Additional copies are available from:
Office of Food Defense, Communication and Emergency Response
Food Defense Oversight Team HFS-007
Center for Food Safety and Applied Nutrition
Food and Drug Administration
5100 Paint Branch Parkway
College Park, MD 20740
(Tel) 301-436-1622
http://www.cfsan.fda.gov/guidance.html
U.S. Department of Health and Human Services
Food and Drug Administration
Center for Food Safety and Applied Nutrition
[March 2003; Updated October 2007]
Contains Nonbinding Recommendations
Table of Contents
- INTRODUCTION
- BACKGROUND
- DISCUSSION
- Related Guidance
- Additional Resources
- RECOMMENDED ACTIONS
- Management
- Preparing for the possibility of tampering or other malicious, criminal, or terrorist actions.
- Supervision
- Recall Strategy
- Investigation of Suspicious Activity
- Evaluation Program
- Human Element - Staff
- Screening (pre-hiring, at hiring, post-hiring)
- Daily Work Assignments
- Identification
- Restricted Access
- Personal Items
- Training in Food Security Procedures
- Unusual Behavior
- Staff Health
- Human Element - Public
- Visitors (for example, contractors, supplier representatives, delivery drivers, customers, couriers, pest control representatives, third party auditors, regulators, reporters, tours)
- Facility
- Physical Security
- Laboratory Safety
- Storage and Use of Poisonous and Toxic Chemicals (for example cleaning and sanitizing agents, pesticides)
- Operations
- Incoming Materials and Contract Operations
- Storage
- Security of Water and Utilities
- Finished Products
- Mail Packages
- Access to Computer Systems
- Appendix: Food Defense Self Assessment Tool for Food Producers, Processors, and Transporters
Please note that the Food Defense Self Assessment Tool is derived from the above referenced guidance and we have deleted examples and references to other agencies and their regulations. We encourage users to become familiar with the guidance document before using this tool.
Guidance for Industry(1)
Food Producers, Processors, and Transporters: Food Security Preventive Measures Guidance
This guidance represents the Food and Drug Administration's (FDA's) current thinking on this topic. It does not create or confer any rights for or on any person and does not operate to bind FDA or the public. You can use an alternative approach if the approach satisfies the requirements of the applicable statutes and regulations. If you want to discuss an alternative approach, contact the FDA staff responsible for implementing this guidance. If you cannot identify the appropriate FDA staff, call the appropriate telephone number listed on the title page of this guidance.
I. INTRODUCTION
This guidance is designed as an aid to operators of food
establishments (firms that produce, process, store, repack, relabel,
distribute, or transport food or food ingredients). This is a very diverse set
of establishments, which includes both very large and very small entities.
This guidance identifies the kinds of preventive measures
operators of food establishments may take to minimize the risk that food under
their control will be subject to tampering or other malicious, criminal, or
terrorist actions. It is relevant to all sectors of the food system, including
farms, aquaculture facilities, fishing vessels, producers, transportation
operations, processing facilities, packing facilities, and warehouses. It is
not intended as guidance for retail food stores or food service establishments.
FDA's guidance documents, including this guidance, do not
establish legally enforceable responsibilities. Instead, guidances describe
the Agency's current thinking on a topic and should be viewed only as
recommendations, unless specific regulatory or statutory requirements are
cited. The use of the word should in Agency guidances means that
something is suggested or recommended, but not required.
II. BACKGROUND
Operators of food establishments are encouraged to review
their current procedures and controls in light of the potential for tampering
or other malicious, criminal, or terrorist actions and make appropriate
improvements. FDA recommends that the review include consideration of the role
that unit and distribution packaging might have in a food security program.
This guidance is designed to focus operator's attention sequentially on each
segment of the farm-to-table system that is within their control, to minimize
the risk of tampering or other malicious, criminal, or terrorist action at each
segment. To be successful, implementing enhanced preventive measures requires
the commitment of management and staff. Accordingly, FDA recommends that both
management and staff participate in the development and review of such
measures.
Not all of the guidance contained in this document may be
appropriate or practical for every food establishment, particularly smaller
facilities and distributors. FDA recommends that operators review the guidance
in each section that relates to a component of their operation, and assess
which preventive measures are suitable. Example approaches are provided for many
of the preventive measures listed in this document. These examples should not
be regarded as minimum standards. Nor should the examples provided be
considered an inclusive list of all potential approaches to achieving the goal
of the preventive measure. FDA recommends that operators consider the goal of
the preventive measure, assess whether the goal is relevant to their operation,
and, if it is, design an approach that is both efficient and effective to
accomplish the goal under their conditions of operation.
III. DISCUSSION
This guidance is divided into five sections that relate to
individual components of a food establishment operation: management; human
element - staff; human element - public; facility; and operations.
A. Related Guidance
FDA has published a companion
guidance document on food security entitled, "Importers and filers: Food
security preventive measures guidance" to cover the farm-to-table spectrum of
food production. This document is available at: http://www.access.gpo.gov/su_docs/aces/aces140.html.
B. Additional Resources (2)
A process called Operational Risk
Management (ORM) may help prioritize the preventive measures that are most
likely to have the greatest impact on reducing the risk of tampering or other
malicious, criminal, or terrorist actions against food. Information on ORM is
available in the Federal Aviation Administration (FAA) System Safety Handbook,
U.S. Department of Transportation, FAA, December 30, 2000, Chapter 15,
Operational Risk Management. The handbook is available at: http://www.asy.faa.gov/Risk/SSHandbook/Chap15_1200.PDF.
The U.S. Department of
Transportation, Research and Special Programs Administration has published an
advisory notice of voluntary measures to enhance the security of hazardous
materials shipments. It is available at http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=2002_register&docid=02-3636-filed.pdf. The notice provides guidance to shippers and carriers on personnel, facility
and en route security issues.
The U.S. Postal Service has
prepared guidance for identifying and handling suspicious mail. It is available at: http://www.usps.com/news/2001/press/mailsecurity/postcard.htm.
The Federal Anti-Tampering Act (18
USC 1365) makes it a federal crime to tamper with or taint a consumer product,
or to attempt, threaten or conspire to tamper with or taint a consumer product,
or make a false statement about having tampered with or tainted a consumer
product. Conviction can lead to penalties of up to $100,000 in fines and up to
life imprisonment. The Act is available at: http://www.fda.gov/opacom/laws/fedatact.htm.
The National Infrastructure Protection
Center (NIPC) serves as the federal government's focal point for threat
assessment, warning, investigation, and response for threats or attacks against
U.S. critical infrastructure. The NIPC has identified the food system as one
of the eight critical infrastructures, and has established a public-private
partnership with the food industry, called the Food Industry Information and Analysis Center (Food Industry ISAC). The NIPC provides the Food Industry ISAC with access,
information and analysis, enabling the food industry to report, identify, and
reduce its vulnerabilities to malicious attacks, and to recover from such
attacks as quickly as possible. In particular, the NIPC identifies credible
threats and crafts specific warning messages to the food industry. Further information is available at http://www.nipc.gov and http://www.foodisac.org/.
Finally, some trade associations
have developed food security guidance that is appropriately focused for that
specific industry. For example, the International Dairy Food Association has
developed a food security guidance document as an aid to the dairy industry.
FDA encourages other trade
associations to evaluate the preventive measures contained in this FDA guidance
document and adapt them to their specific products and operations and to
supplement this guidance with additional preventive measures when appropriate.
FDA welcomes dialogue on the content of sector specific guidance with appropriate
trade associations.
IV. Recommended Actions
A. Management
1. Preparing for the possibility of tampering or other malicious, criminal, or terrorist actions.
- assigning responsibility for security to knowledgeable individual(s)
- conducting an initial assessment of food security procedures and operations, which we recommend be kept confidential
- having a security management strategy to prepare for and respond to tampering and other malicious, criminal, or terrorist actions, both threats and actual events, including identifying, segregating and securing affected product
- planning for emergency evacuation, including preventing security breaches
during evacuation
- maintaining
any floor or flow plan in a secure, off-site location
- becoming familiar with the emergency response system
in the community
- making management aware of 24-hour contact information for local, state, and
federal police/fire/rescue/health/homeland security agencies
- making staff aware of whom in management they should alert about potential
security problems (24-hour contacts)
- promoting food security awareness to encourage all staff to be alert to any
signs of tampering or other malicious, criminal, or terrorist actions or areas
that may be vulnerable to such actions, and reporting any findings to
identified management (for example, providing training, instituting a system of
rewards, building security into job performance standards)
- having an internal communication system to inform and update staff about relevant security issues
- having a strategy for communicating with the public (for example,
identifying a media spokesperson, preparing generic press statements and
background information, and coordinating press statements with appropriate
authorities)
2. Supervision
- providing an appropriate level of
supervision to all staff, including cleaning and maintenance staff, contract
workers, data entry and computer support staff, and especially, new staff
- conducting routine security checks
of the premises, including automated manufacturing lines, utilities and
critical computer data systems (at a frequency appropriate to the operation)
for signs of tampering or malicious, criminal, or terrorist actions or areas
that may be vulnerable to such actions
3. Recall Strategy
- identifying the person responsible, and a backup person.
- providing for proper handling and disposition of recalled product
- identifying customer contacts, addresses and phone numbers
4. Investigation of Suspicious Activity
- investigating threats or
information about signs of tampering or other malicious, criminal, or terrorist
actions
- alerting appropriate law
enforcement and public health authorities about any threats of or suspected
tampering or other malicious, criminal, or terrorist actions
5. Evaluation Program
- evaluating the lessons learned
from past tampering or other malicious, criminal, or terrorist actions and
threats
- reviewing and verifying, at least
annually, the effectiveness of the security management program (for example,
using knowledgeable in-house or third party staff to conduct tampering or other
malicious, criminal, or terrorist action exercises and mock recalls and to
challenge computer security systems), revising the program accordingly, and
keeping this information confidential
- performing random food security
inspections of all appropriate areas of the facility (including receiving and
warehousing, where applicable) using knowledgeable in-house or third party
staff, and keeping this information confidential
- verifying that security contractors are doing an appropriate job, when applicable
B. Human Element - Staff
Under Federal law, food
establishment operators are required to verify the employment eligibility of
all new hires, in accordance with the requirements of the Immigration and
Nationality Act, by completing the INS Employment Eligibility Verification Form
(INS Form I-9). Completion of Form I-9 for new hires is required by 8 USC 1324a
and nondiscrimination provisions governing the verification process are set
forth at 8 USC 1324b.
1. Screening (pre-hiring, at hiring, post-hiring)
- examining the background of all staff (including seasonal,
temporary, contract, and volunteer staff, whether hired directly or through a
recruitment firm) as appropriate to their position, considering candidates'
access to sensitive areas of the facility and the degree to which they will be
supervised and other relevant factors (for example, obtaining and verifying
work references, addresses, and phone numbers, participating in one of the
pilot programs managed by the Immigration and Naturalization Service and the
Social Security Administration [These programs provide electronic confirmation
of employment eligibility for newly hired employees. For more information call
the INS SAVE Program toll free at 1-888-464-4218, fax a request for information
to (202) 514-9981, or write to US/INS, SAVE Program, 425 I Street, NW,
ULLICO-4th Floor, Washington, DC 20536. These pilot programs may not be
available in all states], having a criminal background check performed by local
law enforcement or by a contract service provider [Remember to first consult
any state or local laws that may apply to the performance of such checks])
Note: screening procedures
should be applied equally to all staff, regardless of race, national origin,
religion, and citizenship or immigration status.
2. Daily Work Assignments
- knowing who is and who should be
on premises, and where they should be located, for each shift
- keeping information updated
3. Identification
- establishing a system of positive
identification and recognition that is appropriate to the nature of the
workforce (for example, issuing uniforms, name tags, or photo identification
badges with individual control numbers, color coded by area of authorized
access), when appropriate
- collecting the uniforms, name tag,
or identification badge when a staff member is no longer associated with the
establishment
4. Restricted Access
- identifying staff that require
unlimited access to all areas of the facility
- reassessing levels of access for
all staff periodically
- limiting access so staff enter
only those areas necessary for their job functions and only during appropriate
work hours (for example, using key cards or keyed or cipher locks for entry to
sensitive areas, color coded uniforms [remember to consult any relevant
federal, state or local fire or occupational safety codes before making any
changes])
- changing combinations, rekeying
locks and/or collecting the retired key card when a staff member who is in
possession of these is no longer associated with the establishment, and
additionally as needed to maintain security
5. Personal Items
- restricting the type of personal
items allowed in establishment
- allowing in the establishment only
those personal use medicines that are necessary for the health of staff and ensuring
that these personal use medicines are properly labeled and stored away from
food handling or storage areas
- preventing staff from bringing
personal items (for example, lunch containers, purses) into food handling or
storage areas
- providing for regular inspection
of contents of staff lockers (for example, providing metal mesh lockers,
company issued locks), bags, packages, and vehicles when on company property
(Remember to first consult any federal, state, or local laws that may relate to
such inspections)
6. Training in Food Security Procedures
- incorporating food security
awareness, including information on how to prevent, detect, and respond to
tampering or other malicious, criminal, or terrorist actions or threats, into
training programs for staff, including seasonal, temporary, contract, and
volunteer staff
- providing periodic reminders of
the importance of security procedures (for example, scheduling meetings,
providing brochures or payroll stuffers)
- encouraging staff support (for
example, involving staff in food security planning and the food security
awareness program, demonstrating the importance of security procedures to the
staff)
7. Unusual Behavior
- watching for unusual or suspicious
behavior by staff (for example, staff who, without an identifiable purpose,
stay unusually late after the end of their shift, arrive unusually early,
access files/information/areas of the facility outside of the areas of their
responsibility; remove documents from the facility; ask questions on sensitive
subjects; bring cameras to work)
8. Staff Health
- being alert for atypical staff
health conditions that staff may voluntarily report and absences that could be
an early indicator of tampering or other malicious, criminal, or terrorist
actions (for example, an unusual number of staff who work in the same part of
the facility reporting similar symptoms within a short time frame), and
reporting such conditions to local health authorities
C. Human Element - Public
1. Visitors (for example, contractors, supplier representatives, delivery drivers, customers, couriers,
pest control representatives, third-party auditors, regulators, reporters, tours)
- inspecting incoming and outgoing
vehicles, packages and briefcases for suspicious, inappropriate or unusual
items or activity, to the extent practical
- restricting entry to the
establishment (for example, checking visitors in and out at security or
reception, requiring proof of identity, issuing visitors badges that are
collected upon departure, accompanying visitors)
- ensuring that there is a valid
reason for the visit before providing access to the facility - beware of
unsolicited visitors
- verifying the identity of unknown visitors
- restricting access to food
handling and storage areas (for example, accompanying visitors, unless they are
otherwise specifically authorized)
- restricting access to locker room
D. Facility
1. Physical Security
- protecting perimeter access with
fencing or other deterrent, when appropriate
- securing doors (including freight
loading doors, when not in use and not being monitored, and emergency exits),
windows, roof openings/hatches, vent openings, ventilation systems, utility
rooms, ice manufacturing and storage rooms, loft areas, trailer bodies, tanker
trucks, railcars, and bulk storage tanks for liquids, solids, and compressed
gases, to the extent possible (for example, using locks, "jimmy
plates," seals, alarms, intrusion detection sensors, guards, monitored
video surveillance [remember to consult any relevant federal, state or local
fire or occupational safety codes before making any changes])
- using metal or metal-clad exterior
doors to the extent possible when the facility is not in operation, except
where visibility from public thoroughfares is an intended deterrent (remember
to consult any relevant federal, state or local fire or occupational safety
codes before making any changes)
- minimizing the number of entrances
to restricted areas (remember to consult any relevant federal, state or local
fire or occupational safety codes before making any changes)
- securing bulk unloading equipment
(for example, augers, pipes, conveyor belts, and hoses) when not in use and
inspecting the equipment before use
- accounting for all keys to
establishment (for example, assigning responsibility for issuing, tracking, and
retrieving keys)
- monitoring the security of the
premises using appropriate methods (for example, using security patrols
[uniformed and/or plain-clothed], video surveillance)
- minimizing, to the extent
practical, places that can be used to temporarily hide intentional contaminants
(for example, minimizing nooks and crannies, false ceilings)
- providing adequate interior and
exterior lighting, including emergency lighting, where appropriate, to
facilitate detection of suspicious or unusual activities
- implementing a system of controlling
vehicles authorized to park on the premises (for example, using placards,
decals, key cards, keyed or cipher locks, issuing passes for specific areas and
times to visitors' vehicles)
- keeping parking areas separated
from entrances to food storage and processing areas and utilities, where
practical
2. Laboratory Safety
- restricting access to the
laboratory (for example, using key cards or keyed or cipher locks [remember to
consult any relevant federal, state or local fire or occupational safety codes before
making any changes])
- restricting laboratory materials
to the laboratory, except as needed for sampling or other appropriate
activities
- restricting access (for example,
using locks, seals, alarms, key cards, keyed or cipher locks) to sensitive
materials (for example, reagents and bacterial, drug, and toxin positive
controls)
- assigning responsibility for
integrity of positive controls to a qualified individual
- knowing what reagents and positive
controls should be on the premises and keeping track of them
- investigating missing reagents or
positive controls or other irregularities outside a normal range of variability
immediately, and alerting appropriate law enforcement and public health
authorities about unresolved problems, when appropriate
- disposing of unneeded reagents and
positive controls in a manner that minimizes the risk that they can be used as
a contaminant
3. Storage and Use of Poisonous and Toxic Chemicals (for example, cleaning and sanitizing agents, pesticides)
- limiting poisonous and toxic chemicals
in the establishment to those that are required for the operation and
maintenance of the facility and those that are being held for sale
- storing poisonous and toxic
chemicals as far away from food handling and storage areas as practical
- limiting access to and securing
storage areas for poisonous and toxic chemicals that are not being held for
sale (for example, using keyed or cipher locks, key cards, seals, alarms,
intrusion detection sensors, guards, monitored video surveillance [remember to
consult any relevant federal, state or local fire codes that may apply before
making any changes])
- ensuring that poisonous and toxic chemicals are properly labeled
- using pesticides in accordance
with the Federal Insecticide, Fungicide, and Rodenticide Act (for example,
maintaining rodent bait that is in use in covered, tamper-resistant bait
stations)
- knowing what poisonous and toxic
chemicals should be on the premises and keeping track of them
- investigating missing stock or
other irregularities outside a normal range of variation and alerting
appropriate law enforcement and public health authorities about unresolved
problems, when appropriate
E. Operations
1. Incoming Materials and Contract Operations
- using only known, appropriately
licensed or permitted (where applicable) contract manufacturing and packaging
operators and sources for all incoming materials, including ingredients,
compressed gas, packaging, labels, and materials for research and development
- taking reasonable steps to ensure
that suppliers, contract operators and transporters practice appropriate food
security measures (for example, auditing, where practical, for compliance with
food security measures that are contained in purchase and shipping contracts or
letters of credit, or using a vendor approval program)
- authenticating labeling and
packaging configuration and product coding/expiration dating systems (where
applicable) for incoming materials in advance of receipt of shipment,
especially for new products
- requesting locked and/or sealed
vehicles/containers/railcars, and, if sealed, obtaining the seal number from
the supplier and verifying upon receipt, making arrangements to maintain the
chain of custody when a seal is broken for inspection by a governmental agency
or as a result of multiple deliveries
- requesting that the transporter
have the capability to verify the location of the load at any time, when
practical
- establishing delivery schedules,
not accepting unexplained, unscheduled deliveries or drivers, and investigating
delayed or missed shipments
- supervising off-loading of
incoming materials, including off hour deliveries
- reconciling the product and amount
received with the product and amount ordered and the product and amount listed
on the invoice and shipping documents, taking into account any sampling
performed prior to receipt
- investigating shipping documents
with suspicious alterations
- inspecting incoming materials,
including ingredients, compressed gas, packaging, labels, product returns, and
materials for research and development, for signs of tampering, contamination
or damage (for example, abnormal powders, liquids, stains, or odors, evidence
of resealing, compromised tamper-evident packaging) or
"counterfeiting" (for example, inappropriate or mismatched product
identity, labeling, product lot coding or specifications, absence of
tamper-evident packaging when the label contains a tamper-evident notice), when
appropriate
- evaluating the utility of testing
incoming ingredients, compressed gas, packaging, labels, product returns, and
materials for research and development for detecting tampering or other
malicious, criminal, or terrorist action
- rejecting suspect food
- alerting appropriate law
enforcement and public health authorities about evidence of tampering,
"counterfeiting" or other malicious, criminal, or terrorist action
2. Storage
- having a system for receiving,
storing, and handling distressed, damaged, returned, and rework products that
minimizes their potential for being compromised or to compromise the security
of other products (for example, destroying products that are unfit for human or
animal consumption, products with illegible codes, products of questionable
origin, and products returned by consumers to retail stores)
- keeping track of incoming
materials and materials in use, including ingredients, compressed gas,
packaging, labels, salvage products, rework products, and product returns
- investigating missing or extra
stock or other irregularities outside a normal range of variability and
reporting unresolved problems to appropriate law enforcement and public health
authorities, when appropriate
- storing product labels in a secure
location and destroying outdated or discarded product labels
- minimizing reuse of containers,
shipping packages, cartons, etc., where practical
3. Security of Water and Utilities
- limiting, to the extent practical,
access to controls for airflow, water, electricity, and refrigeration
- securing non-municipal water
wells, hydrants, storage, and handling facilities
- ensuring that water systems and
trucks are equipped with backflow prevention
- chlorinating water systems and
monitoring chlorination equipment, where practical, and especially for
non-municipal water systems
- testing non-municipal sources for
potability regularly, as well as randomly, and being alert to changes in the
profile of the results
- staying attentive to the potential
for media alerts about public water provider problems, when applicable
- identifying alternate sources of
potable water for use during emergency situations where normal water systems
have been compromised (for example, trucking from an approved source, treating
on-site or maintaining on-site storage)
4. Finished Products
- ensuring that public storage
warehousing and shipping operations (vehicles and vessels) practice appropriate
security measures (for example, auditing, where practical, for compliance with
food security measures that are contained in contracts or letters of guarantee)
- performing random inspection of
storage facilities, vehicles, and vessels
- evaluating the utility of finished
product testing for detecting tampering or other malicious, criminal, or
terrorist actions
- requesting locked and/or sealed
vehicles/containers/railcars and providing the seal number to the consignee
- requesting that the transporter
have the capability to verify the location of the load at any time
- establishing scheduled pickups,
and not accepting unexplained, unscheduled pickups
- keeping track of finished products
- investigating missing or extra
stock or other irregularities outside a normal range of variation and alerting
appropriate law enforcement and public health authorities about unresolved
problems, when appropriate
- advising sales staff to be on the
lookout for counterfeit products and to alert management if any problems are
detected
5. Mail Packages
- implementing procedures to ensure the security of incoming mail
and packages (for example, locating the mailroom away from food processing and
storage areas, securing mailroom, visual or x-ray mail/package screening,
following U.S. Postal Service guidance)
6. Access to Computer Systems
- restricting access to computer
process control systems and critical data systems to those with appropriate
clearance (for example, using passwords, firewalls)
- eliminating computer access when a
staff member is no longer associated with the establishment
- establishing a system of
traceability of computer transactions
- reviewing the adequacy of virus
protection systems and procedures for backing up critical computer based data
systems
- validating the computer security system
Emergency Point of Contact:
U.S. Food and Drug Administration
5600 Fishers Lane
Rockville, MD 20857
301-443-1240
If a food establishment
operator suspects that any of his/her products that are regulated by the FDA
have been subject to tampering, "counterfeiting," or other malicious,
criminal, or terrorist action, FDA recommends that he/she notify the FDA 24-hour
emergency number at 301-443-1240 or call their local FDA District Office.
FDA District Office telephone numbers are listed at: http://www.fda.gov/ora/inspect_ref/iom/iomoradir.html.
FDA recommends that the operator also notify appropriate law enforcement and
public health authorities.