DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive $420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-

tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR
YES: NO N/A

A

AUDITOR:
M U

5. Is traceability for all ingredient components, oxygen scavengers, packaging
materials (that come in direct contact with food), ete, used in the production of
finished products recorded and maintained in case of a recall?

6, Are there specific procedures that define how product is to be reworked during
processing? Are products to be reworked and related records/documentation
properly identified and handled securely?

7. Does the plan identify procedures to follow in the event an intentional
contamination occurs during the production process?

8. Are protocols in place for segregating unprocessed products from processed
products? Is there a plan that addresses the deliberate mixing of processed and
unprocessed product (¢.g., retort by pass)?

9, Are processing systems, including automatic control systems, secure? Are
individuals with access to control systems identified?

E. Laboratory Control:
1. Is access to in-plant laboratory facilities strictly controlled?

2. Are all positive pathogen culture controls kept locked?
3. Are mercury thermometers accounted for on a daily basis?

4, Do you ensure only sample collection laboratory materials are permitted on the
manufacturing floor?

5, Do you maintain an up-to-date inventory of all hazardous laboratory chemicals
and solvents and are these materials securely locked?

Vif. EMERGENCY PROCEDURES: Does the plan/QSP identify/include/address the
following?

A, Coordination with DLA Troop Support, Local, State, or Federal Authorities. Ifa
breach of security or suspicious activity does occur, timely notification and
cooperation with focal/state/federal authoriti¢s and public health and/other local
officials as appropriate is crucial. In addition to alerting the aforementioned officials,
DLA Troop Support requires that, in addition to other reporting, product
contamination/adulteration or that presents any other health or safety hazard to DLA
Troop Support customers whether accidental or intentional be immediately reported
to the applicable Contracting Officer so that immediate action be taken by DLA
Troop Support under the DoD Hazardous Food and Nonprescription Drug Recall
Reporting Program.



Total points earned for Part 3 =

Total Possible = 290 The total number of points possible for this section.

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

Adjusted Total = Subtract the N/A points from the Total possible points,

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

Passing Score

(please circle one) Pass / Fall

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

For Official Government Use Only November 9, 2009
AMS, FVP, Fresh Products Branch Page 17


COMMENTS:

Total points earned for PART 2 =

Total Possible = 185 The total number of points possible for this section.

Subtract “N/A” . Enter the additive number of N/A points (+ points) here.
Adjusted Total = Subtract the N/A points from the Total possible points.
X .8 (80%) Multiply the Adjusted Total by .8 and show it as the

Passing Score.
Passing Score

(please circle one) Pass / Fail

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

For Official Govermnent Use Only November 9, 2009
AMS, FVP, Fresh Products Branch Page 13


Part 6 - Wholesale Distribution Center/Terminal Warehouses

Receiving
Questions : Points | Yes {| NO-| N/A:| Doc
6-1 | All companies that supply fresh produce are
required to have passed a third party audit 15 D
verification of GAP and/or GHP.
6-2 | Upon receiving, conveyances are required to be
clean, in good physical condition and free from 10 - Pp
obvious objectionable odors, dirt and/or debris
at time of unloading. -
6-3 | Company does not accept produce items that
are loaded with or not protected from 40 Pp
potentially contaminating products.
6-4 | Refrigerated commodities are monitored for 5 R
temperatures at time of receiving.
6-5 | The company has a written policy regarding the
disposition of product when temperatures are 5 Pp
not within the company’s guidelines at time of
receiving.
Storage Facility/Temperature Control
: Questions - Points | YES | NO | N/A} Doc
6-6 | The facility is clean and maintained In an 5
orderly manner.
6-7 Refrigerated rooms are monitored for 5 D
temperature and logs are maintained.
6-8 | Thermometer(s) are checked for accuracy and 5 D
tecords are available.
6-9 Refrigeration system condensation does not 10
come In contact with produce.
6-10 | Refrigeration equipment (condensers, fans, 10 D
etc.) Is cleaned on a scheduled basis.
6-11 | Iced product does not drip on pallets of 40
produce stored below.
6-12 | The water used for cooling/ice is potable. 10 R
6-13 | Manufacturing, storage and transportation
facilities used In making and delivering ice 40 D
used for cooling the product are sanitized on a
scheduled basis.
6-14 | There is a policy describing procedures which
specify handling/disposition of finished 15 Pp

product which is opened, spilled or comes into
contact with the floor. :

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9, 2009
Page 22



DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans, USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision | (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-

tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR
YES NO NIA

A

AUDITOR
M U

2, Procedure for examining/inspecting briefcases, backpacks, toolboxes and/or other
containers prior to entering the facility.

3. Procedure to control visitors (contractors, salespeople, truck drivers, etc.) movement
to prevent them from accessing restricted areas such production. Are visitors
escorted/accompanied at ALL times by an authorized plant representative while in
the facility?

4, Control of contractors and their workers:

- Are controls in place for contract workers (e.g., sanitation crews, pest
control, etc.,) to prevent intentional contamination of product?

+ Is access to the facility limited to only those areas of the plant relevant
to their work? Are contract workers escorted by an authorized plant
representative while performing work in the facility or when they must
work in sensitive areas?

- Is there a written procedure listing and enforcing a policy on what
personal items may and may not be allowed inside the plant and within
production areas?

TV. SECURITY OF PERIMETER, BUILDINGS, DOCKS, AND RECEIVING/
SHIPPING AREAS:

A, Perimeter, Does the plan identify/include/address the following:

1. Is the plant.perimeter monitored for signs of suspicious activity or unauthorized
entry? How? Identify the measures in place (e.g., fencing or other barriers, “No
Trespassing” signs, etc.) to prevent unauthorized access within the boundaries of the
facility/buildings.

2, Identify the measures in place to protect the facility/buildings from unauthorized
entry during operation and non-operational hours. Identify if access points into the
facility are controlled using a combination of the following: Fences, security guards,
alarms, locking devices, lighting, surveillance cameras, emergency exits alarmed
have self-locking doors that can be opened only from the inside, or other defense
hardware consistent with national and local fire and safety codes.

3. Is a procedure available identifying areas of concem and programs in place to
monitor unauthorized access and prevent defense breaches of the following: Control
panels, vents for air circulation lines, pipes, electrical lines/boxes, gas or pressure
valves, doors, windows, roof openings, vent openings, trailer bodies, railcars, etc.

4. Are outside storage tanks containing hazardous materials, potable water, and bulk
storage tanks secured (e.g., locks, seals, sensors) at all times?



File Code 159-A-1

March 2009
DEFICIENCIES
QUESTION DESCRIPTION PROPOSED DATE
NUMBER CORRECTIVE | CORRECTED

ACTION DATE



Total Points Part 7.

Total possible = 180 Less Justified “N/A”

Adjusted Total Passing Score
X .8 (80%) USDA

For further information regarding the USDA GAP & GHP Program
Please contact:

USDA Fruit and Vegetable Programs, Fresh Products Branch,
at 800-560-7956

For Official Government Use Only November 9, 2009
AMS. FVP, Fresh Products Branch Page 30


File Code 159-A-1

March 2009
9e, Are documented pest control Review written applicable HACCP plan and facility
program and procedures documentation to determine if applicable pest control program
addressed? and procedures are identified and described,
of. Are documented traceability and Review written applicable HACCP plan and facility
recall procedures addressed? documentation to determine if traceability and recall
procedures are identified and described.
Og. Are documented chemical control | Review written applicable HACCP plan and facility
procedures addressed? documentation to determine if chemical control procedures are
identified and described,
oh. Are documented personal hygiene Review written applicable HACCP plan and facility
procedures addressed? documentation to determine if personal hygiene procedures
are identified and described,
di Are documented employee training | Review written applicable HACCP plan and facility

programs for GMPs, HACCP, and
sanitation addressed?

documentation to determine if the applicable training
programs are identified and described.

AMS:FV:PPB:CSALAZAR:720.4983:7/10/08:7/ 1 5/08:7/30/08:8/7/08:08/26/08: J 0/15/08: 10/16/08:
10/28/08: 1 1/20/08: 1 1/21/08: [/8/09: 1/14/09; 1/16/09: 1/25/09: 1/26/09:2/6/09:2/ 1 9/09:3/9/09:3/ | 1/09:

3/12/09

Rewritten:03/13/09:RAMacon
FAUSR\SalazarC\BN Appendix D HACCP Survey 3.docx


Secure Facility Procedures

Questions Points | YES | NO | N/A-| Doc
7-13 | Uniforms, name tags, or identification badges 5 D
are collected from employees prior to the
termination of employment.
7-14 | The mailroom is located away from the 5
packing/storage facilities.
Computer access is restricted to specific
7-45 personnel. 5 D
7-46 Asystem of traceability of computer 5
transactions has been established.
7-17 | A minimum level of background checks has 5 D
been established for all employees.
7-18 | Routine security checks of the premises are 5 D
performed for signs of tampering, criminal or
terrorist action.
7-19 | Perimeter of facility is secured by fencing or 5
other deterrent.
7-20 | Checklists are used to verify the security of 5 D
doors, windows, and other points of entry.
7-21 | All keys to the establishment are accounted § D
for.
7-22 | The facility has an emergency lighting system. 5
7-23 | The facility is enclosed. 5
7-24 | Storage or vehicles/containers/trallers/railcars 6
that are not being used are kept locked.
7-25 | Delivery schedules have been established. 5
7-26 | The off-loading of incoming materials is 5
supervised.
7-27 | The organization has an established policy for 5 D
rejecting deliveries.
7-28 | Unauthorized deliveries are not accepted. 5 D
7-29 | The company does not accept returned 5 D
(empty) containers for packing of product
unless they are sanitized containers intended
for reuse.
7-30 | The facility has a program in place to inspect 5 D
product returned to the facility for tampering.
7-31 | The company has identified the individual(s), 5 D
with at least one backup, who are responsible
for recalling the product.
7-32 | The operation has performed a “mock recall” 5 D
that was proven to be effective.

Fox Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9. 2009
Page 28



United States perarenert of Agriculture Good Agricultural Practices Good Handling Practices USD A
Agricultural Marketing Service it Verificati _ams.usda.govigapahi
Frosh Products Branch Audit Verification Program Scoresheet www. govigapgh} <co
[aor pmoonany|
Faciity Name (Print) 2s it should appear on Certificate frernecoetecnn
[Street Address (Print): [City (Print: [State (Print): [20 (Print}:
[e-mail address (Print): fax number: [Date Audit Requested:
[Date of Previous Audit
Date Audit Began: Date Audit Completed: USDA Commodity Procurement Audit?
[Time Audit Began: [Time Audit Completed: Circle one, Yes No
EVALUATION ELEMENTS
[scopes Possible | Less N/A | Adjusted Passing Facility | Pass/ Date General Reviewing
Req. Element Points Points Points Score Score Fail Passed Questions Official Un-announced
General Questions 180
Part 1- Farm Review 190
Part 2- Field Harvesting & Field
Packing Activities. 185
Part 3- House Packing Facility 290
Part 4 Storage & Transportation. 250
Part 6 Wholesale Distribution
Center! Terminal Warehouse 410
Part 7- Preventative Food
Defense Procedures 180
“* A Passing Score of 80% of the Possible Points or the Adjusted Points, if adjustments are necessary. with no “automatic unsatisfactory” conditions is required for certification.
Commodities Commodity:
Reviewed (Print): |Acres:
Send completed GAP&GHP Certificate to: (choose one) Inspection office: (list office) Directly to auditee above:
Signature
Lead Auditor Name (Print): Duty Station: & Date:
Facility Representative signature: Date: All Scopes Completed:

By signing this form, the facility representative agrees to have company information posted to the USDA website. A company will only be listed on the website when all scope audited receive a passing score
For USDA HQ use:

Reviewing Official Name (Print): Signature:
Date Received: Date Certificate Mailed: Date Posted to Website: Revised November 9, 2009

USDA AMS FVP FPB
To verify a company’s continued good standing in the USDA GAP8&GHP Program, please visit htip:/www.ams.usda.govigapghp For Official Goverment Use Only



Part 4 - STORAGE AND TRANSPORTATION

Product, Containers & Pallets

_ ~~ Questions”

Points

YES

NO” | N/A“| Doc”

The storage facility is cleaned and maintained In
an orderly manner.

5

4-2

Bulk storage facilities are inspected for foreign
material prior to use and records are maintained.

4-3

Storage rooms, buildings, and/or facilities are
maintained and sufficiently sealed or isolated to
be protected from external contamination.

10

4-4

Storage grounds are reasonably free of litter and
debris.

4-5

Floors in storage areas are reasonably free of
standing water.

a6

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

10

a7

There is a policy describing procedures which
specify handling/disposition of finished product
which is opened, spilled, or comes in contact
with the floor,

15

4-8

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

10

Pallets, pallet boxes, totes, bags, bins, cellars,
storage rooms, etc. are clean, in good condition
and do not contribute foreign material to the
product.

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

10

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

10

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9, 2009
Page 18



result in hazardous or unsafe conditions for individuals. Examples of critical nonconformance’s:
Items with food safety concerns are those items that exhibit contamination, foreign material,
and/or other conditions that render an item unfit for human consumption. ACTION
REQUIRED: Contractors are required to immediately STOP ISSUE of the product and notify

DLA Troop Support customers to return or dispose of the product in question, and notify

grower/supplier/distributor of the product (if applicable).

NOTES;

1/ MAJOR NONCONFORMANCE (BLUE) = In OCONUS locations only, the Contracting
Officer may approve continue issue of the product because of location extenuating circumstances
and on a case-by-case basis. This approval is depending on the type and severity of the
deviation/defect, the DLA Troop Support Quality Lead Auditor (lead Auditor that performed the
audit) recommendation, customer approval, and if the substitute of equal/higher quality is Not-
in-Stock at OCONUS location, Continue issue of the item may require and include contractor
screening/rework of the nonconforming product (removal of defective units) and follow-up
Government inspection/audit to verify action taken by the contractor (at no cost to the
Government for inspection/travel costs). At CONUS/OCONUS locations, only the Contracting
Officer, NOT the customer or the Lead Auditor, has the authority to accept wrong items (not
meeting item description cited in DLA Troop Support catalog or not meeting the specified US
Grade cited in the contract, etc.), The Rating assigned to the item WILL NOT be changed by the
Lead Auditor because of acceptance with a waiver/rework/repair of the product in question. The
DLA Troop Support Food Safety Office at the request of the Contracting Officer, may issue a
restricted (to DLA Troop Support customers only) a Hazardous Food Recall for all those items
originating from an unapproved source and distributed to DLA Troop Support customers.

2/ CRITICAL NONCONFORMANCE (RED) = The DLA Troop Support Food Safety Office
will issue a Hazardous Food Recall for all critical nonconformance’s involving items with food
safety concerns that render an item unfit for human consumption or may present a health hazard
for DLA Troop Support customers . If applicable, the Contracting Officer should suggest
growers/suppliers of the item to review shipping documents to ensure the same item was not
delivered to other DOD customers.



Part 2 - Field Harvest and Field Packing Activities

Field Sanitation and Hygiene

Questions: _| Points|

YES |

Do

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

15

2-2

The number, condition, and placement of field
sanitation units comply with applicable state 40
and/or federal regulations.

2-3

When question 2-2 is answered “N/A” (sanitation
units are not required), a toilet facility is readily 410
available for all workers.

2-4

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

10

2-5

A response plan is in place for the event of a
major spill or leak of fleld sanitation units or toilet | 49
facllities.

Field Harvesting and Transportati

All harvesting containers and bulk hauling

vehicles that come in direct contact with product
are cleaned and/or sanitized on a scheduled 10
basis and kept as clean as practicable.

All hand harvesting equipment and implements
(knives, pruners, machetes, etc.) are kept as

clean as practical and are disinfected on a 10
scheduled basis.

Damaged containers are properly repaired or
disposed of. 5

2-9

Harvesting equipment and/or machinery which
comes into contact with product is in good 410
repair.

2-10

Light bulbs and glass on harvesting equipment
are protected so as not to contaminate produce 10

or fields In the case of breakage.

For Official Government Use Ouly
_ AMS, FVP, Fresh Products Branch

November 9, 2009
Page 11


DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contrac/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision | (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-
tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR AUDITOR
YES NO NIA A M U

1. Does the plan identify a specific procedure for the immediate notification of the
aforementioned officials and for handling and investigating food defense
situations such as internal/external threats, suspicious activity, actual or potential
cases of tampering or other malicious, criminal, or terrorist actions against any
facility producing/assembling/storing, product or shipments intended for DLA Troop
Support Customers?

2. Does your plan have a current list of local, State and Federal Government
Homeland Defense contacts, public health officials and applicable DLA Troop
Support personnel? How often is this list updated? Is this list distributed to
company's personnel and copies maintained at the facility and of site?

3. Have procedures been established with community emergency personnel to
assure proper access to the facility during an emergency while still preventing
public access? Are specially designated entry points for emergency personnel
identified in the plan?

4, Are there provisions in the plan to deal with onlookers or media representatives
that may be present during an emergency situation?

5. Does the plan include an evacuation plan for each facility if necessary (bomb
threat, fire, flood, chemical spill, etc.) and include provisions to prevent product
tampering during the evacuation process?

6. Food Defense exercise/drills: Are these conducted to verify key provisions of
the plan? At what frequency? Are results reviewed and changes made to the
plan if deemed necessary?

7. Are employees trained and instructed to immediately report any sign of possible
product tampering or break in the food defense system? Note: It is imperative
that all employees are reminded that timely notification is essential to any
perceived or potential threat.

B, Communication: Does the plan identify and/or address the following:

1. A policy to ensure employees and truck drivers are frequently reminded to keep
a low profile and not share information regarding products intended for the
military/DLA Troop Support customers: Quantities, criticality of products being
produced or shipped to the military, customer routes, and/or discussed other
information concerning the facility or shipments.

2. Are truck drivers provided/have communication devices and emergency
telephone numbers in the event of an emergency during operation/nonoperation
hours?



Conditions Under Which an Automatic “Unsatisfactory”
Will be Assessed

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

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

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

e Falsification of records.

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

Auditor Completion Instructions

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

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

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

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

¢ The “Doc” column-

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

© A“R” indicates that a record is required to be kept showing an action was
taken.

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

For Official Government Use Only November 9, 2009
AMS, FVP, Fresh Products Branch Page 3


DLA Troop Support FOOD DEFENSE CHECKLIST

dustry, Food Producers, Processors, and Transporters - Food Securit
tional Rations Food Defense Vulnerability Assessment Summary.

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans;
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-
ity Preventive Measures Guidance; and 2006 Joint Government Opera-

USDA-FSIS Industry Self- As-

CONTRACTOR

YES

NO N/A

A

AUDITOR
MU

CAUTION NOTES:

B. If the contractor is purchasing from a list of certified, qualified or approved suppliers,
contracted suppliers and/or if they also buy products from the open market?

C. [f consideration is giving to assure the integrity of food defense measures in the
selection of all suppliers (meat, non-meat ingredients, compressed gas, packaging
materials and labels, etc.)? Does the plan indicate if new suppliers are investigated for
their food defense programs and are the programs of. existing suppliers known and
acceptable?

D. Are food defense controls and issues discussed with suppliers and are suppliers made
aware of DLA Troop Support's Food Defense/Force Protection requirements and the
DLA Troop Support Food Defense Checklist tocation on the Web?

E. With respect to farm practices, have your suppliers instituted food defense programs to
address potential risks on the farm?

F, The type and extent of control exercised by the contractor over their suppliers regarding
food defense and measures that should be taken to protect the ingredients/materials
used in the production of finished products, finished products, and shipments intended
for DLA Troop Support customers?

1/ DLA Troop Support: The Quality Audits Food Defense Branch (FTSB) is the only
DLA/DLA Troop Support office authorized to receive, review and approve Food
Defense/Force Protection plans. ALL Food Defense/Force Protection plans and
QSPs are maintained and secured by FTSB. All FTSB's auditors reviewing Food
Defense Plans possess and maintain, as a minimum, a Secret Clearance prior to re
viewing said plans.

2/ Government Quality Assurance Representatives (GQARs) : GQARs (military
and civilian) performing Government Source inspection at Operational Rations fa
cilities shall NOT be provided a copy of the Food Defense Plan nor be allowed to
remove copies of the plan from the area where the plan is secured at the contractor's
facility. Prior to the contractor authorizing the review of the plan by the supervisory
GQAR assigned to the facility, the GQAR must sign a confidentiality/nondisclosure
agreement and only be allowed to review the plan in a private area under the over
sight of a member of the Company's Food Defense Team, GQARs are required to
call DSCP-FTSB if they have questions/concerns regarding the contractor's food
defense plan.

3/Securing the Food Defense Plan: If a contractor (operational rations) is producing
under the Higher-Level Contract Quality requirements (require a QSP), remove the
Food Defense Plan from the QSP when the QSP is submitted to the Government
Inspection offices/GQAR. Copies of the Food Defense/Force Protection Plan shall
not be provided or mailed to Government visitors or to other unauthorized
personnel. Discussing specific details or allowing unauthorized personnel
(contractor/Governmentother) to review the Food Defense Plan may compromise
the integrity of the plan and/or the security of the facility and the products produced.
Contractors shall immediately contact the applicable DLA Troop Support
Contracting Officer and FTSB if a copy of the plan is requested by unauthorized
personnel or for questions/concerns regarding DLA Troop Support contract
requirements for food defense/force protection.

13,



Questions

Points

YES

NO. | N/A°} Doc

2-11

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

2-12

There is a standard operating procedure or
instructions on what measures should be taken
In the case of product contamination by
chemicals, petroleum, pesticides or other

contaminating factors.

2-13

For mechanically harvested crops, measures are
taken during harvest to Inspect for and remove
foreign objects such as glass, metal, rocks, or
other dangerous/toxic items.

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

Water applied to harvested product Is microbially
safe.

15

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

Transportation equipment used to move product
from fleld to storage areas or storage areas to
processing plant which comes into contact with
product is clean and In good repair.

10

2-18

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

2-19

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

410

2-20

Packaging materials used in ranch or fleld pack
operations are properly stored and protected
from contamination.

40

2-21

Product moving out of the field is uniquely
identified to enable traceability.

10

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9. 2009
Page 12



DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self: As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-

tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR
YES NO N/A

A

AUDITOR
M U

10. Do you have accountability programs, such as “sign-off sheets” for all restricted
ingredients? Is there a list of personnel authorized to handle highly restricted
ingredients?

11. Is controlled access maintained for all product and ingredient storage areas? Is an
access log maintained?

B, Control of hazardous material:

. Are procedures and physical barriers (e.g., locks, keyed access by authorized
personnel only) in place to restrict access to hazardous compounds such as nitrite,
cleaning and sanitizing chemicals, pesticides, ete? Are these materials properly
labeled?

N

Is a daily inventory and material usage log maintained of hazardous chemicals or
other products and are all discrepancies investigated immediately? Are Material
Data Safety Sheets up to date, readily available, and accessible in case of
emergency?

Y

Is there a procedure to ensure cleaning and sanitizing chemicals, lubricants, paints,
pesticides and other non-food chemicals are stored away from food processing
areas, under controlled access and with documented inventory?

>

Is storage areas constructed and safely vented in accordance with national or local
building codes?

aa

Are comprehensive and validated defense and disposal procedures in place,
particularly for the control of agents, hazardous materials and live cultures of
pathogenic bacteria?

VII, PRODUCTION AREAS: Does the plan identify/include/address the following?

A, Control of personal items and equipment issue:

1, Is there a procedure listing and enforcing a policy on what personal items are not
allowed inside the production areas?

2, Are utensils such as hand- held dial thermometers, knives, and/or other potentially
dangerous equipment/utensils distributed and accounted for on a daily basis?

B, Watervice:
1. Water Source: Does the plan identify all sources of water used in the facility (both

potable and non-potable sources) and are defense measures associated with each
source of water?



Response . .
The FSMA recognizes that FDA must have the tc —_to respond effectively when problems emerge _, pite preventive controls.

New authorities include:
Mandatory recall:
The FSMA provides FDA with authority to issue a mandatory recall when a company fails to voluntarily recall unsafe food after being asked
to by FDA,
Expanded administrative detention:
The FSMA provides FDA with a more flexible standard for administratively detaining products that are potentially in violation of the law
(administrative detention is the procedure FDA uses to keep suspect food from being moved).

Suspension of registration:
FDA can suspend registration of a facility if it determines that the food poses a reasonable probability of serious adverse health

consequences or death, A facility that is under suspension is prohibited from distributing food, (Effective 6 months after enactment)

Enhanced product tracing abilities:
FDA is directed to establish a system that will enhance its ability to track and trace both domestic and imported foods. In addition, FOA

is directed to establish pilot projects to explore and evaluate methods to rapidly and effectively identify recipients of food to prevent or
control a foodborne illness outbreak, (Implementation of pilots due 9 months after enactment)

Additional recordkeeping for high risk foods:
“FDA is directed to issue proposed rulemaking to establish recordkeeping requirements for facilities that manufacture, process, pack, or hold
foods that the Secretary designates as high-risk foods. (Implementation due 2 yeors after enactment).

Imports
The FSMA gives FDA unprecedented authority to better ensure that imported products meet U.S. standards and are safe for U.S. consumers.

New authorities include:
Importer accountability:

For the first time, importers have an explicit responsibility to verify that their foreign suppliers have adequate preventive controls in place
to ensure that the food they produce is safe. (Final regulation and guidance due 1 year following enactment)

Third party certification:
The FSMA establishes a program through which qualified third parties can certify that foreign food facilities comply with U.S, food safety

standards, This certification may be used to facilitate the entry of imports.
(Establishment of a system for FDA to recognize accreditation bodies is due 2 years after enactment)

Cartification for high risk foods:
FDA has the authority to require that high-risk imported foods be accompanied by a credible third party certification or other assurance of
compliance as a condition of entry into the U.S,

Voluntary qualified Importer program:
FDA must establish a voluntary program for importers that provides for expedited review and entry of foods from participating importers,

Eligibility is limited to, among other things, importers offering food from certified facilities.

(Implementation due 18 months after enactment)

Authority to deny entry:

FDA can refuse entry into the U.S. of food from a foreign facility if FDA is denied access by the facility or the country in which the facility
is located,

Enhanced Partnerships
The FSMA builds a formal system of collaboration with other government agencies, both domestic and foreign. In doing so, the statute
explicitly recognizes that all food safety agencies need to work together in an integrated way to achieve our public health goals. The

following are examples of enhanced collaboration:
State and local capacity building:
FDA must develop and implement strategies to leverage and enhance the food safety and defense capacities of State and local agencies.
The FSMA provides FDA with a new multi-year grant mechanism to facilitate investment in State capacity to more efficiently achieve
national food safety goats.
Reliance on Inspections by other agencies:
FDA is explicitly authorized to rely on inspections of other Federal, State and local agencies to meet its increased inspection mandate for
both domestic and foreign facilities. The FSMA also allows FDA to enter into interagency agreements to leverage resources with respect to
the inspection of seafood facilities, both domestic and foreign, as well as seafood imports.

Additional partnerships are required to develop and implement a national agriculture and food defense strategy, to establish an integrated
consortium of laboratory networks, and to improve foodborne illness surveillance,

7
For more information about the new law, check out these resources: -
http://www. fda.gov/fsma j
Submit FSMA questions to: FSMA@fda.hhs.gov % —_
om AN


TABLE OF CONTENTS

I, Establishment/Facility Registration ....

I, Food Defense Management Plan and Policy ...

TI. Personnel ....

TV. Security of Perimeter, Buildings, Docks, and Receiving/Shipping Areas .......ss0e+:

V. Receipt Inspection «sss

VI. Warehousing and Storage

VII. Production Areas ....,

VIL. Emergency Procedures

IX. Subcontractors/suppliers ...

CAUTION NOTES .

12

13


"Option B: Composted Manure _| Points | YES| No | N/A | Doc

1-18 Only composted manure and/or treated biosolids

are used as a Soll amendment. 10 R
4-19 | Composted manure and/or treated biosolids are
properly treated, composted, or exposed to D

environmental conditions that would lower the 10
expected level of pathogens.

41-20 | Composted manure and/or treated blosolids are
properly stored and are protected to minimize 10
recontamination.

Analysis reports are available for composted

No animal manure or municipal biosolids are
used.

Soils

YES | NO | N/A [| Doc

Questions

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

performed.
4-24 | When previous land use history indicates a
possibillty of contamination, preventative 10 R

measures have been taken to mitigate the known
risks and soils have been tested for
contaminants and the land use is commensurate
with test results.

1-25 | Crop production areas that have been subjected

to flooding are tested for potential microbial 5 R
hazards.
Traceability
1-26 | Each production area Is identified or coded to
enable traceability In the event of a recall. 10 R
COMMENTS:
For Official Government Use Only November 9, 2009

AMS, FVP, Fresh Products Branch Page 9


Total points earned for General Questions = .
Total Possible = 180 The total number of points possible for this section.

Subtract “N/A” - Enter the additive number of N/A points (+ poinis) here.
Adjusted Total = Subtract the N/A points from the Total possible points.
X .8 (80%) Multiply the Adjusted Total by .8 and show it as the

Passing Score.
Passing Score

(please circle one) Pass / Fail

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

For Official Government Use Only November 9. 2009
AMS. FYP, Fresh Products Branch Page 6


NSN

891501E212161
891501E0S0054
891501E212127
891501E212341
891501£210381
891501E£210208
891501E210410
891501E210078

ALTERNATE SAMPLES

891501210707
891501E£212189
8915011404612
891501£210158
891501E212689
891501E210649
8915002525954
891501E£210505
891501E210068
891501£050232
891501E050126
891501E210253
891501E210344
891501E210398

CONFIDENTIAL INFORMATION

SAMPLING LIST - VEGETABLES
ITEM DESCRIPTION

GREENS, KALE, FLOWERING, FRESH, US#1, 1/25 LB CS
LETTUCE ROMAINE US#1 24 CT 1/35 LB CS
TOMATOES, GRAPE, FRESH, 12/1

LEEKS, FRESH, 12 BUNCHES, 1/20 LB CS

PEPPERS, SWT, FRESH, GREEN, 3" RD, US#1, 1/25 LB CS
PLANTAINS 40LB CASE

SQUASH, FRESH, GREEN, ZUCCHINI, US#1, 1/20 LB CS
EGGPLANT, FRESH, US#1, 1/25 LB CS

SPINACH, FRESH, LEAF, US#1, 4/2.5 LB BGS
ASPARAGUS, FRESH, STANDARD/LG, US#1, 1/11 LB CS
MUSHROOM 10LB FANCY CASE

ONIONS,GREEN, FRESH,US#1,48 CT,1/10 LB CS
CAULIFLOWER, FRESH, 12 CT, 1/25 LB CS
AVOCADOS

POTATO SWEET #1 CASE

CUCUMBERS, FRESH, SUPER SEL, US#1, 1/40 LB CS
CILANTRO, FRESH, 1/10 LB CS

BEAN GRN CHL CUT 1/10 LB CS

SQUASH BUTTERNUT PEEL SEEDED 1/10 LB BG
SPROUTS, ALFALFA, FRESH, 6 LB

LETTUCE, FRESH, ICEBERG, US#1, 24 CT, 1/35 LB CS
POTATOES, WHITE, FRESH, US#1, 80 CT, 1/50 LB CS

PART #

10580
16P33
11662
10650
10900
20786
11460
10520

11340
20470
10680
11242
10380
20323
11500
10500
10475
20206
16B53
11360
10600
11060


NSN

891501E210016
891501E0S0735
891501£050796
891501£050467
891501£050216
891501E051210
8915005824071
891501E210339

ALTERNATE SAMPLES

891501£050215
891501E£050124
891501£050007
891501£050184
891501£050002
891501£051059
891501£210207
891501212420
891501E212348
891501£210284
891501£051602
891501£050123
891501210187
891501E210807

CONFIDENTIAL INFORMATION

SAMPLING LIST - FRUIT.
ITEM DESCRIPTION

BANANAS, FRESH, GREENISH-YELLOW, #4, 1/40 LB CS
APPLE MACINTOSH 125 CT 1/40 LB CS

FRUIT MIX GRAPE/CLOUPE/HDEW/ORANG 4/1 GL
ORANGE US#1 88 CT 1/35 LB CS

PEAR D'ANJOU 120-138 CT 1/40LB CS

GRAPEFRUIT FANCY 1/35 LB CS

LEMONS 140CT CASE

KIWIFRUIT, FRESH, US#1, 39 CT, 1/10 LB

APPLES G/D 125-138 CT 1/40 LB CS

GRAPE GRN/WHT SDLS US#1 1/18 LB CS

LIME US#1 48 CT 1/10 LB CS

ORANGE 113 CT 1/35 LB CS

CANTALOUPE US#1 1/35 LB CS

APPLES, CHL, SL, GRINS, 100/2 OZ CO

PINEAPPLE CHL, CHUNKS, US#1, 1/10 LB CS
GRAPEFRUIT, FRESH, PINK/RED, USF, 32 CT, 1/40 LB CS
HONEYDEW MELON, CHL, CUBED, 2/5 LB CO

APPLES, FRESH, RED DEL, USF, 88 CT, 1/40 LB CS
TANGERINES, FRESH, 40 LB CASE

GRAPES RED SDLS US#1 1/18 LB CS

PEARS, FRESH, BART/ANJOU, US#1, 90-110 CT, 1/44 LB CS
APPLES GOLD 100CT CASE

PART #

20340
14P59
17713
20663
14F15
20443
20543
20520

14F14
20470
14P07
14A02
20582
15M92
70296
20443
70294
20206
16247
14P36
20741
20222


DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision | (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-

tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR
YES NO N/A

A

AUDITOR
M U

2. Ifa municipal water supply is used, is there a procedure to immediately notify
local municipal/health officials in the event of any abnormalities or if the water
supply in the facility is compromised ?

3. Water Testing: If municipal water is used, has the supply system procedure been
reviewed and samples taken at several locations within the plant? Identify
frequency of water testing to verify microbiological and chemical safety? Does
the testing also include testing potable water with respect to federal/state/local
water quality standards? Is the defense of well systems reviewed at least monthly
and samples taken at several locations within the plant for microbiological checks?

Does the plan identify an established schedule for chemical analysis and analysis
for parasites? Identify the frequency.

4, Do you inspect the potable and non-potable water lines in food processing areas
periodically for possible tampering? Identify the frequency.

5. Does your in-plant ice-making equipment and ice storage facilities monitored and
have controlled access?

C. Ingredient Safety:

1. Are procedures in place to monitor the operation of pieces of equipment
(blenders, choppers, poultry chill tanks, etc.) to prevent product tampering?

2. Does the plan indicate if projected and actual use of restricted ingredients is
verified at the end of each day, by someone other than the employee who logs the
ingredient?

3. Does the plan indicate if the integrity of packaging materials of all spices and
restricted ingredients (including premixes prepared in the plant) are verified
prior to use?

D. Batching/Mixing:

1. Is access to product production or holding areas restricted to plant employees
and authorized inspection personnel only?

2. What types of controls are in place during mixing/batching of product or
ingredients to prevent employee tampering, especially in areas where employees
are by themselves without supervision or a coworker present??

3. Have points where clandestine access to product is possible been identified?
Are these points monitored? How?

4, Are areas in which large amounts of product are exposed, (¢.g., vats, kettles,
tanks, chillers, cooler, etc.) restricted?



FORWARD
DLA TROOP SUPPORT FOOD DEFENSE CHECKLIST
April 28, 2011

BACKGROUND INFORMATION: The original DLA Food Security Checklist was developed by FTSB in October
2001 and distributed along with a precautionary letter to all contractors/subcontractors manufacturing, re-packaging,
assembling, distributing, transporting, or storing operational rations during the Research Development Associates
(R&DA) Conference in October 17, 2001. This alert was issued as a precaution due to the heightened state of security
awareness in the USA after the September 11, 2001 terrorist attacks. While the original DLA Troop Support FD
Checklist was modified and used as a model to develop "other" FD Checklists by other Government entities and in-
dustry, the basic elements developed by DLA Troop Support are the same.

FOOD DEFENSE/SECURITY/FORCE PROTECTION PLAN (operational rations, Prime vendor, and others).
Currently, all DLA Troop Support Subsistence contracts have a requirement for the submission and implementation
of some type of Food Defense at each contractor facility. Areas of concern listed in this checklist must be addressed in
the plan. As a result of increased risk for the potential of intentional food tampering the plan shall describe (in general
terms) the type of preventive measures that are taken or will be taken to reduce food defense vulnerabilities and to
protect the food intended for DLA Troop Support's customers at CONUS and OCONUS locations. The plan must
include preventive steps taken to safeguard product from intentional tampering/ contamination during all stages of
receipt, production, storage, assembly, delivery, and shipment, Ifa Food Defense Plan (including Food Defense Plans
Covered in QSP) was previously submitted to DLA Troop Support, identify the office, name of the person the plan
was submitted to, date of submittal, and rating assigned. The following information may be covered in the Food
Defense Plan or under other pertinent areas of the QSP, if a QSP is required for the facility. If some of the food de-
fense information is covered in the QSP (e.g., receipt inspection, storage, warehousing, training, traceability, mock
recalls, etc.) cross-reference the applicable Section/ Area of the QSP. If the plan is submitted with the QSP, a rating
(separate from the QSP) of acceptable, marginally acceptable, or unacceptable will be assigned to the Food Defense/
Security/Force Protection Plan, Note: Points will be deducted for not responding to a question with a YES, No, NIA
or for not providing the information requested (¢.g., establishment registration information). Appendix A of the DLA
Troop Support Quality Systems Audit Workbook I: Documented Quality Systems Plans (QSP) Evaluation
Guideline, Revision 5, contains a copy of this Checklist.

This revision to the DLA/DLA Troop Support Food Defense Checklist contains the following changes:

1. The DLA Food Defense Checklist title was changed to “The DLA Troop Support Food Defense Checklist”
since DLA Troop Support developed the original checklist and DLA vested all food defense responsibilities to FTSB
during the FT reorganization in 2005. This change was made to clearly identify the office with “official” responsibility
for food defense for all DLA Troop Support subsistence contractors and, to facilitate immediate changes should
unexpected circumstances dictate the need for changes, based on DLA Troop Support audit results/site visits/risk
assessments at contractors’ facilities, and/or feedback from inspection agencies (e.g., USDA-AMS, USDC, US Army
Food inspectors, etc.) supporting DLA Troop Support and/or changes in regulatory requirements. The goal is to clarify
roles and responsibilities for food defense for all DLA Troop Support subsistence contracts and facilitate changes to
food defense requirements in case of unexpected circumstances.

p

Food Defense was removed from Section V of the DLA Troop Support Quality Systems Audit Workbook I:
Documented Quality Systems Plans (QSP) Evaluation Guideline and made into a stand alone document. The goal is to
reduce duplication and contradictions of the checklists used by subsistence contractors and DLA Troop Support
personnel.

e

. This document serves three purposes: (1) To communicate to prospective contractors the information that
is expected to be addressed/included in their Documented Food Defense Plan submitted with their
‘Technical Proposals/Bids. To ensure contractors address issues and respond to questions deemed critical
to food defense at production facilities, ration assembly/subassembly/packaging facilities, Prime Vendor
facilities, and/or other type of food distribution/ storage facilities located at CONUS and OCONUS.
locations; (2) Used by FI'SB's Lead Auditors to determine if prospective contractors have
satisfactorily addressed/included information applicable to their type of facility (3) Used by FTSB's Lead
‘Auditors during compliance quality audits, Quality Systems Management Visits, and/or reviews to
determine compliance, and effectiveness of the plan in reducing identified vulnerabilities in the system/ facility.

To download a copy of the DLA Troop Support Food Defense Checklist go to http:/www.dscp.dla.mil/subs/
fs_check.pdf or contact the applicable DLA Troop Support Contracting Officer or the Quality Audits & Food
Defense Branch (FTSB) Beneficial comments (recommendations, additions, deletions) and any pertinent data
which may be used in improving this document should be addressed to: DLA TROOP SUPPORT, Directorate
of Subsistence, Bldg. (ATTN: FTSB, 700 Robbins Street, Philadelphia, PA19111-5092, Fax (215) 737-0379 or
Voice (215) 737-8656/3876,



USDA Good Agricultural Practices & Good Handling Practices
Audit Verification Checklist

USDA

GAP & GHP

| AUDIT PROGRAM |
FRUIT & VEGETABLE PROGRAMS

This program Is intended to assess a participant's efforts to minimize the risk of contamination
of fresh fruits, vegetables, nuts and miscellaneous commodities by microblal pathogens based
on the U.S. Food and Drug Administration’s “Guide to Minimize Microblal Food Safety Hazards
for Fresh Fruits and Vegetables.”

Firm Name:

Contact Person:

Audit Site(s):

Main Address:

City: State: Zip:
Telephone No: Fax:

E-mail:

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

USDA or Fed-State Office performing audit:

Date & Time Arrived: Date & Time Departed:

Travel Time: Code:

Person(s) Interviewed: (use back of sheet if necessary to list all persons interviewed).

Did the auditee participate in GAP & GHP training?

Yes OWNer

For Official Government Use Only November 9, 2009
AMS, FVP, Fresh Products Branch Page |


DEFENSE LOGISTICS AGENCY
TROOP SUPPORT
700 ROBBINS AVENUE
PHILADELPHIA, PENNSYLVANIA 19111-5092

REPLY TO
ATTENTION OF

FTSB 10 May, 2012

SUBJECT: Defense Logistics Agency Troop Support Produce Quality Audit

123 Avenue
Any Town, USA

Dear aa

‘This letter serves as notification of an upcoming DLA Troop Support Produce Quality Audit. This audit
will cover all produce items listed in the contractor’s catalog under contracts SPM300-

Additionally, the DLA Troop Support Produce Quality Audit Team will review the Food Defense/Force
Protection and Sanitation programs, at your Any Town, USA facility, as a part of the USDA-AMS Good
Agricultural Practices (GAP)/Good Handling Practices (GHP)/Hazard Analysis Critical Control Point
(HACCP -applicable to facilities with Fresh-Cut operations) Audits. The DLA Troop Support Produce
Quality Audit Team will conduct the aforementioned GAP/GHP on 14 July, 2012; while the audit
samples for the Produce Quality Audit will be pulled/selected by the USDA-AMS auditor. The Produce
Quality Audit will be held at your Any Town, USA facility on 12 July, 2012. Schedule for the Produce
Audit and GAP/GHP Audits will be as follows:

Wednesday, 11 July -0830 AM- 0900- DLA Troop Support Quality Audit Team Meeting
(Government personnel only)

-0900-0930- In-Briefing

-0930- 5:00- Selection of Commodity Samples and GAP/ GHP/HCCP
Audit

Thursday, 12 July -Arrive at 8:00 AM- Preparation of Samples
-8:30 AM- 5:00 PM- Produce Quality Audit

The DLA Troop Support Produce Quality Audit Program covers all produce items listed in the
contractor’s catalog (fresh, fruits and vegetables, fresh-cut products, etc.) and functions as a Service and
Quality Assurance check for DLA Troop Support customers to ensure customers are receiving safe
produce of an optimum quality level. The audit objectives focus on the following:

1. Contractor’s adherence to contractual requirements

2. Compliance with the specified US Grade or higher

3. The quality level of the products supplied is satisfactory and uniform.
4, There is no product misrepresentation or unapproved substitution.


Questions

Points

YES

NO | N/A

Doc

6-30

Repacking/reconditioning processes are
confined to an established location in the

facility.

6-31

Food contact surfaces are In good condition;
cleaned and/or sanitized prior to use and
cleaning logs are maintained.

15

6-32

Source water used in the repacking operation
Is potable.

15

6-33

Processing water is sufficiently treated to
reduce microbial contamination of the product.

40

6-34

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

10

6-35

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

10

6-36

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

10

6-37

Water used for chilling and/or to make Ice Is
potable.

15

6-38

Only food grade approved and labeled
lubricants are used in the repacking
equipment/imachinery.

10

6-39

Only new or sanitized containers are used for
product repacking.

10

6-40

Pallets and other containers are clean and in
good condition.

6-41

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

10

Worker Health and Personal Hygiene

6-42

Employee facilities (locker rooms, lunch and
break areas, etc.) are clean and located away
from repack and storage area.

10

6-43

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

6-44

When there Is a written policy regarding the
wearing of Jewelry in the facility, it is being
followed by all employees and visitors.

Shipping/Transportation

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9. 2009

Page 24



DLA Troop Support FOOD DEFENSE CHECKLIST

tional Rations Food Defense Vulnerability Assessment Summary.

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-

CONTRACTOR
YES NO N/A

A

AUDITOR
M U

K. Indicate if employees performing monitoring activities are delegated authority to take
immediate action if there are signs that may indicate a breach in security/problem?

L. Are computer hardware, software, and paper records documenting food production
controls backed -up, secure? If so, is access to these passwords controlled and are they

changed periodically?
II. PERSONNEL: Employees, visitors, contract workers and others.

A. Employees: Under Federal law, food establishment operators are required to verify the
employment eligibility of all new hires, in accordance with the requirements of the
Immigration and Nationality Act, by completing the INS Employment Eligibility
Verification Form (INS Form I-9). Completion of Form 1-9 for new hires is required by
8 USC 1324a and nondiscrimination provisions governing the verification process are
set forth at 8 USC 1324b. Note: screening procedures should be applied equally to all
staff, regardless of race, national origin, religion, and citizenship or immigration status.

1, Employee references/background checks. Does the plan identify/include/
address the following?

- Employment references, addresses, and phone numbers supplied by
employees on the application form are verified for ALL employees (i.e,
seasonal, temporary, permanent, contract workers, etc.) prior to hiring.

- If background checks are not required for ALL employees, does the plan
identify employees (seasonal, temporary, permanent, and contract
workers) by position, subjected to background checks before hiring?

- Are employees hired prior to verification of employment references or
background checks are completed.

- Clearly identify the responsible official(s) with cognizance fro ensuring
employment references, background checks and security clearances (i.e.,
Top Secret or Secret) if required are verified and up to date (i.e., current)
and stipulate the required frequency (e.g., semi-annual, etc.) of these
reviews.

- If an external personnel agency is used are the recruitment methods
utilized by said external personnel agency known?



DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E, USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive $420.1, Revision | (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-
tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR AUDITOR:
YES NO NIA A M U

I, ESTABLISHMENT/FACILITY REGISTRATION:
See FDA Fact sheets summarizing the rules and the rules at
http:/Avww.efsan.tda.gov/dms/fsblact.htial. FDA electronic registration for food facilities, foreign and
domestic is available online at http://w ww.clsun.fda.gov/furls/ovfieg.html, Registration by Paper
(Mail or FAX) - You must register using Form 3537, Forms are available for download. This PDF
version of the form must be used for submission, Help for using PDF files and information on
downloading free PDF readers is available at http://vww.clSan. da gov/tiwhelp2.html, You may also
obtain a copy of this form by writing to the U.S, Food and Drug Administration, HFS-681, 5600 Fish-
ers Lane, Rockville, MD 20857, or by requesting the form by phone at 800-216-7331 or 301-575-
0156.

A. Does the plan clearly indicate the facility/establishment is registered with FDA as per the CFR?
B, Does the plan identify the establishment number and the date the facility was registered?

I, FOOD DEFENSE MANAGEMENT PLAN AND POLICY: Does the plan identify/ include/
address the following?

A.A policy statement concerning top management support for food defense and the integrity of food
supplies.

B, The risk management principles/guidelines used to develop and implement the plan (example
FDA, USDA-FSIS, industry guidelines, ete.).

C. Organizational charts clearly identifying management personnel (by position) involved with the
company's Food Defense.

D, Identify the Food Defense Manager/Coordinator or the responsible management official with the
overall responsibility for: Reviewing the adequacy, implementation and effectiveness of plan;
control and security of the plan and all copies; and determining whether a private firm is needed
to assess risk or reduce food defense vulnerabilities.

E, Ifa team concept is used for Food Defense, each member (by position) of the team and their
specific assigned responsibilities must be identified.

F. The frequency of review (ie., adequacy of Food Defense Plan). The frequency should be at least
annually to be in concert with DLA Troop Support’s Quality audit schedule at the facilities and
the requirement for QSP reviews! intemal audits.

G. Responsibilities for monitoring and controlling each area identified in the plan.

HL How the contractor maintains confidentiality of the plan and details that may compromise the
security of the facility or the integrity of the plan.

J. Identify personnel (by position) authorized to have copies of the plan, Identify who, where, and
how copies are maintained, controlled and secured,



About 48 million people (1 in 6 Americans) get sick, 128,000 are hospitalized, and 3,000 die each year from foodborne diseases, according
to recent data from the Centers for Disease Control and Prevention, This is a significant public health burden that is largely preventable.

The FOA Food Safety Modernization Act (FSMA), signed into law by President Obama on Jan. 4, 2011, enables FDA to better protect public
health by strengthening the food safety system. It enables FDA to focus more on preventing food safety problems rather than relying
primarily on reacting to problems after they occur. The law also provides FDA with new enforcement authorities designed to achieve higher
rates of compliance with prevention- and risk-based food safety standards and to better respond to and contain problems when they do
occur. The law also gives FDA important new tools to hold imported foods to the same standards as domestic foods and directs FDA to build
an integrated national food safety system in partnership with state and local authorities,

Building a new food safety system based on prevention will take time, and FDA is creating a process for getting this work done.

Congress has established specific implementation dates in the legislation. Some authorities will go into effect quickly, such as FDA’s new
authority to order companies to recall food, and others require FDA to prepare and issue regulations and guidance documents. The funding
the Agency gets each year, which affects staffing and vital operations, will also affect how quickly FOA can put this legislation into effect.
FDA is committed to implementing the requirements through an open process with opportunity for input from all stakeholders,

The following are among FDA’s key new authorities and mandates. Specific implementation dates specified in the law are noted in
parentheses:

Prevention .
For the first time, FDA will have a legislative mandate to require comprehensive, science-based preventive controls across the food supply.

This mandate includes:

Mandatory preventive controls for food facliitles:

Food factlities are required to implement a written preventive controls plan, This involves: (1) evaluating the hazards that could affect
food safety, (2) specifying what preventive steps, or controls, will be put in place to significantly minimize or prevent the hazards, (3)
specifying how the facility will monitor these controls to ensure they are working, (4) maintaining routine records of the monitoring,
and (5) specifying what actions the facility wilt take te correct problems that arise. (Final rule due 18 months following enactment)

Mandatory produce safety standards:
FOA must establish science-based, minimum standards for the safe production and harvesting of fruits and vegetables. Those standards

must consider naturally occurring hazards, as well as those that may be introduced either unintentionally or intentionally, and must
address soil amendments (materials added to the soit such as compost), hygiene, packaging, temperature controls, animals in the
growing area and water, (Final regulation due about 2 years following enactment)

Authority to prevent intentional contantination:
FDA must issue regulations to protect against the intentional adulteration of food, including the establishment of science-based mitigation

strategies to prepare and protect the food supply chain at specific vulnerable points. (Final rule due 18 months following enactment)

Inspection and Compliance

The FSMA recognizes that preventive control standards improve food safety only to the extent that producers and processors comply with
them, Therefore, it will be necessary for FDA to provide oversight, ensure compliance with requirements and respond effectively when
problems emerge, FSMA provides FDA with important new tools for inspection and compliance, including:

Mandated inspection frequency:

The FSMA establishes a mandated inspection frequency, based on risk, for food facilities and requires the frequency of inspection to
increase immediately. All high-risk domestic facilities must be inspected within five years of enactment and no less than every three years
thereafter, Within one year of enactment, the law directs FDA to inspect at least 600 foreign facilities and double those inspections every

year for the next five years,

Records access:
FDA will have access to records, including industry food safety plans and the records firms will be required to keep documenting

implementation of their plans.

Testing hy accredited laboratories:
The FSMA requires certain food testing to be carried out by accredited laboratories and directs FOA to establish a program for

laboratory accreditation to ensure that U.S. food testing laboratories meet high-quality standards,
(Establishment of accreditation program due 2 years after enactment)

3/2014


Transportation

_ Questions

Points | YES | NO | N/A | Doc

4-24

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

10

4-25

Produce items are not loaded with potentially
contaminating products.

10

4-26

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

10

4-27

Conveyances are loaded to minimize damage to
product.

Worker Health and Persona! Hygiene ,

4-28

Employee facilities (locker rooms, lunch and
break areas, etc.) are clean and located away
from storage, shipping and receiving areas.

10

4-29

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

4-30

When there is a written policy regarding the
wearing of Jewelry in the storage and
transportation areas, it is being followed by all
employees and visitors.

Traceability

4-31

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

10

COMMENTS:

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9, 2009
Page 20



Questions Points | YES | NO-| N/A | Doc

4-11 | Measures are taken to restrict access of livestock
to the source or delivery system of crop irrigation 40
water.

1-12 | Crop production areas are monitored for the
presence or signs of wild or domestic animals 5 R
entering the land. -
1-13 | Measures are taken to reduce the opportunity for
wild and/or domestic animals from entering the 5 R
crop production areas.

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

Option A. Raw manure or a combination of raw and composted manure is
used as a soll amendment.

Option B. Only composed manure/treated municipal blosolids are used as
a soil amendment.

Option C, No manure or municipal biosolids of any kind are used as a soil
amendment.

Only answer the following manure questions (questions 1-14 to 1-22) that are
assigned to the Option chosen above, DO NOT answer the questions from the other
two options. The points from the manure and municipal biosolids are worth 35 of a
total 155 points, and answering questions from the other two options will cause the

points to calculate incorrectly.

z j Option: A: Raw Manure Points:| YES | "NO. | N/A | Doc
1-14 | When raw manure is applied, it is incorporated at
least 2 weeks prior to planting and a minimum of 10 R
120 days prior to harvest.
1-15 | Raw manure is not used on commodities that are Ee
harvested within 120 days of planting. 10 : R
4-16 | If both raw and treated manure are used, the
treated manure is properly treated, composted or 10 R
exposed to reduce the expected levels of
pathogens.
1-17 | Manure is properly stored prior to use. 5
For Official Government Use Only November 9, 2009

AMS, FVP, Fresh Products Branch Page §



Questions _

Points

YES |

Doc

6-45

Prior to the loading process, conveyances are
required to be clean, In good physical
condition, free from disagreeable odors, from
obvious dirt/debris.

10

6-46

Produce items are not loaded with potentially
contaminating products.

10

6-47

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

10

Traceability

6-48

Records are kept recording the source of
incoming product and the destination of
outgoing product which is uniquely Identified
to enable traceability.

10

COMMENTS:

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9, 2009
Page 25



Part 1 — Farm Review
Water Usage

(1-1) What is the source of irrigation water? (Pond, Stream, Well, Municipal, Other) please
specify

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

Water Quality Risks

=. Questions _ : YES [| NO | N/A | Doc
A water quality assessment has been performed to
determine the quality of water used for Irrigation 15 D

purposes on the crop(s) being applied.

1-4 | A water quality assessment has been performed to
determine the quality of water used for chemical 15 D
application or fertigation method.

4-5 | If necessary, steps are taken to protect irrigation
water from potential direct and non-point source 15
contamination.

Sewage Treatment

‘Doc

ST YESTIN

4-6 | The farm sewage treatment system/septic system
functions properly and there is no evidence of 15
leaking or runoff.

1-7 | There is no municipal/commercial sewage
treatment facility or waste material landfill adjacent | 10
to the farm.

Animals/Wildlife/Livestock

: SS Questions

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

4-9 | Manure lagoons located near or adjacent to crop
production areas are maintained to prevent
leaking or overflowing, or measures have been 40
taken to stop runoff from contaminating the crop
production areas.

4-10 | Manure stored near or adjacent to crop production
areas is contained to prevent contamination of 40
crops.

For Official Government Use Only November 9, 2009
AMS, FVP, Fresh Products Branch Page 7


PRIME VENDOR'S CORRECTIVE AND PREVENTIVE ACTION PLAN (CPAP)

Prime Vendor Name: CPAP Due Date:
Product Rating: Contract Officer:
Audit Date: - Product Stock Number:
Lead Auditor: DLA Troop

Support Product
Pareto: Nomenclature:

‘The corrective and preventive action plan (CPAP) must address items 1 thru 5 for deficiencies noted during the
Product Audit, on or before the due date indicated above. A copy of the CPAP must be submitted to the
Contracting Officer identified above and DLA Troop Support-FTSB.

1. PRODUCT DEFICIENCY NOTED AT AUDIT, PV PART NUMBER, # OF CASES REMAINING IN STOCK,
IDOP, EXPIRATION DATE:

2. ROOT CAUSE OF THE DEFICIENCY:

3, ACTION TAKEN TO CORRECT THE DEFICIENCY:

4, ACTION TAKEN TO PREVENT RECURRENCE OF DEFICIENCY (ROOT CAUSE):

5. FINAL DISPOSITION OF PRODUCT (stop issue date, waiver provided by KO, destroved, etc.):

6, PRIME VENDOR'S REPRESENTATIVE RESPONSIBLE FOR IMPLEMENTING AND VERIFYING
EFFECTIVENESS OF CPAP (Date will be CPAP implementation/effective date):

REPRESENTATIVE PRINTED NAME REPRESENTATIVE SIGNATURE DATE

DISPOSITION OF CORRECTIVE ACTION - (AUDITOR ONLY)
IS PV'S CPAP SATISFACTORY? yes. No. IF NO, NEW SUSPENSE DATE:

FOLLOW-UP AUDIT REQUIRED: ¢~ yes ¢ NO

AUDITOR'S SIGNATURE: DATE:

DLA TROOP SUPPORT-FTSB JUNE 2009


DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-
tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR AUDITOR
YES NO NAT A M oU

C. Recall strategy:

1, Does the plan identify the person responsible (appropriate backups) for
investigating and proper handling and disposition of recalled product, identifying
customer contacts, addresses and phone numbers.

2, Is there a program in place to ensure the timely identification and segregation of all
products involved in the event of deliberate product contamination? Does this
programm identify the corrective action plan for product tampering to ensure
adulterated and/or potentially injurious products do not enter commerce and the
immediate recall of adulterated products from trade and consumer channel?

3. Does the plan identify a procedure for the safe handling and disposal of products
contaminated with chemical or biological agents)?

4, Do you have a relationship established with appropriate analytical laboratories
(Government and/or private) for possible assistance in the investigation of
product-tampering cases?

5. Product Mock recalls: Are these conducted to verify key provisions of the plan If so
at what frequency? Note: The DLA Troop Support Quality Audits & Food Defense
Branch (FTSB) conduct unannounced product mock recalls periodically of actual
products delivered to DLA Troop Support customers and/or ingredients/materials
used in the production and packaging of food products. Operational ration
contractors, Prime Vendors, and other subsistence contractors must be able to
account for raw ingredients used in the production of food products, oxygen
scavengers, and packaging (material that come in direct contact with food) and/or
products shipped to DLA Troop Support customers within 24-hours of first contact,
During DLA Troop Support Mock recalls contractors must able to identify quantity
received/used/in-storage at their facility and quantity shipped to each DLA Troop
Support customer, etc.

a

Are you performing a defense inspection of all storage facilities (including
temporary storage vehicles) regularly, and logging the results? If so at what
frequency?

7. Does the plan identify a procedure to ensure the trace-back and trace-forward of all
raw materials and finished products?

IX. SUBCONTRACTORS/SUPPLIERS: Does the plan identify/include/address the
following:

A. If the contractor verifies suppliers/subcontractors' compliance with FDA's
establishment registration requirement as per the CFR? Is a current list of suppliers,
establishment numbers, items produced, and date of registration maintained for each
supplier?



File Code 159-A-1

March 2009

4. Does the HACCP plan address the | Review written HACCP plan to determine if critical limits are
application of critical limits which’ | established.
must be controlled at a CCP(s) to
prevent, eliminate, or reduce each
potential food safety hazard?

5. Does the HACCP plan address the | Review written HACCP plan to determine if monitoring
application of monitoring procedures for each CCP are identified and described,
procedures to assess whether
CCP(s) is/are under control to
prevent, eliminate, or reduce each
potential food safety hazard?

Sa, Are monitoring procedures Review written HACCP plan and the appropriate records to
followed? determine if monitoring procedures are followed, Also
observe plant activity for evidence of this.

6. Does the HACCP plan address the | Review written HACCP plan to determine if corrective actions
establishment of corrective are established and described.
actions?

6a, Are corrective actions taken when | Review written HACCP plan and the appropriate records to
there is a deviation from determine if corrective actions were taken as described in the
established critical limits? plan, Also observe plant activity for evidence of this,

1 Does the HACCP plan address the} Review written HACCP plan to determine if verification
application of verification procedures are identified and described.
procedures to confirm that the
systems are operating according to
the plan?

Ta Ate verification procedures Review written HACCP plan and the appropriate records to
followed? determine if verification procedures are followed.

8, Does the HACCP plan address the | Review written HACCP plan to determine if record-keeping
establishment of record-keeping and documentation procedures are identified and described.
and documentation procedures for
the HACCP plan?

a Are applicable “Good Obtain information from management, review appropriate
manufacturing Practices” (GMP) documents, and observe operations to assess whether the
and prerequisite programs GMPs and prerequisite programs are addressed by
addressed by management? management,

9a, Are documented Standard Review written applicable HACCP plan and facility
Sanitation Operating Procedures | documentation to determine if SSOPs are identified and
(SSOPs) addressed? described.
ob. Are documented Supplier Control | Review written applicable HACCP plan and facility
Procedures (SCPs) addressed? documentation to determine if SCPs are identified and
described, .

9e, Are documented specifications for | Review written applicable HACCP plan and facility
ingredients, products, and documentation fo determine if applicable specifications for
packaging materials addressed? ingredients, products, and packaging materials are identified

aud described,
9d. Are documented receiving, Review written applicable HACCP plan and facility

storage, and shipping procedures
addressed?

documentation to determine if procedures are identified and
described for receiving, storage, and shipping procedures,



Packing House Worker Health & Hygiene

: 5 Questions _ | roints
Employee facilities (locker rooms, lunch and
break areas, etc.) are clean and located away 40

from packing area.

3-13 | When there is a written policy regarding the use
of hair nets/beard nets in the production area, it 5 P
is being followed by all employees and visitors.
3-14 | When there is a written policy regarding the
wearing of Jewelry in the production area, It Is 5 P
being followed by all employees and visitors.

Packing House General Housekeeping

labeled lubricants

3-15 | Only food grade approved an

are used In the packing equipment/machinery. 10 R
3-16 | Chemicals not approved for use on product are

stored and segregated away from packing area. 10
3-17 | The plant grounds are reasonably free of litter

and debris. 5
3-18 | The plant grounds are reasonably free of 5

standing water.

3-19 | Outside garbage receptacles/dumpsters are
closed or are located away from packing facility
entrances and the area around such sites Is 5
reasonably clean.

3-20 | Packing facilities are enclosed.

5
3-21 | The packing facility interior is clean and
maintained in an orderly manner. 5
3-22 | Floor drains appear to be free of obstructions. 5
3-23 | Pipes, ducts, fans and ceilings which are over
food handling operations are clean. 5
3-24 | Glass materials above product flow zones are 40

contained in case of breakage.

3-25 | Possible wastewater spillage is prevented from
contaminating any food handling area by 40
barriers, drains or a sufficient distance.

3-26 | There is a policy describing procedures which
specify handling/disposition of finished product

which Is opened, spilled or comes into contact 15 P
with the floor.
3-27 | Only new or sanitized containers are used for D
packing the product. 10
For Official Government Use Only November 9, 2009

AMS, FVP, Fresh Products Branch Page 15


Questions Points |YES’| NO | NIA | Doc

3-28 | Pallets and containers are clean and In good

condition. 5
3-29 | Packing containers are properly stored and -

protected from contamination (birds, rodents, 10

and other pests).

Pest Control
Questions Points| YES :| NO. | N/A Doc

3-30 | Measures are taken to exclude animals or pests D

from packing and storage facilities. 10
3-31 | There is an established pest control program for D

the facility. 10
3-32 | Service reports for the pest control program are

available for review. 5 R
3-33 | Interior walls, floors and cellings are well

maintained and are free of major cracks and 5

crevices.

Traceability

3-34 | Records are kept recording the source of

incoming product and the destination of D

outgoing product which Is uniquely identified to | 1° A

enable traceability.
COMMENTS:

For Official Government Use Only
AMS. FYP, Fresh Products Branch

November 9, 2009

Page 16



File Code 159-A-1

March 2009
APPENDIX D
HAZARD ANALYSIS AND CRITICAL CONTROL POINT (HACCP)
VERIFICATION SURVEY
The questions on HACCP listed below are to be evaluated based on the facility’s YES| NO | RATING:
HACCP plan. Fox a facility to pass this survey, all questions must have a “YES” If “No” rate
response. Any “NO” response results ina “Critical” rating. as Critical,
IL Does management have a wrilten HACCP plan?

la, {Is the HACCP plan implemented?

Is there evidence of management commitment and are the appropriate
personnel aware of their responsibilities for the implementation and
maintenance of the company’s HACCP plan?

[Does the HACCP plan have a written hazard analysis which lists and

2. evaluates the hazards associated with the commodity and process under
consideration by this survey?

Does the HACCP plan address the application of one or more critical

3. control point(s) (CCP) which is/are essential to prevent, eliminate, or
reduce each identified potential food safety hazard?

Does the HACCP plan address the establishment of critical limits within
4, which CCP(s) must be controffed to prevent, eliminate, or reduce each
identified potential food safety hazard?

Does the HACCP plan address the application of monitoring procedures to
5. . assess whether CCP(s) is/are under control to prevent, eliminate, or reduce
leach identified potential food safety hazard?

Sa, |Are monitoring procedures Iollowed?
6. Does the HACCP plan address the establishment of corrective action(s)?

Are corrective actions taken when there is a deviation from established
critical limits?

Does the HACCP plan address the application of verification procedures

6a,

1 to confirm thal the systems are operating according to the plan?
7a, |Are verification procedures followed?
8 Does the HACCP plan address the establishment of record-keeping and
: documentation procedures for the HACCP plan?
9. (Are applicable “Good Manufacturing Practices” (GMP) and prerequisite

programs addressed by management?

Are documented Standard Sanitation Operating Procedures (SSOPs)
addressed?

9b, _jAre documented supplier control procedures addressed?

Are documented specifications for ingredients, products, and packaging
materials addressed?

9d. {Are documented receiving, storage, and shipping procedures addressed?
Se. {Are documented pest control program and procedures addressed?

9f, |Are documented traceabilily and recall procedures addressed?

9g. _|Are documented chemical control pracedures addressed?

9h. {Are documented personal hygiene procedures addressed?

Are documented employee training program for GMPs, HACCP, and
sanitation addressed?

9a.

9e.

9.



General Questions

Implementation of a Food Safety Program

antibacterlal soap and potable water for hand

washing.

: Questions Points| YES: | NO.) N/A |.Doc
P-1 | A documented food safety program that
incorporates GAP and/or GHP has been -S D
implemented.
P-2 | The operation has designated someone to
implement and oversee an established food #2
safety program. D
Name
Traceability
: 3 Questions : — ss) Points| YES | NO. | N/A.) Doc
G-1 | A documented traceability program has been
established. 15 D
G-2 | The operation has performed a “mock recall” that
was proven to be effective. 10 R
Worker Health & Hygiene
ae See Questions. = T= [Points YES/NO | N/A.| Doc
G-3 | Potable water is available to all workers. 40 R
G-4 | All employees and all visitors to the location are
required to follow proper sanitation and hygiene 40 p
practices.
G-5 | Training on proper sanitation and hygiene
practices is provided to all staff. 15 D
G-6 | Employees and visitors are following good
hygiene/sanitation practices. 15
G-7_ | Employees are washing their hands before 15
beginning or returning to work.
G-8 | Readily understandable signs are posted to
instruct employees to wash their hands before 410
beginning or returning to work.
G-9 | All tollet/restroom/field sanitation facilities are
clean. They are properly supplied with single use
towels, toilet paper, and hand soap or 45

For Official Government Use Only
‘AMS. FVP. Fresh Products Branch

November 9, 2009

Page 4



File Code 159-A-1
March 2009

Compliance Guidelines for

Appendix D - Hazard Analysis and Critical Control Point (HACCP)
Verification Survey

NOTE — Apply compliance guidelines to determine appropriate response to the questions.

Reference

Questions

Compliance Guidelines

Number
L

Does management have a written
HACCP plan?

Review HACCP plan documentation which should, at least,

include the following:

* — Organizational chart with assigned responsibilities;
Summary of hazard analysis;
Description of product, its distribution, intended use, etc.;
Product flow diagram;
HACCP plan which identifies hazard(s), and describes the
critical control points, critical limits, monitoring

+ procedwes, corrective actions, verification procedures,
record-keeping and documentation procedures;

"HACCP plan summary table;

= Support documentation such as validation records; and

* Records generated by implementation of the HACCP plan.

fa.

Has the HACCP plan been
implemented?

Implementation involves the continual application of the
monitoring, record-keeping, corrective action, verification
procedures, and other activities described in the HACCP plan.
Observe plant activity and review records for evidence of this.

ib.

Is there evidence of management
commitment and are the
appropriate personnel aware of
their responsibilities for the
implementation and maintenance
of the company’s HACCP plan?

HACCP plan implementation is facilitated by commitment
from top management. This commitment provides facility
personnel with a sense of the importance of producing safe
product. Observe plant activity and review records for
evidence of this, Interviewing certain plant personnel may be
necessary,

Does the HACCP plan have a
written hazard analysis which lists
and evaluates the hazards
associated with the commodity and
process under consideration by this
survey?

Review the written hazard analysis to determine if it addresses
the product and process designated for consideration by this
survey.

3.

Does the HACCP plan address the
application-of one or more critical
control point(s) (CCP) which is/are
essential to prevent, eliminate, or
reduce each identified potential
food safety hazard?

Review written HACCP plan to determine if CCPs are
identified. .



©

Swen

wd

@

®

PRODUCE QUALITY AUDIT RATINGS (COLOR CODE RATING SYMBOLOGY)

ACCEPTABLE (GREEN) = Acceptable. No deviations from the contract or the item
description stock number requirements.

MINOR NONCONFORMANCE (YELLOW) = Not fully acceptable. A Minor
nonconformance is a deviation from the contract or the item description stock number
requirements, This minor nonconformance is not likely to materially reduce the usability or
serviceability of the item for its intended purpose and, depending on the defect, or affect is its
condition and/or the continued storage of the item for further use. Products that meet the
specified US Grade_but exhibit product defects (decay, spoilage, skin breakdown, etc.) likely to
continue affecting the condition of the product and continue deteriorating during storage and/or
effecting good product if defective units are not removed from cases/containers. Examples of
other minor nonconformances: Cataloging issues; Minor or workmanship/fabrication violations
(fresh-cut products); Minor weight violations; Minor deviations from packing, packaging,
labeling and marking requirements that would not necessitate a regulatory market suspension or
affect DLA Troop Support’s ability to recall the item. ACTION REQUIRED: Produce with
defects (decay, spoilage, skin breakdown, etc.) that will continue deteriorating or
condition/defects that will affect the condition of good product during storage requires attention
from the contractor such as reworking and removing defective product while in-storage or prior
to delivering to customers. Minor nonconformances that will not change or further deteriorate
(scars, size, weight, etc.) while product is in-storage or when delivered to the customer may be
tolerated by the customer for a short period of time (until the contractor receives a new product
at OCONUS but for no more than 30 days at CONUS locations).

MAJOR NONCONFORMANCE (BLUE) = A major nonconformance, other than critical, is a
deviation from the contract, the item description stock number and/or failure to meet the
specified US Grade requirements. This major nonconformance is a deviation that materially
affects or is likely to have a major affect on the serviceability, usability, condition and/or
continued storage of an item for further use. Examples of major nonconformance's: Grade
failures; Domestic source/regulatory/approved source violations; Wrong item; Major
workmanship/fabrication violations (fresh pre-cut items); Major weight violations; Item shelf
life/ expiration date violations; Not latest season pack/crop year violations; Items that exhibit
temperature abuse, and/or other off condition that although not likely to result in hazardous or
unsafe conditions, the defect and/or combination of defects materially affect the item
serviceability for its intended purpose; and/or major deviations from packing, packaging,
labeling and markings that would necessitate a regulatory market suspension or have a major
affect on DLA Troop Support ’s ability to recall the product. ACTION REQUIRED: The
contractor is required to STOP ISSUE of the item immediately, unless otherwise approved by the
Contracting Officer.

CRITHCAL NONCONFORMANCE (RED) = A critical nonconformance is a deviation that
judgment and experience indicate consumption of the item is likely to result in hazardous or
unsafe conditions for individuals. An item will receive a Red Rating if it contains a critical
defect(s) that involve food safety issues such as wholesomeness, foreign material, contamination
or adulteration issues that judgment and experience indicate consumption of the item is likely to


[Points [YES | I | Doc.

from sources

Product flow zones are protec’

of contamination. 10

6-16 | Glass materials above product flow zones are 40
contained in case of breakage.

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

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

6-19 | Outside garbage receptacles/dumpsters are
closed or are located away from facility 5

entrances and the area around such sites Is
reasonably clean.

6-20 _| The facility is enclosed. 5

6-21 | Floor drains appear to be free of obstructions.

6-22 | Pipes, ducts, fans and ceilings in the facility
are reasonably clean.

6-23 | Possible wastewater spillage is prevented

from contaminating any food storage or 10
handling area by barriers, drains or a sufficient
distance.

6-24 | Non-food grade substances such as paints, 10

lubricants, pesticides, etc., are not stored in
close proximity to the product.

Pest Control

aS “Questions 2 _[ Points. | YES].
6-25 | Measures are taken to exclude animals or
10
pests from the facility.
6-26 | There is an established pest control program 10

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

6-28 | Interior walls, floors and ceilings are well
maintained and free of major cracks and 5
crevices.

Repacking/Reconditioning

(6-29) Does the facility repack and/or recondition product? YES NO (circle one)

If the answer to question 6-29 Is YES, answer questions 6-30 through 6-41. If the answer Is
NO, then questions 6-29 through 6-41 are answered N/A.

For Official Government Use Ouly November 9, 2009
AMS, FVP, Fresh Products Branch Page 23


Total points earned for PART 4 =

Total Possible = 250 The total number of points possible for this section.
Subtract “N/A” - Enter the additive number of N/A points (+ points) here.
Adjusted Total = Subtract the N/A points from the Total possible points.

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

Passing Score

(please circle one) Pass / Fail

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

For Official Government Use Ouly November 9, 2009
AMS, FVP, Fresh Products Branch Page 21


DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations ContracTDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera~

tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR
YES NO N/A

A

AUDITOR:
M U

5. Is access to central controls for airflow, water systems, electricity and gas
restricted and controlled? Do your airflow systems include a provision for
immediate isolation of contaminated areas or rooms?

6, Identify procedures in place for inspecting trucks entering the facility
boundaries, Are incoming and outgoing vehicles/trucks (both private and
commercial) inspected for unusual cargo or activity?

7, Are truck drivers required to possess and present upon request adequate
identification prior to entering the facility/gate?

8. Are deliveries verified against a roster of scheduled deliveries? Are
unscheduled deliveries held outside the plant premises, if possible, pending
verification of shipper and cargo?

9. Is there a waiting room for drivers? Is access from the waiting room to
other parts of the facility controlled? If so, how?

10. Do you have parking areas for visitors situated at a safe distance from the
main facility? Is the area segregated from production areas, storage,
utilities, fuel tanks, etc. by adequate defense fencing or otherwise? Is this
area monitored?

11. Are vehicles of authorized visitors, guests, and employees clearly
identifiable (placards, decals, etc.)?

12. Have the normal routes for personnel entry to/exit from your facility been
assessed? Are all points monitored or controlled?

13, Are your emergency alert systems fully operational and tested and
locations of controls clearly marked?

B. Incoming/outgoing shipments: Does the plan/QSP identify/include/address the
following as applicable?

1. Review and Maintenance of Records. Are records reviewed and maintained for all
delivery conveyances (e.g., tankers, railcars, ships, etc.) used to transport food
products?

2. Is there a policy for deliveries during non-operational hours to ensure prior notice of
such deliveries and to require the presence of an authorized individual to verify and
receive the shipment?

3. Is there an advance notification (by phone, e-mail, fax, etc.) required for all
incoming/outgoing deliveries, including pertinent details about the shipment and the
name of the driver?



Total Points Part 7

Total possible = 180 Less Justified “N/A”

Adjusted Total Passing Score
X .8 (80%) USDA ~

For further information regarding the USDA GAP & GHP Program
Please contact:

USDA Fruit and Vegetable Programs, Fresh Products Branch,
at 800-560-7956 ©

For Official Government Use Only November 9. 2009
AMS. FVP, Fresh Products Branch Page 30


DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self- As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision { (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-
tional Rations Food Defense Vulnerability Assessment Summary,

CONTRACTOR AUDITOR
YES NO N/A A M U

D, Are “Accept” and “Reject” criteria for all incoming materials well understood by
personnel signing for or receiving products, including courier packages of minor
ingredients or laboratory materials?

E, Does incoming materials have clear, legible lot codes for traceability? Are all lot codes
for incoming ingredients, processing aids and packaging materials identified on
production records to ensure that products are traceable from receipt, production to
finished products?

VI. WAREHOUSING AND STORAGE: Does the plan identify/include/address the
following:

A, Warehousing/Storage:

1. The person in charge of warehousing/storage, receiving, and authorizing the release
of finished goods for shipment and ingredients/materials for use in production,
clearly identified (by positions)?

2. The procedure for storing product adequate to control access and minimize or
eliminate the possibility of product adulteration/tampering? NOTE: The plan must
identify all internal/external/contracted storage facilities used to store ingredients/
products/materials intended for DLA Troop Support customers.

3. Do you have an emergency plan that identifies all areas in which products and
ingredients are handled and stored (e.g., off-site warehouses, product chillers, and
storage facilities)?

4, Are restricted areas inside the plant clearly marked, secured and how access is
controlled?

5. Do you have updated plant layout schematics available at strategic and secured
locations in the plant?

6. Are there procedures for handling damaged and/or returned products and are these
inspected for evidence of possible tampering before salvage or use in rework? Are
records kept if these products are used?

7. Is an inventory kept of product in the warehouse (including location)? Are you
maintaining an accurate inventory of finished products to allow detection of
unexplained additions to or withdrawals from existing stock?

8. Are stored product/ingredients segregated by manufacturer and lot number to
expedite isolation, inspection, or recall capability?

9. Are labels held in a secure area to prevent label theft and misuse? Is there a plan in
place to identify and contain mislabeled products?



A digital scale capable of weighing small items and a scale capable of weighing full cases are
required. Clean up of the cutting area/room and continuous clean up of equipment will be the
contractor’s responsibility. The contractor must contact the Lead Auditor to discuss the location,
adequacy of the facility, equipment available, and whether a fresh-cut operation takes place at
this facility, or if fresh-cut products are subcontracted as soon as possible but no later than 14
MAY, 2012. The following is the list of equipment/supplies needed:

a)
(2)
(3)
(4)
(5)
(6)

(7)
(8)
(9)

Storage area to store samples selected. (approximately 2 pallets)

Chill storage area for samples that require refrigeration (approximately 2 pallets)
Tables for conducting the audit and demonstration.

Sinks/wash area equipped with sanitizing soap for cleaning knives and equipment.
Water jet spray attachment for the sink

Calibrated Scales/Test Weights: One small digital scale able to record product
weights in both ounces and grams and capable of measuring down to the nearest
hundredth is preferable and a set of test weights with a recommended weight range
of 1.0 ounce to | pound; and, one scale able to record product weights for full cases
with an approximate weight range of 0-100 Ib and capable of measuring down to
the nearest tenth is preferable and a 25 Ibs test weight.

Cart to move samples around.

Cutting boards (two or three)

Large trash cans with bags.

(10) Power hook-up for 2 computers
(11) Access to a copy machine
(12) Miscellaneous supplies: Paper towels; large heavy-duty plastic trash bags; one box

of large latex gloves; paper flip chart/easel with markers (RED, BLUE, YELLOW,
GREEN, BLACK); cellophane tape; binder clips; and a stapler

Optional but considered highly desirable: Cloth towels and floor covering to
maintain clean and sanitary floor areas.

Administrative Information: Please respond via email that you have received this notification and provide

a

, point of contact, audit location address, email, and phone/ fax numbers for

future correspondence concerning this audit.

If you have any questions about the audit procedures, please contact the undersigned at 215-737-8161,
Rhonda. Bell @dla.mil or Ana Sanders at 215-737-8656, ana.sanders@dla.mil.

Rhonda Bell

Produce Quality Audit Program Coordinator/
Certified Lead Quality Auditor

Quality Audits & Food Defense Branch
Subsistence Supplier Support Division


Part 3 - HOUSE PACKING FACILITY

Receiving

Questions

Points

YES

NO

N/A

Doc

Product delivered from the field which Is held ina
staging area prior to packing or processing is
protected from possible contamination.

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

Washing/Packing Li

2 Questions :

Points

YES

NO

NIA®

Doc

3-3

Source water used in the packing operation is
potable.

15

34

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

10

3-5

Processing water is sufficiently treated to reduce
microbial contamination.

10

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

410

3-7

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

10

3-8

Food contact surfaces are in good condition;
cleaned and/or sanitized prior to use and
cleaning logs are maintained.

15

Product flow zones are protected from sources
of contamination.

10

3-10

The water used for cooling and/or to make ice is
potable.

15

3-11

Any ice used for cooling produce is
manufactured, transported and stored under

10

sanitary conditions,

For Official Government Use Only
AMS, FVP. Fresh Products Branch



Is there a map that accurately represents the farm operations?
Yes oO Nor] N/A oO

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

Are all crop production areas located on this audit site?
Yes | No Oo N/A oq

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

Does the company have more than one packing facility?

Yes Oo No im N/A Oo
Is there a floor plan of the packing house facility(s) indicating flow of product, storage areas,
cull areas, employee break rooms, restrooms, offices?

Yes Oo Nor NIA oO
Is any product commingled prior to packing?

Yes im Nor

Audit Scope: (Please check all scopes audited)

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

Part 1 — Farm Review..
Part 2 - Field Harvesting and Fleld Packing Activities ......cccesces seceestesesententeeneee Ld

Part 3 - House Packing Facility

Part 4 — Storage and Transportation ......c:cccssccssssesscesessesseeeseesnesssueessecsesenseeseneesnne ld

Part 5 - (Not Used)

Part 6 —- Wholesale Distribution Center/Terminal Warehouses..........ceceeeereee QO
Part 7 ~ Preventive Food Defense Procedures........cesssseccessneiteeeerecreeersneesenersee oO
Products:

Auditors’ Signature(s):,

For Official Government Use Only November 9. 2009
AMS, FVP, Fresh Products Branch Page 2


The Produce Quality Audit objectives are accomplished utilizing the expertise of the USDA Agricultural
Marketing Service (AMS) Fresh Products Branch personnel and DLA Troop Support Quality Auditors.
Representatives from the above agencies form the DLA Troop Support Produce Quality Audit Team.

Selection of Samples: The DLA Troop Support Lead Auditor will provide a list of sample items upon
arrival at the contractor’s facility. Two-case sample for cach item will be selected. An on-hand
inventory quantity report (i.e. number of cases on hand) should be developed for each item after r
of the list. Contractor should also identify those items on Hold/Not-Ready-To-Issue status or have a
waiver/deviation approved by the Contracting Officer for Grade or other contractual requirement.
Warehousing assistance will be required to pull and prepare samples for the audit. Assistance with
moving samples from the storage areas to the audit area and also continuous removal of items after
review will be required on audit days. Samples must be stored in appropriate conditions (dry,
refrigerated, etc.) to protect from temperature abuse. Fruit and Vegetable commodities will consist of 8
samples (2-cases/shipping container per item) randomly selected per each commodity (13 samples ifa
commodity failed the last audit). Additional samples may be selected at the request of the Contracting
Officer due to customer complaints.

eipt

Additional Information:

1. A copy of the Defense Logistics Agency Troop Support Defense Checklist is located at the following link:
http:/Avww.Defense Logistics Agency ‘Troop Supportdla.mil/subs/fs_check.pdf; and a copy of the USDA-
AMS GAP/GHP checklist can be found at http:/Avww.ams.usda.gov/gapehp Any questions concerning.
this review or problems accessing the checklist should be addressed to the Lead Auditor as soon as possible.

2. Certification/Documentation - To avoid delays/questions during the audit, the contractor should ensure that
ALL products intended for DLA Troop Support’s customers are derived from Approved Sources and meet
the Berry Amendment requirements (unless otherwise is excluded in the contract/FAR/DFAR or authorized
by the Contracting Officer under the Domestic Non-availability Determination). The contractor must
contact the Lead Auditor and submit the following information as soon as possible butno later than 14

May 2012: Whether a fresh-cut operation/processing takes place at this facility or if fresh-cut products are

subcontracted If fresh-cut products are subcontracted, we need the list/name of suppliers/processors for

each fresh-cut product and the actual/physical address of the facility where the freshcut
operation/processing takes place. Please note that ALL fresh-cut products must be from an Approved

Source (facility inspected by US Army Public Health Services Command/VETCOM) otherwise any product

from an unapproved source will be rated Blue/Unacceptable during the audit.

Audit Attendance: It is strongly recommended that your suppliers, buyers and customers attend the audit.
Please extend an invitation to these personnel to attend the Product Audit (ee day) based on space
availability at your facilities audit location.

Contractor Audit Preparation:

The contractor is responsible and will bear all costs for the facility and the equipment/supplies
used during the audit. Immediately upon receipt of the audit notification, the contractor shall
make arrangements to use their normal product cutting room/kitchen (if adequate) or find another
facility for the audit. [f there is no space available at the contractor facility or the space is
inadequate other arrangements must be made by the contractor. Ideally the room must be
equipped with running water. To ensure accurate weight of audited items, it is highly
recommended that scales used during the audit are calibrated within the 60-day notification
period and an applicable set of test weights are available to verify scale accuracy.


Total points earned for PART 6 =

Total Possible = 410 The total number of points possible for this section.

Subtract “N/A” - Enter the additive number of N/A points (+ points) here.
Adjusted Total = Subtract the N/A points from the Total possible points.
X .8 (80%) Multiply the Adjusted Total by .8 and show it as the

Passing Score.
Passing Score

{please circle one) Pass / Fail

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

For Official Goverument Use Only November 9, 2009
AMS, FVP, Fresh Products Branch Page 26


Total points earned for PART | = .
Total Possible = 490 The total number of points possible for this section.

Subtract “N/A” - Enter the additive number of N/A points (+ points) here.
Adjusted Total = Subtract the N/A points from the Total possible points.
X 8 (80%) Multiply the Adjusted Total by .8 and show it as the

Passing Score.
Passing Score

(please circle one) Pass / Fail

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

For Official Government Use Only November 9, 2009
AMS. FVP. Fresh Products Branch Page 10


e : — Questions — | Points | YES | NO | N/A | Doc
4412 Mechanical equipment used during the storage 5
process Is clean and maintained to prevent D
contamination of the product.

Pest Control

4-13 | Measures are taken to exclude animals or pests 10

from storage facilities.
4-14 | There is an established pest control program for 10
the facility.
4-15 | Service reports for the pest control program are 5 R
. available for review.
4-16 | Interior walls, floors and ceilings are well 5
maintained and are free of major cracks and
crevices.

Ice & Refrigeration

__ Questions __ _| Points | YES | -NIA | Doc.
4-17 | The water used for cooling/ice is potable. 40 R
4-18 | Manufacturing, storage and transportation
facilities used in making and delivering ice used 10 R
for cooling the product have been sanitized.
4-19 | Climate controlled rooms are monitored for D
temperature and logs are maintained. 5
4-20 | Thermometer(s) are checked for accuracy and
records are available for review. 5 D
4-21 | Refrigeration system condensation does not
come in contact with produce. 10
4-22 | Refrigeration equipment (condensers, fans, etc.) D
is cleaned on a scheduled basis. 10
4-23 | Iced product does not drip on pallets of produce 10
stored below.
For Official Government Use Only November 9, 2009

AMS, FVP, Fresh Products Branch Page 19


Alll tollet/restroom/field sanitation facilities are
serviced and cleaned on a scheduled basis.

10

Smoking and eating are confined to designated
areas separate from where product is handled.

10

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

15

G-13

There is a policy describing procedures which
specify handling/disposition of produce or food
contact surfaces that have come Into contact
with blood or other body fluids.

15

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

Company personnel or contracted personnel that
apply regulated pre-harvest and/or post harvest
materials are licensed. Company personnel or
contracted personnel applying non-regulated

materlals have been trained on Its proper use.

10

COMMENTS:

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9, 2009
Page 5



DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Security Plans; USDA-FSIS Industry Self As-
sessment Checklist for Food Security; FSIS Directive 5420.1, Revision | (Food Security Verification Procedures); FDA Guidance for In-
dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-
tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR AUDITOR
YES NO N/A A M U

2. Control of employees. Does the plan identify/include/address the following?

- Identify the procedure/method used (¢.g., photo IDs with expiration
dates, company badges, etc.) for controlling entry of employees into
the plant during both working and non-working hours. Are these
verified upon entrance at the facility?

- Indicate if an updated list is maintained for plant personnel with open
or restricted access to the establishment.

- Identify the procedure/method used (¢.g., color-coded uniforms or
coded badges) to make it obvious when employees move to areas of
the facility other than where they normally work.

- Are only designated employees allowed in sensitive areas or areas
where the product is open to contamination?

- Is there a written procedure listing and enforcing a policy on what
personal items are not allowed inside the plant?

- Does each department keep a roster of employees working on any
given day? Is the roster updated daily? Is the roster distributed to all
plant supervisors?

- Upon the termination of an employee, is there a procedure in place to
immediately restrict access to the facility by this individual? How?

3. Employee training, Does the plan identify/include/address the following?

- If members of the Food Defense Team are trained, prior to their
assignment, in the provisions of the plan and identify other food
defense training received.

- If ALL (new/current) employees are trained in the defense policies and
procedures of the company. Does the training include instructions for
employees to immediately report suspicious activity, external/internal
threats, or if they suspect wrong doing or product tampering by other
employees to their supervisor or other management personnel?

B. Visitors/Guests/Contractors: Does the plan identify/include/address the following?
1. If the visitor policy requirement and method used to control entry into the

facility requires positive identification for ALL visitors (e.g., picture IDs,
sign-in and sign-out at the gate, reception desk, etc.).



Part 7 — Preventive Food Defense Procedures

Based on the U.S, Food and Drug Administration’s Food Producers, Processors, and Transporters: Food Security Preventive
Measures Guidance for Industry.

Secur Employee/Visitor Procedures __

The company has a documented food defense
plan and a person has been designated to
oversee It.

Name:

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

7-3 | Employees are aware of whom in management 5
they should contact about potential security
problems/issues.

Name of management representative:

7-4 | Visitors are required to check in (showing 5 D
proof of identity) and out, when
entering/leaving the facility.

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

7-6 | Visitors are prohibited from the 5 D
packing/storage areas unless accompanied by
an employee.

7-7 | Incoming and outgoing employee and visitor 5 dD,
vehicles to and from the site are subject to
inspection.

7-8 | Parked vehicles belonging to employees and 5
visitors display a decal or placard issued by
the facillty.

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

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

7-11 | Management is aware of which employee 5 D
should be on the premises, and the area they
are assigned to.

7-12 | A system of positive identification of 5
employees has been established and is
enforced.

For Official Government Use Ouly November 9, 2009
AMS, FVP, Fresh Products Branch Page 27


Questions _

7-33

Product imported from outside the United
States is segregated from domestic product.

and has been issued a registration number (do
not record the number on checklist).

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

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

7-36 | The organization has registered with the FDA D

COMMENTS:

For Official Government Use Only
AMS, FVP, Fresh Products Branch

November 9, 2009
Page 29



DLA Troop Support FOOD DEFENSE CHECKLIST

REFERENCE: Operational Rations Contract/TDP Section E; USDA-FSIS Model Food Secutity Plans; USDA-FSIS Industry Self: As-
sessment Checklist for Food Security; FSIS Directive $420.1, Revision 1 (Food Security Verification Procedures); FDA Guidance for In-

dustry, Food Producers, Processors, and Transporters - Food Security Preventive Measures Guidance; and 2006 Joint Government Opera-
tional Rations Food Defense Vulnerability Assessment Summary.

CONTRACTOR AUDITOR
YES NO NA | A M U

4. Defense seals: Is there a requirement for incoming/outgoing shipments to be sealed
with tamper-proof, numbered seals and that seal numbers be recorded on the
Shipping documents/Bill of Lading? Are seal numbers verified prior to entry/
leaving the facility and registered/logged in per incoming/outgoing shipment? Are
seal numbers inspected for possible tampering for incoming shipment?

5. Are shipping documents with suspicious alterations thoroughly investigated and is
there guidance for this type of incident?

6. Are loading docks secured to avoid unverified or unauthorized deliveries? Are
there procedures in place for handling deliveries to this area?

7. Does the plan indicate how they ensure open trucks are not left unattended during
off-loading and loading and sealed immediately after loading?

8. Is there a capability for verification of driver location and toad at any time?

9, Have defense procedures been developed and implemented for drivers when
docking or stopping for meals, gas, breakdowns, etc.? Is there a requirement that
drivers keep trailers locked down at all times?

10. Are there predetermined protocols for drivers when faced with suspicious
circumstances? Are drivers required to immediately report suspicious activity and
any instances of suspected adulteration or tampering with the shipment? Are
drivers provided a list of telephone numbers of officials to contact during
operational and non-operational hours?

C. Mail Handling: Do you have a separate mail handling facility or room away from in plant
food production/processing operations? Are your mail handlers trained to recognize
and handle suspicious pieces of mail using U.S. Post Office guidelines?

Y. RECEIPT INSPECTION: Does the plan identify/include/address the following:

A. Identify the procedure for inspecting for evidence of intentional tampering? Are tamper
evident packaging features used when available for certain ingredients and supplies?
B. Are receipt inspectors trained to look for obvious signs of shipment and/or product

tampering and to verify the integrity of incoming shipments and products during their
receipt inspection?

C, Are all deliveries checked against orders made and is packaging/packing integrity
inspected at the receiving dock for evidence of tampering prior to opening containers
for signs of tampering or other anomalies?