Spreadsheet: 113a16d3-2d0d-4aa5-96d5-4ee83b5c8638
Sheet: Post-Harvest Checklist

Name of Auditee:
Date of Audit:
Q # | Requirement | DOC | C | CAN | IAR | NA | Auditor Comments
1 | General Questions
1.1 | Management Responsibility
1.1.1. | A food safety policy shall be in place. | WP
1.1.2. | Management has designated individual(s) with roles and responsibilities for food safety functions. | WP
1.1.3. | There is a disciplinary policy for food safety violations.
1.2 | Food Safety Plan or Risk Assessment
1.2.1. | There shall be a written Food Safety Plan.  The plan shall cover the operation.  The operation and products covered shall be defined. | WP
1.2.2. | The Food Safety Plan shall be reviewed at least annually. | R
1.3 | Raw Material Sourcing
1.3.1. | Operation has an Approved Supplier program for all incoming materials, including packaging. | WP
1.3.2. | The Operation has a policy and takes affirmative steps to ensure that all fresh produce that are packed or stored in the facility are grown following requirements in Field Operations and Harvesting harmonized standard. | R
1.4 | Documentation & Recordkeeping
1.4.1. | Documentation shall be kept that demonstrates the Food Safety Plan is being followed. | R
1.4.2. | Documentation shall be readily available for inspection.
1.4.3. | Documentation shall be retained for a minimum period of two years, or as required by prevailing regulation.
1.5 | Worker Education & Training
1.5.1. | All personnel shall receive food safety training. | R
1.5.2. | Personnel with food safety responsibilities shall receive training sufficient to their responsibilities.
1.6 | Traceability
1.6.1. | A documented traceability program shall be established. | WP, R
1.6.2. | A trace back and trace forward exercise shall be performed at least annually.
1.7 | Recall Program
1.7.1. | A documented recall program, including written procedures, shall be established. | WP, R
1.8 | Corrective Actions
1.8.1. | The Operation shall have documented corrective action procedures. | WP, R
1.9 | Self Audits
1.9.1. | The Operation shall have documented self-audit procedures. | R
1.10 | Agricultural Chemicals/Plant Protection Products
1.10.1 | Use of agricultural chemicals shall comply with label directions and prevailing regulations. | R
1.10.2 | If product is intended for export, pre- and post-harvest agricultural chemical use shall consider requirements in the intended country of destination.
1.10.3 | Agricultural chemicals shall be applied by trained, licensed, or certified application personnel, as required by prevailing regulation | R
1.11 | Water/Ice
1.11.1 | Water use SOPs address the microbial quality of water or ice that directly contacts the harvested crop or is used on food-contact surfaces. | R
1.11.2 | A water system description shall be prepared. | WP, R
1.11.3 | Documented scheduled assessment of water system including delivery equipment shall be performed. | R
1.11.4 | The sewage disposal system is adequate for the process and maintained to prevent direct or indirect product contamination.
1.11.5 | Water-change schedules shall be developed for all uses of water where water is re-used.
1.11.6 | Re-circulated water that contacts product or food contact surfaces shall be treated using an approved antimicrobial process or chemical treatment. | R
1.11.7 | If used, water antimicrobial treatments shall be monitored sufficiently to assure continuous control. | R
1.11.8 | If applicable to the specific commodity, water use SOPs address control of immersion water temperature. | R
1.12 | Containers, Bins
1.12.1 | Operation has written policy regarding storage and post-storage handling of product-contact containers. | WP
1.12.2 | Operation has written policy regarding whether product-contact containers are permitted in direct contact with the ground. | WP
1.12.3 | Operation has written policy regarding inspection of food contact containers and bins prior to use. | WP
1.12.4 | Operation has written policy regarding acceptable product-contact containers. | WP
1.12.5 | Operations has written policy prohibiting used of product-contact containers for non-product purposes unless clearly marked or labeled for that purpose. | WP
1.12.6 | Pallets shall be kept clean and in good condition as appropriate for their intended use.
1.13 | Facility, Equipment, Tools
1.13.1 | Facility shall be designed, constructed and maintained in a manner that prevents contamination of produce during staging and cooling.
1.13.2 | A Preventive Maintenance and/or Master [NAME], with related SOPs, shall be established. | WP, R
1.13.3 | All cleaning agents shall be approved for their intended use on food contact surfaces.
1.13.4 | Cleaning equipment and tools are clean, in working order and stored properly away from product handling areas.
1.13.5 | Food contact surfaces shall be cleaned, sanitized and maintained according to the Food Safety Plan.
1.13.6 | Adequate lighting shall be provided in all areas.
1.13.7 | Where temperature control is required for food safety, cooling facilities shall be fitted with temperature monitoring equipment or suitable temperature monitoring device. | R
1.13.8 | Cooling equipment shall be maintained so as not to be a source of product contamination.
1.13.9 | Transporting equipment shall be maintained to prevent contamination of products being transported.
1.13.10 | Outside garbage receptacles/dumpsters are closed and located away from facility entrances and the area around such sites is reasonably clean.
1.13.11 | The plant grounds are reasonably free of litter, vegetation, debris and standing water.
1.14 | Storage
1.14.1 | Product storage areas and conditions shall be appropriate to the commodities stored.
1.14.2 | Iced produce is handled so as not to serve as a source of contamination.
1.14.3 | Non-product storage areas shall be maintained so as not to be a source of product or materials contamination
1.14.4 | Materials and packaging materials shall be protected from contaminants.
1.14.5 | Adequate space shall be maintained between rows of stored materials to allow for cleaning and inspection.
1.14.6 | All chemicals shall be stored in a secure, separate area.  All chemicals shall be properly labeled.
1.15 | Waste Material
1.15.1 | Waste materials and their removal are managed to avoid contamination.
1.16 | Outside Grounds
1.16.1 | Operation has procedures to prevent pest harborage in any equipment stored near the building.
1.17 | [NAME]
1.17.1 | Only essential glass and brittle plastic shall be present in the facility.
1.18 | Leaks/Lubrication
1.18.1 | Equipment lubrication is managed so as not to contaminate food products.
1.19 | Equipment and Utensil Construction
1.19.1 | All food contact equipment, tools and utensils are designed and made of materials that are easily cleaned and maintained.
1.19.2 | Equipment is installed in a way that provides access for cleaning.
1.19.3. | Catwalks above product zones are protected to prevent produce or packaging contamination.
1.2 | Temporary Repairs
1.20.1 | Any temporary repairs on food contact surfaces are constructed of food-grade material.  Operation has a procedure to ensure that permanent repairs are implemented in a timely manner.
1.21 | Worker Health/Hygiene and Toilet/Handwashing Facilities
1.21.1 | Restrooms shall be designed, constructed, and located in a manner that minimizes the potential risk for product contamination.
1.21.2 | Toilet facilities shall be of adequate number, easily accessible to employees and in compliance with applicable regulation.
1.21.3 | The practice of disposing of used toilet tissue on the floor, in trash receptacles, or in boxes is prohibited.
1.21.4 | Toilet and hand wash stations shall be maintained in a clean and sanitary condition.
1.21.5 | Signage requiring hand washing is posted.
1.21.6 | When appropriate, racks and/or storage containers or designated storage area for protective clothing and tools used by employees shall be provided.
1.21.7 | Employees and visitors shall follow all personal hygiene practices as designated by the Operation.
1.21.8 | Workers and visitors who show signs of illness shall be restricted from direct contact with produce or food-contact surfaces.
1.21.9 | Personnel with exposed cuts, sores or lesions shall not be engaged in handling product.
1.21.10 | First aid kits shall be accessible to all personnel.
1.21.11 | Smoking, chewing, eating, drinking (other than water), chewing gum and using tobacco shall be prohibited except in clearly designated areas.
1.21.12 | Personnel shall be required to wash their hands before beginning or returning to work, after each visit to the toilet and whenever their hands may have become a source of contamination.
1.21.13 | If gloves are used, the Operation shall have a glove use policy.
1.21.14 | Clothing, including footwear, shall be effectively maintained, stored, laundered and worn so as to protect product from risk of contamination.
1.21.15 | If protective clothing is required by the Operation in product handling areas, it shall be handled in a manner to protect against contamination.
1.21.16 | The use of hair coverings shall be in compliance to company policy and applicable regulation.
1.21.17 | The wearing of jewelry, body piercings and other loose objects (e.g. false nails) shall be in compliance to company policy and applicable regulation.
1.21.18 | Employees' personal belongings shall be stored in designated areas.
1.21.19 | Break areas shall be designated and located away from food contact/handling zones.
1.22 | Temperature Control
1.22.1 | When produce is cooled, it is cooled to temperatures appropriate to the commodity according to current established regulatory or industry standards.
1.23 | Packing & Handling
1.23.1 | If applicable, Operation has a written Allergen Control Program | WP
1.23.2 | Specifications for all packaging materials that impact on finished product safety and quality shall be provided and comply with prevailing regulations. | WP
1.24 | Pest & Animal Control
1.24.1 | Operation has procedures to manage pests to the extent appropriate to the facility. | WP, R
1.24.2 | Operation restricts animals from food handling facilities.
1.24.3 | If used, pest control devices including rodent traps and electrical flying insect devices, are located so as to not contaminate produce or food handling surfaces.
1.25 | Sampling/Testing
1.25.1 | Where laboratory analysis is required in the Food Safety Plan, testing shall be performed by a GLP laboratory using validated methods. | R
1.25.2 | Where microbiological analysis is required in the Food Safety Plan, samples shall be in accordance with an established sampling procedure. | WP
1.25.3 | Tests, their results and actions taken must be documented. | R
1.25.4 | All required testing shall include test procedures and actions to be taken based on the results. | WP
2 | Packinghouse
2.1. | Operation Food Safety Plan includes produce washing process, if used. | WP
2.2. | Debris and damaged produce shall be removed from wash areas/dump tanks to the extent possible.
2.3. | Operation has documentation demonstrating regulatory approval of the wash water antimicrobials in use. | WP
2.4. | If wash water antimicrobial is used, it shall be used in accordance with established operational procedure and manufacturer instructions. | R
2.5. | All instruments used to measure temperature, pH, antimicrobial levels and or other important devices used to monitor requirements in this section shall be calibrated at a frequency sufficient to assure continuous accuracy. | R
2.6. | Foreign material control devices are inspected and maintained. | R
3 | Transportation (Packinghouse to Customer)
3.1 | Temperature Control (when refrigerated transport is required for food safety)
3.1.1. | There is a written policy for transporters and conveyances to maintain a specified temperature(s) during transit. | WP
3.1.2. | Prior to loading, the vehicle shall be pre-cooled. | R
3.1.3. | The refrigerated transport vehicles shall have properly maintained and fully functional refrigeration equipment. | WP
3.1.4. | Where required, temperatures of product are taken and recorded prior to or upon loading. | WP, R
3.2 | Equipment Sanitation and Maintenance
3.2.1. | The Operation shall have a policy, written procedures, and a checklist to verify cleanliness and functionality of shipping units (e.g., trailer). | WP, R
3.2.2. | Loading/unloading procedures and equipment shall minimize damage to and prevent contamination of produce.
3.2.3. | Trash shall not come in contact with produce.
Code Key: WP = Written Policy/Procedure; R = Record
Additional Auditor Comments: