HACCP Concepts in Designing a Winery Sanitation/Quality Program

1. HACCP Concepts in Designing a Winery Sanitation/Quality Program Michael S. Ramsey Teaching Laboratory Manager UCD mramsey@ucdavis.edu

2. 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.

3. 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.

4. What is HACCP? • “Hazard Analysis and Critical Control Points”. • This program is often cited as a very successful collaboration between industry and government.

5. 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.

6. The first HACCP foods

7. 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.

8. 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

9. 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.

10. 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.

11. 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

12. 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

13. 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.

14. Step One • CONDUCT A HAZARD ANALYSIS • Create the flowchart

16. 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.

17. 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.

18. STEP TWO • DETERMINE THE CCPS • What are CCPs and how do we determine them?

19. 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.

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

21. 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.

22. 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

23. 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

24. 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

25. 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

26. 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?

27. 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.

28. 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?

29. 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.

30. 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.

31. 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.

32. 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.

33. 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)