2016 CAPS Produce Safety Plan
prompts for drafting your on-line CAPS Produce Safety Plan Jan 2016
Notes for farmers:
 The prompts below, grouped under #s1-12, describe needed input for your CAPS
Produce Safety Plan, and break all input into discrete sub-fields or bullets. Each bullet
marks a discrete input field in the on-line plan found at our future url, capsvt.org—the
text after each bullet will be the prompt that instructs farmers what to enter in that
field.
 On-line side-bar outline will track your progress toward completion of this plan.
 This produce safety plan contains 12 CAPS Application Requirements (CAPS AP # 1-12).
Each CAPS Requirement has its unique “CAPS AP # “that will be consistent throughout
the application, both within the produce safety plan and for the additional records
(CAPS Aps #13-18).
 You can work at their own pace, here or on-line, saving and continuing whenever
convenient.
 Reading and responding to prompts should illuminate what is needed in a complete
produce safety plan—and what the required and recommended CAPS standards are. If
you have questions, please email CAPS coordinator Hans Estrin, or call/text him at 802
380 2109.
 Please note: Prompts/instructions below may often be longer than the responses!
 Auto-formatting and printing / exporting of your on-line final plan: with one-click you
will be able to save, print or download your completed plan in text or pdf format. PDF
will be auto-formatted, with section titles and photos, but without the original section
prompts below.
 Thank you in advance for helping improve CAPS!--please text or email if you find any
typos, unclear things, or other problems while working through these prompts—taking
time to give feedback will improve CAPS for all!
CULTIVATION AND HARVEST
1) Land Use History and Risk Reduction (discreet input fields for each bullet below –all field
mandatory text unless otherwise noted)
 Years? Approximate the number of years farming on current property (ies)—enter # of
years; approximate average if you have multiple crop locations
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Acres? Approximate your current number of acres in edible crop production (enter # of
Acres)
 Major Crops?--List a few (up to 10) of your major crops or crop types (text)
 Potential Risk?--List and briefly describe any known / existing potential food safety risks
that could impact your production fields (List could include: flood risk, manure pile runoff, dump, livestock burial, adjacent livestock grazing, stockyard, or failed /old septic
systems). Enter “No risks known” if you can think of nothing. (text)
Potential Risk Reduction? —For each risk listed above, briefly describe WHAT YOU DO or
WOULD DO to deduce or minimize the potential for contamination. (Examples could
include: flood response plan, vegetative buffers, down-slope positioning of manure piles,
low-risk crop planting near contamination source, soil test for historic dumps sites,
outbuildings with lead paint that could get into product (if on ceiling) etc.)
Do you have livestock on your farm?—answer yes / no, If you answer yes, respond to the
next two prompts about cross-contamination, otherwise, leave them blank:
Livestock description—Livestock are an integral and healthy part of our small diversified
farming community. And for farms with livestock, cross-contamination between animal
manure and produce is a significant food safety risk. Describe your livestock operation (e.g.
type(s), location(s), and head number(s))
Livestock Cross-contamination risk—describe, in your opinion, the most significant sources
of cross-contamination risk (e.g. employees completing chicken chores and then harvesting)
Livestock cross-contamination risk reduction— The general mitigation strategy is to keep
raw manure and produce separate. Specific strategies may include dedicated boots and
coveralls for animal chores, hand washing, dedicated livestock and produce jobs, buffers,
and spraying-off tractor tires to avoid obvious contamination of produce staging area. For
each of the sources mentioned above, describe how you minimize or mitigate this risk.
Farm Map-- Add a photo or pdf of your farm map below. The map can be a hand-drawn
sketch, computer generated, an NRCS map, or a combination of google earth and labels.
Warning to perfectionists: It doesn’t not have to be fancy or even professional-looking! The
point of this map is to show the general layout of your farm and the location of potential
risks and any other items relevant to food safety. A complete map will contain:
 A Map Title with Farm Name and Date
 Legible hand-drawn or satellite base-map showing farm and risk-relevant
production fields, with an approximate scale with a north arrow.
 a key or notation showing location of relevant food safety items like: pack house,
bathroom(s), septic, well-heads, pasture, animal barns, barnyards, first aid kit(s),
flood prone fields, and other potential risks that you identified above.
o Notes—Remote fields with no identified risks need not be included;
include multiple maps for remote fields with potential risk(s); ; Production
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fields should be ¼ -mile from bathrooms, or <5 minute drive in a farm
vehicle.
o Contact hestrin@uvm.edu to request a high-quality google earth screen
shot to use as a base-map of your farm—you will need to add labels. Or
your NRCS agent
2) Manure and Compost Overview (discreet input fields for each bullet below –all field mandatory
text unless otherwise noted)
1) Do you use manure or compost? Please state whether or not you use animal based
manure or compost for growing food crops (*RECORD NEEDED ICON). (“yes” or “no”—
check box?)
2) Soil Fertility management? –Briefly describe or notate a list of your methods for
increasing or maintaining soil fertility for food crops (limited input check box—with
optional descriptions below?).
3) Compost Company? -If you “buy-in” compost from an established company that keeps
records, list the list the company name and contact web address: (enter text and url).
*Important Notes on ADDITIONAL RECORD(S) needed by Nov 1—(no input required now)
 Compost Record Required-- If you make your own or buy compost from an
individual that was or will be applied for this season’s production, you will need a
RECORD (CAPS APP #14A) to document compost temperatures and turning
dates—this record will be uploaded with your CAPS application later in the fall—
or sooner if you have it done!
 YIKES!--If you don’t have a record for home-produced compost, then it must be
“treated” like manure when applied (i.e. allow a 90/120 –day waiting period
period), regardless of how great it is!
 Manure Record Required--If you spread raw or aged manure that was applied
for this season’s production you will need a RECORD (CAPS AP # 14B) to fieldapplication dates—this record will be uploaded with your CAPS application in the
fall-- or when it is complete for current season.
3) Irrigation and Risk Reduction
 DO you irrigate your production Crops—answer yes/no. If yes, respond to irrigation
bullets below. If no, respond “N/A” to irrigation bullets below
 Irrigation type(s). List (and briefly describe if needed) the type(s) of irrigation used on
your farm (drip, overhead, etc).
 Irrigation source(s)- List (and briefly describe if needed) the source(s) and type(s) of
irrigation used on your farm (e.g. specific river, pond, spring, well, overhead, drip, ditch).
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Irrigation Risk Assessment / reduction--Overhead irrigation of raw eaten crops with
contaminated surface water, right before harvest is very RISKY! (Contaminated, “high
risk” water is define in VT as over 235 cfu E.coli/100 ml). Highlight any practices you use
that help you calibrate and minimize your irrigation risk. Practices could include
drawing from a relatively clean (e.g. tested at <35 cfu E.coli) water source(surface or
well), drip irrigation, Irrigation drying period of >2 days for potentially contaminated
water, and adding a sanitizer to wash-water to reduce cross-contamination. CAPS
requires that you have some plan or strategy to reduce risk from overhead irrigation.
4) Harvesting – Containers and Risk Reduction
 Dedicated, Clean Harvest Containers -- Clean, dedicated harvest bins can reduce crosscontamination from plant and human pathogens. CAPS requires that you have A PLAN
to reduce risk from harvest containers, but the requirement is not prescriptive. This
plan may include dedicated containers for harvest, a cleaning method and frequency,
and protected storage. List the type(s) of harvest containers you use and briefly
describe any risk reducing practices you may do.
 Keeping above-ground produce clean-- Keeping above-ground produce as clean as
possible during cultivation and harvest can reduce risk and post-harvest washing labor.
Describe any practices / policies that minimize field dirt on leafy crops (e.g. clean
harvest containers/tools/transport, mulch, row covers, inter-bed vegetative strips, etc).
This is recommended but NOT a CAPS requirement.
 Cooling produce? Quickly removing field heat can reduce both spoilage and produce
safety risks. Briefly describe your practices that cool or keep produce cool. These
practices may include harvesting in the cooler morning hours, holding in the shade,
short-time from harvest to customer, active cooling (water, ice, forced air)? CAPS
REQUIRES that you have a post-harvest “cold-chain” plan and employ one or more of
the above-listed practices.
*Important Notes on ADDITIONAL RECORD(S) needed by Nov 1 (no input required)
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You will need to post photos (CAPS AP # 15) of your farm containers and describe
how you manage them
PROCESSING AND PACKING
5) Wash and Pack Facility—Description and Cleaning
 Product flow—smooth product flow can dramatically increase efficiency and reduce
cross-contamination risk. Describe the general flow of leafy produce or other raw-eaten
crops coming and going from your pack shed (e.g. uni-directional or not, u-shaped,
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linear, etc) and include efficiency improvements. Describe types of surfaces (smooth
and cleanable or porous?) and tanks or sinks. Describe how you keep “dirty” incoming
produce or animal products (e.g., eggs, meat) separated from “clean” rinsed produce.
CAPS recommends but DOES NOT require efficient flow and non-porous, washable
contact surfaces.
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Pack Shed Cleaning Routine—Regular cleaning and organization can increase farm
efficiency and morale, and reduce contamination risk. CAPS REQUIRES that you have a
written plan here describing:
 how and when pack house is cleaned, including descriptions of regular or as
needed cleaning (e.g. sweeping, tidying, wiping or spraying down surfaces, etc)
and
 how and when you do deeper cleaning (e.g, scrubbing with soap and water,
sanitizing, power spraying) (seasonally, annually? Randomly as needed?).
 Samples of cleaning descriptions will be available with the on-line application.
*Important Notes on ADDITIONAL RECORD(S) needed Nov 1—(no input required)
 CAPS requires the use of potable water in your wash pack facility that is tested and
shown to contain no E.coli or coliform. You will need to upload a scan of your
passing water test (CAPS AP #16) in the late fall.
 Important note: 25% of 2015 pilot farms had a trace of coliform in their tested
samples (<10 cfu). CAPS has yet to decide how to handle trace coliform for 2016
testing—solving trace coliform mystery can be costly and time consuming, but for
worker protection and food safety, it is something that needs to be solved. One
important preventative step is to carefully follow sampling directions, to minimize
the likelihood of contaminating your sample!
 For your CAPS application you will need to additionally submit photos and a SOP
(CAPS AP # 17) for washing a high-risk, raw eaten crop that you sell (e.g. salad
greens)
6) Rodent Management –Having a plan to prevent and/ or control rodents is a CAPS
REQUIRMENT
 Got rodent problems? Briefly describe or characterize your rodent issue. Include
whether or not you have had issues, and if so, what kind?
 Rodent prevention- Even if you don’t have rodent problems, briefly describe what you
do to prevent rodents in your pack and storage facilities (e.g. emptying trash/compost,
general exclusion, regular cleaning, mowing around building)
 Rodent control—If you have rodent problems, describe your control tactics (e.g. traps
and, or poison with location description, exterminator, specific storage container
exclusion)
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COLD STORAGE AND TRANSPORT
7) Cold Storage Cleaning and Management –Clean and well-organized cold-storage can
improve product quality and shelf life and decrease food safety risk. This is a CAPS
REQUIRMENT (unless you have no cold storage)
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Cold-storage overview--Describe your farm’s cold storage (e.g. number, size and kind (s)
of unit(s)). If you don’t have cold-storage explain why not.
Cold Storage Cleaning-- Describe your farm’s cold storage cleaning and maintenance
routine (e.g. regular tidying or sweeping, seasonal deep cleaning, with or without a
sanitizer, regular or as needed compressor service)
Cold storage inventory –Describe how your perishable inventory in cold storage is
managed to assure turnover (e.g. Harvest to order—do not hold stock, harvest dates on
containers, first in-first out, etc.)
*Important Notes on ADDITIONAL RECORD(S) needed Nov 1—(no input required now)
 For your CAPS application you will need to additionally submit photos (CAPS AP # 18) of
your cold storage unit(s) and a close-up of an accurate thermometer showing readable
temperature.
8) Wholesale Shipping and traceability--– for CAPS, “Wholesale” is defined as a sale to a
larger buyer or distributer where your shipping box or unit may lose its identity. If you sell
wholesale, a wholesale shipping label that uniquely identifies your farm is a CAPS
REQUIRMENT.
 Do you sell “wholesale”? Answer yes or no. CAPS definition of wholesale: bulk
units/cases sold to intermediary--Not going directly to the consumer of the product
(i.e. your shipping unit might lose its identity after sale) (e.g. Coop, restaurant, Black
River Produce, P&C). If you answer yes and list wholesale buyer(s)
 Shipping label description—Describe your label type (e.g. sticky-back, hand-written on
tape, pre-printed box) and list the information it contains (e.g. Farm name, contact)—
At a minimum, CAPS and FSMA require Farm Name, Biz. Address. Phone is optional
and some kind of date (harvest or pack), or lot number for perishable RACS is highly
recommended, but not currently required.
 Shipping label Photo—Upload a close-up photo of your shipping label (<100kb size
recommended) --Required only if you sell wholesale.
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 Product Traceability—Many wholesale buyers require computer invoicing and other
traceability documents (e.g. lot numbers, harvest dates). Farm tracking systems that
improve product management and traceability are recommended, but NOT a CAPS
requirement. Briefly list and/or describe below any tracking systems you use below
(optional).
9) Transport Cold Chain—Maintaining cold temperature of perishable product during
transport to a buyer is a CAPS requirement
 Do you transport product? Answer yes or no. If no, answer N/A below
 How do you keep it cold? If you transport perishable product, briefly describe how you
hold its cold temperature? Effective methods may include one or more of the below:
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Short transport time during warmer weather (<2 hours)
Large transport mass of pre-cooled product
Delivery vehicle refrigeration and/or insulation
Transport during cool or cold weather, or cooler time of day.
FARM WORKER HEALTH AND HYGEINE
10) Accessible Toilet Facilities –CAPS requires that farm workers have easy access to toilet
facilities. “Easy access” means at most, a ¼ mile walk or a 5-minute drive at all times for all
farm workers—this should be shown on you farm map included in this plan. “Toilet facility”
means a permanent OR portable toilet, with running water, soap and single-use towels for
hand washing)
 Toilet Facility? Briefly describe your toilet facility(ies) (i.e. type(s) and location (s))
 Easy Access? Describe how far workers need to travel to toilets and any farm policies
about “bathroom breaks” (e.g. workers can take a farm vehicle if in a far-away field)
11) Health and Hygiene Policy –An effective Health and Hygiene policy can increase the
health, morale and productivity of your crew, and reduce food safety risks! Thus, a Health
and Hygiene policy is a CAPS REQUIRMENT. If your farm has employees, this policy should
be written on a one-page document, that workers can sign-off on during initial training.
Feel free to use this linked template as a HH policy.
 What’s your policy? Briefly List your farm’s Healthy and Hygiene policy standards below.
At a minimum, your policy should*:
 Require that all farm workers regularly and effectively wash their hands,
after breaks and before returning to work, or as needed.
 describe what farm workers do if they are sick or injured.
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 state, at a minimum, that sick workers who are seem contagious (with
fever, diarrhea, vomiting, uncontrollable cough), refrain from directly
washing or handling raw-eaten produce.
 state, at a minimum, that worker’s cuts are promptly treated and covered
with bandage and glove to stop bleeding, promote healing, and prevent
blood from contaminating produce.
* Feel free to use any of this language for your plan!
*RECORD ICON--Important Notes on ADDITIONAL RECORD(S) needed July 1 —no input
required now.
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If you have employees: When you initially train new employees, or rehire returning
employees, at the latest by June 30, you will need to record their names and initial
training dates and submit it as part of your CAPS application (CAPS AP #13) By July 1
12) Accessible First Aid Kits –Quick access to a band-aid can save a lot of hassle, time, and
blood, AND decrease risk of blood borne contamination! Thus CAPS requires easy access to
first aid supplies. “Easy access” means at least as close as your toilets. CAPS highly
recommends keeping zip-lock bags with cut-care supplies in several known locations on
your farm, (e.g. farm vehicles, pack shed, bathroom). This “super easy” access can save lots
of time and money and your workers well-being.
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First-aid kit locations? Describe the location(s) of stocked first aid kit(s) both in
buildings and where farm work is conducted. This includes pack house and/or other
building(s) near the fields and in all farm vehicles or locations without easy access to kits
in farm building(s) (i.e. at least within ¼ mile walk or 5-minute drive)
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