PchfHazard Analysis and Risk-Based Preventive Controls For Human Food: Guidance For Industry Guidance Full 01-17-2018

Hazard Analysis and Risk-Based
Preventive Controls for Human Food:

Guidance for Industry
Draft Guidance
This guidance is being distributed for comment purposes only.
Although you can comment on any guidance at any time (see 21 CFR 10.115(g)(5)), to ensure
that FDA considers your comment on this draft guidance before we begin work on the final
version of the guidance, submit either electronic or written comments on the draft guidance
within 180 days of publication in the Federal Register of the notice announcing the availability of
the draft guidance. Submit electronic comments to https://www.regulations.gov. Submit written
comments to the Dockets Management Staff (HFA-305), Food and Drug Administration, 5630
Fishers Lane, rm. 1061, Rockville, MD 20852. All comments should be identified with the
docket number FDA–2016–D–2343 listed in the notice of availability that publishes in the
Federal Register.
For questions regarding this draft document contact FDA’s Technical Assistance Network by
submitting your question
at https://www.fda.gov/Food/GuidanceRegulation/FSMA/ucm459719.htm.
U.S. Department of Health and Human Services

Food and Drug Administration
Center for Food Safety and Applied Nutrition
January, 2018
Table of Contents
Introduction & Purpose 

Chapter 1: The Food Safety Plan  
Chapter 2: Conducting a Hazard Analysis 
Chapter 3: Potential Hazards Associated with the Manufacturing, Processing, Packing, and
Holding of Human Food  
Chapter 4: Preventive Controls 
Chapter 5: Application of Preventive Controls and Preventive Control Management Components
Chapter 6: Use of Heat Treatments as a Process Control 
Chapter 7: Use of Time/Temperature Control as a Process Control (Coming Soon) 
Chapter 8: Use of Formulation as a Process Control (Coming Soon) 
Chapter 9: Use of Drying/Dehydration as a Process Control (Coming Soon) 
Chapter 10: Sanitation Controls (Coming Soon) 
Chapter 11: Food Allergen Controls (Coming Soon) 
Chapter 12: Preventive Controls for Chemical Hazards (Coming Soon) 
Chapter 13: Preventive Controls for Physical Hazards (Coming Soon) 
Chapter 14: Recall Plans (Coming Soon) 
Chapter 15: Supply-Chain Program for Human Food Products 
Chapter 16: Validation of a Process Control (Coming Soon) 
Appendix 1: Potential Hazards for Foods and Processes 
Appendix 2: Food Safety Plan Forms 
Appendix 3: Bacterial Pathogen Growth and Inactivation 
Appendix 4: Sanitation and Hygienic Zoning (Coming Soon)
Contains Non-binding Recommendations
Draft-Not for Implementation

Draft Guidance for Industry1
This draft guidance, when finalized, will represent the current thinking of the Food and Drug
Administration (FDA or we) on this topic. It does not establish any rights for any person and is
not binding on FDA or the public. You can use an alternative approach if it satisfies the
requirements of the applicable statutes and regulations. To discuss an alternative approach,
contact FDA’s Technical Assistance Network by submitting your question at
https://www.fda.gov/Food/GuidanceRegulation/FSMA/ucm459719.htm.
Introduction and Purpose
Table of Contents
I. Introduction
II. Purpose of this Guidance
III. Glossary of Terms Used in This Guidance
A. Definitions Established in 21 CFR 117.3
B. Other Terms that FDA Uses in this Guidance
IV. Table of Abbreviations Used in This Guidance
I. Introduction
In 21 Code of Federal Regulations (CFR) part 117 (part 117), we have established our
regulation entitled “Current Good Manufacturing Practice, Hazard Analysis, and Risk Based
Preventive Controls for Human Food.” We published the final rule establishing part 117 in the
Federal Register of September 17, 2015 (80 FR 55908). Part 117 establishes requirements for
current good manufacturing practice for human food (CGMPs), for hazard analysis and risk-
1 This guidance has been prepared by the Office of Food Safety in the Center for Food Safety and
Applied Nutrition at the U.S. Food and Drug Administration. Underlined text in yellow highlights
represents a correction from the draft “Introduction and Purpose” that we issued for public comment in
August 2016.
Introduction and Purpose - Page 1

based preventive controls for human food (PCHF), and related requirements as shown in Table
1.
Table 1. Subparts Established in 21 CFR Part 117
Subpart Title
A General Provisions
B Current Good Manufacturing Practice
C Hazard Analysis and Risk-Based Preventive Controls
D Modified Requirements
E Withdrawal of a Qualified Facility Exemption
F Requirements Applying to Records That Must be Established and Maintained
G Supply-Chain Program
The PCHF requirements implement the provisions of the FDA Food Safety Modernization Act
(FSMA), established in section 418 of the Federal Food, Drug, and Cosmetic Act (FD&C Act)
(21 U.S.C. 350g). Part 117 includes several complete or partial exemptions from the PCHF
requirements. See 21 CFR 117.5 for a list and description of these exemptions.
This document is directed to those persons (you) who are subject to the PCHF requirements of
part 117). Establishing risk-based preventive controls enables you to apply a proactive and
systematic approach to your food safety program through the establishment of preventive
controls designed to protect your food, and the consumer, from biological, chemical (including
radiological), and physical hazards. Risk-based preventive controls will not give you a "zero-risk”
system for manufacturing, processing, packing, and holding food; rather, risk-based preventive
controls are designed to minimize the risk of known or reasonably foreseeable food safety
hazards that may cause illness or injury if they are present in the products you produce.
This guidance is intended to help you comply with the following specific PCHF requirements
established in subparts C and G of part 117:
• A written food safety plan (FSP);

• Hazard analysis;
• Preventive controls;
• Monitoring;
• Corrective actions;
• Verification; and
• Associated records.
You only need to apply preventive controls if, after conducting a hazard analysis of the products
and processes conducted at your facilities, you identify known or reasonably foreseeable
biological, chemical, or physical hazards that require a preventive control. (Known or reasonably
foreseeable hazards are the potential hazards to be evaluated by the facility to determine
whether any require a preventive control in that facility.) We do not expect that known or
reasonably foreseeable hazards for a food require a preventive control in all facilities. We also
do not expect that all possible preventive measures and verification procedures apply to all
foods produced in your facility. For example, we would not expect you to have sanitation
controls to prevent food allergen cross-contact for a processing line that is dedicated to foods
containing only that food allergen.

It is important for you to be aware of the potential hazards that may be associated with your
food process and products. When you understand the potential hazards, it is easier to design
and implement an FSP designed to control all identified food safety hazards that may cause
illness or injury if they are present in the products you produce.
This guidance is not directed to persons who are exempt under 21 CFR 117.5. However, such
persons may find some of the principles and recommendations in this guidance helpful in
manufacturing, processing, packing, and holding human food.
We intend this draft guidance to include the 16 chapters listed in the Table of Contents. We will
announce the availability of each draft chapter for public comment as the chapter becomes
available, rather than delaying release of individual draft chapters until all the draft chapters are
available. Those chapters that you see listed in the Table of Contents as “coming soon” are not
yet available.
FDA's guidance documents, including this guidance, do not establish legally enforceable
responsibilities. Instead, guidance describes the Agency's current thinking on a topic and should
be viewed only as recommendations, unless specific regulatory or statutory requirements are
cited. The use of the word should in Agency guidance means that something is suggested or
recommended, but not required.
II. Purpose of this Guidance

The purpose of this guidance is to help you develop an FSP in accordance with the PCHF
requirements. Specifically, this document provides guidance on:
• Understanding the biological, chemical (including radiological) and physical hazards that are
commonly of concern in manufacturing, processing, packing, and holding of FDA-regulated food
products;
• Understanding the components of an FSP and the importance of each component;
• Understanding how to conduct a hazard analysis and develop an FSP for the products that you
process;
• Understanding how to identify control measures for common biological (specifically bacterial
pathogens), chemical, and physical hazards associated with many processed foods so you can apply
those controls to the hazards identified in your hazard analysis;
• Understanding how to identify and apply the preventive control management components (i.e.,
monitoring, corrective actions and corrections, and verification); and
• Understanding the recordkeeping requirements associated with the FSP and implementation of the
FSP.
We recommend that you consider how this guidance relates to each of your operations and
tailor your control strategies to the specific circumstances for the foods you process.
III. Glossary of Terms Used in This Guidance

A. Definitions Established in 21 CFR 117.3
Acid foods or Acidified foods: Foods that have an equilibrium pH of 4.6 or below.

Adequate: That which is needed to accomplish the intended purpose in keeping with good
public health practice.
Allergen cross-contact: The unintentional incorporation of a food allergen into a food.
Correction: An action to identify and correct a problem that occurred during the production of
food, without other actions associated with a corrective action procedure (such as actions to
reduce the likelihood that the problem will recur, evaluate all affected food for safety, and
prevent affected food from entering commerce).
Critical control point (CCP): A point, step, or procedure in a food process at which control can
be applied and is essential to prevent or eliminate a food safety hazard or reduce such hazard
to an acceptable level.
Environmental pathogen: A pathogen capable of surviving and persisting with the

manufacturing processing, packing, or holding environment such that food may be
contaminated and may result in foodborne illness if that food is consumed without treatment to
significantly minimize the environmental pathogen. Examples of environmental pathogens
include Listeria monocytogenes and Salmonella spp. but do not include the spores of
pathogenic sporeforming bacteria.
Facility: A domestic facility or foreign facility that is required to register under section 415 of the
Federal Food, Drug, and Cosmetic Act, in accordance with the requirements of 21 CFR part 1,
subpart H.
Food: Includes (1) articles used for food or drink for man or other animals, (2) chewing gum,
and (3) articles used for components of any such article and includes raw materials and
ingredients.
Food allergen: A major food allergen as defined in section 201(qq) of the Federal Food, Drug,
and Cosmetic Act (e.g., any of the following: (1) Milk, egg, fish (e.g., bass, flounder, or cod),
Crustacean shellfish (e.g., crab, lobster, or shrimp), tree nuts (e.g., almonds, pecans, or
walnuts), wheat, peanuts, and soybeans. (2) A food ingredient that contains protein derived
from a food specified in paragraph (1), except any highly refined oil derived from a food
specified in paragraph (1) and any ingredient derived from such highly refined oil.)
Food-contact surfaces: Those surfaces that contact human food and those surfaces from
which drainage, or other transfer, onto the food or onto surfaces that contact the food ordinarily
occurs during the normal course of operation. “Food contact surfaces” includes utensils and
food-contact surfaces of equipment.
Hazard: Any biological, chemical (including radiological), or physical agent that has the
potential to cause illness or injury.
Hazard requiring a preventive control: A known or reasonably foreseeable hazard for which
a person knowledgeable about the safe manufacturing, processing, packing, or holding of food

would, based on the outcome of a hazard analysis (which includes the severity of the illness or
injury if the hazard were to occur and the probability that the hazard will occur in the absence of
preventive controls) establish one or more preventive controls to significantly minimize or
prevent the hazard in a food and components to manage those controls (such as monitoring,
corrections or corrective actions, verification and records) as appropriate to the food, the facility
and the nature of the preventive control and its role in the facility’s food safety system.
Known or reasonably foreseeable hazard: A potential biological, chemical (including

radiological), or physical hazard that is known to be, or has the potential to be, associated with
the facility or the food.
Microorganisms: Yeast, molds, bacteria, viruses, protozoa, and microscopic parasites and
includes species that are pathogens. The term “undesirable microorganisms” includes those
microorganisms that are pathogens, that subject food to decomposition, that indicate that food
is contaminated with filth, or that otherwise may cause food to be adulterated.
Monitor: To conduct a planned sequence of observations or measurements to assess whether

control measures are operating as intended.
Pathogen: A microorganism of public health significance.
Pest: Any objectionable animals or insects including birds, rodents, flies, and larvae.
Preventive controls: 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, packaging, or holding at the time of the analysis.
Preventive controls qualified individual (PCQI): A qualified individual who has successfully
completed training in the development and application of risk-based preventive controls at least
equivalent to that received under a standardized curriculum recognized as adequate by FDA or
is otherwise qualified through job experience to develop and apply a food safety system.
Qualified individual: A person who has the education, training, or experience (or a
combination thereof) necessary to manufacture, process, pack, or hold clean and safe food as
appropriate to the individual’s assigned duties. A qualified individual may be, but is not required
to be, an employee of the establishment.
RTE (Ready-to-eat) food: Any food that is normally eaten in its raw state or any other food,
including a processed food, for which it is reasonably foreseeable that the food will be eaten
without further processing that would significantly minimize biological hazards.
Sanitize: To adequately treat cleaned surfaces by a process that is effective in destroying

vegetative cells of pathogens, and in substantially reducing numbers of other undesirable
microorganisms, but without adversely affecting the product or its safety for the consumer.

Significantly minimize: To reduce to an acceptable level, including to eliminate.
Validation: Obtaining and evaluating scientific and technical evidence that a control measure,
combination of control measures, or the food safety plan as a whole, when properly
implemented, is capable of effectively controlling the identified hazards.
Verification: The application of methods, procedures, tests and other evaluations, in addition
to monitoring, to determine whether a control measure or combination of control measures is or
has been operating as intended and to establish the validity of the food safety plan.
B. Other Terms that FDA Uses in this Guidance
Clean in place (CIP): A system used to clean process piping, bins, tanks,
mixing equipment, or larger pieces of equipment without disassembly, where interior
product zones are fully exposed and soil can be readily washed away by the flow of
the cleaning solution.
Clean out of place (COP): A system (e.g. cleaning tanks) used to clean equipment parts,
piping, etc. after disassembly.
Control point (CP): Any step at which biological, physical, or chemical factors can be
controlled.
Cleaning: The removal of soil, food residue, dirt, grease or other objectionable matter.
Control, Control measure: See Preventive controls.
Corrective action: An action to identify and correct a problem that occurred during the
production of food, including actions associated with a corrective action procedure (such as
actions to reduce the likelihood that the problem will recur, evaluate all affected food for safety,
and prevent affected food from entering commerce).
Critical limit (CL): A maximum and/or minimum value to which a biological, chemical, or
physical parameter must be controlled to prevent, eliminate or reduce to an acceptable level
the occurrence of a food-safety hazard.
Deviation: Failure to meet a critical limit.
End-Point Internal Product Temperature (EPIPT): A measurement of the internal

temperature of the product at the end of the heat process.
Environmental sample: A sample that is collected from a surface or area of

the plant for the purpose of testing the surface or area for the presence of microorganisms,
usually environmental pathogens.

Food safety plan: A set of written documents that is based upon food safety principles and
incorporates hazard analysis, preventive controls, and delineates monitoring, corrective action,
and verification procedures to be followed, including a recall plan.
Food Safety System: The result of the implementation of the Food Safety Plan.
HACCP (Hazard Analysis and Critical Control Point): A system which identifies, evaluates,
and controls hazards that are significant for food safety.
Hazard analysis: The process of collecting and evaluating information on hazards and
conditions leading to their presence to decide which should be addressed through a preventive
control.
Operating limits: Criteria that may be more stringent than critical limits and are established for
reasons other than food safety.
Prerequisite programs: Procedures, including Current Good Manufacturing Practices

(CGMPs), that provide the basic environmental and operating conditions necessary to support
the Food Safety Plan.
Severity: The seriousness of the effects of a hazard.
IV. Table of Abbreviations Used in This Guidance
Abbreviation What It Means
ABC Almond Board of California
aw Water activity
CCP Critical control point
CDC Centers for Disease Control and Prevention
CIP Clean in place
CFR Code of Federal Regulations
CGMP Current good manufacturing practice
CL Critical limit
Codex Codex Alimentarius Commission
COP Clean out of place

CP Control point
D-value Decimal reduction time
EPIPT End-Point Internal Product Temperature
EPA U.S. Environmental Protection Agency
FALCPA Food Allergen Labeling and Consumer Protection Act
FDA U.S. Food and Drug Administration
FSIS Food Safety and Inspection Service of the U.S. Department of

Agriculture
FSMA FDA Food Safety Modernization Act
FSP Food safety plan
FSPCA Food Safety Preventive Controls Alliance
HACCP Hazard Analysis and Critical Control Point
HPP High Pressure Processing
LACF Low-acid canned food
NRTE food Not ready-to-eat food
Part 117 Current Good Manufacturing Practice, Hazard Analysis, and

Risk-Based Preventive Controls for Human Food (21 CFR part
117)
PCHF “Preventive Controls for Human Food” (requirements in 21 CFR

part 117 for hazard analysis and risk-based preventive controls
for human food in accordance with section 418 of the FD&C Act)
PCQI Preventive controls qualified individual
PPO Propylene oxide
ROP Reduced oxygen packaging
RTE food Ready-to-eat food
TDT Thermal Death Time
USDA U.S. Department of Agriculture

WIP Work-in-process
z-value The degrees in Fahrenheit required for the thermal destruction

curve to cross one log cycle (i.e., for reducing the D value by a
factor of 10)


contact FDA’s Technical Assistance Network by submitting your question
Chapter 1: The Food Safety Plan
Table of Contents
1.1 Purpose of this Chapter
1.2 What is a Food Safety Plan?
1.3 Who Develops the Food Safety Plan for a Facility?
1.4 What are the Differences Between a HACCP Plan and a Food Safety
Plan?
1.4.1 Hazard Analysis and Controls to Address the Hazards
1.4.2 Monitoring
1.4.3 Corrective Actions and Corrections
1.4.4 Verification
1.4.5 Validation
1.4.6 Recall plan
1.5 What if a Facility Already Has a HACCP Plan?
1.6 What Format Is Required for a Food Safety Plan?
1
This guidance has been prepared by the Office of Food Safety in the Center for Food Safety and
represents a correction from the draft Chapter 1 that we issued for public comment in August 2016.
Chapter 1 (Food Safety Plan) - Page 1

1.7 When Are Changes Needed for a Food Safety Plan?

1.8 References

The guidance provided in this chapter is intended to help you understand what a food safety
plan is and how it differs from a HACCP plan. The PCHF requirements specify that a facility
must prepare, or have prepared, and implement a written food safety plan. See 21 CFR
117.126.
1.2 What is a Food Safety Plan?

A Food Safety Plan (FSP) consists of the primary documents in a preventive controls food
safety system that provides a systematic approach to the identification of food safety hazards
that must be controlled to prevent or minimize the likelihood of foodborne illness or injury. It
contains a collection of written documents that describes activities that ensure the safety of food
during manufacturing, processing, packing, and holding. See 21 CFR 117.126.
Below, we describe the written documents that make up the FSP (see 21 CFR 117.126(b)).
• Hazard analysis to identify whether there are hazards requiring a preventive control. This hazard
analysis must be written, regardless of whether any hazards requiring a preventive control are
identified. (Some facilities may not identify any hazards requiring a preventive control.)
• When the hazard analysis identifies hazards requiring a preventive control, the FSP also includes the
following written documents:
o Preventive controls (see 21 CFR 117.135), as appropriate to the facility and the food,
to ensure safe food is produced, including:
 Process controls
 Food allergen controls
 Sanitation controls
 Supply-chain controls
 Recall plan
 Other controls
o Procedures for monitoring the implementation of the preventive controls, as
appropriate to the nature of the preventive control and its role in the facility’s food
safety system
o Corrective action procedures, as appropriate to the nature of the hazard and the
nature of the preventive control
o Verification procedures, as appropriate to the nature of the preventive control and its
role in the facility’s food safety system
This written FSP is a record that you must maintain. See 21 CFR 117.126(c) and 21 CFR part
117, subpart F, particularly 21 CFR 117.310. In addition, you must maintain records to
document that you are implementing the FSP. (See 21 CFR 117.190.)

The FSP starts with a hazard analysis of all ingredients and process or manufacturing steps
(see Chapter 2 of this guidance). A “hazard” is any biological, chemical (including radiological),
or physical agent that has the potential to cause illness or injury. It is important to understand
that for the purposes of food safety, the term “hazard” refers only to the conditions or
contaminants in food that are capable of causing illness or injury to people. These include
hazards that occur naturally, that are unintentionally added or that may be intentionally added to
a food for purposes of economic gain (i.e., economic adulteration). Many conditions are highly
undesirable in food, such as the presence of insects, hair, filth or spoilage, and violations of
regulatory food standards. All of these defects should be controlled in food processing; often,
however, these defects do not directly affect the safety of the product. Unless these conditions
directly affect food safety, documents addressing these issues are not included in an FSP. If
the hazard analysis does not identify any hazards requiring a preventive control, the only
document in the FSP would be the hazard analysis.
1.3 Who Develops the Food Safety Plan for a Facility?

A “preventive controls qualified individual” (PCQI) must develop (or oversee the development of)
the FSP. A PCQI is a person with the education, training, or experience (or a combination of
these) to develop and apply a food safety system. A PCQI can be qualified through job
experience or by completing training equivalent to the standardized curriculum recognized as
adequate by FDA (e.g., the Food Safety Preventive Controls Alliance (FSPCA) training). The
PCQI does not need to be an employee of the facility. See 21 CFR 117.126(a) and the
definition of PCQI in 21 CFR 117.3.
The FSP must be signed and dated by the owner, operator or agent in charge of the facility
when it is first completed and whenever the plan is modified (See 21 CFR 117.310.). See
section 1.6 of this document for information on signing an FSP that consists of multiple
components such as HACCP plans, prerequisite programs, a recall plan and a variety of
procedures.
1.4 What are the Differences Between a HACCP Plan and a Food
Safety Plan?
Hazard Analysis and Critical Control Points (HACCP) is a preventive food safety strategy that is
a systematic approach to the identification and assessment of the risk of hazards from a
particular food or food production process or practice and the control of those hazards that are
reasonably likely to occur. HACCP systems have been mandated by U.S. Federal regulations
issued by the Food and Drug Administration (FDA) for seafood and juice and by the Food
Safety and Inspection Service (FSIS) for meat and poultry.
The preventive controls approach to controlling hazards used in an FSP incorporates the use of
risk-based HACCP principles in its development. (See the HACCP principles and their
application as described by the National Advisory Committee on Microbiological Criteria for
Foods.) Although an FSP and a HACCP plan are similar, they are not identical. Table 1-1
compares what is required for the elements of each type of plan. In the following paragraphs,
we briefly discuss each of these elements.

Table 1-1 Comparison of Elements of a HACCP Plan and a Food Safety Plan
Element HACCP Plan Different in Food Safety Plan
Hazard Analysis Biological, chemical, Chemical hazards include radiological

physical hazards hazards, consideration of economically
motivated adulteration (21 CFR
117.130(b)(1)(ii))
Preventive Controls CCPs for processes Process CCPs + controls at other

points that are not CCPs (21 CFR
117.135(a)(2))
Parameters and values Critical limits at CCPs Parameters and minimum/maximum

values (equivalent to critical limits for
process controls) (21 CFR
117.135(c)(1))
Monitoring Required for CCPs Required as appropriate for preventive

controls (21 CFR 117.145)
Corrective actions and Corrective actions Corrective actions or corrections as

Corrections appropriate (21 CFR 117.150(a))
Verification (including For process controls Verification as appropriate for all

validation) preventive controls; validation for
process controls; supplier verification
required when supplier controls a
hazard (21 CFR 117.155, 117.160)
Records For process controls As appropriate for all preventive

controls (21 CFR 117.190)
Recall plan Not required in the plan Required when a hazard requiring a
preventive control is identified (21 CFR
117.139)
1.4.1 Hazard Analysis and Controls to Address the Hazards
In developing a HACCP plan, the hazard analysis leads to the identification of critical control
points (CCPs) where essential process controls are needed to prevent a foodborne hazard from
causing illness or injury. Once CCPs are identified, critical limits are established that define the
operating conditions in the process that must be effectively managed and monitored to control
the hazard. When critical limits are not met, predefined corrective actions are taken. All of the
steps in a HACCP plan are recorded and verified to ensure the system is operating as intended.
The FSP also begins with a hazard analysis, which includes consideration of radiological
hazards as chemical hazards, as well as hazards due to economically motivated adulteration,
such as addition of dyes containing lead to spices to enhance color. The outcome of the hazard

analysis is the facility’s determination of whether there are any known or reasonably foreseeable
hazards that require a preventive control. In an FSP, preventive controls may be applied at
CCPs, but also at points other than at CCPs. The FSP includes control measures that, under
the HACCP approach, may have been included in prerequisite programs or CGMPs. For
example, supplier controls and food allergen controls have often been addressed through
prerequisite programs, and sanitation controls have often been addressed through CGMPs.
Process controls in an FSP will have parameters with minimum or maximum values, which are
equivalent to the critical limits for HACCP CCPs. The use of preventive controls in an FSP may
expand beyond CCPs by identifying and providing controls that may not be process-related, but
are still important in the control of a hazard. Critical limits (minimum or maximum values) may
not be practical or needed for non-process-related preventive controls, such as using hygienic
zoning controls to prevent cross-contact and cross-contamination or ensuring that suppliers
have adequately controlled hazards in the foods they are providing a manufacturer/processor.
1.4.2 Monitoring
In a HACCP plan, the CCPs are always monitored. In an FSP, preventive controls are only
monitored as appropriate to the nature of the preventive control and its role in the facility’s food
safety system, and some preventive controls that are not applied at CCPs may not be
monitored.
In a HACCP plan, corrective actions are taken for deviations from a critical limit at a CCP. An
FSP also provides for facilities to take corrective actions. However, immediate corrections (e.g.,
re-cleaning and sanitizing a line before start-up of production when food residue remains after
cleaning) may be more appropriate for some preventive controls than a specific corrective
action involving product risk evaluations of product safety for some preventive controls. The
requirements for an FSP provide this flexibility.
1.4.4 Verification
In a HACCP plan, verification activities take place for process controls to ensure the process
can control the hazards and the HACCP plan is being followed. In an FSP, verification activities
will also be applied to preventive controls, but because preventive controls are not just process
controls, there is flexibility to conduct verification activities as appropriate to the food, the facility
and the nature of the preventive control and its role in the food safety system.
1.4.5 Validation
Some HACCP systems (e.g., for juice, and for meat and poultry products) require validation of
the HACCP plan as a whole. In an FSP, validation means obtaining and evaluating scientific
and technical evidence that a control measure, combination of control measures, or the food
safety plan as a whole, when properly implemented, is capable of effectively controlling the
identified hazards. The extent of validation activities may be less rigorous for some preventive
controls than others, or may not be required (e.g., sanitation controls).
1.4.6 Recall plan
In a HACCP plan, recall plans have not been included. In an FSP, a Recall Plan must be
prepared for each product for which a hazard requiring a preventive control has been identified.

1.5 What if a Facility Already Has a HACCP Plan?

If you have an existing HACCP plan, you should determine if it satisfies all the PCHF
requirements in part 117. You can use existing programs, procedures, and records and
supplement these with any additional information required, such as a supply-chain program.
1.6 What Format Is Required for a Food Safety Plan?

There is no standardized or required format for an FSP. This guidance provides flexibility in its
approach to guide you in identifying and establishing preventive controls for different types of
hazards identified in your hazard analysis. You can use whatever format works best for your
facility, provided that the FSP includes all the required information. The formats shown in this
guidance are for illustrative purposes only and may not be complete. The FSPCA training
materials have FSP worksheets and teaching example model FSPs that may be helpful.
The FSP may consist of one or more existing HACCP plans, one or more prerequisite programs
that include food safety controls, a recall plan, a written supply-chain program, written
verification procedures such as environmental monitoring, and any other components specified
in the PCHF requirements. You have flexibility in how to organize these documents within your
FSP. One approach for organizing the FSP to allow for signing and dating it is to collect all
these documents in a single location (e.g., a binder or folder) with a cover page containing the
signature of the owner, operator, or agent in charge of the facility and the date on which the
cover page was signed. However, because the FSP also could be a set of documents kept in
different locations within the facility, another approach is for the owner, operator, or agent in
charge of the facility to sign and date a list of the relevant documents (e.g., as in a Table of
Contents).
1.7 When Are Changes Needed for a Food Safety Plan?

The FSP is a dynamic document that reflects your current hazard analysis, preventive controls,
and applicable procedures. The FSP as a whole must be reanalyzed at least every 3 years. The
reanalysis may be limited to the applicable portion of the FSP when you make changes to your
system or equipment, when you become aware of new information about potential hazards
associated with the food or your facility, when there is an unanticipated food safety problem, or
when you find that a preventive control, combination of preventive controls, or the FSP itself is
ineffective. See 21 CFR 117.170.
1.8 References
National Advisory Committee on Microbiological Criteria for Foods (NACMCF). 1998. “Hazard
Analysis and Critical Control Point Principles and Application Guidelines.” J Food Protect 61:
1246-1259.


Chapter 2: Conducting a Hazard Analysis
Table of Contents
2.2 Overview of a Hazard Analysis
2.3 Recommended Activities Prior to Conducting a Hazard Analysis
2.3.1 Conduct Preliminary Steps
2.3.2 Set Up the Hazard Analysis Worksheet
2.4 Conducting a Hazard Analysis
2.4.1 Identify Potential Hazards (Ingredient-Related Hazards, Process-Related
Hazards, and Hazards that May Be Introduced from the Environment
(Hazard Identification)
2.4.2 Evaluate Potential Hazards to Determine Whether the Hazard Requires a
Preventive Control (Hazard Evaluation)
2.4.2.1 Evaluating severity
2.4.2.2 Estimating the likely occurrence
2.4.2.3. Evaluating environmental pathogens whenever a ready-to-eat food is
exposed to the environment
1
Chapter 2 (Hazard Analysis) - Page 1

2.4.2.4. Evaluation factors

2.5 Identify Preventive Control Measures
2.6 References

The guidance provided in this chapter is intended to help you conduct a hazard analysis in
accordance with the PCHF requirements. The hazard analysis must be written, regardless of
the results of the analysis, and must include two elements: (1) a hazard identification and (2) a
hazard evaluation. You conduct a hazard analysis to identify and evaluate, based on
experience, illness data, scientific reports, and other information, known or reasonably
foreseeable hazards for each type of food manufactured, processed, packed, or held at your
facility to determine whether there are hazards requiring preventive controls. See 21 CFR
117.130.
2.2 Overview of a Hazard Analysis

Part 117 does not define the term “hazard analysis.” See Box 2-1 for a definition of “hazard
analysis” that was developed by the Food Safety Preventive Controls Alliance (FSPCA).
Box 2-1. A Definition for “Hazard Analysis”
Hazard Analysis
The process of collecting and evaluating information on hazards and the conditions leading to
their presence to determine which hazards are significant for food safety and therefore should
be addressed in a HACCP plan or food safety plan (FSP).
Food Safety Preventive Controls Alliance
This section will guide you through the steps involved in conducting a hazard analysis. The
PCHF requirements do not specify that you must use a “Hazard Analysis Worksheet” to conduct
your hazard analysis. However, you may find it useful to use such a worksheet. See Form 2-B
in Appendix 2 of this guidance and Box 2-3 in this chapter.
The PCHF requirements do not specify that you must use a certain format for conducting a
hazard analysis. You may use formats other than the Hazard Analysis Worksheet that we
provide in this guidance (including the use of a written narrative) as long as your hazard
analysis contains the elements of hazard identification and hazard evaluation.
You use the hazard analysis to determine appropriate preventive controls. Your hazard analysis
should provide justification for your decisions. You may group products together in a single
hazard analysis worksheet if the food safety hazards and controls are essentially the same for
all products in the group, but you should clearly identify any product or process differences.
Keep in mind that you will need to refer to your written hazard analysis when you reanalyze or

modify your FSP and that it can be a resource for you when you are asked by inspectors or
auditors to justify why certain hazards were or were not included in your FSP.
The hazard analysis helps you to focus resources on the most important controls applied to
provide safe food. If you do not conduct the hazard analysis correctly, and do not identify all
hazards warranting preventive controls within the food safety plan, the food safety plan will not
be effective in protecting consumers and preventing food safety issues, no matter how well your
facility follows the plan. A proper analysis of biological, chemical (including radiological), and
physical hazards associated with food ingredients, finished products, and the processes used
calls for good judgment, detailed knowledge of the properties of the raw materials/other
ingredients and manufacturing processes, and access to appropriate scientific expertise.
2.3 Recommended Activities Prior to Conducting a Hazard Analysis

Although the PCHF requirements do not specify that you must do so, we recommend that you
conduct certain preliminary steps, and set up a Hazard Analysis Worksheet, as a useful
framework for organizing and documenting your hazard analysis.
2.3.1 Conduct Preliminary Steps
Box 1-2. Preliminary Steps
1. Assemble a Food Safety Team
2. Describe the product, its distribution, intended use, and consumer or end user of the product
3. Develop a process flow diagram and verify it on site
4. Describe the process
Your written hazard analysis is part of your food safety plan, which must be prepared, or its
preparation overseen, by one or more preventive controls qualified individuals (21 CFR
117.126(a)(2)). Although the PCHF requirements do not specify that you must do so, we
recommend that a Food Safety Team of individuals with expertise in the day-to-day operations
of your facility conduct your hazard analysis under the oversight of a Preventive Controls
Qualified Individual. The individuals may include personnel from production, sanitation, quality
control, laboratory, and maintenance. Using people from different functions within the facility
can help provide a complete understanding of the process and things that can go wrong. You
can supplement the expertise of the Food Safety Team by competent technical experts from
other off-site functions within the firm (where applicable), such as research and development
(R&D), technical applications groups, and quality management, as well as from outside experts
from universities, cooperative extension services, trade associations, private consulting firms, or
other sources.
The effectiveness of your Food Safety Team will be impacted by the quality and completeness
of the information provided to them about the facility and food product(s) to be evaluated.
Therefore, in order for your Food Safety Team to conduct the hazard analysis, we recommend
that you define and document the following details for the facility:

• Product description, including its distribution, intended use, and identification of consumer or end
user;
• Process flow diagram; and
• Detailed process description to supplement the process flow diagram.
A product description and how the product will be distributed helps team members understand
elements of the product that may impact food safety, such as whether temperature controls are
needed during distribution. The description should include the full name of the finished product,
including descriptors such as ready-to-eat (RTE), frozen; the packaging type and material; and
storage and distribution details. Understanding how the product will be used by the consumer
(e.g., consumed with or without further processing, such as cooking) and knowing the intended
consumer of the product (e.g., whether the food is intended for general public or specifically
intended for a more susceptible population such as infants and young children (e.g., infant
formula), the elderly (e.g., foods manufactured for nursing homes), or immunocompromised
persons (e.g., foods manufactured for hospitals) helps to identify hazards of particular concern
and the need for more stringent controls or verification activities.
The purpose of a process flow diagram is to provide a clear, simple description of the steps
involved in the processing of your food product and its associated ingredients as they “flow”
from receipt to distribution. The process flow diagram should cover all steps in the process that
the facility performs, including receiving and storage steps for each raw material or other
ingredient, preparation, processing, packaging, storage and distribution of the product.
Additionally the process flow diagram should identify the equipment (e.g., pumps, surge tanks,
hoppers, fillers) used in the operations. An accurate process flow diagram serves as a useful
organizational format for elements of the food safety plan, because it identifies each of the steps
that must be evaluated in the hazard analysis. You should verify the process flow diagram on-
site in order to ensure no steps have been overlooked.
The purpose of a detailed process description is to explain what happens at each of the process
steps. Information such as the maximum length of time a food is exposed to ambient
temperature during processing, whether a food is handled manually, and whether rework is
incorporated into product can be important for an accurate hazard analysis.
2.3.2 Set Up the Hazard Analysis Worksheet
Once you have assembled the Food Safety Team and started gathering the information you will
use in your hazard analysis, we recommend that you set up a document that you will use to
organize the hazard analysis. In this guidance, we describe how to set up an adaptation of the
“Hazard Analysis Worksheet” used in HACCP systems to organize your hazard analysis. In this
section of this chapter, we discuss how to set-up this worksheet (see Box 2-3, which shows a
form adapted from a form used by the FSPCA). In the next section of this chapter, we provide
details that will help you use the worksheet to conduct your analysis.
• Column 1: Here, you will list (1) receipt of ingredients used in the process as a means of identifying
hazards associated with an ingredient (you may group some ingredients, e.g., “spices”); and (2)
processing steps. The process flow diagram recommended as a preliminary step (see Box 1-2) can
help you to identify the processing steps that are included in the hazard analysis.
• Column 2: Here, you will list the results of your hazard identification – i.e., the food safety hazards
that potentially could be introduced, controlled, or enhanced at this step (known or reasonably
foreseeable hazards). Include all ingredient-related hazards, process-related hazards, and hazards
that may be introduced from the environment.

• Column 3: Here, you will record the conclusions of your hazard evaluation – i.e., the determinations
you make of whether each listed food safety hazard requires a preventive control (Yes or No).
• Column 4: Here, you will record the reasons that led to the conclusions of your hazard evaluation
(i.e., the Yes/No conclusions listed in column 3). Explaining your reasons for a “No” conclusion can
be just as important as explaining your reasons for a “Yes” conclusion. To be thorough and to have
readily available answers to questions about your hazard analysis, you may find it useful to take a
conservative approach by listing in Column 2 several potential hazards even though they clearly do
not require a preventive control (especially when there has been significant debate over whether
something is actually a potential hazard for the facility), and explain the reasons for your “No”
conclusion. This can be useful both during your own review of your food safety plan and during
review of your food safety plan by others – e.g., if an inspector or auditor questions whether a
particular hazard was considered.
• Column 5: Here, you will identify preventive controls that will significantly minimize or prevent the food
safety hazard (e.g., process, allergen, sanitation, supply-chain or other) for those hazards you
identified as requiring a preventive control (i.e., a “Yes” in column 3).
• Column 6: Because the worksheet breaks your production process into multiple steps, and the
preventive control may be applied at a step in the process other than the step where you listed the
hazard, you specify whether the preventive control will be applied at this particular step (Yes/No). It is
important to note that identifying a hazard at a processing step as one that requires a preventive
control does not mean that the hazard must be controlled at that processing step.

Box 2-3. Example Hazard Analysis Work Sheet (Also see Form 2-B, Appendix 2) 2
(1) (2) (3) (4) (5) (6)

Ingredient / Identify potential Are Justify your What preventive Is the
Processing food safety any potential decision for control measure(s) preventive
Step hazards food safety column 3 can be applied to control applied
introduced, hazards significantly at this step?
controlled or requiring minimize or (Yes/No)
enhanced at this preventive prevent the food
step control? safety hazard?
B = biological (Yes/No) Process including
C = chemical, CCPs, Allergen,
including Sanitation, Supplier,
other preventive
radiological
control
P = physical
2.4 Conducting a Hazard Analysis

2.4.1 Identify Potential Hazards (Ingredient-Related Hazards, Process-Related
Hazards, and Hazards that May Be Introduced from the Environment (Hazard
Identification)
See 21 CFR 117.130(b).
We recommend that you start your identification of hazards potentially associated with a food or
process (the “known or reasonably foreseeable hazards") with a brainstorming session to
generate a list of biological, chemical, and physical hazards. Consider the following as you work
through this process:
• Information about the product description, intended use, and distribution.

• In-plant experience regarding the likelihood of hazards being associated with the finished products.
This may include information from product testing results, consumer complaints, or knowledge of
2
Adapted from a form available from the FSPCA in “FSPCA Preventive Controls for Human Food
Training Curriculum, First Edition – 2016.” The 2016 FSPCA form includes some additional features,
such as a separate column for “Yes” and “No” responses and a separate row at each step for biological,
chemical, and physical hazards (labeled B, C, and P, respectively). You can obtain the FSPCA form,
including any later version if the form changes, from the FSPCA website
(https://www.ifsh.iit.edu/sites/ifsh/files/departments/fspca/pdfs/FSPCA_Ap2_Worksheets__V1.1_Fillable.p
df)

facility personnel about the condition, function, and design of the facility that may be relevant to
contamination.
• Raw materials and ingredients used in the product. Hazards, such as food allergen hazards or
pathogens known to be associated with specific types of foods, may be introduced during product
formulation. For example, mayonnaise is formulated with egg, which is a food allergen; “egg” must be
included on the label and the mayonnaise may be a source of allergen cross-contact in your facility.
• Activities conducted at each step in the manufacturing process. Some processes may introduce
hazards (e.g., a broken chopping blade can introduce metal fragments; a broken glass container can
introduce glass fragments; improper cooling can allow low numbers of microbial pathogens to
increase).
• Equipment used to make the product. Some types of equipment are more difficult to clean than others
or are more prone to damage, which may increase the risk of hazards (e.g., biological or physical)
being introduced into the product.
• Types of packaging and packaging materials. Reduced oxygen packaging, used to increase shelf life
(e.g., potato salad packaged in a plastic container with a snap lid), may create an environment that
supports the growth of Clostridium botulinum (C. botulinum).
• Sanitary practices. You should consider the sanitary conditions within the processing facility (e.g.,
cleanliness of equipment and processing environment) and employee hygiene when identifying
hazards. Hard-to-clean equipment may result in pathogen harborage sites. Producing foods with
different food allergens on the same line may result in allergen cross-contact.
• External information. Sources may include scientific papers, epidemiological studies (e.g., data from
previous outbreaks associated with ingredients or processes relevant to a product), information from
applicable government or industry food safety guidance documents, and historical data for similar
products, if available.
After reviewing all the relevant information, the Food Safety Team can then develop a list of
biological, chemical, and physical hazards that may be introduced, increased (e.g., due to
pathogen growth), or controlled at each step described on the flow diagram. Enter those in
column 2 of the Hazard Analysis Worksheet.
We recommend that you consult Chapter 3 and Appendix 1 of this guidance to help you identify
potential hazards. Chapter 3 of this guidance provides a review of biological, chemical, and
physical hazards and Appendix 1 of this guidance provides tables describing potential
ingredient-related hazards and process-related hazards. The hazards identified in Chapter 3
and in Appendix 1 do not represent an exhaustive list of hazards potentially associated with a
food facility or food. You are responsible for identifying any hazard that may be associated with
your process or product, even if it is not listed in Chapter 3.
You may find the following list of questions helpful during the hazard identification process. We
adapted this list from Hazard Analysis and Critical Control Point Principles and Application
Guidelines published by the National Advisory Committee on Microbiological Criteria for Foods.
Examples of questions to be considered when identifying potential hazards
1. Ingredients
a. Does the food contain any ingredients that may present microbiological hazards,
chemical hazards, or physical hazards?

b. Is all the water used at any point in the manufacturing process of the appropriate
quality standard?
c. What are the sources of the ingredients (geographical regions, specific supplier
details)?
2. Intrinsic Factors – physical characteristics and composition of the product during and
after processing
a. What hazards may result if the food composition is not controlled?
b. Does the food permit survival or promote pathogen growth and/or toxin formation
during subsequent steps in the manufacturing process or distribution/storage?
c. Are there similar products already in the marketplace, and if so, which hazards
have been associated with those products? What is the food safety record of
those products?
3. Processing procedures
a. Does the process include a controllable processing step that destroys

pathogens? If so, which pathogens? Consider not only vegetative cells but also
spores, which are typically more resistant to inactivation treatments compared to
their vegetative counterparts.
b. Is the product susceptible to recontamination between processing and

packaging? If so, what are the biological, chemical (including radiological), or
physical hazards potentially associated with the process environment?
4. Microbial content of the food
a. What is the baseline microbial content of the food?
b. Does the microbial population change during the normal storage time of the food
prior to consumption?
c. Do changes in the microbial population affect the safety of the food?
d. Based on the answers to the above questions, is there a significant likelihood of

any biological hazards?
5. Facility design
a. Does the layout of the facility provide an adequate separation of raw materials
from RTE foods when this is necessary for food safety? If not, what are the
hazards that could contaminate the RTE product?

b. Is positive air pressure maintained in product packaging areas? Is this required

for product safety?
c. Is the traffic pattern for people and moving equipment a significant source of
contamination?
6. Equipment design and use
a. Will the equipment provide the necessary time-temperature control to ensure a

safe product?
b. Can the equipment be sufficiently controlled so that the variation in performance

will be within the tolerances required to produce a safe product?
c. Is the equipment reliable and maintained in good repair?
d. Is the equipment easy to clean and sanitize?
e. Can parts of the equipment contaminate the product and thereby introduce
physical hazards?
f. What product safety devices are used to control the potential for physical
hazards to contaminate the product? Examples include: metal detectors,
magnets, sifters, filters, screens, thermometers, bone removal devices, dud
detectors
g. Are allergen protocols needed for using the same equipment for different
products?
7. Packaging
a. Does the method of packaging affect the rate of growth of microbial pathogens
and/or the formation of toxins?
b. Is the package clearly labeled with the appropriate storage instructions, e.g.,
“Keep refrigerated,” if required for safety?
c. Does the package include instructions for the safe handling and preparation of
the food by the end user?
d. Is the packaging material resistant to damage and effective in preventing post-

packaging microbial contamination?
e. Are tamper-evident packaging features used?
f. Is each package and case legibly and accurately coded?

g. Does each package contain the proper label?
h. Are allergenic ingredients included in the list of ingredients on the label?
8. Employee health, hygiene, and education
a. Can employee health or personal hygiene practices impact the safety of the food
being processed, and in what way(s)?
b. Do the employees understand the process and the factors they must control to
assure the preparation of safe foods?
c. Will the employees inform management of a problem that could impact food
safety?
9. Storage conditions between packaging and the end user
a. What is the likelihood that the food will be improperly stored at the wrong
temperature?
b. Would an error in storage lead to a microbiologically unsafe food?
10. Intended use and user
a. Will the food be heated by the consumer?
b. Will there likely be leftovers? If so, how and maximally for how long should they
be stored? How should they be re-heated?
c. Is the food intended for the general public?
d. Is the food intended for consumption by a population with increased susceptibility

to illness or a particular hazard (e.g., Infants, the elderly, the immuno-
compromised, or pregnant women)?
e. Is the food intended to be used for institutional feeding (e.g., in school cafeterias,
hospitals) or in private homes?
2.4.2 Evaluate Potential Hazards to Determine Whether the Hazard Requires a

Preventive Control (Hazard Evaluation)
See 21 CFR 117.130(c).
• Under 21 CFR 117.130(c)(1)(i), you must assess the severity of the illness or injury if the hazard were
to occur and the probability that the hazard will occur in the absence of preventive controls.
• Under 21 CFR 117.130(c)(1)(ii), you must include an evaluation of environmental pathogens
whenever an RTE food is exposed to the environment prior to packaging and the packaged food does

not receive a treatment or otherwise include a control measure (such as a formulation lethal to the
pathogen) that would significantly minimize the pathogen.
• Under 21 CFR 117.130(c)(2), you must consider the effect of certain factors on the safety of the
finished food for the intended consumer.
We discuss each of these points in the remainder of this section.
Consult the hazards in Chapter 3 and controls in Chapters 4 and 5 of this guidance document
for each of the potential hazards that you entered in Column 2 of the Hazard Analysis
Worksheet. These chapters offer guidance for completing your hazard analysis and developing
your FSP. Chapters 6-13 each contain a section “Understand the Potential Hazard” that
provides information about the significance of the hazard, the conditions under which it may
develop in a processed product, and methods available to control the hazard.
Once you have identified all potential hazards, the next step is to evaluate each hazard and
determine whether the hazard poses a significant risk to the end user or consumers in the
absence of a preventive control. Narrow the list of potential hazards that you entered in column
2 to those that require a preventive control.
For example, at the receiving step for ingredients, you may identify soy as an allergen in your
product because soy protein is one of the ingredients. Because it is an allergen, you would mark
“Yes” in column 3 and explain that soy may cause allergic reactions in some consumers in
column 4.
For each hazard also consider the following:
• Seriousness of the potential illness or injury resulting from exposure to the hazard, and
• The likelihood of occurrence in the absence of a preventive control.
2.4.2.1 Evaluating severity
To evaluate the severity of a potential hazard, you should consider certain factors, including
• susceptibility of intended consumers to foodborne illness (e.g., infants, children, and

immunocompromised persons may be more susceptible to certain foodborne illnesses),
• the potential magnitude and duration of the illness or injury (e.g., how long an individual may be sick,
and whether hospitalization or death is common), and
• the possible impact of secondary problems (e.g., chronic sequelae such as kidney damage or
reactive arthritis).
If your facility does not have the expertise to evaluate the severity of a potential hazard, you
should consult with outside experts.
2.4.2.2 Estimating the likely occurrence
The likelihood of occurrence of a particular food hazard in the food when consumed can be
influenced by:
• Frequency of association of the hazard with the food or facility

• Effectiveness of facility programs such as CGMPs
• Method of preparation in the establishment

• Conditions during transportation

• Expected storage conditions
• Likely preparation and handling steps before consumption
Knowing your product, ingredients, processes, preparation methods, packaging, transportation,
distribution, and likely use of the product will be helpful in estimating the likely occurrence of
potential hazards. Hazards identified in one operation or facility may not be significant in another
operation or facility producing the same or similar products because different equipment and
processes may be used, the ingredients and their source may be different, or for other reasons.
For example, one facility may package a beverage in glass and another may package the same
product in plastic. You should consider each operation and facility location individually when
estimating the likely occurrence of a food safety hazard.
When estimating likely occurrence, you should consider information from several sources, such
as the following:
• Data from outbreaks of foodborne illness,

• Data from recalls,
• Information in the scientific literature, and
• Experience and historical information gathered by your facility.
2.4.2.2.1 Data from outbreaks
Your Food Safety Team should consider foodborne illness outbreaks in the same or similar
products, as well as data on foodborne illness outbreaks provided from other product types that
may be relevant, or from foods prepared in retail food establishments rather than in
manufacturing facilities. Several publicly available resources can provide such information. For
example, we provide information on our findings related to outbreaks, including a discussion,
whenever possible, of factors that would have contributed to the outbreak at the processing or
production site for the foods we regulate. Moreover, the Centers for Disease Control and
Prevention (CDC) provides considerable information on outbreaks that occurred from processed
foods, as well as from foods prepared in restaurants, retail establishments, and other locations.
See Box 2-4 for a list of useful reports and the list of references in section 2.6 of this chapter for
how to access these reports. Information may also be available on outbreaks from similar foods
that occur in other countries. For example, the European Food Safety Authority (EFSA)
publishes summaries of foodborne disease outbreaks in European countries.

3
Box 2-4. Sources of Data about Outbreaks
Food and Drug Administration (FDA)

• Outbreak investigations – reports for FDA regulated foods
Centers for Disease Control and Prevention (CDC)
• Foodborne Outbreaks (including links to the List of Selected Multistate Foodborne Outbreak
Investigations (see below) and Morbidity and Mortality Weekly Report reports on foodborne
outbreaks)
• List of Selected Multistate Foodborne Outbreak Investigations - searchable database for selected
U.S. outbreaks by year and by pathogen
• Attribution of Foodborne Illness – reports on foods associated with illness
Center for Science in the Public Interest (CSPI)
• Outbreaks & Recalls
2.4.2.2.2 Data from recalls
Recalls provide useful information in understanding the likely occurrence of potential hazards
and the foods in which they occur. We categorize recalls as specified in 21 CFR 7.3(m):
Recall classification means the numerical designation, i.e., I, II, or III, assigned by the Food and
Drug Administration to a particular product recall to indicate the relative degree of health hazard
presented by the product being recalled.
• Class I is a situation in which there is a reasonable probability that the use of, or exposure to, a
violative product will cause serious adverse health consequences or death (21 CFR 7.3(m)(1);
• Class II is a situation in which use of, or exposure to, a violative product may cause temporary or
medically reversible adverse health consequences or where the probability of serious health
consequences is remote (21 CFR 7.3(m)(2); and
• Class III is a situation in which use of, or exposure to, a violative product is not likely to cause illness
or injury (21 CFR 7.3(m)(3).
Federal and state websites post information on food recalls. See Box 2-5 for a list of some
helpful federal websites that provide data about recalls. See the list of references in section 2.6
of this chapter for the links to access this information.
3
See section 2.6 of this chapter for information on how to access these sources of data about outbreaks.

Box 2-5. Sources of Data About Recalls 4
• Food and Drug Administration (FDA) Recalls, Market Withdrawals, & Safety Alerts
• U.S. Department of Agriculture (USDA) Food Safety and Inspection Service Recall
Archive
• Foodsafety.gov (Gateway to Federal Food Safety Information), Recalls & Alerts
2.4.2.2.3 Information in the scientific literature
Peer-reviewed scientific journals and other sources of technical literature (e.g., Codex
Alimentarius Commission (Codex), the Food and Agriculture Organization and the World Health
Organization) provide considerable information on foodborne hazards, including their
occurrence, their potential growth in foods (e.g., for biological hazards), and their control. A
useful search engine is Google Scholar. USDA provides a microbial modeling program that is
available online and can be used to evaluate potential growth of pathogens under a variety of
conditions. ComBase is an online tool for quantitative food microbiology. It contains the
ComBase database of microbial growth and survival curves and the ComBase Predictor that
uses the data to predict growth or inactivation of microorganisms. Keep in mind that modeling
programs may not reflect exactly what will occur in a particular food, but they can provide an
estimate of relative risk of different scenarios. Codex maintains internationally recognized codes
of practice that are based on scientific literature and are available in several languages. Trade
associations also provide food safety recommendations for specific types of foods and industry
needs.
We provide other guidance documents that contain product-specific food safety information
(e.g., on shell eggs, cheese, fruits, vegetables, and milk). These guidance documents, which
represent FDA's current thinking on a topic, are organized by topic and by year of publication,
with recently added guidance documents at the top of the page.
2.4.2.2.4 Establishment’s historical information
You may already have considerable information on your products from various laboratory tests
on finished products, ingredients, in-process materials, or environmental monitoring. In addition,
you may have experienced a contamination problem in the past that suggests a hazard is
reasonably foreseeable, or received consumer complaints about certain hazards, such as
physical hazards.
You should evaluate the potential hazards independently at each processing step to determine
whether you should identify that hazard as one requiring a preventive control. For example, you
would identify a hazard as one requiring a preventive control if:
• it is reasonably likely that the hazard can be introduced at an unsafe level at that processing step; or
• it is reasonably likely that the hazard can increase to an unsafe level at that processing step; or
4
See section 2.6 of this chapter for information on how to access these sources of data about recalls.

• the hazard was identified in an ingredient or at another processing or handling step and it can be
controlled (i.e., significantly minimized or prevented) at the current processing step.
When evaluating whether a hazard requires a preventive control, you should consider the
method of distribution and storage and the intended use and consumer of the product
(information which you developed as part of your preliminary steps in conducting a hazard
analysis).
If you determine that a potential hazard requires a preventive control, you should answer “Yes”
in column 3 of the Hazard Analysis Worksheet. If you determine that it does not require a
preventive control, you should answer “No” in that column. In column 4, record your reason for
your “Yes” or “No” answer. If the hazard does not require a preventive control, you would not
complete columns 5 and 6.
2.4.2.3. Evaluating environmental pathogens whenever a ready-to-eat

food is exposed to the environment
If the food you make is ready-to-eat (see the definition in 21 CFR 117.3, which we included in
the Glossary in section III of the Introduction of this guidance), the food could be contaminated
with environmental pathogens such as Listeria monocytogenes (L. monocytogenes) or
Salmonella. See 21 CFR 117.130(c)(1)(ii) for when the PCHF requirements specify that you
must consider environmental pathogens in your hazard analysis.
2.4.2.4. Evaluation factors
When evaluating hazards, you must consider the effect of the following on the safety of the
finished food for the consumer (21 CFR 117.130(c)(2)):
• The formulation of the food: The addition of certain ingredients such as acids and preservatives may
be critical to the safety of the food, because they may inhibit growth of, or kill, microorganisms of
public health significance. This could impact the evaluation at steps during production and storage
with respect to the hazard of ‘‘pathogen growth.’’ A multicomponent food may have individual
ingredients that do not support growth of undesirable microorganisms (e.g., because of pH or a w ), but
when put together there may be an interface where the pH and a w change (e.g., pies, layered
breads). The formulation may contain an ingredient (e.g., a flavoring, coloring, or incidental additive)
that is (or contains) an allergen that requires label control and possibly controls to prevent cross-
contact.
• The condition, function, and design of the facility and equipment: The condition, function, or design of
a facility or its equipment could potentially result in the introduction of hazards into foods. For
example, older equipment (e.g., older slicing, rolling and conveying equipment) may be more difficult
to clean (e.g., because of close fitting components or hollow parts) and, thus, provide more
opportunities for pathogens to become established in a niche environment than modern equipment
designed to address the problem of pathogen harborage in niche environments; in such instances
enhanced sanitation controls may be appropriate. Equipment designed such that there is metal-to-
metal contact may generate metal fragments; a preventive control such as metal detectors may be
appropriate. A facility that manufactures, processes, or packs an RTE product such as fresh soft
cheese may have cold, moist conditions that are conducive to the development of a niche where the
pathogen L. monocytogenes can become established and contaminate food-contact surfaces and,
eventually, foods; enhanced sanitation controls may be appropriate for such facilities. Facilities with
closely spaced equipment should consider the impact of the close spacing on the potential for
allergen cross-contact to be a hazard; targeted food allergen controls may be appropriate.
• Raw materials and other ingredients: A food can become contaminated through the use of
contaminated food ingredients. Ingredients such as flavorings, colorings, or incidental additives may

contain ‘‘hidden’’ allergens. Machinery-harvested produce may be contaminated with physical

hazards, because the machinery can pick up foreign material from the field.
• Transportation practices: The safety of a food can be affected by transportation practices for incoming
raw materials and ingredients or for outgoing finished product. For example, when a food requires
time/temperature control for safety, time/temperature controls would be important during
transportation. Distributing a food in bulk without adequate protective packaging makes the product
susceptible to contamination during transportation—e.g., from pathogens or chemicals present in an
inadequately cleaned vehicle or from other inadequately protected foods that are being co-
transported and are potential sources of contamination.
• Manufacturing/processing procedures: Hazards may arise from manufacturing/processing processes
such as cooling or holding of certain foods due to the potential for germination of pathogenic
sporeforming bacteria such as Clostridium perfringens (C. perfringens) and Bacillus cereus (B.
cereus) (which may be present in food ingredients) as a cooked product is cooled and reaches a
temperature that will allow germination of the spores and outgrowth. Hazards also may arise from
manufacturing/processing processes such as acidification due to the potential for germination of
spores of C. botulinum, with subsequent production of botulinum toxin, if the acidification is not done
correctly. Toxins can be produced by the bacteria Staphylococcus aureus (S. aureus) or B. cereus in
a product that has been heated and held at room temperature during the manufacturing process if the
product formulation supports growth and toxin formation by the bacteria and S. aureus or B. cereus is
present in the ingredients of the product or is introduced by poor employee hygiene (e.g., S. aureus).
Physical hazards may occur from metal fragments generated during the manufacture of food on
equipment in which metal (e.g., wires, saw blades or knives) is used to cut products during
manufacturing.
• Packaging activities and labeling activities: Preventive controls for glass may be needed for products
packed in glass. Preventive controls for C. botulinum may be needed when packing certain foods in
modified atmosphere packaging. Label controls may be needed to ensure all food allergens are listed
on the label of packaged foods that contain allergens.
• Storage and distribution: Biological hazards are more likely to require a preventive control during
storage and distribution in foods that require refrigerated storage to maintain safety than in shelf-
stable foods.
• Intended or reasonably foreseeable use: Some foods that are intended to be cooked by the consumer
may also have uses that do not include cooking, such as soup mixes used to make dips. Whenever
an RTE food is exposed to the environment prior to packaging and the packaged food does not
receive a treatment or otherwise include a control measure (such as a formulation lethal to the
pathogen) that would significantly minimize the pathogen, hazards such as Salmonella spp., L.
monocytogenes, and Escherichia coli O157:H7 (E. coli O157:H7) must be considered to determine if
they require a preventive control. (See 21 CFR 117.130(c)(1)(ii).)
• Sanitation, including employee hygiene: Sanitation measures and practices can impact the likelihood
of a hazard being introduced into a food. For example, the frequency with which a production line is
shut down for a complete cleaning can impact the potential for food residues to transfer pathogens
from equipment to foods (e.g., pathogens present on raw produce that could carry over into the next
production cycle on a line). Practices directed at worker health and hygiene can reduce the potential
for transfer of pathogens such as Salmonella spp., hepatitis A, and norovirus.
• Any other relevant factors, such as the temporal (e.g., weather-related) nature of some hazards (e.g.,
levels of some natural toxins): Hazards such as aflatoxin are subject to a weather-dependent effect in
that aflatoxin levels in some raw agricultural commodities are more of a problem in some years than
in others.
As noted earlier, identifying a hazard at a processing step as one that requires a preventive
control does not mean that the hazard must be controlled at that processing step. Once you
determine that a hazard requires a preventive control, the next step is to identify control
measures to control the hazard.

2.5 Identify Preventive Control Measures

Box 2-6. Definition of “Preventive Controls” in Part 117
Preventive Controls
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,
packaging, or holding at the time of the analysis.
21 CFR 117.3
For each hazard that your Food Safety Team first identified in Column 2 as potentially
associated with an ingredient, processing step, or the environment, and then identified in
Column 3 as requiring a preventive control, you must identify and implement preventive controls
to provide assurances that any hazards requiring a preventive control will be significantly
minimized or prevented. See 21 CFR 117.135. If a process control can be applied at a point or
step in the food production process to prevent or eliminate the food safety hazard, or reduce it
to an acceptable level, you should classify the point or step as a Critical Control Point (CCP).
There are several control approaches, which may or may not include CCPs, that you can
consider, depending on the potential hazard and where in the process flow diagram you
determine the control measure should be applied. These include:
• Supply-chain controls
• Food allergen controls
• Sanitation controls
• Process controls
Supply-chain controls involve verification of controls used by suppliers to control hazards in raw
materials or other ingredients before receipt by a manufacturer/processor. Food allergen
controls include labeling and controls to prevent cross-contact, such as product sequencing, in
addition to sanitation controls (i.e., to prevent cross-contact with allergens from other foods
produced on the same line). Sanitation controls may be important to prevent contamination with
microbial pathogens, especially for RTE foods that are exposed to the environment. Process
controls are applied at specific processing steps, where critical parameters such as time and
temperature may be identified to control the hazard of concern. See Box 2-7 for some
examples of in-process controls.

Box 2-7. Examples of In-Process Controls
Examples of In-Process Controls
• Acidification
• Cooking
• Drying
• Fermentation
• Filtering
• Freezing
• High pressure processing
• Irradiation
• Metal detection
• Pasteurization
• Refrigeration
• Retort processing
• Use of x-ray area
For every hazard you identify as requiring a preventive control, you must identify and implement
at least one preventive control measure. See 21 CFR 117.135. Importantly, remember that
more than one hazard may be addressed by a specific control measure. For example, several
vegetative pathogens, such as Salmonella, L. monocytogenes, and E. coli O157:H7, are killed
by cooking. Several chapters in this guidance provide one or more control strategy examples for
how one or more hazards can be controlled, because there are often more ways than one to
control a hazard. The control strategy examples also contain control measure information.
Record the control measure(s) that you choose in column 5 of the Hazard Analysis Worksheet
for each “Yes” answer in column 3.
When identifying preventive controls for your food process, your Food Safety Team should also
consider
• The effect of the control on identified potential food safety hazards (e.g., Does the preventive control
significantly minimize or prevent the potential food safety hazards identified? Is the preventive control
hazard-specific or does it control more than one hazard? Does the control effectiveness depend upon
other controls? Can the preventive control be validated and verified?)
• The feasibility of monitoring those controls (e.g., Are the critical limits (minimum or maximum values)
and, if appropriate, operating limits, for the preventive control measureable and practical? Can you
obtain the results of monitoring quickly (i.e., real-time) to determine if the process is in control? Are
you monitoring a batch or continuous process? Are you monitoring continuously or doing spot
checks? Can the parameters be monitored in-line or must the product be sampled? Will the
monitored parameters be indirectly linked to the critical limit (i.e., belt speed or pump flow rate for
time of process)? Who will perform the monitoring or checks and what are the required qualifications?
How is the monitoring to be verified?)

• The location of the control with respect to other processing control measures (e.g., Is the application
of the control measure at the last point in the process to ensure control of the targeted potential food
safety hazard? Will the failure of an upstream control result in failure of downstream controls (i.e.,
acidification failure impacting thermal process efficacy for an acidified food)? Are monitoring activities
appropriate to ensure control at this step?)
• Corrective actions that will be needed in the event of a failure of a control measure or a significant
processing variability (e.g., Can the process control and critical parameter be brought quickly back
into control? How will you determine if the control measure is once again under control? Can the
implicated product be identified and its safety evaluated? Can the cause of the loss of control be
identified and corrected? What actions would be needed to reduce the likelihood of the failure to
recur? Can the product be reprocessed? What actions would be necessary to prevent unsafe product
from entering commerce (e.g., can product be diverted to animal food or does the product need to be
destroyed)?)
• The severity of the consequences in case of a failure of a control measure (e.g., Is it reasonably likely
that unsafe food would be produced as a result of the control measure failure? Is the hazard that
could occur reasonably likely to cause serious adverse health consequences or death?)
• Whether the control measure is applied to eliminate or significantly reduce the level of the hazard
(e.g., Will the control measure eliminate the hazard, or is the control measure only able to minimize
the hazard?)
• Synergistic effects between control measures (e.g., Consider whether one control measure can
enhance the efficacy of another control measure. For example, formulation process controls may
combine the use of preservatives, acidification, and water activity at levels that individually will not
control pathogen growth, but they work together to do so.)
You use your written hazard analysis to design the approaches you will use to control the
hazards. The more thorough the hazard analysis, the more targeted your controls will be to
ensure hazards are significantly minimized or prevented, and the more effective your food
safety program will be in preventing illness or injury to consumers.
In the chapters that follow we address managing food safety hazards through heat treatments,
time/temperature control, product formulation, sanitation controls, and food allergen controls.
We address supply-chain controls in “Chapter 15 – Supply-Chain Program for Human Food
Products.”
2.6 References
Center for Science in the Public Interest (CSPI). 2016. "Outbreaks & recalls." Accessed April 15,
2016. http://www.cspinet.org/foodsafety/outbreak_report.html.
Centers for Disease Control and Prevention (CDCP). 2014. "Estimates of foodborne illness in
the United States." Accessed April 15,
2016. http://www.cdc.gov/foodborneburden/attribution/index.html.
Centers for Disease Control and Prevention (CDCP). 2016a. "Foodborne outbreaks." Accessed
April 15, 2016. http://www.cdc.gov/foodsafety/outbreaks/index.html.
Centers for Disease Control and Prevention (CDCP). 2016b. "List of selected multistate
foodborne outbreak investigations." Accessed April 15,
2016. http://www.cdc.gov/foodsafety/outbreaks/multistate-outbreaks/outbreaks-list.html.
ComBase. 2016. "Combase homepage." http://www.combase.cc/index.php/en/.

European Food Safety Authority. 2015. "The European Union summary report on trends and
sources of zoonoses, zoonotic agents and food-borne outbreaks in 2014." EFSA
Journal 13 (12): 4329, 191 pages. http://www.efsa.europa.eu/en/efsajournal/pub/4329
Food and Agriculture Organization of the United Nations (FAO). 2016. "Food safety & quality
homepage." Accessed June 21, 2016. http://www.fao.org/food/food-safety-quality/home-
page/en/.
Food and Drug Administration (FDA). 2015. "Recalls, market withdrawals, & safety alerts (FDA
email sign-up webpage)." Accessed June 3,
2015. https://service.govdelivery.com/accounts/USFDA/subscriber/new?topic_id=USFD
A_48.
Food and Drug Administration (FDA). 2016a. "Food guidance documents." Accessed June 24,
2016. http://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInfo
rmation/default.htm.
Food and Drug Administration (FDA). 2016b. "Outbreak investigations." Accessed April 15,
2016. http://www.fda.gov/Food/RecallsOutbreaksEmergencies/Outbreaks/ucm272351.ht
m.
Food Safety and Inspection Service (FSIS). 2016. "Recall case archive." Accessed April 15,
2016. http://www.fsis.usda.gov/wps/portal/fsis/topics/recalls-and-public-health-
alerts/recall-case-archive.
Google. 2016. "Google scholar homepage." Accessed June 16,

2016. https://scholar.google.com/.
National Advisory Committee on Microbiological Criteria for Foods (NACMCF). 1998. "Hazard
analysis and critical control point principles and application guidelines." Journal of Food
Protection 61 (9):1246-1259.
United States Department of Agriculture (USDA)-Microbial Food Safety Research Unit. 2005.
"Pathogen modeling program 7.0 version 1.1.1433.15425." Accessed June 1,
2016. http://www.ars.usda.gov/Services/docs.htm?docid=6788.
United States Department of Health and Human Services (HHS). "Recalls and alerts." Accessed
July 15, 2016. http://www.foodsafety.gov/recalls/index.html.
World Health Organization (WHO). 2016. "Food safety." Accessed April 15,
2016. http://www.who.int/foodsafety/en/.


Chapter 3: Potential Hazards Associated with the

Manufacturing, Processing, Packing, and Holding of Human
Food
Table of Contents
3.2 Potential Hazards
3.3 Biological Hazards
3.3.1 Characteristics of Vegetative Foodborne Pathogens
3.3.2 Characteristics of Spore-Forming Foodborne Pathogens
3.3.3 Potential Ingredient-Related Biological Hazards
3.3.4 Potential Process-Related Biological Hazards
3.3.4.1 Bacterial pathogens (vegetative and sporeforming) that survive after
treatment
3.3.4.2 Bacterial pathogens that grow and/or produce toxin
3.3.4.3 Bacterial pathogens in ingredients added after process controls
1
Chapter 3 (Potential Hazards) - Page 1

3.3.4.4 Bacterial pathogens introduced after packaging due to lack of container

integrity
3.3.5 Potential Facility-Related Biological Hazards
3.3.5.1 Sources of facility-related biological hazards
3.3.5.2 Transient vs. resident facility-related environmental pathogens
3.3.5.3 Facility-related environmental pathogens associated with wet vs. dry
processing environments
3.4 Chemical Hazards
3.4.1 Ingredient-Related Chemical Hazards
3.4.1.1 Pesticides
3.4.1.2 Animal drug residues
3.4.1.3 Heavy metals
3.4.1.4 Environmental contaminants
3.4.1.5 Mycotoxins and other natural toxins
3.4.1.6 Chemical hazards that may be intentionally introduced for purposes of
economic gain
3.4.2 Chemical Hazards That Can Be Either Ingredient-Related or Process-
Related
3.4.2.1 Food allergens
3.4.2.2 Food additives, color additives, and GRAS substances, including
substances associated with food intolerance or food disorder
3.4.2.3 Process contaminants produced during heating
3.4.2.4 Radiological hazards
3.4.3 Facility-Related Chemical Hazards
3.5 Physical Hazards
3.6 References

The guidance in this chapter is intended to help you consider the biological, chemical, and
physical hazards that are commonly of concern in food plants and that should be addressed in a
hazard analysis. It addresses ingredient-related hazards, process-related hazards, and hazards
that may be introduced from the food-production environment (facility-related hazards). It does
not provide an exhaustive compendium of hazards or details about each hazard. Where
possible, we cite scientific literature, regulations, and/or guidance (issued by FDA or our food
safety regulatory partners) that may provide useful detailed discussion or analysis of hazards of
concern. See the definition of “hazard” in 21 CFR 117.3.

It is important for you to understand the potential hazards that may be associated with your
products using the raw materials and other ingredients, processes, and equipment specific for
those products, as well as the environment of your specific facility. If you identify hazards
requiring a preventive control, you will then have to determine what preventive controls are
needed to reduce food safety risks and ensure the safety of your products for human
consumption. See 21 CFR 117.130 and 117.135. Although this chapter briefly describes the
types of preventive controls that may be appropriate for you to implement to control certain
hazards, see Chapter 4 and Chapters 6 through 13 of this guidance for more detailed
discussion of applicable preventive controls.
3.2 Potential Hazards

Food products can become contaminated with biological, chemical (including radiological), or
physical hazards. Table 3-1 provides examples of potential hazards and is not exhaustive.
Table 3-1 Examples of Potential Hazards
Hazard Category Hazard Sub-category Examples

• Bacillus cereus (B. cereus)
Biological Bacteria
• Campylobacter jejuni (C. jejuni)
• Clostridium botulinum (C. botulinum)
• Clostridium perfringens (C. perfringens)
• Shiga-toxin producing Escherichia coli
such as O157:H7 (E. coli O157:H7)
• Listeria monocytogenes (L.
monocytogenes)
• Salmonella spp.
• Shigella spp.
• Staphylococcus aureus (S. aureus)
• Cryptosporidium parvum
Biological Protozoa and Parasites
• Cyclospora cayetanensis
• Giardia lamblia (G. intestinalis)
• Trichinella spiralis
• Norovirus
Biological Viruses
• Hepatitis A
• Rotavirus
• Organophosphates
Chemical Pesticide residues
• Carbamates
• Chlorinated hydrocarbons
• Pyrethroids
• Lead
Chemical Heavy Metals
• Arsenic
• Cadmium
• Mercury
• Chloramphenicol
Chemical Drug residues (veterinary
antibiotics) • Beta- Lactams

Hazard Category Hazard Sub-category Examples

• Ammonia
Chemical Industrial chemicals
• Dioxins
Chemical Environmental contaminants
• Aflatoxin
Chemical Mycotoxins
• Patulin
• Ochratoxin
• Fumonisin
• Deoxynivalenol
• Milk, eggs, fish, crustacean shellfish, tree
Chemical Allergens
nuts, peanuts, wheat, and soybeans
(commonly called “the Big 8”)
• FD&C Red #4
Chemical Unapproved colors and
additives • Melamine
• Lactose
Chemical Substances associated with a
food intolerance or food • Yellow #5
disorder • Sulfites
• Carmine and Cochineal
• Gluten
• Radium 226 and 228
Chemical Radionuclides
• Uranium 235 and 238
• Strontium 90
• Cesium 137
• Iodine 131
• Metal
Physical N/A
• Glass
• Hard plastic
As discussed in Chapter 2 of this guidance, when conducting your hazard analysis you must
consider the potential for biological, chemical, and physical hazards to be related to raw
materials and other ingredients (ingredient-related hazards), processes (process-related
hazards), and the food-production environment (facility-related hazards) (21 CFR 117.130). In
Chapter 2 we also provide examples of questions to be considered when identifying potential
hazards in the following areas:
• Ingredients;
• Intrinsic factors;
• Processing procedures;
• Microbial content of the food;
• Facility design;
• Equipment design and use;
• Packaging;

• Employee health, hygiene, and education; and

• Storage conditions between packaging and the end user.
Throughout this chapter, we discuss potential biological, chemical, and physical hazards from
the perspective of ingredient-related hazards, process-related hazards, and facility-related
hazards, considering the issues and factors listed immediately above.
3.3 Biological Hazards

You must conduct a hazard analysis to identify and evaluate known or reasonably foreseeable
biological hazards, including microbiological hazards such as parasites, environmental
pathogens, and other pathogens. See 21 CFR 117.130(b)(1)(i). When your hazard analysis
identifies a known or reasonably foreseeable biological hazard that requires a preventive
control, you must identify and implement a preventive control for the biological hazard. See 21
CFR 117.135(a)(1).
The biological hazards that are the focus of this guidance are bacterial pathogens (e.g.,
Salmonella spp., Listeria monocytogenes, Clostridium botulinum, and Shiga-toxin producing
Escherichia coli (STEC) such as O157:H7) that may be associated with foods or food
processing operations and can cause consumer illness or disease. The other biological
hazards, viruses (e.g., norovirus and hepatitis A) and parasites (e.g., Cryptosporidium spp. and
Giardia intestinalis), are also known to cause illness or disease, but these would generally be
addressed by following Current Good Manufacturing Practice (e.g., worker hygiene and disease
control) in facilities and our regulation entitled “Standards for the Growing, Harvesting, Packing,
and Holding of Produce for Human Consumption” (21 CFR part 112) (e.g., worker hygiene and
disease control, water safety) on farms that supply raw agricultural commodities to facilities.
Food products can become contaminated with bacterial pathogens that can be:
• Ingredient-related hazards - i.e., introduced from raw materials and other ingredients;
• Process-related hazards - e.g., if the pathogens:
o Survive processing that was intended to significantly minimize the pathogen;
o Increase in number due to lack of time/temperature control or due to the food’s
formulation; or
o Selectively grow, and/or produce toxin, in a food as a result of using reduced oxygen
packaging;
• Facility-related hazards – e.g., if the pathogens are introduced from:
o Food processing equipment (e.g., insanitary equipment and utensils);
o Cross-contamination between raw and cooked products;
o Air; or
o Contaminated water or sewage; or
• People-related hazards – e.g., due to people handling the product during packing or
processing. (Such people-related hazards are sometimes controlled by following Current
Good Manufacturing Practice (e.g., worker hygiene and disease control)).

For further details on the sources of biological hazards that can be introduced into food
products, see Tables 1A through1Q and Tables 3A through 3Q of Appendix 1 of this guidance.
Bacterial pathogens can be classified based on whether they form spores (“sporeformers”) or
whether they only exist as vegetative cells and do not form spores (“non-sporeformers”). Spores
are not hazardous as long as they remain in the spore state. Unfortunately, spores are very
resistant to heat, chemicals, and other treatments that would normally kill vegetative cells of
both sporeformers and non-sporeformers. As a result, when spores are a concern, the process
steps used to kill them are often much more severe than those necessary to kill vegetative cells.
When spores survive a processing step designed to kill vegetative bacteria, they may become a
hazard in the food if they are exposed to conditions that allow germination and growth as
vegetative cells. This can be particularly serious when a processing step has removed most of
their competition. Thus, other controls such as reduced pH or water activity (a w ) or temperature
control (refrigeration or freezing) may be needed to control sporeformers that remain after a kill
step.
Because the characteristics of foodborne pathogens differ, the preventive controls that you
identify and implement to control specific pathogens should be based on the characteristics of
those specific pathogens. In the remainder of this section on biological hazards, we briefly
review characteristics of common vegetative and sporeforming foodborne pathogens. For more
detailed information, see FDA’s Bad Bug Book (FDA 2012c).
Table 3-2 is a Quick Reference Guide to help you identify potential pathogens by biological
classification and potential sources or entry points in your facility. The potential hazards listed in
Table 3-2 will not apply to all facilities.
Table 3-2 Quick Reference Guide for Common Sources of Biological Hazards
Primary Source Bacteria Parasites Viruses

• Salmonella spp. (e.g., • Cryptosporidium • Norovirus
Ingredient-related (e.g.,
poultry, produce, nuts) parvum (contaminated (produce,
contamination of raw
• E. coli O157:H7 & similar water used as an shellfish)
materials and other
STEC (e.g., ruminant ingredient) • Hepatitis A virus
ingredients)
animals, dropped fruit, • Cyclospora (produce, fruits)
sprouts) cayetanensis (berries)
• Campylobacter spp. (e.g., • Toxoplasma gondii
poultry and raw milk) (meat)
• B. cereus (e.g., rice and
other grains)
• C. botulinum (spores may
be found in soil and on
certain root crops.)
• C. perfringens (e.g.,
spices, may come in soil
on produce)
• L. monocytogenes (e.g.,
raw agricultural
commodities, other
contaminated products
used as ingredients)

Primary Source Bacteria Parasites Viruses

• Salmonella spp. survive
Process-related (e.g., Cryptosporidium parvum N/A
inadequate heat
poor or ineffective (contaminated water
treatment
process controls, source)
including by a supplier) • C. perfringens (improperly
cooled cooked foods)
• L. monocytogenes (raw
agricultural commodities,
contaminated products)
• L. monocytogenes (e.g.,
Facility-related (may be N/A Norovirus (only
reservoirs include floors,
caused by poor when active
cold wet areas,
sanitation practices (e.g., shedding occurs in
equipment, drains,
inadequate cleaning and facility through
condensate, coolers, and
sanitizing of potential vomiting and
soil)
harborage sites), poor diarrhea)
plant and equipment • Salmonella spp. (pests)
design, and poor pest
management practices)
• S. aureus • Hepatitis A virus
People-related Cryptosporidium parvum
(individuals who are • Shigella spp. • Norovirus
carriers, showing no • Salmonella spp. • Rotavirus
signs of disease, who
are shedding the hazard,
or who are infected and
are actively ill)
3.3.1 Characteristics of Vegetative Foodborne Pathogens
Table 3-A in Appendix 3 of this guidance contains information on the physical conditions (i.e.,
a w , acidity (pH), temperature, and oxygen requirements) that will limit growth for most of the
vegetative pathogens that are of greatest concern in food processing. Data shown are the
minimum or maximum values - i.e., the extreme limits reported among the references cited.
These values may have been obtained in laboratory media, which may be more favorable to
growth than many foods. These values may not apply to your specific processing conditions.
Brucella spp. is the bacterium responsible for brucellosis. An estimated 840 foodborne cases
of brucellosis occur annually in the United States (Scallan et al., 2011) When sheep, goats,
cows, or camels are infected with the pathogen, their milk becomes contaminated with the
bacteria. The most common way for humans to be infected is by eating or drinking
unpasteurized/raw dairy products from infected animals. Brucella can also enter the body
through skin wounds or mucous membranes following contact with infected animals. Symptoms
include: fever; sweats; malaise; anorexia; headache; pain in muscles, joints and/or back; and
fatigue. Some signs and symptoms may persist for prolonged periods of time or may never go
away.
Campylobacter jejuni (C. jejuni) is the bacterium responsible for campylobacteriosis. An

estimated 845,000 foodborne cases of campylobacteriosis occur annually in the United States
(Scallan et al., 2011). Symptoms include diarrhea, fever, abdominal pain, nausea, headache,
and muscle pain. Symptoms start from 2 to 5 days after consumption of contaminated food and
last from 7 to 10 days. A small percentage of patients develop complications that may be

severe. These include bacteremia and infection of various organ systems, such as meningitis,
hepatitis, cholecystitis, and pancreatitis. Autoimmune disorders are another potential long-term
complication associated with campylobacteriosis; for example, Guillain-Barré syndrome (GBS).
Everyone is susceptible to infection by C. jejuni. Campylobacteriosis occurs more frequently in
the summer months than in the winter.
Pathogenic strains of Escherichia coli (E. coli) are responsible for four types of illness:
gastroenteritis or infantile diarrhea, caused by enteropathogenic E. coli (EPEC); travelers’
diarrhea, caused by enterotoxigenic E. coli (ETEC); bacillary dysentery, caused by
enteroinvasive E. coli (EIEC); and hemorrhagic colitis, caused by enterohemorrhagic E. coli
(EHEC). EHEC is the most severe, with potential for serious consequences such as hemolytic
uremic syndrome, particularly in young children. An estimated 205,800 foodborne cases from
all four types of E. coli occur annually in the United States (Scallan et al., 2011). Symptoms vary
for the different forms of illness, but include abdominal pain, diarrhea, vomiting, fever, chills,
dehydration, electrolyte imbalance, high body fluid acidity, and general discomfort. Symptoms
start from 8 hours to 9 days after consumption of contaminated food and last from 6 hours to 19
days, with both periods varying significantly between the illness types. Everyone is susceptible
to all forms of infection from E. coli, but EPEC is most commonly associated with infants, and all
types tend to result in more severe symptoms in the very young and elderly.
Listeria monocytogenes (L. monocytogenes) is the bacterium responsible for listeriosis. An

estimated 1,600 foodborne cases of listeriosis occur annually in the United States (Scallan et
al., 2011). L. monocytogenes produces mild flu-like symptoms in many individuals. However, in
susceptible individuals, including pregnant women, newborns, and the immunocompromised, it
can result in more severe symptoms, including septicemia, meningitis, encephalitis,
spontaneous abortion, and stillbirth. Symptoms start from 3 days to 3 weeks after consumption
of contaminated food. Mortality is high (approximately 25%) in those that display the more
severe symptoms.
Salmonella spp. is the bacterium responsible for salmonellosis. An estimated 1,029,000 cases
of foodborne salmonellosis occur annually in the United States (Scallan et al., 2011). Symptoms
include: nausea, vomiting, abdominal cramps, diarrhea, fever, and headache. Symptoms start
from 6 hours to 2 days after consumption of contaminated food and generally last from 4 to 7
days. The most severe form, typhoid fever, is caused by Salmonella Typhi. Everyone is
susceptible to infection by Salmonella spp., but symptoms are most severe in the elderly,
infants, and the infirmed. Infections by Salmonella spp. and other closely related bacterial
pathogens, such as Shigella spp., E. coli, and Yersinia enterocolitica, can lead to chronic
reactive arthritic symptoms in pre-disposed individuals.
Shigella spp. is the bacterium responsible for shigellosis. Shigella infections may be acquired
from eating contaminated food. Foods may become contaminated by infected food handlers
who do not wash their hands before handling food. An estimated 131,000 foodborne cases of
shigellosis occur annually in the United States (Scallan et al., 2011). Symptoms include:
abdominal pain; cramps; diarrhea; fever; vomiting; blood, pus, or mucus in stools; continuous or
frequent urges for bowel movement; and death. Symptoms start from 12 hours to 2 days after
consumption of contaminated food and last from 1 to 2 weeks. Everyone is susceptible to
infection by Shigella spp.
Staphylococcus aureus (S. aureus) is a common bacterium found on the skin and in the
noses of many healthy people and animals. The bacterium is responsible for producing toxins
as it grows in foods, causing staphylococcal food poisoning. An estimated 241,000 foodborne

cases of staphylococcal food poisoning occur annually in the United States (Scallan et al.,
2011). Symptoms include: nausea, vomiting, diarrhea, abdominal pain, and weakness.
Staphylococcal toxins are fast acting and can cause illness in as little as 30 minutes. Symptoms
usually start within one to six hours after eating contaminated food. Everyone is susceptible to
intoxication by S. aureus toxin, with more severe symptoms, including occasional death,
occurring in infants, the elderly and debilitated persons.
3.3.2 Characteristics of Spore-Forming Foodborne Pathogens
Table 3-A in Appendix 3 contains information on the conditions that will limit growth for most of
the spore-forming pathogens that are of greatest concern in food processing. Data shown are
the minimum or maximum values – i.e., the extreme limits reported among the references cited.
These values may have been obtained in laboratory media, which may be more favorable to
growth than many foods. These values may not apply to your processing conditions.
Bacillus cereus (B. cereus) is the bacterium responsible for B. cereus food poisoning. An
estimated 63,400 foodborne cases of B. cereus food poisoning occur annually in the United
States (Scallan et al., 2011). There are two forms of illness, associated with two different toxins.
In one form of illness, B. cereus produces an emetic toxin in the contaminated food; the emetic
toxin causes nausea and vomiting, starting from 30 minutes to 6 hours after consumption of the
food. In the other form of illness, associated with an infection due to high numbers of B. cereus
in the contaminated food, B. cereus produces a diarrheal toxin in the intestines of the affected
consumer after the consumer ingests food; the diarrheal toxin causes diarrhea, starting from 6
to 15 hours after consumption. Symptoms in both forms of illness last about 24 hours. Everyone
is susceptible to B. cereus food poisoning.
Clostridium botulinum (C. botulinum) toxin is the toxin responsible for a severe paralytic
illness called botulism. C. botulinum is found in soil and grows best in low oxygen conditions.
The bacteria form spores that can survive in a dormant state until exposed to conditions that
support their germination and growth, such as in inadequately processed low-acid canned
foods. Foodborne botulism is caused by eating foods that contain the botulinum toxin, which is
formed during growth of C. botulinum. There are seven types of botulism toxin designated by
letters A through G; only types A, B, E and F have caused botulism in humans. An estimated 55
foodborne cases of botulism occur annually in the United States (Scallan et al., 2011).
Symptoms include: weakness; vertigo; double vision; difficulty in speaking, swallowing, and
breathing; abdominal swelling; constipation; paralysis; and, possibly, death. Symptoms start
from 18 to 36 hours after eating a contaminated food, but can occur as early as 6 hours or as
late as 10 days after exposure. Everyone is susceptible to intoxication by C. botulinum toxin;
only a few micrograms of the toxin can cause illness. Mortality is high; without the antitoxin and
respiratory support, death is likely.
Clostridium perfringens (C. perfringens) is the bacterium responsible for perfringens food
poisoning. C. perfringens causes illness when large numbers of the bacteria are consumed in
contaminated food. The bacterium then produces enough toxin in the intestines to cause illness.
C. perfringens spores can survive high temperatures. During cooling and holding of food at
warm temperatures, the spores germinate and the resulting vegetative cells of the bacteria
grow. An estimated 966,000 foodborne cases of perfringens food poisoning occur annually in
the United States (Scallan et al., 2011). Symptoms include: abdominal cramps and diarrhea.
Symptoms typically start from 8 to 12 hours after eating a contaminated food, but can occur as
early as 6 hours after exposure and last for about a day. Everyone is susceptible to perfringens

food poisoning, but it is more common in the young and elderly, who may experience more
severe symptoms lasting for one to two weeks.
3.3.3 Potential Ingredient-Related Biological Hazards
See Table 3-2 in this chapter and Tables 1A through 1Q in Appendix 1 of this guidance for
information that can help you identify potential ingredient-related biological hazards that may be
associated with specific food products. See Chapter 4 – Preventive Controls, as well as
Chapters 6 through 13, for recommendations on control of some specific ingredient-related
biological hazards.
3.3.4 Potential Process-Related Biological Hazards
The purpose of this section is to help you identify potential process-related biological hazards
for the foods that you produce. See Chapter 4 – Preventive Controls, as well as Chapters 6
through 13, for recommendations on control of some specific process-related biological
hazards.
Some process-related biological hazards can occur if something goes wrong with a process
control. For example, pathogens that you intend to control by cooking could survive if your
product is undercooked during application of a heat treatment; pathogens that you intend to
control by refrigeration could multiply and/or produce toxin if there is a lack of proper
refrigerated holding during product assembly; and pathogens that you intend to control by a w
could multiply and/or produce toxin if the product is not properly formulated (e.g., too little sugar
is used, resulting in an increase in the a w ). Other process-related biological hazards are not
related to something going wrong with a process control. For example, if you plan to use
reduced oxygen packaging (ROP) to prevent the growth of spoilage organisms and extend the
shelf life of the product, the extended shelf life provides more time for toxin production or
pathogen growth if pathogens are present and temperatures are suitable for growth. As another
example, if you manufacture a product by adding spices after a process control that would
significantly minimize pathogens, pathogens in the added spices could introduce pathogens to
the treated product. As yet another example, pathogens could be introduced to a treated
product after packaging if there is a lack of container integrity.
In the following sections on process-related biological hazards, we describe examples of these

kinds of process-related biological hazards.
3.3.4.1 Bacterial pathogens (vegetative and sporeforming) that survive

after treatment
If a process that you design to kill bacterial pathogens and/or their spores does not work as
intended, the bacterial pathogens and/or their spores that you intended to control can be
present in your food product. The primary pathogens of concern are L. monocytogenes,
Salmonella spp., S. aureus and C. jejuni, pathogenic strains of E. coli, Yersinia enterocolitica (Y.
enterocolitica), B. cereus C. perfringens, and C. botulinum. See Appendix 3 of this guidance for
limiting conditions for growth of bacterial pathogens.
See Chapter 4 of this guidance for an overview of recognized and established processing
conditions to control pathogens and for factors to consider when designing your process to
prevent problems. For example:

• Some foods heat faster than others. Bacterial pathogens in the cold spot of the food will be
inactivated more slowly than those at the surface because those in the cold spot are
subjected to less heat. If the minimum process for lethality is not achieved at the cold spot,
pathogens may survive the treatment.
• Certain characteristics of food make it either easier or harder to destroy bacterial pathogens,
if present. For example, pathogens are more easily destroyed in foods with an acidic pH;
sugars and oils tend to shield pathogens from the effects of heat; and the presence of
moisture, both in and surrounding the food, make destruction easier. If these have not been
taken into account in designing the process, pathogens may survive the treatment.
• Spores of bacterial pathogens are more heat tolerant than the vegetative cells of the same
pathogen and different bacterial pathogens have different heat resistances (see Appendix 3
of this guidance). If the process is not designed to control the most resistant pathogen of
concern in the food, pathogens may survive the treatment.
See also Chapter 6 – Use of Heat Treatments as a Preventive Control for more detailed
recommendations to control process-related biological hazards through heat treatments.
3.3.4.2 Bacterial pathogens that grow and/or produce toxin
3.3.4.2.1 Due to lack of proper time/temperature control
Bacterial pathogens that are introduced from contaminated ingredients into a product that does
not undergo a lethality process, or that survive a lethality process as a result of a problem with a
process control, can multiply (“grow”) and, depending on the pathogen, produce toxin as a result
of time and temperature abuse of food products. Certain bacterial pathogens (e.g., E. coli
O157:H7, S. aureus, and L. monocytogenes) grow well in time- and temperature-abused food.
Time and temperature abuse occurs when a product is allowed to remain at temperatures
favorable to bacterial pathogen growth for sufficient time to result in unsafe levels of the
pathogens or their toxins in the product. Most bacterial pathogens will grow well in cooked foods
that are temperature-abused if their growth is not otherwise controlled by means such as drying,
salting, or acidification, because competing bacteria are significantly reduced by the cooking
process. Uncooked foods that have high water activities and pH, such as batters, which are
subjected to time/temperature abuse (e.g., using room-temperature batter for several hours),
can support growth and toxin production by pathogens such as S. aureus.
Vegetative pathogens may grow in products during processing steps and may be ultimately
destroyed by a lethal step such as cooking. However, too much bacterial growth before the
lethal step may render the lethal process inadequate. Moreover, if the time and temperature
abuse allows production of toxin, such as toxin production from S. aureus in temperature-
abused custard pies, this toxin will not be destroyed by a heat step later in the process.
In evaluating the potential for bacterial pathogens to grow and/or produce toxin in your food
products, you should consider the following factors:
• The types of pathogenic bacteria that are known or reasonably likely to be present;
• Whether those pathogens can grow in the food;
• The infective dose of the pathogenic bacteria;
• The expected initial level of the pathogenic bacteria in the food.

See Chapter 4 of this guidance for an overview of processing conditions to minimize pathogen
growth by controlling temperatures to prevent pathogen growth and time of exposure to
temperatures at which growth can occur. See also Chapter 7 – Use of Time/Temperature
Control as a Process Control for more detailed recommendations to control process-related
biological hazards through time/temperature controls. Tables 3-A and 3-B (Appendix 3 of this
guidance) provide the limiting temperature conditions for growth of vegetative and sporeforming
bacterial pathogens.
3.3.4.2.2 Due to lack of proper cooling after heat treatments
Depending upon the food and ingredients, heat treated foods can still possibly have viable
forms (i.e., spores) of pathogenic bacteria present. Sometimes, vegetative cells that are
particularly heat tolerant, (like Listeria monocytogenes) survive the cooking process; however,
this should not be the case if the appropriate target pathogen was selected to be controlled by
the applied process. More often, it is spores that survive the cooking process if they are present,
and they begin to germinate when the product temperature begins to drop below 140°F. In
addition, they will be present in the food during storage. Some spores such as those from
pathogens such as non-proteolytic C. botulinum and some strains of B. cereus have the ability
to germinate and grow at refrigeration temperatures, although long times are required. Other
spores that remain in the food remain dormant until the product is temperature abused. In such
an event, pathogenic spores that may be present are able to germinate, grow and possibly
produce toxin due to the fact that most spoilage bacteria have been eliminated by the reduction
step.
See Chapter 4 of this guidance for an overview of processing conditions to minimize pathogen
growth by controlling temperatures during cooling after cooking. See also Chapter 7 – Use of
Time/Temperature Control as a Process Control for more detailed recommendations to control
process-related biological hazards through time/temperature controls.
3.3.4.2.3 Due to poor formulation control
Products most susceptible to biological hazards due to problems with formulation are RTE
products that either do not receive a kill step in their process or that receive a kill step for
vegetative pathogens but not spores and that may require refrigeration for safety during their
manufacture and shelf life. For this category of products, product formulation can play a
significant role in significantly minimizing or preventing hazards. For example, a naturally acidic
product with a pH below 4.6 may rule out C. botulinum as a hazard requiring a preventive
control, since this pH will prevent spore germination, growth, and toxin production. Formulation
parameters such as pH, a w , use of preservatives, and oxygen availability, can work in concert to
establish an ecosystem that is designed to inhibit the growth of the pathogens that may be
present. If not, just as described for foods that have been time and temperature abused,
bacterial pathogen growth and toxin formation can result due to this lack of inhibition and
control.
In determining the potential for a process-related hazard due to poor formulation control, we
recommend that you know the formulations or ingredient lists of your incoming products, as well
as the equilibrated pH, titratable acidity, a w , percent moisture, percent sodium and percent
sugar, as appropriate, of the finished combined product. Many of the products susceptible to
biological hazards due to problems with formulation are made up of multiple ingredients, each
with their own specific set of formulation parameters. Any one individual component not
meeting the required formulation criteria to ensure that the designed preventive control system

is achieved may result in a food that does not inhibit the growth or toxin formation of a pathogen
that may be present in the food.
In determining the potential for a process-related biological hazard due to poor formulation
control, we also recommend that you consider the interactions that may occur among the
various products, raw materials, and other ingredients when combined. Layering product
components of significantly different pH or a w values alters the microenvironments at the
interfaces of the components. A simple example is an éclair filled with a cream filling. The pH
and a w at the interface of the pastry and the filling will be affected by the difference between the
higher pH and lower a w of the pastry and the potentially lower pH and higher moisture content of
the filling, potentially resulting in an environment favorable to microbial growth. A microorganism
that is in the filling may not grow due to the pH, but the pH of the pastry may favor growth of a
microorganism at the interface during the product’s shelf life. Characteristics such as oxygen-
reduction (redox) potential and the effectiveness of antimicrobials are also likely to differ at
component interfaces and may impact pathogen survival and growth.
In determining the potential for a process-related hazard due to poor formulation control, we
also recommend that you consider how the equilibrium pH and a w of the finished product
compares to that of the individual components. If a finished formulated product is a more
homogeneous mixture of the components, then the resulting final equilibrium pH and a w may be
significantly different from that of the individual components. A good example is hummus, which
is typically made from chick peas (garbanzo beans), which may be rehydrated from a dry state,
blended with acidifying agents, oils and spices and then pureed. The final product with a smooth
texture will have an equilibrium pH, and possibly a w, different from the original ingredients. If a
topping of pine nuts, or oil, or diced red peppers is added to the top in the container as
“decoration” then those additions could then significantly change the microenvironment at the
interface and may require a control (such as acidification).
See Chapter 4 of this guidance for an overview of formulation-based controls. See Chapter 8 –
Use of Formulation as a Preventive Control for more detailed recommendations to control
process-related biological hazards through product formulation.
3.3.4.2.4 Due to reduced oxygen packaging (ROP)
From a food safety standpoint, packaging serves two functions: (1) It prevents contamination of
the food; and (2) it makes possible, or extends the effectiveness of, food preservation methods.
For example, packaging can maintain the atmosphere in a controlled or modified atmosphere
package or a vacuum package, or it can prevent rehydration of a dried food. All of these
different packaging methods are grouped into a category that we call ROP. ROP is used to
prevent the growth of spoilage organisms, thereby extending the shelf life of the product. There
are some other product quality benefits as well, such as reductions in rancidity, shrinkage, and
color loss.
However, ROP does not control the growth of all bacterial pathogens and can create a process-
related biological hazard. The extended shelf life provides more time for toxin production or
pathogen growth if pathogens are present and temperatures are suitable for growth. Lower
oxygen levels favor pathogens that can grow in the absence of oxygen over the aerobic
spoilage organisms that require oxygen for growth. For this reason, you may get toxin
production before you get spoilage - something that is less likely to happen in traditional
packaging.

The major concern with ROP is C. botulinum, although there may also be concerns with other
pathogens such as L. monocytogenes, particularly in refrigerated RTE foods. You should not
use ROP unless barriers for C. botulinum are present. These barriers include: a w below 0.93;
pH below 4.6; salt above 10%; thermal processing in the final container; and freezing with
frozen storage and distribution. Each of these barriers by itself can be effective in the control of
C. botulinum growth. Refrigeration below 38°F (3.33°C) can prevent growth of all strains of C.
botulinum, but because temperatures above this are commonly employed for refrigeration,
temperature should not be relied on as the only control. Combinations of barriers that
individually would not control growth of C. botulinum can work together to prevent growth.
For a further discussion on the potential for ROP to create a process-related biological hazard,
see Annex 6 of the 2013 Food Code (FDA, 2013b).
3.3.4.3 Bacterial pathogens in ingredients added after process controls
The manufacture of certain RTE products involves, by design, the addition of ingredients after
any process controls are applied. For example, the production of some fresh vegetable salad
kits includes the addition to the final product, prior to packaging, of various ingredients such as
nuts, dried berries, and seeds. The process control for the salad components (e.g., chlorine
wash) is applied to the various fresh cut vegetables that are mixed in preparation for packaging,
while the nuts, berries, and seeds are added just prior to packaging. As another example, the
production of some fresh-baked pastry products includes the addition of toppings, such as
frostings, nuts, dried fruit, confections (e.g., sprinkles). A facility that produces products
containing ingredients added after a process control should consider the potential for the added
components to be a process-related biological hazard as part of its hazard analysis.
3.3.4.4 Bacterial pathogens introduced after packaging due to lack of

container integrity
Food manufactured and processed (e.g., heat treated) in a container and/or clean-filled after
treatment can become contaminated if its container forms a leak or loses seal integrity, thereby
exposing the processed food to a variety of biological hazards. The primary pathogens of
concern include C. botulinum, L. monocytogenes, pathogenic strains of E. coli, Salmonella spp.,
S. aureus, and B. cereus.
The primary causes of recontamination of foods after a process control step and packaging are
defective container closures and contaminated cooling water. Poorly formed or defective
container closures can increase the risk of bacterial pathogens entering the container through
container handling that occurs after the product has been filled and the container has been
sealed. This risk is a particular concern during container cooling performed in a water bath. As
the product cools, a vacuum is drawn in the container. Contaminated cooling water can enter
through the container closure, especially if the closure is defective.
3.3.5 Potential Facility-Related Biological Hazards
Foodborne illnesses due to commercially produced foods have been traced to post-process
contamination due to the poor implementation of CGMPs, such as by exposure or contact with
contaminated equipment during processing such as conveying, holding, chilling or packaging.
Examples of events and foodborne illness outbreaks due to contamination of RTE foods are
quite extensive and readily available in scientific literature. Typically in these events, foods that
were processed by some means (e.g., cooked, pasteurized, dried) to reduce the presence of

microorganisms, in particular pathogens identified as hazards requiring a preventive control,

were subsequently exposed to the environment where they were recontaminated with
pathogens. As discussed in the following sections on facility-related biological hazards, there
are challenges to prevent this from happening.
Table 3-3 provides a list of examples, adapted in part from ICMSF Book 7, Chapter 11 (ICMSF,
2002) and from FDA documents that highlight the public health impact of contamination of RTE
foods with environmental pathogens.
Table 3-3. Examples of Pathogens Identified from Outbreaks Attributed to Contamination

with Environmental Pathogens
Environmental
Product Details Reference
Pathogen
Chocolate S. Napoli Possibly contaminated water used Gill, et. al. (1983)
in double-walled pipes, tanks and
other equipment
Chocolate S. Eastbourne From processing environment Craven, et. al.

(1975)
Butter (from L. monocytogenes From processing environment Lyytikainen et. al.

pasteurized cream) (2000)
Peanut butter S. Tennessee From processing environment FDA (2007a,

2007b)
Peanut butter Salmonella spp. From processing environment Cavallaro et al.

(2011); FDA
(2009b, 2009c)
Whole white pepper S. Rissen From processing environment FDA (2009d)
Cantaloupes L. monocytogenes From processing environment FDA (2012a)
Peanut butter S. Bredeney From processing environment FDA (2012b)
Soft cheeses (from L. monocytogenes From processing environment FDA (2013c)

pasteurized milk)
Soft cheese (from L. monocytogenes From processing environment FDA (2014a)

pasteurized milk)
The PCHF requirements specify that your hazard evaluation must include an evaluation of
environmental pathogens whenever a ready-to-eat food is exposed to the environment prior to
packaging and the packaged food does not receive a treatment or otherwise include a control
measure (such as a formulation lethal to the pathogen) that would significantly minimize the
pathogen. (See 21 CFR 117.130(c)(1)(ii).) Effectively designed and implemented CGMPs are
key to keeping biological hazards out of your food products. However, experience has shown
that application of CGMPs – even in combination with a HACCP plan - cannot guarantee that

contamination of a processed food from the environment will not occur. This is one reason why
the PCHF requirements specify that sanitation controls include procedures, practices, and
processes to ensure that the facility is maintained in a sanitary condition adequate to
significantly minimize or prevent hazards such as environmental pathogens (21 CFR
117.135(c)(3)). In addition, the PCHF requirements specify that, as appropriate to the facility,
the food, and the nature of the preventive control and its role in the facility’s food safety system,
you must conduct activities that include environmental monitoring, for an environmental
pathogen or for an appropriate indicator organism, if contamination of an RTE food with an
environmental pathogen is a hazard requiring a preventive control, by collecting and testing
environmental samples.
In the following sections, we provide information to help you determine whether an

environmental pathogen is a hazard requiring a preventive control in your facility. Although
Table 3-3 includes some examples of outbreaks of foodborne illness caused by facility-related
biological hazards other than environmental pathogens, we do not discuss those other facility-
related biological hazards in this chapter.
3.3.5.1 Sources of facility-related biological hazards
The likelihood of product contamination with a facility-related environmental pathogen increases

as the prevalence of the environmental pathogens in the processing environment increases.
The prevalence of the environmental pathogens in the processing environment can be
influenced by the raw materials used in the process, the type of process, and the hygienic
practices applied to keep to keep the processing area clean and hygienic. Table 3-4 is a quick
reference guide to help you identify some of the most common sources for facility-related
hazards that can contaminate the food processing environment; Table 3-4 does not provide an
exhaustive list of such pathogens.
Table 3-4. Quick Reference Guide for Common Sources of Facility-Related Biological
Hazards
Source Examples
• Raw milk
Raw agricultural commodities
• Cocoa beans
• Fruits and vegetables
• Nuts
• Unprocessed spices
• Transfer of biological hazards from one point to another
Food handlers and maintenance
on, for example, shoes and other clothing
personnel
• Improper hand washing
• Transfer of biological hazards to foods through improper
handling or maintenance practices
• Lack of appropriate air filtration for cooling, drying, air
Air and water
conveying
• Improper air flow from “raw” to RTE areas
• Aerosols from improper cleaning practices
• Flies
Insects and pests
• Cockroaches
• Rodents

Source Examples
• Forklifts
Transport equipment
• Trolleys
• Racks
• Carts
With these varied sources for potential contamination, it is easy to understand how a failure of
one or more steps in your CGMPs can lead to contamination of the processing environment
and, ultimately, your food products with facility-related biological hazards.
3.3.5.2 Transient vs. resident facility-related environmental pathogens
Once bacterial pathogens have been introduced into the processing environment, experience
has shown that pathogens may be present as “transient” contamination or “resident”
contamination within the facility.
3.3.5.2.1 Transient contamination
Bacterial pathogens, including environmental pathogens, are typically introduced into the
processing facility through, for example, incoming raw materials, personnel, or pests. It is
important to ensure that these microorganisms remain transient and do not become established
in the environment where they can grow and multiply. Transient contaminants can, however,
result in a diversity of pathogens in the processing environment that can show up in the
processing lines and finished product. This phenomenon is typical for food operations using a
wide variety of ingredients, in particular raw commodities, because these materials can contain
very diverse microflora. Generally though, the proper application of cleaning and sanitizing in
accordance with CGMPs is adequate to control the transient bacteria in the processing facility.
So, contamination detected from day-to-day may be found to be quite diverse.
3.3.5.2.2 Resident contamination
Bacterial pathogens causing resident contamination can also be introduced into the processing
facility, where the pathogens then become established in a harborage site, multiply, and persist
for extended periods of time, even years. A harborage site, or niche, is a site in the environment
or on equipment (e.g., junctions, cracks, holes, and dead-end areas) that enables the
accumulation of residues (food debris, dust, and water) and permits the growth of
microorganisms such as L. monocytogenes and Salmonella. These sites may be difficult to
inspect or access and therefore can protect environmental pathogens during routine cleaning
and sanitizing. Thus, while common cleaning and sanitation practices are adequate to control
the presence of transient contaminants, such practices do not control the presence of resident
contaminants once they have become established. Sanitation controls, including proper
personnel practices and equipment and facility design, are key to preventing transient bacterial
pathogens from becoming resident strains. Once an environmental pathogen has become
established as a “resident strain,” there is a persistent contamination risk for foods processed in
that facility. The facility will need to use intensified sanitation procedures to eliminate the
contamination. Of all the bacterial pathogens, Salmonella and L. monocytogenes have the most
extensive history of being able to set up residence in a processing facility. Although not as likely,
the potential exists for the other pathogens discussed previously in this chapter to become
established as resident contaminants.

Key determinants for the pathogens to become established in a food processing environment
are: 1) The temperature at which the food processing environment is maintained; 2) the
available moisture in the food processing environment; and 3) the availability of nutrients for
growth. For processed foods, this typically translates into two primary categories of food
processing environments by the nature of the products that are manufactured and packaged in
a facility:
• Frozen/refrigerated and wet

• Warm/ambient and dry
In both cases, proper cleaning is needed to minimize nutrient availability. The pathogen most
often associated with cold and wet processing environments is L. monocytogenes, and the
pathogen most often associated with warm and dry processing environments is Salmonella
(Scott et. al., 2009; ICMSF, 2005).
3.3.5.3 Facility-related environmental pathogens associated with wet vs.

dry processing environments
Food processing operations can typically be classified into one of two simple categories – wet
processing environments or dry processing environments (Table 3-5). This very simple
distinction has significant implications for the strategy that must be applied to control food
contamination from environmental pathogens.
Table 3-5. Some Examples of Foods Processed in Wet and Dry Processing
Environments
Processing Environment Examples of Foods

Conditions
• Ice Cream
Wet
• Refrigerated Dairy Products
• Refrigerated Deli Salads
• Refrigerated and Frozen Meals
• Refrigerated Beverages (non-juice)
• Chocolate and Confections
Dry
• Milk Powders
• Baked Goods
• Dehydrated Soups
• Powdered Beverages
• Nut/nut products
3.3.5.3.1 Wet process environments
The most effective strategy to prevent the contamination of finished products with L.
monocytogenes is to maintain an environment as dry as possible. Wet environments have some
very obvious characteristics that lead to problems with contamination by L. monocytogenes,
such as:

• Wet floors due to constant wet cleaning will facilitate the transfer of Listeria spp., including L.
monocytogenes, from an environmental source to food contact surfaces;
• Wet floors can create harborage sites if they are not well maintained and have
broken/cracked grout or tiles. These structures may provide protected harborage to
environmental pathogens even when the floors are cleaned and sanitized.
• Condensation on overhead structures as a result of air temperature and humidity control
issues and from use of water in cooking and cooling operations creates a means of transfer
of Listeria spp., including L. monocytogenes, from non-food-contact surfaces to exposed
product and equipment food-contact surfaces.
• Frost formation due to condensation at freezer entry and exit points provides an opportunity
for moisture accumulation and a constant source of water for Listeria spp. to multiply.
• Inadequate sanitation practices on floor freezer and cooler units may provide the moisture to
support Listeria spp., including L. monocytogenes, if water sources are not properly
plumbed to hygienically designed drains.
Wet floors can serve as vectors for spreading Listeria spp. via the movement of people and
equipment and material handling items such as totes and pallets. Wet floors can also serve as
vectors for pathogen transfer when personnel walk through standing water on poorly designed
floors and drains and during cleaning. L. monocytogenes does not spread alone through the air;
however, in wet environments, aerosols from high pressure water hoses used during cleaning
operations help spread L. monocytogenes throughout the environment and from one surface
(e.g., floors) to another surface (e.g., food contact surfaces, such as conveyors, tables, and
product containers). In many facilities, certain processing operations are inherently wet, such as
product debagging, raw material preparation, mixing and formulation of liquid product
components, cooking, and blanching. In these cases, the best that can be done is to control the
personnel, equipment traffic, and cleaning practices that are involved with the specific operation.
The intent is to minimize water accumulation and aerosol formation to prevent in-process and
finished product recontamination.
We recommend that wet processing areas be dried out as much as possible. This continues to
be an ongoing challenge for the food industry that has for many years depended upon the
unlimited use of water for equipment and facility cleaning practices.
3.3.5.3.2 Dry process environments
Moisture control is critically important in preventing Salmonella contamination in low-moisture

products (ICMSF, 2005). Water in the dry processing environment is one of the most significant
risk factors (perhaps the single most important factor) for Salmonella contamination, because
water allows for pathogen growth, significantly increasing the risk for product contamination.
Water, present even in very small amounts for short, sporadic time periods, may allow
Salmonella to grow in the environment. At times, moisture is obvious in the form of water
droplets or puddles from wet cleaning or from other not-so-apparent sources such as high
relative humidity or moisture accumulating inside of equipment.
Salmonella can, to varying degrees, be introduced into low-moisture product manufacturing

facilities and become established in those environments. Harborage sites may develop and
become a source of product contamination, unless the sites are identified and eliminated (CAC,
2008).

Growth of Salmonella is only possible in the presence of water. Because food particles and dust
are normally expected to be present in processing areas, adequate nutrients are always
available to microorganisms. Growth cannot occur, however, if the plant environment is
sufficiently dry. The potential Salmonella harborage sites become more important when water is
present for a sufficient period of time. The presence of water in the dry processing environment
can result from improper use of water during cleaning, which has been linked to the occurrence
and spread of Salmonella (CAC, 2008). Other events resulting in the presence of water in a dry
area include condensate formation, leaking water or steam valves, infiltration of water following
heavy rains (e.g., leaky roofs) and the use of water showers in the case of fire emergencies.
(CAC, 2008). We recommend that you remove water immediately from the primary Salmonella-
controlled hygiene areas (areas where RTE food is exposed to the environment) following such
events in order to keep the plant environment as dry as possible.
You should maintain dry conditions at all times in primary Salmonella-controlled hygiene areas,
except for the occasions when you have determined that controlled wet cleaning is necessary.
Potential problems arise when there is visible water present in the dry areas or when there are
areas in which standing water has dried out. Salmonella may be found both in wet spots and in
spots where standing water has dried (Zink, 2007). The latter situation may present an
additional risk of spread via the generation of airborne contaminated dust.
3.4 Chemical Hazards

chemical hazards. See 21 CFR 117.130(b)(1)(ii). When your hazard analysis identifies a known
or reasonably foreseeable chemical hazard that requires a preventive control, you must identify
and implement a preventive control for the chemical hazard. See 21 CFR 117.135(a)(1).
The chemical hazards that are the focus of this section of this chapter include ingredient-related
chemical hazards (i.e., pesticide and drug residues, heavy metals, environmental contaminants,
histamine due to decomposition, natural toxins (e.g., mycotoxins), radiological hazards,
unapproved food and color additives, food allergens, and substances associated with a food
intolerance or food disorder) and process-related chemical hazards (i.e., food allergens,
substances introduced by misformulation and the introduction of industrial chemicals or other
contaminants from the food processing environment).
Food products can become contaminated with chemical hazards that are introduced at any
stage in food production and processing. Some ingredient-related chemical hazards are natural
components of food, such as food allergens, or are produced in the natural environment, such
as mycotoxins, whereas other ingredient-related hazards (e.g., pesticides, drug residues, heavy
metals, environmental contaminants) are contaminants of raw materials and other ingredients.
Some process-related chemical hazards may be included in product formulation (e.g., sulfites
that are a hazard for those consumers who are sensitive to them), whereas other process-
related chemical hazards may be unintentionally introduced into food, such as industrial
chemicals that are used in a facility for purposes other than food production. Process
contaminants may also form during heating (e.g., acrylamide). 2 For further details on the
2
Some processing contaminants are formed during the heating of certain ingredients or finished foods
(e.g., acrylamide). We have not included such contaminants in Table 3-6 as potential process-related
chemical hazards that may require a preventive control as part of a food safety plan under part 117
because we believe that more information is needed regarding appropriate levels and effective controls.
As stated in our “Guidance for Industry: Acrylamide in Foods” (FDA, 2016a), we recommend that

sources of ingredient-related and process-related chemical hazards, see Tables 2A through 2Q

and Tables 3A through 3Q of Appendix 1 of this guidance.
A chemical hazard may cause immediate effects, or may be associated with potential long-term
effects after chronic exposure to the chemical. One example of an immediate effect is
gastrointestinal illness such as nausea, which can be caused by elevated levels of industrial
chemicals (such as caustic cleaning compounds). Caustic cleaning compounds can also cause
burning of the mouth and esophagus. Ammonia in food contaminated by a refrigerant leak has
caused gastrointestinal illness (stomachache and nausea) and headaches (Dworkin, et al.
2004). Sulfites have resulted in diarrhea, headache, difficulty breathing, vomiting, nausea,
abdominal pain and cramps in sulfite-sensitive individuals (Timbo et al. 2004). Examples of
long-term effects include impaired cognitive development in children chronically exposed to
relatively low levels of lead (e.g., in contaminated candy) (FDA, 2006a) and liver cancer
resulting from chronic exposure to the mycotoxin, aflatoxin (Williams et. al, 2004 and Shephard,
2008).
FDA has set action levels and tolerances for some contaminants (FDA, 2015f). They represent
limits at or above which FDA will take legal action to remove products from the market. Where
no established action level or tolerance exists, FDA may take legal action against the product at
the minimal detectable level of the contaminant. Action levels and tolerances are established
based on the unavoidability of the poisonous or deleterious substances and do not represent
permissible levels of contamination where it is avoidable. For example, FDA has established an
action level of 3 ppm polychlorinated biphenyl (PCB) residues in red meat on a fat basis (FDA,
1987). FDA also has issued for public comment a draft guidance for industry that would, when
finalized, establish an action level of 100 ppb for inorganic arsenic in infant rice cereal (FDA
2016). FDA has established tolerances for polychlorinated biphenyls (PCB's) in foods such as
milk and other dairy products, poultry, eggs, and infant and junior foods (see 21 CFR 109.30).
Further, under the Federal Food, Drug, and Cosmetic Act (FD&C Act), certain substances, such
as food additives, color additives, new animal drugs, and pesticides require premarket approval
before they may be legally used.
FDA also has issued guidances to provide information to industry on methods to reduce levels
of specific chemicals in foods. For example, FDA has issued guidance providing information to
help growers, manufacturers, and food service operators reduce acrylamide levels in certain
foods (FDA, 2016a). Similarly, the Codex Alimentarius Commission has established a number
of codes of practice for controlling mycotoxins, heavy metals, and other chemicals in foods
(CAC, 2012).
Chemical residues in a food are not always considered hazards and their occurrence may be
unavoidable. Because the particular chemical and its levels in the food determine whether it is a
hazard, and because mechanisms whereby a chemical hazard can be introduced into a food
product are both varied and dependent on the nature of the chemical, the preventive controls
that you identify and implement to control specific chemical hazards should be based on the
characteristics of those chemicals and the mechanisms whereby they could be introduced into
your food product. In the following sections on chemical hazards, we describe some common
preventive controls for controlling chemical hazards. For additional information on the control of
manufacturers evaluate approaches to acrylamide reduction that may be relevant to their particular
processes and consider adopting approaches, if feasible, that reduce acrylamide levels in their products.

chemical hazards, see Chapter 4 – Preventive Controls and Chapter 12 – Preventive Controls
for Chemical Hazards.
In the remainder of this section on chemical hazards, we briefly describe characteristics of some
chemical hazards that are of concern in foods and processing environments, including
mechanisms whereby they can be introduced into a food product. We do not discuss seafood
toxins in this guidance because seafood is exempt from the PCHF requirements; for a
discussion of seafood toxins see our Fish and Fishery Products Hazards and Controls Guidance
(FDA, 2011).
Table 3-6 is a quick reference guide to help you identify some of the most common sources of
chemical hazards; Table 3-6 does not provide an exhaustive list of such hazards
Table 3-6. Quick Reference Guide for Common Sources of Chemical Hazards
Source Examples
• Pesticide residues on produce raw agricultural
Ingredient-related chemical hazards
commodities
• Drug residues in milk
• Heavy metals in or on produce raw agricultural
commodities
• Environmental contaminants (e.g., dioxins)
• Mycotoxins in grains
• Histamine in some aged cheeses
• Radiological hazards in foods from areas after a nuclear
accident
• Unapproved food or color additives
• Food allergens and substances associated with a food
intolerance or food disorder (e.g., sulfites, gluten)
• Undeclared food allergens due to mislabeling or cross-
Process-related chemical hazards
contact
• Improper addition of substances associated with a food
intolerance (e.g., sulfites)
• Improper use of a color additive such as Yellow No. 5
• Contamination with industrial chemicals such as cleaners
or sanitizers
• Radiological hazards from use of contaminated water
supply
• Heavy metals due to leaching from equipment, containers,
Facility-related chemical hazards
or utensils
3.4.1 Ingredient-Related Chemical Hazards
3.4.1.1 Pesticides
Pesticide residues may be of concern in food crops and in foods of animal origin (as a result of
pesticide residues in animal food). The term pesticide is used for products such as insecticides,
fungicides, rodenticides, insect repellants, herbicides or weed killers, and some antimicrobials
that are designed to prevent, destroy, repel, or reduce all types of pests (See EPA “Setting

Tolerances for Pesticide Residues in Foods”) (EPA, 2015). Three federal government agencies
share responsibility for the regulation of pesticides. Pesticides that have been registered (i.e.,
approved) with the U.S. Environmental Protection Agency (EPA) may be applied according to
label directions directly to raw agricultural commodities or food (see 40 CFR 180). For a
registered pesticide that could potentially result in residues in or on food, the EPA establishes a
tolerance, which is the maximum amount of residue that is permitted in or on a food. FDA is
responsible for enforcing pesticide tolerances for foods other than meat, poultry, and certain egg
products, which are the responsibility of the U.S. Department of Agriculture Food Safety and
Inspection Service (USDA FSIS) (FDA, 2012d). A detailed description of how FDA enforces
pesticide residues in animal food is available in CPG Sec. 575.100 Pesticide Residues in Food
and Feed – Enforcement Criteria (FDA, 2015e). If pesticide residues are present in food in the
absence of, or in excess of, a tolerance, the food is deemed adulterated under section
402(a)(2)(B) of the FD&C Act (21 U.S.C. 342(a)(2)(B)). The most common reasons for
adulteration of food products with pesticide residues are the improper treatment of raw materials
with registered pesticides, and raw materials being exposed to prohibited pesticides.
Fruits and vegetables that have been grown in the United States usually are in compliance with
EPA’s pesticide tolerance regulations. If you obtain produce from a foreign country you should
take steps to ensure that the imported produce will be in compliance with U.S. pesticide
tolerance regulations, such as by considering pesticide residues to be chemical hazards that
warrant preventive controls, such as supply-chain controls with a supplier verification program.
3.4.1.2 Animal drug residues
Animal drug residues may be of concern for foods of animal origin, including muscle meat,
organ meat, fat/skin, eggs, honey, and milk. In the United States, animal drugs require approval
by FDA before they can be administered to food-producing animals. Depending on the
chemical property of the drug, residues of certain drugs can become concentrated during food
manufacturing and processing. For example, if a fat-soluble, heat-stable drug residue is present
in raw milk, the drug can get concentrated when the milk is converted to full fat cheese
(Cerkvenik et al., 2004; Imperiale et al., 2004). Potential effects of drug residues range from
short-term effects as a result of acute allergic reactions (e.g., penicillin) to long-term effects from
drug resistant bacteria (Dayan, 1993). An example of an unapproved drug residue that has
adulterated food is fluoroquinolone, which is an antibiotic that has not been approved for use on
honey bees in the United States and has been detected in honey products from certain regions
outside the United States (FDA, 2015a).
Drug residues in a food derived from an animal (such as milk) are considered a hazard if a
tolerance has not been established for the particular drug-food combination, or if the tolerance
level has been exceeded. Animal drugs used according to labeled directions should not result in
residues in meat, poultry, milk, or egg products. When your hazard analysis identifies drug
residues that require a preventive control, supply-chain controls with a supplier verification
program could be an appropriate preventive control to manage the potential risk.
3.4.1.3 Heavy metals
Heavy metals, including lead, cadmium, arsenic, and mercury, may be of concern in certain
foods as a result of agricultural practices (e.g., use of pesticides containing heavy metals or
because crops are grown in soil containing elevated levels of heavy metals due to industrial
waste), or the leaching of heavy metals from equipment, containers or utensils that come in
contact with foods. Consumption of heavy metals in foods can lead to adverse health

consequences. For example, lead exposure can impair cognitive development in children (FDA,
2006a). Consumption of inorganic arsenic has been associated with cancer, skin lesions,
developmental effects, cardiovascular disease, neurotoxicity, and diabetes in humans (JEFCA,
2010).
When your hazard analysis identifies a heavy metal that requires a preventive control, the type
of control would depend on how the heavy metal could get into your food product. In some
cases, high levels of heavy metals may result from the environment (e.g., high lead levels in
carrots that were grown in lead-contaminated soil). If your food product contains a food crop that
is known to have been contaminated with a heavy metal through contaminated soil, a preventive
control such as a supply-chain control with a verification program to ensure that the grower
conducts an assessment of the growing region prior to its use for agriculture may be
appropriate. In other cases, an unsafe level of a heavy metal such as lead could be introduced
into a food product as a result of a food-contact surface constructed with lead solder. CGMP
controls, such as the controls on equipment and utensils in 21 CFR 117.40, generally can
control chemical hazards such as heavy metals that can leach from food-contact surfaces.
3.4.1.4 Environmental contaminants
Environmental contaminants may be of concern in certain foods as a result of their presence in

the environment. When your hazard analysis identifies an environmental contaminant that
requires a preventive control, the type of control would depend on how the environmental
contaminant could get into your food product. In some cases, high levels of environmental
contaminants (e.g., dioxin) may result from accidental contamination of animal feed (WHO,
2014). In 2008, pork meat and pork products were recalled in Ireland when up to 200 times the
safe limit of dioxins were detected in samples of pork, although risk assessments indicated no
public health concern. The contamination was traced back to contaminated feed. In 1999, high
levels of dioxins were found in poultry and eggs from Belgium and in several other countries.
The cause was traced to animal feed contaminated with illegally disposed PCB-based waste
industrial oil. Because dioxins tend to accumulate in the fat of food-producing animals,
consumption of animal-derived foods (e.g., meat, poultry, eggs, fish, and dairy products) is
considered to be the major route of human exposure, and FDA has developed a strategy for
monitoring, method development, and reducing human exposure (FDA, 2002).
3.4.1.5 Mycotoxins and other natural toxins
Natural toxins, such as mycotoxins, histamines and other biogenic amines, and plant-produced
substances (such as the toxin hypoglycin A found in the tropical fruit ackee) are well recognized
as hazards in raw or processed agricultural commodities (FDA, 2005a; FDA 2005b; FDA,
2005c; FDA, 2005d).
Mycotoxins are a common group of natural toxins that include aflatoxin, fumonisin,
deoxynivalenol (vomitoxin), ochratoxin, and patulin (see Table 3-7). Mycotoxins are toxic
metabolites produced by certain fungi (i.e., molds) that can infect and proliferate on agricultural
commodities (e.g., grains such as wheat and corn, peanuts, fruits, and tree nuts) in the field and
during storage. Mycotoxins may produce various toxicological effects. Some mycotoxins are
teratogenic, mutagenic, or carcinogenic in susceptible animal species and are associated with
various diseases in domestic animals, livestock, and humans in many parts of the world. The
occurrence of mycotoxins in human and animal foods is not entirely avoidable; small amounts of
these toxins may be found on agricultural commodities. Occurrence of these toxins on
commodities susceptible to mold infestation is influenced by environmental factors such as

temperature, humidity, and the extent of rainfall during the pre-harvesting, harvesting, and post-
harvesting periods. The molds that produce mycotoxins typically grow and become established
in the agricultural commodity during stressful growing and holding conditions, such as insect
damage to the crop, drought stress, and wet storage (e.g., from condensation). Although
mycotoxins are not a hazard requiring a preventive control during times and locations with good
growing and harvest conditions, a preventive control such as supply-chain controls with a
supplier verification program may be appropriate if you use agricultural commodities susceptible
to mycotoxin formation, because growing and harvest conditions vary from year to year.
Table 3-7 Common Mycotoxins Associated with Commodities
Mycotoxins Commodities Associated with Mycotoxins

Aflatoxin Peanuts, dried corn, tree nuts
Ochratoxin Coffee, raisins, cereal grains
Fumonisins Dried corn
Deoxynivalenol Wheat, barley
Patulin Apples
Histamines and other biogenic amines are produced from the breakdown of amino acids by
bacteria in animal-derived foods (e.g., histamine is produced from the amino acid histidine).
Effects of foodborne histamines or other biogenic amines generally are acute effects, including
headache, nausea, heart palpitations, facial flushing, itching, urticaria (hives), and
gastrointestinal upset. Consumption of certain cheeses, especially aged cheeses, has been
associated with illness from histamines (Taylor and WHO, 1985; Stratton et. al, 1991). If you
determine that cheeses you use as a raw material present a histamine hazard, you must identify
and implement a preventive control (see 21 CFR 117.135(a)). If you purchase such cheeses,
we recommend a supply-chain control with a supplier verification program as well as
temperature controls to minimize growth of histamine-producing microorganisms.
An example of a natural toxin produced by a plant is hypoglycin A, a heat stable toxin found in
the tropical fruit ackee. The level of hypoglycin A in the edible portion of the ackee fruit
decreases as the fruit ripens. Only properly ripened and processed ackee products with
hypoglycin A at negligible levels are safe for consumption (FDA, 2015f). Although some persons
consume unripe ackee with no adverse effects, other persons who consume unripe ackee with
hypoglycin A exhibit symptoms that range from mild (e.g., vomiting) to severe (e.g., vomiting
with profound hypoglycemia, drowsiness, muscular exhaustion, and possibly coma and death).
3.4.1.6 Chemical hazards that may be intentionally introduced for

purposes of economic gain
The PCHF requirements specify that you must consider, as part of your hazard identification,
known or reasonably foreseeable hazards that may be intentionally introduced for purposes of
economic gain (21 CFR 117.130(b)(2)(iii)). We recommend that you focus on circumstances
where there has been a pattern of such adulteration in the past, suggesting a potential for

intentional adulteration even though the past occurrences may not be associated with the
specific supplier or the specific food product. Table 3-8 is a quick reference guide listing
circumstances where there has been a pattern of such adulteration in the past. Additional
resources include a free on-line food fraud database made available by the U.S. Pharmacopeial
Convention (USP) 3 (USP, 2014 and USP, 2016), a report from the Congressional Research
Service (Congressional Research Service, 2014), and a report that identifies 137 unique
incidents in 11 food categories (Everstine et al., 2013).
Table 3-8. Quick Reference Guide for Hazards That May Be Intentionally Introduced for
Purposes of Economic Gain
Food Containing the

Hazard Details Reference
Hazard
Milk Melamine Milk firms in one country added FDA, 2008

melamine, a nitrogen-rich industrial
by-product, to diluted dairy
products to increase the apparent
protein content
Turmeric Lead chromate A chemical with a vibrant yellow FDA, 2013d

color that has been used as an
adulterant in turmeric to change
the color of the spice to suggest
that it is of a higher quality
Paprika Lead oxide A red chemical that has been used Lead Action
as an adulterant in paprika to News, 1995
change the color of the spice to
suggest that it is of a higher quality
Chili powder Sudan I An orange-red powder that had United Kingdom

been added to chili powder as a Food Standards
coloring agent, but is now banned Agency, 2005
in many countries because the
International Agency for Research
on Cancer has classified it as a
category 3 carcinogen (not
classifiable as to its carcinogenicity
to humans)
In determining whether a hazard that may be intentionally introduced for purposes of economic
gain is a hazard requiring a preventive control, we recommend that your hazard analysis
consider both the country of origin of an ingredient that may contain the hazard and any specific
supplier associated with an ingredient containing that hazard. For example, one example listed
3
USP is a scientific nonprofit organization that sets standards for the identity, strength, quality, and purity
of medicines, food ingredients, and dietary supplements manufactured, distributed and consumed
worldwide.

in Table 3-8 is a widespread incident of economically motivated adulteration in which some milk
firms in one country added melamine, a nitrogen-rich industrial by-product, to diluted dairy
products to increase the apparent protein content (FDA, 2008). This adulteration resulted in
significant public health consequences, with more than 290,000 ill infants and 6 deaths in that
country. In light of this incident, we recommend that you include in your hazard analysis the
potential for melamine to be an economically motivated adulterant in your food products when
using milk products from a country where melamine adulteration has occurred and, based on
the outcome of that hazard analysis, determine whether melamine is a hazard that must be
addressed in your food safety plan. At present, we do not expect you to consider the potential
for melamine to be a significant hazard when using domestic milk products, or milk products
from other countries when there is no history of melamine adulteration associated with those
countries.
If you determine through your hazard analysis that a hazard that may be intentionally introduced
for purposes of economic gain is a hazard requiring a preventive control, we recommend that
you address that hazard through your supply-chain program.
3.4.2 Chemical Hazards That Can Be Either Ingredient-Related or Process-

Related
3.4.2.1 Food allergens
Researchers estimate that up to 15 million Americans and more than 17 million Europeans have
food allergies (FARE, 2015). A number of foods contain allergenic proteins, which are natural
constituents of the food that can pose a health risk to certain sensitive individuals. The
symptoms of food allergies can include a tingling sensation in the mouth, swelling of the tongue
and throat, nausea, difficulty in breathing, chest pain, hives, rash, itchy skin, vomiting,
abdominal cramps, diarrhea, sudden drop in blood pressure, loss of consciousness, and, in
severe cases, death. Symptoms of a food allergy usually come on suddenly, can be triggered by
a small amount of food, and happen every time the food is eaten. The symptoms are the result
of the body’s immune system reacting to a specific food or an ingredient in the food.
Allergic consumers must avoid allergens to prevent potentially life threatening reactions.
Undeclared food allergens are chemical hazards that can get into food because either: (1) The
food manufacturer did not properly declare a food allergen ingredient on the product label; or (2)
unintended (and, thus, undeclared) food allergens are present in a food due to incorrect labeling
or due to allergen cross-contact.
This section of this chapter provides a general discussion of food allergen hazards and common
mechanisms to control them. For more detailed information, see Chapter 11 – Food Allergen
Controls, which provides a comprehensive guide to food allergen control. An additional
resource is “Managing Allergens in Food Processing Environments,” a publication of the
Grocery Manufacturer’s Association (GMA, 2009).
3.4.2.1.1 The “Big Eight” food allergens
The Food Allergen Labeling and Consumer Protection Act (FALCPA) of 2004 amended the
FD&C Act and defined the following eight foods and any ingredients that contain protein derived
from these eight foods (with certain exemptions noted in section 201(qq)(2) of the FD&C Act (21

U.S.C. 321(qq)(2)) as major food allergens: milk, eggs, fish, crustacean shellfish, tree nuts,
peanuts, wheat, and soybeans. The eight foods or food groups cause more than 90% of the
food allergies in the United States (FDA, 2015c) and are commonly referred to as “the big eight”
food allergens. FDA has published guidance on labeling the food allergens identified in
FALCPA – See “Guidance for Industry: Questions and Answers Regarding Food Allergens,
including the Food Allergen Labeling and Consumer Protection Act of 2004” (FDA, 2006b).
Immediately below, we provide more information about each of “the big eight food allergens.”
• Crustacea: The class of Crustacea, or shellfish, includes shrimp, crab, lobster, and crayfish.
Crab and shrimp are the most commonly consumed shellfish in the United States. The major
shellfish allergen is tropomyosin, a muscle protein that accounts for 20% of the dry weight of
shrimp (GMA, 2009).
• Egg: Most egg allergic proteins are found in the egg white (albumin) rather than the yolk.
• Fish: Different fish species (e.g., bass, cod, and flounder) have been found to have
structurally-related proteins, and this may explain why individuals with a fish allergy are
allergic to multiple types of fish. Cooking may reduce the allergenicity of fish, but it does not
eliminate it.
• Milk (Dairy): Cow’s milk contains a number of different proteins that are grouped into two
categories: caseins, which constitute 80% of the total protein, and whey proteins, which
make up 20%.
• Peanut: Peanut seeds contain an average of about 29% protein, classified as albumins or
globulins.
• Soy: Globulins are the major proteins in soybeans.
• Tree Nuts: Tree nuts include almonds, Brazil nuts, cashews, filberts/hazelnuts, macadamia
nuts, pecans, pine nuts, pistachios, and walnuts. FDA lists the nuts considered “tree nuts”
in its 2006 “Guidance for Industry: Questions and Answers Regarding Food Allergens,
including the Food Allergen Labeling and Consumer Protection Act of 2004 (Edition 4)”
(FDA, 2006b) and its 2013 Guidance for Industry: A Food Labeling Guide (FDA, 2013a).
• Wheat: Wheat proteins include the globulins, prolamins (i.e., glutenin and gliadin), and
glutelins. About 25% of wheat-allergic children react to other cereal grains (i.e., barley, oats,
or rye). Gluten is a mixture of proteins that occur naturally in wheat, rye, barley and
crossbreeds of these grains. It is associated with celiac disease, which affects as many as 3
million people in the United States by the body's natural defense system attacking the lining
of the small intestine and preventing the proper absorption of nutrients (FDA, 2015(d)).
3.4.2.1.2 Undeclared food allergen hazards due to incorrect label design
FALCPA also amended section 403 of the FD&C Act (21 U.S.C. 343) to prescribe certain
requirements for what you must declare on the product label for any food product that contains
any of the “big eight allergens,” including allergenic whole foods (such as milk) and any
ingredients that contain protein derived from these foods (such as casein derived from milk).
See section 403(w) of the FD&C Act (21 U.S.C. 343(w)) and our guidance entitled “Guidance for
Industry: Questions and Answers Regarding Food Allergens, including the Food Allergen
Labeling and Consumer Protection Act of 2004” (FDA, 2006b).

An undeclared food allergen (including a food allergen contained in flavorings, colorings, and
incidental additives) due to an incorrect label design that does not address all of the labeling
requirements of FALCPA is a chemical hazard. See 21 CFR 117.130(b)(1)(ii).
3.4.2.1.3 Undeclared food allergen hazards due to incorrect application or

use of a product label
If you apply the wrong label to a food, or use the wrong packaging (e.g., using packaging for
“chocolate ice cream” rather than for “chocolate ice cream with almonds”), consumers who have
a food allergy could purchase a food that would cause an allergic reaction. An undeclared food
allergen due to applying the incorrect food label to a product, or using the wrong packaging, is a
chemical hazard. See 21 CFR 117.130(b)(1)(ii).
3.4.2.1.4 Undeclared food allergen hazards due to allergen cross-contact
Cross-contact results from the unintentional incorporation of undeclared allergens into foods
that are not intended to include those allergens. Cross-contact can occur either between foods
that contain different food allergens or between foods with and without food allergens.
Introduction of an allergen through cross-contact may occur during receiving, handling,
processing and storage of ingredients and foods, utensils, and packaging; through improper
handling and cleaning of equipment, utensils, and facilities; and through improper facility design.
An undeclared food allergen due to allergen cross-contact is a chemical hazard. See 21 CFR
117.130(b)(1)(ii). Allergen cross-contact can result from:
• Failure to schedule the production of two different products appropriately, resulting in an

allergen-containing product contaminating a product without food allergens.
• Failure to adequately clean between two different formulations of a product that do and do
not contain allergens, resulting in an allergen-containing product contaminating a product
without the allergen.
• Failure to store allergen-containing ingredients separately from ingredients that do not
contain allergens, where leakage of allergen-containing materials results in contamination of
the non-allergen containing product.
• Failure to handle powdered allergens in a way that prevents particles from blowing onto
foods or food contact surfaces for foods that do not contain that allergen.
3.4.2.2 Food additives, color additives, and GRAS substances, including
substances associated with food intolerance or food disorder
Under sections 201(s) and 409 of the FD&C Act (21 U.S.C 321(s) and 348, respectively), a
substance that is added to food requires premarket review and approval as a food additive
unless it satisfies the statutory exclusion from the definition of "food additive" for a substance
that is generally recognized as safe (GRAS) under the conditions of its intended use (section
201(s) of the FD&C Act or is otherwise excepted from the statutory definition of food additive
(e.g., as a color additive, as a dietary ingredient intended for use in a dietary supplement, or as
a new animal drug).
Under sections 201(t) and 721 of the FD&C Act (21 U.S.C 321(t) and 379(e), respectively), a
color additive requires premarket review and approval; there is no statutory GRAS exclusion
applicable to a color additive.

Generally, a food additive, color additive, or GRAS substance is known to be safe for use in
food only under specific conditions of use, such as a maximum level of use or use only in
certain food categories. The potential risk to consumers increases when these substances are
not properly controlled, such as exceeding the usage rates or accidentally introducing an
additive into a food for which it was not approved.
For some consumers, certain substances (including substances that are lawfully used in food as
food additives, color additives, GRAS substances, and components of whole foods such as
milk) can cause hypersensitivity reactions because the substance irritates the stomach, or the
body cannot properly digest it. The symptoms include nausea, abdominal pain, diarrhea,
vomiting, gas, cramps or bloating, heartburn, headaches, irritability, or nervousness. Symptoms
of food intolerance usually occur gradually, in comparison with the sudden onset from an
allergic reaction, and may only occur when a lot of a food is consumed or the food is consumed
often.
• Lactose: Some people are intolerant to lactose, a sugar that is a component of milk,
because they lack the enzyme to digest lactose. The symptoms include abdominal pain,
diarrhea, vomiting, gas, cramps or bloating. People who have a lactose intolerance avoid
milk or milk products and rely on the allergen labeling for milk to identify the types of
products that may cause them problems.
• Sulfiting agents: Sulfiting agents are used as chemical preservatives in various products.
People sensitive to sulfiting agents can experience symptoms that range from mild to life-
threatening reactions. As noted previously, sulfites have resulted in diarrhea, headache,
difficulty breathing, vomiting, nausea, abdominal pain and cramps in sulfite-sensitive
individuals (Timbo et al. 2004).
• The sulfiting agents permitted in foods that must be listed on the ingredient label, unless
they are added to food as an “incidental substance,” are: sulfur dioxide (21 CFR 182.3862),
sodium sulfite (21 CFR 182.3798), sodium bisulfite (21 CFR 182.3739), sodium metabisulfite
(21 CFR 182.3766), potassium bisulfite (21 CFR 182.3616), and potassium metabisulfite (21
CFR 182.3637). Sulfiting agents are considered to be incidental only if they have no
technical effect in the finished food and are present at less than 10 parts per million (ppm)
(21 CFR 101.100(a)(4)). The quantity of sulfiting agents added to food should not exceed
the amount necessary to achieve the intended technical effect(s).
• Yellow No. 5: Yellow No. 5 (tartrazine) is a color additive subject to color certification under
section 721(c) of the FD&C Act. (21 U.S.C. 379e) People sensitive to Yellow No. 5 can
experience symptoms that range from mild to moderately severe. For example hives occur
in some intolerant individuals, but in asthmatic individuals Yellow No.5 can trigger allergic-
type reactions (including bronchial asthma). To help protect people who are sensitive to
Yellow No. 5, FDA’s regulation for Yellow No. 5 states that any food for human use that
contains Yellow No. 5 must specifically declare the presence of the color additive by listing it
as an ingredient (21 CFR 74.705(d)(2)). If Yellow No. 5 is added but is not declared, the
product would be both misbranded under section 403(m) of the FD&C Act (21 U.S.C.
343(m) and adulterated under section 402(c) of the FD&C Act (21 U.S.C 342(c)).
• Cochineal extract and carmine: Cochineal extract and carmine are color additives
permitted for use in foods in the United States under conditions of safe use listed in 21 CFR
73.100. For sensitive consumers, cochineal extract and carmine can cause severe allergic
reactions, including anaphylaxis (74 FR 207, January 5, 2009). Although the color additives
cochineal extract and carmine cause allergic reactions, they are not included in the eight

major food allergens identified in FALCPA. As a result, the color additives cochineal extract
and carmine are not included in the definition of “food allergen” in part 117 and are not
subject to the food allergen controls specified in the PCHF requirements. In addition, FDA’s
specific labeling requirement in the color additive listing for cochineal extract and carmine
(21 CFR 73.100(d)(2)), rather than the more general labeling requirements of FALCPA,
govern the food labeling requirements cochineal extract and carmine. All human foods
containing cochineal extract or carmine are required to declare the presence of the color
additive by listing its respective common or usual name, “cochineal extract” or “carmine,” in
the statement of ingredients ((21 CFR 73.100(d)(2)). Additional information on the labeling
requirements for these two color additives can be found in FDA industry guidance,
Cochineal Extract and Carmine: Declaration by Name on the Label of All Foods and
Cosmetic Products That Contain These Color Additives; Small Entity Compliance Guide
(FDA, 2009a). Control strategies for cochineal extract and carmine are similar to those
applied to food allergen labeling controls.
In addition, some consumers have celiac disease, which is a hereditary, chronic inflammatory
disorder of the small intestine triggered by the ingestion of certain storage proteins (referred to
as gluten) occurring in wheat, rye, barley, and crossbreeds of these grains. As discussed in
section 3.4.2.1.1 of this chapter, celiac disease affects as many as 3 million people in the United
States (FDA, 2015(d)).
3.4.2.2.1 Unapproved food additives and color additives
A substance (other than a food contact substance subject to a notification under section 409(h))
that is a food additive or a color additive must be used in accordance with a food additive
regulation permitting that specific use or a color additive listing. Otherwise, the presence of that
substance in food would make the food adulterated under section 402(a)(2)(C) of the FD&C Act
(21 U.S.C. 342(a)(2)(C)). Under the PCHF requirements, an unapproved food or color additive
is a chemical hazard (see 21 CFR 117.130(b)(1)(ii)).
Some food and color additives are specifically prohibited from use in food because we have
determined that the chemical additive poses a potential risk to public health (see 21 CFR part
189 and 21 CFR 81.10). Examples of such food and color additives are coumarin, safrole, and
FD&C Red No. 4 (Red No. 4) (FDA, 2015b). We consider a prohibited food additive or color
additive to be an unapproved food additive or color additive for the purposes of the PCHF
requirements and, thus, to be a chemical hazard. You should consult 21 CFR if you have
questions about the regulatory status or safety of a particular additive when formulating your
food products. An additional resource for you is the Food Additive Status List on our website
(FDA, 2014b).
3.4.2.2.2 Chemical hazards due to misformulation
A food ingredient can be a chemical hazard if it is added in excess of a maximum use level,
regardless of whether the maximum use level is established due to food intolerance (such as for
sulfites) or is otherwise a condition of safe use of a food additive, color additive, or GRAS
substance. Control strategies to prevent misformulation of substances generally include
process controls to ensure that excessive amounts are not added.

3.4.2.2.3 Chemical hazards due to incorrect labeling of substances

associated with food intolerance or food disorder
Although the mechanisms whereby persons experience food intolerance or food disorder are
different from the mechanisms that cause food allergy, reactions due to food intolerance or food
disorder can cause significant health problems for those affected, and the principal means that
consumers have to avoid the symptoms of food intolerance are the same means that
consumers use to avoid symptoms of food allergy – i.e., avoid foods containing the substance
that causes the problem. For example, people who are intolerant to lactose, a sugar that is a
component of milk, avoid food products containing milk to avoid the symptoms associated with
lactose intolerance. In addition, people who have celiac disease avoid food products containing
wheat and other sources of gluten.
Undeclared substances associated with a food intolerance or food disorder are chemical
hazards that can get into food because either: (1) The food manufacturer did not properly
declare the substance on the product label; (2) unintended (and, thus, undeclared) substances
are present in a food due to incorrect labeling. Control strategies to prevent incorrect labeling of
substances associated with a food intolerance or food disorder are analogous to those used to
prevent incorrect labeling of food allergens and, thus, you may find Chapter 11—Food Allergen
Controls helpful in preventing incorrect labeling of substances associated with a food
intolerance or food disorder. The preventive controls in that comprehensive guide to food
allergen control do not explicitly address substances associated with food intolerance or food
disorder, but may nonetheless be useful in addressing chemical hazards due to incorrect
labeling of such substances.
3.4.2.3 Process contaminants produced during heating
There are several process-related contaminants that are produced during heating of specific
ingredients or finished foods that may be a health (e.g., cancer) concern. For example,
acrylamide is formed during high-temperature cooking processes (including frying, roasting, or
baking) due to interaction between sugars and amino acids that are naturally present in foods.
Acrylamide is found mainly in foods made from plants, including potato products, grain products,
and coffee.
As noted in footnote 8, we have not included such contaminants in Table 3-6 as potential
process-related chemical hazards that may require a preventive control as part of a food safety
plan under part 117 because we believe that more information is needed regarding appropriate
levels and effective controls. We have published a guidance document, Guidance for Industry:
Acrylamide in Foods (FDA, 2016a) to help growers, manufacturers, and food service operators
reduce acrylamide levels in certain foods. Control strategies to reduce acrylamide in food may
include controlling temperatures during cooking and ingredient substitution.
3.4.2.4 Radiological hazards
Radiological hazards rarely occur in the food supply; however, when they do occur, these
hazards can present a significant risk when exposures occur over a period of time (WHO,
2011). Consuming food contaminated with radionuclides will increase the amount of
radioactivity a person is exposed to, which could have adverse health effects. The health effect
depends on the radionuclide and the amount of radiation to which a person is exposed. For
instance, exposure to certain levels of radioactive iodine is associated with increased risk of
thyroid cancer (WHO, 2011).

Radiological hazards can become incorporated into food through the use of water that contains
the radionuclides during food production or manufacture. There are areas in the United States
where high concentrations of some radionuclides, such as radium-226, radium-228, and
uranium, can be detected in well water (Ayotte et al., 2007; Focazio et al., 2001). You should be
aware of the condition of the water used for production and manufacture in your facilities. For
example, if your facility uses well water and there are elevated levels of radionuclides in the well
water, you should not use the water. The CGMPs require that water that contacts food, food-
contact surfaces, or food-packaging materials be safe and of adequate sanitary quality (see 21
CFR 117.37(a)).
Radiological hazards also may result from accidental contamination, e.g., contamination arising
from accidental release from a nuclear facility or from damage to a nuclear facility from a natural
disaster. In 2011, following damage to a nuclear power plant during an earthquake and tsunami
in Japan, radioactivity was subsequently detected in foods, particularly milk, vegetables, and
seafood produced in areas neighboring the plant (WHO, 2011). You should be vigilant
regarding accidental releases of radiological hazards and their potential to contaminate your
food product, either directly due to contamination of natural resources near your facility or as a
result of raw materials and other ingredients that you obtain from a region that has experienced
an accidental release of radiation.
3.4.3 Facility-Related Chemical Hazards
Industrial chemicals or other contaminants from the food processing environment can
contaminate food during production – e.g., if chemicals used to clean a production line are not
adequately removed from the production line or if heavy metals are leaching from containers or
utensils. In this guidance, we do not discuss preventive controls for facility-related chemical
hazards such as cleaning chemicals and the leaching of heavy metals from containers or
utensils, because such hazards are usually addressed through CGMPs.
3.5 Physical Hazards

physical hazards (such as stones, glass, and metal fragments). See 21 CFR 117.130(b)(1)(iii).
When your hazard analysis identifies a known or reasonably foreseeable physical hazard that
requires a preventive control, you must identify and implement a preventive control for the
physical hazard. See 21 CFR 117.135(a)(1).
Physical hazards are broadly classified as “hard/sharp” physical hazards and “choking” hazards.
Both categories can cause injury to the consumer. These injuries may include dental damage,
laceration of the mouth or throat, laceration or perforation of the intestine, and choking and may
even lead to the death. Because physical hazards cover a broad range of contaminants, such
as glass, metal, plastic, wood, and stones, such contamination can occur throughout the
processing facility, including the receiving dock for ingredients and supplies.
In this section of this guidance we describe common physical hazards – i.e., metal, glass, and
hard plastic physical hazards.
• Metal: Metal-to-metal contact during processing can introduce metal fragments into
products. For example, metal fragments can break off during mechanical cutting and
blending operations, and some metal equipment has parts that can break or fall off, such as
wire-mesh belts. FDA’s Health Hazard Evaluation Board (FDA, 2005e; Olsen, 1998) has

supported regulatory action against products with metal fragments of 0.3 inches (7 mm) to
1.0 inches (25 mm) in length. Such fragments have been shown to be a hazard to
consumers. Metal hazards can be controlled by the use of metal detection devices or by
regular inspection of at-risk equipment for signs of damage.
• Glass: Glass fragments can be introduced into food whenever processing involves the use
of glass containers. Normal handling and packaging methods, especially mechanized
methods, can result in breakage. Ingesting glass fragments can cause injury to the
consumer. FDA’s Health Hazard Evaluation Board has supported regulatory action against
products with glass fragments of the same size noted for metal. Most products packed in
glass containers are intended to be a ready-to-eat (RTE) commodity. In your hazard
analysis, you should consider the potential for glass fragments to originate from sources
other than glass containers used in packaging. For example, some facilities that do not
pack in glass prohibit the presence of glass in the production environment to reduce the risk
of glass getting into the product. You can address glass fragments originating from sources
such as overhead light fixtures through CGMPs.
• Hard Plastic: Hard plastic can be introduced into food when tools and equipment such as
scoops, paddles, buckets or other containers develop fatigue, crack, and break as they
wear. Hard plastic also can be introduced into food when plastic sieves and screens
deteriorate. You should examine items to determine whether they are worn and remove
worn items before they break, especially if they cannot be effectively cleaned (e.g., because
of small cracks).
In general, there is overlap between facility-related physical hazards and process-related
physical hazards. For example, equipment that has food-contact surfaces that break during
food processing and result in physical debris being deposited in the food product can be
considered a facility-related physical hazard (because the equipment is part of the facility) or a
process-related physical hazard (because the equipment broke during processing). In general,
in evaluating the potential for physical hazards in your food products, it does not matter whether
you consider physical hazards to be facility-related or process-related. However, a few physical
hazards can readily be classified as facility-related or process-related. For example, nuts and
bolts used during maintenance procedures would be a facility-related hazard, but production
equipment that has nuts and bolts that could fall out during production would be a process-
related hazard.
Table 3-9 is a Quick Reference Guide to help you identify common sources of these physical
hazards. See Chapter 13 – Preventive Controls for Physical Hazards for more detailed
recommendations on control measures for physical hazards. In this guidance, we do not
discuss ingredient-related physical hazards such as wood and stone, which are usually
addressed through CGMPs or as a supply-chain control through your supplier program.

Table 3-9. Quick Reference Guide for Common Sources of Physical Hazards
Source Metal – Ferrous & Non- Plastic, Ceramic, and Other

ferrous Glass
• Farm field debris • Farm field debris, • Pits or pit fragments,
Ingredient-related
• Precut, ground, • Packaging materials shells
injected, sliced, items,
where metal was not
properly controlled by
supplier.
• Equipment • Equipment (inspection • Incomplete removal
Facility-related and process-
• Grinders, slicers, belts, small wares, of pits or pit
related (processing/production
knives buckets) fragments, shells
environment, equipment, and
pests (insects, birds, rodents, • Sieves, screens, wire- • Facility (glass light • Poor Design --
reptiles)) mesh belts fixtures, glass Particle size of food
windows in doors, inappropriate for
• Mixing paddles plastic strip curtains) consumer –
• Metal cans (shavings, • Glass containers choking hazard
lids)
• Scoops
• Pumps
• Mixing paddles
• Cook Kettles with
swept surface • Buckets
paddles
• Drop buckets
• Jewelry • Buttons
People-related (actions or N/A
behaviors) • Hair pins • Zipper pulls
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Chapter 4: Preventive Controls
Table of Contents
4.2 Overview of Preventive Controls
4.3 Process Controls
4.3.1 Treatments lethal to biological hazards
4.3.1.1 Use of Heat Treatment (Thermal Processing) as a Lethality Process
Control
4.3.1.2 Use of High Pressure Processing (HPP) as a Lethality Process Control
4.3.1.3 Use of Irradiation as a Lethality Process Control
4.3.1.4 Use of Antimicrobial Fumigation as a Lethality Process Control
4.3.2 Use of Time-Temperature as a Process Control
4.3.2.1 Use of Refrigeration as a Time-Temperature Process Control
4.3.2.2 Use of Freezing as a Time-Temperature Process Control
4.3.3 Use of Product Formulation as a Process Control
1
Chapter 4 (Preventive Controls) - Page 1

4.3.3.1 Use of Water activity (a w ) as a Formulation Process Control

4.3.3.2 Use of Acidity (pH) as a Formulation Process Control
4.3.3.3 Use of Preservatives as a Formulation Process Control
4.3.4 Use of Dehydration/Drying as a Process Control
4.3.5 Use of Recipe Management as a Process Control for Food Ingredients
4.3.6 Use of Storage Conditions as a Process Control for Mycotoxins
4.3.7 Use of Physical Sorting as a Process Control for Mycotoxins
4.3.8 Use of Exclusion Strategies as a Process Control for Physical Hazards
4.3.8.1 Exclusion Strategies as a Process Control for Metal Hazards
4.3.8.2 Exclusion Strategies as a Process Control for Glass Hazards
4.4 Sanitation Controls
4.4.1 Use of Sanitation Controls for the Cleanliness of Food-Contact Surfaces
4.4.2 Use of Sanitation Controls to Prevent Allergen Cross-contact and Cross-
contamination
4.5 Food Allergen Controls
4.6 Supply-chain Controls
4.6.1 Supply-chain Controls for Pesticides
4.6.2 Supply-chain Controls for Drug Residues
4.6.3 Heavy Metals
4.6.4 Supply-chain Controls for Mycotoxins
4.7 Recall Plan
4.8 References

The guidance provided in this chapter is intended to help you identify and implement preventive
controls. The PCHF requirements specify that you must identify and implement preventive
controls to provide assurances that any hazards requiring a preventive control will be
significantly minimized or prevented and the food manufactured, processed, packed, or held by
your facility will not be adulterated under section 402 of the Federal Food, Drug, and Cosmetic
Act (FD&C Act) (21 U.S.C 342) or misbranded under section 403(w) of the FD&C Act (21 U.S.C.
343(w)). (See 21 CFR 117.135(a)(1)). This chapter provides an overview of common
preventive controls that you could use to significantly minimize or prevent the occurrence of
biological, chemical, and physical hazards in food products and the food production
environment when the outcome of your hazard analysis is that one or more of these hazards
requires a preventive control.

The guidance in this chapter also is intended to help you monitor the preventive controls that
you identify and implement. As appropriate to the nature of the preventive control and its role in
the facility’s food safety system, the PCHF requirements specify that you must establish and
implement written procedures, including the frequency with which they are to be performed, for
monitoring the preventive control, and to monitor the preventive controls with adequate
frequency to provide assurance that they are consistently performed. (See 21 CFR 117.145.)
This chapter does not provide all the details needed for identifying and implementing preventive
controls. You have the flexibility to identify and implement preventive controls from among all
procedures, practices, and processes that are available to you and that would provide
assurances that the hazard is controlled (i.e., significantly minimized or prevented).
4.2 Overview of Preventive Controls

Part 117 defines “preventive controls” as 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 by 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. (See 21 CFR 117.3.) Preventive controls include: (1) Controls at critical control points
(CCPs), if there are any CCPs; and (2) controls, other than those at CCPs, that are also
appropriate for food safety (See 21 CFR 117.135(a)(2)). The PCHF requirements specify that
preventive controls must be written. (See 21 CFR 117.135(b)).The PCHF requirements also
specify that preventive controls must include, as appropriate to the facility and the food: (1)
Process controls; (2) Food allergen controls; (3) Sanitation controls; (4) Supply-chain controls;
(5) Recall plan; and (6) Other controls. (See 21 CFR 117.135(c)).
Table 4-1 lists the sections in this chapter in which we address process controls, sanitation
controls, food allergen controls, supply-chain controls, and recall plans. Although Table 4-1
includes supply-chain controls, we intend to provide more information in our forthcoming
“Chapter 15 - Supply-Chain Program for Human Food Products.” See Chapters 6 through 14 of
this guidance for more detailed discussion of applicable preventive controls.
Table 4-1. Preventive Controls Addressed in this Chapter
Preventive Control Chapter Section

Process Controls 4.3
Sanitation Controls 4.4
Food Allergen Controls 4.5
Supply-chain Controls 4.6
Recall Plans 4.7
Table 4-2 lists the chapters in this guidance in which we provide additional details regarding
certain preventive controls.
Table 4-2. Other Chapters in the Guidance With Additional Information About Specific
Preventive Controls
Preventive Control Chapter

Heat Treatment Process Control 6
Time/Temperature Control Process Control 7
Formulation Process Control (e.g., water 8

activity, pH, and chemical preservatives)
Dehydration/Drying Process Control 9
Sanitation Controls 10
Food Allergen Controls 11
Preventive Controls for Chemical Hazards 12
Preventive Controls for Physical Hazards 13
Recall Plan 14
The PCHF requirements specify that you must validate that the preventive controls that you
identify and implement are adequate to control the hazard as appropriate to the nature of the
preventive control and its role in the facility’s food safety system. (See 21 CFR 117.160(a)).
The PCHF requirements also specify that validation of the preventive controls must be
performed (or overseen) by a preventive controls qualified individual. (See 21 CFR 117.160(b)
and the definition of a preventive controls qualified individual in 21 CFR 117.3.) You do not
need to validate: (1) Food allergen controls; (2) sanitation controls; (3) the recall plan; and (4)
the supply-chain program. You also do not need to validate other preventive controls, if the
preventive controls qualified individual prepares (or oversees the preparation of) a written
justification that validation of the other control is not applicable based on factors such as the
nature of the hazard, and the nature of the preventive control and its role in the facility’s food
safety system. (See 21 CFR 117.160(c).) We intend to discuss validation in “Chapter 16:
Validation of a Process Control.”
4.3 Process Controls

Process controls include procedures, practices, and processes to ensure the control of
parameters during operations such as heat processing, acidifying, irradiating, and refrigerating
foods. Process controls must include, as appropriate to the nature of the applicable control and
its role in the facility’s food safety system: (1) Parameters associated with the control of the
hazard; and (2) the maximum or minimum value, or combination of values, to which any
biological, chemical, or physical parameter must be controlled to significantly minimize or
prevent a hazard requiring a process control. (See 21 CFR 117.135(c)(1).) Process controls do
not include those procedures, practices, and processes that are not applied to the food itself,
e.g., controls of personnel or the environment that may be used to significantly minimize or
prevent hazards.

Examples of processing parameters that can have a minimum or maximum value (or
combination of values) include time, temperature, flow rate, line speed, product bed depth,
weight, product thickness or size, viscosity, moisture level, water activity, salt concentration, pH
and others, depending upon the process. If a process parameter does not meet a minimum or
maximum value (or critical limit), the process is not in control (i.e., a deviation has occurred) and
the potential for producing a product that presents a consumer-health risk exists.
Many process controls, such as the application of heat to a food to adequately reduce
pathogens, are applied in the same manner and for the same purpose as control measures
established within HACCP plans and applied at CCPs as recommended by the National
Advisory Committee on Microbiological Criteria for Foods (NACMCF, 1998) and the Codex
Alimentarius Commission (CAC, 2003). When a process control is applied to a CCP in a
HACCP plan, the maximum or minimum values (or combination of values) for the parameters
associated with the control of the hazard are called “critical limits.” Critical limits have been
defined by the NACMCF as a maximum and/or minimum value to which a biological, chemical
or physical parameter must be controlled at a CCP to prevent, eliminate or reduce to an
acceptable level the occurrence of a food safety hazard (NACMCF, 1998).
In addition to this guidance, a number of sources of scientific and technical information can be
useful in establishing process parameters or critical limits. Our guidance documents entitled
“Fish and Fishery Products Hazards and Controls Guidance” and “Juice HACCP Hazards and
Controls Guidance” each have information that can be broadly applied to food products. Other
government agencies may also provide information through technical staff, regulations,
guidelines, directives, performance standards, tolerances, and action levels. For example, the
guidance documents entitled “Meat and Poultry Hazards and Controls Guide” (FSIS, 2005) and
FSIS Compliance Guideline HACCP Systems Validation (FSIS, 2015), provided by the Food
Safety and Inspection Service (FSIS) of the U.S. Department of Agriculture, has information that
can broadly be applied to food products, not just meat and poultry products subject to FSIS’
jurisdiction. As another example, EPA lists maximum pesticide residues limits (MRLs) and
tolerances in 40 CFR Part 180. (EPA, 2015) and provides Indexes to Part 180 Tolerance
Information for Pesticide Chemicals in Food and Feed Commodities on its website (EPA, 2016).
Trade associations, process authorities, industry scientists, university and extension scientists,
and consultants can provide expertise and guidance. For example, the Grocery Manufacturer’s
Association (GMA) has provided guidance on Control of Salmonella in Low-Moisture Foods
(GMA, 2009). Information can also be obtained from peer reviewed scientific literature. For a
more comprehensive list of resources, see the training materials provided by the Food Safety
Preventive Controls Alliance (FSPCA, 2016) In addition to (or in place of) information from such
resources, you also can conduct scientific studies for specific products in-house, at a contract
laboratory, or at a university to establish appropriate process parameters and associated
values.
You should use care when applying information from any of these sources to processing
parameters for a specific product and process. Among other reasons, there may be important
differences between the application of processing parameters as discussed in these sources
how you would apply the processing parameters to your specific product and process. The
processing parameters and/or minimum or maximum values may need to be adjusted to
account for those differences. For example, the temperature (and time at that temperature)
necessary to kill microorganisms in a food product can depend on the fat level in that food
product.

Table 4-3 lists examples of the application of process controls to significantly minimize or
prevent ingredient-related and process-related biological, chemical, and physical hazards and
the section in this chapter that addresses each listed example.
Table 4-3 Common Process Controls
Process Control Hazard Examples Chapter

Subcategory Category Section
Lethal Treatments Biological • Heat treatments (also called thermal 4.3.1
treatments) (e.g., cooking, roasting,
baking)
• High Pressure Processing (HPP)
• Irradiation
• Antimicrobial fumigation (e.g., with
polypropylene oxide (PPO))
Time/Temperature Biological • Refrigeration 4.3.2
of Holding
• Freezing
Formulation Biological • Reducing the water activity 4.3.3
• Reducing the pH
• Adding preservatives
Dehydration/Drying Biological • Air-drying (forced air and heating) 4.3.4
• Freeze drying
• Spray drying
Recipe Chemical • Controlling the maximum level of food 4.3.5
Management ingredients
Storage Conditions Chemical • Controlling moisture during storage of 4.3.6
raw agricultural commodities
Physical Sorting Chemical • Reducing mycotoxin content through 4.3.7
sorting by color and physical damage in
raw agricultural commodities
Exclusion of Metal Physical • Using magnets 4.3.8
and Glass
• Using metal detectors
• Using sieves, screens
• Using X-ray systems
4.3.1 Treatments lethal to biological hazards
We use the term “lethality treatment” when referring to a treatment that is used to kill/destroy or
inactivate microorganisms. In general, when discussing bacterial pathogens in this document
we use the terms “kill” or “destroy” when discussing treatments lethal to vegetative cells and we
use the term “inactivate” when discussing treatments lethal to spores. Common lethality
treatments include: (1) Heat treatments (e.g., cooking, boiling, pasteurizing, baking, frying); (2)

HPP; (3) irradiation; and (4) antimicrobial fumigation. We discuss each of these in the following
sections of this chapter.
4.3.1.1 Use of Heat Treatment (Thermal Processing) as a Lethality

Process Control
Heat treatment is a common lethality process control. Heat treatments generally fall into into the
following two categories:
•
o
Heat treatment that leads to commercial sterility: heat processing at high temperatures (> 212 F
(100°C)) under presssure with the objective of killing all forms of microorganisms, including the
spores of bacteria. The treated products are shelf-stable without refrigeration. (Lower temperatures
can lead to products that are shelf-stable in some cases, e.g., when the pH is low enough to prevent
growth of surviving sporeformers.)
• Heat treatment that reduces microbial pathogens but does not lead to commercial sterility: heat
processing at lower temperatures (e.g., 158°F (70°C) to 212°F (100°C)), with the processes designed
to kill the vegetative forms of microorganisms with little to no effect on the spores of bacteria. The
treated products are not shelf-stable and require controls such as refrigeration to control spores of
bacterial pathogens.
This chapter does not address heat treatments that lead to commercial sterility of “low-acid
canned foods.” Such treatments are subject to the requirements of 21 CFR part 113 (Thermally
Processed Low-Acid Foods Packaged in Hermetically Sealed Containers; commonly called
“Low-Acid Canned Foods (LACF)) because the microbial hazards in LACF are not subject to the
requirements for hazard analysis and risk-based preventive controls. Note that although some
hermetically sealed containers (e.g., pouches and glass bottles) used to package thermally
processed low-acid foods generally would not be viewed as “cans,” the term “low-acid canned
foods” has been used for decades as a shorthand description for “thermally processed low-acid
foods packaged in hermetically sealed containers,” and we continue to use that term (and its
abbreviation, LACF) for the purposes of this guidance.
Pasteurization is an example of a lethal heat treatment that reduces microbial pathogens but
does not lead to a shelf stable product. Pasteurization typically is applied to foods to kill non-
sporeforming pathogens such as Salmonella, Listeria monocytogenes, and pathogenic strains
of E. coli. One example is the pasteurization of grade “A” milk and milk products that is covered
by the 2015 Pasteurized Milk Ordinance (PMO) (FDA, 2015a). This chapter does not address
pasteurization of milk; if you pasteurize milk, you should refer to 21 CFR 1240.61 and the
specific requirements in your jurisdiction.
Thermal Destruction of Microorganisms
To design a lethal heat treatment for use as a preventive control, you should have a basic
understanding of thermobacteriology (i.e., the relationship between bacteria and heat), including
two key types of data and information:
• The kinetics of thermal inactivation or destruction of microorganisms, known as thermal death time
data and;
• The rate at which heating occurs within the food material, also known as heat transfer or heat
penetration.
Immediately below, we describe basic concepts associated with thermal death time data and
heat transfer/heat penetration. For a more extensive review of thermobacteriology, including

graphical representations of the relationship of D values and z values to Thermal Death Time,
refer to Stumbo, Chapter 7 (1973).
Some terms and concepts used to describe the thermal destruction of microorganisms include:
• TDT (Thermal Death Time) is the time necessary to kill a given number of microorganisms at a
specified temperature. The TDT is obtained by keeping temperature constant and measuring the time
necessary to kill the amount of cells specified.
• D Value (the decimal reduction time) is the time required to kill 90% of the microorganisms. Another
way of expressing this is the time required at a specific temperature and under specified conditions to
reduce a microbial population by one decimal (see discussion below).
• z Value refers to the degrees in Farhenheit required for the thermal destruction curve to cross one log
cycle (i.e., for reducing the D value by a factor of 10).
Food processing experts evaluate treatments intended to kill or inactivate pathogens in food in
terms of “logs” of kill, where the term “log” is a shorthand expression of the mathematical term
logarithm. A logarithm is the exponent of the power to which a base number must be raised to
equal a given number. In thermobacteriology, the base number is usually 10. As an example,
the number 100 = 102 where the base number is 10 and the exponent is 2. Because the
exponent is 2, the number 100 = log 2. Likewise, the number 1000 = 103 = log 3. The important
thing to understand is that each “log” of kill is capable of causing a tenfold reduction in the
number of microorganisms that the treatment is designed to kill, i.e., the most resistant
microorganism of public health significance.
The decimal reduction time (D) is used synonymously with “log” in the context of
thermobacteriology. A 1-log or 1D process would be one that is capable of reducing the level of
the most resistant pathogen of concern in the food by 10 fold, e.g., from 10,000 cells of the
microorganism per gram of food to 1,000 cells of the microorganism per gram of food.
Importantly, it is not possible to technically achieve a level of reduction to zero, or “no
microorganisms”; instead, as a technical matter the probability of finding the organism becomes
less likely as the magnitude of reduction increases. Thus, a 5-log reduction process would be
one that is capable of reducing the level of the most resistant pathogen of concern in the food
by 100,000 fold, e.g., from 10,000 cells of the microorganism per gram of food to a probability of
1 cell in 10 g of food.
Table 4-4 provides examples of how food processing experts would describe the effect of lethal
heat treatments on microorganisms in foods using terms commonly associated with
thermobacteriology.
Table 4-4. The concept of log reductions of microorganisms in foods
Initial number of the Log Decrease in most resistant Percent Final number of
most resistant reduction microorganism of public of change bacteria per
microorganism of (also health significance per gram gram of food
public health known as of food
significance per D)
gram of food
1
10,000 or log 4 1 10-fold 90% 1,000 or log 3
10,000 or log 4 2 10 X 10 = 100 fold 99% 100 or log 2
10,000 or log 4 3 10 X 10 X 10 = 1000-fold 99.9% 10 or log 1
10,000 or log 4 4 10 X 10 X 10 X 10 = 10,000-fold 99.99% 1 or log 0

Initial number of the Log Decrease in most resistant Percent Final number of
most resistant reduction microorganism of public of change bacteria per
microorganism of (also health significance per gram gram of food
public health known as of food
significance per D)
gram of food
2
10,000 or log 4 5 10 X 10 X 10 X 10 X 10 = 99.999% 0.1 or log -1
100,000-fold
10,000 or log 4 6 10 X 10 X 10 X 10 X 10 = 99.9999% 0.01 or log -2
1,000,000-fold
1 4
Additional equivalent ways to express 10,000 include 10 , 10^4, and 10E4
2 -1
Additional equivalent ways to express 0.1 include 10 or 1 in 10.
Relative Heat Resistance of Microorganisms
Some microorganisms are more resistant to heat than other microorganisms and, thus, the
require more stringent heating conditions to kill or inactivate them. Table 4-5 shows the relative
heat resistance of common types of microorganisms.
Table 4-5. Relative Heat Resistance of Microbial Forms
Resistance to Heat Microbial Form

Highest Bacterial Spores
Moderate • Some Vegetative bacterial cells
• Cysts of Parasites
• Fungi, including fungal spores
Least • Some vegetative bacterial cells
• Viruses
As already noted, this chapter addresses relatively mild heat treatments that reduce microbial
pathogens but do not lead to commercial sterility. These relatively mild heat treatments are
used to reduce the number of vegetative cells of bacterial pathogens such as Listeria
monocytogenes (L. monocytogenes), Salmonella, and enteropathogenic E. coli, and the spores
of non-proteolytic strains of Clostridium botulinum (C. botulinum) and Bacillus cereus (B.
cereus). These processes are designed to ensure product safety by achieving a 6-log reduction
(6D). For a more detailed review of the relative heat resistance of food pathogens in mildly heat
processed foods, see Jay (1996), FDA (2000), and Farkas (2007).
Factors Affecting the Heat Resistance of Microorganisms
In addition to the inherent heat resistance of specific microorganisms (or life stages of
microorganisms, such as the spore stage), other factors associated with foods (such as water
activity, pH, salt content, fat, and protein) can affect the heat resistance of microorganisms.
Table 4-6 lists the most common factors that you should consider when designing a heat
treatment as a process preventive control.
Table 4-6. Factors That Influence the Heat Resistance of Microorganisms in Foods
Factor Effect on Microbial Heat Resistance

Factor Effect on Microbial Heat Resistance

Water As the humidity or moisture goes down, in general the heat
resistance increases
Fat As the fat content increases, there is a general increase in heat
resistance of some microorganisms
Salts The effect of salt varies and depends on the kind of salt and
concentration. Some salts that decease water activity appear to
increase heat resistance of microorganisms while other salts that may
2+ 2+
increase water activity (e.g., Ca and Mg ) appear to decrease heat
resistance.
Carbohydrates The presence of sugars can increase the heat resistance of
microorganisms due in part to the decrease in water activity.
However, the impact can be variable, particularly among sugars and
sugar alcohols.
pH Most microorganisms are more heat resistant near their optimum pH
for growth. Generally, as the pH increases or decreases relative to
this optimum pH, the microorganisms become more sensitive to heat.
Proteins Proteins have a protective effect and, thus, increase the heat
resistance of microorganisms.
Other factors that can influence the heat resistance of microorganisms include the numbers of
organisms, the age of the microorganisms, the temperatures at which microbial growth occurs,
the presence of inhibitory compounds, and the time-temperature combination utilized. For a
comprehensive compilation of data and research on the effect of food factors on the heat
resistance of food pathogens of public health concern, see ICMSF (1996).
Lethal Heat Treatments
Cooking:
Baking, boiling, roasting, steaming, and frying are conventional heating methods used for
cooking a wide variety of foods (e.g., cereal-grain products, vegetables, soups, sauces,
legumes, and assembled multi-component meals). Cooking is performed for two primary
reasons: to make food palatable and to make it safe by eliminating vegetative pathogens such
as Salmonella, L. monocytogenes, and enteropathogenic E. coli. This discussion focuses on the
food safety aspects of the cooking methods.
You should design a cooking process to target heat resistant vegetative pathogens, such as L.
monocytogenes. Typically, we recommend a thermal process that achieves a 5D to 7D
reduction for most cooking treatments. However, if the expected initial microbial load is low, a
less severe thermal process may be adequate. For cooking processes that target pathogenic
sporeformers such as C. botulinum type E and non-proteolytic types B and F (i.e., 194°F (90oC))
for 10 min), generally a 6D reduction in the level of contamination is suitable.
Table 3-D in Appendix 3 of this document provides 6D process times for a range of cooking
temperatures, with L. monocytogenes as the target pathogen. It is possible that higher levels of
destruction may be necessary in some foods, e.g., if you expect especially high initial levels of
the target pathogen.
Table 3-E in Appendix 3 of this document provides 6D process times for a range of heating
temperatures, with non-proteolytic C. botulinum type B (the most heat-resistant form of non-
proteolytic C. botulinum) as the target pathogen.

There are a variety of ways to control the application of these cooking processes depending
upon the type of food and the method of delivery (e.g., boiling, steaming). For example, for
liquid and semi-liquid food products that are batch-cooked in a cooking vessel such as a kettle
agitated during the thermal process, the simplest way to control the process is to check the
internal temperature of the product at the end of the designated cooking time (i.e., check the
time-temperature parameters of the treatment). A dial thermometer with a long probe works
quite well. If the temperature is taken at or near the center of the cooking vessel, it is reasonable
to assume that all product in the cooking vessel is at or above that temperature, because foods
processed in this manner generally heat by convection or forced convection. You can monitor a
simple boiling heat process by visually observing and timing the boil. Usually, a temperature
distribution study is performed to ensure that no point in the cooking vessel is at a lower
temperature than the minimum value (or critical limit) for temperature required during the
process.
Heating food with large particles, like vegetables in stews and some soups, occurs primarily by
conduction, rather than by convection. Particle size and consistency can greatly affect the rate
of heating at the center of the particle. You cannot control cooking processes for products with
large particles by periodically checking the internal temperature of some of the product particles
as they leave the cooker because you cannot verify that each particle reached the appropriate
temperature for adequate time. Therefore, you should establish the process scientifically and
validate it through a scientific study demonstrating that if the minimum/maximum values are met
for all the critical factors (e.g., cooking temperature, time, particle size) all particles will receive
an adequate heat treatment.
Normally, a study to validate a cooking process is performed by a person or group

knowledgeable in the design of thermal processes to determine the critical parameters required
for the heat process being applied to ensure that it delivers the desired reduction level (logs of
kill, as described in section 4.3.1.1 of this chapter). A preventive controls qualified individual
must conduct (or oversee) such a study. See 21 CFR 117.180(a). (Because it is common
practice for these studies to be conducted by entities with special expertise in the area, the
preventive controls qualified individual likely will oversee, rather than conduct, the study.) Once
that study has been completed, the person conducting the study will provide a time and
temperature for the processor to monitor during processing, as well as any other parameters
that are critical to delivery of an adequate heat treatment, such as maximum particle size). You
can then monitor the time and temperature of the heat process to effectively ensure that all
product particles have achieved the desired internal temperature. It may also be necessary to
monitor other factors of the product or the process, such as the internal temperature of the
product before the start of the process--called the initial temperature (IT), particle size, or
relative humidity, where they affect the rate of heating. These factors, and their limits, will be
determined by the process design study.
For some products, such as soups or sauces, you may be able to monitor End-Point Internal
Product Temperature (EPIPT), a measurement of the internal temperature of the product at the
end of the heat process, instead of performing continuous time and temperature monitoring.
This approach is suitable if you have conducted a scientific study to validate that the EPIPT that
you have selected will provide an appropriate reduction (e.g., 6D) in the numbers of the target
pathogen in the slowest heating unit or portion of product under the worst set of heating
conditions covered by the scientific study. If you want to monitor EPIPT, you should:
• Conduct a temperature distribution study within the heating system to identify any cold spots;

• Conduct a heat penetration study that accounts for the slowest heating product under the worst case
heating conditions covered by the scientific study; and
• Identify other critical factors of processing and/or packaging that affect the rate of product heating
when scientifically establishing a heat process.
You should use the EPIPT as a monitoring technique only under those conditions that were
evaluated by the scientific study, with those conditions identified as process parameters with
minimum/maximum values (or critical limits) that are monitored as part of your process controls.
See “Chapter 6 – Use of Heat Treatments as a Process Control” in this guidance for additional
information about the EPIPT monitoring technique.
Other common forms of cooking that are used to produce commercially manufactured foods are
baking and roasting. These are essentially the same unit operation because they both use
heated air to alter the eating quality of foods. However, the term “baking” is usually used when
heated air is applied to flour-based foods or fruits, and the term “roasting” is usually used when
heated air is applied to meats, nuts, or vegetables. Baking and roasting operations use dry heat
in gas-fired or electric ovens. For some products such as bakery products, the effectiveness of
the dry heat in ovens is increased by the addition of steam for various cooking purposes.
Cooking equipment may be batch-type or continuous. In a continuous system the food is moved
through the cooking equipment by conveyor or auger systems. The methods of controlling and
monitoring the time-temperature parameters of these types of cooking processes will vary
depending upon whether it is batch-type or continuous process. See “Chapter 6 – Use of Heat
Treatments as a Process Control” for an example using baking as a preventive control.
Emerging Technologies Based on Thermal Effects
Microwave, radio frequency, ohmic heating, and inductive heating are heat-based processes
that can kill microorganisms by thermal effects. Microwave and radio frequency heating are
based on the use of electromagnetic waves of certain frequencies to generate heat in a material
through two mechanisms - dielectric and ionic. Ohmic heating is the process of passing electric
currents (primarily alternating) through foods or other materials to heat them. The heating
occurs in the form of internal energy generation within the material. Ohmic heating is
distinguished from other electrical heating methods either by the presence of electrodes
contacting the food (as opposed to microwave heating, where electrodes are absent), and
depends on frequency of the current and waveform (typically sinusoidal). Inductive heating is a
process of inducing electric currents within the food due to oscillating electromagnetic fields
generated by electric coils.
For any of these heat-based processes, the magnitude of time/temperature history and the
location of the cold points will determine the effect on microorganisms. The effectiveness of
these processes also depends on water activity and pH of the product. Although the shape of
the destruction or inactivation curves is expected to be similar to those in conventional heating,
the intricacies of each of the technologies need special attention if you plan to use them for
microbial destruction or inactivation. For instance, in microwave heating a number of factors
influence the location of the cold points, such as the composition, shape, and size of the food,
the microwave frequency, and the applicator design. The location of the coldest-point and
time/temperature history can be predicted through simulation software, and we expect that food
processors may be able to use these emerging technologies in the future.
For a detailed overview of these processing technologies, as well as alternative thermal

processing techniques, see Sun (2005).

4.3.1.2 Use of High Pressure Processing (HPP) as a Lethality Process

Control
The pressure processing of foods for preservation was studied as early as the end of the 19th
century and the beginning of the 20th century in the United States by people like Hite (1899)
and Bridgman (1912). However the potential microbiological effects of HPP were not recognized
by the food industry until around 1985. HPP has recently received a great deal of attention in
the food, pharmaceutical, and biotechnology industries. Japan has been a leader in this
technology, producing products such as jams, jellies, fruit juices, and yogurt.
Microorganisms vary in their sensitivity to high pressure. If you plan to use HPP, you should
consider the organism of concern, product characteristics and, whether the process is to result
in product that is to be refrigerated or that will be shelf stable. Destruction of the microorganism
is primarily caused by changes in the structure and permeability of the cell wall which causes
fluids to be forced into the cell.
Bacterial spores are well established as the most pressure-resistant biological forms known.
Spores resist inactivation by high pressure alone and most require the addition of heat or some
other mechanism to achieve appropriate levels of destruction. C. botulinum is one of the most
pressure-resistant and hazardous microorganisms, which is a challenge in the design of high-
pressure processes. Because of this, the best candidates for HPP continue to be acid foods and
foods that will be refrigerated following processing (which provide control of sporeformers).
High pressure processing of foods requires pressures of 400 to 700 MPa, or 4000 - 7000 bars
(58,000 - 101,000 psig). The unit of measure frequently used for HPP in the food industry is the
pascal (Pa) or megapascal (MPa, 1,000,000 Pa). Most commercial food industry applications
use pressures in the range of 600 to 700 MPa.
High pressure processing requires very specialized and costly equipment. Currently foods using
HPP are being processed by batch systems. For batch processing, the food is packaged in a
flexible or semi-flexible package, prior to placing the product in the HPP system, where the
product is placed into a chamber and immersed in water or some other pressurizing fluid, then
subjected to the high pressure for a time of 1 - 20 minutes, depending on the temperature and
pressure. The chamber would then be depressurized and the product removed. Applications
and the feasibility for commercialization for other HPP systems such as semi-continuous,
continuous, and pulsed HPP have been described elsewhere (FDA, 2000; Indrawati et al. 2003;
Z. Berk, 2009).
For a detailed review of the application and use of HPP as a process control, see FDA (2000
and 2001) and Hogan et al. (2005).
4.3.1.3 Use of Irradiation as a Lethality Process Control
The application of radiation treatments to food for the purpose of improving safety (e.g. by
reducing or eliminating pathogenic bacteria) or extending shelf life by (e.g. by reducing or
eliminating spoilage microorganisms and insects) can use sources that have high enough
energy levels to cause ionization (the creation of ions by expulsion of orbital electrons from
atoms) or have lower energy levels that will not cause ionization. These are known as ionizing
and non-ionizing radiation, respectively. The most commonly used form of radiation to treat
foods as a lethality process control is ionizing radiation and the discussion in this section of this
chapter focuses on ionizing radiation. Non-ionizing radiation in the form of lower energy

electromagnetic waves such as UV light and infrared heating can be used to treat foods similar
to that described for microwaves, radio frequency, and ohmic heating in the section of this
chapter entitled “Emerging Technologies Based on Thermal Effects” and will not be addressed
here. For more information on the application of infrared (IR) radiation in food processing
operations, see the review by Krishnamurthy et al. (2008). For more information on the
application and use of UV light in food processing, see the discussion by FDA (2000, 2001).
FDA is responsible for regulating the sources of radiation that are used to irradiate food (21
CFR Part 179 Subpart B). Irradiation is considered a food additive in the United States and, as
such, its use in foods requires premarket approval by FDA (21 CFR Part 179). There are three
sources of ionizing radiation approved for use on foods (21 CFR 179.26):
• Gamma rays – emitted from radioactive forms of the element cobalt (Cobalt 60) or the element
cesium (Cesium 137). Gamma radiation is also used routinely in medicine to sterilize medical and
dental products and for the radiation treatment of cancer.
• X-rays – produced by reflecting a high-energy stream of electrons into food off a target substance
(usually one of the heavy metals) using electron accelerators. X-rays are also widely used in
medicine and industry to produce images of internal structures.
• Electron beam – (or e-beam) is similar to X-rays and is a stream of high-energy electrons propelled
from an electron accelerator into food.
Some common terms that are used when describing the application of ionizing radiation in the
treatment of foods are:
• Dose (absorbed) – The amount of energy absorbed per unit mass of irradiated material.
• D 10 value – Amount of radiation required to reduce the population of a specific microorganism by 90%
(one log 10 cycle) under the stated conditions.
• Gray (Gy) - A unit of absorbed dose of ionizing radiation, equal to 1 joule/kg of absorbed energy.
• Electron volt (eV) – A unit of energy. One electron volt is the kinetic energy acquired by an electron in
passing through a potential difference of one volt in a vacuum.
The primary reason food irradiation is used as a lethal process control is to inactivate pathogens
and microorganisms that cause food spoilage (Farkas et al., 2014). The application of ionizing
radiation damages DNA and very effectively inhibits DNA synthesis and further cell division in
microorganisms that are exposed to these forms and levels of energy. The amount of radiation
energy used to bring about the control of microorganisms varies according to the radiation
resistance of the particular organism, which is often specific to the species level and the number
or load of the microorganisms present.
Radiation treatment at doses of 2–7 kiloGray (kGy), depending on the source of radiation and
the food, have been reported to effectively eliminate potentially pathogenic non-sporeforming
bacteria, including both long-time recognized pathogens such as Salmonella and S. aureus, as
well as more recently emerged pathogens such as Campylobacter, L. monocytogenes or E. coli
O157:H7, from suspected food products (Farkas, 1998). As an example, Table 4-7 provides a
summary of compiled data on the ranges of decimal reduction doses (D 10 values) for the most
important non-sporeforming pathogenic bacteria determined in various foods under various
conditions.

Table 4-7. D 10 Values (kGy) for Some Foodborne Non-sporeforming Pathogenic Bacteria
Bacteria Non-frozen food Frozen food

Vibrio spp. 0.02-0.14 0.04-0.44
Yersinia enterocolitica 0.04-0.21 0.20-0.39
Campylobacter jejuni 0.08-0.20 0.18-0.32
Aeromonas hydrophila 0.11-0.19 0.21-0.34
Shigella spp. 0.22-0.40 0.22-0.41
Escherichia coli O157:H7 0.24-0.43 0.30-0.98
Staphylococcus aureus 0.26-0.57 0.29-0.45
Salmonella spp. 0.18-0.92 0.37-1.28
Listeria monocytogenes 0.20-1.0 0.52-1.4
Adapted from Farkas et al., 2014
Bacterial spores are more resistant to irradiation than non-sporeforming bacteria. The spores of
C. botulinum types A and B are particularly resistant.
For illustrative purposes, Table 4-8 lists the approved uses of ionizing radiation for application
as a process control in food processing as of April, 2016. We adapted Table 4-8 from 21 CFR
179.26(b), which specifies the limitations on the approved uses of ionizing radiation for the
treatment of food and includes uses for purposes other than as a process control. For example,
21 CFR 179.26(b) also specifies limitations on the use of ionizing radiation for use in
disinfestation of arthropod pests in food. You should refer to 21 CFR 179.26 for the most
current limitations on the approved uses for the treatment of food using ionizing radiation.
Table 4-8. Approved Uses for the Treatment of Food Using Ionizing Radiation
Use Limitations
For control of Trichinella spiralis in pork carcasses or fresh, Minimum dose 0.3 kiloGray (kGy) (30
non-heat-processed cuts of pork carcasses kilorad (krad)); maximum dose not to
exceed 1 kGy (100 krad).
For microbial disinfection of dry or dehydrated enzyme Not to exceed 10 kGy (1 megarad
preparations (including immobilized enzymes) (Mrad)).
For microbial disinfection of the following dry or dehydrated Not to exceed 30 kGy (3 Mrad).
aromatic vegetable substances when used as ingredients in
small amounts solely for flavoring or aroma: culinary herbs,
seeds, spices, vegetable seasonings that are used to impart
flavor but that are not either represented as, or appear to be, a
vegetable that is eaten for its own sake, and blends of these
aromatic vegetable substances. Turmeric and paprika may also
be irradiated when they are to be used as color additives. The
blends may contain sodium chloride and minor amounts of dry
food ingredients ordinarily used in such blends

Use Limitations
For control of food-borne pathogens in fresh (refrigerated or Not to exceed 4.5 kGy for non-frozen
unrefrigerated) or frozen, uncooked poultry products that are: products; not to exceed 7.0 kGy for
(1) Whole carcasses or disjointed portions (or other parts) of frozen products.
such carcasses that are “ready-to-cook poultry” within the
meaning of 9 CFR 381.l(b) (with or without non-fluid seasoning;
includes, e.g., ground poultry), or (2) mechanically separated
poultry product (a finely comminuted ingredient produced by the
mechanical deboning of poultry carcasses or parts of
carcasses)
For the sterilization of frozen, packaged meats used solely in Minimum dose 44 kGy (4.4 Mrad).
the National Aeronautics and Space Administration space flight Packaging materials used need not
programs comply with §179.25(c) provided that
their use is otherwise permitted by
applicable regulations in 21 CFR parts
174 through 186.
For control of foodborne pathogens in, and extension of the Not to exceed 4.5 kGy maximum for
shelf-life of, refrigerated or frozen, uncooked products that are refrigerated products; not to exceed 7.0
meat within the meaning of 9 CFR 301.2(rr), meat byproducts kGy maximum for frozen products.
within the meaning of 9 CFR 301.2(tt), or meat food products
within the meaning of 9 CFR 301.2(uu), with or without non-fluid
seasoning, that are otherwise composed solely of intact or
ground meat, meat byproducts, or both meat and meat
byproducts
For control of Salmonella in fresh shell eggs. Not to exceed 3.0 kGy.
For control of microbial pathogens on seeds for sprouting. Not to exceed 8.0 kGy.
For the control of Vibrio bacteria and other foodborne Not to exceed 5.5 kGy.
microorganisms in or on fresh or frozen molluscan shellfish.
For control of food-borne pathogens and extension of shelf-life Not to exceed 4.0 kGy.
in fresh iceberg lettuce and fresh spinach.
For control of foodborne pathogens, and extension of shelf-life, Not to exceed 4.5 kGy.
in unrefrigerated (as well as refrigerated) uncooked meat, meat
byproducts, and certain meat food products
For control of food-borne pathogens in, and extension of the Not to exceed 6.0 kGy.
shelf-life of, chilled or frozen raw, cooked, or partially cooked
crustaceans or dried crustaceans (water activity less than 0.85),
with or without spices, minerals, inorganic salts, citrates, citric
acid, and/or calcium disodium EDTA
Adapted from 21 CFR Part 179.26(b)
For additional information on processes, application, and equipment used in the ionizing
radiation treatment of foods see FDA (2004), Lacroix (2005), Fellows (2009a), Farkas and
Mohacsi-Farkas (2011) and FDA (2015b).
4.3.1.4 Use of Antimicrobial Fumigation as a Lethality Process Control
In California, treatment processes for almonds must use technologies that have been
determined to achieve a minimum 4-log reduction of Salmonella in almonds (see 7 CFR part
981, Almonds Grown in California). The Almond Board of California (ABC) has processes in
place to review treatment processes for scientific adequacy. ABC has funded research projects
demonstrating that fumigation with propylene oxide (PPO) (a registered fumigant in the United
States for the reduction of bacteria, yeasts, and mold on raw nut meats) is an effective
treatment for achieving a minimum 4-log reduction of Salmonella in almonds (ABC, 2008).

4.3.2 Use of Time-Temperature as a Process Control
Temperature is an essential factor that affects the growth of bacteria. Bacterial growth can occur
over a wide range of temperatures from about 23°F (-5°C) to 194°F (90° C). Table 4-9 lists four
types of bacteria based on their temperature growth ranges.
Table 4-9. Temperature Ranges for the Growth of Microorganisms
Group Minimum Temperature Optimum Temperature Maximum Temperature

°C (°F) °C (°F) °C (°F)
Thermophiles 40 - 45 (104 - 113) 55 - 75 (131 - 167) 60 - 90 (140 - 194)
Mesophiles 5 - 15 (41 - 59) 30 - 45 (86 - 113) 35 - 47 (95 - 117)
Psychrophiles -5 - +5 (23 - 41) 12 - 15 (54 - 59) 15 - 20 (59 - 68)
Psychrotrophs -5 - +5 (23 – 41) 25 - 30 (77 - 86) 30 - 35 (86 - 95)
Thermophiles grow at hot temperatures above 131°F (55°C). Mesophiles grow at or near room
temperatures. Psychrophiles grow at or near refrigeration temperatures. Psychrotrophs are
capable of growth at refrigeration temperatures, but their optimal growth temperature is in the
mesophilic range.
Most pathogenic bacteria are mesophiles and their optimum growth temperature corresponds to
human body temperature (see Table 3-A of Appendix 3 of this guidance). Typically, the higher
the temperature (within the normal growth range), the more rapid the growth of the
microorganism.
It is not only the temperature that is of concern; it is the total time of exposure at temperatures
that allow growth that needs to be controlled. The most general recommendation is to hold cold
foods below 41°F (5°C) and to keep hot foods above 135°F (57°C). However, in some situations
it may not be possible to completely avoid product exposure to mesophilic temperatures.
4.3.2.1 Use of Refrigeration as a Time-Temperature Process Control
Refrigeration works well for controlling the growth of most pathogenic bacteria. However, some
pathogens, like L. monocytogenes and Yersinia enterocolitica, can grow at temperatures close
to freezing. Refrigeration has the added advantage of slowing down biological and chemical
processes that result in spoilage, oxidative rancidity, and other quality defects.
Control of temperature during storage can be accomplished in several ways, such as ice,
chemical coolant gel packs, and mechanical dry refrigeration (e.g., in a cooler).
Controlling temperature with ice or gel packs can be effective if there is an adequate amount of
ice or gel packs. Therefore, you should monitor the control by checking whether an adequate
amount of coolant is present on the product at all times, including when it is shipped and when it
is received and checking the temperature of the food with a thermometer or temperature
recording device.
For mechanical dry refrigerated storage in a cooler, if the ambient temperature can be related to
the product temperature, monitoring the temperature of the storage area will ensure that the
product temperature is under control. Ordinarily monitoring of the cooler requires use of
continuous monitoring instruments such as recorder thermometer charts, maximum-indicating
thermometers, and high temperature alarms.

Time/Temperature
When food is removed from refrigeration, the temperature of the food gradually increases and
can reach the temperature associated with the growth range specific to particular pathogens.
Bacterial pathogens go through a lag phase, where little or no growth occurs as the
microorganisms adjust to their new environment. Depending upon the ambient temperature, it is
possible that food can stay out of refrigeration for at least a couple of hours with no risk of
significant pathogen growth. As the product temperature approaches the growth range,
pathogens enter what is called the “log phase” (because they grow logarithmically). The object
is to prevent that from happening, ideally keeping pathogens in their lag phase. We call the
temperature range of concern (41°F (5°C) to 135°F (57°C)) the “danger zone.”
Traditionally, the rule of thumb for foods that will support microbial growth has been no more
than 4 hours in the danger zone (41°F (5°C) to 135°F (57°C)). Different pathogens have
different rates of growth at different temperatures, and the rate of growth will be affected by the
type of food and its inherent properties. Therefore, the actual maximum time that a product may
be safely held in the danger zone depends on a number of factors, including the type of
pathogens that are present and the ability of the food to support their growth. Guidance on this
issue is available in the US Food Code 2 (FDA, 2013) and in Table 3-B in Appendix 3 of this
document. You may set limits based on these factors or based on studies done on your own
specific food products, rather than relying on the 4-hour rule of thumb. Food inspectors should
also use these factors when they evaluate the significance of time - temperature abuse.
Control of time and temperature during processing may be more complicated than during
storage, because it involves information about the time and temperature exposure of the
product during production. You can obtain this information in a variety of ways, such as marking
units of product and tracking how long they remain at unrefrigerated temperatures; monitoring
the ambient temperature in a chill room operation; or monitoring product temperatures during
different phases of production. See “Chapter 7 – Use of Time/Temperature Control as a
Process Control” of this guidance for additional information about the application of time-
temperature holding conditions.
Cooling after Cooking
Cooling after cooking can be a critical function influencing the safety of a food (FDA, 2013).
Depending upon the food and ingredients, cooked foods can still have viable pathogenic
bacteria present. For example, the spores of sporeforming pathogens such as C. botulinum can
survive cooking processes. For non-sporeforming pathogens that are particularly heat tolerant
(such as L. monocytogenes), vegetative cells can sometimes survive the cooking process;
however, this should not be the case if you selected the appropriate target pathogen for control
by the applied process and you validated the control. More often, it is the spores of
2
The U.S. Food Code (FDA, 2013) is a model that assists food control jurisdictions at all levels of
government by providing them with a scientifically sound technical and legal basis for regulating the retail
and food service segment of the industry (restaurants and grocery stores and institutions such as nursing
homes). Local, state, tribal, and federal regulators use the FDA Food Code as a model to develop or
update their own food safety rules and to be consistent with national food regulatory policy. Although the
target audience for the U.S. Food Code does not include most food processing facilities, the U.S. Food
Code nonetheless contains scientifically-based information that you can use as a resource where
appropriate in establishing some preventive controls particularly regarding use of refrigeration to control
the growth of microbial pathogens.

sporeforming pathogens (such as C. botulinum) that survive the cooking process if they are
present because temperatures that can only be achieved under pressure are usually needed to
inactivate spores. These spores will begin to germinate when the product temperature drops to
a temperature at which they can grow (usually below 135°F (57°C)) and will be present in the
food during storage. Some spores, such as those from non-proteolytic C. botulinum and some
strains of B. cereus, have the ability to germinate and grow at refrigeration temperatures,
although long times are required. Other spores that may be present in the food remain dormant
until the product is temperature-abused (i.e., held in the temperature range at which these
pathogens can grow). In such an event, pathogenic spores are able to germinate, grow, and
the resulting cells can possibly produce toxin due to the fact that most spoilage bacteria (which
may otherwise compete for growth) have been eliminated by the cooking process. For further
discussion on the importance of cooling food after cooking see Factors that Influence Microbial
Growth (Chapter 3 in the Evaluation and Definition of Potentially Hazardous Foods) (FDA,
2001).
If the cooking process is adequate to inactivate spores and the product is protected from
recontamination during cooling, the cooling step will not be critical. Situations where these
conditions exist are probably limited to certain pressurized steam processes.
Simply putting food in a refrigerator is not adequate to prevent microbiological growth. When
large volumes of hot food are cooled, it can take a long time, sometimes as long as 36 hours, to
chill the food to a point where pathogen growth is inhibited. The U.S. Food Code specifies the
application of a two part cooling protocol In order to cool foods safely and keep bacteria in the
lag phase. First, drop the temperature from 135°F (57°C) to 70°F (21°C) within two hours. The
temperature must be lowered through this range quickly because foodborne pathogens multiply
most rapidly between these temperatures. Second, after dropping the initial temperature to 70°F
(21°C), you can take up to additional 4 hours to get the product down to 41°F (5°C). FSIS also
recommends a two part cooling for meat and poultry, but uses slightly different temperatures:
“temperature should not remain between 130°F (54°C) and 80°F (27°C) for more than 1.5 hours
nor between 80°F (27°C) and 40°F (4°C) for more than 5 hours” (FSIS, 1999). Both these
protocols are adequate to minimize the potential for growth of foodborne pathogens.
A blast freezer is one of the best cooling methods. High velocity cold air can drop the
temperature of large volumes of hot food in less than an hour. The containers of food that have
been chilled can then be shifted to a holding cooler.
Cooling tunnels and spiral freezers are similar to blast freezers but are more compatible with
moving production lines. They use high velocity cold air, or liquid carbon dioxide or nitrogen for
rapid cooling. Products may be frozen before or after packaging depending upon the product
and package size.
Heat exchangers are used for cooling liquids like milk and juice after pasteurization. Lines
containing a coolant such as water or cold, raw product run adjacent to lines of hot, pasteurized
product. No actual exchange or co-mingling of coolant or raw product with heat-treated product
occurs. However, the cold raw liquid, for example, picks up heat from the hot, pasteurized juice.
This helps preheat the raw product and also helps precool the heat-treated liquid. See “Chapter
6 – Use of Heat Treatments as a Process Control” in this guidance for additional information
about heat exchangers.
Cook-chill operations are typically used in large institutional settings such as prisons, hospitals,
and schools as well as in food processing plants. Food is cooked in nylon reinforced plastic

bags or is cooked and then pumped into these bags. The bags are chilled in a tumble chiller that
tumbles the bags in ice water. This drops the temperature of large volumes of hot food quickly.
Typically, an ice tank where coils of refrigerant are run through the tank of water provides the
large volume of cold water needed.
Be advised that food can be recontaminated during the cooling process as a result of hand
contact, condensate drip, or contact with other foods. See “Chapter 10 – Sanitation Controls” in
this guidance for additional information about controlling the risk of recontamination.
4.3.2.2 Use of Freezing as a Time-Temperature Process Control
Foods are microbiologically stable when held at temperatures below 17.6oF (-8oC). During
frozen storage, populations of viable microorganisms in most foods will decrease; however,
some microorganisms remain viable for long periods of time during frozen storage. Most
viruses, bacterial spores, and some bacterial vegetative cells survive freezing unchanged.
Some of the other microorganisms are sensitive to the freezing and thawing process (i.e.,
freezing, frozen storage, or thawing). Since multi-celled organisms (such as such as parasitic
protozoa, nematodes, and trematodes) are generally more sensitive to low temperatures than
are bacteria; freezing and frozen storage are good methods for killing these organisms in
various foods. This is especially important if consumers are likely to eat the foods raw or
undercooked. See Kennedy (2003) and Fellows (2009b) for a detailed review on the use of
freezing technologies in the preservation of foods.
4.3.3 Use of Product Formulation as a Process Control
Most food preservation techniques used by processors employ knowledge of factors (such as
water activity, pH, temperature, nutrients, chemical inhibitors, competitive microflora, and
atmosphere) that affect the growth of bacteria. For more information on how these factors affect
microbial growth, see International Commission on Microbiological Specifications for Foods
(ICMSF) (1996, 2002), Jay (1996), and Zeuthen and Bogh-Sorensen (2003).
In this section of this chapter, we discuss two key factors that are frequently used as a
formulation process control – i.e., water activity and pH. We also discuss the use of
preservatives as a formulation process control.
4.3.3.1 Use of Water activity (a w ) as a Formulation Process Control
Microorganisms need water to survive as well as to grow. Water activity (a w ) refers to the
availability of water to the organism. In general, microorganisms survive and grow better when
the water activity is high than when the water activity is low.
If you have a closed container of water, the air over the water becomes saturated with water.
The relative humidity is 100%, which equals a water activity of 1.0. Thus, water has a water
activity of 1.0. Foods are more complex systems than water, and the water can bind to
components of the food so not all the water in the food is available to microorganisms; thus, the
water activity of most food products is less than 1.0.
Water activity is directly related to the vapor pressure of the water in a solution. You can
determine water activity by measuring the equilibrium relative humidity of the air over the
solution in a closed container. Relative humidity divided by 100 equals the water activity:

(a w ) = RH/100
or
a w = p/p o
Foods vary in their water activity as shown in Table 4-10. Although you can measure the water
activity of your specific food if you have the appropriate equipment, for many purposes you can
rely on the water activity values shown in Table 4-10.

Table 4-10. Principal Groups of Foods Based on Water Activity (aw) (ICMSF, 1980)
Water Activity Food Groups

0.98 and above • Fresh meats and fish
• Fresh fruits and vegetables
• Milk and other beverages
• Canned vegetables in brine
• Canned fruit in light syrup
Below 0.98 to 0.93 • Evaporated milk
• Tomato paste
• Lightly salted pork and beef products
• Canned cured meats
• Fermented sausages (not dried)
• Cooked sausages
• Processed cheese
• Gouda cheese
• Canned fruits in heavy syrup
• Bread
Below 0.93 to 0.85 • Dry or fermented sausage
• Dried venison
• Cheddar cheese
• Sweetened condensed milk
Below 0.85 to 0.60 • Intermediate moisture foods
• Dried fruits
• Flour
• Cereals
• Jam and jellies
• Molasses
• Heavily salted fish
• Meat extract
• Nuts
Below 0.60 • Confectionery
• Chocolate
• Honey
• Dried Noodles
• Crackers
• Potato Chips
• Dried egg, milk and vegetables
Table 4-10 organizes the foods into five categories, based on their water activity. Table 4-11
further classifies these five categories into three categories – i.e., moist foods, intermediate-
moisture foods (often included in the low-moisture foods category), and low-moisture foods.
Moist foods (i.e., foods with water activity above 0.85) require refrigeration or another barrier to
control the growth of pathogens (see Table 4-11). Intermediate-moisture foods (i.e., foods with
water activities between 0.60 and 0.85) do not require refrigeration to control pathogens, but
they may have a limited shelf life because of spoilage, primarily by yeast and mold. The
microbiological stability of intermediate-moisture foods may depend on factors other than water
activity, such as reduced pH, chemical preservatives, heat treatments, or combinations of these,
even though the reduced water activity is of major importance. Low-moisture foods (i.e., foods
with a water activity below 0.60) have an extended shelf life, even without refrigeration.

Table 4-11. Classification of Foods and Control Requirements Based on Water

Activity
Water Activity Classification Requirements for Control

Above 0.85 Moist Foods Require refrigeration or another barrier to control the
growth of pathogens
Intermediate- • Do not require refrigeration to control pathogens

0.60 and 0.85 Moisture Foods
• Limited shelf life because of spoilage, primarily by
yeast & mold
Below 0.60 Low-Moisture Extended shelf life, even without refrigeration
Foods
See Table 4-12 for some examples of moist foods (water activities above 0.85). Most fresh
meats, fruits, and vegetables, and many dairy products, fall into this category. The big surprise
here is probably the bread. Most of us tend to think it is a dry, shelf-stable product. Actually, the
“crumb” (interior) has a relatively high water activity. It is safe because of the multiple barriers of
pH, water activity (the crust has a low water activity), and preferential growth by mold rather
than pathogens. In other words, the bread spoils before it becomes hazardous.
Table 4-12. Examples of High Moisture (High Water Activity (a w )) Foods
Moist Foods Water Activity (a w )

Lettuce 0.99
Apples 0.99
Milk 0.98
Bread 0.95
See Table 4-13 for some examples of intermediate-moisture foods (water activity between 0.60
and 0.85). Some unique products like soy sauce appear to be a high moisture product, but
actually are in the intermediate-moisture category because salt, sugars or other ingredients bind
the moisture. Because jams and jellies have a water activity that will support the growth of yeast
and mold, they are mildly heat-treated immediately before packaging to prevent spoilage.
Table 4-13. Examples of Intermediate Moisture Foods
Intermediate Moisture Foods Water Activity (a w )

Soy sauce 0.80
Jams 0.80
Molasses 0.76
Honey 0.75
Flour 0.70
Dried fruit 0.70
Candies 0.65
See Table 4-14 for some examples of low-moisture foods (water activity below 0.60).

Table 4-14. Examples of Low-Moisture Foods
Low-Moisture Foods Water Activity (a w )

Dried noodles 0.50
Cookies 0.30
RTE Cereals 0.20
Crackers 0.10
Some of the intermediate and low water activity foods have naturally low water activity (e.g.,
molasses and flour). We do not discuss those foods because water activity does not have to be
controlled during processing.
Other intermediate and low water activity foods, like dried fruit, strawberry jam, crackers, soy
sauce, and dried noodles, start with a high water activity and, through processing, end up with a
reduced water activity. This section of this chapter focuses on these types of foods.
Control of Water Activity
Some products require careful control of water activity for food safety, while others do not. For
example, the production of jam does not need careful control of water activity for food safety
because the food would not thicken (and, thus, become jam) unless the water activity was
reduced through the addition of the necessary amount of sugar. On the other hand, dried fruit
products need careful control of water activity for food safety, because fruit products with a
variety of moisture levels could still appear to be “dried fruit.”
There are two primary ways of reducing water activity in foods: (1) product formulation (such as
by adding salt or sugar); and (2) dehydration (drying). In this section of this chapter, we discuss
reducing water activity by product formulation. In section 4.3.4 of this document, we discuss
reducing water activity by dehydration.
Every organism has a minimum, optimum, and maximum water activity for growth (see Table 3-
A in Appendix 3 of this document). Yeasts and molds can grow at low water activity; however
0.85 is considered the safe cutoff level for pathogen growth. Water activity of 0.85 is based on
the minimum water activity for S. aureus growth. For a detailed discussion and listing of the
minimal water activities for microorganisms of public health concern, see ICMSF (1996).
There are two basic ways for how you can approach product formulation that uses control of
water activity for food safety. One approach is to closely follow a scientifically established
process for formulation that ensures a water activity of 0.85 or below. The other approach is to
develop your own process for formulation and to validate it by taking finished product samples
and testing them for water activity.
4.3.3.2 Use of Acidity (pH) as a Formulation Process Control
The term “pH” refers to a numeric scale used to describe acidity and alkalinity. The pH reflects
the concentration of hydrogen ions and is expressed mathematically as the negative logarithm
of the hydrogen ion concentration. The pH scale ranges from 0 to 14, with 7 being neutral.
pH = (-log of the [H+])

Microorganisms can only grow at certain pH levels (Table 4-15). Table 4-15 shows that mold
and yeast can grow over a broad range of pH, including very low pH. Table 4-15 also shows
that the pH range where bacteria can grow is more restricted in that bacteria don’t grow at very
low pH.
Table 4-15. Growth Limiting pH Ranges for Microorganisms
Type of Microorganism pH Range for Growth

Bacteria (Gram+) 4.0 to 8.5
Bacteria (Gram -) 4.5 to 9.0
Molds 1.5 to 9.0
Yeast 2.0 to 8.5
Table 4-15 classifies bacteria as “Gram positive” and “Gram negative.” In general, “Gram
positive” and “Gram negative” are designations associated with the cell walls of bacteria, and
how the bacterial cell walls appear under a microscope when a stain is used to see them. Gram
positive bacteria appear blue, and gram negative bacteria appear red.
Lowering the pH is considered primarily a method of inhibiting the growth of bacteria rather than
a method for killing bacteria. Although many microorganisms held at low pH for an extended
time will be killed, keep in mind that some pathogenic bacteria, and in particular E. coli
O157:H7, can survive acidic conditions for extended periods of time, even if their growth is
inhibited. For details on the minimum and maximum pH limits for bacterial pathogens, see Table
3-A of Appendix 3 of this document.
Foods with a natural pH of 4.6 and below are considered acid foods. Some foods are naturally
acidic, including most fruits (e.g., many peaches, pH 4.0; apples, pH 3.5). However, some
tropical fruits, including some pineapple, may fall in the pH range above 4.6, depending in part
on variety and growing conditions. Foods with a pH above 4.6 are said to be low-acid foods.
Examples of low-acid foods include protein foods (such as milk and eggs), most vegetables,
and starch based foods (such as bread and crackers).
Acidification
Because an acid pH can inhibit the growth of many bacteria, acidification of foods is a common
formulation process control. Acidification is the direct addition of acid to a low-acid food.
Examples of foods that are acidified as a process control include pickled beets and peppers.
There are a variety of acids (such as acetic acid, lactic acid, and citric acid) that can be used to
acidify foods, depending on the desired attributes of the finished product.
We have established specific CGMP requirements for thermally processed low-acid foods
packaged in hermetically sealed containers (commonly called “low-acid canned foods” or LACF
(21 CFR part 113). We also have established requirements for acidified foods (21 CFR part
114). At the time when we established these regulations, the focus of these CGMP
requirements was the control of C. botulinum; when the pH of a food is 4.6 or below, spores of
C. botulinum will not germinate and grow. As a result, the pH of 4.6 is a dividing line for the
purpose of determining whether a food other than an acid food is subject to part 113 as an
LACF or part 114 as an acidified food. See 21 CFR 114.3.

An acid food, such as tomatoes with a pH of 4.2, is not subject to either the LACF regulations or
the acidified foods regulations. Under the acidified foods regulations, “acidified foods” are low-
acid foods to which acid(s) or acid food(s) are added; they have a water activity greater than
0.85 and have a finished equilibrium pH of 4.6 or below (21 CFR 114.3(b)). The definition of
acidified foods provides that carbonated beverages, foods that are stored, distributed, and
retailed under refrigeration, and certain other foods are excluded from the coverage of 21 CFR
part 114 (21 CFR 114.3(b)).
Processors of acidified foods must register with FDA to obtain a Food Canning Establishment
number (21 CFR 108.25(c)(1)). Processors of acidified foods also must file a scheduled process
with FDA (21 CFR 108.25(c)(2)); the scheduled process is the process selected by a processor
as adequate for use under the conditions of manufacture for a food in achieving and maintaining
a food that will not permit the growth of pathogens. The scheduled process includes control of
pH and other critical factors equivalent to the process established by a competent processing
authority (21 CFR 114.3). Acidified foods must be so manufactured, processed, and packaged
that a finished equilibrium pH value of 4.6 or lower is achieved within the time designated in the
scheduled process and maintained in all finished foods; manufacturing must be in accordance
with the scheduled process (21 CFR 114.80(a)(1)). Sufficient control, including frequent testing
and recording of results, must be exercised so that the finished equilibrium pH values for
acidified foods are not higher than 4.6 (21 CFR 114.80(a)(2)). An equilibrium pH is achieved
when a natural pH balance has been reached by all ingredients - which can take several days in
foods with very large particulates (National Canners Association, 1968). You should refrigerate
products that require several days to reach equilibrium pH to prevent the growth of C. botulinum
or other pathogens.
There are several different methods of adding the acid to the product. One method is called
direct acidification, where predetermined amounts of acid and the low-acid foods are added to
individual finished product containers during production. With this method, it is important that the
processor control the acid-to-food ratio. This is probably the most common method used for
acidified vegetables. Another method of acidification is batch acidification. As the name implies,
acid and food are combined in large batches and allowed to equilibrate. The acidified food is
then packaged.
Acidified foods must be treated sufficiently to control spoilage microorganisms in addition to

vegetative pathogens. Although one reason is to prevent spoilage triggering economic loss, the
food safety reason is that the action of the spoilage organisms can raise the pH, compromising
the safety of the product because any spores of C. botulinum that are in the food can germinate,
grow, and produce botulinum toxin. The acidified foods regulation requires that you thermally
process the food to an extent that is sufficient to destroy the vegetative cells of pathogenic and
non-pathogenic microorganisms capable of reproducing in the food under the conditions in
which the food is stored, distributed, retailed and held by the user. However, you may use
permitted preservatives to inhibit reproduction of non-pathogenic microorganisms in lieu of
thermal processing. (21 CFR 114.80(a)(1))
For further information on the use of acidification of foods as a process control, see 21 CFR part
114. The regulation provides detailed information on appropriate procedures to measure pH for
foods.

Fermentation
During bacterial fermentation, acid-producing bacteria produce lactic acid, which reduces the
pH. Because the reduced pH can inhibit the growth of many bacteria, bacterial fermentation of
foods is a common formulation process control. Examples of low-acid foods fermented by
bacterial fermentation to a pH below 4.6 include fermented olives, fermented cucumber pickles,
cheeses, and sauerkraut. Molds are used to ferment some foods such as soy sauce, tamari
sauce, and other oriental foods, mainly for taste and other characteristics.
In practice, fermentation is an art. You need to encourage growth of favorable organisms and
discourage the growth of organisms that can cause spoilage. This is usually accomplished by
adding salt or a starter culture to the food, or in some cases slightly acidifying it. A starter culture
can be either yeast or bacteria.
In many fermented products, there is no process to eliminate the acid-producing bacteria. These
fermented products are kept refrigerated so that the culture bacteria and bacteria not killed
during the fermentation process do not spoil the product.
4.3.3.3 Use of Preservatives as a Formulation Process Control
Preservatives can be used to prevent the growth of microorganisms – e.g., if a food product is
not thermally processed (or not thermally processed to an extent that is sufficient to kill the
vegetative cells of non-pathogenic microorganisms (such as spoilage microorganisms) that are
capable of reproducing in the food under the conditions in which the food is stored, distributed,
retailed and held by the user). Preservatives work by denaturing protein, inhibiting enzymes, or
altering or destroying the cell walls or cell membranes of microorganisms. Examples of products
that use preservatives as a formulation process control include acidified foods that are either not
thermally processed or only minimally thermally processed, hummus (which uses sodium
benzoate to inhibit yeast and mold), and many breads (which use calcium propionate to inhibit
mold).
Some of the more commonly used preservatives are:
• Acetic acid and its salts (e.g., sodium acetate, sodium diacetate), which is added to reduce bacterial
growth.
• Benzoates, which include benzoic acid, sodium benzoate and potassium benzoate. Benzoates are
used primarily to inhibit yeast or mold. Also can inhibit bacterial pathogens (e.g., S. aureus, L.
monocytogenes).
• Natamycin is applied on cheese to inhibit the growth of fungi.
• Nisin is used as an antimicrobial agent to inhibit the outgrowth of C. botulinum spores and toxin
formation in a variety of pasteurized process cheese spreads.
• Propionates, which include propionic acid, and sodium, potassium and calcium propionates, are
used in breads, cakes, and cheeses to inhibit mold. Also can inhibit bacterial pathogens (e.g., S.
aureus, Salmonella).
• Sorbates, which include sorbic acid, and sodium and potassium sorbates. Sorbates are primarily
used to inhibit yeast and mold. Also can inhibit bacterial pathogens (e.g., E. coli O157:H7, L.
monocytogenes).

• Sulfites, such as sulfur dioxide, are used in a variety of products including lemon juice, seafood,
vegetables, molasses, wines, dried fruit, and fruit juices. Sulfites are used primarily as an antioxidant
but also have antimicrobial properties.
Table 4-16 provides examples of how some of these commonly used preservatives are used.
Table 4-16. Preservatives Commonly Used in Conjunction with Main Groups of Foods in
the United States
Foodstuff Acetic Benzoates Natamycin Nisin Propionates Sorbates Sulfites

Acid
Fat Emulsions + + - - - ++ -
Cheese - (+) + + + ++ -
Vegetable ++ ++ - - - ++ +
Products
Fruit products + ++ - - - ++ ++
Beverages - ++ - - - ++ (+)
Baked goods + - - - ++ ++ -
Confectionery - (+) - - - ++ -
Source: Adapted from Davidson and Branen 1993; Table 11 in Lück and Jager 1997, p 61
++ used frequently
+ used occasionally
(+) used in exceptional cases only
- not used
A food category that may benefit from the use of preservatives as a formulation process control
is fresh, refrigerated, RTE deli salads. This category of food, which is typically formulated with
multiple components, including spices and fresh vegetables, may experience a high bio-load at
the time of preparation if treated ingredients are not used. Maintaining quality (e.g., by
preventing spoilage by yeasts and molds) and ensuring product safety cannot always be
achieved by reducing pH (e.g., by using an acidified food as a salad dressing (such as
mayonnaise) or an acid food as a salad dressing (such as vinegar)). Antimicrobial substances
such as potassium sorbate and propionic acid are commonly used for a variety of RTE deli
salads to inhibit bacteria, yeast, and mold, extending the product shelf-life.
For further regulatory guidance on the use of antimicrobial substances, see FDA (1999). For a
comprehensive review on the application of antimicrobials, see Davidson, et al. (2005).
4.3.4 Use of Dehydration/Drying as a Process Control
Dehydration (which reduces water activity) is one of the oldest methods of food preservation. In
the United States, there are three primary methods of dehydration as a process control.
• Freeze-drying - used for a variety of products

• Forced air drying - used for solid foods like vegetables and fruit
• Spray drying - used for liquids and semi-liquids like milk

Dehydrated/dried products are usually considered shelf stable due to their low water activity
(a w ) and, therefore, are often stored and distributed unrefrigerated. Examples of shelf-stable
dehydrated/dried food products include milk powders, powdered beverages, pasta, and dried
peas and beans.
If you use dehydration/drying as a process control, you should select a packaging material that
will prevent rehydration of the product under the expected conditions of storage and distribution.
Additionally, finished product package closures should be free of gross defects that could
expose the product to moisture during storage and distribution.
See “Chapter 9 – Use of Dehydration/Drying as a Process Control” of this guidance for

additional information on the use of dehydration/drying as a process control. For a detailed
overview of dehydration/drying technologies commonly used in the United States (including
freeze drying, forced air drying, and spray drying), as well as other dehydration technologies
such as drum drying and fluid bed drying, see Greensmith (1998) and Heldman and Lund
(2007). For a discussion on the effects of drying on microorganisms, see Jay (1996).
4.3.5 Use of Recipe Management as a Process Control for Food Ingredients
A food ingredient (such as a food additive, color additive, or GRAS substance) can be a
chemical hazard if it is added in excess of a maximum use level, regardless of whether the
maximum use level is established due to food intolerance (such as for sulfites) or is otherwise a
condition of safe use of a food additive, color additive, or GRAS substance. Control strategies to
prevent misformulation of food ingredients generally include recipe management to ensure that
excessive amounts are not added.
4.3.6 Use of Storage Conditions as a Process Control for Mycotoxins
Mycotoxins are toxic metabolites produced by certain fungi (i.e., molds) that can infect and
proliferate on raw agricultural commodities (e.g., grains such as wheat and corn, peanuts, fruits,
and tree nuts) in the field and during storage. Contamination by toxigenic fungi during storage
and transportation is caused by improper drying or re-wetting of the crop from rain or
condensation. Thus, effective process controls involve correct drying and storage.
By far the most critical environmental factors determining whether a raw agricultural commodity
will support mold growth are temperature, moisture content, and time, and each of these
parameters can be manipulated and controlled to manage the prevention of mold growth in a
raw agricultural commodity. The principal process control for prevention of mold growth in
storage conditions is the control of moisture. Although low-temperature storage can help control
mold growth in some conditions, large-scale storage of raw agricultural commodities generally
takes place in structures that do not provide for low-temperature and, thus, low-temperature
storage generally is not a control measure for mold during the storage of raw agricultural
commodities.
4.3.7 Use of Physical Sorting as a Process Control for Mycotoxins
In most cases, mycotoxins in raw agricultural commodities are present in a very small proportion
of individual seeds or kernels. As a result, removing the contaminated seeds or kernels
mechanically is a practical and effective process control to reduce the mycotoxin content of the
bulk raw agricultural commodity (West and Bullerman, 1991). Various techniques have been
devised, based on color and visual appearance of decay or damage, to separate out

contaminated seeds during inspection processes. This may be manual or by more advanced
electronic instrumental selection.
4.3.8 Use of Exclusion Strategies as a Process Control for Physical Hazards
4.3.8.1 Exclusion Strategies as a Process Control for Metal Hazards
Metal-to-metal contact during processing can introduce metal fragments into products. For
example, metal fragments can break off during mechanical cutting and blending operations, and
some metal equipment has parts that can break or fall off, such as wire-mesh belts. You can
control metal hazards by using physical separation techniques (such as magnets, sieves,
screens, or flotation tanks), by using electronic or X-ray metal detection devices, and by
regularly inspecting at-risk equipment for signs of damage.
The effectiveness of physical separation techniques depends on the nature of the product.
These measures are more likely to be effective in liquids, powders, and similar products in
which the metal fragment will not become imbedded.
The use of electronic metal detectors is complex, especially with regard to stainless steel, which
is difficult to detect. The orientation of the metal object in the food affects the ability of the
equipment to detect it. For example, if a detector is not properly calibrated and is set to detect a
sphere 0.08 inch (2 mm) in diameter, it may fail to detect a stainless steel wire that is smaller in
diameter but up to 0.9 inch (24 mm) long, depending on the orientation of the wire as it travels
through the detector. Processing factors, such as ambient humidity or product acidity, may
affect the conductivity of the product and create an interference signal that may mask metal
inclusion unless the detector is properly calibrated. You should consider these factors when
calibrating and using this equipment.
X-ray devices can also be used for metal detection. One advantage in using such a device is
that X-rays can detect non-metal foreign objects that may also be hazardous, such as glass
fragments.
Preventive maintenance of equipment and periodically examining your processing equipment

for damage that can contribute metal fragments can be a useful control measure, particularly
when you have a piece of equipment that is prone to break, such as saw blades, or equipment
that has metal-to-metal contact. The success of this strategy depends in large part on the nature
of the equipment inspected and the frequency of the inspection. However, this approach will not
necessarily prevent metal fragments from being incorporated into the product in all cases, but
may enable you to separate products that may have been exposed to metal fragments. Visually
inspecting equipment for damaged or missing parts may only be feasible with relatively simple
equipment, such as band saws, small orbital blenders, and wire mesh belts. More complex
equipment that contains many parts, some of which may not be readily visible, may not be
suitable for visual inspection and may require controls such as metal detection or physical
separation techniques.
See “Chapter 13-- Preventive Controls for Physical Hazards” of this guidance for additional
information on the control of metal hazards.

4.3.8.2 Exclusion Strategies as a Process Control for Glass Hazards
Glass fragments can be introduced into food whenever processing involves the use of glass
containers. Normal handling and packaging methods, especially mechanized methods, can
result in breakage. Ingesting glass fragments can cause injury to the consumer. Most products
packed in glass containers are intended to be a ready-to-eat (RTE) commodity that requires
minimal handling on the part of the consumer before eating, so that consumers have little
opportunity to detect glass inclusion.
This chapter addresses the hazard of glass fragments that may occur from the use of glass
containers. You should address the hazard of glass fragments originating from sources such as
overhead light fixtures through CGMPs.
You can help prevent glass from getting into your food products by periodically checking the
processing areas and equipment for glass breakage. In addition, the line operator can listen for
breakage and can look for broken glass on the floor. (You can enhance the utility of these
controls by painting the floor under the processing line in a color that highlights the container
glass.) These types of controls will not necessarily prevent glass fragments from being
incorporated into your product, but they can enable you to separate products that may have
been exposed to glass fragments from those that have not.
You also can help prevent glass fragments from getting into your food products by cleaning
empty containers before filling into the product package. You can do so by using water or
compressed air and inverting the container during or after cleaning. You should be mindful that
container cleaning may not fully control glass hazards in some processes that use automated
filling systems because this equipment can result in glass breakage during the filling and
capping process.
See “Chapter 13--Preventive Controls for Physical Hazards” of this guidance for additional
information on the control of glass hazards.
4.4 Sanitation Controls

CGMPs require sanitary operations (21 CFR 117.35) and sanitary facilities and controls (21
CFR 117.37). There are requirements applicable to the cleanliness of equipment and utensils,
including food-contact surfaces (21 CFR 117.40), and plant construction and design (21 CFR
117.20(b)). To comply with these CGMP requirements, sanitation procedures, practices, and
processes should take place every day in your facility.
Sanitation controls include procedures, practices, and processes to ensure that the facility is
maintained in a sanitary condition adequate to significantly minimize or prevent hazards such as
environmental pathogens, biological hazards due to employee handling, and food allergen
hazards. Sanitation controls must include, as appropriate to the facility and the food,
procedures, practices, and processes for the: (1) Cleanliness of food-contact surfaces, including
food-contact surfaces of utensils and equipment; and (2) prevention of allergen cross-contact
and cross-contamination from insanitary objects and from personnel to food, food packaging
material, and other food-contact surfaces and from raw product to processed product. (See 21
CFR 117.135(c)(3).)
You determine which hazards require a sanitation control, rather than CGMPs, through your
hazard analysis. Thus, some – but not all - of your sanitation procedures, practices, and

processes will be “sanitation controls”; other sanitation procedures, practices, and processes
will be CGMPs. For your sanitation controls to be effective, you should first assess the
sanitation procedures, practices, and processes that you will have in place to comply with the
CGMP requirements. For example, equipment design that ensures that all surfaces can be
accessed and cleaned is essential for the effective application of sanitation controls. Effective
sanitary design should consider factors such as whether equipment includes hollow bodies or
poorly developed welds and seams, as well as whether ease of disassembly allows adequate
access to all food-contact surfaces to ensure thorough cleaning and sanitation. Sanitary design
also applies to food facility structures (e.g., floors, walls, piping, and ceilings) to ensure effective
cleaning and sanitation practices. The required elements for cleaning – time, temperature,
mechanical force and chemical concentration – simply cannot be reliably applied if the
equipment and facility structural design does not allow adequate access (Marriott and Gravani,
2010). Due to this link between your CGMP procedures, practices, and processes and your
sanitation controls, your CGMP procedures, practices, and processes are sometimes called
“prerequisite programs.”
The nature of the processing conditions (i.e., wet or dry) required for the manufacture of a
particular product (such as a dry processing environment for spray dried milk powder, and a wet
processing environment for soft cheese) impacts the selection of the appropriate CGMP
sanitation procedures, practices, and processes or the appropriate sanitation control. For
example, moisture control is critically important in preventing contamination by an environmental
pathogen, such as Salmonella, in low-moisture products. Water in a dry processing
environment is one of the most significant risk factors for Salmonella contamination, because
the presence of water allows for pathogen growth leading to product contamination from the
environment or from insanitary food contact surfaces. Therefore, dry cleaning or controlled wet
cleaning practices should be considered for use as sanitation control measures in a dry
processing environment. Any time water is used for cleaning, the equipment should be
thoroughly dried before use. Wet processing operations are subject to wet cleaning. However,
water, in particular standing water, should be minimized even if facilities are wet cleaned. This
is particularly true for facilities that need to control L. monocytogenes because they are
producing RTE products exposed to the environment.
The nature of a bacterial pathogen (e.g., whether it is a transient or a resident strain of an

environmental pathogen) also impacts the selection of the appropriate CGMP sanitation
procedures, practices, and processes, or the appropriate sanitation control. (See section
3.2.5.2 (Transient vs. resident facility-related environmental pathogens) in “Chapter 3-- Potential
Hazards Associated with the Manufacturing, Processing, Packing, and Holding of Human Food”
in this guidance for additional information about transient and resident strains of environmental
pathogens.
Table 4-17 lists examples of the application of sanitation controls to significantly minimize or
prevent biological and chemical hazards and the section in this chapter that addresses each
listed example.

Table 4-17. Examples of Sanitation Controls
Sanitation Control Examples Chapter Section

Subcategory
Cleaning food-contact • Applying a full wet clean with detergents 4.4.1
surfaces and sanitizers for Clean in Place and Clean
out of Place (CIP/COP)
• Applying controlled wet clean with minimum
water usage and wipe down (COP)
• Dry cleaning with vacuums, brushes, wipes
Control cross-contact / cross- • Using hygienic zoning for separation of 4.4.2
contamination process operations such as raw vs. Work-
in-Process (WIP) vs. finished product; wet
vs. dry; personnel and materials flow; air
balance
• Using dedicated cleaning / sanitation
practices in designated hygiene zones (see
cleaning food-contact surfaces)
• Cleaning between different products
containing different allergens
See “Chapter 10 – Sanitation Controls” of this guidance for additional information about
sanitation controls. In addition to this guidance, a number of sources of scientific and technical
information can be useful in establishing sanitation controls. See Holah, 2014 and Marriott and
Gravani, 2010.
4.4.1 Use of Sanitation Controls for the Cleanliness of Food-Contact Surfaces
The CGMP requirements for sanitary operations include specific requirements for cleaning food-
contact surfaces. See 21 CFR 117.35(d). All food-contact surfaces, including utensils and
food-contact surfaces of equipment, must be cleaned as frequently as necessary to protect
against allergen cross-contact and against contamination of food (21 CFR 117.35(d)). Food-
contact surfaces used for manufacturing/processing, packing, or holding low-moisture food must
be in a clean, dry, sanitary condition before use (21 CFR 117.35(d)(1)). When the surfaces are
wet-cleaned, they must, when necessary, be sanitized and thoroughly dried before subsequent
use (21 CFR 117.35(d)(1)). In wet processing, when cleaning is necessary to protect against
allergen cross-contact or the introduction of microorganisms into food, all food-contact surfaces
must be cleaned and sanitized before use and after any interruption during which the food-
contact surfaces may have become contaminated (21 CFR 117.35(d)(2)). Where equipment
and utensils are used in a continuous production operation, the utensils and food-contact
surfaces of the equipment must be cleaned and sanitized as necessary (21 CFR 117.35(d)(2).
Part 117 does not define the term “cleaning.” In this guidance, we use the term “cleaning” to
mean removing the “soil”– i.e., bacteriological nutrients, such as fats, carbohydrates, proteins,

and minerals”– that can build up on food-contact surfaces in the plant and processing
equipment. Part 117 defines “sanitize” to mean to adequately treat cleaned surfaces by a
process that is effective in destroying vegetative cells of pathogens, and in substantially
reducing numbers of other undesirable microorganisms, but without adversely affecting the
product or its safety for the consumer. (21 CFR 117.3) Although cleaning operations and
sanitizing operations often are conducted separately – and sequentially – some systems (such
as steam systems) both clean and sanitize the surfaces; we consider that such systems satisfy
the definition of ‘‘sanitize.’’ (See 80 FR 55908 at 55956.)
Table 4-16 describes three types of cleaning strategies that you can use to remove soil,
depending upon the processing conditions (wet or dry). Table 4-16 includes our
recommendations for using these cleaning strategies. See Appendix 4 of this guidance for more
details about these cleaning strategies.
Table 4-18. Types of Cleaning Strategies
Cleaning Strategy Description and Recommendations

Wet Cleaning Uses water-based and/or wet chemical cleaning solutions. When using
wet cleaning, you should avoid certain practices, e.g., excessive use of
water (e.g., floor is flooded with water), high pressure hoses. Instead,
you should use water on an as-needed basis. You also should
minimize and isolate your use of water to specific areas where possible.
Drying after wet cleaning helps to minimize growth of remaining
microorganisms.
Dry Cleaning Does not use any water. Dry cleaning is the physical removal of
residues (e.g., food particles and dust) without water. You should
remove food residues by actions such as sweeping, brushing, scraping,
or vacuuming the residues from equipment surfaces and the facility
environment. Be careful to not distribute food particles to other
equipment or areas during removal.
Controlled Wet Uses a limited amount of water, generally for dry operations. Complete
Cleaning drying should follow immediately after the controlled wet cleaning. You
can move specific pieces of equipment out of the area to be wet
cleaned, sanitized, and dried and then return the equipment after the
area is cleaned.
After the surfaces are cleaned and rinsed you should sanitize food contact surfaces and other
areas as appropriate. You should use all sanitizers in accordance with the EPA-registered (or
similar registration in other countries) label use instructions, including approval for use in food
establishments.
As noted in section 4.4, sanitation controls must include, as appropriate to the facility and the
food, procedures, practices, and processes for the cleanliness of food-contact surfaces,
including food-contact surfaces of utensils and equipment. (See 21 CFR 117.135(c)(3).)
Examples of sanitation controls related to the cleanliness of food-contact surfaces include
cleaning and sanitizing procedures, practices, and processes (including appropriate frequencies
for these procedures, concentrations of cleaning and sanitizing compounds, method of
application, and contact time) (Holah, 2014). See “Chapter 10 – Sanitation Controls” of this
guidance for a practical example of the application of cleaning and sanitizing of food-contact
surfaces as a preventive control for bacterial contamination.

4.4.2 Use of Sanitation Controls to Prevent Allergen Cross-contact and

Cross-contamination
As noted in section 4.4, sanitation controls must include, as appropriate to the facility and the
food, procedures, practices, and processes for the prevention of allergen cross-contact and
cross-contamination from insanitary objects and from personnel to food, food packaging
material, and other food-contact surfaces and from raw product to processed product. (See 21
CFR 117.135(c)(3).)
Table 4-19 describes three common practices that you can use to prevent allergen cross-
contact and to prevent cross-contamination of foods from insanitary objects, poor hygienic
practices, different processing operations, and environmental pathogens.
Table 4-19. Common Practices to Prevent Allergen Cross-contact and Cross-

contamination
Practice Description
Hygienic Zoning Hygienic zoning for separation and segregation of process operations such
as raw vs. work-in-process vs. finished product; wet vs. dry; personnel and
materials traffic flow; air balance
Hygienic Zone Dedicated cleaning / sanitation practices within hygiene zones
Specific Cleaning
Allergen Specific Cleaning between different products containing different allergens
Cleaning
The objective of hygienic zoning is to reduce the potential for transient pathogens to enter
sensitive areas in the facility, such as packing areas where an RTE product is exposed to the
processing environment. Typically, this type of sanitation control is applied in facilities that
make RTE products.
You should determine the need for, and scope of, a hygienic zoning program based on your
facility, the products you make, and the outcome of your hazard analysis. For example, the
need for, and scope of, a hygienic zoning program are likely to be very different for a flour mill,
a facility that makes RTE refrigerated food, and a facility that makes canned acidified foods. In
determining the need for, and scope of, a hygienic zoning program, you should take into
account the structure of your plant, packaging, personnel and ingredient traffic flows, and any
cross over areas. You also should consider potential contaminants from raw materials, air flow,
support areas, and other activities taking place in the facility.
Some facilities implement hygienic zoning for quality reasons (e.g., to control mold
contamination); however, the sanitation controls that are the subject of this guidance need only
address food safety. See “Chapter 10 – Sanitation Controls” of this guidance for a practical
example for the application of hygienic zoning to prevent recontamination by environmental
pathogens.
4.5 Food Allergen Controls

Food allergen controls include procedures, practices, and processes to control food allergens.
Food allergen controls must include those procedures, practices, and processes employed for:
(1) Ensuring protection of food from allergen cross-contact, including during storage, handling,

and use; and (2) labeling the finished food, including ensuring that the finished food is not
misbranded under section 403(w) of the FD&C Act (21 U.S.C. 343(w)). See 21 CFR
117.135(c)(2).
Examples of procedures, practices, and processes to ensure protection of food from allergen
cross-contact are:
• Identifying and marking allergen-containing ingredients at receiving;

• Segregating and storing allergen-containing materials at receiving and warehousing;
• Scheduling production of products based on allergen-containing recipes;
• Physical separation of processes for non-allergen-containing and allergen-containing products;
• Sanitation and cleaning practices;
• Using full wet cleaning to remove allergenic materials prior to producing a non-allergen-containing
product on the same line;
• Using dedicated cleaning utensils and equipment for removing allergenic materials from food
processing equipment.
Examples of procedures, practices, and processes to label the finished food are:
• Performing label review for each new batch of labels received at the facility;
• Implementing procedures for application of correct label to product.
See “Chapter 11 - Food Allergen Controls” of this guidance for in-depth guidance on preventive
control strategies for food allergen hazards.
4.6 Supply-chain Controls

Supply-chain controls include the supply-chain program required by 21 CFR part 117, subpart G
(21 CFR 117.135(c)(4)). Subpart G specifies:
• The requirement to establish and implement a supply-chain program (21 CFR 117.405);
• General requirements applicable to a supply-chain program (21 CFR 117.410);
• Responsibilities of the receiving facility (21 CFR 117.415);
• Requirements for using approved suppliers (21 CFR 117.420);
• Requirements for determining appropriate supplier verification activities (including determining the
frequency of conducting the activity) (21 CFR 117.425);
• Requirements for conducting supplier verification activities for raw materials and other ingredients (21
CFR 117.430);
• Requirements for an onsite audit (21 CFR 117.435); and
• Requirements for records documenting the supply-chain program (21 CFR 117.475).
In this section of this guidance, we discuss the use of ingredient specifications as a supply-chain
control for several chemical hazards – i.e., pesticides, drug residues, heavy metals, and
mycotoxins. See our forthcoming “Chapter 15: Supply-Chain Program for Human Food
Products” for in-depth guidance on supply-chain controls.

4.6.1 Supply-chain Controls for Pesticides
Pesticides used in the growing of vegetables fruits, and grain crops include fungicides,
insecticides, and rodenticides that control pests found in growing environments. These may also
be used in manufacturing environments. If you determine through your hazard analysis that a
pesticide hazard requires a preventive control (e.g., due to residual pesticide level violations in a
particular raw agricultural commodity), and that control is applied by your supplier, you would
have a supply-chain program in which you would verify that your supplier controls pesticides.
You could have specifications for your supplier that pesticide levels in raw materials and other
ingredients must be within permitted levels and you could ask to review your supplier’s pesticide
control program. Your program could have verification activities such as periodic testing by you
or your supplier for pesticide residues.
4.6.2 Supply-chain Controls for Drug Residues
Drug residues due to the use of antibiotics or related drugs in livestock are principally a potential
concern for milk-based products. If you determine through your hazard analysis that a drug
residue hazard requires a preventive control, and that control is applied by your supplier, you
would have a supply-chain program in which you would verify that your supplier controls drug
residues to ensure that drug residues in raw materials and other ingredients are within permitted
levels.
4.6.3 Heavy Metals
Heavy metals are principally a concern in raw agricultural commodities grown in soils that are
contaminated either naturally or through industrial activity. If you determine through your hazard
analysis that a heavy metal hazard requires a preventive control, and that control is applied by
your supplier, you would have a supply-chain program in which you would verify that suppliers
source raw agricultural commodities from regions that do not have high levels of heavy metal
contamination in soil, and specifications that heavy metals in raw materials and other
ingredients will be within permitted levels.
4.6.4 Supply-chain Controls for Mycotoxins
Mycotoxins are toxic metabolites produced by certain fungi (i.e., molds) that can infect and
proliferate on raw agricultural commodities (e.g., grains such as wheat and corn, peanuts, fruits,
and tree nuts) in the field and during storage. Critical environmental factors determining whether
a raw agricultural commodity will support mold growth are temperature, moisture content, and
time, and each of these parameters can be manipulated and controlled to manage the
prevention of mold growth in a raw agricultural commodity. As noted in section 4.3.7 of this
chapter, effective process controls for mycotoxins involve correct drying and storage as well as
physical sorting techniques to remove damaged or moldy raw agricultural commodities.
If you determine through your hazard analysis that a mycotoxin hazard requires a preventive
control, and that control is applied by your supplier, you would have a supply-chain program in
which you would verify that your supplier controls mycotoxins. You could have specifications
that mycotoxins in raw materials and other ingredients will be within permitted levels.

4.7 Recall Plan

For food with a hazard requiring a preventive control, you must establish a written recall plan for
the food. The written recall plan must include procedures that describe the steps to be taken,
and assign responsibility for taking those steps, to perform the following actions as appropriate
to the facility: (1) Directly notify the direct consignees of the food being recalled, including how
to return or dispose of the affected food; (2) Notify the public about any hazard presented by the
food when appropriate to protect public health; (3) Conduct effectiveness checks to verify that
the recall is carried out; and (4) Appropriately dispose of recalled food—e.g., through
reprocessing, reworking, diverting to a use that does not present a safety concern, or destroying
the food. See 21 CFR 117.139.
We recommend that you consult our general guidance on policy, procedures, and industry
responsibilities regarding recalls in 21 CFR part 7, subpart C (§§ 7.40 through 7.59) and FDA’s
Guidance for Industry: Product Recalls, Including Removals and Corrections (FDA, 2015c).
A recall can be disruptive to your operation and business, but there are several steps you can
take in advance to minimize this disruptive effect:
• Adequately code products to make possible positive lot identification and to facilitate effective recall of
all violative lots.
• Maintain such product distribution records as are necessary to facilitate location of products that are
being recalled. You should maintain such records for a period of time that exceeds the shelf life and
expected use of the product.
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Administration's (FDA or we) on this topic. It does not establish any rights for any person and is
Chapter 5: Application of Preventive Controls and Preventive

Control Management Components
Table of Contents
5.2 Overview of the Application of Preventive Controls for Biological
Hazards
5.3 Overview of the Application of Preventive Controls for Chemical
Hazards
5.3.1 Examples of the Application of Preventive Controls for Chemical Hazards
5.3.2 Considerations Applicable to Radiological Hazards
5.3.3 Examples of the Control of Food Allergen Hazards
5.4 Overview of the Application of Preventive Controls for Physical
Hazards
5.5 Preventive Control Management Components
5.5.1 Overview of Preventive Control Management Components
1
Chapter 5 (Preventive Control Management Components) - Page 1

5.5.2 Monitoring
5.5.4 Verification
5.5.5 Records
5.6 References

The guidance provided in this chapter is intended to help you identify and implement preventive
controls, and associated preventive control management components, as a part of your food
safety plan. See 21 CFR 117.135 and 117.140. Note that if you determine through your hazard
analysis that there are no hazards requiring preventive controls, you must still document that
determination in your written hazard analysis (see 21 CFR 117.130(a)(2)). However, you would
not need to establish preventive controls and associated preventive control management
components.
This chapter provides an overview of the application of preventive controls to significantly

minimize or prevent the occurrence of biological, chemical, and physical hazards in finished
foods and the food production environment. This chapter also provides an overview of
preventive control management components (i.e., monitoring, corrective actions, and
corrections, and verification activities (and their associated records)). Chapters 6 through 13 of
this guidance provide more detailed examples of the application of preventive controls and
associated preventive control management components.
This chapter does not provide all the details needed for complete programs. You have the
flexibility to identify and implement preventive controls, and associated preventive control
management components, from among all procedures, practices, and processes that are
available to you and that would provide assurances that the hazard is controlled (i.e.,
significantly minimized or prevented).
5.2 Overview of the Application of Preventive Controls for Biological

Hazards
Table 5-1 provides examples of the application of preventive controls to significantly minimize or
prevent the occurrence of ingredient-related and process-related biological hazards.
Table 5-1 provides general information about the effects of the listed preventive controls but is
not intended to imply that a particular preventive control has been validated for control of
specific pathogens in specific foods. You are responsible for validating specific preventive
controls as appropriate to the nature of the preventive control and its role in your facility’s food
safety system (see 21 CFR 117.160(a)).
Table 5-1 does not address the application of preventive controls to facility-related hazards.
See “Chapter 10 – Sanitation Controls” of this guidance for additional information on the
application of sanitation controls to address facility-related hazards.

Table 5-1 Application of Common Preventive Controls to Ingredient-Related and Process-

Related Biological Hazards
Preventive Common Applicability Applicability Applicability to Applicability to

Control Procedures, to Spore- to Bacterial Toxins Parasites
Practices, Forming Vegetative
and Bacterial Bacterial
Processes Pathogens Pathogens
Process Heat (e.g., In general, Eliminates Will not eliminate Heat processing
Control – cooking, heat vegetative preformed toxins will inactivate
Lethal roasting, processes cells of of S. aureus and parasites found
Treatments baking) will not pathogens B. cereus emetic in foods; specific
eliminate toxin times and
spores of temperatures
bacterial are dependent
pathogens on the parasite,
food matrix, and
process used
Process Irradiation, The doses Eliminates Will not eliminate Limited uses for
Control – ionizing approved in vegetative preformed toxins parasite control;
Lethal the U.S. will cells of of S. aureus and depending on
Treatments not eliminate pathogens B. cereus emetic dose, approved
spores of toxin uses for
bacterial foodborne
pathogens in pathogens may
most foods inactivate
parasites found
in foods
Process Antimicrobial Will not Defined PPO Unknown, but Ozone has been
Control – Fumigation, eliminate processes unlikely to have found to
Lethal e.g., spores of have been an effect on inactivate select
Treatments Propylene bacterial shown to preformed toxins parasites (e.g.,
Oxide (PPO) pathogens reduce of S. aureus and C. parvum
or Ethylene Salmonella B. cereus emetic oocysts)
Oxide (ETO) by 5 logs in toxin
certain foods


Process High Pressure In general, Eliminates Will not eliminate • Will
Control – Processing HPP will not vegetative preformed toxins eliminate
Lethal (HPP) eliminate cells of of S. aureus and parasitic
Treatments spores of pathogens B. cereus worms of
bacterial (FDA, 2000) Trichinella
pathogens spiralis at >
(FDA, 2000) 200 MPa for
10 min
• No
infectivity of
Cryptospori
dium
oocysts
when
treated by
HPP at
8
5.5X10 Pa
(80,000 psi)
for 60 sec in
apple and
orange juice
• Information
is lacking on
the pressure
resistances
of other
parasites
Process Refrigeration Used to Depending Will prevent the Limited
Control – control on the formation of information;
Time / growth of temperature, toxins of S. generally not
Temperature sporeforming refrigeration aureus. applicable to
of Holding bacterial will inhibit Depending on parasites
pathogens growth of the temperature, because
many will prevent parasites do not
pathogens. formation of B. grow in food
However, cereus toxins.
pathogens Will have no
such as L. effect on
monocytogen preformed toxins
es and some
strains of B.
cereus may
grow at
refrigeration
temperatures


Process Freezing Used to Freezing Freezing that There are
Control – control prevents prevents growth specific
Time / growth of growth of will prevent schedules of
Temperature spore vegetative formation of time and
of Holding forming cells of toxins of S. temperature
bacterial pathogens. aureus and B. shown to
pathogens, Depending cereus but have inactivate
but the on the no effect on parasites;
spores will temperature, preformed toxins Cyclospora is
survive the numbers known to be at
freezing well of some least somewhat
pathogens resistant to
may be freezing
reduced over because an
time; outbreak
however you occurred
cannot count attributed to
on freezing raspberries in
to eliminate cake that was
pathogens, previously
and many frozen at about
can survive 26°F (–3.3° C)
for an
extended
time
Process Water activity Reducing the Reducing the Water activity Limited
Control – control water activity water activity that prevents information;
Formulation (e.g., by (e.g., by growth will generally not
adding adding prevent formation applicable to
solutes such solutes such of toxins of S. parasites
as sugar and as sugar and aureus and B. because they do
salt) to 0.92 salt) to 0.85 cereus but have not grow in food
or below will or below will no effect on
inhibit inhibit growth preformed toxins
outgrowth of of vegetative
spores cells of
pathogens


Process Acidification Lowering the In, general, A pH that No information
Control – pH by the you can rely prevents growth for use as
Formulation addition of on added will prevent control in foods
acid can acid to formation of
inhibit spores prevent toxins of S.
from growth of aureus and B.
germinating, vegetative cereus but have
will not bacterial no effect on
eliminate the pathogens, preformed toxins
spores but you
cannot rely
on added
acid to
eliminate
vegetative
cells of
bacterial
pathogens
Process Adding Will not Various Formulations No information
Control – preservatives eliminate preservative that prevent for use as
Formulation spores of chemicals growth will control in foods
bacterial have specific prevent formation
pathogens, action of toxins of S.
but can against some aureus and B.
prevent vegetative cereus but have
germination cells of no effect on
of spores of bacterial preformed toxin
certain pathogens
species and/or fungi
that prevent
growth
Process Air drying Will not While drying Drying that No information
Control – eliminate may prevents growth on effect on
Dehydration spores of inactivate will prevent parasites in
bacterial some formation of foods
pathogens, pathogens, toxins of S.
but limits or others (e.g., aureus and B.
inhibits Salmonella) cereus but have
outgrowth may survive no effect on
drying for preformed toxin
fairly long
times


Process Freeze drying In general, In general, Drying that No information
Control – serves to serves to prevents growth on effect on
Dehydration preserve preserve will prevent parasites in
microorganis microorganis formation of foods
ms, but ms, but toxins of S.
inhibits inhibits aureus and B.
outgrowth growth cereus but have
no effect on
preformed toxin
Process Spray drying In general, Some Drying that No information
Control – spores of pathogens prevents growth on effect on
Dehydration bacterial may survive will prevent parasites in
pathogens spray drying formation of foods
will not be depending toxins of S.
eliminated, upon the aureus and B.
but inhibits product cereus but have
outgrowth formulation. no effect on
Growth will preformed toxin
be inhibited
Chapters 6 through 9 of this guidance provide specific examples of the application of some of
these preventive controls. Table 5-2 lists these chapters and the examples covered in these
chapters. Table 5-2 also lists examples of sanitation controls, which are covered in Chapter 10.
Table 5-2 Chapters in this Guidance that Provide Examples of the Application of
Common Preventive Controls for Ingredient-Related and Process-Related Biological
Hazards
Preventive
Hazard Examples of Preventive Controls Chapter
Control
Bacterial Process Control – • Cooking of RTE soups (frozen and
pathogens that Lethal Treatments refrigerated) 6
survive the lethal
treatment • Baking of RTE cookies
Bacterial Process Control – • Refrigeration of fresh fruit salads
pathogens that Time / 7
grow, including Temperature of • Control of temperature during
those that produce Holding thawing to prevent microbial growth
toxin, due to time/
temperature
abuse
Bacterial Process Control - • Acidification of prepared vegetable
pathogens that Formulation salads 8
grow, including
those that produce • Water activity control in refrigerated
toxin, due to poor cookie dough
formulation control

Preventive
Hazard Examples of Preventive Controls Chapter
Control
Bacterial Process Control – • Drying of milk to produce spray-
pathogens that Drying/dehydration dried milk powder 9
grow, including
those that produce
toxin, due to
inadequate drying
Bacterial Sanitation Control • Controlling presence of bacterial
pathogens that – Cleaning / pathogens in RTE prepared 10
contaminate sanitizing food sandwiches by sanitation
product due to contact surfaces
poor sanitation
Recontamination Sanitation – • Use of hygienic zoning as a 10
of an RTE product Prevention of component of a program for
with an recontamination prevention of recontamination of ice
environmental from the cream with environmental
pathogen environment pathogens
5.3 Overview of the Application of Preventive Controls for Chemical

Hazards
5.3.1 Examples of the Application of Preventive Controls for Chemical
Hazards
prevent the occurrence of ingredient-related chemical hazards in finished foods. See “Chapter
12 – Preventive Controls for Chemical Hazards” of this guidance for further examples of the
implementation of preventive controls for chemical hazards.

Table 5-3 Examples of the Control of Ingredient-Related Chemical Hazards
Preventive Common Procedures, Examples of Applicability to Chemical Hazards

Control Practices, and Processes
Supply-Chain Establish and implement a risk- • Applicability to heavy metals: approved
Program based supply-chain program suppliers control arsenic and lead in raw
with supplier approval and agricultural commodities such as rice and
verification activities (as a carrots
means of ensuring that raw
materials and other ingredients • Applicability to naturally occurring toxins:
are procured from those approved suppliers control growth of
suppliers that can meet mycotoxin-forming fungi in stored raw
company specifications and agricultural commodities that are purchased
have appropriate programs in by the facility as raw materials
place) • Applicability to food and color additives and
substances associated with a food
intolerance: approved suppliers control
presence of or use of identified substances
and ensure safe levels are not exceeded
Supply-Chain Conduct verification activities • Sampling and testing (by supplier or receiving
Program appropriate to the hazard facility) to verify supplier control for chemical
hazards such as pesticides, drug residues,
heavy metals, and mycotoxins, when a
supply-chain-applied control has been applied
for such hazards
• On-site audit to verify control of food
allergens, such as when purchasing roasted
almonds from a facility that handles multiple
tree nuts
Process Controls Recipe management Facility programs to control product formulation to
procedures as appropriate ensure that safe levels are not exceeded
Process Controls Storage conditions Control of moisture in stored raw agricultural
commodities to prevent formation of mold
Process Controls Physical sorting Facility processing practices to sort (e.g., based
on color, physical damage, or presence of mold)
raw agricultural commodities to reduce levels of
mycotoxins in processed foods
5.3.2 Considerations Applicable to Radiological Hazards
Contamination of foods by radionuclides (a radiological hazard) is a rare event. The most

common way these radionuclides are incorporated into foods is through use of water that
contains a radionuclide during the manufacture of a food. For example, in certain locations in
the United States, high concentrations of radium-226, radium-228 and uranium have been
detected in private wells (Ayotte et al., 200; Focazio et al., 2001). The most relevant information
that would lead you to consider and evaluate a specific radiological hazard to determine
whether it is a hazard requiring a preventive control would be publicly disseminated information
following a particular event, such as contamination arising from accidental release from a

nuclear facility or from damage to a nuclear facility from a natural disaster. For example, in
2011, radioactivity was detected in milk, vegetables and seafood produced in areas neighboring
a nuclear power plant damaged during an earthquake and tsunami in Japan. We have issued
guidance on levels of concern for radionuclides that could be a known or reasonably
foreseeably hazard in certain circumstances, such as after an accident at a nuclear facility
(FDA, 2001).
Your hazard analysis does not need to consider sources of radiation used in accordance with a
food additive regulation. Such sources are safe for their intended use. As with any other
equipment and substances used in the manufacture of food, you must comply with all applicable
safety requirements established either under the terms of a food additive regulation or by an
authority such as the Occupational Safety and Health Administration. Although the two most
likely sources of radiological hazards that you would need to address are water used in the
production of foods (as an ingredient or cleaning aid), and accidental contamination of your food
product (or its ingredients) from accidental release of radionuclides from a nuclear facility, the
PCHF requirements do not limit your responsibilities to these two sources, because we cannot
anticipate what might be a source in the future.
5.3.3 Examples of the Control of Food Allergen Hazards
prevent the occurrence of the ingredient-related and process-related undeclared food allergen
hazards within finished foods. See “Chapter 11 – Food Allergen Controls” of this guidance for
additional information on the application of food allergen controls.
Table 5-4 Application of Common Preventive Controls to Ingredient-Related and Process-

Related Food Allergen Hazards
Preventive Common Procedures, How the Preventive How the Preventive

Control Practices, and Processes Control Can Significantly Control Can Significantly
Minimize or Prevent Minimize or Prevent
Undeclared Food Undeclared Food
Allergens due to Allergens due to Cross-
Incorrect Product Label Contact
Allergen Perform label design and Label design and review N/A
Control – review during product minimize the potential for
Labelling development prior to the label to not identify all
commercialization and of the food allergens
label review for each new present in the food
batch of labels received.
Allergen Implement procedures for Label application N/A

Control – application of correct label procedures can help
Labelling to product. minimize the potential for
an incorrect label to be
applied to an allergen-
containing food


Allergen Identify and mark food N/A Clearly identifying food
Control – allergen-containing allergens associated with
Allergen ingredients (e.g., by color raw materials or other
cross-contact coding or with food ingredients simplifies
allergen icons) at handling practices to
receiving. prevent allergen cross-
contact
Allergen Segregate and store food N/A Segregation of different
Control – allergen-containing food allergens can
Allergen materials at receiving and minimize the potential for
cross-contact warehousing. allergen cross-contact
during storage
Allergen Open and handle food N/A Handling food allergens
Control – allergen-containing separately can minimize
Allergen ingredients at separate the potential for inadvertent
Cross-contact times / contain by using incorporation of a food
separate rooms, or by allergen into a product for
scheduling use of the which it is not an ingredient
same rooms at different
times.
Allergen Schedule production of N/A Production scheduling can
Control – products based on food minimize the potential for
Allergen allergen-containing inadvertent incorporation of
Cross-contact recipes. Schedule food allergen into a product
production of products that for which it is not an
do not contain food ingredient
allergens before production
of products that do contain
food allergens or schedule
production of products with
a unique food allergen last.
Allergen Physically separate N/A Separating processes
Control – processes for products that containing different food
Allergen do not contain food allergens can minimize the
cross-contact allergens from products potential for inadvertent
that do contain food incorporation of food
allergens or separate allergen into a product for
processes for products that which it is not an ingredient
do not contain the same
food allergens
Allergen Implement production N/A Control of rework can
Control – procedures for rework and minimize the potential for
Allergen work-in-process (WIP): inadvertent incorporation of
cross-contact using “like into like,” food allergen into a product
appropriate storage and for which it is not an
handling, tracking ingredient


Sanitation Use full wet cleaning to N/A Cleaning can minimize the
Control – remove food allergen presence of food allergen
Cleaning food residues prior to producing residues, preventing
contact a product that does not inadvertent incorporation of
surfaces contain that food allergen food allergen into a product
on the same line. for which it is not an
ingredient
Sanitation Use hygienic zoning for N/A Hygienic zoning can help
Control – physical separation of prevent inadvertent
Cross-contact process operations, incorporation of food
including personnel, that allergen into a product for
involve foods with and which it is not an ingredient
without a specific food
allergen
Sanitation Use dedicated cleaning N/A Use of dedicated cleaning
Control - utensils and equipment for utensils/equipment can
Cross-contact removing food allergen prevent transfer of food
residues from food allergen residues, thereby
processing equipment preventing inadvertent
incorporation of food
allergen into a product for
which it is not an ingredient
5.4 Overview of the Application of Preventive Controls for Physical

Hazards
Table 5-5 provides an overview of the application of preventive controls to significantly minimize
or prevent the occurrence of physical hazards in finished foods. See “Chapter 13 – Preventive
Controls for Physical Hazards” of this guidance for further examples for the implementation of
preventive controls for physical hazards.
Table 5-5 Applicability of Preventive Controls to Physical Hazards
Preventive Common Applicability Applicability to Glass Applicability to Other

Control Procedures, to Metal Hazards (Products Hard/Sharp Physical
Category Practices, and Hazards Packed in Glass) Hazards
Processes
Process Use screens, Physically Physically removes Physically removes hard

Control – flotation tanks, removes metal glass plastic, wood, stones
Exclusion riffle board, fragments
sifters, magnets,
inversion/air to
exclude metal
and glass

Preventive Common Applicability Applicability to Glass Applicability to Other

Control Procedures, to Metal Hazards (Products Hard/Sharp Physical
Category Practices, and Hazards Packed in Glass) Hazards
Processes
Process Use metal or X- Metal and X- X-ray detectors detect X-rays can often detect
Control – ray detectors to ray detectors glass pieces, which hazardous objects such
Detection detect and divert detect metal generally allows for as hard plastic, stones,
foods containing pieces, which exclusion of foods bones, pits
metal and glass generally containing glass
allows for
exclusion of
foods
containing
metal
5.5 Preventive Control Management Components

5.5.1 Overview of Preventive Control Management Components
Preventive control management components include monitoring, corrective actions and

corrections, and verification activities (and their associated records). You must apply
appropriate preventive control management components by considering the nature of the
preventive control and its role in the facility’s food safety system to ensure the effectiveness of
the preventive control. For example, monitoring may be limited for certain control measures
such as preventive maintenance for equipment to prevent metal hazards (although you should
have a record that the activity took place). When sanitation controls are required for
environmental pathogens, little or no monitoring may be needed when cleaning and sanitation
are conducted in accordance with established written protocols. Occasional verification that
procedures are being followed may suffice. See 21 CFR 117.140.
5.5.2 Monitoring
You must establish and implement written procedures, including the frequency they are to be
performed, for monitoring preventive controls (as appropriate to the nature of the preventive
control and its role in your food safety system). See 21 CFR 117.145. Chapters 6 through 13 of
this guidance provide examples of the application of preventive controls. Each of these
chapters contains a section, “Establish Monitoring Procedures,” that provides information about
appropriate monitoring procedures for each control strategy example discussed.
To fully describe your monitoring program, the procedures should answer four questions: (1)
What will be monitored? (2) How will monitoring be done? (3) How often will monitoring be done
(frequency)? and (4) Who will do the monitoring?
What you monitor should be directly related to control of the hazard. For example, for process
controls you would monitor parameters to ensure the minimum/maximum values are met. For
other preventive controls, you could monitor that the activity has been conducted consistent with
a defined procedure.

The frequency of monitoring depends upon the circumstances. Continuous monitoring is always
desirable, and in some cases necessary. In other cases, it may not be necessary or practical.
You should monitor often enough that the normal variability in the values you are measuring can
be determined and a deviation from normal will be detected. This is especially true if these
values are typically close to the control values. Even with continuous monitoring, you should
periodically check the paper or electronic record of the continuous monitoring to determine
whether deviations from the control value have occurred. The frequency of that check should be
at least daily.
If a measurement shows that a deviation from the control value has occurred, you should
assume that the control value had not been met since the last check in which the value was
acceptable. As a result, the greater the time span between measurements, the more products
you are putting at risk.
You should specify in the written procedures the position of the employee who will do the
monitoring and describe how they are to perform the monitoring procedure. See Chapters 6
through 13 of this guidance for monitoring examples that include “who” and “how.”
You must document your monitoring of preventive controls. See 21 CFR 117.145(c)(1).
Although, as noted above, continuous monitoring (with associated records) is desirable, in some
circumstances the monitoring records may be “exception records” that document loss of control.
See 21 CFR 117.145(c)(2).
You must establish and implement corrective action procedures that would apply if preventive
controls are not properly implemented, as appropriate to the nature of the hazard and the nature
of the preventive control. These include corrective action procedures that must be taken if you
detect the presence of a pathogen or appropriate indicator organism in a ready-to-eat product
as a result of product testing or if you detect the presence of an environmental pathogen or
appropriate indicator organism through your environmental monitoring activities. See 21 CFR
117.150(a) and (a)(1).
A predetermined corrective action procedure has the following advantages: (1) It provides
detailed instructions for an employee to follow in the event of a deviation in applying a
preventive control; (2) it can be prepared at a time when an emergency situation is not calling
for an immediate decision; and (3) it removes the obligation to reassess the food safety plan in
response to a deviation.
Chapters 6 through 13 of this guidance provide examples of the application of preventive

controls. Each of these chapters contains a section, “Establish Corrective Action Procedures,”
that provides information about appropriate corrective action procedures for each control
strategy example discussed. An appropriate corrective action procedure must accomplish the
following goals: (1) Ensure that the appropriate action is taken to identify and correct the
problem that has occurred with the implementation of a preventive control; (2) ensure that the
appropriate action is taken when necessary to reduce the likelihood that the problem will recur;
(3) ensure that all affected food is evaluated for safety; and (4) ensure that all affected food is
prevented from entering into commerce unless an evaluation has determined that the product is
not adulterated under section 402 of the Federal Food, Drug, and Cosmetic Act (FD&C Act) (21
U.S.C. 342) or misbranded under 21 section 403(w) of the FD&C Act (21 U.S.C. 343(w)). See
21 CFR 117.150(a)(2).

You must document your corrective actions. See 21 CFR 117.150(d). For example, when
documenting a decision that affected product is released into commerce, your documentation
should explain how your decision was based on sound evidence that the deviation did not
create a food safety hazard. As another example, you should document all product dispositions,
including dispositions to reject or destroy the product.
If you have not established a written corrective action procedure for a preventive control, you
still must take appropriate corrective actions when an unanticipated food safety problem
indicates that a preventive control may not have been properly implemented. See 21 CFR
117.150(b)(1)(i). For example, you would take appropriate corrective actions if you detected a
pathogen in a product when your production process should have controlled the pathogen.
Although it may not be possible to anticipate all the problems that could happen, corrective
actions need to be taken and fully documented when an unanticipated situation occurs. The
corrective actions for the unanticipated problems would include standard corrective action
procedures (e.g. identify and correct an implementation problem, take steps to reduce the
likelihood it will recur, evaluate all implicated product for safety, and prevent adulterated or
misbranded product from entering commerce). See 21 CFR 117.150(b)(2)(i). In addition when
appropriate you must reanalyze the food safety plan (or the applicable portion of the food safety
plan) to determine whether you need to modify the plan. See 21 CFR 117.150(b)(2)(ii).
A correction is an action to identify and correct a problem that occurred during the production of
food, without other actions associated with a corrective action procedure. See the definition of
“correction” in 21 CFR 117.3. The term ‘‘correction’’ focuses on the first step in a ‘‘corrective
action procedure’’ (i.e., identify and correct the problem). Corrections may be appropriate
instead of corrective actions when minor, isolated problems occur that do not directly impact
product safety.
Here is an example of corrections vs. corrective actions. If you observe food residue on ‘‘clean’’
equipment prior to production, corrections would involve re-cleaning and sanitizing the
equipment before it is used. Because you observed the food residue prior to production of food,
and you corrected the problem in a timely manner, no food is affected and no actions are
needed with respect to food. You are not required to record the correction because this isolated
incident does not directly impact product safety, and you made the corrections in a timely
manner (i.e., before the production starts). On the other hand, if you make an RTE creamed
vegetable soup using a continuous heat exchanger and hot-fill process, and after packaging the
soup your review of temperature records of the processed soup at the discharge end of the hold
tube shows that the soup did not reach the temperature you identified as a critical limit,
corrective actions would involve destroying the product, reheating it or sending it to animal food
as appropriate, 2 investigating the cause of the problem, and taking the actions needed to reduce
the likelihood that the problem will recur based on the root cause of the problem. (Using an
automatic flow diversion valve that diverts low-temperature product at the end of the hold tube
back to the pre-heat kettle to be re-processed would avoid the need for taking corrective actions
on product, although you would still investigate the cause and correct the problem.)
You must document all corrective actions in records that are subject to verification records
review. When appropriate, you also must document corrections. See 21 CFR 117.150(d). You
are not required to document corrections in records that are subject to verification records
2
For more information on sending human food to animal food use, refer to Draft Guidance for Industry:
Questions and Answers Regarding the Reportable Food Registry as Established by the Food and Drug
Administration Amendments Act of 2007, Section III.L (FDA, 2010).

review when the corrections are taken in a timely manner and you identify and correct a minor
and isolated problem that does not directly impact product safety. See 21 CFR 117.150(c)(2).
However, we recommend that you document corrections such as re-running product through a
functioning metal detector when the one used on the production line did not reject the test
pieces used to verify that the metal detector was operating correctly, because it provides a
record of both the problem and the steps you took to correct the problem. If the problem recurs
on a frequent basis, such documentation also can alert you that equipment may need to be
repaired or replaced. We also recommend that you record corrections taken when equipment is
adjusted because, for example, temperature does not meet an operating limit (although the
critical limit has not been violated); such information can be useful to identify trends that indicate
equipment repairs may be needed.
The record of corrective actions should include information on the following four elements:
First, document the actions taken to identify and correct the problem with implementation of the
preventive control. For example, explain how you identified what went wrong with a process
control and how you restored process control.
Second, explain what you did to reduce the likelihood that the problem will recur. Evaluation of
historical corrective action records can help to identify recurring problems. When critical limit
deviations frequently reoccur, the process and the Food Safety Plan may need reanalysis and
modification. A formal process may be needed to manage major changes that need to be
implemented. This may include reissuing forms, retraining employees, phasing in changes,
managing label information, informing suppliers, and other tasks, depending on the nature of the
change.
Third, explain how you evaluated the safety of all affected food. Specific technical expertise may
be required for this evaluation, depending on the nature of the deviation.
Fourth, explain what you did with any affected food, including identifying the amount of product
involved and disposition of the affected product.
5.5.4 Verification

controls. Each of these chapters contains a section, “Establish Verification Procedures,” that
provides information about appropriate verification activities for each control strategy example
discussed. The information covers validation of the adequacy of control measure (e.g., process
establishment); evidence that monitoring is being conducted as required; evidence that
appropriate decisions about corrective actions are being made as required; evidence of
verification of the implementation and effectiveness of controls (such as product testing or
environmental monitoring when appropriate); calibration of instruments, when appropriate, and
review of records. See 21 CFR 117.155, 117.160 and 117.165. When calibration or an accuracy
check of a preventive control monitoring instrument shows that the instrument is not accurate,
you should evaluate the monitoring records since the last instrument calibration to determine
whether the inaccuracy would have contributed to a deviation. For this reason, food safety plans
with infrequent calibration or accuracy checks can place more products at risk than those with
more frequent checks if a problem with instrument accuracy occurs.

5.5.5 Records

controls. Each of these chapters contains a section, “Establish a Recordkeeping System,” that
provides information about appropriate records for each control strategy example discussed.
Types and frequency of records vary, depending on factors such as the nature of the hazard
and the nature of the control measure and its role in the food safety system.
5.6 References
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water." Appl Environ Microb 60:2732-2735.
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Chapter 6: Use of Heat Treatments as a Process Control
Table of Contents
6.2 Considerations to Keep in Mind If You Use a Heat Treatment as a
Process Control
6.3 Examples Used in this Chapter
6.4 Understand the Potential Hazard
6.5 Terms Used in This Chapter
6.6 Design and Validation of the Heat Treatment
6.7 Develop a Strategy for Preventive Control Management Components
6.8 Establish and Implement Monitoring Procedures
6.8.1 What to Monitor
6.8.2 How to Monitor
6.8.2.1 How to monitor batch heating equipment
6.8.2.2 How to monitor continuous heating equipment
1
Chapter 6 (Heat Treatments) - Page 1

6.8.3 How Often to Monitor (Frequency of Monitoring)

6.8.3.1 How often to monitor batch heating equipment
6.8.3.2 How often to monitor continuous heating equipment
6.8.4 Who performs the monitoring
6.9 Establish and Implement Corrective Action Procedures
6.10 Determine Verification Procedures
6.11 Establish and Maintain Records
6.11.1 Records of Monitoring Activities
6.11.1.1 Records of monitoring activities for batch heating equipment
6.11.1.2 Records of monitoring activities for continuous heating equipment
6.11.2 Records of Corrective Actions
6.11.3 Record of On-going Verification Activities
6.12 Example of Cookie Processor A’s Heat Treatment
6.12.1 Cookie Processor A’s Product, Hazard Analysis, and Batch Heat Treatment
6.12.2 Cookie Processor A’s Process Design and Validation
6.12.3 Cookie Processor A’s Monitoring
6.12.3.1 What Cookie Processor A monitors
6.12.3.2 How Cookie Processor A monitors
6.12.3.3 How often Cookie Processor A monitors
6.12.3.4 Who monitors critical factors for Cookie Processor A’s heat treatment
6.12.4 Cookie Processor A’s Corrective Action Procedures
6.12.5 Cookie Processor A’s Verification Procedures
6.12.6 Cookie Processor A’s Monitoring Records
6.12.7 Cookie Processor A’s Records of Corrective Actions
6.12.8 Cookie Processor A’s Verification Records
6.12.9 Summary Process Control Table for Cookie Processor A
6.13 Example of Cookie Processor B’s Heat Treatment
6.13.1 Cookie Processor B’s Product, Hazard Analysis, and Continuous Heat
Treatment
6.13.2 Cookie Processor B’s Process Design and Validation
6.13.3 Cookie Processor B’s Monitoring

6.13.3.1 What Cookie Processor B monitors

6.13.3.2 How Cookie Processor B monitors
6.13.3.3 How often Cookie Processor B monitors
6.13.3.4 Who monitors critical factors for Cookie Processor B’s heat treatment
6.13.4 Cookie Processor B’s Corrective Action Procedures
6.13.5 Cookie Processor B’s Verification Procedures
6.13.6 Cookie Processor B’s Monitoring Records
6.13.7 Cookie Processor B’s Records of Corrective Actions
6.13.8 Cookie Processor B’s Verification Records
6.13.9 Summary Process Control Table for Cookie Processor B
6.14 Example of Soup Processor A’s Heat Treatment
6.14.1 Soup Processor A’s Product, Hazard Analysis, and Batch Heat Treatment
6.14.2 Soup Processor A’s Process Design and Validation
6.14.3 Soup Processor A’s Monitoring
6.14.3.1 What Soup Processor A monitors
6.14.3.2 How Soup Processor A monitors
6.14.3.3 How often Soup Processor A monitors
6.14.3.4 Who monitors critical factors for Soup Processor A’s heat treatment
6.14.4 Soup Processor A’s Corrective Action Procedures
6.14.5 Soup Processor A’s Verification Procedures
6.14.6 Soup Processor A’s Monitoring Records
6.14.7 Soup Processor A’s Records of Corrective Actions
6.14.8 Soup Processor A’s Verification Records
6.14.9 Summary Process Control Table for Soup Processor A
6.15 Example of Soup Processor B’s Heat Treatment
6.15.1 Soup Processor B’s Product, Hazard Analysis, and Continuous Heat Treatment
6.15.2 Soup Processor B’s Process Design and Validation
6.15.3 Soup Processor B’s Monitoring
6.15.3.1 What Soup Processor B monitors
6.15.3.2 How Soup Processor B monitors
6.15.3.3 How often Soup Processor B monitors

6.15.3.4 Who monitors critical factors for Soup Processor B’s heat treatment
6.15.4 Soup Processor B’s Corrective Action Procedures
6.15.5 Soup Processor B’s Verification Procedures
6.15.6 Soup Processor B’s Monitoring Records
6.15.7 Soup Processor B’s Records of Corrective Actions
6.15.8 Soup Processor B’s Verification Records
6.15.9 Summary Process Control Table of Soup Processor B
6.16 Example of Salsa Processor A’s Heat Treatment
6.16.1 Salsa Processor A’s Product, Hazard Analysis, and Heat Treatment
6.16.2 Salsa Processor A’s Process Design and Validation
6.16.3 Salsa Processor A’s Monitoring
6.16.3.1 What Salsa Processor A monitors
6.16.3.2 How Salsa Processor A monitors
6.16.3.3 How often Salsa Processor A monitors
6.16.3.4 Who monitors critical factors for Salsa Processor A’s heat treatment
6.16.4 Salsa Processor A’s Corrective Action Procedures
6.16.5 Salsa Processor A’s Verification Procedures
6.16.6 Salsa Processor A’s Monitoring Records
6.16.7 Salsa Processor A’s Records of Corrective Actions
6.16.8 Salsa Processor A’s Verification Records
6.16.9 Summary Process Control Table for Salsa Processor A
6.17 References
Appendix 6. Summary Process Control Tables for the Examples in
Chapter 6
Appendix 6-A: Summary Process Control Table for Baking; Cookie Processor A
Appendix 6-B: Summary Process Control Table for Baking; Cookie Processor B
Appendix 6-C: Summary Process Control Table for Cooking; Soup Processor A
Appendix 6-D: Summary Process Control Table for Cooking; Soup Processor B
Appendix 6-E: Summary Process Control Table for Heat Treatment; Salsa
Processor A


The purpose of this chapter is to explain how to establish and implement a heat treatment (e.g.,
baking or cooking) as a process control for bacterial pathogens. See Chapter 4 – Preventive
Controls for additional detail on heat and other lethal treatments.
This chapter does not address controlling bacterial pathogens by those heat treatments, such
as retort processes, that are subject to 21 CFR part 113 (Thermally Processed Low-Acid Foods
Packaged in Hermetically Sealed Containers; commonly called “Low-Acid Canned Foods”
(LACF)) because the microbial hazards in LACF are not subject to the requirements for hazard
analysis and risk-based preventive controls.
6.2 Considerations to Keep in Mind If You Use a Heat Treatment as a

Process Control
Heating is only one of the process controls that you may choose to use to produce a safe
product. Based on your hazard analysis, there may be other process controls to consider. In
addition, the heat treatments discussed in this chapter are designed to kill/destroy vegetative
cells of bacterial pathogens (e.g., Salmonella), but are not adequate to inactivate spores of
sporeforming bacteria (e.g., all strains of C. botulinum). Therefore, if you use one of the heat
treatments described in this chapter, you may need to establish and implement additional
preventive controls to control spores. See Chapter 4 for further information regarding additional
process controls for pathogenic sporeformers. See Table 6-1 for additional strategies for
controlling bacterial pathogens.
Table 6-1 Strategies Other than Heat Treatment for Controlling Bacterial Pathogens
Time/Temperature Control 7
Formulation Control (e.g., water activity, pH, 8

and chemical preservatives)
Dehydration/Drying 9
Sanitation Controls 10
6.3 Examples Used in this Chapter

Sections 6.12 through 6.16 of this chapter provide examples to illustrate how to properly apply
heat treatments as a process control and to establish and implement preventive control
management components (i.e., monitoring, corrective actions and corrections, and verification)
for those heat treatments. These examples are:

• Cookie Processor A: Cookies baked using a batch process (in batches on trays in
convection ovens), wrapped by twos in plastic (Section 6.12)
• Cookie Processor B: Cookies baked using a continuous process (in a continuous band
oven), packaged in boxes of 24 cookies (Section 6.13)
• Soup Processor A: Ready-to-Eat (RTE) soups containing vegetable particles, cooked using
a batch process (in a kettle), packaged in 8 ounce plastic bowls, and frozen (Section 6.14)
• Soup Processor B: RTE soups (clear broths and creamed vegetable soups, without
vegetable particles) cooked using a continuous process (in a continuous flow heat
exchanger), packaged in 5 gallon bags, and refrigerated (Section 6.15)
• Salsa Processor A: Chopped mixed vegetable salsa (an acidified food) that is directly
acidified, cooked in a kettle, and hot-filled into glass jars (Section 6.16) 2
Each of these examples describes certain activities that must be either performed, or overseen
by, a preventive controls qualified individual (PCQI). When a PCQI oversees (rather than
performs) these activities, the activity could be performed by a designee of the PCQI. For
simplicity, we describe the activity as performed by a PCQI, without specifying each time that
the activity could be performed by a designee of a PCQI.

Heat is known to be effective against bacterial pathogens and is a common process control for
these hazards. However, if heat treatments are not properly designed and implemented, the
pathogens of concern may survive the process and cause illness. See Chapter 3 for more
information on bacterial pathogens.

Part 117 specifies that process controls include procedures, practices, and processes to ensure
the control of parameters during operations such as heat processing, acidifying, irradiating, and
refrigerating foods. Process controls must include, as appropriate to the nature of the applicable
control and its role in the facility’s food safety system: (1) Parameters associated with the
control of the hazard; and (2) the maximum or minimum value, or combination of values, to
which any biological, chemical, or physical parameter must be controlled to significantly
minimize or prevent a hazard requiring a process control. (See 21 CFR 117.135(c)(1).)
The examples in this chapter describe:
• Process parameters such as baking/cooking time, baking/cooking temperature, dough

weight, particle size, belt speed, and pump speed;
• Maximum values for some of these process parameters (e.g., 28 g portion of dough); and
2
In forthcoming chapters, we will provide an example of formulation control for this acidified food
(Chapter 8 – Use of Formulation as a Process Control) and an example of control of glass hazards
(Chapter 13 – Preventive Controls for Physical Hazards).

• Minimum values for some of these process parameters (e.g., 350°F (177°C) minimum
baking temperature, 13 minutes minimum baking time).
Process controls typically are established at “critical control points” (CCPs). “CCP” is a term
commonly used in HACCP systems. In HACCP systems, the maximum or minimum values for a
process parameter established at a CCP are called “critical limits.” Our HACCP regulation for
juice (21 CFR part 120) defines “critical limit” as the maximum or minimum value to which a
physical, biological, or chemical parameter must be controlled at a critical control point to
prevent, eliminate, or reduce to an acceptable level the occurrence of the identified food hazard.
Part 117 does not preclude the use of terms (such as “critical limits” and “critical factors”) that
are associated with HACCP systems. Because the maximum or minimum values for the
process parameters described in the examples in this chapter are established at CCPs, we see
no meaningful difference between the terms “maximum value” and “minimum value” used in part
117 for a process control and the term “critical limit” used in HACCP systems for controls
established at CCPs. Therefore, in this chapter we use the term “critical limit” when referring to
a maximum or minimum value established for a process control parameter. Because part 117
specifies that preventive controls include controls, other than those at CCPs, that are also
appropriate for food safety (21 CFR 117.135(a)(2)(ii)), in this chapter we use the more general
term “process parameter” (rather than “critical factor”) when referring to parameters other than
those specified in the examples with critical limits.
Part 117 does not define the term “operating limit.” In this guidance, we use the term “operating
limit” to mean criteria that may be more stringent than critical limits and are established for
reasons other than food safety. For example, if you bake cookies and establish 13 minutes as
the critical limit for the minimum baking time to control bacterial pathogens, you could establish
15 minutes as an operating limit for the baking time and assess the cookies for quality if the
baking time is less than 15 minutes, but still exceeds the critical limit of 13 minutes (e.g., if the
baking time was 14 minutes).
Part 117 does not define the term “adjustment.” In this guidance, we use the term “adjustment”
when referring to an intervention that you take if you determine that there is a deviation from an
operating limit, without a deviation from a critical limit. For example, if you bake cookies,
establish 28 g as the maximum value (critical limit) for the weight of cookie dough deposited by
an automatic dough depositor, and establish 27 g as the operating limit for the weight of cookie
dough, you could make an adjustment to the dough depositor if you observe that the amount of
dough deposited exceeds the operating limit of 27 g, but does not exceed the critical limit of 28
g.
6.6 Design and Validation of the Heat Treatment

The heat treatments discussed in this chapter are designed to significantly minimize (eliminate
or reduce to an acceptable level) vegetative cells of bacterial pathogens that may have been
introduced into the food by raw materials or during processing steps that occur before the heat
step. With few exceptions, the PCHF requirements specify that you must validate that the
preventive controls are adequate to control the hazard as appropriate to the nature of the
preventive control and its role in your food safety system. The validation of the preventive
controls must be performed (or overseen) by a PCQI. (See 21 CFR 117.160.)

To control bacterial pathogens using a heat treatment adequate to ensure that the pathogens do
not survive the process, you should:
• Scientifically establish a heat treatment that will significantly minimize the target bacterial
pathogens (eliminate them or reduce their numbers to acceptable levels);
• Design and operate the heat treatment equipment so that every unit of product receives at
least the established minimum heat treatment; and
• Monitor the established process parameters to verify achievement of the scientifically

established heat treatment (e.g., time and temperature).
You could establish process parameters and the critical limits for the process parameters based
on scientific information, usually obtained by a scientific study (often from studies in the
literature). You also could obtain this information from a process authority that has knowledge
about process parameters and minimum/maximum values (e.g., critical limits) for the product
being produced. A process authority could also conduct the studies that would establish a valid
heat treatment.
For heat treatments, examples of process parameters include:
• Amount of time for the heat treatment (e.g., the amount of time exposed to heat as
determined by the speed of the belt through a continuous oven, or observed number of
minutes at a boil for some cooking processes) 3;
• Temperature of the heating medium (e.g., temperature of oven or steam or water used for
cooking);
• Internal Temperature (IT) of the product;
• Final temperature of the product;
• Particle size (e.g., when heat must penetrate particles such as chopped vegetables so that
the interior of the particles receives a complete heat treatment);
• Depth of product on a conveyor belt;
• Container size (e.g., can dimensions when products are heated in containers); and
• Product formulation.
When a study is conducted to establish a valid heat treatment, that study could identify other
process parameters that affect the rate of heating of the product.
3
When an End-Point Internal Product Temperature (EPIPT) has been determined by a study, there is no
time associated with the heat treatment.

6.7 Develop a Strategy for Preventive Control Management

Components
With few exceptions, part 117 specifies that preventive controls are subject to the following
preventive control management components as appropriate to ensure the effectiveness of the
preventive controls, taking into account the nature of the preventive control and its role in the
facility’s food safety system: (1) Monitoring; (2) corrective actions and corrections; and (3)
verification. (See 21 CFR 117.140.) In the remainder of this chapter, we discuss each of these
preventive control management components when the process control is a heat treatment. See
Sections 6.12 through 6.16 for examples that provide more detail about how to apply each of
these preventive control management components to specific types of heat treatments.
6.8 Establish and Implement Monitoring Procedures

Part 117 requires that, as appropriate to the nature of the preventive control and its role in your
food safety system, you establish and implement written procedures, including the frequency
with which they are to be performed, for monitoring the preventive control. You must monitor the
preventive controls with adequate frequency to provide assurance that they are consistently
performed. (See 21 CFR 117.145.)
6.8.1 What to Monitor
Heat treatments designed to significantly minimize pathogens play a key role in your food safety
system. When a heat treatment is your preventive control and you have established critical
factors for the heat treatment (e.g., as identified by a scientific study or provided by an expert in
thermal processing, such as a process authority), you would monitor those critical factors.
Exceptions to such monitoring include heat treatments that are designed such that a process
parameter is automatically controlled, e.g., when a bar is placed at a specified height above a
conveyor belt to ensure that the bed depth of product being heat treated cannot exceed the
depth determined to be the critical limit for the depth of product.
6.8.2 How to Monitor
6.8.2.1 How to monitor batch heating equipment
For most temperature determinations in batch heating equipment, you should use a continuous
temperature-recording device (e.g., a recording thermometer). You should install the device
where it measures the coldest temperature of the cooking equipment (the cold spot determined
by a study). In some instances (e.g., to determine the IT prior to heating or to determine the
EPIPT), you could use a temperature-indicating device (e.g., a thermometer). Where cooking is
performed at the boiling point, you could visually observe minutes at a boil.
For the heating time of a batch process, you should record the times of the start and the end of
the cooking or baking cycle and calculate the heating time from this information. To help you do
so, you could set timers to give an audible or visible indication that the cooking or baking time
has been completed.

For most heat treatments, you should monitor both temperature and time. However, when an
EPIPT has been scientifically established, you could monitor only the finished product
temperature, because there is no time associated with the heat treatment.
For other process parameters, use appropriate equipment to monitor the parameter, e.g., scales
when you establish a critical limit for a weight; rulers or calipers when you establish a critical
limit for size.
6.8.2.2 How to monitor continuous heating equipment
For monitoring temperature in continuous heating equipment, you should use a continuous
temperature-recording device (e.g., a recording thermometer). You should install the device
where it measures the coldest temperature of the cooking equipment (the cold spot determined
by a study). For larger heating chambers such as continuous baking or roasting ovens, you
should install temperature recording devices in multiple locations, e.g., the top, middle, and
bottom baking areas of the oven. For continuous monitoring of the temperature of continuous
flow heated liquids, you could use a resistance temperature detector (RTD) placed in line.
For monitoring time (e.g., cooking or baking times) in continuous heating equipment, you could
use a stopwatch or tachometer to monitor the speed of the belt drive wheel, or use a stopwatch
to monitor the time it takes for a test unit or a belt mark to pass through the equipment. In other
systems, you could determine time by the flow rate of a fluid product pumped through a
continuous heating system. (In simple terms, the heating time is determined by the speed with
which a food flows through the heating system. Determining the appropriate flow rate can be
complicated – we recommend you use an expert in thermal processing to establish processes
for such continuous heating systems.) To achieve a process-specific flow rate, you could
calibrate the pump to a set RPM, mark a set point on the pump, and visually observe the pump
setting (i.e., speed measured in RPM). Some systems provide a mechanism whereby you could
lock the pump to prevent a change in the pump speed that would affect the product flow rate.
For other process parameters, you should use appropriate equipment to monitor the factor, e.g.,
scales when you establish a critical limit for a weight; rulers or calipers when you establish a
critical limit for size.
6.8.3 How Often to Monitor (Frequency of Monitoring)
6.8.3.1 How often to monitor batch heating equipment
If you use a continuous temperature-recording device (e.g., a recording thermometer) for

monitoring, you should do a visual check of the recorded data at least once per batch. If you
establish an EPIPT, you should monitor the EPIPT for each batch.
For the heating time of a batch process, you should monitor the recorded start and end times for
each batch unless you are using an EPIPT. (When using an EPIPT, the frequency of checking
temperature is often designed to minimize exposure to heat once the EPIPT is reached, and it is
product quality, rather than product safety, that generally would be negatively impacted.)
You should monitor other process parameters with sufficient frequency to achieve control.

6.8.3.2 How often to monitor continuous heating equipment
If you use a continuous temperature-recording device (e.g., a recording thermometer) for

monitoring, you should do a visual check of the recorded data at least once per day.
For the heating time of a continuous process, you should monitor the automated timers at least
once per day or pump speed setting at least twice per shift, and whenever you make any
changes in the automated timer or pump speed setting.
You should monitor other process parameters with sufficient frequency to achieve control.
6.8.4 Who performs the monitoring
When a person (rather than a machine) is assigned to perform monitoring, that person must
have the education, training, or experience (or a combination of these) necessary to perform the
individual’s assigned duties. (See 21 CFR 117.4(b)(1).)
Examples of who performs the monitoring, or devices that perform monitoring, include:
• A continuous monitoring thermometer measures the product IT or the oven temperature;
• The person who puts ingredients together before they are taken to the line determines the
weight of ingredients critical to the formulation of the product or determines that particle size
is within specifications;
• The line operator (e.g., kettle cook, bakers), Quality Control (QC) personnel, or any other
person who has an understanding of the nature of the preventive controls;
o Visually checks data generated by a continuous monitoring device to ensure that the
critical limits have consistently been met 4;
o Monitors the temperature for manual (non-automated or non-continuous) devices;

and
o Performs other monitoring activities that occur on the processing line.

6.9 Establish and Implement Corrective Action Procedures
Part 117 requires that, as appropriate to the nature of the hazard and the nature of the
preventive control, you must establish and implement written corrective action procedures that
must be taken if preventive controls are not properly implemented, including procedures to
address, as appropriate: (1) The presence of a pathogen or appropriate indicator organism in a
ready-to-eat product detected as a result of product testing; and (2) The presence of an
environmental pathogen or appropriate indicator organism detected through environmental
monitoring. The corrective action procedures must describe the steps to be taken to ensure that:
(1) Appropriate action is taken to identify and correct a problem that has occurred with
implementation of a preventive control; (2) Appropriate action is taken, when necessary, to
reduce the likelihood that the problem will recur; (3) All affected food is evaluated for safety; and
4
This is sometimes considered a verification activity.

(4) All affected food is prevented from entering into commerce, if you cannot ensure that the
affected food is not adulterated or misbranded. (See 21 CFR 117.150(a).)
When your preventive control is a heat treatment, your corrective action procedures would
describe the steps you will take when the heat treatment does not achieve the process-specified
temperature or time (as well as any other critical limits established for the heat treatment).
Examples of steps identified in corrective action procedures applicable to a heat treatment
include:
• Continue heating a product that has not reached the specified temperature after the
specified number of minutes;
• Extend the length of the heat cycle to compensate for a temperature drop (e.g., by
continuing to heat the product for a longer time; by slowing the belt speed or flow rate to
increase time of exposure to heat), using an alternate process developed by a process
authority;
• Process at a higher temperature or longer time to compensate for a low IT, using an
alternate process developed by a process authority;
• Reprocess the product (deliver the full process as if no heating had already occurred);
• Chill and hold the product for an evaluation of the adequacy of the heat treatment that has
been delivered, and stipulate the disposition of the product if the product has not received
an adequate process (e.g., destroy the product, divert it to a non-food use, or reheat it);
• Divert the product to a use in which the critical limits for the parameter are not applicable
(e.g., an RTE product may become a not-RTE product or may become an ingredient for
further processing by you or another manufacturer/processor);
• Divert the product to animal food (usually for animals other than pets); 5 and
• Destroy the product.

Although part 117 establishes requirements applicable to your corrective action procedures, it
neither establishes requirements for other procedures, such as for adjustments, you might
establish in your plant nor precludes you from establishing such procedures. Likewise, part 117
neither establishes requirements applicable to any assessment that you do for food quality if a
process parameter deviates from an operating limit but does not deviate from a critical limit
(e.g., if you have a procedure to assess food quality if the baking temperature for cookies is
more than 5-10 degrees above the temperature set as a critical limit).
5
FDA is developing guidance on the use of human food by-products in animal food, including diversion of
human food products to animal food use. In 2016, FDA issued for public comment a draft guidance for
industry entitled “Human Food By-Products For Use As Animal Food” (FDA, 2016 and 81 FR 58521,
August 25, 2016). In determining whether it is appropriate to divert a food product to animal food use, we
recommend that you consult the final guidance on this subject when it becomes available.

6.10 Determine Verification Procedures

Part 117 requires that verification activities include, as appropriate to the nature of the
preventive control and its role in your food safety system: (1) Validation; (2) Verification that
monitoring is being conducted; (3) Verification that appropriate decisions about corrective
actions are being made; (4) Verification of implementation and effectiveness; and (5) reanalysis.
(See 21 CFR 117.155.) For a discussion of validating a heat treatment, see section 6.6 of this
chapter.
Part 117 also requires that you verify that the preventive controls are consistently implemented
and are effectively and significantly minimizing or preventing the hazards. To do so you must
conduct activities that include the following, as appropriate to the facility, the food, and the
nature of the preventive control and its role in the facility’s food safety system:
• Calibration of process monitoring instruments and verification instruments (or checking them
for accuracy) (21 CFR 117.165(a)(1));
• Product testing, for a pathogen (or appropriate indicator organism) or other hazard (21 CFR
117.165(a)(2));
• Environmental monitoring, for an environmental pathogen or for an appropriate indicator

organism, if contamination of a ready-to-eat food with an environmental pathogen is a
hazard requiring a preventive control, by collecting and testing environmental samples (21
CFR 117.165(a)(3)); and
• Review of certain records by (or under the oversight of) a PCQI, to ensure that the records
are complete, the activities reflected in the records occurred in accordance with the food
safety plan, the preventive controls are effective, and appropriate decisions were made
about corrective actions (21 CFR 117.165(a)(4)).
Part 117 also requires, as appropriate to the facility, the food, the nature of the preventive
control, and the role of the preventive control in the facility’s food safety system, that you
establish and implement written procedures for: (1) The method and frequency of calibrating
process monitoring instruments and verification instruments (or checking them for accuracy); (2)
Product testing; and (3) Environmental monitoring. (See 21 CFR 117.165(b).)
Examples of verification activities applicable to heat treatments include:
• Calibrating devices used for monitoring (and for verification), such as thermometers, RTDs,
timers, and scales, before use (or verifying their accuracy);
• Reviewing monitoring records (e.g., process logs) to confirm that the heat treatment was
performed at the proper temperature and for the appropriate amount of time (sometimes
also called “batch records review”);
• Performing measurements at the monitoring points independent of the routine monitoring

activity or observing line operators performing measurements;
• Verifying that appropriate decisions about corrective actions are being made when there are
process deviations from critical limits; and

• Conducting, when appropriate, product testing to confirm that the heat treatment has
adequately controlled bacterial pathogens that are relevant to the product.
This chapter does not discuss verification activities that are not directly related to heat
treatments. For example, this chapter does not discuss environmental monitoring for an
environmental pathogen as verification of sanitation controls. Likewise, this chapter does not
discuss corrective action procedures that could be associated with such verification activities,
such as product testing if the results of environmental monitoring for an environmental pathogen
are positive.
6.11 Establish and Maintain Records

Part 117 requires that you document the preventive control management components as
follows: (1) The monitoring of preventive controls in records that are subject to verification and
records review; (2) all corrective actions (and, when appropriate, corrections) in records that are
subject to verification and records review; and (3) all verification activities. (See 21 CFR
117.145(b)-(c), 117.150(d), and 117.155(b).)
Examples of what to document in records applicable to a heat treatment include:
• Monitoring activities of the process parameters that were established by a scientific study or
provided by a process authority;
• Corrective actions that you take when a heat treatment does not achieve the process-
specified temperature or time or when other critical limits are not met;
• Verification activities for implementation of the heat treatment such as:
o Calibration records for monitoring/measuring devices, and a review of the calibration

records;
o Review of process records (e.g., logs of IT, process temperatures, process times,
temperature charts);
o Review of any corrective actions taken as a result of a deviation from any of the
critical limits for the heat treatment; and
o Any other verification activities conducted, including any product testing used to
verify the adequacy of the heat treatment.
6.11.1 Records of Monitoring Activities
6.11.1.1 Records of monitoring activities for batch heating equipment
Examples of what to document in records of monitoring activities for batch heating equipment
include:
• Records of temperature and time, if you monitor both temperature and time;

• Records of the finished product temperature, if you establish an EPIPT (where there is no
time associated with the heat treatment);
• Records applicable to a continuous temperature recording device (e.g., a recording

thermometer), if you use one, such as:
o Recorder charts;
o When applicable, records documenting the visual checks of recorded data (e.g., a
hand written note on the recorder charts); and
o When applicable, records noting the start time and end time of the cooking or baking
periods;
• Records of monitoring of critical limits for other process parameters for your heat treatment
(e.g., weight or size).
You should keep these records in a “process log” for each production line, with information to
identify the plant or facility, dates (and when appropriate, the time) of monitoring, the signature
or initials of the person performing the monitoring (e.g., operator initials) and evidence of review
(i.e., the initials of the PCQI or designee).
6.11.1.2 Records of monitoring activities for continuous heating

equipment
Examples of what to document in records of monitoring activities for batch heating equipment
include:
• Records of any continuous temperature-recording device (e.g., a recording thermometer)

(When applicable, this would include records of each temperature-recording device installed
for each heating area in an oven with multiple temperature recording devices);
• Records of the time interval (in minutes) determined by a stopwatch and automated timer if
you use a stopwatch to monitor the time interval of an automated timer;
• Records of the pump speed (RPM) in the line process log every time you do a visual check
(if you determine time by the flow rate of a fluid product through a continuous heating
system and you visually monitor the pump setting); and
• Records of monitoring of critical limits for other process parameters for your heat treatment
(e.g., weights, size, thickness, etc.).
You should keep these records in a “process log” for each production line (or other forms of
documentation), with information to identify the plant or facility, dates (and when appropriate,
the time) of monitoring, the signature or initials of the person performing the monitoring (e.g.,
operator initials) and evidence of review (i.e., the initials of the PCQI or designee).
6.11.2 Records of Corrective Actions
Examples of what to document in records of corrective actions that you take when a heat
treatment is not properly implemented include records of corrective actions if your heat

treatment does not achieve the process-specified temperature or time established for your food
product, or any other critical limit you established for a process parameter for your heat
treatment.
6.11.3 Record of On-going Verification Activities
Examples of what to document in records of verification activities applicable to your heat

treatment include:
• Records (e.g., a log) documenting:
o The calibration of measuring devices (such as thermometers, RTDs, timers, and

scales);
o Who conducted the calibration;
o The method of calibration (which could be a Standard Operating Procedure);
o The date of calibration;
o Whether the device was in or out of specification; and
o Adjustments needed and performed;
• A record of the process logs review, by whom, and date of review;
• A report of reviewing corrective actions taken when there are process deviations, including
initials of the reviewer and the date of review; and
• A report of product testing (when determined appropriate) to verify that the heat treatment
has adequately controlled bacterial pathogens that are relevant to the product.
6.12 Example of Cookie Processor A’s Heat Treatment
6.12.1 Cookie Processor A’s Product, Hazard Analysis, and Batch Heat
Treatment
Cookie Processor A bakes cookies in batches on trays in convection ovens and packages them
by wrapping the cookies by twos in plastic. Cookie dough is made and deposited on trays in the
dough preparation room and racks of trays are moved to the baking room. Trays are removed
from the convection oven after baking, placed on clean racks, and moved to the packaging
room.
Cookie Processor A’s PCQI identified Salmonella as the hazard associated with the ingredients
(e.g., flour, eggs, peanut butter) used in making the cookies and determined that baking the
cookies was the preventive control that would address this hazard. However, to ensure the
adequacy of the baking process used as the preventive control in Cookie Processor A’s food
safety plan, Cookie Processor A’s PCQI needed to determine the appropriate processing
parameters, including any critical limits, that would provide adequate lethality for Salmonella
during a batch baking process in a convection oven. To do so, Cookie Processor A’s PCQI

consulted with a local university’s extension specialist in process design and validation of heat
treatments. Cookie Processor A’s PCQI asked the extension specialist to:
• Identify processing parameters that need critical limits for food safety; and
• Determine critical limits for those processing parameters.

6.12.2 Cookie Processor A’s Process Design and Validation
The extension specialist provided Cookie Processor A’s PCQI with a published study by Lathrop
et al., (2014) on survival of Salmonella during baking of peanut butter cookies. The published
study showed that peanut butter cookie dough made with peanut butter inoculated with high
levels of Salmonella (28 g portions of dough, water activity (a w ) of 0.82) and baked at 350°F
(177°C) for 15 minutes had no detectable Salmonella. Cookies baked for 13 minutes showed at
least a 5.2 log reduction in Salmonella. In that published study, the cookie temperature at the
end of 15 minutes was 229°F (109°C).
The extension specialist identified the following processing parameters that need critical limits
for food safety in Cookie Processor A’s heat treatment:
• Convection oven temperature (°F) to achieve specified minimum product temperature;
• Baking time in oven (minutes); and
• Dough delivery process resulting in the specified cookie portion weight (g).
To determine critical limits for those processing parameters when baking cookies in batches in
Cookie Processor A’s convection oven, and demonstrate that these critical limits can be
achieved in Cookie Processor A’s convection oven, the extension specialist conducted in-house
heat distribution tests on Cookie Processor A’s ovens and heat penetration tests on the cookies
using a fully loaded oven (each oven rack contained a full tray of cookies, deposited in 28 g
portions using a dough depositor). These in-house heat distribution and heat penetration tests
showed that all parts of each of Cookie Processor A’s oven were at or above 350°F (177°C)
when the ovens were set at that temperature and that the coldest cookie temperature was
above 230°F (110°C) after 13 minutes. In addition, a w determinations by an outside laboratory
on the cookie dough were equal to or greater than 0.82 using Cookie Processor A’s recipes.
Based on the in-house tests, and the published study by Lathrop et al. (Lathrop, 2014), the
extension specialist determined that the baking process of 350°F or greater for a minimum of 13
minutes (operating limit of 15 minutes) would provide adequate lethality for Salmonella for the
recipe tested, so long as cookie dough portions did not exceed 28 g. The extension specialist
informed Cookie Processor A that any subsequent change to the cookie recipe should be
evaluated to determine whether it would impact these determinations.
Based on the information obtained from the extension specialist, Cookie Processor A’s PCQI
established three critical limits for the production of the cookies to ensure adequate lethality:
• The critical limit (minimum value) for the baking temperature is 350°F (177°C);
• The critical limit (minimum value) for the baking time is 13 minutes; and

• The critical limit (maximum value) for the cookie dough portion size is 28 g.
Based on the information obtained from the extension specialist, Cookie Processor A’s PCQI
also established three operating limits for the production of the cookies:
• The operating limit for the baking temperature is 352°F (178°C);
• The operating limit for the baking time is 15 minutes; and
• The operating limit for cookie dough portion size is 27 g.

Cookie Processor A calibrated a dough depositor to deliver 27 g portions of dough onto cookie
sheets and produces cookies according to the established operating limits by baking 27 g
portions of cookie dough in 352°F (178°C) ovens for 15 minutes.
6.12.3 Cookie Processor A’s Monitoring
6.12.3.1 What Cookie Processor A monitors
Cookie Processor A monitors oven temperature, baking time, the dough depositor setting, and
the weight of dough deposited.
6.12.3.2 How Cookie Processor A monitors
Cookie Processor A:
• Uses a recording thermometer with recording chart to continuously monitor oven

temperature;
• Manually checks the temperature recorder chart and marks it with the batch number;
records time when the cookies enter the oven and the oven temperature, calculates and
records the time cookies should be removed, records the time the cookies are removed from
the oven on baking record sheets, and calculates and records the elapsed baking time;
• Checks the set point of the dough depositor that controls the weight of dough portions
deposited; and
• Periodically checks the weight of a few individual raw cookie dough portions using a
calibrated scale located near the depositor.
6.12.3.3 How often Cookie Processor A monitors
Cookie Processor A:
• Checks the oven temperature (continuously recorded) before putting each batch of cookies
into the oven to ensure it is reading at the minimum specified set point (i.e., at least 350°F
(177°C);
• Records the start and end baking times of each batch of cookies;
• Checks the set point of the dough depositor every 2 hours; and

• Checks the weight of a few deposited cookie portions twice per shift.
6.12.3.4 Who monitors critical factors for Cookie Processor A’s heat
treatment
At Cookie Processor A:
• The baker checks the oven temperature before putting each batch of cookies into the oven
and notes and records the start and end times of the baking cycle for each batch of cookies.
• A QC technician checks the set point of the dough depositor and the weight of the raw
cookie dough portions.
6.12.4 Cookie Processor A’s Corrective Action Procedures
Cookie Processor A’s corrective action procedures specify that:
• If cookies were baked in an oven that was not at least 350°F (177°C), the cookies will be
diverted to animal food (non-pet food) and employees will be retrained on the importance of
ensuring that the oven temperature has reached the set point;
• If the bake time calculated from the start and end times is less than the critical limit of 13
minutes, the cookies will be diverted to animal food (non-pet food) and the PCQI will
determine why the bake time was not met to prevent this from happening in the future;
• If the dough depositor is depositing a dough weight that exceeds the critical limit of 28 g:
o The cookies will be diverted to animal food (non-pet food);
o The PCQI will take steps to determine (if possible) what caused the depositor to
deliver an incorrect weight so that actions can be taken to prevent such occurrences;
and
o The dough depositor will be adjusted to deliver the correct weight.

Cookie Processor A also has adjustment procedures that provide for:
• An assessment of product quality if the bake time is less than the operating limit of 15
minutes but more than the critical limit of 13 minutes, with an investigation of why the bake
time was less than the operating limit to prevent this from happening in the future; and
• An adjustment of the dough depositor if the cookie dough weight exceeds the operating limit
of 27 g but does not exceed the critical limit of 28 g.
6.12.5 Cookie Processor A’s Verification Procedures
At Cookie Processor A:
• The following are calibrated at least annually:
o The recording thermometer that monitors oven temperature;

o The dough depositor; and
o The scales used to check the weights of cookie portions.
• Within a week of their creation, the PCQI:
o Reviews calibration logs (records of calibrating monitoring equipment) to make sure

that the devices are properly calibrated using the appropriate methods and at the
appropriate frequencies as specified in the calibration procedures;
o Checks the baking record sheets and the temperature recording chart for monitoring
records for temperature and time (i.e., time when the cookies enter the oven,
calculated time for removal, and time the cookies were removed from the oven) to
verify that the oven temperature was at least at the critical limit of 350°F (177°C) and
that the cookies were baked for 15 minutes;
o Checks the dough weight logs for the cookie dough portion weighing records to verify
that none of the dough portions exceeded 28 g in weight; and
o Initials and dates each of the records reviewed in the place marked “Verified by.”
• The PCQI reviews the corrective action records within a week of a deviation, and initials and
dates each of the records reviewed in the place marked “Verified by.”
6.12.6 Cookie Processor A’s Monitoring Records
Cookie Processor A keeps:
• The recording charts of the recording thermometer as a record of monitoring the oven
temperature;
• The baking record sheets as a record of monitoring the baking times; and
• A dough weight log as a record of the dough depositor setting and the dough portioning
weight.
6.12.7 Cookie Processor A’s Records of Corrective Actions
Cookie Processor A keeps records:
• Documenting that cookies placed in an oven that was not at least 350°F (177°C) or cookies
baked for less than 13 minutes were diverted to animal food (non-pet food);
• Of any investigations of the cause of any deviations;
• Of all changes made to correct a problem and to prevent reoccurrence of deviations; and
• Documenting any retraining.

Cookie Processor A also keeps records of adjustments, because such records could be useful
in identifying ongoing production problems that could demonstrate a need to review and change
applicable production procedures.
6.12.8 Cookie Processor A’s Verification Records
Cookie Processor A maintains records, initialed and dated by the PCQI, of the PCQI’s review of:
• The calibration logs;
• The monitoring records (such as the oven temperature recording chart, records containing
the bake time for cookies, and dough weight log); and
• The corrective action log.

6.12.9 Summary Process Control Table for Cookie Processor A
Appendix 6-A summarizes the above information for Cookie Processor A on the FSPCA’s
Process Control Form (Form 2-C (Modified) from Appendix 2).
6.13 Example of Cookie Processor B’s Heat Treatment

6.13.1 Cookie Processor B’s Product, Hazard Analysis, and Continuous
Heat Treatment
Cookie Processor B bakes cookies in a continuous band oven and packages them in boxes of
24 cookies. Cookie dough is made in the dough preparation room and placed in totes that are
taken to the dough hopper of an extruder at the front of the continuous band oven in the baking
room. The dough extruder automatically deposits the dough across the oven band (solid
conveyor), where the cookie dough is conveyed through the heating tunnel (oven). After baking,
the band drops the cookies onto a conveyor that cools them and moves them to the packaging
room.
Cookie Processor B’s PCQI identified Salmonella as the hazard associated with the ingredients
(e.g., flour, eggs, peanut butter) used in making cookies and determined that baking the cookies
was the preventive control that would address this hazard. However, to ensure the adequacy of
the baking process used as the preventive control in Cookie Processor B’s food safety plan,
Cookie Processor B’s PCQI needed to determine the appropriate processing parameters,
including any critical limits, that would provide adequate lethality for Salmonella for a continuous
baking process using a band oven. To do so, Cookie Processor B’s PCQI consulted with a
process design specialist at a food research consulting firm regarding the process design and
validation of the heat treatment. Cookie Processor B’s PCQI asked the process design
specialist to:
• Identify processing parameters that need critical limits for food safety; and
• Determine critical limits for those processing parameters.

6.13.2 Cookie Processor B’s Process Design and Validation
The process design specialist provided Cookie Processor B’s PCQI with a published study by
Lathrop, et al., (2014) on survival of Salmonella during baking of peanut butter cookies. The
published study showed that peanut butter cookie dough made with peanut butter inoculated
with high levels of Salmonella (28 g portions of dough, a w of 0.82) and baked at 350oF (177°C)
for 15 minutes had no detectable Salmonella. Cookies baked for 13 minutes showed at least a
5.2 log reduction in Salmonella. In that published study, the cookie temperature at the end of 15
minutes was 229°F (109°C).
The process design specialist identified the following processing parameters that need critical
limits for food safety in Cookie Processor B’s heat treatment:
• Band oven temperature (oF) to achieve specified minimum product temperature;
• Baking time in oven (minutes) controlled by the speed of the conveyor belt through the
continuous band oven; and
• Dough extrusion process resulting in the specified cookie portion weight (g).
To determine the critical limits for these processing parameters for baking cookies in Cookie
Processor B’s continuous band oven, and demonstrate that these critical limits can be achieved
in Cookie Processor B’s continuous band oven, the process design specialist conducted in-
house oven temperature mapping (heat distribution) studies on the continuous band oven and
heat penetration studies on the cookies. The results of these studies, and the recommendations
of the process design specialist after conducting these studies, were as follows:
• Results of the in-house oven temperature mapping (heat distribution) study confirmed that
the continuous band oven achieved and maintained the desired minimum temperature of
350oF (177°C) at the coldest spot in the oven at a set point temperature of 350oF (177°C) (or
higher).
• The in-house heat penetration studies for the baking process used thermocouples with the
sensors placed in the geometric center of the cookie dough portions (in 16 cookie dough
portions deposited in 28 g portions at different points across the width of the oven band, in
each of 3 trials conducted over 3 days). The speed of the conveyor belt in the band oven
was set to result in a residence time of cookies in the oven of 13.0 minutes (as a worst case,
or conservative, speed setting). Results from the heat penetration study demonstrated that
all 28 g cookie dough portions achieved a minimum internal temperature of 231oF at the end
of a 13.0-minute baking time. 6
• Because the operating limit for Cookie Processor B’s baking process is 15 minutes, the
process design specialist also established the tachometer RPM reading that would result in
a residence time of cookies in the continuous band oven of 15-minutes.
6
Note that these data demonstrate that if a deviation results in a baking time less than 15 minutes but 13
or more minutes, the cookies receive more than a 5-log reduction for Salmonella (they reach a
o
temperature of 231 F) and are safe for consumption.

• To ensure that the nominal weight of each raw cookie dough portion does not exceed the
established process critical parameter weight of 28 g, the process design specialist specified
that the cookie dough extruder should be calibrated to deliver 27 g raw cookie dough
portions as an operating limit, and that the delivery should be verified by performing weight
measurements at startup of the dough extruder each day.
Based on the information derived from this in-house validation study, in combination with the
study published by Lathrop et al. (Lathrop, 2014), the process design specialist determined that
Cookie Processor B’s band oven would provide adequate lethality for Salmonella for the specific
recipe tested, so long as the weight of the raw cookie dough portion did not exceed 28 g and the
cookies were baked for at least 13 minutes at a 350°F (177°C) oven setting.
Based on the information obtained from the process design specialist, Cookie Processor B’s
PCQI, established three critical limits for the production of the cookies to ensure adequate
lethality:
• The critical limit (minimum value) for the baking temperature is 350°F (177°C);
• The critical limit (minimum value) for the baking time is 13 minutes; and
• The critical limit (maximum value) for the cookie dough portion size is 28 g.
Based on the information obtained from the process design specialist, Cookie Processor B’s
PCQI also established three operating limits for the production of the cookies:
• The operating limit for the baking temperature is 352°F (178°C);
• The operating limit for the baking time is 15 minutes; and
• The operating limit for cookie dough portion size is 27 g.

Cookie Processor B calibrated a dough depositor to deliver 27 g portions of dough onto cookie
sheets and produces cookies according to the established operating limits by baking 27 g
portions of cookie dough in a 352°F (178°C) band oven for 15 minutes.
6.13.3 Cookie Processor B’s Monitoring
6.13.3.1 What Cookie Processor B monitors
Cookie Processor B monitors oven temperature (at the identified cold spot), belt speed as
indicated by tachometer RPM (for control of baking time), the dough depositor setting, and the
weight of dough deposited.
6.13.3.2 How Cookie Processor B monitors
Cookie Processor B:
• Uses a recording thermometer with recording chart to continuously monitor oven

temperature at the cold spot; conducts a visual check of the chart and records the check in
the operator’s baking log;

• Uses an automated tachometer with recorder chart to monitor the speed of the conveyor
belt through the band oven (which is tied to the baking time) and conducts a visual check of
the tachometer RPM;
• Checks the set point of the dough depositor that controls the weight of the raw cookie dough
portions deposited; and
• Periodically checks the weight of a few individual cookie dough portions using a calibrated
scale located near the depositor.
6.13.3.3 How often Cookie Processor B monitors
Cookie Processor B:
• Checks the oven continuous temperature-recording device every hour to ensure it is reading
at a minimum the specified set point (i.e., at least 350oF) (177°C);
• Monitors the automated tachometer recording (RPM) at start up and twice per shift;
• Checks the set point of the dough depositor at start up and every 2 hours; and
• Checks the weight of deposited cookie portions at least twice per shift.
6.13.3.4 Who monitors critical factors for Cookie Processor B’s heat
treatment
At Cookie Processor B:
• The baker checks the oven temperatures and monitors the automated tachometer
recording; and
• A dough preparer checks the set point of the dough depositor and the weight of the raw
cookie dough portions.
6.13.4 Cookie Processor B’s Corrective Action Procedures
Cookie Processor B’s corrective action procedures specify that:
• If cookies were baked in an oven that was not at least 350°F (177°C):
o The cookies will be diverted to further processing (e.g., baking for cookie crumbles
ingredient production) or to animal food (non-pet food);
o Maintenance will determine the cause of the low temperature and fix the oven so the
temperature is reset to the operating limit of 352°F (178°C) before more cookies are
baked; and
o Employees will be retrained, if necessary, on the importance of ensuring that the

oven temperature has reached the set point before allowing the line to run.
• If the tachometer RPM recording indicates that the baking time is less than 13 minutes:

o The cookies will be put on QC hold. The PCQI will determine whether the product will
be diverted to further processing (e.g., baking) to make cookie crumbles as a baking
ingredient or to animal food (non-pet food); and
o The PCQI will conduct an investigation to determine why the bake time was not met
and will inform plant management of actions they need to take to prevent this from
happening in the future.
If the dough depositor is depositing a dough weight that exceeds the maximum 28 g:
o The PCQI will determine whether the product will be further processed into
alternative products or be diverted to animal food (non-pet food), and (if possible)
determine what caused the depositor to deliver an incorrect weight so that actions
can be taken to prevent such occurrences; and
o The dough depositor will be adjusted by maintenance or by the equipment

manufacturer to deliver the correct weight.
Cookie Processor B also has adjustment procedures that provide for:
• An assessment of product quality if the bake time is less than the operating limit of 15
minutes but more than the critical limit of 13 minutes, with an investigation of why the bake
time was less than the operating limit to prevent this from happening in the future; and
• An adjustment of the dough depositor if the cookie dough weight exceeds the operating limit
of 27 g but does not exceed the critical limit of 28 g.
6.13.5 Cookie Processor B’s Verification Procedures
At Cookie Processor B:
• The following are calibrated at least annually:
o Recording thermometer and chart that monitors oven temperature;
o The automated tachometer and recorder chart that monitors belt speed (baking
time);
o The dough depositor; and
o The scales used to check the weights of cookie portions.
• A QC technician checks the recorder charts twice per shift to confirm that the oven is
maintained at the specified baking temperature of at least 350°F (177°C) and the
tachometer RPM resulted in baking times of 15 minutes; the QC technician writes the date
and time on the recorder charts, and initials the recorder charts.
• A QC technician checks the raw cookie dough portion weighing records (dough weight logs)
twice per shift to verify that none of the dough portions exceeded 28 g in weight; the QC
technician writes the date and time on the dough weight log and initials the dough weight
log.

• The PCQI collects the oven recording thermometer charts, operator’s baking log,
tachometer charts, and dough weight sheets daily for subsequent review within 7 days of
their creation.
• Within 7 days of their creation the PCQI reviews the following records, dates and initials the
records or a verification cover sheet to document that review, and then files the records:
o The calibration logs to make sure that the devices are properly calibrated using the
appropriate methods and at the appropriate frequencies as specified in the
calibration procedures; and
o The oven recording thermometer charts, operator’s baking log, tachometer charts,
and dough weight sheets for accuracy and to ensure the parameter values were met.
• The PCQI reviews corrective action records at the end of each week, initials and dates them
to document that review, and files them chronologically (based on the date of the deviation)
in a folder with other corrective actions.
6.13.6 Cookie Processor B’s Monitoring Records
Cookie Processor B keeps:
• The recording charts of the recording thermometer and the operator’s baking log as a record
of monitoring temperature in the oven;
• The recording charts of the recording tachometer with the visual observation noted on the
chart as a record of monitoring the RPMs that achieve the baking time; and
• A dough weight record sheet as a record of monitoring the check of the dough depositor
setting and the check of the weight of the raw dough portions deposited.
6.13.7 Cookie Processor B’s Records of Corrective Actions
Cookie Processor B keeps records:
• Of any lot of cookies diverted to further processing (e.g., baking for cookie crumbles) or to
animal food (non-pet food);
• Of any investigation of the cause of any deviations;

Cookie Processor B also keeps records of adjustments, because such records could be useful
in identifying ongoing production problems that could demonstrate a need to review and change
applicable production procedures.
6.13.8 Cookie Processor B’s Verification Records
Cookie Processor B maintains records initialed and dated by the PCQI, of the review of:

• Calibration logs;
• Oven recording thermometer charts;
• Operator’s baking log with the hourly checks of the temperature chart and the twice-per-shift
tachometer RPM reading;
• Tachometer charts;
• Dough weight logs; and
• Corrective action logs.

6.13.9 Summary Process Control Table for Cookie Processor B
Appendix 6-B summarizes the above information for Cookie Processor B on the FSPCA’s
6.14 Example of Soup Processor A’s Heat Treatment

6.14.1 Soup Processor A’s Product, Hazard Analysis, and Batch Heat
Treatment
Soup Processor A makes cooked, frozen RTE vegetable soups containing vegetable particles
as ingredients. Soup Processor A cooks the soups to a minimum of 180°F (82°C) using a batch
process in a 150 gallon steam-jacketed kettle, packages the soups in 8 ounce plastic bowls, and
freezes the bowls of soup.
Soup Processor A’s PCQI identified L. monocytogenes as the hazard associated with the RTE
vegetable soups and determined that cooking the soup using a batch process in a steam-
jacketed kettle maintained at a minimum of 180°F (82°C) was the preventive control to address
this hazard. Soup Processor A’s PCQI identified cooking time and vegetable particle size as
processing parameters that needed critical limits to provide adequate lethality for L.
monocytogenes during the batch kettle-cooking process. Soup Processor A’s PCQI used Table
3-D in Appendix 3 of this guidance to determine process times for a range of cooking
temperatures with L. monocytogenes as the target pathogen and arranged for food scientists at
Soup Processor A to conduct in-house studies that could be used to determine the critical limits
for vegetable particle size.
6.14.2 Soup Processor A’s Process Design and Validation
Using Table 3-D in Appendix 3 of this guidance, Soup Processor A’s PCQI determined that 0.05
minutes (3 seconds) at 180°F achieves an acceptable 6-log (i.e., 6 logarithm) reduction,
typically called a 6D (6 decimal reduction) process. (See Chapter 4 for further details.) Because
of the additional lethality during the heating time needed for the soup to reach 180°F (82°C),
and because more than 3 seconds would elapse before cooling from 180°F could begin, Soup
Processor A’s PCQI decided to use an EPIPT and cook the soups until the temperature reaches
180°F rather than to continuously monitor temperature during cooking.

Food scientists at Soup Processor A conducted in-house studies to determine the critical limit
for vegetable particle size. Based on those studies, Soup Processor A’s PCQI determined that
as long as vegetable particles in the soup did not exceed ½ inch (13 mm) square, the particles
would also be at 180°F when the liquid portion of the soup reached that temperature, provided
that the particles were stored refrigerated (i.e., at least 33°F) (0.6 °C) and not frozen. (Soup
Processor A’s SOPs specify that vegetable particles are stored refrigerated at a temperature of
33 - 40°F (0.6 - 4 °C).)
Soup Processor A established two critical limits for the production of the soup to ensure
adequate lethality:
• Minimum EPIPT of 180°F (82°C); and
• Maximum size of vegetable particles (½ inch (13 mm)).

Soup Processor A determined that a critical limit for the temperature of the particles in the soup
is not necessary as long as the production line follows the SOP to store the particles
refrigerated.
6.14.3 Soup Processor A’s Monitoring
6.14.3.1 What Soup Processor A monitors
Soup Processor A monitors the temperature of soup in the kettle and the size of any particles.
6.14.3.2 How Soup Processor A monitors
Soup Processor A:
• Uses a thermometer to periodically determine the temperature of soup in the top inch (2.5
cm) of the kettle (where it is coldest) until the EPIPT is reached and records the measured
temperature in a cook log; and
• Collects a statistically-based sample of vegetable particles (e.g., diced carrots, potatoes,

onions), uses digital calipers to ensure they do not exceed ½ inch (13 mm) in any direction,
and records the measured size of the vegetable particles in a log.
6.14.3.3 How often Soup Processor A monitors
Soup Processor A:
• Begins measuring the temperature of the soup after approximately 30 minutes of heating;
• Measures the temperature approximately every 10 minutes after the temperature of the
soup reaches approximately 170°F (77°C), until the temperature reaches 180°F (82°C); and
• Checks the particle size of every third lot of vegetable particles used as an ingredient in
production upon receipt of the ingredient.

6.14.3.4 Who monitors critical factors for Soup Processor A’s heat
treatment
At Soup Processor A:
• The kettle cook operator measures the temperature of the soup during processing; and
• A formulation control operator checks the vegetable particle size.

6.14.4 Soup Processor A’s Corrective Action Procedures
Soup Processor A’s corrective action procedures specify that:
• If it is determined that the EPIPT did not reach 180°F (82°C) while the soup is being
packaged but has not been frozen, packaging will be stopped and the remaining soup,
including soup returned to the kettle from packages that have been filled but not frozen, will
be reprocessed until the EPIPT reaches 180°F. Any packages that have already been
frozen will be destroyed;
• If it is determined that the EPIPT did not reach 180°F (82°C) after the soup is packaged and
frozen, the PCQI will assess the safety of the product to determine appropriate disposition. If
the PCQI determines that the process delivered was inadequate to ensure product safety,
the soup will be diverted to animal food (non-pet food) or destroyed;
• When soup is packaged before the EPIPT reaches 180°F (82°C) due to operator error, the
kettle cook operator will be retrained, as appropriate, in proper procedures for, and the
importance of, ensuring the product is not packaged before the EPIPT reaches 180°F; and
• If it is determined that the mean plus 2.5 standard deviation of the vegetable particle sizes
exceeds ½ inch (13 mm) the lot of vegetables is rejected. The unopened packages will be
returned to the supplier, and the PCQI will discuss the issue with the supplier so the supplier
can investigate the root cause for incorrect particle size. The formulation control operator will
check the vegetable particle size of every lot for the next 15 lots to verify particle sizes meet
specification. If all 15 lots meet specification, the formulation control operator will return to
monitoring every third lot.
6.14.5 Soup Processor A’s Verification Procedures
At Soup Processor A:
• The thermometers used to measure soup temperature are:
o Checked for accuracy at least daily by the QC technician; and
o Calibrated by the QC technician against a NIST-calibrated reference thermometer at

least annually or whenever an accuracy check shows that recalibration is needed.
The PCQI reviews, dates, and initials the calibration log within a week of the
calibration.

• The accuracy of digital calipers is checked by the QC technician before use by verifying that
when fully closed the caliper reads zero (if not, the caliper is sent for repair or replaced);
• When calibration and accuracy checks of the thermometers and calipers are performed, the
date and time are recorded in a log;
• On a weekly basis, the PCQI:
o Reviews monitoring records (cook logs) to confirm that all soups were cooked to a
minimum temperature of 180°F (82°C) as indicated by the records of the EPIPT
readings;
o Reviews the accuracy checks of the thermometers and the digital calipers;
o Reviews the particle measurement logs to verify that vegetable particles used in the
soup did not exceed ½ inch (13 mm) in size; and
• Before a lot of soup is released, the PCQI reviews corrective action records as part of a pre-
shipment review to ensure all lot records are in order. (Because Soup Processor A uses an
EPIPT and employees have been with Soup Processor A for many years, Soup Processor A
experiences few deviations, so the PCQI has determined and documented that this
timeframe, rather than 7 working days, is reasonable.)
6.14.6 Soup Processor A’s Monitoring Records
Soup Processor A keeps:
• A production line cook log as a record of monitoring the temperatures; and
• A log of the size of vegetable particles checked upon receipt for the lots of raw materials
used in production.
6.14.7 Soup Processor A’s Records of Corrective Actions
Soup Processor A keeps records:
• Of the reprocessing of product (e.g., recooked to 180oF) (82°C) if a soup was filled before
the process-specified EPIPT was achieved and had not been frozen;
• Of any product safety assessment by the PCQI (e.g., soup that had been filled before
reaching the EPIPT but that had been frozen) and the disposition of such product;
• Of any investigations of the cause of any deviations (including investigation into the
supplier’s procedures for control of particle size);

6.14.8 Soup Processor A’s Verification Records
Soup Processor A maintains records with the date and initials of the PCQI for the review of:
• The log of the accuracy checks and calibration of the thermometer;
• The cook log for monitoring the soup temperatures;
• The log of the accuracy checks of the digital calipers; and
• The log of vegetable particle size;
• Corrective action records.

6.14.9 Summary Process Control Table for Soup Processor A
Appendix 6-C summarizes the above information for Soup Processor A on the FSPCA’s
6.15 Example of Soup Processor B’s Heat Treatment

6.15.1 Soup Processor B’s Product, Hazard Analysis, and Continuous Heat
Treatment
Soup Processor B makes RTE clear broths and RTE creamed vegetable soups (with no
particles) that are cooked using a continuous process (in a continuous flow heat exchanger),
hot-filled into 5 gallon bags, and refrigerated. The ingredients include dehydrated vegetable
powders, pasteurized liquid fresh cream, spice blends, starch, and other thickeners.
Soup Processor B’s PCQI, a food scientist/food engineer who functions as the facility’s food
processing expert 7, identified Salmonella, L. monocytogenes, C. botulinum type A, C. botulinum
proteolytic type B, and C. botulinum non-proteolytic type B as hazards associated with the
soups. Soup Processor B’s PCQI determined that cooking the soups using a continuous
process (in a continuous flow heat exchanger) was a preventive control to address most of
these hazards. (Refrigeration will be needed to control C. botulinum type A and C. botulinum
proteolytic type B in the heat-treated soups.) In identifying the processing parameters and
determining the critical limits for these processing parameters, Soup Processor B’s PCQI/food
processing expert needed to evaluate which of the potential hazards would be the target
organism.
7
The individual who identifies critical limits, and establishes a heat treatment in a continuous flow system,
for a product such as Soup Processor B’s soup, should have specialized experience adequate to
evaluate processing parameters, establish appropriate minimum/maximum values (e.g., the residence
time in the hold tube based on flow characteristics of the product and the length and diameter of the hold
tube) and ensure the safety of an RTE product packaged in reduced oxygen packaging. When the
regulatory framework does not require that the individual be a “process authority,” individuals with a
variety of backgrounds (in this case, a food engineering background) could have such specialized
experience.

Because hot-filling into 5-gallon bags would result in reduced oxygen packaging, and because
the soups will be distributed refrigerated, Soup Processor B’s PCQI/food processing expert
determined that C. botulinum non-proteolytic type B is an appropriate target organism for the
soup heat treatment. 8
6.15.2 Soup Processor B’s Process Design and Validation
Using Table 3-E of Appendix 3 of this guidance, Soup Processor B’s PCQI/food processing
expert determined that a heat treatment that targeted C. botulinum non-proteolytic type B as the
most heat resistant pathogen would also address Salmonella and L. monocytogenes and that
hot-filling at 185°F (85°C) would minimize risk of recontamination after the heat treatment.
Based on an assessment and review of the scientific literature, Soup Processor B’s PCQI/ food
processing expert decided to use a process of 205°F (96°C) for 2.5 minutes (equivalent to a
minimum temperature of 194°F (90°C) for a minimum of 10 minutes) based on Table 3-E of in
Appendix 3 of this guidance. This time and temperature combination will deliver a 6D process
for the most heat resistant spores for strains of C. botulinum non-proteolytic type B.
Briefly, the procedure for the continuous heat and hot-fill process for clear broths and creamed
vegetable soups is as follows:
• Add the dry ingredients to the blend tank with the volume of water specified in the
formulation and mix at a high speed (> 2000 rpm) for 30 minutes to ensure all dry materials
are wetted and in solution (no clumps), and then blend in fresh cream that has been
refrigerated to 40oF - 45oF (4°C- 7°C);
• Pump the untreated soup from the blend tank to the pre-process agitated surge tank (which
is water jacketed to control the contents at the set process Initial Temperature (IT) (between
40oF and 45oF) (4°C- 7°C)) through in-line sieves to ensure no mix particles larger than 0.1
inch (2.5 mm) pass to the pre-process agitated surge tank;
• Pump the untreated soup via a metering pump (at a flow rate specified in gal/min) from the
pre-process agitated surge tank to the indirect continuous heat exchanger (scraped surface)
and then to the hold tube (which is sized to ensure the soup mix is held at the process
temperature for a minimum of 2.5 minutes);
• The heat-treated soup flows from the hold tube into an agitated hot-holding surge tank that
keeps the soup at > 185oF (85°C); the heat-treated soup is then pumped to the filling hopper
for the hot-fill process;
• Hot fill the heat-treated soup into 5-gallon pre-labeled bags and seal the bags; and
• Cool the sealed, hot-filled soup bags, pack them in a carton, and store the carton under
refrigeration prior to distribution.
8
Annex 6 of the Food Code (FDA, 2013) is a source of additional information about selection of the target
organism.

Soup Processor B’s PCQI/ food processing expert determined that five process parameters are
critical to the safety of the food product and established critical limits for each of these process
parameters:
• IT of product held in the pre-process agitated surge tank (between 40oF and 45°F) (4°C-
7°C);
• Metering pump speed (RPM) to deliver process-specified flow rate (gal/min);
• Hold tube size (must deliver a minimum 2.5 minute product hold time prior to hot-filling);
• Temperature of the heat-treated soup at discharge end of hold tube (minimum value of
205oF) (96°C); and
• Temperature of the heat-treated soup in the agitated hot-holding surge tank (minimum value
of 185oF) (85°C).
6.15.3 Soup Processor B’s Monitoring
6.15.3.1 What Soup Processor B monitors
Soup Processor B:
• Monitors the IT in the surge tank;
• Checks the pump speed RPM setting;
• Checks that the correct hold tube is in place prior to production;
• Checks the temperature of the heat-treated soup exiting the hold tube using an RTD probe
connected to a recording device; and
• Monitors the temperature of the heat-treated soup held in the agitated hot-holding surge
tank prior to final packaging (i.e., hot fill).
6.15.3.2 How Soup Processor B monitors
Soup Processor B:
• Uses a Resistance Temperature Detector (RTD) probe attached to a recording chart to

monitor the IT of the untreated soup in the pre-processing surge tank;
• Visually observes that the RPM dial setting on the pump (i.e., pump speed in RPM) is
appropriate to achieve the process-specified flow rate of the soup;
• Visually observes that the correct hold tube is in place (hold tubes are numbered and each
numbered hold tube is assigned to specific soup recipes);
• Uses an RTD probe attached to a recording chart to monitor the temperature of the heat-
treated soup exiting the hold tube; and

• Uses another RTD probe attached to a recording chart to monitor the temperature of the
heat-treated soup in the hot-holding surge tank.
6.15.3.3 How often Soup Processor B monitors
Soup Processor B:
• Checks the continuously recorded IT (RTD chart recorder) of the untreated soup in the pre-
process surge tank twice per shift;
• Checks and records the pump speed setting (flow rate) at the beginning of production and
twice per shift;
• Notes the hold tube used on the pump speed log at the beginning of production and
whenever the variety of soup being produced changes;
• Checks the continuously recorded temperature (RTD chart recorder) of the heat-treated
soup at the exit of the hold tube twice per shift; and
• Checks the continuously recorded temperature (RTD chart recorder) of the heat-treated
soup in the filling surge tank twice per shift.
6.15.3.4 Who monitors critical factors for Soup Processor B’s heat
treatment
At Soup Processor B, the line operator monitors the recorded temperature data (IT of the
untreated soup, temperature of the heat-treated soup exiting the hold tube, and temperature of
the heat-treated soup in the agitated hot-holding surge tank), the pump speed setting, and the
hold tube identification.
6.15.4 Soup Processor B’s Corrective Action Procedures
Soup Processor B’s corrective action procedures specify:
• A list of:
o Those soups that can be fully reprocessed in instances where soup was under-
processed; and
o Those soups that cannot be fully reprocessed and therefore will be diverted to animal
food (non-pet food) or destroyed if the PCQI determines that the process delivered
was inadequate to ensure product safety.
• If the IT of the untreated soup was too low during the production of that soup:
o The product will be held until the PCQI determines whether the process was
adequate or if the soup can be reprocessed; and
o The production manager will investigate why the IT was too low and take appropriate
actions to prevent the situation from reoccurring.

• If the metering pump speed during production of the soup was too fast:
o Any ongoing production will be stopped and affected product will be held until the
PCQI evaluates the safety of the product;
o The PCQI will assess the safety of the product and determine whether it will be
released, re-processed, diverted to animal food (non-pet food), or destroyed; and
o The production manager will investigate why the pump speed was too fast and take
appropriate actions to prevent the situation from reoccurring.
• If the incorrect hold tube was used:
o The PCQI will assess the safety of the product to determine appropriate disposition;
o The production manager will investigate why the incorrect hold tube was used; and
o Employees will be retrained if necessary in light of the reason the incorrect hold tube
was used.
• If the RTD at the end of the hold tube recorded a low temperature and the soup was not
diverted to the batch tank for automatic reprocessing:
o The PCQI will assess the safety of the product to determine appropriate disposition;
and
o The production manager will investigate the low temperature and the diversion failure
and take appropriate action to fix the problem.
• If the temperature of the heat-treated soup in the agitated hot-holding surge tank is below
the process set point:
o The product will be held until the PCQI determines whether the temperature was
adequate for safety or if the soup should be reprocessed, diverted to animal food
(non-pet food), or destroyed.
o The production manager will investigate why the temperature was too low and take
appropriate actions to prevent the situation from reoccurring.
6.15.5 Soup Processor B’s Verification Procedures
At Soup Processor B:
• An outside calibration service annually performs on-site calibration of the RTDs and
recording devices used to measure IT of the untreated soup, the temperature of the heat-
treated soup at the exit of the hold tube, and the hot-fill temperature. A sticker with the
calibration date is affixed to each recording device and the date and results are recorded in
a calibration log. Soup Processor B’s PCQI also reviews, initials, and dates the monitoring
device calibration logs within a week of their creation;

• The Quality Assurance Manager or designee verifies twice a year that the pump speed
provides the correct flow rate for the hold tubes used for the different soups, and the PCQI
reviews this within one week;
• On a daily basis, the PCQI :
o Reviews recorder charts and pump speed log with the hold tube identification to
confirm that the soup was cooked at the specified temperature of 205°F (96°C) for a
minimum of 2.5 minutes; and
o Checks the other process logs to confirm that the soup in the pre-process agitated
surge tank was maintained at an IT between 40°F and 45°F (4°C- 7°C), that the
temperature of the heat-treated soup at hold tube exit was at least 205 °F (96°C),
and that the temperature of the heat-treated soup held in the agitated hot-holding
surge tank prior to hot-filling was maintained at the specified process temperature of
> 185oF (852°C), and also checks that process log temperatures agree with the
recorder charts;
• The PCQI reviews corrective action records within one week of when the deviation occurred;
and
• Soup Processor B does not conduct product testing for pathogens or environmental
monitoring because the product, which is subjected to a heat treatment validated to be
highly lethal to vegetative pathogens and filled hot, is not exposed to the environment after
the heat treatment.
6.15.6 Soup Processor B’s Monitoring Records
Soup Processor B keeps:
• The recording charts from the RTDs used to monitor the IT of the untreated soup exiting the
pre-process agitated surge tank, the temperature of heat-treated soup exiting the hold tube,
and the temperature at the agitated hot-holding surge tank;
• The process logs for the temperature checks (IT of the untreated soup, temperature of the
heat-treated soup exiting the hold tube, and temperature at the agitated hot-holding surge
tank); and
• A process log for each line to record pump speeds and hold tube number for the product
being processed.
6.15.7 Soup Processor B’s Records of Corrective Actions
Soup Processor B keeps records:
• Of any product safety assessment by the PCQI of the safety of product to determine
appropriate disposition if:
o The IT of the untreated soup was too low;
o The metering pump speed was too fast;

o An incorrect hold tube was used;
o The RTD at the end of the hold tube recorded a low temperature and the heat-
treated soup was not diverted to the batch tank for automatic reprocessing; or
o The temperature for the heat-treated soup held in the agitated hot-holding surge tank
prior to hot-filling was too low.
• Of the reprocessing of a soup that can be reprocessed if the RTD at the end of the hold tube
recorded a low temperature and the soup was not diverted to the batch tank for automatic
reprocessing;
• Of any soup that cannot be reprocessed and thus is sent to animal food (non-pet food) or
destroyed;

6.15.8 Soup Processor B’s Verification Records
Soup Processor B maintains the following records with the date and initials of the PCQI for the
review of:
• The monitoring records - i.e.:
o The temperature recording chart for all RTD probes (IT of the untreated soup exiting
the pre-process agitated surge tank, the temperature of heat-treated soup exiting the
hold tube, and the temperature at the agitated hot-holding surge tank);
o The process logs for the temperature checks (IT of the untreated soup exiting the
blend tank, the temperature of heat-treated soup exiting the hold tube, and
temperature at the agitated hot-holding surge tank); and
o The process logs for each line with pump speeds and hold tube number for the
product being processed;
• The calibration logs, including notes of the actions taken when any adjustments were
needed;
• The semi-annual verification tests that the pump speed provides the correct flow rate for the
hold tubes used for the different soups, including notes of when any adjustments to the
pump speed were needed; and
• The corrective action records.

6.15.9 Summary Process Control Table of Soup Processor B
Appendix 6-D summarizes the above information for Soup Processor B on the FSPCA’s
6.16 Example of Salsa Processor A’s Heat Treatment

6.16.1 Salsa Processor A’s Product, Hazard Analysis, and Heat Treatment
Salsa Processor A manufactures a shelf-stable chopped mixed vegetable salsa product that is
an acidified food subject to the requirements of 21 CFR part 114 (part 114). Our regulations for
acidified foods in part 114 require that an acidified food be manufactured, processed, and
packaged so that the finished equilibrium pH value of 4.6 or lower is achieved within the time
designated in the scheduled process and maintained in all finished products. (See 21 CFR
114.80(a)(1).) Acidified foods are shelf-stable foods and must be thermally processed to an
extent that is sufficient to destroy the vegetative cells of microorganisms of public health
significance and those of non-health significance capable of reproducing in the food under the
conditions in which the food is stored, distributed, retailed and held by the user. (See 21 CFR
114.80(a)(1).) The “scheduled process” (i.e., the process selected by a processor as adequate
for use under the conditions of manufacture for a food in achieving and maintaining a food that
will not permit the growth of microorganisms having public health significance) includes control
of pH and other critical factors equivalent to the process established by a competent processing
authority (21 CFR 114.3). Salsa Processor A’s PCQI is also a thermal process authority for the
purpose of establishing a scheduled process in accordance with part 114. 9
Salsa Processor A’s product consists of chopped vegetables (i.e., tomatoes, long green chilies,
onions, jalapeño peppers, and garlic), salt, spices, and vinegar. Each batch is directly acidified,
cooked in a kettle, and then hot-filled into glass jars. The hermetically sealed jars are shelf
stable under ambient storage temperatures.
Salsa Processor A’s PCQI/process authority identified Salmonella, E. coli O157:H7, Listeria
monocytogenes and Clostridium botulinum as hazards associated with the salsa because these
pathogenic bacteria can be present on some of the ingredients and can be a hazard if the salsa
is not properly acidified to a pH that is low enough to prevent the germination of spores of C.
botulinum and if the heat treatment is not adequate to kill vegetative cells of the pathogenic
bacteria.
Salsa Processor A’s PCQI/process authority consulted the scientific literature and found that
some sporeforming microorganisms that are generally associated with spoilage (such as
Bacillus subtilis (B. subtilis), and B. licheniformis) could potentially affect the safety of an
acidified food if spores that are not destroyed during the product heat treatment germinate,
grow, and cause the pH to increase above 4.6 such that spores of C. botulinum could
9
Our regulations require that a commercial processor engaged in the processing of acidified foods
provide us with information, submitted on Form FDA 2541e, on the scheduled processes for each
acidified food in each container size. (See 21 CFR 108.25(c)(2).) For additional information about
submitting a “process filing” for an acidified food using Form FDA 2541e, see our guidance for industry
entitled “Submitting Form FDA 2541 (Food Canning Establishment Registration) and Forms FDA 2541d,
FDA 2541e, FDA 2541f, and FDA 2541g (Food Process Filing Forms) to FDA in Electronic or Paper
Format” (FDA, 2015).

germinate, grow and produce toxin (Rodriguez et al, 1992). However, the scientific literature
indicated that these sporeformers do not grow at pH 4.2 or less and require oxygen for growth
at pH 4.4 (Rodriguez et al, 1992). Salsa Processor A’s salsa is acidified to pH 4.1; thus Salsa
Processor A’s PCQI/process authority determined that the heat treatment should target
vegetative pathogens such as Salmonella, E. coli O157:H7, and Listeria monocytogenes. Salsa
Processor A’s PCQI/process authority also determined that there were non-pathogenic
sporeformers that would survive a heat treatment designed for vegetative pathogens that could
spoil the product under ambient conditions.
6.16.2 Salsa Processor A’s Process Design and Validation
Based on an assessment and review of scientific literature, Salsa Processor A’s PCQI/ process
authority selected a process (158°F (70°C) for 1.5 minutes) that will deliver a 5D process for
Salmonella, E. coli O157:H7, and Listeria monocytogenes at a product pH of no higher than 4.1
(Breidt et al., 2010). Salsa Processor A’s PCQI/process authority also determined that the pH of
4.1 would control sporeforming pathogens such as C. botulinum, as well as sporeformers that
could potentially grow and raise the pH of the salsa. (See Chapter 8 – “Use of Formulation as a
Process Control” for information on the use of acidification to control C. botulinum.) Salsa
Processor A’s PCQI/process authority also determined that a process that delivers 200°F (93°C)
for 2 minutes is adequate to destroy any other sporeformers that could survive the process and
potentially spoil the product, and thus achieve a shelf-stable product.
In-house studies determined that as long as the chopped vegetable particles in the salsa did not
exceed 1.0 cm (0.4 inch) square, the particles would also be at 158°F (70°C) when the liquid
portion of the salsa reached that temperature, provided that the particles were stored
refrigerated (i.e., at least 33°F (0.6°C)) and not frozen. (Salsa Processor A’s SOPs specify that
vegetables to be chopped are stored refrigerated (at a temperature of 33 - 40°F (0.6 - 4 °C))
until used.) Salsa Processor A determined that the size of the particles in the vegetable salsa is
a parameter requiring a critical limit (i.e., a maximum value of 1.0 cm square). However, Salsa
Processor A’s PCQI/process authority determined that a critical limit for the temperature of the
particles in the vegetable salsa is not necessary as long as the production line follows the SOP
to store the particles refrigerated.
Briefly, the procedure for the production of the mixed vegetable salsa is as follows:
• All vegetables, which have been held refrigerated, are washed and or peeled, cored or
seeded, and chopped;
• Vinegar (5 percent acetic acid), salt, and spices are prepped and weighed per recipe;
• Salsa is made by combining all ingredients in an agitated 150 gallon steam-jacketed cook
kettle that heats the salsa to 200°F (93°C); the salsa is then held for at least 2 minutes;
• Heat-treated salsa is pumped from the cook kettle to a temperature-controlled filling surge
tank and equilibrated to 200°F (93°C);
• The heat-treated salsa is then hot-filled into clean pint glass jars via a volumetric filler. Jars
are capped under flowing steam, then inverted and conveyed for one minute (to kill
microorganisms on the container) prior to being re-inverted, and conveyed through a cold
water shower for cooling; and

• Cooled and sealed jars are then dried prior to being labelled, packed 12 to a carton, and
stored on pallets.
Salsa Processor A’s PCQI/ process authority determined that the following process parameters
related to the heat treatment are critical to the safety of the chopped vegetable salsa 10 and
established critical limits for each of these process parameters:
• Maximum particle size of chopped vegetables (1.0 cm) (0.4 inch);
• Minimum process temperature for the salsa (158°F) (70°C) 11;
• Minimum process time for the salsa (1.5 minutes);
• Minimum temperature of the heat-treated salsa in the filling surge tank (158°F) (70°C); and
• Minimum inverted jar hold time (1 minute).

Because Salsa Processor A needs to make a shelf-stable food, Salsa Processor A treats the
operating limits established for shelf-stability as if they were the critical limits established for
food safety.
6.16.3 Salsa Processor A’s Monitoring
6.16.3.1 What Salsa Processor A monitors
Salsa Processor A:
• Monitors the particle size of the chopped vegetables;
• Monitors the temperature of the in-process salsa in the cook kettle;
• Monitors the time that the in-process salsa is at the process temperature (operating limit) of
200°F (93°C) or higher in the cook kettle (which ensures that the critical limit of 158°F (70°C)
will be met);
• Monitors the temperature of the heat-treated salsa held in the filling surge tank prior to final
packaging (i.e., hot fill); and
• Checks conveyor belt speed as indicated by automated tachometer RPM (for control of
inversion time) for inverted jars.
6.16.3.2 How Salsa Processor A monitors
Salsa Processor A:
10
See Chapter 8 – Use of Formulation as a Process Control – for additional information about pH as a
critical factor in the production of an acidified food, including the preventive control management
components.
11
This is the process for safety. However, the acidified foods regulation requires the destruction of
spoilage organisms such that the food is shelf-stable. Thus the operating limits are actually 200°F (93°C)
for 2 minutes.

• Collects a statistically-based sample of vegetable particles (e.g., chopped tomatoes, green

chilies, onions, jalapeño peppers), uses digital calipers to ensure they do not exceed 1 cm
(0.4 inch) in any direction, and records the results in the process log;
• Uses an RTD probe attached to a recording chart to monitor the temperature of the in-
process salsa at the cold point in the cook kettle (in top inch (2.5 cm) of kettle), visually
checks the chart and records the observed temperature in the process log;
• Visually checks the temperature recorder chart and marks it with the batch number, records
the time when the in-process salsa reaches the process temperature in the process log,
calculates the processing time, records the processing time on the recorder chart and in the
process log, notes when product should be transferred from cook kettle in the process log,
and records the time when product is transferred from the cook kettle to the filling surge tank
in the process log;
• Uses another RTD probe attached to a recording chart to monitor the temperature of the
heat-treated salsa in the filling surge tank, visually checks the chart, and records the
temperature in the process log; and
• Uses an automated tachometer with recorder chart to monitor the conveyor speed (which is
tied to the jar inversion time), visually checks the tachometer RPM, and records the RPM in
the process log.
6.16.3.3 How often Salsa Processor A monitors
Salsa Processor A:
• Checks the particle size of one in-process lot of each chopped vegetable once per
production shift;
• Checks the continuously recorded temperature (RTD chart recorder) of the in-process salsa
in the cook kettle once for each batch;
• Checks the processing time once for each batch;
• Checks the continuously recorded temperature (RTD chart recorder) of the in-process salsa
in the filling surge tank twice per shift; and
• Monitors the automated tachometer RPM (inversion conveyor belt speed) at the beginning
of production and twice per shift.
6.16.3.4 Who monitors critical factors for Salsa Processor A’s heat
treatment
At Salsa Processor A:
• A formulation control operator checks the particle size of the chopped vegetables; and

• The line operator monitors the recorded temperature and time data (in-process salsa in
cook kettle and filling surge tank, and the automated tachometer RPM (conveyor belt
speed) for jar inversion.
6.16.4 Salsa Processor A’s Corrective Action Procedures
Salsa Processor A’s corrective action procedures specify:
• If it is determined that the mean plus 2.5 standard deviation of the vegetable particle sizes
exceeds 1 cm (0.4 inch), the in-process lot of chopped vegetables is rejected and will be
reworked for a different recipe. The PQCI will check with the vegetable processing operator
to investigate the root cause of the incorrect particle size and, when applicable, notify
maintenance to reset the vegetable chopper operation to specification. The formulation
control operator will check the vegetable particle size of every in-process lot for the next 15
in-process lots to verify particle sizes meet specification. If all 15 lots meet specification, the
formulation control operator will return to monitoring one in-process lot of each chopped
vegetable once per production shift;
• If the RTD at the cook kettle records a low temperature or a shortened process time:
adequate for safety or if the product should be reprocessed or destroyed;
o The production manager will investigate why the under-processing occurred and take
appropriate actions to prevent the situation from reoccurring; and
o Employees will be retrained if necessary in light of the reason for the under-
processing;
• If the temperature at the filling surge tank is below the process set point:
o The product will be held until the PCQI determines whether the fill temperature was
adequate for safety or if the product should be reprocessed or destroyed;
o The production manager will investigate why the fill temperature was too low and
take appropriate actions to prevent the situation from reoccurring; and
o Employees will be retrained if necessary; and
• If it is determined that the jar inversion time is below the process set point:
adequate or if the product can be reprocessed;
o The production manager will investigate why the belt speed deviated from the
process set point and take appropriate actions to prevent the situation from
reoccurring; and
o Employees will be retrained if necessary in light of the reason for the belt speed
deviation.

6.16.5 Salsa Processor A’s Verification Procedures
At Salsa Processor A:
• An outside calibration service annually performs on-site calibration of the RTDs, tachometer,
and recording charts used to measure the temperature at the cook kettle and the hot-fill
surge tank, and the belt speed of the jar inversion conveyor. A sticker with the calibration
date is affixed to each recording device and the date and results are recorded in a
calibration log. The PCQI reviews, initials, and dates the monitoring device calibration logs
within a week of their creation;
• The Quality Assurance Manager or designee verifies the jar inversion belt speed and time
twice each year, and the PCQI reviews this within one week;
• On a daily basis, the PCQI :
o Checks process logs to confirm that the particle size of the chopped vegetables was
at the specified value of < 1 cm (0.4 inch);
o Reviews process logs and recorder charts to confirm that the in-process salsa was
cooked to 200°F (93°C) for a minimum of 2.0 minutes, and checks that process log
temperatures agree with the recorder;
o Reviews process logs and recorder charts to confirm that the jars were filled at the
specified temperature of >200°F (93°C), and checks that process log temperatures
agree with the recorder charts; and
o Reviews the recorded RPM for the conveyor belt to confirm that the jars were
inverted for the minimum specified time of 1 minute;
• The PCQI reviews corrective action records within one week of when the deviation occurred
and
• Salsa Processor A does not conduct product testing for pathogens or environmental
monitoring because the product, which is acidified and subjected to a heat treatment
validated to be highly lethal to vegetative pathogens and filled hot, is not exposed to the
environment after the heat treatment.
6.16.6 Salsa Processor A’s Monitoring Records
Salsa Processor A keeps:
• The process logs for checks of the particle size of the chopped vegetables;
• The recording charts from the RTDs used to monitor the temperature and time of the in-
process salsa in the cook kettle and in the filling surge tank;
• The recording chart from the automated tachometer used to monitor the jar inversion
conveyor belt speed;

• The process logs for temperature checks (cook kettle and filling surge tank) and process
times in the cook kettle; and
• The process logs for the belt speed for the jar inversion conveyor belt.
6.16.7 Salsa Processor A’s Records of Corrective Actions
Salsa Processor A keeps records:
• Of any product safety assessment by the PCQI of the safety of product to determine
appropriate disposition if:
o The RTD at the cook kettle recorded a low temperature;
o The cooking process time was less than the minimum specified time;
o The product temperature in the filling surge tank was too low; or
o The jar inversion time was too short;
• Of the reprocessing of a product that can be reprocessed if:
o Particle size of the chopped vegetables exceeded process set point;
o The process temperature of the in-process salsa in the cook kettle was too low;
o The process time was less than the minimum specified time;
o The temperature of the heat-treated salsa in the filling surge tank was too low; or
o The jar inversion time was too short;
• Of any product that cannot be reprocessed and thus is destroyed;
• Of all changes made to correct problems and to prevent reoccurrence of deviations; and

6.16.8 Salsa Processor A’s Verification Records
Salsa Processor A maintains the following verification records:
• The date and initials of the PCQI on the monitoring record (e.g., on the charts or in the logs)
for the review of:
o Each temperature recording chart for all RTD probes (cook kettle and filling surge
tank);
o The process logs for the temperature checks (cook kettle and filling surge tank);

o The recording charts for the automated tachometer on the jar inversion conveyor
belt;
o The process logs for checks of the particle size of the chopped vegetables and belt
speed of the jar inversion conveyor belt; and
• The date and initials in the calibration log of the PCQI’s review of the results of the outside
calibration service’s calibration of the RTDs and automated tachometer, as well as any
notes by the PCQI of the actions taken when any adjustments were needed;
• The date and initials of the PCQI’s review of the results of the semi-annual verification tests
that the jar inversion conveyor belt speed is correct, as well as any notes by the PCQI when
any adjustments to the conveyor belt were needed; and
• The date and initials of the PCQI’s review of corrective action records.
6.16.9 Summary Process Control Table for Salsa Processor A
Appendix 6-E summarizes the above information for Salsa Processor A on the FSPCA’s
6.17 References
FDA. 2013. FDA Food Code 2013: Annex 6 Food processing
criteria. http://www.FDA.gov/downloads/Food/GuidanceRegulation/RetailFoodProtection/FoodC
ode/UCM374510.pdf.
FDA. 2015. Guidance for Industry: Submitting Form FDA 2541 (Food Canning Establishment
Registration) and Forms FDA 2541d, FDA 2541e, FDA 2541f, and FDA 2541g (Food Process
Filing Forms) to FDA in Electronic or Paper
Format http://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInformatio
n/ucm309376.htm.
FDA. 2016. Guidance for Industry #239: Human Food By-Products For Use As Animal Food.
Draft
Guidance. https://www.fda.gov/AnimalVeterinary/GuidanceComplianceEnforcement/Guidancefo
rIndustry/default.htm.
Lathrop, A.A., T. Taylor, and J. Schenpf. 2014. Survival of Salmonella during Baking of Peanut
Butter Cookies. Journal of Food Protection 77: 635–639.
Rodriguez J, Cousin M, and Nelson P. 1992. Evaluation of anaerobic growth of Bacillus

licheniformis and Bacillus subtilis in tomato juice. Journal of Food Protection 55: 672-677.

Appendix 6. Summary Process Control Tables for the Examples in Chapter 6

Appendix 6-A: Summary Process Control Table for Baking; Cookie Processor A
FORM 2-C (Modified) 12 PROCESS CONTROLS

PAGE _________
PRODUCTS: Cookies baked in batches on trays in ovens and packaged by wrapping the cookies by twos in plastic
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
ISSUE DATE: (mm/dd/yy)_____________________________________________________
SUPERSEDES: (mm/dd/yy)___________________________________________________
PROCESS CONTROL STEP: __Baking__________________________________________

HAZARD(S): ___Salmonella___________________________________________________
Critical What to Frequency of Who

How to Monitor Corrective Action Verification Records 13
Limits Monitor Monitoring Monitors
Minimum Temperature • Recording Continuous Baker If oven was not at least 350°F • Annual calibration of • Baking record
oven of oven thermometer in recording (177°C): thermometer sheets
temperature oven during each • Cookies will be diverted to • Records review by PCQI • Temperature
of 350°F batch; manual
• Manual check cattle feed; and within one week of record recording charts
(177°C) check before
of recording chart • Employees will be retrained creation (baking sheets, • Calibration records
(operating putting cookies
and mark the on the importance of ensuring temperature recording chart,
limit is 352°F
recording with the
in oven
calibration logs) • Corrective action
(178°C)) that the oven temperature has
batch number records
reached the set point. • Review of corrective action
• Record records within one week of a
temperature on deviation
baking record
sheet
12
Modified from Form 2-C in Appendix 2 to address a single process control step. Form 2-C in Appendix 2 can be used to list multiple process control steps.
13
Records include the date and initials of the PCQI (or designee) as verification.


Minimum Time in oven On baking record Each batch Baker If the bake time is less than 13 • Records review by PCQI • Baking record
process time sheets: minutes: within one week of record sheets
of 13 minutes • Record time • Cookies will be diverted to creation (Baking record • Corrective action
(operating that cookies are cattle feed; and sheets) records
limit is 15 placed in the • PCQI determines why the • Review of corrective action
minutes) oven bake time was not met to records within one week of a
• Calculate and prevent this from happening in deviation
record the time the future.
when the cookies
should be
removed from
oven
• Record time
that cookies are
removed from the
oven
• Calculate the
elapsed baking
time
Dough • Dough • Check set • Check set QC If dough weight exceeds 28 g: • Annual calibration of dough • Dough weight log
weight ≤28 g depositor point of depositor point every 2 technician • Product will be diverted to depositor and scales • Calibration records
(operating setting hours
• Weigh dough cattle feed; • Records review by PCQI • Corrective action
limit is ≤27 g)
• Dough portions • Weigh • PCQI will determine (if within one week of record records
weight dough possible) what caused the creation (calibration logs,
portions twice depositor to deliver an incorrect dough weight logs)
per shift weight; and. • Review of corrective action
• Dough depositor adjusted to records within one week of a
deliver correct weight. deviation

Appendix 6-B: Summary Process Control Table for Baking; Cookie Processor B

PAGE _________
PRODUCTS: Cookies baked in a continuous band oven and packaged in boxes of 24 cookies
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
SUPERSEDES: (mm/dd/yy)____________________________________________________
PROCESS CONTROL STEP: __Baking___________________________________________

HAZARD(S): ___Salmonella____________________________________________________

Minimum Temperature Recording Continuous Baker If oven was not at least 350°F • Annual calibration of • Operator’s baking
oven of oven at the thermometer in recording during (177°C): oven thermometer and log
temperature identified cold oven, visual check each batch with • Cookies will be diverted to temperature recording • Temperature
of 350°F spot of recording chart, visual check further processing (baking for chart recording chart
(177°C) with a note of the every hour cookie crumbles) or cattle feed; • QC technician check of • Calibration records
(operating check in the
• Maintenance will determine thermometer recording for thermometer and
limit is 352°F operator’s baking
the cause of the low temperature chart temperature recording
(178°C)) log
and fix the oven so the • Records review by chart
temperature is at least 350 °F PCQI within 7 days of • Corrective action
(177°C) before more cookies are record creation (operator’s records
baked; and baking log, temperature
• Employees will be retrained if recording chart, calibration
necessary. log)
• Review of corrective
action records at the end
of each week
14
15


Maximum Belt speed Automated Continuous Baker If the tachometer reading • Annual calibration of • Recording chart for
belt speed (tachometer tachometer with recording during indicates that the baking time is tachometer and its automated tachometer
(tachometer RPM) recorder chart and each batch with less than 13 minutes: recorder chart • Calibration records
RPM) to visual observation visual check at • The cookies are placed on • QC technician check of for tachometer and its
achieve a of tachometer start-up and twice hold; tachometer recording chart recording chart
minimum RPM per shift
process time • The PCQI assesses whether • Records review by • Corrective action
of 13 minutes the cookies will be diverted to PCQI within 7 days of records
(operating bake as cookie crumbles or record creation
limit is diverted to cattle feed; and (tachometer chart,
maximum • The PCQI determines why the calibration logs)
tachometer bake time was not met and • Review of corrective
RPM to informs management of actions action records at the end
achieve a they need to take to prevent this of each week
process time from happening.
of 15
minutes)
Dough • Dough • Check set • Check set Dough If dough weight exceeds 28 g: • Annual calibration of • Dough weight
weight ≤28 g depositor point of depositor point at start-up preparer • PCQI will determine whether dough depositor and record sheets
(operating setting and every 2 scales
• Weigh dough the product will be further • Calibration records
limit is ≤27 g) hours
• Dough portions processed or diverted to cattle • QC technician check of for dough depositor
weight • Weigh dough feed; and dough weight log twice per and scales
portions twice • PCQI will determine (if shift • Corrective action
per shift possible) what caused the • Records review by records
depositor to deliver an incorrect PCQI within 7 days of
weight. record creation (calibration
• Dough depositor adjusted to logs, dough weight logs)
deliver correct weight. • Review of corrective
action at the end of each
week

Appendix 6-C: Summary Process Control Table for Cooking; Soup Processor A

PAGE _________
PRODUCTS: Soup cooked in a kettle, packaged in 8 ounce plastic bowls, and frozen _____
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
PROCESS CONTROL STEP: ___Cooking________________________________________

HAZARD(S): __Listeria monocytogenes__________________________________________
16


Minimum soup Temperature of Thermometer Begin after 30 Kettle cook • If EPIPT did not reach 180°F • PCQI reviews cook • Cook log of
temperature of soup in kettle inserted into min; then operator (82°C) and soup is being log weekly. monitoring
180°F (82°C) soup in top inch every 10 min packaged but has not been temperature
• QC technician
(EPIPT) (2,5 cm) of after reaching frozen: stop packaging and calibrates thermometers • Thermometer
kettle; 170°F (77°C) reprocess soup until the EPIPT against NIST reference calibration and
measured until the EPIPT reaches 180°F. Packages that thermometer at least accuracy checks log
temperature is is reached have been frozen will be annually; PCQI reviews • Corrective action
recorded in the (180°F (82°C)) destroyed. the calibration log within records
cook log
• If EPIPT did not reach 180°F a week of the calibration.
(82°C) and soup has been • QC technician checks
packaged and frozen, the PCQI accuracy of
will assess the safety of the thermometers daily;
product to determine appropriate PCQI reviews these
disposition. If process delivered accuracy checks on a
was inadequate to ensure product weekly basis.
safety, soup will be diverted to
animal food or destroyed. • PCQI reviews
corrective action records
• If soup is packaged before the before shipment of each
EPIPT reaches 180°F (82°C) due lot of soup.
to operator error, the kettle cook
operator will be retrained.
Maximum Size of diced Collect a Every third lot Formulation If vegetable particle sizes exceed • QC technician checks • Vegetable particle
particle size carrots, statistically- on receipt control ½ inch (13 mm): accuracy of digital size log
no greater potatoes, onions based sample of operator • The lot of vegetables is calipers before use. • Digital caliper
than ½ inch vegetable rejected and unopened packages • PCQI reviews particle accuracy check logs
(13 mm) in particles and are returned to the supplier; measurement log and • Corrective action
any direction then use digital
• PCQI discusses with the accuracy checks of the records
calipers to
supplier so the supplier can digital calipers weekly.
ensure they do
not exceed ½ investigate the root cause for • PCQI reviews
inch (13 mm) in incorrect particle size; and corrective action records
any direction; • Formulation control operator before shipment of each
record the checks vegetable particle size of lot of soup
measurement in every lot for the next 15 lots. If all
a log 15 lots meet specification, the
formulation control operator will
return to monitoring every third lot.
17

Appendix 6-D: Summary Process Control Table for Cooking; Soup Processor B

PAGE _________
PRODUCTS: Soup cooked in a continuous flow heat exchanger, packaged in 5 gallon bag, and refrigerated
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
PROCESS CONTROL STEP: Cooking

HAZARD(S): Vegetative pathogens such as Salmonella and Listeria monocytogenes; and
Clostridium botulinum (especially non-proteolytic type B)
18


Minimum IT in pre- RTD probe with Continuous Line operator If the IT of a batch of soup was too • Outside service • Process logs for
soup IT of process recording chart recording of IT low during the processing of that calibrates RTDs and temperature checks of
40°F (4°C) agitated monitors IT checked twice soup: recorder charts IT
surge tank per shift • Product will be held until the annually. • Recording charts of
PCQI determines whether the • PCQI reviews IT
process was adequate or if the soup calibration logs within 1 • Calibration records
can be reprocessed; and week of creation. for RTDs and recorder
• Production manager will • PCQI reviews charts
investigate why the IT was too low recorder charts and the • Corrective action
and take appropriate actions to process logs containing records
prevent the situation from IT daily.
reoccurring.
• PCQI reviews
corrective action
records within one week
of when deviation
occurs.
Metering Pump RPM Visual observation At beginning of Line operator If the metering pump speed during • QA manager verifies • Process logs for
pump setting of RPM dial setting production and production of the soup was too fast: pump speed provides pump speeds
speed to twice per shift • Any ongoing production will be correct flow rate for the • Calibration records
deliver stopped and affected product will be hold tubes twice a year for flow rates
process- held until the PCQI evaluates the and PCQI reviews this
specified within 1 week. • Corrective action
safety of the product; and
flow rate records
• The PCQI will assess the safety • PCQI reviews pump
(gal/min)
of the product and determine speed log daily.
whether it will be released, re- • PCQI reviews
processed, diverted to animal food, corrective action
or destroyed. records within one week
• Production manager will of when deviation
investigate why the pump speed was occurs.
too fast and take appropriate actions
to prevent the situation from
reoccurring
19


Correct hold Correct hold Visual observation At beginning of Line operator If the incorrect hold tube was used: • PCQI reviews pump • Process logs
tube to tube in place that hold tube production and • PCQI will assess the safety and speed log with hold tube containing hold tube
deliver 2.5 number is correct when soup determine disposition of the product; identification daily. number for the product
minute hold for the specific variety changes being processed (i.e.,
• Production manager will • PCQI reviews
time at soup recipe the pump speed log)
investigate why the incorrect hold corrective action
specified
tube was used; and records within one week • Corrective action
pump of when deviation records
speed • Employees will be retrained if occurs.
necessary
Minimum Temperature RTD probe with Continuous Line operator If soup is not automatically diverted • Outside service • Process logs for
product at end of hold recording chart recording of for reprocessing when the calibrates RTDs and temperature checks of
temperature tube monitors product at hold temperature at the end of the hold recorder charts hold tube exit
at end of temperature at tube exit tube is low: annually. temperature
hold tube of hold tube exit checked twice • PCQI will assess the safety of the • PCQI reviews • Recording charts of
205°F per shift product and determine appropriate calibration logs within 1 product exiting hold
(96°C) disposition; and week of creation. tube
• Production manager will • PCQI reviews • Calibration records
investigate the low temperature and recorder charts and the for RTDs and recorder
the diversion failure and take process logs containing charts
appropriate action to fix the problem. temperature at hold • Corrective action
tube exit daily. records
• PCQI reviews
corrective action
of when deviation
occurs.


Minimum Temperature RTD probe with Continuous Line operator If the temperature in the agitated hot- • Outside service • Process logs for
product in agitated recording chart recording of fill holding surge tank was below the calibrates RTDs and temperature checks of
temperature hot holding monitors temperature process set point: recorder charts filling temperature
in agitated surge tank temperature of checked twice • Product will be held until the annually. • Recording charts of
hot holding product in agitated per shift PCQI determines whether the • PCQI reviews filling temperature
surge tank hot-holding surge temperature was adequate for safety calibration logs within 1 • Calibration records
of 185°F tank or if the soup should be reprocessed week of creation.
(85°C) for RTDs and recorder
or destroyed; and
• PCQI reviews charts
• Production manager will recorder charts and the • Corrective action
investigate why the temperature in process logs containing records
the agitated hot-holding surge tank temperature in the
was too low and take appropriate agitated hot-holding
actions to prevent the situation from surge tank daily.
reoccurring.
• PCQI reviews
corrective action
of when deviation
occurs.

Appendix 6-E: Summary Process Control Table for Heat Treatment; Salsa Processor A

PAGE _________
PRODUCTS: Chopped mixed vegetable salsa that is an acidified food _________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
PROCESS CONTROL STEP: Heat

treatment____________________________________
HAZARD(S): Salmonella, E. coli O157:H7, Listeria monocytogenes and Clostridium botulinum _____________
20


Maximum Particle size of • Collect Check one in- Formulation If the mean plus 2.5 standard deviation of On a daily basis, • The process logs
particle size of the chopped statistically- process lot of control the vegetable particle sizes exceeds 1 cm the PCQI checks for checks of the
chopped vegetables based sample each chopped operator (0.4 inch): process logs to particle size of the
vegetables of vegetable vegetable once • The in-process lot of chopped confirm that the chopped vegetables
(1.0 cm) (0.4 particles; per production particle size of the
vegetables is rejected and will be • Corrective action
inch) shift chopped vegetables
• Use digital reworked for a different recipe. records
was at the specified
calipers to • The PQCI will check with the vegetable value
measure processing operator to investigate the root
particle size; cause of the incorrect particle size and,
and when applicable, notify maintenance to
• Record reset the vegetable chopper operation to
results in the specification.
process log • The formulation control operator will
check the vegetable particle size of every
in-process lot for the next 15 in-process
lots to verify particle sizes meet
specification. If all 15 lots meet
specification, the formulation control
operator will return to monitoring every
one lot per vegetable per production shift.
21


Minimum Temperature • RTD probe Once for each Line operator If the RTD at the cook kettle records a low • Annual • The recording
process of the in- with recording batch temperature: calibration of the charts from the RTDs
temperature process salsa chart monitors • The product will be held until the PCQI RTDs and used to monitor the
for the salsa in the cook temperature of determines whether the process was recording chart temperature of the in-
(200°F) (93°C) kettle the in-process adequate for safety or if the product used to measure process salsa in the
salsa (in top should be reprocessed or destroyed. temperature at the cook kettle
inch (2.5 cm) of cook kettle, with • The process logs
kettle); • The production manager will the date and
investigate why the under-processing for temperature checks
• Visual results recorded in of the cook kettle
occurred and take appropriate actions to a calibration log.
check of the prevent the situation from reoccurring. • Corrective action
chart; The PCQI reviews,
• Employees will be retrained if initials, and dates records
• Record necessary in light of the reason for the the calibration logs • Of calibration of the
temperature in under-processing. within a week of RTDs and recording
process log their creation. charts, with any notes
• On a daily by the PCQI about
basis, the PCQI adjustments
reviews recorder
charts and process
logs to confirm that
the in-process
salsa was cooked
at the specified
temperature, and
checks that
process log
temperatures
agree with the
recorder charts.


Minimum Time that the • Visual Once for each Line operator If the RTD at the cook kettle records a On a daily basis, • Of the temperature
process time in-process checks of batch shortened process time: the PCQI reviews recording chart marked
at 200°F salsa is at the recorder chart; • The product will be held until the PCQI recorder charts and with various times, and
(93°C) for the process process logs to the process log,
• Mark chart determines whether the process was
salsa (2 temperature confirm that the in-
with batch adequate for safety or if the product • Corrective action
minutes) should be reprocessed or destroyed. process salsa was
number; records
cooked for the
• Record time • The production manager will specified time
when in- investigate why the under-processing
process salsa occurred and take appropriate actions to
reaches prevent the situation from reoccurring.
process • Employees will be retrained if
temperature in necessary in light of the reason for the
process log; under-processing.
• Calculate
processing
time;
• Record
processing
time on the
recorder chart
and in the
process log;
• Note when
product should
be transferred
to filling surge
tank in the
process log;
• Record the
time when
product is
transferred
from to the
filling surge
tank in the
process log


Minimum Temperature • RTD probe Twice per shift Line operator If the temperature at the filling surge tank • Annual • The recording
temperature of of the heat- with recording is below the process set point: calibration of the charts from the RTDs
the heat- treated salsa chart monitors • The product will be held until the PCQI RTDs and used to monitor the
treated salsa held in the temperature of determines whether the fill temperature recording chart temperature of the
in the filling filling surge heat-treated was adequate for safety or if the product used to measure filling surge tank
surge tank tank salsa in filling the temperature at
should be reprocessed or destroyed. • The process logs
(200°F) (93°C) surge tank; the filling surge for temperature checks
• The production manager will tank, with the date
• Visual investigate why the fill temperature was of the filling surge tank
check of chart; and results
too low and take appropriate actions to recorded in a • Corrective action
• Record prevent the situation from reoccurring. calibration log. The records
temperature in • Employees will be retrained if PCQI reviews, • Of calibration of the
process log necessary initials, and dates RTDs and recording
the calibration logs charts, with any notes
within a week of by the PCQI about
their creation adjustments
• On a daily
basis, the PCQI
reviews process
logs and recorder
charts to confirm
that the jars were
filled at the
specified
temperature, and
checks that
process log
temperatures
agree with the
recorder charts.


Minimum Conveyor belt • Automated At the Line operator If it is determined that the jar inversion time • Annual • The recording chart
inverted jar speed as tachometer beginning of is below the process set point: calibration of the from the automated
hold time (1 indicated by with recorder production and • The product will be held until the PCQI tachometer and tachometer used to
minute) automated chart monitors twice per shift determines whether the process was recording chart monitor the jar
tachometer conveyor adequate or if the product can be used to measure inversion conveyor belt
RPM speed; reprocessed. belt speed of the speed
• Visual jar inversion • The process logs
• The production manager will conveyor, with the
check of chart investigate why the belt speed deviated for checks of the belt
date and results speed for the jar
• Record from the process set point and take recorded in a
RPM in appropriate actions to prevent the inversion conveyor belt
calibration log. The
process log situation from reoccurring. PCQI reviews, • Corrective action
• Employees will be retrained if initials, and dates records
necessary in light of the reason for the the calibration logs • Of calibration of the
belt speed deviation within a week of tachometer and
their creation. recording charts, and
• The QA verification tests that
Manager verifies the jar inversion time is
the jar inversion correct, with any notes
belt speed and by the PCQI about
time twice each adjustments
year, and the PCQI
reviews this within
one week.
• On a daily
basis, the PCQI
reviews the
recorded RPM for
the conveyor belt


Chapter 7: Use of Time/Temperature Control as a Process

Control (Coming Soon)
1
Applied Nutrition at the U.S. Food and Drug Administration.
Chapter 7 (Time/Temperature Control) - Page 1


Chapter 8: Use of Formulation as a Process Control (Coming

Soon)
1
Chapter 8 (Formulation) - Page 1


Chapter 9: Use of Drying/Dehydration as a Process Control

(Coming Soon)
1
Chapter 9 (Drying/Dehydration) - Page 1


Chapter 10: Sanitation Controls (Coming Soon)
1
Chapter 10 (Sanitation Controls) - Page 1


Chapter 11: Food Allergen Controls (Coming Soon)
1
Chapter 11 (Food Allergen Controls) - Page 1


Chapter 12: Preventive Controls for Chemical Hazards

(Coming Soon)
1
Chapter 12 (Preventive Controls for Chemical Hazards) - Page 1


Chapter 13: Preventive Controls for Physical Hazards

(Coming Soon)
1
Chapter 13 (Preventive Controls for Physical Hazards) - Page 1


Chapter 14: Recall Plans (Coming Soon)
1
Chapter 14 (Recall Plans) - Page 1

Contains Nonbinding Recommendations

Draft Guidance for Industry 1
Chapter 15: Supply-Chain Program for Human Food Products
Table of Contents

15.2 Considerations to Keep in Mind if You Establish and Implement a
Supply-Chain Program
15.3 Overview of the Requirements for a Supply-Chain Program
15.3.1 Applicable Requirements of Part 117
15.3.2 “Receiving Facilities” and “Suppliers”
15.3.3 Produce Safety Regulation
15.3.4 Foreign Supplier Verification Program Regulation
15.3.5 Accredited Third-Party Certification Regulation
15.3.6 How We Use the Term “You” in This Chapter
15.5.1 Definitions Established in 21 CFR 117.3
1
Chapter 15 (Supply-Chain Program) - Page 1

15.5.2 Other Terms That FDA Uses in This Chapter

15.6 Requirement to Establish and Implement a Supply-Chain Program
(21 CFR 117.405)
15.6.1 Requirement to Establish and Implement a Supply-chain Program
15.6.2 How Your Corporate Parent Can Participate in Establishing and
Implementing Your Supply-chain Program
15.6.3 Exceptions to the Requirement to Establish and Implement a Supply-chain
Program
15.6.3.1 Exception for importers
15.6.3.2 Exception for food supplied for research or evaluation use
15.6.4 Requirement When a Supply-Chain-Applied Control Is Applied by an Entity
Other than the Receiving Facility’s Supplier
15.6.5 Role of the Preventive Controls Qualified Individual in the Supply-Chain
Program
15.7 General Requirements Applicable to a Supply-Chain Program (21
CFR 117.410)
15.7.1 What the Supply-Chain Program Must Include
15.7.2 Appropriate Supplier Verification Activities
15.7.2.1 Onsite audits (21 CFR 117.410(b)(1))
15.7.2.2 Sampling and testing of the raw material or other ingredient (21 CFR
117.410(b)(2))
15.7.2.3 Review of the supplier’s relevant food safety records (21 CFR
117.410(b)(3))
15.7.2.4 Other appropriate supplier verification activities based on supplier
performance and the risk associated with the raw material or other
ingredient (21 CFR 117.410(b)(4))
15.7.3 Assurance that a Hazard Has Been Significantly Minimized or Prevented
15.7.4 Considerations in Approving Suppliers and Determining the Appropriate
Supplier Verification Activities and the Frequency with Which They Are
Conducted
15.7.4.1 Hazard analysis
15.7.4.2 Entity controlling the hazard
15.7.4.3 Supplier performance
15.7.4.4 Other factors
15.7.4.5 Exception to the full requirements for considerations for approving
suppliers and determining appropriate supplier verification activities

15.7.5 Supplier Nonconformance

15.8 Responsibilities of the Receiving Facility (21 CFR 117.415)
15.8.1 Your Responsibility to Approve Suppliers
15.8.2 Your Responsibility to Determine and Conduct Appropriate Supplier
Verification Activities
15.8.2.1 Flexibility for another entity to determine, conduct, and document
appropriate supplier verification activities
15.8.2.2 Supplier verification activities that the supplier can conduct and document
15.8.3 What You May Not Accept from a Supplier as a Supplier Verification
Activity
15.8.4 Audit Provided by the Supplier
15.9 Using Approved Suppliers (21 CFR 117.420)
15.9.1 Approving Suppliers
15.9.2 Written Procedures for Receiving Raw materials and Other Ingredients
15.10 Determining Appropriate Supplier Verification Activities (Including
Determining the Frequency of Conducting the Activity) (21 CFR
117.425)
15.11 Conducting Supplier Verification Activities for Raw Materials and
Other Ingredients (21 CFR 117.430)
15.11.1 Requirement to Conduct Supplier Verification Activities
15.11.2 Specific Requirements When the Hazard Requiring a Preventive Control is
a SAHCODH Hazard
15.11.2.1 Requirement for an onsite audit when the hazard requiring a preventive
control is a SAHCODH hazard
15.11.2.2 Exception to the requirement for an onsite audit when the hazard
requiring a preventive control is a SAHCODH hazard
15.11.3 Alternative Supplier Verification Activity If the Supplier Is a “Qualified
Facility”
15.11.4 Alternative Supplier Verification Activity If the Supplier is a Certain Type of
Produce Farm
15.11.5 Alternative Supplier Verification Activity If the Supplier Is a Shell Egg
Producer That Is Not Subject to the Requirements of 21 CFR Part 118
15.11.6 Financial Conflict of Interest
15.12 Onsite Audit (21 CFR 117.435)
15.12.1 Who Conducts an Onsite Audit

15.12.2 Consideration of Food Safety Regulations

15.12.3 Substitution of an Inspection for an Audit
15.12.4 Audits Conducted to Meet the Requirements of Subpart G Do Not Have to
Comply with the Requirements of the Accredited Third-Party Regulation
15.13 Records Documenting the Supply-Chain Program
15.14 Compliance Dates
15.15 Table of Abbreviations
15.16 References

The purpose of this chapter is to help a receiving facility comply with the requirements of
subpart G for establishing and implementing a supply-chain program for its suppliers. (See
section 15.3.2 and the list of terms in section 15.5.1 for the definition of “receiving facility.”) This
chapter also is intended to help an entity other than the receiving facility conduct certain
activities on behalf of a receiving facility, provided that the receiving facility complies with
applicable requirements in subpart G to review and assess the entity’s applicable
documentation, and document that review and assessment.
15.2 Considerations to Keep in Mind if You Establish and Implement

a Supply-Chain Program
If you are an importer, see section 15.6.2.1 for a discussion of how we have aligned the
provisions for supplier verification in our regulation entitled “Foreign Supplier Verification
Programs for Importers of Food for Humans and Animals” (21 CFR part 1, subpart L; the FSVP
regulation) with the provisions for a supply-chain program in subpart G such that importers and
receiving facilities do not have to duplicate verification activities. Importantly, this chapter of this
guidance does not address the responsibilities of receiving facilities that import raw materials or
other ingredients to comply with applicable requirements of the FSVP regulation. If you are a
receiving facility that is also a food importer, and you choose to comply with the FSVP
regulation rather than conduct supplier verification activities in accordance with subpart G (see
21 CFR 117.405(a)(2)), you should refer to our guidance on the FSVP regulation.
15.3 Overview of the Requirements for a Supply-Chain Program

15.3.1 Applicable Requirements of Part 117
Subpart C requires a facility to conduct a hazard analysis to determine whether there are any
hazards that require a preventive control (21 CFR 117.130) and identifies several types of
possible preventive controls, including process controls (21 CFR 117.135(c)(1)), food allergen
controls (21 CFR 117.135(c)(2)), sanitation controls (21 CFR 117.135(c)(3)), and supply-chain
controls (21 CFR 117.135(c)(4)). The requirements for supply-chain controls are established in
subpart G (Supply-Chain Program). We list the requirements of subpart G in Table 15-1. In the

remainder of this chapter, we provide recommendations for how you can comply with each of
these requirements.
Table 15-1 Requirements for a Supply-Chain Program in Subpart G
Section Description
117.405 Requirement to establish and implement a supply-chain program

117.410 General requirements applicable to a supply-chain program
117.415 Responsibilities of the receiving facility
117.420 Using approved suppliers
117.425 Determining appropriate supplier verification activities (including
determining the frequency of conducting the activity)
117.430 Conducting supplier verification activities for raw materials and other
ingredients
117.435 Onsite audit
117.475 Records documenting the supply-chain program
15.3.2 “Receiving Facilities” and “Suppliers”
Subpart G applies to a “receiving facility.” Part 117 defines a “receiving facility” as a facility that
is subject to subparts C and G of part 117 and that manufactures/processes a raw material or
other ingredient that it receives from a supplier. (See 21 CFR 117.3.) Part 117 defines a
“supplier” as the establishment that manufactures/processes the food, raises the animal, or
grows the food that is provided to a receiving facility without further manufacturing/processing
by another establishment, except for further manufacturing/processing that consists solely of the
addition of labeling or similar activity of a de minimis nature. (See 21 CFR 117.3.)
Under subpart G, entities such as brokers, produce aggregators, food distributors, and cold
storage facilities are neither receiving facilities that are required to establish a supply-chain
program nor suppliers, because such entities are not manufacturers/processors. However, part
117 provides that such entities can conduct certain activities specified in subpart G on behalf of
a receiving facility. (See 21 CFR 117.415.)
Examples of receiving facilities are:
• A facility that manufactures/processes produce raw agricultural commodities (RACs) into

bagged salads;
• A facility that mills grains such as wheat to make flour; and
• A facility that manufactures cookies using flour, sugar and other ingredients.
Examples of suppliers are:
• A farm that grows RACs such as lettuce that are supplied to a bagged salad manufacturer;
• A farm that grows wheat that is supplied to a miller; and
• A facility that mills grains and manufactures flour that is supplied to a cookie manufacturer.

See also section 15.6.4 for a discussion of the special circumstance of when a preventive
control is applied by an entity other than the receiving facility’s supplier (e.g., when a harvesting
or packing operation applies controls to certain produce (i.e., produce covered by part 112),
because growing, harvesting, and packing activities are under different management).
15.3.3 Produce Safety Regulation
In part 112 (21 CFR part 112), we have established our regulation entitled “Standards for the
Growing, Harvesting, Packing, and Holding of Produce for Human Consumption” (the produce
safety regulation; 80 FR 74354, November 27, 2015). The produce safety regulation sets forth
in a new part 112 procedures, processes, and practices that minimize the risk of serious
adverse health consequences or death, including those reasonably necessary to prevent the
introduction of known or reasonably foreseeable biological hazards into or onto produce and to
provide reasonable assurances that the produce is not adulterated on account of such hazards.
The produce safety regulation applies to certain produce farms, and does not apply to activities
of facilities that are subject to part 117.
Some provisions of subpart G (i.e., 21 CFR 117.405(c), 117.410(d)(2)(ii), 117.430(d), and

117.475(c)(13)) refer to the provisions of the produce safety regulation.
15.3.4 Foreign Supplier Verification Program Regulation
In part 1, subpart L (21 CFR part 1, subpart L), we have established our regulation entitled
“Foreign Supplier Verification Programs for Importers of Food for Humans and Animals” (the
FSVP regulation; 80 FR 74226, November 27, 2015). The FSVP regulation requires importers
to establish foreign supplier verification programs to verify that their foreign suppliers are using
processes and procedures that provide the same level of public health protection as those
required under the provisions on hazard analysis and risk-based preventive controls and
standards for produce safety in the FD&C Act, that the imported food is not adulterated, and that
food is not misbranded with respect to food allergen labeling.
Some provisions of subpart G (i.e., 21 CFR 117.405(a)(2) and 117.475(c)(2)) refer to the
provisions of the FSVP regulation.
15.3.5 Accredited Third-Party Certification Regulation
In part 1, subpart M (21 CFR part 1, subpart M), we have established our regulation entitled
“Accreditation of Third-Party Certification Bodies to Conduct Food Safety Audits and to Issue
Certifications” (the accredited third-party certification regulation; 80 FR 74570, November 27,
2015). The accredited third-party certification regulation provides for accreditation of third-party
certification bodies to conduct food safety audits and to certify that eligible foreign entities
(including registered foreign food facilities) and food produced by such entities meet applicable
FDA requirements for purposes of sections 801(q) 2 and 806 3 of the FD&C Act.
2
Section 801(q) of the FD&C Act gives FDA the authority to make a risk-based determination to require,
as a condition of admissibility, that a food imported or offered for import into the United States be
accompanied by a certification or other assurance that the food meets the applicable requirements of the
FD&C Act.
3
Section 302 of FSMA (Voluntary qualified importer program) amended the FD&C Act to create a new
section 806 with the same name. Section 806 of the FD&C Act describes a voluntary, fee-based program
for the expedited review and importation of foods from importers who achieve and maintain a high level of

Some provisions of part 117 (i.e., the definition of “qualified auditor” in 21 CFR 117.3 and the
requirements for onsite audits in 21 CFR 117.435(d)) refer to the provisions of the accredited
third-party certification regulation.
15.3.6 How We Use the Term “You” in This Chapter
In this guidance, we use the term “you” to refer to a “receiving facility,” rather than to all facilities
subject to the PCHF requirements, because the requirements of subpart G apply only to
receiving facilities.

Part 117 defines “supply-chain-applied control” as a preventive control for a hazard in a raw
material or other ingredient when the hazard in the raw material or other ingredient is controlled
before its receipt. (See 21 CFR 117.3 and the list of terms in section 15.5.1.) For background
and details about hazards, including hazards that could require a supply-chain-applied control,
see Chapter 3 – Potential Hazards Associated with the Manufacturing, Processing, Packing,
and Holding of Human Food.

15.5.1 Definitions Established in 21 CFR 117.3
Section III.A in the Introduction of this guidance includes a glossary of terms that are used in
this guidance and that are defined in 21 CFR 117.3. At this time, that glossary does not include
all terms that are used in this chapter. See Table 15-2 for additional terms that are defined in 21
CFR 117.3. We intend to include these terms in the glossary in section III.A in the Introduction
of this guidance when we update the Introduction. When we do so, we intend to delete Table
15-2 from this chapter, because it would be duplicative.
Table 15-2 Applicable Terms Defined in Part 117 (See 21 CFR 117.3.)
Term What the Term Means
Audit The systematic, independent, and documented examination (through observation,

investigation, records review, discussions with employees of the audited entity, and,
as appropriate, sampling and laboratory analysis) to assess a supplier’s food safety
processes and procedures.
Manufacturing/ Making food from one or more ingredients, or synthesizing, preparing, treating,
processing modifying or manipulating food, including food crops or ingredients. Examples of
manufacturing/processing activities include: Baking, boiling, bottling, canning,
cooking, cooling, cutting, distilling, drying/dehydrating raw agricultural commodities to
create a distinct commodity (such as drying/dehydrating grapes to produce raisins),
evaporating, eviscerating, extracting juice, formulating, freezing, grinding,
homogenizing, irradiating, labeling, milling, mixing, packaging (including modified
atmosphere packaging), pasteurizing, peeling, rendering, treating to manipulate
ripening, trimming, washing, or waxing. For farms and farm mixed-type facilities,
manufacturing/processing does not include activities that are part of harvesting,
packing, or holding.
control over the safety and security of their supply chains. This control includes importation of food from
facilities that have been certified under FDA’s third-party certification rule.

Qualified auditor A person who is a qualified individual as defined in this part and has technical
expertise obtained through education, training, or experience (or a combination
thereof) necessary to perform the auditing function as required by § 117.180(c)(2).
Examples of potential qualified auditors include: (1) A government employee,
including a foreign government employee; and (2) An audit agent of a certification
body that is accredited in accordance with regulations in 21 CFR part 1, subpart M
(Accreditation of Third-Party Certification Bodies To Conduct Food Safety Audits and
To Issue Certifications).
Qualified facility A facility (when including the sales by any subsidiary; affiliate; or subsidiaries or
affiliates, collectively, of any entity of which the facility is a subsidiary or affiliate) that
is a very small business, or a facility to which both of the following apply: (1) During
the 3-year period preceding the applicable calendar year, the average annual
monetary value of the food manufactured, processed, packed or held at such facility
that is sold directly to qualified end-users (as defined in this part) during such period
exceeded the average annual monetary value of the food sold by such facility to all
other purchasers; and (2) The average annual monetary value of all food sold during
the 3-year period preceding the applicable calendar year was less than $500,000,
adjusted for inflation.
Raw agricultural Any food in its raw or natural state, including all fruits that are washed, colored, or
commodity (RAC) otherwise treated in their unpeeled natural form prior to marketing.
Receiving facility A facility that is subject to subparts C and G of part 117 and that
manufactures/processes a raw material or other ingredient that it receives from a
supplier.
Supplier The establishment that manufactures/processes the food, raises the animal, or grows
the food that is provided to a receiving facility without further
manufacturing/processing by another establishment, except for further
manufacturing/processing that consists solely of the addition of labeling or similar
activity of a de minimis nature.
Supply-chain-applied A preventive control for a hazard in a raw material or other ingredient when the
control hazard in the raw material or other ingredient is controlled before its receipt.
Very small business A business (including any subsidiaries and affiliates) averaging less than $1,000,000,
adjusted for inflation, per year, during the 3-year period preceding the applicable
calendar year in sales of human food plus the market value of human food
manufactured, processed, packed, or held without sale (e.g., held for a fee).
Written procedures for Written procedures to ensure that raw materials and other ingredients are received
receiving raw materials only from suppliers approved by the receiving facility (or, when necessary and
and other ingredients appropriate, on a temporary basis from unapproved suppliers whose raw materials or
other ingredients are subjected to adequate verification activities before acceptance
for use).
15.5.2 Other Terms That FDA Uses in This Chapter
Section III.B in the Introduction of this guidance includes a glossary of terms that are used in
this guidance but are not defined in 21 CFR 117.3. At this time, that glossary does not include
all terms that are used in this chapter. See Table 15-3 for additional terms that we use in this
chapter. We intend to include these terms in the glossary in section III.B in the Introduction of
this guidance when we update the Introduction. When we do so, we intend to delete Table 15-3
from this chapter, because it would be duplicative.
Table 15-3 Terms Used in this Chapter

Approved supplier A supplier that has met the criteria of the receiving facility’s supply chain
program, is controlling the identified hazard, and has been approved by the
receiving facility.
Certificate of analysis (CoA) A document, provided by the supplier of a food prior to or upon receipt of the
food, that documents certain characteristics and attributes of the food.
Customer An entity that receives a product, raw material, or ingredient from a receiving
facility.
Identified hazard A hazard identified by the receiving facility as requiring a supply-chain-
applied control.
Second-party audit An audit conducted by an employee of a receiving facility.
SAHCODH hazard A hazard for which there is a reasonable probability that exposure to the
hazard will result in serious adverse health consequences or death to
humans.
Third-party audit An audit conducted by a qualified auditor that is not an employee of either
the receiving facility or the supplier.
15.6 Requirement to Establish and Implement a Supply-Chain

Program (21 CFR 117.405)
15.6.1 Requirement to Establish and Implement a Supply-chain Program
With some exceptions (see 21 CFR 117.405(a)(2) and (a)(3)), subpart G requires a receiving
facility to establish and implement a risk-based supply-chain program for those raw materials
and other ingredients for which the receiving facility has identified a hazard requiring a supply-
chain-applied control. (See 21 CFR 117.405(a)(1).)
The supply-chain program must be written. (See 21 CFR 117.405(b).) There is no standardized
or required format for the written supply-chain program or its records. You can use whatever
format works best for your facility, provided that the records include all the required information.
You are not required to establish and implement a supply-chain program for a particular raw
material or other ingredient if you will control the hazard at your own facility, regardless of
whether your supplier has also applied one or more preventive controls for that hazard to raw
materials and other ingredients that your supplier provides to you. (See 21 CFR 117.405(a)(1).)
In addition, you are not required to implement a preventive control if you comply with certain
requirements for ensuring a hazard will be controlled by your customer or subsequent entity in
the distribution chain. (See 21 CFR 117.136.)
Subpart G does not require you to establish and implement a supply-chain program to control
potential hazards associated with food contact substances. A long-standing CGMP provision
requires that appropriate quality control operations be employed to ensure that food is suitable
for human consumption and that food-packaging materials are safe and suitable. (See 21 CFR
117.80(a)(2).) Similar provisions address other circumstances where food contact substances
may migrate to the raw materials and other ingredients obtained by a receiving facility from
suppliers (e.g., 21 CFR 117.40 regarding food-contact surfaces). FDA has extensive premarket
review processes for food contact substances under the food contact notification process (21
CFR part 170, subpart D) and the food additive petition process (21 CFR part 171). In light of
FDA’s premarket oversight of food contact substances and our experience with regulatory

oversight of food-packaging material as a matter of CGMP, we consider following CGMPs by a

receiving facility to be sufficient to address the safety of food contact substances in raw
materials and other ingredients it obtains. Therefore, there are no hazards associated with food
contact substances that are hazards requiring a supply-chain applied control under 21 CFR
117.405(a)(1).
15.6.2 How Your Corporate Parent Can Participate in Establishing and

Implementing Your Supply-chain Program
As discussed in the final rule establishing part 117, your corporate parent (as the owner,
operator, or agent in charge) can be active in developing and implementing your food safety
plan (see Response 371, Response 668, and Response 690 at 80 FR 56022, 56100, and
56111, respectively). For example, an individual at the corporate level may be the preventive
controls qualified individual (PCQI). Further, the responsibilities of the receiving facility (such as
approving suppliers) could be handled at the corporate level. For example, your corporate
parent could have a team that establishes written procedures for supplier approval, determines
supplier verification activities, conducts supplier verification activities, and maintains required
documentation. In addition, your corporate parent could establish and implement a supply-chain
program that takes into consideration its knowledge of the food safety programs in place at all of
the facilities under its ownership. See also the example in section 15.11.2.2 in which a facility
that is part of a larger corporation determines an alternative to an onsite audit when the supplier
is a subsidiary of the same corporation. The records documenting the supply-chain program are
subject to the requirements, in subpart F, applying to records that must be established and
maintained. Under 21 CFR 117.315, offsite storage of records (such as storage at the place of
business of your corporate parent of records documenting the supply-chain program) is
permitted if such records can be retrieved and provided onsite within 24 hours of request for
official review. If your corporate parent establishes and maintains the records for the supply-
chain program electronically and you can access applicable records maintained at the corporate
level electronically, we consider the records to be onsite.
15.6.3 Exceptions to the Requirement to Establish and Implement a Supply-

chain Program
Subpart G provides for two exceptions to the requirement to establish and implement a supply-
chain program.
15.6.3.1 Exception for importers
We have aligned the provisions for supplier verification in the FSVP regulation with the
provisions for a supply-chain program in part 117. A receiving facility that is an importer, is in
compliance with the FSVP regulation, and has documentation of verification activities conducted
under 21 CFR 1.506(e) (which provides assurance that the hazards to be controlled before
importation for the raw material or other ingredient have been significantly minimized or
prevented) need not conduct supplier verification activities for that raw material or other
ingredient. (See 21 CFR 117.405(a)(2).) We are providing separate guidance to help importers

who are subject to the FSVP regulation to comply with the requirements of the FSVP
regulation. 4
15.6.3.2 Exception for food supplied for research or evaluation use
The requirements for a supply-chain program do not apply to food that is supplied for research
or evaluation use, provided that such food:
• Is not intended for retail sale and is not sold or distributed to the public (21 CFR
117.405(a)(3)(i));
• Is labeled with the statement “Food for research or evaluation use” (21 CFR
117.405(a)(3)(ii));
• Is supplied in a small quantity that is consistent with a research, analysis, or quality
assurance purpose, the food is used only for this purpose, and any unused quantity is
properly disposed of (21 CFR 117.405(a)(3)(iii)); and
• Is accompanied with documents, in accordance with the practice of the trade, stating that
the food will be used for research or evaluation purposes and cannot be sold or distributed
to the public (21 CFR 117.405(a)(3)(iv)).
You should take steps to ensure that the label statement “Food for research or evaluation use”
remains securely attached to the food until the food is used for research or evaluation.
The quantity of the food should be limited to the amount anticipated to be needed to perform the
research, analysis, or quality assurance procedures, and any unused portion should be properly
disposed of. The amount of food used in research or for evaluation can vary based on the type
of food, the nature of the research or evaluation, and other factors such as the number of
repetitions required for the research or evaluation process. For example, 10 pounds of a food
could be a small quantity consistent with the amount needed to perform a laboratory analysis for
pesticides, and 50 pounds of the food could be a small quantity consistent with the amount
needed for a mycotoxin analysis. On the other hand, only a few ounces of a color additive might
be needed for research.
The exemption for food for research or evaluation does not apply to food for consumption at
trade shows, because such food would be “distributed to the public” (i.e., attendees of the trade
show). (See 21 CFR 117.405(a)(3)(i).) This is the case regardless of whether it is a “Research
and Development” (R&D) facility that directly provides the food for consumption to a trade show,
or it is the R&D facility’s customer that provides the food for consumption to a trade show.
However, the exemption for research or evaluation would apply to food used in a defined study,
conducted during a trade show, of a food involving a discrete set of test subjects who have
agreed to participate in the study, because it does not appear that such food would be sold or
distributed to the general public. When the exemption does not apply, you must comply with the
requirements of subpart G when your supplier applies a supply-chain-applied control even if you
consider yourself an “R&D facility.”
4
Even if you implement a supply-chain program in accordance with subpart G for a raw material or other
ingredient you import, you will need to ensure that you are identified as the FSVP importer of the raw
material or other ingredient in accordance with 21 CFR 1.509.

15.6.4 Requirement When a Supply-Chain-Applied Control Is Applied by an

Entity Other than the Receiving Facility’s Supplier
When a supply-chain-applied control is applied by an entity other than the receiving facility’s
supplier (e.g., when such an entity applies controls to certain produce (i.e., produce covered by
part 112)), because growing, harvesting, and packing activities are under different
management), the receiving facility must: (1) Verify the supply-chain-applied control; or (2)
obtain documentation of an appropriate verification activity from another entity, review and
assess the entity’s applicable documentation, and document that review and assessment. (See
21 CFR 117.405(c).)
The most likely circumstance where this requirement applies is included as an example in the
requirement – i.e., when the supplier is a farm and growing, harvesting, and packing activities
are under different management. The definition of supplier specifies that the supplier is the
establishment that grows the food. However, harvesting and packing operations that are
conducted by a business entity separate from the grower do not fall within the definition of
“supplier,” even though harvesting and packing operations include some supply-chain-applied
controls, such as maintaining wash water temperature adequate to minimize infiltration of
microorganisms and establishing and following water-change schedules for recirculated water.
A receiving facility has an obligation to identify and implement preventive controls to provide
assurances that any hazards requiring a preventive control will be significantly minimized or
prevented and the food manufactured, processed, packed, or held by the facility will not be
adulterated under section 402 of the FD&C Act (21 U.S.C. 342) or misbranded under section
403(w) of the FD&C Act (21 U.S.C. 343(w)). That obligation includes responsibilities for raw
materials and other ingredients when a supply-chain-applied control is applied by an entity
(such as a harvesting or packing operation) other than the receiving facility’s supplier (the
grower).
We do not expect the receiving facility to follow all of the requirements of subpart G applicable
to “suppliers” when verifying control by another entity in the supply chain (e.g., a harvesting or
packing operation). Instead, we expect the receiving facility will take steps such as a review of
that entity’s applicable food safety records. For example, if a receiving facility receives produce
from a supply chain that includes a separate grower, harvester, and packer, the grower is the
supplier and the requirements of subpart G applicable to “suppliers” apply to the grower. To
verify controls applied by the harvester, the receiving facility could review the harvester’s
records, such as records of training for workers who hand harvest RTE produce. To verify
controls applied by the packer, the receiving facility could review the packer’s records, such as
water-change schedules for recirculated water used in packing operations.
See also the discussion in sections 15.8.1 and 15.8.2 of provisions of part 117 that allow entities
such as distributors, brokers, and aggregators to determine, conduct, and document verification
activities that apply to suppliers as a service to you, provided that you review and assess
applicable documentation provided by the other entity and document your review and
assessment. (See 21 CFR 117.415(a)(3).) If a harvester determines, conducts, and documents
verification activities that apply to the grower (your supplier), you could review and assess the
harvester’s documentation. Likewise, you could obtain documentation of review of applicable
records maintained by the harvester or packer from another entity, review and assess the
entity’s applicable documentation, and document that review and assessment.

15.6.5 Role of the Preventive Controls Qualified Individual in the Supply-

Chain Program
The preventive controls are part of your food safety plan, and your food safety plan must be
prepared, or its preparation overseen by, your PCQI. (See 21 CFR 117.126(a)(2), 21 CFR
117.126(b)(2), and 117.180(a)(1).) (See 21 CFR 117.3 and the Glossary in section III of the
Introduction of this guidance for the definition of “PCQI.”)
15.7 General Requirements Applicable to a Supply-Chain Program

(21 CFR 117.410)
15.7.1 What the Supply-Chain Program Must Include
Subpart G includes a list of the general requirements for what the supply-chain program must
include, and provides a cross-reference to where you can find the specific requirements. As
specified in 21 CFR 117.410(a), the general requirements are:
• Using approved suppliers as required by § 117.420 (21 CFR 117.410(a)(1));

• Determining appropriate supplier verification activities (including determining the frequency
of conducting the activity) as required by § 117.425 (21 CFR 117.410(a)(2));
• Conducting supplier verification activities as required by §§ 117.430 and 117.435 (21 CFR
117.410(a)(3));
• Documenting supplier verification activities as required by § 117.475 (21 CFR
117.410(a)(4)); and
• When applicable, verifying a supply-chain-applied control applied by an entity other than the
receiving facility’s supplier and documenting that verification as required by § 117.475, or
obtaining documentation of an appropriate verification activity from another entity, reviewing
and assessing that documentation, and documenting the review and assessment as
required by § 117.475 (21 CFR 117.410(a)(5)).
See the discussion of the specific requirements of 21 CFR 117.405(c), 117.420, 117.425,
117.430, 117.435, and 117.475 in sections 15.6.4, 15.9, 15.10, 15.11, 15.12, and 15.13,
respectively.
15.7.2 Appropriate Supplier Verification Activities
Section 21 CFR 117.410(b) of subpart G specifies four appropriate supplier verification activities
for raw materials and other ingredients. We discuss these in sections 15.7.2.1 through 15.7.2.4.
15.7.2.1 Onsite audits (21 CFR 117.410(b)(1))
See 21 CFR 117.430(b), 21 CFR 117.435, 21 CFR 117.475(c)(7), and sections 15.11.2, 15.12,
and 15.13 for details about the requirements for onsite audits and our recommendations for how
to comply with those requirements.

15.7.2.2 Sampling and testing of the raw material or other ingredient

(21 CFR 117.410(b)(2))
Subpart G provides that sampling and testing of a raw material or other ingredient is an
appropriate supplier verification activity. (See 21 CFR 117.410(b)(2).) Such sampling and
testing can be on a periodic basis or on a lot-by-lot basis. We recommend that you establish the
frequency of such testing by first conducting the sampling and testing on a relatively frequent
basis (e.g., monthly) until the supplier establishes a good history of supplying an acceptable raw
material or other ingredient, after which time you could sample and test less frequently, such as
quarterly.
If you choose to use sampling and testing as a supplier verification activity, you should use
scientifically-based sampling plans that provide reasonable assurance that the hazard has been
significantly minimized or prevented and that address known limitations of sampling and testing
foods as a verification activity. For example, your sampling plan should take into consideration
whether a hazard is homogeneously distributed throughout the lot, and your selection of an
analytical method should consider whether food components could interfere with the method of
analysis, as well as whether the method is sensitive enough to detect a hazard that is present at
low concentrations. To address such limitations, we recommend that you obtain samples that
are representative of the lot, use a testing method that has been shown to provide reliable
results when the analyte of interest is within the food matrix you will be testing, and use a
method that has a sensitivity appropriate to detect that hazard.
See 21 CFR 117.475(c)(8) and section 15.13 for a list of required documentation when you
conduct sampling and testing as a supplier verification activity. See section 15.8.2.2 for a
discussion of the flexibility the rule provides for your supplier to conduct and document sampling
and testing of raw materials and other ingredients, for the hazard it controls, and provide such
documentation (such as in a Certificate of Analysis (COA)) to you in lieu of you conducting such
sampling and testing yourself.
15.7.2.3 Review of the supplier’s relevant food safety records (21 CFR
117.410(b)(3))
In general, by “relevant food safety records” we mean any records that will provide sufficient
documentation that your supplier is following the procedures your supplier established to control
a hazard and that the hazard has been controlled. Many such records relate to a particular lot of
a raw material or other ingredient provided to you, such as the record created when a
preventive control measure was applied. For example, if you produce frozen mixed vegetables
and rely on your supplier (the farm that grows the vegetables) to control pesticide residues in
the raw vegetables that you will use to produce the frozen mixed vegetables, and you determine
through supplier verification activities (e.g., periodic testing for pesticides) that your supplier
provided a vegetable with a pesticide level in excess of the approved tolerance for that
pesticide, you could obtain a copy of the pesticide application records from the farm that grows
the vegetables for a period of time adequate to demonstrate that problems that could lead to
excess pesticide levels have been resolved.
Relevant food safety records also include, when applicable, records demonstrating that your
supplier has verified control of a hazard by its own supplier. Such records could relate more
broadly to a supplier’s food safety procedures, such as records of your supplier’s audit of its
supplier’s food safety activities. For example, if you produce deli salads and obtain chopped

fresh vegetables from your supplier, you could obtain a copy of your supplier’s records
documenting his audits of the farms growing the vegetables.
Figure 1 shows an example of using relevant food safety records when the hazard requiring a
supply-chain-applied control is Salmonella that could contaminate black pepper and your
supplier (Supplier A) provides you with a spice mix containing black pepper that has been
steam-treated by Establishment B (earlier in the supply chain) to control Salmonella. One
relevant food safety record could be the applicable audit records resulting from an onsite audit
of Establishment B, which you could obtain from Supplier A. 5 The applicable audit records could
include copies of audit procedures, dates, conclusions of the audits, and any corrective actions
taken in response to significant deficiencies identified during the audit of Establishment B. If
Supplier A conducts additional verification activities such as periodic testing of the steam-
treated black pepper, you could also ask Supplier A to provide records of those activities to you
for your review. If you want to see documentation of the applicable parameters for the steam
treatment that Establishment B delivered to a lot of black pepper, you could obtain these
records either directly from Establishment B or from Supplier A.
5
Alternatively, Supplier A may request that Establishment B obtain a third-party audit. Thus,
Establishment B may also be able to provide applicable audit records for you to review.

Figure 1. Applicable Records When Supplier A Provides You With a Spice Mix Containing Black
Pepper That Has Been Steam-treated by Establishment B
Establishment B Supplier A Your Facility

spice mix with
Identification Steam treats black black pepper
Creates spice mix with black pepper Identifies Salmonella
and control of pepper to control for hazard in black pepper
treated black pepper
hazard Salmonella
Your Facility
Supplier A Supplier Verification of

Conducts and documents the hazard control through
following supplier verification review of supplier's
activities of Establishment B: relevant food safety
Supplier records:
verification Establishment B Supplier A's onsite audit of
activities by Establishment B - Review audit records of
Supplier A and Establishment B
OR
Your Facility
Other supplier verification activities - Review documentation
conducted by Supplier A of of applicable parameters
Establishment B (such as periodic for the steam treatment
testing of steam-treated black done by Establishment B
pepper)
(obtain from Supplier A
or Establishment B
directly)
or
Review Supplier A's
records of other activities
See 21 CFR 117.475(c)(9) and section 15.13 for a list of required documentation when you
conduct a review of the supplier’s relevant food safety records as a supplier verification activity.
15.7.2.4 Other appropriate supplier verification activities based on

supplier performance and the risk associated with the raw material or other
ingredient (21 CFR 117.410(b)(4))
Subpart G provides that you could conduct (and document) or obtain documentation of other
supplier verification activities that are appropriate based on your supplier’s performance and the
risk posed by the raw material or other ingredient. This means that you could specify and design
risk-based activities (other than an onsite audit, sampling and testing, and review of relevant
food safety records) that can provide effective supplier verification.
As one example, you could develop and use a fact-specific questionnaire or consider
information applicable to a supplier’s certification to a specific audit scheme, and you could use
such activities alone or in combination with other supplier verification activities. As another
example, if you determine and document that you would audit a supplier on a biennial rather

than annual basis as provided by 21 CFR 117.430(b)(2), you could review the records
demonstrating the results of the supplier’s environmental monitoring program during the year
that you do not conduct an audit.
See 21 CFR 117.475(c)(10) and section 15.13 for recommended documentation when you
conduct a supplier verification activity other than an onsite audit, sampling and testing, or review
of the supplier’s relevant food safety records.
15.7.3 Assurance that a Hazard Has Been Significantly Minimized or

Prevented
The supply-chain program in subpart G is a type of preventive control and, thus, must comply
with the requirements applicable to preventive controls in 21 CFR 117.135. Under 21 CFR
117.135(a), a preventive control provides assurance that any hazards requiring a preventive
control will be significantly minimized or prevented. To make this clear, 21 CFR 117.410(c)
specifies that the supply-chain program must provide assurance that a hazard requiring a
supply-chain-applied control has been significantly minimized or prevented. Suppliers that are
subject to the PCHF requirements in part 117 are required to develop and implement a food
safety plan that will significantly minimize or prevent hazards associated with the food
manufactured, processed, packed or held by the facility (21 CFR 117.126) and to document
they are following their plan (21 CFR 117.190). Suppliers subject to the produce safety
requirements in part 112 must take appropriate measures to minimize the risk of serious
adverse health consequences or death from the use of, or exposure to, covered produce,
including those measures reasonably necessary to prevent the introduction of known or
reasonably foreseeable hazards into covered produce, and to provide reasonable assurances
that the produce is not adulterated under section 402 of the FD&C Act on account of such
hazards. (See 21 CFR 112.11.)
15.7.4 Considerations in Approving Suppliers and Determining the

Appropriate Supplier Verification Activities and the Frequency with Which
They Are Conducted
As noted in section 15.7.1, subpart G specifies that you must approve suppliers and determine
appropriate supplier verification activities (including determining the frequency of conducting the
activity). (See 21 CFR 117.410(a)(1) and (a)(2).) Section 21 CFR 117.410(d)(1) specifies factors
that you must consider in approving suppliers and determining appropriate supplier verification
activities (including determining the frequency of conducting the activity). We discuss these
factors in sections 15.7.4.1 through 15.7.4.4. With one exception, the requirement to consider
each of these factors applies every time you approve a supplier for a raw material or other
ingredient, and every time that you determine the appropriate supplier verification activity for a
food received from that supplier. See a discussion of the exception, in 21 CFR 117.410(d)(2), in
section 15.7.4.5.
As noted in sections 15.8.1 and 15.8.2, only you can approve suppliers, but subpart G provides
some flexibility for another entity in the distribution chain to conduct certain other activities
related to supplier verification, and to provide you with applicable documentation of those
activities, to help you do so.

15.7.4.1 Hazard analysis
The first factor that you must consider in (1) approving suppliers, (2) determining appropriate
supplier verification activities, and (3) determining the frequency of conducting those activities is
the hazard analysis of the food, conducted in accordance with 21 CFR 117.130. (See 21 CFR
117.410(d)(1)(i).) To do so, you must consider the nature of the hazard controlled before receipt
of the raw material or other ingredient. (See 21 CFR 117.410(d)(1)(i).) Immediately below, we
explain the requirements of part 117 for a hazard analysis and provide recommendations for
how to consider the hazard analysis in approving suppliers, determining appropriate supplier
verification activities, and determining the frequency of those activities.
Part 117 requires that you conduct a hazard analysis to identify and evaluate, based on
experience, illness data, scientific reports, and other information, known or reasonably
foreseeable hazards for each type of food manufactured, processed, packed, or held at your
facility to determine whether there are any hazards requiring a preventive control. (See 21 CFR
117.130(a).) If you determine that there are any hazards that require a preventive control, with
few exceptions Part 117 further requires that you must identify and implement a preventive
control. (See 21 CFR 117.135(a).) When the preventive control will be applied to a raw material
or other ingredient before receipt, part 117 requires that you establish and implement a risk-
based supply-chain program for that raw material or other ingredient. (See 21 CFR 117.405.)
As part of your hazard analysis, you would evaluate the hazard to assess the severity of the
illness or injury if the hazard were to occur and the probability that the hazard will occur in the
absence of preventive controls. (See 21 CFR 117.130(c)(1)(i).) The outcome of this aspect of
the hazard evaluation impacts the type of verification activity you use (as well as the frequency
of conducting the activity). For example, when the hazard is one for which there is a reasonable
probability that exposure to the hazard will cause serious adverse health consequences or
death, in general you must conduct an annual onsite audit before using the raw material or other
ingredient from the supplier and at least annually thereafter. (See 21 CFR 117.430(b) and the
discussion in section 15.11.2.) For other hazards, the determination of supplier verification
activities, and the frequency of conducting those activities, also should be risk-based – i.e., the
greater the risk presented by the hazard, the more robust the verification activity, and the
greater the frequency of the verification.
As part of your hazard analysis, you also would evaluate environmental pathogens whenever a
ready-to-eat food is exposed to the environment prior to packaging and the packaged food does
not receive a treatment or otherwise include a control measure (such as a formulation lethal to
the pathogen) that would significantly minimize the pathogen. (See 21 CFR 117.130(c)(1)(ii).) If,
for example, you are purchasing a cheese to be used in an RTE product you make, and you
expect that a sanitation control will be applied to address the environmental pathogen Listeria
monocytogenes, you could ask to review the cheese producer’s written procedures for the
environmental monitoring it does to verify the sanitation controls. (See 21 CFR 117.165(b)(3).)
You also could periodically verify your supplier’s controls by sampling and testing the cheese for
L. monocytogenes. Because L. monocytogenes is a hazard for which there is a reasonable
probability that exposure to the hazard will cause serious adverse health consequences or
death, you also would conduct an annual onsite audit to verify that your supplier controls L.
monocytogenes when it manufactures the cheese by using a “kill step” such as pasteurization of
the milk used to make the cheese and sanitation controls to significantly minimize contamination
from L. monocytogenes in the environment, with environmental monitoring to verify controls for
L. monocytogenes.

For all hazards that require a supply-chain-applied control, we recommend that you use the
outcome of your hazard analysis to help you determine the extent of what you do to consider
supplier performance as required by 21 CFR 117.117.410(d)(1)(iii) (see the discussion in
section 15.7.4.3). The greater the risk presented by the hazard, the more stringently you should
assess supplier performance as a mechanism to reduce the risk presented by the hazard.
15.7.4.2 Entity controlling the hazard
The second factor that you must consider in (1) approving suppliers, (2) determining appropriate
supplier verification activities, and (3) determining the frequency of conducting those activities is
the entity or entities that will be applying controls for the hazards requiring a supply-chain-
applied control. (See 21 CFR 117.410(d)(1)(ii).) For example, the entity that applies the
appropriate preventive control could be your direct supplier or your supplier’s supplier. If the
control is not applied by your direct supplier, you would direct your supplier verification activities
to your supplier’s supplier, but there is some flexibility in how you could do this.
Figure 2 shows an example in which you obtain a seasoning mix from Supplier X. Supplier X
made the seasoning mix by blending milk powder (produced by Establishment Y) and a spice
blend (produced by Establishment Z). You identify Salmonella as a hazard in the seasoning mix,
and you learn from Supplier X (your direct supplier) that it does not apply a control for
Salmonella in its blending operation. Instead, Establishment Y applies a process control for
Salmonella in the milk powder and Establishment Z applies a process control for Salmonella in
the spice blend. Although Supplier X is your “supplier,” Supplier X also is a receiving facility
(because Supplier X is a manufacturer) and, thus, would have conducted appropriate supplier
verification activities, such as auditing its suppliers (or obtaining audits) and sampling and
testing the milk and the spices, to ensure that they have used proper controls. (See section
15.11.1 for a discussion of when an audit is required for certain hazards and the exception to
that requirement.) With respect to supplier verification activities for Establishments Y and Z,
Subpart G provides that you could rely on documentation provided by Supplier X to you
regarding Supplier X’s supplier verification activities. (See 21 CFR 117.415(a)(3).) Alternatively,
you could conduct the appropriate supplier verification activities with respect to Establishments
Y and Z yourself, or you could rely on documentation from Supplier X for some supplier
verification activities with respect to Establishments Y and Z and conduct other supplier
verification activities with respect to Establishments Y and Z yourself. You also would determine
an appropriate supplier verification activity and associated frequency for Supplier X.

Figure 2. Supplier X makes a seasoning mix by blending milk powder (produced by Establishment
Y) and a spice blend (produced by Establishment Z)
Establishment Y
Process control for
Salmonella during milk powder Supplier X
manufacture of milk
powder Creates seasoning mix with Your Facility
Identification processed milk powder and
seasoning mix Identifies Salmonella
spice blend; identifies
and control of hazard in seasoning mix
hazard, but does not apply
hazard Establishment Z
its own controls
Process control for
Salmonella applied to
spice blend spice blend
Your Facility
Supplier X Supplier verification of hazard
Does not apply its own control through:
controls, but does conduct
and document supplier Review Supplier X
verification of documention of its supplier
Establishment Y verification activities of
Establishments Y and Z:
Establishments Y and Z
Supplier
Appropriate supplier
verification verification activities could Alternatively
activities by include auditing or
Supplier X and obtaining an audit of - Conduct appropriate
Your Facility Establishments Y and Z and supplier verification
sampling and testing the actitivites of Establishments
milk and spices to ensure Y and Z directly (e.g., audit).
Establishment Z that suppliers used proper OR
- Conduct some supplier
verification activities of
yourself and rely on
documentation from Supplier
X for others.
In determining whether to approve a supplier that relies on its own supplier to control the hazard
requiring a supply-chain-applied control, we recommend you consider the robustness of the
entity’s supplier approval process and supplier verification activities.
15.7.4.3 Supplier performance
The third factor that you must consider in approving suppliers, determining appropriate supplier
verification activities, and determining the frequency of conducting those activities is supplier
performance. (See 21 CFR 117.410(d)(1)(iii).) Considering supplier performance includes:
• The supplier’s procedures, processes, and practices related to the safety of the raw material
and other ingredients (21 CFR 117.410(d)(1)(iii)(A));
• Applicable FDA food safety regulations and information relevant to the supplier’s compliance
with those regulations, including an FDA warning letter or import alert relating to the safety
of food and other FDA compliance actions related to food safety (or, when applicable,
relevant laws and regulations of a country whose food safety system FDA has officially

recognized as comparable or has determined to be equivalent to that of the United States,

and information relevant to the supplier’s compliance with those laws and regulations) (21
CFR 117.410(d)(1)(iii)(B)); and
• The supplier’s food safety history relevant to the raw materials or other ingredients that the
receiving facility receives from the supplier, including available information about results
from testing raw materials or other ingredients for hazards, audit results relating to the safety
of the food, and responsiveness of the supplier in correcting problems (21 CFR
117.410(d)(1)(iii)(C)).
As noted in section 15.7.4.1 regarding your hazard analysis as the first factor to consider, the
greater the risk presented by the hazard, the more stringently you should assess supplier
performance as a mechanism to reduce the risk presented by the hazard.
15.7.4.3.1 Supplier’s procedures, processes, and practices
Understanding the supplier’s procedures, processes, and practices related to the safety of the
raw material and other ingredients can help you understand the supplier’s strengths and
weaknesses. Mechanisms to do so include:
• Conducting a supplier “pre-assessment” questionnaire or survey to gather information about

the supplier’s operation, covering topics such as product information (e.g., regulatory
compliance information and allergen information) and the supplier’s food safety programs
(e.g., a Hazard Analysis and Critical Control Point (HACCP) program, a sanitation control
program, and an allergen control program);
• Asking the supplier to provide documents such as a food safety plan or HACCP plan (if
applicable) and third-party food safety and good manufacturing practice audit results;
• Conducting a pre-approval site visit to assess programs and process capabilities; and
• Using a system with defined metrics to evaluate supplier performance, including compliance
to specifications, third-party audit scores, number of recalls, mock recall performance,
material rejections/complaints, and issue response time (e.g., the supplier’s timeframe for
resolving a food safety issue).
15.7.4.3.2 Applicable food safety regulations
You should determine what FDA food safety regulations a potential supplier is subject to, such
as the CGMP and PCHF requirements (21 CFR part 117), the produce safety regulation (21
CFR part 112), the requirements applicable to low-acid canned foods (21 CFR parts 108 and
113), the requirements applicable to acidified foods (21 CFR parts 108 and 114), or other
relevant food safety provisions. In evaluating the supplier’s compliance with the relevant
regulations, you should consider whether the supplier is the subject of an FDA warning letter,
import alert, or other FDA compliance action related to food safety (e.g., mandatory recall). See
our Web site “Supplier Evaluation Resources” (FDA, 2016d) for resources that are available to
help you evaluate the supplier’s compliance with relevant FDA regulations.
Having an understanding of applicable FDA food safety regulations and information relevant to
the supplier’s compliance with those regulations can help you determine whether the supplier
has a demonstrable history of supplying acceptable products and meeting all industry and
regulatory requirements. Mechanisms to do so include:
• Asking the supplier to provide documentation of any recent regulatory inspections on file;

• Searching our online databases for warning letters, import alerts, import refusals, recalls,
and inspections. All of these databases are available to the public from our Web site
“Supplier Evaluation Resources” (FDA, 2016d).
• Searching for actions that we publicize, such as food outbreak investigations and
suspension of a facility’s registration. We generally make these available from the
homepage for our human food program at http://www.fda.gov/Food/default.htm.
You should use this information to inform your decisions about whether you will approve a
supplier, the type of verification activity you would use if you do approve the supplier, and the
frequency of conducting the verification activity. Being subject to an FDA enforcement action
such as a warning letter or an import alert should not necessarily disqualify a supplier. However,
you should consider carefully the actions a supplier has taken as a result of regulatory
compliance issues along with how it impacts your approval of that supplier and your verification
activities.
Part 117 includes several provisions that reflect that some suppliers operate in a foreign
country. (See, e.g., the definition of “qualified auditor in 21 CFR 117.3 and the provisions of 21
CFR 117.405(a)(2), 117.430(c), 117.435(c)(1)(ii), 117.435(c)(2), and 117.475(c)(15).) When the
supplier is in a foreign country whose food safety system FDA has officially recognized as
comparable or determined to be equivalent to that of the United States, you may consider
relevant laws and regulations of that country, and information relevant to the supplier’s
compliance with those laws and regulations. (See 21 CFR 117.410(d)(1)(iii)(B).) Thus, having
an understanding of applicable laws and regulations in a foreign country can help you consider
supplier performance when FDA has officially recognized that country’s food safety system as
comparable or determined it is equivalent to that of the United States. For example, just as you
could ask a domestic supplier to provide documentation of any recent regulatory inspections on
file, you could ask a foreign supplier that is in a foreign country whose food safety system FDA
has officially recognized as comparable or determined to be equivalent to that of the United
States to provide documentation of an inspection conducted by the applicable food safety
authority. As of the date of this guidance, FDA has a Food Safety Systems Recognition
Arrangement with Australia (FDA, 2017), Canada (FDA, 2016b), and New Zealand (FDA,
2015a). To determine whether we have a Food Safety Systems Recognition Arrangement or
other cooperative arrangement with a foreign country, you can search the “Cooperative
Arrangements” Web page (FDA, 2016a) of our “International Arrangements” Web page (FDA,
2015b) of our internet site directed to International Programs (FDA, 2016c).
15.7.4.3.3 Supplier’s food safety history
Before you became subject to the requirements of subpart G, you could already have
established a relationship with your suppliers and have information related to audits or have the
results of sampling and testing that provide a history of how the supplier has met your
specifications. If so, you already could be aware of past problems with raw materials or other
ingredients provided by the supplier, and the steps the supplier took to address such problems.
You may consider such prior relationships as part of your consideration of the supplier’s food
safety history. Likewise, as time goes on and you conduct appropriate supplier verification
activities to comply with the requirements of subpart G, you would consider this same type of
information for suppliers that you approve in compliance with subpart G.
You should focus your consideration of the supplier’s food safety history on the hazard that the
supplier is controlling because that is the most relevant information. However, you should also
consider other information about the supplier, e.g., information regarding recalls or regulatory

actions. For example, if you are obtaining a product from a supplier that is controlling a microbial
hazard (e.g., Salmonella in a spice blend) and food from this supplier has been associated with
a chemical hazard (e.g., excess sulfites in another spice blend it produces), you should consider
whether you should implement verification activities related to control of sulfites to prevent
excess sulfites in the spice blend you receive for a period of time adequate to demonstrate that
problems that could lead to excess sulfites levels have been resolved.
15.7.4.4 Other factors
Section 117.410(d)(1)(iv) specifies that you must consider any other factors as appropriate and
necessary, such as storage and transportation practices, in approving suppliers, determining
appropriate supplier verification activities, and determining the frequency of conducting those
activities. For example, if you are receiving raw materials or other ingredients that support the
growth of mold that could produce mycotoxins during storage if temperature and moisture are
not controlled, you should consider the procedures that the supplier uses to control factors
impacting growth of mold during the time the supplier stores the raw materials or other
ingredients being supplied. As another example, if you are receiving raw materials or other
ingredients that need temperature control during transportation to ensure their safety, you
should consider the ability of the supplier to ensure control of temperature during transportation
if the supplier will be responsible for that activity. As another example, if you are obtaining a raw
material or other ingredient from a facility that is owned by your corporate parent you may
consider your knowledge of corporate-wide food safety procedures, processes, and practices in
determining the type of supplier verification activity and the frequency with which it is conducted.
See also the discussion in section 15.6.2 of a circumstance where an individual at the corporate
level is the PCQI for the purposes of the supply-chain program.
15.7.4.5 Exception to the full requirements for considerations for

approving suppliers and determining appropriate supplier verification
activities
Section 117.410(d)(2) provides that considering supplier performance can be limited to the
supplier’s compliance history (as required by 21 CFR 117.410(d)(1)(iii)(B)), if the supplier is: (i)
A qualified facility as defined by 21 CFR 117.3; (ii) a farm that grows produce and is not a
covered farm under 21 CFR part 112 in accordance with 21 CFR 112.4(a), or in accordance
with 21 CFR 112.4(b) and 112.5; or (iii) a shell egg producer that is not subject to the
requirements of 21 CFR part 118 because it has less than 3,000 laying hens.
15.7.5 Supplier Nonconformance
Section 117.410(e) specifies that if you determine through auditing; verification testing;
document review; relevant consumer, customer or other complaints; or otherwise that the
supplier is not controlling hazards that you have identified as requiring a supply-chain-applied
control, you must take and document prompt action in accordance with 21 CFR 117.150
(Corrective actions and corrections) to ensure that raw materials or other ingredients from the
supplier do not cause food that you manufacture or process to be adulterated under section 402
of the FD&C Act or misbranded under section 403(w) of the FD&C Act.
We recommend that you establish processes and procedures to handle supplier

nonconformance situations. The appropriate actions you take in response to nonconformance
will depend on the circumstances and the specific root cause of the nonconformance and could
include:

• Discontinuing use of the supplier until the cause or causes of nonconformance, adulteration,
or misbranding are adequately addressed;
• Notifying the supplier of the problem and requesting documentation of corrective actions
taken by the supplier;
• Assisting the supplier’s efforts to correct and prevent recurrence of the problem;
• Revising your supply-chain program; and
• Conducting, or working with your supplier to conduct, a recall of an adulterated or
misbranded food.
15.8 Responsibilities of the Receiving Facility (21 CFR 117.415)

Section 117.415 describes your responsibilities as a receiving facility. As noted in section
15.3.2, subpart G includes provisions that provide for an entity other than you to conduct certain
activities, provided that you review and assess the entity’s applicable documentation, and
document that review and assessment. Section 117.415 both specifies this flexibility provided
by subpart G and places some bounds on that flexibility. We discuss this flexibility and its
bounds in sections 15.8.1 through 15.8.4.
15.8.1 Your Responsibility to Approve Suppliers
Section 117.415(a)(1) specifies that the receiving facility must approve suppliers. Although 21
CFR 117.415(a)(2) through (a)(4) provide some flexibility for other entities to determine and
conduct appropriate supplier verification activities (see section 15.8.2), ultimately the receiving
facility is responsible for its supply-chain program (see the discussion in the final rule
establishing part 117, 80 FR 55908 at 56097). See section 15.7.4 for considerations in
approving suppliers and section 15.9 for the requirements to approve suppliers before receiving
raw materials and other ingredients from those suppliers and have written procedures for
receiving raw materials and other ingredients.
As noted in section 15.6.1, the definition of “supplier” in part 117 means that a broker or
distributor is not a supplier; the supplier is the establishment that manufactures/processes the
food, raises the animal, or grows the food. Thus, if you buy raw materials or other ingredients
from a broker or distributor, you should ask the broker or distributor to provide you with
information that allows you to approve the establishment that manufactures/processes the food,
raises the animal, or grows the food as a supplier of the food that you purchase from that broker
or distributor. Likewise, if you purchase raw materials or other ingredients from a retail
establishment (e.g., a warehouse-style establishment that sells to consumers), some applicable
information (e.g., name and place of business of the manufacturer, packer, or distributor) would
be on the product label as required by food labeling regulations. (See 21 CFR 101.5.) Also, you
could ask the retail establishment to provide you with information that allows you to evaluate the
establishment that manufactures/processes the food, raises the animal, or grows the food.
15.8.2 Your Responsibility to Determine and Conduct Appropriate Supplier

Verification Activities
Section 117.415(a)(2) specifies that the receiving facility must determine and conduct
appropriate supplier verification activities, and satisfy all documentation requirements of subpart

G. However, sections 117.415(a)(3) and (4) provide some flexibility for other entities to
determine and conduct supplier verification activities on behalf of the receiving facility. See
section 15.7.4 for considerations in determining appropriate supplier verification activities and
the frequency of conducting them.
15.8.2.1 Flexibility for another entity to determine, conduct, and

document appropriate supplier verification activities
Under 21 CFR 117.415(a)(3), an entity other than the receiving facility may do any of the
following, provided that the receiving facility reviews and assesses the entity’s applicable
documentation, and documents that review and assessment:
• Establish written procedures for receiving raw materials and other ingredients by the entity
(21 CFR 117.415(a)(3)(i));
• Document that written procedures for receiving raw materials and other ingredients are
being followed by the entity (21 CFR 117.415(a)(3)(ii)); and
• Determine, conduct, or both determine and conduct the appropriate supplier verification
activities (21 CFR 117.415(a)(3)(iii)), with appropriate documentation.
Although we specify that these activities are your responsibility, subpart G accounts for one or
more entities in the supply chain between you and “the supplier” by providing some flexibility for
these entities to perform certain activities.
15.8.2.2 Supplier verification activities that the supplier can conduct

and document
Under 21 CFR 117.415(a)(4), the supplier may conduct and document sampling and testing of
raw materials and other ingredients, for the hazard controlled by the supplier, as a supplier
verification activity for a particular lot of product and provide such documentation to the
receiving facility. However, 21 CFR 117.415(a)(4) also requires that you review and assess that
documentation, and document that review and assessment. An example of documentation of
the results of sampling and testing is a COA, whether of periodic testing or lot-by-lot testing of
the raw material or ingredient.
We recommend that a COA document that major analytical parameters for the specific foods, or
lots, contained in a specific shipment have been met (see, e.g., GMA, 2008). Testing can be
performed by the supplier’s in-house laboratory or contracted to an outside testing laboratory.
The laboratory conducting the testing should use scientifically valid laboratory methods and
procedures that can provide reliable, accurate test results.
15.8.3 What You May Not Accept from a Supplier as a Supplier Verification
Activity
Section 117.415(b) specifies that a receiving facility may not accept any of the following as a
supplier verification activity from its supplier:
• A determination by its supplier of the appropriate supplier verification activities for that
supplier (21 CFR 117.415(b)(1));
• An audit conducted by its supplier of that supplier (21 CFR 117.415(b)(2));

• A review by its supplier of that supplier’s own relevant food safety records (21 CFR
117.415(b)(3)); or
• The conduct by its supplier of other appropriate supplier verification activities for that
supplier (21 CFR 117.415(b)(4)).
The only supplier verification activities in which the supplier can play a role are sampling and
testing (see section 15.8.2.2) and providing an audit of the supplier conducted by a third party
(see section 15.8.4).
15.8.4 Audit Provided by the Supplier
Under 21 CFR 117.415(c), your responsibilities as a receiving facility do not prohibit you from
relying on an audit provided by your supplier when the audit of the supplier was conducted by a
third-party qualified auditor in accordance with the requirements of subpart G applicable to
audits (i.e., 21 CFR 117.430(f) and 117.435). We discuss these requirements applicable to
audits in sections 15.11.6 and 15.12, respectively.
15.9 Using Approved Suppliers (21 CFR 117.420)

As noted in sections 15.7.1 and 15.8.1, subpart G requires that a receiving facility approve
suppliers. (See 21 CFR 117.410(a)(1) and 117.415(a)(1).)
15.9.1 Approving Suppliers
Section 117.420(a) specifies that the receiving facility must approve suppliers in accordance
with the requirements of 21 CFR 117.410(d), and document that approval, before receiving raw
materials and other ingredients from those suppliers. As discussed in section 15.7.4, 21 CFR
117.410(d) both specifies factors that you must consider in approving suppliers and determining
appropriate supplier verification activities and provides for an exception to the full requirements
for considering these factors.
15.9.2 Written Procedures for Receiving Raw materials and Other

Ingredients
Section 117.420(b) specifies that:
• Written procedures for receiving raw materials and other ingredients 6 must be established
and followed (21 CFR 117.420(b)(1));
• The written procedures for receiving raw materials and other ingredients must ensure that
raw materials and other ingredients are received only from approved suppliers (or, when
necessary and appropriate, on a temporary basis from unapproved suppliers whose raw
materials or other ingredients are subjected to adequate verification activities before
acceptance for use) (21 CFR 117.420(b)(2)); and
6
As noted in the list of terms in section 15.5, part 117 defines the term “written procedures for receiving
raw materials and other ingredients” to mean written procedures to ensure that raw materials and other
ingredients are received only from suppliers approved by the receiving facility (or, when necessary and
appropriate, on a temporary basis from unapproved suppliers whose raw materials or other ingredients
are subjected to adequate verification activities before acceptance for use). We defined this term to
simplify the provisions discussing these procedures.

• Use of the written procedures for receiving raw materials and other ingredients must be
documented (21 CFR 117.420(b)(3)).
You have flexibility to design appropriate written procedures that are tailored to your facility and
operations for receiving raw materials and other ingredients. The goal of these written
procedures is to ensure that you can accurately identify approved suppliers and incorporate
changes to your suppliers in a timely and accurate way (e.g., addition of new approved
suppliers, deletion of suppliers no longer deemed approved, criteria for approving temporary
suppliers). Procedures to ensure that raw materials or other ingredients are only received from
approved suppliers allow consistent implementation of the supplier program by personnel who
order raw materials and other ingredients, personnel who receive raw materials and other
ingredients, and personnel who conduct supplier verification activities. Such procedures also
can be part of training of personnel who will have responsibility for receiving raw materials and
other ingredients.
The use of written procedures for receiving raw materials and other ingredients is particularly
important in light of the flexibility subpart G provides for an entity other than you (such as an
entity in the supply chain between you and the supplier) to conduct this activity. (See 21 CFR
117.415(a)(2).) Although such an entity can do this as a service to you, a written procedure is
appropriate to ensure a robust and meaningful verification. If you purchase from a broker or
distributor, you must approve the suppliers of the raw materials or other ingredients you buy
from the broker/distributor (see sections 15.8.1 and 15.9.1), but the broker/distributor could
document that written procedures are being followed to ensure that the raw materials and other
ingredients provided to you only come from suppliers that you have approved. The
broker/distributor would provide this documentation to you (e.g., in documents accompanying
the shipment) for you to review and assess. Thus, if you rely on a broker/distributor to ensure
that the raw materials and other ingredients provided to you only come from suppliers that you
have approved, you and the broker/distributor you buy from should agree on the written
procedures for how the broker/distributor will document that raw materials or other ingredients
are received only from suppliers approved by you. For example, the broker/distributor could
have a checklist that an employee dates and initials after reviewing the invoice from the
supplier, and send a copy of that dated checklist to you together with the invoice for the raw
materials or other ingredients. You could use an electronic system or specific supply chain
management software to document receipt of the raw material or other ingredient and review of
checklist from the broker/distributor at the time of receipt. Below, we discuss the use of
checklists and computer systems in more detail.
One approach to a written procedure for ensuring that raw materials and other ingredients are
only received from approved suppliers is to maintain and use an actual “approved supplier list”
to ensure that only suppliers from the lists are used for the purchase of raw materials or other
ingredients (Zaura, 2005). One example of this approach is a simple paper system where the
receiving personnel or quality control/assurance personnel check the origin of the purchased
materials (IFS, 2012) and refer to a list of approved suppliers to verify that the raw material or
ingredient is received from an approved supplier (SQFI, 2014) (e.g., put a check mark on the
receiving document if the supplier is an approved supplier).
Another approach to a written procedure for ensuring that raw materials and other ingredients
are only received from approved suppliers is a computer system or specific supply chain
management software that manages the procurement, receipt, and usage of raw materials and

other ingredients. An example of this approach is for authorized personnel from the receiving
facility or its corporate headquarters to enter approved suppliers and approved raw materials
and other ingredients into the computerized system. When raw materials and other ingredients
are delivered to a facility, the receiving personnel cross reference the purchase order number,
supplier name, and material received with the information previously entered into the computer
system to verify the materials are from an approved supplier and the order is correct. Typically
the computer system would also have a safeguard mechanism to prevent the acceptance of a
raw material or other ingredient from an unapproved supplier. On an as needed basis, a facility
or its corporate headquarters can use the computer system to generate a list of the approved
suppliers and approved raw materials or ingredients in real time.
Another approach to a written procedure for ensuring that raw materials and other ingredients
are only received from approved suppliers is use of computer programs that link inputs on items
received with the list of approved suppliers for that item and flag discrepancies. You could either
use your existing receiving record system or modify your existing receiving record system to
record information regarding receipt from approved suppliers.
Subpart G accounts for emergency situations in which you would need to receive raw materials
or other ingredients on a temporary basis from an unapproved supplier (See 21 CFR
117.420(b)(2) and SQFI, 2014.) Examples of such situations are disruptions in delivery of raw
materials and other ingredients from approved suppliers due to:
• An environmental incident (e.g., an earthquake) or weather-related incident (e.g., a tornado

or severe drought or flooding in the area where the supplier is located);
• A major equipment breakdown at the facility of a sole supplier of a food;
• The emergence of a contamination problem at your supplier’s facility; or
• Your supplier ceases operations without giving you advance notification.
For an unapproved supplier that you plan to use on a temporary basis, we recommend that you
conduct at least a minimal review of the supplier. For example, we suggest that you review
FDA’s Web site to determine whether the potential supplier has received a warning letter or is
listed on an import alert. In addition, if you need to use an unapproved supplier under such
unexpected circumstances, you must subject the applicable raw materials or other ingredients
to adequate verification activities before acceptance for use. (See 21 CFR 117.420(b)(2).) For
example, if you are receiving a raw material or ingredient such as black pepper and your
supplier controls Salmonella, you could sample and test each shipment of food from the supplier
for Salmonella using a statistically-based sampling plan. Alternatively, you could obtain and
review records of the process that the temporary supplier uses to kill Salmonella in the black
pepper.
You should use unapproved suppliers only on a temporary basis until you are able to fully
evaluate and approve a new supplier, or until the problem with your previously approved
supplier has been corrected and, as appropriate, you reevaluate your approval of that supplier.
An appropriate time period for use of an unapproved supplier on a temporary basis might vary,
depending on the circumstances, from a few weeks to a few months. For example, if your
approved supplier ceases operations and you intend to continue to use a temporary supplier,
you should promptly evaluate the new supplier and revise your supply-chain program
accordingly. If you are considering multiple new suppliers to replace your approved supplier,

you may need some additional time to evaluate and approve the additional suppliers. As
another example, it could be the case that you expect to be able to obtain the food from the
approved supplier in a few weeks, but you subsequently determine that it may take several
months or an indefinite period of time before you can obtain the food from the approved supplier
because of an equipment breakdown or a weather-related incident. In that circumstance, you
may determine that you want to use your temporary supplier or another supplier on a more
permanent basis. If that occurs, you should promptly evaluate and approve the new supplier
and revise your supply-chain program to reflect this. Having multiple suppliers approved for
each raw material or ingredient you receive can reduce the use of temporary suppliers when
one supplier becomes unavailable.
How you document use of the written procedures for receiving raw materials and other
ingredients depends on what your procedures are and how you implement them. For example, if
you use a checklist, or put a check mark on the receiving document if the supplier is an
approved supplier, then the checklist or receiving document would be your documentation. If
you use a computerized system, you can generate records, such as a list of approved suppliers
and a list of approved raw materials and other ingredients received from those suppliers on an
as needed basis. If you receive documentation from another entity that has documented the
receipt of raw materials or other ingredients from suppliers you have approved, you would
review that documentation to verify that it is correct and document your assessment (e.g., with a
notation on the documentation you received or in a computerized receiving log).
If you receive raw materials or other ingredients on a temporary basis from an unapproved
supplier, remember that subpart G requires you to subject raw materials or other ingredients
from that unapproved supplier to adequate verification activities before you accept the raw
materials or other ingredients for use. (See 21 CFR 117.420(b)(3).) To satisfy this requirement,
you should document the verification activities that you conducted before accepting raw
materials or other ingredients from a temporary supplier.
15.10 Determining Appropriate Supplier Verification Activities

(Including Determining the Frequency of Conducting the Activity) (21
CFR 117.425)
Section 21 CFR 117.425 requires that appropriate supplier verification activities (including the
frequency of conducting the activity) be determined in accordance with the requirements of 21
CFR 117.410(d). Section 21 CFR 117.410(d) specifies the considerations in approving suppliers
and determining the appropriate supplier verification activities and the frequency with which they
are conducted. For details about the requirements of 21 CFR 117.410(d) and our
recommendations for complying with those requirements, see section 15.7.4.
15.11 Conducting Supplier Verification Activities for Raw Materials

and Other Ingredients (21 CFR 117.430)
Section 21 CFR 117.430 specifies requirements to conduct one or more of the supplier
verification activities specified in 21 CFR 117.410(b), provides for alternative supplier verification
activities in certain circumstances, and prohibits certain financial conflicts of interest. We
discuss these provisions in sections 15.11.1 through 15.11.6.

15.11.1 Requirement to Conduct Supplier Verification Activities
With some exceptions, 21 CFR 117.430(a) requires that one or more supplier verification
activities (i.e., onsite audit, sampling and testing, review of food safety records, and other
supplier verification activities) 7 must be conducted for each supplier before using the raw
material or other ingredient from that supplier and periodically thereafter. The exceptions to this
requirement are specified in 21 CFR 117.430(c), (d), and (e). See the discussion of the
exceptions to this requirement in sections 15.11.3 through 15.11.5.
A successful supplier program includes supplier verification activities both before the use of the
raw material or other ingredient and periodically thereafter to evaluate ongoing compliance
(ASTA, 2011; Edleman, 2012; Eldridge, 2012; ERG, 2004; Neumann, 2009; Zaura, 2005).
Periodic verification provides routine feedback on the supplier’s performance, rather than only
when a problem arises (Zaura, 2005).
Subpart G includes specific requirements for conducting onsite audits (21 CFR 117.435) and for
documenting the conduct of supplier verification activities (21 CFR 117.475). See sections
15.11.2 and 15.12 for discussions of conducting an onsite audit as a supplier verification
activity. See section 15.13 for a discussion of documenting of supplier verification activities.
15.11.2 Specific Requirements When the Hazard Requiring a Preventive

Control is a SAHCODH Hazard
15.11.2.1 Requirement for an onsite audit when the hazard requiring a

preventive control is a SAHCODH hazard
With one exception (see section 15.11.2), 21 CFR 117.430(b)(1) requires that when a hazard in
a raw material or other ingredient will be controlled by the supplier and is one for which there is
a reasonable probability that exposure to the hazard will result in serious adverse health
consequences or death to humans (SAHCODH hazard):
• The appropriate supplier verification activity is an onsite audit of the supplier (21 CFR
117.430(b)(1)(i)); and
• The audit must be conducted before using the raw material or other ingredient from the
supplier and at least annually thereafter (21 CFR 117.430(b)(1)(ii)).
SAHCODH hazards are those for which a recall of a violative product posing such a hazard is
designated as “Class 1” under 21 CFR 7.3(m)(1) (i.e., a situation in which there is a reasonable
probability that the use of, or exposure to, a violative product will cause serious adverse health
consequences or death). Examples of such hazards that, in some circumstances, have resulted
in serious adverse health consequences or death to humans include pathogens or their toxins in
RTE foods and undeclared food allergens. Foods (other than dietary supplements or infant
formula) containing a SAHCODH hazard are considered “reportable foods,” subject to the
Reportable Food Registry requirements prescribed by the Food and Drug Administration
Amendments Act of 2007. See our “Guidance for Industry: Questions and Answers Regarding
the Reportable Food Registry as Established by the Food and Drug Administration
7
The list of appropriate supplier verification activities is specified in 21 CFR 117.410(b). The receiving
facility determines which activity to conduct in accordance with 21 CFR 117.410(d). See the discussion of
the appropriate supplier verification activities in section 15.4.2. See the discussion of determining
appropriate supplier verification activities in section 15.4.4.

Amendments Act of 2007” (FDA, 2009 and FDA, 2010), and the annual reports of the
Reportable Food Registry (e.g., FDA, 2016e.) for examples of foods that we have considered to
be SAHCODH hazards.
Onsite audits provide the opportunity to review the food safety plan and written procedures and
to observe the implementation of food safety procedures, as well as to review the records
related to the past application of control measures, including laboratory test results. Audits also
provide the opportunity to interview employees to assess their understanding of the food safety
measures for which they are responsible.
The goal of conducting an audit “at least annually thereafter” is to receive the results of an audit
with sufficient frequency to provide assurance that a hazard requiring a supply-chain-applied
control has been significantly minimized or prevented. We realize there could be practical
reasons which preclude meeting this timeframe, e.g., if a third-party auditor needs to delay a
previously scheduled audit. We do not expect to take action if the timeframe between annual
audits is reasonably close to one year (e.g., within 13-14 months).
For specific requirements that apply to an audit, see 21 CFR 117.435 and section 15.12. For a
discussion of documentation associated with an audit, see section 15.13.
15.11.2.2 Exception to the requirement for an onsite audit when the

hazard requiring a preventive control is a SAHCODH hazard
The exception to the requirement to conduct an annual onsite audit when the hazard requiring a
preventive control is a SAHCODH hazard is when there is a written determination that other
verification activities and/or less frequent onsite auditing of the supplier provide adequate
assurance that the hazards are controlled. (See 21 CFR 117.430(b)(2).) The written
determination is part of your food safety plan and, thus, must be prepared by (or under the
oversight of) your PCQI (see the discussion in section 15.6.5).
As an example of using an alternative approach to an annual onsite audit, consider the situation
in which you are part of a larger corporation, are making trail mix, and obtain roasted peanuts
from a supplier that is a subsidiary of the corporation and is operating under the same food
safety system as you. You could determine that the food safety requirements established by the
parent company and applied at the subsidiary provide the needed assurance that Salmonella in
raw peanuts is adequately controlled. You could support your decision by documenting this
determination, including the supplier’s procedures and the corporation’s activities to verify that
the subsidiary operates in accordance with corporate food safety policies to ensure that hazards
are adequately controlled. See also the discussion in section 15.6.2 of a circumstance where an
individual at the corporate level is the PCQI for the purposes of the supply-chain program.
However, if a SAHCODH hazard is identified for the food and you conclude that annual onsite
auditing is not required, we recommend that your supplier verification activities generally include
some frequency of onsite auditing, such as every 2 or 3 years for most suppliers not in your
same corporate structure. For example, consider the situation in which you have many years of
experience with the same supplier. You could document the history of the supplier’s compliance
with control of the hazard (including summarizing test results, audit findings and other
information) to support your decision that an annual onsite audit is not needed. You would
identify appropriate supplier verification activities and document these in your supply-chain
program, e.g., you could determine and describe in your written program that you will require an
audit every two years and sample and test for the hazard each quarter in the intervening year.

15.11.3 Alternative Supplier Verification Activity If the Supplier Is a

“Qualified Facility”
Section 21 CFR 117.430(c) provides for an alternative supplier verification activity if a supplier is
a qualified facility as defined by 21 CFR 117.3. If this is the case, you do not need to comply
with the requirements to conduct one of the supplier verification activities specified in 21 CFR
117.410(b) (i.e., audit, sampling and testing, review of the supplier’s relevant food safety
records, or other appropriate supplier verification activity), or conduct an annual onsite audit if
the hazard requiring a preventive control is a SAHCODH hazard, if you:
• Obtain written assurance that the supplier is a qualified facility as defined by § 117.3:
o Before first approving the supplier for an applicable calendar year; and
o On an annual basis thereafter, by December 31 of each calendar year, for the
following calendar year; and
• Obtain written assurance, at least every 2 years, that the supplier is producing the raw
material or other ingredient in compliance with applicable FDA food safety regulations (or,
when applicable, relevant laws and regulations of a country whose food safety system FDA
has officially recognized as comparable or has determined to be equivalent to that of the
United States). The written assurance must include either:
o A brief description of the preventive controls that the supplier is implementing to
control the applicable hazard in the food; or
o A statement that the facility is in compliance with State, local, county, tribal, or other
applicable non-Federal food safety law, including relevant laws and regulations of
foreign countries.
A facility is a qualified facility if it is a very small business as that term is defined in part 117. See
the definitions for “qualified facility” and “very small business” in 21 CFR 117.3 and in the list of
terms in section 15.5. A qualified facility is not subject to the PCHF requirements for hazard
analysis and risk-based preventive controls, including the requirement to have a supply-chain
program. It is the responsibility of the supplier to determine whether it is a qualified facility; it is
your responsibility to obtain written assurance from the supplier that it is a qualified facility.
By specifying “by December 31” for the annual written assurance that the supplier is a qualified
facility, the provision provides some flexibility for you to work with each applicable supplier to
determine the specific date within a calendar year for that supplier to annually notify you about
its status. You and your suppliers have some flexibility to approach the potential for the status of
a facility to shift between “qualified facility” and “not a qualified facility” (or vice versa) in a way
that works best for your specific business relationship.
The biennial written assurance aligns with the responsibilities of a qualified facility to submit an
attestation to FDA every two years. 8 (See 21 CFR 117.201(a).) In its attestation, the qualified
facility attests that: (1) It meets the definition of a qualified facility; and (2) either it has
established and is following certain food safety practices, or it is in compliance with State, local,
county, tribal, or other applicable non-Federal food safety law, including relevant laws and
8
For a facility that begins manufacturing, processing, packing or holding food before September 17, 2018,
the facility must make its first submission by December 17, 2018. For a facility that begins manufacturing,
processing, packing or holding food after September 17, 2018, the facility must make its first submission
before beginning operations.

regulations of foreign countries. See section 15.7.4.3 for a discussion of the applicability of
recognized as comparable or has determined to be equivalent to that of the United States. A
qualified facility submits its attestation to FDA on Form FDA 3942a. A supplier that is a qualified
facility could provide a copy of that form to its customers to help them comply with 21 CFR
117.430(c)(1). (A qualified facility that submits the attestation electronically could print a copy for
this purpose.) Subpart G also requires that a receiving facility obtain a written assurance that
includes a brief written description of the preventive controls that the qualified facility is
implementing to control the applicable hazard in the food, or a statement that the qualified
facility is in compliance with an applicable non-Federal food safety law. For example, a qualified
facility that supplies honey-roasted pecans could include a brief written description of its
preventive controls to control Salmonella on the pecans (e.g., roasting the pecans at a specified
temperature for a specified time period); alternatively, a qualified facility that supplies honey-
roasted pecans could provide a statement that it complies with the food safety laws of the state
in which it is located.
15.11.4 Alternative Supplier Verification Activity If the Supplier is a Certain

Type of Produce Farm
Section 21 CFR 117.430(d) provides for an alternative supplier verification activity if a supplier is
a farm that grows produce and is not a covered farm under the produce safety regulation in 21
CFR part 112 in accordance with 21 CFR 112.4(a), or in accordance with 21 CFR 112.4(b) and
112.5. If this is the case, you do not need to comply with the requirements to conduct one of the
supplier verification activities specified in 21 CFR 117.410(b), or conduct an annual onsite audit
if the hazard requiring a preventive control is a SAHCODH hazard, for produce that the
receiving facility receives from the farm as a raw material or other ingredient if you:
• Obtain written assurance that the raw material or other ingredient provided by the supplier is
not subject to the produce safety regulation in 21 CFR part 112 in accordance with 21 CFR
112.4(a), or in accordance with 21 CFR 112.4(b) and 112.5:
• Obtain written assurance, at least every 2 years, that the farm acknowledges that its food is
subject to section 402 of the FD&C Act (or, when applicable, that its food is subject to
recognized as comparable or has determined to be equivalent to that of the United States).
Under 21 CFR 112.4(a), a farm or farm mixed-type facility that has less than $25,000 in annual
sales of produce averaged over the previous 3-year period is not a covered farm under the
produce safety regulation. Under 21 CFR 112.4(b) and 112.5, a farm is not a covered farm if the
farm is eligible for a qualified exemption and associated modified requirements based on the
average monetary value of all food sold and the relative value of food sold directly to qualified
end users as compared to all other buyers9, and FDA has not withdrawn the farm’s exemption.
It is the responsibility of the supplier to determine whether it is not subject to the produce safety
regulation; it is your responsibility to obtain written assurance from the supplier that it is not
subject to the produce safety regulation.
9
See 21 CFR 112.5(a) for the requirements of the qualified exemption and 21 CFR 112.3 for the
definition of “qualified end users.”

By specifying “by December 31” for the annual written assurance that the supplier is a farm that
grows produce and is not a covered farm under the produce safety regulation, the provision
provides some flexibility for you to work with each applicable supplier to determine the specific
date within a calendar year for that supplier to annually notify you about its status. You and your
suppliers have some flexibility to approach the potential for the status of a facility to shift
between “not a covered farm” and “covered farm” (or vice versa) in a way that works best for
your specific business relationship.
See section 15.7.4.3 for a discussion of the applicability of relevant laws and regulations of a
country whose food safety system FDA has officially recognized as comparable or has
determined to be equivalent to that of the United States.
15.11.5 Alternative Supplier Verification Activity If the Supplier Is a Shell Egg

Producer That Is Not Subject to the Requirements of 21 CFR Part 118
Section 21 CFR 117.430(e) provides for an alternative supplier verification activity if a supplier is
a shell egg producer that is not subject to the requirements of 21 CFR part 118 for the
production, storage, and transportation of shell eggs because it has less than 3,000 laying hens.
If this is the case, you do not need to comply with the requirements to conduct one of the
supplier verification activities specified in 21 CFR 117.410(b), or conduct an annual onsite audit
if the hazard requiring a preventive control is a SAHCODH hazard, if you:
• Obtain written assurance that the shell eggs produced by the supplier are not subject to 21
CFR part 118 because the shell egg producer has less than 3,000 laying hens:
• Obtain written assurance, at least every 2 years, that the shell egg producer acknowledges
that its food is subject to section 402 of the FD&C Act (or, when applicable, that its food is
subject to relevant laws and regulations of a country whose food safety system FDA has
officially recognized as comparable or has determined to be equivalent to that of the United
States).
A shell egg producer is not subject to the requirements for the production, storage, and
transportation of shell eggs if it has less than 3,000 laying hens. It is the responsibility of the
supplier to determine whether it is not subject to the requirements for the production, storage,
and transportation of shell eggs; it is your responsibility to obtain written assurance from the
supplier that it is not subject to those requirements.
By specifying “by December 31” for the annual written assurance that the supplier is a shell egg
producer that is not subject to 21 CFR part 118, the provision provides some flexibility for you to
work with each applicable supplier to determine the specific date within a calendar year for that
supplier to annually notify the receiving facility about its status. You and your suppliers have
some flexibility to approach the potential for the status of a facility to shift between “not subject
to 21 CFR part 118” and “subject to 21 CFR part 118” (or vice versa) in a way that works best
for your specific business relationship.
See section 15.7.4.3 for a discussion of the applicability of relevant laws and regulations of a
country whose food safety system FDA has officially recognized as comparable or has
determined to be equivalent to that of the United States.

15.11.6 Financial Conflict of Interest
Section 21 CFR 117.430(f) specifies that there must not be any financial conflicts of interests
that influence the results of the verification activities listed in 21 CFR 117.410(b). For example, if
a qualified individual has a financial conflict of interest that influences the results of supplier
verification activities, the qualified individual would be precluded from being able to
independently conduct supplier verification activities. You can avoid this possibility when
conducting supplier verification activities by only using individuals or firms that do not have
conflicts of interest.
In addition, 21 CFR 117.430(f) specifies that payment must not be related to the results of the
activity. For example, you may not give a qualified auditor who conducts an onsite audit, or a
qualified individual who reviews supplier food safety records, greater compensation for
determining that a supplier is in compliance with applicable FDA requirements. Also, you may
not reduce the compensation of a qualified auditor or qualified individual or assess financial
penalties because the qualified auditor or qualified individual identified areas of supplier non-
compliance. Similarly, a supplier may not make such payments.
The requirements of 21 CFR 117.430(f) do not prohibit employees of a supplier from performing
the functions specified in 21 CFR 117.415 in accordance with 21 CFR 117.415. (See the
discussion of functions that a supplier can perform in accordance with 21 CFR 117.415(a)(4) in
section 15.8.2.2). For example, this provision would not prohibit an employee of a supplier from
conducting sampling and testing so that the supplier could provide the results in documentation
provided to the receiving facility; it is common for suppliers to include COAs for tests conducted
on specific lots of product along with the shipment to the receiving facility. The requirements of
21 CFR 117.430(f) also do not prohibit you from relying on an audit provided by your supplier
when the audit of the supplier was conducted by a third-party qualified auditor. (See the
discussion of 21 CFR 117.415(c) in section 15.8.4.)
15.12 Onsite Audit (21 CFR 117.435)

Section 21 CFR 117.435 specifies requirements applicable to onsite audits, including who must
conduct an onsite audit; consideration of applicable food safety regulations; and when the
written results of an inspection can be substituted for an audit. We discuss these provisions in
sections 15.12.1 through 15.12.3.
15.12.1 Who Conducts an Onsite Audit
Section 21 CFR 117.435(a) requires that an onsite audit of a supplier be performed by a

qualified auditor. Part 117 defines “qualified auditor” as a person who is a qualified individual as
defined in part 117 and has technical expertise obtained through education, training, or
experience (or a combination thereof) necessary to perform the auditing function as required by
21 CFR 117.180(c)(2). Examples of potential qualified auditors include:
• A government employee, including a foreign government employee; and

• An audit agent of a certification body that is accredited in accordance with the accredited
third-party certification regulation.
Part 117 defines “qualified individual” as a person who has the education, training, or
experience (or a combination thereof) necessary to manufacture, process, pack, or hold clean

and safe food as appropriate to the individual’s assigned duties. A qualified individual may be,
but is not required to be, an employee of the establishment.
See the definitions of “qualified auditor” and “qualified individual” in 21 CFR 117.3 and in the list
of terms in section 15.5.) The requirements applicable to a qualified auditor are set forth in 21
CFR 117.180(c)(2), which specifies that to be a qualified auditor, a qualified individual must
have technical expertise obtained through education, training, or experience (or a combination
thereof) necessary to perform the auditing function. A qualified auditor may be, but is not
required to be, an employee of the receiving facility.
We have not established specific courses, programs, or certifications, or defined the type of
experiences that would be required to satisfy the requirements applicable to a qualified auditor
as defined in part 117. However, consistent with the requirements for competent audit agents in
21 CFR 1.650 and the guidance entitled “Third-Party Certification Body Accreditation for Food
Safety Audits: Model Accreditation Standards: Guidance for Industry and FDA Staff” (Guidance
on Accredited Third-Party Certification) (FDA, 2016f), we expect a qualified auditor to have
education, training, or experience that provides the person with knowledge and skills necessary
to evaluate whether the equipment, processes, and procedures in a food facility or on a farm
ensure that the hazards associated with the food have been controlled. For example, an
individual who has previously conducted food safety inspections for a food safety authority may
be a qualified auditor, provided that the individual has the knowledge and experience to assess
compliance with the applicable provisions of the FD&C Act. A person should have at least some
actual experience in auditing (including assisting in audits or observing audits) to meet the
definition of a qualified auditor, because the necessary technical expertise likely cannot be
obtained solely through education and/or training that does not involve assisting or observing
others in the performance of an audit.
The example of an audit agent of a certification body that has been accredited in accordance
with regulations in our accredited third-party certification regulation (21 CFR part 1, subpart M)
adds context about the standard for such individuals. The requirements in 21 CFR 1.650
address how an accredited third-party certification body must ensure its audit agents are
competent and objective. Although an onsite audit that is solely conducted to meet the
requirements of part 117 by an audit agent of a certification body that is accredited in
accordance with regulations in part 1, subpart M, is not subject to the requirements in those
regulations (see section 15.12.4), the requirements for audit agents and the Guidance on
Accredited Third-Party Certification with respect to competency are useful in determining
appropriate education, training, or experience for a qualified auditor. For example, competency
requirements for audit agents in the accredited third-party certification regulation include that
they:
• Have relevant knowledge and experience that provides an adequate basis for the audit
agent to evaluate compliance with applicable food safety requirements of the FD&C Act and
FDA regulations;
• Be competent to conduct food safety audits; and
• Have completed annual food safety training (FDA 2016f).
The Guidance on Accredited Third-Party Certification (FDA 2016f) further recommends
education and/or experience for entry level auditors and lead auditors, as well as auditor skills
such as observational, reasoning, analytical and communication skills (FDA 2016f). Auditors
should be trained to understand and properly apply FDA’s food safety requirements under the

FD&C Act and FDA regulations for purposes of auditing (FDA 2016f). Technical training may
vary depending on the processes and products being audited (FDA 2016f). Training methods
may include classroom training, annual food safety training, and joint audits with a qualified
trainer to help the audit agent apply classroom learning (FDA 2016f).
The GFSI provisions for auditor competency in ‘‘GFSI Food Safety Auditor Competencies’’
(GFSI, 2013) are also useful in determining the knowledge, experience, and skills for a qualified
auditor. The GFSI’s auditor competency model lists three main components for auditor
competencies: (1) Auditing skills and knowledge; (2) technical skills and knowledge; and (3)
behavior and systems thinking (GFSI, 2013). Within each main component, GFSI provides
details of specific tasks and the required auditor knowledge and skills to perform the specific
tasks (GFSI, 2013).
You or one of your employees may conduct the audit as long as you are or your employee is a
qualified auditor, based on education, training, or experience, or a combination thereof.
15.12.2 Consideration of Food Safety Regulations
Section 21 CFR 117.435(b) requires that if the raw material or other ingredient at the supplier is
subject to one or more FDA food safety regulations, an onsite audit must consider such
regulations and include a review of the supplier's written plan (e.g., HACCP plan or other food
safety plan), if any, and its implementation, for the hazard being controlled (or, when applicable,
an onsite audit may consider relevant laws and regulations of a country whose food safety
system FDA has officially recognized as comparable or has determined to be equivalent to that
of the United States).
The qualified auditor who audits your supplier may be your own employee (“second-party audit”)
or an independent third party (i.e., a qualified auditor who is neither your employee nor an
employee or the supplier) (third-party audit). Both second-party audits and third-party audits
allow first-hand review of the critical food safety programs in place at a supplier’s establishment
and can help you to obtain a sense of how effective programs are by diligently reviewing
program records, observing activities, and interviewing workers.
Because FDA food safety regulations vary in scope and detail, the parameters and key
components of an onsite audit conducted under section 21 CFR 117.435(a) would vary
depending on what regulations apply to the supplier.
A supplier that is subject to the PCHF requirements must have a food safety plan. (See 21 CFR
117.126.) If your supplier is subject to the PCHF requirements, the onsite audit would focus on
the supplier’s food safety plan and assess the implementation of the preventive controls applied
by the supplier to address the known or reasonably foreseeable hazards that you have
determined to require a supply-chain-applied control. For example, before you obtain roasted
peanuts for which you had identified Salmonella as a hazard from a supplier subject to the
PCHF requirements, you would audit the supplier (or obtain documentation of an audit
performed by a third party) to determine whether the supplier’s roasting process adequately
controlled the Salmonella. Because the supplier was subject to the PCHF requirements, the
audit should include a review of the supplier’s food safety plan. The auditor should review
whether the roasting process had been validated to significantly minimize Salmonella in peanuts
and should examine whether the supplier had implemented the roasting procedures in
accordance with its food safety plan (e.g., through observing the establishment’s procedures
and reviewing records).

A supplier that is not subject to the PCHF requirements, but is subject to HACCP requirements,
would have a “HACCP plan” rather than a “food safety plan.” If, for example, you use juice as an
ingredient in a refrigerated fruit salad, and your supplier is subject to the process control
requirements in 21 CFR 120.24, the onsite audit of the juice supplier would assess the
validation and implementation of the process controls in your supplier’s HACCP plan.
The produce safety regulation in 21 CFR part 112 does not require farms that are subject to that
regulation to have food safety plans. However, in some cases, a supplier (such as a large
farming operation) might voluntarily elect to establish a food safety plan. In that case, the onsite
audit of the supplier should include a review of the supplier’s written plan, and its
implementation of the plan, to ensure that identified hazards are being adequately controlled.
An audit of your supplier should include both records review and observation of practices to
obtain a complete picture of the safety of your supplier’s operations. Comprehensive systems
audits that include records reviews are more likely to reflect conditions throughout the year than
an audit focused only on the state of the facility at the time of the audit. An audit of a
manufacturing/processing facility subject to the PCHF requirements should address process,
allergen, sanitation, and supply-chain-applied controls (if any), as well as CGMPs (if applicable)
and the specific hazards identified in your hazard analysis of the food.
There are several national and international auditing schemes widely used to assess food safety
practices in manufacturing facilities and on farms. You could rely on the results of audits
conducted in accordance with such schemes provided that the audits evaluate the farm or
facility’s compliance with applicable FDA regulations, review the supplier’s food safety plan (if
any) and its implementation, and otherwise meet the requirements for onsite audits in 21 CFR
117.435. Before relying on the results of a third-party onsite audit, you should determine
whether the auditing scheme used can help you to conclude whether the supplier uses
processes and procedures that comply with applicable regulations. Audit schemes that consider
FDA food safety regulations and include a review of the supplier’s written food safety plan
(including a HACCP plan), if any, and its implementation, with respect to the hazard being
controlled are likely to satisfy the requirements for an onsite audit.
15.12.3 Substitution of an Inspection for an Audit
Section 21 CFR 117.435(c) allows for the following inspections to substitute for an onsite audit,
provided that the inspection was conducted within 1 year of the date that the onsite audit would
have been required to be conducted:
• The written results of an appropriate inspection of the supplier for compliance with
applicable FDA food safety regulations by FDA, by representatives of other Federal
Agencies (such as the United States Department of Agriculture (USDA)), or by
representatives of State, local, tribal, or territorial agencies (21 CFR 117.435(c)(1)(i)); or
• For a foreign supplier, the written results of an inspection by FDA or the food safety authority
of a country whose food safety system FDA has officially recognized as comparable or has
determined to be equivalent to that of the United States. (See 21 CFR 117.435(c)(1)(ii).) For
inspections conducted by the food safety authority of a country whose food safety system
FDA has officially recognized as comparable or determined to be equivalent, the food that is
the subject of the onsite audit must be within the scope of the official recognition or
equivalence determination, and the foreign supplier must be in, and under the regulatory
oversight of, such country. (See 21 CFR 117.435(c)(2).)

For an inspection conducted by FDA, other Federal Agencies, or State, local, tribal, or territorial
agencies, an ‘‘appropriate’’ inspection conducted for compliance ‘‘with applicable FDA
regulations’’ means that the inspection must be sufficiently relevant to compliance with
applicable FDA food safety regulations to credibly substitute for an onsite audit. For example,
inspection by USDA to determine whether a farm satisfies the requirements of the produce
safety regulation could constitute an appropriate inspection that could substitute for an audit, but
an inspection by USDA to determine whether a farm satisfies the requirements of the National
Organic Program could not.
In the case of a foreign supplier, a country whose food safety system FDA has officially
recognized as ‘‘comparable’’ to that of the United States would be one for which there is a
signed systems recognition arrangement or other agreement between FDA and the country
establishing official recognition of the foreign food safety system. See section 15.7.4.3.2 for
information on countries for which we have a Food Safety Systems Recognition Arrangement or
other cooperative arrangement with a foreign country.
Some countries issue certifications or recognitions to facilities for compliance with certain
requirements such as for HACCP systems. We would not accept a HACCP certificate issued by
a foreign government as a substitute for an onsite audit because HACCP requirements are not
identical to the PCHF requirements, and it would not be clear as to what basis was used to
issue a HACCP certificate. However, a receiving facility could consider whether such a
certificate could be part of its justification for conducting another supplier verification activity in
lieu of an annual onsite audit, or for conducting an audit on a less frequent basis than annually
(see section 15.11.2.2).
15.12.4 Audits Conducted to Meet the Requirements of Subpart G Do Not

Have to Comply with the Requirements of the Accredited Third-Party
Regulation
Section 21 CFR 117.435(d) specifies that if an onsite audit is solely conducted to meet the
requirements of part 117 by an audit agent of a certification body that is accredited in
accordance with regulations in part 1, subpart M, the audit is not subject to the requirements in
those regulations.
Audits conducted under the accredited third-party certification regulation are done for specific
purposes, e.g., for compliance with the requirements of the Voluntary Qualified Importer
Program. Audits conducted to meet the requirements of 21 CFR 117.435 may be conducted by
a person who had been accredited under these provisions; however, the requirements for audits
conducted under the accredited third-party certification regulation (e.g., specific information that
must be included in an audit and submission of regulatory audit reports to FDA under 21 CFR
1.652) would not apply to an audit even when the auditor is accredited to do such audits unless
they are also conducted for purposes under the accredited third-party certification regulation.
15.13 Records Documenting the Supply-Chain Program

Section 21 CFR 117.475 specifies that the records documenting the supply-chain program are
subject to the requirements of subpart F of part 117. (See 21 CFR 117.475(a).) Subpart F sets
forth general requirements applicable to all records, such as the use of either paper or electronic
records and the need for records to be accurate, indelible, and legible. Subpart F also sets forth
requirements for record retention and official review. Section 117.330 in subpart F explains how
you can use existing records to satisfy the recordkeeping requirements of part 117.

Section 21 CFR 117.475 requires that you must review the records of the supply-chain program
in accordance with § 117.165(a)(4). (See 21 CFR 117.475(b).) Under 21 CFR 117.165(a)(4(ii)),
records of the supply-chain program must be reviewed within a reasonable time after the
records are made by (or under the oversight of) a PCQl to ensure that the records are complete,
the activities reflected in the records occurred in accordance with the food safety plan, the
preventive controls are effective, and appropriate decisions were made about corrective actions.
Table 15-4 lists the records required (as applicable) for the supply-chain program. (See 21 CFR
117.475(c).)
Table 15-4 List of Records Required for the Supply-Chain Program
Section Description Discussion
117.475(c)(1) The written supply-chain program There is no standardized or

required format for the written
supply chain program or its
records. You can use whatever
format works best for your facility,
provided that the records include
all the required information. Also,
the written supply-chain program is
part of the food safety plan, which
must be signed and dated by the
owner, operator, or agent in charge
of the facility upon initial
completion and upon any
modification. (See 21 CFR
117.310.)
117.475(c)(2) If you are an importer, documentation If you are an importer, and you
that you are in compliance with the FSVP have records documenting the
requirements under part 1, subpart L, supplier verification activities you
including documentation of verification conducted to comply with the
activities conducted under §1.506(e) FSVP regulation, you can rely on
those records as documentation of
verification activities to comply with
the supply-chain program
requirements of subpart G.
117.475(c)(3) Documentation of the approval of a • Your written determination of the basis

supplier for approving the supplier; and
• The approved suppliers – e.g., a paper
list of approved suppliers or an electronic
system that can generate a list of
approved suppliers as needed

17.475(c)(4) Written procedures for receiving raw Examples are a paper checklist
materials and other ingredients and a computer system that
manages the procurement, receipt,
and usage of raw materials and
other ingredients.
117.475(c)(5) Documentation demonstrating use of the Examples are a paper checklist

written procedures for receiving raw that was marked to demonstrate
materials and other ingredients receipt and electronic records
produced by a computer system
that manages the procurement,
receipt, and usage of raw materials
and other ingredients.
117.475(c)(6) Documentation of the determination of Your written determination should

the appropriate supplier verification explain why you chose your
activities for raw materials and other particular supplier verification
ingredients activities. See the discussion in
section 15.7.4.
117.475(c)(7) Documentation of the conduct of an Examples of documentation of

onsite audit, including (i) The name of the audit procedures include the
supplier subject to the onsite audit; (ii) process(es) and food(s) observed,
Documentation of audit procedures; (iii) types of records reviewed, and
The dates the audit was conducted; (iv) whether the audit included
The conclusions of the audit; (v) interviews or laboratory testing.
Corrective actions taken in response to Examples of the conclusions of an
significant deficiencies identified during audit include whether the audit did,
the audit; and (vi) Documentation that the or did not, result in any significant
audit was conducted by a qualified deficiencies.
auditor
You have some flexibility to work
with the qualified auditor, or with a
supplier who arranges for a third-
party audit, on appropriate
documentation that the auditor has
technical expertise obtained
through education, training, or
experience (or a combination
thereof) necessary to perform the
auditing function. Examples of
such documentation are a list of
applicable training and examples
of relevant audits conducted by the
auditor.

117.475(c)(8) Documentation of sampling and testing You have some flexibility in the
conducted as a supplier verification format of appropriate
activity. This documentation must documentation of sampling and
include: (i) Identification of the raw testing, such as on a CoA.
material or other ingredient tested Documentation of corrective
(including lot number, as appropriate) actions would apply to the steps
and the number of samples tested; (ii) you take when you (or a third party
Identification of the test(s) conducted, acting on your behalf) detect the
including the analytical method(s) used; hazard in raw materials or other
(iii) The date(s) on which the test(s) were ingredients that you received,
conducted and the date of the report; (iv) including what you do with the raw
The results of the testing; (v) Corrective material or other ingredient and the
actions taken in response to detection of steps you take to address the
hazards; and (vi) Information identifying problem with the supplier.
the laboratory conducting the testing
117.475(c)(9) Documentation of the review of the Records of the supply-chain

supplier's relevant food safety records. program must be reviewed within a
This documentation must include: (i) The reasonable time after the records
name of the supplier whose records were are made by (or under the
reviewed; (ii) The date(s) of review; (iii) oversight of) a PCQl to ensure that
The general nature of the records the records are complete, the
reviewed; (iv) The conclusions of the activities reflected in the records
review; and (v) Corrective actions taken occurred in accordance with the
in response to significant deficiencies food safety plan, the supplier’s
identified during the review preventive controls are effective,
and appropriate decisions were
made about corrective actions.
(See 21 CFR 117.165(a)(4).)
117.475(c)(10) Documentation of other appropriate Your documentation of other

supplier verification activities based on appropriate supplier verification
the supplier performance and the risk activities would depend on the
associated with the raw material or other nature of the activity. For example,
ingredient if you use a fact-specific
questionnaire you would have a
record of the questionnaire applied
to a particular supplier. If you
considered information applicable
to a supplier’s certification to a
specific audit scheme, you would
have a record of the information
you considered.

117.475(c)(11) Documentation of any determination that Because your written supply-chain

verification activities other than an onsite program is part of your food safety
audit, and/or less frequent onsite auditing plan, the written determination
of a supplier, provide adequate must be prepared by (or under the
assurance that the hazards are oversight of) your PCQI. See the
controlled when a hazard in a raw discussion in section 15.11.2.2 for
material or other ingredient will be examples of what such a written
controlled by the supplier and is one for determination could address.
which there is a reasonable probability
that exposure to the hazard will result in
serious adverse health consequences or
death to humans
117.475(c)(12) The following documentation of an You and your suppliers have some
alternative verification activity for a flexibility to determine the
supplier that is a qualified facility: (i) The appropriate documentation in a
written assurance that the supplier is a way that works best for your
qualified facility as defined by §117.3, specific business relationship. For
before approving the supplier and on an example, for documentation of its
annual basis thereafter; and (ii) The status, a qualified facility could
written assurance that the supplier is provide you with documentation of
producing the raw material or other its submission of the qualified
ingredient in compliance with applicable facilities form (Form FDA 3942a).
FDA food safety regulations (or, when For the other assurance, you and
applicable, relevant laws and regulations your supplier can choose which of
of a country whose food safety system two options to use, based on the
FDA has officially recognized as specific circumstances of the
comparable or has determined to be supplier. See the discussion in
equivalent to that of the United States) section 15.11.3 of the two different
types of attestation.

supplier that is a farm that supplies a raw appropriate documentation in a
material or other ingredient and is not a way that works best for your
covered farm under part 112 of this specific business relationship.
chapter: (i) The written assurance that
the supplier is not a covered farm under
part 112 of this chapter in accordance
with §112.4(a), or in accordance with
§§112.4(b) and 112.5, before approving
the supplier and on an annual basis
thereafter; and (ii) The written assurance
that the farm acknowledges that its food
is subject to section 402 of the FD&C Act
(or, when applicable, that its food is
subject to relevant laws and regulations
of a country whose food safety system
FDA has officially recognized as
comparable or has determined to be
equivalent to that of the United States)
supplier that is a shell egg producer that appropriate documentation in a
is not subject to the requirements way that works best for your
established in part 118 of this chapter specific business relationship.
because it has less than 3,000 laying
hens: (i) The written assurance that the
shell eggs provided by the supplier are
not subject to part 118 of this chapter
because the supplier has less than 3,000
laying hens, before approving the
supplier and on an annual basis
thereafter; and (ii) The written assurance
that the shell egg producer
acknowledges that its food is subject to
section 402 of the FD&C Act (or, when
applicable, that its food is subject to
relevant laws and regulations of a
country whose safety system FDA has
officially recognized as comparable or
has determined to be equivalent to that
of the United States)

117.475(c)(15) The written results of an appropriate The written results of an

inspection of the supplier for compliance appropriate inspection would
with applicable FDA food safety depend on the inspection and how
regulations by FDA, by representatives of the entity conducting the inspection
other Federal Agencies (such as the U.S. reports its results.
Department of Agriculture), or by
representatives from State, local, tribal,
or territorial agencies, or the food safety
authority of another country when the
results of such an inspection are
substituted for an onsite audit
117.475(c)(16) Documentation of actions taken with Your documentation of supplier

respect to supplier nonconformance nonconformance would depend on
the nature of the nonconformance.
See the examples of potential
supplier nonconformance in
section 15.7.5.
117.475(c)(17) Documentation of verification of a supply- The documentation you receive

chain-applied control applied by an entity from another entity should be
other than the receiving facility's supplier similar to the documentation you
would have if you had conducted
the activity yourself.

117.475(c)(18) When applicable, documentation of the You have some flexibility for how
receiving facility's review and to appropriately document that you
assessment of: (i) Applicable reviewed and assessed the
documentation from an entity other than documentation from another entity.
the receiving facility that written For example, appropriate staff in
procedures for receiving raw materials your facility could date and sign the
and other ingredients are being followed; documentation received from the
(ii) Applicable documentation, from an other entity, or you could attach a
entity other than the receiving facility, of signed, dated statement, from
the determination of the appropriate appropriate staff in your facility,
supplier verification activities for raw specifying that the documentation
materials and other ingredients; (iii) had been reviewed and assessed.
Applicable documentation, from an entity
other than the receiving facility, of
conducting the appropriate supplier
verification activities for raw materials
and other ingredients; (iv) Applicable
documentation, from its supplier, of: (A)
The results of sampling and testing
conducted by the supplier; or (B) The
results of an audit conducted by a third-
party qualified auditor in accordance with
21 CFR 117.430(f) and 117.435; and (v)
Applicable documentation, from an entity
other than the receiving facility, of
verification activities when a supply-
chain-applied control is applied by an
entity other than the receiving facility's
supplier
15.14 Compliance Dates

In the preamble of the final rule establishing part 117, we provided compliance dates for the
requirements of the supply-chain program in subpart G. (See Table 54 in the final rule, 80 FR
55908 at 56128). The compliance dates for implementing your supply-chain program apply with
respect to each of your suppliers, not to your supply-chain program as a whole, because the
compliance dates depend on whether your suppliers will be subject to part 117, the produce
safety regulation, or neither regulation. For those suppliers subject to part 117 or the produce
safety regulation, you are not required to conduct supplier verification activities until after your
supplier’s compliance date is reached.
For your convenience, Table 15-5 provides the information from Table 54 in the preamble of the
final rule establishing part 117.

Table 15-5 Compliance Dates for the Requirements of the Supply-Chain Program
Situation Compliance date:

You are a small business and your supplier will not September 18, 2017
be subject to the PCHF requirements of part 117 or
the produce safety regulation
You are a small business and your supplier is The later of September 18, 2017, or 6 months after
subject to the PCHF requirements of part 117 or your supplier of that raw material or other
the produce safety regulation ingredient is required to comply with the applicable
requirements
You are neither a small business nor a very small March 17, 2017
business and your supplier will not be subject to the
PCHF requirements of part 117 or the produce
safety regulation
You are neither a small business nor a very small 6 months after your supplier of that raw material or
business and your supplier will be subject to the other ingredient is required to comply with the
PCHF requirements of part 117 or the produce applicable requirements
safety regulation
15.15 Table of Abbreviations

Section IV in the Introduction of this guidance includes a table of abbreviations that are used in
this guidance. At this time, that Table of Abbreviations does not include all abbreviations that
are used in this chapter. See Table 15-6 for an additional abbreviation that we use in this
chapter. For the convenience of the reader, Table 15-6 also describes what we mean by
“PCHF,” even though this abbreviation is already in section IV in the Introduction of this
guidance. We intend to compile all abbreviations in section IV in the Introduction of this
guidance when we update the Introduction. When we do so, we intend to delete Table 15-6 from
this chapter, because it would be duplicative.
Table 15-6 Table of Abbreviations
PCHF “Preventive Controls for Human Food” (requirements in 21 CFR

part 117 for hazard analysis and risk-based preventive controls
for human food in accordance with section 418 of the FD&C Act)
SAHCODH Hazard for which there is a reasonable probability that exposure

Hazard to the hazard will result in serious adverse health consequences
or death to humans
15.16 References
American Spice Trade Association (ASTA). 2011. Clean, Safe Spices.

Eastern Research Group, Inc. (ERG). 2004. Good Manufacturing Practices (GMPs) for the 21st
Century - Food Processing. Section Four. Common Food Safety Problems in the U.S. Food
Processing Industry: A Delphi Study.
Edleman, V. 2012. The Supplier Approval Process. The Manufacturing Confectioner, 92(11):60-
67.
Eldridge, B., 2012. Supplier Management: Six Steps to Selecting the Right Supplier. Food
Safety Magazine, 18 (4): 30-31.
FDA. 2009. “Guidance for Industry: Questions and Answers Regarding the Reportable Food
Registry As Established by the Food and Drug Administration Amendments Act of 2007.”
(http://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInformation/RFR/
ucm180761.htm)
FDA. 2010. “Draft Guidance for Industry: Questions and Answers Regarding the Reportable
Food Registry As Established by the Food and Drug Administration Amendments Act of 2007
(Edition 2).” (http://www.fda.gov/downloads/Food/GuidanceRegulation/UCM213214.pdf)
FDA Memorandum. 2014. “Supplier Programs.” See Reference 24 to the 2014 supplemental
human preventive controls notice.
FDA. 2015a. FDA - New Zealand MPI, Food Safety Systems Recognition Arrangement.
(http://www.fda.gov/internationalprograms/agreements/memorandaofunderstanding/ucm331907
.htm).
FDA. 2015b. International Arrangements.

(http://www.fda.gov/internationalprograms/agreements/)
FDA. 2016a. Cooperative Arrangements.

(http://www.fda.gov/InternationalPrograms/Agreements/MemorandaofUnderstanding/default.htm
)
FDA. 2016b. FDA - CFIA and Health Canada, Food Safety Systems Recognition Arrangement.
(http://www.fda.gov/InternationalPrograms/Agreements/MemorandaofUnderstanding/ucm49819
7.htm)
FDA. 2016c. International Programs. (http://www.fda.gov/InternationalPrograms/default.htm).
FDA. 2016d. Supplier Evaluation Resources.

(https://www.fda.gov/Food/GuidanceRegulation/FSMA/ucm516330.htm)
FDA. 2016e. The Reportable Food Registry: A Five Year Overview of Targeting Inspection
Resources and Identifying Patterns of Adulteration, September 8, 2009 – September 7, 2014.
(http://www.fda.gov/downloads/food/complianceenforcement/rfr/ucm502117.pdf)
FDA. 2016f. Third-Party Certification Body Accreditation for Food Safety Audits: Model
Accreditation Standards: Guidance for Industry and FDA Staff.
(https://www.fda.gov/Food/GuidanceRegulation/GuidanceDocumentsRegulatoryInformation/uc
m455328.htm)

FDA. 2017. Report of the Systems Recognition Review of Australia by the U.S. FDA.
(https://www.fda.gov/downloads/Food/InternationalInteragencyCoordination/InternationalCooper
ation/UCM553393.pdf)
Global Food Safety Initiative & The Consumer Goods Forum 2013. “GFSI Food Safety Auditor
Competencies, Edition 1.” (http://www.mygfsi.com/images/mygfsi/gfsifiles/information-
kit/GFSI_Food_Safety_Auditor_Competencies_-_Edition_1_October_2013.pdf)
International Featured Standards (IFS). 2012. IFS Food: Standard for auditing quality and food
safety of food products, Version 6. (http://www.ifs-certification.com/index.php/en/certification-
bodies-en/ifs-standards/ifs-food)
Neumann, M. 2009. Benefits of a supplier approval program. Crisis Control Newsletter,

U0109(1):1-2.
Safe Quality Food Institute (SQFI). 2014. SQF Code 7.2. A HACCP-Based Supplier Assurance
Code for the Food Industry. (http://www.sqfi.com/wp-content/uploads/SQF-Code_Ed-7.2-
July.pdf)
Zaura, 2005. Effective Supplier Program. Food Quality Magazine, December/January, 86-88.


Chapter 16: Validation of a Process Control (Coming Soon)
1
Chapter 16 (Validation) - Page 1


Preventive Controls for Human Food: Draft
Guidance for Industry1
This draft guidance, when finalized, will represent the current thinking of the Food and Drug Administration (FDA or we)
on this topic. It does not establish any rights for any person and is not binding on FDA or the public. You can use an
alternative approach if it satisfies the requirements of the applicable statutes and regulations. To discuss an alternative
approach, contact FDA’s Technical Assistance Network by submitting your question
Appendix 1: Potential Hazards for Foods and Processes
Appendix Organization
This appendix contains information on the potential biological, chemical, and physical hazards that are food-
related and process related. The potential hazard information presented covers the following 17 food (including
ingredients and raw materials) categories:
• Bakery
• Beverage
• Chocolate and Candy
• Dairy
• Dressings and Condiments
• Egg
• Food Additives
• Fruits and Vegetables
• Game Meat
• Grains
• Multi-Component Foods (such as a refrigerated entrée or a sandwich)
• Nuts
• Oil
• Snack Foods
1
This guidance has been prepared by the Office of Food Safety in the Center for Food Safety and Applied Nutrition at the
U.S. Food and Drug Administration. Underlined text in yellow highlights represents a correction from the draft Appendix 1
that we issued for public comment in August 2016.
Appendix 1 (Hazards Tables) - Page 1
• Soups
• Spice
• Sweeteners
To help you to identify food-related and process-related hazards for the food categories listed above, this
appendix contains three series of tables:
• Tables 1A through 1Q contain information that you should consider for potential food-related biological hazards.
• Tables 2A through 2Q contain information that you should consider for potential food-related chemical hazards.
• Tables 3A through 3Q contain information that you should consider for potential process-related biological, chemical
and physical hazards.
How to Use the Tables in Appendix 1

Information provided in each table is organized to describe:
• Food Categories
• Food Subcategories
• Hazards
• Example Products
Potential hazards that you should consider for each food subcategory are indicated by an “X” in the column for
the hazard being assessed.
The tables in Appendix 1 encompass more than 200 pages. To reduce the printed size of this document (which
includes all of the available chapters in this guidance), we have not included those tables. To access the
tables in Appendix 1, see the separate Appendix 1 (complete with tables).
Appendix 1 (Hazards Tables) - Page 2


Administration's (FDA or we) on this topic. It does not establish any rights for any person and is
Appendix 2: Food Safety Plan Forms
Table of Contents
Introduction
Form 2-A: FSPCA Form for Product Description
Form 2-B: FSPCA Form for Hazard Analysis
Form 2-C: FSPCA Form for Process Controls
Form 2-D: FSPCA Form for Sanitation Controls
FSPCA Food Allergen Control Forms
Form 2-E: FSPCA Form for Food Allergen Ingredient Analysis
Form 2-F: FSPCA Form for Food Allergen Label Verification List
Form 2-G: FSPCA Form for Production Line Food Allergen Assessment
Form 2-H: FSPCA Form for Food Allergen Controls
Form 2-I: FSPCA Form for Supply-chain-applied Preventive Controls
Program
1
represents a correction from the draft Appendix 2 that we issued for public comment in August 2016.
Appendix 2 (Food Safety Plan Forms) - Page 1

Introduction
We recommend that you use worksheets to document the:
• Product description;
• Hazard analysis;
• Process controls;
• Sanitation controls; and
• Food allergen controls.
There is no standardized or mandated format for documenting the food safety plan. However,
in this appendix we refer you to worksheets that were developed by Food Safety Preventive
Controls Alliance (FSPCA). We recommend that you use forms such as these for documenting
your food safety plan for two reasons: (1) These worksheets are used in training by the FSPCA
and, thus, you will be familiar with these forms if you take this training; and (2) these worksheets
are similar to forms used in documenting Hazard Analysis and Critical Control Point (HACCP)
plans and prerequisite programs and, thus, these worksheets may be similar to forms you are
already using.
The FSPCA makes these forms available on its website

at https://www.ifsh.iit.edu/sites/ifsh/files/departments/fspca/pdfs/FSPCA_Ap2_Worksheets__V1.
1_Fillable.pdf. In this Appendix, we have modified the format of FSPCA’s forms for consistency
with the formats we use for making documents accessible for persons using assistive
technology such as a screen reader. You may obtain the current copy of FSPCA’s forms from
its website.
In general, regardless of whether you use these worksheets, we recommend that you arrange
the information in your food safety plan in a progressive manner that clearly explains the
thought process for the hazard analysis and the individual steps in the Food Safety Plan. For
example:
• Your hazard analysis should contain information to justify:

o Your identification of each hazard requiring a preventive control; and
o The types of preventive controls applied;
• You should explain the details for each preventive control.
Other formats are entirely acceptable if they work for your organization. If you use another
format, you should ensure that your format provides all of the information that the preventive
controls rule requires for each required component of the food safety plan. See 21 CFR
117.126, 117.305, and 117.310.
Each FSPCA form has a form name, but does not have an identifying number. In this Appendix,
we number each FSPCA form (Form 2-A, Form 2-B, etc.) to have a concise identifier for each
form.

Form 2-A: FSPCA Form for Product Description

In Chapter 2 of this guidance, we recommend that you conduct certain preliminary steps before
conducting your hazard analysis. One of these preliminary steps is to describe the product, its
distribution, intended use, and consumer or end user of the product. The product description
form that is commonly used in the development of HACCP plans can be used to do so. See
Form 2-A.
Below, we list the information that you will see on Form 2-A. When appropriate for clarity, we
explain what type of information you would include for the listed information. Regardless of
whether you use Form 2-A, we recommend that you include such information in any product
description that you develop.
• General information such as the name and address of the plant, the issue date of the form and the
old version (“supersedes”), the page number (often “Page X of Y”).
• Product Name: i.e., the full name of the finished product.
• Product Description, including Important food safety characteristics – i.e., descriptors such as ready-
to-eat (RTE), frozen; factors that can influence growth of pathogens, such as whether the food has a
low pH or a w or contains preservatives.
• Ingredients.
• Packaging Used: e.g., type (bottle, box, can); material (plastic, glass, cardboard with liner); reduced
oxygen packaging.
• Intended Use: e.g., intended for retail, foodservice, or further processing; whether the food is ready-
to-eat or ready-to-cook by the consumers; and what the potential is for mishandling or unintended
use.
• Intended Consumers: usually the general public; however, if a food product is intended specifically for
susceptible populations such as hospitals, you should say so.
• Shelf Life.
• Labeling Instructions Related to Safety: e.g., “keep refrigerated” or cooking instructions.
• Storage and Distribution: e.g., whether the food is stored and/or distributed refrigerated, frozen or at
ambient temperatures.

FORM 2-A PRODUCT DESCRIPTION
PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Product Name(s)
Product Description,
including Important Food
Safety Characteristics
Ingredients
Packaging Used
Intended Use
Intended Consumers
Shelf Life
Labeling Instructions
related to Safety
Storage and Distribution
Approved: (signature or initials)____________________________________________
Date: ___________________________________________________________________

Form 2-B: FSPCA Form for Hazard Analysis

In Chapter 2 of this guidance, we explain how to set up an adaptation of the “Hazard Analysis
Worksheet” used in HACCP systems to organize your hazard analysis. See Form 2-B. Note that
for brevity Form 2-B uses the term “potential hazard” rather than “known or reasonably
foreseeable hazard.”
See section 2.2.2 in Chapter 2 for an overview of how to set up columns 1-6 of Form 2-B. See
the remainder of Chapter 2 for more detail about how to provide information on Form 2-B.
Regardless of whether you use Form 2-B, we recommend that you include such information in
your hazard analysis.

FORM 2-B HAZARD ANALYSIS*

PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
(1) (2) (3) (4) (5) (6)

Ingredient / Identify potential Are Justify your What preventive Is the
Processing food safety any potent decision for control measure(s) preventive
Step hazards ial column 3 can be applied to control applied
introduced, food significantly minimize at this step?
controlled or safety or prevent the food (Yes/No)
enhanced at this hazards safety hazard?
step requiring Process including CCPs,
B = biological preventive Allergen, Sanitation,
C = chemical, control? Supplier, other preventive
control
including (Yes/No)
radiological
P = physical
* The current FSPCA form includes some additional features, such as a separate column for “Yes” and
“No” responses and a separate row at each step for biological, chemical, and physical hazards (labeled
B, C, and P, respectively).

Form 2-C: FSPCA Form for Process Controls

Chapter 5 of this guidance provides an overview of the application of preventive controls to
significantly minimize or prevent the occurrence of biological, chemical, and physical hazards in
finished foods and the food production environment. Chapter 5 also provides an overview of
preventive control management components (i.e., monitoring, corrective actions and
corrections, and verification activities (and their associated records)). When the preventive
control that you identify is a process control, Form 2-C provides a format for you to specify the
process control and the associated preventive control management components.
Below, we list the information that you will see on Form 2-C. When appropriate for clarity, we
explain what type of information you would include for the listed information. Regardless of
whether you use Form 2-C, we recommend that you include such information in your food
safety plan when you will implement a process control.
• Process Control: From the Hazard Analysis form, enter the steps identified as requiring a process
control
• Hazard(s): From the Hazard Analysis form, enter the hazard requiring a preventive control at each
step listed in the “Process Control” column.
• Parameters, values, or critical limits: Enter the parameters, and the associated minimum or
maximum value (or critical limits) associated with the parameters.
• Monitoring: In the columns provided, enter what will be monitored, how it will be monitored, the
frequency that the monitoring will be done and who will do the monitoring (e.g., the position, such as
“operator” or “QA technician”).
• Corrective Actions: Describe the corrective actions that will be taken when deviations from the
minimum/maximum values (or critical limits) for a parameter occur.
• Verification: List the ongoing verification activities, including calibration (where appropriate) and
records review. Although the form was designed to focus on ongoing verification activities, rather
than data and information addressing validation, you also can list information such as a validation
study on FSPCA Form 2-C if you find it useful to do so.
• Records: List the names of the records that result from implementation of the process controls (e.g.,
cook log, cooling records, metal detector check log).

FORM 2-C PROCESS CONTROLS
PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Process Frequency
Who
What to Monitor How to Monitor of Corrective
Control Hazard(s) Critical Limits Monitors Verification Records
Monitoring Action
Step
8
Process Frequency
Who
Control Hazard(s) Critical Limits Monitors Verification Records
Monitoring Action
Step

Form 2-D: FSPCA Form for Sanitation Controls
The forthcoming Chapter 10 of this guidance will address sanitation controls, which can vary
substantially from facility to facility. When the preventive control that you identify is a sanitation
control, Form 2-D provides a format for you to specify the sanitation control and the associated
preventive control management components. Although Form 2-D may not always be the most
effective way to describe the many sanitation controls that may be employed, you may find
Form 2-D helpful to summarize cleaning and sanitizing of a particular piece of equipment or
particular locations in your plant where product is exposed to the environment.
Below, we list the information that you will see on Form 2-D. When appropriate for clarity, we
explain what type of information you would include for the listed information.
• Location: Enter the location(s) in the plant where the sanitation control described on Form 2-D will be
used.
• Purpose: e.g., to remove food allergens, to reduce contamination with environmental pathogens
• Frequency: How often the procedure is used (e.g., daily; after each production run; weekly;)
• Who: i.e., the position, such as “sanitation technician” or “sanitation supervisor”
• Procedure: You can write the procedure on the form or refer to a specific Standard Operating
Procedure (SOP). Procedures can include cleaning procedures and monitoring procedures, such as
measuring sanitizer concentration.
• Corrections (Corrective Actions Where Appropriate) - e.g., recleaning equipment that is not visibly
clean prior to production. In most cases, corrections are appropriate. However, you may want to
include circumstances that would trigger corrective actions.
• Records: the type of records you will maintain.
• Verification activities (such as records review) and the type of records maintained are listed.
10
FORM 2-D SANITATION CONTROLS

PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Location
Purpose
Frequency
Who
Procedure
Monitoring
Corrections
(Corrective
actions where
necessary)
Records
Verification: (signature or initials)____________________________________________
Date: ____________________________________________________________________

FSPCA Food Allergen Control Forms

corrections, and verification activities (and their associated records)). Our forthcoming Chapter
11 - Food Allergen Controls will provide a comprehensive guide to food allergen control.
When the preventive control that you identify is an allergen control, the FSPCA forms that we
identify as Forms 2-E, 2-F, 2-G, and 2-H provide a format for you to specify the allergen control
and the associated preventive control management components.
• Form 2-E: FSPCA form for Food Allergen Ingredient Analysis. Use for conducting an allergen-specific
hazard analysis of food ingredients.
• Form 2-F: FSPCA form for Food Allergen Label Verification List. Use to list the specific allergens to
be listed in the “Contains” declaration on the product label.
• Form 2-G: FSPCA form for Production Line Food Allergen Assessment. Use to identify common and
unique food allergens for products produced on a production line for the purpose of making decisions
on scheduling (e.g., run unique allergens last) and allergen cleaning information (e.g., conduct a full
allergen cleaning before running products without the allergen)
• Form 2-H: FSPCA form for Food Allergen Controls. Use to describe any food allergen controls and
associated preventive control management components.
Regardless of whether you use these FSPCA Food Allergen forms, we recommend that you
conduct a food allergen ingredient analysis and include information such as you see in Form 2-
E in your food safety plan. if your food allergen ingredient analysis identifies food allergens that
will be (or may be) in your products, we recommend that you include information such as you
see in the remaining FSPCA forms in your food safety plan.

Form 2-E: FSPCA Form for Food Allergen Ingredient Analysis
Below, we list the information that you will see on Form 2-E. When appropriate for clarity, we
• Raw Material Name: List all raw materials received in the facility
• Supplier: Identify the supplier for each raw material
• Food Allergens in Ingredient Formulation: Identify any food allergens in each listed raw material –
e.g., by reviewing ingredient labels or contacting the manufacturer
• Food Allergens in Precautionary Labeling: List any allergens listed in precautionary labeling (such as
a “May Contain” statement) in raw materials that you receive

FORM 2-E FOOD ALLERGEN INGREDIENT ANALYSIS

PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Food Allergens in Ingredient Formulation or in Precautionary Labeling
Shellfish (market
in Precautionary
Food Allergens
(market name)
(market name)
Labeling
Tree Nut
Peanut
Wheat
name)
Fish
Milk
Egg
Soy
Raw Material Name Supplier

Form 2-F: FSPCA Form for Food Allergen Label Verification List
Below, we list the information that you will see on Form 2-F. When appropriate for clarity, we
• Product: List each product that will contain (or may contain) a major food allergen
• Allergen Statement: Specify the “Contains” statement that you will include on the product label for that
product.
FORM 2-F FOOD ALLERGEN LABEL VERIFICATION LIST

PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Product Allergen Statement

Contains:
Contains:
Contains:
Contains:

Form 2-G: FSPCA Form for Production Line Food Allergen Assessment
Below, we list the information that you will see on Form 2-G. When appropriate for clarity, we
• Product Name: List each product made in the plant
• Production Line: Identify the production line used for each listed product
• List the allergens that you will add to the listed product, including any allergens listed in precautionary
labeling if you determine there is the potential for these to contaminate the line.
FORM 2-G PRODUCTION LINE FOOD ALLERGEN ASSESSMENT

PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
(market name)
(market name)
(market name)
Shellfish
Tree Nut
Peanut
Wheat
Fish
Milk
Egg
Soy
Product Name Production Line

Form 2-H: FSPCA Form for Food Allergen Controls
The FSPCA Food Allergen Control Form (Form 2-H) is modeled after the FSPCA Process
Controls Form (Form 2-C). Below, we list the information that you will see on Form 2-H. When
appropriate for clarity, we explain what type of information you would include for the listed
information.
• Allergen Control Step: Describe the step at which the allergen control is being applied e.g., at label
receipt or label application for label controls; at post-production sanitation for equipment cleaning.
• Hazard: e.g., undeclared allergen due to incorrect label; undeclared allergen due to cross-contact.
• Criterion: Specify the criterion you are trying to meet, e.g., all finished product labels declare the
allergens in the product.
• Monitoring; In the columns provided, enter what will be monitored (e.g., the label ingredient
declaration), how it will be monitored (e.g., the label will be visually checked and compared to the
product formulation), the frequency that the monitoring will be done (e.g., each new order of labels
before they are released to production), and who will do the monitoring (e.g., label coordinator).
• Corrective Actions: In some cases, corrections will be appropriate. However, you should include
circumstances that would trigger corrective actions.
• Verification: List the verification activities, such as records review.
• Records: List the names of the records that result from implementation of the food allergen controls
(e.g., label review log).

FORM 2-H FOOD ALLERGEN CONTROLS
PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Allergen Frequency
Who
Control Hazard(s) Criterion Monitors Verification Records
Monitoring Action
Step
18
Allergen Frequency
Who
Control Hazard(s) Criterion Monitors Verification Records
Monitoring Action
Step

Form 2-I: FSPCA Form for Supply-chain-applied Preventive Controls

Program
corrections, and verification activities (and their associated records)). Our forthcoming
Guidance for Industry, Supply-Chain Programs, Draft Guidance, will provide a comprehensive
guide to supply-chain controls.
When the preventive control that you identify is a supply-chain control, Form 2-I provides a
format for you to specify the preventive control and the associated preventive control
management components appropriate for a supply-chain program. You would use a separate
form for each ingredient that would have a supply-chain program control. Below, we list the
information that you will see on Form 2-I. When appropriate for clarity, we explain what type of
information you would include for the listed information. Regardless of whether you use Form 2-
I, we recommend that you include such information in your food safety plan when you will
implement a supplier control.
• Hazards requiring a supply-chain-applied control: List each hazard requiring a preventive control
• Preventive controls applied by the supplier: When applicable, list any preventive controls applied by
the supplier
• Verification activities: List the verification activities you will conduct – i.e., onsite audits; sampling and
testing of the raw material or other ingredient; review of the supplier’s relevant food safety records;
and other appropriate supplier verification activities based on supplier performance and the risk
associated with the raw material or other ingredient.
• Verification procedures: e.g., procedures for receiving raw materials and other ingredients; audit
procedures
• Records: e.g., records documenting receipt from an approved supplier, records documenting review
of supplier verification activities

Form 2-I: Supply-chain-applied Preventive Controls Program
PAGE _________
PRODUCTS: ______________________________________________________________
PLANT NAME: _____________________________________________________________
ADDRESS: ________________________________________________________________
Determination of Verification Procedures

Ingredient:
Hazards requiring a
supply-chain-applied
control
Preventive controls applied
by the supplier
Verification activities
Verification procedures
Records
Approved Suppliers for Ingredients Requiring a Supply-chain-applied Control

Ingredient Approved Hazard(s) requiring Date of Verification Verification
(requiring Supplier supply-chain- Approval method records
supply-chain- applied control
applied control)
Receiving Procedure for Ingredients Requiring a Supply-chain-applied

Control
[Document procedures used for receiving ingredients requiring a supply-chain-applied control.]


Appendix 3: Bacterial Pathogen Growth and Inactivation

This appendix contains information on the growth and inactivation of bacterial pathogens. The
tables in this appendix derive from our guidance entitled “Fish and Fishery Products Hazards
and Controls Guidance.” In these tables, and our discussion of these tables, we use the
technical terms “D-value” and “z-value,” which we briefly describe immediately below. For
additional information about what these terms mean and how you can use the information in
these tables to determine appropriate processing conditions for your product, you should
consult standard food processing books and technical information.
• D-value: The relationship between the duration of a thermal treatment and the percentage of
microorganisms surviving the treatment is generally logarithmic, and the results of such studies are
usually presented in a plot that represents the log of the percent of surviving vegetative cells or
spores versus time at a given temperature. The time required to destroy 90 percent of the vegetative
cells or spores at a given temperature is called the decimal reduction time, usually referred to as the
“D-value” (Larousse and Brown, 1997). The D-value usually varies inversely with temperature.
• z-value: In general, the slope of a plot of the log of the D-value versus temperature is approximately
linear. A “z-value” is derived from the reciprocal of the slope of the best straight line and is equal to
the increase in the number of degrees (from a given starting temperature) that results in a 90 percent
reduction in the D-value (Larousse and Brown, 1997). The D-value and z-value for the vegetative
cells or spores of a microbial strain at a specified temperature characterize its thermal resistance at
that temperature. Therefore, D-values and z-values provide a means to compare the thermal
resistance of different microorganisms, or different strains of the same microorganism, at one or more
temperatures.
Table 3-A contains information on the minimum water activity (a w ), minimum and maximum pH,
and minimum and maximum temperatures that limit growth for the bacterial pathogens that are
of greatest concern in food processing. Table 3-A also provides data on the maximum water
1
represents a correction from the draft Appendix 3 that we issued for public comment in August 2016.
Appendix 3 (Bacterial Pathogen Growth and Inactivation) - Page 1

phase salt that limits growth and the oxygen requirements for the pathogens listed. The data
shown in Table 3-A are the extreme limits reported among the references cited. These values
may not apply to your food or processing conditions.
Table 3-B contains information on maximum cumulative exposure time at internal product
temperature ranges for exposure of foods that, under ordinary circumstances, will be safe for
the bacterial pathogens that are of greatest concern in food processing. These maximum,
cumulative exposure times are derived from published scientific information.
Table 3-C is a Quick Reference Guide based on Table 3-B.
Because the nature of bacterial growth is logarithmic, linear interpolation using the time and
temperature guidance may not be appropriate. Furthermore, the food matrix affects bacterial
growth (e.g., presence of competing microorganisms, available nutrients, growth-restrictive
agents). You should consider such attributes when using the information in Tables 3-A, 3-B,
and 3-C.
Table 3-D contains information on the destruction of Listeria monocytogenes (L.

monocytogenes). Lethal rate, as used in Table 3-D, is the relative lethality of 1 minute at the
designated internal product temperature as compared with the lethality of 1 minute at the
reference internal product temperature of 158°F (70°C) (using a z = 13.5°F (7.5°C)). For
example, 1 minute at 145°F (63°C) is 0.117 times as lethal as 1 minute at 158°F (70°C). The
times provided are the length of time at the designated internal product temperature necessary
to deliver a “6D” process for L. monocytogenes (i.e., a process that will accomplish a 6
logarithm (factor of 1,000,000) reduction in the number of L. monocytogenes).
The length of time at a particular internal product temperature needed to accomplish a 6D

reduction in the number of L. monocytogenes depends, in part, upon the food that is being
heated. The values in the table are generally conservative and apply to all foods. You may be
able to establish a shorter process time for your food by conducting scientific thermal death time
studies. Additionally, lower degrees of destruction may be acceptable in your food if supported
by a scientific study of the normal initial levels in the food. It is also possible that higher levels of
destruction may be necessary in some foods, if you anticipate relatively high initial levels in the
food you are processing.
Table 3-E contains information on the destruction of Clostridium botulinum (C. botulinum) type
B (the most heat- resistant form of non-proteolytic C. botulinum). (The non-proteolytic strains of
C. botulinum can grow at refrigeration temperatures and may be a hazard requiring a preventive
control in some foods intended to be held refrigerated for extended periods of time.) Lethal rate,
as used in this table, is the relative lethality of 1 minute at the designated internal product
temperature as compared with the lethality of 1 minute at the reference product internal
temperature of 194°F (90°C) (for temperatures less than 194°F (90°C), z = 12.6°F (7.0°C); for
temperatures above 194°F (90°C), z = 18°F (10°C)). The times provided are the length of time
at the designated internal product temperature necessary to deliver a 6D process for C.
botulinum. The values in the table are generally conservative. You may be able to establish a
shorter process time for your food by conducting scientific thermal death time studies.

Table 3-A Limiting Conditions for Pathogen Growth
Max. %
Min. a w
Min. Max. Water Min. Max. Oxygen
Pathogen (using
pH pH Phase Temp. Temp. Requirement
salt)
Salt
Bacillus 39.2°F 131°F1 facultative

0.92 4.3 9.3 10
cereus 4°C 55°C anaerobe4
Campylo- 86°F 113°F micro-

0.987 4.9 9.5 1.7
bacter jejuni 30°C 45°C aerophile2
Clostridium
botulinum,
type A, and 50°F 118.4°F
0.935 4.6 9 10 anaerobe3
proteolytic 10°C 48°C
types B and
F
Clostridium
botulinum,
type E, and
37.9°F 113°F
non- 0.97 5 9 5 anaerobe3
3.3°C 45°C
proteolytic
types B and
F
Clostridium 50°F 125.6°F

0.93 5 9 7 anaerobe3
perfringens 10°C 52°C
Pathogenic
strains of 43.7°F 120.9°F facultative
0.95 4 10 6.5
Escherichia 6.5°C 49.4°C anaerobe4
coli
Listeria
31.3°F 113°F facultative
monocyto- 0.92 4.4 9.4 10
-0.4°C 45°C anaerobe4
genes
Salmonella 41.4°F 115.2°F facultative

0.94 3.7 9.5 8
spp. 5.2°C 46.2°C anaerobe4
43°F 116.8°F facultative

Shigella spp. 0.96 4.8 9.3 5.2
6.1°C 47.1°C anaerobe4
Staphylo-
coccus 44.6°F 122°F facultative
0.83 4 10 20
aureus 7°C 50°C anaerobe4
growth

Max. %
Min. a w
Min. Max. Water Min. Max. Oxygen
Pathogen (using
pH pH Phase Temp. Temp. Requirement
salt)
Salt
Staphylo-
coccus 50°F 118°F facultative
0.85 4 9.8 10
aureus toxin 10°C 48°C anaerobe4
formation
Vibrio 50°F 109.4°F facultative

0.97 5 10 6
cholerae 10°C 43°C anaerobe4
Vibrio
41°F 113.5°F facultative
parahaemo- 0.94 4.8 11 10
5°C 45.3°C anaerobe4
lyticus
Vibrio 46.4°F 109.4°F facultative

0.96 5 10 5
vulnificus 8°C 43°C anaerobe4
Yersinia
29.7°F 107.6°F facultative
enterocoliti- 0.945 4.2 10 7
-1.3°C 42°C anaerobe4
ca
1
Has significantly delayed growth (>24 hours) at 131°F (55°C).
2
Requires limited levels of oxygen.
3
Requires the absence of oxygen.
4
Grows either with or without oxygen.

Table 3-B. Time and Temperature Guidance for Controlling Pathogen Growth and Toxin
Formation in Food Products
Potentially Hazardous Condition Product Temperature Maximum Cumulative

Exposure Time
Growth and toxin formation by 39.2-43°F (4-6°C) 5 days

Bacillus cereus 44-59°F (7-15°C) 1 day
60-70°F (16-21°C) 6 hours
Above 70°F (21°C) 3 hours
Growth of Campylobacter jejuni 86-93°F (30-34°C) 48 hours

Germination, growth, and toxin 50-70°F (10-21°C) 11 hours

formation by Clostridium Above 70°F (21°C) 2 hours
botulinum type A, and proteolytic
types B and F
Germination, growth, and toxin 37.9-41°F (3.3-5°C) 7 days

formation by Clostridium 42-50°F (6-10°C) 2 days
botulinum type E, and non- 51-70°F (11-21°C) 11 hours
proteolytic types B and F Above 70°F (21°C) 6 hours
Growth of Clostridium 50-54°F (10-12°C) 21 days

perfringens 55-57°F (13-14 °C) 1 day
58-70°F (15-21°C) 6 hours1
Growth of pathogenic strains of 43.7-50°F (6.6-10°C) 2 days

Escherichia coli 51-70°F (11-21°C) 5 hours
Growth of Listeria 31.3-41°F (-0.4-5°C) 7 days

monocytogenes 42-50°F (6-10°C) 1 day
51-70°F (11-21°C) 7 hours
71-86°F (22-30°C) 3 hours
Above 86°F (30°C) 1 hour
Growth of Salmonella species 41.4-50°F (5.2-10°C) 2 days

51-70°F (11-21°C) 5 hours
Growth of Shigella species 43-50°F (6.1-10°C) 2 days

51-70°F (11-21°C) 5 hours
Growth and toxin formation by 50°F (7-10°C) 14 days

Staphylococcus aureus 51-70°F (11-21°C) 12 hours1

Potentially Hazardous Condition Product Temperature Maximum Cumulative

Exposure Time
Growth of Vibrio cholerae 50°F (10°C) 21 days

51-70°F (11-21°C) 6 hours
71-80°F (22-27°C) 2 hours
Above 80ºF (27ºC) 1 hour2
Growth of Vibrio 41-50°F (5-10°C) 21 days

parahaemolyticus 51-70°F (11-21°C) 6 hours
71-80°F (22-27°C) 2 hours
Growth of Vibrio vulnificus 46.4-50°F (8-10°C) 21 days

51-70°F (11-21°C) 6 hours
71-80°F (22-27°C) 2 hours
Growth of Yersinia enterocolitica 29.7-50°F (-1.3-10°C) 1 day

51-70°F (11-21°C) 6 hours
Above 70°F (21°C) 2.5 hours
1
Additional data needed.
2
Applies to cooked, ready-to-eat foods only.
Table 3-C is a Quick Reference Guide derived from Table 3-B:
Table 3-C Quick Reference Guide for Time and Temperature Guidance for Controlling
Pathogen Growth and Toxin Formation in Food Products (for Internal Temperatures
above 50°F (10°C) but below 135ºF (57.2ºC))
If the food is a … And the food is Then you should Or, if As long as …
held at an internal limit the Staphylococcus
temperature … exposure time to aureus (S. aureus)
… is the only
pathogen of
concern, then you
should limit the
exposure time to …
Raw, RTE Above 70°F 2 hours 3 hours N/A
ingredient or food (21.1°C)
product
Raw, RTE Above 70°F 4 hours N/A No more than 2
ingredient or food (21.1°C) of those hours
product are between 70°F
(21.1°C) and
135ºF (57.2ºC)
Raw, RTE At any time above 5 hours 12 hours N/A
ingredient or food 50°F (10°C) but
product never above 70°F
(21.1°C)

If the food is a … And the food is Then you should Or, if As long as …
held at an internal limit the Staphylococcus
temperature … exposure time to aureus (S. aureus)
… is the only
pathogen of
concern, then you
should limit the
exposure time to …
Raw, RTE At internal N/A N/A N/A
ingredient or food temperatures (or at
product ambient air
temperatures)
below 50°F (10°C)
throughout
processing
Cooked, RTE At any time above 1 hour 3 hours N/A
ingredient or food 80°F (26.7°C)
product
Cooked, RTE At any time above 4 hours N/A No more than 1
ingredient or food 80°F (26.7°C) of those hours is
product above 70°F
(21.1°C)
Cooked, RTE At any time above 2 hours 3 hours N/A
ingredient or food 70°F (21.1°C) but
(26.7°C)
Cooked, RTE Never held above 4 hours N/A No more than 2
ingredient or food 80°F (26.7°C) of those hours
product are above 70°F
(21.1°C)
Cooked, RTE At any time above 5 hours 12 hours N/A
ingredient or food 50°F (10°C) but
(21.1°C)
Cooked, RTE At internal N/A N/A N/A
ingredient or food temperatures (or
product ambient air
temperatures)
below 50°F (10°C)
throughout
processing
Note that the preceding recommended critical limits do not address internal product
temperatures between 40°F (4.4°C), which is the recommended maximum storage temperature
for refrigerated food products, and 50°F (10°C). That is because growth of foodborne
pathogenic bacteria is very slow at these temperatures and the time necessary for significant
growth is longer than would be reasonably likely to occur in most food processing steps.
However, if you have processing steps that occur at these temperatures that approach the
maximum cumulative exposure times listed in Table 3-B for the pathogenic bacteria of concern
in your product, you should consider development of a critical limit for control at these
temperatures.

It is not possible to furnish recommendations for each pathogenic bacterium, process, type of
food product, and temperature or combination of temperatures. Programmable models to
predict growth rates for certain pathogens associated with various foods under differing
conditions have been developed by the U.S. Department of Agriculture’ (the Pathogen Modeling
Program (PMP)) and by an international consortium of the Institute of Food Research (UK), the
USDA Agricultural Research Service (USDA-ARS) and the University of Tasmania Food Safety
Centre (CombBase database and Predictor). These programs can provide growth curves for
selected pathogens. To use these models, you indicate the conditions, such as pH,
temperature, and salt concentration that you are interested in and the models provide pathogen
growth predictions (e.g., growth curve, time of doubling, time of lag phase, and generation time).
FDA does not endorse or require the use of such modeling programs, but recognizes that the
predictive growth information they provide may be helpful to some processors. However, you
should be aware that significant deviations between actual microbiological data in specific
products and the predictions may occur, including those for the lag phase of growth. Therefore,
you should validate the time and temperature limits derived from such predictive models if
growth of pathogens during processing requires a preventive control.

Table 3-D Inactivation of Listeria monocytogenes
Internal Product Internal Product Lethal Time for 6D Process

Temperature (°F) Temperature (°C) Rate (minutes)
145 63 0.117 17.0
147 64 0.158 12.7
149 65 0.215 9.3
151 66 0.293 6.8
153 67 0.398 5.0
154 68 0.541 3.7
156 69 0.736 2.7
158 70 1.000 2.0
160 71 1.359 1.5
162 72 1.848 1.0
163 73 2.512 0.8
165 74 3.415 0.6
167 75 4.642 0.4
169 76 6.310 0.3
171 77 8.577 0.2
172 78 11.659 0.2
174 79 15.849 0.1
176 80 21.544 0.09
178 81 29.286 0.07
180 82 39.810 0.05
182 83 54.116 0.03
183 84 73.564 0.03
185 85 100.000 0.02

Note: z = 13.5°F (7.5°C).

Table 3-E Inactivation of Non-Proteolytic Clostridium botulinum Type B
Internal Product Internal Product Lethal Time for 6D Process

Temperature (°F) Temperature (°C) Rate* (minutes)
185 85 0.193 51.8
187 86 0.270 37.0
189 87 0.370 27.0
190 88 0.520 19.2
192 89 0.720 13.9
194 90 1.000 10.0
196 91 1.260 7.9
198 92 1.600 6.3
199 93 2.000 5.0
201 94 2.510 4.0
203 95 3.160 3.2
205 96 3.980 2.5
207 97 5.010 2.0
208 98 6.310 1.6
210 99 7.940 1.3
212 100 10.000 1.0

Note: For temperatures less than 194°F (90°C), z = 12.6°F (7.0°C); for temperatures above
194°F (90°C), z = 18°F (10°C).

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Preventive Controls for Human Food:

U.S. Department of Health and Human Services

Introduction & Purpose

Hazard Analysis and Risk-Based

Introduction and Purpose

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Table 1. Subparts Established in 21 CFR Part 117

• A written food safety plan (FSP);

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II. Purpose of this Guidance

III. Glossary of Terms Used in This Guidance

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Allergen cross-contact: The unintentional incorporation of a food allergen into a food.

Environmental pathogen: A pathogen capable of surviving and persisting with the

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Known or reasonably foreseeable hazard: A potential biological, chemical (including

Monitor: To conduct a planned sequence of observations or measurements to assess whether

Pathogen: A microorganism of public health significance.

Preventive controls: Those risk-based, reasonably appropriate procedures, practices, and

Sanitize: To adequately treat cleaned surfaces by a process that is effective in destroying

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Significantly minimize: To reduce to an acceptable level, including to eliminate.

B. Other Terms that FDA Uses in this Guidance

Control, Control measure: See Preventive controls.

Deviation: Failure to meet a critical limit.

End-Point Internal Product Temperature (EPIPT): A measurement of the internal

Environmental sample: A sample that is collected from a surface or area of

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Prerequisite programs: Procedures, including Current Good Manufacturing Practices

Severity: The seriousness of the effects of a hazard.

IV. Table of Abbreviations Used in This Guidance

Abbreviation What It Means

ABC Almond Board of California

CCP Critical control point

CDC Centers for Disease Control and Prevention

CIP Clean in place

CFR Code of Federal Regulations

CGMP Current good manufacturing practice

Codex Codex Alimentarius Commission

COP Clean out of place

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Abbreviation What It Means

D-value Decimal reduction time

EPIPT End-Point Internal Product Temperature

EPA U.S. Environmental Protection Agency

FALCPA Food Allergen Labeling and Consumer Protection Act

FDA U.S. Food and Drug Administration

FSIS Food Safety and Inspection Service of the U.S. Department of

FSMA FDA Food Safety Modernization Act

FSP Food safety plan

FSPCA Food Safety Preventive Controls Alliance

HACCP Hazard Analysis and Critical Control Point

HPP High Pressure Processing

LACF Low-acid canned food

NRTE food Not ready-to-eat food

Part 117 Current Good Manufacturing Practice, Hazard Analysis, and

PCHF “Preventive Controls for Human Food” (requirements in 21 CFR

Introduction & Purpose 