GSA MOBIS SIN 874-1 CONTRACT NO. GS-10F-0125P ORDER NO.

HHSF223200730236G

CHARACTERISTICS OF CURRENT FOOD TRANSPORTATION AND HOLDING PRACTICES FOR FOOD COMMODITIES
FINAL

Submitted to: Rachel Lange, Ph.D. Center for Food Safety and Applied Nutrition U.S. Food and Drug Administration 5100 Paint Branch Parkway College Park, MD 20740

Submitted by: Nyssa Ackerley, M.S. Aylin Sertkaya, Ph.D. Eastern Research Group, Inc. 110 Hartwell Avenue Lexington, MA 02421 www.erg.com ERG Task No. 0193.16.001.001
March 6, 2009

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TABLE OF CONTENTS 1. 2. INTRODUCTION AND BACKGROUND...................................................................... 1-1 LITERATURE REVIEW ................................................................................................. 2-1 2.1 EXISTING FOOD TRANSPORTATION GUIDELINES ........................................................... 2-2 2.2 TYPES OF CONTAMINATION DURING FOOD TRANSPORTATION AND HOLDING.............. 2-9 2.2.1 Physical Contamination........................................................................................... 2-9 2.2.2 Chemical Contamination ......................................................................................... 2-9 2.2.3 Biological Contamination........................................................................................ 2-9 2.3 RISK FACTORS DURING FOOD TRANSPORTATION AND HOLDING.................................. 2-9 2.3.1 Lack of Education in Food Transportation/Holding Safety .................................. 2-10 2.3.2 Inadequate Temperature Control .......................................................................... 2-11 2.3.3 Improper Loading and Packing ............................................................................. 2-12 2.3.4 Improper Sanitation of Transportation Vehicles and Containers ......................... 2-12 2.3.5 Poor Pest Control .................................................................................................. 2-13 2.3.6 Lack of Security...................................................................................................... 2-13 2.3.7 Lack of Guidelines for Rejected Product ............................................................... 2-14 2.4 FOOD TRANSPORTATION AND HOLDING BEST PRACTICES .......................................... 2-14 2.4.1 Temperature Control ............................................................................................. 2-14 2.4.2 Increased Security and Tracking ........................................................................... 2-15 2.4.3 Proper Loading/Packing Practices........................................................................ 2-17 2.4.4 Monitor and Ensure Sanitation/Condition of Transportation Vehicles................. 2-18 2.4.5 Good Communication ............................................................................................ 2-19 2.4.6 Employee Awareness/Training .............................................................................. 2-19 2.4.7 Pest Control Programs .......................................................................................... 2-20 2.5 LITERATURE REVIEW SUMMARY ................................................................................ 2-20 3. CHARACTERISTICS OF CURRENT FOOD TRANSPORTATION AND HOLDING PRACTICES FOR FOOD COMMODITIES: A DELPHI STUDY ..................................... 3-1 3.1 METHODOLOGY MODIFIED DELPHI METHOD ............................................................. 3-1 3.2 EXPERT PANEL.............................................................................................................. 3-2 3.3 EXPERT ELICITATION PROCESS ..................................................................................... 3-2 3.4 RESULTS ....................................................................................................................... 3-3 3.4.1 Round 1 Results........................................................................................................ 3-3 3.4.2 Round 2 Results........................................................................................................ 3-6 3.4.3 Round 3 Results...................................................................................................... 3-11 3.4.4 Round 4 Results...................................................................................................... 3-13 3.4.5 Additional Considerations ..................................................................................... 3-15 4. REFERENCES................................................................................................................... 4-1

APPENDIX A: ANNOTATED BIBLIOGRAPHY ............................................................... A-1 APPENDIX B: ASSOCIATION OF FOOD AND DRUG OFFICIALS GUIDELINES FOR THE TRANSPORTATION OF FOOD PRODUCTS........................ B-1

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APPENDIX C: EXPERT ELICITATION PROTOCOL ..................................................... C-1 ROUND 1 - BACKGROUND INFORMATION ON FOOD SAFETY HAZARDS, MODES OF TRANSPORTATION AND FOOD PRODUCT CATEGORY................................................................ C-2 ROUND 1 - ITERATION .............................................................................................................. C-4 ROUND 2 - RISK RANKINGS OF FOOD SAFETY HAZARDS BY MODE OF TRANSPORTATION AND FOOD PRODUCT CATEGORY ..................................................................................................... C-5 ROUND 2 - ITERATION .............................................................................................................. C-7 ROUND 3 - PREVENTIVE CONTROLS FOR THE ELIMINATION/MITIGATION OF FOOD SAFETY 4HAZARDS BY MODE OF TRANSPORTATION AND FOOD PRODUCT CATEGORY ........................ C-7 ROUND 4 - ASSIGNING PREVENTIVE CONTROLS TO FOOD SAFETY HAZARDS............................. C-9

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EXECUTIVE SUMMARY The Sanitary Food Transportation Act of 2005 reallocated responsibilities for food transportation safety among the U.S. Department of Health and Human Services (DHHS), the U.S. Department of Transportation (DOT), and the U.S. Department of Agriculture (USDA). It amends section 402 of the Federal Food, Drug, and Cosmetic Act (the Act) so as to render unsanitary transport adulteration and add a new section 416 of the Act concerning sanitary transportation practices. Any new regulations will apply to any shipper, carrier that is a motor or rail vehicle, receiver or any other person engaged in the transportation of food. There is currently very little information on the state of food transportation and holding practices in the United States. Thus, under contract to the U.S. Food and Drug Administration (FDA), ERG undertook this study designed to characterize the baseline practices in the sectors involved in food transportation, such as refrigerated warehousing and storage, farm product warehousing and storage, deep sea freight transportation, coastal and great lakes freight transportation, inland water freight transportation, local and long distance general freight trucking, and others. Through a literature review and expert opinion elicitation, we identified the following 15 problem areas where food may be at risk for microbiological, chemical, and/or physical contamination during transport and storage: Improper refrigeration or temperature control of food products (temperature abuse). These may be intentional (abuse or violation of practices by drivers, i.e., turning off refrigeration units) or unintentional (due to improper holding practices or shortages of appropriate shipping containers or vessels, etc.). Improper management of transportation units or storage facilities to preclude crosscontamination, including improper sanitation, backhauling hazardous materials, not maintaining tanker wash records, improper disposal of wastewater, and aluminum phosphide fumigation methods in railcar transit. Improper packing of transportation units or storage facilities, including incorrect use of packing materials and poor pallet quality. Improper loading practices, conditions, or equipment, including improper sanitation of loading equipment, not using dedicated units where appropriate, inappropriate loading patterns, and transporting mixed loads that increase the risk for crosscontamination. Improper unloading practices, conditions, or equipment, including improper sanitation of equipment and leaving raw materials on loading docks after hours. Lack of security for transportation units or storage facilities, including lack of or improper use of security seals and lack of security checks or records of transporters. Poor pest control in transportation units or storage facilities.

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Lack of driver/employee training and/or supervisor/manager/owner knowledge of food safety and/or security. Poor transportation unit design and construction. Inadequate preventive maintenance for transportation units or storage facilities, resulting in roof leaks, gaps in doors, and dripping condensation or ice accumulations. Poor employee hygiene. Inadequate policies for the safe and/or secure transport or storage of foods. Improper handling and tracking of rejected loads and salvaged, reworked, and returned products or products destined for disposal. Improper holding practices for food products awaiting shipment or inspection, including unattended product, delayed holding of product, shipping of product while in quarantine, and poor rotation and throughput. Lack of traceability for food products during transportation and storage. As expected, the level of contamination risk posed by the improper transportation and storage practices noted above varies across food sectors. Raw seafood, raw meat and poultry, and refrigerated raw and ready-to-eat foods have the highest overall risk (in descending order) across all modes of transit followed by eggs and egg products, frozen foods, and fresh produce. Packaging materials and non-perishables have the lowest overall risk. In addition to areas where food may be at risk for microbiological, chemical, and/or physical contamination, we also examined the range of preventive controls that may help eliminate/mitigate these risks to food during transport and storage. Our analysis identified the following seven (7) controls with the broadest applicability across all food sectors and modes of transport: Employee awareness and training Management review of records Good communication between shipper, transporter and receiver Appropriate loading procedures for transportation units Appropriate unloading procedures for transportation units Appropriate documentation accompanying each load (i.e., tanker wash record, seal numbers, temperature readings, time in-transit and time on docks, etc) Appropriate packaging/packing of food products and transportation units (i.e., good quality pallets, correct use of packing materials) This study serves as a preliminary assessment of current food transportation and holding practices for food commodities. Both the lack of literature on the subject and the broad nature of

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the expert elicitation suggest a need for further study regarding food safety hazards involved in food transportation. In particular, the food transportation industry may benefit from a baseline quantitative assessment of both the frequency and severity of food safety hazards and the implementation of various safe food transportation practices and preventive controls.

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1.

INTRODUCTION AND BACKGROUND

On August 10, 2005, the President signed the Safe, Accountable, Flexible, and Efficient Transportation Equity Act--A Legacy for Users (SAFETEA-LU; Pub. L. 109-59, 119 Stat. 1144). Subtitle B of Title VII of SAFETEA-LU the Sanitary Food Transportation Act of 2005 amended the Federal Food, Drug, and Cosmetic Act (FDCA) to assign the regulatory authority for food transportation safety to the U.S. Department of Health and Human Services (DHHS) and to require the U.S. Department of Transportation (DOT), in consultation with DHHS and the U.S. Department of Agriculture (USDA), to establish procedures for transportation safety inspections to identify suspected incidents of food contamination or adulteration. The legislation shifts transport sanitation responsibility to the DHHS and expands previously enacted law to ensure that contract carriers hauling food are taking the appropriate steps to prevent non-food shipments from contaminating food shipments (Kopperud, undated). In 1990, Congress enacted similar legislation after a spate of media reports showed contract truckers delivering food to supermarkets and backhauling trash, garbage, and other nonfood loads. The 1990 legislation instructed the DOT to set rules for clean-out, backhauling, and other activities. Following the legislation, DOT claimed a lack of expertise and attempted to contract with the FDA to write the rules. FDA responded to the DOT inquiry by indicating that it lacked the resources to take on the task. Finally, in 2004, DOT proposed a rule requiring shippers to comply with applicable USDA and FDA rules. The new 2005 legislation requires the Secretary of DHHS to issue rules setting up sanitary food transport practices for shippers, motor vehicle and rail carriers, receivers and others engaged in land transport of food. The rules would cover sanitation, packaging, isolation and protective measures, limits on vehicle use, information that carriers and shippers must disclose to one another on food shipments, and recordkeeping. Failure to comply with these regulatory requirements would render the food adulterated and constitute a prohibited act under the FDCA. The new law also requires DOT to consult with DHHS and USDA to set up procedures for food transport safety inspections that would identify contamination or adulteration, and cites conforming requirements under several meat and meat processing laws (McColl & Sittihkul, 2006). Figure 1-1 is a schematic of the domestic food supply chain. Supply chains are quite similar across most products, food and non-food. There may be a tier of suppliers that serves a manufacturing/production facility. These facilities then serve distribution facilities, which eventually serve retailer outlets, and in the case of food, also include restaurant retail facilities that serve the end consumer. Such supply network systems might be quite complex as there can be additional first tier and second tier suppliers. Some food manufacturers use third-party logistics providers (3PLs) to outsource transportation procurement, but many companies organize the transport of their goods internally. A 3PL is a firm that provides outsourced or third party logistics services to companies for part or sometimes all of their supply chain management function. 3PLs typically specialize in integrated warehousing and transportation services that can be scaled and customized to customers needs based on market conditions and the demands and delivery service requirements for their products and materials.

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Figure 1-1: Domestic Food Supply Chain System

Supplier Supplier 3PL Supplier Truck Transporter Manufacturer Truck Transporter Distributor Truck Transporter Retailer Source: Erera, 2007 Supplier Supplier Rail Transporter Supplier Supplier

Truck transportation dominates most food supply chain systems, especially toward the consumer end of the chains (Erera, 2005). Truck transporters are typically involved in moving goods among manufacturers and distributors, distributors, and retailers, and even further up the chain between suppliers and production points. There are, however, certain food supply chain systems that require bulk transport, such as rail, barge, or inland water. The import supply chain systems typically involve an inter-modal service, such as a seatruck or an air-truck combination (see Figure 1-2). The final leg of transportation in the import supply chain is typically performed by truck upon crossing of the international border (Erera, 2005). In this complex system, risk measured by exposure likelihood and impact, given an undetected problem, increases the further one moves back in the supply chain. A problem that is introduced further back in the supply chain system can spread out to many distributors, retailers and then, to consumers just by the structure of the system. For example, [in 1994], an estimated quarter of a million Americans got gastroenteritis after eating Schwans ice cream the largest outbreak of salmonella poisoning in the U.S. ever traced to a single source. Environmental health specialists eventually tracked down the cause. Liquid eggs laced with the salmonella bacteria were transported to a factory in tanker trailers. These same trucks later hauled pasteurized ice cream base to another plant, and the bacteria came too (Heap et al., 1998). Recently, Larsen et al. (2003) have found that transport and holding practices contributed to an increased salmonella infection prior to slaughter to levels much higher than those found on farms in mature sows used for ground pork products. In a 2006 survey of executives involved in warehousing and transportation management of food and beverage products, 9.6 percent indicated food safety as one of the biggest logistics challenges (Saddle Creek Corporation, 2007). Moreover, in a recent multi-state intercept survey

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of truckers, Wojtala (2007) has identified several areas of concern in food transport that increase the likelihood of food contamination, such as: Improper refrigeration No or inadequate cooling. Cross-contamination Raw meat and poultry delivered in the same truck as fruit and vegetables. Lack of labeling Food products lacking label or source information. Improper packaging Use of grocery bags and re-used carton boxes. Pest activity Infestation with insects. Insanitary storage Roof leaks and moldy walls and animal blood and food on bed floors. Security of food loads Lack of security seals or locks. Lack of driver knowledge of food safety and defense Low driver awareness of safe food temperatures and inadequate food safety training of drivers. Figure 1-2: Import Food Supply Chain System
Supplier Supplier Supplier Supplier

Supplier

Supplier

Supplier

Manufacturer Inter-modal Transporter Distributor Truck Transporter Retailer Source: Erera, 2007 Border

There is very little information on the state of food transportation and holding practices in the United States. Thus, the primary objectives of this preliminary study are: To characterize baseline practices in the sectors involved in food transportation, such as refrigerated warehousing and storage, farm product warehousing and storage, deep sea freight transportation, coastal and great lakes freight transportation, inland water freight transportation, and local and long distance general freight trucking. 1-3

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To identify areas where food is at risk for adulteration. The organization of this report is as follows. Section 2 describes the results of a comprehensive literature review pertaining to food handling practices in the food transportation industry. The types of literature reviewed include peer reviewed publications, trade publications, technical papers, guidance documents prepared by federal agencies, trade organizations, and university-affiliated research centers, and books related to food safety. Section 3 presents our findings from an expert opinion elicitation study conducted to improve our understanding of the baseline food transportation practices and to identify areas where food is at risk for adulteration.

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2.

LITERATURE REVIEW

Each year, 200 billion metric tons of food is transported globally - 35 percent by land, 60 percent by sea, and 5 percent by air (Bendickson, 2007). The sheer quantity and the variety of foods transported along with the multitude of container, temperature, and handling requirements for each food product emphasizes the vulnerability of the food industry to possible adulteration during transport and storage (Keener, 2003). In the United States, about 80 percent of all food shipments are by truck (Saddle Creek, 2007) and 91 percent of all temperature-controlled freight is transported by truck (Kilcarr, 2001), including about 28.5 million tons of refrigerated fruit and vegetables (USDA-AMS, 2007). Trucking remains the cheapest and the most flexible mode of food transport (Bge, 1997). However, rail transportation has received increased attention recently given its potential cost savings and the trucking industrys current challenges with fuel surcharges, driver shortages, and the latest HOS (Hours of Service) regulations (Terreri, 2007).1 The use of refrigerated intermodal transportation may also be on the rise (Terreri, 2007). Intermodal freight transportation involves the use of multiple modes of transportation (truck and rail) for the same shipment without handling the freight between modes (i.e., truck trailer on flatbed railcar). Some suppliers may be taking advantage of economies of scale in boxcar shipping and utilizing intermodal transportation to develop more regionalized trucking routes in response to driver preferences for short-haul rather than long-haul trucking (Terreri, 2007). Saddle Creek Corporation, a third-party logistics provider2 (3PL), conducted a survey of food and beverage warehousing and transportation management executives. The majority of respondents were grocery companies, food and beverage processors or other third-party logistics providers. The survey, intended to identify common practices, challenges, and emerging trends, found that: Capacity problems, driver shortages, and customer demands are the industrys top challenges. Food safety is the 6th highest logistics challenge (indicated by 9.6 percent of respondents). 58.3 percent of respondents engage in backhauling (transporting a different load in the empty truck on a return trip), although only 17.1 percent indicate achieving 81 to 100 percent of their backhauls. 63.5 percent of respondents outsource some or all of their transportation (34.1 percent outsource 75 to 100 percent of their transportation budget).

In 2005, the Federal Motor Carrier Safety Administration (FMCSA) issued new Hours of Service regulations for commercial motor vehicle drivers, which regulate the number of consecutive hours that drivers may be on-duty. Restrictions on hours of service increase the number of drivers required by the industry. A third party logistics provider (3PL) is a firm that provides outsourced logistics services (i.e., transportation and distribution) to another company.
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A number of these findings may be significant in regards to food transportation safety. Driver shortages and capacity problems may result in a lack of driver education in and adherence to proper procedures for the safe transportation of food. Backhauling increases the risk for crosscontamination if potentially hazardous foods or other items are carried in succession without proper sanitation between loads. The backhauling of trash and other hazardous materials was the impetus for the authorization of the Sanitary Food Transportation Act of 1990. Finally, manufacturers who outsource their transportation needs relinquish control of the safety of their product as it moves from the processing facility to the retailer. Good communication and management systems are required to maintain product integrity throughout the distribution chain. There is limited data available on food safety failures that are directly attributable to transportation and storage practices (Keener, 2003). Yet, industry experience suggests that such incidents may be widely underreported (Keener 2003). The greatest concerns for food safety during transportation are tampering and sabotage, temperature abuse, and cross-contamination (Stier, 2004; Keener, 2003). 2.1 EXISTING FOOD TRANSPORTATION GUIDELINES

International standards for the transport and handling of various food commodities have been established by the Codex Alimentarius Commission of the Food and Agriculture Organization (FAO) and the World Health Organization (WHO). Such standards include the Recommended International Code of Practice General Principles of Food Hygiene and supplementary standards for specific food commodities, such as: Recommended International Code of Hygienic Practice for the Storage and Transport of Edible Oils and Fats in Bulk, Recommended International Code of Hygienic Practice for the Packaging and Transport of Tropical Fresh Fruit and Vegetables, and Code of Hygienic Practice for the Transport of Food in Bulk and Semi-Packed Food. A number of countries have modeled national guidelines after these standards, such as the Draft Good Transportation Practices Code developed in 2001 by the Canadian Food Inspection System. The Canadian Good Transportation Practices Code offers guidance on the following: Defining responsibilities (shipper, transporter, receiver), Guidelines for food transportation units (construction, cleanliness, inspections, restrictions on non-food loads, labeling food-only units), Temperature controls (for chilled and frozen foods, proper loading, regular monitoring, adequate temperature upon arrival), Incoming food and packaging materials (prompt appropriate minimal handling, inspections, appropriate storage), Records of prior cargoes and prior cleaning,

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Transportation spills and salvage (potentially hazardous foods are itemized and discarded, salvageable foods are itemized and kept in secure storage until approved for consumption), Communication and documentation of controls (food transportation unit number, information on previous loads, temperature/time records, cleaning certificates), and Training (all personnel involved in food transportation). A number of guidance documents have been developed to ensure the safety and security of food and food ingredients as they move from the farm to the ultimate consumer. Table 2-1 presents many of these guidelines, grouped according to source: federal agency (USDA, FDA), trade association, international regulatory body, etc. Some guidance documents specifically address safe food transportation practices, while others incorporate transportation and holding practices into more general food safety guidelines. Many guidance documents offer guidelines applicable to all food industries, while others are commodity specific. The Association of Food and Drug Officials (AFDO) has recently drafted and adopted Guidelines for the Transportation of Food Products (2004). This document provides a comprehensive overview of best food transportation practices and measures (including vehicle design and construction) to ensure the safe transport and handling of food products. This document is provided in Appendix B. A number of commonly recommended practices for the safe and secure transport of food commodities can be generated from the guidance documents presented in Table 2-1. Sanitize and properly maintain vehicles. Maintain records of prior cargoes and cleanings. Load trailers properly to maximize air circulation and minimize product damage. Keep raw and ready-to-eat foods appropriately packaged and separated to reduce the risk of damage to products and avoid cross-contamination. Maintain appropriate temperatures throughout the cold chain, including proper precooling of food products and trailers. Use temperature recording devices to monitor temperatures. Use security seals or implement security practices to minimize the risk of contamination. Implement good communication practices between shippers/manufacturers, receivers and transporters.

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Table 2-1: Food Transportation Safety Guidelines

Guidance/Regulation FSIS Safety and Security Guidelines for the Transportation and Distribution of Meat, Poultry, and Egg Products (2005) Industry/Product Covered Meat Poultry Eggs Preventive Controls USDA Transportation Safety Plan - Identify vulnerable points and develop a comprehensive transportation sanitation and safety plan - Train personnel Storage Food Safety System - Design and maintain a storage and warehousing food safety system Vehicles Used To Transport Meat, Poultry, and Egg Products - Design and construct vehicles to protect product - Sanitize and properly maintain vehicles - Use dedicated transport vehicles Pre-Loading - Loading and unloading areas should be configured, cleaned, disinfected (where appropriate), and properly maintained to prevent product contamination - Examine vehicles before loading - Stage loads to facilitate proper stowage and minimize exposure during loading and unloading Loading - Protect products from exposure to environmental contaminants such as microbes, dust, moisture, or other physical contamination - Maintain the cold chain to ensure meat, poultry, and egg products are kept at appropriate temperatures continuously throughout all phases of transport - Use appropriate loading procedures and equipment - Use special care with mixed or partial loads In-Transit - Establish procedures to periodically check integrity of the load during transit - Establish procedures to ensure product safety during interim storage Unloading - Carefully examine incoming products - Move product from the loading dock into cold storage immediately to minimize product exposure to heat and contaminants - Security Plan Management practices General guidelines for drivers Driver security checklists (on-the-road, stopping, destination, hijacking prevention) General guidelines for companies

USDA Guide for Security Practices in Transporting Agricultural and Food Commodities (2004)

All food

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Guidance/Regulation USDA Tropical Products Transport Handbook (1999)

Industry/Product Covered Tropical products

Preventive Controls Plan ahead before growing and shipping Transport only top quality products Ensure quality control with grading Maintain quality with effective packaging Pre-cool produce to ensure quality Choose the best mode of transport Check the transport equipment before loading Use proper loading practices Use recommended transit and storage procedures Ensure proper documentation Insurance procedures Maintaining product quality (packaging, labeling, stacking, packing, standardization, environmental controls, loading and receiving, sanitation Important factors in protection of perishable foods (refrigeration, trailer design and construction, humidity, pre-cooling, freezing and chilling injury, controlled and modified atmospheres) Preparation for loading (adequacy of equipment, sanitation/cleaning, vehicle maintenance, pre-cooling or pre-warming) Loading considerations (air deliver, shipping container, frozen or non-frozen, bracing, mixed loads compatibility, palletized or unitized, length of transit) Loading and load pattern Individual commodity requirements Vulnerability and threat assessment tool Security planning guide FDA Use only reputable transportation companies Establish delivery schedules Driver identification includes the name of the transportation company Food defense programs Transporter ability to verify location of load at any time Sanitation operations for equipment and containers used in bulk transport Equipment design for bulk transport Preventative maintenance Training of employees and employee use of hygienic practices Proper design, maintenance and sanitation of loading and unloading areas

USDA Agricultural Export Transportation Agricultural Handbook (2004) USDA Protecting Perishable Foods During Perishable foods Transport by Truck (2006)

AFTC Resources Directory for Security Ag and food Practices in the Transportation of commodities Agricultural and Food Commodities (2004) Dairy Farms, Bulk Milk Transporters, Bulk Milk Transfer Stations and Fluid Milk Processors: Food Security Preventative Measures Guidance (2007) Food Producers, Processors, and Transporters: Food Security Preventive Measures Guidance (2007) Guidance on Bulk Transport of Juice Concentrates and Certain Shelf Stable Juices (2003) Milk

All food Bulk juice and juice concentrate

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Industry/Product Covered Guide to Minimize Microbial Hazards for Fresh fruits and Fresh Fruits and Vegetables (1998; Draft vegetables Final Guidance 2007) Guidance/Regulation

Preventive Controls

Clean and sanitary vehicles dedicated to food transport Refrigerated temperatures appropriate for product to minimize pathogen growth Accurate temperature measuring devices (preferably including temperature recording or at least a min/max) Shipping on a first in/first out basis to minimize storage time Ensuring adequate and uniform air circulation via equipment design and load layout Inspection of transportation vehicles for debris, soil and off-odors Loading and unloading to minimize potential for damage and contamination TRADE ASSOCIATIONS/INDUSTRY PMA Truck Transportation Best Practices Fresh produce General best practices for the Produce Industry (2006) Fresh-cut produce Receiver best practices Shipper best practices Less than trailer load best practices Commodity Specific Food Safety Lettuce and leafy Conditions and sanitation of transportation vehicles Guidelines for the Lettuce and Leafy greens Conditions and sanitation of distribution/cooler facilities Greens Supply Chain (2006) Techniques for temperature measurement of product Commodity Specific Food Safety Melons Temperature guidelines Guidelines for the Melon Supply Chain Sanitation of transportation vehicles (2005) Commodity Specific Food Safety Tomatoes Use optimum storage temperatures to reduce microbial growth Guidelines for the Fresh Tomato Supply Establish sanitation programs for forced-air coolers and ripening rooms Chain (2006) Maintain positive lot identification and trace-back systems Inspect/clean/sanitize transportation vehicles for cleanliness, odors, dirt and debris before loading Obtain documentation for previous 3 loads in the trailer Use security seals for trailers and document their usage Separate dry and wet products and place water-repellant shipping barriers between commodities in mixed loads Bulk Over-the-road Food Tanker Transport All food Documentation Safety and Security Guidelines (2003) Receipt and inspection of empty tanker Tank truck loading Loaded tanker receipt Minimum cleaning requirements for non-dairy food, food grade, liquid cargo tanks (food-tofood, food-to food dry bulk, additional criteria) Conversion of trailers Tank requirements Security (trucking company, driver, cleaning facilities, receiving facility, general)

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Industry/Product Covered AFDO Guidelines for the Transportation of All foods Food Products (2004) Guidance/Regulation

Preventive Controls Food production and security general provisions Vehicle (design and construction, cleaning/sanitizing, dedicated vehicles, vehicle examination prior to loading, staging of loads, loading, mixed or partial loads, in-transit, unloading) Recommended practices for handing dry foods, refrigerated and frozen raw ingredients and food products, shellfish, potentially hazardous foods Enforcement of recommendations Car ordering, furnishing, loading Car transporting and delivery Car unloading Removal of empty car and subsequent handling Tanker wash facility requirements Tanker requirements Tanker handling types Tanker accessory cleaning (pumps, hoses, fittings) Seals Tanker wash type based on food commodity previously hauled Wash ticket documentation Auditing Compliance/noncompliance ACADEMIC Selecting and using boxes Load planning (top quality, specify temp, appropriate cargo weight, compatible shipments Product temperature at loading Trailer operating condition (adequate RTF rating, inspection and repairs, pre-cooling, sanitation, record-keeping of last loads) Trailer loading (air space, patterns, stabilize) Temperature recording devices Record keeping Selecting and using boxes Load planning (top quality, specify temp, appropriate cargo weight, compatible shipments Product temperature at loading Container operating condition (inspection and repairs, pre-cooling, sanitation, recordkeeping of last loads) Container loading Temperature recording devices Record keeping

AFDO Voluntary Transportation Guidelines (1976)

Juice Products Association Model Tanker Wash Guidelines for the Fruit Juice Industry (2007)

Food, feed and related products shipped via rail (boxcar and covered hopper) Fruit juice

Refrigerated Trailer Transport of Perishable Products (UC Davis) (2002)

Perishable Products (focus on fresh fruits and vegetables, but also meat, dairy, and frozen) Chilled perishable produce

Marine Container Transport of Chilled Perishable Produce (UC Davis) (2000)

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Guidance/Regulation Air Transport of Perishable Products (UC Davis) (2004)

Industry/Product Covered Perishable Products (focus on fresh fruits and vegetables, but also meat, dairy, and frozen) All food

Preventive Controls Selecting packaging (handling, strength, protection) Packing the product (cooling, insulation) Load planning (load compatibility) Handling and loading at airport (unit load device, securing, compatibility) Temperature monitors Receiving (re-cool, reduce wait times, store products separately INTERNATIONAL Defining responsibilities (shipper, transporter, receiver) Guidelines for food transportation units (construction, cleanliness, inspections, restrictions on non-food loads, labeling food-only units) Temperature controls (for chilled and frozen foods, proper loading, regular monitoring, adequate temperature upon arrival) Incoming food and packaging materials (prompt appropriate minimal handling, inspections, appropriate storage) Records of prior cargoes and prior cleaning Transportation spills and salvage (potentially hazardous foods are itemized and discarded, salvageable foods are itemized and kept in secure storage until approved for consumption) Communication and documentation of controls (food transportation unit number, information on previous loads, temperature/time records, cleaning certificates) Training (all personnel involved in food transportation) Good communication between shipper/manufacturer, transporter, receiver Temperature requirements for chilled and frozen foods Construction and maintenance of food transport vehicles Temperature control during transport and delivery Food handling and storage practices

Canadian Good Transportation Practices Code (2001)

Dubai Municipality Food Transportation All food Guidelines Code of Practice (2007) New South Wales Code of Practice for the Primary produce Transport of Primary Produce and Seafood and seafood (2005)

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2.2

TYPES OF CONTAMINATION DURING FOOD TRANSPORTATION AND HOLDING

The types of contamination that could occur during transport and holding of food can be categorized into three main groups: physical, chemical, and biological. Any of the three could be accomplished via intentional or unintentional means. Courey (2002) provides a complete outline of the different types of contamination and their risk factors as discussed below. 2.2.1 Physical Contamination Physical contamination of food involves the introduction of any foreign object, such as dirt, hair, glass, metal, or wood. Contaminants such as these may be able to penetrate packaged or unpackaged foods. Such contamination can result from a number of failures within the transportation or holding of food products, including trucks in ill repair, accidents, bad employee habits, misplaced items, road conditions or other movement, and reloading of adulterated foods. Specific hazards for livestock or poultry include unsafe floors, containers or crates, or other external objects. 2.2.2 Chemical Contamination

Chemical contamination may be the result of unwanted food additives, cleaning chemicals, pesticides, or other toxins. Chemical contaminants may be absorbed through soft packages or directly contaminate unpackaged foods, like produce. Risk factors for chemical contamination include improper cleaning of the cargo area of trucks, cross-contamination from the same or previous truck loads, improper pesticide applications, chemical leakage, improper loading of cargo, road accidents, and the reloading of contaminated products. Specific hazards for livestock or poultry include the improper cleaning of cargo areas or available or open containers of chemicals in the cargo area. 2.2.3 Biological Contamination

Biological contamination is caused by organisms, such as bacteria, parasites, viruses, and yeast and molds. Some biological contaminants are naturally present in certain food products and biological pathogens are prone to survival and growth in specific environmental conditions. Conditions ideal for bacterial growth include foods with high moisture content, high pH levels, and high protein content. Bacterial contaminants may also be introduced into a food product during production, processing, transportation, or storage. Bacterial growth is further supported by temperature abuse, cross-contamination, unsanitary cargo areas, improper loading or unloading procedures, damaged packing caused by improper loading, road conditions, and weather exposure. Specific biological hazards for livestock and poultry include dirt and manure from unclean animals or cargo areas, overcrowding and stress during transport which leads to increased fecal matter shedding. 2.3 RISK FACTORS DURING FOOD TRANSPORTATION AND HOLDING

Improper food transportation and holding practices can increase the risk of physical, chemical and biological contamination of food products. As noted previously, the greatest concerns for food safety during transportation are tampering and sabotage, temperature abuse, and cross-contamination (Stier, 2004; Keener, 2003). Cross-contamination occurs when bacteria

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or another contaminant is transferred from one food product to another. Food products may be subjected to cross-contamination during transport or holding if potentially hazardous foods or non-foods are transported simultaneously or in succession with other food products. Table 2-2 presents the food safety risk factors for transportation and holding commonly identified in the literature and discussed below in greater detail. The risk factors identified are generally applicable to all types of foods and modes of transport, although the specifics may be different for each. Table 2-2: Food Safety Hazards and Risk Factors for Food Transportation and Holding
Other Physical, Chemical or Tampering Temperature CrossBiological and Sabotage Abuse contamination Contamination

Risk Factor Lack of Education in Food Transportation/ Holding Safety, regarding: Proper Temperatures Loading/Unloading Practices Security Practices Pest Control Inadequate Temperature Control Improper use of refrigeration equipment Faulty refrigeration equipment Poor air circulation Transportation vehicles in need of repair Use of inappropriate transportation vehicles Improper pre-cooling of product Poor Pest Control Improper Loading and Packing Inappropriate packaging/packing materials Damage to packaging Backhauling or not using dedicated vehicles Less-than-truckload shipments Use of transportation vehicles in need of repair Improper Sanitation of Vehicles and Containers Lack of Security Lack of Guidelines for Rejected Product Source: Compiled by ERG from literature sources.

2.3.1

Lack of Education in Food Transportation/Holding Safety

An overall lack of education on food transportation safety has been suggested as one area of risk (Karolefski, 2007). For instance, lack of driver knowledge about proper temperature control for food safety may result in misuse of trailer refrigeration units (i.e., turning them off to save money) (Courey, 2002; Lipschutz, 2006). A 2006 study conducted by the Michigan Department of Agriculture found that very few food truck drivers had training in either food safety or food security (Wojtala, 2007). All personnel involved in the handling of food products should be knowledgeable about food safety risks and mitigation strategies.

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2.3.2

Inadequate Temperature Control

According to the 2005 FDA Food Code, a potentially hazardous food (PHF) is a food that requires time/temperature control for safety to limit pathogenic microorganism growth or toxin formation. While many foods may benefit from temperature control in order to maintain product quality, potentially hazardous foods require proper temperature control to maintain product safety. Some primary examples of potentially hazardous foods are meats, poultry, fish, dairy, eggs, prepared salads or ready-to-eat (RTE) foods, and fresh fruits and vegetables (Jol et al, 2006; Cardwell, 2007). Pathogens of concern for some PHFs are presented in Table 2-3. Maintaining an uninterrupted cold chain is one of the most important means to ensuring the integrity of food and reducing the incidence of foodborne illness (Jol et al., 2006; Boulder, 2007). More than half of all product loss in the United States results from damage to perishable foods (White, 2007). Experts consider temperature abuse to be one of the primary concerns for food transportation, as it may be quite common (Jol et al., 2006; Keener, 2003; Stier, 2004). For example, Xanthiakos et al. (2005) note that temperature fluctuations are common in the transportation and storage of pasteurized milk. Research conducted by Sensitech Inc. has shown that temperature abuse (where food products are subjected to higher than permissible temperatures) occurs in 30 percent of transports between shipper and the distribution center and in 15 percent of trips between the distribution center and the retail store (White, 2007). Table 2-3: Potentially Hazardous Foods (PHFs) and Pathogens of Concern
Pathogens B. cereus Campylobacter jejuni Campylobacter coli C. perfringens C. Botulinum Entehemorrhagic E. coli E. coli O157:H7 L. monocytogenes S. aureus Salmonella spp. Shigella spp. Y. enterocolitica Vibrio vulnificus Vibrio parahaemolyticus Vibrio cholerae Source: Jol et al., 2006 Meat and poultry Fish and seafood Fruits and vegetables Eggs and egg products Milk and milk products

Type E and toxin production

Temperature abuse, resulting in pathogen growth or toxin production, may occur at different points along the distribution chain (e.g., loading, transport, and unloading) (Thoden van Velzen and Lukasse, 2005; Heap, 1998; PMA, 2006). Such abuse may include improper precooling prior to loading or excessive delays at loading/unloading docks where the product is not kept refrigerated (Thoden van Velzen and Lukasse, 2005). Refrigerated transport vehicles are designed to maintain the temperature of the cargo but not for cooling product to proper temperature. During transport, temperature abuse may be the result of faulty refrigeration 2-11

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equipment, trucks without proper insulation or in need of repair, improper loading resulting in poor air circulation, or lack of driver knowledge regarding proper handling (i.e., a driver turns off the refrigeration unit) (Yates, 2007; Thoden van Velzen and Lukasse, 2005; White, 2007). Unfortunately, improper temperature control generally goes unnoticed because temperatureabused foods may appear acceptable upon arrival (White, 2007). Temperature control can be important for non-potentially hazardous foods as well. For example, canned foods exposed to freezing temperatures can expand, breaking the seam of the can and allowing bacteria and air to get inside, increasing the risk for pathogen growth. This could occur if canned goods are placed too closely to a trailer wall during transport on a cold day (Cardwell, 2007). 2.3.3 Improper Loading and Packing

Improper loading and packing of a given food item may increase the risk of temperature abuse, cross-contamination or susceptibility to foodborne pathogens. For example, maximizing loads in order to promote shipping efficiencies may result in compromised food products (Karolefski, 2007). Especially in refrigerated trailers, pallets of food items should be loaded away from the walls and in such a manner to ensure proper air circulation within the trailer (White, 2007). Less-than-truckload (LTL) shipments (or mixed loads) are considered to be the most significant means for cross-contamination (Stier, 2004, Keener, 2003). LTL shipments are those where a carrier combines small amounts of freight from various shippers in order to get a full truckload. About one-third of all temperature-controlled freight is transported via less-thantruckload shipments (Kilcarr, 2001). Mixed loads that may be at high risk for crosscontamination include raw meats transported with fresh produce or other ready-to-eat foods (Keener, 2003). Damage caused to packaging during loading or unloading or improper sanitation by food handlers during transport might also be potential sources of contamination (Heap, 1998). Holcomb (2001) describes risk factors for improper loading and transportation, including broken boards or popped nails in the pallet, forklift puncture or abrasion against other pallets or the walls inside the shipping vessel (rail car or trailer). Holcomb (2001) also notes that insectsensitive, soft-pack foods are stacked on wood pallets, crammed into shipping vessels, jostled down the highway or rail line, off loaded into a crowded warehouse and allowed to sit for weeks or months prior to use or consumption. Even in a clean, well-managed intermediate facility, damage and insect risk increase when the material is once again loaded up and transported to the retail outlet. Soft-pack items include those stored in bags or cartons, such as flour, meat and bone meal, pet foods, dried fruits, cereals, cake mix, pasta, spices, snack foods, etc (Holcomb, 2001). 2.3.4 Improper Sanitation of Transportation Vehicles and Containers

The improper cleaning of trucks, railcars, tanks, pumps and pipes, or other equipment between loads may also result in cross-contamination (Heap, 1998; Keener, 2003). In 1994, an outbreak of Salmonella enteritidis sickened 224,000 individuals who had consumed ice cream

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produced from pre-mix cross-contaminated after transport in a bulk tanker that had previously carried non-pasteurized eggs (Hennessy et al., 1996). Cross-contamination may include chemical contamination as well as biological. A general lack of washout stations for food transportation vehicles has been cited as a potential risk factor for the safe transport of food (Keener, 2003). Livestock and poultry transportation vehicles and containers have been noted as possible sources of contamination for meat and poultry products (Arthur et al., 2007; Corry, 2002; Hansson, et al., 2005; Keener et al., 2004; Boulder, 2007; Barham et al., 2002; Larsen et al., 2003). Transportation has been found to be stressful to poultry, cattle, and hogs causing increased fecal matter shedding which can collect on the animals, the crates, or the trailers and spread pathogens. According to Arthur et al. (2007), there are no current standard antimicrobial interventions applied to transport vehicles or lairage environments. 2.3.5 Poor Pest Control

It has been estimated that pest activity results in losses of 5 to 10 percent of stored food products, particularly cereal and grain storage (Newton, 1990; Shaaya et al., 2005). Risk factors for pest (animal or insect) infestation specific to food transportation and handling include food transport or storage containers that are unprotected from the weather (Heap, 1998). Additional risk factors for pest infestation at food production or storage facilities include easy access (open doors, unsealed crevices, and low barriers), poor lighting, and food spills or other debris left unattended (Costa, 2003; Troller, 1993; Cramer, 2006). In addition, improper handling can result in damage to food packaging, which can increase the likelihood of pest infestation. 2.3.6 Lack of Security

Jim Balestra of Safefreight Technology, which provides security solutions for the global freight transportation industry, has noted that the key threats to agriculture and food transportation are bio-terrorism, theft, hijacking, and the introduction of foreign substances (Balestra, 2007). In an American Transportation Research Institute survey of agriculture/food carriers, respondents identified cargo contamination and hijacking as two of the top five concerns for food security (Brewster, 2005). Incidents of truck theft have been reported. High value cargos, such as coffee, processed meat, frozen shrimp, and wine and liquor, have become the biggest targets for cargo thefts in the past few years (Schiavo, 2007). For example, in December 2007, a truck loaded with ground beef was reported stolen from a plant parking lot in Fort Worth, Texas (USDA-FSIS, 2007). A 2006 study conducted by the Michigan Department of Agriculture found that less than half of all food transportation trucks surveyed were locked or sealed (Wojtala, 2007). Food transportation personnel are another area of concern regarding the security of food moving through the distribution channel. Courey (2002) notes concern for lumpers, or individuals commonly utilized in the trucking industry to unload product at receiving docks. Lumpers, who are generally independently hired by truck drivers and paid in cash, are not subject to background checks, presenting security risks for food products.

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2.3.7

Lack of Guidelines for Rejected Product

In some cases, food deliveries that do not meet receivers specifications for quality or safety are rejected. According to a study by Progressive Grocer (2006), 26 percent of respondents indicated that produce is often or sometimes rejected at receiver docks. However, rejected food products may enter the food chain at another location (Stier, 2004). Respondents to the Progressive Grocer survey identified reshipment and resale as the single most important thing to do with rejected produce. Selling food that is considered unsaleable by other supermarkets or manufacturers is a growing trend (Dreyfuss, 2004). Not all rejected products are necessarily unsafe for consumption, however, the lack of guidance or regulation regarding the safe handling of rejected products leaves open a possible avenue for unsafe products to reach the end consumer. 2.4 FOOD TRANSPORTATION AND HOLDING BEST PRACTICES

Gapud (2006) outlines the 8 essential components of a food distributors quality assurance/quality control program: good food handling practices, proper personnel training, good cleaning and sanitation practices, effective pest control program, proactive shipping and receiving programs, a recall program, a HACCP program, and a food defense program. In general, the literature on food transportation safety focuses largely on the importance of temperature control, increased security, and proper loading and sanitation for transportation vehicles. Utilizing Hazard Analysis and Critical Control Points (HACCP) or management systems like ISO 22000 have been recommended as best practices for identifying and managing potential food safety hazards in the food supply chain (Karolefski, 2007; Cardwell, 2007; Jol et al, 2006a). Table 2-4 summarizes the various preventive controls outlined in the literature for minimizing the risks of temperature abuse, tampering and sabotage, and cross-contamination. Certain preventive controls are discussed in further detail below. 2.4.1 Temperature Control

The safety of perishables during transit requires four essential steps: product pre-cooling, trailer pre-cooling, proper trailer loading, and the maintenance of proper temperature during transit (Karolefski, 2007). Temperature recording devices and temperature monitoring, which have been around for a number of years, are a significant means for maintaining product safety throughout the cold chain (Courey, 2002; Karolefski, 2007; White, 2007; Cardwell, 2007; Gapud, 2006; Jol et al., 2006b; Lipschutz, 2006). In a small survey of wholesale food transporters, Courey (2002) found that 86 percent of respondents had temperature logs. While basic technologies for refrigerated transport have not changed much in the last five years, developments have been made in the area of data collection and management (Karolefski, 2007). More recent developments allow the use of wireless or satellite technologies and radiofrequency identification (RFID) to monitor product temperatures in real-time along the distribution chain (Karolefski, 2007; Thoden val Velzen and Lukasse, 2005; White, 2007). Other available technologies include Global Positioning Systems to monitor trailer locations, temperature recording devices that can be placed in boxes or on packaging, and door switches that monitor every opening of refrigerated trailer doors (Karolefski, 2007; Schiavo, 2007).

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Kogure et al. (2005) developed a small temperature sensor using bakers yeast for determining temperature abuse during transportation and holding of produce. Table 2-4: Food Transportation and Holding Food Safety Preventative Controls
Other Physical, Chemical or Biological Contamination

Tampering Preventive Controls: and Sabotage Temperature Control Proper use of refrigeration equipment Proper Loading of Refrigerated Trailers Temperature Monitoring Devices Use of appropriate transportation vehicles Increased Security and Tracking Physical security measures for facilities and transportation vehicles (cargo locks, seals, etc) Satellite (GPS) or radio frequency identification Vendor certification programs Sanitation/Maintenance of Vehicles and Containers Proper Loading and Packing Appropriate packaging/packing materials Dedicated vehicles when necessary Appropriate loading patterns Employee Awareness and Training Pest Control Programs Good Communication HACCP or other management systems Source: Compiled by ERG from literature sources.

Temperature Abuse

Crosscontamination

Although appropriate holding temperature varies by food product, it is generally recommended that refrigerated goods are maintained at 41 F (5 C) and frozen foods are kept at 0 F (-18 C) (AFDO, 2004). Some refrigerated trailers are now equipped to offer multiple temperature zones, allowing the safe transport of products with different temperature requirements (Karolefski, 2007). 2.4.2 Increased Security and Tracking

Although food transportation security was a concern prior to the events of September 11, 2001, a number of food industry and government initiatives have been implemented post 9/11. Bioterrorism Act of 2002 Rules promulgated under Title III of this act, passed to further protect the nations food supply from acts of terrorism, requires food facility registration, prior notice of imported foods, the establishment and maintenance of records regarding the transportation of food, and also gives FDA the authority for administrative detention of questionable food shipments. 2-15

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Highway Watch A collaboration between the American Trucking Association and the Transportation Security Administration, this program trains volunteers (transportation professionals, including truck drivers) to be aware of and report suspicious activities. Transportation Worker Identity Credential (TWIC) Established by Congress through the Maritime Transportation Security Act (MTSA) and administered by the Transportation Security Administration (TSA), this program issues biometric transportation security credentials to individuals with unescorted access to secure areas of certain facilities and vessels. Specific activities intended to keep food secure from tampering or sabotage include regular trailer or vehicle inspections, monitoring loading and unloading processes, making conscious efforts to monitor the safety of trailers (i.e., utilizing secure parking lots or truck stops), and utilizing locks and seals on vehicles or containers when possible (AFTC, 2004). A research project at the University of Kentucky is currently studying the feasibility of an electronic lock, seal and record-keeping device for tankers used in the transportation of bulk milk (Detlefsen, 2007; Thompson, 2007). The sealing of trailers is more prevalent today than in the past (Karolefski, 2007; Schiavo, 2007). Although distribution centers provide a point of weakness if cargo trucks are left unattended for any amount of time, experts indicate that trucks on the road are most vulnerable (Schiavo, 2007). It is recommended that distribution centers are well lit and have adequate physical security, including guards and security cameras (Schiavo, 2007). Improving traceability is one means of ensuring a safe and secure food supply by being able to identify and track food at any time during transportation and distribution (Bendickson, 2007; Brewster, 2005; Gapud, 2006; Kilcarr, 2001; Progressive Grocer, 2006). Thompson et al. (2005) describe traceability and the distinction between product tracking and product tracing as: Traceability can essentially be described as a record-keeping system designed to identify and track products from origin to consumption while providing the ability to quickly trace back products at any point in the food chain. The terms product tracking and product tracing have different meanings in the context of traceability. Product tracking refers to the recording of information as the product makes it way through the food chain, and the ability to identify in real time where the product is and what processes it has undergone. Product tracing refers to the ability to follow a product back through these processes from the consumer to their origin. Traceability appears to be a relatively simple concept; however, the actual process of creating an informational link between the origin of materials and their processing and distribution can be extremely complicated, especially given the quantity of food that makes its way into the global marketplace. The traceability of certain food commodities, such as fresh produce and seafood, can be difficult (Dallaire et al., 2006; Thompson et al., 2005). Dole Fresh Vegetables was recently awarded the National Shippers Strategic Transportation Council (NASSTRAC) 2007 Shipper of

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the Year award for the creation of an automated track-and-trace process integrated into its cold chain management (NASSTRAC website, 2008). A number of current technologies facilitate product tracking during transportation, such as Global Positioning Systems (GPS) and Radio Frequency Identification (RFID) (Coyle et al., 2001; Karolefski, 2007; Progressive Grocer, 2006; Thompson, 2007). Brewster (2005) indicates that equipping trucks with complete satellite tracking and communication system can cost upwards of $1,200 per truck, plus any additional subscription or usage fees. According to a survey of transporters by the American Transportation Research Institute, adoption rates for tracking systems are low, although long-haul carriers are more likely to utilize this technology than local carriers (Brewster, 2005). Another means of facilitating traceability and increasing both safety and security is through vendor certification programs. Vendor certification provides a means to ensuring vendor compliance with various safety practices (Lipschutz, 2006). For fresh produce, Lipschutz (2006) recommends verifying transportation practices using vendor certification, including: Use of transportation vehicles that are properly cleaned and sanitized; First-in/first-out practices; Sanitation of facilities and pest-control programs; and Temperature maintenance, preferably utilizing temperature recording devices. 2.4.3 Proper Loading/Packing Practices In order to prevent temperature abuse, product damage and cross-contamination, proper loading and packing is required. The following are recommended practices identified in various food transportation safety guidelines: Loading and unloading areas should be configured, cleaned, disinfected (where appropriate), and properly maintained to prevent product contamination (AFDO, 2004). Food transportation units should be loaded, arranged and unloaded in a manner that precludes contamination and adulteration of food (CFIS, 2001). For a refrigerated transport trailer, container, railcar or ship, it is essential that the shipment is properly loaded, ensuring adequate air circulation around the load. Failure to properly load may result in certain sections of the load being at much higher temperatures than the air supplied by or returned to the refrigeration unit (CFIS, 2001). At all times, including while being transported, all raw ingredients and food should be protected from cross-contamination between foods and from potential contamination by insects, chemicals, rodents, waste products, toxic material, unclean equipment, tank cleaning products, unnecessary handling, or other agents of public health significance (AFDO,2005).

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Raw ingredients and food should not be transported with toxic or hazardous materials, including drugs (AFDO, 2004). Raw ingredients and all foods, including seafood, hanging primal cuts, quarters, or sides of meat, poultry, etc., should be protected from contamination by use of packaging or covered containers while being transported. Exclusions to this requirement may be certain raw fruits and vegetables (AFDO, 2004). 2.4.4 Monitor and Ensure Sanitation/Condition of Transportation Vehicles

In order to prevent cross-contamination and product damage, transportation vehicles should be designed and constructed to protect products, as well as properly maintained and sanitized between loads (FSIS, 2003). The following measures are recommended: Vehicle design should permit effective inspection, cleaning, disinfection, and temperature control (FSIS, 2003). Interior surfaces should be made of materials that are suitable for direct food contact (FSIS, 2003). Vehicles, accessories, and connections should be kept clean and free from dirt debris and any other substance or odor that may contaminate the product (FSIS, 2003). The cargo compartment of any vehicle used in transporting raw ingredients and food should be smooth, impervious to moisture, corrosion resistant, nontoxic, in good repair, and constructed to permit adequate sanitation (AFDO, 2004). Effective cleaning removes soil and prevents the accumulation of residues that may decompose or support the rapid growth of pathogenic organisms or production of toxins (AFDO, 2004). Regarding the sanitation and condition of boxcars used to transport food products, the AFDO Voluntary Transportation Guidelines (1976) specify that: A clear car is (a) free from evidence of vermin infestation (including but not limited to birds, rodents, and insects); and (b) free from debris filth, visible mold, undesirable odors, and evidence of residues of toxic chemicals. A car in good repair should have sound interiors and exteriors, including doors and hatches that are tight-fitting and, when closed and sealed, capable of excluding rodents, birds, and other pests. Shippers that carry multiple food products in succession should sanitize transportation vehicles between loads to eliminate or reduce the risk of cross contamination. It has been recommended that a record of the last three prior cargos is maintained for documentation (FITC, 2003; Milk, 2008). Keener (2003) developed a product handling matrix by assigning hazard classifications to various product combinations that may be transported in succession (See Table 2-5). This is a first step for shippers in assessing vulnerability to cross-contamination and decision-making regarding safe food transportation.

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Table 2-5: Hazard Classification Matrix

Back-Hauled Products Industrial Frozen Fresh Fresh Equipment Paper Dry Boxed Boxed Produce Botanicals Products Goods Meat Meat Chemicals 4 3 2 2 1 4 3 4 2 2 1 4 2 2 2 2 1 4 2 2 2 2 1 4 1 1 1 1 1 4 4 4 4 4 4 4

Dry Goods Frozen Boxed Meat Fresh Boxed Meat Fresh Produce Industrial Equipment, Botanicals, Chemicals Paper Products Source: Keener, 2003 Note: 1= highest risk; 4= lowest risk

2.4.5

Outbound Products

Good Communication

Good communication is essential to maintain product safety throughout the supply chain. Food manufacturer or receivers are responsible for communicating to transporters specific food safety control procedures required during transportation (CFIS, 2001). One of the main findings of the 2006 Produce Transportation Analysis Study by Progressive Grocer was perception gaps between supply chain members. Specifically, the study indicated radically different perceptions of (1) the problems that exist, (2) who contribute to the problems, and (3) the cost of the problem to the supply chain in terms of dollars and product quality. Better communication, including between shipper/trucker and receiver, is frequently cited as a recommended solution to problems such as delays in unloading and the handling of rejected produce (Progressive Grocer, 2006). The Produce Marketing Association has established clear, ongoing communication between all parties as an essential best practice for the industry (PMA, 2006). A 2005 survey of transporters by the American Transportation Research Institute found that more large carriers (36 percent) than small carriers (23 percent) were upgrading communication methods for truckers, such as cell phones, pagers, and wireless internet (Brewster, 2005). 2.4.6 Employee Awareness/Training

The safe transport of food and agricultural commodities requires personnel training in food safety and security, including proper personal hygiene, food handling and sanitation procedures (Gapud, 2006; Keener, 2003; Lipschutz, 2006; Suslow, 2003; CFIS, 2001). Specifically, the Guidelines for the Transportation of Food Products recommend that: All transportation personnel involved in the loading, handling, storage of food products and security must be trained in food hygiene, sanitation, personal hygiene, and vehicle inspection. They should be able to judge potential risks, take reasonable preventative and corrective actions and ensure effective monitoring and supervision to prevent intentional and unintentional contamination from occurring (AFDO, 2004). Courey (2002) developed a prototype driver onthe-road training CD intended to facilitate driver food safety education. According to Brewster (2005), the top three areas of security focus and investment for food transportation are human-based solutions driver awareness, security training, and 2-19

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improved communication. For all modes of food transportation, it is essential that a security training and awareness program is conducted for all employees on how to prevent, detect, and report suspicious activity (Bendickson, 2007). A survey of transporters suggests that carriers do consider their employees as their most important security asset (Brewster, 2005). According to the survey, 52 percent of respondents encourage driver and employee awareness and 36 percent have invested in improved security training. 2.4.7 Pest Control Programs Every manufacturer, shipper and distribution center should have a good pest control program (Milk, 2008; Lipschutz, 2006; Suslow, 2003). Specific preventive controls for reducing the risk of pest infestations include sanitary landscaping at food facilities, such as maintaining a grass-free barrier around the facility, constructing exterior walls that are rodent proof, eliminating any harborage areas, and the use of air curtains or other airflow control (Shaaya, et al., 2005; Milk, 2008; Gapud, 2006). Pest control measures specific to transportation vehicles include proper sanitation of vehicles to clean up spills that might attract pests and locking and sealing doors or other hatches to trucks or tankers (Courey, 2002). Other preventive controls include using only clean pallets (cured if wooden) and properly loading transport units to avoid damage to packaging (Holcomb, 2001). 2.5 LITERATURE REVIEW SUMMARY

Improper food transportation and holding practices can increase the risk of physical, chemical and biological contamination of food products. The greatest concerns for food safety during transportation and holding are tampering and sabotage, temperature abuse, and crosscontamination (Stier, 2004; Keener, 2003). Specific food safety risks include the lack of security for food transportation vehicles, improper refrigeration, and poor sanitation and maintenance of trailers and containers. Given the potential risks to public health from improper food handling during transportation and holding, much is being done in the industry to mitigate the potential for risk in the food supply chain. Such advances include the use of security seals, temperature recording devices, and other real-time tracking technologies. Based on our literature review, Table 2-6 presents the various food safety hazards by type of food and transportation mode. Much of the literature regarding food transportation safety discusses risks related to potentially hazardous foods, such as meats and poultry, dairy, ready-toeat (RTE) foods, and fresh produce. Also, given the extensive use of trucking for food transportation in this country, there is limited literature on the safe transport of food via rail, air, or sea vessel.

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Table 2-6: Food Safety Hazards by Mode of Transportation and Food Product Type
Food Product Type Food Safety Hazard Transit Mode Truck Rail Sea Freight Air Truck Rail Sea Freight Air Truck Rail Sea Freight Air Truck Rail Sea Freight Air Truck Rail Sea Freight Air Truck Rail Sea Freight Air Fresh Produce Refrigerated RTE Frozen Foods Bulk Grains Bulk Liquids Meat, Poultry, and Eggs Soft-pack Nonperish able Foods [a] Nonperishable Foods (Canned Goods)

Temperature abuse

Improper sanitation of transportation units

Improper packing/loading

Pest activity

Lack of security

Lack of driver/ employee training

Source: Compiled by ERG. [a] Soft-pack items include those stored in bags or cartons, such as flour, meat and bone meal, pet foods, dried fruits, cereals, cake mix, pasta, spices, snack foods, etc (Holcomb, 2001).

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3.

CHARACTERISTICS OF CURRENT FOOD TRANSPORTATION AND HOLDING PRACTICES FOR FOOD COMMODITIES: A DELPHI STUDY

To improve our understanding of the baseline food transportation practices and to assist FDA in identifying areas where food is at risk for adulteration, we conducted an expert opinion elicitation study. The elicitation had two primary objectives: To identify the main problems that pose microbiological, chemical, and/or physical safety hazards to food during transportation and storage, and To determine the preventive controls needed to address each of the problems identified. The information collected enables the identification of those food product types and modes of transportation where the hazards are of high importance for public health. Information on the preventive controls may help identify the most effective food transportation and storage practices. 3.1 METHODOLOGY MODIFIED DELPHI METHOD

Expert opinion elicitation is a formal, heuristic process of obtaining subjective information or answers to specific questions about certain quantities (such as the expected service life of a product) and probabilities of future events (Ayyub, 2000). Because subjective information is often viewed as being softer than hard scientific data, most expert opinion elicitations involve multiple experts (Clemen and Winkler, 1997). While a set of experts can provide more information than a single expert, use of multiple experts introduces the problem of aggregation, as judgments vary by expert.3 We utilized a four-round modified Delphi technique for this study. The Delphi method is the first structured method for eliciting and combining expert opinion. The method requires indirect interaction among experts through a moderator (Linstone and Turoff, 2002; Clemen and Winkler, 1997; Landeta, 2005). Although different variations of the method exist, in a typical Delphi study, experts make individual judgments. Next, these judgments are shared anonymously with the whole group. After viewing other experts judgments, each expert is then given the opportunity to revise his own judgments, and the process is repeated. Theoretically, the goal of the Delphi is to reach a consensus after a few rounds. In reality this rarely happens. Thus, at the end of the Delphi rounds, the experts final judgments are typically combined mathematically. As with any method, the Delphi method has its strengths and weaknesses. For example, the method has been criticized for using consensus as a way to approach the truth, the lack of social compensation for individual contribution to the group, the impunity bestowed by anonymity for irresponsible actions by the experts, among others (Landeta, 2005). While there are numerous skeptics of the Delphi method, there have also been several studies (Ament, 1970; Helmer, 1983) supporting the Delphi method. For example a study by Basu and Schroeder (1977) compared Delphi forecasts of five-year sales with both unstructured, subjective forecasts and quantitative forecasts that used regression analyses and exponential smoothing. The Delphi
3

If experts never disagreed, there would be no point in consulting more than one expert.

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forecasting consisted of three rounds using 23 key organization members. When compared against actual sales for the first two years, errors of 3 to 4 percent were reported for Delphi, 10 to 15 percent for the quantitative methods, and of approximately 20 percent for the previously used unstructured, subjective forecasts. 3.2 EXPERT PANEL

The successful application of the Delphi technique requires assembling a panel of experts in the given field of investigation. We recruited 16 participants for the expert panel based on FDA suggestions, our own food industry contacts, and recommendations by industry and academic spokespersons for the food transportation industry. Participants were selected based on their ability to contribute industry views as well as their willingness to participate in the process. The expert panel included participants from trade associations, logistic research institutes, academia, third-party logistics firms, companies that provide logistics support, and independent consultants with experience in consulting to food companies of varying sizes on logistics and transportation safety issues (see Table 3-1). Table 3-1: Composition of the Expert Panel
Expert Panel Member Type Academic Researcher Independent Industry Consultant Trade Association/Research Institute Industry Representative Logistics Support Third-party Logistics Provider (3PL) Total [a] The total may not sum to 100 percent due to rounding Count 1 5 5 5 3 2 16 Percent of Total [a] 6% 31% 31% 31% 19% 13% 100%

3.3

EXPERT ELICITATION PROCESS

First, we carefully constructed an expert elicitation protocol, designed for on-line administration, to elicit opinions on the following issues: Types of food safety hazards that may increase the risk of food contamination during transportation and warehousing/storage. Food product categories and modes of transportation for which the risk and severity of hazards could potentially vary. Possible differences between food safety hazards for imported and domestic food products. Frequency and severity rankings of food safety hazards by food product category and mode of transportation. Preventive controls designed to eliminate/mitigate food safety hazards during transportation and warehousing/storage.

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Given the number of issues to be examined, the elicitation protocol consisted of a total of four rounds, for ease of response collection. The draft elicitation instrument was pre-tested on a subset of experts to ensure question clarity. Appendix C presents the final instrument used in the elicitation. As noted above, we used the Delphi technique to reach consensus for each round of questioning. At the completion of each Delphi round, we conducted an iteration round, where each expert was asked to review the group results to the given round and comment. The iteration rounds helped to stabilize results and increased agreement among participants. At the completion of all rounds, including iteration rounds, we sent each participant a summary of his responses for review and final confirmation. Throughout the elicitation process, responses to questions were closely monitored and continuously evaluated. We diligently followed up with those experts whose responses were incomplete and/or unclear. Additionally, the elicitation protocol enabled participants to submit commentary for each question. We reviewed each commentary along with the question response to ensure that each question was interpreted as intended. Because full consensus was not attainable, we relied on accepted aggregation procedures to pool expert estimates, where applicable.4 3.4 RESULTS

3.4.1 Round 1 Results The objective of the first round was to solicit background information on food safety hazards, modes of transportation, and food product categories. The set of questions in Round 1 were designed to aid experts in formulating their views on the topic and also to refine the content of subsequent rounds. In round 1, we solicited input on: Types of food safety hazards that may increase the risk of food contamination during transportation and warehousing/storage. Food product categories and modes of transportation for which the risk and severity of hazards could potentially vary. Intermodal transportation considerations. Possible differences between food safety hazards for imported and domestic food products. As discussed in Section 4, one of the key outputs of our literature review was the identification of areas of concern by mode of transport/storage and food product. We presented our findings on the food safety hazards, food products, and modes of transportation that may increase the risk of food contamination during transportation and warehousing/storage to our panel and asked them to expand these lists. Our panel agreed upon the following 15 problems
Research shows that one rarely achieves full consensus on most expert elicitations regardless of elicitation technique. Thus, most expert elicitations utilize mathematical aggregation approaches to pool non-convergent expert opinions.
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that pose microbiological, chemical, and/or physical safety hazards to food during transportation and storage: Improper refrigeration or temperature control of food products (temperature abuse). These may be intentional (abuse or violation of practices by drivers, i.e., turning off refrigeration units) or unintentional (due to improper holding practices or shortages of appropriate shipping containers or vessels, etc.). Improper management of transportation units or storage facilities to preclude crosscontamination, including improper sanitation, backhauling hazardous materials, not maintaining tanker wash records, improper disposal of wastewater, and aluminum phosphide fumigation methods in railcar transit. Improper packing of transportation units or storage facilities, including incorrect use of packing materials and poor pallet quality. Improper loading practices, conditions, or equipment, including improper sanitation of loading equipment, not using dedicated units where appropriate, inappropriate loading patterns, and transporting mixed loads that increase the risk for crosscontamination. Improper unloading practices, conditions, or equipment, including improper sanitation of equipment and leaving raw materials on loading docks after hours. Lack of security for transportation units or storage facilities, including lack of or improper use of security seals and lack of security checks or records of transporters. Poor pest control in transportation units or storage facilities. Lack of driver/employee training and/or supervisor/manager/owner knowledge of food safety and/or security. Poor transportation unit design and construction. Inadequate preventive maintenance for transportation units or storage facilities, resulting in roof leaks, gaps in doors, and dripping condensation or ice accumulations. Poor employee hygiene. Inadequate policies for the safe and/or secure transport or storage of foods. Improper handling and tracking of rejected loads and salvaged, reworked, and returned products or products destined for disposal. Improper holding practices for food products awaiting shipment or inspection, including unattended product, delayed holding of product, shipping of product while in quarantine, and poor rotation and throughput. Lack of traceability for food products during transportation and storage.

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The panel identified the following food product sectors that should be considered when assessing the frequency and severity of the above food safety problems: Fresh produce - all whole, raw, uncut, non-refrigerated fruits and vegetables (i.e., fresh, field-packed or bulk, fresh loads or bulk, fresh for processing). Refrigerated raw or ready-to-eat foods (i.e. dairy products, prepared foods, deli items, raw ingredients, fresh-cut produce). Frozen foods (i.e., frozen fruits and vegetables, entrees, meat, seafood, par-baked goods, ice). Bulk raw ingredients dry (grains, flour, food-grade chemicals (salt, preservatives, citric acid, sodium benzoate, etc.), whey powder, animal feed, etc.) or liquids transported in bulk barrels, drums, or other containers. Bulk liquids transported in a dedicated tanker. Meat and poultry raw (i.e., carcasses & primal cuts, ice-packed chicken, frozen, Cryovac-packaged, bulk raw meat ingredients, rendering material, etc.). Fresh seafood. Eggs shell eggs and egg products (bulk liquid eggs) pasteurized and unpasteurized. Soft-packed nonperishable/shelf-stable foods (i.e. items stored in bags or cartons, such as flour, dried fruits, cereals, cake mix, snack foods, bread, confectionary products). Other nonperishable/shelf-stable foods (i.e. canned goods, beverages). Packaging material (roll stock films, recycled bins and drums, aseptic packaging material). Experts also collectively identified the following modes of transport and storage as being important: Truck. Rail. Water (inland and deep sea freight). Air. Intermodal. Storage/warehouse. Although we inquired whether we should distinguish among the different types of water transportation (e.g., deep sea freight versus inland water freight), experts comments suggested

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that food safety hazards are not related specifically to the type of water transportation.5 Thus, we did not include different types of water transportation in the above list. Regarding imported foods, many of the comments highlighted the difference between food safety hazards related to imported foods generally and food safety hazards related to the transportation of imported foods. Since we are addressing the latter with this study rather than general food safety issues of imported food products (e.g., standards for good manufacturing practices in other countries), we determined that the food safety hazards involved in the transportation of imported foods are not different from those of domestic food products. However, additional food safety hazards in the transportation of imported foods may include: extended time in transit, port delays for inspection, improper transport within the origin country, and additional handling which may increase the risk of contamination from a variety of hazards (including additional loading and unloading or outbound inspections where containers were not properly resealed). Because these hazards fall under one of the food safety problems already listed above, we excluded imported foods as a separate category under food product categories. 3.4.2 Round 2 Results The primary objective of Round 2 was to assess the risk posed by each of the fifteen food safety problems associated with transportation and warehousing/storage by food product category and transport mode. We presented the experts with the fifteen food safety problems that may be encountered during the transportation and/or warehousing/storage of food products as identified in Round 1 and then asked them to assign risk rankings to these problems by food product category and mode of transportation. To ensure consistency of expert responses, we requested that risk scores be assigned according to the scheme outlined in Table 3-2 below. Thus, each individual expert first had to assess whether the problem occurred at a high or low frequency for the specified food sector and mode of transport (i.e., how widespread the problem is) and then to evaluate whether the probability that food could be rendered unsafe due to the problem was high or low (i.e., assess the severity of potential consequences, such as mortality, morbidity, and economic impacts, of the problem). We also directed the panel members to skip those questions for which they lacked sufficient knowledge for an informed assessment. Table 3-2: Risk Scoring Grid
Severity Frequency Low High Low 1 2 High 3 4

An average of 13 out of 15 experts provided risk scores for each of 990 individual risk rankings. Only 7 percent of all problem-sector-mode combinations resulted in an average risk score of 4 (high frequency, high severity). The majority of problem-sector-mode combinations

More specifically, when asked whether food safety hazards vary across mode of water transportation, half of all panel members answered I dont know and the other half were evenly split between yes and no.

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resulted in average risk scores of 2 (low frequency, high severity) or 3 (high frequency, low severity). A cursory analysis of the risk score data leads to the following observations: The top 5 food safety hazards that appear to be of the greatest concern across all modes of transportation include:
-

Lack of security for transportation units or storage facilities, Improper holding practices for food products awaiting shipment or inspection, Improper refrigeration or temperature control of food products, Improper management of transportation units or storage facilities to preclude cross-contamination, and Improper loading practices, conditions, or equipment. Fresh produce, Refrigerated raw & ready-to-eat foods, Frozen foods, Raw meat & poultry, Eggs & egg products, and Raw seafood.

High-risk foods across all modes of transportation include: -

Overall Risk by Food Product Sector It is likely that there is some degree of overlap among the various food safety problems. For instance, improper loading procedures may be a result of lack of employee training, improper holding practices for food products awaiting shipment or inspection may result in improper refrigeration or temperature control of food products, and inadequate policies for the safe transport of food products may be responsible for the lack of security during transportation. Therefore, we expected that some underlying factors, which are smaller than the number of food safety problems identified, are mainly responsible for the relationships among the food safety problems. After the risk scores were assigned by the group, we performed an exploratory factor analysis to determine how many underlying dimensions are presented in the data. In a nutshell, factor analysis is a tool that enables us to detect structure in the relationships among the food safety problems as a means of exploring the data for possible data reduction. The factor analysis technique allows us to generate an overall risk score that combines the information in all of the 15 food safety problems. That is, we calculated the relationship among all of the variables and one underlying factor that we call overall risk. An index of overall risk for each food product sector is presented in Table 3-3 by mode of transportation. Each index (read by the column only) has a mean of 100 and standard deviation of 10. This provides an indication of the relative risk of the food product sectors for each mode of transportation. A value that exceeds 100 indicates that overall risk in the relevant sector is greater than average risk. The high-risk food groups for each mode of transportation, as well as storage/warehousing of food products can be discerned from Table 3-3. Across all modes of transit, the food sectors with the highest overall risk in descending order are: raw seafood, raw

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meat and poultry, and refrigerated raw and ready-to-eat foods. Other food product sectors with overall risk greater than average for all modes of transport are: eggs and egg products, frozen foods, and fresh produce. Packaging materials and both categories of non-perishables present less than average overall risk. Table 3-3: Overall Risk Indices for the Fifteen Food Safety Hazards by Food Product Sector
Food Product Sector Bulk liquids (dedicated tanker) Bulk raw ingredients Eggs and egg products Frozen foods Fresh produce Meat & poultry (raw) Other nonperishables Packaging materials Refrigerated raw & RTE Soft-packed nonperishables Seafood (raw) Truck 94.91 95.22 103.58 104.64 105.4 107.07 92.1 89.29 105.45 92.82 108.97 Rail 95.27 95.44 102.06 103.98 105.95 110.06 90.28 86.65 107.25 90.51 111.58 Water 96.48 95.86 102.11 101.79 103.7 108.61 92.57 90.06 107.43 92.64 108.73 Air Intermodal 95.07 94.33 95.89 96.08 101.55 101.43 100.68 102.65 101.12 102.84 108.05 109.94 95.71 92.12 91.07 89.52 104.31 106.6 96.3 92 109.68 111.93 Storage 94.4 96.57 99.81 102.96 105.18 109.09 91.79 89.39 107.94 91.92 111.33

The rankings of food product sectors by overall risk are the same for truck and rail transportation and warehouse/storage, however they vary slightly for water, air and intermodal transport. These rankings are shown in Table 3-4. The rankings by food product sector for food transportation by air are most different from the other modes of transportation. Table 3-4: Rankings of Food Product Sectors by Overall Risk Index
Food Product Sector Seafood (raw) Meat & poultry (raw) Refrigerated raw & RTE Fresh produce Frozen foods Eggs and egg products Bulk raw ingredients Bulk liquids (dedicated tanker) Soft-packed nonperishables Other nonperishables Packaging materials Truck 1 2 3 4 5 6 7 8 9 10 11 Rail 1 2 3 4 5 6 7 8 9 10 11 Water 1 2 3 4 6 5 8 7 9 10 11 Air 1 2 3 5 6 4 8 10 7 9 11 Intermodal 1 2 3 4 5 6 7 8 10 9 11 Storage 1 2 3 4 5 6 7 8 9 10 11

Overall Risk by Food Product Sector for All Transportation Modes (Excluding Storage) We also performed exploratory factor analysis to consider food safety hazards across truck, rail, air, water and intermodal means of transportation. The results suggest that two underlying factors help to explain the risk score data. We named the two factors as follows: In-transit risk, and Organizational risk. 3-8

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The names of these factors are subjective and are derived from the food safety problems that contribute the most to each factor. For example, the in-transit risk factor gets its name from the fact that the food safety problems that contribute the most to it are improper refrigeration, improper loading, improper unloading, and improper holding practices for products awaiting shipment or inspection. Likewise, the food safety problems that contribute most to the organizational risk factor are lack of driver/employee training, inadequate preventive maintenance, and lack of traceability. The risk indices by food product sector are presented in Table 3-5 for these two factors. Once again, values that exceed 100 indicate above-average risk. From the table, it can be observed that the same high-risk food products (as indicated by overall risk score) overall show above-average risk for both the in-transit risk factor and the organizational risk factor. However, the rankings of overall risk by food product sector are not identical for each risk factor. The food product sectors with the highest overall risk for the in-transit risk factor are: Raw seafood, Raw meat and poultry, and Fresh produce. The food product sectors with the highest overall risk for the organizational risk factor are: Raw meat & poultry, Refrigerated raw & ready-to-eat foods, and Raw seafood. Table 3-5: Factor Risk Indices by Food Product Sector, All Modes of Transportation [a]
Food Product Sector In-transit Risk [b] Organizational Risk [c] Bulk liquids (dedicated tanker) 95.54 97.29 Bulk raw ingredients 95.62 98.1 Eggs and egg products 102.14 100.13 Frozen foods 103.99 99.43 Fresh produce 105.11 100.58 Meat & poultry (raw) 107.26 106.85 Other nonperishables 92.33 95.9 Packaging materials 89.75 93.75 Refrigerated raw & RTE 104.84 106.17 Soft-packed nonperishables 93.27 95.61 Seafood (raw) 109.69 105.95 [a] Includes truck, rail, water, air, and intermodal. [b] The in-transit risk factor loads very highly on improper refrigeration, improper management of transportation units, improper loading, improper unloading, and improper holding practices for products awaiting shipment or inspection. [c] The organizational risk factor loads highly on lack of driver/employee training, inadequate preventive maintenance, lack of traceability, and poor employee hygiene.

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Overall Risk by Food Product Sector for Truck Transportation Since, domestically, some 80 percent of food products are transported by truck, we also conducted an analysis to consider the food safety hazards in truck transportation alone. Our analysis shows that truck transportation risks are best described by four underlying factors. In-transit product risk, Equipment-related risk, In-transit process risk, and Organizational or policy-related risk. Again, the names of factors are derived from those variables that contribute the most to the factor values. For example, the equipment-related risk factor gets its name from the fact that the variables that contribute the most to it are poor transportation unit design and/or construction and inadequate preventive maintenance for transportation units. The risk indices by sector are presented in Table 3-6 for each of the four factors. Once again, values that exceed 100 indicate above-average risk. Table 3-6: Factor Risk Indices by Food Product Sector, Truck Transportation
In transit In-transit Organizational or Equipmentproduct-related process-related policy-related related Risk [b] Risk [a] Risk [c] Risk [d] Bulk liquids (dedicated tanker) 94.92 96.12 94.95 104.57 Bulk raw ingredients 94.89 98.37 98.88 99.29 Eggs and egg products 104.44 97.26 96.65 101.2 Frozen foods 103.9 100.75 96.16 106.35 Fresh produce 106.36 101.5 104.61 98.44 Meat & poultry (raw) 107.59 101.68 106.01 103.89 Other nonperishables 92.25 97.22 96.79 92.57 Packaging materials 87.82 98.58 97.59 91.84 Refrigerated raw & RTE 105.58 105.75 106.16 104.61 Soft-packed nonperishables 92.53 99.13 96.48 95.15 Seafood (raw) 109.72 103.62 105.73 102.1 [a] The in-transit product-related risk factor loads very highly on improper refrigeration, improper management of transportation units, improper loading, improper unloading, and improper holding practices for products awaiting shipment or inspection, and moderately high on lack of driver/employee training and/or supervisor/manager/owner knowledge of food safety and/or security. [b] The equipment-related risk factor loads very highly on poor transportation unit design and/or construction and moderately high on inadequate preventive maintenance for transportation units. [c] The process-related risk factor loads highly on poor employee hygiene and lack of traceability, and moderately high on improper handling/tracking of rejected loads, etc. [d] The organizational or policy-related risk factor loads highly on inadequate policies and lack of security, and moderately high on lack of driver/employee training and/or supervisor/manager/owner knowledge of food safety and/or security. Food Product Sector

Table 3-7 shows that the rankings of risk by food product sector are not identical for each risk factor. In some cases, certain sectors appear higher in the rankings than one might expect. For instance, soft-packed nonperishables are ranked 6th overall for the equipment-related risk 3-10

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factor. This sector, however, has on average, lower equipment-related risk, with an index of 99.13 compared to the mean for the equipment-related risk index of 100 (see Table 3-6). Table 3-7: Rankings of Food Product Sectors by Overall Risk Index for Truck Transportation Risk Factors
Organizational or In transit product- Equipment-related In-transit processpolicy-related Risk related Risk [a] Risk [b] related Risk [c] [d] Seafood (raw) 1 2 3 5 Meat & poultry (raw) 2 3 2 4 Fresh produce 3 4 4 8 Refrigerated raw & RTE 4 1 1 2 Eggs and egg products 5 9 8 6 Frozen foods 6 5 10 1 Bulk liquids (dedicated tanker) 7 11 11 3 Bulk raw ingredients 8 8 5 7 Soft-packed nonperishables 9 6 9 9 Other nonperishables 10 10 7 10 Packaging materials 11 7 6 11 Food Product Sector

Overall Risk by Food Product Sector for Warehouse/Storage of Food Products We also performed an exploratory factor analysis to consider the risks in the warehousing and storage of food products. Our analysis concluded that the risks for storage of food products are best described by the following three underlying factors: Process-related risk, Equipment and/or facility risk, and Organizational or policy-related risk. As before, the names of factors are derived from those variables that contribute the most to the factor values. The risk indices by sector are presented in Table 3-8 for each of the three factors. Once again, values that exceed 100 indicate above-average risk. Table 3-9 shows the rankings by food product sectors across risk factors. The rankings for the equipment and/or facility-related risk factor seem to be opposite, in a sense, from the other two factors. This is particularly apparent in the top ranking of bulk liquids (ranked first) and eggs and egg products (ranked second) for equipment and/or facility-related risk. This ranking may reflect the high severity of food safety problems related to dedicated tankers and the possible consequences of a contamination event like the 1994 salmonella outbreak following the transport of ice cream mix in tankers previously used for nonpasteurized egg products. 3.4.3 Round 3 Results The objective of Round 3 was to obtain background information on preventive controls that may eliminate or mitigate the risk of food safety hazards in food transportation and warehousing/storage from our expert panel.

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Table 3-8: Factor Risk Indices by Food Product Sector, Storage/Warehouse

Process-related Risk Equipment and/or Organizational or Policy [a] Facility Risk [b] Risk [c] Bulk liquids (dedicated tanker) 96.38 107.73 100.8 Bulk raw ingredients 100.02 102.1 94.31 Eggs and egg products 103.2 106.57 102.01 Frozen foods 100.11 96.17 102.51 Fresh produce 102.97 90.84 97.63 Meat & poultry (raw) 104.08 93.31 107.73 Other nonperishables 95.22 105.24 93.75 Packaging materials 92.46 105.44 92.46 Refrigerated raw & RTE 100.18 90.91 108.18 Soft-packed nonperishables 95.79 105.82 93.85 Seafood (raw) 109.79 95.21 106.6 [a] The process-related risk factor loads very highly on improper packing, and improper loading, and highly on "improper refrigeration, improper management of transportation units, improper unloading, and poor pest control. [b] The equipment and/or facility risk factor loads very highly on inadequate preventive maintenance for storage facilities, and moderately high on poor storage facility design and/or construction and poor employee hygiene. [c] The organizational or policy-related risk factor loads highly on inadequate policies and moderately high on lack of driver/employee training and/or supervisor/manager/owner knowledge of food safety and/or security and improper holding practices. Food Product Sector

Table 3-9: Rankings of Food Product Sectors by Overall Risk Index for Storage/Warehouse Risk Factors
Food Product Sector Seafood (raw) Meat & poultry (raw) Eggs and egg products Fresh produce Refrigerated raw & RTE Frozen foods Bulk raw ingredients Bulk liquids (dedicated tanker) Soft-packed nonperishables Other nonperishables Packaging materials Process-related Risk 1 2 3 4 5 6 7 8 9 10 11 Equipment and/or Facility Risk 8 9 2 11 10 7 6 1 3 5 4 Organizational or Policy Risk 3 2 5 7 1 4 8 6 9 10 11

As discussed in Section 5, effective preventive controls are key to ensuring product safety in transportation and storage of food products. We presented our findings on preventive controls to our panel and asked them to expand the list. Our panel agreed upon the following 23 controls that might be used to mitigate the risk of food safety hazards in food transportation and storage: Appropriate packaging/packing of food products and transportation units (i.e., good quality pallets, correct use of packing materials) Proper use of refrigeration equipment Thermal insulated blankets over refrigerated/frozen items Temperature monitoring/recording devices 3-12

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Appropriate loading procedures for transportation units Appropriate unloading procedures for transportation units Use of appropriate transportation vehicles (i.e. dedicated vehicles when necessary) Physical security measures for facilities and transportation units (cargo locks, seals, etc) Security checks and records of transporters Use of tracking technologies (i.e. satellite (GPS) or radio frequency identification) Appropriate documentation accompanying each load (i.e., tanker wash record, seal numbers, temperature readings, time in-transit and time on docks, etc) Vendor or food transporter certification programs Sanitation/Maintenance of transportation units, storage facilities, and/or containers Sanitation/Maintenance of loading/unloading equipment Proper disposal of wastewater Employee awareness and training Pest control programs Good communication between shipper, transporter and receiver HACCP or other management systems Third party audits of systems/policies/procedures Availability of hand-washing/hygienic devices Proper labeling and/or signage and/or transporter instructions Management review of records 3.4.4 Round 4 Results The objective of Round 4 was to identify the set of preventive controls necessary to eliminate or mitigate the risk posed by each of the fifteen food safety hazards, ensuring that the controls have broadest applicability across all food product sectors and modes of transport (truck, rail, air, water, intermodal, and storage/warehouse). Our expert panel selected the following preventive controls most frequently across all food safety hazards as having the broadest applicability across all food sectors and modes of transport: Employee awareness and training

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Management review of records Good communication between shipper, transporter and receiver Appropriate loading procedures for transportation units Appropriate unloading procedures for transportation units Appropriate documentation accompanying each load (i.e., tanker wash record, seal numbers, temperature readings, time in-transit and time on docks, etc) Appropriate packaging/packing of food products and transportation units (i.e., good quality pallets, correct use of packing materials) ERG also looked at preventive controls identified in relationship to the factor analysis results from the round 2 risk rankings. The preventive controls identified by the experts most frequently to prevent or eliminate In-Transit Risk (as described in the results of Round 2), include: Appropriate documentation accompanying each load (i.e., tanker wash record, seal numbers, temperature readings, time in-transit and time on docks, etc) Appropriate loading procedures for transportation units Appropriate packaging/packing of food products and transportation units (i.e., good quality pallets, correct use of packing materials) Appropriate unloading procedures for transportation units Employee awareness and training Good communication between shipper, transporter and receiver Management review of records Proper use of refrigeration equipment Sanitation/Maintenance of loading/unloading equipment Temperature monitoring/recording devices Use of appropriate transportation vehicles (i.e. dedicated vehicles when necessary) The preventive controls identified by the experts most frequently to prevent or eliminate Organizational Risk (as described in the results of Round 2), include: Appropriate documentation accompanying each load (i.e., tanker wash record, seal numbers, temperature readings, time in-transit and time on docks, etc) Availability of hand-washing/hygienic devices Employee awareness and training

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Good communication between shipper, transporter and receiver Management review of records Temperature monitoring/recording devices Use of tracking technologies (i.e. satellite (GPS) or radio frequency identification) 3.4.5 Additional Considerations Throughout each round of the elicitation, experts were provided the opportunity to openly comment on food transportation risks. This section summarizes many of the comments provided by the experts. The comments have been organized according to the 15 food safety hazards identified during the elicitation. Improper Refrigeration or Temperature control of Food Products (Temperature Abuse) Rising energy costs may be contributing to improperly refrigerated foods. In particular, cost saving measures may include shutting engines off until within distance of the port or raising temperature settings to marginal or inappropriate levels. For food products transported intermodally, the window for greatest risk occurs between mode shift/transfer. Refrigerated ready-to-eat foods are more likely than raw refrigerated goods to support rapid and progressive growth of pathogens. Improper Management of Transportation Units/Storage Facilities to Prevent CrossContamination Cleaning and inspection of refrigerated trucks and other trailers is critically important. Warehouse inspections will often reveal a disregard for spills or compromised packaging and allergen cross-contamination. Minimally packaged, bulk or exposed foods have higher risk than other foods. Issues of cross-contamination should also consider allergens transported via air as well as contact surfaces or proximity. Improper Packing of Transportation Units/Storage Facilities Damage is the biggest concern related to improper packing and loading. Damage may, in part, be a function of cost cutting measures that lead to weaker packaging materials. Achieving proper air flow is a critical component of proper packing.

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Improper Loading Practices, Conditions, or Equipment Mixing loads appears to be a higher risk practice, especially for exposed or minimally packaged foods. Lack of Security for Transportation Units/Storage Facilities Actual security practices in the transportation industry may differ from written procedures Many security issues pertain to theft, particularly the fear of criminal contamination and the possibility of bioterrorism, although this has not been a prevalent issue. Poor Pest Control in Transportation Units/Storage Facilities Most companies have procedures and practices in place to manage pest control Pests may be more prevalent in storage facilities than transportation units. Lack of Driver/Employee Training and/or Supervisor/Manager/Owner Knowledge of Food Safety and/or Security Human error accounts for a very large percentage of mishandling issues. Inspectors of trailers need infection control training and identification tools. Poor Transportation Unit or Storage Facility Design and/or Construction This should be considered an indirect hazard, as it contributes to other risk factors. For instance, poor design may lead to inappropriate refrigeration (temperature abuse). Currently available transportation units are the best they have ever been, however, concern arises from cost saving measures which lead to the use of inappropriate or inadequate equipment. Inadequate Preventive Maintenance for Transportation Units or Storage Facilities This should be considered an indirect hazard, as it contributes to other risk factors. For instance, inadequate preventive maintenance may also lead to inappropriate refrigeration (temperature abuse). The risk from this hazard is likely to be low. Poor employee hygiene This may be a common problem in food transportation, but not one likely to result in severe contamination of food products. The risk for poor employee hygiene is higher for ready-to-eat foods.

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Inadequate Policies for the Safe and/or Secure Transport or Storage of Food Products This should be considered an indirect hazard, as it contributed to other risk factors. For instance, inadequate policies for recording food product temperature may result in unnoticed temperature abuse. Most providers have adequate policies in place. Lack of policy is less of an issue than adherence to policy. Standardization of policies should be considered. Improper Holding Practices for Food Products Awaiting Shipment or Inspection This is a very common issue with highly adverse effects on perishable goods. Improper holding practices are a particular concern for imported foods. Lack of Traceability for Food Products during Transportation and Storage Consequences of the lack of traceability are increasingly complex for bulk ingredients. Mock recalls play an important role in managing the traceability of food products.

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4.

REFERENCES

Ament, R. H. (1970). Comparison of Delphi Forecasting Studies in 1964 and 1969, Futures: 43. Arthur, TM, JM Bosilevac, DM Brichta-Harhay, MN Guerini, N Kalchayanand, SD Shackelford, TL Wheeler, and M Koohmaraie. (2007). Transportation and lairage environment effects on prevalence, numbers, and diversity of Escherichia coli O157:H7 on hides and carcasses of beef cattle at processing. Journal of Food Protection, 70(2): 280-286. Association of Food and Drug Officials. (2004). Guidelines for the Transportation of Food Products. Ayyub, B. M. (2000). Methods for Expert-Opinion Elicitation of Probabilities and Consequences for Corps Facilities. IWR Report-00-R-10. Prepared for U.S. Army Corps of Engineers, Institute for Water Resources. December. Balestra, J. (2007). Confronting threats to agricultural and food transportation: Using fleet management technology to reduce risk and optimize operations. Presentation at the 2007 Agriculture and Food Transporters Conference, Washington, DC. April 25. http://www.agandfoodtrucking.org/2007/ downloads/Wed_JimBalestra.pdf. [Accessed October 29, 2007]. Barham, AR, BL Barham, AK Johnson, DM Allen, JR Blanton, Jr., and MF Miller. (2002). Effects of the transportation of beef cattle from the feedyard to the packing plant on prevalence levels of Escherichia coli O157 and Salmonella spp. Journal of Food Protection, 65 (2): 280283. Basu, S and R. G. Schroeder. (1977). Incorporating Judgments in Sales Forecasts: Application of the Delphi method at American Hoist and Derrick, Interfaces, 7 (3): 18-27. Bendickson, NJ. (2007). Transportation and food distribution security. TransActions, NAOSHWeek 2007 Special Edition. 15-17. Bge, S. (1997). Freight transport, food production and consumption in the United States and Europe: or how far can you ship a bunch of onions in the United States? Wuppertal Paper No. 56.s. Boulder, NM. (2007). Microbial challenges of poultry meat production. Worlds Poultry Science Journal, 63: 401-411. Brewster, R. (2005). Identifying Vulnerabilities and Security Management Practices in Agricultural and Food Commodity Transportation. American Transportation Research Institute, Alexandria, VA. Canadian Food Inspection System (CFIS). (2001). Draft Good Transportation Practices Code. Cardwell, Mark. (2007). Highway stars. Food in Canada, July/August, 52-53.

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Clemen, R. T. and R. L. Winkler. (1997). Combining Probability Distributions from Experts in Risk Analysis. Risk Analysis, 19: 187-204. Corry, JEL, VM Allen, WR Hudson, MF Breslin, and RH Davies. (2002). Sources of salmonella on broiler carcasses during transportation and processing: modes of contamination and methods of control. Journal of Applied Microbiology, 92: 424-432. Costa, R. (2003). Commercial food service establishments: The principles of modern food hygiene. In Schmidt, RH and GE Rodrick. Food Safety Handbook. Hoboken, NJ: John Wiley & Sons, Inc. Courey, M. (2002). Transportation Risk Assessment for Food Safety and Security: An Examination of Risks and Solutions Associated with Food Transportation. Professional Master of Science in Food Safety completion project. Michigan State University, National Food Safety & Toxicology Center. Cramer, MM. (2006). Food Plant Sanitation. Boca Raton, FL: CRC Press LLC. Dallaire, R, L Vasseur, DI LeBlanc, CC Tranchant, and P Delaquis. (2006). A methodological approach for assessing the microbial contamination of fresh produce from harvest to retail. Food Protection Trends, 26 (4): 218-225. Detlefsen, C. (2007). Telephone conversation between Clay Detlefsen, Vice President of Regulatory Affairs and General Counsel, International Dairy Foods Association and Nyssa Ackerley, Eastern Research Group, Inc. December 11. Dreyfuss, I. (2004). Selling unsaleable food. CBSNews.com. April 27. http://www.cbsnews.com/ stories/2004/04/27/health/printable614035.shtml. [Accessed January 8, 2008]. Erera, A. (2005). Providing Security to Food Transportation Systems without Compromising Productivity. Proceedings of the Institute of Food Technologists First Annual Food Protection and Defense Research Conference, Atlanta, GA. November 3-4. Gapud, V. (2006). Driving best practices in distribution. Food Safety Magazine, August/September. Food Industry Transportation Coalition (FITC). (2003). Bulk over-the-road food tanker transport safety and security guidelines. October. Hansson, I, M Ederoth, L Andersson, I Vagsholm, EO Engvall. (2005). Transmission of campylobacter spp. to chickens during transport to slaughter. Journal of Applied Microbiology, 99: 1149-1157. Heap, R., M. Kierstan, & G. Ford. (1998). Food Transportation. Blackie Academic and Professional. Helmer, O. (1983). Looking Forward: A Guide to Futures Research. Beverly Hills, California: Sage Publications.

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Hennessey TW, et al. 1996. A national outbreak of salmonella enteritidis infections from ice cream. The New England Journal of Medicine, 334 (20): 1281-1286. Holcomb, M. (2001). Protecting bagged foods from insect damage. PCT Online, July. http://www.pctonline.com/articles/article.asp?ID=1469&IssueID=99. [Accessed November 16 2007] Jol, S, A Kassianenko, J Oggel, and K Wszol. (2006a). A country-by-country look at regulations and best practices in the global cold chain. Food Safety Magazine, October/November. Jol, S, A Kassianenko, K Wszol, and J Oggel. (2006b). Issues in time and temperature abuse of refrigerated foods. Food Safety Magazine, December/January. Karolefski, J. (2007). Multi-temp solutions improve food safety. Food Logistics, June. Keener, L. (2003). Transportation: The squeaky wheel of the food safety system. Food Safety Magazine, October/November. Kilcarr, S. (2001). Redefining refrigerated transport. Drivers, December 21. Kogure, H, S Kawasaki, K Nakajima, N Sakai, K Futase, Y Inatsu, ML Bari, K Isshiki, and S Kawamoto. (2005). Development of a novel microbial sensor with bakers yeast cells for monitoring temperature control during cold food chain. Journal of Food Protection, 68 (1): 182-186. Kopperud, S. (Undated). FDA Gets Truck Safe Food Transport Authority. American Feed Industry Association. http://www.afia.org/Feedgram_Articles/2005/ Volume_19___18/Safe _Truck.html [Accessed August 3, 2007]. Landeta, J. (2005). Current Validity of the Delphi Method in Social Sciences. Technological Forecasting and Social Change (Article in Press). Larsen, ST, JD McKean, HS Hurd, MH Rostagno, RW Griffith, and IV Wesley. (2003). Impact of commercial preharvest transportation and holding on the prevalence of Salmonella enterica in cull sows. Journal of Food Protection, 66 (7): 1134-1138. Linstone, H. A. and M. Turoff. (2002). The Delphi Method: Techniques and Applications. Addison-Wesley: Reading, MA. Lipschutz, L. (2006). Vendor certification programs: improving food safety through performance tracking. Food Safety Magazine, June/July. McColl, D. B. & N. C. Sitthikul. (2006). Safeguarding the Food Supply FDA Given Sanitary Food Transport Authority. Update, 3 (May/June). http://www.hpm.com/pdf/MCCOLLSITTHI KUL1.PDF [Accessed August 3, 2007]. Milk, Benjamin. (2008). Telephone conversation between Benjamin Milk, Policy and Programs Consultant, International Association of Refrigerated Warehouses, and Nyssa Ackerley, Eastern Research Group, Inc. January 11.

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NASSTRAC website. (2008). National Shippers Strategic Transportation Council. http://www.nasstrac.org. [Accessed January 8, 2008]. Produce Marketing Association. (2006). Truck Transportation Best Practices for the Produce Industry. October. Progressive Grocer. (2006). Produce Transportation Analysis Study. Saddle Creek Corporation. (2007). 2007 Food Logistics Industry Report. Saddle Creek Corporation White Paper Series. http://www.iwla.com/CustomFiles/downloads/E2A58C055382-482E-B419-577E089B0666.pdf [Accessed August 6, 2007]. Schiavo, M. (2007). Stop, Thief! Food Logistics, September. http://www.foodlogistics.com/print/Food-Logistics/Stop--Thief/1$1345. [Accessed November 16, 2007]. Shaaya, E. M. Kostyukovsky, and L Maller. (2005). Improving the control of insects in food processing. In Lelieveld, HLM, MA Mostert, and J Holah. Handbook of Hygiene Control in the Food Industry (p. 407-424). Boca Raton, FL: CRC Press LLC. Stier, RF. (2004). Say goodbye to the weakest link. Food Engineering, June. Suslow, TV, MP Oria, LR Beuchat, EH Garrett, ME Parish, LJ Harris, JN Farber, and FF Busta. Chapter II: Production practices as risk factors in microbial food safety of fresh and fresh-cut produce. Comprehensive Reviews in Food Science and Food Safety, 2. (Suppl.): 38-77. Terreri, April. (2007). Riding the fresh express. Food Logistics, October 12. http://www.foodlogistics.com/print/Food-Logistics/Riding-The-Fresh-Express/1$1416. [Accessed November 16, 2007.] Thoden van Velzen, EU and LJS Lukasse. (2005). Improving hygiene in food transportation. In Lelieveld, HLM, MA Mostert, and J Holah. Handbook of Hygiene Control in the Food Industry (p. 396-406). Boca Raton, FL: CRC Press LLC. Thompson, C. (2007). Bulk milk transportation security project update. Regulatory Services News, University of Kentucky College of Agriculture, 51(4):5. Thompson, M, G Sylvia, and MT Morrissey. (2005). Seafood traceability in the United States: Current trends, system design, and potential applications. Comprehensive Reviews in Food Science and Food Safety, 1:1-7. Troller, JA. (1993). Sanitation in Food Processing. San Diego, CA: Academic Press, Inc. United States Department of Agriculture. Transportation Services Branch, Transportation and Marketing Programs, Agriculture Marketing Service (USDA-AMS). (2007). Agricultural Refrigerated Truck Quarterly, 3rd Quarter, July-September. http://www.ams.usda.gov/tmd2/rtq/PDF%20Files/ 2007/RTQ_Qtr307.pdf.

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United States Department of Agriculture. Food Safety and Inspection Service (USDA-FSIS). (2007). FSIS Issues Public Health Alert for Ground Beef Products Due To Possible E. coli O157:H7 Contamination. [News release]. December 27, 2007. White, Joe. (2007). How Cold Was It? Know the Whole Story. Food Logistics, September. http://www.foodlogistics.com/print/Food-Logistics/How-Cold-Was-It-Know-The-WholeStory/1$1352. [Accessed November 16, 2007] Wojtala, G. (2007). Multi-State Food & Agriculture Truck Transportation Project. Presentation at the 2007 AFDO 111th Annual Educational Conference, San Antonio, TX. June 20. http://www.afdo.org/afdo/ Conferences/upload/070620-Food-1030-Wojtala-Compressed.pdf [Accessed August 3, 2007]. Xanthiakos, K, D Simos, AS Angelidis, GJ-E Nychas, and K Koutsoumanis. (2006). Dynamic modeling of Listeria monocytogenes growth in pasteurized milk. Journal of Applied Microbiology, 100: 1289-1298.

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APPENDIX A ANNOTATED BIBLIOGRAPHY

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CITATION: Arthur, TM, JM Bosilevac, DM Brichta-Harhay, MN Guerini, N Kalchayanand, SD Shackelford, TL Wheeler, and M Koohmaraie. (2007). Transportation and lairage environment effects on prevalence, numbers, and diversity of Escherichia coli O157:H7 on hides and carcasses of beef cattle at processing. Journal of Food Protection, 70(2): 280-286. INDUSTRY: Livestock (beef cattle) ABSTRACT: Hide has been established as the main source of carcass contamination during cattle processing; therefore, it is crucial to minimize the amount of Escherichia coli O157:H7 on cattle hides before slaughter. Several potential sources of E. coli O157:H7 are encountered during transportation and in the lairage environment at beef-processing facilities that could increase the prevalence and numbers of E. coli O157:H7 on the hides of cattle. On three separate occasions, samples were obtained from cattle at the feedlot and again after cattle were stunned and exsanguinated at the processing plant (286 total animals). The prevalence of E. coli O157:H7 on hides increased from 50.3 to 94.4% between the time cattle were loaded onto tractor-trailers at the feedlot and the time hides were removed in the processing plant. Before transport, nine animals had E. coli O157:H7 in high numbers (0.4 CFU/cm2) on their hides. When sampled at the slaughter facility, the number of animals with high hide numbers had increased to 70. Overall, only 29% of the E. coli O157:H7 isolates collected post-harvest (221 of 764) matched pulsed-field gel electrophoresis types collected before transport. The results of this study indicate that transport to and lairage at processing plants can lead to increases in the prevalence and degree of E. coli O157:H7 contamination on hides and the number of E. coli O157:H7 pulsed-field gel electrophoresis types associated with the animals. More study is needed to confirm the mechanism by which additional E. coli O157:H7 strains contaminate cattle hides during transport and lairage and to design interventions to prevent this contamination. KEY FINDING(S): Hide prevalence, number of animals with E. coli and the number of E. coli o157:H7 PFGE types increased on each occasion of transport and slaughter. Potential sources of E. Coli were the animals, the trucks and the lairage environment. Large source of contamination unknown, believed to be the lairage environment. No standard antimicrobial interventions for transport vehicles or lairage environments. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Development of antimicrobial interventions for transport and lairage environment.

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CITATION: Barham, AR, BL Barham, AK Johnson, DM Allen, JR Blanton, Jr., and MF Miller. (2002). Effects of the transportation of beef cattle from the feedyard to the packing plant on prevalence levels of Escherichia coli O157 and Salmonella spp. Journal of Food Protection, 65(2): 280283. INDUSTRY: Livestock (beef cattle) ABSTRACT: Two hundred steers and heifers from a large feedyard (65,000-head capacity) were used to determine the prevalence levels of enterohemorrhagic Escherichia coli O157 (EHEC O157) and Salmonella spp. prior to and after shipping to a commercial packing facility. Two samples, a ventral midline hide swab and a fecal sample, were aseptically collected from each animal 2 weeks prior to the date of transportation and at the packing plant immediately after exsanguination. Samples were collected from all trailers (n = 46) before animals were loaded for transport to the packing facility. The average prevalence levels of EHEC O157 on hides (18%) and in feces (9.5%) at the feedyard decreased (P > 0.05) at the packing plant to 4.5 and 5.5%, respectively. The average prevalence levels of Salmonella spp. on hides (6%) and in feces (18%) at the feedyard increased to 89 and 46%, respectively, upon arrival at the packing plant. Average prevalence levels for EHEC O157 and Salmonella spp. on the trailers were 5.43 and 59%, respectively. The results of this study demonstrate that transportation may be a potential stressor for cattle, as evidenced by the increased shedding of Salmonella spp. KEY FINDING(S): Transportation stresses animals and is associated with shedding of pathogenic bacteria in fecal matter resulting in contaminated trailers and bedding material. Large increase in salmonella presence between feedyard and packing plant (significant change in hides). Trailers appear to be a possible source of contamination may be a critical control point (likely due to stress of the animal and increased fecal matter shedding of pathogens). RECOMMENDED FOOD TRANSPORTATION PRACTICES: Include trailer as a critical control point in developing a HACCP program for livestock transportation.

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CITATION: Bendickson, NJ. (2007). Transportation and food distribution security. TransActions, NAOSHWeek 2007 Special Edition. 15-17. INDUSTRY: Food transportation ABSTRACT: N/A KEY FINDING(S): Security measures should be implemented: develop a security plan (assess vulnerabilities; develop and implement procedures). 200 billion metric tons of food is shipped internationally each year: 60 percent by sea, 35 percent by land and 5 percent by air. Domestically, most food products are shipped by ground transportation truck and rail. Report reviews guidance documents and offers security measures generally and by mode. Offers specific guidance for aviation, truck, rail and maritime transport. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Develop food security plan Assess vulnerabilities Develop and implement procedures

See Food Safety and Inspection Service (FSIS) Food Safety and Security Guidelines for Transportation of Meat, Poultry, and Egg Products and U.S. Food and Drug Administration Center for Food Safety and Applied Nutritions Guidance for Industry Food Producers, Processors and Transporters: Food Security Preventative Measures.

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CITATION: Bge, S. (1997). Freight transport, food production and consumption in the United States and Europe: or how far can you ship a bunch of onions in the United States? Wuppertal Paper No. 56.s. INDUSTRY: Food ABSTRACT: N/A KEY FINDING(S): Increasing CO2 emissions from traffic, increasing freight transport, especially in highly developed industrialized countries Freight transport on roads has increased greatly over the last decades both in western Europe and the United States. Trucks most flexible and cheapest mode of transportation; increasing proportion of expensive and time-sensitive goods. Trains generally used if distances are greater than 750 miles; carry about 30% of all ton miles in the US. RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: Boulder, NM. (2007). Microbial challenges of poultry meat production. Worlds Poultry Science Journal, 63:401-411. INDUSTRY: Poultry ABSTRACT: Food safety and shelf-life are both important microbial concerns in relation to broiler meat production. Focus is mainly placed on the absence or control of potentially pathogenic microbes such as Salmonella and Campylobacter but, from commercial point of view, other spoilage bacteria also play a role. Regarding food safety, the primary target should be the production of pathogen-free live animals, thereby allowing slaughter plants to keep the processing line free of those microorganisms. Pathogen-free feed is fundamental in obtaining such conditions, as is the Good Hygienic Practice in farming, including grand parent stock (GPS), parent stock (PS) and hatcheries. Interventions in the slaughter plant cannot always completely remove pathogens. However there are some measures of control available, including separation of flocks, carcass decontamination and implementing a balanced and operational HACCP system. Shelf-life is closely linked to food safety during processing. The developments towards in-line processing, including chilling, portioning and deboning, allows optimal control. It minimizes processing time and product to product contact, and thus increases shelf-life and limits cross contamination. Refrigeration conditions are very important and an interruption of the refrigeration chain can accelerate microbial growth. Modified atmosphere packaging (MAP) may contribute in controlling the undesired growth of spoilage organisms, and can play a role in food safety as well. The consumer needs to be educated in how to deal with food of animal origin that cannot be produced in an entirely sterile environment, in order to ensure shelf-life and correct preparation and use. KEY FINDING(S): Campylobacter-free production is not possible. Longer transportation times reduce the prevalence of salmonella during transport. Brown et al (1995) showed that reduction of stress was obtained by changing transport conditions (small to larger containers). Feed deprivation prior to transport reduced fecal shedding up to a point. Keeping birds dry during transport can reduce the total bacterial count on live animals (humid conditions contribute to spread and growth of bacteria on the skin.

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Transportation crates or containers may not be free of salmonella after cleaning and disinfection. Temperature during storage is important, as is the type of microflora that is present on the meat. An uninterrupted refrigeration chain is key to controlling the growth of spoilage bacteria. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Cleaning and disinfection of transport containers is only possible when a multi-stage cleaning system is applied: 1. soaking, 2. flushing with large amounts of water to remove organic materials, 3. washing stage using detergent and the right temperature under high pressure with correctly adjusted nozzles that can reach all parts, inside and out 4. flushing off detergent residue and removal of excess water with high pressure air, 5. disinfection. Containers have to be perfectly clean in order for disinfection to be effective. An uninterrupted refrigeration chain is key to controlling the growth of spoilage bacteria.

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CITATION: Brewster, R. (2005). Identifying Vulnerabilities and Security Management Practices in Agricultural and Food Commodity Transportation. American Transportation Research Institute, Alexandria, VA. INDUSTRY: Food and agricultural commodity trucking ABSTRACT: The political climate following the attacks of 9/11 placed increased pressure on the Federal government to identify and reduce terrorist threats against the United States. While the initial focus was on airlines, attention is now being paid to the transport of people and freight on the nations highways. Of particular concern is the transport of agricultural and food products, whose vulnerabilities to terrorist attacks have the potential to disrupt the nations food supply. In response to growing concerns over terrorist activities impacting the food supply chain, the 2001 Federal anti-terrorism budget allotted nearly $40 million to the United States Department of Agriculture (USDA) to help ensure the safe and efficient flow of this countrys food supply. In an effort to better understand the specific risks and threats facing agriculture/food transporters, the USDA contracted with the American Transportation Research Institute (ATRI) to survey nearly seventeen thousand carriers across the country to identify both vulnerabilities in the food supply chain and the most widely used countermeasures to mitigate those vulnerabilities. ATRIs survey and subsequent analysis revealed vastly differing concerns and countermeasures based on carrier size. One of the most pressing concerns, regardless of carrier size, is secure parking for vehicles hauling foodstuffs. The findings from ATRIs survey will be incorporated into a USDAsponsored Guidebook for Identifying Security Management Practices in Agricultural and Food Commodity Transport. KEY FINDING(S): Personnel issues represent a major security concern for all modes of transportation. Potential or new security regulation was the most common concern facing transporters. Cargo contamination and hijacking were 2 of the top 5 concerns chosen. Larger carriers have greater security concerns. Most likely security threat perceived is associated with rest stops or parking issues. Contamination (deliberate or accidental) is perceived as a moderate to low security concern (smaller carriers more likely to rate contamination as a high concern). Nearly 2/3rd of respondents initiated new security programs or activities since 9/11. 36 percent invested in improved security training for drivers

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RECOMMENDED FOOD TRANSPORTATION PRACTICES: Upgrade communication methods (cell phone, pager, wireless internet) and tracking technologies satellite and communication, RFID tags, smart cards, E-seals (adoption rate is low). Facility based measures include lighting, fencing, private security guards, local authority increased patrol.

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CITATION: Cardwell, Mark. (2007). Highway stars. Food In Canada, July/August, 52-53. INDUSTRY: Food ABSTRACT: N/A KEY FINDING(S): Transportation is not a significant source of foodborne illness or contamination in Canada. Transportation industry has recognized international standards for the evaluation and control of food safety concerns (farm to fork). Provincial and federal regulations and guidelines for appropriate temperature, cleaning materials, etc. Systematic preventative approach models like HACCP are widely used. Many organizations have adopted management systems like ISO 22000. RTE and fresh produce are considered the trickiest to transport because they are the most vulnerable to contamination. Even vacuum-sealed cans carry risks (inadvertently frozen, expand can, unravel seam and let air in botulism risk increased). CTAs Trucking Food Safety Program uses HACCP principles to develop commodity-specific food safety modules applicable to all trucking operations (Standard Operating Procedures). RECOMMENDED FOOD TRANSPORTATION PRACTICES: HACCP. ISO22000. Some safety procedures include: sanitizing dock areas, temperature monitoring in refrigerated trailers, regular yard checks, the creation of HACCP committees, semiannual internal HACCP audits, and annual third party audits.

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CITATION: Corry, JEL, VM Allen, WR Hudson, MF Breslin, and RH Davies. (2002). Sources of salmonella on broiler carcasses during transportation and processing: modes of contamination and methods of control. Journal of Applied Microbiology, 92: 424-432. INDUSTRY: Poultry ABSTRACT: The prevalence and types of salmonella in broiler chickens during transportation and during slaughter and dressing were studied. This was part of a comprehensive investigation of salmonellas in two UK poultry companies, which aimed to find the origins and mechanisms of salmonella contamination. Salmonellas were isolated using cultural methods. Serovars of Salmonella detected during rearing were usually also found in a small proportion of birds on the day of slaughter and on the carcasses at various points during processing. There was little evidence of salmonellas spreading to large numbers of carcasses during processing. Many serovars found in the feedmills or hatcheries were also detected in the birds during rearing and/or slaughter. Transport crates were contaminated with salmonellas after washing and disinfection. Prevalence of salmonellas fell in the two companies during this survey. A small number of serovars predominated in the processing plants of each company. These serovars originated from the feed mills. Reasons for transport crate contamination were: (1) inadequate cleaning, resulting in residual fecal soiling; (2) disinfectant concentration and temperature of disinfectant too low; (3) contaminated recycled flume water used to soak the crates. Efforts to control salmonella infection in broilers need to concentrate on crate cleaning and disinfection and hygiene in the feed mills. KEY FINDING(S): Inadequate cleaning and disinfecting of transportation crates. Transportation to the abattoir is known to be stressful and to result in increased fecal shedding and numbers of salmonellas and campylobacters. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Improved cleaning and disinfecting of transport crates and vehicles.

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CITATION: Courey, M. (2002). Transportation Risk Assessment for Food Safety and Security: An Examination of Risks and Solutions Associated with Food Transportation. Professional Master of Science in Food Safety completion project. Michigan State University, National Food Safety & Toxicology Center. INDUSTRY: Food transportation ABSTRACT: N/A KEY FINDING(S): Series of on-site interviews with firms regarding food transportation safety and security. Risks of transportation: physical, chemical, biological, intentional. Concern regarding lumpers and food safety or security. General results are as follows: 45% of the total 31 firms had drivers trained in food safety, 32% trained in food security. 23% of the 31 firms carried nonfood products with food products, 42% had future plans to enhance food safety/food security, 61% had traceback plans, 64% had truck cleaning plans and 77% would use new training methods to train drivers in food safety and food security. Several questions were specifically directed to the potentially hazardous firms. Of the 21 potentially hazardous firms, 86% had temperature logs, 33% pre-cools trucks prior to loading and 5% does change cooling procedures according to season (does not pre-cool truck or does not use reefer at all during winter season). Decision tree used for risk assessments. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Driver education. Temperature recording devices and monitoring of temperature. Proper use of refrigeration devices. Proper sanitation of transportation vehicles. Proper loading to avoid cross-contamination during mixed loads. Proper packaging and loading patterns to avoid damage during travel. Check and maintain proper vehicle conditions clean and sanitized.

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Locked and sealed cargo. Avoid using lumpers for loading and unloading (unauthorized personnel).

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CITATION: Coyle, W, W Hall, and N Ballenger. (2001). Transportation technology and the rising share of U.S. perishable food trade. USDA Economic Research Service. Changing Structure of Global Food Consumption and Trade, WRS-01-1:31-40. INDUSTRY: Food ABSTRACT: By reducing delivery times, maintaining product quality, and reducing shipping costs, advances in transportation technology have greatly facilitated trade of perishable food products. Advances in transportation technology are partly responsible for shifts in the composition of U.S. agricultural trade from bulk commodities to non-bulk items, including perishable products. KEY FINDING(S): Perishable products now account for about 20 percent of total U.S. food and agricultural exports, and an even larger share of imports. Advances in transportation technology have made it possible for shippers to deliver perishable products to purchasers thousands of miles away with no substantial loss in freshness and quality and at lower and lower costs. Containerization is recognized as a major contributor to the steady reduction in world transportation costs since the 1950s. The reefer share of refrigerated cargo is about 44 percent and accounts for about 22 million tons of cargo annually. Deep-freeze and dedicated refrigerated vessels accounting for 28 million tons, or 56 percentare important for palletized chilled fruit, particularly bananas, apples, peaches, pears, grapes, kiwifruit, and citrus, but the reefer container trade is growing more rapidly and is considered better suited for carrying these fruit as well as produce needing more careful handling, like asparagus. RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: IFT. (2003). Chapter IV: Analysis of microbial hazards related to time/temperature control of foods for safety. Comprehensive Reviews in Food Science and Food Safety, 2 (Suppl.): 33-41. INDUSTRY: Food ABSTRACT: N/A KEY FINDING(S): Milk is exposed to the potential for microbial contamination during collection, storage, transportation, and processing. The initial bacteria of fresh produce derive from contamination from air, soil, water, insects, animals, workers, and harvesting and transportation equipment. Need to consider food properties to decide whether food requires time/temperature control for safety. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Time/temperature control. Good Manufacturing Practices in packing, handling, storage of produce.

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CITATION: Dallaire, R, L Vasseur, DI LeBlanc, CC Tranchant, and P Delaquis. (2006). A methodological approach for assessing the microbial contamination of fresh produce from harvest to retail. Food Protection Trends, 26 (4): 218-225. INDUSTRY: Fresh produce ABSTRACT: Fresh fruits and vegetables are vehicles for pathogens associated with foodborne illness. This paper describes a methodological framework for following specific lots of produce in order to monitor their microbial contamination as they move through the production and distribution system (under commercial operations, from field to retail display). The success of this methodology depends on: (1) proper scheduling of replicates and sampling; (2) a color-coded tagging system to track the samples; and (3) close collaboration among the participants involved (researchers, growers, wholesalers and retailers). The color-coded tagging system allows easy access to information about the grower, the field, and the time and date of harvest. The monitoring of microbial contamination throughout the food supply chain can provide better understanding of the sources of contamination and of the ecology of foodborne pathogens, which will contribute to development of methods or techniques to prevent contamination. The sampling methodology proposed is designed to assess the microbiological load of fresh produce, but it could also easily be used to track other aspects of produce quality (e.g., nutrient content) or to obtain information on biological, environmental and management factors needed by the produce industry and by food inspection or public health departments. KEY FINDING(S): The steps involved in the movement of fresh produce through the various markets (or supply chains) are variable, diverse and numerous. The changing nature of produce supply chains may have an impact on produce safety, given the many steps and increasing distances between production and retail. Pathogens of human or animal origin may be introduced to fresh produce at any point during production, harvest, post-harvest handling, processing, storage, transportation and retailing. The management of produce temperature has an important role in limiting microbial proliferation and therefore in reducing the potential for foodborne illness, particularly if pathogens are present on the produce at the beginning of the supply chain, e.g., at harvest, or during post-harvest or wholesale storage. Guidelines developed for the production and distribution system are often broadly applied despite inherent differences between individual commodities. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Development of a tracking/traceability system for fresh produce from farm to retail.

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CITATION: Doering, RL. (2006). Keep on truckin: transportation is often the missing link in the food safety. Food in Canada, April:20. INDUSTRY: Food transportation ABSTRACT: N/A KEY FINDING(S): Lack of attention to food transportation. Trucking industry not yet been identified as a significant source of contamination of foodborne illness. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Canadian Trucking Alliance with Canadian Food Inspection Agency is developing HACCP-based Trucking Food Safety Program.

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CITATION: Farber, JN, LJ Harris, ME Parish, LR Beuchat, TV Suslow, JR Gorney, EH Garrett, and FF Busta. (2003). Chapter IV: Microbiological safety of controlled and modified atmosphere packaging of fresh and fresh-cut produce. Comprehensive Reviews in Food Science and Food Safety, 2 (Suppl.): 142-160. INDUSTRY: Food ABSTRACT: This chapter addresses the use of modified atmosphere packaging and controlled atmosphere packaging for the preservation of fresh produce. There have been great technological advances in this area of preservation, particularly as it refers to improving the quality and shelf-stability of highly perishable food products, such as produce. However, when using these technologies, careful attention must be paid to the effect on the survival and growth of pathogenic organisms. This chapter focuses on food safety aspects of packaging technologies that are either commercially available or under investigation. KEY FINDING(S): Temperature can play a large role in determining the outcome of the final microflora found on refrigerated fruits and vegetables. The concern when using MAP for fruit and vegetables arises from the potential for foodborne pathogens, which may be resistant to moderate to high levels of CO2 ( 50%), to outgrow spoilage microorganisms, which may be susceptible to the modified atmosphere (Bennik and others 1998). Pathogens of concern for MAP produce include L. monocytogenes, Y. enterocolitica, A. hydrophila, C. Botulinum, Salmonella spp, E coli O157:H7, Shigella spp. During harvest and post-harvest, critical points for contamination include contaminated wash water or ice, human handling, animals, contaminated equipment or transportation vehicles, cross-contamination, and inefficient processing of the product that fails to remove substantial levels of bacteria. It is recommended that attention be paid to this growing online grocery service, especially in terms of the potential for cross-contamination in the warehouse and temperature abuse during storage and/or transportation. Modified gas atmosphere packaging is not common but can improve shelf-life and food safety. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Maintain optimum temperatures along food continuum (processing, storage, transportation, and retailing).

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CITATION: Feedstuffs staff writer. (2005). NGFA supports safe transport proposal. Feedstuffs, February 14: 17. INDUSTRY: Grain and Feed ABSTRACT: N/A KEY FINDING(S): The National Grain & Feed Association (NGFA) has strongly supported a proposal from the U.S. Department of Transportation (DOT) to rely upon existing and future regulations issued by the Food & Drug Administration and U.S. Department of Agriculture to ensure the cleanliness and safety of rail and truck conveyances used to transport food and feed. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Shipper certification. Standard training for inspectors.

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CITATION: Fischer, D, W Craig, and BH Ashby. (1990). Reducing transportation damage to grapes and strawberries. Journal of Food Distribution Research, February: 93-202 INDUSTRY: Fresh produce (grapes and strawberries) ABSTRACT: In-transit vibration damage to grapes and strawberries results in reduced quality for the consumer and reduced profits for the produce industry. To solve this problem, the first step is to determine which vibrational frequencies are causing the damage. In various tests, grapes and strawberries were subjected to different frequencies at constant force levels. The effects of the vibration treatments were evaluated on the basis of grading, color analysis, firmness, respiration rate and ethylene production rate. The critical frequency was found to lie between 7.5 and 10 Hertz for both commodities. Color change and respiration rate were shown to be good indicators of damage in grapes. Strawberries did not show a significant effect due to color. Firmness was not affected by vibration in either commodity. KEY FINDING(S): In-transit vibrations can cause skin abrasion and bruising in strawberries which can be a point of entry for micro-organisms. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Reduce in-transit vibration damage by altering the suspension of the truck, changing pallet design or packaging fruit differently.

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CITATION: Gapud, V. (2006). Driving best practices in distribution. Food Safety Magazine, August/September. INDUSTRY: Food industry ABSTRACT: N/A KEY FINDING(S): Product can be physically damaged, temperature abused, exposed to unsanitary conditions and numerous other undesirable conditions that can and do result in increased risk of microbiological, chemical or physical hazards. There are 8 essential considerations for suppliers: good food handling practices, proper personnel training, good cleaning and sanitation practices, effective pest control program, proactive shipping and receiving programs, recall program, HACCP program, food defense program. On the receiving end, the key issues include establishment of product specifications; auditing suppliers facilities; establishment of delivery transportation audit program; monitoring of product temperature during shipping; training and educating personnel. RECOMMENDED FOOD TRANSPORTATION PRACTICES Work with reputable distributors. Adhere to good food handling practices which include maintaining proper temperatures; ensuring proper id and segregation of damaged, rejected, expired and on-hold products; keeping raw materials separate from finished products. Properly train personnel in good personnel hygiene practices, food handling procedures, and cleaning and sanitation. Ensure good cleaning and sanitation by establishing cleaning schedules. To control pests eliminate harborage areas, prevent birds, and use pest control professionals. Adopt good receiving and shipping programs that include traceability, recordkeeping, cleanliness and organization, and first in/first out policies. Ensure that there are product recall procedures are in place, manuals are updated, and mock recalls are conducted periodically. Keep good HACCP records.

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Have a food defense program in place that is in compliance with the Bioterrorism Act and is based on a food security risk assessment.

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CITATION: Hansson, I, M Ederoth, L Andersson, I Vagsholm, EO Engvall. (2005). Transmission of campylobacter spp. to chickens during transport to slaughter. Journal of Applied Microbiology, 99: 1149-1157. INDUSTRY: Poultry ABSTRACT: The objective of the study was to determine the prevalence of Campylobacter-contaminated transport crates and to determine whether contaminated crates represent a risk for contamination of chickens during transport to slaughter. Samples were collected from cleaned transport crates before they were dispatched to the farms. Chicken groups were sampled within 24 h before transport to slaughter and at the slaughterhouse. Campylobacter spp. were isolated from 69 of 122 (57%) sampled batches of transport crates. Twenty-six slaughter groups, negative at farm level, were transported in batches of crates from which Campylobacter spp. had been isolated. In 11 (42%) of these 26 slaughter groups, Campylobacter spp. were found in samples taken at slaughter. The corresponding figure for at-farm-negative slaughter groups transported in negative crates was four (15%) testing positive at slaughterhouse of 27 slaughter groups [relative risk (RR) 29, 95% CI 11 73]. In four of 11 slaughter groups, genetic subtyping by pulsed-field gel electrophoresis was able to support the hypothesis of contamination from crates to chickens during transport to slaughter. Despite washing and disinfection, crates were frequently contaminated with Campylobacter and it could have contaminated chickens during transport to slaughter. Campylobacter-positive crates are a risk factor for chickens testing campylobacter-positive at slaughter. KEY FINDING(S): Contamination with campylobacter is associated with exposure to contaminated transport crates. RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: Hinson, RA. (2005). The role of third-party logistics (3PL) providers in produce. Journal of Food Distribution Research, 36 (2): 12-19. INDUSTRY: Produce ABSTRACT: Supply-Chain Management (SCM) reduces time requirements and costs from supply chains to improve profitability and/or competitiveness. These savings are possible through conceptual advances and increasing use of powerful computer hardware and software. The SCM concept is defined, and some considerations of its application in the produce area are discussed. Most applications and benefits have resulted from alliances between large retailers and large packaged-goods vendors. Third-party logistics (3PL) companies offer an alternative opportunity for medium and smaller companies to capture SCM gains. KEY FINDING(S): In key production regions like California and Florida, a few large growers are forward-integrated into the marketing of their own production and the production of other growers. . . but shipper structure for many crops is still quite fragmented relative to structure at the buying end of the marketing system (Cook 2001). Overall, the application of SCM to perishables, such as produce, was more difficult compared to packaged grocery items. This is due to variable production schedules, seasonality and weather dependency, irregular weights and the lack of packaging for barcode scanning. Affordable access to SCM for smaller food and foodservice companies may be through third-party logistics providers (3PLs). C.H. Robinson Worldwide is an example of a 3PL for produce. RECOMMENDED FOOD TRANSPORTATION PRACTICES Supply chain management or access to it through the use of 3PLs.

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CITATION: Holcomb, M. (2001). Protecting bagged foods from insect damage. PCT Online, July. http://www.pctonline.com/articles/article.asp?ID=1469&IssueID=99. [Accessed November 16 2007] INDUSTRY: Food. ABSTRACT: When servicing facilities associated with food processing, virtually every product has the potential to be infested by insects. Here are some tips to make sure your customers products are safe. KEY FINDING(S): Everything from bagged flour to canned dog food is subject to insect infestation within the food manufacturing facility, distribution warehouse and retail outlet or in the restaurant or consumers home. Poorly engineered packaging, as well as improper storage and handling, can lead to insect infestation of grain-based foods and raw ingredients stored in bags or cartons (soft-pack items including flour, meat and bone meal, pet foods, dried fruits, cereals, cake mix, pasta, spices, snack foods, etc.). Insects are mobile and may infest a clean facility or cross-contaminate unaffected goods held near the infested product. Every time a soft-pack food item is moved, it risks damage from broken boards or popped nails in the pallet, forklift puncture or abrasion against other pallets or the walls inside the shipping vessel (rail car or trailer). Package damage also provides easy access for invading insects. RECOMMENDED FOOD TRANSPORTATION PRACTICES Use only sound, clean, cured pallets. Do not overload or haphazardly load trailers. Use inflatable bladders and cardboard or wooden dunnage barriers to secure loads and prevent damage during shipping. Trailers should be free of insect-supporting debris (on the floor and behind wall panels), loose screws, rivets, and torn floors and walls that could damage packaging. Randomly inspect incoming goods to look for pest activity. Use good storage practices that promote sanitation, inspection, and pest control and do not co-mingle products.

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Address spills immediately (seal openings in packaging and remove spillage).

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CITATION: Jol, S, A Kassianenko, K Wszol, and J Oggel. (2006). Issues in time and temperature abuse of refrigerated foods. Food Safety Magazine, December/January. INDUSTRY: Refrigerated foods ABSTRACT: The cold chain plays a monumental role in modern global trade in all food commodities. Increasingly, market demand has heightened the importance of uncompromised food safety and quality as it travels through sectors that include farming, food processing transportation/distribution, retailing and ultimately as it ends up in the foodservice industry or on the consumers table. Food companies spend millions of dollars to ensure the integrity and wholesomeness of their refrigerated products, yet many are faced with the necessity of recalling products that have been adulterated or contaminated along points of the cold chain. KEY FINDING(S): Control of the storage temperature is vital in maintaining the quality and safety of refrigerated foods throughout the food continuum (gate to plate). The need for time/temperature control is primarily determined by the potential for contamination with and survival of pathogenic microorganisms of concern, and the potential for subsequent growth and/or toxin production. Fluctuations readily happen during storage, transport, retail display, and at the home. A fluctuation of temperature in food from 4.4C to 10C to 12C (40F to 50F to 54F) not only stimulates rapid growth of psychrotrophic pathogenic and spoilage bacteria, but many mesophilic spoilage and pathogenic bacteria are also able to grow and their spores germinate in this range. Some potentially hazardous foods and related pathogens of concern include meat and poultry, fish and seafood, fruits and vegetables, egg and egg products, and milk and milk products . Predictive modeling is a tool that can be used to aid decision making for more effective cold chain food safety management. The main objective of predictive modeling is to describe, mathematically, the likelihood of growth and/or survival of specific microorganisms in food (total spoilage flora or a pathogenic population) under prescribed growth conditions. As described, so many factors involving the growth of pathogens make it difficult to have a general policy whereby potential microbial contamination is controlled to an acceptable level across a wide spectrum of foods. Regulatory bodies need to deliver non-conflicting clear and concise guidance with regard to the length of time refrigerated PHF may reside within the danger zone. This guidance must be based on sound science and of practical use for all food handlers. A-27

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RECOMMENDED FOOD TRANSPORTATION PRACTICES Monitor temperatures under HACCP food safety management programs and HACCP-based food safety programs during processing, distribution, retail display and consumer storage of potentially hazardous foods. Use predictive modeling as a tool to aid decision-making for more effective cold chain food safety management. Check temperature monitoring devices as regular intervals and test them for accuracy.

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CITATION: Jol, S, A Kassianenko, J Oggel, and K Wszol. (2006). A country-by-country look at regulations and best practices in the global cold chain. Food Safety Magazine, October/November. INDUSTRY: Global cold chain ABSTRACT: N/A KEY FINDING(S): Countries are forming partnerships to develop more harmonized legal and industry standards for food safety. Codex alimentarius: global standards for food safety include: Code of hygienic practice for refrigerated packaged foods with extended shelf life (actual temperatures depend on the requirements for the product). Other codes.

Agreement on the International Carriage of Perishable Foodstuffs and on the special equipment to be used for such carriage (ATP). ISO 22000:2005 international standard integrates principles of the HACCP system and application steps developed by Codex. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Mandatory HACCP.

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CITATION: Karolefski, J. (2007). Multi-temp solutions improve food safety. Food Logistics, June. http://www.foodlogistics.com/print/Food-Logistics/Multi-Temp-Solutions-Improve-FoodSafety/1$1117 INDUSTRY: Food transportation perishable foods ABSTRACT: N/A KEY FINDING(S): Everything now is either packaged or sealed with Cryovac plastic food packaging. Monitoring the temperature of food in transit and ensuring HACCP regulations are met remain key. Most common reefers are single-temperature units. Basic technologies used in transport refrigeration systems are essentially unchanged over the past 5 years. Nowadays, almost everyone checks temperatures on receiving. They didnt before. Sealing of trailers is more prevalent. Currently, more rejected product is being destroyed rather than reworked (new since 9/11). RECOMMENDED FOOD TRANSPORTATION PRACTICES: Solid aluminum floors in trailers rather than ribbed. Packaging. Multi-temperature reefer units allow trucks to transport separated cargo at different temperatures. Temperature sensors within the trailers and remote sensors and temp tails. Door switches that monitor and record all door openings can indicate unintended access to cargo. Sealing of trailers.

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CITATION: Karolefski, J. (2007). Meeting the challenges of transporting produce. Food Logistics, September. http://www.foodlogistics.com/print/Food-Logistics/Meeting-The-Challenges-OfTransporting-Produce/1$1346 INDUSTRY: Food transportation produce ABSTRACT: N/A KEY FINDING(S): Produce Marketing Association has drafted best practices for truck transportation of produce. Good communication is essential (inter and intra organization). There are inefficient distribution practices in the supply chain. Inefficiencies in loading and unloading (delays), resulting in potential temperature abuse, may compromise product quality or safety. 4 steps to the safety of perishables: proper pre-cooling of product, proper pre-cooling of trailer, proper trailer loading and maintenance of proper temperature during transit. Product sometimes sits on the dock while other times the refrigeration gets turned off in the trailer. To cut costs, an excessive amount of pallets are being crammed into trailers which can result in damaged goods. There is an overall lack of education on the subject, sprinkled with too many shippers maximizing loads to the point where the safe arrival of goods is thrown into risk. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Good communication between shippers and customers. Use of temperature recording devices.

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CITATION: Keener, L. (2003). Transportation: The squeaky wheel of the food safety system. Food Safety Magazine, October/November. INDUSTRY: Food transportation ABSTRACT: N/A KEY FINDING(S): The many types of foods with many container, temperature and handling requirements and many modes of transportation increase the risk for abuse and/or contamination during storage and transportation. There are limited data on food safety failures that are directly attributable to transportation and storage practices, investigation of several major incidents have identified these processes as the root causes of failure. Based on industry experience, the overall numbers of incidents or outbreaks attributable to transportation failures appear to be vastly underreported. Estimated $2 billion annually in economic, public health and societal impact of transportation food safety failures. Risks for food safety include sabotage or tampering, temperature abuse, crosscontamination. Bulk shipments of food remain at risk. Temperature abuse most significant threat to the integrity of the food supply. Good evidence for temperature abuse in the transportation system. Longer distances traveled more susceptible to temperature abuse. Cross-contamination between product during shipment and from transport vehicles from prior shipments remains a significant issue. Most significant means from LTL shipping practices. Lack of washout stations for transportation vehicles. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Tamper-evident locks and seals. Packaging materials to deter product tampering of bulk shipments (active packaging).

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Training for workers at all levels of the food chain (observe, respond, report). Train load finders (LTL shippers) to understand issues of cross contamination. Transportation food safety program product compatibility, hazard classification and prevention measures. Washout stations.

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CITATION: Keener, KM, MP Bashor, PA Curtis, BW Sheldon, and S Kathariou. (2004). Comprehensive review of campylobacter and poultry processing. Comprehensive Reviews in Food Science and Food Safety, 3: 105-116. INDUSTRY: Poultry ABSTRACT: Campylobacter has been recognized as a leading bacterial cause of human gastroenteritis in the United States, with 40000 documented cases annually. Epidemiological data suggest that contaminated products of animal origin, especially poultry, contribute significantly to campylobacteriosis. Thus, reduction of contamination of raw poultry would have a large impact in reducing incidence of illness. Contamination occurs both on the farm and in poultry slaughter plants. Routine procedures on the farm such as feed withdrawal, poultry handling, and transportation practices have a documented effect on Campylobacter levels at the processing plant. At the plant, defeathering, evisceration, and carcass chillers have been documented to cross-contaminate poultry carcasses. Carcass washings and the application of processing aids have been shown to reduce populations of Campylobacter in the carcasses by log10 0.5 to log10 1.5; however, populations of Campylobacter have been shown to enter a poultry processing plant at levels between log10 5 colony-forming units (CFU)/mL and log10 8 CFU/mL of carcass rinse. The purpose of this article is to review Campylobacter, the infection that it causes, its association with poultry, contamination sources during processing, and intervention methods. KEY FINDING(S): Campylobacter populations increase during transport from farm to processing plant. Stress during transport is a factor. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Proper cleaning of coops between flocks. Refrigeration.

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CITATION: Kilcarr, S. (2001). Redefining refrigerated transport. Drivers, December 21. INDUSTRY: Refrigerated foods ABSTRACT: N/A KEY FINDING(S): The shippers and consignees of meat, poultry and seafood are documenting in detail their food-handling processes but are not required to involve their transportation partners or even tell them about their HACCP systems. Thermo Kings R-Com - a radio-based wireless data retrieval system for refrigerated carriers monitor trailer locations. Europe has regulations regarding temperature maintaining and recording. 91% of temp controlled freight is by truck, 58% by truckload and 33% by LTL (C.H. Robinson 3PL). 80% of survey respondents indicated that temperature monitoring services needed to be increased; 87% indicated that more consistent handling and storage of tempsensitive goods needed. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Monitor and record temperatures in refrigerated trailers (wireless systems).

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CITATION: Klie, Leonard. (2006). When every degree counts. Food Logistics, November. INDUSTRY: Perishable foods ABSTRACT: N/A KEY FINDING(S): Aging fleets, frequent door openings and outside temperatures threaten temperature sensitive foods. The entire temperature control system has been raised to a higher standard of quality and performance, providing our customers with greater peace of mind and helping their businesses run smoother. (Thermo King product manager Doug Lenz) In-cab controls are programmable to allow drivers more control of specific temperature settings. New trailers also have self-diagnostics, temperature logging devices and monitoring systems to alert drivers if something goes wrong. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Food transporters should take advantage of new technologies to maximize product quality and safety.

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CITATION: Kogure, H, S Kawasaki, K Nakajima, N Sakai, K Futase, Y Inatsu, ML Bari, K Isshiki, and S Kawamoto. (2005). Development of a novel microbial sensor with bakers yeast cells for monitoring temperature control during cold food chain. Journal of Food Protection, 68(1): 182186. INDUSTRY: Produce and RTE ABSTRACT: A novel microbial sensor containing a commercial bakers yeast with a high freeze tolerance was developed for visibly detecting inappropriate temperature control of food. When the yeast cells fermented glucose, the resulting gas production triggered the microbial sensor. The biosensor was a simple, small bag containing a solution of yeast cells, yeast extract, glucose, and glycerol sealed up with multilayer transparent film with barriers against oxygen and humidity. Fine adjustment of gas productivity in the biosensor at low temperatures was achieved by changing either or both concentrations of glucose and yeast cells. Moreover, the amount of time that food was exposed to inappropriate temperatures could be deduced by the amount of gas produced in the biosensor. The biosensor was stable without any functional loss for up to 1 week in frozen storage. The biosensor could offer a useful tool for securing food safety by maintaining lowtemperature control in every stage from farm to fork, including during transportation, in the store, and at home. KEY FINDING(S): An increased number of microbial infections associated with the consumption of minimally processed fresh produce and ready-to-eat (RTE) foods have been documented in recent years. At present, temperature control is the most effective technique for securing microbial food safety during distribution and preservation of these items. Listeria monocytogenes survives and grows at low temperatures problematic in refrigerated foods (primarily associated with dairy, beef, pork, poultry, seafood). Developed a small, easy to handle sensor using yeast to identify exposure of RTE and fresh product to inappropriate temperature. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Sensors to detect temperature abuse.

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CITATION: Koutsoumanis, K, PS Taoukis, and GJE Nychas. (2005). Development of a safety monitoring and assurance system for chilled foods. International Journal of Food Microbiology, 100: 253260. INDUSTRY: Chilled foods ABSTRACT: The principles of a novel chill chain management policy, coded Safety Monitoring and Assurance System (SMAS) for the optimization of the distribution of chilled food products within the chill chain are developed. In this system, a new approach based on actual risk evaluation at important points of the chill chain is used in order to promote products to the next stage of distribution. This evaluation based on products timetemperature history, variation in products characteristics (e.g., aw, pH, etc.), and the use of predictive models for the growth of food pathogens, allows to give priority to products in such a way that risk at consumption time is minimized. The effectiveness of SMAS was evaluated against the First In First Out (FIFO) approach, the current method for food distribution, in a case study on the risk of listeriosis of cooked ham using the Monte Carlo simulation technique. Furthermore, the two approaches were compared for their effect on the quality of the products in terms of remaining shelf life at the time of consumption. The results showed that following the SMAS approach, the risk of listeriosis is significantly lower while the spoiled products at the time of consumption are significantly reduced compared to FIFO approach. KEY FINDING(S): Temperature conditions in the chilled distribution chain determine the risk potential, the shelf life and final quality of chilled products processed and packed under Good Manufacturing Practices and Good Hygiene Practices (GMPs and GHPs). Development of a Safety Monitoring and Assurance System (SMAS) o Develop a growth model of relevant pathogen. o Utilize information regarding variability in products characteristics (water activity, pH, concentration of preservatives, knowledge of time/temp history). RECOMMENDED FOOD TRANSPORTATION PRACTICES: Utilize a safety monitoring and assurance program for chilled food products to reduce the percentage of high risk or spoiled products at consumption.

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CITATION: Larsen, ST, JD McKean, HS Hurd, MH Rostagno, RW Griffith, and IV Wesley. (2003). Impact of commercial preharvest transportation and holding on the prevalence of Salmonella enterica in cull sows. Journal of Food Protection, 66 (7): 1134-1138. INDUSTRY: Pork production ABSTRACT: The objective of this study was to examine the prevalence of Salmonella enterica in cull sows at various stages from the farm to the abattoir. Cull sows (n = 181) were sampled over 10 weeks. Fecal samples (10 g each) were collected on the farm ca. 24 h before loading and at the live-hog market ca. 3 h before loading. Samples (ileocecal lymph nodes, cecal contents, feces from the transverse colon, ventral thoracic lymph nodes, subiliac lymph nodes, sponge swabs of the left and right carcass sections, and chopped meat) were collected at the abattoir. The percentages of positive fecal samples on the farm and at the live-hog market were 3% (5 of 181 samples) and 2% (3 of 181 samples), respectively. After transport from the live-hog market (10 h) and holding at the abattoir (6 h), 41% (74 of 180) of cull sows yielded S. enterica in one or more sampled tissues. The isolation rate for total cecal contents (33%; 60 of 180 samples) was significantly (P < 0.05) higher than those for ileocecal lymph nodes (7%; 12 of 181 samples), feces (11%; 20 of 181 samples), and ventral thoracic and subiliac lymph nodes (2%; 4 of 181 samples). Before a 2% lactic acid carcass wash (lasting 8 to 9 s), 14% (25 of 180) of carcasses were positive, compared with 7% (12 of 179) after the wash (P < 0.05). Two S. enterica serotypes, Derby and Infantis, were found on the farm and at the live-hog market. At the abattoir, 12 serotypes that had not previously been found on the farm or at the live hog market were recovered. The results of this study demonstrate that transport and holding practices may contribute to an increase in S. enterica infection prior to slaughter to levels much higher than those found on the farm. KEY FINDING(S): Transport and abattoir lairage are stages at which cull sows might acquire S enterica. RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: Lipschutz, L. (2006). Vendor certification programs: improving food safety through performance tracking. Food Safety Magazine, June/July. INDUSTRY: Food ABSTRACT: N/A KEY FINDING(S): A vendor certification program (VCP) enables your operation-agricultural production, processing, foodservice or retail to systematically track performance of your vendors and verify their compliance to your quality and food safety specifications to see which ones provide the most benefit, both from a food safety and a business perspective. Quality systems include attention to supplier monitoring, employee training, product recovery and traceability, and HACCP. Once the raw materials are cool and packaged, the grower will want to make sure that the trucks that used to transport the product have good temperature controls and are clean and free of odors. Part of temperature control in trucks is to make sure there is good air circulation in the truck too, as well as proper stacking of pallets or containers to maintain the air control. This is a good example of a verification checkpoint that should be included in the VCP. If you are not able to bring your raw material down to specified temperatures, you cannot rely on the truck to do it for you. Truck cooling capacities are only good enough to maintain the temperature of the products at the temperature they are at to begin with-trucks are not a cooling facility. The receiving dock inspection of raw material usually entails the documentation of many food safety and quality data points that are easily included in the VCP, including the receiving temperature, sanitary conditions of the delivery truck, and whether dirt on pallets are clean or excessively soiled. Vendor certification checkpoints at the transportation/distribution center include: requirements for how quickly to ship pallets (within 24 hours), carriers that are properly bonded and insured, and first-in/first out (FIFO) practices. One of the interesting things about temperature maintenance, especially now that gasoline prices have skyrocketed, is that more frequently uninformed truckers are prone to turn off their reefers once they leave the dock to save fuel, only turning them back on at the end of the trip.

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RECOMMENDED FOOD TRANSPORTATION PRACTICES: Vendor certification programs, with recommended checkpoints for temperature of foods, sanitary conditions, etc. Temperature recording device in delivery vehicles (RFID).

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CITATION: Minihan, D, M OMahony, P Whyte, and JD Collins. (2003). An investigation on the effect of transport and lairage on the fecal shedding prevalence of Escherichia coli O157 in cattle. Journal of Veterinary Medicine, B 50: 378-382. INDUSTRY: Cattle ABSTRACT: The aim of the study was to investigate the effect of transport and lairage on the prevalence of Escherichia coli O157 fecal shedding and the subsequent contamination of beef carcasses. Individual rectal fecal samples were taken from two cohorts of cattle (109 and 59) at the farm before transport and at the abattoir post-transport and lairage. The entire outer and inner surfaces of the carcass of each animal were swabbed immediately following slaughter and dressing. The prevalence of E. coli O157 shedding in cattle sampled at farm, post-transport and lairage was 18% (20), 13% (14) and 12% (13) for cohort A and 1.7% (1), 1.7% (1) and 0 for cohort B, respectively. No E. coli O157 was recovered from the 168 dressed carcasses. In total, 98% (46 of 47) of the E. coli O157 isolates from cohort A were potentially pathogenic to man. Transport and lairage do not cause an increase in the prevalence of E. coli O157 fecal shedding in cattle. This study demonstrates that even positive cohorts of cattle may be slaughtered and processed to produce clean carcasses by following good hygienic practices. KEY FINDING(S): Transport and lairage do not cause an increase in the prevalence of E. coli O157 fecal shedding in cattle. Maintaining appropriate standards of hygiene in abattoirs can achieve low levels of pathogens on dressed carcasses. RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: Newton, S. (1990). Rats! A never ending story pest infestation; includes case studies. Prepared Foods, October. INDUSTRY: Food. ABSTRACT: Pests never stop testing your defenses, but a well-planned and consistently executed control program can keep these nuisances from developing into serious problems. KEY FINDING(S): Studies commonly estimate that pest activity results in losses ranging between 5% and 10% of stored food products. Pests can hide in unexpected places. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Integrated pest management is recommended for food facilities.

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CITATION: Progressive Grocer. (2006). Produce Transportation Analysis Study. INDUSTRY: Produce ABSTRACT: N/A KEY FINDING(S): Retailers are largely unaware of produce transportation problems. Trucking companies experience wait times for unloading at receiver docks and a delay in loading trucks based on product availability. Other problems include the payment of lumper fees to unload trucks and handling of rejected produce at receiver docks. Suppliers and transportation companies report an average wait time to unload trucks of about three hours while receivers estimate about one and a half hours. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Keeping appointments, trucker receiver communications, better dock management, faster unloading listed as problem solutions. Better temperature control during shipping. Elimination of lumper fees through alternative arrangements. Good communication (people availability, GPS, cell phones, shippers communication problems to receivers).

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CITATION: Refrigerated and Frozen Foods staff writer. Securing the chain. http://www.refrigeratedfrozenfood.com/scommon/print.php?s=RF/2007/02&p=14 INDUSTRY: Refrigerated and frozen food ABSTRACT: N/A KEY FINDING(S): Pre 9/11 security emphasis more on recruitment and retention of high-quality employees and technology utilized where product value and locale demographics warranted more stringent and costly measures. Post 9/11: all trailers and rail cars are sealed, facility security surveillance, locks 24 hours a day, periodic security checks. Hazardous cargo soft drink syrup and low level cleaners. There is no detailed cost data on implementation of security procedures RECOMMENDED FOOD TRANSPORTATION PRACTICES: Employee background checks, monitored intrusion systems, video surveillance (facilities). Restricted area access, 24-hour surveillance, video surveillance. Driver training on seal integrity procedures. Controlled access to trailers. Highway watch training program. Reefer monitoring on trailers.

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CITATION: Richards, GP. (2001). Food-borne pathogens: Enteric virus contamination of foods through industrial practices: a primer on intervention strategies. Journal of Industrial Microbiology & Biotechnology, 27: 117-125. INDUSTRY: Food ABSTRACT: Hepatitis A and E viruses, rotaviruses, Norwalk- like caliciviruses, and astroviruses are among the enteric viruses known to cause food- and waterborne illness. These viruses are spread by the fecaloral route and are a major cause of morbidity and mortality worldwide. Foods may be contaminated at any time pre- or post-harvest; however, many outbreaks are associated with foods handled by infected restaurant workers. Produce may be contaminated by improper irrigation or fertilization practices, by the hands of infected pickers or processors, or as the result of adulteration during any stage of handling. Outbreaks have been commonly associated with foods which are served raw or only lightly cooked, such as molluscan shellfish, fruits and vegetables, and salads or products contaminated after cooking like frosted bakery products. The farming, shellfish, processing, transportation, and restaurant industries must maintain vigilance to reduce outbreaks of enteric virus illness. Intervention strategies to enhance product safety include increased industry and consumer education; changes in industrial practices, product management, and processing technologies; worker immunizations; and the development of improved monitoring tools for the detection of enteric viruses in foods. KEY FINDING(S): Hep A and E, Caliciviruses, and group A rotaviruses can be spread readily to foods during food production, processing and handling. Transportation industry must share the responsibility of maintaining clean trucks, ice, boxes, pallets, etc., to haul food products. Human enteric viruses do not replicate in foods even under temperature abuse. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Clean trucks, ice, boxes, pallets, etc.

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CITATION: Rodrigue, J and M Craig. (2006). The Cold Chain. Chapter 6 in: Rodrigue, J, C Comtois and B Slack. The Geography of Transport Systems. New York, Routledge. INDUSTRY: Cold chain foods ABSTRACT: N/A KEY FINDING(S): In 2002, an estimated $1,200 billion worth of food was transported by a fleet of 400,000 refrigerated containers (Reefers). Alone, the United States imports about 30% of its fruits and vegetables and 20% of its food exports can be considered perishables. Air cargo is sometimes subjected to exterior (ground) weather prior to loading and may jeopardize quality/safety. To experience market growth, need strategies and regulations. Different products require different temperature level maintenance. The most common temperature standards are "banana" (13 C), "chill" (2 C), "frozen" (-18 C) and "deep frozen" (-29 C). Types of packaging: dry ice, gel packs, liquid nitrogen, quilts, reefers. Cold chains involve a comprehensive logistical process requiring attention to several phases, including shipment preparation (temperature decisions, understanding weather conditions), modal choice (assess distance, size and weight of shipment, required temperature environment, time restrictions), custom procedures, the last mile (actual delivery to destination), integrity and quality (checking temperature recording devices). RECOMMENDED FOOD TRANSPORTATION PRACTICES: Temperature recording devices should be checked.

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CITATION: Schiavo, M. (2007). Stop, Thief! Food Logistics, September. http://www.foodlogistics.com/print/Food-Logistics/Stop--Thief/1$1345. [Accessed November 16, 2007]. INDUSTRY: Food ABSTRACT: Coffee, processed meat, frozen shrimp, fine wine-these and other commodities are the targets of modern day cargo thieves. This phenomenon has been steadily growing in the United States and the FBI estimates that cargo theft is costing the U.S. between $15 to $30 billion each year. As the average trailer load of merchandise is valued somewhere between $12,000 to $1 millionand the cost of insuring that load is skyrocketing-food companies can scarcely afford to remain blas about protecting their shipments. They need to take aggressive steps to protect trucks in their yards, en-route to their destinations and at the receiving docks. KEY FINDING(S): Commodities with higher yields are more subject to target. For at least one company, thefts have increased significantly in the past 2-3 years. Distribution centers provide opportunities for theft. The most vulnerable part of the supply chain is while the truck is on the road. A good percentage of truck thefts that take place in transit are the result of driver negligence, not following proper procedure. Technologies such as GPS tracking systems have definitely improved the ability of fleet managers to track their trucks over the road and onboard telematics systems are making it easier to recover trucks once they've been stolen. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Vulnerability assessments are valuable in determining areas of risk in the supply chain. Use perimeter fencing around distribution centers as a deterrent and control access for vehicles entering and exiting distribution centers. Utilize physical security and other technology (motion-triggered cameras). Segregate the loading and unloading areas from general parking areas. Provide sufficient lighting to illuminate the entire area.

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Know your shippers; identify trucks and drivers upon arrival at the distribution center. Utilize pre-clearance of driver routes and approved rest stops for drivers. Train drivers on proper security guidelines. Use high security seals for cargo integrity and utilize proper procedures to use them correctly.

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CITATION: Stier, RF. (2004). Say goodbye to the weakest link. Food Engineering, June. INDUSTRY: Food transportation ABSTRACT: N/A KEY FINDING(S): Transportation often the most overlooked element of the supply chain. Primary concerns for shipping include tampering and sabotage, temperature abuse and cross contamination. Rejection of a load at one location does not necessarily mean that the products in question will not come back into the food chain at another location. Temperature abuse of refrigerated or frozen products during distribution is all too common. Drivers turn off refrigeration units. Refrigerator containers improperly set or fail during trans-oceanic shipments. Weakest link is LTL shipments make numerous stops and often include shipments that contain food and nonfood components. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Monitoring temperatures to minimize temperature abuse. Inspect and clean containers prior to loading. Require a history check on trailers and containers.

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CITATION: Suslow, TV, MP Oria, LR Beuchat, EH Garrett, ME Parish, LJ Harris, JN Farber, and FF Busta. Chapter II: Production practices as risk factors in microbial food safety of fresh and fresh-cut produce. Comprehensive Reviews in Food Science and Food Safety, 2.(Suppl.): 38-77. INDUSTRY: Produce ABSTRACT: The purpose of this chapter is to identify production practices that may influence the risk of contamination and exposure to the consumer by human pathogens. Key areas of concern are prior land use, adjacent land use, field slope and drainage, soil properties, crop inputs and soil fertility management, water quality and use practices, equipment and container sanitation, worker hygiene and sanitary facilities, harvest implement and surface sanitation, pest and vermin control, effects of domesticated animal and wildlife on the crop itself or packing area, postharvest water quality and use practices, post-harvest handling, transportation and distribution, and documentation and recordkeeping. The role of water quality and manure management practices is particularly critical. KEY FINDING(S): It is of great importance to avoid mechanical injury to the produce items during harvesting, transporting, and packing. The disturbance of the fruit or vegetable physical barrier would greatly increase the opportunities for pathogen survival and growth, if contamination occurs. Clean containers, equipment and trucks are imperative. Stacking soil-contaminated bins (storage) can be a source of contamination. In these ways, ethylene effects on senescence may contribute to multiplication of bacterial pathogens on produce that would increase the potential for crosscontamination during downstream handling, processing, or food preparation. Equipment used by short-haul and local distribution carriers is generally of lower quality and refrigeration capacity. Long distance transportation more often takes into consideration issues of quality and safety of fresh produce. Air carriers, railcars, marine vessels (bulk and container), highway trailers, and intermodal combinations, such as trailer-on-flatcar (TOFC) and container-on-flatcar (COFC), are all used to transport fresh, perishable commodities and minimally processed foodservice and consumer convenience packaged produce. Local distribution may include refrigerated or non-refrigerated trucks (open or closed) and vans. Small-scale or limited resource growers may transport produce relatively short distances, to farmers markets, restaurants and retail outlets, or directly to subscription consumers. Water quality for ice making is a risk factor.

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RECOMMENDED FOOD TRANSPORTATION PRACTICES: Clean containers, equipment and trucks.

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CITATION: Terreri, April. (2007). Riding the Fresh Express. Food Logistics, October 12. http://www.foodlogistics. com/print/Food-Logistics/Riding-The-Fresh-Express/1$1416. Accessed: November 16, 2007. INDUSTRY: Food Transportation ABSTRACT: NA KEY FINDING(S): Constantly tracking the most cost-efficient and reliable transportation modes, food producers have been switching to and from rail and truck, depending on which mode offered the most attractive pricing, guaranteed capacity and guaranteed delivery schedules. Shippers today are taking a closer look at boxcar. "The demand for rail continues to increase because of trucking's problems with things like fuel surcharges, driver shortages and the latest HOS (Hours of Service) regulations." Several years back, the move from rail to intermodal and truck was fashionable, as the food industry was dealing with smaller order quantities. But the pendulum is starting the swing back. RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: Thoden van Velzen, EU and LJS Lukasse. (2005). Improving hygiene in food transportation. In Lelieveld, HLM, MA Mostert, and J Holah. Handbook of hygiene control in the food industry (p. 396-406). Boca Raton, FL: CRC Press LLC. INDUSTRY: Food transportation. ABSTRACT: The hygiene aspect of food transport has become an issue for European transport operators. This development stated roughly in 1990, when national governments urged transport operators to act on food safety. In every supply chain there are at least a few but usually dozens of transport steps. These transport steps can differ greatly in duration, conditioning and type of product. Consequently, all these transports will have their own food safety profile. KEY FINDING(S): The Dutch government implemented the food hygiene directive in 1995. This law does not contain specific instructions on temperature and hygiene management, but does require carriers to establish a certified HACCP plan or adopt the hygiene code of the Dutch transport board. Since cross contamination is not an issue in the transport of fruits and vegetables (most loads are heavily contaminated with Botrytis, Fusarium and Rhizopus), the cleaning of the vehicles receives little attention. Refrigeration units and insulation of refrigerated trucks have been designed to be able to maintain the temperature of the chilled load even under hot summer conditions outside the truck. In those cases that temperature was insufficiently managed and the load was subjected to too high temperatures, the problem most often did not arise from poorly refrigerating trucks. (Some exceptions: units turned off, to dense of pallet stacking.) Temperature abuse is more likely to occur at loading and unloading of vehicles and whenever the supplier of the load did not bring the temperature of the load down sufficiently prior to transport. Refrigerated trucks are not designed to cool a cargo during transit. Temperature abuse on air shipments may occur during slow loading or unloading of planes, especially if awaiting inspection. Reports of temperature abuse on sea-going vessels are related to unconditioned transports. Cross contamination can be avoided by taking the correct precautions.

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Cross-contamination problems have arisen with return freights and wooden pallets. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Develop HACCP plans for food transportation. Properly pre-cool loads prior to loading and transport to avoid temperature abuse. Use lamellae and air curtains at the doors of a vehicle to reduce heat leakage during transportation with frequent stops. Use modern data-loggers (time-temperature recorders) to monitor the temperature of loads during transit (GPS, RFID). Use improved air cargo containers to maintain product temperature during air shipments. To avoid cross-contamination, some loads should not be transported simultaneously or should be well separated by a barrier, such as pallet sleeves or pallet wraps. Alternatively, transport units could be cleaned prior to and after transport with a high risk for contamination: liquids, bulk goods, and hung carcasses. Pallets should not be stored outdoors or in very moist locations to avoid microbial growth.

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CITATION: Thompson, C. (2007). Bulk milk transportation security project update. Regulatory Services News, University of Kentucky College of Agriculture, 51(4):5. INDUSTRY: Dairy milk ABSTRACT: N/A KEY FINDING(S): University of Kentucky in collaboration with other partners is developing a bulk milk transportation security system involving electronic locks, seals and record-keeping. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Electronic lock, seal and record keeping system that will identify who, when, where and why a tankers door, valve or dome lid was opened.

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CITATION: White, Joe. (2007). How Cold Was It? Know the Whole Story. Food Logistics, September. http://www.foodlogistics.com/print/Food-Logistics/How-Cold-Was-It-Know-The-WholeStory/1$1352. [Accessed November 16, 2007] INDUSTRY: Refrigerated foods. ABSTRACT: N/A KEY FINDING(S): For years, temperature-critical chains have responded to this need by placing mechanical strip-chart recorders and electronic time-and-temperature recorders inside shipments. But these devices are limited in the data they produce and collecting and using that data involves extra labor and potential errors. Now, radio frequency identification (RFID)-which uses tags that can store much more data and then quickly and wirelessly transmit this data to readers-is bringing new levels of strategic and operational decision-making, visibility and convenience to cold chain management. Temperature-controlled shipments rise above the specified temperature in 30 percent of trips from the supplier to the distribution center (DC), and in 15 percent of trips from the DC to the store. Lower-than-permissible temperatures also occur in 19 percent of supplier-to-DC shipments and 36 percent of DC-to-store trips. Damage to perishable food accounts for 56 percent of all product shrinkage in the United States. Temperature-abused food may appear acceptable on arrival, though poor temperature management has reduced its shelf life and safety. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Utilize temperature monitoring and recording devices. Use radio frequency identification to facilitate real-time data exchange along the cold chain. Use centerline loading, or keeping pallets away from trailer walls, to maintain more stable temperatures and encourage air circulation.

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CITATION: White Technical Research Group. (2006). Transportation. Food Safety Information Papers, Corn Refiners Association. INDUSTRY: Corn refiners ABSTRACT: Many years ago, member companies of the Corn Refiners Association (CRA) developed stringent product transportation guidelines, designed to ensure that billions of pounds of corn wet-milling based ingredients produced annually reach food and beverage manufacturers safely and unadulterated. Developed in cooperation with the Food Products Association and food industry partners, these guidelines provide specifications for cargo tank construction and procedures for properly receiving, cleaning, loading and sealing cargo tanks. Subsequently, the United States Congress passed the Sanitary Food Transportation Act of 1990. The Act requires the Secretary of Transportation to issue regulations to promote the safe transportation of food products. The U.S. Department of Agriculture published the Guide for Security Practices in Transporting Agricultural Food Commodities in October 2004. The U.S. Department of Homeland Security, U.S. Customs and Border Protection, undertook the C-TPAT and Container Security Initiative from 2003-2005. The Food Industry Transportation Coalition presented to the Food and Drug Administration- CFSAN the Bulk Over the Road Food Tanker Transport Safety and Security Guidelines in August 2003. Member companies of the Corn Refiners Association continue to develop and follow transportation practices designed to ensure that corn wet-millingbased ingredients reach consumers unchanged, uncontaminated and unadulterated. KEY FINDING(S): Corn ingredients should be transported in dedicated containers and washed with hot water only. RECOMMENDED FOOD TRANSPORTATION PRACTICES: Container inspection and sanitation. Tamper evident seals at access points. Re-inspection if not loaded within 24 hours.

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CITATION: Whitfield, FB. (1998). Microbiology of food taints. International Journal of Food Science and Technology, 33: 31-51 INDUSTRY: Food ABSTRACT: Fresh and processed foods are often spoilt by the presence of undesirable flavors and odors caused by microbial action. The aim of this paper is to review the current knowledge of microbiologically induced taints that occur in a wide range of foodstuffs, including meats, poultry, fish, crustaceans, milk, dairy products, fruits, vegetables, cereals and cereal products. KEY FINDING(S): 1980s musty taint in dried fruit appeared to occur when transported in general purpose freight containers eventually determined to be chlorophenol in the fiberboard packaging material by adventitious fungi, then timber floors of freight containers RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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CITATION: Xanthiakos, K, D Simos, AS Angelidis, GJ-E Nychas, and K Koutsoumanis. (2006). Dynamic modeling of Listeria monocytogenes growth in pasteurized milk. Journal of Applied Microbiology, 100: 1289-1298. INDUSTRY: Dairy - milk ABSTRACT: The objective of the study is the development and validation of a dynamic model for predicting Listeria monocytogenes growth in pasteurized milk stored at both static and dynamic temperature conditions. Growth of inoculated L. monocytogenes in a commercial pasteurized whole milk product was monitored at various isothermal conditions from 1.5 to 16C. The kinetic parameters of the pathogen were modeled as a function of temperature using a square root type model, which was further validated using data from 92 published growth curves from eight different milk products. Compared to four published models for L. monocytogenes growth, the model developed in this study performed better, with a per cent discrepancy and bias of 49.1 and -1.01%, respectively. The performance of the model in predicting growth at dynamic temperature conditions was evaluated at four different fluctuating temperature scenarios with periodic temperature changes from -2 to 16C. The prediction of growth at dynamic storage temperature was based on the square root model in conjunction with the differential equations of the Baranyi and Roberts model, which were numerically integrated with respect to time. The per cent relative errors between the observed and the predicted growth of L. monocytogenes were less than 10% for all temperature scenarios tested. Available models from experiments conducted in laboratory media may result in significant overestimation of L. monocytogenes growth in pasteurized milk because they do not take into account factors such as milk composition (e.g. natural antimicrobial compounds present in milk) and the interactions of the pathogen with the natural microflora. The product-targeted model developed in the present study showed a high performance in predicting growth of L. monocytogenes in pasteurized milk under both static and dynamic temperature conditions. Temperature fluctuations often occur during the transportation and storage of pasteurized milk. A high performance, dynamic model for the growth of L. monocytogenes can be a useful tool for effective management and optimization of product safety and can lead to more realistic estimations of pasteurized-milk related safety risks. KEY FINDING(S): Appropriate temperature control and compliance during transportation and storage is of major significance. Temperature abuse in the chill chain, a major cause of safety problems, is not being dealt with.

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RECOMMENDED FOOD TRANSPORTATION PRACTICES: N/A

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APPENDIX B ASSOCIATION OF FOOD AND DRUG OFFICIALS GUIDELINES FOR THE TRANSPORTATION OF FOOD PRODUCTS

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Association of Food and Drug Officials

Guidelines For the Transportation of Food Products

Drafted by the Food Committee Adopted by AFDO Board of Directors June 2005

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Guidelines For the Transportation of Food Products

Table of Contents I. II. III. IV. Preface Introduction Definitions Food Production and Security A. Proper and Reasonable Food Transportation Measures B. General Provisions Raw Ingredient and Food Product Safety C. General Provisions Food Product Security D. General Provisions - Food Storage Areas V. Vehicles A. Design and Construction B. Cleaning and Sanitizing Vehicles C .Dedicated Vehicles D. Vehicle Examination before Loading E. Staging of Loads F. Loading G. Mixed, Partial and Less-Than Loads H. In-Transit I. Unloading VI. Recommended Practices for Handling Food Products A. Dry Foods B. Refrigerated and Frozen Raw Ingredients and Food Products C. Shellfish D. Potentially Hazardous Foods VII. Enforcement A. General B. Trucking Company C. Operator D. Cleaning Facilities E. Receiving Facility for Bulk Tanker Trailers VIII. Bibliography

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ASSOCIATION OF FOOD AND DRUG OFFICALS GUIDELINES FOR THE TRANSPORTATION OF FOOD PRODUCTS

I.

PREFACE Information and recommendations contained in this guideline are intended to be voluntary for the safe and secure transportation and handling of food products from production through delivery. As such AFDO does not guarantee or warrant, expressly or by implication, that compliance with this guideline will prevent damage, spoilage, accidents, or injuries to persons or property. Any inference of such a guarantee or warranty is expressly and specifically disclaimed. It is the sole responsibility of any company or person using this guideline and not the responsibility of AFDO to ensure that such company or person is proficient in the operations and procedures discussed in this guideline. Moreover, adoption of any of this guideline does not ensure compliance with legal or regulatory requirements. Those involved in the transportation of foods are advised to become familiar with all relevant and applicable local, state and federal regulations and to ensure that they comply with such requirements as appropriate.

II.

INTRODUCTION This guideline addresses food safety measures that should be taken by shippers and haulers from the point of receiving and transporting raw materials and food production through delivery of the final food product. This guideline is also intended to secure and protect all food products from the numerous potential sources of contamination, such as dirt, debris, excessive heat or other adulterants that may occur during transportation. Temperature control is of importance to prevent the rapid and progressive growth of disease-causing organisms that may be naturally present in foods as well as those introduced through incidental contamination in the operation of all vehicles transporting foods. Everyone in the food distribution system is responsible for ensuring that all raw materials and food products are safe, wholesome and unadulterated Therefore, as part of this system, those responsible for transportation and delivery should implement every

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possible and reasonable security measures to ensure the integrity of the raw materials and food products throughout the supply chain. III. DEFINITIONS A. B. Act The Federal Food, Drug, and Cosmetic Act, as amended (title 21, U.S.C. 301 et seq.). Adulteration A food is deemed to be adulterated if: 1. It bears or contains any poisonous or deleterious substance which may render it injurious to health; 2. It bears or contains any added poisonous or added deleterious substance; 3. It is a raw agricultural commodity and it bears or contains a pesticide chemical which is unsafe within the meaning of Section 408(a) of the Act as amended, section 14(a); 4. It consists in whole or part of a diseased contaminated, filthy, putrid, or decomposed substance; 5. It is otherwise unfit for food; 6. It has been produces, prepared, packaged, or held under unsanitary conditions whereby it may have been contaminated with filth, or whereby it may have been rendered diseased, unwholesome, or injurious to health; 7. Its container is composed, in whole or in part, or any poisonous or deleterious substance which may render the contents injurious to health; 8. Damage or inferiority has been concealed in any manner; (NOTE: These definitions are not the only forms of adulteration as expressed in the ACT.) C. Potentially Hazardous Foods Foods that consist in whole or in part of milk or milk products, eggs, meat, poultry, fish, shellfish, edible crustacean, or supporting rapid and progressive growth if infectious or toxigenic microorganisms. The terms include foods, which have a pH level of 4.6 or above or a water activity (aw) value of 0.85 or greater. Safe Refers to the health of man or animal. Sanitization Effective bactericidal treatment by a process that provides enough accumulative heat or concentration of chemicals for enough time to reduce the bacterial count, particularly pathogens, to a safe level on utensils and equipment. Transportation Movement of food from the point of manufacture or where all raw fruit, vegetables, and other commodities are harvested, to a destined site for retail, wholesale, or service or from one retail food store to another place.

D. E.

F.

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G.

Vehicle Any truck, motor truck/trailer, bulk trailer, car, van, bus, railcar, aircraft, boat, ship, or other means by which food is transported from one location to another. Water means potable water.

H. IV.

FOOD PROTECTION AND SECURITY A. Proper and Reasonable Food Transportation Measures Most food is transported by truck; however, food products may be transferred to and from other modes of transportation during shipment and held at intermediate warehouses as well as at transfer or handling facilities, such as airports, breakbulk terminals and rail sidings. Because transportation and storage are vital links in the farm-to-table food chain, effective control measures are essential at each point in the food distribution chain. B. General Provisions Raw Ingredient and Food Product Safety 1. All transportation personnel involved in the loading, handling, storage of food products and security must be trained in food hygiene, sanitation, personal hygiene and vehicle inspection. They should be able to judge potential risks, take reasonable preventative and corrective actions and ensure effective monitoring and supervision to prevent intentional and unintentional contamination from occurring. 2. Raw ingredients and foods are deemed adulterated if they have been held under unsanitary conditions whereby they may have been adulterated with filth, been rendered unwholesome or injurious to health, etc. It includes potentially hazardous food capable of supporting rapid and progressive growth of infectious or toxigenic microorganisms, which are not transported at recommended product temperatures for such raw ingredients and foods. 3. At all times, including while being transported, all raw ingredients and food should be protected from cross-contamination between foods and from potential contamination by insects, chemicals, rodents, waste products, toxic material, unclean equipment, tank cleaning products, unnecessary handling, or other agents of public health significance. 4. Adequate raw ingredients and food temperatures must be maintained. All raw ingredients and foods of a perishable nature should be transported only in vehicles provided with sufficient refrigeration and freezing capabilities, if necessary, for product temperature maintenance. 5. Raw ingredients and food items that are spoiled or that are in damaged containers that may affect the undamaged product because of spoilage,

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container damage, or other public health consideration, shall be removed from the transporting vehicle and stored properly pending satisfactory disposition by a regulatory authority. 6. Raw ingredients and foods should not be transported with toxic or hazardous materials, including drugs. To prevent any cross contamination, different types of raw ingredients and food, e.g. chicken and produce, should not be transported in subsequent loads without proper sanitation of the cargo area. 7. Raw ingredients and all foods, including seafood, hanging primal cuts, quarters, or sides of meat, poultry, etc., should be protected from contamination by use of packaging or covered containers while being transported. Exclusions to this requirement may be certain raw fruits and vegetables. 8. All transportation vehicles should be secure to prevent tampering when not in use. 9. Loading and unloading areas should be configured, cleaned, disinfected (where appropriate), and properly maintained to prevent product contamination. C. General Provisions Food Product Security 1. All personnel should also be familiar with your security plan. Security drills should be conducted regularly to test and verify the effectiveness of the plan. The plan policies and procedures should be continually reviewed. 2. Implement identified security measures at each point to ensure the protection of raw ingredients and food products from the time its loaded for shipment through delivery to each destination. 3. The plan should include a system to identify and track food products at any time during transportation and distribution such as the use of tamperresistance seals corresponding to specific shipments and their documentation. 4. Verify that contracted transporters e.g. air, ground, maritime and rail, along with storage/warehouse facilities have a security program in effect. Consider including specific security measures in contracts and verify that measures are being met. 5. Include procedures for the immediate trace and recall of adulterated products from trade and consumer channels. This should be the product owners responsibility, not the trucking firm, unless one and the same.

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6. Have a system in place to track salvaged, reworked and returned products. Include procedures for handling threats to and actual cases of raw ingredients and product tampering. This should be the product owners responsibility, not the trucking firm, unless one and the same. 7. Include procedures for the safe handling and disposal of contaminated products. Identify where and how to separate suspected products. 8. Develop and implement methods to check and document condition of raw ingredients, product and packaging upon receipt at destination. 9. Establish a safety and security policy and procedures for rejection of packages and products that are not acceptable, cant be verified against bills of lading or contain unacceptable changes to shipping documents. Have a monitoring strategy and record keeping system in place to document steps taken. 10. Establish policy and procedures for allowing truckers, rail crew, etc. to enter the facility and monitor their activities while on the property. 11. Regularly update a list of local, state and federal emergency contacts, local Homeland Security contacts and local public health official contacts. Develop procedures for notification of appropriate authorities if an event occurs. 12. Identify all entry and exit points available to emergency personnel in your security plan. D. General Provisions - Food Storage Areas A storage/warehouse facility should permit easy access to all areas for cleaning. The facility should be adequately insulated and have adequate temperature control for its capacity. Unauthorized persons should be prevented access through the use of locks, fences, etc. There should be an effective, systematic program for preventing environmental contamination and infestation by insects, vermin, etc. V. VEHICLES A. Design and Construction 1. Trailers and Other Trucks a. Vehicles should be designed and built to make locking and sealing easy, protect the cargo against extremes of heat and cold and prevent infestation by pests. All doors should be locked or sealed to eliminate the possibility of contamination.

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b. Vehicle design should permit effective inspection, cleaning, disinfection and temperature control. Interior surfaces should be made of materials that are suitable for direct food contact and easily cleanable. For example, interior surfaces may be made with stainless steel or be coated with food-grade epoxy resins. c. Vehicles used to transport raw ingredients, foods, whether first-line items or outdated goods should be maintained in a clean and sanitary condition to protect the raw ingredients and food products from contamination. d. The cargo compartment of any vehicle used in transporting raw ingredients and food should be smooth, impervious to moisture, corrosion resistant, nontoxic, in good repair, and constructed to permit adequate sanitation. The vehicles should be constructed to prevent waste products such as iced poultry wastes from leaking onto the ground surfaces during transport. e. Open (uncovered) commercial trucks should not be used for transporting raw ingredients and food unless approved by the responsible regulatory agency. 2. Bulk Tanker Trailers a. The shell, heads, manways, fittings, connections and appliances with product contact surfaces should be minimum alloy #304 Stainless Steel, low carbon; b. Weld finish should be W-3; (3-A Standard No. 3A-05-14); c. All parent metal finish on product contact surfaces should be 2B; (3-A Standard No. 3A-05-14); d. The entire tank surfaces should be clean-bore (no baffles); e. If compartments are permitted they should be equipped with double bulkheads with evacuated airspace between bulkheads; f. With the exception of center-discharge (belly drop) tanks, all tanks should have a positive drain (minimum 4 inch slope from front to back of tankers); g. All internal accessories should be capable of being disassembled to clean product contact surfaces; h. Internal valves should be acceptable;

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i. Clean-out openings should be appropriate; j. Gaskets should be removable and non-porous; and k. Vehicle-mounted product transfer equipment if used, should meet the requirements established for the tanker. B. Cleaning and Sanitizing Vehicles 1. Trailers and Other Trucks a. Regular, effective cleaning and sanitizing of vehicles used in transporting raw ingredients and food minimizes the probability of food contamination, accelerated food spoilage, and the transmission of disease organisms or toxins to employees and consumers. Effective cleaning removes soil and prevents the accumulation of residues that may decompose or support the rapid growth of pathogenic organisms or production of toxins. All vehicles and cargo compartments should be kept clean and free from dirt, debris and any other substance or odor that may contaminate the product. Vehicles should be disinfected as needed.

b.

c. Cleaning and sanitation procedures should be specified in writing. Different cleaning procedures may be necessary for different food products being transported. The type of product transported and the cleaning procedure used should be recorded. Generally, wash water should be at least 180 F (82 C) and an approved sanitizer may be used to reduce the number of microorganisms and dissolve any debris adhering to interior surfaces. d. Carriers should ensure that all equipment used to perform the cleaning and sanitizing services should be in good, sound, safe and clean working condition. e. Cargo pallets, load securing devices, and loading equipment should be kept clean and free of potential food contamination and be regularly washed and sanitized. Equipment used in transferring food products such as trucks, conveyors and forklifts should be well maintained and kept in a sanitary condition. f. Many Federal, state and local regulations contain sanitary requirements to ensure that adequate cleaning facilities are provided to permit necessary and effective cleaning and sanitizing of raw ingredient and

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food vehicles. These should be reviewed for guidance when developing cleaning and sanitizing procedures. 2. Bulk Tanker Trailers a. Acceptable media for cleaning, depending on prior load, and which may be applied alone or in combination include the following: i. Steam; ii. Hot or cold water; iii. Detergent, where appropriate, according to customers specifications and the product hauled, observing manufacturers and chemical suppliers recommendations on pH; iv. Caustic, according to customers specifications observing manufacturers recommendations on pH; and v. Air drying, using an appropriate filter. b. Overall criteria to be applied as appropriate to the media used: i. The term water means potable water; ii. When used alone or as part of another media, the term hot water should mean that water and cleaning agents applied to product contact surfaces should be appropriate to clean and sanitize internal surfaces; iii. Only cleaning compounds as covered by appropriate food additive regulations as established by FDA or USDA should be used in any cleaning media or combination thereof; and iv. At the minimum, the following accessories and components should be removed and disassembled from the unit for cleaning gaskets, external valves, vents and caps as applicable. c. Seals should be applied to all cargo tank access points after cleaning and prior to shipment of the tank to the facility for product loading. C. Dedicated Vehicles Trailers and Other Trucks and Bulk Tanker Trailers 1. A vehicle transporting trash, garbage, soiled linen, or other similar loads should not be used for transporting foods. However, if back hauling is permitted by the regulatory agency, the vehicle must be inspected and approved by the agency for cleanliness before hauling food. 2. Transport vehicles, containers and conveyors should be designated and marked for food use only, and be used only for transporting foods. If feasible, vehicles should be restricted to a single commodity. This reduces the risk of cross contamination from previous cargoes.

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3. Food being transported from or to another location shall be in covered containers or otherwise wrapped or packaged to ensure protection from contamination. D. Vehicle Examination before Loading 1. Trailers and Other Trucks a. All vehicles should be examined for deficiencies that would prevent their use as raw ingredients and food product carriers. b. The trailer or truck body should be sufficiently insulated and be in good repair with no holes in the body that might allow heat, dust, or other adulterants to enter the cargo area. Residues from previous cargoes as well as from cleaning and sanitizing compounds should be checked for. c. The cooling unit should be in good repair and operating and both the truck driver and plant personnel should check the functioning of the trailer refrigeration unit before loading refrigerated loads. Trailers and trucks should be pre-cooled at least 1 hour before loading to remove residual heat from the insulation and inner lining of the trailer as well as from the air of the trailer. For pre-cooling, the doors should be closed and the temperature setting of the unit should be no higher that 41 F (5 C) for perishable loads and 0 F (-18 C) or less for frozen goods. d. Inspect trailers prior to loading to determine that the air chutes, if used, are properly in place and that the ribbed floors are clear of debris so that adequate air circulation can occur. Trailer doors and seals should be examined to ensure that they can be secured and that there are no air leaks. e. When shipping a mixed load of products, such as both frozen and refrigerated products, it should only be accomplished by using a trailer with compartments that accommodate different temperature or other handling requirements. 2. Bulk Tanker Trailers Visual Inspection a. The interior of the tanker should be inspected visually. The interior of the tanker should be clean and free of cracks and corrosion, which can harbor contaminants. If condensate is present or the interior is otherwise unacceptable, check with your superior prior to loading. Internal damage or corrosion, foreign objects, incompatible product residue, mold and moisture are potential causes for rejection. Inspect the inside of the tank for evidence of residue of prior cargoes or flaking, which indicates inadequate cleaning/rinsing of the tanker or unacceptable prior cargoes.

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Be especially alert to those areas hard to inspect visually, such s the top of the inner portion of the tank. b. The presence of off-odors or any residual material when opening the dome cover should be reported to appropriate plant management immediately. c. It is recommended that shippers/receivers use their own pumps and hoses. If the tanker pump and hoses are used, they should meet all applicable tanker guidelines. If the tankers pumping system is to be used for loading, all hoses and pumps should be visually inspected. Special attention should be paid to the pumps located on the tanker, as the tanker may not be dedicated to foodservice use and may not have been cleaned when the trailer was cleaned. If pumps and/or hoses carried on the tanker are to be used, they should be indicated as having been cleaned on the wash station certificate. Tanker mounted blowers, used for the transfer of dry commodities should not be cleaned, but move only air. d. Inspect all seals, gaskets, pumps, valves, hoses and hose tubing for cleanliness, integrity and proper capping. e. The company should have a visual inspection form for plant employees to check off during tanker inspection. The form should have an accept/reject notation and a space for the employee and/or appropriate signatures. f. A clear company policy should be established to designate authorized personnel for acceptance of incoming transportation equipment. In addition to this guideline, a company may provide its employees with additional information and forms for use in acceptance of transportation equipment.

3.

Bulk Tanker Trailers - Washing a. The tanker should be identified for use if there are specific regulation requirements, such as juice, seafood, meat, poultry, etc. and/or if there are specific customer requirements. b. Confirm that access points were sealed at the wash station with numbered, tamper-evident seals to guard against subsequent contamination of the cleaner tanker before delivery. Tanker wash facilities, shippers and consignees should be authorized to remove and replace seals. This should include at least all major points of entry and

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discharge. Sealing points may include the dome cover, tank outlet, vent cap, pump inlet, pump outlet and hose tube covers. c. In the event that transfer hoses and/or the shipper or consignee supplies piping, seals need not be applied to hose tubes mounted on the tanker. If seals are present and were broken by enforcement personnel, documentation must be produced verifying such action. d. Tankers hauling food grade commodities should be washed on a regular schedule regardless of whether or not they have hauled food. e. All wash documentation, including wash certificates or tags and bills of lading, should be reviewed and seal identification checked and verified. f. Seal numbers should be recorded on the wash ticket or a suitable document designed for that purpose and verified by the receiver when inspecting the tanker. Any discrepancy should be reported to management immediately. If the driver indicates that it has been necessary to transfer the lading from one tanker to another after washing, contact appropriate plant management. g. The cleaning certificate issued by the wash station should contain the name of the product last hauled determined via the last shipping documents and should be reviewed and copied for filing. If no cleaning certificate is presented, management should be consulted. h. If washing is required, a copy of the wash ticket, noting the prior commodity, should be presented to the outbound tanker operator. The carrier should also provide wash schedules/wash histories for a specific tanker upon request. E. Staging of Loads 1. Proper staging of loads is especially important when there are loads of products with different temperature requirements or different delivery destinations. Dock foreman should document that all raw ingredients and food products are lower than 41 F (5 C) or lower before loading. Raw ingredients and food products should not be allowed to remain on the loading dock in warm weather in order to prevent the product temperature from rising above 41 F (5 C) for perishable loads and 0 F (-18 C) or less for frozen goods. F. Loading 1. Trailers and Other Trucks

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a. All raw ingredients and food products should be protected from exposure to environmental contaminates such as microbes, dust, moisture or other physical contamination. b. Raw ingredients and food products should be kept refrigerated and protected from temperature changes. All persons involved in the transportation, storage and handling of these products are responsible for keeping them at appropriate temperatures and preventing any break in the cold chain. c. Maintain the appropriate temperature of the pre-cooled raw ingredients and food products by maintaining the time of loading or unloading, conducting the loading and unloading in an appropriately chilled environment and reducing the amount of surface contact of the raw ingredient and food products with floors and walls of the storage areas or loading equipment. d. Appropriately packaged raw ingredients and food products can be stacked, provided that air circulation is sufficient to maintain the temperature of the products during shipment. e. Raw ingredients and food products should be at the desired transit temperatures before loading. The boxes and pallets should be secured within the vehicle and pallets should be center-loaded off the walls of the vehicle. f. Use spacers on sidewalls and at the ends of trailers as well as pallets on the floor so that proper air circulation can be maintained. g. Keep loading time as short as possible to prevent temperature changes (increases or decreases) that could threaten the safety or quality of food products. h. Close and secure doors immediately after the truck/trailer has pulled away from the dock. 2. Bulk Tanker Trailers a. If the tanker is acceptable for loading, sufficient care should be exercised during loading to ensure that the integrity of the product and tanker are maintained. b. After loading the tanker should be closed and tamper-evident security seals affixed to any access ports, which were sealed during inspection to preclude tampering with or adulteration of the product during shipment.

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Seal numbers should be recorded on the bill of lading or other appropriate document. c. A copy of the incoming wash certificate with information about the previous cargo should be provided to the outbound operator if the tanker has been cleaned prior to loading. Food ingredients such as food-grade chemicals should be identified by the proper shipping name (FDA or DOT regulations.) d. Shippers should insure that they have provided the operator with any emergency action information required. Identification will assist the receiver and those responsible for wash station operations in determining the clean-up procedures and assure that tankers dedicated to food shipments remain available. e. When all information is recorded, sign the bill of lading indicating the shipment may proceed. A company policy should be established to designate authorized personnel for certifying proper loading of outbound transportation equipment. G. Mixed, Partial and Less-Than Loads 1. Partial and mixed loads increase the frequency and duration of open doors, leading to a greater possibility of temperature fluctuations and exposure to tempering. 2. Other factors affecting temperature include the time of loading and unloading, the number of stops, the total length of the haul from origin to destination and the outside temperature. 3. During periods of warm weather, loading and unloading should be done in the evening or early morning to minimize the likelihood of products warming. H. In-Transit 1. Checking Integrity of the Load during Transit a. Check refrigeration equipment and for leakage of heating or cooling fluid onto the raw ingredients and food products. It is highly recommended that the temperature and function of the refrigeration unit should be monitored at least every 4 hours. If there is a unit malfunction the problem should be corrected by an authorized refrigeration mechanic before the temperature of the load rises. b. Check for breakdown of temperature control equipment. Use timetemperature recording, indicator or integrator devices, if they are

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available, to monitor the condition of the raw ingredients and food products. Check the devices every 4 hours. 2. Checking Products during Interim Storage a. Maintain logbook documenting raw ingredient and food product condition upon arrival and during storage. Ensure proper temperatures are maintained during storage of the raw ingredients and food products. I. Unloading 1. Trailers and Other Trucks a. Raw ingredients and food products should be inspected and sorted before being accepted at any point during transportation. b. Develop and implement methods to check and document condition of products and packaging upon receipt at destination. Examine timetemperature recording devices, indicating or integrator devices and determine if raw ingredients or food products were subjected to temperature abuse after packaged and shipped. c. Include procedures for the safe handling and disposal of contaminated raw ingredients and food products. Identify where and how to separate contaminated raw ingredients and foods products. d. Establish policy and procedures for rejection of raw ingredients and food products and packages that are not acceptable, cant be verified against a bill of lading or contain unacceptable changes to a bill of lading. Have a monitoring plan and record-keeping system in place to document steps taken. e. Do not accept raw ingredients and food products suspected of being adulterated. Move raw ingredient and food products from the loading dock into cold storage immediately to minimize product exposure to heat and contaminants. 2. Bulk Tanker Trailers a. When receiving a loaded tanker, obtain a copy of the bill of lading and confirm the cargo and security seal numbers. If seal numbers do not match or the seals appear to have been tampered with, notify appropriate management immediately. Do not open the tanker or begin unloading. b. Review the information provided on the copy of the wash ticket and evaluates the prior load information to insure that proper food, food-

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grade commodities or acceptable non-food products have been previously carried in the tank. If the prior cargo was not acceptable material, appropriate plant management should be contacted. c. If all documents and seals are in order, begin your inspection of the tanker and all attendant equipment, including pumps and hoses, for cleanliness and state of repair. VI. RECOMMENDED PRACTICES FOR HANDLING FOOD PRODUCTS A. Dry Foods 1. The use of aluminum alloys in the construction of shell, heads and accessory equipment is appropriate; 2. Clean-out openings are appropriate; 3. All gaskets should be removable and non-porous; and 4. Product transfer equipment, if vehicle mounted to accomplish pressure unloading, should be appropriate. B. Refrigerated and Frozen Raw Ingredients and Food Products 1. All vehicles should be: a. So constructed and properly insulated that, when equipped with appropriate refrigeration units, they will be capable of maintaining an air temperature of 41 F (5 C) for perishable loads and 0 F (-18 C) or less for frozen goods throughout the load in all movements. b. Equipped with an appropriate temperature-measuring device to indicate accurately air temperature inside the vehicle. The dial or reading element of the device should be mounted in a readily accessible position outside the vehicle. c. Equipped with air leak-proof cargo spaces, including tight fitting doors and suitable closures for drain holes to prevent air leakage. d. Racked, stripped, baffled, or otherwise so constructed as to provide clearance for air circulation around the load, unless of cold-wall or envelope type construction. e. Be reasonably free from any dirt, debris, or offensive odors when placed for loading.

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2.

Route delivery trucks should comply with all the provisions of Item 1 above, and, in addition, should be equipped with curtains or flaps in the doorway area, or with port doors, to minimize loss of refrigeration during delivery stops.

C. D.

Refrigerated or frozen raw ingredients and food products should be securely packaged before they are offered for transportation. Carriers should provide their personnel with appropriate testing thermometers and instruction in proper procedures to determine that the raw ingredients and food products they receive are kept in a refrigerated or frozen state. No raw ingredients and food products should be loaded in such manner in any vehicle that it would interfere with the free flow of air onto or out of the refrigeration unit, nor with the free flow of air around the load. The vehicles refrigeration unit should be turned on and pre-cooled before loading. The doors should be kept closed during any period when loading and unloading operations cease or are interrupted. The thermostat on the vehicles refrigeration unit should be set at 41 F (5 C) for perishable loads and 0 F (-18 C) or lower for frozen goods. After loading has been completed and the vehicle doors closed, the carriers equipment should be checked prior to departure to ensure that the refrigeration system is in proper working order. Self-refrigerated containers and other self-contained units utilized in making shipments of refrigerated or frozen raw ingredients and food products via aircraft, Railway Express, pick-up trucks, and other non-refrigerated vehicles should be constructed as to give the product adequate protection against physical damage in transit and be equipped with a refrigerant or refrigerating system capable of maintaining the raw ingredients and food products in a refrigerated or frozen state during the anticipated movement. All such containers should be free from dirt and debris. Shellfish

E.

F.

G. H.

I.

J.

Conditions to be maintained in the transportation of shellstock and shucked shellfish are: 1. The shellstock and shucked product (oyster, clams, and mussels and whole scallops) shall be protected from contamination by the other cargo through partitioning, horizontal separation, or other isolation methods. No other cargo may be placed on or above the shucked or shellstock products unless all cargo is packed in sealed, crush resistant, waterproof containers.

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2.

Shellstock and shucked product shipments should be palletized (except in bulk). Use pallets when the vehicles do not have a channeled floor. Mixed cargoes of seafood, other than shellstock or shucked product, shall be palletized. Interstate shipments of shellstock or shucked shellfish products shall be made by mechanically refrigerated vehicles maintained at, or below, 45 F., except as allowed under the exemptions noted below. This type of vehicle should be used in intrastate commerce when transporting shellstock or shucked shellfish products. A suitable time temperature recording device shall accompany each shipment. a. If shellstock is being transported directly from a certified harvest area, by licensed harvesters or growers, to a certified shellfish shipper, and if the shellstock is within the harvest matrix as set by the state authority, the shipment should be exempt from the above requirements. If the shipping time for shellstock or shucked product is no more than four (4) hours, the shipment may use ice; mechanical refrigeration units or other acceptable means capable of maintaining an ambient air temperature of 45 F (7 C) or below. These exemptions should apply to both intra- and interstate shipments and should only be applied when the shipper is certified with a state authority enforcing the National Shellfish Sanitation Program, Model Ordinance.

3.

b.

4. 5. 6. D.

The shipper should seal the load with a tamperproof seal. The vehicle in which the shellstock or shucked products are shipped shall be maintained in a sanitary condition. When containers are used for shellstock shipments they shall be clean.

Potentially Hazardous Foods 1. During transportation potentially hazardous food should be maintained at 41 F (5 C), or below, for cold foods, or 140 F (60 C), or above, for hot foods. Foods exempt from this include items such as milk, eggs and shellfish (this exemption should be limited to shellstock, shucked shellfish should be 45F (7C) or less) which by regulation allows them to be received at 45 F (7 C). Frozen food should be held at an air temperature of 0 F (-18 C), or below, and shall not exceed a product temperature of 10 F (-12 C) for a reasonable period of time during transit.

2.

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3.

Live Shellfish or shellstock should be held at temperature between 32 F 50 F (0 C - 10 C) and maintained alive. (If temperatures are less than 38 F (3 C) live shellfish may die and become unfit for consumption. This is especially true within the first 24 hrs after harvest).

E.

Other recommendations for rail car transportation designed to prevent the contamination of food, feed, and related products are outlined in the Voluntary Transportation Guidelines endorsed by AFDO, FMI, GMA and other associations.

VII.

ENFORCEMENT A. General Provisions 1. All vehicles should be examined by regulatory agencies having such responsibilities for deficiencies that would prevent their use as food carriers. Vehicles may be reentered for consideration after sufficient corrections have been made as required by the regulatory authority. Records should be maintained on all rejected vehicles noting the reason(s) for rejection. Carriers engaged in and persons receiving foods in such commercial channels or holding such articles so received shall permit, at reasonable times, access to and permit the copying of all records showing the movement of foods, the quantity, shipper, and consignee. All vehicles should be checked: a. b. c. d. 6. Before and after each trip for structural defects, For cleanliness of the vehicle, For properly operating refrigeration equipment, and All food containers within the vehicle should be checked for construction, cleanliness, maintenance, and temperature control.

2. 3. 4.

5.

Shippers and consignees should assure themselves that trucking companies and/or cleaning facilities have resources for: a. Collecting, maintaining and reproducing relevant documents including but not limited to shipping papers, records of prior hauls

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on a vehicle-by vehicle basis, cleaning certificates, inspection reports and exception reports; and b. Where appropriate a written procedure regarding the use of the cargo tank access seals including what to do in the event that a seal is broken or shows evidence of tampering.

7.

Food facilities should consider: a. b. c. d. e. f. Using only known, pre-approved and appropriately licensed or permitted (where appropriate) carriers and wash stations; Establishing agreed upon security measures with shippers; Taking reasonable steps, such as auditing, to ensure that carriers are in compliance with the companys food security measures; Establishing and adhering to regular delivery schedules where feasible; Exercising strict control including scheduling, egress to the facility, unloading and supervision of unloading or hazardous materials; and Establishing a formal review process for evaluating shippers and, where appropriate, wash stations.

B.

Trucking Company 1. In the interest of safety and security, shippers should maintain and regularly update records of: a. b. c. Carrier contacts to include names, phone and fax numbers and email addresses, if applicable; The carriers U.S. DOT Safety Rating and compliance with the U.S. DOT insurance regulations both available via the Internet; and Verification that the carrier has resources, either in-house or contractual, to respond to a product spill.

C.

Operator 1. Each operator entering a shipper, wash station, carrier terminal or consignee facility should produce: a. His/her Commercial Drivers License, with photo, and

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b. D.

If possible, verify the employment status of an individual operator.

Cleaning Facilities 1. Shippers, carriers and consignees should maintain and update: a. b. Facility contacts to include names, phone and fax numbers and email addresses; and All appropriate certificates if required by Federal, state and local authorities and/or by carriers, shippers and consignees.

E.

Receiving Facility for Bulk Tanker Trailers 1. 2. 3. 4. Access points are sealed and match appropriate paperwork; That paperwork is verified including previous washing record, investigate and verify suspicious alterations; Verification of the operator; if the operator has changed, do not unload until his/her credentials are confirmed; If the delivery schedule has been changed the receiver should be notified in advance, if not, confirm the reasons for the change before unloading or loading; Where scales are used, reconciliation before unloading, where appropriate, of differences between the amount of product shipped and that received; and Limited access of drivers to the facility is assured.

5.

6. IX.

BIBLIOGRAPHY

1. Retail Food Store Sanitation (1982), AFDO/FDA 2. Food Service Sanitation Manual Including A Model Food Service Sanitation Ordinance (1976), FDA 3. U.S. Federal Food, drug, and Cosmetic Act as amended. 4. Model Food Salvage Code (1984), AFDO/FDA 5. Technical Bulletin, Occupational and Environmental Health Food Service Sanitation, U.S. Army, December 1982, TB MED 350. 6. Code of Recommended Practices for the Handling of Frozen Food, Frozen Food Coordinating Committee, Washington, D.C. (1970) 7. National Shellfish Sanitation Program (NSSP) Manual of Operations, Part II, Sanitation of the Harvesting, Processing and Distribution of Shellfish, 1988 Revision, DHHS/PHS/FDA. The most current revision to these regulations is 1999 and now titled - National Shellfish

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Sanitation Program (NSSP), Model Ordinance [available on FDA, Office of Seafood Website - http://www.cfsan.fda.gov/~ear/p-sea.html. Chapters 8 & 9 are most applicable to transportation] 8. Product Protection in Warehouses, Railcars and Trucks, Darrell F. Jones, General Mills, Inc., Comments at WAFDO, 1980. 9. Maintaining Optimum Transit Temperatures in Refrigerated Truck Shipments of Perishables, Robert F. Kasmire, U.C., Davis, CA. And R. Tom Hinsch, USDA-ARS, Fresno, CA (U.C. Perishable Handling Transportation Supplement No. 2, April 1987). 10. U.S. Public Health Service Act, Part G Quarantine and Inspection, Section 361. 11. Frozen Food Handling and Merchandising, A Code of Recommended Practices endorsed by the Frozen Food Roundtable, 1987 (Document being updated). 12. State laws and regulations from the states of LA, GA, TN, and FL. 13. Voluntary Transportation Guidelines, Endorsement of AFDO/GMA/NAFC/AAFMA, and other associations, copyright 1976. 14. Maintaining Optimum Transit Temperatures in Refrigerated Truck Shipments of Perishables, April 1987 15. Inspecting Incoming Food Materials, HHS Publication No. (FDA) 76-2017. 16. Assembly Bill No. 9728, California Legislature 17. FSIS Safety and Security Guidelines for the Transportation and distribution of Meat, Poultry and Egg Products, August 2003, USDA 18. Bulk Over-The-Road Food Tanker Transport Safety and Security Guidelines; Food Industry Transportation Coalition 19. Grade A Pasteurized Milk Ordinance, Appendix B Milk Sampling, Hauling and Transportation, DHHS/FDA/CFSAN, 2001 Revision 20. Cleaning & Sanitation Responsibilities for Bulk Pickup and Transport Tankers, Guideline No. 25, The Dairy Practices Council

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APPENDIX C EXPERT ELICITATION PROTOCOL

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ROUND 1 - BACKGROUND INFORMATION ON FOOD SAFETY HAZARDS, MODES OF TRANSPORTATION AND FOOD PRODUCT CATEGORY Introduction Welcome! This is the first in a series of short questionnaires designed to solicit input on current practices in the transportation and warehousing/storage of food commodities. The following questions are intended to generate background information regarding potential food hazards for different food products transported via various modes of transportation. Please feel free to leave the question blank if you are unfamiliar with the specific food hazard, mode of transportation, or food product sector. Thank you in advance for your time and assistance. Introduction In our review of the literature, we identified the following food safety hazards that may increase the risk of food contamination during transportation and warehousing/storage. Improper packaging of food products Improper labeling of food products Improper refrigeration/temperature abuse Improper sanitation of transportation units or storage facilities Improper packing/loading of transportation units (i.e. incorrect use of packing materials, inappropriate loading patterns, transporting mixed loads that increase the risk for cross-contamination) Lack of security for transportation units or storage facilities Poor pest control in transportation units or storage facilities Lack of driver/employee training Poor transportation unit design and construction Lack of preventive maintenance for transportation units Poor employee hygiene Inadequate policies for the safe transport or storage of foods Q1. Q2. Q3. Q4. Are there any additional food safety hazards that should be included in this list? (If yes to Q1) Please list additional food safety hazards for food transportation. (If yes to Q1) Please list additional food safety hazards for food warehousing/storage. Please enter any additional comments you may have regarding food safety hazards during the transportation and warehousing/storage of food products.

Introduction Based on our review of the literature, food safety hazards may vary by the following food product categories. Fresh produce Refrigerated ready-to-eat foods (i.e. dairy, prepared foods) C-2

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Frozen foods Bulk raw ingredients (i.e. grains) Bulk liquids Meat and poultry Eggs Soft-packed nonperishable/shelf-stable foods (i.e. items stored in bags or cartons, such as flour, dried fruits, cereals, cake mix, snack foods) Other nonperishable/shelf-stable foods (i.e. canned goods) Q5. Q6. Q7. Q8. Are there additional food product categories that should be considered when assessing food safety hazards by mode of transportation? (If yes to Q5) Please specify additional food product categories. (If no, but would like to modify the list in Q5) Please explain how to modify the list of food product categories. Please enter any additional comments you may have regarding food product categories.

Introduction We are interested in evaluating food safety hazards by the following modes of transportation: Truck transportation (local and/or long distance) Rail Water (i.e. deep sea, coastal, great lakes, inland water) Air In addition, we also would like to consider food safety hazards for Warehousing and storage (i.e. refrigerated or farm products) Q9. Q10. Q11. Q12. Q13. Q14. Do food safety hazards vary by mode of transportation? In general, do food safety hazards differ by type of water transportation? For instance, are there different food safety hazards for deep sea freight than inland water freight? If yes, please explain. Are there food safety hazards specific to intermodal transportation? If yes, please explain. Please enter any additional comments you may have regarding modes of transportation for food products.

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Introduction We are interested in evaluating the differences between food safety hazards for imported and domestic food products: Q15. Q16. Q17. Are there different or additional food safety hazards specific to the transportation of imported food products? If yes, please explain the additional food safety hazards for imported foods, including the food product category and mode of transportation applicable. Please enter any additional comments you may have regarding food safety hazards for imported food products.

ROUND 1 - ITERATION Introduction Welcome to the iteration round of Round 1 of the FDA Food Transportation Study. The objective of this iteration round is to provide the results of the first round and provide an opportunity to comment on the findings in order to increase consensus among study participants. Please click HERE to review the responses and ERG analysis of Round 1 of the FDA Food Transportation Study. Q18. After reviewing the analysis from Round 1, please enter any additional comments you may have.

Introduction In the NEXT ROUND, you will be asked to assign risk scores to assess the frequency and severity of each food safety hazard, by food product category and mode of transportation. The frequency and severity of each hazard will be assigned according to the following scale; 0 = No risk 1 = Low frequency and low severity 2 = High frequency and low severity 3 = Low frequency and high severity 4 = High frequency and high severity Severity corresponds to the likelihood that the food safety hazard will result in the adulteration of food causing significant mortality/morbidity and/or substantial economic impacts. The following is a sample question from the NEXT ROUND of the survey. You DO NOT need to respond to the sample question but please note that we are soliciting your feedback on the sample question format below.

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Please assign a risk score for each food product category that best describes the frequency and severity of IMPROPER REFRIGERATION/TEMPERATURE CONTROL (TEMPERATURE ABUSE) for each mode of transportation and storage. 0 = No risk 1 = Low frequency/Low Severity 2 = High frequency/Low Severity 3 = Low frequency/High Severity 4 = High frequency/High Severity Improper Refrigeration/Temperature Control (Temperature Abuse) Note: For this question, you should be able to use the tab button and the number pad to move through the matrix quickly and easily enter values (0-4). To do this, please make sure NumLock (number lock) is turned on.
Food Product Categories Fresh produce Refrigerated raw & RTE Frozen foods Bulk raw ingredients Bulk liquids (dedicated tanker) Meat & poultry (raw) Seafood (raw) Eggs and egg products Soft-packed nonperishables Other nonperishables Packaging materials Truck Rail Mode of Transportation Water Air Intermodal Storage

Q19.

In the next round, this question will be repeated for each food safety hazard identified. In preparation for this risk ranking, please consider the list of food safety hazards, the food product categories and the modes of transportation. Please enter any additional questions, comments or concerns that you may have.

ROUND 2 - RISK RANKINGS OF FOOD SAFETY HAZARDS BY MODE OF TRANSPORTATION AND FOOD PRODUCT CATEGORY Introduction Welcome! This is the second round in a series of questionnaires designed to solicit input on current practices in the transportation and warehousing/storage of food commodities. Thank you again for your participation. The results from the Round 1 Iteration can be viewed HERE. The goal of this round is to generate risk rankings for hazards that may occur during the transportation and holding of food products.

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Please feel free to leave the question blank if you are unfamiliar with the specific food hazard, mode of transportation, or food product sector. Thank you in advance for your time and assistance. Introduction In the following questions, you will be presented with 15 different food safety hazards that may be encountered during the transportation and/or warehousing/storage of food products. You will be asked to assign risk rankings to these food safety hazards by food product category and mode of transportation. In assigning risk scores, please consider the frequency and severity of each hazard according to the following scale; 0 = No risk 1 = Low frequency and low severity 2 = High frequency and low severity 3 = Low frequency and high severity 4 = High frequency and high severity Severity corresponds to the likelihood that the food safety hazard will result in the adulteration of food causing significant mortality/morbidity and/or substantial economic impacts. Note: If you are not comfortable providing a risk score for any particular food product or mode of transportation, please make sure that you leave the question blank rather than entering a ZERO. After any fully-answered question, you may leave and come back to the point where you left off. To do this, you must use the same computer, which should be set to accept cookies. Partially-answered questions will not be saved until you click the 'Next Page' button. Q20. Please assign a risk score for each food product category that best describes the frequency and severity of IMPROPER REFRIGERATION/TEMPERATURE ABUSE by mode of transportation.
Truck Rail Mode of Transportation Water Air Intermodal Storage

Food Product Categories Fresh produce Refrigerated raw & RTE Frozen foods Bulk raw ingredients Bulk liquids (dedicated tanker) Meat & poultry (raw) Seafood (raw) Eggs and egg products Soft-packed nonperishables Other nonperishables Packaging materials

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Q21.

Please enter any additional comments you have.

Note: This question will be repeated for each food safety hazard identified in Round 1. Q22. Please review the risk scores you have assigned to each food hazard by mode of transportation and food product category. If you would like to revise your answers, please use the buttons on the bottom of the screen to return to the appropriate question.

ROUND 2 - ITERATION In the Round 2 Iteration, experts were asked to review the group results for Round 2 and consider their answers in light of the group results. They were provided the opportunity to modify, if desired, and/or comment on their risk rankings. ROUND 3 - PREVENTIVE CONTROLS FOR THE ELIMINATION/MITIGATION OF FOOD SAFETY HAZARDS BY MODE OF TRANSPORTATION AND FOOD PRODUCT CATEGORY Introduction Welcome! This is the third round in a series of questionnaires designed to solicit input on current practices in the transportation and warehousing/storage of food commodities. Thank you again for your previous responses. Click HERE to review the Round 2 Iteration results. Thank you in advance for your time, assistance and continued participation! Introduction In previous rounds, we identified the following 15 food safety hazards that may increase the risk of food contamination during transportation and warehousing/storage: Improper refrigeration or temperature control of food products (temperature abuse) Improper management of transportation units or storage facilities to preclude crosscontamination (i.e., improper sanitation, backhauling hazardous materials, not maintaining tanker wash records, improper disposal of wastewater, phostoxin fumigation methods in railcar transit). Improper packing of transportation units or storage facilities (i.e. incorrect use of packing materials, poor pallet quality) Improper loading practices, conditions, or equipment (i.e., improper sanitation of unloading equipment, not using dedicated units where appropriate, inappropriate loading patterns, transporting mixed loads that increase the risk for crosscontamination) Improper unloading practices, conditions, or equipment (i.e., improper sanitation of equipment, leaving raw materials on loading docks after hours) Lack of security for transportation units or storage facilities

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Poor pest control in transportation units or storage facilities Lack of driver/employee training and/or supervisor/manager/owner knowledge of food safety and/or security Poor transportation unit design and construction Inadequate preventive maintenance for transportation units or storage facilities (i.e., roof leaks, gaps in doors, dripping condensation or ice accumulations) Poor employee hygiene Inadequate policies for the safe and/or secure transport or storage of foods Improper handling and tracking of rejected loads and salvaged, reworked, and returned products or products destined for disposal. Improper holding practices for food products awaiting shipment or inspection (i.e., unattended product, delayed holding of product). Lack of traceability for food products during transportation and storage. The goal of THIS round is to generate background information on the types of preventive controls that may eliminate or mitigate these food safety hazards. Introduction Based on the literature, the following is a list of preventive controls that may eliminate or mitigate the risk of food safety hazards in food transportation and warehousing/storage. Temperature control Increased security and tracking Sanitation of transportation units and/or food product containers Maintenance of transportation units Proper loading of transportation units Employee awareness and training Pest control programs Good communication protocols (between shippers, receivers and transporters) HACCP or other management systems Q23. Q24. Q25. Are there additional preventive controls that should be added to this list? (If yes to Q23) Please specify additional preventive controls that may eliminate or mitigate the risk of food safety hazards in food transportation and warehousing/storage. Please enter any additional comments you may have regarding preventive controls that may eliminate or mitigate the risk of food safety hazards in food transportation and warehousing/storage.

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FINAL REPORT

ROUND 4 - ASSIGNING PREVENTIVE CONTROLS TO FOOD SAFETY HAZARDS Introduction Welcome back! This is Round 4 in our series of questionnaires designed to solicit input on current practices in the transportation and warehousing/storage of food commodities. The purpose of this round is to identify the set of preventive controls that will eliminate/mitigate the specific food safety hazards identified in previous rounds. Thank you in advance for your time and assistance. Please click 'Next Page' to continue. Q26. (Question 1 of 15) Please identify the set of preventive controls necessary to eliminate/mitigate the food safety hazard posed by IMPROPER REFRIGERATION OR TEMPERATURE CONTROL OF FOOD PRODUCTS (TEMPERATURE ABUSE). Please ensure that the controls you select have broadest applicability across all food product sectors and modes of transport (truck, rail, air, water, intermodal, and warehouse). Please enter any additional comments you have.

Q27.

Note: These questions will be repeated for each combination of food safety hazard/food product category/transportation mode identified as high-risk in Round 2. Q28. Please enter any additional comments you may have regarding preventive controls for food safety hazards during the transport and holding of food products.

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