HACCP Concepts in Designing a Winery Sanitation/Quality Program

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HACCP Concepts in Designing a Winery
Sanitation/Quality Program

• Michael S. Ramsey
• Teaching Laboratory Manager
• UCD
• mramsey_at_ucdavis.edu

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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.

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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 Pillsburys NASA experience,
  which eventually became HACCP.

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What is HACCP?

• Hazard Analysis and Critical Control Points.
• This program is often cited as a very successful
  collaboration between industry and government.

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• 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.

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The first HACCP foods
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HACCP Today

• Conduct a hazard analysis.
• Determine the CCPs.
• Establish critical limit(s).
• Establish a system to monitor control of the
  CCPs.
• Establish the corrective action to be taken when
  monitoring indicates that a particular CCP is not
  under control.
• Establish procedures for verification to confirm
  that the HACCP system is working effectively.
• Establish documentation concerning all procedures
  and records appropriate to these principles and
  their application.

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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) 469475

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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.

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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.

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• 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

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• 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

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• 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.

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Step One

• CONDUCT A HAZARD ANALYSIS
• Create the flowchart

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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.

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STEP ONE

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

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STEP TWO

• DETERMINE THE CCPS
• What are CCPs and how do we determine them?

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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.

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• HACCP Decision Tree from the Food and
  Agricultural Organization of the United Nations
• http//www.fao.org/docrep/X5625E/x5625e0f.htm

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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.

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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

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• 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

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• 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

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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

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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?

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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.

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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?

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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.

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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.

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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.

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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.

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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)