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USDA GAP Audit Checklist
Section 1: Implementation Of A Food Safety Program
1. 1. Is a documented food safety program, which includes Good Agricultural Practices (GAP), implemented?
Yes
No
N/A
2. 2. Has the operation designated someone to implement and oversee an established food safety program?
Yes
No
N/A
Section 2: Traceability
1. 1. Is a documented traceability program established?
Yes
No
N/A
2. 2. Has the operation conducted a "mock recall" that has proven effective?
Yes
No
N/A
Section 3: Worker Health & Hygiene
1. 1. Is drinking water readily available to all workers?
Yes
No
N/A
2. 2. Do all employees and visitors to the location follow proper sanitation and hygiene practices?
Yes
No
N/A
3. 3. Is training provided to all staff on proper sanitation and hygiene practices?
Yes
No
N/A
4. 4. Do employees and visitors follow good hygiene/sanitation practices?
Yes
No
N/A
5. 5. Do employees who handle or package produce wash their hands before beginning or returning to work?
Yes
No
N/A
6. 6. Are readily understandable signs posted to instruct employees to wash their hands before beginning or returning to work?
Yes
No
N/A
7. 7. Are all toilet/restroom/field sanitation facilities clean and supplied with single-use towels, toilet paper, hand soap or antibacterial soap, and water for hand washing that meets the microbial standards for drinking water?
Yes
No
N/A
8. 8. Are all toilet/restroom/field sanitation facilities serviced and cleaned on a scheduled basis?
Yes
No
N/A
9. 9. Is smoking and eating confined to designated areas separate from where the product is handled?
Yes
No
N/A
10. 10. Are workers with diarrheal disease or symptoms of other infectious diseases prohibited from handling fresh produce?
Yes
No
N/A
11. 11. Is there a policy in place that describes procedures for handling/disposition of produce or food contact surfaces that have come into contact with blood or other bodily fluids?
Yes
No
N/A
12. 12. Are workers instructed to seek prompt treatment with clean first aid supplies for cuts, abrasions, and other injuries?
Yes
No
N/A
13. 13. Are company personnel or contracted personnel who apply regulated pre-harvest and/or post-harvest materials licensed?
Yes
No
N/A
14. 14. Are company personnel or contracted personnel applying non-regulated materials trained on their proper use?
Yes
No
N/A
Section 4: Water Usage
1. 1. What is the source of irrigation water?
Excellent
Good
Average
Poor
At Risk
2. 2. How are crops irrigated?
Ok
Needs Repair
N/A
Repaired
3. 3. Is a water quality assessment performed to determine the quality of water used for irrigation purposes on the crop(s) applied?
Yes
No
N/A
4. 4. Is a water quality assessment performed to determine the quality of water used for chemical application or fertigation methods?
Yes
No
N/A
5. 5. If necessary, are steps taken to protect irrigation water from potential direct and non-point source contamination?
Yes
No
N/A
Section 5: Sewage Treatment
1. 1. Is the farm sewage treatment system/septic system functioning properly, with no evidence of leaking or runoff?
Yes
No
N/A
2. 2. Is there no municipal/commercial sewage treatment facility or waste material landfill adjacent to the farm?
Yes
No
N/A
Section 6: Animals/Wildlife/Livestock
1. 1. Are crop production areas not located near or adjacent to dairy, livestock, or fowl production facilities unless adequate barriers exist?
Yes
No
N/A
2. 2. Are manure lagoons located near or adjacent to crop production areas maintained to prevent leaking/overflowing, or are measures taken to stop runoff from contaminating the crop production areas?
Yes
No
N/A
3. 3. Is manure stored near or adjacent to crop production areas contained to prevent contamination of crops?
Yes
No
N/A
4. 4. Are measures taken to restrict access of livestock to the source or delivery system of crop irrigation water?
Yes
No
N/A
5. 5. Are crop production areas monitored for the presence or signs of wild or domestic animals entering the land?
Yes
No
N/A
6. 6. Are measures taken to reduce the opportunity for wild and domestic animals to enter crop production areas?
Yes
No
N/A
Section 7: Animal-based Soil Amendments And Municipal Biosolids - Option A: Untreated Animal-based Soil Amendments
1. 1. Is untreated animal-based soil amendments, when applied, incorporated at least 2 weeks before planting and a minimum of 120 days before harvest?
Yes
No
N/A
2. 2. Are untreated animal-based soil amendments not used on commodities that are harvested within 120 days of planting?
Yes
No
N/A
3. 3. If both untreated and treated animal-based soil amendments are used, is the treated animal-based soil amendment properly treated, composted, or exposed to reduce the expected levels of pathogens?
Yes
No
N/A
4. 4. Are animal-based soil amendments properly stored before use?
Yes
No
N/A
Section 8: Animal-based Soil Amendments And Municipal Biosolids - Option B: Treated Or Composted Animal-based Soil Amendments/ Treated Biosolids
1. 1. Are only treated or composted animal-based soil amendments and/or treated biosolids used as a soil amendment?
Yes
No
N/A
2. 2. Are treated or composted animal-based soil amendments and treated biosolids properly treated, composted, or exposed to environmental conditions that would lower the expected level of pathogens?
Yes
No
N/A
3. 3. Are treated or composted animal-based soil amendments and treated biosolids properly stored and protected to minimize recontamination?
Yes
No
N/A
4. 4. Are analysis reports available for treated or composted animal-based soil amendments and treated biosolids?
Yes
No
N/A
Section 9: Animal-based Soil Amendments And Municipal Biosolids - Option C: No Animal-based Soil Amendments/Biosolids Used
1. 1. Are no animal-based soil amendments or municipal biosolids used?
Yes
No
N/A
Section 10: Soils
1. 1. Is a previous land use risk assessment performed?
Yes
No
N/A
2. 2. When previous land use history indicates a possibility of contamination, are preventive measures taken to mitigate the known risks? Are soils tested for contaminants, and is the land use commensurate with the test results?
Yes
No
N/A
3. 3. Are crop production areas subjected to flooding tested for potential microbial hazards?
Yes
No
N/A
Section 11: Traceability
1. 1. Is each production area identified or coded to enable traceability in the event of a recall?
Yes
No
N/A
Section 12: Field Sanitation And Hygiene
1. 1. Is a documented pre-harvest assessment made on the crop production areas, where risks and possible sources of crop contamination are noted and assessed?
Yes
No
N/A
2. 2. Do the number, condition, and placement of field sanitation units comply with applicable state and federal regulations?
Yes
No
N/A
3. 3. If the above question is answered: "N/A" (sanitation units are not required), is a toilet facility readily available for all workers?
Yes
No
N/A
4. 4. Are field sanitation units located in a location that minimizes the potential risk for product contamination and are they directly accessible for servicing?
Yes
No
N/A
5. 5. Is there a response plan in place for the event of a major spill or leak in field sanitation units or toilet facilities?
Yes
No
N/A
Section 13: Field Harvesting And Transportation
1. 1. Are all harvesting containers and bulk hauling vehicles that come in direct contact with products cleaned and/or sanitized on a scheduled basis and kept as clean as practicable?
Yes
No
N/A
2. 2. Are all hand harvesting equipment and implements (such as knives, pruners, machetes, etc.) kept as clean as practical and disinfected on a scheduled basis?
Yes
No
N/A
3. 3. Are damaged containers properly repaired or disposed of?
Yes
No
N/A
4. 4. Is harvesting equipment and/or machinery that comes into contact with the product in good repair?
Yes
No
N/A
5. 5. Are light bulbs and glass on harvesting equipment protected to prevent contamination of produce or fields in the case of breakage?
Yes
No
N/A
6. 6. Are there standard operating procedures or instructions for handling glass/plastic breakage and possible contamination during harvesting operations?
Yes
No
N/A
7. 7. Are there standard operating procedures or instructions for handling product contamination by chemicals, petroleum, pesticides, or other contaminating factors?
Yes
No
N/A
8. 8. For mechanically harvested products, are measures taken during harvest to inspect for and remove foreign objects such as glass, metal, rocks, or other dangerous/toxic items?
Yes
No
N/A
9. 9. Are harvesting containers, totes, etc., not used for carrying or storing non-produce items during the harvest season, and are farm workers instructed in this policy?
Yes
No
N/A
10. 10. Does water applied to harvested products meet the microbial standards for drinking water?
Yes
No
N/A
11. 11. Are efforts made to remove excessive dirt and mud from products and/or containers during harvest?
Yes
No
N/A
12. 12. Is transportation equipment used to move product from field to storage areas or storage areas to processing plants, which comes into contact with the product, clean and in good repair?
Yes
No
N/A
13. 13. Is there a policy in place and has it been implemented to cover harvested products during transportation from the field to storage areas or processing plants?
Yes
No
N/A
14. 14. Are only new or sanitized containers used for packing the product in ranch or field pack operations?
Yes
No
N/A
15. 15. Are packing materials used in ranch or field pack operations properly stored and protected from contamination?
Yes
No
N/A
16. 16. Is the product moving out of the field uniquely identified to enable traceability in the event of a recall?
Yes
No
N/A
Section 14: Receiving
1. 1. Is the product delivered from the field and held in a staging area before packing or processing protected from possible contamination?
Yes
No
N/A
2. 2. Before packing, is the product properly stored and/or handled to reduce possible contamination?
Yes
No
N/A
Section 15: Washing/Packing Line
1. 1. Does the source water used in the packing operation meet the microbial standards for drinking water?
Yes
No
N/A
2. 2. If applicable, is the temperature of processing water used in dump tanks, flumes, etc., monitored and kept at temperatures appropriate for the crop?
Yes
No
N/A
3. 3. Is the processing water adequately treated to reduce microbial contamination?
Yes
No
N/A
4. 4. Are water-contact surfaces, such as dump tanks, flumes, wash tanks, and hydro coolers, cleaned and/or sanitized on a scheduled basis?
Yes
No
N/A
5. 5. Is water treatment, including strength levels and pH, and exposure time monitored, and has the facility demonstrated that it is appropriate for the product?
Yes
No
N/A
6. 6. Are food contact surfaces in good condition, cleaned and/or sanitized before use, and are cleaning logs maintained?
Yes
No
N/A
7. 7. Are product flow zones protected from sources of contamination?
Yes
No
N/A
8. 8. Does the water used for cooling and/or making ice meet the microbial standards for drinking water?
Yes
No
N/A
9. 9. Is any ice used for cooling produce manufactured, transported, and stored under sanitary conditions?
Yes
No
N/A
Section 16: Packing House Worker Health & Hygiene
1. 1. Are employee facilities (locker rooms, lunch, and break areas, etc.) clean and located away from the packing area?
Yes
No
N/A
2. 2. If there is a written policy regarding the use of hair nets/beard nets in the production area, is it followed by all employees and visitors?
Yes
No
N/A
3. 3. If there is a written policy regarding the wearing of jewelry in the production area, is it followed by all employees and visitors?
Yes
No
N/A
Section 17: Packing House General Housekeeping
1. 1. Are only food-grade approved and labeled lubricants used in the packing equipment/machinery?
Yes
No
N/A
2. 2. Are chemicals not approved for use on products stored and segregated away from the packing area?
Yes
No
N/A
3. 3. Are the plant grounds reasonably free of litter and debris?
Yes
No
N/A
4. 4. Are the plant grounds reasonably free of standing water?
Yes
No
N/A
5. 5. Are outside garbage receptacles/dumpsters closed or located away from packing facility entrances, and is the area around such sites reasonably clean?
Yes
No
N/A
6. 6. Are packing facilities enclosed?
Yes
No
N/A
7. 7. Is the packing facility interior clean and maintained in an orderly manner?
Yes
No
N/A
8. 8. Do floor drains appear to be free of obstructions?
Yes
No
N/A
9. 9. Are pipes, ducts, fans, and ceilings over food handling operations clean?
Yes
No
N/A
10. 10. Are glass materials above product flow zones contained in case of breakage?
Yes
No
N/A
11. 11. Is possible wastewater spillage prevented from contaminating any food handling area by barriers, drains, or a sufficient distance?
Yes
No
N/A
12. 12. Is there a policy describing procedures that specify the handling/disposition of finished product that is opened, spilled, or comes into contact with the floor?
Yes
No
N/A
13. 13. Are only new or sanitized containers used for packing the product?
Yes
No
N/A
14. 14. Are pallets and containers clean and in good condition?
Yes
No
N/A
15. 15. Are packing containers properly stored and protected from contamination, such as birds, rodents, and other pests?
Yes
No
N/A
Section 18: Pest Control
1. 1. Are measures taken to exclude animals and pests from packing and storage facilities?
Yes
No
N/A
2. 2. Is there an established pest control program for the facility?
Yes
No
N/A
3. 3. Are service reports for the pest control program available for review?
Yes
No
N/A
4. 4. Are the interior walls, floors, and ceilings well-maintained and free of major cracks and crevices?
Yes
No
N/A
Section 19: Traceability
1. 1. Are records kept to document the source of incoming products and the destination of outgoing products, with unique identification enabling traceability?
Yes
No
N/A
Section 20: Product, Containers & Pallets
1. 1. Is the storage facility cleaned and maintained in an orderly manner?
Yes
No
N/A
2. 2. Are bulk storage facilities inspected for foreign material before use, and are records maintained for these inspections?
Yes
No
N/A
3. 3. Are storage rooms, buildings, and/or facilities sufficiently sealed or isolated to protect them from external contamination?
Yes
No
N/A
4. 4. Are storage grounds reasonably free of litter and debris?
Yes
No
N/A
5. 5. Are floors in storage areas reasonably free of standing water?
Yes
No
N/A
6. 6. Is possible wastewater spillage prevented from contaminating any food handling area through the use of barriers, drains, or sufficient distance?
Yes
No
N/A
7. 7. Is there a policy describing procedures for handling/disposition of finished product that is opened, spilled, or comes into contact with the floor?
Yes
No
N/A
8. 8. Are packing containers properly stored and sufficiently sealed to protect them from contamination by birds, rodents, pests, and other contaminants?
Yes
No
N/A
9. 9. Are pallets, pallet boxes, tote bags, portable bins, etc., clean and in good condition, ensuring they do not contribute foreign material to the product?
Yes
No
N/A
10. 10. Is the product stored outside in totes, trucks, bins, or other containers, or on the ground in bulk covered and protected from contamination?
Yes
No
N/A
11. 11. Are non-food grade substances such as paints, lubricants, pesticides, etc., not stored in close proximity to the product?
Yes
No
N/A
12. 12. Is mechanical equipment used during the storage process clean and maintained to prevent contamination of the product?
Yes
No
N/A
Section 21: Pest Control
1. 1. Are measures taken to exclude animals and pests from storage facilities?
Yes
No
N/A
2. 2. Is there an established pest control program for the facility?
Yes
No
N/A
3. 3. Are service reports for the pest control program available for review?
Yes
No
N/A
4. 4. Are interior walls, floors, and ceilings well-maintained and free of major cracks and crevices?
Yes
No
N/A
Section 22: Ice & Refrigeration
1. 1. Does the water used for cooling, humidity control, and/or making ice meet the microbial standards for drinking water?
Yes
No
N/A
2. 2. Are manufacturing, storage, and transportation facilities used in making and delivering ice for sanitizing the product sanitized?
Yes
No
N/A
3. 3. Are climate-controlled rooms monitored for temperature, and are logs maintained?
Yes
No
N/A
4. 4. Are thermometer(s) checked for accuracy, and are records available for review?
Yes
No
N/A
5. 5. Is temperature control equipment condensation prevented from coming in contact with produce?
Yes
No
N/A
6. 6. Are refrigeration equipment (condensers, fans, etc.) and dehumidifiers cleaned on a scheduled basis?
Yes
No
N/A
7. 7. Is iced product prevented from dripping on pallets of produce stored below?
Yes
No
N/A
Section 23: Transportation
1. 1. Before the loading process, are conveyances required to be clean, in good physical condition, and free from disagreeable odors, and obvious dirt/debris?
Yes
No
N/A
2. 2. Are produce items not loaded with potentially contaminating products?
Yes
No
N/A
3. 3. Does the company have a written policy for transporters and conveyances to maintain a specified temperature(s) during transit?
Yes
No
N/A
4. 4. Are conveyances loaded in a manner that minimizes damage to the product?
Yes
No
N/A
Section 24: Worker Health And Personal Hygiene
1. 1. Are employee facilities (such as locker rooms, lunch and break areas, etc.) clean and located away from storage, shipping, and receiving areas?
Yes
No
N/A
2. 2. Is the written policy regarding the use of hair/beard nets in the storage and transportation areas being followed by all affected employees and visitors?
Yes
No
N/A
3. 3. Is the written policy restricting the wearing of jewelry in the storage and transportation areas being followed by all affected employees and visitors?
Yes
No
N/A
Section 25: Traceability
1. 1. Are records kept regarding the source of incoming products and the destination of outgoing products, which are uniquely identified to enable traceability?
Yes
No
N/A
Section 26: Secure Employee/Visitor Procedures
1. 1. Does the company have a documented food defense plan, and has a person been designated to oversee it?
Yes
No
N/A
2. 2. Has food defense training been provided to all employees?
Yes
No
N/A
3. 3. Are employees aware of whom in management they should contact about potential security problems/issues?
Yes
No
N/A
4. 4. Are visitors required to check in (showing proof of identity) and out when entering/leaving the facility?
Yes
No
N/A
5. 5. Is the purpose of visitation to the site verified before admittance to the facility?
Yes
No
N/A
6. 6. Are visitors prohibited from the packing/storage areas unless accompanied by an employee?
Yes
No
N/A
7. 7. Are incoming and outgoing employee and visitor vehicles subject to inspection?
Yes
No
N/A
8. 8. Do parked vehicles belonging to employees and visitors display a decal or placard issued by the facility?
Yes
No
N/A
9. 9. Is staff prohibited from bringing personal items into the handling or storage areas?
Yes
No
N/A
10. 10. Is staff access in the facility limited to the area of their job function and unrestricted areas?
Yes
No
N/A
11. 11. Is management aware of which employees are on the premises and the area they are assigned to?
Yes
No
N/A
12. 12. Is a system of identification of employees established and enforced?
Yes
No
N/A
Section 27: Secure Facility Procedures
1. 1. Are uniforms, name tags, or identification badges collected from employees before the termination of employment?
Yes
No
N/A
2. 2. Is the mailroom located away from the packing/storage facilities?
Yes
No
N/A
3. 3. Is computer access restricted to specific personnel?
Yes
No
N/A
4. 4. Is a system of traceability of computer transactions established?
Yes
No
N/A
5. 5. Is a minimum level of background checks established for all employees?
Yes
No
N/A
6. 6. Are routine security checks of the premises performed for signs of tampering, criminal, or terrorist activity?
Yes
No
N/A
7. 7. Is the perimeter of the facility secured by fencing or other deterrent?
Yes
No
N/A
8. 8. Are checklists used to verify the security of doors, windows, and other points of entry?
Yes
No
N/A
9. 9. Are all keys to the establishment accounted for?
Yes
No
N/A
10. 10. Does the facility have an emergency lighting system?
Yes
No
N/A
11. 11. Is the facility enclosed?
Yes
No
N/A
12. 12. Are storage or vehicles/containers/trailers/railcars that are not being used kept locked?
Yes
No
N/A
13. 13. Have delivery schedules been established?
Yes
No
N/A
14. 14. Is the off-loading of incoming materials supervised?
Yes
No
N/A
15. 15. Does the organization have an established policy for rejecting deliveries?
Yes
No
N/A
16. 16. Are unauthorized deliveries not accepted?
Yes
No
N/A
17. 17. Does the company not accept returned (empty) containers for packing products unless they are sanitized containers intended for reuse?
Yes
No
N/A
18. 18. Has the company identified the individual(s), with at least one backup, who is responsible for recalling the product?
Yes
No
N/A
19. 19. Has the company performed a successful mock recall of the product to the facility?
Yes
No
N/A
20. 20. Is product imported from outside the United States segregated from domestic products?
Yes
No
N/A
21. 21. Are allergens handled by the facility segregated from products to avoid cross-contamination?
Yes
No
N/A
22. 22. Are floor plans, product flow plans, and/or segregation charts kept in a secure location?
Yes
No
N/A
23. 23. Is the organization registered with the FDA, and is a registration number issued?
Yes
No
N/A
Section 28: Active And Effective Traceability And Recall Program
1. 1. Are all questions about the traceability and recall program scored as "Yes"?
Yes
No
N/A
2. 2. Is the USDA GAP logo used only on packages, containers, or consumer units that are traceable?
Yes
No
N/A
Section 29: Approved Suppliers
1. 1. Has the operation supplied a list of approved suppliers to the local Federal or State auditor's office?
Yes
No
N/A
2. 2. Are all suppliers currently in use by the operation listed on the supplied list of approved suppliers?
Yes
No
N/A
3. 3. Have all suppliers successfully completed and met the requirements of a USDA-approved GAP audit (such as USDA GAP, Commodity Specific Audit, USDA Harmonized GAP Audit, or USDA Harmonized GAP Plus+ Audit)?
Yes
No
N/A
Section 30: Food Safety Plan Or Quality Manual
1. 1. Does the operation's food safety plan or quality manual contain procedures on how the USDA GAP logo will be used?
Yes
No
N/A
2. 2. Is there a designated person responsible for the control of inventory bearing the logo?
Yes
No
N/A
Section 31: Containers Or Labels With GAP Logo
1. 1. Are all packaging or labels bearing the GAP logo accountable items?
Yes
No
N/A
2. 2. Is the operation's inventory list of these packaging or labels maintained and current?
Yes
No
N/A
3. 3. Is the logo only used on packaging and labels that are clean and bright in appearance, without marks, stains, or other evidence of previous use?
Yes
No
N/A
4. 4. Is the logo only used on products, processes, and packaging as approved on the SC-652?
Yes
No
N/A