HACCP APPLICATION AND DOCUMENTATION IN … · 7/14/2005 IFT05-HACCP-app 1 HACCP APPLICATION AND DOCUMENTATION IN RETAIL OPERATIONS O. Peter Snyder, Jr., Ph.D. Hospitality Institute

7/14/2005 IFT05-HACCP-app 1

HACCP APPLICATION AND DOCUMENTATION IN RETAIL OPERATIONS

O. Peter Snyder, Jr., Ph.D.Hospitality Institute of Technology and Management

670 Transfer Road, Suite 21ASt. Paul, Minnesota 55114 USA

TEL 651 646 7077 FAX 651 646 [email protected] http://www.hi-tm.com

Session 79: Process innovation in retail food operations: How do you do it using HACCP?(to validate your process as safe)

PRESENTED AT IFT ANNUAL MEETING AND FOOD EXPO

NEW ORLEANS, LOUISIANA, JULY 19, 2005


RETAIL PROCESS INNOVATIONThe retail chef innovates new processes and products.

However, today, the chef must adhere to FDA-dictated process controls whereby specified hazards associated with a process are not always identified; critical levels for safety are not identified; the Food Safety Objective is zero illnesses; and equipment selection is often limited to NSF.

The FDA says, if a retail food operation implements HACCP and does its own scientifically correct process development, it can do any federal process. Unfortunately, the HACCP literature gives no specific food science principles for productinnovation.

This symposium is intended to a provide a source of HACCP information that retail food operators can follow to develop new processes that meet specific Food Safety Objectives.


USING AMC-HACCP, AN OPERATOR CAN DO ANY PROCESS VALIDATED AS SAFE BY THE OPERATOR.

• Minimally processed, cook-store (for 45+ days) foods such as sous vide / vacuum-packed, chilled foods with shelf lives determined by the operator vs. cook-serve.

• Processes modified to conserve cooking and refrigeration energy • Food holding 41ºF, 7 days; 45ºF, 4 days; 50ºF, 2.4 days; 55ºF, 1.7 days, etc.• Selling food prepared in a home if the home cook is trained. • Thawing on the counter at room temperature (USDA). • Simplified dish machine operation. • Simplified fruit and vegetable washing (modified dish machine). • Pasteurizing all food beginning at 130ºF.• Peking duck room-temperature skin drying, 12 hours.• Garlic-flavored oil for the table• Korean rice cakes, room-temperature display, 24 hours.• Cooling food in 15 hours to 40ºF.• Fingertip rinse procedure in 1 gallon of water.• Pumping roasts and turkey up to 20% (USDA).• Fermented foods: sausage, cheese, yogurt, sauerkraut, kimchee, beer, wine,

vinegar.


SYMPOSIUM TOPICSHACCP application and documentation in retail operationsO.P. Snyder, Jr.Developing and validating pasteurization processes in retail operationsJ.A. MarcyDeveloping and validating controls for the growth of pathogens and spoilage in retail foodH. ThippareddiDeveloping and validating controls for the growth of spores and spoilers during cooked food cooling and in cold holdingV.K. JunejaApplying statistics to risk control for retail processes and productsD.W. SchaffnerDeveloping and validating processes for fermented food: Bakery, wine, dairy, vegetables, meat in retail operationsF. Briedt


THE RAW FOOD CONTAMINATION PROBLEM

1370


FOOD MICROBIOLOGICAL CONTAMINATION

30WaterGiardia lamblia, Norovirus33 – 46Raw seafoodVibrio spp.

494846

Raw porkRaw milkRaw vegetables

Yersinia enterocolitica

2630

Fresh potatoesFresh radishes

Listeria monocytogenes

43 - 63100

Raw ground beefRaw rice

Bacillus cereus1.5 - 3.7Raw beef/pork/poultryEscherichia coli O157:H745 – 64Raw chicken and turkeyCampylobacter jejuni39 - 45Raw pork and chickenClostridium perfringens

7313 - 33

16

Raw chickenRaw porkRaw beef

Staphylococcus aureus

40 - 1003 - 20

16

Raw poultryRaw porkRaw shellfish

Salmonella spp.Percent ContaminatedSourceMicroorganism


HUMAN MICROBIOLOGICAL CONTAMINATION

Throat and skinStreptococcus Group A

Skin, nose, boils and skin infections

Staphylococcus aureus

VomitNorovirus

FecesShigella spp., Hepatitis A, norovirus, E. coli, Salmonella spp., Giardia lamblia

Percent ContaminatedSourceMicroorganism

1 in 50 (2%) of the employees who come to work each day are highly infective.


ESTIMATED ANNUAL FOODBORNE ILLNESSES


POTENTIAL HAZARDS IN THE FOODCHEMICALPoisonous SubstancesToxic plant materialIntentional additivesChemicals created by the processAgricultural chemicalsAntibiotic and other drug residues Unintentional additivesSabotage / terrorismEquipment leachingPackaging leachingIndustrial pollutantsHeavy metalsRadioactive isotopesAdverse Food Reactions(food sensitivity)Food allergensFood intolerancesMetabolic disorderPharmacological reactionsIdiosyncratic reactionsAnaphylactoid reactions

BIOLOGICALMicroorganisms and their ToxinsBacteria: vegetative cells and sporesMolds (mycotoxins, e.g., aflatoxin)Yeasts (Candida albicans)Viruses and rickettsiaParasitesFish and shellfish as sources of toxic compoundsPests, animals (birds, insects and rodents) as carriers of pathogens Filth from insects, rodents, and any other unwanted animal parts or excreta

PHYSICALHard Foreign ObjectsGlassWoodStonesMetalPackaging materialsBonesBuilding materialsPersonal effectsFunctional HazardsParticle size deviationPackaging defectsSabotageChoking / Food Asphyxiation HazardsPieces of food Thermal HazardsFood so hot that it burns tissue

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MANAGEMENT ANTECEDENTS FOR SIGNIFICANT RISK CONTROL TO AN ALOP

The manager "protects public health" by using Active Managerial Control and HACCP

1. Management commitment: time and money; budget; enforcement2. Management risk assessment: HACCP team3. Hazard inventory of the system: facilities / equipment; personnel;

supplies; food products / menu4. Selection and validation of controls5. Written program / policies, procedures, and standards checklist6. Employee procedures control training7. Process operation and performance data collection: items on the

policies, procedures, and standards checklist8. HACCP team meeting: corrective action

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FOOD PREPARERS DO RISK MANAGEMENTAND REDUCE THE HAZARD

TO AN APPROPRIATE LEVEL OF PROTECTION (ALOP)

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PROCESS HACCP IS NOT JUST SEVEN PRINCIPLESHACCP has no process performance criteria / numbers. Applying HACCP principles, one uses food science to specify and develop process performance criteria and to set controls in a new process so as to achieve a desired consumer Appropriate Level of Protection (ALOP) / Food Safety Objective (FSO) (e.g., illness per 100,000 people; deaths per 1,000,000 people).

Biological, chemical, and physical contamination (baseline)Food from the farm

Distribution

Ingredient specifications (to reduce level of hazardsHazard and risk analysis to determine significant hazardsControl; to reduce significant hazards to an ALOPMonitoring to assure process stability and capability

Processor / kitchen

Food Safety Objective (FSO)

Consumer Appropriate level of protection (ALOP)

Process step example using process safety management language:Cook for a 5D reduction of Salmonella to get <1 Salmonella / 100 g

(Control measure) (Performance criterion) (Performance objective)

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NATIONAL ADVISORY COMMITTEE ON MICROBIOLOGICAL CRITERIA FOR FOODS (NACMCF) Logic sequence for the application of HACCP to wholesale processing

PREREQUISITE PROGRAMS: Form the HACCP team; identify the system, products, services, customers, and processes, GMPs, etc.

PROCESS HACCP1. Conduct the hazard analysis. Identify process steps with hazards and level of the

hazard.(1) Do a risk analysis and decide which hazards are unacceptable risks.(1)

2. Apply HACCP decision tree to each step with unacceptable risks. Determine which steps are critical control points.

3. Establish critical limits for preventive measures associated with each CCP.4. Establish CCP monitoring requirements. Establish procedures for using the results

of monitoring to adjust the process and maintain control.5. Establish corrective action to be taken when monitoring indicates that there is a

deviation from an established critical limit.6. Establish procedures for verification that the HACCP system is working correctly.7. Establish effective record keeping procedures that document the HACCP system.

1, 2, 3, etc.Y/N1.

HACCP records

Verification procedures /

person(s) responsible

Corrective actions(s) / person(s)

responsible

Monitoring procedures / frequency / person(s)

responsible

Critical limits

Chemical, physical, biological hazards

CCPProcess step

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THE KITCHEN HACCP TEAMDOES A NACMCF-STYLE HACCP PLAN WITH RISK MANAGEMENT

Not sig sigSTEP

Verification and

Improvement

Corrective Action (by

HACCP team)

Monitoring / Self-Check

Hazard Control

B,C,P Hazard Analysis / Risk Assessment

CCP Step Description

STEP

1. Flow chart the process / recipe.2. At each step, ask:

a. Is there a B,C,P hazard that can be at a level to make people ill, and is this the correct step to control it? Is it cost effective to control?

b. If yes, what validated control do we use?c. How does the cook monitor to verify control?d. If we lose control, what corrective action rules do we apply?e. How do we verify that we have control?

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DETERMINING IF THERE IS A SIGNIFICANT RISKRemember: Risk = probability of occurrence x severity

Probability of occurrence in a consumer's meal

Threshold dose / size for illness or injury.

Probability per year in this establishment of it being at a dangerous level if not controlled in meals served.

Probability that the cook will not control the hazard to an ALOP.

Significant risk analysis at a step

What is the food handling procedure at the step?

Name of the possible biological, chemical, or physical hazard.

Epidemiological evidence that failure to control the hazard at this step causes consumer illness or injury. If none, go to next step.

Severity: What is the severity / consequence of the illness / injury and cost to rehabilitate? Is the risk acceptable? Can we afford the cost?

0.004$4,635,000Hospitalized, die (only ~5 in 100,000 people a year)1$13,117Hospitalized, full recovery7$400Visit physician, full recovery92$43No physician, full recovery

% of OutbreaksCostSalmonella (ERS data)

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MENU INGREDIENT HAZARD ANALYSISIngredients Supplier

Makes SafeIngredients Cook

Makes SafeBaked PotatoChicken parts and strips

CharlestonChicken NuggetsChicken Breast

Chicken Fried SteakCod, batteredShrimp, breadedBaconHamburger, Junior and RegularEggs (in-the-shell), over-easy, up,

hard-boiled, poachedSteak

T-boneSirloinCountry Fried Steak

Fresh Vegetables (e.g., Celery, Cilantro, Cucumbers, Onions, Peppers, Lettuce, Romaine, Mushrooms, Tomatoes, Parsley)

Fresh Fruits (e.g., Lemons, Limes, Grapes, Raw Fruit Mix)

CocoaTeasFruit Juices (e.g., orange,

apple, tomato, lemonade)

Soft Drinks (dispenser)Milk (Whole, 2%, skim,

chocolate)CreamAssorted Bread ProductsBagelsBiscuitsApple CrispFrozen Pies (Unbaked and

prepared)Frozen Cakes and

BrowniesOreo Cookie CrumblesIce CreamJams and JelliesSyrups (pancake) Syrups (for malts, sundaes

etc.)Caramel SauceVinegar,Sugar (brown, powdered)Crackers and CroutonsApple Topping

GritsOatmealVegetables, frozenColeslaw MixCanned Fruits (e.g.,

Cranberry and Apple Sauce)

Pico de GalloApplesauce SwimmersTaco ChipsSalsaCheeses (e.g., American,

Swiss, Cheddar, Parmesan, Cream Cheese, Cottage Cheese)

PicklesBBQ SauceCocktail SauceButterMargarineSpreads (Garlic, Sweet

Hickory)HoneySalad Dressings (e.g.,

coleslaw dressing, mayonnaise, tartar sauce, ranch dressing, etc.)

Condiments (e.g., ketchup, mustard)

CreamersCoffees

Mozzarella Cheese SticksPotatoes, parfried

French FriesSkilletHashed BrownsMashed

Onion Rings, parfriedOnion Tanglers, parfriedCorn Beef HashSausage Links, precookedHam Boca BurgerCheese PizzaTurkey Breast, fully cookedSmoked SausageSausage CrumblesNacho MeatRoast BeefEggs, liquid pasteurizedKraft Macaroni and CheeseFrench Toast Batter

(pasteurized ingred.)Pancakes (pasteurized

ingred.)Waffles (pasteurized ingred.)Gravies (pasteurized ingred.)SoupsMarinara SauceWing SauceStuffing

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PRODUCTS CAN BE GROUPED BY HACCP PROCESSHazards, Critical Controls, Limits (USDA HACCP, 9 CFR 417)

Shelf lifeHACCP Process

Commercially sterile, shelf stable. canned meat, fish, poultry; canned dairy products, canned vegetables

Fully cooked, with inhibitors to make shelf stable. marinara sauce; pie fillings; smoked fish; canned, low-pH fruits and vegetables; dry cereals, pasta

Fully cooked, not shelf stable. hot or cooled, refrigerated ready-to-eat food; meat, fish, poultry; fruits and vegetables, dairy

Not fully cooked, with inhibitors to make shelf stable. pepperoni; salami; ham; salted, dried fish; cheese; salad dressing; beer; wine

Not fully cooked, not shelf stable. Rare meat, fish, poultry; eggs, vegetables

Not heat treated, with inhibitors to make shelf stable. flour, nuts, salt, sugar, honey, spices and herbs, corn meal, oil and lard

Not heat treated, with secondary inhibitors, not shelf stable.corned beef

Not heat treated, not shelf stable. sashimi; lettuce and coleslaw salads; fruit salads; sprouts; yogurt; sauerkraut; kimchee; salsa

<14 daysI

<14 daysII

>2 years (chem. spoil)

III

<14 daysIV

>2 years (chem. spoil)

V

Hot <4 hoursCold 14-90 days

VI

>5 yearsVII

>5 yearsVII

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MENU ITEMS GROUPED BY HAZARD AND CONTROL CATEGORIES (Assumes that prerequisite programs are effective.)

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CONTROL DOCUMENTS FOR RETAIL HACCPFood Process HACCPPre-preparation

Physical hazardsChemical hazardsAllergensThawingFruit and vegetable washingServing raw food

PreparationSalad and hors d'oeuvresPasteurizationHot holdingCoolingCold holdingReheatingLeftovers

Serving foodFood removed from

temperature control

Reuse of packaged foodCommunicating food safetyTake-out foodCatering

Prerequisite ProcessesPersonal hygiene

Employee illness reportingHand washing

After toiletAfter touching raw food

Cleaning, maintenance, and pest control

FacilitiesEquipment and

warewashingSupplies

Source of supplyIngredientsSupplier safe vs. cook

made safe

Receiving inspection Storage: ambient,

refrigerated, frozen

Control of physical, chemical,

and biological contamination

PrefaceLogReassessmentSelf-inspection and HACCP team reports

Operations Description (Plan Review)System descriptionOrganizationEnvironment (picture)Facilities (plan)Equipment (list)Menu HACCP (processes)

AMC-HACCP ManagementFood safety policyResponsibility and accountabilityHACCP team / QC

Self-inspectionCorrective actionTraining

EmergenciesFood security / sabotage

Food Safety Manual Recipe

HACCP PlanFlow Chart

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RETAIL FOOD SELF-CONTROL FOOD SAFETY PLAN / SOP / MANUAL

Food Process HACCPPre-preparation

Physical hazardsChemical hazardsAllergensThawingFruit and vegetable washingServing raw food

PreparationSalad and hors d'oeuvresPasteurizationHot holdingCoolingCold holdingReheatingLeftovers

Serving foodFood removed from temperature control

Reuse of packaged foodCommunicating food safetyTake-out foodCatering

Prerequisite ProcessesPersonal hygiene

Employee illness reportingHand washing

After toiletAfter touching raw food

Cleaning, maintenance, and pest control

FacilitiesEquipment and warewashing

SuppliesSource of supply

IngredientsSupplier safe vs. cook made safe

Receiving inspection Storage: ambient, refrigerated,

frozenControl of physical, chemical,

and biological contamination

PrefaceLogReassessmentSelf-inspection and HACCP team

reports

Operations Description (Plan Review)System descriptionOrganizationEnvironment (picture)Facilities (plan)Equipment (list)Menu HACCP (processes)

AMC-HACCP ManagementFood safety policyResponsibility and accountabilityHACCP team / QC

Self-inspectionCorrective actionTraining

EmergenciesFood security / sabotage

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PREREQUISITE PROCESS FOOD (HACCP) PROCESSDOUBLE HAND WASHING

WITH A FINGERNAIL BRUSH HACCPDept.: _________ Person responsible: ________ Effective date: ______ Process: To double wash fingertips and hands to reduce by 1,000,000 to 1 pathogensThe Hazard: Pathogens from feces

Standards and Operating ProcedureGet ready.

Brush and lather, particularly fingertips and fingernails.

The double wash with the nail brush. Apply detergent to the fingernail brush.

Second wash for additional toilet / food pathogen reduction or first wash for reduction of food pathogens to a safe level.

Dry hands using paper towel(s).

QUALITY-ASSURED HACCP RECIPE PROCEDURES

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CHICKEN CACCIATORE RECIPE HACCP PROCEDURES AND RECORD

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CHICKEN CACCIATORE HACCP RECIPE FLOW

S=StoreD=DelayT=TransportI=InspectO=operate

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CHICKEN CACCIATORE HACCP PLAN

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PROCESS VALIDATIONPEER-REVIEWED RESEARCH REPORT

[Author(s)]IntroductionWhat is the process; what is the hazard; and what is the purpose of the report?MethodsHow were samples prepared?What microorganisms were used and source?What additives were used?How was the test conducted and controlled?How were the results measured?ResultsWhat were the data from the study, and how uniform were results?DiscussionDiscuss results in terms of the purpose of the studyConclusionsWas or was not the hazard effectively controlled?SummaryDate, Organization

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THE RETAIL FOOD SAFETY MANAGEMENT SYSTEM

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HACCP = MANAGERIAL EMPOWERMENTof the chef and kitchen staff to control the hazards

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THE TEST OF AN EFFECTIVE HACCP PROGRAM

Say to the manager, "Show me your Food Safety Management (HACCP) Manual."

• Go to an employee in the kitchen and ask, "What are you preparing, and why is it safe to eat?

• The employee should answer with the hazard and control information for that recipe in the manual.

"The hazards are ____________.""We do the following to control / reduce the hazards to an Appropriate Level of Protection (ALOP)."

• The answer should match the HACCP manual.

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HACCP REFERENCE DOCUMENTS

U.S. Department of Health, Education, and Welfare; Food and Drug Administration; Public Health Service. 1971. Proceedings of the 1971 National Conference on Food Protection. Sponsored by American Public Health Association. Denver, CO.

The Pillsbury Company Research and Development Department. 1973. Development of a Food Quality Assurance Program and the Training of FDA Personnel in Hazard Analysis Techniques. 4th Printing (1977). The Pillsbury Company. Minneapolis, MN.

International Commission of Microbiological Specifications for Foods (ICMSF). 1980 through 2002. Microbial Ecology of Foods / Microorganisms in Foods (Seven volumes). Academic Press; Blackwell Scientific Publications; Blackie Academic & Professional; Kluwer Academic Plenum Publishers.

NACMCF. 1998. Hazard analysis and critical control point principles and application guidelines. J. Food Prot. 61(9):1246-1259. [www.cfsan.fda.gov/~comm/nacmcfp.html] (1992. Internatl J. Food Microbiol. 16:1-23.)

NACMCF. 1998. Principles of risk assessment for illness caused by foodborne biological agents. J. Food Prot. 61(8):1071-1074.

Institute of Food Technologists. 2004. Managing food safety: Use of performance standards and other criteria in food inspection systems. Chicago, IL. [http://www.ift.org/pdfs/scitech/managing_food_safety.pdf]

International Organization for Standardization (ISO). 2004. Food safety management systems –Requirements for organization throughout the food chain. Draft International Standard ISO/DIS 22000. [ISO website: http://www.iso.org/iso/en/ISOOnline.frontpage]

Documents

HACCP APPLICATION AND DOCUMENTATION IN … · 7/14/2005 IFT05-HACCP-app 1 HACCP APPLICATION AND DOCUMENTATION IN RETAIL OPERATIONS O. Peter Snyder, Jr., Ph.D. Hospitality Institute