Cornell CALS - College of Agriculture and Life Sciences

#28 Becoming a Small-Scale Food Processor

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Information prepared by Dr. Olga Padilla-Zakour and Dr. Bruno Xavier from the NYS Food Venture Center at Cornell University (http://necfe.foodscience.cornell.edu/) – for educational purposes only – please contact pertinent regulatory agencies for further detail.
The Federal government, individual states, cities and municipalities govern the operation of food processing facilities whether home kitchens or commercial facilities. Regulations differ from state to state and are determined by the type of food product being prepared and the processing methods used. When considering starting up a home or commercial kitchen, it is important to research which agencies regulate licensing of the product, inspection of the facility, foods allowed and not allowed to be produced in each facility, local zoning laws governing the use of the building, and building codes. All food facilities are required to register with FDA (based on he Bioterrorism Act of 2002) and to renew registration every other year (to comply with Food Safety Modernization Act of 2011, website: http://www.fda.gov/Food/GuidanceRegulation/FoodFacilityRegistration/default.htm).
Foods that are regulated and require a Processing License in NY – Article 20-C License from the NYS Department of Agriculture and Markets
This regulation applies to anything that is altered by baking, canning, preserving, freezing, dehydrating, juicing, cider making, pickling, brining, bottling, packaging, repackaging, pressing, waxing, heating or cooking, smoking, roasting, or manufacturing. Requirements vary depending on product. A scheduled process must be developed which outlines recipe testing/formulation, critical control points (to avoid contamination and control hazards), processing steps, storage requirements, distribution and selling conditions/restrictions.

Featured Resource

Assistance for developing a scheduled process is available:
NYS Food Venture Center
https://necfe.foodscience.cals.cornell.edu/
For a complete list of products that require an Article 20-C license visit the following website:
http://www.agriculture.ny.gov/
FS/general/license.html
518-457-4492

Food Safety
HACCP (Hazard Analysis & Critical Control Points) Plans are mandated by FDA regulations for certain products and processes, specifying procedures to be followed to minimize contamination and to minimize/eliminate chemical, physical and biological hazards when processing foods. HACCP plans are required for wholesale sale (not for retail) of seafood, dairy, meat and poultry products, juice and cider processing facilities.  Other sectors of the food industry are coming into voluntary compliance. For more information check:  https://www.fda.gov/Food/GuidanceRegulation/HACCP/ucm2006801.htm
The Food Safety Modernization Act (FSMA) enacted in 2011, requires that most of the food manufacturers enhance food safety and quality by implementation of Food Safety Plans, which include Preventive Controls for all aspects of food processing, from incoming ingredients through processing itself to storage, distribution and sale of the final product. Specific requirements for continuous training programs are also part of FSMA requirements, including that food safety personnel receive specific training on Preventive Controls. Some manufacturers are exempt, in parts or completely, from having Food Safety Plans, depending on size and types of products manufactured. More information on the FSMA and on how to get Preventive Controls training can be obtained on the FDA website: http://www.fda.gov/Food/GuidanceRegulation/FSMA/ucm461513.htm
Home Processing Exemption
New York State allows non-hazardous foods such as candy, cakes not requiring refrigeration, cookies, brownies, two-crusted fruit pies, breads and rolls, standard fruit jams and jellies, dried spices and herbs, and snack items to be produced in home kitchens. A review of processing procedures may be required for certain products before exemption is granted.
Anyone seeking a Home Processing Exemption must:

Some types of foods may not be produced in a home kitchen, as mandated by Federal regulations. These foods are considered potentially hazardous:

  • Low acid and acidified (pickled) foods packed in hermetically sealed containers must be registered with the US Food and Drug Administration (FDA)
  • Meat products with more than 3% raw or 2% cooked meat ingredients in a completed product are regulated by the US Department of Agriculture (USDA)
  • Vacuum packaged and any other reduced oxygen packaged products

Zoning Regulations
Local municipal zoning and planning boards determine the scale of operations permitted in an establishment. They regulate the number of employees allowed on premises and whether a second separate kitchen facility is allowed to operate on site. Check with local building inspectors to determine what operations can take place in the kitchen chosen for food production. There are local building codes that govern the volume of business in a building and egress from a building, drainage issues such as back flow protection, and grease traps.  Commercial equipment must comply with fire codes, FDA and USDA requirements as appropriate.

Minimum Food Processing Facility Requirements for New York State

Procedure Home Kitchen Home Annex Commercial
Inspection Yes, Potable water required (documented) – municipal or treated well water Yes, Potable water required (documented) – municipal or treated well water Yes, Potable water required (documented) – municipal or treated well water
Licensing Non-potentially hazardous foods for wholesale market exempt from licensing by NYS Dept of Agriculture & Markets (NYSDAM) 20-C license (obtained from NYSDAM)
Separate cleaning, sanitizing, and hand wash facilities
Fee: $400.00/2 years
20-C license
Fee – $400.00/2 years
Inspection Agency NYSDAM
May request review of processing procedures by recognized processing authority. Only normal kitchen facilities can be used.
NYSDAM
Dept. of Health- fresh-serve foods only. Kitchen held to restaurant standards (see below).
NYSDAM
Dept. of Health- fresh-serve foods only. Kitchen held to restaurant standards (see below).
Foods Allowed
  •  Candy (non-chocolate)
  • Fudge
  • Cakes not requiring refrigeration
  • Cookies
  • Brownies
  • Two-crust fruit pies
  • Bread
  • Rolls
  • Fruit jams
  • Jellies
  • Spices, herbs
  • Snack items
  • Baked goods (i.e. bread, rolls) for wholesale distribution
Any processed food
Low acid and acidified foods packed in hermetically sealed containers. Must register and file with FDA
Any processed food
Low acid and acidified foods packed in hermetically sealed containers. Must register and file with FDA
Foods Not Allowed
  • Cakes which require refrigeration
  • Pies containing milk, eggs or meat products
  • Chocolates
  • Low acid/acidified foods
Meat products – if more than 3% raw or 2% cooked
meat ingredients – USDA regulated
Meat products – if more than 3% raw or 2% cooked
meat ingredients – USDA regulated
Zoning Check with city/town Zoning/Planning Board
Issues: Scale of operation, number of employees
Check with municipality Zoning/Planning Board
Issues: scale of operation; number of employees
2nd kitchen may not be allowed on premise
Check with municipality Zoning/Planning Board
Issues: scale of operation, number of employees

 

Basic Requirements for a Small-Scale Food Processing Establishment

State of NY Department of Health (DOH) – Restaurants

  • Submit kitchen drawings before construction
  • Three-bay sink with stainless steel drain boards or two-bay sink with a commercial dishwasher
  • Separate hand washing/mop sink
  • Washable materials on walls and work surfaces
  • Restaurant grade, commercial tile floors- painted concrete not allowed
  • Commercial coolers/refrigeration
  • Water from non-municipal water supply must be tested quarterly.
  • Review DOH “Checklist for New or Remodeled Establishments”
  • Some locales require food worker certification.

NYS Department of Agriculture and Markets – Food preparation and processing

  • Kitchen requirements based on food item(s) being produced- Determined upon inspection
  • Easily cleanable, smooth work surfaces
  • Non-absorbent, smooth and easily cleanable floors, walls and ceilings
  • Review of processing procedures including hand washing, sanitizing, equipment sinks, water potability and food preparation
  • Review NYSDAM Circular 951 -Pursuant to the Licensing of Food Processing Establishments
  • *Circular 938 – Rules and Regulations Relating to Food Processing Establishments
  •  *Circular 933-Good Manufacturing Practices

*Circulars are available through local Dept. of Agriculture and Markets
NYSDAM, 10B Airline Drive Albany, NY 12235
518-457-3880 or 1-800-554-4501

Helpful Resources for Small Scale Food Processors

For assistance in developing a scheduled process for your recipe or developing a processed food product, contact:
NY Food Venture Center
NYS Agricultural Experiment Station in Geneva
315-787-2259 or necfe@cornell.edu

To request the publication Small Scale Food Entrepreneurship:  A Technical Guide for Food Ventures”, contact:
Elizabeth Keller, 315-787-2273 or esk15@cornell.edu
Access the online version: http://www8.gsb.columbia.edu/rtfiles/entrepreneurship/Small%20Scale%20Food%20Entrepreneurship_Initial%20Guide.pdf
Product development, processing and distribution assistance is also available from:
Nelson Farms at SUNY Morrisville
315-655-8831 or http://www.nelsonfarms.org/
To learn about small scale food processing activities in NYS:
Join the NYS Small Scale Food Processors Association
www.nyssfpa.com
Become a member of Pride of NY
800-554-4501 or prideofny@agriculture.ny.gov

Regional Offices of the NYS Department of Agriculture and Markets, Division of Food and Inspection Services
Contact Information
55 Hanson Place
Brooklyn, NY 11217-1583
718-722-2876
Electric Tower Building
535 Washington Street, 2nd Floor Suite 203
Buffalo, NY 14203
716-847-3185
900 Jefferson Road
Rochester, NY 14623
585-427-2273
NYS Fairgrounds – Art and Home Center
Syracuse, NY 13209
315-487-0852


United States Food and Drug Administration

300 Pearl Street, Suite 100
Buffalo, NY 14202
716-551-4478
New York District Office
158-15 Liberty Avenue
Jamaica, NY 11433
718-662-5447
United States Department of Agriculture – Food Safety Inspection Service (USDA FSIS)
5 Washington Square
Albany, NY 12205
518-457-4492
 
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