Food Safety for the 21st Century

CAROL A. WALLACE, Faculty of Health and Wellbeing, University of Central Lancashire, Preston, UK. WILLIAM H. SPERBER, The Friendly Microbiologist LLC., Minnetonka, USA. SARA E. MORTIMORE, Land O'Lakes Inc., St Paul, Minnesota, USA.

• About the Authors xviiForeword xixAcknowledgements xxiGlossary of Terms and Acronyms xxiiiHow to Use This Book xxixPart I Food Safety Challenges in the 21st Century 11 Origin and Evolution of theModern Systemof Food Safety Management: HACCP and Prerequisite Programmes 31.1 Historical Perspectives 31.2 Origin and Evolution of HACCP 51.3 The Necessity of Prerequisite Programmes 111.4 Recent Regulatory Developments in the United States 111.5 The Future of HACCP 121.6 Conclusions 132 Lessons Learned from Food Safety Successes and Failures 152.1 Introduction 152.2 Benefits of Using HACCP: Lessons Learned from a Successful Implementation 152.3 Misconceptions or ‘Failure to Understand HACCP‘ 182.4 Barriers to Effective HACCP Use 202.5 Reasons for Failure 222.5.1 Lessons Learned from Major Food Safety Events 222.5.2 Commonly Observed Mistakes in the Implementation of HACCP and Management of Food Safety Programmes 282.6 Difficulties with Applying HACCP through the Entire Food Supply Chain 302.7 Roles and Responsibilities: Lessons Learned 322.7.1 Industry 332.7.2 Government 332.7.3 Retailers/Foodservice Establishments 342.7.4 Trade and Professional Associations 342.7.5 Academia 352.7.6 Consumers 352.7.7 The Media 362.7.8 Advocacy and Pressure Groups 362.7.9 Influencers and Experts 372.8 Conclusions 373 Food Safety Challenges in the Global Supply Chain 393.1 Introduction 393.2 Increased Complexity of the Global Supply Chain 413.2.1 Economic Factors 413.2.2 Environmental Factors 433.2.3 Social Factors 473.3 Food Safety Issues in Global Trade 493.3.1 Lack of Uniformity in Regulations and Requirements 523.3.2 Lack of Uniformity in Standards and Audit Requirements 543.4 Strategic Level Responses 553.4.1 Government Communications Systems 553.4.2 Global Food Safety Private Audit Standards and Schemes 563.4.3 Verification and Auditor Competency 573.4.4 Global Food Traceability Systems 573.4.5 Public-Private Partnerships 573.4.6 FoodWaste Reduction through Labelling Improvements 583.5 Tactical Level Responses 583.5.1 Supplier Audits and Approvals 593.5.2 Business Continuity Planning 603.5.3 Sharing Technology 603.5.4 Shared Training and Education Resources 613.5.5 Increased Awareness of Emerging Issues 613.6 Conclusions 614 The Future of Food Safety and HACCP in a ChangingWorld 634.1 Introduction 634.2 Food Safety Issues 644.2.1 Emerging Pathogens 644.2.2 Changes in Distribution of Pathogens 654.2.3 Additional Control Measures 654.2.4 Antibiotic-Resistant Pathogens 654.2.5 Allergens 654.2.6 Other Chemical Hazards 664.2.7 Physical Hazards 664.2.8 Economically Motivated Contamination 664.3 Technology Advancements: Processing and Laboratories 674.4 Food Safety Management 684.4.1 HACCP Preliminary Steps and Principles 684.4.2 Additions to Current Prerequisite Programmes (Codex Principles of Food Hygiene) 704.4.3 The Human Factor 704.4.4 Global Food Safety Assurance 744.5 Changes in Thinking/Policy Making 784.5.1 Food Safety Objectives 784.5.2 End Product Testing 794.5.3 Hazard Analysis versus Risk Assessment 794.6 Conclusions 80Part II Foodborne Hazards and Their Control 815 Recognising Food Safety Hazards 835.1 Introduction 835.1.1 What is a Food Safety Hazard? 835.1.2 What is not a Food Safety Hazard? 835.2 Biological Hazards 845.2.1 Epidemiology and Morbidity Statistics 845.2.2 Characteristics of Foodborne Illnesses 865.2.3 Bacterial Pathogens: Special Considerations and Features 915.2.4 Viral Pathogens 945.2.5 Prions 965.2.6 Protozoan Parasites 985.2.7 ParasiticWorms 985.2.8 Biological Hazards, Zoonoses, and Food Chain Biosecurity Issues 985.3 Chemical Hazards 995.3.1 Allergens 995.3.2 Mycotoxins 1005.3.3 Marine Foodborne Toxins 1015.3.4 GeneticallyModified (GM) Foods 1015.3.5 Antibiotics 1025.3.6 Persistent Organic Pollutants (POP) 1025.3.7 Heavy Metals 1035.3.8 Chemicals Used in Food Processing Environments 1045.3.9 Chemicals Used in Food Packaging Materials 1045.3.10 Unanticipated Potential Chemical Hazards 1045.4 Physical Hazards 1055.4.1 Sources of Foreign Material 1055.4.2 Injuries Associated with Physical Hazards 1065.5 Conclusions 1066 Designing Safety into a Food Product 1076.1 Introduction 1076.2 Formulation Intrinsic Control Factors 1076.2.1 Water Activity 1086.2.2 pH 1106.2.3 Chemical Food Preservatives 1116.2.4 Oxidation-Reduction Potential 1156.2.5 Interactions between Preservative Factors 1166.3 Use of Experimental Design and Analysis 1186.3.1 Challenge Testing 1186.3.2 Accelerated Shelf Life Testing 1216.3.3 Predictive Microbiology and Mathematical Modelling 1226.3.4 Theory versus Reality 1236.4 Ingredient Considerations 1236.4.1 High-Risk Ingredients 1246.4.2 Novel Ingredients 1266.5 Considering the ‘Unintended’ Use 1266.6 Conclusions 1277 Designing a Safe Food Process 1297.1 Introduction 1297.2 Process Control of Microbiological Hazards 1307.2.1 Destruction of Microorganisms 1307.2.2 Prevention of Microbial Growth 1377.2.3 Prevention of Contamination 1407.3 Process Control of Chemical Hazards 1437.3.1 Allergen Control 1437.3.2 White Powder Control 1447.3.3 Cleaning and Maintenance Chemicals 1447.4 Process Control of Physical Hazards 1457.4.1 Exclusion Techniques 1457.4.2 Removal Techniques 1467.4.3 Detection Techniques 1477.5 Conclusion 147Part III Systematic Food Safety Management in Practice 1498 Overview of aWorld-Class Food Safety Programme 1518.1 Introduction 1518.2 Preliminary Concepts and Definitions 1528.2.1 The EvolvingWorld-Class Food Safety Programme 1528.2.2 Key Definitions of Relevance toWorld-Class Food Safety Programmes 1538.3 World-Class Food Safety Programmes: System Elements 1558.3.1 Safe Product/Process Design 1558.3.2 Prerequisite Programmes 1568.3.3 HACCP 1568.3.4 Food Fraud and Food Defence 1568.4 World-Class Food Safety Programmes: Fundamental Supporting Elements 1578.4.1 Essential Management Practices 1578.4.2 Food Safety Culture 1588.5 World-Class Food Safety Programmes: Further Supporting Elements 1588.6 World-Class Food Safety Programmes in the Global Food Supply Chain 1598.7 Continuous Improvement of theWorld-Class Food Safety Programme 1608.8 Conclusions 1619 Building the Foundations of a World-Class Food Safety Management Programme: Essential Steps and Practices 1639.1 Introduction 1639.2 Essential Management Practices 1659.2.1 Management Commitment and its Role in Food Safety Culture 1659.2.2 Assignment of Roles and Responsibilities 1669.2.3 Training and Education 1669.2.4 Resource Management 1729.2.5 Documentation 1739.2.6 Supplier/Customer Partnerships 1739.2.7 Continuous Improvement 1739.3 Food Safety Culture 1749.4 Preparation Activities for Food Safety Programmes 1759.4.1 Preparing a Project Plan 1759.4.2 Structure the HACCP Programme 1769.4.3 Carry out a Gap Assessment 1769.5 Prioritisation of Corrective Actions 1839.6 Conclusions 18510 Formalised Prerequisite Programmes in Practice 18710.1 Introduction 18710.2 Prerequisite Definitions and Standards 18810.3 Prerequisite Programmes: The Essentials 18910.3.1 Primary Production 18910.3.2 Establishment: Design and Facilities 19210.3.3 Control of Operation 19410.3.4 Establishment: Maintenance and Sanitation 19810.3.5 Establishment: Personal Hygiene 20610.3.6 Transportation 20710.3.7 Product Information and Consumer Awareness 20710.3.8 Training 20910.4 Prerequisite Programmes and Operational Prerequisites 21010.5 Validation and Verification of Prerequisite Programmes 21210.6 Further Reading on Prerequisite Programmes 21310.7 Conclusions 21411 Conducting a Product Safety Assessment 21511.1 Introduction 21511.1.1 Who Is Involved in Product Safety Assessments? 21511.1.2 Timing of the Product Safety Assessment Process 21711.1.3 Product Safety Assessment Process 21711.2 Training for Research and Development Personnel 21811.3 Example of a Product Safety Assessment 21911.3.1 Process Flow Diagram 22111.4 Conclusions and Principles for Effective Product Safety Assessment 22312 Developing and Implementing a HACCP Plan 22512.1 Introduction 22512.2 Preliminary Concepts 22612.2.1 HACCP Principles 22612.2.2 The HACCP Plan and Documentation Approaches 22612.2.3 HACCP Application Process 22812.2.4 Codex Logic Sequence 22812.3 Applying the Codex Logic Sequence to Develop a HACCP Plan 23012.3.1 HACCP Study Terms of Reference and Scope 23012.3.2 Codex Logic Sequence Step 1: HACCP Teams 23012.3.3 Codex Logic Sequence Step 2: Product/Process Descriptions 23212.3.4 Codex Logic Sequence Step 3: Identify Intended Use 23312.3.5 Codex Logic Sequence Step 4: Construct Process Flow Diagram(s) 23412.3.6 Codex Logic Sequence Step 5: On-Site Confirmation of Flow Diagram 23712.3.7 Codex Logic Sequence Step 6: List All Potential Hazards, Conduct a Hazard Analysis, and Consider Control Measures (Apply HACCP Principle 1) 23812.3.8 Codex Logic Sequence Step 7: Determine CCPs (HACCP Principle 2) 24912.3.9 Codex Logic Sequence Step 8: Establish Critical Limits for each CCP (HACCP Principle 3) 25212.3.10 Codex Logic Sequence Step 9: Establish a Monitoring System for each CCP (HACCP Principle 4) 25212.3.11 Codex Logic Sequence Step 10: Establish Corrective Actions (HACCP Principle 5) 25512.3.12 Codex Logic Sequence Step 11: Establish Verification Procedures (HACCP Principle 6) 25512.3.13 Codex Logic Sequence Step 12: Establish Documentation and RecordKeeping (HACCP Principle 7) 25712.4 Implementing a HACCP Plan 25712.4.1 Activities for Implementation of a HACCP Plan 25712.4.2 The Validated HACCP Plan 25812.4.3 Implementation Action Planning 25912.4.4 Training 25912.4.5 CCP Management Systems 26112.4.6 HACCP Required Activities 26212.4.7 Verification of Implementation 26312.4.8 Handover to Operations Staff 26312.4.9 Considerations for Implementing Updates and Changes to an Existing HACCP System 26312.5 Conclusions 26413 Food Fraud and Food Defence 26513.1 Introduction 26513.2 Essential Definitions 26513.2.1 Food Fraud 26613.2.2 Food Terrorism 26613.2.3 Food Defence 26713.2.4 Food Protection 26713.3 Food Fraud 26813.3.1 The Food Fraud Problem 26813.3.2 Learning from Examples of Food Fraud 26913.4 Food Terrorism 27513.4.1 Food Terrorism Examples 27513.5 Food Defence 27613.5.1 Food Fraud Prediction 27613.5.2 Practical Food Defence Strategies 27913.6 Conclusion 28214 Maintaining and Improving a Food Safety Programme 28314.1 Introduction 28314.2 What Is Food Safety Programme Maintenance? 28314.3 Responsibility for Food Safety Programme Maintenance 28514.4 Maintenance of Prerequisite Programme Elements 28514.5 Maintenance of HACCP System Elements 28614.5.1 HACCP Verification Activities 28614.5.2 HACCP Maintenance Activities 28714.6 Maintenance of Food Fraud and Food Defence Systems 28814.7 Use of Audit for Successful Food Safety System Maintenance 28914.7.1 Audit Definitions 28914.7.2 The Auditor and Audit Skills 29014.7.3 Audit Checklists 29214.7.4 Use of External Audit and Certification Schemes as Part of Food Safety Programme Maintenance 29314.8 Incident Management 29414.9 Conclusions 29415 Food Safety Culture: Evaluate, Map, and Mature 297Lone Jespersen, Ph.D.15.1 Introduction 29715.1.1 Food Safety Culture: Accepted Assumptions, Not Malicious Intent 29715.1.2 Essential Definitions 29815.2 Supply Chain and Critical Food Safety Behaviours 29815.2.1 Dimensions of Food Safety Culture 30015.2.2 Follow the Leafy Greens… 30015.3 Organisational Culture and Food Safety 30215.4 Evaluate and Map Food Safety Maturity 30315.4.1 Map to Food Safety Maturity 30315.4.2 Walking the Food Safety Talk 30315.4.3 Importance of Using Multiple Methods to Evaluate Food Safety Culture 30715.5 Tactics to Mature Food Safety Culture 30915.6 Conclusions 310Part IV Food Safety Management in Practice: Current Issues and Challenges in Areas of the Global Food Supply Chain 31316 Food Safety in Agriculture: Determining Farm-Derived Food Safety Risk 315Louise Manning and Pieternel Luning16.1 Introduction 31516.2 Notions of Food Quality and Food Safety 31516.3 Value as a Food Attribute in Primary Agriculture 31616.3.1 Case Study 1: BSE and the United Kingdom 31816.4 Uncertainty and Ambiguity Affecting Risk Perceptions and Decisions 31916.4.1 Case Study 2: Red Tractor Standards 32016.5 Risks Inherent to Farmers’ Context Characteristics 32016.5.1 Case Study 3: Quality Egg 32516.6 Supply Chain Governance and Food Safety 32616.7 Risk Mitigation at Farm Level 32716.8 Conclusion 32917 Helping to Overcome Food Safety Challenges in Developing Markets 33117.1 Introduction 33117.2 Sri Lanka Hygiene and Management Systems Development Projects 33217.2.1 Context 33217.2.2 Support for the Development and Implementation of Environmental Management Plans 33217.2.3 A Manufacturer of Dairy-Based Curd and Popsicles 33417.2.4 A Small Packaging Manufacturer in Sri Lanka 33617.2.5 A Small Dairy (Ice-Cream) Processor 33717.2.6 A Coconut Processor in Sri Lanka 33917.2.7 Quality and GMP Training in Sri Lanka 34017.3 Rwanda Dairy Development Projects 34217.3.1 Context 34217.3.2 A Growing Dairy Company in Northern Rwanda 34217.3.3 Yogurt and Fermented Milk Processor 34317.4 Bangladesh Milk Supply Chain Development Project 34617.4.1 Context 34617.4.2 Project 34717.4.3 Insights and Lessons Learned 34717.5 Key Points Learned as Assignees to a Less-Developed Country 34817.6 Kenya Development Project: InternationalWater and Health Alliance (IWHA) 34917.6.1 Context 34917.6.2 Challenges in Low-Income Countries 35017.6.3 Addressing theWater-Testing Challenge in Low-Income Countries 35117.6.4 Accomplishments 35217.7 Conclusions 35318 Consumer Food Safety 35518.1 Introduction 35518.2 Potential Hazards 35618.3 Potential Control Measures 35718.3.1 SafeWater and Raw Materials 35718.3.2 Refrigeration 35818.3.3 Heating (Cooking) 35818.3.4 Separation, Cleaning, Sanitation, and Personal Hygiene 35918.4 Potential CCPs and Preventive Controls (PCs) in the Home 36018.5 Consumer Education 36018.6 Good Consumer Practices (GCPs) 36118.7 Case Studies 36418.7.1 Fictional Case Study: Microbiological Food Safety 36418.7.2 Real Life Case Study: Allergen Food Safety 36618.8 Conclusion 36919 Food Safety in Foodservice Operations 37119.1 Introduction 37119.2 Mapping the Foodservice Landscape 37219.3 Quick-Service Restaurants 37619.3.1 Challenges in Quick-Service Chain Restaurants 37619.3.2 Ongoing Control of Food Safety in Quick-Serve Restaurants 37819.4 Institutional Catering 38019.5 Foodservice SMEs: Owner-led Restaurants, Cafés, and Snack Bars 38119.6 Fine Dining, Star Ratings, and Celebrity Chefs 38319.7 Mobile Foodservice: Market Stalls, Food Vans/Trucks, Festivals, and Pop-Up Facilities 38519.8 Conclusions 386Epilogue 387References 391Appendix 1 Manufacturing HACCP Case Study 417Appendix 2 Global Food Safety Resources 439Index 443

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