1. 16 Lesson Plans to Prepare Small and Mid-scale
Farmers to Enter Food Hubs, Groceries,
Restaurants and Cooperatives
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Unit 5.3
Meeting Your
Market’s Food
Safety
Requirements
This powerpoint presentation is a companion
resource to the ‘Baskets to Pallets Teaching Manual’
available at smallfarms.cornell.edu
Please see ‘Module 5: Food Safety’ for additional teaching
resources.
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Buyer Demand for Food Safety
• Historically, buyer demand has driven
implementation of food safety
practices in the produce industry
• FSMA is the first federal requirement
– Will likely set the ‘floor’ of food safety
requirements for growers
• Buyers often require 3rd party audits to
verify practices
– Need to provide safe product to
customers
– Need to protect their brand
4. Grower Motivation for
Implementing Produce Safety
• Primarily driven by their desire to do the right
thing AND sense that it will help
maintain/grow markets
• Liability and other reasons
• Growers are only having audits if required
– AND only as long as they are required!
• Benefit-cost ratios support the value of
implementing practices
– Variation in benefit by audit and farm size
5. • Long-term impact survey conducted
spring/summer 2014
• Intent was to access the impact of GAPs farm
food safety plan writing workshops
– Food safety plans and audits completed
– Determine the benefit cost ratio of implementing
food safety practices
– Determine if markets are being preserved and the
value of those markets
• 20 question survey
– Data gathered through interview
• 80 respondents
– Western NY, Hudson Valley, Long Island
Long-term Survey
Research - GAPs
http://www.gaps.cornell.edu/
documents/GAPs_report.pdf
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Audits & Regulations
• Third Party Audits
– Voluntary program that allows growers,
packers and shippers of fresh produce to
verify to buyers that they are growing
harvesting, packing, and shipping product
in a safe and sanitary manner
– Most audits require a food safety plan
• Food Safety Modernization Act
– Federal requirement for food safety
practices for some produce growers and
food processors
– Third party audits and food safety plans
are NOT required
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Different Market Venues Have
Different Requirements
• Many larger grocery chains and
wholesalers may require 3rd Party
Audits
• Smaller market venues may only
require a ‘self-audit’, completed check
list, or a farm food safety plan
– Farm-to-School programs
– Auction houses
– Food hubs
– Restaurants
8. Questions to Ask Your Buyer About Food Safety
What food safety requirements
do you have, if any?
If an audit is required, ask
which one AND what scopes.
If just a farm food safety plan is
required, ask if there are
specific details they want to
see, including:
• GAPs practices
• A traceability plan
• Recordkeeping & SOPs
• Farm maps
• Other buyer specific info
Audits often have different scopes,
all of which may not be required by
your buyer. This will help you
determine what to write in your farm
food safety plan.
Ask if help is available,
including funding for audits,
training and templates.
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IF You Need An Audit,
How Do You Choose?
• Buyer demand
• Availability
• Requirements of audit
– Frequency, passing score
– Audit metrics
• Price
• Availability of grant funds
• Avoiding conflict of interest
• Avoiding ‘audit fatigue’
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Other Market Food Safety
Considerations
• USDA GroupGAP
– Multiple growers/cooperatives work collectively to
undergo GAPs certification as a group
– Requires a quality management system and
individual to conduct internal audits
– Some cost sharing involved
– Limitation: Only as strong as your weakest link
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What Food Safety Practices Do Most
Audits Require?
• Worker health, hygiene, and training
• Management of soil amendments
• Management of domestic animals and wildlife
• Visitor policies
• Water testing and water quality
– Production and post-harvest
• Sanitation and post-harvest handling
• Transportation requirements
• Traceability programs
• Other items: sustainability, worker housing,
pesticide requirements
12. Third Party Audit
Nuts & Bolts
Unannounced
audits
Traceability
programs
Written food
safety plan
Self-
audits
Recordkeeping
Supporting
documentation
Risk
Assessment
Farm Food
Safety
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Managing the Audit Process
• Most audits can be previewed in advance
• If audit contains unique parameters, those will
have to be accounted for and will require
additional planning
• May need to have multiple audits if they have
multiple buyers
• Use pre-existing records to your advantage
• Focus on one food safety plan, then tailor it to fit
each audit if you are required to do multiple audits
• Ask questions and don’t leave the auditor’s side
You want to see what they see and be there to answer
questions. Remember some audits charge by the hour!
14. Making a Case for Writing a
Farm Food Safety Plan
1. Gets you organized and focused on food
safety
• Defines your practices, policies, and SOPs
• Efficient and effective use of your time,
money, and resources!
2. Best way to be prepared!
• Effectively implementing practices
• Buyer questions/requirements
• Third Party Audits
• Food safety regulations
15. Writing a Farm Food Safety Plan:
Begin with the Right Mind Set
• Each farm is unique
• You know the farm best
• Risks will be specific to your farm and your practices
• Farms with plants and animals may be more complicated!
• Each commodity is different
• Grows on ground vs. tree
• Postharvest handling involves water or not
• Netted outside vs. smooth outside
• Many farms have lots of commodities!
Most important point:
You can identify and reduce risks!
16. Time spent putting off food
safety plan writing…
Otherwise known as grower
anxiety, fear, and loathing
That warm fuzzy feeling of
progress …moving forward
and reducing risks!
Current state
Future state
Energy
(less
is
more
desirable
)
Time
Activation Energy
Developing a Food Safety Plan:
Progression of grower anxiety, acceptance, and success!
17. Knowledge Is Your Friend
• Writing a farm food safety plan can be intimidating, but the more you
know the more comfortable you will be
• Some basic food safety knowledge is key
– For many farmers, food safety is a new topic so it may require additional
training or asking for help
– Assessing risks requires understanding
risks and this requires knowledge and information
• Many resources available to help
18. Step 1: Assessing Risks
• Review all farm practices that impact
the fresh produce you grow and/or pack
• Identify food safety risks that may exist
with emphasis on microbial risks
• Identify which of the risks are most
likely to occur with the most frequency
• It may help to make a list, putting the
highest risks at the top followed by less
likely risks
19. Step 2: Develop Practices to
Reduce Risks
• Understand what needs to happen to reduce risks
– What are worker responsibilities? What are
farm owner responsibilities?
– Ask for help if you are not sure!
• Know what resources may be required
– Human resources (time)
– Equipment or infrastructure (may require changes)
– Disposables (hand soap, paper towels, etc.)
• Create a list of tasks that need to be done
• Designate a person(s) in charge of each task
20. Step 3: Document and Revise
• WRITE a plan to guide implementation of
practices
• The more specific the plan is, the easier it will be
to follow and complete tasks
– SOPs and policies will outline what exactly
needs to be done. These should be shared with
whoever is responsible for completing the task!
• Build recordkeeping into a logical flow of each
practice, otherwise is will not happen
• Revisit and revise your plan when practices
change or if the plan is not working
21. Basic Farm Food Safety Plan Parts
• Farm name and address
• Farm description
– Commodities grown, farm size, etc.
• Name of food safety contact
• Risk assessment and implemented
practices for each area that impacts food
safety
⎯e.g., worker training, agricultural water, soil
amendments, sanitation practices,
traceability
22. Who is YOUR food safety person?
• Each farm needs to have ONE person in charge
of food safety
– Will be supported by others on the farm
• Must have the authority to make necessary
changes and invest in resources to reduce risks
• Must have GAPs and food safety training
• Will be the person listed on the food safety
plan as the food safety contact
• Must be willing to talk with auditor and buyers
23. What Should Be Included
• Practices you are doing on YOUR farm
• NOT things you wish you were doing
• Farm Food Safety Plan Specifics
– Farm assessment of risk
– Food safety policies
– SOPs
– Recordkeeping sheets
– Farm maps
– Emergency contact info
– Supplier, transportation,
or service records
24. One Size Does Not Fit All!
• Tailor your food safety plan to fit YOUR farm’s needs!
• Many good resources, but they MUST be tailored to YOUR
farm!
• The most useful parts are often the template record
keeping logs and/or template SOPs
– Editing something to fit your farm is much easier then building it
from scratch!
• Be sure to make it your own farm food safety plan so you
know what is in the plan!
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Additional Food Safety
Considerations
• Processed foods, meat, dairy, juice, and
seafood
– Different set of food safety requirements
– Much more control over food production
environment than on-farm
– May include Hazard Analysis Critical Control Points
(HACCP), Good Manufacturing Practices (GMPs),
Pasteurized Milk Ordinance (PMO), validated
process controls (such as canning, pasteurization)
– May be subject to the FSMA Food Safety
Preventive Controls for Human Food or Animal
Food, state regulations, and local health code
requirements
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FSMA Preventive Controls for
Human Food
• Applies to facilities that manufacture,
process, pack, or hold human food
o In general, facilities required to register with FDA
under sec. 415 of the FD&C Act
o Not farms or retail food establishments
o Applies to domestic and imported food
o Some exemptions and modified requirements
apply
• Requires a written food safety plan, hazard
analysis, and Good Manufacturing Practices
• Training available from the Food Safety
Preventive Controls Alliance
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Cornell University Food Venture Center
• Provides comprehensive assistance to beginning
and established food entrepreneurs
• Direct Technical Support: one-on-one counseling
• Education and Outreach: workshops, website,
educational materials
• Regulatory Compliance: NYSDAM, FDA, and USDA
o Process Authority Service: New product safety
evaluation and approval
o Product process development and technology transfer
• http://necfe.foodscience.cals.cornell.edu
• Phone assistance: 315-787-2273
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NYS Department of Agriculture &
Markets
• Food Safety & Inspection Division
o Oversees any processed food products for retail
sale including FDA regulated products, dried
meats, fermented sausages, cured meats, smoked,
salted, cured and pickled fish and seafood
o Processors might need a Food Manufacturing
License and schedule process
• Non-hazardous foods can be produced at home
• Milk Control Division
o Oversees milk and dairy products production:
sanitation, safety, labeling, licensing
o Pasteurized Milk Ordinance in effect
Resources
• Food Establishment Licenses:
http://www.agriculture.ny.gov/FS/general/license.
html
• Programs to help farms & businesses:
http://www.agriculture.ny.gov/Programs.html
• Home Processors
http://www.agriculture.ny.gov/FS/consumer/proc
essor.html
• Division of Food Safety & Inspection
http://www.agriculture.ny.gov/FS/FSHome.html
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Training Opportunities
• Better Process Controls School
o Packing and processing low-acid foods and acidified foods
o http://www.gmaonline.org/file-manager/Events/Bro_BPCS-
011411.pdf
• Hazard Analysis Critical Control Points (HACCP)
o Meat: http://meathaccp.wisc.edu/
o Juice: https://foodscience.cals.cornell.edu/extension/fruits-
vegetables-cider-juice/juice-haccp-certification-course
• Dairy Foods Extension
o http://dairyextension.foodscience.cornell.edu/
o Fluid milk processing, cheese making, membrane, evaporation,
and drying technologies, fermented dairy products
• FSMA
o Produce Safety Alliance
o producesafetyalliance.cornell.edu
o Food Safety Preventive Controls Alliance
o http://www.iit.edu/ifsh/alliance/
30. Food Safety for a Day Versus Food Safety Everyday
• An audit is a day or several day event
• Must commit to food safety being part of the
operation everyday!
• Monetary and time investment
• Continued training and implementation
31. Questions? Contact Us!
Gretchen L. Wall, M.S.,
Coordinator, Produce Safety Alliance
glw53@cornell.edu, 607.255.6806
Elizabeth A. Bihn, Ph.D.,
Director, Produce Safety Alliance
eab38@cornell.edu, 315.787.2625
