Facility or (Company) Name:

Location:

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:

UNITED STATES DEPARTMENT OF AGRICULTURE 

FOOD SAFETY AND INSPECTION SERVICE

Food Defense Plan* 

Security Measures for Food Defense for 

Siluriformes Fish ** Farmers and 

Processors 

*This plan was developed through a joint effort between industry representatives, RTI International, the HACCP 

Consulting Group, and the U.S. Department of Agriculture's Food and Inspection Service. 

**The term “Siluriformes fish” is defined by the 2014 Farm Bill which amended the Federal Meat Inspection Act to 

remove the term fish and make " fish of the order Siluriformes and products derived from these fish" subject to FSIS 

jurisdiction and inspection.

 FSIS FORM 5420- (03/2016)
iii

 

 

Introduction 

 

 

1. Food Defense Plan Management 

 1.1 General Plan Security 

 1.2 General Security Training 

 1.3 General Information Security 

 1.4 Investigating Security Concerns 

 1.5 Emergency Contacts for Security 

 

2. Security Measures for Production Farms 

 2.1 General Security for Production Farms 

 2.2 Production Facility Storage 

 2.3 Production Facility Receiving/Shipping Security 

 2.4 Production Facility Water/Ice Security 

 2.5 Personnel Security for Production 

 

3. Security Measure for Processing 

 3.1 Processing Facility Outside Security 

 3.2 Processing Facility Inside Security 

 3.3 Processing Security 

 3.4 Processing Facility Storage Security 

 3.5 Processing Facility Receiving/Shipping Security 

 3.6 Processing Facility Ingredients Water/Ice Security 

 3.7 Processing Facility Personnel Security 

 

 

ATTACHMENT A 

 

Food Defense Review Plan A-1 

TABLE OF CONTENTS

 1 

 

 3 

 3 

 3 

 3 

 4 

 4 

 5 

 5 

 5 

 5 

 6 

 6 

 7 

 7 

 8 

 8 

 8 

 8 

 9 

 9 
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. Having a food defense plan in place 

supports the goals of the Homeland Security Presidential Directive 9: Defense of United States Agriculture 

and Food. A functional food defense plan may also: 

(1) improve public confidence in the safety and security of the fish food supply;

(2) reflect a commitment to positive, proactive steps to protect fish products; 

(3) increase communication and efficiency of the operation;

(4) reduce the potential for theft;

(5) reduce the need for additional regulations on food defense; 

(6) reduce the risk that intentional acts will result in unsafe product and economic loss; 

(7) reduce insurance rates; and 

(8) reduce the potential risk of company liability.

 INSTRUCTIONS: 

 

1. In each section, mark the box(es) for measures that are currently in place or that you will implement 

with this plan. Not all boxes need to be checked. Not all measures are appropriate or necessary for 

every facility. 

 

2. In the large boxes below each subsection, write down any additional security measures in place. 

 

3. Read and sign the front page of this Food Defense Plan. 

 

 This Food Defense Plan is divided into three main sections: (1) all fish businesses, (2) fish producers or 

 farms, and (3) fish processors. The producer and processor sections have subsections for specific areas 

 within the operation. 

 

 

Food Defense Plan 

Security Measures for Food Defense for 

Siluriformes Fish: Farmers and Processors 

 

 

PURPOSE: 

This voluntary plan documents measures to protect fish products and farms and/or food production 

businesses from intentional harm. Completion of this template by FSIS-regulated establishments will result in 

a food defense plan. 

Introduction

Please review the entire document and focus on those sections that pertain to your activities. Compare the 

recommendations in this document with current procedures and controls to address potential intentional 

contamination and consider adding measures to your process or plans where appropriate. 

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.

This Food Defense Plan may include many address potential intentional contamination and consider 

adding measures to your process or plans where appropriate. This Food Defense Plan may include many 

security measures already in place for your facility. You may have other plans that contribute to a food 

defense plan such as an emergency plan, a recall plan, and a security plan. These can be referenced in 

the boxes provided. 

1
2

*These four elements make up a functional food defense plan: 

1. Develop: Completing this document fulfills this element.

2. Implement: When the measures marked or listed by the facility are in place and being used, this element 

is fulfilled.

3 Test: Periodic monitoring fulfills this element. Monitoring 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 A. Not all security measures need to be tested at the same frequency.

4. Review and Maintain: Review the plan at least annually, revise the plan as needed, and take appropriate 

actions.

Food Defense Plan Security Measures

This document provides information on tools or additional security measures that you may also consider or 

already have in place. 

 

Additional guidance is available at: http://www.fsis.usda.gov/fooddefense

Once this food defense plan is created, it will continue to be functional as plant managers continue to review the 

procedures. Reviewing the procedures can be documented using the worksheet provided in Attachment A. 

Consider implementing new, or additional, tools or measures, as needed, each time the plan is reviewed. 
Food Defense Plan Management

3

1.1 General Plan Security 

GOAL: To implement, maintain, and update this plan and other related plans as needed.

1.2 General Security Training 

GOAL: To communicate plans to employees and ensure awareness. 

Any additional measures in use for security training are listed below.

A person or team is designated with responsibility to implement, manage, and update the Food 

Defense Plan 

A product recall plan is maintained and periodically reviewed.

Key personnel are trained in product recall/withdraw procedures.

Awareness training on security measures is provided to all employees, including new hires.

Refresher awareness training on security measures is offered to employees periodically.

Employees are trained to report suspicious activities or unusual observations.

Any additional measures or plans (i.e., security plan, crisis plan, evacuation plan) that may 

contribute to the food defense plan are listed, attached, or documented in locations as 

described below.

Access to sensitive information, such as files, site plans, and farm or processing details (e.g., flow 

charts, floor plans, blueprints, etc.), is controlled.

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

1.3 General Information Security 

GOAL: To ensure sensitive information is protected. 

Any additional measures in use for information security are listed below.
Reporting of unusual activities is encouraged.

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

Employees are trained and have the ability to stop activities to minimize a potential food defense 

incident.

Food Defense Plan Security Measures

1.4 Concerns Investigating Security 

GOAL: To encourage action before a concern becomes a food defense incident. 

 

Customer comments are investigated.

Procedures ensure that suspect or adulterated product or potentially harmful substances are 

secured.

Any additional measures in use for investigating security concerns are listed below

4

1.5 Emergency Contacts for Security 

GOAL: To contact assistance whenever needed. 

 Plant personnel contact information is kept up-to-date.

Emergency contact lists are kept up to-date.

 Company and Emergency Contact List Phone Number(s) 

 Manager 

 

 

 FSIS Front Line Supervisor 

 

 Local Police/Sheriff 

 

 Other Assistance (extension agent, trade association) 

 Local FSIS Personnel

Any additional measures or names and contact number used for emergency contact security are 

listed below.
Security Measures for Production Farms

"No Trespassing" signs are posted, as appropriate.

Any restricted areas are clearly marked where only authorized employees have access.

Farm personnel are instructed to watch for and report unauthorized persons on the farm.

Visitors, guests, or other non-employees are restricted to non-sensitive areas unless 

accompanied, or in accordance with facility policy.

 Any additional measures in use for general security are listed below.

2.1 General Security for Production Farms 

GOAL: To prevent unauthorized access by people or entry of unapproved materials to the facility.

2.2 Production Facility Storage Security 

GOAL: To protect items in storage from theft or contamination. 

Access to storage areas, including feed storage, is restricted.

Unusual changes to inventory are investigated.

Security is maintained for restricted materials.

Employees are trained to report signs of potential tampering.

 Any additional measures in use for storage security are listed below.

5

Loading and unloading of vehicles transporting live fish are closely monitored. 

Chain-of-custody records are maintained for live trucks. 

Receipt of live product is verified by an authorized person, and incoming loads are checked for 

tampering.

Feed is only received from federally inspected feed mills.

Consideration is given to security when selecting transportation companies.

2.3 Production Facility Shipping/Receiving Security 

GOAL: To protect items in transit from intentional contamination.

■ If conducted by a third-party or harvest crew supervisor, ensure they have had 

 food defense training.

2
Access is limited to water sources.

Employees are instructed to watch for activity in the watershed area that could contaminate ponds.

2.4 Production Facility Water/Ice Security 

GOAL: To prevent intentional contamination of water or ice. 

Any additional security measures in use for shipping/receiving are listed below

Security Measures for Production Farms

Any additional measures in use for water/ice security are listed below.

2.5 Personnel Security for Production 

GOAL: To reduce risk of intentional harm by people on the production farm. 

Farm employees are trained on security procedures.

Refresher awareness training on security measures is offered to employees periodically.

Temporary employees and contractors are instructed to stay only in areas relevant to their work.

Employees are trained to report suspicious activities or unusual observations.

Any additional measures in use for personnel security are listed below.

6

Food Defense Plan Security Measures
7

Security Measures for Processing

3.1 Processing Facility - Outside Security 

GOAL: To prevent unauthorized access by people or entry of unapproved materials to the facility.

Plant grounds are secured to prevent unauthorized entry (for example, fences, installed, "No 

Trespassing: signs are posted.

Outside lighting is present to deter unauthorized activities.

"No Trespassing" signs are posted.

Security is in place to control people and vehicles entering the plant and/or parking lot.

Cameras are in place to monitor traffic/security.

3.2 Processing Facility - Inside Security 

GOAL: To protect buildings and systems from intentional harm. 

An emergency lighting and alert system is installed and tested.

Restricted areas are clearly marked.

Locations of controls for emergency alert systems are clearly labeled.

Inventory of keys to sensitive or secure areas is regularly checked.

Access to the in-plant laboratory is restricted to authorized employees.

Access to controls for the following systems is restricted:

heating, ventilation, air conditioning

disinfection or chemical delivery systems

electricity

gas (propane or natural gas)

water

Any additional measures in use for outside security are listed below. 

Any additional measures in use for storage security are listed below.

3
8

3.5 Processing Facility - Shipping/Receiving Security 

GOAL: To protect items in transit from intentional contamination.

Access to product, production, and fish holding vats is restricted, to the extent possible.

Records of rework use are maintained.

Prior to use, containers or packages are examined for signs of tampering.

Loaded trailers and tankers on thee premises are kept locked or under observation when not 

being loaded or unloaded.

Incoming shipments are secured with locks or seals and examined for potential tampering.

Loading and unloading of vehicles transporting raw materials, live fish, materials used for 

processing or finished products is closely monitored.

Incoming and outgoing vehicles are monitored for suspicious activity or evidence of tampering.

3.4 Processing Facility - Storage Security 

GOAL: To protect items in storage from theft or contamination. 

A system to ensure traceability is in place.

3.3 Processing Security 

GOAL: To protect product from intentional contamination throughout the production process. 

Outgoing shipments are secured with tamper-evident locks, or seals and seal numbers (if used) 

are documented.

Records of returned goods are maintained.

Returned goods are examined in a separate designated area for evidence of tampering before 

accepting or using them.

Access to storage areas, including internal storage, external on-site storage, and cold and dry 

storage areas, is monitored.

Access is limited to designated employees for inside and outside storage, including feed storage 

and storage for potentially hazardous materials (ie., pesticides, chemicals).

Inventory of finished product is checked regularly for unexplained changes.

Food Defense Plan List of Tools or Possible Security Measures for Food Defense 

Any additional measures in use for processing area security are listed below.

Any additional measures in use for storage security are listed below.
9

3.6 Processing Facility - Ingredients/Water/Ice Security 

GOAL: To prevent intentional contamination of water or ice. 

3.7 Processing Facility Personnel Security 

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

Access to water sources is restricted by locked door/gate or limiting access to designated 

employees.

Access to storage tanks for potable water and to wateer reuse systems is limited.

Access to ice-making equipment and storage is limited.

Potable water lines are inspected for possible tampering (e.g., visual inspection for physical 

integrity of infrastructure, connection to potable lines).

Arrangements have been made with local health officials to ensure they will immediately notify the 

facility if the public water supply may be compromised.

Supplier food safety/security information is requested.

Restricted ingredients are controlled.

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

Employees and non-employees have restrictions on what they can bring in or take from the facility 

(e.g., personal items, cameras).

Background or reference checks are conducted for new hires.

Train all facility employees on food defense and security awareness and procedures as part of 

their orientation, new job, and annual refresher training. 

Please list any additional measures in use for personnel security.

Any additional security measures in use for shipping/receiving are listed below.

Any additional measures in use for ingredients/water/ice security are listed below.

Food Defense Plan List of Tools or Possible Security Measures for Food Defense 
ATTACHMENT A

Food Defense Plan Review Form

Programs or Measures 

Monitored, Tested, or 

Reviewed

Are the 

Programs 

 or 

Measures 

Still in 

Place? 

Yes/No

Are 

Changes 

Needed 

Yes/No

Describe Planned 

Changes

Estimated 

Completion 

Date 

Actual 

Completion 

Date 

A-1 

Date of review: Person who conducted review: 

Complete this form to document monitoring, testing, or reviewing of the security measures used for food 

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

All portions of the Defense Plan should be reviewed annually.