Establishment Name:

Establishment Location (city, state):

FSIS Establishment Number:

 By signing here, I acknowledge that this establishment has measures in place in accordance 

 with this document

Title:

Date:

Print Name:

Signature:

Food Defense Plan 

Security Measures for Food Defense 

UNITED STATES DEPARTMENT OF AGRICULTURE 

FOOD SAFETY AND INSPECTION SERVICE

 FSIS FORM 5420-5 (10/29/2014)
This voluntary plan documents your measures to protect food and food production processes from intentional harm. 

Review of this plan and signing the cover sheet will result in a Food Defense Plan for your FSIS-regulated 

establishment. 

BENEFITS: By having a Food Defense Plan, you will contribute to a safer and more secure food supply. You will 

also protect public health, your employees, and your livelihood. A functional* food defense plan may also: 

 o reduce the risk of unsafe product and economic loss, 

 o reduce theft, 

 o reduce the need for additional regulation on food defense, and 

 o reduce company liability. 

Food Defense Plan 

Security Measures for Food Defense 

This plan was developed through a joint effort between RTI International, the HACCP Consulting Group, a Focus Group of industry 

representatives, and the U.S. Department of Agriculture's Food Safety and Inspection Service. 

 

*The four elements that make up a functional food defense plan: 

 1. Develop: Reviewing and signing this document fulfills this element. 

 2. Implement: Having measures described in this document fulfills this element. 

 

 3. Test: Periodic monitoring fulfills this element. This can be done using simple measures, such as checking locked doors 

 or making unannounced perimeter checks. Monitoring can be documented using a form, such as Attachment B. Not all 

 security measures need to be tested at the same frequency. 

 

 4. Review and Maintain: Reviewing the plan at least annually, revising the plan as needed, and taking appropriate actions 

 fulfills this element. 

Food Defense is having measures in place to 

reduce the chances of someone intentionally 

contaminating the food supply in order to kill or hurt 

people, disrupt our economy, or ruin your business.

PURPOSE

INSTRUCTIONS:

1. Review the attached plan. 

2. Sign the cover page. 

3. On an annual basis, review this plan and document that you did so on the form in Attachment B. 

This food defense plan is organized in four sections: (1) Outside Security Measures, (2) Inside Security Measures,(3) 

Personnel Security Measures, and (4) Incident Response Security Measures. Attachment A provides a list of tools or 

additional security measures that an establishment may consider or may already have in place. You may also have other 

plans that contribute to a food defense plan such as an emergency plan, a recall plan, a security plan, etc. Attachment 

B is a form that can be used to document your annual review of your food defense plan.
 Plant boundaries are clear and secured to prevent unauthorized entry (for example, fences 

 installed, no trespassing signs posted)

 Entrances are secured (for example, locks and/or alarms installed and operating) 

 Plant perimeter is periodically monitored for suspicious activity 

 Outside lighting is present to deter unauthorized activities 

 Other access points such as windows and vents are secured 

 Outside storage on the premises is protected from unauthorized access 

 Other: 

1.2 Shipping/Receiving Security 

1.1 Physical Security 

 Incoming shipments are examined for potential tampering 

 Incoming and outgoing vehicles are examined for suspicious activity 

 Loading and unloading activities are scheduled and/or monitored 

 Loading dock access is controlled (for example, monitored or locked) 

 Incoming shipments are secured with locks or seals 

 Outgoing shipments are locked or sealed 

1.3 Mail Handling Security 

 Other: 

 Mail is handled away from food including ingredients and packaged food product 

 Employees who handle mail are aware of proper handling of suspicious mail and U.S. Postal Service guidelines

 Other: 

Page 1 

1. Outside Security Measures 

 (Examples: door locks, lighting, monitoring loading/unloading) 

This establishment has in place at least one of the following measures for outside security. 

Not all measures suggested are appropriate or necessary for every facility. 

 GOAL: To prevent unauthorized access by people, or entry of unapproved materials to the facility.
2. Inside Security Measures 

 (Examples: signs, observations, restricted access) 

This establishment has in place at least one of the following measures for inside security.

2.1 General Inside Security 

 Suspicious packages are reported to appropriate personnel 

 Restricted areas of the establishment are clearly identified 

 Previously unattended materials are checked before use 

 Unexpected changes in inventory (product or equipment) are reported to appropriate personnel 

 Emergency lighting is in place 

 An emergency alert system is identifiable, tested, and reviewed with emergency contacts (for example, police or 

 fire personnel)

 Other: 

2.2 Slaughter/Processing Area Security 

 Access to live animals, ingredients, and packaged product is restricted 

 Access to animal handling areas and/or carcass coolers is controlled 

 Access to process control equipment such as ovens, mixers is restricted 

 Ingredients are examined for possible tampering 

 Records ensure traceability for one step backward, one step forward, or both 

 Other: 

2.3 Storage Security 

 Access to storage areas is restricted 

 Stock rotation (first in, first out) is practiced 

 Labels and packaging materials are controlled to prevent theft and misuse 

 Periodic examinations for tampering of materials in storage are performed 

 Other: 

Not all measures suggested are appropriate or necessary for every facility. 

Page 2 

 GOAL: To protect product from intentional contamination throughout the production process.
2.4 Ingredients/Water/Ice Security 

2. Inside Security Measures 

 Restrict access to storage tanks for potable water and to water reuse systems

 Other: 

 Supplier food safety/security information is requested 

 Restricted ingredients (for example, nitrites) are controlled 

 Access to lines that transfer water or ingredients are examined and restricted 

 Access to plant ice-making equipment is controlled 

2.5 Chemical/Hazardous Material Control Security 

 Chemicals/hazardous materials, including pesticides, cleaning or laboratory materials, and sanitizers, 

 are in a restricted area or secured by a lock

 Maintain an up-to-date inventory of hazardous materials and chemicals, and investigate discrepancies 

 Potentially hazardous waste (biological or chemical) is controlled and disposed of properly 

 Other: 

2.6 Information Security 

 Access to sensitive information such as site plans and processing details is controlled 

 Access to computer systems is protected through firewalls and/or passwords 

 Other: 

Not all measures suggested are appropriate or necessary for every facility. 

Page 3 
3. Personnel Security Measures 

 (Examples: check references, use visitor log or sign-in, or check IDs) 

This establishment has in place at least one of the following measures for personnel security.

3.1 Employee Security 

 A method to recognize or identify employees in the facility is in place 

 Employees have restrictions on what they can bring in or take from the facility (for example, cameras)

 Other: 

 A log of non-employees entering the establishment is maintained 

 A method to recognize or identify non-employees in the establishment is in place 

 Other: 

 Non-employees have restrictions on what they can bring in or take from the facility 

 Non-employees are chaperoned on-site 

 Non-employees are restricted to appropriate areas 

3.2 Non-employee Security (Example: visitors, contractors, guests, customers, truck drivers) 

3.3 Security Training 

 Other: 

 Employees are trained to report suspicious activities or unusual observations 

You can electronically verify the employment eligibility of your new hires at 

http://www.dhs.gov/files/programs/gc_1185221678150.shtm . E-verify is an internet based system operated by the federal 

 You can access free food defense awareness training for your employees at 

http://www.fda.gov/food/fooddefense/toolseducationalmaterials/default.htm

government that is available for employers to use at no charge.

Page 4 

 GOAL: To ensure that only authorized personnel are in the facility at any time. 

Not all measures suggested are appropriate or necessary for every facility. 

2.

1.

Refresher awareness training on security measures is offered to employees on a periodic basis 2

 Awareness training on security measures is provided to new employees2

Background or reference checks are conducted for new hires1
 GOAL: To respond quickly to a product contamination threat or event using planned measures. 

 (Examples: reference your emergency plan, security plan or other)

4. Incident Response Security Measures 

This establishment has in place at least one of the following measures for incident response security.

4.1 Investigating Security Concerns 

 Have procedures to ensure that adulterated or potentially harmful products are held

 Customer comments are investigated 

 Reporting unusual activities is encouraged 

 Information is available to employees on how to respond to phone or other threats 

 Employees have the ability to stop activities to minimize a potential food defense incident 

 Reported security breaches (for example, alarms, suspicion of tampering) are investigated 

 Other: 

4.2 Emergency Contact Security 

 Plant personnel contact information is kept up to date 

 Emergency contact lists are kept up to date 

 Other: 

4.3 Other Plan Security 

 A product recall plan is maintained and periodically reviewed 

 Key personnel are trained in product recall/withdraw procedures 

 Other: 

Page 5 

Not all measures suggested are appropriate or necessary for every facility. 
ATTACHMENT A 

List of Tools or Possible Security Measures 

for Food Defense 

1. Outside Security Tools 

Physical Security 

- Ensure the following are secured with locks, seals, or sensors when unattended (after hours/weekends) to prevent 

 unauthorized entry:

- Outside doors and gates

- Windows

- Roof openings

- Vent openings

- Trailer (truck) bodies 

 - Tanker truck hatches

 - Railcars

 - Bulk storage tanks/silos 

 - Loading ports 

 - Hose /Pump stations 

Shipping / Receiving Security 

- Closely monitor loading and unloading of vehicles transporting raw materials, finished products, or other materials used 

 in food processing.

- Inspect tanker trucks and/or rail cars to detect the presence of any material, solid or liquid, in tanks prior to loading 

 liquid products. Load only when appropriate. Report/record results. 

- Control access to loading docks to avoid unverified or unauthorized deliveries. 

- Require advance notification from suppliers for all deliveries. 

- Immediately investigate suspicious changes in shipping documents. 

- Check all deliveries against a roster of scheduled deliveries. 

- Hold unscheduled deliveries outside establishment premises pending verification. 

- If off-hour delivery is accepted, require prior notice of the delivery and an authorized person to be present to verify 

 and receive the delivery. 

A-1 

This attachment provides a list of tools or additional security measures that an establishment may consider or may already 

have in place. These are provided to assist establishments in tailoring the plan to meet their specific needs.

- Ensure proper lighting to monitor the establishment outdoors at night and early morning. 

- Install self-locking doors and/or alarms on emergency exits.

- Regularly conduct and document security inspections of storage facilities, including temporary storage vehicles.

- Restrict outdoor access to water wells/sources. 

- Check less-than-truckload (LTL) or partial load shipments for content and condition. 

- Minimize the time a truck is unlocked during loading or delivery. 

- Require drivers or delivery personnel to provide identification, preferably with a photo ID. Record names.

- Maintain records of disposition of returned goods. 

- Examine returned goods at a separate location for evidence of tampering before salvage or use in rework.

- Select transportation companies and suppliers with consideration of security measures that they use. 

- Require incoming shipments of raw product, ingredients, and finished products to be sealed with tamper-evident or

 numbered, documented seals and verify the seals prior to entry. Reject if seals are broken or missing. 
List of Tools or Possible Security Measures for Food Defense 

2. Inside Security Tools 

General Inside Security 

- Install and monitor security cameras. 

- Increase visibility within the establishment (for example, improve lighting, openness, increase supervision, add 

 cameras).

- Regularly take inventory of keys to secured/sensitive areas of the establishment. 

- Restrict access to controls (by locked door/gate or limiting access to designated employees) for the following 

 systems:

- Heating, ventilation, and air conditioning (HVAC) 

- Propane, natural gas, water, electricity 

- Disinfection systems 

- Clean-in place (CIP) systems or other centralized chemical systems 

Slaughter / Processing Area Security 

- Maintain records to allow efficient trace backward or forward of materials and finished product. 

- Reduce the time an area is left unmonitored. 

- Reduce access to product containers or processing equipment. 

- Do not allow unnecessary personal items within the production area. 

Storage Security 

- Maintain an access log for product and ingredient storage areas. 

- Regularly check the inventory of finished products for unexplained additions and withdrawals from existing stock. 

- Restrict access to external storage facilities to designated employees only. 

Ingredients / Water / Ice Security 

A-2 

- Examine packages of ingredients before use for evidence of tampering. 

 Not all measures suggested are appropriate or necessary for every facility. 

- Make arrangements with local health officials to ensure immediate notification to the establishment if the 

 potability of the public water supply is compromised. 

- Restrict access to product, ingredient, and packaging storage areas to designated employees only (by locked door/gate).

- Water is from a municipally controlled source. 

- Inspect water lines for possible tampering (perform visual inspection for integrity of infrastructure, 

 proper connections).

Chemical / Hazardous Material Control Security 

- Restrict access to the in-plant laboratory. 

- Have procedures in place to control receipt of samples. 

- Have a procedure in place to receive, securely store, and dispose of reagents. 

Information Security 

- Track customer complaints/comments for trends. 

- Keep details of food defense procedures confidential as necessary. 

- Have up-to-date establishment layout/blueprints for local law enforcement, including the fire department if needed.
List of Tools or Possible Security Measures for Food Defense 

3. Personnel Security Tools 

- Authorize appropriate employees to stop a process for significant concerns. 

- Control access by employees and non-employees entering the establishment during working and non-working hours 

 (use coded doors, receptionist on duty, swipe cards).

- Restrict temporary employees and non-employees to areas relevant to their work. 

- Implement system to identify personnel with their specific functions, assignments or departments 

 (for example, corresponding colored uniforms or hair covers). 

- Prohibit employees from removing company-provided uniforms or protective gear from the premises.

- Maintain an updated shift roster for each shift. 

4. Incident Response Tools 

- Establish evacuation procedures and include in food defense plan. 

- Establish procedures for responding to threats as well as actual product contamination events. 

- Pre-establish communication with local, state, and federal incident response personnel for a more efficient 

 response.

A-3 

Not all measures suggested are appropriate or necessary for every facility. 
Complete this form to document your annual review of this Food Defense Plan. 

Not all measures are required or need to be reviewed each time this form is completed.

Was the Food Defense Plan 

tested?* 

(Yes / No) 

Date of Annual Review Person Who Conducted 

Annual Review 

(Name and Title)

NOTE: Make as many copies of this page as necessary.

Yes No

Yes No

Yes No

Yes No

ATTACHMENT B - Food Defense Plan Review 

B-1 

*Testing can be done using simple measures, such as checking locked doors or making unannounced 

perimeter checks.