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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
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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.
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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.
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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
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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
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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.
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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 HACCP RECIPE FLOW
S=StoreD=DelayT=TransportI=InspectO=operate
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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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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]