HACCP Concepts in Designing a Winery

Sanitation/Quality Program Michael S. Ramsey

Teaching Laboratory ManagerUCD

mramsey@ucdavis.edu

What is HACCP?

• In the early 1960s, food scientists at Pillsbury, in collaboration with NASA scientists realized that traditional food safety methods – testing and analysis - would be inadequate to guarantee food quality in space.

• Taking strategy from munitions makers, they were asked to identify certain “critical failure areas” and eliminate them from the system.

What is HACCP?

• NASA had already mandated the use of “Critical Control Points” in their engineering management, so Pillsbury adopted it for food.

• In 1971 and 1972 there were numerous incidents of botulism poisoning from commercially canned foods in the US.– The US Government asked Pillsbury to train its

inspectors and help with a new food safety program based on Pillsbury’s NASA experience, which eventually became HACCP.

What is HACCP?

• “Hazard Analysis and Critical Control Points”.

• This program is often cited as a very successful collaboration between industry and government.

• The initial HACCP system was based on three principles:– 1. Conduct a hazard analysis.– 2. Determine critical control points.– 3. Establish monitoring procedures.

• Based on its experience, Pillsbury quickly adopted two additional principles:– Establish corrective actions to take when

deviations occur at a CCP.– Establish critical limits to be enforced at

CCPs.

The first HACCP foods

HACCP Today

1. Conduct a hazard analysis.2. Determine the CCPs.3. Establish critical limit(s).4. Establish a system to monitor control of the CCPs.5. Establish the corrective action to be taken when

monitoring indicates that a particular CCP is not under control.

6. Establish procedures for verification to confirm that the HACCP system is working effectively.

7. Establish documentation concerning all procedures and records appropriate to these principles and their application.

HACCP Today

• Used in all types of manufacturing, not simply food or beverages.

• Adopted by brewers in the early 1990s.• Bruce Zoecklein has long been advocating to Midwestern

and East Coast winemakers.• Other than Bruce, not very much in English for

winemakers.– widely adopted in Asia (China) and practiced fervently

in the EU.• Legislation 2005 setting Ochratoxin A (OTA) limits in

wine at 2 ug/L (wine is 2nd largest food source)• Martínez-Rodríguez & Carrascosa; Food Control 20

(2009) 469–475

How Would We Use HACCP In A Winery?

• HACCP-like plans are used by the wine industry to help integrate chemical, physical, microbiological, sensory analyses, and sanitation practices for quality and stylistic control.

• HACCP plans can also incorporate workplace safety.

Creating a “HACCP-like” plan for the winery

• Analysis of the dangers to product quality or stylistic deviation (or worker safety).

• Identification and control of the critical steps (CCPs) in the production system.

• Chemical, physical, microbiological, and/or sensory monitoring.

• Verification.

• HACCP-like plans help to answer the following:– Why cleaning and sanitation are performed– Why each analysis is performed– Where the analysis fits into the scheme of

quality wine production– When results are needed– The specific range for each result– What to do if the results are not within

specifications

• The producer should determine when, why and how wines should be evaluated by chemical, microbiological and sensory analysis.

• Your plan may not involve merely sanitation.• We will consider only winery control points today

– Perhaps even more important for vineyard practices– Pre-harvest points may well be necessary to include

in your program– May also consider Distribution and Point of Sale; from

the vine to the glass

• Should include, as a minimum, the points in the flow diagram to follow.

• A “team” is best, but panel should include at least two people.

• The goal of HACCP is to ensure product safety and quality before, during, and after production.

Step One

• CONDUCT A HAZARD ANALYSIS – Create the flowchart

WINE PRODUCTION WHITE WINES RED WINES Grapes Grapes Crushing Crushing Pressing Fermentation Clarification Pressing Fermentation Complete Fermentation Clarification Finishing Aging Blending Fining Filtration Bottling

STEP ONE

• CONDUCT A HAZARD ANALYSIS – Create the flowchart

• Steps may be a piece of equipment or a process

– Make a list of all materials you use in the process at each step.

• Some materials may be CCPs, DE for example.

– Make a list of all microbiological, chemical, and physical hazards that would be detrimental to the quality of your product that are associated with each step.

STEP ONE

• Some steps may not have hazards associated with them.– Note the step and indicate no hazards

exist• Once you’ve designed it, “walk” it!• The flow diagram is the basis for any further

hazard analysis and to identify the critical control point(s) at each step in the process.

STEP TWO

• DETERMINE THE CCPS

• What are CCPs and how do we determine them?

What is a “CCP” in a winery?

• A “CCP” is a location or point in the process which if not correctly controlled (or a procedure not correctly followed) could result in an unacceptable process deviation – a quality failure.

• A “CCP” is also a location or point in the process where training is needed for safety purposes.

• HACCP Decision Tree from the Food and Agricultural Organization of the United Nations

• http://www.fao.org/docrep/X5625E/x5625e0f.htm

STEP TWO (cont.)

• Attach detailed descriptions of the operations, or procedures, to be carried out to the flow diagram itself– including some additional information on raw

materials, storage characteristics, harvest specs, etc. – as well as the activities to be performed during the

process (i.e. sanitation, chemical analysis, sensory analysis, additions, etc.)

– Perhaps special considerations based on unique equipment or design characteristics of the facility,or even customer and distribution problems.

Possible Critical Control Points• Crushing and destemming

– Is it important to handle fruit gently?– Is temperature of the fruit important?– Are we concerned about phenol extraction from stems or

seeds?• Prefermentation maceration

– Do we have different processes based on cultivar/time/temperature?

– aerobic vs. non– Are we adding enzymes/SO2?

• Yeast– Natural vs. cultured, species and strain, inoc. vol.

• MLF– Species and strain, inoc. vol., timing

• Fermentation– Fermentable Nitrogen

• Are we concerned?– Waterback?– TA adjustment– SO2 addition– Tannin addition– Fermentation with Oak/in Oak

• Fermenter configuration and size• Fermenter style

– Closed static fermenter– Open plastic bins

• Temperature of fermentation– Liquid vs Cap

• Cap management systems– Manual punch downs– Pumping over– Time of draining– Whole cluster pressing– Post fermentation maceration

• Pressing– Timing and pressures– Cuts?

• Role of O2

• Role of SO2

STEP THREE

• ESTABLISH THE CRITICAL LIMITS• Once the critical control points are

identified, you need to decide how important these hazards are to quality and how controlled they should be.

• A critical limit can be:– Process specs– Measurements on a process or wine sample– Or a yes/no decision

Critical Limit(s) Examples

• Are there microbiological issues at this point that could be addressed with sanitation? Is there a RLU limit?– What is the procedure, temperature, cleaning compound

etc. used?• Could oxygen have been introduced at a particular step?

Was it measured? Should it be?• Are sulfur dioxide specifications much less critical in juice

than at bottling? – What are the specifications for the two situations? – What are the expected maximum and minimum

concentrations?– How tight are the allowable ranges?– How accurate must your analysis procedure be?

Critical Limit(s) Examples

• For each analysis conducted, it is necessary to know:– the expected maximum and minimum values– acceptable values– the desired accuracy of the analysis.

STEP FOUR

• ESTABLISH A SYSTEM TO MONITOR CONTROL

• For example, if a certain sulfur dioxide level is required, do you have a means of accurately testing for sulfur dioxide?– When (or where) in the process is it

monitored? By whom?– Are you monitoring regularly? Can you verify

the results?

STEP FIVE

• ESTABLISH THE CORRECTIVE ACTION TO BE TAKEN

• For example, if the fermentable nitrogen in the juice is too low, how and when will this deficiency be corrected?

• How are sulfur dioxide “out of specification” issues to be handled?

• If luminescence readings are above the limit on bottling equipment, what is the procedure to re-clean?

• If a bottle is missing a capsule or a back label, what is the corrective action to apply either.

STEP SIX

• ESTABLISH PROCEDURES TO VERIFY YOUR SYSTEM IS WORKING EFFECTIVELY

– Keep Records! (This increases your traceability for distribution/marketplace issues as well)

– Review your records, especially calibration records or repairs to processing equipment.

– Analyze samples using a method different from the one used to monitor it.

– Send samples to a 2nd party for analysis and conduct independent audits.

– Consult your staff, especially persons regularly in charge of the particular CCPs.

– Observe the operations at the CCPs.

STEP SEVEN

• ESTABLISH DOCUMENTATION CONCERNING ALL PROCEDURES– the hazards you've discovered.– your efforts to monitor safety measures, and your

corrective actions. – Do you know the precision or accuracy of your lab

analyses? Are your sensory evaluation procedures designed to eliminate bias?

– It is just as important to routinely review these records. All information that you collect can be useful in identifying problems in your product.

HACCP Definition Summary

• Define your production process for both quality and safety, determine quality indicators and their recommended values.

• Identify critical control points in the process where specific analysis methods can monitor quality indicators.

• Establish and carry out analysis methods that will give quantitative measures of quality indicators at each control point.

• Compare measured values with recommended values.• Decide on action(s) to modify any quality deficiencies.• Carry out that action.• Assess the result of that action by further analysis.

HACCP Summary

• HACCP and HACCP-like systems are individual and based on your parameters.

• Wine “Quality” is how you – or your customer - define it.

• Winery ruins (Armenia)circa 4000 B.C.E. shows commercial wine making existed before the domestication of the horse (circa 3500 B.C.E)