.7.2 Air Quality Compressed air systems
used in the production process shall be
maintained and regularly monitored for
purity
10.6.1.1 Cold Storage, Controlled Atmosphere Storage The supplier shall provide confirmation of the
and Chilling of Foods effective operational performance of coolers,
controlled atmosphere facilities, and cool rooms.
They shall be designed and constructed to allow
for the hygienic and efficient refrigeration and
storage of food, easily accessible for inspection
and cleaning.
10.6.1.2 Cold Storage, Controlled Atmosphere Storage Sufficient refrigeration and controlled
and Chilling of Foods atmosphere capacity shall be available to chill or
store the maximum anticipated throughput of
products with allowance for periodic cleaning of
storage rooms.
10.6.1.3 Cold Storage, Controlled Atmosphere Storage Discharge from defrost and condensate lines
and Chilling of Foods shall be controlled and discharged to the
drainage system.
10.6.1.4 Cold Storage, Controlled Atmosphere Storage Cool and controlled atmosphere rooms shall be
and Chilling of Foods fitted with temperature and atmosphere
monitoring equipment and located so as to
monitor the warmest part of the room and be
fitted with measurement devices that are easily
readable and accessible.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Water and ice are not
microbiologically tested to verify
cleanliness of the supply
(m) Water and ice are not regularly tested
to verify the effectiveness of treatment
methods
(m) Appropriate standards are not used
to analyze water or ice
(M) Compressed air that is in contact with
food is not filtered or otherwise treated
(m) Filters are not checked or changed
(m) The facility does not have a standard
for microbiological purity of compressed
air that contacts food
(M) Compressed air that is in contact with
food is not filtered or otherwise treated
(m) Filters are not checked or changed
(m) The facility does not have a standard
for microbiological purity of compressed
air that contacts food
(m) Supplier has not confirmed effective
operation of cold storage areas
(m) Cold storage rooms are not properly
designed
(m) Cold storage rooms are not properly
constructed for easy cleaning
(m) Cold storage areas are not easily
accessible for inspection
(M) Facility does not have adequate
refrigeration capacity
(m) Facility does not have the adequate
freezer capacity
(m) Excessive condensation found in cold
storage area
(m) Water discharge in cold storage area
poses a risk to contaminate product
(M) Water discharge in cold storage area
is directly on stored product
(m) Excessive frost in freezer on ceiling
and walls
(M) Excessive frost in freezer on stored
product
(M) Cold storage areas do not have
temperature monitoring equipment
(m) Temperature monitoring devices is
not located near the warmest part of cold
storage area
(m) Temperature monitoring devices are
not easily accessible
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
10.6.1.5 Cold Storage, Controlled Atmosphere Storage Loading and unloading docks shall be designed to (m) Docks are not designed to adequately
and Chilling of Foods protect products during loading and unloading. protect product
(m) Docks areas are not adequately
maintained

10.6.2.1 Storage of Dry Ingredient, Packaging and Shelf Rooms used for the storage of product
Stable Packaged Goods ingredients, packaging, and other dry goods shall
be located away from wet areas and constructed
to protect the products from contamination and
deterioration.
(m) Product storage rooms are located
near wet processing which creates the
potential for water contamination
(m) Storage rooms are not adequately
designed to protect product

10.6.2.2 Storage of Dry Ingredient, Packaging and Shelf Racks provided for the storage of packaging shall
Stable Packaged Goods be constructed of impervious materials and
designed to enable cleaning of the floors and the
storage room. Storage areas shall be constructed
to prevent packaging from becoming a harborage
for pests or vermin.
(m) Packaging racks are made of material
that is not easily cleanable
(m) Packaging racks do not allow access
to floor / wall junction for cleaning
(M) Packaging storage areas is found to
be a pest harborage area

10.6.2.3 Storage of Dry Ingredient, Packaging and Shelf Vehicles used in food contact, handling or
Stable Packaged Goods processing zones or in cool storage rooms shall
be designed and operated so as not to present a
food safety hazard.
(M) Vehicle used in food processing,
storage, or cold storage areas release
hydrocarbon emissions
(M) Vehicles used present a hazard to the
food product

10.6.3.1 Storage of Equipment and Containers Storage rooms shall be designed and constructed (m) Equipment storage area does not
to allow for the hygienic and efficient storage of allow access for cleaning
equipment and containers. (m) Equipment storage area does not
protect equipment during storage

10.6.4.1 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 present a hazard to staff,
product, packaging, product handling equipment
or areas in which the product is handled, stored
or transported.
(m) Chemicals present a hazard to staff
due to improper storage
(M) Chemicals are stored next to or
directly over product

10.6.4.2 Storage of Hazardous Chemicals and Toxic Utensils and packaging shall not be stored in (m) Processing utensils are stored in areas
Substances areas used to store hazardous chemicals and used to store hazardous chemicals
toxic substances. (m) Packaging is stored in an area used to
store hazardous chemicals

10.6.4.3 Storage of Hazardous Chemicals and Toxic
Substances
Daily supplies of chemical used for continuous (M) Daily supplies of chemicals present a
sanitizing of water or as a processing aid, or for potential hazard to food products
emergency cleaning of equipment or surfaces in (m) Daily supplies of chemicals are not
product contact zones, may be stored within or stored correctly
in close proximity to a processing or packaging
area provided access to the chemical storage
facility is restricted to authorized personnel.

10.6.4.4 Storage of Hazardous Chemicals and Toxic Pesticides, rodenticides, fumigants and (m) Sanitizers and detergents are stored
Substances insecticides shall be stored separate from with pesticides or other toxic chemicals
sanitizers and detergents. All chemicals shall be (m) Chemicals are not stored in original
stored in their original containers. container
 Clause Item
10.6.4.5 Storage of Hazardous Chemicals and Toxic Hazardous chemical and toxic substance storage
Substances facilities shall be compliant with national and
local legislation and designed such that there is
no cross-contamination between chemicals,
adequately ventilated, provided with
appropriate signage indicating the area is a
hazardous storage area, secure and lockable to
restrict access only to those personnel with
formal training in the handling and use of
hazardous chemicals and toxic substances, have
instructions on the safe handling of hazardous
chemicals and toxic substances readily accessible
to staff, be equipped with a detailed and up-to-
date inventory of all chemicals contained in the
storage facility, have suitable first aid equipment
and protective clothing available in close
proximity to the storage area, in the event of a
hazardous spill, be designed such that spillage
and drainage from the area is contained, be
equipped with spillage kits and cleaning
equipment.
10.6.5.1 Alternative Storage and Handling of Goods Where goods described in 10.6.1 to 10.6.4 are
held under temporary or overflow conditions
that are not designed for the safe storage of
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on food
safety and quality.
10.6.6.1 Loading, Transport and Unloading Practices The practices applied during loading, transport
and unloading of food shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity. Products shall be loaded, transported
and unloaded under conditions suitable to
prevent cross contamination.
10.6.7.1 Loading Vehicles (trucks/vans/containers) used for
transporting products shall be inspected prior to
loading to ensure they are clean, in good repair,
suitable for the purpose and free from odors or
other conditions that may impact negatively on
the product.
10.6.7.2 Loading Loading practices shall be designed to minimize
unnecessary exposure of product to conditions
detrimental to maintaining product and package
integrity.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Chemical storage rooms do not meet
local regulations
(m) Chemical storage rooms are not
properly ventilated
(m) Chemical storage room is not
properly signed
(m) Chemical storage room is not secured
(m) There are no instructions on safe
handling of chemicals available
(m) There are no spillage kits, spillage
instructions or facilities to deal with spills
(m) There is no inventory of stored
chemicals
(m) The inventory does not agree with
the actual chemical stock
(M) Cross contamination observed
between chemicals
(m) No risk analysis conducted for
alternative storage and handling of goods
(m) Methods for loading of products are
not documented
(m) Methods for the transportation of
products are not documented
(M) Methods developed for product
loading and transport do not adequately
protect product
(M) Cross contamination to product
potentially exists during transport and
loading
(M) Product contamination observed
during transportation and/or loading
(potential critical)
(m) No pre-shipment review is conducted
on transportation vehicles
(m) Vehicles used to transport product
are not clean
(m) Vehicles used to transport product
are not properly maintained
(M) Loading and staging of product
exposed product to potential abuse
(m) Loading and/or staging practices are
potentially detrimental to product
 Clause Item
10.6.8.1 Transport Refrigerated units shall maintain the product at
required temperatures and the unit's
temperature settings shall be set, checked and
recorded before loading and core product
temperatures recorded at regular intervals
during loading as appropriate.
10.6.8.2 Transport The refrigeration unit shall be operational at all
times and the unit's operation, the door seals
and the storage temperature checked at regular
intervals during transit.
10.6.9.1 Unloading Prior to opening the doors, the refrigeration
unit's storage temperature settings and operating
temperature shall be checked and recorded.
Unloading shall be completed efficiently and
product temperatures shall be recorded at the
commencement of unloading and at regular
intervals during unloading.
10.6.9.2 Unloading Unloading practices shall be designed to
minimize unnecessary exposure of products to
conditions detrimental to maintaining the
product and package integrity.
10.7.1.1 Process Flow The process flow shall be designed to prevent
cross contamination and organized so there is a
continuous flow of product through the
processing and packaging area. The flow of
personnel shall be managed such that the
potential for contamination is minimized.
10.7.2.1 Receipt of Raw and Packaging Materials and Dry ingredients and packaging shall be received
Ingredients and stored separately from field product or
chilled materials to ensure there is no cross
contamination. Unprocessed field product shall
be received and segregated to ensure there is no
cross contamination.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Pre-ship review of refrigerated
transport vehicle ds not include
temperature check
(m) Loading and staging of refrigerated
product do not include monitoring
product temperatures
(M) Refrigerated vehicles are not capable
of maintaining the product at the correct
temperature
(M) Refrigerated vehicles refrigeration
unit is not operated at all times when
product is transported
(m) Refrigerated vehicles are not
inspected during transit
(M) Temperatures of perishable product
are not checked prior to unloading of
product
(m) Temperatures of unit are not checked
prior to unloading of perishable product
(m) Temperatures of perishable product
are not monitored or controlled during
unloading
(M) Unloading, staging and cross-docking
of product exposed product to potential
abuse
(m) Unloading practices are potentially
detrimental to product
(m) Design of process flow may allow for
cross contamination
(M) Design of process flow creates direct
opportunity for cross contamination
(m)) Packaging receiving is not separated
from raw materials
(M) Raw material and finished product
received and handled at same location
with no prevention steps taken
(m) Dry materials received in area where
potential for contamination exists
 Clause
10.7.3.1 High Risk Processes
10.7.4.1 Control of Foreign Matter Contamination
10.7.4.2 Control of Foreign Matter Contamination
10.7.4.3 Control of Foreign Matter Contamination
Item
The processing of high risk food shall be
conducted under controlled conditions such that
sensitive areas in which high risk food has
undergone a "kill" step, a "food safety
intervention or is subject to post process
handling, are protected/segregated from other
processes, raw materials or staff who handle raw
materials to ensure cross contamination is
minimized, areas in which high risk processes are
conducted are only serviced by staff dedicated to
that function, staff access points are located,
designed and equipped to enable staff to wear
distinctive protective clothing and to practice a
high standard of personal hygiene to prevent
product contamination, product transfer points
are located and designed so as not to
compromise high risk segregation and to
minimize the risk of cross contamination,
environmental monitoring program shall be in
place for high risk areas. As a minimum, a written
procedure detailing the applicable pathogens or
indicator organisms to test for (for that industry),
the number of samples to be taken, and the
frequency of sampling and corrective actions
shall be documented. The responsibility and
methods shall be documented and implemented.
A sampling schedule shall be prepared.
The responsibility and methods used to prevent
foreign matter contamination of products shall
be documented, implemented and
communicated to all staff.
Inspections shall be performed to ensure plant
and equipment remains in good condition and
potential contaminants have not detached or
become damaged or deteriorated.
The use of temporary fasteners such as string,
wire or tape to fix or hold equipment shall not be facility
permitted.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) High risk areas of facility are not
adequately segregated from raw material
handling areas
(M) High risk areas of facility are in direct
contact with raw material handling areas
(potential critical)
(M) High risk product is at risk due to
potential contact with raw materials
(M) Staff pass between high risk and raw
handling areas with no hygiene step
(M) Staff in high risk areas are not
dedicated and adequate controls are not
in place
(M) High risk areas have no controlled
access to ensure adequate staff hygiene
(m) No personal protective clothing is
required in high risk areas
(M) Staff observed not following company
policy on entering high risk areas
(M) Product transfer between high risk
areas and other areas poses risk to
product
(M) Staff observed not following company
policy on product transfer policies
(M) There is no environmental monitoring
program in place
(M) Foreign material prevention methods
are not developed
(m) No responsibility for the prevention
of foreign material have been defined
(m) Foreign material prevention controls
are not communicated to staff
(M) Foreign material prevention controls
are not implemented
(M) No inspections conducted to prevent
foreign material contamination of
product
(m) Temporary repairs are used in the
 Clause
10.7.4.4 Control of Foreign Matter Contamination
10.7.4.5 Control of Foreign Matter Contamination
10.7.4.6 Control of Foreign Matter Contamination
10.7.4.7 Control of Foreign Matter Contamination
10.7.5.1 Detection of Foreign Objects
Item
The following preventative measures shall be
implemented where applicable to prevent glass
contamination: all glass objects or similar
material in food handling/contact zones shall be
listed in a glass register including details of their
location, containers, equipment and other
utensils made of glass, porcelain, ceramics,
laboratory glassware or other like material
(except where product is contained in packaging
made from these materials, or measurement
instruments with glass dial covers or MIG
thermometers required under regulation) shall
not be permitted in food processing/contact
zones, conduct regular inspections of food
handling/contact zones to ensure they are free of
glass or other like material and to establish no
changes to the condition of the objects listed in
the glass register, inspect glass instrument dial
covers on processing equipment and MIG
thermometers at the start and finish of each shift
to confirm they have not been damaged.
Wooden pallets, wooden field bins, and other
wooden utensils used in food handling/contact
zones shall be dedicated for that purpose. Their
condition is subject to regular inspection and
shall be clean and maintained in good order.
Loose metal objects on equipment, equipment (m) Loose materials found on processing
covers and overhead structures shall be removed equipment
or tightly fixed so as not to present a hazard. (M) Loose materials observed in food
contact zones that present a hazard to
product
Knives and cutting instruments used in
processing and packaging operations shall be
controlled, kept clean and well maintained.
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No glass register is developed
(m) Glass register is not complete, glass
objects missing in register
(m) Unapproved glass and brittle
materials found in processing area
(m) No glass objective inspections of
processing areas conducted
(m) Glass object inspections are not
conducted regularly
(m) No inspection of glass instrument dial
covers or thermometers conducted at
start of each shift
(m) Wood used in processing / handling
area is dirty
(m) Wood used in processing / handling
area is not maintained
(m) Wood used in processing areas is not
designed for the current use
(M) Dirty knives found in the processing
area
(m) Knives incorrectly stored
(M) No cleaning/sanitizing procedures ion
place for knives and cutting instruments
(M) Cleaning/sanitizing protocol not being
followed
(M) No methods developed for the
monitoring, maintenance, or calibration
of filters and screens
(m) No responsibility assigned for the
monitoring, maintenance, or calibration
of filters and screens
(M) No methods implemented for the
monitoring, maintenance, or calibration
of filters and screens
 Clause Item
10.7.5.2 Detection of Foreign Objects Metal detectors or other physical contaminant
detection technologies shall be routinely
monitored, validated and verified for operational
effectiveness. The equipment shall be designed
to isolate defective products and indicate when it
is rejected.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Physical contaminant detection
technology is not routinely monitored
(m) Physical contaminant detection
technology is not validated
(M) Physical contaminant detection
technology does not isolate defective
product
(m) Physical contaminant detection
technology does not indicate when
defective product identified

10.7.5.3 Detection of Foreign Objects
Records shall be maintained of the inspection by (M) Records are not maintained of
foreign object detection devices. These devices foreign body inspection
need verification. (M) Records are not maintained of the
verification of foreign body detection
equipment

10.7.6.1 Managing Foreign Matter Contamination
Incidents
In all cases of foreign matter contamination, the
affected batch or item shall be isolated,
inspected, reworked or disposed.
(M) Item or batch of product affected by
foreign material contamination is not
properly reworked
(M) Item or batch of product affected by
foreign material contamination is not
properly destroyed

10.7.6.2 Managing Foreign Matter Contamination
Incidents
In circumstances where glass or similar material
breakage occurs, the affected area is to be
isolated, cleaned and thoroughly inspected
(including cleaning equipment and footwear) and
cleared by a suitably responsible person prior to
the commencement of operations.
(M) Area of glass breakage was not
properly isolated and cleaned prior to
start up of operations
(m) Area of glass breakage was not
properly inspected prior to start up of
operations

10.8.1.1 Location On site laboratories shall be located separate (m) On-site laboratory is not separated
from any food processing or handling activity and from food processing area
designed to limit access only to authorized (m) Laboratory access is not restricted to
personnel. only authorized personnel

10.8.1.2 Location Provisions shall be made to isolate and contain all
laboratory waste held on the premises and
manage it separately from food waste.
Laboratory waste water outlet shall (as a
minimum) be down stream of drains that service
food processing and handling areas.
(m) Laboratory waste is not properly
treated prior to disposal
(m) Laboratory waste is not adequately
contained and separated from facility
waste

10.8.1.3 Location Signage shall be displayed identifying the
laboratory area as a restricted area accessible
only by authorized personnel.
(m) Adequate signage is not available for
the laboratory
(m) Signage does not state that only
authorized personnel allowed in
laboratory

10.9.1.1 Dry and Liquid Waste Disposal
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
(m) There are no methods for handling
waste documented
(m) The methods for handling waste
within premises are not adequate to
control all waste
(m) Methods do not include proper
storage of waste prior to disposal
 Clause
10.9.1.2 Dry and Liquid Waste Disposal
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Waste shall be removed on a regular basis and (m) Waste is not regularly removed from
not build up in product handling areas. processing areas
Designated waste accumulation areas shall be (m) Waste collection areas are not
maintained in a clean and tidy condition until maintained and not cleaned
such time as external waste collection is
undertaken.

10.9.1.3 Dry and Liquid Waste Disposal
Trolleys, vehicles waste disposal equipment,
collection bins and storage areas shall be
maintained in a serviceable condition and
cleaned and sanitized regularly so as not to
attract pests and other vermin.
(m) Containers for waste are not properly
maintained
(m) Trolleys, vehicles and equipment
used for waste are not properly cleaned

10.9.1.4 Dry and Liquid Waste Disposal
Adequate provision shall be made for the
disposal of all solid processing waste including
trimmings, inedible material and used packaging.
Waste held on site prior to disposal shall be
stored in a separate storage facility and suitably
fly proofed and contained so as not to present a
hazard.
(m) Solid processing waste is not
adequately contained
(m) Solid processing waste is not properly
held in a separate facility
(m) Solid processing waste is not
adequately disposed

10.9.1.5 Dry and Liquid Waste Disposal
Adequate provision shall be made for the (m) Liquid waste is not adequately
disposal of all liquid waste from processing and contained
food handling areas. Liquid waste shall be either (m) Liquid waste is not properly held in a
removed from the processing environment separate facility
continuously or held in a designated storage area (m) Liquid waste is not adequately
in lidded containers prior to disposal so as not to disposed
present a hazard.

10.9.1.6 Dry and Liquid Waste Disposal Reviews of the effectiveness of waste (m) Daily inspections are not conducted
management shall form part of daily hygiene to monitoring handling of waste
inspections and the results of these inspections (m) Daily inspection to review waste
shall be included in the relevant hygiene reports. handling are not documented

10.10.1.1 Grounds and Roadways
The grounds and area surrounding the premises
shall be maintained to minimize dust and be kept
free of waste or accumulated debris so as not to
attract pests and vermin.
(m) Exterior grounds are not maintained
and provide pest harborage areas
(m) Exterior grounds are not managed to
minimize dust or other hazards
(m) Exterior grounds are not kept free of
waste

10.10.1.2 Grounds and Roadways
Paths, roadways and loading and unloading areas (m) Exterior paths and roadways are not
shall be maintained so as not to present a hazard managed to minimize dust or other
to the food safety operation of the premises. hazards
(m) Exterior loading and unloading areas
are not maintained to minimize hazards

10.10.1.3 Grounds and Roadways
Surroundings shall be kept neat and tidy and not (m) Surroundings are cluttered and untidy
present a hazard to the hygienic and sanitary (m) Grass and vegetation ids not kept
operation of the premises. under control in surrounding areas
(m) Equipment is stored outside and
unprotected from the weather

10.10.1.4 Grounds and Roadways Paths from amenities leading to facility entrances (m) External paths from amenities to the
are required to be effectively sealed. facility are not sealed

Compliant 0
Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
 Clause
11.1.1.1 Premises Location
11.1.1.2 Premises Location
11.1.2.1 Construction and Operational Approval
11.2.1.1 Materials and Surfaces
11.2.2.1 Floors, Drains and Waste Traps
11.2.2.2 Floors, Drains and Waste Traps
11.2.2.3 Floors, Drains and Waste Traps
11.2.2.4 Floors, Drains and Waste Traps
11.2.3.1 Walls, Partitions, Doors and Ceilings
11.2.3.2 Walls, Partitions, Doors and Ceilings
11.2.3.3 Walls, Partitions, Doors and Ceilings
11.2.3.4 Walls, Partitions, Doors and Ceilings
11.2.3.5 Walls, Partitions, Doors and Ceilings
11.2.3.6 Walls, Partitions, Doors and Ceilings
Item
The location of the premises shall be such that (m) Location of premises poses a hygienic risk
adjacent and adjoining buildings, operations and (m) Location of premises poses a food safety risk
land use do not interfere with safe and hygienic
operations.
Measures shall be established to maintain a
suitable external environment, and the
effectiveness of the established measures shall
be monitored and periodically reviewed.
The construction and ongoing operation of the
premises on the site shall be approved by the
relevant authority.
Product contact surfaces and those surfaces not
in direct contact with food in food handling
areas, raw material storage, packaging material
storage and cold storage areas shall be
constructed of materials that will not contribute
a food safety risk.
Floors shall be constructed of smooth, dense
impact resistant material that can be effectively
graded, drained, impervious to liquid and easily
cleaned.
Floors shall be sloped to floor drains at gradients (m) Floors do not drain properly
suitable to allow the effective removal of all
overflow or waste water under normal working
conditions.
Drains shall be constructed and located so they
can be easily cleaned and not present a hazard.
Waste trap systems shall be located away from
any food handling area or entrance to the
premises.
Walls, partitions, ceilings and doors shall be of
durable construction. Internal surfaces shall be
smooth and impervious with a light colored
finish, and shall be kept clean (refer to element
11.2.13.1)
Wall to wall and wall to floor junctions shall be
designed to be easily cleaned and sealed to
prevent the accumulation of food debris.
Ducting, conduit and pipes that convey services
such as steam or water shall be designed and
constructed so as to allow ease of cleaning.
Doors, hatches and windows and their frames
shall be of a material and construction which
meets the same functional requirements for
internal walls and partitions; doors and hatches
shall be of solid construction, windows shall be
made of shatterproof glass or similar material.
Food shall be processed and handled in areas
that are fitted with a ceiling or other acceptable
structure that is constructed and maintained to
prevent the contamination of products.
Drop ceilings shall be additionally constructed to (m) Drop ceilings are not constructed to enable
enable monitoring for pest activity, facilitate
cleaning and provide access to utilities.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Methods to manage exterior environmental
risks have not been monitored
(m) Methods to manage exterior environmental
risks have not been reviewed
(m) Site has not been approved by local authorities
(M) Product contact surfaces are constructed of
materials that pose a food safety risk
(m) Non-food contact surfaces are constructed of
materials that pose a food safety risk
(m) Floors are non smooth and easily cleanable
(m) Floors do not graded properly
(m) Floors are made of an inappropriate material
(m) Areas of floors have excessive water buildup
(m) Drain construction poses a food safety risk
(m) Drain location poses a food safety risk
(m) Waste traps are located close to food handling
areas or entrance to the facility
(m) Walls are not of sound construction
(m) Partitions are not of sound construction
(m) Doors are not of sound construction
(m) Ceilings are not of sound construction
(m) Walls, partitions, ceilings, and doors are not
kept clean
(M) The condition of walls, partitions, doors,
ceilings, pose a food safety risk
(m) Wall to wall junctions are not constructed
properly
(m) Floor to wall junctions are not constructed
properly
(m) Ducting is constructed to pose difficulty in
cleaning
(m) Conduits are constructed to pose difficultly in
cleaning
(m) Pipes are constructed to pose a difficultly in
cleaning
(m) Door are not of solid construction
(m) Windows are not of solid construction
(M) Windows are not made of shatterproof glass in
product contact areas
(m) Windows are not made of shatterproof glass in
non-product contact areas
(m) Ceilings are not of sound construction
(M) Ceiling construction poses a food safety hazard
to the product
monitoring of pest activity
(m) Drop ceilings are not constructed to enable
cleaning
(m) Drop ceilings are not constructed to facilitate
access to utilities
 Clause
11.2.4.1 Stairs, Catwalks and Platforms
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Stairs, catwalks and platforms in food processing (M) Stair construction poses a food safety hazard to
and handling areas shall be designed and the product
constructed so as not to present a product (M) Catwalk construction poses a food safety hazard
contamination risk, and shall be kept clean (refer to the product
to element 11.2.13.1). (m) Stair and/or catwalk is not of sound construction
in non-product contact zones

11.2.5.1 Lighting and Light Fittings Lighting in food processing and handling areas (m) Lighting intensity is not sufficient in food
and at inspection stations shall be of appropriate processing areas
intensity to enable the staff to carry out their (m) Lighting intensity is not sufficient at inspection
tasks efficiently and effectively. stations

11.2.5.2 Lighting and Light Fittings
Light fittings in processing areas, inspection (m) A light fitting was found unprotected
stations, ingredient and packaging storage areas, (M) Majority of light fixtures are not shatterproof or
and all areas where the product is exposed shall protected, and pose a threat to product safety
be shatterproof, manufactured with a
shatterproof covering or fitted with protective
covers and recessed into or fitted flush with the
ceiling. Where fittings cannot be recessed,
structures must be protected from accidental
breakage, manufactured from cleanable
materials and addressed in the cleaning and
sanitation program.

11.2.5.3 Lighting and Light Fittings Light fittings in warehouses and other areas (m) Light fittings in warehouse areas pose a risk to
where the product is protected shall be designed product safety
such as to prevent breakage and product
contamination.

11.2.6.1 Inspection Area A suitable area within the processing area shall (m) No area is designated as product inspection area
be provided for the inspection of the product if (m) Area designated as product inspection is not
required. suitable

11.2.6.2 Inspection Area
The inspection area shall be provided with
facilities that are suitable for examination of the
style of product being processed. The inspection
area shall have easy access to hand washing
facilities, sufficient lighting intensity to enable as
thorough inspection of the product as required.
(m) Product inspection area does not have easy
access to hand washing facilities
(m) Product inspection area does not have sufficient
lighting

11.2.7.1 Dust, Fly and Vermin Proofing
All external windows, ventilation openings, doors
and other openings shall be effectively sealed
when closed and proofed against dust, vermin
and flies.
(m) Windows are not protected and sealed against
dust or pests
(m) Doors are not adequately protected against dust
or pests
(M) There is a risk of dust or pest contamination of
product

11.2.7.2 Dust, Fly and Vermin Proofing Personnel access doors shall be provided. They (m) Personnel doors are not self closing
shall be effectively fly-proofed and fitted with a
self-closing device.

11.2.7.3 Dust, Fly and Vermin Proofing
External doors, including overhead dock doors in (m) External door(s) are not adequately fly-proofed
food handling areas, used for product, pedestrian (m) Sealing around trucks in docking areas is not
or truck access shall be fly-proofed by at least adequate
one or a combination of the following methods: a
self-closing device, an effective air curtain, a fly-
proof screen, a fly-proof annex, adequate sealing
around trucks in docking areas.

11.2.7.4 Dust, Fly and Vermin Proofing
Electric insect control devices, pheromone or
other traps and baits shall be located so as not to
present a contamination risk to product,
packaging, containers or processing equipment.
Poison bait shall not be used inside ingredient or
food storage areas or processing areas.
(m) Insect devices are located so as to pose a threat
to product
(m) Insect devices are located so as to pose a threat
to equipment
(m) Bait is used inside food storage areas or
processing areas

11.2.8.1 Ventilation Adequate ventilation shall be provided in (m) Food processing areas do not have adequate
enclosed processing and food handling areas. ventilation
 Clause
11.2.8.2 Ventilation
11.2.9.1 Premises and Equipment Maintenance
11.2.9.2 Premises and Equipment Maintenance
11.2.9.3 Premises and Equipment Maintenance
11.2.9.4 Premises and Equipment Maintenance
11.2.9.5 Premises and Equipment Maintenance
11.2.10.1 Calibration
Item
Extractor fans and canopies shall be provided in
areas where cooking operations are carried out
or a large amount of steam is generated and shall
have the following features: capture velocities
shall be sufficient to prevent condensation build
up and to evacuate all heat, fumes and other
aerosols to the exterior via an exhaust hood
positioned over cooker, fans and exhaust vents
shall be fly proofed and located so as not to pose
a contamination risk, where appropriate, positive
air-pressure system shall be installed to prevent
airborne contamination.
The methods and responsibility for the
maintenance and repair of plant, equipment and (M) Actual maintenance practices risk product
buildings shall be documented, planned and
carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.
Maintenance staff and contractors shall observe
the following practices when undertaking
maintenance and repairs in any product
processing, packaging, handling or storage area:
Routine maintenance of plant and equipment
shall be performed according to a maintenance-
control schedule and recorded; Failures of plant
and equipment shall be documented, reviewed
and their repair incorporated into the
maintenance control schedule; Compliance with
the personnel and process hygiene requirements
(refer to elements 10.3.1, 10.3.2, 10.3.3, 10.3.4)
by maintenance staff and contractors; Ensure
facility supervisors are notified when
maintenance or repairs are to be undertaken in
any food handling area; Inform the maintenance
supervisor and the facility supervisor if any
repairs or maintenance pose a potential threat to
product safety (i.e. pieces of electrical wire,
damaged light fittings, and loose overhead
fittings). When possible, maintenance is to be
conducted outside processing times; Remove all
tools and debris from any maintenance activity
once it has been completed and inform the area
supervisor and maintenance supervisor so
appropriate hygiene and sanitation can be
completed prior to the commencement of facility
operations.
The maintenance schedule shall be prepared to
cover building, equipment and other areas of the
premises critical to the maintenance of product
safety and quality.
Equipment located over product or product
conveyors shall be lubricated with food grade
lubricants and their use controlled so as to
minimize the contamination of the product.
Paint used in a food handling or contact zone
shall be suitable for use and in good condition
and shall not be used on any product contact
surface.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in pre-requisite program, food
safety plans and food quality plans and other
process controls, or to demonstrate compliance
with customer specifications shall be
documented and implemented.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Condensation is present in cooker areas
(m) Exhaust vents are not adequately fly proofed
(M) Positive air pressure is not available in high risk
processing areas
(m) Cooking areas are not adequately exhausted
(m) There are no planned maintenance schedule
safety and integrity
(M) Maintenance staff do not follow food safety and
hygiene practices
(M) Maintenance contractors do not follow food
safety and hygiene practices
(m) Activities from preventative maintenance
schedule are not documented
(m) Plant failures are not documented
(m) Equipment failures are not documented
(m) Failures are not incorporated into maintenance
control schedule
(m) There are no personal hygiene practices
developed for main
(m) Supervisors are not notified when repairs made
in food handling area
(m) All tools, parts and debris not removed from
repair areas
(M) No sanitation activity occurs after maintenance
repair in food processing area
(M) No notification occurs when potential risk to
product is evident
(m) Maintenance schedule does not include critical
areas of facility
(m) Maintenance schedule does not include critical
areas of equipment
(M) Non-food grade lubricant is used in food contact
zones
(m) Non-food grade lubricant is used on food
handling conveyors
(m) Food grade lubricant is used, but is likely to
contact product
(M) Paint is used on product contact surfaces
(M) Calibration methods for monitoring equipment
are not documented
(m) Methods for calibration of equipment do not
include responsibility
(m) Methods for calibration of equipment do not
include all necessary equipment
 Clause Item
11.2.10.2 Calibration Procedures shall be documented and
implemented to address the disposition of
potentially affected products should measuring,
test and inspection equipment be found to beout
of calibration state.
11.2.10.3 Calibration Calibrated measuring, test and inspected
equipment shall be protected from damage and
unauthorized adjustment.
11.2.10.4 Calibration Equipment shall be calibrated against national or (M) The calibration standards are not known
international reference standards and methods (M) Calibration standards are known but not
or to accuracy appropriate to its use. In cases
where standards are not available, the supplier
shall provide evidence to support the calibration
reference method applied.
11.2.10.5 Calibration Calibration shall be performed according to
regulatory requirements and/or to the
equipment manufacturers recommended
schedule.
11.2.10.6 Calibration Calibration records shall be maintained.
11.2.11.1 Management of Pests and Vermin The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounding areas, storage facilities, machinery
and equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
11.2.11.2 Management of Pests and Vermin The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, include on a site map the
identification, location, number and type of bait
stations set, list the chemicals used (they are
required to be approved by the relevant
authority and their Safety Data Sheets (SDS)
made available). outline the methods used to
make staff aware of the bait control program and
the measures to take when they come in contact
with a bait station, outline the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits, and shall
measure the effectiveness of the program to
verify the elimination of applicable pests.
11.2.11.3 Management of Pests and Vermin Inspections for pest activity shall be undertaken
on a regular basis by trained personnel and the
appropriate action taken if pests are present.
11.2.11.4 Management of Pests and Vermin Records of all pest control applications shall be
maintained.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) There are no procedures in place to address
disposition of potentially affected product
(M) Potentially affected product is not adequately
disposed
(m) Calibrated equipment is not protected from
damage
(m) Calibrated equipment is subject to unauthorized
adjustment
followed
(m) Calibration schedule does not meet regulatory
requirements
(m) Calibration schedule has not been developed
(m) Calibration schedule doe not follow
recommended frequency
(M) No calibration records are maintained
(m) Calibrations records are not complete
(M) No methods for integrated pest management
documented
(m) Responsibility of integrated pest management
not included in program
(m) Pest management program does not include
exterior or surrounding areas of facility
(m) Facility has pest harborage areas observed
(m) Exterior of facility has pest harborage areas
observed
(M) Methods for the pest management program are
not developed
(m) Target pests are not included in program
(m) Methods used to prevent pest problems are not
defined
(m) Methods used to eliminate pests are not
defined
(m) No frequency for the checking of pest status is
developed
(m) Frequency not followed by responsible
personnel in the checking of pest control devices
(m) Site map of pest control devices is not available
(m) Site map of pest control devices is not complete
(M) List of chemicals used for pest control is not
available
(m) List of chemical used for pest control is not
complete
(M) Unapproved chemicals for pest control used in
the facility
(m) No SDS sheet available for one chemical used in
facility
(M) No SDS sheets available for any chemical used in
facility
(m) No methods available for staff awareness of
pest control devices
(m) No methods available for staff awareness of
pest control chemicals and baits
(m) No measures of the effectiveness of the pest
program arte in place
(M) No inspections are made of pest control devices
(m) Inspections of pest control devices are made by
untrained personnel
(m) No appropriate action taken when issues are
noted on pest control inspection
(m) Pest control records are not maintained
(m) pest control records are not complete
 Clause
11.2.11.5 Management of Pests and Vermin
11.2.11.6 Management of Pests and Vermin
11.2.11.7 Management of Pests and Vermin
11.2.12.1 Equipment, Utensils and Protective Clothing
11.2.12.2 Equipment, Utensils and Protective Clothing
11.2.12.3 Equipment, Utensils and Protective Clothing
11.2.12.4 Equipment, Utensils and Protective Clothing
11.2.12.5 Equipment, Utensils and Protective Clothing
11.2.12.6 Equipment, Utensils and Protective Clothing
Item
Pesticides and other toxic chemicals shall be
clearly labeled and stored as described in
element 11.6.4 and handled and applied by
properly trained personnel. They shall be used by
or under the direct supervision of trained
personnel with a thorough understanding of the
hazards involved, including the potential for the
contamination of food and food contact surfaces.
Pest control contractors shall be licensed and
approved by the local relevant authority, use
only trained and qualified operators who comply
with regulatory requirements, use only trained
and qualified operators who comply with
regulatory requirements, use only approved
chemicals, provide a pest control management
plan (see Contract Services 2.3.3) which will
include a site map indicating the location of bait
stations and traps, report to a responsible
authorized person on entering the premises and
after the completion of inspections or
treatments, provide a written report of their
findings and the inspections and treatments
applied.
The supplier shall dispose of unused pest control
chemicals and empty containers in accordance
with regulatory requirements and ensure that
empty chemical containers are not reused,
labeled, isolated and securely stored while
awaiting collection, unused and obsolete
chemicals are stored under secure conditions
while waiting authorized disposal by an approved
vendor.
Equipment and utensils shall be designed,
constructed, installed, operated and maintained
so as not to pose a contamination threat to
products.
Benches, tables, conveyors, graders, packers and
other mechanical equipment shall be hygienically
designed and located for appropirate cleaning.
Equipment surfaces shall be smooth, impervious
and free from cracks or crevices.
Product containers, tubs, bins for edible and
inedible material shall be constructed of
materials that are non-toxic, smooth, impervious
and readily cleaned. Bins used for inedible
material shall be clearly identified.
Waste and overflow water from tubs, tanks and (m) Waste water is discharged on floor
other equipment shall be discharged direct to the (m) Waste water is not properly drained
floor drainage system.
Protective clothing shall be manufactured from
material that is not liable to contaminate food
and easily cleaned.
Racks shall be provided for the temporary
storage of protective clothing when staff leaves (m) Racks are not poorly designed
the processing area and shall be provided in close (m) Racks are not located near access doorways
proximity or adjacent to the personnel access
doorways and hand washing facilities.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Pesticides are not properly labeled
(m) Pesticides are not properly stored
(m) Pesticides are applied by non-trained personnel
(M) Pest control operator is not licensed
(M) Pest control operator is not approved by local
relevant authority
(m) Pest control operator does not report to facility
management upon entry into facility
(m) Pest control operator is not properly trained
(m) Pest control operator does not have a pest
control management plan
(m) Pest control operator does not leave written
findings of inspection
(m) Final report left by Pest control operator does
not include chemicals applied
(m) Empty pest control chemical containers not
properly disposed
(m) Unused pest control chemicals are not properly
disposed
(m) Empty containers are not properly labeled
(m) Empty containers are not properly contained
(m) Unused and obsolete chemicals are not stored
secured
(M) Food contact equipment's design, construction,
or maintenance poses a food safety risk
(M) Food contact utensil's design, construction, or
maintenance poses a food safety risk
(m) Non food contact equipment or utensil is not
maintained
(m) Non food contact equipment or utensil is not
properly designed
(m) Food processing equipment is not properly
maintained
(m) Food processing equipment is not properly
designed
(m) Food contact utensils are not properly
maintained
(m) Food contact utensils are not properly designed
(M) Containers for inedible materials are not
properly labeled
(m) Protective clothing is not easily cleaned
(M) Racks are not provided
 Clause
11.2.13.1 Cleaning and Sanitation
11.2.13.2 Cleaning and Sanitation
11.2.13.3 Cleaning and Sanitation
11.2.13.4 Cleaning and Sanitation
11.2.13.5 Cleaning and Sanitation
11.2.13.6 Cleaning and Sanitation
11.2.13.7 Cleaning and Sanitation
Item
The methods and responsibility for the cleaning
of the food handling and processing equipment
and environment, storage areas, staff amenities
and toilet facilities shall be documented and
implemented. Consideration shall be given to
what is to be cleaned, how it is to be cleaned,
when it is to be cleaned, who is responsible for
the cleaning, methods used to confirm the
correct concentrations of detergents and
sanitizers, the responsibility and methods used to
verify the effectiveness of the cleaning and
sanitation program.
Provision shall be made for the effective cleaning (M) The cleaning of processing equipment is
of processing equipment, utensils and protective ineffective
clothing.
Suitably equipped areas shall be designated for
cleaning product containers, knives, cutting
boards and other utensils and for cleaning of
protective clothing used by staff. These cleaning
operations shall be controlled so as not to
interfere with manufacturing operations,
equipment or product. Racks and containers for
storing cleaned utensils and protective clothing
shall be provided as required.
Pre-operational hygiene and sanitation
inspections shall be conducted by qualified
personnel to ensure food processing areas,
product contact surfaces, equipment, staff
amenities and sanitary facilities and other
essential areas are clean before the
commencement of production.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Detergents and sanitizers shall be suitable for use
in a food manufacturing environment, and
purchased in accordance with applicable
legislation. The organization shall ensure an
inventory of all chemicals purchased and used
shall be maintained, detergents and sanitizers are
stored as outlined in element 11.6.4, Safety Data
Sheets (SDS) are provided for all detergents and
sanitizers purchased, only trained staff handles
sanitizers and detergents.
The supplier shall dispose of unused detergents
and sanitizers and empty containers in
accordance with regulatory requirements and
ensure that empty detergent and sanitizer
containers are appropriately cleaned, treated
and labeled before use, labeled, isolated and
securely stored while awaiting collection, unused
and obsolete detergents and sanitizers are stored
under secure conditions while waiting authorized
disposal by an approved vendor.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Facility does not have a cleaning program
developed
(M) Critical equipment and areas of the facility are
not covered in cleaning program
(m) Cleaning methods do not include what is to be
cleaned
(m) Cleaning methods do not include how items are
to be cleaned
(m) Cleaning methods do not include frequency of
cleaning
(m) Cleaning methods do not include responsibility
for cleaning
(m) Cleaning program does not include method for
verification of effectiveness of sanitation
(M) The cleaning of utensils is ineffective
(m) The cleaning of protective clothing is ineffective
(m) Cleaning of utensils is carried out close to
processing operations
(m) Control of cleaning operations so as not to
contaminate product is ineffective
(m) Racks and areas for storing cleaned utensils are
not provided
(m) Racks and areas for storing cleaned utensils are
ineffective
(M) No pre-operational inspections are completed
to ensure cleanliness
(m) Not all critical areas of the facility are include in
pre-operational inspections
(m) Personnel conducting pre-operational
inspections are not qualified
(m) No sanitation verification schedule is available
(m) No methods established for verification of
sanitation
(m) No responsibility is established for verification of
sanitation
(m) Detergents or sanitizers do not meet local
regulatory requirements
(m) No inventory of chemicals purchased is available
(m) The inventory of chemicals purchased is not
current and up to date
(m) Detergents and/or sanitizers are not stored per
section 11.6.4
(M) SDS sheets are not available for detergents or
sanitizers purchased
(m) One detergent or sanitizer does not have SDS
sheet
(m) Personnel handling cleaning chemicals are not
properly trained
(M) Cleaning chemicals are not disposed of per
regulatory requirements
(m) Empty cleaning chemical containers are not
labeled or properly treated
(m) Empty cleaning chemical containers are not
properly isolated or secured
(m) Obsolete cleaning chemicals are not properly
secured awaiting disposal
 Clause
11.2.13.8 Cleaning and Sanitation
11.3.1.1 Personnel
11.3.1.2 Personnel
11.3.1.3 Personnel
11.3.2.1 Hand Washing
11.3.2.2 Hand Washing
11.3.2.3 Hand Washing
11.3.2.4 Hand Washing
11.3.2.5 Hand Washing
11.3.2.6 Hand Washing
Item
A record of pre-operational hygiene inspections, (m) Records of cleaning and sanitation activities are
cleaning and sanitation activities, and verification not maintained
activities shall be maintained.
Personnel suffering from infectious diseases or
are carriers of any infectious disease shall not
engage in product handling or processing
operation.
Personnel with exposed cuts, sores or lesions
shall not be engaged in handling or processing
products or handling primary packaging materials
or food contact surfaces. Minor cuts or abrasions
on exposed parts of the body shall be covered
with a colored bandage containing a metal strip
or an alternative suitable waterproof and colored
dressing.
Smoking, chewing, eating, drinking or spitting is
not permitted in any food processing or food
handling areas.
Hand wash basins shall be provided adjacent to
all personnel access points and in accessible
locations throughout food handling and
processing areas as required.
Hand wash basins shall be constructed of
stainless steel or similar non-corrosive material
and as a minimum supplied with a potable water
supply at an appropriate temperature, liquid
soap contained within a fixed dispenser, paper
towels in a hands-free cleanable dispenser, a
means of containing used paper towels.
The following additional facilities shall be
provided in high risk areas: hands-free operated
taps, hand sanitizers
A sign instructing people to wash their hands,
and in appropriate languages, shall be provided
in a prominent position.
Personnel shall have clean hands and hands shall
be washed by all personnel, including staff,
contractors and visitors on entering food
handling or processing areas, after each visit to a
toilet, after using a handkerchief, after smoking,
eating or drinking, after handling wash down
hoses, dropped product or contaminated
material.
When gloves are used, personnel shall maintain
the hand washing practices outlined above.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Records of cleaning and sanitation activities are
not complete
(m) Records of hygiene inspections are not
maintained
(m) Records of cleaning and hygiene inspections are
not complete
(M) Personnel who are engaged in product handling
exhibit signs of illness (Potential Critical)
(M) Personnel who have been ill with an infectious
illness are involved in food processing (Potential
Critical)
(M) Personnel observed handling food products
with sores or cuts on hands with no controls
(Potential Critical)
(M) Controls for personnel injuries to hands do not
include appropriate alert controls
(m) Bandages provided for cuts are inadequate
(M) Evidence of smoking, eating, drinking observed
in food processing areas
(m) Evidence of smoking, eating, drinking observed
in food handling areas
(M) Employees observed smoking, eating or drinking
in food processing or handling areas
(M) No hand wash basins available for personnel
(m) Hand wash basins not located at accessible
points
(m) Hand wash basins not located at personnel
access points
(m) Hand was basin not constructed of appropriate
material
(m) Hand wash basin does not have water at
appropriate temperature
(m) No liquid soap available at hand wash station
(m) No paper towels available at hand wash station
(m) No means to contain used paper towels
available at hand wash station
(m) No hands free taps used at hand wash stations
in high risk areas
(m) No hand sanitizer used at hand wash stations in
high risk areas
(m) No signage available for personnel to wash their
hands
(m) Signage for hand washing is not located in
prominent position
(M) Personnel observed in food handling area with
dirty hands
(M) Personnel observed not washing hands upon
entering processing area
(M) Personnel observed not washing hands upon
leaving restroom
(M) Personnel observed not washing hands after
handling hoses or trash
(M) Personnel observed not washing hands after
eating, drinking, or smoking
(m) Personnel seen using gloves instead of following
hand washing requirements
(m) Facility policy on gloves does not require proper
hand washing protocols
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
11.3.3.1 Clothing Clothing worn by staff engaged in handling food (m) Clothing worn by staff is not properly
shall be maintained, stored, laundered and worn maintained
so as not to present a contamination risk to (m) Staff clothing in processing area is not clean
products. (m) Staff clothing used in high risk processing areas
is worn off site
(M) Staff clothing presents a hazard to product

11.3.3.2 Clothing Staff engaged in high risk areas shall change into (M) There is no clean or temporary clothing
clean clothing or don temporary protective available for staff in high risk areas
outerwear when entering high risk areas. (M) Staff observed in high risk areas in incorrect
clothing

11.3.3.3 Clothing Clothing incluing shoes, shall be clean at the (m) Staff clothing not clean at the start of each shift
commencement of each shift and maintained in a (m) Excessive dirty uniforms not changed as
serviceable condition. Excessively soiled uniforms necessary
shall be changed where they present a product
contamination risk.

11.3.3.4 Clothing Disposable gloves and aprons shall be changed
after each break, upon re-entry into the
processing area and when damaged. Non-
disposable aprons and gloves shall be cleaned
and sanitized as required and when not in use
stored on racks provided in the processing area
and not on packaging, ingredients, product or
equipment.
(m) Disposable gloves reused by staff
(m) Non-disposable gloves and/or aprons not
properly cleaned between usage
(m) Disposable gloves and aprons not changed upon
re-entry into processing area

11.3.4.1 Jewelry and Personal Effects
Jewelry and other loose objects shall not be worn
or taken into a food handling or processing
operation or any area where food is exposed. The
wearing of plain bands with no stones and
medical alert bracelets that cannot be removed
can be permitted, however the supplier will need
to consider their customer requirements and the
applicable food legislation.
(m) Staff in processing area observed wearing
jewelry
(m) Staff in processing areas observed wearing loose
objects
(m) No control process in place for addressing
jewelry for employees and visitors

11.3.5.1 Visitors All visitors, including management and (m) Visitors observed wearing unsuitable footwear
maintenance staff, shall wear suitable clothing or clothing in processing areas
and footwear when entering any food processing (m) Management observed not following company
or handling area. protocol on clothing or footwear

11.3.5.2 Visitors All visitors shall be required to remove jewelry (m) Visitors observed wearing jewelry in processing
and other loose objects. or handling areas
(m) Visitors observed wearing unsuitable loose
items in processing or handling areas

11.3.5.3 Visitors Visitors exhibiting visible signs of illness shall be (M) Visitors observed with illness are allowed in
prevented from entering areas in which food is processing areas
handled or processed.

11.3.5.4 Visitors Visitors shall enter and exit food handling areas (m) Visitors observed not following facility protocols
through the proper staff entrance points and on hygiene
comply with all hand washing and personnel (m) Visitors observed not following facility protocols
practice requirements. on access to processing and handling areas

11.3.6.1 Staff Amenities
Staff amenities supplied with appropriate lighting
and ventilation shall be made available for the
use of all persons engaged in the handling and
processing of product.
(m) Staff amenities do not have adequate lighting
(m) Staff amenities do not have adequate
ventilation
(m) Staff amenities are not available to all staff who
handle product

11.3.7.1 Change Rooms Facilities shall be provided to enable staff and (m) No adequate amenities for visitors and staff
visitors to change into and out of protective (m) Amenities are not available to change into
clothing as required. protective clothing

11.3.7.2 Change Rooms Change rooms shall be provided for staff engaged (m) No change rooms provided for high risk
in the processing of high risk foods or processing personnel
operations in which clothing can be soiled. (m) No change rooms provided for personnel
engaged in highly soiled processing
 Clause
11.3.7.3 Change Rooms
11.3.7.4 Change Rooms
11.3.8.1 Laundry
11.3.9.1 Sanitary Facilities
11.3.9.2 Sanitary Facilities
11.3.9.3 Sanitary Facilities
11.3.10.1 Lunch Rooms
11.3.10.2 Lunch Rooms
11.3.10.3 Lunch Rooms
11.3.11.1 First Aid
Item
Provision shall be made for staff to store their
street clothing and personal items separate from
food contact zones and food and packaging
storage areas.
Where required, a sufficient number of showers
shall be provided for use by staff.
Provision shall be made for the laundering and
storage of clothing worn by staff engaged in high
risk processes and for staff engaged in processing
operations in which clothing can be heavily
soiled.
Toilet rooms shall be designed and constructed
so that they are accessible to staff and separate
from any processing and food handling
operations, accessed from the processing area
via an airlock vented to the exterior or through
an adjoining room, sufficient in number for the
maximum number of staff, constructed so that
they can be easily cleaned and maintained, kept
clean and tidy.
Sanitary drainage shall not be connected to any
other drains within the premises and shall be
directed to a septic tank or a sewerage system.
Hand wash basins shall be provided immediately (M) No hand was basins are available near the
outside or inside the toilet room and designed as toilets
outlined in 11.3.2.2. (m) Hand wash basin near the toilets do not meet
section 11.3.2.2
Separate lunch room facilities shall be provided
away from a food contact/handling zone.
Lunch room facilities shall be ventilated and well
lit, provided with adequate tables and seating to
cater for the maximum number of staff at one
sitting, equipped with a sink serviced with hot
and cold potable water for washing utensils,
equipped with refrigeration and heating facilities
enabling them to store or heat food and to
prepare non-alcoholic beverages if required, kept
clean and free from waste materials and pests.
Signage in appropriate languages instructing
people to wash their hands before entering the
food processing areas shall be provided in a
prominent position in break rooms and at lunch
break exits.
First aid facilities shall be provided to treat minor (m) No first aid facilities are available
injuries and suitable arrangements shall be
provided in circumstances when a patient
requires more specialized care.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No amenities available for the storage of staff
personal items
(m) Storage of personal items is not separated from
processing areas
(m) There are not enough showers where they are
required
(m) No showers are available where they are
required
(m) No provisions are made for laundering of
protective clothing worn by staff
(M) No provisions are available for laundering of
high risk protective clothing
(M) Toilets open directly into processing areas with
no other controls in place
(m) Toilets are not adequate in number for the
maximum number of staff
(m) Toilets can not be easily cleaned
(m) Toilets are not constructed so that they can be
easily maintained
(m) Toilets are untidy and/or dirty
(m) Sanitary drainage is connected to drains within
processing facility
(m) Lunch facilities are not separated from
processing areas
(m) Lunch facilities are not separated from product
storage or handling area
(m) Lunch room facility are not properly ventilated
(m) Lunch room facility is not well lit
(m) Lunch room facility does not adequately fit staff
(m) No sink with hot and cold water is available in
lunch facility
(m) The lunch room is not kept clean and tidy
(m) Proper heating or cooling facilities are not
provided in lunch facility
(m) No hand wash sign available at the exit of the
lunch facility
(m) Signage at the exit of the lunch facility is not in
correct languages
(m) No arrangements have been made to provide
for more specialized care as required
 Clause Item
11.4.1.1 Staff Engaged in Food Handling and Processing All personnel engaged in any food handling,
Operations preparation or processing operations shall ensure
that products and materials are handled and
stored in such a way as to prevent damage or
product contamination. They shall comply with
the following processing practices: personnel
entry to processing areas shall be through the
personnel access doors only, all doors are to be
kept closed. Doors shall not be left open for
extended periods when access for waste removal
or receiving of product/ingredient/packaging is
required, the wearing of false fingernails or
fingernail polish is not permitted when handling
food, packaging material, product, and
ingredients shall be kept in appropriate
containers as required and off the floor,
packaging material, product, and ingredients
shall be kept in appropriate containers as
required and off the floor, waste shall be
contained in the bins identified for this purpose
and removed from the processing area on a
regular basis and not left to accumulate, staff
shall not eat or taste any product being
processed in the food handling/contact zone,
except as noted in section 11.4.1.2.
11.4.1.2 Staff Engaged in Food Handling and Processing In circumstances where it is necessary to
Operations undertake sensory evaluations in a food
handling/contact zone the supplier shall
implement proper controls and procedures to
ensure food safety is not compromised, sensory
evaluations are conducted by authorized
personnel, a high standard of personal hygiene is
practiced by personnel conducting sensory
evaluations, sensory evaluations are conducted
in areas equipped for the purpose, equipment
used for sensory evaluations is sanitized,
maintained and stored separate from processing
equipment.
11.4.1.3 Staff Engaged in Food Handling and Processing All wash down hoses shall be stored on hose
Operations racks after use and not left on the floor.
11.5.1.1 Water Supply Adequate supplies of potable water drawn from
a known clean source shall be provided for use
during processing operations, as an ingredient
and for cleaning the premises and equipment.
11.5.1.2 Water Supply Supplies of hot and cold water shall be provided
as required to enable the effective cleaning of
the premises and equipment.
11.5.2.1 Monitoring Water Microbiology and Quality Water used for
i. washing, thawing and treating food;;
ii. an ingredient or food processing
aid;;
iii. cleaning food contact surfaces;;
iv. the m anufacture of ice;; and
v. the manufacture of steam that will come in
contact with food or used to heat water that
will come in contact with food
shall comply with local,
national or internationally recognized potable
water microbiological and quality
standards as required.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Personnel observed not following facility
protocols on access to processing and handling
areas
(m) Exterior doors open with no protective controls
in place
(M) Exterior doors directly into processing areas or
handling areas left open with no controls in place
(M) Employees observed not washing hands upon
entering processing area
(m) Employees observed not following hand
washing protocols upon entering processing areas
(m) Employees observed wearing false fingernails in
food handling areas
(m) Employees observed wearing fingernail polish in
food handling areas
(M) Food product or ingredients found on floor
(m) Food product or ingredients stored in non-
appropriate containers
(M) Packaging material that will directly contact
food is stored on floor
(m) Waste containers not properly identified
(m) Waste containers in processing or handling
areas found overflowing
(m) Employees seen eating in processing or handling
areas
(m) Sensory evaluations not conducted per
company protocols
(M) Sensory evaluations of product potentially
compromise food safety of product
(m) Sensory evaluation equipment is not cleaned
and sanitized after use
(m) Wash down hose found stored on floor
(M) Water used in processing not from a potable
source
(m) Water used in processing does not have
adequate quantities available
(M) No hot water available to clean equipment
(M) No water available to clean equipment
(m) Water supply to clean facility is not adequate to
properly clean
(M) Non potable water used to treat or rinse
product (Potential Critical)
(m) Water used as an ingredient does not meet
quality requirements
(M) Non-potable water used to clean food contact
surfaces
(M) Non-potable water used to make ice
(m) Ice is made from water that does not meet
quality requirements
(m) Non-potable water used to create steam that
will come in contact with food
 Clause Item
11.5.3.1 Water Delivery The delivery of water within the premises shall
ensure potable water is not contaminated.
11.5.3.2 Water Delivery The use of non-potable water shall be controlled
such that there is no cross contamination
between potable and non-potable water lines,
non-potable water piping and outlets are clearly
identified.
11.5.4.1 Water Treatment Water treatment methods, equipment and
materials shall be designed, installed and
operated to ensure water receives an effective
treatment.
11.5.4.2 Water Treatment Water treatment equipment shall be monitored
regularly to ensure it remains serviceable.
11.5.4.3 Water Treatment Treated water shall be regularly monitored to
ensure it meets the indicators specified.
11.5.5.1 Ice Supply Ice provided for use during processing operations (M) Ice made from non-potable water
or as a processing aid or an ingredient shall
comply with 11.5.2.1.
11.5.5.2 Ice Supply Ice rooms and receptacles shall be constructed of
materials as outlined in elements 11.2.1, 11.2.2
and 11.2.3 and designed to minimize
contamination of the ice during storage and
distribution.
11.5.6.1 Analysis Microbiological analysis of the water and ice
supply shall be conducted to verify the
cleanliness of the supply, the monitoring
activities and the effectiveness of the treatment
measures implemented.
11.5.6.2 Analysis Water and ice shall be analyzed using reference
standards and methods.
11.5.7.1 Air Quality Compressed air that contacts food or food
contact surfaces shall be clean and present no
risk to food safety
11.5.7.2 Air Quality Compressed air systems
used in the production process shall be
maintained and regularly monitored for
purity
11.6.1.1 Cold Storage, Freezing and Chilling of Foods The supplier shall provide confirmation of the
effective operational performance of freezing,
chilling and cold storage facilities. Chillers, blast
freezers and cold storage rooms shall be
designed and constructed to allow for the
hygienic and efficient refrigeration of food, easily
accessible for inspection and cleaning.
11.6.1.2 Cold Storage, Freezing and Chilling of Foods Sufficient refrigeration capacity shall be available
to chill, freeze, store chilled or store frozen the
maximum anticipated throughput of product
with allowance for periodic cleaning of
refrigerated areas.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Water supply is not adequately protected
(m) A cross connection exists that could result in a
back flow of water
(m) There is a possible cross contamination between
potable and non-potable water lines
(M) Potable water has been contaminated by non-
potable water
(m) Non-potable water pipes and outlets are not
labeled
(m) No non-return devices are installed on non-
potable water lines
(M) Water treatment is required, but is not available
(M) Water treatment is incorrectly designed
(M) Water treatment equipment is not monitored
(m) Water treatment equipment is not regularly
monitored
(M) Treated water is not monitored
(m) Treated water is not regularly monitored
(m) Required supplies of potable ice are not
available
(m) Ice not properly protected during use
(M) Ice in contact with food product does not
comply with national standards
(m) Ice storage areas could potentially contaminate
ice
(m) Ice storage areas not properly designed
(m) Ice storage areas are constructed from
inappropriate materials
(M) Water and ice are not microbiologically tested
to verify cleanliness of the supply
(m) Water and ice are not regularly tested to verify
the effectiveness of treatment methods
(m) Appropriate standards are not used to analyze
water or ice
(M) Compressed air that is in contact with food is
not filtered or otherwise treated
(m) Filters are not checked or changed
(m) The facility does not have a standard for
microbiological purity of compressed air that
contacts food
(M) Compressed air that is in contact with food is
not checked for purity
(m) Supplier has not confirmed effective operation
of cold storage areas
(m) Cold storage rooms are not properly designed
(m) Cold storage rooms are not properly
constructed for easy cleaning
(m) Cold storage areas are not easily accessible for
inspection
(M) Facility does not have adequate refrigeration
capacity
(m) Facility does not have the adequate freezer
capacity
 Clause
11.6.1.3 Cold Storage, Freezing and Chilling of Foods
11.6.1.4 Cold Storage, Freezing and Chilling of Foods
11.6.1.5 Cold Storage, Freezing and Chilling of Foods
11.6.2.1 Storage of Dry Ingredients, Packaging, and Shelf Rooms used for the storage of product
Stable Packaged Goods
11.6.2.2 Storage of Dry Ingredients, Packaging, and Shelf Racks provided for the storage of packaging shall
Stable Packaged Goods
11.6.2.3 Storage of Dry Ingredients, Packaging, and Shelf Vehicles used in food contact, handling or
Stable Packaged Goods
11.6.3.1 Storage of Equipment and Containers
11.6.4.1 Storage of Hazardous Chemicals and Toxic
Substances
11.6.4.2 Storage of Hazardous Chemicals and Toxic
Substances
11.6.4.3 Storage of Hazardous Chemicals and Toxic
Substances
11.6.4.4 Storage of Hazardous Chemicals and Toxic
Substances
Item
Discharge from defrost and condensate lines
shall be controlled and discharged to the
drainage system.
Freezing, chilling and cold storage rooms shall be
fitted with temperature monitoring equipment
and located so as to monitor the warmest part of
the room and be fitted with a temperature
measurement device that is easily readable and
accessible.
Loading and unloading docks shall be designed to (m) Docks are not designed to adequately protect
protect the product during loading and product
unloading. (m) Docks areas are not adequately maintained
ingredients, packaging, and other dry goods shall
be located away from wet areas and constructed
to protect the product from contamination and
deterioration.
be constructed of impervious materials and
designed to enable cleaning of the floors and the
storage room. Storage areas shall be constructed
to prevent packaging from becoming a harborage
for pests or vermin.
processing zones or in cold storage rooms shall
be designed and operated so as not to present a
food safety hazard.
Storage rooms shall be designed and constructed (m) Equipment storage area does not allow access
to allow for the hygienic and efficient storage of for cleaning
equipment and containers.
Hazardous chemicals and toxic substances with
the potential for food contamination shall be
stored so as not to present a hazard to staff,
product, packaging, product handling equipment
or areas in which the product is handled, stored
or transported.
Processing utensils and packaging shall not be
stored in areas used to store hazardous
chemicals and toxic substances.
Daily supplies of chemicals used for continuous
sanitizing of water or as a processing aid, or for
emergency cleaning of food processing
equipment or surfaces in food contact zones,
may be stored within or in close proximity to a
processing area provided access to the chemical
storage facility is restricted to authorized
personnel.
Pesticides, rodenticides, fumigants and
insecticides shall be stored separate from
sanitizers and detergents. All chemicals shall be
stored in their original containers.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Excessive condensation found in cold storage
area
(m) Water discharge in cold storage area poses a risk
to contaminate product
(M) Water discharge in cold storage area is directly
on stored product
(m) Excessive frost in freezer on ceiling and walls
(M) Excessive frost in freezer on stored product
(M) Cold storage areas do not have temperature
monitoring equipment
(m) Temperature monitoring devices is not located
near the warmest part of cold storage area
(m) Temperature monitoring devices are not easily
accessible
(m) Product storage rooms are located near wet
processing which creates the potential for water
contamination
(m) Storage rooms are not adequately designed to
protect product
(m) Packaging racks are made of material that is not
easily cleanable
(m) Packaging racks do not allow access to floor/wall
junction for cleaning
(M) Packaging storage areas is found to be a pest
harborage area
(M) Vehicle used in food processing, storage, or cold
storage areas release hydrocarbon emissions
(M) Vehicles used present a hazard to the food
product
(m) Equipment storage area does not protect
equipment during storage
(m) Chemicals present a hazard to staff due to
improper storage
(M) Chemicals are stored next to or directly over
product
(m) Processing utensils are stored in areas used to
store hazardous chemicals
(m) Packaging is stored in an area used to store
hazardous chemicals
(M) Daily supplies of chemicals present a potential
hazard to food products
(m) Daily supplies of chemicals are not stored
correctly
(m) Sanitizers and detergents are stored with
pesticides or other toxic chemicals
(m) Chemicals are not stored in original container
 Clause Item
11.6.4.5 Storage of Hazardous Chemicals and Toxic Hazardous chemical and toxic substance storage
Substances facilities shall be compliant with national and
local legislation and designed such that there is
no cross-contamination between chemicals,
adequately ventilated, provided with appropriate
signage indicating the area is a hazardous storage
area, be secure and lockable to restrict access
only to those personnel with formal training in
the handling and use of hazardous chemicals and
toxic substances, have instructions on the safe
handling of hazardous chemicals and toxic
substances readily accessible to staff, equipped
with a detailed and up-to-date inventory of all
chemicals contained in the storage facility, have
suitable first aid equipment and protective
clothing available in close proximity to the
storage area, in the event of a hazardous spill, be
designed such that spillage and drainage from
the area is contained, be equipped with spillage
kits and cleaning equipment.
11.6.5.1 Alternative Storage and Handling of Goods Where goods described in 11.6.1 to 11.6.4 are
held under temporary or overflow conditions
that are not designed for the safe storage of
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on food
safety and quality.
11.6.6.1 Loading, Transport and Unloading Practices The practices applied during loading, transport
and unloading of food shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity. Foods shall be loaded, transported and
unloaded under conditions suitable to prevent
cross contamination.
11.6.7.1 Loading Vehicles (trucks/vans/containers) used for
transporting food shall be inspected prior to
loading to ensure they are clean, in good repair,
suitable for the purpose and free from odors or
other conditions that may impact negatively on
the product.
11.6.7.2 Loading Loading practices shall be designed to minimize
unnecessary exposure of the product to
conditions detrimental to maintaining the
product and package integrity.
11.6.8.1 Transport Refrigerated units shall maintain the food at
required temperatures and the unit's
temperature settings shall be set, checked and
recorded before loading and core product
temperatures recorded at regular intervals
during loading as appropriate.
11.6.8.2 Transport The refrigeration unit shall be operational at all
times and checks completed of the unit's
operation, the door seals and the storage
temperature checked at regular intervals during
transit.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Chemical storage rooms do not meet local
regulations
(m) Chemical storage rooms are not properly
ventilated
(m) Chemical storage room is not properly signed
(m) Chemical storage room is not secured
(m) There are no instructions on safe handling of
chemicals available
(m) There are no spillage kits, spillage instructions,.
or facilities to deal with spills
(m) There is no inventory of stored chemicals
(m) The inventory does not agree with the actual
chemical stock
(M) Cross contamination observed between
chemicals
(m) No risk analysis conducted for alternative
storage and handling of goods
(m) Methods for loading of products are not
documented
(m) Methods for the transportation of products are
not documented
(M) Methods developed for product loading and
transport do not adequately protect product
(M) Cross contamination to product potentially
exists during transport and loading
(M) Product contamination observed during
transportation and/or loading (Potential Critical)
(m) No pre-shipment review is conducted on
transportation vehicles
(m) Vehicles used to transport product are not clean
(m) Vehicles used to transport product are not
properly maintained
(M) Loading and staging of product exposed product
to potential abuse
(m) Loading and/or staging practices are potentially
detrimental to product
(m) Pre-ship review of refrigerated transport vehicle
ds not include temperature check
(m) Loading and staging of refrigerated product do
not include monitoring product temperatures
(M) Refrigerated vehicles are not capable of
maintaining the product at the correct temperature
(M) Refrigerated vehicles refrigeration unit is not
operated at all times when product is transported
(m) Refrigerated vehicles are not inspected during
transit
 Clause Item
11.6.9.1 Unloading Prior to opening the doors, the refrigeration
unit's storage temperature settings and operating
temperature shall be checked and recorded.
Unloading shall be completed efficiently and
product temperatures shall be recorded at the
commencement of unloading and at regular
intervals during unloading.
11.6.9.2 Unloading Unloading practices shall be designed to
minimize unnecessary exposure of the product to
conditions detrimental to maintaining the
product and package integrity.
11.7.1.1 Process Flow The process flow shall be designed to prevent
cross contamination and organized so there is a
continuous flow of product through the process.
The flow of personnel shall be managed such
that the potential for contamination is
minimized.
11.7.2.1 Receipt of Raw and Packaging Materials and Dry ingredients and packaging shall be received
Ingredients and stored separately from frozen and chilled
raw materials to ensure there is no cross
contamination. Unprocessed raw materials shall
be received and segregated to ensure there is no
cross contamination.
11.7.3.1 Thawing of food Thawing of the product shall be undertaken in
equipment and rooms appropriate for the
purpose.
11.7.3.2 Thawing of food Equipment for water thawing shall be continuous
flow to ensure the water exchange rate and
temperature does not contribute to product
deterioration or contamination. Water overflow
shall be directed into the floor drainage system
and not onto the floor.
11.7.3.3 Thawing of Food Air thawing facilities shall be designed to thaw
the product under controlled conditions at a rate
and temperature that does not contribute to
product deterioration or contamination.
11.7.3.4 Thawing of Food Provision is to be made for the containment and
regular disposal of used cartons and packaging
from thawed product so that there is no risk to
the product.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Temperatures of perishable product are not
checked prior to unloading of product
(m) Temperatures of unit are not checked prior to
unloading of perishable product
(m) Temperatures of perishable product are not
monitored or controlled during unloading
(M) Unloading, staging and cross-docking of product
exposed product to potential abuse
(m) Unloading practices are potentially detrimental
to product
(m) Design of process flow may allow for cross
contamination
(M) Design of process flow creates direct
opportunity for cross contamination
(m) Packaging receiving is not separated from raw
materials
(M) Raw material and finished product received and
handled at same location with no prevention steps
taken
(m) Dry materials received in area where potential
for contamination exists
(M) Product is thawed in a way that poses a food
safety risk
(m) Product is thawed in a way that poses a food
quality risk
(M) Water thawing of product is not controlled and
poses risk to product
(m) Water used in water thawing of product is not
properly disposed
(m) Water used in thawing is not properly cooled
(m) Product is not monitored during thawing
process
(M) Air thawing of product is not controlled and
poses a risk to product
(m) Product is not monitored during thawing
process
(m) Used containers are not properly contained in
facility
(m) Used packaging is not properly contained in
facility
(m) Used containers and packaging are not regularly
disposed of in facility
(M) Used packaging poses a risk to product within
facility
(m) Staff observed not following company policy
 Clause
11.7.4.1 High Risk Processes
11.7.5.1 Control of Foreign Matter Contamination
11.7.5.2 Control of Foreign Matter Contamination
11.7.5.3 Control of Foreign Matter Contamination
11.7.5.4 Control of Foreign Matter Contamination
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The Processing of high risk food shall be (M) No environmental monitoring program in place
conducted under controlled conditions such that (m) Procedure does not include the applicable
sensitive areas in which high risk food has pathogens or indicator organisms
undergone a "kill" step, a "food safety (M) Organisms are not appropriate to the
intervention" or is subject to post process commodity
handling, are protected/segregated from other (m) Number of samples are not defined
processes, raw materials or staff who handle raw (m) Frequency is not defined
materials to ensure cross contamination is (m) Corrective action is not defined
minimized, that areas in which high risk (M) Corrective action is not taken
processes are conducted are only serviced by
staff dedicated to that function, staff access
points are located, designed and equipped to
enable staff to don distinctive protective clothing
and to practice a high standard of personal
hygiene to prevent product contamination,
product transfer points are located and designed
so as not to compromise high risk segregation
and to minimize the risk of cross contamination,
an environmental monitoring program shall be in
place for high risk areas. At a minimum, a written
procedure detailing the applicable pathogens or
indicator organisms to test for that industry, the
number of samples to be taken and the
frequency of sampling and corrective actions
shall be documented. The responsibility and
methods shall be documented and implemented.
A sampling schedule shall be prepared.
The responsibility and methods used to prevent (M) Foreign material prevention methods are not
foreign matter contamination of the product developed
shall be documented, implemented and (m) No responsibility for the prevention of foreign
communicated to all staff. material have been defined
(m) Foreign material prevention controls are not
communicated to staff
(M) Foreign material prevention controls are not
implemented
Inspections shall be performed to ensure plant (M) No inspections conducted to prevent foreign
and equipment remains in good condition and material contamination of product
potential contaminants have not detached or
become damaged or deteriorated.
The use of temporary fasteners such as string, (m) Temporary repairs are used in the facility
wire or tape to fix or hold equipment shall not be
permitted.
The following preventative measures shall be (M) No glass register is developed
implemented where applicable to prevent glass (m) Glass register is not complete, glass objects
contamination: all glass objects or similar missing in register
material in food handling/contact zones shall be (m) Unapproved glass and brittle materials found in
listed in a glass register including details of their processing area
location, containers, equipment and other (m) No glass objective inspections of processing
utensils made of glass, porcelain, ceramics, areas conducted
laboratory glassware or other like material (m) Glass object inspections are not conducted
(except where the product is contained in regularly
packaging made from these materials, or (m) No inspection of glass instrument dial covers or
measurement instruments with glass dial covers thermometers conducted at start of each shift
or MIG thermometers required under regulation)
shall not be permitted in food processing/contact
zones, conduct regular inspections of food
handling/contact zones to ensure they are free of
glass or other like material and to establish no
changes to the condition of the objects listed in
the glass register, inspect glass instrument dial
covers on processing equipment and MIG
thermometers at the start and finish of each shift
to confirm they have not been damaged.
 Clause
11.7.5.5 Control of Foreign Matter Contamination
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Wooden pallets and other wooden utensils used (m) Wood used in processing/handling area is dirty
in food handling/contact zones shall be (m) Wood used in processing/handling area is not
dedicated for that purpose, clean, maintained in maintained
good order. Their condition is subject to regular (m) Wood used in processing areas is not designed
inspection. for the current use

11.7.5.6 Control of Foreign Matter Contamination Loose metal objects on equipment, equipment (m) Loose materials found on processing equipment
covers and overhead structures shall be removed (M) Loose materials observed in food contact zones
or tightly fixed so as not to present a hazard. that present a hazard to product

11.7.5.7 Control of Foreign Matter Contamination
Knives and cutting instruments used in
processing and packaging operations shall be
controlled, and kept clean and well maintained.
(M) Dirty knives found in the processing area
(m) Knives incorrectly stored
(M) No cleaning/sanitizing procedures ion place for
knives and cutting instruments
(M) Cleaning/sanitizing protocol not being followed

11.7.6.1 Detection of Foreign Objects
The responsibility, methods and frequency for
monitoring, maintaining, calibrating and using
screens, sieves, filters or other technologies to
remove or detect foreign matter shall be
documented and implemented.
(M) No methods developed for the monitoring,
maintenance, or calibration of filters and screens
(m) No responsibility assigned for the monitoring,
maintenance, or calibration of filters and screens
(M) No methods implemented for the monitoring,
maintenance, or calibration of filters and screens

11.7.6.2 Detection of Foreign Objects
Metal detectors or other physical contaminant
detection technologies shall be routinely
monitored, validated and verified for operational
effectiveness. The equipment shall be designed
to isolate defective product and indicate when it
is rejected.
(M) Physical contaminant detection technology is
not routinely monitored
(m) Physical contaminant detection technology is
not validated
(M) Physical contaminant detection technology does
not isolate defective product
(m) Physical contaminant detection technology does
not indicate when defective product identified

11.7.6.3 Detection of Foreign Objects Records shall be maintained of the inspection by (M) Records are not maintained of foreign body
foreign object detection devices, and their inspection
verification. (M) Records are not maintained of the verification
of foreign body detection equipment

11.7.7.1 Managing Foreign Matter Contamination In all cases of foreign matter contamination the (M) Item or batch of product affected by foreign
Incidents affected batch or item shall be isolated, material contamination is not properly reworked
inspected, reworked or disposed of. (M) Item or batch of product affected by foreign
material contamination is not properly destroyed

11.7.7.2 Managing Foreign Matter Contamination
Incidents
In circumstances where glass or similar material
breakage occurs, the affected area is to be
isolated, cleaned and thoroughly inspected
(including cleaning equipment and footwear) and
cleared by a suitably responsible person prior to
the commencement of operations.
(M) Area of glass breakage was not properly isolated
and cleaned prior to start up of operations
(m) Area of glass breakage was not properly
inspected prior to start up of operations

11.8.1.1 Location On site laboratories shall be located separate (m) On-site laboratory is not separated from food
from any food processing or handling activity and processing area
designed to limit access only to authorized (m) Laboratory access is not restricted to only
personnel. authorized personnel

11.8.1.2 Location Provisions shall be made to isolate and contain all
laboratory waste held on the premises and
manage it separately from food waste.
Laboratory waste water outlet shall as a
minimum be down stream of drains that service
food processing and handling areas.
(m) Laboratory waste is not properly treated prior to
disposal
(m) Laboratory waste is not adequately contained
and separated from facility waste

11.8.1.3 Location Signage shall be displayed identifying the (m) Adequate signage is not available for the
laboratory area as a restricted area accessible laboratory
only by authorized personnel. (m) Signage does not state that only authorized
personnel allowed in laboratory
 Clause
11.9.1.1 Dry and Liquid Waste Disposal
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The responsibility and methods used to collect (m) There are no methods for handling waste
and handle dry, wet and liquid waste and store documented
prior to removal from the premises shall be (m) The methods for handling waste within
documented and implemented. premises are not adequate to control all waste
(m) Methods do not include proper storage of waste
prior to disposal

11.9.1.2 Dry and Liquid Waste Disposal
Waste shall be removed on a regular basis and
not build up in food handling or processing areas.
Designated waste accumulation areas shall be
maintained in a clean and tidy condition until
such time as external waste collection is
undertaken.
(m) Waste is not regularly removed from processing
areas
(m) Waste collection areas are not maintained and
not cleaned

11.9.1.3 Dry and Liquid Waste Disposal
Trolleys, vehicles, waste disposal equipment,
collection bins and storage areas shall be
maintained in a serviceable condition and
cleaned and sanitized regularly so as not to
attract pests and other vermin.
(m) Containers for waste are not properly
maintained
(m) Trolleys, vehicles and equipment used for waste
are not properly cleaned

11.9.1.4 Dry and Liquid Waste Disposal
Adequate provision shall be made for the
disposal of all solid processing waste including
trimmings, inedible material and used packaging.
Waste held on site prior to disposal shall be
stored in a separate storage facility and suitably
fly proofed and contained so as not to present a
hazard.
(m) Solid processing waste is not adequately
contained
(m) Solid processing waste is not properly held in a
separate facility
(m) Solid processing waste is not adequately
disposed

11.9.1.5 Dry and Liquid Waste Disposal
Adequate provision shall be made for the (m) Liquid waste is not adequately contained
disposal of all liquid waste from processing and (m) Liquid waste is not properly held in a separate
food handling areas. Liquid waste shall be either facility
removed from the processing environment (m) Liquid waste is not adequately disposed
continuously or held in a designated storage area
in lidded containers prior to disposal so as not to
present a hazard.

11.9.1.6 Dry and Liquid Waste Disposal Reviews of the effectiveness of waste (m) Daily inspections are not conducted to
management will form part of daily hygiene monitoring handling of waste
inspections and the results of these inspections (m) Daily inspection to review waste handling are
shall be included in the relevant hygiene reports. not documented

11.10.1.1 Grounds and Roadways
The grounds and area surrounding the premises
shall be maintained to minimize dust and be kept
free of waste or accumulated debris so as not to
attract pests and vermin.
(m) Exterior grounds are not maintained and
provide pest harborage areas
(m) Exterior grounds are not managed to minimize
dust or other hazards
(m) Exterior grounds are not kept free of waste

11.10.1.2 Grounds and Roadways Paths, roadways and loading and unloading areas (m) Exterior paths and roadways are not managed
shall be maintained so as not to present a hazard to minimize dust or other hazards
to the food safety operation of the premises. (m) Exterior loading and unloading areas are not
maintained to minimize hazards

11.10.1.3 Grounds and Roadways
Surroundings shall be kept neat and tidy and not (m) Surroundings are cluttered and untidy
present a hazard to the hygienic and sanitary (m) Grass and vegetation ids not kept under control
operation of the premises. in surrounding areas
(m) Equipment is stored outside and unprotected
from the weather

11.10.1.4 Grounds and Roadways Paths from amenities leading to facility entrances (m) External paths from amenities to the facility are
are required to be effectively sealed. not sealed

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
 Clause
12.1.1.1 Premises Location
12.1.2.1 Construction and Operational Approval
12.2.1.1 Materials and Surfaces
12.2.2.1 Floors, Drains and Waste Traps
12.2.2.2 Floors, Drains and Waste Traps
12.2.3.1 Walls, Partitions, Doors and Ceilings
12.2.3.2 Walls, Partitions, Doors and Ceilings
12.2.3.3 Walls, Partitions, Doors and Ceilings
12.2.4.1 Lighting and Light Fittings
Item
The location of the premises shall be such that
adjacent and adjoining buildings, operations and
land use do not interfere with safe and hygienic
operations.
The construction and ongoing operation of the
premises on the site shall be approved by the
relevant authority.
In warehouses where food products are
recouped or exposed, product contact surfaces
shall be constructed of materials that will not
contribute a food safety risk.
Floors shall be constructed of smooth, dense
impact resistant material that can be effectively
graded, drained, impervious to liquid and easily
cleaned.
Drains shall be constructed and located so they
can be easily cleaned and not present a hazard.
Walls, partitions, ceilings and doors shall be of
durable construction. Internal surfaces shall be
smooth and impervious, and shall be kept clean
(refer 12.2.11.1).
Wall to wall and wall to floor junctions shall be
designed to be easily cleaned and sealed to
prevent the accumulation of food debris.
Doors shall be of solid construction; and windows (m) Door are not of solid
shall be made of shatterproof glass or similar
material.
Lighting in warehouses where food product is
recouped or exposed shall be of appropriate
intensity to enable the staff to carry out their
tasks efficiently and effectively.
Secondary Response Primary Response Evidence
(m) Location of premises poses a
hygienic risk
(m) Location of premises poses a
food safety risk
(m) Site has not been approved by
local authorities
(M) Product contact surfaces are
constructed of materials that pose
a food safety risk
(m) Non-food contact surfaces are
constructed of materials that pose
a food safety risk
(m) Floors are non smooth and
easily cleanable
(m) Floors do not graded properly
(m) Floors are made of an
inappropriate material
(m) Drain construction poses a
food safety risk
(m) Drain location poses a food
safety risk
(m) Walls are not of sound
construction
(m) Partitions are not of sound
construction
(m) Doors are not of sound
construction
(m) Ceilings are not of sound
construction
(m) Walls, partitions, ceilings, and
doors are not kept clean
(M) The condition of walls,
partitions, doors, ceilings, pose a
food safety risk
(m) Wall to wall junctions are not
constructed properly
(m) Floor to wall junctions are not
constructed properly
construction
(m) Windows are not of solid
construction
(M) Windows are not made of
shatterproof glass in product
contact areas
(m) Windows are not made of
shatterproof glass in non-product
contact areas
(m) Lighting intensity is not
sufficient in food processing areas
(m) Lighting intensity is not
sufficient at inspection stations
 Clause
12.2.4.2 Lighting and Light Fittings
12.2.4.3 Lighting and Light Fittings
12.2.5.1 Dust, Fly and Vermin Proofing
12.2.5.2 Dust, Fly and Vermin Proofing
12.2.5.3 Dust, Fly and Vermin Proofing
12.2.5.4 Dust, Fly and Vermin Proofing
12.2.6.1 Ventilation
12.2.7.1 Premises and Equipment Maintenance
Item
Light fittings in areas where food product is
recouped or exposed shall be shatterproof,
manufactured with a shatterproof covering or
fitted with protective covers and recessed into or
fitted flush with the ceiling.
Light fittings in other areas where product is
protected shall be designed such as to prevent
breakage and product contamination.
All external windows, ventilation openings, doors
and other openings shall be effectively sealed
when closed and proofed against dust, vermin
and flies.
Personnel access doors shall be provided. They
shall be effectively fly-proofed and fitted with a
self-closing device.
External doors, including overhead dock doors,
used for product, pedestrian or truck access shall
be fly-proofed by at least one or a combination of
the following methods: a self-closing device, an
effective air curtain, a fly-proof screen, a fly-proof
annex, adequate sealing around trucks in docking
areas.
Electric insect control devices, pheromone or
other traps and baits shall be located so as not to
present a contamination risk to product,
packaging, containers or processing equipment.
Adequate ventilation shall be provided in
enclosed storage and food handling areas.
The methods and responsibility for the
maintenance and repair of food storage areas,
equipment and buildings shall be documented
planned and carried out in a manner that
minimizes the risk of product, packaging or
equipment contamination.
Secondary Response Primary Response Evidence
(m) A light fitting was found
unprotected
(M) Majority of light fixtures are
not shatterproof or protected, and
pose a threat to product safety
(m) Light fittings in warehouse
areas pose a risk to product safety
(m) Windows are not protected
and sealed against dust or pests
(m) Doors are not adequately
protected against dust or pests
(M) There is a risk of dust or pest
contamination of product
(m) Personnel doors are not self
closing
(m) External door (s) are not
adequately fly-proofed
(m) Sealing around trucks in
docking areas is not adequate
(m) Insect devices are located so
as to pose a threat to product
(m) Insect devices are located so
as to pose a threat to equipment
(m) Bait is used inside food
storage areas or processing areas
(m) Food processing areas do not
have adequate ventilation
(m) There are no planned
maintenance schedule
(M) Maintenance practices risk
product safety and integrity
 Clause
12.2.7.2 Premises and Equipment Maintenance
12.2.7.3 Premises and Equipment Maintenance
12.2.7.4 Premises and Equipment Maintenance
12.2.7.5 Premises and Equipment Maintenance
12.2.8.1 Calibration
12.2.8.2 Calibration
Item
Maintenance staff and contractors shall observe
the following practices when undertaking
maintenance and repairs in any handling or
storage area: routine maintenance of food
storage areas and equipment shall be performed
according to a maintenance-control schedule and
recorded, failures of facility and equipment shall
be documented, reviewed and their repair
incorporated into the maintenance control
schedule, compliance with the personnel and
process hygiene requirements (refer 12.3.1,
12.3.2, 12.3.3, 12.3.4) by maintenance staff and
contractors, ensure warehouse supervisors are
notified when maintenance or repairs are to be
undertaken in any food handling area, inform
the maintenance supervisor and the facility
supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of
electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance
is to be conducted outside processing times,
remove all tools and debris from any
maintenance activity once it has been completed
and inform the area supervisor and maintenance
supervisor so appropriate hygiene and sanitation
can be completed prior to the commencement of
facility operations.
The maintenance schedule shall be prepared to
cover building, equipment and other areas of the
premises critical to the maintenance of product
safety and quality.
Equipment located over exposed product or
product conveyors shall be lubricated with food
grade lubricants and their use controlled so as to
minimize the contamination of product.
Paint used in a food handling or contact zone
shall be suitable for use and in good condition
and shall not be used on any product contact
surface.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in the pre-requisite program,
food safety plans and food quality plans and
other process controls, or to demonstrate
compliance with customer specifications shall be
documented and implemented.
Procedures shall be documented and
implemented to address the disposition of
potentially affected product should measuring,
test and inspection equipment be found to be
out of calibration state.
Secondary Response Primary Response Evidence
(M) Maintenance staff do not
follow food safety and hygiene
practices
(M) Maintenance contractors do
not follow food safety and hygiene
practices
(m) Activities from preventative
maintenance schedule are not
documented
(m) Plant failures are not
documented
(m) Equipment failures are not
documented
(m) Failures are not incorporated
into maintenance control schedule
(m) There are no personal hygiene
practices developed for main
(m) Supervisors are not notified
when repairs made in food
handling area
(m) All tools, parts and debris not
removed from repair areas
(M) No sanitation activity occurs
after maintenance repair in food
processing area
(M) No notification occurs when
potential risk to product is evident
(m) Maintenance schedule does
not include critical areas of facility
(m) Maintenance schedule does
not include critical areas of
equipment
(M) Non-food grade lubricant is
used in food contact zones
(m) Non-food grade lubricant is
used on food handling conveyors
(m) Food grade lubricant is used,
but is likely to contact product
(M) Paint is used on product
contact surfaces
(M) Calibration methods for
monitoring equipment are not
documented
(m) Methods for calibration of
equipment do not include
responsibility
(m) Methods for calibration of
equipment do not include all
necessary equipment
(m) There are no procedures in
place to address disposition of
potentially affected product
(M) Potentially affected product is
not adequately disposed
 Clause Item
12.2.8.3 Calibration Calibrated measuring, test and inspected
equipment shall be protected from damage and
unauthorized adjustment.
12.2.8.4 Calibration Equipment shall be calibrated against national or
international reference standards and methods
or to accuracy appropriate to its use. In cases
where standards are not available, the supplier
shall provide evidence to support the calibration
reference method applied.
12.2.8.5 Calibration Calibration shall be performed according to
regulatory requirements and/or to the
equipment manufacturers recommended
schedule.
12.2.8.6 Calibration Calibration records shall be maintained.
12.2.9.1 Management of Pests and Vermin The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounds, storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
Secondary Response Primary Response Evidence
(m) Calibrated equipment is not
protected from damage
(m) Calibrated equipment is
subject to unauthorized
adjustment
(M) The calibration standards are
not known
(M) Calibration standards are
known but not followed
(m) Calibration schedule does not
meet regulatory requirements
(m) Calibration schedule has not
been developed
(m) Calibration schedule doe not
follow recommended frequency
(M) No calibration records are
maintained
(m) Calibrations records are not
complete
(M) No methods for integrated
pest management documented
(m) Responsibility of integrated
pest management not included in
program
(m) Pest management program
does not include exterior or
surrounding areas of facility
(m) Facility has pest harborage
areas observed
(m) Exterior of facility has pest
harborage areas observed
 Clause
12.2.9.2 Management of Pests and Vermin
12.2.9.3 Management of Pests and Vermin
12.2.9.4 Management of Pests and Vermin
12.2.9.5 Management of Pests and Vermin
Item
The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, outline the frequency
with which pest status is to be checked, include
on a site map the identification, location, number
and type of bait stations set, list the chemicals
used (they are required to be approved by the
relevant authority and their Safety Data Sheets
(SDS) made available), outline the methods used
to make staff aware of the bait control program
and the measures to take when they come in
contact with a bait station, the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits, measure
the effectiveness of the program to verify the
elimination of applicable pests.
Inspections for pest activity shall be undertaken
on a regular basis by trained personnel and the
appropriate action taken if pests are present.
Records of all pest control applications shall be
maintained.
Pesticides and other toxic chemicals shall be
clearly labeled and stored as described in
element 12.5.4 and handled and applied by
properly trained personnel. They shall be used by
or under the direct supervision of trained
personnel with a thorough understanding of the
hazards involved, including the potential for the
contamination of food and food contact surfaces.
Secondary Response Primary Response Evidence
(M) Methods for the pest
management program are not
developed
(m) Target pests are not included
in program
(m) Methods used to prevent pest
problems are not defined
(m) Methods used to eliminate
pests are not defined
(m) No frequency for the checking
of pest status is developed
(m) Frequency not followed by
responsible personnel in the
checking of pest control devices
(m) Site map of pest control
devices is not available
(m) Site map of pest control
devices is not complete
(M) List of chemicals used for pest
control is not available
(m) List of chemical used for pest
control is not complete
(M) Unapproved chemicals for
pest control used in the facility
(m) No SDS sheet available for one
chemical used in facility
(M) No SDS sheets available for
any chemical used in facility
(m) No methods available for staff
awareness of pest control devices
(m) No methods available for staff
awareness of pest control
chemicals and baits
(m) No measures of the
effectiveness of the pest program
arte in place
(M) No inspections are made of
pest control devices
(m) Inspections of pest control
devices are made by untrained
personnel
(m) No appropriate action taken
when issues are noted on pest
control inspection
(m) Pest control records are not
maintained
(m) Pest control records are not
complete
(m) Pesticides are not properly
labeled
(m) Pesticides are not properly
stored
(m) Pesticides are applied by non-
trained personnel
 Clause
12.2.9.6 Management of Pests and Vermin
12.2.9.7 Management of Pests and Vermin
12.2.10.1 Equipment, Utensils and Protective Clothing
12.2.10.2 Equipment, Utensils and Protective Clothing
12.2.10.3 Equipment, Utensils and Protective Clothing
Item
Pest control contractors shall be licensed and
approved by the local relevant authority, use
only trained and qualified operators who comply
with regulatory requirements, use only approved
chemicals, provide a pest control management
plan (see Contract Services 2.3.3) which will
include a site map indicating the location of bait
stations and traps, report to a responsible senior
management person on entering the premises
and after the completion of inspections or
treatments, provide a written report of their
findings and the inspections and treatments
applied.
The supplier shall dispose of unused pest control
chemicals and empty containers in accordance
with regulatory requirements and ensure that
empty chemical containers are not reused, are
labeled, isolated and securely stored while
awaiting collection, are stored under secure
conditions while waiting authorized disposal by
an approved vendor.
Equipment and utensils shall be designed,
constructed, installed, operated and maintained
so as not to pose a contamination threat to the
product.
Protective clothing in areas where food product
is recouped or exposed shall be manufactured
from material that is not liable to contaminate
food and easily cleaned.
In areas where food product is recouped or
exposed, racks shall be provided for the
temporary storage of protective clothing when
staff leaves the processing area and shall be
provided in close proximity or adjacent to the
personnel access doorways and hand washing
facilities.
Secondary Response Primary Response Evidence
(M) Pest control operator is not
licensed
(M) Pest control operator is not
approved by local relevant
authority
(m) Pest control operator does not
report to facility management
upon entry into facility
(m) Pest control operator is not
properly trained
(m) Pest control operator does not
have a pest control management
plan
(m) Pest control operator does not
leave written findings of
inspection
(m) Final report left by Pest
control operator does not include
chemicals applied
(m) Empty pest control chemical
containers not properly disposed
(m) Unused pest control chemicals
are not properly disposed
(m) Empty containers are not
properly labeled
(m) Empty containers are not
properly contained
(m) Unused and obsolete
chemicals are not stored secured
(M) Food contact equipment's
design, construction, or
maintenance poses a food safety
risk
(M) Food contact utensil's design,
construction, or maintenance
poses a food safety risk
(m) Non food contact equipment
or utensil is not maintained
(m) Non food contact equipment
or utensil is not properly designed
(m) Protective clothing is not
easily cleaned
(M) Racks are not provided
(m) Racks are not poorly designed
(m) Racks are not located near
access doorways
 Clause
12.2.11.1 Cleaning and Sanitation
12.2.11.2 Cleaning and Sanitation
12.2.11.3 Cleaning and Sanitation
12.2.11.4 Cleaning and Sanitation
12.2.11.5 Cleaning and Sanitation
Item
The methods and responsibility for the cleaning
of the food handling and storage areas, staff
amenities and toilet facilities shall be
documented and implemented. Consideration
shall be given to what is to be cleaned, how it is
to be cleaned, when it is to be cleaned, who is
responsible for the cleaning, the responsibility
and methods used to verify the effectiveness of
the cleaning and sanitation program.
Provision shall be made for the effective cleaning (M) The cleaning of processing
of equipment, utensils and protective clothing.
Suitably equipped areas shall be designated for
cleaning product containers, utensils and
protective clothing that are used by cleaning staff
in cleaning, sanitizing, and maintaining the
facility. Racks and containers for storing cleaned
utensils and protective clothing shall be provided
as required.
Pre-operational hygiene and sanitation
inspections shall be conducted by qualified
personnel to ensure food handling and storage
areas, staff amenities and sanitary facilities and
other essential areas are clean.
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Secondary Response Primary Response Evidence
(M) Facility does not have a
cleaning program developed
(M) Critical equipment and areas
of the facility are not covered in
cleaning program
(m) Cleaning methods do not
include what is to be cleaned
(m) Cleaning methods do not
include how items are to be
cleaned
(m) Cleaning methods do not
include frequency of cleaning
(m) Cleaning methods do not
include responsibility for cleaning
(m) Cleaning program does not
include method for verification of
effectiveness of sanitation
equipment is ineffective
(M) The cleaning of utensils is
ineffective
(m) The cleaning of protective
clothing is ineffective
(m) Cleaning of utensils is carried
out close to processing operations
(m) Control of cleaning operations
so as not to contaminate product
is ineffective
(m) Racks and areas for storing
cleaned utensils are not provided
(m) Racks and areas for storing
cleaned utensils are ineffective
(M) No pre-operational
inspections are completed to
ensure cleanliness
(m) Not all critical areas of the
facility are include in pre-
operational inspections
(m) Personnel conducting pre-
operational inspections are not
qualified
(m) No sanitation verification
schedule is available
(m) No methods established for
verification of sanitation
(m) No responsibility is established
for verification of sanitation
 Clause
12.2.11.6 Cleaning and Sanitation
12.2.11.7 Cleaning and Sanitation
12.2.11.8 Cleaning and Sanitation
12.3.1.1 Personnel
12.3.1.2 Personnel
Item
Detergents and sanitizers that are used to clean,
sanitize and maintain the facility shall be
purchased in accordance with applicable
legislation. The organization shall ensure an
inventory of all chemicals purchased and used
shall be maintained, detergents and chemicals
are stored as outlined in 12.5.4, Safety Data
Sheets (SDS) are provided for all detergents and
sanitizers purchased, only trained staff handles
sanitizers and detergents.
The supplier shall dispose of unused detergents
and sanitizers and empty containers in
accordance with regulatory requirements and
ensure that empty detergent and sanitizer
containers are appropriately cleaned, treated
and labeled before use, labeled, isolated and
securely stored while awaiting collection, unused
and obsolete detergents and sanitizers are stored
under secure conditions while waiting authorized
disposal by an approved vendor.
A record of pre-operational hygiene inspections, (m) Records of cleaning and
cleaning and sanitation activities, and verification sanitation activities are not
activities shall be maintained.
Personnel suffering from infectious diseases or
are carriers of, any infectious disease are not
permitted to work in the distribution center or in
the transportation of food, and shall not engage
in food handling operations, or be permitted
access to storage areas where the product is
exposed.
Personnel with exposed cuts, sores or lesions
shall not be engaged in handling exposed
product or handling packaging materials or food
contact surfaces. Minor cuts or abrasions on
exposed parts of the body shall be covered with
colored bandage, or an alternative suitable
waterproof and colored dressing.
Secondary Response Primary Response Evidence
(m) Detergents or sanitizers do not
meet local regulatory
requirements
(m) No inventory of chemicals
purchased is available
(m) The inventory of chemicals
purchased is not current and up to
date
(m) Detergents and/or sanitizers
are not stored per section 11.6.4
(M) SDS sheets are not available
for detergents or sanitizers
purchased
(m) One detergent or sanitizer
does not have SDS sheet
(m) Personnel handling cleaning
chemicals are not properly trained
(M) Cleaning chemicals are not
disposed of per regulatory
requirements
(m) Empty cleaning chemical
containers are not labeled or
properly treated
(m) Empty cleaning chemical
containers are not properly
isolated or secured
(m) Obsolete cleaning chemicals
are not properly secured awaiting
disposal
maintained
(m) Records of cleaning and
sanitation activities are not
complete
(m) Records of hygiene inspections
are not maintained
(m) Records of cleaning and
hygiene inspections are not
complete
(M) Personnel who are engaged in
product handling exhibit signs of
illness (Potential Critical)
(M) Personnel who have been ill
with an infectious illness are
involved in food processing
(Potential Critical)
(M) Personnel observed handling
food products with sores or cuts
on hands with no controls
(Potential Critical)
(M) Controls for personnel injuries
to hands do not include
appropriate alert controls
(m) Bandages provided for cuts
are inadequate
 Clause Item Secondary Response Primary Response Evidence
12.3.1.3 Personnel Smoking, chewing, eating, drinking or spitting is (M) Evidence of smoking, eating,
not permitted in any food handling or storage drinking observed in food
areas where the product is exposed. processing areas
(m) Evidence of smoking, eating,
drinking observed in food handling
areas
(M) Employees observed smoking,
eating or drinking in food
processing or handling areas

12.3.2.1 Hand Washing
Hand wash basins shall be provided, and in
accessible locations throughout the facility as
required.
(M) No hand wash basins available
for personnel
(m) Hand wash basins not located
at accessible points
(m) Hand wash basins not located
at personnel access points

12.3.2.2 Hand Washing
Hand wash basins shall be constructed of (m) Hand was basin not
stainless steel or similar non-corrosive material constructed of appropriate
and as a minimum supplied with a potable water material
supply at an appropriate temperature, supplied (m) Hand wash basin does not
with liquid soap contained within a fixed have water at appropriate
dispenser, with paper towels or effective hand temperature
dryer, with a means of containing used paper (m) No liquid soap available at
towels. hand wash station
(m) No paper towels available at
hand wash station
(m) No means to contain used
paper towels available at hand
wash station

12.3.2.3 Hand Washing A sign instructing people to wash their hands, (m) No signage available for
and in appropriate languages, shall be provided personnel to wash their hands
in a prominent position. (m) Signage for hand washing is
not located in prominent position

12.3.2.4 Hand Washing
Personnel shall have clean hands and hands shall (M) Personnel observed in food
be washed by all personnel, including staff, handling area with dirty hands
contractors and visitors after each visit to a toilet, (M) Personnel observed not
after smoking, eating or drinking, handling wash washing hands upon entering
down hoses or contaminated material. processing area
(M) Personnel observed not
washing hands upon leaving
restroom
(M) Personnel observed not
washing hands after handling
hoses or trash
(M) Personnel observed not
washing hands after eating,
drinking, or smoking

12.3.2.5 Hand Washing
When gloves are used, personnel shall maintain
the hand washing practices outlined above.
(m) Personnel seen using gloves
instead of following hand washing
requirements
(m) Facility policy on gloves does
not require proper hand washing
protocols
 Clause Item
12.3.3.1 Clothing Clothing worn by staff engaged in handling food
shall be maintained, stored, laundered and worn
so as not to present a contamination risk to
product.
12.3.3.2 Clothing Clothing shall be clean at the commencement of (m) Clothing worn by staff is not
each shift and maintained in a serviceable properly maintained
condition. (m) Staff clothing in processing
area is not clean
12.3.4.1 Jewelry and Personal Effects Jewelry and other loose objects shall not be worn
or taken into a food handling area or any area
where food is recouped. The wearing of wedding
rings and medical alert bracelets (plain bands
with no stones) that cannot be removed can be
permitted, however the supplier will need to
consider their customer requirements and the
applicable food legislation.
12.3.5.1 Visitors All visitors, including management and
maintenance staff, shall wear suitable clothing
and footwear when entering any food handling
area.
12.3.5.2 Visitors All visitors shall be required to remove jewelry
and other loose objects.
12.3.5.3 Visitors Visitors exhibiting visible signs of illness shall be
prevented from entering areas in which food is
handled or exposed.
12.3.5.4 Visitors Visitors shall enter and exit food handling areas
through the proper staff entrance points and
comply with all hand washing and personal
practice requirements.
12.3.6.1 Staff Amenities Staff amenities supplied with appropriate lighting
and ventilation shall be made available for the
use of all persons engaged in the handling and
processing of product.
12.3.7.1 Change Rooms Facilities shall be provided to enable staff and
visitors to change into and out of protective
clothing as required.
Secondary Response Primary Response Evidence
(m) Clothing worn by staff is not
properly maintained
(m) Staff clothing in processing
area is not clean
(m) Staff clothing used in high risk
processing areas is worn off site
(M) Staff clothing presents a
hazard to product
(m) Staff in processing area
observed wearing jewelry
(m) Staff in processing areas
observed wearing loose objects
(m) No control process in place for
addressing jewelry for employees
and visitors
(m) Visitors observed wearing
unsuitable footwear or clothing in
processing areas
(m) Management observed not
following company protocol on
clothing or footwear
(m) Visitors observed wearing
jewelry in processing or handling
areas
(m) Visitors observed wearing
unsuitable loose items in
processing or handling areas
(M) Visitors observed with illness
are allowed in processing areas
(m) Visitors observed not following
facility protocols on hygiene
(m) Visitors observed not following
facility protocols on access to
processing and handling areas
(m) Staff amenities do not have
adequate lighting
(m) Staff amenities do not have
adequate ventilation
(m) Staff amenities are not
available to all staff who handle
product
(m) No adequate amenities for
visitors and staff
(m) Amenities are not available to
change into protective clothing
 Clause
12.3.7.2 Change Rooms
12.3.8.1 Sanitary Facilities
12.3.8.2 Sanitary Facilities
12.3.8.4 Sanitary Facilities
12.3.9.1 Lunch Rooms
12.3.9.2 Lunch Rooms
12.3.10.1 First Aid
Item
Provision shall be made for staff to store their
street clothing and personal items separate from
food contact zones and food and packaging
storage areas.
Toilet rooms shall be designed and constructed
so that they are accessible to staff and separate
from any food handling operations, accessed
from the warehouse or product handling area via
an airlock vented to the exterior or through an
adjoining room, sufficient in number for the
maximum number of staff, constructed so that
they can be easily cleaned and maintained, kept
clean and tidy
Sanitary drainage shall not be connected to any
other drains within the premises and shall be
directed to a septic tank or a sewerage system.
Procedure shall be documented and
implemented to properly manage sewage back-
ups in order to minimize the potential for
contamination.
Hand wash basins shall be provided immediately (M) No hand was basins are
outside or inside the toilet room and designed as available near the toilets
outlined in 12.3.2.2.
Separate lunch room facilities shall be provided
away from a food handling or storage areas.
Lunch rooms shall be kept clean and tidy and free
from waste materials and pests.
Signage in appropriate languages advising people
to wash their hands before entering the food
processing areas shall be provided in a prominent
position in lunch rooms and at lunch room exits.
First aid facilities shall be provided to treat minor
injuries and suitable arrangements shall be
provided in circumstances when a patient
requires more specialized care.
Secondary Response Primary Response Evidence
(m) No amenities available for the
storage of staff personal items
(m) Storage of personal items is
not separated from processing
areas
(M) Toilets open directly into
processing areas with no other
controls in place
(m) Toilets are not adequate in
number for the maximum number
of staff
(m) Toilets can not be easily
cleaned
(m) Toilets are not constructed so
that they can be easily maintained
(m) Toilets are untidy and/or dirty
(m) Sanitary drainage is connected
to drains within processing facility
(m) Hand wash basin near the
toilets do not meet section
11.3.2.2
(m) Lunch facilities are not
separated from processing areas
(m) Lunch facilities are not
separated from product storage or
handling area
(m) No hand wash sign available at
the exit of the lunch facility
(m) Signage at the exit of the lunch
facility is not in correct languages
(m) No first aid facilities are
available
(m) No arrangements have been
made to provide for more
specialized care as required
 Clause
12.4.1.1 Staff Engaged in Food Handling Operations
12.4.1.2 Staff Engaged in Food Handling Operations
12.5.1.1 Water supply
12.5.1.2 Water supply
12.5.2.1 Monitoring Water Microbiology and Quality
Item
All personnel engaged in the direct handling of
exposed food shall comply with the following
practices: personnel entry to food handling areas
shall be through the personnel access doors only,
all doors are to be kept closed. Doors shall not
be left open for extended periods when access
for waste removal or stock transfer, the wearing
of false fingernails or fingernail polish is not
permitted when handling food, packaging
material, product, and ingredients shall be kept
in appropriate containers as required and off the
floor, waste shall be contained in the bins
identified for this purpose and removed from the
processing area on a regular basis and not left to
accumulate, staff shall not eat or taste any
product being processed in the food
handling/contact zone.
All personnel engaged in storage, transport and
handling of packaged products and materials
shall ensure that products and materials are
handled and stored in such a way as to prevent
damage or product contamination.
Adequate supplies of water drawn from a known
clean source shall be provided for use during
holding or stroage and for cleaning the premisies
and equiment
Supplier of hot and cold water shall be provided
as required to enable the effective cleaning of
the premises and equipment
Water used for
i. washing, thawing and treating food;;
ii. an ingredient or food processing
aid;;
iii. cleaning food contact surfaces;;
iv. the m anufacture of ice;; and
v. the manufacture of steam that will come in
contact with food or used to heat water that
will come in contact with food
shall comply with local,
national or internationally recognized potable
water microbiological and quality
standards as required.
Secondary Response Primary Response Evidence
(m) Personnel observed not
following facility protocols on
access to processing and handling
areas
(m) Exterior doors open with no
protective controls in place
(M) Exterior doors directly into
processing areas or handling areas
left open with no controls in place
(M) Employees observed not
washing hands upon entering
processing area
(m) Employees observed not
following hand washing protocols
upon entering processing areas
(m) Employees observed wearing
false fingernails in food handling
areas
(m) Employees observed wearing
fingernail polish in food handling
areas
(M) Food product or ingredients
found on floor
(m) Food product or ingredients
stored in non-appropriate
containers
(M) Packaging material that will
directly contact food is stored on
floor
(m) Waste containers not properly
identified
(m) Waste containers in
processing or handling areas found
overflowing
(m) Employees seen eating in
processing or handling areas
(M) Materials are damaged
(M) Materials are stored in a
manner that may lead to product
contamination
(M) Non potable water used to
treat or rinse product (Potential
Critical)
(m) Water used as an ingredient
does not meet quality
requirements
(M) Non-potable water used to
clean food contact surfaces
(M) Non-potable water used to
make ice
(m) Ice is made from water that
does not meet quality
requirements
(m) Non-potable water used to
create steam that will come in
contact with food
 Clause
12.5.3.1 Water Delivery
12.5.3.2 Water Delivery
12.5.4.1 Ice Supply
12.5.4.2 Ice Supply
12.5.5.1 Analysis
12.5.5.2 Analysis
12.5.6.1 Air Quality
12.5.6.2 Air Quality
Item
The delivery of water within the premises shall
ensure potable water is not contaminated
The use of non-potable water shall be controlled
such that there is no cross contamination
between potable and non-potable water lines,
non-potable water piping and outlets are clearly
identified.
Ice provided for use during processing operations (M) Ice made from non-potable
or as a processing aid or an ingredient shall
comply with 12.5.2.1.
Ice rooms and receptacles shall be constructed of
materials as outlined in elements 12.2.1, 12.2.2
and 12.2.3 and designed to minimize
contamination of the ice during storage and
distribution.
Microbiological analysis of the water and ice
supply shall be conducted to verify the
cleanliness of the supply, the monitoring
activities and the effectiveness of the treatment
measures implemented.
Water and ice shall be analyzed using reference
standards and methods.
Compressed air that contacts food or food
contact surfaces shall be clean and present no
risk to food safety
Compressed air systems
used in the production process shall be
maintained and regularly monitored for
purity
Secondary Response Primary Response Evidence
(M) Water supply is not
adequately protected
(m) A cross connection exists that
could result in a back flow of
water
(m) There is a possible cross
contamination between potable
and non-potable water lines
(M) Potable water has been
contaminated by non-potable
water
(m) Non-potable water pipes and
outlets are not labeled
(m) No non-return devices are
installed on non-potable water
lines
water
(m) Required supplies of potable
ice are not available
(m) Ice not properly protected
during use
(M) Ice in contact with food
product does not comply with
national standards
(m) Ice storage areas could
potentially contaminate ice
(m) Ice storage areas not properly
designed
(m) Ice storage areas are
constructed from inappropriate
materials
(M) Water and ice are not
microbiologically tested to verify
cleanliness of the supply
(m) Water and ice are not
regularly tested to verify the
effectiveness of treatment
methods
(m) Appropriate standards are not
used to analyze water or ice
(M) Compressed air that is in
contact with food is not filtered or
otherwise treated
(m) Filters are not checked or
changed
(m) The facility does not have a
standard for microbiological purity
of compressed air that contacts
food
(M) Compressed air that is in
contact with food is not checked
for purity
 Clause
12.6.1.1 Cold Storage, Freezing and Chilling of Foods
12.6.1.2 Cold and Chilled Storage
12.6.1.3 Cold and Chilled Storage
12.6.1.4 Cold and Chilled Storage
12.6.1.5 Cold and Chilled Storage
12.6.2.1 Storage of Shelf Stable Packaged Goods
12.6.2.2 Storage of Shelf Stable Packaged Goods
Item
The supplier shall provide confirmation of the
effective operational performance of freezing,
chilling and cold storage facilities. Chillers, blast
freezers and cold storage rooms shall be
designed and constructed to allow for the
hygienic and efficient refrigeration of food, easily
accessible for inspection and cleaning.
Sufficient refrigeration capacity shall be available
to store chilled or frozen food at the maximum
anticipated throughput of product with
allowance for periodic cleaning of refrigerated
areas.
Discharge from defrost and condensate lines
shall be controlled and discharged to the
drainage system.
Cold and chilled storage rooms shall be fitted
with temperature monitoring equipment and
located so as to monitor the warmest part of the
room and be fitted with a temperature
measurement device that is easily readable and
accessible.
Loading and unloading docks shall be designed to (m) Docks are not designed to
protect product during loading and unloading. adequately protect product
(m) Docks areas are not
adequately maintained
Rooms used for the storage of dry goods shall be
located away from wet areas and constructed to
protect the product from contamination and
deterioration.
Racks provided for the storage of food Products
shall be constructed of impervious materials and
designed to enable cleaning of the floors and the
storage room. Storage areas shall be constructed
to prevent food products becoming a harborage
for pests or vermin.
Secondary Response Primary Response Evidence
(m) Supplier has not confirmed
effective operation of cold storage
areas
(m) Cold storage rooms are not
properly designed
(m) Cold storage rooms are not
properly constructed for easy
cleaning
(m) Cold storage areas are not
easily accessible for inspection
(M) Facility does not have
adequate refrigeration capacity
(m) Facility does not have the
adequate freezer capacity
(m) Excessive condensation found
in cold storage area
(m) Water discharge in cold
storage area poses a risk to
contaminate product
(M) Water discharge in cold
storage area is directly on stored
product
(m) Excessive frost in freezer on
ceiling and walls
(M) Excessive frost in freezer on
stored product
(M) Cold storage areas do not
have temperature monitoring
equipment
(m) Temperature monitoring
devices is not located near the
warmest part of cold storage area
(m) Temperature monitoring
devices are not easily accessible
(m) Product storage rooms are
located near wet processing which
creates the potential for water
contamination
(m) Storage rooms are not
adequately designed to protect
product
(m) Packaging racks are made of
material that is not easily
cleanable
(m) Packaging racks do not allow
access to floor/wall junction for
cleaning
(M) Packaging storage areas is
found to be a pest harborage area
 Clause Item Secondary Response Primary Response Evidence
12.6.2.3 Storage of Shelf Stable Packaged Goods Vehicles used in storage rooms shall be designed (M) Vehicle used in food
and operated so as not to present a food safety processing, storage, or cold
hazard. storage areas release hydrocarbon
emissions
(M) Vehicles used present a
hazard to the food product

12.6.3.1 Storage of Equipment and Containers Storage rooms shall be designed and constructed (m) Equipment storage area does
to allow for the hygienic and efficient storage of not allow access for cleaning
equipment and containers. (m) Equipment storage area does
not protect equipment during
storage

12.6.4.1 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 present a hazard to staff,
product, packaging, product handling equipment
or areas in which the product is handled, stored
or transported.
(m) Chemicals present a hazard to
staff due to improper storage
(M) Chemicals are stored next to
or directly over product

12.6.5.1 Alternative Storage and Handling of Goods
Where goods described in 12.5.1 to 12.5.4 are (m) No risk analysis conducted for
held under temporary or overflow conditions alternative storage and handling
that are not designed for the safe storage of of goods
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on food
safety and quality.

12.6.6.1 Loading, Transport and Unloading Practices The practices applied during loading, transport
and unloading of food shall be documented,
implemented and designed to maintain
appropriate storage conditions and product
integrity. Foods shall be loaded, transported and
unloaded under conditions suitable to prevent
cross contamination.
(m) Methods for loading of
products are not documented
(m) Methods for the
transportation of products are not
documented
(M) Methods developed for
product loading and transport do
not adequately protect product
(M) Cross contamination to
product potentially exists during
transport and loading
(M) Product contamination
observed during transportation
and/or loading (Potential Critical)

12.6.7.1 Loading Vehicles (trucks/vans/containers) used for (m) No pre-shipment review is

transporting food shall be inspected prior to conducted on transportation
loading to ensure they are clean, in good repair, vehicles
suitable for the purpose and free from odors or (m) Vehicles used to transport
other conditions that may impact negatively on product are not clean
the product. (m) Vehicles used to transport
product are not properly
maintained

12.6.7.2 Loading Loading practices shall be designed to minimize (M) Loading and staging of
unnecessary exposure of the product to product exposed product to
conditions detrimental to maintaining product potential abuse
integrity. (m) Loading and/or staging
practices are potentially
detrimental to product
 Clause Item Secondary Response Primary Response Evidence
12.6.8.1 Transport Refrigerated units shall maintain the food at (m) Pre-ship review of refrigerated
required temperatures and the unit's transport vehicle ds not include
temperature settings shall be set, checked and temperature check
recorded before loading and core product (m) Loading and staging of
temperatures recorded at regular intervals refrigerated product do not
during loading as appropriate. include monitoring product
temperatures
(M) Refrigerated vehicles are not
capable of maintaining the
product at the correct
temperature

12.6.8.2 Transport The refrigeration unit shall be operational at all (M) Refrigerated vehicles
times and checks completed of the unit's refrigeration unit is not operated
operation, the door seals and the storage at all times when product is
temperature checked at regular intervals during transported
transit. (m) Refrigerated vehicles are not
inspected during transit

12.6.8.3 Transport The refrigeration unit shall be monitored for

environmental contraminants
12.6.9.1 Unloading Prior to opening the doors the refrigeration unit's
storage temperature settings and operating
temperature shall be checked and recorded.
Unloading shall be completed efficiently and
product temperatures shall be recorded at the
commencement of unloading and at regular
intervals during unloading.
(M) Unloading, staging and cross-
docking of product exposed
product to potential abuse
(m) Unloading practices are
potentially detrimental to product

12.6.9.2 Unloading Unloading practices shall be designed to
minimize unnecessary exposure of the product to
conditions detrimental to maintaining product
and package integrity.
(M) Unloading, staging and cross-
docking of product exposed
product to potential abuse
(m) Unloading practices are
potentially detrimental to product

12.7.1.1 Control of Foreign Matter
The responsibility and methods used to prevent
foreign matter contamination of product shall be
documented, implemented and communicated
to all staff.
(M) Foreign material prevention
methods are not developed
(m) No responsibility for the
prevention of foreign material
have been defined
(m) Foreign material prevention
controls are not communicated to
staff
(M) Foreign material prevention
controls are not implemented

12.7.1.2 Control of Foreign Matter
Inspections shall be performed to ensure plant (M) No inspections conducted to
and equipment remains in good condition and prevent foreign material
potential contaminants have not detached or contamination of product
become damaged or deteriorated. The use of
temporary fasteners such as string, wire or tape
to fix or hold equipment shall not be permitted.
 Clause
12.7.1.3 Control of Foreign Matter
12.7.1.4 Control of Foreign Matter
12.7.1.5 Control of Foreign Matter
12.7.2.1 Managing Foreign Matter Contamination Incidents
12.7.2.2 Managing Foreign Matter Contamination Incidents
12.8.1.1 Dry and Liquid Waste Disposal
Item
The following preventative measures shall be
implemented where applicable to prevent glass
contamination: all glass objects or similar
material in food handling/contact zones shall be
listed in a glass register including details of their
location, containers, equipment and other
utensils made of glass, porcelain, ceramics,
laboratory glassware or other like material
(except where product is contained in packaging
made from these materials, or measurement
instruments with glass dial covers or MIG
thermometers required under regulation) shall
not be permitted in food processing/contact
zones, conduct regular inspections of food
handling/contact zones to ensure they are free of
glass or other like material and to establish no
changes to the condition of the objects listed in
the glass register, inspect glass instrument dial
covers on processing equipment and MIG
thermometers at the start and finish of each shift
to confirm they have not been damaged.
Wooden pallets and other wooden utensils used
in food handling and storage shall be dedicated
for that purpose, clean, maintained in good order
and their condition subject to regular inspection.
Loose metal objects on equipment, equipment (m) Loose materials found on
covers and overhead structures shall be removed processing equipment
or tightly fixed so as not to present a hazard. (M) Loose materials observed in
food contact zones that present a
hazard to product
In all cases of foreign matter contamination the
affected batch or item shall be isolated,
inspected, reworked or disposed of.
In circumstances where glass or similar material
breakage occurs the affected area is to be
isolated, cleaned and thoroughly inspected
(including cleaning equipment and footwear) and
cleared by a suitably responsible person prior to
the commencement of operations.
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
Secondary Response Primary Response Evidence
(M) No glass register is developed
(m) Glass register is not complete,
glass objects missing in register
(m) Unapproved glass and brittle
materials found in processing area
(m) No glass objective inspections
of processing areas conducted
(m) Glass object inspections are
not conducted regularly
(m) No inspection of glass
instrument dial covers or
thermometers conducted at start
of each shift
(m) Wood used in processing /
handling area is dirty
(m) Wood used in processing /
handling area is not maintained
(m) Wood used in processing areas
is not designed for the current use
(M) Records are not maintained of
foreign body inspection
(M) Records are not maintained of
the verification of foreign body
detection equipment
(M) Item or batch of product
affected by foreign material
contamination is not properly
reworked
(M) Item or batch of product
affected by foreign material
contamination is not properly
destroyed
(m) There are no methods for
handling waste documented
(m) The methods for handling
waste within premises are not
adequate to control all waste
(m) Methods do not include
proper storage of waste prior to
disposal
 Clause
12.8.1.2 Dry and Liquid Waste Disposal
Item Secondary Response Primary Response Evidence
Waste shall be removed on a regular basis and (m) Waste is not regularly
not build up in food handling or storage areas. removed from processing areas
Designated waste accumulation areas shall be (m) Waste collection areas are not
maintained in a clean and tidy condition until maintained and not cleaned
such time as external waste collection is
undertaken.

12.8.1.3 Dry and Liquid Waste Disposal
Trolleys, vehicles waste disposal equipment, (m) Containers for waste are not
collection bins and storage areas shall be properly maintained
maintained in a serviceable condition and (m) Trolleys, vehicles and
cleaned and sanitized regularly so as not to equipment used for waste are not
attract pests and other vermin. properly cleaned

12.8.1.4 Dry and Liquid Waste Disposal
Reviews of the effectiveness of waste (m) Daily inspections are not
management will form part of daily hygiene conducted to monitoring handling
inspections and the results of these inspections of waste
shall be included in the relevant hygiene reports. (m) Daily inspection to review
waste handling are not
documented

12.9.1.1 Grounds and Roadways
The grounds and area surrounding the premises
shall be maintained to minimize dust and be kept
free of waste or accumulated debris so as not to
attract pests and vermin.
(m) Exterior paths and roadways
are not managed to minimize dust
or other hazards
(m) Exterior loading and unloading
areas are not maintained to
minimize hazards

12.9.1.2 Grounds and Roadways
Paths, roadways and loading and unloading areas (m) Surroundings are cluttered
shall be maintained so as not to present a hazard and untidy
to the food safety operation of the premises. (m) Grass and vegetation ids not
kept under control in surrounding
areas
(m) Equipment is stored outside
and unprotected from the
weather

12.9.1.3 Grounds and Roadways Surroundings shall be kept neat and tidy and not (m) External paths from amenities
present a hazard to the hygienic and sanitary to the facility are not sealed
operation of the premises.

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
Supplier Onsite Correction
 Clause
13.1.1.1 Premises Location
13.1.2.1 Construction and Operational Approval
13.2.1.1 Materials and Surfaces
13.2.2.1 Floors, Drains and Waste Traps
13.2.2.2 Floors, Drains and Waste Traps
13.2.2.3 Floors, Drains and Waste Traps
13.2.3.1 Walls, Partitions, Doors and Ceilings
13.2.3.2 Walls, Partitions, Doors and Ceilings
13.2.3.3 Walls, Partitions, Doors and Ceilings
13.2.4.1 Lighting and Light Fittings
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
The location of the premises shall be such that (m) Location of premises poses a
adjacent and adjoining buildings, operations and hygienic risk
land use do not interfere with safe and hygienic (m) Location of premises poses a food
operations. safety risk
The construction and on-going operation of the (m) Site has not been approved by
premises on the site shall be approved by the local authorities
relevant authority.
In facilities where food contact packaging is (M) Product contact surfaces are
manufactured, product contact surfaces shall be constructed of materials that pose a
constructed of materials that will not contribute food safety risk
a food safety risk. (m) Non-food contact surfaces are
constructed of materials that pose a
food safety risk
Floors shall be constructed of smooth, dense (m) Floors are non smooth and easily
impact resistant material that can be effectively cleanable
graded, drained, impervious to liquid and easily (m) Floors do not graded properly
cleaned. (m) Floors are made of an
inappropriate material
Drains shall be constructed and located so they (m) Drain construction poses a food
can be easily cleaned and not present a hazard. safety risk
(m) Drain location poses a food safety
risk
Wate trap system shall be located away from any (m) Waste traps are located close to
food packaging and material handling area or food handling areas or entrance to
entance to the premises in order to prevent the facility
contamintaion.
Walls, partitions, ceilings and doors shall be of (m) Walls are not of sound
durable construction and fit for purpose. construction
(m) Partitions are not of sound
construction
(m) Doors are not of sound
construction
(m) Ceilings are not of sound
construction
(m) Walls, partitions, ceilings, and
doors are not kept clean
(M) The condition of walls, partitions,
doors, ceilings, pose a food safety risk
Wall to wall and wall to floor junctions shall be (m) Wall to wall junctions are not
designed to be easily cleaned and sealed to constructed properly
prevent the accumulation of food debris. (m) Floor to wall junctions are not
constructed properly
Doors shall be of solid construction and windows (m) Door are not of solid construction
shall be made of shatterproof glass or similar (m) Windows are not of solid
material. construction
(M) Windows are not made of
shatterproof glass in product contact
areas
(m) Windows are not made of
shatterproof glass in non-product
contact areas
Lighting in premises where food contact (m) Lighting intensity is not sufficient
packaging is manufactured shall be of in food processing areas
appropriate intensity to enable the staff to carry (m) Lighting intensity is not sufficient
out their tasks efficiently and effectively. at inspection stations
 Clause
13.2.4.2 Lighting and Light Fittings
13.2.4.3 Lighting and Light Fittings
13.2.5.1 Dust, Fly and Vermin Proofing
13.2.5.2 Dust, Fly and Vermin Proofing
13.2.5.3 Dust, Fly and Vermin Proofing
13.2.5.4 Dust, Fly and Vermin Proofing
13.2.6.1 Ventilation
13.2.7.1 Premises and Equipment Maintenance
Item
Light fittings in such areas shall be shatterproof,
manufactured with a shatterproof covering or
fitted with protective covers and recessed into or
fitted flush with the ceiling.
Light fittings in other areas where product is
stored shall be designed such as to prevent
breakage and product contamination.
All external windows, ventilation openings, doors
and other openings shall be effectively sealed
when closed and proofed against dust, vermin
and flies.
Personnel access doors shall be provided. They
shall be effectively fly-proofed and fitted with a
self-closing device.
External doors, including overhead dock doors,
used for product, pedestrian or truck access shall adequately fly-proofed
be fly-proofed.
Electric insect control devices, pheromone or
other traps and baits shall be located so as not to
present a contamination risk to packaging, or
manufacturing equipment.
Adequate ventilation shall be provided in areas
where food contact packaging is manufactured
and stored.
The methods and responsibility for the
maintenance and repair of plant, equipment and
buildings shall be documented planned and
carried out in a manner that minimizes the risk of
product, packaging or equipment contamination.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) A light fitting was found
unprotected
(M) Majority of light fixtures are not
shatterproof or protected, and pose a
threat to product safety
(m) Light fittings in warehouse areas
pose a risk to product safety
(m) Windows are not protected and
sealed against dust or pests
(m) Doors are not adequately
protected against dust or pests
(M) There is a risk of dust or pest
contamination of product
(m) Personnel doors are not self
closing
(m) External door(s) are not
(m) Sealing around trucks in docking
areas is not adequate
(m) Insect devices are located so as to
pose a threat to product
(m) Insect devices are located so as to
pose a threat to equipment
(m) Bait is used inside food storage
areas or processing areas
(m) Food processing areas do not
have adequate ventilation
(m) There are no planned
maintenance schedule
(M) Actual maintenance practices risk
product safety and integrity
 Clause
13.2.7.2 Premises and Equipment Maintenance
13.2.7.3 Premises and Equipment Maintenance
13.2.7.4 Premises and Equipment Maintenance
13.2.7.5 Premises and Equipment Maintenance
13.2.8.1 Calibration
13.2.8.2 Calibration
Item
Maintenance staff and contractors shall observe
the following practices when undertaking
maintenance and repairs in any handling or
storage area: routine maintenance of plant and
equipment shall be performed according to a
maintenance-control schedule and recorded,
failures of plant and equipment shall be
documented, reviewed and their repair
incorporated into the maintenance control
schedule, compliance with the personnel and
process hygiene requirements (refer to elements
13.3.1, 13.3.2, 13.3.3, 13.3.4) by maintenance
staff and contractors, ensure area supervisors are
notified when maintenance or repairs are to be
undertaken in any packaging manufacturing area.
inform the maintenance supervisor and the
facility supervisor if any repairs or maintenance
that pose a potential threat to product safety (i.e.
pieces of electrical wire, damaged light fittings,
and loose overhead fittings). When possible,
maintenance is to be conducted outside
manufacturing times. remove all tools and debris
from any maintenance activity once it has been
completed and inform the area supervisor and
maintenance supervisor so appropriate hygiene
and sanitation can be completed prior to the
commencement of facility operations.
The maintenance schedule shall be prepared to
cover building, equipment and other areas of the
premises critical to the maintenance if product
safety and quality.
Equipment located over product or product
conveyors shall be lubricated with food grade
lubricants and their use controlled so as to
minimize the contamination of the product.
Machinery lubricant controls shall be in place to
prevent contamination of packaging materials
from gear box oils, bearing lubricants, hydraulics,
or any other source.
Paint used in a production area shall be suitable
for use and in good condition and shall not be
used on any product contact surface.
The methods and responsibility for the
calibration and re-calibration of measuring, test
and inspection equipment used for monitoring
activities outlined in the pre-requisite program,
food safety plans and food quality plans and
other process controls, or to demonstrate
compliance with customer specifications shall be
documented and implemented.
Procedures shall be documented and
implemented to address the disposition of
potentially affected Product should measuring,
test and inspection equipment be found to be
out of calibration state.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Maintenance staff do not follow
food safety and hygiene practices
(M) Maintenance contractors do not
follow food safety and hygiene
practices
(m) Activities from preventative
maintenance schedule are not
documented
(m) Plant failures are not documented
(m) Equipment failures are not
documented
(m) Failures are not incorporated into
maintenance control schedule
(m) There are no personal hygiene
practices developed for main
(m) Supervisors are not notified when
repairs made in food handling area
(m) All tools, parts and debris not
removed from repair areas
(M) No sanitation activity occurs after
maintenance repair in food
processing area
(M) No notification occurs when
potential risk to product is evident
(m) Maintenance schedule does not
include critical areas of facility
(m) Maintenance schedule does not
include critical areas of equipment
(M) Non-food grade lubricant is used
in food contact zones
(m) Non-food grade lubricant is used
on food handling conveyors
(m) Food grade lubricant is used, but
is likely to contact product
(M) Paint is used on product contact
surfaces
(M) Calibration methods for
monitoring equipment are not
documented
(m) Methods for calibration of
equipment do not include
responsibility
(m) Methods for calibration of
equipment do not include all
necessary equipment
(m) There are no procedures in place
to address disposition of potentially
affected product
(M) Potentially affected product is not
adequately disposed
 Clause Item
13.2.8.3 Calibration Calibrated measuring, test and inspected
equipment shall be protected from damage and
unauthorized adjustment.
13.2.8.4 Calibration Equipment shall be calibrated against national or
international reference standards and methods
or to accuracy appropriate to its use. In cases
where standards are not available the supplier
shall provide evidence to support the calibration
reference method applied.
13.2.8.5 Calibration Calibration shall be performed according to
regulatory requirements and/or to the
equipment manufacturers recommended
schedule.
13.2.8.6 Calibration Calibration records shall be maintained.
13.2.9.1 Management of Pests and Vermin The methods and responsibility for integrated
pest management shall be documented and
effectively implemented. The premises, its
surrounds, storage facilities, machinery and
equipment shall be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
13.2.9.2 Management of Pests and Vermin The pest and vermin management program shall
describe the methods and responsibility for the
development, implementation and maintenance
of the pest and vermin management program,
identify the target pests for each pesticide
application, outline the methods used to prevent
pest problems, outline the pest elimination
methods, outline the frequency with which pest
status is to be checked, include on a site map the
identification, location, number and type of bait
stations set, list the chemicals used (they are
required to be approved by the relevant
authority and their Safety Data Sheets (SDS)
made available). outline the methods used to
make staff aware of the bait control program and
the measures to take when they come in contact
with a bait station. outline the requirements for
staff awareness and training in the use of pest
and vermin control chemicals and baits. measure
the effectiveness of the program to verify the
elimination of applicable pests.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Calibrated equipment is not
protected from damage
(m) Calibrated equipment is subject
to unauthorized adjustment
(M) The calibration standards are not
known
(M) Calibration standards are known
but not followed
(m) Calibration schedule does not
meet regulatory requirements
(m) Calibration schedule has not been
developed
(m) Calibration schedule doe not
follow recommended frequency
(M) No calibration records are
maintained
(m) Calibrations records are not
complete
(M) No methods for integrated pest
management documented
(m) Responsibility of integrated pest
management not included in program
(m) Pest management program does
not include exterior or surrounding
areas of facility
(m) Facility has pest harborage areas
observed
(m) Exterior of facility has pest
harborage areas observed
(M) Methods for the pest
management program are not
developed
(m) Target pests are not included in
program
(m) Methods used to prevent pest
problems are not defined
(m) Methods used to eliminate pests
are not defined
(m) No frequency for the checking of
pest status is developed
(m) Frequency not followed by
responsible personnel in the checking
of pest control devices
(m) Site map of pest control devices is
not available
(m) Site map of pest control devices is
not complete
(M) List of chemicals used for pest
control is not available
(m) List of chemical used for pest
control is not complete
(M) Unapproved chemicals for pest
control used in the facility
(m) No SDS sheet available for one
chemical used in facility
(M) No SDS sheets available for any
chemical used in facility
(m) No methods available for staff
awareness of pest control devices
(m) No methods available for staff
awareness of pest control chemicals
and baits
(m) No measures of the effectiveness
of the pest program arte in place
 Clause
13.2.9.3 Management of Pests and Vermin
13.2.9.4 Management of Pests and Vermin
13.2.9.5 Management of Pests and Vermin
13.2.9.6 Management of Pests and Vermin
13.2.9.7 Management of Pests and Vermin
Item
Inspections for pest activity shall be undertaken
on a regular basis by trained personnel and the
appropriate action taken if pests are present.
Records of all pest control applications shall be
maintained.
Pesticides and other toxic chemicals shall be
clearly labeled and stored as described in
element 13.6.3 and handled and applied by
properly trained personnel. They shall be used by
or under the direct supervision of trained
personnel with a thorough understanding of the
hazards involved, including the potential for the
contamination of food contact packaging.
Pest control contractors shall be licensed and
approved by the local relevant authority, use
only trained and qualified operators who comply
with regulatory requirements, use only approved
chemicals, provide a pest control management
plan (see Contract Services 2.3.3) which will
include a site map indicating the location of bait
stations and traps, report to a responsible senior
management person on entering the premises
and after the completion of inspections or
treatments, provide a written report of their
findings and the inspections and treatments
applied.
The supplier shall dispose of unused pest control
chemicals and empty containers in accordance
with regulatory requirements and ensure that
empty chemical containers are not reused;
empty containers are labeled, isolated and
securely stored while awaiting collection; and
unused and obsolete chemicals are stored under
secure conditions while waiting authorized
disposal by an approved vendor.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No inspections are made of pest
control devices
(m) Inspections of pest control
devices are made by untrained
personnel
(m) No appropriate action taken
when issues are noted on pest control
inspection
(m) Pest control records are not
maintained
(m) Pest control records are not
complete
(m) Pesticides are not properly
labeled
(m) Pesticides are not properly stored
(m) Pesticides are applied by non-
trained personnel
(M) Pest control operator is not
licensed
(M) Pest control operator is not
approved by local relevant authority
(m) Pest control operator does not
report to facility management upon
entry into facility
(m) Pest control operator is not
properly trained
(m) Pest control operator does not
have a pest control management plan
(m) Pest control operator does not
leave written findings of inspection
(m) Final report left by Pest control
operator does not include chemicals
applied
(m) Empty pest control chemical
containers not properly disposed
(m) Unused pest control chemicals
are not properly disposed
(m) Empty containers are not
properly labeled
(m) Empty containers are not
properly contained
(m) Unused and obsolete chemicals
are not stored secured
 Clause
13.2.10.1 Equipment, Utensils and Protective Clothing
13.2.10.2 Equipment, Utensils and Protective Clothing
13.2.10.3 Equipment, Utensils and Protective Clothing
13.2.11.1 Cleaning and Sanitation
13.2.11.2 Cleaning and Sanitation
13.2.11.3 Cleaning and Sanitation
13.2.11.4 Cleaning and Sanitation
Item
Equipment and utensils shall be designed,
constructed, installed, operated and maintained
so as not to pose a contamination threat to the
product.
Where required, protective clothing shall be
manufactured form material that is not liable to
comtaminate food and can be easily cleaned.
Where protective clothing is used, hooks, racks
or other forms of off-floor storage shall be
provided for protective clothing when staff
leaves the processing area and shall be provided
in close proximity or adjacent to the personnel
access doorways and hand washing facilities.
The methods and responsibility for the cleaning
of manufacturing and storage areas, staff
amenities and toilet facilities shall be
documented and implemented.
Provision shall be made for the effective cleaning (M) The cleaning of processing
of processing equipment, utensils and protective equipment is ineffective
clothing.
Racks or other off-floor storage areas shall be
designated for cleaning product containers,
utensils and cleaning staffs protective clothing.
Storage for cleaned utensils and protectie
clothing shall be provided as required.
Pre-operational hygiene and sanitation
inspections shall be conducted by qualified
personnel to ensure manufacturing and storage
areas, staff amenities and sanitary facilities and
other essential areas are clean.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Food contact equipment's design,
construction, or maintenance poses a
food safety risk
(M) Food contact utensil's design,
construction, or maintenance poses a
food safety risk
(m) Non food contact equipment or
utensil is not maintained
(m) Non food contact equipment or
utensil is not properly designed
(m) Protective clothing is not easily
cleaned
(M) Racks are not provided
(m) Racks are not poorly designed
(m) Racks are not located near access
doorways
(M) Facility does not have a cleaning
program developed
(m) Cleaning methods do not include
what is to be cleaned
(m) Cleaning methods do not include
how items are to be cleaned
(m) Cleaning methods do not include
responsibility for cleaning
(M) The cleaning of utensils is
ineffective
(m) The cleaning of protective
clothing is ineffective
(m) Cleaning of utensils is carried out
close to processing operations
(m) Control of cleaning operations so
as not to contaminate product is
ineffective
(m) Racks and areas for storing
cleaned utensils are not provided
(m) Racks and areas for storing
cleaned utensils are ineffective
(M) No pre-operational inspections
are completed to ensure cleanliness
(m) Not all critical areas of the facility
are include in pre-operational
inspections
(m) Personnel conducting pre-
operational inspections are not
qualified
 Clause
13.2.11.5 Cleaning and Sanitation
13.2.11.6 Cleaning and Sanitation
13.2.11.7 Cleaning and Sanitation
13.3.1.1 Personnel
13.3.1.2 Personnel
13.3.1.3 Personnel
Item
The responsibility and methods used to verify the
effectiveness of the cleaning procedures shall be
documented and implemented. A verification
schedule shall be prepared.
Detergents and sanitizers shall be purchased in
accordance with applicable legislation. The
organization shall ensure an inventory of all
chemicals purchased and used shall be
maintained, detergents and chemicals are stored
as outlined in element 13.6.3, Safety Data Sheets
(SDS) are provided for all detergents and
sanitizers purchased, only trained staff handles
sanitizers and detergents.
The supplier shall dispose of unused detergents
and sanitizers and empty containers in
accordance with regulatory requirements and
ensure that empty detergent and sanitizer
containers are appropriately cleaned, treated
and labeled before use, labeled, isolated and
securely stored while awaiting collection, unused
and obsolete detergents and sanitizers are stored
under secure conditions while waiting authorized
disposal by an approved vendor.
Personnel suffering from infectious diseases or
are carriers of, any infectious disease shall not
engage in the manufacture of food contact
packaging, or storage areas where food contact
packaging is exposed.
Personnel with exposed cuts, sores or lesions
shall not be engaged in handling packaigng
materials. Minor cuts or abrasions on exposed
parts of the body shall be convered with colored
bandage containing a metal strip or an
alternative suitable waterproof and colored
dressing.
Smoking, chewing, eating, drinking or spitting is
not permitted in any food handling or storage
areas where product is produced, stored or
otherwise exposed.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No sanitation verification
schedule is available
(m) No methods established for
verification of sanitation
(m) No responsibility is established
for verification of sanitation
(m) Detergents or sanitizers do not
meet local regulatory requirements
(m) No inventory of chemicals
purchased is available
(m) The inventory of chemicals
purchased is not current and up to
date
(m) Detergents and/or sanitizers are
not stored per section 11.6.4
(M) SDS sheets are not available for
detergents or sanitizers purchased
(m) One detergent or sanitizer does
not have SDS sheet
(m) Personnel handling cleaning
chemicals are not properly trained
(M) Cleaning chemicals are not
disposed of per regulatory
requirements
(m) Empty cleaning chemical
containers are not labeled or properly
treated
(m) Empty cleaning chemical
containers are not properly isolated
or secured
(m) Obsolete cleaning chemicals are
not properly secured awaiting
disposal
(M) Personnel who are engaged in
product handling exhibit signs of
illness (Potential Critical)
(M) Personnel who have been ill with
an infectious illness are involved in
food processing (Potential Critical)
(M) Personnel observed handling
food products with sores or cuts on
hands with no controls (Potential
Critical)
(M) Controls for personnel injuries to
hands do not include appropriate
alert controls
(m) Bandages provided for cuts are
inadequate
(M) Evidence of smoking, eating,
drinking observed in food processing
areas
(m) Evidence of smoking, eating,
drinking observed in food handling
areas
(M) Employees observed smoking,
eating or drinking in food processing
or handling areas
 Clause
13.3.2.1 Hand Washing
13.3.2.2 Hand Washing
13.3.2.3 Hand Washing
13.3.2.4 Hand Washing
13.3.2.5 Hand Washing
13.3.3.1 Clothing
13.3.3.2 Clothing
Item
Hand wash basins shall be provided adjacent to
all personnel access points and in accessible
locations throughout manufacturing area as
required.
Hand wash basins shall be constructed of
stainless steel or similar non-corrosive material
and as a minimum supplied with a potable water
supply at an appropriate temperature supplied
with liquid soap contained within a fixed
dispenser, supplied with paper towels or
effective hand dryer, supplied with a means of
containing used paper towels.
A sign instructing people to wash their hands,
and in appropriate languages, shall be provided
in a prominent position.
Personnel shall have clean hands and hands shall
be washed by all personnel, including staff,
contractors and visitors on entering product
contact areas, after each visit to a toilet., after
using a handkerchief, after smoking, eating or
drinking, after handling contaminated material.
When gloves are used, personnel shall maintain
the hand washing practices outlined above.
Clothing worn by staff engaged in handling food
contact packaging shall be maintained, stored,
laundered and worn so as not to present a
contamination risk to products.
Clothing shall be clean at the commencement of
each shift and maintained in a serviceable
condition. Excessively soiled uniforms shall be
changed where they present a product
contamination risk.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) No hand wash basins available for
personnel
(m) Hand wash basins not located at
accessible points
(m) Hand wash basins not located at
personnel access points
(m) Hand was basin not constructed
of appropriate material
(m) Hand wash basin does not have
water at appropriate temperature
(m) No liquid soap available at hand
wash station
(m) No paper towels available at hand
wash station
(m) No means to contain used paper
towels available at hand wash station
(m) No signage available for
personnel to wash their hands
(m) Signage for hand washing is not
located in prominent position
(M) Personnel observed in food
handling area with dirty hands
(M) Personnel observed not washing
hands upon entering processing area
(M) Personnel observed not washing
hands upon leaving restroom
(M) Personnel observed not washing
hands after handling hoses or trash
(M) Personnel observed not washing
hands after eating, drinking, or
smoking
(m) Personnel seen using gloves
instead of following hand washing
requirements
(m) Facility policy on gloves does not
require proper hand washing
protocols
(m) Clothing worn by staff is not
properly maintained
(m) Staff clothing in processing area is
not clean
(m) Staff clothing used in high risk
processing areas is worn off site
(M) Staff clothing presents a hazard
to product
(m) Staff clothing not clean at the
start of each shift
(m) Excessive dirty uniforms not
changed as necessary
 Clause
13.3.4.1 Jewelry and Personal Effects
13.3.4.2 Jewelry and Personal Effects
13.3.5.1 Visitors
13.3.5.2 Visitors
13.3.6.1 Staff Amenities
13.3.7.1 Change Rooms
13.3.7.2 Change Rooms
13.3.8.1 Sanitary Facilities
Item
Jewelry and other loose objects shall not be worn
or taken into a product handling area or any area
where packaging is exposed. The wearing of
plain bands with no stones and medical alert
bracelets that cannot be removed can be
permitted, however the supplier will need to
consider their customer requirements and the
applicable food legislation.
The wearing of plain bands with no stones and
medical alert bracelets that cannot be remorved
can be permitted, however the supplier will need
to consider their customer requriements and the
applicable food legislation.
All visitors, including management and
maintenance staff, shall wear suitable clothing
and footwear when entering any packaging
handling or storage area.
Visitors shall enter and exit packaging handling or
storage area through the proper staff entrance
points and comply with all hand washing and
personal practice requirements.
Staff amenities supplied with appropriate lighting
and ventilation shall be made available for the
use of all persons engaged in the handling and
storage of food contact packaging.
Facilities shall be provided to enable staff and
visitors to change into and out of protective
clothing as required.
Provision shall be made for staff to store their (m) No amenities available for the
street clothing and personal items separate from storage of staff personal items
packaging handling or storage areas. (m) Storage of personal items is not
separated from processing areas
Toilet rooms shall be designed and constructed
so that they are accessible to staff and separate
from any packaging handling or storage
operations, accessed from the manufacturing
area via an airlock vented to the exterior or
through an adjoining room, sufficient in number
for the maximum number of staff, constructed so
that they can be easily cleaned and maintained
and kept clean and tidy.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Staff in processing area observed
wearing jewelry
(m) Staff in processing areas observed
wearing loose objects
(m) No control process in place for
addressing jewelry for employees and
visitors
(m) Visitors observed wearing
unsuitable footwear or clothing in
processing areas
(m) Management observed not
following company protocol on
clothing or footwear
(m) Visitors observed not following
facility protocols on hygiene
(m) Visitors observed not following
facility protocols on access to
processing and handling areas
(m) Staff amenities do not have
adequate lighting
(m) Staff amenities do not have
adequate ventilation
(m) Staff amenities are not available
to all staff who handle product
(m) No adequate amenities for
visitors and staff
(m) Amenities are not available to
change into protective clothing
(M) Toilets open directly into
processing areas with no other
controls in place
(m) Toilets are not adequate in
number for the maximum number of
staff
(m) Toilets can not be easily cleaned
(m) Toilets are not constructed so
that they can be easily maintained
(m) Toilets are untidy and/or dirty
 Clause Item
13.3.8.2 Sanitary Facilities Sanitary drainage shall not be connected to any
other drains within the premises and shall be
directed to a septic tank or a sewerage system.
Procedure shall be documented and
implemented to properly manage sewage back-
ups in order to minimize the potential for
contamination.
13.3.8.3 Sanitary Facilities Hand wash basins shall be provided immediately (M) No hand was basins are available
outside or inside the toilet room and designed as near the toilets
outlined in 13.3.2.3.
13.3.9.1 Lunch Rooms Separate lunch room facilities shall be provided
away from packaging handling or storage areas.
Lunch rooms shall be kept clean and tidy and free
from waste materials and pests.
13.3.9.2 Lunch Rooms Signage in appropriate languages advising people
to wash their hands before entering the food
processing areas shall be provided in a prominent
position in lunch rooms and at lunch room exits.
13.3.10.1 First Aid First aid facilities shall be provided to treat minor
injuries and suitable arrangements shall be
provided in circumstances when a patient
requires more specialized care.
13.4.1.1 Staff Engaged in Handling of Food Contact All personnel engaged in any packaging handling
Packaging and storage operations shall comply with the
following practices: personnel entry to
manufacturing areas shall be through the
personnel access doors only, all doors are to be
kept closed. Doors shall not be left open for
extended periods when access for waste removal
or receiving of product/ingredient/packaging is
required, packaging material shall be kept in
appropriate containers as required and off the
floor, waste shall be contained in the bins
identified for this purpose and removed from the
processing area on a regular basis and not left to
accumulate.
13.4.1.2 Staff Engaged in Handling of Food Contact The manufacturing process shall be controlled
Packaging such that the packaging material produced is
food safe and free from contamination.
Procedures shall be in place to prevent cross
contamination of food contact packaging from
raw materials, recycled materials, or chemicals.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) Sanitary drainage is connected to
drains within processing facility
(m) Hand wash basin near the toilets
do not meet section 11.3.2.2
(m) Lunch facilities are not separated
from processing areas
(m) Lunch facilities are not separated
from product storage or handling
area
(m) No hand wash sign available at
the exit of the lunch facility
(m) Signage at the exit of the lunch
facility is not in correct languages
(m) No first aid facilities are available
(m) No arrangements have been
made to provide for more specialized
care as required
(m) Personnel observed not following
facility protocols on access to
processing and handling areas
(m) Exterior doors open with no
protective controls in place
(M) Exterior doors directly into
processing areas or handling areas
left open with no controls in place
(M) Employees observed not washing
hands upon entering processing area
(m) Employees observed not
following hand washing protocols
upon entering processing areas
(m) Employees observed wearing
false fingernails in food handling
areas
(m) Employees observed wearing
fingernail polish in food handling
areas
(M) Food product or ingredients
found on floor
(m) Food product or ingredients
stored in non-appropriate containers
(M) Packaging material that will
directly contact food is stored on
floor
(m) Waste containers not properly
identified
(m) Waste containers in processing or
handling areas found overflowing
(m) Employees seen eating in
processing or handling areas
(M) Packaging material is not
produced if a food safe environment
(M) No procedures in place to
prevent cross contamination
 Clause Item
13.4.1.3 Staff Engaged in Handling of Food Contact All personnel engaged in the manufacture,
Packaging storage, transport and handling of packaging
materials shall ensure that products and
materials are handled and stored in such a way
as to prevent damage or product contamination.
13.5.1.1 Water Supply Adequate supplies of clean water shall be
provided for use during manufacturing
operations, as an ingredient and for cleaning the
premises and equipment.
13.5.1.2 Water Supply Supplies of hot and cold water shall be provided
as required to enable the effective cleaning of
the premises and equipment.
13.5.2.1 Monitoring Water Microbiology and Quality Water used for
i.the manufacture of food contact packaging;
ii. Cleaning product contact surfaces;
iii. the manufacture of steam that will come
in contact with food or used to heat water
that will come in contact with food
shall comply with local,
national or internationally recognized potable
water microbiological and quality
standards as required.
13.5.3.1 Water Delivery The delivery of water within the premises shall
ensure potable water is not contaminated.
13.5.3.2 Water Delivery The use of non-potable water shall be controlled
such that there is no cross contamination
between potable and non-potable water lines,
non-potable water piping and outlets are clearly
identified.
13.5.4.1 Air Quality Compressed air that contacts food or food
contact surfaces shall be clean and present no
risk to food safety
Secondary Response Primary Response Evidence Supplier Onsite Correction
(M) Materials are damaged
(M) Materials are stored in a manner
that may lead to product
contamination
(M) Water used in processing not
from a potable source
(m) Water used in processing does
not have adequate quantities
available
(M) No hot water available to clean
equipment
(M) No water available to clean
equipment
(m) Water supply to clean facility is
not adequate to properly clean
(M) Non potable water used to treat
or rinse product (Potential Critical)
(m) Water used as an ingredient does
not meet quality requirements
(M) Non-potable water used to clean
food contact surfaces
(M) Non-potable water used to make
ice
(m) Ice is made from water that does
not meet quality requirements
(m) Non-potable water used to create
steam that will come in contact with
food
(M) Water supply is not adequately
protected
(m) A cross connection exists that
could result in a back flow of water
(m) There is a possible cross
contamination between potable and
non-potable water lines
(M) Potable water has been
contaminated by non-potable water
(m) Non-potable water pipes and
outlets are not labeled
(m) No non-return devices are
installed
(M) on non-potable
Compressed water
air that is lines
in contact
with food is not filtered or otherwise
treated
(m) Filters are not checked or
changed
(m) The facility does not have a
standard for microbiological purity of
compressed air that contacts food
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
13.5.4.2 Air Quality Compressed air systems (M) Compressed air that is in contact
used in the production process shall be with food is not checked for purity
maintained and regularly monitored for
purity

13.6.1.1 Storage of Food Contact Packaging
Rooms used for the storage of food contact
packaging shall be located away from wet areas
and constructed to protect the product from
contamination and deterioration.
(m) Product storage rooms are
located near wet processing which
creates the potential for water
contamination
(m) Storage rooms are not adequately
designed to protect product

13.6.1.2 Storage of Food Contact Packaging
Equipment used for the storage of packaging
shall be constructed of impervious materials and
designed to enable cleaning of the floors and the
storage room.
(m) Packaging racks are made of
material that is not easily cleanable
(m) Packaging racks do not allow
access to floor/wall junction for
cleaning
(M) Packaging storage areas is found
to be a pest harborage area

13.6.1.3 Storage of Food Contact Packaging
Vehicles used in storage rooms shall be designed (M) Vehicle used in food processing,
and operated so as not to present a food safety storage, or cold storage areas release
hazard. hydrocarbon emissions
(M) Vehicles used present a hazard to
the food product

13.6.2.1 Storage of Equipment Storage rooms shall be designed and constructed (m) Equipment storage area does not
to allow for the hygienic and efficient storage of allow access for cleaning
equipment. (m) Equipment storage area does not
protect equipment during storage

13.6.3.1 Storage of Hazardous Chemicals and Toxic
Substances
Hazardous chemicals and toxic substances with
the potential for contamination of packaging
materials shall be stored so as not to present a
hazard to staff, packaging, or areas in which
packaging is handled, stored or transported.
(m) Chemicals present a hazard to
staff due to improper storage
(M) Chemicals are stored next to or
directly over product

13.6.4.1 Alternative Storage and Handling of Goods
Where goods described in 13.6.1 to 13.6.3 are (m) No risk analysis conducted for
held under temporary or overflow conditions alternative storage and handling of
that are not designed for the safe storage of goods
goods, a risk analysis shall be undertaken to
ensure there is no risk to the integrity of those
goods or contamination or adverse effect on food
safety and quality.

13.6.5.1 Loading, Transport and Unloading Practices
The practices applied during loading, transport
and unloading of food contact packaging shall be
documented, implemented and designed to
maintain appropriate storage conditions and
product integrity. Packaging shall be loaded,
transported and unloaded under conditions
suitable to prevent cross contamination.
(m) Methods for loading of products
are not documented
(m) Methods for the transportation of
products are not documented
(M) Methods developed for product
loading and transport do not
adequately protect product
(M) Cross contamination to product
potentially exists during transport and
loading
(M) Product contamination observed
during transportation and/or loading
(Potential Critical)
 Clause
13.6.6.1 Loading/Unloading
13.6.6.2 Loading/Unloading
13.7.1.1 Process Flow
13.7.1.2 Process Flow
13.7.2.1 Control of Foreign Matter
13.7.2.2 Control of Foreign Matter
Item
Vehicles (trucks/vans/containers) used for
transporting of food contact packaging shall be
inspected prior to loading to ensure they are
clean, in good repair, suitable for the purpose
and free from odors or other conditions that may
impact negatively on the product.
Loading practices shall be designed to minimize
unnecessary exposure of product to conditions
detrimental to maintaining product integrity.
The process flow shall be designed to prevent
cross contamination and organized so that there
is a continuous flow of product through the
process.
The flow of personnel shall be managed such
that the potential for contamination is minimized methods are not developed
The responsibility and methods used to prevent
foreign matter contamination of product shall be
documented, implemented and communicated
to all staff.
Inspections shall be performed to ensure plant
and equipment remains in good condition and
potential contaminants have not detached or
become damaged or deteriorated. The use of
temporary fasteners such as string, wire or tape
to fix or hold equipment shall not be permitted.
Secondary Response Primary Response Evidence Supplier Onsite Correction
(m) No pre-shipment review is
conducted on transportation vehicles
(m) Vehicles used to transport
product are not clean
(m) Vehicles used to transport
product are not properly maintained
(M) Loading and staging of product
exposed product to potential abuse
(m) Loading and/or staging practices
are potentially detrimental to product
(M) Foreign material prevention
(m) No responsibility for the
prevention of foreign material have
been defined
(m) Foreign material prevention
controls are not communicated to
staff
(M) Foreign material prevention
controls are not implemented
(M) No inspections conducted to
prevent foreign material
contamination of product
 Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction
13.7.2.3 Control of Foreign Matter The following preventative measures shall be (M) No glass register is developed
implemented where applicable to prevent glass (m) Glass register is not complete,
contamination: all glass objects or similar glass objects missing in register
material in food handling/contact zones shall be (m) Unapproved glass and brittle
listed in a glass register including details of their materials found in processing area
location, containers, equipment and other (m) No glass objective inspections of
utensils made of glass, porcelain, ceramics, processing areas conducted
laboratory glassware or other like material (m) Glass object inspections are not
(except where product is contained in packaging conducted regularly
made from these materials, or measurement (m) No inspection of glass instrument
instruments with glass dial covers or MIG dial covers or thermometers
thermometers required under regulation) shall conducted at start of each shift
not be permitted in food processing/contact
zones, conduct regular inspections of food
handling/contact zones to ensure they are free of
glass or other like material and to establish no
changes to the condition of the objects listed in
the glass register, inspect glass instrument dial
covers on processing equipment and MIG
thermometers at the start and finish of each shift
to confirm they have not been damaged.

13.7.2.4 Control of Foreign Matter
Wooden pallets and other wooden utensils used
in packaging handling and storage shall be
dedicated for that purpose, clean, maintained in
good order and their condition subject to regular
inspection.
(m) Wood used in
processing/handling area is dirty
(m) Wood used in
processing/handling area is not
maintained
(m) Wood used in processing areas is
not designed for the current use

13.7.2.5 Control of Foreign Matter
Loose metal objects on equipment, equipment (m) Loose materials found on
covers and overhead structures shall be removed processing equipment
or tightly fixed so as not to present a hazard. (M) Loose materials observed in food
contact zones that present a hazard
to product

13.7.3.1 Manageing foreign Matter contamintaion In all case of foreign matter contamination the
incdients affected batch or item shall be isolated
imspected, reworked or disposed of.

13.7.3.2 Manageing foreign Matter contamintaion
incdients
In circumstances where glass or similar material
breakage occurs the affected area is to be
isolated, cleaned and thoroughly inspected
(including cleaning equipment and footwear) and
cleared by a suitably responsible person prior to
the commencement of operations.

13.8.1.1 Dry and Liquid Waste Disposal
The responsibility and methods used to collect
and handle dry, wet and liquid waste and store
prior to removal from the premises shall be
documented and implemented.
(m) There are no methods for
handling waste documented
(m) The methods for handling waste
within premises are not adequate to
control all waste
(m) Methods do not include proper
storage of waste prior to disposal

13.8.1.2 Dry and Liquid Waste Disposal
Waste shall be removed on a regular basis and
not build up in food handling or storage areas.
Designated waste accumulation areas shall be
maintained in a clean and tidy condition until
such time as external waste collection is
undertaken.
(m) Waste is not regularly removed
from processing areas
(m) Waste collection areas are not
maintained and not cleaned
 Clause
13.8.1.3 Dry and Liquid Waste Disposal
Item Secondary Response Primary Response Evidence Supplier Onsite Correction
Trolleys, vehicles waste disposal equipment, (m) Containers for waste are not
collection bins and storage areas shall be properly maintained
maintained in a serviceable condition and (m) Trolleys, vehicles and equipment
cleaned and sanitized regularly so as not to used for waste are not properly
attract pests and other vermin. cleaned

13.8.1.4 Dry and Liquid Waste Disposal
A documented procedure shall be in place for the (M) No process is in place for the
controlled disposal of trademarked or other disposal of printed materials
printed materials. Where a contracted disposal
service is used, the disposal process shall be
reviewed regularly to confirm compliance.

13.8.1.5 Dry and Liquid Waste Disposal
Reviews of the effectiveness of waste
management will form part of daily hygiene
inspections and the results of these inspections
shall be included in the relevant hygiene reports.
(m) Daily inspections are not
conducted to monitoring handling of
waste
(m) Daily inspection to review waste
handling are not documented

13.9.1.1 Grounds and Roadways
The grounds and area surrounding the premises
shall be maintained to minimize dust and be kept
free of waste or accumulated debris so as not to
attract pests and vermin.
(m) Exterior paths and roadways are
not managed to minimize dust or
other hazards
(m) Exterior loading and unloading
areas are not maintained to minimize
hazards

13.9.1.2 Grounds and Roadways
Paths, roadways and loading and unloading areas (m) Surroundings are cluttered and
shall be maintained so as not to present a hazard untidy
to the food safety operation of the premises. (m) Grass and vegetation ids not kept
under control in surrounding areas
(m) Equipment is stored outside and
unprotected from the weather

13.9.1.3 Grounds and Roadways Surroundings shall be kept neat and tidy and not (m) External paths from amenities to
present a hazard to the hygienic and sanitary the facility are not sealed
operation of the premises.
Clause Item Secondary Response Primary Response Evidence Supplier Onsite Correction

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
 Clause Item
14.1.1.1 Premises Location The broker shall ensure that sites contracted to
store, handle, recoup, process or pack food, feed
and/or food packaging that are included within their
scope of certification, are located such that adjacent
and adjoining buildings, operations and land use do
not interfere with safe and hygienic operations, and
have appropriate food premises permits and/or
licenses relevant to local legislation.
14.1.1.2 Premises Location Measures shall be established to maintain a suitable
external environment, and the effectiveness of the
established measures shall be monitored and
periodically reviewed.
14.2.1.1 Materials and Surfaces The broker shall ensure that sites contracted to
store, handle, recoup, process or pack food, feed
and/or food packaging that are included within their
scope of certification, are constructed of materials
that will not contribute a food safety risk.
14.2.2.1 Floors, Drains and Waste The broker shall ensure that floors in contracted
sites are constructed of smooth, dense impact
resistant material that can be effectively graded,
drained, impervious to liquid and easily cleaned.
14.2.2.2 Floors, Drains and Waste The broker shall ensure that floors in contracted
sites are sloped to floor drains at gradients suitable
to allow the effective removal of all overflow or
waste water under normal working conditions.
14.2.2.3 Floors, Drains and Waste The broker shall ensure that drains in contracted
sites are constructed and located so they can be
easily cleaned and not present a hazard.
14.2.2.4 Floors, Drains and Waste The broker shall ensure that waste traps in
contracted sites are located away from any food
handling area or entrance to the premises.
14.2.3.1 Walls, Partitions, Doors The broker shall ensure that walls, partitions, ceilings
and Ceilings and doors in contracted sites are of durable
construction. Internal surfaces shall be smooth and
impervious with a light colored finish, and are kept
clean (refer to element 14.2.14.1)
14.2.3.2 Walls, Partitions, Doors The broker shall ensure that wall-to-wall and wall-to-
and Ceilings floor junctions in contracted sites are designed to be
easily cleaned and sealed to prevent the
accumulation of food debris.
14.2.3.3 Walls, Partitions, Doors The broker shall ensure that ducting, conduit and
and Ceilings pipes that convey services such as steam or water at
contracted sites are designed and constructed so as
to allow ease of cleaning.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that the location of the contracted site
does not pose a hygiene risk
(m) The broker does not ensure that the location of the contracted site
does not pose a food safety risk
(m) Methods to manage exterior environmental risks are not being
monitored
(m) Methods to manage exterior environmental risks are not being
reviewed
(M) The broker does not ensure that product contact surfaces at the
contracted site are constructed of materials that do not pose a food safety
risk
(m) The broker does not ensure that non-food contact surfaces at the
contracted site are constructed of materials that do not pose a food safety
risk
(m) The broker does not ensure that floors at the contract site are smooth
and easily cleanable
(m) The broker does not ensure that floors at the contract site are graded
properly
(m) The broker does not ensure floors at the contract site are made of an
appropriate material
(m)The broker does not ensure that floors at the contract site drain
properly
(m)The broker does not ensure that floors at the contract site do not have
excessive water buildup
(m) The broker does not ensure that drain construction at the contracted
site do not pose a food safety risk
(m) The broker does not ensure that drain location at the contracted site
do not pose a food safety risk
(m) The broker does not ensure that waste traps at the contracted site are
not located close to food handling areas or entrance to the facility
(m) The broker does not ensure that walls at the contracted site are of
solid construction
(m) The broker does not ensure that partitions at the contracted site are of
solid construction
(m) The broker does not ensure that doors at the contracted site are of
solid construction
(m) The broker does not ensure that ceilings at the contracted site are of
solid construction
(m) The broker does not ensure that walls, partitions, ceilings, and doors at
the contracted sites are kept clean
(M) The broker does not ensure that condition of walls, partitions, doors,
ceilings at the contracted sites do not pose a food safety risk
(m) The broker does not ensure that wall to wall junctions at the
contracted site are constructed properly
(m) The broker does not ensure that floor to wall junctions at the
contracted site are constructed properly
(m) The broker does not ensure that ducting at the contracted site is
constructed so as not to pose difficulty in cleaning
(m) The broker does not ensure that conduits at the contracted site are
constructed so as not to pose difficultly in cleaning
(m) The broker does not ensure that pipes at the contracted site are
constructed so as not to pose difficultly in cleaning
 Clause
14.2.3.4 Walls, Partitions, Doors
and Ceilings
14.2.3.5 Walls, Partitions, Doors
and Ceilings
14.2.3.6 Walls, Partitions, Doors
and Ceilings
14.2.3.7 Walls, Partitions, Doors
and Ceilings
14.2.4.1 Lighting and Light Fittings The broker shall ensure that lighting in warehouses
14.2.4.2 Lighting and Light Fittings Light fittings in areas where the broker’s food
14.2.4.3 Lighting and Light Fittings Light fittings in other areas where product and
14.2.5.1 Inspection Area
14.2.5.2 Inspection Area
Item
The broker shall ensure that doors, hatches and
windows and their frames at contracted sites are of
a material and construction which meets the same
functional requirements for internal walls and
partitions.
i. Doors and hatches shall be of solid construction;
and
ii. Windows shall be made of shatterproof glass or
similar material.
The broker shall ensure that food at contracted sites
is processed and handled in areas that are fitted
with a ceiling or other acceptable structure that is
constructed and maintained to prevent the
contamination of products.
The broker shall ensure that drop ceilings at
contracted sites are constructed to enable
monitoring for pest activity, facilitate cleaning and
provide access to utilities.
The broker shall ensure that stairs, catwalks and (m) The broker does not ensure that stairs and catwalks at the contracted
platforms in food processing and handling areas in site do not pose a food safety hazard
contracted sites are designed and constructed so as
not to present a product or primary packaging
contamination risk, and are kept clean (refer to
element 14.2.14.1).
where the broker’s food product and primary
packaging is exposed shall be of appropriate
intensity to enable the staff to carry out their tasks
efficiently and effectively.
product and primary packaging is recouped or
exposed shall be shatterproof, manufactured with a
shatterproof covering or fitted with protective
covers and recessed into or fitted flush with the
ceiling. Where fittings cannot be recessed,
structures must be protected from accidental
breakage, manufactured from cleanable materials
and addressed in the cleaning and sanitation
program.
primary packaging is protected shall be designed
such as to prevent breakage and product
contamination.
The broker shall ensure that sites contracted to
store, handle, recoup, process or pack food, feed
and/or food packaging that are included within their
scope of certification have a suitable area for the
inspection of the product if required.
The inspection area shall be provided with facilities
that are suitable for examination of the style of
product being processed. The inspection area shall
have:
i. Easy access to hand washing facilities; and
ii. Sufficient lighting intensity to enable as thorough
inspection of the product as required.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that door at the contracted site are of solid
construction
(m) The broker does not ensure thatwindows at the contracted site are of
solid construction
(M) The broker does not ensure that windows at the contracted site are
made of shatterproof glass in product contact areas
(m) The broker does not ensure that windows at the contracted site are
made of shatterproof glass in non-product contact areas
(m) The broker does not ensure that ceilings at the contracted site are of
sound construction
(M) The broker does not ensure that ceiling construction at the contracted
site do not pose a food safety hazard to the product
(m) The broker does not ensure that drop ceilings at the contracted site are
constructed so as to enable monitoring of pest activity
(m) The broker does not ensure that drop ceilings at the contracted site are
constructed to enable cleaning
(m) The broker does not ensure that drop ceilings at the contracted site are
constructed to facilitate access to utilities
(m)The broker does not ensure that lighting intensity at the contracted site
is sufficient in food processing areas
(m) The broker does not ensure that lighting intensity at the contracted site
is sufficient at inspection stations
(m) The broker does not ensure that light fittings are protected at the
contracted site
(M) The broker does not ensure that light fixtures are shatterproof or
protected and do not pose a threat to product safety at the contracted site
(m) The broker does not ensure that Llight fittings in warehouse areas at
the contracted site do not pose a risk to product safety
(m) The broker does not ensure that there is an area designated as a
product inspection area at the contracted sites
(m) The broker does not ensure that the area designated for product
inspection is suitable at the contracted sites
(m) The product inspection areas in facilities contracted by the broker do
not have easy access to hand washing facilities
(m) The product inspection areas do not have sufficient lighting in facilities
contracted by the broker
 Clause Item
14.2.6.1 Dust, Fly and Vermin Proo In facilities contracted by the broker to store or
handle product or primary packaging, the broker
shall ensure that all external windows, ventilation
openings, doors and other openings shall be
effectively sealed when closed and proofed against
dust, vermin and flies.
14.2.6.2 Dust, Fly and Vermin Proo In facilities contracted by the broker to store or
handle product or primary packaging, the broker
shall ensure that personnel access doors shall be
provided that are effectively fly-proofed and fitted
with a self-closing device.
14.2.6.3 Dust, Fly and Vermin Proo In facilities contracted by the broker to store or
handle product, the broker shall ensure that external
doors, including overhead dock doors, used for
product, pedestrian or truck access shall be fly-
proofed by at least one or a combination of the
following methods:
i. A self-closing device;
ii. An effective air curtain;
iii. A fly-proof screen;
iv. A fly-proof annex;
v. Adequate sealing around trucks in docking areas
14.2.6.4 Dust, Fly and Vermin Proo In facilities contracted by the broker to store or
handle product or primary packaging, the broker
shall ensure that electric insect control devices,
pheromone or other traps and baits shall be located
so as not to present a contamination risk to product,
packaging, containers or processing equipment.
14.2.7.1  Ventilation The broker shall ensure that there is adequate
ventilation in enclosed storage and food handling
areas in contracted sites.
14.2.7.2 Ventilation The broker shall ensure that extractor fans and
canopies are provided at contracted sites in areas
where cooking operations are carried out or a large
amount of steam is generated and shall have the
following features:
i. Capture velocities shall be sufficient to prevent
condensation build up and to evacuate all heat,
fumes and other aerosols to the exterior via an
exhaust hood positioned over cooker;
ii. Fans and exhaust vents shall be fly proofed and
located so as not to pose a contamination risk; and
iii. Where appropriate, a positive air-pressure system
shall be installed to prevent airborne contamination.
14.2.8.1 Premises and Equipment The broker shall ensure that the methods and
Maintenance responsibility for the maintenance and repair of food
storage areas, equipment and buildings used to
store, handle, recoup, process or pack food or feed
products that are included within their scope of
certification, are documented, planned and carried
out in a manner that minimizes the risk to product
safety.
Secondary Response Primary Response Evidence
(m) Windows are not protected and sealed against dust or pests in facilities
contracted by the broker
(m) Doors are not adequately protected against dust or pests in facilities
contracted by the broker
(M) There is a risk of dust or pest contamination of product in facilities
contracted by the broker
(m) Personnel doors are not self closing in facilities contracted by the broker
(m) External door(s) are not adequately fly-proofed in the facility
contracted by the broker
(m) Sealing around trucks in docking areas is not adequate in the facility
contracted by the broker
(m) The locations of Insect devices pose a threat to product in the facility
contracted by the broker
(m) The locations of Insect devices pose a threat to equipment in the
facility contracted by the broker
(m) Bait is used inside food storage areas or processing areas The locations
of Insect devices pose a threat to product in the facility contracted by the
broker
(m) The broker does not ensure that food processing areas have adequate
ventilation at the contracted site
(m) The broker does not ensure that condensation is limited in cooker
areas at the contracted site
(m) The broker does not ensure that exhaust vents are adequately fly
proofed at the contracted site
(M) The broker does not ensure that positive air pressure is available in
high risk processing areas at the contracted site
(m) The broker does not ensure that cooking areas are adequately
exhausted at the contracted site
(m) The broker does not ensure that there is a planned maintenance
schedule at the contracted site
(M) The broker does not ensure that maintenance activities at the contract
site does not pose risk product safety and integrity
 Clause Item
14.2.8.2 Premises and Equipment The broker shall ensure that maintenance staff at
Maintenance contracted sites observes the following practices
when undertaking maintenance and repairs in any
handling or storage area:
i. Routine maintenance of food storage areas and
equipment shall be performed according to a
maintenance-control schedule and recorded;
ii. Failures of facility and equipment shall be
documented, reviewed and their repair incorporated
into the maintenance control schedule;
iii. Compliance with the personnel and process
hygiene requirements (refer 14.3.1, 14.3.2, 14.3.3,
14.3.4) by maintenance staff and contractors;
iv. Ensure supervisors are notified when
maintenance or repairs are to be undertaken in any
food handling area;
v. Inform the maintenance supervisor and the facility
supervisor if any repairs or maintenance pose a
potential threat to product safety (i.e. pieces of
electrical wire, damaged light fittings, and loose
overhead fittings). When possible, maintenance is to
be conducted outside processing times;
vi. Remove all tools and debris from any
maintenance activity once it has been completed
and inform the area supervisor and maintenance
supervisor so appropriate hygiene and sanitation can
be completed prior to the commencement of facility
operations.
14.2.8.3 Premises and Equipment The broker shall ensure that a maintenance schedule
Maintenance shall be prepared at contracted sites to cover
building, equipment and other areas of the premises
critical to the maintenance of product safety and
quality.
14.2.8.4 Premises and Equipment The broker shall ensure that equipment located over
Maintenance exposed product or product conveyors at contracted
sites is lubricated with food grade lubricants and
their use controlled so as to minimize the
contamination of product.
14.2.8.5 Premises and Equipment The broker shall ensure that paint used in a food or
Maintenance primary packaging handling or contact zone at
contracted sites is suitable for use and in good
condition and shall not be used on any product
contact surface.
14.2.9.1 Calibration The broker shall ensure that the methods and
responsibility for the calibration and re-calibration of
measuring, test and inspection equipment used for
monitoring safety and quality activities, food safety
plans and food quality plans for products included
within the scope of certification, shall be
documented and implemented.
14.2.9.2 Calibration The broker shall ensure that procedures are
documented and implemented at contracted sites to
address the disposition of potentially affected
product should measuring, test and inspection
equipment be found to be out of calibration state.
14.2.9.3 Calibration The broker shall ensure that calibrated measuring,
test and inspected equipment at contracted sites are
protected from damage and unauthorized
adjustment.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that maintenance staff at the contracted
site follow food safety and hygiene practices
(M) The broker does not ensure that maintenance contractors follow food
safety and hygiene practices at contracted site
(m)The broker does not ensure that activities in the preventative
maintenance schedule are documented at the contracted site
(m) The broker does not ensure that plant failures that are documented at
the contracted site
(m) The broker does not ensure that equipment failures are documented at
the contracted site
(m) The broker does not ensure that failure are incorporated into the
maintenance control schedule at the contracted site
(m) The broker does not ensure that the contracted site has the personal
hygiene practices developed for maintenance activities
(m) The broker does not ensure that supervisors at the contracted site are
notified when repairs are made in food handling area
(m) The broker does not ensure that all tools, parts and debris at the the
contracted site is removed from repair areas
(M) The broker does not ensure that sanitation activities occur after
maintenance repairs in food processing area at the contracted site
(M) The broker does not ensure that notification occurs when potential risk
to product is evident
(m) The broker is not ensuring maintenance schedule is included critical
areas of facility at the contracted sites
(m) The broker is not ensuring maintenance schedule is included critical
areas of equipment at the contracted sites
(M)The broker does not ensure that non-food grade lubricant is not used
in food contact zones at the contracted sites
(m) The broker does not ensure that non-food grade lubricant is not used
on food handling conveyors at the contracted sites
(m) The broker does not ensure that food grade lubricant is used, but is
unlikely to contact product at the contracted sites
(M) The broker does not ensure that paint is not used on product contact
surfaces at the contracted site
(M) The broker does not ensure that the calibration methods for
monitoring equipment are documented at the contracted site
(m) The broker does not ensure that methods for calibration of equipment
include responsibilities for calibration methods at the contracted site
(m) The broker does not ensure that procedures are in place address
disposition of potentially affected product at the contracted site
(M) The broker does not ensure that potentially affected product is
adequately disposed at the contracted site
(m) The broker does not ensure that calibrated equipment is protected
from damage at the contracted site
(m) The broker does not ensure that calibrated equipment is subject only
to authorized adjustment at the contracted site
 Clause
14.2.9.4 Calibration
14.2.9.5 Calibration
14.2.9.6 Calibration
14.2.10.1 Management of Pests
and Vermin
14.2.10.2 Management of Pests
and Vermin
14.2.10.3 Management of Pests
and Vermin
Item
The broker shall ensure that equipment at
contracted sites is calibrated against national or
international reference standards and methods or to
accuracy appropriate to its use.
The broker shall ensure that calibration at
contracted sites is performed according to
regulatory requirements and/or to the equipment
manufacturers recommended schedule.
Calibration records shall be maintained and made
available to the broker.
The broker shall ensure that the methods and
responsibility for integrated pest management of
food storage areas, equipment and buildings used to
store, handle, recoup, process or pack food, feed, or
food packaging shall be documented and effectively
implemented. The premises, its surrounds, storage
facilities, machinery and equipment shall be kept
free of waste or accumulated debris so as not to
attract pests and vermin.
The broker shall ensure that the pest and vermin
management program at contracted sites complies
with the following:
i. Describe the methods and responsibility for the
development, implementation and maintenance of
the pest and vermin management program;
ii. Identify the target pests for each pesticide
application;
iii. Outline the methods used to prevent pest
problems;
iv. Outline the pest elimination methods;
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;
vii. List the chemicals used (they are required to be
approved by the relevant authority and their or
Safety Data Sheets (SDS) made available);
viii. Outline the methods used to make staff aware
of the bait control program and the measures to
take when they come in contact with a bait station;
ix. Outline the requirements for staff awareness and
training in the use of pest and vermin control
chemicals and baits; and
x. Measure the effectiveness of the program to
verify the elimination of applicable pests.
The broker shall ensure that records of all pest
control applications at contracted sites are
maintained and made available to the broker.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that calibration standards are known at the
contracted site
(M) The broker does not ensure that calibration standards are followed at
the contracted site
(m) The broker does not ensure that the calibration schedule meets
regulatory requirements at the contracted site
(m) The broker does not ensure that a calibration schedule has been
developed at the contracted site
(m) The broker does not ensure that the calibration schedule follows the
recommended frequency at the contracted site
(M) No calibration records are maintained at the contracted site
(m) Calibrations records are not complete at the contracted site
(M) The broker does not ensure that methods for integrated pest
management are documented at the contracted site
(m) The broker does not ensure that the responsibility of integrated pest
management is identified at the contracted site
(m) The broker does not ensure that the pest management program
includes exterior or surrounding areas at the contracted site
(M) The broker does not ensure that the methods for the pest
management program are developed at the contracted site
(m) The broker does not ensure that target pests are included in program
at the contracted site
(m)The broker does not ensure that the methods used to prevent pest
problems are defined at the contracted site
(m) The broker does not ensure that the methods used to eliminate pests
are defined at the contracted site
(m) The broker does not ensure that the frequency for checking of pest
status is developed at the contracted site
(m) The broker does not ensure that the frequency of checking pest control
devices is followed by responsible personnel at the contracted site
(m) The broker does not ensure that a site map of pest control devices is
available at the contracted site
(M)The broker does not ensure that a list of chemicals used for pest control
is available at the contracted site
(m) The broker does not ensure that a list of chemical used for pest control
is complete at the contracted site
(M)The broker does not ensure that all pest control chemicals used at the
contracted site are approved
(m) The broker does not ensure that MSDS are available for one pest
control chemical used at the contracted site
(M) The broker does not ensure that MSDS are available for any pest
control chemical used at the contracted site
(m) The broker does not ensure that staff awareness of pest control devices
is not evident at the contracted site
(m) The broker does not ensure that staff awareness of pest control
chemicals and baits iws not evident at the contracted site
(m) The broker does not ensure that measures for the effectiveness of the
pest program are in place at the contracted site
(M) The broker is not ensuring the inspections are made of pest control
devices at the contracted sites
(m) The broker is not ensuring the Inspections of pest control devices are
made by trained personnel at the contracted sites
(m) The broker is not ensuring that appropriate actions are taken when
issues are noted on pest control inspection at the contracted sites
 Clause
14.2.10.4 Management of Pests
and Vermin
14.2.10.5 Management of Pests
and Vermin
14.2.10.6 Management of Pests
and Vermin
14.2.11.1 Equipment, Utensils
and Protective Clothing
14.2.11.2 Equipment, Utensils
and Protective Clothing
Item
The broker shall ensure that pesticides and other
toxic chemicals used at contracted sites are clearly
labeled and stored as described in element 14.6.4
and handled and applied by properly trained
personnel. They shall be used by or under the direct
supervision of trained personnel with a thorough
understanding of the hazards involved, including the
potential for the contamination of food and food
contact surfaces.
The broker shall ensure that pest control contractors
used at contracted sites comply with the following:
i. 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. Provide a pest control management plan which
will include a site map indicating the location of bait
stations and traps;
v. Report to a responsible senior management
person on entering the premises and after the
completion of inspections or treatments; and
vi. Provide a written report of their findings and the
inspections and treatments applied.
The broker shall ensure that unused pest control
chemicals and empty containers at contracted sites
are disposed of in accordance with regulatory
requirements and ensure that:
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 waiting authorized disposal
by an approved vendor.
The broker shall ensure that equipment and utensils
used to store, handle, recoup, process or pack
products that are included within their scope of
certification, are designed, constructed, installed,
operated and maintained so as not to pose a
contamination threat to food or feed products or
primary packaging.
The broker shall ensure that benches, tables,
conveyors, mixers, mincers, graders and other
mechanical processing equipment used at
contracted sites are easily dismantled for cleaning
and located so as not to pose a hindrance to the
cleaning of the premises. Equipment surfaces shall
be smooth, impervious and free from cracks or
crevices.
Secondary Response Primary Response Evidence
(m) The broker is not ensuring the pest control records are maintained at
the contracted site
(m) The broker is not ensuring the pest control records are complete at the
contracted site
(m) The broker does not ensure that pesticides are properly labeled at the
contracted site
(m) The broker does not ensure that pesticides are properly stored at the
contracted site
(m) The broker does not ensure that pesticides are applied only by trained
personnel at the contracted site
(M) The broker does not ensure that the pest control operator is licensed at
the contracted site
(M)The broker does not ensure that pest control operator is approved by
the local relevant authority at the contracted site
(m) The broker does not ensure that the pest control operator reports to
facility management upon entry into the contracted site
(m) The broker does not ensure that the pest control operator is properly
trained at the contracted site
(m) The broker does not ensure that the pest control operator has a pest
control management plan at the contracted site
(m) The broker does not ensure that pest control operator leaves written
findings of inspection at the contracted site
(m) The broker does not ensure that the report left by the pest control
operator includes chemicals applied at the contracted site
(M) The broker does not ensure that the food contact equipment's design,
construction, or maintenance does not pose a food safety risk at the
contracted site
(M) The broker does not ensure that the design, construction, or
maintenance of food contact utensils does not pose a food safety risk at
the contracted site
(m) The broker does not ensure that non food contact equipment and
utensils are maintained at the contracted site
(m) The broker does not ensure that non food contact equipment and
utensils are properly designed at the contracted site
(m) The broker does not ensure that food processing equipment is properly
maintained at the contracted site
(m) The broker does not ensure that food processing equipment is properly
designed at the contracted site
 Clause Item
14.2.11.3 Equipment, Utensils The broker shall ensure that product containers,
and Protective Clothing tubs, bins for edible and inedible material used at
contracted sites are constructed of materials that
are non-toxic, smooth, impervious and readily
cleaned. Bins used for inedible material shall be
clearly identified.
14.2.11.4 Equipment, Utensils The broker shall ensure that waste and overflow
and Protective Clothing water from tubs, tanks and other equipment at
contracted sites is discharged direct to the floor
drainage system.
14.2.11.5 Equipment, Utensils The broker shall ensure that protective clothing in (m) The broker does not ensure that protective clothing is not liable to
and Protective Clothing areas where food product is recouped or exposed at contaminate food at the contracted site
contracted sites is manufactured from material that
is not liable to contaminate food and easily cleaned. cleaned at the contracted site
14.2.11.6 Equipment, Utensils The broker shall ensure that in areas at contracted
and Protective Clothing sites where food product is recouped or exposed,
racks shall be provided for the temporary storage of
protective clothing when staff leaves the processing
area and shall be provided in close proximity or
adjacent to the personnel access doorways and hand
washing facilities.
14.2.12.1 Cleaning and Sanitation The broker shall ensure that the methods and
responsibility for the cleaning of areas used to store,
handle, recoup, process or pack products, staff
amenities and toilet facilities shall be documented
and implemented. Consideration shall be given to:
i. What is to be cleaned;
ii. How it is to be cleaned;
iii. When it is to be cleaned;
iv. Who is responsible for the cleaning; and
v. The responsibility and methods used to verify the
effectiveness of the cleaning and sanitation
program.
14.2.12.2 Cleaning and Sanitation The broker shall ensure that provision is made at
contracted sites for the effective cleaning of
equipment, utensils and protective clothing.
14.2.12.3 Cleaning and Sanitation The broker shall ensure that suitably equipped areas
are designated at contracted sites for cleaning
product containers, utensils and protective clothing
that are used by cleaning staff in cleaning, sanitizing,
and maintaining the facility. Racks and containers
for storing cleaned utensils and protective clothing
shall be provided as required.
14.2.12.4 Cleaning and Sanitation The broker shall ensure that pre-operational hygiene
and sanitation inspections are conducted by
qualified personnel at contracted sites to ensure
food handling and storage areas, staff amenities and
sanitary facilities and other essential areas are clean.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that food contact utensils are properly
maintained at the contracted site
(m) The broker does not ensure that food contact utensils are properly
designed at the contracted site
(M) The broker does not ensure that containers for inedible materials are
properly labeled at the contracted site
(m) The broker does not ensure that waste water is discharged to the floor
drainage system at contracted site
(m) The broker does not ensure that waste water is properly drained at the
contracted site
(m) The broker does not ensure that protective clothing is easily
(M) The broker is not ensuring the racks are provided at the contracted site
(m) The broker is not ensuring racks are not poorly designed at the
contracted site
(m) The broker is not ensuring the racks are located near access doorways
at the contracted site
(M) The broker does not ensure that the contracted site has a documented
cleaning program
(M) The broker does not ensure that critical equipment and areas of the
contracted site are covered in the cleaning program
(m) The broker does not ensure that cleaning methods include what is to
be cleaned at the contracted site
(m) The broker does not ensure that cleaning methods include how items
are to be cleaned at the contracted site
(m) The broker does not ensure that cleaning methods include frequency
of cleaning at the contracted site
(m) The broker does not ensure that cleaning methods include the
responsibility for cleaning at the contracted site
(m) The broker does not ensure that the cleaning program includes
method for verification of the effectiveness of sanitation at the contracted
site
(M) The broker does not ensure that cleaning of processing equipment is
effective at the contracted site
(M)The broker does not ensure that cleaning of utensils is effective at the
contracted site
(m) The broker does not ensure that cleaning of protective clothing is
effective at the contracted site
(m) The broker does not ensure that cleaning of utensils is not carried out
close to processing operations at the contracted site
(m) The broker does not ensure that control of cleaning operations so as
not to contaminate product is effective at the contracted site
(m) The broker does not ensure that racks and areas for storing cleaned
utensils are provided at the contracted site
(m) The broker does not ensure that racks and areas for storing cleaned
utensils are available at the contracted site
(M) The broker does not ensure that pre-operational inspections are
completed at the contracted site
(m) The broker does not ensure that all critical areas of the facility are
included in pre-operational inspections at the contracted site
(m) The broker does not ensure that personnel conducting pre-operational
inspections are qualified at the contracted site
 Clause Item
14.2.12.5 Cleaning and Sanitation The broker shall ensure that the responsibility and
methods used to verify the effectiveness of the
cleaning procedures in contracted facilities is
documented and implemented.
14.2.12.6 Cleaning and Sanitation The broker shall ensure that detergents and
sanitizers that are used to clean, sanitize and
maintain the contracted facility are purchased in
accordance with applicable legislation. The
contracted facility shall ensure:
i. An inventory of all chemicals purchased and used
shall be maintained;
ii. Detergents and chemicals are stored as outlined in
14.5.4;
iii. Detergents and sanitizers are used in correct
concentrations;
iv. Safety Data Sheets (SDS) are provided for all
detergents and sanitizers purchased; and
v. Only trained staff handles sanitizers and
detergents.
14.2.12.7 Cleaning and Sanitation The broker shall ensure that unused detergents and
sanitizers and empty containers at contracted sites
are disposed of in accordance with regulatory
requirements and ensure that:
i. Empty detergent and sanitizer containers are
appropriately cleaned, treated and labeled before
use;
ii. Empty detergent and sanitizer containers are
labeled, isolated and securely stored while awaiting
collection; and
iii. Unused and obsolete detergents and sanitizers
are stored under secure conditions while waiting
authorized disposal by an approved vendor.
14.2.12.8 Cleaning and Sanitation The broker shall ensure that a record of cleaning and (m) The broker does not ensure that records of cleaning and sanitation
sanitation activities at contracted sites is maintained, activities are maintained at the contracted site
and made available to the broker.
14.3.1.1 Personnel The broker shall ensure that sites contracted to
store, handle, recoup, process or pack products or
primary packaging have procedures in place to
prevent personnel suffering from infectious diseases
or who are carriers of any infectious disease, from
working in areas where product is exposed, or in the
transportation of food, or engaging in food handling
operations.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that a sanitation verification schedule is
available at the contracted site
(m) The broker does not ensure that methods are established for
verification of sanitation at the contracted site
(m) The broker does not ensure that the responsibility for verification of
sanitation procedures is established at the contracted site
(m) The broker does not ensure that detergents or sanitizers meet local
regulatory requirements at the contracted site
(m) The broker does not ensure that the inventory of chemicals purchased
is available at the contracted site
(m) The broker does not ensure that the inventory of chemicals purchased
is current and up to date at the contracted site
(m) The broker does not ensure that detergents and/or sanitizers are
stored correctly at the contracted site
(M) The broker does not ensure that MSDS sheets are available for
detergents or sanitizers purchased at the contracted site
(m) The broker does not ensure that the personnel handling cleaning
chemicals are properly trained at the contracted site
(M) The broker does not ensure that cleaning chemicals are disposed of per
regulatory requirements at the contracted site
(m) The broker does not ensure that empty cleaning chemical containers
are labeled or properly treated at the contracted site
(m) The broker does not ensure that empty cleaning chemical containers
are properly isolated or secured at the contracted site
(m) The broker does not ensure that obsolete cleaning chemicals are
properly secured awaiting disposal at the contracted site
(m) The broker does not ensure that records of cleaning and sanitation
activities are complete at the contracted site
(m) The broker does not ensure that records of hygiene inspections are
maintained at the contracted site
(m) The broker does not ensure that records of cleaning and hygiene
inspections are complete at the contracted site
(M) The broker does not ensure that the procedures are in place to prevent
personnel who are engaged in product handling suffering from infectious
diseases or who are carriers of any infectious disease at the contracted site.
(Potential Critical)
(M) The broker does not ensure that personnel who have been ill with an
infectious illness shall not be involved in food processing at the contracted
site (Potential Critical)
 Clause Item
14.3.1.2 Personnel The broker shall ensure that personnel with exposed
cuts, sores or lesions in the contracted sites are not
engaged in handling exposed product or handling
packaging materials or food contact surfaces. Minor
cuts or abrasions on exposed parts of the body shall
be covered with colored bandage, or an alternative
suitable waterproof and colored dressing.
14.3.1.3 Personnel The broker shall ensure that smoking, chewing,
eating, drinking or spitting is not permitted in any
food or primary packaging handling or storage areas
on contracted sites where the broker’s product is
exposed.
14.3.2.1 Hand Washing The broker shall ensure that hand wash basins are
available in accessible locations throughout sites
that are contracted to store, handle, recoup, process
or pack products.
14.3.2.2 Hand Washing The broker shall ensure that hand wash basins at
contracted sites are constructed of stainless steel or
similar non-corrosive material and as a minimum
supplied with:
i. A potable water supply at an appropriate
temperature;
ii. Liquid soap contained within a fixed dispenser,
iii. Paper towels in a hands free cleanable dispenser;
and
iv. A means of containing used paper towels.
14.3.2.3 Hand Washing The broker shall ensure that the following additional
facilities are provided in high risk areas at contracted
sites:
i. Hands free operated taps; and
ii. Hand sanitizers.
14.3.2.4 Hand Washing The broker shall ensure that a sign advising people
to wash their hands, and in appropriate languages is
provided in a prominent position adjacent to hand
wash stations in contracted sites.
14.3.2.5 Hand Washing The broker shall ensure that personnel at contracted
sites have clean hands and hands shall be washed by
all personnel, including staff, contractors and
visitors:
i. After each visit to a toilet;
ii. After smoking, eating or drinking; and
iii. After handling wash down hoses or contaminated
material.
14.3.2.6 Hand Washing The broker shall ensure that, when gloves are used
at contracted sites, personnel maintain the hand
washing practices outlined above.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that personnel who are handling food
products have no sores or cuts on hands with no controls in place(Potential
Critical) at the contracted site
(M) The broker does not ensure that controls for personnel injuries to
hands include appropriate alert controls at the contracted site
(m) The broker does not ensure that bandages provided for cuts are
adequate at the contracted site
(M) The broker does not ensure that smoking, eating, drinking are not
permitted in food processing areas at the contracted site
(m) The broker does not ensure that there is evidence that smoking, eating,
drinking is not permitted in food handling area at the contracted site
(M) The broker does not ensure that smoking, eating or drinking in food
processing or handling areas is well controlled at the contracted site
(M) The broker is not ensuring the hand wash basins are available for
personnel at the contracted site
(m) The broker is not ensuring the hand wash basins are located at
accessible points at the contracted site
(m) The broker is not ensuring the hand wash basins are located at
personnel access points at the contracted site
(m) The broker is not ensuring the hand wash basins are constructed of
appropriate material at the contracted sites
(m) The broker is not ensuring the hand wash basins have water at
appropriate temperature at the contracted sites
(m) The broker is not ensuring that liquid soap shall be available at hand
wash station at the contracted sites
(m) The broker is not ensuring the paper towels shall be available at hand
wash station at the contracted sites
(m) The broker is not ensuring the means to contain used paper towels are
available at hand wash station at the contracted sites
(m) The broker does not ensure that hands free taps are used at hand wash
stations in high risk areas at the contracted site
(m) The broker does not ensure that hand sanitizer is used at hand wash
stations in high risk areas at the contracted site
(m) The broker does not ensure that signage is available for personnel to
wash their hands at the contracted site
(m) The broker does not ensure that signage for hand washing is located in
a prominent position at the contracted site
(M) The broker does not ensure that personnel in food handling area have
clean hands at the contracted site
(M) The broker does not ensure that personnel are washing their hands
upon entering the processing area at the contracted site
(M) The broker does not ensure that personnel are washing their hands
upon leaving restroom at the contracted site
(M) The broker does not ensure that personnel are washing their hands
after handling hoses or trash at the contracted site
(M) The broker does not ensure that personnel are washing their hands
after eating, drinking, or smoking at the contracted site
(m) The broker does not ensure that personnel using gloves are still
following hand washing requirements at the contracted site
(m) The broker does not ensure that the facility policy on gloves requires
proper hand washing protocols at the contracted site
 Clause Item
14.3.3.1 Clothing Brokers shall ensure that clothing worn by staff
engaged in handling food or primary packaging in
contracted sites is maintained, stored, laundered
and worn so as not to present a contamination risk
to product.
14.3.3.2 Clothing The broker shall ensure that staff engaged in high
risk areas in contracted sites change into clean
clothing or don temporary protective outerwear
when entering high risk areas.
14.3.3.3 Clothing The broker shall ensure that clothing is clean at the
commencement of each shift and maintained in a
serviceable condition at contracted sites.
14.3.3.4 Clothing The broker shall ensure that disposable gloves and
aprons are changed and disposed of appropriately
after each break, upon re-entry into the processing
area at contracted sites, and when damaged.
Disposable aprons and gloves shall be cleaned and
sanitized as required and when not in use stored on
racks provided in the processing area and not on
packaging, ingredients, product or equipment.
14.3.4.1 Jewelry and Personal Effec The broker shall ensure that jewelry and other loose
objects are not worn or taken into a food or primary
packaging handling areas or any area where food is
recouped at contracted sites. The wearing of plain
bands with no stones and medical alert bracelets
that cannot be removed can be permitted, however
the supplier will need to consider their customer
requirements and the applicable food legislation.
14.3.5.1 Visitors The broker shall ensure that all visitors, including
management, maintenance staff and broker
personnel, wear suitable clothing and footwear
when entering any facility contracted to store,
handle, recoup, process or pack food or feed
products
14.3.5.2 Visitors The broker shall ensure that all visitors are required (m) The broker does not ensure that visitors remove jewelry in processing
to remove jewelry and other loose objects at
contracted sites.
14.3.5.3 Visitors The broker shall ensure that visitors exhibiting visible (M) The broker does not ensure that the visitors at the contracted site
signs of illness are prevented from entering areas in show no signs of illness in processing areas
which food is handled or exposed at contracted
sites.
14.3.5.4 Visitors The broker shall ensure that visitors enter and exit
food handling areas through the proper staff
entrance points and comply with all hand washing
and personal practice requirements at contracted
sites.
14.3.6.1 Staff Amenities The broker shall ensure that staff amenities at
contracted sites are supplied with appropriate
lighting and ventilation and are made available for
the use of all persons engaged in the handling and
processing of product.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that clothing worn by staff is properly
maintained at the contracted site
(m) The broker does not ensure that staff clothing in processing area is
clean at the contracted site
(m) The broker does not ensure that staff clothing used in high risk
processing areas at the contracted site is not be worn off site
(M) The broker does not ensure that staff clothing presents no hazard to
product at the contracted site
(M) The broker does not ensure that there is clean or temporary clothing
available for staff in high risk areas at the contracted site
(M) The broker does not ensure that staff in high risk areas wear correct
clothing at the contracted site
(m) The broker does not ensure that staff clothing is clean at the start of
each shift at the contracted site
(m) The broker is not ensuring excessive dirty uniforms changed as
necessary at the contracted site
(m) The broker does not ensure that disposable gloves are not reused by
staff at the contracted site
(m) The broker does not ensure that non-disposable gloves and/or aprons
are properly cleaned between usage at the contracted site
(m) The broker does not ensure that disposable gloves and aprons are
changed upon re-entry into processing area at the contracted site
(m) The broker does not ensure that staff in processing area do not wear
jewelry and other loose objects at the contracted site
(m) The broker does not ensure that there is a control process in place for
addressing jewelry for employees and visitors at the contracted site
(m) The broker does not ensure that visitors wear suitable footwear or
clothing in processing areas at the contracted site
(m) The broker does not ensure that management follow company
protocol on clothing or footwear at the contracted site
or handling areas at the contracted site
(m) The broker does not ensure that visitors remove unsuitable loose
items in processing or handling areas at the contracted site
(m) The broker does not ensure that visitors at the contracted site are
following facility protocols on hygiene
(m) The broker does not ensure that visitors at the contracted sites are
following facility protocols on access to processing and handling areas
(m) The broker does not ensure that there is adequate lighting for staff
amenities at the contracted site
(m) The broker does not ensure that there is adequate ventilation for staff
amenities at the contracted site
(m) The broker does not ensure that staff amenities are available to all staff
who handle product at the contracted site
 Clause
14.3.7.1 Change Rooms
14.3.7.2 Change Rooms
14.3.7.3 Change Rooms
14.3.7.4 Change Rooms
14.3.7.5 Change Rooms
14.3.8.1 Sanitary Facilities
14.3.8.2 Sanitary Facilities
14.3.8.3 Sanitary Facilities
14.3.9.1 Lunch Rooms
Item
The broker shall ensure facilities are provided at
contracted sites to enable staff and visitors to
change into and out of protective clothing as
required.
The broker shall ensure that change rooms are
provided at contracted sites for staff engaged in the
processing of high risk foods or processing
operations in which clothing can be soiled.
The broker shall ensure that provisions are made at
contracted sites for staff to store their street
clothing and personal items separate from food
contact zones and food and packaging storage areas.
The broker shall ensure that, where required, a
sufficient number of showers are provided at
contracted sites for use by staff.
The broker shall ensure that provision is made at
contracted sites for the laundering and storage of
clothing worn by staff engaged in high risk processes site
and for staff engaged in processing operations in
which clothing can be heavily soiled.
The broker shall ensure that toilets in facilities
contracted to store, handle, recoup, process or pack
products are:
i. Designed and constructed so that they are
accessible to staff and separate from any food
handling operations;
ii. Accessed from the warehouse or product handling
area via an airlock vented to the exterior or through
an adjoining room;
iii. Sufficient in number for the maximum number of
staff;
iv. Constructed so that they can be easily cleaned
and maintained; and
v. Kept clean and tidy.
The broker shall ensure that sanitary drainage at
contracted sites is not connected to any other drains drains within processing facility at the contracted site
within the premises and is directed to a septic tank
or a sewerage system. A procedure shall be
documented and implemented to properly manage
sewage back-ups in order to minimize the potential
for contamination.
The broker shall ensure that hand wash basins are
provided at contracted sites immediately outside or
inside the toilet room and designed as outlined in
14.3.2.2.
The broker shall ensure that separate lunch rooms
are provided at contracted sites away from a food
handling or storage areas.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that there are adequate amenities for
visitors and staff at the contracted site
(m) The broker does not ensure that amenities are available to change into
protective clothing at the contracted site
(m) The broker does not ensure that change rooms are provided for high
risk personnel at the contracted site
(m) The broker does not ensure that change rooms are provided for
personnel engaged in highly soiled processing at the contracted site
(m) The broker does not ensure that amenities are available for the storage
of staff personal items at the contracted site
(m) The broker does not ensure that storage of personal items is separated
from processing areas at the contracted site
(m) The broker does not ensure that enough showers are available where
they are required at the contracted site
(m) The broker does not ensure that laundering and stroage of clothing
worn by staff engaged in high risk processes is available at the contracted
(M) The broker does not ensure that toilets are seperated from the
processing areas at the contracted site
(m) The broker does not ensure that there is an adequate number of toilets
available for the maximum number of staff at the contracted site
(m) The broker does not ensure that toilets at the contracted site can be
easily cleaned
(m) The broker does not ensure that toilets are constructed so that they
can be easily maintained at the contracted site
(m) The broker does not ensure that the toilets are tidy and/or clean at the
contracted site
(m) The broker does not ensure that sanitary drainage is not connected to
(M) The broker does not ensure that hand washing basins are available
near the toilets at the contracted site
(m) The broker does not ensure that hand wash basin near the toilets
meets the requirements in section 14.3.2.2 at the contracted site
(m) The broker does not ensure that lunch facilities not separated from
processing areas at the contracted site
(m) The broker does not ensure that lunch facilities are separated from
product storage or handling area at the contracted site
 Clause
14.3.9.2 Lunch Rooms
14.3.9.3 Lunch Rooms
14.4.1.1 Staff Engaged in Food
Handling Operations
14.4.1.2 Staff Engaged in Food
Handling and Processing
Operations
Item
The broker shall ensure that lunch room facilities at
contracted sites are:
i. Ventilated and well lit;
ii. Provided with adequate tables and seating to
cater for the maximum number of staff 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 them to store or heat food and to prepare
non-alcoholic beverages if required, and
v. Kept clean and free from waste materials and
pests.
The broker shall ensure that signage in appropriate
languages advising people to wash their hands
before entering the food or primary packaging
handling areas is provided at contracted sites, in a
prominent position in lunch rooms and at lunch
room exits.
The broker shall ensure that all personnel engaged in
the direct handling of exposed food in facilities
contracted to store, handle, recoup, process or pack
food or feed products, shall comply with the
following practices:
i. Personnel entry to food or primary packaging
handling areas shall be through the personnel access
doors only;
ii. All doors are to be kept closed. Doors shall not be
left open for extended periods when access for
waste removal or stock transfer;
iii. The wearing of false fingernails or fingernail
polish is not permitted when handling food or
primary packaging;
iv. Packaging material, product, and ingredients shall
be kept in appropriate containers as required and off
the floor;
v. Waste shall be contained in the bins identified for
this purpose and removed from the processing area
on a regular basis and not left to accumulate;
vi. Staff shall not eat or taste any product being
processed in food handling areas.
The broker shall confirm that all personnel engaged
in storage, transport and handling of packaged
products and materials at contracted sites ensure
that products and materials are handled and stored
in such a way as to prevent damage or product
contamination.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that lunch room facility is properly
ventilated at the contracted site
(m) The broker does not ensure that the lunch room facility is well lit at the
contracted site
(m) The broker does not ensure that the lunch room facility adequately fits
staff at the contracted site
(m) The broker does not ensure that a sink with hot and cold water is
available in the lunch facility at the contracted site
(m) The broker does not ensure that the lunch room is kept clean and tidy
at the contracted site
(m) The broker does not ensure that proper heating or cooling facilities are
provided in the lunch facility at the contracted site
(m) The broker does not ensure that hand wash signage is available at the
exit of the lunch facility at the contracted site
(m) The broker does not ensure that signage at the exit of the lunch facility
is in the correct languages at the contracted site
(m) The broker does not ensure that personnel follow facility protocols on
access to processing and handling areas at the contracted site
(m)The broker does not ensure that exterior doors open with protective
controls in place at the contracted site
(M) The broker does not ensure that exterior doors directly into processing
areas or handling areas have effective controls in place at the contracted
site
(M)The broker does not ensure that employees are washing hands upon
entering processing area at the contracted site
(m) The broker does not ensure that employees are following hand
washing protocols upon entering processing areas at the contracted site
(m) The broker does not ensure that employees are not wearing false
fingernails in food handling areas at the contracted site
(m) The broker does not ensure that employees are not wearing fingernail
polish in food handling areas at the contracted site
(M)The broker does not ensure that food product or ingredients is not left
on floor at the contracted site
(m) The broker does not ensure that food product or ingredients are stored
in appropriate containers at the contracted site
(M) The broker does not ensure that packaging material that directly
contacts food is properly stored, not on floor at the contracted site
(m) The broker does not ensure that waste containers are properly
identified at the contracted site
(m) The broker does not ensure that waste containers in processing or
handling areas at the contracted site do not overflow
(m) The broker does not ensure that employees do not eat in processing or
handling areas at the contracted site
(m) The broker is not ensuring sensory evaluations conducted per company
protocols at the contracted sites
(M) The broker is not ensuring sensory evaluations of product shall not
potentially compromise food safety of product at the contracted sites
(m) The broker is not ensuring sensory evaluation equipment is cleaned
and sanitized after use at the contracted sites
 Clause
14.4.1.3 Staff Engaged in Food
Handling and Processing
Operations
Item Secondary Response Primary Response Evidence
14.4.1.3 The broker shall ensure that, in (m) The broker does not ensure that wash down hoses are not stored on
circumstances where it is necessary to undertake floor at the contracted site
sensory evaluations in a food handling/contact zone,
the contracted site shall implement proper controls
and procedures to ensure:
i. Food safety is not compromised;
ii. Sensory evaluations are conducted by authorized
personnel;
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 separate from
processing equipment.

14.4.1.4 Staff Engaged in Food The broker shall ensure that all wash down hoses at (m) The broker does not ensure that wash down hoses are not stored on
Handling and Processing contracted sites are stored on hose racks after use floor at the contracted site
Operations and not left on the floor.

14.5.1.1 Water Supply
The broker shall ensure that sites contracted to
store, handle, recoup, process or pack products have
adequate supplies of potable water drawn from a
known clean source for use during processing
operations, as an ingredient and for cleaning the
premises and equipment.
(M) The broker does not ensure that water used in processing is from a
potable source at the contracted site
(m) The broker does not ensure that there are adequate quantities of
avaliable for use in processing areas at the contracted site

14.5.1.2 Water Supply
The broker shall ensure that supplies of hot and cold
water, as required, are available at contracted sites
to enable the effective cleaning of the premises and
equipment.
(M) The broker does not ensure that hot water is available to clean
equipment at the contracted site
(M) The broker does not ensure that water is available to clean equipment
at the contracted site
(m) The broker does not ensure that the water supply to clean the facility
is adequate to properly clean at the contracted site

14.5.2.1 Monitoring Water
Microbiology and Quality
The broker shall ensure that water at contracted
sites used for
i. washing, thawing and treating food;
ii. an ingredient or food processing aid;
iii. cleaning food contact surfaces;
iv. the manufacture of ice; and
v. the manufacture of steam that will come in
contact with food or used to heat water that will
come in contact with food
complies with national or internationally recognized
potable water microbiological and quality standards
as required.
(M) The broker does not ensure that potable water is used to treat or rinse
product (Potential Critical) at the contracted site
(m) The broker does not ensure that water used as an ingredient meets
quality requirements at the contracted site
(M) The broker does not ensure that potable water is used to clean food
contact surfaces at the contracted site
(M) The broker does not ensure that potable water is used to make ice at
the contracted site
(m) The broker does not ensure that ice is made from water that meets
quality requirements at the contracted site
(m) The broker does not ensure that potable water is used to create steam
that will not come in contact with food at the contracted site

14.5.3.1 Water Delivery The delivery of water within broker contracted sites (M) The broker does not ensure that water supply is adequately protected
shall ensure potable water is not contaminated. at the contracted site
(m) The broker does not ensure that control of back flow of water could
potentially happen at the contracted site

14.5.3.2 Water Delivery The broker shall ensure that the use of non-potable
water at contracted sites is controlled such that:
i. There is no cross contamination between potable
and non-potable water lines;
ii. Non-potable water piping and outlets are clearly
identified.
(m) The broker does not ensure that there is control of cross contamination
between potable and non-potable water lines at the contracted site
(M) The broker does not ensure that potable water is not contaminated by
non-potable water at the contracted site
(m) The broker does not ensure that potable water pipes and outlets are
clearly labeled at the contracted site
(m) The broker does not ensure that non-return devices are installed on
non-potable water lines at the contracted site
 Clause Item Secondary Response Primary Response Evidence
14.5.4.1 Water Treatment The broker shall ensure that water treatment (M) The broker does not ensure that water treatment is available at the
methods, equipment and materials at contracted contracted site
sites are designed, installed and operated to ensure (M) The broker does not ensure that water treatment is correctly designed
water receives an effective treatment. at the contracted site

14.5.4.2 Water Treatment The broker shall ensure that water treatment (M) The broker does not ensure that water treatment equipment is
equipment at contracted sites is monitored regularly monitored at the contracted site
to ensure it remains serviceable. (m) The broker does not ensure that water treatment equipment is
regularly monitored at the contracted site

14.5.4.3 Water Treatment The broker shall ensure that treated water at (M) The broker does not ensure that treated water is monitored at the
contracted sites is regularly monitored to ensure it contracted site
meets the indicators specified. (m) The broker does not ensure that treated water is regularly monitored
at the contracted site

14.5.5.1 Ice Supply
The broker shall ensure that ice provided for use
during processing operations or as a processing aid
or an ingredient at contracted sites complies with
14.5.2.1.
(M) The broker does not ensure that ice is made from potable water at the
contracted site
(m) The broker does not ensure that required supplies of potable ice are
available at the contracted site
(m) The broker does not ensure that ice is properly protected during use at
the contracted site
(M) The broker does not ensure that ice in contact with food product
complies with national standards at the contracted site

14.5.5.2 Ice Supply
The broker shall ensure that ice rooms and
receptacles at contracted sites are constructed of
materials as outlined in elements 14.2.1, 14.2.2 and
14.2.3 and designed to minimize contamination of
the ice during storage and distribution.
(m) The broker does not ensure that ice storage areas are free from
contamination at the contracted site
(m) The broker does not ensure that ice storage areas are properly
designed at the contracted site
(m) The broker does not ensure that ice storage areas are constructed from
appropriate materials at the contracted site

14.5.6.1 Analysis
The broker shall ensure that microbiological analysis
of the water and ice supply shall be conducted at
contracted sites to verify the cleanliness of the
supply, the monitoring activities and the
effectiveness of the treatment measures
implemented.
(M) The broker does not ensure that water and ice are microbiologically
tested to verify cleanliness at the contracted site
(m) The broker does not ensure that water and ice are regularly tested to
verify the effectiveness of treatment methods at the contracted site

14.5.6.2 Analysis The broker shall ensure that water and ice at (m) The broker does not ensure that appropriate standards are used to
contracted sites are analyzed using reference analyze water or ice at the contracted site
standards and methods.

14.5.7.1 Air Quality
The broker shall ensure that compressed air used in
the manufacturing process at contracted sites and in
direct contact with food products, primary
packaging, or food contact surfaces, is clean and
presents no risk to food safety.
(M) The broker does not ensure that compressed air that is in contact with
food is filtered or otherwise treated at the contracted site
(m) The broker does not ensure that filters are checked or changed at the
contracted site
(m)The broker does not ensure that the contracted facility has a standard
for microbiological purity of compressed air that contacts food

14.5.7.2 Air Quality
The broker shall ensure that compressed air systems (M) The broker does not ensure that compressed air that is in contact with
used in the manufacturing process at contracted food is checked for purity at the contracted site
sites and in direct contact with food products,
primary packaging, or food contact surfaces is
regularly monitored for purity.

14.6.1.1 Cold and Chilled Storage The broker shall ensure that facilities contracted to
store or handle frozen, chilled or controlled
atmosphere food products provide confirmation of
the effective operational performance of frozen,
chilled and controlled atmosphere storage facilities.
Cold, chilled and controlled atmosphere storage
rooms shall be:
i. Designed and constructed to allow for the hygienic
and efficient refrigeration of food; and
ii. Easily accessible for inspection and cleaning.
(m) The broker does not ensure that the contracted site has confirmed the
effective operation of cold storage areas
(m) The broker does not ensure that cold storage rooms are properly
designed at the contracted site
(m) The broker does not ensure that cold storage rooms are properly
constructed for easy cleaning at the contracted site
(m) The broker does not ensure that cold storage areas are easily accessible
for inspection at the contracted site
 Clause Item
14.6.1.2 Cold and Chilled Storage The broker shall ensure that sufficient refrigeration
capacity is available at contracted sites to store
chilled or frozen food at the maximum anticipated
throughput of product with allowance for periodic
cleaning of refrigerated areas.
14.6.1.3 Cold and Chilled Storage The broker shall ensure that discharge from defrost
and condensate lines at contracted sites is
controlled and discharged to the drainage system.
14.6.1.4 Cold and Chilled Storage The broker shall ensure that cold and chilled storage
rooms at contracted sites are fitted with
temperature monitoring equipment and located so
as to monitor the warmest part of the room and are
fitted with a temperature measurement device that
is easily readable and accessible.
14.6.1.5 Cold and Chilled Storager The broker shall ensure that loading and unloading
docks at contracted sites are designed to protect
product during loading and unloading.
14.6.2.1 Storage of Dry The broker shall ensure that rooms used for the
Ingredients, Packaging, and Shelf storage of product ingredients, packaging, and other
Stable Packaged Goods dry goods are located away from wet areas and
constructed to protect the product from
contamination and deterioration.
14.6.2.2 Storage of Dry The broker shall ensure that racks provided for the
Ingredients, Packaging, and Shelf storage of packaging at contracted sites are
Stable Packaged Goods constructed of impervious materials and designed to
enable cleaning of the floors and the storage room.
Storage areas shall be constructed to prevent
packaging from becoming a harborage for pests or
vermin.
14.6.2.3 Storage of Dry The broker shall ensure that vehicles used in food
Ingredients, Packaging, and Shelf contact, handling or processing zones or in cold
Stable Packaged Goods storage rooms at contracted sites are designed and
operated so as not to present a food safety hazard.
14.6.3.1 Storage of Equipment The broker shall ensure that storage rooms in
and Containers contracted sites used to store equipment and
containers shall be designed and constructed to
allow for the hygienic and efficient storage.
14.6.4.1 Storage of Hazardous The broker shall ensure that hazardous chemicals
Chemicals and Toxic Substances and toxic substances stored within contracted sites
are stored so as not to present a hazard to staff,
product, packaging, product handling equipment or
areas in which the product is handled, stored or
transported.
14.6.4.2 Storage of Hazardous The broker shall ensure that processing utensils and
Chemicals and Toxic Substances packaging at contracted sites are not stored in areas
used to store hazardous chemicals and toxic
substances.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that the contracted site has adequate
refrigeration capacity
(m) The broker does not ensure that the contracted site has adequate
freezer capacity
(m) The broker does not ensure that water discharge in the cold storage
area poses no risk to product at the contracted site
(M) The broker does not ensure that water discharge in the cold storage
area is not directly on stored product at the contracted site
(m) The broker does not ensure that excessive frost is not found in the
freezer on ceiling and walls at the contracted site
(M) The broker does not ensure that excessive frost is not found in freezer
on stored product at the contracted site
(M) The broker does not ensure that temperature monitoring equiment is
available in cold storage areas at the contracted site (m) The
broker does not ensure that temperature monitoring devices is located
near the warmest part of cold storage area at the contracted site
(m) The broker does not ensure that temperature monitoring devices are
easily accessible at the contracted site
(m) The broker does not ensure that docks are designed to adequately
protect product at the contracted site
(m) The broker does not ensure that docks areas are adequately
maintained at the contracted site
(m) The broker does not ensure that product storage rooms are located
away from wet processing which creates the potential for water
contamination at the contracted site
(m) The broker does not ensure that storage rooms are adequately
designed to protect product at the contracted site
(m) The broker does not ensure that packaging racks are made of material
that is easily cleanable at the contracted site
(m) The broker does not ensure that packaging racks allow access to
floor/wall junction for cleaning at the contracted site
(M) The broker does not ensure that packaging storage areas are kept free
of a pest harborage area at the contracted site
(M) The broker does not ensure that vehicles used in food processing,
storage, or cold storage areas do not release hydrocarbon emissions at the
contracted site
(M) The broker does not ensure that vehicles used do not present a hazard
to the food product at the contracted site
(m) The broker does not ensure that equipment storage area allow access
for cleaning at the contracted site
(m)The broker does not ensure that equipment storage area protect
equipment during storage at the contracted site
(m) The broker does not ensure that chemicals do not present a hazard to
staff due to improper storage at the contracted site
(M) The broker does not ensure that chemicals are not stored anywhere
near the product at the contracted site
(m) The broker does not ensure that processing utensils are not stored in
areas used to store hazardous chemicals at the contracted site
(m) The broker does not ensure that packaging is not stored in an area used
to store hazardous chemicals at the contracted site
 Clause
14.6.4.3 Storage of Hazardous
Chemicals and Toxic Substances
14.6.4.4 Storage of Hazardous
Chemicals and Toxic Substances
14.6.4.5 Storage of Hazardous
Chemicals and Toxic Substances
14.6.5.1 Alternative Storage and
Handling of Goods
14.6.6.1 Loading, Transport and
Unloading Practices
Item
The broker may permit that daily supplies of
chemical used for continuous sanitizing of water or
as a processing aid, or for emergency cleaning of
food processing equipment or surfaces in food
contact zones at contracted sites can be stored
within or in close proximity to a processing area
provided access to the chemical storage facility is
restricted to authorized personnel.
The broker shall ensure that pesticides, rodenticides,
fumigants and insecticides stored at contracted sites
are stored separately from sanitizers and detergents.
All chemicals shall be stored in their original
containers.
The broker shall ensure that hazardous chemical and
toxic substance storage facilities at contracted sites:
i. Be compliant with national and local legislation
and designed such that there is no cross-
contamination between chemicals;
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
those personnel with formal training in the handling
and use of hazardous chemicals and toxic
substances;
v. Have instructions on the safe handling of
hazardous chemicals and toxic substances readily
accessible to staff;
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 in close proximity 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.
The broker shall ensure that, where goods described (m) The broker does not ensure that there is a risk analysis conducted for
in 14.6.1 to 14.6.4 are held under temporary or
overflow conditions that are not designed for the
safe storage of goods, a risk analysis shall be
undertaken to ensure there is no risk to the integrity
of food products stored on behalf of the broker.
The practices applied during loading, transport and
unloading of food products stored and transported
on behalf of the broker shall be documented,
implemented and designed to maintain appropriate
storage conditions and product integrity. Foods shall
be loaded, transported and unloaded under
conditions suitable to prevent cross contamination.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that daily supplies of chemicals do not
present a potential hazard to food products at the contracted site
(m) The broker does not ensure that daily supplies of chemicals are stored
correctly at the contracted site
(m) The broker does not ensure that sanitizers and detergents are not
stored with pesticides or other toxic chemicals at the contracted site
(m) The broker does not ensure that chemicals are only stored in original
container at the contracted site
(m) The broker does not ensure that chemical storage rooms meet local
regulations at the contracted site
(m) The broker does not ensure that chemical storage rooms are properly
ventilated at the contracted site
(m) The broker does not ensure that chemical storage rooms are properly
signed at the contracted site
(m) The broker does not ensure that the chemical storage room is secured
at the contracted site
(m) The broker does not ensure that there are instructions on safe handling
of chemicals available at the contracted site
(m) The broker does not ensure that there are spillage kits, spillage
instructions, or facilities to deal with spills at the contracted site
(m) The broker does not ensure that there is an inventory of stored
chemicals at the contracted site
(m) The broker does not ensure that the inventory agrees with the actual
chemical stock at the contracted site
(M) The broker does not ensure that there is no cross contamination
between chemicals at the contracted site
alternative storage and handling of goods at the contracted site
(m)The broker does not ensure that methods for loading of products are
documented at the contracted site
(m) The broker does not ensure that methods for the transportation of
products are documented at the contracted site
(M) The broker does not ensure that methods developed for product
loading and transport adequately protect product at the contracted site
(M) The broker does not ensure that potential cross contamination of
product is controlled during transport and loading at the contracted site
(M) The broker does not ensure that products are free from contamination
during transportation and/or loading (Potential Critical) at the contracted
site
 Clause
14.6.7.1 Loading
14.6.7.2 Loading
14.6.8.1 Transport
14.6.8.2 Transport
14.6.9.1 Unloading
14.6.9.2 Unloading
14.7.1.1 Process Flow
14.7.1.2 Process Flow
14.7.2.1 Receipt of Raw and
Packaging Materials and
Ingredients
Item
The broker shall ensure that vehicles
(trucks/vans/containers) used for transporting the
broker’s food products at contracted sites are
inspected prior to loading to ensure they are clean,
in good repair, suitable for the purpose and free
from odors or other conditions that may impact
negatively on the product.
The broker shall ensure that loading practices at
contracted sites are designed to minimize
unnecessary exposure of the product to conditions
detrimental to maintaining product integrity.
The broker shall ensure that refrigerated units used
for transporting the broker’s food products at
contracted sites maintain the food at required
temperatures and the unit’s temperature settings
are set, checked and recorded before loading and
core product temperatures recorded at regular
intervals during loading as appropriate.
The broker shall ensure that the refrigeration units
used for transporting the broker’s food product are
operational at all times and checks completed of
each unit’s operation, the door seals and the storage
temperature checked at regular intervals during
transit.
The broker shall ensure that, prior to opening the
doors on the contracted site’s refrigeration units, the
storage temperature settings and operating
temperatures are checked and recorded. Unloading
shall be completed efficiently and product
temperatures shall be recorded at the
commencement of unloading and at regular
intervals during unloading.
The broker shall ensure that unloading practices at
contracted sites are designed to minimize
unnecessary exposure of the product to conditions
detrimental to maintaining product and package
integrity.
The broker shall ensure that the process flow in
contracted facilities is designed to prevent cross
contamination and organized so there is a
continuous flow of product through the process.
The broker shall ensure that the flow of personnel in
contracted sites is managed such that the potential
for contamination is minimized.
The broker shall ensure that dry ingredients and
packaging at contracted sites are received and
stored separately from frozen and chilled raw
materials to ensure there is no cross contamination.
Unprocessed raw materials shall be received and
segregated to ensure there is no cross
contamination.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that pre-shipment review is conducted on
transportation vehicles at the contracted site
(m) The broker does not ensure that vehicles used to transport product are
clean at the contracted site
(m) The broker does not ensure that vehicles used to transport product are
properly maintained at the contracted site
(M) The broker does not ensure that loading and staging of product is not
exposed to potential abuse at the contracted site
(m) The broker does not ensure that loading and/or staging practices are
not potentially detrimental to product at the contracted site
(m) The broker does not ensure that pre-ship review of refrigerated
transport vehicles include temperature checks at the contracted site
(m) The broker does not ensure that loading and staging of refrigerated
product includes monitoring product temperatures at the contracted site
(M) The broker is not ensuring refrigerated vehicles are capable of
maintaining the product at the correct temperature at the contracted site
(M) The broker does not ensure that all refrigerated vehicles' refrigeration
units are operated at all times when product is transported from the
contracted site
(m) The broker does not ensure that refrigerated vehicles are inspected
during transit at the contracted site
(M) The broker does not ensure that temperatures of perishable product
are checked prior to unloading of product at the contracted site
(m) The broker does not ensure that temperatures of refrigeration units are
checked prior to unloading of perishable products at the contracted site
(m) The broker does not ensure that temperatures of perishable product
are monitored or controlled during unloading at the contracted site
(M) The broker does not ensure that unloading, staging and cross-docking
does not expose product to potential abuse at the contracted site
(m) The broker does not ensure that unloading practices are not potentially
detrimental to product at the contracted site
(m) The broker does not ensure that the design of process flow does not
allow for cross contamination at the contracted site
(M) The broker does not ensure that design of process flow does not create
direct opportunity for cross contamination at the contracted site
(m) The broker does not ensure that receival of packaging is separated
from raw materials at the contracted site
(M) The broker does not ensure that raw material and finished product are
not received and handled at the same location at the contracted site
(m) The broker does not ensure that dry materials are received in an area
where potential for contamination is controlled at the contracted site
 Clause
14.7.3.1 Thawing of Product
14.7.3.2 Thawing of Product
14.7.3.3 Thawing of Product
14.7.3.4 Thawing of Product
14.7.4.1 High Risk Processes
Item
The broker shall ensure that where thawing of the
product is required at contracted sites, it is
undertaken in equipment and rooms appropriate for
the purpose.
The broker shall ensure that equipment used for
water thawing at contracted sites is continuous flow
to ensure the water exchange rate and temperature
do not contribute to product deterioration or
contamination. Water overflow shall be directed into
the floor drainage system and not onto the floor.
The broker shall ensure that air thawing facilities at
contracted sites are designed to thaw the product
under controlled conditions at a rate and
temperature that does not contribute to product
deterioration or contamination.
The broker shall ensure that provision is made for
the containment and regular disposal of used
cartons and packaging from thawed product at
contracted sites, so that there is no risk to the
product.
14.7.4 High Risk Processes
The broker shall ensure that the processing of high
risk food at contracted sites is conducted under
controlled conditions such that:
i. Sensitive areas in which high risk food has
undergone a “kill” step, a “food safety intervention”
or is subject to post process handling, are
protected/segregated from other processes, raw
materials or staff who handle raw materials to
ensure cross contamination is minimized;
ii. Areas in which high risk processes are conducted
are only serviced by staff dedicated to that function;
iii. Staff access points are located, designed and
equipped to enable staff to don distinctive
protective clothing and to practice a high standard
of personal hygiene to prevent product
contamination;
iv. Product transfer points are located and designed
so as not to compromise high risk segregation and to
minimize the risk of cross contamination; and
v. An environmental monitoring program shall be in
place for high risk areas. At a minimum, a written
procedure detailing the applicable pathogens or
indicator organisms to test for that industry, the
number of samples to be taken and the frequency of
sampling and corrective actions shall be
documented. The responsibility and methods shall
be documented and implemented. A sampling
schedule shall be prepared.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that product is thawed in a way that does
not pose a food safety risk at the contracted site
(m) The broker does not ensure that product is thawed in a way that does
not pose a food quality risk at the contracted site
(M) The broker does not ensure that water thawing of product is controlled
and poses no product risk at the contracted site
(m) The broker does not ensure that water used in water thawing of
product is properly disposed at the contracted site
(m) The broker does not ensure that water used in thawing is properly
cooled at the contracted site
(m) The broker does not ensure that product is monitored during thawing
process at the contracted site
(M) The broker does not ensure that air thawing of product is controlled
and poses no risk to product at the contracted site
(m) The broker does not ensure that product is monitored during the
thawing process at the contracted site
(m) The broker does not ensure that used containers are properly
contained at the contracted site
(m) The broker does not ensure that used packaging is properly contained
in facility at the contracted site
(m) The broker does not ensure that used containers and packaging are
regularly disposed of at the contracted site
(M) The broker does not ensure that used packaging poses no risk to
product safety at the contracted site
(m) The broker does not ensure that staff follow company the policy at the
contracted site
(M) The broker does not ensure that an environmental monitoring program
in place for high risk food at the contracted site
(m) The broker does not ensure that the EM procedure includes the
applicable pathogens or indicator organisms at the contracted site
(M) The broker does not ensure that EM procedures include appropriate
organisms for the commodity at the contracted site
(m)The broker does not ensure that number of samples are defined for the
EMP at the contracted site
(m) The broker does not ensure that the EMP sampling frequency is
defined at the contracted site
(m) The broker does not ensure that the EMP defines corrective action at
the contracted site
(M) The broker does not ensure that appropriate corrective action is taken
at the contracted site
 Clause
14.7.5.1 Control of Foreign
Matter Contamination
14.7.5.2 Control of Foreign
Matter Contamination
14.7.5.3 Control of Foreign
Matter Contamination
14.7.5.4 Control of Foreign
Matter Contamination
14.7.5.5 Control of Foreign
Matter Contamination
14.7.5.6 Control of Foreign
Matter Contamination
Item
The broker shall ensure that the responsibility and
methods used to prevent foreign matter
contamination of the broker’s product within
contracted sites is documented, implemented and
communicated to all staff within that facility.
The broker shall ensure that inspections of
contracted sites are performed to ensure plant and
equipment remain in good condition and potential
contaminants have not detached or become
damaged or deteriorated.
The broker shall ensure that the use of temporary
fasteners such as string, wire or tape to fix or hold
equipment is not permitted at contracted sites.
The broker shall ensure that the following
preventative measures are implemented where
applicable to prevent glass contamination in
contracted sites:
i. All glass objects or similar material in food or
primary packaging handling/contact zones shall be
listed in a glass register including details of their
location;
ii. Containers, equipment and other utensils made of
glass, porcelain, ceramics, laboratory glassware or
other like material (except where product is
contained in packaging made from these materials,
or measurement instruments with glass dial covers
or MIG thermometers required under regulation)
shall not be permitted in food processing /contact
zones;
iii. Conduct regular inspections of food or primary
packaging handling/contact zones to ensure they are
free of glass or other like material and to establish
no changes to the condition of the objects listed in
the glass register; and
iv. Inspect glass instrument dial covers on processing
equipment and MIG thermometers at the start and
finish of each shift to confirm they have not been
damaged.
The broker shall ensure that wooden pallets and
other wooden utensils used in food or primary
packaging handling and storage in contracted sites
are dedicated for that purpose, clean, maintained in
good order and their condition subject to regular
inspection.
The broker shall ensure that loose metal objects on
equipment, equipment covers and overhead
structures in contracted sites are removed or tightly
fixed so as not to present a hazard.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that foreign material prevention methods
are developed at the contracted site
(m) The broker does not ensure that the responsibility for the prevention of
foreign material has been identified at the contracted site
(m) The broker does not ensure that foreign material prevention controls
are communicated to staff at the contracted site
(M) The broker does not ensure that foreign material prevention controls
are implemented at the contracted site
(M) The broker does not ensure that inspections are conducted to prevent
foreign material contamination of product at the contracted site
(m) The broker does not ensure that temporary repairs are not used at the
contracted site
(M) The broker does not ensure that a glass register is developed at the
contracted sites
(m) The broker does not ensure that the glass register is complete, or that
glass objects are missing in the register at the contracted site
(m) The broker does not ensure that approved glass and brittle materials
are not found in the processing area at the contracted site
(m) The broker does not ensure that glass object inspections are conducted
regularly at the contracted site
(m) The broker does not ensure that inspection of glass instrument dial
covers and thermometers is conducted at the start of each shift at the
contracted site
(m)The broker does not ensure that wood used in processing/handling area
is clean at the contracted site
(m) The broker does not ensure that wood used in processing/handling
area is maintained at the contracted site
(m) The broker does not ensure that wood used in processing areas is
designed for the current use at the contracted site
(m) The broker does not ensure that loose materials are controlled in
processing equipment at the contracted site
(M) The broker does not ensure that loose materials that could present a
hazard to food product are not observed at the contracted site
 Clause
14.7.5.7 Control of Foreign
Matter Contamination
14.7.6.1 Detection of Foreign ObjecThe broker shall ensure that the responsibility,
14.7.6.2 Detection of Foreign ObjecThe broker shall ensure that metal detectors or
14.7.6.3 Detection of Foreign ObjecThe broker shall ensure that records are maintained
14.7.7.1 Managing Foreign
Matter Contamination Incidents
14.7.7.2 Managing Foreign
Matter Contamination Incidents
14.8.1.1 Location
14.8.1.2 Location
Item
The broker shall ensure that knives and cutting
instruments used in processing and packaging
operations in contracted sites are controlled, and
kept clean and well maintained.
methods and frequency for monitoring, maintaining,
calibrating and using screens, sieves, filters or other
technologies to remove or detect foreign matter at
contracted sites are documented and implemented.
other physical contaminant detection technologies
at contracted sites are routinely monitored,
validated and verified for operational effectiveness.
The equipment shall be designed to isolate defective
product and indicate when it is rejected.
at contracted sites of the inspection by foreign
object detection devices, and their verification, and
shall be made available to the broker.
The broker shall ensure that, in all cases of foreign
matter contamination of their product within
contracted sites, the affected batch or item is
isolated, inspected, reworked or disposed of.
The broker shall ensure that, in circumstances where
glass or similar material breakage occurs at
contracted sites, the affected area is isolated,
cleaned and thoroughly inspected (including
cleaning equipment and footwear) and cleared by a
suitably responsible person prior to the
commencement of operations.
The broker shall ensure that on-site laboratories at
contracted facilities are located separate from any
food processing or handling activity and designed to
limit access only to authorized personnel.
The broker shall ensure that provision is made at
contracted sites to isolate and contain all laboratory
waste held on the premises and manage it
separately from food waste. Laboratory waste
water outlet shall as a minimum be down stream of
drains that service food processing and handling
areas.
Secondary Response Primary Response Evidence
(M) The broker does not ensure that dirty knives are not found in the
processing area
(m) The broker does not ensure that knives are correctly stored at the
contracted site
(M) The broker does not ensure that cleaning/sanitizing procedures are in
place for knives and cutting instruments at the contracted site
(M) The broker does not ensure that cleaning/sanitizing protocol is being
followed at the contracted site
(M) The broker does not ensure that methods are developed for the
monitoring, maintenance, or calibration of filters and screens at the
contracted site
(m) The broker does not ensure that the responsibility is assigned for the
monitoring, maintenance, or calibration of filters and screens at the
contracted site
(M) The broker does not ensure that methods are implemented for the
monitoring, maintenance, or calibration of filters and screens at the
contracted site
(M) The broker does not ensure that physical contaminant detection
technology is routinely monitored at the contracted site
(m) The broker does not ensure that physical contaminant detection
technology is validated at the contracted site
(M)The broker does not ensure that physical contaminant detection
technology effectively isolates defective product at the contracted site
(m) The broker does not ensure that physical contaminant detection
technology indicates when defective product is identified at the contracted
site
(M) The broker does not ensure that records are maintained of foreign
body inspection at the contracted site
(M) The broker does not ensure that records are maintained of the
verification of foreign body detection equipment at the contracted site
(M) The broker does not ensure that any item or batch of product affected
by foreign material contamination is properly reworked at the contracted
site
(M)The broker does not ensure that any item or batch of product affected
by foreign material contamination is properly disposed of at the contracted
site
(M) The broker does not ensure that any area of glass breakage is properly
isolated and cleaned prior to start up of operations at the contracted site
(m) The broker does not ensure that any area of glass breakage is properly
inspected prior to start up of operations at the contracted site
(m) The broker does not ensure that an on-site laboratory is separated
from food processing areas at the contracted site
(m) The broker does not ensure that laboratory access is restricted to only
authorized personnel at the contracted site
(m) The broker does not ensure that laboratory waste is properly treated
prior to disposal at the contracted site
(m) The broker does not ensure that laboratory waste is adequately
contained and separated from facility waste at the contracted site
 Clause Item
14.8.1.3 Location The broker shall ensure that signage is displayed
identifying the laboratory at contracted sites as a
restricted area accessible only by authorized
personnel.
14.9.1.1 Dry and Liquid Waste Disp The broker shall ensure that the responsibility and
methods used to collect and handle dry, wet and
liquid waste and store prior to removal from
contracted sites shall be documented and
implemented.
14.9.1.2 Dry and Liquid Waste Disp The broker shall ensure that waste is removed from
contracted sites on a regular basis and is not allowed
to build up in food handling or storage areas.
Designated waste accumulation areas shall be
maintained in a clean and tidy condition until such
time as external waste collection is undertaken.
14.9.1.3 Dry and Liquid Waste Disp The broker shall ensure that trolleys, vehicles waste
disposal equipment, collection bins and storage
areas at contracted sites are maintained in a
serviceable condition and cleaned and sanitized
regularly so as not to attract pests and other vermin.
14.9.1.4 Dry and Liquid Waste Disp The broker shall ensure that adequate provision is
made at contracted sites for the disposal of all solid
processing waste including trimmings, inedible
material and used packaging. Waste held on site
prior to disposal shall be stored in a separate storage
facility and suitably fly proofed and contained so as
not to present a hazard.
14.9.1.5 Dry and Liquid Waste Disp The broker shall ensure that adequate provision is
made at contracted sites for the disposal of all liquid
waste from processing and food handling areas.
Liquid waste shall be either removed from the
processing environment continuously or held in a
designated storage area in lidded containers prior to
disposal so as not to present a hazard.
14.9.1.6 Dry and Liquid Waste Disp The broker shall ensure that reviews of the
effectiveness of waste management at contracted
sites form part of daily hygiene inspections and the
results of these inspections shall be included in the
relevant hygiene reports.
14.10.1.1 Grounds and Roadways The broker shall ensure that the grounds and area
surrounding the contracted facility are maintained
to minimize dust and be kept free of waste or
accumulated debris so as not to attract pests and
vermin.
14.10.1.2 Grounds and Roadways The broker shall ensure that paths, roadways and
loading and unloading areas at contracted sites are
maintained so as not to present a hazard to the food
safety operation of the premises.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that adequate signage is available for the
laboratory at the contracted site
(m) The broker does not ensure that signage states that only authorized
personnel is allowed in the laboratory at the contracted site
(m) The broker does not ensure that there are methods for handling waste
documented at the contracted site
(m) The broker does not ensure that the methods for handling waste within
the contracted site are adequate to control all waste
(m) The broker does not ensure that methods include proper storage of
waste prior to disposal from the contracted site
(m) The broker does not ensure that waste is regularly removed from
processing areas at the contracted site
(m) The broker does not ensure that waste collection areas are maintained
and cleaned at the contracted site
(m) The broker does not ensure that containers for waste are properly
maintained at the contracted site
(m) The broker does not ensure that trolleys, vehicles and equipment used
for waste are properly cleaned at the contracted site
(m) The broker does not ensure that solid processing waste is adequately
contained at the contracted site
(m) The broker does not ensure that solid processing waste is properly held
in a separate facility at the contracted site
(m) The broker does not ensure that solid processing waste is adequately
disposed at the contracted site
(m) The broker does not ensure that liquid waste is adequately contained
at the contracted site
(m) The broker does not ensure that liquid waste is properly held in a
separate facility at the contracted site
(m) The broker does not ensure that liquid waste is adequately disposed at
the contracted site
(m) The broker does not ensure that daily inspections are conducted to
monitoring handling of waste at the contracted site
(m) The broker does not ensure that daily inspection to review waste
handling are documented at the contracted site
(m) The broker does not ensure that exterior grounds are maintained and
do not provide pest harborage areas at the contracted site
(m) The broker does not ensure that exterior grounds are managed to
minimize dust or other hazards at the contracted site
(m) The broker does not ensure that exterior grounds are kept free of
waste at the contracted site
(m) The broker does not ensure that exterior paths and roadways are
managed to minimize dust or other hazards at the contracted site
(m) The broker does not ensure that exterior loading and unloading areas
are maintained to minimize hazards at the contracted site
 Clause Item
14.10.1.3 Grounds and Roadways The broker shall ensure that the areas surrounding
contracted sites are kept neat and tidy and do not
present a hazard to the hygienic and sanitary
operation of the premises.
Secondary Response Primary Response Evidence
(m) The broker does not ensure that surroundings are cluttered and untidy
at the contracted site
(m) The broker does not ensure that grass and vegetation is kept under
control in surrounding areas at the contracted site
(m) The broker does not ensure that ensuring equipment is stored inside
and protected from the weather at the contracted site

Compliant 0
Minor 0
Major 0
Critical 0
OIP 0
Excempt 0
N/A 0

100
Supplier Onsite Correction
 Primary Response Types Scoring Deduction Secondary Response Identifier
1 Compliant 0 points
2 Minor 1 point m

3 Major 10 points M

4 Critical 50 points C

5 OIP 0 points

6 Excempt 0 points
7 N/A 0 points
Primary Response Descriptions

Minor non-conformance means a lack or deficiency in the SQF System that

produces unsatisfactory conditions that if not addressed may lead to a risk to
food safety and quality but not likely to cause a System element breakdown.

Major non-conformance means a lack or deficiency in the SQF System producing

unsatisfactory conditions that carry a food safety or quality risk and likely to result
in a System element breakdown.
Critical non-conformance includes but is not limited to:

i) A break-down of control(s) at a critical control point, pre-requisite program or

other process step and judged likely to cause a significant public health risk
whereby product safety is compromised and judged likely to result in a Class 1 or
Class 2 recall and effective corrective action is not taken.

ii) Falsification of records relating to food safety controls and the SQF System.

An observation made by the auditor during a site audit that identifies an issue
that is not a Non-conformance but recognizes that the practices conducted by the
supplier are not industry best practice. It does not require a corrective action
response by the supplier, but provides the supplier with an opportunity to improve
their SQF System.
Compliant
Minor
Major
Critical
OIP
N/A
Exempt