PrimusLabs Audit (316364) Packaging v14.09

Transcription

1 Facility(s) Customer(s) Audit Type: Foreman or Contact Person (and ): Location/City: State: Country: PrimusLabs Audit (316364) Packaging v14.09 JS Ag Packaging Inc. Shafter Contact:Taylor Smith Address: 6850 New Kapittel Ct Shafter California United States Phone Number: JS Ag Packaging Inc. Contact:Taylor Smith Address: P.O. Box Bakersfield California United States Phone Number: Packaging Kyle Nicely Shafter California United States Date Audit Started: 05/05/ :30 Date Audit Finished: 05/05/ :40 Audit Duration: Audited Commodity(ies): Observed Commodity(ies): Auditor: Audit Percentage Score: 100% Announced Audit? Audit Scope: 5 hours, 10 minutes Bags, Labels, Clamshells Bags, Labels, Clamshells Isaac Santos (Santos, Isaac Sub Contractor) Question Response Summary: # of Not Full Question Applicable Points Responses Yes Minor Deficiency Major Deficiency Ver en Español * Powered By Google Version 1.0 May 16, 2016 Non Review of the implementation of the food safety program at this non refrigerated brand new 70,000 sq. 1

2 Audit Entered By: Other Auditing Personnel And Role: ft., facility with approximately six months operating and a season from May to October, four storage sections to organize the materials stored, seven clamshell lines, storing, labeling and distributing packaging materials mainly for grapes. The auditee verbally informed that during the pick season up to thirty five employees are employed. The day of this audit there were ten employees present, five of them were labeling clamshells. Isaac Santos N/A. GPS Coordinates: Latitude: Length: 35 29' 15" 119 9' 10" Additional Report Links Report and Corrective Action Summary See The Result Comparison See The Audited Entity History Corrective Actions Response Note: This link must be used in order to notify that you are taking action in the corrective measures for questions that were not in full compliance. Sections: Good Manufacturing Practices Food Safety File Requirements Food Defense Additional Questions ( Not part of overall Food Safety percentage) Good Manufacturing Practices Question No. Audit Question There was no significant threat to the safety of the product that may be considered critical and warrants an automatic failure? Explain. ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT. Given Answer Given Score Possible Score Recommendation Auditor Comments Yes, There was not any significant threat to the safety of the product/material that may be considered critical and warrants an automatic failure. This is a brand new facility with five months in operation in this new building, all materials are kept totally enclosed, maintained in a very good condition, very clean, with a pest control in place, all doors to the outside are pest proof, etc. Audio/ Picture 2

3 1.2.1 Are all chemicals (pesticides, sanitizers, detergents, lubricants, etc.) stored securely, safely and are they labeled correctly? Are "food grade" and "non food grade" chemicals used appropriately, according to label and stored in a controlled manner? Is packaging stored to prevent cross contamination? Is the storage area completely enclosed? Is the facility's use restricted to the storage of packaging materials? Are rejected or on hold materials clearly identified and separated from other materials? Is food contact packaging within accepted tolerances and free from adulteration? ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT Are all storage areas clean, especially the racking structures, lights, ceilings, floor areas by the walls and other hard to reach areas? Are packaging materials properly marked with rotation codes (receipt dates, manufacture dates, etc.)? Are packaging materials rotated using FIFO policy? Does the process flow, facility layout, employee control, utensil, internal vehicle use, etc., ensure that packaging material is not contaminated during storage? Are all exposed packaging materials protected from overhead contamination (e.g. ladders, motors, condensation, lubricants, walkways, loose panels, degrading insulation, etc.)? Yes, all chemicals are stored securely, safely and properly labeled Yes Yes, all packaging is stored within a very clean and brand new facility totally enclosed, on pallets, labeled, and shrouded with a plastic cover Yes, the storage area is completely enclosed. 5 5 Yes, only packaging materials were observed stored in the facility the day of this audit. N/A 0 0 N/A, there were not rejected or on hold materials present the day of this inspection Yes, Food contact packaging and food contact surfaces were free from adulteration or contamination, (e.g. physical, chemical or biological contamination, including bodily fluids) Yes, all storage areas were very clean, including the racking structures, lights, ceilings, floors, walls and other hard to reach areas. 5 5 Yes, packaging materials are properly marked with receipt dates and labeling dates. 5 5 Yes Yes Yes, no issues observed, related to the overhead area Is all re work handled correctly? N/A 0 0 N/A, there was no any re work being performed the day of this audit, 3

4 1.3.4 Are packaging materials examined before use? Does product coding clearly link to supplier(s) of incoming materials?(auditor performs a live traceback test to verify documentation reviewed for ) Are hand washing stations adequate in number, appropriate in location, in working order, have warm water, adequately stocked (e.g. disposable towels, soap, etc.) and restricted to hand washing purposes only? Are toilet facilities adequate in number and location and are they adequately stocked (e.g. toilet paper, disposable towels, soap, etc.)? Are secondary hand sanitation stations e.g. touch free dispensers adequate in number and location? Are the stations maintained properly? Are single service containers used for their intended purpose only so that potential cross contamination is prevented? however one of their seven clamshell lines was working, doing the labeling on each clamshell and a visual inspection. 5 5 Yes, packaging materials are examined before distributed and during the labeling as commented in question Yes, a live traceback test was performed the day of this audit, successfully completed in twenty minutes from 12:00 PM to 12:20 PM, involving 14 pallets of 8"x18" slow release cell pads (SO2), product codes #897, 898, 899, 900, 901, 902, 903, 904, 905, 906, 907, 908, 909, and 910, with a total of 50,400 units per pallet, and a grand total of 705,600 units, where (2 pallets or 100,800 units) were shipped, remaining still in inventory 604,800 units Yes, there is a hand washing station in each toilet, in working order, with warm water, adequately stocked with disposable towels, hands free soap and hand sanitizer dispensers, restricted to hand washing purposes only Yes. 5 5 Yes, there are secondary hand sanitation stations (touch free dispensers) in each toilet and on each clamshell line as well, maintained properly. 5 5 Yes, single service containers were not observed for other purposes. 4

5 Are all re usable containers clean and clearly designated for the specific purpose such that cross contamination is prevented? Are employees washing and sanitizing their hands before starting work each day, after using the restroom, after breaks and whenever hands may be contaminated? Are employees? fingernails clean, short and free of nail polish? Is there no sign of any employees with boils, sores, open wounds or exhibiting signs of foodborne illness working in indirect or direct contact with food? Are first aid kits adequately stocked and readily available? Are band aids used? Are employees wearing effective hair restraints? Is jewelry confined to a plain wedding band and watches are not worn? Do employees remove protective outer garments e.g. gloves when on break, before using the toilets and when going home at the end of their shift? Is there a designated area for employees to leave protective outer garments e.g gloves when on break and before using the toilets? Employees personal items are not being stored in the material storage areas? Is smoking, eating, chewing and drinking confined to designated areas; spitting is prohibited in all areas? Are all items removed from garment (shirt, blouse, etc.) top pockets? Are food contact equipment surfaces free of flaking paint, corrosion, rust and other unhygienic materials (e.g. tape, string, cardboard, etc.)? Are non food contact equipment surfaces free of flaking paint, corrosion, rust and other unhygienic materials (e.g. tape, string, cardboard, etc.)? Does equipment design and condition (e.g. smooth surfaces, smooth weld seams, Yes. 5 5 Yes. Yes, all re usable containers were clean and clearly designated for trash and recycle Yes, no employees observed showing such signs. 5 5 Yes, first aid kits adequately stocked, including with blue bandages and readily available Yes, all employees were wearing effective hair restraints (hairnets) and beard nets if necessary. 3 3 Yes. 5 5 Yes. 5 5 Yes, protective outer garments are kept in employees personal lockers within the facility. 5 5 Yes, personal items were not being stored in the material storage areas Yes, there are designated areas for all these purposes. No issues observed. 3 3 Yes, no issues observed Yes, the conveyor belts on the clamshell lines were observed free from such materials Yes Yes, the equipment design and condition facilitate 5

6 non toxic materials, no wood, or other absorbant materials) facilitate effective cleaning and maintenance? Are food contact equipment surfaces clean? Are non food contact equipment surfaces clean? During cleaning, is packaging protected from contamination? Are all fan guards dust free and the ceiling in front of the fans free of excessive black deposits? Is stored equipment that is not used on a daily basis stored in a clean condition with food contact surfaces protected and/or are they retained on cleaning schedules in some manner, even though they are not in use? Are all utensils, hoses, and other items not being used stored clean and in a manner to prevent contamination? Are maintenance tools that are used in the storage areas of the facility clean, sanitary and corrosion free? Are excess lubricants removed from the equipment and are lubricant catch pans fitted where needed? effective cleaning and maintenance Yes, the conveyor belts of clamshell lines were very clean Yes. N/A 0 0 N/A, cleaning was not observed at the time of this inspection. 5 5 Yes, all vents were free of dust, and the ceiling in front of the fans was free of black deposits. N/A 0 0 N/A, there was not any unused stored equipment, the day of this inspection Yes, hoses, and other items not being used were stored clean in a locked cabinet. 3 3 Yes, maintenance tools used in the warehouse were clean, sanitary and free of corrosion. The majority of maintenance is outsourced. 5 5 Yes, no excess lubricants present on the equipment Are spills cleaned up immediately? N/A 0 0 N/A, spills did not occur during the time of this inspection Are waste and garbage frequently removed from storage areas? Do floor drains appear clean, free from odors and well maintained? Do high level areas including overhead pipes, ducts, fans, etc. appear clean? Are plastic strip curtains maintained in a good condition, kept clean and mounted so that the tips are not touching the floor? 5 5 Yes, no waste or garbage present during the time of this inspection, they are removed on a frequent basis from the whole facility. 5 5 Yes, floor drains were clean, free from odors and well maintained at this dry operation Yes, all high level areas including overhead pipes, fans, etc. appear clean. N/A 0 0 N/A, the facility does not have plastic strip curtains Yes. 6

7 Does personal protection equipment (PPE) for the sanitation crew meet label requirements of chemicals used; is it in good condition and stored to prevent cross contamination to packaging? Is cleaning equipment maintained clean and stored properly? Is cleaning equipment identified in order to prevent potential cross contamination issues e.g. handling, maintenance, outside, restroom equipment? Are all items used for sanitation appropriate for their designated purpose? (no steel wool, metal bristles, etc.) Are toilet facilities and hand wash stations clean? Are employee break facilities clean, including microwaves and refrigerators? No rotting or out of date foodstuffs? Is the maintenance shop organized i.e. equipment and spares stored in a neat and tidy fashion? Are internal transport vehicles (e.g. forklifts, bobcats, pallet jacks, trolleys, floor cleaners, etc.), clean, do not emit toxic fumes and being used in a sanitary manner? Are shipping trucks clean and in good condition? Are packaging supplies free of insects/rodents/birds/reptiles/mammals or any evidence of them? ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT Are facility and storage areas free of insects/rodents/birds/reptiles/mammals or any evidence of them? Is the area outside the facility free of evidence of pest activity? Does the operation have a pest control program? ANY DOWN SCORE IN THIS QUESTION RESULTS IN AUTOMATIC FAILURE OF THE AUDIT Yes, cleaning equipment was clean and hanged on walls, not touching the floor nor one to each other Yes, cleaning equipment is identified by a code of two colors. 5 5 Yes, all items used for sanitation are appropriate for their designated purpose (e.g. brooms with synthetic bristles and wood free handles) Yes, toilets and hand wash stations were clean and properly stocked. 5 5 Yes, employee break facilities were clean, including microwaves and the refrigerator. N/A 0 0 N/A, there is not a maintenance shop at this facility. 5 5 Yes, internal transport vehicles were clean, free from toxic fumes and being used in a sanitary manner. N/A 0 0 N/A, there were not shipping trucks present the day of this audit Yes, packaging supplies were observed free of animal activity or any evidence of it Yes Yes, the area outside the facility was free of evidence of pest activity Yes, the operation has a pest control program contracted to Jaime & Sons with current pest control lic. No.: OPR 7

8 1.8.5 Are pest control devices (inc. rodent traps and insect light traps) located away from all packaging? Poisonous rodent bait traps are not used within the facility? Are pest control devices maintained in a clean and intact condition and marked as monitored (or bar code scanned) on a regular basis? Are interior and exterior building perimeter pest control devices adequate in number and location? Are all pest control devices identified by a number or other code (e.g. barcode)? Are all pest control devices properly installed and secured? Are signs supporting GMPs posted appropriately? Are all lights in the facility that could potentially contaminate packaging shielded, coated or otherwise shatter resistant to protect packaging from contamination in the event of breakage? Has the facility eliminated or controlled any potential metal, glass or plastic contamination issues? Has the facility eliminated the use of wooden items or surfaces? Is there adequate lighting in the storage areas? Yes, all pest control devices installed inside the facility storage areas are mechanical, located away from all packaging and monitored on a weekly basis. 5 5 Yes, all pest control devices are clean and intact, marked weekly as monitored. 5 5 Yes, pest control devices installed inside and outside building perimeter are adequate in number and location. 5 5 Yes, all pest control devices are identified by a number, including wall tags with their corresponding numbers. 5 5 Yes, all pest control devices installed outside are secured and properly installed, internal tin cats were situated on its right place, clean and with the openings parallel to the walls Yes, there are signs supporting GMPs posted at the employees entrance door, in the production area, in the toilets, break room, etc., in English and Spanish Yes, all lights in the facility are shielded to protect packaging from contamination in the event of breakage Yes, potential metal, glass or plastic contamination issues are controlled. 5 5 Yes, no wooden items or surfaces present in the facility. 5 5 Yes, the storage areas are well illuminated, fitted with an automatic system with sensors. 8

9 Are ventilation systems properly designed and functioning to prevent packaging from condensation, mold, dust, odors and vapors? Are floor surfaces in good condition, with no standing water, no debris trapping cracks and are they easy to clean? Are the floor drains where they are needed for drainage and cleanup? Are doors to the outside pest proof? Are dock doors fitted with buffers to seal against trucks? Are dock load levelers and shelters maintained in a good condition, pest proof and debris free? Are exterior walls free of holes to exclude pests? Are pipes, vents, air ducts designed and protected in order to prevent pest entry e.g. by using fine mesh? Are interior walls and ceilings free of cracks and crevices to prevent pest harborage and allow proper sanitation? Where used in handling, storage or supporting areas, do false ceiling areas have adequate access to allow for inspection and cleaning? Is an 18" (46 cm) internal wall perimeter being maintained within the facility, with adequate access to these wall perimeters thereby allowing inspection and cleaning? Is the exterior area immediately outside the facility free of litter, weeds and standing water? Are control measures being implemented for the storage of pallets, equipment, tires, etc. (e.g. out of the mud, pipe ends capped, stacked to prevent pest harborage, away from building perimeter)? Are pallets inspected to separate and replace dirty or broken pallets? Is the area around the dumpster/cull truck/trash area clean? Are outside garbage receptacles and dumpsters kept covered or closed? Yes, this non refrigerated facility is well ventilated, the ceiling is high with upper flow ventilation Yes, all floor surfaces at this brand new facility are in good condition, free from standing water, debris, and easy to clean. 5 5 Yes. 5 5 Yes, all doors to the outside are pest proof. 5 5 Yes, all dock doors are fitted with buffers, to seal against trucks. 3 3 Yes, all shelters are brand new, maintained in a good condition, pest proof and free from debris. 5 5 Yes, the exterior walls are smooth, free of holes. 5 5 Yes. N/A 0 0 N/A, no false ceiling areas present in the facility. 5 5 Yes, internal wall perimeter is adequate for inspection and cleaning. 5 5 Yes, no litter, weeds and/or standing water present by the exterior area immediately outside the facility. 5 5 Yes, pallets were kept inside the facility, no other equipment, tires, etc., present. 5 5 Yes, dirty or broken pallets are discarded. 3 3 Yes, the dumpster area located outside the facility was clean. 5 5 Yes, the dumpster area located outside the facility 9

10 Are all water lines protected against back siphonage? 5 5 Yes. was closed. Food Safety File Requirements Question No. Audit Question Is there a documented food safety policy reflecting the organization's ongoing commitment to providing a safe product? Is there an organizational chart showing who has food safety responsibilities and to whom they report? Is there a designated person responsible for the food safety program? Is there a food safety committee and are there logs of food safety meetings with topics covered and attendees? Is there a written document control procedure describing how documents will be maintained, updated and replaced? Are all records stored for a minimum period of 24 months? Are food safety related documents and records stored and handled in a secured manner? Records recorded in permanent ink, not pencil; errors single lined through and initialed? Are there written Standard Operating Procedures (SOPs) that detail work instructions for activities ensuring food safety and Good Manufacturing Practices? Is there a documented glass and brittle plastic management policy and procedure Given Answer Given Score Possible Score Recommendation Auditor Comments Audio/ Picture 5 5 Yes, there is a documented food safety policy Doc. MS#1.6, signed by the Company's President Mr. Jeff Smith on 4/11/16, reflecting the organization's ongoing commitment to food safety. This policy is posted at the lunchroom board. The Food Safety Commitment is outlined on Doc. # Yes, there is a company food safety organizational chart Doc. MS#2.2, signed off/revised by the food safety officer Mr. Taylor Smith on 4/11/ Yes, the person responsible for the food safety program at this operation is Mr. Taylor Smith and Carla Smith alternate. 5 5 Yes, there is a Food Safety/Traceability, Recall/Food Defense, Crisis Management Committee, Doc. MS#2.2 integrated by five members, where Mr. Jeff Smith is the president. 3 3 Yes, there is a Document Control and SOP Development outlined on the SOP#12.1, describing how documents are maintained, updated and replaced, indicating that the food safety officer is the person responsible of them. 5 5 Yes, all records are stored for a minimum period of 24 months Yes, the food safety related documents and records are stored and handled in a secured manner in binders kept in locked cabinets in the main office, recorded in permanent ink, not pencil, errors single lined through and initialed. 5 5 Yes, there are written SOPs detailing work instructions for activities ensuring food safety and GMPs, Personnel Food Safety, Hygiene and Hygiene Training, outlined on SOP# Yes, there is a documented Glass/Brittle Plastic Control and Breakage Glass Register (including company glass and 10

11 (including company glass and brittle plastic policy, glass breakage procedure and where necessary a glass register)? Are the SOPs available to relevant users and is a master copy maintained in a central file (SOP Manual)? Is there a documented account that indicates how the company product tracking system works, thereby enabling trace back and trace forward to occur in the event of a potential recall issue? Does the facility have a documented recall program including: procedures, recall team roles, their contact details, external contact listings and (in the USA) an explanation of different recall classes? Is testing of recall procedures (including trace back) performed and documented at least once every six months? Can the company identify where affected product was sent? Is there a written procedure for handling on hold and rejected materials? Is there a documented system for dealing with food safety complaints/feedback from consumers and buyers along with records and company responses, including corrective actions? Are there written specifications for packaging materials and sanitation chemicals? brittle plastic policy, glass breakage procedure) outlined on the SOP# Yes, all employees are trained and have available all SOPs, at all time, including there is a master copy maintained in the SOP Manual Yes, there is a documented account that indicates how the company product tracking system works, thereby enabling trace back and trace forward to occur in the event of a potential recall issue, outlined on the SOP#9.3 Recall SOP Yes, the Recall Program including procedures, recall team roles, contact details, external contact listings and explanation of different classes of recall is included on the SOP#9.3 Recall SOP, revised on 1/27/ Yes, the most recent mock recall is dated on 3/9/16, involving 115,200, 4 lb. clamshells peninsula, shipping code CL 4 COSTCO PEN 150, class III, totally accounted in eight minutes, from 1:04 PM to 1:12 PM, scenario indicates to a wrong size clam shell shipped. Previous mock recall is dated on 10/7/15, totally accounted in eighteen minutes, from 10:04 AM to 10:22 AM. Documents supporting the exercises, including lessons learned were on file Yes, handling on hold and rejected materials is outlined on the SOP#9.8, using a tagging system, showing date when the items were placed on hold/rejected, the reason for being on hold/rejected, the name of the person who put the product on hold) authorized persons for release any product placed on hold or rejected, etc. 5 5 Yes, Buyers and Consumers Food Safety Complaints and Feedback is outlined on the SOP#9.7, with no incidents recorded. 3 3 Yes, there are written specifications for packaging materials (SPEC#1), and for Sanitation Chemicals (SPEC#5). 11

12 2.5.2 Are there written specifications for finished goods? Is there a list of approved suppliers of packaging materials and sanitation chemicals? Is there a written procedure for approval and continued monitoring of suppliers of packaging materials and sanitation chemicals? Does the facility have relevant third party audit reports, supplier third party audit certifications and/or supplier letters of guarantee for packaging items? Are copies of all Materials Safety Data Sheets (detergents, sanitizers, pesticides, etc.) on file and fully accessible at all times with clear indexes? Are there copies of specimen labels for chemicals used, where the full label is not immediately accessible e.g. rodent chemicals, product sanitizers? Is there a chemical inventory and/or usage log? Is there a documented pest control program, including a copy of the contract with the extermination company (if used), Pest Control Operator license(s) (if baits are used) and insurance documents? Is there a schematic drawing of the facility showing numbered locations of all traps and bait stations, both inside and outside the facility? Are service reports created for pest control checks detailing inspection records, application records, and corrective actions 3 3 Yes, written specifications for finished goods are outlined on Standard for Packaging (SPEC#3). 5 5 Yes, there is a list of approved suppliers outlined on Doc. Vendor Contact List (e.g. Duper, Infruta SA, Paper Pulp and Film, Polimaxx Industries Ltd.). 3 3 Yes, there is a written procedure for approval and continued monitoring of suppliers of packaging materials and sanitation chemicals, outlined on the SOP 14.1 Supplier Approval and Monitoring of Packaging Material and Cleaning Chemicals/Services Yes, the facility has relevant third party audit reports (e.g. Polimaxx Industries, Ltd. BRC Certificate with expiration on 3/12/17, Label Technology AIB Dec. 7/15), and supplier letters of guarantee for packaging items (e.g. AEP Industries, Infruta SA, Paper Pulp and Film). 5 5 Yes, there are copies of MSDS for chemicals used, with clear indexes for simple green, #2 utility grade sweeping compound, etc. 5 5 Yes. 3 3 Yes, there is a chemical inventory and/or usage log outlined on Doc. FSF#10.17 Cleaning/SanitationSupply Inventory/Usage Log, revised monthly, last revision on May Yes, The pest control program is handled by Jaime & Sons, Lic. OPR with expiration on 6/30/17, for Jaime Hernandez Villegas, and insurance documents valid to 6/19/16, including a copy of the contract Yes, there is a schematic drawing of the facility, showing 36 numbered locations of tin cats installed inside, and 29 bait stations outside the facility, revised on 2/16/16 by the contractor Yes, there are service reports created for pest control checks detailing inspection records, application records, and corrective actions of issues noted, 12

13 of issues noted (in house and/or contract)? Are there written procedures for handling regulatory inspections? Are there records of regulatory inspections and/or contracted third party inspections, company responses and corrective actions, if any? Is there a program for periodic facility/gmp internal (self) inspections and are records maintained detailing corrective actions? Is there a program for periodic inspections of food safety system records e.g. pest control records, sanitation records, maintenance records, etc.? Is there a daily pre operation inspection log? Does the facility have incoming packaging material inspection data? Are there inspection logs on incoming trailers for rodents and insects, cleanliness and holes? Is there an incidents report (sometimes called a Notice(s) of Unusual Occurrence and Corrective Actions Log (NUOCA)) used for recording infrequent and/or unusual events? Is there a current certificate of inspection for backflow prevention assemblies on water lines entering the facility? performed by the contractor on a weekly basis, the most recent is dated on 4/29/ Yes, there are written procedures for handling regulatory inspections, outlined on the SOP#6.9 Regulatory Inspections. 5 5 Yes, there is a copy of the contracted third party inspection conducted by PrimusLabs #282494, dated on 5/26/15, showing company responses and corrective actions Yes, there is a program for periodic facility/gmp internal (self) inspections outlined on the SOP#6.3 Internal Audits to be performed on a quarterly basis,the most recent is dated on 4/25/16, the previous one on 3/1/16 conducted by the food safety officer Mr. Taylor Smith and the food safety consultant Mr. Kyle Nicely, detailing corrective actions. 5 5 Yes, the food safety system records are reviewed quarterly when self audits are conducted. 5 5 Yes, there is a daily pre operation inspection log outlined on Doc. FSF#10.1A Daily Pre operational Inspection Checklist for all areas of the facility (e.g. storage area, bathrooms, parking lots & surroundings/garbage disposal area, etc.). 5 5 Yes, the facility has incoming packaging material inspection data, outlined on Incoming Container Detail Sheet, checking free of: degree, physical damage, pest, odor, meet specs, accepted. Yes, or No Yes, there are inspection logs on incoming trailers outlined on Doc. Incoming Container Detail Sheet for Containers Overseas, for rodents and insects, cleanliness and holes. 5 5 Yes. Unusual Occurrence and Corrective Actions Log is outlined on Doc. FSF#10.6, NUOCA Log. 3 3 Yes, certificate of inspection for backflow prevention assemblies on water lines entering the facility is dated on 10/27/15 conducted by Cande Man Plumbing, Cert. #

14 2.9.1 Are there stock check and replenishment records for gel and spray stations? Does the facility have a preventative maintenance program and with a documented schedule? Is there a log of maintenance work or repairs ordered and is it signed off on work completed? Are there logs showing that equipment is cleaned and sanitized after maintenance work has been completed? Is there a written cleaning schedule (Master Sanitation Schedule) that shows what and where is to be cleaned and how often? Are there written cleaning and sanitation procedures (Sanitation Standard Operating Procedures) for the facility and all equipment? Are sanitation logs on file that show what cleaning was done, when and who carried out the cleaning? Are there records showing verification of cleaning chemical concentrations? Is there a log indicating that floor drains are cleaned on a regular basis? Are there records of new employee food safety (GMP) orientation training (with topics covered and attendees) and are new employees required to sign the company?s food safety hygiene and health policy? 3 3 Yes, stock check and replenishment records for gel and spray stations is monitored daily, recorded on the Daily Pre operation Inspection Log., including there are replenishment records Yes, there is a Preventative Maintenance Schedule outlined on the SOP#4.3 for Daily Weekly Monthly Quarterly Semi Annual and Annual frequency Yes, a maintenance log is available Doc. Pre use according with schedule, signed off by the food safety officer Mr. Taylor Smith on work completed. 5 5 Yes, post maintenance sanitation is recorded on Doc. FSF#14.2 work order/maintenance repair Yes, there is a written cleaning schedule (Master Sanitation Schedule) showing what and where is to be cleaned and how often, outlined on the SSOP#7.2 Master Cleaning Schedule Yes, cleaning and sanitation procedures (Sanitation Standard Operating Procedures) for the facility and all equipment, are outlined on the SSOPs #1 to SSOP # Yes, sanitation logs showing what cleaning was done, when and who carried out the cleaning are recorded (e.g. FSF#7.1 pertains to restroom service log and invoices for the contractor RM Industries (restroom cleaning). 5 5 Yes, concentrations of cleaning chemicals are according label instructions, products used do not require verification (e.g. simple green cleaner and degreaser), used on conveyors of the clamshell lines). 5 5 Yes, this is a dry facility with only one floor drain in the men restroom and one more in the women's restroom, cleaned twice per week as per now, but in the pick season is cleaned daily Yes, new employee food safety (GMP) orientation training is conducted when hiring and staff is trained on a quarterly basis. Topics were SOP#5.2 Food Safety Hygiene Training, SOP#5.3 Illness & Injury, SOP#5.5 Communicable Illness, SOP#5.6 Cleaning & Sanitation, SOP#5.8 Hand Washing, SOP#13.1 Food Defense, etc., recorded on Doc. FSF#10.18 Safety/Food Safety/Security Training 14

15 Are there logs of ongoing employee food safety education training with topics covered and attendees? Are there written procedures in place that require packaging handlers to report any cuts or grazes and/or if they are suffering any illnesses that might be a contamination risk to the products being produced? (Verbal confirmation accepted.) Is there a documented training program with training logs for the sanitation employees including best practices and chemical use details? Are visitors and contractors required to sign a log stating that they will comply with the operations? personal hygiene and health policies? Is there an employee non conformance/disciplinary action procedure? (Verbal confirmation accepted.) Are there routine microbiological tests on water used in the facility (sampled from within the facility)? Are there sanitary condition logs for shipping trucks (cleanliness, trailer condition, odor, etc.)? Documentation Yes, ongoing employee food safety education training was conducted/dated on 3/10/16, 4/4/16 and 4/28/16, showing topics covered and signed off by attendees. 3 3 Yes, procedures requiring packaging handlers to report any cuts or grazes and/or if they are suffering any illnesses that might be a contamination risk to the products being produced are outlined on the SOP#5.3 Illness and Injury. 5 5 Yes, training logs for the sanitation employees including best practices and chemical use details outlined on the SOP#5.6, is performed quarterly, the most recent is dated on 3/10/ Yes, visitors and contractors are required to sign a log stating that they will comply with the operations' personal hygiene and health policies. 3 3 Yes, there is an employee non conformance/disciplinary action procedure outlined on Doc. FSF#10.7 Worker Non Compliance Form Yes, microbiological tests on water used in the facility (sampled from within the facility) are conducted every six months, the most recent is dated on 2/26/16, by BSK for TC and EC, reporting < 1.1 MPN/100 ml. (SM9221 B/F) on both determinations. N/A 0 0 N/A, the day of this audit there were no any trucks loading packaging for shipping. Food Defense Question No. Audit Question Are the facility external areas and vulnerable entry points (i.e. those that are not permanently locked) surrounded by security fencing? Is access to the facility controlled by locks, swipe cards, alarms or other devices? Are chemicals such as chlorine, citric acid, fungicides and Given Answer Given Score Possible Score Recommendation Auditor Comments 5 5 Yes, the facility is all fenced, with all outside doors locked from the outside, including alarms are installed Yes, the access to the facility is controlled by locks, alarms and a face recognition system. 5 5 Yes, chemicals used for sanitation are stored in a locked cabinet Audio/ Picture 15

16 sanitation chemicals stored within secured areas with controlled access? Are packaging material (cartons, wrap film, fruit cups, etc.) storage areas secure, i.e. within the secure compound? Are background checks conducted on all personnel with special attention to employees who have access to sensitive areas and/or control of sensitive processes (verbal confirmation accepted)? Employee personal items are not being stored in the material storage areas? Are employees issued non reproducible identification e.g. badges, company ID cards, etc.? Are visitors (including contractors) also required to be issued with identification e.g. badges, high visibility visitor apparel, etc? Are visitors (including contractors) required to "sign in" and "sign out" in a visitors logbook? Does the company make use of sealed and/or locked trailers on inbound loads (excluding open flatbed trucks)? Does the company make use of sealed and/or locked trailers on outbound loads? Are potable and non potable water supplies clearly identified? Are tamper evident/tamper resistant systems (e.g. tamper tags) in place where appropriate? Does the company have a documented food defense policy based on the risks associated with the operation? Is there a current list of emergency contact phone numbers for management, law enforcement and appropriate regulatory agencies? Are all personnel required to undergo training on food defense within the secured facility with controlled access. 5 5 Yes, packaging material is stored within the secure building. 5 5 Yes, the labor contractor agency Esparza Enterprises is used for temporary employees, the auditee verbally explained that they do that. 5 5 Yes, employee personal items are kept in individual lockers, not in the material storage areas. 5 5 Yes, employees permanent and temporary are included in the face recognition program/system. 5 5 Yes, visitors (including contractors) are required to be issued with numbered badges. 5 5 Yes, visitors (including contractors) are required to sign in and sign out in a visitors logbook. 3 3 Yes, all inbound containers arrive sealed, trucks are also fitted with numbered seals. N/A 0 0 N/A, own trucks with in house drivers are used on outbound loads. N/A 0 0 N/A, only potable water is used. N/A 0 0 N/A, this is a dry operation Yes, the food defense program based on the risks associated with the operation is outlined on the SOP# Yes, the list of emergency contact phone numbers for management, law enforcement and appropriate regulatory agencies is included on the SOP#13.1, item #6.0 Emergency Contacts. 5 5 Yes, training on food defense was included on the ongoing training 16

17 issues and are training records kept? Is there is a log of who has access to sensitive areas e.g. a listing of key holders for access to areas like chemical storage? dated on 3/10/16, 4/4/16 and 4/28/ Yes, there is a log of who has access to sensitive areas, outlined on Doc. FSF#10.12 Access Key Log, where nine persons are listed. Additional Questions ( Not part of overall Food Safety percentage) Question No. Audit Question Is there a written procedure requiring transportation vehicles be dedicated to produce and related packaging material, and that animals, animal products or other materials that may be a source of contamination are not allowed to be transported? Is there a documented food safety plan covering site and facility? Is there a documented business continuity and disaster recovery plan? Does the facility have documented evidence to ensure that any food safety hazards relevant to waste water treatments (e.g. settling ponds, land applications, etc.) are controlled? Given Answer Given Score Possible Score Recommendation Auditor Comments 5 5 Yes, there is a written procedure requiring transportation vehicles to be dedicated to packaging material, and that animals, animal products or other materials that may be a source of contamination are not allowed to be transported, outlined on SOP#11.2 Incoming trailer inspection; SOP#11.3 Shipping trailer inspection, indicating that only packaging materials are to be transported Yes, the documented food safety plan covering site and facility is outlined on the SOP#13.3 Risk Assessment Site. 5 5 Yes, there is a documented business continuity and disaster recovery plan outlined on the SOP#13.15 Crisis Management Plan. N/A 0 0 N/A, no waste water treatments performed at this dry facility. Audio/ Picture Audit Scoring Summary Good Manufacturing Practices Score 653 Possible Points 653 Percent Score 100% Food Safety File Requirements Score 336 Possible Points 336 Percent Score 100% Score 989 Possible Points 989 Percent Score 100% 17

18 Food Security Scoring Summary Food Defense Score 74 Possible Points 74 Percent Score 100% Score 74 Possible Points 74 Percent Score 100% Additional Questions Scoring Summary (Not Part Of Overall Food Safety Percentage) Additional Questions ( Not part of overall Food Safety percentage) Score 20 Possible Points 20 Percent Score 100% Score 20 Possible Points 20 Percent Score 100% Question Points 15 Point Question 10 Point Question Point System For Individual Questions Minor Deficiency Major Deficiency Non 15 points 10 points 5 points 0 points 10 points 7 points 3 points 0 points 5 Point Question 5 points 3 points 1 point 0 points 3 Point Question 3 points 2 points 1 point 0 points Categories Full : To meet the question and/or conformance criteria in full. Minor Deficiency: To have minor deficiencies against the question and/or conformance criteria. To have single or isolated non severe deficiencies (usually up to three) against the question and/or conformance criteria. To have covered most of the question conformance criteria, but not all. Major Deficiency: To have major deficiencies against the question and/or conformance criteria. To have numerous non severe deficiencies (usually more than three) against the question and/or conformance criteria. To have single or isolated severe deficiencies against the question and/or conformance criteria. To have covered some of the question conformance criteria, but not most of it. 18

19 Non : To have not met the question and/or compliance conformance requirements at all. Having systematic deficiencies against the question and/or conformance criteria (severe or non severe issues). 19