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 xvii

Foreword xix

Acknowledgements xxi

Glossary of Terms and Acronyms xxiii

How to Use This Book xxix

Part I Food Safety Challenges in the 21st Century 1

1 Origin and Evolution of theModern Systemof Food Safety Management: HACCP and Prerequisite Programmes 3

1.1 Historical Perspectives 3

1.2 Origin and Evolution of HACCP 5

1.3 The Necessity of Prerequisite Programmes 11

1.4 Recent Regulatory Developments in the United States 11

1.5 The Future of HACCP 12

1.6 Conclusions 13

2 Lessons Learned from Food Safety Successes and Failures 15

2.1 Introduction 15

2.2 Benefits of Using HACCP: Lessons Learned from a Successful Implementation 15

2.3 Misconceptions or ‘Failure to Understand HACCP‘ 18

2.4 Barriers to Effective HACCP Use 20

2.5 Reasons for Failure 22

2.5.1 Lessons Learned from Major Food Safety Events 22

2.5.2 Commonly Observed Mistakes in the Implementation of HACCP and Management of Food Safety Programmes 28

2.6 Difficulties with Applying HACCP through the Entire Food Supply Chain 30

2.7 Roles and Responsibilities: Lessons Learned 32

2.7.1 Industry 33

2.7.2 Government 33

2.7.3 Retailers/Foodservice Establishments 34

2.7.4 Trade and Professional Associations 34

2.7.5 Academia 35

2.7.6 Consumers 35

2.7.7 The Media 36

2.7.8 Advocacy and Pressure Groups 36

2.7.9 Influencers and Experts 37

2.8 Conclusions 37

3 Food Safety Challenges in the Global Supply Chain 39

3.1 Introduction 39

3.2 Increased Complexity of the Global Supply Chain 41

3.2.1 Economic Factors 41

3.2.2 Environmental Factors 43

3.2.3 Social Factors 47

3.3 Food Safety Issues in Global Trade 49

3.3.1 Lack of Uniformity in Regulations and Requirements 52

3.3.2 Lack of Uniformity in Standards and Audit Requirements 54

3.4 Strategic Level Responses 55

3.4.1 Government Communications Systems 55

3.4.2 Global Food Safety Private Audit Standards and Schemes 56

3.4.3 Verification and Auditor Competency 57

3.4.4 Global Food Traceability Systems 57

3.4.5 Public-Private Partnerships 57

3.4.6 FoodWaste Reduction through Labelling Improvements 58

3.5 Tactical Level Responses 58

3.5.1 Supplier Audits and Approvals 59

3.5.2 Business Continuity Planning 60

3.5.3 Sharing Technology 60

3.5.4 Shared Training and Education Resources 61

3.5.5 Increased Awareness of Emerging Issues 61

3.6 Conclusions 61

4 The Future of Food Safety and HACCP in a ChangingWorld 63

4.1 Introduction 63

4.2 Food Safety Issues 64

4.2.1 Emerging Pathogens 64

4.2.2 Changes in Distribution of Pathogens 65

4.2.3 Additional Control Measures 65

4.2.4 Antibiotic-Resistant Pathogens 65

4.2.5 Allergens 65

4.2.6 Other Chemical Hazards 66

4.2.7 Physical Hazards 66

4.2.8 Economically Motivated Contamination 66

4.3 Technology Advancements: Processing and Laboratories 67

4.4 Food Safety Management 68

4.4.1 HACCP Preliminary Steps and Principles 68

4.4.2 Additions to Current Prerequisite Programmes (Codex Principles of Food Hygiene) 70

4.4.3 The Human Factor 70

4.4.4 Global Food Safety Assurance 74

4.5 Changes in Thinking/Policy Making 78

4.5.1 Food Safety Objectives 78

4.5.2 End Product Testing 79

4.5.3 Hazard Analysis versus Risk Assessment 79

4.6 Conclusions 80

Part II Foodborne Hazards and Their Control 81

5 Recognising Food Safety Hazards 83

5.1 Introduction 83

5.1.1 What is a Food Safety Hazard? 83

5.1.2 What is not a Food Safety Hazard? 83

5.2 Biological Hazards 84

5.2.1 Epidemiology and Morbidity Statistics 84

5.2.2 Characteristics of Foodborne Illnesses 86

5.2.3 Bacterial Pathogens: Special Considerations and Features 91

5.2.4 Viral Pathogens 94

5.2.5 Prions 96

5.2.6 Protozoan Parasites 98

5.2.7 ParasiticWorms 98

5.2.8 Biological Hazards, Zoonoses, and Food Chain Biosecurity Issues 98

5.3 Chemical Hazards 99

5.3.1 Allergens 99

5.3.2 Mycotoxins 100

5.3.3 Marine Foodborne Toxins 101

5.3.4 GeneticallyModified (GM) Foods 101

5.3.5 Antibiotics 102

5.3.6 Persistent Organic Pollutants (POP) 102

5.3.7 Heavy Metals 103

5.3.8 Chemicals Used in Food Processing Environments 104

5.3.9 Chemicals Used in Food Packaging Materials 104

5.3.10 Unanticipated Potential Chemical Hazards 104

5.4 Physical Hazards 105

5.4.1 Sources of Foreign Material 105

5.4.2 Injuries Associated with Physical Hazards 106

5.5 Conclusions 106

6 Designing Safety into a Food Product 107

6.1 Introduction 107

6.2 Formulation Intrinsic Control Factors 107

6.2.1 Water Activity 108

6.2.2 pH 110

6.2.3 Chemical Food Preservatives 111

6.2.4 Oxidation-Reduction Potential 115

6.2.5 Interactions between Preservative Factors 116

6.3 Use of Experimental Design and Analysis 118

6.3.1 Challenge Testing 118

6.3.2 Accelerated Shelf Life Testing 121

6.3.3 Predictive Microbiology and Mathematical Modelling 122

6.3.4 Theory versus Reality 123

6.4 Ingredient Considerations 123

6.4.1 High-Risk Ingredients 124

6.4.2 Novel Ingredients 126

6.5 Considering the ‘Unintended’ Use 126

6.6 Conclusions 127

7 Designing a Safe Food Process 129

7.1 Introduction 129

7.2 Process Control of Microbiological Hazards 130

7.2.1 Destruction of Microorganisms 130

7.2.2 Prevention of Microbial Growth 137

7.2.3 Prevention of Contamination 140

7.3 Process Control of Chemical Hazards 143

7.3.1 Allergen Control 143

7.3.2 White Powder Control 144

7.3.3 Cleaning and Maintenance Chemicals 144

7.4 Process Control of Physical Hazards 145

7.4.1 Exclusion Techniques 145

7.4.2 Removal Techniques 146

7.4.3 Detection Techniques 147

7.5 Conclusion 147

Part III Systematic Food Safety Management in Practice 149

8 Overview of aWorld-Class Food Safety Programme 151

8.1 Introduction 151

8.2 Preliminary Concepts and Definitions 152

8.2.1 The EvolvingWorld-Class Food Safety Programme 152

8.2.2 Key Definitions of Relevance toWorld-Class Food Safety Programmes 153

8.3 World-Class Food Safety Programmes: System Elements 155

8.3.1 Safe Product/Process Design 155

8.3.2 Prerequisite Programmes 156

8.3.3 HACCP 156

8.3.4 Food Fraud and Food Defence 156

8.4 World-Class Food Safety Programmes: Fundamental Supporting Elements 157

8.4.1 Essential Management Practices 157

8.4.2 Food Safety Culture 158

8.5 World-Class Food Safety Programmes: Further Supporting Elements 158

8.6 World-Class Food Safety Programmes in the Global Food Supply Chain 159

8.7 Continuous Improvement of theWorld-Class Food Safety Programme 160

8.8 Conclusions 161

9 Building the Foundations of a World-Class Food Safety Management Programme: Essential Steps and Practices 163

9.1 Introduction 163

9.2 Essential Management Practices 165

9.2.1 Management Commitment and its Role in Food Safety Culture 165

9.2.2 Assignment of Roles and Responsibilities 166

9.2.3 Training and Education 166

9.2.4 Resource Management 172

9.2.5 Documentation 173

9.2.6 Supplier/Customer Partnerships 173

9.2.7 Continuous Improvement 173

9.3 Food Safety Culture 174

9.4 Preparation Activities for Food Safety Programmes 175

9.4.1 Preparing a Project Plan 175

9.4.2 Structure the HACCP Programme 176

9.4.3 Carry out a Gap Assessment 176

9.5 Prioritisation of Corrective Actions 183

9.6 Conclusions 185

10 Formalised Prerequisite Programmes in Practice 187

10.1 Introduction 187

10.2 Prerequisite Definitions and Standards 188

10.3 Prerequisite Programmes: The Essentials 189

10.3.1 Primary Production 189

10.3.2 Establishment: Design and Facilities 192

10.3.3 Control of Operation 194

10.3.4 Establishment: Maintenance and Sanitation 198

10.3.5 Establishment: Personal Hygiene 206

10.3.6 Transportation 207

10.3.7 Product Information and Consumer Awareness 207

10.3.8 Training 209

10.4 Prerequisite Programmes and Operational Prerequisites 210

10.5 Validation and Verification of Prerequisite Programmes 212

10.6 Further Reading on Prerequisite Programmes 213

10.7 Conclusions 214

11 Conducting a Product Safety Assessment 215

11.1 Introduction 215

11.1.1 Who Is Involved in Product Safety Assessments? 215

11.1.2 Timing of the Product Safety Assessment Process 217

11.1.3 Product Safety Assessment Process 217

11.2 Training for Research and Development Personnel 218

11.3 Example of a Product Safety Assessment 219

11.3.1 Process Flow Diagram 221

11.4 Conclusions and Principles for Effective Product Safety Assessment 223

12 Developing and Implementing a HACCP Plan 225

12.1 Introduction 225

12.2 Preliminary Concepts 226

12.2.1 HACCP Principles 226

12.2.2 The HACCP Plan and Documentation Approaches 226

12.2.3 HACCP Application Process 228

12.2.4 Codex Logic Sequence 228

12.3 Applying the Codex Logic Sequence to Develop a HACCP Plan 230

12.3.1 HACCP Study Terms of Reference and Scope 230

12.3.2 Codex Logic Sequence Step 1: HACCP Teams 230

12.3.3 Codex Logic Sequence Step 2: Product/Process Descriptions 232

12.3.4 Codex Logic Sequence Step 3: Identify Intended Use 233

12.3.5 Codex Logic Sequence Step 4: Construct Process Flow Diagram(s) 234

12.3.6 Codex Logic Sequence Step 5: On-Site Confirmation of Flow Diagram 237

12.3.7 Codex Logic Sequence Step 6: List All Potential Hazards, Conduct a Hazard Analysis, and Consider Control Measures (Apply HACCP Principle 1) 238

12.3.8 Codex Logic Sequence Step 7: Determine CCPs (HACCP Principle 2) 249

12.3.9 Codex Logic Sequence Step 8: Establish Critical Limits for each CCP (HACCP Principle 3) 252

12.3.10 Codex Logic Sequence Step 9: Establish a Monitoring System for each CCP (HACCP Principle 4) 252

12.3.11 Codex Logic Sequence Step 10: Establish Corrective Actions (HACCP Principle 5) 255

12.3.12 Codex Logic Sequence Step 11: Establish Verification Procedures (HACCP Principle 6) 255

12.3.13 Codex Logic Sequence Step 12: Establish Documentation and RecordKeeping (HACCP Principle 7) 257

12.4 Implementing a HACCP Plan 257

12.4.1 Activities for Implementation of a HACCP Plan 257

12.4.2 The Validated HACCP Plan 258

12.4.3 Implementation Action Planning 259

12.4.4 Training 259

12.4.5 CCP Management Systems 261

12.4.6 HACCP Required Activities 262

12.4.7 Verification of Implementation 263

12.4.8 Handover to Operations Staff 263

12.4.9 Considerations for Implementing Updates and Changes to an Existing HACCP System 263

12.5 Conclusions 264

13 Food Fraud and Food Defence 265

13.1 Introduction 265

13.2 Essential Definitions 265

13.2.1 Food Fraud 266

13.2.2 Food Terrorism 266

13.2.3 Food Defence 267

13.2.4 Food Protection 267

13.3 Food Fraud 268

13.3.1 The Food Fraud Problem 268

13.3.2 Learning from Examples of Food Fraud 269

13.4 Food Terrorism 275

13.4.1 Food Terrorism Examples 275

13.5 Food Defence 276

13.5.1 Food Fraud Prediction 276

13.5.2 Practical Food Defence Strategies 279

13.6 Conclusion 282

14 Maintaining and Improving a Food Safety Programme 283

14.1 Introduction 283

14.2 What Is Food Safety Programme Maintenance? 283

14.3 Responsibility for Food Safety Programme Maintenance 285

14.4 Maintenance of Prerequisite Programme Elements 285

14.5 Maintenance of HACCP System Elements 286

14.5.1 HACCP Verification Activities 286

14.5.2 HACCP Maintenance Activities 287

14.6 Maintenance of Food Fraud and Food Defence Systems 288

14.7 Use of Audit for Successful Food Safety System Maintenance 289

14.7.1 Audit Definitions 289

14.7.2 The Auditor and Audit Skills 290

14.7.3 Audit Checklists 292

14.7.4 Use of External Audit and Certification Schemes as Part of Food Safety Programme Maintenance 293

14.8 Incident Management 294

14.9 Conclusions 294

15 Food Safety Culture: Evaluate, Map, and Mature 297
Lone Jespersen, Ph.D.

15.1 Introduction 297

15.1.1 Food Safety Culture: Accepted Assumptions, Not Malicious Intent 297

15.1.2 Essential Definitions 298

15.2 Supply Chain and Critical Food Safety Behaviours 298

15.2.1 Dimensions of Food Safety Culture 300

15.2.2 Follow the Leafy Greens… 300

15.3 Organisational Culture and Food Safety 302

15.4 Evaluate and Map Food Safety Maturity 303

15.4.1 Map to Food Safety Maturity 303

15.4.2 Walking the Food Safety Talk 303

15.4.3 Importance of Using Multiple Methods to Evaluate Food Safety Culture 307

15.5 Tactics to Mature Food Safety Culture 309

15.6 Conclusions 310

Part IV Food Safety Management in Practice: Current Issues and Challenges in Areas of the Global Food Supply Chain 313

16 Food Safety in Agriculture: Determining Farm-Derived Food Safety Risk 315
Louise Manning and Pieternel Luning

16.1 Introduction 315

16.2 Notions of Food Quality and Food Safety 315

16.3 Value as a Food Attribute in Primary Agriculture 316

16.3.1 Case Study 1: BSE and the United Kingdom 318

16.4 Uncertainty and Ambiguity Affecting Risk Perceptions and Decisions 319

16.4.1 Case Study 2: Red Tractor Standards 320

16.5 Risks Inherent to Farmers’ Context Characteristics 320

16.5.1 Case Study 3: Quality Egg 325

16.6 Supply Chain Governance and Food Safety 326

16.7 Risk Mitigation at Farm Level 327

16.8 Conclusion 329

17 Helping to Overcome Food Safety Challenges in Developing Markets 331

17.1 Introduction 331

17.2 Sri Lanka Hygiene and Management Systems Development Projects 332

17.2.1 Context 332

17.2.2 Support for the Development and Implementation of Environmental Management Plans 332

17.2.3 A Manufacturer of Dairy-Based Curd and Popsicles 334

17.2.4 A Small Packaging Manufacturer in Sri Lanka 336

17.2.5 A Small Dairy (Ice-Cream) Processor 337

17.2.6 A Coconut Processor in Sri Lanka 339

17.2.7 Quality and GMP Training in Sri Lanka 340

17.3 Rwanda Dairy Development Projects 342

17.3.1 Context 342

17.3.2 A Growing Dairy Company in Northern Rwanda 342

17.3.3 Yogurt and Fermented Milk Processor 343

17.4 Bangladesh Milk Supply Chain Development Project 346

17.4.1 Context 346

17.4.2 Project 347

17.4.3 Insights and Lessons Learned 347

17.5 Key Points Learned as Assignees to a Less-Developed Country 348

17.6 Kenya Development Project: InternationalWater and Health Alliance (IWHA) 349

17.6.1 Context 349

17.6.2 Challenges in Low-Income Countries 350

17.6.3 Addressing theWater-Testing Challenge in Low-Income Countries 351

17.6.4 Accomplishments 352

17.7 Conclusions 353

18 Consumer Food Safety 355

18.1 Introduction 355

18.2 Potential Hazards 356

18.3 Potential Control Measures 357

18.3.1 SafeWater and Raw Materials 357

18.3.2 Refrigeration 358

18.3.3 Heating (Cooking) 358

18.3.4 Separation, Cleaning, Sanitation, and Personal Hygiene 359

18.4 Potential CCPs and Preventive Controls (PCs) in the Home 360

18.5 Consumer Education 360

18.6 Good Consumer Practices (GCPs) 361

18.7 Case Studies 364

18.7.1 Fictional Case Study: Microbiological Food Safety 364

18.7.2 Real Life Case Study: Allergen Food Safety 366

18.8 Conclusion 369

19 Food Safety in Foodservice Operations 371

19.1 Introduction 371

19.2 Mapping the Foodservice Landscape 372

19.3 Quick-Service Restaurants 376

19.3.1 Challenges in Quick-Service Chain Restaurants 376

19.3.2 Ongoing Control of Food Safety in Quick-Serve Restaurants 378

19.4 Institutional Catering 380

19.5 Foodservice SMEs: Owner-led Restaurants, Cafés, and Snack Bars 381

19.6 Fine Dining, Star Ratings, and Celebrity Chefs 383

19.7 Mobile Foodservice: Market Stalls, Food Vans/Trucks, Festivals, and Pop-Up Facilities 385

19.8 Conclusions 386

Epilogue 387

References 391

Appendix 1 Manufacturing HACCP Case Study 417

Appendix 2 Global Food Safety Resources 439

Index 443