U. S. DEPARTMENT OF AGRICULTURE Agricultural Marketing Service Dairy Programs Dairy Grading Branch DA INSTRUCTION 918-PS Instructions for DAIRY PLANT SURVEYS May 1, 2013 Edition U.S. DEPARTMENT OF AGRICULTURE DA INSTRUCTION NO. 918-PS Agricultural Marketing Service Dairy Programs Dairy Grading Branch 1400 Independence Ave., S. W. Washington, DC 20250-0230 INSTRUCTIONS FOR DAIRY PLANT SURVEYS This document has been prepared using all available, pertinent information. It has been reviewed by appropriate Washington, D.C. and field employees for accuracy and usefulness. All persuasive review comments have been incorporated. ISSUANCE HISTORY Initially Issued June 18, 1998 Revision of pages G-5 and G-6 October 24, 1998 Pages 4, 8, 18-28; Page A 19-22, 29-34, 44-49, 77-80 September 1, 1999 Page B 28, 34-35; Page C 5-8, 11, 17, 22-23 September 1, 1999 Page D 19, 31-42; Page K 11; Page W 20 September 1, 1999 Page Z entire section updated, Exhibits 4 & 5 added September 1, 1999 Pages B, C, D, K, W September 1, 1999 Page A December 2, 1999 Pages 1-40, Page Z January 13, 2000 Page D February 2, 2002 Page A December 26, 2002 Page M January 29, 2003 Page A January 5, 2004 Page B January 10, 2004 Page C January 13, 2004 Page G and Page K January 30, 2004 Page N18, and N25 January 31, 2004 Page W, Table of Contents, Index February 18, 2004 Section I-IV and Pages A, B, W March 3, 2008 Section II and Page M May 1, 2013 /s/ May 1, 2013 Ken Vorgert, Chief Date Dairy Grading Branch Comments on this Document AMS will continue to update and revise this guideline as additional information becomes available and as technologies and requirements change. If you would like to suggest revisions please send correspondence to: National Program Coordinator, Plant Surveys, Equipment and Facility Reviews USDA/AMS/Dairy Grading Branch Room 2746 - S 1400 Independence Ave., S. W. Washington, D.C. 20250-0230 Phone 202-720-3171 Fax 202-720-2643 You also may email suggestions and comments to the contact listed on our web page for Dairy Plant Surveys. The address is for our home page is: http://www.ams.usda.gov/DairyGrading. Table of Contents NOTICE TO INSPECTORS 25 General Instructions for Performing Dairy Plant Surveys . 25 I. Performance of Plant Surveys 27 A. Prerequisites to Performing Inspection. 27 B. Inspector's Apparel and Appearance . 28 C. Survey to Be Unannounced .......................................28 D. Arrangements with Management for the Inspection . 30 E. Extent of Survey Coverage .......................................30 F. Inspection requirements..........................................30 G. Requirements for Listing in The Approved Plant Book ...................30 H. Survey Frequency ..............................................31 I. Cursory Surveys ...............................................32 J. Procedure to Follow When a Multi-product Plant Has a Different Status for One or More Codes ....................................33 K. Short Term Follow-up Surveys (30 Days or Less) . 33 1. Caused by Category A or B Deficiencies . 33 2. Caused by Category C and D Deficiencies. 34 L. Long Term Follow-up Surveys (More than 30 Days) . 35 M. Survey Frequency for Drying Operations and Dry Products Packaging Operations Which Are Under the USDA Salmonella Surveillance Program . 35 N. Inspection Emphasis ............................................35 O. Grandfather Exemption for Plant Equipment . 36 Application I ...................................................37 Application II ..................................................37 1. The New Facility Is an Expansion or Remodeling of an Existing Building, or a New Building at the Same Site . 38 2. The New Facility Is at a New Site Separate from the Original Facility . 38 P. Safety Precautions in Plant Inspection Activities . 38 II. Preparation of the Survey Report 41 A. Show All Required Information on the Cover Page . 41 1. Applicant and Plant Surveyed................................41 2. Type of Plant ............................................41 3. Manager................................................41 4. Purpose of Survey ........................................41 Table of Contents - 5 February 18, 2008 DA INSTRUCTION NO. 918-PS 5. DP- ...................................................41 6. Date ...................................................42 7. Fee, Expense, and Lab ....................................42 8. USDA Inspector ..........................................42 B. Determine the Pages Required.....................................42 C. Use a Pencil to Prepare the Report .................................43 D. Satisfactory and Unsatisfactory Items . 44 1. Satisfactory Items ........................................44 2. Unsatisfactory Items.......................................44 3. Items That are Not Applicable to the Plant Being Surveyed . 44 4. Items not Checked this Survey...............................44 5. Items That Affect More Than One Code on Different Pages . 45 6. Items That do not Affect All the Codes on a Page . 46 E. Classification of Deficiencies Noted During the Survey . 46 1. Category - A (Classification - Critical) . 47 2. Category - B (Classification - Probable Contamination) . 47 3. Category - C (Classification - Potential Contamination) . 48 4. Category - D (Classification - Product Quality) . 48 5. Category - E (Classification - Environmental) . 49 6. Differentiation of classification levels . 49 F. Prepare Recommendations for Deficiencies Noted During the Survey . 50 G. Corrective Actions ..............................................51 H. Submit Reports Promptly to the National Field Office . 52 III. Assignment of Plant Status 53 A. Determination of Plant Status Is the Responsibility of the National Field Director or a Delegated Assistant . 53 B. Status Designations.............................................53 1. FULL STATUS .............................................53 2. APPROVED 6-MONTHS ......................................53 3. APPROVED 3-MONTHS ......................................53 4. PROBATIONARY 10-DAYS ....................................54 5. INELIGIBLE ...............................................55 6. NO STATUS ASSIGNED ......................................55 C. Plant with Previous Serious Deficiencies . 56 D. Plant Status Assignment Factors and Considerations . 56 Equipment Sanitation............................................57 1. Category A..............................................57 2. Category B..............................................57 3. Category C..............................................57 4. Category D..............................................58 5. Category E..............................................58 Product or Product Contact Surface Contamination . 58 1. Category A..............................................58 2. Category B..............................................59 3. Other Categories .........................................59 Table of Contents - 6 February 18, 2008 DA INSTRUCTION NO. 918-PS Processing Unwholesome Products.................................59 Other Concerns Affecting Plant Status . 60 E. Supervisory Review and Distribution of Report . 60 IV. Discussion of the Survey with Plant Management 61 A. Exit Interview ..................................................61 B. Plant Status Recommendation.....................................62 V. Guidelines for Performing Plant Inspections 63 Page A. Inspection of Raw Product Receiving, Storage, and Quality Program A-65 Receiving—Cans A-65 Item A1—Room Construction ...................................... A-65 A. Floors ................................................ A-65 B. Floor Drains ........................................... A-66 C. Walls, Partitions, Posts, & Ceilings . A-68 D. Doors & Windows....................................... A-68 E. Category Assignments ................................... A-69 Item A2—Lighting & Ventilation ..................................... A-70 A. Lighting .............................................. A-70 B. Ventilation ............................................ A-71 C. Condensation .......................................... A-72 D. Category Assignments ................................... A-72 Item A3—Pump, Pipelines, & Valves ................................. A-73 A. Weigh & Drop Tanks .................................... A-73 B. Pumps ............................................... A-74 C. Pipelines & Fittings...................................... A-75 D. Valves & Special Fittings ................................. A-78 E. Prefilters.............................................. A-79 F. Equipment Sanitation .................................... A-80 G. Compliance with the 3-A Sanitary Standards . A-80 Item A4—Can Washer............................................ A-81 Item A5—Condition of Producer Cans................................ A-82 Item A6—Milk Route Trucks ....................................... A-84 Item A7—Housekeeping .......................................... A-84 Receiving—Bulk A-86 Item A10—Room Construction ..................................... A-88 Item A11—Lighting & Ventilation .................................... A-89 Item A12—Pumps, Pipelines, & Valves . A-89 Item A13—Truck Tanks, Pumps, & Fittings . A-90 Item A14—Cleaning Facilities ...................................... A-91 Item A15—Housekeeping ......................................... A-91 Quality Program A-92 Item A18—Sight - Smell Grading.................................... A-92 Item A19—Raw Products Testing ..................................