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GrainHandling

The AIB International

Consolidated

Standardsfor

Inspection


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The AIB International

ConsolidatedStandards

forInspection

GrainHandlingFacilities

North AmericaLatin America

Europe/Middle East/AfricaAsia/Pacific

www.aibonline.org

Call AIB International World Headquarters1-785-537-4750 (1-800-633-5137)for international contact information


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Disclaimer AIB International 2011

The information provided in this or any other version of the AIB InternationalConsolidated Standards is not legal advice, but general information based on good

manufacturing practices, common regulatory requirements, and food safety practicestypically encountered in a food manufacturing facility. These Standards have beendeveloped as a guide to best practices and are not intended, under any circumstances, toreplace or modify the requirement for compliance with applicable laws and regulations.These Standards are not intended to meet all existing laws and regulations, nor thoselaws or regulations that may be added or modified subsequent to the publication of theseStandards. AIB International shall not be liable for any damages of any kind, arising incontract, tort, or otherwise, in connection with the information contained in theseStandards, or from any action or omission or decision taken as a result of these

Standards or related information. Further, AIB International expressly disclaims any andall representations or warranties of any kind regarding these Standards.

Copyright AIB International 2011. All rights reserved.

Users of these Standards and associated documents are reminded that copyright subsistsin all AIB International publications and software. Except where the Copyright Act allowsand except where provided for below no part of this publication may be transmitted orreproduced, stored in a retrieval system in any form, or transmitted by any means withoutprior permission in writing from AIB International. All requests for permission should be

addressed to the Vice President of Administration at the address below.No part of this publication may be translated without the written permission of thecopyright owner.

The use of this material in print form or in computer software programs to be usedcommercially, with or without payment, or in commercial contracts is subject to thepayment of a royalty. AIB International may vary this policy at any time.

AIB International 1213 Bakers Way

PO Box 3999 Manhattan, KS 66505-3999The AIB International Consolidated Standards for Inspection. Issued January 2011

ISBN 1-880877-93-7

11.2.A


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TABLE OF CONTENTS Introduction to the Standards ................................................... v The Categories ........................................................................ v

How to Read the Standards ....................................................viii Scoring ...................................................................................ix Consolidated Standards for Inspection ......................................1 Appendix BDocuments to Have Ready for an Inspection .......55 Appendix IGlossary ............................................................61 Standards Index ....................................................................69

iii

This publication is the Handbook version of the AIB InternationalConsolidated Standards for Inspection for Grain Handling Facilities.It is intended for use, while on-the-job, by food safety and qualitypractitioners.


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Introduction to the StandardsThe AIB International Consolidated Standards for Inspection of Grain

Handling Facilities are statements that represent key requirements that a

facility must meet in order to keep the food products in a facility wholesomeand safe. The Standards also reect what an inspector would expect to see in

a facility that maintains a food-safe processing environment.

The CategoriesThe Standards include ve Categories:

1. Operational Methods and PersonnelPractices

The receipt, storage, monitoring, handling, and processing of raw

materials to manufacture and distribute safe nal product.

Standards in this category are related to grain handling and

processing.Facilities need to be condent that personnel, processes

and conditions do not introduce a food safety concern as rawmaterials are received, transferred, stored, transported, manipulated,

or processed to deliver a nal product. The Operational Methods

and Personnel Practices Standards show how a facility can prevent

people and processes from contaminating a product.

2. Maintenance for Food Safety

The design, upkeep and management of equipment, buildings and

grounds to provide a sanitary, efcient, and reliablemanufacturing environment.

Standards in this category are related to equipment, grounds

and structures. The design, construction, and maintenance of

equipment and buildings are critical to providing and maintaining a

food-safe environment. The Maintenance for Food Safety Standards

provide best practices for optimizing the design and care of the

facility and equipment so that they are easy to manage and do notcreate sanitation or food safety issues.

v


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3. Cleaning Practices

The cleaning and sanitizing of equipment, utensils and buildings

to provide a wholesome and safe processing environment.

Standards in this category are related tocleaning and sanitizing.The methods of cleaning and sanitizing, the types of chemicalsused, the frequency of cleaning activities, and the control ofmicrobes must all be done expertly to protect products from foodsafety issues. The Cleaning Practices Standards give cleaningguidelines to prevent contamination.

4. Integrated Pest ManagementThe assessment, monitoring, and management of pest activity to

identify, prevent and eliminate conditions that could promote or

sustain a pest population.

Standards in this category are related to pest management. While

it is important to remove pests from a facility, it is more important

to prevent pests from ever having the opportunity to thrive in a

food environment. The Integrated Pest Management Standards givestrategies for managing multiple approaches to ensure that pests do

not adulterate food products.

5. Adequacy of Prerequisite and

Food Safety Programs

The coordination of management support, cross-functional teams,

documentation, education, training and monitoring systems to

ensure all departments of the facility work together effectively to

deliver a wholesome and safe nal product.

Standards in this category are related to management and

teamwork. It is important to have Programs in place, but if

a Program is not formalized through designing, planning,

management, documentation and review, then Prerequisite

Programs will depend on who is undertaking a given activity ortask that day. The Adequacy Standards make sure that Prerequisite

Programs are carefully designed and implemented to ensure

consistency across the entire facility.

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Note: While other categories focus mainly on inspection, this

category largely involves evaluation of Program documentation.

However, the observations made and documents reviewed in the

rst four categories will directly affect how the inspector will assessthe facility in the Adequacy category. Findings on the oor are a

direct reection of how well Programs have been implemented.

vii


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viii

Category NameCategory DescriptionA full sentence describing how the Standards in the

Category are related

How to Read the Standards

StandardA short phrase

dening the key

point of the Standard

Key PointsBold type highlights key points

to simplify scanning of Critical

and Minor Requirements

CriticalRequirementsThe critical

requirements

against which a

facility is rated. Inmany regulations,

critical requirements

are described

as SHALLS.

Critical requirement

observations are rated

as Improvement Needed,

Serious or Unsatisfactory

unless there is an alternate

program in place that

meets the intent of the

requirements. A 4-place

number with a 3rd place

value of 1 identies Critical

Requirements.

StandardDescriptionA full sentence

that describes why a facilitywould want to implement the

Standard

Minor RequirementsThese are the minor requirements against

which a facility is rated. In manyregulations, the minor requirements are

described as SHOULDS. Minor requirement

observations are rated as Minor Issues

Noted. A 4-place number with a 3rd place

value of 2 identies Minor Requirements.


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The Inspection

Like a chain, the strength of a Food Safety Program depends on

its weakest link.

To assess the food safety risks in a facility, an AIB Inspector conducts

a thorough and fair physical inspection and concludes with a review

of written programs. The Inspector notes observations based on the

ve Categories of The AIB International Consolidated Standards for

Inspection:

1. Operational Methods and Personnel Practices



4. Integrated Pest Management

5. Adequacy of Prerequisite and Food Safety Programs

ScoringThe scoring of the facility occurs in ve steps:

1. The Inspection

2. Determining Risk and Assigning Category Scores

3. Evaluating the Adequacy of the Food Safety Program

4. Total Score

5. Recognition and Laudatory Terms

A high-level overview of these steps is presented in the Scoring At-A-

Glance section. More detailed descriptions follow.

1

ix


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21The Inspectorobserves opera-tions on the facilityfloor to determinethe effectivenessof programs, andreviews writtenprograms to deter-mine if there are

A risk assessment ofobservations is madefor each Category:

Operational Meth-ods and PersonnelPractices

Maintenance forFood Safety

Cleaning Practices Integrated Pest

Management Adequacy of Pre-

requisite and FoodSafety Programs

Risk Assessment

No Issues Noted

Minor Issues Noted

Improvement Needed

Serious

Unsatisfactory

The Inspector deter-

mines the most sig-nificant food safetyobservation(s) in eachof the first 4 Categories.

The Inspector

then decides theseverity of themost significantobservation ineach Category.

The Inspection

2(Continued)Determining Risk and Assigning Catego

Scoring At-A-Glance

If the most significan

servation in the Cateis severe, the categobe assigned a scorebottom of the rangethe most significant vation is not as sevewill be assigned a scat the top of the ran

Scores are based on th


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3Before theInspector can

assign theTotal Score, the

Adequacy ofthe Food SafetyPrograms mustbe assessed.

Assigning Adequacy scoresinvolves comparing writtenfood safety programs to the

results they produce in thefacility. It is impossible toreceive a perfect Adequacyscore unless the written pro-grams result in perfect scoresfor each Category evaluated

5Data from facilities thatreceive AIB inspections willbe collected from October 1through September 30 eachyear and a statistical analysisof the data will determine thetotal score range for the top25 percent of scores.

This range will be the criteriafor Recognition of High

Achievement-Superior for thefollowing calendar year.

Recognition of High Achito facilities scoring within therange. A facility cannot recementSuperior if there is a of the total score.Recognition of Accomplisscoring between 700 and tha Recognition of High Achiev

receive a Recognition of Accbelow 140, irrespective of th

Evaluating Adequacy

Recognition and Laudatory Terms

4

Total Sc


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2Risk Assessment Description Category Score

Range

No Issues Observed No identified risk. 200

Minor Issues Noted No potential forcontamination.

180-195

Improvement Needed A potential hazard, partialprogram omission, orfood safety finding that isinconsistent with the standards.If this hazard, omission, orfinding is not corrected, itcould lead to a programfailure.

160-175

Serious A significant food safety risk orrisk of program failure.

140-155

Unsatisfactory An imminent food safetyhazard, program failure, ordeparture from the GoodManufacturing Practices.

135

Determining Risk andAssigning Category Scores

The AIB Inspector will then assign a level of risk and a Category Score

to the ve Categories shown above. Use Table 1 as a guide.

Table 1Risk Assessment


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xiii

The Inspector uses a three-step process to assess risk. The inspector:

1. Determines the most signicant observation(s) in a Category and

assigns a score range.

2. Determines the severity of the most signicant observation(s) and

decides whether the initial score should be at the top or bottom of

the score range assigned.

3. Lowers the initial score in 5 point increments for each additional

observation if the assigned score is at the top of the score range.

The Inspectordetermines themost significant

risk in a categoryand assigns it tothe Minor IssuesNoted scorerange.

The most significantobservation is not assevere, and so wouldbe scored at thetop of the CategoryScore range.

The most significantobservation issevere, and sowould be scored

at the bottom ofthe Category ScoreRange and cannotbe further reduced.

Multipleoccurrencesof separateobservationslower the scorein incrementsof 5 until

the lowestCategory Scoreis reached.

195

-5

190

-5

185

-5

180

Highest Category Score

Lowest Category Score

Figure 1Example of Risk and Category Score Determination in theMinor Issues Noted Range.


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xiv

Here are some guidelines:

The initial score for a Category is always either at the top or the

bottom of the range.

A Category score can be adjusted from the top of the range, but willnever go below the bottom of the range.

All critical or minor ndings associated with a single Standard of

a Category would be grouped together as a single observation. For

example, any ndings (single or multiple) noted under the following

Standard and related requirements would only be counted as one

observation:

1.5 Pallets

1.5.1.11.5.2.1

1.5.2.2

Findings assigned to several Standards within a Category would

be considered distinct and separate observations. For example,

any ndings (single or multiple) noted for each of the following

Standards would be counted as 2 observations:

1.1 Rejection of Shipments

1.3 Storage Conditions

A single observation in a Category may be severe enough to require

the category to be scored at the bottom of the score range. Severity

can be due to a single signicant observation, or it can be due to

multiple ndings establishing a pattern within a single observation.

Observations of Minor Requirements are always assessed in the

Minor Issues Noted score range.

If the initial score is at the top of the assigned score range, each

additional observation lowers the scores in 5 point increments.

Possible scores are listed in Table 2.


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# of

Observations Category Scores for All Risk Assessments Minor Issues Improvement

Noted Needed Serious Unsatisfactory

1 195 175 155 135

2 190 170 150 130

3 185 165 145 125

4 180 160 140 120

5+ 180 160 140 115*

* Will be lowered an additional 5 points for additional observations.

Table 2Lowering an Initial Category Score for Multiple Observations


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xvi

3Evaluating the Adequacy of theFood Safety Program

Evaluation of the written programs is not limited to determining if awritten program and its records are in place and current. What the AIB

Inspector sees in the facility determines whether or not the written Food

Safety Programs actually work. A facility cannot have perfect programs

if food safety observations are noted during the inspection.

The Inspector reviews the observations in the facility against the written

programs to determine where the gaps in the program exist and what

should be done to alleviate these conditions.

The score for the Adequacy Category is determined using the same

method that is used for calculating the other four Category Scores. The

Adequacy score, however, is also guided by four additional rules.

Rules to Determine the Adequacy Score

Rule 1The Adequacy Score cannot be the highest score. How can theprograms that manage outcomes in the other categories be scored higher

than the categories themselves?

Rule 2The Adequacy score can be no more than one Risk Assessment

Category higher than the Category with the worst nding. In other

words, if the worst Risk Assessment is Serious, how could the Adequacy

section be said to have only minor issues with its operation? Again, this

relates to how well the program functions in a facility. See Table 3.

Worst RiskAssessment

Score Range forWorst RiskAssessment

MaximumAdequacy Score

Range

Minor Issues Noted 180-195 195

Improvement Needed 160-175 180-195

Serious 140-155 160-175

Unsatisfactory 135 140-155

Table 3Maximum Adequacy Score Based on Rule 2


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4

Rule 3If the worst score is at the bottom of the score range, the

Adequacy score can be no higher than the bottom category score, one

level above. If observations require the score to be at the bottom of

the category score range, this indicates that the related program is noteffective.

Rule 4A 200 may only be assigned for Adequacy if the other four

category scores are all assigned a 200; i.e., the only way it can be said

that the programs are working perfectly is if there are no observations to

indicate otherwise.

Total ScoreThe total score is the sum of the points assigned to each Category:

Operational Methods and Personnel Practices, Maintenance for Food

Safety, Cleaning Practices, and Integrated Pest Management, but is not

complete until aligned with the Adequacy of Prerequisite and Food

Safety Programs because written programs drive the results from the

other four categories.

Table 4Maximum Adequacy Score Based on Rule 3

Worst RiskAssessment

Score of Worst RiskAssessment at

Lowest Number inthe Score Range

MaximumAdequacy

Score

Minor Issues Noted 180 180

Improvement Needed 160 180

Serious 140 160

Unsatisfactory 135 140


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xviii

5Recognition and Laudatory Terms

Recognition is based on the total score assigned to the facility.

Total scores will be collected from all facilities evaluated against

the AIB Consolidated Standards for Inspection. Facilities will be

separated into general groups according to the specic standards.

Data will be collected from October 1 through September 30 of each

year.

A statistical analysis of the data will determine the total score range

for the top 25 percent of scores for each group.

These ranges will be the criteria for Recognition of High

AchievementSuperior for the following calendar year. The awarded score range for each group will change every year

depending on the past years performance of AIB Internationals

varied client base.

Recognition of High AchievementSuperiorwill be awarded to

facilities scoring within a statistically calculated total score range. A

facility cannot receive a Recognition of High AchievementSuperior

if there is a category score below 160, irrespective of total score. If afacility scores within the Recognition of High AchievementSuperior

range, but also has a category score below 160, the facility will receive a

Recognition of Accomplishment.

Recognition of Accomplishment will be awarded to all facilities

scoring between 700 and the required number of points to achieve a

Recognition of High AchievementSuperior. A facility cannot receive

a Recognition of Accomplishment if there is a category score below 140,irrespective of the total score.

The AIB International Recognition Document:

Recognizes that on the day of the inspection, the facility achieved

a certain score according to the AIB International Consolidated

Standards for Inspection.

Is not a certicate of compliance (such as an ISO certicate). Does not have a specic expiration date.

Is labeled as announced or unannounced.

Denes which areas of the facility were included in the inspection.


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Sample Scoring with Explana

Category ScoreRange

180-195 160-175 140-155 135

Category

#Minor Issues

Noted

Observations

#Improvement

Needed

Observations

#Serious

Observations

#UnsatisfactoryObservations

Category Score

OperationalMethods andPersonnel

Practices

6 0 0 0 180

Maintenance

for Food Safety8 3 0 0 165

Cleaning

Practices8 1 0 0 160

Integrated Pest

Management2 4 3 0 145

Adequacy of

Prerequisiteand FoodSafetyPrograms

0 3 0 0 165

Total Score 815

RecognitionRecognition ofAccomplish-

ment

The InspectCategory SMinor Issue

The severitysingle obsewas significscore at thethe score rais assigned

The Adequacy score is determined using the most c

The observation with the most significant risk isfall in the 160-175 range.

The most significant observation is not severe,

There are three separate observations, so 5 pothe first (175 to 170 to 165). Rule 1: The highest score in the other 4 catego

does not apply. Rule 2: The lowest score in the other 4 catego

160-175 range. Rule 3: The lowest category score (145) is not Rule 4: The other 4 categories are not assigne

The Serious observations that posed the mostpotential for contamination were at the lowest se-verity of risk, so the Category score begins with thefirst observation at 155. There were 2 additionalobservations, so the score was lowered by 5 pointsfor each to 145.


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1. Operational Methods

a. Open sores or boils on personnel who have direct contact

with product, packaging materials, or product zones

b. FSUs or other toilet facilities not readily available for

employees

c. Grain shipped in outbound transport vehicles with conditions that pose a risk of product contamination

d. Product contamination from poor grain/commodity handling

practices


a. Maintenance activity or equipment condition resulting in

foreign material contamination of grain commodities

b. Roof leaks resulting in contamination of grain commodities

3. Cleaning Practicesa. The presence of extensive amounts of mold growth on or in a

product zone

b. Widespread infestation resulting from poor grain commodity

cleaning practices that could result in product contamination

c. The use of FSU cleaning utensils or restrooms on

crop/product contact surfaces


a. Insectsi. Excessive insect activity in equipment or storage areas

indicative of ineffective control

ii. Any cockroach activity on or in a main product zone

b. Rodents

i. Visual presence of live rodent(s) in grain handling or

storage areas

ii. Decomposed rodent in a trap indicating program failure

iii. Rodent bait stations containing rodenticides used for

routine monitoring inside grain handling or storage

facilities

Automatic Assessment of UnsatisfactoryThe following list includes examples of a few commonly found conditions

that require an assessment of unsatisfactory. This list only represents

examplesof unsatisfactory conditions, and is not complete. Similarconditions not specically stated will be assessed by the inspector.

xx


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xxi

c. Birds

i. Birds residing in elevator storage facilitiesii. Evidence of bird droppings or contamination of grain

commodityd. Pesticides used inconsistently with label directions

5. Adequacy of Food Safety Programs

a. Non-compliance with written programs

i. Failure to comply with HACCP Critical Limits or monitoring requirement

b. Poorly-dened or written Prerequisite Programsi. Inadequate or ineffective implementation of a

Prerequisite Program resulting in actual or likely

product contamination


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Indicates standards not applicable to Grain Handling FacilitiesNote: The Consolidated Standards for Inspection of Grain Handling Facili-

ties is a targeted version of the more general AIB International Consolidated

Standards for Inspection of Prerequisite and Food Safety Programs. Thenumbering convention from the Prerequisite and Food Safety Programs

Standard is preserved in the Grain Handling Facility Standard in order to

keep numbering consistent. However, any Standards or requirements from

the Prerequisite and Food Safety Programs Standard that are not applicable

to grain handling facilities are not included in this document. A symbol, ,

signies that missing numbers in series of Standards or requirements are

intentional.


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1. Operational Methods and Personnel Practices

Consolidated Standards for Inspection

The receipt, storage, monitoring, handling, and processing of raw

materials to manufacture and distribute safe final product.

1.1 Rejection of Shipments A facility can safeguard its grain products by identifying and barring

entry to potentially contaminated raw materials.

Critical Requirements1.1.1.1 Damaged, infested or dirty transports/containers are

rejected.

1.1.1.2 Materials shipped in damaged, infested or dirty vehicles

are rejected.

1.1.1.5 The facility maintainsdocumentation of rejected shipmentsthat includes defect specications and

reasons for rejection.

1.1.1.12 Grain is graded and accepted based on FGIS (Federal

Grain Inspection Service) grading requirements.

1.1.1.13 Grain handling equipment and harvest transports are

inspected and cleaned prior to harvest to identify lth

and prevent product contamination.

1.2 Storage PracticesAfter receiving, materials are stored in a way to meet Program

requirements for safe storage of materials.

Critical Requirements

1.2.1.3 Materials and equipment are stored off the ooron

pallets, slipsheets or stands.

1.2.1.4 Materials and equipment are stored away from walls

and ceilings to allow access for proper cleaning,

inspection and monitoring for pest activity.

Operational Methods and Personnel Practices1


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1.2.1.6 If materials are stored outside, materials are adequately

protected against deterioration and contamination.

1.3 Storage ConditionsRaw materials are stored in a clean storage area to protect them from

contamination sources.


1.3.1.3 All toxic chemicals, including cleaning and maintenance

compounds, and non-product materials, including

equipment and utensils, are stored in a separate area.

1.3.1.7 Grain storage bin tops and bottoms are inspected

for pest activity, moisture issues and grain quality on a

pre-determined frequency. The frequency of inspection

is determined based on seasonal conditions, pest life

cycles, and historical data.

1.3.1.8 The results of inspections and Corrective Actionsare

documented.

1.4 Raw Material InventoryRaw material inventories are maintained at reasonable volumes to

avoid excessive age and insect infestation.


1.4.1.1 Ingredients and other materials are rotated on a First-In, First-Out (FIFO) basis or other veriable method

(such as First Expired, First Out [FEFO]) to ensure stock

rotation.

1.4.1.2 Insect-susceptiblematerials in storage longer than four

weeks are regularly inspected.

2Consolidated Standards for Inspection


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1.8 Dust Collection and Filtering DevicesIf not maintained, lters, screens, and socks may contribute to grain

safety issues.

Critical Requirements1.8.1.1 Dust collection and ltering devices are storedin a dust-

free environment.

1.8.1.2 Dust collection and ltering devices are clean.

1.8.1.3 Dust collection and ltering devices are designed to

prevent possible contaminationfrom threads, lint and

bers.

1.9 Bulk Material Handling

Bulk systems and unloading areas are high-activity locations that

could introduce external contaminants into the facility. Proper

receiving practices ensure protection during unloading.

Critical Requirements1.9.1.1 Bulk systems and unloading areas are installed

and maintained to prevent adulterationof grain

commodities.

1.9.1.4 If present,security sealson bulk container hatches or

other shipping containers are checkedagainst the seal

number on the bill of lading to verify that the numbers

match.

1.9.1.10 Grain receiving pits are coveredwhen not in use toprevent entry of dust, windblown debris, pests, water or

other contaminants.

Minor Requirements1.9.2.1 Security seals or padlocks are provided, and their use

is documented as per facility or customer requirements.



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1.11 Processing AidsProcessing aids are grain contact materials, and are therefore

managed as ingredients in order to prevent contamination of product.

Critical Requirements1.11.1.1 All grain contact processing aids, such as dust

suppressants, are segregatedfrom nonfood materials.

1.11.1.2 Processing aidsare labeled for their intended use.

1.11.1.3 Approval documentationfor grain contact processing

aids is on le.

1.11.1.4 Wateris not added to grain as a dust suppressant.

1.11.1.5 Usage documentationis current and maintained for theuse of dust suppressants.

1.12 Raw Material TransferOnce received, raw materials are transferred to points of use

within the facility. Sometimes, the raw materials are put into

smaller containers to facilitate handling. The transfer of raw

materials should be carefully managed to avoid introduction of

contaminants.

Critical Requirements1.12.1.1 The facility follows proceduresfor transferring and

handling of grain.

1.12.1.2 Containers are kept off the oorat all times and

covered when not in use.

1.12.1.3 Ingredient containersare properly identied to

maintain ingredient integrity (i.e., good grain vs. wastegrain, oor sweepings, dockage, spray bottles, etc.)

Minor Requirements1.12.2.1 Personnel quickly address spills, leaks and waste

caused by transfer of raw materials.



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1.15 Foreign Material Control DevicesMagnets and scalpers are installed at appropriate locations to prevent

the inclusion of metal, wood, glass and other foreign materials.


1.15.1.4 Unusual foreign materials nds are investigated and

Corrective Actions are taken to identify and eliminate

contamination sources.

1.15.1.5 Foreign material control devices are appropriate

to the product or process, and detect metal wear or

contamination from the processing equipment.

1.15.1.8 Foreign material control devices are regularly

monitored and documented.

1.15.1.12 Where used, scalpers and other grain cleaning

equipmentis checked on a predetermined frequency for

torn screens or other defects.

1.15.1.13 Records of checksof the scalpers and other graincleaning devices are maintained.

1.15.1.14 Metal detection equipment (magnets) is provided on

each product line at the point of grain receipt, per

regulatory requirements.

Minor Requirements1.15.2.1 Metal detection equipment (magnets) is installed on each

load out system.

1.15.2.2 Magnet pull strength testing is done on a

predetermined frequency and is documented and current.

1.16Waste Material DisposalWaste materials and their removal are managed to avoid

contamination.

Critical Requirements1.16.1.1 Trash or inedible waste is storedin properly covered,

labeled containers.



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1.16.1.2 Waste containers are emptiedat least daily.

1.16.1.3 Trash or inedible waste does not come in contactwith

raw materials at any time.

1.16.1.4 Licensed contractorsremove waste, where required.1.16.1.5 Waste disposal meets regulatory requirements.

1.19Workspace ArrangementA neat, efcient workspace promotes cleanliness and maintainability

both essential for food safety.

Critical Requirements1.19.1.1 Routine housekeeping activities are ongoingthroughout operating hours in production and support

areas to maintain a sanitary environment.

Minor Requirements1.19.2.1 Production equipment and supplies are neatly arranged

and installed.

1.19.2.2 Portable, infrequently used equipment is not storedinproduction or raw material storage areas.

1.19.2.3 Adequate workspaceand storage are provided to

enable operations to be performed in safe, hygienic

conditions.

1.19.2.4 Operational debrisis kept at a minimum.

1.23 Cross Contamination PreventionIncompatible or hazardous materials require separate handling toprevent contamination.


1.23.1.2 Measures are taken to prevent crosscontamination by

hazardous ingredients, such as allergens (i.e., wheatand soybeans).

1.23.1.3 Systems are set up to reduce any potential physical,

chemical or microbiological contamination risks.



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1.23.1.14 Measures (purging, equipment design, dedications of

bins, etc) are in place to prevent cross contamination

between different grains.

Minor Requirements1.23.2.1 Measures are taken to prevent cross contamination that

can cause customer complaints, such as non-organic

grain in organic grain.

1.24 Containers and UtensilsIf not managed, any grain contact containers or utensils have the

potential to create grain safety hazards.

Critical Requirements1.24.1.1 Containers and utensils used to transport, process,

hold or store raw materials or nished products are

constructed, handled and maintainedin a way that

prevents contamination.

1.24.1.2 Containers are only used for their designated

purposes.1.24.1.3 Containers are legibly labeled with contents.

1.26 Finished Product TransportationProduct is coded for traceability, and shipping requirements are in

place to prevent product contamination.


1.26.1.2 Code marks satisfyregulatory requirements and lot

denitions, and are used in the Recall Program.

1.26.1.3 Distribution records identify the initial point of

distributionas per regulatory requirements.

1.26.1.4 Products are handled and transportedin a way that

prevents actual or potential contamination.



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1.26.1.10 Prior to loading, all shipping vehicles are inspectedfor

cleanliness and structural defects that could jeopardize

the product.

1.26.1.11 Shipping vehicle inspections are documented.

1.26.1.15 Vehicles used totransport fertilizer or other non-

grain related itemsare rejected unless properly cleaned.

Minor Requirements1.26.2.1 Common carriers and customers are encouraged to

maintain their delivery vehicles in sanitary condition,

and in good repair.

1.26.2.2 Security seals or padlocks are provided, and their use is

documented as per facility or customer requirements.

1.27 Hand Washing FacilitiesPersonnel are provided the equipment to effectively remove

contaminants from their hands.

Critical Requirements1.27.1.1 Suitable and properly maintained hand washing facilities(basin, container, or outlet) are locatedin restrooms or

next to Field Sanitation Units.

1.27.1.2 Single use towels or air dryersare provided at hand

washing stations.

1.27.1.5 Wash hands signsappear above sinks and entries to

elevator areas, where appropriate.

Minor Requirements1.27.2.1 Dispensers for disposable paper towelsare covered.

1.28Washrooms, Showers and Locker RoomsCleanliness diminishes chances of contamination being spread from

personnel areas.

Critical Requirements1.28.1.1 All washrooms, showers and locker rooms are

maintained in a sanitarycondition.



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1.28.1.2 No pests or moldare present.

1.28.1.3 There are no open food or drinksin lockers or locker

rooms.

1.28.1.4 Wash hands signsare displayed in all restrooms,lunchrooms, and smoking areas.

Minor Requirements1.28.2.1 Company-owned personnel lockers are inspectedon a

dened frequency.

1.29 Personal HygienePersonnel conform to hygiene practices to avoid becoming a source

of contamination.

Critical Requirements1.29.1.1 Trained supervisorsare responsible for ensuring

that all personnel are complying with facility policies

regarding personnel practices.

1.29.1.2 Personnel wash handsbefore beginning work, and

after eating, drinking, smoking, using the restroom, or

otherwise soiling hands.

1.29.1.3 Personnel are encouraged to practice good personal

hygieneat all times.

Minor Requirements1.29.2.1 Hand washing practicesare checked periodically for

effectiveness.

1.30Work Clothes, Changing Facilities, andPersonnel AreasClothing may contaminate food products if the clothing is dirty or

made of unsuitable material. Changing facilities are provided to

allow personnel to keep work clothes clean.

Critical Requirements1.30.1.1 Personnel wear suitable,clean outer garments or

uniforms.

1.30.1.2 Personnel wear suitable footwear.



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1.30.1.4 If worn, glovesare adequately controlled to avoid

product contamination.

1.30.1.5 Items such as pens, pencils and thermometers are

carried in pockets or pouches below the waistinelevator areas.

1.30.1.7 Work clothes are stored separatelyfrom outdoor

clothing and personal items in changing facilities.

1.30.1.9 Suitable clothing, head and foot coverings are worn

when entering railcars for cleaning or repair to prevent

contamination of theinternal product contact surfaces

with hair or foreign material.

Minor Requirements1.30.2.1 There are no pockets above the waiston outer

garments.

1.30.2.2 Suitable breakrooms and dining facilities are provided

for all personnel.

1.30.2.4 Changing facilitiesare providedfor all employees,

visitors and contractors to allow personnel to change

clothes before entering grain handling areas, if

necessary.



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1.32 Personal Items and Jewelry ControlPersonal items and jewelry present product contamination risks if not

controlled.

Critical Requirements1.32.1.1 Personnel in contact with grain products remove

jewelry and cosmetic itemsincluding but not limited

to:

Visible or exposed piercings

Watches

Earrings

Necklaces

Bracelets

Rings with settings

False ngernails

False eyelashes

Fingernail polish

1.32.1.2 Plain wedding bandsare acceptable if permitted by the

Personnel Practices Program.

1.32.1.3 Personnel eat, drink, chew gum, and use tobacco

products only in designated areas.1.32.1.4 Personal food and belongingsare not brought into

elevator areas.

1.32.1.5 All personal propertyis stored in a designated area.

1.32.1.6 The facility Personnel Practices Program denes and

explains any exceptionsto personal items and jewelry

control.

Minor Requirements1.32.2.1 Personnel in contact with grain products avoid wearing

perfume and aftershave.

1.33 Health ConditionsFacility policies are in place and enforced to prevent disease, illness

or infection from contaminating product.

Critical Requirements1.33.1.1 No person with boils, sores, infected wounds or any

other infections or communicable disease is permitted

to contact grain as dened by local or national law.



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1.33.1.3 All personnel health cardsare current and properly

posted if required by local regulations.

1.33.1.4 The facility follows procedures requiring personnel,including temporary workers, to notify supervisory

personnel of any relevant infectious diseaseor

conditions to which they may have been exposed.

1.34 Non-Facility PersonnelVisitors and contractors are required to comply with facility policies

to protect product from contamination.

Critical Requirements1.34.1.1 Non-facility personnel conform to the facility Personnel

Practices Program. Non-facility personnel include but

are not limited to:

Visitors

Temporary personnel

Regulatory authorities

Outside contractors

Tour groups

Family and friends of personnel

1.34.1.2 Where appropriate, visitors and contractors undergo

medical screeningand appropriate trainingbefore

entering elevator areas.



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The design, upkeep and management of equipment,buildings and grounds to provide a sanitary, efficient, and

reliable manufacturing environment.

2.1 Facility LocationSelection and management of the facility location will allow

personnel to identify and control potentially negative impacts of

surrounding operations.

Critical Requirements2.1.1.1 The facility identies and takes measures to prevent

product contamination from local activitiesthat could

have adverse impacts.

Minor Requirements

2.1.2.1 Facility boundariesare clearly dened and controlled.2.1.2.2 Effective measures are in place to prevent product

contamination from neighboring properties. These

measures are periodically reviewed.

2.2 Outside GroundsThe facility grounds are maintained in a way that prevents food

adulteration.

Critical Requirements2.2.1.1 Equipment stored outsideis placed to prevent pest

harborage, to make the inspection process easier, and to

protect equipment from deterioration and contamination.

2.2.1.2 Litter and wasteare removed from the property.

2.2.1.3 Weeds and tall grassare not near the building.

2.2.1.4 Roads, yards and parking areasare maintained to

be free of dust, standing water and other potentialcontaminants.

2.2.1.5 Adequate drainage is provided for grounds, roofs and

other areas.

Maintenance for Food Safety13


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2.2.1.6 Outside wet and drywaste or scrap compactors,

modules and containersare installed in a way that

prevents product contamination. Containers are

maintained to minimize and contain leakage, and areremovable so that the area can be cleaned.

2.2.1.7 Waste containers and compactors areclosed or covered,

and located on a concrete pad or in a manner to

minimize pest attraction and harborage.

Minor Requirements2.2.2.1 Outdoor equipment storageis minimal.

2.3 Security EquipmentInstalling and maintaining the equipment and structures that support

a Food Defense Program help guard against intentional product

contamination.

Minor Requirements2.3.2.1 Physical security measuresthat require maintenance or

design can include:

Perimeter fences

Surveillance cameras

Locked doors

Security guard stations

Controlled access

Controlled bulk storage areas

2.4 LayoutSpacious layout and placement of equipment, materials and structures

facilitates inspection, cleaning and maintenance activities.

Critical Requirements2.4.1.1 Space is maintained between equipment and structures

to enable cleaning and maintenance.

Minor Requirements2.4.2.1 There is adequate space to placeequipment and raw

materials.



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2.5 Floors, Walls and CeilingsThe oors, walls and ceilings of the facility are designed and

maintained to provide structural integrity, facilitate cleaning, prevent

contamination and eliminate pest harborage or entry.

Critical Requirements2.5.1.1 Floors, walls and ceilings are made of materials that are

easily cleaned and kept in good repair.

2.5.1.4 Drainageis designed and maintained to minimize the

risk of product contamination.

2.5.1.6 Access to the void in hollow or suspended ceilings

is provided to facilitate cleaning, maintenance and

inspection activities.

2.5.1.7 Roof leaksare promptly identied, controlled and

repaired.

2.5.1.8 Sump pumps and pitsare included on regular

maintenance and cleaning schedules.

Minor Requirements2.5.2.1 Ceilings, overheads and wallsare designed,

constructed, nished and maintained to:

Prevent dirt accumulation

Reduce condensation and mold growth

Facilitate cleaning

2.5.2.2 Wall/oor junctions and cornersare coved to facilitate

cleaning.

2.5.2.3 Holes in wall and oor surfacesare repaired to prevent

debris from lodging and to avoid pest harborage.

2.5.2.4 Floors are designed to meet the demands of facility

operations, and withstand cleaning materials and

methods.

2.5.2.5 Floors are impervious.

2.5.2.7 Floor drainscan be easily accessed for cleaning andinspection.

2.5.2.9 Moisture accumulations and condensationis

minimized by using appropriate ventilation.



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2.5.2.10 Repairs are made to prevent wall and oorleakage.

2.6 Overhead StructuresStructural elements such as beams, supports, xtures, ducts, pipes,or equipment do not threaten grain product with leaking, loose,

chipping, aking, or peeling material.

Critical Requirements2.6.1.1 Fixtures, ducts, pipes and overhead structures are

installed and maintained so that drips and condensation

do not contaminate grainor grain contact surfaces.2.6.1.2 There is no aking paint or rust on equipment or

structures. Only normal mild oxidation on nonfood

contact surfaces is acceptable.

2.6.1.3 Other materials(such as loose insulation) do not

threaten grain products or grain contact surfaces.

2.7 Glass, Brittle Plastics, and Ceramics ControlThe Glass, Brittle Plastics, and Ceramics Program manages not onlylighting to ensure that it is adequate for the safe production of grain

products, but the Program also takes into consideration breakable

materials that are used for other purposes within the facility.

Critical Requirements2.7.1.1 Adequate lightingis provided in all areas.

2.7.1.2 Light bulbs, xtures, windows, mirrors, skylights and

other glass suspended over product zones, product areas,and supplies are of the safety type, or are otherwise

protected to prevent breakage.

2.7.1.3 Light ttings and glassare replaced in a way that

minimizes the potential for product contamination.

2.7.1.4 Glass that cannot be fully protected is addressed in the

Glass, Brittle Plastics, and Ceramics Program.

2.7.1.5 Only essential glassis present in the facility. If glass

must be used, it is addressed by the Glass, BrittlePlastics, and Ceramics Program.



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2.8 Air Makeup UnitsAir used in the facility is ltered or screened, and lters and screens

are maintained to prevent product contamination.

Critical Requirements2.8.1.1 Air makeup units are tted with clean ltersand are

free of mold and algae.

2.8.1.2 Air return ducts for HVAC systems and air makeup units

are tted with cleaning and inspection hatches.

2.8.1.3 Fans, blowers, lters, cabinets and plenumsare on

the Preventive Maintenance Schedule to prevent mold,

the development of microbes, insect activity, and foreign

material collection.

2.8.1.4 Windows and doorsthat must be kept open for

ventilation are screenedto prevent pest entry.

2.8.1.5 Air blowing equipmentis located, cleaned and operated

in a way that does not contaminate raw materials and

grain contact surfaces.

2.8.1.6 Filters are capable of removing particles of 50 microns

or larger.

Minor Requirements2.8.2.1 If unscreened, windows and skylightsare non-opening.

2.9 Pest PreventionThe materials, structure and maintenance of the building and

equipment support the Integrated Pest Management Program.

Critical Requirements2.9.1.1 The building has barriersin place to protect against

birds, rodents, insects and other pests.

2.9.1.2 The structures are free from cracks, crevices and pest

harborages.

2.9.1.3 External doors, windows or other openingsare close-

tting or otherwise pest-proofed to less than in or 6

mm.

2.9.1.6 Hatches and openings to exterior grain binsand

silos are closed when not in use to prevent entry of

precipitation, pests or airborne debris.



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2.9.1.7 Hatches and other openings to interior grain bins are

kept coveredwhen not in use to prevent entry of pests

or foreign material.

2.10 Leaks and LubricationLeaks and lubrication are managed so they do not contaminate grain

products.

Critical Requirements2.10.1.1 The facility prevents, identies and eliminatesleaks

and excessive lubrication.

2.10.1.2 Catch pansor deector plates are installed in areas

where drive motors and gearboxes are mounted over

product zones, and where conveyors cross or run parallel

at different levels.

2.11 LubricantsLubricants that are essential for effective equipment operation are

managed to ensure they do not get into grain products.

Critical Requirements2.11.1.1 Only food-gradelubricants are used on grain processing

equipment, or on any other equipment where incidental

grain contact may occur.

2.11.1.2 Lubricantsare labeled, segregated and stored in a

designated, secure area. Food-grade and non food-grade

lubricants are kept separate from each other.

2.13 Design StandardsStructural and equipment design standards offer a consistent

approach to designs, repairs, modications, and purchases, and take

into account Prerequisite and Food Safety Programs.

Critical Requirements2.13.1.1 The facility hasdesign standardsthat apply to all

structural and equipment designs, repairs, modications,

or purchases to reduce the potential for contamination

and pest infestations, and make cleaning easier.



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2.14 Equipment and Utensil ConstructionEquipment and utensils designed for easy maintenance ensure

compliance with Prerequisite and Food Safety Programs.

Critical Requirements2.14.1.1 All utensilsare designed and made of materials that are

easily cleaned and maintained.

2.14.1.2 Raw material product-holding, conveying, processing

and bulk equipmentare designed and made of materials

that are easily cleaned, inspected, and maintained.

2.14.1.3 Equipment is installedin a way that provides access for

cleaning.

Minor Requirements2.14.2.1 Processing equipment for exposed raw materials is

not made of wood, wherever possible and practical. If

processing equipment is made of wood, it is maintained.

2.15 Temporary Repair MaterialsTemporary repairs are sometimes needed or unavoidable. Proceduresto ensure that they do not become a contamination hazard are dened.

Critical Requirements2.15.1.1 Tape, wire, string, cardboard, plastic and other

temporary materials are not usedfor permanent

repairs. If used for emergency repairs, they are dated and

replaced with a permanent repair as soon as possible.

2.15.1.2 Any temporary repairs on food contact surfaces are

constructed offood-grade material.

2.15.1.3 The facility maintains a record of work orders or repair

requests.

2.15.1.4 The facility follows temporary repair procedures.

Minor Requirements2.15.2.1 Temporary repair issues are resolved as soon as

possible and practical.



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2.16 Food Contact Surface ConstructionSurfaces that deteriorate, or cannot be cleaned or maintained may

present product contamination hazards.

Critical Requirements2.16.1.1 Food contact surfaces are corrosion-free, durable, and

made of non-toxic materials.

2.16.1.2 Seams on food contact surfaces are smooth, and free of

spot or tack welds.

2.18 Compressed AirCompressed air can contain particulate matter, microbes, mold, water

or oil, and may contaminate grain.

Critical Requirements2.18.1.1 Compressed air used in elevator areas is properly

lteredto remove particles of 5 microns or larger.

Compressed air equipment does not contain dirt, oil or

water.

2.18.1.2 Air traps and ltersare inspected and changed

routinely. Air traps and lters are located and designed

so that when inspected or changed, they do not

contaminate product.

Minor Requirements2.18.2.1 Filters for air used on grain contact surfaces are located

as close to the point of useas practical.

2.19 Transporting EquipmentEquipment such as forklifts may introduce cross contamination issues

if they are not maintained.

Critical Requirements2.19.1.1 Transporting equipment, including pallet jacks, carts,

and forklifts, are maintained to prevent contamination of

products being transported.



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2.19.1.2 Forklifts, pallet jacks, and similar equipment are listed

on the Preventive Maintenanceand/or Master Cleaning

Schedules for cleaning and follow up.

2.20 Parts StorageImproperly maintained or dirty repair parts may pose a risk of

product contamination from improper storage or cleaning.

Critical Requirements2.20.1.1 All grain contact parts are storedin a clean

environment off the oor.

2.20.1.2 Used and soiled conveyor beltsare discarded and not

stored for future use.

Minor Requirements2.20.2.1 Only clean repair parts and equipment are stored in

parts storage areas.

2.21Water QualityWater, water sources, and water management strategies provide clean

water that is safe for grain contact activities.

Critical Requirements2.21.1.1 The facilitys water supply complies with regulatory

requirements.

2.21.1.2 The facility has a safe and/orpotable water supply from

an approved source.2.21.1.3 Regular water samplesare taken from underground well

water supplies and surface water sites according to local

health department codes and government requirements.

2.21.1.4 Documentationof the results of water testing is on le.

2.21.1.5 Water and steam that contacts grain and grain contact

surfaces are regularly monitored to ensure there is no

risk to product safety.

2.21.1.6 Water installations and equipment are constructed andmaintained to prevent back siphonage and backow.

2.21.1.7 Routine checks verify that back siphonage and

backow prevention units are functioning properly.

Results are documented.



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2.21.1.8 The sewage disposal systemis adequate for the process

and maintained to prevent direct or indirect product

contamination.

2.21.1.9 Water treatment chemicalsused in steam or waterthat comes into direct or indirect contact with food are

approved for food contact.

2.21.1.10 Water treatment chemicals are used according to

label directions. Results of concentration testing and

verication procedures are documented.

Minor Requirements

2.21.2.1 Back siphonage and backow prevention unitsareidentied in the Preventive Maintenance Program.

2.22 Hand Washing Facilities DesignPersonnel are provided the equipment to effectively remove

contaminants from their hands.

Critical Requirements2.22.1.1 Hot and cold running wateris provided in all

washrooms, hand sinks and locker rooms.

2.22.1.2 Hand washing facilities have an adequate water

supply.

Minor Requirements

2.22.2.2 Mix valvesare provided so that water temperatures canbe adjusted.



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2.27 Field Sanitation Units (FSUs)When used, Field Sanitation Units are installed to meet state and

local regulations.

Critical Requirements2.27.1.1 FSUsmeet all state and local requirements for

installation and use.

2.27.1.2 A written plan is established to contain and remove

wastein the event of leakage or spillage.

2.27.1.3 Sewage disposal truckshave restricted access to the

FSU for service.



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The cleaning and sanitizing of equipment, utensils and buildingsto provide a wholesome and safe processing environment.


3.1 CleaningCleaning is more than making the facility look good. Cleaning

methods and scheduling take food safety into account.

Critical Requirements3.1.1.1 Cleaning is done in a way that prevents contamination

of raw materials, products and equipment.

3.2 Food Contact Cleaning Compounds andSanitizersCleaning compounds and sanitizers are considered chemicals under

the Chemical Control Program.

Critical Requirements3.2.1.1 If used, all cleaning compounds and sanitizers used to

clean grain contact surfaces have food contact approval

documentation.

3.2.1.2 If used, sanitizer concentrationsare tested to make sure

they are consistent with the product label.

3.2.1.3 If used, cleaning chemicals are properly labeled.

3.2.1.4 All cleaning chemicals are storedin a secure

compartment away from elevator and storage areas when

chemicals are not in use.

3.2.1.5 If used, the facility follows verication procedures,

and maintains records of chemical concentration testing,

retesting and Corrective Actions.

3.2.1.9 Non-toxic general purpose soapsdo not need to be

registered as long as they are used in a way that prevents

grain contamination.

Cleaning Practices25


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3.3 Equipment and ToolsCleaning equipment and tools may have a negative impact on grain

safety if not managed properly.

Critical Requirements3.3.1.1 Cleaning equipment and tools are available for use.

3.3.1.2 Cleaning equipment is maintained and storedin a

way that does not contaminate grain or grain handling

equipment.

3.3.1.3 Separate and distinct utensilsare used to clean grain

contact surfaces (product zones) and structures (product

areas).3.3.1.4 Utensils used to clean restrooms, oor drains, or FSUs

are never used for any other cleaning purpose.

3.3.1.5 All cleaning utensils are cleaned and properly stored

after use. Proper storage includes segregation to ensure

that cross contamination does not occur.

3.3.1.6 A color-codeor other type of classication is in place

to identify and separate cleaning utensils based on their

intended usage.3.3.1.7 Designated ladders and cleaning equipment are used

in contact with interior product contact surfaces and

railcars.

3.3.1.8 Ladders and equipment used to clean the interior of

product contact surfacesand railcars are stored in a

clean and sanitary manner.

3.4 Daily (Housekeeping) CleaningDaily cleaning focuses on keeping the facility consistently neat andclean.

Critical Requirements3.4.1.1 Daily cleaning tasks are completed in a way that

prevents contamination.

3.4.1.2 Daily cleaning tasks are assignedto the appropriate

department.3.4.1.3 Daily cleaning tasks ensure that work and support

areas remain cleanduring working hours.

3.4.1.5 A daily cleaning schedule for FSUsis maintained.



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3.4.1.6 Grain spills on the exterior of the facility are promptly

removed.

3.5 Periodic (Deep) CleaningPeriodic cleaning addresses structures and equipment interiors that

may only be cleaned during times when the area is not in production.

This cleaning requires personnel who have been trained, and often

demands the assistance of maintenance or elevator personnel to allow

proper disassembly of equipment.

Critical Requirements3.5.1.1 Periodic cleaning tasks comply with applicable safety

laws, regulations and equipment cleaning procedures.

3.5.1.2 Periodic cleaning tasks are scheduledon a Master

Cleaning Schedule, or equivalent.

3.5.1.3 Periodic cleaning tasks are assigned.

3.5.1.4 Equipment guards, panels. socks and bootsare

removed and replaced according to local and national

regulations to inspect and clean the interior of all

equipment.3.5.1.5 Equipment and structural overheads(including lights,

pipes, beams and vent grids) are scheduled for periodic

cleaning on the Master Cleaning Schedule.

3.5.1.10 Floor sweepings, dust collection materials and other

dockage generated from cleaning activitiesare not

reintroduced into the grain stream.

3.5.1.11 Obsolete or idle grain handling equipmentis cleanedand inspected as part of the cleaning program.

3.5.1.12 Cleaning frequenciesare dened to prevent the

development of mold or insects.

Minor Requirements3.5.2.1 Air hoseswith restricted head pressure are used onlyto

clean inaccessible equipment.

3.5.2.2 Air hoses are used for cleaning when the facility isnot in operation in order to prevent potential product

contamination.

Cleaning Practices27


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3.6 Maintenance CleaningMaintenance cleaning ensures that appropriately trained personnel

from the maintenance department conduct cleaning activities, where

appropriate, and that maintenance activities and repairs do not createa source of product contamination.

Critical Requirements3.6.1.1 Maintenance cleaning tasks are completed in a way that

does not compromiseproduct safety.

3.6.1.2 Non-sealed electrical panels and boxeslocated in areas

that are susceptible to insect development are cleaned

and inspected every four weeks.3.6.1.3 Maintenance debriscreated during repairs is quickly

removed.

3.6.1.4 All nuts, bolts, washers, wire pieces, tape, welding rods,

and other small items that could contaminate the

productare accounted for.

3.6.1.5 There are no grease smears or excess lubricanton

equipment.

3.6.1.6 Clean toolsand cloths are used on product zones.3.6.1.7 Maintenance personnel follow appropriate personnel

practices when working on product zones or equipment.

3.6.1.8 Cleaning utensils that may create debris, such as wire

brushes, sponges and scrub pads, are not used unless

absolutely necessary. If used, the area is inspected after

use to identify and eliminate any remaining debris that

could contaminate the product.



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The assessment, monitoring, and management of pest activity toidentify, prevent, and eliminate conditions that could promote or

sustain a pest population.

4.1 Integrated Pest Management (IPM) ProgramA written IPM Program ensures the facility has effective controls and

processes in place to minimize pest activity.

Critical Requirements4.1.1.1 The facility has a writtenIntegrated Pest Management

Program.

4.1.1.2 The IPM Program incorporates the requirementsof

the facilitys other written Prerequisite and Food Safety

Programs.

4.1.1.3 The IPM Program is written and implemented by trained

in-house personnel, or by registered, trained or

licensed contractors.

Minor Requirements4.1.2.1 If the IPM Program development and implementation

is outsourced to contractors, the Program includes

responsibilities for both in-house personnel and

contractors.

4.2 Facility AssessmentAn annual assessment of the facility provides an evaluation of the

IPM Program to ensure that it is effective.

Critical Requirements4.2.1.1 Personnel conduct an annual assessmentof the facility.

4.2.1.2 The assessment evaluates all areas inside and outside

the facility.4.2.1.3 Assessment results and Corrective Actions are

documentedand used to develop and update the IPM

Program.

4.2.1.4 Assessments are conducted by internal or external

trained IPM personnel.

Integrated Pest Management29


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4.3 Other GuidelinesFacilities that use alternative guidelines (such as organic, green or

sustainable) are also held accountable for having IPM Programs.

Critical Requirements4.3.1.1 IPM Programs established under alternative guidelines

(such as organic, green or sustainable) demonstrate

effective pest management through the lack of evidence

of pest management issues, and by meeting the criteria

in the IPM section of this Standard.

4.4 Signed ContractsA signed contract between the facility and external IPM providers

holds both the provider and the facility accountable for effective pest

management activities.

Critical Requirements4.4.1.1 The facility has a signed contractthat includes:

Facility name Facility contact person

Frequency of services

Description of contracted services and how they will

be completed

Term of the contract

Equipment and material storage specications,

where applicable

List of approved chemicals, prior to use

Emergency call procedures (when, why, whom to

call)

Service records to be maintained

Requirement to notify facility of any changes in

service or materials used



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4.5 Credentials and CompetenciesThe facility protects its grain products by verifying that IPM service

providers, whether in-house or contractors, are qualied.

Critical Requirements4.5.1.1 The facility keeps a copy of the certication or

registration document for each person who performs

pest management services in the facility, as required by

regulation.

4.5.1.2 If regulation does not require certication or registration,

IPM service providers are trainedin the proper and

safe use of pest management materials by attending arecognized seminar or some other documented training.

Evidence of training is on le or available electronically.

4.5.1.3 Applicators provide verication of GMP training.

4.5.1.4 IPM service providers are supervisedby a licensed

applicator, if required or allowed by regulation.

4.5.1.5 The facility maintains a current copy of the pest

management company licenseissued by the

appropriate government body, if required.4.5.1.6 The facility maintains a current copy of the certicate

of insurancethat species the liability coverage, where

available.

Minor Requirements4.5.2.1 IPM service providers maintainevidence of

competencyby exam from a recognized organization.

4.6 Pesticide DocumentationThe facility maintains current pesticide label and Material Safety

Data Sheet information to ensure proper usage of pesticide chemicals.

Critical Requirements4.6.1.1 Material Safety Data Sheets (MSDS)or equivalent are

on le for all pesticides used in the facility by in-house

personnel or contractors. Documentation is available for

review on request as hard copy or electronic les.

4.6.1.2 Pesticide Specimenlabels are on le for all pesticides

used in the facility. Documentation is available for

review on request as hardcopy or electronic les.



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Minor Requirements4.6.2.1 The language of the country is taken into consideration

when providing MSDS, Chemical Safety Data Sheets

and labels.

4.7 Pesticide Application DocumentationThe facility maintains records to identify, verify, and document

compliance to regulatory and IPM requirements.

Critical Requirements4.7.1.1 Documented pesticide application activities include:

Product name of materials applied

The EPA, PMRA or product registration number as

required by law

Target pest

Rate of application or percent of concentration

Specic location of application

Method of application

Amount of pesticide used at the application site

Date and time of application Signature of applicator

Re-entry interval, if applicable

Wind velocity and direction, if applicable

Air temperature, if applicable

Clearance documentation for fumigations, if

applicable

4.7.1.2 Grain handling facilities that conduct fumigation have

a formal written Fumigation Management Plandescribing the steps to ensure safe, legal and effective

fumigation is developed and on le.

Minor Requirements4.7.2.1 The facility keeps a record of additional information

that may be required by local regulations, including lot

number of product used and the applicators certication

or registration number.



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4.8 Pesticide ControlPesticides are managed as part of the Chemical Control Program.

Critical Requirements4.8.1.1 Pesticides are stored in a limited access, locked area.

Storage areas are adequate in size and construction, and

are properly ventilated.

4.8.1.2 Pesticides are applied, and if required, stored according

to label directions.

4.8.1.3 Pesticide containers and application equipmentare

labeled to identify contents. Application equipment is

not used across multiple pesticides.4.8.1.4 Pesticide containers are disposed of according to label

directions and regulatory requirements.

4.8.1.5 Pesticides are approvedby the designated facility

representative before application, and are incorporated

into the Chemical Control Program.

4.8.1.6 Warning signsare posted at the entrance of each

pesticide storage area.

4.8.1.7 The facility maintains a complete inventory of

pesticides.4.8.1.8 Spill control materials and procedures are available.

4.8.1.10 Equipment used for application of pesticides is

calibrated and maintained. Calibrationrecords are

maintained and demonstrate that calibration frequencies

were met as dened.

4.9 Trend AnalysisDocumentation of pest sightings and activity are reviewed and used

to identify and eliminate areas where pest activity is observed, and to

document Corrective Actions taken.

Critical Requirements4.9.1.1 Accurate and complete service records describe

current levels of pest activity, and recommendations foradditional Corrective Actions.

4.9.1.2 When used, the pest-sighting logprovides information

about the response taken by pest management personnel.



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4.9.1.3 All records pertaining to pest management activities are

available as hard copy or electronic lesfor review on

request.

Minor Requirements4.9.2.1 The pest-sighting loghas a designated location.

4.9.2.2 The pest-sighting log includes:

Date

Time

Type of pests observed

Actions taken

Names of reporting personnel

4.9.2.3 Pest management personnel review the log each

quarter to identify trends in pest activity. A report of

ndings is submitted to designated facility personnel.

4.9.2.4 Corrective Actions are documentedfor identied

issues.

4.10 Monitoring Device DocumentationMonitoring device documentation is maintained to ensure that devicesare properly placed and inspected, and to allow trend analysis of

activity.

Critical Requirements4.10.1.1 A detailed surveyof the entire facility is completed,

and the results are documented and used to determine

placement of monitoring devices.4.10.1.2 A current and accuratesite mapthat lists the locations

of all pest-monitoring devices used in rodent and insect

control is on le.

4.10.1.3 Temporary placementof any pest monitoring devices

for short-term monitoring is mapped separately.

Findings are documented according to the frequency

dened by the IPM Program.

4.10.1.4 The facility records all servicesperformed on all pest-monitoring devices.

4.10.1.5 Services for monitoring devices are documented with

recording mechanisms, such as punch cards, bar codes,

or ledgers, and may be maintained in hard copy or

electronic format.



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4.10.1.6 Service records in monitoring devices match

documentationon le in the facility.

4.11 Exterior Rodent Monitoring DevicesManagement of exterior rodent monitoring devices deters rodents

from entering the facility.

Critical Requirements4.11.1.1 Based on the detailed facility survey, exterior monitoring

devices are placed along the foundation wallson the

exterior of the facility.

4.11.1.2 All exterior monitoring devices are inspected at leastmonthly. These devices are checked more often when

activity levels increase.

4.11.1.3 Exterior bait stationsthat contain rodenticides are

lockedwith single-use plastic ties, padlocks or devices

provided by the manufacturer, such as key systems.

4.11.1.4 Exterior bait stations are tamper resistant and are

positioned, anchored in place, locked, and labeled.

4.11.1.5 Only baits that are approvedby the regulatory bodywith authority for IPM (e.g., EPA in the United States)

or that are labeled for use in a food facility are used in

exterior bait stations.

4.11.1.6 Baits are secured inside bait stations, in good

condition, and replacedas needed based on the label

directions or manufacturer recommendation to avoid

deterioration.

Minor Requirements4.11.2.1 Monitoring devices are placed at intervals of 50-100 ft

or 15-30 m. Areas of high rodent activity may have a

higher concentration of devices.

4.12 Interior Rodent Monitoring DevicesInterior rodent monitoring devices identify and capture rodents that

gain access to the facility.

Critical Requirements4.12.1.1 Toxic and non-toxiccommercialbaits (blocks, liquids,

etc.) are not usedfor interior monitoring.



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4.12.1.2 Based on the detailed facility survey, interior monitoring

devices are placed in sensitive areasspecic to

the rodent species, and other areas of pest activity,

including: Maintenance areas with exterior access

Areas with the potential for rodent access due to

trafc patterns or activities that take place

Overhead areas when roof rat activity is evident or

likely

Both sides of doors that open to the exterior of the

facility

4.12.1.3 Interior monitoring devices are placed along perimeter

walls. Spacing and number of traps are based onactivity levels.

4.12.1.4 Interior monitoring devices are positioned, cleaned, and

inspected at least weekly.

4.12.1.5 Unless prohibited by regulation, interior monitoring

devicesinclude:

Mechanical traps

Extended trigger traps

Glue boards

4.12.1.6 Facilities in countries that prohibit the use of mechanicaltraps may consider the use of alternative deviceson a

case-by-case basis. These devices may include:

Gassing traps

Live cage traps

See-saw tubes

Electrocution traps

Extended trigger traps that send alert e-mails or text

messages

Minor Requirements4.12.2.1 Monitoring devices are placed at intervals of 20-40 ft or

6-12 malong exterior walls, and are strategically placed

in sensitive areas toward the interior of the facility.



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4.13 Insect Light TrapsWhen used, insect light traps assist in the identication and

monitoring of ying insects.

Critical Requirements4.13.1.1 Insect light traps are installed farther than 10 ft or

3 m from food contact surfaces, exposed products, or

elevator storage areas.

4.13.1.2 Insect light traps are installed in a way that doesnot

attract insectsto the facility.

4.13.1.3 Service checksare performed on all units on a weekly

basis during the active season and a monthly basisduring colder seasons or as dictated by climate. These

checks include:

Emptying collection devices

Cleaning the units

Repairs

Checks for tube breakage

4.13.1.4 Shatter-resistant lights are used in all units or

otherwise explained in the facilitys Glass, Brittle

Plastics, and Ceramics Program.

4.13.1.5 All services provided to light traps are documented.

Service recordsare kept in the device and on le with

the pest management documentation.

Minor Requirements4.13.2.1 Insect light traps are used to monitor ying insect

activityat locations that are likely to allow access to the

facility.

4.13.2.2 Insect light trap tubes are changed at least annuallyat

the beginning of the active season.

4.13.2.3 The facility documents the types and quantities of

insects foundin light traps, and uses the information to

identify and eliminate the source of activity.



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4.14 Pheromone Monitoring DevicesWhen used, pheromone monitoring devices assist in the identication

of stored product insect pests in areas prone to this type of infestation.

Critical Requirements4.14.1.1 Pheromone monitoring devices areinstalled according

to label requirements.

4.14.1.2 Pheromone monitoring devices are inspectedon a

dened frequency.

4.14.1.3 The facility documents the types and quantities of

insects foundduring device inspections and uses the

information to identify and eliminate the source ofactivity.

Minor Requirements4.14.2.1 Facilities that handle materials prone to stored product

infestations (e.g., wheat, corn, barley, etc.) implement a

comprehensive pheromone monitoring program.

4.15 Bird ControlBird control is addressed as part of the IPM Program to prevent

contamination of food products.

Critical Requirements4.15.1.1 Birds are controlled by exclusionwith:

Nets

Traps Appropriate structural modications

Other approved legal methods

4.15.1.2 Avicides are onlyused if legal.

4.15.1.3 Avicides are used according to label directions and

local regulations.

4.15.1.4 Avicides are not used in the facility, near grain

receiving pits, or in other areas where grain is exposed

or may become contaminated.



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4.16Wildlife ControlIn addition to rodents, insects and birds, other animals can become

pests if left unmanaged.

Critical Requirements4.16.1.1 Wildlife establishing habitat on the facility grounds or in

the facility are removedin accordance with regulations

and local ordinances. Wildlife can include dogs, cats or

other domestic animals.

Minor Requirements4.16.2.1 Wildlife control measuresare considered, where

appropriate. Optional devices include:

Wire

Netting

Distracting devices

Repellents

Materials that prevent entry

4.17 Pest HabitatAttractive habitat in or around a facility increases the chances of pest

problems.

Critical Requirements4.17.1.1 The facility addresses and eliminatesany rodent

burrows, rodent runs and conditions that provide

harborage or may attract rodents or other pests to the

facility or outside grounds.



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5. Adequacy of Prerequisite and Food Safety Programs

The coordination of management support, cross-functionalteams, documentation, education, training and monitoring

systems to ensure all departments of the facility work together

effectively to deliver a wholesome and safe final product.

5.2 AccountabilityManagement authorizes and supports a qualied, supervisory-level person to ensure facility compliance to Programs, law, and

regulation.

Critical Requirements5.2.1.1 Supervisory personnel monitor the effectiveness of the

implementationof the Prerequisite and Food Safety

Programs.5.2.1.2 The facility has a current and accurate organizational

chart that shows who is responsible for ensuring

compliance to regulatory laws and guidelines.

5.3 SupportManagement supplies human and nancial resources to support the

Prerequisite and Food Safety Programs.

Critical Requirements5.3.1.1 All departments directly involved in implementing

Prerequisite and Food Safety Programs have budget

and labor supportto maintain the proper and timely

acquisition of appropriate tools, materials, equipment,

monitoring devi