Source: UNIVERSITY OF CALIFORNIA, DAVIS submitted to NRP
SUPPORTING FSMA COMPLIANCE FOR CALIFORNIAS REGIONAL FOOD HUBS THROUGH TRAINING AND TECHNICAL ASSISTANCE
Sponsoring Institution
National Institute of Food and Agriculture
Project Status
COMPLETE
Funding Source
OTHER GRANTS
Reporting Frequency
Annual
Accession No.
1017208
Grant No.
2018-70020-28862
Cumulative Award Amt.
$149,906.00
Proposal No.
2018-05227
Multistate No.
(N/A)
Project Start Date
Sep 1, 2018
Project End Date
Aug 31, 2021
Grant Year
2018
Program Code
[A4182]- Regional FSMA Center
Recipient Organization
UNIVERSITY OF CALIFORNIA, DAVIS
410 MRAK HALL
DAVIS,CA 95616-8671
Performing Department
Agricultural Sustainability It
Non Technical Summary
This project will improve understanding and adoption of food safety practices among a niche audience of produce distributors - food hubs - thereby increasing the success of regional supply chains through enhanced FSMA compliance. Food hubs, which manage the aggregation, distribution, and marketing of source-identified food products primarily from local and regional producers, are important sales channels for many small to medium-scale farmers, offering transportation efficiency and greater access to markets. However, food hub facilities and ownership structures vary widely, complicating determinations of coverage and qualified exemption status under FSMA's Produce Rule and Preventative Controls Rule. Our project will enhance food safety and regulatory compliance for at least 15 California food hubs via an existing CA Food Hub Network. The primary deliverables will be: PCQI certificates issued to 24 staff of California food hubs, technical expert review of food safety plans of 15 hubs, hazard analysis recommendations based on site visits for 10 hubs, and the development of FSMA guidance documents specifically targeting food hubs, to be shared on a national level through communication with Regional FSMA Training Centers and through University outreach and extension efforts. These objectives will be achieved via technical support trainings (delivered remotely and in person), one-on-one consultations, individualized hub food safety plan development and review, and in person site visits. The outcomes of this project will support local food systems in California and increase access to nutritious, safe, fresh produce in communities served by food hubs while improving overall food safety and regulatory compliance.
Animal Health Component
(N/A)
Research Effort Categories
Basic
(N/A)
Applied
(N/A)
Developmental
(N/A)
Classification

Knowledge Area (KA)Subject of Investigation (SOI)Field of Science (FOS)Percent
7115340302050%
7125340302050%
Knowledge Area
711 - Ensure Food Products Free of Harmful Chemicals, Including Residues from Agricultural and Other Sources; 712 - Protect Food from Contamination by Pathogenic Microorganisms, Parasites, and Naturally Occurring Toxins;

Subject Of Investigation
5340 - Nonfarm structures and related facilities;

Field Of Science
3020 - Education;
Goals / Objectives
To support the goal of FSMA PCHF training support and food safety outreach for small food hubs the specific objectives of this project are to:1. Provide FSPCA PCQI training for food hub employees2. Provide in-person/teleconference food safety technical assistance for food hubs3. Develop FSMA implementation guidance documents specific for food hubs
Project Methods
To achieve the goal of food safety and regulatory compliance for the local California food hub network, we will support FSPCA PCQI training for employees of 15 food hubs, estimating 24 staff members total (Objective 1). Identification of 15 food hubs is based on having received support from 13 hubs in the planning and conceptualization of this project that either require PCQI training or affirmed they would benefit from the training. We assume there are at least 2 additional food hubs in the network of over 20 hubs that will be interested in attending the training. In order to accommodate the schedules of the food hub staff, the hybrid course will be offered twice (once each year) by the Co-PD DiCaprio and Co-Investigator Pires with FSPCA PCHF Lead Instructor status. The course will enable the trainees to move through the bulk of the curriculum on their own time and then convene for the 1-day in person portion of the course. In addition to FSPCA PCQI training, additional training and information will be provided in group webinar formats. Groups will be divided based on FSMA compliance status into: covered by PSR, covered by PCHF Rule with qualified exemption, or fully covered by PCHF Rule. Following webinars and FSPCA PCQI training, the food hub employees will begin work on the individual food safety plan.In order to assist food hub employees with developing food safety plans which include hazard analysis (Objective 2), representatives from the 15 food hubs will attend at least one site visit at a subset of the hubs. Co-PD DiCaprio and Program Manager Engelskirchen will conduct site visits at 10 of the food hubs (4 in southern California, 1 in central California, 5 in northern California), based on the locations of the existing food hubs. This project is limited to 10 site visits due to budget and time constraints, and because some of the food hubs have no, or very small facilities (less than 500 sq. ft.). During site visits, employees of all 15 food hubs will be invited to attend in order to increase experiential learning. In this way, we expect more than 10 hubs to benefit from the information imparted during the site visits. Prior to site visits, food hub PCQI and food safety team (if applicable) will be asked to draft a process flow diagram and have a written description of their process. The flow diagram and process description will be verified as the first step in the site visit. Once these documents are verified, the PCQI and food safety team will work with co-PD and Co-Investigator Pires to conduct hazard analysis using the U.S. Food and Drug Administration's draft guidance document "Chapter 2: Conducting a Hazard Analysis" from Hazard Analysis and Risk-Based Preventive Controls for Human Food: Draft Guidance for Industry as a framework (FDA, 2016). Following the site visit, the food hubs will have identified hazards requiring a process, allergen, sanitation, and/or supply-chain preventive control.Using knowledge gained during the PCQI training and site visits, 15 food hubs will complete a food safety plan and send to Co-PD and Co-Investigator for review. Co-PD and Co-Investigator will provide feedback on each food safety plan via email and phone correspondence (Objective 2). Co-PD and Co-Investigator will collect information on identified hazards and preventive controls for each food safety plan. This information will be utilized to produce two versions of a fact sheet, "Hazards Identified in Food Hubs", appropriate to two different scales of food hub. In addition, two versions of model food plans for two different scales of food hub will be developed as guides. Other general SOPs that have broad application for the food hub network will be standardized and made available or use. With permission, individual food safety plans developed for unique food hubs will be made available for public dissemination with identifying information removed.

Progress 09/01/18 to 08/31/21

Outputs
Target Audience:Food hubs managers and staff Changes/Problems: Nothing Reported What opportunities for training and professional development has the project provided?The project team conducted a workshop at the biannual Wallace Center's 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. The workshop, titled "Your Hub is Subject to FSMA, Now What? FSMA Implementation Tools for Food Hubs" imparted practical knowledge and provide templates for developing a process flow diagram and conducting a hazard analysis at a food hub facility. While the majority of participants were food hub managers or staff, 1 participant was from extension and another was a regulator. How have the results been disseminated to communities of interest?All developed materials have are housed on the UC SAREP food hub food safety resource page (https://sarep.ucdavis.edu/fs/supply/foodhubs/safety) and are also available in the NECAFS food safety resource clearinghouse. Project progress presentations were given at the NECAFS FSOP webinar December 16, 2019, the Western Regional Center to Enhance Food Safety Annual Meeting on April 12, 2020, the FSOP Project Directors Meeting August 18-19 2020, and the Western Regional Center to Enhance Food Safety Annual Meeting on May 5, 2021. What do you plan to do during the next reporting period to accomplish the goals? Nothing Reported

Impacts
What was accomplished under these goals? The stated objectives of this project were the following: 1. Provide FSPCA PCQI training for food hub employees 2. Provide in-person/teleconference food safety technical assistance for food hubs 3. Develop FSMA implementation guidance documents specific for food hubs In year 1 (September 1, 2018 - August 31 2019), FSPCA PCQI training was offered to 14 food managers and staff (Objective 1) and a series of three webinars providing a FSMA was delivered (Objective 2). During the second year of the project (September 1, 2019 - August 31, 2020) several outcomes were accomplished under Objective 2. Presentation materials developed for the webinar series were uploaded to the Food Safety Resource Clearinghouse. In August 2019, we sent an invitation to 20 food hubs to receive individualized technical assistance on food safety/FSMA compliance in the form of site visits and technical feedback on a draft of the food hub's food safety plan, hazard analysis and flow diagram. Six food hubs responded to receive additional technical assistance and site visits were scheduled for these facilities. Prior to site visits, an hour long conversation was scheduled with each food hub to discuss their operation, existing food safety documents, and pinpoint areas of emphasis for the on-site visit. Site visits were conducted December 5th, 2019 (Oakland, CA), January 15th, 2020 (Esparto, CA), January 30th , 2020 (Petaluma, CA), February 12th 2020, (Truckee, CA), and February 27th 2020 (Ukiah, CA). The sixth scheduled site visit was deferred due to the COVID-19 pandemic. Depending on availability, 2-3 individuals from the project team traveled to each facility and spent two to three hours reviewing documentation, doing a walk-through of facility, conducting a "mock" audit, and providing feedback to food hub management and staff. A pre/post test evaluation was developed to determine learning outcomes in participants as a result of the site visit. A summary of the site-visit and review of the food safety plan was provided to all participants. As a result of the site visits it was observed that many food hubs were lacking SOPs and as such the project team generated a list of SOPs of need in collaboration with participating food hubs. The project team submitted a workshop proposal to the biannual Wallace Center's 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. The workshop, titled "Your Hub is Subject to FSMA, Now What? FSMA Implementation Tools for Food Hubs" was accepted with the overall goal to impart practical knowledge and provide templates for developing a process flow diagram and conducting a hazard analysis at a food hub facility. The four hour workshop covered an Overview of the Preventive Controls Rule and how it applies to food hubs, presentations from 3 food hub panelists and Q&A session, example model food plan for food hubs and common hazards for food hubs, information on how to develop a flow diagram and conduct a hazard analysis, and a breakout session to develop a flow diagram and identify hazards. A total of 19 individuals attended the workshop. Overall, feedback was very positive for the content and structure of the workshop. Participants were asked via retrospective pre/post test to evaluate their understanding and knowledge of 1) How to develop a flow diagram; 2) How to evaluate threats from microbial sources; 3) How to conduct a hazard analysis; 4) How to implement preventive controls; 5) What a produce distribution enterprise or food hub needs to do to comply with FSMA. A scale of 1 to 5 was used with 1=strongly disagree to 5=strongly agree. The initial average for all questions on the pre-test was 2.8 and increased to 4.0 after attending the workshop. The increases in knowledge reported for each individual questions were for Question (Q) 1 increased by 1.6, Q2 increased by 0.6, Q3 increased by 1.2, Q4 increased by 1.4, and Q5 increased by 1.7. During the final reporting period (September 1, 2020 - August 31, 2021), project funds were used to support the issuance of seven additional PCQI certificates to food hub staff and one project team member. All participants reported knowledge gains on (1) how to develop a flow diagram, (2) how to evaluate threats from microbial sources, (3) how to conduct a hazard analysis, (4) how to implement preventive controls, and (5) what a food hub needs to do be in compliance. The site visit to the 6th food hub (Cedarville, CA) which had been postponed due to COVID-19 was completed in June 2021. Additionally, the project team met regularly (virtually) from December 2020 - April 2021 with staff of a Northern California food hub to provide individualized technical assistance and support around the development of Standard Operating Procedures (SOPs) for their facility. Other instances of individualized technical assistance with food hub practioners took place during the length of the project. Eleven sample Standard Operating Procedures were generated and published online on the UC SAREP website and Food Safety Resource Clearinghouse. SOPs are available in English and Spanish. Two example food safety plans were developed for food hubs. One focuses on aggregation of whole boxes without the presence of any allergens in the facility. The second gives an example of breaking down boxes and repacking in the absence of allergens in the facility. Example flow diagrams are also available independent of the full food safety plan.

Publications


    Progress 09/01/19 to 08/31/20

    Outputs
    Target Audience:Food hubs managers and staff. Changes/Problems:The COVID-19 pandemic caused the cancelation of one schedule site visit and also slowed progress on finalizing implementation documents. A no cost extension was granted to extend the project for one year to allow for completion of these deliverables. What opportunities for training and professional development has the project provided?The project team conducted a workshop at the biannual Wallace Center's 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. The workshop, titled "Your Hub is Subject to FSMA, Now What? FSMA Implementation Tools for Food Hubs" imparted practical knowledge and provide templates for developing a process flow diagram and conducting a hazard analysis at a food hub facility. While the majority of participants were food hub managers or staff, 1 participant was from extension and another was a regulator. How have the results been disseminated to communities of interest?All materials generated to date by the project have been shared via email with the California Food Hub Network. Also finalized materials have been uploaded to the NECAFS website. Project progress presentations were given at the NECAFS FSOP webinar December 16, 2019 the Western Regional Center to Enhance Food Safety Annual Meeting on April 12, 2020, and the FSOP Project Directors Meeting August 18-19 2020. What do you plan to do during the next reporting period to accomplish the goals?A no cost extension was requested and granted to extend this project for another year. The team is currently working to finalize model food safety plans, SOPs, and an implementation factsheet for food hubs. We are also exploring options for rescheduling site visits, either remotely or physically distanced. An online PCQI training is planned for January 2020 to reach any additional food hub staff that may not have attended the course offered in 2019. The team from UC SAREP is working to build a website of resources for food hubs and all project materials will also be available on this website.

    Impacts
    What was accomplished under these goals? The stated objectives of this project were the following: 1.Provide FSPCA PCQI training for food hub employees 2.Provide in-person/teleconference food safety technical assistance for food hubs 3.Develop FSMA implementation guidance documents specific for food hubs In year 1, FSPCA PCQI training was offered to 14 food managers and staff (Objective 1) and a series of three webinars providing a FSMA was delivered (Objective 2). During the current reporting period (September 1, 2019 - August 31, 2020) several outcomes were accomplished under Objective 2. Presentation materials developed for the webinar series have been uploaded to the Food Safety Resource Clearinghouse. In August 2019, we sent an invitation to 20 food hubs to receive individualized technical assistance on food safety/FSMA compliance in the form of site visits and technical feedback on a draft of the food hub's food safety plan, hazard analysis and flow diagram. Six food hubs responded to receive additional technical assistance and site visits were scheduled for these facilities. Prior to site visits, an hour long conversation was scheduled with each food hub to discuss their operation, existing food safety documents, and pinpoint areas of emphasis for the on-site visit. Site visits were conducted December 5th (Oakland, CA), January 15th, 2020 (Esparto, CA), January 30th (Petaluma, CA), February 12th (Truckee, CA), and February 27th (Ukiah, CA). The sixth scheduled site visit was canceled due to the COVID-19 pandemic. Depending on availability 2-3 individuals from the project team traveled to each facility and spent two to three hours reviewing documentation, doing a walk-through of facility, conducting a "mock" audit, and providing feedback to food hub management and staff. A pre/post test evaluation was developed to determine learning outcomes in participants as a result of the site visit. A summary of the site-visit and review of the food safety plan was provided to all participants. The project team submitted a workshop proposal to the biannual Wallace Center's 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. The workshop, titled "Your Hub is Subject to FSMA, Now What? FSMA Implementation Tools for Food Hubs" was accepted with the overall goal to impart practical knowledge and provide templates for developing a process flow diagram and conducting a hazard analysis at a food hub facility. The four hour workshop covered an Overview of the Preventive Controls Rule and how it applies to food hubs, presentations from 3 food hub panelists and Q&A session, example model food plan for food hubs and common hazards for food hubs, information on how to develop a flow diagram and conduct a hazard analysis, and a breakout session to develop a flow diagram and identify hazards. A total of 19 individuals attended the workshop. Overall, feedback was very positive for the content and structure of the workshop. Participants were asked via retrospective pre/post test to evaluate their understanding and knowledge of 1) How to develop a flow diagram; 2) How to evaluate threats from microbial sources; 3) How to conduct a hazard analysis; 4) How to implement preventive controls; 5) What a produce distribution enterprise or food hub needs to do to comply with FSMA. A scale of 1 to 5 was used with 1=strongly disagree to 5=strongly agree. The initial average for all questions on the pre-test was 2.8 and increased to 4.0 after attending the workshop. The increases in knowledge reported for each individual questions were for Question (Q) 1 increased by 1.6, Q2 increased by 0.6, Q3 increased by 1.2, Q4 increased by 1.4, and Q5 increased by 1.7. Under Objective 3, model food safety plans were developed for food hubs. These model food safety plans were shared at the workshops held in March. These model food safety plans are under final review and will be made available on the Food Safety Clearing House. As a result of the site visits it was observed that many food hubs were lacking SOPs and as such the project team generated a list of SOPs of need in collaboration with participating food hubs. The project team is currently developing model SOPs based on this list to be made available to food hubs and also broadly available on the Food Safety Clearinghouse.

    Publications

    • Type: Conference Papers and Presentations Status: Accepted Year Published: 2020 Citation: Wallace Center 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. Your Hub is Subject to FSMA, Now What? FSMA Implementation Tools for Food Hubs
    • Type: Conference Papers and Presentations Status: Published Year Published: 2020 Citation: Presentation materials (published online at the Food Safety Clearinghouse) Overview of FSMAs Preventive Controls Rule: What is my food hubs status and what does it mean https://foodsafetyclearinghouse.org/resources/overview-fsma%E2%80%99s-preventive-controls-rule-what-my-food-hub%E2%80%99s-status-and-what-does-it-mean
    • Type: Conference Papers and Presentations Status: Published Year Published: 2020 Citation: Qualified exempt under the Preventive Controls Rule: What does my food hub need to do? https://foodsafetyclearinghouse.org/resources/qualified-exempt-under-preventive-controls-rule-what-does-my-food-hub-need-do
    • Type: Conference Papers and Presentations Status: Published Year Published: 2020 Citation: Requirements for a food hub that is fully covered under the Preventive Controls Rule https://foodsafetyclearinghouse.org/resources/requirements-food-hub-fully-covered-under-preventive-controls-rule


    Progress 09/01/18 to 08/31/19

    Outputs
    Target Audience:Food hub managers and operators. Changes/Problems:No major project changes or problems to report at this time. In our project proposal, we anticipated that 10 food hubs would participate in the one-on-one technical assistance via site visits. To date, only 8 have responded to the project team's solicitation. Therefore, the number of site visits may be less than originally anticipated. What opportunities for training and professional development has the project provided? Nothing Reported How have the results been disseminated to communities of interest?Audio and visual slides from 3 webinars were disseminated via the CA Food Hub Network list-serve, with 58 subscribers (at the time of dissemination) representing 20 food hubs, and are available for access by current food hub managers and staff on a shared Google drive. Webinar slides will also be made available via the Food Safety Resource Clearinghouse. What do you plan to do during the next reporting period to accomplish the goals?1. Provide FSPCA PCQI training for food hub employees Food hub staff who did not attend the FSPCA PCQI training in early 2019 but wish to receive the certificate will have another opportunity to do so in 2020. 2. Provide in-person/teleconference food safety technical assistance for food hubs The project team will conduct site visits to 8 - 10 food hubs between December 2019 and March 2020 to provide individualized technical assistance around food safety/FSMA compliance. The project team will also offer review and feedback on the food hubs' food safety plans, hazard analyses and flow diagrams. The project team hopes to present an interactive workshop at the biannual Wallace Center's 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. Using the model food safety plan and guidance documents developed through this project and designed specifically with food hubs in mind, participants will work in small groups to create their own flow diagram or preventive control for their individual hubs. 3. Develop FSMA implementation guidance documents specific for food hubs The project team developed a draft Model Food Safety Plan for Food Hubs which will be used as a template for the food hubs during the site visits. The Model Food Safety Plan for Food Hubs will be updated and revised based on input from food hub staff and observations gleaned during the site visits. The Model Food Safety Plan for Food Hubs, flow diagram template and hazard analysis template will be finalized and shared with a national audience at the Good Food Network Conference and via the Food Safety Resource Clearinghouse. The implementation guidance documents will also be shared via email with the CA Food Hub Network and live in a shared Google drive repository for future accessibility by food hub managers and staff beyond the project term.

    Impacts
    What was accomplished under these goals? The stated objectives of this project were the following: Provide FSPCA PCQI training for food hub employees Provide in-person/teleconference food safety technical assistance for food hubs Develop FSMA implementation guidance documents specific for food hubs 1. Provide FSPCA PCQI training for food hub employees On January 11, 2019 the team offered a subsidized FSPCA Preventative Controls for Human Food PCQI certification course attended by 14 food hub managers and staff. The project goal/outcome of issuing PCQI certificates was achieved, along with knowledge enhancement. In a post-training evaluation, participants were asked to rate their knowledge of the FSMA Preventive Controls for Human Food Rule prior to attending the FSPCA Hybrid course and after attending the FSPCA Hybrid course. 0% of survey respondents (n = 12) said they were "very knowledgeable" prior to attending the course compared to 50% (n = 12) who indicated they were "very knowledgeable" after attending the course. The remaining 50% said they were "somewhat knowledgeable" after attending the course, compared to 67% who were "somewhat knowledgeable" prior and 33% who indicated they had "no previous knowledge" prior to the training. 2. Provide in-person/teleconference food safety technical assistance for food hubs Between November 2018 and January 2019, the project team hosted a series of 3 webinars for participants in the CA Food Hub Network on how the FSMA Preventative Controls Rule applies to food hub facilities and what is required for food hubs to be in compliance. Participants who completed an evaluation survey about the webinar series rated the webinars as "very useful" (80% of respondents, n = 5) or "somewhat useful" (20% of respondents, n = 5). Slides from all 3 webinars were shared with the 58 members of the CA Food Hub Network list-serve, and will be made available via the Food Safety Resource Clearinghouse. In August 2019, we sent an invitation to 20 food hubs to receive individualized technical assistance on food safety/FSMA compliance in the form of site visits and technical feedback on a draft of the food hub's food safety plan, hazard analysis and flow diagram. 8 food hubs responded and to date, 5 site visits have been scheduled for site visits between December 2019 and March 2020. The project team submitted a workshop proposal to the biannual Wallace Center's 2020 National Good Food Network Conference March 10-13 in New Orleans, LA. The workshop, titled "Your Hub is Subject to FSMA, Now What? FSMA Implementation Tools for Food Hubs" proposes to impart practical knowledge and provide templates for developing a process flow diagram and conducting a hazard analysis at a food hub facility.

    Publications