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What are Preventive Controls in the Food Industry?

Preventive controls are actions your company takes to ensure the product is safe. The FDA recognizes five types of preventive controls in the Preventive Controls for Human Food rule. They are process, allergen, sanitation, supply chain, and other preventive controls.

Food companies with more than $1 million in annual revenue are required under FSMA’s Preventive Controls for Human Food rule to conduct a hazard analysis and identify preventive controls. The company will consider biological, chemical, physical, and radiological hazards. The hazard analysis drives the discussion and decisions on preventive controls. For every hazard, there are actions the company takes to control the hazard.

Most food companies have a process preventive control and monitor time and temperature. The time and temperature are combined to control a biological hazard. Most companies have a metal detector, inspection of packaging to match the product and label allergens for an allergen preventive control, and monitoring of sanitation preventive controls for the control of environmental pathogens. FDA’s current thinking on environmental monitoring is detailed in the draft Listeria guidance. Process preventive controls and sanitation preventive controls may be designed to prevent foodborne illness, but did you know most recalls are due to the hazard of allergens? The food may be perfectly made, but if the packaging is wrong, the company will have a recall. Follow this link for just one example.

Some companies have so many redundant steps that it is difficult to name the step which is a preventive control. In this case, the food safety team should talk through their process and imagine taking away a step. I talked with a company that had multiple filters for their stream of product. To name every filter as a preventive control creates a lot of work and is unnecessary. Failure of the first filters was not a food safety issue because later filters work. The company visualized which filters were the most important for food safety by visualizing the removal of each individually. Where failure could result in a food safety hazard, the step was named as a preventive control.

If the hazard is controlled by the supplier, the receiving company must verify the hazard was controlled. An example is ice cream inclusions, like nuts. Imagine how the receiving company could verify the safety. COAs of course. Will the supplier share their food safety plan? An audit is required. Does the supplier have a validated process? Supply chain preventive controls are all about verification.

In addition to the four types of preventive controls mentioned above, the FDA also gives industry the option of other preventive control. I look at this type in two ways. First, your food safety team may disagree on naming the type of preventive control. For example, is an allergen clean a sanitation or allergen preventive control? It doesn’t matter! It only matters that it gets done. The second way that other can be used is if new scientific information emerges and does not fit into one of the four types of preventive controls. Current scientific understanding (below) means that we are always learning, and new information on hazards is always emerging. With the latest information, a company may need to reanalyze their food safety plan.

Here is the definition of preventive controls from the rule:

Preventive controls means those risk-based, reasonably appropriate procedures, practices, and processes that a person knowledgeable about the safe manufacturing, processing, packing, or holding of food would employ to significantly minimize or prevent the hazards identified under the hazard analysis that are consistent with the current scientific understanding of safe food manufacturing, processing, packing, or holding at the time of the analysis.”

The knowledgeable person ultimately is a Preventive Controls Qualified Individual (PCQI) in cooperation with engineers, microbiologists, and other food safety experts. The PCQI works with his or her food safety team to write the hazard analysis and identify preventive controls. The food industry has trained over 40,000 PCQIs in less than two years. PCQIs are your go-to people for food safety. If you are a small company in need of food safety expertise, the folks at ConnectFood are here to help.

Please comment on this blog post below. I love feedback! Still have questions? The ConnectFood website has free resources; click here to Contact us.

Kathy Knutson, Ph.D., Lead Instructor for Preventive Controls for Human Food (PCHF), Preventive Controls Qualified Individual (PCQI), and trained in prevention of Intentional Adulteration (IA). She has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

September 18, 2017: Enforcement Date for Food Safety Plans

I am writing this on September 18th, 2017. For over a year I have trained people in workshops that this date is the FDA enforcement date for all food companies as regulated under the Food Safety Modernization Act (FSMA)’s Preventive Controls for Human Food rule. The small companies had more time for compliance, but this is it. Time is up.

Going forward from this day, all food companies in the United States earning more than $1 million in annual revenue must have a written food safety plan. The written food safety plan starts with a written hazard analysis and ends with a written recall plan. The food safety plan must meet the requirements in Subpart C of the Preventive Controls for Human Food rule. Today changes the way I teach, the way FDA enforces, and the way food companies prove food safety.

Even though today is the day, word on the street is that the FDA is a little behind on FSMA inspections. The FDA has done a great job training inspectors, providing guidance, and giving inspectors the tools they need. I hear that FSMA inspections will be more like audits: with the emphasis on review of the food safety plan and employee training records. There will be less time walking the line and more time reviewing monitoring and verification records. That being said, most FDA inspections are still for Good Manufacturing Practices, found in Subpart B of the Preventive Controls for Human Food rule. If your company manufactures a product that has been recalled by a competitor or is known to be under high scrutiny by the FDA, then you should be prepared for an inspection in the near future. If not, you may have more time to prepare.

Are you feeling overwhelmed? Did you find this blog post because your food safety plan is not finished or you feel it is lacking? I do not want you to feel alone or isolated from the resources and help you need. There are plenty of food companies still writing their food safety plans, so you are in good company if yours is not yet complete. You have landed in the right place – let ConnectFood help you get it done!

ConnectFood is a great tool to write your food safety plan. You can choose the free option, which is a good place to start, or you can subscribe for a low, reasonable cost. By subscribing, you will have access to the ConnectFood experts, like ConnectFood CEO Matthew Botos, myself, and other ConnectFood experts. If we don’t have the answer, we have a vast network of food safety experts to get you the answers you need.

Please comment on this blog post below. I love feedback! Still have questions? The ConnectFood website has free resources, and the folks at ConnectFood are here to help! Contact us.

Kathy Knutson, Ph.D., Lead Instructor for Preventive Controls for Human Food (PCHF), Preventive Controls Qualified Individual (PCQI), and trained in prevention of Intentional Adulteration (IA). She has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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If I Am Compliant with a Third-Party Audit, Am I FSMA-Compliant?

One of the biggest challenges for a company and its Preventive Controls Qualified Individual (PCQI) is organizing both the food safety plan and materials for an audit. The food safety plan will be reviewed by the local, state, or FDA inspector. Some companies are under USDA inspection as well. In my experience, most food companies have a third-party audit for BRC, SQF, or ISO 22000 certification or with an auditing firm specializing in food manufacturing. How do you prepare for both?

There are different requirements for a government inspection and a third-party audit. The inspection is driven by public health and regulations. Food facilities will be inspected against the requirements for Good Manufacturing Practices, hazard analysis, preventive controls, and recall plan found in the Preventive Controls for Human Food rule. Quite frankly, the government is not concerned at all with your audit criteria. The focus will be on public health and FSMA rules. Going forward, FDA inspections will evolve in to more audit-like activities with the emphasis on record review. The PCQI is required to organize or oversee the organization of records. The goal is to be inspection-ready at all times.

Much of the material that is required for an audit is the same for an inspection. Each certification or auditing body has their own requirements, and often the PCQI has the responsibility of organizing these materials also. Do you need help with organization? I encourage PCQIs whom I train to find that one person at work who loves office supplies. Put them in charge of labeling and storing materials. Trust me, they will love it! Also, find the person who is exceptionally good at organizing electronic documents. Put them in charge of developing the system of storage and retrieval. The PCQI just needs to know where paper and electronic files are and how to access them.

Do you remember Venn diagrams? List everything you need for an inspection in one circle. List everything you need for an audit in a second circle. What overlaps, and what is unique? One option is duplicating common records for both inspection and for auditing. Another option is to keep records unique to an inspection separate from records unique to an audit and have one record of common records. The inspector will not review records unique to an audit. As you are working through this organization, focus on the best location for individual records, in general. Records for an inspection can be paper or electronic, in a format of your choice. There is no mandate for use of forms. Focus on what makes sense for storage and then retrieval of records.

Let’s go back to the original question. If I am compliant with a third-party audit, am I FSMA-compliant? Maybe; it depends. The Preventive Controls for Human Food rule requires a written hazards analysis which identifies hazards requiring a preventive control. The preventive controls go beyond process preventive controls to include allergen, sanitation, and supply chain preventive controls. If all the preventive controls are addressed in the audit requirements, then you are covered for both an inspection and audit. Beyond the Human Food rule, are you compliant with the Sanitary Transportation rule? In 2019, compliance with the Intentional Adulteration rule takes effect. Are you required to comply with any of the other FSMA rules? The answer is complicated.

Still have questions? The ConnectFood website has free resources, and the folks at ConnectFood are here to help! Contact us.

Kathy Knutson, Ph.D., Lead Instructor for Preventive Controls for Human Food (PCHF), Preventive Controls Qualified Individual (PCQI), and trained in prevention of Intentional Adulteration (IA). She has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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Food Allergens: Eight Key Points

I have been teaching for over a year from the Preventive Controls for Human Food curriculum and feel quite comfortable with the topic of food allergens. I heard a talk by Dr. Steve Taylor, Co-Director and Founder of the Food Allergy Research and Resource Program. These are eight key points I learned.

  1. The science of food allergens is new. Food allergens were recognized in 1988. An article in the Journal of the American Medical Association from a physician at the Mayo Clinic reported eight deaths associated with the consumption of food and development of an allergic response. I don’t know the details, but I do know that 1988 was not a long time ago.
  2. Besides the United States, Canada, the EU, FAO and Codex Alimentarius recognize the Big 8 allergens. The Big 8 are dairy, egg, peanut, tree nuts, fish, shellfish, soybeans, and wheat. I wrote that list off the top of my head! Teaching the workshop helps. In the United States, the Big 8 are regulated under the Food Allergen Labeling and Consumer Protection Act of 2004. Other countries may recognize other allergens or include sulfites, which are technically not allergens.
  3. The Canadian Food Inspection Agency pulls food from the shelf and tests for undeclared allergens. Let that sink in.
  4. Very few universities teach the science of food allergens. With food allergens being the number one cause of recalls and food packaging being most responsible, students need to understand quality assurance in a food manufacturing facility and effective methods for cleaning to remove allergens.
  5. Fourteen different companies make test kits for allergens. Buyer beware. There are sensitivity and matrix differences that will get you significantly different results. You are not mandated, but are highly encouraged, to validate your allergen clean process.
  6. Food allergens cause up to 40% of eczema.
  7. Physicians were wrong to tell parents to not introduce peanut butter to infants. The American Academy of Pediatrics guideline for introducing peanut butter is at 4-6 months for infants at highest risk with other food allergies or severe eczema and earlier for infants at lower risk. It is best to blend the peanut butter in another food, to avoid its choking hazard. A peanut butter campaign for pediatricians is needed to reverse the thinking of physicians and well-meaning grandparents. Soon peanut patches will be available, like the technology of nicotine patches.
  8. A safe dose of each allergen does exist. While the US currently has a zero-tolerance policy for allergens, more research is needed to understand low thresholds for each allergen where an allergic response would not occur. In the future, we may move to defect action levels being allowed for each allergen, as the lowest amount allowed in food at a safe level for all.

Still have questions? The ConnectFood website has free resources, and the folks at ConnectFood are here to help! Contact us.

Kathy Knutson, Ph.D., Lead Instructor for Preventive Controls for Human Food (PCHF), Preventive Controls Qualified Individual (PCQI), and trained in prevention of Intentional Adulteration (IA). She has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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Supply Chain Preventive Controls

You have a supply chain program. The supply chain program is a prerequisite programfor the safe manufacture of your product. For your ingredients, packaging and other materials, you are sourcing the best materials at the price you are willing to pay. For each ingredient, you have agreed upon specifications with your supplier. Some of those specs are sensory-related, like color, and affect quality. Some of those specs are chemical, like pH or moisture content. Some of those specs are microbiological, like Aerobic Plate Count or absence of Salmonella.

  1. Supply chain preventive controls are required for ingredients where YOUR suppliers control the hazards.
  2. A supply chain preventive control is required for imported packaging when a hazard is identified

The second requirement above is enforced under the Foreign Supplier Verification Program (FSVP) rule. Do you have imported ingredients? These must meet the same food safety standards as domestic ingredients, under the FSVP rule.

Only for those ingredients where you have identified a hazard requiring a preventive control AND the preventive control is a supply chain preventive control, are you REQUIRED to have a supply chain preventive control in your written food safety plan.

Most food manufacturers do not have a supply chain preventive control.

Why would you not have a supply chain preventive control?

  1. You have not identified a hazard in an ingredient or packaging.
  2. You identified a hazard and are controlling the hazard under your own roof.
  3. Your customer will control the hazard.

The good news is there is no validation of a supply chain preventive control! The Preventive Controls for Human Food rule only requires validation of process preventive controls. If you want to read the requirements for supply chain preventive controls in the FDA rule, follow the previous link and find Subpart G at the end of the rule. However, I recommend starting with the FDA At-a-glance document which provides a neat summary of the rule.

Paperwork! Paperwork! Yes, it is all about verification. Include verification of your supply chain preventive control in your food safety plan. Your FDA inspector will ask to see it. Supplier verification is discussed in a separate blog post.

Still not sure if you have a supply chain preventive control? The ConnectFood website has free resources, and the folks at ConnectFood are here to help! Contact us.

Kathy Knutson, Ph.D., Lead Instructor for Preventive Controls for Human Food (PCHF), Preventive Controls Qualified Individual (PCQI), and trained in prevention of Intentional Adulteration (IA). She has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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Sanitation Standard Operating Procedures (SSOPs)

In the blog post, The Basics of Sanitation in the Food Industry, I laid the foundation for a successful sanitation program. I discussed:

  • What is soil?
  • The sanitation crew members are your most valuable employees.
  • There are four crucial factors for successful cleaning and sanitizing.
  • What are clean-in-place (CIP) and clean-out-of-place (COP) procedures?

Sanitation crews work hard. Sanitation crews have a lot of turnover and require extensive training and monitoring. The crew must be supplied with the resources they need to do the job right. Crew members must be trained to handle chemicals safely and wear appropriate personal protective equipment. The crew is supplied with EPA-registered cleaning and sanitizing chemicals and follow the manufacturer’s directions. After training and when an employee’s performance is good, please pay them well.

On this foundation, companies will build a sanitation program with training records, Sanitation Standard Operating Procedures (SSOPs), and monitoring of sanitation preventive controls.

Document training.

Every sanitation crew member is a qualified individual as defined by the Food Safety Modernization Act (FSMA) final rule for Preventive Controls for Human Food. FSMA requires documented training records. Most companies fulfill this function through human resources, but owners of small companies may be doing this record-keeping. Because training records are required, you must be ready for a federal or state inspector to review the training records. During the on-boarding process of a new sanitation crew member, document the training. Document a follow-up observation to confirm the work is being done correctly. Document additional training as the employee takes on more responsibilities.

Document cleaning and sanitizing procedures.

SSOPs are detailed step-by-step procedures and can be written with your chemical supply company. The chemical supply company should have resources to answer all your questions. The SSOPs will be tailored to your manufacturing equipment, your product, and your cleaning and sanitizing procedures. Beyond your chemical supply company, there is a wealth of information to sift through on-line. ConnectFood provides resources on their site and will match you up with experts in the design of cleaning and sanitizing programs.

Your company may already be doing all the right steps for cleaning and sanitizing, and that is great! Attaining clean and sanitary equipment as well as manufacturing environments supersedes all other sanitation team goals. However, written SSOPs will help to ensure that all sanitation crew members are following the same steps in the way the procedures were designed. Written SSOPs are critical to training. Remember, there is usually great turnover in sanitation crews, and new employees are frequently being on-boarded. If crew members are unsure about a step or disagree about a step, the written SSOP will explain the procedure to follow. If there are deviations, the written SSOP will get the process back on track.

I highly encourage clients to write SSOPs with pictures of the chemical labels, tools being used on equipment, clean-in-place control panels and tanks, and the finished job of clean surfaces. A picture is worth ten thousand words, said Fred R. Barnard. Click here to see a splendid example of an SSOP with pictures that I found on-line.

Effective SSOPs are key in our complex world of allergen control. Does your product contain one or more allergens? The big eight regulated by the FDA are wheat, soy, egg, milk, peanut, tree nuts, fish and shellfish. If you make a product which contains an allergen and then use the same line to make another product without the allergen, you must have a complete allergen clean step. The clean step is designed to remove residue of the allergen, so that cross-contact into the next product does not occur. In this case you would have a preventive control for the allergen.

Monitor cleaning and sanitizing.

If you have an allergen clean step or an environmental monitoring program as required by the FSMA Preventive Controls for Human Food rule, you will have a preventive control in your cleaning and sanitizing program. With a preventive control comes the requirement to monitor and document the step. Record-keeping proves you did what you say you are doing in your SSOPs. Keep this simple! Here are examples of what you can record:

  • Visual check after cleaning with a simple pass/fail
  • ATP test result
  • Amount of cleaner added to what amount of water
  • pH of cleaning solution
  • Concentration of sanitizer with a dip test strip
  • CIP tank temperature
  • CIP run time on a recording chart
  • Sanitation supervisor checks that an allergen clean was done after production with an allergen

Use this list as a menu of choices and add your own options. If this information creates more questions, seek out resources. The science of cleaning and sanitizing is vast, in which some people have devoted their entire careers. The concept is that you must prove that you did what you say you are doing in your SSOPs. If critical parameters for successful cleaning and sanitizing are time, temperature, and concentration, then how are you going to document the data?

The search for forms and checklists can be overwhelming, and the ConnectFood website has free resources. The partners at ConnectFood are here to help! Contact us.

Dr. Kathy Knutson has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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Recall: Lessons Learned – Part 2

In a previous ConnectFood blog, Recalls: Lessons Learned, I wrote about some personal experience working with industry during recalls. I discussed:

  • Are you sure you must initiate a recall?
  • Get yourself a good lawyer.
  • Don’t move that product!

There are two important reasons to have a written recall plan. First, the rule requires it, and, second, the written recall plan will get you organized in the case of an actual recall.

There is a requirement for a written recall plan in the rule, Current Good Manufacturing Practice, Hazard Analysis, and Risk-based Preventive Controls for Human Food. In Subpart C of the rule, any facility that manufactures, processes, packs, or holds food must complete a written hazard analysis. There are facilities which are exempt from a hazard analysis. Farms are exempt. Facilities earning an average of less than $1,000,000 in revenue are exempt. Food service operations like grocery stores and restaurants are exempt. If a food facility does not perform a hazard analysis, the facility must provide evidence of oversight by a non-federal entity, like a state department of agriculture or a local health department.

It is in the hazard analysis that hazards requiring a preventive control are identified. Right up front in Subpart C we see the Contents of a food safety plan

, and (4) The written recall plan as required by § 117.139(a).

Turning to 21 CFR 117.139(a), we see Recall plan.
For food with a hazard requiring a preventive control:
Does your product potentially have a hazard? Have you identified a hazard requiring a preventive control in the hazard analysis? If you have a ready-to-eat product, you have a hazard, namely an environmental pathogen. If your product has an allergen, you have a hazard. Does your process have metal-on-metal or other physical hazards?

If you have identified a hazard requiring a preventive control in the hazard analysis, you must have a written recall plan as part of your food safety plan.

The recall plan must include written procedures which the company will follow in the event of a recall. Most recalls are announced on Fridays, and then it is all hands-on-deck. The recall plan must name the position of who will do each procedure. You can include names and contact numbers in the recall plan; just remember to keep it updated. Here are some examples. Who is the:

  1. Single person to initiate the recall. Who has the responsibility to pull the trigger on a recall?
  2. Internal recall coordinator. This person may not be a Preventive Controls Qualified Individual.
  3. FDA recall coordinator
  4. State recall coordinator
  5. Accountant. A recall is going to be costly.
  6. Attorney or firm for the recall. Find an attorney who has recall experience.
  7. Contact for communication to the public and press. The public must be notified of the hazard.
  8. Sales personnel who must notify each customer, communicate if the product is to be returned or disposed, and calculate the daily effectiveness check which accounts for how much product has been recovered.

A team of experts must decide the fate of the recalled food. The company will work with the state and/or FDA recall coordinator, attorney, quality assurance personnel, and contract lab. The company may hire a consultant to investigate the cause of the hazard and advise through the recall. If a plan is developed for the food to be reconditioned, reprocessed including relabeling, reworked, diverted, or destroyed, the company will present the plan to the FDA for acceptance.

A mock recall is not required, but highly encouraged.

A mock recall is when the recall team tests and updates the information in the written recall plan. I was reviewing a food safety plan with a client, and we came to the recall plan section. The quality manager informed me that she had just emailed with the FDA recall coordinator during the previous week, when I asked about mock recalls and the testing of the plan. The contact information was on the email signature for the FDA recall coordinator. On a whim, I said let’s call the number. The recorded message told us that the person could no longer be reached!

Since the mock recall is not required, the company will determine the frequency of the mock recall and if the date is announced or surprise. There are advantages and disadvantages both ways. The important concept in a mock recall is to go one step back to the source of an ingredient and one step forward to your customers. For every mock recall you do, take the practice seriously, and you will learn more about your systems and become more organized in your company.

Unfortunately, food recalls are an every-day occurrence in the food industry. Not only is a written plan required by law, but the written recall plan will help your company be organized in the case of an actual recall.

The search for forms and checklists can be overwhelming. The ConnectFood website has free resources. After you sign in for free, you will have access to forms and checklists. The folks at ConnectFood are here to help! Contact us.

Dr. Kathy Knutson has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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Recalls: Lessons Learned

In the last year, I have worked side-by-side with industry folks as they navigate the aftermath of a recall. Every recall is unique and presents its own unique challenges, but here are some lessons I learned and can share with you. That is, most of this experience remains confidential.

Are you sure you must initiate a recall?
As a food microbiologist with expertise in lab methods, you need someone on board who understands the testing methods. You can find this expertise with your contract lab or with a consultant, if you don’t have it in-house. If you are initiating a recall due to a pathogen, you need to understand that these tests are comprised of many steps, and therefore days, before a positive pathogen test is confirmed. If that concept is foreign to you, find your person who is going to ask what method was performed and what was the result at every step. Where was the test performed and by whom? Labs make mistakes! Be absolutely certain that the positive pathogen result is true before initiating a recall. I have a story about this that is so bad, I can’t even put it in writing. Warning: be very certain.

Get yourself a good lawyer.
My cousin Vinny is not qualified to be your recall lawyer. Most companies use an outside lawyer or firm for business dealings on a routine basis. Your company attorney may be a relative or friend. This is not the person to work with you in a recall. The lawyer must have experience communicating with FDA. I have heard stories of lawyers thinking they are going to strong arm the FDA, they tell off the FDA, and the food facility just gets greater scrutiny and ends up doing even more work for the FDA. There are lawyers and firms who specialize entirely in working with the food industry and its government agencies. Hire a great recall lawyer. It is going to cost you a lot of money. Recalls cost a lot of money. If you want to fix the problem and resume operations, hire a great food recall lawyer.

Don’t move that product!
After a recall has been initiated with the codes of the recalled product, you probably will have product on site. It will be in the way. You will want to move it out of the way and into long-term storage. Don’t move that product, unless you have written permission from your state or federal recall coordinator. From my experience with product contaminated with a pathogen, that product is now considered hazardous material and must be handled as hazardous material. First, that means you must protect your workers, so that they do not become contaminated. The recall coordinator will want to know how much product was produced, where it went, and how much is under your control on-site or in company-owned warehousing. Once you have that information, you may present a plan for storage and moving the product into storage. To move the product during a recall looks nefarious, and you do not need any extra headaches during the recall.

Unfortunately, food recalls are an every-day occurrence and no company is exempt from the possibility. As much as possible, be prepared. If you are in a recall, be smart. I hope you can learn from these lessons.

The search for forms and checklists can be overwhelming. The ConnectFood website has free resources. After you sign in for free, you will have access to forms and checklists. The folks at ConnectFood are here to help! Contact us.

Dr. Kathy Knutson has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

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FDA and the State of Wisconsin Agree to Recognize Each Other’s Inspections

At the Food Safety Summit 2017 I heard an announcement that piqued my interest. The FDA and my home state of Wisconsin have an agreement for recognizing the other’s inspections. There will not be duplicate inspections! That is great news. Wisconsin Department of Agriculture, Trade and Consumer Protection (WDATCP) and the FDA Minneapolis District Office (MN‐ DO) have developed a process for sharing inspection reports, work plans and establishment inventories; read more about that agreement here.

First, I want to state the obvious. That’s the way it should be. I feel for the food companies that have more audits and inspections than there are months in the year. Inspections are time-consuming and costly to business. Food prices include the cost of audits and inspections.

This was a big announcement at one of the keynote presentations in front of a packed room. It was big, because that is not what is normally done. Even though the state and FDA inspectors use the same federal rules and have the same goals, they rarely coordinate inspections, resulting in duplicity.

The other reason this agreement makes sense is that both FDA inspectors and state inspectors are going through the same training on the FSMA rules. Matt Botos, ConnectFood CEO, and I know, because we trained them. For the last year I have had state of Wisconsin inspectors in my Wisconsin workshops and FDA inspectors in workshops across the nation. Everyone feels better knowing that FDA inspectors, state inspectors and industry are all in the room for training together. I have only had good experiences with exchange of information. I did not get a sense in the classroom that industry was shy about asking questions, which one might fear. Inspectors were honest about where they were in the process of learning and enforcing the Preventive Controls for Human Food (PCHF) rule. As I have attended training, listened and read about the roll out of other FSMA rules, I have heard over and over that FDA plans to train inspectors with industry, following the training model of the PCHF training. That is more good news.

At Food Safety Summit 2017 I confirmed that FDA is conducting 300 PCHF inspections for fiscal year 2016-2017, the year ending in September. These will be at businesses with more than 500 employees. Other inspections beyond the 300 will be GMP inspections and are designed to educate on PCHF. The food industry can relax (a bit) in the knowledge that the FDA is getting trained alongside industry and will use inspections as an opportunity to educate on FSMA.

Dr. Kathy Knutson has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.

Risk-based Preventive Controls

If you are new to the food manufacturing industry or at least new to food safety, you may not know that the food industry heavily relied on finished product testing to determine safety. It wasn’t until the US manned space program was developed in the 1960s that industry looked at building safety in to the process. Now we look more at farm-to-fork and identify preventive controls outside of processing, as well as within processing. Because of this all-inclusive trip down the food highway, some managers have a difficult time choosing the controls most important to food safety.

One analogy I use is my frightening drive from Green Bay to Chicago one January. I worked until 6:30 pm and left Green Bay in the dark. As I drove out of Green Bay and into the darker countryside, it started to rain. The rain mixed with buckets of snow that alternated between rain and snow for the first hour of my drive. I was in a hurry, driving fast, and actually hydroplaned at least once. As fast as I was going, I was still being passed by semis and other trucks. By the time I reached Milwaukee, the rubber of the driver’s side wiper was flapping around and giving me a marginal view.

In this scenario, what were the most important controls for a safe drive? I stopped in Milwaukee to install a new wiper. My tire tread kept me on the road. The lights were working, as was the engine. I used my seatbelt. The air bags were assumed to be in working condition. The brakes worked. The gasoline is analogous to utilities. My cell phone was charged, if needed as a communication tool.

It was not important how much trunk space I had for my bags. It was not important that the radio worked. Optional features like automatic windows or adjustable mirrors were not important.

Similarly, much of your process is not related to safety. In the hazard analysis for our food safety plans, we are asked to identify hazards and their preventive controls. When you are deciding if a preventive control is needed, imagine taking it away. In my driving scenario, my safety would be compromised without working wipers, lights, tires, engine, seatbelt, air bags, and brakes. These parts of driving received my utmost focus that night. What, if taken away, will compromise safety?

I cannot take credit for the following analogy to define risk vs. severity, but it is a good one. When we are out walking in the world, there is a risk of getting hit and hurt by a car. It is a hazard we all experience. When I leave a building and walk through the parking lot to my car, the probability or severity of getting hit and hurt is small. It hasn’t happened yet! If I do get bumped by car, my injuries might not even be treatable. Now let’s say I walk across an LA highway-six lanes going each way. The risk of getting hit is high, and the injuries will be severe. Think about it; it is the same hazard!

Since I scored high in Harmony on the StrengthsFinder survey, I like my team to be happy and get along. If you have food safety teammates who want to list every hazard in the world in your hazard analysis, keep the peace, and go ahead and list them! Then, your team will debate the risk vs. the severity. By the way, at the end of Chapter 1 in the book for Preventive Controls for Human Food, there is a nice definition for your team of both risk and severity. If loss of control results in a class I recall due to an allergen or pathogen, then the hazard is automatically severe and must have a preventive control. Other hazards, while theoretically possible, may be concluded to be of low risk and low severity. These hazards to not require a preventive control.

As a team:

  • Identify hazards.
  • Define risk vs. severity.
  • Debate and assign risk and severity to each hazard.
  • Identify hazards requiring a preventive control.

The folks at ConnectFood are here to walk across the farm-to-fork path together, hand-in-hand.

Dr. Kathy Knutson has food safety expertise in microbiology, hazard analysis, and risk assessment. As a recovering academic, she resides in Green Bay home-of-the-Packers, Wisconsin with her brilliant husband and two handsome sons. Learn more about her consulting services at https://www.linkedin.com/in/kathyknutsonphd.