Good Agricultural Practices Traceability, Food Safety Plans and Audits

Purdue University Cooperative Extension Service is an equal access/equal opportunity institution.

“This activity was funded, by Purdue, as part of AgSEED Crossroads funding to support Indiana's Agriculture and Rural Development”.

Farm Food Safety Plan •  A living document describing farm and facilities

–  Narrative, Maps, diagrams •  Identifies person responsible for food safety •  Defines policies •  Outlines standard operating procedures (SOPs) •  Includes examples of recordkeeping forms (R) •  Topics covered (as appropriate to your farm)

–  Agricultural inputs, Manure storage and handling –  Animal exclusion (domestic & wild) –  Irrigation and drainage management –  Equipment sanitation –  Harvest and postharvest handling –  Employee training program –  Personal Hygiene including Restroom & hand washing facilities –  Traceability system –  Crisis management strategy

Use a Template or Audit Checklist as a Guide

•  FSP4U Univ. of Minnesota Template – safety.cfans.umn.edu/fsp4u/

•  On Farm Food Safety onfarmfoodsafety.org •  Harmonized GAP Standards

–  www.unitedfresh.org/newsviews/gap_harmonization •  Audit Checklists

USDA www.ams.usda.gov/ Primus Others

Start with What You Know!

•  Assess your operation, pre-plant through postharvest handling.

•  Identify areas that you know are high risk or areas of concern.

•  Consider changes that will reduce the risks AND are economically feasible.

•  Document your progress.

Plan Writing Tips

•  Write a plan for your operation

•  Include what you will do (not what you hope you will do)

•  Update your plan regularly

Risk Assessment Resources

•  Food Safety Begins on the Farm – Self Assessment (National GAPs) www.gaps.cornell.edu

•  Food Safety Decision Tree www.gaps.cornell.edu/tree.html

•  Food-A-Syst (Kansas State) www.ksre.ksu.edu/bookstore/Item.aspx?catId=201&pubId=337

•  Audit checklists or self-audit checklists from various sources

•  GAPs Training - what you learn today!

Farmer Self Assessment

Self Assessment Instructions, cont.

Self Assessment Instructions, cont.

http://www.gaps.cornell.edu/Educationalmaterials/FApdfs/AllFAws.pdf

Recordkeeping Basics •  Why are you keeping the records? •  What is most efficient? •  Write it Down!

–  What was done –  When was it done –  Who did it –  Who checked the record (Who makes sure it gets done!)

•  How long to keep? •  Annual review

Recordkeeping Systems •  Daily log of activities •  Digital images •  Recordkeeping sheets for each activity, filed in

binder or file when completed •  Electronic systems

examples gap-pro.com scoringag.com

What will work on your farm? http://www2.uncp.edu/bookstore/cellphone-512x512-370x370.png

Types of Documents •  P - Policies (What You Do) •  SOP - Procedures (How You Do It)

–  Standard Operating Procedure (SOP) •  R - Records (Who Did What When) •  D - Document (Proof you did it) •  Maps (Where Is It) •  Flow Chart (How It Works)

J. Atsaves

Questions Points YES NO N/A Doc

G-3 Potable water is available to all workers. 10 R

G-4 All employees and all visitors to the location are required to follow proper sanitation and hygiene practices. 10 P

G-5 Training on proper sanitation and hygiene practices is provided to all staff. 15 D

Example Policy: Visitor Health and Hygiene

Example Procedure: Traceability Procedures

How do you keep track of which field produce comes from and where it goes?

Our farm utilizes a handwritten traceability system that allows us to trace product one step back (field) and one step forward (customer).

To test our recall plan, we conduct a mock recall. In the mock recall, a buyer is contacted and asked to identify a load received from our company. We ask how much of the product has been sold and how much they still have in inventory. This information is recorded in our mock recall form and kept on file.

Example Record Toilet/Handwashing Facility Maintenance Log

Doc

umen

tatio

n of

Tra

inin

g Example Document:

Worker Training Record

Questions Points

YES

NO

N/A Doc

1-3

Water quality assessment has been performed to determine the quality of water used for irrigation purposes on the crop(s) being applied.

15 D

1-4

A water quality assessment has been performed to determine the quality of water used for chemical application or fertigation method.

15 D

Water Quality Risks

Why Have a Traceability System?

•  Part of a Food Safety Plan

•  In case of foodborne illness outbreak

•  It is now part of all third party audits

•  It is part of the new federal legislation “Food Safety Modernization Act”

What is a Traceability System

•  A labeling and recordkeeping system

•  Involves every step in the supply chain

•  Enables tracking product one step back and

One step forward Where did it come from? Where did it go?

http://cdn.modernfarmer.com/wp-content/uploads/2013/06/MG_8276.jpg

Example of a Numbering System •  16756169

– 167 = (harvest date) •  first day a grower picks •  Julian calendar date or actual date (614)

– 5 = field number – 6 = picking crew – 169 = packing date (616)

•  Record the numbers and number of cartons after harvest

Types of Systems: Manual

•  Write the date or code on a box

–  Record at the end of the day –  Commodity, codes, number of boxes and where shipped

•  Hand labeling grocery gun –  A series of numbers can be used for field, harvest date,

harvest crew, etc. This can be put on the box in the field if field packing or in the packinghouse.

–  At end of the day record the codes in a log book or in an excel spreadsheet.

J. Theuri

Types of Systems: Electronic •  Use a Excel(r) or Access(r) file to collect the data.

–  This system is static and does not allow others to track the product

•  There are several proprietary software systems –  based on computer based barcodes –  Often require a special printer –  Costs range from $9,000-18,000

•  Purchase labels with codes

Implementing Traceability •  Built into a food safety plan policies, procedures

and recordkeeping –  Use a system that works for you and your buyer

•  Test the system –  Begin with a single or few commodities –  Begin with a buyer you can work with

•  Use it!

Can there be traceability at a farmers’ market?

Questions Points YES NO N/A Doc

2-18 There is a policy in place and has been implemented that harvested product being moved from field to storage areas or processing plants are covered during transportation.

5 P

2-19 In ranch or field pack operations, only new or sanitized containers are used for packing the product. 10 D

2-21 Produce moving out of the field is uniquely identified to enable traceability in the event of a recall. 10 D

Audit Checklist: Traceability

3-34 Records are kept recording the source of incoming product and the destination of outgoing product which is uniquely identified to enable traceability.

10

D

How to Prepare For a Recall •  Be prepared

–  Make sure you have accurate records for all ‘lots’ –  Have a recall plan in place –  Have a recall team in place and trained

•  Make sure one individual is a communications person

•  Get training –  Make sure everyone knows their role

•  Practice your procedures: Mock Recall

•  Have a list of resources

•  Investigate recall insurance

Mock Recall •  Ability to track an order of produce from the farm or shipping

location to where it is delivered (one step forward). –  Should do a mock recall at least once a year.

•  Call a buyer –  Indicate that you do not want to recall the produce

•  practicing in case there is a problem in the future –  ask how many boxes of a specific product they still have on hand –  how much has been moved forward. –  Ask buyer to fax the results of this call on their letterhead.

•  Keep a record of the mock recall.

One Step Back

•  One step back: where did the produce come from? – Field, greenhouse or high tunnel

•  More specific is better – Harvest date – Packing date – Harvest crew

What records do you already keep?

Harvest Record!Crop: cantaloupe!Field: Back 1, first planting!Date: 8/5/14 (Pick and pack)!Harvesters: H. Foote, T. Dale!No. Units: 6 pallets Traceback Code:B1140805 !!

One Step Forward

•  When and where was the produce sold – What farmers’ market and when – When was it put out for sale on the farm stand – What wholesale buyer

•  How many packages or pounds or bunches

What records do you already keep?

Sales Record Crop: cantaloupeTraceback Code: B1140805Total No. Units: 6 pallets Date !Buyer ! !No. Units !8/6/14 Phil’s Grocery 4 8/6/14 Jane’s Fruit Truck 1 8/7/14 Argos Farmers Mkt 1!

Crisis Communications Do: •  Establish trust by conveying sincere compassion

for crisis victims. •  Acknowledge opposing viewpoints as credible

and understandable. •  Respond immediately to the situation. •  State your goals for resolving the situation and

what you’re doing to achieve those goals. •  Explain your position clearly. •  Look professional and smile.

Do You Need an Audit? •  Do buyers want one? •  Which type of GAPs?

•  USDA GAPs/GHPs •  www.ams.udsa.gov •  Harmonized GAPs

•  www.unitedfresh.org/newsviews/gap_harmonization •  Global Food Safety Initiative (Benchmark system) •  www.mygfsi.com •  GlobalGAP (Primary/ Integrated Farm Assurance, Produce Safety Std.) •  www1.globalgap.org •  Ohio Produce Marketing Agreement (Three-tier system) •  opma.us

•  GA GAP •  gfvga.org/GAGAP/

•  Which parts? One crop, one operation, . . .

3rd Party Food Safety Audits •  Who?

– Private companies, USDA, Grower Associations – Cost?

•  What? – Write/ Review food safety plan – Check that you are following their checklist

•  Optional: mock audit •  Contact auditor

– Send plan for review – Schedule visit

Some Food Safety Audit Providers

•  USDA www.ams.usda.gov •  Primus Labs primuslabs.com •  Scientific Certification Systems www.scscertified.com •  Quality Assurance International www.qai-inc.com •  NCSI www.ncsiamericas.com •  Silliker www.merieuxnutrisciences.com •  Equicert equicert.biz •  Ohio Produce Marketing Agreement opma.us •  Georgia GAP gfvga.org/GAGAP/ *** United Fresh Audit Benchmarking Matrix compares audits

www.unitedfresh.org/newsviews/food_safety_resource_center/audits_benchmarking_matrix

• 

Inclusion on this list is not an endorsement.

USDA GAPs Audit Checklist (2012)

USDA Harmonized GAPs Checklist

Primus GFS GAPs Checklist

What Happens During the Audit? •  Review documents and records •  Walk around the operation, observe, ask questions to

verify processes –  What Do You Do? –  How Do You Do It? –  How Do I Know You Have Done It? –  What If?

•  Exit Meeting: –  Audit report –  Questions

•  Corrective action report – if needed •  Prepare for follow-up or unannounced visit

Automatic Unsatisfactory (USDA GAPs/GHPs)

•  Immediate food safety risk •  Rodents, insects, or other pests •  Employee practices (e.g. not washing

hands after restroom) •  Falsification of records •  No Food Safety Manager •  No Food Safety Plan

Food Safety To-Do List •  Learn about food safety risks •  Assess your operation

– Where are the biggest risks? – How can you reduce the risk?

•  Plan to improve •  Write a farm food safety plan...and follow it •  Consider an audit for certification •  Keep learning and improving

Indiana Farms that Sell Fresh Produce Wholesale

Register with Indiana State Dept. of Health https://forms.in.gov/Download.aspx?id=10956

•  No charge to register •  Re-registration required only when business

changes ownership, location, or character

Purdue  University  is  an  Equal  Opportunity/Equal  Access  Ins9tu9on  

Funded  in  part  by  a  USDA  Specialty  Crops  Block  Grant  from  the  Indiana  State  Department  of  Agriculture  

Questions?

Acknowledgments Por$ons  of  this  presenta$on  adapted  from  the  work  of:  Elizabeth  Bihn,  Na9onal  GAPs  Program  at  Cornell  Wes  Kline,  Extension  Agent,  Rutgers  Liz  Maynard,  Extension  Specialist,  Purdue  ScoO  Monroe,  Extension  Educator,  Purdue  North  Carolina  State  University  MarketReady  Team  Na9onal  GAPs  Program,  Cornell  J.  Atsaves,  USDA  AMS  FVP  James  Theuri,  Extension  Educator,  University  of  Illinois  

Par$ally  Funded  by:    • Purdue,  as  part  of  AgSEED  Crossroads  funding  to  support  Indiana's  Agriculture  and  Rural  Development  • USDA  Specialty  Crops  Block  Grant  from  the  Indiana  State  Dept.  of  Agriculture