TECHNICAL TRAINING ON RISK ANALYSIS FOR SAARC COUNTRIES

Delhi, India, June 17-21, 2013

FAO ROAP, Bangkok, Thailand Quality Council of India

Risk Categorization of Food

Establishment

Dedi Fardiaz
Department of Food Science and Technology, Faculty of Agricultural Engineering
SEAFAST Center
BOGOR AGRICULTURAL UNIVERSITY

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 1

 What is the content of this Guideline?
1. PREAMBLE
ISSN 0254 4725 2. INTRODUCTION
Assuring food safety and FAO
3. IMPORTANT FOOD ISSUES
quality FOOD AND
NUTRITION
4. ELEMENTS OF A NATIONAL
Guidelines for strengthening
PAPER
76
FOOD CONTROL SYSTEM
national food control systems
5. STRENGTHENING NATIONAL
FOOD CONROL SYSTEM
6. SPECIFIC ISSUES FOR
DEVELOPING COUNTRY
6.1 Food Systems
6.2 Food Processing Industry
6.3 Street Foods
6.4 Food Control Infrastructure and
FOOD AND AGRICULTURE ORGANIZATION OF THE
UNITED NATIONS
Rome, 2003
Resources
6.5 Technical Assistance: Role of
International Agencies
Dedi Fardiaz FAO, Hanoi, 25-26 ANNEXES
May, 2011 2
 Important questions to be
answered: How does a
country develop an
What laws, regulations,
Effective and Efficient Food standards, code of practices,
Control System? and guidelines related with
food safety are available?
1. Food Legislation
How does the government
control food safety? Is there
2. Food Control Management any specific system applied?
(Single Agency System, Multi
Agency System, Integrated
System) How are risk-based inspection
activities implemented?
3. Inspection Activities
How does the government
4. Laboratory Services manage food safety
laboratories, reference labs?
5. Information, Education, How are information exchanged
Communication and Training amongs stakeholders? Any
training program? For whom?
Dedi Fardiaz FAO, Hanoi, 25-26 May, 2011 3
Principal stages of the food supply chain (FAO, 2006)

Supply of agricultural inputs Should we give

(fertilizers, pesticides, animal feeding stuffs, veterinary drugs, etc.)
special attention to
food-supply-chain
Primary production
(farmers, fisherfolk, fish farmers, etc.)
commonly practiced
in SAARC countries?
Primary food processing
(on-farm, dairies, abattoirs, grain mills, etc.) Examples:

Secondary food processing • Small farmers

(fermenting, baking, canning, freezing, drying, etc.) • Small fishermen
Food distribution
(national/international, import/export)
• SMEs (processors)
• Hosehold food
Food retailing Food catering industries
(shops, supermarkets, etc.) (restaurants, street foods,
hospitals, schools, etc.)
• Traditional markets
Domestic food preparation • Streetfood vendors
• SMEs (caterers,
Dedi Fardiaz FAO, Hanoi, 25-26 May, 2011 restaurants, etc)
4
 How do we assess the Risk?
How do we manage the Risk?
Risk Factors Risk Factors
How do we communicate the Risk?
Related to Related to
Food Business Foods

cross contamination - Food-borne diseases occur

food from unsafe sources - most frequently because of
inadequate cooking - consumption of contaminated
improper holding temperatures - food by microbiological hazards
contaminated equipment - (depend on pH and aw)
poor personal hygiene -
food handlers’ health status - •High-Risk Foods
water quality - •Medium-Risk Foods
presence of pests - •Low-Risk foods

1. Hazard identification
2. Hazard characterization
3. Exposure assessment
4. Risk characterization

Risk Analysis
(CAC)

Dedi Fardiaz FAO, Hanoi, 25-26 May, 2011 5

 Need to regulate, to build the capacity, and to control

FOOD CONTROL LEGISLATION

INFRA-STRUCTURE LABORATORIES
AND MANAGEMENT Laws, Regulations,
and Standards
INSPECTION

FOOD PRODUCERS,
IMPORTERS, DISTRIBUTORS, CONSUMER
Dedi Fardiaz FAO, Hanoi, 25-26 May, 2011 6
RETAILERS, FOOD SERVICE
 Develop More Effective Set Laws and
and Efficient Food Safety Regulations to Protect
Control Policy Consumer Health and
Insure Fair Trade

How do we enhance
Food Safety?

Build the Capacity Empower Consumer to

of the Producers to Participate in Food Safety
Raise Their Food Activities (Education,
Safety Awareness
Dedi Fardiaz Campaigns,
FAO, Hanoi, 25-26 May, 2011 Monitoring, 7etc.)
 ISSN 0254 4725

Risk-based food FAO

FOOD AND
inspection manual NUTRITION
PAPER

89

Dedi FardiazFOOD AND AGRICULTURE ORGANIZATION

FAO-ROAP, India,
OF THE 17-21-06-13
UNITED NATIONS 8
Rome, 2008
Risk-based Food Inspection Manual (FAO, 2008)

Traditional Food Inspection Risk-based Food Inspection

Has centred on determining Focuses inspection on risk

compliance by food processing factors that may cause food-
establishments with a number of borne disease.
regulations (may or may not be
up to date).
The effectiveness of this method The inspector will make better
of inspection depends on the use of his/her scarce time
time available to inspectors to allocation to each processor,
check the facility under without overlooking existing
inspection and particularly its non-compliance and violations of
products physically. regulations.
The method is corrective. No The inspection will be based on
assurance after this type of risk and will thus fulfil its
inspection that there will not be ultimate purpose of safeguarding
recurrence of the violation. the consumer. Product samples
will be collected and analysed
only for verification purposes
and no longer as a means to
Dedi Fardiaz FAO-ROAP, India,ensure product safety.
17-21-06-13 9
 Guidelines for risk
categorization of food
and food establishments
applicable to ASEAN
countries

2011
FAO ROAP, Bangkok, Thailand

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 10

PURPOSE
The purpose of classifying food businesses according to risk
category, is to allow the regulatory agency responsible to food
inspection to prioritise inspections of food businesses based
on those which pose the greatest potential risk to the
population if the safety of food is out-off control.

Classification of food businesses according to risk category

was prepared with special attention to specific condition in
ASEAN countries.

SCOPE
The scope of this Guideline are as follows:
a) provides a framework for the risk categorization which
include high-risk, medium-risk, and low-risk food
businesses to meet specific needs of ASEAN countries;
b) addresses different types of food sector, including
imported, exported and domestic foods;
c) includes impact of products, primary producer’s level
controls, processing types and consumer group on risks;
d) Dedi
covers
Fardiaz the foods traded inIndia,
FAO-ROAP, ASEAN countries.
17-21-06-13 11
Risk Level Matrix for Fish and Fishery Products (FAO, 2009)

Characteristics that Events that are reasonably Risk

Fish/fishery product increase risk likely to occur and that will level
increase risk

No terminal Bad safety No CCP Harmful Abusive Growth or

heat record identified for recontamination handling– accumulation
application a hazard or time–temp of
contamination hazard

Molluscan shellfish X X X X X X High

live and eaten raw

Fermented < 8% X X X X High

NaCl

Semipreserved > 6% X X X Medium

NaCl, pH < 5

Frozen freshwater fin X X Low

fish

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 12

 Prioritizing establishments based on establishment type
and product profile (FAO, 2009)

Establishment type Compliance Product Priority

Fish landing High Fresh fish for processing and Low

direct consumption after cooking

Aquaculture Low Molluscan shellfish for High

producer consumption raw

Processing plant High Frozen fish fillets Low

Retail fish market Low Variety of fresh and processed High

products some of which are
consumed without further
processing

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 13

 DETERMINATION OF FOOD BUSINESS RISK CATEGORY
Supply of agricultural inputs Special attention
(fertilizers, pesticides, animal feeding stuffs, veterinary drugs, etc.)
should be given to
Food Business in
Primary production
(farmers, fisherfolk, fish farmers, etc.)
ASEAN countries:

Primary food processing • Small farmers

(on-farm, dairies, abattoirs, grain mills, etc.) • Small fishermen

Secondary food processing

(fermenting, baking, canning, freezing, drying, etc.) • SMEs (processors)
• Hosehold food
Food distribution
(national/international, import/export)
industries

Food retailing Food catering • Traditional markets

(shops, supermarkets, etc.) (restaurants, street foods, • Streetfood vendors
hospitals, schools, etc.)
• SMEs (Caterers,
Domestic food preparation restaurants, etc)

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 14

Principal stages of the food supply chain (FAO, 2006)
Type of Food Businesses

Special attention
should be given
to Food Business
in ASEAN
countries:
• Small farmers
• Small fishermen

• SMEs (processors)
• Hosehold food
industries

• Traditional markets
• Streetfood vendors
• SMEs (Caterers,
restaurants, etc)
Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 15
 Special attention
should be given
to Food Business
in ASEAN
countries:
• Small farmers
• Small fishermen

• SMEs (processors)
• Hosehold food
industries

• Traditional markets
• Streetfood vendors
• SMEs (Caterers,
restaurants, etc)
Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 16
Photos taken from www.flickr.com
 Risk-based Food Control
Risk Factors Risk Factors Program
Related to Related to
Food Business Foods Food-borne Disease Risk
Factors:
Those factors that may cause
food-borne disease in
Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 17
consumers if left uncontrolled
 Risk Factors Related to Foods

Dedi Fardiaz
 Risk Factors Risk Factors
Related to Related to
Food Business Foods

cross contamination - Food-borne diseases occur

food from unsafe sources - most frequently because of
inadequate cooking - consumption of contaminated
improper holding temperatures - food by microbiological
contaminated equipment - hazards (depend on pH and aw)
poor personal hygiene -
food handlers’ health status - • High-Risk Foods
water quality - • Medium-Risk Foods
Dedi Fardiaz
pests -India,•17-21-06-13
presence ofFAO-ROAP, Low-Risk foods 19
 Decision Tree Used
in this Guidelines

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 20

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 21
 Businesses
dealing with Main Activity QP1 QP2 QP3 QP4 Risk-Category
primary foods High Mediu Low
m
Beef Cattle Animal yes no X
husbandry,
slaughtering,
fresh handling
Piggery Animal yes no X
husbandry,
slaughtering,
fresh handling
Dairy Farm, Animal yes no X
small scale husbandry,
milking
Poultry Farm, Farming, yes no yes X
small scale butchering, fresh
handling
Freswater Fish Farming, fresh yes yes yes X
Farm handling
Captured Fish Catching, fresh yes no yes X
handling
Vegetable Farm Farming, yes yes yes X
harvesting,
packaging, fresh
handling
Rice Farm Farming, no X
Dedi Fardiaz harvesting, FAO-ROAP, India, 17-21-06-13 22
threshing, drying
 FREQUENCY OF INSPECTION

Frequency of Inspection
Risk Category (every x months)
Starting Maximum Minimum
Point

High-Risk Food 6 3 12
Business

Medium-Risk 12 6 18
Food Business

Low-Risk Food 18 12 24
Business

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 23

 SUMMARY

• Risk categorization is a complex process that may be

influenced by a number of factors. Therefore,
different approaches seemed to be used in
classifying food business based on risk category.

• Different approach has been used in classifying food

business based on risk category, among others:

• Approach Using Risk Categorization Model (RCM)

Questionnaires
• Priority Classification System Based on Score
• Food Business Categorization Using Desicion Tree
Model

• Food Business Categorization Using Desicion Tree

Model is Suggested in this Guideline
Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 24
 SUMMARY

Decision tree model of this Guideline has been

applied in categorizing both businesses dealing with
primary and secondary foods which include high-risk,
medium-risk, and low-risk food business. However,
the national authority in each country may review
and revise if needed according to food business
conditions existing in the country concerned .

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 25

 Thank You Very Much

Dedi Fardiaz FAO-ROAP, India, 17-21-06-13 26