HACCP in Food and Drinking Water Safety

Guest lecture in CHEE 4773 Industrial Safety and Loss Management by Dr. Lisbeth Truelstrup Hansen, Associate Professor Department Process Engineering & Applied Science (Food Science)

Introduction

Food Scientist specialized in Food Microbiology Professor at Dal since 2000 Coordinator of the Food Science program Undergraduate teaching:

ENVE 3251 Environmental and Industrial Microbiology FOSC 3080 Food Microbiology FOSC 4091 Food Safety and Biotechnology FOSC 4500 Seminar in Food Science

Research areas:
Microencapsulation for delivery of beneficial probiotic bifidobacteria Biofilm formation of a foodborne pathogenic bacteria Listeria monocytogenes Use of natural antimicrobial compounds to preserve food products Microbial source tracking in drinking water coliform events

Consultant for the industry

Overview
Hazard Analysis of Critical Control Points (HACCP) strategies
Definitions

History of HACCP Continuous challenges to safety in our food and drinking water supply Components of HACCP
HACCP teams and management The seven principles

Applications

HACCP
A preventative approach to enable the production of consistently safe products:
Control of key steps (critical control points) which can eliminate or reduce the likelihood of a hazard occurring Documentation that the system is working

Use of HACCP:
Together with the prerequisite plan, it is the basis for successful implementation of a quality assurance system in the processing of food Main objective is to ensure products are safe to consume The concept can also be used in other systems such as drinking water treatment and distribution and agriculture

Monitoring and verification:

HACCP program compliance requires that establishments have systems in place to monitor and control the program and maintain records demonstrating due diligence

HACCP Definitions
Hazard any biological, chemical or physical property that may be expected to cause an unacceptable health risk to consumers if present in the product Risk an estimate of the likelihood of the occurrence of a hazard Severity of risk the seriousness of a hazard if not properly controlled (e.g., metal fragments vs. botulinum toxin) Critical control point (CCP) a specific point in a process where control can be applied to eliminate or reduce the risk of a hazard to an acceptable level

History of HACCP
First used in the US space program to ensure food safety for astronauts without relying on end-product testing (early 1970s) HACCP was adopted in 1973 by the USFDA for low acid canned food regulations (pH > 4.6) The USFDA made HACCP mandatory for all seafood processors in the US as well as for those foreign plants exporting to the US (1997) Canadian Food Inspection Agency (CFIA) made HACCP mandatory for all Canadian seafood processors (1998) CFIA also implemented mandatory HACCP for the meat and poultry industry (2007) Similar legislation has been imposed in the EU for food processors within the EU and those exporting to EU countries (Internationally Codex Alimentarius)

Emerging Hazards and New Challenges

It has only been within the last 20 years that E. coli O157:H7, Campylobacter and Listeria monocytogenes have been recognized as water and/or foodborne pathogens Domoic acid was recognized as a marine toxin for the first time in 1987 Bovine Spongiform Encephalopathy BSE or mad cow disease Transfer of antibiotic resistance or virulence genes between bacterial species

Emerging Hazards and New Challenges

Microbial biofilm formation results in microbial contamination which is 100 to 1000 times more resistant to disinfection Biofilms are formed through attachment and quorum sensing leading to production of protective exopolymeric substances (EPS)

What is a Hazard?
Biological bacteria, viruses and parasites Chemical natural toxins, and chemical contaminants (pollutants, pesticides, sanitizers) Physical glass, stones, metal Not hazards: hair, filth, spoilage, etc., since no injury or illness is caused to the consumer Foods may be divided into risk categories depending on their characteristics and potentially associated hazards

Seven Principles of HACCP

1. 2. 3. 4. 5. 6. 7.
Conduct a hazard analysis for each product Identify critical control points (CCPs) Establish critical limits Establish CCP monitoring requirements Establish corrective actions when critical limits have been exceeded Establish HACCP verification procedures Establish effective record keeping

Twelve Steps to Implement HACCP

As recommended by CFIA & Codex Alimentarius: 1. Assemble HACCP team 2. Describe product 3. Identify intended use 4. Construct process Flow Diagram and Plant

Schematic 5. On-site verification of Flow Diagram and Plant Schematic 6. List hazards associated with each step - P1 7. Apply HACCP decision tree to determine CCP - P2 8. Establish critical limits P3 9. Establish monitoring procedures - P4 10. Establish deviation procedures - P5 11. Establish verification procedures - P6 12. Establish record keeping/documentation for principles P1 to P6 (steps 6-11) - P7

Solid Foundation Required

Management commitment essential! HACCP training for everyone on the team and eventually all employees HACCP team assembly and initial tasks: Description of intended use of product
Product to be consumed by any of the major risk groups? (Very young or old or people with health problems affecting their immune system)

Development and verification of the product flow diagram

HACCP Team: Selection & Duties

Team consists of individuals with different specialties:
Maintenance, QC, production, cleaning and sanitation, people involved in day to day plant operations Team leader must be well-trained, have a reasonable scientific background, ability to motivate and work well with others Team must have access to reliable technical information

Duties of the HACCP team:

Develop the HACCP plan Verify the HACCP plan Implement and continually revise plan to accommodate changes. The plan is a living document and will evolve with time!

Why the Team Approach?

No one person can be an expert on all processing operations as well as being an expert on all possible hazards Team approach minimizes risk or missing something important Encourages ownership

Principle 1. Hazard Analysis

Hazard analysis: Identify steps in the process where significant hazards may occur Must estimate both risk and severity of hazards Risk assessment based upon experience, epidemiological data and technical information Outside assistance often required for this step Brainstorming, a potential tool Identify preventive measures for each hazard to reduce probability of risk In both QMP-R and FSEP, forms are provided to guide the team through the hazard analysis and identification of potential preventative measures

Examples of Preventive Measures

Biological hazards:
Combination of heat x time to reduce / destroy pathogens Low temperature preservation to control growth of pathogens or to kill parasites Control water activity by drying or salt addition

Chemical / physical hazards:

Source control (e.g., vendor certification, raw material testing) Production control (e.g., proper application of food additives; use of metal detectors, X-rays)

Principle 2. Identify the Critical Control Points (CCPs)

A CCP is any point in a process which can be used to eliminate or reduce hazards to acceptable levels Every significant hazard must have a corresponding CCP; if not, the process must be modified! Sometimes a decision tree is used to determine if a process point is a CCP

Principle 2. CCP Decision Tree

s

Q1: Does this step involve a hazard of sufficient risk and severity to warrant its control? Yes go to Q2 No Not a CCP Q2: Does a control measure for the hazard exist at this step? Yes go to Q3 No Is control of step necessary for safety? Yes Modify the step process or product No Not a CCP Stop* Q3: Is control at this step necessary to prevent, eliminate or reduce the risk of the hazard to consumers? Yes CCP No Not a CCP Stop* *Proceed to the next step in process flow

Principle 2. CCPs are Product and Process Specific

CCPs may change with differences in:

Plant layout Formulation Process flow Equipment Ingredient selection Sanitation and support programs (prerequisite programs)

Principle 2. Examples of CCPs

Cooking:
Obtain a specific time/temperature combination to destroy pathogens

Freezing:
Low temperature/time storage to destroy parasites or to reduce bacterial growth

Reception of raw materials:

Suppliers certificate (e.g., shellfish harvested from approved waters, packaging material free of toxic chemicals, drinking/potable water to be used in food processing )

Principle 2. CCP Decision Tree Table for IQF Shrimp

Process Step/Hazard Q1
s

Q2
No/No No/No No/No

Q3
-

CCP
No No No

Receiving frozen shrimp

Bacterial pathogens Yes Sulfiting agent Yes

Thawing
Bacterial pathogens Yes

Fresh Shrimp Thawing

Cold storage

Cooking

Weigh/ Pack/Label

Principle 2. CCP Decision Tree Table for IQF Shrimp

s

Process Step/Hazard Q1 Cold storage

Bacterial pathogens Yes

Q2
No/No Yes Yes

Q3
Yes Yes

CCP
No Yes Yes

Cooker
Pathogen survival Yes

Weigh/Pack/Label
Sulfiting agent Yes

Fresh Shrimp Thawing

Cold storage

Cooking

Weigh/ Pack/Label

CCP

CCP

Principle 3. Establish Critical Limits for Each Preventive Measure

Examples:
Temperature of a pasteurizer to 80C 2C for 2 0.5 min to control Listeria monocytogenes or Salmonella Typhimurium 3.5% 0.5 salt in water phase plus refrigeration to temperature < 5.0C to control Clostridium botulinum in packaged cold-smoked salmon Residual chlorine level in drinking water not less than 1 mg/L

Definition:
Critical limits are boundaries which cannot be exceeded if the hazard is to be prevented, eliminated or minimized

Principle 4. CCP Monitoring

Planned observations to assess whether a CCP is under control Observations used to determine whether or not corrective action is required Examples:
Monitoring salt levels in a brine solution Monitoring pH in an acidified product Monitoring line speed when critical for adequate safety to prevent bacterial growth Monitor residual chlorine levels in drinking water

Principle 5. Corrective Actions

Planned actions to be undertaken in cases where a CCP is out of control and critical limits have been exceeded Need for clear corrective action protocols and chain of command must be emphasized Examples:
Add more salt to the brine solution Re-cook if possible if the internal temperature was not achieved Discard if the food product was left at too high a temperature for excessive time (as defined in the critical limit SOP) Increase chlorination levels in drinking water

Principle 6. Verification
Planned actions to verify the measuring devices or processes are working Examples:
Reviewing records on a regular basis Checking that the process remains unchanged Calibration of monitoring devices (pH meters, thermocouples, etc. Spot checks for biological, chemical and physical hazards (validation)

Principle 7. Record Keeping

Types of records include: HACCP plan and support documentation, CCP monitoring, log of corrective actions, records of verification activities Things to include: ingredient specifications (including raw material and packaging), data to support efficacy of preventive measures, data from monitored CCPs, storage and distribution records, deviation reports Systematic record keeping system with filing system

HACCP and Water

Canadian Water and Wastewater Association (CWWA) has largely completed the development of a Guideline on Hazard Analysis and Critical Control Point Planning related to municipal drinking water services with the support of Agriculture and Agri-Food Canada (AAFC). One of the elements of food industry HACCP plan is that suppliers should also follow HACCP guidelines. Municipalities supply water to food industries within their jurisdictions. HACCP is also a feature of the Ontario Water Quality Management Standard and the WHO Water Safety Plans.

Basics of Drinking Water Purification

Overview of drinking water treatment

CCP

Hazards CCP

Drinking Water Distribution System

Overview of DWS
DWS Integrity

Chlorine residual

CCP
DWTP

CCP

Possible hazard introduction Main break Hazar Back flow ds Pressure fluctuations Low chlorine residual - biofilm

Conclusion
Hazard Analysis of Critical Control Points (HACCP) strategies
Versatile system which can be used to manage the occurrence of health hazards in food and water Can also be used to manage public health hazards in waste water treatment, agriculture, aquaculture and solid waste treatment

Main components of HACCP are contained in the seven principles HACCP is in use worldwide and is endorsed by WHO and FAO Future research has to deal with the quantitative aspects of the likelihood of the occurrence of identified hazards