Supplier Food Safety & Quality Survey

Title Page

Site conducted
Please fill out a separate survey for each plant where you manufacture products for AGRANA FRUIT subsidiaries. Please not that some of the questions might not be applicable for the product type you deliver. In this case, please tick "N/A".

1. General Information

Client / Site
Location
Prepared by
Conducted on

Contact Details

Manufacturing Site (Phone)
Manufacturing Site (Email)
Quality
Sales
Primary Recall
Secondary Recall
Technical Support

Manufactured Product for Agrana Fruit. Include: Description / Code

1. Quality System

Does a documented quality system exist in the plant?
Record Date of Current Version (Quality Policy or relevant support program) to ensure currency is managed
Is there any documentation in progress?
If YES: Date of current version

If NO: Why? / Is any documentation in progress?
Is the quality system GFSI certified? (IFS, FSSC 22000, BRC, SQF, Other - Specify)
IFS - Record date of last audit and certificate expiry
FSSC 22000 - Record Certification Agency, Date of last audit and Certificate expiry
BRC - Record Certification Agency, Date of last audit and Certificate expiry
SQF - Record Certification Agency, Date of last audit and Certificate expiry
Other (Specify - Halal; Kosher; Organic) - Record Certification Agency, Date of last audit and Certificate expiry
If NO: Why? / Is any certification in progress? + Certification agency / Next certification Audit date
If YES:
Which standard is applied & certified by who? Include: System / Certification agency / Last certification date / Score
- Main observations
- Are the corrective actions completed?

If NO: Why? / Is any certification in progress?
+ Certification agency / Next certification Audit date
Does top management regularly review the effectiveness of the system? (no longer than one year intervals)
Detail Frequency / Records date of last review
Why? / Is any review in progress?
If YES: How often (frequency)? / Date of the last review

If NO: Why? / Is any review in progress?
Is there a documented quality improvement process with specific details?
Date of last review
If YES: Date of last review / Highly recommend the format…
- OBSERVATION DESCRIPTION (with pictures when applicable)
- RESPONSIBILITY
- DEADLINE
- CORRECTIVE ACTION DESCRIPTION (with pictures when applicable)

If NO: Why? / Highly recommend the format…
- OBSERVATION DESCRIPTION (with pictures when applicable)
- RESPONSABILITY
- DEADLINE
- CORRECTIVE ACTION DESCRIPTION (with pictures when applicable)
Is there an internal audit of the quality system system in place? (If yes, detail frequency)
Detail Frequency

2. Raw Materials and Ingredients Management

Is there a documented procedure for the management of your suppliers?
There should be a documented procedure detailing how suppliers are evaluated, approved and monitored (ingredients, materials). This procedure should include methods of qualification/delisting of suppliers.
There should be a list of approved/rejected suppliers (even if they are not being currently used).
Raw material (fruit)
Specific data to take into account:
+ Kind of fruit
- % own, % other growers, % cooperatives, % collecting points
- Certified fields? If yes, by which agency? / Date of last certification / Score
- Audited collecting points? Kind of Audit (direct visit or questionnaire sent) / Date of last audit / Score
Co-packers
+ Kind of co-packing (decapping only? depitting only? whole packing? other?)
- Audited? Kind of Audit (direct visit or questionnaire sent) / Date of last audit / Score
Ingredients
+ Kind of co-packing (sugar for example)
- Audited? Kind of Audit (direct visit or questionnaire sent) / Date of last audit / Score
Packaging materials
+ Kind of packaging material (bags, pails, carton cases, drums, etc)
- Audited? Kind of Audit (direct visit or questionnaire sent) / Date of last audit / Score
External cold storages
+ Kind of cold storage (for raw material, for finished product, both)
- Audited? Kind of Audit (direct visit or questionnaire sent) / Date of last audit / Score
Services
+ Kind of service (for raw material, for finished product, both)
- Audited? Kind of Audit (direct visit or questionnaire sent) / Date of last audit / Score
Are all suppliers audited/evaluated in a formal process? (If yes, detail frequency)
Detail Frequency
There should be a written procedure detailing how suppliers are evaluated, approved and monitored. This procedure should include methods of removal of approved suppliers. All ingredients, products, materials and services that relate to food safety are ideally purchased from approved suppliers; where expectations are made (e.g. market conditions) approval from management should be documented.
-Non conformity management and follow-up.
-Is there a risk assessment to define the need for audit?
Evaluated (even if by a 3rd party)
- Which ones?
- Ask for audit report of a supplier supposed to be audited based on the defined rules and check corrective actions.
Not evaluated
- Which ones?
NOTE: It is not mandatory to audit all suppliers.
Describe who are the suppliers (Cooperatives, growers, brokers, own fields)? What % for each
Raw material (fruit) include pre-operation process suppliers
- % own, % other growers, % cooperatives, % collecting points
- Total surface (has)
- Main locations
- % certified fields / Standard - Agency
Do they have an agronomy expert belonging to their plant?
The agronomy expert role should link the ranches' data and the processing plant. He/she should inform the plant about the agronomy conditions of each ranch and document the preventive and/or corrective actions done during the crop season in question of IPM (Integrated Pest Management), water uses, fertilizers/crop nutrition growers program and new ranches involved in the business.
- Are there enough experts for the amount of growers/surface?
Do they give agronomy advice to the growers harvesting for their plant?
As a minimum, the agronomist should give GAP's advice.
However, the agronomy expert may have two kind of roles:
1. Report the ranch's agronomy data to the company
2. Advise on the agronomy steps, record and report to the company. All advising should be documented by ranches and suppliers.
Are specifications available for the incoming raw material?
A specification is an explicit set of requirements to be met, it can be an external reference. There should be documented specifications for all raw materials purchased/provided that have an effect on product safety (special attention to incoming fruit with stickers). There should be a specification review process in place. Documented specifications should be easily accessed to users.
Available for
- Which ones?
Not available for
- Which ones?
- Why not?
Is there a formal quality checking of the incoming raw materials and ingredients? Describe sampling procedure (quantity, frequency, parameters...)
Describe sampling procedure (quantity, frequency, parameters...)
The organization should have relevant information from approved suppliers to ensure that they are complying with the established specifications, regulatory requirements (from the origin country fabrication and destination of use). This applies to raw material, ingredients suppliers.
Raw material (fruit) / Ingredients / Packaging material
- Quantity / Sample size --> how is it defined? Are ASQC, MIL or similar tables used? If not, highly recommend them.
- Frequency
- Parameters
- Methodology
Are specific and proper containers used to transfer the raw materials and ingredients?
Raw material (fruit) / Ingredients / Packaging material
Several points must be reviewed during the containers inspection:
1. Container description
2. Are the containers appropriately sized for the fruit?
3. All containers intended for product should not be used for any other purpose than product storage.
4. Packing material should be free from evidence of pest activity, foreign materials and any hazardous materials.
5. All re-useable containers (totes, bins, pails etc) should be made of easy to clean, smooth seamed materials that do Not flake or oxidize. Efforts should be made to eliminate wooden surfaces because of its porous nature and chemical wood treatment contamination.
6. Sanitation program is in place for the re-useable containers.
7. A regular review of the containers should be done to ensure those not meeting required conditions or represent a contamination risks are discarded.
8. A special attention for the kind of transport used for the fruits pre operations done in a external place (as peeling or pitted fruits). - Covered trucks?
9. Vehicles transporting product should be limited to this function only. Vehicles should be in a good state, clean, odor free, free from personal items, and free from chemical and microbiological contamination.
10. If wooden bins are used, verify what chemical treatment is applied to it (risk of PCP or other).
Is there a formal policy for rejecting or downgrading the incoming raw materials?
If YES: Following which reference? The reference should be compatible with the specification. The policy should mention the proper identification of the product and in case of deviation, it should also mention the corrective actions to be taken.

If NO: Why? / Highly recommended to create and follow Specs
Are the quality checking of the incoming raw materials recorded?
Raw materials should be inspected. This inspection should look for foreign material contaminants, rotting materials and all quality parameters that can affect the fruit's conditions. e.g. packaging damages, visible residues….
Is the downgraded raw material clearly identified?
Downgraded raw material should be kept separate and identified from other materials to avoid accidental use or shipping. Make sure that the pallet or downgrading product is properly marked. A separate area also helps ensure that there are no accidental uses or shipping of on downgrading material.
Highly recommend the use of COLOR CODE labels with specific details

3. Identification and Traceability

Is there a documented procedure describing the traceability system in the plant, including the raw material?
The tracking system should be written (e.g. as flow diagram) and should be able to show that it can trace back to the suppliers of materials and also show that the system can trace forward and indicate which customer received the products. A lot(s) coding is usually used to identify the different step of the process. The written traceability should match the process system. The traceability should include all the materials (ingredients, material packing..) and persons involved in the different steps of the process.
Check these common issues on records:
- Use 24:00 hours format.
- Write always First name and Last name.
- Overwriting is not allowed. Correction fluid must be used instead and approved by Quality supervisors.
- There should be no blank spaces
Are they capable to trace raw materials into the first level distribution?<br>
About the fresh raw materials, coding details (e.g. ranch name or reference code number, blocks of the growing area, greenhouse/building code or number should be in sufficient detail to track easily and in short time the right place. The code must be linked with the food safety logs (e.g. pesticide and fertilizer records, microbiological testing records, compost records, harvesting date records....).
If the supplier has another supplier (collecting point, silo, decapping center, etc) , the traceability should be easily available.
As well, ingredients/packaging materials/intermediate products lot #s must be directly linked to finished product lot #
Describe briefly the traceability of fruits and vegetables raw materials (fields, growers, cooperatives,…)
From field ID to finished product lot #
Describe briefly the codification system of the batch number written on the label of the product delivered to Agrana Fruit subsidiaries
Describe and mention an example
Do they record all the traceability information?
Check that each production lot has a record of the list of raw materials and ingredients lots used.
Check that each shipment has a record of the product lots and quantities shipped.
If an electronic track system is used, hard copy records should be available, or a reliable back-up system should be in place.
Do they keep the record of the traceability information longer than the product shelf-life?
Check that each production lot has a record of the list of raw materials and ingredients lots used.
Check that each shipment has a record of the product lots and quantities shipped.
If an electronic track system is used, hard copy records should be available, or a reliable back-up system should be in place.
Do they record traceability of additives, ingredients, technological agents and rework added to the product ?
Additives, ingredients, technological agents and rework lot #s MUST BE directly linked to finished product lot #. Highly recommend to record these lot #s directly on finished product scoresheets
Do they record traceability of packaging material used?
Packaging material lot #s MUST BE directly linked to finished product lot #. Highly recommend to record these lot #s directly on finished product scoresheets
Do they monitor and record traceability of intermediate products?
Intermediate product lot #s MUST BE directly linked to finished product lot #. Highly recommend to record these lot #s directly on finished product scoresheets
Do they record traceability of transportation and storage used?
Transportation and storage used MUST BE directly linked to finished product lot #, Transportation info should also be linked to the AFS PO number.
If an external warehouse is used, information should be easily accessible.
Transportation traceability information should include:
- Driver's name
- Container number
- license plate of the head
- Seal number (additional as well if attached for customs purposes)
Storage traceability information should include:
- Storage identification (it should be clear enough not to allow doubts as to its location)
- Room ID
- Specific location (Bay, Aisle, rack #, level, etc...)
Are all critical process steps and events recorded / documented and stored ( thermal processes, metal detector calibration and deviation, cleaning,….)
Check vs. last HACCP plan:
CCP #
- Process stage (step)
- Monitoring frequency
- Critical limits / Operational limits
- Corrective actions and follow up in case of incidents
Does the supplier perform traceability exercises? If yes, how often? Perform traceability exercise in order to test the system… what is the % product recovered and the elapsed time?
What is the frequency. Record date of last traceability exercise completed and results
If YES: How often? / Date and results of last internal traceability exercise. Traceability exercise (with a mock recall) should be performed at least annually. Documentation should indicate the date and time the exercise was initiated, the product chosen, the scenario, amount of product produced, affected lot ID' s (date code etc..), amount located and percent located. The exercise documents should include copies of documents that support the trace back from the affected finished good lot through to the production run affected and therefore showing if other lots are affected and which other customers might have received affected lot. Checks should be carried out to ensure that contact details exist for the affected customers (Name, address and emails or phone).

Traceability exercise
pick a lot of finished product (or a production date/grower code to trace forward) and ask minimum for the following:
-list of raw materials, ingredients and packaging lots used with quantity (including reworks).
-CCP records.
-QC records and COA.
-quantity produced, quantity in stock and location, quantity delivered and destination.
- % product recovered / Elapsed time: % of recovery is (qty stock + qty delivered) / /qty produced) should be 98% as a minimum to qualify exercise as satisfactory. 2 hours maximum to confirm qty, locations and destinations to qualify exercise as satisfactory.
Others: field ID and phytosanitary applications, cleaning records, glass monitoring, pest control, etc...
Is there a risk of wrong identification and traceability at the filling step (wrong labeling, mixing of products…) ?
Does the label of finished product refer minimum to the product format, the batch number, best before date?
Each product packaging unit should have a label.

4. Contaminant Residues (for fruit and vegetable suppliers)

Do they have a documented contaminant and pesticide policy?
The written contaminant and pesticides policy should mention that all growers are allowed to use treatments per the local pesticides standard regulation and/or the pesticides regulations of the market country (the stricter value of the two should be taken into account to avoid discrepancy). There should be a clearly defined pesticide residue control plan (number of samples to be tested per crop, on the fresh and/or finished products, molecules to be tested and the review of all the spraying records). As additional information, a recommendation is to mention what kind of pesticides test are done and the reason of this choices well as what kind of corrective actions are taken if the pesticides results are non compliant to the local / destination countries regulations.
Do they provide to the growers a list of authorized pesticides (PPL's)
If YES: The list should be updated. What sort of regulation is the list based on?
If NO: Why? / The supplier should be able to show an updated pesticide list distributed to the suppliers where the registration/label information for the plant protection products registered in the country of use for the target crop where official registration is in place. The pesticides list information should at least detail the active ingredient, target pest organism, sites where the product may be used, application methods that are required or preferred, how much chemical should be applied, rate of application, if any restrictions on use as frequency of use per crop and per season, apply methodology, all restricted entry intervals (REI) and pre harvest intervals (PHI). Where registration information does not exist for the crop in the country of production, the supplier should be able to provide at the growers a pesticides list for the target crop conformed at the regulations of the country of destination/growing.
Do they ask the growers to record all the phyto-sanitary applications done on the fields?
The growing operation should follow a pesticide application record keeping program that at least includes the applicator´s name and certification number (if applicable). Month, day and year of application; crop, commodity, or site where the chemical was applied; product trade name, dilution factor (or preparation procedure), total amount applied; size of treatment area; and application location. Records should detail active ingredient and post harvest interval respected.
Does the packer verify the compliance of application doses and Post harvest intervals?
Only authorized pesticides ARE ALLOWED.
Do they carry out contaminant analysis program on their vegetal raw material? If yes, describe briefly their analysis program and frequency
Describe briefly their analysis program and frequency
There should be a clear explanation or risk analysis to determine the parameters of the control. Check vs. Contaminant policy (point 4A)
Raw material (fruit)
- Quantity / sample size
- Frequency
- Kind of analysis

Contaminants analysis on raw materials & finished products (Pesticide residues, heavy metals, radioactivity, mycotoxins, GMO, virus…) are conform to group policy and to the group survey plan - review the plan & few examples.
Do they carry out contaminant analysis program on finished product? If yes, describe briefly their analysis program and frequency (analysis number per year per raw material and per grower)
Describe briefly their analysis program and frequency (analysis number per year per raw material and per grower)
Per raw material (fruit)
There should be a clear explanation or risk analysis to determine the parameters of the control. Check vs. Contaminant policy (point 4A)
Raw material (fruit)
- Quantity / sample size
- Frequency
- Kind of analysis
Per AFS specification
A 2kg finished product sample from 1st day of production MUST BE sent to AFS approved labs for pesticides analysis (AFS/SPE/001). The analysis should include all molecules determined by AFS in cooperation with AF.

Contaminants analysis on raw materials & finished products (Pesticide residues, heavy metals, radioactivity, mycotoxins, GMO, virus…) are conform to group policy and to the group survey plan - review the plan & few examples.

5. Other Chemical Contaminants

Do you have a documented procedure for the management of chemical products in your factory?
The chemical written procedure should be mentioned why/where/who and when they used the chemicals inside or outside the facility. Also this document should be mentioned that all chemicals used inside the facility must be approved for the food industry.
Are all the chemical products (cleaning, sanitation, baits, fumigation …) in your factory approved for food industry purposes?
Review of the TDS for the following:
Sanitation (equipment, production areas, utensils, gloves, etc)
- Kind of chemical (active ingredient) / Commercial name / Used for? / Approved for Food industries? / Concentration or quantity recommended to avoid toxic effect.
Raw material washing (sanitizers)
- Kind of chemical (active ingredient) / Commercial name / Approved for Food industries? / Concentration or quantity recommended to avoid toxic effect.
Pest control (rodenticides, fumigation, etc)
- Kind of chemical (active ingredient) / Commercial name / Used for? / Approved for Food industries? / Time delay recommended before start up of the lines / Area limitations
Lab chemicals (buffers, titration, etc)
- Kind of chemical (active ingredient) / Commercial name / Used for? / Approved for Food industries? / Concentration or quantity recommended to avoid toxic effect.
Are all chemical product containers correctly labeled?
All containers should be accurately, legibly labeled. Additional languages should be added according to the language of use in the facility.
Grease guns should be also labeled accordingly.
Are all chemical products stored in locked specific locations (processing and/or non-processing area) with proper restricted access?
Describe the area and location within the premises.
Chemicals are required to be stored in a designated secured storage area (with good signs). The chemical storage area should be located away from any raw materials, packaging and finished food products. Spill controls should be in place for any leaking contamination.
Is the shelf life of chemicals (oil, lubricants…) correctly managed?
Do they use food-grade grease (H1) for all the machines in contact with food stuff (knifes, depitter…) and/or in air compressor in case of air contact?
Are grease guns and / or their containers adequately identified (eg: colour, labelled, etc)?
If YES: How? / Highly recommend the use of COLOR CODE to identify grease-guns.

If NO: MUST BE. Highly recommend the use of COLOR CODE to identify grease-guns. Only food grade grease should be used close to the product area and packaging materials. Non-food grade grease should be stored in separate designated areas. Grease guns and containers should be correctly labeled. Access to non food grade materials should be limited to those entrusted with correct use of chemicals.
Was any leaking oil or over greasing observed?
Highly recommend to remove greasing caps from rowlocks. Dripping due to grease excess is a potential chemical contaminant to the product. Frequent grease application using minimal material and use of drip pans or belt motor cover are control examples. Keep in mind that food grade materials are designed for incidental food contact. To avoid these incidents, one of the main solution is the good training of the maintenance people about hygiene practices and contaminant risks.
Are drip pans installed as needed?
Drip pan exit (final) should be placed out of the line- away from product zone

6. Allergens

A separate document provided by AGRANA FRUIT has to be completed additionally for further information
Are any materials used or stored at this facility officially recognized as food allergens? List the allergen used at the facility. Verify the Agrana Allergen List Document for the facility.
Please give the exhaustive list of all allergens for all ingredients, materials and processing aids (including food grade lubricants).
List all raw materials (fruits), ingredients, additives and technological agents used and stored in the plant.
Allergens are those listed in the AFS GAIN document as MAJOR ALLERGENS (ALBA list is not mandatory).
Does the facility’s allergen control procedure list all allergen for ALL ingredients and materials used in the plant?
Mark this cell as "Satisfactory" if allergens are not used. Then mark the rest of the cells as "N/A"
Does the allergen control procedure provide for updates to the allergen list when new allergens and allergenic sources are brought into the facility?
Are protective measures and corrective actions taken to protect other products from allergens during product changeovers or equipment cleaning?
Does the allergen program have documented procedures for the control of allergen used in the facility?
Are their special precautions followed to prevent inadvertent cross-contact by allergens through the entire process (receiving to processing to warehousing to shipping)?
Does the facility dedicate people and equipment (utensils, scoops, buckets, clothing/uniforms, etc) to specific allergen related products or processes?
Does the facility comply with its production schedule change-overs and cleaning regimens that prevent allergen cross-contact issues?
Does the facility conduct post-cleaning validation tests of shared equipment to verify the absence of allergens prior to processing product of a different formula?
Are corrective actions documented for suspected cross-contact with an undeclared allergen?
Are procedures in place that ensure all allergens are correctly displayed on product labels in accordance with regulatory requirements?
Does the allergen control program include provisions and controls for the rework of products and ingredients containing allergens?
Are allergens stored in designated, identified storage areas?
Are all employees trained on allergens?

7. GMO

A separate document provided by AGRANA FRUIT has to be completed additionally for further information
Are there ingredients derived or obtained from Genetically Modified Organisms handled in this factory? (If yes, please specify)
Specify implicated GMO ingredients and procedures in place to limit cross contamination
Mark this cell as "Satisfactory" if GMOs are not used

8. Water & Air

What are the sources of water in the plant and their use (well, city,…)?
Make sure all sources are listed.
Do they make at least one microbiological and chemical analysis per year of the water and check its potability when in contact with food and compliance to local regulation?
Accredited ISO 17025 labs are preferred.
For well sources, analyses on a monthly basis is best practice.
Microbiological
- Frequency / Stage where sample was took / Date of last analysis
- Following which standard? at least official norms should be applied.
- List monitored micros
Physicochemical
- Frequency / Stage where sample was took / Date of last analysis
- Following which standard? at least official norms should be applied.
- List monitored parameters
Is the water used to wash the raw materials treated to control microbial growth? Describe (type, concentration…)?
Perform a checking of the sanitizer concentration
Sanitizer / Commercial name
- PCC?
- Monitoring frequency
- Critical/operational limits
Maximum:
- Chlorine 200 ppm max
- Chlorine Dioxide 3 ppm (cut only)
- Peroxy acetic acid 80 ppm
Recommended: 20-50 ppm free chlorine.
Concentration must be adapted to the quality of the raw material.
Non treated water is acceptable if water is potable and the process assures finished product within microbio specification.
Is the Sanitizer concentration controlled and monitored?
Automation is recommended.
Hourly control is recommended, at least at the beginning and end of the shift.
Is part of the water in contact with the product recycled? (If yes, comment on how you are monitoring its quality)
Describe how the quality is maintained and monitored
If YES: Process stage (step)? How many times is recycled?
Is the wash water filtered or is there any other way to reduce foreign matter risk in water? Describe
Specify how you control foreign matter in the water
If YES: Where is the filter located? Describe filter (1mm is a recommended maximum size)

If NO: Why? / Highly recommend the use of filters
Are they well protected against physical and chemical contamination from surface? Are chemicals or other possible contaminants stored near the well? Is there any other contamination source?
Do you use intermediate storage tanks in the factory? (If yes, is the tank clean, well closed and padlocked?)
Is the tank clean, well closed and padlocked?
Describe............... Include: Cleaning- Frequency................... Closed? Padlocked?
Is the back flow system functionality controlled and documented?<br>
This is a mandatory food safety requirement.
If YES: Where is the backflow system located?
Functionality of the valve should be tested and documented annually.
Ask for the last test document.
If NO: Why? / Highly recommend the use of backflow systems
Is compressed air used in contact with product, i.e. optical sorter rejection?
Is the air tested for microbial and chemical purity?
Is the compressed air that is in direct contact with foods and food contacting services pure, oil-free, odorless and microbiological filtered (0,2µm)?
Ventilation systems are cleaned and are designed so as to avoid contamination?

9. Pest Control

Is there a documented pest control program in place?
Date of last version
Is an external agency responsible for rodents control? If not, is internal team accredited and properly trained concerning pest control management?
Internal control
- Licensed? If yes, by which agency?
- Trained? If yes, by which agency?

External control
- Licensed? If yes, by which agency?
- Trained? If yes, by which agency?
Is the pest control company and pest control operator licenses up-to-date?
What is the frequency of audit done by the external/internal pest control company?
Internal control
- Kind of trap / Frequency / Date of last monitoring
- Fumigation / Frequency / Date of last fumigation

External control
- Kind of trap / Frequency / Date of last monitoring
- Fumigation / Frequency / Date of last fumigation
Do they have an updated map of all outside and inside rodent traps and insect light-traps?
External-external (3rd perimeter)
- Kind of traps

Internal-external (2nd perimeter)
- Kind of traps.

Internal-internal (1st perimeter)
- Kind of traps.
How often are traps examined?
Internal control
- Kind of trap / Frequency / Date of last monitoring
- Fumigation / Frequency / Date of last fumigation

External control
- Kind of trap / Frequency / Date of last monitoring
- Fumigation / Frequency / Date of last fumigation
Are poison baits used in external areas only? If not, is the usage of this poison well managed (therefore the risk of a product contamination is limited to an acceptable level)?
In case that poison baits are used inside production areas or outside without lock, ask for the MSDS to verify that it is allowed for food industry use.
Are pest control chemicals (bait, fumigants, etc) approved for food industry?
Are activity results kept on record?
Fumigations must be recorded: review the records to verify that they are clearly identified thru the year.
Verify cleaning records after fumigation.
Highly recommended to record activity per individual trap.
Are baits replacement kept on record?
All replacements must be recorded.
It should be possible to account for all baits in and out.
Are there Technical Security Data Sheet available for all products used?
Check that pest control chemicals are approved for Food industries
Are rodent traps correctly fixed along the walls, identified with a number and labeled?
Trap # matches # on wall and on map?
All traps fixed along the walls? Inside traps should be on both sides of doors and every 10 meters or at a distance determined by a risk assessment.
Highly recommend the use of cover protection for traps as well as inspection record or barcode inside the trap to assure surveillance.
Is there any evidence of critical pest activity in processing and storage areas?
Critical: birds, mammals, cockroaches, reptiles. Insects in number or contaminating the material.
Are the conditions of buildings good and adequate to prevent pest entrance?
No holes.
All openings must be protected with screen to prevent insects entry.
Louvers closed when fan not operating.
Air curtains must be functional.
Strip curtains doesn't leave gaps.
Are surroundings managed to prevent pest harbourage or attraction?
Waste should not be kept close to entrances, must be kept in closed containers and removed as needed.
Perimeter should be kept free from vegetation 0.5 m around buildings: gravel or pavement is recommended.
Remove pest harbourage sites: pallets, bone yard…
Are the doors sealed and kept closed when not used or Is there enough ways to avoid pest invasion (plastic curtains, air-curtain…)?
Are insect light-traps using glue boards in place in processing and storage areas?
Insectocutors are not recommended: prefer light-attraction-traps with glue board.
Are insect and rodent traps properly positioned?
Are the UV tubes of insect light-traps replaced annually or according the suppliers recommendations?
MUST BE replaced at least once a year
What is the cleaning frequency of insect light-traps? Describe who is in charge
A proper risk assessment should be done to define the frequency
Is there a recorded follow-up of the pest problems and corrective actions?
At a defined frequency, the packer should review the monthly activity trends and take corrective actions where needed.
Repetitive activity should be identified and corrected as part of an ongoing program.
Does the facility audit its contracted pest control company performance?
All of the above should be documented

10. Glass / Hard Plastic / Ceramic Foreign Bodies

Is there a glass control policy? Does it include hard plastic/ceramic control?
Date of last version. A check frequency should be clearly established.
Are the glass/hard plastic/ceramic elements of buildings identified and under monitoring? Is inspection documented?
If YES: How? / Highly recommend the use of COLOR CODE…
- Frequency / does it match the established frequency in the glass control policy?
- Date of last inspection.
Lab material should be included
If NO: MUST BE. Highly recommend the use of COLOR CODE
Lab material should be included
Have all employees been trained in glass control policy?
Are the glass elements protected from the risk of breaking?
Check. Please note that even if the glass elements are protected, it should be identified and monitored during each inspection.
Is there documentation of glass breakage incidents with corrective actions?
Is it forbidden to enter the production area with any glass object?
Glass should be kept to a minimum.

11. Metal / Sieves

Devices

Do they have the following safety devices on your process line? Select from list
- Magnets
- Metal Detectors
- X/Ray
- Screens / Sieves
- Filters
- Other (please specify)
- No Metal Detection and/or X-Ray

MAGNET

Are magnets tested for strength (Gauss) each year?
HIGHLY recommended at least once a year.
Recommendation: 10,000 Gauss.
Verify change over time.

METAL DETECTOR &/or X/RAY

METAL DETECTORS &/or X/Ray:
Kind of metal detector (in-line, for packed product, pipe…)
- PCC?
- Monitoring frequency
- Critical/operational limits MUST BE Fe≤3.0mm, NonFe≤4.0mm, SS≤4.0mm (AFS/SPE/001)
Should be near the end of process as much as possible

SCREENS / SIEVES

Screens/Sieves (for powders and liquids only). Visual verification of size and conditions must be performed.
Integrity conditions and size of screens MUST BE checked before and after production.
Filters (for powders and liquid only) HIGHLY recommended to be used

If they use metal detectors and or X-Rays, describe their detection sensitivity based on the calibration standards used:

Is Ferrous Standard <=3 mm Straight Pack (Block Frozen) and <=2 mm Other Products
Tested inside the product? If NO, it MUST BE tested in the center of the gate at least at the beginning, the middle and the end of every shift
Is NON Ferrous Standard <=4 mm Straight Pack (Block Frozen) and <=2.5 mm Other Products
Tested inside the product? If NO, it MUST BE tested in the center of the gate at least at the beginning, the middle and the end of every shift
Is Stainless Steel Standard <=4 mm Straight Pack (Block Frozen) and <=3 mm Other Products
Tested inside the product? If NO, it MUST BE tested in the center of the gate at least at the beginning, the middle and the end of every shift

Metal Detection Follow Up:

Are rejections documented and investigated?
Do they monitor the Metal Dection and/or X-Ray at least beginning and end of every working shift ? Is it recorded?
Tested inside the product? If NO, it MUST BE tested in the center of the gate at least at the beginning, the middle and the end of every shift
Is the Metal detector and/or X-Ray calibrated and validated at least once per year or when the process has changed?

12. Other Foreign Bodies (GMPs)

Do operators wear protective clothes?
Mandatory:
-hairnet
-beard cover
Strongly recommended:
-sleeves
-aprons
-hood
-gloves for product contact

Use roller brushes and polish metal mirror
Are working clothes clean, in good condition and properly worn?
Prevent: Lose threads, rhinestones and other lose decorative features. Buttons. Zippers.
Also pay attention to shoe cleanliness.
Is there a changing room provided with separate lockers for private and work clothes?
Are working clothes provided by the employer to all employees?
color code is recommended.
Are hair reduction best practices in place?
-Hairnets worn even during harvesting the raw materials
-Employee training with emphasis on hair control
-Usage of non-glass mirrors to check proper hair- and beard net coverage
-Usage of lint brush over entire coat (emphasis on shoulder area)
-Lab coats or smocks only worn inside production area; not outside
-Supervisory monitoring for each start-up, break and lunch
-New hairnets after each break
-Monitoring all employees and visitors every couple of hours with a roller brush and documenting the results
Is it forbidden to eat and to smoke in the production area?
Is there some external area specifically dedicated for eating and smoking?
Are loose jewelry (earrings, necklaces…), nail polish, false eyelashes or fingernails prohibited in processing areas?
Also pay attention to excessive make-up.
Are items above waist line prohibited?
Are Band-Aids brightly colored and metal detectable? If metal-detectable band-Aids are not used, are the Band-aids covered/protected?
Are the gloves maintained in an intact, clean and sanitary condition?
Latex gloves are not recommended due to allergen risk.
Nitrile gloves are acceptable.
Broken gloves must be reported by employees and any missing piece found.
Best practice is to identify the gloves for each employee.
Use more resistant gloves as needed, e.g. for packaging operators.
Gloves must be sanitized every time the worker returns to the line.
Sanitation stations must be convenient for the operator.
Do you have a Wood Management Policy?
Is wood or other plant material such as bamboo restricted in processing areas (including wood on cleaning tools)?
HIGHLY recommend the use of plastic production pallets.
Should be limited to finished product pallets without risk of cross contamination.
Highly recommended: pallets should not be stacked higher than belt level and they should have a specific location.
Is raw material harvested or transported in wood containers at any stage?
Is the final product primary packaging of a contrasting / distinguishable colour to the colour of the fruit and of appropriate gauge to minimise risk of damage?
No transparent liners / tape permitted. Liner gauge to be no less than 60 micron.
Are items such as staples, non metal detectable pens, pen caps, wood on cleaning tools… forbidden in processing areas?
Is there any source of foreign material contamination risk (DAMAGED BELTS/CONVEYORS, dust, peeling paint, rust, loose bolts or nuts … ) in processing and storage areas?
Does maintenance or operation personnel monitor equipment wear for foreign material?
Are floors, walls, and ceilings in good condition?
No loose pieces should be observed during plant inspection near the processing line.
Damaged floor is more difficult to clean.
Check if above the false ceilings are clean and maintained.
Walkways should be designed to protect the product zone.
Check for temporary repairs risks.
If there are any holes or open area which is in direct contact with the processing area, it should be considered as critical.
Are exterior grounds and structure maintained in a condition that protects against contamination of product or facility?
Check for leaking roof/ceiling risks.
Is the condition of cleaning tools also checked ? If yes, how often?
How often are cleaning tools checked
Do you have a Pre-production checklist (including knives, blades,…) on production line, covering foreign body contamination risk?

13. Packaging

Is there a risk with the design of the packaging?
IQF products
- Primary packing MUST BE food-grade 60 microns contrasting color bags (AFS general specs). HIGHLY recommend the use of light blue plastic bags.
- Secondary packing MUST BE resistant carton cases (AFS general specs)
- Tape: HIGHLY recommend the use of light blue plastic
- Cardboard protectors MUST BE placed on bottom and top of pallets (AFS general specs)

Block frozen products
- Primary packing MUST BE food-grade contrasting color pails (AFS general specs).
- All pails and lids must be washed/rinsed in chlorinated water before use.
- Cardboard protectors MUST BE placed on bottom and top of pallets (AFS general specs)

Aseptic products
- Primary packing MUST BE food-grade aseptic bags.
- Secondary packing MUST BE new drums (NOT second-hand nor re-painted).
- Cardboard protectors MUST BE placed on bottom and top of pallets (AFS general specs)
Is the packaging prepared in advance?
Are bag-in-cartons placed mouth-to-mouth (liner to liner)
If YES: bag-in-cartons MUST BE placed mouth-to-mouth
Is there a risk to damaging the empty packaging?
Is there a foreign material risk due to the storage practices of empty boxes/packages before being filled?
Is the packaging used only one time during process (cartons, plastic bags, paper bags)?
If not, how does the supplier clean it?
If NO: Only carton case and pails in good conditions could be re-used. Bags MUST BE discarded
Do the operators damage the carton and/or the bag during temperature control?
Control should be done before metal detection and with an open box.
Is the replacement of damaged packaging during process or storage done under controlled conditions to prevent any contamination?
Is there any risk of foreign material when opening raw material packaging during the process?
Are the technical data sheet for the packaging available?
Is there a compliance certificate for the dedicated application of the primary packaging (including migration data)?
Check & record Date of last certification

14. Process Control

Process Control

Is the current process flow chart documented?
HIGHLY recommend to Include CCPs legend and critical/operational limits
Include rework and outsourced processes.
If the product is made from sort-out or is a sub-product of another process, pay special attention to the risk of concentration of (certain?) defects and other foreign materials.
Do you have a documented employee Good Manufacturing Practices (GMP) policy?
Date of last version. Is it accessible and visible to all employees?
Are documented GMP training programs used along with documentation of successful completion by all employees?
General training
- Frequency? At least one training per year MUST BE performed.
- Date of last training.
- Are assistance lists completed?
- Subjects to be included: GMPs, hygiene, Food Defense, foodborne illnesses, diseases.
- How is personnel evaluated after training? HIGHLY recommend the application of a quick questionnaire where a minimum score must be achieved, if not, then personnel MUST BE re-trained.
- HIGHLY recommend the use of pocket guides to be given to each person.
- Review the new employees and annual refresher training records
Is there a documented, implemented HACCP program? What is the last version date?
If yes, is there an effective verification system to assure that the program is functioning according to plan?
Date of last version

Risks including physical/ Chemicals/ Allergens/ Microbiological)
+ considering chemical compounds that may form during the production process

CCP #
- Process stage (step)
- Monitoring frequency
- Critical limits / Operational limits --> These should be based on a scientific approach with official reference such as international scientific committee or standards.
If YES: Frequency? / Date of last review /
The verification system must be compared and analyzed vs.
- records
- complaints
- audits
- references, guidelines, regulations…

If NO: Why? Implementation should be done
Does a HACCP team exist (with schedule and minutes of the meeting)?
The team must be multidisciplinary.
At least one member of the team must be have a formal external training.
All members of the team must be trained for HACCP, at least internally (annually recommended).
Is the HACCP system regularly reviewed? (at least once per year). Is it documented?
If YES: Frequency? / Date of last review /
Review and analysis of records, complaints, audits, external input, incidences, process changes, staff rotation, etc.. should be included.
For corrective actions, highly recommend the format:
- OBSERVATION DESCRIPTION (with pictures when possible)
- RESPONSIBILITY
- DEADLINE
- CORRECTIVE ACTION DESCRIPTION (with pictures when possible)

If NO: Why? / Highly recommend the format…
- OBSERVATION DESCRIPTION (with pictures when possible)
- RESPONSIBILITY
- DEADLINE
- CORRECTIVE ACTION DESCRIPTION (with pictures when possible)
Are established corrective actions documented when specified tolerances are not met?
Is the production process efficient enough to prevent or remove any risk for the final product?
e.g.; Raw material washing / Stone traps / Ventilator / Brushes / Manual sorting / Electronic sorting...
Are there documented work instructions for all product processes?
Specific tasks should be described (recommendation, include pictures)
Are new employees trained on work instructions prior to performing the task?
'General training
- Frequency? At least one training per year MUST BE performed.
- Date of last training.
- Are assistance lists completed?
- Subjects included?
- How is personnel evaluated after training? HIGHLY recommend the application of a quick questionnaire where a minimum score must be achieved, if not, then personnel MUST BE re-trained.
Are these training records maintained (what is the retention period)?
Is a person with process authority on the line at all times?
Are Pre-Operational checklist in place?
Monitoring foreign material risk, the cleanliness, the good condition of equipment
Is a color code system used in the plant to avoid cross contamination risks (product containers, cleaning devices, utensils and gloves)?
Continuous flow is recommended.
Raw material should be isolated from clean process area: zoning recommended.
Fork lift traffic flow should avoid processing line.
Is there an implemented Change Management Process designed to evaluate and communicate to Agrana Fruit any risk linked to those changes?
Check if gaskets are well maintained.
The filling head should be protected by steam barrier and should not have cracks.

For Aseptic / Canned Products

Is the aseptic / thermo process validated (Temperature/time)?
Do they monitor and record time (flow-rate) and temperature of pasteurization?
Is the pasteurization system equipped with a low temperature safety + restricted access for flow rate setup ? If yes, what happens in the event of low temperature ?
What happens in the event of low temperature?
Is integrity of aseptic packaging checked at any stage during processing? Describe
Describe
Is there any post contamination risk after thermal processing (leakage of the aseptic line, package damage...)?
Check if gaskets are well maintained.
The filling head should be protected by steam barrier and should not have cracks.

15. Control Plan

Are there weight control procedures properly applied?
Calibration
- Kind of scale
- Frequency? MUST BE performed at least once a year
- Date of last calibration
- Calibration Weights size used?

Verification
- Kind of scale
- Frequency?
- Date/time of last verification
- Verification Weights size used? Certified standard weight is recommended
Is equipment used for measurements calibrated, or checked for calibration, on a regular, adequate frequency, and documented in a formal program (meters, scales, thermometers, etc.)?
For measurement of CCPs, higher frequency of calibration is recommended.
Thermometers
- Frequency? MUST BE calibrated at least once a year
- Date of last calibration
- Calibration technique used? Boiling water?

pHmeter
- Frequency? MUST BE calibrated at least once per day
- Date of last calibration
- Calibration technique used? Buffers 4,7?

Refractometer (Brix)
- Frequency? MUST BE calibrated at least once per day
- Date of last calibration
- Calibration technique used? Distilled water?

Others (electronic sorters, colorimeters, etc)
- Frequency? MUST BE calibrated at least once a year
- Date of last calibration
- Calibration technique used?
Are the critical points of the process controlled? (Please detail your CCP's)
Even if not a CCP, the process activities that are key to assure the quality of the product must be controlled. E.g. laser sorter, color sorter, pitters, destemmers, … etc…
CCP #
- Process stage (step)
- Monitoring frequency
- Critical limits / Operational limits --> These should be based on a scientific approach with official reference such as international scientific committee or standards.
Is there a formal quality checking of all the incoming packaging, food additives, processing aids, cleaning / sanitation chemicals? Is it recorded?
Kind of packaging
- Frequency?
- Quantity / Sample size
- Date of last checking
- Describe checking technique
- Acceptance/rejection parameters should be implemented
As a minimum, there must be a visual inspection of the material and a verification of the delivery document statement.
For the liners, control of thickness and of sealing is recommended.
Is there a satisfactory control plan of the finished products with positive release (frequency, parameters, responsibilities)?
FRUITS:
Finished product - Package (case, pail) sample: At least 2 % of sampling should be performed on the finished product (AFS specifications requirement)
- Frequency: recommended continuous with at least 2 samples per pallet
- Sample size: whole package (case, pail)
- Looking for HEM, foreign materials mainly
Are these control results recorded?
Does the control plan include foreign bodies?
FRUITS:
MUST BE included (AFS/SPE/Fruit) --> Zero tolerance for foreign material such as METAL, HARD & SOFT PLASTIC, WOOD.
Does the company have trained people for electronic/sorting equipment and validation by the manufacturer?
Compare the reject stream VS good stream
Do they have a monitoring program for pathogenic bacteria (Listeria, Salmonella,…) in the environment of processing areas (areas not in direct contact with the product like drains, walls, ceiling…) ?
HIGHLY recommend at least 1 analysis per finished product lot #
Is the microbiology analyses plan (number of samples, analytical method, control limits, frequency,…) based on a risk evaluation and enables to guarantee that the level of contamination is within AF specification?
HIGHLY recommend at least 1 analysis per finished product lot #.

For ready-to-eat (RTE) materials each lot must be analyzed.

The results need to be reported on the Certificate of Analysis (CoA) sent with the deliveries
Describe the micro control plan on raw materials and finished products ( When it make sense)
Is Statistical Process Control used? (When make sense)
One retention sample (minimum 1 kg for fruits / for ingredients depends on the ingredient) is taken, at least, for each lot number delivered to Agrana Fruit? Is this sample traceable?
MUST BE taken (GPO general specs)
Describe the sampling procedure (composite sample…)
Are samples properly packaged, sealed? Describe how.
Are the retention samples stored in an assigned location (at the supplier or at an external warehouse?) Describe where and how.
Are retain samples kept according to Agrana requirements (shelf-life + 4 months)?
Storage time MUST BE at least Shelf Life + 4 months (AFS general specs). Ask for retention samples from previous crop.
Does the supplier check if finished product is in compliance with regulatory requirements for country of destination?
Describe how. Ask how do they verify the country of destination (they should see it on AFS contract/PO).
Do they know how to find the regulatory requirements for the country of destination?
Are all contaminants analysis performed in an accredited laboratory (internal and/or external)?
Are the first quality results of final product within the Agrana specifications
Perform finished product samples. If no product has been packed for Agrana, verify their capability to meet AFS specification by looking at their historical data.
If product has been packed for AFS, also check the QC score sheets.

16. Non-Conforming Products Management

Is there a system in place to identify, monitor, control and correct quality deviations during processing?
Describe how: following specs, policies, customers requirements? Is the system effective? Ask for an example and follow the procedure.
(check vs complaints, records, procedures, floor, etc...)
Are corrective actions documented and followed up?
HIGHLY recommend to document these directly on Production and Quality records. A responsible person should be defined to verify if implemented actions are effective.
Are operators aware and trained to handle non-conforming situations? How? Is there an evaluation.
Is non-conforming product physically tagged and effectively prevented from being used?
HIGHLY recommend the use of COLOR CODE tags/placards to identify on-hold or rejected product. If they have a software managing the warehouse/material, make sure there actions taken in the system as well.
Are products, reprocessed (rework) after non-conformity, checked once more according to the tolerances? Verify scoresheets and quantity sampled
Are the corrective actions defined for non-conforming products registered?
Are the non-conforming products isolated from good products?
Are the client complaints investigated and documented?

17. Hygiene Cleaning & Sanitation

Is equipment smooth and non-corrosive where there is direct contact with product?
Recommendation: interlock-type belts are not recommended due to hygiene reasons, easily eroded
Is the plant divided into different hygiene zones?<br>(If yes, please provide details which areas are considered low care / medium care / high care)
Provide details which areas are considered low care / medium care / high care
Is there physical separation between different hygiene zones and have hygiene air lockers been installed when necessary?<br>(If yes, please provide details)
Is there a master sanitation program describing cleaning of equipment (frequencies responsibilities…) and the plant (including lines, walls, floor, drains…)?
Are there documented procedures which include time, temperature, detergent, sanitizer, concentration and rinse times?
Is a documented program used to train all sanitation employees on the correct cleaning procedures and use of cleaning chemicals?
Training
- Frequency? At least one training per year MUST BE performed.
- Date of last training.
- Are assistance lists completed?
- How is personnel evaluated after training? HIGHLY recommend the application of a quick questionnaire where a minimum score must be achieved, if not, then personnel MUST BE re-trained.
Does routine cleaning verification guarantee cleaning effectiveness?
Does routine cleaning verification include microbiological checks of the plant, equipment and product?
Drains + floors + walls
- Frequency / Describe how sample is taken / Date of last analysis
- Following which norm?
- List monitored micros. Are tolerances defined and met?

Food contact surfaces: equipment, pails, production utensils, gloves, IQF Tunnel
- Frequency / Describe how sample is taken / Date of last analysis
- Following which norm?
- List monitored micros. Are tolerances defined and met?

Environment
- Frequency / Describe how sample is taken / Date of last analysis
- Following which norm?
- List monitored micros. Are tolerances defined and met?
Are there current Technical and Security Data Sheet available for all chemicals used?
Check versus storage + procedures. Verify if it is approved for food industries.
What kind of cleaning products are used in your factory: detergent, disinfectant?
Sanitation (equipment, production areas, utensils, gloves, etc)
- Kind of chemical (active ingredient) / Commercial name / Used for? / Approved for Food industries?
Are the cleaning actions recorded?
Are the cleaning tools properly designed/ chosen to avoid foreign matter contamination?
HIGHLY recommend the use of COLOR CODE to identify cleaning utensils. Ease of cleaning of the tools should be taken into account as well as the possibility of microorganism growth on them
Is equipment and production line properly designed to avoid contamination risk (no dead-end in cleaning, no contamination risk from condensation…)?
Sanitary design. Drip pans must be utilized where needed: above product zones to avoid oil or grease contamination and identify leakage. Drip pans must be kept clean
Is the processing line in direct contact with product in clean conditions (including equipment, pipe, container…) ?
Are the containers (crates, trays, bins, tankers,…) used for the harvest and transportation of raw materials cleaned ? How often (does such frequency appear adequate)?
Are containers used inside the factory for product transfer cleaned?
Is the waste removal done regularly (how many times a day)?
Contaminated micro lab wastes to be inactivated (autoclaved or disinfected) prior to disposal; Wastes must be removed in safe way (closed containers or bags) & in timely manner.
Do they have a cleaning and sanitation plan for the toilets and the lockers?
Recommendation: To focus on lockers if lockers are used to store food. Daily revision and cleaning is recommended.
Is the cleaning frequency of the factory clothes for employees defined?
Is the frequency defined adequate? Are there work instructions on the proper cleaning of the clothes?
Are wash-hand stations available for all employees and supplied with warm water, soap, disinfecting solution and towels?
Are clean rest room facilities and toilets available? (including toilet paper)
Are all employees trained to hygienic good practices (How)?
Are hygiene rules acknowledged and accepted by external visitors before entering production?
Are hand washing signs posted in appropriate languages?
Does the supplier perform hygiene control? How and at which frequency?
Are there regular medical assessment of the employees?
Are contamination risk from shoes controlled (e.g. employee properly clean and disinfect shoes or have proper shoes changing before going inside the plant)?
Are contamination risk from forklift controlled (e.g. forklift tires sanitized when entering processing areas with open product/material or dedicated forklift for sensitive area)?
Are the employees and visitors with symptoms of illness or open cuts/lesions excluded from food handling tasks?

18. Maintenance Operation

Is there planning for all preventive maintenance operation?
Are the preventive maintenance operation recorded?
Are the corrective maintenance operations registered?
Do you have documented control measures to manage the risk of contact between utility fluids and raw materials and packaging?
Utility fluids: lubricants, cleaning and sanitation products, printing inks, liquid coolants, cooling heating liquid and any non-food product that is on the production site.
Do the supplier know the exact composition of each of the utility fluids as well as their toxicological properties?
Do they have a specific training for the maintenance people concerning hygiene and foreign bodies risks? How?
Training
- Frequency? At least one training per year MUST BE performed.
- Date of last training.
- Are assistance lists completed?
- How is personnel evaluated after training? HIGHLY recommend the application of a quick questionnaire where a minimum score must be achieved, if not, then personnel MUST BE re-trained.
- Insist on the work importance to preserve the product safety.
Are there any significant defects in workshop/equipment/processing line which could compromise product safety?
Are hygienic practices acceptable in the workshop (temporary maintenance, maintenance on running line, proper isolation area during repairs…)?
Are Post-maintenance sanitation equipment inspections completed and documented?
Is equipment in good, sound & clean condition?

19. Storages

Are there documented procedures for storage, packaging and shipping of finished product?
Are finished products stacked on pallets with slip-sheets?
Slip-sheets MUST BE placed on top and bottom of pallets (GPO general specs). No perforated slip-sheets.
Are temperatures in the storage areas monitored and documented? How?
Are there limits defined for min/max temperature including corrective actions?
Is all stock rotated first-in-first-out (FIFO) and /or first-expired-first-out (FEFO) basis?
Is there any risk of stock mixing during product storage?
Are there delimitation's between different products? Recommendation: define specific areas for certain product
Are storage areas clean and maintained?
Is an adequate distance kept from the material to the wall? Are there any packages exposed/open/damaged?
Are food products stored separately from non-food items?
Does the supplier use external storage (sub-contract)? Is it under control?

20. Transportation

Are all trailers inspected before loading for damage, cleanliness, odor, infestation, foreign material etc?
Are all finished product trailers sealed for tamper evidence?
Describe kind of seal. If going through customs do they give a spare seal, or how is it handled?
Is there a system to monitor and track the shipping process of finished product (GPS, check points, …)?
Are temperatures during shipment documented?

21. Food Defence

Does the Supplier have a documented policy and risk assessment to prevent sabotage and tampering of the products (Raw materials and finished products) and equipment's (example: Food Defence). Record version date.
Do you have a program to communicate and train employees regarding Food Defence?
Training
- Frequency? At least one training per year MUST BE performed.
- Date of last training.
- Are assistance lists completed?
- How is personnel evaluated after training? HIGHLY recommend the application of a quick questionnaire where a minimum score must be achieved, if not, then personnel MUST BE re-trained.
Is all access to the plant secured and under surveillance?
Recommend the use of surveillance cameras and security-tour check-points
Is the production site surrounded by a fence? (Including a gate that is closed limiting access)
Are all access to storage's (included raw material silos, warehouses etc..) secured and under surveillance?
Recommend the use of surveillance cameras and security-tour check-points. Only specific people should have access to the keys to this area
Are their external storage's secured and under surveillance?
Kind of cold storage (for raw material, for finished product, both)
- Audited? Kind of Audit (direct visit or questionnaire sent) / Date of last Audit / score
Are there procedures in place to restrict non-employee access to the facility e.g. visitors, service providers, truck drivers, contractors, etc?
Recommendation: use of color code in visitor's clothing, hairnets, etc...
+ accompany the visitors as long as they are in site.
Are procedures in place to verify the physical integrity of the incoming containers / trailers (including inspection of locking mechanisms of the doors, front wall, left side, right side, floor, ceiling / roof, inside / outside doors, outside /) ?
Are high security seals controlled and affixed to all loaded containers / trailers?
Describe. Inbound and outbound. Customs? Are incoming loads checked vs seal number?

22. Food Fraud

Do you have a documented food fraud policy and vulnerability assessment in place?
Do you perform external laboratory analysis for food fraud on your products? (If yes, please specify parameters and frequency)
Specify parameters and frequency
It always has to be checked (before the audit) in the Agrana handbook for which materials analyses are required. And if there is no analysis required for the material that is audited, it should always be marked as “N/A”.
Can they guarantee that they take all required precautions to minimize the risk of food fraud for every delivery to Agrana Fruit?
Do contractual requirements with your direct suppliers include elements that limit opportunities for fraud?

23. GAP (Good Agricultural Practices)

What is the total harvested area supplying your production?
Harvested area must be known in order to understand the origin of the fruit/vegetable (cooperative, association, own or renting land…). General Yield or separate process and fresh… Does the available quantity match the supplied quantity?
What percentage of harvest is generated from contract growers versus non contract growers?
How far away are the growers from the processing plant in average? What is the maximum distance? What kind of transport is used to move the fruits to the processing plant? Is it covered?
During the transport, fruit/vegetable should be protected against any external contamination risk or degradation (precaution used in order to no damage the fruit such as refrigeration transport or overnight transport to avoid fruit transpiration). The kind of container will be also taken in consideration (bins, crates, contact with the ground…).
The most adequate scenario is that field operations are located close to the facility.
What percentage of the field operations are certified under GAP schemes (GFSI schemes)? Which third party agencies are involved in the certification?
Which ones? GFSI list schemes (GLOBALGAP, PRIMUS GFSI, CANADA GAP…)
Does the certification party have a credible reputation?
Is there a designated person responsible for the food safety management and Good Agricultural Practices program in the field?
There should be an appropriate person, preferably a farm manager (in charge of designing SOP, records, training….), with assigned responsibility for the field's food safety program.
Is the person properly trained?
Does the farm have a fence or some kind of physical isolation (buffer areas, ditches..)?
Animal or potential contaminant movement should be restricted with acceptable buffer zones, proper fencing and/or other physical barriers. For example with a properly designed leach field a buffer zone of approximately 30 ft. (9 m). Very high risk issues should consider approximately 400ft (122 m) or higher buffer zones. Buffer zone distances should be determined by considering the risk variables (e.g. topography, type of crop).
Is the adjacent land to the growing area a possible source of contamination (due to type of culture, livestock, factory, river, etc)? Have appropriate measures been taken to mitigate risks related to nearby operations?
Is there a thorough assessment of the site? Adjacent refers to all parcels of land next to the growing operation and within a distance where the crop in question may be affected. Examples of intensive livestock production are cattle feed lots, dairy operations, poultry houses, etc. Consideration should be made for the topography of the land for runoff, potential flooding issues, and prevailing winds for manure related dust issues.
Does the farm use appropriate fertilizer and manages it in a proper way (esp. manure+compost)? Is it legally authorized?
Examples of manufactured inorganic/synthetic fertilizers include ammonium nitrate, ammonium sulfate, chemically synthesized urea, etc. Records should be legible and at least detail date of application, type of fertilizer, amount, method of application (drip, bulk, etc.), and operator name. There should be sufficient identification information in the records that would make it possible to trace an application back to the site if needed.
COA, letter of guarantee should be available and updated for each fertilizer (statement of any inert or active ingredient, special focus on the heavy metals).
For manure + compost:
If used, the applications should be incorporated into the soil prior to planting (not during harvesting season).
Compost records showing the date of application, the lot code of compost applied and where the compost was applied should be available. Records should show at least 45-60 day interval between compost application and harvesting season (especially for low growing crops). A shorter interval is possible if the compost material has been through a physical/chemical/biological process to inactivate human pathogens and the auditee has validation study documentation that shows that the material is safe and at least meets appropriate microbial parameters. Validation studies must be carried out as applicable to situation at hand and care should be taken not to over extrapolate.
In case of adjacent land to the growing operation or within a distance where the crop in question may be affected by untreated animal manure piles, compost, biosolids, or non-synthetic amendment stored and/or applied on adjacent land, mitigating measures must be implemented: e.g. include a buffer area (recommendation of 400 ft./122 m) from the edge of the crop which may increase or decrease depending on the risk variables e.g. topography (uphill from the crop or downhill from the crop). Other measures may include tarping systems, physical barriers, fences, ditches, etc. Implementing systems to redirect run off that may contain untreated manure, compost, or biosolids, minimize use of shared tools/machinery, etc…
Is there an appropriate pest management system in place?
Is there a risk assessment to determine the frequency of controls/applications?
Does the program include all potential pests (birds, farm animals, pets, etc…)
Is the methodology safe and minimizing potential contamination?
Is there an assessment of the effectiveness of the program/taken measures?
Are agricultural chemical application records available? Are the applications carried out in a proper manner? Are the chemicals legally approved locally and for the destination of use of the final product?
Grower should be aware of the crop protection products registered and/or authorized by a government agency for use in the country of production. A “No” answer is allowed only if there are no crop protection products registered/authorized for the target crops in the country of production, in which case in the situation that the country of production has no or a partial legislative framework covering plant protection products and the use of crop protection products that are registered for the target crop in another country (extrapolation) is not prohibited, the grower must have information for the plant protection products in the country (ies) of destination (that information must be in the form of: registration for the specific crop, product labels Maximum Residue Limit tolerances and could also include , chemical banned lists, an any other relevant guidelines or legislations).
Post-harvest intervals (PHI) MUST be stated on the sprayers application records. PHI specifies the amount of time that must elapse between pesticide application and crop harvest. These intervals are established to allow sufficient time for the crop to metabolize (break down) the pesticide so residue levels do not exceed those originally established when the pesticide received its label.
Aerial applications by plane should be taken in consideration and ensure also that we do not have any cross contamination risk provokes by the adjacent lands aerial applications.
Is there proper storage of the products (in a designated area, locked, with an inventory)? Is there proper disposal of containers (3x rinse with water and then perforation/cut of the container)? Is there a proper calibration of equipment used?
What sort of irrigation system do they have?
Dryland farming (only direct rainfall)
-Micro irrigation or drip system
-Inundation fields
-Boom
-Overhead
- other
What kind of water source is using for the fields operations?
- Water well
- Ponds, reservoir or watershed or other surface water
- Canals, ditches, rivers or other open flowing water system
- Wastewater that has gone through a treatment process
- Municipal or district water pipeline system
WASTEWATER (OR OTHER SOURCES DEEMED AS NOT APPROPRIATE) IS NOT ALLOWED AND LEADS TO AUTOMATIC REJECTION
Is there an assessment of the water source(s)? Are all water sources managed to prevent the risk of any type of contamination?
All these water origins should be controlled on the following points:
- Are microbiological tests including indicators (E.coli…) (in accordance to the country’s legislation) conducted on the water?
- Are the micro tests conducted at the required frequency?
- SOP with detailed sampling protocols
- SOP which explains what kind of corrective actions are taken for unsuitable water testing results. If unsuitable water results detected, are the corrective actions properly implemented and recorded?
Are there microbiological and/or chemical tests done on all water sources for irrigation/treatment/facilities and compared versus an applicable regulation (potability)?
- Is the source at an adequate distance from untreated manure?
- Is the water filtered in order to avoid organic residues contamination?
- Is the source designed to prevent contamination?
- Is it evident that the source is free from contamination issues and are measures taken to minimize/avoid contamination of the source?
Are records kept for periodic inspections and treatments (if needed) available for review?
Does the farm have documented hygiene instructions and controls for all workers?
Documented and implemented policy for dealing with employees who appear to be physically ill or become ill during the work.
-Documented and implemented policy regarding employees with open sores and wounds. Disposition of product that has come in contact with blood or other bodily fluids must be documented and detailed in a procedure.
-Documented and implemented policy prohibiting eating, drinking (no chewing gum) and using tobacco in the growing area.
-GHP (Good Hygiene Practices) policy is documented and implemented.
- Documented and implemented policy for control of foreign matters in the field operations
There should be a formal training program to inform employees of the current policies and procedures and requirements of the company regarding hygiene. Frequency should be at the start of the season and then some topics covered at least quarterly, but ideally monthly.
Training material covering the content of the company policies/procedures (which includes those items asked in this audit) and requirements regarding hygiene should be available. Food safety training should cover at least the basic topics such as toilet use, hand washing, food consumption/taking breaks, clothing requirement, foreign material requirements (including jewelry policy), etc.
Are there proper, operational toilets and hand washing facilities provided for all employees at least within 500m/5 mins walking distance?
Is there any evidence of faecal contamination?
There should be no evidence of human faecal contamination in the growing area, proximity to the growing area (within a distance where the crop in question may be affected), or any of the storage areas. (KO)
Is contact of the fruit with the soil minimized as much as possible? Is there an implemented policy of not placing crates in direct contact with the ground?
There should be a documented policy that crates/containers/bins cannot be placed on ground. If the harvesting containers are placed on ground, they should be discarded. Staff should be trained regarding this policy and records of training maintained. It is highly recommended to place a protection (pallet, plastic/ carton slip-sheets), between the crates/bins and the ground in order to avoid any cross contamination.
The crop should be protected against soil contamination (i.e. strawberry fields with plastic cover used to avoid contact between the fruit and ground).
Not applicable for tubers and root crops.
Is there a designated area for eating minimizing potential contamination?
There should be an eating area assigned with as strict minimum a table and chairs, trash bin and protection against sun. Employees should be trained in order to understand why it is forbidden eating inside the operation fields. Allergens, hand washing trainings should be included for the employees.
If the harvested product is "In-field semi-processed", are there enough measures in place to prevent contamination?
- Example: Decapping center for strawberry or peeling center for mango or leaves center for pineapple.
- All these kinds of operations should have implemented GHP policies and workers must follow working instructions in relation with this topic. (i.e. check the decapping tables conditions- stainless is preferable; check the tools used for peeling and depitting), proper clothing, etc…
Is there a program to decrease the risk of foreign bodies (glass, metal, stones, plastic, etc)?
Is there a program in place for field operations? i.e. Glass located on the harvesting machinery (e.g. lights) that may pose a threat of contamination onto product, packaging, and re-useable containers should be protected. Machinery includes tractors and other equipment that may come into contact with product. There should be no evidence of cracked lenses.
All employees should be trained on the physical contamination risks and how they can avoid these kinds of contaminations. Training records should be available during the audit.
Is there a proper waste disposal management (no discharges on soil)?
All employees should be trained in order to understand why they need to properly dispose of waste/trash.
Is there trash disposals inside the farm? What is the frequency of removal? Who is in charge of this process?
Regarding empty chemicals containers, what kind of handling is performed? Containers should be washed and perforated/destroyed before disposing. Any washing and cleaning empty containers location? Who is in charge of this process? Frequency?
Are the inputs (fertilizers, agro-chemicals, lubricants...) and farm equipment stored in such a way to avoid contamination of food products?
Is there a system in place to track product from the farm?
There should be a tracking system in place to ensure product can be traced back to each exact growing location and harvest date (e.g. grower identification, farm identification, block, harvesting date, etc.).

24. Medical Information

Medical Information

Is there a procedure which covers the return from illness and holidays?
Does this evaluation cover Gastro-intestinal disease?
Are the employees and visitors with symptoms of illness or open cuts/lesions excluded from food handling tasks?

25. Environmental Responsibility

Environmental Responsibilities

Do you comply with all national/regional legislation (e.g. licenses/permits, discharge to environment, waste management, …)? Please specify.
Do you have an Environmental Management System in place?
Are you currently certified for one or several of these standards? (If yes, please specify the certification body and the date of the last audit)
- ISO 14000
- Global GAP
- Rainforest Alliance
- International Sustainability Carbon Certification
- Bonsucro
- Others: Please Specify
Are you working on continuous improvement aspects (example: waste reduction, energy consumption,…)? Please specify.

26. Social Responsibility

Social Respomsibility

Has your facility previously been audited for social compliance? If yes, please specify the certification body and the date of the last audit. (SEDEX, BSCI, Other)
Specify the certification body and the date of the last audit
Does the production site provide dormitory living for employees?
Are there any children working in the factory (the ILO conventions define "child" as any person under the age of 15)?
Does the worker population include members from diverse social/ethnic groups of local population?
Are toilets and locker room private, clean, accessible and separated for men and women?
Does the factory have a room for rest, relaxation and lunch (example: break room)?
Do the factory and dormitories have fire and emergency exits - Escape routes clearly visible - Fire extinguishers - Fire alarm?
Do you provide employees with Personal Protective Equipment (example: eye protection, hearing protection, gloves, safety shoes...)?
Do you provide to employees information and training about health and safety preventive actions?
Do you have documented policies covering the following topics:
- Health & Safety
- Child Labour
- Wages & Working hours, Maximum Overtime
- Freedom of Association
- Forced Labour, Harsh Treatment & Harassment
- Payslip

Audit Closure Sign Off

Name & Signature of Person (1) Completing Audit
Name & Signature of Person (2) Completing Audit
Name & Signature of Auditee (1)
Position
Email
Name & Signature of Auditee (2)
Position
Email
Name & Signature of Auditee (3)
Position
Email

Supplier Food Safety & Quality Survey

Go digital today!

Convert your paper checklists into digital forms

1. General Information

Contact Details

Manufactured Product for Agrana Fruit. Include: Description / Code

Devices

MAGNET

METAL DETECTOR &/or X/RAY

SCREENS / SIEVES

If they use metal detectors and or X-Rays, describe their detection sensitivity based on the calibration standards used:

Metal Detection Follow Up:

Process Control

For Aseptic / Canned Products

Medical Information

Environmental Responsibilities

Social Respomsibility

Related checklists

Supplier Food Safety & Quality Survey

Free Supplier Food Safety & Quality Survey Checklist

Go digital today!

Convert your paper checklists into digital forms

1. General Information

Contact Details

Manufactured Product for Agrana Fruit. Include: Description / Code

Devices

MAGNET

METAL DETECTOR &/or X/RAY

SCREENS / SIEVES

If they use metal detectors and or X-Rays, describe their detection sensitivity based on the calibration standards used:

Metal Detection Follow Up:

Process Control

For Aseptic / Canned Products

Medical Information

Environmental Responsibilities

Social Respomsibility

Related checklists