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GAP/GMP Greenhouse Facility Practices Audit Checklist
Scientific Certification Systems2000 Powell Street
Suite 600, Emeryville, CA 94608Phone: 510-452-8000
Fax: 510-452-6886Auditor Name Colleen Sweeney
Auditor's contact phone number 909‐567‐3963
Auditor's email address [email protected] Office Scientific Certification Systems
Corporate Facility Address
(City, State/Province, Area/Region, Postal Code, Country)
2000 Powell Street, Suite 600, Emeryville, CA 94608
Contact Person Heena Patel; Director of Food and Ag Division
Phone Number 510‐452‐8024 (work). 510‐821‐9818 (cell)
Fax Number 510‐452‐8001
Email Address [email protected]
Audited Facility Name North Shore Greenhouses. INC.
Audited Facility Address
(City, State/Province, Area/Region, Postal Code, Country)
82‐900 Johnson Street Thernal CA 92274
Contact Person Judy Mudie
Phone Number 760‐397 0400
Fax Number 760‐397‐5807
Email Address [email protected] Address of the Report 82‐900 Johnson Street, Thermal CA 92274
Has the Facility Inspected by Government Authority? (e.g., Local
County, State, FDA)
No
Does this facility audit their supplier either through a first/second/third
party audit?
Supply own product; greenhouses are audited.
What other type of audit has been conducted at this facility (e.g.,
Organic, SQF, FPA, BRC)
No
Type of Primary Packaging (e.g., poly, cardboard boxes, etc) Cardboard boxes, Clam shells, Plastic bags, Specialty wrapping etc.
Type of Secondary Packaging (e.g., poly, cardboard boxes, etc) Cardboard boxes
Channels of Trade (Retail, Wholesale, International, etc.) Retail/ Wholesale
Hours of Operation 6:30 AM ‐ 4:00 PM
Months of Operation (e.g., January ‐ December) Jan‐Dec
Number of Employees 60 Employees
Year Built 1987
Year(s) Updated 2010
Size of Facility 3 Acres
Property Size 120 Acres
Neighboring Land Use Agricultural land use (Citrus Orchards, Greenhouses, Et. The Salton Sea &
Riparian Areas.
Building Material, Exterior Walls Concrete, Metal
Building Material, Interior Walls Concrete, Insulation, Metal
Building Material, Floors Concrete
Building Material, Exterior Roof Concrete, Metal, Greenhouses (Glass, Plastic, & Acrylic)
Building Material, Interior Ceiling Concrete, Insulation, Metal, Greenhouses
Areas of the Facility Excluded from the Audit None
Date of Audit Exit Meeting 12/13/2011
Length of Audit 5 hours
Facility Personnel Herbs, Cucumbers
Date of Last Audit 12/15/2010
Product(s) Handled Herbs, Cucumbers
Facility Construction and Design The facility is compromised of a couple packing shed areas, greenhouses,
portable toilet units, office areas, and storage warehouses. One of the packing
areas is older and is in fair condition. The other packing shed is new and in good
condition.
Brief Description of the Process Product is harvested from the greenhouses and brought into the packing shed
for packing. Product is then sorted/graded and washed prior to packaging.
Herbs/cucumbers are then stored in cold storage until distribution.
Food Safety Total Score (≥ 80% Satisfactory) 98.93%
Rating Superior
Food Security Total Score (≥ 80% Satisfactory) 99.31%
Rating Superior
SCORE DESCRIPTION DOCUMENTATION COMPLIANCEAUTO Automatic Unsatisfactory (Refer to Page 5)
0 Not ApplicableThe particular question doesn't applyto the facility in question.
0 Unsatisfactory A) No written Food Safety Critical food safety hazards, which Program in place. compromise the safety of the product, B) Records Review: No recordsare observed. available.
1 Needs Improvement A) Written Food SafetySerious food safety hazards, which may Program in place and/or needs eventually compromise the safety of serious improvement.the product, are observed. Significant B) Records Review: Very fewimprovements in operational practices records may be available and/orand procedures are needed to avoid food current.safety hazards.
3 Needs Improvement A) Written Food SafetyMajor food safety hazards, which may Program in place and/or needs not immediately compromise the safety major improvement.of the product, are observed. Partial B) Records Review: Someimprovements in operational practices records may be unavailable and procedures are needed to avoid food and/or current.safety hazards.
5 Needs Improvement A) Written Food SafetyMinor food safety hazards, which may Program in place and/or needs not immediately compromise the safety minor improvement.of the product, are observed. Minimum B) Records Review: Very fewimprovements in operational practices records may be unavailable and procedures are needed to avoid food and/or not current.safety hazards.
10 S Satisfactory A) A complete written Food No food safety hazards are observed. Safety Program in place.
B) Records Review: Allrecords are available and kept current.
AUDIT SCORING SYSTEM
RATING
10 PT QUESTIONS
NI
NI
N/A
US
NI
3
Conditions for an Automatic UnsatisfactoryA. General1. An immediate food safety risk is present due to a violation of the Good Manufacturing Practices(Code of Federal Regulations Title 21, Part 110).2. Food is produced, processed, packed, or held under conditions that promote or cause the food to become contaminated, and thusrendered harmful to one’s health.3. Sanitation procedures are not in place.4. Food or ingredients, especially microbiologically sensitive items, are stored at improper conditions (temperature, humidity, etc.).5. Presence or evidence of contaminated food with foreign material or filth (e.g., flaking paint, rust, glass, wood, metal, jewelry,lubricants, etc.), during harvesting, packing, processing or storage.
B. Rodents, Insects, Birds and other Pests1. Absence of pest control program for the packing, packaging material, and product storage areas.2. Presence or evidence of rodents, insects, or other pests in the food during packing, or storage (e.g., excreta, bird feathers,etc.)3. Presence or evidence of decomposed rodent(s) in pest control traps.4. Extensive infestation in packing, storage and distribution areas, including infestation of the area overhead where food orpackaging material is present (e.g., presence of birds’ nests).5. Any roach activity in product, growing, handling or storage areas.
C. Cleaning Chemicals, Pesticides and other Poisonous Materials1. Food is adulterated as defined by the Food, Drug and Cosmetic Act, Section 402.2. An imminent food safety risk is present due to violation of the Environmental Protection Agency (EPA) and/or State pesticideregulations.3. Illegal use of pesticides (e.g., pesticides not meeting EPA or other regulatory standards).4. Recommended guidelines for the preparation and handling of pesticides are not followed (i.e., not following label instructions).5. Non‐food grade cleaning agents (detergents and sanitizers) are used.6. Presence or evidence of contaminated food with chemicals, pesticides or other poisonous materials.7. Food products stored with toxic substances.
D. Employee Practices1. Observation of employee practices that jeopardize or may jeopardize the safety of the food (e.g. open sores and boils on employeeswho have direct contact with food or food handling areas, employees not following hand washing requirements, etc.)2. Gross negligence or actions, which render food unsafe or harmful to one’s health.
E. Water1. Water known to be contaminated comes in contact with the product.
F. HACCP
is not established, is not up‐to‐date, and is not available for review.
3. Falsification of CCP (Critical Control Point(s)) records.
2. Identified Critical Control Points not implemented and monitored and is not available for review.
1. No HACCP program exists where legally mandated, and in the case of sprouted seeds, i.e., documented HACCP program, detailing 7 principles,
5
GREENHOUSE FACILITY PRACTICES
Company Name: North Shore Greenhouses, INC Contact Person:Location: 82‐900 Johnson Street, Thermal, CA 92274 Contact Phone:
Points
scored
Points
Possible
Percent
(%)
Points
scored
Points
Possible
Percent
(%)
N/A N/A N/A 12 12 100.00%20 20 100.00% N/A N/A N/A
10 10 100.00% N/A N/A N/A
N/A N/A N/A 12 12 100.00%N/A N/A N/A N/A N/A N/A
90 90 100.00% 4 4 100.00%70 70 100.00% 4 4 100.00%110 110 100.00% 12 12 100.00%40 40 100.00% N/A N/A N/AN/A N/A N/A 12 12 100.00%55 60 91.67% 24 24 100.00%155 160 96.88% 40 40 100.00%130 130 100.00% 40 40 100.00%20 20 100.00% 10 12 83.33%
Cleaning, Sanitation and Housekeeping 50 50 100.00% 28 28 100.00%30 30 100.00% 4 4 100.00%20 20 100.00% 8 8 100.00%
10 10 100.00% N/A N/A N/A60 60 100.00% N/A N/A N/A10 10 100.00% N/A N/A N/A20 20 100.00% N/A N/A N/AN/A N/A N/A N/A N/A N/A
900 910 98.90% 210 212 99.06%
Title Greenhouse Facility Practices
FDA RegistrationNumber: Yes
Audited Facility: North Shore Greenhouses, INC.Location: 82‐900 Johnson Street Thermal, CA 92274
Product(s): Herbs, Cucmbers
2000 Powell Street, Suite 600Audit Date: 12/13/2011 Emeryville, CA‐94608Auditor: Colleen Sweeney Ph: (510) 452‐8000
Fax: (510) 452‐6886
SECTION A: GOOD AGRICULTURAL AND MANUFACTURING PRACTICES
AND PROCEDURES
Historical Greenhouse Information
Food Safety Section
Food Safety PracticesAllergens
Employee Practices
Cleaning Equipment and Chemicals
Food Safety Final Summary
Equipment Construction, Design and Maintenance
Substrate Use
Scientific Certification Systems
Points Scored Points Possible % Percentage910 98.90%900
TOTAL SCORE 1110 1122 98.93%Other Section 210 212 99.06%
Pest Control Program and Procedures
GMP/GAP FOOD SAFETY ASSESSMENT DETAILED REPORT
Management Commitment and Review
AUDIT SUMMARY
Food Safety Section Other Section
Sub Category
Adjacent Land
Training and Education
Fertilizer Usage
Water Usage
Building Construction and DesignGrounds
Sanitary Facilities
Judy Mudie760‐397‐0400
TOTAL SCORE
General Operational Practices and Procedures
SECTION B: HACCP PLAN AND PROCESS PRACTICESSub CategoryManagement Commitment and ReviewHACCP
Receiving, Storage and Distribution
Training and Education
2
Food Safety Assessment Rating System
The Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables (U.S. Food and Drug Administration, U.S. Departmentof Agriculture, and Centers for Disease Control and Prevention, 26 October 1998) and The Good Manufacturing Practices (21CFR Part 110) areused as references to assess the levels of risk associated with these operations.
Assessment
95.00 or more Superior
(Pass)
The food is produced in an exemplary environment.
90.00‐94.99 Excellent
(Pass)
The food is being produced in an environment that significantly reduces the likelihood of contamination.
80.00‐89.99 Good Procedures and guidelines to protect the food product against contamination need some improvement.
(Pass) However, there is a low likelihood that current practices will lead to contamination of the food product.70.00‐79.99 Fair The food is being produced in an environment where some practices that protect the food against
(Fail) contamination are followed. However, some potential hazards and/or the potential for product contaminationexists. Improvements in procedures and operating practices would further reduce the likelihood of product
60.00‐69.99 Poor The food is being produced in an environment where serious deviations from recommended safe practices
(Fail) (GAP, GMP) were noted. Significant improvements in procedures and operating practices should beimplemented to reduce the likelihood of product contamination.
Less than 59.99 Critical The food is being produced in an environment where critical deficiencies and/or serious potential or actual
(Fail) contamination were observed. Immediate improvements in procedures and operating practices should occur.
contamination.
This rating system describes the status of produce packing, cooling, storage operations in regards to food safety issues associated with the particular operations they perform. It should be noted that it is not possible to completely eliminate the risk of contamination associated with a agricultural production / food environment. This fact remains true regardless of the practices employed or the rating level achieved as a result of an audit.
DescriptionPercentage
6
CORRECTIVE ACTIONS
(Provide Documents and/or Pictures)
Observed birds outside on break room tables by maintenance
area.
2.13.2 Cleaning Equipment and Chemicals Chemical spray bottle in packing area 4 was not clearly labeled.
SUMMARY OF DEFICIENCIES
2.10.1 Building Size, Construction and Design Packing material stored outside some pallets were unwrapped
and exposed.
CATEGORY FINDINGS
2.11.12* Pest Control Program and Procedures
7
SCORE DESCRIPTION DOCUMENTATION COMPLIANCEAUTO Automatic Unsatisfactory (Refer to Page 5)
0 Not ApplicableThe particular question doesn't applyto the facility in question.
0 Unsatisfactory A) No written Food Safety Immediate improvements in operational Program in place. practices and procedures are needed. B) Records Review: No records
available.1 Needs Improvement A) Written Food Safety
Significant improvements in operational Program in place and/or needs practices and procedures are needed. serious improvement.
B) Records Review: Very fewrecords may be available and/orcurrent.
2 Needs Improvement A) Written Food SafetyPartial improvements in operational Program in place and/or needs practices and procedures are needed. major improvement.
B) Records Review: Somerecords may be unavailable and/or current.
3 Needs Improvement A) Written Food SafetyMinimal improvements in operational Program in place and/or needs practices and procedures are needed. minor improvement.
B) Records Review: Very fewrecords may be unavailable and/or not current.
4 S Satisfactory A) A complete written Food No improvements are needed. Safety Program in place.
B) Records Review: Allrecords are available and kept current.
AUDIT SCORING SYSTEM
RATING
4 PT QUESTIONS
NI
NI
N/A
US
NI
4
1 Scientific Certification SystemsGreenhouse Facility Practices
Auditors' Checklist
Date: 12‐13‐2011
Section # CATEGORY/REQUIREMENTS Possible
Points
N/A S NI US Auto Auditor's Note
1.0 MANAGEMENT RESPONSIBILITY
Sub Category 1.1 Management Commitment and Review
1.1.1 Is a Mission Statement and Product Safety Policy documented and communicated to all levels of the
organization? (4 points)
4 4 Mission statement is on file and
is communicated to all levels of
the organization through regular
training. Company GMP's are
also posted at the front office.
1.1.2 Is an organizational chart in place that identifies positions responsible for Food Safety System compliance
including descriptions of responsibilities? (4 points)
4 4 Organizational chart and
documentation of
responsibilities was available
and reviewed
1.1.3 Is management following GAP principles (Refer to Guide to Minimize Microbial Food Safety Hazards for Fresh
Fruits and Vegetables) and/or the Good Manufacturing Practices (21CFR Part 110). (4 points)
4 4 Based on the observations at
the time of the audit,
management is following GAP.
Other Section Total Points 12 12 0 0 0 12
2.0 FUNDAMENTALS
Sub Category 2.1 Historical Greenhouse Information
2.1.1* Was the land not used as a feed lot, pasture or for other animal husbandry purposes during the past three
years? 10 pts
10 10 Herbs and cucumbers are grown
hydroponically in peat moss. No
issues.
2.1.2* Was the land not used for non‐farming functions such as toxic waste site, landfill, extraction of oil or natural
gas, or other activity that may have introduced potential food safety hazards? If No, was the land tested for
potential toxic waste contamination AND were results negative for contamination or within US EPA's
approved limits? 10 pts
10 10 Land was never used for non‐
farming functions.
SECTION A: GOOD MANUFACTURING PRACTICES AND PROCEDURES
Location: 82‐900 Johnson
Street, Thermal CA 92274
Audited Facility: North Shore Greenhouses, INC
* Indicates Food Safety Questions
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Section # CATEGORY/REQUIREMENTS Possible
Points
N/A S NI US Auto Auditor's Note
2.1.3* Has the current production ground been formerly flooded due to natural causes since the previous growing
season? If yes, go to 2.1.3.a. If no go to section 2.2.
No flooding.
2.1.3.a* a. What is the source of flood waters? (drainage, canal, river, irrigation canal, etc.)
b. Are there any significant upstream potential contributors of human pathogens?
N/A, No flooding.
2.1.3.b* What is the time interval between the flooding event, crop planting and crop harvest? N/A, No flooding.
2.1.3.c* a. Has the previously flooded soil been sampled for the presence of microorganisms of significant public
health concern or appropriate indicator microorganisms?
b. Has the test been negative? 10 pts
x N/A, No flooding.
*Food Safety Section Total Points 20 20 0 0 0 20
2.2 Adjacent Land. Applicable to Greenhouse
2.2.1* Is there any potential source of contamination present on adjacent land around the greenhouse? (e.g.
manure storage, manure lagoons, animal activity, etc). If no, give points. If yes, go to 2.2.1.a. 10 pts
10 10 No risk of contamination from
adjacent land. Grown in
greenhouse environment.
2.2.1.a* Are preventive measures in place to prevent cross contamination? x N/A, no risks from adjacent
land.
*Food Safety Section Total Points 10 10 0 0 0 10
Sub Category 2.3. Fertilizer Usage. Applicable to Greenhouse
2.3.1 Is animal manure or bio‐solids used to supplement the soil? If yes, go to 2.3.1.a. If no, skip to 2.3.2. No manures or bio‐solids are
used.
2.3.1.a* Is animal manure or are bio‐solids composted? If yes, give points. If no, go to 2.3.1.b. 10 pts. x N/A, no manures or bio‐solids
are used in herb or cucumber
production.
2.3.1.a.1* Are grower's composted raw manure and/or bio‐solids records available for review and are they current? 10
pts.x N/A, no manures or bio‐solids
are used in herb or cucumber
production.
Unscored question
Unscored question
Unscored question
Unscored question
* Indicates Food Safety Questions
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Section # CATEGORY/REQUIREMENTS Possible
Points
N/A S NI US Auto Auditor's Note
2.3.1.a.2* Does the composted animal manure and/or bio‐solids meet minimum composting guidelines (state, federal,
local)? 10 ptsx N/A, no manures or bio‐solids
are used in herb or cucumber
production.
2.3.1.b* Is composted animal manure sterilized and is documentation available for review? 10 pts x N/A, no manures or bio‐solids
are used in herb or cucumber
production.
2.3.1.c* Outside supplier: Are specification sheets, containing information about the method of treatment, from the
supplier for each shipment available for review? 10 ptsx N/A, no manures or bio‐solids
are used in herb or cucumber
production.
2.3.1.d Is uncomposted animal manure applied to the soil during the growing season or applied less than 120 days (if
edible portion is touching the ground) or applied less than 90 days (if edible portion is not touching the
ground) prior to harvest? 4 pts
x N/A, no manures or bio‐solids
are used in herb or cucumber
production.
2.3.1.e* Is the greenhouse fumigated in a manner adequate to kill pathogenic bacteria, after compost, animal manure
and/or bio‐solid is applied? 10 ptsx N/A, no manures or bio‐solids
are used in herb or cucumber
production.
2.3.1.f Are records of fertilizer application, maintained, current and available for review? 4 pts 4 4 Fertilizer application is
recorded, records were
reviewed.
2.3.2 Are chemical fertilizers used to supplement the soil? If yes, go to 2.3.2.a. If no, skip to section 2.4 Yes.
2.3.2.a Are MSDSs and letters of guarantee from suppliers maintained and current (if applicable), and/or copies of
chemical labels maintained and available for review? 4 pts
4 4 All necessary documents were
available for fertilizers
2.3.2.b Do all fertilizers meet applicable regulations (USDA, EPA, OSHA, etc.)? 4 pts 4 4 There were no issues with the
fertilizers used.
*Food Safety Section Total Points 0 0 0 0 0 0
Other Section Total Points 12 12 0 0 0 12
Sub Category 2.4 Substrate Use. Applicable to Greenhouse
Unscored question
* Indicates Food Safety Questions
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Section # CATEGORY/REQUIREMENTS Possible
Points
N/A S NI US Auto Auditor's Note
2.4.1. Are substrates used? If yes, go to 2.4.2.a. If no skip to section 2.5. Describe substrate; inert and/or non‐inert. Yes, coir & peat moss growing
media are used in the
greenhouse.
2.4.2.a. If non inert is there a letter of guarantee or analysis for the substrates used? 10 points x N/A Inert substrate is used.
2.4.2.b. If inert, are inert substrates sterilized? Commercial substrates are
used. All substrates are
sterilized by manufacturer.
2.4.2.b.1 Are there current records of sterilization available for review? 10 points x N/A, Sterilization of substrate
not conducted at facility.
*Food Safety Section Total Points 0 0 0 0 0 0
Sub Category 2.5 Employee Practices (Assessed by Observation)
Applicable to Packing Area and/or Greenhouse
2.5.1* Is there a policy prohibiting employees with open and/or infected wounds or cuts on their hands or face, or
with symptoms of infectious illness (diarrhea, vomiting, etc.), from having direct contact with exposed
product or growing/storage areas? (10 points)
10 10 Employees with wounds or signs
of illness are prohibited from
having direct contact with the
product. No issues were
observed.
2.5.2* a. Is there a policy requiring: a. clean clothing or uniforms including outer garments (aprons, smocks, etc.).
b. adequate personnel cleanliness? (10 points)
10 10 Employees are maintaining
clean personal clothing. Rubber
reusable aprons are worn.
Aprons are left at and
maintained by the facility.
Aprons are cleaned once a
week. Note: No uniforms are
worn
Unscored question
Unscored question
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section IV.A.B.
* Indicates Food Safety Questions
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Points
N/A S NI US Auto Auditor's Note
2.5.3* Is there a policy requiring removal of aprons, gloves, and other protective clothing (when in use) before
leaving the growing area? (10 points)
10 10 Latex disposable gloves are
removed when leaving product
handling areas and disposed of.
New gloves are issued daily or
more if needed. Hooks on walls
have also been provided to
ensure that all protective
clothing is left in designated
areas
2.5.4* Is there a policy that hair nets, beard covers, or other hair restraints be worn in an effective manner in
growing areas? (10 points)
10 10 Baseball caps/hairnets are worn
by employees in greenhouses
and in packing shed.
2.5.5* Is there a policy prohibiting employees: a. wearing any jewelry other than a plain wedding band? b. carrying
loose items such as pens, thermometers, etc., in above‐the‐waist pockets? (10 points)
10 10 Employees are prohibited from
wearing jewelry and other
items.
2.5.6* Is there a policy requiring hand/glove washing/sanitizing prior to beginning or returning to work or whenever
the hands/gloves may have become soiled or contaminated? (10 points)
10 10 A policy is on file requiring
employees to wash hands
before returning to work and at
all appropriate times.
Employees were observed to be
washing hands during the audit.
2.5.7* Is there a policy requiring maintaining gloves, if they are used in growing area, in an intact, clean, and
sanitary condition? (10 points)
10 10 Disposable latex gloves are
disposed of daily or more if
needed. No issues
2.5.8* Is there a policy prohibiting eating, drinking, gum/tobacco/toothpick chewing, and spitting in growing areas?
(10 points)
10 10 Employees are prohibited from
eating, drinking, etc. in
production areas. No issues
were observed.
2.5.9* Is there a policy requiring that all product, material and packaging that come into contact with blood to be
destroyed and any equipment/tool product contact surfaces that come in contact with blood be cleaned and
sanitized before use? (10 points)
10 10 Proper procedures are followed.
No issues thus far.
* Indicates Food Safety Questions
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Points
N/A S NI US Auto Auditor's Note
2.5.10 Is there a policy requiring employees to store their personal belongings in appropriate designated areas away
from the growing areas? (4 points)
4 4 Employees are required to limit
storage of personal belongings
to designated areas, including
the break area & coat hangers
near the entrance to the
packing area. Employee
personal belongings were
stored properly.
*Food Safety Section Total Points 90 90 0 0 0 90
Other Section Total Points 4 4 0 0 0 4
Sub Category 2.6 Training and Education (Assessed by Observation, Interview, and Documentation).
Applicable to Packing Area and/or Greenhouse
2.6.1* Does the operation have a written policy, which addresses applicable worker health and hygiene issues? (10
points)
10 10 Worker health and hygiene
policy was available on file.
2.6.2* Is there a documented employee training program, which includes food safety training (GAP, GMP, personnel
practices, etc.) for all employees and training on cleaning and sanitation procedures for sanitation
employees? (10 points)
10 10 Documented employee food
safety training program was
available on file.
2.6.3 Is there an assigned person or an outside agency responsible for conducting training on food safety, GAP,
etc., and training on sanitation and cleaning procedures? (4 points)
4 4 Training is handled by the Food
Safety Manager: Judy Mudie
and by Yosemite Insurance.
2.6.4* a. Is there an ongoing employee training program and/or refresher training program that addresses food
safety related issues (GAP, GMP, personnel practices, etc.) to all employees, including new employees?
b. Is the general content of the training sessions included? (10 points)
10 10 Food safety training is provided
on personal hygiene, sanitation,
chemical use, and food security.
Also, the company employee's
hand book is reviewed and a
video is shown which discusses
cGMPs. Yosemite Insurance also
comes in throughout the year
and provides monthly meetings
on general safety and food
safety topics.
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section IV.2.0
* Indicates Food Safety Questions
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Section # CATEGORY/REQUIREMENTS Possible
Points
N/A S NI US Auto Auditor's Note
2.6.5* a. Is there an ongoing employee training program and/or refresher training program that addresses cleaning
and sanitation procedures with sanitation employees including new sanitation employees?
b. Is the general content of the training sessions included? (10 points)
10 10 Sanitation training has been
provided. Records were
available for review.
2.6.6* Is the workers' participation in respective training programs documented, include the employee’s signature,
and available for review?(10 points)
10 10 Worker participation has been
documented in training logs.
2.6.7* Do employees appear to have received and understood training and are they practicing proper product
handling procedures? (10 points)
10 10 Employees appear to have
received and understood
training
2.6.8* Is there a supervisor with appropriate training and/or experience, who oversees the food safety practices
(sanitation, GAPs, GMPs, etc.) ? (10 points)
10 10 Judy Mudie the Food Safety
Manager has received
management‐level food safety
training: Nov. 9, 2010 on
product traceability in Cerritos,
CA & April 21 & 22, 2010 by
United Fresh on Food Safety
Topics, in Las Vegas. Currently
taking a Food Safety course at
Penn State.
*Food Safety Section Total Points 70 70 0 0 0 70Other Section Total Points 4 4 0 0 0 4
Sub Category 2.7 Sanitary Facilities (Assessed by Observation and Documentation)
Applicable to Packing Area and/or Greenhouse
(a) Toilet Facilities
2.7.1* a. Is a minimum of one toilet facility provided for every 20 people?
b. Are separate toilet facilities provided if there are 5 or more employees of each gender? (10 points)
10 10 Sufficient toilet facilities are
provided for the number of
employees working at any one
time. All toilets are portable and
located outside of the facility.
General Expectation: Each plant shall provide its employees with adequate, readily accessible toilet facilities.
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section V.
* Indicates Food Safety Questions
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Section # CATEGORY/REQUIREMENTS Possible
Points
N/A S NI US Auto Auditor's Note
2.7.2 Are toilet facilities within a 5‐minute walk or 1/4 mile for all workers? (4 points) 4 4 Portable toilets are located on
the outside grounds, near to
greenhouse and packing areas.
No issues.
2.7.3* Are toilet facilities located and/or designed so as to reduce the possibility of contamination to water sources
or product in the event of a malfunction? (10 points)
10 10 Toilet facilities are located and
designed properly. Facilities are
portable.
2.7.4* Do toilet facilities have: a. self‐closing doors? b. ventilation systems to eliminate odors? c. adequate drainage
(packing facility), catch basins (portable toilets)? d. floors, walls, ceilings and toilets built in such a way that
they can be cleaned and sanitized properly? (10 points)
10 10 Toilet facilities are fully
equipped.
2.7.5* Are toilet facilities maintained in a clean condition? (10 points) 10 10 Toilet facilities are checked,
cleaned, and maintained
throughout the day by in‐house
personnel. Additional cleaning
and maintenance is provided by
Diamond Services twice a week
2.7.6* Are toilet supplies monitored/stocked throughout the day? (10 points) 10 10 Toilet facilities are checked at
least once a day and as needed
by in‐house personnel.
2.7.7* a. Are toilet facilities cleaned on a scheduled basis or as needed and/or cleaned and emptied outside the
growing and/or product growing area (portable)?
b. Are the cleaning procedures described in a document that details how and when to clean (at least daily)?
c. Is cleaning documented? (10 points)
10 10 Cleaning of sanitary facilities is
handled by in‐house personnel
on a daily basis and by Diamond
Services twice a week. Records
are available.
(b) Hand washing facilities (Assessed by Observation and Documentation)
2.7.8* Are hand washing stations provided next to the toilet facilities to facilitate their use? (10 points) 10 10 Hands‐free hand washing
facilities are provided with the
bathrooms.
General Expectation: Hand washing facilities shall be adequate and convenient and be furnished with suitable running water.
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2.7.9* Are additional hand washing stations and, where appropriate, hand sanitizer stations (hand dips, wall units)
provided in the facility where good sanitary practices require employees to wash/sanitize their hands? (4
points)
4 4 Additional sinks are available in
production areas.
2.7.10* Are hand washing stations located and/or designed:
to prevent contamination of the product (e.g., water is not splashed near product or product contact
surfaces) and to protect against recontamination of clean, sanitized hands (e.g., installation of
devices/fixtures such as water control valves).
10 10 Hand washing stations are
adequately designed.
2.7.11* a. Are single‐use paper towels used at hand washing stations? b. Are hand washing stations functional,
equipped with suitable water, bacteriostatic soap, and/or an appropriate hand sanitizer? c. Are written
signs/pictures in appropriate language(s) located next to the hand washing stations reminding employees to
wash and sanitize their hands, when necessary? (10 points)
10 10 Hand washing stations were
fully equipped during the audit.
2.7.12* a. Are hand washing stations/hand sanitizing stations (hand‐dips, wall units) monitored/stocked throughout
the day?
b. Is the chemical concentration in hand‐dips maintained at appropriate concentration at all times,
documented, and available for review? (10 points)
10 10 Hand washing stations are
monitored along with
bathrooms. All were observed
to be clean and stocked during
the audit. N/A for hand dips.
2.7.13* Are hand washing stations and/or hand sanitizing stations maintained in a clean condition? (10 points) 10 10 Stations are maintained in clean
condition. Documentation is
available on file.
2.7.14* a. Are hand washing/sanitizing stations cleaned on a scheduled basis and as needed?
b. Are the cleaning procedures described in a document that details how and when to clean (at least daily)?
(4 points)
4 4 All hand washing stations are
cleaned on a daily basis by in‐
house personnel. An additional
cleaning of the portable sinks is
performed twice a week by
Diamond Services.
*Food Safety Section Total Points 110 110 0 0 0 110
Other Section Total Points 12 12 0 0 0 12
Sub Category 2.8 Water Usage (Assessed by Observation and Documentation)
2.8.1 Is the agricultural water source a) municipal b) well(s) c) pond/reservoir d) canal/river/creek/ditch e)
reclaimed water?
Well WaterUnscored Question
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section II.
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2.8.2 Is the irrigation water delivery method via a) overhead sprinklers/sprays (close/open system) b) drip
(close/open system) c) gravity (close/open system)?
Drip irrigation & misting. Run off
is collected.
2.8.3* Is water tested for indicators of fecal pollution, such as E. Coli tests on a periodic basis and are current results
of microbial analysis of water source available for review? 10 pts
10 10 Well water used in the facility is
tested once every other month.
The most recent tests were
performed by Primus Labs on
12/1/2011; showing <1
MPN/100ml for Total Coliforms,
negative for E.coli 0157:H7, and
negative for Salmonella in the 2
different samples taken.
2.8.4* a. Are any measures in place to minimize microbial contamination (e.g. inspection, chlorination, filtration,
etc)? b. Are
records maintained and are they available for review? 10 pts.
10 10 Water is inspected and
monitored regularly.
Additionally, reverse osmosis
filtration is used. The new
greenhouse is also equipped
with a UV water
purifying/filtration system.
2.8.5* Is a written procedure in place, that indicates the necessary corrective measures to be taken, if results from
microbial testing indicated fecal contamination in water? 10 pts
10 10 A written procedure on what to
do if water results are adverse
was available on file.
2.8.6* In the event of adverse micro findings, are adequate corrective actions documented and available for
review? 10 ptsx N/A. There have been no
adverse findings.
2.8.7* Well(s): Are well(s) designed to prevent animal access or any other type of microbial or chemical
contamination? 10 pts
10 10 Wells are locked securely
behind a fully gated area.
2.8.8* Pond or reservoir: Are measures taken to restrict livestock access (barriers, fence, etc)? 10 pts x N/A. No ponds or reservoirs.
*Food Safety Section Total Points 40 40 0 0 0 40
Sub Category 2.9 Grounds (Assessed by Observation and Documentation)
Unscored Question
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.3.0
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2.9.1 a. Is there a written policy, which describes the required maintenance of grounds and is it followed?
b. Are roads, yards, and parking lots maintained in a condition that will protect against the contamination of
product? (4 points)
4 4 A written policy as available on
maintenance of the outside
grounds. A perimeter check is
conducted and documented
weekly.
2.9.2 Is equipment, which is stored on the grounds, stored in a manner so as to prevent harborage of pests? (4
points)
4 4 Equipment was observed being
stored properly. No issues.
2.9.3 Is litter collected and waste stored and/or disposed of in a manner adequate to prevent contamination of
product and/or become an attractant to vermin? (4 points)
4 4 Exterior waste containers were
clean, emptied regularly &
equipped with lids. Waste
collection & disposal appeared
adequate.
Other Section Total Points 12 12 0 0 0 12
Sub Category 2.10 Building Construction and Design (Assessed by Observation and Documentation).
Applicable to Packing Area and/or Greenhouse
(a) Building Size, Construction and Design
2.10.1 Is the greenhouse and/or packing, storage area enclosed (10 points) 10 5 Packing material stored outside
some pallets were unwrapped
and exposed.
2.10.2 Are employee break and locker (if applicable) areas separate from the product handling and growing areas?
(4 points)
4 4 A separate employee break area
and locker area has been
provided
2.10.3* Are doors to toilet facilities located in a manner where they do not open into areas where product is exposed
to air‐borne contamination, except where alternate means have been taken to protect against such
contamination? (e.g. double doors or positive air‐flow systems). (10 points)
10 10 Portable toilet units are used.
Open to outside grounds.
2.10.4 Is adequate lighting available in all areas where the product is examined, packaged, or stored, and in all
employee areas? (4 points)
4 4 Adequate lighting is provided.
No issues.
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.2.0
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2.10.5 Is litter and waste stored and/or disposed of in a manner adequate to prevent contamination of product
and/or become an attractant to vermin? (4 points)
4 4 There were no issues. Waste is
constantly cleaned up
throughout the day in
production areas.
(b) Building Structures/Fixtures
2.10.6 Is the roof properly maintained (e.g., no leaks)? (4 points) 4 4 The roof has been properly
maintained. No issues.
2.10.7* (Applicable to packing/storage area). a. Are floors, walls, and ceilings constructed of materials, which can be
adequately cleaned and maintained in good repair? b. Are the structures in good repair? (e.g., no deep holes
or cracks) (10 points)
10 10 Facility has been maintained in
good condition.
(c) Plumbing
2.10.8* Are sewer pipes and water pipes placed to avoid possible contamination of product or equipment in the
event of a leak or dripping from condensation or are preventative measures in place? (10 points)
10 10 There were no issues. Pipes
were placed in appropriate
locations.
2.10.9* Are the water lines for product handling and/or employee use protected against back‐flow or cross‐
connections from the wastewater and sewage plumbing system? (10 points)
10 10 Water lines are protected
against back‐flow. Check valves
and anti‐siphon devices are in
place.
(d) Environmental Control
2.10.10* Is temperature and humidity controlled in the greenhouse? 4 pts. 4 4 Temperature and humidity
controls are used.
2.10.11* Are air curtains, air filters or double doors used? 4 pts. 4 4 Air filters are used as well as
positive air flow
2.10.12* Are safety‐type light bulbs or protective covers used over product handling and storage areas? (10 points) 10 10 There was no uncovered or un‐
tempered glass observed during
the audit.
*Food Safety Section Total Points 60 50 5 0 0 55
Other Section Total Points 24 24 0 0 0 24
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Sub Category 2.11 Pest Control Program and Procedures (Assessed by Observation and Documentation). Applicable to Packing Area and/or Greenhouse.
2.11.1* Is there a written pest control program ( e.g. for facility or integrated pest management for greenhouse)?
(10 points)
10 10 A pest control program has
been implemented by in‐house
personnel.
2.11.2 a. Are pesticide applications performed by trained and licensed/certified personnel (PCO, PCA or an
equivalent professional? b. Are
the license and certificate of insurance (if service is provided by an outside company) available for review?
(mandatory in U.S.A) (4 points)
4 4 In‐house pest control program
has been implemented. Judy
Mudie manages the pest control
program and is a licensed
private applicator.
2.11.3* a. Do pesticides, chemicals, or other pest control measures meet applicable regulations (USDA, EPA, OSHA,
etc.)? b.
Are MSDSs and copies of labels for all chemicals and compounds used available for review? (mandatory in
U.S.A.) (10 points)
10 10 All pest control measures are
acceptable. Applicable to bait
stations. MSDS and label was
not available on file for rodent
pest control material.
2.11.4 Are locations of pest control stations indicated on a map, which is cross‐referenced to a list or a key on the
map showing the descriptions/types of traps at each station? (4 points)
4 4 Current facility pest control map
was available on file.
2.11.5 Are pest control stations properly coded to correspond with the master identification map? (4 points) 4 4 Traps are coded sufficiently.
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.2.0
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2.11.6* a. Are there adequate number of interior pest control devices, spaced at intervals (typically 25‐30 feet)
throughout the facility, including stations on both interior sides of exterior doors?
b. Are there adequate number of secured, tamper resistant exterior pest control devices, spaced at intervals
(typically 30‐50 feet) around the building perimeter? (10 points)
10 10 Exterior bait stations are
strategically placed around the
facility perimeter & between
structures. Some rodent bait
stations were more than 30 ft
apart. However, exterior pest
control appeared sufficient
considering that pest control
records indicated low rodent
pressure. Interior pest control
program for insects is
comprehensive. Interior rodent
traps are placed in production
areas during the night, which is
appropriate due to the nature
of work in the facility & very low
rodent pressure.
2.11.7 Are stations set‐up or constructed to avoid product, packaging, or equipment contamination? (4 points) 4 4 Stations were set‐up and
constructed properly. No issues.
2.11.8 Are live catch devices and glue boards checked at least bi‐weekly and bait stations checked for fresh bait at
least monthly? (4 points)
4 4 Inspection is conducted daily for
interior traps & weekly for
exterior stations
2.11.9 a. Are pest control devices functioning properly?
b. Are rodent‐exclusion devices cleaned and maintained on a scheduled basis? (4 points)
4 4 All devices were observed to be
in good working condition.
2.11.10* Is there no evidence of decomposed rodents in the interior or exterior pest control devices? (10 points) 10 10 There was no evidence of
decomposed rodents.
2.11.11 Does the inside of the facility appear to be free from insects, rodents, and birds? (10 points) 10 10 The facilities were free of
insects, rodents & other
animals, at the time of the
audit.
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2.11.12* Is there no evidence of insect, rodent, or bird activity on or in product, packaging, and product‐contact
surfaces (excreta, feathers, etc.)? (10 points)
10 5 Observed birds outside on break
room tables by maintenance
area.
2.11.13* Is toxic bait used only in exterior bait stations? (10 points) 10 10 Toxic bait is excluded to exterior
bait stations.
2.11.14 Are inspection records available for review? (e.g., findings, corrective actions, trap observations, pesticide
application, etc.)? (4 points)
4 4 All in‐house inspection records
were available for review. Bait
stations are inspected on a
weekly basis
2.11.15 a. Have cracks or crevices been sealed to prevent entrance or harborage of pests?
b. Are doors and windows sealed to prevent gaps greater than 1 inch?
c. Are windows and exterior doors screened and rodent‐proofed to protect against insect and rodent entry
and infestation? (4 points)
4 4 No gaps were observed. Exterior
walls & ceiling are inspected bi‐
weekly
2.11.16 Is pesticide application performed in the greenhouse? If no skip to. If yes, go to 2.7.18. Yes, some pesticides are as well
as IPM techniques, (i.e.,
beneficial insects).
2.11.17 Are pesticide applications reported to applicable regulatory agencies? 4 pts 4 4 PURs are submitted to the
county.
2.11.18* Are pesticides prepared and applied according to the label instructions? 10 pts 10 10 Label instruction are always
followed.
2.11.19* Is a written procedure in place for use and handling of pesticides (e.g. reference to label instructions,
restricting storage, loading, mixing, cleaning of spray tanks, and other related equipment near water
source)? 10 pts
10 10 Procedure & training are in
place for the handling & use of
pesticides. Including respirator
training & maintenance of
respirators for individuals using
hazardous materials.
Unscored question
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2.11.20* Are records of pesticide applications (spray histories) maintained and current? 10 pts. 10 10 PURs are submitted to the
county & maintained on file.
2.11.21* Are the required pre‐harvest intervals indicated on the pesticide/product labels or application records,
observed? 10 pts
10 10 Pre‐harvest application intervals
are observed.
2.11.22* If pesticides are stored on site for pest control, are they properly labeled and kept in secure, locked areas
away from any product handling and packaging material storage areas? (10 points)
10 10 Access to pesticide storage is
restricted. Pesticide storage is
not located in areas that handle
or store the final product.
2.11.23* If empty pesticide containers disposal by the farm operation, are they disposed of according to the label
and/or regulatory instructions?10 pts
10 10 Empty pesticide containers are
disposed of properly.
2.11.24* Is pesticide application equipment triple rinsed between applications? 10 pts 10 10 Equipment is rinsed more that
three times between
applications.
2.11.24* Are pesticides applied via the irrigation system? If yes, are check valves or air gaps in place to prevent back
flow of pesticides into the water source? 10 ptsx N/A.
2.11.25* Are re‐entry periods, established by the USEPA or as indicated on the product label, observed? 4 pts 4 4 Signage is used, & re‐entry
periods are observed.
2.11.26* Is an Integrated Pest Management Program established? 10 pts. If yes, give points. 10 10 Yes, an IPM program is in place.
North Shore Greenhouse uses
beneficial insects & preventative
methods.
2.11.27* Is the greenhouse operations operating under organic principles? Some product is certified
organic, other product is grown
conventionally.
Unscored question
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2.11.27.a* Does pesticide usage comply with the USDA National Organic Program?10 pts 10 10 This operation is certified by an
accredited certifier, no issues
were found.
*Food Safety Section Total Points 160 150 5 0 0 155
Other Section Total Points 40 40 0 0 0 40
Sub Category 2.12
(i) Product, Packaging Material, Containers
(i.a) Handling (Incoming Raw /Finished Products)
2.12.1* Are products inspected for evidence of contamination prior to packaging? (10 points) 10 10 All product is inspected during
harvest and again prior to
packing.
2.12.2 Are first‐in/first‐out (FIFO) rotation practices used and documented for all stored products (harvested and
finished)? (4 points)
4 4 FIFO is practiced.
2.12.3* Are product holding containers (totes, bins, etc) appropriate for use? (10 points) 10 10 Plastic harvesting containers are
used. Containers are sufficient
for use.
(ii) Finished Products
(ii.a) Handling (Finished Products)
2.12.4* a. Are finished products labeled appropriately (identification, lot and date codes)? b. If a recall is required,
can the system track products back to their source? (10 points)
10 10 Individual containers have been
lot coded for traceability.
Cucumbers are a single lot.
General Expectation: Compliance with Guide to Minimize Microbial product Safety Hazards for Fresh Fruits and Vegetables, Section II, Section VII.B.2.0
General Expectation: (21 CFR 110.80). Raw materials shall be inspected and segregated or otherwise handled as necessary to ascertain that they are clean and suitable for processing
into product and shall be stored under conditions that will protect against contamination and minimize deterioration.
General Expectation: Products shall be inspected and segregated or otherwise handled as necessary to ascertain that they are clean and suitable for packing and shall be stored under
conditions that will protect against contamination and minimize deterioration.
General Operational Practices and Procedures (Assessed by Observation and Documentation) Applicable to Packing Area and/or
Greenhouse.
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2.12.5 Are finished product, which is rejected or on hold, properly identified (e.g., clearly tagged), adequately
segregated, and protected from contamination? (4 points)
4 4 Hold and release procedures
and tags were available on file.
There were no issues observed
during the audit.
2.12.6 Are adulterated products disposed of in a manner that protects against the contamination of other
products? (4 points)
4 4 All non‐conforming product is
handled sufficiently.
(iii) Packaging Materials
(iii.a) Handling
2.12.7 Are packaging materials stored during production and storage areas under conditions that prevent or
minimize the likelihood of contamination? (4 points)
4 4 Packed product & packaging
material was handled properly
to prevent contamination.
2.12.8* Are packaging materials inspected for evidence of contamination prior to use? (e.g., packaging materials,
which are damaged, dirty, or wet must be prohibited from reuse). (10 points)
10 10 Packaging material is inspected
during the packing process.
2.12.9 Are damaged cases or packages segregated immediately and products repacked or properly disposed? (4
points)
4 4 Proper actions are taken.
2.12.10 Are packaging materials used only for their intended purpose and not used to store other things? (4 points) 4 4 Packaging material was being
used to hold product only
during the audit.
2.12.11* Is the packaging material glass? For glass packaging materials, are proper control measures in place to
prevent breakage? (10 points)x N/A, packaging material is not
made of glass.
(iv) General Practice
2.12.12* Is glass, which is not associated with the production of the product, prohibited in the growing areas, packing
area or in the storage areas? (e.g., use of mercury glass thermometer is prohibited, etc.) (10 points)
10 10 There was no exposed glass or
brittle plastic observed. Glass
and brittle plastic policy was
available on file.
2.12.13* Are foreign material detectors used on the packing lines? If yes, are they inspected on a routine basis to
ensure proper performance and are inspection records maintained and available for review? (10 points)x N/A, no foreign material
detectors are used.
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.1.0
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.
* Indicates Food Safety Questions
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2.12.14* Are food grade lubricants approved for use in appropriate areas and are they properly stored? (10 points) 10 10 Food grade lubricants are used
and were being stored
appropriately.
2.12.15 a. Are foot and/or hand dip stations provided at entries to product growing and/or handling areas if
appropriate?
b. Are sanitizer concentrations in dip stations monitored at all times, documented, and available for review?
(4 points)
x N/A, no foot dips or hand dips
are currently in use.
(v) Calibration
2.12.16 Are temperature measuring devices (e.g., pulp/measuring/cooler thermometers/units) and other monitoring
equipment (e.g., product weighing scales) including foreign material detectors calibrated on a specified
schedule and are records available for review? (4 points)
4 4 Documentation of weigh scale,
thermometer, and cooler
calibrations was available during
the audit. Calibration is
conducted monthly &
documented
(vi) Recall Program/Traceability
General Expectation: A written recall procedure, which identifies the steps required to retrieve product.
2.12.17* Is there a documented recall procedure? (10 points) 10 10 A documented recall procedure
was available on file.
2.8.18* In the event of actual recall, is the associated documentation available for review? (10 points) x N/A.There have been no actual
recalls.
2.12.19* Is a mock recall performed at least annually and are results documented and maintained on file? (10 points) 10 10 Mock recall was last conducted
on 12/1/2011 and was able to
account for 100% of the
product. Support
documentation for the mock
recall (i.e., product tag, BOL,
etc.) was available for review.
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2.12.20* a. Is food safety related customer complaint program in place?
b. Are records of food safety related customer complaints and company responses kept on file and available
for review? (10 points)
10 10 Customer complaint program is
in place.
(vii) Self‐Inspection
2.12.21* Are good agricultural practices or facility inspections conducted periodically, and are findings documented
and available for review? (10 points)
10 10 Self inspection is conducted,
documentation was available
for review
2.12.22* Are regulatory inspection records available for review? (10 points) 10 10 Regulatory inspection
procedures were available for
review.
2.12.23* Are reviews of the written product safety management plan and associated procedures conducted
periodically and are periodic reviews documented and available for review? (10 points)
10 10 Food safety program is
reviewed frequently.
Documentation of review dates
was available on file.
2.12.24* Applicable to packing area. a. Is environmental sampling performed on a periodic basis to monitor the
effectiveness of cleaning and sanitizing procedures? b. Are results from environmental samplings
maintained? (10 points)
10 10 Environmental swabbing is
conducted throughout the year.
Results were available for
review.
(iv) Visitor and Contractor Access Control
2.12.25 Are truck drivers restricted from production and warehouse areas? (4 points) 4 4 Truck drivers are restricted.
Signs are posted and truck
drivers are checked in at the
office. Truck drivers are told to
wait by trucks.
2.12.26 Is facility access limited to authorized personnel? (4 points) 4 4 Facility access is limited. The
facility is fully enclosed by
fencing and monitored by
company personnel.
General Expectation: Periodic facility inspections will assist in assessing effectiveness of product safety practices and periodic reviews of written procedures will assure that product
safety practices will continue to control hazards.
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2.12.27 Is there a policy requiring inspectors, visitors, and contractors to comply with good manufacturing practices?
(4 points)
4 4 Visitor sign in was currently in
use and GMP policy was
provided at entry to facility
*Food Safety Section Total Points 130 130 0 0 0 130
Other Section Total Points 40 40 0 0 0 40
Sub Category 2.13 Cleaning Equipment and Chemicals
Applicable to Packing Area
2.13.1 a. Are cleaning chemicals (soaps, cleaners, sanitizers, etc.) appropriate for product and non‐product contact
surfaces?
b. Are MSDSs and copies of labels maintained for cleaning and sanitizing chemicals? (4 points)
4 4 Labels were on file with MSDS
sheets for cleaning supplies.
MSDSs were on file for
products that were observed in
storage & selected for
verification.
2.13.2 Are cleaning and sanitizing chemicals clearly identified? (4 points) 4 2 Chemical spray bottle in packing
area 4 was not clearly labeled.
2.13.3* Are cleaning and sanitizing chemicals stored in secure, locked areas away from any product handling or
storage areas? (10 points)
10 10 Cleaning chemicals were
observed stored in a secure and
lockable area.
2.13.4 Are first‐in/first‐out (FIFO) rotation practices used for all cleaning and sanitizing chemicals? (4 points) 4 4 FIFO is practiced.
2.13.5* a. Are containers, brushes, and applicators, which are used for cleaning/sanitizing, color coded or labeled to
properly identify them for their intended use? (e.g., cleaning items used in restrooms, should not be used
elsewhere.)
b. If a color coding system is used, is appropriate signage on use of the containers and equipment posted?
(10 points)
10 10 Color coding is used to
designate cleaning equipment
for area of use.
*Food Safety Section Total Points 20 20 0 0 0 20
Other Section Total Points 12 8 2 0 0 10
Sub Category 2.14 Cleaning, Sanitation, and Housekeeping Procedures
Applicable to Packing Area
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.1.0, VII.B.2.0
General Expectation: (21CFR110.35). Cleaning compounds and sanitizing agents used in cleaning and sanitizing procedures shall be free from undesirable microorganisms and shall be
safe and adequate under the conditions of the use.
* Indicates Food Safety Questions
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2.14.1* a. Are non‐product contact surfaces and areas throughout the facility, including dry and cold storage areas
cleaned on a scheduled basis and as needed? (e.g., daily/weekly housekeeping, master sanitation schedule,
etc)
b. Are the cleaning procedures described in a document that details how and when to clean?
c. Is cleaning documented and are records available for review? (10 points)
10 10 Non‐product contact surface
cleanings occur on a scheduled
basis and all cleanings have
been documented.
2.14.2* a. Are product contact equipment and surfaces throughout the facility cleaned on a scheduled basis or as
needed? (e.g., master sanitation schedule, daily/weekly housekeeping, etc.)
b. Are the cleaning procedures described in a document that details how and when to clean?
c. Is cleaning documented and are records available for review? (10 points)
10 10 Product contact surface
cleanings occur on a scheduled
basis and all cleanings have
been documented.
2.14.3* Are pre‐operative inspections conducted, documented, and are records available for review? (10 points) 10 10 Daily pre‐operative inspections
are conducted and
documented.
2.14.4* a. Are chemical preparations tested by trained personnel for concentration via test kits or sanitizer strength
strips prior to use or on a periodic basis?
b. Is concentration documented and available for review? (10 points)
x Sanitizer used comply with
organic requirements, residues
evaporate, or products are
designed to be rinsed off.
2.14.5 Is adequate staffing and time planned to ensure complete cleaning of all areas? (4 points) 4 4 There were no issues.
2.14.6 Is product and packaging materials protected during cleaning procedures? (4 points) 4 4 There were no issues.
2.14.7* Are cleaned and sanitized portable equipment and utensils protected from contamination during storage?
(10 points) x N/A. No portable equipment or
utensils.
2.14.8* a. Is equipment product contact surfaces, which has undergone repairs, maintenance or re‐assembly cleaned
and sanitized prior to use?
b. Is the task documented and available for review? (10 points)
10 10 Documentation detailing the
cleaning/sanitizing of
equipment post maintenance
and prior to use was on file.
2.14.9* Are maintenance tools, gloves, rags, and other miscellaneous materials stored in secured areas away from
product handling equipment to prevent contamination? (10 points)
10 10 There were no issues.
2.14.10 Are floors kept free of standing water and/or ice? (4 points) 4 4 No standing water was
observed.
2.14.11 Is there a pallet inspection program? (4 points) 4 4 Pallet inspection program in
place.
* Indicates Food Safety Questions
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2.14.12 Is storage of wooden pallets in product handling or storage areas prohibited (e.g., pallets are brought to
these areas only as needed)? (4 points)
4 4 Pallets are stored outside.
2.14.13 Are employee break and locker (if applicable) areas maintained in sanitary conditions? (4 points) 4 4 Employee break and locker
areas were maintained in clean
condition.
2.14.14 a. Is sufficient aisle space (typically 12‐18 inches) maintained along walls to permit cleaning and inspection
for pest activity?
b. Are materials stored at an adequate height (typically the height of a pallet) above floor? (4 points)
4 4 The interior clearance was
maintained throughout the
packing shed.
*Food Safety Section Total Points 50 50 0 0 0 50
Other Section Total Points 28 28 0 0 0 28
Sub Category 2.15 Equipment Construction, Design, and Maintenance
Applicable to Packing Area
(a) Equipment/Containers/Utensils
2.15.1* Are product lines designed to prevent adulteration of product with lubricants, oil, or other similar
contaminants? (e.g., catch pans used under the motors/bearings, etc., located over food contact surfaces,
where there is a potential for leakage of oil or other lubricants, etc.) (10 points)
10 10 There were no issues. Product
lines were designed sufficiently
2.15.2* Are product lines, which are underneath ladders and walkways protected to prevent potential
contamination? (i.e., there are kick plates, covers, etc. installed where necessary) (10 points)x N/A. No such areas.
2.15.3* a. Are equipment, containers, and utensils in good repair (e.g., no rust and/or peeling paint present) and
being used for their intended purpose(s).
b. Are product contact surfaces made of corrosion resistant, non‐toxic and impermeable materials, and able
to withstand the environment in which they are used?
c. Are equipment, containers, and utensils able to be cleaned and sanitized? (i.e., wooden equipment,
utensils and/or wooden product surfaces is prohibited. Are seams on product contact equipment or surfaces
smoothly bonded? (10 points)
10 10 Equipment and containers were
observed to be maintained in
good repair.
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VII.B.2.0
* Indicates Food Safety Questions
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2.15.4 Is string, tape, wire, and/or cardboard, etc., not being used for temporary repairs on product contact
equipment? (4 pts)
4 4 No temporary repairs were
observed.
(b) Preventive Maintenance
2.15.5* Does the facility have a preventative maintenance program for its equipment and utensils and are logs kept
for ordered maintenance work or repairs and then signed off when the work is completed? (10 points)
10 10 Preventative maintenance is
conducted and documented on
a daily basis.
*Food Safety Section Total Points 30 30 0 0 0 30
Other Section Total Points 4 4 0 0 0 4
Sub Category 2.16 Storage and Distribution
(a) Receiving: In‐bound Inspection
2.16.1* Are incoming transport vehicles or containers carrying materials (e.g., products, packaging, etc.) inspected
for cleanliness? (10 pts)
10 10 Trucks are inspected.
(b) Storage
2.16.2 Are storage room temperatures maintained within a defined acceptable range? (4 points) 4 4 Cold storage rooms are
maintained at different
temperatures based on product
requirements. Temperatures
were adequate for products
being stored.
2.16.3 a. Is temperature monitored via continuous recording device or manually (on a routine basis)?
b. Are records and corrective actions available for review? (4 pts)
4 4 Temperatures are constantly
monitored with computerized
temperature recording.
(c) Transportation and Distribution
General Expectation: Compliance with Guide to Minimize Microbial Food Safety Hazards for Fresh Fruits and Vegetables, Section VIII.
* Indicates Food Safety Questions
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2.16.4* a. Does the company have practices for the inspections of outgoing trucks?
b. Do outgoing trucks, trailers, or transport containers that are used for transporting product appear to be
clean and in good condition?
c. Are inspections (cleanliness, temperature, etc.) documented and are inspection records and corrective
actions available for review? (10 points)
10 10 Outgoing trucks are inspected
for cleanliness and temperature.
No issues.
*Food Safety Section Total Points 20 20 0 0 0 20
Other Section Total Points 8 8 0 0 0 8
SECTION B: HACCP PLAN AND PROCESS PRACTICES
HACCP and Food Safety Systems
1.0 MANAGEMENT RESPONSIBILITY
Sub Category 1.1 Management Commitment and Review
1.1.1* Does management appear to be committed to executing an adequate food safety management program?
(10 points)
10 10 Management is committed.
*Food Safety Section Total Points 10 10 0 0 0 102.0 FUNDAMENTALS
Sub Category 2.1 HACCP
2.1.1* a. Is there a food safety management (HACCP) team identified and documented?
b. Is the HACCP team comprised of employees with diverse responsibilities and does it include a person
trained in HACCP? (10 points)
10 10 Food safety team has been
identified.
2.1.2* a. Does the HACCP team meet periodically to address food safety issues and/or review the HACCP program?
b. Are records kept on file and available for review? (10 points)
10 10 Meetings are conducted and
training is provided.
2.1.3* Is there a documented HACCP program, detailing 7 principles, and is it established, up‐to‐date, and available
for review? (10 points)
10 10 A HACCP based program was
available on file. No CCP's were
identified.
(a) Hazard Analysis
2.1.4* Does a written description of the product exist and is it accurate? (10 points) 10 10 Product description is complete.
2.1.5* Does written description(s) of the process(es) and flow diagram(s) exist and are they accurate? (10 points) 10 10 All process‐flow diagrams are
current. There are no CCPs.
General Expectation: An accurate and documented Hazard Analysis Critical Control Points (HACCP) Plan is developed and implemented. The HACCP Plan complies with Codex
Alimentarius Commission and National Advisory Committee for Microbiological Criteria for Foods' definitions for HACCP. The plan addresses physical, chemical, and biological hazards.
Frequency of checks and required recordkeeping are documented. Verification procedures document that the HACCP Plan is working and in continuously effective.
* Indicates Food Safety Questions
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2.1.6* Does a Hazard Analysis Worksheet(s) exist and does it identify the hazards (biological, chemical, and
physical)? (10 points)
10 10 Hazard analysis worksheets are
available on file.
(b) HACCP Plan CCPs
2.1.7* Does a HACCP plan exist, which adequately summarizes the critical control points and operating limits if
necessary? (10 points)x N/A. No CCPs
(c) Monitoring Procedures
2.1.8* Is each critical control point monitored at scheduled intervals, documented, and reviewed (sign/initial and
date)? (10 points)x N/A. No CCPs
(d) Corrective Actions
2.1.9* a. When critical limits are not met, are identified corrective actions taken to bring critical control point under
control.
b. Are corrective actions properly documented and reviewed (initial and date)? (10 points)
x N/A. No CCPs
(e) Verification Procedures
2.1.10* Is the HACCP plan signed/initialed and dated by the food safety manager or other member of management?
( 10 points)x N/A. No CCPs
2.1.11* Are verification procedures (e.g., calibration, testing), which determine the validity of the HACCP plan and
food safety management practices, defined in a written document? (10 points)x N/A. No CCPs
2.1.12* a. Is calibration/testing conducted and documented as required in the verification procedures?
b. Are records available for review? ( 10 points)x N/A. No CCPs
(f) Validation Procedures
2.1.13* Are critical limits have been scientifically established and support documentation is maintained and available
for review? ( 10 points)x N/A. No CCPs
2.1.14* Are targeted sampling and testing conducted on products and documented as required in the verification
procedures? (10 points)x N/A. No CCPs
2.1.15* Are audits of the HACCP plan conducted on a regular basis and results maintained? (10 points) x N/A. No CCPs
(g) Record Keeping
2.1.16* Are all records associated with the food safety management program maintained for a specified number of
years (at least 1 year)? (10 points)x N/A. No CCPs
*Food Safety Section Total Points 60 60 0 0 0 60Sub Category 2.2 Food Safety Practices
2.2.1* Are proper employee and equipment traffic flows used to minimize contamination between incoming
products and outgoing products? (10 points)
10 10
*Food Safety Section Total Points 10 10 0 0 0 10Sub Category 2.3 Allergens
* Indicates Food Safety Questions
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2.3.1* Are allergens stored in the facility? If yes answer 2.3.2 and 2.3.7. If no skip to section 2.4. Yes, powdered milk used for
dipping knives. Vending
machine contains peanuts
product.
2.3.2* Is there a list indicating all allergens stored in the facility? (10 points) 10 10 Allergens were marked.
2.3.3* Are there written procedures on management of allergen‐containing products? (10 points) 10 10 Available on file.
2.3.4* Does the operation repack /co pack allergen‐containing product? If yes, answer question 2.3.5‐2.3.7. If no
skip to section 2.4.x No
2.3.5 * Are there written procedures on rework material (if applicable) to prevent cross contamination from
allergens to non‐allergen containing products? (10 points)x N/A
2.3.6* When repacking/copacking: a. Are there written labeling and packaging procedures for products containing
allergens? b. Are allergens declared on the label? (10 points)x N/A
2.3.7* Is there an established verification program to ensure allergen control procedures are in compliance? (10
points)x N/A
*Food Safety Section Total Points 20 20 0 0 0 20
Sub Category 2.4 Training and Education
2.4.1* Is there an ongoing (refresher) HACCP training to employees who monitor HACCP parameters? (10 points) x N/A. No CCPs
2.4.2 Is there an assigned person responsible for conducting HACCP training? (4 points) x N/A. No CCPs
2.4.3 Is the general content of the training sessions described in a document maintained by the company? (4
points)x N/A. No CCPs
2.4.4 Does the HACCP training include evaluation criteria for knowledge learned? (4 points) x N/A. No CCPs
2.4.5* Is the worker’s participation in the HACCP training program documented and available for review and does
the training documentation include the employee’s signature? (10 points)x N/A. No CCPs
2.4.6* Are employees aware of HACCP‐related activities in their immediate work areas? (10 points) x N/A. No CCPs
2.4.7* Is there a supervisor with appropriate training and/or experience, who oversees the HACCP program? (10
points)x N/A. No CCPs
*Food Safety Section Total Points 0 0 0 0 0 0Other Section Total Points 0 0 0 0 0 0
General Expectation: (21 CFR 110.10). Food handlers and supervisors should receive appropriate training in proper food handling techniques and food‐protection principles.
General Expectation: Develop food allergen program based on a. the eight food groups, b. food additives, c. color additives, d. allergens used in the products (refer to 21 CFR)
Unscored question Yes/No
* Indicates Food Safety Questions
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Company Name: North Shore Green House Contact:
Location: 82‐900 Johnson Street Phone No.:Thermal, CA 92274
Points
Scored
Points
PossiblePercent (%)
Management Commitment & Review 12 12 100.00%Overall 12 12 100.00%Personnel 24 24 100.00%Employee Work Area 20 20 100.00%Visitors 16 16 100.00%Production/Processing 8 8 100.00%Receiving, Storage, and Shipping 27 28 96.43%Security of Water & Utilities 8 8 100.00%Physical Security 16 16 100.00%
143 144 99.31%
FDA registration
number: Yes.
Audited Facility: North Shore Greenhouses, Inc.
Location:82‐900 Johnson Street
Thermal, CA 92274.
Product: Herbs, Cucumbers Scientific Certification Systems2000 Powell Street, Suite 600
Audit Date: 12/13/2011 Emeryville, CA‐94608Ph: (510) 452‐8000
Auditor: Colleen Sweeney Fax: (510) 452‐6886
GMP FOOD SECURITY ASSESSMENT DETAILED REPORTAUDIT SUMMARY
Judy Mudie
760‐397‐0400
TOTAL SCORE
Sub Category
2
SCORE DESCRIPTION DOCUMENTATION COMPLIANCEAuto Automatic Unsatisfactory (Refer to pg. 4)
0 Not ApplicableThe particular question doesn't applyto the facility in question.
0 Unsatisfactory A) No written Food Security Immediate improvements in operational Program in place. practices and procedures are needed. B) Records Review: No records
available.1 Needs Improvement A) Written Food Security
Significant improvements in operational Program in place and/or needs practices and procedures are needed. serious improvement.
B) Records Review: Very fewrecords may be available and/orcurrent.
2 Needs Improvement A) Written Food SecurityPartial improvements in operational Program in place and/or needs practices and procedures are needed. major improvement.
B) Records Review: Somerecords may be unavailable and/or current.
3 Needs Improvement A) Written Food SecurityMinimal improvements in operational Program in place and/or needs practices and procedures are needed. minor improvement.
B) Records Review: Very fewrecords may be unavailable and/or not current.
4 S Satisfactory A) A complete written Food No improvements are needed. Security Program in place.
B) Records Review: Allrecords are available and kept current.
AUDIT SCORING SYSTEM
RATING
NI
NI
N/A
US
NI
3
Percentage Assessment95.00 or more Superior (Pass)90.00‐94.99 Excellent (Pass)80.00‐89.99 Good (Pass)70.00‐79.99 Fair (Fail)60.00‐69.99 Poor (Fail)
Conditions for an Automatic Unsatisfactory
Food Security Assessment Rating System
1. The facility not registered with FDA. Law: The Public Health Security and Bioterrorism Preparedness and Response
Act of 2002 (the Bioterrorism Act) requires domestic and foreign facilities that manufacture, process, pack, or hold
food for human or animal consumption in the United States to register with the FDA by December 12, 2003.
2. Food Security Program does not exist i.e., no written food security program and program not being enforced.
This rating system describes the status of produce packing, cooling, storage and / or food processing operations in
regards to food security issues associated with the particular operations they perform.
4
SUMMARY OF DEFICIENCIES
CORRECTIVE ACTIONS
(Include documents & photographic
evidence)
CATEGORY FINDINGS
2.6.6 Shipping Trucks that do not carry solely North
Shore Greenhouse product may not be
sealed.
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North Shore Greenhouses, Inc. Location: Audit
Date:
12/13/2011
Section # CATEGORY/REQUIREMENTSPoss.
Pnts.N/A S NI US Auto Auditor's Note
1.0 MANAGEMENT RESPONSIBILITY
Sub
Category
1.1 Management Commitment and Review
1.1.1 FDA registration on food security:
Does the company have FDA registration number confirmation? If yes, go to 1.1.2. If no give automatic
unsatisfactory.
Yes, available on file.
1.1.2 Are there written food security policies/crisis management policies in place and are they communicated to
all levels of the organization? (4 pts)
4 4 Food security policies are in place.
1.1.2.a. Does the written food security policy include: a documented operational risk management program (ORP)?
(4 pts)
4 4 Documented ORP program in place.
1.1.3 Does management appear to be committed to executing an adequate food security management
program? (4 pts)
4 4 Management is committed to food
security.
Other Section Total Points 12 12 0 0 0 12
2.0 FUNDAMENTALS
Food Security Control
Sub
Category
2.1 Overall
(a) Food Security Team
2.1.1 Is there a food security management team/crisis management team identified? (4 pts) 4 4 Food security team is in place. Same as
HACCP team.
2.1.1.a. a. Does the team meet periodically (at least annually) to address food security issues and/or review the
food security program ? i.e., food security procedures and operations. b. Are meeting minutes
documented? (4 pts)
4 4 Food security meetings are conducted at
least once a year. Documentation was
available on file.
Unscored Question
General Expectation: Appropriate security practices are enforced to reduce the likelihood of a terrorist attack on your operations and to reduce its
impact on you, your business partners and the public.
Audited Facility: 82‐900 Johnson Street
Thermal, CA 92274.
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(b) Internal Audit
2.1.2 Does the company perform random food security inspections of all appropriate areas of the facility using
knowledgeable in‐house or third party staff, and keeping information confidential? (4 pts)
4 4 Food security internal audits are
conducted periodically. Records are
available on file.
Other Section Total Points 12 12 0 0 0 12
Sub
Category
2.2 Personnel
(a) Background Check
2.2.1 Is there a policy requiring HR to conduct a suitable background check on all staff (including seasonal,
temporary, contract, and volunteer staff, whether hired directly or through a recruitment firm?) (4 pts)
4 4 Background checks are conducted on all
North Shore Greenhouse staff as
specified in the food security plan.
(b) Employee Identification
2.2.2 Is there a policy requiring company to have employee identification system (uniforms, cards, passes, photo
ID badges, time cards, etc)? (4pts)
4 4 The company uses employee hand‐print
time card system.
2.2.2.a. Is there a policy requiring employees to have ID when entering company property/building and/or are
they checked by authorized personnel upon entry? (4 pts)
4 4 Policy in place.
2.2.2.b. a. Are badges and passes in stock adequately secured and collected when a staff member is no longer
associated with the company? b. Is there a policy to change combinations, rekeying locks and/or collecting
the retired key card when a staff member who is in possession of these is no longer associated with the
facility ? (4 pts)
4 4 Proper procedures are followed.
(c) Employee Training
2.2.3 Does the company promote food security awareness by requiring company supervisors and employees to
undergo training on food security issues? (4 pts)
4 4 Food security training is provided
annually and documentation is available
on file for all staff.
2.2.3. a. Is the food security training and employee participation documented and available for review? (4 pts) 4 4 Employee signatures on food security
training logs were provided.
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Other Section Total Points 24 24 0 0 0 24
Sub
Category
2.3 Employee Work Area `
2.3.1 Is there a policy requiring assigned supervisors to check employees routinely for proper identification? This
includes providing an appropriate level of supervision to all staff, including cleaning and maintenance staff,
contract workers, data entry and computer support staff, and especially new staff. (4 pts)
4 4 Policy is in place.
2.3.2 Is there a policy requiring assigned supervisors to routinely conduct security checks of the packing lines,
utilities, dock areas, critical computer data systems, etc., (at a frequency appropriate to the operation)? (4
pts)
4 4 Policy is in place to ensure that
employees are supervised. Management
is always on‐site during operation.
2.3.3 Is there a policy requiring employees to be assigned to specific work areas and to be in the plant property
only during assigned work hours? (4 pts)
4 4 Policy is in place.
2.3.4 Is there a policy requiring employees not to have any restricted item on them along with any material or
item not required at work? (4 pts)
4 4 Policy is in place. No issues were
observed.
2.3.5 Does the company provide lockers for employees to store their personal belongings? Yes
2.3.5.a. Is there a policy requiring appropriate personnel to do unannounced random check on employee lockers
and belongings? (4 pts)
4 4 Monthly lockers audits are conducted
and documented.
Other Section Total Points 20 20 0 0 0 20
Sub
Category
2.4 Visitors
2.4.1 Is there a policy requiring all visitors/vendors to sign in and be issued visitor ID card with authorized
personnel before entering company property and building and to sign out and leave ID with authorized
personnel upon leaving company property? (4 pts)
4 4 Visitor sign in sheet is in place. A visitor
ID tag was issued at entry to facility.
Visitors are required to read GMP policy
at entry to facility.
2.4.2 Is there a policy requiring all visitors to be accompanied by a designated employee, in the areas of
restriction and also while on company property, unless they are otherwise specifically authorized? (areas
of restriction: food handling and storage areas, locker rooms). (4 pts)
4 4 Policy is in place. Visitors are guided by
North Shore Greenhouse personnel.
Unscored Question
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2.4.3 Is there a policy requiring inspection of incoming and outgoing trucks, packages, etc. for suspicious,
inappropriate or unusual items or activity? (4pts)
4 4 Inspections are conducted and
documented.
2.4.4 Is there a designated waiting area for truck drivers? (4 pts) 4 4 Truck drivers are checked in at the front
office and told to wait by their trucks
during loading.
Other Section Total Points 16 16 0 0 0 16
Sub
Category
2.5 Production/Processing
2.5.1 a. Is there a policy requiring daily check on inventory and reconciliation on finished products and on
ingredients (if applicable) and packaging materials used? b. Is there a written program for reconciliation of
parts used in maintenance work? (4 pts)
4 4 Policy is in place.
2.5.2 Is there a written Hold and Release Program that: a. identifies tampered products? b. segregates and
secures affected products? (4 pts)
4 4 Documented hold and release procedure
are available. Non‐conforming product is
handled properly.
Other Section Total Points 8 8 0 0 0 8
Sub
Category
2.6 Receiving, Storage and Shipping
(a) Receiving Materials
2.6.1 Is there a policy requiring establishing delivery schedules, not accepting unexplained, unscheduled
deliveries or drivers and investigating delayed or missed shipments? (4 pts)
4 4 Policy is in place. Unscheduled deliveries
are not accepted according to company
personnel.
2.6.2 Is there a policy requiring products, ingredients (if applicable), packaging materials and other supplies shall
be received from locked and/or sealed vehicles/containers/railcars? (4 pts)
4 4 All packaging materials are transported
via locked vehicles.
2.6.2.a. If sealed, is there a policy to maintain chain of custody? (4 pts) 4 4 Chain of custody is maintained for sealed
trucks.
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2.6.3 Is there a policy requiring inspection of incoming materials (4 pts) 4 4 Incoming materials are inspected.
2.6.4 Is there a policy requiring keeping track of incoming materials and materials in use, including gas,
packaging, labels, salvage products, rework products, and product returns? i.e., requiring daily check or as
needed on inventory and reconciliation? (4 pts)
4 4 Policy is in place. Records of such
transactions are kept on file.
(b) Storage
2.6.5 Is there a policy requiring all received products, packaging materials, process materials, etc., cleaning
chemicals, pesticides (if stored on‐site) to be stored in secure areas with controlled access? E.g.,
(locked/supervised) (4 pts)
4 4 Policy is in place. Chemicals are stored in
a secured or locked area.
(c) Shipping
2.6.6 Is there a policy requiring products from the facility to be loaded on the locked and/or sealed
vehicles/containers only? (4 pts)
4 3 Policy in place for products to be shipped
via locked or sealed trucks, when
applicable. Trucks that do not carry solely
North Shore Greenhouse product may
not be sealed.
2.6.6.a. Is the seal number provided to the consignee? (4 pts) x N/A is an option if not company owned
trucks.
Other Section Total Points 28 24 3 0 0 27
Sub
Category
2.7 Security of Water and Utilities
2.7.1 Is there a policy requiring securing non municipal water wells, hydrants, storage, and handling facilities? (4
pts)
4 4 Well water is secured. Area is behind
locked fence.
2.7.2 Has the company identified alternate sources of potable water for use during emergency? (for e.g.,
trucking from an approved source, treating on‐site or maintaining on‐site storage). (4 pts)
4 4 Emergency water source of water has
been identified. Extra wells are available
on the property.
Other Section Total Points 8 8 0 0 0 8
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Sub
Category
2.8 Physical Security
2.8.1 Is perimeter access protected with fencing or other deterrent, where appropriate? (4 pts) 4 4 Facility is fully enclosed by fencing.
Additionally, the food safety/security
manager lives on‐site.
2.8.2 Are doors, windows, roof openings/hatches, vent openings, ventilation systems, utility rooms, ice
manufacturing and storage rooms, enclosed trailer bodies, tanker trucks, railcars, bulk storage tanks, etc,
secured, if not in use or if unsupervised? (4 pts)
4 4 Facility is secured when not in use. All
doors and entrances are shut and locked.
2.8.3 Is there a policy requiring monitoring the security of the premises using appropriate methods? (4 pts) 4 4 The facility is monitored by the facility's
food safety/security manager who lives
on‐site. Additionally, alarms have been
installed to alert facility personnel of
potential intruders.
2.8.4 Is adequate exterior and interior lighting provided, including emergency lighting, where appropriate to
facilitate detection of suspicious or unusual activities? (4 pts)
4 4 Lighting is adequate on the interior and
exterior of the facility. Back‐up lighting
via an external generator is also available
in the event of a blackout.
Other Section Total Points 16 16 0 0 0 16
Version 1August 2011
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