HACCP Concepts in
Designing a Winery
Sanitation/Quality Program
Michael S. Ramsey
Teaching Laboratory Manager
UCD
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/do
crep/X5625E/x5625e
0f.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 reclean?
• 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)