Survey of Retail Food Transportation Inspection Activity in the U.S.
Jill Lozmack Mollberg
Food Safety Specialist, Michigan Department of Agriculture and Rural Development
International Food Protection Training Institute (IFPTI)
Fellowship in Food Protection
Abstract
In the United States, most of the food retailed is at some point transported by way of land-based vehicle, such as a truck. Improper handling and storage of food during transport to retail food establishments can have serious consequences including foodborne illness, allergic response, and economic loss. This study surveyed U.S. regulatory agencies regarding the regulation of retail food transportation. The study focused on the varied surveillance of retail food transportation and how the agencies responded to problematic discoveries. The survey identified common problems found by state/territory regulatory agencies, such as cross-contamination, temperature abuse, source and identity issues, and other risk factors. Overall, the results of the survey illustrate few agencies regularly evaluate retail foods during transportation. When problems are found, however, the agencies do have similar responses including warning letters, penalties, injunctions, and seizures.
Regulatory surveillance of retail food transportation vehicles could mitigate many of the risk factors posing danger to food during transport. The study led to a recommendation for the development of a national guidance document, along with educational outreach materials for cash-and-carry operators and jobbers. In addition, state agencies should examine whether their existing regulatory program can be applied to retail food transportation. A final recommendation is for the Association of Food and Drug Officials (AFDO) to advise FDA of this study and consider if changes to the FDA Food Code might be warranted.
Keywords: transportation, vehicle, FSMA, Michigan, retail, jobber, cash-and-carry, jobbers, trucks
Background
Food is especially vulnerable while in transport. Often the only individual able to verify the continuous integrity of the food is the truck driver. Turning off a refrigeration unit for a few hours as a means of saving fuel costs may not give a visual cue to the receiver to reject the food, despite the fact harmful pathogens may have grown as a result of temperature abuse. Consumers have an expectation their food is kept safe along the entire supply chain. However, providers along the supply chain only have incentive to spend resources up to the point where the food is likely to be rejected by consumers or they are held responsible for negative health effects (Nash, 2014).
In Michigan, an array of issues including cross contamination, inadequate labeling, unapproved source, and temperature abuse have been observed with foods in transport (Wojtala, 2007). Problems found are often the result of inadequate transport vehicles, lack of refrigeration, proximity to specialty food vendors, traffic constraints, driver food safety knowledge, and shipping cost-cutting measures. These problems are not unique to Michigan. Furthermore, these problems may be compounded by two other challenges to safe food transportation—the use of jobbers to transport food and the use of cash-and-carry operations for purchasing food.
Surveillance by regulatory agencies of food transport vehicles is complicated by the fact such transport vehicles may not be easily identified, as noncommercial and personal vehicles are often used for transportation of foods. In particular, an issue associated with retail food transportation for small businesses is their use of independent distributors, often referred to as “jobbers.” Jobbers typically do not use warehouses, which may aid in carrying out supply chain food safety surveillance, as jobbers typically pick up from a food source and drop off to a retailer in the same trip. Often these jobbers have limited to no food safety knowledge or skills and are not controlled or overseen by a regulated food distributor. As a result, jobbers typically are not included in regulatory agency inspections.
Cash-and-carry operations are a form of retail merchandising in which perishable and non-perishable food products are sold from a cash-and-carry warehouse on a self-serve basis. Retailers can purchase and physically carry out their own merchandise for resale. Personal or non-commercial vehicles are often used for transport back to the establishment where foods are marketed or prepared for service. Often these vehicles are not refrigerated and lack coolers, ice supply, or other means of maintaining cold temperatures and so are ill-equipped to maintain temperatures, provide sanitary transport, or otherwise maintain product integrity.
The FDA Food Safety Modernization Act (FSMA) rule on Sanitary Transportation of Human and Animal Food was enacted to help prevent food safety risks during transportation such as the failure to properly refrigerate food; inadequately clean vehicles between loads; and failure to properly protect food from other sources of contamination. The FSMA rule exempts firms engaged in food transportation operations having less than $500,000 in average annual revenue (FSMA, 2011). The FDA may have determined rather than devoting significant federal resources, local authorities could handle the problem with smaller operations, as oftentimes these transporters are headed to restaurants and other local retail establishments (Nash, 2014). However, in Michigan, and likely many other states, specialty foods often come from out-of-state sources and cross state lines, which means FDA does in fact have jurisdiction. Although FDA has jurisdiction of foods being transported in interstate commerce, state and local agencies are left to detect and address transport issues.
In official comments to FDA on the FDA FSMA rule on Sanitary Transportation of Human and Animal Food, AFDO indicated opposition to the exemption. AFDO informed FDA the exempted transporters are commonly found to be in violation of food safety requirements by state officials. In AFDO’s view, the exempted transporters were the entities most requiring oversight and so should be included in the new rule (AFDO, 2014)
This study was designed to develop a comprehensive picture of the food safety issues related to those exempt retail food transportation operations.
Problem Statement
The level of understanding among food safety regulators of food safety regulation concerning retail food transportation operations exempt from the FSMA rule on Sanitary Transportation of Human and Animal Food is unknown.
Research Questions
Do states/territories have regulations or ordinances addressing transportation of food to retail?
Do states/territories regularly assess food in transport to retail operations?
How do states/territories respond when inspectors assess food in transport to retail?
What are some of the responses states/territories have had when inspectors find violative practices?
What are some of the causes states/territories have noted for violative foods found in transport to retail?
Methodology
An electronic survey was developed including seven multiple choice questions along with comment sections. The questions were piloted with a few preselected individuals to verify the functionality of the survey. The questions were intended to capture general information from each jurisdiction without taking too much time for an individual to respond. The average response time, according to SurveyMonkey results, was 5 minutes. An invitation to participate in the survey was sent to 57 individuals who were listed in the AFDO directory, representing all 50 states and US Territories. A link for the survey was provided in a group email to the directory list. An analysis of survey results was performed.
Results
The survey remained open for one month. At the end of that time, 25 responses had been received. The intended participants were solicited again for participation. 37 total responses were received for a total participation rate of 65%
Respondents representing 37 jurisdictions completed this survey. Over 75% of the agencies reported having general regulations covering food transportation vehicles. However, only three agencies reported having specific regulation/ordinance for retail food transportation. Almost 20% of the reporting agencies indicated transportation vehicles are excluded from their regulations. One agency noted certain commodities such as meat, poultry, and eggs are covered in regulation, yet other foods are not covered at all.
When questioned if retail food transportation vehicles are assessed, more than half of the respondents replied vehicles are assessed only as a result of incidents or complaints. Only 10 agencies reported assessing vehicles as part of a routine inspection. Further, 25% of the agencies stated they do not assess vehicles.
When violations are found during retail food transportation a variety of responses were reported by the agencies; written violations, criminal court action, fines, warning letters, and in most cases seizures/stop sales or embargos. However, almost 15% of the respondents use none of these measures. These results may be unclear as some agencies do not regulate or simply do not respond.
Over 80% of respondents reported their agency does not conduct investigations or inspections relating to transport from cash-and-carry operations in their jurisdiction.
Respondents cited a variety of violations found in relation to transportation of retail foods including cross contamination, temperature abuse, smuggling of foods, foods from unapproved sources, lack of training, and other economic motivators.
One comment from the surveys in particular stood out. The “lack of clear oversight and expectations” is a major barrier to reducing food safety risks in the transportation of retail foods.
Conclusions
A seamless food protection system assures food safety controls are maintained throughout the entire food chain from grower, producer, packer, manufacturer, distributor, and retailer. Any gap within this chain can trigger a systematic failure causing food safety consequences. FSMA was created to eliminate any gaps in providing greater food safety assurances for consumers. However, the FSMA exemption for food transportation operations having less than $500,000 in average annual revenue applies to a large sector of retail food transportation. Data gathered in this survey suggests substantial food safety risks exist in the segment of the food transportation industry exempt from the Sanitary Transportation of Human and Animal Food rule. State and local regulatory agencies are not uniformly regulating this sector.
Recommendations
Recommendations from this research project include the following:
Given FSMA has exempted small food transporters, state agencies should determine if existing rules in their state can be applied to food transportation.
A national guidance document should be developed for the benefit of those agencies having little experience with transportation of retail foods. This document should include a checklist of characteristics of sanitary transport to help firms as well as regulators know what is required.
Where resources do not exist to perform retail food transportation surveillance, agencies should consider education options for retailers, transporters, and cash-and-carry operations.
A survey of cash-and-carry operations within a state could identify needed intervention strategies including education and the availability of ice chests, perishable food packaging, and ice for transporters.
AFDO should advise FDA of the findings in this study and consider if changes to the FDA Food Code might be warranted.
Acknowledgements
My mentor throughout this project has been Joe Corby. Joe encouraged me to research this topic as he had firsthand experience with many different kinds of transporters in one of the nation’s largest cities. Joe also lead AFDO in the effort to include transportation in the new FSMA regulations. Joe also provided me with contacts for the survey, research methods, and photos. Dr. Paul Dezendorf was also instrumental in developing a methodology and scope for this project. Dr. Dezendorf provided advisory editing and motivation throughout the project. Gerald Wojtala delivered many presentations focusing on the need for regulation of food transportation after the state of Michigan conducted several food transportation vehicle assessments. The Michigan State Commercial Motor Vehicle team is a longstanding partner with the Michigan Department of Agriculture and Rural Development in assessing and addressing food safety events. Their expertise in traffic trends, vehicle condition, and passion for food safety, were critical to eliciting information about regular food transportation. I am grateful to the Cohort VII Fellows for their ongoing support, encouragement, and investment in my project.
References
Association of Food and Drug Officials (2014). Official comments from the Association of Food and Drug Officials. Sanitary Transportation of Human and Animal Food. Docket ID: FDA-2013-N-0013. 21 CFR 1. Retrieved from https://www.regulations.gov/document?D=FDA-2013-N-0013-0045
Food Safety Modernization Act (FSMA), Pub. L. No. 111-353, § 111, 124 Stat. 3885, 3916 (2011).
Nash, William (2014) Paradise Found? Food Transportation Regulation: A Detour Through Regulatory Purgatory. Journal of Food Law and Policy, 2. 197-232.
Wojtala, Gerald (June 16-20, 2007) Interstate food transportation assessment project, Michigan Department of Agriculture and Rural Development. Retrieved from https://www.michigan.gov/documents/mda/truckproj_224450_7.pdf