Organic System Plan
Processor/Handler
Office Use Only
Received:
Use this form if you are processing organic product(s). Processing: Cooking, baking, curing, heating, drying, mixing, grinding,
churning, separating, extracting, slaughtering, cutting, fermenting, distilling, eviscerating, preserving, dehydrating, freezing, chilling, or
otherwise manufacturing and includes the packaging, canning, jarring or otherwise enclosing food in a container. If you are not
processing, but are marketing, trading, brokering, and/or distributing organic products you must complete the Organic System Plan for
Marketer-Trader-Broker-Distributor/Handler.
Attach Organic Product Profiles for all products requested for certification. Use additional sheets if necessary. If you are a new
applicant, attach a completed General Information form. Do not leave any applicable sections blank. Write “none” or “not applicable”
where appropriate. Remember to sign this form. Section numbers refer to National Organic Program regulations (7 CFR, Part 205).
SECTION 1: General Information
§205.201
Today’s Date:
Company Name:
Address:
City:
State:
Zip code:
Primary contact person:
Direct phone number including extension for primary contact:
List names, job titles, phone numbers of all persons authorized to discuss certification matters with PCO:
Legal Status: Sole Proprietor
Other (specify):
Partnership
Business Corporation
Non-profit Corporation
Trust or association
Please check any of the following countries to which you intend to export organic products in the next 18 months:
Canada
European Union
Taiwan
Japan
If you intend to export any of your organic products to Canada, the European Union, Taiwan or Japan complete Section 12 of this
form.
List all products requested for organic certification. Attach an Organic Product Profile for each product.
Product Name
Brand name
Co-Pack or own company product?
List or attach a list of all products (organic and conventional) produced by your company not included in the above list of
products seeking certification:
Pennsylvania Certified Organic • 106 School Street, Suite 201 • Spring Mills, PA 16875
(814) 422-0251 • fax (814) 422-0255 • www.paorganic.org • [email protected]
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If you are a co-packer, complete table below for those who contract your organic processing services:
No co-packing for others
Contract Vendor
Address
Phone No.
Certified by
If you use co-packers, list names and their certifiers:
Co-Packer
Do not use co-packers
Address
Phone No.
Certified by
SECTION 2: Ingredients and Processing Aids
§205.301
See §205.301 for composition requirements pertaining to your final proposed product label claim. Salt and water are excluded from
organic percentage calculations. Genetic modification, ionizing radiation, and sewage sludge must not be used in the production of
any ingredients or processing aids.
A. INGREDIENTS:
Fill out the enclosed Organic Product Profiles for each organic product requested for certification.
B. WATER AND STEAM:
Water must meet potable water standards. For products that use culinary steam, boiler additives must not contaminate the organic
products.
1. Check ways water is used in processing:
Ingredient
Processing aid
Cleaning equipment
2. Source of water:
Cooling
Product transport
Cleaning organic products
Other(specify):
Municipal
3. Is the water potable?
Cooking
None used
Yes
On-site well
No
Other(specify):
Attach copy of water test, if applicable.
4. List any known water contaminants:
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5. What on-site water treatment processes are used?
None used
6. Is culinary steam used in the processing of organic products?
Yes
If steam has direct contact with organic products, do you use:
Steam filters
Condensate traps
Testing of condensate
No
No direct contact
Testing of finished products
Other(specify):
*List products used as boiler additives on the enclosed Materials Used in Organic System – Processor form.
SECTION 3: Production System
§205.272
Procedures, processes, storage and equipment must not present contamination risk to organic products from co-mingling with other
non-organic products, sanitation products, pest management products or prohibited materials. Procedures used to maintain organic
integrity must be documented.
A. PRODUCT FLOW:
Attach a schematic product flow chart that shows where and how the product is received, stored, processed, packaged,
and warehoused, identifying all pieces of equipment, storage areas and where ingredients are added or processing aids
used.
B. EQUIPMENT
7. List all equipment used in processing:
Name of equipment
Capacity
How is it cleaned prior to organic production runs?
Is cleaning
documented?
*If equipment is purged, list and describe purge procedures, quantities purged, and documentation:
ORGANIC CONTROL POINTS: (OCP’S), similar to Hazard Analysis Critical Control Points (HACCP), are points in the production
system where the integrity of the organic product may be compromised. Examples are co-mingling with non-organic products,
contamination by sanitizers or pesticides, and improper cleaning of equipment prior to running organic products.
8.
Do you have an Organic Control Point program in place to address areas of potential contamination?
If yes, enclose a copy of your Organic Control Point program.
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Yes
No
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Organic System Plan – Processor/Handler
SECTION 4: Audit Control System
§205 .103
Audit control records must track finished organic products back to all ingredients. Ingredients must be verified as certified organic
and you must have certificates on file for the inspector. Amounts of organic finished products must balance with certified organic
ingredients purchased. All relevant documents must clearly identify products as “organic.”
9.
Which of the following do you use to track organic products at this operation:
Incoming:
Purchase orders
Contracts
Invoices
Receipts
Bills of lading
Customs forms
Scale tickets
Quality test results
Certificates of Analysis
Transaction Certificates
Copies of Organic Certificates
Receiving records
Receiving summary log (12 mos.)
Other (specify):
In process:
Ingredient inspection forms
Blending reports
Production reports
Sanitation logs
Packaging reports
Quality Assurance reports
Production summary records (12 mos.)
Equipment cleanout logs
Other (specify):
Storage:
Ingredient inventory reports
Finished product inventory reports
Other (specify):
Outgoing:
Shipping logs
Sales invoices
Other (specify):
10. Do you utilize a lot coding system?
If yes, describe:
Yes
No
11. Describe how you monitor the effectiveness of your Audit Control System:
12. How often do you conduct Audit Control System monitoring?
Weekly
Monthly
Annually
As needed
Other (specify):
SECTION 5: Quality Assurance
13. Do you have a Quality Assurance (QA) program in place?
If no, skip Section 5
If yes, what program do you use?
HACCP
TQM
Other (specify):
Yes
No
14. Are any outside quality assessment services used (e.g., AIB)?
If yes, name of company:
Yes
No
Yes
No
15. Product testing: (check all applicable categories)
Ingredients prior to purchase
Ingredients upon receipt
16. Are ingredient samples retained?
If yes, how long?
17. Are finished product samples retained?
If yes, how long?
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During production
Finished product
Yes
No
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18. Do you have a product recall system in place?
Yes
No
19. Describe how you monitor the effectiveness of your Quality Assurance System:
20. How often do you conduct Quality Assurance Monitoring?
Weekly
Monthly
Annually
As needed
Other (specify):
SECTION 6: Cleaning and Sanitation
Good sanitation practices must be used throughout the facility and residues from cleaning materials must not contaminate organic
products.
21. Check all cleaning methods used:
Sweeping
Scraping
Steam cleaning
Vacuuming
Sanitizing
Compressed air
Manual washing
Clean in place (CIP)
Other (specify):
22. Describe your cleaning program:
*List all cleansers/sanitizers on enclosed Materials Used in Organic System – Processor form.
23. What are the surfaces that contact organic products made of?
Stainless steel
Other(specify):
24. What method(s) do you use to prevent contamination of the organic products from residue leftover from the sanitizers
used on food contact surfaces?
Test for sanitizer residue. Describe method:
Final water rinse
Other (specify):
25. Where are cleaning/sanitizing materials stored?
*Make sure to add all sanitizers used to the Materials Used Form-Processor.
26. Describe how you monitor the effectiveness of your sanitation program:
27. How often do you conduct Sanitation program monitoring?
Weekly
Monthly
Annually
As needed
Other (specify):
*Make sure to have your standard operating procedure for sanitization available at inspection.
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SECTION 7: Pest Management
§ 205.271
Complete this section to describe pest control practices and materials used in any facility where organic products are
produced and/or stored, including but not limited to storage areas, loading docks, warehouses and packing areas.
28. What type of facility pest management system(s) do you use?
In-house: name of responsible person:
Contracted pest control service (name, phone no.):
29. Check all facility pest problems you generally have:
Flying insects
Crawling insects
Spiders
Birds
Rats
Mice
Other(specify):
30. Check all pest management practices you use. *Note: All materials used for facility pest management must be listed on
your Materials Used Form.
Removal of exterior habitat/food sources
Screened windows, vents, etc.
Air curtains/air showers
Positive air pressure in facility
Ingredient inspection for pests
Inspection zones around interior perimeter
Ultrasound/light devices
Release of beneficials
Pheromone traps
Mechanical traps
Freezing treatments
Heat treatments
Good sanitation
Cleanup of spilled product
Mowing
Physical barriers
Monitoring devices
Repair of holes, cracks, etc.
Sticky traps
Nitrogen
Electrocutors
Vacuum treatments
Carbon dioxide
Non-synthetic substances consistent with
the National List (e.g. pyrethrum)
Synthetic substance consistent with the
National List (e.g. vitamin D3 bait)
Synthetic substance NOT on the National
List (e.g. most commercially available rodent
bait)*
Other (specify):
* If you want to use a synthetic substance not on the National List you must receive authorization from PCO prior to use.
31. Describe monitoring, including frequency, used to determine effectiveness of management practices above:
32. If pest control materials are used where are they stored?
33. What records do you maintain to document pesticide use and measures taken to prevent contamination of organic
ingredients, finished organic product, and/or packaging materials?
*Attach facility map showing location of pest traps and monitoring devices.
Map Attached
SECTION 8: Packaging and Labeling
§205.301, §205.303
Packaging materials must be free of prohibited substances and must not contaminate the organic product. Organic product labels
must meet National Organic Program labeling requirements.
A. PACKAGING:
34. Check types of packaging material used:
Bulk
Paper
Natural fiber
Cardboard
Synthetic fiber
Wood
Glass
Metal
Foil
Plastic
Waxed paper
Aseptic
Other(specify):
35. Are all packaging materials food grade?
Yes
No
36. Are all packaging materials free of prohibited materials?
Yes
No
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37. Are packaging materials returnable?
Yes
No
38. Do you use or plan to use the PCO logo on the label?
Yes
No
39. Do you intend to use the USDA Organic seal on the label?
Yes
No
40. Are you using any labels for exported products?
Yes
No
If yes, how are they cleaned?
B. LABELING:
Attach samples of all organic product labels and identify whether the labels are for retail or non-retail use.
Retail labels must identify the certifying agent.
If yes, submit labels, including private labels or contracted production labels.
SECTION 9: Storage
No co-mingling or contamination of organic products must occur during storage. All storage sites must be properly documented and
organic products clearly identified in storage. Off-site storage areas may need to be inspected and certified.
STORAGE INFORMATION:
Use
Dedicated organic?
Type/
capacity
Where Stored?
Yes
No
Identification
Ingredient
storage
Packaging material
storage
In-process
storage
Finished product
storage
Off-site
storage*
* If there is off-site storage, give name, address, phone number and contact person:
SECTION 10: Transportation of Organic Products
The integrity of organic products must be preserved during transport.
A.
INCOMING AND FINISHED PRODUCTS
41. In what forms are incoming ingredients or products received?
Dry bulk
Liquid bulk
Cardboard drums
Tote bags
Cardboard cases
Tote boxes
Plastic crates
Paper bags
Foil bags
Metal drums
Mesh bags
Metal drums
Mesh bags
Other (specify):
42. In what form are finished products shipped out?
Dry bulk
Liquid bulk
Cardboard drums
Tote bags
Cardboard cases
Tote boxes
Plastic crates
Paper bags
Foil bags
Other (specify):
43. How are incoming ingredients or products transported?
44. How are outgoing products transported?
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45. Do you arrange incoming ingredient or product transportation?
Yes
No
46. Do you arrange outgoing product transportation?
Yes
No
47. How do you ensure that inbound/outgoing transport units are clean prior to loading organic products?
Is this documented with Clean Truck Affidavits?
N/A
Yes
No
48. Are transport units used to carry any prohibited materials or non-organic ingredients or products?
Incoming:
Yes
No
Don’t know
Outgoing:
Yes
No
Don’t know
49. Have transport companies been notified of organic handling requirements?
Incoming:
Yes
No
Outgoing:
Yes
No
50. Are organic products shipped at the same time as non-organic in the same transport units?
Incoming:
Yes
No
Outgoing:
Yes
No
51. Check steps taken to segregate organic products:
Dedicated organic only
Other (specify):
B.
Use of pallets
Pallet tags
Organic product shrink-wrapped
Separate area in transport unit
IN-PROCESS:
52. How are the in-process products transported?
53. How do you ensure that in-process transport units are clean prior to loading organic products?
Is this documented with Clean Truck Affidavits?
C.
Yes
No
Yes
No
MONITORING:
54. Describe how you monitor the effectiveness of your Organic Transportation Plan:
55. How often do you conduct Organic Transport monitoring?
Weekly
Monthly
Annually
As needed
Other (specify):
SECTION 11: Waste Management
56. Will any waste products from certified organic ingredients be sold as certified organic?
If yes, complete Organic Product Profile for each product.
57. Check all aspects of your waste management system that apply:
On-site dumpster
Daily pickup of waste
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Material recycling
Sediment ponds
Water recycling
Water filtering
Field application of waste
Smokestack filters
Composting
Other (specify):
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SECTION 12: International Export: Japan, Taiwan, the Europeam Union, Canada
Please provide the following information even if you do not currently intend to export any organic products to Canada,
European Union, Taiwan, or Japan in order for PCO to review this information. This will expedite any export verification
needs you or your customers may have in the future. However, this information is not required for your Organic System
Plan to be considered complete.
A. CANADA
N/A
58. Have all ingredients been verified as compliant to NOP/Canada Arrangement?
Yes
No
59. Are you using any labels for products exported to Canada other than labels already approved by PCO?
If yes, attach labels for PCO to review.
*Note: The 100% Organic Label is not permitted in Canada. Labels must be bilingual (English and French).
Yes
No
Product Names Requested to
Ship to Canada
Brand Name
Co-pack or Own
Company Product?
Projected Volume to Export to
Canada
B. EUROPEAN UNION
N/A
60. Are you using any labels for products exported to the European Union other than labels already approved by PCO?
* Note: The 100% Organic Label is not permitted in the European Union.
Yes
No
If yes, attach labels for PCO to review.
Product Names Requested to
Ship to the European Union
Brand Name
Co-pack or Own
Company Product?
Projected Volume to Export to
European Union
C. TAIWAN
N/A
61. Are any products intended for export produced using any materials prohibited by the NOP National List?
Yes
No
If yes, list.
62. Do you have verification from ingredient suppliers that no materials prohibited by the NOP National List were used in
the production of the supplied ingredients?
Yes
No
63. If livestock products are used in the product exported to Taiwan, do you have verification from the ingredient supplier
that systemic painkillers or analgesics, including Lidocaine or Procaine were not used in the animals’ management?
Yes
No
N/A no animal products used in products exported to Taiwan
Product Names Requested to Ship
to Taiwan
Brand Name
Co-pack or Own
Company Product?
Projected Volume to Export to
Taiwan
D. JAPAN
64. Do you have verification from ingredient suppliers that the following inputs were not used in the ingredients
N/A
production?
a. Alkali-extracted humic acid?
Yes
No
b. Lignin sulfonate (used as a flotation agent)?
Yes
No
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65. Does your facility use the following inputs in the products to be exported to Japan?
a. Alkali-extracted humic acid?
Yes
No
b. Lignin sulfonate (used as a flotation agent)?
Yes
No
Product Names Requested to Ship
to Japan
Brand Name
Co-pack or Own
Company Product?
Projected Volume to Export to
Japan
SECTION 13: “PCO 100% Grassfed” Certification
We are not requesting “PCO 100% Grassfed” Certification
66. List the livestock products requested for “PCO 100% Grassfed” certification:
67. Describe how you prevent commingling of certified and non-certified “PCO 100% Grassfed” livestock products:
68. Do you label any products “PCO 100% Grassfed”?
If yes, you must complete the grassfed section on the Organic Product Profile for each product.
YES
NO
69. Do you use the “PCO Grassfed” seal?
YES
NO
70. Does your organic recordkeeping system address the additional requirements of the “PCO 100% Grassfed” standard?
YES
NO
If not, what additional records are kept to ensure compliance with the “PCO 100% Grassfed” standard?
71. Additional Comments:
SECTION 14: Conflict of Interest
§ 205.501
72. Have you used any organic production consultants for your operation in the last 12 months?
Yes
No
(This does not refer to your inspector, certification specialist, or other PCO representative involved with your certification review.)
If yes, list the name and contact information for organic production consultant(s) your operation has used in the last 12 months (7
CFR 205.501 (a) (11) (ii):
SECTION 15: Previous Organic Certification
73.
§205.401
List current organic certification by other agencies and dates:
If currently certified by another agency, submit a copy of your current certificate and verification of the items you are certified
to produce/sell.
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74.
If currently certified organic, has your operation received a non-compliance(s) or been issued a proposed suspension
or proposed revocation that has not yet been resolved? Yes No
If yes, submit a copy of any adverse action notice including: notification of noncompliance, notification of proposed suspension
or proposed revocation issued to you and a description of any actions taken by you to correct the non-compliance(s) noted in
the adverse action notice, including evidence of such corrections and resolution letter from certifier, if any.
75.
If previously certified, list names of agencies, dates, non-compliances and reasons for surrender or termination of
certification:
76.
Have you ever been denied organic certification or has your organic certification ever been withdrawn, surrendered
suspended or revoked?
Yes No
If yes, submit a copy of any adverse action notice, including suspension, revocation or denial of certification issued to you and
a description of any actions taken by you to correct the non-compliances noted in the notification, including evidence of such
corrections and resolution letter from certifier or the National Organic Program Administrator, if any. If certification was
withdrawn or surrendered, provide reason:
77. Gross organic sales of organic crops in previous calendar year: $
If none sold, enter 0.
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SECTION 16: Affirmation
Information provided on this application is held in strict confidence and will be used only for certification purposes. I affirm that
all statements made in this application are true and correct. I have made every effort to ensure that no prohibited products have
been used, applied or otherwise allowed to compromise the integrity of the organic products produced or sold by me.
I understand and agree as follows:
1. My operation may be subject to unannounced inspection and/or sampling for residues at any time as deemed appropriate
to ensure compliance with the National Organic Program.
2. Acceptance of this questionnaire in no way implies granting of certification by the certifying agent.
3. Failure to comply with the applicable regulations, policies or procedures, or giving false information may result in denial,
suspension, revocation or termination of certification.
4. Payment of all certification fees is a condition of certification.
As required by the National Organic Program, and as conditions of certification I agree to:
1. Cooperate with the certification process by completing all documentation requested.
2. Make every effort to ensure that no prohibited products have been used, applied or otherwise allowed to compromise the
integrity of the organic crops or products produced or sold by me.
3. Provide access to all areas and parts of my operation, including records, products and personnel.
4. Comply with the National Organic Program Rule (7 CFR Part 205) and Pennsylvania Certified Organic certification policies
and procedures.
5. Make appropriate certification claims, which accurately reflect the type of certification granted.
6. Ensure that my certificate or certification report is not used in a misleading manner and does not harm PCO.
7. Only use certification claims, or the PCO name and logo, to indicate that products are in compliance with PCO standards,
and use them correctly on advertising, marketing and packaging materials.
8. Discontinue use of certification claims, and PCO name and logo, upon surrender, suspension, revocation or termination of
certification, and return any certification documents or materials required by PCO.
9. Notify PCO of any significant changes to my operation’s organic system plan.
10. Notify PCO concerning any application, including drift, of a prohibited substance to any field, production unit, site, facility,
livestock, or product that is part of an operation.
11. Comply with all conditions of certification listed on Certification Reports or other certification documents.
I understand that failure to abide by the above requirements may result in denial, suspension or revocation of my organic
certification, prosecution for fraud or misrepresentation, denial of services, or any other remedy allowed by law.
I give permission for PCO to release information from my file to other recognized certification organizations for purposes of
document review. I understand that PCO will obtain a confidentiality statement from the requesting certifier before releasing any
information. PCO has my permission to obtain information, documents, or materials related to certification or de-certification from
other certifiers.
Your signature(s):
Date:
If applicable:
Signature of Contracted
Processor:
Date:
Required attachments: These records must be returned with your application or it may be returned to you resulting in a delay
of the certification process.
General Information Form (if new applicant)
Product Flow Chart
Facility Map
Organic Product Profiles
Proposed Organic Labels
Materials Used in Organic System - Processor
Pest Management Map of Traps and Monitors
Brochures and/or marketing materials (if applicable)
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