grain handling eng hb web
TRANSCRIPT
-
8/13/2019 Grain Handling Eng HB Web
1/90
GrainHandling
The AIB International
Consolidated
Standardsfor
Inspection
-
8/13/2019 Grain Handling Eng HB Web
2/90
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
-
8/13/2019 Grain Handling Eng HB Web
3/90
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
-
8/13/2019 Grain Handling Eng HB Web
4/90
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.
-
8/13/2019 Grain Handling Eng HB Web
5/90
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
-
8/13/2019 Grain Handling Eng HB Web
6/90
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.
vi
-
8/13/2019 Grain Handling Eng HB Web
7/90
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
-
8/13/2019 Grain Handling Eng HB Web
8/90
2.Mainten
anceforFo
odSafety
Thedesign
,upkeep
andman
agemento
fequipme
nt,build-
ingsand
groundst
oprovide
asanitary,
efficient,
andrelia
ble
manufacturin
genviron
ment.
2.1Faci
lityLocation
Selectiona
ndmanag
ementofthefacility
locationw
illallow
personnel
toidentify
andcontro
lpotentiallynegat
iveimpacts
surroundin
goperatio
ns.
CriticalR
equirem
ents
2.1.1.1
Thefacil
ityidenti
esandtak
esmeasu
restop
productc
ontaminati
onfromlocalactivitiest
haveadve
rseimpacts
.
Mino
rRequir
ements
2.1.2.1Facilityboundariesa
reclearlyde
ned
2.1.2.2
Effectivem
easuresa
reinplac
etopreve
contamina
tionfrom
neighboringprop
measures
areperiod
icallyrevi
ewed.
2.2Outs
ideGroun
ds
Thefacilitygr
oundsare
maintaine
dinaway
tha
adulteration.
Criti
calRequi
rements
2.2.1.1Equipmentstoredoutside
isp
harborag
e,tomake
theinspe
ct
protecteq
uipmentf
romdeter
2.2.1.2Litterandwasteare
remov
2.2.1.3Weedsandtallgrass
aren
2.2.1.4
Roads,yardsandparkin
befreeof
dust,stan
ding
contaminants.
Adequatedrainag
eisp
reas.
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.
-
8/13/2019 Grain Handling Eng HB Web
9/90
f
event
atcould
ndcontrol
led.
tprod
uct
rties.These
preventsfo
od
acedtoprev
entpest
onproces
seasier,andt
o
orationan
dcontami
nation.
dfromth
eproperty
.
tnearthe
building
.
areasare
maintaine
dto
aterandot
herpotent
ial
rovidedfo
rgrounds
,roofsan
d
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
2. Maintenance for Food Safety
3. Cleaning 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
-
8/13/2019 Grain Handling Eng HB Web
10/90
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
-
8/13/2019 Grain Handling Eng HB Web
11/90
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
-
8/13/2019 Grain Handling Eng HB Web
12/90
xii
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
-
8/13/2019 Grain Handling Eng HB Web
13/90
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.
-
8/13/2019 Grain Handling Eng HB Web
14/90
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.
-
8/13/2019 Grain Handling Eng HB Web
15/90
xv
# 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
-
8/13/2019 Grain Handling Eng HB Web
16/90
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
-
8/13/2019 Grain Handling Eng HB Web
17/90
xvii
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
-
8/13/2019 Grain Handling Eng HB Web
18/90
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.
-
8/13/2019 Grain Handling Eng HB Web
19/90
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.
-
8/13/2019 Grain Handling Eng HB Web
20/90
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
2. Maintenance for Food Safety
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
4. Integrated Pest Management
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
-
8/13/2019 Grain Handling Eng HB Web
21/90
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
-
8/13/2019 Grain Handling Eng HB Web
22/90
xxii
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.
-
8/13/2019 Grain Handling Eng HB Web
23/90
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
-
8/13/2019 Grain Handling Eng HB Web
24/90
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.
Critical Requirements
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.
Critical Requirements
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
-
8/13/2019 Grain Handling Eng HB Web
25/90
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.
Operational Methods and Personnel Practices3
-
8/13/2019 Grain Handling Eng HB Web
26/90
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.
4Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
27/90
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.
Critical Requirements
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.
Operational Methods and Personnel Practices5
-
8/13/2019 Grain Handling Eng HB Web
28/90
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.
Critical Requirements
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.
6Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
29/90
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.
Critical Requirements
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.
Operational Methods and Personnel Practices7
-
8/13/2019 Grain Handling Eng HB Web
30/90
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.
8Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
31/90
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.
Operational Methods and Personnel Practices9
-
8/13/2019 Grain Handling Eng HB Web
32/90
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.
10Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
33/90
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.
Operational Methods and Personnel Practices11
-
8/13/2019 Grain Handling Eng HB Web
34/90
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.
12Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
35/90
2. Maintenance for Food Safety
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
-
8/13/2019 Grain Handling Eng HB Web
36/90
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.
14Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
37/90
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.
Maintenance for Food Safety15
-
8/13/2019 Grain Handling Eng HB Web
38/90
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.
16Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
39/90
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.
Maintenance for Food Safety17
-
8/13/2019 Grain Handling Eng HB Web
40/90
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.
18Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
41/90
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.
Maintenance for Food Safety19
-
8/13/2019 Grain Handling Eng HB Web
42/90
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.
20Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
43/90
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.
Maintenance for Food Safety21
-
8/13/2019 Grain Handling Eng HB Web
44/90
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.
22Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
45/90
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.
Maintenance for Food Safety23
-
8/13/2019 Grain Handling Eng HB Web
46/90
The cleaning and sanitizing of equipment, utensils and buildingsto provide a wholesome and safe processing environment.
3. Cleaning Practices
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
-
8/13/2019 Grain Handling Eng HB Web
47/90
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.
26Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
48/90
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
-
8/13/2019 Grain Handling Eng HB Web
49/90
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.
28Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
50/90
4. Integrated Pest Management
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
-
8/13/2019 Grain Handling Eng HB Web
51/90
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
30Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
52/90
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.
Integrated Pest Management31
-
8/13/2019 Grain Handling Eng HB Web
53/90
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.
32Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
54/90
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.
Integrated Pest Management33
-
8/13/2019 Grain Handling Eng HB Web
55/90
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.
34Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
56/90
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.
Integrated Pest Management35
-
8/13/2019 Grain Handling Eng HB Web
57/90
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.
36Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
58/90
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.
Integrated Pest Management37
-
8/13/2019 Grain Handling Eng HB Web
59/90
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.
38Consolidated Standards for Inspection
-
8/13/2019 Grain Handling Eng HB Web
60/90
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.
Integrated Pest Management39
-
8/13/2019 Grain Handling Eng HB Web
61/90
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